Report 2013-130 Recommendation 2 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 #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/
- Completion Date: October 2020
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/.
- Estimated Completion Date: 2020 and beyond
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.
- Completion Date: January 2018
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.
- Auditee did not substantiate its claim of full implementation
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.
- Estimated Completion Date: 6/30/2018
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.
- Completion Date: February 2016
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.
- Auditee did not substantiate its claim of full implementation
- Auditee did not address all aspects of the recommendation
Annual Follow-Up Agency Response From October 2015
See one-year response.
- Estimated Completion Date: 12/31/2015
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.
- Completion Date: August 2014
- Response Date: June 2015
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.
- Auditee did not substantiate its claim of full implementation
- Auditee did not address all aspects of the recommendation
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.
- Estimated Completion Date: December 31, 2014
- Response Date: December 2014
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.
- Estimated Completion Date: Prioritization guidelines compled; implementing policy specifying maximum time due Sept. 2014; all other completion dates to be determined.
- Response Date: August 2014
California State Auditor's Assessment of 60-Day Status: Pending
All Recommendations in 2013-130
Agency responses received are posted verbatim.