Notice of New and Changed Enforcement and Compliance Data
Reporting and Certification Requirements for FY 2013
This document is intended to provide notice to the Regions and OECA offices regarding FY 2013Federal enforcement and compliance data. In particular, this document addresses: new enforcement/compliance data reporting requirements;changes to reporting requirements; andreporting that proved problematic (identified in italics)in FY 2012.
The FY 2013 Reporting Plan will contain a complete description of all new and changed FY 2013 enforcement/ compliance reporting requirements.
CONTENTS
Data Quality Reviews and Certification Process
- OECA Suite of Measures Summary (OSMS Dashboard) Version 2.0
- Accessing OECA Suite of Measures Summary
- Certification Process Change: Reduced ICIS Preliminary Data Pull
- Certifying the Data
Environmental Justice
- ICIS Environmental Justice Reporting: Transition to EJSCREEN and Changes to ICIS Data Fields
National Enforcement Initiative (NEI) Reporting
- Summary of FY 2013 NEI Reporting
- Tracking Municipal NEI Green Infrastructure Settlement Information
- Changes to Addressing Action Type and No Further Action Type Lists on the ICIS Compliance Determination Screen
Clarification of Case Conclusion Environmental Benefits Reporting in ICIS
- Entering Hazardous Waste, Hazardous Material/Substances and VCMA Amounts
- Avoid Double Counting of Environmental Benefits
- Reporting Outcomes from CWA, CSO, and SSO Enforcement Actions
Reminders
- Reminder: Continue to Enter Big Case Projection Data
- Reminder: Supplemental Environmental Project (SEP) Reporting
Attachments
FY 2013 Key Reporting Dates
FY 2013 State Reporting Schedule
FY 2013 Government Performance and Results Act (GPRA) Measures
FY 2013 Enforcement and Compliance Assurance Reporting Contacts (Excel file)
NEI Initiative, Sub-Initiative and Action Lists
DATA QUALITY REVIEWS AND CERTIFICATION PROCESS
1. OECA Suite of Measures Summary (OSMS Dashboard) Version 2.0
The second version of the OECA Suite of Measures Summary (OSMS) Dashboard has been released and is currently available at the following link: The Dashboard consolidates enforcement and compliance measures from multiple OECA sources, and presents the data in a tabular or graphic format. This allows users to easily view trends and conduct other analysis or comparisons of interest. Significant new features in the Dashboard include:
-daily updates of FY 13 ICIS data,
-the ability to drill down to FY 13 case level information,
-the ability to export data to Excel,
-a breakout of Federal Facilities data,
-enhanced National Enforcement Initiation (NEI) data displays, and
-Consent Decree tracking data displays.
Currently, the Dashboard contains seven (7) years of civil enforcement outputs and outcomes broken out by region and program. Criminal, CERCLA, National Enforcement Initiatives measures, as well as FY12 ACS targets and results are also available.
In FY 13 the Dashboard will continue to be a critical tool used for conducting the AA/Regional video conference meetings. The Dashboard will be used again this year to facilitate discussions on the civil, Superfund, and Criminal enforcement programs, and provide the ability to quickly obtain regional program-specific data. The Dashboard also can be used as a tool for on-going data quality review.
2. Accessing OECA Suite of Measures Summary
OSMS is now available thru the intranet under the Quick Resources section at the following link:
At the BUSINESSOBJECTS INFOVIEW screen, double click on the OSMS Dashboard (shown below circled in brown) located under “Title.”
- Certification Process Change: Reduced ICIS Preliminary Data Pull
In FY 13, the OECA Suite of Measures Summary (OSMS) Dashboard will take on new significance during the MY and EOY data certification processes. In an effort to further streamline the data certification process, OC is incorporating the OSMS Dashboard as an integral component of the MY and EOY data quality reviews.
Beginning with the MY 2013 data certification process, OC will no longer run and post the full set of preliminary ICIS certification reports. Regional Program Managers and Enforcement Coordinators should utilize the OSMS Dashboard to assist with ensuring that their ICIS data is complete and accurate. Since the enhanced OSMS Dashboard includes the ability to access current FY 13 ICIS data and the ability to drill down to case-specific information much of the data quality review can be completed via the Dashboard instead of reviewing each ICIS report.
By relying more on the OSMS Dashboard for data quality review, the HQ and regions will save precious staff hours scheduling, posting, and reviewing numerous ICIS reports to conduct the MY and EOY data quality reviews. 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 may contain data requiring more scrutiny.
During the MY and EOY 13 certification processes, OC will continue to run preliminary AFS and RCRAInfo reports and post them to the Data Depot. Also during the MY and EOY processes, OC will continue to run and post the full final set of ICIS certification reports. This final set of ICIS certification reports will be used to populate the Excel certification files.
- Certifying the Data
In FY 2013, OECA will continue with the streamlined process that was conducted in FY 2012. As was done in FY 2012, certification workbooks will not be exchanged back and forth between OC and Regional Offices. The streamlined process that was established in FY 2012 will continue to allow OECA to maintain a high level of data quality while decreasing the time and resources needed to certify our enforcement and compliance data.
