Full text of "Hearing"
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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
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STATE CAPITOL
ROOM 3 191
SACRAMENTO. CALIFORNIA
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WEDNESDAY. JUNE 3, 2009
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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 .
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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
MEMPERS 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
TERESA ACUNA, Assistant to SENATOR CEDILLO
BILL BAILEY, Assistant to SENATOR AANESTAD
CHRIS 8URNS, Assistant to SENATOR DUTTON
BRENDAN HUGHES, Assistant to SENATOR OROPEZA
ALSO PRESENT
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
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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
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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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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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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
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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
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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.
8
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.
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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 folks7
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
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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
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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
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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
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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
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06/08/2009 09:22:42 AM
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
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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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6 of 1 1 shee<
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
27
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Page 24 to 27 of 36
8 of 11 sh
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.
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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 -HVdav of JtCK-C , 2009.
J^c;&/K-~
INA C. LeBLANC
CSR No. 6713
-oOo-
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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.
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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" thinking3. 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, Dn D., University sf California at Sarta Barbara, v* *«.* (PoTfflt&litifiC
m 0 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
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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 ihe7 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
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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«': '■:'::■'
. ~iy •■ -
^:^^:-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
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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:
Page 8 of 1 4
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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:
Page 10 of 14
70
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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<3ues< 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.JII.PJMW.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
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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 tluu'/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 :; 0 200*
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 9th thru 12th 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 9th thru 12th 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
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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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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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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.
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(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
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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://wvt-'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.
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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
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STATE CAPITOL
ROOM 1 1 3
SACRAMENTO. CALIFORNIA
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WEDNESDAY. JUNE 10. 2009
2:05 P M .
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Reported By INA C. LeBLANC
Certified Shorthand Reporter
CSR No 6^13
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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 .
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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
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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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
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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
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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
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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
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
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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: 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
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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,
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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
of 27 sheets
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06/15/2009 09:58:05 AM
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
06/15/2009 09:58:05 AM
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6 of 27 sheets
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
06/15/2009 09:58:05 AM
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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
Page 26 to 29 of 99
06/15/2009 09:58:05 AM
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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10 of 27 sheets
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
37
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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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12 of 27 sheets
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,
45
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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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14 of 27 she
=
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
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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
0
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.
0
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
0
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?
0
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
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65 I
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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
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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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24 of 27 sheets
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
22
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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
Page 2 of 15
101
Geoffrey L. Baum
California Community Colleges Board of Governors
Senate Rules Committee Confirmation Hearing Question responses
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?
Page 3 of 15
102
Geoffrey L. Baum
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
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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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Geoffrey L. Baum
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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Geoffrey L. Baum
California Community Colleges Board of Governors
Senate Rules Committee Confirmation Hearing Question responses
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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Geoffrey L. Baum
California Community Colleges Board of Governors
Senate Rules Committee Confirmation Hearing Question responses
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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California Community Colleges Board of Governors
Senate Rules Committee Confirmation Hearing Question responses
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;
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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.
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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
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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?
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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^.v1 ' 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 26th.
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
J2«
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.
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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?
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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.
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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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130
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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.
131
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 lth-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
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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
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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.
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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.
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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?
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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.
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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.
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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.
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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.
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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 done7
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.
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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
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•
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?
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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
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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
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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?
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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.
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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.
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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 care9 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.
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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 campuses7
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
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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 funds7 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 26th.
We would also like to receive an updated Form 700, Statement of Economic Interest, by
May 26th.
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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May 5, 2009
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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
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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
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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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May 5, 2009
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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
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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
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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
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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 11th 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
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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
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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.
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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
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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 10th
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
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The Honorable Darrell Steinberg
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• 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
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The Honorable Darrell Steinberg
May 27, 2009
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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
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The Honorable Darrell Steinberg
May 27, 2009
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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.
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The Honorable Darrell Steinberg
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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.
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The Honorable Darrell Steinberg
May 27, 2009
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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?
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The Honorable Darrell Steinberg
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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.
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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?
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The Honorable Darrell Steinberg
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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 planning 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
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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.
GoveRNMENT
DOCUMENTS DEPJ
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SENATE RULES COMMITTEE
STATE OF CALIFORNIA
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HEARING
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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
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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
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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
Pane
iii
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
iv
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Questions by CHAIRMAN STEINBERG re:
Differences in OSPR since Cosco
Busan incident 25
Consolidating authority for
D
1
Confidence in OSPR having improved
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S
Witnesses in Support of STEPHEN L. EDINGER:
TED TOPPIN, California Association of
JERRY KARNOW, JR., California Fish and Game
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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
16 sheets
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Questions by CHAIRMAN STEINBERG re:
Reorganization/consolidation 37
TMDL development 39
STATEMENT BY SENATOR AANESTAD 4 2
Witnesses 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
53
17 Proceedings Adjourned
18 CertificateofReporter 54
19 APPENDIX (Written Responses of Appointees)
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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.
2
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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
0 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,
0 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
0 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
0 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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4 of 16 sheet1
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
f 16 sheets
Page 11 to 14 of 55
07/14/2009 09:40:24 AM
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
if 16 sheets
Page 19 to 22 of 55
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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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
34
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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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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
07/14/2009 09:40:24 AM
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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
! of 16 sheets
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07/14/2009 09:40:24 AM
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
50
07/14/2009 09:40:24 AM
Page 47 to 50 of 55
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
0
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
0
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
0
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
0
1
Steinberg.
CHAIRMAN STEINBERG: Aye.
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MS. BROWN: Steinberg aye.
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CHAIRMAN STEINBERG: That passes. 2E, 6,
and
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15 will be put over to next week, without objection.
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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 21st 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.
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Mary S. Fernandez
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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
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Mary S. Fernandez
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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
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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.
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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.
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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.
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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
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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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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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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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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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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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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
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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
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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
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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
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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
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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.
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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.
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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;
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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
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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
91
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
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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
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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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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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Ms. Nettie Sabelhaus -6- June 19, 2009
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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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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Ms. Nettie Sabelhaus - 12 - June 19, 2009
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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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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(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
my current term, I will continue to focus on the Stormwater Program and to find ways to
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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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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
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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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May 11, 2009 .
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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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Monica S. Hunter, Ph.D.
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Page 12
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.
May 11,2009
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.
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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 0 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.
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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.
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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
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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
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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.
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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
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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 content 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 ftuies Committee
M 0 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.
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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.
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Ms. Nettie Sablehaus
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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
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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.
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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.
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Ms. Nettie Sablehaus
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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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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 .
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Ms. Nctiie Sablehaus
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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
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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.
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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
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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
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Ms. Nettie Sablehaus
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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
149
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 || ifv> , y
Sacramento, CA 95814-4900
Dear Senator Steinberg: APP^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 9.2oo9
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.
159
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
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166
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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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.
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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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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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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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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.
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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
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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.
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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
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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.
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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:
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(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.
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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?
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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
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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
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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
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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
188
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.
191
3
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.
192
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.
193
3. What is the board doing to ensure that the region benefits from ARRA funding?
Answer:
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".
196
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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[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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Senate Rules Committee
.JUH i 0 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 Board Members are unfamiliar with, as well as working with staff to provide
technical review and prepare comment for some of the more significant issues in our
region. Some of these significant issues include Basin Plan Amendments for sediment
and dissolved oxygen, and review of water quality modeling to support Klamath River
TMDL development.
