The Changing NPDES Enforcement and Compliance Program The Program The Policies ICIS-NPDES

1. The Changing NPDES Enforcement and Compliance Program The Program The Policies ICIS-NPDES David Hindin, U.S. EPA Director, Enforcement Targeting Data Division August 15, 2005 ASIWPCA 2005 Annual Meeting

2. Outline • Our World has Changed • The evolving NPDES Program • ICIS-NPDES • System Modernization • ICIS-NPDES Policy Statement • Update from 1985 • Wet Weather SNC • Update from 1986

3. Our World Has Changed • Since its introduction in 1972, the NPDES permit program is responsible for significant improvements to our Nation's water quality. • The NPDES program has changed considerably since the 1980s • Focus on the “wet weather” sources. • Storm water runoff from municipal and industrial sources • Discharges from concentrated animal feeding operations (CAFOs) • Sanitary sewer systems (CSOs and SSOs) • Moving from a facility population of 6,700 Majors to a much larger number of Minor Sources in addition to the Majors. • Government Performance Results Act (GPRA) • OMB’s Program Assessment Rating Tool (PART)

4. Managing the Changes • These changes in the NPDES program require new tools and policies • PCS Modernization (ICIS-NPDES) • ICIS-NPDES Policy Statement • Wet Weather SNC Policy • Guidance on NPDES Wet Weather and CAFO Inspections • Single Event Violation Data Entry Guide for PCS and ICIS-NPDES • NPDES Compliance Monitoring Strategy

5. New Tools and PoliciesWhat are we trying to accomplish? • Smarter, better enforcement and compliance programs. • Understand who we regulate. • Become more efficient and analytic in our work • target our compliance monitoring and enforcement program to the worst environmental problems while de-emphasizing investments in areas that do not show problems. • Reduce the resources needed to prepare for inspections through better, more complete analysis. • Provide clear guidance and policies to increase consistency and reduce transaction costs for states and EPA regions. • Allow us to tell our story – documenting what problems we know about, and how we have dealt with them.

6. PCS Operations

7. PCS Modernization: ICIS-NPDES • Before we move into the details: Thank you ICIS-NPDES has been designed with extensive State involvement: PCS Modernization Concept Workshops 24 state participants representing 18 states General Design Requirements Gathering Workshops 42 state participants representing 26 states Six NPDES Data Requirements Workgroups (6+ months) 36 state participants representing 21 states Five NPDES Design Workgroups (7+ months) 27 state participants representing 14 States Weekly Data Migration/Data Clean-up Calls (ongoing) 14 – 20 state participants There’s not enough room for everything

8. Need for a Modernized System • PCS does not support the changes the NPDES permit and enforcement program • PCS focused on DMR processing while a great deal of our work is now inspection-based. • New program focuses on different facility universes, not just the traditional majors. • EPA and the States are under increasing pressure from external stakeholders to provide data-driven output and results measures. • Weaknesses in the data system and content in part led to Legacy PCS being listed as a FMFIA Agency Level Weakness since 1999. • Modernizing PCS is key component of remedying this weakness.

9. Need For A Modernized System –Improving Systems Infrastructure and Compatibility • PCS uses old technology and is not user friendly. • ICIS NDPES will provide secure, easier access via web-based desktop tools. • ICIS NPDES will provide for “real time” data entry. • Streamlined Data Exchange with States. • Will use the National Environmental Information Exchange Network,and Central Data Exchange (CDX – EPA’s Network node), to better exchange data with States. • Support EPA Information Technology Initiatives. • Will support data integration, EPA/State data standards, and the Agency’s Enterprise Architecture.

10. What aspects of ICIS-NPDES Will Help Accomplish Our Goals? • Enabling and simplifying data entry for both direct user and batch states. • Preserving and managing key data from PCS that is still needed to run the program (e.g, DMR/QNCR processing). • Managing new information that is needed to run the program, but was missing from PCS. • Better definitions, guidance, and business rules to make the data more meaningful and useful.

