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Full text of "Hearing"

SAN FRANCISCO PUBLIC LIBRARY 



3 1223 08678 801 




San Francisco Public Library 



GOVERNM^. 11 " "" r ~ r,,, M'ION CENTER 
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REFERENCE BOOK 

Not to be taken from the Library 



HEARING 

SENATE RULES COMMITTEE 

STATE OF CALIFORNIA 




^ GOVERNMENT 
DOCUMENTS DEPT 



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SANFRANC/SCO 
P ^BLIC LIBRARY 



STATE CAPITOL 

ROOM 3191 

SACRAMENTO, CALIFORNIA 

WEDNESDAY, JUNE 3, 2009 

1:37 P.M. 



619-R 



SENATE RULES COMMITTEE 

STATE OF CALIFORNIA 

- - oOo - - 



STATE CAPITOL 

ROOM 3 191 

SACRAMENTO. CALIFORNIA 

- -oOo - - 

WEDNESDAY. JUNE 3, 2009 
1)1 P M 
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Reported By INA C LeBLANC 

Certified Shorthand Reporte 
CSR No 6 T\ 3 



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INDEX 



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Proceedings 1 

Governor's Appointees: 

JACK E. GARNER, Member, Board of Parole 

Hearings 2 

OPENING STATEMENT BY JACK E. GARNER 



Questions by CHAIRMAN STEINBERG re: 

Legal standard for granting 
parole 6 

I n t e r p r e t a t io n / v ie w of 

"present danger but minimal" 



Questions by SENATOR OROPEZA re 
Battered woman syndrome 



Impact of reduction of 
rehabilitative services . 



1 2 



Witness in SupportofJACK E. GARNER 
MARC NORTON, Defense Attorney 



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Witness in Opposition to JACK E. GARNER : 

DAVID WARREN, Taxpayers for Improving Public 
S a fety 14 



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APPEARANCES 
MEMPER S P RE S ENT 

SENATOR DARRELL STEINBERG, Chair 

SENATOR GIL CEDILLO 

SENATOR SAMUEL AANESTAD 

SENATOR ROBERT DUTTON 

SENATOR JENNY OROPEZA 

STAFF PRESENT 

GREG SCHMIDT, Executive Officer 
JANE LEONARD BROWN, Committee Assistant 
NETTIE SABELHAUS, Appointments Consultant 
TERESA ACUNA, Assistant to SENATOR CEDILLO 
BILL BAILEY, Assistant to SENATOR AANESTAD 
CHRIS 8URNS, Assistant to SENATOR DUTTON 
BRENDAN HUGHES, Assistant to SENATOR OROPEZA 

A LSO PR ESE NT 

JACK E. GARNER, Member, Board of Parole Hearings 
MICHAEL F. PRIZMICH, Member, Board of Parole Hearings 



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MICHAEL F. PRIZMICH, Member, Board of Parole 
Hearings 18 

OPENING STATEMENT BY MICHAEL F. PRIZMICH ... 

Questions by CHAIRMAN STEINBERG re: 

"Present risk" versus "unreasonable 
risk" 19 

Training 19 

Questions by SENATOR DUTTON re: 

Psychological evaluations/risk 
fa cto rs 2 1 

Dog 2 3 

Witness in Support of MICHAEL F. PRIZMICH : 
MARC NORTON, Defense Attorney 30 

Witnesses in Opposition to MICHAEL F. PRIZMICH: 

PEGGY HERNANDEZ, Spouse of Life -Term Inmate . 

DAVID WARREN, Taxpayers for Improving Public 
S a fety 2 8 



■ o o - 



Vote-Only Item re Confirmation of: 

ADAM B. HUBBARD, Member, California Arts 
Council 33 

ROBERT T. DOYLE, Member, Commission of 
Peace Officer Standards and Training 33 

BONNIE M. DUMANIS, Member, Commission of 
Peace Officer Standards and Training 33 



of 11 sheets 



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06/08/2009 09:22:42 AM 



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Vote-Only Item re Confirmation of: 


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All right. Moved by Senator Aanestad. 


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JEFFREY A. LUNDGREN, Member, Commission of 
Peace Officer Standards and Training 33 


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Please call the roll on the reference of bills. 
MS. BROWN: Senator Cedillo. 


LAURIE R. SMITH, Member, Commission of Peace 
Officer Standards and Training 33 


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SENATOR CEDILLO: Aye. 
MS. BROWN: Cedillo aye. 






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Dutton. 


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-oOo- 


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SENATOR DUTTON: Aye. 
MS. BROWN: Dutton aye. 


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Proceedings Adjourned 34 


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Oropeza. 

SENATOR OROPEZA: Aye. 


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Certificate of Reporter 35 


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MS. BROWN: Oropeza aye. 
Aanestad. 




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APPENDIX (Written Responses of Appointees) .. 36 


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SENATOR AANESTAD: Aye. 


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MS. BROWN: Aanestad aye. 




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Steinberg. 


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CHAIRMAN STEINBERG: Aye. 


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MS. BROWN: Steinberg aye. 




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CHAIRMAN STEINBERG: All right. We move to 


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file item two. There are two gubernatorial appointees 


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who are required to appear today, Jack E. Garner and 


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Michael F. Prizmich, as members of the Board of Parole 


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Hearings. 


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I'd ask — Well, we're going to do them one at 


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a time like we did last week. 


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Mr. Garner could come up first. Appreciate it. 

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PROCEEDINGS 


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MR. GARNER: Good afternoon. 


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CHAIRMAN STEINBERG: The Senate Committee on 


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CHAIRMAN STEINBERG: Good afternoon, sir. How 


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Rules will come to order. 


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are you? Welcome. 


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Please call the roll. 


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MR. GARNER: Thank you. 


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MS. BROWN: Senator Cedillo. 


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CHAIRMAN STEINBERG: As part of our Rules 


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SENATOR CEDILLO: Here. 


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Committee tradition, we always want to give the nominee 


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MS. BROWN: Cedillo here. 


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an opportunity to introduce his or her family, or any 


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Dutton. 


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special guest in the audience. Please do so. 


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SENATOR DUTTON: Here. 


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MR. GARNER: Very good. Thank you for the 


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MS. BROWN: Dutton here. 


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opportunity. I would like to introduce my wife, 


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Oropeza. 


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Diana Garner. She's in the audience. She was here last 


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Aanestad. 


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time. Thank you. 


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Steinberg. 


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CHAIRMAN STEINBERG: Welcome to you. Good to 


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CHAIRMAN STEINBERG: Here. 


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see you. All right. 


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MS. BROWN: Steinberg here. 


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Mr. Garner, you're up for this important 


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CHAIRMAN STEINBERG: Thank you. If we can -- I 


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position here. Would you like to begin with an opening 


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just want to make sure that the sergeants on the floor 


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statement? 


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let Senator Oropeza and Senator Aanestad know -- There's 


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MR. GARNER: Yes, sir. I would. 


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Senator Aanestad. Okay. And Senator Oropeza is coming. 


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CHAIRMAN STEINBERG: Good. 


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SERGEANT LOPEZ: I informed them. 


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MR. GARNER: Ready to proceed' 


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CHAIRMAN STEINBERG: We have a quorum, and a 


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CHAIRMAN STEINBERG: Yes. Go, go. 


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full membership is now present. 


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MR. GARNER: First of all, I'd like to say good 


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If we may begin with file item one, which is 


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afternoon to everyone and confirm that I am Jack Garner. 


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reference of bills. Are there any issues regarding 


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I'm here as a governor's appointee to the Parole Board. 


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reference of bills? 

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Grateful for the opportunity to appear before you today, 

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06/08/2009 09:22:42 AM 



Page 5 to 3 of 5 



2 of 11 sheet 



Mr. Chairman, Members of the Senate Rules Committee. 

A little background. Essentially, my entire 
life has been in the area of public service from the 
time I was 21 years of age until the age that I am 
today, which very shortly will be Medicare-eligible age 
in about 23 days. 

During my term on the board, I have been 
assigned over 2,000 cases, have handled the vast 
majority of the cases. Each case, of course, is 
challenging, interesting. There's never a dull moment 
when you are working on the board. 

It does afford you, occasionally, opportunities 
to develop -- I won't call it a personal relationship, 
but to at least acknowledge the human side of what we 
do, and that is to reach out and help somebody that you 
see that's in need of help. 

At a particular occasion with a rather sad case 
of an individual that obviously had an extreme hearing 
difficulty to the point where he couldn't even 
understand the proceedings. A quick call to the on-site 
Americans with Disabilities Act coordinator for the 
institution resulted in a positive outcome. They 
acknowledged that there had been an omission and an 
error in some of the paperwork that's done to 
acknowledge these sorts of issues, and that the 



1 same position, and we asked a question that I want to 

2 ask you about, a very important question, as to what you 

3 believe the legal standard to be for the granting of 

4 parole. 

5 In reviewing some of the transcripts of the 

6 cases you have presided over, the standard phrase you 

7 use is whether or not the inmate poses, quote, "a 

8 present risk of danger." And yet Title 15 of the Code 

9 of Regulations says that you "... deny parole if, in the 

10 judgment of the panel, the prisoner will pose an 

1 1 unreasonable risk of danger to society if released. " 

12 How do you reconcile those two? 

13 MR. GARNER: Well, up until the passage of 

14 Proposition 9, the second example you gave was the 

15 standard, the unreasonable risk of danger. 

16 The passage of Proposition 9 did slightly 

17 modify it since as a result of the Lawrence and Shaputis 

18 case, we're now charged with also making an assessment 

19 with respect to their current risk of danger if 

20 released, and that risk, of course, would be to the 

21 community and to the society. 

22 So it's a process of evolution that's actually 

23 occurred since I've been on the board. 

24 CHAIRMAN STEINBERG: I'd like to understand, 

25 because these are legal terms in a way, but how one 

6 



individual is going to be scheduled to get a hearing 
aid, which certainly not only would facilitate his 
participation in the hearing but would make his 
day-to-day life while in custody certainly a lot more 
bearable, being able to hear. 

During my time as a commissioner, I feel that 
I've done my best to establish a reputation for being 
fair and impartial. It's oftentimes a matter in the eye 
of the beholder, but it's certainly been my intent to do 
that. It's also been my intent, wherever possible, to 
make the hearing as relaxed as I can. I certainly 
recognize it's a very stressful hearing for the people 
that are coming before us, and doing what we can to 
relieve some of that tension, often including just 
giving them a break if they appear to be in such a 
manner that they're not able to present themselves. 
Just a moment to step outside, get a drink of water has 
oftentimes been very beneficial. 

So, again, I do appreciate the opportunity to 
serve as a commissioner. I'm here today to answer any 
questions that you may have and, again, look forward to 
participating in today's proceedings. 

CHAIRMAN STEINBERG: Thank you, Mr. Garner. We 
do have some questions, and I will begin. 

Last week we heard a number of nominees for the 

5 



1 interprets them is important, because an individual 

2 could be a present risk of danger but be a minimal risk 

3 of danger. If — how do you — How would you view that 

4 fact scenario? Present danger but minimal. 

5 MR. GARNER: We, of course, take into 

6 consideration the totality of the information that's 

7 before us. The one example, of course, is we do have 

8 the psychological exams that give us a clinician's 

9 observation. And, typically, for the people that are 

10 approaching readiness for suitability is the 

11 determination from the clinician that they represent 

12 either a low or a very low risk of danger to society. 

13 That plays into all the other considerations that we 

14 entertain at the time we're making our decision, their 

15 institutional programming, their discipline history. 

16 These are all factors that play exactly into the 

17 question you're asking. 

18 CHAIRMAN STEINBERG: Maybe I can ask it a 

19 little different way. 

20 MR. GARNER: Okay. 

21 CHAIRMAN STEINBERG: Have you seen fact 

22 situations where someone was, in fact, a present risk of 

23 danger but not an unreasonable risk of danger? 

24 MR. GARNER: I don't believe I've seen that set 

25 of circumstances. 



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1 CHAIRMAN STEINBERG: Can you imagine that set 

2 of circumstances? I mean, can you conceive of a 

3 situation where someone would be a present risk? But, 

4 again, I'm not qualifying it by what degree of risk. Do 

5 you understand what I'm trying to get at? 

6 MR. GARNER: I think I see where you're going. 

7 CHAIRMAN STEINBERG: It's not semantics. It's 

8 just -- You could argue that everyone is at some risk of 

9 being dangerous, especially someone who's been sentenced 

10 to life in prison. Let's stipulate everybody is a 

11 present risk of danger. So then what? Is it an 

12 unreasonable risk of danger, or is it any risk of 

13 danger? 

14 MR. GARNER: Taking the illustration, we could 

15 have an individual that you described that does have a 

16 present risk of danger that's been determined to be low. 

17 Under those circumstances, I would not find that to be 

18 an unreasonable risk, because we pretty much concluded 

19 everyone has the potential to be a risk. 

20 CHAIRMAN STEINBERG: And you would grant that 

21 person parole given -- 

22 MR. GARNER: All the other considerations. 

23 CHAIRMAN STEINBERG: -- all the other 

24 considerations. 

25 MR. GARNER: Yes. 

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1 We, of course, receive training in this. We've 

2 also received training materials. We've received sample 

3 questions we can ask going to the different points, 

4 going to the elements in the different types of abuse 

5 the person may have sustained over the history of the 

6 relationship with the batterer. 

7 So by probing on those particular questions, we 

8 also have the opportunity -- Oftentimes, there's been a 

9 request for a very detailed investigation that will go 

10 into very great lengths to determine all of the factors 

11 that went into the particular claim that's been made as 

12 to whether it's verified, partially verified, or not. 

13 Those are the particular findings. 

14 SENATOR OROPEZA: And how do you factor 

15 those — that information into your decisions? How does 

16 that affect the outcomes? 

17 MR. GARNER: I guess an easy answer for me 

18 would be that I would give it appropriate weight. If it 

19 was very, let's say, overwhelming and very conclusive, 

20 then that would be a significant factor for me to 

21 consider. If it was one where it was minimally 

22 sustained and may not have been completely addressed, 

23 then I would have to either reach a greater level of 

24 satisfaction by asking more questions, but at some point 

25 I would just have to take the information that is before 

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1 CHAIRMAN STEINBERG: Okay. Well, that's pretty 

2 clear. 

3 MR. GARNER: Thank you. 

4 CHAIRMAN STEINBERG: Okay. Questions from 

5 other members. Senator Oropeza. 

6 SENATOR OROPEZA: Hi. Thank you for being with 

7 us today. I'd like to talk to you about two matters. 

8 One has to do with a very particular condition that the 

9 individuals may come to you with, and that's battered 

10 woman syndrome. 

11 How — How do you factor into your 

12 considerations, given that within Title 15 of the code 

13 it's clearly necessary for you to do so -- how do you 

14 deal with the issue of battered woman syndrome? How do 

15 you determine; how do you factor that into your 

16 decisions; what role does it play in the overall 

17 outcomes from the hearings? 

18 MR. GARNER: Very good. I think I understand. 

19 The present situation, of course, is that we 

20 now define that as intimate partner battery, although I 

21 have yet to have a male inmate that has made that 

22 assertion. 

23 Typically, this is a finding that is present 

24 when you are in one of -- for my case, in one of the two 

25 women's prisons. 

9 



1 me and make the best decision possible. 

2 SENATOR OROPEZA: How do you become aware -• 

3 How do you become aware, as a hearing officer, that a 

4 given inmate suffers from this syndrome or has 

5 potentially suffered from this? 

6 MR. GARNER: Number of sources would be that if 

7 there's been a previous request for investigation, that 

8 of course would come out very quickly. It's a factor 

9 and consideration that the clinician also addresses at 

10 the time he or she completes the psychological 

11 evaluation. 

12 And, again, there is the opportunity, if 

13 there's the slightest doubt, to go to the battery of 

14 questions that we've been provided that were a 

15 by-product of the training sessions that -- 

16 SENATOR OROPEZA: And those were developed by 

17 the psychological folks 7 

18 MR. GARNER: They are a combination of the 

19 psychological, and also we have a number of experts that 

20 assist the board. 

21 SENATOR OROPEZA: Specifically on battered 

22 women? 

23 MR. GARNER: On this issue, I recall a 

24 Dr. Balker, I believe, being one of the experts that has 

25 assisted the board in this particular training and also 

11 



06/08/2009 09:22:42 AM 



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the development of materials. 

SENATOR OROPEZA: In the course of your 
experience, have you ever found that battered woman 
syndrome was the tipping of the balance in terms of 
actually giving someone parole? 

MR. GARNER: No. 

SENATOR OROPEZA: No. Okay. 

And then the second line of questioning relates 
to our fiscal situation and what we're looking at not 
only this year, but next year. As you're probably 
aware, this year's cuts are about 790 million this year, 
and 915 million specifically from rehabilitative 
services within CDCR. And so -- And those 
rehabilitative services are -- would include things like 
substance abuse, education programs, vocational 
training, the kinds of things that help prepare people 
for parole. 

So I'm not asking you for your position on 
those, but what I would like to ask you is how you think 
those reductions will impact your work in what you see 
and -- well, let me just leave it there. 

MR. GARNER: I think the impact that it's going 
to have on all of the commissioners, of course, is in 
the area of dealing with the readiness of the people 
that are coming before us, because the programming is 

12 



1 opportunity to be involved in. 

2 I know -- I do it and I know other 

3 commissioners have also done it. We certainly encourage 

4 people during these -- we call them the times when there 

5 are institutional issues that preclude the type of 

6 programming that we like — not to allow this to impact 

7 them by doing alternatives, such as self-study, that 

8 they can document. 

9 We're finding a lot of the inmates are 

10 developing their own study groups. They're developing 

11 their own groups on the yard to work the steps with each 

12 other, because the essence of the programming isn't as 

13 much that they bring the certificates in. It's when we 

14 question them, that they're able to articulate any 

15 benefit and value. 

16 For example, someone that says they've been 

17 going to substance abuse programming such as AA or NA 

18 for 20 years consecutively, and we ask them a step and 

19 they can't tell us, it does call into questioning 

20 whether they're going there for cookies and milk or 

21 actually to get something out of the program. 

22 SENATOR OROPEZA: Well, thank you very much. I 

23 appreciate your answers. 

24 CHAIRMAN STEINBERG: Other Members? 

25 Are there members of the public who want to 

14 



such an essential component. That's essentially what we 
hammer from the time they have their -- what's called a 
document hearing, which is a prelude to the actual full 
hearing with the commissioner. The issue of programming 
is hammered exclusively, the programming around getting 
vocational skills, programming around self-help, albeit 
for substance-abuse issues, anger-management issues, but 
all the things that we do very positively when someone 
comes before us. 

We actually had a preview of this with respect 
to a lot of the programming that had to be curtailed 
during the budget impasse. There essentially was no 
money, and the programs were shut down. And our best 
source for program information is, nine times out of 
ten, the inmates when they come before us who tell us 
that the programs have been curtailed. 

So anything that occurs as a result of economic 
circumstances or otherwise I feel is going to have a 
direct impact on not only the readiness for parole, but 
I also think that potentially there are a number of just 
institutional issues that are going to be important for 
the various institutions to consider. And a lot of that 
is some of the frustration, because these programs also 
provide a very viable outlet for sometimes the closest 
thing to socialization that the inmates will have the 

13 



1 come up to testify either in support or opposition of 

2 Mr. Garner? Come on up. 

3 MR. WARREN: Good afternoon. My name is David 

4 Warren. I'm appearing on behalf of Taxpayers for 

5 Improving Public Safety, and we're appearing in 

6 opposition to the nomination. We've submitted a letter 

7 which details, essentially, the contents of our 

8 opposition. 

9 Like you, I've read a number of transcripts, 

10 and I feel that member -- the nominee has a 

11 predisposition to attempt to find Shaputis reasons to 

12 deny parole rather than -- 

13 CHAIRMAN STEINBERG: Explain that, please, 

14 "Shaputis," for the record. 

15 MR. WARREN: There are two parallel Supreme 

16 Court decisions. One was Davis Lawrence, which sets the 

17 standard for granting parole, and Shaputis, which 

18 provided guidelines to deny parole. And specifically, 

19 in Shaputis, the court found that the person had not 

20 fully reflected and examined and made amends for their 

21 criminal conduct; whereas in Daw's Lawrence, there was a 

22 long track record of demonstration of repenting the 

23 action and having rehabilitated themselves. The key in 

24 the Shaputis case was the person was not adequately 

25 admitting his criminal conduct, and that appeared to be 

15 



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the fulcrum. 

In reviewing the transcripts, it appears the 
questions are directed towards supporting a Shaputis 
denial. 

The -- Also, I think that the Chair asked a 
very telling question, and that is: When do we find a 
person should be granted parole? And the response 
was: When they're no longer a danger to public safety. 
And yet the nominee voted to deny the release of a woman 
who had terminal cancer, brain tumor, was hospitalized, 
had a leg amputated and could not eat or take care of 
herself by herself. It's certainly telling that that is 
not the standard. It was more concern about her prior 
crime. 

Thank you very much. 

CHAIRMAN STEINBERG: Good. You know, we loath 
to get into debate back and forth about individual 
cases, but if you want to respond, Mr. Garner, as to 
this specific case cited by Mr. Warren, you're welcome 
to. 

MR. GARNER: I'm going to assume that he's 
talking about the Elkins case, and this was a case that 
did come before the entire board. We had an ample body 
of testimony. We also had a number of reports that were 
prepared for us by the various institutions and also by 

16 



1 comments. Thank you. 

2 CHAIRMAN STEINBERG: Thank you very much. 

3 Mr. Prizmich, welcome to the hot seat. 

4 MR. PRIZMICH: There you go. 

5 CHAIRMAN STEINBERG: There you go. 

6 Would you like to introduce any member of your 

7 family or special guest here with you today? 

8 MR. PRIZMICH: I'm Mike Prizmich, Commissioner. 

9 I'm the only one here. 

10 CHAIRMAN STEINBERG: Okay. Well, very, very 

11 good. Would you like to make an opening statement, sir? 

12 MR. PRIZMICH: Briefly, yeah. I started my law 

13 enforcement career in 1971 with the Oakland Police 

14 Department, served there for about six years; moved to 

15 Amador County, held the position of deputy sheriff, 

16 lieutenant, chief deputy, undersheriff, and, finally, a 

17 three-term sheriff for the county. 

18 As a sheriff for the county, I was involved in 

19 a number of jail and public issues that dealt with both 

20 victims and inmates. Started a number of programs. 

21 One, particularly, was a program in the jail that was — 

22 enhanced prisoners' ability to improve themselves, and 

23 it incorporated their families. And that was read into 

24 the record by Janet Reno, the then Attorney General, and 

25 was mentioned on the Senate — the Congressional record 

18 



CDCR staff. 

And I did vote against the release. I was one 
of 12. I believe it was a unanimous vote, and I voted 
against it. 

CHAIRMAN STEINBERG: Okay. No other witnesses. 

Couple of comments. I find your answers today 
to be very cogent. You're the only nominee thus far on 
these issues that actually, to my satisfaction, 
reconciled Title 15 with the Supreme Court cases in a 
way that makes sense to me. 

I also appreciated your answers to Senator 
Oropeza's questions, and your view on programming, and 
the difference between programming in name and 
programming in actual action. And so it would be my 
inclination to support your nomination. 

We will, however, just as we did last week, put 
over the nomination, because what we do want is some 
understanding and some clarity with the board itself, 
the entire board itself, as to the appropriate legal 
standard so that everyone is on the same page going 
forward, and there isn't this ambiguity. 

So your nomination will expire, I believe, on 
July the 1st, and we will bring it back up before that 
and look forward to supporting your nomination. 

MR. GARNER: Very good. I appreciate your 

17 



1 in Washington, D.C. 

2 I served on the California State Sheriffs as a 

3 director there and headed up a couple of committees that 

4 I participated on there; became a commissioner in -- 

5 after I retired in 19 — 2007 and have served since 

6 approximately -- well over a thousand hearings that I've 

7 participated in. 

8 CHAIRMAN STEINBERG: Same question that we 

9 asked Mr. Garner regarding how you reconcile, if at all, 

10 Title 15 with the Supreme Court cases, "present risk" 

11 versus "unreasonable risk"? 

12 MR. PRIZMICH: I think Commissioner Garner hit 

13 the nail on the head, as you said, that no one is 

14 without risk, and we need to weigh what the risk is at 

15 the time we see the individual and make an assessment. 

16 And the assessment incorporates a number of factors: 

17 what kind of self-help programming they've done, 

18 psychological evaluations, programming that they've 

19 done, work product that they've done, what their parole 

20 plans look like. There are a number of factors that you 

21 look at and come up with an assessment. 

22 CHAIRMAN STEINBERG: We noticed in reviewing 

23 the transcripts of your hearings that you were actually 

24 one of a few officers who actually used the language 

25 "posing an unreasonable risk" as your standard. Were 

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1 you trained differently than others? 

2 MR. PRIZMICH: Maybe I was asleep during that. 

3 CHAIRMAN STEINBERG: As opposed to -- Again, 

4 I — we don't want to — 

5 The language is important. We're not, you 

6 know, trying to split hairs in any way. We're trying to 

7 understand what the standard is. 

8 MR. PRIZMICH: I understand. 

9 CHAIRMAN STEINBERG: You used the Title 15 

10 standard specifically, and few others seemed to do that. 

11 So what special training do you get? 

12 MR. PRIZMICH: Why me? 

13 CHAIRMAN STEINBERG: Yes, sir. 

14 MR. PRIZMICH: I've been a commissioner for a 

15 while. A lot of our commissioners that are on the board 

16 now are relatively new, at least they're newer than I 

17 am. I was comfortable with the hearings and comfortable 

18 with the briefings that we got on the various case laws 

19 and render my decisions based upon what I believe is 

20 fair on that day and incorporate the case law. 

21 I was not aware I was the only one using that 

22 language, but that's how I do it. That's my style, I 

23 guess, if you will. 

24 CHAIRMAN STEINBERG: Okay. Thank you. 

25 Questions from Members. 

20 



1 I have -- I've given dates to a low-moderate, 

2 which is generally higher than the commission is used to 

3 giving dates to, but I went into the issue that made him 

4 a low-moderate, and I determined that it was 

5 inappropriately looked at by the psychological 

6 evaluator, and I gave a date. And I articulated that in 

7 my decision. 

8 SENATOR DUTTON: When you find that to be the 

9 case, when you find something lacking in the 

10 psychoanalysis, especially in the risk-factor section, 

11 do you then -- is there any kind of procedure for you to 

12 report that difficulty with that particular evaluator? 

13 MR. PRIZMICH: Well, you know, that's that 

14 evaluator's opinion, and, certainly, they have greater 

15 expertise in those fields. 

16 I am charged with looking at a number of 

17 different factors that incorporates that as one of them, 

18 and I make a decision based on a number of factors. And 

19 we do find, just being the large bureaucracy that we 

20 are, there are errors in psychological evaluations, and 

21 you will -- you should -- I do request another 

22 psychological evaluation. I send that through the 

23 proper channels. 

24 SENATOR DUTTON: Do you usually do that before 

25 or after you make your final -- I guess it varies, I 

22 



SENATOR DUTTON: Yes. Good afternoon. 

MR. PRIZMICH: Good afternoon. 

SENATOR DUTTON: With regards to some of the 
risk analysis, there's a risk section within the -- 
there's a risk factor section in the analysis that you 
get, I believe. 

MR. PRIZMICH: In the psychological evaluation? 
Is that what you're talking about? 

SENATOR DUTTON: Yes, in the psychological 
evaluation. How useful do you find that, and can you 
kind of describe it a little bit to me? What's in it? 

MR. PRIZMICH: I can only speak for myself. I 
look at each individual as an individual. And not all 
the psychological evaluations, in my view, are right on, 
and you need to make your own independent assessment of 
that. 

Generally, you get a guide, and you compare 
that against other factors such as the disciplinary 
record, does it seem to be reflected in this risk 
assessment; who the individual is looking eye to eye 
across the table at you. You're dialoging with them, 
and you have a pretty darn good idea, or at least most 
of us, I believe, do, in talking one-on-one to make an 
assessment, Is this psychological evaluation accurate? 
And if it isn't, you need to look into it closer. 

21 



1 guess. 

2 MR. PRIZMICH: You make it at some point during 

3 the decision. 

4 SENATOR DUTTON: What kind of dog do you bring 

5 to the hearings? 

6 MR. PRIZMICH: I wish I could. I have a Border 

7 Collie that I invite into — 

8 SENATOR DUTTON: They told me that you travel 

9 with a dog. 

10 MR. PRIZMICH: Actually, I wish I could, but I 

11 don't. 

12 CHAIRMAN STEINBERG: What's your view on 

13 spaying and neutering? 

14 (Laughter.) 

15 MR. PRIZMICH: You never fool with a guy's dog. 

16 My dog is a rescue dog, and his name is Bandit. 

17 So when I was the sheriff, it was the Sheriff and 

18 Bandit. He came to work with me. And he is a — 

19 SENATOR OROPEZA: Your choice. 

20 MR. PRIZMICH: Pardon? 

21 SENATOR OROPEZA: Your choice to do that. 

22 MR. PRIZMICH: He came to me that way, but I 

23 would have done that. Like I said, it was a rescue. 

24 How did we get off on this? 

25 CHAIRMAN STEINBERG: Sorry. It was a big bill 

23 



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1 on the floor yesterday in the Senate. 

2 Witnesses in support or opposition. 

3 MS. HERNANDEZ: My name is Peggy Hernandez. 

4 Members of the Committee, thank you for your 

5 attention this afternoon. I was present last week, and 

6 I expressed my opposition to appointment of Board of 

7 Parole Hearing commissioners whose background, 

8 education, and experience is largely from the law 

9 enforcement community. 

10 Today I am here specifically to oppose the 

11 appointment of Michael F. Prizmich. There are several 

12 areas of grave concern that I have regarding 

13 Mr. Prizmich's appointment: Number one, his lack of 

14 familiarity with the vocational and educational programs 

15 offered in the correctional facility; number two, his 

16 inability to evaluate suitable parole plans; and three, 

17 his limited knowledge and understanding of psychological 

18 evaluations and counseling reports. All of these 

19 elements are listed on the CDCR Web site as components 

20 of the suitability criteria for the lifer parole 

21 process. 

22 By way of background, both Folsom State Prison 

23 and Avenal State Prison operate cooperative programs 

24 initiated by the community college system for the 

25 purpose of converting instructional material into an 

24 



1 seeking parole. Additionally, this begs the question 

2 whether Mr. Prizmich even understands the Americans with 

3 Disabilities Act rights he reviews with the inmate and 

4 counsel at the beginning of each hearing. 

5 During the same hearing, the transcript reveals 

6 that Mr. Prizmich cherry-picked through six different 

7 psychological reports over a 20-year span to extract 

8 excerpts to support his conclusion that an inmate was 

9 not suitable for release. Mr. Prizmich's personal 

10 method of interpreting psychological assessments is not 

11 the manner in which these comprehensive diagnostic 

12 evaluations are intended to be used. 

13 In clinical practice, individuals over a period 

14 of time may not meet the full criteria for a disorder. 

15 In fact, current evaluations reflect a cumulative 

16 history over a period of time and include a more 

17 comprehensive observation and understanding of an 

18 individual's behavior. 

19 Mr. Prizmich has delayed Board of Parole 

20 hearings for updated psychological examinations and then 

21 chooses to reference earlier examinations when they 

22 fulfill his conclusions. He draws these conclusions 

23 citing an individual's lack of insight, even though 

24 there is no diagnostic or anecdotal information to 

25 substantiate his belief. 

26 



1 alternate format for use by students with disabilities. 

2 Inmates assigned to these programs must pass a 

3 rigorous criteria for acceptance, including a high level 

4 of academic excellence, commendable behavior, and 

5 institutional programming, recommendation by 

6 correctional staff, and a criminal history that does not 

7 include sex-related offenses. 

8 From 2001 to 2006, four inmates who had 

9 participated in these programs were placed at community 

10 colleges to produce alternate media. One of these 

11 inmates was previously a life-term inmate. Another 

12 life-term inmate has been offered a position at CSU 

13 Long Beach. 

14 During recent hearings, presiding commissioner, 

15 Mr. Prizmich, demonstrated his lack of understanding 

16 regarding these programs. He did not understand the 

17 purpose or mission of these programs or the reasons 

18 behind their creation. He then concluded that a job 

19 offer from Cosumnes River College offered to the inmate 

20 was deceptive. He remarked he did not even know that 

21 there was braille at Cosumnes. 

22 On many levels, his lack of familiarity with 

23 the vocational and educational programs offered in the 

24 correctional facility and his inability to evaluate 

25 simple parole plans has adverse outcomes to the inmates 

25 



1 CHAIRMAN STEINBERG: Have you witnessed any ot 

2 his hearings? 

3 MS. HERNANDEZ: I have read the transcripts of 

4 his hearings. And, specifically, what I personally 

5 found offensive is, I was the individual who created the 

6 community colleges program at the prisons. I was the 

7 individual, pursuant to AB 422 (Steinberg), in 2000 that 

8 initiated these programs -- 

9 CHAIRMAN STEINBERG: Great bill. Great bill. 

10 MS. HERNANDEZ: It was awesome. 

11 In fact, the California Association on Post- 
12 Secondary Education and Disability gave the Lanterman 

13 Award to then Assemblyman Steinberg for this legislation 

14 which prompted a number of changes within the community 

15 college system. 

16 The donations from the community college system 

17 to Department of Corrections is in excess of $300,000 in 

18 initiating these programs, and the only contribution 

19 that Corrections was asked to contribute were the 

20 inmates. In exchange for this partnership, Scott 

21 Hamilton and myself negotiated with the Corrections that 

22 we would assist in job-placement activities following 

23 the inmate's release. 

24 CHAIRMAN STEINBERG: So your complaint, just so 

25 I understand it, is that this commissioner was not aware 

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of this resource. So why don't we — 

MS. HERNANDEZ: He wasn't aware of -- 

The requirements are that they are supposed to 
be knowledgeable of educational programming and 
vocational programs at the institutions, and his lack of 
familiarity he translated into his own impression that 
it was deceptive when the inmate was offered a letter on 
Cosumnes River College letterhead that he was going to 
get employment in the capacity of braille. 

CHAIRMAN STEINBERG: Very good. Thank you. 

We're going to ask you to respond to that. 

Mr. Warren, why don't you go first. 

MR. WARREN: My name is David Warren. I'm 
appearing on behalf of Taxpayers for Improving Public 
Safety. In addition to the reasons that I stated 
previously, I'd like to add one more. 

In the case of this nominee, I would refer to 
the situation of Anna X. Anna X. murdered her 
boyfriend. She got a 15-to-life sentence. In her 17th 
year, the nominee was — reviewed her parole nomination. 
This individual had completed every program at the top 
of her class available at the California Institution for 
Women. She had graduated summa cum laude from the 
community college program that was available at the 
prison. She was a leader in the prison in reform 

28 



1 somebody with a Cosumnes River College offer of some 

2 kind, but I don't remember the details of that. 

3 I certainly do ask questions about any of the 

4 job offers they have, and if there are circumstances 

5 that seem unusual to me, I'll probe a little bit deeper 

6 to make sure that their offers are valid. But it's hard 

7 for me to articulate the specifics on that one. 

8 I certainly do know — Avenal is an institution 

9 I go to quite often, and I'm aware of the programs that 

10 are there. 

11 CHAIRMAN STEINBERG: Okay. Any other 

12 witnesses? Yes, sir. Come on up. 

13 MR. NORTON: Good afternoon, Senator Steinberg, 

14 Members. My name is Marc Norton I'm a defense attorney. 

15 I have a private practice here in Sacramento, and I've 

16 been doing board hearings for about three years. I've 

17 done between — approximately 300, I guess. 

18 I've appeared before Commissioner Prizmich and 

19 Commissioner Garner, and I have nothing but praise for 

20 both of them. I think they're both fine individuals who 

21 take their jobs seriously. And while I know that 

22 there's been some concern expressed about they don't 

23 grant parole normally, again, personally, when I walk 

24 into the hearing room and I see either of these 

25 gentlemen there, I don't get a pit in my stomach. Soto 

30 



activities and was given a denial because she had not 
demonstrated the fact that she had rehabilitated. 

This was an individual who was in prison 
because her boyfriend had habituated her to 
methamphetamine, and no matter how hard she tried, she 
could not get away and finally, ultimately, killed him 
in a fight. 

This is a classic example of why this 
commissioner should be denied confirmation. Thank you. 

CHAIRMAN STEINBERG: Thank you, both, very 
much. 

Commissioner, do you want to respond to -- I 
mean, I think the general allegations, if you will, from 
the opposition is that you're not aware of all of the 
statutorily required and/or available programs that, had 
you known them, you might, in fact, be more comfortable 
granting parole, knowing that the parolees have an 
option on the outside. How do you respond? 

MR. PRIZMICH: Well, I mean, we do get 
information from the institutions on what they are 
provided in terms of self-help programming and 
vocational programming. 

I don't know the specifics on the situation 
that the lady was speaking of. I think it was probably 
several years ago, if I'm not mistaken. I do remember 

29 



1 me, that means something. 

2 CHAIRMAN STEINBERG: The pit-in-the-stomach 

3 test. 

4 MR. NORTON: The old pit-in-the-stomach test, 

5 yes, sir. 

6 Now having said that, I do know that there's 

7 been great concern expressed by the defense bar, and 

8 myself is included in that, that the panel is comprised 

9 solely of law enforcement background, and I think that's 

10 a real concern. It's a concern to me not so much, 

11 again, individually, when I appear before Mr. Prizmich 

12 or Mr. Garner. That's not the issue. For me, a lot of 

13 times the governor will refer a case to the full panel, 

14 called the en banc panel, in Sacramento, and typically 

15 victims and victims' next-to-kin show up at those 

16 hearings, and the panel -- 

17 My job as an advocate is to get a majority of 

18 votes to affirm the date that was already given. If I 

19 don't get that majority, then it's scheduled for what's 

20 called a rescission hearing. That happened recently, 

21 April 2nd this year, and I felt it was unwarranted so 

22 much so that the date was rescinded. I wrote a letter 

23 to BPH legal, and they have reversed the decision, so 

24 now my guy is going to parole. 

25 CHAIRMAN STEINBERG: Does this relate to the 

31 



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1 nominee here? 

2 MR. NORTON: Only in regards to the totality of 

3 composition of the panel, Senator. 

4 CHAIRMAN STEINBERG: Okay. 

5 MR. NORTON: In that, again, if the panel is 

6 comfortable with all law enforcement being on the panel, 

7 then I would fully support these two individuals. 

8 CHAIRMAN STEINBERG: At least some of us agree 

9 with your general statement here. We share the same 

10 concern. 

11 MR. NORTON: Again, that is not — I understand 

12 there's three other nominees that are on hold right now. 

13 If you're going to pick two of the five, then 

14 commissioners -- in my view, Commissioners Garner and 

15 Prizmich would be those two. 

16 CHAIRMAN STEINBERG: Thank you very much. 

17 Appreciate your testimony. 

18 MR. NORTON: Thank you, sir. 

19 CHAIRMAN STEINBERG: All right. I would note 

20 for the record, just because I think it's important, 

21 that Mr. Garner, if you look January 8th -- January '08 

22 to April '09 conducted 762 hearings, made 68 grants, 

23 432 denials, 55 stipulations, and 205 postponements. 

24 Mr. Prizmich, during the same period of time, 

25 781 hearings, 45 grants, 528 denials, 107 stipulations, 

32 



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MS. BROWN: Cedillo aye. 
Dutton. 

SENATOR DUTTON: Aye. 
MS. BROWN: Dutton aye. 
Oropeza. 

SENATOR OROPEZA: Aye. 
MS. BROWN: Oropeza aye. 
Aanestad. 

SENATOR AANESTAD: Aye. 
MS. BROWN: Aanestad aye. 
Steinberg. 

CHAIRMAN STEINBERG: Aye. 
MS. BROWN: Steinberg aye. 
(Thereupon, the Senate Rules Committee hearing 
adjourned at 2:18 p.m.) 



— oOo- 



34 



1 and 145 postponements, just so that's -- the numbers are 

2 clear and on the record. 

3 Mr. Prizmich, I think you're qualified, and I 

4 think you're fair. And this is -- The overriding issue 

5 that Mr. Warren and others raise consistently is, I 

6 think, a correct issue as well, but it's our job to look 

7 at the nominee as he or she comes before us. And in 

8 your case, again, I lean towards confirmation, but like 

9 with Mr. Garner and the nominees last week, we're going 

10 to put this over so that we can get from the board an 

11 understanding on the appropriate and consistent legal 

12 standard. All right? 

13 MR. PRIZMICH: Thank you, sir. Appreciate your 

14 comments. 

15 CHAIRMAN STEINBERG: Thank you very much. 

16 Appreciate it. 

17 Okay. Let's move through the rest of the 

18 agenda quickly, if we can. 

19 We've got the governor's appointees subject to 

20 confirmation but not required to appear. That's item 

21 three. Is there any — 

22 Moved by Senator Aanestad, 3C through G. 

23 Please call the roll. 

24 MS. BROWN: Senator Cedillo. 

25 SENATOR CEDILLO: Aye. 

33 



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-oOo- 

I, INA C. LeBLANC, a Certified Shorthand 
Reporter of the State of California, do hereby certify 
that I am a disinterested person herein; that the 
foregoing transcript of the Senate Rules Committee 
hearing was reported verbatim in shorthand by me, 
INA C. LeBLANC, a Certified Shorthand Reporter of the 
State of California, and thereafter transcribed into 
typewriting. 

I further certify that I am not of counsel or 
attorney for any of the parties to said hearing, nor in 
any way interested in the outcome of said hearing. 

IN WITNESS WHEREOF, I have hereunto set my hanc 
this fr -HV dav of JtCK-C , 2009. 



J^c;&/K-~ 



INA C. LeBLANC 
CSR No. 6713 



-oOo- 



35 I 

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APPBNDIX 



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06/08/2009 09:22:42 AM 



Senate Confirmation ^S CSpo^ $& S 

Jack E. Garner, Commissioner &Ptf 

Board of Parole Hearings 
Responses to Senate Rules Committee Questions 
May 11, 2009 



Statement of Goals 

1 . What are your goals and objectives in your new term as commissioner of 
BPH? How will you measure your success in this term? How do you 
gauge your performance in your first term? 

My goals and objectives for my second term are consistent with my first term. 
Specifically, I want to conduct fair and impartial hearings to the best of my ability. 

My assessment of performance during the first term is favorable. I strived to learn as 
much as possible regarding my duties and responsibilities. Board of Parole Hearing 
(BPH) training, self-education, and monitoring trends and direction from the courts were 
the methods I used to gauge my performance. 

2. You have served as a BPH member since 2005. Do you believe the lifer 
hearing process serves the public, the inmate, and the victims equally 
well? If you were able, what improvements would you make? 

I believe the current lifer hearing process is designed to meet a variety of needs that 
include the public, the inmate, the victims and the victim's next of kin. The assessment 
of the final outcome is in the eye of the beholder. The hearing decision is the point 
where different expectations may cause disagreement. For example, the inmate may 
feel the hearing was fair, but disagrees with the decision. Likewise, the victim or 
victim's next of kin may have the same feeling about the hearing, but disagrees with the 
decision. This is especially true if the decision was a grant of parole. 

The publics' concern is more difficult to assess because, for the most part, they are not 
actively involved in the hearing process. Clearly, the role of the district attorney is to 
represent the public at the hearing. However, the scope of this representation is limited 
to the hearing that is being conducted. 

If able to do so, I would encourage a more visible presence between the Board and the 
broader public it serves. Public education regarding the lifer process and rate of 
recidivism of a life inmate granted parole would be informative to the public. At present, 
media coverage of parole violators does not distinguish between a parolee who 
committed a life crime and a parolee who did not. 

Senate Rules Committee 

MAY 1 2 2m 



37 



Senate Rules Committee May 1 1 , 2009 

Jack E. Garner 
Page 2 of 9 



Training 

The 2005 law that created BPH requires that within 60 days of appointment and 
annually thereafter commissioners and deputy commissioners undergo a minimum of 
40 hours of training. 

3. Now that you have chaired hearings for some years, do you have 
recommendations for training improvement? 

BPH training has vastly improved since my appointment in 2005. BPH now involves the 
Commissioners in development of training needs by conducting a training needs self 
assessment. This permits each Commissioner the opportunity to identify topics for 
future training sessions. The issues I identified have been addressed. 

4. When a procedural question arises during a hearing you are chairing at 
an institution, who is available to assist you to answer the question? 
During previous BPH confirmation hearings, board members have raised 
concerns about the lack of support available to them by phone from 
Sacramento. Do you believe you get the help you need in a timely way so 
that hearings are not needlessly delayed? 

Commissioners now have several points of contact at BPH headquarters that are 
available by cell phone. The BPH legal unit is available for questions on matters of a 
legal nature. Commissioners also have additional contacts with program subject matter 
experts and scheduling. The system is working and prevents unreasonable delays in 
hearings. In fact, delays are rare. 

5. The hearings you chair can sometimes involve complex legal or 
procedural issues. Does anyone continue to monitor your performance 
as a "lifer" panelist, either in person or through a review of transcripts, so 
that you may continue to improve your performance? 

I am aware that staff at BPH headquarters monitor and evaluate my decisions on a daily 
basis. This is accomplished by review of the Lifer Scheduling and Tracking System and 
hearing transcripts. 

6. What should the Legislature expect from commissioners regarding 
consistency in lifer hearings? Should all of the commissioners and 
deputy commissioners weigh the various factors in a consistent manner? 

The Legislature should expect Commissioners to apply the law in a consistent manner. 
Commissioners and Deputy Commissioners should strive for this consistency in 
weighing the suitability factors considered at the hearing. It is important to note that 



38 



Senate Rules Committee May 1 1 , 2009 

Jack E. Garner 
Page 3 of 9 



each case is considered individually and that reasonable minds can come to different 
outcomes. 

7. How long should an inmate be "disciplinary free" before you consider 
granting a release date, assuming all other pertinent issues indicate 
he/she is ready to be released? Is there a policy? What guideline do you 
use? 

There is no policy or guideline regarding how long an inmate should be discipline-free 
before becoming suitable for parole. BPH has provided training regarding the 
considerations that should be taken into account in the evaluation of inmate misconduct. 
It is unusual to find an inmate with disciplinary problems that do not impact other areas 
of institutional adjustment such as programming. Depending on the extent and 
magnitude of the discipline, the inmate may be precluded from some or all 
programming. 

I consider several different factors regarding an inmate's disciplinary history. 
Most important is the severity: does it involve violence or the potential for violence or 
does it reflect an on-going pattern of misconduct. Equally important in evaluating a 
disciplinary action is the determination of the inmate's attitude concerning his 
misconduct. 



Proposition 9 

Voters in November 2008 enacted Proposition 9, a major change in hearings for 
life-term inmates and an expansion of victims' rights. An inmate with an indeterminate 
life sentence had been required to receive an initial hearing one year prior to the 
inmate's minimum eligible parole date. Subsequent hearings occurred between one 
and five years apart for murder convictions, and between one and two years apart for 
non-murder convictions. Under the new law, one-year denials are no longer an option. 
Commissioners must first consider a 15-year denial. Commissioners also must use a 
"clear and convincing evidence" standard in determining the appropriate denial length, 
down to a three-year denial— now the minimum time allowed between hearings. 
However, inmates are able to periodically request that the board advance the hearing 
date. 

8. What changes in hearings have you seen as a result of the passage of 
Proposition 9, and how have they impacted the board's workload? 

There has been limited impact in my workload as a result of the passage of 
Proposition 9 (Marsy's Law). The hearing script changed to meet the requirements of 
the denial scheme under the new law and there has been an increase in the number of 
objections related to the application of Proposition 9 by inmate's counsel at hearings. 



39 



Senate Rules Committee May 1 1 , 2009 

Jack E. Garner 
Page 4 of 9 



9. Commissioners were provided additional training to deal with changes 
brought by Proposition 9. Please explain how you were told to determine 
what "clear and convincing evidence" is. How do you know whether to 
deny parole, for example, for 15 years or 3 years? 

Commissioners were provided training on this topic and were instructed that the 
determination of suitability and unsuitability remains unchanged. The change as a 
result of Proposition 9 occurs when an inmate has been determined to be unsuitable 
and then deciding the appropriate denial length. We were trained by BPH legal staff as 
to the meaning and use of the clear and convincing standard of proof in issuing a denial. 
Clear and convincing evidence is used to reduce the denial length from 15 to 10 years 
and 10 years to a lesser length. If there is no substantial doubt that the inmate does not 
require a 15 or 10-year denial to attain suitability, then I would order a lower denial 
length. 

10. How are you kept abreast of legal actions that could impact 
implementation of Proposition 9? 

BPH legal staff provides legal briefings at the monthly Board meetings. Additionally, we 
receive legal updates via e-mail and are notified via e-mail and telephone of any legal 
issue that may impact a specific hearing. Further, the district attorney representatives 
and inmates' attorneys are another source of legal information. 

1 1 . Are you seeing changes in your workload as a result of the passage of 
Proposition 9? 

There was an expectation that passage of Proposition 9 would result in an increase in 
the participation by victims and victim's next of kin in hearings. Since December 2008, 
I have not experienced any increase that would demonstrate a significant change in 
workload. Although I did conduct one hearing in which there were eleven victims, 
victim's next of kin and victim's representatives present to testify at the hearing. 



Programs 

Prisons have a wide variety of academic and vocational programs as well as 
self-help offerings, such as Alcoholics Anonymous. Commissioners may recommend 
an inmate enroll in a particular program to better prepare himself or herself for life 
outside of prison. 



40 



Senate Rules Committee May 1 1 , 2009 

Jack E. Garner 
Page 5 of 9 



1 2. How do you learn about educational, vocational, or self-help programs in 
state prisons? Which programs have you observed and when? Please 
be specific. 

Commissioners have been provided with program information for each institution. 
Also individual staff at each institution is available to provide updates as to any changes 
in program availability. For example, during the state budget delay last year many 
programs were impacted and were not available. 

In early 2009, I had the opportunity to visit the Substance Abuse Program (SAP) at 
California State Prison-Solano. During my visit, a show of hands revealed that the 
majority of participants were lifer inmates. The program was designed to instill positive 
values in the inmates. One inmate spoke to the concept of pushing up and pulling up 
individuals in need of assistance. 

While working at the Correctional Training Facility (CTF), I have become acquainted 
with many of the porters that are responsible for maintaining the hearing room facilities 
at the institution. One such individual is a life inmate that I have known since 2005 and 
was given a grant by a panel in April 2009. Also this spring at CTF, I spoke with an 
inmate who appeared for a hearing in front of me about his assignment to the Inmate 
Day Labor crew. We discussed his work on the new exercise area for segregated 
inmates. 

13. How are you taught to know if a particular program is effective? If you 
recommend participation in a specific program for an inmate, do you 
know if it is available to the inmate? 

I evaluate a program's effectiveness by questioning the inmate. For example, an 
inmate who claims to have participated in a 12-step program such as Alcohol or 
Narcotics Anonymous is questioned regarding their knowledge of the 12 steps. Often, 
an inmate can parrot the steps but provide little if any personal understanding of what 
the steps mean to them. Another example is where an inmate has attended anger 
management programs; I ask questions about their knowledge of their personal triggers 
of anger. 

One of the best sources concerning the availability of programs is to ask the inmate 
what is available at the institution. Recently transferred inmates arriving at an institution 
must sign-up for programs and are usually placed on a waiting list. In the absence of 
available programming, I encourage and recommend that inmates become involved in 
self-study. 



41 



Senate Rules Committee May 1 1 , 2009 

Jack E. Garner 
Page 6 of 9 



14. What role do you play, if any, in recommending programs to CDCR? 
Would you ever recommend increased education or literacy as a way to 
help an inmate become more suitable for parole? 

Currently, Commissioners do not have a role in recommending program development to 
the Department of Corrections and Rehabilitation. There is no question that increased 
availability of educational opportunities and literacy advancement would help many 
inmates work towards becoming suitable for parole. 

15. As the department moves to focus academic and vocational programs on 
inmates being paroled in the coming three years, how will life-term 
inmates obtain the wide variety of programming commissioners 
recommend for them to qualify for release? Do BPH members participate 
in these policy decisions? 

BPH Commissioners do not currently participate in the strategic planning or policy 
development of programming for life inmates. Life inmates begin their programming: 
education, vocation, or self-help, long before they come to their first suitability hearing. 

16. The lifer panel has, by tradition, expected lifers to provide specific parole 
plans at the time of the lifers' hearings. In an economy where 
unemployment is climbing and finding a job has become increasingly 
difficult, even for those with good job skills, has your expectation about 
the specificity of a lifer's parole plans changed? Do you require a lifer to 
have secured a job on the outside at an unspecified future date should he 
or she be found suitable for parole? Are you aware of any assistance 
provided to lifers who are expected to present you with parole plans? 

I always share my concern regarding the current dilemma regarding the employment 
landscape if released in to the community. Title 15 sets out the suitability factor we are 
to consider in this area. It provides in §2402 (d)(8) "Understanding and Plans for 
Future." - The prisoner has made realistic plans for release or has developed 
marketable skills that can be put to use upon release. If an inmate has a specific job 
offer upon release it is a definite plus for the inmate. There is no requirement that the 
inmate have a job in hand to become suitable, but the parole plans have to be realistic 
in describing how they will support themselves financially and emotionally. 

Often inmates are assisted in preparing parole plans by their attorney. I try to provide 
the inmate with recommendations on how to solidify their parole plans for their 
appearance at future hearings. 



42 



Senate Rules Committee May 1 1 , 2009 

Jack E. Garner 
Page 7 of 9 



Psychological Evaluations 

The packet of materials available to the hearing panel traditionally includes a 
psychological evaluation of the inmate. The timeliness and quality of the evaluation has 
been chticized in the past by all parties. The historic lack of clear BPH policy regarding 
the appropriate interval between evaluations has been discussed regularly by the Rules 
Committee. The absence of a "current" psychological evaluation is often the reason for 
a hearing postponement. 

Recently, BPH introduced a new strategy as part of its effort to reduce the backlog of 
lifer hearings. A new psychological evaluation, called a Comprehensive Risk 
Assessment (CRA), has been implemented and will be valid for five years. 
A secondary report, known as a Subsequent Risk Assessment, will be conducted as an 
update for hearings held prior to the five-year expiration of the CRA. Reports completed 
prior to January 1, 2009, will remain valid for three years from their completion date, or 
until used in a hearing resulting in a decision. 

17. What is your recent experience with psychological evaluations? Are they 
still a cause of hearing postponements? 

The preparation of psychological reports in a timely manner has improved to the point 
where hearing postponements associated with this issue are rare. Additionally, the 
quality and consistency of these reports have greatly improved. 

18. How have you been trained regarding the role a psychological evaluation 
should play in your decision regarding parole suitability? How much 
weight should it be given? 

Commissioners have received training in May and December 2008 regarding the use of 
psychological reports in hearings. The reports contain very valuable information that is 
considered in application of the suitability factors, specifically, the past and present 
mental state and inmate's attitude towards the crime. The psychological report offers 
the panel a spring board for questions regarding insight in the inmate's understanding of 
his conduct and presence of remorse. The report is another source of information that 
the panel considers in determining whether an inmate is suitable. 

19. Do you believe the risk assessment information contained in the 
psychological evaluation is useful to you in making a decision? 

The risk assessment information is a valuable tool for the panel to consider. Each 
assessment is supported by facts found in the report and those facts become the areas 
of questioning to the inmate. The risk assessment is an expert opinion provided to the 
panel for their consideration in determination of suitability. 



43 



Senate Rules Committee May 1 1 , 2009 

Jack E. Garner 
Page 8 of 9 



Hearings 

BPH members conduct their hearings in close quarters, inside state prisons in 
two-person panels. Sometimes commissioners hold hearings for out-of-state inmates 
via telephone from a hearing room in Sacramento. Most hearing documents typically 
are forwarded to them just prior to the hearings. 

20. Your working conditions can be difficult and your hearings can be long. 
Do you have any suggestions for how the process could be improved? 

Our present hearing schedule is 16 hearings a week with 4 hearings scheduled on 
Tuesday through Thursday. A time study conducted several years ago determined that 
the average hearing required two and half to three hours to complete. There are a 
number of variables in each hearing that can make it long or shorter. These variables 
are the presence of victims or victim's next of kin, presentations of district attorney's 
representatives or inmates' counsel, or the use of a foreign language interpreter. 
Our hearing schedules do not take into account the institutional delays that often occur 
regarding temporary lockdowns and inmate movement issues. All this taken together 
supports a decrease in the number of hearings scheduled each week so that the 
working conditions would improve. 

21. When do you prepare for hearings? When is the board packet made 
available to you? Please evaluate the current system and discuss your 
ability to completely review the file and be fully prepared for a hearing. 

Board packets usually arrive at my residence one to two weeks prior to the week of the 
hearing. This delivery method is fine and does not require any change. 

I prepare and review assigned cases the weekend before the scheduled hearing week. 
Normally, an initial review of the week's cases requires approximately three plus hours. 
In addition, I conduct a second review the evening before the hearings which takes 
another hour. This approach provides me with the opportunity to be fully prepared for 
the hearing. 

Prior to the start of a hearing, the panel completes an examination of the Central file to 
ensure review of any late documents which may not have been included in the board 
packet. 

22. Please evaluate the en banc hearing process. When the full board is 
asked to decide a case because of a split decision between the 
BPH member and deputy commissioner on the five (two) person lifer 



44 



Senate Rules Committee May 1 1 , 2009 

Jack E. Garner 
Page 9 of 9 



panel, or when the Governor asks the board to look at information he 
believes was overlooked initially, do you believe you have the information 
you need to reach a fair decision? 

I feel the En Banc hearing process has evolved in a very positive manner. Prior to each 
monthly Board meeting a Commissioner is assigned one or more of the cases 
scheduled for En Banc review. The Commissioner who presided over the case at issue 
is not assigned to review the case for the En Banc review. The assigned Commissioner 
presents the case during the closed session. After consideration of any comment from 
the public on a case, a review of the written materials and presentation by the 
Commissioner, I believe I have sufficient information to reach a fair decision. 



45 



46 






f\\ichac\ rrtz.m^h 
Senate Confirmation *- - . <- ^ c 

Michael F. Prizmich, Commissioner \j * 
Board of Parole Hearings &re4 

Responses to Senate Rules Committee Questions 
May 11, 2009 



Statement of Goals 

1 . What are your goals and objectives as a commissioner of BPH? How will 
you measure your success in this term? 

My goals and objectives are to provide a fair hearing that offers the opportunity for all 
participants to be heard. The hearing should provide an open exchange so that the 
inmate and the panel have a forum to learn, communicate and evaluate all of the 
available information in making a decision regarding suitability. 

2. In a written response to the Rules Committee submitted before your 
confirmation in 2007, you said you would measure your success "through 
the commentary and interaction of those attorneys and staff that that 
have experienced my work and provided feed back to me." Please 
discuss what kind of feedback you've experienced and what that has told 
you about your performance. 

The longer I hold this position, the more opportunities arise to receive feedback from the 
attorneys and staff. In my conversations with inmate's counsel and district attorney's 
representatives I receive nothing but positive comments overall the content and fairness 
of my hearings. Our conversations range in topic from the hearing process to the 
implementation of Proposition 9/Marsey's Law as well as other legal issues. I have 
been approached by inmate's counsel offering letters of support to the Senate Rules 
Committee for my upcoming Senate confirmation. I have declined these letters of 
support and believe the volume of my work as a Commissioner provides enough 
information for the Senate Rules committee to decide if I should be confirmed. 

3. You have served as a BPH member since 2007. Do you believe the lifer 
hearing process serves the public, the inmate, and the victims equally 
well? If you were able, what improvements would you make? 

The public, victims and victim's next of kin are given ample opportunity to present their 
perspectives and information to the panel at hearing. The inmates would be better 
served if programs and vocational training could become more available. The current 
budget deficit situation has made this lack of programs and training a critical issue for 
inmates. There should be a greater effort to invest in identifying and utilizing more 
volunteer assistance to provide the necessary and needed programming to inmates. 

MAY 1 2 ?f|fl9 

47 



Senate Rules Committee May 1 1 , 2009 

Michael F. Prizmich 
Page 2 of 8 



Training 

The 2005 law that created the BPH requires that within 60 days of appointment and 
annually thereafter commissioners and deputy commissioners undergo a minimum of 
40 hours of training. 

4. Now that you have chaired hearings since 2007, how do you evaluate the 
quality of your training? You previously stated that you believed 
commissioner training could be improved with a more gradual transition 
for new members. Has this been implemented? Do you have other 
recommendations for training improvement? 

The training for Commissioners has improved. From my perspective, the new 
Commissioners were exposed to backlog issues and pressure to conduct hearings 
when it would have been more helpful for them to gradually transition into their roles as 
Commissioners. I would recommend more training sessions be provided and an 
increase in dialog between the Board of Parole Hearings (BPH) and the Commissioners 
regarding our duties. 

5. You said in 2007 that only one of your hearings was attended by someone 
from BPH and that you did not receive any feedback. Please discuss if 
that has changed over the past year. 

I have not had staff from BPH attend my hearings since my confirmation in 
January 2008. 

6. When a procedural question arises during a hearing you are chairing at 
an institution, who is available to assist you to answer the question? 
During previous BPH confirmation hearings, board members have raised 
concerns about the lack of support available to them by phone from 
Sacramento. Do you believe you get the help you need in a timely way so 
that hearings are not needlessly delayed? 

I can speak only to my experience as a Commissioner. There has been one staff 
member that I have called, whom I know will almost always be available to get my 
answer. There have been changes put in place regarding support from BPH 
headquarters, but I call the staff person I have always called. There have been no 
delays in the hearings, as the staff person I call is reliable and responsive to my 
questions. 



48 



Senate Rules Committee May 1 1 , 2009 

Michael F. Prizmich 
Page 3 of 8 



7. What should the Legislature expect from commissioners regarding 
consistency in lifer hearings? Should all of the commissioners and 
deputy commissioners weigh the various factors in a consistent manner? 

Each Commissioner is provided with a general format that is followed at each hearing. 
Each hearing is considered individually and each Commissioner brings different 
expertise and experience to the table as a hearing officer. With continued training 
regarding the suitability factors found in Title 15 and increased institutional program 
availability, suitability hearings should be somewhat consistent. 

8. How long should an inmate be "disciplinary free" before you consider 
granting a release date, assuming all other pertinent issues indicate 
he/she is ready to be released? Is there a policy? What guideline do you 
use? 

There is no policy or guideline in place regarding "disciplinary free" time before an 
inmate can be considered suitable for parole. The issues surrounding institutional 
misconduct are varied and broad. For example, violence and narcotics violations are of 
great concern. In these cases, it is imperative that the panel really needs to do more 
than just report the facts of the misconduct, but to actually look into the write-up and ask 
the inmate questions about the violation. In situations that the misconduct includes 
repeated violence or narcotic use, there needs to be a period of time where the inmate 
demonstrates that he/she can conform to the rules and regulations of the institution 
before he/she can become suitable for parole. It is also important to take into 
consideration the inmate's housing. An inmate in dorm housing has a much greater 
challenge to remain disciplinary-free than an inmate who is housed in a cell and this 
should be taken into consideration. 



Proposition 9 

Voters in November 2008 enacted Proposition 9, a major change in hearings for 
life-term inmates and an expansion of victims' rights. An inmate with an indeterminate 
life sentence had been required to receive an initial hearing one year prior to the 
inmate's minimum eligible parole date. Subsequent hearings occurred between one 
and five years apart for murder convictions, and between one and two years apart for 
non-murder convictions. Under the new law, one-year denials are no longer an option. 
Commissioners must first consider a 15-year denial. Commissioners also must use a 
"clear and convincing evidence" standard in determining the appropriate denial length, 
down to a three-year denial — now the minimum time allowed between hearings. 
However, inmates are able to periodically request that the board advance the hearing 
date. 



49 



Senate Rules Committee May 11, 2009 

Michael F. Prizmich 
Page 4 of 8 



9. What changes in hearings have you seen as a result of the passage of 
Proposition 9, and how have they impacted the board's workload? 

The number of victims and victim's next of kin in attendance at hearing has increased 
and the scope and length of their statements has expanded as a result of the passage 
of Proposition 9/Marsy's law. Additionally, the analysis and decision regarding 
suitability has become more complex and involved, particularly the delivery of the final 
decision when a denial is the result. The hearings are taking longer and this results in 
longer work days at the institution. 

10. Commissioners were provided additional training to deal with changes 
brought by Proposition 9. Please explain how you were told to determine 
what "clear and convincing evidence" is. How do you know whether to 
deny parole, for example, for 15 years or 3 years? 

We received training in December 2008 from BPH legal staff and subject matter experts 
on what clear and convincing evidence means and how it applies to the denial decisions 
at lifer hearings. In determining the length of the denial, my view of a 15-year denial 
arises when an inmate's performance in prison falls short of positive progress. As an 
example, the inmate's classification score is in the triple digits, there are disciplinary 
actions for violence, Administrative Segregation Housing placements, limited or no 
programming, no parole plans and a refusal to work with the staff at the institution would 
require a 15-year denial. The most difficult denial length is the 3-year denial because in 
my view, it is too long for those inmates who are close to suitability. These inmates are 
the mirror opposite of the inmate in the above example. 

11. How are you kept abreast of legal actions that could impact 
implementation of Proposition 9? 

The BPH legal staff provides legal updates during the month via e-mail or voicemail and 
also during our monthly Board meetings. I have also experienced inmate's counsel to 
be very helpful as a resource for legal information. 

1 2. Are you seeing changes in your workload as a result of the passage of 
Proposition 9? 

As stated in my previous response to question #9, the number of victims and victim's 
next of kin attending hearings has increased, as well as the expansion of the scope and 
length of their statements. Additionally, the analysis and decision-making process for 
each of the hearings has become more complex and involved. The hearings are taking 
longer due to these issues. 



50 



Senate Rules Committee May 1 1 , 2009 

Michael F. Prizmich 
Page 5 of 8 



Programs 

Prisons have a wide variety of academic and vocational programs as well as 
self-help offerings, such as Alcoholics Anonymous. Commissioners may recommend 
an inmate enroll in a particular program to better prepare himself or herself for life 
outside of prison 

13. If you recommend participation in a specific program for an inmate, are 
you certain it is available to the inmate? Commissioners are now 
supposed to receive updated profiles outlining programs offered at each 
institution. Do you receive those lists? 

We were provided a comprehensive list of all available programming at each institution 
in December 2008. The expectation is that this listing will be updated and provided to 
Commissioners on a semi-annual basis. As time passes, the accuracy of this listing 
comes into question. I have conducted hearings long enough now to have a fairly good 
understanding of what institutions have which programs. Several times each month, 
I contact the correctional staff and Classification and Parole Representative at the 
institution to get an update on what programs are currently available. 

14. Also in your written responses in 2007, you said your workload had 
prevented you from observing prison programs. Given the relatively 
large number of hearings cancelled in past years on the day of the 
hearing, when were you able to take time to observe programs, if at all? 
Please be specific. How do you evaluate which programs are effective? 

I have observed the Substance Abuse Program (SAP) at the California State 
Prison-Solano. I was given a tour of the program and was informed that this program is 
in various stages of implementation in other prisons. I spoke with several inmates about 
the program during my tour that had received high quality training and were going to be 
the providers/leads in the programs for the inmates. I have also toured the Prison 
Industries Authority program at Avenal. My evaluation of the programs available to the 
inmates comes from speaking with the inmates during hearings. 

15. What role do you play, if any, in recommending programs to CDCR? 
Would you ever recommend increased education or literacy as a way to 
help an inmate become more suitable for parole? 

I have submitted a number of written and verbal recommendations to CDCR, institutions 
and BPH regarding improvements in programming. 



51 



Senate Rules Committee May 1 1 , 2009 

Michael F. Prizmich 
Page 6 of 8 



16. As the department moves to focus academic and vocational programs on 
inmates being paroled in the coming three years, how will life-term 
inmates obtain the wide variety of programming commissioners 
recommend for them to qualify for release? Do BPH members participate 
in these policy decisions? 

Although BPH does not currently participate in the CDCR policy decisions, I will 
continue to make suggestions recommending a focus on strengthening volunteer efforts 
in providing educational and vocational programming. The current budget situation will 
not improve soon and there are far too many groups competing for what funds are 
available. One untapped resource is the growing number of retirees with experience 
and expertise in education and vocations. The only institution I am aware of that 
engages in development of volunteer programs is San Quentin. They have a number of 
very successful programs. 

17. The lifer panel has, by tradition, expected lifers to provide specific parole 
plans at the time of the lifers' hearings. In an economy where 
unemployment is climbing and finding a job has become increasingly 
difficult, even for those with good job skills, has your expectation about 
the specificity of a lifer's parole plans changed? Do you require a lifer to 
have secured a job on the outside at an unspecified future date should he 
or she be found suitable for parole? Are you aware of any assistance 
provided to lifers who are expected to present you with parole plans? 

There is no requirement that an inmate have a job or job offer to be found suitable for 
parole. An inmate's parole plans must be realistic or have developed a marketable skill 
that can be put to use upon release. The economy has indeed changed and made it 
more challenging for inmates who have received grants of parole. I strongly urge 
inmates and their attorneys to consider the many transitional housing options and many 
social service agencies who work specifically with inmates to find jobs and job 
placements. In those cases where jobs are difficult to find, I look to close family ties or 
job placements services or transitional housing programs to aid the inmate in 
successfully reintegrating into the community. 



Psychological Evaluations 

The packet of materials available to the hearing panel traditionally includes a 
psychological evaluation of the inmate. The timeliness and quality of the evaluation has 
been criticized in the past by all parties. The historic lack of clear BPH policy regarding 
the appropriate interval between evaluations has been discussed regularly by the Rules 
Committee. The absence of a "current" psychological evaluation is often the reason for 
a hearing postponement. 



52 



Senate Rules Committee 
Michael F. Prizmich 
Page 7 of 8 



May 11,2009 



Recently, BPH introduced a new strategy as part of its effort to reduce the backlog of 
lifer hearings. A psychological evaluation, called a Comprehensive Risk 
Assessment (CRA), has been implemented and will be valid for five years. 
A secondary report, known as a Subsequent Risk Assessment, will be conducted as an 
update for hearings held prior to the five-year expiration of the CRA. Reports completed 
prior to January 1, 2009, will remain valid for three years from their completion date, or 
until used in a hearing resulting in a decision. 

18. What is your recent experience with psychological evaluations? Are they 
still a cause of hearing postponements? 

There has been dramatic improvement in the timely completion of the psychological 
reports for suitability hearings since June 2008. The number of postponements for lack 
of completed psychological reports has dropped so dramatically that I haven't had one 
in over a month and it is seldom a reason for postponement any more. 

19. How have you been trained regarding the role a psychological evaluation 
should play in your decision regarding parole suitability? How much 
weight should it be given? 

The Commissioners received training on how a psychological report comes into 
consideration at a lifer hearing at the December 2008 training. This report is another 
piece of information for the panel to consider in determining an inmate's suitability. 
The report provides much information about the inmate's understanding of his criminal 
conduct, insight into the causes of his criminal behavior, remorse for his conduct in 
relation to the victim, victim's family and society in general. The information contained 
in the report is considered by the panel and weighed with all the other information using 
the Title 1 5 factors of suitability. 

20. Do you believe the risk assessment information contained in the 
psychological evaluation is useful to you in making a decision? 

The risk assessment information is very useful to the panel. Each assessment is based 
on information found in the report. This information is considered by the panel with all 
other relevant information concerning suitability. 



Hearings 

BPH members conduct their hearings in close quarters, inside state prisons in 
two-person panels. Sometimes commissioners hold hearings for out-of-state inmates 
via telephone from a hearing room in Sacramento. Most hearing documents are 
forwarded to them just prior to the hearings. 



53 



Senate Rules Committee May 1 1 , 2009 

Michael F. Prizmich 
Page 8 of 8 



21. Your working conditions can be difficult and your hearings can be long. 
Do you have any suggestions for how the process could be improved? 

Quite frankly, I enjoy the travel and only when a hearing goes well into the evening does 
the schedule get to be difficult to handle. One suggestion I would make is that no 
hearing should begin after 5 or 6 p.m. 

22. When do you prepare for hearings? When is the board packet made 
available to you? Is new information often provided to you just before a 
hearing commences? Please evaluate the current system and discuss 
your ability to completely review the file and be fully prepared. 

For the past several years, I have decided to drive to BPH headquarters and pick up my 
board packets and mail. I receive the board packets several weeks in advance. 
My preparation for hearings has become more efficient, and takes me less time than 
when I first started. New information is provided in the week before the hearing but that 
has become a less frequent occurrence. Inmates and their counsel will frequently 
present information prior to the commencement of the hearing. 

23. Please evaluate the en banc hearing process. When the full board is 
asked to decide a case because of a split decision between the BPH 
member and deputy commissioner on the two person lifer panel, or when 
the Governor asks the board to look at information he believes was 
overlooked initially, do you believe you have the information you need to 
reach a fair decision? 

We receive all the necessary information to make an informed and fair decision during 
the En Banc process. Rather than disagreeing or agreeing with the Governor's 
concerns, I would recommend that the full Board have the opportunity to respond in 
writing. 



54 



Maa 04 09 11:48a 



Adam Hubbard 

Goats 



May 1, 2009 

Senate Rules Committee 
Darrell Steinberg, Chair 
State Capital - Room 420 
Sacramento, CA 95814-4900 

RE: California Arts Council appointment STATEMENT for confirmation hearing on June 3, 2009 

Dear Senate Rules Committee Members, 

For the past 18 years I have been an Art Educatorteaching Ceramics, Drawing, and Paintingto 
children and young adults. During this time in both private and public schools - as well as in the 
mental health field working with at-risk children and young adults -- 1 have seen a huge change 
of direction concerning support for the arts and arts education. When budgets are questioned 
and funding is tight, the visual and performing arts are the first subjects to be cut. This is a 
growing problem, one that does a great disservice to the youth of our state. The arts are not a 
luxury. They are essential Arts education can benefit every young person's development, 
intellect, self-confidence and imagination. 

It is a proven fact that the creative process of making art develops and uses the entire brain, 
and not - as was thought in the past -- isolated parts of the brain, what is commonly described 
as "right-brain" thinking 3 . Research shows that the creative process of art-making makes people 
smarter, makes them more aware of their surroundings, and facilitates problem solving. Given 
this new understanding of the creative process, ft makes sense that schools implement more 
visual and performing arts education into their schools, not less. 

There has to be a balance, rather than disregarding or brushing off the importance of art to our 
society. Incorporating the arts into everyday life provides measurable benefits. My short and 
long term goals are to press on as an advocate for the arts in our communities and in our 
schools, and to continue to inspire, inform, and educate with extreme fervor and dedication. 
The most effective way to reach my audience is to incorporate the past with the present in an 
historical framework. The arts are an integral component in ongoing discoveries in the 
academic fields of math, science, and language arts. 

I believe that as the sole full-time arts educator on the California Arts Council, I can serve as the 
voice of the visual and performing arts teachers in California, as well as a voice for the children 
and youth who are eager to express themselves artistically and are craving knowledge of the 
visual and performing arts. I believe that my serving on the California Arts Council may benefit 
the state of California through my insight into visual art education and my knowledge of the 
educational system as a whole. 



Sincerely, 



Adam Hubbard 





^i^c*/. 



* Learning, Arts and the Brain: the Dana Consortium Report on Arts and Cognition, released on March 4, 2008, and 
organized by Vlichael Gazzaniga, D n D., University sf California at Sarta Barbara, v* *«.* (PoTfflt&litifiC 



m 4 2009 



55 




ROBERT T. DOYLE 

Sheriff 

TIMOTHY J. LITTLE 

Uiidcrshcriff 



Marin County Sheriff's Office 

3501 Civ;c Center Drive, Room 145 , San Rafael, CA 94903 

Shen'ff hobert Voy\<^ 
Responses 



May 18, 2009 



Area Code 4 1 5 



The Honorable Darrell Steinberg, Chairman 
Senate Ruies Committee 
State Capitol, Room 420 
Sacramento, CA 95814-4900 

Dear Chairman Steinberg: 

In response to your ietter dated April 29, 2009, below I will be providing the 
information that you requested. For your information I was appointed to the 
POST Commission by Governor Schwarzenegger in 2006 and confirmed by the 
Senate in the spring of 2007. I represent the California State Sheriffs 
Association on the Commission. In addition to attending the Commission 
meetings I am also a member of the Long Range Planning and Legislative 
Committees. 

Most of the information that you are requesting is similar to my response in 
March of 2007, so I am providing you a copy of that letter. Also included are a 
number of attachments for background information for the Senate Rules 
Committee. My responses are my views as I see the Commission in 
conjunction with discussions I have had with POST Staff in preparation of my 
responses. I have also enclosed my Form 700. 

Goals 

1 . Are you satisfied with your progress toward meeting these goals? How 
do you measure progress? How have your goals changed since you 
were first appointed? 

Senate Rules Committee 

MAY I 9 2009 
Appointments 



'In Partnership with our Communities" 



24-HGUR NUMBER 

499-7225 

FAX 
507^5126 

Administration 

499-7250 

Civil. 
499-7282 

Communication 
Services 
499-7243 

Courts 

499-7393 

Emergency 
Services 

499-6584 

Invest*;.--. 
499-7265 

Ja.i. 
499-6655 

Major Crimes 

Task Force 

884-4878 

Patrol 

499-7233 

Records 

499-7284 

Warrants 
499-7297 



www.maiinshei-.ff.or:> 



www.co.mann.ca.us 



56 



u j f i. j t ^.y u j j.w*i 



I am satisfied with the progress of these goals as stated in my letter 
dated March 20, 2007. The goals of the Commission and POST Staff 
really represent the foundation in which POST can deliver an outstanding 
product. I found it easy to measure the progress because the POST 
Strategic Plan is on the Agenda every POST meeting and additionally I 
am a member of the Long Range Planning Committee that reviews 
progress. My goals remain the same. See Attachment A. 

Recruitment 

2. What is the status of any initiatives the Commission has taken to steer 
youth toward careers in law enforcement? What outcomes, if any, have 
you experienced so far? 

To my knowledge this is not a Commission initiative. In terms of 
"steering youth toward careers in law enforcement ' the Commission is 
interested and is monitoring a number of programs throughout the State. 
Most law enforcement agencies throughout the state have always had 
Explorer Scout Programs, Internship Programs and a variety of 
Volunteer Programs that include youth participation. I am including 
Attachment B which describes some of the programs law enforcement 
agencies are involved in across the State and these are programs that 
Post Staff is aware of and monitoring. Independent of the POST 
Commission my organization offers a number of opportunities for youth 
in our community. Some programs introduce youth to the operation of 
the organization and other programs such as Search and Rescue 
expose youth to technical skills and life skills such as teamwork, self 
esteem, confidence, etc. Other programs provide information and/or 
skills necessary for a peace officer applicant. 

3. What have you done to help departments recruit qualified candidates? 
What steps have you taken to help departments weed out potentially 
subpar employees before they are hired? 

Since 1989 POST has conducted five recruitment symposiums. The two 
largest ones took place in 2001 and 2005. Each involved presentations 
by subject matter experts about recruitment and retention issues. Several 
hundred representatives of law enforcement agencies attended these 
symposia. POST also provided training with an emphasis on the needs 
of executives and recruiters. 

Strategic Plan objective C.3.06 - Develop a comprehensive plan for 
POST'S role in addressing law enforcement recruitment issues, has 
guided the efforts of POST staff to address recruitment issues since 
2006. At the 2008 Strategic Plan Stakeholders meeting, it was 



57 



recommended that public safety dispatchers be included in the 
recruitment plan. 

In 2001 and again in 2006, POST conducted considerable research into 
the issues surrounding recruitment and retention of peace officers. The 
result of the research was the development of two publications, Peace 
Officer Recruitment and Retention: Best Practices - July 2001 
f http://www.post.ca.qov/selection/recruit.pdf ) and Recruitment and 
Retention Best Practices Update -April 2006 

(http://www.post.ca.gov/training/bestpractices/RecruitmentBestPrac.pdf). 
Both documents provide sound methods for improving the efforts of law 
enforcement agencies tc successfully recruit and retain peace officers. 

I believe it is POSTs responsibility to develop the necessary tools for law 
enforcement to establish the criteria by which all law enforcement recruit 
peace officers. I believe if followed most "sub par aoplicants" won't make 
it through the entire process and will not be hired. That being said there 
is no screening process that is fool proof and everyone in law 
enforcement has to be diligent and look for those signs and take the 
appropriate action. 

What impact has the nation's slowing economy had on recruitment of 
officers? Do you see a wider role for the Commission in publicizing the 
need for qualified police personnel? 

There has been a state-wide crisis in recruitment and retention for quite 
some time. There are many agencies concerned about the shrinking 
pool of eligible applicants. The results of a comprehensive survey 
conducted by POST in 2007 revealed that agencies wanted POST to 
invest in marketing, regional testing, recruiter training and development 
of best practices on recruitment and pre-academy preparation materials 
for candidates. In addition, POST will soon publish a Recruitment 
Strategic Planning Guide which I think will be helpful in the effort. 
Additionally, each individual agency has a stake in marketing and 
attracting and retaining qualified employees. I believe that this needs to 
be a partnership between POST and law enforcement agencies. 

What role should the Commission play, if any, in working with high 
schools or middle schools to address California's high dropout rate? 

As a social responsibility I am sure I can speak for my colleagues on the 
POST Commission when I say the drop out rate in California is 
inexcusable. I think when ever we lose one kid to drop out we have all 
failed. In my community we have developed a School Law Enforcement 
Partnership where we address truancy, bullying, gang violence, etc. The 



58 



113/19/iUUJ -t ua 



POST Commission's role is establishing training standards for peace 
officers state- wide. 

Training 

6. How have recent budget cuts impacted your training programs? Are you 
encouraging agencies to utilize more online courses? 

During these challenging economic times, POST is well aware of the 
limitations many cities and counties have placed on staff travel. This is 
reflected in reduced numbers of trainees being able to travel to a training 
site to receive training. POST has reacted to this reality by ensuring that its 
staff keeps the law enforcement community informed about the availability of 
online training. Some of the benefits of online training include access to 
training 24/7, consistent quality of training, the ability of rural agencies to 
more easily access needed training, savings in travel/presentation costs, 
and economies of scale where the more training that takes place the less it 
costs per student. 

Website 



7. What plans do you have to regularly update your web site ? What do you 
believe is POST'S responsibility to communicate with the public through 
its web site? 

I am surprised by the question. To my knowledge the website is 
regularly updated and in terms of POSTs responsibility to communicate 
with the public the POST Staff is currently complying with the law and 
various executive orders issued by the Governor's Office in terms of 
public access. Of course the public does not have access to training 
portal because a password is required. 

If you have any further questions, please feel free to contact me. 




SHERIFF 
Enclosures 



59 



60 



Ob/19/2009 TUB /:5<£ VAX. 41DDU/4J.ZD nv-ou naiu cm 




ATTACHMENT A 



California Commission on Peace Officer Standards & Training 

Strategic Plan -2008 

1601 Alhambra Blvd. - Sacramento, CA 95816 - (916) 227-3909 - www.post.ca.gov 



rVMI: 



REVISED 2/09/09 



The mission of the California Commission on Peace Officer Standards and Training (POST) is to 
continually enhance the professionalism of California law enforcement. To accomplish this 
important responsibility, this Strategic Plan aligns POST'S activities and priorities with the needs and 
expectations of POST'S clients and partners. It provides direction for POST to achieve its mission, 
to develop future budget requests, and to set priorities. The Plan provides guidance not only for 
"what" POST does, but also for "how" POST will accomplish its goals and objectives. 

POST wishes to thank all those law enforcement and training professionals who dedicated their time 
and talents in providing input into the revisions included in this Strategic Plan. 

Questions concerning this Plan should be directed to Assistant Executive Director Alan Deal at 
(916)227-2807. 



Goal A - Raise the Bar on Selection and Training Standards 



SPO#: 
A.1.02 



Establish personality assessment for entry-level selection. 



Status on: 

2/09/09 



In progress. In April 2007, the Commission approved a staff recommendation to develop a 
resource document and monitor agencies using pre-employment personality assessment tests. 
The resource document is nearly complete and staff has compiled a searchable database of 
information from test publishers to assist agencies interested in using pre-offer personality tests. 
The resource document will be available on the POST website and the test publisher information 
will be available via a separate online database. The project is expected to be completed in July 
09. 



Bureau(s) Assigned: 

S&E 



Staff Assigned: 

Berner 



Completion Anticipated: 

Jul-09 



Notes 

and/or 

Strategies: 



SPOfc 

A.2.08 



Review POST'S Continuing Professional Training (CPT) and Perishable Skills Program 
(PSP) requirement to include assessment of needs, content, benefits, time/hours and 
frequency. 



Status on: 

2/09/09 



In progress. Staff has reviewed POST CPT history and is comparing standards to those of other 
IADLEST members. A report to the Commission will be made in July 2009. 



Bureau(s) Assigned: 
TPS 



Staff Assigned: 

Gustafson 



Completion Anticipated: 

Jul-09 



Notes 
and/or 

Strategies: 



Page 1 of 14 



61 



V J/J-7/*-VJ7 1 Jl 




Goal A - Raise the Bar on Selection and Training Standards 



SPO#: 

A.3.02 



Research and develop physical abilities assessment for entry into basic academies. 



Status on: 

2/09/09 



On hold. Work has been temporarily stopped pending revaluation of the Basic Academy 
Physical Conditioning Program. A report to the Commission will be made in April 2009. 



Bureau(s) Assigned: 
S&E 



Staff Assigned: 
Catlin 



Completion Anticipated: 
Jul-10 



Notes 

and/or 

Strategies: 



Recent BCCR findings reflect few academies are conducting a standardized physical conditioning 
program; thus compromising the defensibility of a standardized assessment test minimum 
passing score. Staff has begun work to review and revise the conditioning program before 
continuing with the assessment test pilot implementation. 



SPO#: 
A.4.02 



Standardize skill testing for the Basic Course. 



Status on: 

2/09/09 



In progress. Skill-based competencies and scoring criteria have been developed for Defensive 
Tactics, Vehicle Operations, and Firearms. A pilot study of the Arrest Methods form will be 
concluded this Spring. Further work on the Vehicle Operations procedures will address new 
training and assessment needs identified in the Driver Training Study. A report to the Commission 
will be made in April 2009. 



Bureau(s) Assigned: 

S&E 



Staff Assigned: 

Krueger/Foster 



Completion Anticipated: 

Apr- 10 



Notes 

and/or 

Strategies: 



The project's products have been well received by the academies. 



SPO#: 
A.5.04 



Develop a guideline manual describing the process for law enforcement to integrate 
POST'S selection guidelines and standards. 



Status on: 

2/09/09 



In progress. Staff is developing a guidelines document manual in a question and answer format 
to support and assist agencies in implementing the selection standards for peace officers and 
public safety dispatchers that were approved at the January 2009 Commission meeting. 



Bureau(s) Assigned: 

S&E 



Staff Assigned: 

Spilberg 



Completion Anticipated: 

Ju!-09 



Notes 

and/or 

Strategies: 



The guidelines manual will be presented to the Commission for approval at its July 2009 meeting. 
This will allow publication of the document to coincide with the implementation of the selection 
standards, which are under review by the Office of Administrative Law. 



Page 2 of 14 



62 



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IflJUUtW UIO 




Goal A - Raise the Bar on Selection and Training Standards 



Status on: 



8/19/08 

> 



M: 



Compare POST'S selection and training standards to those in other states as articulated in 
A 6 OSsfthe IADLEST Sourcebook for the purpose of identifying potential improvements. 



' ' '■■■ - : •: ■ ' 



:■■-•■■«::. 







training in the 
Strategic 
covered by 
4 and 



BureautsJAssigned: 

■■■■•■■- ■' -> •'■"• '"■■■■ 



Staff Assigned: 
Luke 



Completion Anticipated: 

Completed ! ^ 



Notes 

and/or 

Strategies: 



Deleted by Commission action at the July 2008 meeting 






SPO#: 

A.7.06 



Develop a 
prospective 




for 






.tatuson: 

11/21/08 



Deleted. POST'S website has been revised to include a candidate information page which 
provides downloadable information on self-assessment and preparation guidelines for entry into 
anacademy. 



Bureau(s) Assigned: 



:s&e 



Staff Assigned: 

.■:'--■■. ,',,7 

Smgley 



Completion Anticipated: 

Completed; ; 



■.■■;'.r/v>-\-V.- ::.•:•.- , . 






Deleted by Commission 



action at the October 2008 meetinq. 

':•..' ■-■■■■:■■ r--. : ' ' : ■■■': :' :-'^'--:.--'--j.v : ---'.-----.-::.'. :.- 

'■ ■■:'--' ■ -''.'. 'j.'''.'- : ' ''"-^ .■ 



; l-ff :S« 






■ 



SPO#: 

A.8.08 



Expand cognitive testing for peace officers. 



Status on: 

2/09/09 



In progress. In January 2008, the Commission approved the staff recommendation to expand the 
POST Entry-Level Law Enforcement Test Battery (PELLETB). Staff has entered into an 
interagency agreement with California State University, Sacramento (CSUS) to assist with data 
collection, analysis, and interpretation efforts for the project. Staff has met with CSUS researchers 
and defined the scope of the project and begun assigning responsibilities. 



Bureau(s) Assigned: 
S&E 



Staff Assigned: 

Wisnia/Brown 



Completion Anticipated: 
Dec-10 



Notes 

and/or 

Strategies: 



A report to the Commission will be made in July 2009. 



63 



Page 3 of 14 



<J -f I J- J I *- \J \J J -L <J 1 




Goal A - Raise the Bar on Selection and Training Standards 



SPO#: 
A.9.08 







Status on: 

1/22/09 

.;..:■;: : v\ '.:-'; 

. .■■■■■ . 



Deleted. Staff developed pre-academy report writing curriculum that presenters can voluntarily 



m ,;M 







signed: 



Staff Ass 






Completion Anticipated: 
Jan-09 






20p9;rheeting. : 



Goal B - Improve the Quality and Impact of Training 



B.1.02 



Establish instructor training and certification requirements. 










Deleted. The Instructor Development Institute has been piloted. Participation in the Academy 
Instructor Certificate Program was mandatory as of March 1, 2008. 



Bureau(s) Assigned: 

TPS 

■■■. ■•'" ■ ; ■;•■■-■■. 



sStaftAssigned: 

^Gustafscin ? ; 



Completion Anticipated: 

Completed 



Notes - 
and/or 
Strategies: 



Deleted by Commission action at ihe 7 October 2008 .meeting". 



Vi.'i^v.r-?--''^". : ;"'-' 



SPO#: 
B.2.08 



Establish a searchable database in order to share "best practices" and successes in 
training that emanate from nominations for the POST Excellence in Training Award. 



Status on: 

2/09/09 



In progress. It has been determined that the ideal location for a best practices data base would be 
within the Learning Portal, under a specific identifiable section utilizing existing functionality. As 
such, this program can be created without any additional expenditure. It is anticipated that 
implementation of this database program will commence during Spring 2009. A report containing 
the foregoing information was submitted to the Commission at its January 2009 meeting. 



Bureau(s) Assigned: 
TPS 



Staff Assigned: 

Crume 



Completion Anticipated: 
Jul-09 



Notes 

and/or 

Strategies: 



64 



Paae 4 of 14 



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|£JU1U/ UlD 




Goal B - Improve the Quality and Impact of Training 



SPO#: 

B.3.04 



Provide to POST'S Regional Skills Training Centers updated driver training and force 
options simulators and program software. 



Status on; 

2/09/09 



In progress. At its January 2009 meeting, the Commission approved the plan for LEDS 
acquisition and placement. A LEDS Law Enforcement Specifications/Evaluation Team has met 
twice in a concentrated effort to accelerate the purchase process. Staff have been working 
closely with Department of General Services for designing the RFP and in financing the 
purchase. It is intended the RFP be out by early March, with the goal of awarding a contract to 
purchase 108 simulators before the end of the current fiscal year. 



Bureau(s) Assigned: 

TPS 



Staff Assigned: 

Sorg 



Completion Anticipated: 
Apr-09 



Notes 

and/or 

Strategies: 



SPO#: 

B.4.06 


Study the feasibility of developing technology-based training tools that provide just-in- 
time information (i.e., tutorials, checklists, etc.) for use with technologies such as patrol 
car computers and Personal Digital Assistants (PDAs). 


Status on: 

2/09/09 


In progress. Staff recently demonstrated the accessibility of a prototype of a decision support 
tool for investigators via a smart phone (e.g., iPhone). Should the development of the tool 
receive funding, further work would be done to optimize its availability via similar devices (e.g., 
Blackberry). 


Bureau(s) Assigned: Staff Assigned: Completion Anticipated: 
TPS/LTRC Myyra Apr-1 1 


Notes 

and/or 

Strategies: 





SPO#: 

B.5.06 


Develop a Web-based training tool that would help train investigators to efficiently 
develop search warrants for a variety of crimes. 


Status on: 

2/09/09 


In progress. The tool is in development and being refined based upon feedback from the target 
audience. It is scheduled for completion Spring : 2009. 


Bureau(s) Assigned: Staff Assigned: Completion Anticipated: 

TPS/LTRC Myyra Apr-09 


Notes 

and/or 

Strategies: 





Page 5 of 14 



65 



[)D/ly/Z\J\Jy X U JS /; jj r ha 4i^^u / ** -l ^. u n\# o vj no xu r «_a 



H/.l V J. J. / V X I 




Commission on Peace Officer Standards and Training - Strategic Plan - 2008 



Goal B - Improve the Quality and Impact of Training 



B.6.08 



:, £« : : : .5«': '■:'::■' 



. ~i y •■ - 



^:^^:-t:fr-'^^±; :i *':Z^>y^.~ 



Study the feasibility of upgrading the present POST Basic Course Certification Review 



process. 







Deleted. The Basic Course Certification Review process has been enhanced by. the development of a 
— ^jm^\y^tmd^0sjBased Acaderr<, || , --,v z.-i _a; : - |c p for use by academies and evaluators, 



ituson: 



Reassignment 

academies), to perform in-depth 



:lusion of. trained evaluators (from 
fesjbg. Two other additions to BCCR 



1/22/09 



process are: 1 ) Standards-Based Academy Review Manual, contains definitions of the academy 



requirements and instructions for use of the checklist; and. 2) enhanced accountability procedures (with 
new deadlines) to ensure academies address the identified issues of non-compliance with POST 
regulations. The revised process was approved at the Basic Course Consortium meeting in December 



: - 







■V--i '^/.r:^ <■■■.: 



Evans 



Completion Anticipated: 
Jan-09 



and/or 
Strategies: 



Deleted by Commission action at the January 2009 meeting. 



SPO#: 

B.7.06 



Develop a major-case management training course for managers/executives. 



Status on: 

11/21/08 



In progress. At its April 2008 meeting, the Commission authorized development of two courses: 
one that addresses intricacies and special needs of complex investigations, and one that 
emphasizes the nuances of managing investigative units and personnel. Development of the 
two courses may proceed concurrently under the leadership of TPS, with input as required from 
CLD for development and presentation of the course. 



Bureau(s) Assigned: 

TPS/CLD 



Staff Assigned: 

Brewer 



Completion Anticipated: 

Oct-09 



Notes 

and/or 

Strategies: 



Time Line on implementation with TPS/CLD has been established - pilot presentation 
scheduled for July 2009. 



SPO #: 

B.8.08 



Study the feasibility of a model high school program that can be replicated statewide. 



Status on: 

2/09/09 



Not addressed - new objective. 



Bureau(s) Assigned: 

BTB/CLD 



Staff Assigned: 

Kyritsis / Ziglar 



Completion Anticipated: 
Jul-09 



Notes 

and/or 

Strategies: 



66 



Page 6 of 14 



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1^1012/ 01 o 




_ 

Commission on Peace Of 

_ , 



idards and Training - Strategic Plan - 2008 



^i^^ 



■■/ _■ ■ " ■: ■-■■■■■■ ■ '■.:-.■■■■■■ . ■■ : ■ ■ -y\ 



Goal B - Improve the Quality and Impact of Training 



SPO#: 

B.9.08 



Increase the availability of online courses and performance support tools available on the 
POST Learning Portal. 



Status on: 

2/09/09 



In progress. A new instructor development course, "Target Your Teaching," is scheduled for 
release in February. Other courses scheduled for Spring release include environmental crimes, 
search v/arrants, and a search warrant tool. Courses on identity theft and gangs topics are 
scheduled to be released during late 2009. A BCP to fund unspecified online training is making its 
way through the budgeting process. Should it be successful, topics requested by the field in a 
recent survey (e.g. narcotics and communication) could be developed. A report to the 
Commission will be made in April 2009. 



Bureau(s) Assigned: 
TPS/LTRC 



Staff Assigned: 
Myyra 



Completion Anticipated: 
Apr-09 



Notes 

and/or 

Strategies: 



The downturn in the economy and its impact on local government, makes online training a cost- 
effective way for agencies to train employees without incurring costs associated with sending 
them away to training. With this in mind, staff from ISB and LTRC will collaborate on developing a 
marketing brochure that will be provided to the law enforcement and public safety training 
managers. The information will also be added to the POST Website. 



SPO#: 
B.10.08 



Enhance and continue the study of driver training methods and vehicle-related high-risk 
activities to improve training, enhance safety, and reduce preventable collisions and 
injuries. 



Status on: 

2/09/09 



In progress. The Commission approved additional research funding at its January 2009 meeting. 
The Vehicle Operations Training Advisory Council (VOTAC) will meet in February to help direct 
new research and provide recommendations for changes/enhancements to existing training. A 
report to the Commission will be made in July 2009. 



Bureau(s) Assigned: 

TPS 



Staff Assigned: 

Gustafson 



Completion Anticipated: 

Jul-09 



Notes 

and/or 
Strategies: 



SPO#: 
B.11.08 



Review the POST Basic Dispatch curriculum and hours. 



Status on: 

2.09/09 



In progress. A PSD Job Analysis Update Meeting has been conducted and staff is preparing to 
update the Basic Dispatcher Course. The results of the analysis indicate that although information 
technologies have changed, the core job remains nearly the same. 



Bureau(s) Assigned: 

BTB/S&E 



Staff Assigned: 

Shingara / Groome 



Completion Anticipated: 

Jul-09 



Notes 
and/or 
Strategies: 



A report to the Commission will be made in July 2009. 



Page 7 of 14 



67 



u J / l 3 / ^ U J ; J jn i . J J r .ha -iij-iu/^Xi-u nv.ou r.aiu r «a 



i_ . - _) / \J X o 




Go>al B - Improve the Quality and Impact of Training 



SPO#: 
B.12.08 



Study the feasibility of establishing instructor training requirements for public safety 
dispatcher instructors for the public safety dispatcher course. 



Status on: 
2/09/09 



In progress. Stakeholder meetings were heid in three locations across the state and surveys were 
distributed to all presenters of the Public Safety Dispatcher course. Results will be shared with the 
Instructor Standards Advisory Council (ISAC) at its Februaty meeting. A Public Safety Dispatcner 
has been added to ISAC to help inform recommendations on tnis objective. A report to the 
Commission will oe made in April 2009. 



Bureau(s) Assigned: 

TPS 



Staff Assigned: 

Gustafson 



Completion Anticipated: 

Jul-09 



Notes 

and/or 

Strategies: 



SPO#: 
B.13.08 


Study the feasibility of enhancing the ongoing 


evaluation of POST instructors. 


Status on: 

2/09/09 


Not addressed - new objective. 


Bureau(s) Assigned: Staff Assigned: 

TDC/TPS 


Completion Anticipated: 


Notes 
and/or 
Strategies: 





SPO#: 
B.14.08 


Study the feasibility of expanding the use of blended learning to increase distance 
learning (for CPT) opportunities. 


Status on: 

2/09/09 


In progress. Staff is exploring the use of the upcoming search warrant tool as a component within 
the ICI core course. A reoort to the Commission will be made m January 2010. 


Bureau(s) Assigned: Staff Assigned: Completion Anticipated: 

TPS/LTRC/CLD Myyra Jan-10 


Notes 

and/or 

Strategies: 





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1^)014/015 




Goal C - Enhance POST'S Services 



SPO#: 
C.1.08 



Develop a training evaluator program to supplement POST'S efforts to maintain course 
quality. 



Status on: 

2/09/09 



in progress. A process is being piloted with students in the Master level of the Instructor 
Development Institute (IDI) to partially address the need in conjunction with students' 
internship/practicum requirement(s). A report to the Commission will be made in April 2009. 



Bureau(s) Assigned: 
TPS 



Staff Assigned: 
Gustafson 



Completion Anticipated: 
Jul-09 



Notes 

and/or 

Strategies: 



SPO#: 
C.2.06 



Revise the POST Administrative Manual to make the format more user-friendly for online 
access. 



Status on: 

2/09/09 



In progress. ISB staff will resume revision to the PAM on December 1, 2008, and are anticipating 
submission of at least one chapter, currently in progress, to the Commission at the July 2009 
meeting. ISB staff will continue to work on the objective until completed by submitting at least 
one chapter per Commission meeting with the expected completion date of December 2010. 



Bureau(s) Assigned: 
ISB 



Staff Assigned: 
Paoli 



Completion Anticipated: 
Dec- 10 



Notes 
and/or 
Strategies: 



SPO#: 
C.3.06 



Develop a comprehensive plan for POST'S role in addressing law enforcement recruitment 
issues. 



Status on: 

2/09/09 



In progress. At its December 2008 meeting the LRPC decided that in light of the current fiscal 
crisis that a recruitment symposium would be cost-prohibitive. Surveying of agencies during 
December 2008 revealed that while recruitment remained a major concern of agencies the 
majority of agencies had no strategic plan that focused specifically on recruitment. The LRPC, as 
well as the Commission at its January 2009 meeting, supported development of a template that 
could be used by agencies to create their own recruitment strategic plan. It is anticipated a draft 
of a "Recruitment Strategic Planning Guide" will be completed for review by the Commission at its 
July 2009 meeting. 



Bureau(s) Assigned: 
TPS 



Staff Assigned: 

Crume 



Completion Anticipated: 
Jul-09 



Notes 

and/or 

Strategies: 



Page 9 of 14 



69 




Commission on Peace Officer Standards and Training - Strategic 




Goal C - Enhance POST'S Services 



SPO#: 
C.4.02 



Study the feasibility of awarding college credit for select POST training courses (e.g., IDI, 
SBSLI.etc.). 



Status on: 

2/09/09 



In progress. A website/publication with college credit information has been developed and is 
available to the field. A report to the Commission was made in January 2009, and staffs current 
direction/efforts were approved. Additional research continues, and a policy on higher education 
is being formulated within POST. A final report and recommendations for the Commission will be 
made in October 2009. 



Bureau(s) Assigned: 
TPS 



Staff Assigned: 
Gustafson 



Completion Anticipated: 
Oct-09 



Notes 

and/or 

Strategies: 



SPO#: 
C.5.06 



Develop an automated scoring process for scenario-based testing in the Basic Course 
using the TMAS system. 



Status on: 

2/09/09 



In progress. Staff is looking at alternative software companies to provide this service. 



