Enforcement Audit Response as of October 8, 2021

RECOMMENDATION RESPONSE STATUS
Promoting Efficiency and Effectiveness
Create and implement regulations to use limited fines to resolve minor violations Reviewed existing standardized fines regulations and
implemented procedural changes to maximize efficiency of § 11386 standardized fine process
Written case review procedures
define cases for prompt resolution completed June 2020.
Develop guidance on violations worthy of swift action, those that can be deferred and those that do not warrant action or that
can be resolved through fines
Improved prioritization and reviewed existing standardized fines regulations and implemented procedural changes to maximize efficiency of § 11386
standardized fine process
Prioritization in written case review procedures; completed May 2020; addressed by existing
regulation section 11386
Update database to ensure that violations within each case can be tracked and identified and include when standardized
fines process initiated
Improved the existing geospatial tracking system to include information on standardized fine notices and other case tracking information Completed in October 2018
Simplify system for prioritizing cases to focus efforts on cases with greatest potential for harm to the Bay Evaluated existing prioritization framework to determine whether changes to scoring system are needed After Committee briefing in September 2019, Committee was satisfied that scoring system is
adequate
Develop procedure to identify stale cases and seek appropriate settlements Reviewed oldest cases and engaging in efforts to resolve 5 of the oldest identified cases
resolved; 3 remaining cases in progress, complete by early 2022.
Create and implement regulations to identify milestones and timeframes for
enforcement
Developed and implemented written procedures with milestones and timeframes to prevent case stagnation Completed August 2020
Develop and implement procedures for proactive enforcement, including site visits Developed violator Initial Contact letters to elicit prompt response when reports of violations are received; implemented certification of compliance forms; tagging monitoring reports stored electronically to ensure monitoring compliance; defining and implementing a process for monitoring report review; ongoing site visits as circumstances allow Completed
Promoting Efficiency and Effectiveness
Implement a permit compliance position to support the efforts of enforcement staff
and, if necessary, seek funding
Funding required Ongoing Department of Finance review
Develop and implement procedures to ensure management reviews decisions and include requirements on documenting violations, resolutions, and rationale for
fines
Developed and refining written case review procedures, documentation regarding case processing, progression, and integrating rationales for fines assessed Completed June 2020 with long- term ongoing refinement
Conduct a workforce study of permit and regulatory activities and determine whether additional staff is required Department of Finance review ongoing Delayed due to other Department of Finance priorities
Update the existing database or create a new database Updated existing database to reflect case resolution progress in real time on the dashboard; to document new case review status codes; and to track Initial Contact
letters. Evaluated alternate database from private vendor
Pending initial discussions with Departments of Technology and Finance and Department of
Finance analysis of need
Evaluate and update permit fees every five years Permit fee update completed; adopted by Commission January 16, 2020 and approved by the Office of
Administrative Law on April 13, 2020
New fee schedule effective July 1, 2020
Ensuring Consistency in Enforcement
Create regulations that define substantial
harm
Developed definition of significant harm approved by
Commission in December 2020
Pending approval by Office of
Administrative Law
Provide criteria for calculating the number of violations present in an enforcement
action
Developed guidance involving multiple unauthorized actions included in an enforcement action to determine
appropriate fines
Completed May 2020
Create a penalty calculation worksheet and create policies, procedures, and criteria for application Developed penalty policy and will implement after OAL approval Completed May 2020 pending Office of Administrative Law approval
Ensuring Consistency in Enforcement
Conduct a review of local agency compliance with the Suisun Marsh program Commission staff reviewed compliance of each of the components of the Suisun Marsh Local Protection Program (LPP) for consistency with the Commission’s Suisun Marsh Protection Plan and provided each of the LPP agencies with a written analysis and recommendations on January 31, 2020. Completed compliance review January 31,2020. In February 2020, the Commission started a collaborative process with the Suisun local governments and agencies that are preparing a comprehensive review of the Marsh Plan and LPP for any needed amendments
Create a policy identifying the minimum amounts from the Bay Fill Clean-up and Abatement Fund that BCDC will disburse and prioritize projects that will be
supported through disbursements
FY21-22 state budget provides full General Fund financing for staff salaries for first time October 2021 briefing for the Commission on types of projects that can be funded using the Bay Fill Clean-Up and Abatement Fund
Appoint a new citizens advisory committee Commission reviewed existing working groups and other opportunities for citizen participation Commission decided not to
reconstitute in January 2019
Update regulations on administrative permit issuance Changes to regulations on administrative permit issuance approved by Commission and submitted to Office of
Administrative Law
Pending approval by Office of Administrative law
October 15, 2021