audits and investigations roberts. myers i ';;:pt. · pmpmrning...

State of California California State Transportation Agency DEPARTMENT OF TRANSPORTATION

Memorandum

To WILLIAM LEWIS Date April 26 2017 Assistant Director Audits and Investigations

From ROBERTS MYERS Chief Interim I Division of Equipment 11 lkll ptshy

Subjel-t 60-Day Status Response for Vehicle Home Storage Permit Audit

Attached is the Division of Equipments 6 0 - Day response to the Audits and Investigations report for P3000-0428 DOE Home Storage Permit Program Audit January 2017

Attachment

c Zilan Chen Chief Internal Audits Audits and Investigations Kevin Yee Audit Manager Internal Audits Audits and Investigations Michael Mayor Chief Office ofBudgets and Administration Division ofEquipment

Provide a safe sustainable integrated and efficient transportation system to enhance Californias economy and livability

Cftllra-s Audits aud Iuvcstig11lons (Aampl) - Response to llrn fl R~port

AudltNbullme H ome Storage Permit Program CVHSP)

Audit Division of Equipment (DOE)

Audi Repor t lllndlug 1

Jgtctsonal Use of State Vehicle Onc-Wav Corumufln2 nndor Round Trip Form Procedures Not Corulstcntly Followed AampI AudJt RccommcndAtlon oonsoliltk f~k lrccn Jgtillricts cqardiag the ocllgtSiM 119o oct seek to cllrlY lho ~lfCIofthcoommon l)Pef ofllchicLct whkb wowkl ~

~bullicknd DQIJmiddotpcHOOll llK ~lcs

001 updamplc lht YllSP Guidelineamp to [OlUlro ~I appli~nl~ 10tin~

~rlo dtJcles ti homo to Sllbmit m1nu11I PM-001i fomu whilo MWlitlng

penniilbullJlflftlval

Audll Roporl F inding 113 Poor Rcord Kcepln~

t amp 1 Audil Rctornmendndon DOE tipdU the VUSP Ooiddioes to m alvo Mr pottnliJI confl~ioo

Audltee Orhtlnal R~oonse to Reoort 60middotDnv Stntus Aampl Anbulllysh PlU1Hnl to tho audit ficdinamp 2 lJltl dte lCCOOnltNletion o( AampJ AudiI PJ000-0414 In hkhowgb Ike integi~tiono(tht dropmiddotdowa ~mtot1he IRS cx~ion p1hltcbulltlrul lltlo For Aamp tse Mltdil01500f~Hd imlcntt11ed aotomAlcd ~illamp ibal 11kDdcd 10 lhedamptabuc is mcivtd positively MVGthdcu lhttct~ 1icdopmions OcI itamp ctabfhhm ~dstmt 1pplic1lloo or the lnlca-MI kcvcnw Services (IRS) Mcb) 1AJblNgtn DOI cclllactd I st Level Ap~m i11 DOS and DlO 10 ucrn1in dtciJ supcniSOfl ud pmnit tokfm whco comtdcrins ~I IS orSlllo-oKnod mcthodolot) iii dmnnWna the nanpuon slla EY(a wilhisl die ciWicts lsI tcYd nhicJct DOBs au1omatcd dtbru inclttdod bull ampop~-n mrau lis11111 ~ptioaa ot1111 AWrs wu applyitfg 1btni~ la JilftteM Atbull rmik ooe is requcslifti bull whicl5 co1111oklcrtd tax ocmp1 f1oia JU frlnampo bcncfu provbions u well u the web Hnk darUka1to from the CfLepl DM1cH IO IRS PubfQllON JJ8 - ru F~ Yfgtldu In iq utirery Addieionllty 1hc pmpmrning rcquirt9amp11PftVboty1pproml 011 Ihe pcnnlt Mfdtts cblm 1blt 1hch vchkk lsOfl tbalRSutmptlonllstOiv~nfhdil I 1ndthorocommmdliontgtf lhcAutJl1 PJ000642amp OOE IntendI IO contact 1hc approvi11a supervisors who tre nnclettt on ht n~s list to ddermlne lhenatu1orthtfr co111uslon trom ttme dbcuu kios 006 will malie- emy erT011 10 clarify related ln~lct

006 will update tho VllSP OuldelinCll lo rtquitHppliclttU bullIOOlI Srate-owncd 11tbiclct In IKklilitMI IO inctudoth1 procedm1I rtquhc111t8 rorfJintoCa manool PM-OCMI trhllo i1t lliclc bornbull 0yeneinl1hl 10 nlobull traquo1n1111 PMmiddot0041 directl) withlhc Division 1gtr 1Wt1i1lo1 pctmit approval thcnclI publlotioa oflhc VHSP OuidelillCi 11till be upd1t(l(I Aoooootiq The applitMll wlll bo llSUlelitd to continue the manual ritlnampbull untE the- wilh other Audit amp lovtiicamptianf ltcOlnmcnd1doa1 1nnlicatioru~1 ~-1 bvdloth~lemiddotclrolthiidlttr-bull--- cmcnl fMm

