HomeMy WebLinkAbout20A - AA - CAL-EPA GRANTREQUEST FOR
COUNCIL ACTION
CITY COUNCIL MEETING DATE:
JUNE 20, 2011
TITLE:
CAL-EPA CERTIFIED UNIFIED PROGRAM
AGENCY ELECTRONIC REPORTING
GRANT 2010
CITY MANAGER
RECOMMENDED ACTION
CLERK OF COUNCIL USE ONLY:
APPROVED
? As Recommended
? As Amended
? Ordinance on 1" Reading
? Ordinance on 2nd Reading
? implementing Resolution
? Set Public Hearing For_
CONTINUED TO
FILE NUMBER
Approve the Appropriation Adjustment for the Cal-EPA - Certified Unified Program Agency Electronic
Reporting Grant 2010 expenditure account.
DISCUSSION
Assembly Bill 2286 requires that the Certified Unified Program Agencies (CUPAS) within Orange
County Health Services report hazardous materials business emergency plans electronically by
January 1, 2013. Therefore, Santa Ana Fire Department as a Participating Agency (PA) within the
CUPA must in turn report to the CUPA in the same manner. Cal-EPA has been authorized to provide
every qualified PA with funding to assist in compliance efforts.
FISCAL IMPACT
Approval of the Appropriation Adjustment will increase revenues in the Cal-EPA Certified Unified
Program Agency Electronic Reporting Grant 2010 revenue account (14615002-52025) by $20,000
and appropriate the same into the Certified Unified Program Agency Electronic Reporting Grant
expenditure account (14615365-62300).
APPROVED AS TO FUNDS AND ACCOUNTS:
David Thomas Francisco Gutierrez
Fire Chief Executive Director
Fire Department Finance & Management Services Agency
20A-1
20A-2
CERTIFIED UNIFIED PROGRAM AGENCY ELECTRONIC REPORTING
GRANT AGREEMENT
BETWEEN THE
CALIFORNIA ENVIRONMENTAL PROTECTION AGENCY
AND
SANTA ANA FIRE DEPARTMENT
CERTIFIED UNIFIED PROGRAM AGENCY
AGREEMENT NO. G10-UPA-86
State and Grantee hereby agree as follows:
1. PROVISIONS. The following statute authorizes the State to enter into this Grant Agreement:
a. California Health and Safety Code, division 20, chapter 6.11, section 25404
2. PURPOSE. The State shall provide a grant to and for the benefit of the Grantee for the purpose of allocating
moneys from the regulated businesses oversight surcharge to the Certified Unified Program Agencies
(CUPAs). Assembly Bill 2286 authorizes the Secretary to use funds from the oversight surcharge to provide
certified unified program agencies and participating agencies assistance in implementing electronic Reporting
requirements through grant funds for the purposes of the system. Up to 25% of the grant is authorized to be
paid in advance on approval of the grant application.
3. GRANT AMOUNT. $ 20,000
a. Advanced Payment Amount. $ 0.00
4. TERM OF AGREEMENT. The term of the Agreement shall begin on January 1, 2010, and end on March 31,
2013. ABSOLUTELY NO INVOICES WILL BE ACCEPTED AFTER June 1, 2013.
5. REPRESENTATIVES. Either party may change its Representative(s) upon written notice to the other party. The
Representatives during the term of this Agreement will be:
California Environmental Protection Agency
GRANT MANAGER
James Bohon
1001 "1" Street, 2nd Floor
Sacramento, California 95814
Phone 916 327-5097
Fax 916 322-5615
Email: jbohon cale a.ca. ov
GRANTEE GRANT CONTACT
if different from Project Director
Name of Project Director, Title: Lori Smith,
Administrative Chief / FM Name: Chris Ciraulo, Firefighter/HazMat Inspector
Street Address: 1439 S. Broadway Street Address: 1439 S. Broadway
City, Zip: Santa Ana, CA 92707 City, Zip: Santa Ana, CA 92707
Phone: 714-647-5700 Phone: 714-647-5750
Fax: 714-647-5751 Fax: 714-647-5751
e-mail: lsmithtjsanta-ana.org e-mail:cciraulo .santa-ana.oro
6. STANDARD AND SPECIAL PROVISIONS The following exhibits are attached and made apart of this Agreement by this
reference:
Exhibit A REPORTING AND INVOICING PROVISIONS
Exhibit B SPECIAL AND GENERAL PROVISIONS
Exhibit C GRANT APPLICATION
Exhibit D TRANSITION PLAN
20A-3
Santa Ana Fire Department
Electronic Reporting Grant Agreement No. G10-UPA-86
Page 2 of 6
7. GRANTEE REPRESENTATIONS. The Grantee accepts and agrees to comply with all terms, provisions, conditions,
and commitments of this Agreement, including all incorporated documents, and to fulfill all assurances,
declarations, representations, and commitments made by the Grantee in its application, accompanying
documents, and communications filed in support of its request for grant funding.
8. DEFINITIONS. The following defined terms apply throughout this Agreement:
"Cal/EPA" means the California Environmental Protection Agency;
"CUPA" means the Certified Unified Program Agency;
"Grantee" means the Santa Ana Fire Department;
"PA" means the Participating Agency;
"Electronic Reporting" means the Electronic Reporting requirements of Assembly Bill 2286
"Secretary" means the Secretary of the California Environmental Protection Agency; and
"State" means the State of California, including Cal/EPA.
IN WITNESS THEREOF, the parties have executed this Agreement on the dates set forth below.
