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.
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.
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.
The Assistant Director of Recruitment and Training's October 22, 2020 email acknowledged problems with Sharpie Markers by stating, " we've heard you and we know you've been hearing issues and concerns about Sharpie Markers." The Assistant Director took immediate action to remediate the concern by suspending the practice of handing out Sharpie Markers to in-person early voters on October 22 after issues were identified.
Unfortunately, the subsequent direction by the Assistant Director of Recruitment and Training exacerbated the issues and concerns, negating the remediation action. The Assistant Director directed that Sharpie Markers be handed to in-person voters on Election Day, which is significant because there were a larger number of in-person voters on Election Day, so the Sharpie Markers were used more often by the voters.
The evaluation of the identified issues and concerns were apparently not documented. Maricopa County leadership was unable to provide any documentation of the acceptability of Sharpie Markers before they were placed in use AND did not document the evaluation of the issues and concerns once they were identified by field personnel prior to October 22, 2020. No corrective actions to the issues and concerns were documented.
