Report 2013-130 All Recommendation Responses

Report 2013-130: California Public Utilities Commission: It Fails to Adequately Ensure Consumers' Transportation Safety and Does Not Appropriately Collect and Spend Fees From Passenger Carriers (Release Date: June 2014)

Recommendation #1 To: Public Utilities Commission

To ensure carrier and public safety, the commission should ensure that the branch develops policies and procedures for receiving complaints and investigating passenger carriers by December 31, 2014. These policies and procedures should ensure that all complaints are entered into the complaints database.

6-Month Agency Response

(a) TEB developed complaint resolution guidelines for the Enforcement Intake Unit to improve consistency and work flow, and to clarify responsibilities. TEB also updated data entry fields and guidelines in its Case Management System. (b) TEB identified information gaps and outdated material in its existing investigative guidelines, and corrected those deficiencies. Guidelines will be easily accessible to staff online. And finally, TEB will review and update the guidelines at least annually, by January 1, to reflect newly-effective legislation and CPUC policy decisions.

Status: Package of comprehensive guidelines under management review.

California State Auditor's Assessment of 6-Month Status: Fully Implemented

The commission provided its Transportation Enforcement Branch guidelines on December 31, 2014. The guidelines included policies and procedures for receiving complaints and investigating passenger carriers. They also include a policy to ensure that all complaints are entered into the complaint database.

60-Day Agency Response

(a) TEB developed complaint procedures for the Enforcement Intake Unit to improve consistency and work flow, and to clarify responsibilities. TEB is also updating data entry fields and procedures in its Case Management System. (b) TEB identified information gaps and outdated material in its existing investigative procedures, and is correcting those deficiencies. New procedures will be reformatted to enhance online viewing and improve staff accessibility. And finally, TEB is developing a new business process to routinize annual review and track modifications.

California State Auditor's Assessment of 60-Day Status: Pending

Recommendation #2 To: Public Utilities Commission

To ensure that it resolves complaints against passenger carriers in a timely manner, the commission should establish a method for prioritizing complaints and it should implement a policy specifying the maximum amount of time between the receipt of a complaint and the completion of the subsequent investigation. Further, the commission should require branch management to monitor and report regularly on its performance in meeting that policy.

Annual Follow-Up Agency Response From November 2020

In CPED's October 2019 Agency Response, CPED committed to resume public posting of a monthly report beginning in November 2019 that includes, among other things, complaint information. Public posting resumed in November 2019 and continues monthly.

CPED also committed to providing the Executive Office quarterly reports beginning January 2020 on CPED's prioritization of complaints and how long it is taking staff to resolve. Beginning with the June 2020 Monthly report, CPED began reporting its performance prioritizing and resolving complaints within the 6- month policy established in 2014 (and referenced in the 2014 Agency update.) These monthly reports are provided to the Executive Office in lieu of a quarterly report.

Reports are located at:

https://www.cpuc.ca.gov/cpedreports/

California State Auditor's Assessment of Annual Follow-Up Status: Fully Implemented

The California Public Utilities Commission (commission) established a policy for prioritizing complaints and specifying the maximum amount of time between receipt of a complaint and the completion of the subsequent investigation. In addition, the commission has required transportation enforcement branch (branch) management to monitor and report regularly on its performance in meeting that policy. For example, branch management reports various performance statistics (such as the number of complaints received and closed, the number of investigations resolved, and the number of days taken to close complaints) in its monthly reports to executive management.

Annual Follow-Up Agency Response From October 2019

In progress. The Consumer Protection and Enforcement Division experienced a change in Division leadership this year, which caused a momentary pause in the collection and reporting of TEB data. CPED also acknowledeges that CSA previously indciated that the monthy data reports were not sufficient to fulfill the recommendation that CPED report regularly on its performance. CPED commits to the following:

Beginning in January 2020, TEB will provide quarterly reports to the Executive Office that will report on TEB's performance, including how well it is prioritizing complaints and how long it is taking staff to complete investigations related to those complaints.

Beginning in November, 2019, CPED will resume compiling and distributing year-to-date statistics on the number of open and resolved complaints, investigation cases, and outcomes on a monthly basis. Public posting of some of the monthly activity data will also resume on the CPUC's website at: https://www.cpuc.ca.gov/cpedreports/.

California State Auditor's Assessment of Annual Follow-Up Status: Pending

Annual Follow-Up Agency Response From October 2018

The CPUC developed and adopted complaint prioritization and completion guidelines in 2014. TEB management reports monthly on the number of open and resolved complaints, investigation cases and outcomes.

California State Auditor's Assessment of Annual Follow-Up Status: Partially Implemented

Although the California Public Utilities Commission (Commission) has established a method for prioritizing complaints, it still has not provided evidence that it monitors and reports regularly on its performance in meeting that policy.

Annual Follow-Up Agency Response From November 2017

TEB guidelines include a prioritization method and specific milestone intervals for complaint investigations. In 2016, TEB developed a new reporting mechanism to regularly report complaint resolution intervals to CPUC leadership.

California State Auditor's Assessment of Annual Follow-Up Status: Pending

Annual Follow-Up Agency Response From October 2016

In February 2016, TEB began to include data on the length of time required to resolve complaints submitted to its Consumer Intake Unit as part of the Safety and Enforcement Division (SED) monthly report. After moving from SED to the Consumer Protection and Enforcement Division, TEB continued to publish complaint resolution time length data as part of its standalone monthly report.

California State Auditor's Assessment of Annual Follow-Up Status: Partially Implemented

Although it has established a method for prioritizing complaints and specifying the maximum amount of time between the receipt of a complaint and the completion of the subsequent investigation, the commission has not provided evidence demonstrating that it requires transportation enforcement branch (branch) management to monitor and report regularly on its performance in meeting that policy. Specifically, it did not provide evidence showing that the branch monitors and specifically reports to executive management on how well it is prioritizing consumer complaints or how long it is taking staff to complete investigations related to those complaints.

Annual Follow-Up Agency Response From October 2015

See one-year response.

California State Auditor's Assessment of Annual Follow-Up Status: Not Fully Implemented

1-Year Agency Response

a) TEB developed prioritization guidelines for the Complaint Intake Unit to, among other efficiencies, enable quick escalation of high-risk safety complaints to the appropriate level. b) TEB determined appropriate milestones for investigations. c) TEB staff reports performance statistics in its Monthly Report to Executive Management.

California State Auditor's Assessment of 1-Year Status: Partially Implemented

Although it has established a method for prioritizing complaints, the California Public Utilities Commission (commission) has not required transportation enforcement branch (branch) management to monitor and report regularly on its performance in meeting that policy. Specifically, the branch does not monitor and specifically report to executive management on how well it is prioritizing consumer complaints or how long it is taking staff to complete investigations related to those complaints. Instead, branch management only reports various performance statistics (such as the number of complaints received and closed, and the number of investigations resolved) in its monthly reports to executive management.

