Report 2013-130 Recommendation 6 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 #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

All Recommendations in 2013-130

Agency responses received are posted verbatim.