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Audit Plan and Reports
Audit Plan and Quarterly Updates
Fiscal Year 2019-20
Fiscal Year 2018-19
Fiscal Year 2017-18
Fiscal Year 2016-17
Fiscal Year 2015-16
Fiscal Year 2014-15
Fiscal Year 2013-14
Fiscal Year 2012-13
Audit Reports
- 08-14-24 OC ACCESS Service, Internal Audit Report No. 24-512
- 08-14-24 Revenue Agreements, Internal Audit Report No. 24-513
- 09-25-24 Agreement No. C-4-1816 with Woodruff & Smart for Legal Services, Internal Audit Report No. 25-503
- 09-25-24 Investments - Compliance, Controls, and Reporting, January 1 through June 30, 2024, Internal Audit Report No. 25-502
- 10-23-24 Interstate 5 Improvement Project - Oso Parkway to Alicia Parkway Design and Construction Management, Internal Audit Report No. 25-501
- 10-23-24 Investment Manager Contracts, Internal Audit Report No. 25-504
- 07-12-23 Performance Audit of the Orange County Transportation Authority's Cybersecurity Program
- 08-23-23 Life Insurance Benefits, Internal Audit Report No. 23-505
- 09-13-23 Bus Advertising Revenue Program, Internal Audit Report No. 23-516
- 09-13-23 Review of Oversight Controls and Contract Compliance Related to the Anaheim Canyon Improvements Project, Internal Audit Report No. 23-515
- 09-27-23 Investments - Compliance, Controls, and Reporting, January 1 through June 30, 2023, Internal Audit Report No. 24-501
- 11-15-23 OCTA Store Operations, Internal Audit Report No. 24-504
- 11-20-23 Investigation and Limited Scope Review of CTFP Project Scope Change
- 11-29-23 Cooperative Agreements with Regional Center of Orange County and My Day Counts, Internal Audit Report No. 24-502
- 01-10-24 Transit Police Services, Internal Audit Report No. 24-503
- 02-14-24 OC Vanpool Program, Internal Audit Report 24-505
- 03-27-24 College Pass Program, Internal Audit Report No. 24-506
- 04-24-24 Review of Interstate 405 Improvement Project - Design-Build Contract, Internal Audit Report No. 24-507
- 06-12-24 Flexible Spending Account Program, Internal Audit Report No. 24-511
- 06-12-24 Liability Claims Management, Internal Audit Report No. 24-510
- 07-13-22 Revenue Vehicle Procurement Audit, Internal Audit Report No. 22-508
- 07-27-22 Oversight Controls and Contract Compliance Related to the OC Streetcar Design and Construction Management, Internal Audit Report No. 22-505
- 08-24-22 Administration of Public Record Act Requests, Internal Audit Report No. 22-510
- 09-14-22 Non-Revenue Vehicle Purchases and Assignment, Internal Audit Report No. 22-512
- 10-12-22 Investments Compliance, Controls, and Reporting, January 1 through June 30, 2022, Internal Audit Report No. 23-502
- 11-09-22 Independent Cost Estimates, Internal Audit Report No. 22-513
- 11-30-22 Right-of-Way and Appraisal Services and Activities, Internal Audit Report No. 22-511
- 01-25-23 Administrative Employee Mandatory Training and Employee Educational Reimbursements, Internal Audit Report No. 23-503
- 03-08-23 Workers' Compensation Program, Internal Audit Report No. 23-501
- 03-22-23 State and Federal Consulting Contracts, Internal Audit Report No. 23-512
- 04-12-23 Investments - Compliance, Controls, and Reporting, July 1 through December 2022, Internal Audit Report No. 23-507
- 04-12-23 OC ACCESS Service Eligibility, Internal Audit Report No. 23-510
- 05-24-23 Measure M2 Comprehensive Transportation Funding Programs Project Audits
- 06-14-23 Lost and Found Operations, Internal Audit Report No. 23-513
- 06-28-23 Customer Information Center Services, Internal Audit Report No. 23-514
- 07-28-21 Administrative Controls Related to Conflict of Interest Code and California Form 700 Statement of Economic Interests, Internal Audit Report No. 21-510
- 07-28-21 Orange County Transportation Authority, Proposition 1B Bond Program, Project Number P2500-0008
- 10-13-21 Investments - Compliance, Controls, and Reporting, January 1 through June 30, 2021
- 10-27-21 Evaluation of Independent Auditor and Consideration of Contract Amendment to Extend Audit Services through the Fiscal Year Ending June 30, 202
- 01-12-22 Employee Incentive Benefit Programs, Internal Audit Report No. 22-502
- 01-12-22 Fiscal Year 2020-21 Single Audit and Agreed-Upon Procedures Reports
- 01-26-22 Physical Access Security, Internal Audit Report No. 21-511
- 02-09-22 Audit Responsibilities of the Finance and Administration Committee
