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Transportation Final 12-10-08 -   Highway Maintenance

 
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Highway Maintenance and Construction Management
Performance Audit Issued January 2008

Agency Action Plan

Link to the full audit report.
Link to a summary of the findings and the agency's response.
Link to the briefing to the State Legislature.

Action plan legend
Note:  The "Current Resources" column reflects whether an agency can complete
the action step by the due date within current resources.  This column will be populated
pending upcoming budget decisions. 

 Action Plan

Sort by AttachmentsUse SHIFT+ENTER to open the menu (new window).
Agency action stepFilterExplanatory notes as of November 2008Filter
H1.1
1Use SHIFT+ENTER to open the menu (new window).
Provide user training in both the consumable inventory system and data mart.  
Bill FordCompletedNoNo
The Department's Purchasing and Materials Management presented the results of the performance audit and the action plan to leadership in all WSDOT regions.  The Materials Management Team set a 2008 performance objective of 25 training sessions for 250 system users.  The team has conducted 12 training sessions in six different regions attended by 149 system users.  There are an additional 4 firm class dates set through October with 51 attendees registered.  Additional classes are being coordinated.  In 2007 the team conducted 28 training sessions for 203 users.  Training will continue as needed.
H1.2
1Use SHIFT+ENTER to open the menu (new window).
Participate in the OFM Roadmap process to position consumable inventory as an early implementation module.  
Bill FordIn progressNoNo
WSDOT discussed its inventory systems and requirements with OFM, and participates in Roadmap meetings and activities in support of a statewide enterprise systems that will fulfill WSDOT business needs.
H1.3
1Use SHIFT+ENTER to open the menu (new window).
Evaluate the fleet management system (M4) for possible short-term application to meet consumable inventory needs.  
Bill Ford30-Jun-08CompletedNoNo
A final evaluation of the fleet management system for possible short term consumable inventory use is complete.   In reviewing the inventory management functions, we determined that the M4 fleet management system (or the replacement M5 system) would not be an acceptable consumable inventory platform.  The critical flaws of M4 include: no interface to TRAINS (WSDOT's Accounting System); no unit conversion capabilities; and costly modifications to support commodity codes.  Recommend that the department continue using the current mainframe system with supporting data mart reporting tool until a decision on an enterprise inventory solution is reached through the Roadmap process.
H1.4
1Use SHIFT+ENTER to open the menu (new window).
Evaluate options for financing a new consumable inventory management system.
Bill Ford30-Jun-08CompletedNoNo
The estimates provided by Dye Management in 2004 ranged from $8 million to develop a custom-built solution like the system we have to $4.5 million for either an off-the-shelf system or ERP/SAP-compatible module.  Those estimates still frame a reasonable cost range.  Options for financing a new consumable inventory system for WSDOT are very limited given budget constraints and the long list of other critical application needs.  Any consumable inventory option must interface to the core financial (GL) system.  Recommend that WSDOT wait until decisions are made in the OFM Roadmap process about enterprise financial systems before submitting a budget request for a new consumable inventory system.
H2.1
2Use SHIFT+ENTER to open the menu (new window).
Support and encourage professional certification and continuing education for both regional and headquarters staff.
Bill FordCompletedNoNo
Certifications complete:  19 including three WSDOT candidates who tested in May, passed the certification exam, and received their Certified Professional Public Buyer (CPPB) credentials in June 2008; Applications approved for testing: 1 in NC region.  Will continue, but first round is complete.
H2.2
2Use SHIFT+ENTER to open the menu (new window).
Conduct a detailed analysis of the different inventory procedures used in each region to determine which practices achieve the best results.
Bill FordCompletedNoNo
Standard procedures have been published to reflect the best practices used by locations that achieve the best results.
H2.3
2Use SHIFT+ENTER to open the menu (new window).
Provide on-site training and technical assistance to inventory system users.  
Bill FordCompletedNoNo
The Materials Management Team set a 2008 performance objective of 25 training sessions for 250 system users.  In the past three months, the Materials Management Team has conducted 12 training sessions in six different regions attended by 149 system users.  There are an additional 4 firm class dates set through October with 51 attendees registered.  Will continue, but first round is complete.
H2.4
2Use SHIFT+ENTER to open the menu (new window).
Develop a professional certification and training registrar at headquarters in order to track progress towards the goal of at least two professionally trained and certified supply officers per region.
Bill FordCompletedNoNo
Certification and training is being managed by the Purchasing and Materials Manager.  All class attendance is logged into the department’s Automated Training Management System.
H3.1
3Use SHIFT+ENTER to open the menu (new window).
Complete implementation plan to require appropriate orders, receipts, and issues of inventory to be entered into the consumable inventory system in a timely manner.
Bill FordCompletedNoNo
WSDOT completed its implementation plan for appropriate orders, receipts, and issues of inventory to be entered into the consumable inventory system, March 2008.
H3.2
3Use SHIFT+ENTER to open the menu (new window).
Encourage used material that is in serviceable condition (e.g. guardrail, light poles) to be added to inventory so it is visible for redistribution and reuse between regions.
Bill FordIn progressNoNo
Adding used inventory in serviceable condition to the inventory system is due to be completed by FY09.
H4.1
4Use SHIFT+ENTER to open the menu (new window).
Monitor critical contract matters and work with GA to continually improve service and resolve issues.
