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Mission Statement

Mission Statement. To provide support and guidance to state internal auditors, management, and other interested parties through the exchange of relevant information, best practices, and tools to enhance the quality of reviews and operations. Survey Results from September 14 Meeting.

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Mission Statement

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  1. Mission Statement To provide support and guidance to state internal auditors, management, and other interested parties through the exchange of relevant information, best practices, and tools to enhance the quality of reviews and operations

  2. Survey Results fromSeptember 14 Meeting Randy McClendon

  3. Senate Bill 617 Introduced by Senator Calderon on February 2011 Amended September 2011 Approved by the Governor on October 5, 20ll Amends 13401-13407

  4. Changes to Section 13401 • Active oversight processes, including regular and ongoing monitoring process, for the prevention and early detection of fraud and errors in program administration are vital to public confidence and the appropriate and efficient use of public resources.

  5. Changes to Section 13401 • Systems of internal accounting and administrative control are necessarily dynamic and must be routinely monitored, continuously evaluated, and, where necessary improved. • Reports regarding the continuing adequacy of the systems of internal accounting and administrative control of each state agency are necessary to enable the executive branch, the Legislature, and the public to evaluate the agency’s performance of its public responsibilities and accountability.

  6. Changes to Section 13401 • All levels of management of the state agencies must be involved in assessing and strengthening the systems of internal accounting and administrative control to minimize fraud, errors, abuse, and waste of government funds.

  7. Changes to Section 13402 • State agency heads shall implement systems and processes to ensure the independence and objectivity of the monitoring of internal accounting and administrative control as an ongoing activity.

  8. Changes to Section 13405 • The report, including the state agency’s response to review recommendations, shall be signed by the head of the agency and addressed to the agency secretary, or the director of the agency and submitted to the Legislature, BSA, Controller, Treasurer, Attorney General, Governor, Finance, and the State Library.

  9. Changes to Section 13407 • Because sound internal accounting and administrative controls and the regular and ongoing monitoring of those internal controls significantly inhibits waste of resources and thereby creates savings, Finance and agencies/ divisions shall carry out the provisions using existing resources.

  10. How does SB 617 impact FISMA?

  11. It reinforces the risk assessment framework. • It reinforces the need to continuously monitor controls. • Requires more copies of the report (Controller, Treasurer, and Attorney General). • Does not really change the current process and reporting.

  12. Link to SB 617 • http://www.leginfo.ca.gov/pub/11-12/bill/sen/sb_0601-0650/sb_617_bill_20111006_chaptered.pdf

  13. Questions?

  14. Executive Order B-12-11 • Issued October 9, 2011 • Departments need to post contract information on DGS’ eProcurement website. • Rescinds Executive Orders S-08-09 and S-20-09 immediately.

  15. Question Do departments need to post their FISMA report to the transparency website?

  16. Answer No

  17. Question Will Finance post the FISMA reports and/or Corrective Action Plans to their website?

  18. Answer NO. Finance will only post its own FISMA report.

  19. Question Does our department need to post its FISMA report and/or Corrective Action plan to its website?

  20. Answer No. The department can decide whether or not they want to. Depends on department policy.

  21. Link to Executive Order • http://gov.ca.gov/news.php?id=17274

  22. Questions?

  23. FISMA Group Exercise • Read the FISMA Report individually. (10 minutes) • Go into your small discussion groups. (20 minutes) • Discuss whether the report fully meets the criteria for each section. • If there are areas that doesn’t fully meet, state how it can be improved. • Would you accept or reject this report?

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