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Guide for Reporting on the OECA National Enforcement Initiatives (NEIs) for EOY FY 2012 and a Preview of Reporting in FY 2013

June 29, 2012

Following is the agreed plan for NEI reporting for EOY FY 2012 - and for FY 2013 where the path forward is fairly clear.  Please review the Word document attached above for full information.

 

The plan for FY12 reporting is different for each NEI.  A separate description for FY12 reporting for each NEI is provided below.

1.     NSR/PSD NEI

 

For FY12, the source of data for the coal fired power plant portion of the NSR/PSD NEI and the cement, acid and glass portions will be different, as described below.  (Note:  In FY13, we expect to get all or most of the data for this NEI from ICIS.)

a.     Coal Fired Power Plants

For EOY FY 12 like FY 11, all data on the Coal Fired Power Plant component of the NSR/PSD NEI will be obtained from the manual spreadsheet maintained by Shaun Burke, OCE/AED (including facility universe information, and facility investigation initiated and controlled status).  Therefore, the process for maintaining and quality assuring the data will be the same as at EOY FY 11 and MY FY12: 

 

i.  The Regions should provide Shaun with timely updates on NSR/PSD NEI activities at coal fired power plants, including investigations, enforcement actions, and controlled/no further action determinations.

ii. At EOY FY 12, the regions will review the manual spreadsheet for accuracy and completeness, resolve any issues, and then certify that the data in the spreadsheet is correct.

Note that the existing requirement to enter all NSR/PSD investigations into AFS continues.   Counts of NSR investigations are obtained from AFS.

For FY 13, our intent is to add data fields to ICIS to allow reporting of the # of units per facility, the number of units controlled at the facility, and megawatt output of the facility.  With these data fields added and populated, we will be able to obtain most or all of the data for the Coal Fired Power Plant component of the NSR/PSD NEI from ICIS. 

b.     Cement, Acid, and Glass

Most of the data for the Cement, Acid, and Glass components of the NSR/PSD NEI will come from ICIS for EOY FY12.  This includes the universe, the facilities controlled, and NOx/SOx reduction data.

i.  Universe Data

To create the NSR/PSD cement, acid, and glass universes in ICIS, the universe information from the spreadsheet maintained by Shaun Burke (e.g., the facilities identified in the spreadsheet as being part of the glass plant universe) will be loaded into a new universe data field in the ICIS Facilities module.  This upload will occur as soon as possible in June 2012.  Each facility that is part of each universe will be identified using the new data field with a flag that indicates that the facility is part of the NSR/PSD Cement, Acid, or Glass universe.  The universe information that will be uploaded to ICIS will be based on the universe as it existed at MY FY12.

Because the NSR/PSD Cement, Acid, and Glass universes will be uploaded into ICIS we do not foresee any need to manually populate this data field.  Any adjustment to the 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 will also be uploaded into ICIS from Shaun’s spreadsheet.  This data, current through MY FY12, will be uploaded into several new NEI data fields in the ICIS Compliance Determination module at the same time that the universe information is populated into ICIS.  

Any controlled/no further action determinations made after MY FY12 will need to be entered by the region into the ICIS Compliance Determination module. 

To manually enter a NSR/PSD 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 correct facility.

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 regions 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 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 enforcement action record 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 and 12 from ICIS.  For cases concluded in FYs prior to FY11, the data source will continue to be Shaun’s spreadsheet.  The FY11 and 12 data will be obtained from the Enforcement Action Module in ICIS, from the NSR/PSD NEI enforcement cases that:  a) concluded in FYs 11 and 12 (CD entered, final AO issued), 2) were flagged in ICIS with the corresponding NSR/PSD NEI flag in the Enforcement Action National Priority field, and 3) had pollution reductions of SOx and/or NOx entered into the ICIS Complying Action/Injunctive Relief screen.

 

The regions will have to review the NOx and SOx pollutants reduced data for FYs 2011 and 2012 to assure that it is complete and accurate.  OC will assist by providing a report that displays this information.

iv.            Investigations

All NSR/PSD Cement, Acid, and Glass NEI investigations initiated in FYs 11 and 12+ must be entered into ICIS.  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.  (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 investigation initiation to ICIS, follow these steps:

1.     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 correct 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. If it has the correct NEI flag, then select the “Compliance Monitoring” tab at the top of the screen. 

2.     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 screen.

3.     On the Compliance Monitoring data screen:

a.     Enter the Region; 

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

c.     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 know;

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

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

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

g.     Enter the OECA National Priority (2011 or 2012 - NSR/PSD - Cement or Nitric acid plants or Sulfuric Acid Plants or Glass manufacturing);

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

4.     If a Compliance Determination is also to be created for this case/facility, select the “Add Compliance Determination” button at the bottom of the screen to create a compliance determination record that will be linked in ICIS to this investigation.

