Recurring Findings

Transportation: Recurring Significant Internal Control Deficiencies
Federal Program Issue First Year Reported
Department's Assertion Page Number
Transit Services Cluster Equipment and Real Property Management. Caltrans lacks controls to ensure that all equipment is inspected within the required time frame. Caltrans was also unable to provide supporting inspection reports and monitoring letters for eight inspections. Failure to perform equipment inspections increases the risk that subrecipients are not utilizing equipment in accordance with federal requirements. 2013-14
Partially Corrected. The Division of Rail and Mass Transporation (DRMT) has eliminated the vast majority if the backlog due to the previous influx of new vehicles, is committed to following the State Management Plan, and is working to perform all needed inspections at a rate of 1/3, 1/3 and 1/3 per year, so that all inspections are completed in a three-year cycle. DRMT is on target to conform with the three-year plan. Additionally, staff has been reminded to follow procedures by not sending the original reports back to the recipients and by properly maintaining a copy of the inspection and monitoring reports in the history file. Refer to the current year finding 2015-003. 23
Transit Services Cluster Equipment and Real Property Management. Caltrans lacks controls to ensure that all equipment is inspected within the required time frame. Caltrans was also unable to provide supporting inspection reports and monitoring letters for eight inspections. Failure to perform equipment inspections increases the risk that subrecipients are not utilizing equipment in accordance with federal requirements. 2013-14
Partially Corrected. The Division of Rail and Mass Transporation (DRMT) has eliminated the vast majority if the backlog due to the previous influx of new vehicles, is committed to following the State Management Plan, and is working to perform all needed inspections at a rate of 1/3, 1/3 and 1/3 per year, so that all inspections are completed in a three-year cycle. DRMT is on target to conform with the three-year plan. Additionally, staff has been reminded to follow procedures by not sending the original reports back to the recipients and by properly maintaining a copy of the inspection and monitoring reports in the history file. Refer to the current year finding 2015-003. 23
Transit Services Cluster Equipment and Real Property Management. Caltrans lacks controls to ensure that all equipment is inspected within the required time frame. Caltrans was also unable to provide supporting inspection reports and monitoring letters for eight inspections. Failure to perform equipment inspections increases the risk that subrecipients are not utilizing equipment in accordance with federal requirements. 2013-14
Partially Corrected. The Division of Rail and Mass Transporation (DRMT) has eliminated the vast majority if the backlog due to the previous influx of new vehicles, is committed to following the State Management Plan, and is working to perform all needed inspections at a rate of 1/3, 1/3 and 1/3 per year, so that all inspections are completed in a three-year cycle. DRMT is on target to conform with the three-year plan. Additionally, staff has been reminded to follow procedures by not sending the original reports back to the recipients and by properly maintaining a copy of the inspection and monitoring reports in the history file. Refer to the current year finding 2015-003. 23
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