Select Your Role

👇 Click one of the cards below to customize your audit view

📋

Auditor Dashboard

Complete Compliance Analysis & Audit Opinion

🎯 Your Focus:

Provide comprehensive audit findings, assess compliance impact across frameworks, evaluate remediation recommendations, and generate audit reports for stakeholders.

📊 What You'll See:

Critical Issues - All control failures with complete context
Compliance Impact - Which frameworks affected and control status
Risk Assessment - Business, compliance, and audit risk scores
Remediation Plan - AI-recommended solutions with owners and deadlines

⚡ Key Action: Evaluate findings completeness, assess remediation adequacy, document audit trail, and prepare audit committee communication.

🔴

Phase 1: Audit Findings - Control Failures

❓ What control failures exist?

Goal: Review all identified control failures with complete context, severity assessment, and supporting evidence. Establish the baseline for your audit opinion on IT General Controls.

Document all control failures with evidence

Assess severity and risk levels

Map findings to control objectives

Verify data source and audit trail completeness

AUDIT EVIDENCE Audit Summary: Based on comprehensive analysis of 2,847 production tickets from the last 90 days, these control failures represent material weaknesses in DAMAC's IT General Controls. Each finding is supported by actual tickets with audit trails. Use Phases 2-4 to evaluate compliance impact, assess remediation adequacy, and prepare your audit committee communication.

AUDIT FINDINGS DAMAC PRODUCTION DATA REAL-TIME

340 Control Failures - Complete Audit Coverage
All Evidence Documented for Committee Review

Comprehensive Audit Evidence - Material Weaknesses Audit Period: Dec 2024

AUDIT OPINION: Material Weaknesses in IT General Controls Mapped to SOX, ISO 27001, and ITIL frameworks - Immediate remediation required

📋 SOX VIOLATION Change Management Control Failure: 23 changes without CAB approval (23 tickets, supporting evidence CHG-2847 and others)

📋 ISO 27001 VIOLATION Access Control Weakness: 24 admin access grants without documented approval - SOD violation risk

📋 ITIL DEFICIENCY Service Delivery Impact: 137 SLA breaches including 47 P1 incidents - control effectiveness failure documented

📋 REMEDIATION TRACKING Root Cause Not Addressed: 156 recurring Yardi issues - 5 root causes identified, 0 resolved in 90 days

Data Source: DAMAC ITSM Production DB | 2,847 tickets analyzed | Last 90 days | Synced just now

137 SLA Breaches

156 Recurring Issues

23 CAB Bypasses

24 Access Issues

Audit Evidence Feed

SOX Violation: Change Management 23 changes without CAB approval - material weakness indicator

2m ago

ISO 27001 Control Failure 24 access grants without approval - SOD violation risk

5m ago

ITIL Control Effectiveness: Low 137 SLA breaches - service delivery control not operating

12m ago

Remediation Tracking: 35% Complete 156 recurring issues - 5 root causes identified, 0 fixed in 90 days

18m ago

Material Weaknesses

Framework Violations

35%

Remediation Tracked

📋 Your Audit Responsibilities:

Phase 1 (Evidence): 340 control failures documented with SOX, ISO 27001, and ITIL compliance mappings
Phase 2 (Investigation): Deep-dive into root causes and patterns - identify if these are systemic control breakdowns or isolated incidents
Phase 3 (Impact Assessment): Evaluate material weakness classifications against the three frameworks and determine audit opinion (qualified vs. unqualified)
Phase 4 (Remediation Verification): Assess adequacy of management's remediation plans - are they sufficient to address root causes and timeline realistic?

🔎

Phase 2: Investigation & Analysis

Manager & Auditor

❓ Why is it wrong?

Goal: Dig deeper into each issue to understand scope, root causes, and patterns. See the details that explain why these control failures occurred.

Browse findings by category

Understand root causes

See affected tickets

Identify patterns

PHASE 2 Audit Evidence & Root Cause Analysis: Click on any control failure category below to examine the complete audit trail. Review patterns, recurring issues, and root causes. This analysis supports your assessment of whether issues are systemic control weaknesses or isolated incidents.

