KAREN E. RUSHING. Clerk of the Circuit Court and County Comptroller. Audit Services. Karen E. Rushing

Transcription

1 KAREN E. RUSHING Clerk of the Circuit Court and County Comptroller AUDIT OF Sarasota County s Computerized Maintenance Management System (Maximo) Audit Services Karen E. Rushing Clerk of the Circuit Court and County Comptroller Ex Officio County Auditor Lori Brooks, CPA, CIA, CGAP, CRMA Director of Internal Audit Audit Team Jody Maxwell, CPA, CIA, CFE Senior Internal Auditor May 2013

2 TABLE OF CONTENTS Page Summary and Results 3 Opportunities for Improvement: A. Authorized Access to The System 5 B. Appropriate Level of Access in The System 6 C. Optimizing System Capabilities 7 EXHIBIT A Detailed Management Response 8

3 Summary and Results The Internal Audit Department has completed an audit of the access and utilization of the Maximo system. The audit was included in the FY Internal Audit Plan approved by the Clerk of the Circuit Court and County Comptroller. We conducted the audit in accordance with Government Auditing Standards. These standards require we plan and perform the audit to obtain sufficient, appropriate evidence to provide a reasonable basis for our findings and conclusions based on our audit objectives. We believe the evidence obtained provides a reasonable basis for our findings and conclusions based on our audit objectives. Background Maximo is a computerized maintenance management system (CMMS) designed for asset management. The term asset management is defined as systematic and coordinated activities and practices through which an organization optimally and sustainably manages its assets and asset systems, their associated performance, risks and expenditures over their life cycles for the purpose of achieving its organizational strategic plan. 1 It is used by County staff to schedule and track work performed on County assets. By managing organizational assets on a common platform, Maximo provides a single point of control over all types of assets, including production, infrastructure, facilities, transportation and communications. The platform allows sharing and enforcement of best practices, inventory, resources and personnel; thus, enabling management to optimize the performance of assets and maximize return on investment. The following summarizes the volume of work orders processed in the Maximo System during FY2013 as of March 14, 2013 by major service group. Parks & Recreation 10,848 20% Work Orders by Service Group Potable Water 14,571 27% SCAT 2,294 4% Facilities Management 9,101 17% Other 984 2% Waste Water 11,026 20% Storm Water 2,995 6% Transportation 2,348 4% 1 IBM Understanding the impact and value of enterprise asset management Page 3

4 Synopsis There appears to be adequate controls in place to ensure required work will be performed in a timely and proficient manner; however, we have identified opportunities to improve the efficiency and effectiveness of processing work orders within Maximo, as detailed in the Opportunities for Improvement section of this report. Objective, Scope and Methodology The objective of this audit was to determine if there is reasonable assurance that Maximo is being utilized effectively and efficiently to process, record, and maintain records of repairs and maintenance performed on County assets. The scope of the audit was to review the processing of work orders within Maximo focusing on access and monitoring controls utilized by staff personnel. To meet the objectives of the audit, the following methodology was exercised: 1) Performed inquiries of a cross-section of County personnel who utilize the system; 2) Obtained an understanding of the County s work order management process; 3) Examined a listing of employees access to the system; 4) Examined reports available to Managers and Supervisors to monitor the progress of work orders initiated in the Maximo System; 5) Identified opportunities for improvement of the process. Overall Results As a result of the review, Internal Audit concluded the following: Timely updating of staff changes and system access requirements should be performed. Timely review and updating of access by user group should be performed. Implementation of current in-progress and outstanding projects, regarding revision and integration of related processes, practices and systems, should be actively pursued and accomplished. Page 4

5 Opportunities for Improvement The audit identified certain policies, procedures and practices that could be improved. This audit was neither designed nor intended to be a detailed study of every relevant system, procedure or transaction. Accordingly, the Opportunities for Improvement presented in this report do not encompass all areas related to the Maximo System where improvements may be needed. Observations and recommendations were made in the following areas: A. Authorized access to the system B. Appropriate level of access in the system C. Optimizing system capabilities A. Authorized Access to the System Access to the Maximo system is not always disabled timely upon an individual s termination of employment with the county. Audit Observation: A listing of all active Maximo users was compared to a list of all active employees as of February 26, The listing of active Maximo users included three persons who had ceased employment between October and November Of the users, one had access to perform data input and update functions, and the remaining two had view-only capabilities. Audit recommendations: 1. Established policies and procedures that provide for the routine reconciliation of active employees to active users of the Maximo system should be enforced. 2. Likewise, access to the Maximo system should be reviewed and updated as soon as possible, upon a county employee s change in job position or responsibilities or upon termination. Management Response Management has reviewed current procedures with staff; and they are developing a procedure within Maximo that will alert the System Administrator upon the termination of an active user. This is scheduled to be completed and implemented by July 31, Page 5

