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Updates and Clarifications for FY 2013 End-of-Year Enforcement and Compliance Reporting and Certification

September 26, 2013

 

 

MEMORANDUM

 

 

SUBJECT:    Updates and Clarifications for FY 2013 End-of-Year Enforcement and Compliance Reporting and Certification

 

FROM:           John Dombrowski, Director /s/

                        Enforcement Targeting and Data Division

                        Office of Compliance

 

TO:                 Regional Enforcement Division Directors

                        Regional Enforcement Coordinators

                        OECA Office Directors

                       

 

This memorandum highlights upcoming reporting deadlines, discusses recent changes to ICIS and the FY 2013 Certification Process, and emphasizes areas requiring special attention.  With your participation and support we will have a successful end-of-year (EOY) enforcement and compliance data certification and ensure that the certified data we use to plan, measure, and report on our program is complete and accurate.

 

To prepare for EOY reporting and certification please ensure that you and your personnel have current access to ICIS.  The approach to managing user access to ICIS changed on August 2, 2013, so it is imperative to confirm as soon as possible that there are no access problems.  Information on the new ICIS Web Access Management (WAM) approach is attached.

The process for EOY 2013 reporting and certification is similar to the mid-year certification process.  One notable exception to the schedule concerns the entry of final data in CERCLIS for FY 2013 accomplishments.  Due to the upcoming decommissioning of CERCLIS, all final CERCLIS data entry (including corrections) must be completed no later than October 15, 2013.  After that date, all CERCLIS user access roles will be converted to “read only” with no ability to add, edit, or delete CERCLIS data.  Regions will still be able to view screens and run reports in CERCLIS, but reports will only reflect data as of October 15, 2013.  The FY 2013 EOY reporting and certification schedule is attached and the entire FY 2013 Reporting Plan may be viewed at: http://intranet.epa.gov/oeca/oc/etdd/reporting/fy2013/index.html

Most of the data quality review can be completed utilizing the features of OECA Suite of Measures Summary (OSMS).   However, if more detailed action-specific data is desired, all ICIS reports are still available and regions may run and review any specific ICIS reports that contain data requiring more scrutiny.   During the EOY FY 2013 certification process, OECA will run preliminary RCRAInfo and CERCLIS reports and post them to Data Depot for regional review.

 

By October 23, 2013, Deputy Regional Administrators and OECA Office Directors must certify that all FY 2013 data in the national database systems are accurate and complete, and transmit all manually reported numbers to John Dombrowski, Director, ETDD, OC (dombrowski.john@epa.gov), and Sara Ager, Team Leader, Reports Team, (ager.sara@epa.gov).  The FY 2013 certification form may be found at:  http://intranet.epa.gov/oeca/oc/resources/etdd/reporting/fy2013/reportingplanfy13-attachment6b-fy2013endofyearcertificationform.pdf

 

OECA will run the final FY 2013 reports on October 24, 2013.  The final data will be used to populate OSMS with the certified FY 2013 information.  EOY reporting for FY 2013 will be concluded by late October.  EPA will then submit GPRA numbers to the Office of Management and Budget and will likely make the Annual Results enforcement and compliance information publically available on EPA’s website in mid-November.  The attachment to this memorandum provides more specifics about the schedule and also provides details about all ICIS reporting information that has changed since the FY 2013 Reporting Plan was issued in April. 

 

If you need additional information or assistance regarding the FY 2013 EOY reporting and certification process, please contact Sara Ager, Team Leader, Reports Team at (202) 564-7968 or ICIS User Support at (202) 564-7756.  Thank you for your dedication to ensuring that the information we use to plan, measure, and report on our program is timely, complete, and accurate.