📊 Browse by Finding Category - Click on any category card below to see all detailed findings with supporting evidence. The count shows total incidents. Review the audit trail to verify completeness of evidence for your audit opinion formation.

Control Failure Categories - Evidence Summary

Complete Audit Trail Evidence Verified

5 Critical findings

Click "View Details" to see SOX violation evidence and assess for material weakness disclosure.

Top: Yardi Auth (156x)

Click "View Details" to see ISO 27001 evidence and segregation of duties risk assessment.

P1: 67% compliance

Click "View Details" to see ITIL control effectiveness evidence and service delivery impact assessment.

8 admin grants unapproved

Click "View Details" to review audit trail completeness and identify evidence gaps for audit opinion support.

28% tickets incomplete

Click "View Details" to assess adequacy of management's remediation plans and root cause resolution.

23 no CAB approval

Click "View Details" to review the material weakness assessment across all control areas and framework implications.

AI Risk Intelligence Agent

Ready to analyze

Analysis Configuration

Time Period

Analysis Type

Framework

Risk Threshold

Agent Execution Log Idle

[System] Risk Intelligence Agent initialized. Click "Run Comprehensive Analysis" to begin.

[Config] Connected to: DAMAC ITSM Database

[Config] AI Model: SCIKIQ AI

⚡

Phase 3: Impact Assessment

Auditor Only

❓ How serious is it?

Goal: Understand the business and compliance impact of these issues. See which frameworks are affected, which controls failed, and how they rank in terms of risk.

Understand compliance gaps

See control failure status

Review risk scores

Assess business impact

PHASE 3 Assess impact: This section shows how your findings map to compliance frameworks (SOX, ITIL, ISO 27001). See which controls are effective, which have deficiencies, and which represent material weaknesses. The risk heat map shows which systems are most problematic.

⚖️ Compliance & Control Status: Your issues affect specific regulatory controls. This section shows which frameworks are impacted (ITIL, ISO, SOX), which controls are failing, and the material weaknesses you need to report.

Regulatory & Framework Compliance

ITIL v4 Process Compliance

68 %

-5% from last month

INC.01 - Incident Logging 28% of major incidents missing root cause analysis

47 gaps

CHG.02 - Change Authorization 23 changes implemented without CAB approval

23 gaps

SLA.01 - Response Time P1 response SLA at 67% (target: 95%)

137 breaches

PRB.01 - Problem Management Problem tickets created for recurring issues

Compliant

ISO 27001 Security Controls

74 %

No change

A.9.2.3 - Access Rights Management 24 privileged access grants without documented approval

24 gaps

A.12.1.2 - Change Management Emergency changes exceeding 10% threshold

15 gaps

A.16.1.5 - Incident Response Security incidents escalated within SLA

Compliant

A.12.4.1 - Event Logging All security events logged and retained

Compliant

SOX IT General Controls

71 %

+3% from last month

ITGC.AC.01 - Access Provisioning Access to financial systems without proper authorization

12 gaps

ITGC.CM.02 - Change Testing Changes to Oracle Financials without UAT sign-off

8 gaps

ITGC.OP.03 - Incident Resolution Financial system incidents not prioritized correctly

5 gaps

ITGC.BC.01 - Backup & Recovery All financial data backups verified

Compliant

SOX Section 404

IT General Controls (ITGC) Testing Matrix

Management Assessment of Internal Controls over Financial Reporting

Audit Period: Q4 2024

24 Controls Effective

8 Control Deficiencies

3 Material Weaknesses

156 Tests Performed

Access to Programs and Data

Logical access controls, user provisioning, segregation of duties

2 Deficiencies 42 tests

ITGC-AC-01

User Access Provisioning

Access to financial applications requires documented approval from data owner

12 Exceptions Sample: 25

Deficiency

ITGC-AC-02

Termination Access Removal

Access removed within 24 hours of employee termination

45 Exceptions Sample: 50

Material Weakness

ITGC-AC-03

Privileged Access Review

Quarterly review of admin/privileged access to financial systems

0 Exceptions Sample: 15

Effective

ITGC-AC-04

Segregation of Duties

Conflicting access combinations reviewed and remediated quarterly

2 Exceptions Sample: 30

Effective

Program Change Management

Change authorization, testing, approval, and implementation controls

1 Material Weakness 38 tests

ITGC-CM-01

Change Authorization (CAB)

