TxDOT Internal Audit Materials and Testing Audit Department-wide Report

Size: px
Start display at page:

Download "TxDOT Internal Audit Materials and Testing Audit Department-wide Report"

Transcription

1 Materials and Testing Audit Department-wide Report Introduction This report has been prepared for the Transportation Commission, TxDOT Administration and management. The report presents the results of the Construction Division s Materials and Testing Audit which was part of the Fiscal Year 2010 Audit Plan. The objectives of the audit are to determine if: Materials are from approved sources Materials are sampled and tested in compliance with project requirements Material samplers are certified for the tests performed Pay estimate approvals and processing are separated, and All ARRA special provisions are included and monitored in ARRA funded contracts. Background The SiteManager Contract Administration User Manual contains the following - TxDOT monitors construction contracts in SiteManager. Contract administration in SiteManager includes the following activities: Compliance with contract documents and specifications Enforcing State and Federal regulations Ensuring quality control by overseeing, inspecting, and reviewing sampling and testing of all materials and work, and Keeping and maintaining good project records. SiteManager was developed as part of a $10 million AASHTO joint development project sponsored by 20 transportation agencies. The system automates many of the administrative functions handled manually on construction projects. Materials incorporated in TxDOT projects are subjected to various quality assurance procedures such as testing, certification, quality monitoring, approved lists, etc. The document that outlines the methods and the minimum sampling and testing rates is called the Guide Schedule. The Guide Schedule is the basis for customizing each project s sampling and testing requirements that are set up in SiteManager s Materials Management function. In addressing the results of a State Auditor s Office (SAO) A-133 audit of TxDOT s compliance with federal requirements on construction contracts, on February 17, 2010, David Casteel, P.E., Assistant Executive Director for Field and District Operations, issued a memorandum stating the following: Phase I- CST (Construction Division) will develop automated procedures to reduce manual test data input and simplify the input process. Currently, inspectors enter extensive data for all tests. Districts will have the option to only enter the test result. With this change, the certified tester who performed the test must be entered into the test record. Report P of 6 May 18, 2011

2 Phase 1 will be completed June At that time, SiteManager will become the official sampling and testing record, and all sampling and testing data must be recorded in SiteManager. There is a Phase II to Mr. Casteel s action plan: Phase II SiteManager sampling and testing procedures will be reorganized to simplify and accurately reflect the Guide Schedule. This process will be simplified, aligned with actual construction operations, and modified to improve consistency with the Guide Schedule. Phase II will be completed by September The current audit did not evaluate the implementation of Phase II as activities were still in the planning stage as of November Scope Audit team members included Polita Flemming, Milan Hawkins, and Roberto Manzo. The audit work was conducted during the period of December 2009 to March 1, Audit work was postponed from January to September 2010 while CST implemented changes in response to the SAO s A-133 audit results. All work was conducted in conformance with the International Standards for the Professional Practice of Internal Auditing of The Institute of Internal Auditors. Audit work consisted of researching the following: FHWA regulations regarding project produced materials The Guide Schedule which outlines material quality assurance procedures Materials tested by the Central Lab (CST/M&P), placed on the Master Producers List and may be released for multiple projects District lab operations which include AQMP (Aggregate Quality Monitoring Program) and non-aqmp stockpile testing; as well as tests required by the project managers Labinator and SiteManager Testers by District Verification/acceptance testing by the project inspectors Various methods to record the sampling and test information The ARRA Special Provisions, and Conducted the audit work at the Abilene, Amarillo, Beaumont, El Paso, and Pharr districts. Opinion TxDOT is adequately managing the sampling and testing of materials used in the selected projects. In addition, no significant concerns were indicated with the tracking of material sources, certification of samplers, segregation of estimate payment duties, and adherence with ARRA program requirements. However, some opportunities for improvement are noted in the Findings/Observations sections below. Report P of 6 May 18, 2011

3 Summary of Findings 1. Not all sampling test results (performed after June 1, 2010) are shown in SiteManager. 2. The test recording process misrepresents the responsibilities assigned to individual(s) that perform the sampled by, tested by, reviewed by, and/or authorized by functions. 3. Sample test deficiencies are not resolved in an expedient manner. Detailed Findings and Recommendations Finding No.1: Not all sampling test results (performed after June 1, 2010) are shown in SiteManager. Forty-four point six percent (44.6 %, 37 of 83) of quality assurance tests performed by the districts did not indicate the test results in the test templates examined in SiteManager. Inspectors were under the misunderstanding that copying quality assurance test results for material approved by other districts was supposed to automatically populate the test results onto their SiteManager templates. In other instances, for material approved by CST/M&P, the links to the supporting test results are unworkable or difficult to navigate. One district s policy is to keep the results of assurance tests performed by the district lab in a log and not load the information into SiteManager. Criteria: On June 1, 2010, the SiteManager database became TxDOT s official sampling and testing record. Districts are responsible for insuring that minimum material testing requirements are met for each project, and are required to enter the test results in the SiteManager database. Effect: The lack of information in SiteManager, or the inability to effectively locate test results, impedes the determination if material testing frequencies met reporting requirements or that substandard material were not utilized. Recommendation: Because the sample created by the copy will contain all data within the original sample except for the test data, when using the Copy Sample option, the Master Sample ID should be clearly indicated. As instructed by Mr.Casteel s memo, and a follow-up memo issued on December 10, 2010, by Russel W. Lenz, P.E., Construction Division (CST) Director, all test results should be recorded in SiteManager. Management Response and Action Plan: Responsible Party: Russel Lenz Implementation Date: Dec 2011 CST-C will address the Copy Sample option to bring test data into the sample, not a blank template. In the case of Quality Monitoring (QM) aggregate samples, the results are a rating for the producer generated by applying a 99% confidence limit to the latest 5 QM samples from the producer. As such, the QM has ratings and not specific test data for a sample. We will add a note on these entries that samples used to determine the statistical rating are found in the Laboratory Information Management System (LIMS) and provide a link Report P of 6 May 18, 2011