6-Month Agency Response

TEB developed prioritization guidelines for the Complaint Intake Unit to, among other efficiencies, enable quick escalation of high-risk safety complaints to the appropriate level. TEB developed guidelines to categorize the subsequent investigations and apply appropriate completion dates. TEB staff will include performance measurements in its existing Monthly Report to Management.

Status: Package of comprehensive guidelines under management review.

California State Auditor's Assessment of 6-Month Status: Partially Implemented

The commission provided its Transportation Enforcement Branch guidelines on December 31, 2014. These included policies and procedures for prioritizing complaints and specifying the maximum amount of time that between receiving a complaint and completing an investigation. However, the commission has not yet provided evidence that it requires branch management to monitor and report regularly on its performance in meeting that policy.

60-Day Agency Response

TEB developed prioritization guidelines for the Complaint Intake Unit to, among other efficiencies, enable quick escalation of high-risk safety complaints to the appropriate level. TEB has undertaken a Process Flow Review to identify, develop and implement appropriate milestones for complaint resolution. TEB staff will include performance measurements in its existing Monthly Report to Management.

California State Auditor's Assessment of 60-Day Status: Pending

Recommendation #3 To: Public Utilities Commission

To ensure that the branch conducts thorough investigations of passenger carriers, the commission should establish standards specifying the types of evidence that it considers sufficient to determine whether a passenger carrier is operating illegally.

6-Month Agency Response

(Recommendations 3-5) TEB, in consultation with the Legal Division, developed evidence standards for inclusion in the revised investigation guidelines (Recommendation 3). The guidelines incorporate a reference chart of state laws and requirements applicable to passenger carriers. Clear evidence standards will promote greater transparency and consistent application among staff. Further, implementation of such standards afford supervisors an ongoing opportunity to communicate and reinforce management expectations to staff.

Status: Package of comprehensive guidelines under management review.

California State Auditor's Assessment of 6-Month Status: Fully Implemented

The commission provided its transportation enforcement branch guidelines on December 31, 2014. These guidelines specify the types of evidence that it considers sufficient to determine whether a passenger carrier is operating illegally.

60-Day Agency Response

(Recommendations 1-3) TEB, in consultation with the Legal Division, is developing evidence standards for inclusion in the revised investigation procedures (Recommendation 1). The standards will include a reference chart of state laws and requirements applicable to passenger carriers. Clear evidence standards will promote greater transparency and consistent application among staff. Further, implementation of such standards afford supervisors an ongoing opportunity to communicate and reinforce management expectations to staff.

California State Auditor's Assessment of 60-Day Status: Pending

Recommendation #4 To: Public Utilities Commission

To ensure that the branch conducts thorough investigations of passenger carriers, the commission should implement a policy that directs investigators to obtain sufficient evidence to justify determinations and to verify carrier claims that they are no longer operating or are not operating illegally.

6-Month Agency Response

(Recommendations 3-5) TEB, in consultation with the Legal Division, is developing evidence standards for inclusion in the revised investigation procedures (Recommendation 3). The standards will include a reference chart of state laws and requirements applicable to passenger carriers. Clear evidence standards will promote greater transparency and consistent application among staff. Further, implementation of such standards afford supervisors an ongoing opportunity to communicate and reinforce management expectations to staff.

Status: Package of comprehensive guidelines under management review.

California State Auditor's Assessment of 6-Month Status: Fully Implemented

The commission provided its Transportation Enforcement Branch guidelines on December 31, 2014. These guidelines direct investigators to obtain sufficient evidence to justify determinations and to verify carrier claims that they are no longer operating or are not operating illegally.

60-Day Agency Response

(Recommendations 1-3) TEB, in consultation with the Legal Division, is developing evidence standards for inclusion in the revised investigation procedures (Recommendation 1). The standards will include a reference chart of state laws and requirements applicable to passenger carriers. Clear evidence standards will promote greater transparency and consistent application among staff. Further, implementation of such standards afford supervisors an ongoing opportunity to communicate and reinforce management expectations to staff.

California State Auditor's Assessment of 60-Day Status: Pending

Recommendation #5 To: Public Utilities Commission

To ensure that the branch conducts thorough investigations of passenger carriers, the commission should require investigators to review passenger carriers for compliance with each state law relating to passenger carrier requirements.

6-Month Agency Response

(Recommendations 3-5) TEB, in consultation with the Legal Division, is developing evidence standards for inclusion in the revised investigation procedures (Recommendation 3). The standards will include a reference chart of state laws and requirements applicable to passenger carriers. Clear evidence standards will promote greater transparency and consistent application among staff. Further, implementation of such standards afford supervisors an ongoing opportunity to communicate and reinforce management expectations to staff.

Status: Package of comprehensive guidelines under management review.

California State Auditor's Assessment of 6-Month Status: Fully Implemented

The commission provided its Transportation Enforcement Branch guidelines on December 31, 2014. These guidelines included policies and procedures that instruct investigators to review passenger carriers for compliance with the state laws relating to passenger carrier requirements. They also include an investigation checklist.

60-Day Agency Response

(Recommendations 3-5) TEB, in consultation with the Legal Division, is developing evidence standards for inclusion in the revised investigation procedures (Recommendation 3). The standards will include a reference chart of state laws and requirements applicable to passenger carriers. Clear evidence standards will promote greater transparency and consistent application among staff. Further, implementation of such standards afford supervisors an ongoing opportunity to communicate and reinforce management expectations to staff.

California State Auditor's Assessment of 60-Day Status: Pending

Recommendation #6 To: Public Utilities Commission

To ensure that the branch conducts thorough investigations of passenger carriers, the commission should implement a formal training program to ensure that all investigators have adequate knowledge and skills related to regulating passenger carriers.

Annual Follow-Up Agency Response From November 2020

In Oct 2019, CPED committed to collecting and documenting staff training certificates and invoices by Jan 2020. CPED subsequently discovered incomplete records for both training documentation and the training plan moving forward.

To respond to the original Audit recommendation, CPED undertook the development of a comprehensive training guide and tracking spreadsheet, in addition to a specific training plan for the Transportation Enforcement Branch.

Attached to this submittal includes:

- The historic documentation of training records that CPED was able to compile.

- New Division-wide staff training tracking spreadsheet that includes TEB's Training Plan

- New Division-wide staff training guide

CPED is currently implementing the new training materials and will continue to update them as needed.

