September 15, 2016, Internal Control Roundtable Meeting Minutes

Internal Control Roundtable Meeting Minutes Meeting Date: September 15, 2016

Scribe: Mike Thone, MMB Internal Control & Accountability (IC&A) Presenter(s): Angelina Barnes, Executive Director, Minnesota Board of Psychology Host and meeting location: Leslie Nagel and Stephanie Ousdigian, Internal Auditors at Teachers Retirement Association and Minnesota State Retirement System, respectively, hosted the meeting at The Retirement Systems of Minnesota Bldg.

Present at the Meeting: Jeanine Kuwik, Jo Kane, Mike Thone, and Hussein Hussein (MMB), Matthew Anderson (DOC), Nick Mokaya and Vicki Cook (MPCA), Robert Helgeson (OHE), Amy Jorgenson and Carmen Marg-Patton (MDH), Courtney Quinn (MDVA), Tim Dykstal (BWSR), Jennifer Nasifoglu (AG), Molly Nystel (WCCA), Marita Bliven (Bd. of Animal Health), Bridgett Anderson (Dentistry Bd. - Health Boards), Mike Hopwood (MSA), Ken Vandermeer (DHS), Katrina Jones (MDE), Sharyn North (PERA), Stephanie Ousdigian (MSRS), Leslie Nagel (TRA), Angelina Barnes (Bd. Of Psychology), Jamie Majerus (Courts), Paul Mathe and Brenda DaBruzzi (DPS), Mike Zabel (Perpich Center), Will Thompson (MHFA), Andrea Barker and Doreen Frost (Bd. of Accountancy/Bd. of AELSLAGID), Kathy Raye (MDHR), and David Salchow (Admin). Welcome and Introduction: Mike Thone welcomed the group and introduced the speaker, Angelina Barnes Main Agenda: Angelina Barnes gave an excellent presentation about an ID theft/fraud that occurred a few years ago at the Board of Psychology. She shared specifics about the:  Theft of personal information and how that information was used to perpetuate a nationwide fraud  Internal systems and process vulnerabilities that allowed the theft of information to occur  Local/federal legal investigations and ultimate punishment of the perpetrator(s)  Process remediation at the Board and other lessons learned

(Note: Angelina did not distribute handouts. Instead, Thone attached Ms. Barnes presentation slides to the email notification about the MMB website posting of these meeting minutes.) Open Forum Topics:  Amy Jorgenson (Health) reported that last week the courts finally sentenced the woman who perpetrated the grant fraud at the Sierra Young non-profit a couple years ago. The punishment was not as stiff as what MDH management was hoping for  A discussion was had re the status of the equity, procurement, and diversity audit being conducted by the governor’s office  Vicki Cook (MPCA) started a discussion about the interpretation of OLA requirements for when to report data breaches  Vicki Cook also shared that she is retiring soon and that this would be her last roundtable meeting attended  Jeanine Kuwik (MMB) announced that Jo Kane will be retiring from the MMB IC&A Unit in early October

1  Jeanine also reported that registration is open for the November 3, all-day, training session titled, “Understanding the Mind of a Fraudster.” The ACFE is teaching the course, presented at St. Paul College, and the training is eligible for 8.0 hours of CPE credit. The course is open to roundtable members and any other interested state employees. Please notify your agency colleagues about this training opportunity. Registration must be done through Self-Service  Mike Thone (MMB) asked for status updates re on-going OLA audits (e.g., CAFR, employee OT and expense reimbursements, Legacy Fund)  Thone also asked for opinions re holding a roundtable social luncheon following the December 8 meeting. The group told him to schedule the lunch Next Meeting: Thursday, October 27, 2016, 9:00 – 11:00AM Amy Jorgenson, Director of Internal Audit, Minnesota Department of Health, is hosting the meeting in the Freeman Building, located at 625 Robert Street North, St. Paul, MN 55164. The meeting will be from 9:00 - 11:00 a.m. Attendees must sign-in at the reception desk. Meeting Agenda:  Amy and her team will give a presentation about the unit's SharePoint automated audit workpaper process. Specifically, they will talk about: o Workpaper format o Ensuring compliance with IIA and federal Yellowbook standards o Security o Not public data and how it is retained o Process for workpaper review and approval  Open Forum