Division of Audits and Investigations
Audits & Investigations (A&I) delivers professional audit and investigative services that assist management in accomplishing departmental goals and objectives, setting priorities, and in making efficient, effective, and financially responsible transportation decisions. A&I is divided into three sections:
- External Audits - External Audits help management achieve its Stewardship goal and fiduciary responsibilities by ensuring external entitles who receive Department funds comply with associated State and federal requirements. Such entities include private-for-profit organizations (engineering and construction firm, etc.) as well as local government and transportation agencies who receive Department funds either through Department contracts (direct funding) or through Department agreement and grants (pass-through funding).
- Training Registration
A&E Indirect Cost Rate
- NEW - Interpretive Guidance Documents for A&E Consultants that contract with Caltrans:
- Top Five Audit Findings
- Cost Principles and Procedures for Developing Cost Allocation Plans and Indirect Cost Rates for Agreements with the Federal Government
- Local Entities Accepted, Approved, Cognizant Approved, and De Minimis Indirect Cost Rates
Overhead may only be charged, whether billed separately or included in billing rates, when indirect cost rates are accepted or approved by Caltrans Audits and Investigations. Rates accepted/approved through June 30 2015.
- Cognizant Approvals Issued
- Safe Harbor Indirect Cost Rate
- Conformance Review - Frequent Deficiencies
- Internal Audits - Internal Audits is responsible for delivering audit services which assist management in accomplishing departmental priorities and in making efficient, effective, and financially responsible transportation decisions. Internal Audits provides management with feedback on the organization's success in meeting its objectives and accomplishing established priorities along with constructive recommendations to improve performance, achieve compliance with state and federal regulations as well as to follow-up on corrective action taken.
- Investigations - Investigations help management achieve its goals in ensuring that administrative investigations are performed as requested by management and external sources. Feedback is provided to the directorate and external sources, as appropriate, on investigation results and corrective actions taken.
A&I's significant contribution to Caltrans management and to the public is its independent monitoring role over public (State, local, and federal) resources. From this effort, State, local, and federal management is apprised of the operational vulnerability and risks that exist and is provided recommendations on how to implement proactive management practices to mitigate the problems. In addition, A&I's identifies millions of dollars of cost savings to the department, local governments, and the public.