 

cc:  OECA Division Directors

 Compliance Assistance Coordinators

 Regional Federal Facility Program Managers

 FFEO Regional Liaisons

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

 Marion Herz

 Donna Inman

 Lauren Kabler

 Peter Rosenberg

 ETDD Staff

 

 

 

 

UPDATES AND CLARIFICATIONS

FOR

FY 2013 END-OF-YEAR ENFORCEMENT AND COMPLIANCE

REPORTING AND CERTIFICATION

September 26, 2013

 

 

A.  UPCOMING FY 2013 REPORTING AND CERTIFICATION DATES

 

B.  NEW PROCEDURES FOR ICIS ACCESS

 

C.  NEW REPORTING PROCEDURES AND REMINDER

1.   Tracking Municipal NEI Green Infrastructure Settlement Information

2.   Creating Compliance Determination Records in ICIS for Controlled/Addressed/No Further Action Determinations Involving Multiple Facilities

3.   No Longer Counting Preventative Environmental Benefits from Oil Spills

4.   Reporting Reminder:  Mitigation Projects

5.   ICIS Reporting of Integrated Planning (IP) Cases for FY 2013 Postponed

 

D.  ICIS REPORTS:  MODIFICATIONS AND NEW REPORTS

1.   Report Modification:  Informal Enforcement Action Report

2.   Report Modification:  Direct and Preventative Environmental Benefits

3.   Report Modification:  National Enforcement Initiative Environmental Benefits

4.   Report Modification:  Small Business

5.   Report Modification:  NSR/PSD NEI Investigations Report

6.   New Report:  RNC V Report

7.   New Reports:  Permittees Not Inspected Reports

8.   New Report:  Muni Green Infrastructure Tracking Report

9.   New Reports:  Two Environmental Justice (EJ) Reports

10. Availability of New and Revised ICIS NEI Reports

 

OTHER

1.   NEI Universes Now Fixed

2.   Updated Flow Chart for Conducting an EJ Screening Review

 

A.  UPCOMING FY 2013 REPORTING AND CERTIFICATION DATES

 

DATE

ACTION

September 24, 2013

All available environmental benefits data must be entered into ICIS for inclusion in the Head Start FY 2013 Environmental Benefits review.

September 25, 2013

OECA conducts head start environmental benefits review.

September 30, 2013

*****      End of Fiscal Year 2013    *****

October 1, 2013

OECA transmits Head Start Environmental Benefit Review to regions.

October 11, 2013

Data entry deadline for all FY 2013 data to be entered in databases-of-record.   Data includes certified data required to be entered into ICIS and CERCLIS, as well as Federal inspection/ evaluation data reported to legacy data systems and manual spreadsheets for NEIs.

October 15, 2013

Due to the decommissioning of CERCLIS, all final CERCLIS data entry (including corrections) must be completed no later than October 15, 2013.  After this date, CERCLIS access roles will become “read only” with no ability to add, edit, or delete CERCLIS data.

October 15 – 22, 2013

Headquarters and regions review FY data.  Regions make any necessary corrections to the databases of record.  Regions also review environmental benefit spreadsheets and respond to questions in the spreadsheet.

October 23, 2013

DRAs and OECA ODs certify that all FY 2013 data in the national database systems are accurate and complete, and transmit all manually reported numbers.  The end-of-year certification form may be found in Attachment 6B of the FY 2013 Reporting Plan.

Data includes:  ICIS, CERCLIS, Federal inspection/evaluation data reported to legacy data systems, and manually reported data.

October 24, 2013

All FY 2013 data is final.

OC conducts final end-of-year data pull from all databases of record.

October 28, 2013

OC posts final reports in Data Depot. 

October 31, 2013

OC posts the final certified FY 13 Annual Results Excel files to Data Depot. 

 

 

B.  NEW PROCEDURES FOR ICIS ACCESS

ICIS Web Access Management (WAM) went into production on Friday, August 2, 2013.  ICIS WAM is the new method that ICIS employs to manage user access to the system.  If you have not already done so, EPA personnel and contractors with a LAN ID may log in to ICIS by navigating to:

https://icis.epa.gov/icis

If you have any questions regarding ICIS WAM, please contact ICIS Customer Support at ICIS@epa.gov or by phone at 202-564-7756

 

 

C.   NEW REPORTING PROCEDURES AND REMINDER

 

1.  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:

 

v enforcement cases requiring GI remedies and the estimated value of those remedies, and

v 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:

 

v Green Infrastructure Requirement Estimate (value unknown),

v Green Infrastructure Requirement Estimate (value known), and

v 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. 

