I/M Solutions 2012 Conference Sacramento, CA Auditing – A Range of Options Jim Sands May 22, 2012

Needs and Challenges  Program Integrity  Fairness Issue  Effective – catch the bad guy  Defendable  In-house or Third Party  Reduced State budgets,  Staff Reductions/Re-purposed  Assumption of Risk  Custom Mix of Auditing Techniques  One size doesn’t fit all  Maximize cost-effectiveness  Focus on specific aspects of project 2

Covert Auditing  Covert field audits  Periodic and Targeted  Induce specific failures  Document Results  Compliance Report to Agency  Key elements  Rotate auditors  Refresh vehicles  Vary inducements 3

Overt Auditing   Overt Auditing Overt  Equipment Field Audits (Full/Focused)  Station Audits  Documentation  Signage  Collateral Material (PI&E)  Referee audits  Facilitate motorist issues  Closeout audits  Ownership change audits 4

Innovative Audit Techniques  Telephone audits  Referee audits  Facilitate motorist issues  Readiness and start-up audits  Repair effectiveness audits 5

Auditing in Real Time: Test Interruptions 6

Future Considerations  Comprehensive Documentation Repository – long term compliance  Auditing based on program specific data triggers – modify periodically  Allow for future technology advancements 7