State Leadership Accountability Act 2019 Report

December 31, 2019

David S. Kim, Secretary
California State Transportation Agency
915 Capitol Mall, Suite 350-B
Sacramento, CA 95814

Dear Mr. David S. Kim,

In accordance with the State Leadership Accountability Act (Leadership Accountability), the Department of Transportation submits this report on the review of our internal control and monitoring systems for the biennial period ending December 31, 2019.

Should you have any questions please contact James (Jim) E. Davis, Chief Deputy Director, at (916) 651-6762, james.davis@dot.ca.gov.

Governance

Mission and Strategic Plan

The State of California, Department of Transportation (Caltrans) through its strategic plan fulfills its mission, vision, goals and strategic objectives by focusing in the areas of leadership, accountability, core values and workforce. The focus on leadership and accountability is especially critical to the success of meeting Caltrans strategic objectives and program priorities while ensuring that all internal controls are functioning as intended.

Strategic Plan

Caltrans is operating under the 2015-2020 Strategic Management Plan, which is available on the Caltrans external website Home page. The 2020-2024 Strategic Plan is currently under development.

Mission

Provide a safe, sustainable, integrated and efficient transportation system to enhance California’s economy and livability.

Vision

A performance-driven, transparent and accountable organization that values its people, resources and partners, and meets new challenges through leadership, innovation and teamwork.

Core Values

• Integrity – We promote trust and accountability through our consistent and honest actions
• Commitment – We are dedicated to public service and strive for excellence and customer satisfaction
• Teamwork – We inspire and motivate one another through effective communication, collaboration, and partnership
• Innovation – We are empowered to seek creative solutions and take intelligent risks

To achieve our mission and vision, Caltrans has established the following goals and supporting Strategic Objectives:

• Safety and Health: Provide a safe transportation system for workers and users, and promote health through active transportation and reduced pollution in communities.
  • Zero worker fatalities
  • Reduce employee injury and illness rates
  • Reduce user fatalities and injuries by adopting a “Toward Zero Deaths” practice
  • Promote community health through active transportation and reduced pollution in communities
• Stewardship and Efficiency: Money counts. Responsibly manage California’s transportation-related assets.
  • Effectively manage transportation assets by implementing the asset management plan, embracing a fix-it-first philosophy
  • Effectively manage taxpayer funds and maximize the use of available financial resources
  • Efficiently deliver projects, products, and services on time and on budget
  • Efficiently manage operations of the transportation system
  • Assign ownership of transportation facilities, including roads and streets, to the appropriate level of government
• Sustainability, Livability and Economy: Make long-lasting, smart mobility decisions that improve the environment, support a vibrant economy, and build communities, not sprawl.
  • People: Improve the quality of life for all Californians by providing mobility choice, increasing accessibility to all modes of transportation and creating transportation corridors not only for conveyance of people, goods, and services, but also as livable public spaces
  • Planet: Reduce environmental impacts from the transportation system with emphasis on supporting a statewide reduction of greenhouse gas emissions to achieve 80% below 1990 levels by 2050
  • Prosperity: Improve economic prosperity of the State and local communities through a resilient and integrated transportation system
• System Performance: Utilize leadership, collaboration and strategic partnerships to develop an integrated transportation system that provides reliable and accessible mobility for travelers.
  • Improve travel time reliability for all modes
  • Reduce peak period travel times and delay for all modes through intelligent transportation systems, operational strategies, demand management, and land use/ transportation integration
  • Improve integration and operation of the transportation system
  • Increase the number of Complete Streets features on the State Highway System
  • Develop integrated corridor management strategies for those of highest statewide significance
• Organizational Excellence: Be a national leader in delivering quality service through excellent employee performance, public communication, and accountability.
  • Promote a positive work environment and implement a management system to maximize accomplishments, encourage innovation and creativity, and ensure staff performance is aligned with Department and State strategic goals
  • Continuously increase customer satisfaction
  • Employ Lean 6-Sigma methodologies to reduce waste, delays, defects, and variance in Department processes to ensure resources are used effectively
  • Improve internal and external communication to better demonstrate professionalism and service levels to the public and other stakeholders, including use of The Mile Marker as a performance journalism tool, and to positively affect employee morale
  • Cultivate an environment that encourages proper identification, management, and communication of risk across all levels of the organization and makes intelligent decisions based on that analysis
  • Continuously improve collaborative partnerships

Districts and Programs

In accordance with Government Code section 14007, Caltrans is organized into twelve geographic districts and fifteen Budgetary programs.