6 B. Appropriate Level of Access in The System Persons outside designated user groups were found to have atypical access to the Maximo system. Employees access to the Maximo system should be routinely reviewed and updated according to current job functions. Audit Observation: A listing of all Maximo users having edit access and ability to close finalized work orders was reviewed to verify that only persons with intended authority and need were granted this level of access. The listing disclosed employees in three business units, not related to the administration of the MAXIMO system, having administrative access. The business units were EU-Integrated Water, Public Safety, and EIT Operations. Audit Recommendation: 3. Policies and procedures should be established and enforced, providing for the routine review and update of all employees system access, to align with their current job functions and responsibilities. Management Response Management is developing a procedure within Maximo that will compare an individual user s ability to perform certain actions to the administrator group membership; and alert the System Administrator when there are exceptions. This is scheduled to be completed and implemented by July 31, Page 6

7 C. Optimizing System Capabilities Standardization and integration of various systems, processes and procedures is needed to optimize the county s investment and ensure the Maximo system is utilized to its maximum potential. Audit Observations: While management has implemented the Maximo system with the goal of effectively processing work orders and managing its assets and related systems and technology, there are opportunities to more fully utilize the system s capabilities. Management continues to make progress in this area and is currently progressing with many critical projects, which will allow for a more comprehensive and extensive use of the Maximo system. In summary, the successful completion of these projects will: 1. Integrate Maximo with a Geographic Information System (GIS) allowing: a. Work orders to be tied to a specific asset b. A comprehensive history of work performed on individual assets c. Visual mapping of assets and work orders enabling increased efficiency in scheduling work routes. 2. Provide a documented comprehensive collection of county assets. Currently many County assets, such as the numerous miles of ditches and swales with related structures, grates, catch basins, etc. remain undocumented in a geographical mapping system. 3. Integrate the use of mobile devices in the field to instantaneously record and update asset activity linked directly to work orders in Maximo. Audit Recommendation: 4. Evaluate and integrate, update or revise current systems, processes and practices to ensure overall optimization of the effectiveness and efficiency of the county s use of the Maximo system. Management Response Management is in the process of updating and integrating various systems, processes, records and devices with the Maximo asset management system. These are scheduled to be completed by the end of fiscal year For further details, please see Detailed Management Response and Action Plan following this report. Page 7

8 Exhibit A DETAILED MANAGEMENT RESPONSE AND ACTION PLAN Audit Recommendations: 1. Established Policies And Procedures That Provide For The Routine Reconciliation Of Active Employees To Active Users Of The Maximo System Should Be Enforced. 2. Access To The Maximo System Should Be Reviewed And Updated As Soon As Possible, Upon A County Employee s Change In Job Position Or Responsibilities Or Upon Termination. Management Response and Action Plan (provided by Management) Current procedures were reviewed with staff. Additionally, an escalation will be developed within Maximo to alert the System Administrator when a person s record has been tagged as separated, and an active user account exists. This is scheduled to be completed and implemented by July 31, Recommendation: 3. Policies And Procedures Should Be Established And Enforced, Providing For The Routine Review And Update Of All Employees System Access, To Align With Their Current Job Functions And Responsibilities. Management Response and Action Plan (provided by Management) An escalation will be developed to compare Close capability to administrator group membership, and alert System Administrator when the groups are not in synch. This is scheduled to be completed and implemented by July 31, Recommendation: 4. Evaluate And Integrate, Update Or Revise Current Systems, Processes And Practices To Ensure Overall Optimization Of The Effectiveness And Efficiency Of The County s Use Of The Maximo System. Management Response and Action Plan (provided by Management) This is scheduled to be completed and implemented by the end of Fiscal Year Geographic Information System (GIS) Integration GIS provides the ability to accurately map and identify assets at precise locations. To integrate GIS and Maximo, the Page 8

