cleanup and abatement account (caa) program and abatement account (caa) program administrative...

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DefinitionDefinition

•• Created by Water Code Sections 13440Created by Water Code Sections 13440--1344313443–– to provide public agencies with funds for the to provide public agencies with funds for the cleanup or abatement of a condition of cleanup or abatement of a condition of pollution when there are no viable pollution when there are no viable responsible parties available to undertake responsible parties available to undertake the work;the work;

–– is supported by court judgments and is supported by court judgments and administrative civil liabilities assessed by the administrative civil liabilities assessed by the State Water Resources Control Board (State State Water Resources Control Board (State Water Board) and the Regional Water Water Board) and the Regional Water Quality Control Boards (Regional Boards)Quality Control Boards (Regional Boards)

–– Only state and public agencies with Only state and public agencies with authority to cleanup or abate a waste are authority to cleanup or abate a waste are eligible to receive funding.eligible to receive funding.

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DefinitionDefinition(continued)(continued)

•• Provided for the emergency Provided for the emergency

cleanup or abatement of a cleanup or abatement of a

condition of pollution when no condition of pollution when no

responsible responsible party(iesparty(ies) is available) is available

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Use of AccountUse of Account

•• Performing and/or contracting for Performing and/or contracting for services:services:–– Cleanup a waste, abate the effects of a Cleanup a waste, abate the effects of a waste, or remedial actionswaste, or remedial actions

•• Remedying a significant unforeseen Remedying a significant unforeseen water pollution problem;water pollution problem;

•• Paying admin, legal, technical, & Paying admin, legal, technical, & oversight costs for cleanup;oversight costs for cleanup;

•• Implementing SEPImplementing SEP

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Management of AccountManagement of Account

•• Responsibility of the State Water Responsibility of the State Water

BoardBoard’’s Division of Financial s Division of Financial

AssistanceAssistance

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DivisionDivision’’s Responsibilitiess Responsibilities

•• Process requests & makes Process requests & makes recommendations to the Deputy Director recommendations to the Deputy Director or Executive Director (if over $100,000)or Executive Director (if over $100,000)

•• Provide administrative assistance;Provide administrative assistance;

•• Review & Update CAA procedures;Review & Update CAA procedures;

•• Receive & review reports;Receive & review reports;

•• Provide support for project tracking;Provide support for project tracking;

•• Support management;Support management;

•• Make recommendations for policies & Make recommendations for policies & procedures; andprocedures; and

•• Maintain project files for auditsMaintain project files for audits

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RegionRegion’’s Responsibilitiess Responsibilities

•• Determine needs, costs, & alternate Determine needs, costs, & alternate source of funds;source of funds;

•• Used in accordance with WC;Used in accordance with WC;

•• Track project;Track project;

•• Ensure funds are not overEnsure funds are not over--expended;expended;

•• Request for Payment & all appropriate Request for Payment & all appropriate reporting & invoicing;reporting & invoicing;

•• Notify Division of Notify Division of SEPsSEPs with title & with title & description with annual status; anddescription with annual status; and

•• Maintain project files for audits.Maintain project files for audits.

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RegionRegion’’s Responsibilitiess Responsibilities(continued)(continued)

•• When requests come from public When requests come from public

agencies:agencies:

–– Consider requestConsider request’’s priority & review s priority & review

worthinessworthiness

–– Provide recommendations to DivisionProvide recommendations to Division

–– Used in accordance with WCUsed in accordance with WC

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AgencyAgency’’s Responsibilitiess Responsibilities

•• Contact Region or Division for project Contact Region or Division for project evaluation;evaluation;

•• Provide application & supporting Provide application & supporting documentation to Division;documentation to Division;

•• Prepare agency resolution to enter into Prepare agency resolution to enter into agreement with Region or Division;agreement with Region or Division;

•• Participate in preparation of draft GA;Participate in preparation of draft GA;

•• Follow terms & conditions of GA;Follow terms & conditions of GA;

•• Stay in contact with GM;Stay in contact with GM;

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AgencyAgency’’s Responsibilitiess Responsibilities(continued)(continued)

•• Provide quick Provide quick resolution(sresolution(s) to issues, ) to issues,

questions, & changes to GA;questions, & changes to GA;

•• Maintain project tracking;Maintain project tracking;

•• Ensure funds not overEnsure funds not over--expended; andexpended; and

•• Submit invoices, backup documentation, Submit invoices, backup documentation,

& appropriate reports to GM.& appropriate reports to GM.