Andiru OriampJnnl Retponse to Report Aamp l Anlysls DOE shall opfora t~ oua ofWy pottnlf1 confuston ~lqdie l(lqUimncnt for OOEhasdcTclopal thloutlincofandtclrOJk lonNl OilCq4in1Dd1otgtMto4I or

repnNnc tbt leQUitcmltnl to submit 1hc DM-OlJO and 00111I~ lnlqlrating compktioo andsubmbrion oldie DMoo90 and 1111kc lhc necessary Adjushncnb ho VHSP daabli( DUtrku fiut levcl approven uo givm M1 opporninity to provide thc (oon lnlO lhe ltSr tyrtua ind udinamp OliOpotilbltity of (()Mi i11tct1bulltioa rccomincndftl II U imPQIAltlO no(O (claquofbKk 00 lho IJCN fo1mal ooewilt ~middotortt ith CT ~llIW1 deg include lhc new

hoWCVCr Lh1t the VHSf Ouiddlnaltin PllC Jckltrt) sttlltt Employ~nuul ncord to1111bulltasapartof mo1111ly (illngnf PMmiddot(ltNls byVtSP holder r4tl-Guf1 on Iha Loi ofJmtrgtncy Tgt-IPJ DM-0090 or tlttV011le colfmiddot~mt lox wl1h11 U Ami~oftht crxcncy lncldtftl In 11JJllon on th11 aamo p1ge Jt f1 mttd Sw~tlJon M Uft rltllobullmtd npprore 1rta1ll~ul IOampJmOntlily r urtbCllJMU In 1ho FMPlOYBli RESPONSrulUTil1i ~tlon on pnao 1 or Iht OlUelllld bull~ ten niquim lhc ~oyec to bullAC4llfOtt1 co11411m tit~ I-OR of~ttbullney lHPJ - BbullfouAfler llo11r Call-Out (DMshyOOIJO)omt oit a M011ilry btuU Liwty in the SUPERVISOR RUSPONSOIUTIEc 1tetkgtn ot pip7 o( thoOuidolit~ bullet nioo rapilS tbosttptniiqlf j) JUfw 41Jd ~ rhc fHSP ioJtt1 LottlP11ttrr-IHY TrlJU - lkfiwUAftu ampJr QrlDf1(Olefmiddot OOJfJ)fonrtM1tlffORJAlyba1b

State of Califomia Califomin State Transportation Agency DEPARTMENT OF TRANSPORTATION

Memorandum Making Co11servatio11 11 California Way of Life

To EUGENE EZIMORA Date May 26 2017 AUDITS amp INVESTIGATIONS

File

rn~~From MARK SUCHANEK

Deputy District Director of Maintenance District 1

Subject 60-DAY STATUS TO FINAL REPORT OF THE HOME STORAGE PERMIT PROGRAM

This memo confirms that District 1 submitted its 60-day status rep01t on May 4 2017

Attachment (1) Updated Status Work Plan Matrix

c Matthew K Brady District Director District 1 Jana Hollifield Deputy District Director ofAdministration District 1

Provide a safe s11stai11able i11tegra1ed a11d cfficie11t trmrspol11tio11 system to e11ra11ce Califomia f eco110111y and livability

Audits and Investigations (Aampl) Audit Finding Status Report Update

Audi1 Name Home Storage Permit Program Audit P3000-0428

Auditee District 1

Audit Report Finding 1 - - middot~-----middot---middotmiddot- --middotmiddotmiddot-middotmiddot-middot-middot-middotmiddotmiddotmiddotmiddotmiddot--middot-middot -shy - --middot-middot-shy - -middotmiddot middot-middotmiddotshy -middot - middot-shymiddot---middot

List Finding Here Personal Use of State Vehicle One-Way Commuting andor Round Trip Form Procedures Not Consistently Followed

Estimated AampI AnalysisStatus and AampI Audit Recommendation Auditee Original Response to Report Completion Date Staff Responsible 60-Day Status Date

Monitoring delinquent Distric t HSP supervisors and managers submitalapproval of PM-0041 ensure that PM-004 l forms are completed with the help of DOE VHSP and approved by ti I e third calendar day of monthly data report Follow up For Aamp[ Use the subsequent month including manual District lfield maintenance staff thought the with email to remind VHSP PM-004 1 forms for pern l it applicants documents were due on the 10th Staff has Brennan Ladao permit holders and awaiting approval been notified of the 3th due date Completed Maintenance Mgr f Superintendents

~~11Ji t Report Finding 2 - middot middotmiddotmiddotmiddotmiddotmiddot - middot--middotmiddotmiddotmiddot-middot-middotmiddotmiddotmiddotmiddotmiddot-middotmiddotmiddotmiddotmiddot middotmiddotmiddot-middotmiddot- --middotmiddotmiddot shy middot- ~-middotmiddot-middot-----~--- -shy - - - _ -shy - -----shy - --middot - middot---middot--middot------middot --middot ___ - middot-middot bullmiddotmiddot---Rmiddotbull _

