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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
$uarter EA Issues CBS Report Total Issues
1 %ot pp+ica*+e 25 1( 0 Err:504 Err:504
2 F11 0 11 0 0 11
3 F121 134 1) 0 Err:504
4 F122 4 1 0 0 5
5 F123 1 0 0 0 1
# F124 2 0 0 0 2
Total 166 ! Err"#! Err"#!
Number of Issues Per Status
Status EA Issues CBS Report Total Issues
1 %ot Reso+ve. #, 13 0 Err:504 Err:504
2 Reso+ve. 8en.ing Fo++o-9up 41 5 0 Err:504
3 Reso+ve. 8en.ing E Fo++o-9up 1( # 0 Err:504
4 Reso+ve. an. C+ose. 3, 22 0 Err:504
Total 166 6 ! Err"#! Err"#!
,*11 IAIssues
,*1- IAIssues
,*11 IAIssues
,*1- IAIssues
,*11 IAIssues
,*1- IAIssues
000;
20000;
40000;
#0000;
)0000;
100000;
120000;
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-!11 E.ternal Audit Iss
Proess Area Ris2 Ratin0 Title
5 8rogram C
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12 Computer =perations Hig< ack o! *ack up testing
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14 Computer =perations Hig
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1, ccess to 8rograms Hig8 service running
2, =perating S"stem Revie- Hig> Fi+es not processe.
/ata*ase management s"stem notup.ate.
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131 Hig
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134 %et-ork ntegrit" Hig% S-aGi+an. sI *ut *" ot
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2123 319Mar920128erio.ic restoration o! t
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2125 319/ec92012
2133 319Mar92012
S-aGi M>% s
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2213 %$
2214 %$
2215 %$
/isa*+e unnecessar"services i! not nee.e. !t
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221# %$
221( %$
2221 319Mar92012
S"stem a.ministratorss
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2222 319Mar92012
2223 319Mar92012
2224 319Mar92012
Management s
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2225 319Mar92012
222# 319Mar92012
6sers -it< privi+ege.access to t
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222( 319Mar92012
2313 319Mar92012
2314 319Mar92012
Management s
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2321 319Mar92012
2322 319Mar92012
2323 319Mar92012
u.iting s
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2324 319Mar92012
2325 319Mar92012
Eac< user s
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232( 319Mar92012
2411 319Mar92012
&e recommen. t
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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
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21022 319Mar92012
21023 319Mar92012
21024 319Mar92012
Management s
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46/122
21025 319Mar92012
52 %$
&e recommen. t
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47/122
#1 319Lan92012>
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(1 %$
101 319Lan92012
&e recommen. t
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111 319Lan92012
112 319Lan92012
>
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Status
%ot Reso+ve.
1 1 1
3ana0ement Comment),*1- $1 Status+
>
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54/122
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55/122
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%ot Reso+ve.
1 1 1
1 0 0
1 0 0
>
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57/122
1 0 0
%o c
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58/122
0 0 0
%ot Reso+ve.
0 1 0
0 0 0
Reso+ve. an.C+ose.
>
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59/122
0 0 0
1 0 0
Reso+ve.8en.ing EFo++o-96p
>
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60/122
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61/122
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62/122
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63/122
0 0 0
1 0 0
Reso+ve.8en.ing
Fo++o-96p
>
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64/122
1 0 0
1 0 0
1 0 0
0 0 0
Reso+ve. an.C+ose.
>
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65/122
0 0 0
0 0 0
1 0 0
Reso+ve. an.C+ose.
>
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66/122
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67/122
0 0 0
1 0 0
1 0 0
Reso+ve.8en.ing EFo++o-96p
>
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68/122
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69/122
0 0 0
1 0 0
1 0 0
Reso+ve. an.C+ose.
>
7/23/2019 Audit Issues Register (External and Internal)
70/122
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71/122
0 0 0
1 0 0
Reso+ve.8en.ing EFo++o-96p
>
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72/122
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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
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74/122
%o movement in to o*tain gui.ance !rom R au.it t
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%ot Reso+ve.
%o movement in to o*tain gui.ance !rom R au.it t
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0 0 0
Reso+ve.8en.ing Fo++o-96p
>o o*tain gui.ance !rom R au.it t
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77/122
Status at ,ollo45(p )!# Sep -!1-+
Esca+ate. to t
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78/122
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>
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Conrme. -it< %camiso
Esca+ate. to t
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81/122
>
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82/122
C
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>
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84/122
>
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85/122
Conrme.
CR
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u.iting
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87/122
Reso+ve.
++ t
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Conrme.
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89/122
Conrme.
nactive accounts
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>
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8art o! uptime monitoring
Busi to conrm e!t open
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Conrme.
6ptime Monitoring >oo+ is use. to revie- t
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Conrme.
>S to make !o++o-9up -it< Sp
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Conrme.
Conrme.
E@terna+ u.itors -i++
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E@terna+ u.itors -i++
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E@terna+ u.itors -i++
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98/122
Management -ou+. +ike to .iscuss -it< t
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99/122
>S to conrm -it< E+giva an. %tokoGo on t
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100/122
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101/122
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-!11 Internal Audit I
Proess Area Ris2 Ratin0 Title or Reommendation
1 /isaster Recover" es Higip
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%ot Reso+ve.
%ot Reso+ve.
Finance E+giva Si*isi
Marketing
%ot Reso+ve.
Finance E+giva Si*isi
/eco.ing issue
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%ot Reso+ve.
Sina"e /+amini
CM .oing a MSC 9 Bi++ing c
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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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++ /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