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Vendor Due Diligence Red Flags - July 2017


Vendor Due Diligence Red Flags - July 2017


Control Review

1 For each of the items on the Control Review page, indicate whether or not the control is expected for this vendor, enter any relevant comments and indicate whether or not the control was sufficiently tested. If the control was sufficiently tested, leave the Residual Risk ratings blank. If the control was NOT tested sufficiently, select risk ratings using the dropdown boxes.
2 Items 56 to 61 may be customized by the reviewer to add additional controls. If the Expected column for items 56 to 61 is set to No, these rows will not be printed when the Print button is clicked.
3 The Summary section at the bottom of the checklist will provide totals for the Expected, Sufficient and Insufficient controls.
4 The information from this tab flows into question 10 in the SSAE-16 Checklist Tab.
5 Any high or critical risk deficiencies in this tab should be entered into the Risk Determination Table as a separate entry.

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