Audit Issues Register (External and Internal)

7/23/2019 Audit Issues Register (External and Internal)

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Summary of Audit Issues

Number of Issues Per Department

Department EA Issues CBS Report Total Issues

1 Business Risk Management 0 0 0 Err:504 Err:5042 Corporate Services 0 0 0 Err:504 Err:504

3 Finance 23 10 0 Err:504 Err:504

4 Human Resources 1 11 0 Err:504 Err:504

5 n!ormation S"stems #0 12 0 Err:504 Err:504

# S$%&' 1# 2 0 Err:504 Err:504

( Marketing 1 0 0 Err:504 Err:504

) Mo*i+e Mone" 0 0 0 Err:504 Err:504

, %et-orks #3 , 0 Err:504 Err:504

10 Sa+es an. /istri*ution 1 1 0 Err:504 Err:504

11 ++ /epartments 1 1 0 Err:504 Err:504

Total 166 6 ! Err"#! Err"#!

Number of Issues Per $uarter

$uarter EA Issues CBS Report Total Issues

1 %ot pp+ica*+e 25 1( 0 Err:504 Err:504

2 F11 0 11 0 0 11

3 F121 134 1) 0 Err:504

4 F122 4 1 0 0 5

5 F123 1 0 0 0 1

# F124 2 0 0 0 2

Total 166 ! Err"#! Err"#!

Number of Issues Per Status

Status EA Issues CBS Report Total Issues

1 %ot Reso+ve. #, 13 0 Err:504 Err:504

2 Reso+ve. 8en.ing Fo++o-9up 41 5 0 Err:504

3 Reso+ve. 8en.ing E Fo++o-9up 1( # 0 Err:504

4 Reso+ve. an. C+ose. 3, 22 0 Err:504

Total 166 6 ! Err"#! Err"#!

,*11 IAIssues

,*1- IAIssues

,*11 IAIssues

,*1- IAIssues

,*11 IAIssues

,*1- IAIssues

000;

20000;

40000;

#0000;

)0000;

100000;

120000;


2/122

-!11 E.ternal Audit Iss

Proess Area Ris2 Ratin0 Title

5 8rogram C


3/122

12 Computer =perations Hig< ack o! *ack up testing


4/122

14 Computer =perations Hig


5/122

1, ccess to 8rograms Hig8 service running

2, =perating S"stem Revie- Hig> Fi+es not processe.

/ata*ase management s"stem notup.ate.


22/122

131 Hig


23/122

134 %et-ork ntegrit" Hig% S-aGi+an. sI *ut *" ot


28/122

2123 319Mar920128erio.ic restoration o! t


29/122

2125 319/ec92012

2133 319Mar92012

S-aGi M>% s


30/122


31/122

2213 %$

2214 %$

2215 %$

/isa*+e unnecessar"services i! not nee.e. !t


32/122

221# %$

221( %$

2221 319Mar92012

S"stem a.ministratorss


33/122

2222 319Mar92012

2223 319Mar92012

2224 319Mar92012

Management s


34/122

2225 319Mar92012

222# 319Mar92012

6sers -it< privi+ege.access to t


35/122

222( 319Mar92012

2313 319Mar92012

2314 319Mar92012

Management s


36/122

2321 319Mar92012

2322 319Mar92012

2323 319Mar92012

u.iting s


37/122

2324 319Mar92012

2325 319Mar92012

Eac< user s


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232( 319Mar92012

2411 319Mar92012

&e recommen. t


39/122

2413 319Mar92012

2414 319Mar92012

2415 319Mar92012

241# 319Mar92012

/irect +og in -it< t


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2#11 319Mar92012

2#13 319Mar92012

2#14 319Mar92012

2#15 319Mar92012

ogs s


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2(11 319Mar92012

2(14 319Mar92012

2,13 319Mar92012

ogs s


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2,15 319Mar92012

21011 319Mar92012

21012 319Mar92012

S"stem a.ministratorss


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21013 319Mar92012

21014 319Mar92012

21021 319Mar92012

Contro+s over t


45/122

21022 319Mar92012

21023 319Mar92012

21024 319Mar92012

Management s


46/122

21025 319Mar92012

52 %$

&e recommen. t


47/122

#1 319Lan92012>


48/122

(1 %$

101 319Lan92012

&e recommen. t


49/122

111 319Lan92012

112 319Lan92012

>


50/122


51/122


52/122

Status

%ot Reso+ve.

1 1 1

3ana0ement Comment),*1- $1 Status+

>


53/122


54/122


55/122


56/122

%ot Reso+ve.

1 1 1

1 0 0

1 0 0

>


57/122

1 0 0

%o c


58/122

0 0 0

%ot Reso+ve.