4 to the LIMS, if possible. CST-C will randomly review project sampling and testing to assure that results of assurance tests performed by the district lab are loaded into SiteManager (reference Finding 3). Finding No. 2: The test recording process misrepresents the responsibilities assigned to individual(s) that perform the sampled by, tested by, reviewed by, and/or authorized by functions. Personnel in non-inspection and/or testing activities that simply source the material or update unspecified materials are listed as the test reviewer/authorizer. On the test template a comment bubble in the reviewer field asserts This field is populated when a user records the test s stamp code. Also, twenty-two point nine percent (22.9%, 19 of 83) of the test templates examined showed that the same individual was the sampler, reviewer, and authorizer. As explained by CST management, the off-site (Quality Monitoring Program) materials have already undergone sampling, testing, and acceptance by qualified personnel which attest to meeting the specifications. The individual(s) sourcing or updating the material are making the correct selections from a list of pre-approved QM samples (i.e. approved aggregate sources on the AQMP, pretested asphalt sources, etc.) that have been confirmed to meet the specific requirements (i.e. surface aggregate classification, grade of asphalt, etc.) of the contract. Due to a lack of resources some district policies allow each person to authorize their own samples while other offices prefer to have one designated person review and authorize all samples. Criteria: Per the SiteManager Materials Management Manual, Chapter 8 Sampling and Testing Guidelines: Prior to authorization, the authorizer (individual accepting technical responsibility for the use of the material and has determined that the material meets the requirements for the intended use) should verify the following in SiteManager: test result meets the specification requirement for the project sampler is qualified to sample the material sample is associated to a contract(s) and its line items. If not, contact the district for clarification prior to authorization actual completion date has been entered Status, Sample Type and Acceptance Method are completed as outlined in the Stamp Codes section. Effect: Unless non-inspection and/or testing activity personnel confirm that the test results meet the specification requirements of the contract, the current practice is not a capable control. When an inspector is listed as a sampler, reviewer, and authorizer, questions arise as to the substance of the process. Recommendation: For clarity, and certainty of responsibilities, the procedures (SiteManager Materials Management) manual should address when the area engineer is deferring their authority to operational staff and the scope of that assignment. Another option could be to enter in the remarks field (on the test template) an explanation as to an individual s actual participation (relative to the situations outlined above). Lastly, while the sampler, tester, and authorizer Report P of 6 May 18, 2011

5 functions have a defined connotation in the SiteManager Materials Management manual, the reviewer function is indistinct. A description of a reviewer s tasks within the context of the sampling and testing activities is necessary. Management Response and Action Plan: Responsible Party: Russel Lenz Implementation Date: Dec 2011 CST-C will modify the current procedures to include, in the remarks, the role the individual is taking when copying QM samples. With the next update of the Materials Management Manual, the reviewer function will be defined. SiteManager will be modified so that the approval of samples requires the approval of at least two separate individuals. Finding No. 3: Sample test deficiencies are not resolved in an expedient manner. Deficiencies arise when tests have not been performed, tests are incorrectly assigned, test results have not been completed, or Quality Monitoring (QM) results have not been certified. A threemonth tracking of the deficiencies associated with the projects selected for our sample (off of the Xite Reports), indicated that twenty-four point two percent (24.2%, 121 of 500) deficiencies under the districts and CST/M&P s purview had not been resolved. Many deficiencies were related to the one (1) test per project requirement for the material item. In order to not hold up the monthly progress estimates, the practice is to turn off the Deficient Sample Indicator. The indicator notifies project management that sample testing deficiencies exist when an estimate is created. Another stated practice as voiced by district personnel, was to resolve any remaining deficiencies during a project s Final Review. Criteria: Deficiencies are generated when insufficient samples exist to meet Contract Sampling and Testing Requirements based on installed quantities. Effect: Not resolving deficiencies at the earliest event possible, particularly waiting until the performance of a project s final review, eliminates the timely assessment of the quality of materials used. Recommendation: Area office personnel should make it a practice to resolve deficiencies during the preparation of the monthly progress estimates. The district labs should synchronize with the Central Lab (CST/M&P) a more effective way to address QM related deficiencies. Management Response and Action Plan: Responsible Party: Russel Lenz Implementation Date: July 2011 CST will reinforce to the districts the importance of timely resolution of testing deficiencies. CST-C will add review of sampling and testing requirements to our routine Change Order (CO) review process. The contracts selected for monthly 10% CO review will also be included for monthly review of sampling and testing deficiencies. The annual 100% CO review will also include a review of the discrepancy status of all contracts in the district. Report P of 6 May 18, 2011

6 Observations The following additional observations are presented for consideration in improving the efficiency of operations and may be deemed helpful when assessing changes to be made during the Phase II update: An inference of excessive testing by state forces: For base work or sub-base work, the practice is not to record a failing test. While not trying to discourage TxDOT s monitoring of projects, the responsibility should be on the contractors to perform their own testing and inform TxDOT when the work is ready for assurance testing. Question the identity of the inspector that created a test: The ability to select the inspector s name from a drop down menu allows anyone to create a sample using someone else s name. Different certification data depending on the database queried: The Labinator (an add-on created by CST which includes the most current information on certifications) and SiteManager district tester databases show different information for the same testers. Administrative delays hinder updating access statuses: The regions are not providing the status of deactivation (of former employees) to the districts. May hamper the effectiveness of statewide desk audits: Districts are still proposing developing internal SOPs to address sampling and testing problems. Source letters do not reflect added or deleted sources: Sourcing letter information is not getting updated when the contractor(s) make material source revisions. Closing Comments The results of this audit were discussed with the CST Director, CST Section Director, and CST/M&P Director on March 28, We thank all employees who assisted us during this audit. Report P of 6 May 18, 2011

Internal Audit Report. Electronic Bidding and Contract Letting TxDOT Office of Internal Audit

Internal Audit Report. Electronic Bidding and Contract Letting TxDOT Office of Internal Audit Internal Audit Report Electronic Bidding and Contract Letting TxDOT Office of Internal Audit Objective Review of process controls and service delivery of the TxDOT electronic bidding process. Opinion Based

More information

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

Internal Audit Follow-Up Report. Multiple Use Agreements TxDOT Office of Internal Audit Internal Audit Follow-Up Report Multiple Use Agreements TxDOT Office of Internal Audit Objective Assess the status of corrective actions for high risk Management Action Plans (MAPs) previously communicated

More information

Postal Inspection Service Mail Covers Program

Postal Inspection Service Mail Covers Program Postal Inspection Service Mail Covers Program May 28, 2014 AUDIT REPORT Report Number HIGHLIGHTS BACKGROUND: In fiscal year 2013, the U.S. Postal Inspection Service processed about 49,000 mail covers.