(3) Initiating direction to our E.O. for pursuing involvement with the Klamath River FERC
relicensing Settlement Agreement process. Until this direction was given, our board was
excluded from Settlement Agreement discussions and could not collaborate with
Settlement parties while working on extremely relevant Klamath River water quality
science and policy. This direction was supported by my Board and has resulted in our
Region's active participation in the settlement agreement process.
(4) Being elected Vice Chairman in 2008 and again in 2009. I am honored to represent the
Board in this position.
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?
In January 2008 I established the following goals:
(1) To represent and act on behalf of all the people in my region.
(2) To make fair and balanced decisions based on science and evidence. My professional
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background is in water resources science, and I usually have a strong technical
understanding of the issues presented to the Board which helps guide me in my
decision making.
(3) To be involved with Staff where my expertise can contribute, such as technical planning
or policy development.
(4) To increase my awareness of regional (and state) threats to water quality.
(5) To recognize conflicts of interest and act accordingly.
I am confident that I have either met, or am making continued progress toward meeting these
goals.
As for my Board, I have the following goals:
(1) To be actively engaged with Staff so ourTMDL schedule can be completed (e.g.,
Klamath River, Elk River).
(2) To adhere to the priority list established in our most recent Triennial Review.
(3) To identify where permitting requirements and specifications can be streamlined and
integrated with similar requirements by other agencies (e.g., CDFG, Cal Fire) to reduce
redundancies, effort, and cost to both the Board and to the landowner.
I measure my success based on my interactions with, and feedback I receive, from my fellow
Board members, from Staff, and from the public or other entity that comes before the Board.
The feedback I have received during my current tenure has been very positive, which is
satisfying, encouraging, and motivating; to me, this directly translates to success.
3. What do you believe are the most critical issues currently facing the board?
Clearly the most serious issue facing my Board is the State budget crisis. Staff is working
reduced hours, layoffs have been discussed (but to the best of my knowledge have not
occurred), and to some degree I expect that overall morale has been reduced. My Board works
to help establish protocols and procedures, but budget cuts reduce the effectiveness of
implementing programs and enforcing water quality laws. If the budget is not amended, the
situation can only go from bad to worse.
Other critical issues facing my Board include ourTMDL adoption schedule, e.g., Klamath River
TMDL development and integration with Oregon DEQ, and Agreement-in Principle (AIP)
negotiations with PacifiCorp and the Settlement parties.
In 2008, I reported that one of the most serious problems facing our Regional Board is having
Staff located in Santa Rosa, given our Region's geographic vastness and diversity. Some of
the related complaints cited by Staff include enforcement ineffectiveness and poor
representation. Our Board and Staff had discussed the feasibility and challenges of
establishing branch offices in Eureka and Yreka, but the cost-effectiveness was questioned.
Given the current State budget situation, pursuit of this issue has been suspended.
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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4. How do the state board and the North Coast board assist you in understanding and
analyzing complex issues before your board?
Regional Board Staff have been very helpful, and are always willing and enthusiastic to have
discussions to help improve my understanding certain issues. Regional Board Staff also
provide frequent briefings on developing issues, which provides a forum for technical
discussion and allows me to provide feedback. I also do my best to review and understand the
issues being brought before the Board in advance of the Board meetings, and frequently
engage staff in technical discussions to improve my understanding of technical or policy
details. In addition to discussions with Staff, I frequently consult the Basin Plan to frame the
context (and relevance) of my questions.
State Board assistance for my understanding comes primarily from the WQCC workshops,
where linkages between regional issues and state-wide goals are explained.
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?
Given my profession as a consulting geologist specializing in river ecosystems and related
surface water issues, I am extremely cautious about issues coming before my Board that I
have specific knowledge about (potential bias) or I have some professional association with
the project that could be viewed as a conflict. When this happens, I contact my E.O. for
technical background details, and then I contact counsel to review the details of the issue to
help determine whether a conflict exists. Similarly, when I have the opportunity to participate in
a new project professionally, I often check to be sure there are no ongoing issues with the
Board that could make my involvement considered a conflict of interest. Professionally, I will
exclude myself from projects and from discussions if I feel the potential for a conflict exists. I
try to be acutely aware of potential conflicts, and so far I have not had to withdraw myself from
voting on an issue.
My training to recognize a conflict includes: (1) introductory training from Phil Wyels following
my initial appointment in 2007; (2) a training workshop and related discussion at the fall 2008
WQCC meeting; (3) discussions with fellow board member David Noren who is also a
consultant in the environmental sciences; (4) frequent discussions with staff counsel; and, (5)
completing the required ethics training following my initial appointment in 2007.
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.
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?
One of the most common and effective ways my board assists the public in understanding the
state of water quality in my region is via public outreach and scoping meetings provided by
staff. Staff is constantly traveling throughout our region to provide public workshops on issues
currently affecting water quality. For example, workshops (and Board Member briefings) on the
Federal and Non-Federal Timber Waiver were recently held public workshops in Fortuna on
March 24, 2009 and in Yreka on April 8, 2009. Although these workshops were focused on the
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timber waiver, discussion included many aspects of water quality impacts, from sources to
solutions. Similar identification of issues and discussion of impairments occurred during the Elk
River TMDL CEQA scoping meeting in Eureka on May 20, 2009. 1 believe these meetings are
very effective means of public outreach, and give staff the opportunity to engage the public and
help explain both impairments (problems) and solutions.
As for our website, I do think the information it contains is adequate. There is always room for
improvement, but the site appears to be updated frequently, contains information on current
issues, and provides useful links to related information. In addition, at the July 3, 2009 board
meeting, Mr. Ric Costales of Siskiyou County complemented staff for a well developed and
informative website listing for the 2008 Staff Integrated Report on the 305(b) and 303(d) listing.
This direct public feedback supports my opinion.
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?
As I understand the process, the State Office of Emergency Services (OES) is the primary
respondent when spills that present threats to public health and safety are reported. As
appropriate, OES will contact Regional Board Staff who will respond accordingly. Staff has
informed me that all our sewage districts, cities and counties are well aware of the OES
procedures, and most know who the primary regional board staff contact is. For severe cases
where potential impacts to water quality and public health are imminent, my E.O. and Assistant
E.O. are also contacted and engage in whatever public notifications are necessary.
As an example, this line of communication was performed in November 2007 when a diesel
spill in Freshwater Creek (Humboldt County) occurred and presented an immediate threat to
downstream residents. Our board received testimony from participating public safety agencies
citing the effectiveness and success of this process.
Other effective means of communication include public service announcements (PSA) radio
broadcasts, television news reports, notices on our Board website, and postings at the affected
waterbody. Our Board has been involved with supporting decisions for posting for Blue Green
Algae at Klamath River reservoirs.
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 is currently facilitating communication with grantees that have projects that coincide with
board priorities. To do this, staff is working with grantees, primarily in our TMDL watersheds
(e.g., Scott River, Shasta River) to help them prepare for projects that are "shovel-ready". For
these priority projects, staff is primarily working with RCDs based on our established working
relationships and their understanding of the procedures needed to be ready should ARRA
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funding come through for the project. Other entities staff is working with include small systems
community service districts (CSDs) with needs that have already been identified and also have
shovel-ready projects that require funding.
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?
I stay informed of fiscal resources available to my Board primarily via weekly updates and
discussions with my E.O. If all activities on my Board's agenda cannot be undertaken, our
Board prioritizes activities by considering timelines and dependencies (e.g., Klamath River
TMDL), severity or threats to public health and safety, and resource availability (staff and
budget).