Bill FordCompletedNoNo
 WSDOT has worked with GA to review equipment requirements, engaged in training with GA staff on interagency agreement performance expectations, jointly met with contract suppliers, and reviewed critical contracts.
H4.2
4Use SHIFT+ENTER to open the menu (new window).
Ensure appropriate performance measures are in place that will enable both GA and WSDOT to assess actual performance.
Bill FordIn progressNoNo
WSDOT and GA established performance measures that are now reviewed with GA staff during quarterly meetings.  Due to turnover in GA procurement positions, we are seeking clarification on responsibilities for meeting specific performance targets.  
H5.1
5Use SHIFT+ENTER to open the menu (new window).
Evaluate additional oversight measures that can be implemented at the department-level.
Bill Ford30-Apr-08CompletedNoNo
Purchasing and Materials Management (PMMO) staff completed field visits to assess the processes being used to award ‘Q’ contracts.  Additionally, PMMO developed and implemented policy, procedure, training, and oversight measures to improve the ‘Q’ contracting process in October 2008.
H5.2
5Use SHIFT+ENTER to open the menu (new window).
Support and encourage professional certification and continuing education for both regional and headquarters staff.  
Bill FordCompletedNoNo
WSDOT has budgeted for department-paid memberships in two professional organizations that provide supply management staff with access to continuing education and certification at reduced rates. In 2008, we anticipate nine additional purchasing and supply professional certifications to be earned.
H5.3
5Use SHIFT+ENTER to open the menu (new window).
Review for additional guidance on price adjustments that will be helpful for the Purchasing Manual.  
Bill FordCompletedNoNo
WSDOT has obtained the contracting templates used by GA and will incorporate their use in ‘Q’ contracts as appropriate.  
H5.4
5Use SHIFT+ENTER to open the menu (new window).
Track the cost of items purchased under “Q” contract authority to address the question of changing prices for such commodities as sand, gravel, asphalt, etc.  An annual assessment of cost changes will be provided to the Office of Financial Management when the agency request budget is submitted.
Bill FordCompletedNoNo
Purchases made from indefinite quantity, term (Q) contracts during the 07-09 biennium have been too low to determine significant cost increases.  Consequently, no 2009-11 budget request was justified.
H6.1
6Use SHIFT+ENTER to open the menu (new window).
Continue to monitor the effectiveness and application of the HMA price adjustment provision by reviewing the data annually in November and communicating with industry making adjustments to our policies and provisions as needed.
Bill FordCompletedNoNo
The price of liquid asphalt continued to climb at a steep rate through August and into early September, to a high of $862 per ton in Eastern Washington.  Through the end of October, the price has dropped in both Eastern and Western Washington.  As of the end of October, the price for asphalt binder in Eastern Washington was $712 per ton.  In early September, changes to the asphalt cost price adjustment provision were put in place to change the action range to +/- 5% instead of +/- 10%.  In addition, the provision was to be applied to all projects with HMA, regardless of the contract duration.  Will continue to monitor.
H7.1
7Use SHIFT+ENTER to open the menu (new window).
Continue to monitor research on using higher levels of RAP, through the State Pavement Technology Consortium (includes WSDOT, Texas DOT, Caltrans and Minnesota DOT).
Jerry LenziCompletedNoNo
 Discussions with Texas DOT revealed that the trial listed in the audit as upcoming, with estimated savings,  did not take place.  We continue to have discussions and to study the performance issues for Recycled Asphalt Pavement (RAP).  We continue to monitor research on higher levels of use of RAP and the Department's Materials Lab is coordinating with the Local Programs Division to help educate the local agencies on the use of RAP.  Wll continue as needed.
H8.1
8Use SHIFT+ENTER to open the menu (new window).
Continue to monitor research on Warm Mix Asphalt and continue to participate in national efforts to investigate Warm Mix Asphalt.
Jerry LenziCompletedYesNo
The State Materials Engineer continues to participate in a national Technical Working Group and worked on the steering committee for the International WMA conference (November 11-13, 2008). The experimental placement of Warm Mix Asphalt on the North Central Region Project was completed summer of 2008 and will continue to have long term monitoring of performance.
H9.1
9Use SHIFT+ENTER to open the menu (new window).
Continue to monitor HMA competition as documented by the low bid system.
Jerry LenziMar-08CompletedNoNo
WSDOT has seen a general increase in competition in the last year.  In rural areas with less competition, WSDOT attempts to establish material sources to attract competition.  Bid prices are reviewed routinely as bids are opened to check for irregularities.
H10.1
10Use SHIFT+ENTER to open the menu (new window).
Complete final SRA Strategic Plan.
Jerry LenziMar-08CompletedNoNo
The Safety Rest Area strategic plan is due to be completed in early summer 2008. The anticipated due date of March 2008 was not met due to extended SRA Advisory Team efforts to obtain additional information and evaluate potential future SRA locations, ten year rest area funding needs, and program organizational structure.
H10.2
10Use SHIFT+ENTER to open the menu (new window).
Track and report SRA visitor numbers.
Jerry LenziCompletedNoNo
We have been using water data now since 2005 to calculate visitors and plan on using this information to justify the need for funding and other suggestions from the audit on why funding is needed for the program.
H11.1
11Use SHIFT+ENTER to open the menu (new window).
WSDOT’s contract experts will provide ongoing assistance and oversight of state rest area contracts.