More information

Table of Contents 6.1 CORRESPONDENCE

Table of Contents 6.1 CORRESPONDENCE Table of Contents Section Page 6.1 CORRESPONDENCE... 6.1-1 6.1.1 In-House Memoranda... 6.1-1 6.1.1.1 General... 6.1-1 6.1.1.2 Format... 6.1-1 6.1.1.3 Signatures... 6.1-1 6.1.1.4 Distribution... 6.1-2 6.1.2

More information

Article I - Administrative Bylaws Section IV - Coordinator Assignments

Article I - Administrative Bylaws Section IV - Coordinator Assignments 3 Article I - Administrative Bylaws Section IV - Coordinator Assignments 1.4.1 ASSIGNMENT OF COORDINATORS To fulfill the duties of the Fiscal Control and Internal Auditing Act (30 ILCS 10/2005), the Board

More information

American Association for Laboratory Accreditation

American Association for Laboratory Accreditation R311 - Specific Requirements: Federal Risk and Authorization Management Program Page 1 of 10 R311 - Specific Requirements: Federal Risk and Authorization Management Program 2017 by A2LA. All rights reserved.

More information

MATERIALS DIVISION MEMORANDUM SIGNATURE:

MATERIALS DIVISION MEMORANDUM SIGNATURE: MATERIALS DIVISION MEMORANDUM GENERAL SUBJECT: Revision of Materials MOI Chapter 1 General Instructions NUMBER: MD 359-13 SPECIFIC SUBJECT: Revision of Materials MOI Section 115 Materials Certification

More information

Request for Qualifications for Audit Services March 25, 2015

Request for Qualifications for Audit Services March 25, 2015 Request for Qualifications for Audit Services March 25, 2015 I. GENERAL INFORMATION A. Purpose This Request for Qualifications (RFQ) is to solicit a CPA firm with which to contract for a financial and

More information

Prepared Testimony of. Bohdan R. Pankiw. Chief Counsel Pennsylvania Public Utility Commission. before the

Prepared Testimony of. Bohdan R. Pankiw. Chief Counsel Pennsylvania Public Utility Commission. before the Prepared Testimony of Bohdan R. Pankiw Chief Counsel Pennsylvania Public Utility Commission before the Pennsylvania Senate Consumer Protection and Professional Licensure Committee and Pennsylvania Senate

More information

Chapter 4 EDGE Approval Protocol for Auditors Version 3.0 June 2017

Chapter 4 EDGE Approval Protocol for Auditors Version 3.0 June 2017 Chapter 4 EDGE Approval Protocol for Auditors Version 3.0 June 2017 Copyright 2017 International Finance Corporation. All rights reserved. The material in this publication is copyrighted by International

More information

MaterialsManager. The Next Generation SiteManager TM TUG Presentation by Monelle McKay Info Tech, Inc.

MaterialsManager. The Next Generation SiteManager TM TUG Presentation by Monelle McKay Info Tech, Inc. MaterialsManager The Next Generation SiteManager TM 1999 TUG Presentation by Monelle McKay Info Tech, Inc. Discussion Topics SiteManager - Brief Background & History SiteManager Materials Functionality

More information

Certification Body Audit Resources

Certification Body Audit Resources Certification Body Audit Resources Policy 13 v4.01 Original Issue 20 May 2012 Revision Date Effective Date Policy Applicable To All CertiSource Staff and Certification Body Staff Policy Managed By Approved

More information

SECTION 115 MATERIALS CERTIFICATION SCHOOLS PROGRAM

SECTION 115 MATERIALS CERTIFICATION SCHOOLS PROGRAM SECTION 115 MATERIALS CERTIFICATION SCHOOLS PROGRAM The Materials Certification Schools (MCS) Program is offered by the Virginia Department of Transportation (VDOT) for individuals who wish to receive

More information

Timber Products Inspection, Inc.

Timber Products Inspection, Inc. Timber Products Inspection, Inc. Product Certification Public Document Timber Products Inspection, Inc. P.O. Box 919 Conyers, GA 30012 Phone: (770) 922-8000 Fax: (770) 922-1290 TP Product Certification

More information

CASA External Peer Review Program Guidelines. Table of Contents

CASA External Peer Review Program Guidelines. Table of Contents CASA External Peer Review Program Guidelines Table of Contents Introduction... I-1 Eligibility/Point System... I-1 How to Request a Peer Review... I-1 Peer Reviewer Qualifications... I-2 CASA Peer Review

More information

I. PURPOSE III. PROCEDURE

I. PURPOSE III. PROCEDURE A.R. Number: 2.11 Effective Date: 2/1/2009 Page: 1 of 5 I. PURPOSE This policy outlines the procedures that third party organizations must follow when connecting to the City of Richmond (COR) networks

More information

Procedure for the Selection, Training, Qualification and Authorisation of Marine Management Systems Auditors

Procedure for the Selection, Training, Qualification and Authorisation of Marine Management Systems Auditors (Rev.0 July 2009) (Rev.1 Sep 2012) (Rev.2 Nov 2014) Procedure for the Selection, Training, Qualification and Authorisation of Marine Management Systems Auditors Note: 1. This procedural requirement applies

More information

Subject: Audit Report 16-50, IT Disaster Recovery, California State University, Fresno

Subject: Audit Report 16-50, IT Disaster Recovery, California State University, Fresno Larry Mandel Vice Chancellor and Chief Audit Officer Office of Audit and Advisory Services 401 Golden Shore, 4th Floor Long Beach, CA 90802-4210 562-951-4430 562-951-4955 (Fax) lmandel@calstate.edu February

More information

CITY OF MONTEBELLO SYSTEMS MANAGER

CITY OF MONTEBELLO SYSTEMS MANAGER CITY OF MONTEBELLO 109A DEFINITION Under general administrative direction of the City Administrator, provides advanced professional support to departments with very complex computer systems, programs and

More information

Council on Dairy Cattle Breeding

Council on Dairy Cattle Breeding Council on Dairy Cattle Breeding General Auditing Guidelines Effective January 1, 2010 Version 10.0 The purpose of this manual is to ensure the accuracy and uniformity of all records included in the national

