Performance audit, Department of Transportation, Motor Vehicle Division - driver's licensing and title/registration programs

              PERFORMANCE AUDIT
DEPARTMENT OF TRANSPORTATION
MOTOR VEHICLE DIVISION - DRIVER'S LICENSING
AND TITLEIREGISTRATION PROGRAMS
Report to the Arizona Legislature
By the Auditor General
October 1988
88- 7
The O f f i c e of the Auditor General has conducted a performance audit of
the Arizona Department of Transportation ( ADOTI, Motor Vehicle D i v i s i o n
( MVD), d r i v e r ' s l i c e n s i n g and t i t l e and r e g i s t r a t i o n programs i n response
to a June 2, 1987, r e s o l u t i o n of the J o i n t L e g i s l a t i v e Oversight
Committee. This performance audit was conducted as a part of the Sunset
Review set f o r t h i n Arizona Revised Statutes ( A. R. S.) 9941- 2351 through
41 - 2379.
Most People Are S a t i s f i e d
With Service A t MVD S t a t i o n s ,
But Some Areas S t i l l Require Improvement
Although MVD appears to o f f e r adequate services to most customers, there
are areas for improvement. Over the past few years MVD has implemented
several innovations to improve customer services. These innovations
include d r i v e r ' s license renewal by m a i l , longer license terms, new
f a c i l i t i e s , and Saturday hours at some s t a t i o n s . Further, our survey of
customer sat i s f a c t ion showed that most people transact ing business at MVD
s t a t i o n s are s a t i s f i e d w i t h services received. Respondents were
generally s a t i s f i e d w i t h job knowledge, e f f i c i e n c y and courtesy of MVD
c l e r k s . Respondents were also generally pleased w i t h the timeliness of
service and the hours of s t a t i o n operation.
Although more than 80 percent rated the o v e r a l l performance at the MVD
s t a t i o n s evaluated as good to e x c e l l e n t , MVD should continue to stress
the importance of customer service. More than one of every ten customers
feel they received only f a i r or poor service from MVD c l e r k s .
Information should be more accessible to the p u b l i c . Information desks
are needed i n larger s t a t i o n s t o h e l p customers determine i f they have
a l l the correct paperwork and d i r e c t them to the proper service window.
Second, MVD could help customers more e a s i l y obtain information by
improving i t s phone system. MVD's current phone system i s not adequate
to handle the volume of cal I s received. Third, more e f f e c t i v e signs and
r e a d i l y available brochures would f u r t h e r a s s i s t the p u b l i c .
MVD Needs To Manage D r i v e r ' s
License Processing More E f f e c t i v e l y
MVD has not e f f e c t i v e l y managed d r i v e r ' s license processing. Increases
i n processing time during e a r l y 1988 were l a r g e l y due to a lack of
management oversight. As of June 1988, processing time for d r i v e r ' s
licenses exceeded 70 days. This i s a s i g n i f i c a n t increase from as l a t e
as January 1988, when processing time averaged 43 or fewer days.
Further, these delays occur despite a workload reduced by mail renewals
and four- year licenses.
Although MVD p u b l i c l y a t t r i b u t e s the processing delays to new computer
systems and has r e c e n t l y reduced processing time to under 50 days, the
delays appear to have resulted from a lack of management o v e r s i g h t .
Management d i d n o t m o n i t o r performance and sizeable bottlenecks developed
before management became aware of the problem. For example. MVD
management was not aware of the large backlog i n processing a p p l i c a t i o n s
u n t i l consumers complained that t h e i r temporary licenses were e x p i r i n g
before permanent licenses were issued.
MVD, I n C o o r d i n a t i o n W i t h Law Enforcement Agencies And Courts,
Needs To Strengthen Enforcement E f f o r t s Against
D r i v e r s With Suspended Or Revoked Licenses
Who Con t i nue To Dr i ve
Although enforcement agencies take a c t i o n against problem d r i v e r s , many
continue to d r i v e . In f a c t , the American Association of Motor Vehicle
Administrators ( AAMVA) estimates that as many as 80 percent of people
w i t h suspended or revoked l icenses continue to d r i v e . Some are f l a g r a n t
v i o l a t o r s . One d r i v e r had h i s license suspended four times between
October 1983 and February 1988, f o r periods ranging from 30 days to 15
months. This license was also i n d e f i n i t e l y suspended seven times by the
courts for unpaid f i n e s . However, t h i s i n d i v i d u a l continued to d r i v e
throughout the p e r i o d , r e c e i v i n g 32 c o n v i c t i o n s , most of which were
received while under suspension.
An e f f e c t i v e enforcement program requires j o i n t a c t i o n among law
enforcement agencies, the courts and MVD.
o Law enforcement agencies could strengthen enforcement e f f o r t s by
r o u t i n e l y checking d r i v e r records to determine i f a license i s
suspended or revoked.
o Enforcement by the courts could be strengthened by r e v i s i n g s t a t u t e s
t o impose minimum p e n a l t i e s f o r d r i v e r s convicted of d r i v i n g under
suspension/ revocation. Courts also need more ready access to MVD
d r i v e r rezords. P r e s e n t l y , c o u r t s are o f t e n not aware of
i n d i v i d u a l s ' d r i v i n g records.
o MVD should be given s t a t u t o r y a u t h o r i t y to take a d m i n i s t r a t i v e a c t i o n
against d r i v e r s who are convicted of any t r a f f i c v i o l a t i o n while
under suspension or revocation. C u r r e n t l y , MVD can only take a c t i o n
i f a d r i v e r i s convicted of the s p e c i f i c offense of d r i v i n g under
suspension o r revocation.
For a d d i t i o n a l funds to pay for an increased enforcement e f f o r t , the
Legislature should consider r a i s i n g the license reinstatement fee and
dedicating a l l or part of the funds to enforcement.
MVD Needs To Process C i t a t i o n s
I n A Timely Manner
MVD does not process c i t a t i o n s i n a timely manner. As of June 30, 1988,
MVD was backlogged by approximately 15 work days i n entering major
c i t a t i o n s such as reckless d r i v i n g onto d r i v e r records. In a d d i t i o n , as
of June 28, 1988, MVD had a backlog of more than 11 months i n entering
minor c i t a t i o n s such as speeding t i c k e t s . MVD could eliminate the
current backlog i n c i t a t i o n processing and work toward preventing future
backlogs by: 1) a l l o c a t i n g adequate resources to update d r i v e r records,
and 2) continuing to work w i t h courts to automate the processing of
c i t a t i o n s .
MVD Has S i g n i f i c a n t l y Improved
I t s Processing_ Of T i t l e s
MVD has made vast improvements i n i t s t i t l e f u n c t i o n . Since our study i n
1982, MVD has shortened the time to issue a t i t l e from approximately
three weeks to two work days. Further, MVD has streamlined the
processing of t i t l e paperwork. Although the processing time has been
s i g n i f i c a n t l y improved, MVD needs to ensure that adequate q u a l i t y checks
are conducted by f i e l d o f f i c e s before t i t l e s are issued.
STATE OFARlZONA
DOUGLAS R. NORTON, CPA
AUDITOR GENERAL
OFFICE O F T t i t
LINDAJ. BLESSING, CPA
DEPUTY AUDITOR GENERAL
AUDITOR GENERAL
October 20, 1988
Members of the Arizona L e g i s l a t u r e
The Honorable Rose Mofford, Governor
Transmitted herewith i s a report of the Auditor General, A Performance
Audit of the Arizona Department of T r a n s p o r t a t i o n , Motor Vehicle
D i v i s i o n , d r i v e r ' s license and t i t l e and r e g i s t r a t i o n programs. This
report i s i n response to a June 2, 1987, r e s o l u t i o n of the J o i n t
L e g i s l a t i v e Oversight Committee.
We found that the Motor Vehicle D i v i s i o n has s i g n i f i c a n t l y improved i t s
services to the p u b l i c at f i e l d o f f i c e s and i n t i t l e processing.
However, the D i v i s i o n needs t o more e f f e c t i v e l y manage the processing
of d r i v e r ' s licenses to reduce the time needed f o r i n d i v i d u a l s to
o b t a i n new licenses. The r e p o r t a l s o i d e n t i f i e s problems i n enforcing
license suspensions and revocations against persons who continue to
d r i v e and problems i n processing t r a f f i c c i t a t i o n s i n a timely manner.
My s t a f f and I w i l l be pleased to discuss or c l a r i f y items i n the
r e p o r t .
DRN : l mn
STAFF: W i l l i a m Thomson
Mark Fleming
Deborah A . K l e i n
Lucinda A . Trimble
Michael Friedman
Linda S. Manning
Raymond L. Quain
DOUR~. UNoSrto n
~ u d T t o r General
2700 NORTI-, CLINl RAI. AVE SLJlTE 700 0 PllOENlX ARIZBNA 85004 C ( 60%) 2 55 4385
The O f f i c e o f the Auditor General has conducted a performance a u d i t of
the Arizona Department o f Transportation ( ADOT), Motor Vehicle D i v i s i o n
( MVD), d r i v e r ' s l i c e n s i n g and t i t l e and r e g i s t r a t i o n programs i n response
to a June 2, 1987, r e s o l u t i o n of the J o i n t L e g i s l a t i v e Oversight
Commi t t e e . This performance a u d i t was conducted as a p a r t of the Sunset
Review set f o r t h i n Arizona Revised Statutes ( A. R. S.) 9941- 2351 through
41 - 2379.
Although MVD appears to o f f e r adequate services to most customers, there
are areas for improvement. Over the past few years MVD has implemented
several innovations to improve customer s e r v i c e s . These innovations
include d r i v e r ' s license renewal by m a i l , longer license terms, new
f a c i l i t i e s , and Saturday hours at some s t a t i o n s . F u r t h e r , our survey of
customer sat i s f a c t ion showed t h a t most people t r a n s a c t i n g business a t MVD
s t a t i o n s are s a t i s f i e d w i t h services received. Respondents were
generally s a t i s f i e d w i t h job knowledge, e f f i c i e n c y and courtesy o f MVD
c l e r k s . Respondents were also generally pleased w i t h the t i m e l i n e s s of
service and the hours o f s t a t i o n operation.
Although more than 80 percent rated the o v e r a l l performance a t the MVD
s t a t i o n s evaluated as good to e x c e l l e n t , MVD should continue to stress
the importance of customer s e r v i c e . More than one of every ten customers
feel they received only f a i r or poor service from MVD c l e r k s .
Information should be more accessible to the p u b l i c . l n f o r m a t i o n desks
are needed i n larger s t a t i o n s to help customers determine i f they have
a l l the correct paperwork and d i r e c t them to the proper service window.
Second, MVD could help customers more easi l y o b t a i n i n f o r m a t i o n by
improving i t s phone system. MVD's current phone system i s not adequate
to handle the volume o f c a l l s received. T h i r d , more e f f e c t i v e signs and
r e a d i l y a v a i l a b l e brochures would f u r t h e r a s s i s t the p u b l i c .
UVD Needs To Manage Dr i ver ' s
License Processing More E f f e c t i v e l y ( see pages 17 through 21)
MVD has not e f f e c t i v e l y managed d r i v e r ' s license processing. Increases
i n processing time during e a r l y 1988 were l a r g e l y due to a lack of
management o v e r s i g h t . As of June 1988, processing time for d r i v e r ' s
licenses exceeded 70 days. This i s a s i g n i f i c a n t increase from as late
as January 1988, when processing time averaged 43 or fewer days.
Further, these delays occur despite a workload reduced by mail renewals
and four- year licenses.
Although MVD p u b l i c l y a t t r i b u t e s the processing delays to new computer
systems and has r e c e n t l y reduced processing time to under 50 days, the
delays appear to have resulted from a lack of management oversight.
Management d i d not mon i t o r performance and s i zeab le bot t lenecks deve loped
before management became aware of the problem. For example, MVD
management was not aware of the large backlog i n processing a p p l i c a t i o n s
u n t i l consumers complained that t h e i r temporary licenses were e x p i r i n g
before permanent licenses were issued.
ies And Courts,
Although enforcement agencies take a c t i o n against problem d r i v e r s , many
continue to d r i v e . I n f a c t , the American Association of Motor Vehicle
Administrators ( AAMVA) estimates that as many as 80 percent of people
w i t h suspended or revoked l icenses continue to d r i v e . Some are f l a g r a n t
v i o l a t o r s . One d r i v e r had h i s license suspended four times between
October 1983 and February 1988, for periods ranging from 30 days to 15
months. This license was also i n d e f i n i t e l y suspended seven times by the
courts for unpaid f i n e s . However, t h i s i n d i v i d u a l continued to d r i v e
throughout the p e r i o d , r e c e i v i n g 32 c o n v i c t i o n s , most of which were
received while under suspension.
An e f f e c t i v e enforcement program requires j o i n t a c t i o n among law
enforcement agencies, the courts and MVD.
a Law enforcement agencies could strengthen enforcement e f f o r t s by
r o u t i n e l y checking d r i v e r records to determine i f a license i s
suspended or revoked.
e Enforcement by the courts could be strengthened by r e v i s i n g s t a t u t e s
to impose minimum p e n a l t i e s for d r i v e r s convicted o f d r i v i n g under
suspension/ revocation. Courts also need more ready access to MVD
d r i v e r records. Presently, courts are o f t e n not aware of
i n d i v i d u a l s ' d r i v i n g records.
e MVD should be given s t a t u t o r y a u t h o r i t y to take a d m i n i s t r a t i v e a c t i o n
against d r i v e r s who are convicted of any t r a f f i c v i o l a t i o n while
under suspension or revocation. C u r r e n t l y , MVD can only take a c t i o n
i f a d r i v e r i s convicted of the s p e c i f i c offense of d r i v i n g under
suspension or revocation.
For a d d i t i o n a l funds to pay for an increased enforcement e f f o r t , the
L e g i s l a t u r e should consider r a i s i n g the license reinstatement fee and
dedicating a l l o r p a r t of the funds to enforcement.
MVD Needs To Process C i t a t i o n s
In A Timely Manner ( see pages 35 through 40)
MVD does not process c i t a t i o n s i n a timely manner. As of June 30, 1988,
MVD was backlogged by approximately 15 work days i n entering major
c i t a t i o n s such as reckless d r i v i n g onto d r i v e r records. In a d d i t i o n , as
of June 28, 1988, MVO had a backlog of more than 11 months i n entering
minor c i t a t i o n s such as speeding t i c k e t s . MVD could eliminate the
current backlog i n c i t a t i o n processing and work toward preventing f u t u r e
backlogs by: 1) a l l o c a t i n g adequate resources to update d r i v e r records,
and 2) continuing to work w i t h courts to automate the processing of
c i t a t i o n s .
MVD Has S i g n i f i c a n t l y Improved
I t s Processing Of T i t l e s ( see pages 41 through 43)
MVD has made vast improvements i n i t s t i t l e f u n c t i o n . Since our study i n
1982, MVD has shortened the time to issue a t i t l e from approximately
three weeks to two work days. Further, MVD has streamlined the
processing o f t i t l e paperwork. Although the processing time has been
s i g n i f i c a n t l y improved, MVD needs t o ensure that adequate q u a l i t y checks
are conducted by f i e l d o f f i c e s before t i t l e s are issued.