List Finding Here Permits Need Further Monitoring

District HSP supervisors and managers VHSP pem1it holders are

monitor the emergency call outs by permit reminded by email of the

holders on a monthly basis to ensure they Di~trict HSP upcn iors anti m1tnJgLI~ miniumum two emergency callhave a minimum of two call outs per mtgtnilur lhl (1ncrg11cy call outs by pcrlllit outs per month Overtime reports

For AampI Use month Districts should holdltrs on a monthly basi Lil mtmiddot they have reveiwed by Superintendents and evaluate the current pennits to determine if 1 111i11inmm rbullCtwrgt call outs pcr lllltgtnth Managers for monitoringfuture renewal of some permits would be Distrid shlgtuld ~y duuh Lhc cumnl prmits 10

more appropriate for cost-effecti ve permits d t ttmiddotrminc irfu turc nmiddotnLval of ~middot l l i h ptrmlts instead ofemergency pem1its would lw more appropriate ftgtr CLbullgtI- cffictive Ongoing monitoring Brennan Ladao

permils inshmiddotultl ~J r _- n1ir~ncy pcnnits ltluri ng cakndar ~ir Maintenance Mgr I

A_udit Report Finding 3 -middot -middot-middot middot middot-middot ____ middot---shy - middotmiddot-middotmiddot - middotmiddot middot-middot _ -~---middotmiddot- _ --shy ---middotmiddotmiddotshy middotmiddotmiddotshy middot-middot middotmiddot middotmiddot-middot middot middotmiddot---middot- shy -middotmiddot-middot- -List Finding Here Poor Record Keepin

VHSP permit holders and District management ensure pem1i t holders Superintendents reminded by

For Aampf Use accuraiely complete DM-0090s and email or phone call the monthly submit to their supervisor on a monthly completion of form DM-0090 basis Supervisors should review and Di tritt I m111agt~111cm wi111n-urc that 1 11 llSP February I 2017 Brennan Ladao

approve DM-0090s on a monthly basis hokk rs lmdcr- trnd guiddintbull rn~l comply and CltHllinuing Maintenance Mgr I

1 of l 5262017

State of California California State Transportation Agency DEPARTMENT OFTRANSPORTATION

Memorandum Flex your power Be energy efficient

To ZILANCHEN Date May 5 2017 Chief Internal Audits Audits and Investigations File Audit P3000-0428

~ From SUSAN ELKINS ~~

Deputy District Director District 3 - Administration

Subject 60-Day Audit Status Report for 2016 Home Storage Permit Audit

This memo is in response to Audit Report P3000-0428 on the Home Storage Permit Program Based on the findings identified in the Final Report District 3 has taken the following steps

Audit Finding 1 Personal Use of State Vehicle One-Way Commuting andor Round Trip Form Procedures Not Consistently Followed - The requirements and procedures were reviewed with the Managers and Supervisors for consistency in implementation All have ensured compliance with reporting on a monthly basis This finding is considered closed I resolved

Please dont hesitate to contact me if you feel any additional information is needed I can be reached at (530) 741-4234 Thank you

c Andrew Brandt Deputy District Director Maintenance and Operations Ray Zhang District Director (Acting) Eugene Ezimora Audits amp Investigations Kevin Yee Audits and Investigations

Provide a safe sustainable Integrated and efficient transportation system to enhance California seconomy and livability

Caltrans Audits and Investigations (AampI) - Response to Draft Report

Audit Name ___Home Storage Permit Program Audit ~A== ___P3000-0428 _____________ udi~t No _______

Auditee District 3 aintenance and 0 rations

Audit Report Finding _I_ List Findin Here Personal Use of State Vehicle One-Way Commutin andor Round Tri form Procedures Not Consistently followed Aampl Audit Recommendation

District HSP supervisors and managers ensure that PM-004 1 forms are completed and approved by the third calendar day o the subsequent month including manual PM-004 1 forms for permit applicants awaiting approval

Auditee Response to Draft Report

Responsible SupervisorsManagers will ensure compliance on a monthly basis

Estimated Completion Date

February 15 2017 and on oino

Staff Responsible

James Graham Chris Seale Steve Hardie

Aamp r Analysis

Requirements and procedures have been reviewed with Managers and Supervisors for consistency This Audit Finding is closed for D3 fo r AampI Use

For AampI Use

State ofCali fornia California State Transportation Agency DEPARTMENT OF TRANSPORTATION

Memorandum Making Conservation

a California Way oflife

Date To JUDY YAMADA May 19 2017 Assistant Director Audits and Investigations File

From JEANELL BRADLEY Business Management Chief District 5

Subject 60-Day Status Report Home Storage Permit Program Audit P3000-0428

Attached is the District 5 response to the P3000-0428 Draft Audit Report on the Home Storage Permit Findings

FINDING 1 - Personal use ofstate vehicle one-way commuting andor round trip form procedures not consistently followed

FINDING 2 - Permits needfurther monitoring

FINDING 3 - Poor record-keeping

FINDING 4 - Non-compliance with Key Fobbing Requirements

Ifyou have any questions or need additional information please contact Deputy District 5 Director for Administration Julia Bolger at 805-549-3188

