Internal Audit Follow-Up Report
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1 Internal Audit Follow-Up Report Travel Information Center Safety TxDOT Internal Audit Division
2 Objective Assess the status of corrective actions for high risk Management Action Plans (MAPs) previously communicated in Travel Information Center Safety audit report issued June Summary Results Testing consisted of an evaluation of 3 MAPs to determine if corrective actions were implemented as agreed. MAP Status Comments 1 Open Corrective actions that require completion to address identified risks from the original audit report. 2 Closed Corrective actions have been completed. Scope The engagement was performed by Keith Laird and Jill Emery (Engagement Lead). The engagement was conducted during the period from December 3, 2015 to January 22, The scope covered communication of security processes, documentation of security system testing, and incident reporting from August through October Auditors conducted this testing in 8 Travel Information Centers (Amarillo, Denison, Langtry, Rio Grande Valley, Texarkana, and Waskom). Physical visits were done at the Denison, Gainesville, and Orange Travel Information Centers (TIC). Methodology The methodology use to complete the engagement work included: Interviewed the Travel Information Center supervisors and Travel Information Division management to identify the processes for communication of procedures and incident reporting Reviewed preventative maintenance test schedules which included testing of security systems such as cameras, monitors, and duress buttons Reviewed Travel Business Procedure Guide for the documented processes Visited Denison, Gainesville, and Orange TICs to review corrective actions from the prior audit and interview personnel Verified security incident reports were documented in the Electronic Data Management System Requested documentation of any security overrides that occurred at the 8 TICs and assessed whether the proper reporting protocol was taken 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 Travel Information Center Safety MAP Follow-Up engagement which was conducted as part of the Fiscal Year 2016 Audit Plan. The Travel Services Section of the Travel Information Division manages the 12 TICs whose purpose is to stimulate travel to and within the state of Texas. All TICs are located along the state s highways, available to traffic entering Texas from bordering states, with the exception August
3 of the Austin TIC, which is located at the Texas State Capitol. The TICs provide a safety rest area for travelers and assist the public with travel information such as routing information and road conditions impacted by construction, weather, and emergency closures. The TICs have protocols designed to protect the safety of TxDOT employees and travelers. Those include duress buttons, designed to alert security if TxDOT employees become threatened; security systems, to monitor the premises and alert law enforcement, if needed; and reporting protocols, for incidents and security system overrides. 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 August
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 Number 1: Security Controls MAP Owner: Kenny Reed, Special Projects Coordinator, Travel Services Section, Travel Information Division MAP 1.2: Incident reporting policy and procedure has been communicated to all Travel Information Center staff via . Updates to the Business Procedure Guide are taking place to ensure that the correct instructions and policy are easily located for all staff and includes monthly duress button testing and complete instructions on incident reporting. Additionally, each Travel Information Center will report the number of incidents that occurred in the TRV Performance Measures monthly.* TRV Travel Services staff in Austin will ensure the number of incidents reported by each center matches the number of reports filed in EDMS. TRV staff from Austin will also randomly check written reports during site visits to the centers.* *Items in italics are considered complete Revised Completion Date: August 15, 2016 August
5 MAP Status: Closed Corrective actions have been completed. Original Audit Finding Number 1: Security Controls MAP Owner: Kenny Reed, Special Projects Coordinator Travel Services Section, Travel Information Division MAP 1.1: Currently the Travel Information Centers (TICs) can request minor repairs through the District Facility Work Order Request System (FMS). All major repair requests must be made through to the Travel Services Section Administration Team. Additionally, all security systems are required to be tested on a monthly basis per the Travel Services Preventative Maintenance Schedule. Currently all duress buttons are working properly per HQ Security. The Travel Information Division is researching options to improve delayed response to duress button systems with the Information Management Division. Requests with the Real Estate Management Division (RMD) team have been made to replace and update CCTV hardware in accordance with HQ Security standards. All cameras with obstructed views have been adjusted correctly. All TICs having a non-working monitor have an additional working monitor onsite. A request with the RMD team has been made to replace the non-working monitor. MAP 1.3: All Travel Information Center staff has been instructed via to use security systems at all times and at no such time will manual overrides be proper procedure. If an override is needed, the Travel Information Center supervisor must submit an to Travel Services Administration for approval. Closing Comments The results of this Travel Information Center Safety MAP Follow-Up engagement were discussed with the Travel Services Section Director on March 10, The Internal Audit team appreciates the cooperation and assistance received from the Travel Information Division and the Travel Information Centers during this engagement. August
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