1. 1 FY 2010 Enforcement and Compliance Data Reporting Webinar Session Two March 30, 2010

2. 2 We will have a Q&A Session at the end of the Webinar. Kindly remember to hold all of your questions until the end. We’ll begin at 2PM

3. Liz Vizard, OSRE3 Managing National Bankruptcy Cases and Entering Data on Them into ICIS Current economic downturn has increased the number of bankruptcy actions. EPA resources and level of communication and coordination were tested. OSRE is drafting guidance on the roles and responsibilities of key players. OSRE Contacts: Kim Simms (202-564-6106) and Elizabeth Vizard (202-564-5940)

4. Liz Vizard, OSRE4 Properly Reporting Outcomes from Bankruptcy Cases into ICIS The Court’s approval of a Plan of Reorganization, under Chapter 11 of the United States Bankruptcy code, should not delay entry and reporting of the approved settlement information. Bankruptcy cases will receive credit for a case conclusion when the settlement agreement is approved and entered by the District Court. OECA understands that the funds from the settlement agreements will not be distributed until the Bankruptcy and/or District Courts approve the Plan of Reorganization. Despite what the collection may be, the allowed claim value should be entered into ICIS. There is an optional "Collected" field in ICIS that can be used to record the amount that is actually collected.

5. Lauren Spath, RAB5 Required Double Data Entry ICIS is the database of record for EPA formal enforcement actions. Nevertheless, double data entry is required for formal Administrative and Judicial Enforcement Actions for: –RCRA – Hazardous Waste  into RCRAInfo and ICIS –NPDES non-migrated states  into PCS and ICIS –CAA Stationary Source  into AFS and ICIS –CERCLA  into CERCLIS and ICIS For inspections, the only instance of required double data entry is for NPDES stormwater inspections in non- migrated states which must be entered into both PCS and ICIS –Non-migrated states must enter inspection data into both PCS and ICIS

6. Lauren Spath, RAB6 Required Double Data Entry Most regions are entering all their inspection data into ICIS because that is where ICDS counts are automatically generated –If inspection/ICDS data is not entered into ICIS for inspections in the RCRA Hazardous Waste, CAA Stationary Source, and NPDES (non-migrated states) programs, this data must be manually entered into the certification workbook ICDS

7. Lauren Spath, RAB7 Entering Inspections When a Facility is Inspected for More than One Program on the Same Day The Rule: 1 Program Inspected= 1 Inspection Record Created, 2=2, etc. –So, if two programs are inspected at one facility during one visit to the facility – two inspection records must be created. –For example, during one facility visit the inspector examines CWA/NPDES compliance and CWA/SPCC compliance two programs were inspected two inspection records will be created (one in ICIS-NPDES or PCS, and the other in ICIS FE&C)

8. Lauren Spath, RAB8 Entering Inspections When a Facility is Inspected for More than One Program on the Same Day If two or more programs are entered into one ICIS inspection record that inspection gets incorrectly counted, multiple times: 1.NPDES 2.SPCC 3.311 (not SPCC) 4.NPDES (other) Don’t do it !!!

9. David Sprague, RAB9 Collection and Reporting of NSR/PSD and Air Toxics Enforcement Initiative Data Data Source for NSR/PSD National Priority FCEs, PCEs, and Investigations Changes to the Air Toxics National Priority/Enforcement Initiative –Reporting Enforcement/Compliance Activities Related to the Air Toxics NP “Schools Initiative” –Reporting Enforcement/Compliance Activities Related to the Air Toxics NP “Surface Coating” David Sprague 202-564-4103 3/30/2010

10. David Sprague, RAB10 Data Source for NSR/PSD National Priority FCEs, PCEs, and Investigations For the mid-year certification process, NSR/PSD National Priority (NP) evaluations and investigations will continue to be collected manually since they need to be reported in the sub- categories: –Coal Fired Power Plants, Cement, Glass Manufacturing, Nitric Acid Plants, Sulfuric Acid Plants, Other NSR Non-Priority. These manually reported activities are: –FCEs, PCEs, and Investigations. In the Reporting Plan for FY 2010 we stated that these activities will be pulled from AFS at end-of-year. –However, based on information we received after the Reporting Plan was issued, the appropriate data source for end-of-year is still being discussed. –We will issue further guidance at a later time.

