Internal Audit Follow-Up
Report
Construction/Maintenance Inspection
TxDOT Audit Office
Construction/Maintenance Inspection
TxDOT Internal Audit – MAP Follow-Up
Objective
Assess the status of corrective actions for high risk Management Action Plans (MAPs)
previously communicated in Construction/Maintenance Inspection Audit Report issued
March 11, 2013.
Summary Results
Testing included an evaluation of 11 MAPs to determine if corrective actions were
implemented as agreed.
MAP Status
7 Closed
4 Open
1 New
Comments
Corrective actions have been completed.
Corrective actions that require completion to address identified risks
from the original audit report.
Corrective actions that were newly identified and further actions are
necessary to properly address the remaining risks.
Scope
The audit was performed by Alma Alvarez, Anuradha Masand, and Vivian Cohn (Engagement
Lead). The audit was conducted during the period from July 9, 2013, to July 31, 2013.
Methodology
The audit work included the following:
 Reviewing Construction Contract Administration Manual (CCAM), construction
meeting minutes, and Houston District Full-time Employee (FTE) Survey
 Testing Site Manager’s segregation of duties controls for a sample of employees
 Testing a sample of Daily Work Reports and Storm Water Pollution Prevention Plan
(SW3P) forms for consistency and accuracy
 Testing a sample of Storm Water Pollution Prevention Plan (SW3P) forms for timely
corrective action
 Testing a sample of employees for compliance with mandatory training requirements
Background
This report was prepared for the Transportation Commission, TxDOT Administration and
Management. The report presents the results of the Construction/Maintenance Inspection
Follow-Up Audit Report which was conducted as part of the Fiscal Year 2013 Audit Plan.
The Construction Division is responsible for overseeing all department construction projects
and for providing support to districts with construction projects. The Construction Division
provides administrative oversight for all department construction contracts. The division also
provides general guidance to districts by publishing statewide policies and procedures and
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TxDOT Internal Audit – MAP Follow-Up
consults on project management, administration, inspection, and testing for each
construction project during its life cycle.
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 objectives. We believe that the
evidence obtained provides a reasonable basis for our conclusions based on our
engagement objectives.
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TxDOT Internal Audit – MAP Follow-Up
Detailed MAP Follow-Up Report and Status
MAP Status: Open
Corrective actions that require completion to address identified risks from the
original audit report.
Original Audit Finding Number 1: Segregation of Duties
MAP Owner: John Obr, Construction Division Director
Roxana Garcia-Zinsmeyer, Construction Division Section Director
MAP 1.2 – The Estimates Manual is obsolete. CST is currently working to incorporate any current
policy/procedures found in the Estimate Manual into the CCAM or SM Contract Admin Manual.
Original Completion Date: January 15, 2013
Revised Completion Date: January 15, 2014
Original Audit Finding Number 3: Untimely Correction of Storms Water Pollution Prevention
Program (SW3P) Deficiencies
MAP Owner: Eliza Paul, Houston District Construction Director
Michael Hobbs, Fort Bend/Waller Assistant Area Engineer
Jesse Garcia, West Central Harris Area Engineer
MAP 3.1 – The contractor was made aware of their contract responsibilities related to SW3P at an
informal partnering meeting and then by formal letter. The area office will monitor the contractor’s
(and sub-contractor’s) performance and insure the corrections are performed according to the
specifications for that job. The District Construction Office will meet with the area office personnel
to discuss this finding and also conduct interim projects inspections to target the SW3P
requirements and see if all deficiencies identified on Form 2118 are addressed. The monitoring is
currently being done by the project manager or a project inspector in the area offices. The interim
inspections will be conducted in fourth quarter of calendar year 2012.
Original Completion Date: December 31, 2012
Revised Completion Date: November 15, 2013
MAP 3.2 – The SW3P inspections are being conducted by a consultant engineer whose experience
using TxDOT Form 2118 is not adequate. The timeliness and neatness of the inspection were
acceptable, but the findings were rarely removed and were actually carried over to the new
inspection report without corrections being noted. The area office has provided the consultant
additional guidance and will monitor the entries to insure the deficiencies are corrected and closed
out. The District Construction Office will meet with the area office personnel to discuss this finding
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and also conduct interim project inspections to target the SW3P requirements and see if all
deficiencies identified on Form 2118 are addressed. The monitoring of the noted consultant
engineer’s reporting is currently being done by the project manager in the area offices. The interim
inspections will be conducted in third or fourth quarter of calendar year 2012.
Original Completion Date: December 31, 2012
Revised Completion Date: November 15, 2013
Original Audit Finding Number 5: Major Items of Work
MAP Owner: Mike Alford, PE, Houston District Engineer
MAP 5.1 –Long term actions
 Development of new consultant contracts (expected in April of 2013) and additional
hiring of State employees (also spring or early summer 2013).
Original Completion Date: June 1, 2013
Revised Completion Date: December 15, 2013
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MAP Status: New
Corrective actions that were newly identified and further actions are necessary to properly
address remaining risks.
Original Audit Finding Number 4: Mandatory Training for Inspectors
FMAP Owner: Darwin Myers, Dallas District Ellis-Navarro County Area Engineer
Vicki Zoch, Dallas District Management Analyst
FMAP 4.1 – Dallas District
 Ensure identified employees complete the training.
 Develop a Standard Operating Procedure (SOP) that outlines a process for each
manager to check all required training classes on a monthly basis to ensure compliance
with our training program.
Completion Date: August15, 2013
Closing Comments
The results of this MAP Follow-Up engagement were discussed with/provided to
Construction Division, Human Resources Division, Corpus Christi District, Dallas District,
Houston District, Tyler District, and Waco District on August 8, 2013. The audit team
appreciates the cooperation and assistance received during this engagement.
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