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Guide for Reporting on the OECA National Enforcement Initiatives (NEIs) for FY 2014 (03.13.14)

Guide for Reporting on

the OECA National Enforcement Initiatives (NEIs) for FY 2014

March 13, 2014

 

Following is the plan for NEI reporting for MY and EOY FY 2014.  Our multi-year goal has been to obtain most of the NEI data that appears on the OECA NEI Website and for other NEI measures (http://www.epa.gov/oecaerth/data/planning/initiatives/index.html) from ICIS.  To achieve this goal, we have moved most of the data reporting and collection for the NEIs to ICIS.  By doing this we believe that the NEI data is now both more accessible and reliable. 

 

Reporting varies by NEI.  It is this variation that necessitates this Reporting Guide.  A separate description for FY14 reporting for each NEI is provided below.

The key change for FY14 is migration of Municipal Infrastructure MS4 NEI data from Quick Place spreadsheets into ICIS.  We expect this migration to occur around mid-year FY 14.  Following the migration all MS4 NEI data will be input directly to ICIS and use the MS4 Muni Quick Place spreadsheets will end.

 

Reporting for the Air Toxics, NSR/PSD, Municipal Infrastructure CSO/SSO, Mineral Processing, and Energy Extraction NEIs will continue as in FY13.  CAFO NEI reporting also will continue as in FY 13, though significant changes to the CAFO NEI are currently being considered.  If, when final, these changes to the CAFO NEI affect reporting the regions will be notified.

 

Note that we have also added to this guide a section providing a list of the addressing action and now further action types in ICIS.   We have also added a section on what date to use for the addressing action and no further action date fields.

 

To maximize data accessibility, we eventually will create NEI dashboard functionality that is fed from ICIS, including live data for at least the present fiscal year.  We eventually may use the NEI Dashboard to create the OECA NEI Website.   

 

General NEI Reporting Information

 

  1. 1.      Date to Use When Identifying an NEI Facility in ICIS as Having Been Controlled/Addressed or No Further Action

During a review of NEI data in FY 2013, it became evident that it is not always understood what date to enter into the ICIS compliance determination date fields for the date when a facility is considered addressed or controlled, or the date to enter to indicate that a “no further action” determination has been made.  This is a bit complicated by the fact that different events are considered addressing actions under the various NEIs.  Nevertheless, it is possible to generalize:

 

  1. A facility is considered “addressed” (or “controlled” for the NSR/PSD NEI) under the NEIs on the date that the addressing action occurs.  For example, if a facility is considered addressed on the date that an enforcement case is concluded resolving the NEI violations at the facility, then the addressed date is the date the judicial consent decree is entered or administrative consent agreement is issued concluding the case.  If the event that is considered the addressing action is filing of the complaint, then the addressed date is the date the complaint was filed.
  2. The date to enter to ICIS to record a determination that no further action is required at a facility is the date that the region made the determination that no further action at the facility is warranted.

If you have questions about this, please contact Dan Klaus (202/564-7757) or a member of the relevant NEI SIT.

 

  1. 2.      NEI Addressing Action and No Further Action Types in ICIS

The purpose of the table below is to assure that those involved with recording NEI data in ICIS (and AFS for the Air Toxics NEI) are aware of the differences between NEIs as to what constitutes a determination that a facility has been “addressed” (on “controlled’ for the NSR/PSD NEI) or that “no further action” is required at a facility.  The addressed and no further action types listed below are current in ICIS as of January 2014 and can be found in the “Facility Addressed/Controlled Action Type” and the “Facility No Further Action Type” drop-down menus on the ICIS FE&C Compliance Determination Screen.

Recent changes made to the addressing action types for the Municipal and CAFO NEIs are reflected in the table below.  The MS4-related changes will be discussed in the FY14 NEI Reporting Guide.  The other change, applicable to both the Municipal and CAFO NEIs, is simply a clarification of an existing Addressing Action Type.  The changes in ICIS are as follows:

  • Municipal Infrastructure NEI – MS4:
    • New Facility Addressed/Controlled Action Type were added:
      • “MS4s-Phase 1-System Addressed”
      • “MS4s-Phase 2-System Addressed”
      • New Facility No Further Action Types were added:
        • “MS4s-Phase 1-System No Further Action”
        • “MS4s-Phase 2-System No Further Action”
        • “MS4s-Phase 1-Co-Permittee, No Action Taken”
        •  “MS4s-Phase 2- Co-Permittee, No Action Taken”
        • Facility Addressed/Controlled Action Type was removed:
          • “Provide MS4 Permit Feedback”
      • Municipal Infrastructure and CAFO NEIs:
        • Facility Addressed/Controlled Action Type was modified/clarified:
          • “Federal AOs (AO, ACO, AOC, CAFO, FAPO)” changed to “Final Federal Admin Penalty or Compl Order”

 

NEI Addressing Action and No Further Action Types in ICIS – NEI by NEI

Concentrated Animal Feeding Operations (CAFOs)

Addressed Action Types

No Further Action Types

Final Federal Admin Penalty or Compl Order

Other approved by WED DD

Federal Civil Jud. Complaint filed w/ a CD

 

Fed or State Evaluation determined no or minor violations

Federal Civil Jud. Complaint filed w/o a CD

Federal NPDES permits that comport with policies

 

State equivalent enforcement action

 

State NPDES permits that comport with policies

Mineral Processing

Addressed Action Types

No Further Action Types

Federal Consent Decree

Federal Inspection determined no or minor violations

Federal Final Administrative Orders (AO, ACO, AOC, CAFO, FAPO)

 

Air Toxics

Addressed Action Types

No Further Action Types

Fed. AO issued or complaint filed

Inspection, Evaluation, or Investigation determined no or minor violations

Federal civil case referred to DOJ

 

Energy Extraction

Addressed Action Types

No Further Action Types

Fed. AO issued or complaint filed

 

No Further Action Determination pursuant to Dec 21, 2011 Memorandum

Referring a case to DOJ

 

State equivalent of filed jud. complaints or final issued

 

New Source Review (NSR/PSD)

Controlled Action Types

No Further Action Types

Controlled to NSR/PSD levels, repowered, or shutdown

Been reviewed for compliance with NSR/PSD

 

Federal Consent Decree

 

Municipal Infrastructure

Addressed Action Types

No Further Action Types

Final Federal Admin Penalty or Compl Order

Other approved by WED DD

Federal Civil Jud. Complaint filed w/ a CD

 

Fed or State Evaluation determined no or minor violations

Federal Civil Jud. Complaint filed w/o a CD

Federal NPDES permits that comport with policies

MS4s- Phase 1 – System Addressed

State equivalent enforcement action

MS4s- Phase 2 – System Addressed

State NPDES permits that comport with policies

 

MS4s-Phase 1-System No Further Action

 

MS4s-Phase 1-Co-Permittee, No Action Taken

 

MS4s-Phase 2-System No Further Action

 

MS4s-Phase 2-Co-Permittee, No Action Taken

NEI-Specific Reporting Information

  1. 1.      NSR/PSD NEI  (No change to reporting from FY 2013)

For FY14 (as in FY 13), reporting for the coal fired power plant (CFPP) segment of the NSR/PSD NEI and the cement, acid and glass segments will be the same (as described below).  The data enforcement and addressing action data will be reported into and out of ICIS.