Bureau(s) Assigned: 
S&E 



Staff Assigned: 

Krusger 



Completion Anticipated: 

Jan-10 



Notes 



.. I Several new software development vendors have emerged since the Commission approved this 

Strategies: : objective in 2006. 



SPO#: 
C.6.06 


Develop means to heighten public awareness about successes in professionalizing 
California law enforcement. 


Status on: 

2/09/09 


In progress. With the combination of video training, the major overhaul of the POST website, and 
the integration of leadership, ethics, and community policing instruction into all levels of training 
and coursework, POST has developed a number of resources available for use by agencies 
toward improving the image of law enforcement and heightening awareness of dedication to 
professionalism. The next step is to develop a template to assist agencies in identifying 
opportunities for where/when/how image enhancement can occur. 


Bureau(s) Assigned: Staff Assigned: Completion Anticipated: 
TPS Crume Jul-09 


Notes 

and/or 

Strategies: 





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|£]Ulb/ Ulo 




Goal C- Enhance POST'S Services 



SPOfc 
C.7.08 



Enhance communications with stakeholders about POST'S service and programs. 



Status on: 

2/09/09 



Not addressed - new objective. 



Bureau(s) Assigned: 
TDC/ISB 



Staff Assigned: 



Completion Anticipated: 



Notes 

and/or 

Strategies: 



SPO#: 
C.8.08 



Streamline the payment of POST Training Reimbursement Requests (TRRs). 



Status on: 

2/09/09 



Not addressed - new objective. 



Bureau(s) Assigned: 

ASB/CSB/ISB 



Staff Assigned: 

Barry 



Completion Anticipated: 



Notes 



., . ; Waiting for EDI Course Roster project to finish (Fall 2008), then priorities will be evaluated along 

Strategies- l with a re< 3 ues< to automate POST certificate applications. 



SPO#: 
C.9.08 


Study the feasibility of creating an FTO/PTO-type program and workbook for new first-line 
supervisors. 


Status on: 

2/09/09 


Assigned; however, Objective C.10.08 needs to be completed prior to a program or workbook 
being developed. 


Bureau(s) Assigned: Staff Assigned: Completion Anticipated: 

CLD Davies Nov-09 


Notes 

and/or 

Strategies: 


Voluntary program. 



Page 1 1 of 14 



71 



\> j / i. y f ±v \J 2 ■*■ uu i . -j ? s rui -ii jju / t j. i- u in. a \_/ iia j. u c nA 



Kju ui/ j i i. 




_J.J I I. P JM W . il 



Commission on Peace Officer Standards and Training - Strategic Plan - 2008 



Goal C - Enhance POST'S Services 



SPO#: 
C.10.08 



Conduct a^pm^rehertsiye rev 



;■-;:■ --.v. j- ■ ; -;■ ■ 



e Supervisory Course and curriculum. 



Status on: 

2/09/09 



In progress. The review is underway. Several meetings have been held and sub-committees 
have been established with the Supervisory Course facilitators. 



Bureau(s) Assigned: 
CLD 



Staff Assigned: 

Davies 



Completion Anticipated: 

Nov-09 



Notes 

and/or 

Strategies: 



Review balance between practical skills and leadership enhancement. 



SPO#: 
C.11.08 



Continue to expand thefdevelopment and use of technology in selection and training. 



Status on: 

2/09/09 



In progress. A multi-bureau internal working committee has been formed to address this issue. A 
report to the Commission will be made in July 2009. 



Bureau(s) Assigned: 

S&E/TPS/BTB/CSB 



Staff Assigned: 

Chan 



Completion Anticipated: 



Notes 

and/or 

Strategies: 



This objective is likely to be ongoing as other selection and training areas are identified and 
prioritized for the application of technology. 



SPO#: 
C.12.08 




Status on: 

2/09/09 



Not addressed - new objective. 



Bureau(s) Assigned: 

S&E/BTB 



Staff Assigned: 



Completion Anticipated: 



Notes 
and/or 
Strategies: 



Project is on-hold pending filling a vacancy. 



Page 12 of 14 



72 



05/L9/2009 TUB 8:00 FAX 4155074125 MCSO Main FAX 



1^002/012 




Goal C - Enhance POST'S Services 



SPO#: 
C. 13.08 



Study the feasibility of revising course certification requirements and training 
reimbursement plans and rates. 



Status on: 

2/09/09 



In progress. A two day meeting in February involving representatives of each bureau was 
conducted. POST regulations were reviewed and recommendations for changes were made to 
revise course certification requirements. 



Bureau(s) Assigned: 

TDB 



Staff Assigned: 

All Regional Consultants 



Completion Anticipated: 

Jul-10 



Notes 

and/or 

Strategies: 



Staff proposes revising the language of the objective to remove the reference to "rates" of training 
reimbursement since this matter is reviewed and approved by the Finance Committee and the 
Commission when changes are recommended. 



Goal D - Enhance the POST Organization and Staff 



SPO#: 
D.1.06 



Study the feasibility of establishing a mentoring program for POST employees. 



Status on: 

2/09/09 



Not addressed/assigned. 



Bureau(s) Assigned: 

ASB/Leadership Team 



Staff Assigned: 



Completion Anticipated: 



Notes 

and/or 

Strategies: 



SPO#: 
D.2.08 


Establish a futures planning capability within POST. 


Status on: 

2/09^09 


In progress. Leadership staff meetings have been held to discuss the scope of the project. Eleven 
defined sub-topics for review have been identified. 


Bureau(s) Assigned: Staff Assigned: Completion Anticipated: 

CLD/Leadership Team Sept-09 


Notes 

and/or 

Strategies: 





Page 13 of 14 



73 



us/iy/zuuy tub o:uu rM vidduiii^d ni.au ndin rm 



&]u u:/ j i z 




Commission on Peace Officer Standards and Trai 




Go>u D - Enhance the POST Organization and Staff 



SPO#: 
D.3.08 



Enhance the use of digital media. 



Status on: 

2/09/09 



Not addressed - on hold due to other higher funding priorities. 



Bureau(s) Assigned: 

CSB/TPS 



Staff Assigned: 



Completion Anticipated: 

Jan-10 



Notes 
and/or 
Strategies: 



Page 14 of 14 



74 



05/L9/2009 TUB 8:00 FAX 4155074126 MCSO Main FAX 



£JUU3/ Ui<i 



ATTACHMENT B 



PRE ACADEMY REPORT WRITING TOOLS AND RESOURCES 

Because report writing is often cited as one of the top reasons for academy and field 
training failures, many law enforcement agencies are seeking ways to assess and 
remediate report writing skills prior to academy admission. This document provides a 
brief overview of some of the pre-academy report writing strategies that are successfully 
preparing individuals for a career in law enforcement. Academies that have used these 
strategies report reductions in report-writing-related failures. They also report substantial 
improvements in the quality of reports produced during the academy and beyond. 

High School Explorer Programs 

Several law enforcement agencies in the state (e.g., Elk Grove Sheriff, South Lake Tahoe 
P.D.) have partnered with local high schools to create technical training programs for 
high school students who express an interest in law enforcement. Through the program, 
students are provided with a developmental iy appropriate but realistic view of a career in 
law enforcement. Students are often paired with officers who mentor them and involve 
them in various aspects of the law enforcement culture. Students participate in 
community outreach and represent the law enforcement agency at charitable and 
community events. Opportunities for honing law-enforcement-relevant skills (e.g., report 
writing, leadership, conflict resolution, and physical fitness) are provided. By gaining 
early exposure to the daily life of a law enforcement officer, students can realistically 
assess their interest in law enforcement and improve the skills they will need to seriously 
pursue a career in law enforcement. 

Community College Partnerships 

Some academies partner with their local community college to provide pre-academy 
assessments and remedial resources for cadets who are preparing to enter the academy. 
For example, the Administration of Justice (AJ) Department at Las Pocitas College has 
partnered with the English Department to make it possible for the writing skills of all AJ 
students to be assessed and tracked over time. This makes it possible to not only identify 
specific weaknesses but to monitor progress as students participate in activities that 
improve their writing "skills. Some academies require students with low English 
assessment scores to successfully complete a remedial English course prior to academy 
admission. 

Pre- Academy Writing Exercises 

Some academies administer a writing assessment either just prior to or at the beginning of 
the academy. The results of this assessment are used to identify each cadet's specific 
weaknesses so that appropriate counseling and interventions can be implemented. The 
information from the assessment benefits both the cadet and the instructor. Cadets are 
able to gain specific advice on which areas need improvement and instructors are able to 
tailor assistance to maximize the benefits of their instruction. There are a variety of basic 
assessment tools available both online and through assessment vendors. Riverside County 



75 



U3f I?/ £UU9 1UD 



r aa -i i j j y 



* U W 1 - a. J 



Sheriffs Department is one academy that is using this particular intervention with some 
success. 

Use of Online Writing Labs fOWLsl 

The internet provides many valuable tools that can be used to improve written skills. 
Many universities and other learning institutions have developed online writing labs that 
are intended to assist students in improving their written skills. Some OWLs provide 
opportunities to submit writing samples for evaluation by English professors while others 
provide games and activities that improve written skills. Especially for students who are 
struggling with English as a second language — OWLs can provide a safe, fun, and 
supportive learning environment where students can identify their deficiencies and 
participate in activities that will help them improve. A simple internet search will produce 
links to the many OWLs that are currently available for free online. Some of the more 
popular sites are listed below. 



URL 



Institution/Agency 



http://vyww.american.edu/cas/lit/vvritingcenter.cfm 



American University 



http://owl.enelish.i3urdue.edu/ 



Purdue University 



http://web.cwoc.ufl.edu/owl/ 



University of Florida 



http:/Avww.lvnchburg.edu/ 



Lynchburg College 



http://leo.stcloudstate.edu/index.html 



St. Cloud State University 



http://www.hamiltcn.edu/writing/index.html 



Hamilton College 



http://www.titoledo.edu/oente rs/writingcenter/ 



University of Toledo 



http:/Avrif.ing. oolostate.edu/ 



Colorado State Uniyersity 



http://uwf.edu/writelab/ 



University of West Florida 



http.7Avww.gmu.edu/departments/writinBcenter/owl.htnil ', George Mason University 



Increasing the POST T Score Used to Select Affiliated Students 

Research indicates that for agencies using the POST Entry-Level Test Battery to select 
candidates, increasing the T score cutoff can result in significant gains. Higher T score 
values are associated with increased likelihood of success in the academy. Many agencies 
have found that by increasing their required T score they have been able to retain more 
recruits. Further, academy instructors report that higher T score requirements have 
minimized the need for remediation substantially. For example, instructors at Alameda 
County Sheriffs Office Academy Regional Training Center report that by increasing 
their T score requirement from 45 to 48, they have substantially reduced the number of 
recruits who fail as a result of writing deficiencies. Instructors have also reported (and 
POST research supports) that cadets with higher T scores perform better in all academy 
areas, not just report writing. 

Sample Assessments and Other Resources 

Samples assessments and other report writing resources (including suggestions and 
resources for cadets already enrolled in the academy) are available via POST'S Basic 
Course Informational website or by contacting Personnel Selection Consultant, Elizabeth 



76 



05/L9/2009 TUB 8:01. FAX 4155074126 MCSO MaiQ FAX tl uu ' /uii 



Wisnia in POST'S Standards and Evaluation Services Bureau 
felizabeth.wisnia@post.ca.gov or 916.227.4830). 



77 



78 









RESPONSE TO CONFIRMATION QUESTIONS 

COMMISSIONER BONNIE M. DUMANIS 

DISTRICT ATTORNEY OF SAN DIEGO COUNTY 



GOALS 

In 2007 you said you would advance POST'S goals by setting minimum selection and 
training standards and addressing the problem of recruitment and retention of peace 
officers, including outreach to often under-represented populations. 

1. Are you satisfied with your progress toward meeting your goals ? How do you 
measure progress? How have your goals changed since you were first 
appointed? 

I am satisfied with the progress that has been made in setting minimum selection 
and training standards. POST has conducted a significant amount of research in 
order to determine the potential impact of raising the entry level selection 
standards, i.e. "raising the entry-level education requirement above high school 
or GED (taking into consideration law enforcement recruitment issues)" and 
"raising the entry-level reading and writing requirements (taking into 
consideration law enforcement recruitment issues)." 

Law enforcement executives from a number of agencies throughout the state 
have concluded that raising the standards would be detrimental to the 
recruitment levels therefore this goal was deleted from the strategic plans for 
POST. 

Based on this conclusion, POST initiated alternative methods/resources to assist 
students in improving reading and writing skills. POST is also developing 
documents and manuals that will assist agencies in the selection process. 

Regarding "outreach to often under-represented populations" as I mentioned in 
2007: 1 believe that outreach helps reduce crime and it is also a great recruiting 
tool. Therefore, outreach is a high priority for the DA's office. A couple of 
programs that our office is involved in include: 

The DA's office is involved in project LEAD (Legal Enrichment and Decision - 
Making). This is a 10 week law related program targeting fifth-grade students 
located in lower middle class and lower income areas. Deputy DAs and DA 
Investigators go to selected schools as a team and teach the students about the 
law and help them recognize the social and legal consequences of criminal 
behavior. They discuss topics such as bullying, shoplifting, gang involvement, 
truancy, drug use, and other issues with the students. This program is designed 
to make the students aware of the criminal justice system and to steer them away 
from gangs and criminal activity. By presenting positive role models in law 
enforcement we encourage them to choose it for a career. 



Senate Essies Committee 

MAY : ; 200* 



79 



The DA's office has three Outreach Specialists who are tasked with a number of 
duties including outreach to students. One of their goals is to reduce gang related 
violent crimes. They meet with students at schools at all levels and discuss with 
them the negative aspects of gang memberships and involvement in criminal 
activity. They are also involved in faith based organizations and work with 
members of these groups to reduce gang violence. We also have a youth advisory 
committee to engage a diverse group of 9 th thru 12 th graders in how to reach out 
to them on important issues. 

The DA's office partners with the San Diego Chargers in Community outreach. 
The Chargers send players, coaches and administrative staff to Boys and Girls 
clubs, Middle and High Schools, Homeless centers and venues. DA Investigators 
accompany and participate with the Chargers. 

The DA's office encourages DDAs, DAIs and support staff to participate in 
outreach programs throughout the County. Participation in these programs is a 
plus for consideration in the promotion process for employees. 

I measure progress by comparing plans that have been developed with the 
number of plans that have been implemented. 

My goals have not changed. 

BACKGROUND 

You have served since 2003 as the San Diego district attorney. 

2. What lessons from your own experience in law enforcement are useful as you help 
shape statewide law enforcement standards? 

I have served as a prosecutor with the DA's office, as a Judge and as the District 
Attorney. My experience has provided me with the unique opportunity to observe 
the justice system from different perspectives. I have seen the results of excellent 
police work and how that plays such a pivotal role in the system. Unfortunately, I 
have also seen the opposite and understand the consequences of less than stellar 
police work and the effects that this has on victims and society. Therefore, I am 
committed to the goal of ensuring that California police officers receive the best 
training possible. 

I have also learned that by collaboration, coordination and cooperation more can be 
accomplished. The goal of reducing recidivism and protecting the public also 
includes doing our best to make sure those who commit crimes become clean, sober 
and productive members of society. 

SB 618 

In a pilot program created by SB 618 (Speier), Chapter 603, Statutes of 2005, San Diego 
County is preparing nonviolent felons to be better positioned for a successful transition 
back into the community. The goal is to create a plan for an inmate, while he or she is in 



80 



the county jail, so the inmate can immediately start with education or vocational 
programs or life skills classes as soon as they enter prison. You previously said that this 
program "is a good example of how recidivism is being addressed inside the prisons and 
at the time of reentry. Law enforcement officers need to be familiar with, and included 
in, the development of SB 618 programs in their jurisdiction and how it may affect their 
contact with parolees at reentry facilities." 

3. Please describe how you monitor this program and if it is operating as expected. 
Is it a program that can be duplicated in other counties? If so, what are the 
barriers to that happening? 

a. We monitor this program through weekly Operational Procedures 
meetings where representatives from all involved agencies discuss any 
issues that come up as the program moves forward. Probation 
distributes a weekly statistics report of the SB 618 participants. 
SANDAG evaluates the program through surveys (with line staff, 
program designers and the participants) and comparing assessments. 
Furthermore, members of the Operational Procedures Committee 
conduct site visits and observe various steps in the process to ensure 
the quality of the program. 

b. A Deputy District Attorney oversees the court process and ensuring 
that all eligible participants are screened for the program. 

c. The program is operating as expected, but we are constantly fine- 
tuning and improving processes. This is a program that can be 
duplicated in other counties. A possible barrier is getting CDCR to 
financially support the program. 

4. Are there lessons from the SB 618 program that would be useful to share with 
other counties, possibly through POST training? 

a. Absolutely. It is essential to first develop collaborative relationships 
between the District Attorney's Office, Public Defender's Office, the 
Courts, Probation and the Sheriffs Department. We also found it was 
very important to connect Parole with our local law enforcement 
agencies in order to better monitor participants and address their 
needs in an appropriate manner. 

b. Everyone must be in agreement to move forward. Bringing in 
community-based and faith-based organizations to develop a plan 
together so everyone is in agreement is integral for the program's 
success. The sooner everyone gets involved and has buy-in, the better 
the program will work. 

c County processes are simpler than State bureaucracies, which allowed 
us to develop and implement this comprehensive program much 
faster and in a way that fits our County. 



81 



RECRUITMENT 

One major issue has been recruitment of new officers. In 2007 the Contra Costa Times 
reported that there were 15,000 vacancies among the 95,000 budgeted peace officer jobs 
in California. At the same time, the commission's strategic goals state, "The costs 
associated with subpar employee productivity, turnover, and counter-productive behavior 
are substantial, both from a monetary and public safety standpoint." 

5. What is the status of any initiatives the commission has taken to steer youth 
toward careers in law enforcement? What outcomes, if any, have you 
experienced so far? 

POST has developed a number of publications that have dealt with recruitment 
issues over the past few years and is in the final stages of producing a "Recruitment 
Strategic Planning Guide." This publication will assist law enforcement agencies in 
developing recruitment strategic plans for police officers and dispatchers. 

The DA's office does not hire entry level police officers; therefore we are not 
directly impacted by the fact that youths are not being steered toward law 
enforcement careers, but as mentioned in question one's answer we do our best to 
reach out to our youth to engage them to become involved in law enforcement 

6. You previously said POST must be cautious about raising entry-level 
qualifications for peace officers. What have you done to help departments recruit 
qualified candidates? What steps have you taken to help departments weed out 
potentially subpar employees before they are hired? 

As mentioned, the DA's office, as well as most law enforcement agencies, participate 
in law enforcement recruiting days at schools and other venues. We, however, do 
not hire entry level police officers. 

The DA's office along with Sheriffs office has held several "Citizen Academies" 
over the past few years. This is a twelve (12) week program (one night per week) 
hosted by the DA's office. This program was advertised through the media and 
encouraged any and all citizens to attend. The presenters were Deputy DAs, DA 
Investigators and Sheriffs deputies. They provided the attendees with "an inside 
look" at the criminal justice system and how all the various law enforcement 
agencies work together to ensure that the citizens of the County live in a secure safe 
environment I am of the opinion that these presentations were definitely a 
recruiting tool as well as an educational tool. 

I have also participated in Women in Law Enforcement career day and recruitment 
efforts. 

During the past year, the DA's office had vacancies for peace officers that had the 
desire and the experience to work fraud cases. With this in mind, the County and 
the DA's web sites were used to advertise the need for potential applicants that had 
fraud experience. Additionally, we incorporated questions relating to fraud 
investigations into our applicants' interview process. 



82 



In order to weed out potentially sub par employees, we conduct an in depth 
background investigation. 

Regarding peace officer vacancies and recruitment of qualified candidates: 

As a result of an early mandatory retirement age, there are a number of retired 
federal agents/officers in California that are interested in second careers with local 
law enforcement agencies. These officers have a great deal of experience and could 
be a "pool" of qualified candidates for detective and management positions. Current 
POST policies prevent these federal officers from applying for positions unless they 
attend a 26 week police academy (POST does not recognize federal law enforcement 
academies as "police academies" and does not recognize any federal training as 
being sufficient to meet POST standards). 

POST currently requires that police officers from other states applying for positions 
with agencies in California attend a 3 week course in order to obtain a basic POST 
certificate which makes them eligible for police officer positions. I would 
recommend that POST develop a similar plan for retired federal officers. 

7. What impact has the nation 's slowing economy had on recruitment of officers? 
Do you see a wider role for the commission in publicizing the need for qualified 
police personnel? 

A number of law enforcement agencies throughout California are not hiring police 
officers as a result of the slowing economy. 

POST may play a larger role in the future in publicizing the need for qualified 
police personnel in the future. POST has the ability to reach a larger number of 
potential candidates through the use of the media and its website. 

8. What role should the commission play, if any, in working with high schools 
middle schools to address California 's high dropout rate? 

I think that this should be addressed by law enforcement agencies. Law enforcement 
involvement would also provide the opportunity to recruit potential candidates for 
law enforcement positions. Many of us participate in Fight Crime: Invest in Kids that 
seeks funding for schools, programs for kids and research to help address crime 
prevention and drop out rates. 

TRAINING 

In a July 18, 2008, memorandum, POST executive director Paul Cappitelli said that, 
while POST'S budget has remained relatively flat, the number of trainees for whom 
agencies could seek reimbursement climbed from 54,000 in 2003 to more than 68,000 in 
2007, a 25.9 percent jump. "With no commensurate increase in revenues, this trend 
cannot be sustained," Cappitelli said. 



83 



9. How have recent budget cuts impacted your training programs? Are you 
encouraging agencies to utilize more online courses? 

Recent budget cuts have definitely impacted training programs for all law 
enforcement, including the DA's office. To address this, the DA's office Bureau of 
Investigations (law enforcement component of the DA's office) provides in-house 
skills training to all of our investigators. This training meets or exceeds POST 
standards. DA Investigators are the instructors for these courses. 

With few exceptions, the only other training that is approved for investigators are 
those courses certified by POST that are eligible for cost reimbursement 

We provide online training courses for DA employees as does the County of San 
Diego. 

WEBSITE 

Some information on the POST web site appears to have been last updated in 2007. 

10. What plans do you have to regularly update your web site? What do you believe 
is POST'S responsibility to communicate with the public through its web site? 

The DA's office has a DAnet committee that ensures that the DA website is current 
Deputy DAs, investigators and support staff are members of this committee. They 
meet on a regular basis and exchange ideas and make recommendations regarding 
the website. 

POST must communicate with the public through its website. With technology that 
is available today, people obtain a great deal of information and knowledge by 
visiting websites thus making it critical that the webpage is current 






84 






RESPONSE TO CONFIRMATION QUESTIONS 

COMMISSIONER BONNIE M. DUMANIS 

DISTRICT ATTORNEY OF SAN DIEGO COUNTY 



GOALS 

In 2007 you said you would advance POST'S goals by setting minimum selection and 
training standards and addressing the problem of recruitment and retention of peace 
officers, including outreach to often under-represented populations. 

1 . Are you satisfied with your progress toward meeting your goals ? How do you 
measure progress? How have your goals changed since you were first 
appointed? 

I am satisfied with the progress that has been made in setting minimum selection 
and training standards. POST has conducted a significant amount of research in 
order to determine the potential impact of raising the entry level selection 
standards, i.e. "raising the entry-level education requirement above high school 
or GED (taking into consideration law enforcement recruitment issues)" and 
"raising the entry-level reading and writing requirements (taking into 
consideration law enforcement recruitment issues)." 

Law enforcement executives from a number of agencies throughout the state 
have concluded that raising the standards would be detrimental to the 
recruitment levels therefore this goal was deleted from the strategic plans for 
POST. 

Based on this conclusion, POST initiated alternative methods/resources to assist 
students in improving reading and writing skills. POST is also developing 
documents and manuals that will assist agencies in the selection process. 

Regarding "outreach to often under-represented populations" as I mentioned in 
2007: 1 believe that outreach helps reduce crime and it is also a great recruiting 
tool. Therefore, outreach is a high priority for the DA's office. A couple of 
programs that our office is involved in include: 

The DA's office is involved in project LEAD (Legal Enrichment and Decision - 
Making). This is a 10 week law related program targeting fifth-grade students 
located in lower middle class and lower income areas. Deputy DAs and DA 
Investigators go to selected schools as a team and teach the students about the 
law and help them recognize the social and legal consequences of criminal 
behavior. They discuss topics such as bullying, shoplifting, gang involvement, 
truancy, drug use, and other issues with the students. This program is designed 
to make the students aware of the criminal justice system and to steer them away 
from gangs and criminal activity. By presenting positive role models in law 
enforcement we encourage them to choose it for a career. 



Sfcoies Cuie,: 



MAY 

85 

Appointment* 



The DA's office has three Outreach Specialists who are tasked with a number of 
duties including outreach to students. One of their goals is to reduce gang related 
violent crimes. They meet with students at schools at all levels and discuss with 
them the negative aspects of gang memberships and involvement in criminal 
activity. They are also involved in faith based organizations and work with 
members of these groups to reduce gang violence. We also have a youth advisory 
committee to engage a diverse group of 9 th thru 12 th graders in how to reach out 
to them on important issues. 

The DA's office partners with the San Diego Chargers in Community outreach. 
The Chargers send players, coaches and administrative staff to Boys and Girls 
clubs, Middle and High Schools, Homeless centers and venues. DA Investigators 
accompany and participate with the Chargers. 

The DA's office encourages DDAs, DAIs and support staff to participate in 
outreach programs throughout the County. Participation in these programs is a 
plus for consideration in the promotion process for employees. 

I measure progress by comparing plans that have been developed with the 
number of plans that have been implemented. 

My goals have not changed. 

BACKGROUND 

You have served since 2003 as the San Diego district attorney. 

2. What lessons from your own experience in law enforcement are useful as you help 
shape statewide law enforcement standards? 

I have served as a prosecutor with the DA's office, as a Judge and as the District 
Attorney. My experience has provided me with the unique opportunity to observe 
the justice system from different perspectives. I have seen the results of excellent 
police work and how that plays such a pivotal role in the system. Unfortunately, I 
have also seen the opposite and understand the consequences of less than stellar 
police work and the effects that this has on victims and society. Therefore, I am 
committed to the goal of ensuring that California police officers receive the best 
training possible. 

I have also learned that by collaboration, coordination and cooperation more can be 
accomplished. The goal of reducing recidivism and protecting the public also 
includes doing our best to make sure those who commit crimes become clean, sober 
and productive members of society. 

SB 618 

In a pilot program created by SB 618 (Speier), Chapter 603, Statutes of 2005, San Diego 
County is preparing nonviolent felons to be better positioned for a successful transition 
back into the community. The goal is to create a plan for an inmate, while he or she is in 



86 



the county jail, so the inmate can immediately start with education or vocational 
programs or life skills classes as soon as they enter prison. You previously said that this 
program "is a good example of how recidivism is being addressed inside the prisons and 
at the time of reentry. Law enforcement officers need to be familiar with, and included 
in, the development of SB 618 programs in their jurisdiction and how it may affect their 
contact with parolees at reentry facilities." 

3. Please describe how you monitor this program and if it is operating as expected. 
Is it a program that can be duplicated in other counties? If so, what are the 
barriers to that happening? 

a. We monitor this program through weekly Operational Procedures 
meetings where representatives from all involved agencies discuss any 
issues that come up as the program moves forward. Probation 
distributes a weekly statistics report of the SB 618 participants. 
SAND AG evaluates the program through surveys (with line staff, 
program designers and the participants) and comparing assessments. 
Furthermore, members of the Operational Procedures Committee 
conduct site visits and observe various steps in the process to ensure 
the quality of the program. 

b. A Deputy District Attorney oversees the court process and ensuring 
that all eligible participants are screened for the program. 

c. The program is operating as expected, but we are constantly fine- 
tuning and improving processes. This is a program that can be 
duplicated in other counties. A possible barrier is getting CDCR to 
financially support the program. 

4. Are there lessons from the SB 618 program that would be useful to share with 
other counties, possibly through POST training? 

a. Absolutely. It is essential to first develop collaborative relationships 
between the District Attorney's Office, Public Defender's Office, the 
Courts, Probation and the Sheriffs Department We also found it was 
very important to connect Parole with our local law enforcement 
agencies in order to better monitor participants and address their 
needs in an appropriate manner. 

b. Everyone must be in agreement to move forward. Bringing in 
community-based and faith-based organizations to develop a plan 
together so everyone is in agreement is integral for the program's 
success. The sooner everyone gets involved and has buy-in, the better 
the program will work. 

c County processes are simpler than State bureaucracies, which allowed 
us to develop and implement this comprehensive program much 
faster and in a way that fits our County. 



87 



RECRUITMENT 

One major issue has been recruitment of new officers. In 2007 the Contra Costa Times 
reported that there were 15,000 vacancies among the 95,000 budgeted peace officer jobs 
in California, At the same time, the commission's strategic goals state, "The costs 
associated with subpar employee productivity, turnover, and counter-productive behavior 
are substantial, both from a monetary and public safety standpoint." 

5. What is the status of any initiatives the commission has taken to steer youth 
toward careers in law enforcement? What outcomes, if any, have you 
experienced so far? 

POST has developed a number of publications that have dealt with recruitment 
issues over the past few years and is in the final stages of producing a "Recruitment 
Strategic Planning Guide." This publication will assist law enforcement agencies in 
developing recruitment strategic plans for police officers and dispatchers. 

The DA's office does not hire entry level police officers; therefore we are not 
directly impacted by the fact that youths are not being steered toward law 
enforcement careers, but as mentioned in question one's answer we do our best to 
reach out to our youth to engage them to become involved in law enforcement 

6. You previously said POST must be cautious about raising entry-level 
qualifications for peace officers. What have you done to help departments recruit 
qualified candidates? What steps have you taken to help departments weed out 
potentially subpar employees before they are hired? 

As mentioned, the DA's office, as well as most law enforcement agencies, participate 
in law enforcement recruiting days at schools and other venues. We, however, do 
not hire entry level police officers. 

The DA's office along with Sheriff's office has held several "Citizen Academies" 
over the past few years. This is a twelve (12) week program (one night per week) 
hosted by the DA's office. This program was advertised through the media and 
encouraged any and all citizens to attend. The presenters were Deputy DAs, DA 
Investigators and Sheriffs deputies. They provided the attendees with "an inside 
look" at the criminal justice system and how all the various law enforcement 
agencies work together to ensure that the citizens of the County live in a secure safe 
environment I am of the opinion that these presentations were definitely a 
recruiting tool as well as an educational tool. 

I have also participated in Women in Law Enforcement career day and recruitment 
efforts. 

During the past year, the DA's office had vacancies for peace officers that had the 
desire and the experience to work fraud cases. With this in mind, the County and 
the DA's web sites were used to advertise the need for potential applicants that had 
fraud experience. Additionally, we incorporated questions relating to fraud 
investigations into our applicants' interview process. 



88 



In order to weed out potentially sub par employees, we conduct an in depth 
background investigation. 

Regarding peace officer vacancies and recruitment of qualified candidates: 

As a result of an early mandatory retirement age, there are a number of retired 
federal agents/officers in California that are interested in second careers with local 
law enforcement agencies. These officers have a great deal of experience and could 
be a "pool" of qualified candidates for detective and management positions. Current 
POST policies prevent these federal officers from applying for positions unless they 
attend a 26 week police academy (POST does not recognize federal law enforcement 
academies as "police academies" and does not recognize any federal training as 
being sufficient to meet POST standards). 

POST currently requires that police officers from other states applying for positions 
with agencies in California attend a 3 week course in order to obtain a basic POST 
certificate which makes them eligible for police officer positions. I would 
recommend that POST develop a similar plan for retired federal officers. 

7. What impact has the nation 's slowing economy had on recruitment of officers? 
Do you see a wider role for the commission in publicizing the need for qualified 
police personnel? 

A number of law enforcement agencies throughout California are not hiring police 
officers as a result of the slowing economy. 

POST may play a larger role in the future in publicizing the need for qualified 
police personnel in the future. POST has the ability to reach a larger number of 
potential candidates through the use of the media and its website. 

8. What role should the commission play, if any, in working with high schools 
middle schools to address California 's high dropout rate? 

I think that this should be addressed by law enforcement agencies. Law enforcement 
involvement would also provide the opportunity to recruit potential candidates for 
law enforcement positions. Many of us participate in Fight Crime: Invest in Kids that 
seeks funding for schools, programs for kids and research to help address crime 
prevention and drop out rates. 

TRAINING 

In a July 18, 2008, memorandum, POST executive director Paul Cappitelli said that, 
while POST'S budget has remained relatively flat, the number of trainees for whom 
agencies could seek reimbursement climbed from 54,000 in 2003 to more than 68,000 in 
2007, a 25.9 percent jump. "With no commensurate increase in revenues, this trend 
cannot be sustained," Cappitelli said. 



89 



9. How have recent budget cuts impacted your training programs? Are you 
encouraging agencies to utilize more online courses? 

Recent budget cuts have definitely impacted training programs for all law 
enforcement, including the DA's office. To address this, the DA's office Bureau of 
Investigations (law enforcement component of the DA's office) provides in-house 
skills training to all of our investigators. This training meets or exceeds POST 
standards. DA Investigators are the instructors for these courses. 

With few exceptions, the only other training that is approved for investigators are 
those courses certified by POST that are eligible for cost reimbursement 

We provide online training courses for DA employees as does the County of San 
Diego. 

WEBSITE 

Some information on the POST web site appears to have been last updated in 2007. 

10. What plans do you have to regularly update your web site? What do you believe 
is POST'S responsibility to communicate with the public through its web site? 

The DA's office has a DAnet committee that ensures that the DA website is current 
Deputy DAs, investigators and support staff are members of this committee. They 
meet on a regular basis and exchange ideas and make recommendations regarding 
the website. 

POST must communicate with the public through its website. With technology that 
is available today, people obtain a great deal of information and knowledge by 
visiting websites thus making it critical that the webpage is current 



90 



V. Pi 



O £~+re u Uunot of en 

California Legislature fo&pefases 

Senate Rules Committee PoST 

Goals: 

(Question 1) -- Please provide us with a brief statement of your goals. What do 
you hope to accomplish as a member of the commission? How will you 
measure your success at meeting these goals? 

As a POST Commissioner, I understand that I represent and am responsible for the 
standards and high level of training that over 80,000 law enforcement officers and public 
safety dispatchers adhere to and receive in the State of California each year. Many other 
states look to the California POST commission when developing like training within their 
jurisdiction. It is my goal to ensure that this high level of training continues; that trends 
be identified early and appropriate responses, in the form of training and information be 
developed and delivered to the law enforcement professionals in a timely and 
professional manner. 

The POST Commission adopted its first Strategic Plan in 1997. Since that time, the 
plan has been revised and updated every two years. It reflects input from various law 
enforcement stakeholders, Commissioners and POST staff. The Commission adopts 
each revision and approves every update regarding the status or progress being made by 
POST staff working on each objective. The Strategic Plan provides direction to every 
member of POST staff regarding priorities, building for the future and raising the bar in 
law enforcement selection and training. 

Background: 

You have served since 1988 as a deputy for the Riverside County Sheriffs 
Department. 

(Question 2) - What lessons from your own experience in law enforcement are 
useful as you help shape statewide law enforcement standards? 

As a Riverside County Deputy Sheriff, I have served in many different 
assignments. As such I have received over 3300 hours of specialized law enforcement 
training. I have developed expertise in several different subject matters and have taught 
POST Certified classes to others. Based on my training and experiences, I understand 
the importance of quality training. California is renowned for the quality of the training 
provided to its law enforcement officers. As a Commissioner on the Commission on 
Peace Officers Standards and Training, I will ensure the continuance of quality and 
relevant training to the fine men and women in the law enforcement profession. 

POST Background: 

The Commission on Peace Officer Standards and Training (POST) was 
established by the Legislature in 1959 to set minimum selection and training 
standards for California law enforcement. It consists of 15 members appointed by 

Senate Rules Committee 

MAY <)4 2009 

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Appointments 



California Legislature 
Senate Rules Committee 



the Governor plus the Attorney General (a total of 16 members). The POST 
organization consists of 120 staff members and functions under the direction of an 
executive director appointed by the commission. POST coordinates a 
comprehensive training program with hundreds of certified courses. 

One major issue is recruitment of new officers. "For several years, California 
law enforcement professionals and POST academy directors have expressed 
concerns for the difficulties they are having in recruiting qualified police officer 
candidates. POST provides various recruitment related assistance," according to 
the POST Website. In 2007 the Contra Costa Times reported that there were 15,000 
vacancies among the 95,000 budgeted peace officer jobs in California. 

(Question 3) - Please spell out the role the commission is playing to help 
departments recruit qualified candidates. What impact has the nation's slowing 
economy had on recruitment of officers? Do you see a wider role for your agency 
in publicizing the need for police personnel? 

Since 1989, POST has conducted five recruitment symposia. Each involved 
presentations by subject matter experts about recruitment and retention issues. The 
symposia were attended by several hundred representatives of law enforcement 
agencies. 

POST has developed a comprehensive plan for its role in addressing law 
enforcement recruitment issues. POST conducted considerable research into the issues 
surrounding recruitment and retention of peace officers. The result of the research was 
the development of two publications, Peace Officer Recruitment and Retention: Best 
Practices, and Recruitment and Retention Best Practices Update. Both documents 
provide sound methods for improving the efforts of law enforcement agencies to 
successfully recruit and retain peace officers. 

In 2007, POST completed a comprehensive survey of law enforcement agency 
executives regarding recruitment and retention. The survey revealed that law 
enforcement agencies are experiencing a statewide crisis in recruiting qualified 
candidates to fill vacancies within their agencies. The study cited candidate pool 
competition, reduced interest in becoming peace officers, low wages and achieving 
diversity as recruiting challenges. 

In response to the study, POST has embarked upon a marketing campaign, and 
has arranged for regional testing and recruiter training. The POST Website has been 
enhanced to reflect career opportunities and links to agencies. They have developed the 
best practices on recruitment, and pre-academy preparation materials for candidates. In 
each instance, except the marketing campaign, POST has provided the resources to law 
enforcement agencies to assist them in their recruitment efforts. POST will soon publish a 
"Recruitment Strategic Planning Guide." The document provides an overview of 



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recruitment strategic planning, a Recruitment Strategic Planning Checklist, and an 
example of a recruitment strategic plan for law enforcement agencies. 

In reference to the question: What impact has the nation's slowing economy had 
on recruitment of officers? 

We are just starting see the impact on law enforcement agencies. As revenues 
decline and budgets become strained, many cities and counties will balance their budgets 
by reducing staffing levels, and decreasing compensation and benefits. As a result, we 
may see reductions to those candidates who would otherwise qualify, thus reducing the 
recruitment pools even more. Because of the time associated with finding qualified 
candidates and training recruits, we will not know or understand the impact of this slowing 
economy for some time to come. 

POST is providing sufficient resources to the law enforcement community, as it 
relates to recruitment at this time. As the economy improves, and the need for additional 
law enforcement personnel increases, POST may consider other options as they deem 
necessary and budgets allow. 

(Question 4)-- The Commission has considered raising entry-level qualifications to 
becoming an officer. What is the status of these discussions? If it is done, how 
would the change affect recruitment? 

Over the past several years, POST has developed a strategic plan which includes 
many "objective" areas to address different topics. The POST Strategic Plan includes 
four objectives that address this subject: 

• A.6.05- Study the feasibility of raising the entry-level education requirement 
above high school or GED. 

• A.7.05- Study the feasibility of raising the entry-level reading and writing 
requirement. 

• A.8.05- Study the feasibility of requiring reading and writing testing for entry 
into the basic academy. 

• A. 9.08 - Establish Basic Academy Report Writing Resources. 

The research involving each of these objectives determined the potential impact of 
raising entry-level selection standards. The conclusion in each instance was that the 
elevation of the selection standards would be detrimental to recruitment efforts of law 
enforcement. Upon recommendation by POST staff, the Commission deleted each of the 
strategic plans. 

Following an extensive study, the Commission found that resistance from the law 
enforcement community exists to imposing a report writing standard, but that strong 
support exists for a pre-academy report writing curriculum that presenters could 



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voluntarily adopt. Following Commission direction, staff developed and made available 
such resources and objective A.9.08 was deleted as "completed" by Commission action in 
January 2009. 

(Question 5)-- Are any efforts underway to diversify law enforcement agencies? If 
so, please describe. 

POST has no direct role in the hiring decisions made by law enforcement 
agencies. However, considerable interest was identified in work performed by POST to 
improve recruitment efforts within the law enforcement community. For many law 
enforcement agencies there continues to be both need and interest in ensuring that 
agencies reflect the diversity of the communities served. With this in mind, POST staff 
worked with subject matter experts and members of the law enforcement and human 
resource professions to develop best practices that agencies can use in addressing the 
need to increase gender and ethnic diversity within law enforcement agencies. 

One of the publications developed by POST to assist agencies in their efforts to 
increase diversity in the workforce is found in, "Peace Officer Recruitment and Retention: 
Best Practices." It contains several sections which address ways to improve diversity in 
the recruiting process. They include: Selecting Your Agency Recruiter, Creating the 
Future Recruiting Pool, Out of State Recruitment and Background Investigations, 
Identifying Target Audiences, Job Fairs and Special Events and Bilingual Pay. Another 
publication developed to increase diversity in the workplace is found in, "Recruitment and 
Retention Best Practices Update." It contains an entire chapter dedicated to Diversity 
Recruitment and Developing External Partnerships to Improve Diversity Recruitment. 

POST will soon publish the "Recruitment Strategic Planning Guide." This document 
will help law enforcement agencies develop a recruitment strategic plan to hire peace 
officers and dispatchers. Diversity recruitment is included in the recruitment strategic 
plan. 

Employment: 

The commission's strategic goals state, "The costs associated with subpar 
employee productivity, turnover, and counter-productive behavior are substantial, 
both from a monetary and public safety standpoint." 

(Question 6) ~ What steps have you taken to help departments weed out 
potentially subpar employees before they are hired? What sort of training is 
available on this topic? 



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POST is responsible for conducting statewide research that results in selection and 
training standards for entry-level peace officers and public safety dispatchers. This 
responsibility includes the development of selection tests used by California law 
enforcement agencies to identify qualified peace officer and dispatcher applicants, and 
the development and maintenance of all written and performance tests used to assess 
the knowledge and skill levels of peace officer trainees in California's basic training 
academies. 

This year, the entire set of POST selection standards for both peace officers and 
public safety dispatchers was revised. The procedures outlined in the new standards are 
designed to ensure that the most qualified candidates are selected. The procedures 
provide the guidance and resources needed to ensure that agencies select candidates 
who are capable of learning and performing the essential job functions and 
responsibilities of a peace officer. 

POST staff works closely with local law enforcement agencies to provide these 
resources. This collaboration helps ensure that the best possible candidates are selected 
to fill California's law enforcement ranks, and assures that all standards and procedures 
are job-related and legally defensible, as required by state and federal employment laws. 
Additionally, POST staff works closely with all basic training academies in California to 
ensure that their programs are in compliance with POST requirements, that their 
instructors are well prepared and that their students master the knowledge and skills 
required of peace officers. 

Training: 

In a July 18, 2008, memorandum, POST Executive Director Paul Cappitelli 
said that while POST'S budget has remained relatively flat, the number of trainees 
for whom agencies could seek reimbursement climbed from 54,000 in 2003 to more 
than 68,000 in 2007, a 25.9 percent jump. "With no commensurate increase in 
revenues, this trend cannot be sustained," Cappitelli said. 

(Question 7) - How have recent budget cuts impacted your training programs? Are 
you encouraging agencies to utilize more online courses? 

During these challenging economic times, POST is well aware of the limitations 
many cities and counties have placed on staff travel and training. This is reflected in 
reduced numbers of trainees being able to travel to a training site to receive training. 
POST has reacted to this reality by ensuring that its staff keeps the law enforcement 
community informed about the availability of online training. 

Other administrative issues include resources. It is becoming apparent that in order 
to meet the demand for more training and to keep the promise implied by the 
establishment of the Learning Portal, decisions will need to be made regarding a 



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Senate Rules Committee 



consistent funding source, as well as sufficient personnel and resources in the future. 
However, despite limited staff (one engineer, two designers, and a supervisor) and limited 
funding, staff has managed to produce and support several successful training programs. 
Currently, the Portal hosts instructor and law enforcement resources, discussion groups, 
and training courses. 

(Question 8) -- One of your goals has been to develop a distance learning plan for 
delivery of Web-based training. What progress have you made toward this goal? 

POST has set high standards for online training. This push for quality learning 
experiences for the student has paid off. Comments by users have been overwhelmingly 
positive about the courses, and they would like to see more training available via the 
Learning Portal. 

Currently, the Portal hosts seven online courses and one video course as well as 
over 90 resources. There are over 25,000 registered users who have recorded over 
28,000 course completions resulting in over 109,500 CPT hours awarded. 

POST has five courses in development: Identity Theft, Gangs, Search Warrant 
Fundamentals, Environmental Crimes, and Instructor Development - Learning Outcomes. 
In addition, a search warrant writing tool is in development which will help novices 
develop search warrants. POST is also working to develop a tool to help investigators 
with foundational investigation skills. 

(Question 9) - Some information on the POST Web site was last updated in 2007. 
Given an expected increase in Web use, what plans do you have to regularly 
update the Web site? 

Two new Budget Change Proposals (BCPs) for Fiscal Year 2009/2010 are in the 
State Budget. One BCP provides funding ($425,000/year) for course and performance 
support tool development for two years. The second BCP authorizes an additional 
Instructional Systems Engineer position which is needed to support the Portal, courses, 
and tools. POST was successful in securing authorization for these critical items because 
of the current economic situation. These items will have a direct impact on reduced local 
law enforcement travel and training budgets. 



96 



(Responses 

SHERIFF LAURIE SMITH 

SANTA CLARA COUNTY OFFICE OF THE SHERIFF 

RESPONSES TO SENATE RULES COMMITTEE QUESTIONS - 2009 

Goals 

As a member of the Commission on Peace Officer Standards and Training, my goal is to 
continue to advance the objectives of the Peace Officer Standards and Training (POST) 
Strategic Plan and follow POST'S mission to continually enhance the professionalism of 
California law enforcement. In addition to having the necessary experience, I also have 
the passion and dedication to help raise the bar on POST selection and training standards, 
improve the quality and impact of training, and provide insight to enhance POST'S 
services. 



Question 1: Are you satisfied with your progress toward meeting your goals? How 
do you measure success? How have your goals changed since you were 
first appointed? 

I am satisfied with my progress in meeting my goals and am confident that I can continue 
to meet my goals in my role as a member of the Commission on Peace Officer Standards 
and Training. 

Some examples of how I have facilitated the advancement of specific objectives 
identified within the POST Strategic Plan are centered on being a certified provider for a 
POST Basic Academy Course. My staff continually strives to enhance the quality and 
impact of training to new law enforcement recruits as well as in-service law enforcement 
professionals and work closely with other academies to ensure standardization is 
maintained throughout the State. My staff recently created a County Wide Crisis 
Intervention Training (CIT) course as a result of recognizing the benefit this training will 
have on law enforcement officers as well as the community. Due to its demonstrated 
success, we are currently exploring the possibility of incorporating an abbreviated 
element of this training into the Basic Academy Course. In addition, my Basic Academy 
Director participated in a POST feasibility study formulated to upgrade the current Basic 
Academy Course Certification process. Most recently I identified the need of an 
additional Regional Skills Training Center in Santa Clara County to satisfy a progressive 
demand for local law enforcement agencies requiring the mandated driver training and 
force options training. These are local examples of how I have helped execute the 
objectives and standards identified by the Commission on Peace Officer Standards and 
Training. Success can be measured by the number of individuals that graduate from the 
Santa Clara County Justice Training Center Academy and continue to improve and 
successfully complete the FTO program. 

Senate Rules Committee 

MAY 2 1 ?m 



97 



Question 2: How does your own experience in law enforcement shape your priorities 
as you determine statewide law enforcement standards? 

As the Sheriff of Santa Clara County with over 35 years of law enforcement experience, I have a 
unique global perspective of what is needed to establish and maintain necessary standards that 
will facilitate progressive growth of the law enforcement profession throughout the State. 

The knowledge and experience I have gained leading my organization, combined with my 
participation on the State Sheriffs Association and local Police Chiefs Association, has afforded 
me numerous opportunities to discuss law enforcement trends and philosophies with Sheriffs and 
Police Chiefs throughout the State. Through these relationships I have established within the law 
enforcement community, I have developed a foundational understanding of what leads to 
organizational and professional failure and success. This understanding provides me with the 
necessary perspective to identify and prioritize critical standards that will enhance the law 
enforcement profession today and in the future. 

My experience has also been enhanced by my appointment as a Commissioner of the 
Commission on Peace Office Standards and Training (POST) for two separate terms. One of my 
goals as a POST Commissioner has been to advance the objectives set forth in the POST Strategic 
Plan. I recognize the importance of the Strategic Plan and have not only contributed to its 
development, but also helped ensure the objectives are attained. 



Recruitment 

Question 3: What is the status of any initiatives the commission has taken to steer 

youth toward careers in law enforcement? What outcomes, if any, have 
you experienced so far? 

Question 6: Wliat role, if any, should the commission play in working with high 
schools or middles (sic) schools to address the need for workforce 
development in the law enforcement sector? 

The information that addresses Question 3 and Question 6 is related and has been 
consolidated below: 

In the past decade, California's law enforcement's recruitment efforts have faced many 
challenges including, but not limited to intense interagency competition at the state and 
federal level and competition from other professions such as nursing, teaching, 
firefighters and the military. And, because existing law specifies stringent requirements 
to be a peace officer, it is not uncommon for an agency to process 1000 applicants only to 
harvest 100 candidates after investing significant time and expense in the form of 
recruitment efforts, psychological testing and background investigations. A term 
commonly expressed by law enforcement officials is "the dwindling pool of candidates". 
Continually increasing efforts to identify candidates in a dwindling pool fails to recognize 
that efforts have to be made to improve the stream of candidates into the pool. Objective 
B.8.08 of POST'S Strategic Plan directs staff to "study the feasibility of a model high 
school program that can be replicated statewide. " As a result, considerable outreach 



98 



efforts to the Department of Education were made in 2008 to incorporate statewide 
standardized components of basic peace officer training into high school programs, 
Grades 10-12. Meetings have been held to identify curriculum and testing that address 
core issues in police service that can be integrated into these programs; including, but not 
limited to report writing, ethics and professionalism, first aid, criminal law, physical 
conditioning and the criminal justice system. Integrating standardized components in a 
high school curriculum will facilitate the transition from high school, to junior college 
and ultimately into an academy to begin a career in law enforcement. By accomplishing 
this, an increase in qualified peace officer candidates is expected to help law enforcement 
recruitment. A collateral benefit will be a reduction in the dropout rate in schools 
participating in this program. Strategies are presently being developed, in conjunction 
with educators and program subject matter resources to systematically integrate this 
curriculum into the California private and public schools systems. The commission 
regularly receives status reports on the progress of this objective. 

Question 4: What have you done to help departments recruit qualified candidates? 
What steps have you taken to help departments weed out potentially 
subpar employees before they are hired? 

Question 5: What impact has the nation 's slowing economy had on recruitment of 
officers? Do you see a wider role for the commission in publicizing the 
need for qualified police personnel? 

The information that addresses Question 4 and Question 5 is related and has been 
consolidated below: 

The Santa Clara County Sheriffs Office has two areas in our hiring process that assist in 
eliminating potentially sub-par employees before they are hired: (1) the profile of the 
model employee we are looking for and (2) the extensive screening process. 

The Profile: In the initial phase, there is a focus on candidates who either possess some 
level of higher education or some type of military service, (entry level Deputy Sheriff 
currently requires at least 60 college semester units). Over the years, it has been 
determined that candidates with some level of either educational or military experience 
are more focused and have better developed value/ethical profiles. It has also been 
determined that it is irrelevant what the subject matter of the educational experience is, as 
long as the classes were taken and completed with some level of competency. 



There is an attempt to identify applicants that have the ability to multi-task at some level. 
This experience is often difficult to pinpoint in the applicants' background. However, 
once identified, it can be assumed that the applicant will have a better chance with 
manipulative skill sets like calmly talking on the radio while driving a car at high speeds. 

The Sheriffs Office seeks applicants that have demonstrated their ability to calmly 
handle major life issues. This would include events like marriage, divorce, relationships, 
finding a job, keeping jobs, etc. Although this is sometimes referred to as maturity, it is 



99 



believed that it is more likely the ability to confront and handle one's personal problems 
effectively. It is unlikely that a Deputy Sheriff could competently handle another 
individual's issues while in the field if he/she has not yet demonstrated an inherent ability 
to handle his/her own personal obstacles. 

The Process: The Santa Clara County Sheriffs Office selection process begins like most 
with an entry level written test and a physical agility. After passing these tests, applicants 
are screened for high-risk behavior through the use of a personal history questionnaire 
(PHQ). The PHQ is basically a written inquiry into several critical areas of the 
applicants' background. The answers are place into a computer and screened for "areas 
of concern" relating to impulse behaviors, ethical behaviors, and anger management. If 
applicants score high in any one of these areas they are either eliminated or called in for a 
one-on-one interview with our staff. 

Once the PHQ process has been completed, all applicants are interviewed/screened to 
ensure they meet the agency profile, or have the ability to meet the agency profile in the 
future. Those individuals determined to not possess the agency profile, or possess the 
potential to meet the agency profile, are eliminated from the selection process at this 
point. 

Once this initial interview has been completed, a background investigator completes an 
extensive three-hour interview in an effort to discover any derogatory information that 
would keep the applicant from being employed by our agency. The results of this 
interview are documented and sent to our internal staff for review. 

Since 1989 POST has conducted five recruitment symposiums. The two largest ones took 
place in 200 land in 2005. Each involved presentations by subject matter experts about 
recruitment and retention issues. Several hundred representatives of law enforcement 
agencies attended these symposia. POST also provided training with an emphasis on the 
needs of executives and recruiters. Strategic Plan objective C.3.06 — Develop a 
comprehensive plan for POST'S role in addressing law enforcement recruitment issues, 
has guided the efforts of POST staff to address recruitment issues since 2006. At the 2008 
Strategic Plan Stakeholders meeting, it was recommended that public safety dispatchers 
be included in the recruitment plan. 

In 2001 and again in 2006, POST conducted considerable research into the issues 
surrounding recruitment and retention of peace officers. The result of the research was 
the development of two publications, Peace Officer Recruitment and Retention: Best 
Practices - July 2001 (http://www.post.ca.gov/selection/recruit.pdf) and Recruitment and 
Retention Best Practices Update - April 2006 
http://www.post.ca.gov/training/bestpractices/RecruitmentBestPrac.pdf). 

Both documents provide sound methods for improving the efforts of law enforcement 
agencies to successfully recruit and retain peace officers. 



100 



Question 7: You noted in your 2007 letter that the commission directed staff to study 
the feasibility of establishing a statewide writing standard for exit from 
the basic course for peace officers. What is the status of that study? 

Following extensive study, staff reported to the Commission in January 2008 that 
substantial resistance exists to the imposition of an academy report writing exit standard. 
However, strong support exists for the development of a pre-academy report writing 
curriculum and test that presenters could voluntarily adopt. Accordingly, a curriculum 
resource document was developed and approved by the Commission in January 2009. 
POST staff is currently carrying out a study to develop a valid basic course report writing 
exit test that academies can adopt on a voluntary basis. The project is on schedule to be 
completed in the spring of 2010. 



Question 8: What is the status of the study you cited on the viability of administering 
a pre-employment personality assessment to peace officer candidates? 

Strategic Objective A.l calls for POST to "Establish personality assessment for entry- 
level selection.'''' Pursuant to this objective, in 2004, the Commission initiated a two- 
year project to thoroughly evaluate the existing job relatedness evidence and other 
pertinent research findings for tests of general personality characteristics 
(conscientiousness, extraversion, etc.) that could be administered prior to a conditional 
job offer (i.e., pre-offer personality tests). The research was completed in 2007 and 
POST staff began the development of a resource document for agencies wishing to 
pursue pre-offer personality testing. 

Concurrent with development of the guide, staff developed a web-based application for 
test publishers to provide information about specific tests. It is expected that the 
information provided by the test publishers will be available to POST agencies as part of 
a centralized database. 

The intent of the resource guide and web application is to assist agencies in making 
decisions about the use of pre-offer personality tests based on local needs and resources. 
Agencies that utilize such testing are encouraged to work collaboratively with POST to 
evaluate how well the tests work; however, no attempt will be made to influence agencies 
decision making process. 

The estimated date for completion of the resource document and release of the associated 
web-based application is December, 2009. 

Question 9: Please describe and discuss any efforts underway to diversify law 
enforcement agencies. 

POST has no direct role in the hiring decisions made by law enforcement agencies. 
However, considerable interest was identified in work performed by POST to improve 
recruitment efforts within the law enforcement community. For many law enforcement 



101 



agencies there continues to be both need and interest in ensuring that agencies reflect the 
diversity of the communities served. This is illustrated in surveys conducted by POST 
staff in 2000, 2005 and 2007. With this in mind, staff worked with subject matter experts 
and law enforcement and human resource professionals to develop best practices that 
agencies can use in addressing the need to increase gender and ethnic diversity within law 
enforcement agencies. 

One of the publications developed by POST to assist agencies in their efforts to increase 
diversity in the workforce is found in Peace Officer Recruitment and Retention: Best 
Practices - July 2001 (http://wv t -'w.post.ca.gov/selection/recruit.pdf). It contains several 
sections on ways to improve diversity in the recruiting process. They include: Selecting 
Your Agency Recruiter, Creating the Future Recruiting Pool, Out of State Recruitment 
and Background Investigations, Identifying Target Audiences, Job Fairs and Special 
Events and Bilingual Pay. 

Another publication developed by POST to assist agencies in their efforts to increase 
diversity in the workplace is found in Recruitment and Retention Best Practices Update 
April 2006 (http:/A\ww.post.ca.gov/training/bestpractices/RecruitmentBestPrac.pdf). It 
contains an entire chapter dedicated to Diversity Recruitment (Chapter 3) and Developing 
External Partnership to Improve Diversity Recruitment (Chapter 8). 

POST will soon publish the Recruitment Strategic Planning Guide. This document will 
help law enforcement agencies develop a recruitment strategic plan to hire peace officers 
and dispatchers. 

Diversity recruitment is included in the recruitment strategic plan example provided in 
the document. 

Information Technology: 

Question 10: Given current budget restraints, how have you been able to maintain or 
improve your online training? Are you encouraging agencies to utilize 
more online courses? 

POST has long been a leader in the development of technology-based training for law 
enforcement. In 1991, ACR 58 established the POST Learning Technology Resource 
Center (LTRC), which spearheaded the development of computer-based training 
programs, first on interactive videodisc and then on CD-ROM. LTRC is now developing 
Internet-based training programs and performance tools for California law enforcement 
accessed via the POST Learning Portal. 

Despite limited staff (1 engineer, two designers, and a supervisor) and limited funding, 
staff has managed to produce and support several successful training programs. 
Currently, the Portal hosts instructor and law enforcement resources, discussion groups, 
and training courses. 



102 



Question 1 1 : What plan do you have to regularly update your web site? What do you 
believe is POST'S responsibility to communicate with the public through 
its web site? 

The Sheriffs Office recently updated its website. Overall, POST'S public website 
(www.post.ca.gov) is continually updated; however, some sections are static and rarely 
change. Various sections such as the Administrative Progress Report, the Course Catalog, 
and the California POST Training Network are updated monthly. The Law Enforcement 
Job Opportunities, Bulletins, and Regulatory Notices are posted bi-monthly and/or on an 
as-needed basis. The "What's New" section on the POST homepage highlights the 
new/updated program information. 

POST believes in transparency in state government and ensures that all public 
information is readily accessible via www.post.ca.gov. As an agency of state 
government, POST has complied with the CA.gov web site design, accessibility, and 
usability standards and best practices. All new information on the website is being 
developed in the CA.gov new "look and feel," and POST is working toward total 
conversion in the upcoming year. 

Since the POST web site has many types of visitors, the POST homepage was designed 
to help different types of visitors locate the information they need. Information for 
potential applicants, investigators, dispatchers, and peace officers is readily accessible 
from the homepage. The CA.gov requirements include accessibility for persons with 
disabilities. 

Most recently, Really Simple Syndication (RSS) feeds on several sections on the web site 
were implemented to allow visitors to keep themselves informed on the latest POST news 
and updates with minimal effort. POST intends to add additional web features which will 
enable visitors to find needed information faster. 

POST staff continues to keep abreast of new, emerging technologies to further enhance 
POST'S online presence. 



103 









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• 



HEARING 

SENATE RULES COMMITTEE 

STATE OF CALIFORNIA 




GOVERNMENT 
DOCUMENTS OEPT 



4'K h 7 



STATE CAPITOL 

ROOM 113 

SACRAMENTO, CALIFORNIA 

WEDNESDAY, JUNE 10, 2009 

2:05 P.M. 



SAN FRANCISCO 
PUBLIC LIBRARY 



620-R 



SENATE RULES COMMITTEE 

STATE OF CALIFORNIA 

- -0O0- - 



STATE CAPITOL 

ROOM 1 1 3 

SACRAMENTO. CALIFORNIA 

- - oOo - - 

WEDNESDAY. JUNE 10. 2009 
2:05 P M . 
- -OOO- - 



Reported By INA C. LeBLANC 

Certified Shorthand Reporter 
CSR No 6^13 



1 

2 
3 

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5 

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7 

8 

9 

10 

11 

12 

13 

14 

15 

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17 

18 

19 

20 

21 

22 

23 

24 

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ALSO PRESENT (cont.) 

HADI MAKARECHIAN, Member, The Regents of the 
University of California. 

WILLIAM HAUCK, Member, Trustees of the California 
State Univers ity 

HENRY MENDOZA, Member, Trustees of the California 
State Univers ity . 



- o o 



APPEARANCES 
MEMBERS PRESENT 

SENATOR DARRELL STEINBERG, Chair 

SENATOR GIL CEDILLO 

SENATOR SAMUEL AANESTAD 

SENATOR ROBERT DUTTON 

SENATOR JENNY OROPEZA 

STAFF PRESENT 

GREG SCHMIDT, Executive Officer 
JANE LEONARD BROWN, Committee Assistant 
NETTIE SABELHAUS, Appointments Consultant 
DAN SAVAGE, Assistant to SENATOR CEDILLO 
JULIE NYSTROM, Assistant to SENATOR AANESTAD 
CHRIS BURNS, Assistant to SENATOR DUTTON 
BRENDAN HUGHES, Assistant to SENATOR OROPEZA 

ALSO PRESENT 

GEOFFREY L. BAUM, Member, California Community 
Colleges Board of Governors 

SCOTT B. HIMELSTEIN, Member, California Community 
Colleges Board of Governors 

LANCE T. IZUMI, Member, California Community 
Colleges Board of Governors 

GARY E. REED, Member, California Community 
Colleges Board of Governors 



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INDEX 



Page 



Proceedings 



INTRODUCTION OF GARY E. REED BY 
SENATOR ROY ASHBURN 3 

INTRODUCTION OF GEOFFREY L. BAUM BY 
SENATOR CAROL LIU 4 

INTRODUCTION OF SCOTT B. HIMELSTEIN BY 
SENATOR MARK WYLAND 5 

INTRODUCTION OF HENRY MENDOZA BY 
SENATOR RON CALDERON 7 

INTRODUCTION OF HADI MAKARECHIAN BY 
SENATOR TOM HARMAN 8 

INTRODUCTION OF LANCE IZUMI BY 

SENATOR JACK SCOTT 10 

Opening Statements by Governor's Appointees: 

GEOFFREY L. BAUM, Member, California 
Community Colleges Board of Governors 

SCOTT B. HIMELSTEIN, Member, California 
Community Colleges Board of Governors 

LANCE T. IZUMI, Member. California 
Community Colleges Board of Governors 

GARY E. REED, Member, California Community 
Colleges Board of Governors 13 



Question to All Appointees by 
CHAIRMAN STEINBERG re: 

SB 70 and relationship between 
K-12 system and community college 
system 21 



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1 5 



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Questions to All Appointees by 
SENATOR AANESTAD re: 

Fees 26 


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Opening Statement by Governor's Appointee: 

HADI MAKARECHIAN, Member, The Regents of the 
University of California 82 


K-12 funding going to community 


Questions by CHAIRMAN STEINBERG re: 

University of California being 
more collaborative with other 


Questions to All Appointees by 
SENATOR OROPEZA re: 

Role of community colleges 32 

Goal of veterans committee 33 

Listing of community colleges 
re career goals for incoming 


Executive compensation 85 


Ramifications with respect to 


Questions to All Appointees by 
SENATOR CEDILLO re: 

Actions by the State to enable 
community colleges to do their 
jobs 3 7 


Necessity for exorbitant 


Question by SENATOR CEDILLO re: 
Danger to system if efforts are 


Change in funding 39 

Result of less funding 40 

Actions by legislature to 
facilitate greater interface 
between community colleges, CSU 


Questions by SENATOR OROPEZA re: 
Blue and Gold plan/Access for 


--0O0-- 

Opening Statements by Governor's Appointees: 

WILLIAM HAUCK, Member, Trustees of the 
California State University 53 

HENRY MENDOZA, Member, Trustees of the 
California State University 49 

V 




--o0o -- 

Proceedings Adjourned 97 

Certificate of Reporter 98 


APPENDIX (W ritten Responses of Appointees).. 9 9 

vii 


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23 

24 

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Questions to Both Appointees by 
CHAIRMAN STEINBERG re: 

Relationship between high-school 
dropout rate and the CSU system/ 
CSU system's replication of 
U.C.'s A to G system 49 


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PROCEEDINGS 

CHAIRMAN STEINBERG: The Senate Rules Committee 
will come to order. I want to apologize that we are 
starting 35 minutes late. We had a lengthy caucus 
dealing with the issues that you could probably guess we 
were talking -- we should be talking about, so I 
apologize for holding everybody up. 

Let's begin this afternoon, though, by calling 
the roll. 

MS. BROWN: Senator Cedillo. 

D u tton . 

O ro peza . 

SENATOR OROPEZA: Here. 

MS. BROWN: Oropeza here. 

A a n e s ta d 

SENATOR AANESTAD: Here. 

MS. BROWN: Aanestad here. 

S te in b e rg . 

CHAIRMAN STEINBERG: Here. 

MS. BROWN: Steinberg here. 

CHAIRMAN STEINBERG: Let me begin on a very sad 
note. The Rules Committee was sorry to learn of the 
death of Tiffany Rystrom yesterday. Tiffany was the 
chair of the Public Employment Relations Board, and she 
was going to be up for confirmation here over the next 

1 


Alternatives to A to G course 


Integration of rigorous 

curriculum with pathways 56 

Questions to Both Appointees by 
S EN ATO R OROPEZA re: 


Title IX 6 1 




Hiring of contract lobbyists 69 

Question to Both Appointees by 
SEN ATO R CEDILLO" re: 

Collaboration between community 
colleges, CSU and U.C. system 73 

Question to Mr. Hauck by 
SENATOR AANESTAD re: 

Length of time to graduation from 
CSU system 77 


Witness in Support of HENRY MENDOZA: 
JOEL AYALA, California Hispanic Chambers 


vi 



06/15/2009 09:58:05 AM 



Page 5 to 1 of 7 



2 of 27 she 



1 several months. And we want to send our condolences to 

2 Ms. Rystrom's family and friends, and express the sorrow 

3 about the loss not only to her loved ones but to public 

4 service of the State of California as well. Thank you. 

5 Maybe we could -- I know it's not tradition, 

6 but a moment of silence. Could we do that, please. 

7 Thank you. 

8 (Pause.) 

9 CHAIRMAN STEINBERG: Thank you. All right. 

10 Let us begin. I know we have a number of Members here, 

11 and former Members. We will accommodate the Members 

12 here rather quickly, but we need to dispense first with 

13 a couple items of business. 

14 (Discussion of the record re file items 

15 one and two.) 

16 CHAIRMAN STEINBERG: All right. Now we move to 

17 the governor's appointments appearing today. Let me 

18 just say at the outset I'm very pleased to have all of 

19 our higher-education appointees pending confirmation 

20 with us today. We've been spending a lot of weeks and 

21 time on corrections, parole, and it's, frankly, nice to 

22 talk about education. 

23 Not only are the positions that are up for 

24 confirmation today significant, but the terms they fill 

25 are some of the longest terms for any appointed 

2 



1 of governors of the community college district, 

2 community colleges of California. He is here for 

3 reconfirmation. 

4 Gary Reed is eminently qualified for this 

5 position, having previously served as a member of the 

6 teacher credentialing commission for the State of 

7 California. He is a former high-school math teacher, 

8 and so intimately connected with young people and 

9 education, has a deep and abiding commitment to our 

10 young people. He's a former Tulare County supervisor, 

11 and so he's served in local government. He's an 

12 extraordinary person in that he is very keen in his 

13 connection with the way in which people value the 

14 resources of our state, the minds of our young people. 

15 And I know that he will do an extraordinary job. 

16 So, Mr. President, I would commend to you 

17 Gary Reed for reappointment to the board of governors. 

18 CHAIRMAN STEINBERG: Thank you, Senator 

19 Ashburn. We appreciate it. 

20 SENATOR ASHBURN: Thank you. 

21 CHAIRMAN STEINBERG: Senator Liu. 

22 SENATOR LIU: Thank you, Mr. President and 

23 Members. It's my pleasure to introduce a constituent of 

24 mine, Geoffrey Baum, for confirmation as a member of the 

25 California Community Colleges Board of Governors. 

4 



1 positions in state government. A member of the 

2 Community College Board of Governors has a six-year 

3 term; a CSU trustee has an eight-year term; and a 

4 U.C. regent has, in fact, a 12-year term. So these are 

5 appointments that, in our view, require some special 

6 consideration, because they do in fact reach so far 

7 into the future. 

8 So we want to have a discussion with all of you 

9 today about not only your view of your role, but your 

10 view of higher education in California, and how we 

11 address the economic realities of our time at the same 

12 time we prepare the educated and trained workforce of 

13 the future. 

14 So let us begin here. Now, I want to 

15 accommodate Senator Ashburn, Senator Liu, and 

16 Senator Wyland, who I'm sure have other busy schedules. 

17 The order that we're going to take up is, first, the 

18 community college trustees; but if any of you are here 

19 for anybody else, I will allow you to come up now and 

20 introduce your member, but then we'll take up the member 

21 in a little bit. 

22 So Senators. 

23 SENATOR ASHBURN: Mr. President, Senators, I'm 

24 very happy to be here today to introduce to you 

25 Gary Reed, who currently serves as a member of the board 

3 



1 I know you have Mr. Baum's credentials before 

2 you and numerous letters of support. I only want to 

3 emphasize, based on my personal experience, what a 

4 valuable contribution I believe he will make to the 

5 board. He brings a breadth of organizational and 

6 communication skills, and interpersonal skills as well, 

7 and he has had experience as a past president of the 

8 Pasadena City College Board of Trustees. And I 

9 certainly hope you give him your kind consideration. 

10 CHAIRMAN STEINBERG: Thank you, Senator Liu. 

11 Senator Wyland. 

12 SENATOR WYLAND: Mr. Chair and Members, I take 

13 really great pleasure in introducing Scott Himelstein, 

14 also for the board of governors at the community 

15 colleges. 

16 I have known Scott for several years, but when 

17 I read his C.V., there were some things I didn't even 

18 know about. He was the founder of the Even Start 

19 Foundation in the mid '90s, executive director of 

20 California Reading Recovery. Under those two programs, 

21 they made enormous efforts in bringing books and 

22 literacy skills to children who might not have otherwise 

23 had them. 

24 He was the president of the Lynch Foundation 

25 for Children, and in that capacity, when Superintendent 

5 



I of 27 sheets 



Page 2 to 5 of 99 



06/15/2009 09:58:05 AM 



1 

2 

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Questions to All Appointees by 
SENATOR AANESTAD re: 

Fees 26 


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13 

14 

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16 

17 
18 
19 
20 
21 
22 
23 
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25 


Opening Statement by Governor's Appointee: 
HADI MAKARECHIAN, Member, The Regents of the 




K-12 funding going to community 




Questions by CHAIRMAN STEINBERG re: 

University of California being 
more collaborative with other 
systems 84 




Questions to All Appointees by 
SENATOR OROPEZA re: 

Role of community colleges 32 

Goal ofveterans committee 33 

Listing of community colleges 
re career goals for incoming 




Ramifications with respect to 
limiting compensation 89 


Questions to All Appointees by 
SENATOR CED ILLO re: 

Actions by the State to enable 
community colleges to do their 
jobs 37 

Result of less funding 40 

Actions by legislature to 
facilitate greater interface 
between community colleges, CSU 


Necessity for exorbitant 


Question by SENATOR CEDILLO re: 
Danger to system if efforts are 


Questions by SENATOR OROPEZA re: 
Blue and Gold plan/Access for 


--0O0-- 

Opening Statements by Governor's Appointees: 

WILLIAM HAUCK, Member, Trustees of the 
California State University 53 

HENRY MENDOZA, Member, Trustees of the 

V 




--0O0-- 
Proceedings Adjourned 97 


APPENDIX (Written Responses of A ppoin tees ) .. 99 

VII 


1 

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3 

4 

5 

6 

7 

8 

9 

10 

11 

12 

13 

14 

15 

16 

17 

18 

19 

20 

21 

22 

23 

24 

25 


Questions to Both Appointees by 
CHAIRMAN STEINBERG re: 

Relationship between high-school 
dropout rate and the CSU system/ 
CSU system's replication of 
U.C.'s A to G system 49 


1 

2 

3 

4 

5 

6 

7 

8 

9 

10 

11 

12 

13 

14 

15 

16 

17 

18 

19 

20 

21 

22 

23 

24 

25 


PROCEEDINGS 

CHAIRMAN STEINBERG: The Senate Rules Committee 
will come to order. I want to apologize that we are 
starting 35 minutes late. We had a lengthy caucus 
dealing with the issues that you could probably guess we 
were talking -- we should be talking about, so I 
apologize for holding everybody up. 

Let's begin this afternoon, though, by calling 
the roll. 

MS. BROWN: S e n a to r C ed illo . 

D utton . 

O ropeza . 

SENATOR OROPEZA: Here. 

MS. BROWN: Oropeza here. 

A a n es ta d . 

SENATOR AANESTAD: Here. 

MS. BROWN: Aanestad here. 

S te in b e rg . 

CHAIRMAN STEINBERG: Here. 

MS. BROWN: Steinberg here. 

CHAIRMAN STEINBERG: Let me begin on a very sad 
note. The Rules Committee was sorry to learn of the 
death of Tiffany Rystrom yesterday Tiffany was the 
chair of the Public Employment Relations Board and she 
was going to be up for confirmation here over the next 

1 


Alternatives to A to G course 


Integration of rigorous 

curriculum with pathways 56 

Questions to Both Appointees by 
S EN ATOR OROPEZA re: 


Title IX 6 1 




Hiring of contract lobbyists 69 

Question to Both Appointees by 
SENATOR CEDILLO' re: 

Collaboration between community 
colleges, CSU and U.C. system 73 

Question to Mr. Hauck by 
SENATOR AANESTAD re: 

Length of time to graduation from 
CSU system 77 


Witness in Support of HENRY MENDOZA: 
JOEL AYALA, California Hispanic Chambers 


vi 



06/15/2009 09:58:05 AM 



Page 5 to 1 of 7 



2 of 27 shee 



1 several months. And we want to send our condolences to 

2 Ms. Rystrom's family and friends, and express the sorrow 

3 about the loss not only to her loved ones but to public 

4 service of the State of California as well. Thank you. 

5 Maybe we could -- I know it's not tradition, 

6 but a moment of silence. Could we do that, please. 

7 Thank you. 

8 (Pause.) 

9 CHAIRMAN STEINBERG: Thank you. All right. 

10 Let us begin. I know we have a number of Members here, 

11 and former Members. We will accommodate the Members 

12 here rather quickly, but we need to dispense first with 

13 a couple items of business. 

14 (Discussion of the record re file items 

15 one and two.) 

16 CHAIRMAN STEINBERG: All right. Now we move to 

17 the governor's appointments appearing today. Let me 

18 just say at the outset I'm very pleased to have all of 

19 our higher-education appointees pending confirmation 

20 with us today. We've been spending a lot of weeks and 

21 time on corrections, parole, and it's, frankly, nice to 

22 talk about education. 

23 Not only are the positions that are up for 

24 confirmation today significant, but the terms they fill 

25 are some of the longest terms for any appointed 

2 



1 of governors of the community college district, 

2 community colleges of California. He is here for 

3 reconfirmation. 

4 Gary Reed is eminently qualified for this 

5 position, having previously served as a member of the 

6 teacher credentialing commission for the State of 

7 California. He is a former high-school math teacher, 

8 and so intimately connected with young people and 

9 education, has a deep and abiding commitment to our 

10 young people. He's a former Tulare County supervisor, 

11 and so he's served in local government. He's an 

12 extraordinary person in that he is very keen in his 

13 connection with the way in which people value the 

14 resources of our state, the minds of our young people. 

15 And I know that he will do an extraordinary job. 

16 So, Mr. President, I would commend to you 

17 Gary Reed for reappointment to the board of governors. 

18 CHAIRMAN STEINBERG: Thank you, Senator 

19 Ashburn. We appreciate it. 

20 SENATOR ASHBURN: Thank you. 

21 CHAIRMAN STEINBERG: Senator Liu. 

22 SENATOR LIU: Thank you, Mr. President and 

23 Members. It's my pleasure to introduce a constituent of 

24 mine, Geoffrey Baum, for confirmation as a member of the 

25 California Community Colleges Board of Governors. 

4 



1 positions in state government. A member of the 

2 Community College Board of Governors has a six-year 

3 term; a CSU trustee has an eight-year term; and a 

4 U.C. regent has, in fact, a 12-year term. So these are 

5 appointments that, in our view, require some special 

6 consideration, because they do in fact reach so far 

7 into the future. 

8 So we want to have a discussion with all of you 

9 today about not only your view of your role, but your 

10 view of higher education in California, and how we 

11 address the economic realities of our time at the same 

12 time we prepare the educated and trained workforce of 

13 the future. 

14 So let us begin here. Now, I want to 

15 accommodate Senator Ashburn, Senator Liu, and 

16 Senator Wyland, who I'm sure have other busy schedules. 

17 The order that we're going to take up is, first, the 

18 community college trustees; but if any of you are here 

19 for anybody else, I will allow you to come up now and 

20 introduce your member, but then we'll take up the member 

21 in a little bit. 

22 So Senators. 

23 SENATOR ASHBURN: Mr. President, Senators, I'm 

24 very happy to be here today to introduce to you 

25 Gary Reed, who currently serves as a member of the board 

3 



1 I know you have Mr. Baum's credentials before 

2 you and numerous letters of support. I only want to 

3 emphasize, based on my personal experience, what a 

4 valuable contribution I believe he will make to the 

5 board. He brings a breadth of organizational and 

6 communication skills, and interpersonal skills as well, 

7 and he has had experience as a past president of the 

8 Pasadena City College Board of Trustees. And I 

9 certainly hope you give him your kind consideration. 

10 CHAIRMAN STEINBERG: Thank you, Senator Liu. 

11 Senator Wyland. 

12 SENATOR WYLAND: Mr. Chair and Members, I take 

13 really great pleasure in introducing Scott Himelstein, 

14 also for the board of governors at the community 

15 colleges. 

16 I have known Scott for several years, but when 

17 I read his C.V., there were some things I didn't even 

18 know about. He was the founder of the Even Start 

19 Foundation in the mid '90s, executive director of 

20 California Reading Recovery. Under those two programs, 

21 they made enormous efforts in bringing books and 

22 literacy skills to children who might not have otherwise 

23 had them. 

24 He was the president of the Lynch Foundation 

25 for Children, and in that capacity, when Superintendent 

5 



I of 27 sheets 



Page 2 to 5 of 99 



06/15/2009 09:58:05 AM 



1 Bersin was at the school district in San Diego, he was 

2 assigned permanently to assist him in that. 

3 He later came to Sacramento as a deputy 

4 secretary and chief of staff when Alan Bersin was the 

5 secretary of education, and after his departure became 

6 the acting secretary for education. 

7 Scott also created -- The information for the 

8 Committee says he directs the Center for Education, 

9 Policy and Law at USC. He created this position, which 

10 I think is relatively unique, at least in south 

11 Los Angeles, Southern California, which combines 

12 education, policy, and law, and he teaches at that 

13 foundation. 

14 He also has done a great deal of work in the 

15 community for a long period of time. That was 

16 recognized in 2004 when he was honored as community 

17 leader of the year by the local newspaper, The Union 

18 Tribune. And one of those things he's done, and I know, 

19 Mr. Chairman, you and I share this interest, is a lot of 

20 work on career technical education. He is someone who 

21 believes that this is an important role for the 

22 community colleges, and I think is someone who would not 

23 only provide great direction as a member of the 

24 governing board, but also would be very helpful in this 

25 particular development. 

6 



1 him to humble another. He doesn't flatter well, boast 

2 of his own achievements, cringe before power. He speaks 

3 with frankness but always with sincerity and sympathy; 

4 whose deed follows his word; and he thinks of rights of 

5 others rather than his own; and, in my opinion, who 

6 appears well with any company, a man with whom honor is 

7 sacred and virtue is safe. 

8 This passage that I just read to you was 

9 written by Mr. John Walter Wayland. He's the founder of 

10 the Sigma Alpha Epsilon Fraternity, and this passage is 

11 called "A True Gentleman." 

12 But I believe that Henry embodies the character 

13 that's denoted in this passage. I think he would be an 

14 excellent addition to the board of trustees, and it 

15 would be my honor to vote yes for him, should we confirm 

16 him on the Senate floor. And I'm asking you to 

17 seriously consider Mr. Mendoza as an appointee, and I 

18 ask for your aye vote. 

19 CHAIRMAN STEINBERG: Thank you, Senator, for 

20 coming to the Rules Committee. It means a lot. 

21 Senator Harman. 

22 SENATOR HARMAN: Thank you very much, 

23 Mr. Chairman and Members of the Committee. It's my 

24 honor to sort of repeat what Senator Calderon was just 

25 talking about, but for a different individual. 

8 



1 CHAIRMAN STEINBERG: Thank you, Senator Wyland. 

2 Appreciate it. 

3 We have Senator Calderon here. Senator, if you 

4 want to come up, we're taking all of the introductions. 

5 SENATOR CALDERON: Okay. Great. 

6 CHAIRMAN STEINBERG: First we'll do all the 

7 introductions, and then we'll break for two weeks and 

8 come back. 

9 SENATOR CALDERON: Thank you, Mr. Chairman and 

10 Members. Senator Calderon. I'm here on behalf of 

11 Henry Mendoza, who is — 

12 CHAIRMAN STEINBERG: Wave, please. 

13 SENATOR CALDERON: -- who is before you today 

14 seeking your approval for Cal State University board of 

15 trustees. You have before you, I'm sure, a list of all 

16 of his qualifications and his past endeavors, so I'm not 

17 going to address that today. 

18 What I would like to address today is Henry's 

19 character, what I know about him. Henry is a man whose 

20 conduct proceeds from goodwill and an acute sense of 

21 propriety; his self-control is equal to all emergency; 

22 who does not make the poor man conscious of his poverty, 

23 the obscure man, his obscurity, or any man of his 

24 inferiority or deformity. 

25 Henry is, himself, humble, if necessity compels 

7 



1 I'd like to talk to you about Hadi Makarechian. 

2 Mr. Makarechian is before you today for consideration to 

3 appointment to the Board of Regents of The University of 

4 California. 

5 I first met Mr. Makarechian about 12 years ago 

6 when I was a member of the Huntington Beach City 

7 Council. His company, which he is the chairman and 

8 founder of, was doing a major project in our city. I 

9 had many conversations and meetings with him concerning 

10 that project, and with his son, Paul Makarechian, who 

11 was assisting him at that time. And I can tell you that 

12 my dealings with Mr. Makarechian were very, very 

13 favorable. I found him to be an honest and ethical and 

14 concerned person. 

15 He has gone on and done a number of other 

16 development projects around the state and around the 

17 country. He is the founder and chairman of Maker 

18 Properties in Newport Beach. He is, of course, a 

19 constituent of mine, living in my 35th Senate District. 

20 He's active in a number of charitable affairs and has an 

21 excellent, excellent reputation in the county. 

22 And I am here today to tell you that I 

23 wholeheartedly support him in his quest to become 

24 appointed to the -- to become a member of the 

25 U.C. Regents, and I would ask, when you do consider him, 

9 



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4 of 27 sheets 



1 


for your aye vote on his application. 


1 


I've witnessed their skills in terms of working with the 


2 


CHAIRMAN STEINBERG: Thank you very much, 


2 


board of governors, asking excellent questions, doing 


3 


Senator Harman. 


3 


their homework. 


4 


SENATOR HARMAN: Thank you very much, 


4 


So I think we really have a team of four 


5 


Mr. Chairman. 


5 


outstanding individuals to be in the Community Colleges 


6 


CHAIRMAN STEINBERG: Any other Senators 


6 


Board of Governors, and it's my pleasure to serve as the 


7 


upstairs? 


7 


chancellor. 


8 


Let's begin. We're going to begin with the 


8 


I guess I'll close by saying: Obviously, I 


9 


Community Colleges Board of Governors, and I'm going to 


9 


consider them people of unusual wisdom and judgment, 


10 


ask as a group for Geoffrey Baum, Scott Himelstein, 


10 


because they selected me. 


11 


Lance Izumi, and Gary Reed to please come forward. 


11 


CHAIRMAN STEINBERG: Thank you, my old seat 


12 


CHAIRMAN STEINBERG: Senator Scott, I'm sorry. 


12 


mate, Senator Scott. 


13 


Senator Scott, of course. Come on up. I'm sorry. 


13 


Let's have the gentlemen come up. 


14 


SENATOR SCOTT: That's all right. 


14 


Welcome to all of you. 


15 


CHAIRMAN STEINBERG: I thought you were -- I 


15 


MR. HIMELSTEIN: Thank you. 


16 


didn't know you wanted to come up and speak. 


16 


CHAIRMAN STEINBERG: Rules Committee tradition 


17 


SENATOR SCOTT: Well, you know, I'm an 


17 


to allow any of the nominees to introduce a family 


18 


ex-politician. You give me the microphone, I'm going to 


18 


member or close friend who may be in the audience with 


19 


speak. 


19 


you today. 


20 


CHAIRMAN STEINBERG: This is true. 


20 


MR. BAUM: I just have one introduction I would 


21 


SENATOR SCOTT: I want to, number one, to 


21 


like to make. I brought a student of mine at USC who's 


22 


second the nomination of those who have already been 


22 


an intern this semester, this summer. His name is 


23 


presented to you, because they've all served since I've 


23 


Phil Shaven. He's a community college transfer student 


24 


been the chancellor beginning January 1st, Scott 


24 


from El Camino College and now a student at USC at the 


25 


Himelstein and Gary Reed, that have already been 


25 


Annenberg School, where I work, and he was interested 




10 




12 


1 


introduced to you, and Geoffrey Baum; but I wanted to 


1 


about the process. 


2 


say a word about Lance Izumi. It's been my pleasure -- 


2 


CHAIRMAN STEINBERG: Welcome to you. 


3 


I want to talk about Lance as somebody who's already 


3 


SENATOR OROPEZA: A constituent of the great 


4 


been on the job. This is a reappointment. 


4 


28th district. 


5 


The members of the board of governors felt so 


5 


CHAIRMAN STEINBERG: Welcome. 


6 


strongly about Lance Izumi that they elected him as 


6 


MR. IZUMI: I'd like to introduce my much, much 


7 


their president, and I can tell you that I've witnessed 


7 


better half, my wife, April, who is in the audience. 


8 


his skills when he presides over the board of governors. 


8 


CHAIRMAN STEINBERG: Welcome. Welcome to you. 


9 


He is unfailingly polite to anyone who wants to speak; 


9 


Very good. All right. Let's begin. I'll ask 


10 


he handles any controversies -- although, fortunately, 


10 


each of you to make a very brief opening statement. 


11 


we have very few -- extremely well; he is a skilled 


11 


We're interested in, you know, what's at the core here, 


12 


presider. And so, as a result, all of us wanted to see 


12 


why you are interested in serving and what you want to 


13 


him seek reappointment, and he thought about it and 


13 


accomplish during your tenure as a trustee. 


14 


decided that he would. 


14 


Go from — 


15 


So I'm very pleased to simply introduce to you 


15 


MR. REED: This side? 


16 


Lance Izumi, the present president of the board of 


16 


CHAIRMAN STEINBERG: Yes. Introduce yourself 


17 


trustees -- I said board of trustees -- board of 


17 


again, please. 


18 


governors, and who I think deserves reappointment not 


18 


MR. REED: Gary Reed. 


19 


only because of his past but because of his present 


19 


A number of years ago when I first graduated 


20 


contribution. 


20 


from high school, my father encouraged me strongly to go 


21 


And, of course, I've also witnessed and support 


21 


attend a community college, and I was somewhat reluctant 


22 


the reappointment of Gary Reed, who serves extremely 


22 


to do so. But from there I went on to the university 


>3 


well on the board of governors, and our two newest 


23 


and graduated with a master's degree and learned the 


>4 


members, which are Scott Himelstein and Geoffrey Baum, 


24 


value of education. 


♦5 


both of whom have already started their service, and 


25 


So when I came back to a real small rural 




11 




13 



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community where I live, Porterville, California, in the 

San Joaquin Valley, I had been working with the 

community college for the better part of the last 

20 years. And having said that, it just demonstrated to 

me over the years about the value of education, 

especially for rural citizens, is so important. And 

I've been fortunate to have served the last three years 

on the board of governors and shared my views as a board 

member coming from a rural area, and also my views as a 

small business owner. 

Sometimes on these boards I find that the views 
that I have from my experience are somewhat different 
from my colleagues, and I think I've added value by 
being able to be in that position to do so. Thank you. 

CHAIRMAN STEINBERG: Thank you. 

Mr. Izumi. 

MR. IZUMI: Thank you very much, Mr. Chairman 
and Senators. My name is Lance Izumi, and as Chancellor 
Scott mentioned, I'm the current president of the board 
of governors. 

My interest in community colleges really stems 
back from -- along the lines of Member Reed. And I 
attended community college, actually, during the summer 
before I went to university at UCLA, and actually I took 
the most important course I think I ever took, which is 

14 



1 had the great pleasure of working with many of you and 

2 your colleagues while I was here in Sacramento on 

3 community college issues, and in particular with Senator 

4 Scott, on what I viewed as the two most important pieces 

5 of legislation over the past few years for community 

6 colleges: SB 70, which greatly expanded career 

7 technical education, it improved our capacity, quality 

8 of career technical education in the community college; 

9 as well as Senate Bill 361, which went a long way 

10 towards equalizing funding for community colleges in our 

11 state. 

12 I would say for me, my particular interest is 

13 in the area of career and technical education. I think 

14 that's what, quite frankly, community colleges do best, 

15 having seen it up close. I think we have a tremendous 

16 opportunity right now to improve those systems. We have 

17 opportunities to engage our business and industry 

18 partners better. And also something I think we're 

19 making a lot of progress on is our partnership with our 

20 K-12 assistants who are better articulating our class 

21 work, providing students better opportunities to gain 

22 community college credit. 

23 So my focus is in and around that area, and I 

24 very much look forward to it. 

25 MR. BAUM: Hello, Senators. I was a little 

16 



a typing course at El Camino College, and if it weren't 
for that course, I don't think I would have ever 
graduated. 

But ever since that time, I've been able to see 
the importance the community college fills in the lives 
of all kinds of different people, from people like 
myself, as a student going into a four-year institution, 
and also students who are going to community college for 
transfer, but also, too, a great number of people who go 
back to community colleges for job retraining, career 
technical education, and lots of other different 
reasons. 

So given that the community college has such an 
interesting and wide mission, and such great importance 
to so many people in the community, and with colleges 
being so entrenched in so many different places, I think 
that I've wanted to contribute by bringing my background 
in education, which I've been in research, education 
researcher, for many years. It's been mostly in the 
K-12 area, but I've been able to bring that and interest 
in improving education at the higher-education level. I 
think it's been a good fit, and I really enjoy my work, 
and, also, working with the great people who staff the 
community college chancellor's office. 

MR. HIMELSTEIN: Mr. Chairman and Members, I 

15 



1 nervous, so I prepared a statement. Yesterday, I was 

2 preparing and I spent -- With due respect to Senator 

3 Aanestad, I was in the dentist's chair yesterday getting 

4 a root canal. 

5 SENATOR AANESTAD: Is this easier or harder? 

6 MR. BAUM: So far, easier, so I appreciate 

7 that. 

8 Thank you for giving me the opportunity to 

9 appear as the Rules Committee considers my appointment. 

10 It's a tremendous honor to work on behalf of students 

11 and communities throughout California as a member of the 

12 Community Colleges Board of Governors and Pasadena City 

13 College, where I have served as an elected trustee since 

14 2001. 

15 I want to share a little bit of my background. 

16 My father's an immigrant. He came to this country 

17 without speaking English. He grew up sleeping on a sofa 

18 in a one-bedroom apartment in a working class 

19 neighborhood in Brooklyn, where his father worked in a 

20 restaurant. Fortunately, my dad found a technical 

21 college, Brooklyn College of Pharmacy, and learned a 

22 profession that enabled him to support our family. 

23 My mother grew up in the Midwest. She was 

24 married and divorced at 20. She married again, 

25 divorced, and was a single mom with two sons at 28. She 

17 






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married my dad a year later and had two more kids. 
Thank goodness they're still together. The marriage 
worked out. 

She loved books and learning, but her life 
situation did not enable her to go to college until the 
family moved to Southern California in the early 1960s. 
In Orange County, she found the local community college, 
Golden West College. When she had access, there was no 
stopping her. She enrolled in classes and pursued her 
educational dreams. 

With an earnest desire to serve and gratitude 
for the opportunity they had been given, my parents both 
got involved in politics. My dad was elected mayor of 
our hometown, and years later my mom was elected to the 
Coast Community College District Board of Trustees. 

That's the environment in which I was raised, 
and I've devoted my professional career in community 
service to higher education. As I mentioned, since 
2001, I have served as an elected governing board member 
of the Pasadena area community college district. I've 
been a board officer and served a term as president. 
PCC is widely regarded among the state's very best 
community colleges. It ranks at or near the top in 
virtually every category, including transfer to 
four-year colleges, awarding of associate's degrees and 

18 



1 failure -- and business failure, the demand for 

2 education and training has never been greater. Working 

3 closely with my colleagues on the board of governors, I 

4 support the role of community colleges as the state's 

5 economic recovery centers. As with any disaster, 

6 Californians must have access to resources and support 

7 in order to recover from this current crisis and get the 

8 economy moving again. 

9 One paradox is that we know where the jobs are, 

10 and we have outstanding students eager to get the 

11 training and skills for new careers, but there's a 

12 shortage of access. We will continue to serve as many 

13 students as we can with the resources we have and hope 

14 we can find ways to serve the avalanche of newly 

15 displaced workers who need help. 

16 Through my service on the board of governors, I 

17 hope to be an effective advocate for the community 

18 college system, maintain and strengthen the system of 

19 accountability that builds public trust, and work 

20 effectively with all of our partners in the system, 

21 faculty, staff, administrators, students, and, of 

22 course, the governor and the legislature, to expand 

23 access to affordable, high-quality instruction, 

24 especially during this time of economic crisis. 

25 At our Pasadena City College board meeting last 

20 



career and technical education certificates award. 

In addition, I'm a member of the leadership 
team at the University of Southern California. For 
eight years, I was assistant dean of USC's Annenberg 
School for Communication and now serve as managing 
director at USC's Center on Communication, Leadership 
and Policy. 

I've seen firsthand the power of education to 
transform lives. I see it every day on the campus of 
Pasadena City College and at community colleges across 
the state. 

With three million students, ours is the 
largest system of higher education in the world. The 
board of governors sets policy and provides guidance for 
the 72 districts and the 110 colleges which constitute 
the system. We establish accountability standards, 
monitor performance, and are the entity that formally 
interacts with state and federal officials. We also 
select the chief executive for the system. The new 
state chancellor, as you know, is former PCC president 
and California State Senator Jack Scott, and I'm doing 
everything I can to support his work guiding the 
system. 

My focus has been on the economy. With record 
levels of unemployment, home foreclosure, business 

19 



1 Wednesday, more than 100 students showed up to express 

2 their concern about the very difficult decisions that 

3 lie ahead. They're scared. And I told them I would 

4 remember their faces, their words, their anxieties, and 

5 their passion for learning. I promised I would not 

6 forget them when I met you today. So on behalf of these 

7 students and others across the state, thank you for your 

8 deep concern and steadfast support for our community 

9 college students and the state's community college 

10 system. 

11 I'm deeply grateful to you and Governor 

12 Schwarzenegger for this opportunity. I look forward to 

13 working with you in the months and years ahead. 

14 CHAIRMAN STEINBERG: Thank you, Mr. Baum. 

15 Thank you to all of you. 

16 Let's open it up for some questions. I would 

17 just begin with maybe sort of an overriding question. 

18 We have little money in all of our systems. K-12 is 

19 taking a big hit. Our community colleges propose to 

20 take a significant hit, as is the CSU and U.C. systems. 

21 I'm specifically interested in Senator Scott's 

22 SB 70 - Is that the right number, SB 70? 

23 MR. BAUM: Um-hmm. 

24 CHAIRMAN STEINBERG: - and how you think we 

25 can enhance the relationship between the K-12 system and 

21 



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the community college system, especially around this 
growing enthusiasm about career pathways and multiple 
pathways. 

I'd like to hear your thoughts on that and how 
we build on it and how we maximize resources to help 
address the dropout rate, and how we educate and train 
people for a high-wage economy. 

MR. IZUMI: I would just open up, and I'll turn 
it over to my colleagues too. 

I think that the collaboration and cooperation 
between K-12 and community colleges, at least from the 
time I've been on the board, has been really hammered 
home to us. We can't just complain about being on the 
receiving end of people who need basic skills work, but 
we do have to certainly address that problem. Unless we 
do things in a proactive sort of way to tackle that, 
help our friends and cooperate with our friends in K-12, 
then we're certainly missing an opportunity. 

I think one of the things that I've seen over 
the time I've been on the board has been this increased 
cooperation between the two segments. For example, 
right now we have programs where community college 
instructors are collaborating with their colleagues at 
the K-12 level to align curriculum standards and 
assessment and expectations in order so that the 

22 



1 very relevant to kids where in their junior — sophomore 

2 and junior years, they can actually see down the road to 

3 community college, higher education, and into — 

4 CHAIRMAN STEINBERG: What is the progress of 

5 that development? 

6 MR. HIMELSTEIN: I think there's some very good 

7 examples around the state. I would admit I think there 

8 needs to be more -- 1 can speak to my area in San Diego. 

9 We have some very good examples in San Diego City 

10 College and San Diego city schools. I believe we could 

11 do more of it. I also believe we can further engage 

12 business and industry and involve them in the design of 

13 the curriculum in providing internships for students and 

14 externships for teachers, and I think the board can take 

15 a leadership role on that. 

16 CHAIRMAN STEINBERG: Thank you. 

17 MR. REED: One particular area that I have a 

18 concern about in the career tech area is these programs 

19 are very, very expensive, and we have to make sure 

20 there's a cost analysis of our return on our investment. 

21 And if we cut back in these programs during these 

22 difficult times, they may become very difficult to 

23 reestablish down the road. 

24 Secondarily, I think one of the things we 

25 really need to focus on, because there's so much talk 

24 



students at the K-12 level know what they could expect 
and then work to that. 

Certainly, that is also the case, specifically 
in career technical education, where we're trying to 
embed math and English standards in career technical 
education so that the students can both receive that 
type of education, but also receive the education that's 
according to the K-12 standards as well. 

So I think that by doing that and preparing 
K-12 students that way, you can have them — encourage 
them to stay in school and prevent dropouts, because 
when they start hitting roadblocks, such as they find 
out that they need a lot of basic skills, at the end of 
the day it certainly encourages them to drop out. I 
think the people in higher education like us are trying 
to do preventive maintenance to make sure that doesn't 
happen. 

CHAIRMAN STEINBERG: Thank you. Briefly. 

MR. HIMELSTEIN: Senator, I think there are two 
things. Senate Bill 70 has gone a long way, but I think 
there's two areas that we can improve in, especially 
vis-a-vis the dropout issue. 

I think community college instructors can 
better work with our K-12 partners on creating 
project-base learning curriculum, a curriculum that is 

23 



1 today about the greening and about jobs related to that 

2 area, with the federal moneys that might be coming down 

3 the road towards job training, we have to make sure 

4 these are sustainable jobs, that we're not simply 

5 employing people for four to six to eight months and 

6 then terminating their employment. I think we have to 

7 tie all of that together. It cannot be just a 

8 short-term gain for a long-term loss. 

9 And going back to the relevancy issue, we 

10 addressed that in our strategic plan where we are 

11 working with K-12 and doing what Scott just mentioned in 

12 terms of trying to prove and show students the relevance 

13 of the class work that they're taking. Those courses 

14 have to be relevant in today's society so that they can 

15 see the potential of what they can realize at the end of 

16 their tenure in community college. 

17 MR. BAUM: I'll make it very quickly. 

18 Two points: Our chancellor is the author of SB 

19 70, which was actually signed at Pasadena City College. 

20 I don't think there's going to be any lack of focus on 

21 the system level for seeing that that is implemented and 

22 expanding that commitment to career and technical 

23 education. 

24 Also, we need to encourage the districts at the 

25 local level. Where I am, at Pasadena City College, we 

25 



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8 of 27 she 



said with our K-12 districts, business as usual wasn't 
working and that we're working to integrate more of our 
programs with the Pasadena Unified School District and 
meeting together as both the school board and the local 
community college board to make sure that we have smooth 
transitions and sharing resources and working on behalf 
of the students at the earliest levels so that we can 
arrest some of these problems early on. 

CHAIRMAN STEINBERG: Thank you. 

Do we have questions from Members? 

SENATOR AANESTAD: I do. 

CHAIRMAN STEINBERG: Senator Aanestad, why 
don't you go first, and then we'll get to 
Senator Oropeza. 

SENATOR AANESTAD: Thank you for meeting with 
me this morning. 

The question I have really concerns the budget 
and what's happening in California. We've just enacted 
the largest tax increase in the state of California in 
February. Everybody is being hit. 

When I went to community college, I told you, a 
million years ago, it was free. Today we do charge a 
fee, but it's really about the lowest in the nation. 
California ranks number 49 or 50 as far as per-unit fee 
for community colleges. Is that really fair to the 

26 



1 That means you could actually double the fee to $40 a 

2 unit and still be in the average cost, and there would 

3 still be 25 states that would be more expensive. That 

4 would significantly improve the community college effort 

5 and yet not put the burden on the taxpayer. 

6 Can you react to that too? 

7 MR. IZUMI: I think, Senator, I understand, 

8 having been a researcher working with those types of 

9 numbers, what you're saying. 

10 I think the board, in its time since I've been 

11 on the board -- the policy has been not so much to look 

12 at a particular percentage or average, but to see that 

13 if there are increases, that those increases be moderate 

14 and predictable, wherever we're going to go to, because, 

15 as you said, we have the consideration, certainly of the 

16 taxpayer that we have to consider, because they're 

17 subsidizing these fees. 

