Report 2019-127 All Recommendation Responses

Report 2019-127: San Diego County Air Pollution Control District: It Has Used Vehicle Registration Fees to Subsidize Its Permitting Process, Reducing the Amount of Funds Available to Address Air Pollution (Release Date: July 2020)

Recommendation for Legislative Action

To increase the transparency of, and promote accountability for, the use of the vehicle registration fees that the public pays, the Legislature should require that each local air district submit an annual report to the California Air Resources Board (CARB) detailing how it used the vehicle registration fees it received. Both CARB and each local air district should be required to provide this information to the public on their websites.

Description of Legislative Action

As of August 25, 2022, the Legislature has not taken action to address this specific recommendation.

California State Auditor's Assessment of Annual Follow-Up Status: No Action Taken

As of August 25, 2022, the Legislature has not taken action to address this specific recommendation.

Description of Legislative Action

As of July 16, 2021, the Legislature has not taken action to address this specific recommendation.

California State Auditor's Assessment of 1-Year Status: No Action Taken

Description of Legislative Action

As of January 16, 2021, the Legislature has not taken action to address this specific recommendation.

California State Auditor's Assessment of 6-Month Status: No Action Taken

Description of Legislative Action

As of September 16, 2020, the Legislature has not taken action to address this specific recommendation.

California State Auditor's Assessment of 60-Day Status: No Action Taken

Recommendation for Legislative Action

To encourage the San Diego County Air Pollution Control District (San Diego Air District) to accurately account for its costs, operate efficiently, and effectively use vehicle registration fees, the Legislature should require that the San Diego Air District use at least 90 percent of the vehicle registration fees it receives for projects related to mobile emissions—roughly the proportion of ozone-causing emissions from mobile sources in the region—and it should further require that the San Diego Air District publicly disclose the disposition of any vehicle registration fees it does not use to address mobile emissions.

Description of Legislative Action

As of August 25, 2022, the Legislature has not taken action to address this specific recommendation.

California State Auditor's Assessment of Annual Follow-Up Status: No Action Taken

As of August 25, 2022, the Legislature has not taken action to address this specific recommendation.

Description of Legislative Action

As of July 16, 2021, the Legislature has not taken action to address this specific recommendation.

California State Auditor's Assessment of 1-Year Status: No Action Taken

Description of Legislative Action

As of January 16, 2021, the Legislature has not taken action to address this specific recommendation.

California State Auditor's Assessment of 6-Month Status: No Action Taken

Description of Legislative Action

As of September 16, 2020, the Legislature has not taken action to address this specific recommendation.

California State Auditor's Assessment of 60-Day Status: No Action Taken

Recommendation #3 To: San Diego County Air Pollution Control District

To ensure that it is leveraging all funding opportunities to address the region's air quality, the San Diego Air District should periodically evaluate all available state and federal grants to reduce mobile emissions and notify the San Diego County Air Pollution Control Board (district board) if it decides not to pursue such programs.

Annual Follow-Up Agency Response From October 2021

District staff has implemented a program to review all received program announcements for state and federal grants to reduce mobile emissions. Programs are evaluated for eligibility and timelines to determine if the District can pursue the available funding. Since March 2021, the staff has submitted applications for all reviewed programs for which the District is eligible, including Clean Cars 4 All. The District will notify the Board on an ongoing basis if there are programs available for which the District is eligible but does not pursue.

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

The Air District implemented a process to evaluate and track available state and federal grants and to notify its District Board if the Air District is eligible to apply but determines it cannot pursue the funding.

1-Year Agency Response

The District continues to review grant opportunities as they arise. Currently the District is administering the CALeVIP, Moyer, FARMER, Community Air Protection, Goods Movement Emission Reduction, and Moyer Reserve programs. During the last six months the District has worked with the Portside Environmental Justice Community to set priorities for the Community Emissions Reduction Plan (CERP) projects and has distributed information about opportunities through the Volkswagen Settlement Program. The District has also selected contractors to provide filters and monitors for an Air Filtration Program for Portside Environmental Justice Communities, is in the selection process for a local business or non-profit to administer the program and is currently working with the Port District to sign an agreement for funding additional air filters and monitors. The District will communicate to the board which grants that were not pursued and the rationale for those by the end of 2021

California State Auditor's Assessment of 1-Year Status: No Action Taken

The Air District's discussion of those grants it has pursued is not relevant to this recommendation. The issue described in our report was not related to those grants it pursued, but rather to its failure to pursue all available grants. As described in the recommendation, the Air District should perform an evaluation of all available state and federal grants, and notify the district board of those it chooses not to pursue.