More information

CA ELAP Expert Review Panel Meeting January 31, EPA Perspective: Effective Laboratory Certification Program Implementation

CA ELAP Expert Review Panel Meeting January 31, EPA Perspective: Effective Laboratory Certification Program Implementation CA ELAP Expert Review Panel Meeting January 31, 2017 EPA Perspective: Effective Laboratory Certification Program Implementation Daniel P. Hautman, Deputy Director Technical Support Center Cincinnati, OH

More information

Department of Veterans Affairs VA DIRECTIVE April 17, 2006 WEB PAGE PRIVACY POLICY

Department of Veterans Affairs VA DIRECTIVE April 17, 2006 WEB PAGE PRIVACY POLICY Department of Veterans Affairs VA DIRECTIVE 6502.3 Washington, DC 20420 Transmittal Sheet WEB PAGE PRIVACY POLICY 1. REASON FOR ISSUE: To establish policy for the Department of Veterans Affairs (VA) for

More information

REPORT 2015/149 INTERNAL AUDIT DIVISION

REPORT 2015/149 INTERNAL AUDIT DIVISION INTERNAL AUDIT DIVISION REPORT 2015/149 Audit of the information and communications technology operations in the Investment Management Division of the United Nations Joint Staff Pension Fund Overall results

More information

Internal Quality Assurance Report. Inspector General Department

Internal Quality Assurance Report. Inspector General Department Tim Parks, Chief Internal Audit Officer/Inspector General Sandy Bottone, Senior Internal Auditor/Accreditation Manager August 8, 2018 August 8, 2018 The Honorable Linda Doggett, Lee County Clerk of Circuit

More information

Auditing in an Automated Environment: Appendix E: System Design, Development, and Maintenance

Auditing in an Automated Environment: Appendix E: System Design, Development, and Maintenance Accountability Modules Auditing in an Automated Environment: Agency Prepared By Initials Date Reviewed By Audit Program - System Design, Development, and Maintenance W/P Ref Page 1 of 1 Procedures Initials

More information

DISTRICT OF COLUMBIA WATER AND SEWER AUTHORITY DEPARTMENT OF PROCUREMENT

DISTRICT OF COLUMBIA WATER AND SEWER AUTHORITY DEPARTMENT OF PROCUREMENT DISTRICT OF COLUMBIA WATER AND SEWER AUTHORITY DEPARTMENT OF PROCUREMENT REQUEST FOR PROPOSALS (RFP) for An Independent Review of Architectural and Engineering Consultant Overhead Rates RFP NUMBER: 17-PR-DETS-45

More information

Subject: Audit Report 18-84, IT Disaster Recovery, California State University, Sacramento

Subject: Audit Report 18-84, IT Disaster Recovery, California State University, Sacramento Larry Mandel Vice Chancellor and Chief Audit Officer Audit and Advisory Services 401 Golden Shore, 4th Floor Long Beach, CA 90802-4210 562-951-4430 562-951-4955 (Fax) lmandel@calstate.edu October 23, 2018

More information

DEPARTMENT OF NATURAL RESOURCES. EFFECTIVE DATE: December 1, 1999

DEPARTMENT OF NATURAL RESOURCES. EFFECTIVE DATE: December 1, 1999 DEPARTMENT OF NATURAL RESOURCES ADMINISTRATIVE POLICY NO: 2 EFFECTIVE DATE: December 1, 1999 SUBJECT: AUTHORIZATION: POLICY: CELLULAR PHONES Louisiana Administrative Code Title 4; Part IX; 9:901 and R.S.

More information

New York Department of Financial Services Cybersecurity Regulation Compliance and Certification Deadlines

New York Department of Financial Services Cybersecurity Regulation Compliance and Certification Deadlines New York Department of Financial Services Cybersecurity Regulation Compliance and Certification Deadlines New York Department of Financial Services ( DFS ) Regulation 23 NYCRR 500 requires that entities

More information

Rules for LNE Certification of Management Systems

Rules for LNE Certification of Management Systems Rules for LNE Certification of Management Systems Application date: March 10 th, 2017 Rev. 040716 RULES FOR LNE CERTIFICATION OF MANAGEMENT SYSTEMS CONTENTS 1. PURPOSE... 3 2. SCOPE... 3 3. DEFINITION

More information

Standard CIP Cyber Security Critical Cyber Asset Identification

Standard CIP Cyber Security Critical Cyber Asset Identification Standard CIP 002 1 Cyber Security Critical Cyber Asset Identification Standard Development Roadmap This section is maintained by the drafting team during the development of the standard and will be removed

More information

Sparta Systems TrackWise Digital Solution

Sparta Systems TrackWise Digital Solution Systems TrackWise Digital Solution 21 CFR Part 11 and Annex 11 Assessment February 2018 Systems TrackWise Digital Solution Introduction The purpose of this document is to outline the roles and responsibilities

More information

Any observations not included in this report were discussed with your staff at the informal exit conference and may be subject to follow-up.

Any observations not included in this report were discussed with your staff at the informal exit conference and may be subject to follow-up. Larry Mandel Vice Chancellor and Chief Audit Officer Audit and Advisory Services 401 Golden Shore, 4th Floor Long Beach, CA 90802-4210 562-951-4430 562-951-4955 (Fax) lmandel@calstate.edu June 5, 2018

More information

Standard CIP Cyber Security Critical Cyber Asset Identification

Standard CIP Cyber Security Critical Cyber Asset Identification Standard CIP 002 1 Cyber Security Critical Cyber Asset Identification Standard Development Roadmap This section is maintained by the drafting team during the development of the standard and will be removed

More information

Does a SAS 70 Audit Leave you at Risk of a Security Exposure or Failure to Comply with FISMA?

Does a SAS 70 Audit Leave you at Risk of a Security Exposure or Failure to Comply with FISMA? Does a SAS 70 Audit Leave you at Risk of a Security Exposure or Failure to Comply with FISMA? A brief overview of security requirements for Federal government agencies applicable to contracted IT services,

More information

Office of Inspector General Office of Professional Practice Services

Office of Inspector General Office of Professional Practice Services Office of Inspector General Office of Professional Practice Services Executive Summary In accordance with the Department of Education s fiscal year 2017-18 audit plan, the Office of Inspector General (OIG)

More information

Regulation for the accreditation of product Certification Bodies

Regulation for the accreditation of product Certification Bodies Title Reference Regulation for the accreditation of product Certification Bodies RG-01-03 Revision 00 Date 2014-04-14 Preparation Approval Authorization of issue Application date Director of the Dept.