My priorities include the following:
(1) Meeting TMDL schedules.
(2) Streamlining permitting and reporting requirements to help minimize redundancy
between agencies.
(3) Completing Basin Plan amendments (sediment amendment, dissolved oxygen
objective).
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?
The Board has a variety of enforcement options it can exercise, including:
• Investigation Orders
• Cleanup and Abatement Orders
• Cease and Desist Orders
• Notices of Violation
• Administrative Civil Liabilities
• Mandatory Minimum Penalties
• Pursuing civil or criminal charges
Of these, the most effective tools are probably: (1) issuing Notices of Violation, (2) assessing
Administrative Civil Liability fines, and, (3) pursuing civil or criminal charges.
Our region has an active enforcement unit which was established in response to lack of
enforcement criticism. In addition, over the last year, staff has caught up with the Mandatory
Minimum Penalty (MMP) backlog and has remained caught up. Staff is also working to review
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the backlog of in-place Cleanup and Abatement Orders (CAOs) to either close out orders that
have been completed and prioritize open orders requiring action.
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 prioritize enforcement efforts, what are
the priorities and how are they determined?
I believe all staff are available to assist me in enforcing water quality laws. I have never had a
problem with the willingness or availability of staff to help when I have questions or seek
clarification on a particular issue. As for the adequacy of staff availability for enforcement
purposes, I would say we are understaffed and the current number of staff available for
enforcement is inadequate. As a result, enforcement actions are often complaint-driven rather
than inspection-driven. If I must prioritize enforcement efforts, my considerations would include
the severity of the action, the threat to public health and safety, and the significance of the
water quality violation.
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 (actually, Staff is
currently developing a TMDL for microcystin in the Klamath River reservoirs with specific
numeric targets).
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?
I have not had the opportunity to obtain and review the CMIT report, but I certainly do not
dispute the finding that Blue-green algae (BGA) blooms negatively affect fish, marine
mammals, and seabirds. I assume the BGA blooms the CMIT report studied contain
microcystin, which is a hepatoxin (i.e., it affects the liver by physically disrupting cells and
causing liver dysfunction), so I am not surprised that a linkage has been established between
BGA and the animals that have habitats where blooms occur. In addition to known effects on
fisheries, marine mammals, and seabirds, there is also strong evidence microcystin has
harmful effects on dogs. In 2006, the Humboldt County Department of Health and Human
Services issued a fact sheet for animal health workers and interested parties citing 9 dog
deaths since 1991 following contact with water bodies in Humboldt and Mendocino counties
(Big Lagoon and South Fork Eel River) that strongly suggests BGA poisoning. These findings
are all in addition to the suspected harmful effects on humans.
Blue Green Algae (BGA) is symptomatic of hypereutrophic conditions. In some areas, such as
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the Klamath River reservoirs, these conditions are controllable and can be managed. In other
systems, such as Big Lagoon, these conditions cannot be controlled (Big Lagoon can become
hypereutrophic when the lagoon does not breach and nutrient concentration is extremely high).
Controllable environments where BGA blooms occur should be recognized so contributing
factors (i.e., nutrient loading) can be managed, such as the microcystin TMDL currently being
developed for the Klamath River reservoirs. Uncontrollable environments where BGA blooms
occur should be monitored and the public notified as appropriate when blooms or suspected
conditions are present that pose a health risk. In all cases, the public should be notified when
BGA blooms occur and the potential health risks posted.
Based on the above information and the water bodies in our region that are known to have
BGA blooms, I believe it is essential for our Board to remain diligent in our awareness of BGA
and consider these blooms to pose a potentially serious threat to human and animal health.
Our Board relies largely on staff and regional technical expertise to determine the magnitude
and severity of BGA blooms. Because of this, our Board must remain aware of developing
science to help increase our knowledge of BGA (e.g., environmental conditions and health
effects) so we can adapt our actions as appropriate.
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?
The TMDL is directly related, integral, and essential to improving water quality on the Klamath
River. Beneficial uses must be met to meet our water quality objectives. Currently, water
quality standards (numeric and narrative) are not being met, and certain management actions
are necessary to improve these degraded conditions. Improving streamflow management on
the Klamath River is essential to improving water quality; this car be achieved by: (1) removing
the dams to help restore unregulated flow conditions, or (2) keeping the dams and better
managing downstream flow releases to mimic natural streamflow hydrograph components.
Removing the dams and restoring unregulated streamflow can improve sediment dynamics,
improve water temperatures, and restore access to upstream anadromous fish habitat (i.e.,.
positive biological responses to expected physical changes). If the dams remain, improved
streamflow management has the potential to improve water temperatures, but could require
coarse sediment management to help replenish in-channel storage and supply and would not
improve anadromous fish access. Both a "dams in" and a "dams out" scenario are currently
being evaluated by staff given the uncertainty of whether the Settlement Agreement will
commit PacifiCorp to dam removal or not. Regardless of the outcome, a TMDL and
implementation plan will be developed that is designed to meet load allocations which
represent attainment of water quality standards and satisfying basin plan objectives.
The TMDL and its implementation plan represent a bi-state analysis and approach with
Oregon, and it is my understanding that a Memorandum of Agreement for TMDL
implementation is expected to be signed sometime this month (June); this represents a
significant cooperation between our states. Moreover, it is my understanding that the TMDL is
the only document in the basin aimed specifically at water quality. By not adopting the TMDL it
is unclear how water quality standards and basin plan objectives will (or can) be met, let alone
enforced.
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
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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 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?
I believe this is a topic that has been largely overlooked until recently, and I am pleased to see
the momentum that has been gaining over the past coupe of years to focus on this issue. We
have heard public testimony from concerned citizens regarding pharmaceuticals and endocrine
disruptors, and certain organizations have started community outreach programs to educate
the public on the proper medicine disposal. I am pleased with these efforts to broaden the
general pubiic s awareness. I also believe this is an issue that should be dealt with on a
statewide basis (rather than on a region — by-region basis), with threshold contaminant levels
established based on direct and indirect human health effects.
15. Is your board monitoring these and other emerging contaminants? How are you informed
of new sources of pollution?
It is my understanding that the State Board has assembled a panel of leading scientists to
determine what should be monitored and how monitoring should be conducted. Once this
happens (contaminants have been identified and monitoring protocols established), my board
can move forward with monitoring programs for these emerging contaminants. In the interim,
my board is not taking action on monitoring emerging contaminants.
Recently my largest information source for emerging contaminants has been via public
testimony from concerned citizens. I also occasionally hear about emerging contaminants
through professional conversation (e.g., with fellow consultants in the groundwater industry
who have used these contaminants as indicators for groundwater migration from failing
wastewater systems). I also feel that I can rely on the technical expertise of staff, who can
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point me in the right direction if I have a particular question.
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John H. Muller
Responses
WQCB, San Francisco Bay
June 7, 2009
Senate Rules Committee
JUN 1 2003
Appointments
Ms. Nettie Sabelhaus, Senate Rules
Committee Appointments Director
Room 420
State Capitol
Sacramento, CA 95814
Subject: Responses to Senate Rules Committee Questions from the Honorable
Darrell Steinberg, Chairman of the Senate Rules Committee, as Part Of
Confirmation Process for Regional Water Quality Control Board Appointment
Dear Ms. Sabelhaus:
The following written answers are in response to your letter of May 1 1 , 2009 requesting a
response to questions for the upcoming Senate Rules confirmation hearing regarding my
reappointment to the San Francisco Regional Water Quality Control Board on July 8, 2009.
