memorandum /11ilki11g ct111serw1tio11 - caltrans · memorandum /11ilki11g ct111serw1tio11 . a...

State of California Californ ia State Tn111sporuuion Agency OElAlffM ENT OF TRANSPORTATION

Memorandum 11ilki11g Ct111serw1tio11

a California Way ofLife

To WILLIAM LEWIS Date August 15 2017 Assistant Director Audits and Investigations File

From

Subject 180-DAY STATUS RESPONSE FOR VEHICLE HOME STORAGE PERMIT AUDIT

Attached is the Division of Equipments 18 0 - Day response to the Audits and Investigations report for P3000-0428 DOE Home Storage Permit Program AudU January 201 7

Attachment 180-Day Status Response Report

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

middotmiddotProvide a safe s11stai11able 111egrated n11d efficient tm11sportntio11 1ystem to enhance Califomio seconomy ond livab11iry

Audit Report Finding 1 Personal Use of State Vehicle One-Way Commuting andor Round Trip Form Procedures Not Consistently Followed ~~iliJgttlRi~dH PHn Iii 1111~ nn rj nmiddotJpmu~illlliilUI bullbullm lffilll IH I I HJljlll if I 111111 I I ~~lFlil~iillfibill mlim1m~Hnanmur _ middot11~~llll rulfJltl11lllililliUI ~inullFiijlnfipi rli~lliiii~~fllf~iyenjg~bullhl~middot middotIi nbullmiddotmiddotmiddot i1Jlln~l1illH1ll~iliHl~I ri1l111middotmiddotj~1rjill~~ bullbull _ bull bullbull bull a~ ~ ___ _ _ ~ 100 bull~l1ru~ __ --middot ~ _ _=hi ~~1u1HunJ1rmmm~itlutt~i~ 1~21 _ ~d II 111M1 U bull llt1

Poor Record Keepin

DOE solicit feedback from Districts Pursuant to the audit Finding 2 and the recommendation ofAampI Audit Although the integration of the drop-down According to er Legal One cannot use maintenance classes to

regarding the exclusion rule and seek to PJ000-0424 in March 2015 DOE developed and implemented automated menu ofthe IRS exemption publication into determine the applicability oftliese tax provisions Instead to clarify the issue of the common types of programming that intended to establish a consistent application ofthe the database is received positively qualify the vehicles design must be such that there is no -or at vehicles which would be considered non- Internal Revenue Services (IRS) rule by supervisors and permit holders nevertheless there are varied opinions on its most de minimis - personal use ofthe vehicle for non-business personal use vehicles when considering non-personal use ofState-owned vehicles DOEs application DOE contacted 1st Level purposes That evaluation ofa vehicle s design must ofcourse

automated efforts included a drop-down menu listing descriptions ofall Approvers in D08 and DI0 to ascertain their occur on a case-by-case basis And employees should always be vehicles considered tax exempt from IRS fringe benefit provisions as well methodology in detennining the exemption advised to consult with their own taX professional regarding their as the web link to IRS Publications 15-B - Tac Exempt Vehicles in i1s status Even within the districts 1st Level own tax situation One final disclaimer All ofthis could soon entirety Additionally the programming requires sUpervisory approval on Approvers are applying the rule in different change in the proposed overhaul ofthe tax codebull DOE is in the permit holders claim that their vehicle is on the IRS exemption list ways As a result DOE is requesting a agreement Given Finding 1 and the recommendation ofthe Audit P3000-0428 DOE clarification from the CT Legal Division intends to contact the approving supervisors who are unclear on the IRS list to determine the nature of their oonfusion From those discussions DOE

DOE update the VI-ISP Ouidelines to require permit applicants storing state vehicles at home to submit1nanual PM-0041 forms whi1e awaitingiJermit approval

DOE will update the VJISP Guidelines to require applicants storing Stateshyowned vehicles at their homes ovemight to file a manual PM--0041 directly with the Division ofAccounting The applicants will be instructed to

continue the manual filings until the applications are approved by the three levels ofthe districr management team

In addition to include the procedural requirement for filing ofa manual PM--0041 while awaiting pernrit approval the next publication ofthe VHSP Guidelines will be updated with other Audit amp Investigations recommendations

Completed - Adhering to the commitment made in the Response to

the Draft Report the new language is incorporated intlt the current guidelines reflecting the requirement VI-ISP applicants are instructed to submit a manual PM--0041 directly to theDivision of Accounting while awaiting approval from the three management levels

Audit Report Findillg3

DOE update the VHSP Guidelines to DOE shall explore the source ofany potential confusion regarding the DOE has developed the outline ofan The integrated log-format is developed and presented to IT Team resolve any potential confuSion regarding requirement for completion and submission ofthe DM-0090 and make the clectronic format to integrate into the PM- for testing Once the testing is complete the new format will the requirement to submit$e DM-0090 necessary adjustments including the possibility offonn integration 0041 ofthe VHSP database Districts first become the second page ofthe PM--0041 To avoid maintenance of and consider integrating th~ form into the recommended It is important to note however that the VHSP Guidelines level approvers are given an opportunity to multiple logs fur the same Calendar Year the new funnat will be HSPsystem on page 3 clearly states Employees mustrecord call-outs on the Log of provide feedback on the new format DOE implemented for the 2018 CY permits

Emergency Trips DM-0090 or electronic call-out log within 24 hours of will work with er programmers to include the emergency incident In addition on ~e same page it is stared the new foilnat as a part ofmonthly filing of Supervisors must review and approve the call-out logs monJhly PM-004 Js by VHSP holder Furthermore in the EMPLOYEE RESPONSIBILITIES section on page 7 of the Guidelines bullet ten requires the employee to Accurately complete the log ofEmergency Trips - Beore( After Hour Call-Out (DM-0090) Orm on a monthly basisbull Lastly in the SUPERVISOR RESPONSIBilITIES section on page 7 ofthe Guidelines bullet nine requires the supervisor to Review and approve the VHSP holtfers Log of Emergency Trips-BeforeAfter Hour Call-Out (DM()090) fonn on a

State of California Californ ia Stale Transportation Agency DEPARTMENT OFTRANSPORTATION

Memorandum 110Ai11g Co11servatio11

a Califomia Witv ofLife

To Eugene Ezimora Dntc August 9 2017 Audits amp Investigations

File

TY7 j_~-~La~---From Mark Suchanek

Deputy District Director of Maintenance District l

Subject 180 DAY STATUS TO FINAL REPORT OF THE HOME STORAGE PERMIT PROGRAM

This memo confirms that District l submitted its 180-day status report on August 9 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 s11slai11able i111t1grated and ejflcienl lransportalion sy~tem to enhance California S economy and livability

- - - -

Audits a nd lnvestlgarions (Aamp1) Audit Finding Status lleport Update

Audit Nam( Home Sloragc Permil Program Audit PJ000-0428

Audltce District I

Audit Report Finding I -- --middot - -middot - --- - - ------ shy-middot-middot List Findine Here Personal Use ofState Vehicle One-Wav Commueine andor Round Trip Form Procedures Not Consistentlv Followed

AampI Audit Recommendation

District HSP supervisors and managers ensure that PM-0041 forms are completed and approved by tile third calendar day o f the subsequent month including manual PM-0041 limns tor pem Iit applicants awaiting approval

Audit Report Finding 2

Aud itee Original Response to Report

District field maintenance stafT thought the documents were due on the l 0th Staff has been notified ofthe 3th due date

Estimated Completion Date

Completed

Staff Resnansible

Brennan Udao Maintenance Mgr I

middot-middot- ~ middot----middot-- middot - --middot---- List Findinu Herc Permits Need Further Monitorin2

i

i District HSI supervisors and managers monitor the merg~ncy call ouls by pe1mi1 f)i0t ri1l J14P lllCn 1wrs a11d mmag~r- holders on a monthly basis to ensure they nwnttvr 1hi cmcrgencmiddoty all (HJIS hy JKmiddotnnil have a minimum of two call outs per holders 111 l 1111nlhly hagtis to Ln llf1 they i month Districts should Jwv~ n minimum of twn c~1 1 Ollli per mon1l1 evaluate the cu1Tcnt permits to detennine Di-lrilIS-lwuld ~t ll tl h lhc curn~m r1111nit I if future renewal o f some permits would m ltkllrtnirH if futun nncwal tlf ~o1ni I be more appropriate for cos1-effective pcnnits Uhl Ixmiddot mtJr~ appropriJh ll1r cn-t~

permils instead ofemergency permits cIT1ltllc ptmiddotrmlls 1111cacI oftlhTtmiddotm Ongoing monhuring ~nnits lt1uri11g cnkndar ~ middot1r

