As of: 28-05-2021

Count - RRS - Status RRS - Status

Timeline(Before/ After Go-Live) Overall Item Status Nature Pending
After 3
Open 3
Change 3
Before
Closed
Blocking Issue
Non-Blocking Issue
Configuration
N/A
Change
N/A
Total Result 3
 3.5

N/A 3 Resolved

2.5

2
5 12
1.5 5 12
1 4
1 3
0.5
1
0 2
B efo r e

N/A
A ft e r

To t al R e. . .
2 4
2
7 12
 N/A

To t al R e. . .
S No. Module Description

1 Engagement Planning MMBL to share format for Engagement Communication Letter

Audit Rating calculations needed to be updated as per the excel
2 Draft Report sheet provided by Mazhar Hussain on 13 January 2021
3 Draft Report Error in generated file: Consolidated annexure File

Following columns should not appear for Non-Branch Auditable

Entities:

- Locker branch
- Entity parent branch
4 Audit Universe - No. of Islamic Windows

Currently three possible values (High, Medium, Low) is available for

Risk Assessment. Same LOV is also being used in Exception Risk
Rating. MMBL require separate LOV for Risk Assessment as
currently there are 5 values for Risk Assessment which is Critical,
5 Risk Assessment Mechanism High - Medium, High, Medium, Low)

At Audit Universe, there are 49 auditable entities, but generated

6 Annual Audit Plan plan contains 122 auditable entities, which is wrong
7 Audit Execution The observation details text must be a mandatory field

System is accepting resolution target date a past date. It must be

8 Audit Execution
9 Engagement Planning
10 Engagement Planning
current or future date
MMBL to share format for Engagement Letter (APM - Audit
Planning Memorandum)
email alerts should be generated when share with auditee and
when auditee provides any information request.

11 Engagement Planning System should be able to upload csv file in data sampling.
 Following additional observation statuses need to be added:

- For Management Information

- Noted for future compliance
The observations marked as "For Management
Information"/"Noted for Future Compliance" will be followed with
Auditee (Before Report Release) for Management Comment only
but will not move for Rectification and Follow-up (After Report
12 Audit Execution Release).

13 Process Library Unable to download process template

Entire risk management exercise is currently being entered through
system, whereas manual import/export/template option is not
14 Risk Assessment available.

While clubbing system should alert in case of duplicate observation

15 Audit Execution code.

Currently system extracted report formatting was not up to the

required mark as lines/rows were not aligned, table format was not
aligned. Further text font should be standardized for all the
16 Draft Report reports. MMBL to provide filled report with dummy data.
Team Member is not able to submit observations back to
17 Compliance compliance head
Table doesn’t appear properly formatted in auditee response excel
18 Draft Report file.

Track changes option should be available for team member to track

19 Audit Execution changes by his/her supervisor.

The available sections are Executive Summary and Detailed

Observation, the newly added section should print after the pre-
20 Draft Report defined section ends not at the start of the section.

Risk Rating Model of branch audit is pending

MMBL to finalize internally then proposed date for discussion with
21 Draft Report RRS.
While providing data for go-live, MMBL need to make sure to
22 Administration upload Process owner and process critically
 UAT Findings
Timeline
(Before/ After Go-
Nature Live) RRS - Status MMBL - Status

Non-Blocking Issue Before Resolved Verified

Change Before Resolved Verified

Non-Blocking Issue Before Resolved Verified

Change Before Resolved Verified

Configuration Before Resolved Verified

Blocking Issue Before Resolved Verified

Change Before Resolved Verified

Non-Blocking Issue Before N/A N/A

Blocking Issue Before Resolved Verified

Change Before Resolved Verified

Change After Pending Pending

 Change Before N/A N/A

N/A Before N/A N/A

Change After Pending Pending

Change Before N/A N/A

Blocking Issue Before Resolved Verified

Blocking Issue Before Resolved Verified

Non-Blocking Issue Before Resolved Verified

Change After Pending Pending

N/A Before N/A N/A

N/A N/A N/A N/A

Configuration N/A N/A N/A

Overall Item
Status RRS - Comments

Closed

Closed
Closed

Closed

Closed

Closed
Closed
Should be managed by internal
review process. Change not
suggested.
Closed

Closed

Closed
Beyond project scope as it is not
mentioned during gap phase. To be
discussed after go-live.
Open
 Beyond project scope as it is not
mentioned during gap phase. To be
discussed after go-live.

Closed
Network issue. Template is
Closed downloading.
Beyond project scope as it is not
mentioned during gap phase.
Open
Should be managed by internal
review process. Change not
suggested.
Closed

Closed

Closed

Closed
Beyond project scope as it is not
mentioned during gap phase. To be
discussed after go-live.
Open
Technical limitation, text added to
sections always prints above the text
coming from the report template

Closed

Closed

Closed