2.     Air Toxics NEI

a.     Enforcement Action Data

As was the case for EOY FY 2011, for EOY FY 12 the Air Toxics NEI concluded enforcement action data will be pulled from the ICIS Enforcement Action module.  All concluded cases flagged 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. 

b.     Evaluation Data

As at EOY FY11, all Air Toxics NEI evaluation data will be pulled from the AIRS/AFS data system.  It will be pulled from AFS based on selection of the proper Air Toxics NEI coding.   In addition, for EOY FY 12 we will begin mapping the facilities at which Air Toxics NEI evaluations have been conducted.  Because AFS does not have data fields for latitude and longitude, we will obtain the locational data for the Air Toxics NEI evaluations using OTIS (Online Tracking Information System).  For any instance in which OTIS does not return a usable lat/long, this information will have to be obtained manually from the region.

c.     Addressed/No Further Action Determination Data

The Regions should continue to enter Air Toxics addressing action data into AFS for FY2012.

d.     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 flagged with the Air Toxics NEI flag in the ICIS Enforcement Action National Priority fields.  The regions also will need to review the Air Toxics NEI evaluation and enforcement action data from AFS and ICIS for accuracy and completeness as part of the FY12 EOY data certification process.

3.     Energy Extraction NEI

a.     Inspection/Evaluation and Enforcement Action Data

All 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.  Inspections/ evaluations and enforcement actions that are flagged in ICIS with the EE NEI flag will be counted toward the NEI and the associated facilities will be mapped.   Regions must assure that all EE NEI inspections and enforcement actions are entered into ICIS and are properly flagged with the EE NEI flag.  The regions also will need to review the EE NEI data from ICIS for accuracy and completeness as part of the FY12 EOY data certification process.

b.     Addressed/No Further Action Determination Data

The number of addressing actions is a core measure in the EE NEI Strategy: 

 

“Annually through FY 2013, address 180 land-based natural gas extraction and production activities (nationwide) that may be causing or contributing to air and/or water contamination.”

 

With this in mind, the EE NEI SIT requests that the regions enter into ICIS a compliance determination record for all facilities that the region has “addressed” under the EE NEI in FY 12.  Consistent with the definition of "addressed" in the EE NEI Strategy, this includes entry to ICIS of determinations that no further action is necessary.

 

The EE NEI SIT also requests that the regions submit lists of the facilities that were addressed in FY11 where there was a determination of "no further action.”  The SIT will rely upon the enforcement action information already entered into ICIS for the lists of facilities addressed through the other categories of addressing actions--issuing an administrative order or administrative penalty order, or referring a case to the Department of Justice.  The list of facilities with a FY11 no further action determination should be submitted directly to the SIT in accordance with instructions that were provided by the SIT in a memo dated December 21, 2011 (see Attachment A).

 

To enter an EE NEI Addressed/No Further Action Determination into ICIS for an addressing action or no further action determination made in FY 2012 forward:

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:

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 either:

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

b.     a Facility No Further Action Type(the EE No Further Action Type))

7.     Enter either:

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

b.     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 controlled 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 record 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.

4.     CAFO NEI

a.     The CAFO SIT recommends three (3) components to CAFO NEI reporting:

i.  Manual “Important CAFO” Spreadsheet

  • One of the biggest challenges in this CWA program area is EPA’s lack of national CAFO universe information.  Information manually entered by each region into the CAFO NEI spreadsheet maintained on a “Quickr” site will allow 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 will support the sub-goals in the NEI Strategy by creating an aggregated national CAFO universe of “important CAFOs” that will serve as the denominator needed for OECA to be able measure and report progress (both internally and externally on OECA's NEI web site) in this NEI program area.  The spreadsheet will be reviewed as part of OECA’s existing EOY data certification process.
  • Regions are asked to enter facility-specific data into the manual spreadsheet for each of the facilities the region has identified as an “important CAFO” under the CAFO NEI Strategy.  For FY2012, 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 still need to enter federal CAFO inspections into ICIS-NPDES or PCS and federal CAFO enforcement actions into ICIS.) Regions will access their individual spreadsheet on Quickr to input this data.
  • Regions have until August 30, 2012 to identify all of the “important CAFOs” that will constitute the Region’s “important CAFO” universe for EOY FY2012 measurement purposes.  In FY 2013, the regions will have until November 30, 2012 to identify any additional CAFOs to add to the Important CAFO universe.  After November 30, the “important CAFO” universe will be considered final and “locked” against further changes for the remainder of the NEI Strategy cycle.
  • The “addressing actions” at "important CAFOs” that count toward the NEI Strategy sub-goals are:  Federal enforcement action (i.e., civil judicial complaint filed with or without a consent decree, administrative order issued or complaint filed, or final administrative penalty order issued), 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.”
  • To document progress in achieving the goals, OECA anticipates regions will input facility-specific data for their “important CAFOs” in the manual spreadsheet on Quickr and will enter and certify CAFO inspections, enforcement actions, and addressing actions that occurred in FY2010/2011 through FY2012.
  • OECA anticipates that the use of the spreadsheet on “Quickr” for tracking EPA activities will be in effect for FY2012 only while OECA creates the “Important CAFO” universe.  Early in FY2013, OECA will upload the information from the spreadsheets into ICIS. OECA may still need to rely on use of an abbreviated version of the manual spreadsheet to track state CAFO inspections, enforcement actions, and addressing actions at “important CAFOs” but OECA is also examining alternatives for capturing these state activities in ICIS.

