An Audit Report on Selected Information Technology Projects at the Texas Medical Board, the Texas Alcoholic Beverage Commission, and the Texas Water Development Board
July 2010
Report Number 10-034
Overall Conclusion
Information technology systems audited at three agencies--the Texas Medical Board (TMB), the Texas Alcoholic Beverage Commission (TABC), and the Texas Water Development Board (TWDB)--were designed and implemented to ensure the completeness, accuracy, and security of system data.
To develop these systems, the agencies used system development methodologies that helped to ensure system functionality and usability. Each of the agencies used either (1) the Department of Information Resources' (DIR) project delivery framework or (2) a similar project delivery framework that contained a majority of the elements of DIR's project delivery framework to document their project implementation plans, as required by the Texas Administrative Code. The agencies also encouraged end user participation during the system development process.
The systems audited will assist the agencies in reporting information and will provide necessary functionality. For example, TMB's Licensing Inquiry System of Texas (LIST) enables applicants to check the status of applications and to communicate with TMB staff online. TABC's Cash /Credit Law (CCL) system allows wholesalers to enter delinquent payment information online in real time. TWDB's Texas Water Information System Expansion (TxWISE) will allow TWDB to merge multiple systems and improve reporting.
However, opportunities exist for the agencies to ensure that system data is complete, accurate, and secure; that the systems are functional and usable; that all costs associated with the project are captured; that policies and procedures are documented; and that all system testing is documented. Specifically, agencies should:
- Review user access to systems to determine the appropriateness of access rights.
- Review and reconcile data migrated from old systems to new systems to ensure the accuracy of the data.
- Implement edit checks on key system fields to assist users with data entry and help to ensure data integrity.
- Capture and report all costs associated with information technology projects.
- Develop, update, approve, and retain system-related policies and procedures and system test plans and test results.
Auditors also identified other less significant issues that were communicated separately in writing to agency management.
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