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.

Agency Response*

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.

  • Response Type†: Annual Follow Up
  • Completion Date: February 2016
  • Response Date: October 2016

California State Auditor's Assessment of 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

Agency Response*

See one-year response.

  • Response Type†: Annual Follow Up
  • Estimated Completion Date: 12/31/2015
  • Response Date: October 2015

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


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.

  • Response Type†: 1-Year
  • Completion Date: August 2014
  • Response Date: June 2015

California State Auditor's Assessment of 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

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.

  • Response Type†: 6-Month
  • Estimated Completion Date: December 31, 2014
  • Response Date: December 2014

California State Auditor's Assessment of 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.


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.

  • Response Type†: 60-Day
  • 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 Status: Pending


All Recommendations in 2013-130

†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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