A11fj_l~cport Finding 3 middot-middotmiddotmiddot-- middotmiddot-middot-----middotmiddotmiddot ______ middotmiddot-middot

List F indin Herc Poor Record Keeping

District management ensure pennit holders accurately complete DM-0090s and submit to their supervisor on a monthly bas is Supervisors should review and approve DM-0090s on a monthly basis

l)1stmt I 111mag111c11 t i11 11 s11r- 1hu all IlSl1

hokkri 1111dcrliruI ~1udd1111middot md bull1)111ply

-middot--

hhruury I 211 17 nnd c1llllllt1ing

Brennan Ladao Maintenance Mgr l

Brennan Ladao Maintenance MITT I

60-0ay Status

Monitoring delinquent submitaVapproval of PM-0041 with the help of DOE VHSP monthly data report Follow up with email to remind VHSP permit holders and Superintendents

-~middot- --~ --middot

VHSP permit holders arc reminded by email of the miniumum two emergency cill outs per month Oven ime reports reveiwed by Superintendents and Managers for monitoring

180-Day Update

District VHSP holders and approving Supervisors email reminders is ongoing

--middotmiddot---- shy

AampI AnalysisStatus a nd Date

ForAampl Use

- -~ --middot

ForAampI Use


-----~---------middotmiddot--________ middot-middot--middotmiddotmiddot - -shy

VHSP permit holders and Superintendents reminded by email or phone call the monthly completion of form DM-0090

For Aampl Use District VHSP holders and approving Supervisors email reminders is ongoing

I of 892017

State ofCalifornia California State Transportation Agency DEPARTMENT OF TRANSPORTATION

Memorandum Making Conservation

a Califom ia Way of Life

Date

Assistant Director Audits and Investigations

To JUDY YAMADA August 9 2017

File

From JEANELL BRADLEY Businessmiddot Management District 5

Subject 180-Day Status Report Home Storage Permit Program Audit P3000-0428

Attached is the District 5 response to the P3000-042ampDraft Audit Report on the Home Storage Permit Findings middot

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 RMZfirements-middot I

middot 1

Ifyou have any questions or need additional inform~fion please middotcontact Deputy District 5 Director for Administration Julia Bolger at 805-549-3188 middot

Attachment

c Julia Bolger Deputy District 5 Director for Admi~istratiCgttt ~ middotmiddot Sara van Schwind Deputy District Director for Majntenance amp Operations Tim Gubbins District 5 Director Mike Parker Maintenance Supervisor David Flaherty Electrical Supervisor

middot Martin Sanchez Regional Manager Dennis Glickman Acting Regional Manager Adam Gleason Equipment Manager

- bull

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

Caltrans Audits and Iove~tigations (AampI) Home Stonge Permits PJ000-0428

Auditee District 5 Audit S1atus Report

Audit Report Finding I

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

Estimated AampI Audit Recommendation Auditcc Rcs110nse to Draft Report Completion Date Staff Responsible 60-Day Starus 180-Day Upda~ AampI Analysis Districl HSP supervisors and managers ensure that PM-0041 l Employees will submi t PM-0041 reported 5192017 Employee and Supervisor Supervisors for permit numbers listed on audi t report and new Supervisors reported 080817 lhal HSP For AampI Use forms are completed and approved by the third ca lendar day of on the first working day of each permit ho lders reported that PM-0041 have all been submitted employees have timely submitted PM-the subsequent month including manual PMshy004 1 forms for month timely this calendar yea r 0041 forms llver lhc past 180 days permit applicants awai ting approval

2 Employees will not claim tax reported 51920 17 E mployee and Supervisor Three of the permit numbers l isted on the audit report claim Supervisors reported 080817 thal HSP For Aamp Use benefit exclusion if vehicle docs not exclusion from fringe benefits since they d rive hoist trucks or a employees have not claimed the tax quality vehicle designed to carry cargo with a loaded gross vehicle weight benefit exclusion forthe past 180 days

over 14000 lbs Those that do not qua li fy do not claim this with the exception of the three that - exclusion qua lify

Audi t Report Finding 2

Permits Need Further Monitoring

Estimated Aamp Audit Recommendation Auditee Response to Draft Repor t Completion Date Staff Responsible AampI Analysis 1 District IISP supervisors and managers monitor the emergency Staff and managers will comply a nd reported 5192017 Employees and Supervisor Supervisors for permit numbers l isted on the audit re port indicate at Supervisors reported 080917 thal ISP For AampI Use call-outs by permi t holders on a monthly basis to ensure they have continue to monitor the ca ll-outs and least 2 e mergency call ou ts per month with the exception of permit e mployees have an average o f at least 2 a minimum of two call-outs per month to meet the annual request cancellation if minimum call- number 05-13447m reporlS an average of 5 emergency call outs per emergency call outs per month over the minimum of 24 emergency call -outs Rcqucs1 DOE to cancel any ot requ iremcntc arc not met month This pcrmil holde r lives in the North County hut mus he pas1 180 dtys with the exception of permits no1 meeting the minimum monthly call-ou t requirement able to respond to tra fOi signal cmcrgendcs in this rural area as as permit 05- l 3447m for reasons listed on

delayed response may result in safety hazard the last rcpo n

2 DistriCLi evaluate the current pcrmiLS to determine if future Staff and managers will comply ana reported 5192017 Employees and Supervisor for permit number 05- 13447m indicates that the l-ISP Supervisor reports the same reaso n fo r renewal of some permiLS would be more appropriate for cosshy continue to moni tor the call -outs and Supervisors permit is needed based on the safety impact of delayed response this exception effective pcrmiti instead of emergency permits request cancellation if minimum call- e nvironmental factors affec1ing electrical components s uch as

oul require ments arc not met marine air amp frequent power fai lures in the area

Audit Report Finding 3 Poor Record-Keeping

Estimated AampI Audit Recommendation Auditee Resoonse to Draft Reoort Completion Date StaffResponsible Aampl Anatvsis I District management ensure permit holders accurately District management will ensure that reported 51 92017 Managers and supervisors Employees and Supervisor for permit numbers listed on audit report Supervisors reported 080917 that HSI ForAampI Use comple te DM-0090s and submit to their supervisor on a monthly employees will comply wi th the have stated that DMmiddot0090s have all been submiucd timely employees have timely submilted DM-basis reco mmendation 0090 forms over lhe past 180 days

2 Supervisor review and approve DM-0090s o n a monthly basis District supervisors will review and reported 5192017 Supervisors Supervisor for permit numbers l isted on the audit re port stated that Supervisors reported 080917 thal they approve DM-0090s on a monthly l)M-0090s have all been approved timely have timely approved DM-0090 forms bas is ove r the past 180 days One exceptio n

was a n approval o n the lOth day o f the month since the su pervisor was on vaca tion


Non-Comoliance with Kev Fobbinbull Reauirements

Estimated Aamp Audit Recommendation Auditee Response lo Draft Report Complelion Date Staff Responsible AampI Analysis

l District management e nsure permit holders use the key FOB Distri ct managers and s uperviso rs repor ted 5192017 Manage rs and supervisors Employees and Supervisor for permit numbers listed on the audit Supervisors reported on 080917 that For Aamp Use assigned to them for every trip they operate a state-owned vehicle will ensure permit holders use their report state that they fob consistently However some report that their HSP employees have been fobbi ng

proper key FO B for every state their fobs fail to reg ister on the vehicle about o ne a month despite consisten tly over the past 180 days vehicle trip repeated altcmpt5

2 Districl supervisors ensure that their e mployees comply wi th District supervisors will regularly reported 5192017 District Superv isors Supervisor for permit nu mbers listed on audit report stated that they Supervisors reported on 080917 that For Aamp Use the terms of the Key fOB sssignment agreement remind employees to comply with the ensure the ir employees fob co nsistently they remind their llSP employees LO fob

terms of the ir key FOB agreement cons istently

State of California California State Transportation Agency DEPARTMENT OF TRANSPORTATION

