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Process for Collecting and Assuring the Quality of the FY2011 Data for the New OECA National Enforcement Initiative Website (10.06.2011)

Process for Collecting and Assuring the Quality of the FY 2011 Data for the

New OECA National Enforcement Initiative Website

10/06/11

 

Reasons for Requiring New End of Year Reporting for the National Enforcement Initiatives:

  • There is a new and significant need to assure that we have quality data at FY11 EOY for the National Enforcement Initiative (NEI) goals and measures – a new OECA Website which provides information about our NEI progress and accomplishments data will be made available to the public.  This Website is sure to be highlighted as part of FY 2011 Annual Results.
  • The data to be used for the OECA NEI Website is a small subset of the total data associated with all the goals and measures set out in the NEI strategies.  The data used for the NEI Web site must be collected at EOY and quality assured.
  • Some of the NEI data to be collected at EOY FY 2011 that will be posted to the new Website must be manually reported because it is not presently captured in OECA's national data system.
  • Further, some of the data (particularly the manual data) collected for reporting for the NEI Website will not be part of the OC EOY Data Collection/Certification process.  As such, a process is needed for collecting or quality assuring the NEI data at EOY [though the Strategic Implementation Teams (SITs) have been making some preparations for collecting data.]
  • OC has discussed with the NEI SITs the mechanisms to be employed to collect the NEI Website measures data. The manual data will be collected via spreadsheets populated by either the regions or SITs. Other NEI data will be obtained from the national data systems.

FY 2011 EOY NEI Data Collection:

  • The NEI data to be collected for EOY FY 2011 is the data needed to populate the graphs and maps to be displayed on the OECA NEI Website.  Some of this data will reside in one of OECA’s national data systems.  Some of this data will be collected manually using spreadsheets.
  • A listing of the data that we are planning to display on the OECA NEI Website is set forth in the table below.  Not all decisions on the content of the Website have been finalized, therefore this table is still tentative.

Tentative Listing of Data To Be Collected and QAed for NEI Website:

National Initiative

NEI Website Chart or Map

Data Needed for Chart or Map

Data Source

Mineral Processing

Map of locations of the Highest Risk MP facilities, color coded to show which are under an enforceable order to comply.

All facilities making up the highest risk MP facilities and those addressed

Manual Spreadsheet

Mineral Processing

Progress graph Highest Risk MP facilities, showing # of facilities inspected and # addressed - baseline FY08-10 and FY 11

# of facilities inspected and # addressed - among highest risk MP facilities

Manual Spreadsheet

Mineral Processing

Progress graph of 20 Highest Risk Phosphoric Acid facilities, showing # of facilities inspected and # addressed - baseline FY08-10 and FY 11

Addressed # of Facilities among the 20 highest risk Phosphoric Acid facilities

Manual Spreadsheet

 

 

 

 

Municipal

Map of locations of 199 large CSOs indicating which are and which are not addressed, current thru FY 11

Locations and LTCP status of all facilities making up the 199 large CSOs.

Manual Spreadsheet

Municipal

Progress graph of 199 large CSOs showing number inspected and number addressed, FY1998 - 2010 baseline and FY 11

# of large CSOs addressed 1998 thru FY10, and FY 11.

Manual Spreadsheet

 

 

 

 

CAFO

Map of large CAFO operations overlaid with locations of CAFO inspections and enforcement action conclusions FY 2008 - 2011

All CAFO facilities inspected by EPA and/or w/ concluded EPA enforcement action -
overlaid on map of US showing CAFO density

OW/US Dept of Ag, ICIS, and PCS

CAFO

Graph of NPDES permitted CAFOs vs. Non-NPDES permitted CAFOs by state

# of permitted CAFOs and # of unpermitted CAFOs by state

OW

CAFO

Graph of CAFO inspections FY 2008-2011  - showing annual and cumulative inspection #s

# of CAFO facilities inspected by EPA FY08-11

ICIS and PCS

CAFO

Graph of CAFO concluded enforcement actions FY 2008-2011  - showing annual and cumulative enforcement action conclusion #s

# of CAFO facilities with a concluded EPA enforcement action FY08-11

ICIS

 

 

 

 

NSR/PSD

Map of locations of all Coal Fired Electric Utility facilities and an indication of which are “controlled” - under a CD or with sufficient physical controls in place

Location of all Coal Fired Electric Utility facilities in the U.S.  Identification of which of these are “controlled.”

Manual Spreadsheet

NSR/PSD

Progress graph showing # of coal fired electric power plants investigated and “controlled” - Baseline FY99-2010 and FY 11

All Coal Fired Electric Utility facilities investigated and “controlled”

Manual Spreadsheet

NSR/PSD

Line graph showing SOx and NOx total annual emissions from all coal fired electric power plants from  FY 99 thru FY 11

SOx and NOx total emissions from all Coal Fired Power Plants FYs 99 -11

EPA Acid rain data base.

