The Issues Tracking Database is a repository for audit, loan review, compliance, external audit, regulatory and emerging risk issues. The database facilitates reporting by creating discussion documents for issues follow-up status meetings, and Audit Committee and Line of Business management reports and dashboards. The database also includes functionality to select which issues are targeted for interim internal audit follow-up testing, and includes audit work papers which allow the user to document testing within one self-contained system. There is also a quantification routine which calculates aggregate risk levels by finding as well as risk category (or other customizable criteria), as a key component to an Enterprise Risk Management program.


All included functionality can be modified or removed. The database is fully customizable to your requirements.

q  Issues Entry Screens
q  Issues Reports
q  Segregated entry screens and reporting for regulatory “Report of Examination” findings.
q  Dashboard reports for Risk Levels By Regulatory Risk Category, Open Findings by Risk Level, and Risk Levels By Functional Area (Open and Closed Findings).
q  Integrated work paper for issue follow-up testing.
q  Sample size selection tool for calculating statistically valid sample sizes in follow-up testing.
q  Ability to attach reports to Outlook email, improving the efficiency of issue reporting and follow-up.


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