Summary
| Report Number: | 2010-045 |
|---|---|
| Report Title: | Department of Business and Professional Regulation - Regulatory Programs and Other Matters |
| Report Period: | 07/2007 - 02/2009 and Selected Actions Through 08/2009 |
| Release Date: | 11/10/2009 |
This operational audit of the Department of Business and Professional Regulation (Department) focused on Department regulatory programs and other operational matters during the period July 2007 through February 2009, and selected actions through August 2009. Our audit included a follow-up on prior audit findings applicable to the Department and contained in audit report No. 2004-181 relating to regulatory program administration. Additionally, our audit included a follow-up on prior audit findings contained in audit report Nos. 2008-031, relating to elevator safety inspections; 2008-181, relating to the distribution of alcoholic beverage license taxes; and 2008-182, relating to cigarette stamp taxes. Our audit disclosed the following matters requiring corrective actions:
Regulatory Programs
Finding No. 1: Multiple Department regulatory programs had operating cash balance deficits or significant surpluses. Without a comprehensive, Departmentwide activity-based analysis of costs associated with specific licensing and regulatory services, decision makers may lack the information necessary to evaluate the appropriateness of specific fee levels and to realign such fee levels to avoid both deficits and excessive surpluses.
Finding No. 2: Statutory unlicensed activity fee requirements limit the ability of the Department and professional boards to set fees commensurate with unlicensed activity regulation risks and costs.
Finding No. 3: The filing of online complaints against businesses and professions regulated by the Department was generally not available to consumers.
Other Matters
Finding No. 4: An external security audit disclosed deficiencies in Department compliance with the Payment Card Industry Data Security Standard as well as other Department information technology security issues.
Finding No. 5: Excess and incompatible Florida Accounting Information Resource Subsystem access privileges were granted to a number of employees.
Prior Audit Follow-Up
The Department had taken adequate corrective actions for findings included in audit report Nos. 2008‑182, 2008‑031, and 2004‑181. However, the Department had not timely completed an annual review of the data integrity, reliability, and security of its Single Licensing System, as recommended in audit report No. 2008‑181.
Management's response is included as Exhibit A.