Report 2015-120 Recommendation 9 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 #9 To: Transportation, Department of

To detect and prevent fraud, waste, and abuse and to ensure costs are appropriate, the maintenance division should strengthen its controls over reviewing and approving work order costs by requiring its supervisors and superintendents to document their review and approval of work orders in the maintenance management system. For example, supervisors or superintendents could include a note in the comment field of the work order indicating their review and approval. The maintenance division could also establish a reasonable dollar threshold for those work orders that would require documented review and approval.

6-Month Agency Response

This recommendation has been fully implemented. Caltrans issued the Maintenance Policy Directive (MPD) on June 24, 2016. The MPD strengthens controls by requiring additional review and approval of work orders above pre-determined dollar thresholds. For a copy of the MPD, please see Attachment 2.

  • Completion Date: June 2016
  • Response Date: September 2016

California State Auditor's Assessment of 6-Month Status: Fully Implemented

60-Day Agency Response

Caltrans is in the process of developing a Maintenance Policy Directive (Directive) to strengthen controls over the work orders, including establishing dollar thresholds for work orders. In addition, Caltrans issued a Maintenance Memo on May 2, 2016, reminding all maintenance employees of proper procurement practices. For a copy of the memo, please see the attachment.

  • Estimated Completion Date: December 2016
  • Response Date: May 2016

California State Auditor's Assessment of 60-Day Status: Pending

All Recommendations in 2015-120

Agency responses received are posted verbatim.