 

  1. a.       Coal Fired Power Plants (CFPP)

For FY 14, like FY 13, data for the CFPP component of the NSR/PSD NEI will come from ICIS.  The data from the CFPP segment of the NSR/PSD NEI manual spreadsheet was migrated to ICIS in March 2013.  This includes the universe, the facilities controlled, and NOx/SOx reduction data.   ICIS will be the source for reporting these data points for MY and EOY FY 2014.  NEI investigation initiations at CFPPs also are to be reported to ICIS for FY 14, as in FY13.

 

                                            i.            Universe Data

In March FY 2013, the NSR/PSD CFPP universe was loaded into ICIS (into the new “Universe Indicator” data field in the ICIS Facilities module).  Each facility that is part of the CFPP universe is identified in ICIS using this new data field with a flag that indicates that the facility is part of the NSR/PSD “Coal-fired Power Plants” universe.  (The universe of facilities that was uploaded to ICIS was based on the NSR/PSD NEI CFPP universe as it existed on March 13, 2013.)

 

Because the NSR/PSD CFPP facility universe was uploaded into ICIS we do not foresee any need in the future to manually populate the Universe Indictor data field for the CFPP universe.  Any adjustment to the established universes of NSR/PSD facilities would have to be pre-approved by the NSR/PSD NEI SIT.

                                                ii.      Controlled Status Data

The information on the determination that a CFPP has been either “controlled” was also uploaded into ICIS in March 2013.  This data was uploaded into several NEI data fields in the ICIS Compliance Determination module at the same time that the CFPP facility universe information was populated into ICIS.   From March 2013 forward, all controlled determinations made for the facilities in the NSR CFPP universe must be manually entered by the region into the ICIS Compliance Determination module.

To manually enter a NSR/PSD CFPP NEI Controlled Determination into ICIS:

a)      Under the Compliance Determination module in ICIS select “Add Compliance Determination.” 

b)      On the Linked Facilities screen, click on the “Facilities” button; conduct a search for the facility that has been addressed; select the facility (be sure to link to the facility that is identified as being part of the NSR/PSD CFPP Universe, for which a controlled/no further action determination has been made); after linking to the facility, open the facility record by clicking on the facility name and assure that the “Universe Indicator” field is populated with the correct NEI.  If this field is not populated, or is populated with another NEI, then this is not the correct facility for linking.  This facility should be unlinked and the process should be redone linking to the facility that is identified in ICIS as being part of the NSR NEI CFPP universe.

c)       Compliance Determination data screen:

1)      Enter a Compliance Determination Name (name of company/facility)

2)      Enter a Compliance Determination Type (National Enforcement Initiative Determination)

3)      Enter the Region; 

4)      Enter a Status Type (Active)

5)      Enter Federal Statute(s) Violated (select applicable statute, law section/program)

6)      Enter a Facility Addressed /Controlled Action Type (the applicable NSR/PSD CFPP/Controlled Type)); or

7)      Enter a Facility Addressed/Controlled Date (date of the determination that the facility is controlled); or

8)      Check the HQ Addressed/Controlled Approval box once the required HQ approval has been obtained (agreeing with the region’s determination that the CFPP facility has been controlled or that a no further action determination is appropriate).

9)      Enter a HQ Addressed/Controlled Approval date (date that the HQ approval was obtained)

10)   Enter into the NEI Determination comment field any comments on the controlled determination (e.g., the basis for the determination that a facility has been controlled)

11)   If the compliance determination is related to an existing investigation, compliance determination, and/or enforcement action record in ICIS select “Related Activities” at the top of the Compliance Determination screen.  From the list, select the activities to be linked, and then select “Link Activity.”   If the compliance determination is related to an EPA enforcement action for which a record has not yet created in ICIS, select “Add/Link Enforcement Action” at the bottom of the Compliance Determination screen, and follow the prompts to create an enforcement action record.

 

                                              iii.      NOx and SOx Emission Reductions Data

NOx and SOx emission reductions from concluded NSR/PSD NEI Cement, Acid, and Glass enforcement cases will be obtained for FYs 11, 12, 13 and 14 from ICIS.  (For cases concluded in FYs prior to FY11, the data source will continue to be the AED spreadsheet.)  The FY 14 NOx and SOx emission reduction data will be obtained from the Enforcement Action Module in ICIS, from the NSR/PSD NEI enforcement cases that: 

 

a)      concluded in FY 14 (CD entered, final AO issued),

b)      were flagged in ICIS with the corresponding NSR/PSD NEI flag in the Enforcement Action National Priority field on the Final Order-Basic Info screen, and

c)       had pollution reductions of SOx and/or NOx entered into the ICIS Final Order-Complying Action/Injunctive Relief screen.

 

                                               iv.      Investigations

As in  FY 13, in FY 14 all NSR/PSD CFPP NEI investigations initiated in FY14 must be entered into ICIS (as well as AIRS/AFS).  This is a new ICIS data entry requirement necessitated by our tracking of investigation initiations for the NSR/PSD NEI universes on the OECA NEI Website and in a dashboard.  (Note:  Any questions about whether an investigation qualifies as an “investigation initiation” for purposes of the NSR NEI should be directed to Shaun Burke, OCE/AED.)

To add an NSR/PSD NEI CFPP investigation initiation to ICIS, follow these steps:

a)      Under the Facilities module in ICIS select “Search Facilities.”  Search for the facility using the name or an ID #.  In the list of facilities that results, identify the correct facility that has an AIRS/AFS programmatic ID#.  Click on the programmatic ID# and verify that the facility is flagged with the CFPP NSR/PSD NEI in the “Universe Indicator” field.   If it is not flagged with an NEI, or it has the wrong universe flag, return to the search list of facilities and renew your search for the correct facility. When you have identified the correct facility with the CFPP NEI flag, then select the “Compliance Monitoring” tab at the top of the screen. 

b)      On the resulting screen click on “Add Compliance Monitoring Activity” (in the upper right hand corner).  On the next screen click on “Federal” under “Add Investigation.”  This will take you to the Compliance Monitoring data entry screen.

c)       On the Compliance Monitoring data screen:

1)      Enter the Region; 

2)      Enter a CM Activity Name (name of company/facility investigated);

3)      Enter:

                                                                                                                    i)            an Actual Start Date; and

                                                                                                                   ii)            an Actual End Date of the investigation if known, otherwise a Planned End Date (if the Planned End Date is not known, it must be entered later when it is known);

4)      Enter the Federal Statute (CAA), Law Section (CAA: PART C:Prevention of Significant Deterioration (PSD) of Air Quality) and  Compliance Monitoring Type (Investigation);

5)      Enter the Compliance Monitoring Reason (Agency Priority);

6)      Enter the Compliance Monitoring Agency Type (U.S. EPA); 

7)      Enter the OECA National Priority (“2014 - NSR/PSD – Coal-fired Power Plants”);

8)      Enter the Compliance Monitoring Comments (type here: “CAA 114 letter” and/or any other means that were used to investigate the facility).

9)      If an ICIS compliance determination record also is to be created for this case/facility (see section 3.a.ii, above), select the “Add Compliance Determination” button at the bottom of the screen to create a linked compliance determination record.

 

Note that the existing requirement to enter all NSR/PSD investigations into AFS continues.

 

  1. b.      Cement, Acid, and Glass

As in FYs 12 and 13, the data for the Cement, Acid, and Glass components of the NSR/PSD NEI will come from ICIS for FY14.  This includes data on the Cement, Acid, and Glass universes of facilities, the facilities that are controlled/no further action, investigations initiated, and NOx/SOx pollution reduction data.