9 County purchased the Maximo connector to GIS, referred to as Maximo Spatial, and is in the process of implementation. This add-on product spatially enables four key Maximo functions: service requests, work orders, assets and locations. All County staff will be able to see Maximo service request and work order information via GIS. Maximo users will be able to utilize GIS data and tools within the service request and work order modules, thereby streamlining their use of both systems. All reporting for maintenance will be enhanced by being spatially located and reconciled using GIS means. The project involves all Systems & Controls staff, all users, GIS, and Enterprise Information Technology (EIT). A contractor is being used, via General Services Administration (GSA), to assist the Maximo and GIS administrators in the configuration of the integration points. Implementation for the Asset and Location modules of Maximo is the more critical component of integrating Maximo with GIS, and will afford planning and maintenance staff the full benefits of utilizing GIS to manage their assets and work, by the linking of service requests and work orders to actual GIS features. County management, capital projects, and replacement and rehabilitation will also benefit by being able to spatially query on asset maintenance history, projections, and current condition. The interface automates the creation of assets/locations in the Maximo system when new features are added in GIS, and allows for, as the business process requires, non-spatial attribute data to be updated in GIS via the Maximo asset and location applications. Mobile Solutions most field staff in charge of maintaining infrastructure need the ability to update both GIS and Maximo. Coordination with GIS is integral, and an Advanced Geographic Information System (ArcGIS) Mobile platform is anticipated to be the most commonly used tool. For efficiency sake, differing business requirements utilize slightly different user interfaces for field staff, which will require the County to develop several ArcGIS Mobile interfaces. While varied at the user interface level, the technical processes behind the solutions are anticipated to be the same with data flowing from GIS and Maximo to the field, updates being captured electronically, and data flowing back to the respective system. In addition to the in-house needs of maintenance staff, the ability to integrate data from capital, repair & replacement (R&R) and other contracted maintenance projects is essential in order to keep both systems data up to date. There are currently several inter-departmental projects underway to collect asset data, which require coordination with the System & Controls group, the service/business owner, GIS, capital project managers and EIT: Storm Water Asset Condition and Data Collection the County s Flood Protection deliverable to the Sarasota community resides in the proper development and maintenance of the storm water control system. This system is geographically and operationally vast, covering over 700 square miles and consisting of hundreds of thousands of assets, and is permitted by the Department of Environmental Protection agency. The permit requires the County to inspect 10% of all storm water infrastructure over a ten year cycle. The storm Page 9

10 water business unit has been contracting with vendors to collect asset data for many years, but much of the County has not yet been covered. A final project to finish collecting asset data is scheduled to begin this spring. While maintenance programs exist for canal and pollution control structures, which have smaller inventories and are relatively well defined in GIS, inspection programs for Ditch/Swale, pipe, major outfalls, and all remaining structures (inlets, grates, catch basins) need to be developed, routed and set up on a 10 year inspection schedule. In order to schedule the inspections in Maximo, the implementation of Maximo Spatial for Assets and Locations is crucial. A Request for Proposal (RFP) is currently in process for consulting services to assist the County with developing the necessary business and technical processes for utilizing GIS data via Maximo Spatial the most efficiently. It is anticipated that the business processes resulting from this RFP will be applicable to the other business units maintaining and inspecting infrastructure. A mobile solution to keep the new data up to date as moves and changes occur, and to quickly record thousands of inspection results, will be needed in the very near future and should be procured as soon as the necessary business and technical processes have been completed via the RFP. Utilities Asset Condition and Data there are two major contracts underway that will result in new utilities asset data in GIS: Valve Exercising and Gravity Main cleaning and televising. A pilot for the valve exercising program began in March. A contractor is receiving water and wastewater valve data from the County GIS layers, verifying the Global Positioning System (GPS) coordinates, exercising the valves, and updating the County GIS attribute data for approximately 1,500 valves in the Lake Sarasota area. In order to meet the maintenance service levels, assets and routes need to created from the GIS data in Maximo and scheduled for the next maintenance cycle. This effort again requires the coordination of Environmental Utilities project managers, GIS, the Maximo asset coordinator for utilities, and Field Services; and will be most efficiently accomplished utilizing Maximo Spatial for assets and locations once the Storm water RFP has been awarded and the business process development completed. A contract for the televising and cleaning of storm water and gravity main is also being solicited. The process for collecting the data, updating GIS, and setting up the required maintenance cycles via Maximo are similar to the valve collection project and will require the same levels of effort from the stakeholders in the various business units. In addition to the two contracts mentioned, ongoing data cleanup projects for utilities have been underway for several years. Hydrants are in GIS and Maximo; those records need to be linked in order to be spatially useable. Meters should be entered into Maximo so replacement programs can be created, executed and tracked. Utilities treatment plants have been very pro-active in creating their asset databases and setting up preventive maintenance plans. The next step for these locations is to start predictive maintenance programs based on Page 10

