Report 2016-104 Recommendation 15 Responses
Report 2016-104: California Public Utilities Commission: It Should Reform Its Rules to Increase Transparency and Accountability, and Its Contracting Practices Do Not Align With Requirements or Best Practices (Release Date: September 2016)
Recommendation #15 To: Public Utilities Commission
The CPUC should update and follow its retention policy for economic interest disclosures so that it is aligned with state law.
Annual Follow-Up Agency Response From November 2017
The CPUC has a document retention policy in draft format and is now working with the Divisions to establish compliance with the the requirements for form 700s so our policy aligns with best practices.
- Estimated Completion Date: 6/30/2018
California State Auditor's Assessment of Annual Follow-Up Status: Pending
1-Year Agency Response
The CPUC is currently adopting an agency wide document retention policy which will include the requirements for form 700s so our policy aligns with best practices.
- Estimated Completion Date: 10/30/17
- Response Date: September 2017
California State Auditor's Assessment of 1-Year Status: Pending
6-Month Agency Response
CPUC is retaining all documents completed regarding statements of economic interest.
- Completion Date: January 2017
- Response Date: March 2017
California State Auditor's Assessment of 6-Month Status: Pending
As stated in our report, the required retention period for statements of economic interests is seven years.The CPUC did not submit evidence to support its statement that it is now retaining all documents related to completed statements of economic interest. Further, it did not provide evidence that it updated its retention policy.
- Auditee did not substantiate its claim of full implementation
60-Day Agency Response
The Legal Office is currently reviewing the requirement for filing statements of economic interests and verifying what the requirement is for the CPUC employees. This will include updating the retention policy for economic interest disclosures so it aligns to state law.
- Estimated Completion Date: 6/30/2017
- Response Date: November 2016
California State Auditor's Assessment of 60-Day Status: Pending
Agency responses received are posted verbatim.