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Vertical and Horizontal Assessment of Completed Audit Projects January 1 to June 30, 2014 Remarks/Comments Audit Plan Audit Program Preliminary Risk Assessment Notification Letter Approvals Opening Meeting Completeness of Documentation in Teammate Reference WPs Sign-off of WPs Residual Risk Assessment Linkage between conclusions Closing Meeting Draft Report Transmitta l Letter Final Report Transmittal Letter Approvals Recommendations released to TeamCentral Project Finalized 1 Information Security Yes, dated 15- Nov-2013 Yes, dated 23- Nov-2013 Yes, risk assessment was prepared as part of audit planning No notification memo available All steps reviewed by TE but not by TR Held on 05-Nov- 2013 but no document found All WP's Yes in TM Done Yes, risk assessment was prepared as part of audit planning Yes Held on 03-Feb-2014 with ICTD and others and on 04-Feb-2013 with PCT Yes, dated 07- Feb-2014 Yes, sent on 07-Feb- 2014 Yes, dated 25- Feb-2014 Yes, sent on 25-Feb- 2014 All steps reviewed by TE and final report by TR Yes, on 26-Feb- 2014 No Technical problem does not permit the project to be finalized in TM 2 Data Migration from SIGAGIP to New HRM System Yes, dated 17- Dec-2013 Yes, dated 24- Oct-2013 Yes, dated 24-Oct- 2013 Yes, sent on 26- Aug-2013 All steps reviewed by TE but not by TR Held on 02-Sep- 2013 and documented All WP's Yes in TM Done Yes, dated 17- Dec-2013 Yes Held on 13-Jan-2014 and documented Yes, dated 14- Jan-2014 Yes, sent on 14-Jan- 2014 Yes, dated 23- Jan-2014 Yes, sent on 23-Jan- 2014 All steps reviewed by TE but not by TR Yes, on 24-Jan- 2014 Yes, on 24-Jan- 2014 3 Staff Benefits and Entitlements Yes, dated 18- Feb-2014 Yes, dated 18- Feb-2014 Yes, dated 18-Feb- 2014 Yes, dated 19- Feb-2014 All steps reviewed by TE but not by TR Held on 28-Feb- 2014 and documented All WP's Yes in TM Done Yes, dated 17- May-2014 Yes Held on 28-May-2014 and documented Yes, dated 13- Jun-2014 Yes, sent on 13-Jun- 2014 Yes, dated 24- Jun-2014 Yes, sent on 24-Jun- 2014 All steps reviewed by TE but not by TR Yes, on 25-Jun- 2014 Yes, on 25-Jun- 2014 4 Events Management Yes, dated 17- Feb-2014 Yes, dated 17- Feb-2014 Yes, dated 14-Feb- 2014 Yes, dated 18- Feb-2014 All steps reviewed by TE but not by TR Held on 25-Feb- 2014 and documented All WP's Yes in TM Done Yes, dated 29- Apr-2014 Yes Held on 23-May-2014 and documented. Link to WP missing in procedure. Yes, dated 17- Jun-2014 Yes, sent on 17-Jun- 2014 Yes, dated 02- Jul-2014 Yes, sent on 02-Jul- 2014 All steps reviewed by TE but not by TR Pending Pending Not yet finalized 5 Results Based Management Yes, dated 16- Oct-2013 Yes, dated 16- Dec-2013 Yes, dated 16-Oct- 2013 Yes, dated 26- Aug-2013 All steps reviewed by TE but not by TR Held on 02-Oct- 2013 and documented All WP's Yes in TM Done Yes, dated 17- Dec-2013 Yes Held on 14-Feb-2014 and documented Yes, dated 21- Feb-2014 Yes, sent on 21-Feb- 2014 Yes, dated 14- Mar-2014 Yes, sent on 14-Mar- 2014 All steps reviewed by TE but not by TR Yes, on 18-Mar- 2014 Yes, on 16-Jul- 2014 6 Fund-In-Trust Yes, dated 8-Aug- 2013 Yes, dated 6-Aug- 2013 Yes, dated 8-Aug- 2013 Yes, dated 30- May-2013 All steps reviewed by TE but not by TR Held between 31-May-2013 and 05-Jun- 2013 and documented All WP's Yes in TM Done Yes, dated 15- Nov-2013 Yes Held on 24-Oct-2013 and documented Yes, dated 30- Oct-2013 Yes, sent on 30-Oct- 2013 Yes, dated 20- Nov-2013 Yes, sent on 20-Nov- 2013 All steps reviewed by TE but not by TR Yes, on 21-Nov- 2013 Yes, on 21-Nov- 2013 7 Management of Staff Separation from Service Yes, dated 26- Aug-2013 Yes, dated 03- Sep-2013 Yes, dated 21-Aug- 2013 Yes, dated 14- Aug-2013 All reviewed except Background Held on 02-Sep- 2013 and documented All WP's Yes in TM Done Yes, dated 29- Jan-2014 Yes Held on 09-Dec-2013 and documented Yes, dated 31- Jan-2014 Yes, sent on 31-Jan- 2014 Yes, dated 25- Feb-2014 Yes, sent on 25-Feb- 2014 All steps reviewed by TE but not by TR Yes, on 25-Feb- 2014 Yes, on 16-Jul- 2014 Planning Steps Fieldwork Steps Reporting Steps Post Report Issuance Annex 1.5