11 actual asset conditions, such as thermal image readings for electrical control panels, and vibration and decibel readings for large motors. These efforts will require coordination with asset staff, planners and plant operators. Transportation Asset data is scarce in relation to sidewalks, guardrail, bike paths, and road segments. Different business units responsible for the maintenance of the transportation system use a different Computerized Maintenance Management System (CMMS). Cartegraph is used for pavement management and sign inventory. Maximo is used for all repairs to bridges, pavement, guardrail, sidewalk, and Right of Way (ROW). Cartegraph is being linked to the enterprise GIS system, which will allow the two systems to work more seamlessly. With Spatial, maintenance of the road pavement will be able to be linked to pavement inventory, allowing engineers to better analyze pavement performance and future rehab needs. A project with Systems & Controls, Field Services and EIT, is also currently underway to enhance the contracted maintenance process. Further analysis and development is needed for the business owner to capture corrective maintenance performed in-house and to set up routine maintenance programs for transportation assets. Parks Horticulture Parks horticulture needs a simple, passive, mobile solution for collecting daily routine maintenance rounds; it is crucial for the simplification of their use of work orders. The number of parks, the volume of daily activities, and the skill level of the staff responsible for these activities dictate a simple, passive solution for capturing time and location at the employee level. While Maximo can effortlessly generate work orders, getting data back into the system has proven to be unmanageable using the current paper-based processes. Parks, Systems & Controls and Facilities Maintenance staffs are currently evaluating the options of using the employee badge readers to track rounds. Should this prove cost prohibitive, a RFP should be developed for the solicitation of a solution. In addition, Parks Horticulture has purchased two GPS devices to begin an irrigation asset data collection project. Working with GIS and Systems & Controls, a GIS layer will be established and asset/feature data collected. Once the features are created, Maximo Spatial for assets and locations will be required to create the necessary links in Maximo so routes and maintenance plans can be established. A mobile interface will be needed for maintenance staff to be able to record changes/additions to the GIS layers as well as completing their work orders, as in the storm water and utilities projects. Facilities Maintenance Facilities Maintenance currently uses Maximo to record user request and maintenance via service requests and work orders. Facilities Maintenance contracts much of their routine maintenance. These contracts are usually based on lump sum, monthly prices per building for things like heating, ventilation, and air conditioning (HVAC) filter changes, fire extinguisher, elevator, roof, and automated external defibrillator (AED) inspections and do not lend themselves well to charges gathered per asset due to the frequency and volume of work. However, as in Parks, the costs of these contracted services Page 11

12 are needed to produce the proper reports for budgeting. Work orders needed to capture this information at an asset level, in a paper format, prohibit their use. Temporary procedures have been implemented which allow staff to capture of costs without a work order but still require significant time on the time of the lead planners and technical staff. Information related to the work and condition of these assets generally resides in a vendor database, out of reach of much of County staff and GIS. Facilities Planning uses another system to manage space called Archibus. Archibus is a well known facilities maintenance and space planning software and has a number of features previously not available in Maximo such as the conversion of Computer-aided design (CAD) drawings to assets. Archibus also markets a connector to GIS, which would convert CAD drawings to GIS layers, and could then be used to create Maximo assets for work and asset management, while exposing space, asset and work management information to other GIS users and applications. IBM has recently acquired the Tririga software, which is a competitor of Archibus, and integrates features previously missing into the Maximo software, further analysis should be completed to properly address Facilities Maintenance and Planning needs and a recommended course forward. Page 12