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Electronic Submittal of Information (ESI)

Electronic Submittal of Information (ESI) - Frequently Asked Questions

Who is Involved and What Roles do They Play?


3.1 Responsible Party (RP)

RPs have two primary electronic reporting responsibilities: (1) “claiming” their site/facility(s) in GeoTracker (“claiming” means the RP (or their Authorized RP Agent) has obtained upload access to the RP’s site/facility) and (2) uploading the required ESI compliance data and reports. If the RP either does not have Internet access or does not wish to perform the electronic role of RP, they can choose not to create a Geotracker “RP” account and instead can delegate the “claiming” and upload duties to a consultant acting as their “Authorized RP Agent.” Even if the RP chooses to create an “RP” Geotracker account (i.e. an account with a “user type” of “Responsible Party (RP”), once they have “claimed” their site/facility, they still have the options to do the uploading themselves and/or have a consultant upload for them as their Authorized RP Agent and/or grant secondary access to Contractors and/or Laboratories so they too can upload . Only RPs and Authorized RP Agents can grant secondary access to Contractors and Laboratories.

In order to claim their site(s), the RP (or their Authorized RP Agent) must first create a GeoTracker account if they don’t already have one. The RP (or their Authorized RP Agent) then logs onto their GeoTracker account and searches for the site/facility using the “Request Additional Facilities” option. Once the site is found, the RP (or their Authorized RP Agent) clicks in the checkbox to the left of the Global ID to select it and then clicks on “Request Checked Facilities” to request it. Note: After requesting a Global ID, Authorized RP Agents must upload the “Authorized RP Agent Authorization Form” by clicking on “Upload Auth RP Form” (on the left under “Facility Management”). The form does not have to be uploaded immediately after the Global ID has been requested and should be uploaded only after it has been fully completed and signed by both the RP and their Authorized RP Agent. Links to the “Authorized RP Agent Authorization Form” in PDF and Word formats are provided immediately after requesting a Global ID, and the form is always available in the “Getting Started” section on the public ESI page http://www.waterboards.ca.gov/ust/electronic_submittal/index.shtml).

Once the SWRCB has approved the request by the RP (or, alternatively, their Authorized RP Agent ) for upload access to the RP’s site/facility Global ID, the RP will have successfully met the prerequisite regulatory compliance requirement of “claiming” their site/facility in Geotracker.

If additional assistance is needed in finding and/or requesting a site/facility Global ID, the GeoTracker Help Desk can be contacted via email geotracker@waterboards.ca.gov or telephone at (866) 480-1028.

3.2 Authorized RP Agent

The Authorized RP Agent (sometimes referred to as “Auth_RP”) is an individual or organization to whom primary electronic reporting responsibilities for a specific site/facility GLOBAL ID have been delegated by a Responsible Party (RP) who either does not have Internet access or does not wish to perform the electronic online role of RP. Note: an RP can still create a GeoTracker RP account and “claim” their own site even if they choose to designate an Authorized RP Agent to act on their behalf. The consultant who acts as an Authorized RP Agent must have a Geotracker account with a “user type” of “Authorized RP Agent.” The Authorized RP Agent consultant can use the same Geotracker account to upload to multiple Global IDs for multiple RPs, but each request for access is handled separately. The Authorized RP Agent logs onto their GeoTracker account and requests access to the Global ID they need to upload to. The requested Global ID will be added to the Authorized RP Agent’s “Pending Facilities” list. Before the SWRCB grants the Authorized RP Agent access to a requested Global ID (i.e. before it is added to their “Associated Facilities” list so they can begin uploading), the Authorized RP Agent needs to upload a completed "Authorized RP Agent Authorization Form" (often referred to as the "Authorization Form" or "Auth RP Form") for each requested Global ID by clicking on "Upload Auth RP Form" under "Facility Management" (exception: if the Authorized RP Agent has requested access to multiple Global IDs on behalf of the same RP, they only need to upload one "Authorized RP Agent Authorization Form" with an attached sheet (or sheets) containing a list of the requested Global IDs and site/facility names and addresses. Write "see attached sheet" (if more than one sheet, write "see attached sheets" plus the number of sheets in parentheses) in the Global ID box on the Authorization Form. To upload the form for multiple Global IDs, the Authorized RP Agent clicks on “Upload Auth RP Form” and selects each of the Global IDs before uploading the form.

Immediately after requesting a site, a message is displayed telling the Auth RP they need to upload the Auth RP Form. After clicking on “OK”, the next message displayed provides links to the “Authorized RP Agent Authorization Form” in PDF and Microsoft Word formats. The “Authorized RP Agent Authorization Form” can also always be obtained in the “Getting Started” section on the public ESI page http://www.waterboards.ca.gov/ust/electronic_submittal/index.shtml . Also available in the “Getting Started” section is the “Authorized RP Agent Revocation Form” which is used by the RP to revoke an Authorized RP Agent’s existing access to their site.

If additional assistance is needed in finding and/or requesting a site/facility, the GeoTracker Help Desk can be contacted via email at: geotracker@waterboards.ca.gov or via telephone at (866) 480-1028.