Jerry LenziCompletedNoNo
SRA Operations staff has developed a clear understanding of the three contracts and all are now managed by one office.  Revenue collection from these contracts will be managed and coordinated by this staff.
H12.1
12Use SHIFT+ENTER to open the menu (new window).
Complete implementation of Computer Maintenance Management Systems (CMMS).  
Jerry LenziDec-09In progressYesNo
The Facilities Computer Maintenance Management Systems is due to be implemented statewide by December 2009.  The system will manage and monitor routine maintenance tasks and corrective maintenance at the safety rest areas.
H12.2
12Use SHIFT+ENTER to open the menu (new window).
Make funding requests for preservation funding on an as-needed basis within the biennial budget process.
Jerry LenziCompletedYesNo
The 2009-2011 Capital Improvement and Preservation Program Plan (CIPP) shows the SRA program funding request and project list.  The CIPP was submitted to OFM in August 2008.
H13.1
13Use SHIFT+ENTER to open the menu (new window).
Evaluate career development opportunities to identify career paths and training opportunities within the maintenance and operation field.
Jerry LenziAug-09In ProgressYesNo
An evaluation of career paths and training opportunities within the maintenance field is due to be completed by August 31, 2009.
H14.1
14Use SHIFT+ENTER to open the menu (new window).
Develop strategies to document essential maintenance backlogs.
Jerry LenziDec-08In ProgressYesNo
Strategies to identify essential maintenance backlogs are due to be completed by December 2008.  
H14.2
14Use SHIFT+ENTER to open the menu (new window).
Estimate operations and maintenance costs needed to support the highway expansions underway as a result of the 2003 and 2005 revenue packages.
Jerry LenziCompletedYesNo
An estimate of operations and maintenance costs needed to support the highway expansion underway as a result of the 2003 and 2005 funding packages was completed as part of the preparation for the 2009-11 budget development process.  The current backlog of essential maintenance has been brought about through program funding not keeping up with the increased costs related to highway expansion and inflationary cost increases.  In a 2009-11 decision package, $16.8 million has been requested to "buy-down" part of the backlog that is currently estimated at $85M.
H15.1
15Use SHIFT+ENTER to open the menu (new window).
Develop a strategy to address how to measure a maintenance backlog.
Jerry LenziDec-08In ProgressYesNo
A strategy to measure a maintenance backlog is being developed as part of the preparation for the 2009-11 budget development process.  The maintenance backlog for some activities has been identified as part of the 2009-11 budget development process.  A team of maintenance personnel is identifying the backlog for all other maintenance activities.
H15.2
15Use SHIFT+ENTER to open the menu (new window).
Document consequences of not funding the most critical maintenance and operation activities for rail, highways, and ferry programs and submit that information with each biennial budget request.
Bill Ford, Jerry LenziOct-08CompletedYesNo
The consequences of not funding 2009-11 maintenance decision package requests was completed as part of the 2009-11 budget development process.  Maintenance decision packages in which this issue was addressed include requests for electricity cost increases, 2010 Olympics support, stormwater permit (aka NPDES) compliance, and Maintenance Backlog/System Additions.  
H16.1
16Use SHIFT+ENTER to open the menu (new window).
Identify budget impacts from new unfunded mandates and compile this information into a single document that can be updated and maintained into the future.
Jerry LenziOct-08CompletedNoNo
Budget impacts of unfunded mandates are due to be estimated by June 30, 2008.  Budget impacts of the 2008 stormwater permit (aka NPDES)  have been estimated and included in a 2009-2011 Decision package.
H17.1
17Use SHIFT+ENTER to open the menu (new window).
Consider alternative uses for SRA’s referenced in these findings during the SRA strategic plan development.
Jerry LenziSpring 2008In progressYesNo
Alternative uses of safety rest areas will be recommended as part of the SRA Strategic Plan, which will be completed by June 2008.
H18.1
18Use SHIFT+ENTER to open the menu (new window).
Evaluate potential solutions related to illegal activities.  
Jerry LenziOct-08CompletedNoNo
SRA Operations staff meets annually with Washington State Patrol  personnel and local law enforcement as appropriate to identify and curtail inappropriate and illegal behaviors.  Funding has been requested in the preservation backlog reduction plan included in the Capital Improvement and Preservation Program Plan to reduce the security deficiencies.
H19.1
19Use SHIFT+ENTER to open the menu (new window).
Conduct MAP surveys annually instead of biennially, and evaluate the effect of changing the frequency.
Jerry LenziNov-08In progressNoNo
The fieldwork portion of the 2008 Maintenance Accountability Process (MAP [a maintenance performance measurement system]) survey has been completed.  Preliminary reports and supporting data are currently being reviewed.
H20.1
20Use SHIFT+ENTER to open the menu (new window).
Include narrative summaries as well as numeric or alpha summaries in MAP reporting as appropriate.
Jerry LenziMar-08CompletedNoNo
A narrative summary is included in the Gray Notebook for 2007 MAP reporting.  Narrative summaries have also been included in reporting 2007 MAP results during the 2008 legislative session.  Will continue.
H21.1
21, 22, 28, 29Use SHIFT+ENTER to open the menu (new window).
Develop and implement policy statements and procedures to coordinate consistent and timely application of the Project Management Reporting System (PMRS).
