Summary

Our audit focused on management controls and selected information technology functions applicable to the Client Information, Registration and Tracking System (CIRTS) of the Department of Elder Affairs during the period January 16, 2001 through April 16, 2001, and selected Department actions taken from August 23, 1999.

Section 20.41(6), Florida Statutes, mandates that the Department ensure, through the development of equipment, software, data, and connectivity standards, the ability to share and integrate information collected and reported by Area Agencies on Aging (AAAs). Accordingly, the Department developed CIRTS in 1992 as a tool to gather and hold in a repository, information regarding elders who are or potentially are service recipients of service programs.

On September 4, 2000, the Department implemented modifications to CIRTS, which allowed the Department to prioritize elders according to their level of frailty. Prior to this date, persons screened or assessed and requesting services not available were put on a waiting list. The Department’s waiting list of elders needing services was replaced by the "Assessed Priority Consumer List", which was to allow the Department to concentrate its resources on providing services to elders having the highest frailty level.

As part of our audit, we surveyed AAAs representing Florida’s Planning and Service Areas regarding their use of, and satisfaction with, CIRTS. In general, they expressed varying degrees of usage of and satisfaction with CIRTS as a tool supporting enhanced service delivery. Highlights of the survey results are presented in Appendix A.

Deficiencies were noted in the Department’s implementation of modifications to CIRTS and in its access controls. Additionally, deficiencies were noted in application, user, and general management controls related to CIRTS. Specifically, these matters included:

• Planning deficiencies in the Department’s system modification methodology with regard to the CIRTS modifications implemented September 4, 2000;

• Inadequate procedures to ensure the completeness, accuracy, and timely update of CIRTS data;

• The absence of version control measures for CIRTS;

• Deficiencies in the Department’s information security administration applicable to all CIRTS users; and

• Inadequate policies and procedures defining CIRTS-related roles, responsibilities, and authority of the Management Information Systems division and the Programs Office.

The Acting Secretary's complete written response to the audit findings and recommendations in audit report No. 02-079 can be viewed as a part of the complete report filed on this Auditor General web site.