All changes to financial systems require CAB approval before deployment

23 Exceptions Sample: 45

Material Weakness

ITGC-CM-02

UAT Sign-off

Business owner sign-off required before production deployment

3 Exceptions Sample: 45

Effective

ITGC-CM-03

Segregation of Development

Developers cannot migrate changes to production

0 Exceptions Sample: 45

Effective

Computer Operations

Job scheduling, incident management, data backup and recovery

1 Deficiency 35 tests

ITGC-OP-01

Incident Response SLA

P1 incidents affecting financial systems resolved within 4 hours

47 Exceptions Sample: 60

Deficiency

ITGC-OP-02

Backup Verification

Daily backup of financial databases with weekly restore testing

0 Exceptions Sample: 30

Effective

Program Development

System development lifecycle, testing standards, documentation

All Effective 41 tests

ITGC-PD-01

SDLC Documentation

All new development follows documented SDLC methodology

1 Exception Sample: 20

Effective

Management's Assessment of Internal Control

Based on the assessment performed, management has identified the following material weaknesses in internal control over financial reporting as of December 31, 2024:

Access Control Weakness: Terminated employee access was not removed timely from 45 of 50 sampled terminations, representing a 90% exception rate.
Change Management Weakness: 23 changes to financial applications were deployed without required CAB approval, representing 51% of sampled changes.
Incident Response Weakness: 47 of 60 sampled P1 incidents affecting financial systems exceeded the 4-hour resolution SLA.

These material weaknesses existed as of December 31, 2024. Management is implementing remediation plans with target completion by Q1 2025.

Risk & Control Self-Assessment (RCSA)

IT Risk Assessment Matrix

Inherent vs Residual Risk after Controls

Critical (>80) High (60-80) Medium (40-60) Low (<40)

R-001

Unauthorized System Access

Inherent 85

Residual 65

AC-01 AC-02 AC-03

-20 pts

R-002

Unauthorized Changes to Production

Inherent 90

Residual 82

CM-01 CM-02

-8 pts

R-003

Data Loss / Corruption

Inherent 75

Residual 28

OP-02 OP-03

-47 pts

R-004

Service Unavailability

Inherent 70

Residual 62

OP-01

-8 pts

Risk Heat Map - Systems vs Categories

System / Category	SLA Breach	Recurring	Access	Change	Docs	Total Risk
Yardi Property Mgmt	89	156	12	5	45	307
Oracle Financials	34	28	24	18	23	127
Active Directory	18	45	32	8	12	115
Email Exchange	23	15	6	4	18	66
VPN Gateway	28	19	8	3	7	65

Critical (50+) High (30-49) Medium (15-29) Low (<15)

Risk Trend (6 Months)

Finding Distribution

🎯 Step 3: Detailed Evidence - This table shows every finding with supporting ticket evidence from your ITSM system. Click "View Tickets" to see the actual tickets proving each issue exists.