Jerry LenziAug-08CompletedNoNo
Policy statements and procedures to coordinate consistent and timely PMRS application implemented from May through July 2008.
H21.2
21, 22, 28, 29Use SHIFT+ENTER to open the menu (new window).
Update existing Executive Order 1032.00 for project management.
Jerry LenziJul-08CompletedNoNo
Executive Order 1032.00 for project management is now scheduled to be enacted in July 2008, not January as originally anticipated. The implementation will be timed to coincide with the deployment of new software in July 2008.
H21.3
21, 22, 28, 29Use SHIFT+ENTER to open the menu (new window).
Implement the SPMG recommendations statewide, including activities underway:
 Standard processes for:
 -Cost control and earned value
 -Project estimate creation, review and approval
 -Project change management
 Develop training program for project control staff regarding use of these new business processes
 Use cost control/earned value software for all WSDOT projects
Jerry LenziSpring 2010In progressNoNo
Key milestones include: implementation of the Enterprise Content Management System by Summer of 2008, Primavera Project Manager by Spring of 2009, Primavera Contract Manager by Fall of 2009, with the integration completed by Spring of 2010.  Business Managers will be integrated into WSDOT project offices as needed to support delivery of the program.
H21.4
21, 22, 28, 29Use SHIFT+ENTER to open the menu (new window).
Refine Cost Estimate Validation Process (CEVP®) and Cost Risk Assessment (CRA) estimating procedures and apply these to formulate realistic estimates during the project development process.
Jerry LenziCompletedNoNo
CEVP® is a very active part of our project development program, and is refined during the life of a project. It usually is updated on an annual basis or as major milestones or decisions are achieved on a project.
H21.5
21, 22, 28, 29Use SHIFT+ENTER to open the menu (new window).
Provide additional emphasis of tools and expectations at the Project Management Training Academy, Statewide Meetings, and Quarterly Reporting.  
Jerry LenziFeb-08CompletedNoNo
The latest round of Region Design and Construction Conferences (February 2008) all included a session regarding SPMG and PMRS expectations and timelines for implementation.  In addition, this will be a component of the Statewide PE meeting.  Will continue.
H22.1
22Use SHIFT+ENTER to open the menu (new window).
Perform annual evaluation and assessment of projects, and share lessons learned through the annual Construction conferences.
Jerry LenziIn progressNoNo
The lessons learned folio will be updated for presentation at the February 2009 Region and Statewide Design and Construction Conferences.  Lessons learned are now available on the Department's external website for use by consultants, contractors, and local agencies as well as WSDOT employees.  Each Region continues to capture lessons learned, though continued emphasis is needed on getting lessons into the system.  
H22.2
22Use SHIFT+ENTER to open the menu (new window).
Provide progress of the lessons learned effort and the schedule for developing improvements on the website.
Jerry LenziFeb-09In progressNoNo
A work group with representation across WSDOT met in July to discuss how to improve lessons learned collection and distribution. The group identified high priority improvements to the existing system as well as ideas for creating a new system to better meet user needs. Improvements to the existing system were completed in September. A future recommendation of the work group is to convert the data base system we currently have to a new web-based system with an internet search engine. WSDOT does not currently have funds identified for this improvement.  
H23.1
23Use SHIFT+ENTER to open the menu (new window).
Continue to use performance contracting and best value selection as appropriate and consider the recommendation if/when it is necessary to do so.
Jerry LenziCompletedNoNo
WSDOT continues to use performance contracting and best value selection as appropriate
H24.1
24Use SHIFT+ENTER to open the menu (new window).
Continue to annually monitor the effectiveness of our contract provisions (“general special provisions”). Communicate and work with industry to make adjustments to our policies and provisions as needed.  Increase focus on training in this area.
Jerry LenziCompletedNoNo
The special provisions for primavera 3 schedule requirements were developed with Industry input through our AGC Admin team.  They are currently being applied as applicable. This effort is complete and we are now monitoring the process for lessons learned that will help us improve and evolve the process.
H25.1
25Use SHIFT+ENTER to open the menu (new window).
Create a cross functional team to evaluate existing informal processes and procedures that support trend analysis.  Develop strategies to support a systematic approach to track, report, review and improve estimating practices by monitoring quantity growth.  
Jerry LenziIn progressNoNo
Data from this past construction season will be distributed to team members for review and discussion by way of a "Go To Meeting."  HQ construction continues to work on a nationwide survey (through AASHTO subcommittee on construction) of all states to glean what trend analysis processes are being used.  Results will be out early next year.
H26.1
26Use SHIFT+ENTER to open the menu (new window).
Review bid evaluation and award process for opportunities for improvement.
Jerry LenziCompletedNoNo
See 27.2; we support our existing bid award process, but will continue to work with Regions and industry for improvements as PMRS tools and training are deployed.  This will also be tied to the Trend analysis action step 25.1
H26.2
26Use SHIFT+ENTER to open the menu (new window).
Evaluate a sample of engineer estimates, contractor estimates, and actual costs and report to the Legislature and the Governor.
Jerry LenziCompletedNoNo
WSDOT prepared and published the requested comparison data in the June 08 Grey Notebook report as part of our typically published information.  The data details the number of projects completed per calendar year as well as a comparison of the engineer's estimates to the award estimate to the final contract payment.    As OFM did not include a request for this data comparison in their budget notes, the data was not transmitted via the WSDOT budget office to date.  A separate transmittal will be prepared (Nov O8) to submit the requested data to OFM.  
