Unified Program Reporting and Auditing

1. Unified ProgramReporting and Auditing Self-auditing Summary Reports

2. CUPA to StateSummary Reports Summary Reports

3. CUPA-to-StateSummary Reports Report 1 – Surcharge Transmittal Report Report 2 – Annual Single Fee Summary Report Report 3 – Annual Inspection Summary Report Report 4 – Annual Enforcement Summary Report Report 5 – Biennial Tiered Permitting Release Report Report 6 – Quarterly Underground Storage Tank Program Report Unified Program – Reporting and Auditing 3

4. Report 1 Surcharge Transmittal Report Unified Program – Reporting and Auditing 4

5. Cover page for surcharge revenues transmittals Provides surcharge information Submit quarterly with surcharge revenues Secretary for Environmental Protection c/o California Air Resources Board Accounting/Grants Branch P.O. Box 2815 Sacramento, California 95812-2815 Within 30 days of end of each quarter Report 1Surcharge Transmittal Report Unified Program – Reporting and Auditing 5

6. Data Elements Date of Submission Fiscal Year Completed By Telephone number CUPA Surcharge Amounts CUPA Oversight UST CalARP Report 1Surcharge Transmittal Report Unified Program – Reporting and Auditing 6

7. FAQ Review Hands-on Exercise #1 Report 1Surcharge Transmittal Report Unified Program – Reporting and Auditing 7

8. Report 2 Annual Single Fee Summary Report Unified Program – Reporting and Auditing 8

9. Summary of single fee and surcharge amounts Number of regulated businesses Reporting period – previous fiscal year Due by September 30th of each year Submit to Secretary Secretary for Environmental Protection Unified Program Section 1001 I Street, 25th floor Sacramento, California 95814 Report 2Annual Single Fee Summary Report Unified Program – Reporting and Auditing 9

10. Data Elements Date of Submission Fiscal Year Completed By Telephone number CUPA Report 2Annual Single Fee Summary Report Unified Program – Reporting and Auditing 10

11. Data Elements Total Single Fee Billed, Waived, Collected Participating Agencies Total single fee billed, waived, and collected Total single fee remitted and owed to PA State Surcharge Report totals by Program and element CUPA Oversight, UST, CalARP Surcharge billed, waived, and collected Surcharge remitted and owed Report 2Annual Single Fee Summary Report Unified Program – Reporting and Auditing 11

12. Data Elements Counts Total Regulated Businesses USTs UST Facilities PBR CE CA Stationary Sources Businesses subject to CalARP surcharge Stationary Sources granted RMP waiver Report 2Annual Single Fee Summary Report Unified Program – Reporting and Auditing 12

13. FAQ Review Hands-on Exercise #2 Report 2Annual Single Fee Summary Report Unified Program – Reporting and Auditing 13

14. Report 3 Annual Inspection Summary Report Unified Program – Reporting and Auditing 14

15. Summary of program inspection information Reporting period – previous fiscal year Due by September 30th of each year Submit to Secretary Secretary for Environmental Protection Unified Program Section 1001 I Street, 25th floor Sacramento, California 95814 Significant change anticipated Number of regulated businesses Current or next fiscal year Cover letter Report 3Annual Inspection Summary Report Unified Program – Reporting and Auditing 15

16. Data Elements Date of Submission Fiscal Year Completed by CUPA Inspection Summary Inspection Consolidation Other Information Report 3Annual Inspection Summary Report Unified Program – Reporting and Auditing 16

17. Report 3Annual Inspection Summary Report Program Elements HMRRP CalARP UST Facilities AST Facilities Hazardous Waste Generators RCRA Large Quantity Generators Recyclers Onsite Hazardous Waste Treatment Household Hazardous Waste Unified Program – Reporting and Auditing 17

18. Inspection Summary Data Elements Number of regulated businesses Except AST facilities Number inspected Routine inspections Returned to compliance Other inspections Report 3Annual Inspection Summary Report Unified Program – Reporting and Auditing 18

19. Inspection Consolidation Categories Combined Routine Inspections Joint Inspections Integrated or Multi-Media Inspections Data Elements Number of Inspections For each category Report 3Annual Inspection Summary Report Unified Program – Reporting and Auditing 19

20. Other Information CalARP – RMP Audits Number of Audits Report 3Annual Inspection Summary Report Unified Program – Reporting and Auditing 20

21. FAQ Review Hands-on Exercise #3 Report 3Annual Inspection Summary Report Unified Program – Reporting and Auditing 21

22. Report 4 Annual Enforcement Summary Report Unified Program – Reporting and Auditing 22

23. Summary of program enforcement information Reporting period – previous fiscal year Due by September 30th of each year Submit to Secretary Secretary for Environmental Protection Unified Program Section 1001 I Street, 25th floor Sacramento, California 95814 Report 4Annual Enforcement Summary Report Unified Program – Reporting and Auditing 23

24. Data Elements Date of Submission Fiscal Year Completed by CUPA Violation Information Enforcement Actions Report 4Annual Enforcement Summary Report Unified Program – Reporting and Auditing 24

25. Report 4Annual Enforcement Summary Report Program Elements HMRRP CalARP UST Facilities AST Facilities Hazardous Waste Generators RCRA Large Quantity Generators Recyclers Onsite Hazardous Waste Treatment Household Hazardous Waste Unified Program – Reporting and Auditing 25