No later than April 19, 2013, Regional DRAs, OCE Office Director and OC Division Directors will certify to the accuracy and completeness of mid-year (MY) data into the national databases of record. For EOY, Regional DRAs, OCE Office Directors and OC Division Directors will certify no later than October 23, 2013.
ENVIRONMENTAL JUSTICE
- ICIS Environmental Justice Reporting: Transition to EJSCREEN and Changes to ICIS Data Fields
For the first half of FY 2013,Environmental Justice (EJ) reporting in ICIS is continuing unchanged from FY 2012 adhering to terms of the “Internal Technical Directive: Reviewing EPA Enforcement Cases for Environmental Justice Concerns and Reporting Findings to the ICIS Data System” (the EJ Technical Directive). OECA and the Regions are reviewing the FY 2012 pilot of the EJ Technical Directive and are considering changes.
In addition, the Agency’s new EJ screening tool, EJSCREEN, has recently been released and will replace EJSEAT, including its use for screening and reviewing cases as required by the EJ Technical Directive. Following the review of the pilot, a revised EJ Technical Directive will be released effective April 1, 2013.
Exactly how the EJ Technical Directive will be revised is currently being determined. Still, some things are now clear, particularly as to use of EJSCREEN and changes to the ICIS data fields. These changes will be effective on April 1, 2013, along with additional changes to the EJ Technical Directive, yet to be decided:
Most important, the basic review under the EJ Technical Directive will be done, starting March 30 using EJSCREEN rather than EJSEAT. An ICIS release scheduled for Friday evening, March 29th will replace the two current EJSEAT Score data fields and replace them with two “EJSCREEN Flag” data fields. The old EJSEAT data fields [EJ Score (auto) and (manual)] will be retained in the ICIS database but will not be displayed on the Enforcement Action screen or available to update. The new EJSCREEN Flag (auto) data field will be automatically populated with “Yes” (meets the threshold requiring an enhanced review), “No” (does not meet the threshold requiring an enhanced review), or “No score” (no score was available to auto-populate this data field) based on the value assigned to the facility. The EJSCREEN Flag (manual) field will have the same “Yes” and “No” options plus the old “Exempt” and “TEMP.” options. The Yes/No approach is different than the numeric scoring that was provided by EJSEAT but should serve the same purpose of providing a basic EJ screen of our enforcement cases.
EJSCREEN will also be the preferred tool for conducting the enhanced review under the EJ Technical Directive. The “Interim EJSCREEN Common User Guidelines,” Nov. 12, 2012, provides guidance on how to use EJSCREEN for doing an enhanced/additional review. See EJSCREEN is available at
As noted above, the shift from use of EJSEAT for the basic EJ review to EJSCREEN will be effective on April 1, 2013. This transition will create some complications for ICIS enforcement action records created prior to April 1 for which the EJ data was not completed prior to April 1 (generally cases for which “TEMP” was selected). It will be helpful if all “TEMP’s” are addressed prior to April 1.
- For any case record created in ICIS prior to April 1 for which an EJSEAT score auto-populated or the region entered a manual value (1-10, Exempt, or TEMP) in the EJSEAT Score (manual) field, the old EJSEAT fields and business rules will still meet the requirement for populating the EJ data in ICIS. The old EJSEAT Score fields (auto and manual), however, will not appear on the screen (having been replaced by the new EJSCREEN Flag fields (auto and manual)). It will not be possible to enter any data to the old EJSEAT score fields. Therefore, if an EJ “score” needs to be entered for such an enforcement record, it must entered into the EJSCREEN Flag (Manual) field with a value of “Yes”, “No”, “TEMP.”, or “Exempt.” Note, if a value is entered to the EJSCREEN Flag (Manual) field, then the applicable business rules for the other EJ data fields will be in force.
- Note: the EJSCREEN Flag (Auto) will not auto-populate for ICIS enforcement action records created prior to April, so the EJSCREEN score will have to be obtained manually and entered to the EJSCREEN Flag (manual) field.
- For any ICIS case record created after March 31, including cases initiated prior to April 1, the EJ analysis, basic, and enhanced, will have to be done using EJSCREEN and not EJSEAT. The EJSEAT score data fields will not be available to populate and, as a matter of policy, we will have transitioned to using EJSCREEN for our EJ reviews.
The labels and business rules for some of the EJ data fields will change as well.
The label on the “Additional Review for Potential EJ Concerns” will be changed to “Enhanced Review for EJ Concerns” to track the terminology used in the EJ Technical Directive. The business rules for this field will also change, requiring that the field be populated for all cases unless “Exempt” or “Temp” is selected in the EJSCREEN Flag (manual) field.
The selections in the pull down menu will also change, to:
- Additional Enhanced Review – Potential EJ Concern Found
- Additional Enhanced Review – Potential EJ Concern Not Found
- No Additional Enhanced Review
The pull down menu for the “Basis of EJ Determination” data field will change to:
- Reviewed using EJSCREEN
- Public input
- Community self-identification
- EPA knowledge of community/location (including inspector observation)
- Other federal government knowledge of community/location
- State/local government knowledge of community/location
- Other basis (explain in Explanation of Basis field)
The label on the “Explanation of Basis for Potential EJ Concern Finding or Exemption from EJ Review” is changing, to add the word “potential.”
