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


All Recommendations in 2016-104

Agency responses received are posted verbatim.