Memorandum M akillg Co 11servtJtio11

a Califomio Way ofLife

To WILLIAM LEWIS Date August 8 2017 Assistant Director Audits amp Investigations File

(A j From BRENT L GREENI I

D~str~ct Director V V D1stnct 9 middot

Subject 180-DAY STATUS TO FINAL REPORT OF THE HOME STORAGE PERMIT PROGRAM

This memo confirms that District 9 is submitting our 180-day status report August 8 2017


c Suzi Carter Deputy District Director ofAdministration District 9

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

Audits and Investigations (AampI) Audit Finding Status Report Update

Audit Name Home Storage Permit Program Audit PJ000-0428 Auditee District 9


List Finding Here Personal Use of Stale Vehicle One-Way Commuting andor Round Trip Form Procedures Nol Consistently Followed

Estimated AampI AnalysisStatus and Aampl Audit Recommendation Auditee Original Response to Report Completion Dale Staff Responsible 60-Day Status 180-Day Update Dale

District 9 has interviewed and has selected a candidate for the newly established MSRPIO position The final offer and start

District 9 is in the process of date in pending approval by For AampI Use District HSP supervisors and managers filling the newly established Human Resources District 9 is

ensure that PM-0041 forms are completed MSRPIO position in the waiting for Final Job offer for and approved by Ille third calendar day of Distr ict This position will be MSRPIO positionand in the subsequent month including manual tasked with the responsibili ty of process for advertising Fleet PM-0041 forms for pern 1it applicants District 9 agrees with the AampI Audit Customer Service Liaison (MSR I PIO) coordinatingmonitoring the Optimisation and Equipment awaiting approval recommendation Marchmiddot Aoril 2017 Position District 9 HSP Program manager oostion


List Finding Here Permits Need Further Monitoring

District 9 has interviewed and has selected a candidate for the newly e~iabl i~hed MSRPIO

District HSP supervisors and managers position The final offer and start monitor the emergency call ouls by perm ii District 9 is in the process of dale in pending approval by

ForAampI Use holders on a monthly basis lo ensure they filli ng the newly established Human Resources District 9 is

have a minimum of two call ouls per MSRPIO position in the waiting for Final Job offer for month to meet lhe manual minimu ln of 24 District This position will be MSRPIO positionand in emergency call outs Request DOE 10 tasked with the responsibility of process for advertising Fleet cancel any permits not meeting the District 9 agrees with lhe Aamp Audit Customer Service Liaison (MSR I PIO) coordinatingmonitoring the Optimisation and Equipment minimum monthlv call out reouirement recommendation March -April 20 17 Position District 9 HSP Program manager poslion


District 9 is in the process of date in pending approval by For Aamp Use filling the newly established Human Resources District 9 is

District management evaluate the current MSRPO position in the wailing for Final Job offer for

permits to determine if future renewal of District T his position will be MSRPO positionand in

some permits would be more appropriate tasked with the responsibility of process for advertising Fleet

fo r cost-effective permits instead of District 9 agrees with the AampI Audit Customer Service Liaison (MSR I PIO) coordinatingmonitoring the Optimisation and Equipment

emergency permits recommendation March - April 20 I 7 Position District 9 HSP Program manager poslion

1of1 828 2017

Ezimora Eugene ODOT

From Nunes Pete JDOT

Sent Thursday Augu st 10 2017 231 PM

To Ezimora Eugene O DOT Cl ine AthenaDOT

Cc Yee Kevin BDOT Subject RE Home Storage Permit Audit P3000-0428 - 180-Day Statu s Report Attachments Copy of 010 180-Day Status Reportxlsx

Hello Eugene Please see the attached 180 day status report per your request

Sincerely

PETE NUN ES Office Chief Business Management

Office (209) 948-7921 Cell (209) 969-4586

District 10- One Vision One Team One Voice

Catrans Mission Provide a safe sustoinobe integrated ond efficient transportation system to enhance Californias economy and livability Catrans Vision A performance-driven transparent ond occountable organization that values its people resources ond partners and meets new challenges through leadership innovation and teamwork

From Ezimo ra Eugene ODOT Sent Tuesday August 08 2017 1118 AM

To Cline AthenaDOT ltathena clinedotcagovgt Nunes Pet e JDOT ltpet enunesdotcagovgt Cc Yee Kevin BDOT ltkevinyeedot cagovgt Subject Home St orage Permit Audit P3000-0428 - 180-Day Status Report

Good Morning

This is to remind you that your 180-Day status report for the above referenced audit is due Please update the attached report and submit t o us w ith your cover lett er by August 15 2017

Thank you

Ezimora Eugene ODOT


Sent Th ursday August 10 2017 231 PM

To Ezimora Eugene ODOT Cline Athena DOT

Cc Yee Kevin BDOT

Subject RE Home Storage Permit Audit P3000-0428 - 180-Day Status Report Attachments Copy of 010 180-Day Status Reportxlsx


Sincerely

PETE NUNES Office Chief Business lfanagement

Office (209) 948-792 1 Cell (209) 969-4586

District JO - One Vision One Team One Voice

Cotrans Mission Provide a safe sustainable integrated and efficient transportat ion system to enhance Californias economy ond livability Cotrans Vision A performance-driven transparent and accountable organization that values its people resources and partners and meets new challenges through leadership innovation and teamwork

From Ezimora Eugene ODOT Sent Tuesday August 08 2017 1118 AM

To Cline AthenaDOT ltathenacl inedotcagovgt Nunes Pete JDOT ltpetenunesdotcagovgt Cc Yee Kevin BDOT ltkevinyee dot cagovgt

Subject Home Storage Permit Audit P3000-0428 - 180-Day Status Report

Good Morning

This is to remi nd you that your 180-Day status re port for the above referenced audit is due Please update the attached report and submit to us with your cover letter by August 15 2017

Than k you

Audits and Investiga tions (Aampl)

Audit Finding Status Report Update Audit Name Home Storage Permit ProgramAudit PJ000-0428

Audilee District 10 Audit Report Finding 1 Lisi Finding Here Personal Use of State V chicle One-Way Commuting andor Round Trip Form Procedures Nol Consis tently Followed

Estimated AampI Analys isStatus AampI Audit Recommendation Auditec Original Response to Report Completion Date Staff Responsible 60-Day Status 180-Day Update and Date

DOE solici l feedback from Districts regarding the exclusion District S HSP supervisor will provide feedback when 2282017 Business Pete Nunes mc1 with Renee Acosta to clarify consideration lor AampI Use rule and seek to clari fy the issue of the common types of required Progress updates to follow at 60 180 and 360 Managcmcni Pete of vehicles that may meet the exclusion ru le We arc We evaluated the TMT sign trucks vehicles which would be considered non-personal use days post final report Nunes evaluating the TMT sign trucks to add to this category tO add to Lh is caLcgory and made Lh e

vehicles Preliminary recommendation is we add this vehicle this recommendation lO HQ We arc

category waiting for a response

District HSP supervisors and managers ensure that PM-0041 District s Supervisors ofTraffic Operations and Field 3312017 T his recommendation was i mplemented and PMmiddot0041 has This recommendation was For Aampl Use forms a rc completed and approved by the third calendar day maintenance will review the PM-0041 forms and approved Traffic Operations been approved by the deadline with in the first 60 day implemented and PM-0041 have of the subsequent month including manual PM-0041 forms them on time each month Progress updates to follow at Willie Kuhl and status period Jon Bevan has replaced Dan Ryan been approved by the deadli ne wit in

for permit applicants awailing approval 60 180 and 360 days post final report M aintenance John this period There arc no delinqucni Holcomb as of 8217 John Holcomb has

renlaced Dan Rvan Audit Report Finding 2

Lisi Finding Here Permits Need Further Monitoring

District JISP supervisors and managers monilor the Districts Supervisors or Traffic Operations and Field 1312017 M r Kuhl and Mr Ryan continued to monilor emergency Mr Kuhl and Mr Holcomb For Aampl Use emergency call ouLS by permit holders on a monthly basis to Maintenance wi ll moni tor call ou ts by permit holders and