18 Also, too, the students who do have to pay that 

19 should be able to look at those fees and be able to plan 

20 their financial future so that they know how much to 

21 expect in terms of increased fees that are coming along 

22 the pike. 

23 So I think it's a bit of a balance between if 

24 there are increases, that whatever they are, the road to 

25 them should be moderate and predictable so the students 

28 



taxpayer, or should those fees be significantly raised? 

SENATOR OROPEZA: Easy question. 

MR. HIMELSTEIN: Yeah. Senator, I certainly 
agree and know firsthand that the fees are the lowest in 
the nation, but I think it is true that community 
colleges were established to be affordable and very, 
very accessible by the public. 

I think our policy at the board level has been 
very, very, you know, consistent, that the fees ought to 
be reviewed from time to time, but always keeping in 
mind how accessible higher -- public higher education 
should be to students. 

Having said that, in these times, I think as a 
group we need to be open to variations. And I think, as 
Senator Scott has said, as long as those increases are 
modest, not all at one time, so to speak, maybe a 
phased-in approach, and that the fees actually go back 
into the system for the benefit of the student, all 
dollars in education, I think lots of things have to be 
on the table, including fees. 

SENATOR AANESTAD: Just to go a little further, 
the fees that the student pays in the community college 
system really amount to only about 5 percent of the 
total cost of their education. Why shouldn't California 
be looking to be number 25 in the nation as far as fees? 

27 



1 can best be able to handle them. 

2 SENATOR AANESTAD: Just to press it a little 

3 further, the fact of the matter is the community college 

4 system really is redoing the work, I believe, of the 

5 K through 12 system, especially the 11 and 12 system, 

6 with all the remedial programs that you need. The 

7 product that you're getting in the door probably isn't 

8 up to the standard it was 30 years ago when I went — 

9 35 years ago when I went to community college -- my 

10 goodness, 40 years ago. 

11 The fact of the matter is we're spending 

12 millions, if not hundreds of millions of dollars, on 

13 remediation. When the legislature is looking for money 

14 and education moneys, in my opinion, it's not being well 

15 spent in the K through 12 arena. They're not doing 

16 their job. The community college system is doing a 

17 better job. 

18 Do you think that the legislature should be 

19 looking at K through 12 moneys to go to 14 and 15 

20 moneys? 

21 I know that that's a politically charged 

22 question, but the reality is: There's a finite number 

23 of dollars available for the educational system in this 

24 state, and I think it's the duty of the legislature to 

25 spend those dollars where it's most effective, and, 

29 



of 27 sheets 



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certainly, it looks like you folks are doing a better 
job than K through 12. Why shouldn't we be looking at 
that funding, that source of funding, for you folks? 
Anybody want to touch that? 

Senator Scott? 

MR. IZUMI: Well, what I would say, Senator, 
and certainly I understand -- Doing a lot of K-12 
research myself, I understand your comments about the 
K-12 system. I would simply say that we realize — and 
I think, some of the comments that were made in our 
introduction ~ and we want to translate our ability, I 
think at the community college level, to address the 
basic-skills issue, which is very large for our system. 
We have about -- Depending on how you count, 70 percent 
or more of incoming students to our system need basic 
skills education. 

We have at the state level, through the board 
of governors and the chancellor's office, initiated the 
basic skills initiative, which has laid out best 
practices for our colleges in order to address this 
problem. But as we've mentioned, too, we're trying to 
get this information and this working relationship with 
our K-12 partners so -- to prevent that huge influx of 
students with basic skills coming into the system. And 
an ounce of prevention would be better than a pound of 

30 



1 11 percent — I differ a little with Dr. Aanestad, by 

2 the way, on some of his conclusions about fee levels. I 

3 think when you have an unemployment rate of 11 percent, 

4 it's not the time to be raising fees. It's the time to 

5 bring more people to the community college to educate or 

6 reeducate them. And also the fact that we've got lots 

7 of veterans coming back from the war needing education, 

8 having, perhaps, gone right from high school into the 

9 service. 

10 What do you think the role of the community 

11 college should be, and what is — what are you as a 

12 board member doing to make that happen? 

13 MR. REED: Well, I think we've already 

14 established among our own board members, that we feel 

15 that as the center for this economic recovery, that 

16 we'll be the agency that can provide the training to get 

17 these young people and these adults back in the 

18 workforce and being productive contributors to society. 

19 We think we're the agency that can do that. 

20 We're already working on the veterans issue 

21 that you just spoke to. We formed a committee. We have 

22 an alliance of — I forgot the term, but troops to 

23 college, and we see ourselves playing a major role in 

24 that area. 

25 As students — Because of tuition costs and the 

32 



1 cure, so I think that's the way we've tried to address 

2 this issue that you're bringing up, and that's how -- 

3 SENATOR AANESTAD: Is it working? 

4 MR. IZUMI: Yes, I think it is. Right now, in 

5 fact, for example, if you took just one program that I'm 

6 well aware of, the CalPASS system, which is the 

7 California Partnership for Achievement and Student 

8 Success, they have got now 66 professional learning 

9 counselors with 1200 or so instructors from K-12, 
community college, and other higher-education 
institutions getting together to align curriculum and 
prevent the need for basic skills, and they're using 
data in order to measure the outcome. 

So I think that, you know, that holds — 
programs like that hold a lot of promise to prevent the 
need for basic skills instruction in higher education to 
the extent that we have it now. 

SENATOR AANESTAD: Thank you. Senator Oropeza. 

SENATOR OROPEZA: Thank you. 

A quick question — I don't know if it's quick, 
but a question about the current circumstance — 
economic circumstance and -- that we're in and what role 
community college will play or is playing in that. Some 
of you have spoken a little bit about that. 

Let me say that when we're looking at an 

31 



_l_ 



1 like, when I came to this board just three years ago, we 

2 were looking at declining enrollment. But since the 

3 downturn in the economy, we've actually been 

4 experiencing a tremendous growth in our community 

5 colleges, because our students are looking for job 

6 skills so they can reenter the workforce. 

7 SENATOR OROPEZA: And what are the kinds of 

8 things you think this committee will accomplish, or what 

9 is the goal of the committee that you have formed? 

10 MR. REED: Well, Lance, you're actually on the 

11 committee, so I'll let you address that. 

12 MR. IZUMI: Actually, I just appointed the 

13 chairman, a member, Bobby MacDonald, who is very 

14 interested in veterans issues. I think that what our 

15 committee plans to do is to work with our student 

16 services department unit in order to ensure, as you 

17 mentioned, that the services available for returning 

18 veterans are addressed. 

19 Member MacDonald and myself actually serve on 

20 one of the armed services advisory boards here in 

21 California, and so we are very well aware of the needs 

22 of members of our armed forces and those returning. In 

23 fact, we just had a few months ago, at one of our 

24 regular board meetings, a presentation by returning vets 

25 about their needs and what they would like to see 

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available at the community colleges, which is, again, 
one of the reasons why we formed this committee, to make 
sure those needs are addressed not just from the 
chancellor's office, but from the board. 

So I think we're certainly fully cognizant of 
the importance of addressing this new group of community 
college students. 

SENATOR OROPEZA: Right. Let me ask one more 
question, Mr. Chair, and it has to do with how people 
find out about or how people decide or figure out which 
community college they should go to. 

My experience and my personal anecdotal 
knowledge -- I have a goddaughter who's in the community 
college system and has been for a couple of years — is 
that there really is — well, there has been difficulty 
in determining, you know, what is the best fit for an 
individual who has a career goal, but between community 
colleges. And there's really no place that sort of 
lists the top 100 community colleges, or the top 10 
community colleges in California like we have for other 
higher ed. systems. 

So what are your thoughts about how we make 
that more user friendly for the students and get them 
more targeted — get more targeting in terms of them 
connecting with the appropriate campus or system? 

34 



1 can work with the military on that. 

2 MR. BAUM: I'm glad you brought that up. 

3 There's two points I want to make about that. One is, 

4 one of the things we do with the system is showcase the 

5 programs that are working across the state and share 

6 them. So Solano district actually gets involved with 

7 the de-enlistment — I mean the discharge process and 

8 sets up advising booths so that when veterans are 

9 released, they have access to the program. 

10 The other thing we do is also advocate at the 

11 federal level for more resources to be directed to 

12 serving veterans, and we hope that some of the federal 

13 resources can be devoted, because California and the 

14 California community college system is the largest place 

15 where veterans are going to get an education when they 

16 finish their tours. 

17 SENATOR OROPEZA: Thank you, Mr. Chair. 

18 CHAIRMAN STEINBERG: Very good. 

19 Senator Cedillo or Dutton on the panel? 

20 SENATOR DUTTON: I was actually -- about the 

21 veterans program was what I was interested in. 

22 CHAIRMAN STEINBERG: Very good. 

23 Senator Cedillo. 

24 SENATOR CEDILLO: General question. When we 

25 have a base agreement and challenges in the economy, 

36 



MR. BAUM: Well, obviously, it's a 
communication issue, and we don't — 

That I'm aware of, this is a role that the 
system can play effectively in informing the public 
about where the programs are offered and what — where 
the specialties are stronger in one area or the other. 

What's great about the community college system 
is it reaches every corner of the state so that students 
can have access. But we — I don't know that there's 
exactly the resource that you described, and I think 
it's a — at this time, I'm finding students that are 
going to two or three colleges in one semester to get 
different courses. And so whatever we can do to make it 
easier for them to find the courses and enroll in the 
programs would be important. And I think it's a good 
idea that we -- it's a role specifically that the system 
can play. 

SENATOR OROPEZA: Just a suggestion to think 
about. As you are developing whatever comes out of this 
veterans group, interfacing with the military — 
interfacing with the military to provide information as 
part of the separation process for those who are coming 
back to California, just seems like a real, you know, 
sort of horse-smart kind of thing to do. So you might 
want to look at ways that from a system perspective, you 

35 



1 what can the state do, working with the community 

2 colleges, to facilitate you guys in terms of training 

3 people for sustainable jobs, jobs — I have particular 

4 interest in nursing and the healthcare fields. I have 

5 particular interest in green jobs, high-tech jobs. 

6 Obviously, you covered vets, the tremendous need. 

7 What are the things the state can do, given the 

8 economic crisis and limited resources, that we can do to 

9 enable and encumber you to do your job? 

10 MR. REED: One of the areas from a practical 

11 standpoint, and this is just my personal view, but we 

12 have standards, for instance, where 75 percent of our 

13 instruction has to be full-time instructors versus 

14 25 percent adjunct. 

15 There's specific areas of career tech where I 

16 think that law or that ruling should be relaxed, 

17 especially in the area of nursing, if you will. It's 

18 very difficult to attract a nursing instructor 

19 full-time, firefighting, some specialty areas, and I've 

20 always been an advocate for that. 

21 We should adhere to our standards, but there 

22 are specific areas — For instance, in my area, we 

23 recently enacted a welding program, because a number of 

24 our dairymen were finding it very difficult to attract 

25 welders. So we have a certificated program now for 

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welding, and it would be very difficult to have a 
full-time instructor as a welding instructor, if you 
will, whereas if they teach a class or two, it fits into 
their curriculum better. 

So there are areas like that where I think the 
state, on some of the legislative matters, working with 
the Senate, faculty, and the like, could relax some of 
the standards so we could meet better the needs of the 
students. 

MR. BAUM: I would just say, and this is a 
common theme you probably have heard, but the more that 
the legislature can support our efforts to fund the 
programs and allow more access to students — As you 
know, we're the lowest cost per student segment of 
public higher education in the state. And as it stands, 
even Pasadena City College where I serve on the board, 
we're educating 1800 unfunded students over the cap that 
we receive from the state. So we're trying to stretch 
every dollar. 

And what I'm worried about is that with the 
further cuts, we're going to not be able to serve the 
students at a time when our doors are being beaten down 
by people who have lost their jobs and are looking for 
retraining. 

So when there's shrinking investment, put it 

38 



1 ability to do you're job? I know that runs concurrent 

2 with — We all share the same concern with Mr. Aanestad. 

3 He talked about remedial education, a change in 

4 demographics, changing demographics, and changing in 

5 terms of the language skills of those who participate in 

6 community college. So what's been those impacts as 

7 those two changes have occurred concurrently? 

8 MR. BAUM: Senator, I think I've observed over 

9 my time, my 20 years in education, and I think we agree 

10 that our system K through 14 is dealing with so many 

11 more issues than we have in the past, such as English 

12 language learners, a dramatic increase in special 

13 education, special-needs students. Any number of social 

14 things in our society that, quite frankly, has required 

15 more dollars to help solve. There are — Having been in 

16 a policy position, there are arguments on both sides of 

17 that, what we should and shouldn't be doing. 

18 I think the fact is that schools are now 

19 dealing with much more than they ever have, and I think 

20 it's had a dramatic effect on the K-12 system for sure, 

21 and I know the community college system as well. 

22 SENATOR CEDILLO: Talk about that with - Then 

23 what does less funding do? How does that exacerbate? 

24 Your challenges are greater, and now your resources are 

25 less. 

40 



where the dollar is going to go the farthest, and I 
would like to advocate community colleges as the place 
where we could actually help people more quickly and 
more -- 

CHAIRMAN STEINBERG: Thank you. 

SENATOR CEDILLO: Back when Senator Aanestad 
was at community college, he talked about -- Back when 
he was at community college, we were the number one 
funded -- 

CHAIRMAN STEINBERG: You mean Scott? 

SENATOR CEDILLO: Senator Aanestad was 
waxing — 

CHAIRMAN STEINBERG: Oh, I'm sorry. 

SENATOR AANESTAD: I was surprised at how long 
ago it was. 

CHAIRMAN STEINBERG: Sorry about that. 

SENATOR CEDILLO: You're the one who wasn't 
here. 

Back when my colleague, Senator Aanestad, was 
in community college, 25, 30, 35, 40 years ago, we were 
the number one funded public education in the nation. 
We're now at -- I don't know where we are -- 38, 40, 
45,. for K through 14. What do you think has been the 
impact on the system in that change in funding over the 
years? What's been the impact on the economy and your 

39 



1 MR. IZUMI: That's true. I think, just to take 

2 an example, I know -- and we talk about this quite 

3 often, actually, at our regular board meetings at the 

4 chancellor's office. The people who have to staff up 

5 the chancellor's office in order to do all the various 

6 things that need to be done, for example, the new 

7 accountability requirement that community colleges that 

8 report those sorts of things that need to be done have 

9 to be done with a much smaller staff than — For 

10 example, just a few years ago, I believe we've gone from 

11 more than 200 staff people at the chancellor's office to 

12 about 160 now. 

13 And in this era of accountability, having to do 

14 more things and make sure those dollars are stretched 

15 and used as wisely as possible, which I know the 

16 chancellor's office does, but it does make things 

17 difficult with the increased responsibilities. 

18 With regard to, for example -- with regard to 

19 the change in demographics that my colleague 

20 Scott Himelstein mentioned, I think we realize if we're 

21 going to continue to be a gateway institution for people 

22 in terms of -- be a higher education then into the 

23 workplace, we have to make sure that people understand 

24 that they have that opportunity within the community 

25 colleges, which is why, for example, we have a "/ Can 

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Afford College" media campaign, which is a — a large 
part of that is directed to Spanish language 
advertisement in order to make sure that all segments of 
California understand that they do have that opportunity 
to attend community college here, and it remains the 
gateway for everyone. 

SENATOR CEDILLO: Finally, because I can stay 
here all day with this, I applaud you and I will support 
all of you. You're more than qualified. I think you're 
understating -- you know, if you were the chamber, you 
would be telling us what a disaster this is, given that 
you've got greater responsibility and greater challenges 
and less money, how you can do your job and what the 
consequences are in the community. I know you need a 
bigger voice. 

But nonetheless, today is a rare day. We're 
not just dealing with people here that are on parole 
appointments, but we actually have community college, 
CSU, and regents that we're all going to appoint today. 
What is it that we can do, as the legislature, to have 
greater interface between those three institutions? 

Frequently, the criticism is we have three 
silos of education. The master plan was one that 
community colleges would be the gateway, on one hand, 
that will help transition and help to change the 

42 



1 that more integration is better. 

2 SENATOR CEDILLO: Yes. 

3 MR. REED: For a number of years, in the area 

4 that I live, our students didn't have access to a 

5 four-year institution, so our community college really 

6 was a higher form of education for them. And yet 

7 through distance learning and through the cooperation of 

8 the CSU system, we're seeing now more like, for 

9 instance, California State University of Fresno has been 

10 offering programs in Visalia at the local community 

11 college campus in an effort to cooperate and give our 

12 students the opportunity, that don't have transportation 

13 or the means to attend a four-year institution. They 

14 have access, and that means a lot. 

15 And this seamless process that we talk about is 

16 that now they have the opportunity to see if they go to 

17 a community college in a rural area, they still have the 

18 opportunity to graduate from a four-year institution. 

19 And that's been done as a result of the kind of 

20 cooperation that you're speaking to today. 

21 SENATOR CEDILLO: And U.C. Merced will enhance 

22 that? 

23 MR. REED: Oh, absolutely. Absolutely. That's 

24 been a great boon to our valley, even though it's not in 

25 Tulare County. It should have been in Tulare County. 

44 



economy. Then we have the CSU and UCs. What can we 
to help — could we, the legislature, do to help to 
bring more interface, more seamless transition, between 
those three institutions, yours, the CSU, and the UCs? 

MR. BAUM: First off, just encouraging it. I 
think with the new leadership in our segment and the 
U.C. — I know that Chancellor Scott, Chancellor Reed, 
and Chancellor Yudof interact very carefully. And we as 
a board take that as an important role, that we 
shouldn't be operating independently from all the other 
systems of higher education. So it's a communications 
and encouraging role, and then calling on us to make 
sure that we're in agreement. 

And also, in some very pragmatic ways, just 
making sure that we, as a system, are aligning our 
curriculum for seamless transfer and articulation with 
the other systems, and holding us accountable for that 
so that we don't have some of the issues that a few 
Members have brought up to us where students at 
individual community colleges find that their coursework 
doesn't transfer seamlessly to Cal State or U.C. We 
want to take that on as well, mindful of the local 
control issue that we have with the individual 
districts. But that type of -- Just reminding us and 
encouraging us. I think in this situation, we all see 

43 



do 



1 Maybe you can ask the chancellor why that didn't happen. 

2 SENATOR CEDILLO: I think we needed to - 

3 (Laughter.) 

4 CHAIRMAN STEINBERG: Thank you, Senator. 

5 Witnesses in support? Witnesses in opposition? 

6 Okay. Well, I think I want to thank the 

7 Members, first of all, for initiating, I think, a very 

8 important and thorough discussion. And I suppose I 

9 just -- I want to make two comments in conclusion -- 

10 well, three. 

11 First of all, I'm very pleased to support all 

12 of you. I think you all are well-qualified, and you 

13 obviously bring a dedication to trying to improve the 

14 system and create more opportunity for kids. 

15 Couple things: The community college system 

16 has the only residential program of its kind for Autism 

17 Spectrum Disorder at Taft, near Bakersfield, and the 

18 purpose of the program is to help those living with 

19 developmental disabilities gain the employment skills to 

20 be contributing taxpayers to the best of their 

21 abilities. And that, obviously, can save the state a 

22 lot of money, in addition to providing opportunity for 

23 people who deserve opportunity. And I would just ask 

24 all of you, as you go forward here with your terms, 

25 should you be confirmed, to look at replicating that, 

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1 


because, you know, there's a big waiting list. 


1 


Okay. Thank you all very much. 


2 


The Department of Developmental Services and 


2 


MR. IZUMI: Thank you very much. 


3 


the EDD system is likely to take a hit in the budget 


3 


MR. HIMELSTEIN: Thank you. 


4 


too, so what can we be doing to sort of, again, 


4 


MR. BAUM: Thank you. 


5 


integrate systems so it would be possible to make sure 


5 


MR. REED: Thank you. 


6 


people have every opportunity to be contributing. 


6 


CHAIRMAN STEINBERG: Appreciate it. 


7 


Final comment, I want to pick up on Senator 


7 


Let's take a short break. 


8 


Cedillo's comment a moment ago. Once you are confirmed, 


8 


(Recess taken.) 


9 


you have six-year terms, and you're not at-will. Nobody 


9 


CHAIRMAN STEINBERG: Let us come back to order 


10 


can remove you for saying something that offends 


10 


here. 


11 


somebody else, and I urge you to take advantage of that 


11 


Let me ask William Hauck and Henry Mendoza, who 


12 


freedom and to be public advocates for this system. And 


12 


are up for confirmation as trustees of the California 


13 


I know you are, but to even -- to think beyond, you 


13 


State University system. 


14 


know, the board meetings and what you do, because your 


14 


Welcome to both of you. 


15 


role is largely advisory. I mean, this is a system that 


15 


Mr. Mendoza, is there anyone you want to 


16 


will -- Where the governor sits is largely advisory. So 


16 


introduce? 


17 


whether it's op eds, TV appearances, radio appearances, 


17 


MR. MENDOZA: Absolutely. 


18 


where you can talk about -- and I'm not getting 


18 


CHAIRMAN STEINBERG: Since there's two mics and 


19 


ideological here, but you can talk about the impact of 


19 


there's two of you, we don't have to shift the mics 


20 


whatever decisions that we may be called upon to make 


20 


around. Very good. 


21 


here that impact community colleges, you should take 


21 


MR. MENDOZA: Absolutely. I'd like to 


22 


advantage of that opportunity, because we can't be the 


22 


introduce the CEO of my family, my wife, Rosa, who gave 


23 


only ones, and some would argue that we may not be the 


23 


up her day today of working with my two lovely kids, 


24 


most effective messengers at this point in time. So I 


24 


Sophia and Isabella. 


25 


want to urge you to be assertive and public about how 


25 


CHAIRMAN STEINBERG: Welcome to you, and thank 




46 




48 


1 


you feel about community colleges. 


1 


you for coming. 


2 


I'll take a motion. 


2 


MR. MENDOZA: And a good friend of mine, Joel 


3 


SENATOR OROPEZA: Moved. 


3 


Ayala, from the California Hispanic Chambers of 


4 


CHAIRMAN STEINBERG: Moved by Senator Oropeza 


4 


Commerce. 


5 


on all four nominees. 


5 


CHAIRMAN STEINBERG: Welcome to you as well. 


6 


Please call the roll. 


6 


Mr. Hauck, I know you have great family and a 


7 


MS. BROWN: Senator Cedillo. 


7 


lot of people, but they're not here, so, you know, I'll 


8 


SENATOR CEDILLO: Aye. 


8 


introduce you. You're my constituent. 


9 


MS. BROWN: Cedillo aye. 


9 


MR. HAUCK: Thank you, Senator. 


10 


Dutton. 


10 


CHAIRMAN STEINBERG: Long-time - 


11 


Oropeza. 


11 


MS. SABELHAUS: Great intro. 


12 


SENATOR OROPEZA: Aye. 


12 


CHAIRMAN STEINBERG: Long-time public servant 


13 


MS. BROWN: Oropeza aye. 


13 


and good man. All right. 


14 


Aanestad. 


14 


Opening statements. I'm specifically 


15 


SENATOR AANESTAD: Aye. 


15 


interested -- Just so you know where I'm going to hone 


16 


MS. BROWN: Aanestad aye. 


16 


in in terms of my questioning, is, again, the 


17 


Steinberg. 


17 


relationship between the high-school-dropout rate, the 


18 


CHAIRMAN STEINBERG: Aye. 


18 


California State University system, and specifically 


19 


MS. BROWN: Steinberg aye. 


19 


explore why it is the CSU system replicates the U.C.'s 


20 


CHAIRMAN STEINBERG: Your nominations will move 


20 


A to G system. I want to talk a little bit about that 


21 


to -- oh, we're going to keep the roll open for 


21 


today, so go ahead. Your opening comments. 


22 


Senator Dutton, of course, but your nomination already 


22 


MR. MENDOZA: I'll go. 


23 


has more than the requisite number of votes, will move 


23 


My name is Henry Mendoza. I'm a native 


24 


to the floor of the Senate, and we'll take it up before 


24 


Californian. My father was born here in California many 


25 


Judge Sotomayor is taken up by the U.S. Senate. 


25 


years ago. The only thing, he was repatriated with his 




47 




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= 



family back to Mexico during the depression and came 
back and was kind of robbed of the ability to — He 
didn't really get assimilated when he came back. He 
didn't know English, he didn't know Spanish, but it 
didn't deter him. He followed the crops and eventually 
got a factory job, and he pushed us to go to school. 

I'm from a family of five children. My brother 
is a dentist here locally — in the San Francisco area 
and also teaches at U.C. San Francisco. So he's here 
taking advantage of the system that we have here. 

One of the reasons that I think this is a 
fantastic opportunity for me, to be a trustee, is that 
it's something that I have never thought of getting in. 
I always tell people that the only time I saw the inside 
of an office was to clean it when we were kids. 

So never even once thought we were going to 
make it to college. But some teachers, when I was 
young, when I was a kid, were pushing us to go to 
school, go to school, go to school, which I didn't 
understand why we were going to go to school, but I kept 
pushing forward. And if it wasn't for them, I wouldn't 
be where I'm at, and I wouldn't be taking advantage of 
the prosperity of this state. 

Since I've been helped, it's been one of my 
lifetime things just to be an advocate for kids and 

50 



1 CHAIRMAN STEINBERG: Very good. Thank you. 

2 Mr. Hauck. 

3 MR. HAUCK: Mr. Chair and Members, Bill Hauck. 

4 I live in Sacramento. I am a product also of the CSU 

5 system, and I'm very dedicated to it because I feel very 

6 strongly that to the extent that I've been able to 

7 achieve anything in my career, it started with my 

8 ability to work my way through San Jose State. And I 

9 think I'll leave it at that. 

10 And perhaps I can begin by addressing your 

11 question, Senator Steinberg. 

12 CHAIRMAN STEINBERG: Okay. 

13 MR. HAUCK: First, I'm not familiar with the 

14 intricate process that occurs between U.C. and CSU to 

15 establish these A through G requirements and all the 

16 machinations of faculty deciding what courses are 

17 acceptable or not acceptable at U.C, for U.C. and CSU 

18 admission. But the way I would address your question is 

19 to say since the CSU system trains more than 60 percent 

20 of the teachers of California, and it appears we are not 

21 getting the kind of results from our K-12 system that we 

22 need, we have a lot of work to do. 

23 We have great responsibility for the training 

24 of these teachers, and if we are not succeeding in that, 

25 as evidenced by many of the difficulties we have in the 

52 



business, et cetera, in the state of California. I 
started getting involved over 20 years ago, and I kept 
being involved. I think this is a pinnacle. 

I am a product of the Cal State system. I went 
to Cal State Fullerton, and I've been very proud to say 
that I've gone to the Cal State system and attended one 
of the colleges, universities. 

So, again, I'm very, very honored to be a 
trustee. If my parents were alive, they would probably 
be beaming right now. But, again, I just think this is 
great for me and for my kids and for the community, 
because I've been an advocate to get the kids to go to 
school one way or the other. 

And, Senator, you talk about the dropout rate. 
I know very, very, very much so, because in our area — 
it's over 50 percent in the local area of Santa Ana, and 
to get these kids to do something, whether it be taking 
one route or the other, I think is huge, because as the 
demographics change, you know, there has to be a 
solution for it. Because if not, it's going to be, I 
think, a burden on the state if the kids don't get to 
school and get educated one way or the other. 

So, again, if I can either as a role model or 
to help shape the system and what happens there, I think 
it's a great opportunity. 

51 



1 9500 or so schools that exist in this state, we need to 

2 be looking at how teachers are being trained in the CSU, 

3 and we are doing that. 

4 Charlie Reed, as the chancellor of this system, 

5 is very dedicated to that and very impatient with the 

6 schools of education to go out there and find out what 

7 the best practices are in schools that are succeeding. 

8 And there are many schools that are succeeding. We've 

9 identified more than 900 that are succeeding, and over 

10 200 of them are high poverty and high minority districts 

11 and schools. 

12 We know one thing: If we have competent and 

13 good teachers in the classroom, they can motivate kids, 

14 and they can motivate them to stay in school. And more 

15 than anything, we need to accomplish that today, because 

16 more than two-thirds of the kids in K-12 today are 

17 minority young people, and they are the future workforce 

18 of this state, and they are the future of the state. 

19 So we have taken a number of steps to revamp 

20 the education department's curriculum, and, as they say 

21 from the top, there's lots of dedication to this task, 

22 lots of partnerships with K-12. And I think we're 

23 beginning to see the result of that, but we certainly 

24 have quite a ways to go. 

25 CHAIRMAN STEINBERG: Thank you. 

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1 Let me open it up here just a little bit and 

2 focus the discussion. 

3 The CSU — I want to welcome Chancellor Reed, 

4 by the way, who is here. Welcome to you. Thank you for 

5 being here today. 

6 The CSU has made a policy decision that it is 

7 going to follow the University of California in 

8 determining what is considered in high school an A to G 

9 course sufficient to qualify you for admission. And one 

10 of the discussions that we're having currently with the 

11 University of California is how the university and its 

12 system begins looking at rigorous courses in math and 

13 science and in English, that are applied to particular 

14 career paths and professions. 

15 In other words, in this building, in my view, 

16 there's sort of an artificial debate between the 

17 high-standards advocates and the career- tech-ed. 

18 advocates, and certainly we cannot track kids. We can't 

19 do that. The only answer -- because too many kids of 

20 color get tracked. 

21 But the answer to the problem, in my view, is 

22 to begin working earnestly to develop applied 

23 curriculum, rigorous curriculum, for all the various 

24 career pathways where the high-wage jobs are in the 

25 future. Why can't algebra be taught in ten different 

54 



1 not acceptable. 

2 MR. MENDOZA: That is actually what I thought 

3 you meant because, actually, personally, that happened 

4 to myself and my brother. So, you know, early on, 

5 people were suggesting we take a certain path, and if we 

6 had followed that path, we probably would not have been 

7 where we're at. So I think it is something that can be 

8 a danger. 

9 But at the same time that I say that, you 

10 can't — I'm not the type of person that would like to 

11 ignore another solution, because there obviously is 

12 something wrong. If you see the dropout rate out 

13 there — 50, 40 percent, myself as Hispanic, you know, 

14 10 percent of our kids going to school — it's 

15 ridiculous. Well, then, they've got to do something 

16 else besides just dropping out of school. 

17 So I think, you know, coming up with an idea 

18 where you can have some type of safeguards against 

19 tracking those kids, because it happens, so.... 

20 CHAIRMAN STEINBERG: There is a safeguard. 

21 It's called rigor. It's called making sure all the 

22 courses are of strong academic content so that the kids 

23 of color aren't shoved into the easier courses that may 

24 be technical. The technical courses have to be 

25 rigorous. And where is the work? Where is the work 

56 



1 ways, or geometry be taught in ten different ways as 

2 applied to a construction pathway, a biotech pathway? 

3 Name your ten leading directions of our economy. And 

4 what bothers me a little bit — more than a little 

5 bit — is that the CSU is replicating the U.C. without 

6 thinking themselves how might we bring our own 

7 independent thinking and creativity and energy into 

8 not lowering standards, but looking at how the CSU can 

9 be a place like the community colleges, but even more 

10 so, that focuses on rigor but pathways at the same 

11 time. 

12 And so I'd like to hear your thoughts on that, 

13 and if it's something that you hadn't really thought of 

14 before or didn't know that CSU follows the U.C. when it 

15 comes to A to G, it's certainly something I would like 

16 you to take away from this hearing and really look into, 

17 because I think this is the core of economic development 

18 here. 

19 MR. MENDOZA: I'm fairly new. I've only been 

20 to three meetings this last year. I think it's 

21 something to think about. I'm not sure I understand, 

22 Senator, when you said people of color are tracked -- 

23 CHAIRMAN STEINBERG: I'm saying that's a 

24 danger. When you have multiple pathways, that poor kids 

25 and kids of color are going to get tracked, and that's 

55 



1 being done? And shouldn't there be more work being done 

2 at the CSU system to integrate rigorous curriculum with 

3 pathways? 

4 MR. HAUCK: I think that's correct. I think 

5 we're beginning to do that, but -- We get your point. 

6 What you say is reasonable, and we will take that -- we 

7 will take your admonitions and follow through on this. 

8 CHAIRMAN STEINBERG: Thank you. 

9 MR. HAUCK: I'm not a technical expert in this 

10 area. 

11 SENATOR OROPEZA: Can I chime in? 

12 CHAIRMAN STEINBERG: Yes, chime in. It's a 

13 very important discussion. 

14 SENATOR OROPEZA: This is a very important 

15 issue, and looking at the demographic profile of our 

16 state and where it is heading, there is a danger of this 

17 tracking thing becoming again as it was when I was in 

18 school. It seemed to have gotten a little better for a 

19 while, and then it kind of reverted. 

20 Let me say that I think that the -- because the 

21 CSU is the institution of higher education that educates 

22 most of our teachers, it is the prime place to do this 

23 kind of work, because as part of -- part of the, you 

24 know, credentialing — part of the teaching of the 

25 teachers ought to be research work and development of 

57 



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16 of 27 sh 



1 


new curriculum that responds to this. 


1 


SENATOR OROPEZA: I do. 


2 


So this is something that you as trustees -- 


2 


CHAIRMAN STEINBERG: Senator Oropeza. 


3 


and believe me, I know, because I was one. I was a 


3 


SENATOR OROPEZA: What do you think the role of 


4 


student trustee a long time ago. I know that you have 


4 


a board member is in regard to a conversation like the 


5 


the ability to make a course correction on this. There 


5 


one that we're having now? And you mentioned maybe more 


6 


is no reason why it shouldn't be being done. So I hope 


6 


should be happening. I mean, what is the role of a 


7 


that you will heed the chairman's words on this, because 


7 


board member or the board as a whole? 


8 


it really is about what the future of our state is. 


8 


MR. HAUCK: Well, the first thing I would do 


9 


It's that serious. And nobody's better in a position to 


9 


would be to turn to Charlie Reed, who is the CEO of the 





do it than the community college -- I mean, excuse me, 


10 


system, and say, "What are we presently doing?" and ask 


1 


the CSU. 


11 


him for a report on that. And then we would go from 


2 


CHAIRMAN STEINBERG: If I may before you 


12 


there. 


3 


answer, and I'll get off my bully-pulpit high horse in 


13 


If, in our judgment, we're not doing enough, we 


4 


just a moment here, all right? Hey, these — You're 


14 


need to do more, we're not doing it well enough, then we 


5 


both good guys. I'm going to recommend both of you for 


15 


would direct him to make that happen. That's the role 


6 


confirmation. But this is an opportunity to have a real 


16 


of the board. Not to actually do it, but to -- 


7 


discussion about what is important, and so we want to do 


17 


SENATOR OROPEZA: Certainly support the 


8 


that. 


18 


chancellor. 


9 


Senator Oropeza I think kind of hit the key to 


19 


MR. HAUCK: Support and make it happen, yes. 





this, and that is looking at — the CSU is the single 


20 


SENATOR OROPEZA: But also to make it happen? 


1 


biggest producer of teachers for our K-12 system -- 


21 


MR. HAUCK: Right. 


2 


MR. HAUCK: Right. 


22 


SENATOR OROPEZA: And sometimes maybe push back 


3 


CHAIRMAN STEINBERG: -- and what isn't 


23 


a little on the chancellor, now and then, in a polite 


4 


happening -- what isn't happening is that the teaching 


24 


way, but nonetheless.... 


5 


program, the credentialing programs, are not providing 


25 


CHAIRMAN STEINBERG: Charlie's used to that. 




58 




60 


1 


the training, by and large, to teachers to be able to 


1 


MR. HAUCK: Yes, he is. 


2 


deliver hands-on, applied, rigorous curriculum. 


2 


SENATOR OROPEZA: Pardon me? 


3 


So maybe the place to start and the biggest 


3 


CHAIRMAN STEINBERG: He's used to that. 


4 


place where the CSU can make such a contribution is to 


4 


SENATOR OROPEZA: Let me ask a couple quick 


5 


look at the teacher training program to make sure that 


5 


other questions. One is about one of my chief interests 


6 


we're producing the next cadre of teachers with not only 


6 


legislatively up here, and it's an abiding issue for me 


7 


the academic underpinnings to be able to teach the 


7 


to keep an eye on both -- well, all the systems, and 


8 


academic courses, but to be able to do so, again, in ten 


8 


that is Title IX. And CSU is not doing so well in this 


9 


different applied ways, because then you've got — it's 


9 


regard, particularly Fresno. But we got a problem. We 





like — You know, it's like a quarterback who can both 


10 


have got a serious problem. 


1 


pass and run. Much more effective, much more dangerous 


11 


The CSU system paid out over $16 million in 


2 


than a quarterback who can just pass. 


12 


lawsuits to five former employees, all women, at Fresno, 


3 


I think - 


13 


and that's been since October of 2007. The sixth woman 


4 


SENATOR OROPEZA: And then throw in the 


14 


filed a lawsuit in February against 


5 


dynamic -- the other piece, which is in the 


15 


CSU Fresno alleging gender discrimination and Title IX. 


6 


multicultural education -- 


16 


What is the role of the board in assuring that 


7 


CHAIRMAN STEINBERG: In a multicultural -- 


17 


Title IX is adhered to, that we avoid these lawsuits 


8 


SENATOR OROPEZA: In a multicultural student 


18 


where there's money that can be much better spent in 


9 


environment, which is the other thing — 


19 


another place than lawsuits? 





MR. HAUCK: We certainly have that. 


20 


So tell me about what you think the board 


1 


SENATOR OROPEZA: - teachers need to be 


21 


should be doing and is doing, since this is an existing 


2 


teaching — need to be learning. 


22 


problem. 


3 


MR. HAUCK: I think some of this is happening, 


23 


MR. MENDOZA: I know that we're monitoring it 


4 


Senator, but perhaps not enough. Probably not enough. 


24 


very closely. It's an issue that's come up since I've 


5 


CHAIRMAN STEINBERG: Okay. Other Members? 


25 


been there. I know there's been reports done to the 




59 




61 



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1 board, and they're reporting to Charlie, the chancellor, 

2 also. 

3 So I think it's something we're taking very, 

4 very seriously. It's something that, number one, it's 

5 wasting money for all of us, that we're all trying to 

6 find. And, two, I think it's something that's not 

7 acceptable, and it needs to be monitored and fixed, if 

8 that's what needs to be done, or make sure that it 

9 doesn't happen again. 

10 We're making sure that — We're getting reports 

11 on a pretty regular basis, you know, from the chancellor 

12 and the presidents on that monitoring. I know at most 

13 of the colleges, we're about 90 percent there. It's not 

14 always that easy, as far as I understand, to be in 

15 compliance, because of scholarships, et cetera, NCAA, 

16 et cetera. 

17 SENATOR OROPEZA: Trust me. If you have sat 

18 through the hearings that I have sat through and heard 

19 directly from the mouths of the individuals involved, 

20 you would, perhaps, see it a little differently. 

21 Mr. Hauck, you've been around a while. 

22 MR. HAUCK: Yes. 

23 SENATOR OROPEZA: So for you, there ought to be 

24 some accountability on this issue as a board member, as 

25 an individual board member and as a member of the 

62 



1 of all presidents. 

2 So with respect to this latest allegation, it's 

3 so new in the process that we don't yet know what the 

4 fact situation actually is. There have been allegations 

5 made. We don't know whether they are legitimate or not, 

6 but I can assure you, Senator, that we are going to be 

7 asking our general counsel for information about that as 

8 we proceed. 

9 SENATOR OROPEZA: Good, good. 

10 MR. HAUCK: I guess, secondly, I would say we 

11 have instituted training programs at all of our 

12 universities with regard to the treatment of all 

13 personnel with regard to compliance with Title IX. And 

14 it's my hope, and, I think, my belief that we will not 

15 see these kinds of problems in as -- in as much as we've 

16 seen them and in as great a quantity as we've seen them 

17 in the past. 

18 In the CSU system, there are 47,000 employees. 

19 Most of the lawsuits that are initiated are 

20 employer-employee-relations lawsuits. Again, through 

21 training programs, we have pushed everyone in order to 

22 reduce the number of lawsuits. And, actually, that's 

23 happened. We have significantly reduced the number of 

24 employee-employer-relations lawsuits that the system 

25 deals with. Will we ever get it to zero? Probably not 

64 



collective board. So Mr. Mendoza is a new member. He's 
been there a few months. He understands there's a 
problem. He believes he's part of the group that is 
going to make sure it doesn't happen again. 

Talk to me about how it has happened multiple 
times on your watch. Talk to me about that and what the 
board does or doesn't do about it. 

MR. HAUCK: Okay. 

SENATOR OROPEZA: I know that's an assertive 
question. 

MR. HAUCK: Right. 

SENATOR OROPEZA: But I feel that it's 
appropriately so. 

MR. HAUCK: It's clearly our responsibility to 
be sure that we are compliant with Title IX. 
Specifically, in the Fresno State situation, mistakes 
were made. There's no question about that. And the 
mistakes that were made definitely raised a level of 
sensitivity and visibility to the issue on our board. 

We have a new athletic director there. 
Actually, he's not new now. He's been there two years. 
I think the previous athletic director made some very 
bad mistakes, and we've acknowledged that those mistakes 
were made, and we've held the president there 
accountable in the course of the evaluations that we do 

63 



1 with 47,000 people. 

2 But I can tell you sincerely that this is a 

3 matter that is of tremendous concern to us, and, 

4 particularly, gender inequities are just not acceptable. 

5 That's all. They're just flat not acceptable. And when 

6 we see them, we are going to hold people accountable. 

7 And that's the role, I believe, of the board. 

8 SENATOR OROPEZA: I think that's a great 

9 answer, and I appreciate it. And I appreciate both of 

10 your commitments to follow through on this issue and a 

11 commitment to accountability, which is so critical, 

12 because my experience with the Fresno situation is that 

13 it goes pretty high, the need for some adjustment goes 

14 very high. 

15 You mentioned that in the evaluations of the 

16 president, that was discussed and handled. 

17 MR. HAUCK: It was more than discussed. 

18 SENATOR OROPEZA: Okay. Dealt with. I won't 

19 ask anything beyond that, but I think that that's very 

20 appropriate, and I hope that that level of concern 

21 continues. And I feel reassured -- 

22 MR. HAUCK: It will continue. 

23 SENATOR OROPEZA: -- hearing your response. 

24 Finally, let me ask one more question, and that 

25 relates to executive compensation, and what your beliefs 

65 



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and attitudes are in terms of the decisions that have 
been made over the last period of time where there have 
been an expansion of full-time management positions in 
the same period of time where there was — let's see. 

There were 100 full-time management positions 
between fall of '07 and fall of '08 that were added, and 
the — while that — during that same time, faculty was 
reduced by 184 full-time positions. 

The -- There were also raises that were given 
to management employees, 24 percent systemwide. And I 
hate to say, my alma mater, it was 86 percent. And at 
CSU Sacramento, it was 87 percent. 

And so what is your response to the board's 
policy on executive and management compensation? 

MR. HAUCK: Do you want me to start? 

SENATOR OROPEZA: Period. 

MR. MENDOZA: As far as -- Again, since I've 
been -- I am — I have limited time there, but I have 
not seen any raises given. I know we've hired a new 
vice chancellor. And for those of you that don't know, 
I was there in '07 for a couple meetings, and then 
because of some technical -- technicalities, I was off 
for a year. And I know at that point in time there were 
some adjustments made. 

At that point in time, I don't think we were in 

66 



1 SENATOR OROPEZA: I think that would be great. 

2 I would love to hear some response. 

3 MR. HAUCK: I would say just generally, that in 

4 terms of management-level expense, between 2000-2001, 

5 the percentage of management expense at 15.2 has been 

6 reduced in '08-'09 to 12.7 overall in the system. The 

7 chancellor has reduced the number of employees in the 

8 chancellor's office. 

9 I think, as an example, in our system with 

10 47,000 employees, there are 102 vice presidents. It 

11 doesn't strike me that -- 100 vice presidents against 

12 47,000 employees is not an outrageous number as far as 

13 percentage of total employees. And, of course, all of 

14 these folks are crucial to the operations of each of 

15 these universities. 

16 Our board, I believe, is very sensitive about 

17 executive compensation. At the same time, we feel 

18 strongly that we've got to try to remain reasonably 

19 competitive in the market when we are recruiting for 

20 both presidents, chancellors, and vice presidents. 

21 And I can tell you that recently, for example, 

22 we were recruiting for a new president at San Jose 

23 State. Fortunately, we got lucky and were able to hire 

24 someone from Texas who was leaving there for reasons I 

25 won't go into, but he took a cut in pay in order to come 

68 



the same place we are now, but the discussion that came 
about was the position of the Cal State system and the 
executives there. Where we are at, we ranked really, 
really low as far as the compensation. That's the main 
thing -- the study that I saw. But, again, at this 
point in time, I don't think it's the time to be giving 
raises. It doesn't look good, it doesn't sound good, 
and it doesn't feel right either, and it has not been, 
as far as I know. 

I know that there were some findings in the 
prior audit reports, and I know that we've made 
everybody accountable. There's been reports given to 
the trustees, and we're making sure that we're staying 
on top of that. But I don't know of any raises that 
have been given since I've been on there. 

MR. HAUCK: I don't think in the last year - 
there haven't been -- 

If there have been any raises, there have 
generally been adjustments when people changed 
positions, that they were moved into another position, 
or, in one or two cases, there were new hires, and they 
were compensated there. 

Just in -- Senator, I can't respond to those 
specific percentages that you cited. We can follow up 
with you on that. 

67 



1 to San Jose State and live in an area that was much more 

2 expensive. 

3 We are going to face this problem in the next 

4 three, four, five years, because we have a number of 

5 presidents that are going to retire. If we don't have 

6 competent people running these -- If we could have 

7 King Alexanders on every one of our campuses, that would 

8 be great. Our problem is going to be hanging on to 

9 King Alexander, because he's becoming a national star, 

10 frankly, and has already been approached and recruited, 

11 and, fortunately, decided to stay with Long Beach State. 

12 So we are very mindful of the environment that 

13 we are in. At the same time -- and we're not going to 

14 grant outrageous raises. We don't have outrageous 

15 benefit packages. But we also feel like you've made it 

16 our responsibility to make sure these universities are 

17 well run, and if we don't do that, then you'll be after 

18 us for that. 

19 SENATOR OROPEZA: Sure. I'm not 

20 actually referring to the presidents of the campus. I'm 

21 really talking about management, you know, broader than 

22 just the presidents. And I appreciate your response. 

23 MR. HAUCK: Okay. 

24 SENATOR OROPEZA: Sorry. I got one more 

25 little.... 

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1 


CHAIRMAN STEINBERG: One more. 


1 


CHAIRMAN STEINBERG: Say that again. 


2 


SENATOR OROPEZA: Did you know — Did you know 


2 


SENATOR CEDILLO: Are they tied any more than, 


3 


that you all hire contract lobbyists along with your 


3 


say, law enforcement, CHP? 


4 


full-time governmental affairs lobbyists, with taxpayer 


4 


SENATOR AANESTAD: Firefighters. 


5 


money, to kill bills? Did you know that? 


5 


SENATOR CEDILLO: Firefighters. 


6 


MR. HAUCK: Yes, I was aware of that. 


6 


They have independent lobbyists. Are they tied 


7 


SENATOR OROPEZA: You knew that. What do you 


7 


more than education in general? The LAUSD has a pretty 


8 


think about it? 


8 


hefty bill for lobbyists, independent, private-sector 


9 


SENATOR AANESTAD: Did they kill the bill? 


9 


lobbyists. 


10 


(Laughter.) 


10 


CHAIRMAN STEINBERG: I love democracy. 


11 


SENATOR OROPEZA: I don't know. I'm not sure. 


11 


SENATOR OROPEZA: All these things are a 


12 


But I think it's an interesting sort of relationship 


12 


puzzle. After I found that out, I wanted to raise it 


13 


there, you know. 


13 


here. 


14 


MR. HAUCK: I don't know what the source of 


14 


CHAIRMAN STEINBERG: I'm glad you raised it. 


15 


funding is. I'll check that with the chancellor. 


15 


I think you should get back to us. 


16 


SENATOR OROPEZA: I think it was foundation 


16 


MR. HAUCK: All right. 


17 


money. But nonetheless, I'm talking about the 


17 


SENATOR CEDILLO: I think the question the 


18 


institution and the philosophy behind hiring external 


18 


Senator was raising is: What's the distinction? Is 


19 


people, you know, hired guns -- if I told you the names, 


19 


there some closeness where maybe it's inappropriate; but 


20 


you'd recognize them easily -- hired guns to defeat 


20 


then on the other hand, how do we measure who's close? 


21 


legislation, beyond the people that you have which we 


21 


I mean, the CHP has a lobbyist, and they're 


22 


know about, which are your regular governmental 


22 


integral to maintaining public safety on our highways. 


23 


relations staff, which do a fine job educating us about 


23 


CHAIRMAN STEINBERG: Well, the CHP - We know 


24 


the points of view of the system. 


24 


that the CHP officer's union has an outside lobbyist, 


25 


I'm just wondering what you all think about it. 


25 


but I'm not sure that's true of the CHP or other 




70 




72 


1 


I don't think a lot about it. 


1 


executive departments. 


2 


MR. HAUCK: I picked that up. 


2 


SENATOR OROPEZA: They have a governmental 


3 


CHAIRMAN STEINBERG: Neither do I. I mean, 


3 


relations unit, which is similar to the CSU's unit. But 


4 


I -- That really wasn't on my radar screen, but that 


4 


the other folks, the hired guns, are not representing -- 


5 


bothers me too. 


5 


in this case, as I understand it, are not representing 


6 


SENATOR OROPEZA: Yeah. It's a weird 


6 


the union representation. They're representing the 


7 


relationship. 


7 


board and the board's point of view -- I assume the 


8 


CHAIRMAN STEINBERG: Go ahead. What do you 


8 


board or somebody at the institution at that level's 


9 


think? 


9 


point of view on legislation. There is a little bit of 


10 


MR. HAUCK: We'll get back to you on that. 


10 


a difference there. It's a puzzlement to me. 


11 


Okay? 


11 


SENATOR CEDILLO: Is there a difference without 


12 


SENATOR OROPEZA: Okay. Fair enough. Thank 


12 


a distinction? 


13 


you. 


13 


CHAIRMAN STEINBERG: To be continued. How 


14 


MR. HAUCK: Thank you. 


14 


about that? 


15 


CHAIRMAN STEINBERG: Other Senators? 


15 


Any other questions from the good senators? 


16 


SENATOR AANESTAD: Actually, any governmental 


16 


SENATOR CEDILLO: I was interested in the 


17 


agency using taxpayer money -- 


17 


earlier discussions of what could the state do to get 


18 


CHAIRMAN STEINBERG: Well, you know, 


18 


more collaboration between the community colleges and 


19 


interesting. You could ask the same question: What 


19 


the CSU and the U.C. system. 


20 


about the League of Cities, or the cities? 


20 


What are the things that you could look to us 


21 


On the other hand, the CSU system and the 


21 


to unencumber you or enable you to have more 


22 


U.C. system, they are tied intrinsically to state 


22 


collaboration? 


23 


government. 


23 


This is a time where we need really aggressive 


24 


SENATOR CEDILLO: Are they tied any more than 


24 


out-of-the-box thinking, out-of-the-silo thinking, given 


25 


law enforcement? 


25 


the economic crisis. Again, the same situation. My 




71 




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20 of 27 shee 



sense is that your funding is not the same, or your 
ranking and funding is not the same as it was when 
Mr. Aanestad attended community college, and yet your 
student population is different. 

It's challenging. You've got displaced 
workers, you have training, you have people entering 
your system so when they came to graduate, were 
admissible but still have challenges, and an incredible 
change in our population, English language learning, 
people who are in the undocumented population, 
extraordinary and talented with tremendous potential, 
but still have challenges with language. Speaking 
another language is not a measure of talent. Potential 
challenges in the environment when people are speaking 
another language. 

MR. HAUCK: Senator, I think that perhaps now 
more than at any time before, the three systems are 
working together. The CEOs of each of the three systems 
have agreed to work together, for example, on community 
college transfer, and it's our intent to expand the 
scope of the cooperation to a range of issues, including 
the one that Senator Steinberg raised. 

I don't think that we can any longer afford to 
let these institutions operate in silos. It's not 
efficient, and it's not going to serve the people of 

74 



1 And there may be a range of other things that 

2 we will come to the legislature with in that respect. 

3 So we would look forward to the support. 

4 MR. MENDOZA: As far as for my take, I think 

5 learning the ropes and learning how everything 

6 functions, I'm asking a lot of questions, "Why?" Sol 

7 think that right there — 

8 SENATOR OROPEZA: Good. Keep asking. Keep 

9 asking. 

10 MR. MENDOZA: You know, I think that's the 

11 thing, why we're doing things, and learning the system, 

12 and, I think, making suggestions. 

13 I think the question was asked to me by the 

14 staff earlier: What is our role as a trustee? You 

15 know, I've been on a lot of boards and run some pretty 

16 large organizations, and as a board member you do set 

17 the tone of where — the direction that you want or you 

18 think the organization should go. 

19 So I think now is the time, especially the 

20 times that we're in, to think out of the box, to see 

21 what we can do, because there are changing times. We 

22 talked about the demographics. We haven't talked about 

23 it, but our -- you know, what's going on with the green 

24 economy and what's going on with global warming and all 

25 that. It's sparking new industries. It's sparking new 

76 



California well, and it's certainly not going to serve 
students well. So I think you can look forward to 
much greater cooperation between all three segments, and 
I think you can look forward to the three segments 
coming to the legislature to answer your question in 
terms of things that you can consider doing that you 
might not have considered before. 

For example, we don't have, in this state, a 
transfer degree from community colleges. We should. We 
should have a transfer degree. If you take the right 
units, 60 units, in a community college, you should 
first get a degree; and, secondly, they ought to be 
transferable to any CSU or U.C. campus in the state. 
And that's not true today. 

We've made some progress. Senator Scott 
carried a bill going in that direction, but we need to 
go a lot farther in that direction, because we find 
community college students transferring to the CSU with 
70 or 80 units. They don't need 70 or 80 units to 
transfer. And that's expensive. Taxpayers are 
underwriting those costs and, more importantly, perhaps, 
or as important, a lot of students — it's taking up 
seats with a lot of students. There's been resistance 
to that. There's been some faculty resistance to that, 
and we may want to ask you to help us with that. 

75 



1 ways of doing things, the digital age and everything. 

2 It's not the same as it was when I was there 30 years 

3 ago, so I think it's time to look at it. 

4 As I'm learning how the systems work together, 

5 I think now is the time that we could help sort of my 

6 suggestions, and as Bill was saying, it should be 

7 working closer. We are going to look into that. I'd 

8 like to see what we can do a little bit to develop the 

9 system. 

10 CHAIRMAN STEINBERG: Thank you. 

11 Senator Aanestad. 

12 SENATOR AANESTAD: I know you've been very 

13 patient, and I asked you this question earlier this 

14 morning, but I thought your answer was very good, and I 

15 wanted it on the record. 

16 And that was: Years ago, your students could 

17 count on graduating from the CSU system in four years, 

18 and by CSU's own acknowledgment it now is taking five or 

19 six years. I know we talked about lack of resources 

20 and, therefore, limited offerings, but you had other 

21 reasons why this might be true, and I would love you to 

22 expound on that. 

23 But the ending question is: It still is 

24 expensive for the students and their families to take 

25 that long, and how committed is the board to trying to 

77 



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1 


get those students through the system as quickly as 


1 


the implementation of what is learned. 


2 


possible? 


2 


And Henry is a self-made man who brings forth a 


3 


MR. HAUCK: Well, taking the last first, we're 


3 


lot of this — his education, his experience, and his 


4 


very committed to that. What I said to you this morning 


4 


implementing at the — and giving back to the community. 


5 


was: If you look back 30 years, the demographics of 


5 


So with that, sir, the California Hispanic 


6 


California were much different from what they are today. 


6 


Chambers of Commerce proudly supports Mr. Henry Mendoza. 


7 


In the CSU system, nearly two-thirds of our students are 


7 


CHAIRMAN STEINBERG: Thank you very much. 


8 


transfer students from the community colleges. They are 


8 


Other witnesses in support? Any witnesses in 


9 


older; they are mostly independent of their parents 


9 


opposition to the nominees? 


10 


financially. Most of them are working; some of them are 


10 


All right. Is there a motion? 


11 


married. And all of that kind of folds together to 


11 


SENATOR AANESTAD: So moved. 


12 


result in students taking longer, because there are some 


12 


CHAIRMAN STEINBERG: Moved by Senator Aanestad. 


13 


semesters when they can't take full academic loads. 


13 


I want to thank you for your public service 


14 


But it is important for us to try to move them 


14 


during very, very difficult times, and I hope that you 


15 


through the system as quickly as possible in relation to 


15 


enjoyed the robust conversation here. 


16 


the cost and in relation to the workforce. 


16 


And we're serious about what we do, just as 


17 


We do have a few universities in our system 


17 


you're serious about what you do, and we do want to hear 


18 


that have been willing to sign a contract with our 


18 


back from you and from the chancellor's office about how 


19 


students who want to get through in four years, and they 


19 


we can move in the same direction on some of these 


20 


have gotten through as long as they have lived up to the 


20 


crucial issues that were raised today. But we're happy 


21 


contract. Sometimes students intend to do something and 


21 


to support your confirmations, and we'll move it to the 


22 


discover that for one reason or another, they're not 


22 


floor with the requisite number of votes. 


23 


able to do what they originally intended to do. 


23 


Please call the roll. 


24 


But we need to move students through our system 


24 


MS. BROWN: Senator Cedillo. 


25 


as expeditiously as possible for a whole range of 


25 


SENATOR CEDILLO: Cedillo aye. 




78 




80 


1 


reasons. But the profile of a CSU student is much 


1 


MS. BROWN: Cedillo aye. 


2 


different from the profile of a University of California 


2 


Dutton. 


3 


student, which is largely much more the traditional 


3 


Oropeza. 


4 


18-year-old freshman entering college. That's not the 


4 


SENATOR OROPEZA: Aye. 


5 


situation in the CSU, and it reflects the changes in our 


5 


MS. BROWN: Oropeza aye. 


6 


population. 


6 


Aanestad. 


7 


SENATOR AANESTAD: Thank you. 


7 


SENATOR AANESTAD: Aye. 


8 


CHAIRMAN STEINBERG: All right. Thank you very 


8 


MS. BROWN: Aanestad aye. 


9 


much, Senator Aanestad. 


9 


Steinberg. 


10 


Are there witnesses in support here? 


10 


CHAIRMAN STEINBERG: Aye. 


11 


Come on up, sir. 


11 


MS. BROWN: Steinberg aye. 


12 


MR. AYALA: Absolutely. 


12 


CHAIRMAN STEINBERG: Thank you very much. 


13 


CHAIRMAN STEINBERG: You might want to take 


13 


We'll keep the roll open for Senator Dutton, 


14 


that mic, if you don't mind. 


14 


and we'll move the nominations to the floor. 


15 


MR. AYALA: Sure. Mr. Chairman, Members of the 


15 


Thank you both very, very much. 


16 


Committee, my name is Joel Ayala. I'm the CEO for the 


16 


MR. MENDOZA: Thank you. 


17 


California Hispanic Chambers of Commerce representing 


17 


MR. HAUCK: Thank you. 


18 


60-plus Hispanic Chambers of Commerce, 720,000 


18 


(Recess taken.) 


19 


Hispanic-owned businesses. 


19 


CHAIRMAN STEINBERG: We're back in order. 


20 


I've known Henry for over 20 years now, and 


20 


I would like to call Hadi Makarechian, who's up 


21 


Mr. Hauck by reputation only, but I applaud the 


21 


for confirmation as a regent to the University of 


22 


governor's selections today. And it's been brought 


22 


California. 


23 


forth in front of you. A lot of talk has been going 


23 


Mr. Makarechian, welcome to you, sir. 


24 


around about the value of education, and Mr. Chairman 


24 


MR. MAKARECHIAN: Thank you. 


25 


got it right in that the value of education lies only in 


25 


CHAIRMAN STEINBERG: Thank you for your 




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patience today. I hope you were sitting in the -- you 
know, in the soundproof booth back there, that you 
didn't hear all the questions we asked of the other 
nominees, but I'd like to welcome you. 

Is there anyone you want to introduce here 
today? 

MR. MAKARECHIAN: Thank you, Mr. Chairman, and 
thank you, Senators. Yes. My wife of 37 years, 
Barbara. 

CHAIRMAN STEINBERG: Wow! Welcome to you. 
Glad you're here. 

MR. MAKARECHIAN: Some people say she's my 
second wife, but really she's my first wife. 

CHAIRMAN STEINBERG: Uh-oh, you might be in 
trouble. I think that was a compliment. 

So welcome to you. Would you like to make an 
opening statement here about -- Again, what we're 
looking for, is, you know, your passion why you want to 
do this. It's a ten-year term. It's a very long term, 
so please — 

MR. MAKARECHIAN: Yes. Thank you very much, 
Mr. Chairman, and thank you, Senators. 

I came to this country when I was 16 years old 
as a foreign student, and at the time I didn't know much 
about United States. But I learned English back in my 

82 



1 produces three inventions per day. That's the engine of 

2 the economy for this state as well as the nation. 

3 So it would be an honor for me, if confirmed, 

4 to be part of this university and serve the public and 

5 be a trustee of the people of California. 

6 CHAIRMAN STEINBERG: Thank you, sir. 

7 Senator Oropeza and Senator Cedillo aren't here 

8 either. 

9 Senator Dutton, do you have any questions? 

10 SENATOR DUTTON: No. 

11 CHAIRMAN STEINBERG: Well, we had an 

12 opportunity to meet before, and I really appreciated the 

13 time. And we explored some of the areas that we've 

14 discussed with the nominees for the CSU trustees and the 

15 Community College Board of Governors, and I really want 

16 to ask you the same question. 

17 How can the University of California be more 

18 collaborative than it already is with the other systems, 

19 especially the K-12 system? 

20 MR. MAKARECHIAN: Well, I understand that 

21 that's one of the most important parts of the 

22 university, would be to be able to share their 

23 experience on education, because after all, every one of 

24 them is in the same business of educating and — 

25 although their missions are slightly different. Whereas 

84 



country and came in with limited resources, because of 
the restrictions on transfer of currency from my country 
to the United States, so I had to work my way through 
painting houses and tending bars. And I want to tell 
you, tending bars was more fun than painting houses. It 
gave me much more experience in understanding people. 

But toward my experience in the public 
sector -- in the private sector, I always wanted to be 
of service to the community, and I've always been 
involved with nonprofit foundations, as well as I served 
on the board of trustees of Chapman University when 
Chapman University was very small, and I served on the 
real estate committee where my experience was -- I've 
been developing many, many different projects all over 
15 the United States, so I always give back to the society. 

And one of the reasons I wanted to be part of 
the — This university is the best in the world, best 
public university in the world, and perhaps as good as 
any of the private universities. Certainly, when you 
look at the professors and the faculty, they've won 57 
Nobel Prizes, and the university system has the largest 
number of recipients of medals in science, and it's the 
forefront of any of the research, and highest number of 
patents in the United States is received by the 
university, as well as on the average, the university 

83 



1 the University of California is mostly -- the mission is 

2 on teaching, research, and public service, but the 

3 public service and the teaching part is always the same. 

4 So the research may be different in the 

5 University of California system than the CSU and the 

6 community colleges, but cultivating the students from 

7 preschool, bringing them up to the university system, 

8 the community colleges, or the CSU system, is one of the 

9 most important things. They have to have some sort of 

10 collaboration. And I know that President Yudof, since 

11 he became president, periodically -- and I think on a 

12 regular basis meets with Chancellor Reed and Chancellor 

13 Scott in just going over the past practices. 

14 And I know that the CTE courses is your 

15 passion, and making sure that we're all working on the 

16 same side of the issues, preparing the students to get 

17 ready for the career, as well as getting ready for 

18 the -- being educated at the university system is one of 

19 the most important things. And in this day and age, I 

20 don't think that they should be wasting any time. So 

21 communication between the universities are one of the 

22 most important parts. 

23 CHAIRMAN STEINBERG: What is your view on the 

24 issue of executive compensation and the University of 

25 California? 

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MR. MAKARECHIAN: My -- I come in from the 
private sector, obviously. I was CEO of a public 
company, and one of the most important things, I think, 
is transparency and communication with the general 
public, and also the legislature, as to how the 
university sets standards for hiring and compensation. 

I know that in the past, there have been some 
problems in that respect, that the information wasn't 
communicated well, but I know that that has changed. 
The university now, when they want to hire anybody, they 
put it on the Web site prior to actual hiring anybody, 
and also they go through extensive research as -- with 
the search committee. 

But overall, the university's trying to 
maintain its standard of being the best in the world, 
has to be competitive. And I know recently, there's 
been some negative publicity on hiring Chancellor 
Hellmann and also Chancellor Katehi at $450,000 and 
$400,000. Chancellor Hellmann was hired at $450,000, 
but we have to understand that she came from the private 
sector, from Genentech, and she was making $1.6 million 
per year. And, in fact, she changed to come and do 
public service. 

Each of these chancellors are running very, 
very large organizations. Both of those schools have 

86 



1 it's private universities or public universities, 

2 especially in the private side, they pay much, much 

3 more, and they tend to take a lot of the — the best of 

4 the best from the universities. 

5 But the U.C. system has been able to really 

6 attract some of the best of the best in the world at 

7 much lower prices. If you look at the accountability 

8 report that President Yudof has put in place that I 

9 think it's going to be presented to the chancellors in 

10 September, but I've seen some of the preliminary 

11 reports, the university, the staff level as well as the 

12 executives, on the average pays 15 percent less than 

13 their comp stat, which is about 14 universities — 

14 private and public universities in the United States. 

15 So in that respect, they've been very successful. 

16 Again, maybe it's because of the prestige of 

17 the university. Some people will prefer, as an 

18 example — prefer -- As an example, Chancellor Hellmann 

19 came into UCSF at a much lower salary. It's just the 

20 prestige and public service side that would take that 

21 cut and come in. That's been one of the indicators of 

22 attracting people. 

23 But if it was regulated, I think — for 

24 instance, if you pass regulations and you can't pay 

25 anybody over $200,000, I'm not sure what would happen. 

88 



medical schools, and the average salary for medical 
school — the average salary for schools with medical 
schools nationwide is about $628,000. So when you look 
at the chancellors' salaries, they are well below the 
market. 

And so I think we have to be competitive, but 
in this day and age, everybody has to go to the best, to 
get the best people at the lowest price that is 
possible. 

CHAIRMAN STEINBERG: Let's open it up. 
Senators. 

SENATOR CEDILLO: What happens if you don't? 
If we lock you into a set salary -- We're not sitting 
where you're sitting to make the decision on all the 
other factors, the competitiveness of the field. What 
are the dangers to the system if we do not support your 
efforts? 

MR. MAKARECHIAN: You mean what happens if we 
don't hire them at the levels that is necessary? 

SENATOR CEDILLO: If we encumber you and we 
limit you, what happens? 

MR. MAKARECHIAN: Obviously, you get what you 
pay for. That's obvious. Especially when all these 
chancellors, all these people that you hire, they could 
go anywhere in the world, and now there's -- whether 

87 



1 You would slowly see the slide and all the innovations 

2 and the engine of the economy -- 

3 If you look at the U.C. system, biotech, for 

4 instance, started at the U.C. system. Seventy-five, 

5 80 percent of all the people that work in the biotech 

6 industry are graduates or somehow related to the U.C. 

7 system. 

8 CHAIRMAN STEINBERG: Let's follow up. You 

9 know, I don't want to get overly philosophical here. I 

10 do think that -- Greg and I -- Mr. Schmidt -- were just 

11 whispering to each other about sort of the difficult 

12 balance here, and he reminded me that really what's 

13 happened over the years with the U.C. in some ways is 

14 that it's moved from sort of pure public service to more 

15 entrepreneurial. I mean -- 

16 And maybe we, as elected officials, are a tiny 

17 bit sensitive on this issue ourselves here. We ought to 

18 admit that -- you know, that bias a little bit. But you 

19 can say what you just said about really most any form of 

20 public service, that, you know, there are legislatures 

21 here that could be making a million dollars a year, a 

22 couple hundred thousand dollars a year, or whatever. 

23 You could say the same thing about other particular 

24 public services, and yet people choose the public 

25 service because there are other rewards. There are the 

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psychic rewards; there are the rewards of being able to 
give something back. 

So I — you know, we wrestle a little bit with 
the need to be competitive, as you say, but why 
should -- If the University of California is the place 
that is so well respected and heralded as a place that 
you would want to work, why is it that if we limited 
salaries to $200,000, as an example, that there would be 
some great brain drain? That may be true, it may be the 
reality, but that troubles me. And I know that's sort 
of -- we're getting philosophical here, but.... 

MR. MAKARECHIAN: I'm not sure that the 
university has lost its public service side, because if 
you look at the services that the university provides -- 

The university is the fifth largest healthcare 
organization in the United States. It's the largest in 
California, and it provides the public — 3.6 million 
people go to the clinics, and majority of those are the 
underrepresented or low-income families. So that's on 
the healthcare side. 

If you look at the agriculture, the university 
has created some of the best public service on the 
agriculture. So the university operates close to 100 
libraries. That's 33 million books, larger than the 
Library of Congress. And most of the people -- most of 

90 



1 SENATOR OROPEZA: I think -- You know, I 

2 understand what you're saying. I think U.C. has done a 

3 lousy job at developing a public perception or 

4 understanding of the rationale, and I think that in some 

5 cases has made it the excuse for a little bit of 

6 overcompensation, in my view, but I do hear your point. 

7 I would like to see the U.C. do a better job at 

8 explaining, if you need to pay somebody a premium, then 

9 why is it that you have to pay that person a premium, 

10 because I think if you did more of that, then you might 

11 get at what the chair is calling for a little more, and 

12 that is: What is the value that they are not getting 

13 that a lot of us public servants get, and what are they 

14 now getting that has to fill up that piece of their 

15 salary with money, you know? 

16 But you should do a better job, I think. I 

17 think it's one of the big problems of the U.C, and it 

18 becomes a problem for all of us as well up here when we 

19 really don't have a good answer. 

20 MR. MAKARECHIAN: Yes, I agree with you. In 

21 fact, I'll be discussing just that, the communications 

22 with outside. In fact, what they have done recently, as 

23 I said, putting the potential hirees on the Web, and 

24 explaining their position and the comp stat that they 

25 have, compensation, so that everybody can see it. 

92 



the people don't know this, that the university is 
providing all those libraries that's free to the 
majority of -- to all of California. 

CHAIRMAN STEINBERG: Why should we have to pay 
people exorbitant salaries to be part of that wonderful 
environment and that wonderful service? 

MR. MAKARECHIAN: I guess it's return on 
investment. If you look at what they give back for what 
they get paid for — for instance, the Chancellor 
Hellmann is an example. At Genentech, she was making 
$1.6 million. Was she returning that much to that 
company? Obviously, yes. 

You could pay somebody much less salary to run 
a large organization like UCSF, which is about 
$3.3 billion organization -- $3.3 billion organization, 
and if that chancellor made a slight mistake of even a 
million dollars, that's a huge -- if she saved just a 
million dollars, she made her salary. And I'm sure she 
would make much better decisions for the future that 
would bring back a multiple of the salary that she's 
making. 

I don't know if I've answered your question. I 
guess it's an investment. 

CHAIRMAN STEINBERG: I don't want to get too 
much in the weeds, but -- 

91 



1 And also, now, all of the -- all of the senior 

2 management goes through the board for further approval. 

3 Anybody over $237,000 gets an approval by the board. 

4 And all of those board meetings are open except for 

5 certain candidates where they don't want to disclose 

6 that they may be leaving their jobs from fear of being 

7 fired from their existing positions. Except for those, 

8 almost every one of the discussions is open to the 

9 general public. 

10 SENATOR OROPEZA: Is that new? 

11 MR. MAKARECHIAN: That's very new, yes. 

12 SENATOR OROPEZA: That's a good step. 

13 MR. MAKARECHIAN: I'm a recent regent. But, as 

14 I said, I'm coming from the public company side. I used 

15 to be CEO of a public company, so I understand that the 

16 more information you give to the general public, the 

17 less it is you have to explain and the less it is that 

18 they blame you. 

19 SENATOR OROPEZA: Absolutely true. Absolutely 

20 true. 

21 If there is a legitimate reason, you put that 

22 explanation out there. You're going to be much better 

23 off than doing it the other way. 

24 Can I ask a question about something 

25 different -- 

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1 


CHAIRMAN STEINBERG: Sure can. 


1 


said, up to 181,000. Obviously, you can't have 


2 


SENATOR OROPEZA: — or do you want to — 


2 


100 percent of the fees to be going back, because then 


3 


CHAIRMAN STEINBERG: No, no, no, but let's wrap 


3 


the fee increases doesn't do anything. But 30 percent 


4 


it up if we can. 


4 


of the fee increases goes back to the student fee aids. 


5 


SENATOR OROPEZA: All right. 


5 


SENATOR OROPEZA: Thank you. 


6 


Can I ask about the Blue and Gold plan and 


6 


Thank you, Mr. Chair. 


7 


if there -- which is the program where if the family 


7 


CHAIRMAN STEINBERG: Of course. 


8 


makes less than 60,000, that they basically get their 


8 


Witnesses in support? Witnesses in opposition? 


9 


tuition and fees covered, which I think is a great 


9 


All right. Mr. Makarechian, I think you're a 


10 


policy. I think it's a great step forward. 


10 


very thoughtful person, and you obviously have taken 


11 


Is there any other initiatives like that about 


11 


this seriously, and I'm confident that you will take the 


12 


providing access for people -- for students of lesser 


12 


responsibility of being a regent seriously as well. 


13 


means but high academic standards to come into the 


13 


I'd like to say here that the confirmation 


14 


system? 


14 


process, hopefully, isn't the end of your relationship 


15 


MR. MAKARECHIAN: Yes. When -- 1 think it was 


15 


with the legislature, but, in fact, the beginning of a 


16 


my second meeting at the Regents when the issue of 


16 


relationship. So we would urge you to, again, be 


17 


raising the student fees came up to the board, and there 


17 


outspoken and to be communicative with us as we face the 


18 


was extensive discussion as to what segment of the 


18 


challenges ahead. 


19 


students were being affected by these fee increases, and 


19 


MR. MAKARECHIAN: You have my promise. 


20 


how they could afford to pay for it. 


20 


CHAIRMAN STEINBERG: Thank you. 


21 


One of the most important part of the 


21 


I'll take a motion on the nomination. 


22 


discussion of raising the fees was: Let's make sure 


22 


Moved by Senator Aanestad. 


23 


that majority of the students get their increases 


23 


MS. BROWN: Senator Cedillo. 


24 


covered. Now, the increases get covered by the Pell 


24 


SENATOR CEDILLO: Aye. 


25 


grants and also the Cal grants. Now, the Cal grants, I 


25 


MS. BROWN: Cedillo aye. 




94 




96 


1 


know the governor and, hopefully, the legislature will 


1 


Dutton. 


2 


not cut that. 


2 


Oropeza. 


3 


CHAIRMAN STEINBERG: Well, funny you mention 


3 


SENATOR OROPEZA: Aye. 


4 


it. 


4 


MS. BROWN: Oropeza aye. 


5 


MR. MAKARECHIAN: But, hopefully, that's not 


5 


Aanestad. 


6 


cut. But we think the Pell grant and the Cal grant, and 


6 


SENATOR AANESTAD: Aye. 


7 


also the Blue and Gold, and the tax credit, we were 


7 


MS. BROWN: Aanestad aye. 


8 


assured that families that make up to $180,000 per year 


8 


Steinberg. 


9 


combined, you know, husband and wife, per family, which 


9 


CHAIRMAN STEINBERG: Aye. 


10 


is about 81 percent of the citizens of California, they 


10 


MS. BROWN: Steinberg aye. 


11 


get absolutely zero fee increases. So the fee increases 


11 


CHAIRMAN STEINBERG: We'll keep the roll open 


12 


really affects the families — And it's not fair to say 


12 


again for Senator Dutton, but your nomination will pass 


13 


that families who make $185,000, they don't have any 


13 


to the floor of the State Senate. It will be taken up 


14 


obligations. They probably have the fixed mortgages, 


14 


soon. 


15 


they have the car payments and all that stuff, and it 


15 


MR. MAKARECHIAN: Thank you, Mr. Chairman. 


16 


affects them. 


16 


Thank you, Senators. 


17 


But at least majority of the students, which 


17 


CHAIRMAN STEINBERG: Thank you very, very much. 


18 


is, I think, about 70 percent of the students at the 


18 


We really appreciate it. 


19 


U.C. system, they get some sort of a student aid. And 


19 


(Thereupon, the Senate Rules Committee hearing 


20 


that's up to about $10,000 per year. So those families 


20 


adjourned at 4:39 p.m.) 


21 


are all covered up to $180,000. And that's 81 percent 


21 




22 


of the families — the citizens of California. 


22 




23 


SENATOR OROPEZA: But you're not looking at new 


23 


-o0o-- 


24 


approaches. That feels like it fills up the gap? 


24 




25 


MR. MAKARECHIAN: That fills the gap, as I 


25 






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— oOo— 

I, INA C. LeBLANC, a Certified Shorthand 
Reporter of the State of California, do hereby certify 
that I am a disinterested person herein; that the 
foregoing transcript of the Senate Rules Committee 
hearing was reported verbatim in shorthand by me, 
INA C. LeBLANC, a Certified Shorthand Reporter of the 
State of California, and thereafter transcribed into 
typewriting. 

I further certify that I am not of counsel or 
attorney for any of the parties to said hearing, nor in 
any way interested in the outcome of said hearing. 

IN WITNESS WHEREOF, I have hereunto set my hand 
this PZ^day of OImaj2 2009. 



INA C. LeBLANC 
CSR No. 6713 



--0O0-- 



21 
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Qreo-P&Z-Lf &&Lur* 



Geoffrey L. Baum fo&spo oSC& 

California Community Colleges Board of Governors 

Senate Rules Committee Confirmation Hearing Question responses 

May 26, 2009 



1. Please provide a brief statement outlining the goals you hope to accomplish while 
serving as a member of the Board of Governors. How will you measure your success? 

It is an honor to work on behalf of students and communities across the state as a member of the 
California Community Colleges Board of Governors and at Pasadena City College, where I have 
served as an elected trustee since 2001. 

My father is an immigrant. He came to this country without knowing English. He grew up 
sleeping on a sofa in a one-bedroom apartment in a working class part of New York where his 
father worked in a restaurant. Fortunately, my dad found a technical college, Brooklyn College 
of Pharmacy, and found a career that enabled him to support our family. 

My mother grew up in the Midwest. She was married and divorced at 20. She married again, 
divorced and was a single mom with two sons at 28. She married my dad a year later and had 
two more kids. (Thankfully, they're still together.) 

She loved learning, but her life situation did not enable her to go to college until the family 
moved to Southern California in the early 1960s. In Orange County, she found the local 
community college, Golden West College. Once she had access to a college education, there was 
no stopping her. She enrolled in classes and pursued her educational dreams. 

With an earnest desire to serve and gratitude for the opportunities they had been given, my 
parents both got involved in politics. My dad was elected mayor of our hometown. Years later, 
my mom was elected to the Coast Community College District Board of Trustees. 

That is the environment in which I was raised. I have seen firsthand the power of education to 
transform lives. And I see it every day on the campus of Pasadena City College and at campuses 
across the state. 

With nearly 3 million students, ours is the largest system of higher education in the world. The 
Board of Governors sets policy and provides guidance for the 72 districts and 1 10 colleges which 
constitute the system. We establish accountability standards, monitor performance and are the 
entity that formally interacts with state and federal officials. 

We also select a chief executive for the system. Our new state chancellor is former PCC 
president and California State Senator Jack Scott and I am doing everything I can to support his 
work guiding the statewide system. 

Much of my focus is on the economy. With record levels of unemployment, home foreclosure, 
and business failure, the demand for education and training has never been greater. Working 



Senate Mules Committee 

Pagel of 15 HAY 2 7 7QJJQ 

Appointments 1 00 



Geoffrey L. Baum 

California Community Colleges Board of Governors 

Senate Rules Committee Confirmation Hearing Question responses 

May 26, 2009 



closely with my colleagues on the Board of Governors, I support the role of community colleges 
as the state's Economic Recovery Centers. 

As with any disaster, members of our community must have access to resources and support in 
order to recover from this current crisis and get our economy moving again. 

One paradox is that we know where the jobs are. And we have outstanding students eager to get 
the training and skills for new careers. But there is a shortage of access. We will continue to 
serve as many students as we can with the resources we have and hope we can find ways to serve 
the avalanche of newly displaced workers who need help. 

Through my service on the Board of Governors, I hope to be an effective advocate for California 
Community Colleges, maintain and strengthen the system of accountability that builds public 
trust, and work effectively with our partners in the system — faculty, staff, administrators, 
students and others — to expand access to affordable, high-quality instruction, especially during 
this time of economic crisis. 

I will measure success by the number of students we serve, the success of students in completing 
courses with passing grades, the number of programs offered by colleges to respond to needs in 
their communities, the number of certificates awarded in career and technical education 
programs and the number of students who are prepared and successfully transfer to the 
University of California, California State University and California's independent colleges and 
universities. 



2. As a board member, what training have you received for your position? What conflict-of- 
interest training have you received? From whom do you seek advice on potential 
conflicts? 

I have devoted my professional career and community service career to higher education. 

Since 2001, 1 have served as an elected governing board member of the Pasadena Area 
Community College District, which includes Pasadena City College (PCC). For three years, I 
was a board officer and served a term as president. PCC is widely regarded among the very best 
community colleges. It ranks at or near the top in virtually every category, including 

• Transfer to 4 year colleges. 

• Awarding of associates degrees. 

• Career and technical education certificates awarded. 

In addition, I am a member of the leadership team at the University of Southern California. From 
2001-2008, 1 was assistant dean of the USC Annenberg School for Communication. Currently, I 



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May 26, 2009 



serve as managing director of USC's Center on Communication Leadership & Policy. During the 
1990s, I was assistant vice president of Claremont McKenna College in Claremont. 

As a community college trustee, I participate annually in professional development programs 
offered by the Community College League of California and the Association of Community 
College Trustees. Workshops I have taken include Trusteeship: Roles & Responsibilities and 
Boardmanship 101- Focus on the Fundamentals of being an Effective Trustee, both of which 
include a specific focus on conflicts of interest. 

Regarding potential conflicts, I have sought advice from the chancellor and the executive vice 
chancellor of California Community Colleges, the counsel of the Pasadena Area Community 
College District, and the president of the Board of Governors and the president of the Pasadena 
City College Board of Trustees. 



3. California's community colleges serve every region of the state. In a difficult economy 
and at a time of state budget reductions, how do you, as a member of the Board of 
Governors, help the community colleges maintain their critical role in California's higher 
education system? 

Among the several steps to be taken: 

1. Be an effective advocate for California Community Colleges within local communities 
and with statewide and federal policymakers 

2. Support, maintain and strengthen the system of accountability that builds public trust 

3. Work collaboratively with our partners in the system, including faculty, staff, 
administrative leadership and students 

4. Support the work of the Chancellor and the system office to foster greater coordination 
and collaboration between individual districts and across all segments of education from 
K-12 to research universities. 

5. Support the work of the Foundation to raise private financial support for California 
Community Colleges 

6. Be honest in all dealings and acknowledge shortcomings when warranted. 



4. Should there be a long-term community college student fee policy? If so, what should its 
key features be? 



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California Community Colleges Board of Governors 

Senate Rules Committee Confirmation Hearing Question responses 

May 26, 2009 



The mission California Community Colleges is to provide affordable, high quality instruction for 
all Californians who seek access to higher education. Student fees must not be a barrier to access. 

Previous fluctuations in fees have placed a significant burden on students and districts, with a 
disproportionate impact on low-income students. 

I support current policy, which directs that fees be low and predictable. Moreover, there must be 
access to financial aid that is sufficient to meet the needs of students and prevent the cost of 
college from being a barrier to access. 

Given the current fiscal crisis, I anticipate an increase in student fees. As stated above, any 
increase must be measured and predictable. 



5. What are colleges doing to ensure that students maximize their use of federal aid for 
which they are already eligible? How is the board kept informed of districts' outreach 
and technical assistance activities geared toward informing students of their financial 
aid opportunities? How do you weigh in if you believe more should be done? 

Student fees for community college students in California are the lowest in the nation by a 
significant margin. Fees are so low that tens of millions in federal aid to California has gone 
unclaimed. On the other hand, recent changes in federal tax policy allow tax credits to be 
claimed for books and supplies. 

Supplemented by annual state funding ($37 million), districts provide counseling and conduct 
outreach campaigns to alert students about the availability of financial aid. A portion of the state 
funding has also supported the "I Can Afford College" statewide media campaign organized by 
the Chancellor's Office. 

Among other activities, districts encourage students to complete the Free Application for Federal 
Financial Aid (FAFSA). Currently, nearly 80 percent of students who receive a Board of 
Governors fee waiver also file the FAFSA. Due to these outreach activities, California 
participation in the Pell Grant program has grown by 30,000 students (12.6 percent) in the past 
five years. 

System office staff keep the Board of Governors informed about students' access to and use of 
various financial aid programs. As a Pasadena City College trustee, I also receive regular reports 
on financial aid outreach and activities conducted within my district. 



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California Community Colleges Board of Governors 

Senate Rules Committee Confirmation Hearing Question responses 

May 26, 2009 



6. The community college system offers a variety of recreational and personal enrichment 
credit courses to students, all funded at the same per-student funding rate (about $4,600 
per full-time equivalent student in 2008-09). The Legislative Analyst's Office has 
recommended reducing the funding for credit-bearing physical education and 
enrichment classes to the regular noncredit rate. Given the current budget limitations, 
what are your views regarding this proposal? 

The system and individual districts must remain accountable for the funding received for 
instruction. Generally, credit courses are offered that have specific links to transfer, degree or 
certificate programs. That includes courses offered in physical education and other divisions that 
may be considered "recreational" or for "personal enrichment." 

For example, virtually all courses within Pasadena City College's division of Kinesiology, 
Health and Athletics are rigorous and qualify for transfer credit. Other courses are offered to help 
students pursue careers in growing employment sectors, such as physical therapy and sports 
medicine. In my experience, I have found these courses to also help provide a well-rounded 
experience and foster student retention. There would need to be a careful examination of what 
courses the LAO considers purely "recreational and personal enrichment." 



7. How does the board monitor and determine whether community colleges are responding 
to local education and workforce training needs? In your view, what policy initiatives or 
programs are critical to supporting the capacity of community colleges to meet 
California's workforce needs? 

The Board of Governors receives regular reports on economic and workforce development 
programs that measure progress based on specific objectives. This information is also reported to 
the state legislature. The system also requires each of the initiatives to conduct a Strategic 
Review every five years to assess the effectiveness of the initiative and evaluate the need for 
continuing funding and support. 

Statewide and individual district performance is also evaluated annually through the 
Accountability Reporting for Community Colleges (ARCC), which measures student progress 
and achievement in vocational, occupational and workforce development programs. 

During the current economic crisis, we must remain focused on providing access to effective 
workforce training programs. The demand for educational services has never been greater as 
Californians turn to community colleges as the state's Economic Recovery Centers. 

Through the Board of Governors, we need to encourage and facilitate access to stimulus funding 
and other forms of federal support for workforce development programs. We need to continue to 



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California Community Colleges Board of Governors 

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May 26, 2009 



monitor the effectiveness of various programs and encourage innovation in new areas where we 
anticipate job growth. 



8. Enhancing relevance in education and providing students multiple options for success 
are crucial for curbing dropouts and, at the same time, meeting the needs of our 
economy. What is the Chancellor's Office doing to encourage community colleges to 
work with their local high schools to ensure that students have increased access for 
career development and college preparation courses? What is the Chancellor's Office 
doing to improve career pathways and linkages between K-12 and community college 
career development programs? 

The first goal articulated by the system strategic plan (adopted in 2005) is COLLEGE 
AWARENESS AND ACCESS. As the plan states, "Stronger outreach to a growing population is 
critical to the development of the educated and talented workforce California needs to remain a 
competitive economic leader." The first step in achieving the goal is "Early Awareness of 
College as a Viable Option." The chancellor's office and the system actively encourage early 
awareness of the Community Colleges as an option and the need for K-12 students and parents to 
prepare for college success. 

Mindful of past issues with concurrent enrollment, the system is examining ways to facilitate 
access to college for high school students, including early to college high school programs. The 
system must continue to encourage articulation agreements that facilitate student access and offer 
consistency across the state. 

At Pasadena City College, we have made it a priority to work closely with our K-12 feeder 
districts, including the Pasadena Board of Education, to conduct outreach, partner on broad 
variety of educational programs and seek resources to better serve students. 



9. Governor Schwarzenegger signed SB 70 (Scott), Chapter 352, Statutes of 2005, to expand 
career technical education (CTE) instruction and enhance partnerships between 
secondary and postsecondary CTE programs. Please provide a status update regarding 
the CTE Pathways Initiative. How does the board monitor progress? 

I was honored to be present for the signing of SB 70 at Pasadena City College. The bill, authored 
by Senator Scott, provides a significant investment in Career Technical Education (CTE) and 
strengthens the partnership between community colleges and high schools to improve and 
expand CTE programs in California. 



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California Community Colleges Board of Governors 

Senate Rules Committee Confirmation Hearing Question responses 

May 26, 2009 



The primary goal of the legislation is to develop new programs and build partnerships between 
California's K-12 schools and community colleges so that CTE curricula are in alignment and of 
maximum benefit to students. 

The program was funded at $20 million in 2005-06 and in 2006-07. In 2007-08 funding was 
increased to $41 million. In 2008-09 funding was $58 million. Since the inception of the 
program, the total number of grants awarded has increased to just over 400. Every region in the 
state has received at least one grant. 

The CTE Pathways Initiative awards about 200 grants annually in five broad categories. For 
2008-09, competitive grants were awarded in: 

• Career Planning and Development & Career Pathways and Articulation (approximately 
100 projects ) 

• New Program Development (approximately 55 projects) 

• Expanding Business and Industry Engagement in CTE (approximately 10 projects) 

• CTE Teacher Recruitment and Professional Development (approximately 20 projects) 

• Capacity Building and Research and Evaluation (1 project) 

Outcomes to date include hundreds of new courses and enrollment opportunities for K-12 and 
community college students, professional development for faculty, and re-invigorated industry 
connections to key occupational preparation programs. 

The Board of Governors receives regular reports from the Chancellor and system partners about 
progress in all aspects of career technical education. 



10. There have been reports that the implementation of the SB 70 CTE funds have been 

inconsistent across school districts and local community colleges. Have you found this to 
be the case and, if so, what can be done to improve collaborations to expand CTE 
programs in California? 

I am not familiar with the reports about inconsistent implementation of SB 70 funds. However, 
some districts may have received earlier funding due to their existing capacity and preparation to 
launch programs that met the requirements of the legislation. Now that effective models have 
been identified and developed, districts across the state are receiving funding to fulfill the intent 
of the legislation. 

The Chancellor's Office is fostering partnerships among K-12, community colleges and local 
businesses to provide programs that meet the needs of students and employers. These CTE 
Community collaboratives can be found at districts across the state. In a typical example, one 
CTE Community collaborative features partnerships among the colleges of Cerritos, Compton 



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California Community Colleges Board of Governors 

Senate Rules Committee Confirmation Hearing Question responses 

May 26, 2009 



and El Camino to develop, improve, and expand highly visible, high impact curriculum that 
provides opportunity for 7th and 8th grade students to explore career technical education 
pathways and programs including apprenticeship in the 1 5 California industry sectors. 

There must be ongoing review and assessment of these programs. On balance, I believe the 
program is been a success. The Board of Governors should continue to encourage active 
partnerships among K-12 districts, employers and community colleges to provide effective 
pathways to education, training and employment. 



11. Recently, the state has provided supplemental funding for nursing programs. How is the 
board kept informed of the effect of supplemental funding on the enrollment and 
retention of students in community college nursing programs? What direction is being 
provided to local community college districts regarding the sustainability of these 
programs when supplemental funding decreases oris eliminated? 

The Board receives reports from the Chancellor about the impact of supplemental funding on the 
enrollment and retention of students in nursing programs. 

Currently, such funding includes: 

• $22.1 million of Proposition 98 funds in the Budget Act of 2008 

• $14 million to further expand community college nursing slots 

• $8.1 million to provide diagnostic and support services to reduce student attrition. 

• $6 million ($30 million over five-years) in federal Workforce Investment Act (WIA) 
funds 

Enrollments have increased by nearly 50 percent over the past four years due to new programs, 
expansion of enrollment capacity through industry partnerships, and federal- and state-funded 
programs and grants. Currently more than 13,000 FTE nursing students are enrolled at 74 
community colleges across the state. 61 colleges received supplemental grants to expand 
enrollments. 

In the current economic climate, every college is making plans on how to respond to anticipated 
budget cuts. Districts are encouraged to build public-private partnerships to increase nursing 
enrollment capacity and develop alternative sources for supplemental financial support. 
However, this will provide a fraction of the support needed to sustain programs across the state. 

One interesting development. At our last Board of Governors meeting, it was reported that an 
unanticipated consequence of the economic downturn was a slowdown in the rate of retirement 
among nurses. We will monitor that possible trend and see how it impacts the need for expansion 
of nursing programs. 



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California Community Colleges Board of Governors 

Senate Rules Committee Confirmation Hearing Question responses 

May 26, 2009 



12. How should the community college system propose to align its educational and career 
development programs with the needs of the green collar workforce? Is this an issue 
area on which your board provides guidance? If not, do you believe it should, and how? 

Community colleges provide workforce training in emerging fields, including the transformation 
of manufacturing, construction, transportation, trade and other industries into "green" industries. 
Through grant funding and other programs, the system will continue to support district and 
statewide efforts to develop and expand career technical education programs for green collar 
jobs. 

The system should continue to support federal funding for green collar workforce development 
and facilitate local district efforts to obtain funding and expand programs. 



13. The Legislative Analyst's Office indicates that the American Recovery and Reinvestment 
Act will provide California with an additional $494 million in Workforce Investment Act 
funds for employment and training purposes. Community colleges will be able to 
compete for contracts to provide job training and other services to job seekers and 
employers. Is the board kept informed of districts' efforts to obtain workforce 
development funds? If so, how? Is the Chancellor's Office providing direction to districts 
in their efforts to compete for funds? 

The Chancellor, the Governor and the Economic Recovery Task Force have been proactive in 
positioning community colleges to take full advantage of the funding from the American 
Recovery and Reinvestment Act. The Chancellor has issued statewide memoranda outlining 
opportunities and guidance on how to pursue funds. These messages have also cited specific 
examples of effective collaborations and partnerships with local workforce investment boards. 

In one example, on May 28, I am chairing the San Gabriel Valley Federal Stimulus 
Collaboration Summit to encourage partnerships among local governments, public educational 
institutions, industry, non-profit organizations and the regional Workforce Investment Board. 
Representatives from the Chancellor's office will be on hand to offer guidance and support in 
order to compete for WIA funds for employment and training purposes. 

The Chancellor actively encourages districts to take advantage of funding opportunities in their 
area so that workforce partners turn to community colleges as the preferred training and 
education provider. 



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California Community Colleges Board of Governors 

Senate Rules Committee Confirmation Hearing Question responses 

May 26, 2009 



The Chancellor's office provides reports to the Board of Governors about progress and activities 
in this area. 



14. What steps is the board taking to ensure that more community college students are 
completing basic skills classes? How does the board determine that colleges are taking 
sufficient steps to track students' progress? Please provide us with any data the board 
has on completion of basic skills classes. 

Too many California students lack basic skills needed to successfully complete college-level 
work. Basic skills education has been a top priority for the Board of Governors. It is critical for 
students to have access to basic skills and ESL training in order to progress in any other program 
of higher education. 

Among other steps, the Board supports the redirection of $33.1 million toward efforts made by 
colleges to achieve increased success of students who need to improve performance in ESL 
and/or basic skill areas. In order to receive the funds, each college must submit an Action and 
Expenditure Plan as well as expenditure reports throughout the year. The Chancellor's Office 
tracks expenditure of funds allocated and reports to the Board of Governors. 

Tracking student progress on a system-wide basis is conducted annually through the 
Accountability Reporting for Community Colleges (ARCC). The 2009 ARCC report provides 
data on the annual number of credit basic skills improvements and the number of students 
completing coursework at least one level above their prior basic skills enrollment within a three- 
year period. 

At our January 2009 meeting, the Board of Governors reviewed the system plan to enhance 
accountability for basic skills education. 

The expanded accountability framework for annual evaluation of ESL & Basic Skills will 
include 

• Student headcount (by ethnicity, gender and age) 

• Number of sections of ESL and Basic skills offered 

• Number of nonexempt students who are assessed 

• Persistence of basic skills students from fall to spring and fall to fall, and 

• Student progress which tracks a cohort of students over eight years through ESL and 
basic skills sequences to degree applicable courses. 

This additional data will be available in our next annual report. 



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California Community Colleges Board of Governors 

Senate Rules Committee Confirmation Hearing Question responses 

May 26, 2009 



15. What strategic direction is the board providing the Chancellor's Office in dispersing funds 
specifically set aside for basic skills education? How does the board ensure that districts 
are using these funds to target the least-prepared students? 

The Board directs the Chancellor's office to follow Budget Act language regarding allocation of 
basic skills education funds and the categories of expenditure that are permitted. 

In order for colleges to receive funds, they must submit an Action and Expenditure Plan and 
submit expenditure reports that indicate in which categories expenditures have been made. 

Appropriate categories of expenditure are: 

• Program and curriculum planning and development 

• Student assessment, advisement and counseling services 

• Supplemental instruction and tutoring 

• Articulation 

• Instructional materials and equipment 

The goal is to support all underprepared students. 

Beyond budget disbursement, the Chancellor's Office needs to continue to identify and promote 
practices with demonstrated high effectiveness, such as innovative program structures, peer 
support and individual counseling. The Chancellor must also take leadership to acquire funding 
to implement the approaches necessary to reach students who need basic skills education. 



16. What is the board doing to encourage colleges to work with K-12 schools to align 

educational standards, assessment, and course work that will better prepare students 
for successfully completing a community college education? 

As stated in the system strategic plan, "More than half of entering Community College students 
require some sort of basic skills education, due in part to the fact that K-12 curriculum and 
assessments do not always adequately prepare students for college level work. The Plan 
recommends that College requirements be reflected in high school curricula, that high school 
students and their parents have clear understanding of what it takes to succeed in college, and 
that the Colleges work toward increased alignment with K-12, noncredit programs, and adult 
schools." 

Early assessment is one key step in fostering student success. 



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May 26, 2009 



In 2007, the Board directed the Chancellor to work with the appropriate parties to begin the 
process of implementing a system-wide common assessment mechanism. A report with 
recommendations from the Consultation Task Force was delivered in 2008. The Early 
Assessment Program is a first step in addressing college readiness. The system plans to 
implement EAP across institutions and in coordination with the California State University. 

In addition, the Board supports California's participation in the American Diploma Project, a 
national effort to improve coordination and alignment of educational standards between K-12 
and college. 

More needs to be done to strengthen coordination between educational segments, including K-12 
and four-year colleges and universities. 



17. Currently, all districts determine their own academic standards, which can vary in 
academic rigor from campus to campus. Assessment and placement are voluntary as 
well, as practiced at many colleges across the system. Is the board encouraging colleges 
to use the existing EAP tests to assess college readiness? Do you believe there is a role 
for the board in addressing assessment and placement policies? If so, what should it be? 

One of the great strengths of the community college system is that districts are governed locally. 
At Pasadena City College, we have a seven member board of trustees elected every four years. 
Local control means that residents and employers have a greater impact on the work of local 
colleges than any other educational segment. They ensure that programs are offered that meet the 
needs of local communities in economic development and educational access. 

The need for systemwide standards, though, is apparent. The Board of Governors supports 
community college participation in the Early Assessment Project initiated by California State 
University and California high schools. 

As mentioned in the previous response, the Board is focused on assessment and course 
placement as critical components of student success. 

One system task force has endorsed related work being done by the state Academic Senate to 
pursue regulatory changes that will enable prerequisites to be developed for more content-area 
courses in order to direct students to successfully complete basic skills instruction first. 

The task force is also considering changes that would amend the "50% Law" (that requires at 
least 50% of college revenues to be spent on classroom instruction) to enable colleges to increase 
the number of counselors to help students understand and address their educational challenges. 
The student to counselor ratio in the system has been estimated at 1,900: 1 . 



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May 26, 2009 



Second only to quality instruction, I strongly believe access to counseling is the most important 
factor in student success. This is particularly true for low-income and first-generation college 
students. The Board has prioritized additional funds for counseling in its annual budget request 
for the last several years. 



18. How does the board evaluate the quality of student services in its colleges that would 
boost transfer rates? How can matriculation programs and counseling services better 
target student populations with the poorest outcomes? What can be done at the board 
level to improve colleges' efforts if the board determines it is needed? 

Transfer readiness and increasing transfer rates are a priority of the Chancellor and the Board of 
Governors. Through Accountability Reporting for California Community Colleges (ARCC), the 
Board, System and individual districts measure student progress and achievement with transfer 
to California State University, University of California, in-state private and out-of-state 4 year 
colleges and universities. 

Access to academic counseling is a critical factor in student success. This is particularly true for 
low-income and first-generation college students. I have firsthand experience with this issue. At 
USC's Annenberg School, where I work, we made a strategic decision to invest in academic 
counseling. We require graduate and undergraduate students to develop an academic plan and 
personally meet with their advisor at least once a semester. The results have been successful and 
the Annenberg School consistently has the top student retention among schools at USC. This is a 
significant investment as we have more than a dozen counselors for the 1,800 students at USC 
Annenberg. 

Currently, the community college system student to counselor ratio is estimated at 1,900:1 . The 
Board of Governors has prioritized additional funds for counseling in its annual budget request 
for the last several years. 

In addition, I support consideration of a modification to the "50% Law" that would acknowledge 
the importance of counselors and librarians to instruction and student success. We also need to 
develop and direct more resources to student counseling. 

The Chancellor's Office has begun implementation of comprehensive Student Services site 
reviews at colleges about to undertake their self-study for accreditation. The reviews are 
conducted by peer teams that include a Chancellor's Office staff person and representatives of 
several categorical programs (EOPS, CARE, DSPS, CalWORKs and Matriculation) led by a 
Chief Student Services Officer. 



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May 26, 2009 



The reviews focus on the effective deployment of student services on each campus to coordinate 
with instruction and focus on student success. The second full year of reviews has just been 
completed and about 40 colleges have now gone through the process. 



19. How is the Chancellor's Office assisting community colleges in meeting the educational 
and career planning needs of veterans returning to college? In your view, what 
assistance should the Chancellor's officer provide? Do campuses have sufficient 
resources to counsel and advise veterans? 

With the influx of new veterans returning from the wars in Iraq and Afghanistan, California's 
community colleges are experiencing increased veteran enrollments statewide. Many of these 
men and women enroll in community college for its open access, array of educational pathways, 
and the availability of support services to help them with their unique needs. 