11. David Sprague, RAB11 Reporting Enforcement/Compliance Activities Related to the Air Toxics NP “Schools Initiative” For FY 2010 a new Air Toxics NP sub- priority, “Schools Initiative,” has been added. A selection for the “Schools Initiative” has not yet been added to the National Priority field in ICIS. –For MY 2010 reporting, OECA will not be collecting enforcement action data from ICIS on this sub-priority. A selection will be added to the ICIS NP drop-down menu prior to end-of-year –Data on this priority will be pulled from ICIS as part of the end-of-year certification process.

12. David Sprague, RAB12 Reporting Enforcement/Compliance Activities Related to the Air Toxics NP “Surface Coating” In the Reporting Plan for FY 2010 we stated: –“Surface Coating” sub-priority has been removed as an Air Toxic priority. –However, “Surface Coating” is still included in ICIS National Priority drop down menu. –Please do not select “Surface Coating” from the ICIS drop down menu for FY2010 cases. Prior to end-of-year “Surface Coating” will be removed as a selection from the drop down.

13. David Sprague, RAB13 Reporting Enforcement/Compliance Activities Related to the “Air Toxics NP Surface Coating”, continued Based on information we received after the Reporting Plan was issued, the decision to stop collecting data on the “Surface Coating” sub- priority is under review. –Some Regions may be finishing up “Surface Coating” cases and may need to report this information. –We have a meeting scheduled for tomorrow to discuss this matter. If the decision reflected in the Reporting Plan changes, we will let you know.

14. Lauren Spath, RAB14 Reporting results from CWA CSO and SSO cases As has been done in previous years, FY 2010 results from Combined Sewer Overflow (CSO) and Sanitary Sewer Overflow (SSO) enforcement cases will be reported as both gallons of untreated discharge addressed and pounds of pollutants reduced –This data is entered into ICIS on the Final Order, Complying Action/Injunctive Relief Screen. The Pollutant name to associate with the gallons is “Untreated Sewage.”

15. Naisa Thaker, RAB15 Changing the Certification Workbook When the National Enforcement Initiative (National Priority) Associated with a Case Changes -When a Concluded Enforcement Action changes from: > Addressing core to addressing National Enforcement Initiative > Addressing one National Enforcement Initiative to addressing a different National Enforcement Initiative must the Certification Workbook must be changed to reflect this -What measures are affected? > Outputs (NEI counts) > Outcomes (NEI $ Amounts, Environmental Benefits)

16. Naisa Thaker, RAB16 Changing the Certification Workbook When the National Enforcement Initiative (National Priority) Associated with a Case Changes Core NEI - Scenario 1: the enforcement action was Core but now has a NEI associated with it. > outcomes and outputs should be added to the NEI column - Scenario 2: the enforcement action had a NEI associated with it but now is Core > outcomes and outputs should be subtracted from the NEI column NEI -Scenario 3: the enforcement action was Core but now has a NEI associated with it. > outcomes and outputs should be deleted from the old NEI column and added to the new NEI column * * * remember! The column that will need to be adjusted may be on a different NEI sheet of the certification workbook. * * * remember! Be aware that you are adding and/or subtracting the outcomes and outputs from the totals of the measures.

17. Naisa Thaker, RAB17 Changing the Certification Workbook When the National Enforcement Initiative (National Priority) Associated with a Case Changes Steps to fix the Certification Workbook: 1.Notify RAB of the change by placing the alternative number in the Justification cell (when the region reviews and revises the workbook). IF you discover the error after you have already went the Certification workbook back to RAB, call or e-mail the RAB staff assigned to your Region to notify them of the change. 2.Be sure to change ALL of the outputs and outcomes in the corresponding rows (case counts, monies, environmental benefits) in the correct worksheets.

