BOARD of GOVERNORS
State University System of Florida
Performance Funding Data Integrity
Joe Maleszewski, Inspector General and Director of Compliance
June 24, 2015
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BOARD of GOVERNORS State University System of Florida
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Audit and Compliance Committee
Chair - Alan Levine
Vice Chair – Ed Morton
Matthew Carter II
Tom Kuntz
Ned C. Lautenbach
H. Wayne Huizenga, Jr.
Oversight  Communications  Audit  Complaints
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BOARD of GOVERNORS State University System of Florida
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Office of Inspector General and
Director of Compliance (OIGC)
MISSION:
To Promote accountability, integrity, and efficiency
by providing quality audits, investigations,
management reviews and technical assistance.
AUTHORITY:
Article IX, Section 7 of the Florida Constitution
Section 20.055, Florida Statutes
Section 20.155, Florida Statutes
Operating Procedures of the Board of Governors of the State University
System of Florida
• Charter Documents
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BOARD of GOVERNORS State University System of Florida
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Office of Inspector General and
Director of Compliance (OIGC)
Inspector General –
Joseph Maleszewski
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Certified Inspector General
Certified Inspector General
Investigator
Certified Internal Auditor
Certified Information Systems
Auditor
Certified Government Auditing
Professional
Certified Compliance and
Ethics Professional
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Compliance and Audit
Specialist – Lori Clark
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Certified Inspector General
Auditor
Certified Compliance and
Ethics Professional
Investigations and Audit
Specialist – Melanie Yopp
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Certified Fraud Examiner
Certified Inspector General
Investigator
EEOC Investigator
Former Criminal Justice Standards
and Training Commission
Instructor
Notary Public
BOARD of GOVERNORS State University System of Florida
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State of the System – January 16, 2014
“I want the Audit and Compliance
Committee to take on new
responsibilities. They will be the
Board’s vehicle for ensuring that the
Board has undertaken its due diligence
on the accuracy of data, especially data
related to performance funding.”
Chair Mori Hosseini
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BOARD of GOVERNORS State University System of Florida
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Performance Based Funding Data Integrity
• Audits
o
o
o
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Scope – Minimum + CAE & BOT
Audit Standards
Due – March 2, 2015
Support Certification
• Corrective Action Plan (CAP)
o Within 30 Days of Audit
• Certification
o 11 Representations
o President and BOT Chair
o March 1st
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BOARD of GOVERNORS State University System of Florida
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University PBF Data Integrity Audit
Minimum audit objectives:
• Data Administrator Appointment
• Processes which ensure the completeness, accuracy and timely
submission of data to the Board of Governors
• Evaluation of policies, procedures, desk manuals
• System access controls and user privileges
• Testing of data accuracy
• Data Administrator Certification
• Data definitions and guidance
• Resubmissions
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BOARD of GOVERNORS State University System of Florida
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PBF DATA INTEGRITY AUDIT RESULTS
• 11 of 11 – Submitted Audits
• All 11 Concluded:
o Controls Adequate
o Basis of Certification
• Corrective Action Plans (CAP)
o 9 Universities Developed CAP
o 3 Universities Completed CAP
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BOARD of GOVERNORS State University System of Florida
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UNIV.
CONCLUSIONS
FAMU 

Policies and Procedures
Documentation of Awarded Degrees in iRattler
Access Controls
Timeliness of Submissions


Controls Adequate

Basis for Certification 


Controls Adequate
Basis for Certification
FGCU 

Controls Adequate

Basis for Certification 
Timely Submissions
Access Controls
Completed:
December 2014
Unmodified


Policies and Procedures
Timeliness of Submissions
Access Controls
Reporting – multiple admission dates
N/A
Timeliness of Submissions
Policies and Procedures
Completion Date:
August 2015
Unmodified


Controls Adequate

Basis for Certification 


N/A
Controls Adequate

Basis for Certification 
N/A
Completion Date:
July 2015
N/A
Modified Representation:
8. Timely Sub.
NCF


Controls Adequate

Basis for Certification 
Timeliness of Submissions
Access Controls
Completed:
February 2015
Unmodified
UCF


Controls Adequate
Basis for Certification
UF


Controls Adequate

Basis for Certification 

Policies and Procedures
Completion Date:
Access Controls
May 2015
Legacy Systems Modernization Effort and Master Data Mgmt
Unmodified
UNF


Controls Adequate

Basis for Certification 
Policies and Procedures
Access Controls
Unmodified
USF


Controls Adequate

Basis for Certification 



Data Administrator Position Description
Completed:
Password Standards
February 2015
Server Security
Data Submission Errors
Enhance Grad Students & Postdocs in Science & Engg Survey
Unmodified
Policies and Procedures
Unmodified
FAU
FIU
FPU
FSU
UWF

Controls Adequate

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
Basis for Certification
OBSERVED ISSUES
ACTION PLAN
N/A
N/A
Completion Date:
June 2015
N/A
N/A
Completion Date:
In Process
Completion Date:
March 2015
CERTIFICATION
Modified Representations:
8. Timely Sub.
9. Certification
Unmodified
Unmodified
BOARD of GOVERNORS State University System of Florida
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CERTIFICATIONS
• Data Integrity Certifications
o 9 Universities submitted “Unmodified”
o 2 Universities submitted “Modified”
– Timeliness of Data Submissions
– Data Administrator Certification
• Impact of “Modified” representations
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BOARD of GOVERNORS State University System of Florida
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Performance Based Funding Data Integrity
• Audits
o
o
o
o
Scope – Minimum + CAE & BOT
Audit Standards
Due – March 1, 2016
Support Certification
• Corrective Action Plan (CAP)
o Within 30 Days of Audit
• Certification
o 11 Representations
o President and BOT Chair
o March 1st
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BOARD of GOVERNORS State University System of Florida
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Questions? Comments? Concerns?
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Contact Information
Joe Maleszewski
850-245-0466
Joseph.Maleszewski@flbog.edu
http://www.flbog.edu/about/cod/igoffice.php
http://www.flbog.edu/about/budget/performance_f
unding.php
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BOARD of GOVERNORS State University System of Florida
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BOARD of GOVERNORS
State University System of Florida
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BOARD of GOVERNORS State University System of Florida
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