District 1: Eureka, District 2: Redding, District 3: Marysville, District 4: Oakland, District 5: San Luis Obispo, District 6: Fresno, District 7: Los Angeles, District 8: San Bernardino, District 9: Bishop, District 10: Stockton, District 11: San Diego, District 12: Irvine

Budgetary Programs: Aeronautics, Capital Outlay Support, Capital Projects, Local Assistance, Program Development, Legal, Operations, Maintenance, State and Federal Mass Transit, Intercity Rail Passenger, Statewide Planning, Regional Planning, Equipment Services, Office of the Inspector General, and Administration.

Control Environment

Integrity and Ethical Values

Integrity is one of the core values that guides Caltrans management: “We promote trust and accountability through our consistent and honest actions.” All managers and supervisors are required to take the Attorney General’s online ethics course every two years. In addition, Caltrans Leadership Training Series includes sections on ethical behavior.

The Independent Office of Audits and Investigations maintains a Hotline where employees and members of the public can anonymously report unethical or questionable behavior by Caltrans employees. The Ethics Hotline is open 24 hours a day, 365 days a year for employees and the public to report any of the following:

• Possible violations of any law, regulation or rule, including safety or privacy violations, theft or other criminal conduct
• Possible fraud, financial misconduct, questionable practices, bribery, falsification of records or reports, and/or misuse or waste of state resources
• Possible abusive or retaliatory behavior, acts/threats of workplace violence, sexual harassment, discrimination or other serious misconduct

The Director, Chief Deputy Director and Deputy Directors are responsible for the overall establishment and maintenance of internal control and monitoring systems. The Director and Chief Deputy Director meet monthly to discuss on-going investigations statewide. The meetings include the Inspector General, Chief Legal Counsel, Deputy for Administration, Chief of the Division of Equal Employment Opportunity, and Chief for the Division of Safety and Management.

Oversight Design

The Caltrans Executive Board, whose members include the Director, Chief Deputy Director, Deputy Directors, and District Directors, maintains responsibility for the department's strategic direction and general oversight. The Executive Board convenes monthly. Additionally, the Director, Chief Deputy Director, and Deputy Directors have weekly meetings to discuss ongoing issues. Caltrans has critical boards that exercise oversight over departmental policies and procedures.

Responsibility and Authority

Each program has a Deputy and each District has a District Director who have responsibility and authority over the program or District. Policy is developed by the Director or a Deputy Director and the districts implement it. Deputy Directors are supported by a management structure that goes from Division Chief, Office Chiefs, Managers, to Supervisors; each with the responsibility for ensuring their employees have the proper tools and training to accomplish their work.

The Department provides many resources to assist managers and supervisors to assess and respond to employee performance, including guidance on completing annual performance reviews. Performance reviews are placed in the employee’s personnel file. Performance review is also used at the executive level through Executive Annual Performance Plans are agreed to and evaluated by the Director and Chief Deputy Director.

Commitment to Competence

Because Caltrans is committed to establishing and maintaining a competent workforce, there is a dedicated workforce and succession planning function in the Division of Human Resources. In addition, there are units throughout the organization that work closely with the Division of Human Resources on workforce and succession planning matters. Caltrans has a large, diverse, and multi-disciplinary labor pool, and workforce planning provides a strategic approach and set of procedures to assist in managing staff resources. The workforce plan was recently updated in June of 2019. It serves as an annual summary of Caltrans’ workforce plans, which are divided into the major occupational series/groups utilized by the Department.