NSR/PSD

Graph showing SOx and NOx reductions from EPA NSR/PSD Coal Fired Power Plant enforcement actions

SOx and NOx emission reductions from EPA NSR/PSD Coal Fired Power Plant enforcement actions

Manual Spreadsheet

NSR/PSD

Progress graph showing # of Cement Plants investigated and # “controlled.” - Baseline FY08-2010 and FY 11

All Cement Plants investigated and controlled

Manual Spreadsheet

NSR/PSD

Progress graph showing # of Acid Plants investigated and # controlled - Baseline FY08-2010 and FY 11

All Acid Plants investigated and controlled

Manual Spreadsheet

NSR/PSD

Progress graph showing # of Glass Plants investigated and # controlled - Baseline FY08-2010 and FY 11

All Glass Plants investigated and controlled

Manual Spreadsheet

NSR/PSD

Graph of NOx and SOx emission reductions achieved from all acid, cement, and glass plants NEI Consent Decrees  - Baseline FY08-2010 and FY 11

NOx and SOx reductions from Acid, Cement, and Glass Plant concluded cases, broken out by sub-initiative, for FYs 08 - 10 and for FY 11

Manual Spreadsheet

 

 

 

 

Air Toxics

Map of FY 08 -11 Air Toxics inspections and enforcement action conclusions

Locations of Air Toxics NEI inspections and concluded enforcement actions FYs 08-11

ICIS and AFS

Air Toxics

Graph of number of Air Toxics NEI inspections FYs 08-11

# of FY 11 Air Toxics NEI inspections FYs 08-11

ICIS and AFS

Air Toxics

Graph of number of Air Toxics NEI enforcement action conclusions FYs 08-11

# of Air Toxics NEI enforcement action conclusions FYs 08-11

ICIS

 

 

 

 

Energy Extraction

Map of natural gas production fields overlaid with FY 11 Energy Extraction inspections and enforcement action conclusions

Locations of FY11 EE inspections and concluded enforcement actions

DOE and ICIS

Energy Extraction

Table showing total numbers of  FY 11 EE NEI inspections, enforcement actions conclusions, and penalty $s and pollutant reductions

# of FY 11 EE NEI inspections enforcement action conclusions, pollutant reductions and penalties

ICIS

Process for Collecting NEI Data for EOY:

  • General NEI Data Collection Process:
    • ·    All NEI data collected for EOY FY 2011 will include lists of activities, e.g., inspections, addressing actions, etc.  We will collect data in the form of lists of activities supporting total numbers.  For data maintained in the national data systems, these lists will be generated from the data system.  For other (“manual”) data, the data will be maintained in NEI-specific Excel spreadsheets or, for the Muni Sit, on a Quickplace spreadsheet.
    • ·    The NEI data collection and QA process will be very closely coordinated with the standard FY 2011 EOY Data certification, in both timing and process.
    • ·    The Office of Compliance SIT representative will have the lead for the SIT to assure that the data collection and QA process set forth in this document is successfully implemented.
  • ·    NEI Data Collection and QA Steps

1.   The NSR and Mining and Mineral Processing (MMP) SITs review their spreadsheets and then provide them to the Reporting and Analysis Branch who will post them for the Regions to review.  OC will post the NEI data from the national data systems to the regions and SITs for review (as part of the standard Data Certification process). (October 21, 2011)

2.   The regions review the NEI data provided by OC, and the manual NSR, MMP, and Municipal CSO spreadsheet data.   At the same time that the regions are conducting their review of the NEI data, the SITs will also review the NEI data in the Certification Workbook (provided to them by OC) and the Muni CSO spreadsheet data, and discuss any issues with the regions.  The regions will raise with OC (automated data) or the SIT (manual data and, possibly, automated data) any significant issues they identify.  (October 21-28, 2011)

3.   Regions provide comments on the NSR, MMP, and Muni CSO spreadsheets to the SITs, and other corrections to the Certification Workbook to OC (as part of the standard Data Cert process), and the DRA's certify to the correctness of the region’s comments on the NSR, MMP, and Muni CSO spreadsheets and the NEI data in the national data systems.  (October 28, 2011)

4.   OC provides the regions’ NEI data corrections to the Certification Workbook NEI worksheets to the SITs, along with the data system reports with lists of activities.  With assistance from OC, the SITs review the regions’ corrections to this data, and to the manual spreadsheets, and resolve any issues through discussions with the regions.  (October 28-November 4, 2011)

5.   The SITs provide final, corrected NEI data to OC by returning a final version of the certification workbook pages (with all issues resolved) and providing a final version of the spreadsheets.  (November 4, 2011)

 

  • SIT Specific NEI Data Collection Process (varies somewhat by Initiative):

1.   Municipal NEI:

  • Regions populate CSO facility universe and addressed data into a spreadsheet that has been posted by the SIT on a QuickPlace site.  Data must be completely entered into the CSO spreadsheet by October 13.
  • The SIT retrieves the regions’ CSO data from the QuickPlace site.
  • The SIT reviews the CSO data for completeness and accuracy and assures that OCE/WED is in agreement with all facilities identified as “addressed.”
  • The regions review the CSO data in their spreadsheet and provide proposed corrections to the SIT. 
  • The SIT reviews proposed corrections received from Regions and issues the SIT has identified and, with RAB support, resolves them.
  • The CSO data review is completed and the SIT provides final CSO data/spreadsheets to OC/PMOD by November 4, 2011.