6-Month Agency Response

The District continues to review grant opportunities as they arise. Currently the District is participating in the CALeVIP, Moyer, FARMER, Community Air Protection, NOx Remediation, Goods Movement Emission Reduction, and Moyer Reserve programs. During the last six months the

District was informed of an award from the Federal Diesel Emission Reduction Program for approximately $2 million to incentivize an electric tugboat in the Portside Environmental Justice community, and is supporting a project to bring an electric truck to the Port for demonstration of emerging technologies. The District has secured grant agreements with the State for Community Air Protection, Moyer, and FARMER programs for the coming fiscal year. The District also is working with stakeholders to support an application for the CEC/CARB Zero-Emission Drayage Truck and Infrastructure Pilot Project statewide solicitation. The District did participate in initial conversations regarding the State Sustainable Transportation Equity Project (STEP) but was not able to find a project that met the program requirements for these planning and capacity building grants.

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

The San Diego Air District did not indicate whether it informed the district board of its decision not to pursue the STEP grant program. Informing the board of these decisions is a key aspect of our recommendation.

60-Day Agency Response

The District continues to review grant opportunities as they arise. Currently the District is participating in the CALeVIP, Moyer, FARMER, Community Air Protection, NOx Remediation, Goods Movement Emission Reduction, and Moyer Reserve programs. During the last 60 days the District was informed of an award from the Federal Diesel Emission Reduction Program for approximately $2 million to incentivize an electric tugboat in the Portside Environmental Justice community, and is supporting a project to bring an electric truck to the Port for demonstration of emerging technologies. The District did participate in initial conversations regarding the State Sustainable Transportation Equity Project (STEP) but was not able to find a project that met the program requirements for these planning and capacity building grants.

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

The San Diego Air District did not provide a timeframe to fully implement this recommendation. Further, it did not indicate whether it informed the district board of its decision not to pursue the grant program it describes. We look forward to reviewing its 6-month response in January 2021 to identify how it has progressed in implementing this recommendation.

Recommendation #4 To: San Diego County Air Pollution Control District

To ensure that the permit fees it charges are sufficient to pay for its permitting program, the San Diego Air District should, by December 2020, establish a methodology to calculate the full cost of its permitting program, based on its actual expenditures and administrative costs, and perform this calculation each year.

1-Year Agency Response

The District conducted a competitive RFQ process and selected an independent consulting firm (Matrix Consulting Group). Matrix evaluated cost procedures and provided recommendations for calculating the full cost of the permit program, and issued a Cost Recovery and Fee Analysis Report. In May 2021 the Governing Board adopted and directed staff to implement a cost recovery plan and timeline for increasing permit fees, with a projected fee revenue increase of 18% for FY 21-22, and with additional fee increases in future years to achieve full cost recovery in 2 to 5 years for all fee categories; most fee categories can achieve 100% full cost recovery in 2 to 3 years. Calculating the full cost of the permit program will be performed annually and recommendations to continue full cost recovery will be provided to the Governing board each year.

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

The Air District provided a copy of its consultant's report establishing a methodology for calculating the full cost of its permitting program.

6-Month Agency Response

The District conducted a competitive RFQ process and selected a consulting firm (Matrix Consulting Group). Contract with Matrix was signed on September 28, 2020. Matrix is currently in the process of evaluating our cost procedures and providing recommendations for calculating the full cost of the permit program.

The District is monitoring the impacts of the pandemic on San Diego County's economy including regional employment, consumer price index, housing market, and foreclosures (see attachments). These indicators will assist the District in determining when economic conditions allow the District to recommend proposed fee increases to the board. To prepare for the next proposed fee adjustments (when economic conditions allow), the District has selected Matrix Consulting to conduct a Cost Recovery and Fees Study.

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

The San Diego Air District indicated it expects to implement this recommendation by March 31, 2021. We look forward to reviewing the Air District's progress when it provides its next update.

60-Day Agency Response

The District conducted a competitive RFQ process and selected a consulting firm (Matrix Consulting Group). Currently developing the contract with goal of contract execution by Sept 30, 2020.

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

We look forward to reviewing the San Diego Air District's progress toward implementing this recommendation in its 6-month response due in January 2021.