Caltrans provides access to liaisons for the State’s hiring process, and provides hiring supervisors multiple resources to help them recruit and hire a competent workforce, such as manuals, guidelines, videos, flyers, and recruitment events. In addition, Caltrans has a Recruitment Program which provides leadership to the Recruitment Liaisons in the District offices and Headquarters Divisions by identifying, developing, and coordinating department-wide recruitment strategies designed specifically to recruit qualified candidates and a diverse workforce. Recruiting, developing, and retaining a competent workforce are frequent topics at various supervisory training classes, Tool Box Tuesday presentations/ discussions, recommend reading for leadership growth, and recorded executive interviews on workforce-related topics.

To ensure competence and accountability, annual employee performance evaluations monitor employees’ performance according to their duty statement in alignment with Caltrans’ values. Management is responsible to ensure that each program area delivers on their commitments and maintains a competent workforce. The hierarchy of management listed above use duty statements and expectations memorandums to ensure staff members understand the expectations that come with their job and annual performance reviews are conducted to ensure these expectations are being met.

Information and Communication

Caltrans employees and management are responsible for collecting and communicating relevant and reliable information needed for decision making across organizational lines and with external stakeholders. This process is accomplished primarily through research, regular reports, and other informational material and meetings, especially Executive Board, Executive Staff, and various Executive committee meetings.

Relevant and Reliable Information

The responsibility for the quality and reliability of Caltrans’ information resides with the management of the program that generates and uses the information. Caltrans’ Enterprise Data Governance Board has adopted a set of core data principles created by a sub-committee to the American Association of State Highway and Transportation Officials. The Enterprise Data Governance Board is establishing policies and standards around data and information that will improve the consistency of quality information throughout Caltrans.

Internal Communication

Caltrans has a wide set of both Director's Policies and Deputy Directives to communicate controls and explain roles of responsibility in implementing and monitoring those controls. The review cycle for Director’s Policies and Deputy Directives is set at a minimum of every four years, to ensure accuracy and relevance by the responsible Program. Deputy Directives further interpret and explain policies and communicate a deeper level of guidance. Caltrans also has a robust training program for new supervisors that includes units on risk management, monitoring internal controls, process improvement, and the policies and internal controls for which all supervisors share responsibility. There are also training programs available to all staff and supervisors that standardize the communication of proper internal controls, facilitate and encourage compliance with them, as well as to promote an ethical culture that is aware of its risks.

External Communication

Many of our stakeholders are local governmental organizations (such as cities, counties, and metropolitan planning organizations) and federal agencies and transportation associations. The Division of Local Assistance coordinates funding, projects, and oversight with local organizations. At the national level, Caltrans has a Federal Liaison that acts as a primary point of contact between us and the federal government, and representatives from both CalSTA and the Federal Highway Administration are usually attend Caltrans Executive Board meetings. Caltrans is a frequent participant in national transportation conferences, councils, and discussions.

One of our strategic objectives is to: Improve internal and external communication to better demonstrate professionalism and service levels to the public and other stakeholders, including use of The Mile Marker as a performance journalism tool, and to positively affect employee morale. The Mile Marker is a public facing performance report that is issued quarterly. 

Caltrans also uses other methods to communicate successes and challenges both internally and externally, including an enterprise-wide employee newsletter, Caltrans Newsflash videos on the Department’s YouTube channel, and Director’s Video Messages and Town Halls.

There are also many different channels through which Caltrans reports progress on many things—including addressing control vulnerabilities—to California's State Transportation Agency (CalSTA), the California Transportation Commission, the Governor’s Office, California’s legislature, and the federal government.