Every college has a Veterans Office, sometimes within the Admissions Office and often within 
the Financial Aid Office. With 110 colleges covering the state geographically, the California 
Community College System is uniquely positioned to assist veterans to prepare for and achieve a 
successful post-service transition into civilian life. 

As part of the effort to help the colleges prepare for the anticipated increase in returning 
veterans, the Chancellor has been working with various stakeholder groups and colleges 
throughout the state to expand outreach programs, academic advising and financial aid advising 
to veterans. 

To increase the system's understanding of serving veterans with disabilities, the Chancellor is 
coordinating efforts with the California Association for Postsecondary Education and Disability 
(CAPED). In addition, the Chancellor has identified several effective community college 
programs that serve veterans and has promoted these models to other colleges. 

The System Office has worked diligently to increase the colleges' awareness of the needs of 
returning veterans, establish statewide communication mechanisms, and provide needed 
technical assistance. Among several steps, the Chancellor's Office has: 

1. Established a statewide directory of all Veterans Certifying Officials to increase 
communication with those who are often the first point of contact for these populations; 

2. Developed a Troops to College web page on the System Office website; 

3. Presented at conferences for California community college administrators and student 
service professionals on how to best meet the needs of these populations, including the 
sharing of innovative practices; 



Page 14 of 15 






113 



Geoffrey L. Baum 

California Community Colleges Board of Governors 

Senate Rules Committee Confirmation Hearing Question responses 

May 26, 2009 



4. Established a Veterans Regional Representatives committee to advise the System Office 
on veteran issues and local college needs for support and advocacy; 

5. Provided technical assistance to the colleges on the implementation of requirements 
outlined in Senate Bill 272 (Runner, 2008) that provides priority registration to recent 
veterans; 

6. Increased the number of students who are using their GI Bill benefits to attend a 
California community college from 15,600 in 2006 to 16,200 in 2007; 

7. Participated in the "Hire a Hero, Hire a Vet" effort to facilitate employment of veterans 
throughout California; and, 

8. Worked to secure a federal earmark to help fund the coordination of these efforts within 
the California Community College System. 

I have witnessed these efforts firsthand through programs at Pasadena City College. On May 15, 
2009, PCC hosted "The Road Home," a symposium to increase awareness and provide insight 
about the unique issues facing veterans transitioning from combat to college. The program was 
designed to foster greater collaboration among colleges, communities and veteran service 
providers. 

By raising awareness of veteran's issues and needs, PCC and other colleges are better prepared to 
facilitate veteran's re-entry to civilian and college life, and create a more supportive educational 
environment. The symposium was attended by more than 200 administrators, faculty and staff 
from a range of academic disciplines, counselors and staff from student service programs, 
College Veteran Program coordinators and administrators, Disabled Student Service Program 
staff, and instructors and coordinators of student success programs. 

These activities undertaken by the Chancellor's office have not been sufficiently funded, nor are 
there enough resources to counsel and advise all returning veterans. We will continue to 
advocate for additional resources at the local, state and federal level to serve veterans. 



Page 15 of 15 

114 



115 



COO 



Confirmation Hearing Appointment to the 
Board of Governors of the California Community Colleges 

Responses by Scott Himelstein to Questions by the Senate Rules Committee 



1 . Please provide a brief statement outlining the goals you hope to accomplish while 
serving as a member of the Board of Governors (BOG). How will you measure 
your success? 

I want to use my experience working in the Governor's office and with the 
Legislature to help create policy and funding streams that bring about a wide 
range of opportunities for students and benefits for California's economy. 
Specifically, I am interested in increasing the capacity and improving the quality 
of career and technical education in our system. I believe we need to improve the 
quantity and quality of our relationships with K-12 education and the business 
sector. Toward that end I have invited a coalition of California Chambers of 
Commerce to address the BOG in the summer on ways to further engage business 
organizations to promote and help resource career technical education. Now more 
than ever we need to find ways to leverage resources both human and monetary to 
create seamless pathways of study and career exploration from middle school 
through community college or other post secondary and career options. 

2. As a board member, what training have you received for your position? What 
conflict-of-interest training have you received? From whom do you seek advice 
on potential conflicts of interest? 

I participated in ethics training while a state employee in the office of the 
Secretary of Education. In addition, I have received similar training with my 
current employer, the University of San Diego. I also have been counseled by the 
Chancellor's Office staff regarding conflict of interest issues. If I have a concern 
regarding conflict of interest pertaining to the BOG I seek advice from the 
Chancellor's Office legal staff. 

3. In a difficult economy and at a time of state budget reductions, how do you, as a 
member of the Board of Governors, help the community colleges maintain their 
critical role in California's higher education system? 

We are in such a difficult time economically that I think my position on the BOG 
can best be used to promote how community colleges are a big part of the solution 
to the current situation we are in. We need to communicate to the public and those 
that are in need that community colleges are where you can turn for job retraining 
and those looking to upgrade skills or acquire certification. As cost at four-year 
universities continue to rise community colleges still remain the most accessible 
and affordable option for students pursuing higher education. Having been in a 
high profile position and with excellent contacts statewide I believe I can be a 

Senate Rules Committee 



i MAY 2 6 2009 

116 



considerable asset in accomplishing this objective. The more the public, business 
and students know about the value community colleges offer the better they will 
be able to maintain their critical role in California's higher education system. 

Should there be long-term community college student fee policy? If so, what 
should its key features be? 

I believe the policy adopted by the BOG in 1987 and reaffirmed numerous times 
since is the appropriate policy. The community college system was built on the 
premise that fees should be low and reasonably predictable thereby insuring 
student accessibility. The current policy reflects that stance and provides the 
opportunity for modest adjustments as economic conditions change. 

What are colleges doing to ensure that students maximize their use of federal aid 
for which they are already eligible? How is the board kept informed of districts ' 
outreach and technical assistance activities geared toward informing students of 
their financial aid opportunities? How do you weigh in if you believe more 
should be done? 

The BOG strongly supports strengthening financial aid information and outreach 
to students. 

With funding provided by the state, colleges have improved their financial aid 
outreach and delivery. Since 2003 colleges have seen significant increases in 
student completion of the Free Application for Federal Financial Aid (FAFSA). 
80% of students who receive a BOG waiver now also file a FAFSA. In addition, 
participation in the Pell Grant program has grown by 12.6 % over the past five 
years. 10% of the above mentioned state funding is used by the system office to 
support the "I Can Afford College" statewide financial aid media campaign that 
supports and complements local college outreach efforts. I think it is important 
that the BOG continue to receive regular reports on the status of these efforts and 
that we verify by questioning staff, students and administrators as to the efficacy 
of our financial aid outreach programs. 

The Legislative Analyst 's Office has recommended reducing the funding for 
credit-bearing physical education and enrichment classes to the regular noncredit 
rate. Given the current budget limitations, what are your views regarding this 
proposal? 

The magnitude of our fiscal situation requires that we look at all the ways we are 
allocating dollars for educational purposes. This specific recommendation I 
believe requires further study as lowering the funding rate would surely reduce 
the availability of classes to students. Many PE courses are linked to specific 
certificate and degree programs and are included in specific transfer pathways that 
lead into four-year programs. Some CCC PE courses are "adaptive'" and represent 
significant training and opportunity for the state's disabled population. I would 



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need to better understand how many students would be affected, the number of 
career paths possibly interrupted, as well as the impact upon the disabled student 
population before I could endorse or oppose this recommendation. 

7. How does the board monitor and determine whether community colleges are 
responding to local education and workforce training needs? In your view, what 
policy initiatives or programs are critical to supporting the capacity of 
community colleges to meet California's workforce needs? 

Since workforce development and training is such a significant piece of what 
community colleges provide, BOG members are regularly briefed by staff. We 
also hear from various constituent groups about the performance of the colleges in 
this area. The system Economic and Workforce Development programs are 
mandated to collect, report, monitor and evaluate each of the Industry Initiatives 
based on specific performance objectives. This information is annually reported to 
the Governor and the Legislature. Policy initiatives that I believe are critical in 
this area include the BOG oversight of SB70 dollars which require partnerships 
with local business, K-12 and higher education to create pathways into the 
workforce reflecting local needs. The BOG should continue to provide regional 
approval of new programs based on how well these programs address labor 
market demand. We should also ensure that the Chancellor's Office is continually 
monitoring emerging trends in workforce training and provide that information 
throughout the community college system. The BOG should also reach out to the 
business community. To that end I have invited a coalition of California 
Chambers of Commerce to address and interact with the BOG at our next 
meeting. This group is very interested in working with the BOG to find more 
ways to connect business and education to increase the capacity and improve the 
quality of CTE programs in the state. I believe groups like this can be very helpful 
to us in developing courses that are relevant and provide opportunities for 
students in the workforce. 

8. What is the Chancellor 's Office doing to encourage community colleges to work 
with their local high schools to ensure that students have increased access for 
career development and college preparation courses? What is the Chancellor 's 
Office doing to improve career pathways and linkages between K-12 and 
community college career development programs? 

The Chancellor's Office supports a number of statewide projects specifically 
designed to improve linkages with K-12 and provide greater coursework 
relevance as a strategy for increasing student completion and success. These 
programs include the Academic Senate's Career Pathways program, the Tech 
Prep program, Perkins Leadership grants for program quality improvement and 
Perkins funding to keep CTE programs up-to-date and reflective of industry 
needs. SB70 programs specifically require colleges to partner with their local 
K-12 districts in the development of CTE coursework as well as pathway design. 
However, I do believe the BOG and Chancellor's Office should take more of a 






118 



leadership role in providing support for and encouraging community colleges to 
work with their K-12 partners in the area of course articulation. We should also 
demand to the extent we can that the articulation be done in large regional areas 
encompassing numerous colleges and high schools thereby giving more choices 
and opportunities for students. This would also encourage economies of scale for 
businesses partnering with our system. 

9. Please provide a status update regarding the CTE Pathways Initiative. How does 
the board monitor progress? 

Since inception of the SB70 program over 400 grants have been awarded with 
every region of the state receiving at least one grant. Grants are awarded within 
five broad categories including Career Planning and Development and Career 
Pathways and Articulation, New Program Development, Expanding Business and 
Industry Engagement in CTE, CTE Teacher Recruitment and Professional 
Development and Capacity Building and Research Evaluation. The BOG receives 
regular reports from staff on the progress of these programs. I also keep myself 
informed by attending my local San Diego planning meetings of K-12 and 
community colleges partners to obtain, implement and evaluate SB 70 programs in 
our area. Outcomes to date include hundreds of new courses and enrollment 
opportunities for K-12 and CCC students, professional development for faculty 
and new industry partnerships. 

1 0. There have been reports that the implementations of the SB 70 CTE funds have 
been inconsistent across school districts and local community colleges. Have you 
found this to be the case and, if so, what can be done to improve collaborations to 
expand CTE programs in California? 

As with many statewide grant programs SB70 implementation will vary. In my 
short time on the BOG I do think the Chancellor's Office does a good job of 
monitoring implementation and assisting local colleges as problems arise. 
However, I have publicly expressed concern that sometimes it appears that too 
few colleges are actually competing for SB70 as well as other grants. I have 
encouraged the Chancellor's Office to re-double their efforts to communicate the 
availability of these opportunities and to provide technical assistance to colleges 
that might lack grant development infrastructure. I have also suggested that our 
system analyze what may prevent or deter colleges from applying for SB70 or 
other grants. 

11. Recently, the state has provided supplemental funding for nursing programs. How 
is the board kept informed of the effect of supplemental funding on the enrollment 
and retention of students in community college nursing programs? What 
direction is being provided to local community college districts regarding the 
sustainability of these programs when supplemental funding decreases or is 
eliminated? 



119 



The Chancellor's Office keeps the BOG informed of the effect of supplemental 
funding on the enrollment and retention of students in community college nursing 
programs. This is done through reports to the BOG and an annual report to the 
Governor and Legislature. There are 13,047 students enrolled in 74 colleges that 
operate registered nursing programs. Enrollments have increased by about 48% 
over the past 3 to 4 years due to the addition of new programs, and expansion of 
enrollment capacity through partnerships with health care industry and federal and 
state funded programs and grants. The BOG strongly encourages community 
colleges to pursue additional funding opportunities to sustain programs. Colleges 
are also encouraged to establish public/private partnerships to increase enrollment 
capacity and continue state of the art instruction. 

12. How should the community college system propose to align its educational career 
development programs with the needs of the green collar workforce? Is this an 
issue area on which your board provides guidance? If not, do you believe it 
should, and how? 

Although I believe the job skills and educational needs of the green collar 
workforce are still being defined I do believe this is an area in which the 
community colleges have begun to take a leadership role. An example being the 
alternative energy curriculum being developed by the Chancellor's Office in 
partnership with PG&E and SDG&E for students interested in the power and 
utilities industry. I believe local college faculty have been very aggressive in their 
efforts to align educational and career development programs with the needs of 
the green workforce in the areas of transportation, alternative fuels and 
construction technology. I have seen terrific examples in my own area of San 
Diego where our colleges work with the biotech industry on a number of green 
technology programs. The BOG has a great opportunity to encourage this 
alignment through its oversight of SB70 and other CTE/ workforce development 
grant funding. In consultation with faculty and others the BOG should look to 
make this a priority where appropriate. 

13. Is the board kept informed of districts ' efforts to obtain workforce development 
funds? If so, how? Is the Chancellor's Office providing direction to districts in 
their efforts to compete for funds? 

The Chancellor has issued three recent statewide information memoranda to all 
the colleges and districts outlining the funding opportunities and guidance 
regarding how to pursue the new funds. These communications also cited specific 
best practice examples of effective collaborations and partnerships with the local 
workforce investment boards. Although there may have been briefings regarding 
district efforts to obtain workforce development funds prior to my appointment I 
am not as knowledgeable about the status as I should be and will seek current 
information from staff. 






120 



14. What steps is the board taking to ensure that more community college students 
are completing basic skills classes? How does the board determine that colleges 
are taking sufficient steps to track students 'progress? Please provide us with any 
data the board has on completion of basic skills classes. 

The BOG has established as one its highest priorities in the System's Strategic 
Plan making improvements in ESL and basic skills. The BOG supports the 
redirection of $33.1 million toward efforts made by the colleges to achieve 
increased success of students who need to improve performance in ESL and/or 
basic skills. The BOG also approves an annual professional development grant of 
$1 .6 million. In order to receive the funds, each college must submit to the 
Academic Affairs unit and Action and Expenditure Plan as well as Expenditure 
Reports throughout the year. Academic Affairs tracks expenditure of funds 
allocated. 

Tracking student progress on a system- wide basis will be conducted through the 
required Framework for ESL and Basic Skill Accountability which will be 
submitted annually starting next year. Current data regarding completion and 
improvement rates of basic skills students are provided in the annual ARCC 
report. The numbers of students moving to higher levels from 05/06 to 07/08 
increased to 89,696. Reported on page 28 of the 2009 ARCC report are system 
rates for college level performance indicators which include those for ESL and 
basic skills. Basic Skills Course Completion 07/08 is 60.5%— Basic Skills Course 
Improvement 05/06-07/08 is 51.2%. 

15. What strategic direction is the board providing the Chancellor 's Office in 
dispersing funds specifically set aside for basic skills education? How does the 
board ensure that districts are using these funds to target the least-prepared 
students? 

The Budget Act language specifies detail regarding allocation of funds and the 
categories of expenditure that are permitted, all of which are focused on making 
improvements in ESL and basic skills. As stated previously, colleges must submit 
an Action and Expenditure Plan. This helps ensure that districts are using these 
funds to target the least prepared students. The BOG and Chancellor's Office 
have a stated goal of targeting all under prepared students. In addition, the BOG 
and Chancellor's Office have worked closely with the Academic Senate in the 
planning and implementation of the Basic Skills Initiative. The President of the 
Academic Senate also provides the BOG with periodic updates regarding the 
initiative. 

16. What is the board doing to encourage colleges to work with K-12 schools to align 
education standards, assessment, and course work that will better prepare 
students for successfully completing a community college education? 



121 



The BOG supports the community colleges participation in the American 
Diploma Project (ADP) which focuses on alignment of California high school 
standards, establishing benchmarks, and implementation of the Early Assessment 
Program (EAP) as a first step in addressing college readiness. Given that the CSU 
has used the EAP as an innovative and effective tool, the California Community 
College System has plans to implement the assessment in a similar capacity. As I 
stated in a previous question I also think the BOG should further encourage 
colleges to better articulate courses with their K- 1 2 partners, particularly in the 
area of career and technical education courses. This will better prepare students 
for a successful community college experience. 

1 7. Is the board encouraging colleges to use the existing EAP tests to assess college 
readiness? Do you believe there is a role for the board in addressing assessment 
and placement policies? If so, what should it be? 

The BOG supports SB946 and community college participation in the Early 
Assessment Project initiated by CSU and California high schools. Much work is 
underway and colleges will be applying to participate this spring. I believe the 
BOG should have a role in addressing assessment and placement policies. The 
BOG can prioritize funding in its annual budget request, consult and build 
consensus with stakeholders around this issue and provide leadership in 
encouraging colleges to participate in the Early Assessment Program. 

1 8. How does the board evaluate the quality of student services in its colleges that 
would boost transfer rates? How can matriculation programs and counseling 
service better target student populations with the poorest outcomes? What can be 
done at the board level to improve colleges ' efforts if the board determines it is 
needed? 

The BOG through the Chancellor's Office has implemented comprehensive 
Student Services site reviews at colleges about to undertake their self study for 
accreditation which occurs every six year. The reviews focus on the effective 
deployment of student services on each campus to coordinate with instruction 
and focus on student success. The second full year of reviews has just been 
completed and about 40 colleges have now gone through the process. The BOG 
can and should insist that services be improved if they are deemed inadequate and 
not as effective in boosting transfer rates. The BOG has prioritized additional 
funding for counseling in its annual budget request. 

19. How is the Chancellor's Office assisting community colleges in meeting the 
educational career planning needs of veterans returning to college? In your 
view, what assistance should the Chancellor 's Office provide? Do campuses have 
sufficient resources to counsel and advise veterans? 

My sense is that the BOG and Chancellor's Office needs to take a more active 
role in assisting veterans returning to community college. As such, the BOG has 



122 



recently established a Veterans subcommittee chaired by a member who is also a 
veteran. The subcommittee will explore ways the BOG can support individual 
colleges in successfully assisting veterans in all facets of the college experience. 
The Chancellor's Office participates in some very worthy efforts including the 
Troops to College Initiative launched in March 2006. In addition, the 
Chancellor's Office has worked directly with various stakeholders and campuses 
to expand outreach programs, academic advising and financial aid advising to 
veterans and service members on active duty. Staff have identified some 
particularly strong programs and have spread the word. A communication 
network for campus veterans program coordinators has been established through 
an email list-serv. Resources are very limited which is why the Chancellor's 
Office has written a proposal for dedicated federal funding to support campus 
efforts and statewide coordination of services for military and veteran students. 



123 



California Legislature 



MEMBERS 



SAMAANESTAD GREGORY SCHMIDT 

/ . . SECRETARY OF THE SENATE 

'l^.v 1 ' NETTIE SABELHAUS 

'■' '.;' -' APPOIKTMENTS DIRECTOR 



VTCE-CHAIR 

GILBERT CEDILLO 



ROBERT DUTTON 



JENNY OROPEZA 



Senate Rules Committee 

DARRELL STEINBERG 

CHAIRMAN 



May 5, 2009 



Lance T. Izumi 



Dear Mr. Izumi: 

The Senate Rules Committee will conduct a confirmation hearing on your 
reappointment as a member of the Board of Governors of the California Community 
Colleges on Wednesday, June 10, 2009. We request that you appear. The meeting will 
begin at 1:30 p.m. in Room 113 of the State Capitol. 

We have prepared the following questions to which we would appreciate your written 
responses. Please provide your responses by May 26 th . 



Goals and Responsibilities 

The California Community Colleges system provides educational, vocational, and 
transfer programs to more than 2.5 million students. It is the largest system of higher 
education in the world and is comprised of 72 districts and 109 campuses. 

1. Please provide a brief statement detailing what you hope to accomplish during your 
second term as a member of the Board of Governors. How will you measure your 
success? 

2. As a member of the board for the last four years, what do you consider to be the 
board's greatest achievements? In your view, what challenges confront the 
Chancellor's Office, as well as local community college districts? 

3. California's community colleges serve every region of the state. In a difficult 
economy and at a time of state budget reductions, how do you, as a member of the 
Board of Governors, help the community colleges maintain their critical role in 
California's higher education system? 

Student Fees and Affordability 



STATE CAPITOL • ROOM 420 • SACRAMENTO, CALIFORNIA 95814-4900 • (916)651-4151 • FAX (916) 445-059 



J 2 « 



Lance T. Izumi 
May 5, 2009 
Page 2 



California has no official policy for setting community college fees. Most recently, fees 
were reduced in January 2007 from $26 to $20 per unit. Revenues from student fees 
are consistently the lowest in the nation. The board administers an enrollment fee 
waiver program that waives the educational fees for all residents who demonstrate 
financial need. However, fees represent only about 5 percent of the total cost of 
attending community college. 

Students who do not qualify for the fee waiver program often are eligible for federal 
financial assistance that covers all or a portion of their fees — these include the federal 
Hope tax credit and the Lifetime Learning credit. Still, despite this funding, relatively few 
students take advantage of the federal tax credit/deduction programs. 

4. Should there be a long-term community college student fee policy? If so, what 
should its key features be? 

5. What are colleges doing to ensure that students maximize their use of federal aid 
for which they are already eligible? How is the board kept informed of districts' 
outreach and technical assistance activities geared toward informing students of 
their financial aid opportunities? How do you weigh in if you believe more should be 
done? 

6. The community college system offers a variety of recreational and personal 
enrichment credit courses to students, all funded at the same per-student funding 
rate (about $4,600 per full-time equivalent student in 2008-09). The Legislative 
Analyst's Office has recommended reducing the funding for credit-bearing physical 
education and enrichment classes to the regular noncredit rate. Given the current 
budget limitations, what are your views regarding this proposal? 



Preparing for the Future / Career Technical Education 

California's community colleges are uniquely positioned to help address the state's 
economic downturn. More than 70 percent of California's higher education students are 
enrolled in a community college, and almost 60 percent of all graduates of California 
State University and 30 percent of graduates of the University of California transferred 
from a community college. Moreover, the community college system's size and 
geographic distribution make it the only segment of higher education capable of 
delivering education and workforce training on the large scale necessary to address 
California's economic challenges. 



125 



Lance T. Izumi 
May 5, 2009 
Page 3 



According to a recent report by the Center for Continuing Study of the California 
Economy, during the next 10 years, 2.4 million California workers will retire. 
Communities throughout the state are benefiting from grants awarded to consortia 
consisting of community colleges and K-12 partners, including high schools, middle 
schools, and Regional Occupational Centers and programs. 

7. How does the board monitor and determine whether community colleges are 
responding to local education and workforce training needs? In your view, what 
policy initiatives or programs are critical to supporting the capacity of community 
colleges to meet California's workforce needs? 

8. Enhancing relevance in education and providing students multiple options for 
success are crucial for curbing dropouts and, at the same time, meeting the needs 
of our economy. What is the Chancellor's Office doing to encourage community 
colleges to work with their local high schools to ensure that students have 
increased access for career development and college preparation courses? What 
is the Chancellor's Office doing to improve career pathways and linkages between 
K-12 and community college career development programs? 

9. Governor Schwarzenegger signed SB 70 (Scott), Chapter 352, Statutes of 2005, to 
expand career technical education (CTE) instruction and enhance partnerships 
between secondary and postsecondary CTE programs. Please provide a status 
update regarding the CTE Pathways Initiative. How does the board monitor 
progress? 

10. There have been reports that the implementation of the SB 70 CTE funds have 
been inconsistent across school districts and local community colleges. Have you 
found this to be the case and, if so, what can be done to improve collaborations to 
expand CTE programs in California? 

1 1. Recently, the state has provided supplemental funding for nursing programs. How 
is the board kept informed of the effect of supplemental funding on the enrollment 
and retention of students in community college nursing programs? What direction 
is being provided to local community college districts regarding the sustainability of 
these programs when supplemental funding decreases or is eliminated? 

California is a national and international leader on environmental, natural resources, 
pollution prevention, and energy issues. As the green technology sector grows, there 
will be an increase in the demand of highly skilled, well-trained "green collar" workers. 

12. How should the community college system propose to align its educational and 
career development programs with the needs of the green collar workforce? Is this 
an issue area on which your board provides guidance? If not, do you believe it 
should, and how? 



126 



Lance T. Izumi 
May 5, 2009 
Page 4 



13. The Legislative Analyst's Office indicates that the American Recovery and 
Reinvestment Act will provide California with an additional $494 million in 
Workforce Investment Act funds for employment and training purposes. Community 
colleges will be able to compete for contracts to provide job training and other 
services to job seekers and employers. Is the board kept informed of districts' 
efforts to obtain workforce development funds? If so, how? Is the Chancellor's 
Office providing direction to districts in their efforts to compete for funds? 



Developing Basic Skills of Community College Students 

The development of strong basic skills is the foundation for student success at a 
community college. Currently, it is estimated that about 90 percent of incoming 
community college students are not proficient in transfer-level (university-level) math or 
English. Of those students who enroll in credit basic skills courses, only about 60 
percent successfully complete a basic skills English course, and just 50 percent of 
students successfully complete a basic skills math course. Since 2006-07 the state has 
provided additional funding to community college districts as part of the basic skills 
initiative. Districts can use these funds for services, such as curriculum development, 
additional counseling and tutoring, and the purchase of instructional materials for basic 
skills classes. 

14. What steps is the board taking to ensure that more community college students are 
completing basic skills classes? How does the board determine that colleges are 
taking sufficient steps to track students' progress? Please provide us with any data 
the board has on completion of basic skills classes. 

15. What strategic direction is the board providing the Chancellor's Office in dispersing 
funds specifically set aside for basic skills education? How does the board ensure 
that districts are using these funds to target the least-prepared students? 



Student Success 

One of the community colleges' strategic goals is to increase completion rates among 
community college students by promoting college readiness as early as possible. Most 
studies agree that incoming community college students should be assessed prior to 
enrolling in classes in order to learn whether they are on track for college-level work. 
Many studies cite California State University's early assessment program (EAP) as a 
model for measuring and communicating college readiness to high school students. 
Currently, there is no statewide EAP for high school students considering a community 
college. Last year, legislation was signed by the Governor — SB 946 (Scott), Chapter 
473, Statutes of 2008 — which expands EAP to include participation by prospective 
community college students, beginning in 2009-10. 



127 



Lance T. Izumi 
May 5, 2009 
Page 5 



16. What is the board doing to encourage colleges to work with K-12 schools to align 
educational standards, assessment, and course work that will better prepare 
students for successfully completing a community college education? 

1 7. Currently, all districts determine their own academic standards, which can vary in 
academic rigor from campus to campus. Assessment and placement are voluntary 
as well, as practiced at many colleges across the system. Is the board encouraging 
colleges to use the existing EAP tests to assess college readiness? Do you believe 
there is a role for the board in addressing assessment and placement policies? If 
so, what should it be? 

18. How does the board evaluate the quality of student services in its colleges that 
would boost transfer rates? How can matriculation programs and counseling 
services better target student populations with the poorest outcomes? What can be 
done at the board level to improve colleges' efforts if the board determines it is 
needed? 



Veterans Services 

Sixteen thousand of the 21,000 veterans and their dependents using Gl Bill benefits at 
California's public colleges and universities are in the California community college 
system. In 2006 Governor Schwarzenegger announced the Troops to College initiative 
to provide educational opportunities and assistance to active duty service members and 
veterans. Last summer, the Post 9/1 1 Gl Bill Reauthorization was signed into law, 
providing enhanced educational benefits for veterans. The California Postsecondary 
Education Commission has projected a possible enrollment increase of 34,000 veterans 
in private and public colleges and universities, with the greatest increase anticipated to 
be at community colleges. 

19. How is the Chancellor's Office assisting community colleges in meeting the 
educational and career planning needs of veterans returning to college? In your 
view, what assistance should the Chancellor's officer provide? Do campuses have 
sufficient resources to counsel and advise veterans? 



128 



Lance T. Izumi 
May 5, 2009 
Page 6 



Please send your written answers to these questions to Nettie Sabelhaus, Senate Rules 
Committee Appointments Director, Room 420, State Capitol, Sacramento, CA 95814. 

Thank you for your help. 

Sincerely, 



DARRELL STEINBERG 
DS.LG 



129 



ANSWERS BY LANCE T. IZUMI, MEMBER OF THE BOARD OF GOVERNORS OF 
THE CALIFORNIA COMMUNITY COLLEGES, TO QUESTIONS BY THE SENATE 
RULES COMMITTEE 

1. As the current president of the Board of Governors, I would like to finish my 
presidential term by continuing to provide stable, thoughtful and inclusive leadership. 
The new state chancellor, Dr. Jack Scott, will be presenting his goals for his 
chancellorship in July. I will work with him to implement the goals mutually agreed 
upon between him and the Board. Also, the Board-adopted system strategic plan gives a 
wide overview of the challenges that the community colleges face, and the responses of 
the Board of Governors and the Chancellor's Office. The extent to which the individual 
components of the plan are implemented will be a significant measure of the success of 
my continued tenure as a member of the Board of Governors. For example, one of the 
goals identified by the plan would enhance alignment of expectations between K-12 
schools and the colleges regarding what it takes for high school students to succeed in 
higher education. I have been a strong supporter on the Board of efforts such as the 
California Partnership for Achieving Student Success (Cal-PASS) program that brings K- 
12 and community college instructors together to align curricula and instruction so that 
students have the knowledge and learning necessary to make the transition from K- 1 2 to 
college. 

2. Providing statewide leadership is a key responsibility of the Board of Governors. This 
responsibility includes choosing the chancellor of the system when required. Within the 
last four years the Board of Governors was faced with the difficult task of conducting two 
intensive searches for chancellor of the statewide system. These searches were 
precipitated by the unexpected resignation of then-chancellor Mark Drummond. The 
Board decided to fill the position first with an interim chancellor while it conducted a 
nationwide search for a permanent chancellor. As the then- vice president of the Board, 
then-president Kay Albiani delegated to me the responsibility of overseeing the process 
of selecting the interim chancellor, which involved working closely with a recruitment 
consultant to set up the selection process. In order to maximize inclusiveness among all 
stakeholders within the community college family, stakeholder representatives were 
included in the process to give their advice and input. Through this consultative process, 
the Board eventually chose Dr. Diane Woodruff to be the interim chancellor. Dr. 
Woodruffs tenure as interim chancellor was widely praised by college leaders out in the 
field. She provided steady thoughtful leadership for more than a year while the Board 
sought a permanent chancellor. As president of the Board, I was in charge of the 
selection process of the permanent chancellor. Again, this responsibility involved 
working closely with our recruitment consultant to coordinate a nationwide search for 
candidates and set up a selection process. Once again, we involved stakeholders in the 
selection process to give advice and input. At the end of the process, the result was the 
choice and appointment of Senator Jack Scott as permanent chancellor. Senator Scott is 
universally respected inside and outside the system, and his proven leadership is what the 
colleges will need as they face the wide variety of challenges in the coming years. 



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The Chancellor's Office and the colleges face a myriad of challenges. With the state's 
ongoing budget crisis, the Chancellor's Office, which has seen cutbacks in personnel over 
the years, will have to do more with less, which is an increasingly difficult responsibility. 
Likewise, the colleges face increased demand for academic, career technical, and other 
education services at a time when resources are getting tighter. Providing these services 
and continuing as effective gateway institutions will be challenging in the current fiscal 
situation. In addition, the colleges must address critical issues such as the large number 
of students who must receive basic skills instruction in English and/or math. The system 
office has spearheaded a statewide Basic Skills Initiative designed to disseminate best 
practices to professionals in the field. This initiative has received accolades from 
participants. The Board of Governors and the Chancellor's Office are assisted in their 
efforts to meet the many and diverse challenges facing the system and individual colleges 
through the system strategic plan that was adopted in 2006. Implementation groups that 
include a variety of state and local officials plus stakeholder representatives have been 
busy ensuring that the plan is meeting its goal of addressing in a timely way the many 
problems and challenges that have been identified. 

3. As a member of the Board of Governors, I provide state-level leadership to assist the 
local colleges. For example, as president of the Board, in February I traveled to 
Washington, DC with Chancellor Scott and a delegation of California community college 
leaders to meet with key members of Congress regarding the then-pending federal 
stimulus package. We urged congressional leaders to allow flexibility to states to 
maximize the use of stimulus dollars for the benefit of the community colleges. I have 
also served as a member of the Joint Advisory Committee for Career Technical 
Education (JACCTE), which includes representatives of the Board of Governors and the 
state Board of Education. As a member of the JACCTE, I supported a re-examination of 
the formula by which federal career-technical dollars are divided up between K-12 and 
the colleges so as to ensure that the colleges receive a fair share of those dollars. Also, 
Board members, including myself, interface with state legislators to discuss the needs of 
the colleges and present the case for adequate funding for those needs. The Board also 
works with the Chancellor's staff to come up with budget proposals that address the 
needs of the colleges. As president of the Board, I help guide those discussions with staff 
so that optimal proposals are produced. 

4. Having served on the Board when fees increased to $26 a unit, the consensus among 
Board members, including myself, was that fees should be low and affordable because 
the community colleges are intended to be gateway institutions for students, many of 
whom come from lower-income backgrounds. The discussions at the time centered on 
the propensity for fee increases to occur unpredictably, such as when the state faced 
sudden fiscal problems, which created hardships for students in terms of planning their 
finances for college. The discussions emphasized that the longtime fee policy of the 
Board was that fee changes should be incremental and predictable so as not to create an 
undue burden on students. Any change to the current $20 fee level should, therefore, 
follow this recommendation. Further, financial aid should continue to be sufficient to 
cover fees for low-income students and revenues generated by increased fees should not 
supplant general fund support for the colleges. 



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5. During my tenure on the Board of Governors, the Board and the Chancellor's Office 
have supported the "I Can Afford College" media campaign designed to inform students 
and potential students of the financial aid that is available to them for community college. 
Television and radio commercials have been presented to the Board for its critique and 
input. The importance placed upon this outreach to students is underscored by the hiring 
of one of the individuals responsible for the "I Can Afford College" campaign as the 
communications head in the Chancellor's Office. The "I Can Afford College" campaign 
not only informs students of the BOG fee waiver, but is creating new materials to explain 
the new federal higher education tax credit. Unlike the Hope tax credit and the Lifetime 
Learning credit, which can be used only to offset fees and tuition, the new federal tax 
credit can offset the cost of books and supplies, which often are more costly for students 
than fees. The system has been grateful that the state has provided funding since 2003-04 
for financial-aid outreach efforts. The Board is pleased that nearly 80 percent of students 
receiving a BOG waiver also file a Federal Financial Aid form. The Board is kept 
informed of developments involving state and federal financial aid through regular 
reports made to the Board by Chancellor's Office staff at regular Board meetings. These 
reports allow discussion by Board members as to their ideas for improving financial aid 
outreach. 

6. 1 agree that it is important to keep evaluating how limited tax dollars are used, 
especially during times of fiscal crisis. In order to make informed decisions it is also 
important to understand exactly how dollars are being used. Not all physical education 
courses are recreational. Some of these courses are included in particular certificate and 
degree programs. Any funding changes regarding physical education should recognize 
these differences in physical education courses. 

7. During my tenure on the Board, we receive regular reports on workforce development 
issues from Vice Chancellor Jose Millan, who is the person responsible for overseeing 
that subject area. Through his reports we are informed about workforce training needs 
and how the Chancellor's Office and the local colleges are addressing those needs. 
Addressing those needs often take place within the framework of the system's strategic 
plan. At the Board's most recent meeting, we received a report on the implementation of 
six workforce-development goals contained in the system strategic plan: innovative 
practices in workforce education, coordination of statewide workforce programs and 
policies, career pathways between academic and career fields, regional collaboration 
through multi-agency networks, and defining and addressing long-range economic and 
workforce trends. These goals are key in supporting the capacity of community colleges 
to meet California's workforce needs. In terms of, for example, coordination of statewide 
workforce programs and policies, the Chancellor's Office is partnering with state 
agencies, using local community colleges as service providers, to increase and retool 
career technical education programs. These partnerships will support community 
colleges in their delivery of education and training services. For instance, a collaboration 
is being developed with the Energy Commission to develop curriculum and train workers 
for employment in energy-efficiency-related areas. 



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8. The Cal-PASS program, which has been supported by the Chancellor's Office, and 
which I mentioned in my answer to Question #1, seeks to put K-12 and community 
college instructors together to ensure that students are more successful in their access to 
and readiness for the variety of programs in higher education. Cal-PASS tracks the 
performance of career-technical-education students and their outcomes to help inform the 
linkages between K-12 and community college career development programs. Cal-PASS 
has also been named the statewide career-technical-education data provider under the 
federal Perkins law. Cal-PASS is also currently working to embed contextualized 
assignments from career technical education courses into English and math courses, and 
to embed in career technical education courses the English and math elements that are 
basic to all curricula. The process will create aligned curricula outcomes so that students 
will be prepared for the next level course and postsecondary work once they leave high 
school. Recently, Cal-PASS contracted with the Employment Development Department 
to track students to the work world. This data will be used to improve career technical 
education practices among high schools and colleges. Also, the Chancellor's Office 
supports a variety of programs, such as the Career Pathways program and various federal 
Perkins programs that are designed to improve the linkages between community colleges 
and K- 1 2 schools. 

9. The Legislature has generously increased funding for CTE Pathways Initiative from 
$20 million in 2005-06 to $58 million in 2008-09. During that time more than 400 grants 
have been awarded. In the 2008-09 fiscal year, approximately 100 grants were awarded 
for career planning and development and career pathways and articulation, approximately 
55 grants were awarded for new program development, approximately 20 grants were 
awarded for career-technical-education teacher recruitment and professional 
development, approximately 10 grants were awarded for expanding business and industry 
engagement in career technical education, and one grant went to capacity building, 
research and evaluation. As a result of the grants, hundreds of new courses and 
enrollment opportunities have been created for K-12 and community college students. 
Also, faculty professional development and industry connections to occupational 
preparation programs have increased. The Board monitors SB 70 through the approval of 
grants and through a contracted for a study by WestEd on the effectiveness of the grants. 

10. There has been a transition in the way SB 70 funds have been used since the law was 
enacted. In order to have a greater initial impact, funding in the first years of the program 
was targeted at particular programs that could be used as models for emulation. These 
programs, which were selected through a competitive process at the Chancellor's Office, 
already had much of the infrastructure and partnerships in place in order to make a quick 
impact. Because of this focus, there may have been the appearance of inconsistent use of 
funding across districts and colleges. Currently, the competitive grant process serves 
programs in a larger cross-section of the state. These programs are organized into sub- 
regions that bring together community colleges, the business community and K- 1 2 
schools. 

11. The Board is updated at its regular bimonthly meetings by Chancellor's Office staff 
on CTE issues, including issues involving nursing programs. The Board is also 



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responsible for the distribution of supplemental funds for nursing projects. The 
Chancellor's Office issues a yearly report to the Governor and the Legislature on the 
results and funding of the nursing initiative. With the prospect of supplemental funding 
being curtailed or ended, the Board has urged colleges to establish private-public 
partnerships and other funding options in order to ensure the continuance of programs. 

12. Defining and addressing long-range economic and workforce trends is one of the key 
goals in the system's strategic plan. Certainly, the advent of green-collar industries and 
jobs must be addressed in meeting this goal. An action plan group for this particular goal 
in the strategic plan has been established. Sixty regional, multi-regional or statewide 
industry reports on high growth, economically critical industries or occupations have 
been collected. Partnership events have been held to bring faculty and workforce 
professionals together with industry to discuss solutions to workforce issues. One 
partnership event was held for faculty, staff, and industry partners to present an overview 
of the green economy. The newly formed State Green Jobs Council subsequently used 
information resulting from this partnership event. A study by the Lawrence Berkeley 
Labs and PG&E found eight occupations in energy efficiency that require community 
college training. These study results are being used to begin and expand community 
college programs. 

13. As the disbursement and use of ARRA funds take place, the Board will be informed 
by regular staff reports at its bimonthly meetings about the efforts of districts to obtain 
these funds. The Chancellor has issued three statewide memoranda to colleges and 
districts informing them of the funding possibilities arising from ARRA and direction on 
how to obtain these new funds. These memoranda also cite best practice examples of 
effective partnerships with local workforce investment boards (WIB). Where there has 
been little or no collaboration between WIBs and colleges, the Chancellor's Office is 
providing technical assistance to foster partnerships. Also, the Chancellor's office is 
working with the Administration to monitor Workforce Investment Act funds contained 
in special initiatives such as Allied Health Care programs and the Green Clean Initiative. 

14. The system's strategic plan acknowledges that a majority of entering community 
college students requires basic skill instruction. The plan also says that basic skills is the 
foundation for student success. The Board supports the Basic Skills Initiative (BSI), 
which is designed to improve the success of students in basic skills classes. BSI works 
by disseminating information on effective basic skills practices and improving 
professional development for teaching of basic skills. BSI holds numerous workshops 
for instructors, staff and administrators in all parts of the state to accomplish its 
objectives. At these workshops, faculty are instructed on how to use assessment tools, 
data collection, interpretation, and reporting to enhance student outcomes. Tracking 
student outcomes on a system-wide basis will be included in a supplemental ARCC 
report next year. The report will include student headcount broken down by subgroups, 
number of sections of basic skills and ESL offered, number of non-exempt students who 
are assessed, persistence of basic skills students from fall to spring and fall to fall, and 
student progress based on the tracking of a cohort of students over eight years through 
basic skills and ESL sequences to degree applicable courses. The ARCC report also 



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includes data for each college that shows basic skills course completion rates and ESL 
and basic skills improvement rates (improvement is defined as moving from one level of 
basic skills to higher level within three years). System-wide, the basic skills completion 
rate in 2007-08 was 60.5 percent, while the basic skills improvement rate from 2005-06 
to 2007-08 was 51.2 percent. 

15. For colleges to receive funds targeted for basic skills education they must submit an 
action and expenditure plan and reports that show where the expenditures have been 
made. Allowable expenditures include program and curriculum development, student 
assessment, advisement and counseling services, supplemental instruction and tutoring, 
articulation, instructional materials and equipment, and related programs. Each college 
should be targeting each and every basic skills student. In terms of the Board advising 
the Chancellor on the disbursement of basic skills dollars, there is a steering committee 
on the system's Basic Skills Initiative, and two members of the Board of Governors sit on 
that steering committee 

16. As mentioned earlier, one of the most promising projects for aligning standards, 
assessment and coursework is the Cal-PASS system devised by experts in the Grossmont- 
Cuyamaca Community College District, and which has been supported by the 
Chancellor's Office. Cal-PASS tracks student progress from kindergarten to attainment 
of a bachelor's degree. Since, during their educational careers, students transition from 
one system to another, expectations of adequate performance changes from system to 
system. Cal-PASS has created 66 regional professional learning councils with 1,200 K- 
12 and higher education faculty to align expectations between systems in order to 
facilitate greater student success. These professional learning councils are now working 
on aligning curricula outcomes in English and math from the 1 1 th grade through transfer 
level at the community colleges. The curricula alignment process involves discussing 
outcomes and entrance competencies, and the creation of materials needed to get high 
school students college ready. Aligned curricula should lead to increased student 
transition and reduced remediation as they move from one grade level to the next and 
when they move from secondary to postsecondary institutions. For example, at one Bay 
Area school district, Cal-PASS-supplied data allowed the local professional learning 
council to recommend a summer bridge program in math and chemistry that ended up 
increasing the preparation level of student participants, with participants earning higher 
chemistry grades than comparison groups of non-participating students. 

In addition, the Board supports the participation of colleges in the American Diploma 
Project, which is designed to assist California policymakers reach agreement on a 
common standard of college readiness. One of the key tools in this effort is the Early 
Assessment Program (EAP), a set of questions added onto the 1 l th -grade California 
Standards Test that measure college readiness in English and math. The CSU uses the 
EAP in its placement process, and there are plans for the community college system to 
use the EAP in a similar fashion. 

17. As mentioned in the previous answer, the Board and the system supports the EAP, 
and community college participation in the EAP is being worked out. The Board has 



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recognized the deficiencies of the varying standards, assessment tools, and placement 
policies used by colleges. In response to the deficiencies resulting from this hodge- 
podge, the Board passed a resolution a couple years ago that pushed for a uniform 
common assessment to be used for placement purposes. Then-interim chancellor Diane 
Woodruff put together an action-planning group, which included representatives of the 
Legislative Analyst's Office, to address assessment and placement issues. One of the key 
problems resulting from the varying assessment and placement policies is that students, 
even if they test at a level showing that they need basic-skills instruction, are not required 
to take basic-skills courses before they take subject-area courses. The action-planning 
group is examining regulatory change proposals that would direct students to basic-skills 
courses before they take subject- area courses. 

18. In order to evaluate the quality of student services, the Chancellor's Office conducts 
student- services site reviews that are scheduled to undergo their self-study in preparation 
for accreditation. Around 40 colleges have gone through the review process, which 
focuses on issues such as the effective use of student services at each campus to improve 
student success. Counseling services are stretched thin throughout the system. Currently, 
the student to counselor ratio is around 1 900 to 1 . The Board has been concerned that 
the relative lack of counselors creates a barrier to success for many students. In response, 
the Board has endorsed additional funding for counseling in its budget requests in the last 
several years. The action-planning group mentioned in Question #17 is also reviewing 
options for increasing the number of counselors. Increasing the number of counselors 
will allow greater flexibility for deploying those counselors in a way that can address the 
needs of students who are experiencing difficulty in their schoolwork. 

19. The Board is very concerned that the needs of returning veterans be addressed. At a 
recent regular Board meeting, student services vice chancellor Linda Michaelowski put 
together an information panel on veterans issues that presented an array of information to 
the Board on the needs and challenges facing veterans re-entering the classroom. In 
response, as president of the Board, I just appointed member Bobby McDonald, a 
longtime champion of veterans issues, as the chair of the Board's veterans committee. 
Mr. McDonald will take the lead on interfacing with policymakers and veterans in order 
to assist the Board make its decisions as they relate to veterans. In addition, the 
Chancellor's Office had participated in Governor Schwarzenegger's Troops to College 
initiative, which promotes opportunities and assistance to active-duty members of the 
armed services, veterans, and their dependents, and which addresses issues such as 
outreach to veterans, admissions and financial aid, best practices, partnerships, and 
marketing and communications. Also, the Chancellor's Office has worked with colleges 
and stakeholder groups to expand outreach efforts, counseling, and financial-aid advising 
to members of the armed services and veterans. The Office has also informed colleges of 
identified model programs such as support teams of veterans that assist returning veterans 
transitioning back to college and education fairs at military installations. In addition, the 
Office has established a communications network for veterans program coordinators and 
has facilitated the sharing of effective practices. Finally, the Chancellor's Office is 
working with the California Association for Postsecondary Education and Disability to 
address the needs of disabled veterans. Because resources in the Chancellor's Office and 



136 



at the colleges are very limited with regard to assisting veterans, the Chancellor's Office 
has put together a proposal for dedicated federal funding to support campus efforts aimed 
at veterans and statewide coordination of services for veterans and armed-services 
members attending community colleges. The Chancellor's Office can assist colleges by 
serving as a clearinghouse for effective practices and programs and coordinating outreach 
materials. 



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SENATE RULES COMMITTEE 



STATEMENT OF GOALS 

1. Please provide a brief statement of goals that you hope to accomplish 
while serving as a member of the California Community Colleges Board 
of Governors? 

I established four basic goals in my first term and I would like to continue and expand on 
those listed below. I would also like to add two more goals. 

A) I would like to work with the community colleges to improve the basic skill levels 
of our students. Re-establishing the value of an Associated of Arts Degree and 
what it would mean in the real world. 

B) I think we need to expand our course offerings in the area of vocational education. 
These courses need to meet the needs of business in California. 

C) Distance education has a great value to students, especially those who reside in 
rural locations. I believe we need to expand our resources for this section of our 
curriculum. 

D) The availability and cost of textbooks have an impact on student achievement and 
their ability to attend community college. Costs are spiraling upward and creating 
a hardship on our students. I would like to work towards a legislative solution to 
this problem. 

E) I was appointed to the Foundation of California Community Colleges and I want 
to continue to work towards the successful placement of hundreds of scholarships 
for students throughout this system through the Osher Foundation Grant. 

F) I would like to work with the legislature to establish a stable year to year funding 
source for community colleges. 

A portion of some of these goals have been accomplished, but the true 
measure will be the ongoing work I can do to bring consensus among my 
fellow board members as well as the systems office to prioritize and form 
action plans to accomplish these goals. 



Senate Rales Committee 
HAY ] 2 200? 
Appointments 



138 



2. As a member of the board for the past three years, what do you 
consider to be the board's greatest achievements? In your view, what 
challenges confront the Chancellor's Office, as well as local community 
college districts? 

The greatest achievements are: 

- The hiring of Jack Scott as our new Chancellor brings stability to our board and 
he will provide goal oriented leadership that will allow us to move forward with 
greater continuity. 

The challenges are: 

- The challenges for this office will be their ability to attract qualified personnel to 
work in the systems office. 

The ability to align appropriate course work and technology to meet the future 
needs of California's labor force. Therefore, appropriate workforce development 
strategies for future programs along with basic skills learning will be a critical 
goal for this office. 



3. California's community colleges serve every region of the state. In a 
difficult economy and at a time of state budget reductions, how do you, 
as a member of the Board of Governors, help community colleges 
maintain their critical role in California's higher education system? 

It appears to me that we need to work with all stakeholders and continually 
prioritize what the needs of our students are and how we can manipulate existing 
resources to meet those needs. 

Student Fees and Affordability 

4. Should there be a long-term community college student fee policy? If 
so, what should its key features be? 

I believe there needs to be a long-term policy reflecting community college fees. 
This could be established by simply reflecting the true cost of education and 
monitoring a standard such as the consumer price index. This would allow for an 
automatic increase, in assessment of fees tied to factors outside of the political 
arena and more closing aligned with practical business economics. 



139 



5. What are colleges doing to ensure that students maximize their use of 
federal aid for which they are already eligible? How is the board kept 
informed of districts' outreach and technical assistance activities geared 
toward informing students of their financial aid opportunities? How do 
you weigh in if you believe more should be done? 

- The board is involved in a reach out campaign for students called"I Can Afford 
College". We continue to push toward the districts the need for education of 
potential incoming students to investigate the opportunities of federal Financial 
Aid such as BOG. 

The board is kept apprised of these activities through the Systems Outreach 
Department of the Chancellors Office. Any ongoing problems or needs for 
support to specific districts or community colleges are brought to the board's 
attention. 

This issue is part of the established strategic plan of the board. We review this 
plan on a regular basis and maintain a high level of vigilance towards its success. 
This is also part of the mission of the Foundation for Community Colleges of 
California, in cooperation with the Osher Grant money. 



6. The LAO has recommended reducing the funding for credit-bearing 
physical education and enrichment classes to regular noncredit rate. 
Given the current budget limitations, what are your views regarding 
this proposal? 

I believe that we should not rush to cut these programs. Having said this, I also 
believe that many classes for personnel enrichment could be removed from the 
credit-based FTES format and provide a community service fee based enrichment 
courses. This would allow a college to provide needed courses as a fee based 
noncredit course and thus we continue to serve the community 
Additionally, we need to continue to offer credit-based physical education 
coursework to support students that moving towards a degree program or course 
work that may support specific certificates. 



140 



Preparing for the Future / Career Technical 
Education 

7. How does the board monitor and determine whether community 
colleges are responding to local education and workforce training 
needs? In your view, what policy initiatives or programs are critical to 
supporting the capacity of community colleges to meet California's 
workforce needs? 

The board is continually briefed about the Economic Workforce Development 
(EWD) programs. The Systems Office requires a five year strategic review to 
access the economic impacts and return on investments to assist in whether 
ongoing funding should be provided. 

Our policy should be to continually invest in areas that support local employer 
needs for a changing workforce. In part we can access data to provide this 
information through the Accountability Reporting for Community Colleges 
(ARCC) along with systems data provided for specific colleges by EWD. 



8. What is the Chancellor's Office doing to encourage community 
colleges to work with local high schools to ensure that students have 
increased access for career development and college preparation 
courses? What is the Chancellor's Office doing to improve career 
pathways and linkages between K-12 and the community college career 
development programs? 

The Board of Governors has established increase access as part of their strategic 
plan. Within this plan we have identified Partnerships for Economic and 
Workforce Development as a measurable goal. 

To improve career pathways and linkages between K-12 and community colleges 
we have established the Academic Senate Career Pathway program and the 
Perkins Leadership Grant program for quality and improvement. 



9. Governor Schwarzenegger signed SB 70 to expand career technical 
education instruction and enhanced partnerships between secondary 
and postsecondary CTE programs. Please provide a status of the 
update regarding the CTE Pathways Initiative. How does the board 
monitor progress? 



141 



The program began in 2005 and through present day the funding has been 
increased to $58 million dollars with over 400 grants awarded. Approximately 
half of these grant monies go toward local communities to strengthen programs 
and the remaining 50% to capacity building activities. This includes professional 
development. 

Monitoring of these monies and programs occurs through the Systems Office. 
The Boards of Governors are provided continual updates as to the progress and 
performance of these programs. 

10. There have been reports that the implementation of the SB 70 CTE 
funds have been inconsistent across school districts and local 
community colleges. Have you found this to be the case and, if so, what 
can be done to improve collaborations to expand CTE programs in 
California? 

Initially there were some inconsistencies in how the CTE funds were 
implemented. However, recently the focus of the competitive grant program has 
been modified to support a greater cross section of the state. These projects are 
called CTE-Community Collaboratives. 

11. Recently the state provided supplemental funding for nursing 
programs. How is the board kept informed of the effect of 
supplemental funding on enrollment and retention of students in 
community college nursing programs? What direction is being 
provided to local community college districts regarding sustainability of 
these programs when supplemental funding decreases or is eliminated? 

The Board of Governors is kept informed through the Systems Office and their 

reporting by the colleges that institute these programs. The board provides an 

annual report to the Governor and Legislature as to compliance with the State 

Budget Act. 

Colleges are aware that this funding is not permanent. The board supports the 

start up capitol required to establish these programs and provides guidance to the 

community colleges to create public-private partnerships to increase nursing 

enrollment and support for these programs. 

With over $ 50 million dollars having been spent on these nursing programs, the 

benefits include that over 74 community colleges are participating with more than 

13,000 full-time equivalent students are enrolled. 



142 



12. How should the community college system propose to align its 
educational and career development programs with the needs of the 
green collar workforce? Is this an issue area on which your board 
provides guidance? If not, do you believe it should, and how? 

For California to remain competitive in the global workplace they will require 
training in technical education as it addresses the green sector. 
The Board of Governors encourages the community colleges to format course 
work with our EWD and Workforce Development initiatives. 

13. The LAO indicates that the American Recovery and Investment Act 
will provide California with an additional 494 million in Workforce 
Investment Act funds for employment and training purposes. Is the 
board kept informed of districts' efforts to obtain workforce 
development funds? If so how? Is the Chancellor's Office providing 
direction to districts in their efforts to compete for funds? 

The Chancellor's Office has been very proactive in keeping the board and the 

community colleges apprised of the availability of these funds. The Chancellor 

has issued three statewide information memorandas outlining funding 

opportunities. 

The Chancellor's Office continues to encourage colleges to work closely with 

local government agencies and form workforce partnerships to assist in 

collaborative efforts to secure these funds. 

Developing Basic Skills of Community College Students 



14. What steps is the board taking to ensure that more community 
college students are completing basic skills classes? How does the board 
determine that colleges are taking sufficient steps to track students' 
progress? Please provide us with any data the board has on completion 
of the basic skills classes. 

The Board of Governors has established as one of its highest priorities within the 

strategic plan to make ongoing improvements in ESL and basic skills. 

The board has redirected up to S3 3. 1 million towards efforts to increase the 

success of these programs. 

Tracking of the students progress on a system wide basis will be monitored 

through the ESL and basic skills framework and reported annually in the ARCC 

report. 

Any data to support these results will also be reported in the annual .ARCC report. 



143 



15. What strategic direction is the board providing the Chancellor's 
Office in dispersing funds specifically set aside for basic skills 
education? How does the board ensure that districts are using these 
funds to target the least-prepared students? 

The colleges must submit an action and expenditure plan within the appropriate 
categories that are outlined for the expenditures. Some of these are program and 
curriculum planning and development, student assessment, advisement and 
counseling services, supplemental instruction and tutoring, articulation, and 
instructional materials and equipment. 
- Additionally, the board has directed the Chancellor's Office to target 
underprepared students. 



16. What is the board doing to encourage colleges to work with K-12 
schools to align educational standards, assessment, and course work 
that will better prepare students for successfully completing a 
community college education? 

Early student assessment at the K-12 level is critical in evaluating and 

establishing college and career readiness. 

The board has focused on the ADP Program to help establish standards among all 

of California's education institutions. 

This form of assessment has proven to be an effective tool for transitioning 

students to community college readiness and assisting in preparing them for 

higher educational opportunities. 

17. Currently, all districts determine their own academic standards, 
which can vary in academic rigor from campus to campus. Assessment 
and placement are voluntary as well, as practiced at many colleges 
across the system. Is the board encouraging colleges to use the existing 
EAP test to assess college readiness? Do you believe there is a role for 
the board in addressing assessment and placement policies? If so, what 
should it be? 

Since being appointed to the board we have been focused on student assessment 
and course placement as a critical component in promoting student success. 
Yes, for this reason the Board of Governors is in support of SB 946 which will 
continue to assist us in early assessment of basic skills for students. As much as 
70% of the students entering into community college lack some basic skills. 



144 



18. How does the board evaluate the quality of student services in its 
colleges that would boost transfer rates? How can matriculation 
programs and counseling services better target student populations with 
the poorest outcomes? What can be done at the board level to improve 
colleges' efforts if the board determines it is needed? 

We are in the second full year of review as a result of the board's strategic plan. 
The Systems Office has implemented comprehensive student site reviews. These 
reviews are conducted by peer teams that include a staff member of the 
Chancellor's Office. 

The reviews focus on effective deployment of student services on each campus 
and to coordinate with instruction and student success. 



Veterans Services 

19. How is the Chancellor's Office assisting community colleges in the 
meeting the educational and career planning needs of veterans 
returning to college? In your view, what assistance should the 
Chancellor's Office provide? Do campuses have sufficient resources to 
counsel and advise veterans? 

At our May meeting the Board of Governors established a standing committee to 

specifically address the needs of our veteran's. 

The Chancellor' s Office has been directed to continue working with the 

"California Troops to College Initiative". 

The Chancellor's Office continues to work with various stakeholders and 

campuses throughout the state to improve awareness and availability of services. 

Additionally, the Chancellor's Office has written a proposal for dedicated federal 

funding to support campus efforts with statewide coordination of services for 

military and veteran students. 



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H&ob' Mo 






— <o --» 



Goals 

/. Please provide a brief statement of goals you hope fo accomplish while serving on 
the hoard. How will you measure your success? 

I am very honored to have been asked to serve on the Board of Regents. My 
son graduated from UC Santa Barbara and I am honored to be able to give back 
to the institution. 

I am joining the Board at a very difficult moment. The current economic crisis is 
straining the very fabric of the institution and threatens to tear apart some of the 
State of California's promises to its young people under the Master Plan. 
I would like to promise to you that my fellow Board members and I will be able to 
continue to deliver UC students the best education possible, that UC will continue 
to be the best public research institution in the world. I would like to promise to 
you that my fellow Board members and I can ensure that UC remains accessible 
and affordable to all qualified students. And I would like to promise that UC will 
remain an economic engine for the development and growth of the State. 
Instead, I can only offer my assurance to you that we will do all in our power to 
deliver on these goals. The Board of Regents will need your help to accomplish 
these goals. 



2. You have been assigned to serve on the Committee on Investments. What 
specifically would you like to accomplish while serving on this committee? 

[Note: Need further conversation or notes to personalize this answer] 

As you know, the Committee on Investments is responsible for protecting the 
assets of the University through proper allocation and providing an investment 
return in excess of the rate of inflation. Both will be a challenge in the current 
economic environment. 

Simply put, I want to protect the future of the University. I will work to ensure that 
every UC employee is able to retire with the benefits promised. Due to the global 
financial crisis, the University's investments have suffered huge losses that are in 
line with those experienced by comparable institutions, organizations, and the 
market in general. However, my understanding is that, even though UC has not 
had employee or employer contributions into the retirement system for 19 
years — something that distinguishes it from comparable pension systems — it is 
remarkable that the University has been able to sustain paying out about $140 
million per month, on an ongoing basis, in pension benefits to its retirees. On 
this score, we will need the State's help because now, for the first time in 19 
years, we are asking UC employees and the State of California to begin making 
contributions to the University's retirement plan in order to ensure its solvency. 



Seaafe Usiles Committee 

m 2 6 2009 



^pptimtme&ts. 



146 



I also want to ensure that the University remains able to attract the staff and the 
faculty necessary to continue the tradition of excellence, and a healthy retirement 
and healthcare program are essential to this. To accomplish these goals, the 
Investments Committee will need to maximize the returns with a strategy that 
emphasizes stability, safety and liquidity. I trust my experience in business will 
be an asset to the Committee in this regard. 



3. The university plays a critical role in every pari of California 's cultural and 

economic life. In a difficult economy and with significant stale budget reductions, as 
a regent, how do you help L/C sustain its critical role? How are you able to focus on 
this important "big picture " issue as a UC regent? 

To characterize this moment in California's as well as our nation's history as "a 
difficult economy" is an understatement. Federal Reserve Chairman Ben 
Bernanke has said that this is the worst financial crisis in the world since the 
1930s. The impact of the world's, nation's, and state's current economic crisis 
will be a tremendous challenge for the University — this year, next year, and into 
the foreseeable future. 

As you well know, the Governor has proposed a net budget reduction to UC of 
$322 million, or 10%, in 2009-2010. Together with the state's underfunding of 
our student enrollment growth and inflationary cost increases, this means UC's 
total budget gap is $531 million in 2009-10. The crisis will produce cuts in 
service of unprecedented levels. 

As a Board, we are likely to be forced to consider further enrollment reductions 
that would make it harder for students to be admitted; cuts in academic 
programs, reductions in course offerings and increases in class size; cuts in 
student services ranging from academic and career counseling to student mental 
health services; possible pay reductions or furloughs for staff; and possibly even 
higher student fees in future years. There are only hard choices ahead. 

However, I appreciate that the question recognizes that the University has a 
critical role to play. I agree. The University is a key ingredient in our budget 
solution and should be viewed as such. UC represents an investment in 
California's future. The human infrastructure of this State is the future driver of 
economic growth in California and we, as a State have underinvested in human 
capital. 

As a Regent, I must keep the larger objective before me: to preserve and sustain 
the University as a means of preserving and sustaining the future promise of 
California. 



147 



The University's role in helping to develop a pool of workers who can meet the 
state's, as well as the nation's, needs is critical. When faced with these difficult 
questions and decisions as a Regent. I strive to ask the right questions, absorb 
and balance all the relevant information, then evaluate, to the best of my ability 
based on the best available information, how to do what is in the best interest of 
the University given its mission and priorities in meeting the state's research, 
teaching, and public service needs. Among the 220,000 students currently 
studying on one of the ten UC campuses, about 13,000 of them will be the next 
generation of doctors, nurses, and health practitioners. UC produces 
entrepreneurs, engineers, scientists, writers and artists. For 14 years running, 
the University of California has been the nation's leading university in the number 
of patents issued by the U. S. Patent Office. UC is creating new technologies, 
new products, new companies, and new jobs for California. 



4, Some 120,000 young people drop out of high school and middle school annually in 
California. What role, if any, should UC play in turning /he dropout crisis around'/ 
How does (he hoard weigh in on what should be done 7 

While the primary role of the University is to educate and train undergraduate, 
graduate, doctoral and post-doctoral students, the Regents also recognize our 
responsibility to ensure that the entire public education system in California is 
meeting its responsibility to produce young people who are either ready to 
proceed to college work or prepared for a job once they graduate. The high 
dropout rate in our secondary schools threatens not only the pipeline for 
successful college completion, but also the future economic vitality of the State. 
Thus, it is no secret that California's middle and high school dropout rate is a 
problem that warrants the engagement and attention of all educators, policy 
makers and parents. 

I asked the Office of the President to provide me with some information on this 
topic. I understand that University of California researchers are thoroughly 
engaged in not only solving this problem, but understanding the key influential 
factors in dropout rates. According to University staff, at UC Santa Barbara, the 
California Dropout Research Project recently performed a review of past 
research to identify significant individual and institutional predictors of high school 
dropout or graduation. Four key factors predicted whether students would drop 
out or graduate: 1) educational performance, especially grades; 2) behaviors, 
such as student engagement; 3) attitudes, specifically how far a student 
expected to go in school; and 4) background, most significantly participation in 
preschool. According to the study, several other factors, such as families and 
schools, were predictors of both dropout and graduation rates. 

I am pleased that, under President Yudof's leadership, UC is engaging in 
collaborative efforts with CSU and the California Community Colleges to make 
certain all of the segments are working together on this issue. 



148 



The role of the Board is to set policy and oversee the administration's 
implementation of that policy. The Board has affirmed the University's role in K- 
12 education as an important piece of our public service mission, and addressing 
the dropout crisis in California is a critical component of that effort. As a Board 
member, I look forward to future updates on this subject from President Yudof. 



5. Enhancing relevance in education unci providing students multiple options for 
success are crucial for curbing dropouts, as well as meeting the needs of our 
economy. How can the hoard help ensure that preparing high school students for 
college and career do not continue to he mutually exclusive agendas? 

As a new Regent, I did not have much information on this topic, though I 
understand that the search for solutions to the dropout problem is ongoing. 
Nationally, states, school districts, and local schools have identified a number of 
policies, strategies and practices their leaders believe will contribute to "beating 
the odds" in reducing dropout and increasing the graduation rates of affected 
students. 

I asked the Office of the President for some background information. I was 
informed that experts agree that there is no one formula for success but several 
themes consistently emerge, including connecting with and engaging students. 
As with all complex matters, no single initiative holds the key to solving the entire 
problem, however one strategy that has been advanced for engaging students 
and improving high school outcomes involves combining college-preparatory 
coursework with Career Technical Education (CTE). Some states, including 
California, are developing comprehensive plans to combine CTE with college 
preparation. The aim of these initiatives is to make high school more meaningful 
and motivating for an increasing number of students, to increase graduation 
rates, and to prepare graduates for a range of postsecondary options including 
college and careers. 

I also understand that, over the last several years, faculty and staff of the 
University of California have taken a range of actions to support the development 
and teaching of relevant, academically rigorous CTE courses in California high 
schools. The faculty understands that high-quality CTE courses that combine the 
rigors of college-preparatory courses with the relevance of career technical 
courses provide more options to enhance student learning while preparing 
students for careers and advanced education. 

The Office of the President also provided the following information regarding 
recent UC initiatives in support of CTE-related efforts: 

* In California high schools in 2008-09, one out of four CTE courses has 
been approved by the University of California to meet UC/CSU admissions 



149 



• 



requirements - up from less than one percent in 2001-02. In addition, UC 
works proactively with Regional Occupational Centers and Programs 
(ROCPs) and other discipline-specific organizations, such as Project Lead 
the Way, in the development of strategies that facilitate timely course 
approval. 

At the request of the Legislature in 2008, UC and CSU faculty have 
provided specific guidance for the approval of academically-rigorous CTE 
courses in the 'g' elective subject area. CTE courses have been approved 
in every 'a-g' subject area. 

In partnership with the California Department of Education, UC staff 
annually provide numerous workshops for high school administrators, 
teachers and professional organizations around the state to expedite the 
preparation and review of courses. 

The Board of Regents should be regularly apprised on the status of these efforts, 
and encourage, as appropriate, the University's on-going involvement and 
commitment to addressing California's most challenging educational issues. 



6. Is there a role for the regents in ensuring thai more career technical education 
courses are approved as meeting the A through G subject requirements necessary 
for admission? 

The Office of the President has informed me that faculty are actively involved in a 
number of research-related dropout and CTE-specific initiatives, including the 
work of Professor Russ Rumberger (UCSB) at the aforementioned California 
Dropout Research Project as well as recent CTE/multiple pathways research 
projects and reports coordinated through UCLA's Institute for Democracy, 
Education, and Access (IDEA). While the responsibility for CTE coursework as it 
relates to University admission is the province of the faculty, the Board of 
Regents should be regularly informed on the status of these efforts and 
encourage both the University and the faculty's continued commitment to CTE 
course-work and its effect on addressing California's challenging educational 
issues. 



Secondary school programs such as Career Partnership Academies and small 
career-themed high, schools have shown success in engaging at-risk students with 
"conlexualized" or applied learning strategies that draw a clear line from what 
they are gaining in high school to what they will need to succeed in the adult world 
of work. What role, if any, should the UC system play in preparing or providing 
professional development to aspiring and current secondary school teachers so that 
they are equipped to develop and lead such programs? 



150 



Through teacher institutes, academic preparation programs and a host of 
intersegmental and other initiatives, the University is currently a partner in 
helping schools strengthen their CTE curriculum To the degree possible, these 
efforts should be considered critical for advancing the development and teaching 
of academically rigorous and relevant courses in California high schools, and 
should be considered a priority for state support. 

As a new Regent, I asked the Office of the President to provide examples of 
programs in this area. They described for me one such effort, the California 
Subject Matter Project, which last year supported over 26,000 teachers (50% are 
secondary teachers) throughout the state by providing quality professional 
development in their content areas. Project work is focused on assessing 
student needs and designing support for topics that are hard to teach and hard to 
learn. The Project focuses explicitly on instructional access issues such as 
techniques to support English Learners, to increase academic literacy for 
adolescents and to engage students in their learning. 

The Office of the President also made me aware of the California Writing Project 
(CWP) and its work at UC Merced and CSU Fresno to focus on the needs of 
migrant students. Summer writing institutes are designed specifically for these 
students and teachers engage with students to further their own understanding of 
how to develop young writers. 



Admission to the University 

UC admitted a record number of freshman students for the fall 2008 term. Admission 
oilers were sent to 60.000 California high school seniors, a 4.7 percent increase ol~ 
admitted students over the fall 2007 term. Responding to insufficient stale funding for 
enrollment growth and continuing budget cuts, in January 2009 the board approved plans 
to reduce enrollment of new California resident freshmen by 2.300 students system wide 
for the 2009-10 year. Transfer applications from California community college students 
were allowed to increase by 500 students, while graduate enrollment will remain at 2008- 
09 levels. 

8. What is the university doing to increase the number of competitively eligible 

applicants to UC from disadvantaged backgrounds'.' How do the regents monitor 
I he effectiveness of university K-J2 academic outreach programs in preparing these 
students to become competitively eligible to attend UC campuses':' Are you satisfied 
that these programs are preparing students to succeed once enrolled at a UC 
campus? 

Working to prepare students from disadvantaged backgrounds to embark on a 
University of California education is one of the most important outreach efforts 
undertaken by the University. The University of California has always been 
committed to improving college opportunities for these students and recently has 



151 



worked to update many of its longstanding programs and strategies to ensure 
that they can continue to meet the academic preparation needs of California 
students. 

The University adheres to a rigorous accountability framework - developed in 
concert with state policymakers - in assessing its academic preparation 
programs. The framework contains common goals and assessment expectations 
for the academic preparation programs, all centered on student achievement. All 
programs must submit performance reports on their progress toward meeting 
specific goals and objectives, and individual programs are subject to 
comprehensive summative evaluations by both internal and external evaluators 
(provided there is sufficient funding for such evaluations). 

It is clear that UC's programs are reaching students who attend the state's 
lowest performing schools and are achieving their goals. Office of the President 
data show that 65% of students in UC academic preparation programs go on to 
postsecondary education compared to 46.3% of California high school 
graduates. In addition, program participants' retention and graduation rates are 
comparable to those of similarly situated students who did not participate in these 
programs. Longitudinal studies on the University's programs document the 
programs' effectiveness in promoting student achievement, rigorous course- 
taking patterns, and college enrollment. 



9. Freshman applications for fall 2009 arc up approximately 3 percent, and transfer 
applications have increased by about 12 percent, compared with last year. 
Combined with lower admission targets at most campuses, students are likely to 
receive fewer admission offers to UC campuses. How do you, as a regent, balance 
(he admission needs of eligible freshmen and transfer students? 

UC sets separate enrollment targets for freshmen and transfers. Targets are set 
before each year's budget is known (for example, UC set targets and made 
decisions for Fall 2008 in early 2008, but final funding levels were not reached 
until October). In 2008, UC set targets assuming that the enrollment levels in the 
Governor's compact would be funded. These targets provided full access for 
eligible applicants at both the freshman and the transfer levels. For 2009, faced 
with enrollment of 1 1 ,000 students for whom UC receives NO state funding, The 
Regents have endorsed President Yudof's recommendation that we begin to 
scale back at the freshman level. At the transfer level, however, we are 
increasing our targets. Transfer students are a high priority for President Yudof, 
and I agree with him. 



The board in February 2009 adopted a new policy to change freshman admission 
requirements. Included in the proposal is the elimination of the requirement thai 
applicants take two SAT subject tests, and a revision of the: guarantee of admission for 



152 



those who are in ihe lop 12.5 percent of California high school graduates to instead apply 
10 only about the top 10 percent of graduates. The proposal would also allow individual 
campuses and majors to recommend certain subject tests, and guarantee that students who 
are eliminated from consideration because of technical problems with their applications 
(such as a failure lo take an SAT subject test) would have their application reviewed and 
evaluated. 

II). Critics of I he new policy worry thai il could (Increase diversify because the number 
of under represented students who fall within the 12.5 percent guarantee would 
decline under the more restrictive admissions pool. What are your views regarding 
the policy and its impact on underrepresented minority students? 

My understanding is that, under the new policy, the pool of students guaranteed 
admission will be smaller and slightly less diverse. However, the UC Academic 
Senate has studied this issue extensively and concluded that the pool of students 
who will be Entitled to Review is much larger and more diverse. It is the 
Academic Senate's view that the new policy has the potential to expand access 
for underrepresented students by bringing into that larger review pool many 
thousands of underrepresented students who would not previously have been 
guaranteed a full and comprehensive review. 

President Yudof agrees with this position and endorsed the proposal as a way to 
expand access without diminishing the quality of students who enroll. The 
language that The Regents used in adopting the new policy emphasizes that the 
Academic Senate will need to report back to the Board on its outcomes and that 
the policy may be amended if those outcomes are inconsistent with our goals. 

If at that time we see any evidence of a negative impact on diversity, I think we 
should immediately identify and address any aspects of the policy that might 
have led to these results. 



Student Fees, Financial Aid, and College Affordability 

In 2008 the board approved a 7.4 percent student fee increase for the 2008-09 school 
year for undergraduate, graduate, and professional students. The university redirected 33 
percent of revenues generated by the fee increase to financial aid. supplementing other 
financial aid sources, such as the Cal Grant program. In May of this year, the board is 
expected to consider a 9.3 percent fee increase for the 2009-10 academic year. The 
proposal would increase lees for undergraduates by $662. from $7,126 to $7,788. 

// blow is UC addressing the growing concerns about college affordability'' What 
do you believe are the challenges in crafting a student fee and financial aid policy 
thai balances the need to keep fees reasonable, while providing sufficient 
financial aid to help low-- and moderate-income students? 



8 



153 



As a Regent, raising fees is never an easy decision and always done as a last 
resort. However, facing a severe budget shortfall as a result of the state's fiscal 
crisis, the 9.3-percent fee increase was approved by the Board of Regents as 
just one element in a series of actions the University and campuses have taken - 
and may need to take yet - to confront continuing cuts in state funding while 
working to protect the academic program and student services as much as 
possible. 

It is important to recognize that UC has been very successful at remaining 
financially accessible to students at all income ranges, especially in comparison 
with other institutions. Even with these fee increases, total charges for resident 
undergraduate and graduate students are expected to remain well below the 
average of UC's public comparison institutions. 

For low-income students and families: The University enrolls a significantly 
higher percent (32%) of low-income Pell Grant recipients than any other 
comparably selective institution, public or private. For financially needy 
students — generally, those whose family incomes are below $45,000 — grants 
and scholarships reduce UC's net cost of attendance to below that of three of the 
University's four public comparison institutions. These and other measures of 
UC's financial accessibility can be found in the University's recently published 
Accountability Framework report. 

In addition, according to the Office of the President, after several years of no 
increases in the maximum amount for Pell Grants, this year's federal stimulus 
package, the American Recovery and Reinvestment Act (ARRA), provides a 
$619 increase for 2009-10. The impact is a $33 million infusion of new Pell 
Grant funding for UC students. 

California is unique in having both a strong need-based state aid program in the 
Cal Grant, and a strong institutional aid program at both of the state's four-year 
public university systems. UC's fee increases are fully offset by increases in Cal 
Grants and UC's robust financial aid program also grows in response to fee 
increases through the practice of setting aside a portion (currently 33%) of new 
revenue from fee increases to augment UC grants. Combined together, these 
programs provide enough additional grant support for UC's low-income students 
to cover increases in systemwide fees. 

For middle-income students and families: However, Cal Grants and UC grants 
are not enough to fully maintain UC's financial accessibility. For middle-income 
families who do not qualify for need-based grants, moderation in fee increases is 
important. Although middle-income families have continued to enroll at UC 
despite past fee increases, these families do typically have to absorb the brunt of 
any fee increases. In recognition of this, for several years now, UC has covered 
half of the fee increase for students whose family incomes are between $60,000- 
$100,000 and who are not otherwise getting aid to mitigate fee increases. 



154 



Federal tuition tax credits are another form of assistance usually available to 
middle-income families to assist with their costs, although tax credits have not 
typically offset fee increases. This year's federal stimulus package is an 
exception to this pattern. The ARRA has provided an unprecedented increase in 
tax credit eligibility — both increasing the amount of the credit for current 
recipients (an increase of $700, which is more than the 2009-10 UC fee increase 
of $662) and extending eligibility to families with incomes up to $180,000. Thus 
for 2009-10, this expansion in tax credit eligibility is providing most families with 
incomes up to $180,000 relief from UC's 2009-10 fee increase. 

Additional UC initiatives and efforts: Many families are simply unaware of the 
availability of various sources of financial aid, so communicating that UC is 
financially accessible is as important as ensuring that financial resources are 
available to low- and moderate-income families. Families of prospective UC 
students need to understand and believe that financial aid resources are 
available for them so that concerns about paying for a UC education will not 
deter students from aspiring to a UC education. 

A multi-pronged approach is needed to get the message out, but a centerpiece of 
the communication effort is the Blue and Gold Opportunity Plan that President 
Yudof introduced and The Regents endorsed this past year. The Blue and Gold 
message is simple — students from financially needy families whose incomes are 
below $60,000 need not worry about how they will cover UC's systemwide fees 
Under the Blue and Gold Opportunity Plan such families will receive scholarship 
or grant assistance that, at a minimum, fully covers UC's systemwide fees. The 
goal now is to implement a communication strategy that will get this message out 
to all California families with incomes below $60,000. 



The Legislative Analyst's Office estimates thai students at California public colleges and 

universities will receive about $500 million in additional Pell Granl funding nexl year, 
through the American Recovery and Reinvestment Act (ARRA). Colleges and 
universities will also receive an estimated $20 million in additional work-study Hinds. 

Tax credits have also been increased to reimburse students for more college expenses. 

12. Does the university take into consideration federal financial aid programs in 

selling fees? 

UC raises fees reluctantly when revenue is needed to compensate for state 
budget cuts affecting the ability of UC to deliver a quality education to its 
students. UC does not raise fees just because additional federal resources are 
available. However, the fact that there is a variety of financial assistance 
available helps mitigate the impact of fee increases that are necessary as the 
state subsidy for educational costs decline. 



10 



155 



All resources, such as federal financial aid programs and tuition tax credits, are 
included in evaluating the impact of fee increases on students and their families. 
Additional federal resources, along with additional Cal Grant and UC grant funds, 
help mitigate the impact of fee increases. 



13. To what extent do yon believe the Legislature and Governor should he purl of 
UC's decisions about fees'/ 

The Governor and Legislature already have a considerable impact on UC's 
budget and therefore its decisions about setting fees. I believe that the current 
arrangement is a reasonable balance of responsibility. 



14. Are the regents exploring what can be done to help students cover other 
fast-growing, non-fee costs, such as hooks and supplies, room and board, 
transportation, and health care 9 What options are you reviewing, if any? 

As mentioned above, one approach is to ensure that the value of the grant 
assistance to UC students keeps pace, not just with fee increases, but with total 
cost increases. Unlike Cal Grants and UC grants, which are augmented when 
fees increase, no financial aid program "automatically" grows in response to 
other cost increases. Thus UC needs to continue advocacy efforts for increases 
in Pell Grants and other grant programs to maintain the overall value of the 
financial aid available to UC students. 

In addition, UC needs to pursue efforts to contain non-fee cost increases in those 
areas where the University has some control. The Office of the President has 
shared with me information that UC campuses are actively engaged, in 
partnership with student groups, on helping students learn about cost-effective 
ways to keep their textbook expenditures down. A recent Bureau of State Audit 
report indicates that students are compensating for rising textbook costs by 
utilization of used textbooks and less expensive on-line purchases, thereby 
keeping increases in their actual out-of-pocket book expenditures to a minimum. 
In addition, UC is exploring the possibility of a systemwide contract for graduate 
student health insurance which would increase the size of the covered student 
pool, thereby reducing costs and improving coverage over current campus-based 
contracts. Campuses are also aware of the impact of higher room-and-board 
costs on students and are minimizing those costs when possible. For instance, 
UC San Diego has foregone cost increases in their on-campus housing charges 
for 2009-10. 



156 



Accountability 

Last year UC issued a dratl accountability report that represents the first effort to 
comprehensively assess and present to the public the UC system's progress in meeting 
key teaching, research, and public service goals across its ten campuses. The report is 
being issued as a draft for discussion and is now into a period of review and comment. 
The report is intended to provide transparency and will be used to help guide strategic 
planning, budgeting, and performance management. 

15. What is the slahts of (he draft accountability report? In your view, how will the 
report assist the hoard as it focuses on important policy issues confronting 
UC system wide and on individual campuses 7 

I consider the accountability report to be the single most important document I 
have received as a Regent. I am extremely supportive of President Yudof's push 
for accountability and am encouraged by his efforts. The report was provided to 
the Board this month and is available on-line. 

The accountability report is a major initiative. President Yudof and the Board 
agree that it is critical to give parents, students, elected officials, and taxpayers a 
clear picture of the performance of the UC system — its successes and its 
challenges, as well as its failures. 

The report will be useful for a number of audiences. It will give you and other 
policymakers the means to track issues of concern, such as affordability, 
diversity, and research competitiveness. It will enable you to measure the 
investment of public dollars in UC. It will allow prospective students and their 
parents to research graduation rates and indicators of student satisfaction and 
enable them to make informed choices. 

But the most important value may be to the Board. The report is a governance 
tool that will give us the ability to assess the value and effectiveness of the 
administration's actions to meet the goals we set as a Board. The report will 
provide us with the information to formulate the right questions to be asking to 
pursue a line of inquiry that brings the critical issues into sharp relief. For 
example, the report shows how many upper-division California Community 
College students the University has admitted over time compared to freshmen, 
by campus. It also shows admit rates of both freshman and transfer students by 
race/ethnicity and allows us to examine the success of these transfer students 
compared to entering freshmen. 

In addition, the report will give us the data to inform policy and budget decisions 
and debates. We can, for example, use data in the report to look at changes in 
the per-student average expenditures for education over time or examine 
changes in the proportion of undergraduate instruction that regular-rank faculty 



12 



157 



perform compared to lecturers. These are all policy issues that we will be very 
closely monitoring in these difficult budgetary times. 

It is very difficult to evaluate UC performance in a vacuum. In the absence of 
comparative benchmarks, the tendency is to adopt a UC-centric view of higher 
education. The accountability report offers comparative data and enables us to 
put the administration's recommendations in a national frame and thus offers the 
Board new ways to think about the University's future. 

As in any large organization striving for accountability and transparency, UC will 
never be done. President Yudof has accomplished a tremendous amount toward 
this effort in his short tenure and I look forward to working together on this 
process. 



16. At each regents ' mealing, one campus makes a presentation on its strategic plan. 
As a new regent, what is your view of (he most difficult challenges confronting 
campuses that have emerged from these presentations? 

To date, only two campuses have made presentations - Irvine in January and 
Berkeley in February. But even with only two campus presentations, the most 
difficult issue facing all 10 UC campuses is the urgent need to balance the 
realities of the current economic crisis and resulting budget cuts, with the need to 
continue UC's mission of maintaining access and excellence in delivering 
research, education, and public service. Now more than ever, the University 
needs the Legislature's and the Governor's support. 



UC Governance and Decision Making 

UC has been criticized for several years for not fully disclosing compensation packages 
provided to top management that have been well above the amount publicly reported us 
Lheir base salaries. In response, the university has repeatedly committed to maintain lull 
public disclosure, transparency, and accountability, in early 2008 the Western 
Association of Schools and Colleges (WASC) reported that the UC system has significant 
problems in governance, leadership, and decision making. It reported confusion 
surrounding the roles and responsibilities of the university president, the regents, and the 
10 campus chancellors. 

As part of an effort to restructure and downsize the central administrative operations of 
the UC system, the university offered a Voluntary Separation Program to employees at 
the Office of the President in January 2008. Some employees who accepted a financial 
buyout to leave the Office of the President were immediately reemployed elsewhere in 
the university, with no impact on the amount of their buyout. 

1 7, How do the regents slay informed of the university 's compensation policies? 
What is i he university's policy regarding rehiring retired pensioners? Do you 



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believe regents are kepi sufficiently Informed regarding campus hiring practices? 
Is the public sufficiently informed? 

I believe the University of California is more transparent in its compensation and 
hiring policies than most other public entities, including government agencies and 
public institutions. I am very pleased with the efforts of the University of 
California to continue to enhance its transparency in compensation policies. 
Currently, The Regents review and approve all policies and compensation 
actions for members of the University's Senior Management Group (SMG), as 
well as compensation actions for other employees with salaries over $275,000. 
This amounts to approximately 374 employees in senior leadership positions. As 
part of its commitment to transparency and public accountability, the University 
also provides an annual report to The Regents on compensation paid to senior 
managers. Consistent with legislative requirements, the report details all aspects 
of senior management compensation, and it is also posted on UC websites to 
provide public access to the information. 

I was not a Regent at the time the 2008 Voluntary Separation Program (VSP) 
was put in place. However, I am aware that the goals of the program, developed 
by the UC Office of the President, was to reduce headcount and long-term salary 
costs at the Office of the President. Despite its appropriate goals, the 2008 VSP, 
which was not developed by the Board, suffered from problems that were 
recognized by the Board and by new President Yudof. As a result, in April 2009, 
the President established implementation guidelines for campus voluntary 
separation programs, including provisions requiring repayment of any severance 
payments on a pro rata basis for employees finding new work elsewhere within 
the University. I believe President Yudof has addressed and rectified this 
problem. 

In addition, to ensure the effectiveness of the University's practices regarding the 
reemployment of retirees, the University enacted a new policy for retired UC 
employees who return to UC in staff or senior management positions. The 
University's policy aims to ensure compliance with Internal Revenue Service 
rules regarding defined benefit pension plans such as the UC Retirement Plan 
(UCRP), while continuing to give managers the flexibility to call on a valued 
resource — retired employees— when needed. Key elements of the new policy 
include limits on the percent of time and duration of employment, approval 
authority, and reporting requirements. 

Again, my belief is that UC is transparent in its compensation and hiring policies. 
In addition to the policies mentioned above, The Regents receive regular reports 
on many issues including the status of UC hospitals and President Yudof s 
correspondence on matters of interest to the Board. 



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IS. Arc you satisfied ihaf UC is faking sufficient steps to address WASC's eoneerns 
regarding UC's governance structure and business practices? What remains to he 
done in addressing issues raised in the WASi ' report'.' 

As a new Regent, I have not been deeply engaged in addressing the issues 
WASC has raised over the last two years. However, like all members of the 
Board, I have been apprised of the issues. From the information that has been 
supplied me, I understand that: 

« The final report from the Western Association of Schools and Colleges 
(WASC) commended the University for the many steps it has taken to 
address the compensation issue raised in recent years and for its 
awareness of the need to maintain transparency and conformity with 
policies while continuing to recruit the best personnel possible. In light of 
that conclusion, the changes in compensation practices are not detailed 
here, but can be provided if the Committee so requests. 
Regarding governance, the University commissioned a working group 
(chaired by a campus chancellor and facilitated by an independent 
consultant) to evaluate the proper roles of Regents, the President, and the 
campuses. The Board's Committee on Governance endorsed this report 
in January 2008. 

• The Board created the Committee on Governance to re-evaluate Board 
governance principles. As a result of the committee's work, the Board has 
adopted new policies governing Regental education and evaluation as 
well as new standards governing expectations of individual Regents and 
the Board. 

« The Board established a new senior vice president for compliance and 
audit as a direct report to the Board for the specific purpose of ensuring a 
more robust audit and compliance system and proper review of 
transactions for policy compliance. 

• The Board adopted a detailed process for evaluation of the President's 
performance (and that of other direct reports to the Board). 

In terms of work that remains, I am advised that a WASC team will be conducting 
a site visit in early October. The team will be meeting with senior management 
and key Regents and will then issue a report, which WASC will then consider. I 
anticipate the site visit will recognize the Board of Regents' continuing 
governance refinements. 



In January 2009 the Board adopted a plan to freeze the salaries of UC's top 
administrators, as well as canceled pending bonus payments to employees at the senior 
management level through 2009-10. More recently, however, the Board granted pay 
increases, as much as 22 percent, to several senior managers, appointed two new 
executives, and authorized paid administrative leaves to two former campus chancellors. 



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19. How does the board balance the need to attract and retain qualified senior staff, 
while at the same lime providing management effectiveness and accountability 
against a backdrop of reduced slate financial support and likely increase of 
student fees ' 

President Yudof has worked earnestly to implement real cost-saving measures at 
the University of California. These measures include a systemwide freeze on 
senior managers' salaries, cuts in bonuses and incentive pay, and a significant 
and real reduction of the budget at the Office of the President in Oakland — a 
reduction of $67 million and 628 in staff headcount over the last two years 
through program transfers, layoffs and vacancy control. In addition, UC 
campuses are curtailing faculty recruitment, in many cases by 50 percent or 
more; reducing hiring of non-teaching staff; severely limiting spending on 
nonessential costs such as travel; consolidating or eliminating programs; and 
looking for efficiencies across their administrative organizations - while working 
to minimize cuts to student programs. 

However, I believe that President Yudof must have the Board's full support to 
create a leadership team of outstanding administrators capable of guiding the 
University through the toughest economic times it has ever seen. With 
increasingly reduced state financial support, it is necessary to grant the President 
some flexibility in his efforts to craft a team of highly competent managers. I 
applaud his efforts to do this while at the same time reducing the budget of the 
Office of the President by $67 million. I know from my own experience in the 
private sector that doing more with fewer resources is a daunting task. 

It is important to note that none of the new executive hires has been paid in 
excess of current market rates. One existing employee has been asked to fill two 
vice presidential roles for the salary of one, saving UC roughly $320,000 per 
year. Another has been hired to serve as chief financial officer, at a salary well 
below the going rate for CFOs, to ensure strong financial management and to 
identify more smart ways for the University to save money. Our newly appointed 
Chancellor at UCSF is another example of an individual, with impeccable 
credentials to lead this world-class institution, who chose to leave a much more 
lucrative position in the private sector and join the University to advance its public 
mission. 

As a Regent, I am committed to keeping the University of California accountable 
to the public and policymakers. However, I am also committed to allowing for the 
necessary flexibility to make the decisions we need to hire the best people and to 
preserve UC as a strong institution for California. 



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Research Funding 

Both the Governor and Legislature have articulated the importance of transitioning the 
stale from a high carbon economy to a new energy economy. Green technology may be 
the next '"high lech industry" thai Fuels California's economic engine. Yet there appears 
to be a need for greater coordination and strategic investment of state research 
development and demonstration funds to meet stale energy and environmental priorities. 

20. What steps has UC taken to coordinate private and publicly [muled energy and 
environmental research, development, and demonstration In ensure the state 
achieves the greatest benefit from those expenditures? 

It is the responsibility of UC and The Regents to make sure we do all we can to 
maximize every dollar — federal, state, public and private — including the funding 
that we receive for research and development in the areas of energy and 
environmental research. Much of the energy and environmental-related research 
that takes place throughout the UC system is funded by federal funds (over half 
of total UC research funding comes from federal government sources, and an 
additional 20% comes from private sources). Through successfully competing 
for federal research awards in these areas, the University brings significant 
amounts of federal funding into the State. 

This is an area that I am passionate about. Over the last 15 years, I have 
worked on various efforts with different organizations to reduce our nation's 
dependence on fossil fuels and explore alternative energy sources. In May 2008, 
I chaired and organized a non-partisan energy symposium, which was co- 
sponsored by UC Irvine, Milken Institute, and the New Majority's Energy Task 
Force and attended by Governor Schwarzenegger, Attorney General Brown, 
other elected officials, business leaders, and some of the best scientists in the 
world. I believe that UC must play a major role in advancing research and 
innovation in green technology and energy alternatives for the good of California, 
the nation, and the world. 

Most of the federal and privately funded research conducted at UC is responsive 
to requests for proposals for work in a specific substantive area While issues of 
interest to the nation are likely also of interest to California, the University does 
not have the flexibility to shift the emphasis of a research grant to allocate more 
research funding to California priorities. That said, many of the University's R&D 
projects in these areas focus on matters of significant concern and relevance to 
California. The results of investigations into broad areas like alternative fuels and 
carbon emissions can be used to help address California goals such as reducing 
carbon emissions. There are also more targeted R&D programs that focus 
specifically on research questions of relevance to California. The Office of the 
President offers as examples research funded by UC's California Institute for 
Energy Efficiency, which has done work specifically related to California's Global 



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Warming Solutions Act, regional carbon sequestration projects, hydropower 
within California, and many other research areas directly related to State needs. 

The University's extensive work in these areas can help the state meet its energy 
and environmental challenges, particularly in coordination with work being done 
by state agencies like the California Air Resources Board and the California 
Energy Commission, that play a key role in shaping state and environmental 
policy. There are many University researchers who work closely with those and 
other agencies, participating in and contributing their expertise to projects of 
importance to the State. 

Further coordination among private and publicly funded energy and 
environmental research would be enabled by establishment of a California 
Climate Institute, which is the subject of pending state legislation - SB 128. I am 
informed that the University of California is actively working with other academic 
and research institutions around the state to support this measure, which would 
create a California Climate Institute to catalyze and fund research and workforce 
education in areas related to climate change. The institute could serve as a 
vehicle for extending and improving deployment and expenditure of R&D funds in 
research areas that would help the state meet its ambitious goals related to 
carbon reduction and climate change mitigation. There are still a number of 
details to be worked out about this proposal, but I cite it here as one kind of 
creative effort in which the University can be involved to help ensure that 
research funding is directed toward areas that can help the state meet its energy 
and environmental challenges. 



21. How do you. as a regent, assure that UC's research agenda is robust and directed 
toward assisting in maintaining a strong California economy without interfering 
with respected principles of academic freedom? Please be as specific as possible. 

The University of California is universally recognized as a world-class research 
institution, with faculty who are leaders in their fields across a variety of 
disciplines. As the state's primary research institution, UC research has long 
played an important role in maintaining a strong California economy. For 
example, UC research helps boost the state economy by attracting almost $3 
billion annually in federal funds and over $180 million annually from private 
companies. This research helps create new products, improves productivity and 
leads to the creation of well-paid jobs in California. 

The Office of the President indicates that the University has been highly 
successful in leveraging state funds, obtaining federal and private funds to 
conduct research that benefits California. Some research collaborations 
between UC campuses and private enterprise, such as the four California 
Institutes of Science and Innovation, have been deliberately cultivated through 
public-private partnerships. These Institutes were launched with state matching 



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funds to foster economic growth through joint UC-industry research in 
biomedicine, nanotechnology, telecommunications, information technology and 
other technologies. Although the state's current economic crisis is quite serious, 
it is my hope as a Regent that it may be possible in the near future to include 
other research initiatives as part of future University of California budget 
proposals. My belief is that funding for research is an excellent investment that 
contributes to the state's economy and to the quality of life of its people. 

I believe that maintaining the strength of our faculty is key to ensuring that the 
University's research agenda remains robust. UC faculty and researchers are 
among the best in the world. A total of 49 UC faculty and researchers have won 
Nobel prizes, including 17 prizes since 1995. 589 UC scientists and engineers 
have been elected to the National Academy of Science, the National Academy of 
Engineering, and the Institute of Medicine. Forty-four UC scientists have won the 
National Medal of Science (US's highest award for lifetime achievement in 
science). 

Respecting the principle of academic freedom is key to maintaining a strong 
faculty. Academic freedom is, indeed, a core University value, and it is essential 
to ensure that faculty are free to pursue and disseminate knowledge in their 
chosen areas of inquiry. As a Regent, I am committed to upholding that freedom, 
and I do not believe that conflicts with ensuring that UC's research agenda 
remains robust. 



22. The Legislative Analyst s Office estimates thai California universities will be 
eligible to compete for over $J billion in funding for federal research grunts from 
ARRA. Will the board be kept informed of campus or programmatic efforts to 
obtain federal funds 7 Will there be any system wide direction given to campuses 
with respect to applying for these competitive funds? 

The federal stimulus bill did, indeed, make significant funding available for federal 
research awards, and we expect that the University of California will be very 
competitive for much of this funding. Estimates are that the American Recovery 
and Reinvestment Act (ARRA) made available a total of $21.5 billion in federal 
research and development funding - $18 billion for the conduct of research, and 
$3.5 billion for research facilities and capital equipment. Since federal research 
support has been declining in real terms since FY 2004, the final stimulus bill 
provides an immediate boost that will allow federal research funding to see a real 
increase for the first time in five years. 

This is good news for UC, because federal funds account for over half of the 
University's research expenditures. It is difficult to know exactly how much 
research money the University of California will ultimately receive from the 
ARRA. However, the Office of the President expects the University to be very 
successful in competing for these funds, based on the excellent track record of 



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our campuses. I have been informed that 65% of the University's 2007 federal 
research awards came from just two federal agencies - Health & Human 
Services (primarily through NIH) and the National Science Foundation (NSF). 
Both of these agencies received large increases in the stimulus bill. NIH 
received $10.4 billion in stimulus funding, increasing its funding for research 
awards by about one-third. NSF received $3 billion, about a 50% increase over 
2008 budgeted levels. Based on UC's historic rate of successfully competing for 
funds from these two agencies, a very rough estimate is that UC might expect to 
capture over $700 million in stimulus funding from these two agencies alone. In 
addition, UC expects to compete well for ARRA funding from the Department of 
Energy, NASA, the National Oceanic and Atmospheric Administration, and other 
agencies that received ARRA funding. 

Because the University understands the need to be able to report - to The 
Regents, to federal agencies, and to the public - on the amount and use of 
ARRA funding the University receives, the UC Office of the President has led a 
systemwide effort to modify campus and central office data systems to allow 
separate tracking of ARRA-related awards and expenditures. As the ARRA 
funding process continues to move ahead, it is my intention to ask President 
Yudof to provide regular reports to the Board on the University's progress in 
competing for ARRA research funding and the use of ARRA funding. 



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MEMBERS 
SAM AANESTAD 

VICE-CHAIR 

GILBERT CEDILLO 
ROBERT DUTTON 
JENNY OROPEZA 



California Legislature 






^M 



Senate Rules Committee 



GREGORY SCHMIDT 

SECRETARY OP THE SENATE 

NETTIE SABELHAUS 

APPOINTMENTS DIRECTOR 



DARRELL STEINBERG 

CHAIRMAN 



May 5, 2009 



William Hauck 









Dear Mr. Hauck: 

The Senate Rules Committee will conduct a confirmation hearing on your appointment 
as a member of the California State University (CSU) Board of Trustees on Wednesday, 
June 10, 2009. We request that you appear. The meeting will begin at 1:30 p.m. in 
Room 113 of the State Capitol. 

We have prepared the following questions to which we would appreciate your written 
responses. Please provide your responses by May 26 th . 

We would also like to receive an updated Form 700, Statement of Economic Interest, by 
May 26 th . 

Background 

The CSU system consists of 23 campuses, almost 450,000 students, and 47,000 faculty 
and staff. The system is directed by the Master Plan for Higher Education to select 
first-time freshmen from the top one-third of graduates of California public high schools. 

Statement of Goals 

1. Please provide a brief statement detailing the accomplishments you have achieved 
while serving as a member of the CSU Board of Trustees, as well as remaining 
goals you hope to accomplish while continuing to serve on the board. How do you 
measure your success as a board member? 

2. How do you evaluate the extent to which the CSU system is succeeding in its 
mission? What yardsticks are most important to you as you make this 
determination? 



STATE CAPITOL • ROOM 420 • SACRAMENTO, CALIFORNIA 95814-4900 • (916)651-4151 • FAX (916) 445-059^ 6 



William Hauck 
May 5, 2009 
Page 2 



3. Some 1 20, 000 young people drop out of high school and middle school annually in 
California. What role, if any, should CSU play in turning the dropout crisis around? 
How does the board weigh in on what should be done? 

Governing Board Oversight 

The board is charged with developing system-wide policies and overseeing their 
implementation. In November 2007 the California State Auditor released a critical report 
of CSU's executive compensation policies. Among its findings, the audit concluded that 
the university failed to adequately monitor its compensation policies and continued to 
justify increases in executive compensation, based on questionable methodology. In 
response to the compensation audit, CSU concurred in nearly all instances with the 
auditor's recommendations. 

In November 2008 Chancellor Charles Reed approved salary increases of up to 
1 9 percent for 9 vice presidents at 4 of CSU's 23 campuses, and approved 1 1 new 
appointments of vice presidents at 9 campuses. A committee of the board reviewed the 
same pay raises and endorsed separate salary raises for additional individuals. 

4. What role does the board play in reviewing and approving executive compensation 
policies? Does the board periodically review and reassess these policies? 

5. What is the board doing to reevaluate its overall capacity to oversee and hold the 
system accountable on matters of compensation and other key issues? 

6. How does the board balance the need to attract and retain qualified senior staff, 
while at the same time providing management effectiveness and accountability 
against a backdrop of reduced state support and likely increase of student fees? 

7. Do you think CSU has adhered to the auditor's recommendations that CSU 
committed to adopt? If not, why not? What issues are still outstanding and need to 
be addressed? 

8. When the university receives no funding for cost of living increases (as is the case 
in 2008-09), the university must shift funds from other sources in order to cover 
any cost of living increase that it chooses to grant. Where did the money for the 
2008 salary increases come from, and do you think this money was best spent on 
executive salary increases? 

College Affordability 

The 2008-09 budget included a student fee increase of 10 percent for undergraduates. 
This fee increase was tied to neither an inflationary index nor a specified share of cost. 
Annual undergraduate fees increased from $2,772 in 2007-08, to $3,048 for 2008-09. 



