IOWA STATE UNIVERSITY Of?ce of Internal Audit Storage and Transportation of Weapons February 6, 2017 Distribution List Steven Leath, President Miles Lackey, Chief Financial Of?cer/Chief of Staff Pam Elliott Cain, Associate Vice President, Division of Finance Kate Gregory, Senior Vice President, University Services Michael Norton, University Counsel Board of Regents, State of Iowa Of?ce of Auditor of State .r?w Storage and Transportation of Weapons BACKGROUND The audit was performed in response to a request by Iowa State University (ISU) administration to review the storage of weapons at the Knoll (University President?s residence) and transportation of weapons by the University President. Due to the timing of the request, the audit could not be performed in conjunction with the ISU Flight Service and University Owned Aircraft audit, which was issued on December 12, 2016. A'subsequent audit has been performed. The Firearms and Other Weapons policy states that the possession or use of weapons is prohibited on campus and in the course of university-related activities unless authorized through the ?rearms and other weapons application process. The Director of ISU Police and the Senior Vice President for University Services have final approval concerning any use of ?rearms or other weapons. The policy de?nes weapons to include any pistol, revolver, shotgun, machine gun, rifle or other ?rearm, BB or pellet gun, Taser or stun gun, bomb, grenade, mine or other explosive or incendiary device, ammunition, archery equipment, dagger, stiletto, knife, or knife having a blade exceeding five inches in length. Additionally, the policy includes information about the transportation of weapons. The policy states that the unauthorized transportation, use, or storage of any ?rearms, weapons and/or explosives is prohibited. In extenuating circumstances, a request for authorization for transporting firearms, weapons, and/or explosives must be submitted in writing and approved by the Of?ce of Risk Management or the Department of Public Safety. SCOPE The purpose of the audit was to review the storage and transportation of weapons to ensure current practices are in compliance with Firearms and Other Weapons policy. Speci?c objectives included: 0 Review documentation that granted the University President an exception to the Firearms and Other Weapons policy regarding the storage of weapons on campus. 0 Review documentation that granted the University President approval to transport weapons on university?owned aircraft. DISCUSSION AND AUDIT RECOMMENDATIONS 1) Documentation of a Waiver for Storage and Transportation of Weapons Discussion Documentation substantiating a request or written approval for a waiver to the Firearms and Other Weapons policy for the University President regarding the storage and transportation of weapons could not be provided. Currently, weapons are stored in the University President?s on-campus residence at the Knoll and have been transported on university?owned aircraft multiple times. Management from the Office of University Counsel and the Department of Public Safety stated an inspection was completed at the Knoll by the Iowa State University Internal Audit Report Storage and Transportation of Weapons 2 Department of Public Safety to review the method of storage of weapons. Based on safety concerns being satis?ed, management discussions took place to verbally approve the University President?s storage of weapons at the Knoll. At the time this approval was verbally discussed, consideration was not given to the transportation of weapons on university-owned aircraft. Documentation of the waiver to the Firearms and Other Weapons policy could not be provided and neither the Of?ce of Risk Management nor the Department of Public Safety had documentation of receiving requests to authorize the transportation of weapons on university? owned aircraft. On January 11, 2017, the Of?ce of internal Audit received a written waiver from the Senior Vice President of University Services for the continuation of weapons storage at the Knoll and for the transportation of weapons in university-owned aircraft in accordance with federal aviation regulations. Audit Recommendation The waiver to the Firearms and Other Weapons policy for the University President should also be reviewed and approved by the Executive Director of the Board Of?ce. Management ?5 Response We do feel it important to note that it was the University President?s understanding that the waiver approved by then~Senior Vice President for Business and Finance and then-University Counsel was applicable to the entire Firearms and Other Weapons policy, including both storage and transportation of ?rearms. As such, transportation of ?rearms on university aircraft involving the University President was believed to have been done in compliance with university policy. We now realize the university policy is ambiguous and requires clari?cation with regard to transportation of ?rearms; we plan to update the policy accordingly. Additionally, the Director of Flight Service can con?rm that any transportation of ?rearms on university?owned aircraft was done in compliance with federal aviation regulations. - The University President and then?University Counsel are con?dent that then?Senior Vice President for Business and Finance created documentation of the waiver. However, following the retirements of these two senior administrators (and Director of ISU Police), the documentation could not be recovered. As a result of this and the hiring of new administrators, the University President requested a new waiver, which was approved and properly documented by the Senior Vice President for University Services pursuant to university policy. We agree with the audit?s recommendation to have the Executive Director of the Board Of?ce review and approve the waiver granted to the University President. The new waiver will be provided to the Executive Director for his consideration immediately. Individual Responsible Chief Financial Of?cerXChief of Staff Target Date Immediate Iowa State University Internal Audit Report Storage and Transportation of Weapons 3 SUWARY Implementing the audit recommendation described above will ensure the storage and transportation of weapons is in compliance with university policy and federal aviation regulations. Internal Audit will conduct a follow?up review in the third quarter of ?scal year 2017 to assess management?s progress in implementing the action plan. (5 Benjamin Olejnik, Auditor WW Jordan Bates, Audit Manager Debra A. Johnston, Associate Director of Internal Audit steam;- Todd T. Stewart, Chief Audit Executive Iowa State University Internai Audit Report Storage and Transportation of Weapons 4