17.06

Monitoring

Principle 17 - Evaluate Issues and Remediate Deficiencies

Attribute 17.06 - Management completes and documents corrective actions to remediate internal control deficiencies, including those reported from internal and external audits and evaluations, on a timely basis [documentation requirement]. Depending on the nature of the deficiency, either the oversight body or management oversees the prompt remediation of deficiencies by communicating the corrective actions to the appropriate level of the organizational structure and delegating authority for completing corrective actions to appropriate personnel. Documentation of corrective actions may include

• root cause analysis,
• planned actions,
• interim milestones,
• completion dates,
• measurable indicators of compliance and remediation to assess and validate progress throughout the remediation process, and
• the entity official responsible for monitoring the status of the corrective actions.

Note: The GAO emphasized the "documentation requirement."

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Jamie's Story

No examples are available to illustrate governance gaps for this attribute.

Election Anomalies

Arizona Senate Allegations

Arizona Senate allegations arose from MC's 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. These allegations would not have occurred had MC leadership taken action to identify, investigate and remediate internal control issues associated with the 2020 General Election. This Green Book attribute requires documentation of corrective action process steps, which was not available to the AZ AG's inspector.

• Maricopa Election Management Server (2020)
  • MC EMS 2020 - Election Management System Database Purged
  • MC EMS 2020 - Election Files Deleted
  • MC EMS 2020 - Corrupt Ballot Images
  • MC EMS 2020 - Missing Ballot Images
  • MC EMS 2020 - Anonymous Logins
  • MC EMS 2020 - Dual Boot System Discovered
  • MC EMS 2020 - Operating System Logs Not Preserved

Maricopa Dropbox Collection (2020)

Governance issues identified from Arizona Attorney General's Office 2020 General Election Investigation of Arizona Senate allegations of Maricopa County Election Department - Drop Box Collections issues.

No corrective actions to the five identified procedure violations were identified in the AZ AG's inspector's report. See the heading Deviation: Allegations Confirmed from Maricopa Dropbox Collection (2020) webpage for additional details.

Maricopa County Signature Verification (2020)

Governance issues identified from Arizona Attorney General's Office 2020 General Election Investigation of Arizona Senate allegations of Maricopa County - Signature Verification Process issues. No corrective actions were noted in the inspector's report, which is consistent with a lack of an evaluation.