STATEMENT OF GOALS
1. Since 1995 when you were first appointed, what have been your most significant
accomplishments as a member of the San Francisco Regional Water Quality Control
Board?
There have been many accomplishments during my twelve years on the Regional Board. My
definition of accomplishment is that we ensure we continue to protect the water quality and
environment in our region, which we all work very hard to do. Every issue we study, vote on
and bring to the surface is an accomplishment as it continues to move water quality forward.
After over eleven years of working on the Mercury TMDL, it finally was adopted by our Board.
This is an important issue that many past and present Boards have worked hard to achieve. This
was a top priority facing our Board and a major accomplishment. We continue to work on the
most important TMDL's for our region.
In 2007 the board released a report on trash pollution in our region which found all 14
watersheds in the region had high levels of trash. In our draft municipal Regional Stormwater
Permit trash was identified as a pollutant of concern. In February the board released its order on
SF Bay Region Municipal Regional Stormwater NPDES Permit which includes a provision for
trash control. We will be working on along with the storm water issues of all the municipalities
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in the bay area. The first accomplishment is recognizing the problem. We have a plan and are
moving forward to further accomplish the goal of reducing trash pollution
2. What do you hope to accomplish during your current tenure as a member of the
Board?
I want to see us continue to enforce all the rules and regulations of the Clean Water Act and the
Porter-Cologne Act, both as a Regional Board member, and presently as Chair. Accomplishing
this during the current economic climate will be a challenge, indeed, but we will continue to
strive for success.
3. How does your board help the public understand the state of water quality in your
Region?
We continually monitor and update our website so that current information is always available.
The Water Board regularly produces "fact sheets" for the public about water quality issues; The
Regional Monitoring Program (RMP) is managed by the SF Estuary Institute which issues a
publication Pulse of the Estuary which is for the public; The Water Board is working more
closely with county health departments to ensure that the health departments have up to date
water quality information and are making water quality and public health information available
to the public.
4. As of April 8, 2009 there are no minutes of the board's meetings since April 9, 2009,
listed on the board's Website. Generally, how long does it take to place the board's
minutes on its Website? How do you monitor the way in which your board
communicates with the public?
As you are well aware, there have been serious financial challenges with the state. This has
been a staffing issue which has been taken care of. Generally, of course the minutes should be
posted in a timely manner. I keep in touch with the Executive Officer and staff offering
suggestions and encouragement to do the best they can with the limits that have become a
reality. Even paper purchases are being limited now.
STATE AND REGIONAL BOARD .„„
5. 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?
These two boards are working much better together. The State Board has a monthly Chairs'
conference call for updates and information. This is a big step forward which will even better
support informed data facilitating for the decision making process. State Board members and
staff are also available to answer our questions and concerns when needed. An open door
policy helps with clarification on all-important issues.
Our state board liaison member attends all our regularly scheduled board meetings and as Chair
I give her the opportunity to update us on all issues relating to state and regional board
activities.
In my opinion, during the past twelve years, I feel we have the most qualified, dedicated and
informed board members in the state! A big advantage is in having a fully seated Regional
Board is that there is a healthy, diverse membership from such different backgrounds. This
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leads to more shared expertise and open information made available allowing even better
decision making abilities possible.
From staff, Board members receive excellent staff reports, staff summary reports and
presentations that explain and analyze the complex issues in understandable terms. Staff also
provides Board members less formal monthly report items that keep both Board members and
the public abreast of issues and cases as they evolve. Additionally, Board members have easy
access to the Executive Officer of the Board for answers to questions.
6. What is the best use of the board's time? Should the board focus on the permitting
process or focus on broad policy issues, such as updating basin plans and setting
regional priorities? Or can the board reasonably be expected to accomplish both?
Our number one role is to hold workshops and public hearings on all issues before us. You
really cannot pick just one. We have continued to do all these activities. We have focused on
the permitting process and broad policy issues. We continue to update our basin plans and set
regional priorities. We must do our best to accomplish both as we work with US EPA to
accomplish these goals.
7. Has your board developed or discussed creating a mechanism that would let the public
know if the waters in your region are becoming cleaner and by how much?
We listen to all the Bay Area Agencies (Save the Bay, Water Keepers, Communities for a Better
Environment, etc) as well as receive information from them and forward this on to the public
through the Board's website and outreach programs. Also please see the answer to question 3.
8. Do the state board and your regional board staff assist you to better understand some
of the complex issues before you if you request help? If now, where do you seek help
when you need it? Do you have any suggestions on how the state water board's staff
might better assist you?
The State Board and our Regional Board staff always are available to answer any questions
we might have. State staff is doing a great job, we have a liaison to our monthly meetings
and we have our monthly Chairs' call. They all are doing a good job and we have come a long
way over the past twelve years!
ENFORCEMENT
9. 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?
There is really no one most effective option to enforce violations of board orders and water
quality laws. Since the circumstances of each violation differ, the most effective enforcement
option may differ from violation to violation. Fines and penalties play a major role in
publicizing the need to comply with the Porter-Cologne Act, penalizing those who violate the
Act, and deterring the party in violation and other parties from future violations of the Act. It
may not be appropriate to fine small businesses or individuals that may be forced to go out of
business to pay a fine. Oftentimes it is better to use enforcement options available under Porter-
Cologne to ensure the involved parties clean up the impacts of their violations.
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10. Without a current formal state board policy on enforcement, how does your board
determine if it is consistent in its enforcement practices with other regional boards?
Our jobs must be done and our Water Board continues to rely on existing State Board
enforcement policy that will be valid until it is revised. Our Water Board staff participates
with the State Board's Office of Enforcement and other regions in enforcement roundtables
to review enforcement actions from around the sate and to make sure we have consistency.
Our Water Board is represented by the attorneys from the State Water Board's Office of
Enforcement in many of its enforcement actions, and those attorneys do provide a state wide
perspective.
TRASH POLLUTION
11. How might the Municipal Regional Storm water Permit affect the deposition of
trash in the region? Should other improvements be expected?
As stated in your prologue to this question, the February 2009 draft of the Municipal Regional
Stormwater Permit includes significant requirements for trash controls by all the municipalities
it covers. I believe this Permit covers 77 local agencies, so it will be the first major regulatory
vehicle requiring trash control in this region!
Based on comments and testimony given in May regarding the February 2009 draft, the Water
Board directed its staff to ensure that the Permit focuses controls on those areas listed as
impaired, requires implementation of trash control measures over this 5 year permit cycle within
the financial abilities of the cities, and implements cost effective measures for figuring both the
reduction in trash and whether other water bodies in the region have been harmed.
'&*
Also, the Water Board expects to use the Stormwater Permit as its main means to regulate trash
pollution. However, over the next few years, those local agencies not covered by this
Stormwater Permit will also be required to implement similar trash control methods as those
required by the Permit. We have made good progress. I guess there always is more that can be
done, but we all must start somewhere.
12. How do you see the designation of part of the bay as impaired by trash? How will
you use the designation if adopted by the federal EPA?
It is quite likely more water bodies will be listed as impaired by trash in future listing processes.
The 2008 listing process established the assessment methods that will be used to analyze other
water bodies in the future. This is based on the trash assessments analyzed by staff as part of
the 2008 listing process established the assessment methods that will be used to analyze other
water bodies in the future.