Attachment

c Julia Bolger Deputy District 5 Director for Administration Sara von Schwind Deputy District Director for Maintenance amp Operations Tim Gubbins District 5 Director Juan Suarez Maintenance Supervisor Mike Parker Maintenance Supervisor David Flaherty Electrical Supervisor Martin Sanchez Regional Manager Dennis Glickman Acting Regional Manager Adam Gleason Equipment Manager

Provide a safe sustainable integrated and efficienl transportation system to enhance California seconomy and livability

Caltrans Audits and Investigations (AampI) - Response to Draft Report Home Storage Permits PJ000-0428

Auditee District 5

Audit Report Finding I

Personal Use ofState Vehicle One-Wav Commutine andor Round Trip Form Procedures Not Consistently Followed

Estimated AampI Audit Recommendation Auditee Response to Draft Report Completion Date Staff Responsible 60-Day Status Aamp I Analysis

District HSP supervisors and managers ensure that PM-0041 forms are I Employees will submit PM-0041 reported 51920 17 Employee and Supervisor Supervisors for permit numbers listed on audit report and new permit holders ForAampI Use completed and approved by the third calendar day of the subsequent on the first working day of each reported that PM-0041 have all been submitted timely this calendar year month including manual PM-0041 forms for permit applicants awaiting month approval

2 Employees will not claim tax reported 51192017 Employee and Supervisor Three of the permit numbers listed on the audit report claim exclusion rrom For Aampl Use benefit exclusion if vehicle does not fiinge benefits since they drive hoist trucks or a vehicle designed to carry cargo quality with a loaded gross vehicle weight over 14000 lbs Those that do not qualify

do not claim this exclusion

Audi t Repo rt Finding 2

Permits Need Further Monitoring

Estimated AampI Audit Recommendation Auditee Response to Draft Report Completion Date Staff Responsible AampI Analysis I District HSP supervisors and managers monitor the emergency call- Staff and managers will comply and reported 5192017 Employees and Supervisors Supervisors for permit numbers listed on the audit report indicate at least 2 For AampI Use outs by permit holders on a monthly basis to ensure they have a 4continue to monitor the cal1 outs and emergency call outs per month with the exception of permit number 05-1344 7m minimum oftwo call-outs per month to meet the annual minimum of 24 request cancellation if minimum call- reports an average of 5 emergency call outs per month This pennit holder lives emergency call-outs Request DOE to cancel any permits not meeting at requirements are not met in the North County but must be able to respond to traffic signal emergencies in the minimum monthly call-out requirement this rural area as as delayed response may result in safety hazard

Staffand managers will comply and reported 5192017 Employees and Supervisors Supervisor for permit number 05-13447m indicates that the HSP permit is

of some permits would be more appropriate for cost-effective pennits 2 Districts evaluate the current permits to determine if future renewal

continue to monitor the call-outs and needed based on the safety impact ofdelayed response environmental factors

instead of emergency permits request cancellation if minimum call- affecting electrical components such as marine air amp frequent power failures in out requirements are not met the area

Audit Report Finding 3

Poor Record-Keepine

Estimated AampI Audit Recommendation AampI Analysis Auditee Response to Draft Report Completion Date Staff Responsible

Employees and Supervisor for permit numbers listed on audit report have statedI District management ensure permit holders accurately complete DM- District management will ensure that reported 5192017 Managers and supervisors ForAampI Use 0090s and submit to their supervisor on a monthly basis employees will comply with the that DM-0090s have all been submitted timely

recommendation

Supervisor for permit numbers listed on the audit report stated that DM-0090s

approve DM-0090s on a monthly District supervisors will review and reported 51192017 Supervisors2 Supervisor review and approve DM-0090s on a monthly basis

have all been approved timely

basis


Non-Compliance with Key Fobbine Requirements

AampI Audit Recommendation Auditee Response to Draft Report Estimated Completion Date Staff Responsible AampI Analysis

I District management ensure permit holders use the key FOB assigned to them for every trip they operate a state-owned vehicle

District managers and supervisors will ensure permit holders use their proper key FOB for every state vehicle trip

reported 5192017 Managers and supervisors Employees and Supervisor for permit numbers listed on the audit report state that they fob consistently However some report that their fobs fail to register on the vehicle about one a month despite repeated attempts

ForAampI Use

2 District supervisors ensure that their employees comply with the terms ofthe Key FOB sssignment agreement

District supervisors will regularly remind employees to comply with the terms oftheir key FOB agreement

reported 5192017 District Supervisors Supervisor for permit numbers listed on audit report stated that they ensure their employees fob consistently

For AampI Use

Audits and Investigations (AampI) Audit Finding Status Report Update

Audit Name Home Storage Permit Program Audit P3000-0428

Auditee District 9


List Finding Here Persona l Use of State Vehicle One-Way Commuting andor Round Trip Form Procedures Not Consistently Followed

AampI Audit Recommendation

District HSP supervisors and managers ensure that PM-004 1 forms are completed and approved by ti I e third calendar day of the subsequent month including manual PM-0041 forms for pemlit applicants awaiting approval