By:
Grantee Signature
By:
Donald A. Johnson, Assistant Secretary
California Environmental Protection Agency
Grantee Name, Title (Typed/Printed)
Date
Date
20A-4
Santa Ana Fire Department
Electronic Reporting Grant Agreement No. G10-UPA-86
Page 3 of 6
EXHIBIT A
REPORTING AND INVOICING PROVISIONS
A. REPORTING PROVISIONS
1. The Grantee shall prepare and submit a Transition Plan Status Reports, including invoices for documentation
of expenditures, to the Cal/EPA Grant Manager at the following address:
California Environmental Protection Agency
Unified Program Section
Attn: Brittani Donnachie
1001 "1" Street, 2nd Floor
Sacramento, California 95814
2. The Transition Plan Status Report and Invoice will be provided by Cal/EPA upon the approval of the Grant
Application.
3. Each report shall have a cover letter certified by the Project Director or the Grant Contact.
4. For purposes of the Electronic Reporting Implementation Status Reports, the reporting period is as follows:
Report Reporting Period Report Due Date
Report 1 June 1, 2010, to September 30, 2010 November 1
2010
Report 2 October 1, 2010, to December 31, 2010 ,
February 1, 2011
Report 3 January 1, 2011, to March 31, 2011 May 1, 2011
Report 4 April 1, 2011, to June 30, 2011 August 1
2011
Report 5 July 1, 2011, to September 30, 2011 ,
November 1
2011
Report 6 October 1, 2011, to December 31, 2011 ,
February 1, 2012
Report 7 January 1, 2012, to March 31, 2012 May 1, 2012
Report 8 April 1, 2012, to June 30, 2012 August 1
2012
Report 9 July 1, 2012, to September 30, 2012 ,
November 1
2012
Report 10 October 1, 2012, to December 31, 2012 ,
February 1
2013
Report 11 January 1, 2013, to March 31, 2013 ,
May 1, 2013
B. INVOICING PROVISIONS
1. Invoices shall be used to depict the expenditures incurred by the Grantee in implementation of Electronic
Reporting throughout the period of performance.
2. The invoice shall include all Electronic Reporting implementation expenditures incurred by the Grantee during
the reporting period.
3. The invoice shall be submitted as an attachment to the Transition Status Report, in accordance with the
submission schedule provided above.
4. The Grantee shall use the invoice template format provided by Cal/EPA.
20A-5
20A-6
Santa Ana Fire Department
Electronic Reporting Grant Agreement No. G10-UPA-86
Page 4 of 6
EXHIBIT B
SPECIAL AND GENERAL PROVISIONS
A. SPECIAL PROVISIONS
1. AMENDMENTS: No amendment or variation of the terms of this Agreement shall be valid unless made in
writing, signed by the parties and approved as required. No oral understanding or agreement not
incorporated in the Agreement is binding on any of the parties.
2. WAIVERS: Any term, provision, condition, or commitment of this Agreement may be waived at the discretion
of Cal/EPA. All waivers shall be documented in writing.
3. DISPUTES: The Grantee shall continue with the responsibilities under this Agreement during any dispute.
Any dispute arising under this Agreement which is not otherwise disposed of by agreement shall be decided
by the Cal/EPA Assistant Secretary for Local Programs or an authorized representative. The decision shall
be in writing and a copy thereof furnished to the Representatives of this Agreement. The decision of the
Assistant Secretary shall be final and conclusive unless, within thirty (30) calendar days after mailing of the
decision to the Grantee, the Grantee furnishes a written appeal of the decision to the Secretary for
Environmental Protection, with carbon copies furnished to the Cal/EPA Assistant Secretary for Local
Programs and the Cal/EPA Grant Manager. The decision of the Secretary shall be final and conclusive
unless determined by a court of competent jurisdiction to have been fraudulent, or capricious, or arbitrary, or
so grossly erroneous as necessarily to imply bad faith, or not supported by substantial evidence. In
connection with any appeal under this clause, the Grantee shall be afforded an opportunity to be heard and to
offer evidence in support of its appeal. Pending final decision of a dispute hereunder, the Grantee shall
continue to fulfill and comply with all the terms, provisions, commitments, and requirements of this
Agreement. This clause does not preclude consideration of legal questions, provided that nothing herein shall
be construed to make final the decision of the Cal/EPA Assistant Secretary for Local Programs or the
Secretary, on any question of law.
4. FISCAL MANAGEMENT SYSTEMS AND ACCOUNTING STANDARDS: The Grantee agrees that, at a
minimum, its fiscal control and accounting procedures will be sufficient to permit tracing of grant funds to a
level of expenditure adequate to establish that such funds have not been used in violation of state law or this
Agreement. The Grantee further agrees that it will maintain financial accounts in accordance with generally
accepted accounting principles. Without limitation of the requirement to maintain financial management
systems and accounting standards in accordance with generally accepted fiscal and accounting principles,
the Grantee agrees to:
a. Establish a financial account(s) and accounting system(s) that will adequately and accurately depict
all Electronic Reporting Grant amounts received and expended during the term of this Agreement,
including but not limited to:
i. All Electronic Reporting implementation expenditures; and
ii. Running balance of grant allocations and expenditures.
5. RECORDS MANAGEMENT: Maintain all documentation and financial records, as may be necessary, for the
state to fulfill federal reporting requirements, including any and all reporting requirements under federal tax
statutes or regulations. Establish an official file for the allocation that shall adequately document all significant
activities and actions relative to the Implementation of the Electronic Reporting Implementation, including but
not limited to:
a. Fiscal accounting;
b. Electronic Reporting Implementation Status Reports; and,
c. Invoicing and supporting documentation.
6. TIMELINESS: Time is of the essence in this Agreement. The Grantee shall proceed with Electronic Reporting
implementation in an expeditious manner. The Grantee shall prepare and submit all required reports and
invoices as stipulated in this Agreement.