TABLE OF CONTENTS
Page
INTRODUCTIONANDBACKGROUND . . . . . . . . . . . . . . . . . . . . . 1
FINDING 1 : MOST PEOPLE ARE SATISFIED WlTH
SERVICE AT MVD STATIONS, BUT SOME AREAS STILL
REQUIRE IMPROVEMENT . . . . . . . . . . . . . . . . . . . . . . . 7
Innovations Have Impacted Customer Services . . . . . . . . . . . 7
MVD Received Positive Ratings On Customer
Satisfaction . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
MVD Needs To Continue Improving Areas Of
Publicservice . . . . . . . . . . . . . . . . . . . . . . . . . 10
MVD Needs To Make Information More
Accessible To The Public . . . . . . . . . . . . . . . . . . . . 12
Recomnendations . . . . . . . . . . . . . . . . . . . . . . . . . 15
FINDING II: WD NEEDS TO MANAGE DRIVER'S
LICENSE PROCESSING MORE EFFECTIVELY. . . . . . . . . . . . . . . . 1 7
Processing Time Increased In Early 1988. . . . . . . . . . . . . . 17
Delays Resulted From Lack Of Management
Oversight . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18
Better Management Of New Programs Is Needed . . . . . . . . . . . 19
Recomnendations . . . . . . . . . . . . . . . . . . . . . . . . . 2 1
FINDING Ill: MVD, IN COORDINATION WlTH LAW
ENFORCEMENT AGENCIES AND COURTS, NEEDS TO
STRENGTHEN ENFORCEMENT EFFORTS AGAINST
DR l VERS W l TH SUSPENDED OR REVOKED L l CENSES
WHO CONTINUE TO DRIVE. . . . . . . . . . . . . . . . . . . . . . . 2 3
Effective Enforcement Requires Coordinated
E f f o r t . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23
Drivers Continue To Drive Without Valid Licenses . . . . . . . . . 2 4
Changes Needed For An Effective Program . . . . . . . . . . . . . 26
Higher Reinstatement Fees Could Provide
Funding . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 2
Recomnendations . . . . . . . . . . . . . . . . . . . . . . . . . 3 3
INTRODUCTION AND BACKGROUND
The O f f i c e o f the Auditor General has conducted a performance a u d i t o f
the Arizona Department of Transportation ( ADOT), Motor Vehicle Division
( MVD), d r i v e r ' s l i c e i i s i i i g an3 t i t l e and r e g i s t r a t i o n programs i n response
to a June 2, 1987, resolution of the Joint Legislative Oversight
Committee. This performance audit was conducted as a part of the Sunset
Review set f o r t h in Arizona Revised Statutes ( A. R. S.) 5541- 2351 through
41 - 2379.
Background
Before 1927, the Secretary of State was responsible for annual vehicle
r e g i s t r a t i o n and the counties were responsible for the public highways in
Arizona. In 1927 the Arizona Highway Department was established with the
function of " administering a l l matters and a f f a i r s d i r e c t l y a f f e c t i n g ,
concerning, or r e l a t i n g to the highways of the State.'' The Motor Vehicle
D i v i s i o n o f the State Highway Department was then established t~ issue
l icense plates, process regist rat ion and t i t le appl icat ions, and examine
applicants for d r i v e r ' s licenses. County assessors were designated as
o f f i c e r s of the D i v i s i o n to perform duties delegated to them by the
Division.
In 1973 the Arizona Department of Transportation replaced the State
Highway Department, to provide for an integrated and balanced State
Transportation system. The Motor Vehicle Division i s one of f i v e
divisions that carries out the mission of the Arizona Department of
Transportation.
This audit focuses on the Motor Vehicle D i v i s i o n ' s d r i v e r ' s license and
, vehicle t i t l e and r e g i s t r a t i o n programs. The programs and t h e i r
functions are as f o l lows.
Driver's License Program
The d r i v e r ' s license program i s responsible for ensuring the safety of
the general public on streets and highways of t h i s State, assisting the
criminal justice system in carrying out i t s responsibi I i t i e s , and acting
as the central depository of records. I n connection w i t h these
r e s p o n s i b i l i t i e s , the d r i v e r ' s license program performs the f o l l o w i n g
functions.
a Tests applicants and issues d r i v e r ' s licenses
a Evaluates d r i v e r s and d r i v i n g records to remove unsafe d r i v e r s from
the road.
a Suspends or revokes d r i v i n g p r i v i l e g e s o f those involved i n
accidents who do not meet f i n a n c i a l r e s p o n s i b i l i t y requirements.
a Inspects school buses and c e r t i f i e s bus d r i v e r s .
Title And Registration Program
The t i t l e and r e g i s t r a t i o n program i s responsible for a l l services
d i r e c t l y related to v e h i c l e s . Services are provided to the general
p u b l i c , dealerships, towing and wrecking companies, lending i n s t i t u t i o n s
and p r i v a t e t i t l e services. In connection w i t h these r e s p o n s i b i l i t i e s ,
the t i t l e and r e g i s t r a t i o n program performs the f o l l o w i n g f u n c t i o n s .
a Registers and issues license p l a t e s f o r v e h i c l e s , and issues vehicle
t i t l e s .
a Licenses and regulates motor v e h i c l e d e a l e r s , manufacturers and
wreckers.
a Processes reports on abandoned vehicles and handles the subsequent
sale of the v e h i c l e s .
a Issues oversize permits and enforces vehicle laws.
In 1977, A. R. S. 928- 301 was amended to allow the d i r e c t o r of ADOT and the
Board of Supervisors of any county to negotiate a c o n t r a c t p r o v i d i n g f o r
the t r a n s f e r of d u t i e s and r e s p o n s i b i l i t i e s concerning t i t l e s and
r e g i s t r a t i o n from the County Assessor to the Motor Vehicle D i v i s i o n . To
date, ten o f Arizona's 15 counties have entered i n t o such an agreement.
The f i v e remaining counties r e t a i n $ 1 for each t i t l e and f o r each
r e g i s t r a t i o n processed, and $ 2 of each l a t e r e g i s t r a t i o n p e n a l t y , for
operating casts.
S t a f f i n g And Budget
The Motor Vehicle D i v i s i o n i s a l l o c a t e d approximately 831 f u l l - t i m e
equivalent employees ( FTE) for f i s c a l year 1988- 89. The t i t l e and
r e g i s t r a t i o n program employs approximately 350 FTEs, and processed
approximately 3,171,500 r e g i s t r a t i o n s ( new and renewals combined) during
1987, and an estimated 1,319,000 t i t l e s during f i s c a l year 1987- 88. The
d r i v e r ' s license program employs approximately 329 FTEs, and processed an
estimated 802,000 d r i v e r ' s license a p p l i c a t i o n s during the 1987- 88 f i s c a l
year.
The Motor Vehicle D i v i s i o n i s funded through the State Highway Fund. For
f i s c a l year 1987- 88, the D i v i s i o n ' s approved budget was approximately
$ 26.8 m i l l i o n for operations. A summary of the D i v i s i o n ' s Highway Fund
expenditures for f i s c a l years 1986- 87 through 1988- 89 are presented i n
Table 1 ( see page 5 ) .
Scope And Methodology
Our audit o f the Department of T r a n s p o r t a t i o n ' s Motor Vehicle D i v i s i o n
was l i m i t e d t o the t i t l e and r e g i s t r a t i o n and d r i v e r ' s license
functions. The report presents f i n d i n g s i n the f o l l o w i n g areas.
a The level of p u b l i c service being provided to t i t l e and r e g i s t r a t i o n
and d r i v e r ' s license s t a t i o n customers.
a The timeliness o f d r i v e r ' s license processing.
a The adequacy o f d r i v e r improvement actions taken against problem
d r i v e r s .
a The timeliness o f c i t a t i o n processing.
a The e f f i c i e n c y of t i t l e processing.
In order to determine the level o f p u b l i c service being provided by MVD,
we conducted a customer survey, observations o f s t a t i o n operations, and a
survey of branch supervisors. The customer s a t i s f a c t i o n survey was
designed to determine the timeliness of p u b l i c s e r v i c e , the treatment of
the public by MVD s t a f f , the o v e r a l l p u b l i c impression of MVD operations,
and the ease of p u b l i c access to needed information. Detai led
information about the survey i s found i n the s t a t i s t i c a l appendix. The
customer survey was supplemented by Auditor General s t a f f observations of
d r i v e r ' s license and t i t l e and r e g i s t r a t i o n s t a t i o n operations i n various
areas of the S t a t e . F u r t h e r , we conducted a w r i t t e n survey of 16
d r i v e r ' s license and 12 t i t l e and r e g i s t r a t i o n supervisors to obtain
information on s t a t i o n operations and p u b l i c service needs.
Due to time c o n s t r a i n t s , we were unable to address two p o t e n t i a l issues
i d e n t i f i e d during our p r e l i m i n a r y audit work. A d d i t i o n a l information
regarding these areas i s provided i n the section Areas For Further Audit
Work.
This audit was conducted i n accordance w i t h generally accepted
governmental a u d i t i n g standards.
The Auditor General and s t a f f express appreciation to the Director and
s t a f f o f the Motor Vehicle D i v i s i o n for t h e i r cooperation and assistance
during the course of our a u d i t .
TABLE 1
ARIZONA DEPARTMENT OF TRANSPORTATION
MOTOR VEHICLE DIVISION EXPENDITURES
FOR FISCAL YEARS 1986- 87 THROUGH 1988- 89
( Unaud i ted)
1986- 87 1987- 88 1988- 89
Actual Estimated Approved
FTEs 841 7 86( a) 83 1
Personal Services $ 15,579,200 $ 1 5,722,700 $ 16,811,700
Employee Related
Expenditures 3,579,400 3,524,200 4,251 ,100
Professional Services 243,300 321 ,100 259,100
Travel - State 140,900 244,900 280,800
Travel - Out- of- State 12,100 22,600 23,000
Other Operating
Expenditures 2,647,400 3,539,900 3,751 ,300
Equ i pmen t 327,000 178,800 395,600
OPERATION SUBTOTAL 22,529,300 23,554,200 25,772,600
License Plates & Tabs 1,149,900 748,800 943, OOO( c)
Medical Advisory Board 80,000 80,000 83,000
Revenue Tracking System 2,464,800 - 0- - 0-
TOTAL 26,224,000 24,383,000 26,798,600
Add'l Appropriations - 0- 658,500 ( b) - 0-
TOTAL $ 26.224,00Q $ 25.041 .50Q $ 26.798.60Q
( a) The number of FIE p o s i t i o n s was reduced because 26 p o s i t i o n s were t r a n s f e r r e d t o
the Department o f Public Safety and 45 other p o s i t i o n s were deleted. The f i g u r e
also r e f l e c t s the a d d i t i o n of 18 new p o s i t i o n s .
( b) The a d d i t i o n a l a p p r o p r i a t i o n was f o r v e h i c l e 1 icense p l a t e s .
( c ) The amount appropriated i s f o r i s s u i n g a s i n g l e l i c e n s e p l a t e per v e h i c l e ,
e f f e c t i v e July 1, 1988.
Source: State of A r i z o n a A p p r o p r i a t i o n s Reports f o r f i s c a l years 1988
and 1989.
FINDING I
MOST PEOPLE ARE SATISFIED WITH SERVICE AT MVD STATIONS,
BUT SOME AREAS STILL REQUIRE lMPROVEMENT
Although the Motor Vehicle Department ( MVD) i s p r o v i d i n g adequate
customer service, there are areas for improvement. Over the past few
years MVD has implemented several innovations t o improve customer
s e r v i c e s . F u r t h e r , i n a survey conducted by our Off i c e , most customers
rated MVD good to e x c e l l e n t i n p u b l i c s e r v i c e . However, low r a t i n g s from
a smal l p r o p o r t i o n of respondents suggest t h a t MVD could improve some
areas of customer s e r v i c e . MVD should also make i n f o r m a t i o n concerning
i t s services more accessible t o the p u b l i c .
Innovations Have
Impacted Customer Services
innovations have improved the level of customer s e r v i c e . The number of
people who v i s i t a d r i v e r ' s license s t a t i o n has been reduced by the renew
by mail program and the extension of d r i v e r ' s license e x p i r a t i o n from
three t o f o u r years. Also, v i s i t i n g a s t a t i o n i s more convenient due t o
a d d i t i o n a l s t a t i o n s and Saturday hours of operation a t selected s t a t i o n s .
Renew by mai l program - The renew by mai l program has increased
a p p l i c a n t convenience and reduced the number of d r i v e r ' s license
a p p l i c a n t s who must v i s i t a s t a t i o n . A. R. S. 928- 426.01, which went i n t o
e f f e c t January 1987, allows d r i v e r ' s license a p p l i c a n t s who meet the
seven set f o r t h i n the s t a t u t e t o renew t h e i r
license by m a i l . E l i g i b l e a p p l i c a n t s are sent a renewal form several
' ) The seven q u a l i f i c a t i o n s l i s t e d i n A. R. S. 528- 426.01 are: 1 ) no conviction o f a moving
t r a f f i c v i o l a t i o n f o r the f o u r years p r i o r t o renewal, 2 ) no l i c e n s e suspension,
revocation o r c a n c e l l a t i o n d u r i n g p r i o r four years, 3) 1 icense renewal i s f o r the same
class o f 1 icense current1 y held, 4) under 70 years of age o r , 5) those 60 years of age
or o l d e r must present a r e p o r t o f eyesight, 6 ) has been issued a d r i v e r ' s 1 icense f o r
a t l e a s t seven years, the l a s t three years of which have been issued by t h i s State, and
7 ) t h e l i c e n s e issued by t h i s State has not been renewed by mail i n the l a s t f o u r years
immediately preceding expi r a t i o n o f the c u r r e n t 1 i cense.
months before t h e i r licenses e x p i r e . Upon r e t u r n of the renewal form,
MVD sends the licensee a s t i c k e r to place on the back o f t h e i r e x i s t i n g
license, which makes the license v a l i d for four more years. As of A p r i l
7, 1988, 158,313 applicants had renewed t h e i r license by mai I .
D r i v e r ' s license extension - The extension of d r i v e r ' s license
expi r a t i o n dates from three to four years has also reduced the volume of
the d r i v i n g public v i s i t i n g MVD s t a t i o n s annually. I n 1984, MVD began
extending the e x p i r a t i o n period of d r i v e r ' s licenses from three to four
years. The program was implemented over a three- year period ending
January 1987. By expanding the e x p i r a t i o n cycle, the percentage of
d r i v e r ' s licenses e x p i r i n g annually was reduced from 33 to 25 percent.
The combined e f f e c t s of the renew by mail program and the extension of
d r i v e r ' s license e x p i r a t i o n dates i s a decrease of 182,717 d r i v e r ' s
l icense renewal appl i c a t ions from 1986 to 1987.
New b u i l d i n g s - MVD has improved customer convenience by c o n s t r u c t i n g
seven new s t a t i o n s since 1984. Three of the new s t a t i o n s were
replacements for e x i s t i n g faci l i t i e s and four of the s t a t i o n s were bui I t
i n areas where no s t a t i o n had previously been operating. Three of the
replacement faci I i t i e s ( F l a g s t a f f , Prescott and Kingman) combine t i t i e
and r e g i s t r a t i o n and d r i v e r ' s l i c e n s e f u n c t i o n s , MVD also has 11 new or
replacement s t a t i o n s scheduled f o r c o n s t r u c t i o n throughout the State
before 1994.