- 02-23-22 Facilities Maintenance Operations, Internal Audit Report No. 21 507
- 02-23-22 Interstate 405 Improvement Project Public Outreach, Internal Audit Report No. 22-504
- 04-13-22 Agreements for On-Call Performance Audits and Agreed-Upon Procedures Engagements
- 08-12-20 Oversight Controls and Contract Compliance Related to the Interstate 5 Project - State Route 55 to State Route 57, Internal Audit Report No. 20-510
- 09-23-20 Investments - Compliance, Controls, and Reporting, January 1 through June 30, 2020
- 10-28-20 Employee Separations, Internal Audit Report No. 21-501
- 11-11-20 Audit of Banking Services and Agreement with Bank of the West, Internal Audit Report No. 20-507
- 01-13-21 Fiscal Year 2019-20 Annual Financial Statement Audits, Single Audit, and Agreed-Upon Procedures Reports
- 01-27-21 Comprehensive Transportation Funding Program, Oversight and Reporting Controls, Internal Audit Report No. 20-512
- 02-10-21 Audit Responsibilities of the Finance and Administration Committee
- 02-24-21 OC Streetcar Project Management Consultant - Oversight Controls and Contract Compliance, Internal Audit Report No. 21-503
- 03-24-21 Orange County Local Transportation Authority Measure M2 Agreed-Upon Procedures Reports, Year Ended June 30, 2021
- 03-24-21 Orange County Local Transportation Authority Measure M2 Maintenance of Effort, Agreed-Upon Procedures Report, City of Santa Ana, Year Ended June 30, 2020
- 05-12-21 Investments - Compliance, Controls, and Reporting, July 1 through December 31, 2020
- 05-12-21 Review of Oversight Controls and Contract Compliance Related to the Bridgestone-Firestone Tire Lease and Services Agreement No. C-9-1354, Internal Audit Report No. 21-506
- 06-09-21 Department of Motor Vehicles Employer Pull Notice Program
Fiscal Year 2019 - 20
- 08-28-19 Agreement with Element Markets Renewable Energy, LLC, for Purchase of Natural Gas and Monetization of Federal and State Credits, Internal Audit Report No. 19-511
- 08-28-19 Audit of State Transportation Improvement Program Planning, Programming and Monitoring Program, Program Fiscal Year 2016-2017
- 09-25-19 Coach Operator Scheduling, Internal Audit Report No. 19-505
- 11-13-19 Board Member Compensation, Mileage Reimbursements, and Training, Internal Audit Report No. 19-513
- 11-13-19 Investments - Compliance, Controls, and Reporting, January 1 through June 30, 2019
- 11-13-19 Oversight Controls and Contract Compliance Related to the Orange Transportation Center Parking Structure Project
- 01-08-20 91 Express Lanes Master Custodial Account and Revenue Allocation, Internal Audit Report No. 19-514
- 01-08-20 Bus Marketing, Internal Audit Report No. 19-512
- 01-08-20 Corporate Credit Cards, Internal Audit Report No. 20-504
- 01-22-20 Fiscal Year 2018-19 Annual Financial and Agreed-Upon Procedures Reports
- 01-22-20 Same-Day Taxi Service, Internal Audit Report No. 20-503
- 02-26-20 Audit Responsibilities of the Finance and Administration Committee
- 02-26-20 Interagency Fare Revenue Agreements, Internal Audit Report No. 20-505
- 03-11-20 Orange County Local Transportation Authority Measure M2 Maintenance of Effort, Agreed-Upon Procedures Report, City of Santa Ana, Year Ended June 30, 2019
- 03-11-20 Orange County Local Transportation Authority Measure M2 Maintenance of Effort, Agreed-Upon Procedures Report, City of Stanton, Year Ended June 30, 2019
- 03-11-20 Performance Audit of the Orange County Transportation Authority's Patch Management Program
- 04-08-20 Investments - Compliance, Controls, and Reporting, July 1 through December 31, 2019
- 04-22-20 OCLTA Measure M2 Agreed-Upon Procedures Reports, Year Ended June 30, 2019
- 05-27-20 Medical Exams, Internal Audit Report No. 20-508
- 06-10-20 Revenue Vehicle Maintenance, Internal Audit Report No. 20-506
Fiscal Year 2018 - 19
- 07-11-18 California Governor’s Office of Emergency Services, Grant Monitoring Review, Fiscal Year 2014-15 California Transit Security Grant Program, Award No. 67610002
- 07-25-18 Interstate 405 Improvement Project Project Management Contracts, Internal Audit Report No. 18-505
- 09-12-18 Audit of State Transportation Improvement Program Planning, Programming and Monitoring Program, Program Fiscal Year 2015-2016
- 09-12-18 Warranty Administration, Internal Audit Report No. 18-510
- 10-24-18 ACCESS Service, Internal Audit Report No. 18-514
