Driver records

Follow-Up Review Report No. 14-26

April 2015

Georgia Department of Audits and Accounts
Performance Audit Division
Greg S. Griffin, State Auditor Leslie McGuire, Director

Why we did this review
This report is a follow-up review of a performance audit published in December 2012 (Report #12-10).
The audit concluded that the Georgia Department of Driver Services could increase accuracy and completeness of records with improved monitoring and controls.
This report provides a status update on the recommendations from the original audit and whether DDS has implemented the recommendations.
About Driver Records
DDS receives conviction reports from Georgia courts, law enforcement, and courts from other states. It updates the driver record, records points, and suspends, revokes, or reinstates licenses as necessary. Law enforcement officials and courts use driver record data to determine appropriate charges and sentences for traffic offenses. The records need to be accurate because erroneous or incomplete data can adversely impact public safety, drivers, and revenue collection.
Most Georgia courts submit reports electronically to DDS through the Georgia Electronic Conviction Processing System (GECPS). That information is stored in databases residing on the State of Georgia mainframe operated by the Georgia Technology Authority (GTA).

Follow-Up Review
Driver Records
Increased monitoring and planned
improvements to controls will protect
data integrity
What we found Following our 2012 performance audit, the Georgia Department of Driver Services (DDS) has made changes to improve the completeness and accuracy of driver records. It has done so by routinely reviewing data, employing a systematic method to resolve data errors, and increasing court monitoring.
Our original audit found erroneous and/or incomplete driver records and federally suggested data elements not captured by the state. Additionally, we found that not all courts were reporting convictions, some courts reporting convictions in an untimely manner, and persistent errors in conviction data upon submission.
As a result, we recommended increased monitoring to ensure records are accurate and complete. Specifically, we recommended DDS institute periodic reviews to identify errors within its data and formalize procedures to prevent and detect unauthorized changes. We also suggested that DDS establish benchmarks to assess timeliness, accuracy, and completeness of data. To further address completeness, we recommended DDS include conviction information and crash history from other states as part of the driver record. Because the completeness of driver histories is largely dependent on reporting by over 750 Georgia courts, we also recommended DDS enhance its monitoring of courts by contacting courts that had not reported or reported late and by following up with courts that submit erroneous information.
DDS has taken action in direct response to the recommendations made in our audit. It has enhanced its review of drivers' records by instituting tests for data reliability and correcting identified errors.

270 Washington Street, SW, Suite 1-156

Atlanta, Georgia 30334

Phone: (404)656-2180

www.audits.ga.gov

14-26 FR Driver Records

2

DDS has also reduced the number of employees with edit permissions, attempting to prevent and detect unauthorized changes. It now assigns a unique tracking identification number to errors in court submitted data. Using reports to consolidate and summarize error data, DDS works with courts to improve reporting and address errors. In addition, it is working to address those recommended data elements that were not historically collected. Each of these changes is discussed in more detail below.
To more routinely and systematically test the quality and accuracy of driver record data, DDS has implemented the Data Quality Project. Since the implementation of the project, IT staff have developed a list of data quality problems which are then assigned to IT personnel to investigate and resolve. The project is ongoing. IT staff also addresses errors and issues received from other department users of GECPS.
DDS has also reduced the number of employees with change authorization and is implementing a role-based permission structure for system access rights. The permission reduction, implemented through the Reinstatement Integration Modernization project, has allowed DDS to reduce the number of employees with permission to reinstate a driver's license from 550 to 78. Additionally, the impending role-based permission structure will more strategically determine access for each employee based on their position.
To better track and resolve submission errors, DDS now assigns a unique tracking identification number to each error as convictions are submitted by the courts. This allows both DDS and the courts to monitor resolutions and track outstanding issues. The monthly Outstanding Errors Report serves as a resource for courts by compiling these errors and their resolution status.
DDS has also developed the Common Errors Report which allows it to monitor both individual and system wide errors occurring as courts submit data. The report lists the top 25 courts with the most errors and the most common errors experienced by those courts. As patterns are identified, DDS works with the courts to alleviate the cause and frequency of the errors.
DDS has also enhanced its interaction with courts that have submitted data in an untimely manner. In December 2014, DDS began notifying, by email, any courts that have not submitted conviction data for 60 days.
Should a court repeatedly experience a particular error, DDS can provide relevant, topic specific training. Additionally, courts will reach out to DDS requesting training for new employees or refresher courses on particular areas. According to staff, since January 2013, 325 courts have attended a GECPS training or seminar hosted by DDS.
In an effort to increase the completeness of driver records, DDS has taken steps to increase and enhance the data elements captured in GECPS. DDS is participating in the development of a nationwide data sharing system called State to State. The program will allow states to share driver records across state lines, electronically.
DDS Response: "DDS concurs with the comments found in your draft report and appreciates your recognition of the many efforts made by the agency to resolve the issues that were originally identified. Please know that DDS will continue to upgrade our records management processes as a whole, that we will maintain the enhancements that were fully implemented as a direct result of the audit, and that we will finish resolving the findings that you noted to be partially implemented or not implemented. We understand that audit recommendations from the Georgia Department of Audits and Accounts provide state agencies with the opportunity to continually improve their operations, and we are grateful for our partnership with you."