Saturday hours - MVD has also improved customer convenience by
providing Saturday hours at some s t a t i o n s . MVD conducted a study of
operating hours during the six- month period s t a r t i n g August 13, 1984,
w i t h some s t a t i o n s open on Saturday and others open longer during
weekdays. The study r e s u l t s showed s u f f i c i e n t demand to expand hours of
o p e r a t i o n t o include Saturday hours. C u r r e n t l y , MVD has three d r i v e r ' s
license s t a t i o n s and two t i t l e and r e g i s t r a t i o n s t a t i o n s open Saturdays
i n the densely populated areas of Phoenix and Tucson.
MVD Received P o s i t i v e Ratings
On Customer S a t i s f a c t i o n
Most people transacting business at MVD s t a t i o n s appear s a t i s f i e d w i t h
service received. The O f f i c e o f Auditor General conducted a customer
s a t i s f a c t i o n survey o f d r i v e r ' s ! icense and t i t l e and registration
s t a t ions. "' Survey r e s u l t s showed that respondents were s a t i s f i e d
w i t h the job knowledge, e f f i c i e n c y and courtesy of MVD c l e r k s . Survey
respondents were also pleased w i t h the timeliness of service and the
hours of s t a t i o n operation. F i n a l l y , most respondents rated the o v e r a l l
performance of MVD s t a t i o n s surveyed as good or e x c e l l e n t ( Table 2 ) .
TABLE 2
SURVEY RESPONSES TO CUSTOMER SERVICE QUESTIONS
Customer D r i v e r ' s License T i t l e and R e g i s t r a t i o n
S a t i s f a c t i o n Total Percentage Total Percentage
Quest i ons Responses Sat i sf ied( a) Responses Sat i s f i ed( a)
Emp I oyee Courtesy 2,494 87.1% 2,582 89.3%
Employee Job Knowledge 2,261 90.1% 2,312 92.1%
Employee E f f i c i e n c y 2,302 83.5% 2,368 88.0%
Timeliness of Service 2,430 78.1% 2,645 84.5%
Operating Hours 2,612 81 .7% 2,754 85.3%
Overall Performance 2,459 82.7% 2,549 87.4%
( a ) Survey respondents classified as " sati sf iedtl were those customers who: 1 ) rated
MVD good or excellent on employee courtesy, job knowledge and/ or efficiency, 2)
considered that the time to complete a transaction was reasonable, 3) said hours
of operation were convenient, or 4) rated MVD good or excellent on overall
performance.
Source: Auditor General Survey o f MVD customers.
Most customers f e l t that transactions were completed w i t h i n a reasonable
time. As shown i n the previous t a b l e , 78 percent of d r i v e r ' s license and
nearly 85 percent o f t i t l e and r e g i s t r a t i o n customers f e l t that the time
i t took to complete thei r transact ion was reasonable. However, some
transactions appear to take too long. For example, the average time to
( 1 ) For description of survey methodology, see Appendix 1 .
complete a change of address at a d r i v e r ' s license o f f i c e was about 22
minutes. Further, t o obtain information a t d r i v e r ' s license s t a t i o n s
averaged more than 13 minutes, while t o o b t a i n information at a t i t l e and
r e g i s t r a t i o n s t a t i o n averaged about 12 minutes. The f o l l o w i n g table
l i s t s the average t r a n s a c t i o n times for d r i v e r ' s license and t i t l e and
r e g i s t r a t i o n customers.
D r i v e r ' s License
Renew DL
F i r s t AZ DL
Duplicate DL
I n s t r u c t i o n Permit
I . D. Card
Reinstatement DL
Change of Address
Copy of Records
l nformat ion
TABLE 3
TRANSACTION TIMES
Avg. Time T i t l e & R e g i s t r a t i o n Avg. Time
36 Min. Vehicle T i t l e 21 Min.
46 Min. O r i g i n a l AZ Reg. 23 Min.
28 Min. Renew Annual Reg. 11 Min.
35 Min. V e h i c l e I n s p e c t i o n 23 Min.
29 Min. Obtain Permit 15 Min.
29 Min. Obtain Information 12 Min.
22 Min. Replace Lost Plates 13 Min.
25 Min.
13 Min.
Source: Auditor General Survey of MVD customers.
The high l e v e l o f s a t i s f a c t i o n reported by respondents may be due to
MVD's innovations to improve customer s e r v i c e . As mentioned e a r l i e r , MVD
has implemented a renew by mail program and longer license terms, which
have reduced the volume of customers who need to v i s i t d r i v e r ' s license
f a c i l i t i e s . Further, MVD has provided new f a c i l i t i e s and Saturday hours
at some s t a t i o n s . These changes may have impacted the p u b l i c ' s
perception of MVD service by making i t easier to transact business at MVD
f a c i l i t i e s .
MVD Needs To Con t i nue
Improving Areas Of P u b l i c Service
Although mast customers are s a t i s f i e d w i t h service, MVD could continue
improving service by addressing at least two problems. F i r s t , more than
one i n every ten customers feel they received discourteous service from
an MVD c l e r k . Second, some customers may be required to stand i n l i n e
for extended periods w h i l e w a i t i n g for an open window.
Rude treatment of customers - More than one of every ten survey
respondents rated employee courtesy as f a i r or poor. Further, Auditor
General s t a f f noted some examples where customers were treated rudely
during our v i s i t s to MVD s t a t i o n s . The following cases i l l u s t r a t e the
mistreatment.
Case 1
An applicant with a speech impediment completed a d r i v e r ' s license
application form and took the completed form to the appropriate
window. The clerk read the form to review the contents and asked the
applicant his age. The applicant stammered as he responded that he
was 44 and the clerk wrote down 444. The applicant saw the clerk
write 444 and asked the clerk why his response was w r i t t e n
improperly. The clerk replied, " because that i s what you t o l d me."
The applicant responded that he did not say 444. The clerk said,
" yes you did, you said ' f o u r - f o r t y - f o u r ' . " The applicant was
offended by the c l e r k ' s treatment.
Case 2
An applicant at a d r i v e r ' s license s t a t i o n was provided test
materials f o r the drivers license exam. Among the materials the
applicant was given a blank piece of paper, although she did not know
what i t s purpose was. During the t e s t , she came across two questions
for which she was unsure of the correct answers. She j o t t e d down the
two questions on the blank sheet of paper so she could look up the
answers when she was through. After completing the exam, she took
a l l the materials to the MVD c l e r k . The clerk grabbed the piece of
paper with the two questions, and t o l d her i f she ever caught her
cheating during a test again she would r i p up the answer sheet and
make her leave. The woman replied that she had been given the paper
when she was given the t e s t . The c l e r k t o l d her that blank paper was
not given out with the test and cheating was not allowed. The woman
appeared to be offended by the c l e r k ' s behavior.
Reduce standing time - MVD shou Id consider i n s t a l l ing t i c k e t machines
to reduce the time customers must stand in l i n e before receiving
service. A t the stations surveyed, customers had to stand in line an
average of 35 minutes to complete a d r i v e r ' s license transaction, an
average of 15 minutes to obtain information at d r i v e r ' s license s t a t i o n s ,
and an average of 18 minutes to process a t i t l e or r e g i s t r a t i o n
transaction.
The t i t le and r e g i s t r a t i o n s t a t ions surveyed and observed have a1 ready
instal led t i c k e t machines so t i t l e customers can s i t down whi le waiting
for an open window. D r i v e r ' s license and r e g i s t r a t i o n customers have
responded that they would l ike to see t i c k e t machines i n s t a l led."'
The time spent waiting before transactions are started would be made a e
l i t t l e more bearable i f customers were able to s i t w h i l e w a i t i n g .
MVD Needs To Make lnformat ion
More Accessible To The Pub1 i c
MVD should make information more accessible to the pub1 i c . Providing an
informat ion desk and expanding the phone system would make i t easier for
the p u b l i c t o obtain answers to t h e i r questions. Better use of signs and
readily available brochures would further assist the public i n t h e i r
transactions.
Information desk - An information desk i s needed in a l l larger MVD
s t a t i o n s . D r i v e r ' s I icense stations require al l customers to receive
i n i t i a l service from the cashier s t a t i o n . T i t l e and r e g i s t r a t i o n
stations require customers to wait f o r an open service window for i n i t i a l
service. As a r e s u l t , some customers wait for extended periods only to
find that they lack the necessary paperwork to complete t h e i r
transaction, or that they have been standing i n the wrong service l i n e .
Further, some customers must wait i n long lines j u s t t o have a simple
question answered. For those seeking information only, we found the
average wait to be more than 13 minutes at d r i v e r ' s license stations and
more than 14 minutes at t i t l e and r e g i s t r a t i o n s t a t i a n s .
At an information desk, customers could be screened f o r correct paperwork
and then directed to the proper service window. Further, the information
desk could answer questions for those requiring information only. In a
1984 study, ADOT's Productivity Resource Management System study team
recommended screening/ information desks for d r i v e r ' s license s t a t i o n s .
The following cases demonstrate the need for an information desk.
( ' ) Although t i t l e and r e g i s t r a t i o n s t a t i o n s general1 y have t i c k e t machines f o r t i t l e
customers, those renewing r e g i s t r a t i o n s must stand i n 1 i n e t o receive service.
Case 1
During an observation at a d r i v e r ' s license s t a t i o n , a man entered
and proceeded to the i n i t i a l service l i n e . Although only two people
were ahead of him, he waited more than 20 minutes to reach the front
of the l i n e .
Comnen t
The i n i t i a l service l i n e i s the s t a r t i n g point for a l l transactions
except for people seeking only information and those wanting to
reinstate t h e i r d r i v e r ' s license. Information i n q u i r i e s and d r i v e r ' s
license reinstatements are handled e n t i r e l y at the i n i t i a l service
window. When a clerk i s giving information there i s usually no
backup i n l i n e , but when a clerk has to complete a reinstatement, a
long l i n e begins to form. Since a reinstatement takes an average of
29 minutes to complete, those customers waiting i n l i n e behind a
person with a reinstatement may have to wait for as long as half an
hour to receive service.
Case 2
During the survey a customer entered a t i t l e and r e g i s t r a t i o n
station, took a t i c k e t number, and waited for the number to be
called. Her number was called a f t e r a h a l f an hour wait and she
presented herself at the service window. When she t o l d the clerk she
was there to renew her r e g i s t r a t i o n , the clerk t o l d her she was i n
the wrong l i n e and would have to wait i n the r e g i s t r a t i o n l i n e . The
customer waited i n the r e g i s t r a t i o n l i n e for 15 minutes to be
helped. When she t o l d the clerk she wanted to renew the vehicle
r e g i s t r a t i o n , the clerk t o l d her that he was unable to renew the
r e g i s t r a t i o n unless she produced a power- of- attorney, because the car
i s only registered i n her husband's name.
Comnen t
Since no one screens customers for correct paperwork o r d i r e c t s them
to the correct service window, the only way customers can get needed
information i s by standing i n l i n e to ask questions, or being t o l d
the i r transact ion cannot be completed for some reason.
Phone system - MVD does not have an adequate phone system for customer
information. The system cannot handle the volume of c a l l s received, and
many customers get a busy signal when they t r y to c a l l . In order to
determine how e f f e c t i v e the e x i s t i n g phone system i s , MVD commissioned a
study of the Phoenix area d r i v e r ' s license s t a t i o n phone system. The
study showed that the e x i s t i n g phone system received more than 21,000
c a l l s per week. Of the 21,000 cal I s , only 40 percent actually got
through to an MVD operator, and the other 60 percent heard a busy signal.
Even i f customers can get a connection to MVD, they s t i l l may encounter
d i f f i c u l t y i n g e t t i n g an MVD employee on the l i n e to answer t h e i r
question. Under MVD's current system, customers contacting metro Phoenix
d r i v e r ' s license s t a t i o n s hear a taped message followed by phone numbers
customers may c a l l f o r f u r t h e r information. These phone numbers connect
customers to MVD employees at d r i v e r ' s license s t a t i o n s . MVD has
attempted to reduce the number of c a l l s to d r i v e r ' s license s t a t i o n s by
contracting w i t h a p r i v a t e company to e s t a b l i s h an e l e c t r o n i c system to
screen c a l l e r s . The system was designed to screen c a l l e r s through taped
messages, and i f necessary, e l e c t r o n i cal l y connect them to an MVD
employee i n the appropriate area. Four numbers for MVD were l i s t e d i n
the phone book. The phone numbers d i r e c t e d c a l l e r s through a series of
screening questions o n l y , to reach a dead end - only one of the four
phone numbers allowed the c a l l e r to connect w i t h an MVD employee.
Further, the one phone number that would connect w i t h an MVD employee
connected c a l l e r s to the Mesa d r i v e r ' s license s t a t i o n camera operator.
Because of the problems w i t h the system, MVD terminated the new system.
The f o l l o w i n g cases demonstrate the problems w i t h t r y i n g to get
information using MVD's current phone system.
Case 1
On July 15, 1988, a member of our s t a f f attempted to contact a
d r i v e r ' s license s t a t i o n i n the Phoenix area to test the current
phone system for ease of customer use. The auditor found i t
d i f f i c u l t to make a connection. The f i r s t problem encountered was i n
l o c a t i n g the phone number. The phone number i s l i s t e d under the
Department of Transportation and not under a separate Motor Vehicle
D i v i s i o n l i s t i n g . A f t e r l o c a t i n g the phone number, the auditor spent
f i v e minutes and 14 attempts to get an open l i n e . When the auditor
reached an open I ine, a recorded message gave general informat ion
followed by a l i s t of phone numbers one could c a l l to obtain
a d d i t i o n a l information. A f t e r two minutes and eight attempts at
c a l l i n g the new number, an open l i n e was reached. When the phone was
answered, the auditor was immediately put on h o l d f o r one minute.
While on hold, there was no message or i n d i c a t o r t o l e t the auditor
know that he wasn't cut o f f . When the c l e r k answered the phone
again, the auditor received f a s t , courteous s e r v i c e .
Case 2
A person responding t o the customer survey stated that he could not
get through on the phone t o have h i s question answered. A f t e r t r y i n g
several days w i t h no success, he drove more than ten m i l e s t o the
s t a t i o n and stood i n l i n e for more than 30 minutes to have h i s
question answered. Since the question was o n l y i n f o r m a t i o n a l , the
customer could have avoided making the unneeded t r i p had the phone
system been e f f i c i e n t .
14
Signs - Although MVD has made an e f f o r t to improve signs and has
i n s t a l l e d some new signs i n s t a t i o n s , many signs do not e f f e c t i v e l y
convey the information customers desire. During our observation and
customer s a t i s f a c t i o n survey, many customers complained that the signs do
not g i v e c l e a r d i r e c t i o n s on where to begin transactions and do not give
complete information on the paperwork needed to complete the
transactions. Customers also complained that many of the s i g n s t h a t would
have helped them complete t h e i r transactions are located on the outside
of the b u i l d i n g or i n other less v i s i b l e l o c a t i o n s .
