3.10: Difference between revisions

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'''Attribute 3.10:''' Effective documentation assists in management's design of internal control by establishing and communicating the who, what, when, where, and why of internal control execution to personnel. Documentation also provides a means to retain organizational knowledge and mitigate the risk of having that knowledge limited to a few personnel, and to communicate that knowledge as needed to external parties, such as external auditors.
'''Attribute 3.10:''' Effective documentation assists in management's design of internal control by establishing and communicating the who, what, when, where, and why of internal control execution to personnel. Documentation also provides a means to retain organizational knowledge and mitigate the risk of having that knowledge limited to a few personnel, and to communicate that knowledge as needed to external parties, such as external auditors.
'''>>>Navigational Buttons<<<'''
* '''[[Index of Attributes]]'''
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=== Jamie's Story ===
__FORCETOC__
__FORCETOC__
=== [[March 12, 2026: This is How Maricopa County Wants to be Represented in Court|March 12, 2026: This is How Maricopa County Chose to be Represented in Court]] ===
 
==== [[June 25, 2025: Runbeck Contract Delivered]] ====
None of the contract changes fulfilled all of the criteria for this Attribute, which included the who, what, when, where, and why of internal control execution to personnel.
 
==== [[March 12, 2026: Maricopa County Defense Briefing]] ====
This specific discussion of a Potential Green Book Deviation is from a sub-section titled, ''Motor Vehicle Department Contract.''
This specific discussion of a Potential Green Book Deviation is from a sub-section titled, ''Motor Vehicle Department Contract.''


I had sought the contract between MC and the Motor Vehicle Department as a means to understand the logistics of the collection of sensitive voter registration information and subsequent transfer to the MC. I was not seeking the confidential information; I sought to understand the process. MC management and legal team claimed there were no written agreement to document this activity.
I had sought the contract between MC and the Motor Vehicle Department as a means to understand the logistics of the collection of sensitive voter registration information and subsequent transfer to the MC. I was not seeking the confidential information; I sought to understand the process. MC management and legal team claimed there were no written agreement to document this activity.


<u>Potential Green Book Deviation:</u>
Contrary to the Green Book, no documentation was created or retained to describe the logistic of data collection and transfer by the MVD. There certainly was inadequate information available to conduct an audit by external parties. I wasn't trying to perform an audit; I was trying to assess governance.


Contrary to the Green Book, no documentation was created or retained to describe the logistic of data collection and transfer by the MVD. There certainly was inadequate information available to conduct an audit by external parties. I wasn't trying to perform an audit; I was trying to assess governance.
==== [[June 1, 2026: Judge's Decision]] ====
Maricopa County employees were unable to answer the who, what, when, where, and why of internal controls. Nor were they required to produce documentation explaining internal controls because this was not a statutory requirement.
 
=== Election Anomalies ===
 
==== Arizona Senate Allegations ====
Arizona Senate allegations arose from a failure to recognize the Arizona Senates Oversight Role. These allegations were investigated and reported on by the [https://www.azag.gov/sites/default/files/2025-06/2020_General_Election_Investigation_Summary.pdf Arizona Attorney General's Office 2020 General Election Investigation.] During the AZ AG's inspector's investigation, the inspector was told of an internal control instead of being shown the steps from a controlling procedure. Apparently, internal controls are not adequately documented to be of service to the inspector. Documentation would have been more objective evidence than an interview. This was noted in the following sub-allegations.
 
* [[The Anomalies#Maricopa Election Management Server (2020)|Maricopa Election Management Server (2020)]]
** [[The Anomalies#MC EMS 2020 - Election Management System Database Purged|MC EMS 2020 - Election Management System Database Purged]]
** [[The Anomalies#MC EMS 2020 - Election Files Deleted|MC EMS 2020 - Election Files Deleted]]
** [[The Anomalies#MC EMS 2020 - Corrupt Ballot Images|MC EMS 2020 - Corrupt Ballot Images]]
** [[The Anomalies#MC EMS 2020 - Missing Ballot Images|MC EMS 2020 - Missing Ballot Images]]
** [[The Anomalies#MC EMS 2020 - Subpoenaed Equipment Not Yet Provided|MC EMS 2020 - Subpoenaed Equipment Not Yet Provided]]
** [[The Anomalies#MC EMS 2020 - Anonymous Logins|MC EMS 2020 - Anonymous Logins]]
** [[The Anomalies#MC EMS 2020 - Dual Boot System Discovered|MC EMS 2020 - Dual Boot System Discovered]]
** [[The Anomalies#MC EMS 2020 - Operating System Logs Not Preserved|MC EMS 2020 - Operating System Logs Not Preserved]]
** [[The Anomalies#MC EMS 2020 - Internet Connections to the EMS|MC EMS 2020 - Internet Connections to the EMS]]

Latest revision as of 22:14, 14 September 2026

Control Environment

Principle 3: Establish Structure, Responsibility, and Authority

Attribute 3.10: Effective documentation assists in management's design of internal control by establishing and communicating the who, what, when, where, and why of internal control execution to personnel. Documentation also provides a means to retain organizational knowledge and mitigate the risk of having that knowledge limited to a few personnel, and to communicate that knowledge as needed to external parties, such as external auditors.

>>>Navigational Buttons<<<

Jamie's Story

June 25, 2025: Runbeck Contract Delivered

None of the contract changes fulfilled all of the criteria for this Attribute, which included the who, what, when, where, and why of internal control execution to personnel.

March 12, 2026: Maricopa County Defense Briefing

This specific discussion of a Potential Green Book Deviation is from a sub-section titled, Motor Vehicle Department Contract.

I had sought the contract between MC and the Motor Vehicle Department as a means to understand the logistics of the collection of sensitive voter registration information and subsequent transfer to the MC. I was not seeking the confidential information; I sought to understand the process. MC management and legal team claimed there were no written agreement to document this activity.

Contrary to the Green Book, no documentation was created or retained to describe the logistic of data collection and transfer by the MVD. There certainly was inadequate information available to conduct an audit by external parties. I wasn't trying to perform an audit; I was trying to assess governance.

June 1, 2026: Judge's Decision

Maricopa County employees were unable to answer the who, what, when, where, and why of internal controls. Nor were they required to produce documentation explaining internal controls because this was not a statutory requirement.

Election Anomalies

Arizona Senate Allegations

Arizona Senate allegations arose from a failure to recognize the Arizona Senates Oversight Role. These allegations were investigated and reported on by the Arizona Attorney General's Office 2020 General Election Investigation. During the AZ AG's inspector's investigation, the inspector was told of an internal control instead of being shown the steps from a controlling procedure. Apparently, internal controls are not adequately documented to be of service to the inspector. Documentation would have been more objective evidence than an interview. This was noted in the following sub-allegations.

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