Internal Audit Follow-Up Report

Transcription

1 Internal Audit Follow-Up Report Toll Operations Division Customer Service Operations TxDOT Internal Audit Division

2 Objective To assess the status of corrective actions for high-risk Management Action Plans (MAP) previously communicated in the Toll Operations Division Customer Service Operations audit report issued August Summary Results Testing consisted of an evaluation of 3 MAPs to determine if corrective actions were implemented as agreed. MAP Status Comments 2 Open Corrective actions that require completion to address identified risks from the original audit report. 1 Closed Corrective actions have been completed. Scope The engagement was performed by Margarita Vasquez and Eva Vargas (Engagement Lead) and was conducted during the period from June 14, 2017 to July 26, The engagement focused on (1) development of new customer service survey questions for TxDOT s third party service provider web site and Interactive Voice Response (IVR), (2) utilization of customer feedback and implementation of improvements, and (3) monthly Independent Verification and Validation (IVV) performed by Toll Operation Division (TOD). Methodology The methodology used to complete the objectives of this engagement included: Interviewed key TOD personnel, including Project Manager, Marketing and Communications Specialist, and Quality Assurance/Quality Control personnel. Reviewed customer service surveys and IVR questions for the months of April and May 2017 Reviewed supporting documentation and corresponding resolutions from customer service survey feedback for the months of April and May 2017 Recalculated Key Performance Indicators (KPIs) and reviewed customer survey reports for the months of August through October 2016 and April 2017 Background This report is prepared for the Texas Transportation Commission and for the Administration and Management of TxDOT. The report presents the results of the Toll Operations Division Customer Service Operations Follow-Up engagement which was conducted as part of the Fiscal Year (FY) 2017 Audit Plan. TOD is responsible for the operations of TxDOT owned toll roads across Texas. TOD oversees the vendor that manages TxTAG customer service operations. Customer service operations activities include management of the customer call center, IVR system, TxTAG website, customer inquiry escalations, and customer surveys. These activities and others are contractually required to be performed to meet specified criteria as defined by the KPIs defined in the contract. November

3 We conducted this follow-up engagement in accordance with Generally Accepted Government Auditing Standards and in conformance with the International Standards for the Professional Practice of Internal Auditing. Those standards require that we plan and perform the engagement to obtain sufficient, appropriate evidence to provide a reasonable basis for our conclusions based on our engagement objective. Recommendations to mitigate risks identified were previously provided to management during the original engagement to assist in the formulation of the management action plans referenced in this report. The Internal Audit Division uses the Committee of Sponsoring Organizations of the Treadway Commission (COSO) Internal Control Integrated Framework version November

4 Detailed MAP Follow-Up Status MAP Status: Open Corrective actions that require completion to address identified risks from the original audit report. Original Audit Finding No. 1: Customer Service Survey Monitoring MAP Owner: Payman Dargahi, Business Operations Administrator, Toll Operations Division MAP 1.1: TOD Business Operations will coordinate with TOD Marketing and Communications and vendor on survey processing improvement opportunities. New survey questions are being developed for the web site* and the IVR. The implementation of the surveys will rest with TxDOT s third-party service provider. *Items were considered complete Original Completion Date: March 15, 2017 Revised Completion Date: January 15, 2018 MAP 1.2: TOD Business Operations will review survey results monthly as provided by its third-party service provider and review the same results with their leadership team. Based on customer feedback, we will work with our third-party service provider in developing improvement plans and schedules for implementation.* *Review and implementation of website survey results considered complete. IVR work is still pending. Original Completion Date: June 15, 2017 Revised Completion Date: January 15, 2018 MAP Status: Closed Corrective actions have been completed. Original Audit Finding No. 2: Data Integrity Reviews MAP Owners: Tim Anderson, Toll Projects Section Manager, Toll Operations Division Doug Davies, Toll Operations Specialist, Toll Operations Division MAP 2.1: Toll Operations Division will conduct monthly Independent Verification and Validation (IVV) to ensure report and associated documentation, if needed, are consistent. It will be checked monthly for one quarter and variances addressed until issue(s) resolved. Employees assessing Key Performance Indicators (KPI) must follow the agreed upon method of calculation to assess vendor KPI compliance. Original Completion Date: December 15, 2016 Actual Completion Date: March 3, 2017 November

5 Closing Comments The results of this MAP Follow-Up engagement were discussed with the personnel from the Toll Operations Division on August 3, The Internal Audit Division appreciates the cooperation and assistance received from the Toll Operations Division personnel during this engagement. November