20A-7
Santa Ana Fire Department
Electronic Reporting Grant Agreement No. G10-UPA-86
Page 5 of 6
7. WITHHOLDING OF GRANT DISBURSEMENTS: Cal/EPA may withhold all or any portion of the allocations
provided for by this Agreement in the event the Grantee:
a. Materially violates, or threatens to materially violate, any term, provision, condition, or commitment of
this Agreement; or
b. Fails to maintain reasonable progress toward Electronic Reporting implementation.
8. FUNDS CONTINGENCY: Cal/EPA's obligations under this Grant Agreement are contingent upon the
availability of funds. In the event funds are not available, the State shall have no liability to pay any funds
whatsoever to the Grantee or to furnish any other considerations under this Grant Agreement.
9. BUDGET REVISIONS: Budget revisions of 15% or less of the total agreement allocation may be made in
writing and approved by Cal/EPA without an amendment to the agreement.
B. GENERAL PROVISIONS
1. ASSIGNMENT: This grant is not assignable by the Grantee, either in whole or in part, without the consent of
the State.
2. AUDIT: Grantee agrees that the Cal/EPA, the Bureau of State Audits, or their designated representative shall
have the right to review and to copy any records and supporting documentation pertaining to the expenditure
of allocated moneys and performance of this Agreement. The Grantee agrees to maintain such records for a
possible audit for a minimum of three (3) years after term of the Agreement, unless a longer period of records
retention is stipulated. Grantee agrees to allow the auditor(s) access to such records during normal business
hours and to allow interviews of any employees who might reasonably have information related to such
records. Further, the Grantee agrees to include a similar right of the State to audit records and interview staff
in any contract related to performance of this Agreement.
3. COMPUTER SOFTWARE: The Grantee certifies that it has appropriate systems and controls in place to
ensure that state funds will not be used in the performance of this Agreement for the acquisition, operation or
maintenance of computer software in violation of copyright laws.
4. CONFLICT OF INTEREST: The Grantee certifies that it is in compliance with applicable state and/or federal
conflict of interest laws.
5. GOVERNING LAW: This grant is governed by and shall be interpreted in accordance with the laws of the
State of California.
6. INDEPENDENT ACTOR: The Grantee, and its agents and employees, if any, in the performance of this
Agreement, shall act in an independent capacity and not as officers, employees or agents of the State.
7. NONDISCRIMINATION: During the performance of this Agreement, the Grantee and its contractors shall not
unlawfully discriminate against, harass, or allow harassment against any employee or applicant for
employment because of sex, race, religion, color, national origin, ancestry, disability, sexual orientation,
medical condition, marital status, age (over 40) or denial of family-care leave, medical-care leave, or
pregnancy-disability leave. The Grantee and its contractors shall ensure that the evaluation and treatment of
their employees and applicants for employment are free of such discrimination and harassment.
8. NO THIRD PARTY RIGHTS: The parties to this grant Agreement do not create rights in, or grant remedies to,
any third party as a beneficiary of this grant Agreement, or of any duty, covenant, obligation or undertaking
established herein.
9. TERMINATION: The State may terminate this Agreement and be relieved of any payments should the
Grantee fail to perform the requirements of this Agreement at the time and in the manner herein provided. In
the event of such termination, the Grantee agrees, upon demand, to immediately return the remaining unused
portion, if any, of the Grantee's allocation.
20A-8
Santa Ana Fire Department
Electronic Reporting Grant Agreement No. G10-UPA-86
Page 6 of 6
10. UNENFORCEABLE PROVISION: In the event that any provision of this Agreement is unenforceable or held
to be unenforceable, then the parties agree that all other provisions of this Agreement shall continue to have
full force and effect and shall not be affected thereby.
20A-9
20A-10
EXHIBIT C G1n-iIPA-R9
GRANT APPLICATION FORM
1. Entity Information:
Unified Program Agency Name: City of Santa Ana Fire Department
GRANTEE GRANT CONTACT
if different from Project Director
Name of Project Director, Title: Name:
Lori Smith, Administrative Chief / FM Chris Ciraulo, Firefi hter/HazMat Inspector
Street Address: Street Address:
1439 S. Broadway Same
City, Zip: City, Zip:
Santa Ana, Ca 92707 same
Phone: Phone:
714-647-5700 714-647-5750
Fax: Fax:
714-647-5751 714-647-5751
e-mail: e-mail:
IsmithO-santa-ana.orq cciraulo _santa-ana.ora
2. Grant Amount: $ 20.000
a. Advanced payment Requested: _0
(Up to 25% of the grant is authorized to be paid in advance on approval of the grant.)
3. Scope of Work
Grant funds are being applied for due to compliance requirements of AB 2286, which requires all
regulated businesses and Unified Program Agencies (UPA) to use the Internet to file required Unified
Program information electronically.
The City of Santa Ana Fire Department is a Participating Agency (PA) under Orange County HCA/EH
Certified Unified Program Agency (OC CUPA). Using EnvisionConnect, OC CUPA has created an
EnvisionConnnect Portal for reporting businesses of a PA to utilize for electronic reporting in lieu of
CERS.
Santa Ana intends to secure a consultant, E-Compliance, for the transition to the Portal. The software
used to submit electronically is called e-Submit. Data entered by regulated businesses into e-Submit
transfers to OC CUPA via the portal. OC CUPA uses this data to prepare the consolidated invoice.
The conversion to electronic reporting through the EnvisionConnect Portal began early 2010 and is now
complete. A transition from our current online software to e-Submit will allow regulated businesses in
Santa Ana to connect through the e-Submit portal with a limited learning curve.
