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Opportunities Exist for SEC to Improve Its Controls over Financial Systems and Data
. In carrying out its mission, the SEC relies on computerized information systems to collect, process, and store sensitive information, including financial data. Having effective information security controls ... of the commission’s fiscal years 2015 and 2014 financial statements. GAO’s objective was to determine the effectiveness of information security controls for protecting the confidentiality, integrity, and availability ... of SEC’s key financial systems and information. To do this, GAO examined information security policies, plans, and procedures; tested controls over key financial applications; interviewed agency officials ... IT security basics under scrutiny ... Financial audit by US GAO was accompanied by an IT examination focused on information security measures in the Securities and Exchange Commission (SEC). GAO found that SEC’s systems could ... be compromised, because of risks jeopardizing the confidentiality, integrity, and availability of sensitive financial information.
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. In carrying out its mission, the SEC relies on computerized information systems to collect, process, and store sensitive information, including financial data. Having effective information security controls ... of the commission’s fiscal years 2015 and 2014 financial statements. GAO’s objective was to determine the effectiveness of information security controls for protecting the confidentiality, integrity, and availability ... of SEC’s key financial systems and information. To do this, GAO examined information security policies, plans, and procedures; tested controls over key financial applications; interviewed agency officials ... IT security basics under scrutiny ... Financial audit by US GAO was accompanied by an IT examination focused on information security measures in the Securities and Exchange Commission (SEC). GAO found that SEC’s systems could ... be compromised, because of risks jeopardizing the confidentiality, integrity, and availability of sensitive financial information.
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General Accountability Office
, issued in 2016
Risk cases: 5
IT Support in the Judicial Chain
The Swedish National Audit Office has examined how well agencies in the judicial chain have handled known flaws in their IT support and whether the Government’s control mechanisms have provided ... the agencies with sufficient prerequisites to expand and improve IT support. ... ... Needed: good conditions by government, better steering and control by authorities ... . The authorities, in their turn, need to improve their steering and control, as well as interact to a much higher degree. ... Despite many years’ of work to modernize the IT support within the judiciary, there are still many deficiencies. The Government has not given the authorities good conditions enough to lead the work
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The Swedish National Audit Office has examined how well agencies in the judicial chain have handled known flaws in their IT support and whether the Government’s control mechanisms have provided ... the agencies with sufficient prerequisites to expand and improve IT support. ... ... Needed: good conditions by government, better steering and control by authorities ... . The authorities, in their turn, need to improve their steering and control, as well as interact to a much higher degree. ... Despite many years’ of work to modernize the IT support within the judiciary, there are still many deficiencies. The Government has not given the authorities good conditions enough to lead the work
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Swedish National Audit Office
, issued in 2011
Risk cases: 3
The Shared Services Centre
The necessary environment for the efficient management of the Shared Service Center is lacking The department's administration of the Shared Services Centre (SSC) has been effective for sharing resources between the departments and delivering selected back-office services to a small client base. However, the governance arrangements established to oversight the SSC have not positioned it well for the future and the departments have not yet determined if the arrangement is efficient and resulting in savings. ANAO found instances where the advisory board of SSC was not consulted or involved in decisions relating to the strategic direction, financial arrangements and expenditure priorities. Information reported to the board did not focus on areas of strategic importance and the quality and completeness of this information could be improved. The mechanisms established for setting out responsibilities and obligations and ensuring transparency for services delivered by the SSC was weak. Service standards and levels were not fixed and can change. The delineation of responsibilities between the SSC and its clients was not clear and there was no commitment by the SSC to certify the quality of its control framework.
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The necessary environment for the efficient management of the Shared Service Center is lacking The department's administration of the Shared Services Centre (SSC) has been effective for sharing resources between the departments and delivering selected back-office services to a small client base. However, the governance arrangements established to oversight the SSC have not positioned it well for the future and the departments have not yet determined if the arrangement is efficient and resulting in savings. ANAO found instances where the advisory board of SSC was not consulted or involved in decisions relating to the strategic direction, financial arrangements and expenditure priorities. Information reported to the board did not focus on areas of strategic importance and the quality and completeness of this information could be improved. The mechanisms established for setting out responsibilities and obligations and ensuring transparency for services delivered by the SSC was weak. Service standards and levels were not fixed and can change. The delineation of responsibilities between the SSC and its clients was not clear and there was no commitment by the SSC to certify the quality of its control framework.