More information

COUNTY AUDIT HILLSBOROUGH COUNTY, FLORIDA CONSULTANT COMPETITIVE NEGOTIATION ACT (CCNA) PROCUREMENT PROCESS AUDIT REPORT # 251

COUNTY AUDIT HILLSBOROUGH COUNTY, FLORIDA CONSULTANT COMPETITIVE NEGOTIATION ACT (CCNA) PROCUREMENT PROCESS AUDIT REPORT # 251 , FLORIDA REPORT # 251 NOVEMBER 21, 2013 TABLE OF CONTENTS EXECUTIVE SUMMARY Background Information 1 Objective 1 Scope 1 Overall Evaluation 2 Opinion 2 Audited By 2 AUDIT COMMENTS Control Activities

More information

Investigation. City of Edmonton Office of the City Auditor. ETS Workforce Development. January 14, 2019

Investigation. City of Edmonton Office of the City Auditor. ETS Workforce Development. January 14, 2019 City of Edmonton Office of the City Auditor Investigation ETS Workforce Development January 14, 2019 1200, Scotia Place, Tower 1 10060 Jasper Ave Edmonton, AB T5J 3R8 Phone: 780-496-8300 edmonton.ca/auditor

More information

MMARS Financial, Labor Cost Management (LCM) and Commonwealth Information Warehouse (CIW) Reports

MMARS Financial, Labor Cost Management (LCM) and Commonwealth Information Warehouse (CIW) Reports MMARS Policy: Audit Issue Date: April 30, 2007 Date Last Revised: MMARS Financial, Labor Cost Management (LCM) and Commonwealth Information Warehouse (CIW) Reports Executive Summary The Massachusetts Management

More information

APPROVAL FCA103 ISSUED BY THE COMPETENT AUTHORITY OF THE UNITED STATES EXPIRATION DATE: March 31, 2019

APPROVAL FCA103 ISSUED BY THE COMPETENT AUTHORITY OF THE UNITED STATES EXPIRATION DATE: March 31, 2019 U.S. Department East Building, PHH 32 of Transportation 1200 New Jersey Avenue, Southeast Pipeline and Hazardous Materials Safety Administration Washington, D.C. 20590 APPROVAL FCA103 ISSUED BY THE COMPETENT

More information

Cell and PDAs Policy

Cell and PDAs Policy Cell and PDAs Policy CHAPTER: 13 Information Services Department SECTION: 13 SUBJECT: Cell Phones and PDAs POLICY #: 13.13.00 Revised OFFICE/DEPARTMENT: Information Services EFFECTIVE DATE: October 1,

More information

C22: SAS 70 Practices and Developments Todd Bishop, PricewaterhouseCoopers

C22: SAS 70 Practices and Developments Todd Bishop, PricewaterhouseCoopers C22: SAS 70 Practices and Developments Todd Bishop, PricewaterhouseCoopers SAS No. 70 Practices & Developments Todd Bishop Director, Risk Assurance Services, PricewaterhouseCoopers Agenda SAS 70 Background

More information

Certification of Quality Management Systems with respect to Product Compliance

Certification of Quality Management Systems with respect to Product Compliance Certification of Quality Management Systems with respect to This document describes in detail the steps Telefication follows for certification of the various Quality Management Systems with respect to.

More information

WIRELESS DEVICES: ACCEPTABLE USE AND GUIDELINES

WIRELESS DEVICES: ACCEPTABLE USE AND GUIDELINES Goodhue County Education District #6051 WIRELESS DEVICES: ACCEPTABLE USE AND GUIDELINES Procedures Manual Updated January 2016 Table of Contents Overview 3 Definitions 3 General Guidelines 4 Eligibility

More information

SDDOT CONSTRUCTION MANUAL PROJECT MANAGEMENT SECTION CHAPTER 3 MATERIALS TABLE OF CONTENTS

SDDOT CONSTRUCTION MANUAL PROJECT MANAGEMENT SECTION CHAPTER 3 MATERIALS TABLE OF CONTENTS SDDOT CONSTRUCTION MANUAL PROJECT MANAGEMENT SECTION CHAPTER 3 MATERIALS TABLE OF CONTENTS ITEM PAGE SDDOT MATERIALS MANUAL...3-2 ADMINISTRATION OF MATERIALS CERTIFICATION AND TESTING PROCEDURES...3-2

More information

SLI Compliance ONC-ATL Testing Program Guide

SLI Compliance ONC-ATL Testing Program Guide SLI Compliance A Division of Gaming Laboratories International, LLC 4720 Independence St. Wheat Ridge, CO 80033 303-422-1566 www.slicompliance.com SLI Compliance ONC-ATL Testing Program Guide Document

More information

DIVISION 2600 MATERIALS CERTIFICATIONS

DIVISION 2600 MATERIALS CERTIFICATIONS TABLE OF CONTENTS DIVISION 2600 MATERIALS CERTIFICATIONS SECTION 2601 - MATERIALS CERTIFICATIONS... 2600-1 PAGE i SECTION 2601 MATERIALS CERTIFICATIONS 2601.1 DESCRIPTION This specification governs the

More information

Information Official District information as defined herein and/or by other Board policy.