All participating agencies under OC CUPA who utilize the EnvisionConnect Portal are included in the joint
Transition Plan submitted by OC CUPA. Each individual PA will continue to complete the milestones
reported to Cal/EPA document on a quarterly basis.
Page 1 of 3
20A-11
EXHIBIT C
4. Work Plan
G 10-U PA-89
Period of Performance: January 1, 2012 through March 31, 2013 (no later than March 31, 2013)
1. Transition from current electronic system to the Portal (PA tasks)
a. Prepare electronic files for a clean transition
b. Prepare notifications and instructions for our customers
c. Provide training to reacquaint emergency responders to new format
2. Software Upgrade for Electronic Submittal (Consultant tasks)
a. Coordinate schedule for implementation
b. Load software onto OC CUPA server and register SAFD within the network
c. Acquire necessary administrator passwords and credentials
d. Obtain sample operational directives and deployment tools
e. Train on the use and administration of the program
f. Configure two stand alone emergency response laptops
S. Projected Budget:
Program Costs Fiscal Year
09/10 Fiscal Year
10/11 Fiscal Year
11/12 Fiscal Year
12/13
Personnel Services* $ $ $ $
Operating Expenses $ $ $ $
Travel Expenses $ $ $ $
Supplies/Materials $ $ $ $
Equipment/Software $ $ $ $
Professional/Consultant Services $ $ $ $20000.00
FISCAL YEAR TOTAL $ $ $ $20000.00
TOTAL
$20000.00
*Indirect costs may not exceed 35% of grant allotment
Page 2 of 3
20A-12
EXHIBIT C G10-UPA-89
CERTIFICATION
I certify under penalty of perjury that the information I have entered on this application is true and complete to the
best of my knowledge and that I am an employee of the applicant authorized to submit the application of behalf
of the application. I further understand that any false, incomplete, or incorrect statements may result in the
disqualification of this application. By signing this application, I waive any and all rights to privacy and
confidentiality of the proposal on behalf of the applicant, to the extent provided in this program.
Applicant Signature
Lori Smith
ri n ncu rvaine or mppucani
Page 3 of 3
20A-13
20A-14
EXHIBIT D G10-UPA-89
ELECTRONIC REPORTING TRANSITION PLAN
Orange County HCA/EH Certified Unified Program Agency hereto referred to OC CUPA This transition plan
covers the OC CUPA and its 10 Participating Agencies which are listed on page 11.
TRANSITION PLAN REPRESENTATIVE
Name of Project Director, Title: Pearl Boelter, Program Manager
Street Address: 1241 E. Dyer, Suite 120
City, Zip: Santa Ana, 92705
Phone: (714) 433-6010
Fax: (714) 754-1768
E-mail: pboelter@ochca.com
1. General Description of Transition Plan
Orange County Health Care Agency/Environmental Health's Certified Unified Program Agency
(OCCUPA) and its 10 Participating Agencies (PA) began the transition from a paper-based reporting
system to electronic reporting as mandated by Assembly Bill 2286 in 2007. OCCUPA chose a
Regional Portal option with CERS upload/download capability. The Portal is hosted by OC CUPA
with the 10 PAs having web-based connections. OC CUPA implemented the base Portal through
another funding mechanism. AB 2286 funding will provide the OC CUPA and its PAs the ability to
enhance Portal operations and implement the PA connections. The E-reporting grant projects will be
completed by outside vendors, OC CUPA IT staff, and OC CUPA Portal team members. Here is a
breakdown of Orange County's Unified Program with estimated dates of PA and OC CUPA program
connections to the Portal. Each specific Agency listed in the table is responsible for the existing
review and submittal of paper UPCFs for the program element(s) listed and will be responsible for the
new electronic submittal review and approval which also includes assisting the businesses with their
electronic submittals and sending mailers/educational information on the electronic submittals to the
regulated businesses.
AGENCY CUPA/PA PROGRAM ELEMENTS QTR OF PORTAL
CONNECTION
Costa Mesa Fire PA HMRRP/HMMP /2011
Fountain Valley
Fire PA HMRRP/HMMP 4 /2011
Fullerton Fire PA HMRRP/HMMP
UST 1S/2012
Garden Grove Fire PA HMRRP/HMMP 1st/2011
20A-15
EXHIBIT D G10-UPA-89
QTR/YR OF
AGENCY CUPA/PA PROGRAM ELEMENT PORTAL
CONNECTION
Huntington Beach PA HMRRP/HMMP 3rd /2011
Fire
LA County Fire PA HMRRP/HMMP 4 /2012
Dept (La Habra) Cal/ARP
Newport Beach PA HMRRP/HMMP 15`/2010
Fire
Orange Fire PA HMRRP/HMMP 15/2012
UST
Orange County PA HMRRP/HMMP 2nd/2 )12
Fire Authority Cal/ARP
22 Cities &
Unincorporated
Santa Ana Fire PA HMRRP/HMMP 3F /2012
UST
Orange County CUPA HMRRP/HMMP -City of 2" /2009
Environmental Brea
Health
Orange ounty
C
CUPA
UST
1st/2011
Environmental With the exception of
Health Anaheim, Fullerton,
Orange, & Santa Ana
Orange County CUPA HW/TP 4 /2011
Environmental
Health
Orange County CUPA APST 4 /2011
Environmental
Health
Orange County CUPA CalARP 4 /2011
Environmental
Health
OC CUPA and PA regulated businesses will be expected to submit Unified Program Consolidated
Forms (UPCFs) information electronically via OC CUPA's EnvisionConnect Portal by January 1,
2013. The CUPA provides for contingencies on a case by case basis by which paper based UPCFs
may be accepted and submitted through EnvisionConnect and the EnvisionConnect Portal.
