A Review of General Automation Controls at Selected State Agencies and Universities: Phase II Page: 1 of 2
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Two Commodore Plaza
tate 206 East Ninth Street, Suite 1900
Austin, Texas 78701
A u dtor'S Phone: (512) 479-4700
A Review of General Automation Controls at Fax: (512) 479-4884
O office Selected State Agencies and Universities: Phase II
Lawrence F. Alwin, CPA
August 9, 1999
Members of the Legislative Audit Committee:
During our review of controls over computer resources
at three entities, we noted several areas that need to be Projected Computer-Related Expenditures for
improved. However, we did not find problems that Fiscal Year 1999
currently affect the entities' overall operations. . Department of Health - $80,021,583
Together, these entities plan to spend over $220 . The University of Texas Southwestern
million on computer-related expenditures in fiscal year Medical Center at Dallas - $20,186,494
1999. (See text box for a breakdown of each entity's . Department of Human Services -
expenditures.) $120,242,659
Source: Self-reported Fiscal Year 1998-1999 Biennial
- Department of Health - Enhance protection Operating Plan, Schedule S - Plan Summary for each entity
of computer resources and create a central
oversight function.
- The University of Texas Southwestern Medical Center at Dallas - Increase preparation for
disasters and make sure that unauthorized people cannot access computer systems.
- Department of Human Services - Fully develop documentation for key processes.
General Automation Controls We provided management letters with detailed findings
Access controls help prevent unauthorized to each entity and requested responses. These letters and
changes to data and access to confidential responses are available upon request.
information.
Physical security controls help ensure that Department of Health
computer equipment is in a secure area, free of
physical hazards. During our review, we noted that the Department of
Health does not always adequately safeguard its
computer tasks ae peforolsd r an srerlta automated resources from physical hazards and
manner. This includes a plan for recovery in the unauthorized access. As a result, the risk of loss or
event of a disaster. damage to automated resources increases. In addition, a
Software development controls help ensure that central oversight function for information resources does
software meets the needs of management and not exist. Software is developed independently in each
users. program area. This practice can lead to duplicate data
and software applications that cannot communicate with
each other. It is also difficult to ensure that policies, procedures, and standards are consistently followed
throughout the Department.
We recommend that management adequately protect the Department's automated resources.
Management should also create a central oversight function for its information resources.
Responses indicate that management generally concurs with the findings and agrees to take corrective
action.
SAO Report No. 99-045P.O. Box 12067 Austin, Texas 78711-2067 E-mail: auditor@sao.state.tx.us Internet: www.sao.state.tx.us
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Texas. Office of the State Auditor. A Review of General Automation Controls at Selected State Agencies and Universities: Phase II, report, August 1999; Austin, Texas. (https://texashistory.unt.edu/ark:/67531/metapth517806/m1/1/: accessed July 17, 2024), University of North Texas Libraries, The Portal to Texas History, https://texashistory.unt.edu.; crediting UNT Libraries Government Documents Department.