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FY 2016 Updates and Clarifications Memorandum for End-of-Year Reporting


                                                                        October 6, 2016






SUBJECT:     Updates and Clarifications for FY 2016 End-of-Year Enforcement and Compliance Reporting and Certification


FROM:          John Dombrowski, Director,

                   Enforcement Targeting and Data Division

                   Office of Compliance


TO:               Regional Enforcement Division Directors

                   Regional Enforcement Coordinators

                   OECA Office Directors



This memorandum highlights upcoming reporting deadlines and clarifies FY 2016 End-of-Year (EOY) reporting. With your participation and support, the EOY enforcement and compliance data certification will be successful and will ensure that the data we use to plan, measure, and report on our program are complete and accurate. Thank you for your dedication to ensuring that the information we use to plan, measure, and report on our program is timely, complete, and accurate.


The process for EOY reporting and certification is similar to that for FY 2015 EOY and the FY 2016 mid-year certification process. As a reminder, several changes occurred in FY 2015 as a result of the LEAN Project.  These changes, as well as other changes, that will impact FY 2016 End-of-Year reporting include:


  • Regional Administrators (RA) and OECA Office Directors (OD) may delegate the responsibility for end-of-year certification; however the RA or OD remains the responsible senior enforcement official.
  • The end-of-year certification date is October 20 of each fiscal year. The certification will be the following Monday, if October 20 falls on a Saturday or Sunday. The end-of-year certification date will occur on Thursday, October 20, 2016 for FY 2016. 
  • The end-of-year presentation to the OECA Assistant Administrator (AA) and OECA ODs will be conducted primarily using the OECA Federal Enforcement and Compliance (FE&C) Dashboard, but may be supplemented with information not included in the Dashboard, such as National Enforcement Initiative (NEI) data, as needed.

Other issues to be aware of for FY 2016 EOY reporting include the following:


  1. Reconstruction of Corrupted National Enforcement Initiative (NEI) Universes


The corrupted ICIS NEI facility universes (for Muni Combined Sewer Overflow (CSO), Sanitary Sewer Overflow (SSO), New Source Review (NSR) cement, acid, glass and coal-fired power plants, and Mineral Processing phosphoric acid and non-phosphoric acid) have been reconstructed in ICIS. This allows the Regions to review the data for these NEIs at EOY using the ICIS NEI Spreadsheet Reports and other ICIS NEI reports to assure its accuracy.


Contact: Dan Klaus (202-564-7757 or


  1. Reporting FIFRA and TSCA CBI through the Select Measures Workbook


Beginning with FY 2016 end-of-year reporting, Federal Insecticide Fungicide and Rodenticide Act (FIFRA) and Toxic Substance Control Act (TSCA) confidential business information (CBI) may be reported using the Select Measures Workbook. The Select Measures Workbook is located on the Enforcement and Compliance Reporting Process for FY 2016 website.  The Reporting Process website is located at: The FY 2016 Select Measures Workbook includes a worksheet to report confidential business information in the following environmental benefit categories:


  • Estimated Toxics and Pesticides Reduced, Treated, or Eliminated (pounds) [Direct]
  • Toxic Chemicals and Pesticides Prevented from Misuse/Environmental Release (Pounds) [Preventative]
  • Estimated Contaminated Soil/Debris to be Cleaned Up (cubic yds)
  • Estimated Contaminated Water/Aquifer to be Cleaned Up (cubic yds)


Remember that to report CBI data, each region or headquarters’ office must report a minimum of three actions per measure. This ensures that the information we report is kept confidential. No case-specific environmental benefit values should be reported in the worksheet.


For additional information on reporting FIFRA or TSCA CBI data, contact Yolaanda Walker.


Contact:  Yolaanda Walker (202-564-4281 or


  1. Reminder to Promptly Submit Large, EOY Case Environmental Benefit Estimates/Calculations to OC and to Always Submit Them at Least 4 Weeks Prior to CD Lodging or Final Order Issuance


Any large environmental benefit calculations for enforcement cases that concluded or are concluding in FY 2016 that have not yet been submitted to the Office of Compliance (OC) for review should be submitted promptly. No release of these calculations to the public (by entering them into ICIS or including them in a press release) should occur prior to the completion of OC’s review.