Information Official District information as defined herein and/or by other Board policy. AP 3730 WEB STANDARDS References: Section 508 of the Rehabilitation Act of 1973 (29 U.S. Code Section 794d); 36 Code of Federal Regulations Sections 1194.1 et seq.; Government Code Section 11135; Title

More information

Inspector for Stormwater Management. Department of Environmental Quality Office of Training Services

Inspector for Stormwater Management. Department of Environmental Quality Office of Training Services Inspector for Stormwater Management Department of Environmental Quality Office of Training Services Agenda Day 1 8:30 10:00 Mod. 1 Intro to VSMP 10:00 10:15 Break 10:15 11:00 Mod. 2 Basic Stormwater Principles

More information

All Aboard the HIPAA Omnibus An Auditor s Perspective

All Aboard the HIPAA Omnibus An Auditor s Perspective All Aboard the HIPAA Omnibus An Auditor s Perspective Rick Dakin CEO & Chief Security Strategist February 20, 2013 1 Agenda Healthcare Security Regulations A Look Back What is the final Omnibus Rule? Changes

More information

Edmonton Public Library Contracted Custodial Services Review. March 01, 2011

Edmonton Public Library Contracted Custodial Services Review. March 01, 2011 Edmonton Public Library Contracted Custodial Services Review March 01, 2011 The Office of the City Auditor conducted this project in accordance with the International Standards for the Professional Practice

More information

FSC STANDARD. Standard for Multi-site Certification of Chain of Custody Operations. FSC-STD (Version 1-0) EN

FSC STANDARD. Standard for Multi-site Certification of Chain of Custody Operations. FSC-STD (Version 1-0) EN FOREST STEWARDSHIP COUNCIL INTERNATIONAL CENTER FSC STANDARD Standard for Multi-site Certification of Chain of Custody Operations FSC-STD-40-003 (Version 1-0) EN 2007 Forest Stewardship Council A.C. All

More information

ISACA Cincinnati Chapter March Meeting

ISACA Cincinnati Chapter March Meeting ISACA Cincinnati Chapter March Meeting Recent and Proposed Changes to SOC Reports Impacting Service and User Organizations. March 3, 2015 Presenters: Sayontan Basu-Mallick Lori Johnson Agenda SOCR Overview

More information

Physician Quality Reporting System (PQRS) Physician Portal

Physician Quality Reporting System (PQRS) Physician Portal The American College of Radiology Physician Quality Reporting System (PQRS) Physician Portal User Guide November 15, 2016 American College of Radiology 1891 Preston White Drive Reston, VA 20191-4397 Copyright

More information

TITLE: HIE System Audit

TITLE: HIE System Audit TITLE: HIE System Audit Policy #: Effective Date: April 4, 2012 Program: Hawai i HIE Revision Date: May 18, 2016 Approved By: Hawai i HIE Board of Directors Table of Contents 1. Purpose 2. Scope 3. Definitions

More information

Provider Monitoring Process

Provider Monitoring Process Provider Monitoring Process This statewide provider monitoring process is applicable for all providers including direct vendors, Agency with Choice (AWC) Financial Management Services (FMS) providers and

More information

C-BPVCA ADMINISTRATIVE PROCEDURES DELEGATED TO ASME CONFORMITY ASSESSMENT STAFF

C-BPVCA ADMINISTRATIVE PROCEDURES DELEGATED TO ASME CONFORMITY ASSESSMENT STAFF PROCEDURES ISSUE 1, REVISION 10 C-BPVCA ADMINISTRATIVE PROCEDURES DELEGATED TO ASME CONFORMITY ASSESSMENT STAFF Approved by the Committee on Boiler and Pressure Vessel Conformity Assessment 9/11/2018 The

More information

NIST: Important Considerations for the Certification Body Designating Authority

NIST: Important Considerations for the Certification Body Designating Authority NIST: Important Considerations for the Certification Body Designating Authority Japan MRA Workshop March 22, 2017 Ramona Saar NIST Department of Commerce United States Version updated 3/27/2017 NIST National

More information

Continuously Operating GPS Reference Network. Jim Waters, PE, RLS Assistant Director, Design Division

Continuously Operating GPS Reference Network. Jim Waters, PE, RLS Assistant Director, Design Division Continuously Operating GPS Reference Network Jim Waters, PE, RLS Assistant Director, Design Division TDOT began discussions internally about a possible Continuously Operating Reference Network in 1999

More information

The University of Texas at El Paso. Information Security Office Minimum Security Standards for Systems

The University of Texas at El Paso. Information Security Office Minimum Security Standards for Systems The University of Texas at El Paso Information Security Office Minimum Security Standards for Systems 1 Table of Contents 1. Purpose... 3 2. Scope... 3 3. Audience... 3 4. Minimum Standards... 3 5. Security

More information

Missouri Housing Development Commission Certified Property Management Agent Program

Missouri Housing Development Commission Certified Property Management Agent Program Missouri Housing Development Commission Certified Property Management Agent Program History Over the past few years, MHDC has been working towards establishing a management certification program that fairly

More information

The Accreditation and Verification Regulation - Verification report

The Accreditation and Verification Regulation - Verification report EUROPEAN COMMISSION DIRECTORATE-GENERAL CLIMATE ACTION Directorate A - International and Climate Strategy CLIMA.A.3 - Monitoring, Reporting, Verification Guidance Document The Accreditation and Verification

More information

Maryland Health Care Commission

Maryland Health Care Commission Special Review Maryland Health Care Commission Security Monitoring of Patient Information Maintained by the State-Designated Health Information Exchange September 2017 OFFICE OF LEGISLATIVE AUDITS DEPARTMENT

More information

PTSPAS Product Assessment HAPAS Equivalent in accordance with MCHW SHW Volume 1 Clause and

PTSPAS Product Assessment HAPAS Equivalent in accordance with MCHW SHW Volume 1 Clause and 1. Policy It is the policy of Pavement Testing Services Ltd (hereafter PTS) to operate its certification/ assessment services in a non-discriminatory manner. PTS shall not use procedures / processes to

More information

SAS 70 revised. ISAE 3402 will focus on financial reporting control procedures. Compact_ IT Advisory 41. Introduction

SAS 70 revised. ISAE 3402 will focus on financial reporting control procedures. Compact_ IT Advisory 41. Introduction Compact_ IT Advisory 41 SAS 70 revised ISAE 3402 will focus on financial reporting control procedures Jaap van Beek and Marco Francken J.J. van Beek is a partner at KPMG IT Advisory. He has over twenty-years

More information

Certified Commissioning Technician (CxT) Application

Certified Commissioning Technician (CxT) Application 1518 K Street NW Washington, DC 20005 Tel: (202) 737-7775 Fax: (202) 638-4833 Email: info@commissioning.org Website: www.commissioning.org Certified Commissioning Technician () Application First Name Middle

More information

Candidate Handbook Certified Commissioning Firm (CCF) Program

Candidate Handbook Certified Commissioning Firm (CCF) Program Candidate Handbook Certified Commissioning Firm (CCF) Program Building Commissioning Certification Board 1600 NW Compton Drive, Suite 200 Beaverton, OR 97006 Phone: (844) 881-8601 E-mail: certification@bcxa.org