H27.1
27Use SHIFT+ENTER to open the menu (new window).
Investigate electronic bidding options.
Jerry LenziCompletedNoNo
Initial investigation of electronic bidding opportunities was completed December 2007.  On September 15, 2008, provided responses to additional questions from OFM, DIS, and GA.  WSDOT received concurrence from OFM on October 24, 2008, to move forward with procurement of the Expedite and Bid Express.  WSDOT is consulting with DIS to ensure compliance with ISB policy requirements. Funding was included in the 07-09 construction office budget for implementing the system, and costs to maintain the system in the 09-11 construction budget.
H27.2
27Use SHIFT+ENTER to open the menu (new window).
Develop an electronic bidding implementation plan that includes strategies to address best practices, financial impacts, industry input, awareness, and training.
Jerry LenziDec-08In progressNoNo
An electronic bidding implementation plan is due to be completed by December 2008.  This is on schedule.
H28.1
28Use SHIFT+ENTER to open the menu (new window).
WSDOT will submit a work plan and timeline for full implementation of PMRS and project management training to the 2008 Legislature.
Jerry LenziCompletedNoNo
This was completed in the 2008 session. WSDOT is required, via proviso, to report Project Management and Reporting System (PMRS) scope, schedule and budget to the Legislature and to OFM on a quarterly basis. WSDOT has used our DIS/ISB reports for this purpose to avoid extra effort and inconsistencies in our external reporting. We also provided an update to the Statewide Project Management Group (SPMG) Strategic Plan in the Fall of 2007.
H29.1
29Use SHIFT+ENTER to open the menu (new window).
Same as #21.
Jerry LenziNoNo
See #21.
H31.1
30,31Use SHIFT+ENTER to open the menu (new window).
Integrate business managers to WSDOT project offices and provide cost tracking and estimating software.
Jerry LenziNov-08In progressNoNo
Integrating business managers to WSDOT project offices and providing cost tracking and estimating software is due to be completed in November 2008.
H32.1
32Use SHIFT+ENTER to open the menu (new window).
Implement new system for categorizing change orders.
Jerry LenziCompletedNoNo
The new system for categorizing change orders is in place.  Modifications to the construction manual and change order checklist have been accomplished and training to deploy the new expectations is complete. We will monitor results and feed them back into lessons learned through the trend analysis team.
H33.1
33Use SHIFT+ENTER to open the menu (new window).
Provide enhanced change order training.  
Jerry LenziMar-08CompletedNoNo
Training was developed and provided in two regions to 101 people.   We will continue to address and deploy on an ongoing basis.
H34.1
34Use SHIFT+ENTER to open the menu (new window).
Continue to track and evaluate performance measures as reported in the Gray Notebook and GMAP.  
Jerry LenziJul-08CompletedNoNo
WSDOT continues to track and evaluate performance measures as reported in the Gray Notebook and GMAP.
H1.1
1Use SHIFT+ENTER to open the menu (new window).
Provide user training in both the consumable inventory system and data mart.  
Bill FordCompletedNoNo
The Department's Purchasing and Materials Management presented the results of the performance audit and the action plan to leadership in all WSDOT regions.  The Materials Management Team set a 2008 performance objective of 25 training sessions for 250 system users.  The team has conducted 12 training sessions in six different regions attended by 149 system users.  There are an additional 4 firm class dates set through October with 51 attendees registered.  Additional classes are being coordinated.  In 2007 the team conducted 28 training sessions for 203 users.  Training will continue as needed.
H3.2
3Use SHIFT+ENTER to open the menu (new window).
Encourage used material that is in serviceable condition (e.g. guardrail, light poles) to be added to inventory so it is visible for redistribution and reuse between regions.
Bill FordIn progressNoNo
Adding used inventory in serviceable condition to the inventory system is due to be completed by FY09.
H4.1
4Use SHIFT+ENTER to open the menu (new window).
Monitor critical contract matters and work with GA to continually improve service and resolve issues.
Bill FordCompletedNoNo
 WSDOT has worked with GA to review equipment requirements, engaged in training with GA staff on interagency agreement performance expectations, jointly met with contract suppliers, and reviewed critical contracts.
H4.2
4Use SHIFT+ENTER to open the menu (new window).
Ensure appropriate performance measures are in place that will enable both GA and WSDOT to assess actual performance.
Bill FordIn progressNoNo
WSDOT and GA established performance measures that are now reviewed with GA staff during quarterly meetings.  Due to turnover in GA procurement positions, we are seeking clarification on responsibilities for meeting specific performance targets.  
H5.1
5Use SHIFT+ENTER to open the menu (new window).
Evaluate additional oversight measures that can be implemented at the department-level.
Bill Ford30-Apr-08CompletedNoNo
Purchasing and Materials Management (PMMO) staff completed field visits to assess the processes being used to award ‘Q’ contracts.  Additionally, PMMO developed and implemented policy, procedure, training, and oversight measures to improve the ‘Q’ contracting process in October 2008.
H5.2
5Use SHIFT+ENTER to open the menu (new window).
Support and encourage professional certification and continuing education for both regional and headquarters staff.  
Bill FordCompletedNoNo
WSDOT has budgeted for department-paid memberships in two professional organizations that provide supply management staff with access to continuing education and certification at reduced rates. In 2008, we anticipate nine additional purchasing and supply professional certifications to be earned.
