SOX Audit 2020 Report Summary and Findings
"The SOX Audit 2020 Report highlights deficiencies in project processes, MCC code violations, missing SLAs, and related party transactions. The report includes details of identified issues, severity, owners, deadlines, and remediation statuses."
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Presentation Transcript
SOX Audit 2020 Report Conclusion/Rating Project Processes Start Date Project Target Completion July 1, 2019 June 30, 2020 1 | PRIVATE & CONFIDENTIAL| Not Approved for Distribution Without Prior Approval SOX Audit 2020 Report | Generated on February 11, 2020
Results Overall Assurance 54% Conclusion/Rating Deficiency by Owner Deficiency by Severity 2 | PRIVATE & CONFIDENTIAL| Not Approved for Distribution Without Prior Approval SOX Audit 2020 Report | Generated on February 11, 2020
Deficiency Severity by Owner 3 | PRIVATE & CONFIDENTIAL| Not Approved for Distribution Without Prior Approval SOX Audit 2020 Report | Generated on February 11, 2020
9 instances of MCC Code violations found Business Processes: Procurement Owner: Owner: greg.wilder@gmail.com Executive Owner: Deficiency Information Severity Medium Remediation Deadline February 20, 2020 Overall Status Open Date Identified Escalation Level Remediation Status Opened January 22, 2020 4 | PRIVATE & CONFIDENTIAL| Not Approved for Distribution Without Prior Approval SOX Audit 2020 Report | Generated on February 11, 2020
SLA Missing in Two Third Party Contracts Business Processes: Information Technology General Controls Owner: Owner: joanne.ou@gmail.com Executive Owner: Deficiency Information Severity Medium Remediation Deadline March 31, 2020 Overall Status Open Date Identified Escalation Level Remediation Status January 22, 2020 5 | PRIVATE & CONFIDENTIAL| Not Approved for Distribution Without Prior Approval SOX Audit 2020 Report | Generated on February 11, 2020
2 related party transactions found Business Processes: Procurement Owner: Owner: greg.wildon@gmail.com Executive Owner: Deficiency Information Severity Medium Remediation Deadline February 28, 2020 Overall Status Open Date Identified Escalation Level Remediation Status Opened January 22, 2020 6 | PRIVATE & CONFIDENTIAL| Not Approved for Distribution Without Prior Approval SOX Audit 2020 Report | Generated on February 11, 2020