More information

The Texas A&M University System Internal Audit Department MONTHLY AUDIT REPORT

The Texas A&M University System Internal Audit Department MONTHLY AUDIT REPORT The Texas A&M University System Internal Audit Department MONTHLY AUDIT REPORT December 19, 2016 The Texas A&M University System Internal Audit Department December 2016 TABLE OF CONTENTS Texas A&M Transportation

More information

MATERIALS MANAGEMENT SYSTEM (MMS) USER S GUIDE

MATERIALS MANAGEMENT SYSTEM (MMS) USER S GUIDE MATERIALS MANAGEMENT SYSTEM (MMS) USER S GUIDE Version. STATE HIGHWAY ADMINISTRATION STATE OF MARYLAND June, 08 Table of Contents Overview... 8. MATERIAL MANAGEMENT SYSTEM (MMS) GOALS... 8. MMS BENEFITS...

More information

IT Security Evaluation and Certification Scheme Document

IT Security Evaluation and Certification Scheme Document IT Security Evaluation and Certification Scheme Document June 2015 CCS-01 Information-technology Promotion Agency, Japan (IPA) IT Security Evaluation and Certification Scheme (CCS-01) i / ii Table of Contents

More information

The Texas A&M University System Internal Audit Department MONTHLY AUDIT REPORT

The Texas A&M University System Internal Audit Department MONTHLY AUDIT REPORT MONTHLY AUDIT REPORT September 22, 2016 September 2016 TABLE OF CONTENTS Texas A&M University - Central Texas Financial Management Services' Operations and Student Information Systems General and Application

More information

Certification Policies for Concrete Quality Technical Manager (CQTM)

Certification Policies for Concrete Quality Technical Manager (CQTM) Certification Policies for (CQTM) Last approved by the Certification Programs Committee The statements contained herein are a consolidation of proposed policies and procedures. This policy statement supersedes

More information

The Need for Regulations For Private Labs Certification. Waleed Khaled Eid, PhD Consultant, Sematco Soil and Engineering Material Testing Co. W.L.L.

The Need for Regulations For Private Labs Certification. Waleed Khaled Eid, PhD Consultant, Sematco Soil and Engineering Material Testing Co. W.L.L. The Need for Regulations For Private Labs Certification Waleed Khaled Eid, PhD Consultant, Sematco Soil and Engineering Material Testing Co. W.L.L. Outline Current Practice in Kuwait Sematco Soil & Engineering

More information

REVIEW OF MANAGEMENT AND OVERSIGHT OF THE INTEGRATED BUSINESS MANAGEMENT SYSTEM (IBMS) January 16, 2009

REVIEW OF MANAGEMENT AND OVERSIGHT OF THE INTEGRATED BUSINESS MANAGEMENT SYSTEM (IBMS) January 16, 2009 APPENDIX 1 REVIEW OF MANAGEMENT AND OVERSIGHT OF THE INTEGRATED BUSINESS MANAGEMENT SYSTEM (IBMS) January 16, 2009 Auditor General s Office Jeffrey Griffiths, C.A., C.F.E. Auditor General City of Toronto

More information

Sparta Systems TrackWise Solution

Sparta Systems TrackWise Solution Systems Solution 21 CFR Part 11 and Annex 11 Assessment October 2017 Systems Solution Introduction The purpose of this document is to outline the roles and responsibilities for compliance with the FDA

More information

College/Division Administrator Meeting Minutes July 14, Mary Dickerson, Executive Director, Information Technology Security

College/Division Administrator Meeting Minutes July 14, Mary Dickerson, Executive Director, Information Technology Security Mary Dickerson, Executive Director, Information Technology Security Update on MAPP 10.03.06 - Appointments and ISO Certification Program All colleges and divisions have assigned someone to fill the following

More information

NEWTON COUNTY OPEN RECORDS ACT POLICY

NEWTON COUNTY OPEN RECORDS ACT POLICY NEWTON COUNTY OPEN RECORDS ACT POLICY As a public entity, Newton County is subject to the Open Records Act, O. C. G.A. 50-18- 70 et seq. Newton County is committed to conducting its business in a manner

More information

Spillemyndigheden s requirements for accredited testing organisations. Version of 1 July 2012

Spillemyndigheden s requirements for accredited testing organisations. Version of 1 July 2012 Version 1.3.0 of 1 July 2012 Contents 1 Introduction... 3 1.1 Authority... 3 1.2 Objective... 3 1.3 Target audience... 3 1.4 Version... 3 1.5 Enquiries... 3 2 Certification... 4 2.1 Framework for certification...

More information

PRODUCT CERTIFICATION SCHEME FOR MECHANICAL-CUSTOMIZED VEHICLES

PRODUCT CERTIFICATION SCHEME FOR MECHANICAL-CUSTOMIZED VEHICLES Ref No: RACS/SOP/57 Page 1 of 6 1. Objective: This procedure describes the criteria implemented by RACS as Notified Body of Emirates Authority of Standardization and Metrology (ESMA) that Mechanical Customized

More information

MNsure Privacy Program Strategic Plan FY

MNsure Privacy Program Strategic Plan FY MNsure Privacy Program Strategic Plan FY 2018-2019 July 2018 Table of Contents Introduction... 3 Privacy Program Mission... 4 Strategic Goals of the Privacy Office... 4 Short-Term Goals... 4 Long-Term

More information

Article II - Standards Section V - Continuing Education Requirements

Article II - Standards Section V - Continuing Education Requirements Article II - Standards Section V - Continuing Education Requirements 2.5.1 CONTINUING PROFESSIONAL EDUCATION Internal auditors are responsible for maintaining their knowledge and skills. They should update

More information

Personnel Certification Program

Personnel Certification Program Personnel Certification Program ISO 9001 (QMS) / ISO 14001 (EMS) Form PC1000 Last Updated 9/11/2017 Page 1 of 14 INDEX Auditor Certification Quality or Environmental Program Pg 3-4 Certification Status

More information

SECTION 114 MATERIALS CERTIFICATION SCHOOLS PROGRAM

SECTION 114 MATERIALS CERTIFICATION SCHOOLS PROGRAM VIRGINIA DEPARTMENT OF TRANSPORTATION MATERIALS DIVISION MEMORANDUM GENERAL SUBJECT: MATERIALS CERTIFICATION SCHOOLS PROGRAM SPECIFIC SUBJECT: Revisions to the Materials Certification Schools policies