11. New Screens – Data Entry Home Page

12. New Screens – Add Permit & Component

13. Schedule for Direct Users • December 31, 2005: System ready for User Acceptance Testing (UAT) • January – February 2006: User Acceptance Tester Training • February – March 2006: Training • March 31, 2006: • Wave 1 : Live operations for 7 of the 14 Direct User NPDES States and all Federal Enforcement and Compliance users • June 2006: • Wave 2: Live operations for the remaining 7 Direct User states • August/September 2006: • Wave 3: Live operations for all remaining Direct User NPDES States to include Territories and Tribes

14. Schedule for Indirect Users (Batch) • July 2005: • ICIS-NPDES Schemas have been reviewed and approved • December 2005: • NPDES Batch Transmission Independent Review to evaluate applicability of lessons learned from the IDEF project to the ICIS-NPDES Batch functionality • Spring 2006: • Develop a detailed plan for the ICIS-NPDES Batch release

15. System User Acceptance Testing • State and EPA User Acceptance Testing (UAT) • Requires testers from NPDES direct user states • Required UAT Training precedes testing (5 days) • January 9 – 13, 2006 • Recommended on-site (Washington DC), focused, testing for at least one week • January 16 – 20, 2006 • Testing from State/Region offices • January 23 – February 3, 2006

16. Training • Training is Free • Training can be held in your State or Region • We are asking the States and Regions to coordinate based upon room availability and number of participants. • The first rounds of training is 5 days, Soup to Nuts NPDES. • Permitting • Compliance Monitoring • Compliance Determination • Enforcement • Reports

17. Training Logistics • Schedule • Wave 1 Regional/State Training Region 1 (New Hampshire, Massachusetts, Rhode Island) Region 2 (New York) Region 3 (Maryland, DC) Region 5 (Indiana) February – March 2006 • Wave 2 Regional/State Training Region 2 (Puerto Rico, Virgin Islands) Region 6 (New Mexico) Region 8 (Utah) Region 9 (Hawaii) Region 10 (Alaska, Idaho) April – May 2006 • Wave 3, Regional/State Training June – July 2006 • Training Requirements • Requires a room where trainees will have a computer • For the initial rounds of training, we ask participants to be familiar with the NPDES program Questions on Training Contact: Rochele Kadish 202-564-3106 States in italics are approved states.

18. User Previews to Prepare for the ICIS-NPDES Change • Monthly 1 – 2 hour WEBX sessions • First one tentatively scheduled for August 24, 2005 12:00 – 2:00 EST • A repeat of the User preview from the July PCS National Meeting – Big picture look at the process of entering a Permit all the way through to an Enforcement Action. • Increase your familiarity with the look and feel • Target System specific areas

19. ICIS-NPDES – Outreach & Communication • ICIS-NPDES News YOU Can Use • A monthly newsletter – started in February 2005 • Sent out via e-mail • Contact kadish.rochele@epa.gov to get on the mailing list • The newsletter presents basic information on topics, identifying contacts for more in-depth details

20. The Policies to support the changing Program and Data System • ICIS-NPDES Policy Statement • Wet Weather SNC Policy

21. ICIS-NPDES Policy – Why we need it • ICIS-NPDES, the modernized system, will change many of the current data management practices for PCS. • New program areas have new data needs • Web interface system allows for more decentralized data entry. • Ability to track and report on the entire NPDES universe. • Desk top access.

22. ICIS-NPDES Policy:A Collaborative Process • Data elements were developed by six EPA/State workgroups in 2002 • Widely reviewed by EPA/states • ECOS briefed on elements in fall 2002 • PCS Steering Committee/PCS Modernization Executive Council review and approved • 2004 EPA/State workgroup developed an ICIS-NPDES Policy Statement Strawman • March 2005 face-to-face meeting of PCS Steering Committee • June 2005 review and comments by PCS Steering Committee

23. ICIS-NPDES Policy – What steps have been taken • Net Increase in WENDB is 34% - from 200 to 267 • 152 of the 267 are for the Special Regulatory Programs, which are conditionally applied • No distinction between majors and non-majors • Enforcement data • Formal actions & penalties for state actions • Compliance schedules • Compliance monitoring data • DMRs for non-majors • Single event violations

