Internal Audit Follow-Up Report. Multiple Use Agreements TxDOT Office of Internal Audit

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1 Internal Audit Follow-Up Report Multiple Use Agreements TxDOT Office of Internal Audit

2 Objective Assess the status of corrective actions for high risk Management Action Plans (MAPs) previously communicated in Multiple Use Agreements Follow-Up Audit Report issued May 28, Summary Results Testing included an evaluation of 9 MAPs to determine if corrective actions were implemented as agreed. While the Maintenance Division has made progress to strengthen their Multiple Use Agreement (MUA) process, corrective actions have not completely addressed identified risks from the original audit report. MAP Status Comments 3 Closed Corrective actions have been completed. 6 Open Corrective actions that require completion to address identified risks from the original audit report. Scope The engagement was performed by Sonam Sohal, Azana Headspeth and Lindsay Bibeau, (Engagement Lead). The engagement was conducted during the period from January 13, 2014 to March 12, Methodology The engagement work included: Reviewing policies and procedures Substantiating corrective actions were taken on prior findings Interviewing process owners and key personnel Background This report was prepared for the Texas Transportation Commission, TxDOT Administration and Management. The report presents the results of the Multiple Use Agreements Follow-Up Engagement Report, which was conducted as part of the Fiscal Year 2014 Audit Plan. Multiple Use Agreements (MUA) allow an entity to use TxDOT Right of Way (ROW) in some restricted capacity at no cost. The authority to execute MUAs is contained in various Commission Minute Orders and the Texas Administrative Code. Those Minute Orders also limit the use of ROW to approved activities. Public safety, the preservation of roadway structure integrity, and general public benefit are considerations prior to executing a MUA. Any fee charged for the use of a facility should be minimal, and the proceeds used only for the construction, maintenance, and operation of that facility. The execution of MUAs and amendments has increased over the past fifteen years. We conducted this follow-up engagement in accordance with Generally Accepted Government Auditing Standards and in conformance with the International Standards for July 18,

3 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 findings and conclusions based on our engagement objective(s). We believe that the evidence obtained provides a reasonable basis for our findings and conclusions based on our engagement objective(s). Recommendations to mitigate risks identified were provided to management during the engagement to assist in the formulation of the management action plans included in this report. The Office of Internal Audit transitioned to Committee of Sponsoring Organizations of the Treadway Commission (COSO) Internal Control Integrated Framework version 2013 in December July 18,

4 Detailed MAP Follow-Up Report and Status MAP Status: Open While the Maintenance Division has made progress to strengthen their Multiple Use Agreement (MUA) process, corrective actions have not completely addressed identified risks from the original audit report. Original Audit Finding Number 1: Deficient file management resulting in inaccurate and incomplete Multiple Use Agreement (MUA) records. MAP 1.1: Establish a master list that includes all MUAs listed by Districts and Divisions. Original Completion Date: November 14, 2012 MAP 1.4: Verify that each MUA is still in use and remove those that are no longer valid. Original Completion Date: December 21, 2013 FMAP 1.1 Develop written processes and documentation for the MUA program update electronic repository/master list. Original Completion Date: August 15, 2013 Original Audit Finding Number 2: No Process, including documentation, for MUA evaluation, coordination, and approval to ensure consistent application and appropriate use of ROW in accordance with Federal/State Regulation. MAP 2.2: Develop MUA transmittal form with required DE certification that evaluation of MUA request was performed. This form will also include control section number information of the location of the MUA site, to be shared with the ROW division. Original Completion Date: August 30,2012 July 18,

5 Original Audit Finding Number 3: No guidance provided to districts for monitoring MUA locations to ensure facilities are constructed and maintained in compliance with agreement provisions. MAP 3.3: Identify all parking facilities operated by public entities on TxDOT ROW. Coordinate with TxDOT External Audit Office to perform audits of public entity parking lot fee revenues on a 3-year rotation basis. Original Completion Date: July 15, 2013 Revised Completion Date: December 15, 2014 MAP 3.4: Submit a survey form to each district for verification that MUA is still valid, that required inspections took place, and that the agreement is still in compliance with terms and conditions and the current name of the public entity POC. Original Completion Date: September 15, 2013 Revised Completion Date: August 15, 2014 Closing Comments The results of this MAP Follow-Up engagement were discussed with and provided to the Maintenance Division Management on May 14, The Audit team appreciates the cooperation and assistance received from the Division during this engagement. July 18,

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