Report 2012-120 All Recommendation Responses

Report 2012-120: State Water Resources Control Board: It Should Ensure a More Consistent Administration of the Water Quality Certification Program (Release Date: June 2013)

Recommendation #1 To: Water Resources Control Board

To ensure that regional water boards, as well as the state water board itself, follow a more consistent process when reviewing water quality applications and issuing certifications, and to comply with state and federal requirements, the state water board should remind regional water boards of required application processing time frames and notifications.

1-Year Agency Response

The Office of Chief counsel issued an updated memo on the permit streamlining act (submitted with the 60-day report). Staff completed a review of the 401 Business Rules to ensure consistency with the memo (business rules submitted with the 6-month report).

In the 6-month report we indicated that we would prepare an FAQ document for posting on the program website. After reviewing questions received on permit streamlining we have determined that a FAQ document is not appropriate at this time. Instead, we have posted the Office of Chief Counsel memo on permit streamlining to the Resources for Applicants section of the public facing program website.

In addition, we have developed and posted to the program intranet website a draft certification template to improve certification consistency.

California State Auditor's Assessment of 1-Year Status: Fully Implemented

6-Month Agency Response

"COMPLETE

The Office of Chief Counsel previously issued an updated memo on the permit streamlining act (refer to 60 day report for more information). Staff has completed a review of the 401 Business Rules and determined they are consistent with the updated memo.

UNDERWAY

Staff is preparing an FAQ document for applicants that will provide answers to common questions on the information in the Permit Streamlining Act memo. Staff is also developing a certification template to improve certification consistency."

California State Auditor's Assessment of 6-Month Status: Partially Implemented

60-Day Agency Response

COMPLETE

Oral Direction was provided at the 401 Program Coordinating Committee, water quality attorney staff meetings and Management Coordinating Committee. In addition, the Office of Chief Counsel issued an updated memo on the Permit Streamlining Act, one of the main laws dictating our permitting time limits.

UNDERWAY

The direction in the memo will be incorporated into our posted 401 Program business rules

California State Auditor's Assessment of 60-Day Status: Partially Implemented

The state water board's Office of Chief Counsel issued a memo dated May 1, 2013 to the Regional Water Quality Control Boards identifying required application processing time frames and required notifications. However, the state water board acknowledged that it intends to take additional action to fully implement the recommendation.

Recommendation #2 To: Water Resources Control Board

The state water board should also continue with its effort to adopt a single application form for the certification program.

1-Year Agency Response

We developed an application checklist for staff to use to ensure consistent information is collected during the application process. (checklist submitted with the 6-month report). A Business analysis for an online application process was approved by CalTECH. The online application process will create a single application.

California State Auditor's Assessment of 1-Year Status: Fully Implemented

Considered fully implemented as the state water board developed a single application form. The use of an online form was not part of our recommendation.

6-Month Agency Response

"COMPLETE

Staff has developed an application checklist that can be used to ensure consistent information is collected during the application process.

UNDERWAY

Staff is continuing development of a single application form as part of a separate project to create an online application system. Staff is awaiting approval of a business analysis submitted to CalTech. Upon approval, staff will begin development of the online application process."

California State Auditor's Assessment of 6-Month Status: Partially Implemented

60-Day Agency Response

Staff is currently developing a unified application template and application review checklist for use by all Regional Boards. In addition, staff is evaluating options to fund development of an electronic application similar to the type already used by dischargers seeking coverage under the State Water Resources Control Board's storm water programs.

California State Auditor's Assessment of 60-Day Status: Pending

The state water board provided documentation to show that it has had some discussion about semi-standardized project tracking across regional water boards and the standardization of procedures. However, the state water board acknowledged that additional actions are necessary to fully address the recommendation.

Recommendation #3 To: Water Resources Control Board

To ensure that applicants pay the correct fee amounts for the certification program, the state water board should direct North Coast as well as the other regional water boards to verify the accuracy of fees that applicants submit to them.

1-Year Agency Response

The Executive director issued a formal written memorandum directing the regional board to verify the accuracy of fees that applicants submit. In addition, the State Board staff application review checklist noted in the response to recommendation 2 includes checking fees.