California State Auditor's Assessment of Annual Follow-Up Status: Fully Implemented

The California Public Utilities Commission (commission) established a training program that specifies the classes investigators are required to take, as well as which of the classes investigators must complete within one year of being hired. The commission has also demonstrated that it is tracking compliance with this training plan. Although the commission indicates it discovered some incomplete training records, its efforts demonstrate an ongoing commitment to fully implement this recommendation.

Annual Follow-Up Agency Response From October 2019

In progress. CPED acknowledges CSA's assessment that CPED has not substantiated our claim of full implementation, and commits to the following:

CPED is in the process of collecting copies of all training certificates and training class invoices to document that the training was provided for each employee. These will be provided to CSA in response to this audit recommendation no later than January 2020.

In addition, CPED will also submit TEB's current Training Plan, which documents:

- the list of training courses that are required and recommended for each staff, beyond those required of all State employees;

- TEB policy on the required timeframe and frequency each training course must be taken;

- a copy of the tracking spreadsheet that TEB uses to track individual employee compliance with the Training Plan.

The Training Plan will be updated periodically as CPED and TEB needs evolve, as training courses and course offerings change, and as new courses are required.

California State Auditor's Assessment of Annual Follow-Up Status: Pending

Annual Follow-Up Agency Response From October 2018

Through position upgrades and an SFL, the CPUC hired analyst-investigators in the Public Utilities Regulatory Analyst (PURA) classifications (PURA I through PURA V), as recommended by the 2017 independent audtit report required by Senate Bill 541. The education, knowledge, skills, experience and required/desired qualifications required of PURA candidates allows TEB to 1) select from the same broad and highly-educated candidate pool as the rest of the CPUC industry divisions, and 2) increase management's expectations regarding staff knowledge, skills, capabilities and work quality/quantity. In addition, TEB maintains the requirement that all enforcement staff a) attend college-level peace officer and investigative skills classes, and b) become experts in the statutes, CPUC decisions and policies, and TEB Investigative Guidelines that govern passenger carrier regulation. TEB also identified and motivated staff to attend a series of classes, primarily those offered through CalHR's Analyst Certificate Program, to improve qualitative and quantitative analysis, written skills, and expertise to develop procedures and to present data. Most analyst-investigators and several supervisors attended at least two classes within the series or offered elsewhere.

California State Auditor's Assessment of Annual Follow-Up Status: Partially Implemented

Although the California Public Utilities Commission (Commission) claims it fully implemented this recommendation, it did not provide evidence to support its claims of full implementation.

Annual Follow-Up Agency Response From November 2017

FY 2017-18 is the first year since the audit that a robust PUCTRA allows for a training budget beyond the two mandatory classes (Investigative Techniques and Peace Officer training). As part of the budget process, TEB identified a series of CALHR courses that will instill the written, verbal, analytical and quantitative skills required to succeed in TEB, and a schedule by which each classification must complete the required training. Current staff will complete the required classes by June 30, 2020. The Plan also identifies supplemental/remedial alternatives.

California State Auditor's Assessment of Annual Follow-Up Status: Pending

Annual Follow-Up Agency Response From October 2016

In July 2016, TEB finalized its mandatory training schedule. The finalized TEB mandatory training schedule establishes procedures regarding when and how frequently TEB requires investigators to attend training sessions. TEB verifies training completion by certificate for one-time external trainings and by attendance for recurring seminar trainings provided by TEB management. TEB informs all investigators of their one-time training requirements upon employment, and the hiring supervisors register new staff at courses offered at selected colleges. In 2016, TEB piloted a series of weekly training sessions, based on topics contained in investigators' enforcement guidelines. For 2017 and beyond, TEB planned a series of monthly seminars, which will be offered to TEB staff statewide and calendared in advance, with invitations sent by the TEB Branch Chief every December.

California State Auditor's Assessment of Annual Follow-Up Status: Partially Implemented

Although the California Public Utilities Commission (commission) established a training program that consists of a training plan specifying the training classes investigators are required to take, it did not provide evidence demonstrating that it informed all investigators of these training requirements. This training plan includes procedures directing investigators when the classes are offered and how frequently they are required to attend the required trainings. It also shows which of the required training classes the investigators must complete within one year of being hired. However, it did not provide documentation demonstrating that it has distributed it to the investigators.

Annual Follow-Up Agency Response From October 2015

See one-year response.

California State Auditor's Assessment of Annual Follow-Up Status: Not Fully Implemented

1-Year Agency Response

TEB rolled out an in-house survey in November 2014 to solicit staff input regarding remedial training needs, and developed a formal training program based on the results in December 2014. TEB investigators attended a required week-long investigative techniques course in October 2014 or April 2015, offered through Rio College. Course materials form the backbone of the formal TEB training program, supplemented by other effective and low-cost online and in-house training options. And finally, TEB held a three-day internal workshop in March 2015 to, among other tasks,refine and confirm training needs.

California State Auditor's Assessment of 1-Year Status: Partially Implemented

Although the California Public Utilities Commission (commission) sent investigators to an investigative techniques training and established a training program, it has not yet fully implemented this program. This program consists of a training plan specifying the training classes investigators are required to take. However, the commission did not establish procedures or otherwise direct investigators when and how frequently they are required to attend the required trainings. The commission drafted a schedule showing which of the required training classes the investigators must complete within one year of being hired. However, it has not yet finalized this draft schedule or distributed it to the investigators.

6-Month Agency Response

TEB conducted individual surveys this Fall to identify staff training needs, identified in-house and external training opportunities, and prepared a formal training program.

Status: In progress

California State Auditor's Assessment of 6-Month Status: Partially Implemented

The commission provided its Transportation Enforcement Branch training plan on December 31, 2014. This training plan identifies relevant training for investigators along with potential dates and costs. However, the commission did not yet provide evidence that it has directed investigators to take these trainings.

60-Day Agency Response

To jump-start training program efforts, TEB staff will attend a week-long investigative techniques course in October 2014, offered through Rio College. Course materials will form the backbone of the formal TEB training program, supplemented by other effective and low-cost online and in-house training options. And finally, TEB will roll out an in-house survey this Fall to solicit staff input regarding remedial training needs.

California State Auditor's Assessment of 60-Day Status: Pending

Recommendation #7 To: Public Utilities Commission

To better ensure passenger carrier and public safety, the commission should create a system to determine when a carrier merits a penalty and what the magnitude of the penalty should be. In addition, to be an effective deterrent, the amount of such penalties should be more consistent with what state law permits.

Annual Follow-Up Agency Response From October 2016

In March 2016, TEB developed an illustrative chart identifying the types of violations it encounters, the associated Code authority, and the appropriate fine for each type of violation. The chart further provides guidance as to when fines should be escalated based on criteria such as number of past violations, severity of the violation, and past refusal to comply with directives. In July 2016, TEB revised its investigators' enforcement guidelines to include the chart, as well as a sample citation case study and penalty analysis based on an actual prior investigation.