The listing of 26 water bodies as impaired by trash has already raised the profile of trash
pollution and its impacts. While stating that they have financial limitations in how to control
trash, most commenters on the Municipal regional Stormwater Permit agreed that more effort
was needed to control trash pollution in the Bay and its watersheds.
Because requirements to control trash in the Stormwater Permit is included, it may not be
necessary to implement TMDLs if the federal EPA adopts the 26 trash listings. However, such
an impairment designation would clearly indicate to both the regulated community and the
public that the control of trash pollution to the Bay is a high priority for the Water Board
POTRERO POWER PLANT
13. Now that the Supreme Court case has been decided, how will the board proceed in
addressing the issues of once-through cooling and environmental effects of the
Potrero Power Plant?
Addressing the impacts of once through cooling water systems at the Potrero Power Plant and at
the other power plant in the region using a once through cooling water system remains a high
priority for this Board.
The State Board has indicated that it expects to circulate a draft statewide policy for once-
through-cooling water systems, consistent with the Supreme Court case soon—early summer
2009! Once that policy is adopted, this Water Board will apply it to both of these power plants
by reissuing their permits consistent with the statewide policy. This will before us soon, and we
will be ready.
In conclusion, I would like to thank you for the opportunity to answer these questions. I look
forward to being able to continue to work for the betterment of our state and environment. I
appreciate the ability to further be a caretaker of the earth.
Sincerely yours,
John H. Muller
214
215
May 28, 2009 , .,-, ^
TO: Senate Rules Committee Appointment Director
California Legislature
Room 420, State Capitol Senate Rules Commi
Sacramento, CA 95814
m 0 3 200-
Attention: Nettie Sabelhaus
Dear Madam,
I am submitting my response to your questions regarding my appointment to the San
Francisco Bay Regional Water Quality Control Board. I am also including form 700,
Statement of Economic Interest.
Statement of Goals
1. Since 2008 when you were first appointed, what have been your most significant
accomplishments as a member of the San Francisco 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?
Besides acquiring the knowledge of Water Board functions, I contributed by refining the permitting
requirements wherever possible, suggesting language to new TMDLs such as for mercury and
PCB, emphasizing the need to utilize ACL monies locally to the extent allowable to implement water
quality projects, urged the Board and staff to invite media to publicize significant water quality
issues, and requested greater outreach efforts to educate public about the importance of improving
the quality of all waters and sustaining it for the future generation. I have been active participant in
Board deliberations and offered my suggestions, amendments, and refinements regularly. I have
attended all Board meetings since my appointment. Significant achievements can be listed as
follows:
• Development and implementation of TMDLs for mercury, PCB, sediment, and Tomales Bay
watershed.
• Enforcement of sewage spills with ACLs of $4 million and requirement to upgrade the
sewage collection systems.
• Progress in South Bay Salt Pond Restoration Project.
• Enforcement action and progress in controlling discharges from Suisun Bay mothball fleet.
• Inclusion of creeks in 303D list and encouragement to clean the creeks.
• Emphasis on trash clean up.
My goal is to steadily work toward improving the quality of surface, underground, saline, estuarine
waters for health and wellbeing of all living beings. There are challenges with dealing with legacy
and emerging chemicals. Technological and scientific developments will assist us to treat many
chemicals in a cost effective way.
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Rameshwar Singh, Ph.D.
May 11, 2009
Page 2
The success in measuring water quality improvements is judged by finding no mercury in Bay fish,
by decreasing number of creeks on 303D list, having fewer sewage spills in the Bay, by restoration
of Bay Salt Ponds, improving the aging water system infrastructure, and so on.
2. What do you believe are the most serious problems facing your regional board?
Some serious issues:
• Aging infrastructure results in sanitary sewer overflows and wastewater treatment plant spills.
Federal stimulus funds will not be enough to fully repair and upgrade this infrastructure. We are
also facing problems due to the budget deficits by all governmental jurisdictions due to downturn
in the economy.
• Control of trash and other urban runoff pollutants is lagging in other parts of California, but local
stormwater agencies have limited funding to address this problem.
• Legacy pollutants, such as mercury, pesticides, and PCBs continue to impact the Bay even with
Board-imposed TMDLs in place.
• The recession has resulted in slowing of site cleanups and abandonment of water quality controls
at some development sites.
• Slowing disbursement of bond funds threatens many of the organizations that implement the
grants that these bonds fund.
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
the ocean in your region?
• Over the past year, the staff has been constantly upgrading our website to provide improved
information on water quality issues and policy setting and provide links to water quality data.
• In the early 90s, the Water Board required all dischargers to develop and participate in the
Regional Monitoring Program for Water Quality in the San Francisco Bay Estuary (RMP).
The RMP's annual Pulse of the Estuary publication, available both in hard copy and online,
is widely recognized as the best tool in the State for informing the public about status and
trends of our major water bodies.
• The Water Board regularly produces "fact sheets" for the public about water quality issues
about groundwater cleanup sites.
• While counties are responsible for posting information about beach closures on their
websites, data on local water bodies other than the Bay, collected through the State and
Regional Water Board's Surface Water Ambient Monitoring Program (SWAMP), is posted
on our web page. Also, this Water Board is participating with other State agencies in
developing the California Environmental Data Exchange Network to house SWAMP and
other water quality data, which will provide public answers basic questions like which water
body is safe to swim in.
• Recently, the Board has been emphasizing media publicity and public outreach.
• The Water Quality Control Board staff is always available to answer questions from the
public and media.
Rameshwar Singh, Ph.D.
May 1 1 , 2009
Page 3
As of April 8, 2009, there are no minutes of the board's meetings since April 9,
2008, listed on the board's Web site. Generally, how long does it take to place the
board's minutes on its Web site? How do you monitor the way in which your board
communicates with the public?
• I have discussed with the staff about the broken links on our website. Water Board staff
has completed a major redesign of our website over the past year to conform to the
Governor's directive. However, not all links are active, and our webmaster has been
working to restore all links.
• Staffs standard procedure is to have all Board actions, such as adoption of orders and
minutes, signed digitally, transmitted electronically to interested parties, and posted on
our website within a week of the action.
• The Board follows up with staff to ensure regular use of press releases, fact sheets, and
other public outreach materials.
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.
5. 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?
• Since I joined the Board, I have attended three joint meetings with the State Board and
regional boards in San Diego, Sacramento, and Chino, where we discussed and attempted
to develop good working relationships and partnership in achieving clean water goals.
• A State Board member is assigned to our Water Board and regularly attends and comments
at our monthly meetings.
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Rameshwar Singh, Ph.D.
May 11, 2009
Page 4
State Board staff has attended our meetings and provided our Board staff direct assistance
in media relations, outreach, and assistance in responding to public inquiries.
Our Board staff is working directly with State Board staff on development of stream and
wetlands policies, water reuse policies, and addressing the impacts of climate change.
The new State Board Chair is emphasizing working with all Regional Water Boards to
develop and implement policies consistently.
Our Board and the State Board have an open line of communication whenever any question
arises.
6. What is the best use of the board's time? Should the board focus on the permitting
process or focus on broad policy issues, such as updating basin plans and setting
regional priorities? Or can the board reasonably be expected to accomplish both?
• The best use of the Board time, in my opinion, is listening to the stakeholders,
environmental and interested groups, and public and public officials. These opinions, staff's
findings, clean water act and our knowledge of the issues guide us in making a balanced
decision.