 

                                                  i.      Universe Data

In FY 2012, the NSR/PSD cement, acid, and glass facility universes were loaded into ICIS (into the new “Universe Indicator” data field in the ICIS Facilities module).  Each facility that is part of each universe is identified using the new data field with a flag that indicates that the facility is part of the NSR/PSD “Cement,” “Nitric Acid Plants,” “Sulfuric Acid Plants,” or “Glass Manufacturing” universes.  (The universe information that was uploaded to ICIS was based on these universes as they existed at MY FY12.)

 

Because the NSR/PSD Cement, Acid, and Glass facility universes were uploaded into ICIS we do not foresee any need in the future to manually populate this data field.  Any adjustment to the established universes of NSR/PSD facilities would have to be pre-approved by the NSR/PSD NEI SIT.

                                                ii.      Controlled Status Data

The information on the determination that a facility has been either “controlled” or that “no further action” is warranted was also uploaded into ICIS in FY 12.  This data was uploaded into several new NEI data fields in the ICIS Compliance Determination module at the same time that the universe information was populated into ICIS.   Since MY 2012, all controlled/no further action determinations made for the facilities in the NSR Cement, Acid, and Glass universes must manually be entered by the region into the ICIS Compliance Determination module.

To manually enter a NSR/PSD Cement, Acid, or Glass NEI Controlled/No Further Action Determination into ICIS:

1)      Under the Compliance Determination module in ICIS select “Add Compliance Determination.” 

2)      On the Linked Facilities screen, click on the “Facilities” button; conduct a search for the facility that has been addressed; select the facility (be sure to link to the facility that is identified as being part of the NSR/PSD Cement, Acid, or Glass Universe, for which a controlled/no further action determination has been made);  after linking to the facility, open the facility record by clicking on the facility name and assure that the “Universe Indicator” field is populated with the correct NEI.  If this field is not populated, or is populated with another NEI, then this is not the correct facility for linking.  This facility should be unlinked and the process should be redone linking to the facility that is identified in ICIS as being part of the applicable NSR universe.

3)      Compliance Determination data screen:

a)      Enter a Compliance Determination Name (name of company/facility)

b)      Enter a Compliance Determination Type (National Enforcement Initiative Determination)

c)       Enter the Region; 

d)      Enter a Status Type (Active)

e)      Enter Federal Statute(s) Violated (select applicable statute, law section/program)

f)       Enter either:

                                                                                                                    i)            a Facility Addressed /Controlled Action Type (the applicable NSR/PSD sub-NEI/Controlled Type)); or

                                                                                                                   ii)            a Facility No Further Action Type(the applicable NSR/PSD sub-NEI No Further Action)

g)      Enter either:

                                                                                                                    i)            a Facility Addressed/Controlled Date (date of the determination that the facility is controlled); or

                                                                                                                   ii)            a Facility No Further Action Date (date of the determination that no further action at the facility is warranted)

h)      Check the HQ Addressed/Controlled Approval box once the required HQ approval has been obtained (agreeing with the region’s determination that the facility has been controlled or that a no further action determination is appropriate).

i)        Enter a HQ Addressed/Controlled Approval date (date that the HQ approval was obtained)

j)        Enter into the NEI Determination comment field any comments on the controlled/no further action determination (e.g., the basis for the determination that a facility has been controlled or that no further action is warranted)

k)      If the compliance determination is related to an existing investigation, compliance determination, and/or enforcement action record in ICIS select “Related Activities” at the top of the Compliance Determination screen.  From the list, select the activities to be linked, and then select “Link Activity.”   If the compliance determination is related to an EPA enforcement action for which a record has not yet created in ICIS, select “Add/Link Enforcement Action” at the bottom of the Compliance Determination screen, and follow the prompts to create an enforcement action record.

 

                                              iii.      NOx and SOx Emission Reductions Data

NOx and SOx emission reductions from concluded NSR/PSD NEI CFPP enforcement cases are obtained from ICIS.  The NOx and SOx emission reduction data will be obtained from the Enforcement Action Module in ICIS, based on the NSR/PSD NEI enforcement cases that:  a) concluded (CD entered, final AO issued), 2) were flagged in ICIS with the corresponding NSR/PSD NEI flag in the Enforcement Action National Priority field on the Final Order-Basic Info screen, and 3) had pollution reductions of SOx and/or NOx entered into the ICIS Final Order-Complying Action/Injunctive Relief screen.

 

The Regions will have to assure that the NOx and SOx pollutants reduced data entered to ICIS in FY 14 for NSR NEI cases is complete and accurate.  OC will assist by providing a report that displays this information.

                                               iv.      Investigations

As in FYs 12 and 13, all NSR/PSD Cement, Acid, and Glass NEI investigations initiated in FY14 must be entered into ICIS.    (Note:  Any questions about whether an investigation qualifies as an “investigation initiation” for purposes of the NSR NEI should be directed to Shaun Burke, OCE/AED.)

To add an NSR/PSD NEI Cement, Acid, or Glass investigation initiation to ICIS, follow these steps:

a)      Under the Facilities module in ICIS select “Search Facilities.”  Search for the facility using the name or an ID #.  In the list of facilities that results, identify the correct facility that has an AIRS/AFS programmatic ID#.  Click on the programmatic ID# and verify that the facility is flagged with the CFPP NSR/PSD NEI in the “Universe Indicator” field.   If it is not flagged with an NEI, or it has the wrong universe flag, return to the search list of facilities and renew your search for the correct facility. When you have identified the correct facility with the CFPP NEI flag, then select the “Compliance Monitoring” tab at the top of the screen. 

b)      On the resulting screen click on “Add Compliance Monitoring Activity” (in the upper right hand corner).  On the next screen click on “Federal” under “Add Investigation.”  This will take you to the Compliance Monitoring data entry screen.

c)       On the Compliance Monitoring data screen:

1)      Enter the Region; 

2)      Enter a CM Activity Name (name of company/facility investigated);

3)      Enter:

                                  i)            an Actual Start Date; and

                                  ii)            an Actual End Date of the investigation if known, otherwise a Planned End Date (if the Planned End Date is not known, it must be entered later when it is known);

4)      Enter the Federal Statute (CAA), Law Section (CAA: PART C:Prevention of Significant Deterioration (PSD) of Air Quality) and  Compliance Monitoring Type (Investigation);

5)      Enter the Compliance Monitoring Reason (Agency Priority);

6)      Enter the Compliance Monitoring Agency Type (U.S. EPA); 

7)      Enter the OECA National Priority (“2014 - NSR/PSD –Cement, Sulfuric acid plants, Nitric acid plants, or Glass manufacturing”);

8)      Enter the Compliance Monitoring Comments (type here: “CAA 114 letter” and/or any other means that were used to investigate the facility).

9)      If an ICIS compliance determination record also is to be created for this case/facility (see section 3.b.ii, above), select the “Add Compliance Determination” button at the bottom of the screen to create a linked compliance determination record.

 

  1. 2.       Air Toxics NEI  (No change in reporting from FY 2013)

 

  1. a.       Enforcement Action Data

As was the case for EOY FYs 11, 12, and 13, for FY 2014 the Air Toxics NEI concluded enforcement action data will be pulled from the ICIS Enforcement Action module.  All concluded cases properly flagged in ICIS with one of the Air Toxics NEI flags will be counted toward the NEI and the associated facility will be included in the Air Toxics NEI map on the NEI Website. 

