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    Deficiencies Suggestion In-House Audit: Internal Memo

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    Mohamed Ibrahim AhamedRasmi
    An internal memo summarizes the results of an operational risk assessment conducted at the Akkaraipattu 063 branch of the Ampara region. Several deficiencies were identified, including incomplete vouchers, lack of staff rotation, insufficient fire training, and improper document classification and management. Recommendations are provided such as cancelling vouchers on the same day, conducting periodic audits and staff transfers, providing firefighting training, and classifying documents according to security standards. Proper controls and maintenance of systems like CCTV cameras are also suggested.

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    Deficiencies Suggestion In-House Audit: Internal Memo

    Uploaded by

    Mohamed Ibrahim AhamedRasmi
    30 views2 pages
    An internal memo summarizes the results of an operational risk assessment conducted at the Akkaraipattu 063 branch of the Ampara region. Several deficiencies were identified, including incomplete vouchers, lack of staff rotation, insufficient fire training, and improper document classification and management. Recommendations are provided such as cancelling vouchers on the same day, conducting periodic audits and staff transfers, providing firefighting training, and classifying documents according to security standards. Proper controls and maintenance of systems like CCTV cameras are also suggested.

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    bankingmemo

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    Internal memo

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    An internal memo summarizes the results of an operational risk assessment conducted at the Akkaraipattu 063 branch of the Ampara region. Several deficiencies were identified, including incomplete vouchers, lack of staff rotation, insufficient fire training, and improper document classification and management. Recommendations are provided such as cancelling vouchers on the same day, conducting periodic audits and staff transfers, providing firefighting training, and classifying documents according to security standards. Proper controls and maintenance of systems like CCTV cameras are also suggested.

    Copyright:

    © All Rights Reserved
    Download as DOCX, PDF, TXT or read online from Scribd
    Download as docx, pdf, or txt
    30 views2 pages

    Deficiencies Suggestion In-House Audit: Internal Memo

    Uploaded by

    Mohamed Ibrahim AhamedRasmi
    An internal memo summarizes the results of an operational risk assessment conducted at the Akkaraipattu 063 branch of the Ampara region. Several deficiencies were identified, including incomplete vouchers, lack of staff rotation, insufficient fire training, and improper document classification and management. Recommendations are provided such as cancelling vouchers on the same day, conducting periodic audits and staff transfers, providing firefighting training, and classifying documents according to security standards. Proper controls and maintenance of systems like CCTV cameras are also suggested.

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    Internal memo

    To: deputy general manager,

    Subject: regional risk manager

    We have conducted operational Risk Assessment of Akkaraipattu 063 Branch of the Ampara region, on 07, 08, July
    2021 and deficiencies identified are highlighted below.

    Deficiencies Suggestion

    1 In-house audit
    1.1 Some of the vouchers were not completed
    according to the circular instructions given in
    GI Circular No. 953/2012.user id 0631512
    Transaction no:112 doesn’t have a class Cancellation of vouchers should be implemented on end of the
    signature same day
    1.2 Cancelation of vouchers are not complied with
    GI Circular No. 808/2009, 953/2012 and
    953/2012. periodical auditing is important keep updated always
    1.3 In-house audit was not conducted in
    accordance with the instructions given in
    Relevant circulars.such as In house supervision
    was not conducted for user id
    0631465,06320667,Date29.06.2021.

    2 Management of staff
    2.1 For some staff members, staff rotation has they are needed to be transferred into different position proper
    Not been done according to GI Circular No. rotation is appreciated.
    808/2009. There were five employees whose
    were serving in a bench over five years

    4 Disaster Management Process


    4.2 Fire training has not been given for Firefighting training should be given to adequate number of staff
    Adequate number of staff members.

    5 Document Management Customer’s confirmation record keeping is important follow up


    5.3 Cheque book issuing register was not should be taken according to the form 275.
    maintained properly. no proper follow up
    actions after sending Form No. 275

    8 ATM Cards, ATMs & CDMs


    8.1 As per the Branch staff, the debit card is issued Dual control is required to attend this risk
    by an officer and the PIN number is issued by a
    Service Assistant
    9 Document Management of the Branch the classified in accordance with the given
    9.2 As per the guidance given in Information documents circular instructions (Classification of
    Security Circular No. 01/2019, The documents Information- Implementation of Base Line
    of the branch have not been classified as Security Standards)
    ‘Confidential’, ‘Internal’ or‘Public’.
    10.2 Insurance coverage was not sufficient for cash Sufficient insurance cover need to be applied for a cash

    12.1 Visitors logbook of the server room was not A visitor record book should be placed in a server room to keep
    available update of visitor
    37 Cctv cameras timing is inaccurate doesn’t Periodic maintenance is required to the cctv camera and time
    show correct time accuracy is important in safety measures

    AR.Jamaldeen, CC:Regional manager,Ampara


    Regional risk officer, Ampara

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