Multi jurisdictional businesses may submit via CERS which will be downloaded into Envision-
Connect and the Portal. OC CUPA will upload existing Owner and Facility information to CERS.
EnvisionConnect will capture the assigned CERS ID for future data exchanges. After initial upload,
OC CUPA on behalf of its 10 PAs will participate in a frequent two-way data exchange between
EnvisionConnect and CERS in order to synchronize the two systems. Therefore, the data exchange
Page 2 of 12
20A-16
EXHIBIT D G10-UPA-89
will include both OC CUPA and PA data. Additional OC CUPA and PA data will be uploaded based
on requests from State Agencies, and related to annual, semiannual, and quarterly report information.
Currently, Orange County's Unified Program collects forms for the following programs:
COLLECTION AGENCY COLLECTED
METHOD BY CUPA PROGRAM # of Businesses*
Electronic OC CUPA - CUPA HMRRP/HMMP
City of Brea 192
Electronic Newport
Beach Fire PA HMRRP/HMMP 205
CM, FV, F,
Paper GG, HB,
LACOFD, O, PA HMRRP/HMMP 5715
0(-FA SA
Santa Ana
Electronic Fire PA HMRRP/HMMP 525
Hazardous Waste
Generator and
Paper
OC CUPA
CUPA
Hazardous Waste Onsite HW = 5792
Treatment Programs TP= 131
California Accidental
Paper OC CUPA CUPA Release Prevention
Program (CaIARP) 42
F
LA
,
COFD, California Accidental
Paper OCFA PAs Release Prevention 45
Program Cal/ARP
Underground Storage
Paper OC CUPA CUPA Tanks 680
F
ll
u
erton, Underground Storage
Paper Orange PA Tanks 123
S
Electronic anta Ana
PA Underground Storage
Fire Tank 94
Paper OC CUPA CUPA Aboveground Petroleum
Stora
e Tank
g 497
Total Comhint-d Ru cinacccc = stann
Regulated businesses submit their paper based UPCFs by mail, by email, by fax, or directly to OC
CUPA and PA staff. Non-responders are mailed reminders that are followed-up with phone calls.
For Regional Portal implementation, the Unified Program Consolidated Form data is uploaded into
OC CUPA's Regional Portal from EnvisionConnect and PA databases as well as some manual entry.
Page 3 of 12
20A-17
EXHIBIT D G10-UPA-89
Initial data will be validated by either OC CUPA or PA program staff depending on which Agency
administrates the specific Program Element; however, businesses will be required to review their
Portal data online within 3-6 months after the transfer, and validate and/or update if there are
changes. The OC CUPA and PAs will notify businesses by a work shop, mailed letter, email, and/or
inspection report of their data availability in the Regional Portal, and request them to verify, and if
necessary, update their data.
CUPA and PA staff (based on program element) will review ongoing electronic submissions to
determine approval status. Emails will be sent out by the Portal informing the businesses of the
approval status and providing them with the information needed to achieve approval status. Final
approval of submitted UPCF documents into the Portal will be targeted within 14 days of initial
submittal. Exceptions to this timeframe will be allowed based on circumstances. After data transition
is completed, paper UPCFs will be accepted, approved, and entered by the OC CUPA and PA on a
case-by-case basis with the intent to transition all businesses to electronic submittals.
OC CUPA inspection staff will assist businesses with general EnvisionConnect Portal operation
during onsite inspections using laptops and wireless connections. There will also be OC CUPA and
PA Portal Coordinators available to assist businesses via phone and email during regular business
hours.
Mailers (letters, flyers, and/or newsletters) will be sent to businesses to notify them about the
transition process and what business owners need to do to comply. OC CUPA and Cal/EPA
resource web links will be included in the mailers and on OC CUPA's web site so that businesses
have access to more information about electronic reporting requirements. Businesses may take
advantage of online training tutorials and scheduled workshops. OC CUPA conducted one workshop
in 2009 and is scheduled to conduct a workshop in January 2011.
The inspection and enforcement data electronic submittal requirement of AB2286will be addressed
with the EnvisionConnect CERS upload being designed by Decade Software, and with the new
Regional Portal PA Inspection and Enforcement module which will allow PAs to enter inspection and
enforcement (I and E) data into the Portal. The PA's I and E data can then be uploaded into
EnvisionConnect, consolidated with OC CUPA data, and then uploaded to CERS.
2. Needs Assessment
The OC CUPA and its PAs recognize that converting their business-to-CUPA reporting system from
paper/hardcopy to electronic will require an assessment of the resources needed to implement the
new system. There are some critical needs that must be addressed in order to efficiently and
effectively convert to and manage electronically reported data through CERS. This need assessment
began for the OC CUPA in 2007 when the Regional Portal concept was initiated through OC CUPA's
IT Project Request process and approved by the governing body. In order to complete OC CUPA's
transition to regional electronic reporting the following needs and the plan to address them are listed
below:
• OC CUPA and PA staff apply for Cal/EPA electronic reporting grant funds to fully implement
electronic reporting. The OC CUPA and each of the 10 PAs will apply for the funds separately
and submit a joint transition plan. The funds will be needed for each PA connection to the
Regional Portal and for the OC CUPA to enhance Portal functionality.
• Transfer OC CUPA and PA hardcopy documents to EnvisionConnect, EnvisionConnect Portal,
and CERS. A combination of technique A and B will be used.
Page 4 of 12
20A-18
EXHIBIT D G10-UPA-89
oTechnique A: Part-time new hires for manual entry by PA - Under this option, the PA
utilizes internal staff to enter chemical data into the Regional Portal. Owner, Facility,
Program data will be transferred from the OC CUPA's EnvisionConnect database into
the Portal.
oTechnique B: Vendor contracted to transfer electronic data in EnvisionConnect or other
databases into the EnvisionConnect Portal. This Technique applies to both the OC
CUPA and the PAs that have chemical inventories and other program information in
existing databases.