California State Auditor's Assessment of Annual Follow-Up Status: Fully Implemented

We confirmed that the commission created a system to determine when a carrier merits a penalty and what the magnitude of the penalty should be consistent with what state law permits. The commission included these instructions in its revised enforcement guidelines.

Annual Follow-Up Agency Response From October 2015

See one-year response.

California State Auditor's Assessment of Annual Follow-Up Status: Not Fully Implemented

Annual Follow-Up Agency Response From October 2015

See one-year response.

California State Auditor's Assessment of Annual Follow-Up Status: Not Fully Implemented

1-Year Agency Response

TEB, with Legal Division staff, developed a citation policy to help staff determine allowable penalty amounts by violation category, and guidelines to harmonize penalty amounts with enforcement and litigation strategies.

California State Auditor's Assessment of 1-Year Status: Partially Implemented

Although the California Public Utilities Commission developed transportation enforcement branch guidelines, which include a section related to penalties, it did not create a system to determine or specify when a carrier merits a penalty and what the magnitude of the penalty should be. Instead, the commission's guidelines are very high level and only state there are two types of citations and that one type may be issued in amounts ranging from the statutory minimum up to $10,000 and the other may be issued in amounts ranging from $10,000 to $20,000. However, it does not provide a guide or explain how to determine the magnitude of penalty a particular violation should receive.

6-Month Agency Response

TEB and Legal Division staff developed citation guidelines for staff to determine allowable penalty amounts by violation category, and guidelines to harmonize penalty amounts with enforcement and litigation strategies. Citation guidelines will also assist administrative law judges to clearly identify how TEB calculated fines, and aid the ALJ in his/her decision to reduce or increase fines within a violation category.

Status: Package of comprehensive guidelines under management review.

California State Auditor's Assessment of 6-Month Status: Partially Implemented

The commission provided its Transportation Enforcement Branch guidelines on December 31, 2014. These guidelines include a description of the two types of citations and a broad range (up to $10,000 and $10,000-$20,000) of penalty for each type. However, they do not specify how an investigator should determine the magnitude of the penalty necessary in individual cases.

60-Day Agency Response

TEB is working with Legal Division staff to create a citation policy to help staff determine allowable penalty amounts by violation category, and guidelines to harmonize penalty amounts with enforcement and litigation strategies.

California State Auditor's Assessment of 60-Day Status: Pending

Recommendation #8 To: Public Utilities Commission

The commission should require staff to examine and formally report on the feasibility of impounding the vehicles of passenger carriers that refuse to comply with commission orders or that refuse to pay citation penalties and also on the feasibility of making use of the Tax Board's program for intercepting income tax refunds, lottery winnings, and unclaimed property payments to collect unpaid citation penalties.

Annual Follow-Up Agency Response From October 2016

TEB's formal report on impound feasibility and Tax Board collaboration is posted on the CPUC website

California State Auditor's Assessment of Annual Follow-Up Status: Fully Implemented

The commission published a report regarding the feasibility of impounding the vehicles of passenger carriers and also on the feasibility of making use of the Tax Board's program for intercepting income tax refunds, lottery winnings, and unclaimed property payments to collect unpaid citation penalties.

Annual Follow-Up Agency Response From October 2016

1) The TEB Report regarding the feasibility of impounding passenger carrier vehicles is posted on the CPUC website. In sum, CA Public Utilities Code 1046(b) et seq authorizes peace officers to impound vehicles, but not the CPUC. For example, LAX routinely impounds vehicles driven by unlicensed and noncompliant carriers. PU Code 1044 allows the CPUC to petition for an injunction, including vehicle impounds, in Superior Court. 2) As stated in TEB's 2016 Annual Plan, TEB will complete protocols and safeguards to enable individual sting operations with pre-paid credit cards in December 2016, under guidance from the Department of General Services. The CPUC obtained full cooperation from the CHP to impound vehicles of noncompliant carriers on behalf of the CPUC once DGS approves the CPUC's credit card-handling protocols. 3) State Accounting rules (obtain cite from Fiscal) prohibit TEB from pursuing fine collection, as the entity that issues the citation and resulting fine may not conduct collection activities. The CPUC Fiscal Office routinely issues collection letters to recover outstanding or delinquent fines. The CPUC could also pursue fine recovery through a contract with a collection agency or through civil or small claims court. 4) In 2016, TEB learned that the CPUC enrolled in the Franchise Tax Board's Income Intercept Program in (month, year), which enables the CPUC to make claims to collect unpaid fines owed by sole proprietors through Social Security numbers.

California State Auditor's Assessment of Annual Follow-Up Status: Not Fully Implemented

Annual Follow-Up Agency Response From October 2015

See one-year response.

California State Auditor's Assessment of Annual Follow-Up Status: Not Fully Implemented

1-Year Agency Response

TEB and the Franchise Tax Board have discussed a potential partnership or collaboration possibilities. The CPUC will enroll in FTB's Interagency Intercept Collection Program in July 2015.

California State Auditor's Assessment of 1-Year Status: Pending

6-Month Agency Response

TEB and the Franchise Tax Board have discussed potential partnership/collaboration possibilities and challenges. TEB concludes that the most feasible and least-cost approach to step up collection of fines and penalties, as well as to assist the Fiscal Office with audits, is to obtain an individual with financial auditing and collection skills. TEB seeks to aquire those skills through a position upgrade or request.

Status: In progress. CPUC plans to submit position request to DOF in next budget cycle.

California State Auditor's Assessment of 6-Month Status: Pending

60-Day Agency Response

TEB and the Franchise Tax Board have discussed potential partnership or collaboration possibilities. Next step is to develop a preliminary impound and towing program and quantify associated costs and anticipated revenues. TEB will evaluate each enforcement option and report the results to the Commissioners.

California State Auditor's Assessment of 60-Day Status: Pending

Recommendation #9 To: Public Utilities Commission

To ensure that passenger carriers submit accurate fee payments, the commission should require its fiscal staff to implement a process to verify passenger carrier fee payments and associated revenue.

Annual Follow-Up Agency Response From November 2020

The audit function resumed in January 2020 and we have new audit staff dedicated in performing this function now. In addition, the new Transportation Carrier Portal, which will be implemented in May will allow Accounting to secure these required documents online.

California State Auditor's Assessment of Annual Follow-Up Status: Fully Implemented

The commission developed an audit process for its fiscal staff to follow to verify passenger carrier fee payments and associated revenue. It also provided evidence demonstrating that it has implemented this process by completing some of these audits.