- 10-24-18 Investments - Compliance, Controls, and Reporting, January 1 through June 30, 2018
- 10-24-18 Financial and Compliance Audits of Eight Measure M2 Comprehensive Transportation Funding Programs Projects
- 01-09-19 Audit of Oversight Controls and Contract Compliance Related to the Interstate 5 High-Occupancy Vehicle Improvement Project Pacific Coast Highway to San Juan Creek Road
- 01-23-19 Rail Right-of-Way Maintenance, Internal Audit Report No. 19-502
- 04-24-19 Mobile Ticketing Operations, Internal Audit Report No. 19-505
- 04-24-19 Recruitment and Employment Audit
- 05-22-19 Investments - Compliance, Controls, and Reporting, July 1 through December 31, 2018
- 06-29-19 Construction Safety Program, Internal Audit Report No.19-506
Fiscal Year 2017 - 18
- 07-12-17 Department of Homeland Security, Federal Emergency Management Agency, Region IX Grants Management Division, Financial Monitoring Review of 2014 and 2015 Transit Security Grant Program Funding
- 08-23-17 `Performance Audit of the Orange County Transportation Authority’s Storm Water Pollution Prevention Program
- 09-13-17 Audit of State Transportation Improvement Program Planning, Programming and Monitoring Program, Fiscal Year 2014-2015
- 09-13-17 Investments Compliance, Controls, and Reporting, January 1 through June 30 2017
- 09-13-17 Transit Police Services, Internal Audit Report No. 17-512
- 09-23-17 Audit of State Transportation Improvement Program Planning, Programming and Monitoring Program, Program Fiscal Year 2014 2015
- 09-13-17-17 Contracted Fixed-Route Operations, Internal Audit Report No. 17-508
- 10-25-17 Limited-Scope Audit Right-of-Way Acquisition Activities for Interstate 405 Improvement Project, Internal Audit Report No. 18-502
- 11-08-17 Employee Health Benefits, Internal Audit Report No. 17-506
- 12-13-17 Orange County Transportation Authority, Proposition 1B Bond Programs
- 01-24-18 Purchasing Cards, Internal Audit Report No. 18-503
- 01-24-18 Investigation and Limited Scope Review of the Senior Mobility Program Operated by the Korean American Senior Association
- 02-14-18 Investments - Compliance, Controls, and Reporting, July 1 through December 31, 2017
- 04-25-18 Investigation and Limited Scope Review of Take-Home Vehicle Assignment
- 04-25-18 Fleetwatch Fluid Management System, Internal Audit Report No. 18-506
- 05-23-18 Cooperative Agreement with Metrolink for the Control Point Fourth Project, Internal Audit Report No. 18-504
- 05-23-18 Brown Act Compliance, Internal Audit Report No. 18-508
Fiscal Year 2016 - 17
- 07-13-16 State of California, Department of Transportation, Incurred Cost Audit - Orange County Transportation Authority
- 09-14-16 Audit of State Transportation Improvement Program Planning, Programming and Monitoring Program, Program Fiscal Year 2013-2014
- 09-14-16 Customer Relations, Internal Audit Report No. 16-508
- 09-14-16 Project Controls, Internal Audit Report No. 16-507
- 10-12-16 Investments Compliance Controls and Reporting Review January through June 2016
- 10-12-16 Financial and Compliance Audits of Eight Measure M2 Comprehensive Transportation Funding Programs Projects
- 01-11-17 Payment Card Industry Data Security Standard Compliance, Internal Audit Report No. 17-502
- 02-08-17 Status of Coach Operator Health and Insurance Benefits Audit
- 03-08-17 Budget Development, Monitoring, and Reporting, Internal Audit
- 03-22-17 Orange County Transportation Authority Policies and Procedures, Internal Audit Report No. 17-507
- 04-26-17 Investment Management Service Contracts, Internal Audit Report No. 17-504
- 04-26-17 Investments Compliance, Controls, and Reporting, July 1 through December 31, 2016
- 05-10-17 Agreement for On-Call General Auditing Services
- 06-28-17 Oversight Controls and Contract Compliance Related to Agreements for Public Outreach for the West County Connectors Project6
Fiscal Year 2015 - 16
- 07-08 15 Review of Agreement No. C-4-1816 with Woodruff, Spradlin & Smart for Legal Services
- 07-08-15 Orange County Transportation Authority Audit Report, Highway Railroad Crossing Safety Account Program
- 09-09-15 Audit of State Transportation Improvement Program Planning, Programming and Monitoring Program, Program Fiscal Year 2012-2013
- 09-09-15 Orange County Transportation Authority Audit Report, Traffic Light Synchronization Program