Brochures - MVD's use of brochures to communicate information to the
p u b l i c could be improved i f more informative brochures were p r i n t e d and
placed where the p u b l i c could obtain copies.,. T i t l e and r e g i s t r a t i o n
s t a t i o n s do not have brochures about the types of services the s t a t i o n s
o f f e r . During our observations at d r i v e r ' s license s t a t i o n s we found
that a l l s t a t i o n s had d r i v e r ' s license manuals a v a i l a b l e , but these
manuals were not always placed i n the lobby area. Thus, customers o f t e n
had to wait i n l i n e t o ask the cashier for a manual. Also d r i v e r ' s
license manuals a r e n o t generally a v a i l a b l e i n t i t l e and r e g i s t r a t i o n
s t a t ions.
RECOWENDAT I ONS
1. MVD should i n s t a l l information/ screening desks i n a l l s t a t i o n s w i t h a
high volume of customers to provide the f o l l o w i n g services.
r Ensure that customers have the proper paperwork for t h e i r
desired t r a n s a c t i o n s .
a E l i m i n a t e t h e chance of customers w a i t i n g i n the wrong
t ransac t i on l i ne .
0 Reduce the long w a i t t o receive information.
2. MVD should i n s t a l l t i c k e t machines i n d r i v e r ' s license and t i t l e and
r e g i s t r a t i o n s t a t i o n s to lessen the inconvenience of standing i n long
l ines.
3. MVD signs should be easy to understand and f o l l o w . Signs should be
placed i n e a s i l y v i s i b l e l o c a t i o n s .
4. MVD should continue t o s t r e s s the importance of proper customer
service to a l l employees.
5. MVD should develop brochures describing a v a i l a b l e customer services
and l i s t i n g required paperwork for the most common types of
transactions.
6. MVD should develop and i n s t a l l a phone system that can handle a l l
incoming phone cal Is and e l e c t r o n i c a l ly screen questions.
7. MVD should make d r i v e r ' s license manuals avai table i n t i t l e and
r e g i s t r a t i o n s t a t i o n s , and place d r i v e r ' s license and t i t l e and
r e g i s t r a t i o n manuals i n e a s i l y accessible locations i n d r i v e r ' s
license s t a t i o n s .
FINDING I I
MVD NEEDS TO MANAGE
DRIVER'S LICENSE PROCESSING MORE EFFECTIVELY
The Motor Vehicle D i v i s i o n ( MVD) does not adequately manage d r i v e r ' s
license processing. Recent increases i n processing time are l a r g e l y due
t o a lack of management o v e r s i g h t . I n a d d i t i o n , poor planning has
plagued several of MVD's new d r i v e r ' s license programs.
Processing Time Increased
In Early 1988
The time to process a d r i v e r ' s license increased s u b s t a n t i a l l y i n the
f i r s t h a l f of 1988, even though the volume of a p p l i c a t i o n s to be
processed was decreasing. As of June 1988, processing time for d r i v e r ' s
licenses exceeded 70 days. "' This i s a s i g n i f i c a n t increase from as
l a t e as January 1988, when processing time averaged 43 or fewer days.
Further, these delays are occurring under a reduced workload. The volume
of a p p l i c a t i o n s processed decreased by 17 percent i n 1987, and i s
expected to decrease f u r t h e r i n 1988.
The delays recently a t t r a c t e d some p u b l i c a t t e n t i o n when temporary
I icenses issued w i t h 60- day expi r a t i o n dates began t o expi re before
people received t h e i r new licenses. This led MVD to increase the
temporary license expi r a t i o n dates from 60 to 75 days. This i s also a
s i g n i f i cant increase from 1987, when temporary l i censes were issued w i th
45- day e x p i r a t i o n dates.
MVD has p u b l i c l y a t t r i b u t e d the delays to the implementation of i t s new
computer generated license system which occurred during the same period.
Since that time, however, d i v i s i o n records show that processing time has
been reduced to less than 50 days i n most cases.
( 1) Processing time can be much longer than average f o r a p p l i c a t i o n s w i t h e r r o r s or
those that don't pass the National Driver Registry check.
Delays Resulted From
Lack Of Management Overs i gh t
Although MVD a t t r i b u t e s the processing delays to new computer systens,
the long delays appear t o have been caused by a lack of management
oversight. Lack of monitoring allowed sizable bottlenecks to develop
before management became aware of problems. In a d d i t i o n , MVD d i d not
have performance standards to evaluate processing timeliness and,
therefore, management was unable to control performance.
Lack o f performance monitoring - MVD management was not aware of the
large backlog i n processing a p p l i c a t i o n s u n t i l consumers complained that
temporary licenses were e x p i r i n g before permanent licenses were issued.
These consumer complaints revealed a backlog which had been growing for
some time, unnoticed by management. Management was not aware of the
problems because i t does not monitor performance.
We noted backlogs i n many processing u n i t s during the course of our
a u d i t . When the a u d i t began i n February 1988, there was a backlog i n the
computer terminal entry u n i t . A t that time, the processing u n i t s
preceding the computer terminal entry u n i t were not experiencing
problems. I n March bottlenecks began to develop i n the three processing
u n i t s p r i o r t o terminal entry and i n the f i n a l processing u n i t before
mai I ing. These backlogs occurred for various reasons: s t a f f shortages
due to absenteeism, problems w i t h developing f i l m by NBS Imaging Systems
( NBS),"' and problems w i t h microf i lming the appl i c a t ions. Due to
lack of oversight these bottlenecks went undetected by management, and
combined to create the June 1988 processing time i n excess of 70 days.
Lack of performance standards - Although MVD managers expected that the
new computer generated l i c e n s i n g system would increase processing time
MVD did not e s t a b l i s h standards that would allow managers to evaluate the
D i v i s i o n ' s performance i n processing d r i v e r ' s licenses. Without such
standards MVD managers would have been unable to evaluate performance
even i f they had a c t u a l l y monitored processing. MVD p e r i o d i c a l l y
conducts studies o f average license processing time, but d i d not set a
( ' 1 MVD has a c o n t r a c t w i t h NBS Imaging Systems t o produce d r i v e r ' s l i c e n s e s , i n e f f e c t
from J u l y 1, 1987, through June 30, 1992.
18
goal for how long i t should take to issue a license. No standards were
developed for the processing done by the d i f f e r e n t u n i t s ; t h e r e f o r e ,
management has no basis to measure the performance of any u n i t .
Since we completed f i e l d w o r k , however, the D i v i s i o n has begun to work
toward a goal of 25 days to process d r i v e r ' s I icenses. According to the
assistant d i r e c t o r , 25 days i s an informal standard which i s being
c u r r e n t l y evaluated t o determine i f i t i s r e a l i s t i c and f e a s i b l e . The
assistant d i r e c t o r indicated that the 25- day standard w i l l be established
as a p o l i c y i f i t proves to be workable.
B e t t e r Management
Of New Programs I s Needed
Poor management was also evident i n the lack of proper planning and
implementation of three recent programs: the newly designed d r i v e r ' s
l i c e n s e , consolidated a p p l i c a t i o n forms, and renewal o f d r i v e r ' s licenses
by m a i l .
New d r i v e r ' s license - MVD began issuing a newly designed d r i v e r ' s
license i n March 1988. The new license has a tamper- proof p l a s t i c
lamination, a saguaro m o t i f , and i s computer p r i n t e d instead of hand
w r i t t e n . The computer p r i n t i n g i s possible due to a new computer
generated form used at the s t a t i o n s . The computer generated form and the
new l icense s t y l e , produced by NBS lmagi ng Systems, are separate
programs. MVD began both programs simultaneously i n order to produce a
new d r i v e r ' s license w i t h computer p r i n t e d information. The f o l l o w i n g
problems i l l u s t r a t e management's poor planning and implementation of
these programs.
a F i e l d o f f i c e r s d i d not have s u f f i c i e n t computer terminal t r a i n i n g
before s t a r t i n g work. They received less than 30 hours of t r a i n i n g
on how to update the Driver Data Base. In c o n t r a s t , data entry
c l e r k s at headquarters receive 240 hours o f t r a i n i n g before they
begin working at the t e r m i n a l s . Some s t a t i o n employees d i d not begin
using terminals for up to one year or more a f t e r t h e i r i n i t i a l
t r a i n i n g , and thus forgot much of what they had learned. Both
factors resulted i n high e r r o r rates. An ADOT P r o d u c t i v i t y Resource
Management System study issued i n March 1988 reported e r r o r rates of
37 percent f o r f i e l d o f f i c e r s . These e r r o r s made i t necessary for
applicants t o r e t u r n to s t a t i o n s to correct MVD mistakes.
r F i e l d o f f i c e r s were not s u f f i c i e n t l y trained to operate equipment at
the s t a t i o n s . When a p r i n t e r ribbon wore out on the second day of
operations at one s t a t i o n , no one knew how to change i t and the
c l e r k s began typing licenses manually.
a The new system was designed w i t h a computer program that p r i n t s only
the residence address on the license and does not p r i n t the mailing
address i f i t s d i f f e r e n t . The post o f f i c e w i l l only d e l i v e r licenses
to the correct mai l i n g address and a l l others are returned to MVD as
unclaimed m a i l . I f the f i e l d o f f i c e r n o t i c e s a d i f f e r e n t mailing
address, the a p p l i c a t i o n can be marked for special handling.
However, headquarters must then type a special envelope for that
I i cense.
New d r i v e r ' s license a p p l i c a t i o n forms - MVD developed a double- sided,
one page a p p l i c a t i o n f o r a l l applicants regardless of license type. The
new a p p l i c a t i o n includes the organ donor a f f i d a v i t and other support
documentation, thus e l i m i n a t i n g the need for m u l t i p l e forms. This
program encountered several problems during planning and implementation.
a Due to poor i n i t i a l design of the a p p l i c a t i o n , 23 flaws were detected
at the l a s t minute which resulted in a three month delay of
implementation. Some of these flaws were major e r r o r s . For
example: the a p p l i c a t i o n had no space to i n d i c a t e license class,
which d i s t i n g u i s h e s the types o f licenses such as operator or
motorcycle. The i n i t i a l a p p l i c a t i o n had no space f o r d r i v e r
r e s t r i c t i o n s such as c o r r e c t i v e lenses. This a p p l i c a t i o n was
scheduled to be p r i n t e d a t the same time as the new license on March
7 , 1988, but was not ready u n t i l June 13, 1988.
a A f t e r using a p p l i c a t i o n s at the f i e l d s t a t i o n s f o r a few days,
management c a l l e d a meeting to discuss how t~ deal w i t h problems that
had not been addressed before the forms were d i s t r i b u t e d . For
example, officers- in- charge at the s t a t i o n s had not been t o l d what to
do w i t h the new a p p l i c a t i o n i f an applicant f a i l e d to pass the
w r i t t e n t e s t o r the road t e s t . Some s t a t i o n s simply threw the
appl i c a t i o n away and had no record that the i n d i v i d u a l had appl ied
and f a i l e d , some s t a t i o n s created a dummy computer record noting the
f a i l u r e but s t i l l threw the a p p l i c a t i o n s away, and some s t a t i o n s kept
the a p p l i c a t i o n s on f i l e u n t i l the applicant returned.
D r i v e r ' s license renewal by mail program - MVD began the renew by mail
program for d r i v e r ' s licenses i n January 1987. This program allows
approximately 20 percent of Arizona's d r i v i n g population to renew t h e i r
licenses by mail each year, which reduces the number of applicants
processed by f i e l d o f f i c e s . The f o l l o w i n g cases demonstrate poor
management planning and implementation of t h i s program.
a MVD d i d not p i l o t t e s t the renewal by mail a p p l i c a t i o n s , and has now
determined t h a t o n l y 54 percent of e l i g i b l e applicants renewed t h e i r
licenses by mail i n 1987. According to an MVD o f f i c i a l , i n
C a l i f o r n i a nearly 80 percent of those e l i g i b l e renew by m a i l ;
t h e r e f o r e , MVD expected a comparable response r a t e . MVD assumed that
the low response rate was because applicants d i d not understand the
renewal form. MVD developed a new renewal by mail a p p l i c a t i o n and
ordered a year's supply without thoroughly t e s t i n g the new form.
Further, $ 8,000 worth o f the o l d a p p l i c a t i o n s and envelopes are
w a i t i n g to be destroyed.
a Nearly 30 percent ( 78,000) of the 291,000 renewal by mail
a p p l i c a t i o n s and l e t t e r s were returned to MVD as undeliverable. The
computer that generates the renewal l e t t e r s t o applicants i s
programmed to use the residence address even i f the m a i l i n g address
i s d i f f e r e n t . More than one year a f t e r the s t a r t of the renewal by
mail program, MVD i s considering ways to resolve the address problem.
1. MVD should take steps to reduce d r i v e r ' s license processing time by
a Establish u n i t performance standards for d r i v e r ' s license
processing areas.
2 1
e Set an o v e r a l l goal for d r i v e r ' s license processing based on
u n i t performance standards.
e Monitor and control processing time based on performance
standards.
I n a d d i t i o n , MVD management needs to improve planning and
implementation of f u t u r e programs.
0 Ensure that employees are properly trained i n new procedures.
e P i l o t t e s t programs to make necessary changes p r i o r to
implementation.
0 Monitor programs to ensure success a f t e r implementation
FINDING Ill
UVD, IN COORDINATION WITH LAW ENFORCEMENT AGENCIES AND COURTS,
NEEDS TO STRENGTHEN ENFORCEMENT EFFORTS
AGAINST DRIVERS WITH SUSPENDED OR REVOKED LICENSES
WHO CONTINUE TO DRIVE
Although enforcement agencies take a c t i o n against problem d r i v e r s , many
continue to d r i v e . I n d i v i d u a l s w i t h suspended or revoked licenses o f t e n
ignore attempts to sanction them. An e f f e c t i v e enforcement program
requires coordinated e f f o r t s by law enforcement agencies, the courts and
MVD. To fund an increased enforcement e f f o r t , the L e g i s l a t u r e should
consider r a i s i n g the license reinstatement fee for suspended/ revoked
l i censes.
E f f e c t i v e Enforcement
Requires Coordinated E f f o r t
According to Federal guidelines developed i n cooperation w i t h the
American Association of Motor Vehicle Administrators ( AAMVA), a model
enforcement program against d r i v e r s w i t h suspended/ revoked licenses
requires a h i g h l e v e l of coordination among the p o l i c e , the courts and
the s t a t e d r i v e r ' s l i c e n s i n g agency. Police o f f i c e r s detect problem
d r i v e r s and c i t e them for v i o l a t i o n s . When a d r i v e r appears i n court the
judge has the r e s p o n s i b i l i t y to adjudicate the r e s u l t i n g c r i m i n a l
charges, and i f necessary impose a court ordered suspension. F i n a l l y ,
MVD i s responsible for r e g u l a t i n g d r i v e r a c t i v i t y , i n c l u d i n g enforcment
o f motor vehicle laws by monitoring records and taking c o r r e c t i v e
actions. MVD has several sanctions against problem d r i v e r s .
a T r a f f i c Survival School - D r i v e r s who accumulate p o i n t s on t h e i r
d r i v i n g record i n a s p e c i f i e d time period must attend an authorized
school f o r a ten- hour program to help develop b e t t e r d r i v i n g h a b i t s .
8 License r e s t r i c t i o n - Special requirements ( such as d r i v i n g to and
from work only) are placed on the d r i v i n g p r i v i lege, w i t h the
o b j e c t i v e of l i m i t i n g exposure t o the d r i v i n g p u b l i c .
a Suspension - Temporarily withdraws the p r i v i l e g e to d r i v e .