Annual Follow-Up Agency Response From October 2019

Pending. CPUC has had to redirect the audit staff to help with FI$Cal transition. March 1, 2019, Fiscal Office will redirect staff back to audits and proceed. First audit expected to be completed 9/30/19. Did not happen in FY 18-19 as the audit person hired helped in Year-end Fi$cal close. GL unit only has 2 reconcilers with 28 funds to reconcile. Once FY-18-19 is close the audit person can start doing it in the new FY.

California State Auditor's Assessment of Annual Follow-Up Status: Pending

Annual Follow-Up Agency Response From October 2018

The Fiscal Office has hired an audit staff to complete this function. No audits have been completed yet; staff was brought on board 5/31/2018. Expected to have completed transportation audits by 12/31/2018. Previous incumbents in this position have not stayed long and is a difficult position to fill.

California State Auditor's Assessment of Annual Follow-Up Status: Pending

Annual Follow-Up Agency Response From November 2017

The Fiscal Office has secured an Auditor I position through a BCP to conduct preliminary risk-based audits of the revenues. However, due to issues staffing the position, only the basic audit plan has been developed and no audits have been completed. The Fiscal Office is looking for options with other CPUC divisions to try to find a place for the position and workload that have more promotional opportunity that would keep incumbents in the position for a longer time.

California State Auditor's Assessment of Annual Follow-Up Status: Pending

Annual Follow-Up Agency Response From October 2016

An auditor position within the Fiscal Office was approved as part of the FY15-16 budget process to perform audits of self-reported revenue various regulated entities, including transportation carriers. pursuant to the audit protocol and process previously developed. The FY 15-16 budget took effect July 1, 2015 and after completion of the application and selection process, a new auditor was brought onboard October 1, 2016. The new auditor is currently being trained and is expected to begin auditing responsibilities in December 2016.

California State Auditor's Assessment of Annual Follow-Up Status: Not Fully Implemented

Annual Follow-Up Agency Response From October 2016

This is an ongoing process, implementation is underway; CPUC will consider this corrective action fully completed when the first audited claims are turned over to the Collections Unit, TEB or attorneys. MM Update: After hiring difficulties, employee hired 10/1/16 (BCP for position approved 7/1/15). Currently training staff, anticipate to have first audit completed by 12/31/16.

California State Auditor's Assessment of Annual Follow-Up Status: Not Fully Implemented

Annual Follow-Up Agency Response From October 2015

See one-year response.

California State Auditor's Assessment of Annual Follow-Up Status: Not Fully Implemented

1-Year Agency Response

CPUC developed an audit protocol as a means to verify self-reported revenue of passenger carriers submitting user fee payments to the Transportation Account (Fund 0461). Fiscal Office staff in the Cashiering Unit is responsible for conducting audits and reviewing utility financial records against self-assessed user fees calculations, and revenues received. CPUC is documenting this process in its entirety; If revenues are found to be insufficient, the case will turned over to the Collections Unit, the Transportation Enforcement Branch (TEB) or CPUC attorneys for consequential action.

California State Auditor's Assessment of 1-Year Status: Partially Implemented

Although the California Utilities Commission has developed an audit protocol and process to verify passenger carrier fee payments and associated revenue, it has not yet fully implemented this process.

6-Month Agency Response

CPUC has developed an audit protocol as a means to verify self-reported revenue of passenger carriers submitting user fee payments to the Transportation Account (Fund 0461). Fiscal Office staff in the Cashiering Unit will be responsible for conducting audits and reviewing utility financial records against self-assessed user fees calculations, and revenues received. CPUC is documenting this process in its entirety; If revenues are found to be insufficient, the case will turned over to the Collections Unit, the Transportation Enforcement Branch (TEB) or CPUC attorneys for consequential action.

This is an ongoing process, implementation is underway; CPUC will consider this corrective action fully completed when the first audited claims are turned over to the Collections Unit, TEB or attorneys.

California State Auditor's Assessment of 6-Month Status: Partially Implemented

The commission developed an audit process and checklist for its fiscal staff to follow to verify passenger carrier fee payments and associated revenue. However, as indicated in its response, the commission has not yet conducted these audits.

60-Day Agency Response

CPUC has developed an audit protocol as a means to verify self-reported revenue of passenger carriers submitting user fee payments to the Transportation Account (Fund 0461). Fiscal Office staff in the Cashiering Unit will be responsible for conducting audits and reviewing utility financial records against self-assessed user fees calculations, and revenues received. CPUC is documenting this process in its entirety; If revenues are found to be insufficient, the case will turned over to the Collections Unit, the Transportation Enforcement Branch (TEB) or CPUC attorneys for consequential action.

California State Auditor's Assessment of 60-Day Status: Partially Implemented

Recommendation #10 To: Public Utilities Commission

To ensure that it complies with state law and uses passenger carrier fees appropriately, the commission should implement a process to ensure that passenger carrier fee revenues more closely match related enforcement costs.

Annual Follow-Up Agency Response From November 2020

With the Fiscal/Accounting audit protocol, methods and processes implementation, coordination with Program, Accounting and Budgets on monitoring the billing and collections, is done regularly. Revenue and expenditure reports are being shared monthly or as needed to ensure accuracy of balances. Revenues and expenditures are compared during annual drafting of resolution to come up with a reasonable user fee rate. The most current resolution will be voted in December 2020.

California State Auditor's Assessment of Annual Follow-Up Status: Fully Implemented

The California Utilities Commission implemented a process to ensure that passenger carrier fee revenues more closely match related enforcement costs.

Annual Follow-Up Agency Response From October 2019

Accounting coding and Governor's budget has been reconfigured to track expenditures by regulated entity type (transportation carriers in this instance.) Accounting reports are provided monthly (delay now because of FI$Cal implementation) to division staff for review showing coding of expenditures. During drafting of annual resolution setting user fee rate, revenues and expenditures are compared and rate is adjusted. Due to delay in closing the books in Fiscal, Hopefully, in the coming year, Accounting reports will be timely shared to divisions.

California State Auditor's Assessment of Annual Follow-Up Status: Pending

Annual Follow-Up Agency Response From October 2018

TEB and the Commission's Fiscal Office jointly undertook a comprehensive review at the beginning of FY 17-18 of home based default coding to correspond with areas of specific regulatory activity performed and reflected in CPUC employee time sheets. The exercise has concluded and coding is now accurate.

California State Auditor's Assessment of Annual Follow-Up Status: Partially Implemented

Although the California Public Utilities Commission (Commission) asserts it fully implemented this recommendation, it did not provide evidence to support its claims of full implementation or that it implemented a process to ensure that passenger carrier fee revenues more closely match related enforcement costs.