 

v 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 for Green Infrastructure Requirement (value unknown) are:

 

o Statute:  <select> CWA-Clean Water Act

o 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: NPDESPermit Violations: NPDES-Stormwater-MS4

o Complying Action Category Type:  <select> Reduction of Ongoing Releases

o Complying Action Type:  <select> Green Infrastructure Requirement (value unknown)  

o Units:  <select> Dollars

o Amount:  <enter> “0”

o Pollutant Name:  < “Contaminated water”

o Media:  Water (navigable/surface)

 

v 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:

 

o Statute:  <select> CWA-Clean Water Act

o 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

o Complying Action Category Type:  <select> Reduction of Ongoing Releases

o Complying Action Type:  <select> Green Infrastructure Requirement (value known)  

o Units:  <select> Dollars

o Amount:  <enter> Estimated cost of required GI component

o Pollutant Name:  < “Contaminated water”

o Media:  Water (navigable/surface)

 

v Green Infrastructure Enabling Language

For each NEI case conclusion that includes Green Infrastructure “enabling language” (but no required green infrastructure remedy), enter the following 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:

  

o Statute:  <select> CWA-Clean Water Act

o 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

o Complying Action Category Type:   <select> Reduction of Ongoing Releases

o Complying Action Type:  <select> Green Infrastructure Enabling Language

o Units:  <select> Dollars

o Amount:  <enter> “0”

o Pollutant Name:  < “Contaminated water”

o 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.  Further information regarding the report may be found on Page 14 of this memorandum. 

 

Using the Green Infrastructure Data

EPA will annually report both the number and percentage of federal enforcement actions concluded in the FY where GI has been required as part of the remedy, and where settlements/actions have included GI enabling language.  At this time, the GI data is not associated with a national measure.  Regions may choose to enter their FY 2012 GI data in ICIS so that GI information previously manually reported is available electronically for future reporting and analysis. 

 

Information Displayed in ECHO

ECHO will display all of the GI “complying actions” and associated dollar values.  The paragraph below will be added to ECHO’s “About the Data” language to further explain the value of $0. 

 

“When Green Infrastructure (GI) is required as injunctive relief in a consent decree, but the value of the GI component of the injunctive relief is not known at the time of settlement, the value is entered as zero and the description is - Green Infrastructure Requirement (value unknown).  The value of required GI is not known at the time of settlement when a study is a required prerequisite for determining if GI is the appropriate solution to reduce stormwater runoff.”

 

Green Infrastructure Headquarter Contacts

If you have questions regarding the GI reporting instructions above, please contact Donna Inman, at 202-564-2511, inman.donna@epa.gov.  For questions regarding 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.

 

2.  Creating Compliance Determination Records in ICIS for Controlled/Addressed/No Further Action Determinations Involving Multiple Facilities

In instances in which a single NEI controlled/addressed/no further action determination applies to multiple facilities, it may be useful in ICIS to link multiple facilities to a single compliance determination record rather than creating individual determination records for each facility. This can be achieved by clicking on the “Facilities” button on the Compliance Determination screen, and then searching for each of the facilities to link to the single determination record.

 

ICIS Compliance Determination Record

See attachment

 

 

Linking Facilities to Record

See attachment

Whether a facility is linked to an individual compliance determination record or a single multi-facility determination record will not affect how the number of facilities are tracked and reported for the National Enforcement Initiatives.

 

For further information, please contact: Dan Klaus, OECA/OC, 202-564-7757.

 

3.  No Longer Counting Preventative Environmental Benefits from Oil Spills

OECA currently maintains a national measure for reporting the volume of oil spills prevented as a result of federal enforcement.  The measure, “Volume of Oil Spills Prevented (Gallons)” included reporting based on two types of cases.  The first type addressed a potential spill with the amount reported being the facility’s oil storage capacity -- typically based on either an SPCC or an FRP enforcement action.  The second type addressed actual oil spills with the preventative amount reported being the actual amount spilled.  This was done under the assumption that the enforcement action is preventing another future spill of equal size.