  1. b.      Evaluation Data

As in FYs 11, 12, and 13, in FY 14 all Air Toxics NEI evaluations must be entered into the AIRS/AFS data system and flagged as part of the Air Toxics NEI.  The evaluation data will be pulled from AFS based on selection of the proper Air Toxics NEI AFS coding.  

  1. c.       Addressed/No Further Action Determination Data

As in FYs 11, 12, and 13, in FY 14 the Regions should continue to enter Air Toxics NEI addressing action/no further action data into AFS.  These actions must be flagged in AFS as part of the Air Toxics NEI.  This data will be pulled from AFS based on selection of the proper Air Toxics NEI AFS coding.  

  1. d.      Proper Flagging of All Air Toxics NEI Data

Regions must assure that all Air Toxics NEI evaluations and addressing actions are properly flagged in AFS, and enforcement actions are properly identified in ICIS with the Air Toxics NEI flag using the National Priority fields (on both the Basic Info and Final Order screens).  The regions also will need to review the Air Toxics NEI evaluation, addressing action, and enforcement action data from AFS and ICIS for accuracy and completeness as part of the FY14 data certification process.

 

  1. 3.       Energy Extraction NEI (No immediate change in reporting from FY 2013)

The Energy Extraction NEI strategy is currently under review by OECA management.  This review could lead to reporting changes.  If so, the regions will be notified.

  1. a.       Inspection/Evaluation and Enforcement Action Data

All enforcement and compliance monitoring data for the Energy Extraction (EE) portion of the OECA NEI Website will be obtained from ICIS, from the Enforcement Actions and Compliance Monitoring modules.  All EE NEI inspections/evaluations and enforcement actions, regardless of the underlying statute, must be entered into ICIS and flagged with the EE NEI flag.  These activities that are flagged in ICIS with the EE NEI flag will be counted toward the NEI, and the associated EE facilities will be mapped at MY and EOY.   The regions also will need to review the EE NEI data from ICIS for accuracy and completeness as part of the FY14 EOY data certification process.

 

  1. b.      Addressed/No Further Action Determination Data

As in FYs 12 and 13, for FY 2014, the regions should enter an ICIS compliance determination record for all facilities that the region has “addressed” under the EE NEI.  Consistent with the definition of "addressed" in the EE NEI Strategy, this includes entry to ICIS of determinations that no further action is necessary.

 

To enter an EE NEI Addressed/No Further Action Determination into ICIS for an addressed or no further action determination:

                                                   i.      Under the Compliance Determination module in ICIS select “Add Compliance Determination” 

                                                 ii.      On the Linked Facilities screen, click on the “Facilities” button; conduct a search for the facility that has been addressed; select the facility (be sure to link to the facility with the appropriate programmatic ID for the addressing action, e.g., the facility with the AIRS/AFS ID for a CAA addressing action)

                                                iii.      Compliance Determination data screen:

a)      Enter a Compliance Determination Name (name of company/facility)

b)      Enter a Compliance Determination Type (National Enforcement Initiative Determination)

c)       Enter the Region; 

d)      Enter a Status Type (Active)

e)      Enter Federal Statute(s) Violated (select applicable statute, law section/program)

f)       Enter either:

1)      a Facility Addressed /Controlled Action Type (the applicable EE addressing action type); or

2)      a Facility No Further Action Type(the EE No Further Action Type))

g)      Enter either:

1)      a Facility Addressed/Controlled Date (date of the determination that the facility is controlled); or

2)      a Facility No Further Action Date (date of the determination that no further action at the facility is warranted)

h)      Enter into the NEI Determination comment field any comments on the controlled/no further action determination (e.g., the basis for the determination that a facility has been controlled or no further action is warranted)

i)        If the compliance determination is related to an existing inspection/evaluation, compliance determination, and/or enforcement action record in ICIS select “Related Activities” at the top of the Compliance Determination screen.  From the list, select the activities to be linked, and then select “Link Activity.”   If the compliance determination is related to an enforcement action for which a record has not yet been created in ICIS, select “Add/Link Enforcement Action” at the bottom of the Compliance Determination screen, and follow the prompts to

create an enforcement action record.

 

  1. 4.       CAFO NEI  (No immediate changes in reporting from FY 2013)

The three (3) components to CAFO NEI reporting from FY13 will continue in FY14:

  •  Manual reporting for “important CAFOs” through the NEI spreadsheet on the Quickr site;
  • Reporting into ICIS of all Regional CAFO activities (for important CAFOs and all other CAFOs) and also state activities at “important CAFOs”; and
  •  ACS and Progress reporting of CAFO activities.

 

These three CAFO NEI reporting components are described below.

 

  1. a.       Manual Reporting for Important CAFOs

                                             i.            For FY 14 the Regions will need to continue to manually enter the “Important CAFOs” in their region and associated addressing actions into the CAFO NEI spreadsheet maintained on a the “Quickr” site allowing OECA to track federal and state-equivalent "addressing actions" at national and regional levels for the universe of "important CAFOs."  The information reported in the spreadsheet supports the sub-goals in the NEI Strategy by creating an aggregated national CAFO universe of “important CAFOs” that serves as the denominator needed for OECA to measure and report progress (both internally and externally on OECA's NEI web site) in this NEI program area. 

                                           ii.            Regions are asked to continue to enter facility-specific data into the manual important CAFO spreadsheet for each of the facilities the region has identified as an “important CAFO” under the CAFO NEI Strategy.  For FY2013, the regions should utilize this manual spreadsheet for reporting inspections, enforcement actions, and addressed determinations (including no further action determinations) at the “important CAFOs.”  Regions will access their individual spreadsheet on Quickr to input this data. The spreadsheet will be reviewed at MY FY 2013 under OECA’s existing certification process and according to the deadlines identified for FY 2013 midyear reporting.

                                          iii.            The “addressing action” types for "Important CAFOs” that count toward the NEI Strategy sub-goals are:  Federal enforcement action (i.e., federal civil judicial complaint filed with or without a consent decree, federal administrative order issued or complaint filed, or federal final administrative penalty order issued).  The “no further action” types are state equivalent filed or issued administrative or civil judicial enforcement actions, state or federal NPDES permit with an enforceable compliance schedule that results in CWA compliance, and compliance evaluation determinations documenting that “no further action is warranted.” 

                                   iv.            In FY13, we expected we would migrate Important CAFO NEI data from the Important CAFO Quickr spreadsheets maintained by the Regions into ICIS.  This did not happen for a number of reasons, and now, because of uncertainty about the direction of the CAFO NEI, it may not happen in FY2014.  Nevertheless, for FY 2014 the CAFO SIT requests that the Regions continue to update the Important CAFO QuickPlace spreadsheets.  If the need for this data changes, or we decide to move forward with a migration of the Important CAFO data into ICIS, we will notify the Regions.

 

Examples of the data captured in the “Important CAFO” Quickr spreadsheet:

 

  1. b.      ICIS Reporting of CAFO Activity Data

                                             i.            Important CAFOs

As noted above, if a decision is made to move the Important CAFO data to ICIS in FY14, the regions will be notified and further direction on entering this data to ICIS will be provided.  If and when this happens, regions will cease reporting important CAFO data to the Quickr spreadsheets and only report the data to ICIS. 

