Report 2015-120 Recommendation 4 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 #4 To: Transportation, Department of

To ensure that it performs field maintenance work consistently on highways with similar needs, the maintenance division should assess whether districts are using funds in a manner commensurate with indicators of need included in its new budget model.

Annual Follow-Up Agency Response From November 2017

Caltrans developed and implemented the MAPP on July 1, 2017, and has signed MAPPs with all 12 districts for FY 2017-18. The MAPPs ensure that districts are using funds commensurate with demonstrated needs. Further, as noted previously, Caltrans Maintenance Policy Directive 17-01 requires maintenance supervisors to complete an 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 was conducted in all 12 districts between March and July 2017 and it also included training on the Policy Directive 17-01.

California State Auditor's Assessment of Annual Follow-Up Status: Fully Implemented

We reviewed the policy directive that requires maintenance supervisors to develop an annual work plan, which is reviewed by superintendent and region managers. It requires that zone-level service scores be evaluated through the MAPP. The MAPP presents performance on a quarterly basis. The policy directive was incorporated into the maintenance manual.

1-Year 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.

California State Auditor's Assessment of 1-Year Status: Pending

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

6-Month 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.

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

60-Day 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.

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

All Recommendations in 2015-120

Agency responses received are posted verbatim.