Traffic O perations call-outs by permit holders during this 60 day status continued to monitor emergency callmiddot

ensure they have a minimum o f two call outs per month to ensure minimum requi rements arc mcl Jf not met requests Willie Kuhl and period T here arc no cancclations thus far Jon Bevan has outs by permit holders du ring this

meet the manual minimum of 24 emergency call outs will be submiucd to DO E for cancellation Progress Maintenance John replaced Dan Ryan

180 day status period There arc no Request DOE to cancel any permits nol meeting the minimum updates to rollow a1 60 180 and 360 days post rinal report lfolcomb cancclations thus far Records are monthl y cltdl out rcqui rcmcnl

held by Mr Kuhl and Mr llnlcumh

District mangemcnt evaluate the current permits to D istrict s HSP coordinator wil evaluate permits and make 2282017 HSP Coordinator Ms Acosta cominucs lO evaluate new permits on a case hy Ms Acosta conlinucs to evaluate and For AampI Use dcurminc if future renewal o f some permi ts would be more rcconunendations for change when cost effective Progress Renee Acosta ~asc basis assessing the most iost effective pcrmil needed assessing the mosl cost effective

appropria te fo r cost-effective permits instead of emergency updates to follow at 60 180 and 360 days post final report and makes the recommendation for change permit needed and makes the permits rccommcndaLion for change

However Lhcrc were no changes Lhis

neriod Audit Report Finding 3

List Finding Here Poor Record Keeping

Districl management ensure pcrmil holders accurately Districts Supervisors ofTraffic Operations and Field 33 1 2017 Traffic Operations This recommendation has been i mplemented and is in

This rccommcndalion has been For Aamp Use

complete DM-0090s and submit to thei r supervisor on a M aintenance will ensure permi t holders accurately Willie Kuhl and compliance during this 60 day period Jon B evan has implemented and is i n compl iance

monthly basis complete form DM-0090s and submit them within Maintenance John

replaced Dan Ryan during the 180 day period Jon

appropriate time frames Progress updates to follow at 60 l-lo lcomh Holcomb has replaced Dan Ryan

i~n 1r-n __ __ Supervisor review and approve DM-0090s on a monthly Districts Supervisors of Traffic Operat ions and Field 3312017 Traffic Operations SupcrviSors have been approving the DM-0090s during Supervisors have been approving the For Aampl Use basis Maintenance wi ll review and approve the form Dl-0090s Willie K uhl and this 60 day period Jon IJevan has replaced Dan Ryan DM-0090s during this 180 day

monthly Progress updates to follow at 60 180 and 360 M aintenance John period llccords arc kept by Mr Kuhl days post final report l lolcomb and Mr lloleomb

Audit Report Finding 4 List Finding Here Non-Compliance wi th Key Fobbing Requir ements

District management ensure permit holders use the key fob Districts Supervisors ofTraffic Operations and Field 2282017 Traffic Operations The Distri ct checks the weekly Fob report from the The District checks the weekly Fob For AampI Use assigned to them for every trip they operate a state-owned M aintenance will ensure permit holders use their Verizon

Will ie Kuhl and Division o f Maintenance to identify Fob use compliance report from the Division of

vehicle key fobs IO record each dri ving trip Progress updates to M aintenance John

by the permit holders D 10 is in compliance thus far Maintenance to identify Fob use

rollow at 60 180 and 360 days post fin al report l lolcomb compliance by the permit holders

D IO is in comnliancc thus far D istrict supervi sors ensure that their employees comply with District~ Supervisors of Traffic Operations and Field 22820 17 Key fob assignment rorm has been retained and is on file For AampI Use the terms of the Key Fob Assignment agreement M aintenance will ensure permit holders Comply wi th the T raffic Operations during th is 60 day period

Key fob assignment form has been terms contained in Form DME-0325 Key Fob Assignment Willie Kuhl and

and reta in a signed copy of the form Progress updates to M aintenance John retained and is on file during this 180

follow at 60 180 and 360 days pos t rinal report llolcomb day period by the Supervisors

l of 1 8292017

State of California Califo rnia State Transportation Agency DEPARTMENT OF TRANSPORTATION

Memorandum Mak11g Co11servatio11 a Califomia Way ofUfe

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

Frnm ~flLLtDeputy District Director Administration District 11

Subject 011 HSP AUDIT REPORT P3000-0428

District 11 (D 11) has established updated procedures ensming PM004 l and DM0090 are submitted and reviewed on a timely basis by both Homes Storage Permit (HSP) holders and managers The procedmes were in place effective June 1 2017

On May 31 201 7 D 11 held a meeting with the HSP supervisors and HSP holders to review the new procedures The procedures outlined in the Auditee Response of the Dl 1 Audit report were explained to all impacted staff emphasizing that the practice will be in place effective June 1 2017 The designated District HSP Liaison will continue to oversee the process and send reminders to the managers and HSP holders to submit their documents on time The District HSP Liaison will monitor and track monthly submittal dates and provide a quarterly status report to the managers and HSP holders A notification will be sent to HSP managers for any delinquent submittals or violations of the established procedures Managers will ensure compliance of procedures to align with the HSP guidelines

In addition to the D 11 plan the Department of Equipment is in the process of developing a spreadsheet that will incorporate both the PM004 l and DM0090 information for better efficiency in submittal and review of information This document could be a very effective tool in support of the procedures D 11 have in place

By the 360-day status report due January 27 2018 D 11 will have a fully implemented process with supporting documentation of compliance

c Laurie Berman District Director Cory Binns Chief Deputy District Director

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

AUDITS ANO INVESTIGATIONS (Aampl) Audit Nomlt ROME STORAGE PERMIT PROGRAM AUDIT 13-000-0428

Audit Period J anuary I 2016 Lhrougb July 31 2016 Audll Ragtort tl ndlnes 180-DAY STATUS REPORT

Audit Report H nding I

Pcnonal Use o r Stale Vehick One-Way Commutin~ andor Round T rip Form Procedures Nol ConsistenUy Followed

Audi tee AampI Audii Reeommltndal ion IAudilee Original Respo lo Report 160-Day Status 180-Day Updalt Ana lysisSla tus

land Dalt District II 3 Ois1rtct I ISI supervisors and managers Districl motor pool staff will send a reminder to all District HS P Asor4272fJl7 District llSP liaison will be scuing up mectin~ with On May 31 2017 DI I held a meeting with the HSP supervisors and ISP IAampI Analysis

ensure that PM-0)4 l forms arc complc1cd holders supervisors managers 5 business days prior lO last day HSP supcrviqrs and I ISP holders lO review Lhc new procedures in May hoklers to review the new procedures middot1nc procedures outlined in the Auditcc and approved by Ilk third calendar day of o f the month HSP supervisors will ensure that I ISP holders 2017 middot100 procedures are outlined in the Auditcc Response of the DI I Response o r the Dl I Audit report were explained to all impacted staff lhc subsequent month including manual PMmiddot submit the PM(X)41 by the last day of every monlh District Audit rcJXgtrl The slcps will be explained IO all impacted staff emphasizing that 1hc practice will be in place crrectivc June I 2017 The ltXgt41 forms for pcrmil appltcanLlili awaiting middotISP supervisors will enforce Lhe HSP poltcies 3nd limcly emphasizing 1ha1 Lhc praclice will be in place by June I The Distdcl designated District I ISP Liaison will oontin ue to oversee the process and send approval submittal of Lhe PM-0041 to ensure Lhc forms arc submitted prior llSP Liaison will be overseeing Lhe process after June l with rem inders reminders to the managers and I ISP holders to submit their documents on

to the 3rd business day of the monlh lllc HSI policy will be being sent to the managers and HSP holders for submiuals and reviews time The Distrk t I-ISP Liaison will monitor and track monthly the submitti l reviewed and initiated by the HSP holders and kept on file dates and provide a quarterly status report to the managers and I ISP holders Dis1rict motor pool staff will motor the submit111ls or the PM- In add ition to the DI l plan the Department of Equipment ls in the A notification will be sent to HSP manigers for any delinq uent submillals or 0041 forms and nolify the I ISP supervisors of 1ny delinquent process of developing a spreadsheet that will incorporate both the violations of the established procedures Managers will ensure comp liance of reporters Co rrcclive action will be taken fo r any delinqucnt PM0041 and DM0090 inform atio n for better efficiency in submillnl 1nd procedures to align w ith the I-ISP guide lines forms whkh may lead to co nfiscation of the perm it rnview of information This document cou ld be a very eHec1ivc 1001in

suppo rt of the p rocedures D 11 w ill have in pl1ce In addition to the DI I plan the Department of Equipment is in the process of developing aspreadsheet tha1 will incorporate bo th the JgtM004 l and DM0090 information for heller efficiency in submittal and review of information This document could be a very effective tool in support of the procedures DI I will have in place