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William Hauck 
May 5, 2009 
Page 3 



CSU uses up to one-third of new student fee revenues each year for financial aid to 
mitigate the impact of fee increases. The 2009-10 Budget Act was enacted in February 
and assumes a 10 percent fee increase for CSU students. However, the board will have 
to consider and vote on any such fee increase. 

9. The board has the authority to establish, adjust, and abolish student fees. How 
does the board ensure that it is accountable to the public each time it increases 
fees? As a board member, what are the key factors you consider when deciding 
whether to approve student fee increases? 

10. California lacks a consistent fee policy for postsecondary education. During tight 
budget years, student fees often increase quite steeply. Do you believe the state 
should develop a long-term state funding and student fee policy? If so, what role 
should the board have in developing such a policy? To what extent should the 
Governor and Legislature be involved in CSU's decisions about fees? 

1 1. What is the board doing to evaluate the affordability of a CSU education, beyond 
just the cost of student fees? Has the board examined the increased costs of 
textbooks and whether more state university grant aid should be available to help 
students cover this expense and other costs of attending college? To what extent 
does CSU take into account opportunities for federal financial aid, such as Pell 
Grants and the American Opportunity tax credits? 

12. Affordability is affected by how much it costs CSU to provide educational services. 
What steps has and should CSU take to hold down these costs? 

Enrollment Growth 

In anticipation of the state's worsening fiscal crisis, for the first time in its history CSU 
has declared a system-wide impaction that will result in fewer students admitted for fall 
2009. It is estimated that CSU is currently providing access to 10,000 students for 
whom it receives no state funding. Declaring system-wide impaction will requires CSU 
campuses to manage student enrollment down to the level for which they receive 
funding by applying additional admissions criteria, if necessary. Application deadlines at 
some campuses have already been moved up to November 30. Applications for fall 
2009 are up by almost 20 percent from this time last year, with even greater demand by 
community college transfer students (36 percent). Community college transfer students 
will not be accepted unless they have completed their lower division course work. 

13. The fall 2009 freshman admissions cycle took place in a challenging context, which 
included budgetary constraints and unfunded over-enrollments on most campuses. 
Potentially, CSU may curtail enrollment by up to 10,000 students throughout the 
system. Are the trustees informed of any trends that can be detected from the 
preliminary admissions data as to the effect the system-wide impaction has had on 



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William Hauck 
May 5, 2009 
Page 4 



applicants and their preferred campus of choice, in addition to whether certain 
parts of the state were more adversely affected than others as a result of the 
impaction? 

14. For the last several years, CSU has been engaged in efforts to reach out to 
students who have historically not been part of higher education in California. What 
effect do you believe the system-wide impaction will have on these students? What 
steps is CSU taking to inform underserved communities and the high schools 
serving these students of the changes in application deadlines, along with the 
potential for differing admissions criteria among the CSU campuses? 

15. The 2008-09 Budget Act did not set enrollment levels for CSU, but instead allowed 
CSU to decide how to accommodate unallocated reductions in state funding. This 
has led to conflicting perspectives about what level of enrollment was funded in 
2008-09. The Legislative Analyst's Office recommends that the Legislature adopt 
specific 2009-10 enrollment targets for CSU. In your view, should the Legislature 
take steps to adopt specific enrollment targets for CSU? What steps should CSU 
take to make more efficient use of its enrollment funding? 

Academic Preparation and Early Assessment 

More than half of all incoming CSU freshmen require English or math remediation 
during their first year at the university. These freshmen have all taken the required 
college preparatory curriculum in high school, only to find out after admission to CSU 
that they need further preparation. In response to this challenge, CSU has developed an 
early assessment program to provide high school students an indication of whether they 
possess the academic skills needed to succeed at CSU. This program also offers 
students needing stronger academic skills the opportunity to take basic skills classes in 
their senior year of high school. 

In general, outreach refers to those activities aimed at helping middle school, high 
school, and community college students from disadvantaged backgrounds to enroll in 
college. Past outreach evaluations have not conclusively demonstrated whether 
participating students would have been either eligible or likely to attend college without 
these services. 

16. How does the board monitor the effectiveness of the early assessment program 
and whether it has helped increase the graduation rates of CSU students needing 
remediation in basic skills? Are you satisfied with how the policy is being 
implemented? 



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William Hauck 
May 5, 2009 
Page 5 



17. How does the board evaluate which types of outreach programs are most effective 
in helping disadvantaged students enroll in college? Is the board kept informed of 
students' remediation needs once enrolled at CSU and whether they are being met 
appropriately? 

18. How do you evaluate the quality of coordination between CSU outreach programs 
and K-12 schools to determine if it provides the best mix of outreach interventions? 
Is this an appropriate area for the board to weigh in? 

19. High school students who want to pursue a college prep curriculum in California 
must devote nearly their entire schedule to completing A-G course work, leaving 
little room for career tech or other electives. How does the board monitor and 
address this issue? Do you believe the current requirements are the best ones, or 
have you considered easing them even slightly, as some have suggested, by 
requiring A-F subject requirements necessary for admission? 

20. Secondary school programs such as Career Partnership Academies and small 
career-themed high schools have shown success in engaging at-risk students with 
"contextualized" or applied learning strategies that draw a clear line from what they 
are gaining in high school to what they will need to succeed in the adult world of 
work. What role, if any, should CSU play in preparing or providing professional 
development to aspiring and current secondary school teachers so that they are 
equipped to develop and lead such programs? 

Title IX 

In 2008 Fresno State dropped its appeals of jury verdicts in favor of former coaches 
Stacy Johnson-Klein and Lindy Vivas and agreed to $9 million and $5.2 million 
settlements, respectively, for Title IX violations. Settlements were also reached with 
administrative assistant Iris Levasque for $125,000, and preemptively with softball 
coach Margie Wright for $605,000, according to news reports. More recently in 
February 2009, a former Olympic shot-putter became the latest female coach to sue 
Fresno State, alleging gender discrimination and Title IX retaliation. 

21. Title IX violations at Fresno State have resulted in very costly settlements. How is 
the board monitoring this situation to assure compliance with the law? Are you 
satisfied that the problems at Fresno State are being addressed? How does the 
board monitor Title IX activities at the other campuses? 

CSU Response to Workforce Needs 

A recent report by the Public Policy Institute of California finds that California could run 
short of college graduates needed to keep its economy going by 2025. While the 
number of college-educated workers increased from 28 percent in 1 990 to 34 percent in 



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William Hauck 
May 5, 2009 
Page 6 



2006, the pace is likely to slow because of California's fast-changing demographics. In 
the coming decades, slower growth in the supply of college-educated workers will be a 
limiting factor that changes the path of the state's economic growth. 

In recent years, significant attention has been focused on CSU's ability to train and 
educate enough teachers and nurses to supply state workforce needs. CSU also 
educates students planning to enter other high-demand fields, such as information 
technology, social work, and other allied health care fields. 

22. What is the board doing to analyze the state's long-term workforce needs and 
determine the system's capacity to respond to educating students to enter 
high-growth fields? 

23. What is the appropriate role for the board in terms of helping campuses strengthen 
their capacity to respond more quickly to the demand for programs that train 
students to enter high-growth fields? Conversely, should the board respond to 
declines in enrollment in programs that are no longer in demand because of 
changing workforce needs? 

24. What can the CSU board do to ensure that its teacher preparation programs are 
preparing teachers to be capable of meeting the challenges of high-need schools, 
core subject matter areas, geographic regions, and special-needs programs? 

California is a national and international leader on environmental, natural resource, 
pollution prevention, and energy issues. The green technology sector of the state's 
economy is rapidly growing. As the green economy grows, it will be accompanied by an 
increased demand for a highly skilled and well-trained "green collar" workforce. 

25. How does CSU propose to align the opportunities of California's green economy 
with educational and career development programs at its campuses? Is this an 
issue area on which your board provides guidance? If so, how? 

Please send your written answers to these questions to Nettie Sabelhaus, Senate Rules 
Committee Appointments Director, Room 420, State Capitol, Sacramento, CA 95814. 

Thank you for your help. 

Sincerely, 



DARRELL STEINBERG 
DS:LG 



171 



California business roundtable 



May 26, 2009 



Responses 



Senate Rsiies Committee 

MAY 2 6 2009 



Honorable Darrell Steinberg 

Chairman 

Senate Rules Committee 

California Legislature 

State Capitol, Room 420 

Sacramento, California 95814 

Dear Senator Steinberg: 



In conjunction with the hearing on my reappointment as a member of the California State 
University (CSU) Board of Trustees I am writing in response to the questions you have 
posed regarding various aspects of the Boards' responsibilities and the system operation. 

Statement of Goals 

1. Accomplishments. . .. I believe the CSU is an effectively run system and the Board 
functions well in establishing policy for the University and in hiring and 
evaluating system executives and campus Presidents. In my role as Chairman of 
the Board Finance Committee I believe we have directed and approved a number 
of innovations in system wide financial processes that have led to significant 
savings and a very strong credit rating. 

2. Within the financial constraints in which the system must function we are 
succeeding in graduating about 90,000 students annually with Bachelors and 
Maters degrees. Most of the graduates go immediately into the California 
workforce. However, as a recent PPIC study has outlined, by 2025 we will be at 
least 1 million degrees short of meeting workforce needs at that time. Clearly we 
must find ways to increase the number of graduates. Toward this objective the 
Board led and adopted a new strategic plan entitled "Access with Success/' We 
are in the process of implementing the plan. The question is whether we will have 
adequate resources to achieve its objectives. 

3. High School and Middle School Dropouts. This is a critical problem for 
California. We know that effective teachers can motivate and retain students in 
the K-12 public schools. Since the CSU trains in excess of 60 percent of 
California's teachers it seems clear that we are not doing as well as we must in 
training the teachers. To address this issue we have created the CSU Center to 
Close the Achievement Gap with the objective of improving CSU teacher training 
on every campus. The CSU must be in partnership with the public schools to 
reduce dropout rates throughout the state. The Board is responsible for assuring 
that progress is being made toward this objective. 



1215 K Street, Suite 1570 
Sacramento, CA 95814 



916.553.4093 1 72 
916.553.4097 (fax) 



Hauck 2 



Governing Board Oversight 

4. The Board is responsible for reviewing and approving compensation levels for 
campus Presidents and system executives including the Chancellor and all Vice- 
Chancellors. For other management level employees (also known as MPP 
employees) the Chancellor has authority to establish pay policies and programs to 
be administered by campus Presidents. 

This is an area to which the Board pays close attention because of the public 
nature of the decisions as well as the constant need to try to remain competitive 
with the existing market for these positions. Most recently, the Board reviewed its 
executive compensation policy in 2007. 

At the November 2008 Board meeting the Chancellor reported on salary increases 
for the period January 22, 2008 through October 31, 2008. The Chancellor 
approved salary adjustments for 23 Vice Presidents. Of the 23 nine were new 
hires and two were intermittent/ temporary appointments. The Board is not 
required to approve these decisions but it has required the Chancellor to publicly 
report on these actions annually in September. Of 47,000 CSU employees 102 are 
Vice Presidents. 

5. Subsequent to the Bureau of State Audits (BSA) report regarding executive 
compensation in the CSU the Board created an ad hoc committee to review the 
recommendations of the state auditor. After a careful review of the proposals the 
Committee made specific suggestions to address the issues raised by the auditor. 
Those suggestions were adopted by the Board in 2008. On November 4, 2008 the 
Chancellor reported to the BSA on the implementation of changes in procedure to 
comply with the BSA recommendations. 

6. This is one of the most difficult problems the Board is required to confront. 
Numerous professional compensation studies have revealed that in many job 
categories the CSU is not at market. This is especially true when it comes to 
senior staff. In addition, many senior staffers are eligible for retirement and with 
little prospect currently for a salary increase may be incented to do so. The 
present prospect for major state support reductions will put increasing pressure on 
all CSU staff to maintain a high quality of service provision. 

7. The CSU has definitely adhered to the auditor's recommendations. The 
Chancellor now approves all Vice Presidential salaries and all executive 
compensation elements are publicly reported to the board. In the future the CSU 
will conduct a total compensation study which also will include benefits. Also, 
payroll and salary transaction training has taken place at all campuses. 

8. There was only one executive pay increase granted in 2008. It was to an interim 
Vice Chancellor who was promoted to Vice Chancellor. Also during 2008 two 
newly appointed Vice Chancellors were appointed along with one campus 



173 



Hauck 3 

President. Most significantly, the Board recruited and approved hiring for Dr. Jeri 
Echeverria as the new Executive Vice Chancellor and Chief Academic Officer 
with a set salary that was $18,000 below that of her predecessor. Executive 
salaries in the CSU still lag the market by 39.6 %. 

College Affordability 

9. Student Fees. Affordability of a CSU education is a major concern of the Board. 
Fee increases always are considered very carefully. Even though fees have risen 
in the last few years they are still below the CPEC comparable institutions. 
Nevertheless, we know that the cost of living in many areas of California is a 
factor potential students must consider when choosing a college. The Board 
resorts to fee increases only when absolutely necessary and always sets aside one 
-third of the increase for State University Grants. The system also was very active 
recently in Washington advocating for increasing the maximum Pell Grant award 
and the total Pell Grant dollars allocated to the CSU. Whenever fees are increased 
as much public notice as possible is provided and all decisions are made in open 
public meetings. 

10. Fee Policy. The most important elements of a fee policy are that they be 
affordable, predictable and reliable. Parents and students need the ability to plan 
for fees and the assurance that they can rely on a steady policy that doesn't 
change abruptly. In 1993 the CSU did establish a fee policy that met the above 
criteria and promised that fees would not exceed one-third of the cost of 
instruction. Our ability to implement the policy has often been upset when in good 
economic times the Legislature decided to "buy out" a proposed (modest) fee 
increase. Over the last 18 years on average fees have increased by 8 per cent per 
year. I do not believe the Governor and the Legislature should decide on fees but 
the state budget process and the availability of General Fund resources in support 
of the CSU inevitably "involve" the two branches in the fee issue. 

11. The Board is constantly evaluating the affordability of a CSU education 
especially in relation to the objective of graduating more students. Every potential 
financial aid avenue is pursued. Additionally, the board has made it explicit that 
student loans be the last financial aid option preceeded by all possible grant 
opportunities. 

12. Every effort possible is made to hold down costs. However, it must be recognized 
that the system's major operating cost is salaries and benefits for all employees 
and each year there is understandable pressure to increase compensation for 
everyone. Not to do so whenever possible would not be equitable for employees 
and presents a real recruitment barrier for the University. 

Enrollment Growth 

13. A review of the data shows that overall FTE applications are up 2 percent over 
fall 2008. Regional differences range between the LA Basin (down 1 per cent) to 
the Central Coast (up 5 percent). As to ethnicity Caucasian and Latino 



174 



Hauck 4 

applications increased while African-American and Asian/Pacific Islander 
applicants declined slightly. It appears that the early application closings had little 
or no negative impacts. 

14. This is a major priority for the CSU. Since our public schools now have a 
majority minority enrollment it is especially important to inform students and 
parents of the opportunities available to them in the CSU. "How to go to College" 
posters have been distributed in several languages throughout the state (paid for 
by a private donation) and extensive use is made of the internet as well as school 
and community college counselors. For several years now the Chancellor has 
conducted "Super Sundays" in African-American churches throughout the state. 
Similar days have been conducted in Latino churches. Overall, applications from 
both ethnic groups have increased as a result of these efforts. 

15. The level of funding provided to the CSU by the legislature and Governor as well 
as net fee revenue drives the determination of what level of enrollment can be 
supported. The CSU would like to accommodate every eligible student but can do 
so only when sufficient resources are available. Especially in times of scarce 
resources the University should be permitted to manage its enrollment in a 
manner that provides equitable treatment of all potential students. In addition, the 
system is working very hard to move students to graduation as quickly as possible 
with no more than the number of academic units required for their major. Doing 
so frees-up space for entering students. Today in the CSU the number of units 
required for graduation is 120 in nearly 80 percent of the majors. Students are 
discouraged from taking more than the required number and from repeating 
classes to achieve a higher grade. 

Academic Preparation and Early Assessment 

16. The Early Assessment Program (EAP) was developed in collaboration with the 
State Department of Education. It assesses 11 th grade student readiness for college 
in English and Math. Questions in each area are added to the California 
Standards Test (CST) and participation is voluntary. 

Since its inception six years ago the response to the EAP has been overwhelming. 
In 2008 approximately 352,943 high school juniors opted to take the test. For 
English this was a 79 percent participation rate and for math 70 percent 
participated. The Board has paid close attention to this program for a number of 
reasons. First, if students have basic proficiency in these areas they are likely to 
graduate. Second, the cost to remediate students who are admitted has become a 
major burden for the University. Third, this is an area where the CSU and the 
state's high schools need to work in close cooperation. The CSU also has offered 
on-line and summer courses in these areas for students who are not sufficiently 
proficient to meet our standards. 

We are satisfied with the program and its implementation but not with the student 
results. It is clear that much more work needs to be done with K-12 schools to be 



175 



Hauck 5 

sure that when graduating from high school students are ready for work or 
college. 

17. The Board and Legislature annually receive a report on Student Academic 
Outreach Program Activity. The areas of outreach include: K-14 Students, K-14 
Institutions, Parents, Families, Community Members, and the EAP. Most of these 
efforts are aimed at reaching ''disadvantaged" students as well as those that are 
not. The Board pays close attention to enrollment levels of these students and as 
noted above is very aware of remediation issues. Every effort possible is made to 
quickly remediate all relevant students. As you can imagine this is a challenging 
task 

18. All 23 CSU campuses have developed, implemented and administered nearly 500 
outreach programs at more than 3000 K-12 schools. The programs include 
tutoring, mentoring, field trips, information and motivation activities. For 
example, recently CSU Monterey Bay conducted an on-campus program for 
nearly 500 middle school students from the Salinas Valley. Over time, these 
programs are effective if they are consistently sustained. In addition to the reports 
received by the Board this is a subject of discussion during all Presidential 
evaluations. 

19. While I am certainly not an expert in this area I am informed that it is possible 
today in California's high schools for a student to meet the requirements for high 
school graduation as well as for Career Technical Education (CDE) and CSU/UC 
eligibility. 

20. As the primary provider of public school teachers in California the CSU must 
play a major role in responding to all educational innovations in the K-12 system. 
Currently at several campuses with the support of an external funder these schools 
are piloting a program to train aspiring teachers in the context of career-themed 
learning. Four CSU campuses have augmented their approved secondary 
credential programs to support candidates' field placement in career-themed 
settings. 

Title IX 

21. The Board now receives an annual report on Title IX compliance. The subject 
also is discussed at other Board meetings because of its importance. There is no 
doubt that the problems at Fresno State substantially raised the level of visibility 
and concern on the Board related to women's Athletics. I am satisfied that the 
Fresno State situation has been addressed and largely remedied. It also should be 
noted that this is a subject regularly addressed during Presidential evaluations. 
There can be no excuse for lack of compliance in this area. 

CSU Response to Workforce Needs 

22. Since the CSU is critical to meeting workforce needs in the state extensive 
research and work is done prior to the approval of any new degree. Individual 



176 



Hauck 6 



campuses also continually evaluate existing degree programs to be sure that they 
remain relevant to current and future workforce needs. In addition CSU campuses 
have professional advisory boards and the Chancellor's office is very active in 
evaluating new program requests. 

One specific example illustrating our commitment to analyzing the state's long- 
term workforce needs and acting on recommendations from industry was the 
establishment of 15 Professional Science Masters Programs in fields such as 
biotechnology, biostatistics, medical product development and environmental 
sciences. 

The same thing can be said of the CSU's role in preparing students for high 
growth and demanding professions in the health field. The CSU also is partnering 
with the state's Community Colleges (CCC) to form regional education coalitions 
to expedite training in health professions. 

Finally, the CSU is working with a variety of high demand industries including 
agriculture, engineering, entertainment and tourism. 

23. I believe the CSU is responding quickly to high growth workforce needs (as 
outlined above) and regularly evaluating existing programs for their current 
relevance. The Board needs to pay close attention to each of these areas to assure 
citizens and the legislature that scarce public funds are being expended wisely in 
furtherance of the CSU's primary mission of workforce preparation. 

24. As discussed in answer to previous questions (see especially # 3) this is a major 
and important responsibility for the Board. It could not be otherwise since the 
CSU trains more than 60 percent of the state's public school teachers. The 
Chancellor and the Board are constantly monitoring and tracking teacher training 
programs to be sure that they are relevant to today's needs. The overall results in 
our public schools indicate that we have much work to do in this area in 
partnership with the leaders of K-14 education in the state. Available data 
indicates that we are doing better but not yet well enough. 

Green Economy 

25. This subject is addressed directly by the Board in their recently approved strategic 
plan entitled 'Access to Excellence." In that plan there is a commitment to 
sustainability including the design and implementation of new degree programs 
relevant to the development of new "green economies." 

There are diverse efforts underway in aligning the CSU's educational programs 
with the needs of the evolving '"green economy." 

For example, the CSU is supporting UC's proposal alongside CCC and private 
higher education to create a California Climate Change Institute. Chico State and 
Butte College are partnering to offer and environmental Sciences B.S. degree. 



177 



Hauck 7 



The above represents an excellent example of the CSU responding to a 
demanding and high growth workforce need in our economy. 

I appreciate the opportunity to respond to these questions and look forward to 
discussing them with the Rules Committee on June 10, 2009. 

CorflTall! ' 




I 

William Hauck 
President 



178 



179 



The California State University 

Bakersfield • Chico • Channel Islands • Dominguez Hills • East Bay • Fresno • Fullerton • Humboldt 
Long Beach • Los Angeles • Maritime Academy • Monterey Bay • Northridge • Pomona • Sacramento 
San Bernardino • San Diego • San Francisco • San Jose • San Luis Obispo • San Marcos • Sonoma • Stanislaus 



Board of Trustees 

£* Officio Members 
Arnold Schwarzenegger 
Governor 

John Garamendi 
Lieutenant Governor 

Karen Bass 
Speaker of the Assembly 

Jack O'Connell 
State Superintendent 
of Public Instruction 

Charles B. Reed 
Chancellor 

Appointed Members 

Jeffrey L. Bleich 
Chair 

Herbert L. Carter 
Vice Chair 

Roberta Achtenberg 

Carol R. Chandler 

Debra S. Farar 

Kenneth Fong 

Margaret G. Fortune 

George G. Gowgani 

Melinda Guzman 

Curtis Grima 

William Hauck 

aymond W. Holdsworth 

Linda A. Lang 

A. Robert Linscheid 

Peter Mehas 

Henry Mendoza 

Lou Monville 

Craig R. Smith 

Russel Statham 

Glen Toney 

401 Golden Shore 

Long Beach, California 

90802-4210 



Telephone: (562)951-4020 




May 27, 2009 



The Honorable Darrell Steinberg, Chair 
Senate Rules Committee 
State Capitol, Room 400 
Sacramento, California 95814 

RE: CALIFORNIA STATE UNIVERSITY, BOARD OF TRUSTEES 
HEARING, June 10, 2009 



CONFIRMATION 



Dear Senator Steinberg: 

Thank you for the opportunity to respond to your inquiries as we move towards the June 10 th 
hearing on my confirmation as a member of the California State University (CSU) Board of 
Trustees. Below please find my responses for your review. I look forward to meeting with 
each of you, fellow committee members and your staff in the coming days to discuss my 
interest in this important public service role. 

Statement of Goals 

Question 1: Please provide a brief statement outlining the goals you hope to accomplish 
while serving as a member of the CSU Board of Trustees. How will you measure your 
success? 

I am the son of an immigrant mother and a father who was a United States (U.S.) citizen that 
was "repatriated" during the depression at a young age along with his family. My father 
returned to the U.S. without much of an education and not knowing any English and worked 
in the fields of California following the crops. Knowing this was the land of opportunity he 
enrolled in night school and learned English so he could get a job in a factory and raise a 
family. He knew he wanted better for his children so he pushed us to go to school and get an 
education. 

As the son of a first generation American my exposure to higher education and careers 
outside of the factory and labor fields was limited. In high school I was encouraged to apply 
to all universities but the proximity of Cal State Fullerton suited me as well as my Hispanic 
culture of staying close to your family. If it was not for the outreach, accessibility, 
affordability and financial aid I would not have been able to attend college. I owe all of my 
success to my education through the California State University (CSU) system. 

The goals that I hope to accomplish while serving as a member of the CSU Board of 
Trustees are as follows: 

• Strive to keep the cost of education affordable and accessible to all who want it in the 
State of California. This is very challenging in the current economic environment. 



$enm Rules Committee 



iw z / ?ooe 



180 



The Honorable Darrell Steinberg 
May 27, 2009 
Page 2 of 9 

• Help reduce the dropout rate among high school and middle school children through outreach and 
education. This is a huge problem for the Hispanic population in particular. With the demographics 
changing and expected continued growth in the Hispanic population this is an issue that must be the 
focus of our efforts. I believe that the state of California and the CSU system together must address 
this issue. This is a social, economic and a workforce issue. 

• Keep the CSU system economically healthy. This is a delicate issue since we depend on State 
funding. As stewards of the system, we must get creative with funding and containing costs without 
affecting the great quality of our education. 

• Keep the CSU as the premier educational system in the state of California by providing for an 
educated workforce for our new "green" economy. We need to make sure that everyone in our 
society has the opportunity to participate in the economic rewards this state and country have to 
offer. 

I will measure my success by seeing the CSU system flourish by providing an affordable and quality 
education, seeing our workforce ready for the future and stemming the tide of the dropout trends in our 
communities. 



Question 2: How will you evaluate the extent to which the CSU system is succeeding in its mission? 
What yardsticks are most important to you as you make this determination? 

I believe that we will see that the CSU has succeeded in its mission when there is still a great demand for 
its education, its stays accessible and affordable to all. We will also consider ourselves successful if 
California stays in the forefront of all technologies and trends and is continuing its work to meet the needs 
of our workforce today and in the future. 

As I mentioned earlier, with the changing of the demographics in the State, we must stem the dropout rate 
in Hispanics and increase their involvement in higher education. If not a very large portion of our 
population will not be able to participate in the economic rewards the State has to offer. And therefore I 
believe our system will then fail. 

Question 3: Some 120,000 young people drop out of high school and middle school annually in 
California. What role, if any, should CSU play in turning the dropout crisis around? How does the 
board weigh in on what should be done? 

The California State University should and does work collaboratively with K- 1 2 in reducing the dropout 
rate through various academic preparation and outreach programs. One effort I am particularly interested 
in is the partnerships CSU and its campuses have with community-based organizations such as the Parent 
Institute for Quality Education (PIQE) and black churches throughout the year to help parents and families 
ensure that their children are ready and prepared to not only graduate from high school but succeed in 
college or the workforce. As one of the first in my family to get a college degree, I know what value these 
efforts have within the family not just with the students and believe that will continue to show great 
success. We recently had a report from our staff about these programs and I was thrilled to hear that we 
were seeing double digit increases in applications from these very populations. 

As a Board member I work with my colleagues to set the tone from the top. We lead not only by our 
oversight and policy direction but also working closely with the Chancellor and campus presidents; 
participating in community activities; reaching out to business, employers and others to leam about what 



181 



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The Honorable Darrell Steinberg 
May 27, 2009 
Page 3 of 9 

they need from the CSU; and of course meeting as often as possible with students, faculty, staff and others 
working hard every day to succeed and make CSU the best it can be. 



Question 4: What role does the board play in reviewing and approving executive compensation 
policies? Does the board periodically review and reassess these policies? 

The Board established a compensation philosophy relating to executive compensation (September 1 7, 
2007) and has revised policies regarding executive transition and trustee professorship programs. The 
Board's committee for university and faculty personnel reviews and approves recommendations on 
appropriate compensation levels for executives that are then ratified by the full board. 

As a newer member of the Board I was not specifically involved in the development of all of these policies 
in 2006 and 2007 but have been briefed on them and believe that they are appropriate and responsive. I 
believe these policies ensure that we operate in a manner that is expected of a public entity such the CSU 
without negatively impacting our ability to attract and retain the best to our system. 

Question 5: What is the CSU board doing to reevaluate its overall capacity to oversee and hold the 
system accountable on matters of compensation and other key issues? 

The Board created an ad hoc committee in 2007 to evaluate the recommendations of the state auditor. The 
committee made specific suggestions to address the issues that were raised, and were adopted by the Board 
in 2008. The Chancellor is monitoring implementation and issued a report on progress to the Bureau of 
State Audits (BSA) on November 4, 2008. 

Question 6: How does the board balance the need to attract and retain qualified senior staff, while at 
the same time providing management effectiveness and accountability against a backdrop of reduced 
state support and likely increase of student fees? 

The Chancellor and the Board struggle with this issue constantly. We compete with both the private sector 
and public universities in our search for executives, staff and faculty. We work with the Chancellor to 
ensure that our executive salaries are competitive and within our adopted policies. We also monitor this 
issue constantly not only during public meetings but as we participate in campus presidential searches and 
evaluations. 



Question 7: Do you think the CSU has adhered to the auditor's recommendations that CSU committed 
to adopt? If not, why not? What issues are still outstanding and need to be addressed 

I believe that the CSU has adhered to the auditor's recommendations that we committed to as outlined in 
the November 4, 2008 letter from Chancellor Reed to the Bureau of State Audits (BSA). We have 
conducted payroll and transaction training for campus personnel, developed a new policy with regard to 
vice presidents' salaries and receive reports from the Chancellor on vice president salaries, vice president 
compensation, executives who participate in the trustee professor and executive transition programs and 
relocation expense for executives. We also plan to conduct a total compensation report to include benefits. 

Question 8: When the university receives no funding for COLAs (as is the case in 2008-09), the 
university must shift funds from other sources in order to cover any COLA that it chooses to grant 



182 



The Honorable Darrell Steinberg 
May 27, 2009 
Page 4 of 9 

Where did they money for the 2008 salary increases come from, and do you think this money was best 
spent on executive salary increases? 

There were no pay increases in 2008 except one pay increase granted to a CSU executive when an interim 
vice chancellor was promoted to the permanent position. Other executive salary actions by the Board were 
to approve the initial salaries for two newly appointed vice chancellors and a campus president. Just 
recently we approved the appointment of Dr. Jeri Echeverria as the incoming Executive Vice Chancellor 
and Chief Academic Officer of the system at a rate $1 8,000 BELOW her predecessor, Dr. Gary Reichard. 

The only other increases that may occur are those for represented employees which are based on contracts 
ratified by the Board. 

Question 9: The board has the authority to establish, adjust, and abolish student fees. How does the 
board ensure that it is accountable to the public each time it increases fees? As a board member, what 
are the key factors you will consider when deciding whether to approve student fee increases? 

The Board takes the issue of fee increases very seriously. I am a product of the CSU system and I know 
how sensitive many families and students are to fee increases. As a Board member, the key factors I will 
consider when deciding whether to approve student fee increases will include but are not limited to: level 
of state support for the CSU; impact on students, especially for low income students; level of funding set 
aside for our State University Grant (SUG) program; availability of federal Pell grant awards and other 
financial assistance; and finally whether the fees are as moderate, predictable and affordable in the context 
of the state funding available to the system to protect the quality of our programs and services. 



Question 10: California lacks a consistent fee policy for postsecondary education. During tight budget 
years, student fees often increase quite steeply. Do you believe the state should develop a long-term state 
funding and student fee policy? If so, what role should the board have in developing such a policy? To 
what extent should the Governor and Legislature be involved in CSU's decisions about fees? 

The CSU Board of Trustees has a fee policy adopted in 1993 which is consistent with my views outlined in 
Question 9. I believe that this is an appropriate approach especially in the context of severe budget 
reductions to the system and the role the legislature and governor play in these decisions through the 
annual budget deliberations. 



Question 11: What is the board doing to evaluate the affordability of a CSU education, beyond just the 
cost of student fees? Has the board examined the increased costs of textbooks and whether more state 
university grant aid should be available to help students cover this expense and other costs of attending 
college? To what extent does CSU take into account opportunities for federal financial aid, such as Pell 
Grants and the American Opportunity tax credits? 

The CSU regularly evaluates the key components driving the cost of education as much as we can within 
the restraints of statutory restrictions as well as contracts with our 13 unions. These costs include health 
care, risk management, construction, workers compensation, salary and wages including hiring freezes and 
travel restrictions. 



183 



The Honorable Darrell Steinberg 
May 27, 2009 
Page 5 of 9 

We are serving more students, with less state support and have been doing so even before these latest 
proposed cuts for 2009-10. Every day I believe our faculty and staff are finding new ways to do our work 
within these limited means resulting in efficiencies just on the natural. 

The Board has received reports at our last two meetings on how we are using technology to teach students 
and I am confident that we are moving in the right direction on providing even more courses and full 
programs online. We also have been recognized by the BSA for our work on the Digital Marketplace to 
provide textbooks and others materials to students through our digital library. Additionally, the CSU is 
implementing BSA recommendations for timely placement of textbook orders and faculty sensitivity to 
textbook costs, enabling bookstores to get the best prices for students. 

The CSU has been active in Washington D.C. to ensure that our students get the most support possible 
through federal aid programs including Pell grants. As a result more than 120,000 CSU students are 
receiving Pell Grants, providing an increase of $81 million, uping the maximum award by $619 to $5,350. 
The federal stimulus package also provided more funds for the work-study program, which will allow an 
additional 1,400 CSU students to participate in the program and earn a combined $3.5 million. Finally I 
am told that the American Opportunity Tax Credit will also benefit CSU students and families. The tax 
reductions available for CSU students and families for the Tax Year 2009 total an estimated $33 million. 

A fact that was shared with me that shows the CSU is looking to help students with financial aid is that 
approximately 57 percent of students receiving a bachelor's degree from the CSU graduate without any 
education loan debt. 



Question 12: Affordability is affected by how much it costs CSU to provide educational services. What 
steps has and should CSU take to hold down these costs? 

In addition to the items discussed in my Question 1 1 reply, steps that the CSU must continue to work on to 
hold down educational services include (1) ongoing work to develop instructional strategies, including use 
of technology, for "bottleneck" courses that have relatively low student success rates (i.e., that many 
students fail and/or drop, and thus need to repeat); (2) developing more online courses which also requires 
working with the faculty union to make these available to more students; (3) development of regionally- 
based, multi-campus academic programs where it is cost-effective to do so. 



Question 13: The fall 2009 freshman admissions cycle took place in a challenging context, which 
included budgetary constraints and unfunded over-enrollments on most campuses. Potentially, CSU 
may curtail enrollment by up to 10,000 students throughout the system. Are the trustees informed of any 
trends that can be detected from the preliminary admissions data as to the effect the system-wide 
impaction has had on applicants and their preferred campus of choice, in addition to whether certain 
parts of the state were more adversely affected than others as a result of the impaction? 

The CSU attempted 'to curtail enrollment by up to 10,000 students for the 2009-10 year given the lack of 
funding for these students, and in turn concerns about access to courses, programs and services for these 
students to succeed in a timely manner. We were not successful given the increasing demand for college 
in this tough economy, thus we understand we will likely serve 7,000 more students throughout the system 
without state funding even with campus efforts. This will continue to be an issue that all of us cannot 
ignore; there is only so long we can maintain this level of access without funding for the faculty and staff 
to serve these students. 



184 



The Honorable Darrell Steinberg 
May 27, 2009 
Page 6 of 9 

Question 14: For the last several years, CSU has been engaged in efforts to reach out to students who 
have historically not been part of higher education in California. What impact will the system-wide 
impaction have on these students? What steps is CSU taking to inform underserved communities and 
the high schools serving these students of the changes in application deadlines along with the potential 
for differing admissions criteria among the CSU campuses? 

Underserved communities are being informed through their schools and community colleges. As stated 
above there has been outreach through the churches and other programs as well as distributing an 
informational poster in various languages. Please see response to Question 2. 

Applications to CSU from historically under-represented populations, e.g. African- Americans and Latino/a 
high school seniors have actually increased. Earlier closings of application cycles have not been 
accompanied by any decrease in the diversity of the CSU applicant pool according to data shared with the 
Board earlier this spring. 



Question 15: CSU's latest Compact Performance Measures report shows that almost 3,400 full-time 
equivalent students (FTES) were used up last year in the form of "excess course units" - that is, 
students taking courses beyond 120 percent of the minimum number required for graduation. As 
another example, more than one-third of regularly admitted freshmen never graduate from CSU. What 
steps should CSU take to make more efficient use of its enrollment funding? 

The Board and Chancellor Reed are convinced that we can do more to improve student efficiency and 
degree completion. We still have work to do to ensure that community college transfer students come to 
our campuses with the 60 units they need rather than "excess units" that they do not need to complete a 
degree. We also need to do a better job in tracking and advising students so that they in fact stay the 
course. We have also recently urged campuses to examine the status of what we call "super seniors" - 
seniors that are within reach of degree completion and steer them in that direction. The challenge of 
course is getting such students to leave as they face this terrible economy and job market. 

The CSU is closely monitoring the issue of excess course units. Additionally, the CSU is addressing the 
issue of student dropouts through the outreach programs we have mentioned in previous questions as well 
as limiting academic programs that require more than 120 units. The number of degree programs requiring 
120 semester units is 77%. 

We now require annual reporting to the Board on the number of bachelor's programs that exceed 120 
required units and justification and review of any proposed bachelor's degree program proposal that 
exceeds 120 required units. And starting in fall 2009, a new Executive Order will require students to use 
course repeats and course withdrawals very sparingly. 

All of these and others are part of our overall effort to improve graduation rates, reduce unnecessary time 
and costs to students and the state, and to ensure the quality of our programs and services. It is an art and a 
science that I am confident that our system leaders and academic professionals are working diligently to 
achieve the results we all want for CSU. 



Question 16: How does the board monitor the effectiveness of the early assessment program and 
whether it has helped increase the graduation rates of CSU students needing remediation in basic 
skills? Do you have empirical data? Are you satisfied with how the policy is being implemented? 



185 



The Honorable Darrell Steinberg 
May 27, 2009 
Page 7 of 9 

The board monitors the effectiveness of the early assessment program (EAP) by receiving reports on the 
outcomes of remediation each year. The CSU does not have any data yet on whether it affects graduation 
rates; however I have been informed that empirical data indicates that remedial students that attain 
proficiency during their first year exhibit graduation rates that are on par with the graduation rates for 
students that are Math/English proficient at entry. 



Question 1 7: How does the board evaluate which types of outreach programs are most effective in 
helping disadvantaged students enroll in college? Is the board kept informed of students ' remediation 
needs once enrolled at CSU and whether they are being met appropriately? 

The annual outreach report is provided to the Board and the legislature and includes funding for the EAP, 
our How to Go to College posters, and our partnerships with churches and other community based groups. 
Ironically this report was recently used to propose cutting all state funding for our academic preparation 
and outreach programs in the 2009-10 as part of the budget solution. We have already begun urging the 
Administration and legislative representatives that these programs are critical for the CSU and the students 
it serves today and in the future. Our hope is that if such cuts are necessary that they be made unallocated 
so that we can protect as many of these programs as possible going forward. 



Question 18: How do you evaluate the quality of coordination between CSU outreach programs and K- 
12 schools to determine if it provides the best mix of outreach interventions? Is this an appropriate area 
for the board to weigh in? 

As noted in the answer to Question 1 7, the annual outreach report that is provided each year to the Board 
of Trustees and legislature summarizes the mix of outreach programs provided to K-12 schools and 
students. 

I believe that this is an area the board can weigh in on a system wide basis. Board members have diverse 
backgrounds and experiences and are able to add their suggestions and even get involved. Individual 
campuses have developed their own specific outreach programs with K-12 schools tailored to meet 
specific regional needs. 



Question 19: High school students who want to pursue a college pre curriculum in California must 
devote nearly their entire schedule to completing A-G coursework, leaving little room for career tech or 
other electives. How does the board monitor this issue and weigh in? Do you believe the current 
requirements are the best ones, or have you considered easing them even slightly as some have 
suggested by requiring A-F? 

College and career preparatory education are often perceived as competing agendas but at the CSU we 
consider them one and the same. Many students, parents, and school counselors imagine that students must 
choose between preparing for college or careers. As an analysis of high school graduation requirements, 
recommended career technical education and A-G requirements demonstrates, students are able to take 4.5 
elective courses. We have also worked with UC to get ever 7,000 CTE courses approved as A-G courses - 
this is up from 500 just a few years ago. CSU advocates for both in their counselor conferences. We do 
not believe it is an either/or as suggested by some advocates. Given the information I have reviewed, I do 
not believe that the current requirements need to be eased; but we do need to continue efforts to make sure 
high school counselors, parents and students know that they can succeed with CTE as part of their 
curriculum in preparing for college or work. 



186 



The Honorable Darrell Steinberg 
May 27, 2009 
Page 8 of 9 

Question 20: Secondary school programs such as Career Partnership Academies and small career- 
themed high schools have shown success in engaging at-risk students with "contextualized" or applied 
learning strategies that draw a clear line from what they are gaining in high school to what they will 
need to succeed in the adult world of work. What role, if any, should CSV play in preparing or 
providing professional development to aspiring and current secondary school teachers so that they are 
equipped to develop and lead such programs? 

I believe that the CSU should play a role in preparing practicing and prospective secondary teachers to 
teach in and provide leadership to career partnership academies and career-themed high schools. 

I understand that four CSU campuses have augmented their approved secondary credential programs to 
support candidates' field placement in career-themed settings and to provide them with the opportunity to 
practice problem based learning and other effective strategies for enhancing applied learning and 
application of academic content skills to the world of work. 



Question 21: Title DC violations at Fresno State have resulted in very costly settlements. How is your 
board monitoring this situation to assure compliance with the law? Are you satisfied that the problems 
at Fresno State have been addressed? How do you monitor Title DC activities at the other campuses? 

The Board of Trustees monitors this situation through an annual report on the compliance with the law and 
efforts by the campus to meet equal opportunity in athletics for women. Additionally, a council of campus 
presidents monitor campuses compliance with Title IX and athletic equity status at all campuses and 
reports them to the Chancellor and Board. In cases where campuses are unable to demonstrate compliance 
they are required to offer a remedial plan. 

Based on the actions taken by the CSU and the Board I believe that the problem at Fresno State has been 
addressed. 



Question 22: What is the board doing to analyze the state 's long-term workforce needs and determine 
the system 's capacity to respond to educating students to enter high-growth fields? 

The CSU is very active in analyzing the state's long term workforce needs to determine the systems 
capacity to respond to educating students to enter high-growth fields. Prior to the development of new 
degree program proposals, extensive workforce demand research is undertaken to determine both the 
current market need and growth potential of a degree program. 

CSU campuses have professional advisory boards for various schools, colleges, departments, and 
programs. With membership including faculty and professionals in the field, these groups contribute to the 
campus' understanding of employment needs. The Chancellor's Office investigates all new program 
requests and all claims of employment needs that are brought forward by professional organizations, 
accreditors, students, faculty and campuses. Finally proposed degree programs must provide evidence of 
sufficient student demand and state, regional or local workforce need. 



Question 23: What is the appropriate role for the board in terms of helping campuses strengthen their 
capacity to respond more quickly to the demand for programs that train students to enter high-growth 
fields? Conversely, should the board respond to declines in enrollment in programs that are no longer 
in demand because of changing workforce needs? 



187 



The Honorable Darrell Steinberg 
May 27, 2009 
Page 9 of 9 

The Board reviews degree programs for approval that are responsive to workforce demands, and provides 
the same service when programs are slated for discontinuation because demands have fallen off. 

As described above in response to Question 22, the CSU is very responsive in analyzing the states long- 
term workforce needs and helping campuses strengthen their capacity to respond more quickly to the 
demand for programs that train students to enter high-growth fields. 



Question 24: How does the CSU propose to align the opportunities of California 's green economy with 
educational and career development programs at its campuses? Is this an issue area on which your 
board provides guidance? If so, how? 

The Board considers and approves campus proposals to implement new degree programs. 

The CSU offers over 50 degrees in programs, in which students may learn content applicable to careers in 
occupations related to the environment. Some of these degrees include Ecological Economics, 
Environmental Policy and Natural Resources Planning and Interpretation. As stated in the answers to the 
questions above the CSU is always working to keep up with the demands of the workforce to provide 
programs and training for future careers which include the green economy. 



Question 25: How does the CSU propose to align the opportunities of California's green economy with 
educational and career development programs at its campuses? Is this an issue area on which your 
board provides guidance? If so, how? 

The CSU proposes to align the opportunities of California's green economy through the Board approved 
strategic plan, "Access to Excellence." Based on this research and pl annin g work we have identified 
sustainability issues, including the design and implementation of new degree programs, is a priority for the 
system. 



Thank you again for the chance to share some of my views and experience thus far as a member of the 
Board of Trustees. I look forward to working with you in the months and years ahead for all students and 
our state. 

Sincerely, 

Henry Mendoza 
Trustee 

cc: Members of the Senate Rules Committee 

Jeffrey L. Bleich, Chair, CSU Board of Trustees 

Chancellor Charles B. Reed 

Nettie Sabelhaus, Consultant, Senate Rules Committee 




188 



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HEARING 

SENATE RULES COMMITTEE 

STATE OF CALIFORNIA 




STATE CAPITOL 

ROOM 3191 

SACRAMENTO, CALIFORNIA 

WEDNESDAY, JUNE 24, 2009 

1:37 P.M. 



Gove RNMENT 

DOCUMENTS DEPJ 

MG 2 7 ms 

™BL/C LIBRARY 



621 -R 



SENATE RULES COMMITTEE 



STATE OF CALIFORNIA 



0O0 



HEARING 

STATE CAPITOL 
ROOM 3 191 
SACRAMENTO, CALIFORNIA 
- -0O0- - 

WEDNESDAY, JUNE 24, 2009 
1:37 P.M. 
- -oOo- - 



Reported By: INA C. LeBLANC 

Certified Shorthand Reporter 
CSR No. 6713 



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APPEARANCES 



MEMBERS PRESENT 



SENATOR DARRELL STEINBERG, Chair 

SENATOR GIL CEDILLO 

SENATOR SAMUEL AANESTAD 

SENATOR ROBERT DUTTON 

SENATOR JENNY OROPEZA 



STAFF PRESENT 

GREG SCHMIDT, Executive Officer 
JANE LEONARD BROWN, Committee Assistant 
NETTIE SABELHAUS, Appointments Consultant 
DAN SAVAGE, Assistant to SENATOR CEDILLO 
BILL BAILEY, Assistant to SENATOR AANESTAD 
CHRIS BURNS, Assistant to SENATOR DUTTON 
BRENDAN HUGHES, Assistant to SENATOR OROPEZA 



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INDEX 



Proceedings 

Vote-Only Item re Confirmation of: 

LEA A. CHRONES, Member, Board of Parole 
Hearings 

JACK E. GARNER, Member, Board of Parole 
Hearings 

HOLLIS H. GILLINGHAM, Member, Board of 
Parole Hearings 

ANTHONY P. KANE, Member, Board of Parole 
Hearings 

MICHAEL F. PRIZMICH, Member, Board of 
Parole Hearings 

STATEMENT BY CHAIRMAN STEINBERG 

STATEMENT BY SENATOR OROPEZA 

STATEMENT BY SENATOR CEDILLO 

- -oOo- - 

Proceedings Adjourned 

Certificate of Reporter 



- -oOo- - 



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PROCEEDINGS 

CHAIRMAN STEINBERG: Good afternoon. The 
Senate Rules Committee will come to order. 
Please call the roll. 
MS. BROWN: Senator Cedillo. 
Dutton . 
Oropeza . 

SENATOR OROPEZA: Here. 
MS. BROWN: Oropeza here. 
Aanestad . 

SENATOR AANESTAD: Here. 
MS. BROWN: Aanestad here. 
Steinberg . 

CHAIRMAN STEINBERG: Here. 
MS. BROWN: Steinberg here. 
CHAIRMAN STEINBERG: Senator Cedillo is here as 

SENATOR OROPEZA: I heard him bellow. 



well 



CHAIRMAN STEINBERG: Very good. We have four 
of the five members. We'll await Senator Dutton and of 
course leave the roll open for him as we take up various 
measures . 

All right. Let's begin with file item one, 
reference of bills. 

(Discussion off the record.) 



A 



1 CHAIRMAN STEINBERG: We'll leave the roll open 

2 for Senator Dutton. Thank you. 

3 All right. File item two are governor's 

4 appointees. These are for vote only, as we did hear the 

5 following members several weeks ago: Lea A. Chrones as 

6 a member of the Board of Parole Hearings; Jack E. Garner 

7 as a member of the Board of Parole Hearings; Hollis H. 

8 Gillingham as a member of the Board of Parole Hearings; 

9 Anthony P. Kane as a member of the Board of Parole 

10 Hearings; and Michael F. Prizmich as a member of the 

11 Board of Parole Hearings. 

12 I'd like to make a brief statement, if I might, 

13 about at least my recommendation as the chair of the 

14 Committee as to where we ought to go on these 

15 nominations. 

16 Members, we've heard eight members of the Board 

17 of Parole Hearings this year alone. We've spent many 

18 hours in these confirmation hearings, and we have 

19 reviewed transcripts. And, of course, the staff has 

20 attended numerous so-called lifer hearings. 

21 One of the reasons why we provide so much 

22 scrutiny is that the Board of Parole does much of its 

23 work out of the public view, inside the prisons, outside 

24 the view of the press. We need people who are fair, 

25 trustworthy, and well -prepared, because we are trusting 



1 them with our public safety. And these are very hard 

2 jobs . ' 

3 And, again, it's our job here -- We had this 

4 discussion with regard to another nominee. It's not our 

5 job to judge the character of people. It is our job, 

6 essentially, to conduct a public job interview, and if 

7 we decide in our best and fair judgment that somebody 

8 should just plain not get the job -- they may otherwise 

9 be a fine, outstanding human being -- it is our 

10 discretion and our duty to make a decision accordingly. 

11 We talked about, with regard to all of the 

12 members, serious concerns with the full board about how 

13 the board is interpreting Title 15 and recent court 

14 decisions about what the standard for review ought to be 

15 in determining whether a lifer is eligible for parole. 

16 We're still discussing the matter with the board and its 

17 staff, and we're also bringing other issues to its 

18 attention. 

19 Meanwhile, we have to decide how to proceed on 

20 the five members who are before us. And I want to 

21 essentially say that I'm going to recommend that we 

22 approve Ms. Chrones, Mr. Garner, Ms. Gillingham, and 

23 Mr. Prizmich, and that we do not confirm Anthony Kane. 

24 And I want to explain why. 

25 The Senate confirmed Mr. Kane in July 2007 as 



1 an associate superintendent within the Department of 

2 Corrections. He was the person in charge of all level- 

3 two and -three prisons. Yet he chose to retire just 

4 three months after confirmation. He told us that he 

5 attended a CalPERS workshop on October 10th where he 

6 discovered his best retirement date was October the 

7 18th. 

8 It simply doesn't feel right. In 2007 when 

9 Mr. Kane was up for confirmation for his previous job, 

10 he told the Rules Committee under Senator Perata's 

11 leadership, quote, "Why do I want this job? My answer 

12 to the question is that I would like to be part -- to 

13 take part in making positive changes to this department 

14 and give back to CDCR what has been afforded to me. I 

15 feel I have the energy, passion, and desire to assist in 

16 making this change. My desire is to be a change agent 

17 and a leader that will assist in steering the department 

18 in a positive direction." And yet three months later, 

19 he chose to retire, which is his right, but three months 

20 after that confirmation hearing. 

21 So here is the question before us: Should we 

22 reward this nominee with $111,800 a year salary for this 

23 job after leaving his previous job in just 15 months 

24 with full safety retirement? I think the answer is no. 

25 We are sending a message that we expect our 



1 highest -ranking appointees to provide leadership and a 

2 sense of responsibility for the positions to which 

3 they're appointed. And people have complete freedom of 

4 choice to do whatever they want with their lives, but 

5 then to come back and get a full safety pension and this 

6 position does not feel right. 

7 There's two other issues that troubled me as 

8 chair of the Committee. I asked Mr. Kane about one of 

9 his cases, and an attorney came to our witness table to 

10 discuss it, and he was adamant that the attorney seated 

11 next to him referred to the wrong case. He said, and 

12 this is a quote, "That wasn't your case. I remember 

13 exactly the case that it was." But it was he who had 

14 the facts wrong, as it turns out, as we went and 

15 researched it. His certainty, despite the fact that he 

16 was wrong, again gives me some serious reservations 

17 about how he would handle matters outside of his view. 

18 He also, you know, stated that in 2007, that he 

19 wanted to be a change agent. And, true, that was a 

20 different job; but in this job where most, if not all, 

21 of the other nominees said that as part of their job as 

22 arbiter and judge, they also deem themselves to have a 

23 responsibility to be advocates for a better system, 

24 Mr. Kane said that he didn't view that as part of his 

25 role. 



1 With regard to the pension issue, again, I just 

2 want to say to my colleagues and to the public that I 

3 want to announce that I will be seeking a change in the 

4 statute so that appointees to state boards and 

5 commissions will no longer be able to receive both a 

6 state pension as a retiree and a full salary as a member 

7 of the board. I hope the Rules Committee, my 

8 colleagues, and my colleagues throughout the legislature 

9 will join me in this important effort. I think it's an 

10 important signal to the public, and we'll bring that 

11 forward forthwith 

12 So, again, the recommendation is to, in fact, 

13 approve Lea A. Chrones, Jack E. Garner, 

14 Hollis H. Gillingham, and Michael Prizmich, and I'll 

15 take a motion to that effect. 

16 SENATOR OROPEZA: I so move. 

17 CHAIRMAN STEINBERG: Moved by Senator Oropeza. 

18 Other comments from Members? 

19 Yes, Senator Oropeza. 

20 SENATOR OROPEZA: Go ahead. Go ahead. 

21 SENATOR CEDILLO : No. Please. 

22 SENATOR OROPEZA: I would just like to say that 

23 I concur with the chair, particularly -- 

24 Well, I'd like to highlight the last item that 

25 you talked about in terms of bringing legislation that 



1 will make it impossible to, in essence, double-dip in 

2 our state system and have a full state pension and then 

3 come back for, you know, another job, another bite at 

4 the apple. I think that's been a manipulation of the 

5 system and one that is -- I don't think shows good 

6 faith. 

7 So I'm very pleased, Mr. Chair, that you are 

8 proposing this action and will be happy to be supportive 

9 when it comes forward and do whatever I can to be 

10 helpful in making sure that it is adopted. 

11 In terms of these other nominees, the ongoing 

12 issue that we had -- We had lengthy discussions with 

13 these individuals, and I think that they were very 

14 enlightening and important to our knowledge curve, or at 

15 least my knowledge curve, in terms of understanding how 

16 the Department of Corrections works, how the -- how 

17 Parole works, and I think I have come to learn that I 

18 feel that there needs to be reform. And I'm -- I don't 

19 hold that as a reason to withhold support for these 

20 nominees, for these other four nominees, but do want to 

21 point out for the record that I think there ' s some real 

22 things that were highlighted in those discussions that 

23 need to be addressed, either legislatively, 

24 administratively, or somehow. 

25 CHAIRMAN STEINBERG: Great. Thank you. 



10 



1 Senator Cedillo. 

2 SENATOR CEDILLO: Well, only to restate again 

3 our concern, or at least my concern, that we don't have 

4 the type of diversity that I believe is mandated by the 

5 Code - - 

6 CHAIRMAN STEINBERG: Good point. 

7 SENATOR CEDILLO: -- that we should, and that 

8 the problem exists that we believe and I believe that 

9 there are too many people who are eligible and notorious 

10 for parole and they're not being paroled. So that's a 

11 fundamental failure of the system. I believe it's 

12 partly tied to the appointees. Part of it -- I don't 

13 think it's the architecture of the parole board. I 

14 think it's probably the failure of placing the right 

15 appointees in those positions as they become available. 

16 So I will continue, as I have in the prior, to not take 

17 a position in support. 

18 You know, I think we have to think about the 

19 second point when people are in compliance -- It appears 

20 that Mr. Kane is in compliance with the spirit and 

21 letter of the law, and I think it's appropriate to 

22 reevaluate whether or not that's a circumstance that we 

23 want to continue to permit. 

24 CHAIRMAN STEINBERG: Thank you, Senator. 

25 Anybody else? 



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Okay. We have a motion on 


the 


floor to 


approve 


, again, under your agenda 2A 


, B, 


C, and E. 






Please call the roll. 










MS. BROWN: Senator Cedillo 


• 








Dutton . 










SENATOR DUTTON: Aye. 










MS. BROWN: Dutton aye. 










Oropeza . 










SENATOR OROPEZA: Aye. 










MS. BROWN: Oropeza aye. 










Aanestad . 










SENATOR AANESTAD: Aye. 










MS. BROWN: Aanestad aye. 










Steinberg . 










CHAIRMAN STEINBERG: Aye. 










MS. BROWN: Steinberg aye. 










CHAIRMAN STEINBERG: Okay. 


Four nothing. 


Those p 


ass . 










Now on -- Let's lift the call 


on file item one 


for 


Senator Dutton, the reference bi 


lis 








MS. BROWN: Senator Dutton. 










SENATOR DUTTON: Aye. 










MS. BROWN: Senator Dutton 


aye 








CHAIRMAN STEINBERG-: All ri 


ght 


That ' s out . 






2D, Anthony P. Kane, take a 


motion. Need a 



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formal motion by Senator Oropeza, don't I? 

MR. SCHMIDT: Just let it sit. 

CHAIRMAN STEINBERG: Okay. 

SENATOR AANESTAD: What's his date? 

MS. SABELHAUS: 28th of July. 

CHAIRMAN STEINBERG: Okay. Never mind. Let's 
move on . Thank you . 

(Thereupon, the Senate Rules Committee hearing 
adjourned at 1:49 p.m.) 



-oOo- - 



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- -oOo- - 

I, INA C. LeBLANC, a Certified Shorthand 
Reporter of the State of California, do hereby certify- 
that I am a disinterested person herein; that the 
foregoing transcript of the Senate Rules Committee 
hearing was reported verbatim in shorthand by me, 
INA C. LeBLANC, a Certified Shorthand Reporter of the 
State of California, and thereafter transcribed into 
typewriting . 

I further certify that I am not of counsel or 
attorney for any of the parties to said hearing, nor in 
any way interested in the outcome of said hearing. 

IN WITNESS WHEREOF, I have hereunto set my hand 
this eZidV day of cJlAMJL*- < 2009 ■ 



INA C. LeBLANC 
CSR No. 6713 




-oOo 



14 



621 -R 

Additional copies of this publication may be purchased for $3.25 per copy 
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Senate Publications & Flags 

1020 N Street, Room B-53 

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(916)651-1538 

Make checks or money orders payable to SENATE RULES COMMITTEE. 

Credit cards not accepted. 

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HEARING 

SENATE RULES COMMITTEE 

STATE OF CALIFORNIA 




STATE CAPITOL 

ROOM 113 

SACRAMENTO, CALIFORNIA 

WEDNESDAY, JULY 8, 2009 

1:49 P.M. 



GOVERNMENT 
DOCUMENTS D£pt 

AUG :■ 7 

SAN FRANCISCO 
PU8UC UBrary 



622-R 



SENATE RULES COMMITTEE 
STATE OF CALIFORNIA 
- -0O0- - 



HEARING 

STATE CAPITOL 

ROOM 113 

SACRAMENTO, CALIFORNIA 

- -0O0- - 

WEDNESDAY, JULY 8, 2 00 9 
1:49 P.M. 
- -oOo- - 



Reported By: INA C. LeBLANC 

Certified Shorthand Reporter 
CSR No. 6713 





SENATE RULES COMMITTEE 

STATE OF CALIFORNIA 

- -O0O- - 

HEARING 

STATE CAPITOL 
ROOM 1 1 3 
SACRAMENTO. CALIFORNIA 
oOo - * 

WEDNESDAY, JULY 8, 2009 
1:49 P.M. 

- -oOo- - 

Reported By INA C LeBLANC 

Certified Shorthand Reportei 
CSR No 6H) 


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IN DEX 

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Governor's Appointees: 

MARY S. FERNANDEZ, Undersecretary, Department 




Questions by CHAIRMAN STEINBERG re: 

Approaching challenges in the 
difficult budget environment 4 

Timeline on strategic plan 




Implementation of strategic plan 6 

What needs to be fixed in CDCR ... 7 

Completion of automation of inmate 
files 14 




Question by SENATOR AANESTAD re: 




STATEMENT BY SENATOR DUTTON 13 




Witnesses in Support of MARY S. FERNANDEZ: 
RUSSELL W. SNYDER, California Asphalt 




SAM HASSOUN, Association of California 




TED TOPPIN, Professional Engineers in 
California Government and California 
Association o f Pro fe ss io n a 1 S cie n tis ts 18 

RICHARD WOONACOTT, Friend 18 


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APPEARANCES 
MEM BERS PRESENT 

SENATOR DARRELL STEINBERG, Chair 
SENATOR GIL CEDILLO 
SENATOR SAMUEL AANESTAD 
SENATOR ROBERT DUTTON 

STAFF PRESENT 

GREG SCHMIDT, Executive Officer 
JANE LEONARD BROWN, Committee Assistant 
NETTIE SABELHAUS, Appointments Consultant 
DAN SAVAGE, Assistant to SENATOR CEDILLO 
BILL BAILEY, Assistant to SENATOR AANESTAD 
CHRIS BURNS, Assistant to SENATOR DUTTON 

ALSO PRESENT 

MARY S. FERNANDEZ, Undersecretary, Department of 
Corrections and Rehabilitation 

STEPHEN L. EDINGER, Member, Oil Spill Response 
A d m in is tra to r 

TAM M DODUC, Member, State Water Resources Control 
Board 

FRANCES S. WEBER, Member, State Water Resources Control 
Board 

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Witness in Opposition to MARY S. FERNANDEZ: 

DAVID WARREN, Taxpayers for Improving Public 
Safety 19 

--oOo -• 
STEPHEN L. EDINGER, Member, Oil Spill Response 


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Busan incident 25 

Consolidating authority for 


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Witnesses in Support of STEPHEN L. EDINGER: 
TED TOPPIN, California Association of 


JERRY KARNOW, JR., California Fish and Game 


7 

8 
9 

1 
2 
3 
4 
5 


GEORGE OSBORN, Advanced Cleanup Technologies, 
Inc 30 


BRIAN ARNOLD, California Fish and Game 
Wardens, Supervisors and Managers 


--0O0-- 

TAM M. DUDOC, Member, State Water 
Resources Control Board 33 

FRANCES S. WEBER, Member, State Water 
Resources Control Board 33 



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Questions by CHAIRMAN STEINBERG re: 

Reorganization/consolidation 37 

TMDL development 39 

STATEMENT BY SENATOR AANESTAD 4 2 

Wi tnesses in Support of FRANCES S. WEBER and 
TAM M DUDOC : 

CELESTE CANTU, Santa Ana Watershed Project 
Authority 46 



RICHARD HARRIS, Water Reuse Association 46 

JACK HAWKS, California Water Association .... 48 

MIKE DILLON, California Association of 
Sanitation Agencies 49 

BARBARA BYRNE, Planning and Conservation 
League 50 

Witness in Support of FRANCES S. WEBER : 

PHILLIP UNG, The Nature Conservancy 50 



-oOo- 



Vote-Only Item re Confirmation of: 

MONICA S. HUNTER, Ph.D., Member, Water Quality 
Control Board, Central Coast Region 52 

RUSSELL M. JEFFRIES, Member, Water Quality 
Control Board, Central Coast Region 52 

KATHERINE J. HART, Member, Water Quality 
Control Board, Central Coast Region 52 

THOMAS J. DAVIS, Member, Water Quality 
Control Board, Colorado River Basin Region ... 52 

JEFFREY A. HAYS, Member, WaterQuality 

Control Board, Colorado River Basin Region ... 52 



1 PROCEEDINGS 

2 CHAIRMAN STEINBERG : Good afternoon, everyone. 

3 The Senate Rules Committee will come to order. 

4 I apologize for being late. I have a few other 

5 pressing matters going on here in the Legislature. 

6 We do have enough members for a quorum, so, 

7 Jane, if you could please call the roll. 

8 MS. BROWN: S e n a to r C e d illo . 

9 SENATOR CEDILLO : Here. 

10 MS. BROWN: Cedillohere. 

11 Dutton. 

12 Oropeza. 

13 Aa nesta d . 

14 SENATOR AANESTAD : Here. 

15 MS. BROWN: Aanestad here. 

16 Steinberg. 

17 CHAIRMAN STEINBERG : Here. 

18 MS. BROWN: Steinberg here. 

19 CHAIRMAN STEINBERG: A quorum has been 

20 established. Let me begin the meeting, though, by 

21 congratulating the two gentlemen sitting to my left, 

22 Greg Schmidt, Secretary of our Senate, and Senator Sam 

23 Aanestad, new grandfathers. 

24 (A pp la u se . ) 

25 SENATOR AANESTAD: We're discussing dowries. 

1 



15 
16 



ELLEN M. WAY, Member, Water Quality 

Control Board, Colorado River Basin Region ... 52 

R. KEITH DYAS, Member, Water Quality 
Control Board, Lahontan Region 52 

HEIDI J. CARPENTER-HARRIS, Member, Water 
Quality Control Board, North Coastal Region .. 52 

JOHN M. DUNKER, Member, Water Quality Control 
Board, North Coastal Region 52 

GEOFFREY M. HALES, Member, Water Quality 
Control Board, North Coastal Region 52 

JOHN H. MULLER, Member, Water Quality Control 
Board, San Francisco Bay Region 52 



10 RAMESHWAR SINGH, Ph.D., Member, Water Quality 
Control Board, San Francisco Bay Region 52 

11 

RICHARD FRESCHI, Member, Water Quality 

12 Control Board, Santa Ana Region 52 

13 BETTY H. OLSON, Ph.D., Member, Western States 
Water Council 52 

14 



oOo 



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17 Proceedings Adjourned 

18 CertificateofReporter 54 

19 APPENDIX (Written Responses of Appointees) 

20 
21 
22 
23 
24 
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55 



1 CHAIRMAN STEINBERG : H op e e ve ry bod y , m o th ers 

2 and children, are all doing well, and they're healthy. 

3 That's great. 

4 Okay. Now to the business at hand. We do have 

5 four gubernatorial appointees appearing today, and why 

6 don't we oegin with Mary S. Fernandez as under"'retary 

7 of the Department of Corrections and Rehabilitation 

8 Welcome. 

9 MS. FERNANDEZ: Thankyou. 

10 CHAIRMAN STEINBERG: It's the tradition here Of 

11 the Committee to allow the nominee to introduce his or 

12 her family member -- family members, close personal 

13 friends. Please. 

14 MS. FERNANDEZ: I have my three children that I 

15 would like to introduce. I have Christopher, Rachelle, 

16 and Steven. 

17 CHAIRMAN STEIN BERG : Welcome. Welcome to all 

18 of you Hope this isn't too boring I'm sure it won't 

19 be 

20 Welcome to you, Ms. Fernandez. Would you like 

21 to make a brief opening statement about how you see this 

22 role that you are undertaking. 

23 MS. FERNANDEZ: I have a b rief sta te m e n t I 

24 w ou Id like to rea d . 

25 CHAIRMAN STEINBERG : Please. 

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1 MS. FERNANDEZ: I would like to thank the 

2 Senate Rules Committee for giving me the opportunity to 

3 address my work experience and how I am leveraging that 

4 experience in my role as undersecretary of 

5 administration for CDCR. 

5 I am a career civil servant and have over 

7 30 years' experience in administrative functions, 

8 14 years at the executive level. I am currently working 

9 to improve the department's accountability so that 

taxpayer dollars are spent effectively. 

1 I am sponsoring several system control projects 

2 as part of Secretary Cate's cost control measures to 

3 reduce expenditures. These projects have already 

4 yielded some significant savings. For example, earlier 

5 this year, we performed a state vehicle audit to 

6 inventory and assess the use of our state vehicles. The 

7 audit is nearly complete, and we are currently 

B implementing policies to tighten up our vehicle usage. 
9 In addition, we are auditing our positions, 

working to reconcile the hundreds of positions that are 

1 not properly aligned with their budget authority. We 

2 also completed a review of the 4300 headquarter 

3 positions and eliminated over 430. We have inventoried 

4 hand-held devices, BlackBerries and cell phones, and cut 

5 expenses by more than half a million dollars. 

3 



1 difficult of financial and budget times, and as I look 

2 at all of the things that you are responsible for as the 

3 assistant secretary, automating inmate records and 

4 files, the physical state of many of our facilities -- I 

5 know that Mr. Bailey and Mr. Gladstone visited Pleasant 

6 Valley Prison this past winter and saw a gym where water 

7 was literally pouring through the roof onto an inmate's 

8 bed. Mr. Bailey can correct me if I'm misstating 

9 anything. The issue of overtime, especially in remote 

10 prisons, the issue we spoke about with Matt Cate at 

11 great length, about attracting and retraining top 

12 managers here so that there isn't so much turnover, and 

13 a training and management plan to do that. 

14 How do you approach these various challenges in 

15 the midst of this difficult budget environment that we 

16 find ourselves in? 

17 MS. FERNANDEZ: Well, number one, as I have 

18 found low-hanging fruit, as what I just mentioned in my 

19 opening statement, I have gone after that, those issues, 

20 and put together teams to start working on it. And the 

21 way I approach it is by using a project-management 

22 approach so things don't fall by the wayside. I make 

23 sure that every project has a charter, has an action 

24 plan, has due dates. We meet regularly, sometimes 

25 weekly, sometimes monthly, to make sure that people are 

5 



1 In response to the criticism of our lease 

2 management, I recently chartered a strike team to 

3 review, consolidate, and monitor our leases. That was 

4 just last month. We have already canceled $400,000 in 

5 leases. 

6 I am guiding several important initiatives in 

7 the area of human resources, including succession 

8 planning and leadership training; and in the area of 

9 information technology, the implementation of a tool to 

automate our admin processes and systems, and another IT 

1 system to streamline and automate our inmate case 

2 records. 

3 During my career, I have always enjoyed making 

4 a difference, and I am very challenged by the issues 

5 facing CDCR. I believe that by working with the 

6 talented and passionate employees of the department, we 

7 will improve our admin functions. I will continue my 

8 efforts to move towards effectiveness, transparency, and 

9 accountability at CDCR, and I look forward to working 

with you to achieve that vision. 

1 Thank you for considering me for this very 

2 important role. 

3 CHAIRMAN STEINBERG: Thank you. I'll begin, if 

4 I may. 

5 You are taking this position on during the most 

4 



1 moving forward on the issues, and monitor it as we're 

2 going along. 

3 In addition, I feel very strongly that in order 

4 to get after some long-term, big changes, we need to 

5 develop a good solid strategic plan, and that will 

6 incorporate many of the things that you talked about. 

7 So we are working towards our strategic plan. It's 

8 going to be very much an actionable strategic plan. It 

9 will not be a sit-on-the-shelf. 

10 In previous departments that I've worked at, I 

11 have implemented strategic plans, both at DPA, back in 

12 the '90s, and at State Personnel Board, and both of 

13 those strategic plans moved the organization to change. 

14 CHAIRMAN STEINBERG: When can we expect the 

15 strategic plan to be public? 

16 MS. FERNANDEZ: We are working through it right 

17 now. I would expect late summer, early fall, you know, 

18 given all of the challenges with the budget right now. 

19 We are.... 

20 CHAIRMAN STEINBERG: And how long will the 

21 strategic plan take to implement once it's -- 

22 MS. FERNANDEZ: I expect implementation to 

23 begin immediately. There will be action plans with due 

24 dates, and you'll start seeing results. 

25 CHAIRMAN STEINBERG: When will it be completed? 

6 



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1 MS. FERNANDEZ: I believe we're going after a 

2 three-year plan. Three to five. I don't know that 

3 we've settled on that yet. 

4 CHAIRMAN STEINBERG: Let me ask it maybe a 

5 different way. From your work record and references and 

6 what everyone says, that you are -- you know, you are 

7 suited to take on this challenge. But you're one 

8 person. And I sort of want to get your sense as sort of 

9 the chief administrator, if you will, what the state of 

10 Corrections is right now. I mean, what ~ 

11 People are out there smiling. 

12 You know, what do you see as broken that needs 

13 to be fixed? 

14 MS. FERNANDEZ: Well, first of all I would like 

15 to say that one of the reasons that I decided to go to 

16 Corrections was after I met Matt Cate and Brett Morgan. 

17 They definitely have a vision for where they want 

18 Corrections to go, and they understood the strategic 

19 plan. So that was one reason that I went to the 

20 department. 

21 There's also -- All of my managers are 

22 extremely talented. There's a crisis every day that 

23 everyone -- Right now we're dealing with the H1N1. I 

24 mean, it's in the paper every day. Every hour, there's 

25 another crisis. We need a good strategic plan to help 

7 



1 spoke with Secretary Cate about is the succession 

2 planning area, and we have a succession plan now. We've 

3 done a gap analysis. We've rolled out to 12 

4 institutions, and we are beginning to develop plans so 

5 that our feeder classes can move into some of the 

6 leadership roles out in the institutions. 

7 CHAIRMAN STEINBERG: What is gap analysis? 

8 MS. FERNANDEZ: Gap analysis is where you 

9 determine what you're going to need in the future. You 

10 take a look at the aging employee population, and then 

11 you decide where we're going to need people, how many, 

12 and in what classes. 

13 And as far as what I — My immediate goal, I 

14 think as you can hear from my opening statement, is that 

15 I want to get our costs in control. We have many things 

16 that were unfunded. State cars weren't completely 

17 funded; BlackBerries weren't completely funded. So I'm 

18 going to try to get our fiscal situation in control, 

19 including overtime, which we've had great success at 

20 this year. And also, through the BIS system, we'll have 

21 a better handle on where we're at fiscally more 

22 frequently. 

23 CHAIRMAN STEINBERG: Okay. Senators 

24 Dutton, Aanestad. 

25 SENATOR AANESTAD: Since you brought up 

9 



1 focus people, to get those talented people moving 

2 forward to change the department. 

3 CHAIRMAN STEINBERG: I'd like a little more 

4 specificity, please. I want to have an honest dialogue 

5 here about what's — We all know that — 

6 MS. FERNANDEZ: Specifics about what's broken? 

7 CHAIRMAN STEINBERG: -- Corrections - 

8 I think the world of Matt Cate. I think he's 

9 the right leader. No issue there. But Corrections is a 

10 mess. And how do you see it from where you sit and 

11 stand, and what is the most important thing you want to 

12 accomplish over the next, you know, 18 months to begin 

13 turning around the common perception that Corrections is 

14 a mess. 

15 MS. FERNANDEZ: I work on that every day. 

16 There are many positive areas in the department, 

17 particularly IT. I did have a lot of interaction with 

18 the department back in the '90s, and IT was pretty much 

19 a joke. There was really no automation. There was 

20 nothing happening. Now we have the BIS project and the 

21 SOMS project that are going to take us into the 21st 

22 century. I'm very proud of that, and I like to get our 

23 folks out talking about it, spreading the word that 

24 Corrections is doing a good job in that area. 

25 The other area that we're working on that you 

8 



1 overtime -- 

2 MS. FERNANDEZ: Yes. 

3 SENATOR AANESTAD: I, along with the rest of 

4 the public that I talk to, cannot comprehend nearly half 

5 a billion dollars in overtime costs, especially when we 

6 see -- and I'll just be frank. This was a topic of 

7 discussion at our Republican lunch today regarding costs 

8 and overspending and poor management. 

9 When we see a prisoner brought into a private 

10 hospital or one of the local hospitals by helicopter, 

11 accompanied by four armed guards at the time and four 

12 more, I believe, at the -- during the time that he was 

13 in the hospital. There were 14 separate correctional 

14 officers in charge of guarding this one individual in 

15 the hospital. 

16 In another instance in another hospital not far 

17 away where they have an entire floor dedicated to 

18 treating CDC prisoners, the ratio was two guards for 

19 each patient, which in some instances exceeds the 

20 nurse-patient ratio in California. And the hospital 

21 actually had come up with a plan suggested to CDC where 

22 for a fraction of the cost they could close the entire 

23 floor off and put one or two officers in charge of 

24 security and have it just as secure, and they could get 

25 no where with administration as far as listening to the 

10 



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status quo. 

So I'm curious as to your statement that you're 
controlling overtime costs when we see such rank 
mismanagement. And I think the public would like to 
have some reassurance that something is being done at 
the outrageous cost to the taxpayers through what I 
believe is mismanagement of the guards' time. 

MS. FERNANDEZ: I have to say that I agree with 
you. I think it's an area that we need to look at. 
There are three drivers of overtime, and we were at a 
half -- a million dollars in 2007-'08, and we're down to 
375 million this year (verbatim). And the three drivers 
of overtime are vacant positions, sick leave, and the 
guarding and transportation for medical. And the two 
areas that we've had great success at is reducing our 
number of vacancies and instituting sick-leave policies 
so that those costs have come down tremendously. 

The medical guarding, as you know, is under the 
receivership as far as when they go out, if they go out 
by helicopter, all of that. We are working with the 
receiver. Things are — over the last, probably, three 
months have become much more amicable between us, and we 
are discussing these types of issues. And that is one 
of the issues that we need to go after and figure it 
out. I agree with you completely. 

11 



1 becoming collaborative with the receiver also. 

2 SENATOR AANESTAD: Thank you. 

3 CHAIRMAN STEINBERG: Senator Dutton. 

4 SENATOR DUTTON: Thank you, Mr. President. I 

5 actually enjoyed the time that I was able to talk with 

6 Undersecretary Fernandez, and I've got a lot of 

7 confidence -- matter of fact, I told her, I said -- the 

8 thousand BlackBerry issue. There's a lot of savings 

9 involved with that. She's already actually covered her 

10 first year of salary and benefits, so I'm actually 

11 looking forward to whatever else she may be coming up 

12 with. 

13 I think also, too, along the lines of what 

14 Senator Aanestad was talking about as well, I think it's 

15 important for us to also pledge we'll give her support 

16 to try to -- if there's a requirement -- I've already 

17 made this offer to her. If she's got issues or 

18 concerns, somehow we need to have some type of 

19 legislative clearance, something like that. I told her 

20 that I was sure that everybody, Democrats and 

21 Republicans alike, would certainly welcome any thoughts 

22 or ideas on how to do things more efficient and more 

23 beneficial 

24 So I'm pleased with this nominee. I don't 

25 really have any questions, but I did want to make just 

13 



SENATOR AANESTAD: Are you comfortable that 
you, as an individual, can do something about this? 

MS. FERNANDEZ: It won't be me as an 
individual. It will be our management team. It will be 
Secretary Cate, and it will be chief of staff, Brett 
Morgan, who will be working with them as we have on 
other issues. 

SENATOR AANESTAD: And yet - I'll be honest 
with you. When we work in teams in this building, 
oftentimes things don't get done as much as one person 
with a burr under their bonnet going after it, and it 
gets done. I have not worked in your bureaucracy, so I 
don't know if there's any way we can put a burr under 
your bonnet, but you're certainly in the right chair to 
be able to effect something. 

MS. FERNANDEZ: And as I mentioned, it is one 
of my major initiatives, is overtime, and we do have a 
current analysis baselining overtime. We needed to get 
a handle on where we were at with overtime, what all the 
drivers were, get all the data together, and we're 
providing that to the department of finance this month. 
And we will be having a dialogue with them and then the 
receiver to figure out how we're going to move forward. 
And I will be driver at this, but I cannot do it alone. 
And we are a very collaborative team, and we are 



12 



1 that general statement. And I'll be more than happy to 

2 make the motion to approve the nomination of this 

3 appointee. 

4 CHAIRMAN STEINBERG: Thank you. You can put 

5 the motion on the floor. 

6 SENATOR DUTTON: Sn moved. 

7 CHAIRMAN STEINBERG: Moved by Senator Dutton. 

8 1 have one other question, and then we'll take 

9 the other witnesses. 

10 Just in terms of the strategic plan and 

11 timeframes again, when do you expect the department will 

12 complete the automation of the inmate files as Texas and 

13 other states have accomplished? 

14 MS. FERNANDEZ: The contract just got signed, 

15 and it looks like phase three is completed in 2013. 

16 CHAIRMAN STEINBERG: How many phases are there? 

17 MS. FERNANDEZ: There's three phases. The 

18 adult institution files will be done by 2012, parole's 

19 will be done by 2012, and DJJ will be done by 2013. 

20 CHAIRMAN STEINBERG: Okay. Hopefully we'll be 

21 out of the budget crisis by then. All right. Thank 

22 you. 

23 Witnesses in support of the nominee. The way 

24 we'll do it is let's use that mic there. If you can 

25 stand up and kind of get in line, we'll take the 

14 



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1 testimony. Thank you. 

2 MR. SNYDER: Thank you, Mr. Chairman and 

3 Members, for the opportunity to speak. It's kind of 

4 interesting, kind of casually leaning against here. 

5 CHAIRMAN STEINBERG: Loosen the tie. 

6 MR. SNYDER: I may sell it if things keep going 

7 the way they're going. 

8 My name is Russell Snyder. I'm the executive 

9 director of the California Asphalt Pavement Association 

10 and a former quality program manager and deputy director 

11 for policy and administration for the California 

12 Department of Transportation, everybody's favorite 

13 agency. They love to hate Caltrans. 

14 I'm compelled to be here, because Mary 

15 Fernandez is, hands down, the most impressive leader and 

16 manager I've ever come across in my experience working 

17 in state government and also since I left state service 

18 in 2002. Unbelievably optimistic, very effective, 

19 bulletproof credibility, able to move mountains. 

20 I mean, I know that any one person can't solve 

21 all the challenges that we face today. It does take a 

22 collaborative effort. And I've never seen anybody being 

23 more effective and move the bureaucracy of state 

24 government and get things done, and get buy-in from 

25 everybody as Mary has, so I had to be here today. 

15 



1 During that period when I worked with 

2 Ms. Fernandez, budget times were tough. In fact, 

3 Caltrans was going through layoffs during that period, 

4 and there was a huge distrust and mistrust between 

5 management, employee unions, and the like. And despite 

6 that, it was a championship and a leadership from 

7 Ms. Fernandez that was able to rally many of us despite 

8 all types of adversity at the time, budget, personnel, 

9 and morale, and so forth, and managed to actually 

10 systematically help us stroll through the cost-cutting 

11 and the effectiveness. She also led the innovation in 

12 government shortly thereafter. And when I was working 

13 the private sector, she effectively managed to partner 

14 with private industry to solve many of the problems that 

15 government alone could not. 

16 So her leadership and her ability have both 

17 been tested and she got a full focus on the problems at 

18 hand. And to come up with solutions that frankly -- and 

19 I agree with Senator Aanestad that bureaucracy alone may 

20 not be able to solve, but she knows how to leverage 

21 industry in actually cutting through a lot of the issues 

22 to provide exposure. 

23 I must add she did all of that without the use 

24 of one ounce of Prozac or any substances. To that end, 

25 I lend my support to Ms. Fernandez. Thank you. 

17 



1 I'm pleased I had the opportunity to go first. 

2 She's wonderful. She'll serve the state well, and 

3 doggone it, these days we need everybody's best efforts. 

4 So I wholeheartedly support her. 

5 CHAIRMAN STEINBERG: Thank you very much, sir, 

6 for coming. 

7 Next. 

8 MR. HASSOUN: Good afternoon, Senator, and 

9 honorable Senate Members. I'm here in support of 

10 Undersecretary Mary Fernandez. My name is Sam Hassoun. 

11 I'm here representing the Association of Contractors of 

12 California, ACC. It's a trades association that has 

13 over 1500 heavy construction members throughout the 

14 state. 

15 My knowledge of Ms. Fernandez spans well over 

16 15 years. When I worked at Caltrans, I worked in the 

17 director's office, and I was in charge of implementing a 

18 program and innovation during the Volkman 

19 administration, and Jim Valvolis (phonetic) was the 

20 director at the time. 

21 The charge was for Ms. Fernandez to rally all 

22 the state agencies and to march in the direction of cost 

23 cutting, innovation, and work-improved bureaucracies to 

24 actually eliminate waste and cost. That was a tall 

25 order. 

16 



1 CHAIRMAN STEINBERG: Thank you very much. 

2 MR. TOPPIN: Mr. Chairman and Members, Ted 

3 Toppin, for the Professional Engineers in California 

4 Government and the California Association of 

5 Professional Scientists, in strong support for 

6 confirmation. 

7 PECG and CAPS have worked with Ms. Fernandez 

8 many times over the years, inside and outside of 

9 government. Most recently she is a member of the board 

10 of the CAPS and PECG's Sacramento Science and 

11 Engineering Fair, spends countless hours creating the 

12 next generation of scientists and engineers. She's 

13 smart, hard working, creative, and an asset to any 

14 organization she works in, and Corrections is lucky to 

15 have her. Thank you. 

16 CHAIRMAN STEINBERG: Very good. Thank you very 

17 much. 

18 Welcome. 

19 MR. WOONACOTT: Good afternoon, Mr. Chair and 

20 Members. Richard Woonacott, W-o-o-n-a-c-o-t-t. I 

21 believe the Committee has my letter in its file. 

22 I just wanted to be here in person to lend my 

23 support to an individual who I have had the opportunity 

24 to span three administrations working with, as well as 

25 quite a bit of time in the building. She's not only a 

18 



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tremendous colleague but also a tremendous friend. I 
just wanted to be here to support her confirmation. 

CHAIRMAN STEINBERG: Thank you. Sometimes 
people come up and testify and say what's on the script. 
Every one of these folks — you can tell it's heartfelt. 
Comes across. Very good. 

Opposition. This will probably be heartfelt 
too. 

MR. WARREN: Thank you for the thought. 

My name is David Warren. I'm appearing today 
on behalf of Taxpayers for Improving Public Safety. 
Under ordinary circumstances, we would welcome a breath 
of fresh air in the Department of Corrections, but as 
the Chair pointed out the Department of Corrections is 
in a horrific state, not only financially but with labor 
problems, problems with prison overcrowding, conflicts 
with the medical receiver, and all sorts of issues. And 
we would hope that someone with more experience within 
the department currently would be in this position. 

We have problems right now at institutions 
where they can't find a can of oil to put into a leaking 
transmission. They can't -- We can't find photocopy 
paper or ink jet cartridges in order to print various 
documents inside the prison. We need someone who could 
call up someone at Ironwood and say, "Where are the 

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aggressive in that regard. 

MS. FERNANDEZ: Thank you. 

CHAIRMAN STEINBERG: Senator Dutton. 

SENATOR DUTTON: In response to what you said, 
and I agree 100 percent with what you just said. It's 
been my experience, too, as a professional facilities 
manager and somebody who has dealt with operations, but 
sometimes a new broom sweeps clean, so it may be 
actually to our benefit right now to have somebody who 
is not so directly attached to the status quo or what's 
going on, because maybe you need to have somebody who 
says, "Okay. How do I — I need more paperclips." You 
want somebody to ask those questions now. I think 
that's probably been part of the problem, maintaining 
the status quo. So I just -- anyway, I think this 
individual -- I just renew my motion, but I think she's 
got the capacity to do the job, so I'm pleased to 
support her. 

CHAIRMAN STEINBERG: Very good. Please call 



the roll. 



MS. BROWN: Senator Cedillo. 

Dutton. 

SENATOR DUTTON: Aye. 

MS. BROWN: Dutton aye. 

Oropeza. 



21 



paperclips? Why aren't they out here?" someone who 
could call someone at Pelican Bay and say, "You're in 
charge of this. Why isn't this done?" 

This requires experience and contacts within 
the institutions, and, regretfully, it's been over a 
decade since the nominee has worked with the Department 
of Corrections. And for this reason and this reason 
alone, under the current circumstance, if some things 
were different, we would be supportive, but today we 
have to oppose the nominee. Thank you. 

CHAIRMAN STEINBERG: Fair enough. All right. 

Other witnesses in opposition? 

All right. I'm prepared to support the 
nominee, and I do hope, though, that you take — I 
forgot who said it a few minutes ago, one of the 
witnesses -- that you take it on yourself in this 
position to rattle the cages and to be very aggressive. 

You seem to have a quiet but very effective 
style in getting done what needs to be done. I would 
just hope that you go into this position essentially 
with the same sense that we have that across government, 
certainly, including the legislative branch of 
government, and including the Department of Corrections, 
change is the order of the day, and you're in a position 
to help make it happen. So I encourage you to be 

20 



1 Aanestad. 

2 SENATOR AANESTAD: Aye. 

3 MS. BROWN: Aanestad aye. 

4 Steinberg. 

5 CHAIRMAN STEINBERG: Aye. 

6 MS. BROWN: Steinberg aye 

7 CHAIRMAN STEINBERG: It's three to nothing. 

8 We'll leave the roll open for Senator Cedillo, who I 

9 believe is in another committee right now. 

10 Your nomination will pass the Rules Committee 

11 and head to the floor of the Senate. 

12 MS. FERNANDEZ: Thank you very much. 

13 CHAIRMAN STEINBERG: Congratulations. Thank 

14 you. 

15 (Applause.) 

16 CHAIRMAN STEINBERG: Very good. All right. 

17 Let's move on to Stephen L. Edinger as a member of the 

18 oil response -- excuse me -- member of the OSRP and -- 

19 MR. EDINGER: I'll clarify it. 

20 CHAIRMAN STEINBERG: Clarify. Straighten me 

21 out, will you, please. 

22 MR. EDINGER: I will. 

23 CHAIRMAN STEINBERG: Welcome. Please feel free 

24 to introduce any member of your family or close friend, 

25 guest, in the audience. 

22 



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07/14/2009 09:40:24 AM 



1 MR. EDINGER: If I might, I would like to 

2 introduce my family. My lovely wife of 25 years, Terry; 

3 my three beautiful kids, Zachary, Chelsea, and 

4 Mackenzie, who are more than happy to be here, I think. 

5 I hope so, anyway. 

6 CHAIRMAN STEINBERG: Welcome to all of you. 

7 Get involved. Get involved. All right. 

8 MR. EDINGER: If I might make a brief opening 

9 statement. 

10 President Pro Tern Steinberg and Members of the 

11 Committee, it is a distinct honor and privilege to 

12 appear before you today. I am honored that Governor 

13 Schwarzenegger has placed his trust and confidence in me 

14 by appointing me to the position of administrator of the 

15 Department of Fish and Game's Office of Spill Prevention 

16 and Response. I wish to thank you, President Pro Tern 

17 Steinberg and the Members of the Committee, for holding 

18 this hearing to consider my appointment. 

19 If confirmed, you have my commitment that I 

20 will work hard to maintain the confidence and trust that 

21 the governor and you have shown in me to protect 

22 California's wildlife. 

23 I'm very proud to be sitting in this chair, 

24 seeking this confirmation as administrator of OSPR. My 

25 appointment is a reflection of my years of hard work in 

23 



1 have. 

2 CHAIRMAN STEINBERG: Thank you. 

3 You are the third administrator now in four 

4 years for the agency, correct. 

5 MR. EDINGER: (Nods head.) 

6 CHAIRMAN STEINBERG: And of course the incident 

7 that the public and the Legislature focused on preceding 

8 your tenure was the Cosco Busan incident which, of 

9 course, received wide coverage. And you say in your 

10 written response that you view the agency as the 

11 premier response organization when it comes to oil 

12 spills, and yet you also say external and internal 

13 reviews identify the need for enhanced efforts by OSPR 

14 to increase local government and volunteer 

15 participation, address fisheries closures, shorten 

16 response times, increase wildlife recovery efforts, and 

17 increase drill participation and oversight. 

18 We also know that at the time of the incident, 

19 that your office, and, again, you weren't the 

20 administrator, but I'm leading to the question here, 

21 that your office could not get to within one mile -- 

22 they were within one mile of the spill. They couldn't 

23 get to the spill for two hours and 20 minutes, because 

24 there was not a boat to take them. 

25 So I guess the question that lingers here is: 

25 



1 protecting California's systems, environment, and 

2 wildlife. More importantly, I'm proud to represent the 

3 dedicated professional men and women of the Office of 

4 Spill Prevention and Response. 

5 OSPR is an exceptional organization within the 

6 Department of Fish and Game staffed by individuals who 

7 truly believe in what they do. I sit here today humbled 

8 to know that I have their full support as administrator. 

9 If I'm confirmed, I pledge to continue efforts 

10 to improve California's protection of wildlife habitat 

11 from the devastating effects of oil spills. These 

12 efforts initiated during my tenure include increased 

13 outreach to and participation by local government, 

14 adoption and implementation of a new volunteer plan to 

15 address convergent oil spill volunteers, evaluation and 

16 adoption of new technologies to meet the statutorily 

17 mandated best achievable protection standard, expand and 

18 improve wildlife recovery and transport through 

19 development and delivery of wildlife response training 

20 to volunteers, and updating the California oil spill 

21 contingency plan. These initiatives, when complete, 

22 should pay dividends for years to come, strengthening 

23 California's environmental protection. 

24 Again, thank you for your consideration today, 

25 and I look forward to addressing any questions you may 

24 



1 Since this incident, its wide coverage, the oversight 

2 hearing that the Legislature held, is it different? 

3 And, if so, how is it different, and what have you done 

4 to make it different? 

5 MR. EDINGER: Senator, outstanding question, 

6 because the Cosco Busan was somewhat of an eye-openi~~ 

7 event for our office. It was a response that actually 

8 went very well, if you look at the amount of oil that 

9 was picked up. The collection of oil on the water was 

10 about 43 percent, which, when you compare that to an 

11 industry standard of about 10 percent, we did very well. 

12 But we did learn many things during that 

13 response. This was the first time that we had 

14 convergent volunteers who wanted to clean up oil spills, 

15 who wanted to clean up oil themselves. We've always had 

16 people that wanted to clean up wildlife or protect 

17 wildlife, but we have never had people who want to clean 

18 up the beaches themselves. We never had this level of 

19 participation by the local government, or the desire. 

20 But we've taken all of that to heart and made many 

21 changes. 

22 During the Cosco Busan, I was actually 

23 initially assigned to the department's operations 

24 center, and I said that's not good enough, and I went 

25 down to San Francisco and took over as the state 

26 



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8 of 16 sheet* 



on-the-scene coordinator. And I stayed in that position 
for three weeks to make sure that this went well. 

Since the Cosco Busan, we have had many 
changes. We've had much more local participation. As 
an example, we just had a drill in the Port of Richmond 
a couple weeks ago where we had local participants. We 
had six different agencies, local agencies, where they 
actually participated. We were able to take somebody 
from local government and put them in the unified 
command so they were helping to make decisions. We have 
implemented a new volunteer plan to handle convergent 
volunteers. We have made many changes. 

Once again, I think it's a proud organization 
that has done well; but any time we have a spill of this 
significance, we are going to learn things, and we will 
make those changes. 

CHAIRMAN STEINBERG: Let's just take a couple 
of the issues. 

Are you working on consolidating authority for 
pipeline regulation where apparently your office and the 
state fire marshal seem to share authority over the 
state of pipes? 

MR. EDINGER: The state fire marshal's office 
does regulate pipelines. That's not something that we 
do. We have jurisdiction and control if there is a 

27 



1 CHAIRMAN STEINBERG: Questions, Members. 

2 Witnesses in support? 

3 Mr. Toppin. 

4 MR. TOPPIN: Busy day in Rules Committee. 

5 CHAIRMAN STEINBERG: There's a rule here. You 

6 only get to testify once for the Committee. 

7 MR. TOPPIN: Ted Toppin for the California 

8 Association of Professional Scientists in strong support 

9 of Mr. Edinger's confirmation. 

10 CAPS represents about 500 state scientists in 

11 the Department of Fish and Game, including 50-something 

12 at the Office of Spill Prevention and Response. My 

13 membership and leadership was impressed with his 

14 performance during Cosco Busan and his leadership of the 

15 department since, and strongly supports confirmation. 

16 CHAIRMAN STEINBERG: Thank you, sir. 

17 MR. KARNOW: Good afternoon. Jerry Karnow with 

18 the California Fish and Game Wardens' Association. We 

19 strongly support Steve Edinger for this. We believe 

20 he's an excellent candidate for this position. He has 

21 unique ability to -- and knowledge to respond to oil 

22 spills. He has overseen lots of oil spills and those 

23 situations. 

24 One thing that -- President Pro Tern Steinberg 

25 you brought up the fact as far as the department having 

29 



spill. Certainly, we work with the state fire marshal's 
office. We work with DOGR and other agencies to make 
sure that there aren't spills, but right now there is no 
initiative for OSPR to take over regulation of 
pipelines. 

CHAIRMAN STEINBERG: If there were, you know, 
God forbid there'd be another Cosco Busan that would 
occur, are you confident that your office would be able 
to respond more quickly than what occurred when that 
incident took place? 

MR. EDINGER: Absolutely. I think one of the 
failures that I looked at -- and, as I said, the room 
for improvement -- was the lack of getting in front of 
the story, the ability to get out the information that 
the public wants, that the public demands. We've 
changed that. We've put together a Web site modeled on 
other emergency response organizations to push that 
information out, to get out in front of the story. 

If something were to go on in the Bay Area, you 
talked a little bit about us not having a vessel 
available. That was a problem that we had. We were in 
the process of purchasing the vessel, but it hadn't gone 
to rebid. That vessel is now on the water. It is an 
all-weather vessel that is ready to go, should this 
occur. 

28 



1 a better response to oil spills, there are going to be 

2 more oil spills like Cosco Busan, and Steve Edinger, he 

3 knows that. One of the -- Of course you guys know about 

4 the crisis about the shortage of Fish and Game wardens. 

5 The wardens, whether inland or also marine and OSPR, the 

6 enforcement officers are the ones that generally respond 

7 to these initial attacks, if you may, and also some of 

8 our patrol boats, which are state-of-the-art, a lot of 

9 times they're more at port than they are at sea. 

10 So once we get that figured out and -- I think 

11 Steve's job is going to be easier. And the fact that he 

12 understands the ability to do with what he has, I think 

13 he has that in his background. 

14 But the Wardens' Association supports him and 

15 hope you do the same. Thank you. 

16 CHAIRMAN STEINBERG: Thank you. 

17 MR. OSBORN: Good afternoon, Mr. Chairman and 

18 Members. My name is George Osborn. I represent 

19 Advanced Cleanup Technologies, Incorporated. My client 

20 is an oil spill response organization that responded to 

21 the Cosco Busan oil spill in San Francisco Bay and had 

22 the opportunity to work under the direction of 

23 Mr. Edinger. They speak very highly of him. They have 

24 had an opportunity to observe his work as administrator 

25 since he was appointed, and we strongly support his 

30 



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07/14/2009 09:40:24 AM 



1 


confirmation. Thank you very much. 


1 


Rehabilitation. 


2 


MR. ARNOLD: Good afternoon. My name is Brian 


2 


Please open the roll. 


3 


Arnold. I'm here today representing the California Fish 


3 


MS. BROWN: Senator Cedillo. 


4 


and Game Wardens, Supervisors and Managers Association. 


4 


SENATOR CEDILLO: Cedillo aye. 


5 


Our association wishes to support Mr. Edinger 


5 


MS. BROWN: Cedillo aye. 


6 


for appointment to the position of administrator of the 


6 


Oropeza. 


7 


Department of Fish and Game's Office of Spill Prevention 


7 


CHAIRMAN STEINBERG: Four to nothing. That is 


8 


and Response. 


8 


out. Appreciate it. 


9 


Over the last 12 years, our members have 


9 


Let me welcome Tarn M. Doduc — am I pronouncing 


10 


witnessed Mr. Edinger's professionalism and attention to 


10 


it correctly — and Francis S. Weber — Spivy Weber — 


11 


detail. Mr. Edinger has a proven track record as an 


11 


Spivy Weber, as members of the State Water Resources 


12 


emergency responder, emergency manager, and a law 


12 


Control Board. Why don't we take both nominees at the 


13 


enforcement commander. 


13 


same time. 


14 


Our association supports Mr. Steve Edinger for 


14 


Welcome to both of you. Again, I want to 


15 


appointment to this position. Thank you very much. 


15 


extend you the privilege of introducing anybody in the 


16 


CHAIRMAN STEINBERG: Very good. Are there any 


16 


audience that you want to introduce. 


17 


witnesses in opposition to the nominee? If not, is 


17 


MS. WEBER: I will introduce my husband, 


18 


there a motion? 


18 


Michael Weber, who is right there (indicating). 


19 


SENATOR AANESTAD: So moved. 


19 


CHAIRMAN STEINBERG: Welcome, sir. 


20 


CHAIRMAN STEINBERG: Moved by Senator Aanestad. 


20 


MS. WEBER: And Art Baggett from the board is 


21 


Pleased to support your nomination. You do 


21 


also here. 


22 


have the benefit, really, of looking at this high- 


22 


CHAIRMAN STEINBERG: Welcome, Mr. Baggett. 


23 


profile incident, and it seems to me your responsibility 


23 


MS. WEBER: I invited him to come up and join 


24 


is very well defined, which is how to make sure that 


24 


us. 


25 


things -- this particular agency does better if this 

31 


25 


CHAIRMAN STEINBERG: Okay. 

33 


1 


ever happens again, and I think you're definitely up to 


1 


MS. DODUC: Thank you, Senator. I don't have 


2 


it. 


2 


any family members here, but they are by the phone 


3 


MR. EDINGER: Thank you. 


3 


eagerly awaiting a call from me. 


4 


CHAIRMAN STEINBERG: Please call the roll. 


4 


CHAIRMAN STEINBERG: Okay. Very good. All 


5 


MS. BROWN: Senator Cedillo. 


5 


right. If you would both like to begin with brief 


6 


SENATOR CEDILLO: Cedillo aye. 


6 


opening statements, we'll then ask some questions. 


7 


MS. BROWN: Cedillo aye. 


7 


MS. WEBER: I'll start. 


8 


Dutton. 


8 


I served on the water board for just over two 


9 


SENATOR DUTTON: Aye. 


9 


years, and during that time, as you are probably aware, 


10 


MS. BROWN: Dutton aye. 


10 


we've had funding cuts, reductions in staff, and, most 


11 


Oropeza. 


11 


recently, furloughs, yet the state water board has many 


12 


Aanestad. 


12 


successes that I and my colleagues are building on. 


13 


SENATOR AANESTAD: Aye. 


13 


During my tenure, we have completed nine 


14 


MS. BROWN: Aanestad aye. 


14 


statewide policies and permits. We expect to complete 


15 


Steinberg. 


15 


ten more by the end of the year and eight more next 


16 


CHAIRMAN STEINBERG: Aye. 


16 


year, totaling 27. Some of these policies include 


17 


MS. BROWN: Steinberg aye. 


17 


recycled water once-through cooling, storm water 


18 


CHAIRMAN STEINBERG: Four to nothing. That 


18 


construction permit enforcement, and the ocean plan. 


19 


will move to the floor. Congratulations. 


19 


Our multi-pronged Bay-Delta strategy adopted 


20 


MR. EDINGER: Thank you very much. 


20 


last summer is on track. We're starting this year with 


21 


(Applause.) 


21 


work on the San Joaquin River flows and the salinity 


22 


CHAIRMAN STEINBERG: Let's go back to 


22 


issues, and next year we'll take up Bay-Delta water 


23 


Ms. Fernandez and open the roll for Senator Cedillo. 


23 


quality planning that will go into 2011. 