California State Auditor's Assessment of 1-Year Status: Fully Implemented

6-Month Agency Response

UNDERWAY

Staff is developing a formal written memorandum providing direction on a process for verifying the project dredge or fill discharge to ensure that the fee paid is appropriate and then adjust the fee if needed. In addition, the State Board staff application review checklist noted in the response to recommendation 2 includes checking fees.

California State Auditor's Assessment of 6-Month Status: Partially Implemented

60-Day Agency Response

COMPLETE

Direction was given to the Regional Boards at the Management Coordinating Committee that staff should check that fees paid match the project description.

UNDERWAY

The State Board Executive Director will issue additional direction as a formal written memorandum signed by the director providing direction on a process for verifying the project dredge or fill discharge to make sure that the fee paid was appropriate and then adjusting the fee if needed. The State Board staff application review checklist noted in the response to Recommendation 1 includes checking fees.

California State Auditor's Assessment of 60-Day Status: Pending

The documentation that the state water board provided does not specifically direct the North Coast Regional Water Quality Control Board (North Coast) or the other regional boards to review the accuracy of fees that applicants submit to them. As it indicates in its response, the state water board has additional action to take to fully address the recommendation.

Recommendation #4 To: Water Resources Control Board

North Coast should continue with its plans to collect from Caltrans the underpayment of application fees and to reimburse the overpayment of application fees that we identified. It should also consider reviewing a selection of past application fees it received from Caltrans to determine if other errors exist.

1-Year Agency Response

The North Coast Water Board completed an analysis of 75 Caltrans applications from the last three years and referred over and underpayments to State Board for Collection.

California State Auditor's Assessment of 1-Year Status: Fully Implemented

The net amount of underpayments that North Coast identified in addition to those we identified during the audit were almost $102,000.

6-Month Agency Response

COMPLETE

The North Coast Water Board has completed a preliminary analysis of a random sample of Caltrans Permits and developed a methodology that can be consistently applied to the remaining Caltrans Permits. The preliminary analysis found results similar to the auditor.

UNDERWAY

The North Coast Water Board will use the developed methodology to review the remaining Caltrans permits within the North Coast Region. Staff is also reconciling fees against checks received from Caltrans. Once the analyis is complete State Board will work with Caltrans to collect underpaid or refund overpaid fees.

California State Auditor's Assessment of 6-Month Status: Partially Implemented

60-Day Agency Response

COMPLETE

Direction was given to the Regional Boards at the Management Coordinating Committee that staff should check that fees paid match the project description. This will include all Caltrans projects in all the Regions for the last 3 years.

UNDERWAY

Regional Board staff is conducting a review of active projects and projects complete in last 3 years to determine if appropriate fees paid. This will include all Caltrans projects during that time period. Once the review is finished, the Water Board will reconcile the overpayments and seek to collect underpayments where found.

California State Auditor's Assessment of 60-Day Status: Pending

The state water board estimated that the regional water boards will complete their review by December 31, 2013, and it will provide documentation to the California State Auditor to identify errors in Caltrans' application fees by regional water board over the past three years and to demonstrate its follow-up with Caltrans to reimburse overpayments and collect underpayments as soon as it is available. It confirmed that the documentation it provides will also address Caltrans' underpayment of almost $18,000 on six projects and its overpayment of more than $900 on another project that the California State Auditor reviewed at the North Coast Regional Water Board during the audit.

Recommendation #5 To: Water Resources Control Board

The state water board should direct regional water boards to more consistently monitor compliance with water quality certifications and use the water quality database to track their monitoring efforts.

1-Year Agency Response

The Executive director issued a memo to the regional boards with direction to follow required application processing time frames and notifications. In addition, the Board has developed Performance Metrics that will be used to track critical program performance.

California State Auditor's Assessment of 1-Year Status: Fully Implemented

In addition to the actions listed above, the state water board provided data entry rules for its water quality database in the supporting documentation to its response. Regional water boards are mandated to use these rules when entering information into the water quality database.

6-Month Agency Response

UNDERWAY

Staff are developing direction for the Regional Boards on compliance monitoring goals. In addition, staff are in the process of developing performance measures to track compliance of the regional boards with compliance monitoring goals. Staff anticipates submiting for approval the proposed performance measures to the Executive Officers at the February MCC meeting.