Employee Reporting

Caltrans employees have many avenues to communicate vulnerabilities and control inefficiencies through the various internal units that monitor compliance with controls, such as the Independent Office of Audits and Investigations, the Office of Disciplinary Services, Equal Employment Opportunity, Enterprise Risk Management, Ethics, and the Discrimination Complaints Investigation Unit. Most of these functions serve both as a place to report vulnerability or violation concerns as well as to ask questions and clarify confusion.

Monitoring

The information included here discusses the entity-wide, continuous process to ensure internal control systems are working as intended. The role of the executive monitoring sponsor includes facilitating and verifying that the Department of Transportation monitoring practices are implemented and functioning. The responsibilities as the executive monitoring sponsor(s) have been given to: James (Jim) E. Davis, Chief Deputy Director.

Caltrans has documented and implemented the ongoing monitoring processes as outlined in the monitoring requirements of California Government Code sections 13400-13407. These processes include reviews, evaluations, and improvements to the Caltrans systems of controls and monitoring.

Through ongoing monitoring processes, Caltrans reviews, evaluates, and improves its systems of internal controls. As a standard business practice, Caltrans develops, implements, and monitors internal controls through a variety of methods—including but not limited to management review, risk assessment, and the work of units focused on specific areas of internal controls.

Various routine monitoring activities and tools are used by the management of the programs and Districts, including regular meetings, performance progress tracking, and regular internal reports. Regular reporting and documentation of monitoring activities outside of expectations set by management in their respective business areas occurs through committees. The Caltrans Executive Board maintains oversight of broad operational policy and the department's strategic direction in monthly meetings. Weekly Executive Staff meetings are used to share information; providing the opportunity to compare results with expectations and discuss control failures and other issues.

The Caltrans Inspector General ensures Caltrans, and external entities that receive state and federal transportation funds, are spending those funds efficiently, effectively, and in compliance with applicable state and federal requirements. The Inspector General is required to report a summary of investigation and audit findings and recommendations annually to the Governor, the Legislature, California’s State Transportation Agency, and the California Transportation Commission (CTC). In addition, the California Transportation Commission oversees Caltrans' project programming and allocations.

Caltrans management analyzes the design of a control and its intended purpose to ensure that they are implemented and functioning as intended. If not, management adjusts and/or takes the issue with the internal control before the Executive Board. Management may also be aware of a need for control that was not highlighted at the board level and—depending on scope—can either introduce or propose a control in their immediate scope or propose a wider-scale control to their management. If a control vulnerability or proposed control is enterprise in scope, it can be brought to the weekly Executive Staff meetings or monthly Executive Board meetings for discussion.

Every Director’s Policy and Deputy Directive is reviewed at least every four years, for accuracy and relevance by the responsible Program.

Audit findings and legislative actions may trigger a review and adjustment by the responsible program. These reviews allow for the opportunity to edit policies and directives, in addition to the normal process for adding them. Caltrans’ Director and Chief Deputy Director meet monthly with the units primarily purposed with internal controls to review controls, processes, and trends. These internal control units include but are not limited to the Office of Disciplinary Services, the Equal Employment Opportunity Program’s Discrimination Complaints Investigation Unit, the Independent Office of Audits and Investigations, and the Ethics Helpline Unit.

The Innovative Business Solutions unit—with Lean 6 Sigma as it's hallmark—assesses current controls for effectiveness as part of its evaluation methodology. The Enterprise Risk Management unit is responsible for both the biennial State Leadership Accountability Act (Leadership Accountability) enterprise risk assessment (detailed in this report), as well as smaller risk assessments as requested by Programs, Districts, and other groups within the Department.

The processes of assigning ownership for addressing identified control vulnerabilities depends on whether the vulnerability was revealed through regular management review, audit, Executive Board discussion, or otherwise. Ownership for addressing the vulnerability often resides with the program, district, or other functional unit whose controls were found insufficient. Sometimes an enterprise-wide control—such as a new policy, program, or piece of equipment—is adopted.

All formal audits have review periods during which progress to reduce identified vulnerabilities are monitored. Many new projects and programs tasked to address vulnerabilities presented to the Executive Board have regular reporting cycles.