H5.3
5Use SHIFT+ENTER to open the menu (new window).
Review for additional guidance on price adjustments that will be helpful for the Purchasing Manual.  
Bill FordCompletedNoNo
WSDOT has obtained the contracting templates used by GA and will incorporate their use in ‘Q’ contracts as appropriate.  
H5.4
5Use SHIFT+ENTER to open the menu (new window).
Track the cost of items purchased under “Q” contract authority to address the question of changing prices for such commodities as sand, gravel, asphalt, etc.  An annual assessment of cost changes will be provided to the Office of Financial Management when the agency request budget is submitted.
Bill FordCompletedNoNo
Purchases made from indefinite quantity, term (Q) contracts during the 07-09 biennium have been too low to determine significant cost increases.  Consequently, no 2009-11 budget request was justified.
H1.2
1Use SHIFT+ENTER to open the menu (new window).
Participate in the OFM Roadmap process to position consumable inventory as an early implementation module.  
Bill FordIn progressNoNo
WSDOT discussed its inventory systems and requirements with OFM, and participates in Roadmap meetings and activities in support of a statewide enterprise systems that will fulfill WSDOT business needs.
H6.1
6Use SHIFT+ENTER to open the menu (new window).
Continue to monitor the effectiveness and application of the HMA price adjustment provision by reviewing the data annually in November and communicating with industry making adjustments to our policies and provisions as needed.
Bill FordCompletedNoNo
The price of liquid asphalt continued to climb at a steep rate through August and into early September, to a high of $862 per ton in Eastern Washington.  Through the end of October, the price has dropped in both Eastern and Western Washington.  As of the end of October, the price for asphalt binder in Eastern Washington was $712 per ton.  In early September, changes to the asphalt cost price adjustment provision were put in place to change the action range to +/- 5% instead of +/- 10%.  In addition, the provision was to be applied to all projects with HMA, regardless of the contract duration.  Will continue to monitor.
H7.1
7Use SHIFT+ENTER to open the menu (new window).
Continue to monitor research on using higher levels of RAP, through the State Pavement Technology Consortium (includes WSDOT, Texas DOT, Caltrans and Minnesota DOT).
Jerry LenziCompletedNoNo
 Discussions with Texas DOT revealed that the trial listed in the audit as upcoming, with estimated savings,  did not take place.  We continue to have discussions and to study the performance issues for Recycled Asphalt Pavement (RAP).  We continue to monitor research on higher levels of use of RAP and the Department's Materials Lab is coordinating with the Local Programs Division to help educate the local agencies on the use of RAP.  Wll continue as needed.
H8.1
8Use SHIFT+ENTER to open the menu (new window).
Continue to monitor research on Warm Mix Asphalt and continue to participate in national efforts to investigate Warm Mix Asphalt.
Jerry LenziCompletedYesNo
The State Materials Engineer continues to participate in a national Technical Working Group and worked on the steering committee for the International WMA conference (November 11-13, 2008). The experimental placement of Warm Mix Asphalt on the North Central Region Project was completed summer of 2008 and will continue to have long term monitoring of performance.
H9.1
9Use SHIFT+ENTER to open the menu (new window).
Continue to monitor HMA competition as documented by the low bid system.
Jerry LenziMar-08CompletedNoNo
WSDOT has seen a general increase in competition in the last year.  In rural areas with less competition, WSDOT attempts to establish material sources to attract competition.  Bid prices are reviewed routinely as bids are opened to check for irregularities.
H10.1
10Use SHIFT+ENTER to open the menu (new window).
Complete final SRA Strategic Plan.
Jerry LenziMar-08CompletedNoNo
The Safety Rest Area strategic plan is due to be completed in early summer 2008. The anticipated due date of March 2008 was not met due to extended SRA Advisory Team efforts to obtain additional information and evaluate potential future SRA locations, ten year rest area funding needs, and program organizational structure.
H10.2
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Track and report SRA visitor numbers.
Jerry LenziCompletedNoNo
We have been using water data now since 2005 to calculate visitors and plan on using this information to justify the need for funding and other suggestions from the audit on why funding is needed for the program.
H11.1
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WSDOT’s contract experts will provide ongoing assistance and oversight of state rest area contracts.
Jerry LenziCompletedNoNo
SRA Operations staff has developed a clear understanding of the three contracts and all are now managed by one office.  Revenue collection from these contracts will be managed and coordinated by this staff.
H12.1
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Complete implementation of Computer Maintenance Management Systems (CMMS).  
Jerry LenziDec-09In progressYesNo
The Facilities Computer Maintenance Management Systems is due to be implemented statewide by December 2009.  The system will manage and monitor routine maintenance tasks and corrective maintenance at the safety rest areas.
H12.2
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Make funding requests for preservation funding on an as-needed basis within the biennial budget process.
Jerry LenziCompletedYesNo
The 2009-2011 Capital Improvement and Preservation Program Plan (CIPP) shows the SRA program funding request and project list.  The CIPP was submitted to OFM in August 2008.
H1.3
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Evaluate the fleet management system (M4) for possible short-term application to meet consumable inventory needs.  