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Requests for FundingRequests for Funding

•• Should 1Should 1stst contact the Assistant contact the Assistant

Deputy Director to discuss project Deputy Director to discuss project

PRIOR to applying for funds;PRIOR to applying for funds;

•• MUST submit the CAA Funding MUST submit the CAA Funding

Request Form and supporting Request Form and supporting

documentation using FAAST;documentation using FAAST;

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Requests for FundingRequests for Funding(continued)(continued)

•• Requests up to $100,000:Requests up to $100,000:

–– Reviewed by technical staff, Assistant Reviewed by technical staff, Assistant

Deputy Director, & OCC;Deputy Director, & OCC;

––Deputy Director will review application Deputy Director will review application

& approve or deny; and& approve or deny; and

–– Applicant will be notified via email.Applicant will be notified via email.

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•• Requests over $100,000:Requests over $100,000:–– Reviewed by technical staff, Assistant Reviewed by technical staff, Assistant Deputy Director, & OCC;Deputy Director, & OCC;

––Deputy Director or Assistant Deputy Deputy Director or Assistant Deputy Director will make recommendations Director will make recommendations to Executive Director; andto Executive Director; and

–– Executive Director may determine to Executive Director may determine to take project to Board for take project to Board for consideration or reject project.consideration or reject project.

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•• Emergency Requests:Emergency Requests:–– Regions or Agencies may request Regions or Agencies may request verbally or via email for amounts up verbally or via email for amounts up to $100,000;to $100,000;

–– Should be directed to DivisionShould be directed to Division’’s s Deputy Director; andDeputy Director; and

––Within 1Within 1--week of approval, applicant week of approval, applicant MUST submit a CAA Funding Request MUST submit a CAA Funding Request Form in FAAST.Form in FAAST.

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InvoicingInvoicing

•• Project managed by Regions & Project managed by Regions &

Subdivisions:Subdivisions:

–– Invoice & supporting documentation Invoice & supporting documentation

sent to GM;sent to GM;

––GM will review & complete Request for GM will review & complete Request for

Payment form; andPayment form; and

––GM will submit package to CAA GM will submit package to CAA

Analyst.Analyst.

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InvoicingInvoicing

•• Project managed by Division:Project managed by Division:

–– Invoice & supporting documentation Invoice & supporting documentation

sent to GM;sent to GM;

––GM will review & approve or send GM will review & approve or send

dispute;dispute;

––Once approved, GM will submit to CAA Once approved, GM will submit to CAA

Analyst for processing.Analyst for processing.

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Grants/Contracts/ExemptionGrants/Contracts/Exemption

•• Most used is GAMost used is GA–– The Division will usually enter into GAThe Division will usually enter into GA’’s with s with local agencieslocal agencies

–– Regions and Subdivisions can enter into GA Regions and Subdivisions can enter into GA or Contractor Contract

•• Contracts required where subcontracting Contracts required where subcontracting work is anticipated or when State work is anticipated or when State receives a direct good or service in receives a direct good or service in returnreturn

•• Exemptions apply when a Region has Exemptions apply when a Region has issued a CAO or when a RP is not issued a CAO or when a RP is not identified.identified.

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DeDe--Obligations & DeadlinesObligations & Deadlines

•• Funds not expended by end date will be Funds not expended by end date will be

disencumbered by Division if extension disencumbered by Division if extension

request has not been submitted request has not been submitted

•• Agency receiving funds has 90Agency receiving funds has 90--days days

after end date to submit final invoiceafter end date to submit final invoice

•• Upon approval by either Deputy Director Upon approval by either Deputy Director

or Board, agency MUST submit a final or Board, agency MUST submit a final

draft agreement or contract within 6draft agreement or contract within 6--

months from approval notification.months from approval notification.

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Project ReportingProject Reporting

•• Progress ReportProgress Report

–– Submitted to Division with invoiceSubmitted to Division with invoice

–– Summarizes progress, efforts to Summarizes progress, efforts to

recover costs, & expenditure recover costs, & expenditure

projectionsprojections

•• Final ReportFinal Report

–– Summarizes projectSummarizes project’’s s

accomplishments, recovered CAA accomplishments, recovered CAA

funds, & CAA money spentfunds, & CAA money spent

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Fund BalanceFund Balance

•• Will not approve projects if Will not approve projects if

approval will overapproval will over--commit the CAAcommit the CAA

•• Technical staff determines whether Technical staff determines whether

the project will overthe project will over--commit commit

accountaccount

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Contact InformationContact Information

•• All questions and/or comments All questions and/or comments

concerning the CAA or APM concerning the CAA or APM

should be directed to:should be directed to:

[email protected]@waterboards.ca.gov

(916) 341(916) 341--57035703

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General InformationGeneral Information

•• The APM, forms and other The APM, forms and other

information is available at:information is available at:

http://www.waterboards.ca.gov/water_issues/http://www.waterboards.ca.gov/water_issues/

programs/grants_loans/caa/programs/grants_loans/caa/

QuestionsQuestions

cleanup and abatement account (caa) program and abatement account (caa) program administrative...

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