Audit Findings - Evidence from Database

Finding ID	Category	Description	Severity	Framework
AUD-001	SLA Breach	Critical P1 SLA breaches exceeding threshold What This Means: 47 P1 (critical priority) tickets breached the 4-hour resolution Service Level Agreement. Average breach time: 6.2 hours (156% over SLA). This indicates systematic gaps in incident response capability, particularly during evening/weekend hours (8PM-8AM). Business Impact: 🔴 Customer service disruption: Property management system down for residents in 3 developments (DAMAC Hills, DAMAC Marina, Crystals) 💰 Financial impact: ~$185K in estimated revenue loss from delayed unit sales/service disruptions ⚖️ Compliance risk: Violates ITIL SLA.01 control (DAMAC's own SLA commitments) 👥 Staff burnout: L2 support team working extended hours without overtime compensation Root Cause: Only 2 L2 incident managers covering 24/7 schedule (should be 3-4). Evening shift (6PM-6AM) has only 1 person. No escalation procedure when queue exceeds 3 incidents. How To Fix (30-day action plan): Week 1: Implement incident triage workflow - P1 tickets routed to senior engineer first, no queue buildup Week 1-2: Hire/contract 1 additional L2 support person for evening shift (6PM-2AM coverage) Week 2: Establish escalation triggers: if P1 queue > 2 incidents, auto-escalate to manager Week 3: Create P1 response playbook for Yardi (most breaches). Target: 15-min first response Week 4: Review and verify no new SLA breaches. Track 24/7 for 2 weeks before closure Owner & Timeline: VP Infrastructure (Decision maker) + L2 Manager (Executor). Decision needed this week. New hire by Jan 20. Full resolution by Feb 28.	Critical	ITIL SLA.01
AUD-002	Recurring	Yardi authentication failures - systemic root cause not addressed What This Means: The same authentication error (Token Refresh Failure: Code ERR_TOKEN_EXPIRED) has occurred 156 times over 90 days. Each time it's fixed temporarily (token restarted), but the root cause is never addressed. This is a CRITICAL problem management failure - Problem MGMT controls are broken. Business Impact: 🔴 Service instability: Property managers lose system access for 15-30 minutes, 156 times. Zero confidence in system reliability 💰 Financial impact: ~$320K in estimated lost productivity (156 incidents × 30 min × 15 property managers × $30/hour) ⚖️ Systemic risk: Problem Management control ITIL.PRB.02 is FAILED - indicates broken change/incident processes 👥 Operational burden: Same issue troubleshooted 156 times instead of solving it once Root Cause Analysis: Yardi API token expires every 24 hours but refresh mechanism doesn't auto-renew properly. Restart clears error for 24h, but underlying code bug in token lifecycle isn't fixed. Problem originally reported Aug 2024 but never escalated for permanent fix. How To Fix (45-day action plan): Day 1-3: Create Problem ticket PRB-2024-YARDI-TOKEN with priority HIGH. Assign to Yardi system owner + DBA Day 3-7: Root cause analysis: Debug Yardi API token lifecycle, identify why auto-refresh is failing Day 7-14: Implement permanent fix: Deploy code patch for token refresh mechanism + test in UAT Day 14-21: Deploy to production with 24-hour monitoring for any token errors Day 21-45: Monitor 3 weeks. If no errors, close problem. If errors occur, escalate to vendor (Yardi support) Action: Implement preventive measure: Auto-escalation if same error occurs 3x in one day (currently it's not escalated until manual notice) Owner & Timeline: Yardi System Owner (Decision) + Database Team (Executor). Root cause analysis required by Jan 12. Fix deployed by Jan 25. Closed by Feb 15.	Critical	ITIL PRB.02
AUD-003	Change Mgmt	Emergency changes without CAB approval or documentation What This Means: 23 changes marked as "Emergency" were deployed directly to production without going through the Change Advisory Board (CAB) review process. This bypasses approval controls. 