24 


It's a three-to-nothing vote for Mary S. Fernandez as 


24 


We have a new office of enforcement, and last 


25 


the undersecretary for the Department of Corrections and 


25 


year we reduced the 14,000 mandatory minimum penalty 




32 




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10 of 16 sheets 



violations by 93 percent. This year we have adopted -- 
or are working on and will adopt -- a statewide approach 
to setting penalties and have developed a policy on how 
to spend money, plus we're establishing enforcement 
performance standards. 

We're interested in and are investing in 
easy-to-use, Web-based information for the public to 
make the water board issues more accessible. We now 
have a Web-based access for enforcement issues, for 
ocean areas of special biological significance, for 
sanitary sewer overflows, water rights, water quality. 
We're going to soon have the water quality monitoring 
council's Web portal up, answering questions like: Is 
the water safe to drink? Are the fish safe to eat? Can 
you swim? 

We got $270 million of stimulus money in 
May, and as of this week we have about a hundred million 
dollars that is out on the street, and 72 million of the 
hundred million has gone to urban areas, 24 million to 
rural areas, and 28 million to disadvantaged 
communities. 

We're working on TMDLs, and I can go into that 
more if you have questions, and we've been working on 
water rights in a significant way. We have reduced the 
pending applications for water rights 35 percent even 

35 



1 duties to the best of my abilities, always keeping in 

2 mind how vital water is to our state's present, our 

3 state's economy, and our state's future. 

4 Thank you for this opportunity, and I look 

5 forward to having this discussion. 

6 CHAIRMAN STEINBERG: Very good. I have a few 

7 questions, but I don't always have to go first. Any 

8 Member want to — okay. I guess I am going first. 

9 One of the things we're interested in, as we 

10 talk to nominees in various parts of state government, 

11 is how and whether you view yourself as a change agent 

12 or essentially an administrator of the existing law. 

13 And it is, I think, important in this area as well, 

14 because when I look at the organization here, you have 

15 nine regional water boards plus — of nine members 

16 apiece, plus the five state members. You've got 86 

17 people, ten different entities in charge of water 

18 quality here in California. The Little Hoover 

19 Commission essentially said this is a system that has 

20 lost the confidence of most of the stakeholders. 

21 So what is your view on reorganization, 

22 consolidation, and if you believe that's necessary, what 

23 are you doing in your public role to promote it and move 

24 it forward? 

25 MS. WEBER: I'll let Tarn go first, because she 

37 



with the staff reduction of 30 percent. We got a Yuba 
agreement this year which opened up -- ended 22 years of 
litigation and opened up 260,000 acre feet of water in 
dry years and 574,000 acre feet of water in wet years. 
We terminated permits for the Auburn Dam, and we have 
reduced paper water by a million acre feet by moving the 
Nevada Irrigation District from a permit to a license. 
So these are successes on which we are and will build. 

CHAIRMAN STEINBERG: Thank you very much. 

MS. DODUC: Thank you Senator, Members. 
Thank you for your time today. I recognize how valuable 
it is, so I'm going to keep my comments very short. 

As a member of the state water board now for 
four years, I take very seriously the charge that we 
have to protect all beneficial interests and to allocate 
our precious water resource, balancing all the various 
competing needs and demands. 

I am very proud of the work the board has done 
in the last four years, of which Ms. Spivy already has 
mentioned, but I also recognize that there is a lot that 
still needs to be done that must be done with urgency 
but also with deliberation in order to solve and address 
our state's tremendous water quality and water supply 
problems. 

So I commit to doing so and to discharging my 

36 



1 worked very hard on this last year, and I am sure we're 

2 on the same track. 

3 MS. DODUC: Thank you, Fran. 

4 Thank you, Senator, for that question, and my 

5 answer most definitely is I see us as a change agent. 

6 Having said that, I will tell you after the experience 

7 of the past four years, change is very hard, very, very 

8 hard, especially, as you mentioned, for an organization 

9 that's been around for almost 40 years which is so 

10 diverse and so broad, and after that we actually do 

11 share our water responsibility with a myriad of other 

12 agencies throughout the state. 

13 That having been said, we did spend — the 

14 regional board chairs and I last year, along with my 

15 colleagues on the state water board and our staff, spent 

16 a significant amount of time last year putting together 

17 a legislative proposal in response to then Senator 

18 Perata's -- I believe it was Senate Bill 1176 which 

19 proposed some reorganization to the water board 

20 structure. And the proposal that the water boards put 

21 together, we did share with your staff. We also put it 

22 on our Web site. And it proposes many, in my opinion, 

23 important and necessary changes, both addressing the 10 

24 percent conflict rule, which has stymied appointments to 

25 the board, to looking at how we can make more efficient 

38 



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07/14/2009 09:40:24 AM 



the TMDL approval process, to how we can strengthen our 
enforcement abilities, to yet looking at reducing the 
numbers of board members on the regional water board, 
and also looking at what I would view as ensuring more 
accountability to the regional water board and state 
board system by institutionalizing performance measure 
and metrics. And then my hope is that there's still 
interest in such. 

And I'm very glad to hear you ask that 
question, because I do hope there is still an interest 
in making those changes and that we could explore those 
possibilities further. 

CHAIRMAN STEINBERG: Thank you. That's fine. 

MS. WEBER: I'll just add that so far, no one 
has really taken up our suggestions and moved with them, 
so we are actively looking for -- it's not too late, and 
we're actively looking for support now or in the future. 

CHAIRMAN STEINBERG: Let me ask you about this 
TMDL development, which, as I understand it, is the work 
you are supposed to do to essentially put forward a plan 
to rectify bodies of water that are considered seriously 
impaired. 

As I understand it, you've identified 1,900 of 
these TMDLs -- 

MS. WEBER: Total maximum daily load. 

39 



1 which it will not be easy, and it will have to be 

2 adopted by the boards, we'll — may be moving to 

3 dry-weather bacteria, another very, very large area, and 

4 suites of pesticides, pulling several pesticides 

5 together in a suite and addressing those. So that's the 

6 plan. 

7 As I said, the focus right now is on trash, and 

8 that will be — we're going to be really experimenting 

9 and learning from that one at the statewide approach 

10 rather than letting the regional boards do their own 

11 thing. 

12 MS. DODUC: If I might add to that, the other 

13 area where we've asked our director, Dorothy Rice, to 

14 look into is streamlining the state water board's 

15 process on TMDLs. It's been absolutely confounding to 

16 me that when a regional water board approves a TMDL, it 

17 sometimes takes a year to a year and a half before that 

18 TMDL is then brought to the state board for approval. 

19 Again, once we approve it, it must be approved by the 

20 Office of Administrative Law and the U.S. EPA. And in 

21 some instances, the TMDL approved by regional boards 

22 were done so without controversy or opposition, so we 

23 are certainly looking at streamlining our own internal 

24 process at the state level to quickly move the TMDLs 

25 along and remove that unnecessary delay for state board 

41 



1 CHAIRMAN STEINBERG: -- maximum daily load that 

2 encompass about 500 seriously impaired bodies of water, 

3 and that only 10 percent have actually been adopted to 

4 begin, I guess, what is the cleanup of these waters. 

5 Seems like a very low percentage. Is it accurate, and, 

6 if so, what's the reason for it? 

7 MS. WEBER: Well, actually, the regional 

8 boards, the nine regional boards, do most of the work on 

9 TMDLs. They have actually addressed about 34 percent of 

10 the listed water bodies, but the gap is still quite 

11 large. It's not 1900. It's about almost 1500, 1483. 

12 So what we're doing now at the state level is 

13 working with U.S. EPA — they have a consultant, 

14 Tetra Tec — and then with some of the regional boards 

15 that are particularly good at doing TMDLs, and are 

16 devising some templates and some bundling so we can 

17 start to get that number down from 1500 to a much more 

18 acceptable number. 

19 The first focus that we have is on trash. That 

20 is in the works right now. There are 37 listings that 

21 would be affected by the trash TMDL, but we think that's 

22 going to be a big one for future listings, so if we can 

23 get that in place, it will at least keep the number from 

24 going up. 

25 And, finally, after we do trash, we will -- 

40 



1 oversight 

2 CHAIRMAN STEINBERG: All right. Are there 

3 questions from other Members? 

4 Are there witnesses in support of the nominees? 

5 SENATOR AANESTAD: I have one. 

6 CHAIRMAN STEINBERG: I'm sorry. Go on. Go 

7 ahead, Senator. 

8 SENATOR AANESTAD: First of all, I would like 

9 to say I would have liked to have been able to ask more 

10 detailed questions in a one-on-one interview, but that 

11 didn't happen. You folks apparently weren't interested 

12 in setting up an appointment with my office, so I'm -- 

13 I've had to go off of your written responses to some of 

14 the questions. 

15 Unfortunately, the questions really didn't 

16 cover the number one topic that's been on the lips of 

17 virtually every private and public person in my district 

18 concerning the water board, and that's your septic rule. 

19 I know that the state water board has said, 

20 "Hey, that's being facilitated by the regionals," and 

21 yet you folks are the ones who are directed to develop 

22 and adopt and implement the statewide regulations for 

23 this, recognizing that each of the nine regional water 

24 boards may have a different take on how to proceed. 

25 Certainly, in the 12 rural counties that I 

42 



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12 of 16 sheets 



represent where septic systems are a way of life, all I 
can tell you is that my perception, after having talked 
to the water agencies, the public officials, and private 
people, is that whoever wrote it, whoever developed and 
implemented these regulations, knew absolutely nothing 
about the geography of the north state, knew absolutely 
nothing about the economics of what this would do to the 
private homeowner as well as commercial enterprises and 
water systems, and absolutely had no feeling for the 
public sentiment before you went ahead and passed these 
rules and regulations. 

Now, I understand you're in the process of 
redoing everything, which absolutely necessarily needs 
to be done. It should have been done right the first 
time. And I apologize for having to say this, but I'm 
not prepared to vote for your nominations today simply 
based on the way the 4th Senate District has been 
treated by both the regional and the state water board 
on this one issue over the last two years. It has 
caused so much public angst, so much private concern. I 
have heard from public issues probably on a two-to-one 
basis over any other issue, except in the last month the 
budget issue, on this one topic where people -- and I 
have not heard one good thing about the decisions and 
regulations coming down from the state water board on 

43 



1 proposed regulations, and the board members who attended 

2 all the workshops took very seriously those concerns. 

3 We have directed our staff -- I'm not sure -- 

4 We assigned a high-level staff to work with the mental 

5 health directors, to work with other stakeholders, to go 

6 over the public comments very carefully and make the 

7 necessary changes before, once again, sending out a 

8 draft for review. 

9 So it is indeed a very complicated set of 

10 regulations. They are still in its very early draft 

11 form for which we are seeking input and working with 

12 stakeholders and others, at least our staff are, in 

13 order to get it to the board. 

14 Let me also apologize. I know Frances as well 

15 directed our staff to contact your office — actually, 

16 the offices of all the Committee members in order to 

17 schedule meetings, and I do apologize if that somehow 

18 was not done. And we will be most definitely happy and 

19 look forward to having the one-on-one conversation with 

20 you. 

21 CHAIRMAN STEINBERG: I do have a process 

22 concern here, and that is I know Senator Aanestad is 

23 very consistent in meeting with the nominees for various 

24 commissions. And what occurred? Did you reach out to 

25 the Senator? 

45 



this issue. 

I think you failed the people in my 12 
counties. I'm very suspicious of what the rewrite might 
look like, and I believe that we need to probably look 
at the issue with new eyes on the state water board. 

Thank you. 

MS. DODUC: May I respond? 

CHAIRMAN STEINBERG: Yes. 

MS. DODUC: Thank you, Senator Aanestad. 

If I may start out by saying that these 
regulations of which you spoke have not even been 
considered by the board. They are draft regulations 
that our staff put together, and as part of our 
regulatory process, the fact proposal is going to be 
released. The board then conducts hearings and 
workshops, solicits comments, and then gives directives 
to staff in terms of any revisions that will be made. 
And that's where we were and we are with respect to 
those regulations. 

And I had the pleasure, the opportunity -- I'm 
not sure what the correct word is -- of attending, as 
did Ms. Spivy-Weber, many of the public workshops that 
were held. In particular, I participated in the one in 
Santa Rosa where I think we had an audience of well over 
1500 speakers who shared their concerns about those 

44 



1 MS. WEBER: Yes, but - Well, Tarn did, and I 

2 was waiting on her. She was going to set things up, and 

3 her staff did and heard nothing. So I don't know. 

4 CHAIRMAN STEINBERG: Not true from your end. 

5 Okay. Let's not argue the past. We are 

6 missing one Member today, all right? Senator Oropeza is 

7 absent today, and so what we're going to do is put the 

8 nominations over for a week, and I'm going to ask both 

9 of you to please make a point and schedule it now, if 

10 you can facilitate that, to meet with both Senator 

11 Aanestad and Senator Dutton, to have a lengthier 

12 conversation about the issues that you raised and/or 

13 other issues. All right. 

14 Let's hear from any witnesses in support here 

15 today. We'll take the witnesses. 

16 MS. CANTU: Celeste Cantu, general manager of 

17 Santa Ana Watershed Project Authority, SAWPA. We urge 

18 your support. Thank you. 

19 CHAIRMAN STEINBERG: Thank you very much. 

20 Mr. Harris. 

21 MR. HARRIS: Mr. Chairman, Richard Harris on 

22 behalf of the Water Reuse Association, the state's 

23 producers and end users of recycled water. 

24 Senator Aanestad raises an interesting 

25 question. If I just might give you a personal 

46 



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1 experience that our organization had with the board. 

2 We're here in full support of both of these individuals 

3 and their leadership, and the ability — and I'm not 

4 familiar with the septic-tank regulations that you're 

5 discussing, but the process that you described is 

6 similar, I think, to what I was living when we were 

7 developing the recycled water policy over a couple years 

8 ago. And it started in a similar sort of fashion with 

9 information that was out there to our organization and 

10 to the stakeholders, really not where we needed to go 

11 and not the right way to address it. And through their 

12 leadership and their ability to understand and take 

13 their dual role of wanting to help us expand our state's 

14 water supply, as well as to protect water quality, but 

15 understanding there were problems between both, they 

16 would bring that together, brought us together. 

17 We established a stakeholder process and had 

18 the industry as well as the environmental community and 

19 all the aqua agencies, and came up with, then, a 

20 document through the stakeholder process on recycled 

21 water and recycled water policy that I think is far and 

22 away one of the best in the 

23 United States and will really lead to more increased use 

24 of recycled water, which we have to do. It's the 

25 state's only new water source. 

47 



1 E.F. Hutton in her. When she speaks, people do listen. 

2 In fact, when she's speaking at a water policy meeting, 

3 an industry conference, whatever, and there's a bunch of 

4 people out in the hall, when she goes up to the podium, 

5 people actually come in and sit down and listen to what 

6 she has to say, and I think that speaks greatly to her. 

7 So the California Water Association supports both. 

8 CHAIRMAN STEINBERG: Thank you. 

9 Mr. Dillon. 

10 MR. DILLON: Mr. Chair and Members, Mike Dillon 

11 representing the California Association of Sanitation 

12 Agencies, all the major wastewater agencies in the 

13 state, including some of the big cities like 

14 San Francisco and Los Angeles and San Diego. We too 

15 would recommend reappointment of both nominees. 

16 Ms. Doduc has brought a lot of experience to 

17 the board, and we've been working with her a number of 

18 years. Our folks -- In your packet, by the way, is a 

19 letter from Roberta Larson. She's the director of legal 

20 and regulatory affairs. She works with the board 

21 members and the staff all of the time, and she has great 

22 respect for both. 

23 Just to reiterate what Mr. Harris said, every 

24 year, including this year, there's a number of bills 

25 urging us to do more and more and more on water 

49 



1 And it was really through their leadership and 

2 their ability to take that initial document information 

3 and process that wasn't right and then turned that into 

4 something that became a real win, win, win, win, win, 

5 for everybody. So it's a little bit of personal 

6 experience with them. 

7 But as you have your one-on-one with them, 

8 which I am sure you will find informative, we would 

9 appreciate your total support with them in moving 

10 forward. We think they've done a great job. Thanks. 

11 CHAIRMAN STEINBERG: Thank you. 

12 MR. HAWKS: Mr. Chair and Members, my name is 

13 Jack Hawks. I'm the executive director of the 

14 California Water Association. Our members are water 

15 utilities regulated by the California Public Utilities 

16 Commission. We're here in strong support of both the 

17 nominees. We have a closer working relationship with 

18 Ms. Spivy-Weber, so I wanted to say a few words on her 

19 behalf. 

20 Number one is that she has great strengths in 

21 terms of facilitating and bringing together and managing 

22 the discussions amongst the disparate water interests, 

23 which we all know there's quite a few. 

24 Number two, and Senator Steinberg asked me to 

25 speak from the heart, she's got a little bit of 

48 



1 recycling, and so the effort that Ms. Spivy-Weber led to 

2 bring about the water recycling policy for California is 

3 extremely important. So we would recommend their 

4 reappointment. Thank you. 

5 CHAIRMAN STEINBERG: Thank you. 

6 MS. BYRNE: Mr. Chair and Members, Barbara 

7 Byrne, Planning and Conservation League. We're also 

8 here today in strong support of both nominees. 

9 I would like to second what Richard Harris 

10 mentioned about the process that brought about the 

11 recycled water policy that the state board adopted this 

12 February. The Planning and Conservation was also part 

13 of that process, initial shock, and then later 

14 happiness. We appreciate their work with recycled 

15 water, the topic of the day. Planning and Conservation 

16 here is also a sponsor of the recycled water bill and 

17 thanks to, particularly, 

18 Ms. Spivy-Weber, she was able to help us out with the 

19 technical assistance from the board's staff. We also 

20 worked with Richard Harris. More stakeholders got in, 

21 and the bill is much stronger now, thanks to the very 

22 practical recommendations that the board was able to 

23 have. So we urge your aye vote when the time comes, and 

24 we hope that time is soon. Thank you. 

25 MR. UNG: Mr. Chairman and Members of the 

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14 of 16 sheets 



1 


Committee, Phillip Ung on behalf of The Nature 




1 


(Thereupon, the Senate Rules Committee hearing 


2 


Conservancy here in support of Ms. Spivy-Weber. No 




2 


adjourned at 3:00 p.m.) 


3 


offense to Ms. Doduc. We actually just don't have a 




3 




4 


comment for her other than -- 




4 




5 


MS. DODUC: I'm actually a member, I think. 




5 


-oOo- 


6 


CHAIRMAN STEINBERG: Okay. 




6 




7 


MS. DODUC: I'll give that tote back. 




7 




8 


CHAIRMAN STEINBERG: Are there any witnesses in 


8 




9 


opposition? 




9 







All right. Again, without objection, I think 




10 




1 


we'll put this over for a week. And, again, I would 




11 




2 


encourage you to get together with both Senator Aanestad 


12 




3 


and Senator Dutton at your convenience. Thank you both 


13 




4 


very, very much. Appreciate it. See you next week — 




14 




5 


or wait. You don't need to reappear next week. I don't 




15 




6 


think you do. 




16 




7 


All right. I want to move through the rest of 




17 




8 


the agenda. As I understand it, Senators Dutton and 




18 




9 


Aanestad, the issues that you would either like to 




19 







separate or put over are 2E — I'm going to ask that we 




20 




1 


put over 2E. All right? 




21 




2 


SENATOR AANESTAD: All right. Yes. Correct 




22 




3 


CHAIRMAN STEINBERG: File item 6. Do you I 


30th 


23 




4 


object to file item 6? Should I put it over or separate 




24 




5 


it? 


51 


25 


53 


1 

2 
3 
4 
5 


(Discussion off the record between Rules 
Committee Members.) 

CHAIRMAN STEINBERG: Let me start over. H 
on. Let's take up 2, with the exception of E, 3, 4, 5, 
7, 10, 11, 12, 13, 14, 16, 17. Okay. Very good. 


old 


1 
2 
3 
4 
5 
6 


-o0o-- 
1, INA C. LeBLANC, a Certified Shorthand 
Reporter of the State of California, do hereby certify 
that I am a disinterested person herein; that the 
foregoing transcript of the Senate Rules Committee 
hearing was reported verbatim in shorthand by me, 


6 


Motion? 




7 


INA C. LeBLANC, a Certified Shorthand Reporter of the 


7 


SENATOR DUTTON: So moved. 




8 


State of California, and thereafter transcribed into 


8 


CHAIRMAN STEINBERG: Moved by Senator Dutton. 


9 


typewriting. 


9 


Please call the roll. 




10 


I further certify that I am not of counsel or 





MS. BROWN: Senator Cedillo. 




11 


attorney for any of the parties to said hearing, nor in 


1 
2 
3 

4 


SENATOR CEDILLO: Aye. 

MS. BROWN: Cedillo aye. 

Dutton. 

SENATOR DUTTON: Aye. 




12 
13 
14 
15 
16 


any way interested in the outcome of said hearing. 

u IN WITNESS WHEREOF, I have hereunto set my hand 
this U+Vdavof 3(klu .2009. 


5 


MS. BROWN: Dutton aye. 




17 


0/, n <r/dA\l 


6 


Oropeza. 
Aanestad. 




18 


Jxaa C ^yZL — 


7 


INA C. LeBLANC 


8 


SENATOR AANESTAD: Aye. 






CSR No. 6713 


9 


MS. BROWN: Aanestad aye. 




19 





1 


Steinberg. 

CHAIRMAN STEINBERG: Aye. 




20 
21 
22 


-oOo- 


2 


MS. BROWN: Steinberg aye. 






3 


CHAIRMAN STEINBERG: That passes. 2E, 6, 


and 


23 




.4 


15 will be put over to next week, without objection. 




24 




!5 


//// 


52 


25 


54 



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Senate Confirmation n 

Mary S. Fernandez >0€%n$<e$ 

Undersecretary 
Responses to Senate Rules Committee Questions R^ nut . & s -, 

.inn* 11 9nnQ '" E " *™ eE Commit 



II IN 



JUN .i 2 20QS 



June 11, 2009 

Statement of Goals 

Under the direction of the Secretary, the undersecretary of Administration directs the 
administrative functions of CDCR, including the Division of Support Services, Facility 
Planning, Construction and Management, the Corrections Standards Authority, audits, 
internal affairs, research, legal, legislation, civil rights, communications, labor relations, 
and various other functions, according to your official CDCR job description. 
The department now has two other undersecretaries for Operations (parole and 
custody) and Programs (education and drug treatment), but the Program position is not 
authorized in statute and therefore not confirmable. 

With more than 60,000 employees, CDCR is the largest single department of state 
government. It is responsible for incarcerating about 170,000 adults in 33 institutions 
and 40 fire camps and other facilities, and 1,800 juveniles in 6 facilities and 2 camps. 
The department manages another 126,000 adult parolees and approximately 3,000 
juvenile parolees. The stated mission of the department is to improve public safety 
through evidence-based crime prevention and recidivism reduction strategies. 

1. Please provide us with a brief statement of your current goals as 
undersecretary, including the guiding principals that you bring to the job. 
What do you hope to accomplish during your tenure as undersecretary of 
the department? What is the timeline for meeting your goals? How 
frequently do you measure progress? 

My primary guiding principle as Undersecretary of Administration is to ensure that 
taxpayers' dollars are spent in the most effective way possible by continuously 
improving and monitoring all processes under my purview while ensuring the safety of 
our clients and staff. In addition, I ensure that staff understand their role, are well 
trained for their duties, are encouraged to improve our organization, and are recognized 
for their contributions. My current goals as undersecretary include: determining which 
processes are working and which need improvement in specific areas - budgets, 
accounting, human resources, business services, information technology, facilities and 
construction, and labor relations. This includes the implementation of an Enterprise 
Resource Planning software system, known as Business Information System (BIS), to 
move these functions into the 21 st century with automated processes and systems. I 
am working to put additional metrics in place for these functions to ensure accountability 
for the Department's resources and that staff are meeting CDCR's administrative needs. 
I have set the one-year mark, October 2009, to complete the improvement initiatives I 
currently have underway. All of these projects have charters and action plans that I 
review and hold status meetings with Cabinet on a monthly basis. As I complete these 
projects, I will move on to other areas that I have identified as needing improvement. 



56 



Senate Rules Committee June 1 1 , 2009 

Mary S. Fernandez 
Page 2 of 24 



2. Much of your career was spent at the Department of Personnel 
Administration and the State Personnel Board. What lessons do you bring 
from that experience that you can apply at CDCR? 

I bring many lessons from all of my previous jobs including the Governor's Office for 
Innovation in Government, Department of Personnel Administration (DPA), State 
Personnel Board (SPB), and California Teachers' Retirement System. Specifically from 
DPA and SPB, I bring the experience of implementing change for a large organization - 
all of state government. While these are small departments, their policies and 
procedures impact every state employee. For example, SPB implemented the new on- 
line Staff Services Analyst examination, replacing the in-person written examination. 
This change impacted state employees and the general public interested in employment 
with the state. We used good change management practices in implementing this 
initiative by working in partnership with the unions, state departments, colleges and 
universities, etc. to ensure a successful rollout. 

The most important lessons I bring from my experiences include: developing a strategic 
plan can change the focus of an organization very quickly; project charters, action 
plans, and performance metrics ensure improvement initiatives are completed timely 
and effectively; challenging the status quo is a good thing that may not be popular, but it 
is necessary; and succession planning is essential to ensure knowledge is transferred 
as leadership changes. 

Reorganization and Coordination of Responsibilities 

On July 1, 2005, the Youth and Adult Correctional Agency was reorganized pursuant to 
Senate Bill 737 (Romero), Chapter 10, Statutes of 2005, into CDCR. The intention of 
the reorganization was to improve the effectiveness and efficiency of the departments 
and boards that made up the former Youth and Adult Correctional Agency. Former 
Secretary James Tilton said that when he assumed office he realized that the single 
undersecretary position had 20 senior managers reporting to it and that "was clearly too 
wide of a span of control for only one individual. " So he created your position and later 
established a third undersecretary for programs. 

3. As a key manager, how would you evaluate CDCR almost four years after 
the July 2005 reorganization of corrections? If the reorganization's 
intention was to improve effectiveness and efficiency, where do you see 
significant progress and where does the most work still need to be done in 
the areas you administer? Please be specific. 

My experience with CDCR dates back to the 1980's and early 1990's while I was 
employed by the DPA. The biggest improvement I see is in the Information Technology 
(IT) initiatives and in the Human Resources (HR) initiatives. IT is moving forward with 



57 



Senate Rules Committee June 1 1 , 2009 

Mary S. Fernandez 
Page 3 of 24 



streamlining and automating business processes with the BIS project, and the Strategic 
Offender Management System (SOMS) project will streamline and automate inmate 
case records. CDCR has one of the most progressive succession plans of any State 
department, and CDCR's leadership training is also a best practice for the State. All 
areas I administer need improvement in their processes and procedures. I anticipate 
the new BIS will eventually improve many of these processes. The labor relations 
function has struggled in recent years, but in partnership with DPA appears to be 
stabilizing its processes. The facilities and construction program has the most 
experienced project staff in state government. This program has been finalizing the 
current construction plans and recently put together a plan to manage, in a cost 
effective manner, our multiple leases across the state. 

4. Based on the department organization chart, you have 11 divisions under 
your control, from Human Resources to Project Construction Management 
How do you determine the effectiveness of your managers? Do you have 
specific goals for each manager? How do you measure their progress? Do 
you have timetables for managers to meet goals? 

As noted in my cover memo, the organization was reorganized prior to my 
appointment. The enclosed organization chart delineates the administrative operations 
for which I am now responsible. I have several ways of measuring the effectiveness of 
my management team. Some of these include: attending their staff meetings on a 
regular basis; walking around and talking with working level staff to get their input; 
asking for staff presentations on various topics and projects; reviewing most grievances 
and complaints and addressing the findings with my managers; reiterating my open 
door policy to ensure staff feel comfortable coming to me on important and/or sensitive 
issues; reviewing performance metrics that are available for workload and production; 
meeting regularly one-on-one with each manager; and talking with customers to obtain 
feedback on my management team, programs, and services. 

Additionally, HR has developed and maintains a performance management system that 
monitors key indicators, which include measures for filling vacancies in a timely manner, 
customer service satisfaction, budget performance, training satisfaction and 
effectiveness, processing times for hiring correctional officers, and recruitment 
satisfaction. The HR management team convenes on a monthly basis to report on their 
measures and creates action plans to ensure improvement is achieved, as well as 
discuss limitations and/or obstacles to success in specific areas. This system assists 
me in measuring the overall effectiveness of HR. I am currently working on developing 
a performance management system that monitors additional key indicators for my other 
programs using CDCR's Computer Statistics (COMPSTAT) tool. 

Lastly, in collaboration with DPA and the Human Resources Modernization (HRMOD) 
project, I am drafting a department-wide proposal to establish an annual performance 
evaluation process. As part of the evaluation process, managers would participate in an 



58 



Senate Rules Committee June 1 1 , 2009 

Mary S. Fernandez 
Page 4 of 24 



assessment and establish an action plan in alignment with CDCR's strategic plan and 
the developmental areas noted in the assessment instrument and supervisory input. 
The following year the process would be repeated and the managers' performance 
would be measured on their ability to execute their plan. After which, new goals would 
be set for the following year. This would be a pilot with the HRMOD and eventually 
rolled out for all State managers. 

Operational Issues 

Last year, Mr. Runnels, then undersecretary for Operations, said ongoing operational 
issues are formally monitored through the COMPSTAT process. He said COMPSTAT 
allowed CDCR's executive team to review adult, juvenile and parole operations to 
identify systemic issues that need to be addressed. COMPSTAT was developed by 
former New York City police commissioner William Bratton, now Los Angeles chief of 
police, partly to hold managers accountable for their performance as measured by these 
data. In New York and Los Angeles, the statistics are publicly posted on the 
department Web sites on a regular, sometimes weekly, basis. One key issue highlighted 
by COMPSTAT is the cost of overtime. Mr. Cate has said that reducing overtime, as 
well as establishing other fiscal controls, is one of his top priorities. 

5. What is your role in the COMPSTAT process? Have you found COMPSTAT 
to be an effective tool to hold your managers accountable? If so, please 
explain. If not, why not? What red flags do you look for on a regular 
basis? 

I am on the COMPSTAT governance committee and regularly attend COMPSTAT 
mission specific meetings. In this role, I review the current data collected, make 
decisions on which performance measures to change or update, and recommend other 
areas of CDCR that need to report key performance indicators. COMPSTAT plays an 
integral role in helping CDCR monitor organizational effectiveness and track 
performance measures. The data provided by COMPSTAT allows us to hold managers 
and directors to a high level of accountability and, at the same time, provides them with 
the autonomy and authority to develop their own performance measures to accomplish 
their goals. 

COMPSTAT has created an environment in which managers take an active role in 
monitoring trends and analyzing measures critical to their success and performance. 
This process has reinforced internal accountability between Cabinet, managers, and 
staff. On a regular basis, we monitor vacancies, overtime, and sick leave. We are able 
to use information from COMPSTAT to track trends and measure critical fiduciary areas. 
We are also able to track and analyze attrition rates, which allows the Department to 
prepare succession planning strategies due to the growing number of employees 
projected to retire in the next 10 years. 



59 



Senate Rules Committee June 1 1 , 2009 

Mary S. Fernandez 
Page 5 of 24 



6. As you study COMPSTAT figures, what emerging trends stand out over the 
past year from your analysis? Where are you making progress? In what 
areas do you need to make improvements? Do you support following the 
examples of Los Angeles and New York and posting the figures publicly? 

An emerging trend is that both sick leave and overtime have been on a downward trend 
since the Department implemented stricter controls. CDCR's executive staff monitors 
these performance measures at the institution, mission, and Department levels. 
COMPSTAT has improved the accuracy of the data and made the information available 
to managers at the prisons and headquarters. Additionally, we just implemented a 
process to collect current and accurate position vacancy data which is key to managing 
our overtime expenditures. 

I need to make additional improvements in our fiscal monitoring capabilities. When I 
was appointed, this was one of the areas the Secretary asked me to focus on. I 
currently have a project team working on this initiative. The institutions' budget 
allotment and expenditure data was also recently added to COMPSTAT. We are fine- 
tuning this data and will be poised to connect with BIS when it is implemented later this 
summer. 

Yes, I support posting some of the high-level COMPSTAT information publicly. While 
working for the Davis Administration, one of the initiatives I lead was the "California 
Scorecard." This website was developed to post key performance measures for state 
agencies and was modeled after "Open.Virginia.gov." Unfortunately, the website was 
not implemented before the end of the Administration. At CDCR, we track more than 
500 data items on a monthly basis so we would need to discern the topics of interest 
and roll-up the data so it is informative and not overwhelming. I believe posting high- 
level information will provide transparency and help people understand the magnitude of 
our operations. 

7. In recent years, the department has budgeted $100 million for overtime 
costs, while $400 million or so is being spent, leaving a $200 million gap. 
Mr. Cate says you have reduced overtime by about $88 million in the first 
seven months of the current fiscal year. What is the biggest driver of 
overtime, and what new initiatives are you taking to try to further control 
these costs? 

Primarily, overtime has been reduced in the current fiscal year due to the Department's 
success in filling custody vacancies. Correctional Officer vacancies have significantly 
contributed to overtime expenditures over the past several years. CDCR has been 
working to refine its tracking of overtime and the individual causes of overtime. Budget 
staff has provided proper coding training to departmental staff and is monitoring the pay 
and absence coding. This effort has resulted in significant improvement in accurate 
overtime coding statewide. 



60 



Senate Rules Committee June 1 1 , 2009 

Mary S. Fernandez 
Page 6 of 24 



For the current year, our data shows that medical guarding and transportation, primarily 
for the Receiver, is the single largest category of overtime expenditures. Sick leave is 
the second largest category of overtime expenditures and the third contributing factor is 
vacant positions. Overtime related to sick leave is closely linked to vacant positions. As 
vacant positions decline our analysis shows that overtime related to sick leave also 
declines. Furthermore, the Department has implemented a new sick leave policy that 
will assist in reducing overtime related to sick leave. These measures include: 1) the 
elevation of approval for overtime to administrator level, 2) the readjustment of parole 
agent workload (modification of parolee contact requirements), 3) the delegation of 
mandatory training to qualified noncase carrying agents, supervisors, and parole agents 
whose caseloads are below the maximum, and 4) the redisricting of two regions, thus 
decreasing hours of overtime, and greatly improving agent productivity by localizing 
cases and reducing miles driven and fuel consumption in the region. 

Another project I am sponsoring is the Overtime Project Team. The team is tasked to 
gather, review, and analyze overtime data, and propose a comprehensive plan to 
reduce and control overtime, including development and implementation of effective 
policies and procedures. This includes specific analysis to pinpoint institution-related 
overtime issues and come up with an action plan to address these issues. This will 
enable us to develop policies and address the drivers of overtime, while controlling our 
expenditures so wo can request a realistic, supportable overtime Budget Change 
Proposal from the Department of Finance (DOF) and the Legislature. 

8. Late payments to some of the department's suppliers of services — 
including health care, parole services and other program providers — have 
complained for years of chronic lateness in reimbursement. What 
percentage of bills are paid on time? If so, what is the breakdown? What 
are you doing to ensure that your accounts are current and providers are 
reimbursed promptly? 

CDCR is one of the largest purchasers of goods and services for the State of 
California. As such, it naturally leads to a large number of invoices and a dedicated 
number of providers who continue to provide goods and services during these difficult 
times. While we currently do not track the percentage of bills paid on time, our 
accounting operations believe the vast majority of providers are paid on time. Payment 
delays are, in large part, due to issues beyond our control. As a 24-hour operation 
charged with providing constitutional care to inmates and wards, the Department cannot 
slow down purchasing and, when there are budgetary problems such as the late 
passage of the budget that has occurred over the past several years, and the forced 
slowdown by the State Controllers Office (SCO) that occurred this year, CDCR's 
vendors suffer the consequences. In this year alone, payment processes were affected 
for over five months. Every late invoice requires computations to be completed to 
determine the amount of penalties. Inquiries from vendors checking on the status of 
their payments also significantly increase. 



61 



Senate Rules Committee June 1 1 , 2009 

Mary S. Fernandez 
Page 7 of 24 



Additionally, the workload on our accounting operations continues to rise without a 
corresponding increase in the number of staff. As an example, the number of invoices 
we receive for contracted medical care has almost tripled with the implementation of 
court orders. In FY 2005-06, we processed approximately 155,000 invoices. In the 
current year, we have processed approximately 400,000 invoices. 

CDCR also inevitably makes mistakes due to the significant volume of invoices 
processed. These mistakes may include: a lost or misdirected invoice which requires a 
late payment penalty; an invoice not disputed timely; an invoice not approved timely; 
etc. 

We have identified and are implementing several solutions to alleviate some of the 
problems, including 1) transitioning to BIS. While it is not yet fully implemented, we 
believe it will help CDCR track invoices and use some industry- standard tools to help 
manage invoices to ensure timely payments; 2) conducting a pilot project 
wherein nonaccounting staff enters invoices into BIS. This has the effect of getting 
invoices into the payment process sooner without having more accounting staff; and 3) 
actively recruiting to fill critical vacant accounting positions. 

No matter what the cause for the late payment, CDCR works with the vendors and the 
SCO to make the required payments as quickly as possible and get the penalties paid. 
Currently, we are beginning to catch up on paying penalties to our vendors who were 
impacted by the SCO-mandated delayed payments; however, it will take some time due 
to the quantity of items that were delayed. 

Facilities/Construction 

The Legislature approved AB 900 (Solorio and Aghazarian), Chapter 7, Statutes of 
2007, the Public Safety and Offender Rehabilitation Services Act of 2007. This act is 
intended to finance construction of space for thousands of state inmates and create a 
broad range of performance measures that the department must meet. Based on 
March 2009 figures and subject to further modification, the AB 900 first-phase 
construction plans call for the creation of space for 2, 630 to 4, 800 inmates at a cost of 
$1.2 billion. You have a chief deputy for Facility Planning, Construction and 
management (FPCM) who reports to you. 

9. There are many moving parts in terms of the California prison population 
including an overcrowding lawsuit, the federal receiver's plans, and recent 
policy initiatives that could result in a significant reduction in population. 
How does the AB 900 plan fit into the overall population management plan? 

Population management is the most foundational element to CDCR's operations. 
CDCR's staffing, resources, facilities, services and over-arching operational objectives 



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are all based on what population is being served and the unique requirements of that 
population, both in-prison and on parole. CDCR has developed forecast models for its 
juvenile wards and adult inmates, and even subsets of its population such as 
forecasting mental health patients, security levels, etc, and has forecasted significant 
shortages of beds in the coming years. CDCR accommodated that growth primarily 
through increasing its overcrowding rates. CDCR, the Administration, and the 
Legislature passed AB 900 in May 2007 in order to build additional capacity in CDCR 
prisons and to alleviate overcrowding in an effort to prevent a release order by the 
federal court. 

Subsequent to the passage of AB 900, fiscal challenges have forced CDCR and the 
Administration to look at reducing the State's prison population through various reform 
and budget measures in order to reduce CDCR's impact on the General Fund deficit. 
At the same time, the three-judge panel in the overcrowding case has at least 
tentatively ruled that the State's prisons are overcrowded by as much as 50,000 
inmates and such overcrowding would require a release of prisoners and a cap of the 
total population in order to mitigate the effects of overcrowding. One of those effects, as 
determined by the three-judge panel, is the inability to deliver constitutional levels of 
healthcare. The Federal Receiver in the Plata case had proposed to build up to 10,000 
new healthcare beds in addition to the construction of new infill and reentry beds 
contemplated under AB 900. 

CDCR's response to its population pressures has been to develop an Integrated 
Strategy Plan that will guide its population management. The plan includes construction 
through AB 900, construction of some healthcare beds, and improvements through a 
combination of funding sources, parole reform, and other policy initiatives that will 
reduce the population. This multi-pronged approach is aimed at building the 
appropriate type of housing and treatment space for the most high risk, high need 
inmate^ currently under the State's jurisdiction in the most cost effective manner 
possible. 

AB 900 is a critical piece of CDCR's Integrated Strategy Plan and represents the most 
viable and immediate plan to build sufficient capacity for CDCR to help mitigate the 
overcrowding levels in the prisons, thereby limiting the impact of a federal release. The 
overcrowding levels are most severe in the reception centers and the Level III and IV 
population subsets given the shortage of facilities. Inasmuch as any prisoner release 
order would impact the lower levels of offenders under CDCR's authority, it is critical 
that sufficient celled capacity is built in order to avoid an overcrowding order forcing 
CDCR to extend a prisoner release to a more dangerous population of inmates. 
AB 900's plan has been revised to eliminate low-level dorm beds in favor of building 
more cells as well as building additional mental health and medical facilities for long 
term care of inmates and at least one reception center to address the severe shortage 
in that category. 



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Unfortunately, given the current fiscal challenges faced by the State, the funding 
necessary for building capacity at existing institutions, new reentry sites and even 
healthcare beds threatens the ability of CDCR to be proactive in minimizing the impact 
of the three-judge ruling. At current cost estimates, CDCR anticipated building 
approximately 18,000 infill and reentry beds, and approximately 3,300 healthcare beds, 
less than half the amount identified in the tentative ruling by the three-judge panel. 
CDCR and the Administration are taking the opportunity presented by these unique set 
of challenges to put forth a comprehensive plan of parole reform aimed at reducing the 
need to incarcerate low-risk offenders, saving the taxpayers hundreds of millions of 
dollars annually. These reform measures will also have a positive impact on reducing 
the population and it is hoped that the combination of added capacity for high-risk, high- 
need inmates and lowered population of low-risk offenders will enable CDCR to help the 
State through this budget crisis and begin to reshape the manner in which CDCR 
manages its population well into the future. 

W.What are your responsibilities for implementation of AB 900? Which are 
under the supervision of the other undersecretaries? How do you 
coordinate with other undersecretaries? What role do you play in 
monitoring implementation? 

The Chief Deputy Secretary of Facility Planning, Construction and 
Management (FPCM) reports directly to me. Part of FPCM's and my role is to ensure 
that all programmatic elements of CDCR's facility planning efforts, including AB 900 
construction plans, are incorporated at the earliest phase of design. In the case of 
AB 900, each specific program (i.e. Infill, Healthcare, Reentry, and Jail bond funding) is 
managed by appointed program managers who conduct planning sessions, hold 
bi-weekly briefings with CDCR programs on progress, and perform all the design and 
construction oversight required by each project. For example, AB 900 required that new 
construction provide for full programming and there is certainly an expectation in light of 
the current court cases regarding healthcare that the new construction also provide for 
adequate healthcare space. These requirements are incorporated into the design 
objectives and ongoing communication is maintained with CDCR divisions to ensure 
their programmatic needs are met. I, along with the other Undersecretaries, meet with 
other members of Cabinet routinely to establish the overall vision of AB 900, key 
milestones, and major operational objectives. Progress is measured through routine AB 
900 benchmark meetings with the Secretary. These meetings will increase in frequency 
and specificity once AB 900 funding to proceed with design is available and the program 
is fully operational. In addition to monitoring this progress, I will ensure all critical 
resources needed for effectively implementing AB 900 are available to the AB 900 
teams. 

Lastly, the FPCM holds bi-weekly meetings on all AB 900 projects and critical 
milestones are reported at each of these meetings, with critical-path issues raised and 



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Mary S. Fernandez 
Page 1 of 24 

obstacles or delays in schedule identified. Any schedule impacts, fiscal overruns, and 
scope implications are reported to me. 

1 1 . What is your current best estimate on the amount of space you will build in 
the first phase? Why are these numbers seemingly changing on a regular 
basis? When do you expect to break ground on the first of these projects? 

Debra Hysen, your chief deputy secretary, indicated that in May 2007 FPCM consisted 
of 290.5 authorized personnel. After May 2007 FPCM increased to 397 authorized 
personnel. Of the 397 authorized positions, 88.5 were authorized under AB 900; 12 
positions were redirected from the Division of Adult Institutions, and 3 positions were 
redirected from the Division of Juvenile Justice to create a new Maintenance Services 
Branch with regional oversight of plant operations. Since May 2007 FPCM has filled 17 
of the 88.5 positions authorized by AB 900 (19.2 percent). 

Currently, we anticipate building enough beds for 8,000 inmates in Phase 1 of the Infill 
Program, spending approximately $1.8 billion. These numbers have changed due to, 
a) the extent population changes have driven a different kind of facility (as further 
described in the response to Question 9 above), and b) revised cost estimates based on 
changing market conditions due to delay and the impact the delay has on the total 
conceptual cost estimate. Additionally, CDCR has been working with the Receiver over 
the last six to eight months to analyze the feasibility of housing some of the general 
population inmates it had previously planned to place in the Consolidated Care Facilities 
contemplated in SB 1665 within its infill facilities. These inmates are currently housed in 
existing prisons and receive outpatient services and CDCR believes that some of the 
infill sites would be ideal to house this population of offenders and the Federal Receiver 
has concurred. Lastly, a Division of Juvenile Justice (DJJ) site considered for closure 
affords CDCR the opportunity to leverage an existing facility that will maximize the 
number of beds gained for adults at a lower cost than new construction. 

The ground breaking for these sites is predicated on obtaining funding for design of the 
AB 900 Infill and Reentry projects. Only one mental health project has been authorized 
for funding to date from AB 900's lease revenue appropriation due to the condition of 
the Pooled Money Investment Account and the pending Taxpayers for Improving Public 
Service (TIPS) litigation, which remains unresolved. Once funded, CDCR can begin its 
preliminary plans and working drawings and, if approved at that juncture, can proceed 
to the construction phase. Groundbreaking for new projects is anticipated to occur 
within 18 months to two years following initial funding of design work. 

12. How large do you see the construction staff growing in the coming years 
as new facilities are being planned? 

The Legislature authorized six General Fund and 82.5 Lease Revenue Funded (LRF) 
positions, for a total of 88.5 authorized AB 900 positions. The six General Fund 



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June 11, 2009 



positions have been filled. Eleven of the LRF positions have also been filled; however, 
without LRF funds that can only be made available following the financing approval of 
the Pooled Money Investment Board, these positions cannot be properly funded. 
Therefore, FPCM redirected funds from other areas within its program to temporarily 
fund the 1 1 positions. CDCR has been very judicious in minimizing the total number of 
unfunded AB 900 positions to that which is critically necessary. There are 
approximately 17 AB 900 positions that have been filled as of May 2009. As each 
project is authorized and funding approved, additional personnel will be hired into the 
authorized positions. 

The construction staff and related support staff (i.e. planning, contracts, etc.) within 
FPCM are anticipated to grow to the authorized amount of 88.5 AB 900 positions. It 
was CDCR's intent to seek an increase of positions above the authorized amount as the 
program proceeded into its construction phases (years 3-5) to more effectively manage 
the workload. However, given the current economic condition of the State, it is FPGM's 
intent to limit additional growth in this program to only critical workload needs that 
cannot be met through its private sector counterparts working alongside CDCR staff in 
these program areas. All of the AB 900 positions will be billable out of the project's 
costs and CDCR will work aggressively through the project's duration to limit total 
expenditures. 

13. With many prisons in remote locations, what are you doing to recruit and 
retain workers for maintenance and construction positions? How many 
vacancies do you have currently? As you gear up for more construction 
projects, how many additional staff positions will you need, and are you 
recruiting the staff now? 

The remote locations pose some challenges, not only for attracting CDCR project staff 
but also for recruiting and retaining outside contractors and consultants. However, the 
economic conditions that exist currently, and in the foreseeable future, provide a 
significant window of opportunity to CDCR's building program that we believe will not 
only afford CDCR the opportunity to hire State employees, but also our partners in 
consulting and contracting firms. 

CDCR has established lists and conducted testing for a number of positions and is 
ready to make job offers on a number of these. However, the offers have been 
postponed due to the uncertainty surrounding AB 900 funding as these are all lease- 
revenue funded and without project approval and interim financing, CDCR cannot 
absorb these costs. FPCM plans to begin an aggressive recruitment when the AB 900 
program is fully implemented but believes that its existing personnel can handle the 
current tasks at hand until funding authorizations are received. Lastly, all consulting 
firms necessary for the design stages of construction have been retained and upon 
funding, contracts will be executed to begin this stage. Once these contracts are in 
place, they too will begin increasing their staffing levels. 



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CDCR's Master Plan Annual Report for 2008 says the Department was planning on 275 
female residential multi-service center beds in Fiscal Year (FY) 2007-08, 150 in (FY) 
2008-09, and 150 in (FY) 2009-10, for a total of 575 beds. They note that 25 beds were 
activated in April 2008 in Sacramento, and that a request for proposal for 250 beds was 
released May 12, 2008, with bids due September 11, 2008. 

14. What is the plan for the other 300 beds? Will they be constructed? What is 
the timetable for establishing these facilities? What has the department 
done with the funds earmarked for these female facilities with the projects 
behind schedule? Do the funds revert back to the General Fund? 

A recommendation was made by Cabinet and approved the Secretary to temporarily 
delay the initiatives to expand and fund these programs due to severe budget cuts and 
until CDCR's population reforms and the impact of those reforms on the female 
population is known. All savings will revert to the General Fund and have been reported 
to DOF on a monthly basis. 

Infrastructure 

Overcrowding has resulted in heavy usage of sewage and wastewater systems in some 
prisons. Prison managers complain about their inability to keep up with regular 
maintenance. Local communities frequently complain about the impact of CDCR 
facilities on the surrounding area. 

15. Please describe the department's efforts to address the issue of 
infrastructure degradation and any expected time frames for 
improvements. How do you prioritize the competing infrastructure needs 
at different institutions? .*»» < 

Infrastructure degradation is a major issue facing CDCR for a number of reasons, two of 
which are overcrowding and aging infrastructure. Because of inadequate funding 
necessary to maintain its buildings, CDCR has had to perform complete overhauls or 
replacements of building components earlier than their predetermined obsolescence. 
Recent examples of this have included entire plumbing lines, roofing systems, and even 
cell doors that have corroded once their protective coating wore out over time without 
being reapplied. In some cases, failures are catastrophic due to lack of ongoing 
maintenance such as, a cogeneration plant that became inoperative for several years 
due to the lack of funds despite the fact that when operational, it generated $1 million 
annually in revenues. In nearly every type of building system or component, lack of 
updates and regular maintenance, including substantial repairs when necessary, will 
lead to higher costs at a later time to repair them. 



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Mary S. Fernandez 
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CDCR recently completed an analysis at multiple institutions to assess the condition of 
the facilities and to determine the appropriate level of investment necessary to maintain 
them at their optimum levels. The results of this analysis clearly show that the entire 
portfolio of facilities is woefully underfunded in comparison to other similar building 
portfolios. This analysis only validated what CDCR has long known - that its 
infrastructure systems are failing and that there is not enough money to address even 
the basic and critical needs. 

FPCM created the Maintenance Services Branch in 2007 to provide critical oversight to 
ensure CDCR's facility needs were being identified and prioritized and that remedies 
were developed on a timely basis and managed throughout implementation. In some 
cases, this has been as simple as enforcing the requirements of the plant operations 
personnel to complete prescribed preventative maintenance functions and, in others, 
identifying appropriate short and long-term projects necessary to sustain and even 
enhance infrastructure operations, securing funding, implementing them, and monitoring 
them throughout. This branch has also identified personnel shortfalls in plant 
operations at each institution in preparation of future funding requests. 

Due to recently proposed budget cuts, the ability to sustain even critical infrastructure 
systems is at risk. This will seriously impact the ability to eliminate sudden failures, 
diminished operations, and potential problems, such as sewage spills, being 
experienced by surrounding communities. FPCM views maintenance of its facilities as 
one of its most critical priorities - if a prison goes down due to an infrastructure failure 
and stays inoperative for any length of time, CDCR simply does not have the capacity to 
redirect the population to other sites. Thus, continuing this critical role is essential in 
sustaining and ultimately, optimizing CDCR operations. 

16. How is the department ensuring that the construction required by AB 900 
will not exacerbate infrastructure issues, such as a lack of wastewater 
capacity? Also, are you utilizing renewable energy sources and other 
environmentally friendly building standards at prisons? Please describe 
the work that you do with local surrounding communities to answer 
possible concerns/questions about proposed construction. 

CDCR's revisions to the original AB 900 plan took into consideration those areas of the 
State and those prisons that had the capacity to expand critical infrastructure systems 
like water and wastewater. As a result, several sites were dropped from consideration 
that may have had critical flaws that would impede expansion and that could not be 
overcome by increasing on-site capacity in a cost-effective manner. Because the Infill 
program will be adding capacity to existing prisons, CDCR will incorporate the 
appropriate changes to the existing systems to ensure that adequate capacity is 
maintained for the existing and increased population. In addition, the AB 900 legislation 
provided for a $300 million General Fund (GF) appropriation to address infrastructure 
deficiencies throughout the State's network of prisons and CDCR will continue to 



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leverage this appropriation to ensure overstrained infrastructure systems are being 
properly addressed. 

CDCR is proud to have in place one of the most ambitious energy conservation 
programs in California State government, which received an award in 2007-08 for 
Outstanding Achievements in Energy and was recently named by the Climate Registry 
as the largest State agency engaged in implementing energy conservation measures 
aimed at reducing greenhouse gas emissions. The Energy and Resource Management 
Division is housed within FPCM and has recently achieved its target of reducing water 
conservation by 20 percent statewide in CDCR prisons, an effort partly funded by the 
AB 900 $300 million GF appropriation. CRCR purchased and installed water 
constriction devices, or flushometers, on cell toilets in all of its facilities that control the 
number of flushes. These devices, in combination with ongoing water surveys and a 
water-conservation campaign FPCM launched statewide in each prison, have yielded 
significant results so far. With the statewide drought continuing, CDCR will continue to 
increase conservation efforts in this important area. 

FPCM has completed two large solar farms in the last three years of one megawatt 
each, or 6,000 solar panels at each site, and has plans for six additional sites in addition 
to exploring wind generation at two prison locations. It has also completed a multi- 
million dollar energy retrofit project in partnership with the State's largest utility providers 
with plans for more. The prisons to be constructed with AB 900 funds will also be built 
in accordance with LEED criteria and CDCR will continually be reviewing opportunities 
on all of its renovation projects to construct them with energy and resource conservation 
as an overriding objective. 

Budgeting 

The Fiscal Services Division under your jurisdiction has responsibility for the 
department's budget. The Legislative Analyst has reported from 1987-88 to 2007-08, 
corrections spending increased from $1.7 billion to $10.1 billion, an average annual 
increase of 9 percent. By comparison, total General Fund spending has grown at a 
slower average annual rate of 6 percent. As a consequence, spending on corrections 
takes up about twice as much of the state budget than it did 20 years ago, increasing 
from 5 percent to 10 percent of total General Fund spending. 

17. Given current budget restraints, what criteria do you use to prioritize 
department activities? 

The Secretary has made it clear to all of Cabinet that his expectation is that we will set 
priorities as a Cabinet based on the vision, mission, values, and goals we have worked 
to establish over the past seven months. As a result, every time we face an important 
decision about budget reductions or constraints, the entire Cabinet prepares and 
reviews alternative options. Where possible, we provide the Secretary with a 



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Mary S. Fernandez 
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recommendation based on our consensus. When it is not possible to reach consensus, 
we present the Secretary with the various perspectives and anticipated consequences 
so that he can make an informed decision. In instances where a significant amount of 
analysis is required, we may delegate to the Chief Deputy Secretaries for discussion 
and recommendation. The recommendations are usually based on input from all parts 
of the organization. 

In regards to CDCR's budget taking up about twice as much of the state budget than it 
did 20 years ago, it is important to note that the Department's inmate population has 
more than doubled over the past 20 years, increasing from 76,171 inmates in 1988 to 
171,085 inmates in 2008. Consequently, our budget has also significantly increased. 

18./s it your responsibility to ensure that funding authorized by the Legislature 
is used for the intended purpose, such as a new education or treatment 
program? For example, what role did you play in reallocating funds 
originally intended for female offender wrap around parole services? 

For the female offender wrap around parole services, the recommendation was made 
by Cabinet and approved by the Secretary to delay all but one of these projects until 
next budget year when we will have a better estimate of the female parole population. 
We have many reforms under consideration which would drastically reduce the female 
parole population. We did not feel it was fiscally prudent to proceed with these 
contracts given that parole reforms under consideration for the past year would 
significantly reduce the need for these beds. 

All of the significant budget-related decisions made over the past year were done as 
part of a collaborative Cabinet effort. At the beginning of the fiscal year, the Secretary 
made it extremely clear that he expected the Department to come in within our 
budgeted authority. In addition to an $80 million unallocated reduction that we received 
as a result of the Governor's veto message in September, the Department has a 
structural deficit of approximately $120 million caused by unfunded overtime, parolee 
medication, infrastructure repairs, etc. These reductions made it impossible for us to 
stay within our budgeted authority this fiscal year without deferring spending in some 
areas. Therefore, every division and office within the Department was asked to identify 
positions that could be held vacant or contracts that could be delayed in an attempt to 
reduce overall expenditures. 

Additionally, any emergency repair that immediately threatens life and safety, or is 
required to bring a facility back into operation upon a system failure, must be made as 
soon as possible. In the event CDCR has to make such a repair, funds must either be 
immediately identified from within CDCR through redirection or an alternative source if 
available. 



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19,/s it your responsibility to ensure that wardens are within budget? What 
happens if a warden's budget is in the red? Is it your job or Undersecretary 
Kernan's to address this matter? 

The responsibility of ensuring the wardens are within budget lies both with 
Undersecretary Kernan and myself. As the Undersecretary of Administration, it is my 
job to monitor the budget for the entire Department to ensure we do not exceed our 
appropriation, and this includes the institutions. However, the institutions are under the 
operational control of Undersecretary Kernan and, as such, he controls the decision- 
making process regarding operations. We review the expenditure data together, usually 
at a COMPSTAT or fiscal review meeting, identify the drivers of the expenses, and 
develop plans to prevent the expenditures in the future. We both monitor the situations 
to ensure the solutions are implemented and the budgets are back in control. 

20. Please describe how the headquarters staff has grown over the past five 
years. What was the vacancy percentage Five years ago? What is it today? 

There was a significant growth in headquarters' position authority between FYs 2004-05 
and 2008-09. Most of the positions were approved by the Legislature in response to 
budget proposals from the Administration to address critical issues as outlined below: 
1) Jessica's Law; 2) HR/Expanding the Academy; 3) Valdivia Court Order; 4) Internal 
Monitoring and Auditing; 5) Court Compliance; 6) Administrative Infrastructure (IT and 
Accounting); 7) Out-of-State Transfers and Female Offender Programming; and 8) AB 
900 (Construction and Programs). 

Recently, due to the current fiscal situation, the Secretary ordered a 10% cut of the 
4267 headquarters' positions. This reduction is currently being implemented in 
conjunction with the CDCR GF layoff ordered by the Governor's Office. 

The current CDCR vacancy rate is 6.4 percent; the vacancy rate for CDC in 2005 was 
10.3 percent. 

21. Are positions being redirected from their originally authorized legislative 
purpose to other activities? Please describe. 

Yes, occasionally positions are redirected from their originally authorized purpose to 
other activities. This is part of the normal prioritization of workload that has to occur in a 
department of our size and complexity. It is not our intention to request resources for 
one purpose and then redirect them to another purpose; however, it does happen, 
especially in tough budgetary times such as these. If we are to be the most efficient 
organization possible we will always be examining workload and workload priorities, and 
address some of the critical issues by redirecting resources, otherwise the Department 
would annually need to submit hundreds of Budget Change Proposals to address 
shifting workload. 



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22. Please describe how salary savings from vacant positions might be used 
or redirected. 

Salary savings are used or redirected for many different purposes within CDCR. For 
example, the Department has run a deficit for the past several years due to unfunded 
overtime costs. In large part that deficit is funded through vacant positions in other 
programs. Outside of posted positions which are required to be filled every day, we are 
only funded to fill 95 percent of our positions, so each organization has to carefully 
manage its budget to ensure there is enough funding to cover their filled positions. This 
fiscal year we conducted fiscal reviews with each operation to provide some savings to 
fund the deficit, which included reviewing salary savings. Excess salary savings were 
redirected to address the shortfall. Given the increasingly dire revenue situation of the 
State, we felt it was incumbent on us to address shortfalls internally and not submit a 
deficit request, if possible. 

Salary Compaction 

In the past, there have been salary compaction issues with rank and file personnel and 
supervisor classifications. For a variety of reasons, including compensation for overtime, 
custody officers sometimes earn higher salaries than the lieutenants and captains to 
whom they report. As a result, lower ranking officers might make as much as, if not 
more than, their supervisors. As of March 1, 2007, former Secretary Tilton was finally 
successful in increasing the pay for management positions. 

23. What is the status of efforts to address salary compaction in the field and 
headquarters? Is there still a fair amount of variance among salaries for 
senior executives? If so, should this variation be addressed and how? 

Recently, DPA excluded salary programs that have attempted to ensure a minimum of a 
five percent salary variance between rank and file and supervisory custody 
classifications. Currently, no compaction exists between rank and file and supervisory 
classes. Human Resources continues to monitor salaries, identify compaction issues, 
and work with DPA to address areas of concern where, and when, fiscally possible. 

CDCR continues to use a pay differential, established in January 2007, to address 
compaction for senior executive positions. On January 23, 2009, CDCR submitted a 
request to DPA to continue this differential. Although the request is pending DPA 
approval, DPA has allowed CDCR to continue its use. 

24. Deputy commissioners at the Board of Parole Hearings earn $8436 monthly 
with a 2.5% safety retirement at age 55 and no contribution to Social 
Security, but Associate Chief Deputy Commissioners who supervise the 
deputy commissioners earn $8911 with 2.0% retirement at age 60 and pay 



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Mary S. Fernandez 
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about $500 monthly into Social Security. The Rules Committee was told for 
some time that this issue would be addressed but DPA recently rejected 
the proposed fix. What is your responsibility for addressing this specific 
problem and problems like this? Why would someone promote to 
Associate Chief Deputy Commissioner given this circumstance? 

My responsibility to address compaction and/or recruitment and retention problems 
when identified is to ensure that CDCR's HR works with the affected program to 
develop a solid justification and proposal to submit to DPA for consideration, as DPA 
has full oversight and approval authority of the State's classification and compensation 
program. Proposals could include developing new classes, revising existing pay 
structures, recruitment/retention differentials, etc. I have personally spoken with DPA's 
Director and Chief Deputy Director regarding this issue; however, in light of the current 
fiscal situation, it has been difficult to obtain approval on these types of proposals.. I will 
continue to work with DPA to seek a mutually agreeable solution. 

While I will continue to seek a mutually agreeable solution with DPA on the disparity 
between the retirement systems of the Deputy Commissioners and the Associate Chief 
Deputy Commissioners (ACDC), each individual's decision to promote to the Associate 
Chief Deputy Commissioner is their own personal decision. Such a move would result 
in a 5.6 percent increase in salary which can be used for retirement calculations. 
ACDC's fall under the industrial retirement category (2.0 percent at 55) which means 
they will pay into social security and will be entitled to benefits. 

Personnel and Training 

The California Highway Patrol Commissioner recently told this committee that he 
established a new position, titled Assistant Commissioner for Leadership Development, 
in response to high vacancy rates and other problems. Your office of Training and 
Professional Development is responsible for training and staff development. CDCR 
said the Richard McGee Training Facility in Gait falls under your office. 

25. Who is responsible for leadership development in your organization? Are 
you satisfied with the quality of leadership and management training 
available to CDCR employees? Where is improvement needed? 

Secretary Cate is ultimately responsible for leadership development within the 
organization. Every leader, from cabinet level to line managers and supervisors, is 
expected to model exemplary leadership practices and challenge each other to seek 
ways to change, grow, and innovate. Additionally, every manager is required to mentor 
and develop leadership talents in their staff. 

Our HR, Office of Training and Professional Development, is responsible for 
coordinating CDCR's leadership training program and collaborates with executive level 



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Mary S. Fernandez 
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managers of line programs and affiliated administrative programs, in the development of 
policy and strategy for our training programs. Our Office of Workforce Planning and 
Selection is responsible for the Department's Succession Management Planning. 
Secretary Cate demonstrated his commitment to succession planning by elevating this 
office to the policy level, dedicating six staff to this function and establishing a CEA to 
manage it. Our goal is to to create an integrated HR System for all of our HR 
processes (Recruitment, Selection, manager/supervisor training and performance 
management) based on identified managerial core competencies. This approach will 
focus on strategic objectives aligned with an integrated competency based HR system 
to reach organizational priorities. This will enable CDCR to align staffing plans with 
workforce availability and the critical and evolving needs of our mission. This includes 
identification of core competencies at all levels; identification of workforce 
demographics, gaps, changing program requirements, employee development needs 
and associated solutions (such as a possible management intern program and other 
necessary classification changes), associated mentoring programs, knowledge transfer 
programs, and employee retention strategies. The Office of Workforce Planning and 
Selection's Succession Management Planning Unit works in conjunction with the Office 
of Training and Professional Development to identify training needed to prepare CDCRs 
workforce for succession planning efforts (i.e., promotional opportunities, attrition, etc.). 

Overall, I am pleased with the quality of the programs we have available to CDCR 
employees for leadership and management training. We provide two major training 
courses for management and leadership development; Management Skills 
Development Program (MSDP) and the Leadership Development Program (LDP) (more 
detail in the question below). Evaluations completed by participants over the last two 
years consistently give high ratings to the course material as well as the instructors. 

I am satisfied with the quality of our offerings; however, I am not satisfied with the 
quantity of available classes. Our biggest obstacle to delivering this training to CDCR 
employees is the lack of dedicated funding for these programs. Consequently, we 
usually cannot schedule enough classes to meet the development needs of staff who 
make up our existing management team, nor can we provide sufficient numbers of 
classes to address the group of middle managers who will eventually be required to 
step into these leadership positions. I plan to pursue permanent funding for these 
programs as the fiscal climate improves. 

26. Please describe as specifically as possible the leadership and management 
training currently available, how frequently it's provided, and how many 
staff are served? When was the last time each component of the training 
was delivered and when will the next components be delivered? How will 
the budget crisis impact training? 

The Department currently offers four leadership/management development courses, as 
described below. 



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Mary S. Fernandez 
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Leadership Development Program 

The LDP, offered in partnership with the Sonoma Learning Systems, is a program 
designed for CDCR leaders that enables them to access and develop their leadership 
skills, integrate leadership theory and practices, and address critical correctional 
professional issues confronting CDCR. This course includes the Leadership Practices 
Inventory. Eight sessions of this seven-day course, taught over a three-month period, 
are scheduled for FY 2009-10 and can facilitate up to 25 staff per offering. Due to 
budget constraints, two sessions were held in the 2008-09 fiscal year. The last 
workshop ended April 8, 2009, and the next session is scheduled for August 4, 2009. 

Leadership Challenge Workshop 

The Leadership Challenge Workshop (LCW) is an intensive, highly interactive and 
stimulating program based on the award-winning book, Leadership Challenge. The 
participants are exposed to concrete tools and knowledge necessary for them to be 
effective leaders, including the Leadership Practices Inventory. This two-day workshop 
is usually offered 24 times per year and can facilitate up to 24 staff per offering. 
However, due to budget constraints, the course was not offered in the 2008-09 fiscal 
year. The last workshop was September 27, 2007 and will resume in August 2009. 

Management Skills Development Program 

The Management Skills Development Program is a collaborative effort between CDCR 
and the California State University, Sacramento, College of Continuing Education. The 
program is designed to provide managers with 40 hours of management education and 
40 hours of skill enhancement education. Courses include: The Proactive Manager, 
Self-Awareness & Personal Growth, Communication, Conflict Management, Critical 
Thinking Skills, Building a Collaborative Environment, Change Management, Coaching, 
Strategic Implementation, Measuring Performance Results and Real-World Application. 
Ten sessions of this two-week course are scheduled for FY 2009-10 and can facilitate 
up to 25 staff per offering. Due to budget constraints, one session was held in the 
2008/09 fiscal year. The last workshop ended February 6, 2009, and the next session 
is scheduled for August 17, 2009. 

California Public Safety Leadership and Ethics 

This widely-honored and recognized program utilizes the Phi Theta Kappa International 
Honor Society Leadership Development Program® as a foundational component. The 
program is designed to create exceptional leadership throughout public safety 
organizations with a design that has individuals develop critical thinking skills through 
increasingly complex learning experiences. Two sessions of this four-week course are 
scheduled for FY 2009-10 and can facilitate up to 20 staff per offering. Due to budget 



75 



Senate Rules Committee June 1 1 , 2009 

Mary S. Fernandez 
Page 21 of 24 



constraints, the course was not offered in FY 2008-09. The last workshop was held 
May 9, 2008, and the next session is scheduled for August 24, 2009. 

As stated above, our biggest obstacle to delivering this training is the lack of dedicated 
funding for these programs. While funding is currently available for FY 2009-10, the 
budget crisis may impede our ability to offer all planned sessions. As the fiscal climate 
improves, I plan to pursue permanent funding for these programs to ensure our leaders 
receive the training needed to be effective leaders. 

27. Who is responsible for following up on ethics training in general and 
determining whether it is adequate? 

CDCR provides two forms of ethics training. One is the Ethics Orientation for State 
Officials which is required by Government Code Section 11146-11146.1. CDCR uses 
the interactive on-line program provided by the Office of the Attorney General. The 
training coordinator within the specific division, program, or institution follows up with 
staff who are required to take the training as part of the annual Form 700 filers process. 

We also provide ethics training as part of several of our ongoing classes, including: 

• New Employee Orientation 

• Adult Correctional Officer Academy (a 40-hour module on ethics) 

• Basic Supervision 

• California Public Safety Leadership and Ethics (CPSLE) - CPSLE is a unique 
leadership course developed with input from the public safety sector that focuses 
on developing a personal philosophy of leadership, leading others, organizational 
leadership, ethics, and the challenge of leadership. 

• Annual Peace Officer training as published in the Off-Post Training Schedule. 
We include a refresher course via an on-the-job training module. 

As with all our training programs, we have participant evaluations that are carefully 
reviewed by a team of evaluation specialists and Department stakeholders to determine 
whether any improvement in subject matter or delivery are needed. Corresponding 
course or curriculum improvements are submitted to HR for approval and then 
implemented in the respective courses. 

28. Who is responsible for following up on the 360° assessments described by 
Matt Cate in his confirmation hearing? When an employee who wants to 
promote is told what additional training he or she needs, whose job is it to 
see that it's provided? 

A component of CDCR's Succession Management Plan (SMP) is to conduct 
assessments of employees participating in the succession program to evaluate them on 
their readiness to succeed to the next level in their promotional path. Based on the 
results of the 360° Assessment, the SMP Unit will identify areas of development that are 



76 



Senate Rules Committee June 1 1 , 2009 

Mary S. Fernandez 
Page 22 of 24 



required in order for the employee to succeed at the next level within CDCR. The SMP 
Unit will assist the employee and his/her manager to create a development plan. It is 
the joint responsibility of the employee and his/her manager to ensure the employee 
completes the training and development needed. In order to ensure the management 
and leadership training meets the needs of CDCR, performance measures have been 
developed to track identified development of employees. 

29. Prison business managers typically come up through the ranks. They 
report to the associate warden for Business Services. What sort of training 
is provided to these executives who become responsible for managing 
hundreds of millions of dollars in public funds. 

CDCR does not currently have a specific training program designed for Correctional 
Business Managers (CBM). The training they receive is primarily on-the-job training at 
the local institution under the direction of the local associate warden. These individuals 
are also eligible to attend the CDCR Management Skills Development Program and the 
Leadership Development Program. 

While CDCR does not have a formal training program for CBMs, the recruitment 
materials specifically state that experience with the various functions is needed to take 
the exam. This includes functions they are responsible for, such as budgets, personnel, 
contracts, plant operations, etc. 

There are also several support/consultant resources available in headquarters to advise 
them, including the Business Manager in each of the mission offices in headquarters, as 
well as the technical staff in Budgets, Personnel, Contracts, etc. Additionally, personnel 
from the Budget Management Branch work closely with their counterparts in 
institutions. This fiscal year for example, each institution has been visited by their 
budget analyst to work on position reconciliation. We are committed to headquarters' 
budget staff becoming a part of the team and working closely with institutional staff to 
ensure better cooperation and understanding. In the past, the Office of Fiscal Services 
has also held fiscal services seminars where budget and accounting staff provide 
training on new fiscal systems and procedures so that there is full understanding of 
fiscal processes. We are committed to developing and providing a robust training 
process to ensure that all staff in institutions as well as headquarters are provided both 
formalized and on-the-job training. 

30. In part because of a failure in leadership, CDCR medical is now under a 
federal receivership. Assuming this charge will eventually come back to 
CDCR, what are you doing in terms of preparation for taking inmate 
medical care back from the federal courts? 

My primary focus is in the Receiver's administrative programs. Since my appointment, I 
have been working collaboratively with the Receiver's administrative staff regarding 



77 



Senate Rules Committee June 11, 2009 

Mary S. Fernandez 
Page 23 of 24 



many issues that overlap. In addition, both entities have been working together in the 
implementation of BIS and in the SOMS procurement. Now that we are close to 
signing a Memorandum of Understanding, the Receiver's staff and my staff are 
collaborating in many more areas. Weekly meetings are held with various program 
directors and the executive team has scheduled monthly meetings to coordinate 
activities. I am working with the Receiver's staff to ensure policies currently in 
development are either identical, or at least, do not conflict with each other. A good 
example is, we have been working together to develop mutually agreed upon alternative 
solutions to information technology purchases the Receiver was considering which are 
not compatible with CDCR's overall enterprise architecture. 

31. How many new officers were trained in 2008, and how many do you expect 
to enter and complete the academy in 2009? Previously, there were efforts 
to set up permanent training facilities in Southern California and at 
community colleges. What is the status? 

In FY 2008-09, 1,230 new correctional officers graduated from the academies: 1,093 
Adult, 27 Juvenile, and 110 Parole. Due to the fiscal crises and potential layoffs only 
160 graduates are currently planned for the Adult Correctional Officer Academy in FY 
2009-10 and no specific total number of graduates for parole or juvenile have been 
planned at this time. 

With regard to the Southern training facility and agreements with community colleges, 
these options were being explored when the Department's entry level peace officer 
needs exceeded existing capacity for academy training. Due to the current economic 
situation and the decline in the need for hiring new entry level peace officers, 
the Southern California academy was postponed and correspondingly, no agreements 
with community colleges have been pursued. 

The community colleges could not generate the cadet numbers without CDCR 
underwriting the cost. Additionally, the colleges could not teach approximately 50 to 60 
percent of our curriculum because of the Department-specific nature of the content and 
costs of our tactical, impact, firearms, and chemical agents. Given the projected low 
number of cadets to be trained in the foreseeable future, there are no plans to pursue 
community college academies. 

Research 

In 2007 Mr. Tilton said the Office of Research plays a major role in the department's 
vision for making evidence-based rehabilitation a major part of the mission at CDCR. 
At the time of the CDCR reorganization, it was widely recognized that CDCR lacked 
research capability. The reorganization established an Office of Research to address 
this weakness, increasing the 6 existing staff to 21, and adding a new Assistant 
Secretary of Research. In the department's official job description, you are responsible 



78 



Senate Rules Committee June 1 1 , 2009 

Mary S. Fernandez 
Page 24 of 24 



for overseeing research. However, on the department's organizational chart, the 
Assistant Secretary for Research reports to the Secretary's senior policy advisor. 

32. Have you considered contracting with a major public university to oversee 
all research for the department? What would be the pluses and minuses? 

I understand that several years ago when the Department was discussing the need to 
reestablish a viable Office of Research, there was significant discussion about 
contracting out for these services with a major public university. Ultimately, however, it 
was decided that the most critical gap in terms of effective research was the internal 
capacity to collect quality data. Most of the positions that have been established would 
still be needed to identify data sources, determi_ne the quality of data, and develop the 
methodology to gather the data for external researchers. Therefore, it would be an 
additional expense to add an external layer. 

However, while we currently do not contract out all of our research services, the 
Department does use contracts with public universities, i.e., the University of California 
at Irvine (UCI) and Davis (UCD) along with several of the California State University 
campuses to maximize our resource and enhance capacity. For example, UCD is 
currently conducting research projects on wraparound services to adult offenders, 
recidivism rates, and a follow-up study on "Enhancing Prison Treatment of Women." 
UCI previously researched and provided evaluation of our parole violations decision 
making instrument, prepared the California Static Risk Assessment Report, and 
provided analysis of violation and adult parolee risks. 



79 



California Natural Resources Agency 



ARNOLD SCHWARZENEGGER^ Governor 



DEPARTMENT OF FISH AND GAME 

Office of Spill Prevention and Response 
1700 K. Street, Ste 250 
Sacramento, California 95811 
Telephone: (916)445-9338 
www.dfq.ca.gov 



June 9, 2009 



DONALD KOCH, Director 




(Responses 



The Honorable Darrell Steinberg, Chair 

Attn: Nettie Sabelhaus, Appointments Director 

Senate Rules Committee 

State Capitol, Room 420 

Sacramento, CA 95814 

Dear Senator Steinberg: 

Thank you for the opportunity to address your questions and to share with you my 
goals as administrator for the Department of Fish and Game, Office of Spill 
Prevention and Response (OSPR). It is an honor to have been chosen by Governor 
Arnold Schwarzenegger to serve OSPR in the protection of California's natural 
resources. I bring to this job an understanding of both OSPR and the Department of 
Fish and Game. My 28 years experience in wildlife law enforcement with state and 
federal agencies gives me a unique perspective of the importance of protecting our 
natural treasures. I truly understand the magnitude of responsibility that 
accompanies this position and am grateful for the opportunity should the Senate 
choose to confirm me. 



Statement of Goals 

1. What do you hope to accomplish during your tenure as administrator of OSPR? 

The Office of Spill Prevention and Response (OSPR) is the premiere spill prevention 
and response organization in the nation. During my tenure as administrator, I will 
continue our work with state, federal, local and industry partners as well as the 
environmental community to ensure the highest standards in environmental 
protection for California's natural resources. My goals as administrator include 
increasing coordination with local governments; improving wildlife response; 
improving timeliness and quality of public outreach; evaluating best achievable 
technologies for spill prevention and response; and enhancing staff readiness for 
spill response. 

Currently, OSPR is working to implement new techniques and response 
mechanisms that came out of the MA/ Cosco Busan oil spill. 



Conserving CaCifornia's WiCcCCife Since 1870 



80 



The Honorable Darrell Steinberg 
June 09, 2009 
Page 2 of 8 

External and internal reviews of our response identified the need for enhanced 
efforts by OSPR to increase local government and volunteer participation, address 
fisheries closures, shorten response times, increase wildlife recovery efforts, and 
increase drill participation and oversight. OSPR is working hard to make these 
improvements. I will provide leadership and guidance to OSPR while implementing 
these positive and important changes to our response mechanisms. 



Inland Pollution Program 

In 2007 Ms. Curtis, the previous administrator, told the Senate Rules Committee that 
85 percent of spills the office responded to were in the inland areas, and many were 
chemical and pesticide spills. At that time, she said that statutory authority was 
needed for the inland program, and she also wanted the ability to assess certain 
fines and penalties. She indicated that additional staff was also needed. The 
Legislature passed a bill, AB 291 1 (Wolk), Chapter 565, Statutes of 2008, that 
extends the office's ability to oversee cleanup of inland spills and impose penalties 
similar to those of marine spills. 

2. Did the recent legislation, AB 2911, provide your office with sufficient authority 
to effectively deal with inland spills? Are chemical and pesticide spills 
adequately addressed? 

AB 291 1 (Wolk), Chapter 565, Statutes of 2008 gave us three important new 
authorities in addressing inland oil spills including: clear response and command 
authority, cost recovery authority, and the ability to levy administrative civil penalties 
for intentional or negligent acts. In implementing our new authorities, OSPR is 
collating data, including chemical and pesticide spills, in our Incident Tracking 
Database. The collection of this data will allow us to evaluate workload and trends to 
help us better define our future needs. We anticipate completing this analysis on 
workload, including funding and staffing gaps, for inland spill response in late FY 
10/11. The results of this analysis will be presented to Administration officials for the 
planning of OSPR's future needs. Additionally, OSPR has promulgated regulations 
to implement administrative civil penalties for inland oil spills. These regulations will 
be effective June 13. 

3. What additional authority do you believe your office needs to effectively deal 
with inland or marine spills? 

OSPR is a part of the Department of Fish and Game (Department). I believe the 
Department and OSPR have the necessary authority to address marine and inland 
oil spills. Director Koch and I are not seeking any additional authority. 



81 



The Honorable Darrell Steinberg 
June 09, 2009 
Page 3 of 8 

Succession Planning in the Office of Oil Spill Prevention and Response 

Many state agencies have realized that a significant number of middle and senior 
management personnel already have or will soon become eligible for retirement. In a 
letter to the Rules Committee last year, Ms. Curtis said that 61 percent of the middle 
and senior management staff of your office are or will be eligible for retirement within 
five years. 

4. Does your office have a succession plan in place? If so, please describe the 
major points of that plan. 

Succession planning is addressed in the Department's Leadership Development and 
Succession Plan that was published in October 2007. This plan delineates a 
succession planning program that ensures leadership continuity in key positions 
through employee recruitment, training, job rotation, job shadowing, mentoring, and 
close collaboration between employees and their supervisors and managers. The 
plan lays out strategies to meet the following goals: 

• Promote core leadership competencies; 

• Provide traditional training and development opportunities to enable 
employees to acquire the competencies necessary to fill leadership 
positions; 

• Encouragement by managers and supervisors for employees to explore 
non-traditional training and development opportunities; 

• Expand the Department's recruitment and retention efforts; 

• Provide employees, managers, and supervisors with an employee 
development toolkit; and 

• Encourage employee career development toward core competencies 
through the use of Individual Development Plans. 

In addition, the Department has an established Upward Mobility Program designed 
to assist employees in entry level occupations to achieve their highest career 
potential. This program assists us in our efforts to maintain a well-qualified, diverse 
workforce by increasing the number of individuals available to hire into entry, 
technical, professional, and administrative positions. 

At OSPR, specifically over the past few years, we have weathered the loss of key 
long-term employees. As an organization built upon leadership and ownership, we 
pride ourselves on a program that allows and encourages continuous development 
to prepare our employees to assume leadership roles during normal operations as 
well as during spill emergencies. I have found this approach prepares staff to fill 
supervisory and management roles within OSPR as positions become vacant. 



82 



The Honorable Darrell Steinberg 
June 09, 2009 
Page 4 of 8 

Cosco Busan Oil Spill and Response 

On November 6, 2007, the merchant vessel Cosco Busan sideswiped a tower of the 
San Francisco Bay Bridge and spilled over 53,000 gallons of bunker fuel into the 
bay. A Coast Guard report on the incident outlined the bad luck and human error 
that caused confusion and misinformation. The spill blackened 69 miles of shoreline 
and killed more than 1,600 birds from Oakland to San Francisco, and along beaches 
from Marin to San Mateo counties. 

An official from your office who specialized in measuring the size of oil spills was 
within one mile of the spill, but could not get to the damaged ship for two hours and 
twenty minutes because there was no boat to take him. 

The Coast Guard report also recommended that: 

■ OSPR determine what technologies or operational methods are available and 
should be incorporated into contingency plans, using best available technology 
and best available protection; 

■ the California Wildlife Response Plan be revised and OSPR should consider 
developing an inventory of equipment that is pre-deployed and available for 
dedicated use in wildlife response; 

■ information flow to the media and public regarding an oil spill and the response 
be improved; 

■ the use of "scripted responses" to certain scenarios be explored; 

■ reconnaissance teams should include trained OSPR personnel with local 
knowledge. 

5. Would you please discuss the actions your office has taken in response to the 
Cosco Busan oil spill and the Coast Guard's Incident Specific Preparedness 
Review? What recommendations made by the Coast Guard's report have your 
office adopted? 

The MA/ Cosco Busan spill response by OSPR, federal, state, local government and 
private contractors was immediate and aggressive. Within 90 minutes of the 
incident, the oil spill response organizations on-scene recovery capability of 1.5 
million gallons. The total on-water recovery capability on scene within six hours was 
more than 2.4 million gallons. 

OSPR's oil recovery and cleanup operations in and around the San Francisco Bay 
continued for months following the accident. Recovery rates of oil well exceeded 
industry norms. Forty three percent (43%) of the oil spilled into the bay was 
recovered. By comparison, on July 23, 2008, a collision between a barge and tanker 
resulted in 250,000 gallons of fuel oil discharged into the Mississippi River near 
downtown New Orleans. This spill resulted in the closure of river traffic and 
disruption of commerce for weeks. Less than 12 percent of the fuel oil was 
recovered. 



83 



The Honorable Darrell Steinberg 
June 09, 2009 
Page 5 of 8 

In response to the spill, Governor Schwarzenegger took immediate action, launching 
a full state investigation into the causes of and response to the spill. That 
investigation led to adoption of new guidance in the San Francisco Harbor Safety 
Plan for mariners operating in reduced visibility in the San Francisco Bay. It also led 
to increased local assistance funding by OSPR for local government response 
training and equipment. OSPR funded $650,000 in grants for local government. 
Additionally, OSPR funded improvements in the Physical Oceanographic Real Time 
System (PORTS), a real time system that measures water levels, tide, current, 
salinity, and meteorological data for the channels, harbors and bays. These 
improvements support safe navigation, spill response, search and rescue operations 
in the San Francisco Bay. 

In addition, the Governor called upon lawmakers to examine possible policy changes 
to prevent oil spills from occurring in the future. The Administration worked closely 
with the Legislature to enact comprehensive legislation to improve California's inland 
and marine oil spill prevention and response activities. 

In the year and a half since the Cosco Busan oil spill, OSPR has proactively 
addressed issues identified through internal and external reviews, such as the Coast 
Guard's Incident Specific Preparedness Review (ISPR) and the National 
Transportation Safety Board investigations. 

Highlights of actions we have undertaken include: 

• Promulgated regulations to reduce response times from 6 to 4 hours in high- 
volume ports (San Francisco Bay and Los Angeles/Long Beach), effective 
July 1,2009; 

• Promulgated regulations to require containment boom deployment within 2 
hours near identified oil pollution risk areas in high-volume ports, effective 
July 1,2009; 

• Following participation in the Area Committees in California, reviewed and 
incorporated ISPR recommendations into Area Contingency Plans; 

• Created a decision matrix tool for prioritization of protection of 
environmentally sensitive sites, and incorporated this tool into revised Area 
Contingency Plans; 

• Increased involvement of local government by assisting in the development of 
local contingency plans, and providing spill response training and equipment 
grants. In addition, amended the San Francisco Area Contingency Plan to 
provide for local government representation in the Unified Command. 

• Expanded and improved wildlife recovery and transport protocols through the 
development and delivery of wildlife response training to volunteers, thereby 
increasing the pool of available wildlife responders. Increased Oiled Wildlife 
Care Network staffing to support expanded volunteer capabilities. In addition, 
we revised the California Wildlife Response Plan; 



84 



The Honorable Darrell Steinberg 
June 09, 2009 
Page 6 of 8 

• Began developing a spill specific website designed to address questions and 
the information needs of the public, including information on events, news 
updates, and volunteer and wildlife information. The site will be accessible by 
October 1 , 2009; 

• Initiated a review of the best achievable technology for spill prevention and 
response. Utilizing experts from OSPR, industry, government, and non- 
government organizations, OSPR will issue a comprehensive report by the 
end of 2009; 

• In response to passage of AB 2935 (Chapter 564, Statutes of 2008), the 
Department, in consultation with the Office of Environmental Health Hazard 
Assessment, developed a detailed protocol for closing fisheries during marine 
oil spills; 

• Doubled OSPR's participation in industry drills since the Cosco Busan 
incident; 

• Developed standard spill quantification protocols to provide consistency in 
calculating spill volumes during responses; and 

• Purchased and pre-positioned a new all-weather response vessel on the San 
Francisco Bay capable of transporting personnel - even during periods of low 
visibility. 



Oil Spill Prevention and Response Fund 

Several years ago, the Department of Finance reported that the balance in the Oil 
Spill Prevention and Response Fund was $40 million. When the former administrator 
appeared before the Senate Rules Committee, the balance was down to $15 million. 

6. What is your assessment of the sustainability of the Oil Spill Prevention and 
Response Fund? 

As OSPR Administrator I am responsible for two distinctly different funds: the Oil 
Spill Response Trust Fund (OSRTF) and the Oil Spill Prevention and Administration 
Fund (OSPAF). The OSRTF funds response activities during an oil spill while the 
OSPAF funds normal staff activities, including prevention and readiness absent a 
response. 

The OSRTF is adequate and stable with a statutorily mandated balance of $54 
million. Expenditures from the OSRTF have been adequately reimbursed from the 
responsible parties and the federal Oil Spill Liability Trust Fund. 

A review of OSPAF fund condition statements does not reflect a $40 million fund 
balance as stated in the question. From FY 05/06 to the current year, expenditures 
charged to the OSPAF have risen dramatically. For example, OSPAF funding for 
the State Lands Commission has increased by over $3 million dollars per year for 
the Marine Oil Terminal Engineering and Maintenance Standards Program and the 



85 



The Honorable Darrell Steinberg 
June 9, 2009 
Page 7 of 8 

Offshore Platform Safety Program. The OSPAF's support for local assistance 
activities has also increased by more than $1.2 million as a result of the PORTS 
system and other improvements supported by Governor Schwarzenegger in the 
aftermath of the Cosco Busan. Finally, as a result of the enactment of AB 2935, the 
OSPAF also now funds the Office of Environmental Health Hazard Assessment at 
$125,000 to support new fishery closure mandates. 

The projected FY 08/09 year-end balance is $11 million dollars. In FY 06/07 
revenues and expenditures were in alignment. With the identification of prudent and 
responsible spending adjustments the OSPAF is projected to have a positive 
balance at the end of FY 10/11. 

7. What revenue enhancements or spending reductions would you recommend, if 
any? 

Existing OSPAF revenues combined with specific spending reductions are sufficient 
to finance core activities funded by OSPAF. OSPR receives revenues from a per- 
barrel-fee on imported oil and a non-tank vessel fee. Increasing these fees at this 
time would have a negative impact on California's consumers, who would ultimately 
have to shoulder these increased costs. Rather, OSPR recognizes the need to 
reduce spending during this economic downturn without compromising its critical 
responsibilities to serve as both the state's major pollution response authority and 
public trustee authority for wildlife and habitat. 

As such, with a goal of ensuring and maintaining a prudent reserve in the OSPAF by 
the end of FY 10/11, OSPR is currently actively engaged in identifying and 
implementing prudent and responsible spending reductions while ensuring that we 
continue to meet the our core mission to provide the best achievable protection of 
California's natural resources. 

In conclusion, as reflected in my responses, I understand the serious challenges 
faced by OSPR and have undertaken ambitious initiatives to improve our 
organization. I do not take these issues lightly, but again am absolutely confident 
that OSPR will be successful in meeting our goals and being as prepared as 
possible for any challenges the future holds. 

Also, enclosed you will find my updated Form 700, Statement of Economic Interest. 

Sincerely, 



Stephen L. Edinger 



86 



The Honorable Darrell Steinberg 
June 9, 2009 
Page 8 of 8 



cc: Hon. Sam Aanestad 
Hon. Gilbert Cedillo 
Hon. Robert Dutton 
Hon. Jenny Oropeza 

Enclosure 



87 



franceS bpiVy- cdei?e/ 



Responses from Frances Spivy-Weber to Senate Rules Committee Questions 
Regarding State Water Resources Control Board, 6/29/09 

Statement of Goals: 

1a. Since March 2007, my most significant accomplishment as a member of the 
board has been to help the Board and staff begin to take a leadership role in 
improving and protecting water quality by integrating water quality and local 
water supply policies and programs. My focus is on water recycling policy, water 
conservation, and urban stormwater and dry weather runoff use/reuse. These 
are now included in the State Water Board's strategic plan and Bay-Delta plan, 
both adopted in 2008; AB32 water/energy implementation measures, adopted by 
the Air Board December 2007, and directly in the Water Board's water recycling 
policy, adopted February 2009. 

I have demonstrated leadership in fostering successful interagency collaboration 
on water-related climate issues, particularly mitigation and to a lesser extent 
adaptation, and on water conservation actions to meet a statewide 20% 
reduction of water use by 2020 goal. The latter is still a work in progress. 

As the only Southern California member of the Water Board, I am regularly 
available to the many and varied stakeholders in the region, discussing up- 
coming policies, providing advice and guidance on how to work with the Water 
Board, and on special occasions providing funding for high priority water quality 
projects. I also keep three Regional Boards — Los Angeles, San Diego, and the 
Central Coast — up-to-date on State Board policies and activities. 

I am most proud of the Board's new emphasis on making sure low income urban 
and rural communities receive a fair chance to benefit from water quality funding, 
though all the Board members should get credit for developing and implementing 
the policy. 

1 b. Over the next 3 V2 years, I want to see measurable water quality 
improvements and water supply enhancements associated with the local water 
quality/water supply planning and policy efforts of the Board. To do this, there 
will have to be a marked improvement in water supply and water quality data 
collection; clearer criteria for determining the water quality value of water supply 
actions; and a will on the part of the Water Board to enforce its policy to control 
waste and unreasonable use of water. 

By the end of my tenure, I expect to have played an important role in developing 
a new Bay-Delta Water Quality Plan. My measure of success will be a plan with 
strong protections for the environment, greater operations transparency, more 
flexibility for wildlife and water managers to balance flows to meet competing 
beneficial uses and to adapt to climate-related changes in water supply and 
water quality, and a prominent place for water recycling, water conservation, and 

bm&tt Hsiles Committee 

1 JUN I ■ ?onq 



stormwater use as replacement supplies for urban and agricultural users as well 
as flows for fish and recreation. In 2010, the Board should adopt flow standards 
for the San Joaquin and salinity standards for the South Delta. 
By January 201 1 or before, water/energy climate measures will begin to be 
implemented, and by then the State should have in place a web-based, easy to 
use method for collecting statewide and regional water use data by source — 
imported, recycled, stormwater, ocean desalination, groundwater — and the 
related energy embedded in that water use. 

2. State recycled water goals are ambitious, but not impossible to achieve. Key 
elements to reaching these goals include the following: regional planning with 
stakeholders to determine where water recycling will work best; improved 
regional monitoring; implementation of guidance from the Board's Blue Ribbon 
Task Force on constituents of emerging concern; management of recycled water 
in conjunction with stormwater capture and use; and joint programs with the 
Department of Public Health to ensure strong public confidence in water quality 
as recycled water use increases. 

It took much longer than I expected to adopt the Board's recycled water policy. 
Recycled water purveyors did not see the need for strict controls from Regional 
Boards who had very little practical experience with recycled water and water 
quality advocates did not want to see Clean Water Act safeguards weakened to 
make it easer to use recycled water. When a group of stakeholders offered to try 
to bridge this divide, the Board decided that a delay was worth the multiple 
benefits that would come from a policy that had broad support, and while the 
Board later added important components, we used over 90% of what the 
stakeholders delivered. The key to the success of this approach was strong 
stakeholder desire to have a statewide policy, the positive experience with 
recycled water of one environmental stakeholder, and recognition by purveyors 
that greater trust had to be built with environmental advocates. 

3. As the co-Chair of the Water Energy Team of the Climate Action Team (WET 
CAT), the Board has secured support from multiple state agencies and 
stakeholders for the six climate measures in the AB32 scoping document. The 
Board is the lead on two measures that are also important in adaptation to 
climate change: recycled water and urban water reuse. In addition, Board staff 
co-chair the water conservation initiative to reduce potable water use 20% by 
2020, which is also a mitigation and adaptation climate measure. 

As part of its strategic plan, the State Board is developing a guide for Regional 
Boards on ways to incorporate climate change considerations into its water 
quality and water rights work. The State and Regional Board roundtables that 
meet several times each year are identifying specific recommendations for 
permitting and monitoring requirements that will need to change. At the same 
time, Board staff serves on the State Water Plan steering committee, where 
climate change is beginning to be incorporated into statewide long term planning. 



89 



The Water Board is one of five agencies supporting the development of a 
National Academy of Science study on sea level rise, as part of the State's 
adaptation response to climate change. We have committed to Resources, the 
lead on the State's adaptation planning, to develop the water quality and water 
rights elements, using our work with the Regional Boards. 

While I have heard criticisms of the Board getting diverted by climate change 
from its real mission of improving water quality, my response is that climate 
change is not only the central in the near and longer term to achieving water 
quality and appropriately allocating water rights, but the uncertainty of climate 
change threats also offers opportunities to re-shape these regulatory programs to 
do a better job. 

4. The Board's Recycled Water Policy lay the foundation for the Southern 
California Coastal Water Research project (SCCWRP) recent selection of a Blue 
Ribbon Expert Advisory Panel of six scientists with six specialties in constituents 
of emerging concern (CECs). The panel will hold its first meeting in September 
and will produce a report by the middle of next year, answering key 
environmental and human health questions about what to monitor, levels of 
treatment needed, indicators for suites of chemicals of concern, and triggers for 
monitoring and more aggressive protection responses. 

Several Regional Boards and local/regional academic groups have done studies 
on CECs and have begun to develop policy recommendations for managing 
CECs. The State Board's Blue Ribbon Panel is expected to help the Boards and 
the Department of Public Health establish a statewide CEC policy to focus future 
monitoring, research, and regulatory actions that are consistent and protective of 
the public. 

5. I had high hooes for the array of agencies and stakeholders responsible for 
various aspects of ocean and coastal species and water quality protection 
developing and implementing joint programs through the Ocean Protection 
Council. While this has occurred, there are barriers. The State and coastal 
Regional Boards have a lot to offer. They invest significant resources in beach 
protection, ocean/coastal water quality monitoring, and the State enforces Ocean 
Plan rules governing Areas of Special Biological Significance (ASBS). 

The Council's governance structure, while envisioned to have a strong steering 
committee of ocean, coastal agencies, never developed that committee, and 
instead relied primarily on quarterly meetings and stakeholder non-binding 
resolutions to guide cooperative actions. This resulted in making the Boards 
simply another stakeholder among many, with no real mechanism or incentive for 
extra collaboration. In addition, much of the Council's actions are in re-granting 
bond funds to projects and studies, and, while helpful to some Board priorities, 
does not seem to be a unique value added. I have not given up, and we are 



90 



active participants in OPC meetings and contribute to the agenda, but the hill is 
steeper than I thought it would be. 

We are very active in the Ocean Science Trust, which provides science support 
to the OPC and with other science research organizations. We also work closely 
with the Department of Public Health on beach water quality monitoring. This 
year we also provided additional funding for DPH to do this job. 

Once Through Cooling is an extremely controversial issue, and Jon Bishop and 
his ocean staff have used this controversy to engage a working group of state 
energy agencies to advise us on how to protect the State's energy grid, while the 
Board addresses the need to reduce ocean wildlife impacts from coastal power 
plants. By most reports, the on-going collaboration is successful, and the 
Board's once-through-cooling policy will be out for public comment very soon. 

The State Water Board has also been represented on the Marine Life Protection 
Act (MLPA) Master Plan Science Advisory Team and is currently assisting the 
MLPA effort in the South Coast Study Region. 

6. Ideally, the State Water Board would have policies to guide all regional 
permitting, but that is not the case. Since my letter to Rules in August 2007, the 
State Board has adopted the Water Recycling Policy, a Compliance Schedule 
Policy for National Pollution Discharge Elimination System (NPDES) permits, and 
an Enforcement Policy governing Supplemental Environmental Projects. This 
year we expect to adopt a Once-Through-Cooling policy, a General Permit for 
Landscape Irrigation Uses of Municipal Recycled Water, the balance of the 
Enforcement Policy, and the General Stormwater Permit for Construction and 
Long Linear projects. The trend is good; the list of policies to be tackled is long. 

The State Board has just entered into an agreement with USEPA to develop 
options for a statewide trash Total Maximum Daily Loads (TMDL), based on the 
Los Angeles Water Board's trash TMDL. If this is successful, we will move to 
other permit templates that can be used statewide, such as one for hydro 
modification in Phase II Small Municipal Storm Sewer System (MS4) permits. 
Again, the trend is good, but it will take commitment over a number of years. 

There has been some progress in developing stronger relationships with the 
regional boards, but at the end of the day, there are nine Regional Board staffs 
that answer to their own, independent local Boards, and the carrots and sticks for 
promoting statewide consistency are limited. There is great diversity among the 
Boards, too. A few are quite large and extremely busy; others are less so. This 
makes fairness issues, such as budget cuts, among the Boards challenging. 

Currently I attend three regional board meetings monthly — Los Angeles, San 
Diego, and the Central Coast. With Chair Charlie Hoppin and Executive Director, 
Dorothy Rice, I meet monthly by phone with all of the Regional Board chairs to 



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discuss broad issues of common concern, such as budgets; and I have been 
active in planning and participating in biannual meetings of Regional and State 
Board staff. At the same time, Dorothy and Jonathan Bishop meet with each of 
the Board Executive officers by phone monthly and are going biannually to each 
of the Regional offices for meetings with more staff on high priority issues, such 
as performance-based measurements. These are important activities, but the 
Water Board structure was not designed to make it easy to have a tightly 
coordinated body of Boards. 

7. The public is most interested in knowing if their water is safe to drink; to swim 
in; can the fish caught in a lake be eaten. As we pursue measurement of 
performance-based objectives, we are also asking those who report on data to 
provide it in a way that makes sense to people. Just recently, we released an 
early assessment of all the lakes in the State, which analyzed mercury and PCBs 
in the fish. This information is now in a searchable data base that will let the 
public know the safety of the fish as a source of food. Can it be eaten once a 
day, once a week, once a month? We also have a new online map of ASBS and 
their status. There will be more roll-outs of similar data bases over the next year, 
and this will not only help us focus on those water bodies and groundwater 
basins where important actions need to be taken, but will also help enlist a more 
informed public to join in projects and programs to improve the water quality of 
their community. 

A major success story since I was last before you was the discovery through 
tracking of measurable objectives that Mandatory Minimum Penalties (MMPs) 
were not being issued in a timely way by many of the Regional Boards. The 
State Board then approached each Region with three choices: issue the 
penalties, let the State Board issue the penalties, or share responsibilities for 
issuing penalties. All of the Boards responded, and as of March, fewer than 7% 
of the outstanding violations subject to MMPs remain to be addressed. Now we 
are focusing on Waste Discharge Requirement inspections and enforcement. 

This year there are two new initiatives: the release of the Water Boards' First 
Annual Performance Report and a statewide information/database on water 
quality and ecosystem monitoring and assessment. The Report will be on our 
website in September, but its greatest contribution at this point is to make clear 
where we are unable to tract and measure the effectiveness of our regulatory 
and technical/financial assistance program. The water quality database will also 
be ready shortly and currently has a preview portal: 

http://www.waterboards.ca.gov/water issues/programs/monitorinq council/docs/ 
swim portal mockup.pdf . 

8. One high profile element of the State Board's enforcement policy, the use of 
Supplemental Environmental Projects (SEPs) was adopted in February, 2008. 
The remainder of the policy, which features a new, detailed penalty calculation 
methodology, needed more testing by the various regions and stakeholders than 



92 



we anticipated. As you can imagine, when every region has a different yardstick, 
developing a uniform approach creates major concerns. We have had several 
workshops and the resulting changes in the approach were worth the delay. 
Now the policy will be brought to the Board by October, and given the amount of 
public discussion and response to concerns, I expect it will be acted on promptly. 