 

Recently, in response to a proposal to employ the second approach to counting benefits from a very large oil spill case, OECA’s Assistant Administrator concluded that it is not appropriate to use this approach for calculating preventative benefits where a spill has already occurred, i.e., to take credit for preventing a future spill of the same volume based solely on the volume of the last spill.  The AA stated that this approach is simply too speculative.  Therefore in FY13,  the regions should not enter into ICIS preventative benefit amounts addressing oil spills.   For FY 13 and beyond, the Agency will not report any such amounts as part of the “Volume of Oil Spills Prevented (Gallons)” measure.  Headquarters will work with the regions to change previously entered FY 2013 oil spill preventative benefit values where needed.

 

For further information, please contact Daniel Palmer, OC, palmer.daniel@epa.gov; 202-564-5034 or Donna Inman, OC, inman.donna@epa.gov; 202-564-2511.

 

4.  Reporting Reminder:  Mitigation Projects

In some cases, values resulting from mitigation actions have been entered in the Supplemental Environmental Project (SEP) value field.  It is important that we nationally report the mitigation action/project values consistently.  Please keep in mind that mitigation actions/projects are to be reported as Injunctive Relief, and not as SEPs. 

 

For further information on mitigation actions and projects, please contact Beth Cavalier, OCE, 202-564-3271.

 

5.  ICIS Reporting of Integrated Planning (IP) Cases for FY 2013 Postponed

The FY 2013 reporting plan originally envisioned that ICIS reporting of integrated planning (IP) cases would commence in FY 2013.  However, with discussions and input from the regions, Headquarters is postponing ICIS IP reporting.  We now expect ICIS IP reporting to begin in FY 2014.  The FY 2014 reporting guidance will include details of how to report cases that have integrated planning remedies consistent with theIntegrated Municipal Stormwater and Wastewater Planning Approach Framework.

 

 

D.  ICIS REPORTS:  MODIFICATIONS AND NEW REPORTS

 

1.  Report Modification:  Informal Enforcement Action Report

The Informal Enforcement Action Report, located in the FE&C National Standard Reports folder, provides informal enforcement output and outcome summary totals by Fiscal Year, Region, State and Issued by EPA.  In addition to summary totals, the report displays data for Informal Enforcement Actions Issued by EPA, Issued by State, Issued by State by Prog. ID, NPDES Information – EPA, and NPDES Information - State.  The following modifications were made to the report:

  

o Added Federal Programs Violated to the ‘Details – State’ and ‘Details – State by Prog. ID’ tabs.

 

o Deleted the Region Section for the NPDES tabs.

 

o Inserted breaks on the tables that display the Enforcement Information for the ‘Details – EPA’ and ‘Details – State’ tabs.  This will ensure that multiple values for Agency Lead Indicator and Agency will display only once.

 

The detail information output for the Informal Enforcement tabs displays by Fiscal Year, Region and State: Enforcement Information, Linked Facility Information, Statute/Law Section/Program Information, Citation information, Contacts and Comments.  For NPDES Information it displays by Fiscal Year and Region and provides the Region Code, EA ID, NPDES ID, Permit Name, Facility Name, Facility State Code, Major/Minor Status, Achieved Date, and Issued By Date.  The prompts are:

 

o Enforcement Action Type

o State (Optional)

o EFA Region

o Issued By (Optional)

o Achieved Date (Start)

o Achieved Date (End)

o Federal Statutes Violated (Optional)

o Law Sections Violated (Optional)

o Programs Violated Code (Optional)

 

If you have any questions or comments about the ICIS Information Enforcement Actions Report, please contact Emery Harriston at Harriston.Emery@epa.gov or 202-564-2497.

 

2. Report Modification:  Direct and Preventative Environmental Benefits

The "Direct and Preventative Environmental Benefits" report, posted in the FE&C National Standard Reports / Environmental Benefit QA Reports folder in ICIS, has been revised to include two additional required prompts.  These new prompts are:

 

o SEP or Comp Action? (Use * to select all.)

o Settlement Lodged Quarter(s): (Use * to select all.)

The “SEP or Comp Action?” prompt allows users to run the report just for SEPs, or just for Complying Actions, or both (*).  The “Settlement Lodged Quarter(s)” prompt allows users to specify for which quarters they want to see lodged data.  Users should enter the same fiscal year and fiscal quarters for the “Settlement Lodged Fiscal Year” and “Settlement Lodged Fiscal Quarter” prompts as they do for the “Fiscal Year” and “Quarter” prompts.

