Report 2014-120 Recommendation 6 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 #6 To: Public Utilities Commission
To ensure that policy makers, enforcement officials, and the general public have access to more complete and meaningful consumer complaints data in CIMS, the branch should, to the fullest extent possible, include the attributes of each complaint in the data it records in CIMS.
Annual Follow-Up Agency Response From October 2016
The Branch is providing a sample data set for the period August 1, 2016 to September 16, 2016 of written telecommunications complaints. This data includes attributes associated with each complaint in CIMS in compliance with Recommendation #6 for the Branch to include attributes, to the fullest extent possible, in each case record. For each case the following information is provided:
- CIMS case number
- Date case was received
- Primary Subcategory
- Associated Attributes
- Completion Date: September 2016
California State Auditor's Assessment of Annual Follow-Up Status: Fully Implemented
Data provided by CPUC shows a substantial decrease in the percentage of complaints coded without any attribute data, from immediately after it provided training to its staff in late 2015 to late 2016.
1-Year Agency Response
The Branch provided case statistical data to the CA State Auditor on November 19, 2015, and met via phone conference on January 8, 2016, to discuss the recommendation and data that the Branch provided. The Branch has utilized attributes to the fullest extent possible, where appropriate, in complaint case coding. In certain of the Branch's processes, including LifeLine Appeals, attributes do not provide additional benefit in case processing or provide additional information to policy makers, enforcement officials and the general public. The Branch continues to work with relevant stakeholders to ensure the data collected under the current coding scheme is relevant and useful.
- Completion Date: November 2015
- Response Date: April 2016
California State Auditor's Assessment of 1-Year Status: Pending
The complaint data that the commission provided in November 2015 does not show an appreciable difference in the percentage of complaints that include attribute data that it coded before the September 2015 training when compared to complaints coded after the training. We will reassess at the next annual review.
- Auditee did not substantiate its claim of full implementation
6-Month Agency Response
Branch delivered training to all staff, using revised materials, on the following: general coding, non-jurisdictional coding, and VoIP coding. All training modules now contain specific guidance for using attributes and comments.
Branch enhanced its technological capability with regard to coding case attributes and accompanying QMT processes. Specifically, branch has created enhanced data query tools in CIMS to allow for systematic retrieval and review of all attribute coding associated with any case record.
- Completion Date: October 2015
- Response Date: October 2015
California State Auditor's Assessment of 6-Month Status: Pending
Our assessment of complaints received by the commission after its September 2015 training revealed that the data do not yet support that the commission is including the attributes of each complaint in the data it records in CIMS. We will reassess in April 2016 at the one-year review.
60-Day Agency Response
Branch is reviewing and refreshing all training materials and Job Aids to reinforce the use of attributes where applicable. Training materials are on schedule to be delivered with general coding training on or before September 30, 2015.
- Estimated Completion Date: September 30, 2015
- Response Date: June 2015
California State Auditor's Assessment of 60-Day Status: Pending
Agency responses received are posted verbatim.