 

Federal CAFO enforcement action and inspection data is already reported to ICIS.  These activities must be flagged in ICIS as part of the CAFO NEI to be counted toward the NEI.

 

                                           ii.            Entry to ICIS of Federal and State CAFO Addressing Actions

As noted above, in FY 2014, as in FY 2013, the regions need to enter to ICIS an addressing action or no further action record for all state activities that qualify as CAFO NEI addressing actions.  This applies to addressed/no further action determinations based on state activities (state equivalent filed or issued administrative or civil judicial enforcement actions, state NPDES permit with an enforceable compliance schedule that results in CWA compliance) involving Important CAFOs and all other CAFOs addressed under the CAFO NEI.

 

The Regions will need to report to ICIS the Addressed/No Further Action determinations.   All federal Addressed and federal and state No Further Action determinations that are made must be manually entered to ICIS.   To enter an Addressed/No Further Action determination to ICIS for the CAFO NEI:

 

a)      Under the Compliance Determination module in ICIS select “Add Compliance Determination” 

b)      On the Linked Facilities screen enter a linked Facility (link to the facility for which a controlled/no further action determination has been made);

c)       Compliance Determination data screen:

1)      Enter a Compliance Determination Name (name of company/facility)

2)      Enter a Compliance Determination Type (National Enforcement Initiative Determination)

3)      Enter the Region (even if the record is for a state addressing action); 

4)      Enter a Status Type (Active)

5)      Enter Federal Statute(s) Violated (select applicable statute, law section/program)

6)      Enter either:

                                                                                                                           i.      a Facility Addressed /Controlled Action Type (the applicable CAFO federal sub-NEI/Addressing Action Type); or

                                                                                                                         ii.      a Facility No Further Action Type(the applicable federal or state CAFO sub-NEI/No Further Action)

7)  Enter either:

                                                                                                                           i.      a Facility Addressed/Controlled Date (date of the determination that the facility is addressed); or

                                                                                                                         ii.      a Facility No Further Action Date (date of the determination that no further action at the facility is warranted)

8)  Enter into the NEI Determination comment field any comments on the controlled/no further action determination (e.g., the basis for the determination that a facility has been addressed or no further action is warranted)

9)   If the compliance determination is related to an existing inspection, compliance determination, and/or enforcement action record in ICIS select “Related Activities” at the top of the Compliance Determination screen.  From the list, select the activities to be linked, and then select “Link Activity.”   If the compliance determination is related to an enforcement action for which a record has not yet been created in ICIS, select “Add/Link Enforcement Action” at the bottom of the Compliance Determination screen, and follow the prompts to create an enforcement action record.

 

                                          iii.            Entry to ICIS of Data on Other CAFO Enforcement and Compliance Activities

As in FY2013, in FY2014 OECA will rely heavily on data directly reported into ICIS for tracking progress for the entire CAFO NEI.  The regions will enter to ICIS all CAFO NEI federal/federal-led inspections, federal enforcement actions, and federal and state “addressing actions,” including at “important CAFOs” as well as at other CAFOs and AFOs both inside regional “priority areas” and outside those areas (e.g., in “identified states”). 

 

                                         iv.            Concluded Federal Inspection and Enforcement Actions

In FY2014, OECA may continue to count, map and display on OECA’s NEI Website the numbers of concluded EPA CAFO enforcement actions and EPA/EPA-led joint CAFO inspections.  To be counted, these activities must be properly identified in the ICIS data system as a CAFO NEI activity using the ICIS “National Priority” data field.  This data will be reviewed as part of the existing data certification process.

 

  1. c.       ACS and Progress Reporting on Regional CAFO Activities

                                             i.            Inspections and Addressing Actions at Other CAFOs/AFOs

In support of its ACS commitments, each  region will count (along with its “important CAFO” counts) the total number of federal and federal-led inspections and "addressing actions" at “non-important” or "other" CAFOs/AFOs facilities, inside or outside regional priority areas, reporting the numbers using OECA’s existing ACS reporting mechanism.  In addition to the total numbers reported to ACS, regions will submit to the SIT as an attachment to their annual progress reports a list of the facility-specific names of the “non-important” or “other” CAFOs/AFOs counted.

 

                                           ii.            Revised ACS Progress Report Commitment

Beginning in FY 2012, the CAFO SIT eliminated the requirement for a semi-annual progress report and revised the format for the annual progress reports for the CAFO NEI.  As in FY 2012, instead of submitting a report, the Regions should update the “important CAFO” Quickr spreadsheet at MY 2014.  At the end of FY2014 the Regions should submit a short narrative report to the SIT describing any changes to a region’s selection of priority areas and any challenges or successes in working with individual states to improve state CAFO programs.  As noted above, regions will also include a list of the facility-specific names of the “non-important” or “other” CAFOs/AFOs counted in their ACS results as an attachment to their annual progress report at the end of FY 2014.

 

  1. 5.      Mining and Mineral Processing NEI  (No change from FY 2013)

Data for the Mining and Mineral Processing (MMP) NEI will be reported for FY 14 into ICIS.  ICIS will be the data source for the Mineral Processing and Phosphoric Acid universes, the Addressed/No Further Action status of the facilities in these universes, MMP enforcement actions and, MMP inspections. 

  1. a.       Universe Data

The Mineral Processing and Phosphoric Acid facility universes were loaded into ICIS in June 2012.  Each facility that is part of each MMP universe is identified using the new Universe Indicator data field the ICIS Facilities module, with a flag that indicates that the facility is part of one of the two MMP universes (Phosphoric Acid and Non-Phosphoric Acid).  Note:  any adjustment to the universes of MMP facilities (additions/subtractions of facilities) must be pre-approved by the MMP NEI SIT.

  1. b.      Addressed Status Data

The Addressed/No Further Action status of the facilities in the MMP universes also was uploaded to ICIS in FY12.  This data was uploaded into new data fields in the ICIS Compliance Determination module based on the data reported at FY12 Mid-Year.  Since then, MMP addressing actions have been entered directly into ICIS.  This practice continues for FY14:  All MMP Addressed/No Further Action determinations made in FY14 must be manually entered by the regions into the Compliance Determination Module.  

To enter a MMP NEI Compliance Determination into ICIS:

                                             i.            Under the Compliance Determination module in ICIS select “Add Compliance Determination” 

                                           ii.            On the Linked Facilities screen enter a linked Facility (link to the facility for which a controlled/no further action determination has been made);

                                          iii.            Compliance Determination data screen:

                                         iv.            Enter a Compliance Determination Name (name of company/facility)

                                           v.            Enter a Compliance Determination Type (National Enforcement Initiative Determination)

                                         vi.            Enter the Region; 

                                        vii.            Enter a Status Type (Active)

                                      viii.            Enter Federal Statute(s) Violated (select applicable statute, law section/program)

                                         ix.            Enter either:

a)      a Facility Addressed /Controlled Action Type (the applicable MMP sub-NEI/Addressing Action Type); or

b)      a Facility No Further Action Type(the applicable MMP sub-NEI/No Further Action)

                                           x.            Enter either:

a)      a Facility Addressed/Controlled Date (date of the determination that the facility is addressed); or

b)      a Facility No Further Action Date (date of the determination that no further action at the facility is warranted)

                                         xi.            Enter into the NEI Determination comment field any comments on the controlled/no further action determination (e.g., the basis for the determination that a facility has been addressed or no further action is warranted)

                                        xii.            If the compliance determination is related to an existing inspection, compliance determination, and/or enforcement action record in ICIS select “Related Activities” at the top of the Compliance Determination screen.  From the list, select the activities to be linked, and then select “Link Activity.”   If the compliance determination is related to an enforcement action for which a record has not yet been created in ICIS, select “Add/Link Enforcement Action” at the bottom of the Compliance Determination screen, and follow the prompts to create an enforcement action record.