California State Auditor's Assessment of 6-Month Status: Pending

60-Day Agency Response

COMPLETE

Oral Direction was provided through the Management Coordinating Committee to underscore the importance of Tracking.

UNDERWAY

The State Board Executive Director will issue additional direction as a formal written memorandum. In addition, the Office of Research, Planning and Performance is developing performance metrics that will be used to track and report on this in future years. Finally, staff is evaluating funding option to modify CIWQS to more effectively track, monitor and report on water quality certifications.

California State Auditor's Assessment of 60-Day Status: Pending

The state water board did not provide support in the form of meeting minutes or other evidence to show that the oral communication regarding tracking occurred. The state water board also acknowledged it intends to take additional action to address the recommendation.

Recommendation #6 To: Water Resources Control Board

When regional water boards include staff enforcement costs in the penalty actions they issue, the state water board should require that they use a systematic method for tracking the hours staff spend on enforcement activities related to penalty actions and maintain documentary support for these staff enforcement cost calculations.

Annual Follow-Up Agency Response From November 2017

The Water Boards amended their enforcement policy and it was approved by OAL in October 2017. The amended Enforcement Policy implemented the California State Auditor's recommendations 6 and 7 by requiring regional boards to implement a systematic method for tracking hours and a declaration under penalty of perjury containing detailed time tracking information from each staff person working on the enforcement action, including documentation of the date and time for costs billed by each staff person who worked on the enforcement action, and the applicable hourly rate of that employee. This declaration must be submitted to support an award of staff costs in all enforcement actions, not just those relating to violations of the water quality certification statutes and regulations.

California State Auditor's Assessment of Annual Follow-Up Status: Fully Implemented

Annual Follow-Up Agency Response From October 2016

Amendments to the 2010 Water Quality Enforcement Policy (Policy) have been proposed that will either remove the consideration of staff costs from purview in Administrative Civil Liability actions, or provide an established method for assessing staff costs based on a declaration under penalty of perjury containing detailed time tracking information from each staff person working on the enforcement action, including documentation of the date and time for costs billed by each staff person who worked on the enforcement action, and the applicable hourly rate of that employee, including benefits and overhead.

The proposed alternative amendments must be considered and adopted by the State Water Resources Control Board (State Water Board) after due notice and opportunity for public comment.

The 2016 Policy has been posted for a public comment period, which closes at noon on October 18, 2016. The 2016 Policy, Notice, Comparison between the 2010 Policy and the 2016 Policy, and a Statement of Reason can be accessed at the following address: http://www.waterboards.ca.gov/public_notices/comments/index.shtml

We expect to bring the 2016 Policy before the State Water Board for adoption on December 6th, unless significant changes are made following the public comment period, in which case we will bring it to the Board in early 2017. Cris Carrigan, Director of the Office of Enforcement, is the lead responsible for implementation.

California State Auditor's Assessment of Annual Follow-Up Status: Not Fully Implemented

Annual Follow-Up Agency Response From September 2015

Staff will propose amendments to the 2010 Enforcement Policy that will remove the consideration of staff costs from purview in Administrative Civil Liability actions. The proposed amendment must be considered and adopted by the Board after due notice and opportunity for public comment.

Although in June 2015 we had expected to present the proposed changes to the Board during calendar year 2015, enforcement staff workloads associated with emergency drought regulations and orders, including urban conservation-related regulations and orders and curtailment notices, and with matters relating to the incorporation of the new Division of Drinking Water, transferred to the State Water Board from Department of Public Health have been unexpectedly heavy. We remain optimistic that this amendment can be presented to the Board for its consideration by the end of the first quarter of calendar year 2016."

California State Auditor's Assessment of Annual Follow-Up Status: Not Fully Implemented

Annual Follow-Up Agency Response From October 2014

Staff will propose amendments to the 2010 Enforcement Policy that will remove the consideration of staff costs from purview in Administrative Civil Liability actions. The proposed amendment must be considered and adopted by the Board after due notice and opportunity for public comment.

