A Performance Audit
An Audit Report on Complaints Processes at the Alcoholic Beverage Commission
The Commission generally had processes and related controls to help ensure that it reviewed, investigated, and resolved complaints in accordance with applicable requirements. However, certain policies and procedures for complaints management and information technology should be strengthened.
The Commission generally had processes and related controls to help ensure that it managed complaints and complied with requirements for reviewing, investigating, and resolving complaints against businesses and employees.
COMPLAINTS POLICIES AND PROCEDURES
The Commission should strengthen its policies and procedures to ensure that all complaint allegations are tracked and reviewed consistently.
The Commission had sufficient controls related to change management and user roles and permissions in its information technology (IT) systems. It also maintained appropriate application controls in ARTS. However, the Commission had significant weaknesses in its controls over other IT areas.