24. ICIS-NPDES Policy – Where we are • PCS vs. ICIS-NPDES WENDB

25. ICIS-NPDES- EPA Support For States • EPA has taken and is taking many actions to reduce the burden associated with the expanded data elements, including: • Designing a new system that makes manual data entry much easier. • Working to make sure that states can easily flow data to the new system using the National Environmental Information Exchange Network. • Using OEI and OECA grant programs to help states prepare for ICIS-NPDES • FY2004 • 10 OECA grants were awarded, totaling $1.87 million. • 6 OEI Exchange Network grants included ICIS-NPDES activities. • FY2005 • 11 OECA grants, totaling $1.7 milion. • OEI Network grant announcements expected shortly. • FY2006: Anticipate continued support in both grant programs.

26. Electronic DMRs: key to burden reduction and better NPDES program management. • Some states, with EPA grant funding, have operational E-DMR systems. • In 2004, EPA, in consultation with states, developed a proposal to create a national, multi-state electronic DMR tool that states could use as part of ICIS-NPDES and the Exchange Network. • See NETDMR paper at www.epa.gov/idea/netdmr • FY2005 OEI Network grant applications from states for developing this tool are currently under review.

27. ICIS-NPDES Policy – Working on Implementation Issues • Transition plan provides a strategy for entering the new elements. • Data quality standards • Timeliness, accuracy, completeness • Data reporting flow – data exchange with non-direct ICIS-NPDES users • Data element policy issues • Single event violation threshold • RNC/DMR non-receipt flag tracking • Linking inspections-violations-actions • Roles and Responsibilities

28. ICIS-NPDES Policy – Next Steps • Expand the PCS Steering Committee to include ECOS and ASWIPCA members. • Distribute a draft ICIS-NPDES Policy Statement to EPA/State NPDES managers and ASWIPCA for review and comment • September 2005 • 60 day comment period • Hold conference calls to discuss issues and draft document • Face-to-face meeting with the expanded State/EPA PCS Steering Committee. • Resolve outstanding state issues in collaboration with ECOS and ASWIPCA (fall/winter) • Finalize ICIS-NPDES Policy Statement by March 2006

29. Another Important Policy Update • Wet Weather Significant Non Compliance Policy (WW SNC) For More Information on WW SNC Contact: Kate Anderson, Associate Director Water Enforcement Division Anderson.kate@epa.gov / 202-564-4016

30. Wet Weather Significant Non Compliance (WW SNC) Policy • Recent National Water Quality Inventory Reports show the growing significance of impairing pollutants from wet weather sources (CSOs, SSOs, CAFOs and storm water). • The importance of effectively controlling these sources requires states and EPA to improve our ability to track these sources, their violations, and our efforts to address them, including developing appropriate compliance and enforcement policies and tools.

31. Proposed WW SNC Approach Involves Five Steps • Conduct compliance monitoring activity (e.g, inspection or file review) • Gather information and develop findings • Determine SNC, where appropriate (apply program-specific SNC criteria included in the policy) • Notify owner/operator of noncompliance status • Undertake timely and appropriate enforcement response (in accordance with the timeline provided in the policy)

32. WW SNC Next Steps: • Aug - Sept 2005: • Set up NPDES work group between EPA and ASIWPCA. (include ECOS representative) • Sept-Nov 2005: • Send current SNC straw proposal to work group for review and comment; revise and develop draft SNC policy • Dec 2005 - Jan 2006: • Send draft SNC policy to full ASIWPCA for review and comment • Feb - March 2006: • Report back to work group on comments received; revise draft • April 2006: • 2-3 week review by ECOS • May-June 2006: • Finalize SNC policy SNC WW Contact: Kate Anderson: 202-564-4016

33. Summary: There’s a lot going on Program Changes System Changes Policy Changes • We need to know who we regulate, which facilities are having problems, and what we are doing about the problems. • When the NPDES program is informed by data with consistent policies and guidance, implementing agencies can be: • More efficient in using resources • More productive in getting better environmental outcomes. • With heightened accountability and public access expectations, ICIS-NPDES will enable us manage programs from the data, report our results, justify our resources, and satisfy the public that we are addressing key noncompliance issues.