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.
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.
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.
Agency responses received are posted verbatim.