Having Jonathan Bishop, former Executive Officer of the Los Angeles Regional 
Board, on staff has led to many of the items discussed above, including state 
policy development, collaboration with the energy agencies on once-through- 
cooling, meetings with regional boards on mandatory minimum penalties and 
now on waste discharge requirements, the current effort to develop a trash TMDL 
template for all regions, and statewide performance measures for the State and 
Regional Water Boards. Jonathan has been an important catalyst for two trends: 
strengthening the State's policy leadership and recognizing and drawing on the 
expertise that has developed on various issues at the Regional level. What both 
Jonathan and I have learned in the last two years is that there is much more 
public process at the State Board, as compared with the Regions, and few 
changes can be made done quickly. 

10. In July 2008, the State Board adopted a Bay Delta strategic work plan, which 
includes actions that will be taken by the Central Valley and the San Francisco 
Regional Boards. The purpose of this plan, in addition to guiding our staff, is to 
alert the legislature and stakeholders to what we are mandated by law to do, 
what additional actions we will take, and our timeline. We are currently on track 
with that plan. 

There are multiple venues of agencies and stakeholders working on ways to 
improve the environmental conditions in the Delta and to make water deliveries 
to agricultural and urban users more reliable. The Water Board was asked to 
appear before the Bay-Delta Blue Ribbon Task Force twice; and we were very 
active in the Secretaries' follow-up, which created a set of recommendations 
based on the Task Force report that was given to the legislature and the 
governor at the end of 2008. State Board staff attends the meetings of the Bay 
Delta Conservation Plan (BDCP), and we are expecting the BDCP, as part of its 
NEPA/CEQA review, to provide some of the information we need to revise the 
Bay-Delta Plan. The Department of Water Resources will also be providing 
additional information and help with data runs. 

The Water Board is currently reviewing flow standards for the San Joaquin River 
and southern Delta salinity standards for the protection of agriculture. These two 
reviews rely on Federal and state agency information and expertise, as well as 
that from water districts and non-governmental organizations. Neither of these 
issues were at the forefront of the Bay Delta Blue Ribbon Task Force, nor are 
they the focus of the BDCP, yet flow in the San Joaquin and salinity standards for 
agriculture in the South Delta will be an extremely important building block for 
future Bay Delta standards. 



93 



In July the State Water Board will consider adoption of a periodic review of the 
Bay-Delta Plan, which will include Delta Outflow objectives, Export/Inflow 
objectives, Delta Cross Channel Gate Closure objectives, Suisun Marsh 
objectives, Floodplain Habitat Flow objectives, and changes to the Monitoring 
and Special Studies Program. Assuming the period review is adopted, staff will 
then begin to gather the information necessary from all parties to launch the 
public outreach on the Bay-Delta Plan in the first half of 2010. 

In another related effort, documented in the our Bay Delta Strategic Plan, we are 
working this year with other Federal and State agencies and stakeholders to 
gather water use data in a more comprehensive, integrated way. The Recycled 
Water Policy and the 20x2020 initiative, as well as policies and pilot programs to 
increase the capture and use of stormwater and dry weather runoff, will be a part 
of the data base and will give state and regional planners a clearer picture of how 
water is used and what are the options to meet the needs of vulnerable wildlife, 
larger urban populations, and a sustainable agricultural economy, while building 
the buffers that will be necessary as climate change affects current precipitation 
patterns. 

In the long term, the Delta should be managed for change. There must be 
beneficial use standards set and upheld, and the Water Board is charged with 
setting and enforcing those standards I think the new standards, however, will 
look quite different from those in place today. The goals must be clear, but it is 
inevitable there will be important day-to-day water management decisions that 
cannot be envisioned by the Water Board in a rule book. I also hope water 
efficiency and alternative sources of water, such as recycled water and 
flood/stormwater, will be a central part of the supply picture; and a great deal 
more monitoring will be needed to guide management decision-making and 
water allocations. The Water Board's enforcement role must be made more 
credible with more water rights enforcement staff, but also with a more 
streamlined approach to allocating and managing water rights. 

1 1 . The Bay Delta Water Quality Control Plan, which is under the State Board's 
jurisdiction, focuses on flow and salinity. Other water quality issues are 
addressed through Region 5 and Region 2's basin plans and related permitting 
activities, and the State Board is often the appellate judges for stakeholders who 
do not agree with Regional Board actions. The Board is also a source of funding 
for regional projects of statewide significance. Recently the State Board has 
acted on several appeals of NPDES permits issued by the Central Valley 
Regional Board. Typically, some elements of these permits are remanded back 
to the Regional Board and some elements are accepted by the Board. The 
outcome, however, of improved regional water quality remains elusive in this 
approach. I think the State and Regional Water Boards must focus on negative 
and positive incentives for stakeholders to work together to update basin plans 
and work together to identify and pursue local, regional, and inter-regional 



94 



solutions. This has begun to happen in the Santa Ana Region of Southern 
California, which while blessed with richer stakeholders, has nevertheless put 
their assets to work in an approach that should work in other regions. 

12. Blue-green algae blooms occur naturally in the Delta, but they are worse 
under conditions of low flows, warm temperatures, and high nutrient conditions 
with ammonia. While more research will help pinpoint the extent of the threat to 
Delta species, actions in the Delta that improve circulation, increase stream flows, 
and control nutrients should be considered for a variety of reasons. The State 
Board staff are working with USEPA on a developing a TMDL to control nutrient 
concentrations under various water body conditions. 

The Bay Delta Water Quality Plan will address flows, and while blue-green algae 
blooms information will not be a central issue in our consideration of flows, it will 
be among the various considerations we will have before as we set standards. 

1 3. Rights to use water and the amount of water that can be safely allocated to 
the environment, agriculture and urban communities are at the heart of most 
water use conflicts. I became Executive Director of the Mono Lake Committee 
after the Water Board ruled that because offish and air quality concerns, the Los 
Angeles Department of Water and Power (LADWP) would have to forego taking 
some of its water from streams that fed the Lake. LADWP did not lose its water 
rights, but its use of those rights was constrained to meet environmental needs. 
With this experience, I think decision-makers would have a much more 
constructive discussion of water rights if they shift their focus from water rights 
permits to three areas: licenses to use water, water measurement and reporting, 
and strengthening the Water Board's ability to use its existing authority. 

A water rights license, unlike a permit, is closer to the real deal. The license 
amount of water is set by an on-the-ground inspection of how much water a 
project will actually use and it is this amount that will be enforced by the Board. 
The Water Rights staff estimate that 95% of the time, a license is issued for less 
water than the permit allowed, with the 5% exceptions being small reservoirs. 

But licenses don't reflect reality either. They are written to include the maximum 
amount of water the water user has diverted in the single highest year of 
diversion during the permitted project development period. In addition, they do 
not account for water molecules that are used multiple times along a water 
course or for changes in regulations. Therefore, if you are looking for real water 
use, you must look at the water use reports filed by water diverters. The Water 
Rights division of the State Board is enhancing its electronic water rights 
database, eWRIMS, to allow for online water diversion and use reporting, and 
expects to complete the task during the FY2009-2010 fiscal year. While the 
quality of current information from diverters is currently poor, this is an area 
where monitoring and training could pay off. Also, the staff are putting 
programmed controls into the new system to reduce errors. 



8 

95 



Delta diverters are not required to report their diversions and use, so the Water 
Rights staff is currently conducting an investigation of water use by Delta 
diverters and will bring recommendations to the Board this fall on next steps. 

Finally, the State Water Board has continuing authority over water rights permits 
and licenses. It can revoke a water right permit or license when water has not or 
is no longer being used, and it can make changes to existing water rights. The 
Board can also impose additional restrictions on water rights, as in the case of 
Mono Lake. To do these tasks, for which we have existing authority, we need 
people, and without this human investment, the State of California will continue to 
get a water rights system that is weak, and will be even weaker as climate 
change begins to affects water systems. 

Some Delta stakeholders and decision-makers are talking about creating more 
water rights judges. We may need more at some time in the future, but what we 
really need are attorneys, engineers, and scientists who can prepare the cases 
for the five judges we have right now. 

14. Business as usual will not eliminate the 464 (May 2009) pending water rights 
applications. The only conditions under which we can refuse to accept 
applications is if the Board, through an adjudicatory process, or the courts make 
a "prior water right decision" finding there is no water available for appropriation, 
after which the Board will declare a stream "fully appropriated." This is a high bar. 

The Water Rights division has, since 2003, been imposing and enforcing 
deadlines on water rights applicants, and the result is a 35% reduction (719 in 
2003) in pending applications despite a staffing reduction of about 30% in the 
same period of time. Staff have also stopped preparing CEQA documents for 
applicants, and thus many of the pending proposals are the result of applicants 
taking time to hire and fund consultants to do-that work. 

To further reduce the backlog, the staff adopted National Marine Fisheries 
Service/Department of Fish and Game guidelines to identify those Northern 
California coastal streams that are unlikely to have significant impacts on 
fisheries and are considering a policy that would reduce permitting time 
associated with minor applications located above the point of anadromy in these 
areas. There are also some water rights processes that are now being done 
simultaneously rather than in sequence. 

I have high hopes, however, for the development of standard permit terms for 
various regions or water bodies, which would allow the Board to issue a draft 
permit at the same time they issue a notice of the application. Under this 
approach, most applicants will know ahead of time the conditions they will be 
expected to meet, will have no reason to protest just to maintain standing while 
the project is being developed, and it will allow the State Board to comply more 



96 



easily with CEQA, a significant time and effort investment of staff. I can also 
envision standard terms for other issues, such as climate change and local 
supply development, such as recycled water and low impact development. 

15. The Board decisions on allocating stimulus monies was well thought through 
and was not designed to slight urban areas, but it was designed to help level the 
playing field for disadvantaged areas that often miss out on grant opportunities. 
The grants, which are in amounts of $5 and $10 million, have been allocated now 
in three categories, all of which can benefit urban areas: sewage treatment ($70 
million), urban stormwater projects ($42 million), and restarting bond-funded 
projects (up to $70 million). The first two categories focus on low income, not 
small communities, and over 400 communities, including the City of LA and the 
City Long Beach, fall into that category. Many of the stopped bond projects are 
also in urban areas. The Board reduced the interest rate on the loan program to 
0% for $60 million of green projects (innovative and efficient) and 1% for the 
remainder of the funds, and we have received over $1.5 billion in applications 
from urban agencies for these monies. 

I think much of the outcry came from those who either had not worked recently or 
ever with the State Board on funding and who leapt to conclusions that would 
have proved unfounded if they had talked with us first. There was also the 
human factor of agencies and cities wanting all the $280 million going to grants. 
My reason for not wanting to go that way was to encourage larger projects, and 
sure enough, some areas have applied for grant monies to cover disadvantaged 
communities and loans to cover a larger project. And, if the disadvantaged 
communities do not have their applications approved by September, the monies 
will be open to any community ready to go. 

16. Management staff at the Water Board are mostly over 50, and over the next 
five years, retirements will accelerate from 4% this year to higher. We are lucky, 
however, to have succession plans. We have a "Test the Waters" web-based 
recruitment system. We have trained employees to actively recruit scientists and 
engineers from California Universities. And most importantly, we have a Training 
Academy that is developing future managers and executive leadership. Another 
issue that may affect recruitment is dealt with in the next question — disparity 
between supervising scientists and engineers. 

17. At this time, the Water Board does not appear to have employee retention 
issues related to pay, but we are certainly aware of the gap in pay between 
engineers and scientists and between supervising engineers and rank and file 
engineers. Increasing salaries for scientists, however, is part of the collective 
bargaining contract negotiations, and given the State's financial challenges, this 
issue is likely to be in limbo for a while. Legislative approval and funds will also 
be necessary to close the supervising engineer gap. 



10 

97 




Linda S. Adams 

Secretary for 
Environmental Protection 



State Water Resources Control Board 

Charles R. Hoppin, Board Chair 

1001 I Street • Sacramento, California 95814 • (916) 341-5603 

Mailing Address: P.O. Box 100 • Sacramento, California • 95812-0100 

Fax (916) 341-5621 • http://www.waterboards.ca.gov 




Arnold Schwarzenegger 

Governor 



June 19, 2009 



Ms. Nettie Sabelhaus 
Appointments Director 
Senate Rules Committee 
State Capitol, Room 420 
Sacramento, California 95814 

Dear Ms. Sabelhaus: 



(Responses n 



&m%ii: Riiies Camming? 



JUN I 2 7009 
AppaaHtoagets 



I appreciate the opportunity to appear before the Senate Rules Committee for a 
confirmation hearing on my reappointment as a State Water Resources Control Board 
(State Water Board) Member. Following are responses to the questions asked in 
Senator Darrell Steinberg's letter of June 8, 2009. 

Statement of Goals 

1. Since March 2005 when you were first appointed, what have been your most 
significant accomplishments as a member of the board? What do you hope to 
accomplish during your current tenure as a member of the board? How will you 
measure your success? 

I have focused on three initial actions to change the State and Regional Water 
Boards into a performance-based organization — set clear priorities, develop 
measurable targets, and ensure accountability. For such seemingly basic and 
logical steps, progress has been excruciatingly slow but has steadily gained 
momentum in the last two years. Some accomplishments are: 

• Strategic Plan Update with priorities, goals, and actions regarding surface 
and ground water quality, sustainable water supplies, water quality planning, 
and improved transparency, consistency and workforce capacity; 

• Bay-Delta Strategic Work Plan outlining, among other actions, a 
comprehensive regional monitoring program, increased compliance and 
enforcement of water rights, and activities to improve water conservation; 

• Performance measures and an Annual Performance Report to chart our 
effectiveness, evaluate strategies and make adjustments in our permitting, 
enforcement, planning, and policy development activities; 



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Ms. Nettie Sabelhaus - 2 - June 19, 2009 



• Enforcement initiatives to establish a baseline of enforcement resources 
and outputs, develop a core set of enforcement performance measures for 
tracking, and address the backlog of violations requiring mandatory 
minimum penalties; 

• Data management improvements that include development or upgrade of 
key systems, including the California Integrated Water Quality System and 
the newly released online Sewage Spills Incident Maps; 

• Internal coordination among Water Board Chairs for organizational 
improvement, including development of the "Water Quality Improvement 
Initiative" legislative proposal and water education workshops; and 

• Management restructuring that has resulted in a new executive team and 
senior managers focused on enforcement, public participation, information 
management and analysis, and research, planning and performance. 

Cultural change and organizational improvement efforts are not flashy or popular, 
and, for an organization as established and insular as the Water Boards, extremely 
difficult. However, I still believe the Water Boards becoming a performance-based 
organization is critical, especially in light of the State's economic crisis and the 
opportunity presented by a changing workforce. Therefore, during my current 
tenure, I will continue to push for performance management and accountability, 
building on previous accomplishments and focusing on the following actions: 

• Identify and improve regulatory processes that have, over time, been 
institutionalized as standard practices without periodic review and update in 
response to changing environmental, economic, societal or scientific 
conditions (the Underground Storage Tank cleanup program is one 
example); 

• Identify and eliminate operational costs that result from duplicative, 
outdated or otherwise costly practices involving travel, procurement, 
contracting and other internal functions; and 

• Audit resources and re-align with priorities, performance measures 
and targets to ensure a more strategic approach in allocating resources 
among the State and Regional Water Boards. 

Success in cultural change and organization improvement is difficult to measure 
because baselines are often undefined and outcomes, long-termed. If the last four 
years is any indication, a personal measure of success will be persistence as there 
is much reluctance and opposition (active and passive, internal and external) to 
changing long-established practices and an ingrained organizational culture. Other, 
more quantifiable, measures might be: time saved or other outcomes as a result of 
improved regulatory processes; reduction in operational costs; and completion of 
resources audit and identification of re-alignment options. 



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Ms. Nettie Sabelhaus - 3 - June 19, 2009 



2. What progress have you achieved in implementing a robust water monitoring and 
research program within the state water board? 

With limited resources in this area, my strategy has been to identify and prioritize 
specific needs to support core water regulatory functions, leverage our limited 
resources with federal funds and by working with other research institutions, and 
ensure access to and exchange of monitoring and research data. To this end, the 
Water Boards have begun developing a research agenda to guide and coordinate 
our activities. Other accomplishments include: 

• Surface Water Ambient Monitoring Program (SWAMP) established six 
statewide assessments (performance measures) to determine water quality 
status and trends over the last five years; 

• Annual State of the State "Report Cards" to track wetland extent and 
condition, sport fish contamination, coastal beach postings and closures, 
and the ecological health of streams, estuaries, bays and coastal waters; 

• Financial support distributed to projects that are developing new science 
related to water quality compliance, wetland health, and climate impacts; 

• Indicators developed and implemented to detect the presence of endocrine 
disrupting chemicals, quantify pesticides toxicity in streams and sediments, 
and assess overall ecological health; 

• Geotracker groundwater quality data system enhanced using Google 
Maps interface and other graphing tools and literature links; and 

• Statewide groundwater quality testing being conducted to assess 
baseline groundwater quality and changes. 

3. How successful have you been in enhancing the scientific and research resources 
of the board? 

Not as much as I would have liked. Given our resource constraints, developing and 
leveraging partnerships is the only feasible way to enhance our scientific and 
research capabilities. We have partnerships with the Southern California Coastal 
Water Research Program (SCCWRP), the San Francisco Estuary Institute (SFEI), 
and Aquatic Science Center in ongoing scientific research addressing surface 
water concerns. The State and Central Valley Regional Water Boards are also 
active in the Central Valley Salinity Coalition (CV-SALTS) formed last year. 

On a related note, in 2005, I initiated a review of the role of science and 
engineering in decision-making at the State and Regional Boards. The consultant's 
report contains 30 recommendations for improvement. I did not have the 
opportunity then to follow-up on this initial step, but will this year engage key 
stakeholders in evaluating the proposals, especially those pertaining to resource 
enhancement, for implementation feasibility. 



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Ms. Nettie Sabelhaus - 4 - June 19, 2009 



4. Please describe improvements in performance-based measurements. How can we 
tell if there is more compliance and improved water quality within the state? 

The Water Boards have struggled to develop performance-based measures since I 
committed us to the effort in 2006. Finally, in 2008, we approved our first set of 
performance measures, which consists of nine specific measures for enforcement, 
and began tracking them. Since then, State and Regional Water Board staffs have 
developed a series of preliminary performance measures for all program areas and 
will present them at the State Water Board's September 1 , 2009 meeting. Next, we 
will establish annual targets for the measures and track our performance. 

Our performance measures are a good start — the struggle to get this far has been 
too difficult for me to not celebrate just having performance measures in place. 
However, our initial focus will be primarily on output measures for tracking work 
products instead of outcome measures for tracking improved water quality and 
ecosystem health. We have begun work to modify and/or develop systems to more 
effectively track the latter. 

We also must institutionalize performance measures so that they become an 
integral part of every program, every staff person's duty statement, and our entire 
organizational culture. A starting point is to consider how we might link 
performance measures and targets to the allocation of resources among programs, 
and among the State and Regional Water Boards. 

In the meantime, our limited use of output-focused performance measures has led 
to key program improvements. For example, tracking of enforcement measures 
identified a significant lapse in our enforcement response for violations subject to 
mandatory minimum penalties, and our focused effort to address this has resulted 
in a reduction of the backlog to less than 7%. Our use of performance measures 
has also identified that the Waste Discharge Requirement program is showing 
significant declines in inspection and enforcement, which we are now reviewing to 
determine causes and make corrections. 

A key to successful performance measurement is making information accessible. 
Water Board staff is working on an Annual Performance Report to present the 
results of performance tracking. The first report will be presented to the State 
Water Board at our September 1, 2009 meeting. Additionally, as lead for the 
implementation of Senate Bill 1070 (Kehoe, 2006), the Water Boards have been 
working with stakeholders on a web portal through which water quality data will be 
integrated. The portal will be accessible this summer More on performance 
measures is included in the response to Question 7. 



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Ms. Nettie Sabelhaus - 5 - June 19, 2009 



State and Regional Boards 

5. In your letter to the Rules Committee in January 2006, you said that the board's 
role is to set statewide policies and provide guidance to the regional water boards. 
What actions has the board taken since your appointment in 2006 to ensure this 
consistency in statewide policies? How has the state water board reviewed and 
adjusted regional board actions that were not consistent with statewide policies? 

The Board has directed staff to develop for our consideration statewide policies on 
several significant matters. Of these, three have been completed and adopted 
since 2006 — recycled water, supplemental environmental projects, and compliance 
schedules for surface water discharge permits. Two will be considered by the 
Board by the end of this year — water quality enforcement and regulation of once- 
through cooling water discharge from power plants. 

Another type of action to ensure consistency is the development of statewide 
permits and regulations. The Board has adopted a statewide permit for sanitary 
sewer systems to reduce the number of overflows and sewage spilled. To be 
considered by the Board this year are two major statewide permits — one for 
discharges of storm water from construction activities and the other for landscape 
irrigation uses of municipal recycled water. 

Other efforts to ensure consistency include: standardized templates for wastewater 
permits; guidance to assessing the effectiveness of municipal storm water 
programs; options for a statewide trash Total Maximum Daily Loads; and 
educational workshops for staff and Board members. 

The State Water Board also utilizes the petition process to address issues of 
inconsistency. Between July 2005 and September 2008, the State Water Board 
has issued 8 orders amending Regional Water Board actions, either as a result of a 
petition or on our own motion. For example, we have remanded a Regional Water 
Board order for not complying with statewide secondary treatment standards, and 
another for inconsistency with the State Water Board's Bay-Delta Plan. During this 
same time period, the Board's Executive Director dismissed 74 petitions as having 
issues that were not substantial or appropriate for review. 

I am concerned about certain aspects of the petition review process and am 
exploring some changes to make it more effective. Too often, the petitions that do 
come to the Board are limited to narrowly-defined legal or technical issues to which 
we are constrained and must consider within the process limitations of a Board 
meeting. I appreciate that this focused approach to petition review is a matter of 
efficiency, but would like to see more transparency and engagement of the parties 
in fully discussing and resolving the issues of contention. 



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6. In your letter, you also mentioned you were open to exploring alternatives to the 
size and composition of regional water boards. The categories for regional water 
board membership were created in 1969. Given that 40 years have passed, and 
the issues confronting regional water boards have dealt more exclusively with 
water quality and have become more technical, do yoii believe membership criteria 
should be changed? If so, how? Given the problem that has occurred with 
maintaining a quorum at a number of water board meetings, should the number of 
members be changed? 

The Water Boards have developed a "Water Quality Improvement Initiative" (WQII) 
legislative proposal, released in 2008 in response to then-Senator Don Perata's 
Senate Bill 1 176, that includes, among other changes, reducing the number of 
members for each Regional Water Board from 9 to 7 by combining the industrial 
water use and the water supply, conservation and production positions, and by 
combining the municipal and county government positions. I support this change. 

Our WQII does not propose changing membership criteria for the Regional Water 
Boards. In my interactions with the Regional Water Board members, I have 
observed that the most effective ones commit time to understand the issues, keep 
an open mind and balanced approach to decision making, and continually strive for 
water quality protection and improvement — regardless of their academic 
background and professional credentials. I do not know how such intrinsic factors 
could be captured in specific statutory language on membership criteria. 

7. What accomplishments can be attributed to the Office of Research, Planning, and 
Performance? Does the board have adequate resources in this area? 

The Office of Research, Planning and Performance (ORPP) has limited resources 
in these difficult budget times. However, I am very proud of ORPP staff, their 
accomplishments in the two years since its formation, and their impact on the 
Water Boards, as a whole, in three areas — performance measures, water 
education, and cross-agency coordination. 

In addition to leading a successful and inclusive strategic planning process that 
resulted in measurable goals and objectives, ORPP has driven the implementation 
of performance measurement systems as the means to measuring Water Board 
program effectiveness. Initial training on performance-based approaches, provided 
by ORPP staff to managers at the State Water Board, has led to the recent 
development of performance measures for the core regulatory, water rights and 
financial assistance programs. These measures are now being routinely used in 
the many of the reports that ORPP is responsible for preparing, including 
enforcement reports and the upcoming First Annual Performance Report. 



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ORPP has established a series of comprehensive educational programs and 
workshops for Board members statewide. The workshops are designed to 
introduce newly appointed Board members to the programs and responsibilities of 
the Water Boards and provide all Board members opportunities to learn, in greater 
detail, about important, current and controversial issues. The information 
developed for these workshops is comprehensive and is available not only to Board 
members, but to stakeholders and the public through our internet site. 

ORPP has also assumed the responsibility for leading the Water Boards' cross- 
agency efforts. The most significant effort is the coordination of our climate change 
activities. Water is a key factor in energy usage throughout the state, which has 
significant, direct green house gas effects. A continued area of development for 
ORPP is the implementation of a robust research function at the Water Boards. 
While there is much research that is occurring, we have not been as successful as 
I would have liked at enhancing our resources to identify and carry out the direct 
research that I believe is essential to address today's water quality 
concerns. ORPP is currently implementing several of the activities identified in our 
strategic plan, adopted last year, to inventory all existing research and draft a 
proposed agenda for future research. 



Enforcement 

8. Now that the state water board has created an Office of Enforcement, what have 
been the results? Have quantifiable targets and performance measurements been 
developed? 

I wish I could report that the result is a definite and measurable improvement in 
water quality. However, as noted in response to Question 4, we are still focused 
primarily on output measures and targets for work products. The six enforcement 
measures that our data systems current track are: inspection monitoring; 
compliance rates; enforcement response; enforcement activities; penalties 
assessed and collected; and minimum mandatory penalty (MMP) violations 
addressed. Two outcome-related measures that we are working toward tracking 
are recidivism (facilities returning to non-compliance for the same violation 
addressed through enforcement action) and environmental benefit. 

With the creation of the Office of Enforcement (OE) and emphasis on performance 
tracking and reporting, we have demonstrated significant improvement in two 
areas. The first is fines assessed, which almost doubled from 2007 to 2008, and 
tripled compared to 2006 — $28 million in liability assessed in 2008, of which 
$10.6 million has been collected. The second is in MMP violations, where in 
9 months we addressed approximately 13,812 violations from 455 facilities, 



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resulting to date in actual liabilities assessed of $15.6 million with an additional 
$26 million in process. Other OE accomplishments include the creation of 
specialized prosecution staff counsel and initiation of various pilot enforcement 
projects. 

9. What is the consistency of enforcement among regional water boards? Do the 
same violations in different regions receive the same penalties? 

I do not have specific data, just anecdotal information, regarding consistency of 
enforcement among Regional Water Boards. However, the State Water Board is 
taking steps to improve consistency. 

The draft revised Water Quality Enforcement Policy, to be considered by the Board 
in October, contains new criteria by which each of the Water Boards will prioritize 
violations for enforcement response. There is also a new penalty calculation 
methodology specifically designed to ensure that similar violations receive similar 
penalty analysis regardless of which region the violation occurs in. 

The OE, with regional enforcement staff and the Office of Chief Counsel, have 
developed standardized templates for enforcement hearings that are available for 
use by the regional water boards. Use of these templates will enhance consistency 
between the regional boards in enforcement proceedings. 

10. What has caused the delay in adopting the state board's enforcement policy? 

The draft revised Water Quality Enforcement Policy, on which staff began work in 
June 2007, is significantly different from the last version adopted in 2002 — and, in 
my opinion, significantly improved. It has taken staff considerable time to refine the 
changes proposed in the Policy regarding small communities, enforcement 
priorities, State Water Board enforcement action, monetary assessments, MMPs, 
compliance projects, enhanced compliance actions, violation and enforcement 
data, and enforcement reporting and performance measures. While impatient at 
times with the progress, I am pleased with the quality of the draft Policy and will 
continue to push for further improvement. 

As briefly mentioned in response to Question 5, the State Water Board adopted in 
February a Supplemental Environmental Projects (SEP) policy separate from the 
overall Enforcement Policy. The SEP policy was created, in part, to respond to 
concerns by the Legislative Analyst's Office regarding the Water Boards' past use 
of this settlement device. As a result of this policy, the Water Boards are requiring 
greater accountability from dischargers who use SEPs and placing reasonable 
controls on the use of SEPs in settlement of monetary enforcement actions. 



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Sacramento-San Joaquin Delta 

11. In light of these developments, how is the state board working with other state 
agencies to manage the Delta? What role will your board play in the short term? 
What is your view of how the Delta should be managed for the long term? 

The cooperative approach over the last ten-plus years has not yielded positive 
results for the Delta. The State Water Board must take a more active and 
authoritative role in Delta management, revisit its obligations to protect competing 
beneficial uses in the Delta, and establish and implement water objectives that 
support public interest and public trust protections. This should include 
consideration of any new State Water Project and Central Valley Project export 
facilities in the Delta that will have a major effect on fishery and agricultural 
beneficial uses. This should also include an assessment of controls on diversions 
and discharges upstream of the Delta that have a large impact on the Delta. 

In the short term, the State Water Board is implementing the actions in its 2008 
Bay Delta Strategic Work Plan. Listed below are some of the actions that involve 
coordination with other state agencies. 



• 



With regard to contaminants and water quality, we are developing a 
comprehensive monitoring program for the Delta, focusing on ammonia, 
blue green algae, selenium and pesticides. We are working with the 
Department of Water Resources (DWR), U. S. Bureau of Reclamation 
(USBR), Office of Environmental Health Hazard Assessment, Department of 
Pesticide Regulation, fishery agencies, water districts, and point source 
dischargers such as the Sacramento Regional County Sanitation District. 

Wth regard to flow, the State Water Board is reviewing flow standards in 
the San Joaquin River to protect salmon as part of its update of the Water 
Quality Control Plan for the San Francisco Bay/Sacramento-San Joaquin 
Delta Estuary (Bay Delta Plan). Concurrent with this, we are also reviewing 
southern Delta salinity standards for the protection of agriculture. These 
reviews are being conducted in a public process, and will rely upon 
information provided by DWR, USBR, Department of Fish and Game (DFG), 
other fishery agencies, water districts, and non-governmental organizations. 

The Board will consider in July a periodic review of the Bay Delta Plan, 
including staff recommendations for further work on objectives for Delta 
outflow, export/inflow, Delta Cross Channel Gate closure, Suisun Marsh, 
reverse flow, and floodplain habitat flow. Many of these elements may be 
affected by and are being reviewed as part of the Bay Delta Conservation 
Plan, and staff is closely tracking this effort. 



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• Concurrent with these water quality control planning efforts, the State Water 
Board has also been actively working with other agencies to promote the 
efficient use of water. We are working with DWR and the Department of 
Public Health on a water measurement database. We have also adopted a 
recycled water policy, and will evaluate the reasonableness of urban and 
agricultural water use in two high water use areas. 

12. The Porter-Cologne Act provides the board with the authority to protect the 

beneficial uses of water in the Delta. How is the board using this authority beyond 
setting salinity standards? 

In regard to planning, the State Water Board adopts both basin and statewide 
plans that identify existing and potential beneficial uses of water and sets narrative 
and numeric water quality standards for contaminants and other pollutants as well 
as for water quality parameters such as temperature, turbidity, and in the case of 
the Delta, facilities operations (such as the Delta cross channel gates). In addition, 
for the Delta, the State Water Board has set flow objectives as part of its Bay Delta 
Plan. The State Water Board sets effluent and receiving water limits to implement 
those objectives through its water quality permitting actions and considers those 
objectives when it issues water right permits. 

The State Water Board's Bay Delta Plan focuses on flow and salinity, while other 
water quality parameters are addressed through the planning efforts of the Bay 
Area and Central Valley Regional Water Boards. The Regional Water Boards 
continue to conduct planning, including establishment of appropriate water quality 
objectives and programs of implementation for the control of pesticides, ammonia, 
mercury, selenium, and other contaminants in the Delta. State Water Board 
coordination assures that the programs of implementation developed for controls of 
salt and other contaminants in the various water quality control plans are 
comprehensive, consistent, and not mutually exclusive. Solutions to many of the 
Delta's problems will need to rely upon continued water quality controls that are 
established in conjunction with controls on flow and salinity. 

The State Water Board considers the impact of actions on beneficial uses of water 
in the Delta when it carries out its financial assistance program. The State Water 
Board will evaluate, and as appropriate prepare a resolution that supports, various 
projects proposed for funding by DWR under Proposition 204, Article 5, 
"Sacramento Valley Water Management and Habitat Protection Measures." 
Approximately $8 million dollars of projects will potentially assist in the 
implementation of the Bay Delta Plan. 



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Ms. Nettie Sabelhaus - 11 - June 19, 2009 



13. If blue-green algae is contributing to the decline in Delta species, what options 
does the board have to deal with this issue? 

If anthropogenic impacts are clearly identified as a cause, then potential solutions 
would require improved circulation, flow standards, control of nutrients and other 
water quality conditions. The State Water Board may address this issue using 
either our discharge permitting authorities or water rights authorities, or both. 
However, much more research is needed to allow a proper evaluation of the overall 
effect of blue green algal blooms on the environment, and to determine how much 
of the blooms are natural as opposed to induced by anthropogenic inputs. 



Water Rights 

14. What is the board's plan to reconcile water rights with water supply? 

As much of the difference between water rights and water supply can be accounted 
for by "paper water," we will attempt to reconcile them, as resources allow, through: 

• Water right licensing based on inspection and determination of how much 
water has been put to actual use (95% of the time, a license is issued for 
less water than the corresponding permit for the project allowed); 

• Improved water measurement and reporting to get a more realistic view 
of how much water is consumed; and 

• Exercising our continuing authority by revoking a water right permit or 
license when water has not or is no longer being used, changing existing 
water rights through petitions, and increasing enforcement. 

15. [The state board has testified in public hearings before the Senate that there are 
approximately 511 pending water rights applications representing about 7.3 million 
acre-feet of water.] What will the board do to eliminate that backlog by 2020? 
Given the apparent imbalance of water rights with water supply, why is the board 
accepting applications for any new water rights until it brings the water rights in line 
with the amount of available water? 

The State Water Board must accept applications to appropriate water unless a 
stream system has been declared fully appropriated through: 1) a "prior water right 
decision" by the Board based on evidence taken at an adjudicatory proceeding; or 
2) by the courts. Most pending water right applications are filed on streams that are 
not declared fully appropriated and for which no prior water right decision on the 
availability of unappropriated water exists. Therefore, the State Water Board must 
process these filed applications. 



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The State Water Board has reduced the number of pending water right applications 
by 35 percent since 2003. These reductions have been accomplished in part by 
imposing and enforcing deadlines on water right applicants. Additional 
improvements will only result from more efficient and effective permitting methods. 
To that end, our Strategic Plan commits to improving this process and the Board 
has directed the Deputy Director for Water Rights to work with stakeholders in 
making the water right permitting process more efficient and effective. 



Federal Stimulus Funds 

16. [Urban agencies have complained to the Legislature that these funds are unfairly 
restricted so that most large cities and counties are only eligible for loans and not 
grants.] Please describe those actions the state board has taken to respond to 
these concerns. 

The Board has clarified that the funds are not limited to small, disadvantaged 
communities and that there are many urban agencies that qualify, including the 
City of Los Angeles and the City of Long Beach. In all, there are over 400 
communities in California that qualify as a disadvantage community. Since 
receiving the America Recovery and Reinvestment Act of 2009 (ARRA) funds on 
May 20, 2009, the State Water Board has distributed $10 million in grants and 
$8.9 million in loans to urban communities. The Board has recently authorized an 
additional $42 million in ARRA funds to be made as grants for expanded use and 
wastewater treatment. We have received over $200 million in grant applications for 
the expanded use projects funds from both urban and rural agencies. 



Personnel Issues 

17. To what degree are the state and Regional Boards experiencing retirements from 
top management and manager-level employees? If such retirements are occurring, 
do you have succession plans? 

The State Water Board's 2007 workforce analysis revealed that 36% of our staff is 
over 50, including 60% of our executive team and 57% of our program managers 
and supervisors. During this fiscal year, 4% of our management team has retired 
and this value is expected to accelerate over the next five years. The State Water 
Board Executive Director has instituted a new recruitment plan, expanded our 
Training Academy to support three tracks of staff development (technical, 
administrative, and leadership), and conducted succession planning with the 
Regional Water Board Executive Officers. 



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Ms. Nettie Sabelhaus - 13 - June 19, 2009 



While I have not been personally involved in these efforts, I am aware of concerns 
that succession planning is made more difficult by pay equity issues and the civil 
service classification structure. For example, several Regional Water Board 
Executive Officers are expected to retire or step down from their positions this year 
and filling these vacancies will be a challenge as their salaries are lower than those 
of their engineering subordinates (Assistant Executive Officers and Principle 
Supervising Engineers). 

18. Are the state and regional boards experiencing any problems with employee 
retention or pay equity? Please describe how the board plans to reconcile these 
issues. 

I am advised that the Water Boards have experienced a "normal" rate of attrition, 
which implies that employee retention is not a significant problem. As mentioned 
above, pay equity is a significant concern for Water Board employees from rank- 
and-file to the Executive Officer/Director levels. I do not know to what extent pay 
equity is a driver in employees' decisions to leave the Water Boards, but am aware 
of several instances where it was a major consideration. 

Since staff salaries are dictated by collective bargaining agreements, Water Board 
management is required to work through the Department of Personnel 
Administration to address pay equity issues. Water Board Members do not have 
discretion on salary matters, including the salaries of our exempt Executive Officers 
and Director — and, given the State's current fiscal situation, I do not expect this 
issue to be resolved any time soon. 



As requested, I have enclosed a partial Form 700, Statement of Economic Interest, 
covering the period of January 1, 2009 through June 19, 2009. Also enclosed is an 
amended Form 700 covering calendar year 2008. 

Thank you for this opportunity to provide information to the Senate Rules Committee. 
Should you need additional information, please contact me at (916) 341-5602. 



Sincerely, 




Tarn M. Doduc 
Board Member 



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111 



June 2, 2009 

Monica S. Hunter, Ph.D. 

Responses 

WQCB, Central Coast 

Statement of Goals 

1. Since 2005 when you were first appointed, what have been your most 
significant accomplishments as a member of the Central Coast Regional 
Water Quality Control Board? What do you hope to accomplish during your 
current tenure as a member of the board? How will you measure your 
success? 

Since becoming a Board member of the Central Coast Regional Water Quality Control 
Board I have grown in my role on the Board in several ways. First, I have worked 
diligently to gain a functional understanding of the jurisdiction and authority of the 
Regional Board under the federal Clean Water Act and the state Porter-Cologne Water 
Quality Control Act. In part this has occurred through the excellent quality of information 
provided in the form of staff reports and background information in preparation for each 
hearing. I also actively seek information on priority problems and issues related to 
protecting and restoring water quality that is important to our region, and have attended 
all but two semi-annual Water Quality Coordinating Committee meetings where I have 
actively engaged in program/policy review and strategy development, providing input 
from a regional perspective to the State Board. 

As a Regional Board member, I have worked together with my fellow Board members to 
address priorities for both proactively protecting watershed functions across the region, 
and aggressively identifying remediation strategies to restore degraded watershed 
functions associated major impacts to surface and groundwater, as well as to wetlands 
and riparian areas. A major effort has been directed at streamlining the Phase II 
Stormwater Program review and approval process to assure that Municipal Separate 
Storm Sewer Systems (MS4s) are progressing to program implementation in a more 
efficient manner to effectively address urban runoff. This has resulted in a more 
systematic review and permit approval, with greater clarity and understanding of the 
process and of the program components by the MS4s. Since our region has only one 
Phase I permitted Storm Water Program held by the City of Salinas, the remainder of 
the Stormwater Management Plans (SWMPs) being developed or implemented in 
Region 3 are for Phase II MS4s, and thus are in their first permit cycle with many 
challenges to be met in bringing their programs online. As a Board member, I have 
worked to move SWMPs through review and approval recognizing that as more SWMPs 
are implemented, benefits accrue across the region offering program model 
components to benefit other MS4s in the form of effective "best management practices" 
(BMPs), including meeting the required standard of "maximum extent practicable" 

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May 11,2009 
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(MEP) in achieving watershed scale protection. I have also joined with my fellow Board 
members in encouraging aggressive staff support for MS4s to provide guidance and 
technical assistance to each municipality or other entity progressing toward Board 
review and approval. This approach has demonstrated that coordination of planning 
and design effort among geographically linked entities is an effective method to support 
collaborative SWMP development and implementation. I anticipate that the annual 
SWMP reporting and review process will also inform all MS4s in the region, further 
clarifying program requirements and highlighting creative and cost-effective methods as 
model program components are successfully implemented. The Board has encouraged 
all MS4s to work collaboratively in their first permit cycle with staff to assure that they 
are on the right track and that program achievements during their first 5-year permit will 
meet all required actions. 

Another important development associated with the SWMP Program is incorporation of 
Low Impact Development (LID) standards for SWMPs that will protect and restore 
ecological and hydrological watershed functions associated with development and 
redevelopment within urban areas. While the current climate for development has 
slowed, our region will see population increases overtime that will require new housing 
and redevelopment of urban areas. Region 3 has approached the development of LID 
in a proactive manner, working collaboratively with industry and with local government 
to initiate development standards that rely on establishing post-construction 
hydromodification controfs to reduce urban runoff and improve infiltration and recharge 
of groundwater basins. This proactive approach is a high priority for me as a Board 
member as I recognize the importance of developing efficient and effective strategies to 
achieve new standards derived from LID in ways that are consistent with local priorities 
and goals to meet housing needs for growth areas in the region. Introduction of LID to 
SWMPs also aligns this program with the region's vision to achieve healthy functioning 
watersheds, providing strategic and measureable action in a systematic, long-term effort 
that is part of our region's coordinated strategy to proactively protect watershed 
functions across the region. 

Additionally, the Board's commitment to LID has resulted in establishing the Central 
Coast Low Impact Development Center as a resource to provide technical and scientific 
expertise in the region, as well as offering a model program for the state. Developed in 
partnership with the renowned Maryland Low Impact Development Center, the program 
has flourished under the direction of Dr. Darla Inglis, who joined the program in 2008. 
Benefits to the region have been achieved in just a short time, as Dr. Inglis has focused 
on work with the MS4 communities in the region to identify appropriate and cost- 
effective strategies for LID design and implementation. Through her efforts, the Storm 
Water Program has shifted away from one of resistance to finding ways to meet 
program requirements, to working collaboratively with Region 3 staff toward permit 
approval. Dr. Inglis has also effectively worked with State Board staff assisting in their 
efforts to maximize Region 3's experience in bringing LID online for other regions. In 
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Monica S. Hunter, Ph.D. 
May 1 1 , 2009 
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expand the role of the Central Coast LID Center, including identifying long-term funding 
to assure that the program is self-sustaining. 



Another aspect of my work on the Board during my first term has contributed to a steady 
focus and recognition of the role of the public in providing input for Board consideration 
from both the regulated community as well as from stakeholders in the region. This 
includes enforcement actions, permit review and approval, as well as program review 
and policy development. For example, in a recent hearing on the Basin Plan 
amendment for onsite wastewater systems, the Board heard many stakeholders 
expressing concern that they did not have access to the current phase of the process 
for developing MOUs with local agencies, including opportunities for input to new criteria 
for onsite system management plans. In discussion with fellow Board members, I 
proposed that Region 3 establish a website to post Draft MOUs to facilitate public 
access and review by providing all MOUs in one location where stakeholders could 
track progress for their area in order to be informed and prepared to engage in their 
local community review and approval process. The staff immediately responded with an 
excellent design that will support a more informed process, linking key documents with 
informative background information to help educate the public on the new Basin Plan 
criteria, as well as specific program development for their community. 

My focus on public input has also been supported by my fellow Board members in 
clarifying local concerns through follow-up with staff, who have demonstrated a 
commitment to providing follow-up and response to clearly stated stakeholder concerns 
and issues raised, leading to a more collaborative and better informed process. As a 
social scientist, I have contributed to staff's efforts to identify and incorporate meaningful 
public outreach and education, as well as public participation in the many programs 
provided on a range of issues. During my current term, I will continue to focus on 
identifying potential opportunities and direct staff to consider effective and efficient 
options to maximize public involvement in the various programs to contribute to a strong 
public outreach and involvement strategy. I am satisfied that Region 3 staff have made 
this component of their work a high priority, although constrained by limited time and 
funds, and anticipate that their interest and response to these issues will continue to 
build effective action. 

Last, I have strongly supported one of Region 3's most important programs through 
Board approval to continue funding for the Central Coast Ambient Monitoring Program 
(CCAMP). The mission of CCAMP is "to collect, assess, and disseminate scientifically 
based water quality information to aid decision makers and the public in maintaining, 
restoring, and enhancing water quality and associated beneficial uses." This program 
has contributed approximately ten years of data on coastal confluence streams, 
including both program generated data (systematic 5-year watershed rotation 
throughout the region), and other externally generated data (with appropriate quality 
assurance controls) to create a highly useful database for access by the public as well 



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Monica S. Hunter, Ph.D. 
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to support the Region's program priorities and actions. This includes internal program 
coordination with the Conditional Waiver of Waste Discharge Requirements for Irrigated 
Agricultural, TMDLs development, and will most certainly contribute to the Stormwater 
Management Program monitoring effectiveness. My advocacy of this program has 
extended beyond my role as a Region 3 Board member, seeking opportunities outside 
Board actions to raise awareness of the value and benefit of the CCAMP Program, to 
advocate for its continued support through external sources to assure that the program 
continues to gain and expand in keeping with the Region's needs and uses for the 
CCAMP database. I will continue to advocate for the program in my current term. 

2. What do you believe are the most serious problems facing your regional 
board? 

While urban issues are being addressed through implementation of the Phase II 
Stormwater Program, agricultural nonpoint source pollution remains a huge challenge, 
with many significant dimensions of agricultural operations requiring changes in 
practices to effectively reduce nitrates, pesticides and sediment due to erosion affecting 
both surface waters and groundwater. Of these, high nitrate levels are prevalent across 
the region's watersheds, and clearly present an enormous and significant problem that 
can only be addressed by improving farm practices to reduce discharge of 
contaminated tail water and other discharges associated with irrigated agricultural 
operations. These changes include requiring irrigation tail-water reductions from farm 
operations; improving efficiencies of irrigation systems; reducing fertilizer applications 
through nutrient budgeting; inspection of farm operations to verify changes in practices; 
and developing ways to track fertilizer applications. Designing and implementing Best 
Management Practices (BMPs) that achieve these changes is a high priority for the 
Irrigated Ag Program, with required monitoring to access overall effectiveness of BMP 
implementation. 

Of great concern are impacts to drinking water caused by high contaminant levels 
evident in the fact that 17% of the public supply wells in the region were determined to 
be contaminated by pollutants as reported by the Department of Water Resources in 
2003 (using data that ranged from 1994 to 2000). Of the 17%, 55% exceeded public 
health standards for nitrate in drinking water. Region 3 staff reports that "this reference 
shows nitrate to be the single most important contaminant of drinking water in our 
Region." Additionally, we are lacking data to determine the significance of impacts to 
private and small domestic water supply systems, which our Region will pursue through 
analysis of existing data to determine what information is available to consider public 
health impacts and protection of privately owned water supply operations. Additionally, 
Region 3 staff is coordinating efforts with Monterey County, the California Department of 
Public Health and the State Water Resources Control Board, in support of SB X2 1 
(Perata) requiring a study of the Salinas Valley to determine "causes and the extent of 
nitrate contamination within the groundwater basin and evaluate remedies to address 
the problem." Region 3 will play an important role in determining impacts to individual 



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May 1 1 , 2009 
Page 5 



domestic wells which is not adequately addressed in SB X2 1, and is working 
cooperatively with the county to require nitrate sampling for permits on all new wells. 

In terms of protection of beneficial uses, problems associated with nitrates and impacts 
to surface water also present immediate concerns for beneficial use protections for 
aquatic wildlife. Our region has determined that the drinking water standard of 10 mg/L 
does not adequately protect sensitive aquatic wildlife, and through targeted study, has 
determined that the numeric target of 1.0 mg/L-N is more adequate to protect beneficial 
uses of surface water for aquatic life. This has lead to new listings on the 303d List for 
Impaired Water Bodies within the region, and development of Total Maximum Daily 
Load (TMDL) objectives that will require significantly lower nitrate concentration levels 
than currently required for protection of the public drinking water supply. 

Additionally, Region 3 has initiated a Nitrate Working Group that incorporates staff from 
different programs (Stormwater, Agriculture, TMDLs, etc.) in order to coordinate action 
throughout the region to assure all effective measures are applied systematically 
through alignment of actions across programs. In my view, the integrated approach that 
the Region has utilized in developing a response and proactive strategy to address the 
nitrate problem maximizes the resources and full capacity of Region 3 staff to achieve 
targeted outcomes to the extent possible. 

3. How does your board help the public understand the state of water quality in 
your region? Where should the public go for information on water quality 
issues, such as beach closures, sewage spills, or the overall quality of water 
in rivers, streams, and ocean waters in your region? 

As noted in my response above, Region 3 has lead the way in designing and 
implementing the Central Coast Ambient Monitoring Program (CCAMP) which has over 
the past ten years been effectively utilized for many purposes including informing the 
Board on important trends in water quality problems, supported determination of the 
303d listings and development of TMDLs, and is also a fundamental component of 
region-wide monitoring and is eventually anticipated to house all monitoring data within 
the region. The CCAMP database was also designed from its inception to provide 
information to the public and has undergone many revisions and updates that have over 
time made the website more easily accessed and offers 'user friendly" features and 
tools that allow the layperson to explore water quality data and trends across the region. 
The CCAMP database is also the main platform for Volunteer Monitoring Programs 
within the region, supporting these activities through coordinated technical quality 
assurance, and improving the potential for consistency of data within watersheds and 
for specific rivers and creeks where volunteer programs are actively working to acquire 
water quality information. Organizations that include the Coastal Watershed Council, 
and state agencies that include the Coastal Commission and federal agencies including 
the Morro Bay National Estuary Program and the Monterey Bay National Marine 
Sanctuary have all utilized CCAMP data, noting the high value of the program data and 



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contribution to collective efforts to develop and understand water quality problems in the 
central coast region, and to consider potential viable actions that will lead to solutions. 
Region 3 also conducts the Central Coast Environmental Assessment Network 
(CCLEAN) which is a program designed to monitor intertidal and nearshore waters of 
the Monterey Bay region, linking ocean data with the CCAMP database. The CCLEAN 
Program serves as the nearshore monitoring component for the NPDES receiving water 
monitoring and reporting requirements for 5 entities that discharge to Monterey Bay 
including the cities of Santa Cruz and Watsonville, Duke Energy, the Monterey Regional 
Water Pollution Control Agency, and the Carmel Area Wastewater District. 

Information on sewage spills is available via the statewide database for the Sanitary 
Sewer Overflow Reduction Program accessible on the State Water Board website. A 
recent addition to the database includes a map of sewage spill incidents that provides a 
search tool for investigating sewage spills by geographic area. Additionally, Regional 
Board enforcement reports also include violations resulting from sewage spills and 
overflow incidents and are also accessible via the web where this regularly issued 
report is linked to Board Agenda reports and documents. Information on beach 
closures is currently not available on the Regional Board website. However, the website 
is being revised and will offer this information in the future. Information is available via 
county websites, and is often a component of the County Public Health Department. 
Newspaper accounts of major beach closures are also a source of information for the 
public to remain advised on health risks and beach closure actions. 

State and Regional Boards 

The state and regional boards were created nearly four decades ago. In January 2009 
the Little Hoover Commission issued a report on improving the performance of the 
state's water boards. One of the findings was that the relationship between the state 
and regional boards is not well-defined. This has led, they believe, to inconsistencies 
and inefficiencies among boards, an inability to set statewide priorities, and a lack of 
focus by the state board on holding regional boards accountable for clean water 
outcomes. 

The report also found that there is little focus on clean water outcomes or accountability. 
Regional boards admit they have difficulty in analyzing watersheds to determine 
whether their programs are protecting and improving water quality. The regional water 
boards' focus is more on issuing permits and determining whether dischargers abide by 
permits than determining if the water is actually getting cleaner. 

Another issue that has been raised in the past, and also discussed in the recent 
commission report, is that many of the issues board members have to deal with are very 
technical, and a number of board members are, basically, volunteers and do not have 
such formal technical experience. 



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4. What is your view of the relationship between the state board and your 
regional board? What type of guidance do you receive from the state board? 

I believe that the role of the Regional Boards and the relationship to the State Board is 
well defined, understanding that ongoing effort to improve and clarify the role of each is 
an important aspect of continued growth of the responsibility of each in meeting state 
and federal regulatory mandates. This is especially important as the scientific and 
technical basis for regulatory program development continues to expand action 
necessary to implement the Clean Water Act and the Porter-Cologne Water Quality 
Control Act as the work of these agencies progresses with addressing the many 
complicated and not yet fully characterized problems associated with nonpoint source 
pollution. In my view, during my term, the leadership of the State Board in identifying 
strategic areas of policy and program development, including gaps and updating old 
policies, has actively been conducted in coordination with Regional Boards, who provide 
the locally unique and distinct set of priority problems associated with specific impacts 
to water quality at the regional scale. 

As the State Board meets it function in providing statewide policy, I believe that our 
Region is also meeting its obligation to consider region-specific issues, in context of 
broad scale goals for protection of watershed functions and goals for improving water 
quality in surface and groundwater. Our role, therefore, is to determine how to apply 
state policy through conditioning for permit approval that meets the standards set by 
state and federal law, and enforcement of regulations through individual case review for 
those who fail to comply with state and/or federal law. Furthermore, the State Board 
provides review of Regional Board decisions, providing an appeal process for those 
who wish to challenge a Regional Board decision. Additionally, legal counsel is 
provided to the Region by an attorney based in Sacramento but who is assigned to the 
Region, and is therefore able to actively participate in coordination across regions to 
assure consistency where appropriate can occur. Legal support to the regions has also 
been augmented by the formation of the State Board Office of Enforcement, providing 
legal staff to the Region when necessary, improving the way cases are developed 
across the regions. 

The State Board Liaison to the Region also attends Regional Board hearings providing 
updates on current and future State Board actions including program and policy 
development statewide. Her attendance at Regional Board hearings also ensures that 
the specific issues and priorities for our Region are directly communicated to the State 
Board, both through observation of hearing matters, and also through direct exchange 
of information with Board members as a feature of the State Board member's report to 
the Regional Board given formally during the hearing. 

The Regional Board Chair also participates in a monthly conference call with the State 
Board Chair that is intended to provide a forum for all Regional Chairs to discuss issues 
and review upcoming planned actions. As a Board Member, our semi-annual Water 



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Quality Coordinating Committee meetings have vastly improved communication 
between the State Board and Regional Board members in recent years, focusing on 
critical statewide action items, leading policy debates, and in the last two years, 
providing a meaningful process for Regional Board members to contribute to the 
development of the State Board's Strategic Plan (2008-2012). 

Guidance from the State has been most effective in setting the pace for improving 
effectiveness, including a shift toward becoming a "performance based organization" 
emphasizing tangible outcomes that improve and protect watershed functions. In part 
this effort was initiated by Region 3 staff, who then collaboratively presented our 
program process at a WQCC as a way to launch State Board actions. This approach is 
presented in the Strategic Plan (2008-2012) which outlines goals for policy and program 
implementation that prioritize watershed scale actions "which stakeholders identified as 
the most effective approach to manage and protect the State's water resources." In our 
Region, our strategy has been to embrace a vision of healthy watersheds that focuses 
on attaining healthy aquatic habitat, sustainable land management practices, and 
protection of groundwater. This view recognizes the importance of protecting 
hydrological functions, inter-relatedness of surface and groundwater, as well as the 
important connections between protecting water quality and water supply. These goals 
have been instrumental in structuring Regional Board programs and to establish key 
parameters intended to measure environmental improvements such as "physical, 
chemical and biological conditions in water," and also operational measures which are 
intended to gage the changes that occur as a result of program action. The later 
includes measuring both actions taken by staff and the Board, as well as behavioral 
changes by dischargers that demonstrate compliance. Through collaborative efforts 
with State Board staff, our Region has continued to pursue this approach to improving 
program effectiveness that conforms to broad statewide goals to achieve integration of 
program effectiveness with measureable outcomes. 



5. How do you balance the board's focus on the permitting process and the 
focus on broad policy issues, such as updating basin plans and setting 
regional priorities? What is the best use of the board's time? 

In my view Region 3 staff as directed by the Executive Officer, has developed an 
excellent process for evaluating program effectiveness and setting annual priorities that 
are designed to maximize staff time and resources in order to meet objectives, and also 
to address new and growing areas of high priority. In part, priority issues are driven by 
programmatic cycles (e.g., the triennial review, reissuing of general permits) as well as 
by program mandates (e.g., Stormwater Program, TMDL Program). This aspect of the 
Board's function is most efficiently conducted by staff who provide excellent background 
reports and clearly stated and presented recommended actions for Board consideration. 
Additionally, because staff preparations involves work directly with the regulated 
community, review and updating permit conditions often moves forward efficiently 



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through "consent" following Board review, allowing the Board to proceed with approval 
when appropriate. The Board does discuss any issues that need further explanation or 
additional information that are presented to the Board for approval under the 
"uncontested" category, but often staff reports adequately present the facts on the 
matter, and the discharger has waived the hearing, also satisfied with the process. My 
experience has been that when the Board does inquire further into the details of a 
"consent" item, staff is always prepared with information necessary for further 
consideration by the Board, legal counsel is prepared, and the Executive Officer also is 
ready to provide additional details and information in response to Board inquiry in the 
course of the hearing allowing the Board to proceed. Therefore, the process is one that 
has been made more efficient through excellent preparation by staff and legal counsel, 
and through Board preparedness and inquiry in hearing the matter and reaching a 
decision. 

Program and policy issues are also effectively addressed and I feel are given adequate 
time by the Board, again due to the fact that Region 3 staff has developed and 
implemented an outstanding comprehensive process for evaluating both short-term 
performance in achieving goals, as well as long-term strategies for keeping pace with 
emerging priorities, and building program effectiveness. In part this occurs through the 
annual "off-site" meeting conducted in a less formal manner than the hearing format, 
and is also intended to review the broad set of program objectives set from year to year, 
evaluate and reassess outcomes and progress to meet goals, and identify and focus on 
essential priority actions for the coming year. The structure for this process has been 
developed as part of the "healthy watershed" vision that links broad goals with tangible 
objectives and outcomes. For example, goals linked to achieving healthy aquatic 
habitat have created the basis for developing a basin plan amendment for riparian 
protection. In this manner, the watershed focus and related broad policy issues lead to 
effectively utilizing the basin plan as a mechanism to achieve a strategic outcome. 

In considering the best use of the Board's time, I am satisfied that our focus on policy 
and program effectiveness are setting a pace that has already shown impressive results 
(LID Center, Stormwater Program, TMDL Program). I am also satisfied that the Board's 
time and focus on individual cases, and on allowing for a full hearing for those 
dischargers who are seeking a thorough review and who are facing enforcement action 
or reissuing of a complicated discharge permit, also demands the Board's full attention. 
In these actions, our Region has demonstrated their commitment to providing a fair 
process in which individuals who wish to dispute water quality regulations or permit 
conditions, monitoring requirements, etc., can receive a fair hearing. The Regional 
hearing process is one of our most important functions in that these proceedings are 
conducted as near to a given community as possible, they are accessible by diverse 
stakeholders form within the region, and they provide an important forum in which to 
review all sides of the issues and consider conflicting needs and points of view. This 
function cannot be diminished, and is a unique aspect of the Board's work that centers 
the importance and value of protecting water quality and quantity in the region where 



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the practice is occurring, where local residents can participate in and contribute to the 
action of the state to protect water quality and beneficial uses for all. 



6. How do the state board and your regional board staff assist you to better 
understand some of the complex issues before you? Do you have any 
suggestions on how the state water board's staff might better assist you? 

As noted in an earlier answer, at the regional level, the staff prepares reports for each 
individual hearing item. These reports are organized to present background (the history 
of the permit or enforcement action), current information and status of the problem, and 
recommended actions that also provide a context for understanding the outcomes being 
sought. Additionally, staff presentations during the hearing are very well organized and 
highly effective in conveying the essential high points for Board consideration, and if 
appropriate, provide more details on any disputed or problematic aspect of the issue. 
These presentations also include informative visual information that is always 
instrumental in conveying the nature and extent of the problem, illustrating through 
tabled format or mapped data presenting past trends and projected future progress, 
defining areas where action is not sufficient and more is needed, including greater 
mitigation or further study. Additionally, staff reports, public comments and any related 
reports or studies are sent well in advance of the hearing in order to provide adequate 
time for review and preparation by Board members, including website links to technical 
reports and other supporting documentation. I am also able to submit questions in 
advance of the hearing and request further information which is always provided as 
requested to assist me in gaining a full understanding of any given issue related to a 
hearing matter. Additionally, I have access to legal counsel for the Board, who can 
provide additional information or direct me to further information as I prepare for a 
hearing. 

State Board assistance, as noted, occurs in several ways, including the semi-annual 
Water Quality Coordinating Committee, as well as review of legal issues with State 
Board legal counsel that occurs as part of the WQCC. These meetings are instrumental 
in gaining the statewide picture, hearing from other regions throughout the course of the 
two-day sessions, as well as from hearing directly from State Board legal counsel who 
review recent court decisions that may have implications for the work of the Regional 
Boards. As a regular event, our State Board Liaison, currently Fran Spivey Weber, 
attends Regional Board hearings, and reports to the Board on State Board matters as 
an agendized item, allowing for questions and comments to be exchanged during the 
public hearing process. Additionally, the State Liaison remains in attendance in the 
hearing to directly observe issues and concerns that are occurring in the Region. 

In my short experience on the Board, State Board efforts to connect with the regions, 
and to provide meaningful and productive statewide work sessions that focus on broad 
policy and program effectiveness issues has greatly improved from my very first WQCC 



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meeting, to more recent meetings conducted by Chair Doduc. My commitment to the 
process is also clear in that I have attended all but two of the WQCC meetings since 
2005, and in both cases was unable to attend due to illness. I anticipate that as the 
State Board proceeds with implementation of the Strategic Plan (2008-2012), Regional 
Board involvement will continue to play an important role to allow input from the 
Regions to State Board program development, and that this interaction will continue to 
define Regional needs that will be the focus of future program development to the 
extent possible, providing needed support to the Regions. 

To the extent possible, I am eager to have the opportunity to explore statewide issues 
through formats like the WQCC, where intensive focus on water quality matters can 
increase my knowledge and understanding of the challenges facing the state. I feel that 
the Regional Board support for Board members is very well conducted, and therefore, I 
have no suggestions for improvements other than to hope that no further cutbacks in 
staffing occur that could seriously affect the current level of quality of performance by 
staff. 



Enforcement 

In 2005 the Office of the Secretary of Cal/EPA reported to the Legislature on 
environmental enforcement and suggested that the state and regional water boards 
were among the worst agencies in enforcing the law. In 2008 the state board, in its 
Strategic Plan 2008-2012, said it would adopt an updated water quality enforcement 
policy by December 2008. That enforcement policy will now not be adopted until mid to 
late 2009. On January 1 , 2009, the state board published its 2008 enforcement report. 
Among other things, it showed the number of violations that were imposed by regional 
boards compared to completed enforcement actions. For the four-year period from 2005 
through 2008, the Central Coast regional water board scored a low of 16 percent in 
2008 and a high of 63 percent in 2005 in wastewater violations compared to completed 
enforcement actions. This is well below the average of the nine regional boards. For 
stormwater violations compared to completed enforcement actions, the board scored a 
low of 87 percent in 2008 and a high of 99 percent in 2005. This is about average for 
the nine regional boards. 

7. What is your view on how your board should enforce water quality laws? 
When are fines and penalties appropriate, and when are more informal actions 
necessary? 

Regulated activities that fall under the jurisdiction of the Regional Board, whether 
through a discharge permit or through other mechanisms for protection of water quality, 
are subject to monitoring and reporting, or other methods to assure compliance, 
including field inspections, characterization, study and documentation of onsite 
practices and remediation when required. The Region has moved to electronic 



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reporting and documentation that has greatly advanced the Board's ability to identify 
and track violations, including repeat offensives by a given discharger, and to also 
identify specific violations and their links to priority problems (e.g., contaminated 
discharge that contributes to nitrate levels in surface and groundwater, or illicit 
discharge associated with industrial waste or construction site activities). 

The Executive Officer has the authority to take initial action on violations and to 
determine the level of severity under the law and to act in accordance with prescribed 
minimum actions, including determining when fines or penalties must be considered. 
This approach includes several levels of informal actions including opportunities for the 
discharger to meet with staff to discuss options for corrective action and to determine 
any available assistance that may be provided to facilitate immediate action and 
resolution. Region 3 has utilized these informal steps in addressing violations in order 
to focus on eliminating poor practices and introducing more appropriate practices as 
quickly as possible. Consideration of fines and penalties involves review of a complex 
set of criteria including mandatory minimum penalties, any economic benefit derived 
from failing to comply with water quality regulations, or failure to take steps required 
through a time schedule order designed to reduce or eliminate poor practices, and to 
implement systems and operations that comply with the law. Additionally, consideration 
of the impact of recalcitrant behavior on other dischargers, even if considered minor 
violations such as late reporting, or failing to comply with monitoring program 
requirements, should also be viewed for the message that is conveyed across the 
industry or to local permitted agencies, in allowing seemingly minor actions to go 
without penalty. This is especially true where failure to monitor as required later reveals 
undetected water quality impacts that are evident once monitoring comes into 
compliance. In another example, the Regional Board reviewed a case where a 
discharger had failed to file monitoring reports and other required reporting 
documentation, and on field inspection was found to be in violation of the permit, with a 
broken irrigation system discharging directly to an adjacent creek. This case was 
brought to the Board and resulted in penalties assessed for all violations sending a 
strong message to the discharger and others in the industry that failure to comply with 
monitoring and reporting will not be overlooked by the Board and will be pursued. 



8. How do you prioritize your enforcement activities, given current budget 
constraints? 

All violations are tracked by staff and are subject to systematic evaluation by 
enforcement staff to determine required action including minimum mandatory penalties 
(MMP). Evaluation criteria for determining appropriate enforcement actions include 
both policy aspects (is the violation contributing to a high priority regional problem), as 
well as considering the extent and severity of a violation, and the environmental 
damage resulting from the violation. Additionally, enforcement actions also require 



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Monica S. Hunter, Ph.D. 
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Page 13 



consideration of the discharger's past history, whether there have been improvements 
or other efforts made to eliminate the problem, and whether there is any economic 
benefit for failing to meet water quality regulations. Recent efforts to establish an 
electronic database will greatly enhance our ability in the future to assess trends across 
different practices (e.g., landfill management, industrial site chemical spills, wastewater 
system operational failures and spills, etc.). Enforcement reports to the Board now 
display quarterly updates of all violations regardless of the level of severity, providing 
Board comments and direction to staff on issues of concern, and contributing to 
prioritization of enforcement actions. While the current transition to the electronic 
reporting format and integration of violation reports and other relevant data are not yet 
perfectly synchronized, Board oversight will continue to direct staff as this new approach 
is refined. 



9. Without a current formal state board policy on enforcement, how does your 
board determine it is consistent in its enforcement practices with other 
regional boards? 

There is an existing State Board policy in effect at this time, and this policy continues to 
provide guidance on enforcement actions. While the policy was last updated in 2002, it 
is fundamentally consistent with the Clean Water Act and with the state's Porter 
Cologne Water Quality Control Act. The State Board Office of Enforcement, under 
Program Director Reed Sato, has undertaken action to update and revise the current 
Water Quality Enforcement Policy for the state that includes input from the regions 
through the formation of an Executive Steering Committee including Regional Board 
Executive Officers, who have engaged in review of the draft revised guidelines and also 
to consider public comment received on the draft. This process is underway at this time 
and continues to make progress and was most recently reviewed by the State Board in 
February 2009. 

Additionally, Region 3 Enforcement Staff actively engage in the Statewide Enforcement 
Roundtable, providing regular interaction among the regions regarding enforcement 
practices and trends. Additionally, the Board also receives legal guidance on 
enforcement matters from our legal counsel, who is assigned to the Region, and who 
also works closely with legal counsel from State Board as well as from the other 
Regions. In this manner, there is a constant review and exchange of information 
regarding trends in enforcement practices across the regions and with State Board staff. 

Last, the State Board provides summaries and reports of significant enforcement 
actions, including reports issued by Executive Director Dorothy Rice. These reports 
provide information on key actions and upcoming cases that will come before the State 
Board and help to define large scale issues of importance statewide. 



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Irrigated Agricultural Lands — Waiver of Discharge Requirements 

In 2004 the Board adopted a conditional waiver of waste discharge requirements for 
discharges from irrigated agricultural lands. This Board order will expire in July this year. 
Board staff is now revising language for a new Board order for irrigated agriculture that 
will provide a schedule to comply with various discharge requirements. Board staff does 
not expect to have the revised language ready by the time the current order expires this 
July. 

10. How will the board deal with the expiration of the order for irrigated 

agricultural lands this July? If the board extends the current order, will it be 
strengthened in any manner pending the development of new language? 

The current Conditional Waiver for Discharges from Irrigated Lands permit was issued 
in July 2004. The first permit period (5 years) of this program have resulted in 
enrollment of 1737 growers of the estimated 2200 to 2500 in the region, representing a 
total of 395,000 acres of irrigated land (June 2009). This includes providing program 
information and educational outreach and technical coursework in other languages 
including Spanish and Chinese to name two. The Conditional Ag Waiver Program 
requires all commercial growers with irrigated agriculture farm operations to complete a 
15-hour course in managing farm water quality, develop an on-site farm water quality 
plan, and conduct monitoring of their farm operations either through the cooperative 
monitoring program or individually. Staff has been engaged in stakeholder meetings 
initiated in 2008 to review the current Conditional Waiver Program and consider 
recommended changes and new elements for the Conditional Waiver with input from 
the Agricultural Advisory Panel (established in 2003) that includes representatives of the 
agricultural community and other diverse community groups. Staff has also sought 
input from other interested parties and organizations including municipalities water 
districts, other resource agencies, environmental groups and environmental justice 
organizations. 

At our February 2009 Board hearing, staff presented an update on the Irrigated Ag 
Conditional Waiver review process. Public comment on the hearing item included many 
of the Agricultural Advisory Panel members, as well as others who expressed many 
diverse perspectives on the proposed revisions to the permit, including the request that 
the scope of revisions be limited. On the suggestion of the Executive Officer, the Board 
endorsed the view that Board review should include the full range of proposed changes 
and water quality issues in order to assure that all aspects of impacts to water quality 
are considered by the Board in making its final determination on the new conditions for 
the Conditional Waiver. I anticipate that the July staff report presenting the best options 
for extending the permit will include a proposed revised schedule for completing the 
permit review that will comprise a finite period at which time the Board will be presented 
with the final Conditional Waiver permit conditions for the new permit cycle. It is also 



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Monica S. Hunter, Ph.D. 
May 11,2009 
Page 15 



likely that there will be many stakeholders whose views will be submitted to the Board in 
writing, and also who will attend the hearing to comment formally during the hearing, 
which the Board will also consider in making their final determination. Therefore, at this 
time, it is not possible to know what action the Board will take. However, I am confident 
that the work that is being conducted at this time, and that will continue to occur during 
the extension of the current permit, will lead to a revised permit that incorporates 
necessary changes and strengthens the actions necessary to assure water quality 
protections are being achieved reducing pesticides, nitrates, and other contaminants 
associated with irrigated agricultural activities from entering surface water and 
groundwater. 

11. What types of schedules for compliance does the board envision with the new 
language regulating agricultural discharge? 

The current Irrigated Ag Conditional Waiver permit incorporated a schedule that allowed 
for phased program implementation that included cooperative participation in the 
program in the initial stages, with increasing levels of requirements including 
enforcement action, as the program progressed during the first five-year permit period. 
This program was effectively managed through cooperative partnering between the 
Regional Board, the growers, UC Extension, the Farm Bureau and others who play a 
role in conducting the educational components, technical assistance, the monitoring 
program, field inspections and program review. I anticipate that the next permit will 
carry equally effective and aggressive time constraints for compliance, and that the 
associated agency and organizational support will also work collaboratively to meet 
scheduled requirements and program mandates as effectively as they have during the 
current permit period. 



126 



127 



/^ a sse / / 3"£ fJWes 
iCQCc) Ccn+raJ Caas-h 
thtsfonses 



ATTN: Nettie Sabelhaus 

Senate Rules Committee Appointments Director 

Room 420 

State Capitol 

Sacramento, CA 95814. 



TO: SENATOR DARRELL STEINBERG 

FROM: RUSSELL M. JEFFRIES, CCRWQCB 

RE: Responses to questions from the California Senate Rules Committee 



Dear Senator Steinberg: 

Please accept these responses to your letter of May 1 1 , 2009 regarding my service on 
the Central Coast Regional Water Quality Control Board. Should you have any further 
questions of me, please contact me so that I may respond to your requests. 

1. What have been your most significant accomplishments as a member of the 
Central Coast Regional Water Quality Control Board? What do you hope to 
accomplish during your current tenure as a member of the board? How will 
you measure your success? 

My most significant accomplishments during my tenure on the Board have been: 

a. The resolution of litigation and the implementation of comprehensive 
mitigation strategies and regional mitigation programs resulting from the 
settlement of suits concerning Diablo Canyon Nuclear Power Plant; 

b. The resolution, clean-up, and restoration of coastal, wetlands, and beach 
resources that were severely contaminated from leaking oil pipelines in 
coastal San Luis Obispo County : 

c. The resolution of and the development of a new, comprehensive sanitary 
sewer plant for the City of Hollister; 

d. Our success in establishing the first agricultural waiver program in 
California that was not challenged by any of the interested parties and 
stakeholders. 

e. Provision of funding for significant wetlands creation and enhancement 
programs proximate to the Elkhorn Slough National Estuarine Reserve 
and the Monterey Bay National Marine Sanctuary 

Senate Rules Committee 

JUN 4 ?009 

128 



My goals for the next four years are as follows: 

Short Term Goals 

• Establishment. Implementation, and enforcement of effective storm 
water standards for permits for municipalities (Phase I and II work) 

• Near term TMDL implementation tasks 

• Efficient regulation of agricultural discharges - waiver policy review, 
plus a combination of education and outreach, inspections, monitoring, and 
enforcement 

• Produce Low Intensity Development (LID) strategies to resolve basin 
management conflicts with land use decisions by local governments 

• Power plant permitting 

• Environmental problem solving approaches: conclusion of pilot 
projects - greenhouses and agriculture runoff 

• Continued dry cleaner and other solvent site cleanups 

• Landfills - continued modernization to lined cells, with continued 
leachate controls 

Long Term Goals 

TMDL implementation tasks / conservation easement programs 

Storm water - continue Phase I and II work, address coastal priority 

issues 

Gasoline leak site cleanup 

Oil production legacy cleanup 

Municipal system compliance, including collection systems 

Power plant mitigation implementation 

Landfills - continued modernization to lined cells, with continued 

leachate controls 

Dry cleaners and other solvent site cleanups 

Expanded use of environmental problem solving approach as 

warranted by pilot projects 

My success in the pursuit and achievement of these goals over the next four 
years will best be judged by the objective evaluations of the stakeholders, 
members of the legislature, and the public whose health and safety must be 
our highest priority. Further, the collective success of the Water Boards' in 
California will be a function of the magnitude of financial and staff reductions 
that will result during the anticipated economic downturn and the budget 
adjustment that will now be required as a result of the most recent elections. 



129 



2. What do you believe are the most serious problems facing your regional 
board? 

a. Municipal and Agricultural storm water runoff regulation - Our LID stormwater work is 
more focused on preventing future degradation of our watersheds. 

We have more significant current degradation, however, in many parts of our region, 
from agricultural operations. Many of our receiving waters suffer from nitrate, pesticides 
(toxicity), and sediment due to agricultural runoff and percolation to groundwater. Our 
agricultural order dates to 2004, and in the meantime during my tenure on the Board, 
we have tracked the on-going implementation of this new regulatory framework. We 
have directed staff to be strategic in our oversight of this program, to make the most 
progress feasible. We have used a combination of education and outreach, 
inspections, monitoring, and enforcement (including administrative civil liabilities) to 
push this program along. The staff is working on the renewal of our order and we have 
had discussions at our board meeting with stakeholders, including members of our 
agricultural advisory group. That group has requested more time to tackle the difficult 
issue of how to make the program even more effective and staff will be bringing and 
item to the Board in July to extend the existing order while update work continues. Of 
course, staff will continue with regulatory oversight to bring about implementation 
improvements in the meantime until a revised order comes before our board. Recently, 
two of our staff have become bilingual certified and most of their demand for services 
has come from our regulation of agricultural enterprises of small farmers. We have 
invited Environmental Justice Coalition representatives to our July Board meeting to 
discuss water quality and environmental justice, and one of the biggest issues is the 
problem of individual wells with high nitrate in agricultural areas. We are proposing 
measures to attack this problem via source control (long term) and water treatment or 
alternative water supply. 

b. Overpumping of percolated groundwater supplies (from severely overdrafted 
groundwater basins) by uncooperative and/or irresponsible municipalities that results in 
groundwater overdrafts, severe. seawater intrusion, and aggravation and concentration 
of pollutants in the remaining, and degraded, groundwater supplies that then pose 
acute, and often permanent threats, to public water supplies and the public's health and 
safety. Particularly in overdrafted groundwater basins (Pajaro Valley and Salinas Valley) 
in Santa Cruz and Monterey Counties, local governmental entities have systematically 
failed to prohibit new developments that lack "new water supplies" to sustain them. In 
these overdrafted groundwater basins, the law in California has been clear for over 100 
years. . . "there is no surplus groundwater in an overdrafted, non-adjudicated percolated 
groundwater basin for new appropriators. Ever-increasing extractions of limited and 
declining percolated groundwater by cities, counties, and even some so-called "water 
management" agencies, which is necessitated due to their historic failure to produce 
any new water resources, is causing a grave, and largely irreversible diminishment and 
degradation of the quality and purity of the groundwater on which our current citizens 
and our economies depend. This is a huge and ever-increasing problem that local 
governments seem to lack the knowledge and the "political will" to address. 



130 



3. How does your board help the public understand the state of water quality in 
your region? Where should the public go for information on water quality 
issues, such as beach closures, sewage spills, or the overall quality of water 
in rivers, streams, and ocean waters in your region? 

The public should come to us for information and we try to do our very best to humbly 
provide the public with the greatest amount of information that we can. Further, our 
board coordinates with local governments to insure timely distribution of information 
throughout our jurisdiction. We obtain understanding of our water quality issues through 
monitoring our resources. We coordinate our monitoring efforts with all stakeholders: 
e.g., volunteer monitoring programs, US EPA (e.g., the paired watershed monitoring 
program), National Estuary Programs, etc., which increases water quality awareness 
with all stakeholders. Our Board set about the task of creating a regional monitoring 
program about 15 years ago and today has the only true regional program in the state 
(the SF Bay program, for example, only deals with the estuary, not the entire region). 
Our Central Coast Ambient Monitoring Program, CCAMP has been up and running for 
over ten years and we are constantly improving it. It is instrumental in helping the public 
to understand the quality of our waters. Our CCAMP site has information on the quality 
of our waters: right in the middle of our home page is a button called Ambient 
Monitoring Program, which takes our stakeholders to our CCAMP site: 
http://www.ccamp.org/ . It provides the user with a wealth of data on waters throughout 
our region, both in a quick, at a glance red and green report card format as well as more 
complex graphs with averages and ranges of data. CCAMP is a program and web site 
recognized by some of the nation's leading monitoring experts and data users as the 
best of its kind anywhere. Coastkeeper Alliance wrote recently, "CCAMP has been a 
model for the rest of the state on how to best leverage limited monitoring funds and 
create useful information about the health of Central Coast waters." The Department of 
Fish and Games Office of Spill Prevention and Responses Administrator wrote that, 
"CCAMP has been collecting valuable data that can be used to improve the health of 
our watersheds." The Executive Director of the Coastal Watershed Council wrote two 
years ago, "Over the past nine years, the Coastal Watershed Council has worked 
closely with CCAMP to involve hundreds of volunteers in this important monitoring 
work... CCAMP has received high marks in carrying out the intent of the California 
legislature as passed into law through AB 1429 which addressed monitoring of the 
State's coastal watersheds, AB 982 which addressed among other issues the need for 
comprehensive ongoing water quality monitoring, and AB 1070 which calls for improved 
public access to water quality information. In addition, CCAMP is conducting monitoring 
following stakeholder recommendations expressed in the AB 982 Advisory Group 
Report to the State Water Board." "...the Resources Legacy Foundation has funded 
two projects focused on enhancing monitoring in the Central Coast area... CCAMP data 
provides the foundation for this project with CCAMP's long-term sites providing the 
most important source of watershed trend data." At that same time, the Coastal 
Commission's Water Quality Coordinator, Ross Clark, wrote that, "...the Regional 
Board's CCAMP program has been a strong partner in our regions efforts to integrate 
science with land use policy and the restoration of water quality. Regional Board 



131 



monitoring staff have participated in a number of the regions multi agency water quality 
programs including the Monterey Bay Sanctuary Water Quality Protection Program, the 
Central Coast water Quality Data Synthesis, Analysis and Management Program, and 
the numerous watershed management and citizen monitoring programs established on 
the Central Coast." 

CCAMP has been invaluable in our current assessment for the 303d impaired waters 
list. Thanks to CCAMP tools, we submitted 1 1 ,000 lines of evidence to the State Board 
for our region, an order of magnitude greater than other regions. 

For sewage spills, we have a link to the statewide database of spills, the Sanitary Sewer 
Overflow Reduction Program. For beach warnings, we have had a link in the past but 
we are currently updating our web site. We will again include a link to beach 
information as part of our site remodel. 



4. What is your view of the relationship between the state board and your 

regional board? What type of guidance do you receive from the state board? 

The State Board and our board could have a much closer working relationship. Greater 
knowledge of our region could improve this. When Region 3 decisions are appealed to 
the State Board, the State Board sometimes supports Region 3 decisions. The WQCC 
meetings provide opportunities for coordination and feedback among Board members, 
and the monthly Management Coordinating Meetings helps coordinate the statewide 
management team. We also receive guidance from the State Board on how to best deal 
with the media and therefore communicate with the public, and the State Board 
provides facilitation services through a skilled staff person. We are using her now for 
our agricultural advisory panel meetings. Additionally, our relationship with the State 
Board is reasonably well defined. The State Board sets statewide policy for the regions 
to follow, and the regional boards deal with region specific and watershed specific cases 
that come before us. We determine how to apply statewide policy in individual cases. 
The State Board provides the role of appellate body for those aggrieved by regional 
boards' actions, and that process has been working better in the last couple of years. 

The comments of the Little Hoover Commission have been criticized by some very 
knowledgeable parties, including former members of the SWRCB. One Board member 
(with whom staff of the Commission spoke) has said that the Commission staff had 
already reached conclusions and did not want to hear that knowledgeable former Board 
members disagreed strongly with their opinions and conclusions. 

Finally, it has been my experience that that the public policy experience and enthusiasm 
of SWRCB members directly influences their relationships with the RWQCB's. If 
SWRCB members are dynamic, and are allowed to exercise independence in their 
pursuit of the protection of our water resources, and are permitted to use advocacy in 
their charge by the Governor and the Legislature to advance the public's knowledge of 
water quality issues in California, the relationships between the SWRCB and the 



132 



RWQCB's would greatly improve without the need for legislative intervention. If SWRCB 
members are appointed simply to perpetuate the "status quo", it is very unlikely that the 
Board will ever address issues that are of immediate importance to the Legislature, no 
matter what legislative changes are made. The need for dynamic solutions to our state's 
water problems requires dynamic and articulate Board members who are directed to 
take the needed actions to cure our problems, without political reprisals. Finally, the 
Water Boards appear to have lacked a dynamic legislative advocate for their financial 
independence for a long time. To advance the needed protection to our state's water 
resources, fiscal stability is gravely needed for all of the Water Boards. 



5. How do you balance the board's focus on the permitting process and the 
focus on broad policy issues, such as updating basin plans and setting 
regional priorities? What is the best use of the board's time? 

The best use of the Regional Board's time is to focus on broad policy issues and the 
establishment of clear and concise regulatory frameworks that will guide the processing 
of the unique applications and permits that are filed in Central California. The 
establishment of specific policies by our Board greatly eases the burden on staff in 
processing permit applications. Our goal for healthy aquatic habitat is leading us to a 
basin plan amendment for riparian protection. It's an example of focusing on watershed 
health as a broad policy issue, and then prioritizing a "tool upgrade" like a basin plan 
amendment. The regional priority drives the task, not the other way around. 

The best use of the board's time is to focus on higher order issues, of course. Many of 
our permits are on our consent agenda because the staff have done their job and done 
it well. However, when someone is aggrieved, as is often the case in any regulatory or 
legislative process, they understandably want to "take it to the Board". The Board is 
then available to hear both sides of any dispute and to make a decision to resolve it. 
This is the concept of service and attentiveness to the public's concerns by the 
RWQCBs that remains the greatest achievement of the Porter-Cologne Act. An 
invaluable benefit of our regional board structure is that we are not a department and 
our Board meetings are a regular and available community and public forum. Some 
issues may appear small in the context of our regional priorities, but that little issue may 
be of huge and life-changing importance for that one person, and our Board gives each 
and every individual an opportunity to seek resolution. Our meetings tend to be long 
(frequently two long days) because we do listen to our stakeholders and, more 
importantly, to the general public. We listen, we judge based on our broad experiences, 
we ask follow up questions, and we ask for staff's recommendations to resolve the 
issues. The public that appears before us knows who is making the decisions that affect 
their lives. Our Board members take our responsibilities seriously and with solemn 
concern for the welfare of the citizens of our state. Our forum's benefit and importance 
to those citizens who come before us seeking wise decisions from people familiar with 
the unique circumstances of our region cannot be overstated. 



133 



6. How do the state board and your regional board staff assist you to better 
understand some of the complex issues before you? Do you have any 
suggestions on how the state water board's staff might better assist you? 

The State Board staff currently consists of fewer people than were employed in 1999. 
Further, a vast number of senior State Board staff members have taken retirement in 
the last five years due to increased work loads, financial uncertainties, and diminishing 
staff positions. This "brain drain" at the State Board level demonstrates itself to Regional 
Board members when the newer, although often very bright; SWRCB staff members 
lack even basic knowledge about ongoing issues affecting our Regional Board. Due to 
this problem, we rely heavily on our Regional staff that has not suffered the magnitude 
of personnel changes that the Sacramento office has faced. 

As a result, one of the keys to the effective transference of information to our Board 
members is our staff reports that stand on their own and explain complexities (in plain 
English) of the difficult and often unique issues that we must address on the Central 
Coast. Our Board has placed great importance on the quality of these reports, and our 
staff has clearly risen to our expectations. 

Finally, it should be noted that through the Water Quality Coordinating Committee 
meetings (WQCC), State Board staff assists the board members twice a year with face 
to face briefings and discussions that are very helpful in keeping abreast of evolving 
legislative issues. If we have requests for assistance or suggestions, State Board staff 
has tried to be responsive. As to suggestions regarding the SWRCB, please see my 
comments above. 



7. What is your view on how your board should enforce water quality laws? 
When are fines and penalties appropriate, and when are more informal 
actions necessary? 

The three principal objectives of enforcement should be to: 1) generate knowledge and 
respect in the general community for the regulations that have been adopted to protect 
their water resources, and their health and safety; 2) motivate the wrongful discharger to 
return to compliance; and 3) deter that discharger and others from committing additional 
violations. Water Board enforcement should be designed to get the maximum benefit in 
those three areas from every enforcement action. We deal with a very wide range of 
types of violations, from very minor to very serious. Lumping them all together and then 
comparing enforcement responses can be misleading, if not naive. Most alleged 
violations deserve at least an informal response. For minor violations, a notice of 
violation may be sufficient to bring the discharger into compliance. Even for major 
violations, we usually start the enforcement process with informal actions such as 
Notices of Violations (NOVs) or phone calls. 

Penalties are an effective enforcement tool that regional boards should not hesitate to 
use when warranted. They recover the benefit (and more) that the discharger may have 



134 



i 



gained by the noncompliance, and also provide a highly visible deterrence to other 
dischargers and to the public in general. Penalties are appropriate for major violations 
and for dischargers with records of recurring problems, or those who are willfully 
recalcitrant. However, in the past we have also used minor penalty actions for relatively 
minor violations, such as late reporting, to communicate to all dischargers that we will 
not tolerate willful, malevolent or chronically negligent violations. We found that our 
compliance rate increased dramatically as a result. As with the application of any law, 
firm but fair and compassionate actions by our board must be the cornerstone of our 
conduct. 



8. How do you prioritize your enforcement activities, given current budget 
constraints? 

Our Board has addressed this issue "head on". Every violation gets reviewed by our 
regional enforcement staff. Using criteria from the current enforcement policy, we 
evaluate priority violations further for possible formal enforcement. MMP violations are 
not prioritized since we are required to respond regardless. Violations deemed "Priority" 
according to the policy are reviewed and prioritized considering factors such as the 
nature, extent, and severity of the violation, the toxicity and environmental damage 
caused by a spill or discharge, the past record of the discharger, the discharger's efforts 
to mitigate effects or damage, and economic benefit. Enforcement staff then initiates 
actions against as many of the violators, starting with the highest priority, as we have 
resources to pursue. We advertise our enforcement actions via news releases to try to 
leverage our actions to encourage others' compliance. In every one of our agenda 
packages, we have an enforcement report, and we typically ask staff about certain 
cases in that report, which is one way of seeing the big picture of violations and 
enforcement responses. 



9. Without a current formal .«^fe board policy on enforcement, how does your 
board determine it is consistent in its enforcement practices with other 
regional boards? 

The State Board does have an Enforcement Policy. This older policy, as far as I know, 
has not been rescinded, is still in effect, and we use it as a guide in our enforcement 
actions. Our enforcement staff is actively involved in the statewide enforcement 
roundtable. The roundtable for our senior staff and enforcement staff regularly 
discusses how each region takes enforcement action. The roundtable has been 
working with the state board office of enforcement on the updated policy, which has led 
to many discussions of consistency. We also receive summaries (e.g., Water Board 
news releases) of some of the more significant enforcement actions throughout the 
state, which gives us a bigger picture view of what the other regions are doing in the 
enforcement arena. 

Moreover, as I indicated above, it is naive, particularly when considering the potential 
consequences of seeking criminal prosecutions for violations, to believe that slavish 



135 



enforcement of "consistent" state-wide practices would be appropriate or even meet the 
requirements of laws. 

Regarding the low percentage of completed enforcement actions, our staff reports: 

a. We do a really good job, probably better than other regions, of identifying violations - 
that is, we may simply appear to have a higher number of violations because of better 
reporting. This is due to our cover sheet that dischargers use to self-report violations. 

b. We do a really good job, again probably better than other regions, of making sure all 
violations are in CIWQS (our permit database). If regions only enter violations that 
they've responded to, of course the response percentage is very high. 

c. We have been in the process of switching to a paperless office system, which is an 
endeavor that has huge potential for efficiency increases and a more sustainable way of 
operating. Of course, we have bumps in that road. One of the problems is that we may 
not be catching/recording all of the enforcement actions recently, so our percentage 
would appear to be lower than reality. 

Our enforcement staff is aggressive because they have the support of our Board and 
we enforce on a significant percentage of violations in our region. 



10. How will the board deal with the expiration of the order for irrigated 

agricultural lands this July? If the board extends the current order, will it be 
strengthened in any manner pending the development of new language? 

Our Board must conduct hearings pursuant to our adopted administrative regulations 
before any modifications to any order can be sustained in court. Our Executive Officer 
(EO) presented a status report on the Agricultural Order update at our February 
meeting. Several stakeholders spoke, and a few of them argued vociferously that the 
scope of the revisions should be limited. However, our EO stated that it is appropriate 
to present all options to the Board, covering all water quality aspects of the irrigated 
agriculture issue. In this manner, the update can be as strong and effective as possible 
with a goal of improving our regulation of water quality issues to make as much 
progress as is possible, and still be reasonable with protecting and improving our 
receiving waters that are affected by agricultural discharges. Our Chair directed and 
indicated this is the appropriate approach - to bring the full range of options to the 
Board for consideration (that's the norm with any issue that comes before our Regional 
Board). When the staff brings these issues to the Board in July (which we understand 
will be an extension for only a finite period of time as staff continues its work with the 
many stakeholders), the Board will consider its options and only make a decision after 
conducting a public hearing from all those who address the Board. 



1 1. What types of schedules for compliance does the board envision with the 
new language regulating agricultural discharge? 



136 



As I have indicated above, the law mandates and requires that our Board can only 
make decisions on the order's conten t after a full and complete public hearing has been 
properly noticed and conducted so that comments from all interested parties and 
stakeholders have been allowed and fairly and impartially considered. However, our 
approach with all such issues is typically to try to establish timelines that are as 
aggressive as possible, yet reasonable considering the nature of the problem, and the 
ability of the dischargers to resolve the problems. 



I hope that these answers have been responsive to your questions. Should you wish 
any other information, I will be happy to respond. It is a great honor for me to serve on 
the Regional Board. Please be assured that I take my duties and responsibilities with 
the utmost humility and concern for the protection of the waters of the state of 
California. 



Most Respectfully, 




Russell M. Jeffrie 




137 



Katherine I. Hart 



he%non$es> 

V 



Senate ftui es Committee 

M 2 2009 



Mav 26. 2009 



VIA U.S. AND ELECTRONIC MAIL 

Nettie Sahelhaus 

Senate Rules Committee Appointments Director 

Room 420. State Capitol 

Sacramento. C A 95814 

Re: Responses to Questions from Senate Rules Committee 

Dear Ms. Sahelhaus: 



My responses to Senator Steinberg's questions dated May 4. 2009. are provided below 
following the requisite question. 

Statement ol Goals 

/. Since 2005 when you were first appointed, what have been void- most significant 

accomplishments as a member of (he Central I 'alley Regional Water Quality Control 
Board? What do you hope to accomplish during your current tenure as a member of the 
board'.'' What goals do you have for the board, and how will you accomplish them? How 
i rill you measure i 'our success? 

The most significant accomplishment since I was first appointed to the Board was the 
participation in the hiring of Pamela Creedon as Executive Officer of Region 5. After 
interviewing a number of qualified candidates. Pamela stood out as not only qualified, but 
personally capable of managing not only Board customers, but Board Staff. With Pamela's 
assistance, the Board has seen a positive change in the attitude of Board Staff, dischargers 
and concerned citizens. For instance, a number of Region 5 customers indicate on a regular 
basis that Staff is responsive and helpful, whereas before, that was not necessarily the case. 

Since being elected Board Vice-Chair in 2006. I have worked well with Karl Longley (our 
Board Chair since the same time) in helping to manage Board meetings and hearings to 
ensure the process we provide is open and fair to all parties. I have also emphasized the 
need for our Board to consider Supplemental Environmental Projects or SEPs in the 
communities impacted by water quality violations. 



138 



Ms. Nettie Sablehaus 
May 26. 2009 
Page 2 



In terms of enforcement. Region 5 has clone an admirable job with the meager funds we are 
provided given the size of our region compared to other regions (Region 5 constitutes 45% 
of the State's area). The first meeting 1 ever attended as a Board Member involved the 
administrative hearing on the Hilmar Cheese case. Against the urging of Hilmar Cheese, 
the Board issued the most extensive fine in the history of the Water Boards - S4. 000.000 
against Hilmar Cheese for its water qualit\ violations over the years. 

With respect to regulation of agriculture and dairies. 1 participated in the Board's 
consideration and adoption of the first of its kind Irrigated Lands Program to monitor 
pesticides in surface waters, as well as and General WDRs for 1.600 plus dairies previously 
unregulated in Region 5. to monitor niu'ates and nitrites, among other constituents, in the 
groundwater. 

1 am currently on the Board's Delta subcommittee, which is focusing on a number of 
important issues in Region 5. In particular, the Board is currently processing a TMDL for 
methylmercury for the Delta. In the future. 1 look forward to the consideration this 
TMDL. among others, and desperately hope the Board can find the funding to amend its 
three Basin Plans, all of which are over 30 years old and in dire need of updating due to the 
environmental changes that have occurred over time. 

Whal do you believe are (he most serious problems facing your regional board? 

There are several. However, in an effort to be brief. I'll include only my top four concerns. 

♦ The decline of the Delta, which has been occurring for decades. Most unfortunately, 
there has been a lack of leadership at every governmental level and an inability to 
command the key interested parties to compromise for the good of the Delta and the 
people of California. 

♦ The ever- increasing duty to procure, adopt, and enforce new water quality regulations 
mandated by the state and federal governments without any corresponding funding to hire 
and/or retain qualified and experienced Staff, conduct studies, obtain necessary 
equipment, and carry out enforcement. 

♦ Lack of public knowledge regarding the significance of water, water quality and its effect 
on the environment, discharges, and communities all over California, which stems from a 
lack of environmental education. 

♦ Salt and mercury contamination -problems which will require costh and unpopular 
solutions for which no "quick fix" exists, and for which no one person, group or 
governmental entity (perhaps excepting the Region 5 Board) has taken the lead on 
resolving - despite the fact both issues are (or should be) of statewide concern. 



139 



Ms. Nettie Sablehaus 
May 26. 2009 
Pane 3 



3. How does your board help the public understand the slate of water quality in your region'/ 
Where should the public go for information on water quality issues, such as sewage spills. 
or the overall quality of water in rivers, streams, and the Sacramento-San Joaquin Delta in 
your region'/ 

Our website is user friendly and very informative. Additionally, members of the public can 
call or visit the regional board offices in Fresno. Sacramento or Redding and will be 
directed to a Staff member knowledgeable on the applicable issue. Board Staff is readily 
available and frequently respond to press inquiries regarding water qualitj issues of 
interest. 

State and Regional Board Roles 

The state and regional boards were created nearly four decades ago. In January 2009 the Little 
Hoover Commission issued a report on improving the performance of the slate's water boards. 
One of the findings was that the relationship between the state and regional boards is not well- 
defined. This has led. they believe, to inconsistencies and inefficiencies among boards, an 
inability to set statewide priorities, and a lack of focus by the stale board on holding regional 
boards accountable for clean water outcomes. 

The report also found that there is little focus on clean water outcomes or accountability. 
Regional boards admit they have difficult}' in analyzing watersheds to determine whether their 
programs are protecting and improving water quality. Regional water boards* focus is more on 
issuing permits and determining whether dischargers abide by permits than determining if the 
water is actually getting cleaner. 

Another issue that has been raised in the past, and also discussed in the recent commission 
report, is that many of the issues board members have to deal with are very technical, and a 
number of board members are. basically, volunteers and do not have such formal technical 
experience. 

4. What is your view of the relationship between the state board and your regional board'.' 
What type of guidance do you receive from the slate board'/ 

Originally, 1 understood the Stale Board to be the ""maker of all policy" on key water supply 
and water quality issues. However, over the years. I have sadly come to see the State Board 
as mostly an appeals board for the decisions regional boards make, and purse strings (since 
our budget is determined by the Stale Board). While it would be helpful for the Slate Board 
to take the lead on policy issues concerning mercury, anti-degradation analyses, and other 
pertinent issues, this has not occurred. And. because Region 5 is severely impacted by these 
issues, the Region 5 Board has been required lo move forward with regulation without the 
benefit of the Slate Board's input, and often funding. For instance, mercury contamination 
of Central Valley watersheds and the Delta is widely accepted lo be predominantly a 
"legacy" problem associated with historic mining in ihc Sierra foothills. To solve the 



140 



Ms. Nettie Sablehaus 
May 26. 2009 
Pane 4 



mercury problems in the Delta will require creativity including, for example, an "offset" or 
"trading" program. Several years ago. the Stale Board actually indicated it would develop 
an offset policy, but no such policy has ever been prepared or proposed. I will note. 
however, that the State Board has joined the Central Valley Board in working on the CV- 
SALTS project, as discussed below. 

How do you balance the board's focus on (he permitting process and the focus on broad 
policy issues, such as updating basin plans and selling regional priorities' What is the best 

use of the board's lime.'' 

The Board is tasked with doing a lot more than permitting, updating basin plans and setting 
regional priorities. Balancing the plethora of Board responsibilities is challenging and 
frustrating, especially given the severe budget cuts the Board has experienced over the past 
few years. Our Staff is asked to do more permitting, enforcement, planning, and the like, 
with fewer resources, which is essentially impossible. While permitting is very important, 
issuing new permits with severely outdated basin plans is tantamount to putting the 
proverbial cart before the horse. To me. the Board's top priority should be updating its 
basin plans since they are like a city or county's general plan - the basin plans are the bible 
of water quality, and they set policy. Unfortunately, permitting and enforcement must be 
pursued in order to ensure we are in compliance with the Porter-Cologne and Clean Water 
Acts, and key funding for studies required to do Basin Plan updates just docs not exist. As 
a result, the Board attempts to prioritize the things it can afford (mainly permitting and 
enforcement) or thai it must comply with (e.g.. consent decrees on TMDLs). while key 
policy determinations linger. 

How do the state board and your regional board staff assist yon to better understand some 
of the complex issues before you'.'' Do you have any suggestions on how the slate water 
hoard's staff might better assist you'? 

State and regional board staff, including M.s. Creedon and our wonderful legal counsel, is 
extremely helpful in understanding complex issues. They provide legal and factual 
assistance when requested. 1 would suggest thai the Office of Chief Counsel consider a 
recommendation 1 made when I was first appointed. That is. each newly appointed board 
member of either the state or regional boards should be provided with a packet of 
information on the myriad of laws, policies and regulations we are expected to know and 
apply in our positions as board members. For instance, each new board member should be 
provided with a hard copy of the Porter-Cologne and Clean Water Acts, a copy of the 
Bagley Keene Act and the Office of Chief Counsel's most recent memo on e\ parte 
communications, and How charts on how TMDLs. NPDES. WDRs. and other significant 
processes work. Then, at WQCC (the bi-annual Water Quality Coordinating Committee) 
meetings, there should be workshops of various areas of interest. 



141 



Ms. Nettie Sablehaus 
May 26. 2009 
Page 5 



Enforcement 



In 2005 the Office of the Secretan of Cal'EPA reported to the Legislature on environmental 
enforcement and suggested that the stale and regional water hoards were among the worst 
agencies in enforcing the law. In 2008 the state hoard, in its Strategic Plan 2008- 2012. said it 
would adopt an updated water quality enforcement policy b> December 2008. That enforcement 
policy will now not be adopted until mid to late 2009. On January 1 . 2009. the state board 
published its 2008 enforcement report. Among other things, it showed the number of violations 
that were imposed by regional boards compared to completed enforcement actions. For the four- 
year period from 2005 through 2008. the Central Valley regional water board scored a low of 69 
percent in 2006 and a high of 75 percent in 2005 in wastewater violations compared to 
completed enforcement actions. This is above the average of the nine regional boards. For 
siormwater violations compared to completed enforcement actions, the board scored a low of 95 
percent in 2007 and a high of 99 percent in 2006. This is slightly above the average of the nine 
regional boards. 

In February 2009 the board's executive officer's report showed the backlog of 6.223 mandatory 
minimum penalties enforcement actions, that had not been resolved in the fourth quarter of 2007. 
had been reduced to 2 1 3 one year later. 