Annual Follow-Up Agency Response From November 2017

The CPUC annually reviews the revenues and expenditures of the passenger carriers and updates the user fee rate accordingly to more align proportionate revenues and expenditures.

California State Auditor's Assessment of Annual Follow-Up Status: No Action Taken

Despite repeated requests, commission staff did not provide any documentation supporting its claim that it has fully implemented this recommendation.

Annual Follow-Up Agency Response From October 2016

The Commission has developed multiple processes to ensure revenue from passenger carrier fees more closely match related enforcement costs, including: modifying accounting coding structure to code revenue and expenditure transactions by industry, annually reviewing user fee rates in coordination with budget forecasting, and increased oversight of position control and personnel expenditures.

California State Auditor's Assessment of Annual Follow-Up Status: Partially Implemented

The California Utilities Commission did not provide documentation to demonstrate that it has developed multiple processes to ensure that passenger carrier fee revenues more closely match related enforcement costs.

Annual Follow-Up Agency Response From October 2015

See one-year response.

California State Auditor's Assessment of Annual Follow-Up Status: Not Fully Implemented

1-Year Agency Response

The CPUC has developed a draft process and decision-making model for how the agency will annually assess user fees associated with all relevant funds, and is working to incorporate this process into annual fund forecasting processes it is also developing. The final process adopted by CPUC will 1) Clearly identify roles and responsibilities within the agency (Budget Office, Divisions, etc.), 2) Document all methodologies and assumptions used in budget forecasting and user fee analysis, and 3) Become integrated into the agency's annual budget process. The CPUC will incorporate the results of the agency's zero-based budget efforts for Budget Year 2015-16 into the expenditure forecasting for all funds.

California State Auditor's Assessment of 1-Year Status: Partially Implemented

The California Utilities Commission has not yet adopted a final process to ensure that passenger carrier fee revenues more closely match related enforcement costs.

6-Month Agency Response

The CPUC has developed a process and decision-making model for how the agency will annually assess user fees associated with all relevant funds, and is working to incorporate this process into annual fund forecasting processes it has developed. The ultimate process will 1) Clearly identify roles and responsibilities within the agency (Budget Office, Divisions, etc.), 2) Document all methodologies and assumptions used in budget forecasting and user fee analysis, and 3) Become integrated into the agency's annual budget process. The CPUC will incorporate the results of the agency's zero-based budget efforts for Budget Year 2015-16 into the expenditure forecasting for all funds.

Budget forecasting process has been completed for FY 2015; CPUC will consider adjusting transportation user fees (based on materialized revenues and forecasting analysis) for FY 2015-16. Any fee adjustments would occur in December 2015 as part of the Commission's regular user fee resolution adoption process for Fund 0461.

California State Auditor's Assessment of 6-Month Status: Pending

60-Day Agency Response

The CPUC has developed a draft process and decision-making model for how the agency will annually assess user fees associated with all relevant funds, and is working to incorporate this process into annual fund forecasting processes it is also developing. The final process adopted by CPUC will 1) Clearly identify roles and responsibilities within the agency (Budget Office, Divisions, etc.), 2) Document all methodologies and assumptions used in budget forecasting and user fee analysis, and 3) Become integrated into the agency's annual budget process. The CPUC will incorporate the results of the agency's zero-based budget efforts for Budget Year 2015-16 into the expenditure forecasting for all funds.

California State Auditor's Assessment of 60-Day Status: Pending

Recommendation #11 To: Public Utilities Commission

To ensure that it does not further overcharge the transportation account, the commission should require the branch to review annually all branch staff funding distributions and align them with recent time charges.

Annual Follow-Up Agency Response From September 2015

We have a policy in place requiring BCOs to do an annual review of home based codes against their timesheets. The review is performed under the guidance of a new SSM I in the Budget Office who works exclusively on position and budget control for all CPUC positions.

California State Auditor's Assessment of Annual Follow-Up Status: Fully Implemented

In July 2015, the California Public Utilities Commission implemented a budget control officer (BCO) manual, which includes a policy that requires BCOs to annually review branch staff funding distributions and align them with recent time charges.

6-Month Agency Response

CPUC now requires all Division BCOs to annually review salary allocations for Division staff compared to actual timesheet submissions, current responsibilities, and job functions and make adjustments as necessary. This will be implemented as a phased process, which began with the Transportation Enforcement Branch which includes staff that are funded by multiple special funds associated to the work they do. The Branch is realigning funding codes and/or adjusted employee duties and responsibilities to more accurately reflect the effort that should be spent in each work area. As noted by the audit, as of April 1, 2014, CPUC implemented a new policy that requires Divisions to submit justification and documentation to set the funding distribution for a new employee or an employee that is changing positions with the CPUC. This is reviewed and approved by the CPUC Budget Office for completeness and potential impacts on fund appropriations before being processed.

Status: The salary allocation review policy has been completed. Updates to transportation salary allocations and/or updated duty statements will be finalized in February 2015. The Budget Office has developed guidance for other Division BCOs for how to update staff salary allocations against timesheets, and will schedule the next round of updates for February 2015. This timeline aligns with updates to the agency's cost allocation plan.

California State Auditor's Assessment of 6-Month Status: Pending

60-Day Agency Response

CPUC now requires all Division BCOs to annually review salary allocations for Division staff compared to actual timesheet submissions, current responsibilities, and job functions and make adjustments as necessary. This will be implemented as a phased process, which began with the Transportation Enforcement Branch which includes staff that are funded by multiple special funds associated to the work they do. The Branch is realigning funding codes and/or adjusted employee duties and responsibilities to more accurately reflect the effort that should be spent in each work area. As noted by the audit, as of April 1, 2014, CPUC implemented a new policy that requires Divisions to submit justification and documentation to set the funding distribution for a new employee or an employee that is changing positions with the CPUC. This is reviewed and approved by the CPUC Budget Office for completeness and potential impacts on fund appropriations before being processed.

California State Auditor's Assessment of 60-Day Status: Partially Implemented

Recommendation #12 To: Public Utilities Commission

To detect and deter carriers from operating illegally at airports, the branch should use as intended the five positions added for passenger carrier enforcement at airports. If the branch chooses not to designate five positions solely for this purpose, then it must be prepared to demonstrate regularly that an equivalent number of full-time positions are working on this activity.

Annual Follow-Up Agency Response From November 2020

In the Oct 2019 Agency Response, CPED committed to evaluating the demand for transportation enforcement activity at California airports. In Jan 2020, CPED provided the Auditor with an initial report (attached), that justified an increase of 1 PY to enhance airport enforcement.