Suspension can range from 30 days to one year. As of June 17, 1988,
138,000 i n d i v i d u a l s were under suspension.
a Revocation - Terminates the d r i v i n g p r i v i l e g e o f i n d i v i d u a l s who are
convicted of continued improper d r i v i n g . The revocation period
generally l a s t s f o r a minimum of one year. A t the end o f the
revocation period, a license i s not r e i n s t a t e d without an
i n v e s t i g a t i o n i n t o the character, habits and d r i v i n g a b i l i t y o f the
offender. As of June 17, 1988, 23,000 i n d i v i d u a l s were under
revocation.
MVD has s i g n i f i c a n t l y expedited i t s d r i v e r improvement program through
automation. In January 1987 MVD replaced i t s multi- phased manual
processing system w i t h an automated system. Automation of the d r i v e r
improvement program has provided more thorough screening o f d r i v i n g
records and allows MVD to take quicker a c t i o n against problem d r i v e r s .
Previously, i n d i v i d u a l d r i v i n g records were tracked manually, and
determination of d r i v e r improvement actions was a cumbersome and
t ime- consuming task, which resulted i n signi f i c a n t backlogs.
D r i v e r s Continue t o Drive
Without V a l i d Licenses
Although MVD can i d e n t i f y problem d r i v e r s and r e s t r i c t t h e i r d r i v i n g
pr i v i l eges , many i nd i v i dual s w i th suspended or revoked l i censes con t i nue
to d r i v e . These problem d r i v e r s may pose a hazard to other d r i v e r s .
Despite actions taken, v i o l a t o r s continue t o d r i v e - Despite actions
taken, i n d i v i d u a l s w i t h suspended or revoked licenses continue to d r i v e .
The f o l lowing two case examples"' of problem d r i v e r s convicted o f
numerous v i o l a t i o n s i l l u s t r a t e the apparent disregard these i n d i v i d u a l s
have for both t r a f f i c safety and the l i c e n s i n g a u t h o r i t y .
( 1 ) See Appendix I1 f o r a d e t a i l e d l i s t i n g of the d r i v e r s ' convictions and the
enforcement actions taken a g a i n s t t h e d r i v e r s .
Case One
Between October 1983 and February 1988, an i n d i v i d u a l had h i s l icense
suspended four times for periods ranging from 30 days to 15 months.
In a d d i t i o n , h i s license was i n d e f i n i t e l y suspended by the courts
seven times for f a i l u r e to pay f i n e s . In f a c t , because he d i d not
pay f i n e s , the i n d i v i d u a l ' s license has been suspended from June 1986
to the present. However, the i n d i v i d u a l has continued to d r i v e
throughout the suspension p e r i o d d e s p i t e the many actions taken
against him. He was convicted 32 times d u r i n g a four- year period,
accumulating a t o t a l of 45 p o i n t s .
The convictions include speeding, d r i v i n g under the i n f l u e n c e ,
v i o l a t i o n of f i n a n c i a l r e s p o n s i b i l i t y laws, f a i l u r e to obey t r a f f i c
signs, d r i v i n g on the wrong side of the road, and f a i l u r e to stop on
command of a p o l i c e o f f i c e r .
Case Two
An i n d i v i d u a l ' s license has been revoked from July 1986 through July
1989. In a d d i t i o n , h i s license has been suspended i n d e f i n i t e l y since
Ju l y 1985 because he d i d not pay two f i nes . Desp i t e the suspens i ons
and revocations, t h i s person continued to d r i v e and was convicted of
16 v i o l a t i o n s i n a two and one- half year period, accumulating 32
points on h i s d r i v e r record. Most of the convictions were for
d r i v i n g under suspension/ revocation. Other convictions include
speeding, f a i l u r e to obey a t r a f f i c control signal legend, d r i v i n g on
the wrong side o f the road, f a i l u r e to obey a s t o p sign, reckless
d r i v i n g , d r i v i n g under the influence, f a i l u r e to remain w i t h i n the
designated lane of t r a f f i c , and f a i l u r e to d r i v e w i t h o u t a v a l i d
d r i v e r ' s l i c e n s e . This i n d i v i d u a l ' s poor d r i v i n g h a b i t s may be
hazardous to other d r i v e r s .
We reviewed f i l e s on d r i v e r s under suspension or revocation"' to
determine how o f t e n these i n d i v i d u a l s had been caught v i o l a t i n g the
suspension/ revocation. Table 4 i l l u s t r a t e s the number of times these
i n d i v i d u a l s were convicted o f d r i v i n g under suspension/ revocation over
the past f i v e years. Although the number of d r i v e r s convicted i s small
compared w i t h the t o t a l number of l icensed d r i v e r s ( approximately 2.3
m i l l i o n as of January 1, 1988), i t i s reasonable to assume that those
( 1 ) A computer query was conducted t o review the five- year d r i v i n g h i s t o r y of
suspended o r revoked d r i v e r s as of June 17, 1988.
who continue to d r i v e without being caught i s much h i g h e r . A study
conducted by the AAMVA'" estimates that as many as 80 percent of
suspended/ revoked d r i v e r s continue t o d r i v e . F u r t h e r , the AAMVA
concludes t h a t these d r i v e r s are over represented i n f a t a l and serious
i n j u r y crashes during the suspension period.
TABLE 4
DRIVERS CONVICTED OF DRIVING
UNDER SUSPENS I ON/ REVOCAT I ON
DURl NG THE PAST F l VE YEARS
NWER
OF CONVICTIONS SUSPENDED( a) REVOKED
( a) This column includes 1 icenses suspended f o r moving v i o l a t i o n s , court ordered
suspensions and v i o l a t i o n s of f i n a n c i a l r e s p o n s i b i l i t y laws.
Source: June 17, 1988 report from MVD Systems Group.
Changes Needed For
An E f f e c t i v e Program
An e f f e c t i v e enforcement program r e q u i r e s c o o r d i n a t e d a c t i o n by law
enforcement agencies, the c o u r t s and MVD. Our review found that
s t a t u t o r y changes and improved procedures on the p a r t of the agencies
responsible f o r taking a c t i o n could g r e a t l y strengthen enforcement.
Law enforcement agencies - Since law enforcement o f f i c e r s are the
f i r s t to come i n contact w i t h suspended/ revoked d r i v e r s , i t i s important
that they a p p r o p r i a t e l y c i t e these d r i v e r s f o r t h e i r offenses. Law
( 1 ) Ameri can Associati on of Motor Vehicle Administrators, " Model Enforcement Program
Against Suspended/ Revoked Drivers," February 1984. AAMVA based i t s
recommendations on a study o f suspended/ revoked d r i v e r s i n f i v e states.
enforcement agencies could strengthen enforcement e f f o r t s against these
d r i v e r s by checking d r i v e r records, and a s s i s t i n g i n the n o t i f i c a t i o n
process.
Although t h e i r involvement i s e s s e n t i a l , law enforcement o f f i c e r s do not
always c i t e suspended or revoked d r i v e r s for the proper offense. To
ensure that appropriate a c t i o n i s taken against problem d r i v e r s , i t i s
c r i t i c a l for p o l i c e o f f i c e r s to conduct d r i v e r ' s license checks as often
as possible when they stop a d r i v e r . Such checks are p a r t i c u l a r l y
important when a d r i v e r cannot present a v a l i d d r i v e r ' s license. In some
instances, a suspended/ revoked d r i v e r may inform the o f f i c e r that he does
not have h i s license w i t h him. I f the o f f i c e r does not check license
status the i n d i v i d u a l may be c i t e d for not carrying a d r i v e r ' s license,
even though he may be under suspension/ revocation at the time. The AAMVA
concludes that people arrested for " no d r i v e r ' s license" are h i g h l y
suspect of being under suspension or revocation.
MVD can assist law enforcement agencies by i n f o r m a l l y monitoring actions
taken and providing t r a i n i n g when necessary. The AAMVA recommends that
the d r i v e r control bureau r e g u l a r l y check the " no d r i v e r ' s license"
conviction records to determine whether d r i v e r s were under suspension or
revocation at the time. I f c e r t a i n law enforcement agencies show a
p a t t e r n or trend o f f a i l i n g to c i t e , MVD can then work w i t h the agencies
to encourage t h e i r o f f i c e r s to conduct d r i v e r ' s license checks on t r a f f i c
stops, where p r a c t i c a l .
Law enforcement agencies can also a s s i s t MVD in n o t i f y i n g d r i v e r s t h e i r
licenses are suspended or revoked. Upon license suspension/ revocation,
MVD sends notice of the a c t i o n to the d r i v e r ' s l a s t known address. The
d r i v e r i s requested to acknowledge receipt o f the n o t i c e by r e t u r n i n g a
signed copy to MVD. Based on the volume of unclaimed mail returned to
MVD, some suspended/ revoked d r i v e r s may not be n o t i f i e d of MVD's a c t i o n .
Other times d r i v e r s receive the n o t i c e but do not r e t u r n the
acknowledgment to MVD. Documentation of the acknowledgment i s c r i t i c a l
i n the prosecution of some cases. According to an MVD r e p o r t , many
people claim no knowledge o f the n o t i f i c a t i o n when they appear i n c o u r t .
Most courts w i l l accept that argument, and the charge o f d r i v i n g under
suspension/ revocat ion i s d i smi ssed unless a wr i t ten acknow ledgment of
n o t i f i c a t i o n can be provided.
The License Withdrawal Acknowledgment Program can help law enforcement
o f f i c e r s obtain p r o o f t h a t d r i v e r s were n o t i f i e d of the
suspension/ revocation a c t i o n . For the past two years, MVD i n
cooperation w i t h the Tucson C i t y Police, Department o f Public Safety and
Pima County S h e r i f f ' s O f f i c e , conducted a p i l o t program t o a s s i s t MVD i n
obtaining acknowledgment of the suspension or revocation n o t i c e . MVD has
given law enforcement personnel the a u t h o r i t y ta serve a
suspended/ revoked d r i v e r w i t h an acknowledgment form and confiscate the
d r i v e r ' s license at the time the d r i v e r i s stopped. The seized licenses
and acknowledgment are then forwarded to MVD. During the 12- month t e s t
period, 10,451 licenses were withdrawn by the Tucson Police Department
and Department of Public Safety. According to MVD, these agencies have
responded favorably to the program and recommended expansion of the
program statewide.
Courts - When a d r i v e r appears i n c o u r t t h e judge has the
r e s p o n s i b i l i t y to adjudicate the r e s u l t i n g c r i m i n a l charges, and i f
necessary, impose a court ordered suspension. However, courts do not
impose consistent p e n a l t i e s for d r i v i n g under suspension/ revocation. Our
review of s i x d r i v e r s convicted of t h i s v i o l a t i o n revealed that d i f f e r e n t
sentences were imposed, regardless of the number of previous
convictions. Further, the p e n a l t i e s f o r i n d i v i d u a l d r i v e r s did not
necessar i l y escalate upon subsequent convict ions. Table 5 i I l u s t r a t e s
the discrepancies i n penalties imposed by various courts.
TABLE 5
FINES/ SENTENCES IMPOSED FOR DRIVING
UNDER SUSPENSION/ REVOCATION
BY CONVICTION NUMBER
Conviction
Driver A Fine $- 0- $ 69 $ 500 t $ 41 1 Unknown
Jai I 1 Days 2 Days 6 Days
Driver B Fine $ 205 $ 1 42 $ 52
Jai I 6Days 7Days 2Days
Driver C( a) Fine $ 4 - $ 69 $- 0- $ 138 $ 142 $ 1 37
Jai I
Driver D Fine $ 685 $ 685
Jai l 2 Days 2 Days
Driver E Fine $ 142 $ 168 $ 168 $ 137 $ 165
Jai I
Driver F * Fine Unknown Unknown $ 100 $ 165 $ 72
Jai I
( a) D r i v e r C had three a d d i t i o n a l c o n v i c t i o n s , however, t h e p e n a l t y f o r these c o n v i c t i o n s
i s unknown.
Source: Auditor General s t a f f survey of courts where convictions occurred
The f a i l u r e o f c o u r t s t o impose c o n s i s t e n t p e n a l t i e s i s due to the lack
o f s t a t u t o r i l y mandated minimum p e n a l t i e s f o r d r i v e r s c ~ n v i c t e d of
d r i v i n g under suspension/ revocation. Mandatory minimum p e n a l t i e s have
been established f o r d r i v i n g under t r a f f i c complaint suspensions, ( 1 )
although there are no penalty g u i d e l i n e s f o r other types of suspensions.
I n c o n t r a s t , o t h e r enforcement programs have established mandatory
minimum p e n a l t i e s f o r v i o l a t o r s , which escalate based on subsequent
convictions. Under the new DUI law, c o u r t s must sentence f i r s t offenders
to 24 hours i n j a i l and impose a f i n e of $ 250. A second DUI c o n v i c t i o n
w i t h i n f i v e years r e s u l t s i n a j a i l sentence of a t least 60 days and a
f i n e ranging from $ 500 to $ 1,000. A t h i r d DUI c o n v i c t i o n w i t h i n f i v e
years i s a felony, w i t h a t least s i x months i n j a i l and a f i n e up to
$ 150,000. Also, v i o l a t i o n o f the f i n a n c i a l r e s p o n s i b i l i t y law c a r r i e s a
mandatory p e n a l t y . On the f i r s t c o n v i c t i o n , courts may impose a minimum
f i n e of $ 250 and may d i r e c t MVD t o suspend the d r i v e r ' s license,
r e g i s t r a t i o n and license p l a t e s for three months. I f the d r i v e r i s
convicted a second time w i t h i n three years, t h e court must impose a
minimum f i n e of $ 500, and d i r e c t MVD t o suspend the d r i v e r ' s l i c e n s e ,
r e g i s t r a t i o n and license p l a t e s f o r s i x months. On a t h i r d or subsequent
c o n v i c t i o n w i t h i n t h r e e y e a r s , the court must impose a f i n e of a t least
$ 750, and d i r e c t MVD to suspend the d r i v e r ' s l i c e n s e , r e g ~ s t r a t i o n and
license p l a t e s f o r one year.
To f u r t h e r strengthen t h e i r a b i l i t y to penalize suspended/ revoked
d r i v e r s , courts need ready access t o MVD d r i v e r records. C u r r e n t l y ,
because of delays i n o b t a i n i n g d r i v e r records and lack of o n - l i n e access,
courts o f t e n request d r i v e r records only i n c e r t a i n cases. For example,
Currently, minimum f i n e s a r e s e t o n l y f o r d r i v i n g under t r a f f i c complaint
suspensions. Under A. R. S. $ 28- 473C, the minimum f i n e f o r d r i v i n g on a t r a f f i c
complaint suspension i s $ 300 on a f i r s t c o n v i c t i o n , and $ 500 on a second or
subsequent c o n v i c t i o n w i t h i n one year. The f i n e may be reduced t o n o t l e s s than
$ 50 w i t h proper evidence o f payment o f a c i v i l sanction imposed by t h e c o u r t f o r
the o r i g i n a l c i v i l v i o l a t i on t h a t caused the suspension.
of 12 courts contacted, nine do not r o u t i n e l y request d r i v e r records.