Audit Report Findin~ 3

Poor Record K~pine

D istrict 11 Dblricl management will require JISP ~uperviltsor~ to review DM- Aof4n7ffJ17 Dbtricl llSP lia~n will be ~lling up mcccings with 2 District man1gcmcn1 ensure pcrmit On May 31 2017 DI I held a 011eting with 1hc llSP ~upcrv~JfS and llSP hnklcrlli 3Ccuralcly complete DM-0090s and rogtos for accuracy prior to their mon1hly submiUtl A copy of I ISP cuperviors ind I Lltt) hoklcrs lo review the new procedures in May holders to review 1hc new procedures The procedures oullincd in 1hc Auditcc submil 10 their supervisor on 3 monthty the signed monthly UM-0090 by both llSP holder and supervisor 2017 The procedures are outlined in the Auditcc Rcsponlte o f the 1)11 Response o f the 0 1 I Audit report were explained lO all impaltled staff

ill be scnl to the District lia ison 10 keep lrad of the forms and Audit report The step will be explained lO all impa(tcd Maffb1si cmphasVing that the placticc will be in place cffec1ivc June I 2017 llle ensure they have been completed accura1cly emphasizing Lhat the praccicc w ill be in pl3CC by June I The District designated District I-ISP Liaison w ill continue lO oversee the process and send

I ISP Liaison will be overseeing the proc~ after June I with reminders rem inders to the managers and HSP holders to submit their documents on being sent to the managers and l lSP hoklers for submittals and reviews time The l)islficl HSP Liaison will monitor and track monthly the submillal

dates and provide a quarterly stalus report to Lhc managers and IISP holders In addition to the DI I plan the Department o f Equipment i) in the A notification w ill be sent IO HSI managers for any delinquent submiuals or process of developing a spreadsheet that will inlt-orporate both the violalions o f the established procedures Managers w ill ensure compliance of PM004 I and DM0090 information for better efficiency in submillal and procedures to align with the HSP gutdelines review of information This document c-ould be a very cHcct ivc tool in support of the procedures DI 1 will have in place In additkgtn to the DI I plan the Department of Equipment is in the ploccss of

developing a spreadsheet that w ill incorpora te both the PM004 I and OM0090 informa tion for heller efficiency in submitta l and review of information This document co uld be a very eHcctive too l in s upport o f the procedures D 11 w ill have in place

On May 31 2017 DI I held a meet ing with the llSP supervisors and I-ISP 0090s on a monthly basis

Supervisors wil l send a copyof signed and approved l) M-0090 As of 427lfJl7 District I-ISP liaison w ill be seuing up mectin~ with3 Supervisor review anJ approve OMshyIO the District liaison every mo nth to be filed and tracked on u I ISP supervisors and I-ISP holders to review 1hc new procedures in May holders to review the new p rocedures The procedures outlined in Lhc Juditce spreadsheet for verificat ion of submitlal The spreadshcel will be 2017 The procedures arc outlined in the Auditce Response of the DI I Response of the DI I Audit report were explained lO all impacted staff shared on a mo nthly basis to all I-IS P supervisors Audit report The steps will be explained to all impacted staff emphasizing 1hat the praclice will be in place effect ive June 1 2017 The

emphasizing that the practice will be in p lace by June I The District designated Dis1rict 1-JSP Liaison will continue co oversee lhc process and send I ISP Liai)On w ill be overseeing the process after June I with reminders reminders 10 the managers and lmiddotISP holders to submit their documents on being sent to the managers and I-ISP holders for submittabi and reviews time The District HSP I jaison will monitor and Lrack monlhly the submittal

dates and provide a quarterly status report to lhe managers and I ISP holders Jn addition to Lhc Dl I p lan the Department of Equipment is in the A notification will be sent 10 HSP managers for any delinquent submiltals or processofdeveloping a spreadsheet Lhat will incorporate both the violalions o f the estabHshcd procedures Managers will ensure compliance of PM004 I and DM0090 informattcgtn for better efficiency in submiual and procedures IO align with the HSP guidelines review of informa1ion This document could be a very effective tool in supporl o f the procedures D I 1 will have in place In addi1Kgtn to the DI I plan the Department of Equipment is in Lhe process of

developing a spreadsheet thal will incorporate both the PM004 I and DM0090 informalion ror better efficiency in subm ittal and review of information middot1nis document could be a very eHcctivc tool in supporl o f the procedures D 11 will have in place

lofl 8212017

State ofCalifornia California Stale Transponution Agency DEPARTMENT OF TRANSPORTATION

Memorandum Making Co11servatio11 a California W~v oflife

To WILLIAM LEWJS Date August 23 2017 Assistant Director Audits amp Investigations File P3000-0428

-

From GLORIA ROBE~~ _lt ~ l I(tJ~r--- Deputy District Dlie~Administration District 12

Subject 180-DAY STATUS FOR HOME STORAGE PERMIT PROGRAM AUDIT FINDING

Attached is District 12s 180-day status report for the Home Storage Program (HSP) Audit PJ000-0428 Please contact me at (657) 328-6003 i f you have any questions Thank you

Attachment

gr

Provide a safe sustainable integrated and efficient transportation ~ystem to enhance California s economy and livabilily

Audits and Investigations (Aamp I)

Audit FUldiog Status Report Upd1te

Audit Name Home Storage Penait Prognm Audit 13000-0428 Auditee Oistrid U

Audit Re port FindinR 1

Lisi Find in~ Here Personal Use of State Vehicle One-Way Commuting andor Round Trip Form Procedures Not Consistently Followed

Estinaated Aampl AnalysisStntus Aamp I Audit Recommendation Auditee Original Response to Report Completion Date Stn lT Rponsible 60-0ay Starns 180-0ay Update and Date

District HSP supervisors and managers II VI-ISP holders will submit lM-0041 by last Ongoing 012VllSP bull 22 Slaff for month of April ( I day delinquent) - staff were As of81417 one operator (Mtcc For ampl Use ensure that PM-0041 forms arc completed working day or each month to supervisor for Coordinator following the users manual (on the website) thal says they have Supcrinlcndcnt) delinquent for 3 months and approvcgtd by the third calendar day of the approval Supervisors will approve PM -0041 until the 5th of the next month to submit their PM-0041 which MMll notified and reminded the subscqucnl month including manual PM- by3rd working day-of next-month would account for the large numberor I day delinquents in April delinquent operator or the requirement on 0041 forms forpermit applicants 1w1iting On the other hand the Approvers Guide says the PM-0041 has to 8101 7 and 81417 approval be submiucd on the end or the mcnth Per MMll the permit holders

can still gct a call-out on the last day or the month so 1hcy wait before they submit MMll recommends to wait until the 5th of the month before we red flag any delinquent permit holder bull 4 s taff (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 shy reminder sent and Supervisors looking in10 it

Audit Report Fmdin2 2

List Findin2 Here Pennits Need Furthe r Monitori~

District I ISP supervisors and managers f)~1ricl VJ ISP 01nrdin11or will evaluate Ongoing 1)12 VllSP All permit~ reviewed and pas~ minimum call-001 requirement Done Foriampl Use monitor the emergency call outs by permit nca--ssi1y of permits with managers and DOD Coordinator Three who did not meet minimum were evaluuted and justjfication holders on a monthJy basis m ensure 1hcy for those not meeting minimum call~out were provided hy supervisors have a minimum of 1wo ct ll ouls per monlh to rcquircmcnL mccl lhc annual minimum of 24 emergency cil ouls Request DOE to cinccl my pcrm i1s not meeting the minimum monthly call out requirement

Distria managcmenl cvalua1c the current District VHSP OXgtrdinator will evaluate Ongoing Dl2 VHSP Nii Ni i For ampI Use permits 10 determine if future renewal of necessity o( permits with managers and DOD Coordinator some permits would be more appropriate for for lhosc not mccling minimum call-oot cost-effective permits instead of emergency requirement permits