3.3 Contractor

Consultants can be hired as Geotracker “Contractors” by RPs and Authorized RP Agents to upload data and reports. To do so, the Contractor must first have a GeoTracker account with a user type of “Contractor.” A single Contractor account can be used to upload to multiple sites having different RP and Authorized RP Agent clients. You can also choose to have a separate Contractor account for each client. Before attempting to search for and claim a client’s site/facility Global ID, the Contractor should first check with their client to make sure their client has already obtained upload access to (i.e. claimed) the Global ID. The first reason for doing this is that a Contractor can only find sites that have already been claimed by at least one RP or Authorized RP Agent. The second reason is that even if a Contractor is able to find a site in GeoTracker, they must be sure that their client has claimed it, since there might be more than one RP and/or Authorized RP Agent associated with the same site. If the Contractor’s client is not already associated with the site, but another RP or Authorized RP Agent is, the Contractor’s request to be associated with it will most likely not get approved since the other RP or Authorized RP Agent won’t be expecting the Contractor to request the. After the Contractor has verified their client has claimed the Global ID, they should log onto their GeoTracker account and, using “Request Additional Facilities,” search for and request the Global ID. Once they have requested the Global ID they should let their client know so their client can log onto their own GeoTracker account and approve the Contractor’s request.

3.4 Laboratory

The Laboratory is responsible for sample analysis and providing the RP, Authorized RP Agent, or Contractor with the analytical results in Geotracker EDF format and in hard copy or electronic format for their client to use in their written report. Each laboratory must obtain a unique GeoTracker identifier called a LABCODE. Normally the laboratory error checks the EDF online using their Geotracker account (user type “Laboratory”) but does not actually upload the EDF. Instead, they forward the EDF to the RP/Authorized RP Agent/Contractor who will review the files (e.g. to ensure the sample FPNs and site Global ID are correct) and then upload it into GeoTracker. Sometimes an RP or Authorized RP Agent wants the laboratory to upload the EDF data directly to GeoTracker. To upload EDFs directly using their “Laboratory” user type Geotracker account, the laboratory logs onto their GeoTracker account and requests access in the same manner as a Geotracker Contractor. Their request will then need to be approved by their RP or Authorized RP Agent client. NOTE: Although not very common, sometimes, a laboratory needs to obtain upload access to a Global ID as an Authorized RP Agent rather than as a Laboratory. In that type of situation, all the laboratory needs to do is create another Geotracker account but instead of selecting a user type of Laboratory they should select Authorized RP Agent. They then need to follow the instructions for Authorized RP Agent to request upload access for that Global ID.

3.5 State Water Resources Control Board

The SWRCB is responsible for providing/maintaining the online Geotracker website and database. The SWRCB also approves RP and Authorized RP Agent requests for upload access to site/facility Global IDs and approves/manages secure Geotracker accounts for ESI users and regulators.

3.6 Lead Oversight Agency Caseworker (Regulator)
The Lead Oversight Agency Caseworker (or their delegate) can view ESI data and reports uploaded into Geotracker 48-hours after having been uploaded. They can either "receive" or “deny” an uploaded ESI submittal. Once an uploaded ESI submittal has been "received," it is made available to the public on the Geotracker website. If the caseworker does nothing (i.e. doesn’t click on either “receive” or “deny”), an uploaded ESI submittal will be “auto-received” 30 days after it was uploaded and is made available to the public on the Geotracker website with a red asterisk next to it to indicate it was “auto-received.”

3.7 Access to a client’s site by a Contractor or Laboratory

Contractor and Laboratory user types can only find sites using “Request Additional Facilities” that have already been "claimed" by at least one RP or Authorized RP Agent.

If you know the Global ID for the site you need to upload to, but you cannot find it when you search for it using “Request Additional Facilities” and you have checked to make sure it isn’t already in your “Associated Facilities,” “Pending Facilities,” or “Denied Facilities,” then use the “Advanced Search” tool on the public Geotracker web page http://geotracker.waterboards.ca.gov/ to search for it and verify your Global ID is correct. If it is correct, then you will need to contact your RP or Authorized RP Agent client and ask them to “claim” it. Once they have “claimed” the Global ID and it is in their “Associated Facilities,” you should then be able to find it and request it using your Geotracker account and then your client can approve your request. Note that the “Authorized RP Agent Authorization Form” does NOT apply to Laboratories or Contractors.

3.8 Single vs. Multiple GeoTracker Accounts

There is no limit to the number of accounts of each user type a company or individual can have, but it is recommended that the number of accounts be kept to a minimum to make them easier to manage when, for example, staff turnover occurs. Since you can use the same account to upload to any number of Global IDs for any number of RP clients, a consulting firm’s office may choose to have only one “Authorized RP Agent” GeoTracker account and one “Contractor” GeoTracker account for all employees in that office to use. There is no need to submit a revised “Authorized RP Agent Authorization Form” if a Global ID already listed as an “Associated Facility” in a consulting firm’s Authorized RP Agent account is taken over by a new project manager within the same consulting firm. An office may choose to also have a “Contractor” account as well. For example, a consultant may have some clients who prefer not to create their own RP Geotracker account - in that case, the consultant would act as their Authorized RP Agent. Alternatively, a consultant may have other clients (typically larger clients with multiple facilities) that DO want to have their own account as RP so they can be actively involved in reviewing what has been uploaded and in overseeing/managing their consultant(s) online - in that case, the consultants working for that RP would be acting as Geotracker Contractors. If you do choose to have more than one account, you need to create a different username for each account.