26. Violations Information Data Elements Number of facilities with violations Class I Class II Minor Other Report 4Annual Enforcement Summary Report Unified Program – Reporting and Auditing 26

27. Enforcement Actions Taken Data Elements Number of informal actions Formal actions initiated – 135 days Number of administrative actions Number of civil actions or referrals Number of formal actions or referrals Total penalties assessed Total penalties collected Report 4Annual Enforcement Summary Report Unified Program – Reporting and Auditing 27

28. FAQ Review Hands-on Exercise #4 Report 4Annual Enforcement Summary Report Unified Program – Reporting and Auditing 28

29. Report 5 Biennial Tiered Permitting Release Report Unified Program – Reporting and Auditing 29

30. Reporting hazardous waste releases Tiered permitting facilities Reporting period – two previous fiscal years Due by August 30th – biennially First report - 2000 Submit to Secretary in care of DTSC Secretary for Environmental Protection c/o DTSC Unified Program Section P.O. Box 806 Sacramento, California 95812-0806 Report 5Biennial Tiered Permitting Release Report Unified Program – Reporting and Auditing 30

31. Data Elements Date of Submission Fiscal Year Completed by CUPA Release Information Report 5Biennial Tiered Permitting Release Report Unified Program – Reporting and Auditing 31

32. Release Information Data Elements EPA ID Facility name and address Type of facility Date of release Description of release Correction action completed Report 5Biennial Tiered Permitting Release Report Unified Program – Reporting and Auditing 32

33. Review of Frequently Asked Questions Report 5Biennial Tiered Permitting Release Report Unified Program – Reporting and Auditing 33

34. Report 6 Quarterly Underground Storage Tank Program Report Unified Program – Reporting and Auditing 34

35. Information on quarterly UST Program changes Turnaround document – provided by SWRCB Reporting period – previous quarter Due 60 days after end of each quarter Submit to SWRCB State Water Resources Control Board Division of Clean Water Programs, UST Program P.O. Box 944212 Sacramento, California 94244-2120 Report 6Quarterly Underground Storage Tank Program Report Unified Program – Reporting and Auditing 35

36. Data Elements Quarter CUPA Information provided by Phone Date Comments Status or Activity Current Information Changes Report 6Quarterly Underground Storage Tank Program Report Unified Program – Reporting and Auditing 36

37. Status or Activity Data Elements Regulated UST facilities Petroleum UST systems Active and permanently closed Hazardous Substance UST systems Active and permanently closed Active systems with leak detection systems Percent of systems Active systems – 98’ Upgrade Percent of systems Completed UST facility inspections Report 6Quarterly Underground Storage Tank Program Report Unified Program – Reporting and Auditing 37

38. Current Information Data provided by SWRCB Total amounts – year to year Based on last quarter report CUPA to edit if data is inaccurate Report 6Quarterly Underground Storage Tank Program Report Changes this Quarter • CUPA indicates +/- changes • for each activity Unified Program – Reporting and Auditing 38

39. Review of Frequently Asked Questions Report 6Quarterly Underground Storage Tank Program Report Unified Program – Reporting and Auditing 39

40. Report Filing and Retention Requirements Paper and Electronic Submissions Reports on Cal/EPA Web Site www.calepa.ca.gov/publications/Title27/SumRptFF.doc Form Functional MS Word and PDF Formats Additional Requests Secretary or UP State agency Response - 60 days extension request – showing good cause Frequently Asked Questions – Misc. Summary ReportsGeneral Information Unified Program – Reporting and Auditing 40

41. CUPASelf-auditing

42. Self-auditingGeneral Requirements • Performed Annually • End of each fiscal year - by September 30th • First report - September 30th after fully year as CUPA • Address all program elements • Include evaluation of PA or contracting agency • Retention and record maintenance • Submissions to the State • Upon written request – Secretary/state agency • Provide within 60 days of request Unified Program – Reporting and Auditing 42

43. Self-auditingRequirements Elements • Summary of Self-audit Findings • Include deficiencies and plan of correction • Narrative Summaries of Program Element Activities • Permitting activities • Inspection activities • Enforcement activities • Include copies of Summary Reports • Summary of Single Fee System Activities Unified Program – Reporting and Auditing 43

44. Self-auditingRequirements Elements • Narrative Summary of Progress Towards • Consolidating, coordinating, and making consistent the Unified Program • Record of Changes – effecting UP • Local ordinances, resolutions, and agreements • Narrative Summary of Review and Update for Fee Accountability Program • Summary of New Programs Unified Program – Reporting and Auditing 44

45. Self-auditingRequirements Elements • Demonstration of Compliance • Self-audit requirements • Establish Performance Standards Unified Program – Reporting and Auditing 45

46. Cal/EPAUnified Program Section Larry Matz, Program Manager 916-327-3442 (Phone) lmatz@calepa.ca.gov John Paine, Environmental Specialist IV 916-327-5092 (Phone) 800-320-9086 (Pager) 916-445-6401 (Fax) jpaine@calepa.ca.gov Kathleen Harvey, Environmental Specialist IV 916-327-5097 (Phone) kharvey@calepa.ca.gov Unified Program – Reporting and Auditing 46