 

To run properly, the “Direct and Preventative Environmental Benefits” report needs to be scheduled.  If you already have this report scheduled to run periodically, you need to cancel the current schedule and re-schedule the report with all the required prompts (including the two new prompts) entered.

 

If you have any questions or comments about the ICIS Direct and Preventative Environmental Benefits Report, please contact David Sprague at Sprague.David@epa.gov or 202-564-4103.

 

3.  Report Modification:  National Enforcement Initiative Environmental Benefits

The "National Enforcement Initiative Environmental Benefits" report, posted in the FE&C National Standard Reports / Environmental Benefit QA Reports folder in ICIS, has been revised.  The following changes were made to the report:

 

o For Air Toxics cases, only hazardous air pollutants are counted in the “Cross Pounds Reduced – SEP” tab.

o A “Count” column was added to the “Details by Initiative – SEP” tab.  A “Yes” in this column indicates which Air Toxics hazardous air pollutant SEP amounts are counted.

o Text boxes explaining these changes were added to the top of the “Cross Pounds Reduced – SEP” and “Details by Initiative – SEP” tabs.

o The filter on the “Cross Pounds Reduced – SEP” tab was fixed so “Estimated Water Pollutants Reduced, Treated, or Eliminated (pounds)” amounts are now counted.

When using this report, the amounts, from the SEP crosstabs should be manually added to the amounts from the appropriate complying action crosstabs.  For example, to derive the final pounds reduced totals for a particular NEI, please add the amounts from the “Crosstab Pounds Reduced – SEP” to the amounts from the “Crosstab Pounds Reduced – CA”.

 

If you have any questions or comments ICIS National Enforcement Initiative Environmental Benefits Report, please contact David Sprague at Sprague.David@epa.gov or 202-564-4103.

 

4.  Report Modification:  Small Business

The "Small Business Conclusions with Assessed Penalties" report, posted in the FE&C National Standard Reports / Certification Reports folder in ICIS, has been revised.

 

The object "Actual Date" from the Compliance Schedule Event folder has been removed from the crosstab query.  Having this object in the query was causing some amounts in the “Federal Penalties Required – Crosstab” to be inflated, due to cases with dates entered in the "Actual Date" field.  If you ran the previous version of this report for previous fiscal years and stored the results electronically, the results “Federal Penalties Required – Crosstab” in those previous versions was not correct.  You may want to run the current version of the report for those previous fiscal years and replace the results.

 

In addition, the report was updated to use the "Primary Law Category except Multi-Program" object to categorize cases instead of variables.  These categories (CAA, CAA 112r, CERCLA, CWA 311, CWA 404, CWA NPDES, etc.) are displayed as rows in the crosstabs and as one of the section breaks in the "Details" tab.  Using this categorization object ensures that the report uses the same logic to categorize cases as the other National Standard Reports, and it allows all rows (even rows with zero values) to display in the crosstabs.

 

If you have any questions or comments about the ICIS Small Business Report, please contact David Sprague at Sprague.David@epa.gov or 202-564-4103.

 

5.  Report Modification:  NSR/PSD NEI Investigations Report

Beginning in FY 2012, the regions were required to enter into ICIS all NSR/PSD Cement, Acid, and Glass NEI investigations conducted in FYs 11, 12 and forward.  In FY 2013, the regions were then required to enter into ICIS new investigation initiations involving Coal-fired Power Plants that are part of the NEI NSR/PSD universe for FY13 and forward.  The “NSR/PSD NEI Investigations Report” posted in ICIS (National Standard Reports folder) has been updated accordingly to retrieve Coal-fired Power Plant NEI investigations (in addition to NSR/PSD Cement, Acid, and Glass NEI investigations).

 

The report was also changed so that properly flagged information requests and inspections/evaluations are counted by the report as “investigations” (in addition to compliance investigations).  This report should be used for reviewing counts of all NSR/PSD NEI investigations.