Risk Assessment Process

The following personnel were involved in the Department of Transportation risk assessment process: executive management, middle management, front line management, and staff.

The following methods were used to identify risks: brainstorming meetings, audit/review results, other/ prior risk assessments, questionnaires, and consideration of potential fraud.

The following criteria were used to rank risks: likelihood of occurrence, potential impact to mission/ goals/objectives, and timing of potential event.

The Enterprise Risk Management program (ERM) facilitated Organizational Assessments (OAs) of Opportunities and Threats to identify, assess, classify, and rank risks to Caltrans as an enterprise.

During each OA session, an ERM facilitator guided the group in qualifying their submitted risk registers. The objective was to ensure a clear and concise common understanding and to add relevant content to the context, scoring, controls, risk response ideas, and risk ownership.

The Enterprise Risk Management program created a report to the Executive Board to facilitate:

• Creation of the Caltrans 2020-2024 Strategic Plan
• State Leadership Accountability Act reporting
• Fulfillment of the enterprise risk management mandate of the Road Repair and Accountability Act of 2017

Risks and Controls

Risk: Workforce and Succession Planning

If Caltrans is unable to efficiently recruit, hire, develop and retain well-qualified staff, this may lead to a less effective workforce, low morale, and a decrease in qualified applicant pools, which may result in poor performance and an inability to achieve objectives.

Control: Outreach Hiring and Recruitment

The key to building and retaining a well-qualified workforce is effective outreach and recruitment. To help meet these needs, Caltrans will be continuously hiring for several classifications while conducting outreach to universities and local organizations. Outreach recruiting is a type of recruitment practice where the employing organization makes a determined and persistent effort to inform potential job applicants (including designated group members) of available positions within the organization. This can be very beneficial for the Department because we will be able to develop relationships with a variety of recruitment sources regarding job openings.

Control: Diversity Job Advertisement and Interviews

The benefits of cultural diversity in the workplace is increased productivity, improved creativity, improved employee engagement, increased employee engagement, and improved company reputation. To help meet these needs and demonstrate cultural competencies, Caltrans will be including a diversity statement on all job advertisements and will require hiring managers to ask potential candidates of employment a diversity awareness interview question to measure whether they meet the essential functions of the job relating to cultural competency.

Control: Career growth and staff development initiatives

One of the largest risks to the Department is not developing and retaining Departmental staff. To mitigate this risk the Department will update its Upward Mobility Program. The program will help staff in specific low paying occupations (who have limited career growth) with updating their state application, interviewing techniques, resume tips, job shadowing opportunities, and career counseling. The results of this program will help staff in low paying occupations (who have limited career growth) increase their skill set and prepare them for future career opportunities within the Department. To determine its effectiveness, the program will monitor the number of participants and the number of participants who promoted to various positions. The Implementation Plan includes development of Upward Mobility criteria and curriculum, as well as an advertising and marketing program for selected classifications.

Control: Youth Mentorship Program Outreach

A consistent trend identified in workforce planning discussions is the need for effective recruitment and community outreach. The Caltrans Youth Mentoring Program was created to provide youth in at-risk conditions with the support and guidance they need to guide them successfully through the challenges they face in their daily lives and to create a resource avenue for future career paths (in support of the 1994 Executive Order W-132-96). The Department has a firm commitment to the development of programs designed to make a difference in the life of California’s youth. Caltrans employees come from various backgrounds, occupations and locations. These individuals can act as career mentors and begin recruitment at an early stage by focusing on youth. The workforce planning unit intends to have a strategic marketing plan in place for this program within the department. With the successful outreach of this program, employees and the community will benefit from this strengthened partnership. The proposed Kick Off is in January 2020.

