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Performance Audit of Human Resources Management Network (HRMN) Self-Service
Receives AOPTA Award for six months ended September 30, 2004
Scott Strong, Deputy Auditor General, is pleased to announce that the Performance Audit of Human Resources Management Network (HRMN) Self-Service, Department of Civil Service, is the winner of the AOPTA for the six months ended September 30, 2004. The audit team consisted of Shelly Fanson, Supervisor; Team Members Paul Jacokes and Lori Mullins; Steve Baker, Audit Division Administrator; and Melissa Schuiling, Audit Manager.
The Performance Audit of the HRMN Self-Service was a complex and technical audit. The audit team demonstrated excellence in several aspects of the audit including coordinating with multiple departments, researching technical security issues, focusing audit effort on high-risk areas, and communicating effectively with the agency throughout the audit and at the audit conference. Throughout the audit, the team exhibited creativity, enthusiasm, and objectivity that enabled them to effectively test the system.
The audit was conducted because of the upcoming (at that time) mandatory use of HRMN Self-Service by all State employees. The audit report contained 7 findings, including 3 material conditions. The findings disclosed serious weaknesses related to the risk of providing confidential State employee and dependent data over the internet, ineffective access and password controls over HRMN Self-Service, and insufficient web application security controls.
The significance of the findings was exemplified in a letter sent from the Auditor General to the Departments of Civil Service (DCS) and Information Technology immediately upon the auditors' identification of the weaknesses. The letter communicated the material weaknesses and the risks associated with the weaknesses including unauthorized access to personnel data; unauthorized changes to personnel data; disclosure of confidential data; and, ultimately, identity theft. The letter was sent in time for changes to be made to the system before the open enrollment period.
The first-time supervisor handled the audit remarkably well and exhibited excellent time management skills. Most notably, the audit was completed within budget and the letter to the department directors and the audit report were issued timely.
In response to the audit report, DCS enhanced the employee/manager password security system, changed its method of resetting passwords, and required all employees to complete their security profile. The audit received attention in the GONGWER and MIRS.
In recognition of their selection, the audit team members will be Mr. McTavish's guests for lunch, will have a letter of commendation placed in their personnel and evaluation files, and will have their names engraved on the AOPTA plaque that is prominently displayed in the OAG office.
Performance Audit of the Bureau of Local Government Services
Receives AOPTA Award for six months ended March 31, 2004
Scott strong, Deputy Auditor General, is pleased to announce that the Performance Audit of the Bureau of Local Government Services, Department of Treasury, is the winner of the AOPTA for the six months ended March 31, 2004. The audit team consisted of Beau Hill, supervisor, and team members Stacie Sampson, Hilary Goerge, and Julie Trierweiler.
The audit report contained 29 findings, including 16 material conditions. The findings disclosed uncollected State tax revenues and estimated additional revenues in the amounts of $82,800,000 and $36,100,000, respectively. Of the four objectives addressed within the report, the audit concluded that the Department was not effective for three of these objectives.
The audit team did a fine job of performing the various audit functions that resulted in a long, but excellent audit report. In particular, the audit team did an excellent job coordinating with a new administration within the Department and State government.
Also, the team demonstrated superior dedication as numerous exchanges of information occurred between the team and the Department in order to finalize an audit report of this caliber and impact.
With the identification of millions of dollars of uncollected tax revenues and estimated additional revenues, the report generated considerable legislative interest as displayed through legislative hearings and telephone inquires. The audit report eventually caught the eyes of the media where it received considerable exposure.
Performance Audit of Selected Probate Court Conservatorship Cases
Receives NLPES Award
Congratulations to Mike Becker, Audit Division Administrator; Elden Lamb and OAG retiree Ray Vernellis, Audit Managers; Lisa Pratt, supervisor; and team members: Shawna Hessling and former employee Theresa Barsch.
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This page was updated on 7/30/07.
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