State Leadership Accountability Act

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Presentation transcript:

State Leadership Accountability Act Department of Finance Office of State Audits and Evaluations 1

Agenda Overview of SLAA Top Ten Risks in 2015 Challenges From 2015 Trends Resources Controls Challenges From 2015 Upcoming Activities Question and Answer

What is SLAA Legal Requirement for Management to do the Following With Internal Controls: Establish Monitor Maintain Report

Government Code Sections What is SLAA Government Code Sections 13400-13407

What Changed in 2015 Launch of Web Portal Defined Risks Ongoing Monitoring Section

What is SLAA

2015 SLAA Summary 112 reports received 596 risks reported 97 entities contacted for clarification/revision

Most Common Risk 2015

Key Person Dependence, Succession Planning Common Controls Develop a Succession Plan Follow Existing Succession Plan Train/Cross-Train Staff Write/Update Policies & Procedures

Key Person Dependence, Succession Planning CalHR Workforce Planning Resources http://www.calhr.ca.gov/state-hr-professionals/Pages/workforce-planning.aspx

2nd Most Common Risk 2015

FI$Cal Conversion FI$Cal Forums http://www.fiscal.ca.gov/resources/fiscalforum.html

3rd Most Common Risk 2015

4th Most Common Risk 2015

California Information Security Office Data Security Data Breaches Visual http://www.informationisbeautiful.net/visualizations/worlds-biggest-data-breaches-hacks/ California Information Security Office http://www.cta.ca.gov/ois/

5th Most Common Risk 2015

6th Most Common Risk 2015

7th Most Common Risk 2015

8th Most Common Risk 2015

8th Most Common Risk 2015 http://slge.org/wp-content/uploads/2016/05/State-and-Local-Government-Workforce-2016-Trends.pdf

9th Most Common Risk 2015

10th Most Common Risk 2015

Other was Number 1 Risk Factor Challenges in 2015 Other was Number 1 Risk Factor Broad vs Narrow Definitions Finding the Right Risk Factor

Challenges in 2015 Ongoing Monitoring Process Limited to Reported Risks? What is Fully Implemented?

Risk Assessment Process Challenges in 2015 Risk Assessment Process Who Should Be Involved? What Criteria Was Used to Determine Reported Risks?

Challenges in 2015

Upcoming Activities June 30, 2016 Corrective Action Plans Preliminary Plans for Roundtable Meetings Refining Risk Definitions Web Portal Improvements Recording Training

Questions

Contacting SLAA http://dof.ca.gov/osae/fisma/ SLAAHotline@dof.ca.gov

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