Program Auditor (Information Systems), Calpers Series

California State Personnel Board Specification

Series established February 7, 2001

Scope

This series specification describes three levels used within the California Public Employees' Retirement System (CalPERS) to provide specialized information systems audit, evaluation, and consulting services to management in order to assure that CalPERS' management is identifying and mitigating the risks associated with the use of information technology. Classifications in this series conduct and participate in audits, evaluations, assessments, and special studies involving computer-based systems and procedures and report conclusions, findings, and recommendations for improvement of CalPERS' programs to management and to the CalPERS' Board of Administration.

This series is available for use only in the CalPERS. Entry into this series at the Associate Program Auditor (IS), CalPERS, level is typically from the Program Auditor, CalPERS, classification.

Definition of Series

Positions in this series function as experts in developing and applying audit applications to information systems and procedures; plan, develop, and perform detailed audit programs to evaluate the adequacy, effectiveness, efficiency, and the vulnerability to risk of data processing systems utilized by CalPERS and CalPERS' contractors, vendors, and public agencies subject to audit by CalPERS; develop audit applications for mainframe, networked, and stand-alone microcomputers; act as information systems consultant to, and advise, audit teams on methods of testing systems and databases; interview personnel at all levels of organizations involved; develop relevant information; identify possible causes of problems; draw conclusions and develop feasible and cost-effective recommendations concerning identified weaknesses or problems based on an objective and independent evaluation of evidence; assess compliance with relevant laws, regulations, and requirements; prepare written information systems audit workpapers, findings, and reports; advise CalPERS systems designers, program managers, and staff on audit and control questions requiring information systems expertise; and provide technical assistance and training in information systems auditing to CalPERS' program evaluators.

Entry Level

Entry into this series is typically at the Associate Program Auditor (IS), CalPERS, level.

Factors Affecting Position Allocation

Positions in this series are characterized by the scope, breadth, complexity, and sensitivity of assignments; complexity and variety of methodology utilized; independence of actions and decisions; consequence of error; supervision received and/or exercised; and level and variety of professional contacts.

Definition of Levels

ASSOCIATE PROGRAM AUDITOR (IS), CalPERS

This is the full journeyperson level in the series requiring independence and proficiency in handling complex and difficult assignments. Under direction, incumbents utilize a wide range of analytical, information systems, and auditing skills in gathering and analyzing information, drawing appropriate conclusions, and formulating recommendations. In addition, incumbents provide specialized assistance and training in information systems auditing and review techniques to other evaluator staff.

STAFF PROGRAM AUDITOR (IS), CalPERS

This is the super journey level requiring incumbents, with minimal direction, independently and proficiently to handle highly complex, visible, and/or sensitive internal and field information systems audits, evaluations, reviews, and consulting assignments, and to present findings to management. Incumbents have developed highly specialized information systems review skills and have demonstrated strong analytical abilities and a comprehensive understanding of a broad range of financial and management issues. Incumbents may also assist in the CalPERS' risk assessment and biennial audit planning processes; assist with audit and program evaluation report quality reviews; provide specialized assistance and training in complex information systems auditing and review techniques to other evaluator staff; and may function in a lead capacity with other evaluators.

SENIOR PROGRAM AUDITOR (IS), CalPERS

This is the supervisory level in the series. The incumbent is responsible for the CalPERS information systems audit function; supervises a staff of Associate Program Auditor, (IS), CalPERS; recruits, selects, trains, and evaluates the work of staff assigned; performs unusually difficult, complex, or sensitive aspects of information systems audits or reviews; performs enterprisewide information systems risk assessment; prepares a comprehensive biennial information systems audit plan; reviews and advises management on technology issues identified by internal and external auditors; and presents findings of audits, evaluations, and special studies to the CalPERS' Board of Administration and to CalPERS' executive management.

Minimum Qualifications

Education: A four-year college degree, preferably with a major in accounting, business administration, public administration, economics, mathematics, management information systems, computer sciences, computer programming, or a related field. (Registration as a senior in a recognized institution will admit applicants to the examination, but they must produce evidence of graduation or its equivalent before they can be considered eligible for appointment.)

ASSOCIATE PROGRAM AUDITOR (IS), CalPERS

Either I

Experience: One year of experience in the California state service performing the duties of a class at a level of responsibility at least equivalent to a Program Auditor, CalPERS, Range C. (Applicants who have completed six months of service performing the duties as specified above will be admitted to the examination, but they must satisfactorily complete one year of this experience before they can be eligible for appointment.)

Or II

Experience: Three years of increasingly responsible professional accounting, auditing, management information systems, or related financial and/or performance consulting experience with at least 18 months' experience in information systems auditing and automated systems programming and analysis. Experience must have included the preparation of written audit reports and the presentation of recommendations to management. For at least 18 months, these responsibilities must have included duties at a level equivalent to a Program Auditor, CalPERS, Range C. Possession of an advanced degree (master's or doctorate degree) in one of the subjects described in the education requirement may be substituted for the required experience on the basis of a master's degree being equivalent to one year of experience and a doctorate degree equivalent to two years of experience. and

Education: The education pattern listed under education requirement.