Auditee Original Response to Report

District 9 agrees with the Aampl Audit recommendation


District HSP supervisors and managers monitor the emergency call outs by permit holders on a monthly basis to ensure they have a minimum of two call outs per month to meet the manual minimu In of 24 emergency call outs Request DOE to cancel any permits not meeting the minimum monthly call out requirement

District management evaluate the current permits to determine if future renewal of some permits would be more appropriate for cost-effective permits instead of emergency permits


District 9 agrees with the AampI Audit recommendation


March - April 2017

March - April 20 17

March - April 2017

Staff Responsible 60-Day Status

District 9 is in the process of filling the newly established MSRPIO position in the District This position will be tasked with the responsibility of coordinatingmonitoring the District 9 HSP Program

District 9 is in the process of filling the newly established MSRPJO position in the District This position will be tasked with the responsibility of coordinatingmonitoring the District 9 HSP Program


AampI AnalysisStatus and Date

For AampI Use

For Aampl Use

For Aampl Use

1of1 5302017

State ofCalifornia California State Transportation Agency DEPARTMENT OF TRANSPORliTION

Memorandum Making Co11sermtion a California Way ofLife

To ZILANCHEN CHIEF INTERNAL AUDITS

From PETE NUNES~_~ Office Chief Business Management District 10

D11te April 28 2017

File P3000-0428

Subject SIXTY DAY RESPONSE TO THE AUDIT REPORT OF THE HOME STORAGE PERMIT PROGRAM

District 10 continues to comply with the solutions to the four findings identified in the attached Home Storage Permit Program audit report dated February 27 2017 Dan Ryan will be transferring to District 6 on May 1 2017 Jon Bevan will be replacing Mr Ryan We will inform Mr Bevan of the responsibilities outlined in the audit response and will move forward with strategies in compliance

Ifyou have any questions do not hesitate to contact me (209) 948-7921

Attachment Audit Response of the Home Storage Permit Program

c Dennis T Agar District Director Athena Cline Deputy District Director Administration Samuel Jordan Deputy District Director Maintenance and Operations Veronica Kaldani Staff Management Auditor Jon Bevan Maintenance Manager II Eugene Ezimora Associate Management Auditor Renee Acosta I-ISP D 10 Coordinator

Pro1bullide a safe s11stai11able integrated and eOlciel transportation system to enhance Califomia seconomy and lirnbility

--

- -

Audits and Investigations (AampI) Audit Finding Status Report U pdate


Auditee District JO

Audit Reort Finding 1 middot-middotmiddot - shyList Finding Here Personal Use of State Vehicle One-Wai Commuting andor Round Trin Form Procedures Not Consistentlv Followed

Estimated AampI AnalysisStatus Aamp I Audit Recommendation Auditee Original Response to Report Completion Date Staff Responsible 60-Day Status and Date

DOE solicit feedback from Districts regarding the exclusion Districts HSP supervisor will provide feedback when 2282017 Business Pete Nunes met with Renee Acosta to clarify consideration of vehicles For Aampl Use rule and seek to clarify the issue of the common types of required Progress updates to follow at 60 180 and 360 Management Pete that may meet the exclusion rule We are evaluating the TMT sign

vehicles which would be considered non-personal use days post final report Nunes trucks to add to this category Preliminary recommendation is we add vehicles this vehicle this category

District HSP supervisors and managers ensure that PM-0041 District s Supervisors of Traffic Operations and Field 33120 17 Traffic Operations This recommendation was implemented and PM-0041 has been For Aampl Use forms are completed and approved by the third calendar day of maintenance will review the PM-0041 forms and approved Willie Kuhl and approved by the deadline with in the first 60 day status period Jon the subsequent month including manual PM-0041 forms for them on time each month Progress updates to follow at 60 Maintenance Dan Bevan has replaced Dan Ryan

pennit applicants awaiting approval 180 and 360 days post final report Ryan



District HSP supervisors and managers monitor the emergency Districts Supervisors of Traffic Operations and Field 131201 7 Traffic Operations Mr Kuhl and Mr Ryan continued to monitor emergency call-outs by For Aampl Use call outs by permit holders on a monthly basis to ensure they Maintenance will monitor call outs by pennit holders and Willie Kuhl and permit holders during this 60 day status period There are no have a minimum oftwo call outs per month to meet the manual ensure minimum requirements are met Ifnot met requests Maintenance Dan cancelations thus far Jon Bevan has replaced Dan Ryan

minimum of 24 emergency call outs Request DOE to cancel will be submitted to DOE for cancellation Progress Ryan any permits not meeting the minimum monthly call out updates to follow at 60 180 and 360 days post final report

requirement

District management evaluate the current permits to determine District s HSP coordinator will evaluate permits and make 2282017 HSP Coordinator Ms Acosta continues to evaluate new permits on a case by case basis For AampI Use

if future renewal of some permits would be more appropriate recommendations for change when cost effective Progress Renee Acosta assessing the most cost effective permit needed and makes the

for cost-effective permits instead of emergency pennits updates to follow at 60 180 and 360 days post final report recommendation for change