Audit Report Findin2 4 List Findine Here Non-Compliance with Key Fobbine RCQuirca1ents District management ensure permit holders District VI-ISP Coordinator will remind VHSP Ongoing 012 VHSP FOO requ irements and policies were sent 10 all January 12 2017 A weekly FO B Usage Report gets sent to For ampI Use use the key fob assigned to them for every holders of key FOO requirements Supervisor Coord inator Follow-up reminders were sent April 18 and April 24 2017 Super intendents and Managers sorted to

1rip lhey operate a state-owned vehicle and manager will address non-compliance with Continued compliance monitoring unassigned fobs or drivers who arc not cmplo)CCS fobbing -in The email includes a

reminder to all drivers lO Cob-in at the beginningo(every trip with the link for information about the GPS program

District supervisors ensure lhat their DisUict VHSP Coordinator will remind VMSP Ongoing 012 VllSP FOB requirement~ and polidcs were sent to all January 12 2017 A weekly FOil Usage llcJlOlt geLlt sent to ForAampl Use employees comply with the terms of the Key holders of key FOB requirements Supervisor 0gt0rdinator Folkgtw-up reminders were sent April 18 and April 24 2017 Superintendents and Managers sorted to Fob Assignmen t agrecmcn1 and manager will address non-compiancc with Cominucd compliance mon itoring unassigned fobs or drivers who are not

employees fobb ing -in Tl1c email includes a reminder to all drivers 10 rob-in at the beginning of every trip with the link for information about the GPS program

lof 1 a2amp2017


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


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


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



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 _


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


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


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


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



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


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


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


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


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


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


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


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

Ongoing

Ongoing

Ongoing

Ongoing

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

NIA

I

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


For Aampl Use

For Aamp Use

For Aamp Use

For Aampl Use

For Aampl Use

I of I 5302017

vehicle_home_storage_180_response

Home Storage Permit 60 day SR

Audit Report Finding 1 Personal Use of State Vehicle One-Way Commuting andor Round Trip Form Procedures Not Consistently Followed ~~iliJgttlRi~dH PHn Iii 1111~ nn rj nmiddotJpmu~illlliilUI bullbullm lffilll IH I I HJljlll if I 111111 I I ~~lFlil~iillfibill mlim1m~Hnanmur _ middot11~~llll rulfJltl11lllililliUI ~inullFiijlnfipi rli~lliiii~~fllf~iyenjg~bullhl~middot middotIi nbullmiddotmiddotmiddot i1Jlln~l1illH1ll~iliHl~I ri1l111middotmiddotj~1rjill~~ bullbull _ bull bullbull bull a~ ~ ___ _ _ ~ 100 bull~l1ru~ __ --middot ~ _ _=hi ~~1u1HunJ1rmmm~itlutt~i~ 1~21 _ ~d II 111M1 U bull llt1

Poor Record Keepin

DOE solicit feedback from Districts Pursuant to the audit Finding 2 and the recommendation ofAampI Audit Although the integration of the drop-down According to er Legal One cannot use maintenance classes to

regarding the exclusion rule and seek to PJ000-0424 in March 2015 DOE developed and implemented automated menu ofthe IRS exemption publication into determine the applicability oftliese tax provisions Instead to clarify the issue of the common types of programming that intended to establish a consistent application ofthe the database is received positively qualify the vehicles design must be such that there is no -or at vehicles which would be considered non- Internal Revenue Services (IRS) rule by supervisors and permit holders nevertheless there are varied opinions on its most de minimis - personal use ofthe vehicle for non-business personal use vehicles when considering non-personal use ofState-owned vehicles DOEs application DOE contacted 1st Level purposes That evaluation ofa vehicle s design must ofcourse

automated efforts included a drop-down menu listing descriptions ofall Approvers in D08 and DI0 to ascertain their occur on a case-by-case basis And employees should always be vehicles considered tax exempt from IRS fringe benefit provisions as well methodology in detennining the exemption advised to consult with their own taX professional regarding their as the web link to IRS Publications 15-B - Tac Exempt Vehicles in i1s status Even within the districts 1st Level own tax situation One final disclaimer All ofthis could soon entirety Additionally the programming requires sUpervisory approval on Approvers are applying the rule in different change in the proposed overhaul ofthe tax codebull DOE is in the permit holders claim that their vehicle is on the IRS exemption list ways As a result DOE is requesting a agreement Given Finding 1 and the recommendation ofthe Audit P3000-0428 DOE clarification from the CT Legal Division intends to contact the approving supervisors who are unclear on the IRS list to determine the nature of their oonfusion From those discussions DOE

DOE update the VI-ISP Ouidelines to require permit applicants storing state vehicles at home to submit1nanual PM-0041 forms whi1e awaitingiJermit approval

DOE will update the VJISP Guidelines to require applicants storing Stateshyowned vehicles at their homes ovemight to file a manual PM--0041 directly with the Division ofAccounting The applicants will be instructed to

continue the manual filings until the applications are approved by the three levels ofthe districr management team

In addition to include the procedural requirement for filing ofa manual PM--0041 while awaiting pernrit approval the next publication ofthe VHSP Guidelines will be updated with other Audit amp Investigations recommendations

Completed - Adhering to the commitment made in the Response to

the Draft Report the new language is incorporated intlt the current guidelines reflecting the requirement VI-ISP applicants are instructed to submit a manual PM--0041 directly to theDivision of Accounting while awaiting approval from the three management levels

Audit Report Findillg3

DOE update the VHSP Guidelines to DOE shall explore the source ofany potential confusion regarding the DOE has developed the outline ofan The integrated log-format is developed and presented to IT Team resolve any potential confuSion regarding requirement for completion and submission ofthe DM-0090 and make the clectronic format to integrate into the PM- for testing Once the testing is complete the new format will the requirement to submit$e DM-0090 necessary adjustments including the possibility offonn integration 0041 ofthe VHSP database Districts first become the second page ofthe PM--0041 To avoid maintenance of and consider integrating th~ form into the recommended It is important to note however that the VHSP Guidelines level approvers are given an opportunity to multiple logs fur the same Calendar Year the new funnat will be HSPsystem on page 3 clearly states Employees mustrecord call-outs on the Log of provide feedback on the new format DOE implemented for the 2018 CY permits

Emergency Trips DM-0090 or electronic call-out log within 24 hours of will work with er programmers to include the emergency incident In addition on ~e same page it is stared the new foilnat as a part ofmonthly filing of Supervisors must review and approve the call-out logs monJhly PM-004 Js by VHSP holder Furthermore in the EMPLOYEE RESPONSIBILITIES section on page 7 of the Guidelines bullet ten requires the employee to Accurately complete the log ofEmergency Trips - Beore( After Hour Call-Out (DM-0090) Orm on a monthly basisbull Lastly in the SUPERVISOR RESPONSIBilITIES section on page 7 ofthe Guidelines bullet nine requires the supervisor to Review and approve the VHSP holtfers Log of Emergency Trips-BeforeAfter Hour Call-Out (DM()090) fonn on a





