2023-128 Department of Pesticide Regulation
Insufficient Staffing and Inefficient Processes Delay Pesticide Registrations
Published: July 2, 2024Report Number: 2023-128
Audit Recommendations Disclosure
When an audit is completed and a report is issued, auditees must provide the State Auditor with information regarding their progress in implementing recommendations from our reports at three intervals from the release of the report: 60 days, six months, and one year. Additionally, Senate Bill 1452 (Chapter 452, Statutes of 2006), requires auditees who have not implemented recommendations after one year, to report to us and to the Legislature why they have not implemented them or to state when they intend to implement them. Below is a listing of each recommendation the State Auditor made in the report referenced and a link to the most recent response from the auditee addressing their progress in implementing the recommendation and the State Auditor’s assessment of auditee’s response based on our review of the supporting documentation.
Recommendation 1
To determine whether it is meeting its obligation to perform timely registration reviews, DPR should, by January 2025, establish a plan to develop, implement, and meet valid and measurable standards, including any required by law, for registration processing times. Unless AB 2113 is enacted, DPR should adopt regulations reflecting its planned timeliness standards by January 2028. To provide transparency and demonstrate progress as it works toward meeting those standards, DPR should, by January 2025, develop and implement a policy to annually report the following on its website:
- Its progress in meeting interim targets for its average registration processing times, for the number of applications it will process annually, and for reducing existing backlogs.
- Its progress in adopting or revising its regulations to reflect its updated timeliness standards.
Status:
Not fully implemented
Date of implementation:
January 2025
Evaluator assessment status:
Pending
60-Day Agency Response
AB 2113 (Chapter 60, Statutes of 2024) has been signed into law. On and after July 1, 2027, it requires DPR to meet specified timelines to review, evaluate, and issue final decisions on applications to register new pesticide products or amend existing pesticide product registrations. DPR is currently developing a policy to establish interim targets for its registration processes and an implementation plan for meeting those targets.
Recommendation 2
To ensure that its implementation of CalPEST sufficiently addresses its current tracking system’s limitations related to simultaneously processed applications, consistent renewal processing, and determination of evaluation times by application use type, DPR should, by July 2025, demonstrate that it is using CalPEST to do the following:
- Track registrations that it is processing simultaneously.
- Automate the registration renewal process, including standardizing the process’ procedures and supporting documentation.
- Track registrations by use-type.
Status:
Resolved
Date of implementation:
July 2024
Evaluator assessment status:
Resolved, Department did not substantiate its claim of full implementation
60-Day Agency Response
AB 2113 (Chapter 60, Statutes of 2024) has been signed into law. On and after July 1, 2027, it requires DPR to meet specified timelines to review, evaluate, and issue final decisions on applications to register new pesticide products or amend existing pesticide product registrations. As a result, DPR no longer needs to establish timeliness standards in regulations. As noted in the response to recommendation 1, DPR is currently developing an implementation plan for the requirements in AB 2113 and will provide future updates to the California State Auditor under that recommendation.
Public Reasoning Behind Assessment
This recommendation was only applicable if AB 2113 had not been enacted. Because AB 2113 was enacted, this recommendation is considered resolved.
Recommendation 3
To ensure that it can perform timely reviews for pesticide registrations, DPR should, by July 2025, develop a policy to assess its registration-related staffing needs on at least an annual basis by monitoring its progress toward achieving valid and measurable overall and station-specific timeliness standards. The policy should identify how it will measure the effectiveness of its efforts to improve its registration process through adjustments to its staffing.
Status:
Not fully implemented
Date of implementation:
July 2025
Evaluator assessment status:
Pending
60-Day Agency Response
DPR is completing final pre-implementation user resting for the California Pesticide Electronic Submission Tracking (CalPEST) system, which will shift the department from a paper-based to an electronic registration system. CalPEST will allow DPR to electronically centralize and route to staff pesticide product information, scientific studies, and reviews. CalPEST will also provide better visibility to registrants on their application status and permit secure electronic payments. Initial system launch is scheduled for Fall 2024.
The updated system will introduce many process efficiencies, including tracking simultaneous routing of registration packages, automating the renewal process, and tracking registrations by use-type. In addition, the modernized system will provide vastly improved data collection on registration submissions. The system will also facilitate reporting progress towards registration time standards and other registration program improvements. Following initial system launch, DPR will be collecting information from the system to demonstrate its ability to provide the functions described above.
Recommendation 4
To ensure that it consistently selects for audit companies with heightened risks of noncompliance with mill reporting requirements, DPR should, by January 2025, formalize its guidance for annually selecting companies to audit. The guidance should identify the main criteria DPR will employ when selecting companies to audit, such as a company’s sales volume, changes to a company’s sales volume, and a company’s geographic location. The guidance should also identify the number of audits DPR should conduct annually.