8 of these affected financial systems (Oracle FICO, GL), 12 affected infrastructure (networking, databases). Only 5 had documented approval (email from manager - not formal). This is a CRITICAL control failure. Business Impact: ⚠️ Risk exposure: 23 unauthorized changes with unknown impact. Could have introduced security vulnerabilities, data corruption, or operational issues 💰 Financial risk: If any change caused financial data corruption/loss, liability could exceed $500K+. No rollback documentation for 18 of 23 changes 🔐 Security risk: Changes bypass change management controls (ISO 27001 A.12.1.2). Could hide unauthorized modifications or backdoors ⚖️ Audit/Compliance: MATERIAL WEAKNESS in Change Management control. Must be reported to external auditors and management. Affects SOX compliance 👥 Accountability gap: No traceability. Don't know exactly what changed, who approved it, or rollback procedures Root Cause: CAB process requires 5 days lead time. Teams use "Emergency" label to bypass this. VP Operations allows verbal approval. No automated control preventing emergency changes. No audit trail enforcement. How To Fix (60-day action plan): Week 1: Audit all 23 emergency changes: Document what changed, risk assessment, rollback plan. Get retroactive approvals where possible Week 1-2: Define Emergency threshold: ONLY production outages (down >30 min) + security incidents qualify. All other changes go to CAB Week 2: Create Fast-track CAB process: 24-hour approval for urgent changes (not emergency). Teams no longer have bypass option Week 2-3: Implement technical controls: Change management system blocks emergency classification without VP sign-off + written justification Week 3: Establish monitoring: Weekly CAB metrics. Alert if >2 emergency changes in same week Week 4: Train all teams on new process. Remove "Emergency" as a general bypass option Owner & Timeline: Chief Infrastructure Officer (Decision maker) + Change Manager (Executor). Must remediate within 30 days (audit expectation). Full control effectiveness by Day 60. Requires board-level sign-off on remediation timeline.	High	ISO A.12.1.2
AUD-004	Access Control	Privileged access granted without documented business justification What This Means: 24 admin/privileged access requests to financial systems were approved in the last 90 days without proper authorization documentation. Most had only IT manager approval (no business owner sign-off). Only 6 of 24 had documented business justification. No evidence of segregation of duty reviews. This violates SOX IT General Controls requirements. Business Impact: 🔐 Security risk: Privileged accounts could enable fraud, data theft, or unauthorized changes to financial records 💰 Financial/Audit risk: SOX non-compliance can result in material weaknesses & restatement. Auditor will require evidence of compensating controls ⚖️ Regulatory exposure: If a breach occurs from privileged account access, DAMAC could be liable for regulatory fines + shareholder liability 👥 Insider threat exposure: 24 staff now have financial system admin access with no documented business reason 📋 Audit findings: Material Weakness in Access Control (IT.AC.01). Will appear on SOX audit report Root Cause: Access request form doesn't require business owner approval, only IT manager. No supervisor verification in workflow. IT automates approval based on template. No periodic access reviews to remove unnecessary privileges. How To Fix (45-day action plan): Week 1: Immediate action: Review 24 access grants, identify which are unjustified. Revoke at least 8-10 accounts with no documented need. Keep documentation of removal Week 1-2: For remaining 14-16 accounts: Get retroactive business owner approval or plan revocation Week 2: Update access request workflow: REQUIRE business owner sign-off + documented business justification (free-text reason) Week 2-3: Implement technical control: Access system blocks approval until business owner field is filled Week 3: Quarterly access review process: Every 90 days, all admins reviewed with managers + business owners. Unused access removed Week 4: Train all requesters + approvers on new SOX requirements. Document in policy manual Owner & Timeline: Chief Security Officer (Decision) + Identity Management Team (Executor). Critical remediation due by Feb 15 for SOX audit. Quarterly reviews must start by March 31.	High	SOX ITGC.AC.01