File








- - - -



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Completed

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-middot--




60-0ay Status




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1of1 828 2017

Ezimora Eugene ODOT






Sincerely


Office (209) 948-7921 Cell (209) 969-4586





Good Morning


Thank you

Ezimora Eugene ODOT




Cc Yee Kevin BDOT



Sincerely


Office (209) 948-792 1 Cell (209) 969-4586






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March - April 2017

March - April 20 17

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1of1 5302017





D11te April 28 2017

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File








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Date



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1of1 828 2017

Ezimora Eugene ODOT






Sincerely


Office (209) 948-7921 Cell (209) 969-4586





Good Morning


Thank you

Ezimora Eugene ODOT




Cc Yee Kevin BDOT



Sincerely


Office (209) 948-792 1 Cell (209) 969-4586






Good Morning


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l of 1 8292017






















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ForAampI Use




For AampI Use



Auditee District 9














March - April 2017

March - April 20 17

March - April 2017






For AampI Use

For Aampl Use

For Aampl Use

1of1 5302017





D11te April 28 2017

File P3000-0428







--

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Auditee District JO











requirement










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2282017

22812017





day period

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I of I 5302017



- - - -



Audltce District I








Completed

Staff Resnansible



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-middot--




60-0ay Status




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I of 892017




Date



File








middot 1


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1of1 828 2017

Ezimora Eugene ODOT






Sincerely


Office (209) 948-7921 Cell (209) 969-4586





Good Morning


Thank you

Ezimora Eugene ODOT




Cc Yee Kevin BDOT



Sincerely


Office (209) 948-792 1 Cell (209) 969-4586






Good Morning


Than k you









































l of 1 8292017






















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lofl 8212017




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For AampI Use



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March - April 2017

March - April 20 17

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1of1 5302017





D11te April 28 2017

File P3000-0428







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Auditee District JO











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2282017

22812017





day period

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I of I 5302017






Date



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middot 1


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1of1 828 2017

Ezimora Eugene ODOT






Sincerely


Office (209) 948-7921 Cell (209) 969-4586





Good Morning


Thank you

Ezimora Eugene ODOT




Cc Yee Kevin BDOT



Sincerely


Office (209) 948-792 1 Cell (209) 969-4586






Good Morning


Than k you









































l of 1 8292017






















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lofl 8212017




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For AampI Use



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1of1 5302017





D11te April 28 2017

File P3000-0428







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Auditee District JO











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2282017

22812017





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For Aamp Use

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I of I 5302017



























































1of1 828 2017

Ezimora Eugene ODOT






Sincerely


Office (209) 948-7921 Cell (209) 969-4586





Good Morning


Thank you

Ezimora Eugene ODOT




Cc Yee Kevin BDOT



Sincerely


Office (209) 948-792 1 Cell (209) 969-4586






Good Morning


Than k you









































l of 1 8292017






















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File P3000-0428







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22812017





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I of I 5302017



Ezimora Eugene ODOT






Sincerely


Office (209) 948-7921 Cell (209) 969-4586





Good Morning


Thank you

Ezimora Eugene ODOT




Cc Yee Kevin BDOT



Sincerely


Office (209) 948-792 1 Cell (209) 969-4586






Good Morning


Than k you









































l of 1 8292017






















Poor Record K~pine











lofl 8212017




-




Attachment

gr



















lof 1 a2amp2017


Memorandum





Attachment






















File










Auditee District 1

















1 of l 5262017





















Staff Responsible


Aamp r Analysis


For AampI Use













Attachment




Auditee District 5















Poor Record-Keepine



recommendation




basis







ForAampI Use




For AampI Use



Auditee District 9














March - April 2017

March - April 20 17

March - April 2017






For AampI Use

For Aampl Use

For Aampl Use

1of1 5302017





D11te April 28 2017

File P3000-0428







--

- -



Auditee District JO











requirement










For AampJ Use











2282017

22812017





day period

For AampI Use

For Aamp Use

l o f l 5302017



















Aamp Analysis





AampI Analysis



AampI Analysis

1of1 5302017












Auditee District l2











requirement


~ Rep51_rt in~iog 4









Ongoing

Ongoing

Ongoing

Ongoing

Ongoing









by supervisors

NIA

I





For Aampl Use

For Aamp Use

For Aamp Use

For Aampl Use

For Aampl Use

I of I 5302017



Ezimora Eugene ODOT




Cc Yee Kevin BDOT



Sincerely


Office (209) 948-792 1 Cell (209) 969-4586






Good Morning


Than k you









































l of 1 8292017






















Poor Record K~pine











lofl 8212017




-




Attachment

gr



















lof 1 a2amp2017


Memorandum





Attachment






















File










Auditee District 1

















1 of l 5262017





















Staff Responsible


Aamp r Analysis


For AampI Use













Attachment




Auditee District 5















Poor Record-Keepine



recommendation




basis







ForAampI Use




For AampI Use



Auditee District 9














March - April 2017

March - April 20 17

March - April 2017






For AampI Use

For Aampl Use

For Aampl Use

1of1 5302017





D11te April 28 2017

File P3000-0428







--

- -



Auditee District JO











requirement










For AampJ Use











2282017

22812017





day period

For AampI Use

For Aamp Use

l o f l 5302017



















Aamp Analysis





AampI Analysis



AampI Analysis

1of1 5302017












Auditee District l2











requirement


~ Rep51_rt in~iog 4









Ongoing

Ongoing

Ongoing

Ongoing

Ongoing









by supervisors

NIA

I





For Aampl Use

For Aamp Use

For Aamp Use

For Aampl Use

For Aampl Use

I of I 5302017











































l of 1 8292017






















Poor Record K~pine











lofl 8212017




-




Attachment

gr



















lof 1 a2amp2017


Memorandum





Attachment






















File










Auditee District 1

















1 of l 5262017





















Staff Responsible


Aamp r Analysis


For AampI Use













Attachment




Auditee District 5















Poor Record-Keepine



recommendation




basis







ForAampI Use




For AampI Use



Auditee District 9














March - April 2017

March - April 20 17

March - April 2017






For AampI Use

For Aampl Use

For Aampl Use

1of1 5302017





D11te April 28 2017

File P3000-0428







--

- -



Auditee District JO











requirement










For AampJ Use











2282017

22812017





day period

For AampI Use

For Aamp Use

l o f l 5302017



















Aamp Analysis





AampI Analysis



AampI Analysis

1of1 5302017












Auditee District l2











requirement


~ Rep51_rt in~iog 4









Ongoing

Ongoing

Ongoing

Ongoing

Ongoing









by supervisors

NIA

I





For Aampl Use

For Aamp Use

For Aamp Use

For Aampl Use

For Aampl Use

I of I 5302017
























Poor Record K~pine











lofl 8212017




-




Attachment

gr



















lof 1 a2amp2017


Memorandum





Attachment






















File










Auditee District 1

















1 of l 5262017





















Staff Responsible


Aamp r Analysis


For AampI Use













Attachment




Auditee District 5















Poor Record-Keepine



recommendation




basis







ForAampI Use




For AampI Use



Auditee District 9














March - April 2017

March - April 20 17

March - April 2017






For AampI Use

For Aampl Use

For Aampl Use

1of1 5302017





D11te April 28 2017

File P3000-0428







--

- -



Auditee District JO











requirement










For AampJ Use











2282017

22812017





day period

For AampI Use

For Aamp Use

l o f l 5302017



















Aamp Analysis





AampI Analysis



AampI Analysis

1of1 5302017












Auditee District l2











requirement


~ Rep51_rt in~iog 4









Ongoing

Ongoing

Ongoing

Ongoing

Ongoing









by supervisors

NIA

I





For Aampl Use

For Aamp Use

For Aamp Use

For Aampl Use

For Aampl Use

I of I 5302017






-




Attachment

gr



















lof 1 a2amp2017


Memorandum





Attachment






















File










Auditee District 1

















1 of l 5262017





















Staff Responsible


Aamp r Analysis


For AampI Use













Attachment




Auditee District 5















