Report 2013-130 Recommendation 13 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 #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.