 

  1. c.       Inspection Data

As in FY 2013, for FY 2014 all MMP NEI inspections conducted in FY 2013+ must be entered to ICIS.  (These inspections also should continue to be entered to RCRAInfo.)  This is necessary in order to cease relying on an external spreadsheet for tracking MMP inspections, and allowing us to create ICIS reports and dashboard features showing how many and which MMP facilities have been inspected.

To enter an MMP inspection into ICIS:

                                             i.            Under the Facilities module in ICIS select “Search Facilities.”  Search for the facility using the name or ID #.  In the list of facilities that results, identify the correct facility that has a RCRAInfo programmatic ID#.  Click on the programmatic ID# and verify that the facility is flagged with the correct MMP NEI in the “Universe Indicator” field.   If it is not flagged with an NEI, or it has the wrong universe flag, return to the search list of facilities and renew your search for the correct facility. When you have identified the facility with the correct MMP NEI flag, then select the “Compliance Monitoring” tab at the top of the screen. 

                                           ii.            On the resulting screen click on “Add Compliance Monitoring Activity” (in the upper right hand corner).  On the next screen click on “Federal” under “Add Inspection/Evaluation.”  This will take you to the Compliance Monitoring Information data entry screen.

                                          iii.            On the Compliance Monitoring Information screen:

a)      Enter the Region; 

b)      Enter a CM Activity Name (name of company/facility inspected);

c)       Enter:

a)      an Actual Start Date; and

b)      an Actual End Date of the inspection if known, otherwise a Planned End Date (if the Planned End Date is not known, it must be entered later when it is known);

d)      Enter the Federal Statute (RCRA), Law Section,  and  Compliance Monitoring Type;

e)      Enter the Compliance Monitoring Reason (Agency Priority);

f)       Enter the Compliance Monitoring Agency Type (U.S. EPA); 

g)      Enter the OECA National Priority (“2014 – Mineral Processing – Non-Phosphoric Acid or Phosphoric Acid”);

h)      Enter the Compliance Monitoring Comments (if any);

i)        If an ICIS compliance determination record also is to be created for this case/facility (see section 5.b., above), select the “Add Compliance Determination” button at the bottom of the screen to create a linked compliance determination record.

 

  1. 6.       Municipal Infrastructure NEI  (No change in reporting from FY 2013 for CSO and SSO; Changes in reporting for MS4s)

As in FY 13, in FY 14 the source of data for the CSO and SSO components of the Municipal NEI and the MS4 component will be different, as described below.

  1. a.       CSOs and SSOs

In March FY13, Municipal NEI data for large CSOs and SSOs was uploaded from the MuniData Quick Place spreadsheets into ICIS.  The data uploaded was the universe, addressed/no further action status, and initiated status data from the CSO and SSO MuniData spreadsheets.  ICIS now is used for tracking the CSO and SSO components of the Municipal NEI. 

All Addressed/No Further Action status and Initiated Action status data for the CSO and SSO segments of the Municipal NEI are now reported directly to ICIS.  The MuniData spreadsheets that were maintained on the Muni Data Quickplace for CSOs and SSOs are no longer in use. 

 

                                                  i.      CSO/SSO Universe Data

The CSO and SSO universe data uploaded to ICIS is static.  Changes to the universe should only be necessary in the rarest instances when errors or new information is discovered.  Before making a change to the universe, please contact the SIT to let them know why the change is being made. (This will allow the SIT to later explain the changes to the MS4 universe.)

 

                                                ii.      CSO/SSO ”Initiated Actions”

To enter a CSO/SSO NEI Initiated Action into ICIS:

a)      Under the Compliance Determination module in ICIS select “Add Compliance Determination” 

b)      On the “Linked Facilities” screen enter a linked Facility (link to the facility for which a controlled/no further action determination has been made);

c)       On the “Compliance Determination” data screen:

  1. 6.       
  2. 7.       
  3. 8.       
    1. b.       

                                                                                                iii.       

g)       

h)       

i)       

1)       

2)       

3)       

4)       

5)       

6)       

7)       

8)       

9)       

                                                                                                i)       

  1.  

1)      Enter a Compliance Determination Name (name of company/facility)

2)      Enter a Compliance Determination Type (National Enforcement Initiative Determination)

3)      Enter the Region; 

4)      Enter a Status Type (Active)

5)      Enter Federal Statute(s) Violated (select applicable statute, law section/program)

6)      Enter a Facility NEI Initiated Action Type (the type of addressing action that has been initiated) (select the applicable Municipal sub-NEI/Initiated Action Type (CSOs >=50K serv. Pop’n Federal or State Action Initiated or SSOs>=10mg/d and <100 mg/d Federal or State Action Initiated)

7)      Enter a Facility NEI Initiated Action Date (date the addressing action was initiated)

8)      Enter into the NEI Determination comment field any comments on the Initiated Action (e.g., what was the action that was initiated)

9)      If the Initiated Action is related to an ICIS NEI inspection and/or enforcement action record select “Related Activities” at the top of the Compliance Determination screen.  From the list, select the activities to be linked, and then select “Link Activity.”   If the Initiated Action is related to an enforcement action for which a record has not yet been created in ICIS, select “Add/Link Enforcement Action” at the bottom of the Compliance Determination screen, and follow the prompts to create an enforcement action record.

                                              iii.      CSO/SSO Addressing/No Further Action Determinations

To enter a CSO/SSO NEI addressing action/no further action determination into ICIS:

a)       In the Compliance Determination module in ICIS find the record that contains the Initiated Action for the facility/system and add the addressing action/no further action determination information to this record (skipping to 2)e) below).  If there is no Initiated Action record in ICIS for the facility, follow each of the steps below:

b)      Enter a Compliance Determination Name (name of company/facility)

1)      Enter a Compliance Determination Type (National Enforcement Initiative Determination)

2)      Enter the Region; 

3)      Enter a Status Type (Active)

4)      Enter Federal Statute(s) Violated (select applicable statute, law section/program)

5)      Enter either:

                                                                                                                    i)            a Facility Addressed /Controlled Action Type (select the applicable Municipal sub-NEI/Addressing Action Type (CSOs >=50K serv. Pop’n or SSOs>=10mg/d and <100 mg/d)); or

                                                                                                                   ii)            a Facility No Further Action Type(the applicable Municipal sub-NEI/No Further Action)

6)      Enter either:

                                                                                                                    i)            a Facility Addressed/Controlled Date (date of the determination that the facility is addressed); or

                                                                                                                   ii)            a Facility No Further Action Date (date of the determination that no further action at the facility is warranted)

7)      Enter into the NEI Determination comment field any comments on the controlled/no further action determination (e.g., the basis for the determination that a facility has been addressed or no further action is warranted)

8)      If the Addressed/No Further Action determination is related to an ICIS inspection, compliance determination, and/or enforcement action record select “Related Activities” at the top of the Compliance Determination screen.  From the list, select the activities to be linked, and then select “Link Activity.”   If the Addressed/No Further Action determination is related to an enforcement action for which a record has not yet been created in ICIS, select “Add/Link Enforcement Action” at the bottom of the Compliance Determination screen, and follow the prompts to create an enforcement action record.