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The Australian National Audit Office
, issued in 2016
Risk cases: 2
FEMA Needs to Address Management Weaknesses to Improve Its Systems
Controls in emergency management GAO audited the agency of the Department of Homeland Security, responsible for federal efforts to mitigate, respond to, and recover from disasters. American auditors recommend that the agency fully define its investment board’s roles and responsibilities and procedures for selecting and overseeing investments, update its strategic plan and complete plans for IT modernization, and establish time frames for completing workforce planning efforts. The agency should also establish policies and guidance for implementing key IT management controls.
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Controls in emergency management GAO audited the agency of the Department of Homeland Security, responsible for federal efforts to mitigate, respond to, and recover from disasters. American auditors recommend that the agency fully define its investment board’s roles and responsibilities and procedures for selecting and overseeing investments, update its strategic plan and complete plans for IT modernization, and establish time frames for completing workforce planning efforts. The agency should also establish policies and guidance for implementing key IT management controls.
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General Accountability Office
, issued in 2016
Risk cases: 4
Management of IT security in systems outsourced to external suppliers
Security to be improved in IT processes outsourced to external suppliers When IT processes are outsourced to external suppliers, the authorities no longer have direct control of the IT security, but remain responsible for managing the security of the IT. Authorities that fail to manage IT security actively based on risk assessments, and omit to monitor the implementation of these requirements, will not be able to determine if the level of IT security in the outsourced systems safeguards their systems and data. This is how the conclusion of the Rigsrevisionen starts. The Danish auditors noticed improvement in the audited entities, but they add that tha majority of the auditees: can refine their requirements for and follow-up on access control and logging practices
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Security to be improved in IT processes outsourced to external suppliers When IT processes are outsourced to external suppliers, the authorities no longer have direct control of the IT security, but remain responsible for managing the security of the IT. Authorities that fail to manage IT security actively based on risk assessments, and omit to monitor the implementation of these requirements, will not be able to determine if the level of IT security in the outsourced systems safeguards their systems and data. This is how the conclusion of the Rigsrevisionen starts. The Danish auditors noticed improvement in the audited entities, but they add that tha majority of the auditees: can refine their requirements for and follow-up on access control and logging practices
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National Audit Office of Denmark
, issued in 2016
Risk cases: 3
Coordinated Audit on Information Technology Governance
IT governance needs awareness and SAIs' support The OLACEFS auditors found that the greatest challenge for the SAIs is to raise the awareness of the audit institutions about the importance of IT governance and the benefits that could be obtained by improving its degree of maturity. The audit was conducted by 11 SAIs and coordinated by TCU of Brasil. They concluded: 'It is important, even urgent, to invest resources to implement or enhance: the IT committees; the IT planning process; strategic IT planning; monitoring the IT contracting process; the business continuity plan; the designation of a responsible person or unit to manage security information; a risk management process; an asset inventory process; an information security committee; and a policy for access control.'
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IT governance needs awareness and SAIs' support The OLACEFS auditors found that the greatest challenge for the SAIs is to raise the awareness of the audit institutions about the importance of IT governance and the benefits that could be obtained by improving its degree of maturity. The audit was conducted by 11 SAIs and coordinated by TCU of Brasil. They concluded: 'It is important, even urgent, to invest resources to implement or enhance: the IT committees; the IT planning process; strategic IT planning; monitoring the IT contracting process; the business continuity plan; the designation of a responsible person or unit to manage security information; a risk management process; an asset inventory process; an information security committee; and a policy for access control.'
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Risk cases: 5
Prevention Activities Against Traffic Accidents
traffic accidents, which are dramatically leading to loss of life and property. Examination and evaluation of the Traffic Information Systems (TIS) under the traffic control headline. TIS' main purpose ... is to conduct the traffic control activities efficiently with the help of systematic data. Objective of this audit was to contribute to the continuous improvement of prevention activities against traffic ... Performance Audit Studies covering certain IT Issues related to Prevention Activities Against Traffic Accidents. It aims to contribute to the continuous improvement of prevention activities against ... ... ... You need a way more than IT, to make an IT system successful ... SAI of Turkey examined the Traffic Information Systems and found out that not only IT infrastructure determined the audited IT project's outcomes. There were also non-IT issues that decided: low ... quality of driving education, poor technical infrastruture, as well as lack of monitoring and coordination at prioritization stage.