The following table summarizes the findings and recommendations from the December 2012 performance audit report (#12-10) and actions taken to address them. A copy of the original performance audit report may be accessed at http://www.audits.ga.gov/rsaAudits/download/15388.

14-26 FR Driver Records

3

Driver Records Follow-Up Review, April 2015

Original Findings/Recommendations

Current Status

DDS should improve controls to ensure the accuracy and completeness of its driver records.
Specifically, DDS should establish goals and performance measures for data validity, accuracy, and completeness to ensure that the information maintained is reliable. Also, it should consider conducting periodic reviews of the data system to detect errors and make changes accordingly. In addition, DDS should continue to explore the use of address verification tools. Lastly, DDS should establish formal policies governing access and the authority to change or delete information in the driver record.

Partially Implemented DDS has taken some steps to improve controls and ensure the accuracy and completeness of driver records. Our report recommended that DDS implement data reliability checks as well as more strategic access policies to limit data entry errors. As a result, it has initiated the Data Quality Project to test for inaccuracies, identify issues, and address problem areas. It has developed a list of projects and assigned IT staff.
In addition, DDS consistently updates and enhances the edit checks within GECPS. As issues with individual driver records are identified, DDS tests for the pervasiveness of the issues and updates the system as necessary.
In July 2013, DDS launched the Reinstatement Integration Modernization (RIM) project. This system automates the license reinstatement process using logic and controls built into the program. The RIM project reduced the number of staff with change permissions related to license suspensions. Additionally, DDS is implementing a roles based permissions mechanism across the agency further reducing the permissions given to staff. In September 2014, it launched an online feature where customers can enter their address themselves, reducing the risk of address error.

However, DDS has not developed specific measures or goals for the accuracy and completeness of driver records. According to DDS, the Data Quality Project is intended to serve as a starting place for measures development, but is still in the early stages.

The General Assembly should consider revising state law to ensure compliance with federal requirements.
Specifically regarding the deletion of the Administrative License Suspension so that Georgia is in compliance with federal regulations.

Not Implemented According to staff, DDS will continue working with the legislature on this matter. DDS noted it submits suggested legislative changes to the General Assembly for consideration each year, and this particular policy matter is the subject of ongoing conversation with members of both the House and Senate.

14-26 FR Driver Records

4

Driver Records Follow-Up Review, April 2015

Original Findings/Recommendations

Current Status

DDS should consider capturing additional information as recommended by best practices.
We recommended that DDS consider tracking critical violations in other states for a more complete driver history. In addition, DDS should ensure that all accident reports are included in its records, as required by state law. Lastly, DDS should update its driver records database to better track super speeder convictions, so that super speeder violations are linked with notifications, an amount receivable, and a payment.

Partially Implemented DDS has taken steps to capture and track more information within driver records including convictions from other states and super speeder violations. For example, DDS is participating in the early planning stages of a new software program that will allow states to share driver records across the nation. The State to State (S2S) initiative is being developed by the Driver's License Identification Verification System Board (DIVS), a multistate consortium. Georgia joined DIVS in May 2014. The project is in the early planning stage with implementation not anticipated for several years.
Additionally, DDS created a query in July 2014 to track super speeder violations with notification, amount owed, and payment information. However, the report is not routinely utilized by DDS staff.
Finally, during the 2014 legislative session, HB774 amended OCGA 40-5-2 making Georgia Department of Transportation the sole repository for all Uniform Motor Vehicle Accident Reports. Therefore, DDS is no longer required to ensure that all accident reports are included in its records.

DDS should improve its monitoring to ensure that all courts are reporting convictions required by state law.
Specifically, DDS should ensure that its list of courts with jurisdiction over reportable offenses is complete and accurate and should provide clear guidance to those courts regarding how convictions should be reported. DDS should monitor monthly conviction reports to identify which courts did not submit any convictions and follow-up with these courts to confirm they did not have reportable convictions. Lastly, DDS should consider conducting routine periodic reviews to reconcile a sample of convictions in its records to the courts' conviction data.