Status:
Not fully implemented
Date of implementation:
July 2025
Evaluator assessment status:
Pending
60-Day Agency Response
DPR is completing final pre-implementation user resting for the California Pesticide Electronic Submission Tracking (CalPEST) system, which will shift the department from a paper-based to an electronic registration system. CalPEST will allow DPR to electronically centralize and route to staff pesticide product information, scientific studies, and reviews. CalPEST will also provide better visibility to registrants on their application status and permit secure electronic payments. Initial system launch is scheduled for Fall 2024.
The updated system will introduce many process efficiencies, including tracking simultaneous routing of registration packages, automating the renewal process, and tracking registrations by use-type. In addition, the modernized system will provide vastly improved data collection on registration submissions. The system will also facilitate reporting progress towards registration time standards and other registration program improvements. Following initial system launch, DPR will be collecting information from the system to demonstrate its ability to provide the functions described above.
Recommendation 5
To demonstrate that it adequately trains its regulatory scientists, DPR should, by January 2025, implement a policy and procedure for tracking completion of the required training for new regulatory scientists.
Status:
Not fully implemented
Date of implementation:
July 2025
Evaluator assessment status:
Pending
60-Day Agency Response
DPR is completing final pre-implementation user resting for the California Pesticide Electronic Submission Tracking (CalPEST) system, which will shift the department from a paper-based to an electronic registration system. CalPEST will allow DPR to electronically centralize and route to staff pesticide product information, scientific studies, and reviews. CalPEST will also provide better visibility to registrants on their application status and permit secure electronic payments. Initial system launch is scheduled for Fall 2024.
The updated system will introduce many process efficiencies, including tracking simultaneous routing of registration packages, automating the renewal process, and tracking registrations by use-type. In addition, the modernized system will provide vastly improved data collection on registration submissions. The system will also facilitate reporting progress towards registration time standards and other registration program improvements. Following initial system launch, DPR will be collecting information from the system to demonstrate its ability to provide the functions described above.
Recommendation 6
To ensure that it can perform timely reviews for pesticide registrations, DPR should, by July 2025, develop a policy to assess its registration-related staffing needs on at least an annual basis by monitoring its progress toward achieving valid and measurable overall and station-specific timeliness standards. The policy should identify how it will measure the effectiveness of its efforts to improve its registration process through adjustments to its staffing.
Status:
Not fully implemented
Date of implementation:
July 2025
Evaluator assessment status:
Pending
60-Day Agency Response
DPR is in process of developing a policy, by July 2025, to evaluate staffing needs annually. DPR notes that the State Budget authorized approximately 117.4 positions to be allocated to the department over the course of the next three years.
Recommendation 7
DGS agrees with the recommendation. For those agencies that DGS believes it has not yet discussed potential properties, DGS concurs with reaching out to discuss potential sites. However, DGS notes that several of those agencies have independent authority to manage real property and would likely require legislative action to prioritize affordable housing projects.
Status:
Fully implemented
Date of implementation:
August 2024
Evaluator assessment status:
Fully implemented
60-Day Agency Response
DPR formalized its policy that will be used for selecting companies that will be audited each year. The policy describes the methodology used to select companies for audit. The methodology includes analyzing and statistically comparing companies’ sales volumes, then ranking each company’s sales from highest to lowest while also taking into account changes to companies’ overall sales volumes. Companies may also be flagged for an audit if (1) discrepancies or other unusual patterns are found through sales trend analysis, (2) sales of unregistered products are noted, or (3) entries in the Mill Assessment Reports are hand-written, rather than entered electronically. DPR may also prioritize audits following an external complaint or for companies with past violations relative to reported sales. Additionally, the Audit Unit will accept special requests from DPR’s Office of Legal Affairs or Enforcement Branch, and any leads from inspectors or DPR’s Office of Legal Affairs. The geographic location of companies will also be considered since it relates directly to the Audit Unit’s ability to form an efficient and effective annual auditing travel plan in order to successfully conduct the necessary number of planned audits each year.
Recommendation 8
To demonstrate that it adequately trains its regulatory scientists, DPR should, by January 2025, implement a policy and procedure for tracking completion of the required training for new regulatory scientists.
Status:
Not fully implemented
Date of implementation:
January 2025
Evaluator assessment status:
Pending
60-Day Agency Response
DPR’s required training for new regulatory scientists is initiated quarterly. Beginning with the next cohort in September, supervisors and managers will be responsible for tracking progress and completion of required training for new regulatory scientists. DPR is on track for full implementation by January 2025.