Objective and Scope
Our follow-up audit examined the department’s processes to apply its Progressive Intervention and Discipline Policy on carriers that do not comply with transportation legislation. We also examined the department’s process to identify and follow up on carrier complaints received through Justice and Solicitor General. Department management asserted to us prior to our follow-up that they had implemented the recommendation.
We reviewed the policies and procedures for each process and examined samples to assess if the department had implemented our recommendation. We conducted our field work between July and October 2017.
We conclude that the Department of Transportation was still not, as of July 1, 2017, consistently following its policy of taking timely and appropriate enforcement action against non-compliant carriers. In the eight years since our original audit, the department has made improvements to its systems. The department has improved its processes to identify and follow up on all carrier complaints received. However, we found insufficient improvement in the consistency of enforcement actions from our 2014 follow-up audit findings, and senior management was not aware of these continued inconsistencies.