More information

REPORT 2015/010 INTERNAL AUDIT DIVISION

REPORT 2015/010 INTERNAL AUDIT DIVISION INTERNAL AUDIT DIVISION REPORT 2015/010 Audit of information and communications technology strategic planning, governance and management in the Investment Management Division of the United Nations Joint

More information

RULES OF THE TENNESSEE ALCOHOLIC BEVERAGE COMMISSION CHAPTER RULES FOR PROFESSIONAL ALCOHOL SERVER TRAINING TABLE OF CONTENTS

RULES OF THE TENNESSEE ALCOHOLIC BEVERAGE COMMISSION CHAPTER RULES FOR PROFESSIONAL ALCOHOL SERVER TRAINING TABLE OF CONTENTS RULES OF THE TENNESSEE ALCOHOLIC BEVERAGE COMMISSION CHAPTER 0100-08 RULES FOR PROFESSIONAL ALCOHOL SERVER TRAINING TABLE OF CONTENTS 0100-08-.01 Purpose 0100-08-.05 Miscellaneous Provisions 0100-08-.02

More information

RULES OF TENNESSEE STATE BOARD OF EQUALIZATION CHAPTER ASSESSMENT CERTIFICATION AND EDUCATION PROGRAM TABLE OF CONTENTS

RULES OF TENNESSEE STATE BOARD OF EQUALIZATION CHAPTER ASSESSMENT CERTIFICATION AND EDUCATION PROGRAM TABLE OF CONTENTS RULES OF TENNESSEE STATE BOARD OF EQUALIZATION CHAPTER 0600-04 ASSESSMENT CERTIFICATION AND EDUCATION PROGRAM TABLE OF CONTENTS 0600-04-.01 General Requirements for Candidacy - 0600-04-.06 Assessment Level

More information

QC Program/QCS Update to Lab Advisory Committee

QC Program/QCS Update to Lab Advisory Committee QC Program/QCS Update to Lab Advisory Committee Steven Sievert and Jay Mattison Quality Certification Services, Inc. Minneapolis, MN September 19, 2007 Topics to highlight 1. Changes in Guidelines approved

More information

Meal Pattern Requirements

Meal Pattern Requirements Certification of Compliance with New Meal Pattern Requirements 1 Agenda Background Certification - SFA Responsibilities Certification - State Agency Responsibilities SY 2012-13 Validation Reviews Administrative

More information

Battery Program Management Document

Battery Program Management Document Battery Program Management Document Revision 5.1 February 2011 CTIA Certification Program 1400 16 th Street, NW, Suite 600 Washington, DC 20036 e-mail: certification@ctia.org Telephone: 1.202.785.0081

More information

Texas Lottery Commission Internal Audit. Mailroom Processes. August 30, 2018 Report # An Internal Audit of. Prepared by:

Texas Lottery Commission Internal Audit. Mailroom Processes. August 30, 2018 Report # An Internal Audit of. Prepared by: Texas Lottery Commission Internal Audit An Internal Audit of Mailroom Processes August 30, 2018 Report #18-005 Prepared by: This report provides management with information about the condition of risks

More information

2.1. Scope of environmental site assessment

2.1. Scope of environmental site assessment 1. PURPOSE AND SCOPE This document contains the criteria used by the Québec Association of Environmental Auditors (QAEA) to determine whether a person may obtain the title of certified environmental site

More information

Certification Rights and Duties

Certification Rights and Duties Certification Rights and Duties Audit Process A complete audit cycle follows the stages of: 1. Application: The client shall receive an application form from AWMS. Prior to engaging in any certification

More information

Training Programmes Sri Lanka Accreditation Board for Conformity Assessment

Training Programmes Sri Lanka Accreditation Board for Conformity Assessment Training Programmes -2018 Sri Lanka Accreditation Board for Conformity Assessment General Instructions: All interested parties are requested to fill separate reservation form for each and submit to the

More information

Accreditation Body Evaluation Procedure for AASHTO R18 Accreditation

Accreditation Body Evaluation Procedure for AASHTO R18 Accreditation Accreditation Body Evaluation Procedure for AASHTO R18 Accreditation Final August 9, 2016 Page 1 of 12 Section Number Table of Contents Title of Section 0 Purpose 1 Scope 2 References 3 Objectives 4 Criteria

More information

ISO/IEC 17065:2012 VERTICAL/FILE REVIEW ASSESSMENT

ISO/IEC 17065:2012 VERTICAL/FILE REVIEW ASSESSMENT F 136-04 ISO/IEC 17065:2012 SANAS Accr. No/s. VERTICAL/FILE REVIEW ASSESSMENT Organisation Organisation Representative Date: Area / field of operation Accreditation standard Assessor Signed Lead Assessor:

More information

ANRC II. Eligibility requirements Authority Requirements for accreditation Review of application...

ANRC II. Eligibility requirements Authority Requirements for accreditation Review of application... ANRC-138.00 Rules Governing the Arkansas Natural Resources Commission s* Floodplain Administrator Accreditation Program Title 18 (Effective Date November 29, 2003) *In 2005, the agency known as Arkansas

More information

South Carolina Association of School Business Officials. Certification Program Guidelines

South Carolina Association of School Business Officials. Certification Program Guidelines South Carolina Association of School Business Officials Certification Program Guidelines SCASBO Certification Guidelines The South Carolina Association of School Business Officials announced the launch

More information

Get The Respect You Deserve With Credentials From APWA

Get The Respect You Deserve With Credentials From APWA Get The Respect You Deserve With Credentials From APWA Accreditation Certified Public Fleet Professional Certified Public Infrastructure Inspector Certified Stormwater Manager The Credentialing Department

More information

HUMBOLDT COUNTY Website Accessibility Policy

HUMBOLDT COUNTY Website Accessibility Policy SECTION: Information Technology ORIGINAL ISSUE DATE: 11/08/2016 REVISION DATE: 02/27/2018 10/16/2018 PAGE 1 OF 4 HUMBOLDT COUNTY Website Accessibility Policy I. PURPOSE The purpose of this policy is to

More information