• The Board's most significant actions are the adoption of basin plan amendments,
refinements of TMDLs and permitting requirements within the set policy guidelines. These
decisions are made in public where extensive testimony is received. Some of these actions
take more than one Board meetings.
• The Board meets privately to consider only personnel and legal issues. The Board also
reviewed the performance of the executive officer and provided the direction for
improvements, where necessary.
• Permitting process, development of basin plans, making decisions on broad policy issues,
etc are all important. These issues are taken up by the Board as the need arises. The
Board is forced to take time to take decisions on all these matters. The limitations are
placed on the Board due to cut back in staff time due to the State budget crisis.
• Our Board is full of competent people, and there is no shortage of skill and expertise. The
time, budget, and staff availability to investigate the cases are limiting factors. I feel one
Board meeting per month is not adequate.
7. Has your board developed or discussed creating a mechanism that would let the
public know if the waters in your region are becoming cleaner and by how much?
The Board has established the Regional Monitoring Program for Water Quality in the San Francisco
Bay Estuary (RMP), which provides the public with extensive information on water quality in our
region, with a focus on the Bay. The RMP's annual Pulse of the Estuary publication is available both
in hard copy and online, for which the information is generated through the Surface Water Ambient
Monitoring Program. We also provide monitoring information to many groups for their review. Based
on data provided by us, the San Francisco Estuary Project and the Bay Institute issue report cards
regularly. Lately, the Board has emphasized the role of media and public outreach. Just last
Saturday, Chanel 9 aired an eleven minutes presentation on sewage spills in their program, Quest.
8. Do the state board and your regional board staff assist you to better understand
some of the complex issues before you if you request help? If not, where do you
Rameshwar Singh, Ph.D.
May 1 1 , 2009
Page 5
seek help when you need it? Do you have any suggestions on how the state water
board's staff might better assist you?
Certainly, Board staff at State and regional levels is always ready to assist the Board members to clarify
and answer questions on complex issues. Our staff prepares status reports on significant issues for both
public and Board members. Our staff has been working hard, but they can't work two Fridays each month
and the vacant positions can't be filled at this time due to the budget crisis. The Board members spend a
huge amount of time in going over the details of every issue which comes before it. Of course, the Board
members use their expertise, materials presented to them, and public comments in making their
decisions. The only solution to get more efficient help from the staff is to provide more staff and
resources, which is not possible at the present time.
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 San Francisco regional water board scored a low of 20 percent in
2008 and a high of 63 percent in 2005 in wastewater violations compared to completed
enforcement actions. This is below the average of the nine regional boards. For
stormwater violations compared to completed enforcement actions, the board scored a
low of 50 percent in 2005 and a high of 98 percent in 2007. This is below the average of
the nine regional boards.
9. 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?
Since I joined the Board, we have taken many enforcement actions. We implement TMDLs through
permits or other regulatory mechanisms. Our Board has adopted regionwide permits, such as the
regionwide mercury discharge permit for wastewater dischargers with required level of implementation
and monitoring.
Our enforcement staff directly monitor for compliance of permits and recommend enforcement actions if
needed. We have required an adaptive management strategy that phases implementation based on
monitoring and the collection of new information about the constituent or its control. Every time a permit
comes up for renewal, we tighten up the requirements based upon the technological progress. Our
approach to imposition of penalties may be summarized as follows:
• There is no one most effective option to enforce violations of board orders and water quality laws.
Since the circumstances of each violation differ, the most effective enforcement option may differ
from violation to violation. Fines and penalties play a significant role in publicizing the need to
220
Rameshwar Singh, Ph.D.
May 11,2009
Page 6
comply with the Porter-Cologne Act, penalizing those who violate the Act, and deterring the party
in violation and other parties from future violations of the Act.
• It may not be appropriate to fine small businesses or individuals that may be forced to go out of
business. It is frequently better to use other enforcement options available under Porter-Cologne
Act to ensure that such parties cleanup the impacts of their violations.
• When agencies such as wastewater dischargers infrequently violate their permits, enforcement
through imposition of mandatory minimum penalties is an effective means of ensuring that the
decision-makers of these dischargers are fully aware and take responsibility for their violations.
• When agencies or other parties have frequent or repeated violations or are clearly negligent in
allowing a violation to occur, the Board has directed staff to impose large administrative civil
liabilities that not only penalize parties for their violations, but effectively deter that party from
having similar violations in the future.
Please note that:
• This Water Board has significantly increased its imposition of fines since 2005 to repeated and
negligent violators, especially to those with sanitary sewer overflows and wastewater spills.
• Contrary to the tables included in the State Board's 2008 enforcement report, the level of
enforcement in this Water Board's wastewater and stormwater programs has significantly
increased in recent years, not declined as suggested by the enforcement report. This is because
that report does not track this Water Board's increased enforcement of sewage spills, continues
to include low priority general permit violations from 2005 not subject to mandatory minimum
penalties, and does not reflect the enforcement of wastewater violations via the State and
Regional Water Board's expedited mandatory minimum penalty program initiated in 2008 as that
enforcement is not yet considered "resolved". Sewage spills and their associated enforcement
are not currently reported in the enforcement report.
The main problem with the accidental overflow of sewage is aging infrastructure and distribution system,
which will require huge investment to upgrade them. Currently, the cities and public agencies are running
deficits due to the bad economic time and public seem to be in no mood to pass new bond measures.
That's why we are emphasizing the media publicity and outreach programs to educate public.
10. Without a current formal state board policy on enforcement how does your board
determine if it is consistent in its enforcement practices with other regional boards?
• Our Water Board continues to rely on the existing State Board enforcement policy that remains
valid until revised.
• Our Water Board's staff participates with the State Board's Office of Enforcement and other
regions in enforcement roundtables to review enforcement actions from around the state and to
ensure consistency.
• Our Water Board is represented by the attorneys from the State Board's Office of Enforcement in
many of its enforcement actions, and those attorneys provide a statewide perspective.
Trash Pollution
In May 2007 the board released a report on trash pollution in the San Francisco Bay
region which found that all 14 watersheds in the region had high levels of trash. The
greatest concentrations were near the San Francisco Bay. In addition, the board's 2007
draft Municipal Regional Stormwater Permit identified trash as a pollutant of concern.
Rameshwar Singh, Ph.D.
May 1 1 , 2009
Page 7
On February 1 1 , 2009, the board released its tentative order on the San Francisco Bay
Region Municipal Regional Stormwater NPDES Permit, which includes a provision for
trash control, including the installation of full trash capture devices. The board is
scheduled to hear the tentative order in May.
On February 1 1 , 2009, the board voted to designate the edges of the central bay and
the south bay, along with 24 rivers and creeks, as impaired by trash under the federal
Clean Water Act. If approved by the state board and the federal EPA, the federal EPA
would require the region to start regulating trash as an urban pollutant or face heavy
fines.
1 1. How might the Municipal Regional Stormwater Permit affect the deposition of trash
in the region? Should other improvements be expected?
• As noted, the February 2009 draft of the Municipal Regional Stormwater Permit includes
significant requirements for trash controls by all municipalities it covers. This Permit
covers 77 local agencies, and it will be the first significant regulatory vehicle requiring trash
control in this region.
• Based on comments and testimony received in May on the February 2009 draft, the Water
Board has directed its staff to ensure that the Permit focuses controls on those areas listed
as impaired, requires implementation of trash control measures over this 5-year permit
cycle within the financial abilities of the municipalities, and implements cost-efective
measures for assessing both the reduction in trash and the extent of impairment of water
bodies in the region.