List Find ing Here Poor Record Keeping

District management ensure permit holders accurately complete DM-0090s and submit to their supervisor on a montllly basis

District s Supervisors of Traffic Operations and Field Maintenance will ensure permit holders accurately complete form DM-0090s and submit them within appropriate time frames Progress updates to follow at 60 180 and 360 days post final report

3312017 Traffic Operations Willie Kuhl and Maintenance Dan Ryan

This recommendation has been implemented and is in compliance during this 60 day period Jon Bevan has replaced Dan Ryan

For AampJ Use

Supervisor review and approve DM-0090s on a monthly basis Districts Supervisors of Traffic Operations and Field Maintenance will review and approve the form D -0090s monthly Progress updates to follow at 60 180 and 360 days post final report


Supervisors have been approving the DM-0090s during this 60 day

period Jon Bevan has replaced Dan Ryan For Aamp Use


List Find ing Here Non-Compliance with Key Fobbing Requirements

District management ensure permit holders use the key fob assigned to them for every trip they operate a state-owned vehicle

District supervisors ensure that their employees comply with the terms ofthe Key Fob Assignment agreement

Districts Supervisors ofTraffic Operations and Field Maintenance will ensure permit holders use their Verizon key fobs to record each driving trip Progress updates to follow at 60 180 and 360 days post final report

Districts Supervisors of Traffic Operations and Field Maintenance will ensure pennit holders comply with the terms contained in Form DME-0325 Key Fob Assignment and retain a signed copy ofthe form Progress updates to follow at 60 180 and 360 days post final report

2282017

22812017

Traffic Operations Willie Kuhl and Maintenance Dan Ryan


The District checks the weekly Fob report from the Division of Maintenance to identify Fob use compliance by the pennit holders DI 0 is in compliance thus far

Key fob assignment form has been retained and is on file during this 60

day period

For AampI Use

For Aamp Use

l o f l 5302017

State ofCalifornia California State Transportation Agency DEPARTMENT OF TRANSPORTATION

Memorandum Making Co11servation a California Way ofLife

To ALICEM LEE Date April 27 2017 Acting Assistant Director Audits and Investigations File P3000-0428

From LORNA RICE K~ rn ~ fOf Deputy District Director Administratio District 11

Subject Dll HSP AUDIT REPORT P3000-0428

District 11 (D11) is on target for establishing updated procedures ensuring PM0041 and DM0090 are submitted and reviewed on a timely basis by both Homes Storage Permit (HSP) holders and managers The procedures will be fully implemented by June 1 2017

As of today the District HSP liaison will be setting up meetings with HSP supervisors and HSP holders to review the new procedures in May 2017 The procedures are outlined in the Auditee Response of the D 11 Audit report The steps will be explained to all impacted staff emphasizing that the practice will be in place by June 1 The District HSP Liaison will be overseeing the process after June 1 with reminders being sent to the managers and HSP holders for submittals and reviews

In addition to the DI I plan the Department ofEquipment is in the process of developing a spreadsheet that will incorporate both the PM0041 and DM0090 inf01mation for better efficiency in submittal and review of information This document could be a very effective tool in support of the procedures D 11 will have in place

By the 180-day status report due by July 27 2017 DI 1 tracking and procedures will be in full implementation

c Laurie Berman District Director Cory Binns Chief Deputy District Director

Provide a safe s11stai11able integrated and efficie11t tra11sportatio11 ~ystem to enlumce California s economy and livability

AUDITS AND INVESTIGATIONS (AampI) Audit Name HOME STORAGE PERMIT PROGRAM AUDIT

AUDIT PERIOD January 1 2016 through July 31 2016 AUDIT REPORT FINDINGS 60-DAY STATUS REPORT


Personal Use of State Vehicle One-Way Commuting andor Round Trip Form Procedures Not Consistently Followed

Auditee AampI Audit Recommendation Auditee Original Response to Report 60-Day Status AampI Analysis District 11 3 District HSP supervisors and managers

ensure that PM-0041 forms are completed and approved by the third calendar day of the subsequent month including manual PMshy0041 forms for permit applicants awaiting approval

District motor pool staff will send a reminder to all District HSP holders supervisors managers 5 business days prior to last day of the month HSP supervisors wil l ensure that HSP holders submit the PM-0041 by the last day of every month District HSP supervisors will enforce the HSP policies and timely submittal of the PM-0041 to ensure the forms are submitted prior to the 3rd business day of the month The HSP policy will be reviewed and in itiated by the HSP holders and kept on file District motor pool staff will motor the submittals of the PMshy0041 forms and notify the HSP supervisors of any delinquent reporters Corrective action wi ll be taken for any delinquent forms which may lead to confiscation of the permit

Aamp Analysis


Poor Record Keeping District 11 2 District management ensure permit

holders accurately complete DM-0090s and submit to their supervisor on a monthly basis

District management will require HSP supervisors to review DMshy0090s for accuracy prior to their monthly submittal A copy of the signed monthly DM-0090 by both HSP holder and supervisor wi ll be sent to the District liaison to keep track of the forms and ensure they have been completed accurately

