Report 2015-120 Recommendation 5 Responses

Report 2015-120: California Department of Transportation: Its Maintenance Division's Allocations and Spending for Field Maintenance Do Not Match Key Indicators of Need (Release Date: March 2016)

Recommendation #5 To: Transportation, Department of

To ensure that it performs field maintenance work consistently on highways with similar needs, the maintenance division should implement the zone-level evaluation of service scores contemplated in the earlier budget model that it abandoned.

Agency Response*

Caltrans continues to make progress in implementing the Maintenance Activity Performance Plan (MAPP) to ensure districts are using funds commensurate with demonstrated need. The MAPP is being fully implemented for all 12 Districts addressing the 10 highest priority field maintenance activities beginning July 1, 2017.

Caltrans has implemented Maintenance Policy Directive 17-01, to require maintenance supervisors to complete the annual work plan to achieve the established LOS goals for the ten highest priority field maintenance activities. The Directive also requires region managers to ensure work plan consistency and timely work completion. The statewide BAT training will include training of this Directive beginning March 1, 2017. Please see Attachment 2 for a copy of the Directive.

  • Response Type†: 1-Year
  • Estimated Completion Date: July 31, 2017
  • Response Date: March 2017

California State Auditor's Assessment of Status: Pending

Once completed, we will review the Maintenance Activity Performance Plan to assess whether it addresses our recommendation.


Agency Response*

As discussed in the status update to Recommendation 1, Caltrans is moving along with its short-term and long-term solutions. As part of the short-term solution, Caltrans developed the Maintenance Activity Performance Plan (MAPP) with clear expectations and accountability requirements for the district offices. The MAPP will further ensure districts are using funds commensurate with demonstrated need. The MAPP is in place for Districts 7 and 8 to address guardrail and litter activities.

Caltrans continues to make progress in developing the Maintenance Policy Directive mentioned in the 60-day status update. The Directive will be disseminated to all district offices by December 2016.

  • Response Type†: 6-Month
  • Estimated Completion Date: unknown at this time
  • Response Date: September 2016

California State Auditor's Assessment of Status: Pending


Agency Response*

As discussed in the update to Recommendation No. 1, Caltrans has short-term and long-term solutions to develop and implement an allocation tool that will incorporate the items mentioned in the recommendation. Caltrans is also developing a method to ensure districts are using funds commensurate with the indicators in the tool. The assessment of whether districts are using funds in a manner commensurate with indicators of need will occur upon implementation of the new budget and allocation tool, the short-term version of which will be implemented by June 2017.

In addition, Caltrans is developing a Maintenance Policy Directive (Directive) to require maintenance supervisors to develop an annual work plan to achieve the established Level of Service (LOS) goals. The Directive will also require region managers to ensure work plan consistency and timely work completion. The Directive will be effective by December 2016.

  • Response Type†: 60-Day
  • Response Date: May 2016

California State Auditor's Assessment of Status: Pending


All Recommendations in 2015-120

†Response Type refers to the interval in which the auditee is providing the State Auditor with their status in implementing recommendations made in an audit report. Auditees must submit a response regarding their progress in implementing recommendations from our reports at three intervals from the release of the report: 60 days, six months, and one year or subsequent to one year.

*Agency responses received after June 2013 are posted verbatim.


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