 

The report also contains several quality assurance (QA) tabs to assist in reviewing this NEI data.  It identifies compliance monitoring records that appear reasonably likely to be associated with the NSR/PSD NEI, but are not properly flagged in some way so that they are being excluded from the main report.  These should be reviewed and the ICIS record corrected as appropriate so that they are counted in the main report.  There is one exception:  some of the records on “Details QA 3” tab may also show up in the main report.

 

Finally, although the report has been revised to count properly flagged information requests and inspections/evaluations as “investigations”, in the future these should be coded using Compliance Monitoring Activity Type = Compliance Investigation.  Guidance regarding the proper entry of NSR/PSD NEI investigations can be found at: http://intranet.epa.gov/oeca/oc/resources/etdd/reporting/fy2013/refdocs/reportingfy13-attachment9a5-neiguideparta.pdf, Guide for Reporting on the OECA National Enforcement Initiatives (NEIs) for FY 2013 and a Preview of Reporting in FY 2014 (March, 2013), pp.3-4.

 

This ICIS report has the following six tabs:

o Main NSR/PSD NEI Investigations Report:

  • “Crosstab” and “Details” – These tabs count and display investigations where Facility Universe Indicator = "Cement, Coal-Fired Power Plants, Glass Manufacturing, Sulfuric Acid Plants, or Nitric Acid Plants" AND National Enforcement Sub Initiative = "Cement, Coal-Fired Power Plants, Glass Manufacturing, Sulfuric Acid Plants, or Nitric Acid Plants" AND Compliance Monitoring Activity Type = Compliance Investigation, Information Request, Inspection/Evaluation.  These are the investigations that are used in our official counts.

 

o Four NSR/PSD NEI Investigation QA Reports:

  • “Details QA 1” - This tab displays investigations where Facility Universe Indicator = "Cement, Coal-Fired Power Plants, Glass Manufacturing, Sulfuric Acid Plants, or Nitric Acid Plants" AND National Enforcement Sub Initiative not equal to:  "Cement, Coal-Fired Power Plants, Glass Manufacturing, Sulfuric Acid Plants, or Nitric Acid Plants" AND Compliance Monitoring Activity Type = Compliance Investigation.  For these activities, where necessary, please update the National Enforcement Sub Initiative in ICIS to: "Cement, Coal-Fired Power Plants, Glass Manufacturing, Sulfuric Acid Plants, or Nitric Acid Plants" to match the Facility Universe Indicator.

 

  • “Details QA 2” - This tab displays investigations where Facility Universe Indicator not equal to:  "Cement, Coal-Fired Power Plants, Glass Manufacturing, Sulfuric Acid Plants, or Nitric Acid Plants" AND National Enforcement Sub Initiative = "Cement, Coal-Fired Power Plants, Glass Manufacturing, Sulfuric Acid Plants, or Nitric Acid Plants" AND Compliance Monitoring Activity Type = Compliance Investigation.  For these activities, where necessary, please update the Facility Universe Indicator in ICIS to: "Cement, Coal-Fired Power Plants, Glass Manufacturing, Sulfuric Acid Plants, or Nitric Acid Plants" to match the National Enforcement Sub Initiative.

 

  • “Details QA 3” - This tab displays activities where Facility Universe Indicator = "Cement, Coal-Fired Power Plants, Glass Manufacturing, Sulfuric Acid Plants, or Nitric Acid Plants" OR National Enforcement Sub Initiative = "Cement, Coal-Fired Power Plants, Glass Manufacturing, Sulfuric Acid Plants, or Nitric Acid Plants" AND National Enforcement Sub Initiative is not null AND Compliance Monitoring Activity Type not equal to:  Compliance Investigation.  For these activities, where necessary, please update either the National Enforcement Sub Initiative or the Facility Universe Indicator in ICIS so they match.

 

  • “Details QA 4” - This tab displays activities where Facility Universe Indicator = "Cement, Coal-Fired Power Plants, Glass Manufacturing, Sulfuric Acid Plants, or Nitric Acid Plants" AND National Enforcement Sub Initiative is null AND Compliance Monitoring Activity Type not equal to:  Compliance Investigation.  For these activities, where necessary, please update the National Enforcement Sub Initiative so it matches the Facility Universe Indicator.