Recommendation #5 To: San Diego County Air Pollution Control District

To ensure that the permit fees it charges are sufficient to pay for its permitting program, the San Diego Air District should, by December 2020, monitor the impact of the COVID-19 pandemic on San Diego County's economy and, when economic conditions allow, propose to the district board that it increase fees annually by the maximum percentage allowed until the district's revenue from permit fees is equal to the full cost of the permitting program.

Annual Follow-Up Agency Response From September 2023

As previously reported, District staff proposed to the District Governing Board, and the Board approved, a plan to increase permit application and renewal fees by the maximum percentage allowed (15%). Subsequently the District Board has approved increases to permit application and renewal fees by 15% for each fiscal year (FY 2021/22, FY 2022/23, and FY 2023/24) and those fees became effective on January 1, 2022, July 1, 2022, and July 1, 2023, respectively. Projected costs and estimated revenues for the permitting program will fluctuate year to year due to shifts in staffing levels, program costs, level of effort, and other factors. In early 2024 the District plans to present another revised fee package to the Board for FY 2024/25 which would take effect on July 1, 2024. The District will continue to calculate the full cost of the permitting program annually and recommendations to increase fees as needed to recover the full cost of the program will be provided to the Governing Board each year.

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

The Air District 's Governing Board has approved a plan to increase permit applications and renewal fees. However, the Air District has not yet demonstrated that the fees it is charging are equal to the full cost of the permitting program. Thus, we will continue to request updates on the Air District's efforts to implement this recommendation.

Annual Follow-Up Agency Response From October 2022

On December 9, 2021 the District Governing Board approved revisions to District Rule 40 to increase permit fees for Fiscal Year 2021/22 by the maximum percentage allowed in a fiscal year. The revised Fiscal Year 2021/22 fees became effective on January 1, 2022. On April 14, 2022 the District Governing Board approved revisions to District Rule 40 to increase permit fees for Fiscal Year 2022/23 by the maximum percentage allowed in a fiscal year. The revised Fiscal Year 2022/23 fees became effective on July 1, 2022. Calculating the full cost of the permit program will be performed annually and recommendations to continue to pursue full cost recovery will be provided to the Governing Board each year.

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

The San Diego Air District explained that it has raised permit fees. However, we will continue to monitor the district's progress in this area until it demonstrates that its revenue from permit fees is equal to the full cost of the permitting program, as we recommended.

Annual Follow-Up Agency Response From October 2021

The District held a public workshop on August 31, 2021 regarding the Governing Board Adopted Cost Recovery Plan and proposed fee increases. If approved, these fee increases would increase permit fees by the maximum percentage allowed in a fiscal year. The Governing Board will conduct the first Fee Hearing on October 14, 2021 to consider public comments on the proposed fees (https://www.sdapcd.org/content/sdc/apcd/en/apcd-cob-agendas-and-meeting-materials-.html). A second public hearing is scheduled for December 9, 2021 to consider adoption of the proposed fees. Calculating the full cost of the permit program will be performed annually and recommendations to continue to pursue full cost recovery will be provided to the Governing Board each year.

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

We look forward to reviewing the District Board's decision regarding the proposed fee increases for the permitting program.

1-Year Agency Response

To prepare for the next proposed fee adjustments (when economic conditions allow), the District selected Matrix Consulting to conduct a Cost Recovery and Fee Analysis Study. In May 2021 the Governing Board adopted a cost recovery plan and timeline with a projected revenue increase of 18% for FY 21-22, with full cost recovery projected between 2 to 5 years for all fee categories; and most fee categories can achieve 100% full cost recovery in 2 to 3 years. Calculating the full cost of the permit program will be performed annually and recommendations to continue full cost recovery will be provided to the Governing board each year.

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

As described in its response, the Air District contracted with a consultant to establish a methodology for calculating the full cost of its permitting program. However, the Air District's cost recovery plan and timeline indicate that it plans to conduct public workshops and additional board hearings related to the permit fee increases. Because it is not clear whether these steps will result in changes to the proposed cost recovery plan and permit fee increases, we are reserving our determination on whether this recommendation has been implemented until the fee increases go into effect.

6-Month Agency Response

The District conducted a competitive RFQ process and selected a consulting firm (Matrix Consulting Group). Contract with Matrix was signed on September 28, 2020. Matrix is currently in the process of evaluating our cost procedures and providing recommendations for calculating the full cost of the permit program.