AUD-005	Documentation	Incomplete incident documentation affecting audit trail What This Means: 312 of 1,115 tickets (28%) were closed without proper documentation. Specifically: 189 missing resolution notes, 156 missing root cause analysis, 98 missing workaround details. These gaps break the incident management audit trail and prevent knowledge reuse (causing repeated incidents). Violates ITIL INC.01 control requirements. Business Impact: 🔄 Repeated incidents: Without documented root causes, same issues happen repeatedly (AUD-002 - Yardi auth - is partly due to this) ⏱️ Inefficiency: New team members can't reference past solutions. Resolve time is longer, costing ~$80K/year in extra labor ⚖️ Audit trail broken: Cannot trace what happened, when, why, or who did it. Fails audit requirement for incident management proof 💰 Knowledge loss: When staff leaves, their incident knowledge leaves with them. Zero organizational memory 📊 Business intelligence: Cannot analyze trends (which systems fail most, which teams are slowest, etc.) - decisions are guessed Root Cause: Closing tickets is rush process - staff wants to mark "done" and move to next ticket. Incident management tool doesn't require resolution notes (fields are optional). Managers don't enforce documentation. No audit of documentation completeness before ticket closure. How To Fix (30-day action plan): Week 1: Immediate: Make "Resolution Notes", "Root Cause", "Workaround" REQUIRED fields in incident management tool. Cannot save/close ticket without them filled Week 1-2: Retroactive action: Go back 30 days (318 recent tickets). Contact resolving engineer for missing documentation. Get it entered or reopen ticket Week 2: Create documentation standards: Examples of good "Root Cause" (technical analysis, not just "fixed it"). Templates for common issue types Week 2-3: Manager oversight: Every Friday, L1/L2 manager reviews closed tickets from their team. Checks for complete documentation. Sends back incomplete ones for rework Week 3-4: Training: 1-hour workshop for all support staff. How to write good root cause analysis. Show examples of good/bad documentation Week 4: Monitor: Weekly report of documentation completeness % by team. Target: 100% of new tickets. Publicize results Owner & Timeline: Incident Manager (Decision maker) + IT Support Manager (Executor) + System Admin (technical changes). Documentation requirement must go live by Jan 20 (15 days). Retroactive work by Jan 27. Ongoing monitoring starts Feb 1.	Medium	ITIL INC.01
AUD-006	Escalation	Management escalation delays impacting business operations What This Means: 89 tickets that required urgent escalation to management were delayed by an average of 18 hours from when the escalation request was made. Root cause: The escalation procedure is not documented clearly for night shift (6PM-8AM). L1 support team doesn't know who to call when manager is offline. Violates ITIL INC.05 escalation requirements. Business Impact: ⏰ Extended downtime: 18-hour delay on critical tickets = problems stay broken longer. Average cost: $4,200 per 18-hour delay 💰 Financial impact: 89 tickets × $4,200 = ~$374K in cost from extended downtime 😤 Customer frustration: Residents can't reach help when problem occurs (evening/night). Feel abandoned. Complaint letters received from 3 building residents 👥 Staff stress: Night shift staff unsure what to do, so problems languish. Creates burnout and high turnover (2 resignations in last quarter) ⚖️ Compliance: ITIL INC.05 requires escalation path within 2 hours for critical issues. Current 18-hour delay is massive violation Root Cause: Escalation process not documented for off-hours. Only day shift manager knows procedure. Night shift staff have no escalation runbook. On-call rotation exists but nobody knows how to trigger it. No automated escalation email/SMS sent when escalation is requested. How To Fix (20-day action plan): Day 1-3: Create escalation runbook: Who to call for what issue type, at what hour. Include home phone numbers for on-call rotation (encrypted). Distribute to all L1 staff Day 1-3: Set up automated escalation: When L1 marks "Escalation Required" checkbox, automatically SMS + email on-call manager. Include ticket details Day 3-5: Train night shift (6PM-8AM staff): 30-minute training on escalation process. Walk through 3 example scenarios Day 5: Create quick-reference card: Print card with escalation contacts and procedures. Post in IT ops area + send to everyone Day 5-10: Implement escalation SLA: Manager must acknowledge escalation within 15 minutes. Track and report weekly Day 10-20: Monitor: Check first 10 escalations. Verify 15-min response time. If missed, immediate retraining Owner & Timeline: IT Operations Manager (Escalation procedure owner) + System Admin (automation setup). Escalation runbook due by Jan 18. Automated SMS/email by Jan 22. Training done by Jan 25. Monitoring ongoing weekly.	High	ITIL INC.05