Since Jan 2020, CPED has completed a comprehensive evaluation of its enforcement priorities, reorganized its Transportation Enforcement team, and has increased its contact with airport authorities and enforcement coverage of the major airports. Six enforcement staff are now dedicating a portion of their time to monitoring carrier activity at major airports across California on a weekly basis, including ground surveillance and coordination with airport police. Due to COVID-19, direct engagement with carriers remains limited, however, the enforcement team is actively monitoring conditions, remains in contact with the airport authorities, and prepares to change its enforcement approach as conditions warrant.

California State Auditor's Assessment of Annual Follow-Up Status: Partially Implemented

The California Public Utilities Commission (Commission) did not use as intended the five positions added for passenger carrier enforcement at airports, and it did demonstrate that an equivalent number of full-time positions are working on this activity. The Commission provided some documents to demonstrate that it has about three full-time equivalent positions working on this activity and estimates that it will have more than five full-time equivalent positions performing this work after COVID-19 restrictions subside.

Annual Follow-Up Agency Response From October 2019

In progress. As of October, 2019, TEB has 1 full time investigator at LAX and a part-time presence in Northern California at SFO and San Jose airports. The San Jose Airport agreement referenced previously was not finalized, although TEB staff continue to train LAX and SFO airport police and carriers on a regular basis, and will continue to pursue such training opportunities at other California airports.

Recognizing the importance of addressing this audit recommendation, the new CPED Director has directed an evaluation of the demand for transportation enforcement activity in California, with a specific assessment of the enforcement demand at airports, in order to prioritize the location of enforcement resources. TEB will produce an initial report by the end of 2019 that identifies the highest priority needs for transportation enforcement in California that will inform the immediate assessment of whether shifting resources within TEB to focus on the airports is warranted relative to other priority locations and activities.

To address enforcement demands, CPED will consider re-prioritizing existing enforcement resources to the airports, and/or using contract funding to enter into enforcement agreements with airport and local law enforcement agencies to increase enforcement coverage at the airports

California State Auditor's Assessment of Annual Follow-Up Status: Pending

Annual Follow-Up Agency Response From October 2018

The CPUC and SFO signed an agreement. San Jose Airport is still reviewing the CPUC's draft proposal. The CPUC also backfilled the Northern California Airport Investigator position. The investigator works at SFO at least three days each week, and routinely visits the San Jose and Oakland airports. The CPUC still maintains a full-time presence at LAX, and conducted xx airport inspections or enforcement projects in 2018.

California State Auditor's Assessment of Annual Follow-Up Status: Pending

The California Public Utilities Commission (Commission) did not provide evidence to support its claims of full implementation.

Annual Follow-Up Agency Response From November 2017

The CPUC has composed draft agreements with both San Jose Airport and San Francisco Airport. TEB will be hiring a Northern California Aiport investigator to backfill the vacancy for this position within the next two weeks, after which the agreements will be finalized and airport enforcement will continue under the agreed terms and at greater frequency.

California State Auditor's Assessment of Annual Follow-Up Status: Pending

Annual Follow-Up Agency Response From November 2017

The CPUC has composed draft agreements with both San Jose Airport and San Francisco Airport. TEB will be hiring a Northern California Aiport investigator to backfill the vacancy for this position within the next two weeks, after which the agreements will be finalized and airport enforcement will continue under the agreed terms and at greater frequency.

California State Auditor's Assessment of Annual Follow-Up Status: Pending

Annual Follow-Up Agency Response From October 2016

In August 2016, TEB completed the process to return all five of the identified airport enforcement positions to their appropriate enforcement sections. One of these positions is currently filled. TEB posted the remaining four for interested applicants, and expects to conclude the review and selection process in November 2016. To ensure availability of airport enforcement work, TEB is drafting airport partnership plans, which it expects to circulate to the airports in late 2016.

California State Auditor's Assessment of Annual Follow-Up Status: Not Fully Implemented

Annual Follow-Up Agency Response From October 2016

On March 23, 2016, the CPUC Executive Director communicated to State Auditor Elaine Howle that the CPUC intends to comply fully with Recommendation 12. The CPUC identified the specific positions intended to conduct airport enforcement. Of the five, three positions were located in the transportation enforcement section, one in the transportation license section, and one outside of TEB. The CPUC returned all positions to airport enforcement, posted the vacancies and expects to fill the vacancies by November 15, 2016. As stated in TEB's 2016 Annual Plan, TEB is drafting a formal airport partnership plan to locate the equivalent of those five positions among California's major airports. Right now, only LAX authorizes the CPUC to locate enforcement staff onsite; TEB consistently maintains one full-time inspector at LAX. While TEB maintains a close relationship with all airports and coordinates joint inspections, there is not enough airport work to occupy five inspectors unless the CPUC obtains agreements with the major airports.

California State Auditor's Assessment of Annual Follow-Up Status: Not Fully Implemented

Annual Follow-Up Agency Response From October 2015

See one-year response.

California State Auditor's Assessment of Annual Follow-Up Status: Will Not Implement

1-Year Agency Response

CPUC began the transition of five positions to new passenger carrier enforcement activity at California airports beginning August 2014. CPUC also refined its Work Tracking System (WTS) to better define and track work associated with airport enforcement. TEB Management reviews WTS monthly, and adjusts workload as appropriate. Historically, TEB's annual investigatory workload is approximately 60% passenger carriers and 40% household goods carriers. Investigators are cross-trained to work on both types of cases. Five investigators dedicated to airports results in a loss equivalent to two full time investigators to the household goods program. The CPUC must retain the flexibility to investigate the highest priority cases, regardless of carrier classification.

California State Auditor's Assessment of 1-Year Status: Will Not Implement

It is troubling that the California Public Utilities Commission (commission) does not plan to implement our recommendation. As we describe in pages 34 through 37 of our report, because the transportation enforcement branch (branch) does not use the five positions the Legislature authorized to conduct passenger carrier enforcement at major airports, it may not be catching and deterring unlicensed passenger carriers operating at major California airports as the Legislature intended. We found that the commission transferred one of these five staff to work in a completely different branch unrelated to transportation enforcement, and the remaining four staff spent more time working on household good carrier investigations and licensing activities than passenger carrier enforcement. Consequently, the branch inappropriately uses funds from the transportation account, which benefited from a fee increase tied to what was supposed to be five new positions working on passenger carrier enforcement at major airports, to compensate for work associated with other activities. Therefore, we concluded that the commission should either reduce revenues by lowering fees on passenger carriers or it should increase its enforcement activities by using the positions as authorized by the Legislature. However, the commission is doing neither.