 

If you have any questions or comments about this guidance or the report, please contact Daniel Klaus at Klaus.Daniel@epa.gov or 202-564-7757 or David Sprague at Sprague.David@epa.gov or 202-564-4103.

 

6.  New Report:  RNC V Report

A new report, entitled RNC V Report, has been created in ICIS and displays Non-RNC DMR Violations, Non-RNC Schedule Violations and Non-RNC Single Event Violations.  The report includes all Non-RNC Detected Violations with a violations date within the QNCR Quarter and all Non-RNC Detected Single Event Violations with no Single Events Violation End Date.  A Legends Page on the report provides a short explanation on the values to enter for RNC Quarter, RNC Year, Start Date and End Date.  The report prompts are as follows:

 

o    NPDES ID (Optional)

o    Permit Type Description (Optional)

o    Major Minor Status (Optional)

o    State Code

o    RNC Status Year

o    RNC Status Quarter

o    Start Date

o    End Date

 

The RNC V Report has been written to address the August 9, 2013 changes in ICIS to exclude Single Event Violations (SEV) that have a blank SEV Start Date.  The report allows you to review quarters prior to FY 2013 Quarter 3 for correcting RNC Status.  If there are changes made to the ICIS data after the official RNC job has run, then a manual override to the RNC Status may be needed for that quarter.

 

If you have any questions or comments about the ICIS NPDES RNC V Report, please contact Emery Harriston at Harriston.Emery@epa.gov or 202-564-2497.

7.  New Reports:  Permittees Not Inspected Reports

In response to user requests, two new reports have been posted in the ICIS National Standard Reports folder – 1) Permittees Not Inspected Reports – Majors Only and 2) Permittees Not Inspected Report – as of Current Date.

 

v The "Permittees Not Inspected Report - Majors Only" identifies all the major permittees that have not been inspected for a specified date range.                          The report displays NPDES ID, Permit Name, Facility Name, Permit Status Desc, Actual End Date, Compliance Monitoring Category Desc, Compliance Monitoring Activity Name, State Federal or Joint Inspection, Inspection Rating Desc, Program Desc and Compliance Monitoring Type Desc.  The report is run by selecting Region Code and Actual End Date Range.  The State Code is optional.

 

v The "Permittees Not Inspected Report - as of Current Date" identifies both Major and Minor Permittees that have not been inspected as of the current date.  Major Permittees are displayed if they have not been inspected for more than 2 years.  Minor Permittees are displayed if they have not been inspected for more than 5 years.  This aligns with the NPDES CMS policy, which may be found at the following website:  http://www.epa.gov/compliance/resources/policies/monitoring/cwa/npdescms.pdf)

 

The report displays NPDES ID, Permit Name, Facility Name, Permit Status Desc, Actual End Date, Compliance Monitoring Category Desc, Compliance Monitoring  Activity Name, State Federal or Joint Inspection, Inspection Rating Desc, Program Desc and Compliance Monitoring Type Desc.  The report is run by Region Code, Major/Minor Status.  Optional Prompt is State Code.

Both reports are posted in the ICIS NPDES National Standard Reports folder.  If you have any questions or comments concerning either of the Permittees Not Inspected Reports, please contact Emery Harriston, Harriston.Emery@epa.gov or 202-564-2497.

8.  New Report: Muni Green Infrastructure Tracking Report

A new ICIS report entitled, "Muni Green Infrastructure Tracking Report," has been posted in the FE&C National Standard Reports folder.  This report lists all cases with one of the “Green Infrastructure” complying actions selected.  Cases with the complying actions: “Green Infrastructure Requirement (value unknown)” or “Green Infrastructure Requirement (value known)” are displayed in a “Green Infrastructure Cost Estimate” list.  The report displays the “Municipal Infrastructure Strategy Activity Priority” and the “Green Infrastructure Cost Estimate” for each case.  Cases with the complying action: “Green Infrastructure Enabling Language” are displayed in a “Green Infrastructure Enabling Language” list.  There is no cost estimate reported for these cases. For further information on GI reporting, see item C.1 above.