                                               iv.      ICIS Entry of State CSO/SSO Initiated Actions and Addressing Action/No Further Action Determinations

Whenever a Region identifies an instance in which a state action (enforcement or permitting) qualifies under the Municipal NEI Strategy and related guidance as an Initiated Action, an Addressing Action, or a No Further Action determination, the Region must enter this information to the Compliance Determination screen in ICIS following the directions above.  Be sure to select the option in the Initiated Action, and No Further Action menus that reflects that this is a state enforcement or permitting action, not a federal action.  In addition, in the NEI Determination Comment field, explain what action was taken by what state that qualified as an Initiated Action and/or No Further Action determination under the Municipal Strategy.

 

                                                 v.      CSO and SSO Enforcement Actions and Inspections

Federal CSO and SSO NEI inspections and enforcement actions must be entered to ICIS.  Enforcement actions must be flagged in ICIS upon case initiation and conclusion as part of the Municipal CSO or SSO sub-NEI by selecting the correct “WW-CSOs or WW-SSO option in the “OECA National Priority” data field on the Basic Info and Final Order screens.  CSO and SSO NEI inspections also are flagged as part of the Municipal NEI by selecting the correct “WW-CSOs or WW-SSO option in the “OECA National Priority” data field on the Compliance Monitoring Information screen.

 

                                               vi.      Tracking Municipal NEI Green Infrastructure Settlement Information

The National Municipal Infrastructure Compliance and Enforcement Initiative Strategy states that "EPA will evaluate in every case, and where appropriate, to ensure green infrastructure (GI)remedies are implemented to reduce discharges of raw sewage and reduce pollutants in storm water runoff." The current strategy requires tracking of:  enforcement cases requiring GI remedies and the estimated value of those remedies, and cases with provisions (also referred to as "enabling language") for the exploration and inclusion of GI remedies, which are not legally required in the case settlement.

 

Green Infrastructure Data Entry Instructions

In FY 2012, regions manually reported CSO, SSO, and MS4 GI information in the comment field of the appropriate Quickr spreadsheet. For FY 2013 reporting and beyond, GI data will be tracked in ICIS using the existing ICIS Complying Action/Injunctive Relief data entry screen. All CSO, SSO, and MS4 NEI concluded cases that include GI remedies or "enabling" language must be entered into ICIS. New ICIS complying action types are available specifically for tracking green infrastructure:

  • Green Infrastructure Requirement Estimate (value unknown),
  • Green Infrastructure Requirement Estimate (value known), and
  • Green Infrastructure Enabling Language

 

Please note that since the Reporting Plan was issued in April, the previous ICIS complying action name, "Green Infrastructure Cost Estimate," was replaced with the two Green Infrastructure Requirement choices listed above. The "Green Infrastructure Requirement (value unknown)" selection allows regions to record consent decrees that require GI as injunctive relief but the GI value is not known at the time of settlement.

 

  • Green Infrastructure Requirement (value unknown)

The dollar value to enter with a "Green Infrastructure Requirement Estimate (value

unknown)" complying action will always be $0. This will allow regions to input the GI

component of settlements without entering a false placeholder value.

 

Subsequently, when the region is able to estimate the GI value, it may be entered into ICIS using the "Green Infrastructure Requirement Estimate (value known)” complying action option. If this information is entered under a new final order (i.e., "Final Enforcement

Order Activity Producing Results" order type in ICIS), the GI value will be counted as part of the Region's injunctive relief value total for the FY that the new final order is created.

 

The ICIS data entry requirements:

 

  • Green Infrastructure Requirement (value unknown):
    • Statute: <select> CWA-Clean Water Act
    • Law Section: <select> CWA 301/402: NPDES Permit Violations: NPDES Combined

Sewer Overflows (CSO) or CWA 301/402: NPDES Permit Violations:NPDES-Sanitary Sewer Overflow (SSO) or CWA 301/402: NPDES Permit Violations: NPDES-Stormwater-MS4

  • Complying Action Category Type: <select> Reduction of Ongoing Releases
  • Complying Action Type: <select> Green Infrastructure Requirement (value unknown)
  • Units: <select> Dollars
  • Amount: <enter> "0"
  • Pollutant Name: < "Contaminated water"
  • Media: Water (navigable/surface)

 

  • Green Infrastructure Requirement (value known):

Enter the estimated dollar value of the GI component of the settlement. The ICIS data entry requirements for Green Infrastructure Requirement (value known) are:

  • Statute: <select> CWA-Clean Water Act
  • Law Section: <select> CWA 301 /402: NPDES Permit Violations: NPDES Combined

Sewer Overflows (CSO) or CWA 301/402: NPDES Permit Violations: NPDES-Sanitary Sewer Overflow (SSO) or CWA 301/402: NPDES Permit Violations: NPDES-Stormwater-MS4

  • Complying Action Category Type: <select> Reduction of Ongoing Releases
  • Complying Action Type: <select> Green Infrastructure Requirement (value known)
  • Units: <select> Dollars
  • Amount: <enter> Estimated cost of required GI component
  • Pollutant Name: <"Contaminated water"
  • Media: Water (navigable/surface)

 

  • Green Infrastructure Enabling Language

For each NEI case conclusion that includes Green Infrastructure "enabling language" (but

no required green infrastructure remedy), enter the fo llowing Complying Action Type:

Green Infrastructure Enabling Language. The dollar value to enter will always be $0.

The ICIS data entry requirements for Green Infrastructure Enabling Language are:

  • Statute: <select> CW A-Clean Water Act
  • Law Section: <select> CWA 3011402: NPDES Permit Violations: NPDES Combined Sewer Overflows (CSO) or CWA 301/402: NPDES Permit Violations: NPDES-Sanitary Sewer Overflow (SSO) or CW A 301/402: NPDES Permit Violations: NPDES- Stormwater-MS4
  • Complying Action Category Type: <select> Reduction of Ongoing Releases
  • Complying Action Type: <select> Green Infrastructure Enabling Language
  • Units: <select> Dollars
  • Amount: <enter> "0"
  • Pollutant Name: <"Contaminated water"
  • Media: Water (navigable/surface)

 

  • ICIS Muni Green Infrastructure Report

A new ICIS report to capture GI data entitled, "Muni Green Infrastructure Tracking Report, "has been posted in the "Federal Enforcement and Compliance Reports/National Standard Reports" folder.

 

                                             vii.      Integrated Planning Reporting for Municipal Cases

Beginning in FY 2014regions are requested to report in ICIS the number of enforcement case conclusions which EPA determines to have integrated planning remedies consistent with EPA’s Integrated Municipal Stormwater and Wastewater Planning Approach Framework. Most of the cases involved would be municipal NPDES CSO, SSO and MS4 enforcement cases initiated by EPA.

The threshold for this “IP bean” is not the submission of a plan by a defendant, but rather a determination by EPA that the conclusion meets the intent of the Integrated Plan Framework (with or without a plan). The Regions should input the data into ICIS for any cases concluded during FY 2014 determined to have integrated planning remedies consistent with EPA’s Framework.

It is possible that in some cases both Green Infrastructure and IP will be triggered and both should be flagged in relevant (but separate) ICIS fields. By using this approach, EPA will have a comprehensive count of cases involving IP, as well as a separate stand-alone count of green infrastructure initiated and concluded actions.