STAFF PROGRAM AUDITOR (IS), CalPERS

Either I

Experience: One year of experience in the California state service performing professional information systems auditing duties of a class at a level of responsibility at least equivalent to a Associate Program Auditor (IS), CalPERS.

Or II

Experience: Four years of increasingly responsible experience performing professional auditing, including at least three years' experience in information systems auditing and programming systems analysis of large or complex data processing systems. Experience must have included the preparation of written audit reports and the presentation of recommendations to management. For at least one year, these responsibilities must have included duties at a level equivalent to an Associate Program Auditor (IS), CalPERS. Possession of an advanced degree (master's or doctorate degree) in one of the subjects described in the education requirement may be substituted for the required experience on the basis of a master's degree being equivalent to one year of experience and a doctorate degree equivalent to two years of experience. and

Education: The education pattern listed under education requirement.

SENIOR PROGRAM AUDITOR (IS), CalPERS

Either I

Experience: One year of experience in the California state service performing professional information systems auditing duties of a class at a level of responsibility at least equivalent to a Staff Program Evaluator Auditor (IS), CalPERS.

Or II

Experience: Two years of experience in the California state service performing professional information systems auditing duties of a class at a level of responsibility at least equivalent to an Associate Program Auditor (IS), CalPERS.

Or III

Experience: Broad and extensive (more than five years) of increasingly responsible experience performing professional auditing, including at least three years' experience in information systems auditing and programming systems analysis of large or complex data processing systems. Experience must have included the preparation of written audit reports and the presentation of recommendations to management. For at least two years, these responsibilities must have included duties at a level equivalent to a Associate Program Auditor (IS), CalPERS. Possession of an advanced degree (master's or doctorate degree) in one of the subjects described in the education requirement may be substituted for the required experience on the basis of a master's degree being equivalent to one year of experience and a doctorate degree equivalent to two years of experience. and

Education: The education pattern listed under education requirement.

Knowledge and Abilities

ASSOCIATE PROGRAM AUDITOR, (IS), CalPERS

Knowledge of: Principles and practices of organizational management; general accounting and auditing principles and procedures; standards of the auditing profession; quantitative and cost effectiveness analysis methods; principles of information systems; computer source languages such as Assembly, JAVA, C++, COBOL, job control language, utilities, and processing conventions with large data bases; report writer packages such as ACL, Culprit, and/or Mark IV; the financial organization and procedures of CalPERS and California state and local government; operations, procedures, and work standards of the office.

Ability to: Apply the required knowledge; learn and apply specialized information systems auditing methods and procedures; conduct complex information systems audits and evaluations of CalPERS policies, programs, systems, and procedures, and those of entities doing business with CalPERS; clearly define objectives and develop approaches and methodologies to meet those objectives; identify controversial or sensitive issues affecting assignments; conduct effective interviews with staff at all levels; conclude as to the adequacy, completeness, accuracy, and fairness of data; prepare clear, complete, and concise work papers and reports to effectively communicate results of work; gain and maintain the confidence and cooperation of those contacted during the course of work; reason logically and creatively and use a variety of analytical techniques to resolve problems; develop and evaluate alternatives to resolve problems identified; make decisions and take appropriate action; communicate effectively; act as a team leader.

STAFF PROGRAM AUDITOR (IS), CalPERS

Knowledge of: All of the above, and organization and management of public pension fund financial and program operations; current trends and problems in public pension fund management; professional information systems auditing, security, and control standards and practices; professional internal auditing standards and practices.

Ability to: Apply the required knowledge; identify, analyze, and recommend effective solutions to unusually complex information systems control problems; provide advice and instruction to staff on methods of performing complex information systems audits or computer assisted testing techniques; work effectively with top-level managers of CalPERS and of CalPERS' contractors, local government, investment and financial institutions, and other organizations.

SENIOR PROGRAM AUDITOR (IS), CalPERS

Knowledge of: All of the above, and group leadership techniques; program planning, development, and evaluation; principles and practices of employee supervision, development, and training; principles and practices of project management and coordination; applications of organizational and management theory; a supervisor's role in the Affirmative Action Program and the processes available to meet affirmative action objectives.

Ability to: Apply the required knowledge; plan, organize, and direct the work of a staff engaged in a variety of complex information systems audits and reviews; identify controversial or sensitive issues affecting audits and reviews; establish and maintain project priorities; coordinate, prepare, review, edit, present, and defend written reports; appear and make presentations before the CalPERS' Board of Administration and other groups; assess staff performance and develop the skills and abilities of subordinate staff; effectively contribute to the Department's affirmative action objectives.

Special Personal Requirements

All Levels:

Willingness to travel and work away from the headquarters office and work long and irregular hours; demonstrated ability to act independently; open-mindedness; flexibility; tact; willingness to pursue a course of continuing professional education as prescribed by the Standards for the Professional Practice of Internal Auditing and the Standards for Information Systems Auditing.

Class History