 

 (See Attachment)

 

Example of the “Important CAFO” spreadsheet:

ii. ICIS Data Entry

In FY2013, OECA will rely almost exclusively on data directly reported into ICIS for tracking the CAFO NEI. New ICIS enhancements will facilitate automated tracking in ICIS of federal/federal-led inspections, enforcement actions, and “addressing actions” 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”).  OECA/OC will provide training and guidance on use of the new ICIS data fields before the regions are required to implement them. After the manual spreadsheets are finalized and certified by the regions as part of OECA’s normal reporting process at the end of FY12, data collected on the universe and addressing actions will be uploaded by OECA into ICIS.  Regions will be responsible for directly entering into ICIS any new compliance or enforcement information at “important” CAFOs that occurs in FY2013. 

b.     Concluded Federal Inspection and Enforcement Actions

 As was done in FY2011, in FY2012 OECA will 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 pulled from ICIS and PCS.  To be counted, these activities must be properly identified in the data system, using the CAFO NEI data “flag” in ICIS, and using one of the CAFO inspection types in PCS.  This data will be reviewed as part of the existing data certification process.

c.     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 semi-annual progress reports a list of the facility-specific names of the “non-important” or “other” CAFOs/AFOs counted.

d.     Revised ACS Progress Report Commitment

Beginning in FY 2012, the CAFO SIT is revising the format for semi-annual progress reports for the CAFO NEI.  Instead of a lengthy narrative report, the Regions should update the “important CAFO” Quickr spreadsheet at end-of-year (and at MY and EOY FY for 2013+ if the spreadsheet continues to exist), and if appropriate, submit a short narrative report 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 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 semi-annual progress report.

e.     State CAFO Performance Information

What information will be collected on overall state performance related to CAFOs and then reported on OECA’s NEI public website is not yet resolved. Information will be provided to the regions on this decision.  If the regions will be a data source for any of the state performance data to be reported, this will also be communicated.

5.     Mining and Mineral Processing NEI

Data for the Mining and Mineral Processing (MMP) NEI will be reported for FY 12 partially from ICIS and partially from the manual MMP spreadsheet maintained by OCE/WCED (Van Housman).  ICIS will be the data source for the Mineral Processing and Phosphoric Acid universes and for the Addressed/No Further Action status of the facilities in these universes.  The MMP manual spreadsheet will continue to be the data source for MMP inspection data.

a.     Universe Data

The Mineral Processing and Phosphoric Acid universes will be loaded into ICIS in June 2012.  No manual work by the regions to create this universe is expected.  The universes will be created using the manual spreadsheet maintained by Van Housman.  Each facility that is part of each MMP universe will be identified using a new data field the ICIS Facilities module with a flag that indicates that the facility is part of one of the MMP universes.

Because the MMP universes will be uploaded into ICIS we do not foresee the need to manually populate this data field.  Any adjustment to the universes of MMP facilities would have to be pre-approved by the MMP NEI SIT.

b.     Addressed Status Data

At the same time that the universe data is uploaded to ICIS from the manual spreadsheet, the Addressed/No Further Action status of the facilities in the MMP universes will be uploaded.  This data will be uploaded into new data fields in the ICIS Compliance Determination module based on the data reported at FY12 Mid-Year. 

Any MMP Addressed/No Further Action determination that occurs after mid-year FY12 must be manually entered by the regions into the Compliance Determination Module.  

To enter a MMP NEI Compliance Determination into ICIS:

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

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

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 MMP sub-NEI/Addressing Action Type); or

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

g.     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)

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 addressed or no further action is warranted)

i.      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 record 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.

 

c.     Inspection Data

Inspection data on the facilities in the MMP universes will not be available from ICIS for FY2012.  The database of record for RCRA hazardous waste inspections is RCRAInfo.  MMP NEI inspections may or may not also have been entered into ICIS (historically, this data has been entered to ICIS for ICDS tracking purposes).  Rather than require double data entry to RCRAInfo and ICIS, we will continue to track the inspections using the manual spreadsheet until other options have been considered.  The regions should contact Van to inform him of each MMP inspections initiated so that he can input this information into the spreadsheet.

6.     Municipal NEI

 

For EOY FY 12, all Municipal NEI data will be pulled from the CSO, SSO, and MS4 manual spreadsheets that have been created by the SIT, reside on the MuniData Quick Place, and are being maintained by the regions.  The Regions are responsible for assuring that these spreadsheets are timely updated, and for reviewing the spreadsheets for accuracy and completeness as part of the FY12 EOY data certification process.

For FY13, Municipal NEI data for CSOs and SSOs will be uploaded from the manual spreadsheets into ICIS (including universe, addressed status, and initiated status) and ICIS will be used for future tracking of these universes, in FY13 and forward.  As for MS4s, difficulties have been identified with using ICIS to track the universe, particularly the addressed status of co-permittees so Regions may need to continue to maintain the MS4 spreadsheets in FY13.  Discussions are continuing about whether and how ICIS might be adapted to capture MS4 data at some point in the future.

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