- 09-09-15 Orange County Transporttion Authority Audit Report, State-Local Partnership Program
- 10-28-15 Investigation and Limited Scope Review of Administration of the Deferred Compensation Plan and Revenue Reimbursement Account
- 11-11-15 Review of Bidder Protest Process
- 12-09-15 Review of Technology and User Support Section
- 04-13-16 Accounts Payable Controls
- 04-13-16 Investments Compliance, Controls, and Reporting, July 1 through December 31, 2015
- 04-13-16 Oversight Controls, Contract Compliance, and Billings Related to the Bristol Street Widening Project
- 04-13-16 Investigation and Limited Scope Review of the Procurement for Mobile Bus Routers
- 04-27-16 Equipment Assignment, Tracking and Reporting
Fiscal Year 2014 - 15
- 07-23-14 Review of Veolia Contract Close-out
- 08-27-14 Audit of State Transportation Improvement Program Planning, Programming, and Monitoring Program, Program Year 2011-12
- 09-10-14 Investments Compliance, Controls, and Reporting Review, January 1 through June 30, 2014
- 10-08-14 Review of the Administration of Public Records Requests
- 10-08-14 Review of Administrative Employee Training and Employee Educational Reimbursement
- 10-22-14 Review of the Orange County Transportation Authority Vanpool Program
- 11-12-14 Performance Audit of the Orange County Transportation Authority's Continuity Plan
- 12-10-14 Financial and Compliance Audits of Ten Combined Transportation Funding Program Projects
- 12-10-14 Review of Protected Leave Administration
- 02-11-15 Review of Transit Performance Metrics.pdf
- 04-08-15 Review of Facilities Engineering Project Management
- 04-08-15 Investments Compliance, Controls, and Reporting, July 1 through December 31, 2014
- 04-08-15 Federal Transit Administration Drug and Alcohol Compliance Audit
- 05-27-15 Review of Oversight Controls and Contract Compliance Related to the State Route 91 Westbound Widening Project between State Route 57 and Interstate 5.pdf
- 06-10-15 Review of Farebox Revenue Reconciliation and Agreement No. C-3-1723 with Los Angeles Federal Armored Se.pdf
- 06-10-15 Review of Oversight Controls and Contract Compliance Related to Agreement No. C-3-1406 with Applied LNG Technologies, LLC.pdf
- 06-10-15 Review of the ACCESS Eligibility Process and Agreement No. C-0-1937 with CARE Evaluators, LLC.pdf
Fiscal Year 2013 - 14
Fiscal Year 2012 - 13
- 07-11-12 Limited Scope Review of Greater Southern California Towing, Inc
- 08-08-12 Financial and Compliance Audits of Nine Combined Transportation Funding Program Projects
- 08-08-12 Orange County Employees Retirement System Review of Orange County Transportation Authority Payroll Transmittals
- 09-12-12 State Transportation Improvement Program Planning, Programming, and Monitoring Program, Financial and Compliance Audit, Fiscal Year 2009-10
- 09-26-12 Review of the Transit Division Schedule Check Function and the Agreement with Southland Car Counters, Incorporatede
- 10-24-12 Employment and Compensation Review
- 11-14-12 Review of Grievance and Arbitration Process
- 01-28-13 Investments Compliance, Controls, and Accounting Review, January 1 through June 30, 2012
- 02-27-13 Review of Wholesale Pass Sales
- 03-13-13 Performance Audit of Measure M2 Environmental Mitigation Program
- 03-13-13 Review of Orange County Taxi Administration Program Operations
- 04-10-13 Review of Agreement No. C-8-0728 with ShelterCLEAN, Inc.
- 04-24-13 Investments Compliance, Controls, and Reporting, July 1 through December 31, 2012
- 04-24-13 Review of Cooperative Agreements with Adult Day Heathcare Agencies for Paratransit Services
- 05-22-13 Review of Investment Management Contracts for the Bond Proceeds Portfolio
- 06-26-13 Limited Review of the Orangethorpe Railroad Corridor Grade Separation Projects
- 06-26-13 Review of Information Systems Hardware
Annual Financial and Compliance Reports
Fiscal Year 2017-18
Fiscal Year 2016-17
Fiscal Year 2015-16
Annual Financial and Compliance Reports
Fiscal Year 2014-15
Annual Financial and Compliance Reports
TDA Claimant Audit Reports
Fiscal Year 2013-14
Annual Financial and Compliance Reports
TDA Claimant Audit Reports
Fiscal Year 2012-13
Annual Financial and Compliance Reports
TDA Claimant Audit Reports
Fiscal Year 2011-12
Annual Financial and Compliance Reports
TDA Claimant Audit Reports
State & Federal Triennial Audits