Data Entry

The “Integrated Planning Element” indicator has been added to the Administrative Formal Enforcement Action/Initiation Sub-Activity Screen, under the Sub-Activity Type data field. Once the IP determination is made and the case conclusion is flagged as such, the regions must select the “Integrated Planning Element” indicator from the drop down menu.

For questions regarding Integrated Planning (IP) reporting or the National Municipal Infrastructure Compliance and Enforcement Strategy, you may contact Amy Porter, at 202-564-2431, porter.amy@epa.gov, or Seth Heminway, at 202-564-7017, heminway.seth@epa.gov.

  1. b.      MS4 Phase 1

                                             i.            Reporting MS4 Phase 1 NEI Data for FY 14

In FY14, possibly before mid-year, we expect to transfer reporting for the MS4 segment of the Municipal Infrastructure NEI to ICIS.  Until this occurs, the regions should continue to input MS4 data to the MS4 spreadsheets that reside on the MuniData Quick Place.  Until the shift to ICIS is made, the Regions are responsible for assuring that these spreadsheets are timely updated, and for reviewing these spreadsheets for accuracy and completeness as part of the FY14 data certification process.

 

Following migration of the data in the MS4 Quick Place spreadsheets to ICIS, the regions will report all NEI addressing action activities to ICIS and will cease using the Quick Place spreadsheets.  The procedures for reporting this data to ICIS are generally the same as for CSOs and SSOs as described above – but, there are some differences:

 

a)      First, here are key MS4 facility definitions:

1)      Primary Permittee – The MS4 permittee that is designated by the Regions as the permittee that represents the entire “System” for tracking purposes for the MS4 universe spreadsheet and in the ICIS database.  The Primary Permittee must have a NPDES permit.  The Primary Permittee may be a single permittee without any Co-Permittees, or a permittee with Co-Permittees.

2)      Co-Permittee – All of the MS4 permittees/entities that are part of an MS4 “System” that are not the Primary Permittee.  Not all Co-Permittees necessarily have their own NPDES permit.

3)      System – The MS4 Primary Permittee plus all of the Co-Permittees associated with that Primary Permittee.

 

b)      When the MS4 data is migrated to ICIS from the Quick Place spreadsheets, each MS4 Phase 1 facility in the universe will have been flagged in ICIS (via the Universe Indicator field of the Facilities screen) as either an “MS4 Phase 1 Primary Permittee” or “MS4 Phase 1 Co-Permittee.”   (Note that there will rarely be any need (as with the other NEIs) for a region to add, delete, or make a change to an NEI flag).

1)      Each MS4 “Co-Permittee” that does not have an NPDES permit will have an “unpermitted facility” NPDES permit interest created for it in ICIS as part of the data migration.  This will allow that Co-Permittee to be associated with the Primary Permittee.

c)       Each Co-Permittee will be associated in ICIS (via the "Associated NPDES Permits" functionality in the ICIS-NPDES "NPDES Permits" module) with a Primary Permittee.  This will allow us to write an ICIS report that lists the MS4 Phase 1 Systems (the Primary Permittee + Co-Permittees).

d)      The addressing action types and no further action types for the MS4 NEI are listed below. 

1)      For an MS4 System to be considered addressed the Primary Permittee and each associated Co-Permittee must be flagged in ICIS with one of the addressing action or no further action types. 

                                                                                                                                      i)      Note in particular the no further action type, “Co-Permittee, No Action Taken” (shaded green, below).  This type is to be used to flag Co-Permittees that are part of a System that has been determined to have been addressed or for which no further action is warranted for which no compliance assessment was made.

2)      The “System Addressed” and “System No Further Action “ types (highlighted below in pink) are to be used to indicate that an MS4 System, in its entirety, has been addressed or that no further action is warranted.  This is done by creating a separate Compliance Determination record in ICIS, linked to the Primary Permittee, flagged with one of these two types.  This allows us to distinguish between instances where the Primary   Permittee has been addressed but the System is not yet considered addressed.

 

MS4 Phase 1 Addressing Action Types in ICIS

 

 

  1. Federal Final Administrative Compliance or Penalty Orders

 

 

  1. Federal Civil Judicial Complaint filed simultaneously with a CD

 

 

  1. Federal Civil Judicial Complaint filed without a CD

 

 

  1. MS4s- Phase 1 – System Addressed

 

 

 

MS4 Phase 1 No Further Actions Types in ICIS

 

  1. Other approved by WED DD

 

  1. Fed or State Evaluation determined no or minor violations

 

  1. Federal NPDES permits that comport with policies

 

  1. State equivalent enforcement action

 

  1. State NPDES permits that comport with policies

 

  1. MS4s- Phase 1 – System No Further Action

 

  1. MS4s- Phase 1 – Co-Permittee, No Action Taken

 

     
       

 

e)      MS4 NEI Compliance Determination Data Entry Examples

1)      Primary Permittee with No Co-Permittees:  An administrative compliance order is issued to address a MS4 Phase 1 Primary Permittee that has no Co-Permittees.  After entering the enforcement action record into ICIS the user will enter a compliance determination record for the facility selecting both “MS4 – Phase 1 - Federal Final Administrative Compliance and Penalty Orders” as the addressing action type, and “MS4s- Phase 1 – System Addressed” to show that this System now is considered addressed. 

 

2)      Primary Permittee with Numerous Co-Permittees:  In this case the Primary Permittee and Co-Permittees making up an MS4 Phase 1 System are addressed via three different mechanisms:

                                                                                                                                      i)      The Primary Permittee and two Co-Permittees are addressed through filing of a civil judicial complaint (w/o a CD).  To record this, a Compliance Determination record is created in ICIS that is linked to these three entities and the appropriate addressing action type is selected.

                                                                                                                                     ii)      Five more Co-Permittees are addressed by a determination that they have “no or minor violations.”  To record this, a second Compliance Determination record is created linked to these five entities and the appropriate no further action type is selected.

                                                                                                                                   iii)      Four more very minor Co-Permittees have “no action taken.”  To record this, a third Compliance Determination record is created linked to these five entities with the “Co-Permittee, No Action Taken” type selected.

3)      MS4 System:  Finally, when it is appropriate to indicate that the MS4 “System” as a whole is considered addressed, it is necessary to return to the Compliance Determination that includes the Primary Permittee and add the “MS4s- Phase 1 – System Addressed” addressing action type to this record.  This must be done whether the Primary Permittee has or does not have Co-Permittees.

 

f)       Once the migration of the MS4 data to ICIS has been completed, to create a Compliance Determination record in ICIS for a MS4 NEI facility that is addressed, or for which no further action will be taken, or against which an action has been initiated, follow the procedures set forth above for CSO/SSO (section 6.a.ii and iii), selecting the applicable MS4 initiated action, addressing action, or no further action type.

                                           ii.            Reporting MS4 NEI Activities to ICIS

MS4 NEI inspections, investigations, and enforcement actions must be entered to ICIS-NPDES.  Enforcement actions must be flagged in ICIS upon case initiation and conclusion as part of the Municipal MS4 NEI by selecting either WW-MS4s-Phase 1 or Phase II in the “OECA National Priority” data field on the Basic Info and Final Order screens.  MS4 NEI inspections and investigations must also be flagged in ICIS by selecting either WW-MS4s-Phase 1 or Phase II in the “OECA National Priority” data field on the Compliance Monitoring Information screen.

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