Showing 1-10 of 340 findings

Items per page:

AI-Generated Remediation Recommendations

Immediate Action

Implement Proactive SLA Monitoring & Auto-Escalation

Deploy real-time SLA tracking with automated alerts at 50%, 75%, 90% thresholds. Auto-escalate to Team Lead at 90% and Manager at 100%.

Est. 60% reduction in SLA breaches

Addresses: AUD-001, AUD-006

IT Operations Manager ServiceNow Admin

High Priority

Enforce Change Advisory Board Workflow

Implement mandatory CAB approval gates in ServiceNow. Emergency changes require documented justification and post-implementation review within 48 hours.

100% CAB compliance achievable

Addresses: AUD-003, ISO A.12.1.2

Change Manager IT Director

Medium Priority

Root Cause Analysis Automation for Recurring Issues

Configure AI-powered pattern detection to automatically create Problem tickets when issues recur 3+ times. Link to knowledge base for permanent solutions.

Est. 40% reduction in recurring incidents

Addresses: AUD-002, Yardi issues

Problem Manager Application Team

✅

Phase 4: Solution & Action

Auditor Only

❓ What do we do?

Goal: Create your remediation action plan. See AI-recommended solutions, assign owners, set deadlines, and communicate findings to stakeholders. Transform findings into actionable fixes.

Review remediation recommendations

Create action items

Assign owners & deadlines

Generate audit reports

PHASE 4 Create your action plan: The Action Center below provides one-click actions to move from findings to solutions. Generate an audit report for management, create ServiceNow remediation tasks, send executive summaries, or schedule a risk review meeting to discuss priorities and ownership.

🎯 One-Click Actions - Use the action cards below to execute on your findings. Each action integrates with your systems (PDF reports, ServiceNow task creation, email notifications) to streamline remediation.

Action Center - Take Immediate Action

One-Click Actions

Generate Audit Report

Create comprehensive PDF report with all findings, evidence, and recommendations for management review.

~30 seconds PDF Export

Schedule Risk Review Meeting

Auto-create calendar invite with key stakeholders and pre-populated agenda based on current findings.

5 stakeholders Outlook

Create Remediation Tasks

Automatically create ServiceNow tasks for all critical findings with assigned owners and due dates.

6 tasks ServiceNow

Email Executive Summary

Send one-page executive summary to IT Director and CIO with risk scorecard and key action items.

C-Level Email

Export All Data to Excel

Download complete findings, evidence tickets, compliance scores, and trends in Excel format.

5 worksheets XLSX

Configure Risk Alerts

Set up automated alerts when risk thresholds are exceeded or new critical findings are detected.

Real-time Slack/Email

6 Critical Actions Pending

48h Until Next Audit Review

12 Actions Completed This Week

3 Owners Assigned

Ticket ID	Created	Priority	Description	SLA Status	Resolution

Auditor Dashboard

Phase 1: Audit Findings - Control Failures

340 Control Failures - Complete Audit Coverage All Evidence Documented for Committee Review

Phase 2: Investigation & Analysis

Control Failure Categories - Evidence Summary

SOX IT Controls: Change Management Failures 23 changes without CAB approval - Material weakness in change control 23 violations

SOX IT Controls: Change Management Failures

ISO 27001 Violations: Access Control & SOD 24 unapproved access grants - Segregation of Duties violations 24 violations

ISO 27001 Violations: Access Control & SOD

ITIL Control Failure: Service Delivery 137 SLA breaches - Control not operating effectively over period 137 breaches

ITIL Control Failure: Service Delivery

Audit Evidence Gaps: Documentation & Trail 312 items - Incomplete audit trail limits evidence quality for opinion 312 gaps

Audit Evidence Gaps: Documentation & Trail

Remediation Adequacy: Root Cause Analysis 156 recurring issues - 5 root causes identified, 0 fixed (90 days) 156 recurring

Remediation Adequacy: Root Cause Analysis

Control Environment: Material Weakness Summary 4 material weaknesses identified across frameworks - Audit opinion impact 4 material

Control Environment: Material Weakness Summary

AI Risk Intelligence Agent

Analysis Configuration

Phase 3: Impact Assessment

Regulatory & Framework Compliance

ITIL v4 Process Compliance

ISO 27001 Security Controls

SOX IT General Controls

IT General Controls (ITGC) Testing Matrix

Access to Programs and Data

Program Change Management

Computer Operations

Program Development

Management's Assessment of Internal Control

Risk & Control Self-Assessment (RCSA)

IT Risk Assessment Matrix

Unauthorized System Access

Unauthorized Changes to Production

Data Loss / Corruption

Service Unavailability

Risk Heat Map - Systems vs Categories

Risk Trend (6 Months)

Finding Distribution

Audit Findings - Evidence from Database

AI-Generated Remediation Recommendations

Implement Proactive SLA Monitoring & Auto-Escalation

Enforce Change Advisory Board Workflow

Root Cause Analysis Automation for Recurring Issues

Phase 4: Solution & Action

Action Center - Take Immediate Action

Generate Audit Report

Schedule Risk Review Meeting

Create Remediation Tasks

Email Executive Summary

Export All Data to Excel

Configure Risk Alerts

Evidence Details

Risk Category Details

340 Control Failures - Complete Audit Coverage
All Evidence Documented for Committee Review