 

If you have any questions or comments about the ICIS Muni Green Infrastructure Tracking Report, please contact David Sprague at Sprague.David@epa.gov or 202-564-4103.

 

9.  New Reports:  Two Environmental Justice Reports

OECA has joined the Agency in shifting to use of the new EJSCREEN mapping tool for identifying areas with potential Environmental Justice (EJ) concerns.  This shift included ICIS changes to reflect that we were now screening facility/site locations in ICIS using EJSCREEN (rather than EJSEAT as we had in FY12 through March 31, 2013).  The change to use EJSCREEN in ICIS was effective April 1, 2013.  A new ICIS report was written to show the number of EPA enforcement cases that were brought in areas with potential EJ concerns – based on EJSCREEN.  The report is posted in the National Standards Reports folder titled, “EJSCREEN Enhanced Review for Potential EJ Concerns.” 

 

For FY 2013, OECA will use two reports to capture FY 2013 EJ data.  For obtaining the EJ data from ICIS for the first two quarters of FY 13, we will use the old report, “Enhanced Review for Potential EJ Concerns (EJSEAT).”  For obtaining the EJ data from ICIS for the last two quarters of FY 2013, we will use the new “EJSCREEN Enhanced Review for Potential EJ Concerns” report.

 

Finally, there is a second new EJ report posted in the National Standard Reports folder titled, “EJSCREEN QA/QC Report.”  This report provides information for the second half of FY13 on enforcement cases that are flagged “TEMP.” in ICIS.  Cases appearing in this report (and the companion “EJSEAT QA/QC Report”) should be re-visited by the regions before EOY and the ICIS record updated so that they no longer have “TEMP.” in the EJSCREEN Flag (manual) data field.

 

If you have any questions or comments on either of the two new ICIS EJ reports, please contact Gwen Wayne at Wayne.Gwen@epa.gov or 202-564-2499.

 

10.  Availability of New and Revised ICIS NEI Reports

OC/ETDD is developing national standard reports that will allow National Enforcement Initiative (NEI) Strategy Implementation Teams (SITs) and regions to easily track progress in NEIs that have a universe. Separate reports are being created and will be available for NSR/PSD, Municipal Infrastructure, and Mineral Processing. The reports will include a crosstab summary of facilities that have been addressed; lists of all the facilities that are part of the NEI Universe and their associated inspections/evaluations, enforcement actions, and compliance determination status; and quality assurance tabs to verify the accuracy of the data. Once completed, these reports will replace the “NEI Universe – Compliance Determination” report.

 

If you have any questions or comments, please contact Dan Klaus at Klaus.Dan@epa.gov or 202-564-7757.

 

OTHER

 

1.  NEI Universes Now Fixed

National Enforcement Initiative (NEI) facility universes have been created in ICIS for CSOs, SSOs, NSR/PSD coal-fired power plants, cement, acid, glass plants, and mineral processing.  Previously, the “Universe Indicator” selection box that identified a facility as part of an NEI universe was being erroneously changed to blank by the data system.  ETDD fixed the problem by flagging each facility that is part of an NEI universe with the correct NEI Universe Indicator flag, which resulted in re-creating the ICIS NEI facility universes.  The NEI universes are now correct.

 

2.  Updated Flowchart for Conducting an EJ Screening Review

When the revised EJ Technical Directive (“Internal Technical Directive: Reviewing EPA Enforcement Cases for Potential Environmental Justice Concerns and Reporting Findings to the ICIS Data System”) was issued in April 2013 it included an attachment titled “EJ Technical Directive Screening Review Flowchart.”  This flowchart was developed to assist EPA staff in conducting the required EJ screening reviews of enforcement cases by providing a step-by-step description of the review process.  Following issuance of the revised EJ Technical Directive, issues were raised concerning the location section of this flowchart.  A clarification was added to this section explaining the need to enter a corrected EJSCREEN flag into ICIS.  See the old and new versions of this section of the Screening Review Flowchart below.  The full revised flowchart is attached.

 

Old Location Section of Screening Review Flowchart:

(See attachment)

 

 

 

New Location Section of Screening Review Flowchart:

(See attachment)

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