Without data on d r i v i n g h i s t o r y and p r i o r v i o l a t i o n s , the courts may not
be aware of an i n d i v i d u a l ' s poor d r i v i n g record and may not impose higher
C: f i n e s , or j a i l terms where warranted.
M- VD - MVD's r o l e i n the enforcement e f f o r t should be strengthened.
Because suspended/ revoked d r i v e r s are not always c i t e d by law enforcement
o f f i c e r s or sanctioned by the courts, MVD should have a d m i n i s t r a t i v e
a u t h o r i t y t o take a c t i o n against these d r i v e r s . Further, increasing
public awareness of the consequences o f d r i v i n g under suspension or
revocation may reduce the number of v i o l a t o r s .
MVD has l i m i t e d a d m i n i s t r a t i v e a u t h o r i t y to penalize d r i v e r s who continue
to d r i v e under suspension or revocation. I f a d r i v e r i s convicted of
d r i v i n g under a suspension or revocation, MVD can extend the suspension
for an equal time period and the revocation for an a d d i t i o n a l year.
However, MVD's a u t h o r i t y f o r extension are based only upon a d r i v e r ' s
conviction o f d r i v i n g under suspension/ revocation. Therefore, i f someone
i s convicted of any other v i o l a t i o n during suspension, but i s not
s p e c i f i c a l l y convicted of d r i v i n g under suspension or revocation, MVD
cannot extend the suspension period. For example, MVD cannot extend the
suspension or revocation period of a suspended d r i v e r convicted of
speeding, even though the d r i v e r was c l e a r l y v i o l a t i n g the
suspension/ revocat i o n o r d e r .
Administrative suspensions by MVD could strengthen the enforcement
e f f o r t . One MVD o f f i c i a l f e l t that w i t h proper s t a t u t o r y a u t h o r i t y , MVD
could a d m i n i s t r a t i v e l y suspend licenses o f i n d i v i d u a l s convicted of other
v i o l a t i o n s during the suspension or revocation p e r i o d . C u r r e n t l y , MVD
has a d m i n i s t r a t i v e a u t h o r i t y t o take a c t i o n against d r i v e r s convicted of
d r i v i n g under the influence of i n t o x i c a t i n g l i q u o r ( DUI). Under the DUI
law, MVD w i l l suspend the Iicense for 90 days on the f i r s t offense,
revoke the license for one year on a second c o n v i c t i o n w i t h i n f i v e years,
and a t h i r d offense could r e s u l t i n a three year l i c e n s e r e v o c a t i o n .
This a d m i n i s t r a t i v e a u t h o r i t y catches any DUI cases that s l i p through the
courts. S i m i l a r p e n a l t i e s f o r convictions received during the
suspension/ revocation period c o u l d h e l p the enforcement e f f o r t against
problem d r i v e r s .
3 1
By increasing p u b l i c awareness of the consequences of d r i v i n g under
suspension or revocation, MVD may be able to reduce the number of
v i o l a t o r s . The AAMVA states that a model enforcement program should
include an e f f o r t t o inform a l l d r i v e r s o f mechanisms i n the system to
detect v i o l a t i o n s of t h i s law. This approach could be patterned a f t e r
the e f f o r t s to inform d r i v e r s of the p r o b a b i l i t y and the consequences of
being arrested for d r i v i n g under the influence of i n t o x i c a t i n g I iquor
( DUI 1.
Higher Reinstatement Fees
Cou l d Prov i de Fund i ng
To help fund an increased enforcement e f f o r t , the L e g i s l a t u r e should
consider r a i s i n g the license reinstatement fee, w i t h a l l o r p a r t o f the
funds designated for enforcement.
Additional resources are needed for increased enforcement. F i r s t . , more
hearing o f f i c e r s may be needed i f MVD receives the a u t h o r i t y to
a d m i n i s t r a t i v e l y extend suspensions and revocations. Second, a d d i t i o n a l
funds would be needed to increase p u b l i c awareness. T h i r d , b o t h MVD and
the courts would need funds to implement on- line access t o d r i v e r
records. F i n a l l y , MVD may need to h i r e a d d i t i o n a l t r a i n i n g o f f i c e r s to
educate law enforcement agencies regarding apprehension of
suspended/ revoked d r i v e r s .
Currently, the reinstatement fee for a suspended/ revoked license i s
$ 10."' Although v i r t u a l l y a l l MVD revenues c u r r e n t l y go t o the
Highway Users Revenue Fund ( HURF), a s t a t u t o r y change could mandate that
the a d d i t i o n a l reinstatement fees be dedicated to the enforcement
program. We surveyed e i g h t neighboring s t a t e s , and found three w i t h a
reinstatement fee o f $ 25. DUl offenses i n Arizona have a $ 50
reinstatement fee. Without f u r t h e r study, the amount of fee increase
necessary to cover increased enforcement e f f o r t s cannot be determined.
( 1 ) This $ 10 reinstatement f e e may not cover MVD's processing c o s t s . For example,
before a revoked d r i v e r can r e i n s t a t e h i s l i c e n s e , a d r i v e r c o n t r o l a n a l y s t must
conduct an i n v e s t i g a t i o n which includes sending o u t q u e s t i onnai res, i n t e r v i e w i n g
the d r i v e r , and generating a r e p o r t .
However, w i t h 43,784 reinstatements i n 1987, a $ 25 fee would have
generated $ 656,760 for the enforcement e f f o r t . A $ 50 fee would have
produced an a d d i t i o n a l $ 1,751,360. Further, by funding the enforcement
program through the reinstatement fee, offenders would be funding the
program.
RECOMMENDATIONS:
1. The L e g i s l a t u r e should consider these s t a t u t o r y changes.
a Amend A . R . S . 928- 473, granting MVD the s t a t u t o r y a u t h o r i t y t o
a d m i n i s t r a t i v e l y extend license suspensions upon receiving notice
o f c o n v i c t i o n o f any v i o l a t i o n .
a Provide mandatory minimum f i n e s f o r a l l convictions of d r i v i n g
under suspension/ revocation.
a Amend A. R. S. 528- 205 to increase the reinstatement fee.
a Amend A . R . S . 528- 208, allowing MVD to keep a l l or a p o r t i o n of
the revenues generated by the increased fee for the enforcement
e f f o r t against problem d r i v e r s .
2. MVD should informal i y monitor actions taken by law enforcement
agencies by r e g u l a r l y checking the " no d r i v e r ' s licensett conviction
records received to determine whether the d r i v e r was i n fact under
suspension or revocation at that time. I f i t i s apparent that
o f f i c e r s are not properly c i t i n g such d r i v e r s , MVD should inform the
law enforcement agency and encourage the o f f i c e r s to conduct d r i v e r
license checks a t t r a f f i c stops, where p r a c t i c a l .
3. MVD should consider implementing the License Withdrawal
Acknowledgement Program on a statewide basis.
4. MVD shou Id i ncrease pub l i c awareness regard i ng the consequences of
d r i v i n g under suspension/ revocation.
FINDING IV
YVD NEEDS TO PROCESS CITATIONS IN A TIMELY MANNER
MVD does not process c i t a t i o n s i n a timely manner. Although MVD i s
charged w i t h maintaining d r i v e r records, there i s a backlog o f c i t a t i o n s
to be entered. As a r e s u l t , d r i v e r improvement actions may be delayed
and other agencies may have to r e l y on inaccurate records. MVD should
take action t o e l i m i n a t e the current backlog i n c i t a t i o n processing and
work toward preventing f u t u r e backlogs.
Driver Records Are Not
Adequately Maintained
MVD i s responsible for maintaining accurate d r i v e r records. However,
c i t a t i o n s are not processed i n a timely manner which r e s u l t s i n
backlogs. Furthermore, the number o f c i t a t i o n s returned to courts
hinders c i t a t i o n processing.
A. R. S. 928- 428 requires MVD to maintain accurate d r i v i n g records.
According to the s t a t u t e , MVD " s h a l l f i l e a l l abstracts of court records
of convictions received . . . ( and) maintain convenient records . . . i n
order that an i n d i v i d u a l record of each licensee . . . i s r e a d i l y
ascertainable and a v a i l a b l e . . . I 1 Table 6 i l l u s t r a t e s the volume of
c i t a t i o n s that MVD receives.
TABLE 6
CITATIONS RECEIVED BY MVD
M l NOR M l NOR
YEAR MAJOR I N- STATE OUT- OF- STATE TOTAL
( a) For comparison purposes, MVD's January through June 1988 data was annualized.
Source: MVD C i t a t i o n Processing Reports.
C i t a t i o n s are not processed in a timely manner - MVD i s not processing
c i t a t i o n s i n a timely manner, r e s u l t i n g i n s i g n i f i c a n t backlogs.
C u r r e n t l y , there are backlogs i n the processing o f both major and minor
c i t a t i o n s . "' Although major c i t a t i o n s are considered a top p r i o r i t y
and should be kept c u r r e n t , a small backlog e x i s t s . Major c i t a t i o n s were
backlogged as of June 30, 1988, by approximately 16,000. With current
s t a f f i n g a v a i l a b l e to process major c i t a t i o n s , i t would take
approximately 15 work days to eliminate the backlog i n major c i t a t i o n s .
Further, as of June 28, 1988, minor c i t a t i o n s were backlogged by
approximately 149,000. Minor c i t a t i o n s are separated by in- state
( backlog of 58,000) and out- of- state ( backlog of 9 1 , 0 0 0 ) ' ~ '
c i t a t i o n s . With current s t a f f i n g avai IabIe for processing minor
c i t a t i o n s , i t would take more than 11 months to eliminate the minor
c i t a t i o n backlog alone.
C i t a t i o n s returned t o courts hinder processing - Another factor
h i n d e r i n g t i m e l y updating of d r i v e r records i s the high number of
c i t a t i o n s returned to courts f o r c o r r e c t ion. C i t a t ions can be returned
to a court due to i l l e g i b i l i t y , incomplete information, missing judge's
signature, or wrong d i s p o s i t i o n code. The volume of c i t a t i o n s returned
v a r i e s , as does the amount o f time i t takes courts to send the c i t a t i o n s
back to MVD. For example, during our review we noted that the number of
c i t a t i o n s returned to courts ranged from approximately 700 to 4,500 per
month. In a d d i t i o n , we reviewed c i t a t i o n s returned for c o r r e c t i o n to
determine i f courts were r e t u r n i n g them i n a timely manner, and found
that two months a f t e r the date they had been sent out, most of the
c i t a t i o n s had not yet been returned to MVD.
According to MVD s t a f f , many c i t a t i o n s are returned to the courts because
they cannot be deciphered. We reviewed almost 1,000 c i t a t i o n s returned
A major c i t a t i o n r e s u l t s i n s i x t o e i g h t p o i n t s on a d r i v e r ' s record or a mandatory
a c t i o n taken by MVD. For example, a c i t a t i o n f o r reckless d r i v i n g i s considered a
major c i t a t i o n . A minor c i t a t i o n r e s u l t s i n three o r fewer p o i n t s and a mandatory
a c t i o n i s not required. For example, a c i t a t i o n f o r speeding i s considered a minor
c i t a t i o n .
(') The backlog of out- of- state minor c i t a t i o n s i s based on an estimate by MVD s t a f f .
to courts and found that approximately 33 percent were returned as
i l l e g i b l e due to a poor copy of the c i t a t i o n or poor handwriting. MVD
s t a f f indicate that many c i t a t i o n s are returned to the courts as
i l l e g i b l e because they receive the l a s t o f four copies of the c i t a t i o n .
The other copies of the c i t a t i o n are given to the defendant, the p o l i c e
o f f i c e r and the c o u r t . However, a court o f f i c i a l i n d i c a t e d t h a t the
Supreme Court could work w i t h the courts and law enforcement agencies to
ensure that MVD received a more l e g i b l e copy. For example, they could
n o t i f y law enforcement agencies regarding the importance of a l e g i b l e
c i t a t i o n . In a d d i t i o n , they could encourage the lower courts to make
sure the c i t a t i o n s they send to MVD are l e g i b l e .
D r i v e r Improvement Actions
May Be Delayed
Or iver improvement act ions may be delayed and other agencies may have to
r e l y on inaccurate records due to the untimely processing o f c i t a t i o n s .
Some c i t a t i o n s awaiting input w i l l r e s u l t i n an a c t i o n taken once they
are put on the system. For instance, many o f the major c i t a t i o n s that
are backlogged w i l l r e s u l t i n court ordered suspensions for f a i l u r e to
pay or f a i l u r e to appear i n court for a t r a f f i c c i t a t i o n . We also found
cases where backlogged major and minor c i t a t i o n s w i l l r e s u l t i n some type
o f action based on p o i n t accumulation once they are i n p u t . However, we
were unable to determine the extent of t h i s problem. Table 7 shows three
cases i n which backlogged c i t a t i o n s w i l l r e s u l t i n a c t i o n once they
appear on the d r i v e r ' s record.
I n a d d i t i o n , delays i n processing c i t a t i o n s may force law enforcement
agencies and others t o r e l y on inaccurate information. Courts and law
enforcement agencies use d r i v i n g records to determine a d r i v e r ' s license
status and past d r i v i n g h i s t o r y when handling a t r a f f i c v i o l a t i o n .
Insurance companies request a d r i v i n g record for anyone applying for
automobile insurance, and some businesses require job applicants to
supply a copy o f t h e i r d r i v i n g record. Therefore, the backlog i n
c i t a t i o n processing may cause users t o receive inaccurate d r i v i n g records.
TABLE 7
EXAMPLES OF BACKLOGGED CITATIONS THAT WILL RESULT
IN DRIVER IMPROVEMENT ACTION
TYPE OF CURRENT ADDED TOTAL RESULT I NG
DRIVER CITATION DATE POINTS PO I NTS PO l NTS ACT I ON
A Minor 2- 29- 88 6 2 8 R e f e r r a l to
TSS ( a)
B Major 5- 5- 88 16 8 24 12 month
suspension
C Major 6- 1 - 88 0 8 8 R e f e r r a l to
TSS
( a) Traffic Survival School
Source: Auditor General review of i n d i v i d u a l t r a f f i c c i t a t i o n s and MVD
d r i v i n g records as of J u l y 20, 1988.
MVD Shou I d
Eliminate The Backlog
MVD should e l i m i n a t e the backlog i n c i t a t i o n processing and work toward
preventing f u t u r e backlogs. MVD has not a l l o c a t e d adequate resources to
update d r i v e r records. To a l l e v i a t e long- term backlogs i n the f u t u r e ,
MVD should continue working w i t h courts to automate the process f o r
handling c i t a t i o n s .
Adequate resources have not been a l l o c a t e d - MVD has not a l l o c a t e d
adequate resources to update d r i v e r records. MVD s t a f f contend t h a t the
backlog i n c i t a t i o n s i s due to s t a f f shortage. Although four f u l l - t i m e
p o s i t i o n s ( FTE) are a l located f o r processing major c i t a t i o n s , one
p o s i t i o n i s vacant. ( According to MVD s t a f f , a d d i t i o n a l s t a f f cannot be
reassigned t o process c i t a t i o n s because they are needed to process
d r i v e r ' s license a p p l i c a t i o n s . ) However, we determined that MVD could
e l i m i n a t e the current backlog while keeping up- to- date on incoming
c i t a t i o n s by f i l l i n g the current vacancy and h i r i n g one temporary
employee. Table 12 i n Appendix I l l shows the c a l c u l a t i o n of a d d i t i o n a l
s t a f f needed to process c i t a t i o n s .