18. Naisa Thaker, RAB18

19. Naisa Thaker, RAB19 Subtract outcomes and outputs from incorrect/old NEI. Insert alternative #’s Add outcomes and outputs to correct NEI. Insert alternative #’s

20. Naisa Thaker, RAB20 Manual Data Entry bright green cellsCommon Mistake: Leaving the manual reporting bright green cells blank when the manually reported number is 0. Reminder bright green cells > Make sure that all manually reported data is in the appropriate bright green cells. bright green cells > When the value is 0, it must still be entered into the bright green cells. bright green destination cells > When workbook population is complete, ensure that there are no empty bright green destination cells in the workbook. Why its important > Inefficient use of time. RAB cannot assume that unpopulated green manual data entry cells are 0. We must call the regions to verify.

21. Naisa Thaker, RAB21

22. Naisa Thaker, RAB22 Regional Questions Selecting between “Concluded and “Closed” on the Milestone screen > When to use “Concluded” and when to use “Closed? Concluded: date that an Order/CD is Entered (judicial) or Final/Issued (Administrative) Closed: date that all terms of a CD or CA have been met and the case is completely finished (CA/CD is terminated).

23. Sara Ager, RAB23 Multi-regional/National Case Reporting Identifying Your Case as a Multi-regional Case Adding Court Docket Numbers to Multi- regional Cases Responsibilities of Lead Region for Multi- regional Cases

24. Sara Ager, RAB24 All multi-regional cases must have the ICIS multi-regional checkbox selected. With the release of ICIS 3.6, regions now have the ability to select the multi-regional box, saving them the step of contacting headquarters. Checking the multi-regional box is necessary to ensure that the enforcement action will appear in reports that capture national cases. Identifying Your Case as a Multi-Regional Case Instructions for flagging the multi-regional checkbox: Please note: Regions are still required to enter “NC” or “National Case” in the enforcement action name. 1)Go to the Basic Info screen of the Enforcement Action module; 2) On the right hand side of the screen, under “Status Data,” click on the check box to the right of “Multi-regional”; 3) Scroll down to the bottom of the page and click either “Save and Exit” or “Save and Continue.”

25. Sara Ager, RAB25 Adding Court Docket Numbers to Multi-regional Cases Court docket numbers are now required to be entered for multi-regional cases. The Court Docket Number field is found on the ICIS Enforcement Action Basic Info screen, in the “Court Information” Section. Please enter the court docket number when you enter the complaint filed date into ICIS. Enter the court docket number exactly as it is found on the consent decree. This will ensure that all regional portions of the national cases can be identified.

26. Sara Ager, RAB26 Responsibilities of Lead Region for Multi-regional Cases Identifying themselves as Lead Region in the Enforcement Action Name and the Final Order Name**. –“(National Case)” AND “(Lead)” Work with headquarters to determine breakouts and send them to each of the participating regions and headquarter offices. Ensure correct final order types are selected. –‘Consent Decree or Court Order Resolving a Civil Judicial Action’ for Lead Region –‘Non-Lead Participant’ for Non-Lead Region **Now that regions are entering “Lead” into the EA name, it is no longer necessary for the lead region to contact RAB and identify themselves as the lead.

27. Sara Ager, RAB27 New National Case Report The new National Case Report (Under Construction) will show the following: National Cases by Region National Cases by Court Docket Number Cases with the multiregional box checked but “(National Case)” or “(NC)” is not included in the Enforcement Action Name Cases with “(National Case)” or “(NC)” in the Enforcement Action Name but the multiregional box is not checked National Cases missing the Court Docket Number National Cases missing “(National Case)” or “(NC)” in the Final Order Name

28. Dan Palmer, RAB28 Avoiding Dead Referrals in ICIS We have a problem in ICIS with “Dead Referrals.” A Dead Referral is a judicial enforcement action that in reality is concluded and/or closed – but in ICIS looks like it is still active/alive – the living dead….

29. Dan Palmer, RAB29 Resolving Dead Referrals in ICIS Living Dead Referrals are created when a region opens a record in ICIS for a new enforcement case, enters a referral date, but never concludes the case in ICIS despite what has happened to the case in the real world. –Dead Referrals in ICIS tend to be those that conclude by some non-standard means: They are concluded when the Region withdraws the case, DOJ or the U.S. Attorney return the case to the region, the case is combined with another case, etc. They are not concluded by lodging and entry of a consent decree.