OC finalized Standard Operating Procedures (SOPs) in FY 2016 that described the process and timing for submission of environmental benefit calculations to HQ for review. Though review of these calculations for the largest cases has been required for many years, the exact timing for these reviews has not been clear. As a result, the benefits from some cases had been made public, either via ECHO (pulling the data from ICIS) or a press release, prior to OC reviewing the calculations. The SOP requires that calculations be submitted to OC at least four weeks prior to lodging of a Consent Decree (for judicial cases) or issuance of a final order (for administrative cases) to assure that this problem does not continue. 

Note, an OC review of environmental benefit calculations is required only for cases that produce large environmental benefits amounts of 5 million or more units. (Typical reporting units of measure for cases with the largest environmental benefits are pounds, cubic yards and gallons.) One exception is made for cases with reductions of toxic air emissions, where the threshold is 200,000 lbs. or more.

Contact:  Kay Austin (202-564-2695 or

  1. Reminder about the Key NEI Reporting Areas Requiring Attention


The three key NEI ICIS reporting areas requiring attention for EOY reporting are:

  1. Reporting addressed and no further action determinations on the Case File screen for all of the NEIs, particularly the Energy Extraction, Concentrated Animal Feeding Operations (CAFO), Mineral Processing and New Source Review/Prevention of Significant Deterioration (NSR/PSD) NEIs. Many Regions have had many NEI inspections and/or enforcement actions reported for which no Case File record was created in ICIS. All such activities should have a related Case File record.
  2. Assuring for the Energy Extraction (EE) NEI that any EE activity numbers provided directly to the Strategy Implementation Team (SIT) match the numbers in ICIS - or, BETTER, come from ICIS. The EE SIT received numbers from some Regions at EOY FY 2015 that did not match the EE activity data reported to ICIS.
  3. Checking the Muni, Mineral Processing and NSR NEI Spreadsheet Reports to assure the universes of facilities, and the activities in the reports associated with those facilities, are correct for your Region. This is especially important because the universes for these NEIs were corrupted in ICIS late in FY 2015 in the ICIS Spreadsheet Reports. The corrupted ICIS NEI facility universes have been reconstructed and are now available in ICIS for EOY FY 2016 review.


Contact:  Dan Klaus (202-564-7757 or


  1. Consent Decree Compliance Tracking in ICIS – Continued Need for Attention


The requirement to track consent decree (CD) compliance in ICIS for non-Superfund cases continues, in accordance with the 2010 CD Tracking Guidance.  (See These requirements are:

  1. To enter into ICIS the expected and actual dates for:
    1. Payment of the required penalty in full;
    2. Completion of a required SEP; and
  • Completion of all the requirements of the consent decree.
  1. To report into ICIS at least once every three years an overall compliance status for each open consent decree.


Note, this last data entry requirement is the data source for an EPA Government Performance and Results Act (GPRA) measure that reviews whether EPA is adequately tracking CD compliance. The GPRA goal is to track 100% of open (non-Superfund) CDs.


Although there is substantial work going on to identify new mechanisms to better track CD compliance, ICIS is still the data system in which we are tracking the required data elements from the 2010 CD Tracking Guidance and the GPRA measure


Contact:  Daniel Palmer (202-564-5034 or


  1. Reminder to Report all Superfund Accomplishments Data in the Superfund Enterprise Management System (SEMS)


The Office of Site Remediation Enforcement (OSRE) will resume regular protocol with regard to end-of-year accomplishments reporting in FY 2016.  Since the April release of the new SEMS Site Schedule screen, regions have been able to familiarize themselves with the new screen and are entering FY 2016 enforcement accomplishments data. While OSRE did not pull FY 2016 mid-year accomplishments data from SEMS, OSRE did pull SEMS data early in the fourth quarter for review with the anticipation of pulling final end-of-year accomplishments data from SEMS on the 10th business day of October. As in past years, OSRE will provide certified accomplishments data from SEMS to OC as part of its end-of-year certification process.


