Procedures for Counting NPDES Oversight Inspections in FY 2007
- A State agency and the EPA should not both enter into PCS or ICIS-NPDES a comprehensive compliance inspection (ICIS-NPDES inspection types -- CEI, PAI, DI, CSI, CDI, CBI, XSI; PCS codes "!"for pretreatment compliance-oversight and "O"for compliance evaluation inspection- oversight) at the same facility on the same day. Rather the state should enter a comprehensive inspection and the EPA should enter an oversight inspection".
NOTE: In PCS the Inspector Code (INSP) is not part of the key of an inspection record, so if there was an attempt to put in a second inspection record with the same NPID, Inspection Type (TYPI), and Inspection Date (DTIN), then the transaction would be rejected with the message "Record already on File". However, PCS does not prevent a state or region from entering a different date (e.g., one day later than the first inspection) so that the second record would be accepted and stored in the database. Regions and states should NOT use this data entry procedure.
- For NPDES Majors: In instances in which the State agency is the lead and EPA is conducting an oversight inspection:
- The state inspection counts as a compliance inspection and is counted toward the inspection NPDES majors coverage metric
- The EPA inspection is counted as an oversight inspection (assuming it is coded correctly into PCS or ICIS-NPDES, and the region prepares a state oversight inspection report that includes findings, observations, conclusions from the review of the State inspection). The Region should send the oversight inspection report to the state manager responsible for the NPDES inspection program.
- For NPDES Minors: In instances in which the State agency is the lead and EPA is conducting an oversight inspection:
- The state inspection counts as a compliance inspection
- The EPA oversight inspection does not count towards the NPDES majors coverage metric but does count in total count of Federal inspections as well for the ACS metric "Federal Oversight inspections" (CWA03). The EPA oversight inspection should be coded correctly into PCS or ICIS-NPDES, and the region should prepare a state oversight inspection report that includes findings, observations, conclusions from the review of the State inspection and send the oversight inspection report to the state manager responsible for the NPDES inspection program.
- Separate EPA and State NPDES Inspections: When EPA conducts an oversight inspection on a different day than the State compliance inspection (generally after the State conducts their inspection), the above procedures still apply.
The following bullets explain why the above procedures apply:
- PCS and ICIS-NPDES reporting generally attempts to avoid double counting, but not in all cases. The data systems allow both the State and EPA to enter comprehensive inspections at the same facility during the fiscal year. Here is how they are counted
- ACS CWA 01 is "Federal Inspection Coverage NPDES Majors". This metric is pulled at end of year and it is included in the EOY reporting workbooks. Any comprehensive EPA inspection conducted (only one count per facility) during the fiscal year is counted for this metric. EPA oversight inspections are excluded from the metric.
- ACS CWA 01.s is "State Inspection Coverage NPDES Majors". This metric is pulled after the EPA inspection data when the state data becomes available. This metric counts any comprehensive State inspection conducted (only one count per facility) during the fiscal year.
- Therefore, if both the EPA and the State conducts a comprehensive NPDES inspection unrelated to each other, and presumably at different times during the fiscal year, the inspection will be counted in both CWA 01 and CWA 01s.
- HQ also pulls data for the National Enforcement Trend (NET) charts and one metric is the "EPA and State combined inspection coverage metric". For that metric, a facility inspected by both the EPA and State will only get counted once.
- To the extent that the oversight inspection occurs in the same fiscal year as the state inspection, the Regions should not enter a comprehensive inspection, but rather enter these as oversight inspections. The PCS and ICIS-NPDES data system business rules prevent entering more than one comprehensive inspection on the same day at the same facility.
- EPA oversight inspections cannot be counted as a coverage inspections since the specific purpose of the oversight inspection is to determine whether the State performed an adequate inspection and whether the state made similar observations and had similar findings compared to the EPA inspection. The purpose of the oversight inspection is not to determine compliance.
NOTE: Similar language in the files below will be added to the FY 2008 National Program Managers Guidance under the CWA Core Program section.
Process For Entering and Retrieving EPA NPDES Oversight Inspections inPCS:
(See Attachment 1)
Process For Entering and Retrieving EPA Oversight Inspections inICIS-NPDES:
(See Attachment 2)