Control: Establishment of Workforce Plan Template

An ongoing challenge in preparing a workforce and succession plan for Caltrans is the immense size and complexity of the organization. As it currently stands, the Caltrans workforce planning (WFP) unit produces an Annual Summary that compiles updates from the 12 occupational groups of the department. The problem, until now, has been creating a tangible product that outline these efforts and the implementation plan for each specific area. The WFP unit will pilot the workforce plan process approach on a micro-scale with the Division of Human Resources (DHR), where the unit is currently housed. Once completed, the plan will be mirrored for future facilitated WFP engagement meetings as the WFP unit consults with division-specific subject matter experts and stakeholders to go through the plan process and provide guidelines, best practices, and lessons learned. DHR Workforce Plan Template planning process to begin January 2020 – contingent upon proposal approval.

Control: Leadership Program Review

In January 2020 Caltrans expects to award a Leadership Program Review contract which will identify and analyze the department’s current state, desired state, analysis, and proposed strategies. In addition, this contract includes proposed impact-strategies in the following areas: leadership competencies, identify potential leaders, training, opportunities to develop, feedback/ evaluation, and mentor/coaching.

Risk: Climate Change

If Caltrans does not adequately address the impacts of climate change through proactive planning, design, construction, operations, and maintenance practices, then we may have increased damage to facilities, increased safety issues and liability, and extended facility closures, which may result in the damage or loss of critical public access to essential life resources.

Control: Caltrans Climate Change Adaptation Strategy Report

As stewards of the State Highway System, Caltrans recognizes the threats and risks that changing climatic conditions could pose. In response, Caltrans is preparing The Caltrans Climate Change Adaptation Strategy Report that will identify practical and feasible steps for integrating climate change adaptation and risk analysis into decision-making processes from transportation planning activities to project development, and programming. This report will serve as a framework to create new or detail existing strategies to increase resiliency of California’s transportation infrastructure to climate change.

Control: Caltrans Adaptation Report

Following-up on the Climate Change Vulnerability Assessments, the Caltrans Adaptation Report will identify and prioritize assets at highest risk of impact. Additionally, the reports will identify strategies for project planning and development. Results of this analysis will include technical reports and asset management maps for each District.

Control: Revision of Caltrans 2011 Guidance on Incorporating Sea Level Rise

Caltrans Division of Environmental Analysis (DEA) has executed a task order to revise the “2011 Guidance on Incorporating Sea Level Rise.” DEA will be engaging representatives from multiple functions within Caltrans and with the California Coastal Commission to develop this guidance which will expand considerations beyond the Project Initiation Document phase and inform best practices and considerations of the implications of projected Sea Level Rise in all phases of project development.

Control: Sea-Level Rise Determination

Caltrans Division of Design will update the Caltrans Highway Design Manual for determination of Sea Level Rise impacts on Caltrans infrastructure. The updates will incorporate projections and probabilistic approach from the State of California Sea-Level Rise Guidance updated in 2018 by the Ocean Protection Council. The process to determine and select a value of sea level rise is provided in consideration of variable factors, asset type, and asset service life.

Control: Zero Emission Vehicle (ZEV) Program

The purpose of the Zero Emission Vehicle (ZEV) program is to reduce the carbon footprint Green House Gas (GHG) emissions. In support of Governor Brown’s Executive Order B-18-12, Caltrans has implemented installing charging stations at our various Caltrans facilities. These stations will serve dual purposes by providing charging locations for the general public and for Caltrans as the Department moves towards a greener equipment fleet as well.

Control: Forest Management Program

The purpose of the Forest Management program is to provide measurable contributions toward a healthy forest that maintains and enhances California lands to ensure co-equal goals of public

safety and welfare, environmental health and diversity and economic vitality. Caltrans defines emergency life line routes as essential for operational purposes in emergency and normal, day to day through-put of transportation, and therefore emergency routes were weighted with greater emphasis. Active forest management of fuels to reduce wildfire risk requires a collaborative “all lands” approach to strategically manage the natural resources associated with the 33 million acres of forested lands in California, the large majority of which have at least one highway providing primary access.