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traffic accidents, which are dramatically leading to loss of life and property. Examination and evaluation of the Traffic Information Systems (TIS) under the traffic control headline. TIS' main purpose ... is to conduct the traffic control activities efficiently with the help of systematic data. Objective of this audit was to contribute to the continuous improvement of prevention activities against traffic ... Performance Audit Studies covering certain IT Issues related to Prevention Activities Against Traffic Accidents. It aims to contribute to the continuous improvement of prevention activities against ... ... ... You need a way more than IT, to make an IT system successful ... SAI of Turkey examined the Traffic Information Systems and found out that not only IT infrastructure determined the audited IT project's outcomes. There were also non-IT issues that decided: low ... quality of driving education, poor technical infrastruture, as well as lack of monitoring and coordination at prioritization stage.
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Turkish Court of Accounts
, issued in 2008
Risk cases: 4
Federal Human Resources Data
Internal control weaknesses may put mission at risk GAO audited the Enterprise Human Resources Integration payroll data warehose. The American auditors pointed at problems that may impede 'leverage of these data to meet its mission and allow others to make full use' of them. The critical internal contols areas to be improved in this cas are: completeness, accuracy, and validity of information, authorization, documentation, monitoring, results' evaluation.
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Internal control weaknesses may put mission at risk GAO audited the Enterprise Human Resources Integration payroll data warehose. The American auditors pointed at problems that may impede 'leverage of these data to meet its mission and allow others to make full use' of them. The critical internal contols areas to be improved in this cas are: completeness, accuracy, and validity of information, authorization, documentation, monitoring, results' evaluation.
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General Accountability Office
, issued in 2016
Risk cases: 2
Working of Inland Container Depots and Container Freight Stations
NEW! Online report on audit of SAI India With this first digital audit report of the Comptroller and Auditor General of India, new chapter has been opened in our profession: the online form is primary versus printable pdf. Advantages: high level of readability, live responsive charts, easy browsing and search of what users find interesting. The reported performance audit concerned 'dry ports', or multimodal logistics centres, which play growing role in domestic and international trade. It shows how gaps in concept and lax attitude to internal control can result on capacities, speed of trade, and enviromental safety.
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NEW! Online report on audit of SAI India With this first digital audit report of the Comptroller and Auditor General of India, new chapter has been opened in our profession: the online form is primary versus printable pdf. Advantages: high level of readability, live responsive charts, easy browsing and search of what users find interesting. The reported performance audit concerned 'dry ports', or multimodal logistics centres, which play growing role in domestic and international trade. It shows how gaps in concept and lax attitude to internal control can result on capacities, speed of trade, and enviromental safety.
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Comptroller and Auditor General of India
, issued in 2017
Risk cases: 5
Effectiveness of the execution of the eHealth project
The Court of Audit of the Republic of Slovenia has audited how effectively the Ministry of Health had managed the project eHealth - the national plan for developing information system support ... to the national public health system in the period between 1st of January 2004 and 26th of September 2013. The audit has focused on the effectiveness of the Ministry in achieving the project’s goals, time ... management, management of the human resources and financial oversight. The goal of the Ministry was to implement a modern information system, which would support secure eHealth operations and effective ... ... Clear concept, good planning and financial control are indispensable conditions for a successful IT project ... The Court of Audit of the Republic of Slovenia analysed a Government eHealth project. Its goal was to implement a modern information system, which would support the health services and health related ... data. The Court has pointed at a long list of project management fundamentals to be corrected.
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The Court of Audit of the Republic of Slovenia has audited how effectively the Ministry of Health had managed the project eHealth - the national plan for developing information system support ... to the national public health system in the period between 1st of January 2004 and 26th of September 2013. The audit has focused on the effectiveness of the Ministry in achieving the project’s goals, time ... management, management of the human resources and financial oversight. The goal of the Ministry was to implement a modern information system, which would support secure eHealth operations and effective ... ... Clear concept, good planning and financial control are indispensable conditions for a successful IT project ... The Court of Audit of the Republic of Slovenia analysed a Government eHealth project. Its goal was to implement a modern information system, which would support the health services and health related ... data. The Court has pointed at a long list of project management fundamentals to be corrected.
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Court of Audit of the Republic of Slovenia
, issued in 2013
Risk cases: 5