• The Water Board expects to use the Stormwater Permit as its primary vehicle to regulate
trash pollution. However, over the next few years, those local agencies not covered by this
Stormwater Permit will also be required to implement similar trash control methods.
12. How do you see the designation of part of the bay as impaired by trash? How will
you use the designation if adopted by the federal EPA?
• Based on the trash assessments analyzed by staff as part of the 2008 impaired water body
listing process, it is quite likely more water bodies will be listed as impaired by trash in
future listing processes. The 2008 listing process established the assessment methods
that will be utilized to analyze other water bodies in the future.
• The listing of 26 water bodies as impaired by trash has already raised the profile of trash
pollution and its impacts. While stating that they have financial limitations in how to control
trash, most commentators on the Municipal Regional Stormwater Permit agreed that more
effort was needed to control trash pollution in the Bay and its watersheds.
• By including requirements to control trash in the Stormwater Permit, it may not be
necessary to implement TMDLs if the federal EPA adopts the 26 trash listings. However,
such an impairment designation would clearly indicate to both the regulated community and
the public that the control of trash pollution to the Bay is a high priority for the Water Board.
Potrero Power Plant
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Rameshwar Singh, Ph.D.
May 11,2009
Page 8
One of the generators of the Potrero Power Plant owned by Mirant Corporation, located
just south of Mission Bay, draws millions of gallons of water per day from the bay for
cooling. After being run through the plant, the heated water is discharged back into the
bay, where studies have shone it stirs up harmful substances such as copper, dioxin,
mercury, and PCBs. In 2006 the board said it would bar the company from using the
cooling system after 2008 unless the firm could show its cooling system had no
significant adverse environmental effects on the bay. Board staff have since said that
the rules were suspended pending the resolution of a Supreme Court case challenging
federal water laws. That case was decided April 1, 2009, and new federal regulations
may be developed by the new federal administration.
1 3. Now that the Supreme Court case has been decided, how will the board proceed in
addressing the issues of once-through cooling and environmental effects of the
Potrero Power Plant?
The Board assigns a great importance to the impacts of once-through-cooling water system at the
Potrero Power Plant and other power plants in the region. The State Board has indicated that it's
going to circulate a draft statewide policy for once-through-cooling water systems, consistent with
the Supreme Court's decision. Once that policy is adopted by the State Board, we will be reissuing
the permits to power plants in our region consistent with the statewide policy.
i
Thank you.
Sincerely,
Rameshwar Singh
2231
Rich Freschi Page 1 6/2 1 /2009
Answers to Questions from Senate Rules Committee June 9, 2009 Request
P)idharcL frcsch/t
STATEMENT OF GOALS a g < pan S e 5
1 . What do you hope to accomplish during your 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?
During my tenure as a Board Member of Region 8 California Water Quality Control
Board, I hope to assist in the continuation of the positive reputation of this Board as being
reasonable, fair, and just in the discharge of its duties as enumerated in the Porter-
Cologne Water Quality Control Act.
There are several major issues currently facing the Board that I hope to assist in
implementing, among some of the most challenging of them: Reissuance of Stormwater
permits for San Bernardino, Riverside and Orange Counties. TMDL adoption for
selenium in the Newport Bay Watershed. Reissuance of the ocean discharge permit for
Orange County Sanitation District.
2. What do you believe are the most serious issues facing your board?
1 . Funding. The responsibilities we face with less than one-half of the
funding needed to accomplish the task cause us significant challenges. This is an
estimate by the LAO.
2. The most important water quality issue is the increasing salt levels in
surface and ground waters in our Region. This adverse salt balance in surface and ground
waters has harsh supply and beneficial use considerations, as well as serious economic
considerations.
3. In the Rialto area, there is Perchlorate contamination in the groundwater
which is a significant water quality dilemma. There is litigation on this issue.
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 quality in rivers
and streams in your region?
Our Regional Board has an absolutely fabulous web site (www.swrcb.ca.gov/rwqcb8/).
It has a listing of resources, Email subscriptions requests, data & databases in the
California Integrated Water Quality System and Geotracker databases, a public records
center, sources for grants and loans, fees, how to file an environmental complaint and
useful links to spills; almost anything one could need. By the way, our region is the only
one to do region- wide recalculations of ambient water quality on a triennial basis. All
this information is available in an easy to download format.
ii "' :■.:. ■
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Rich Freschi Page 2 6/21/2009
STATE AND REGIONAL BOARD ROLES
4. Who is available to assist you at the state board and your regional
board to better understand some of the complex issues before you? Do
you have any suggestions on how the state water board staff might
better assist you?
I believe the state board does a good job in supporting our legal counsel and
keeping him informed on any issues where he needs assistance. Our state
Chair, Tarn Doduc, attends most of our meetings and is available to our
Regional Chair. Our Regional Chair, Carole Beswick, participates in a
monthly teleconference with the chair of the other regions and the State
Chair.
Our Executive Director and our Region Chair are always available and
welcome questions that are promptly and clearly answered. Frequent E-
mails and phone contact are routine. The meeting agendas are provided to
us in a timely manner so I have sufficient time to review and ask questions
of the Director or any of the several competent staff members in our Region.
Our Regional Counsel is always available to guide me in understanding the
situations and rules of ex-parte communications. I have all the resources at
my disposal to provide the solution to any questions or issues I have in the
course of our business.
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? Have you ever done so since being appointed to this
board?
Briefings by Philip Wyels, the Deputy Chief Counsel of the State Board, conflict of
interest training on the web site of the Fair Political Practices Commission, briefings at
the Water Education Workshop.
I well understand conflict of interest issues. During my 12 years on the City council of
Villa Park, my tenure as a Director of the Orange county Sanitation District, as well as
tenure on the Orange County Vector Control required me to attend a class on ethics and
conflict of interest. Moreover, the Regional Counsel, the Executive Director and the
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RichFreschi Page 3 6/21/2009
Regional Chair realize the need to be vigilant regarding conflict of interest issues. I have
withdrawn myself once while on this board.
6. What is your view of the relationship between the state board and your
regional board? Could coordination and accountability be improved? If so, how?
The relationship between the state board and the regional board is considered by many to
be generally established by the Porter-Cologne Water Quality Control Act. The Regional
board sets the water quality standards through the basin plan and develops the Total
Maximum Daily Loads of each item. The region also enforces the permit and discharge
requirements in addition to state and federal water quality laws. Our region frequently
invites State Board staff to participate in our task force presentations
My view of the relationship with the state board is that it is smooth and well running.
Each entity has its duties and coordinates with the other. The state chair, Tarn Doduc,
has attended each meeting, except perhaps one, since I have been on the board. As
earlier indicated, our regional chair, Carole Beswick, participates in a monthly
teleconference with each of the board chairs and the state board. During February there
was a three day workshop for board members. Several state board members were
participants and presenters. My perception and understanding is that the Santa Region is
on the best of terms with the state board. This has been articulated by several of the
presenters at the workshop for board members. From what I've heard from board
members of other regions and some stakeholders who deal with other regions, our Santa
Ana Board is truly unique in its method of operation. Our staff engages stakeholder
participation in basin planning, development of TMDLs, and emerging contaminants.
Several meetings are arranged where staff listens and resolves most of the contentious
issues so they are resolved prior to being brought to the board.
7. How is your board able to address, within its current funding levels, the state
and federal laws you are charged with enforcing? Are there issues you believe get
less attention than they need, due to current funding levels and constraints on
resources?