The District is monitoring the impacts of the pandemic on San Diego County's economy including regional employment, consumer price index, housing market, and foreclosures (see attachments). These indicators will assist the District in determining when economic conditions allow the District to recommend proposed fee increases to the board. To prepare for the next proposed fee adjustments (when economic conditions allow), the District has selected Matrix Consulting to conduct a Cost Recovery and Fees Study.

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

Although the San Diego Air District stated in its response that it is monitoring the impact of the COVID-19 pandemic on San Diego County's economy by tracking certain indicators, it did not identify at what levels of economic activity it will recommend a fee increase. We encourage the District to do so in order to ensure that it takes action as soon as conditions allow.

60-Day Agency Response

The District is monitoring the impacts of the pandemic on San Diego County's economy including regional employment, consumer price index, housing market, and foreclosures (see attachments). These indicators will assist the District in determining when economic conditions allow the District to recommend proposed fee increases to the board. To prepare for the next proposed fee adjustments (when economic conditions allow), the District has selected a consulting firm to conduct a Cost Recovery and Fees Study.

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

Although the San Diego Air District stated in its response that it is monitoring the impact of the COVID-19 pandemic on San Diego County's economy by tracking certain indicators, it did not identify at what levels of economic activity it will recommend a fee increase. We encourage the District to do so in order to ensure that it takes action as soon as conditions allow.

Recommendation #6 To: San Diego County Air Pollution Control District

To ensure that it is responsive to its stakeholders and encourages public participation in the creation of its regulatory and permitting policies, the San Diego Air District should create and implement a public participation plan by January 2021 that includes both public outreach and public engagement activities.

Annual Follow-Up Agency Response From October 2022

On April 14, 2022, the San Diego County Air Pollution Control District's Governing Board approved the Public Participation Plan (PPP) for the district. The PPP is the guiding document for developing and implementing public participation across APCD's many functions and programs that improve air quality. Developed through extensive and close engagement with the community—particularly those who are disproportionately impacted by air quality issues—this plan outlines how APCD will honor principles of community engagement through a comprehensive set of goals and strategies that are based on the community's priorities for meaningful and robust public participation. The PPP can be accessed online at https://www.sdapcd.org/content/dam/sdapcd/documents/community/public-participation-plan-/APCD-Public-Participation-Plan-Board%20Packet.pdf

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

Annual Follow-Up Agency Response From October 2021

On February 16, 2021, APCD hired a Public Outreach Coordinator. Since then, this position has been increasing public outreach and engagement activities in English and Spanish by establishing a more active presence in social media, establishing relationships with community-based organizations (CBOs), assisting APCD staff in promoting public meetings and workshops, assisting staff in developing public-friendly messaging, and starting the development of a Public Participation Plan (PPP). To help inform plan development, the District has surveyed other public agencies to identify current best practices in public outreach and engagement. ACPD also secured grant funding to develop the plan and has hired a consultant who will fully develop a PPP by early 2022. Currently, the consultant is working with CBOs to conduct focus groups with community members to help inform the PPP and will present an update and obtain input from the APCD Governing Board in December, 2021.

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

The Air District reported that it hired a public outreach coordinator in February 2021, and in its one-year response it stated that it planned to develop a public participation plan by the end of 2021. However, in its October 2021 response the Air District revised that completion date and stated that now it does not expect to develop a public participation plan until Spring 2022. This is more than one year after our recommended deadline of January 2021.

1-Year Agency Response

On February 16, 2021, APCD a hired a Public Outreach Coordinator. This position has been increasing public outreach and engagement activities in English and Spanish by establishing a more active presence in social media, establishing relationships with community-based organizations, assisting APCD staff in promoting public meetings and workshops, assisting staff in developing public-friendly messaging, and starting the development of a Public Participation Plan. Additionally, to help inform plan development, the District has surveyed other public agencies to identify current best practices in public outreach and engagement. ACPD has also secured grant funding to develop the plan and, in accordance with best practices, has hired an expert consultant (MIG Communications) that is assisting APCD in fully developing a Public Participation Plan by the end of 2021.

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

The Air District stated that it expects to fully develop a public participation plan by the end of 2021, a year after our recommended deadline of January 2021.