Risk: Transportation System Safety

If the Department does not take a proactive, systemic approach to improving safety for the public and workers, we risk serious injuries and fatalities, which may prevent us from meeting our safety and mode shift targets, and our statewide goal Toward Zero Deaths.

Control: Pilot Bicyclist and Pedestrian Collision Monitoring Programs

The purpose of the Pilot Bicyclist and Pedestrian Collision Monitoring Programs was to identify and address bicyclist and pedestrian related high collision concentration locations. Improvements initiated by these Pilot Monitoring Programs will assist with the long-term goal of substantially reducing bicyclist and pedestrian fatalities and injuries on the California State Highway System.

Control: Safety Summit – Continual Improvement and Innovative Products

The Department will hold annual Safety Summit meetings to identify the risks associated with safety and strive for continual transportation safety improvements. The Department will collaborate with partners from the construction industry, California Highway Patrol and Federal Highway Administration to define strategic initiatives to improve safety for the public and workers on our transportation system. The intent of the annual summit is to develop control activities or safety improvements by collaboratively evaluating construction safety risks, developing appropriate measures to mitigate risks, and capitalizing on emerging technologies to improve worker and public safety in the work zone. Past control activities include: speed reductions in work zones, encouraging the use of flexible work windows, piloting buffer lanes on contracts. Implementing these safety improvements and future identified safety improvements will improve worker safety for construction and maintenance workers, and public safety for those traveling through our construction and maintenance work zones.

Control: Chief Safety Officer

Caltrans’ Chief Safety Officer (CSO), reports directly to the Director/Chief Deputy and is responsible for the leadership, policy development, and coordination of the Caltrans Safety Program. They are the highest-level safety expert for the Department, providing safety leadership, guidance, and coordination for the Department’s employees, Cal/OSHA, transportation partners/ contractors, and the traveling public. The CSO’s role is to institute a culture-based safety program for Caltrans. This includes a focus on systemic, integrated policy, guidance, and communications for safety; driving employee engagement for safety and providing opportunities for employees to provide input and empower them to exercise “stop-work authority” without fear of reprisal. The CSO will be responsible for five major areas of safety:

• Hazard identification, Assessment, Prevention, and Control
• Education and Training
• Program Evaluation and Improvement
• Communications and Awareness
• Organizational Alignment and Coordination

This focal safety role provides Caltrans a mechanism to:

• Improve safety communication
• Enhance safety culture
• Increase accountability
• Focus on accident prevention
• Increase consistency and uniformity in policy and direction.

Control: Automated Flagger Assistance Device (AFAD) Implementation

Automated flagger assistance devices (AFADs) are mechanically operated temporary traffic control devices that function under the same operational principles as traditional flagging. AFADs are considered a safety enhancement because they minimize flaggers’ direct exposure to traffic by allowing them to control the flagging device from an area away from traffic, such as behind a guardrail. As a result, the AFAD increases worker safety compared to traditional flagging methods. The Department is starting to implement these devices into our Maintenance Operations on two- lane highways.

Control: Maintenance Zone Enhanced Enforcement Program (MAZEEP)

By using an Inter-Agency Agreement, Caltrans coordinates with CHP to utilize officers on site at highway maintenance projects. MAZEEP is used to reduce the potential for traffic collisions, reduce traffic speeds to the posted speed limits, and to increase safety of the workers and motorists by influencing drivers to maintain their speed reductions through work zones and its potential for identification of DUI’s. MAZEEP is also used to increase the safety of workers in roadside activities such as illegal encampment abatement, litter removal, and guardrail repair.

Risk: Data Governance

If Caltrans does not have adequate resources and focus directed to improving data quality and compatibility, then this will undermine the usefulness of data, which may hinder decision-making and reporting at Caltrans.

Control: Interoperability and Accessibility Best Practices

Caltrans has adopted the best practice of assessing Information Technology (IT) solutions for their ability to be built and modernized in a way that considers interoperability and information accessibility. Providing data related documentation to IT solutions at Caltrans that simplify data transfer and extraction will result in more efficient operation, an increase in data quality, and enhanced trust between Caltrans and its partners.

