16.09
Monitoring
Principle 16 - Perform Monitoring Activities
Attribute 16.09 - Management evaluates and documents the results of ongoing monitoring and separate evaluations to identify internal control issues [documentation requirement]. Management uses this evaluation to determine the effectiveness of the internal control system. Differences between the results of monitoring activities and the previously established baseline may indicate internal control issues, including undocumented changes in the internal control system or potential internal control deficiencies.
Note: The GAO emphasized the "documentation requirements."
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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. Apparently, none of the election anomalies were formally evaluated by MC, as in documented in an internal report to determine cause and take corrective action. If MC leadership had conducted an investigation, the AZ AG's inspector would have most certainly referenced the report as part of their investigation.
- 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 - Failure to Follow Basic Cyber Security Practices
- MC EMS 2020 - Subpoenaed Equipment Not Yet Provided
- MC EMS 2020 - Anonymous Logins
- MC EMS 2020 - Dual Boot System Discovered
- MC EMS 2020 - Operating System Logs Not Preserved
- MC EMS 2020 - Internet Connections to the EMS
Governance issues identified from Arizona Attorney General's Office 2020 General Election Investigation of Arizona Senate allegations of Maricopa County - Signature Verification Process issues. It is presumed that no internal investigation was performed and documented. If available, it would have most certainly delivered to the inspector and noted within his report.