Although the Board's agenda has been crowded with emergency drought regulations and orders, and with matters relating to the incorporation of the new Division of Drinking Water, transferred to the State Water Board from Department of Public Health, we remain optimistic that this amendment can be presented to the Board for its consideration by the end of the calendar year, if not in early 2015.

California State Auditor's Assessment of Annual Follow-Up Status: Not Fully Implemented

1-Year Agency Response

Staff is developing a proposal for an Enforcement Policy change that is being reviewed by management. Staff anticipates submitting the proposal to the Executive officers in Fall 2014. If approved, the Policy amendment will be developed for Board consideration.

California State Auditor's Assessment of 1-Year Status: Pending

6-Month Agency Response

UNDERWAY

Staff is developing a proposal for an Enforcement Policy change that is being reviewed by management. Staff anticipates submitting the proposal to the Executive officers in April, 2014. If approved, the Policy amendment will be developed for Board consideration.

California State Auditor's Assessment of 6-Month Status: Pending

60-Day Agency Response

COMPLETE

Office of Enforcement Attorneys have been instructed not to seek to recover staff costs in 401 water quality enforcement actions until further notice, and a brief discussion was held with Office of Enforcement attorneys and staff and the Enforcement Coordinators at the June, 2013 Enforcement Roundtable.

UNDERWAY

Office of Enforcement will work with executive staff to develop a work plan for ascertaining whether to pursue an Enforcement Policy change or develop appropriate reimbursement rates for staff costs on a program-by-program basis.

FUTURE

Water Board management will assess whether to: (1) amend the Water Quality Enforcement Policy to remove staff costs from consideration as an extra line item in ACL actions, or (2) calculate program-specific staff costs and develop a timekeeping system to allow more auditable staff costs for enforcement actions along with specific directions on when and how to account for enforcement costs .

California State Auditor's Assessment of 60-Day Status: Pending

The state water board identifies that its decision not to seek staff costs in penalty actions is temporary, i.e. dependent on additional actions. We conclude that the state water board's implementation of the recommendation is still pending.

Recommendation #7 To: Water Resources Control Board

If regional water boards continue to include staff enforcement costs in the penalty actions they issue, the state water board should revise its staff cost rate to reflect actual staff salaries and overhead cost for the certification program.

Annual Follow-Up Agency Response From October 2018

The State Water Board adopted amendments to the 2010 Water Quality Enforcement Policy on April 4, 2017 the amended policy became effective on October 5, 2017 (2017 Enforcement Policy).

The 2017 Enforcement Policy clarifies the process for imposing staff costs in enforcement actions and ensures that actual staff salaries plus overhead are reflected in calculating staff costs. In contrast to the 2010 Enforcement Policy which merely stated that "staff costs should be added to the amount of the Administrative Civil Liability (ACL)," the 2017 Enforcement Policy provides specific guidance on how to calculate and assess staff costs. The 2017 Enforcement Policy directs regional boards to create a declaration documenting staff costs to be included with evidence submitted at an ACL hearing. The 2017 Enforcement Policy states further that "the declaration shall itemize the costs incurred for investigation and enforcement by documenting for each staff member his or her classification, the applicable hourly rate including benefits and overhead (Hourly Burdened Rate), and the number of hours worked on the specific enforcement action."

Regional board staff have been given training and instructions on calculating staff costs utilizing the 2017 Enforcement Policy. The Hourly Burdened Rate is determined by using the individual employee's classification and salary multiplied by 78.5% to account for benefits and overhead divided by 173 hours. Office of Enforcement has also provided standardized Hourly Burdened Rates for frequently encountered classifications and ranges. In addition to information regarding the Hourly Burdened Rate, the regional boards have been provided with instructions on what sort of staff costs are recoverable, tracking of enforcement staff's hours, and presenting that information as part of an evidence submission.

California State Auditor's Assessment of Annual Follow-Up Status: Fully Implemented

Annual Follow-Up Agency Response From September 2018

The State Water Board adopted amendments to the 2010 Water Quality Enforcement Policy on April 4, 2017 the amended policy became effective on October 5, 2017 (2017 Enforcement Policy).