Control: Data Quality Management Plan

The Caltrans Enterprise Data and Geospatial Governance Program has developed best practices for the creation of a data quality management plan and in documenting datasets and databases. The adoption of these practices will establish methods to share data quality practices and standards that will improve the efficiency of data analysis and decision making. Providing data that is actively managed for quality will result in transportation decisions that maximize the value of data and increase trust in those decisions.

Control: Data Stewardship Principles

The Caltrans Enterprise Data and Geospatial Governance Program has recognized the importance of adopting data stewardship principles to govern and manage data and developed data stewards and data custodian roles and responsibilities. The adoption and implementation of these roles will improve data management. Active data stewardship will result in improved data documentation, quality, findability and sharing that increases efficiency and improves trust in transportation decision making.

Risk: SB 1 Coordination

If Caltrans does not meet Senate Bill 1, the Road Repair and Accountability Act of 2017, performance measures and manage efficiently and effectively funds through coordinated leadership and execution, then Caltrans may be unable to meet legislative mandates which may lead to poor perception with stakeholders.

Control: SB 1 Program Office

Caltrans created the SB1 Program Office to coordinate SB1 efforts to ensure programs being funded by SB1 are monitored and reporting requirements are met. This office serves as the point of contact for all SB1-related audits performed by the Inspector General. It standardizes internal and external communications, coordinates and reports Caltrans’ meeting of SB1’s various mandates and monitors and reports on the progress achieved toward mandated efficiencies and accountability/transparency requirements. By directly working with the most relevant Programs, Divisions, the Inspector General, the California Transportation Commission, and other internal and external groups, this Office directly improves coordination. It also helps leaders develop a coordinated strategy to implementing SB1, including tracking and meeting the performance, accountability, and efficiency mandates. It will also work directly to standardize internal and external SB 1-related communication, to avoid internal confusion and negative public perception.

Risk: Information Technology Lifecycle Support

If Information Technology (IT) does not have adequate funding allocated to the IT infrastructure lifecycle management program, then it will not be able to replace obsolete IT infrastructure equipment when they reach their end of useful life, which may hinder innovation, increase cyber security vulnerability, and cause Caltrans to experience extended disruptions to business operations when IT infrastructure equipment fails.

Control: Completion of Application Architecture Roadmap

Caltrans is developing an Application Architecture Roadmap. This is an assessment of Caltrans’ current application portfolio and articulates a strategic direction for the applications. All applications run on servers and require the use of network infrastructure to communicate. A more complete understanding of the strategic direction of the applications will help to clarify future Information Technology Infrastructure needs.The Application Architecture Roadmap is scheduled to be completed in the summer of 2020.

Control: Purchase Extended Warranty Services

Caltrans is purchasing extended warranty services for the most critical infrastructure devices that have the greatest impact to business operations. The extended warranty services provide the necessary support to repair the critical devices and restore IT services to minimize down time. This effort will mitigate risk exposure and risk of failure associated with outdated and unsupported technologies and devices.

Control: Development of Budget Change Proposal

Caltrans will develop a Budget Change Proposal (BCP) for a baseline budget augmentation to fund the IT infrastructure lifecycle management program. This request will address the infrastructural refresh priorities that present high risk of failure and support the strategies defined in the Application Architecture Roadmap. This BCP submission will be for Fiscal Year 2021-22.

Conclusion

The Department of Transportation strives to reduce the risks inherent in our work and accepts the responsibility to continuously improve by addressing newly recognized risks and revising risk mitigation strategies as appropriate. I certify our internal control and monitoring systems are adequate to identify and address current and potential risks facing the organization.

Toks Omishakin, Director

 

 

CC: California Legislature [Senate (2), Assembly (1)] California State Auditor

California State Library California State Controller

Director of California Department of Finance

Secretary of California Government Operations Agency