6-Month Agency Response

The District opened a recruitment on September 8, 2020, to hire a bilingual Communications Program Coordinator to oversee and enhance its public outreach and engagement activities (see attachment). The hiring process is scheduled for completion by the end of January 2021. Assigned priorities include creating and implementing a public participation plan. To help inform plan development, the District has surveyed other public agencies to identify current best practices in public outreach and engagement.

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

We look forward to reviewing the San Diego Air District's public participation plan upon its scheduled completion in June 2021.

60-Day Agency Response

The District opened a recruitment on September 8, 2020, to hire a Program Coordinator to enhance its public outreach and engagement activities (see attachment). Assigned priorities include creating and implementing a public participation plan.

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

The San Diego Air District began the process of hiring a Program Coordinator whose duties will include creating a public participation plan. However, it did not identify an expected time frame for creating and implementing that plan. We look forward to reviewing the District's progress in its 6-month response.

Recommendation #7 To: San Diego County Air Pollution Control District

To ensure that its decisions are transparent and that it encourages opportunities for public involvement, the district board should publicly deliberate on key issues related to air quality during its regular meetings.

1-Year Agency Response

The new APCD Governing Board held its first meeting as a full board on April 2, 2021. Since then, the Governing Board has met twice per month, and will switch to monthly meetings effective September 2021. To date, no items before the Board have been adopted on consent; the Board has fully deliberated on the agenda items. . Further, the Interim Air Pollution Control Officer provided a briefing regarding the audit findings and recommendations at the May 7, 2021, Governing Board meeting.

The new Governing Board has not yet considered whether the advisory committee is still necessary. However, at its May 21, 2021 meeting, the Governing Board created an ad hoc Governance Subcommittee, which was tasked with identifying the APCD's policy priorities and addressing other governance matters,. District staff plan to engage the Board's Governance Committee on the question of whether an advisory committee is still needed. The advisory committee currently has two members and its meetings are on hold pending the new Governing Board's determination regarding whether an advisory committee is necessary.

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

6-Month Agency Response

The Interim Air Pollution Control Officer, Rob Reider, and Senior Deputy County Counsel Paula Forbis provided a briefing to the APCD Board members' aides on June 30, 2020, to make them aware of the audit report's recommendations. This specific recommendation was raised in the briefing. The District will also make the new APCD Governing Board aware of this recommendation soon after its formation.

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

Although the San Diego Air District indicated that it raised our concerns with the District Board, it did not provide any additional information regarding how the District Board plans to address this recommendation. We look forward to reviewing the District Board's progress in implementing this recommendation in its 1-year response due July 2021.

60-Day Agency Response

The Interim Air Pollution Control Officer, Rob Reider, and Senior Deputy County Counsel Paula Forbis provided a briefing to the APCD Board members' aides on June 30, 2020, to make them aware of the audit report's recommendations. This specific recommendation was raised in the briefing.

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

Although the San Diego Air District indicated that it raised our concerns with the District Board, it did not provide any additional information regarding how the District Board plans to address this recommendation. We look forward to reviewing the District Board's progress in implementing this recommendation in its 6-month response due January 2021.

Recommendation #8 To: San Diego County Air Pollution Control District

Because the new district board will include additional stakeholders who represent some of the interests that the advisory committee was intended to represent, the district board should determine whether the advisory committee is still necessary. If the district board determines that the advisory committee is still necessary, it should immediately publicize the vacancies on the advisory committee on its website and in the monthly and annual county reports of vacancies on boards, commissions, and committees, and actively seek nominations to fill these positions.

Annual Follow-Up Agency Response From October 2022

The San Diego County APCD Governing Board voted to discontinue the APCD Advisory Committee at its meeting on November 4, 2021.

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

Annual Follow-Up Agency Response From October 2021

The Advisory Committee has not met since the District's last update. District staff will ask the Governing Board whether to continue the Advisory Committee in existence at its November 4, 2021 meeting.

California State Auditor's Assessment of Annual Follow-Up Status: No Action Taken

The district board has not yet determined whether it believes that the Advisory Committee is necessary.

1-Year Agency Response

The new Governing Board has not yet considered whether the advisory committee is still necessary. However, at its May 21, 2021 meeting, the Governing Board created an ad hoc Governance Subcommittee, which was tasked with identifying the APCD's policy priorities and addressing other governance matters,. District staff plan to engage the Board's Governance Committee on the question of whether an advisory committee is still needed. The advisory committee currently has two members and its meetings are on hold pending the new Governing Board's determination regarding whether an advisory committee is necessary.

