Report 2014-120 Recommendation 3 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 #3 To: Public Utilities Commission
To ensure that policy makers, enforcement officials, and the general public have access to accurate consumer complaint data in CIMS, the branch should continue to implement its quality management team program component focused on reviewing the categorization of complaints and correcting identified errors.
Annual Follow-Up Agency Response From November 2017
The Branch's Quality Management Team (QMT) program is on-going. As outlined in the response to Recommendation #4, the QMT team's expertise was utilized in 2017 to staff a ongoing project to automate portions of the quality assurance functions within the Consumer Information Management System (CIMS) database. The Branch was not successful in securing approval for personnel classifications better able to perform the higher level analysis necessary to ensure quality management.
- Estimated Completion Date: 6/30/2018
California State Auditor's Assessment of Annual Follow-Up Status: Pending
Annual Follow-Up Agency Response From October 2016
The Branch's Quality Management Team (QMT) program is on-going. As outlined in CPUC's response to Audit Recommendation #4, CAB's multi-year QMT plan has been updated to reflect progress on improvements to the quality assurance processes as well as automation of those processes. A further component of the QMT plan is to pursue resources and approval for personnel classifications better able to perform the higher level analysis necessary to ensure quality management. The appropriate personnel classification for performing such work is a Public Utilities Regulatory Analyst ranging from level 1 to level 3 depending on the complexity of specific case assignments.
- Estimated Completion Date: 1/1/2018
California State Auditor's Assessment of Annual Follow-Up Status: Not Fully Implemented
1-Year Agency Response
The Branch's quality management team program has established an on-going program. This program was outlined in CPUC's response to Audit Recommendation #4 a multi-year plan is being developed to improve quality assurance processes and increase automation of those processes.
- Completion Date: April 2016
- Response Date: April 2016
California State Auditor's Assessment of 1-Year Status: Pending
CPUC staff indicate that its Quality Management Team project plan will be complete in September 2016.
- Auditee did not substantiate its claim of full implementation
6-Month Agency Response
Branch has enhanced its technological capability with regard to reviewing case attributes in the quality management team (QMT) process. Specifically, branch has enhanced the data query tools in CIMS to allow for systematic retrieval and review of all attribute coding associated with any case record.
- Estimated Completion Date: Ongoing implementation.
- Response Date: October 2015
California State Auditor's Assessment of 6-Month Status: Pending
60-Day Agency Response
Branch is continuing ongoing efforts to make its quality management team more effective in ensuring that coding errors are identified and addressed.
- Estimated Completion Date: Ongoing
- Response Date: June 2015
California State Auditor's Assessment of 60-Day Status: Pending
Agency responses received are posted verbatim.