Contact:  Mary Bell (202-564-2256 or

  1. Municipal Separate Storm Sewer Systems (MS4) NEI Reporting:  Data Migration and Training Coming in FY17 (Delayed from FY16)


We expect to transfer reporting for the MS4 segment of the Municipal Infrastructure NEI from manual reporting to ICIS in the first quarter of FY 2017. The data migration and data entry to ICIS for the MS4 NEI will be unique because of the need to track the status of MS4 systems, in addition to individual MS4 permittees and co-permittees. This will require the use of the “Associated Permits” data field in ICIS-NPDES, a new ICIS Spreadsheet Report specifically designed for the MS4 data, and creation of ICIS Case File determination records that address the MS4 permittees, individual co-permittees, and the overall MS4 system. OECA will provide training for the regions on MS4 NEI ICIS data entry near the time of the data migration to ensure the regions understand how the data is to be recorded in ICIS, particularly how to properly enter MS4 Case File records. 


The regions will need to continue to input MS4 data to the manual MS4 spreadsheets that are distributed and maintained by the Muni NEI Strategy Implementation Team until the MS4 NEI data migration occurs.


Contact: Dan Klaus (202-564-7757 or

  1. Other Planned NEI Data Migrations (Delayed from FY16)


The Office of Compliance intends to upload to ICIS information on NSR/PSD NEI facilities for which a determination has been made that no further action at that facility is required in the first quarter of FY 2017. (This data was not previously imported to ICIS due to possible FOIA concerns.) The addition of this data to ICIS will assure that managers who use ICIS to review the status of the NSR/PSD NEI universe will have complete information on the status of each facility. The data will be uploaded to the Facility No Further Action data field on the Case File data screen. If Case File information already exists for a facility in ICIS, that information will not be overwritten by the import.


OECA plans to import inspection/investigation information for NSR/PSD NEI facilities and Mineral Processing NEI facilities at the same time. Importing this data into the ICIS Compliance Monitoring module is too complex, so the data will be imported into the Initiated Action data field on the Case File data screen (with modified drop-down menus). Since historical inspection and investigation data for NSR/PSD NEI sources were previously maintained in AFS and Mineral Processing NEI data was maintained in RCRAInfo, the inspection data for these facilities in ICIS is sometimes incomplete or not flagged appropriately. The addition of this data in the ICIS Case File screen will allow managers to have reliable information on the inspection status of these facilities, including through the use of modified NSR/PSD and Mineral Processing NEI Spreadsheet Reports. By importing this data into a Case File record, inspection and investigation data records in the ICIS Compliance Monitoring module will not be affected. However, if the Case File record for a facility exists as a result of the import, that Case File record should be amended to add any NEI addressing action instead of creating a new Case File record.


Contact: Dan Klaus (202-564-7757 or

FY 2016 EOY Reporting and Certification Schedule and Process


All FY 2016 data is required to be entered into the database of record by October 14, 2016. The entire FY 2016 Reporting Plan may be viewed at: for more information on the reporting process.


Most of the data quality review can be completed utilizing the features of OECA’s FE&C Dashboard.   However, if more detailed action-specific data are desired, ICIS reports are available. Regions and OECA offices may run and review specific ICIS reports for data requiring more scrutiny.


RAs and OECA ODs, or their designees, must electronically certify by October 20, 2016, using the FY 2016 certification form that all FY 2016 data in the national database of record are accurate and complete. The regions/offices will use their Select Measures Workbook (Excel) to provide manual numbers and assure that the data in the workbook are correct. The Workbook should be completed on or before October 20, 2016, via the OneDrive link that was sent out previously. The FY 2016 certification form may be found at:


OECA will run the final FY 2016 reports on October 26, 2016. The final data will be used to populate the OECA Dashboard with the certified FY 2016 information. EPA will then submit Government Performance and Results Act (GPRA) numbers to the Office of Management and Budget and will make the Annual Results enforcement and compliance information publicly available on EPA’s website by the end of the calendar year. 


Please contact Emery Harriston, at (202) 564-2497, or ICIS User Support at (202) 564-7756, if you need additional information or assistance regarding the FY 2016 EOY reporting and certification process.  


cc:   Regional Federal Facility Program Managers

FFEO Regional Liaisons

Regional ICIS System Administrators (Regions 1-10 and HQ)

Kay Austin

Donna Inman

Lauren Kabler

ETDD Staff


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