QUESTION 1
a) Response to E-mail 1: Answering Patricia Miller's Queries
i) Matter 1: Control Weaknesses in the Sales Process
Weakness Identified Recommendation to Address the Weakness
Orders are recorded Implement a digital order management system to track
manually on paper orders electronically from start to finish.
Handwritten orders are Maintain an electronic record of all orders to provide a
discarded after invoicing clear audit trail and reference for disputes.
Orders are kept at the Designate a secure storage area for orders awaiting
sales rep's desk before pickup by the courier to prevent mix-ups or theft.
dispatch
Lack of confirmation of Introduce a process where the customer receives an
order receipt by the order confirmation via email or SMS to verify the details.
customer
ii) Matter 2: Additional physical and logical access controls
Based on the feedback, the focus should be on physical access controls:
Physical Access Controls
Control visitor access to the warehouse by requiring all visitors to sign in and be
escorted at all times.
Limit access to sensitive areas to authorized personnel using biometric systems or
secure key cards.
Install Closed Circuit Television (CCTV) cameras at all entry points to monitor and
record activity.
a) Response to E-mail 1: Answering Patricia Miller's Queries
i) Matter 1: Control Weaknesses in the Sales Process
Weakness Identified Recommendation to Address the Weakness
Orders are recorded Implement a digital order management system to track
manually on paper orders electronically from start to finish.
Handwritten orders are Maintain an electronic record of all orders to provide a
discarded after invoicing clear audit trail and reference for disputes.
Orders are kept at the Designate a secure storage area for orders awaiting
sales rep's desk before pickup by the courier to prevent mix-ups or theft.
dispatch
Lack of confirmation of Introduce a process where the customer receives an
order receipt by the order confirmation via email or SMS to verify the details.
customer
ii) Matter 2: Additional physical and logical access controls
Based on the feedback, the focus should be on physical access controls:
Physical Access Controls
Control visitor access to the warehouse by requiring all visitors to sign in and be
escorted at all times.
Limit access to sensitive areas to authorized personnel using biometric systems or
secure key cards.
Install Closed Circuit Television (CCTV) cameras at all entry points to monitor and
record activity.
