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 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.

  • Completion Date: September 2016

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.

  • 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

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.

  • Completion Date: April 2015
  • Response Date: June 2015

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.

  • Auditee did not substantiate its claim of full implementation
  • Auditee did not address all aspects of the recommendation

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.

  • Estimated Completion Date: 1) December 31, 2014. 2) Draft Plan by December 31, 2014; finalized by March 2015.
  • Response Date: December 2014

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.

  • Estimated Completion Date: 1) November 2014. 2) Draft Plan by December 31, 2014; finalized by March 2015.
  • 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.


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