New reports will be posted in ICIS making use of the new EJSCREEN Flag data fields and will be used to pull the EJSCREEN-based EJ data from ICIS at mid-year and end-of-year certification. The old EJ reports will be retained to pull the EJSEAT-based EJ data from ICIS at mid-year and at end-of-year.
Other significant aspects of the EJ Technical Directive that may change based on the review of the pilot are the required timing of the review for potential EJ concerns (basic and enhanced) and the cases that are exempted from the EJ review requirement. These decisions should be made by the time the FY 2013 Reporting Plan is released and will be captured there – and in the Revised EJ Technical Directive.
Training on the changes to the EJ technical Directive and on using EJSCREEN for EJ screening and review purposes will be developed and scheduled for later this year.
NATIONAL ENFORCEMENT INITIATIVE (NEI) REPORTING
- Summary of FY 2013 NEI Reporting
National Enforcement Initiative reporting to ICIS which began in FY 2012 and earlier will continue in FY 2013. In addition, we will continue to migrate NEI data into ICIS to better assure the quality of the data, and to make the data more accessible. Universe and addressing action data for CSOs, SSOs, important CAFOs, and coal fired power plants through FY12 will be imported into ICIS. ICIS will become the official database for tracking the CSO and SSO sub-initiatives starting at mid-year. All FY13 addressing actions and no further action determinations for these facilities will have to be entered into the ICIS Compliance Determinations modulein accordance with the “Muni NEI Supplemental Addressing Action Guidance for CSOs and SSOs” expected to be finalized in March 2013. Supplemental guidance relating to tracking MS4s will also be finalized later this year.
All FY 13 addressing actions and no further action determinations for these facilities will have to be entered into the ICIS Compliance Determinations module in accordance with the “Muni NEI Supplemental Addressing Action Guidance for CSOs and SSOs” which is expected to be finalized in March 2013. This guidance will clarify the process, definitions, and underlying principles that support facility, program and situation specific addressing action determinations. Supplemental guidance relating to tracking MS4s will also be finalized later this year.
When creating a compliance determination record in ICIS, the user will have to make sure that the facility linked to that compliance determination is part of the correct NEI universe. Facilities that are part of an NEI universe for which there presently is no facility record in ICIS will have an ICIS facility record created during the data migration.
By mid-year, all NEI data addressing and enforcement action data, except for Muni/MS4s, should be entered and tracked in ICIS. Discussions are continuing about capturing unit and megawatt information for NSR Coal Fired Power Plants, and about how ICIS can be adapted to capture MS4 data, probably in FY 2014. MS4 data will continue to be tracked using the Regional spreadsheets posted on the Muni-Data Quickrfor EOY 2013 reporting.
Associated ICIS reports will be written and posted, and we are working on modifications to the ICIS/OSMS Dashboard to allow for regional and SIT tracking of NEI activities and progress. Detailed guidance will be provided to the regions prior to mid-year for entering data into ICIS for each of the initiatives.
- 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 ensure green infrastructure (GI) remedies are implemented to reduce discharges of raw sewage and reduce pollutants in storm water runoff.” Recent revisions to the strategy require tracking of: a) enforcement cases requiring GIremedies and the estimated value of those remedies, and b) 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.
In FY2012, the regions were asked to manually report CSO, SSO, and MS4 GI information in the comment field of the appropriate Quickr spreadsheet. For reporting in FY 2013 and beyond, Headquarters is implementing a process for regions to track GI data in ICIS. Following are guidelines for entering the data into ICIS. (In addition, regions may choose to enter their FY2012 GI data in ICIS so that GI information previously manually reported is available electronically for future reporting and analysis.) EPA will report annually both the number and percentage of federal enforcement actions where GI is required as part of the remedy, and where settlements/actions include GI enabling language.
Data Entry Instructions:
For FY2013, CSO, SSO, and MS4 NEI concluded cases which include GI remedies or “enabling” language the GI information must be entered into ICIS.
- For each NEI case conclusion where a green infrastructure remedy is required, enter the Green Infrastructure Complying Action Type (“Green Infrastructure Cost Estimate”) and the estimated remedy value (if available).
- For each NEI case conclusion that includes Green Infrastructure “enabling language” (but no required green infrastructure remedy), enter the Green Infrastructure Complying Action Type (“Green Infrastructure Enabling Language”) and $0 for the remedy value.
Rather than establishing a new data entry screen or fields for tracking green infrastructure remedies, HQ will use the data fields on the existing ICIS Complying Action/Injunctive Relief data entry screen. We will add two new complying action types specifically for tracking green infrastructure, “Green Infrastructure Cost Estimate” and “Green Infrastructure Enabling Language.” Following are the required ICIS data entry requirements and the appropriate values that must be entered, all on the Complying Action/Injunctive Relief screen: