Report 2014-120 Recommendation 3 Responses

Report 2014-120: California Public Utilities Commission: It Needs to Improve the Quality of Its Consumer Complaint Data and the Controls Over Its Information Systems (Release Date: April 2015)

Recommendation #3 To: Public Utilities Commission

To ensure that policy makers, enforcement officials, and the general public have access to accurate consumer complaint data in CIMS, the branch should continue to implement its quality management team program component focused on reviewing the categorization of complaints and correcting identified errors.

Agency Response*

The Branch's Quality Management Team (QMT) program is on-going. As outlined in the response to Recommendation #4, the QMT team's expertise was utilized in 2017 to staff a ongoing project to automate portions of the quality assurance functions within the Consumer Information Management System (CIMS) database. The Branch was not successful in securing approval for personnel classifications better able to perform the higher level analysis necessary to ensure quality management.

  • Response Type†: Annual Follow Up
  • Estimated Completion Date: 6/30/2018
  • Response Date: November 2017

California State Auditor's Assessment of Status: Pending


Agency Response*

The Branch's Quality Management Team (QMT) program is on-going. As outlined in CPUC's response to Audit Recommendation #4, CAB's multi-year QMT plan has been updated to reflect progress on improvements to the quality assurance processes as well as automation of those processes. A further component of the QMT plan is to pursue resources and approval for personnel classifications better able to perform the higher level analysis necessary to ensure quality management. The appropriate personnel classification for performing such work is a Public Utilities Regulatory Analyst ranging from level 1 to level 3 depending on the complexity of specific case assignments.

  • Response Type†: Annual Follow Up
  • Estimated Completion Date: 1/1/2018
  • Response Date: October 2016

California State Auditor's Assessment of Status: Not Fully Implemented


Agency Response*

The Branch's quality management team program has established an on-going program. This program was outlined in CPUC's response to Audit Recommendation #4 a multi-year plan is being developed to improve quality assurance processes and increase automation of those processes.

  • Response Type†: 1-Year
  • Completion Date: April 2016
  • Response Date: April 2016

California State Auditor's Assessment of Status: Pending

CPUC staff indicate that its Quality Management Team project plan will be complete in September 2016.

  • Auditee did not substantiate its claim of full implementation

Agency Response*

Branch has enhanced its technological capability with regard to reviewing case attributes in the quality management team (QMT) process. Specifically, branch has enhanced the data query tools in CIMS to allow for systematic retrieval and review of all attribute coding associated with any case record.

  • Response Type†: 6-Month
  • Estimated Completion Date: Ongoing implementation.
  • Response Date: October 2015

California State Auditor's Assessment of Status: Pending


Agency Response*

Branch is continuing ongoing efforts to make its quality management team more effective in ensuring that coding errors are identified and addressed.

  • Response Type†: 60-Day
  • Estimated Completion Date: Ongoing
  • Response Date: June 2015

California State Auditor's Assessment of Status: Pending


All Recommendations in 2014-120

†Response Type refers to the interval in which the auditee is providing the State Auditor with their status in implementing recommendations made in an audit report. Auditees must submit a response regarding their progress in implementing recommendations from our reports at three intervals from the release of the report: 60 days, six months, and one year or subsequent to one year.

*Agency responses received after June 2013 are posted verbatim.


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