California State Auditor's Assessment of 1-Year Status: No Action Taken

The Air District's response states that its new governing board has not made a determination on whether the advisory committee is still necessary--as we recommended--and that advisory committee meetings are currently on hold pending a board decision.

The ad hoc governance subcommittee the Air District references in its response is made up of current board members, in contrast to the non-board member representatives of business and environmental interests that made up the advisory committee. Further, according to the Board's meeting minutes, the ad hoc committee is not subject to state public meeting requirements.

6-Month Agency Response

The Interim Air Pollution Control Officer, Rob Reider, and Senior Deputy County Counsel Paula Forbis provided a briefing to the APCD Board members' aides on June 30, 2020, to make them aware of the audit report's recommendations. These specific recommendations were raised in the briefing. The question of continuation of the Advisory Committee will be brought to the new APCD Governing Board soon after its formation.

Additionally, a representative from County Counsel has attended all Advisory Committee meetings since August 2020. District counsel Paula Forbis provided a training on the requirements of the state open meeting laws at the October 2020 meeting.

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

Although the San Diego Air District indicated that it advised the District Board of the audit recommendations, it did not describe whether the District Board determined the advisory committee is necessary, or how the District Board will address the vacancies on the advisory committee.

60-Day Agency Response

The Interim Air Pollution Control Officer, Rob Reider, and Senior Deputy County Counsel Paula Forbis provided a briefing to the APCD Board members' aides on June 30, 2020, to make them aware of the audit report's recommendations. These specific recommendations were raised in the briefing .

Additionally, counsel Paula Forbis attended the August and September 2020 Advisory Committee meetings. She was prepared to provide a training on the requirements of the state open meeting laws at the September 2020 meeting, but that meeting did not occur due to lack of quorum. The training will be provided at the next regularly scheduled meeting of the committee.

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

Although the San Diego Air District indicated that it advised the District Board of the audit recommendations, it did not describe whether the District Board believes the advisory committee is necessary, or how the District Board will address the vacancies on the advisory committee.

Recommendation #9 To: San Diego County Air Pollution Control District

Because the new district board will include additional stakeholders who represent some of the interests that the advisory committee was intended to represent, the district board should determine whether the advisory committee is still necessary. If the district board determines that the advisory committee is still necessary, it should ensure that the district's legal counsel monitors the advisory committee meetings beginning immediately, and advises the committee when it does not comply with state public meeting requirements.

Annual Follow-Up Agency Response From October 2022

The San Diego County APCD Governing Board voted to discontinue the APCD Advisory Committee at its meeting on November 4, 2021.

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

Annual Follow-Up Agency Response From October 2021

The Advisory Committee has not met since the District's last update. District staff will ask the Governing Board whether to continue the Advisory Committee in existence at its November 4, 2021 meeting.

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

We look forward to reviewing the Air District's next response regarding this recommendation.

1-Year Agency Response

County counsel attended all advisory committee meetings starting in August, 2020. However, as described above in response to recommendation #8, advisory committee meetings are currently on hold pending the new Governing Board's determination regarding whether an advisory committee is necessary.

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

6-Month Agency Response

The Interim Air Pollution Control Officer, Rob Reider, and Senior Deputy County Counsel Paula Forbis provided a briefing to the APCD Board members' aides on June 30, 2020, to make them aware of the audit report's recommendations. These specific recommendations were raised in the briefing. The question of continuation of the Advisory Committee will be brought to the new APCD Governing Board soon after its formation.

Additionally, a representative from County Counsel has attended all Advisory Committee meetings since August 2020. District counsel Paula Forbis provided a training on the requirements of the state open meeting laws at the October 2020 meeting.

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

Although the San Diego Air District's legal counsel has begun attending the advisory committee meetings, the Air District has deferred determining if the Advisory Committee is necessary until the new Air District Board is formed.

60-Day Agency Response

The Interim Air Pollution Control Officer, Rob Reider, and Senior Deputy County Counsel Paula Forbis provided a briefing to the APCD Board members' aides on June 30, 2020, to make them aware of the audit report's recommendations. These specific recommendations were raised in the briefing .

Additionally, counsel Paula Forbis attended the August and September 2020 Advisory Committee meetings. She was prepared to provide a training on the requirements of the state open meeting laws at the September 2020 meeting, but that meeting did not occur due to lack of quorum. The training will be provided at the next regularly scheduled meeting of the committee.