6-Month Agency Response

TEB dedicated the equivalent of five positions to passenger carrier enforcement at California airports. TEB also refined its Work Tracking System to better define and track work associated with airport enforcement, which enables management to rebalance workload as necessary to maintain the five-person allocation. Currently, such reviews take place quarterly.

Status: Ongoing. The first two reviews indicate the need for continued monitoring and supervision over staff entries into the work tracking system.

California State Auditor's Assessment of 6-Month Status: Pending

Recommendation #13 To: Public Utilities Commission

To strengthen its leadership and ensure passenger carrier and public safety, the branch should produce a draft strategic plan by December 31, 2014, with a final strategic plan completed as the commission specifies. The strategic plan should include goals for the program; strategies for achieving those goals, including strategies for staff development and training; and performance measures to assess goal achievement.

Annual Follow-Up Agency Response From October 2019

Completed. In 2018, TEB and TLAB convened all-day workshops to create Guiding Statements (Mission, Vision, Values) for their strategic plans. To complete a draft strategic plan, TLAB and TEB identified high-level strategic goals achievable in 3-5 years, and objectives to achieve each high-level goal and time-bound performance measures. The strategic objectives are created at a sufficient level of detail and specificity such that they can be implemented as projects. As these projects are assigned by branch supervisors, project leaders will develop action plans and provide regular status updates to their supervisors, keeping them informed of progress and highlighting issues and any additional support that may be needed.

TLAB and TEB began implementing the objectives in these plans In February 2019 while awaiting the hiring of a new CPED Director. TEB and TLAB are now in process of briefing the new Director on current activities related to the implementation of the Strategic Plans.

California State Auditor's Assessment of Annual Follow-Up Status: Fully Implemented

The branch implemented a strategic plan in January 2019 that includes goals for the program; strategies for achieving those goals, including strategies for staff development and training; and performance measures to assess goal achievement.

Annual Follow-Up Agency Response From October 2018

"In 2018, the Legislature approved new resources for the Transportation Program and endorsed a reorganization whereby enforcement functions were split off from licensing and analysis. The new Program Manager overseeing licensing and analysis assumed his position on August 31, 2018, which enabled the program to tackle outstanding audit obligations such as strategic planning.

The Transportation Program (TEB and TLAB) will produce a draft strategic plan by February 28, 2019, with a final strategic plan completed as the commission specifies. The plan will include:

- Guiding Statements (Mission, Vision, Values) for the overall Transportation Program

- High-Level Strategic Goals achievable in 3-5 years

- Objectives to achieve each High-Level Strategic Goal; these objectives will be specific, time-bound, and have performance measures

- Action plans and tracking for achieving the objectives

- Strategies for staff development and trainingThrough a 2018-19 SFL, the CPUC sought and received five high-level supervisory and analytical positions for the transportation program, which enabled TEB to split into two Branches in September 2018: the existing TEB and the new Transportation License and Analysis Branch (TLAB). The high-level staff possess the skills and experience to engage the branches in strategic planning, and intend to develop a strategic plan by March 2019."

California State Auditor's Assessment of Annual Follow-Up Status: Pending

Annual Follow-Up Agency Response From November 2017

TEB has been unable to adequately plan future activity due to the open question regarding the fate of transportation regulation at the CPUC. Following the Governor's announcement that transportation duties would be moving out of the CPUC in June of 2016, planning was put on hold. After budget discussions in early 2017, it was agreed to put comprehensive transportation reform into SB 19 (Hill), which passed the Legislature, was signed by the Governor, becomes law on January 1, 2018, and will be implemented effective July 1, 2018. TEB will be unable to dedicate time to strategic planning in FY 17-18 due to lack of staffing resources and a need to dedicate substantial amounts of time to working with the Department of Consumer Affairs to ensure a smooth transition of regulatory authority over household goods movers over the remainder of the fiscal year.

California State Auditor's Assessment of Annual Follow-Up Status: Pending

Annual Follow-Up Agency Response From October 2016

TEB's 2016 Annual Plan includes a new section on long-term goals. The 2016 Annual Plan also includes performance measures for all goals outlined.

California State Auditor's Assessment of Annual Follow-Up Status: Partially Implemented

The branch did not provide evidence demonstrating that it has drafted a strategic plan that focuses on its long-term goals and strategies for transportation enforcement as we recommended. Although it provided an updated annual plan dated July 2016 that describes its high-level plan and strategies for performance reporting and staff development and training, this annual plan does not clearly describe its long-term goals for the enforcement program, the strategies for achieving those goals, or the performance measures to assess goal achievement.

Annual Follow-Up Agency Response From October 2015

See one-year response.

California State Auditor's Assessment of Annual Follow-Up Status: Not Fully Implemented

1-Year Agency Response

CPUC redeployed two analysts to TEB with the appropriate skillsets to develop two planning documents: 1) a 2-3 Year Strategic Plan and 2) an Annual Work Plan. In March 2015, TEB held a three-day workshop to, among other taks, brainstorm projects to include in the TEB 2015 Annual Plan. Also in March 2015, the CPUC completed an agency-wide Safety Policy Implementation Plan, which includes implementation strategies very similar to the BSA recommendation (training, development and evaluation metrics.) In June 2015, the CPUC engaged a consultant to help develop an agency-wide strategic plan.

California State Auditor's Assessment of 1-Year Status: Partially Implemented

First, the transportation enforcement branch (branch) has not yet drafted a strategic plan that focuses on its long-term goals and strategies for transportation enforcement as we recommended. So far, it has only developed an annual plan that only addresses the branch's goals and strategies for one year (through the end of 2015).

Although the branch recently developed an annual plan that includes goals and strategies for achieving those goals, including strategies for staff development and training. However, the branch did not establish or include any performance measures to assess goal achievement.

6-Month Agency Response

CPUC redeployed two analysts to TEB with the appropriate skillsets to develop two planning documents: 1) an Annual Work plan and 2) a 2-3 Year Strategic Plan. CPUC recently adopted a Safety Policy which includes implementation strategies very similar to the BSA recommendation (training, development and evaluation metrics.

Status: Under final management review.

California State Auditor's Assessment of 6-Month Status: Partially Implemented

The commission provided its Draft Strategic Plan on December 31, 2014. The plan includes goals and strategies for achieving those goals, including strategies for staff development and training. However, it does not yet include performance measures to assess goal achievement.

60-Day Agency Response

CPUC redeployed two analysts to TEB with the appropriate skillsets to develop two planning documents: 1) an Annual Work plan and 2) a 2-3 Year Strategic Plan. CPUC recently adopted a Safety Policy which includes implementation strategies very similar to the BSA recommendation (training, development and evaluation metrics.

California State Auditor's Assessment of 60-Day Status: Pending

All Recommendations in 2013-130

Agency responses received are posted verbatim.