An Audit Report on Performance Measures at the Department of Licensing and Regulation
July 2011
Report Number 11-041
Overall Conclusion
The Department of Licensing and Regulation (Department) reported reliable results for 6 (42.9 percent) of 14 key performance measures tested for fiscal year 2010. A result is considered reliable if it is certified or certified with qualification. The Department's performance measures provide important information regarding its licensing, enforcement, and compliance functions.
Six key performance measures were certified with qualification because of internal control weaknesses in the Department's processes for collecting and reporting performance measure information and other issues. Those six performance measures were:
- Percent of Licensees Who Renew Online.
- Number of New Licenses Issued to Individuals.
- Number of Licenses Renewed (Individuals).
- Percent of Complaints Resulting in Disciplinary Action.
- Percent of Architectural Barrier Building Plan Reviews Completed within 30 Days.
- Percentage of Boilers Inspected for Certification within Appropriate Timelines.
Factors prevented certification of three key performance measures because certain data in one of the Department's enforcement systems was not reliable. In addition, the Department did not calculate the performance measure results according to the performance measures' definitions and methodologies in the Automated Budget and Evaluation System of Texas (ABEST) because it incorrectly included its criminal history investigations of unlicensed applicants in its performance measure calculations. The Department asserted that it deviated from the performance measures' definitions and methodologies to more accurately represent its completed work.
Those three performance measures were:
- Number of Complaints Resolved.
- Number of Jurisdictional Complaints Received.
- Average Time for Consumer Complaint Resolution (Days)
In addition, factors prevented certification of four other performance measures because the Department did not retain sufficient information to support reported amounts. Those four performance measures were:
- Percent of Licensees with No Recent Violations.
- Total Number of Individuals Licensed.
- Total Number of Business Facilities Licensed.
- Inspection Coverage Rate.
One key performance measure, Percent of New Individual Licenses Issued Online, was inaccurate because the Department did not follow the performance measure's definition and methodology in ABEST when calculating its performance measure results.