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Audit

Audit  Audit of the Division of Insurance

Our office has conducted a performance audit of the Division of Insurance (DOI) for the period July 1, 2021 through December 31, 2022.

Organization: Office of the State Auditor
Date published: March 19, 2024

Executive Summary

In accordance with Section 12 of Chapter 11 of the Massachusetts General Laws, the Office of the State Auditor has conducted a performance audit of the Division of Insurance (DOI) for the period July 1, 2021 through December 31, 2022. In this performance audit, we determined the following:

  • whether DOI’s website met the accessibility standards established by the Executive Office of Technology Services and Security (EOTSS) and the Web Content Accessibility Guidelines 2.1 for user accessibility, keyboard accessibility, navigation accessibility, language, error identification, and color accessibility and
  • whether DOI established information technology (IT) governance policies and procedures that met the requirements of EOTSS’s Enterprise Information Security Policies and Standards for business continuity plans, disaster recovery plans, information security incident response plans and procedures, and cybersecurity awareness training.

Below is a summary of our findings and recommendations, with links to each page listed.

Finding 1
 

DOI’s website is not fully accessible for all Massachusetts residents.

Recommendations
 
  1. DOI should review its webpages to ensure that all hyperlinks lead to related information to provide equitable access to critical information and services offered online by DOI to all Commonwealth residents.
  2. DOI should review web content that appears in other languages to ensure that the pages have accurate language attributes to facilitate effective translation and provide a user experience that is inclusive to all Commonwealth residents.
  1. Finding 2
     

DOI did not update its business continuity plan or have a disaster recovery plan.
  1. Recommendations
     
  1. DOI should update its business continuity plan annually and whenever a major organizational change occurs.
  2. DOI should develop and implement a disaster recovery plan.
  1. Finding 3
     

DOI relies on an information security incident response plan and procedures that do not include all required elements.
  1. Recommendation
    Page     22

DOI should rely on an information security incident response plan and procedures that include all required elements. Alternatively, DOI could establish a supplemental information security incident response plan and procedures that include guidance for implementing corrective action or post-incident analysis, criteria for business recovery, data backup processes, an analysis of legal requirements for reporting IT system compromises, and incident response procedures from required external parties.

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