• OC CUPA and PA staff need to assess existing data and new data submitted through the Portal
for completeness, accuracy, and compliance with Title 27 Data Dictionary. This will be an
ongoing process as new PAs and OC CUPA programs are added to the Portal. A test server is
in place to assist with this verification.
• OC CUPA with Decade Software will need to implement the EnvisionConnect upload/download
feature to CERS for UPCF information and inspection and enforcement data.
• OC CUPA and PAs review and consider fee adjustments to cover long-term operational costs.
With the Portal PA billing module enhancement, PA staff resources required to maintain two
separate billing databases will be eliminated. In addition, the OC CUPA staff resources to
consolidate 11 billing databases will be reduced. Finally, electronic submittal of forms will
reduce data entry staff resources. Therefore, the review and consideration of program fee
adjustments to cover annual database maintenance costs will need to include the reduction
and/or elimination of current manual database maintenance resources.
• Review and update procedures for managing OC CUPA and PA's data in a Regional Portal.
• OC CUPA and PA staff conduct EnvisionConnect Portal training for OC CUPA and PA staff.
• OC CUPA and PA staff conduct EnvisionConnect Portal training for businesses (workshops,
online, in the field).
• OC CUPA needs to accommodate both CUPA and PA businesses that do not regularly use a
computer and has plans to provide a computer station in the OC CUPA lobby.
• OC CUPA needs to obtain EnvisionConnect and EnvisionConnect Portal technical support from
Decade Software. OC CUPA will need to maintain annual contracts with Decade for Envision-
Connect and its Portal.
• OC CUPA staff will need to understand how CERS operates in order to assist those businesses
that choose to use CERS for their electronic form submissions.
• OC CUPA staff currently inspect using EnvisionConnect with field computers that either upload
the inspection and violation data through a wireless connection or hardwired connection when
they return to the office. The 10 PAs will manually enter their inspection and violation data into
the Portal after an inspection and violation tracking module is developed. In the future, OC
CUPA will encourage the PAs to transition to field computers that can then export/upload the
information into the Portal. Funding for this automation will need to come from fees and/or
enforcement case settlements.
Collecting, Submitting, and Storing Unified Program Related Information
OC CUPA and PA data will be exchanged with CERS through EnvisionConnect's upload/download
feature. The OC CUPA will be responsible for the exchange of both CUPA and PA data. The
automated exchange of data between CERS and EnvisionConnect will include documents regulated
facilities are required to report/submit through the Portal.
Regulated businesses will submit their information electronically into the EnvisionConnect Portal. By
exception, the CUPA and its PAs may collect paper / hardcopy data from the regulated businesses.
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The OC CUPA will enter the data into EnvisionConnect and the PAs will enter the data into the
EnvisionConnect Portal.
The EnvisionConnect Portal will synchronize with EnvisionConnect, which will then synchronize with
CERS. The OC CUPA will be responsible for the oversight of the exchange between the Portal and
the CUPA's EnvisionConnect database as well as the exchange between EnvisionConnect and
CERS.
4. Management of Data Changes/Updates
Businesses will submit UPCF changes/updates using the EnvisionConnect Portal. The OC CUPA is
responsible for addressing the UPCF changes/updates for their program elements The 10 PAs are
responsible for addressing the UPCF changes/updates for their program elements. Please see table
on page 11 that lists the CUPA and PA agencies with their program elements.
OC CUPA and PA staff (based on program element) will review submissions, compare with
previously submitted information using the EnvisionConnect Portal comparison tool, and will make a
determination on the approval status.
If a business submission is not approved, OC CUPA and PA staff will enter a notation in the Envision-
ConnectPortal specifying what is needed to complete the approval process.
Businesses that receive an incomplete approval status from OC CUPA and PAs will receive an email
notice of their status. Businesses will make the required corrections and resubmit to the OC CUPA or
the PA based on the city and program element.
Businesses will be notified by email of their approved submissions and the required data will be
transferred to EnvisionConnect. Upload to CERS will be done at a predetermined time schedule with
an agreed upon data transfer. Emails will be generated from the Agency (either OC CUPA or PA
based on city and program element) and the OC CUPA will be responsible for the data transfer to
Envision Connect and then to CERS.
5. Inspection/Enforcement
OC CUPA will use EnvisionConnect to collect and manage inspection and enforcement information in
the field. Inspectors will schedule inspections in EnvisionConnect using the field inspection workflow
and laptops with wireless connections. OC CUPA will use EnvisionConnect to push inspection and
enforcement information to CERS at a yet to be defined frequency acceptable to Cal/EPA.
PAs will use the EnvisionConnect Portal to collect and manage inspection and enforcement
information which will be uploaded to EnvisionConnect and then to CERS. The PA will input
inspection and enforcement data into the individual PA Portal system connections manually.
Automation of this process will be considered in the future, but not before the 1/1/13 electronic
submittal deadline. The PA's inspection and enforcement data will be exported from their Portal into
an Excel database and submitted to the OC CUPA for inclusion into their database until the system
can be automated to upload into OC CUPA's EnvisionConnect database.
6. Billing/Invoicing
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OC CUPA is responsible for conducting the Unified Program billing for all CUPA and the 10 PA
regulated businesses. The OC CUPA will use EnvisionConnect to generate invoices for regulated
businesses. EnvisionConnect will accept data from the Regional Portal PA billing module and
specific OC CUPA fields in Envision Connect will be used to generate invoices. Billing/invoicing is
performed by OC CUPA Accounting staff using EnvisionConnect's billing module. Data that is
downloaded from CERS will not be needed to generate invoices.