AampI Analysis

3 Supervisor review and approve DM-0090s on a monthly basis

Supervisors will send a copy ofsigned and approved DM-0090 to the District liaison every month to be filed and tracked on a spreadsheet for verification of submittal The spreadsheet will be shared on a monthly basis to all HSP supervisors

AampI Analysis

1of1 5302017


Memorandum Making Conservlllion a California Way ofLife

To WILLIAM LEWIS Date May 25 2017 Assistant Director Audits amp Investigations File

From GLORIA ROBERTS Deputy District Director ofAdministration District 12


This memo confirms that District 12 submitted its 60-day status report on May 3 2017


c Ryan Chamberlain District Director District 12

Provide a safe sustainable integrated and efficient transportation system to enhance California seconomy and livability

Audits and lovestigatioos (Aampl) Audit Finding Status Report Update


Auditee District l2

~t ~eeort_ Find_ing I - - - - - --middot- shy

List Finding Here Personal Use ofState Vehicle One-Wav Commutine andor Round Trip Form P rocedures Not Consistently Followed

Aampl Audit Recommendation

District HSP supervisors and managers ensure that PM-0041 forms are completed and

approved by the third calendar day ofthe subsequent month including manual PM-0041 forms forpermit applicants awaiting approval

_A~it Report Finding 2


All VHSP holders will submit PM-0041 by last working day of each month to supervisor for approval Supervisors will approve PM-0041 by 3rd working day-of next-month

List Finding Here Permits Need Further Monitoring District HSP supervisors and managers monitor the emergency call outs by permit holders on a monthly basis to ensure they have a minimum of two call outs per month to

meet the annual minimum of 24 emergency call outs Request DOE to cancel any permits not meeting the minimum monthly call out

requirement

District management evaluate the current permits to determine if future renewal of some permits would be more appropriate for cost-effective pennits instead ofemergency pennits

~ Rep51_rt in~iog 4

District VHSP Coordinator will evaluate necessity of permits with managers and DDD for those not meeting minimum call-out requirements


-List Findine Here Non-Compliance with Key Fobbing Requirements


District supervisors ensure that their employees comply with the terms of the Key Fob Assignment agreement

District VHSP Coordinator will remind VHSP holders ofkey FOB requirements Supervisor and manager will address non-compliance with employees

District VHSP Coordinator will remind VHSP holders of key FOB requirements Supervisor and manager will address non-comp1iance with employees

Estimated Completion Date Staff Responsible 60Day Status

Ongoing

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Dl2 VHSP Coordinator





bull 22 staff for month of April (I day delinquent) - staff were following the user s manual (on the website) that says they have until the 5th of the next month to submit their PM-0041 which would account for the large number of I day delinquents in April On the other hand the Approvers Guide says the PM-0041 has to be submitted on the end of the month Per MMll the permit holders can still get a call-out on the last day ofthe month so they wait before they submit MMll recommends to wait until the 5th of

the month before we red flag any delinquent permit holder bull 4 staff (plus I retired and I on extended leave -Spilsbury) delinquent over 30 days - reminder sent and Supervisors looking into it bull and I staff (plus I on extended leave - Spilsbury) delinquent over 60 days - reminder sent and Supervisors looking into it

All permits reviewed and passed minimum call-out requirements Three who did not meet minimum were evaluated and justification were provided

by supervisors

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FOB requirements and policies were sent to all January I 2 2017 Follow-up reminders were sent April 18 and April 24 2017 Continued compliance monitoring

FOB requirements and policies were sent to all January 12 2017 Follow-up reminders were sent April 18 and April 24 20 17 Continued

compliance monitoring


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Cftllra-s Audits aud Iuvcstig11lons (Aampl) - Response to llrn fl R~port

AudltNbullme H ome Storage Permit Program CVHSP)

Audit Division of Equipment (DOE)

Audi Repor t lllndlug 1

Jgtctsonal Use of State Vehicle Onc-Wav Corumufln2 nndor Round Trip Form Procedures Not Corulstcntly Followed AampI AudJt RccommcndAtlon oonsoliltk f~k lrccn Jgtillricts cqardiag the ocllgtSiM 119o oct seek to cllrlY lho ~lfCIofthcoommon l)Pef ofllchicLct whkb wowkl ~

~bullicknd DQIJmiddotpcHOOll llK ~lcs

001 updamplc lht YllSP Guidelineamp to [OlUlro ~I appli~nl~ 10tin~

~rlo dtJcles ti homo to Sllbmit m1nu11I PM-001i fomu whilo MWlitlng

penniilbullJlflftlval

Audll Roporl F inding 113 Poor Rcord Kcepln~

t amp 1 Audil Rctornmendndon DOE tipdU the VUSP Ooiddioes to m alvo Mr pottnliJI confl~ioo