Fully Implemented DDS has improved its monitoring of courts to ensure convictions are reported as required by state law. Specifically, DDS reconciled its list of courts with the Judicial Council of the Georgia Administrative Office of the Courts in direct response to our recommendation to maintain a complete court contact list. DDS also routinely runs reports that identify common errors and pervasive issues with data submitted by the courts. Based upon information provided in these reports, DDS contacts the individual court regarding the issue. Through these efforts, it is able to reconcile the conviction data submitted by the courts and their own driver records.
It also continues to provide guidance to courts in the form of routine communication and training. For example, at the close of calendar year 2014 DDS sent letters to courts reiterating reporting requirements and encouraging participation in GECPS.

14-26 FR Driver Records

5

Driver Records Follow-Up Review, April 2015

Original Findings/Recommendations

Current Status

DDS should encourage all courts to report convictions through GECPS and should consider expanding electronic processing options for out-of-state convictions.
We recommended that DDS could focus efforts on those courts not using GECPS with a high volume of convictions as well as offer training. Additionally, DDS should consider receiving and processing out-of-state convictions electronically when the nationwide system becomes fully implemented.

Partially Implemented DDS has taken steps to increase the number of courts that submit through GECPS and to support those that do. For example, in December 2014, DDS contacted all courts that submit convictions by paper and encouraged them to begin working with GECPS. Additionally, DDS offers training to all courts on GECPS. Training courses are held at the request of the court or can be initiated by DDS if it determines a need. According to DDS, since January 2013, 325 courts have attended a GECPS training or seminar hosted by the Department.
Regarding the integration of out of state convictions, the State to State initiative will eventually provide a medium for electronic processing and exchange of data across states.

DDS should better monitor courts to ensure that they report convictions in a timely manner.
Specifically, DDS should improve monitoring to help ensure that driver records are up-todate and that Georgia is in compliance with federal regulations for commercial drivers. Also, DDS should also run regular reports to show the number and percent of convictions by court that exceed the 10-day requirement. DDS could use these reports to identify courts that are delinquent and follow-up with additional training.

Fully Implemented DDS has developed a method to better monitor courts and track the timeliness of conviction submissions.
Courts that have not submitted convictions in the past 60 days are automatically contacted by DDS through email. Such courts are also contacted by staff and offered assistance if warranted. In addition, DDS tracks conviction totals and the average number of days that has elapsed between the case disposition date and the submission date for each court.

14-26 FR Driver Records

6

Driver Records Follow-Up Review, April 2015

Original Findings/Recommendations

Current Status

DDS generally processes convictions in a timely manner if no errors are detected. However, DDS needs to improve its procedures for resolving errors to ensure that these convictions are also posted to the driver records in a timely manner.
We recommended that to improve the error resolution process and ensure all records are accounted for, DDS should begin tracking batches returned to courts because of formatting errors. Regarding errors in individual records, DDS should ensure that errors that do not need to be returned. DDS should also consider sending automated follow-up notifications to the courts detailing the outstanding errors at certain time intervals. Lastly, DDS should identify courts with a disproportionate number of errors and provide additional guidance to reduce the reoccurrence of errors.

Fully Implemented DDS has taken steps to more quickly resolve errors in data submission and to prevent similar errors in GECPS from occurring in the future.
In October 2012, DDS started assigning a unique tracking number to all citations submitted in error. This enables DDS and the courts to account for the same citation as it is resubmitted correctly. DDS provides an Outstanding Error Report as a resource to all courts, allowing them to track error resolution progress.
Additionally, in January 2014 DDS eliminated informational messages that were being sent to the courts. These informational messages did not require action or resubmission. Therefore, by eliminating informational messages, this streamlines the messages sent to courts to only those requiring action related to errors.
Also, the Common Errors Report tracks the top 25 courts with most errors. The report identifies the errors most frequently experienced by these courts. According to DDS, the report can also be used to measure the frequency of an error across courts. If a specific error was found repeatedly in many courts, it will build a repair in the system or provide additional training. The Common Error Report is also used to prompt follow-up and, if needed, offer additional training.

7 Findings

3 Fully Implemented 3 Partially Implemented 1 Not Implemented

The Performance Audit Division was established in 1971 to conduct in-depth reviews of state-funded programs. Our reviews determine if programs are meeting goals and objectives; measure program results and effectiveness; identify alternate methods to meet goals; evaluate efficiency of resource allocation; assess compliance with laws and regulations; and provide credible management information to decision-makers. For more information, contact
us at (404)656-2180 or visit our website at www.audits.ga.gov.