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

Although the San Diego Air District indicated that its legal counsel attended the August and September 2020 advisory committee meetings, the District did not provide additional information or documentation regarding whether legal counsel will attend future advisory committee meetings to advise the committee when it does not comply with state public meeting requirements.

Recommendation #10 To: San Diego County Air Pollution Control District

To ensure that it effectively manages its complaint investigation process and provides accurate information to the public regarding the complaints it receives, the San Diego Air District should, by June 2021, establish policies and procedures that require staff to validate the information they enter in the district's complaint database. The district should also periodically review the accuracy and completeness of the data.

6-Month Agency Response

The Compliance Manual of Policies and Procedures, Policy 2.3, Complaint Investigation Procedures, (attached) was revised in August to incorporate all recommendations. Additionally, the BPR will be critical to enhance the reporting tools and implement systematic controls to maintain the quality of our complaint program.

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

The San Diego Air District revised its Compliance Manual to require that managers ensure the quality and accuracy of the complaint related data. The process requires biweekly supervisor review of a complaint report, and the Air District provided evidence of supervisors scheduling such reviews.

60-Day Agency Response

The Compliance Manual of Policies and Procedures, Policy 2.3, Complaint Investigation Procedures, (attached) was revised in August to incorporate all recommendations. Additionally, the BPR will be critical to enhance the reporting tools and implement systematic controls to maintain the quality of our complaint program.

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

Although the San Diego Air District revised its Compliance Manual to require that managers ensure the quality and accuracy of the complaint related data, the Air District did not provide documentation that supervisors conducted this review. We look forward to its 6-month response in January 2021 to review how it has progressed in implementing this recommendation.

Recommendation #11 To: San Diego County Air Pollution Control District

To ensure that it effectively manages its complaint investigation process and provides accurate information to the public regarding the complaints it receives, the San Diego Air District should, by June 2021, establish time frames for its supervisors to review complaint investigation reports and verify that investigators have responded to complaints in an appropriate and timely manner.

6-Month Agency Response

The Compliance Manual of Policies and Procedures, Policy 2.3, Complaint Investigation Procedures, (attached) was revised in August to incorporate all recommendations. Additionally, the BPR will be critical to enhance the reporting tools and implement systematic controls to maintain the quality of our complaint program.

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

The San Diego Air District revised its policies to require that supervisors approve all investigations within 6 weeks of a complaint being submitted. Further, it requires that every two weeks the supervisors evaluate inspectors' response time and verify the complaint reports are being submitted timely.

60-Day Agency Response

The Compliance Manual of Policies and Procedures, Policy 2.3, Complaint Investigation Procedures, (attached) was revised in August to incorporate all recommendations. Additionally, the BPR will be critical to enhance the reporting tools and implement systematic controls to maintain the quality of our complaint program.

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

The San Diego Air District revised its policies to require that supervisors approve investigations within 6 weeks of when the complaint is submitted. Further, it requires that every two weeks the supervisors evaluate inspectors' response time and verify the complaints reports are being submitted timely. However, the District did not provide documentation of these reviews.

Recommendation #12 To: San Diego County Air Pollution Control District

To ensure that it effectively manages its complaint investigation process and provides accurate information to the public regarding the complaints it receives, the San Diego Air District should, by June 2021, establish a process for validating the accuracy of the data it previously entered into its database.

Annual Follow-Up Agency Response From September 2023

The Compliance Manual of Policies and Procedures, Policy 2.3, was revised in August 2020 to incorporate all recommendations and to further document all roles and processes related to air quality complaints. Additionally, the system of record has been revised to update the historical complaint records by including the complaint response dates and complaint investigation outcome. This revision was based on the inspection reports, which at that time were MS Word documents posted on the system of record and did not have searchable fields. There are still 2 complaint records (APCD2023-CMP-0369 and APCD2022-CMP-0207) that do not have investigation dates as these complaints were submitted via the District's mobile app anonymously. Based on the information submitted for those anonymous complaints, the District determined they were outside its jurisdiction, but without contact information, the District was unable to provide a response. The District also updated its complaint inspection report to utilize an electronic form, making complaint data readily available and enabling reports to QA/QC the data. To further increase transparency and accountability, the District published a complaint dataset at https://www.sdapcd.org/content/sdapcd/compliance/Complaint-Info-Dataset.html. To view the dataset, please click https://view.officeapps.live.com/op/view.aspx?src=https%3A%2F%2Fwww.sdapcd.org%2Fcontent%2Fdam%2Fsdapcd%2Fdocuments%2Fcompliance%2Fair-quality-complaint-list%2FComplaint-Report.xlsx&wdOrigin=BROWSELINK