The 2017 Enforcement Policy clarifies the process for imposing staff costs in enforcement actions and ensures that actual staff salaries plus overhead are reflected in calculating staff costs. In contrast to the 2010 Enforcement Policy which merely stated that "staff costs should be added to the amount of the Administrative Civil Liability (ACL)," the 2017 Enforcement Policy provides specific guidance on how to calculate and assess staff costs. The 2017 Enforcement Policy directs regional boards to create a declaration documenting staff costs to be included with evidence submitted at an ACL hearing. The 2017 Enforcement Policy states further that "the declaration shall itemize the costs incurred for investigation and enforcement by documenting for each staff member his or her classification, the applicable hourly rate including benefits and overhead (Hourly Burdened Rate), and the number of hours worked on the specific enforcement action."

Regional board staff have been given training and instructions on calculating staff costs utilizing the 2017 Enforcement Policy. The Hourly Burdened Rate is determined by using the individual employee's classification and salary multiplied by 78.5% to account for benefits and overhead divided by 173 hours. Office of Enforcement has also provided standardized Hourly Burdened Rates for frequently encountered classifications and ranges. In addition to information regarding the Hourly Burdened Rate, the regional boards have been provided with instructions on what sort of staff costs are recoverable, tracking of enforcement staff's hours, and presenting that information as part of an evidence submission.

California State Auditor's Assessment of Annual Follow-Up Status: Fully Implemented

Annual Follow-Up Agency Response From October 2016

Amendments to the 2010 Water Quality Enforcement Policy (Policy) have been proposed that will either remove the consideration of staff costs from purview in Administrative Civil Liability actions, or provide an established method for assessing staff costs based on a declaration under penalty of perjury containing detailed time tracking information from each staff person working on the enforcement action, including documentation of the date and time for costs billed by each staff person who worked on the enforcement action, and the applicable hourly rate of that employee, including benefits and overhead.

The proposed alternative amendments must be considered and adopted by the State Water Resources Control Board (State Water Board) after due notice and opportunity for public comment.

The 2016 Policy has been posted for a public comment period, which closes at noon on October 18, 2016. The 2016 Policy, Notice, Comparison between the 2010 Policy and the 2016 Policy, and a Statement of Reason can be accessed at the following address: http://www.waterboards.ca.gov/public_notices/comments/index.shtml

We expect to bring the 2016 Policy before the State Water Board for adoption on December 6th, unless significant changes are made following the public comment period, in which case we will bring it to the Board in early 2017. Cris Carrigan, Director of the Office of Enforcement, is the lead responsible for implementation.

California State Auditor's Assessment of Annual Follow-Up Status: Not Fully Implemented

Annual Follow-Up Agency Response From September 2015

Staff will propose amendments to the 2010 Enforcement Policy to remove staff costs as a consideration in Administrative Civil Liability actions, rather than develop a method for estimating, tracking and recovering actual staff costs. The proposed amendment must be considered and adopted by the Board after due notice and opportunity for public comment.

Although enforcement staff's workload has been unexpectedly heavy with emergency drought regulations and orders, and with matters relating to the incorporation of the new Division of Drinking Water, transferred to the State Water Board from Department of Public Health, we remain optimistic that the amendment referenced in the response to recommendation 6 can be presented to the Board for its consideration by the end of the first quarter of the 2016 calendar year.

California State Auditor's Assessment of Annual Follow-Up Status: Not Fully Implemented

Annual Follow-Up Agency Response From October 2014

Staff will propose amendments to the 2010 Enforcement Policy to remove staff costs as a consideration in Administrative Civil Liability actions, rather than develop a method for estimating, tracking and recovering actual staff costs. The proposed amendment must be considered and adopted by the Board after due notice and opportunity for public comment.

Although the Board's agenda has been crowded with emergency drought regulations and orders, and with matters relating to the incorporation of the new Division of Drinking Water, transferred to the State Water Board from Department of Public Health, we remain optimistic that this amendment can be presented to the Board for its consideration by the end of the calendar year, if not in early 2015.

