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Caltrans A&E Consultant Risk-Based Model

Caltrans implements a risk-based model to audit A&E consultant contracts, stratifying them into three pools based on contract values. Pool 1 includes contracts over $3.5 million, Pool 2 consists of contracts above a 50% cut-off, and Pool 3 covers the remaining contracts. By risk-ranking consultants (High, Medium, Low), audits are tailored for efficiency. Contact for inquiries.

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Caltrans A&E Consultant Risk-Based Model

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  1. Overview: California Department of Transportation (Caltrans) A&E Consultants Risk-Based Model Department of Transportation Audits & Investigations

  2. Application • Stratifies the universe of A&E consultant contracts into three (3) distinct pools • Each pool will be determined in succession, i.e. Pool 2 cannot be determined until Pool 1 is established • Consultants will be further risk-ranked within each pool • Audit focus is on consultants rather than contracts Department of Transportation Audits & Investigations

  3. Pool 1 Consultants and Contracts • Comprised of prior fiscal year’s executed Department A&E contracts = or > $3.5 million • Consultants fall into the Pool 1 category if they have one executed contract = or > $3.5 million • Pool 1 consultants are required to have annual Independent CPA-Audited Indirect Cost Rates Department of Transportation Audits & Investigations

  4. Pool 2 Consultants and Contracts • Initially comprised of the remaining prior fiscal year’s executed Department A&E contracts, excluding the Pool 1 consultants and associated contracts • Next step is to sort the contracts by consultant and then by total contract dollars • A 50% cut-off will be applied to the sorted list. Pool 2 consultants will be those above the 50% cut-off Department of Transportation Audits & Investigations

  5. Pool 3 Consultants and Contracts • Comprised of the remaining consultants and contracts not included in Pools 1 and 2 Department of Transportation Audits & Investigations

  6. Benefits • Risk-ranking consultants (High, Medium, Low) allows Audits & Investigations to determine the nature and extent of audit procedures to be applied • More effective and efficient use of available audit resources • Compliance with 23 CFR 172 and FHWA approval Department of Transportation Audits & Investigations

  7. Questions? • You may call us at: (916) 323-7111 • You may e-mail questions to: audits_and_investigations_questions@dot.ca.gov Department of Transportation Audits & Investigations

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