According to the Office of the Legislative Analyst, the regional boards receive
approximately 50% of the required funding necessary to fully accomplish their
responsibilities. As a result of this inadequate funding, basin planning work,
development of TMDLs, reissuance of waste discharge requirements, inspections of
various facilities, and several other issues are not fully completed as the region would
like them to be.
DAIRY POLLUTION
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Rich Freschi Page 4 6/21/2009
8. How does your board evaluate the effectiveness of the region's efforts to
address the water and groundwater impacts from dairies in the Chino Basin? Are
you satisfied with the results thus far?
The Maximum Benefit water quality objectives for the Chino Basin that were recently
adopted allow the Chino Basin Watermaster and the Inland Empire Utilities Agency to
implement an integrated water supply and groundwater plan that fully address the dairies
groundwater impact in a unique manner. The Maximum Benefit program allows for an
integrated program that includes an extensive series of extraction wells and desalting
facilities for addressing the ground water impacts from the Chino Basin Dairies. The
program reverses the gradient of the groundwater in the Chino Basin, such that the
groundwater underlying the dairies is drawn back from the Santa Ana River, protecting
surface water quality from the dairy impacts. The groundwater is extracted, treated by
the desalting facilities and the water is then used to supplement the local water supply.
The brines from the desalting are sent to the Orange County Sanitation District for
treatment.
9. How will the Engineered Waste Management Plans and Nutrient
Management Plans improve water quality in the region? How is the board using the
plans?
The Santa Ana Region adopted the waste discharge requirements for all dairies in the
region during the 1970's. The dairies are required to prepare and implement engineered
waste management plans to contain all runoff, including storm water. Basin Plan
requirements mandate that dairies must also dispose all waste products produced. The
board also requires all dairies to have retention and disposal facilities that provide
significant benefits for downstream water quality. All dairies must have facilities
designed by registered professional engineers and they must certify the facilities have
been constructed according to the approved plans.
10. What are the challenges facing the board for monitoring, compliance and
enforcement?
One of the major issues facing our region's regulatory program is inadequate resources.
More than 300 dairies are expected to be dealt with by only two staff members. The
region is fortunate that outside assistance is provided by the U.S. EPA to help with
inspection and enforcement. The NRDC has provided additional funding through
litigations settlements to fund inspections by the engineering contractor for the U.S. EPA.
PERCHLORATE GROUNDWATER CONTAMINATION
11. What is the status of the contaminated groundwater in and around Rialto,
Colton and Norco?
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Rich Freschi Page 5 6/2 1 /2009
Perchlorate in groundwater in these areas comes from two sources. Historically, Chilean
Nitrate fertilizer containing significant concentrations of perchlorate was imported and
used on citrus crops in the area from the 1 800 's through World War II. This accounts for
the widespread occurrence of perchlorate in citrus areas within the region. Additionally,
industrial discharges of perchlorate are responsible for higher levels of perchlorate in the
Rialto/Colton areas. These sources have been addressed through the use of wellhead
treatment facilities, wherever concentrations in public water supplies exceed standards set
by the California Public Health Department. No public water supplies in the region
exceed these standards.
CLEANING UP POLLUTED WATERS
12. In your view, what is the role of regional water boards regarding
required testing and standard limits for pharmaceutical and over-the-
counter drugs in drinking water? Should the state water board,
through regional boards, be working with the California Department of
Public Health to require testing and set safety limits for
pharmaceuticals in drinking water?
The role of regional boards is to require that dischargers and groundwater recharge
agencies perform adequate monitoring to provide information of the levels of these
constituents in what is discharged or imported into the groundwater basin. Regional
boards should ensure compliance with whatever standards are established by the
California Department of Public Health, in collaboration with the Office of
Environmental Health Hazard Assessment. Regarding the "safety" aspects in drinking
water, it is the responsibility of the California Department of Public Health to set safe
levels for any constituents in the water and the regional boards may be able to assist by
providing additional data for consideration.
13. What will be the role of your board's emerging contaminate task force?
Under what timeline will they operate?
This group is a creation by the stakeholders that discharge permitted wastewater or that
recharge imported water into the groundwater. The group, including the regional board
Executive Officer, has already received extensive scientific testimony from outside
experts concerning the chemicals that make up the so called "emerging contaminants",
the difficulties with sampling and analyzing these constituents, and how these chemicals
survive the various treatment barriers during wastewater treatment and water supply
treatment processes. It is expected that before the end of this year, the work group will
propose two different monitoring plans for consideration by the regional board; one for
wastewater discharges and another for imported water used for groundwater recharge.
228
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B.H. Olson, PhD, Goal Statement for Western States Water Council
California Senate Rules Committee
Status of California and Water
As a water scientist and a publicly elected Water Board Director, I have come to understand
■ the great accomplishments of California in providing good quality and plentiful water supplies for its
citizens and for economic development, and
• the disparities that can arise between protection of the environment and the economic growth of
California.
In order for California to thread its way to a balance of all the needs in the state,
• bold and thoughtful plans must be undertaken, and
• conservation must play a significant role but cannot alone meet the needs increased population growth
has generated over the last three decades.
Perhaps more Importantly, unforeseen consequences of water policy decisions must be anticipated.
• Conservation in certain geographical regions will lead to decreased quality of recycled water 10th in
terms of increased total dissolved solids and higher concentration of pharmaceuticals and personal care
products.
• Water projects undertaken by the state must be scientifically and technologically smart to enhance the
future of the state and protect its water resources.
Qualifications
I believe I am uniquely qualified to assist the state of California in achieving its goals in water quantity and
quality with insights that will lend themselves to promote and pursue pioneering water solutions. My
background provides me with an excellent understanding of water supply quantity, reliability and quality based
on my
• educational background in public health, toxicology and water quality and treatment from my doctoral
training at the University of California, Berkeley;
• progression through the professorial ranks at the University of California, Irvine, now as a professor In
Civil and Environmental Engineering;
• participation in national water issues through my Involvement on National Research Council Committees
and as a member of NAS Water Science and Technology Board;
Senate busies Committee
JUN i h ?nnc
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JUN- 12-2009 16:18 From: To -.9164450596 P. 3'3
• increased breadth of knowledge of chemical and biological hazards from my participation in the USEPA
Science Advisory Board's Drinking Water Committee;
• service as an elected Director on the Irvine Ranch Water District (1982-1989) and the Santa Margarita
Water District (1994-present);
• experience with multi-million doliar budgets and water and wastewater infrastructure projects.
Goals as a member of the Western States Water Council
The Western States Water Council provides an opportunity to look for a commonality among water issues and
build coalitions to achieve outcomes beneficial for the western states, especially related to adaptation to climate
change. I wish to
■ provide the Council a public perspective from the consumer's view;
• interact with the Governor's Director of Water Resources and Secretary of Natural Resources to
promote the administration's identified solutions to water issues;
• meet with local and state legislators to understand their views of key water problems in the state;
« alert appropriate government officials of innovative approaches to local and regional water quantity and
quality concerns provided to me through my educational experiences;
With the help of the Department of Water Resources, we have identified an initial focus on determining the risk
of emerging chemical hazards from pharmaceuticals and personal care products in groundwater from recharge
with recycled water.
! believe that California's continued success is embedded in resolving our water shortages and I have the
commitment and knowledge to work with the Governor's administration, legislators and the Council to find
solutions to our water needs in order to maintain quality and sufficient quantity for California's economic
growth.
4183 4
622-R
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