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

The Air District provided a policies and procedures manual that demonstrates it has created a process for reviewing new complaint data entered into its system; however, it still has not addressed the errors in the data it previously entered into its database. A review of the full dataset that it provided to us reveals multiple complaints with the same complaint number and numerous complaints with a response date prior to the date received--the same issues we described in our July 2020 report.

Annual Follow-Up Agency Response From October 2022

As previously reported, the Compliance Manual of Policies and Procedures, Policy 2.3, Complaint Investigation Procedures, was revised in August 2020 to incorporate all recommendations and to ensure all roles and processes are clear. Additionally, historical complaint records have been updated and corrected and the system of record report has been enhanced to provide additional tools to validate data accuracy related to the Air Quality Complaint Program.

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

The Air District did not provide evidence to substantiate that it updated and corrected the data previously entered into its database, nor did it provide a description of the process it used to validate the accuracy of the data it previously entered into its database. Further, the Air District's creation of a requirement to review newly entered complaint data for accuracy does not address the data entered before the requirement's creation.

Annual Follow-Up Agency Response From October 2021

A process is currently in place to validate the accuracy of data that is entered in the database. In addition, an updated version of the District Air Quality Complaint App is currently being integrated with the Complaint Business Process Reengineering (BPR) to include mapping functions, improved features, and reporting capabilities. These functionalities will further enhance the process for validating accuracy of data. The BPR is expected to be completed by November 2021.

California State Auditor's Assessment of Annual Follow-Up Status: No Action Taken

The Air District's response does not address the recommendation because it is not related to the accuracy of the data it previously entered into its database.

1-Year Agency Response

The Compliance Manual of Policies and Procedures, Policy 2.3, Complaint Investigation Procedures, (attached) was revised in August to incorporate all recommendations. Additionally, this BPR is critical to enhance the reporting tools and implement systematic controls to maintain the quality of our complaint program.

California State Auditor's Assessment of 1-Year Status: No Action Taken

The Air District's response does not address the recommendation. Although the Air District added a requirement in its Compliance Manual to review newly entered complaint data for accuracy, the Compliance Manual does not address data entered prior to the requirement's creation.

6-Month Agency Response

The Compliance Manual of Policies and Procedures, Policy 2.3, Complaint Investigation Procedures, (attached) was revised in August to incorporate all recommendations. Additionally, the BPR will be critical to enhance the reporting tools and implement systematic controls to maintain the quality of our complaint program.

California State Auditor's Assessment of 6-Month Status: No Action Taken

Although the Air District has added a requirement in its Compliance Manual to review newly entered complaint data for accuracy, the Air District's response does not address data entered prior to the requirement's creation.

60-Day Agency Response

The Compliance Manual of Policies and Procedures, Policy 2.3, Complaint Investigation Procedures, (attached) was revised in August to incorporate all recommendations. Additionally, the BPR will be critical to enhance the reporting tools and implement systematic controls to maintain the quality of our complaint program.

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

The San Diego Air District revised its Complaint Investigations Procedures manual to address the accuracy of data entered into the system; however, the District did not address how it intends to validate the accuracy of the system's existing data.

Recommendation #13 To: San Diego County Air Pollution Control District

To ensure that it has a method of providing key administrative services in place by the time it ceases to function as part of the county, the San Diego Air District should finalize its agreement with San Diego County to continue providing key administrative services as soon as possible.

6-Month Agency Response

The District entered into a "Service and Cost Agreement with the County of San Diego" on August 5, 2020 (see attached board minutes and agreement).

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

The final signature on the San Diego Air District's contract with the County for key services was dated October 2020.

60-Day Agency Response

The District entered into a "Service and Cost Agreement with the County of San Diego" on August 5, 2020 (see attached board minutes and agreement).

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

The San Diego Air District's Board approved entering into a contract with the County of San Diego for certain services; however, the District has not provided a copy of the signed contract.

All Recommendations in 2019-127

Agency responses received are posted verbatim.