0 1 0

0 0 0

Reso+ve. an.C+ose.

>


59/122

0 0 0

1 0 0

Reso+ve.8en.ing EFo++o-96p

>


60/122


61/122


62/122


63/122

0 0 0

1 0 0

Reso+ve.8en.ing

Fo++o-96p

>


64/122

1 0 0

1 0 0

1 0 0

0 0 0

Reso+ve. an.C+ose.

>


65/122

0 0 0

0 0 0

1 0 0

Reso+ve. an.C+ose.

>


66/122


67/122

0 0 0

1 0 0

1 0 0


>


68/122


69/122

0 0 0

1 0 0

1 0 0

Reso+ve. an.C+ose.

>


70/122


71/122

0 0 0

1 0 0


>


72/122


73/122

1 0 0

1 0 0

Reso+ve.8en.ing

Fo++o-96p

>o o*tain gui.ance !rom R au.it t


74/122

%o movement in to o*tain gui.ance !rom R au.it t


75/122

%ot Reso+ve.

%o movement in to o*tain gui.ance !rom R au.it t


76/122

0 0 0

Reso+ve.8en.ing Fo++o-96p

>o o*tain gui.ance !rom R au.it t


77/122

Status at ,ollo45(p )!# Sep -!1-+

Esca+ate. to t


78/122


79/122

>


80/122

Conrme. -it< %camiso

Esca+ate. to t


81/122

>


82/122

C


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>


84/122

>


85/122

Conrme.

CR


86/122

u.iting


87/122

Reso+ve.

++ t


88/122

Conrme.


89/122

Conrme.

nactive accounts


90/122

>


91/122

8art o! uptime monitoring

Busi to conrm e!t open


92/122

Conrme.

6ptime Monitoring >oo+ is use. to revie- t


93/122

Conrme.

>S to make !o++o-9up -it< Sp


94/122

Conrme.

Conrme.

E@terna+ u.itors -i++


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97/122


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Management -ou+. +ike to .iscuss -it< t


99/122

>S to conrm -it< E+giva an. %tokoGo on t


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101/122


102/122

-!11 Internal Audit I

Proess Area Ris2 Ratin0 Title or Reommendation

1 /isaster Recover" es Higip


115/122

%ot Reso+ve.

%ot Reso+ve.

Finance E+giva Si*isi

Marketing

%ot Reso+ve.

Finance E+giva Si*isi

/eco.ing issue


116/122

%ot Reso+ve.

Sina"e /+amini

CM .oing a MSC 9 Bi++ing c


117/122

++ /epartments

++ /epartments

++ /epartments

++ /epartments

Hea.s o!

/epartments

Reso+ve. an.

C+ose.

Hea.s o!/epartments Reso+ve. an.C+ose.

Hea.s o!

/epartments

Reso+ve. an.

C+ose.

Hea.s o!

/epartments

Reso+ve. an.

C+ose.


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++ /epartments

++ /epartments

++ /epartments

++ /epartments

Hea.s o!/epartments

Reso+ve. an.C+ose.

Hea.s o!/epartments

Reso+ve. an.C+ose.

Hea.s o!/epartments

Reso+ve. an.C+ose.

Hea.s o!/epartments

Reso+ve. an.C+ose.


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++ /epartmentsHea.s o!

/epartmentsReso+ve. an.

C+ose.

Reso+ve.8en.ing Fo++o-96p


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Status by Department

Department of Issues )EA+ of Issues )IA+ CB

Not Resol7ed Resol7ed Not Resol7ed Resol7ed Not Resol7ed

n!ormation S"stems )# 41 5 ( 0

%et-orks ) 4 5 ( 0

Finance 4 1, 1 , 0

Marketing 0 1 0 0 0Sa+es an. /istri*ution 1 0 1 0 0

Mo*i+e Mone" 0 0 0 0 0

Human Resources 1 0 0 11 0

>=> 100 #5 12 34 0

Resol7ed by Department

Department of Issues )EA+ of Issues )IA+

n!ormation S"stems 41 (

%et-orks 4 (

Finance 1, ,Marketing 1 0

Sa+es an. /istri*ution 0 0

Mo*i+e Mone" 0 0

Human Resources 0 11

>=> #5 34


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E.ternal Audit

8i09 3

Resol7ed Resol7ed Not Resol7ed Resol7ed

0 ,1 4) 2, 34 21

0 13 11 10 4 5

0 5 2)

0 0 10 2 0

( 0 (

0 1 11

( 112 10#

Total

4)

11

2)1

0

0

11

,,

Total )NotResol7ed+

Total)Resol7ed+


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edium

Not Resol7ed

30

3

Documents

Audit Issues Register (External and Internal)