Poor Record-Keepine



recommendation




basis







ForAampI Use




For AampI Use



Auditee District 9














March - April 2017

March - April 20 17

March - April 2017






For AampI Use

For Aampl Use

For Aampl Use

1of1 5302017





D11te April 28 2017

File P3000-0428







--

- -



Auditee District JO











requirement










For AampJ Use











2282017

22812017





day period

For AampI Use

For Aamp Use

l o f l 5302017



















Aamp Analysis





AampI Analysis



AampI Analysis

1of1 5302017












Auditee District l2











requirement


~ Rep51_rt in~iog 4









Ongoing

Ongoing

Ongoing

Ongoing

Ongoing









by supervisors

NIA

I





For Aampl Use

For Aamp Use

For Aamp Use

For Aampl Use

For Aampl Use

I of I 5302017




















lof 1 a2amp2017


Memorandum





Attachment






















File










Auditee District 1

















1 of l 5262017





















Staff Responsible


Aamp r Analysis


For AampI Use













Attachment




Auditee District 5















Poor Record-Keepine



recommendation




basis







ForAampI Use




For AampI Use



Auditee District 9














March - April 2017

March - April 20 17

March - April 2017






For AampI Use

For Aampl Use

For Aampl Use

1of1 5302017





D11te April 28 2017

File P3000-0428







--

- -



Auditee District JO











requirement










For AampJ Use











2282017

22812017





day period

For AampI Use

For Aamp Use

l o f l 5302017



















Aamp Analysis





AampI Analysis



AampI Analysis

1of1 5302017












Auditee District l2











requirement


~ Rep51_rt in~iog 4









Ongoing

Ongoing

Ongoing

Ongoing

Ongoing









by supervisors

NIA

I





For Aampl Use

For Aamp Use

For Aamp Use

For Aampl Use

For Aampl Use

I of I 5302017




Memorandum





Attachment






















File










Auditee District 1

















1 of l 5262017





















Staff Responsible


Aamp r Analysis


For AampI Use













Attachment




Auditee District 5















Poor Record-Keepine



recommendation




basis







ForAampI Use




For AampI Use



Auditee District 9














March - April 2017

March - April 20 17

March - April 2017






For AampI Use

For Aampl Use

For Aampl Use

1of1 5302017





D11te April 28 2017

File P3000-0428







--

- -



Auditee District JO











requirement










For AampJ Use











2282017

22812017





day period

For AampI Use

For Aamp Use

l o f l 5302017



















Aamp Analysis





AampI Analysis



AampI Analysis

1of1 5302017












Auditee District l2











requirement


~ Rep51_rt in~iog 4









Ongoing

Ongoing

Ongoing

Ongoing

Ongoing









by supervisors

NIA

I





For Aampl Use

For Aamp Use

For Aamp Use

For Aampl Use

For Aampl Use

I of I 5302017






















File










Auditee District 1

















1 of l 5262017





















Staff Responsible


Aamp r Analysis


For AampI Use













Attachment




Auditee District 5















Poor Record-Keepine



recommendation




basis







ForAampI Use




For AampI Use



Auditee District 9














March - April 2017

March - April 20 17

March - April 2017






For AampI Use

For Aampl Use

For Aampl Use

1of1 5302017





D11te April 28 2017

File P3000-0428







--

- -



Auditee District JO











requirement










For AampJ Use











2282017

22812017





day period

For AampI Use

For Aamp Use

l o f l 5302017



















Aamp Analysis





AampI Analysis



AampI Analysis

1of1 5302017












Auditee District l2











requirement


~ Rep51_rt in~iog 4









Ongoing

Ongoing

Ongoing

Ongoing

Ongoing









by supervisors

NIA

I





For Aampl Use

For Aamp Use

For Aamp Use

For Aampl Use

For Aampl Use

I of I 5302017





Auditee District 1

















1 of l 5262017





















Staff Responsible


Aamp r Analysis


For AampI Use













Attachment




Auditee District 5















Poor Record-Keepine



recommendation




basis







ForAampI Use




For AampI Use



Auditee District 9














March - April 2017

March - April 20 17

March - April 2017






For AampI Use

For Aampl Use

For Aampl Use

1of1 5302017





D11te April 28 2017

File P3000-0428







--

- -



Auditee District JO











requirement










For AampJ Use











2282017

22812017





day period

For AampI Use

For Aamp Use

l o f l 5302017



















Aamp Analysis





AampI Analysis



AampI Analysis

1of1 5302017












Auditee District l2











requirement


~ Rep51_rt in~iog 4









Ongoing

Ongoing

Ongoing

Ongoing

Ongoing









by supervisors

NIA

I





For Aampl Use

For Aamp Use

For Aamp Use

For Aampl Use

For Aampl Use

I of I 5302017























Staff Responsible


Aamp r Analysis


For AampI Use













Attachment




Auditee District 5















Poor Record-Keepine



recommendation




basis







ForAampI Use




For AampI Use



Auditee District 9














March - April 2017

March - April 20 17

March - April 2017






For AampI Use

For Aampl Use

For Aampl Use

1of1 5302017





D11te April 28 2017

File P3000-0428







--

- -



Auditee District JO











requirement










For AampJ Use











2282017

22812017





day period

For AampI Use

For Aamp Use

l o f l 5302017



















Aamp Analysis





AampI Analysis



AampI Analysis

1of1 5302017












Auditee District l2











requirement


~ Rep51_rt in~iog 4









Ongoing

Ongoing

Ongoing

Ongoing

Ongoing









by supervisors

NIA

I





For Aampl Use

For Aamp Use

For Aamp Use

For Aampl Use

For Aampl Use

I of I 5302017















Attachment




Auditee District 5















Poor Record-Keepine



recommendation




basis







ForAampI Use




For AampI Use



Auditee District 9














March - April 2017

March - April 20 17

March - April 2017






For AampI Use

For Aampl Use

For Aampl Use

1of1 5302017





D11te April 28 2017

File P3000-0428







--

- -



Auditee District JO











requirement










For AampJ Use











2282017

22812017





day period

For AampI Use

For Aamp Use

l o f l 5302017



















Aamp Analysis





AampI Analysis



AampI Analysis

1of1 5302017












Auditee District l2











requirement


~ Rep51_rt in~iog 4









Ongoing

Ongoing

Ongoing

Ongoing

Ongoing









by supervisors

NIA

I





For Aampl Use

For Aamp Use

For Aamp Use

For Aampl Use

For Aampl Use

I of I 5302017




Auditee District 5















Poor Record-Keepine



recommendation




basis







ForAampI Use




For AampI Use



Auditee District 9














March - April 2017

March - April 20 17

March - April 2017






For AampI Use

For Aampl Use

For Aampl Use

1of1 5302017





D11te April 28 2017

File P3000-0428







--

- -



Auditee District JO











requirement










For AampJ Use











2282017

22812017





day period

For AampI Use

For Aamp Use

l o f l 5302017



















Aamp Analysis





AampI Analysis



AampI Analysis

1of1 5302017












Auditee District l2











requirement


~ Rep51_rt in~iog 4









Ongoing

Ongoing

Ongoing

Ongoing

Ongoing









by supervisors

NIA

I





For Aampl Use

For Aamp Use

For Aamp Use

For Aampl Use

For Aampl Use

I of I 5302017





Auditee District 9














March - April 2017

March - April 20 17

March - April 2017






For AampI Use

For Aampl Use

For Aampl Use

1of1 5302017





D11te April 28 2017

File P3000-0428







--

- -



Auditee District JO











requirement










For AampJ Use











2282017

22812017





day period

For AampI Use

For Aamp Use

l o f l 5302017



















Aamp Analysis





AampI Analysis



AampI Analysis

1of1 5302017












Auditee District l2











requirement


~ Rep51_rt in~iog 4









Ongoing

Ongoing

Ongoing

Ongoing

Ongoing









by supervisors

NIA

I





For Aampl Use

For Aamp Use

For Aamp Use

For Aampl Use

For Aampl Use

I of I 5302017







D11te April 28 2017

File P3000-0428







--

- -



Auditee District JO











requirement










For AampJ Use











2282017

22812017





day period

For AampI Use

For Aamp Use

l o f l 5302017



















Aamp Analysis





AampI Analysis



AampI Analysis

1of1 5302017












Auditee District l2











requirement


~ Rep51_rt in~iog 4









Ongoing

Ongoing

Ongoing

Ongoing

Ongoing









by supervisors

NIA

I





For Aampl Use

For Aamp Use

For Aamp Use

For Aampl Use

For Aampl Use

I of I 5302017



--

- -



Auditee District JO











requirement










For AampJ Use











2282017

22812017





day period

For AampI Use

For Aamp Use

l o f l 5302017



















Aamp Analysis





AampI Analysis



AampI Analysis

1of1 5302017












Auditee District l2











requirement


~ Rep51_rt in~iog 4









Ongoing

Ongoing

Ongoing

Ongoing

Ongoing









by supervisors

NIA

I





For Aampl Use

For Aamp Use

For Aamp Use

For Aampl Use

For Aampl Use

I of I 5302017





















Aamp Analysis





AampI Analysis



AampI Analysis

1of1 5302017












Auditee District l2











requirement


~ Rep51_rt in~iog 4









Ongoing

Ongoing

Ongoing

Ongoing

Ongoing









by supervisors

NIA

I





For Aampl Use

For Aamp Use

For Aamp Use

For Aampl Use

For Aampl Use

I of I 5302017














Auditee District l2











requirement


~ Rep51_rt in~iog 4









Ongoing

Ongoing

Ongoing

Ongoing

Ongoing









by supervisors

NIA

I





For Aampl Use

For Aamp Use

For Aamp Use

For Aampl Use

For Aampl Use

I of I 5302017



memorandum /11ilki11g ct111serw1tio11 - caltrans · memorandum /11ilki11g ct111serw1tio11 . a...

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