30. Dan Palmer, RAB30 Resolving Dead Referrals in ICIS The Rule: –All concluded enforcement cases in ICIS must have: 1)a concluded date (or a final order issued/entered date); and 2)an enforcement resolution type selected. If we all follow this rule no new Living Dead will be raised….

31. Dan Palmer, RAB31 Referrals vs. Supplemental Referrals – What’s the Difference? It’s a question as old as the hills – at least old as the hills of paper in my office: –We sent this package over to DOJ asking them to sue the bad guys! That’s a referral, right? Wrong? Supplemental referral? Huh? It sure looked and smelled like a referral!

32. Dan Palmer, RAB32 Referrals vs. Supplemental Referrals – What’s the Difference? Well, there is a difference between a referral and a supplemental referral and it doesn’t have much to do with the look, feel or weight of the paper work. Neither does it have to do with the importance or significance of the matter. It only has to do with the nature of what we are asking DOJ to do.

33. Dan Palmer, RAB33 It’s a Referral!! If we are asking DOJ to take an action related to an existing case (e.g., enforce or amend an existing CD, amend a case already referred, amend a complaint that was already filed) then the request to DOJ is a supplemental referral. It’s a Supplemental Referral!! If we are asking DOJ to initiate a brand new case, to file a brand new complaint in court, then the request to DOJ is a referral!

34. Dan Palmer, RAB34 21 st Century Reporting on Referrals and Supplemental Referrals We report out on the numbers of both referral and supplemental referrals in: –Annual Results –EPA Accomplishments Reports –Regional Trip Reports

35. Dan Palmer, RAB35

36. Dan Palmer, RAB36 EPA Civil Enforcement and Compliance Activities Referrals of Civil Judicial Enforcement Cases to Department of Justice (DOJ) 280 Supplemental Referrals of Civil Judicial Enforcement Cases to DOJ 35 Civil Judicial Complaints Filed with Court 164 Civil Judicial Enforcement Case Conclusions 192 Administrative Penalty Order Complaints 2,056 Final Administrative Penalty Orders 2,084 Administrative Compliance Orders 1,390 Cases with SEPs 188 OECA FY 2008 Accomplishments Report: Appendix B

37. Dan Palmer, RAB37 FY 2009 Region 7 Trip Report (Excerpt)

38. Dan Palmer, RAB38 Causality, Environmental Benefits, and Complying Action Value In order for OECA to take credit for environmental benefits and/or complying action value associated with actions taken by a regulated entity, these outcomes must have been directly caused by the enforcement action. CauseEffect

39. Dan Palmer, RAB39 Causality, Environmental Benefits, and Complying Action Value –It is not enough that the regulated entity took the action at the time that EPA had an enforcement action pending or under consideration –The action taken by the regulated entity must have been taken because the regulated entity was reacting to the threat of EPA enforcement EPA

40. Dan Palmer, RAB40 Causality, Environmental Benefits, and Complying Action Value –It is enough that the regulated entity believes that an EPA enforcement action will be issued and acts prior to issuance (possibly to mitigate penalties, or anticipating injunctive requirements…) –It is not necessary that the regulated entity was forced to take the action by a requirement in an enforceable document (e.g., Consent Decree or Agreement) But, it is necessary that the action was taken in direct response to the threat or reality of an EPA enforcement action

41. 41 Presenter Contact Info Dan Palmer, RAB Chief palmer.daniel@epa.gov (202) 564-5034 Sara Ager, RAB Reporting Team Leader ager.sara@epa.gov (202) 564-7968 Naisa Thaker, RAB thaker.naisa@epa.gov (202) 564-2944 Lauren Spath, RAB spath.lauren@epa.gov (202) 565-0016 David Sprague, RAB sprague.david@epa.gov (202) 564-4103 Liz Vizard, OSRE vizard.elizabeth@epa.gov (202) 564-5940