High Impact Audits · 11/9/2001 · High Impact Audits . City of Dallas Office of the City Auditor...
Transcript of High Impact Audits · 11/9/2001 · High Impact Audits . City of Dallas Office of the City Auditor...
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High Impact Audits City of Dallas Office of the City Auditor
Presented on September 17, 2015
Theresa Hampden, Quality Control Manager
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Discuss how:
o An audit motivated the City of Dallas (City) to mitigate significant operational risks
o Audit follow-up was critical to validate whether the City’s actions were sufficient
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Session Objectives
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April 12, 2011, upon request from the City Manager, the Office of the City Auditor cancelled the Audit of Emergency Management Operations Business Continuity Plan
As a result, the Audit of the City’s Disaster Recovery was also cancelled
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Audit Overview
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Continuity of operations efforts originated during the Cold War
Terrorist attacks of September 11, 2001 prompted the Executive Branch to focus on continuity of operations
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Continuity of Operations in Government
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9th largest city in the United States and third largest in Texas
Population of 1,241,162
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City of Dallas
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22.6 million annual visitors, with 44.1 million visiting the Dallas-Fort Worth Arlington Metro area
Dallas-Fort Worth International Airport is the 4th busiest airport in the United States and 8th busiest in the world
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City of Dallas
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FEMA developed Continuity Guidance Circular 1 (CGC1) to help non-federal organizations with continuity planning
Continuity planning facilitates the performance of essential functions during all-hazards emergencies or other situations that may disrupt normal operations
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Audit Criteria
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By continuing the performance of essential functions through a catastrophic emergency, the state, local, territorial, and tribal governments … support the ability of the federal government to:
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Audit Criteria
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o Perform national essential functions
o Continue enduring constitutional government
o Ensure that essential services are provided to the nation’s citizens
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Audit Criteria
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On September 13, 2013, the Office issued the Audit of the Design of the City of Dallas’ Pandemic Influenza Continuity of Operations Basic Plan
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Continuity of Operations Basic Plan
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City Manager and/or designated continuity personnel to:
o Develop and implement the ten Continuity
Management Functions of the Continuity of Operations Plan (COOP)
o Provide periodic updates to the City Council on the
project to ensure transparency
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Audit Recommendations
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City Manager and the Director of Department of Communication and Information Services (CIS) develop a Disaster Recovery Plan using the information from the ten Continuity Management Functions of the COOP Plan
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Audit Recommendations
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AND……another consultant was hired to help the City respond to the audit recommendations
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Audit Recommendations
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In January 2015:
The City began the process of updating its COOP
Developed customized training modules customized for each department
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City of Dallas
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The final task of the project was to conduct a full scale exercise of the COOP to test the effectiveness of the plan and for City departments to reconstitute operations at alternate facility sites.
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City of Dallas
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COOP Drill to culminate the COOP Update project
Dates July 19th and 21st, 2015
COOP Advisory Committee and Office of Emergency Management led planning process
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Exercise Overview
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Exercise revised Continuity of Operations plans for Dallas government departments
Identify facility and material needs for alternate operational locations (Tier 1 sites) for Dallas government departments
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Exercise Objectives
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Evaluate timeframes needed for City personnel to evacuate normal work facilities, travel to alternate work sites, and resume essential functions
Transfer 911 and dispatch operations to their alternate facility
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Exercise Objectives
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Meet bi-annually to:
oEstablish priorities for testing, training, and exercising the Citywide Continuity Program
oMake recommendations for changes to the Citywide Continuity Program content or structure
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Continuity Advisory Committee
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Business Continuity Planning is often considered an activity best completed where there is luxury of time and money – especially, since an organization cannot predict when or even if a disaster will strike an organization
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High Impact Audit
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The likelihood, we hope, for these emergencies are low. When they do occur, however, they often result in a high impact/risk to the organization.
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High Impact Audit
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The goal of business continuity planning is to be ready to respond to any emergency and maintain essential functions
As a result of this audit and management’s responsiveness, the City is better prepared to perform essential functions through a catastrophic emergency and support the Federal government
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High Impact Audit
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APPENDIX
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Essential Functions
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Essential Functions
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Essential Functions
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Essential Functions
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Essential Functions
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Essential Functions