Federal Agency: U.S. Department of Transportation
Program/Cluster: Metropolitan Planning and Research
Federal Assistance Listing Number: 20.505
Pass‐through: California Department of Transportation
Award No. and Year: 74A0821, 2022/2023
Compliance Requirement: Reporting
Type of Finding: Significant Deficiency over Compliance, Instance of Noncompliance
Views of Responsible Officials and Corrective Action Plan:
Management agrees with the finding. Delay in Caltrans approving the first quarter request for reimbursement
and progress reports until January 24, 2023, as well as additional staff time needed to prepare the narrative
information, resulted in the submittal of the second quarter reports nine days after the due date of January 30,
2023. Caltrans District 2 staff were notified early that there would be a delay in the reporting and indicated this
was acceptable. This is an extraordinary occurrence, as it is SRTA’s common practice to submit all required
reports before the deadline.
Corrective Action Plan: The Agency will send a memorandum to all staff to ensure timely reporting of required
quarterly reports in accordance with the agency’s established policies and procedures and compliance with the
Master Fund Transfer Agreement that is active at the time of submittal. The Agency will also create reminders
on the shared agency calendar that will be set to automatically alert the executive director, CFO, OWP manager,
and relevant staff, of the deadline to submit the quarterly narratives to further eliminate the risk of late
reporting.
Responsible Individual(s):
Sean Tiedgen, Executive Director and Jessica Carlson, Chief Fiscal Officer
Anticipated Completion Date:
June 30, 2024