OC CUPA and PA fees are calculated based on program costs. The OC CUPA manager will work
with the Budget Analyst to determine whether or not fees need to be increased to cover the
operational costs of the Regional Portal. Each PA will need to make a similar analysis. As previously
stated in the needs assessment, overall reductions in staff resources due to streamlining of the billing
operations and reduction in data entry will be evaluated to determine the impact of the regional portal
on program fees.
7. Training
Staff Training
Existing OC CUPA and PA staff will be trained as the Portal is implemented. The OC CUPA Portal
team will schedule the trainings for the professional staff (OC CUPA and PA) who will be
administrators or reviewers. In many cases due to staff resource constraints, a PA Portal reviewer is
also the PA field inspector. Therefore, the OC CUPA Portal team will train the primary PA
reviewer/inspector and that person will train any additional PA staff that will have access to the Portal
for administrative and/or review activities. Engine companies will be trained to use the Regional
Portal's Emergency Response (ER) module by PA staff. OC CUPA Portal team staff can be
requested to assist in the ER trainings as needed.
New staff will be scheduled for the initial EnvisionConnect and/or EnvisionConnect Portal training
within two weeks after hire. OC CUPA Portal Coordinators will administer data management system
training for all CUPA new hires. PA Portal Coordinators will administer data management system
training for all PA new hires.
OC CUPA will take advantage of ongoing online training provided by Decade Software
Business Training
a) OC CUPA and PAstaff will conduct regular Portal educational outreach and training to the
regulated. Training will be in the form of workshops, in-person field training, online training, tip
cards, and phone/email assistance. Based on our experiences with the city of Brea and
Newport Beach, which have relatively small numbers of regulated businesses, the OC CUPA
and the following PA s, Costa Mesa, Fountain Valley, La Habra, will conduct most of their
assistance over the phone and through emails. Large PAs like the OCFA, Huntington Beach,
Orange, and Fullerton will have at least 1-2 workshops, onsite assistance, online tutorials and
phone/email assistance. Santa Ana Fire has already transitioned to electronic submittals and
therefore no business training will be required. The OC CUPA that oversees the majority of
UST sites, all of the hazardous waste and tiered permitting, the majority of CaIRP and all of
the APST sites will do most of the onsite assistance while onsite during annual inspections
and follow-up inspections using field computers and wireless connectivity. The onsite
assistance could equate to anywhere from 1500-2000 We have conducted two workshops to
date and will most likely conduct at least 4-6 more before 1/1/2013.
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b) OC CUPA will conduct CERS training as needed based on the multi-jurisdictional business
use of CERS.
8. Help System
OC CUPA and PA will offer a basic level of assistance for the EnvisionConnect Portal to regulated
businesses. Businesses may call or email OC CUPA and PA Portal Coordinator(s)for this assistance,
but inspection staff may help as well. OC CUPA web site will contain guidance on the general
operation of the EnvisionConnect Portal.
For technical or complicated issues, with the EnvisionConnect Portal or the EnvisionConnect data
management system, OC CUPA staff will contact Decade Software Technical Support by email at
support@decadesoftware.com or the help line at 800-233-9232.
9. Service Contract and Grant (fiscal)
OC CUPA and PA will apply for electronic reporting grants individually using the application provided
by Cal/EPA. The funds will be used to cover the specific costs associated with Portal enhancements
as well as implementing PA connections to the Portal. Following the fund distribution request are
brief descriptions of each of the projects. As previously stated, the OC CUPA initiated the Regional
Portal concept in 2007 with active implementation starting in 2008. The majority of the Portal base
infrastructure was completed without the need for AB2286 funds. The OC CUPA would like to use
AB2286 funds to enhance the Portal's functionality for both the regulated business community and
the Agency (OCCUPA and PA) users. In addition, the proposed projects will contribute to the
streamlining of CUPA business operations providing the businesses with a one-stop online option to
submit forms, pay invoices, and submit plans. The enhancements to the Portal will also allow the OC
CUPA and PAs to reduce the dependency on paper for processing billing changes and tracking of
inspection and enforcement data.
FUND DISTRIBUTION REQUEST
Project Title Activity Total Cost
EC Portal
Redundancy Vendor costs $35,089
Servers
$16
795
,
Associated minor equipment $8293
Portal Digital
Signature Vendor costs $27,188
Portal Billing
Component Vendor costs $46,315
Servers
$21,315
l Functionality Vendor costs $25
000*
spection and
F ,
rcement Module Vendor costs $15,000*
Expansion
of the PA
Billing module for OC
CUPA billing use Vendor costs $5000*
OC CUPA staffin
for
g
Portal Implementation Staffing costs $101,009**
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EXHIBIT D G10-UPA-89
OCFA (PA) Portal
Connection Vendor costs
$25,000
PA connections to
Portal Vendor costs
$200,000
*verbal vendor quotes - need to obtain written quotes from vendor
**estimate which includes indirect costs, may be adjusted if vendors costs are modified
EC Portal Redundancy
Project will build an automatic back-up system for Portal operations which will provide full Portal
operation if the existing Portal system fails.
EC Portal Electronic Signature
Electronic signatures will provide another layer of Portal business identification which will assist in
online payments and billing collection operations.
Portal Billing Component
Project will build online payments of OC CUPA and PA fees within the Regional Portal
Portal Functionality
Project will enhance the user's (business, reviewer, and administrator) operations of the Portal (e.g.
tabs, EPCRA compliance)
PA Inspection and Enforcement Module
Project will build a module to help PA's track specific inspection and violation data. Data will be
moved from the Portal to EnvisionConnect on a set schedule.
