Report 2014-120 Recommendation 14 Responses

Report 2014-120: California Public Utilities Commission: It Needs to Improve the Quality of Its Consumer Complaint Data and the Controls Over Its Information Systems (Release Date: April 2015)

Recommendation #14 To: Public Utilities Commission

As part of developing, implementing, and maintaining an entitywide information security program, the commission should develop, implement, and maintain an information security plan as part of its entitywide information security program.

Agency Response*

In progress. CPUC have developed a master written Information Security Policy along with 20 sub-policies addressing specific areas as recommended by NIST and CDT, please see attached documents

  • Response Type†: Annual Follow Up
  • Estimated Completion Date: 6/30/2018
  • Response Date: November 2017

California State Auditor's Assessment of Status: Partially Implemented


Agency Response*

The Commission continues to work to implement an information security program with the addition of staff.

  • Response Type†: Annual Follow Up
  • Estimated Completion Date: 12/30/2018
  • Response Date: October 2016

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


Agency Response*

CPUC has completed the Information Security Assessment and has performed a vulnerability scan and penetration testing to determine areas of risk. Remediation from these scans and the assessment is on-going.

  • Response Type†: 1-Year
  • Completion Date: April 2016
  • Response Date: April 2016

California State Auditor's Assessment of Status: Partially Implemented

The commission explained that as a result of our follow up work, it reevaluated its progress and now believes it has not fully implemented this recommendation. The commission estimates that it will not achieve full compliance with SAM Chapter 5300 until December 2019.

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

Agency Response*

Security plan development is in progress.

  • Response Type†: 6-Month
  • Estimated Completion Date: Ongoing implementation.
  • Response Date: October 2015

California State Auditor's Assessment of Status: Pending


Agency Response*

Security plan development is in progress.

  • Response Type†: 60-Day
  • Estimated Completion Date: April 2016
  • Response Date: June 2015

California State Auditor's Assessment of Status: Pending


All Recommendations in 2014-120

†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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