~. What is your view on how your hoard should enforce water quality laws'/ When are fines 
and penalties appropriate, and when are more informal actions necessary'.'' 

Water laws should be enforced strictly. All factors permitted to be taken into account under 
the law should be considered. At all times, the laws should be applied equally to 
dischargers. Board Staff carries out enforcement as required by state and federal law. 
Actions are commenced with Notices of Violations, and escalate from there if compliance 
is not achieved within applicable lime frames provided. 

Most of our enforcement actions are informal and have been effective in achieving 
compliance. These actions require less stall' resources. Assessing fines is one of our most 
formal and lime intensive enforcement actions to lake. Historically, fines were reserved for 
recalcitrant violators or \'ov the very egregious noncompliance events (e.g.. spills that cause 
a fish kill or other significantly environmental or human health impacts). Changes to the 
Water Code created mandator) minimum penalties or "MMPs"". and changed this dynamic. 
The Code now specifies that violations must be assessed fines regard/ess of the 
environmental impacts. Most violations are due to ignorance and do not result in 
significant impairment to water quality. While MMPs have resulted in heller compliance 
due to more awareness, processing MMPs is extremely time consuming and staff-intensive. 
Unfortunately, the unintended consequence of MMPs has been to divert valuable and 
limited staff resources away from taking discretionary formal enforcement. In sum. the law- 
requires us to use one of our most heavy-handed and very effective administrative 
enforcement actions (the imposition of fines) for events we would typically hand! just as 
effectively with an informal enforcement action. 



142 



Ms. Nettie Sablehaus 
May 26. 2009 
Page 6 



Without a current formal state board policy on enforcement, how does your hoard 
determine ii is consistent in its enforcement practices with other regional hoards'.' 

The Stale Water Board currently has a statewide Enforcement Policy that was adopted in 
2002. The intent of this Policy is stated as follows: 

It is the policy of the SWRCB that the Boards shall strive to be 
fair, firm and consistent in taking enforcement actions throughout 
the Stale, while recognizing the individual facts of each case. The 
primary goal of this Enforcement Policy is to create a framework 
for identifying and investigating instances of noncompliance, for 
taking enforcement actions that are appropriate in relation lo the 
nature and severity of the violation, and for prioritizing 
enforcement resources to achieve maximum environmental 
benefits. Toward that end. it is the intent of the SWRCB that the 
RWQCBs operate within the framework provided by this Policy. 

The State Board is currently revising its 2002 policy. The 2009 revision will be considered 
by the State Board at its June meeting. The policy has always created a framework to 
improve consistency between the regional boards. Many believe the Boards are not 
consistent because of the variability on the amounts of the liabilities assessed. However, 
because each action is case specific, it is very difficult to establish a one-size-lils all 
approach. Both the current policy and revised policy establish a violation prioritization 
methodology that is followed by all of the Boards. This is needed because there simply arc 
not enough resources lo address every single violation. The revised budget lakes this one 
step further and is proposing a process for the Boards to follow to establish a liability 
amount. If approved this will help, but will not ensure consistency, since the process is still 
subjective and involves different staff and managers with different opinions and ideas of 
severity of violations. 

Another way the Boards are better addressing consistency is through the creation of the 
Office of Enforcement at the State Board. Each regional board has an enforcement 
coordinator that meets with Stale Board Office of Enforcement monthh . I understand from 
Region 5 staff that these meetings include other enforcement staff at the Board offices. 

Region 5 has established a Compliance and Enforcement Section in the Sacramento office, 
as well as a Compliance and Enforcement Unit in the Fresno office. We are evaluating how 
we can do a similar thing in Redding, but thai office may be too small. We also have 
dedicated management to enforcement. Right now our EO serves as the lead prosecutor. 
Region 5 Staff has internal enforcement meetings on a month.lv basis. 



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Ms. Nellie Sableliaus 
Mas 26. 2009 
Pane 7 



Having management and staff dedicated to enforcement in our offices greatly improves our 
consistency within the Central Valley and helps improve our consistency with the other 
Boards as well. 

°. How do you prioritize your enforcement activities 'given current budget constraints? 

See the answer to Question 8. Region 5 Stall use an internal roundtable group to establish 
the priorities for enforcement. It is my understanding that Region 5 Staff will begin 
working with Reed Sato, the Director of Office of Enforcement at the State Board, to help 
in prioritizing Region 5"s enforcement actions. Further, our EO will be scheduling a time 
for her and a few Staff to travel to San Diego to meet with Staff there to learn how Region 5 
can model its prioritization program after theirs, since it has been very effective. 

10. Does your board have any lessons for other regional hoards on the way you resolved the 
6,000-plus mandatory minimum penalties enforcement actions'/ 

Put a determined and focused staff member in charge of them and prioritize your backlog. 
Shortly after we initialed our efforts. Dorothy Rice created a statewide MMP Initiative to 
reduce the backlog statewide. This helped Region 5 reinforce our focus and efforts. Board 
Staff indicates they achieved this by: 1 ) cleaning our database to make sure reported data 
was accurate: 2) creating a record of violations that was rev iewed by Staff and the 
discharger to make sure the data and calculated violations were accurate and correct and 
resolved all differences before the MMP was issued. 

Importantly, ii should be noted that our MMP initiative came with a price. The Region 5 
Board has not been able to do as much discretionary enforcement, although we have still 
done quite a bit. Members of the public and their elected representatives need to 
understand that all regional boards have undergone significant budget cuts over the past 
years. As a result, enforcement gets prioritized. Each regional board must make a policy 
decision on what type(s) of enforcement it wants to pursue. This is true for many pertinent 
issues at the regional boards (e.g.. funding TMDLs to funding Basin Plan Amendments). 

Irrigated Agricultural Lands — Waiver of Discharge Requirements 

In 2003 the board adopted a conditional waiver of waste discharge requirements for 
discharges from irrigated agricultural lands. As part of the 2003 waiver program, the board 
directed Staff to prepare an Environmental Impact Report for a long-term irrigated lands 
regulatory program. The 2003 interim waiver program was set to expire in 2006. In 2006 
the board adopted a new conditional waiver for discharges from irrigated agricultural lands 
thai continued the 2003 interim program until 201 1 . 



144 



Ms. Nctiie Sablehaus 
May 26. 2009 
Page 8 

i J. How is your board progressing in developing a long-term irrigated lands regulatory 
program for agriculture? Will die program be ready by (he lime die current conditional 
waiver expires in 201 1? 

The Board is progressing well. The Board has formed a facilitated stakeholder process to 
develop the long-term program alternatives to be considered by the Board. Sacramento 
Stale University's Center for Collaborative Policy is facilitating the stakeholder process. 
The stakeholder group is comprised of representatives from the agricultural industry, 
environmental justice community, the Native American community, and the California 
Sport Fishing Protection Alliance. Our EO informs me Staff is on schedule to have the 
Board consider the alternatives at its December 2009 meeting so the new regulator) tool is 
presented to the State Water Board by 201 1 as planned. 

12. Last year, agricultural interests objected to die addition of the regulation of groundwater in 
addition to surface waters in the review process. Is your staff still reviewing lite issues of 
contamination to both groundwater and surface waters? 

Yes. 

Salinity Management in the Central Valley 

One of the most pressing problems in the central valley is the buildup of salt in both surface 
water and groundwater. While some salts occur naturally, others are discharged into water as a 
result of food processing — everything from tomatoes to cheese, fertilizer application, and 
wastewater treatment. In high concentrations, salt can kill crops and cause deformities in 
animals, among other problems. The Central Valley regional board is developing a salinity 
management plan that will take several years to finalize. 

On March 20. 2009. L'.C. Davis released a report. Final Report on the Economic Impacts of 
Central Valley Salinity, which estimated that the state could see a reduction of goods and 
services of between $5 billion and S8.7 billion, and a loss of jobs of between 34.000 and 64.000. 
if salinity continues to increase at current rales in the central valley. 

13. How is the development of the board's salinity management plan proceeding? When will 
the plan be ready for adoption'.' 

First. I'd like to clarity thai the UC Davis report estimated the stated losses only //there are 
no changes in current policy, which in my mind is highly unlikeh given ihe clear 
understanding of the dire consequences if we don't change current policy. 

With thai said, the Central Valley and State Boards have initiated the Central Vallev 
Salinity Alternatives for Long-Term Sustainabilit) or CV-SALTS program, which is ;i 
comprehensive basin planning efl~ov\ aimed ai developing and implementing a 
comprehensive salinity and nitrate management program. A policy group and committees 



145 



Ms. Nettie Sablehaus 
May 26. 2009 
Page 9 



of the policy group have been formed to work with Staff and interested stakeholders to 
prepare a regional salt and nitrate management plan for the Central Valley and Delta. To 
the State Board's credit, it has provided the program with significant funding. 

Based on die websites identified below, it appears a finalized and environmentally studied 
program would be proposed to the Board for consideration in or about October 2014. 
Given the CV-SALTS program is stakeholder-funded process, much of the progress will 
depend on the available funding. 

Further detailed information on the CV-SALTS program can be found at 
www.swreb.ca.i20v/rwqch5 \vater_issues sal i nils' 'indes.shtml and cvsalinitv.oru . 

/-/. How will the board incorporate the findings of the L '.('. Davis report on the economic 
impact of salinity in the Central I alley into the salinity management plan? 

The Board set up a Policy Group and its committees to work out the details of the plan and 
provide the Board with a complete plan for consideration. 1 expect the Policy Group will 
incorporate the information from the UC Davis study into the management plan as 
appropriate and our Board will consider that at the time the proposed plan comes before us 
for consideration. 

Dairy Pollution 

There are over 1 .500 dairies in the Central Valley that are contributing to both air and water 
pollution. While the method of flushing dairy waste into lagoons has some benefits for air 
pollution, it increases the leaching of pollutants into the groundwater. Last October. Karl 
Longley, chair of your board, told a meeting of regional and state board members the Central 
Valle) regional water board would have lo step up its water quality monitoring because lagoons 
contribute nutrients lo groundwater. 

15. What type of increased monitoring for dairy groundwater pollution is expected? When will 
ii he in place? 

The General Dairy Order (Order) was issued by the Central Valley Board in May 2007. It 
was and is the first comprehensive water quality regulator) program to be issued to the 
dairy industry in the Central Valley, h is a comprehensive order that regulates discharge of 
waste from nearh all of the 1600 existing dairies in the Central Valley. The Order focuses 
on groundwater by prohibiting the discharge of dairy waste to surface waters. It protects 
groundwater by requiring comprehensive waste and nutrient management plans to he 
developed, and establishes an extensive monitoring and reporting program. The Order was 
issued pursuant to the State's Porter-Cologne Act and is more protective of surface water 
and ground water quality than the federal regulations for confined animal feeding 
operations. To be very clear, the Order prohibits the discharge of animal waste to surface 
waters from the dairies and associated croplands. 



146 



M.s. Nettie Sablehaus 
May 26. 2009 
Paee 10 



Through the Order, the Board developed a regulatory program that was aggressive yet 
achievable not only for the industry, but also for regulatory Staff required to monitor and 
enforce die program and for the support system (labs, consultants, etc.) used by die dairy 
industry lo ensure compliance with the Order. Implementation and compliance with die 
Oiiler was done in a phased approach with the early phase focusing on the largest sources 
of nitrates lo groundwater and implementing changes to waste and nutrient practices at each 
dairy to significant!} reduce or eliminate over-application of waste and nutrients to land. 

Cropland is usually the largest contributing source of nitrates to groundwater. Therefore. 
the early phase of the Order focuses on: 1 ) assessing a dairy in terms of waste generation: 
practices and disposal capacity; 2) educating the dairy industry on proper practices and how 
to comply with the Order: 3) developing and implementing nutrient management plans to 
significantly reduce the loading of nitrates to crop lands by requiring wastes not lo be 
applied in quantities that exceed the nutrient uptake of the plants: 4) conducting extensive 
field and crop monitoring to ensure the nutrient management plan is effective; and 5) 
developing and implementing a waste management plan that will manage and protect 
waters from wastes generated in the processing areas of a dairy. In addition to addressing 
crop land and processing areas in the early phase, the Order establishes requirements for 
existing dairy lagoons and directs dairies to monitor am discharges to surface water if and 
when they occur, and groundwater. 

As part of the waste management evaluation, the Order requires dairies to provide an 
engineering evaluation of existing lagoons and propose and implement approved remedial 
measures when groundwater monitoring demonstrates that the existing lagoon has 
adversely impacted groundwater quality. In addition, all existing lagoons that are expanded 
or any new lagoons constructed at an existing dairy must meet very stringent design criteria 
established in the Order. 

Groundwater monitoring is the primary mechanism used by the Board to determine if an 
existing lagoon has impacted groundwater quality. However, the Board found that it was 
impractical lo require all 1600 existing dairies to install monitoring wells within a short 
time period due to the limited number of professionals available to design and install 
groundwater monitoring systems and the limited Staff lo review monitoring well 
installation and sampling plans. The Board fell it was more prudent to prioritize and phase 
its efforts to determine the existing groundwater conditions at each dairy within the shortest 
time period. To do this the Order required each dairy lo sample all domestic and 
agricultural wells present at the dairy and discharges from any subsurface (tile) drains. 



To determine which dairies should be required lo install monitoring wells, the Order 
established a decision matrix. The prioritization scheme evaluates 10 different factors 
including: concentration of nitrate in data collected: proximity of the lagoon to private or 
public drinking water wells: the number of crops grown per year at a site: other 
environmental monitoring program data that may be available: and other factors. The 



147 



Ms. Netlie Sablehaus 
May 26. 2009 
Paee 1 1 



Order anticipated the Board will phase in groundwater monitoring at approximately 100 to 
200 dairies per year. 

The first submittal of groundwater data was required to be submitted in a report due by July 
1, 2008. The Board received over 95 percent of all the reports due on that data. Of thai 
percentage. 90 percent of all the dairies with groundwater wells and tile drains submitted 
groundwater monitoring data. Board Staff is pursuing enforcement against sites that have 
failed to provide information required by the Order. The next annual report with additional 
groundwater data is required to be submitted on July 1. 2009. Staff has been compiling this 
information to determine which dairies will be required to install monitoring wells. 

The Board has not yet required the llrst set of dairies to install monitoring wells. At the 
hearing to adopt the Order all interested and designated parties testified to the Board 
expressing concerns regarding the ground water monitoring program being proposed in the 
Order. Depending on the individual testifying, the monitoring program was either loo 
rigorous, or not strict enough. To avoid delaying adoption of the Order, the Board adopted 
the MRP as proposed to ensure the monitoring requirements were initialed, including the 
sampling of source and irrigation wells and directed Staff to reconvene a stakeholder group 
lo propose a revised monitoring plan. Board Staff has been through several meetings with 
the stakeholders regarding possible alternatives to groundwater monitoring at dairies, yet no 
viable alternative has been established. In the absence of a viable alternative, the Board 
will continue to implement the monitoring plan as adopted by it in 2007 and plans to issue 
directives to the first 100 to 200 dairies that must conduct monitoring by January 1. 2010. 

Some have been critical of the Board's apparent "lack" of action regarding the dairy 
program. Region 5 currently has 16 Staff sittiated in three offices to administer, monitor 
and enforce nearly 1600 existing dairies. I understand from Pamela Creedon that in 
addition lo administration of the current General Order. Staff has also been issuing 
individual dairy orders, drafting a general NPDES Permit for dairies subject to the federal 
rules (there are very few), and inspecting and enforcing the requirements of the General 
Order, in 2008 Region 5 Staff accomplished the following: 

Dialled 1 1 Individual Orders, all adopted by the Board 

Conducted 1 50 site inspections 

Issued 15 Notices of Violation 

Issued three Administrative Civil Liability complaints, which have all 

been settled 

Additionally. Staff advises me that compliance with the current General Order has been 
excellent. To date the compliance has been exceptional for such a new regulatory program: 

Over 99% of reports due in December 2007 were received on time 

Over 95% of reports due in July 2008 were received on lime 

Over 98% of the reports due in December 2008 were received on lime 



148 



Ms. Nettie Sablehaus 
May 26. 2009 
Paae 12 



In addition lo administering and enforcing tlic General Order requirements. Staff has been 
working with CalEPA and California Department of Food and Agriculture (CDFA) on 
developing permits for methane digesters. Digesters could be an effective tool to dispose of 
dairy wastes in a manner that will protect both air and water quality and will generate 
renewable energy for use on and off dairy farms. 

Also Staff as assembled a Technical Advisory Committee (TAC) to assist it in evaluating 
compliance with the General Order, and provide information to agencies responsible for 
food safety. The TAC contains representatives from the CDFA. California Department of 
Public Health. State Water Resources Control Board, and the Western Institute for Food 
Safety and Security at UC Davis. Goals for the TAC include working with farmers and 
food processors to develop best management practices for use of dairy wastes and educate 
dischargers to minimize risks. 

In sum. the Region 5 Board and its Staff are committed to implementing the General Order 
and to protecting surface and ground waters of the State. 

16. How does the board plan lo deal with the issue of water pollution hy dairies'.' What type of 
new technologies, like digesters, is the board looking at? How can your board work with 
/he local air pollution control district lo make sure that the reduction of one type of 
pollution — air vs. water — doesn't increase another'.' 

The General Order addresses the historic practice of over applying wastes to land. 
Implementation of an effective Nutrient Management Plan that will protect and help restore 
groundwater. Moreover, the Order prohibits of dairy wastes to our surface waters. The 
Board recognizes it must continue to work with sister state and federal agencies and 
industry to find alternative solutions for dairy- wastes. As noted above, our early efforts 
have been directed towards digesters. We focused on digesters because of competing 
regulations between protecting air quality and water quality. Many practices that could be 
implemented at a dairy to protect air are the very practices we are trying lo address in the 
Order. For instances, the use of waters in flushing stalls and the lagoons are effective in 
protecting air quality, yet may be harmful to groundwater. Methane digesters present a 
potential solution for this dilemma: however, waste streams from the digesters must be 
handled and the wastes still contain constituents of concerns - salts and nitrates. Some 
digesters simply involve covering existing lagoons. This is the least efficient form of a 
digester but it does not involve receiving a regulator) permit from our Board since it simply 
covers an existing lagoon. The existing threat to groundwater exists but adding a cover 
does not make it any worse of a problem. The concept of co-digestion of dairy wastes with 
other "green" wastes is an option our Board Staff would like to pursue. This would include 
the construction of above ground digesters (potential to eliminate lagoons) and would mix 
the manure with food processing or production wastes. This would boost the energy 
generated by the digester and could produce sufficient gas or energy that it could become a 
revenue stream. To build an above-ground unit does require a permit from our board. Staff 



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Ms. Nettie Sablehaus 

May 26. 2009 
Page 13 



is looking inlo developing a region-wide general permit for above-ground dairy co- 
digestion units. To issue a permit we must fully comply with CEQA and the Stale Board's 
Anti-degradation Policv. 



Thank you for the opportunity to respond to Senator Steinberg's inquiries. If you should need 
any additional information or have supplemental questions, please do not hesitate to contact me. 

Verv truly yours. 




150 



151 



Thomas Da vi' 5 



June2, 2009 



Senator Darrell Steinberg 
Chairman, Senate Rules Committee 

ATTN: Nettie Sabellhaus, Rules Committee 

Appointments Director SfflHrts I&?Jes r^gnmittc^ 

State Capitol 

Room 420 || if v > , y 

Sacramento, CA 95814-4900 

Dear Senator Steinberg: A PP^W*E*£m& 

Please find below my responses to the questions related to the Senate Rules 
Committee Confirmation Hearing for my reappointment as a member of the Colorado 
River Basin Regional Water Quality Control Board on July 8, 2009. Also attached per 
your request is an updated form 700, Statement of Economic Interest. 

Statement of Goals: 

1 . Since you were first appointed, what have been your most significant 
accomplishments as a member of the Colorado River Basin Regional Water 
Quality Control Board? What do you hope to accomplish during your current 
tenure as a member of the board? How will you measure your success? 

My most significant accomplishments to date have been to encourage and 
assist the Regional Water Quality Board staff to seek practical solutions to 
potential violations and/or judicial matters. Also, I believe the entire Board 
has worked diligently to protect and monitor water quality impacts to the New 
River, Salton Sea and the Basin's Groundwater. During my upcoming tenure 
I hope to see greater enhancement and protection of groundwater resources 
through creative treatment processes, conversion of septic systems and other 
means. Also, I will continue to seek improvement to the Salton Sea water 
quality. Success will be measured through cooperative programs and 
agreements like the Yucca Valley/Hi Desert MO A and implementation of the 
objectives of the Colorado River Basin Plan. 

2. What do you believe are the most serious problems facing your regional 
board? 

The Colorado River Basin is critically dependent upon groundwater and of 
course, the Colorado River. My primary concern is the threat to the 
groundwater basin water quality from both pollutants and inferior re-charge. 



152 



How does your board help the public understand the state of water quality in 
your region? Where should the public go for information on water quality 
issues, such as sewage spills or the overall quality of water in rivers and 
streams? 

The staff provides regular water quality updates during the board meetings 
and other public outreach events as well as providing extensive information 
through its website. It is my understanding that from time to time, staff holds 
public workshops on various specific issues. 

I have found that, first, accessing the Regional Board website is an excellent 
information source. Direct contact with the staff at their Palm Desert office is 
also highly advisable. I have found our Regional Board staff to be very 
helpful in providing public information. Staff also participates in various public 
outreach and educational events. 

Your board posted the executive officer's report, the report used to inform 
board members and the public on what is happening on issues of concern to 
the board, on the board's Web site from 2000 to September 2005. Why has 
this been discontinued? 

The Executive Officer's reports are now within the minutes of the Regional 
Board Meeting's located on the Board's website. 



Public Understanding of Water Quality Issues 

5. Why do you believe the board's Web site is not kept up to date? Do you 
believe that the board's Web site can provide the public with needed 
information? 

This is the first I have heard that the website is not up-to-date. There are 
normal delays in posting information on the Website. I will look into this 
further. 

It is my understanding that it takes one or two months from the collection of 
the field samples until posting on the Regional Board website. It is also my 
understanding that the Regional Board has limited resources and, as such, it 
makes the funding of an in-house Web Master a luxury beyond our financial 
reach. When items need posting on the web, they are sent to the SWRCB 
Web Master in Sacramento for posting. 

6. What type of information do you think should be provided to the public on the 
board's Web site? 

Notice of agendas, agenda content and meeting minutes are at a minimum 
for public information. Major Board policies and programs such as the "Water 
Quality Control Plan - Colorado River Basin - Region 7" are also informative 
and important information for the public and the regulated community 



153 



State and Regional Board Roles 

7. What is your view of the relationship between the state board and your 
regional board? What type of guidance do you receive from the state board? 

/ have been on the Board only 18 months and I have seen a very cooperative 
working relationship between the State Board and the Regional Board. It is 
my understanding, due to the current budget crisis, that the future work of the 
Region and State Board will be affected significantly.. 

8. How do you balance the board's focus on the permitting process and the 
focus on broad policy issues, such as updating basin plans and setting 
regional priorities? What is the best use of the board's time? 

The Regional Board has continually directed staff to negotiate with 
dischargers with the overarching goal of developing for the Board's 
consideration for adoption, uncontested permitsAA/aste Discharge 
Requirements (WDRs) that are protective of water quality. Regional Board 
staff does an excellent job of resolving most discharger issues before they 
come to the Board. This approach avoids the Board expending large 
amounts of time on disputed matters that are often highly technical. By 
directing staff to try and reach agreement on permitting matters, the Board 
can consider broader issues such as rulemaking that may involve multiple 
stakeholders and presentations. This is the best use of the Board's time. 

9. How do the state board and your regional board staff assist you to better 
understand some of the complex issues before you? Do you have any 
suggestions on how the state water board's staff might better assist you? 

The Regional Board staff has been extremely helpful in providing information 
and source material to understand the issues of the region and the challenges 
of the Board. State Board staff and counsel have also been extremely helpful 
and supportive. An example is the recent conference held in Chino Hills that 
was sponsored by the State Water Resources Control Board. 

The Regional Board provides extensive and informative Board packets and 
provides any pertinent correspondence in a timely manner. 

The Office of Chief Counsel has been particularly responsive to me and the 
Regional Board and has provided extensive information related to ethics, 
conflicts of interest, Ex Parte communications as well as our two different 
roles in adjudicatory and quasi-legislative actions. 

I particularly find the regular statewide conferences on water quality issues a 
great benefit from a refreshment and update standpoint. 



Enforcement 

10. What is your view on how your board should enforce water quality laws? 



154 



When are fines and penalties appropriate, and when are more informal 
actions necessary? 

Enforcement of water quality taws is of the highest priority for the Regional 
Board. The Regional Board must make reasonable appropriate action and 
must be consistent. Early contact with the dischargers informally, followed by 
written Notices of Violations result in many dischargers making the necessary 
improvements voluntarily. The Board often considers adopting Time 
Schedule Orders (TSO). The TSO allows the discharger to make the 
appropriate fixes without generating more Mandatory Minimum Penalties 
(MMPs) in the interim. 

1 1 . Without a current formal state board policy on enforcement, how does your 
board determine it is consistent in its enforcement practices with other 
regional boards? 

Consistency with other Regional Boards is provided by the SWRCB Office of 
Enforcement, which provides prosecutorial services to the Regional Board 
statewide. It is my understanding that the Board staff regularly communicates 
with other Regional Board staff and State Board staff and counsel for 
consistency in enforcement actions. 

The Board has created an Enforcement Unit to prioritize enforcement and 
ensure the State Board's Water Quality Enforcement Policy is applied 
consistently, predictably, and in a timely manner. 

12. How do you prioritize your enforcement activities given current budget 
constraints? 

All State agencies are challenged by the recent budget crisis. We have to 
rely on staff to provide guidance on prioritization and the Board will assist and 
direct staff as needed to establish these priorities. 



Septic Rule 

13. Has the state board articulated a role for the regional boards in implementing 
this rule? 

It is my understanding that due to a large number of stakeholders throughout 
the State taking issue with the proposed Rule, the SWRCB is rewriting the 
Rule for consideration at a later date. The proposed regulations are mostly 
self- implementing, requiring actions by the property owners. Oversight is 
provided by the State and Regional Boards along with local agencies for 
citing and compliance. 

14. How does the board intend to monitor, enforce, and improve septic systems 
that contribute to surface and groundwater pollution? 

Through legislation, Basin Plan Amendments and Board Resolutions, the 
Board relies on the staff and the water agencies within the basin to monitor 



155 



systems and the groundwater. The Board regulates septic systems with 
design flows above 5,000 gallons per day. The Board promotes sewering 
and construction of public treatment systems and private small scale package 
systems in areas with a high density of septic systems. 



New River Pollution 

1 5. What progress has been made, and what types of water quality impairments 
still exist? What needs to be done to address the remaining water quality 
impairments in the New River? 

Las Arenitas WWTP has eliminated the 15-20 million gallons per day of raw 
sewage that were routinely present in the New River at the Border. Further, 
Regional Board monitoring data show that New River bacteria were 
significantly reduced by about 10-fold, and that volatile organic compounds 
were reduced to below detection limits as a result of Las Arenitas. The 
dissolved oxygen in the River at the border has also improved. Also, the 
b in ational projects and WWTP have reduced the nutrient loading into the 
Salton Sea by about 20%. 

There are still significant issues here. There are still New River water quality 
impairments at the Border caused by trash and non-point sources of pollution 
in Mexicali. The Regional Board continues to work with our Federal agencies 
to ensure additional measures are taken to address these impairments and 
sources of pollution. 



Salton Sea 

16. How does the board monitor Salton Sea water quality issues? 

The Regional Board monitors the Salton Sea at special locations through its 
Surface Water Ambient Monitoring Program. It also pehodicaliy monitors the 
quality of the Sea's main tributaries through TMDLs. The Regional Board 
requires the Imperial Irrigation District to monitor the quality of agricultural 
runoff in the Imperial Valley drains. 

17. How does the board plan to deal with restoration of the Salton Sea? What 
role can federal stimulus money play in the restoration effort? 

The restoration of the Salton Sea is statewide and federal issue that goes far 
beyond what the Regional Board can do. The Regional Board only plays a 
regulatory role regarding Salton Sea restoration activities. In this capacity the 
Regional Board develops and implements TMDLs to address water quality 
impairments of the Sea 's main tributaries; fully implements its core regulatory 
programs (e.g., NPDES Program) to control pollution from point sources; and 
provides regulatory guidance and technical support. Federal stimulus money 
could be used to undertake some of the early activities recommended by the 
Resources Agency and begin the restoration of the Sea. I urge the state to 
work in cooperation with the Federal Government to initiate restoration of the 



156 



Salton Sea. 



I hope you find my responses sufficient. Please contact me if you require any additional 
information. 




THOMAS J. DAVIS 



157 



Jeffrey A. Hays 6 _ j 9 . 2 oo9 

Statement of Goals 

1 . Since you were first appointed, what have been your most significant accomplishments 
as a member of the Colorado River Basin Regional Water Quality Control Board 

• Work related to the Topock, CA hexavalent-chromium contamination clean 
up project. 

• Re-evaluation and coordination with Coachella Valley Water District on e- 
coli testing methods in Whitewater storm channel. 

• Overall cohesive board relationship with positive interaction with staff. 

What do you hope to accomplish during your current tenure as a member of the board? 

Continue representing the industrial/commercial and economic development 
concerns for compliance with water quality issues and reasonable and effective 
enforcement. Increased education and cooperation between the Board and 
permittees and cohesive board membership. 

How will you measure your success? 

Compliance with reporting standards for EPA and CAL EPA. 
Improvements in water quality for non compliant identified water bodies 
Reduced conflict with permittees when enforcement actions or new standards 
are implemented. 

2. What do you believe are the most serious problems facing your regional board? 

Lack of funding for staff and resources proportionate to the volume of 
compliance activities necessary for such a broad and diverse region. 

The prolonged efforts to address a resolution to the Salton Sea Restoration 
Plan. 

Increased impacts to water quality due to urban build up in the Coachella 
Valley and the peripheral impacts of water transfers out of the region to 
support larger metropolitan areas. 

3. How does your board help the public understand the state of water quality in your 
region? 

Through staff and management's excellent work to be proactive with the public and 
permittees, addressing concerns and alleviating questions. Providing work shops and 
other interactive meetings to address and receive input regarding methodology of 

Seuaie Mssies Committee 

JUN : : 7m 

h. *s ■„' •. 

Appointments 



Jeffrey A. Hays 6-19-2009 

standards and the scientific measurement systems. Extended effort to provide access 
to documentation and meeting with constituents answer specific questions they have. 

Where should the public go for information on water quality issues, such as sewage 
spills or the overall quality of water in rivers and streams? 

Utilize the regional board's website or direct inquiries to staff. This is a 
valuable tool with appropriate links to related information and other resources. 

4. Your board posted the executive officer's report, the report used to inform board 
members and the public on what is happening on issues of concern to the board, on 
the board's Web site from 2000 to September 2005. Why has this been discontinued? 

This report is included within the Board minutes on the Region's website. 

Public Understanding of Water Quality Issues 

Last year the Rules Committee asked how the board helps the public understand the state 
of water quality issues in your region. Board members responded that the staff provides 
regular water quality updates during board meetings. If members of the public cannot attend 
a board meeting they are left with trying to obtain information on the board's Web site. A 
review of the Web site shows that the Executive Officer Reports, which provide such 
updates, stops in 2005. In addition, on the home page various water quality subject areas 
are listed. One of them, the New River/Mexicali Sanitation program has a document on the 
historical overview of the New River water quality problems that is over ten years old, and 
an introduction to the New River/Mexicali Sanitation Program that is listed as being updated 
last May 1 , 2008, but the information states that the completion of the Las Arenitas 
wastewater treatment plant and its main sewage line is scheduled for 2006. That 
wastewater plant has been up and running for over a year. 

5. Why do you believe the board's Web site is not kept up to date? Do you believe that 
the board's Web site can provide the public with needed information? 

Do not believe it is out of date considering reasonable demands on staff time and 
the availability of the information in a effective format for publishing. 

6. What type of information do you think should be provided to the public on the board's 
Web site? 

Information, background and updates on ongoing projects within the region. 
Public notices for comments on upcoming projects or plans. 
Agendas and minutes of board meetings and workshops. 
Links to other environmental resources. 



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Jeffrey A. Hays 6 . ! 9.2009 

State and Regional Board Roles 

The state and regional boards were created nearly four decades ago. In January 2009, the 
Little Hoover Commission issued a report on improving the performance of the state's water 
boards. One of the findings was that the relationship between the state and regional boards 
is not well-defined. This has led, they believe, to inconsistencies and inefficiencies among 
boards, an inability to set statewide priorities, and a lack of focus by the state board on 
holding regional boards accountable for clean water outcomes. 

The report also found that there is little focus on clean water outcomes or accountability. 
Regional boards admit they have difficulty in analyzing watersheds to determine whether 
their programs are protecting and improving water quality. Regional water boards' focus is 
more on issuing permits and determining whether dischargers abide by permits than 
determining if the water is actually getting cleaner. 

Another issue that has been raised in the past, and also discussed in the recent commission 
report, is that many of the issues board members have to deal with are very technical, and a 
number of board members are, basically, volunteers and do not have such formal technical 
experience. 

7. What is your view of the relationship between the state board and your regional board? 

Subordinate in policy making and compliance with direct feedback on region 
specific issues. Direct working relationship is somewhat extended but 
recognize ongoing efforts to bring regional boards together for education and 
interaction on policies. 

What type of guidance do you receive from the state board? 

As a board member I receive little guidance other than updates through our 
representative counsel. Most guidance is technical compliance usually 
directed through staff or management. 

8. How do you balance the board's focus on the permitting process and the focus on 
broad policy issues, such as updating basin plans and setting regional priorities? 

The specifics of permitting and compliance is the priority consideration as it 
addresses the actual water quality conditions and ultimate public benefit. This 
is a staff driven regulatory effort with little board input other that disputes or 
approvals. The broad policy issues although also staff driven in development 
reflect the objectives of the board's vision and therefore critical to achieving long 
term goals for water quality. 

What is the best use of the board's time? 



160 



Jeffrey A. Hays 6-19-2009 

It is a balance of both. The routine accessibility to the board by the public and 
permittees provides the opportunity to address concerns, questions or 
appreciation for the efforts in achieving water quality. Its also through that 
interaction and accessibility that public input can help shape the future 
policies or methods for implementation. 

9. How do the state board and your regional board staff assist you to better understand 
some of the complex issues before you? 

The regional board staff provide an excellent board packet with detailed 
information in adequate time to review and make inquiries on general or 
technical issue complemented with well verses presentations before any critical 
vote is required. 

The greatest asset is the our legal liaison from the State Board who helps guide 
the board through the legal and bureaucratic standards that may or may not limit 
the range of our authority in policy or regulatory actions. 

Do you have any suggestions on how the state water board's staff might better assist you? 

An introductory orientation or background on roles and the hierarchy of rule 
making and legal compliance would greatly assist new and existing board 
members. 



Enforcement 

In 2005 th* Office of the Secretary of ,Cal/EPA reported to the Legislature on environmental 
enforcement and suggested that the state and regional water boards were among the worst 
agencies in enforcing the law. In 2008 the state board, in its Strategic Plan 2006-2012, said 
it would adopt an updated water quality enforcement policy by December 2008. That 
enforcement policy will now not be adopted until mid to late 2009. On January 1 , 2009, the 
state board published its 2008 enforcement report. Among other things, it showed the 
number of violations that were imposed by regional boards compared to completed 
enforcement actions. For the four-year period from 2005 through 2008, the Colorado River 
Basin regional water board scored a low of 91 percent in 2005 and a high of 99 percent in 
2006 and 2008 in wastewater violations compared to completed enforcement actions. This 
is well above the average of the nine regional boards. For stormwater violations compared 
to completed enforcement actions, the board scored a low of 98 percent in 2007 and a high 
of 100 percent in 2005 and 2006. This is well above the average of the nine regional 
boards. 

10. What is your view on how your board should enforce water quality laws? 



161 



Jeffrey A. Hays 



6-19-2009 



Strong and timely notices for enforcement is critical to prevent extended none 
compliance. However, mandatory fines without concern for cause or scale of 
impact can cause further problems for small rural systems. Understanding we 
can authorize portions of fines to be redirected back into compliance projects, 
the board should be allowed some discretion based on extenuating 
circumstances. 

When are fines and penalties appropriate, and when are more informal actions necessary? 
Fines and penalties are appropriate when mishaps or operational procedures fail and 
are without malice or negligence of the operators. Formal actions are necessary 
when a system or its management is clearly negligent or ignoring its responsibilities 
under their permit. 

11. Without a current formal state board policy on enforcement, how does your board 
determine it is consistent in its enforcement practices with other regional boards? 

We utilize the existing 2002 policies as platform for our enforcement strategy 
complemented with the consistency in support by the State's Office of 
Enforcement. 

12. How do you prioritize your enforcement activities given current budget constraints? 

Preference towards prompt responses and actions to address non compliant 
systems or elements promotes efficiency in program enforcement. 

Septic Rule 

AB 885 (Jackson), Chapter 781, Statutes of 2000, requires the state board to develop, 
adopt, and implement statewide regulations for permitting and operation of on-site 
wastewater treatment systems (OWTS), commonly referred to as the "Septic Rule." This 
statewide rule for septic systems has been one of the most commented on proposed 
regulations and has seen overflow crowds at public meetings. 

13. Has the state board articulated a role for the regional boards in implementing this rule? 

It appears the proposed regulations would implemented via the individual 
property owners with oversight by the Boards and other local agencies. 

14. How does the board intend to monitor, enforce, and improve septic systems that 
contribute to surface and groundwater pollution? 

Utilizing basin plan amendments, to incorporate the potential standards which 
are below those currently regulated. New developments are encouraged to 



162 



Jeffrey A. Hays 6-1 9-2009 

construct or connect to public systems and or utilize an approved packaged 
system for higher density developments. 

New River Pollution 

The New River flows north from Mexicali, Mexico, into the United States, just west of 
Calexico. The river has been called the most polluted river in the United States, with raw 
sewage and industrial waste being discharged into the Mexican portion of the river. 
In 1 998 the regional water board said that the beneficial uses of the New River were 
impaired by bacteria, volatile organic compounds, nutrients, silt, and pesticides. Two 
projects in Mexico were developed— Mexicali I and Mexicali II. Mexicali I, which added and 
upgraded sewage collectors, was completed in 2004. Mexicali II added a 20 million gallon- 
per-day wastewater treatment plant, which is now online. 

1 5. What progress has been made, and what types of water quality impairments still exist? 
What needs to be done to address the remaining water quality impairments in the New 
River? 

Development of the identified systems significantly reduced the levels of 
pollutants in the New River and its destination the Salton Sea. Continued 
coordination with US and Mexican governments and localities to further reduce 
polluting sources. 

Continued support for biological treatment systems (wetlands) along the New 
River and lower Salton Sea. 



Salton Sea 

The Salton Sea is California's largest inland water body and home +o more species of birds 
than any other place in California. Over 390 species of birds have been identified at the 
Sonny Bono Salton Sea National Wildlife Refuge. The enrichment of nutrients in the Salton 
Sea, known as eutrophication, has sufficiently impacted its uses, including recreation, 
fishing, and wildlife resources. Some of the specific effects include high algal growth, high 
fish productivity, low clarity, frequent very low dissolved oxygen concentrations, massive fish 
kills, and noxious odors. External loading of nutrients, particularly phosphorus, is 
responsible for the eutrophication of the Salton Sea. Approximately 75 percent of the 
freshwater inflow to the sea is agricultural drainwater from Imperial Valley, which is 
increasing the sea's salinity. There has been discussion that the recent federal stimulus bill 
could assist with restoration efforts. 

The Legislature approved the preferred alternative for the restoration of the Salton Sea and 
provided for $47 million in funding through Senator Ducheny*s SB 187, Chapter 374, 
Statutes of 2008. 

1 6. How does the board monitor Salton Sea water quality issues? 



163 



Jeffrey A. Hays 



6-19-2009 



Through our surface water monitoring program, which monitors the sea and its 
tributaries in the Coachella and Imperial valleys. 



1 7. How does the board plan to deal with restoration of the Salton Sea? What role can 

federal stimulus money play in the restoration effort? 
Our role relates to the regulatory compliance for water quality such as the TMDLs and 
direct polluting sources. Our participation in developing and reviewing plans to 
address water quality goals and monitoring will be critical. Financial constraints 
may impede commitments for staff involvement in early planning stages. 

Use of stimulus funding should be directed for actual project implementation at the 
local level if not for actual construction then phased development of habitat 
restoration in areas not directly disturbed by future construction. 




<<<- 



effrey A. Hays 



164 



165 



P)tQ Pontes 

June 15, 2009 *jJ&<2&, Colorado 5«'ve/ 

The Honorable Darrell Steinberg 
Senate Rules Committee 
State Capitol - Room 420 
Sacramento, California 95814-4900 

Subject: Ellen Sanders Way - Reappointment Questionnaire 
Regional Water Quality Control Board - Colorado River Basin Region 

Statement of Goals 

1. Since you were first appointed, what have been your most significant 
accomplishments as a member of the Colorado River Basin Regional Water 
Quality Control Board? What do you hope to accomplish during your current tenure 
as a member of the board? How will you measure your success? 

2. What do you believe are the most serious problems facing your regional board? 

3. How does your board help the public understand the state of water quality in your 
region? Where should the public go for information on water quality issues, such as 
sewage spills or the overall quality of water in rivers and streams? 



As a board member, I think it is important to ask questions and make sure that I fully 
understand the implications of a proposed action before casting my vote. During my 
tenure, I have made it known that our office and its staff are here to serve the public and 
to help the regulated community understand and comply with regulations. I am proud to 
say that we do not have hostile meetings, but rather our staff is diligent in resolving 
contested issues prior to each board meeting. 

During my current tenure on the board, I intend to see that our region manages our 
limited financial resources wisely. My top three priorities include: continuing to address 
the water quality problems of the New River and the pollution from Mexico that 
contributes to those problems; pushing for the expeditious development and 
implementation of a final remedy for the hexavalent chromium contamination at the 
PG&E Topock natural gas compressor facility along the Colorado River; and to phase 
out septic systems in the town of Yucca Valley and its surrounding communities. 

The success of each of these goals will obviously vary by goal, but overall our success 
will be measured by how well we control contaminants from entering our waterways and 
by protecting our current water quality. 

Senate Mules Committee 

JUN 

.'. U iJ w T 

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Ellen M. Way 
May 19, 2009 
Page 2 



Ellen Sanders Way - Reappointment Questionnaire 
Pg. 2 of 9 

From my standpoint, the most serious issue facing the Board is the protection of the 
ground water basin. We must also protect the quality of agricultural irrigation water and 
control urban run-off in the Coachella Valley. Additionally, stabilization of the Salton 
Sea, continued progress in reducing polluted waste water coming from Mexico and the 
elimination of septic systems, particularly in the High Desert are top priorities. 

As I stated earlier, a daily priority for our Region is to take a proactive approach to 
working with the public. Our contact with the public is critical to maintaining a positive 
reputation in the community. RB7 maintains a Lyris list of over 250 recipients 
(subscribers) to notice our public meetings, location and times and provide links to 
Agenda items. Our website also provides numerous documents on water quality in the 
Region along with links to the SWRCB. For example, on the RB7 website, please see: 
Programs— ►Sanitary Sewer Overflows— >State Board Website on Sanitary Sewer 
Overflow Program (General State Board Order for Collection Systems) 
( http://www.waterboards.ca.gov/water issues/proqrams/sso/sso map/sso pub.shtml) 

This link produces a Google map with incident locations throughout the state and by 
clicking on the incident marker the incident report can be accessed. 
One of the best resources for the public is phoning the office and asking to speak with a 
staff member familiar with specific subjects. Commonly the caller is asked to open our 
website and, simultaneously, the staff member works from their desktop to help the 
caller find the specific location for information. Being a small office, the staff is very 
welcoming to the public if they arrive in person and will go to great lengths to find 
information or offer advice or provide the appropriate forms. 

4. Your board posted the executive officer's report, the report used to inform board 
members and the public on what is happening on issues of concern to the board, 
on the board's Web site from 2000 to September 2005. Why has this been 
discontinued? 

The Executive Officer's reports, in condensed format, are within the minutes on the RB7 
website. For example, please see: 

Board Minutes —►Minutes— ►March 19, 2009 



16/ 



Ellen M. Way 
May 19,2009 
Page 3 



Ellen Sanders Way - Reappointment Questionnaire 
Pg. 3 of 9 

Public Understanding of Water Quality Issues 

Last year the Rules Committee asked how the board helps the public understand the 
state of water quality issues in your region. Board members responded that the staff 
provides regular water quality updates during board meetings. If members of the public 
cannot attend a board meeting they are left with trying to obtain information on the 
board's Web site. A review of the Web site shows that the Executive Officer Reports, 
which provide such updates, stops in 2005. In addition, on the home page various water 
quality subject areas are listed. One of them, the New River/Mexicali Sanitation program 
has a document on the historical overview of the New River water quality problems that 
is over ten years old, and an introduction to the New River/Mexicali Sanitation Program 
that is listed as being updated last May 1, 2008, but the information states that the 
completion of the Las Arenitas wastewater treatment plant and its main sewage line is 
scheduled for 2006. That wastewater plant has been up and running for over a year. 

5. Why do you believe the board's Web site is not kept up to date? Do you believe 
that the board's Web site can provide the public with needed information? 



Using available resources, there are normal delays in posting information on the 
Website. For example, recent New River/Mexicali Sanitation Water Quality Data for 
February 2009 is posted. Please see: 

Water Issues— ^Programs— »New River/Mexicali Sanitation Program-»New 
River/Mexicali Sanitation Program Data— ^Current Year, February 2009 Data. 
http://www.waterboards.ca.gov/coloradoriver/water issues/proqrams/new river/2009/ia 
n feb2009.pdf 

The New River data is posted after the samples have been collected, shipped to the lab, 
analyzed and then verified. After analytical reports have been sent to the RB7 lab it 
takes one or two months from the collection of the field samples until posting on the 
RB7 website. RB7 has a relatively small staff with that makes the funding of an in- 
house Web Master a luxury beyond our financial reach. When items need posting on 
the web, they are sent to the SWRCB Web Master in Sacramento for posting. 

6. What type of information do you think should be provided to the public on the 
board's Web site? 

Access to our Agendas and announcements of Regional Board Meetings are 
paramount. 



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Ellen M. Way 
May 19,2009 
Page 4 



Ellen Sanders Way - Reappointment Questionnaire 
Pg. 4 of 9 



State and Regional Board Roles 

The state and regional boards were created nearly four decades ago. In January 2009, 
the Little Hoover Commission issued a report on improving the performance of the 
state's water boards. One of the findings was that the relationship between the state 
and regional boards is not well-defined. This has led, they believe, to inconsistencies 
and inefficiencies among boards, an inability to set statewide priorities, and a lack of 
focus by the state board on holding regional boards accountable for clean water 
outcomes. 

The report also found that there is little focus on clean water outcomes or accountability. 
Regional boards admit they have difficulty in analyzing watersheds to determine 
whether their programs are protecting and improving water quality. Regional water 
boards' focus is more on issuing permits and determining whether dischargers abide by 
permits than determining if the water is actually getting cleaner. 

Another issue that has been raised in the past, and also discussed in the recent 
commission report, is that many of the issues board members have to deal with are very 
technical, and a number of board members are, basically, volunteers and do not have 
such formal technical experience. 

7. What is your view of the relationship between the state board and your regional 
board? What type of guidance do you receive from the state board? 

8. How do you balance the board's focus on the permitting process and the focus on 
broad policy issues, such as updating basin plans and setting regional priorities? 
What is the best use of the board's time? 

My view of the relationship between the State Board and our Regional Board is 
similar to the parent/subsidiary in the corporate world. As such, the State board has 
certain parent corporation responsibilities, such as overseeing the Regional Boards, 
overturning, if necessary, a RB decision, and developing plans, policies, and 
regulations of statewide application to be carried out of the Regional Boards, and 
approving Regional Board budgets. 

Personally, I have found the State Board to be helpful in providing legal guidance in 
my role as chair of the Board. I also appreciate the fact that when we asked the 
State to postpone an item that we had submitted for their consideration, they did so 
without question. 



169 



Ellen M. Way 
May 19, 2009 
Page 5 



Ellen Sanders Way - Reappointment Questionnaire 
Pg. 5 of 9 



I would like to see the State Board and the Legislature move forward on a number of 
statutory changes that I believe will improve our efficiency and ultimately improve 
water quality. For example, I think we need to allow impoverished communities to 
invest 100% of Mandatory Minimum Penalties back into improvements to their 
treatment facilities. We are delaying system improvements by forcing poor 
communities to pay fines with the limited resources they have available rather than 
reinvest that money directly. 

Regional Board 7 has continually directed staff to negotiate with dischargers with the 
overarching goal of developing for the Board's consideration for adoption, 
uncontested permits/WDRs that are protective of water quality. When a contested 
item is brought before the Board, the Board commonly listens to the discharger's 
and staffs different views and then directs staff to continue in good faith negotiations 
with the discharger, so the Item can be considered by the Board later in the meeting 
or at a future meeting. This approach avoids the Board expending large amounts of 
time on disputed matters that are often highly technical. By directing staff to try and 
reach agreement on permitting matters, the Board can consider broader issues such 
as rulemaking that may involve multiple stakeholders' presentations. 



How do the state board and your regional board staff assist you to better 
understand some of the complex issues before you? Do you have any suggestions 
on how the state water board's staff might better assist you? 

Most of the assistance I receive comes from the regional board staff and our 
attorney from the Office of Chief Counsel with the State Board. Both provide 
invaluable assistance in helping me understand the many complex water quality 
issues facing our Region. On a regular basis, I am briefed on issues coming 
before the Board, I meet with staff members working directly on a particular issue, 
and I meet with stakeholders. I have also learned a great deal from field tours that 
have helped me put into context the specific issues that have come before the 
Board. 

During my tenure on the Board, I have not had a great deal of interaction with staff 
at the State level. 



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Ellen M. Way 
May 19,2009 
Page 6 



Ellen Sanders Way - Reappointment Questionnaire 
Pg. 6 of 9 



In 2005 the Office of the Secretary of Cal/EPA reported to the Legislature on 
environmental enforcement and suggested that the state and regional water boards 
were among the worst agencies in enforcing the law. In 2008 the state board, in its 
Strategic Plan 2008-2012, said it would adopt an updated water quality enforcement 
policy by December 2008. That enforcement policy will now not be adopted until mid to 
late 2009. On January 1, 2009, the state board published its 2008 enforcement report. 
Among other things, it showed the number of violations that were imposed by regional 
boards compared to completed enforcement actions. For the four-year period from 2005 
through 2008, the Colorado River Basin Regional Water Board scored a low of 91 
percent in 2005 and a high of 99 percent in 2006 and 2008 in wastewater violations 
compared to completed enforcement actions. This is well above the average of the nine 
regional boards. For stormwater violations compared to completed enforcement actions, 
the board scored a low of 98 percent in 2007 and a high of 100 percent in 2005 and 
2006. This is well above the average of the nine regional boards. 

10. What is your view on how your board should enforce water quality laws? When are 
fines and penalties appropriate, and when are more informal actions necessary? 



Enforcement of water quality laws is of the highest priority for our Region. As a Board 
Member, I expect the staff to closely track non-compliance with our Orders and respond 
as rapidly as possible with the appropriate actions, both informal and formal, to avoid 
accrual of large penalties that reflect poorly on our implementation of the robust powers 
delegated by the Legislature under Porter-Cologne. Due to careful and timely review of 
self-monitoring reports, early contact with the discharges by phone or e-mail, followed 
by written Notices of Violations, many dischargers react positively by making the 
necessary operational improvements voluntarily. Obviously when non-compliance 
triggers mandatory minimum penalties, the RB must take formal action. If the 
discharger intends to address the problem, but may need time to fund and design the 
fixes, the Board often considers adopting Time Schedule Orders (TSO). The TSO 
allows the discharger to make the appropriate fixes without generating more Mandatory 
Minimum Penalties (MMPs) in the interim. The goal of this "attitude" towards 
enforcement is to work cooperatively with stakeholders to protect water quality. 



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Ellen M. Way 
May 19, 2009 
Page 7 



Ellen Sanders Way - Reappointment Questionnaire 
Pg. 7 of 9 

1 1. Without a current formal state board policy on enforcement, how does your board 
determine it is consistent in its enforcement practices with other regional boards? 

The existing 2002 State Board Enforcement Policy provides the basic underpinning of 
our Enforcement Program strategy. Consistency with other Regional Boards (RBs) is 
provided by the SWRCB Office of Enforcement, which provides prosecutorial services 
to the RBs statewide. Additionally, regular Enforcement roundtables for RB 
enforcement staff contribute to consistent implementation statewide. 

12. How do you prioritize your enforcement activities given current budget constraints? 

RB7, by providing quick turnaround responses to non-compliance is able to control 
enforcement program expenditures. 

Septic Rule 

AB 885 (Jackson), Chapter 781, Statutes of 2000, requires the state board to develop, 
adopt, and implement statewide regulations for permitting and operation of on-site 
wastewater treatment systems (OWTS), commonly referred to as the "Septic Rule." This 
statewide rule for septic systems has been one of the most commented on proposed 
regulations and has seen overflow crowds at public meetings. 

13. Has the state board articulated a role for the regional boards in implementing this 
rule? 

The proposed regulations would largely be self implementing, requiring actions by the 
property owners. Oversight would be provided by the State and Regional Boards along 
with local agencies for citing and compliance. However, due to a large number of 
stakeholders throughout the State taking issue with the proposed Rule, the SWRCB is 
rewriting the Rule for consideration at a later date. 



14. How does the board intend to monitor, enforce, and improve septic systems that 
contribute to surface and groundwater pollution? 



RB7 regulates through WDRs septic systems with design flows above 5,000 gallons per 
day. Through legislation, Basin Plan Amendments and Board Resolutions, RB7 
promotes sewering and construction of public treatment systems and private small scale 
package systems in areas with a high density of septic systems 



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Ellen M. Way 
May 19,2009 
Page 8 



Ellen Sanders Way - Reappointment Questionnaire 
Pg. 8 of 9 

New River Pollution 

The New River flows north from Mexicali, Mexico, into the United States, just west of 
Calexico. The river has been called the most polluted river in the United States, with raw 
sewage and industrial waste being discharged into the Mexican portion of the river. 
In 1998 the regional water board said that the beneficial uses of the New River were 
impaired by bacteria, volatile organic compounds, nutrients, silt, and pesticides. Two 
projects in Mexico were developed — Mexicali I and Mexicali II. Mexicali I, which added 
and upgraded sewage collectors, was completed in 2004. Mexicali II added a 20 million 
gallon-per-day wastewater treatment plant, which is now online. 

15. What progress has been made, and what types of water quality impairments still 
exist?What needs to be done to address the remaining water quality impairments 
in the New River? 

Progress 

Las Arenitas WWTP has eliminated the 15-20 million gallons per day of raw sewage 
that were routinely present in the New River at the Border. Further, Regional Board 
monitoring data show that New River bacteria were significantly reduced by about 10- 
fold, and that volatile organic compounds were reduced to below detection limits as a 
result of Las Arenitas. The dissolved oxygen in the New River at the Border has also 
improved to a point that it eliminated the stench that made the river infamous in the 
Calexico area. Also, the bi-national projects and WWTP have reduced the nutrient 
loading into the Salton Sea by about 20%. 

Remaining issues 

In spite of significant wat^r quality improvements from the bi-national projects, there are 
still New River water quality impairments at the Border caused by trash and non-point 
sources of pollution in Mexicali. The Regional Board continues to work with our Federal 
agencies to ensure additional measures are taken to address these impairments and 
sources of pollution. 

Salton Sea 

The Salton Sea is California's largest inland water body and home to more species of 
birds than any other place in California. Over 390 species of birds have been identified 
at the Sonny Bono Salton Sea National Wildlife Refuge. The enrichment of nutrients in 
the Salton Sea, known as eutrophication, has sufficiently impacted its uses, including 
recreation, fishing, and wildlife resources. Some of the specific effects include high algal 
growth, high fish productivity, low clarity, frequent very low dissolved oxygen 
concentrations, massive fish kills, and noxious odors. External loading of nutrients, 
particularly phosphorus, is responsible for the eutrophication of the Salton Sea. 



173 



Ellen M. Way 
May 19,2009 
Page 9 



Ellen Sanders Way - Reappointment Questionnaire 
Pg. 9 of 9 

Approximately 75 percent of the freshwater inflow to the sea is agricultural drainwater 
from Imperial Valley, which is increasing the sea's salinity. There has been discussion 
that the recent federal stimulus bill could assist with restoration efforts. 
The Legislature approved the preferred alternative for the restoration of the Salton Sea 
and provided for $47 million in funding through Senator Ducheny's SB 187, Chapter 
374, Statutes of 2008. 

16. How does the board monitor Salton Sea water quality issues? 

17. How does the board plan to deal with restoration of the Salton Sea? What role can 
federal stimulus money play in the restoration effort? 

The Regional Board monitors the Salton Sea at key locations through its Surface Water 
Ambient Monitoring Program. It also periodically monitors the quality of the Sea's main 
tributaries (the New and Alamo Rivers and Coachella Valley Stormwater Channel) 
through TMDLs. Further, the Regional Board requires the Imperial Irrigation District to 
monitor the quality of agricultural runoff in the Imperial Valley drains. 

I would ask you to keep in mind that the Salton Sea is an agricultural drain, which 
helped this region become a major food producing sector of our State. Secondary 
benefits of the Sea include habitat for migrating birds and recreational uses. Farmers 
are becoming more efficient in their reuse of irrigation water and less water is going into 
the Sea each year. Yes, the Sea is too salty, however, the decrease in flows to the Sea 
pose a far greater risk to the region. At this time, the cost of improving the salinity level 
of the Sea and maintaining that level is prohibitive. 

I have lived in the Coachella Valley for 19 years and I assure you that the state of the 
Sea is far more stable then the description stated above. My husband's farming 
company has farmed on the shore of the Sea for over two decades and it is an excellent 
environment for growing fresh fruits and vegetables. The security of this nation rests, 
in part, on protecting our domestic food supply. 

Thank you for giving me the opportunity to answer these questions to the best of my 
knowledge. I look forward to continuing to serve the Colorado River Region. Should 
you have any questions regarding this document, please contact me at 760-831-4233. 

Kindest regards, 

Ellen S. Way 



174 



175 



HBHKH 






SENATE RULES COMMITTEE QUESTIONS 
(with Keith Dyas responses in bold print; May 2009) 



u 






» ■ ' f 



Statement of Goals 

7. Since 2005 when you were first appointed, what have been your most significant 
accomplishments as a member of the Lahontan Regional Water Quality Control 
Board? What do you hope to accomplish during your current tenure as a member 
of the board? How will you measure your success? 

I have been successful in directing our board's attention to the rapidly growing 
practice of groundwater "banking", or storage of State Water Project (SWP) 
supplies in the southern, arid portion of the Lahontan Region. While groundwater 
banking is an important tool in water resource management, the practice runs the 
risk of contaminating native groundwater if not regulated properly. Also, the 
introduction of SWP water (with its higher TDS) can result in salt accumulation in 
closed hydrologic basins, if not managed properly. 

Also, I have stressed the importance of directing our limited resources wisely. 
For instance, I have lobbied successfully to minimize our involvement with water 
rights issues (quantity), in order to maintain our focus on our primary mission of 
water quality protection. 

During my current tenure on the board, I hope to accomplish the following: 

A. Continue progress in stabilizing Lake Tahoe clarity (as measured by annual 
Secchi disk measurements). 

B. Amend the Lahontan Basin Plan to protect prime groundwater recharge areas 
of arid basins (as reflected in amended Basin Plan provisions). 

C. Continue to encourage and assist sanitation districts with treatment plant 
upgrades. Such upgrades will improve effluent water quality to levels that will 
allow expanded recycling and reuse, as measured in MGD (million gallons per 
day). 

2. What do you believe are the most serious issues facing your board? 

Overall, lack of funding is our board's most serious issue. We have estimated 
that we receive less than 50% of the funding necessary to properly fulfill our 
responsibility to protect the region's water quality. 

Other than funding issues, the most serious threats in the northern portion of the 
region are ground disturbing activities that threaten to release sediment into Lake 
Tahoe and its tributaries. 

§mmi. IRaies Committee 



MA' 1 



?00r 



kPpoiiitiiieiitft 



176 



In the southern portion of the region, our most serious threat is the discharge of 
undertreated domestic sewage, which should be properly treated, recycled and 
reused, in order to alleviate growing water shortages and also prevent 
groundwater contamination. Other potential threats in the south include the 
accumulation of total dissolved solids (TDS) or salts in our groundwater aquifers 
and groundwater contamination from dairy wastewater discharges. 

3. How does your board help the public understand the state of water quality in your 
region? Where should the public go for information on water quality issues, such as 
sewage spills, or the overall quality of water in rivers and streams in your region? 

Our board provides the following methods of informing the public regarding the 
state of the region's water quality and other water quality issues: the Water 
Quality Control Plan (Basin Plan) for the Lahontan Region, monthly public 
meetings (rotated within the region to accommodate the widely distributed 
population), public workshops and special presentations, newsletters, public 
notices, press releases, local newspaper articles, general correspondence, an 
informative website and personal contact by our staff in person or by phone. 

State and Regional Boards 

The state and regional boards were created nearly four decades ago. In January 2009 
the Little Hoover Commission issued a report on improving the performance of the 
state's water boards. One of the findings was that the relationship between the state 
and regional boards is not well-defined. This has led, they believe, to inconsistencies 
and inefficiencies among boards, an inability to set statewide priorities, and a lack of 
focus by the state board on holding regional boards accountable for clean water 
outcomes. 

The report also found that there is little focus on clean water outcomes or accountability. 
Regional boards admit they have difficulty in analyzing watersheds to determine 
whether their programs are protecting and improving water quality. Regional water 
boards' focus is more on issuing permits and determining whether dischargers abide by 
permits than determining if the water is actually getting cleaner. 

Another issue that has been raised in the past, and also discussed in the recent 
commission report, is that many of the issues board members have to deal with are very 
technical, and a number of board members are, basically, volunteers and do not have 
such formal technical experience. 

4. a. What is your view of the relationship between the state board and your regional 
board? 

I believe that the relationship between the State and regional boards 
should facilitate coordination of respective activities to achieve a unified 
and effective water quality control program for California, as specified in 



177 



the Porter-Cologne Water Quality Control Act. Additionally, the State 
Board sets statewide policy for the implementation of state and federal 
laws and regulations. The statewide policy must be incorporated into the 
Water Quality Control Plans adopted and implemented by the regional 
boards. 

From my observations in my first term, the relationship defined above is 
respected and in effect between Lahontan and the State Board. 
Furthermore, I have a strong sense that our staff and board willingly 
recognize the State Board authority. 

4. b. What type of guidance do you receive from the state board? 

Members of the state board frequently attend our regional board meetings and 
brief us on current events and discussions, status of policy changes, proposed 
legislative actions, etc. The state board provides legal guidance through the 
attorneys assigned to serve our regional board. Additionally, our executive 
officer maintains close contact with state board members and staff, for further 
guidance with respect to specific issues. 

5. How do you balance the board's focus on the permitting process and the focus on 
broad policy issues, such as updating basin plans and setting regional priorities? What 
is the best use of the board's time? 

The permitting process is always an immediate and urgent concern that must be 
addressed on a daily basis, most of which is performed by staff and then 
submitted to the board for consideration. However, broad policy issues must be 
determined by the board. Therefore, I believe that the majority of the board's 
focus should be placed upon the broad policy issues, such as basin plan 
amendments, regional priorities, positions on issues of regional significance, etc. 
Consequently, these same policy issues represent the best use of the board's 
time. Staff is capable of efficient performance, only if clear, sound policies and 
priorities have been established by the board. 

6. How do the state board and your regional board staff assist you to better 
understand some of the complex issues before you? Do you have any suggestions on 
how the state water board's staff might better assist you? 

While it is true that my role as a board member is full of challenges, and 
represents a significant learning experience in many respects, 
environmental science is not one of them. Fortunately, my background 
(M.S. in mechanical engineering; 15 years environmental management 
experience for the federal government) has provided me a good foundation 
for the technical challenges facing board members. However, whenever I 
do happen to need additional information to study a board issue, the 
Lahontan staff is eager to provide prompt, effective assistance. 



178 



Because of the fine support I have been provided, and because of my 
background, I have no suggestions for improvement of my situation. 
However, new board members without a technical background would 
probably benefit from general orientation seminars, if provided by the 
state board. 

Enforcement 

In 2005 the Office of the Secretary of Cal/EPA reported to the Legislature on 
environmental enforcement and suggested that the state and regional water boards 
were among the worst agencies in enforcing the law. In 2008 the state board, in its 
Strategic Plan 2008-2012, said it would adopt an updated water quality enforcement 
policy by December 2008. That enforcement policy will now not be adopted until mid to 
late 2009. On January 1 , 2009, the state board published its 2008 enforcement report. 
Among other things, it showed the number of violations that were imposed by regional 
boards compared to completed enforcement actions. For the four-year period from 2005 
through 2008, the Lahontan regional water board scored a low of 35 percent in 2007 
and a high of 96 percent in 2006 in wastewater violations compared to completed 
enforcement actions. This is about average of the nine regional boards. For storm water 
violations compared to completed enforcement actions, the board scored a low of 38 
percent in 2006 and a high of 56 percent in 2007. This is well below the average of the 
nine regional boards. 

7. What is your view on how your board snould enforce water quality laws? When 
are fines and penalties appropriate, and when are more informal actions necessary? 

I believe that water quality laws should be enforced fairly, firmly, uniformly and 
preferably through a cooperative and mutually respectful effort with dischargers 
and the public in general. I believe that the vast majority of dischargers sincerely 
try to maintain compliance with the law and their permits. We as a board can 
assist the dischargers' compliance efforts by producing fair and reasonable 
Basin Plans and waste discharge requirements that are protective of water quality 
and still take into consideration comments from dischargers. 

I believe that fines and penalties are appropriate only when they can be expected 
to produce the desired result- compliance. Responsible dischargers, who are 
sincerely attempting to comply, and yet occasionally fail, will not always be 
positively influenced by fines and penalties. However, irresponsible dischargers 
who knowingly violate permits for economic gain can be quickly convinced to 
comply through the imposition of the economic disincentives of fines and 
penalties. The challenge for our board then becomes: "How do we distinguish 
between these two types of noncompliance?" I make the distinction by 
considering the following factors: 



179 



(1 .) Prior history of violations. 

(2.) Any voluntary cleanup efforts undertaken by the discharger. 

(3.) The degree of culpability. 

(4.) Economic savings to the discharger resulting from the violation. 

(5.) The specific nature and circumstances of the violation. 

8. Without a current formal state board policy on enforcement, how does your board 
determine it is consistent in its enforcement practices with other regional boards? 

The state board is accepting comments on its Draft Water Quality Enforcement 
Policy until May 28, 2009. Until the policy is finalized, we can maintain 
consistency in enforcement practices through interactions and discussions with 
the state board and regional boards at forums such as the Water Quality 
Coordinating Committee meetings and others. We also monitor enforcement 
actions of other regional boards through news reports, the DWR news service, 
general correspondence, various data bases, interactions with dischargers who 
operate in other regions, etc. Our executive officer maintains relationships with 
other regions and the state board, and relates to our board the information he 
gathers from formal reports and personal discussions. Also, because each 
regional board attorney is assigned from a pool of legal professionals at the state 
board, we benefit from the close relationship our attorney maintains with the 
state board, whose oversight obviously extends to other regions. 

9. How do you prioritize your enforcement activities given current budget 
constraints? 

When prioritizing, I consider such factors as the degree of toxicity, proximity to 
sensitive receptors, quantity of discharge, ability to remediate, existing quality of 
receiving waters, etc. I place the greatest emphasis on violations that have the 
highest potential to threaten the health and safety of the general population. For 
instance, I would place a higher priority on stopping a discharge of untreated 
sewage into a drinking water supply, than I would place on stopping a discharge 
of inert sediment into the same drinking water supply. 

Emerging Contaminants 

Last year the Associated Press (AP) reported that a vast array of pharmaceuticals and 
over-the-counter medicines were detected in the drinking water supplies of 24 major 
metropolitan areas — from Southern California to New Jersey. Additionally, AP's 
investigation indicated that watersheds, the natural sources of most of the nation's 
water supply, are also contaminated. These pharmaceuticals are manufactured to be 
active at small doses. Although the concentrations of these pharmaceuticals are 
miniscule, worries among scientists are heightening because of the long-term 
consequences to human health. 



180 



In November 2008 board staff attended the Symposium on Emerging Contaminants. 
The event presented the latest developments in detection, risk assessment, 
remediation, and regulation of emerging contaminants in groundwater. 

1 0. What is your view of the role regional water boards should be playing regarding 
this issue? 

The regional boards must keep themselves informed of these emerging 
contaminants so that they can properly recognize and assess the threats that 
they pose, in order to subsequently be able to prioritize and allocate resources 
accordingly. The regional boards should also be prepared to offer the benefits of 
their experiences (when applicable) to the state board and the Department of 
Public Health. 

Also, in accordance with the provisions of the state board Recycled Water Policy, 
a CEC (Contaminants of Emerging Concern) Advisory Panel has been established 
to address questions about regulating CECs with respect to the use of recycled 
water. The panel will provide recommendations to the State Water Board and 
Department of Public Health. The panel was convened on May 4, 2009 and will 
hold meetings later in 2009 and in 2010. Our regional board will monitor the 
panel's activity and participate as appropriate. 

1 1. Should the state board — through the regional boards — be working with the 
Department of Public Health to require testing and set safety limits for drugs in dhnking 
water? 

Yes, the state board should offer assistance during the process of establishing 
drug concentration limits in drinking water. Also, the state board should provide 
the regional boards with an opportunity to comment. 

Lake Tahoe 

The clarity of Lake Tahoe has been declining for decades. The lake's visibility has 
dropped an average of 1 foot a year between 1968 and 1988; from 1988-2008 it has 
slowed to one-half foot per year. The clarity has dropped from about 100 feet in the 
1960s to between 65 and 70 feet today. Currently, your board is developing a Lake 
Clarity Crediting Program to link water quality improvement projects within the urban 
landscape to load reduction credits. According to the University of California, Davis, 
Tahoe Environmental Research Center, a 35 percent reduction in three types of 
pollution — nitrogen, phosphorus, and fine sediment — could restore the lake's clarity to 
the level seen in the 1970s. 

12. In your letter to the Rules Committee in 2005, you said that by the end of your 
term (September 2008) you would like to have reversed the longstanding trend of 
declining clarity in Lake Tahoe. How close is the board to achieving this goal? 



181 



Unfortunately, my stated goal in 2005 of reversing the decline of Lake Tahoe 
clarity was overly optimistic. Even though the rate of decline has been reduced, 
the actual clarity is less today than in 2005. However, with the implementation in 
the near future of the Lake Tahoe TMDL (Total Maximum Daily Load) for sediment 
and nutrients (nitrogen and phosphorous), I believe it is realistic to expect to see 
clarity improvements by 2020. 

13. How does the board envision using the Lake Clarity Crediting Program to 
improve the lake's clarity? 

This crediting program is a tool developed by the Lake Tahoe TMDL team, of 
which our board is a member. The crediting program will provide the basis for 
tracking compliance with each jurisdiction's allocation. Also, it is intended to 
provide implementation flexibility, encourage effective and innovative practices, 
foster cooperative water quality improvement efforts and provide a consistent 
methodology to assess Municipal National Pollutant Discharge Elimination 
System (NPDES) Storm Water Permit compliance. We expect to incorporate 
jurisdiction-specific load allocations and associated targets into updated NPDES 
permits in 2010 following TMDL adoption. The permits will include (in the 
Monitoring & Reporting Programs) crediting mechanisms to estimate pollutant 
load reductions associated with various implementation actions. Such activities 
might include erosion control projects, residential best management practices, 
and water quality infrastructure maintenance work by municipalities and Caltrans. 
The crediting program will help define specific rules and modeling tools 
necessary to estimate load reductions. We anticipate that regional monitoring 
efforts and improvements in technology will help refine these estimates over 
time. An adaptive management framework will provide the means to incorporate 
new information into the crediting system to track TMDL implementation 
progress. 

14. What other actions could the board take to improve the clarity of the lake? 

Our board will implement BMPs (Best Management Plans) and appropriate Basin 
Plan amendments. Also, through the permitting process, our board will require 
dischargers to incorporate into their projects, stream restorations, storm water 
runoff controls (infiltration basins, filtration galleries, etc), dirt road maintenance 
or closure, road abrasive application management, slope stabilizations, etc. 

Lake Tahoe Basin Wildfires 

A major public concern in the Lake Tahoe Basin remains the threat of catastrophic fire. 
The Angora Fire that erupted in June 2007 destroyed more than 250 homes on the 
California side of the Tahoe Basin, and over $141 million in damage occurred. In the 
wake of this fire, public agencies with environmental and regulatory oversight of the 
Tahoe Basin were criticized for allowing bureaucratic red tape to hinder the 
advancement of efforts to prevent such disasters. Your board is now part of the Tahoe 



182 



Forest Fuels Team that met January 29, 2009, and briefed participants on a process for 
implementing 2009 field season fuel reduction projects. 

1 5. How do you view the work of your board and other local agencies that participate 
on the Tahoe Forest Fuels Team? Have communications improved among local 
agencies? Are water quality concerns of your board addressed in the fuels reduction 
program? 

Each member of the Tahoe Forest Fuels Team maintains a unique position on the 
team and a unique mission within the Tahoe Basin. Understandably, each 
member initially displayed reluctance to share authority or compromise long- 
standing positions. However, the team members have now successfully forged a 
mutually respectful alliance that is dedicated to significantly reducing wild fire 
threats, while still protecting water quality. 

Although our regional board has historically placed great value on public input in 
development of plans and policies, the June 2007 Angora Fire generated a new 
and urgent need for additional teamwork and cooperation with the public and 
other local agencies. Because of this urgent need for teamwork in the mutual 
goal of making the Tahoe Basin safer from wild fires, communications have 
improved significantly, and we have experienced improved trust among the team 
members, who have shown a new willingness to compromise on important 
issues. 

In fact, on May 14, 2009, our regional board approved the "Waiver of Waste 
Discharge Requirements for Timber Harvest and Vegetation Management 
Activities", which will drastically streamline the regulatory process which 
governs fuels reduction activities, and in turn reduce wild fire threats. Also, our 
board approved a waiver in December 2008 which allows fuels reduction projects 
to proceed without water board permits, if the projects are regulated by the Tahoe 
Regional Planning Authority. These waivers demonstrate our trust in the other 
members of the Tahoe Forest Fuels team. The approval of the waivers required 
considerable open and sincere negotiations among the many stakeholders, and 
was approved only after all water quality concerns had been thoroughly 
addressed. 



Respectfully submitted, 




Keith Dyas 
May 22, 2009 



183 



Heidi J. Carpenter-Harris 

Responses 

WQCB, North Coast Region 



Statement of Goals 



1. What have been your most significant accomplishments as a member of the North 
Coast Regional Water Quality Control Board? 

Because of my background working with RCD's, the NRCS and other landowner 
groups, I have been able to foster a collaborative atmosphere for the Board to work 
closely with the folks on the ground. It has proven to be a prosperous union for 
working with private landowners in the Scott and Shasta communities. My work 
with landowners gives me an insight to how people work with and view governing 
agencies. This has given me an opportunity to bring simple suggestions to staff 
and the board that foster a "let's work together" approach verses a "regulator and 
the regulated" that sometimes comes with regulatory bodies. The feed back has 
improved greatly from the communities regarding their correspondence with staff. 
Kudos to the Water Board Staff! 

2. What do you hope to accomplish during your current tenure as a member of the 
board? What goals do you have for the board, and how will you accomplish them? 
How will you measure your success? 

I hope to continue to work hard at making the decisions needed to make things 

happen on the ground. 

I will continue to encourage our board to work with other state agency, RCD's, and 

landowner groups who have the same or similar goals as our board. In these times 

of little money, we need to work together. On many occasions, it has been 

collaborative efforts that have brought us the scientific data needed to work through 

and make good decisions. 

Success will be measured by projects accomplished, successful networking and 

relationships with our partners. 



3. What do you believe are the most critical issues currently facing the board? 

The development and adoption of the TMDL's and their work plans. The Klamath 
River issues represent a challenging time of change in our region. Working through 
these issues will be critical and we will need to practice wisdom, knowledge and for 
thought. 



'ate itaies C 



184 



Heidi J. Carpenter-Harris 
May 20, 2009 
Page 2 



State and Regional Board Roles 

The issues addressed by regional water boards are often scientifically complex. 
Preparation for hearings can be time-consuming for board members, particularly 
considering these are part-time positions. 

4. How do the state board and the North Coast board assist you in understanding and 
analyzing complex issues before your board? 

We are provided with a prolifera of documents before our meetings. These are 
delivered to us in due time to study them before the meetings. We also have the 
opportunity for briefings on particularly large or complex items. We are made aware 
of workshops and there locations. We also have access to staff for questions and 
ourEO is available to assist us. Information is also sent to us on a regular basis 
through e-mail. 

5. What training have you received to help you better understand when you might 
have a conflict of interest regarding an issue on your board's agenda? How do you 
know when to withdraw yourself from voting on an issue? 

I received training when I was first appointed to the Water Board. Continual 
reminders are issued from our attorneys duhng Board Meetings. We have also 
received information regarding this at the WQCC Meetings. 
I know when to withdraw my self from these trainings and from consultation with 
our attorneys. 

Public Outreach 

This board covers an expansive regicr of the state, encompassing a total area of 
approximately 19,390 square miles, including 340 miles of scenic coastline and remote 
wilderness areas, urban areas, and agricultural land. 

6. How does your board assist the public in understanding the state of water quality in 
your region? Do you believe that the information on your Web site is adequate? 

The Board abides routinely by the public notice rules in regards to any item 
requiring notice and the location, date and time of our meetings. The website and 
mailers keep anyone who wants to be informed. 
I believe the information on the website is adequate. 

7. What do you believe are the most effective means of communication to inform the 
public on more immediate water quality issues, such as beach closures and 
sewage spills? 

Postings at the site, local media, local authorities and community bulletin boards. 



185 



m 



Heidi J. Carpenter-Harris 
May 20, 2009 
Page 3 



Federal Economic Stimulus Funds 

On February 17, 2009, President Obama signed HR 1, the American Recovery and 
Reinvestment Act of 2009 (ARRA), which provides $787 billion in economic investment 
nationally. The goals of ARRA are to jump-start the economy and create jobs for 
Americans in an accountable, transparent manner. California is the beneficiary of 
approximately $50 billion for a variety of statewide programs. A portion of funds are 
targeted for environmental issues, including over $283 billion to California's Clean 
Water State Revolving Fund for loans and grants for wastewater treatment systems, 
nonpoint source implementation, and estuary enhancement. 

8. What is the board doing to ensure that the region benefits from ARRA funding? 

Staff has been helping local watershed groups and RCD's access information in 
Sacramento that will help them locate funding opportunities. We have been trying 
to assist grantees; particularly in our TMDL watersheds to prepare proposals. 
We have an adequate list of interested small wastewater systems. 



California State Budget Crisis 

California's dire fiscal situation has affected all parts of state government. 

9. How do you, as a board member, stay informed of the fiscal resources available to 
your board? How does your board prioritize activities if not all can be undertaken? 
What are your priorities? 

Our EO and assistant EO provide us with budget information at every board 
meeting. They also provide us updates when situations arise though e-mail 
communications. 

We move forward on those items that the State Board and /or Cal EPA have a 
mandate on. Example: TMDL's. We must attempt to stay on top of our enforcement 
in order to generate the revenue and give "teeth" to our bite. In these, and our 
other charges we should never forget our first and primary responsibility, that is, to 
protect the waters of the state for their beneficial uses and properly serve the 
people of the State of California. 



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Heidi J. Carpenter-Harris 
May 20, 2009 
Page 4 



Enforcement of Water Quality Laws 

Several years ago, the Office of the Secretary of Cal/EPA reported to the Legislature on 
environmental enforcement and suggested that the state and regional water boards 
were among the worst agencies in enforcing the law. 

The report stated that the boards were very slow to enforce clean water laws, almost 
never sought criminal penalties for serious violations, and generally did not aggressively 
pursue violators. 

10. What enforcement options do you believe provide the most effective tools for 
violations of board orders? 

When the violator falls under the requirements for a compliance project, this allows 
for a portion of the fine to be paid in cash and a portion to go towards site 
compliance. When a violator does not qualify for this, fines are our only recourse. 
This is very hard for small community systems. They often do not have the money 
to bring their systems up to date, therefore fines just set them back even more. The 
MMP's are very difficult for small rural systems to meet 

11. What staff is available to assist you in enforcing Water quality laws? Is the number 
of staff adequate for enforcement purposes? If you must pnoritize enforcement 
efforts, what are the priorities and how are they determined? 

We have an enforcement team that deals with all enforcements. No, the number of 
employee's is not adequate. Enforcement deals with those who pose an imminent 
threat to water quality first. Violators who have exhausted all of our staffs good 
faith efforts and have been "on the books" for a while also need to be dealt with. It 
at times can be a challenge with the minimal staff we have. 

Harmful Algal Blooms and Klamath River Total Maximum Daily Loads 

Blue-green algae blooms have been found in the Klamath River, Big Lagoon, and the 
Eel River. A study by the Center for Integrated Marine Technologies (CIMT) points out 
that these blooms negatively affect fish, marine mammals, and seabirds. Some algal 
species cause large fish kills by clogging up or lacerating the fish's gills. 

The CIMT report said that there is growing evidence that human contributions of 
phosphorus and nitrogen are causing the blooms to occur more frequently and 
contributing to their duration and severity. A presentation to your board on December 1 1 
discussed the total maximum daily load (TMDL) process for the Klamath River. Staff 
said that 76 to 80 percent of the phosphorus and nitrogen would have to be eliminated 
in the river to achieve TMDL compliance. Staff also indicated that the TMDL would not 
directly deal with blue-green algae. 



187 



Heidi J. Carpenter-Harris 
May 20, 2009 
Page 5 



12. How serious are the negative effects of algal blooms on fisheries and marine 
mammals? How does your board currently determine the seriousness of those 
effects? 

Our staff has received training at technical workshops concerning the blue green 
algae and its affects. Staff has and will continue to work closely with the Office of 
Environmental Health Hazard Assessment, Department of Public Health, and the 
USEPA. This relationship will provide our board with the information needed on 
blue green algae. 

13. How is the adoption of the Klamath River TMDLs integral, if at all, to the broader 
discussion of poor water quality and dam removal on the river? 

Both federal and state law gives the bistate TMDL's and their implementation the 
regulatory tools to clean up the pollution in the river. The Klamath River TMDL will 
provide a comprehensive examination of pollution sources and remedies. This 
TMDL will play a vital role in the future of the Klamath River. 



Emerging Contaminants 

New and emerging contaminants may be present, but not detected. Among these are 
pharmaceuticals and personal care products, industrial chemicals present at low 
concentrations, and chemicals that may affect the hormone system, referred to as 
"endocrine disruptors." 

Additionally, new testing by independent organizations has turned up pharmaceuticals 
and over-the-counter medicines affecting drinking water supplies across the country. 
While the findings reported by the Associated Press in March 2008 involve miniscule 
amounts of various pharmaceuticals, concerns over long-term consequences to human 
health and possible additional testing have resurfaced. 

Under current law, required testing and standard limits for pharmaceuticals and 
over-the-counter drugs in drinking water are minimal. Beginning in January 2008, 
several water systems began monitoring under the U.S. Environmental Protection 
Agency (U.S. EPA) Unregulated Contaminant Monitoring Regulation for contaminants 
selected from the contaminant candidate lists. These are potential contaminants that 
U.S. EPA may regulate in the future. Federal and state laws give authority to U.S. EPA, 
the California Department of Public Health, or the regional water boards to regulate 
contaminants, which could include pharmaceuticals. 

The Department of Public Health has developed draft regulations and is proposing to 
require an analysis of specific unregulated chemicals and report detections for certain 



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Heidi J. Carpenter-Harris 
May 20, 2009 
Page 6 



groundwater recharge and reuse projects. These chemicals include pharmaceuticals, 
endocrine disruptors, and other wastewater indicator chemicals. 

14. To what degree should the state water board, regional boards, and the California 
Department of Public Health coordinate with one another to mandate testing and 
set safety limits for drugs in drinking water? Do you believe this is an issue that 
should be dealt with on a region-by-region basis? 

Because our waters often cross region and state boundaries it would be difficult to 
uphold water quality standards in our region alone or in our state alone. I would 
suggest that this situation may be one better addressed by the USEPA. In doing 
so, standards can be set on a nation wide basis; to ensure water quality, as it 
meanders its way through our nation to the sea. 

15. Is your board monitoring these and other emerging contaminants? How are you 
informed of new sources of pollution? 

We have no monitoring program in place at this time. We are currently waiting for 
direction from the SWRCB. 



189 



fespoasez 1 

Statement of Goals tOQCJt>, bier #» Jotf* 

f . H//?af have been your most significant accomplishments as a member of the North Coast 
Regional Water Quality Control Board? 



Answer: 



The most significant accomplishment I feel I have obtained is the education and wisdom 
gained via discussions with the long tenured board members and staff. Workshops, seminars 
and board meetings have enlightened me to current issues. Listening to permitees, 
environmentalists and other concerned entities have given me various perspectives which 
have assisted in my decision making. 

Representing municipal government I have also focused on the impacts of issues and 
regulations regarding communities in my region. I feel I have made accomplishments in 
recognizing the impacts to these communities and bringing together productive communication 
between water board staff and permitees in furthering cooperative compliance. 

I am an active participant in the League of California Cities and have become a committee 
member to the Water Use Group which is looking to develop a better, closer relationship with 
the State Board and Regional Boards. I am currently on a list to interview for an "At Large 
Director" position on the League's Board which has been a goal of mine to have an important 
say representing rural communities in northern California. There are current important issues 
on water legislation which the board has final say for recommendations to the legislature and 
Governor. Water legislation will become even more present going into the future and it is 
necessary to provide reasonable assistance both economic and compliance friendly policy to 
all concerned permitees, agencies and the environmental population. 

Maybe last but not least I have increased awareness of water issues, compliance procedure 
and water policy effecting our own community. I have communicated the importance of being 
proactive as a city council and the need to enhance the relationship between the city staff and 
regional board. 



What do you hope to accomplish during your current tenure as a member of the board? What 
goals do you have for the board, and how will you accomplish them? How will you measure 
your success? 



Answer: 



Increasing my knowledge of water issues and policy enhances my ability to make reasonably 
good decisions regarding compliance enforcement. It is my goal to become a better board 
member by continuing my education via training, using the water board website and learning 
from the experienced board members and staff. 

I hope to accomplish some of the goals I focused on during my first 2 years as they still 

present an ongoing challenge. Encouraging providers, dischargers, environmentalists and 

other affected entities to take a more proactive approach in water policy compliance and to 

develop a more positive working relationship with water board staff. The workshops have 

been a fairly successful approach in working toward this goal and has been valuable in 

development of policy and procedures. «_ . _. _ 

>«Mt :mes Committee 

- - l\Iut 



190 



tfypoinfmeiitti 



2 
One of the big challenges for our regional board is to implement a backlog of TMDL's and in 
this time of budget woes presents great concern in accomplishing this task. Streamlining 
procedure and use of staff time looks to be an avenue of some relief and the board needs to 
be creative in planning to address these issues. Litigation is expensive and therefore we need 
to be good stewards in budget planning, spending and monitoring. 

The North Coast Region faces many challenges due to it's size, remoteness and resources. It 
should be the goal of this board to focus on cost effectiveness in all areas and implement the 
fore mentioned actions which in part has been taking place recently. 

Communicating and working with the state board will play an important role in our need to 
accomplish regional board goals and working as a team will have a positive impact in our 
effectiveness. Our success will be measured by the failures of our past and the new 
foundation laid down on how things are done and how money is spent. 

3. What do you believe are the most critical issues currently facing the board? 

Answer: 

• Budget - This is the biggest challenge before us because of the cuts, reductions and 
impact on staffing issues. We are challenged to be more efficient with staff assignments 
and dollars to implement studies, TMDL's, projects, etc... The regional water board is 
understaffed and under funded in many areas. 

• Storm water runoff- This entails many issues and also will be a challenge to implement 
and enforce and is very costly. 

• Litigation - This is always a critical issue due to precedent setting surprises and the 
potential costs that are difficult to anticipate. 

• Water storage - Very big issue facing the state because our quality of life depends on it 
and the population growth of the state is running ahead of the available quantity of water 
storage. 

• Septic system policy - the challenge to implement a policy that is fair and reasonable to 
the discharger. 

• Emerging Contaminants - Seems to be growing at a rate that is a great threat to health 
and the expense to resolve this threat again is a burden 'on the budget and the rate payer. 

• Monitoring - Much of the region's waterways are not very accessible by road. Aerial 
surveillance becomes a vital component for evaluating quality and determining problems. 
The region gets approximately $200,000 to measure permit compliance, identify 
ground/surface problems and implement TMDL's. 

• Permitting and Enforcement - Keeping up with the NPDES permit workload is a 
worthwhile accomplishment while on the other hand resources fall short of being adequate 
for reissuing permits and doing follow-up to determine questionable discharges to land that 
may affect water quality. 

State and Regional Board Roles 

The issues addressed by regional water boards are often scientifically complex. Preparation for 
hearings can be time consuming for board members, particularly considering these are part-time 
positions. 



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t. How do the state board and the North Coast board assist you in understanding and analyzing 
complex issues before your board? 

Answer: 



State water board staff have held workshops and presentations on current and upcoming 
issues dealing with complicated content which has assisted me many times. I take advantage 
of these opportunities and the experts layman presentations do lend themselves to better 
understanding. This has allowed me to break down the information for my analysis which in 
return gives me a head start when the issue hits the regional board meeting. 

The water board website is a good resource also which is kept well informed and updated. 
Both the state board and North coast board maintain their sites well. 

Regional staff are always at my disposal and I receive periodic e-mails with attachments that 
keep me updated on current issues. Other materials (publications, DVD's, etc..) from various 
resource entities are forwarded to me which also help with specific issues. 

5. What training have you received to help you better understand when you might have a conflict 
of interest regarding an issue on your board's agenda? How do you know when to withdraw 
yourself from voting on an issue? 



Answer: 



I have received the training on ethics and legal issues both from the water board legal staff 
(initial orientation), the City of Rio Dell and the water board's website interactive course. 

The regional counselors will point out potential conflict issues prior to meetings as necessary 
and appropriate. I will also refer to them myself if I have a doubt regarding my participation. 

I have received memos and other documents given to me by counsel regarding conflict of 
interest for my reference. 

I withdraw myself from voting on an issue when the issue involves my participation in the 
decision making process or even if it appears that I'm connected to the process which would 
result in a benefit to myself or to an entity I represent. 

I can usually decide or determine if I may have a conflict of interest and during those times I 
simply recuse my self from discussion and voting. 



Public Outreach 

This board covers an expansive region of the state, encompassing a total area of approximately 
19,390 square miles, including 340 miles of scenic coastline and remote wilderness areas, urban 
areas, and agricultural land. 



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6. How does your board assist the public in understanding the state of water quality in your 
region? Do you believe that the information on your Web site is adequate? 

Answer: 

The public learns or gains understanding the state of water quality initially via the process of 
the regional boards Triennial Review process. The review considers priorities (all tied to the 
Basin Plan) for planning purposes. 

The Review (available to public on state board and regional board web sites) explains the 
process by categorizing it's various components and contains all or most information regarding 
the status of water quality. I believe or know (in my opinion) that the regional water board web 
site is more than adequate for most inquiring people. The regional board site is also linked to 
the state board site as well as some others. 

Other ways the board assists the public in education of water quality status are: 

• Publications - distribution of materials such as handouts/mailouts, news articles, etc... 

• Workshops - the regional board holds public workshops from time to time which will or may 
discuss the state of water quality concerning general and specific bodies of water. 

• Staff presentations - regional staff travel throughout the region at times to do presentations 
regarding water quality on various issues. 

7. What do you believe are the most effective means of communication to inform the public on 
more immediate water quality issues, such as beach closures and sewage spills? 



Answer: 



I believe the most effective means of informing the public for situations mentioned above would 
be handled similar to that of emergencies for the purpose of highlighting the importance of the 
message. It is pertinent to distribute information of this type in a quick simple way. 

Coordination between water board, County Health Department (including other health 
agencies) and the media can disburse necessary health hazard announcements in a timely 
manner. Postings, radio & TV announcements and other means of alerting the public are 
important as well as posting needed info on the water boards web site. 



Federal Economic Stimulus Funds 

Governor Schwarzenegger has stated in his Environmental Action Plan that he will fully implement 
existing water quality programs, such as municipal storm water permit programs and Total 
Maximum Daily Loads (TMDLs) programs, which are required under the Federal Clean Water Act to 
improve water quality by limiting the amount of pollutants allowed into water bodies. 

Currently, regional water boards lag far behind their adopted schedules for cleaning polluted or 
impaired waters, and existing monitoring programs make it difficult to identify other waters that may 
be polluted. 



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3. What is the board doing to ensure that the region benefits from ARRA funding? 

A nswer: 

The Governor's web site provides inquirer's searching for grant funding information regarding 
ARRA funding. The web page highlighting The American Recovery & Reinvestment Act of 
2009 provides a step by step process in detail outlining it's purpose and application 
procedures. 

The North Coast Regional Board has announced and educated the public to the ARRA grant 
funding program in cooperation with the state board at the regional office. Regional staff have 
made presentations to various entities about the funding and willing to assist some agencies, 
permitees, dischargers, etc... in the process of acquiring the grant dollars. 

The regional board web site (also linked to Governor's web page) provides the link at 
www. reco very. ca . go v which provides all the information. The regional board has also 
conducted workshops on all funding opportunities. 

California State Budget Crisis 

9. How will the board monitor and enforce the TMDLs it has or will adopt? 

Answer: 

Funds for monitoring are critically lacking and state funds are not sufficient to adequately 
monitor watersheds following TMDL development Staff find it difficult to establish clear 
benchmarks and trends in order to prescribe necessary management from monitoring data. 

Consistency in the use of monitoring techniques is necessary to provide dependable data in 
developing effective prescriptions hopefully resulting in good water quality. 

Landowners are required to do monitoring in TMDL watersheds as part of TMDL 
Implementation Plans. This monitoring tends to be project specific and does not provide for 
the big picture. 

TMDL enforcement is done through the regional board regulatory authorities and also by 
specific regulatory mechanisms provided in TMDL Action Plans. Again, monitoring and 
enforcement of approved TMDL's in Region 1 is limited by current funding. 

Enforcement of Water Quality Laws 

Several years ago, the Office of the Secretary of Cal-EPA reported to the Legislature on 
environmental enforcement and suggested that the state and regional water boards were among the 
worst agencies in enforcing the law. The report stated that the boards were very slow to enforce 
clean water laws, almost never sought criminal penalties for serious violations, and generally did not 
aggressively pursue violators. 



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10. What enforcement options do you believe provide the most effective tools for violations of 
board orders? 

Answer: 

Regarding enforcement, the region established an enforcement unit which has a very active 
enforcement program. The region enforcement unit works closely with local District Attorneys 
as well as other state and federal agencies including CalEPA. 

The board has a range of enforcement options: 

• Notices of violation 

• Administrative Civil Liability fines 

• Criminal charges 

• Compliance projects 

Fines play a vital role in our enforcement program. Fining violators punishes the responsible 
party and provides deterrence. Fines are usually less appropriate when new programs are 
implemented and the regulated community is working to comply. 

Whenever possible and appropriate I prefer compliance projects as the most desired option 
and effective tool used to enforce board orders. They provide a more positive avenue for 
violators and is a good direct method of resolving the problem. This type enforcement I 
believe encourages proactive participation in the development of water quality. 

The board and its staff uses all of these options and applies what is appropriate. With the 
exception of Mandatory Minimum Penalties, staff generally use a progressive approach that is 
consistent with the SWRCB's enforcement policy. 

1 1. What staff is available to assist you in enforcing water quality laws? Is the number of staff 
adequate for enforcement purposes? If you must prioritize enforcement efforts, what are the 
priorities and how are they determined? 

Answer: 

The regional board has an Enforcement Unit consisting of a Prosecution Team including 
regional counsel/state board counsel and maybe another staffer). An Advisor Team may 
consist of another regional counsel and the regional EO. 

The number of staff adequate for our purposes depends on the issue (category), the 
complexity as well as a number of other factors which would identify priorities. Overall I 
believe our regional enforcement unit has cleaned up a back log of Minimal Penalties (pnority 
#1) and addressing other categories (brownfields, non-point source, etc.). 

Harmful Algae Blooms and Klamath River Total Maximum Daily Loads 

Blue-green algae blooms have been found in the Klamath River, Big Lagoon, and the Eel River. A 
study by the Center for Integrated Marine Technologies (CIMT) points out that these blooms 
negatively affect fish, marine mammals, and seabirds. Some algae species cause large fish kills by 
clogging up or lacerating the fish's gills. 

The CIMT report said that there is growing evidence that human contributions of phosphorus and 
nitrogen are causing the blooms to occur more frequently and contributing to their duration and 

195 



severity. A presentation to your board on December 1 1 discussed the total maximum daily load 
TMDL) process for the Klamath River. Staff said that 76 to 80 percent of the phosphorus and 
nitrogen would have to be eliminated in the river to achieve TMDL compliance. Staff also indicated 
hat the TMDL would not directly deal with blue-green algae. 

12. How serious are the negative effects of algae blooms on fisheries and marine mammals? How 
does your board currently determine the seriousness of those effects? 

Answer:, 

Fisheries and marine mammals are threatened to various degrees depending on the water 
body, environment, habitat, species, location and other factors such as temperature, nutrients, 
etc... 

Our region is focused on such an issue. That issue exists on the Klamath River and comes 
with complexity as the Klamath River flows from Oregon into California. This involves the state 
boards participation as well as Tribal influence and other various federal and state agencies. 

It's the nutrients in the water that provides for the growing of the algae and the TMDL needs to 
deal with the nutrients to establish compliance. 

In determining seriousness of effects, the water body and it's factors determine if there is an 
impairment to beneficial uses and what the impairment is and the other factors that would 
initiate a TMDL. Regional staff have presented all information they have aquired to the board 
and made available to the public. 

13. How is the adoption of the Klamath River TMDLs integral, if at all, to the broader discussion of 
poor water quality and dam removal on the river? 

Answer: 

Findings or evidence that the Klamath River is impaired (blue-green algae) has been 
forwarded to the board (submitted by various entities) which staff has been analyzing. Fairly 
recently the regional board passed a resolution (Resolution 2007-0028) regarding a Waste 
Discharge Requirement to deal with the issue. 

The TMDL will identify and define the problems regarding the Klamath River and what it will 
take to neutralize the impairment. The dams on the river are accused as the culprits creating 
the ideal habitat for the birth of algae blooms. It's the theory that removing the dams will 
increase the flow and in that process the habitat for the algae will be removed. 

The board realizes that the water body is impaired and that there is evidence of negative 
impact to the beneficial uses of the river and documented cases of health issues. There are 
many issues to be resolved by many interested and invested parties which have been working 
cooperatively (for the most part) and working toward progress. 

Emerging Contaminants 

New and emerging contaminants may be present, but not detected. Among these are 
pharmaceuticals and personal care products, industrial chemicals present at low concentrations, and 
chemicals that may affect the hormone system, referred to as "endocrine disruptors". 

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8 
Additionally, new testing by independent organizations has turned up pharmaceuticals and 
over-the-counter medicines affecting drinking water supplies across the country. While the findings 
reported by the Associated Press in March 2008 involve miniscule amounts of various 
pharmaceuticals, concerns over long-term consequences to human health and possible additional 
testing have resurfaced. 

Under current law, required testing and standard limits for pharmaceuticals and 
over-the-counter drugs in drinking water are minimal. Beginning in January 2008, several water 
systems began monitoring under the U.S. Environmental Protection Agency (US EPA) Unregulated 
Contaminant Monitoring Regulation for contaminants selected from the contaminant candidate lists. 
These are potential contaminants that U.S. EPA may regulate in the future. Federal and state laws 
give authority to U.S. EPA, the California Department of Public Health, or the regional water boards to 
regulate contaminants, which could include pharmaceuticals. 

The Department of Public Health has developed draft regulations and is proposing to require an 
analysis of specific unregulated chemicals and report detections for certain groundwater recharge 
and reuse projects. These chemicals include pharmaceuticals, endocrine disruptors, and other 
wastewater indicator chemicals. 

14. To what degree should the state water board, regional boards, and the California Department 
of Public Health coordinate with one another to mandate testing and set safety limits for drugs 
in drinking water? Do you believe this is an issue that should be dealt with on a 
region-by-region basis? 



Answer: 



In this case I believe the lead agency should be at the state level. At this point this issue 
needs to be developed from higher levels due to the fact that we are in the beginning stages of 
identifying particulates and deciding what is to be regulated or not. 

As we move along coordination between agencies should become a high phority in the 
development of policy regarding this issue. It is important to the big picture to compare 
information and data amongst the water boards and Department of Health. This will provide 
consistency statewide while specifics can be identified with the uniqueness of each region. 

This is becoming an issue of high concern for many areas and people especially in aghcultural 
and dairy communities. Livelihoods in this industry are dependant on the quality of water as 
the liability rest on the shoulders of their product not to mention the health hsks to animals and 
themselves. 



The majority of policy should be dealt with on a region-by-region basis (as most other issues) 
but not without coordination with the state board and Health Department in order to provide 
fairness and consistency. 

There is some ongoing work dealing with contaminants by various groups and some cities 
have drug collection programs that I feel will catch on as we move forward with another big 
challenge. 



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9 
[5. Is your board monitoring these and other emerging contaminants? How are you informed of 
new sources of pollution? 



\nswer: 



The short answer is no but there has been work done on the issue. The true question asks "Is 
there a real problem? There was a study done cooperatively between EPA, Region 1 and 
Region 2 referred to as "One Step Beyond" which is available on the boards web sites. 

SWAMP is another organization which has a monitoring program which is available on the web 
sites including their own. These studies, in an effort to decide what to test for, identify and 
analyze particulates then evaluate the possible effects of those contaminants. 

Results of studies come to the board in where we receive updates which are presented to the 
board at meetings. The public also gets an opportunity to get informed at these meeting and 
have their input recognized. Updated information is also available on the web sites. 



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199 



Message Page 1 of 9 



Senate Rules Committee 
.JUH i 2003 
May 20, 2009 Apptimtmeate 



Geoffrey M. Hales 

WQCB, North Coast Region 

Responses 



Statement of Goals 

1. What have been your most significant accomplishments as a member of the North Coast 
Regional Water Quality Control Board? 

Four accomplishments come to mind: 

(1) Building existing, and establishing new relationships with landowners and land 
managers in my region, (including industrial land managers, private landowners, and 
tribal representatives), and having the opportunity to meet with them, hear issues, and 
bring issues to staff for clarification and/or additional discussion 

(2) Providing technical representation to my Board on scientific water quality issues that 
other B