Quality Control Review for the Assessment of DOT’s Protection of Privacy Information

This report summarizes the results of an audit of the Department of Transportation’s (DOT) protection of privacy information. DOT has determined that 168 of its 464 computer systems contain personally identifiable information (PII) about the public and/or DOT employees. The Fiscal Year 2005 Consolidated Appropriations Act for Transportation, Treasury, Independent Agencies, and General Government, as amended, requires agencies to enhance the protection of PII they collect and use. The act also requires inspectors general to periodically audit their agencies’ privacy programs or hire independent, third party organizations to conduct the reviews. This Office of Inspector General (OIG) contracted with KPMG LLP, an independent public accounting firm, to conduct this audit subject to OIG oversight. The audit objectives were to determine whether (1) DOT has established adequate procedures for the collection, use, and security of PII; (2) DOT ensures compliance with its own privacy and data protection policies and applicable laws and regulations to prevent unauthorized access to or unintended use of PII; and (3) DOT’s Operating Administrations properly evaluate the necessity of using PII to process system data. OIG performed this quality control review (QCR) of KPMG’s report and related documentation. The QCR disclosed no instances in which KPMG did not comply, in all material respects, with generally accepted Government auditing standards. KPMG found that DOT did not consistently implement and enforce its PII policies and procedures across its Operating Administrations. KPMG made 10 recommendations to the Federal Aviation Administration and 2 to the Office of the Secretary of Transportation. DOT concurred with KPMG’s 12 recommendations.


  • English

Media Info

  • Media Type: Digital/other
  • Features: Appendices; Tables;
  • Pagination: 41p

Subject/Index Terms

Filing Info

  • Accession Number: 01663132
  • Record Type: Publication
  • Report/Paper Numbers: QC2018016
  • Files: TRIS, ATRI, USDOT
  • Created Date: Feb 6 2018 4:09PM