However, MVD does not have adequate s t a f f to process minor c i t a t i o n s .
Only two s t a f f are a v a i l a b l e to process minor i n - s t a t e c i t a t i o n s , and no
s t a f f are a v a i l a b l e to process minor out- of- state c i t a t i o n s . MVD can
eliminate the backlog of minor c i t a t i o n s w i t h i n s i x months by temporarily
assigning f i v e a d d i t i o n a l s t a f f to t h i s f u n c t i o n . ( See Table 12 i n
Appendix I l l , ) However, once the backlog i s eliminated, MVD w i l l need a
t h i r d FTE to keep current i n minor c i t a t i o n processing.
MVD should work t o a l l e v i a t e long- term backlogs - To a1 I e v i a t e
long- term backlogs i n the f u t u r e , MVD should continue to work w i t h courts
to automate c i t a t i o n processing. While there are a t o t a l o f 183 courts
statewide, only a few courts have on- line access to MVD's system and only
one court has the c a p a b i l i t y to enter c i t a t i o n s onto the system. In
a d d i t i o n , only f o u r of the l a r g e r c o u r t s i n the Phoenix and Tucson
metropolitan areas'" transmit c i t a t i o n s to MVD v i a magnetic tape.
Although c i t a t i o n s transmitted by tape represent a large percentage of
c i t a t i o n s received by M V D , ' ~ ' most courts c u r r e n t l y must send hard
copies of c i t a t i o n s i n t o MVB for processing. As a r e s u l t , backlogs i n
c i t a t i o n processing could continue u n t i l some form o f automation i s
implemented.
MVD should continue i t s work w i t h the Supreme Court to automate c i t a t i o n
processing. The Supreme Court, and MVD are current l y developing a p i l o t
program that w i l l enable courts to e I e c t r o n i c a I I y transmit c i t a t i o n
information through modem hook- ups to t h e i r own microcomputers. Four
courts w i l i be t r a n s m i t t i n g c i t a t i o n s i n t h i s manner during the p i l o t
t e s t , which i s scheduled to begin i n September 1988. The p i l o t t e s t w i l l
be conducted for approximately three months before i t i s evaluated. I f
the p r o j e c t i s s u c c e s s f u l , c o u r t s w i l l eventually be able to transmit
c i t a t i o n s and court abstracts without sending the hard copies to MVD.
According to a Supreme Court o f f i c i a l , the cost to obtain a modem hook- up
i s f a i r l y low. I t w i l l cost the courts approximately $ 400 for the modem,
plus an additional fee for the phone l i n e . F o r t y - f i v e courts already
( 1 ) The c o u r t s t h a t t r a n s m i t c i t a t i o n s on tape are C i t y o f Phoenix, C i t y of S c o t t s d a l e ,
Pima County and the C i t y o f Tucson.
( 2 ) For the month o f June 1988, 44 percent o f the c i t a t i o n s sent t o MVD were sent on
tape.
have modem hook- ups, although they are not yet using them to transmit
c i t a t i o n s . According to the Supreme Court o f f i c i a l , i f the p i l o t t e s t i s
successful he expects the other courts to begin implementation w i t h i n a
year.
RECO) AAENOATIONS:
1. MVD should a l l o c a t e a d d i t i o n a l s t a f f for c i t a t i o n processing.
a F i l l the current vacancy for processing major c i t a t i o n s .
a Temporarily assign f i v e a d d i t i o n a l s t a f f to process minor
c i t a t i o n s u n t i l the backlog i s eliminated. Once the backlog i s
e l i m i n a t e d , a l l o c a t e one a d d i t i o n a l FTE to process minor
c i t a t i o n s .
2. MVD should work w i t h the Supreme Court i n encouraging courts and law
enforcement agencies to submit l e g i b l e c i t a t i o n s .
3 . MVD should continue to work w i t h courts to obtain c i t a t i o n automation.
FINDING V
MVD HAS SIGNIFICANTLY IMPROVED
ITS PROCESSING OF TITLES
Since 1982 the Motor Vehicle D i v i s i o n ( MVD) has made vast improvements i n
i t s t i t l e function. MVD has s i g n i f i c a n t l y shortened the time to issue a
t i t l e . However, MVD s t i l l needs to improve i t s q u a l i t y control of t i t l e s .
MVD Has Significantly
Shortened Time To Issue Titles
MVD has greatly improved t i t l e processing i n recent years. Through
system improvements, the time to generate a t i t l e has been shortened from
nearly three weeks to two days.
In 1982 our O f f i c e conducted a review of the t i t l e processing f u n c t i o n .
A t the time of our review, we found that MVD took approximately three
weeks to process t i t l e a p p l i c a t i o n s . This lengthy processing time was
caused by MVD's cumbersome system for t i t l e processing. Under the
previous processing system, t i t l e s could not be produced u n t i l t i t l e
a p p l i c a t i o n s and supporting paperwork had been received by central
o f f i c e , checked for accuracy, and microfilmed. The t i t l e s were then
produced under a photographic process. Our 1982 review found that t h i s
process took an average o f 16 working days o r n e a r l y three weeks.
Further, the processing system was fragmented. Our 1982 study found that
f i v e i n d i v i d u a l processing u n i t s were involved i n producing a t i t l e , w i t h
t i t l e a p p l i c a t i o n s changing hands 20 times throughout the process.
MVD can now issue a t i t l e i n approximately two work days. A new process,
the I n t a g l i o System, was implemented i n October 1987. Under the l n t a g l i o
System, MVD and county employees located throughout the State update
t i t l e records on computer t e r m i n a l s . On the f o l l o w i n g day t i t l e s are
computer p r i n t e d i n MVD headquarters. The t i t l e s are then automatically
prepared and mailed. The t i t l e s are g e n e r a l l y mailed on the f i r s t or
second day a f t e r a v e h i c l e owner a p p l i e s f o r them.
Although t i t l e paperwork must s t i l l be processed, t h i s procedure has been
streamlined. MVD s t i l l receives a l l t i t l e a p p l i c a t i o n s and supporting
documents from the f i e l d s t a t i o n s ; however, the paperwork now only
requires minimal processing. Paperwork i s microfilmed and a f i l m
reference number i s entered onto the computer. Further, since the t i t l e
has already been produced and mailed before MVD received the paperwork,
t i t l e issuance i s not delayed.
Quality Control
Is Inconsistent
Although t i t l e processing has been s i g n i f i c a n t l y improved, MVD needs to
ensure that adequate q u a l i t y control i s conducted by f i e l d o f f i c e s .
Before t i t l e s were computer p r i n t e d , the a p p l i c a t i o n s were q u a l i t y
checked at MVD headquarters. However, w i t h the computer generated t i t l e s
MVD and county f i e l d o f f i c e s update t i t l e records, and t h i s information
i s used to generate a t i t l e the f o l l o w i n g day. Thus, because MVD
headquarters i s no longer able to conduct q u a l i t y reviews before issuing
a t i t l e , these reviews must be completed by f i e l d o f f i c e s .
Although q u a l i t y c o n t r o l checks are c r i t i c a l to ensure the accuracy of
t i t l e s issued, some o f f i c e s may not be conducting adequate q u a l i t y
control checks. I n May 1988, MVD T i t l e and R e g i s t r a t i o n Program
o f f i c i a l s conducted a q u a l i t y control t i t l e check of two State operated
f i e l d o f f i c e s . The o f f i c i a l s found that one of the two o f f i c e s was not
performing any q u a l i t y control checks, while the other o f f i c e was
conducting a 100 percent q u a l i t y c o n t r o l check. The o f f i c i a l s also
reviewed documents from each o f f i c e to v e r i f y the accuracy. The r e s u l t s
of the study showed that the e r r o r r a t e was higher for the o f f i c e not
performing q u a l i t y checks than for the o f f i c e performing a 100 percent
q u a l i t y check. For the o f f i c e without q u a l i t y checks, the o f f i c i a l s
found 30 major t i t l e discrepancies which w i l l require the r e c a l l o f f i v e
t i t l e s . For the o f f i c e w i t h q u a l i t y checks, the o f f i c i a l s found 12 major
t i t l e discrepancies, none of which w i l l r e s u l t i n the t i t l e being
recal led.
MVD has r e c e n t l y issued a d i r e c t i v e to f i e l d o f f i c e s which w i l l require
that q u a l i t y c o n t r o l checks be performed. On J u l y 13, 1988, a d i r e c t i v e
went i n t o e f f e c t which requires a l l State and county operated auto
license o f f i c e s to randomly sample a t least 10 percent of the d a i l y t i t l e
transactions processed for each s t a f f member. I f a problem a p p l i c a t i o n
i s found, the auto license o f f i c e i s d i r e c t e d to suspend or void the
t i t l e that day.
MVD should monitor State and county operated auto license o f f i c e s to
ensure that qua1 i t y c o n t r o l checks of t i t l e t r a n s a c t i o n s a r e conducted i n
accordance w i t h MVDts d i r e c t i v e .
OTHER PERT l NENT l NFORMAT l ON
During the course of the audit we developed information regarding the
Admin Per Se program, over- the- counter issuance of d r i v e r ' s licenses, and
control o f v e h i c l e t i t l e and r e g i s t r a t i o n o f f i c e s .
Admi n Per Se Law
In response to an Auditor General request to l e g i s l a t o r s to i d e n t i f y
areas of concern about MVD d r i v e r ' s l i c e n s i n g and t i t l e and r e g i s t r a t i o n
programs, one l e g i s l a t o r raised questions about the Admin Per Se law.
The l e g i s l a t o r asked us to determine: 1 ) how MVD i s implementing the
law, 2) the cost of the law to date, and 3) projected future costs of the
law.
Background on the Admin Per Se law - In January 1988 the State passed
a new law to address the problem of people d r i v i n g under the influence of
alcohol ( DUI). The law, " Admin Per Sew, allows MVD to a d m i n i s t r a t i v e l y
suspend licenses of DUI d r i v e r s , whether or not they receive a court
conviction. Thus, MVD's a c t i o n s a r e considered c i v i l a c t i o n s , w h i l e
courts take c r i m i n a l a c t i o n against DUI d r i v e r s . Under the new law, i f a
d r i v e r i s arrested for DUI and a blood alcohol t e s t shows an alcohol
concentration of .10 percent or more, the enforcement o f f i c e r i s
required t o : 1) serve an order o f suspension e f f e c t i v e 15 days from the
date served, 2) require the immediate surrender of the d r i v e r ' s license
or permit, and 3) issue a temporary d r i v i n g permit which i s v a l i d for 15
days. The enforcement o f f i c e r i s then required to send to MVD a DUI
a f f i d a v i t containing a copy of the order of suspension and temporary
permit, and the c o n f i s c a t e d l i c e n s e or permit. The d r i v e r may request a
hearing or summary review regarding the suspension. I f no hearing o r
summary review i s requested, the suspension i s e f f e c t i v e 15 days
f o l l o w i n g the date ~ e r v e d . ' ~ ' I f a hearing or summary review i s
( 1 I f a d r i v e r refuses t o take a blood alcohol content t e s t , the d r i v e r ' s l i c e n s e i s
suspended f o r 12 months.
( 2 ) I f a d r i v e r takes the t e s t and i s found t o have a blood alcohol l e v e l above .10
percent, the d r i v e r ' s l i c e n s e w i l l be suspended f o r 90 days. I f a d r i v e r receives
a second c o n v i c t i o n w i t h i n f i v e years, MVD w i l l revoke the d r i v e r ' s 1 icense f o r one
year. I f a d r i v e r receives a t h i r d c o n v i c t i o n w i t h i n f i v e years, MVD could revoke
the d r i v e r ' s l i c e n s e f o r three years.
45
requested, the suspension does not go i n t o e f f e c t u n t i l an MVD decision
i s made.
How i s MVD implementing the law? - MVD receives and processes DUI
a f f i d a v i t s from law enforcement agencies. The D r i v e r R e s p o n s i b i l i t y
U n i t , which i s responsible f o r processing DUI a f f i d a v i t s , updates d r i v i n g
records w i t h a f f i d a v i t information and enters suspensions onto the
records. Unless the d r i v e r requests a hearing or summary review, the
suspension automatical l y goes i n t o e f f e c t 15 days from the date the
a f f i d a v i t i s served. From January through June 1988, the Driver
R e s p o n s i b i l i t y Unit processed 14,468 DUI a f f i d a v i t s .
I f a d r i v e r requests a hearing or summary review, the MVD hearing o f f i c e
w i l l stay the suspension u n t i l a hearing decision i s made. According to
Hearing O f f i c e s t a t i s t i c s , the O f f i c e conducted 3,910 DUI related
hearings and summary reviews(" during the s i x months a f t e r the law
went i n t o e f f e c t . This represents a 238 percent increase i n DUI related
workload over the same period i n 1987.
A t the time of our review, MVD did not have s t a t i s t i c s a v a i l a b l e to
determine the number of suspensions r e s u l t i n g from the DUI program.
However, the Department i s compiling a summary of actions taken against
DUI d r i v e r s , and i s expected to have a report completed by September 30,
1988.
What i s the cost o f the law t o date? - MVD received Federal funding to
implement the DUI law. According to an o f f i c i a l from the Governor's
O f f i c e of Highway Safety, MVD spent $ 360,535 i n Federal funding to cover
the costs of personnel and equipment to s t a r t up and operate the program
through June 1988. MVD o f f i c i a l s i n d i c a t e d t h a t they spent an a d d i t i o n a l
$ 100,000 to cover costs associated w i t h operating the program.
What are the f u t u r e costs o f the law? - I t i s too e a r l y to estimate the
long- term costs o f the Admin Per Se law. MVD has hired personnel to
( 1 Before 1988, MVD1s DUI hearing f i g u r e s were f o r i m p l i e d consent hearings o n l y .
However, w i t h the a d d i t i o n of the Admin Per Se Law, DUX r e l a t e d hearings now
i n c l u d e I m p l i e d Consent hearings, Admin Per Se hearings and summary reviews.
handle the increased workload generated by the new law. The D r i v e r
Responsibi I i t y U n i t has been a l l o c a t e d t h r e e s t a f f to process DUI
a f f i d a v i t s . F u r t h e r , t h e h e a r i n g o f f i c e has been a l l o c a t e d 10 a d d i t i o n a l
hearing o f f i c e r s and s i x a d d i t i o n a l c l e r i c a l s t a f f to handle the increase
i n DUI re lated hear i ngs . MVD received $ 548,700 i n i t s 1988- 89 Budget
Request to fund the a d d i t i o n a l D r i v e r R e s p o n s i b i l i t y U n i t and Hearing
O f f i c e s t a f f and r e l a t e d expenses.