California State Auditor's Assessment of Annual Follow-Up Status: Not Fully Implemented

1-Year Agency Response

Staff is developing a proposal for an Enforcement Policy change that is being reviewed by management. Staff anticipates submitting the proposal to the Executive officers in Fall 2014. If approved, the Policy amendment will be developed for Board consideration.

California State Auditor's Assessment of 1-Year Status: Pending

6-Month Agency Response

UNDERWAY

Staff is developing a proposal for an Enforcement Policy change that is being reviewed by management. Staff anticipates submitting the proposal to the Executive officers in April, 2014. If approved, the Policy amendment will be developed for Board consideration.

California State Auditor's Assessment of 6-Month Status: Pending

60-Day Agency Response

COMPLETE

Until Office of Enforcement completes development of new reimbursement rates, the Regional and State Boards will not be

seeking reimbursement for staff costs in Administrative Civil Liability actions.

UNDERWAY

Office of enforcement is evaluating the most appropriate way to track staff costs as discussed in the response to recommendation 5

California State Auditor's Assessment of 60-Day Status: Pending

The state water board identifies that its decision not to seek staff costs in penalty actions is temporary, i.e. dependent on additional actions. We conclude that the state water board's implementation of the recommendation is still pending.

Recommendation #8 To: Water Resources Control Board

To ensure that it accurately records and uses fines it collects for violations of water quality certifications, the state water board should maintain a regular accounting of these fines.

1-Year Agency Response

We added and tested new revenue source codes to our tracking database (CIWQS) and the Accounts Receivable System (FMS). These new codes will minimize the risk of directing funds to incorrect accounts. Staff adjusted current outstanding receivables and revenue collected during FY 13/14 to ensure fines are accurately recorded. Going forward, staff will use the new codes for posting fines when applicable.

California State Auditor's Assessment of 1-Year Status: Fully Implemented

6-Month Agency Response

COMPLETED

Staff has added and tested new revenue source codes to CIWQS and the Accounts Receivable System (FMS). These new codes will minimize the risk of directing funds to incorrect accounts.

UNDERWAY

Staff is adjusting current outstanding receivables and revenue collected during FY 13/14 to ensure fines are accurately recorded. Going forward, staff will use the new codes for posting fines when applicable.

California State Auditor's Assessment of 6-Month Status: Partially Implemented

60-Day Agency Response

The Accounting Office will create additional accounting codes to minimize the risk of directing funds to the incorrect accounts.

California State Auditor's Assessment of 60-Day Status: Pending

In its 60-day response, the state water board acknowledges that it is still in the process of addressing the recommendation.

Recommendation #9 To: Water Resources Control Board

To improve its ability to allocate adequate resources to the certification program and better assess whether its budget is sufficient for program operations, the state water board should instruct regional water boards to accurately track staff time spent on the certification program.

1-Year Agency Response

We conducted an evaluation of the certifications programs and the legislature approved a budget change proposal for 10 additional PY to provide adequate resources for the 401 program. Additionally, we have developed program performance measures that will track and report on applications received, certifications issued, water quality violations and enforcement actions in future years. These performance measures will allow the Water Board to better assess the adequacy of its budget for the certification program.

California State Auditor's Assessment of 1-Year Status: Fully Implemented

The state board also confirmed that it instructed regional water board staff to accurately track their time, which combined with the actions that the state board described, satisfies our recommendation.

6-Month Agency Response

COMPLETE

Staff has prepared and submitted a budget change proposal to provide additional staff to ensure adequate resources to implement the 401 program.

UNDERWAY

Staff is developing performance measures to track and report on applications received, certifications issued, water quality violations and enforcement actions in future years. These performance measures, along with better tracking of staff time, will allow the Water Board to better assess the adequacy of its budget for the certification program.

California State Auditor's Assessment of 6-Month Status: Pending

60-Day Agency Response

The Water Board is conducting an evaluation of the certifications programs needs and will seek an appropriate level of program resources through the budget process. Additionally, the Office of Research, Planning and Performance is developing performance metrics that will be used to track and report on applications received, certifications issued, water quality violations and enforcement actions in future years. These performance metrics, along with better tracking of staff time, will allow the Water Board to better assess the adequacy of its budget for the certification program.

California State Auditor's Assessment of 60-Day Status: Pending

Recommendation #10 To: Transportation, Department of

If Caltrans believes that responding to the monitoring requirements and enforcement actions related to the certification program is too costly, it should begin to gather and track these costs using its accounting system. Once it has tracked these costs for a period of time, Caltrans should analyze whether these monitoring and enforcement activities are, in fact, too costly and work with the state and regional water boards to resolve how these costs might be better contained.

1-Year Agency Response

Caltrans Divisions of Environmental Analysis and Project Management have made modifications to the WSG to capture compliance and enforcement costs. The Project Resource and Schedule Management System has been revised to include the new tracking codes. The Division of Project Management will be providing direction to District project management personnel on how to incorporate the new tracking codes into existing and new project workplans. Tracking of compliance and enforcement support costs will begin on July 1, 2014.

Corrective action pending; full implementation will occur on July 1, 2014.

California State Auditor's Assessment of 1-Year Status: Fully Implemented

After July 1, 2014, Caltrans provided the instructions it sent to staff to begin using the new tracking codes. Further, according to Caltrans' Chief of the Division of Environmental Analysis, Caltrans intends to regularly check in and see what the trends are and analyze the data for potential corrective measures, which could certainly include working with the regulatory agencies to address problems.

6-Month Agency Response

Caltrans Divisions of Environmental Analysis and Project Management have worked together to modify the time-tracking system for capturing support costs for enforcement actions and environmental permitting. The first step, which was to determine a method within Caltrans' time-tracking system to capture the support costs of all environmental permitting, has been completed. The next step, which is currently being performed, will include making modifications to the time-tracking system to separate out compliance and enforcement costs, and will require coordination with the Workplan Standards Guide (WSG) committee. The WSG committee will coordinate implementation of all changes to the statewide system. The target date for accomplishing the modifications to the time-tracking system, and providing direction concerning new tracking practices, continues to be June 2014.

California State Auditor's Assessment of 6-Month Status: Pending

60-Day Agency Response

The first committee meeting (established by the Environmental Management Board with a cross section of statewide environmental managers) was held on May 21, 2013. Discussion focused on existing enforcement tracking, methods to capture all enforcement information, and various processes to capture support and capital costs. A follow-up meeting was held on June 20, 2013, where the group recognized that further investigation was needed to determine the most efficient way to coordinate with other functions and to capture the desired information. The first step will be to determine a method within Caltrans' time-charging system to capture the support costs of all environmental permitting (which will include 401 costs) from project identification through construction, along with support costs incurred for responses to enforcement actions. The next step will include making modifications to the charging system to separate out compliance and enforcement costs. Once the system has been modified, staff will be provided direction to separate out these costs. The target date for accomplishing the modifications to the tracking system and providing direction to staff for new charging practices is June 2014. Tracking will commence in Fiscal Year 2014/15.

California State Auditor's Assessment of 60-Day Status: Pending

Recommendation #11 To: Water Resources Control Board

Because the water quality database is the primary system for meeting statutory reporting obligations for the certification program, the state water board should resolve its data entry backlog and ensure that the regional water boards enter all relevant information into the system, including information about the applications received, the certifications issued, monitoring activities, water quality violations, and enforcement actions.

6-Month Agency Response

Staff completed entering all outstanding data into the CIWQS database on July 15, 2013. Direction was given to the Regional Boards at the 401 Program Coordinating Committee and the Management Coordinating Committee that staff should enter all water quality certification data into CIWIQS in a timely fashion.

California State Auditor's Assessment of 6-Month Status: Fully Implemented

60-Day Agency Response

Staff completed entering all outstanding data into the CIWQS database on July 15, 2013. Direction was given to the Regional Boards at the 401 Program Coordinating Committee and the Management Coordinating Committee that staff should enter all water quality certification data into CIWIQS in a timely fashion.

California State Auditor's Assessment of 60-Day Status: Partially Implemented

The state water board indicates that it is almost, but not completely, done addressing its data entry backlog. Further, its response indicates that the state water board only gave verbal direction rather than formal written direction to the regional water boards to enter all relevant information into the water quality database.

All Recommendations in 2012-120

Agency responses received are posted verbatim.