# Presentation: 100784

**Office of Enforcement and Compliance Assurance (OECA)****Office of Compliance (OC)****Enforcement, Targeting, and Data Division (ETDD)**

- Millennia Partners Conference
- August 1, 2008

- Integrated Compliance
- Information System (ICIS)

** **

## Partners Conference Agenda

- Welcome
- Executive Overview
- ICIS Programmatic Overview
- ICIS (System) Overview
- What is EPA Looking For?
- Q&A

## Executive Overview

- Speaker:	Lisa Lund, Director
- 		Office of Compliance

**Notes:**
OECA of the Future... How we can use the information to better support the business... to quickly access and use information

Each Major Modernization Approach is a little different.  Using Agency’s Lifecycle Approach

What and How ICIS relates to these other initiatives

We wanted to spend some time highlighting where we are now.

This is to list a few major issues and challenges

## ICIS Vision

- A modernized information system that improves data sharing with States and other partners via Central Data Exchange (CDX) and the National Environmental Information Exchange Network.
- A system based on modern Web technologies that provides easy-to-use Desktop access to real-time information for EPA, Regions, and States while replacing outdated, complex systems that exist on a variety of computer hardware platforms.
- Development is “in step” with both the Agency’s Enterprise Architecture and the Agency’s greater information integration effort.

## What business needs are driving ICIS?

- Problems with OECA’s national legacy data systems:
- Old systems that lack current technology for users
- Not meeting the evolving business needs of the Agency’s programs
- Under scrutiny by the IG and GAO, with the Permit Compliance System (PCS) being identified as Agency FMFIA weakness
- Data needs informing program direction for both the NPDES and the Enforcement and Compliance programs that would support:
- Documenting and evaluating program performance
- Providing national statistics
- Determining priorities
- Evaluating appropriateness of withdrawal petitions
- Providing information to respond to law suits that challenge scope of specific areas in the CWA
- Determining need for guidance or policy
- Determining needs or potential impacts of new rules

## What business needs are driving ICIS? (cont.)

- To address these concerns and needs, OECA initiated the phased development of an integrated data system: ICIS, to modernize:
- The system used to track federal enforcement and compliance outcomes and results, the **Civil Enforcement Docket System. **
- The **Permit Compliance System (PCS)** to meet the current CWA NPDES program needs.
- The **Air Facility System (AFS)** to meet the CAA stationary source program needs.

## ICIS Programmatic Overview

- Speaker:	Betsy Smidinger, Acting Director
- 		Enforcement Targeting & Data Division

**Notes:**
OECA of the Future... How we can use the information to better support the business... to quickly access and use information

Each Major Modernization Approach is a little different.  Using Agency’s Lifecycle Approach

What and How ICIS relates to these other initiatives

We wanted to spend some time highlighting where we are now.

This is to list a few major issues and challenges

## ICIS Development History

**A phased approach was taken for developing the ICIS system to**:
- Start the development with a manageable core that would support the enforcement and compliance business and a defined set of users which would allow for working out the kinks of new technology and to incorporate technological advances such as Internet use and electronic commerce.
- To better manage the funding for a project of this scope which spans multiple budget years and would require significant staff resources.
**ICIS Development Phases:**
- ICIS Phase I: National and Regional Federal and Compliance Systems Modernization – Core system to support federal Enforcement and Compliance activities.
- ICIS Phase II: Permit Compliance System Modernization – National system supporting the CWA National Pollutant Discharge Elimination System (NPDES) Program. An expansion of Phase I to support the complex and unique needs of the NPDES program for EPA and States.
- ICIS Phase III: Air Facility System (AFS) Modernization - Expansion of ICIS to include the unique requirements of the Clean Air Act (CAA) Compliance and Enforcement program.

## ICIS Phased Approach  

- Replaced 3 outdated national systems and several regional tracking systems.
- Integrates with FRS.
- Used by HQ and Regions to manage enforcement and compliance.  Supports annual public accomplishment reporting, such as GPRA pounds of pollutants reduced.

** **

**Direct Users**

- National Pollutant Discharge System
- NPDES

- Phase II: PCS Modernization

- Federal Enforcement
-  and Compliance

- Phase I
- Enforcement Docket

- Air Facility System

- Phase III
- AFS Modernization

**ICIS Phased Approach  **

## PCS Modernization Direct User Release 

- On June 23, 2006, the new system, the Integrated Compliance Information System (ICIS 2.0) was released.
- ICIS is one system, but has two components:
**ICIS-NPDES (PCS Modernization)**** **– supports the implementation and management of the NPDES permitting,compliance and enforcement programs in EPA and states.
- Direct Users: 21 States, 2 Tribes, and 9 territories are now using ICIS-NPDES instead of PCS.
**ICIS-FE&C** - supports the Federal Enforcement and Compliance (FE&C) component of EPA’s civil enforcement and compliance program.
- In FY2007, we planned for and implemented four quarterly releases to improve system performance and stability, correct problems and make assorted enhancements to meet user needs.

## ICIS Phased Approach  

- Implemented FY 2002
- Replaced 3 outdated national systems and several regional tracking systems.
- Integrates with FRS.
- Used by HQ and Regions to manage enforcement and compliance.  Supports annual public accomplishment reporting, such as GPRA pounds of pollutants reduced.

** **

**Direct Users**
- Implemented
-    FY 2006
-  21 States
-  2 Tribes
-  9 Territories
- New/evolving
- program
- requirements
-  CAFO
-  Storm water
-  CSO
-  SSO

***Batch Release***
***Part 1***

***Batch Release ***
***Part 2***

***Batch Release***
***Part 3***

- National Pollutant Discharge System
- NPDES

- Phase II: PCS Modernization

- Federal Enforcement
-  and Compliance

- Phase I
- Enforcement Docket

- Air Facility System

- Phase III
- AFS Modernization

## ICIS-NPDES 3 Part Batch Release Approach

**Part 1**:  _Batch DMR for Hybrid States._   *Hybrid states* will electronically transfer (batch) DMR data from a state system to ICIS–NPDES and will enter all of the non-DMR NPDES data into ICIS–NPDES via the ICIS web screens.  Most hybrid states are expected to use ICIS-NPDES to directly manage their NPDES program.  There are 8 to 10 hybrid states.
**Part 2**:  _NetDMR._  Development of the functionality for ICIS-NPDES (via CDX) to receive DMRs from facilities that have electronically signed and submitted them using NetDMR. The NetDMR tool is being developed pursuant to an Exchange Network grant managed by Texas with the participation of 11 others states, OEI and OECA.  (The XML DMR schema component developed in Part 1: Batch DMR for Hybrid States will also be used in the NetDMR flow.)
- EPA expects about 20 to 30 states may use NetDMR, either as a centrally run EPA system, or adopt it for their own system.
**Part 3:**  _Full batch states._  Full Batch states have their own systems to manage the NPDES program and will electronically transfer (batch) all of their NPDES data from their state systems via CDX to ICIS–NPDES. This will include the previously developed DMR data as well as all other data families in ICIS-NPDES.  There are approximately 22 full batch states. (The XML DMR schema component developed in Part 1: Batch DMR for Hybrid States will be used in full batch schema.)

## ICIS Current and Future

- Replaced 3 outdated national systems and several regional tracking systems.
- Integrates with FRS.
- Used by HQ and Regions to manage enforcement and compliance.  Supports annual results public  reporting, such as GPRA pounds of pollutants reduced.

**Modernization of the CAA Air Facility System – (AFS)**
- AFS tracks permit compliance and enforcement data for major stationary sources.
- FY2008: Developing
- Business requirements

**Direct Users**
- Implemented
-    FY 2006
-  21 States
-  2 Tribes
-  9 Territories
- More recent
- program
- requirements
-  CAFO
-  Storm water
-  CSO
-  SSO

***Batch Release***
***Part 1***
**Hybrid Users**
**May 5, 2008**
**Implement 1**
**State **
**August  2008 **
**Implement  4 to 6**
**States.**
**FY09: Implement **
**2 to 4 states**
**Direct entry of **
**all data except  **
**DMR data, **
**which will be **
**electronically **
**transferred.**

***Batch Release ***
***Part 2***
**NetDMR**
- Aug 2008:
- “demonstrable”
- done per
- Grant.
- FY09:
- Testing and
- Implement
- Permittees
- electronically
- sign & submit
-  DMRs.

***Batch Release***
***Part 3***
**Full Batch**
- Begin work
- FY 2009
- For 22
- States to
-  electronically
- transfer all
- their data
-  from their
- state system.
**May be revised**
**based on**
** ****Alternative**
**Analysis**

- National Pollutant Discharge Elimination System
- NPDES

- Phase II: PCS Modernization

- Federal Enforcement
-  and Compliance

- Phase I
- Enforcement Docket

- Clean Air Act
- Stationary Sources

- Phase III
- AFS Modernization

**Exchange Network**

- Keeping the system in synch with new and evolving programmatic management needs.
- Keeping the system in synch with new and evolving technology.
- Managing expectations of a large and diverse universe of users.
- Obtaining input from stakeholders and addressing those stakeholders needs.
- Managing the NPDES program using two systems that address different programmatic and data requirements, and that have different functionality.