Although MVD's workload and s t a f f have increased, the number of DUI
a r r e s t s and accidents reported by the Department of Public Safety and the
Phoenix Police Department have decreased during the f i r s t s i x months the
law was i n e f f e c t . During the f i r s t s i x months of 1988, DPS reported
3,319 DUI a r r e s t s on State highways, compared w i t h 3,804 such a r r e s t s
during the same period i n 1987 ( a 12.7 percent reduction). F u r t h e r , the
number of alcohol r e l a t e d accidents on State highways declined by 5.7
percent during the f i r s t s i x months of 1988 as compared w i t h 1987 ( from
740 to 698). S t a t i s t i c s for the Phoenix P o l i c e Department also i n d i c a t e
a decrease i n DUI a r r e s t s and accidents. During the f i r s t s i x months of
1988, there were 4,538 DUI a r r e s t s compared w i t h 4,983 such a r r e s t s
during the same period i n 1987 ( a 9 percent decrease). F u r t h e r , alcohol
r e l a t e d accidents decreased by nearly 11 percent, from 1,129 the f i r s t
s i x months of 1987 to 1,008 for the same period i n 1988.
i t cannot yet be determined whether these reductions can be a t t r i b u t e d to
the new law, and/ or whether the reduct ions are permanent. Further study
w i l l be needed to determine what resources w i l l be needed to process the
Admin Per Se workload in the f u t u r e .
Over- The- Counter
Driver's Licenses
States generally f o l l o w one of two methods for issuing d r i v e r ' s licenses:
c e n t r a l issuance or over- the- counter issuance. With c e n t r a l issuance,
I icenses are produced a t a c e n t r a l locat ion and mai led to appl i c a n t s .
With an over- the- counter system, licenses are produced w i t h i n a few
minutes at d r i v e r ' s license s t a t i o n s and given t o a p p l i c a n t s before they
leave the s t a t i o n .
Arizona has central issuance - D r i v e r ' s licenses i n Arizona are issued
c e n t r a l l y . Under Arizona's system, a p p l i c a t i o n s , supporting paperwork,
and f i l m containing ID photographs are sent by f i e l d s t a t i o n s to MVD
headquarters for processing . A . R . S. 9928- 422 and 28- 421 . O1 requ i re that
a l l o p e r a t o r s ' , chauffeurs', and i d e n t i f i c a t i o n Iicenses and photo
attachments be processed c e n t r a l l y . The L e g i s l a t u r e added t h i s
requirement i n 1986. P r i o r t o 1986, the s t a t u t e s d i d not prescribe a
method of d r i v e r ' s license issuance. The Arizona Department of
Transportation ( ADOT) c u r r e n t l y has a five- year contract w i t h NBS Imaging
Systems for a central issuance system of d r i v e r ' s license production,
e f f e c t i v e July 1, 1987 through June 30, 1992.
Most s t a t e s have over- the- counter issuance - As of June 1988, most
states issue d r i v e r ' s licenses over- the- counter. Of 51 states ( i n c l u d i n g
the D i s t r i c t of Columbia), 36 states o f f e r over- the- counter issuance,
while 14 have c e n t r a l l y issued Iicenses. Colorado o f f e r s both
over- the- counter and c e n t r a l issuance. Of 89 o f f i c e s i n Colorado, 18
provide over- the- counter issuance and 71 s t i l l require central production
of d r i v e r ' s Iicenses. The 18 s t a t i o n s w i t h over- the- counter issuance
represent about 80 percent o f Colorado's business.
Advantages _ and disadvantages o f over- the- counter issuance - Both
methods have pros and cons. Opponents of oyer- the- counter issuance have
expressed concerns w i t h i t s s e c u r i t y . For example, a problem d r i v e r
could get a license without an adequate check of the d r i v i n g record.
Another concern i s that a l l of the materials needed for production are
spread throughout the State, thus creating the p o t e n t i a l for t h e f t of
cameras and supplies from f i e l d o f f i c e s . Further, w i t h over- the- counter
issuance the State cannot v e r i f y addresses given. F i n a l l y , i t may be
possible to a l t e r over- the- counter licenses. In f a c t , Alabama changed
from an over- the- counter system to central issuance due to s e c u r i t y
concerns .
We contacted Utah, Colorado and Nevada to determine how well
over- the- counter issuance has worked for these s t a t e s . O f f i c i a l s we
spoke with f e e l t h a t over- the- counter issuance has been a p o s i t i v e move.
They indicated that the p u b l i c i s s a t i s f i e d w i t h over- the- counter
issuance and i t i s much faster than a central issuance system. Further,
these states have not experienced s e c u r i t y problems w i t h d r i v i n g record
checks, t h e f t of cameras or equipment, v e r i f i c a t i o n o f addresses, or
a l t e r i n g of licenses.
a D r i v i n g record checks - A l l three states conduct a s e c u r i t y check
of d r i v i n g records. 80th Nevada and Colorado conduct a d r i v i n g
record check a f t e r the l i cense has been i ssued . I f the check reveal s
a problem d r i v e r , the license i s cancelled and the applicant i s
n o t i f i e d . Neither s t a t e indicated any l i a b i l i t y problems w i t h t h i s
system. On the other hand, Utah conducts d r i v i n g record checks at
the s t a t i o n on o u t - o f - s t a t e a p p l i c a n t s and suspicious i n - s t a t e
applicants before issuing the license. I f the d r i v i n g record
indicates a problem a license i s not issued.
a Theft of equipment and supplies - Two of the three s t a t e s indicated
they had cameras or supplies s t o l e n . F u r t h e r , a l l the o f f i c i a l s
indicated that procedures could be taken t o secure the cameras and
supplies. The Nevada o f f i c i a l i n d i c a t e d t h a t the cameras used i n h i s
state have a s e c u r i t y bar which contains the s t a t e seal and a
signature. The bar can be removed and secured separately from the
cameras. Further, the cameras are locked i n storage areas a f t e r
working hours. The Utah o f f i c i a l indicated that the cameras are key
actuated, thus they cannot be used without the necessary keys.
Further, Utah's cameras also have a removable s e c u r i t y p l a t e which
i s locked separately from the camera. Colorado has experienced t h e f t
of camera equipment twice i n the past ten years. However, because
the cameras d i d not have the f i l m or the s e c u r i t y p l a t e which
contains the s t a t e seal and a signature, the cameras could not be
used by the thieves. Thus, Colorado d i d not see t h i s t h e f t as a
reason to elimi'nate over- the- counter issuance.
r V e r i f i c a t i o n o f applicant address - With regard to v e r i f y i n g
addresses, the o f f i c i a l s we spoke w i t h d i d not see t h i s as a reason
to issue licenses c e n t r a l l y . One o f f i c i a l commented that regardless
of how a license i s issued a person i n t e n t on obtaining a license
w i t h a false residence could put a wrong address on the a p p l i c a t i o n
and have the license sent t o a temporary post o f f i c e box.
r A l t e r i n g o f d r i v e r ' s license - The o f f i c i a l s also said they have
not experienced problems w i t h i n d i v i d u a l s a l t e r i n g licenses. Both
Nevada and Utah use a laminate imprinted w i t h the s t a t e ' s name, which
cannot be removed without damaging the license.
Control Of
T i t l e And R e g i s t r a t i o n O f f i c e s
Before 1981, county assessors were the only agents performing vehicle
t i t l e and r e g i s t r a t i o n functions i n Arizona. The county assessors issued
t i t l e a p p l i c a t i o n s and registered vehicles, while the Motor Vehicle
D i v i s i o n performed a q u a l i t y review of t i t l e a p p l i c a t i o n s and produced
the vehicle t i t l e . I n 1977 s t a t u t e s were amended allowing the d i r e c t o r
of ADOT and county boards of supervisors t o c o n t r a c t to t r a n s f e r v e h i c l e
t i t l e and r e g i s t r a t i o n functions back to MVD. As of July 1, 1988, ten
counties had allowed the State to assume t h e i r auto license operations,
as o u t l i n e d i n Table 8.
TABLE 8
STATE OPERATED TITLE AND REGISTRATION OFFICES
AS OF JULY 1 , 1988
County
Pi ma
Apache
Cocon i no
Y avapa i
Mohave
Coch i se
Green lee
Y uma
La Paz
Navajo
Year o f State
- Ta keover
County o f f i c i a l s said they allowed the State to assume the auto license
operat ions because they were not gene r a t i n g suf f i c i ent revenues to cover
t h e costs of operating the auto license o f f i c e , were only breaking even, * or the county d i d not see any advantage t o r e t a i n i n g the operat ion. The
counties that s t i l l r e t a i n a t i t l e and r e g i s t r a t i o n program operated by
the county assessor are Maricopa, P i n a l , G i l a , Graham and Santa Cruz.
O f f i c i a l s i n these counties chose to r e t a i n c o n t r o l of the auto license
operations because they were making a p r o f i t from the operations, and/ or
they prefer to keep c o n t r o l at the local l e v e l .
Although the State operates l i c e n s i n g f u n c t i o n s for 10 of 15 counties,
the county assessors' t o t a l workloads are s t i l l larger than the S t a t e ' s .
For the period June 1987 through May 1988, the State handled
approximately 45 percent o f a l l t i t l e transactions and 36 percent of a l l
r e g i s t r a t i o n transactions. I n c o n t r a s t , the county assessor o f f i c e s
handled approximately 55 percent of a l l t i t l e transactions and 64 percent
of a l l r e g i s t r a t i o n t r a n s a c t i o n s . With the a d d i t i o n o f Navajo County i n
July 1988, the workload o f the State o f f ices w i l i increase by roughly 2
percent. Table 9 d e t a i l s workloads by county.
TABLE 9
T l TLE AND REG l STRAT l ON TRANSACT l ONS BY COUNTY
JUNE 1987 THROUGH MAY 1988
Percentage Percentage
T i t l e of Statewide Registration of Statewide
Transactions Total Transact i ons Total
State Operated Offices
Apache
Coch i se
Cocon i no
Green lee
La Paz
Mohave
MVD
Pima
Y avapa i
Y uma
TOTAL STATE
OPERATED
County Assessor Operated Offices
G i la 15,404 1.32% 55,162 1 .71%
Graham 6,123 .52% 21 ,448 .67%
Mar i copa 552,162 47.17% 1 ,766,576 54.92%
Navajo ( a ) 17,980 1.54% 64,284 2.00%
Pinal 40,833 3.49% 127,447 3.96%
Santa Cruz 9,341 .80% 28,352 .88%
TOTAL COUNTY ASSESSOR
OPERATED 641 ,843 54.84% 2.063.269 64.14%
TOTAL STATEW l DE 1 ,170,586 100.00% 3.216.503 100 . Om
( a) Navajo County t r a n s f e r r e d from county assessor operation t o S t a t e o p e r a t i o n as o f
J u l y 1, 1988.
Source: Motor Vehicle Division computer system report.
AREAS FOR FURTHER AUDIT WORK
Does MVD e f f e c t i v e l y regulate automobile dealers?
MVD i s responsible for I icensing about 2,300 motor vehicle dealers.
I n d i v i d u a l s can obtain a d e a l e r ' s license by applying to MVD, submitting
a $ 25 a p p l i c a t i o n fee, and posting a bond of at least $ 25,000. MVD
inspects the a p p l i c a n t s ' l o t s but does not conduct background checks.
MVD o f f i c i a l s i d e n t i f i e d several problems i n i t s r e g u l a t i o n of motor
vehicle dealers.
e MVD cannot respond i n a timely manner to the more than 2,000
complaints received each year, and cannot track complaints against
i n d i v i d u a l dealers.
a Dealer bonds cover only problems i n v o l v i n g v e h i c l e t i t l e s and do not
protect other aspects o f a t r a n s a c t i o n , such as l o s t down payments.
r Many dealers go out o f business each year without g i v i n g a t i t l e to
customers. Since MVD has not audited dealerships each year as
required by law, those dealers w i t h f i n a n c i a l problems are not
detected.
Inadequacies i n the e x i s t i n g law, l i m i t e d s t a f f i n g and lack of automation
may be the primary reasons for the shortcomings i n MVD's r e g u l a t i o n of
motor vehicle dealers. Further audit work i s needed to determine whether
e x i s t i n g laws and MVD procedures are adequate to address problems posed
by dealers, and whether MVD has s u f f i c i e n t s t a f f and support to regulate
dealers.
Are d r i v e r ' s license s t a t i o n s adequately s t a f f e d ?
Supervisors of d r i v e r ' s license o f f i c e s indicated that current s t a f f i n g
levels may be too low. Many of the supervisors surveyed by our O f f i c e
indicated that s t a f f i n g problems e x i s t . Six of 15 supervisors who
responded to the survey indicated that they were understaffed more than
50 percent of the t i m e . During our observations o f d r i v e r ' s I icense
s t a t ions we also observed instances where s t a f f appeared inadequate. The
shortages may be due to i n s u f f i c i e n t p o s i t i o n s , i n a b i l i t y to f i l l
vacancies, t r a i n i n g , s t a f f being assigned to route s t a t i o n s , and the need
for s t a f f to cover Saturday hours. Further audit work i s needed to
determine how e f f e c t i v e l y e x i s t i n g s t a f f are used and whether a d d i t i o n a l
s t a f f are needed a t some d r i v e r license s t a t i o n s .
** @ ARIZONA DEPARTMENT OF TRANSPORTATION
I I
MOTOR VEHICLE DIVISION
@ 1801 West Jefferson Street, Phoenrx, Ar~ zona
ROSE MOFFORD Mallrng Address: P. O. Box 2100, Phoenrx, Ar~ zona 85001
Govcrrlor
CHARLES L MILLER LEE A PRlNS
Dlrc~ tor D ~ v ~ s ~ Do~ rne ctor
October 6, 1988
Mr. Douglas R. Norton
Auditor General
Office of the Auditor General
2700 North Central Avenue
Suite 700
Phoenix, Arizona 85004
Dear Mr. Norton:
Thank you for the opportunity to meet with you and your staff to
discuss the audit report of the Title and Registration and Driver
License programs in the Motor Vehicle Division. We were pleased
to provide feedback to the preliminary draft and offer this
response to the revised report. Many of the problems and needs
addressed in the report have long been concerns of the Department
of Transportation and the Motor Vehicle Division.
FINDING I
The Motor Vehicle Division concurs with Finding I and will
utilize the suggested recommendations as noted below:
1. We recognize that simple information and precedural questions
need to be answered quickly and easily. The audit
recommendations are being utilized. Station managers and
examiners are instructed to work the line to screen customers
and direct them to the proper service window. We are also in
the process of reevaluating the impact of TV monitors for
continuous information on licensing procedures that now exist
at our Mesa and Tucson Main locations. We are surveying
major offices to determine the feasibility and placement of
immediately accessible information stations.
2. An experimental " take a number" ticket system was installed
on August 1st at our 35th Avenue phoenix Driver License
station. We will & valuate this pilot program at the end of
our 90- day test period and make recommendations.
a HKiHWAYS AERONAUTICS MOTOR VEHICLE PUBLIC TRANSIT ADMINISTRATNE SERWCES TRANSPORTATION PLANNING
PAGE 2
3. Signs have been produced and placed at many offices.
Additional informational signs are being designed.
4. Additional public information materials are being developed.
Some brochures have already been distributed and will be
available in all MVD offices.
5. A new telephone inquiry system will be installed and
operational about January 1, 1989.
FINDING I1
MVD agrees that the Driver License Processing Unit ( Quality
Control) should have been monitored more closely during the
transition to computer generated licenses. However, we do not
agree the Processing Unit was managed ineffectively, since that
implies no corrective management action was being taken. In
fact, the transition problems were real, they were recognized and
they were being addressed prior to, and during, the performance
audit .
Performance standards for the processing unit ( Quality Control)
were in effect for manually generated licenses. In March, 1988,
the Productivity Resource Management System ( PRMS) team reviewed
the existing standards and found them to be a