Audltee Orhtlnal R~oonse to Reoort 60middotDnv Stntus Aampl Anbulllysh PlU1Hnl to tho audit ficdinamp 2 lJltl dte lCCOOnltNletion o( AampJ AudiI PJ000-0414 In hkhowgb Ike integi~tiono(tht dropmiddotdowa ~mtot1he IRS cx~ion p1hltcbulltlrul lltlo For Aamp tse Mltdil01500f~Hd imlcntt11ed aotomAlcd ~illamp ibal 11kDdcd 10 lhedamptabuc is mcivtd positively MVGthdcu lhttct~ 1icdopmions OcI itamp ctabfhhm ~dstmt 1pplic1lloo or the lnlca-MI kcvcnw Services (IRS) Mcb) 1AJblNgtn DOI cclllactd I st Level Ap~m i11 DOS and DlO 10 ucrn1in dtciJ supcniSOfl ud pmnit tokfm whco comtdcrins ~I IS orSlllo-oKnod mcthodolot) iii dmnnWna the nanpuon slla EY(a wilhisl die ciWicts lsI tcYd nhicJct DOBs au1omatcd dtbru inclttdod bull ampop~-n mrau lis11111 ~ptioaa ot1111 AWrs wu applyitfg 1btni~ la JilftteM Atbull rmik ooe is requcslifti bull whicl5 co1111oklcrtd tax ocmp1 f1oia JU frlnampo bcncfu provbions u well u the web Hnk darUka1to from the CfLepl DM1cH IO IRS PubfQllON JJ8 - ru F~ Yfgtldu In iq utirery Addieionllty 1hc pmpmrning rcquirt9amp11PftVboty1pproml 011 Ihe pcnnlt Mfdtts cblm 1blt 1hch vchkk lsOfl tbalRSutmptlonllstOiv~nfhdil I 1ndthorocommmdliontgtf lhcAutJl1 PJ000642amp OOE IntendI IO contact 1hc approvi11a supervisors who tre nnclettt on ht n~s list to ddermlne lhenatu1orthtfr co111uslon trom ttme dbcuu kios 006 will malie- emy erT011 10 clarify related ln~lct

006 will update tho VllSP OuldelinCll lo rtquitHppliclttU bullIOOlI Srate-owncd 11tbiclct In IKklilitMI IO inctudoth1 procedm1I rtquhc111t8 rorfJintoCa manool PM-OCMI trhllo i1t lliclc bornbull 0yeneinl1hl 10 nlobull traquo1n1111 PMmiddot0041 directl) withlhc Division 1gtr 1Wt1i1lo1 pctmit approval thcnclI publlotioa oflhc VHSP OuidelillCi 11till be upd1t(l(I Aoooootiq The applitMll wlll bo llSUlelitd to continue the manual ritlnampbull untE the- wilh other Audit amp lovtiicamptianf ltcOlnmcnd1doa1 1nnlicatioru~1 ~-1 bvdloth~lemiddotclrolthiidlttr-bull--- cmcnl fMm

Andiru OriampJnnl Retponse to Report Aamp l Anlysls DOE shall opfora t~ oua ofWy pottnlf1 confuston ~lqdie l(lqUimncnt for OOEhasdcTclopal thloutlincofandtclrOJk lonNl OilCq4in1Dd1otgtMto4I or

repnNnc tbt leQUitcmltnl to submit 1hc DM-OlJO and 00111I~ lnlqlrating compktioo andsubmbrion oldie DMoo90 and 1111kc lhc necessary Adjushncnb ho VHSP daabli( DUtrku fiut levcl approven uo givm M1 opporninity to provide thc (oon lnlO lhe ltSr tyrtua ind udinamp OliOpotilbltity of (()Mi i11tct1bulltioa rccomincndftl II U imPQIAltlO no(O (claquofbKk 00 lho IJCN fo1mal ooewilt ~middotortt ith CT ~llIW1 deg include lhc new

hoWCVCr Lh1t the VHSf Ouiddlnaltin PllC Jckltrt) sttlltt Employ~nuul ncord to1111bulltasapartof mo1111ly (illngnf PMmiddot(ltNls byVtSP holder r4tl-Guf1 on Iha Loi ofJmtrgtncy Tgt-IPJ DM-0090 or tlttV011le colfmiddot~mt lox wl1h11 U Ami~oftht crxcncy lncldtftl In 11JJllon on th11 aamo p1ge Jt f1 mttd Sw~tlJon M Uft rltllobullmtd npprore 1rta1ll~ul IOampJmOntlily r urtbCllJMU In 1ho FMPlOYBli RESPONSrulUTil1i ~tlon on pnao 1 or Iht OlUelllld bull~ ten niquim lhc ~oyec to bullAC4llfOtt1 co11411m tit~ I-OR of~ttbullney lHPJ - BbullfouAfler llo11r Call-Out (DMshyOOIJO)omt oit a M011ilry btuU Liwty in the SUPERVISOR RUSPONSOIUTIEc 1tetkgtn ot pip7 o( thoOuidolit~ bullet nioo rapilS tbosttptniiqlf j) JUfw 41Jd ~ rhc fHSP ioJtt1 LottlP11ttrr-IHY TrlJU - lkfiwUAftu ampJr QrlDf1(Olefmiddot OOJfJ)fonrtM1tlffORJAlyba1b




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audits and investigations roberts. myers i ';;:pt. · pmpmrning...

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