Bill Ford30-Jun-08CompletedNoNo
A final evaluation of the fleet management system for possible short term consumable inventory use is complete.   In reviewing the inventory management functions, we determined that the M4 fleet management system (or the replacement M5 system) would not be an acceptable consumable inventory platform.  The critical flaws of M4 include: no interface to TRAINS (WSDOT's Accounting System); no unit conversion capabilities; and costly modifications to support commodity codes.  Recommend that the department continue using the current mainframe system with supporting data mart reporting tool until a decision on an enterprise inventory solution is reached through the Roadmap process.
H13.1
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Evaluate career development opportunities to identify career paths and training opportunities within the maintenance and operation field.
Jerry LenziAug-09In ProgressYesNo
An evaluation of career paths and training opportunities within the maintenance field is due to be completed by August 31, 2009.
H14.1
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Develop strategies to document essential maintenance backlogs.
Jerry LenziDec-08In ProgressYesNo
Strategies to identify essential maintenance backlogs are due to be completed by December 2008.  
H14.2
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Estimate operations and maintenance costs needed to support the highway expansions underway as a result of the 2003 and 2005 revenue packages.
Jerry LenziCompletedYesNo
An estimate of operations and maintenance costs needed to support the highway expansion underway as a result of the 2003 and 2005 funding packages was completed as part of the preparation for the 2009-11 budget development process.  The current backlog of essential maintenance has been brought about through program funding not keeping up with the increased costs related to highway expansion and inflationary cost increases.  In a 2009-11 decision package, $16.8 million has been requested to "buy-down" part of the backlog that is currently estimated at $85M.
H1.4
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Evaluate options for financing a new consumable inventory management system.
Bill Ford30-Jun-08CompletedNoNo
The estimates provided by Dye Management in 2004 ranged from $8 million to develop a custom-built solution like the system we have to $4.5 million for either an off-the-shelf system or ERP/SAP-compatible module.  Those estimates still frame a reasonable cost range.  Options for financing a new consumable inventory system for WSDOT are very limited given budget constraints and the long list of other critical application needs.  Any consumable inventory option must interface to the core financial (GL) system.  Recommend that WSDOT wait until decisions are made in the OFM Roadmap process about enterprise financial systems before submitting a budget request for a new consumable inventory system.
H15.1
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Develop a strategy to address how to measure a maintenance backlog.
Jerry LenziDec-08In ProgressYesNo
A strategy to measure a maintenance backlog is being developed as part of the preparation for the 2009-11 budget development process.  The maintenance backlog for some activities has been identified as part of the 2009-11 budget development process.  A team of maintenance personnel is identifying the backlog for all other maintenance activities.
H15.2
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Document consequences of not funding the most critical maintenance and operation activities for rail, highways, and ferry programs and submit that information with each biennial budget request.
Bill Ford, Jerry LenziOct-08CompletedYesNo
The consequences of not funding 2009-11 maintenance decision package requests was completed as part of the 2009-11 budget development process.  Maintenance decision packages in which this issue was addressed include requests for electricity cost increases, 2010 Olympics support, stormwater permit (aka NPDES) compliance, and Maintenance Backlog/System Additions.  
H16.1
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Identify budget impacts from new unfunded mandates and compile this information into a single document that can be updated and maintained into the future.
Jerry LenziOct-08CompletedNoNo
Budget impacts of unfunded mandates are due to be estimated by June 30, 2008.  Budget impacts of the 2008 stormwater permit (aka NPDES)  have been estimated and included in a 2009-2011 Decision package.
H17.1
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Consider alternative uses for SRA’s referenced in these findings during the SRA strategic plan development.
Jerry LenziSpring 2008In progressYesNo
Alternative uses of safety rest areas will be recommended as part of the SRA Strategic Plan, which will be completed by June 2008.
H18.1
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Evaluate potential solutions related to illegal activities.  
Jerry LenziOct-08CompletedNoNo
SRA Operations staff meets annually with Washington State Patrol  personnel and local law enforcement as appropriate to identify and curtail inappropriate and illegal behaviors.  Funding has been requested in the preservation backlog reduction plan included in the Capital Improvement and Preservation Program Plan to reduce the security deficiencies.
H19.1
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Conduct MAP surveys annually instead of biennially, and evaluate the effect of changing the frequency.
Jerry LenziNov-08In progressNoNo
The fieldwork portion of the 2008 Maintenance Accountability Process (MAP [a maintenance performance measurement system]) survey has been completed.  Preliminary reports and supporting data are currently being reviewed.
H20.1
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Include narrative summaries as well as numeric or alpha summaries in MAP reporting as appropriate.
Jerry LenziMar-08CompletedNoNo
A narrative summary is included in the Gray Notebook for 2007 MAP reporting.  Narrative summaries have also been included in reporting 2007 MAP results during the 2008 legislative session.  Will continue.
H21.1
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Develop and implement policy statements and procedures to coordinate consistent and timely application of the Project Management Reporting System (PMRS).
Jerry LenziAug-08CompletedNoNo
Policy statements and procedures to coordinate consistent and timely PMRS application implemented from May through July 2008.
H21.2
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Update existing Executive Order 1032.00 for project management.
Jerry LenziJul-08CompletedNoNo
Executive Order 1032.00 for project management is now scheduled to be enacted in July 2008, not January as originally anticipated. The implementation will be timed to coincide with the deployment of new software in July 2008.
