Report No. 2011-44
August 2011
Complete Report
Findings in the audit of the Office of Administration, Missouri Ethics Commission
Access to Investigations, Audits, and Review Files
Because the State Auditor's Office is not authorized to review files of investigations, audits or reviews, we were unable to determine if the Missouri Ethics Commission (MEC) complied with state laws and internal procedures related to complaint investigations. Currently state law does not provide the State Auditor's Office with access to such files. The MEC should work with the General Assembly to provide the State Auditor's Office access to these files.
Compliance Monitoring
MEC has not fully employed its new oversight powers or fulfilled the new responsibilities given to it during the 2010 legislative session. The Executive Director of MEC explained that additional staffing would be required to do so. It should be noted that the Missouri Supreme Court is currently considering the constitutionality of the senate bill which introduced these new powers and responsibilities. The MEC should continue to monitor the legal status of the new statutory requirements and use a risk based approach to be more proactive in its investigative approach and maximize available staffing.
Transparency Improvements
The MEC has made significant improvements to the data available to the public through its website, but additional improvements, such as improving search capabilities or posting a list of late/non-filers, could provide useful information to users, increase accountability and transparency, and possibly deter wrongdoing.
In the areas audited, the overall performance of this entity was Good.*
American Recovery and Reinvestment Act 2009 (Federal Stimulus)
The Office of Administration, Missouri Ethics Commission did not receive any federal stimulus monies during the audited time period.
*The rating(s) cover only audited areas and do not reflect an opinion on the overall operation of the entity. Within that context, the rating scale indicates the following:
Excellent:
The audit results indicate this entity is very well managed. The report contains no findings. In addition, if applicable, prior recommendations have been implemented.
Good:
The audit results indicate this entity is well managed. The report contains few findings, and the entity has indicated most or all recommendations have already been, or will be, implemented. In addition, if applicable, many of the prior recommendations have been implemented.
Fair:
The audit results indicate this entity needs to improve operations in several areas. The report contains several findings, or one or more findings that require management's immediate attention, and/or the entity has indicated several recommendations will not be implemented. In addition, if applicable, several prior recommendations have not been implemented.
Poor:
The audit results indicate this entity needs to significantly improve operations. The report contains numerous findings that require management's immediate attention, and/or the entity has indicated most recommendations will not be implemented. In addition, if applicable, most prior recommendations have not been implemented.
Complete Audit Report
Missouri State Auditor's Office
moaudit@auditor.mo.gov