Expansion of the PA Billing Module for OC CUPA Billing Use
The PA billing module was build prior to AB2286 grant funding. The expansion of this module for OC
CUPA staff will streamline business status/address changes and eliminate the need for paper
updates.
OC CUPA Staffing for Portal Implementation
The OC CUPA Portal Implementation team coordinates1) PA connections which include review of
initial data, training, and establishment of username/passwords, 2) OC CUPA professional staff
reviewer training, 3) business training, 4) overall Portal functionality, and 4) general project
management tasks. The team meets with the Agency IT and vendor staff on a weekly conference
call, conducts bimonthly meetings with the PAs (E-Reporting Committee), and addresses all of the
database contracting and grant administration responsibilities. Staffing for ongoing Portal operational
tasks associated with username/password requests, form review, Portal, coordination between the
CUPA and PAs, and other general Portal management activities will be evaluated and compared with
the reduction in staff resources associated with the current billing and form operations when
considering the adjustment of programs fees.
OCFA (PA) Portal Connection
Since OCFA is a large PA (22 cities vs. 1 for the other PAs) the connection cost to the Regional Portal
was greater than the $20,000 allotted by the AB2286 grant. The OC CUPA will cover the $25,000
difference.
PA Connections to the Portal
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With the exception of OCFA, each PA will be charged up to $20,000 by the vendor for a Regional
Portal connection. This fee will include setting up the forms, data transfer if applicable, and
establishing the Portal connection.
10. Ongoing Support and Maintenance
OC CUPA's annual EnvisionConnect costs are currently projected not to change with CERS e-
reporting. Annual database and Portal expenses are part of the OC CUPA's current annual budget
and will be included in all future budgets.
OC CUPA's annual EnvisionConnect costs increased with the implementation of the EnvisionConnect
Portal. OC CUPA will support any ongoing additional costs through an increase of program fees
unless a review determines that the efficiencies generated from the Portal use offset the operational
costs.
The 10 PAs will be responsible for annual Portal Connection maintenance costs that will be
addressed through program fees on regulated businesses. A review to determine the efficiencies
generated from the Portal use will be done to identify if an increase in program fees is necessary.
Any costs associated with the automation of the PA's field inspections will be the responsibility of the
PA's and will need to be covered with their program fees or other funding.
11. Electronic Reporting Transition Plan Tracking
OC CUPAand PAs will submit a quarterly status report and invoice to Cal/EPA to update the progress
of the CUPA transition plan. The following tables denote the list of milestones that will be tracked and
reported to Cal/EPA.
Milestones Reported to Cal/EPA Date
1 Estimated/actual start date of the CUPA Electronic Reporting Transition Plan 09110
2 Date CUPA select referred data exchange methodology 07/08
3
Date Electronic Reporting Transition Plan & Grant Application submitted 11/23/10
(first
submittal
4 Date Cal/EPA awards rant 4/11
5 Date transfer of existing data from UPA system to CERS complete Est. 6/12
6
Date authorized business electronic submission Began
06/09
(ongoing)
7 Date CERS data exchange operational: business data Est. 6/12
8 Date CERS data exchange operational: inspection &enforcement data Est. 1212
9 Date CUPA electronic reporting transition process complete (including PAs Est. 12/12
Milestones Tracked b CUPA Date
1 Upgrade to current version of EnvisionConnect 12/09
2 Transfer CUPA hardco documents to EnvisionConnect if applicable) ongoing
3 Data remediation complete 12/12
4 Business outreach and training complete
12/12
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12. SB 2286 Grant Application Process
OC CUPA and PAs will individually submit the joint Electronic Reporting Transition Plan along with
their individual grant applications to the Cal/EPA. Grant funding will be forwarded to the agencies
stated on the individual grant applications i.e. the OC CUPA will receive the CUPA's portion and each
individual PA will receive $20,000. .
Orange County's Unified Program Contact List
Agency CUPA/PA Program(s) Contact
Name Phone Email
Costa Mesa PA Hazardous Michelle (714)
Fire Materials Rudaitis 327-7402 mrudaitis@ci.costa-mesa.ca.us
Fountain PA Hazardous Adria (714)
Valley Fire Materials Paesani 593-4430 Adria.paesani@fountainvalley.org
Garden Grove PA Hazardous Jeff (714)
Fire Materials Guyer 741-5636 jeffreyg@ci.garden-grove.ca.us
Hazardous
Fullerton Fire
PA Materials,
Underground
Grant
Minor
(714)
738-5359
grantm@fullertonfre.org
Storage
Tank
Huntington PA Hazardous Dave (714)
Beach Fire Materials Smythe 536-5469 dsmythe@surfcity-hb.org
La Habra
PA Hazardous
Materials Dan (323)
(LACOFD) ,
CaIARP Zenarosa 890-4026 dzenarosa@fre.lacounty.org
Newport
PA Hazardous Jenny (949)
Beach Fire Materials Sudo 644-3361 jsudo@nbfd.net
Hazardous
Materials,
Orange Fire PA Underground Rena
Davis (714)
288-2541 rdavis@cityoforange.org
Storage
Tank
Orange Hazardous
County Fire
Auth
it PA Materials, Robert
Distaso (714)
573-6253 robertdistaso@ocfa.org
or
y CalARP
Orange
County
Environmental
CUPA HM, HW,
UST, APST
Pearl
Boelter
(714)433-
6010
pboelter@ochca.com
Health CalARP
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Hazardous
Santa Ana
F
ire
PA Materials,
Underground
Chris
(714)
cciraulo@santa-ana
org
Storage Ci aulo 647-5750 .
Tank
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