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An Audit Report on Confidential Data Management at the Office of the Comptroller of Public Accounts

February 2023

Overview

The Office of the Comptroller of Public Accounts (Office) implemented data loss prevention and certain other processes and controls to secure its confidential data. However, it should strengthen those processes and controls to help prevent unauthorized disclosure of its confidential data.

To minimize security risks, auditors communicated details about certain audit findings separately to the Office in writing. One finding was rated Priority because of issues that could critically affect the Office's ability to effectively administer its information security function. Immediate action should be taken to reduce the risk. One finding was rated High because the issues could substantially affect the Office's information security function; two other findings were rated Medium, indicating moderate risk. The Office's management agreed with the recommendations related to the audit findings.

LOW

Data Loss Prevention

The Office used a data loss prevention system and laptop/tablet disk encryption to help prevent the exposure of confidential data.

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PRIORITY

One finding was rated Priority, which could critically affect the Office's ability to effectively administer its information security function

While the Office of the Comptroller of Public Accounts (Office) has implemented certain processes and controls to secure its confidential data, it should strengthen those processes and controls to help prevent unauthorized disclosure of its confidential data.

To minimize security risks, auditors communicated details about the audit findings separately to the Office in writing. One finding was rated Priority because of issues that could critically affect the Office's ability to effectively administer its information security function. Immediate action should be taken to reduce the risk.

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HIGH

One finding was rated high, which could substantially affect the Office's information security function

While the Office of the Comptroller of Public Accounts (Office) has implemented certain processes and controls to secure its confidential data, it should strengthen those processes and controls to help prevent unauthorized disclosure of its confidential data.

To minimize security risks, auditors communicated details about the audit findings separately to the Office in writing. One finding was rated High because the issues could substantially affect the Office's information security function.

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MEDIUM

Two findings were rated Medium, which could moderately affect the Office's information security function

While the Office of the Comptroller of Public Accounts (Office) has implemented certain processes and controls to secure its confidential data, it should strengthen those processes and controls to help prevent unauthorized disclosure of its confidential data.

To minimize security risks, auditors communicated details about the audit findings separately to the Office in writing. Two findings were rated Medium, indicating moderate risk.

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1501 North Congress Ave.
Austin, TX 78701
Phone: (512) 936-9500
Fax: (512) 936-9400
Email: auditor@sao.texas.gov
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