H21.3
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Implement the SPMG recommendations statewide, including activities underway:
 Standard processes for:
 -Cost control and earned value
 -Project estimate creation, review and approval
 -Project change management
 Develop training program for project control staff regarding use of these new business processes
 Use cost control/earned value software for all WSDOT projects
Jerry LenziSpring 2010In progressNoNo
Key milestones include: implementation of the Enterprise Content Management System by Summer of 2008, Primavera Project Manager by Spring of 2009, Primavera Contract Manager by Fall of 2009, with the integration completed by Spring of 2010.  Business Managers will be integrated into WSDOT project offices as needed to support delivery of the program.
H2.1
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Support and encourage professional certification and continuing education for both regional and headquarters staff.
Bill FordCompletedNoNo
Certifications complete:  19 including three WSDOT candidates who tested in May, passed the certification exam, and received their Certified Professional Public Buyer (CPPB) credentials in June 2008; Applications approved for testing: 1 in NC region.  Will continue, but first round is complete.
H21.4
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Refine Cost Estimate Validation Process (CEVP®) and Cost Risk Assessment (CRA) estimating procedures and apply these to formulate realistic estimates during the project development process.
Jerry LenziCompletedNoNo
CEVP® is a very active part of our project development program, and is refined during the life of a project. It usually is updated on an annual basis or as major milestones or decisions are achieved on a project.
H21.5
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Provide additional emphasis of tools and expectations at the Project Management Training Academy, Statewide Meetings, and Quarterly Reporting.  
Jerry LenziFeb-08CompletedNoNo
The latest round of Region Design and Construction Conferences (February 2008) all included a session regarding SPMG and PMRS expectations and timelines for implementation.  In addition, this will be a component of the Statewide PE meeting.  Will continue.
H22.1
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Perform annual evaluation and assessment of projects, and share lessons learned through the annual Construction conferences.
Jerry LenziIn progressNoNo
The lessons learned folio will be updated for presentation at the February 2009 Region and Statewide Design and Construction Conferences.  Lessons learned are now available on the Department's external website for use by consultants, contractors, and local agencies as well as WSDOT employees.  Each Region continues to capture lessons learned, though continued emphasis is needed on getting lessons into the system.  
H22.2
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Provide progress of the lessons learned effort and the schedule for developing improvements on the website.
Jerry LenziFeb-09In progressNoNo
A work group with representation across WSDOT met in July to discuss how to improve lessons learned collection and distribution. The group identified high priority improvements to the existing system as well as ideas for creating a new system to better meet user needs. Improvements to the existing system were completed in September. A future recommendation of the work group is to convert the data base system we currently have to a new web-based system with an internet search engine. WSDOT does not currently have funds identified for this improvement.  
H23.1
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Continue to use performance contracting and best value selection as appropriate and consider the recommendation if/when it is necessary to do so.
Jerry LenziCompletedNoNo
WSDOT continues to use performance contracting and best value selection as appropriate
H24.1
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Continue to annually monitor the effectiveness of our contract provisions (“general special provisions”). Communicate and work with industry to make adjustments to our policies and provisions as needed.  Increase focus on training in this area.
Jerry LenziCompletedNoNo
The special provisions for primavera 3 schedule requirements were developed with Industry input through our AGC Admin team.  They are currently being applied as applicable. This effort is complete and we are now monitoring the process for lessons learned that will help us improve and evolve the process.
H25.1
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Create a cross functional team to evaluate existing informal processes and procedures that support trend analysis.  Develop strategies to support a systematic approach to track, report, review and improve estimating practices by monitoring quantity growth.  
Jerry LenziIn progressNoNo
Data from this past construction season will be distributed to team members for review and discussion by way of a "Go To Meeting."  HQ construction continues to work on a nationwide survey (through AASHTO subcommittee on construction) of all states to glean what trend analysis processes are being used.  Results will be out early next year.
H26.1
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Review bid evaluation and award process for opportunities for improvement.
Jerry LenziCompletedNoNo
See 27.2; we support our existing bid award process, but will continue to work with Regions and industry for improvements as PMRS tools and training are deployed.  This will also be tied to the Trend analysis action step 25.1
H26.2
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Evaluate a sample of engineer estimates, contractor estimates, and actual costs and report to the Legislature and the Governor.
Jerry LenziCompletedNoNo
WSDOT prepared and published the requested comparison data in the June 08 Grey Notebook report as part of our typically published information.  The data details the number of projects completed per calendar year as well as a comparison of the engineer's estimates to the award estimate to the final contract payment.    As OFM did not include a request for this data comparison in their budget notes, the data was not transmitted via the WSDOT budget office to date.  A separate transmittal will be prepared (Nov O8) to submit the requested data to OFM.  
H2.2
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Conduct a detailed analysis of the different inventory procedures used in each region to determine which practices achieve the best results.
Bill FordCompletedNoNo
Standard procedures have been published to reflect the best practices used by locations that achieve the best results.
H27.1
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Investigate electronic bidding options.
Jerry LenziCompletedNoNo
Initial investigation of electronic bidding opportunities was completed December 2007.  On September 15, 2008, provided responses to additional questions from OFM, DIS, and GA.  WSDOT received concurrence from OFM on October 24, 2008, to move forward with procurement of the Expedite and Bid Express.  WSDOT is consulting with DIS to ensure compliance with ISB policy requirements. Funding was included in the 07-09 construction office budget for implementing the system, and costs to maintain the system in the 09-11 construction budget.
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