2.   NSR/PSD

  • The SIT compiles facility universe and other relevant data into manual spreadsheet(s).  Data must be completely entered by the SIT into the spreadsheet(s) by October 13.
  • The SIT reviews the spreadsheet for completeness and accuracy and provides the spreadsheet to the Reporting and Analysis Branch (RAB) to post for the Regions to review.
  • The Regions review the spreadsheet data and provide proposed corrections directly to the SIT (manual data).
  • The SIT reviews the proposed corrections received from Regions and, with RAB support, resolves any issues.
  • The NEI data review is completed and the SIT provides final data to OC/RAB and OC/PMOD by November 4, 2011.

3.   Mineral Processing NEIs:

  • The SIT compiles facility universe and addressed data into manual spreadsheet(s).  The SIT also obtains lists of relevant data from the national data systems.  Data must be completely entered by the SIT into the spreadsheet(s) (and by the Regions into the ICIS data system) by October 13.
  • The SIT reviews the NEI data (spreadsheet and data from national databases) for completeness and accuracy and submits the spreadsheet to RAB to post for the Regions to review. (October 14-20)
  • The Regions review the data and provide proposed corrections either directly to the SIT (manual data) or, through the data certification process (automated data), to RAB - which then passes the relevant NEI data and proposed corrections on to the SIT.
  • The SIT reviews proposed corrections received from Regions (directly and via the data certification process) and, with RAB support, resolves any issues.
  • The NEI data review is completed and the SIT provides final data to OC/RAB and OC/PMOD by November 4, 2011.

4.   CAFO, Air Toxics, Energy Extraction NEIs (all data in national data systems):

  • The SIT obtains lists of data (inspections and concluded enforcement actions) from national data systems as applicable.  Data must be complete in the data systems by October 13.
  • The SIT reviews NEI data for completeness and accuracy.  RAB transmits data (in the Certification Workbook) to the Regions for review.
  • The Regions review data and provide proposed corrections through the data certification process to OC - which then passes the data and proposed corrections on to the SIT.
  • The SIT reviews proposed corrections received from Regions and, with RAB support, resolves any issues.
  • The NEI data review is completed and the SIT provides final data to OC/RAB and OC/PMOD by November 4, 2011.

Locational Data for NEI Website Mapping:

  • Data to be mapped on the NEI Website that needs associated locational information (lat./long.) is a special case.  
  • Locational information will be needed for facilities/sites associated with some NEI activities, e.g., addressing actions, enforcement actions, inspections, etc.  Exactly what locational data is needed for each Initiative will depend on what data, if any, is being mapped for that Initiative.
  • OC will work directly with the Regions to assure that all locational data needed for the NEI Website maps is complete and accurate.  The Regions and SITs will need to be responsive to this data quality need as a component of the EOY DQ process.  The OC contact for assuring the quality of NEI locational data for mapping is Dan Klaus (202/564-7757).

Timeline for Reporting NEI Data for EOY FY 2011:

  • The time line for reporting on the NEIs and for undertaking this quality assurance process will follow the timeline for the general EOY OC data collection/certification process: 

Supplementary Timeline for National Enforcement Initiative Data Collection and

Quality Assurance for EOY FY 2011

Date

Action:  NEI Data Subject Collected Through OC Data Certification Process1

Action:  Manual NEI Data NOT Collected through OC Data Certification Process

October 13, 2011

Final date for FY 2011 data entry to National Data Systems.

Final date for FY 2011 NEI data entry to Muni manual spreadsheet.

October 14, 2011

EOY data is pulled by OC from National Data systems

NEI manual spreadsheets of activities/results to be used for the NEI Website are reviewed beginning on this date.

October 14 - 20, 2011

OC/RAB populates the Data Certification Workbooks in prep for Regional review

SITs QA review NEI manual data lists in preparation for OC providing them to Regions for Final QA.

October 21, 2011

Populated Cert Workbooks are provided to the Regions; SITs are provided with the data system reports with NEI data.

NEI manual data lists are posted by OC for the Regions to review.

October 28, 2011

DRA submits signed certification form and certified data workbook to OC/RAB; DRA certification includes assurance of the reliability of all NEI data reported, including NEI data from the national data systems and manual NEI data.

NEI manual data comments are returned by Regions to SITS; DRA certification includes assurance of the reliability of all NEI data reported, including NEI data from the national data systems and manual NEI data.

October 28 –

November 4, 2011

OC and other OECA offices review and finalize data certification workbooks; SITs review NEI data certification workbooks and report results to RAB and PMOD.

SITs review proposed changes to the lists submitted by Regions and finalizes manual NEI data lists.  SIT provides final data to RAB and PMOD.

November 7, 2011

OC review of Certified Data for OECA Annual Results Web site (and briefings) completed (except Tier 3 data).  RAB provides NEI data to PMOD/Michele McKeever.

RAB provides final NEI manual spreadsheets to PMOD/Michele McKeever.

 

Contact:

Any questions on this guidance may be directed to Daniel Palmer, OC/PMOD (202/564-5034).

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