Multiple Agencies
An Audit Report on the Management Controls at the Department of Public Safety
August 1998
Report Number 98-055
Overall Conclusion
Business practices supporting the delivery of public safety need significant improvement. Automation and management of information have significant weaknesses. Oversight, strategic planning, and financial information need improvement. This audit focused on matters related to managing the Department of Public Safety (Department) rather than police practices related to providing public safety.
The Department would benefit from a comprehensive evaluation of its business efforts in light of these issues: the significant length of time since the Department's last comprehensive review of its organizational structure in 1957, management control weaknesses described in this and previous audits, and the Department's increased responsibilities. These issues challenge the Department's ability to provide efficient and effective public safety.
Key Facts and Findings
Mission-critical information systems are at high risk for failure due to Year 2000 conversion problems. At risk are law enforcement systems that contain sensitive information such as criminal histories, drivers license records, motor vehicle theft records, and telecommunications. Contributing to this risk are the loss of expertise due to employee turnover and delayed efforts to address Year 2000 issues. Also, cost estimates far exceed the Department's available funding of $12 million for the Year 2000 problems. One consultant estimated the cost for remediation between $20 million to $40 million.
Key oversight processes have weaknesses that limit the Department's ability to identify and solve its own problems. The internal audit function is ineffective. Internal Affairs and the Inspection and Planning Service need improvement.
The Department is not taking advantage of the benefits of a strategic planning process. Strategic planning is not ongoing, and action plans are not documented. The Department's plan does not include input from the public or other agencies. Poor planning can result in higher expenses or hamper future accomplishments.
There were 50 instances of budget variances exceeding $100,000 in a fiscal year 1997 Budget Summary Report. The Department does not formally document explanations when expenditures significantly vary from the Commission-approved operating budget. Overall, the ability of the Commission and executive management to manage expenditures throughout the year depends on meaningful comparisons of budgets to actual expenditures, including written explanations when variances exist.
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