CAA Watch List / HPV Identification and Data Entry

Transcription

1 CAA Watch List / HPV Identification and Data Entry Tracking CAA High Priority Violations Policy (HPV) Requirements for HPV Tracking/Data Entry and Timely Enforcement Enforcement Targeting and Data Division June 16, 2005

2 HPV/Watch List Context/Background The CAA HPV Policy (1) states that: EPA will use this enforcement policy to determine whether EPA Regions and S/L s are addressing HPVs with a timely and appropriate enforcement response. This policy is intended to foster and develop a more complete and accurate compliance picture and to enhance the responsibility of implementing agencies to track HPVs and address all violations. An essential part of this tracking process is assuring that all HPVs are promptly entered into... AFS. What analysis can support these goals? Note 1: 1998 HPV Policy developed with significant STAPPA/ALAPCO input and agreement 2

3 Watch List Goals & Benefits Goals: Management Tool Use by S/L s, Regions to track HPV s beyond milestones Use by Regions/OECA to evaluate Policy timelines implementation Identifies needed dialogue on specific cases Provides routine (Qtrly) report to HQ per Policy Internal to EPA and States (Fed. FOIA protected) No additional burden on States/Locals beyond Policy implementation 3

4 Watch List benefits realized to date? Data Quality improvements Old addressed/resolved HPVs lingering in AFS Timeliness of HPV data entry improving Data Errors being addressed routinely Dialogues between Regions/States (WL only) Documented for first time nationally (IG report) More focused & issue oriented Significant issues discussed! Leads to meaningful joint/lead change dialogue? Rare but sometimes necessary! Definitely evidence in CWA Only a few seen in CAA but some may go unnoticed/data error Increased dialogue to make enforcement decision by Mgmt 4

5 Introduction of Concerns Summary of the four issues: Not Identifying HPVs. Some Regions and some states rarely identify and report HPVs. Majority implement adequately. Delay in HPV Reporting or Data Entry. Some Regions and states are not entering HPV determinations into AFS in a timely manner: e.g., 50 percent of new HPVs in our 6-month analysis were entered more than 90 days after the designation or Day Zero date. HPV Reported in AFS Dates that are Close in Time to Case Resolution. In some states the HPV designation date is within a few days of the final formal action. Timely Data Entry Guidance needs upgrading. There was inconsistent and incomplete guidance about when data should be entered into AFS after the applicable event occurs ICR clarifies within 60 days of event date (e.g., Day Zero) These four issues, all somewhat related, may require an integrated strategy or dialogue for addressing. 5

6 Summary of Key CAA HPV Milestones and Data Entry Requirements HPV HPV Designation Background Violation(s) on NOV RCRA Issued ERP Day 0 Discovered d Issue Day 60 NOV Day 150 Addressed Day 270 Resolved Info Required HPV Violation(s) Discovered - Violation types (1) - Pollutants (1) - Lead Agency - Pollutant Compliance Status Designates HPV by Discovering Agency - Eval/Insp. date - Type of Eval. - Link to DZ (1) - Agency Dialogue NOV Issued by Lead Agency -Issued to commence voluntary compliance -Agency notice issued starts CAA penalty clock Latest NOV Issued by non- Lead Agency Only needed if Lead Agency fails to issue NOV Addressed then concurrently/later Resolved - Date and type of formal action taken - Penalty (assessed) When data is required? How data collected/ required? Analytic Technigue Used? ICR (new <60 days) Grant agreements HPV- promptly /mo. CMS Guidance Stack Test Guide Self- monitoring Other CM techniques AFS 653 IDEA with new ICR - Written guidance promptly (pg 10) - New ICR < 60 d HPV Policy AFS 653 IDEA Delayed Analysis ICR (new <60 days) HPV Policy S/L Enf. Policies Delegation agreements AFS Action Queries OTIS ICR (new <60 days) AFS & Monthly calls/mtgs HPV Policy AFS 653 (Lead Chg) (1) New ICR data. All above data without footnote included in previous ICRs as MDR ICR (new <60 days) HPV Policy AFS 653 Watch List IDEA (several tools) 6

7 HPV Analytic Capabilities and Challenges OTIS provides information on frequency/universes of Regional or State/Local (S/L) HPV data entry (e.g., new HPVs). OC can imprecisely track delay in data entry; however, this technique is not discussed in any documentation and is not part of AFS (done by storing monthly IDEA snapshots). OC is not able to estimate HPV discovery dates that appear inconsistent with expectations, and the analysis is not conclusive. New ICR HPV linkage will improve precision. More precise data and analyses will increase analytic efficiency by S/L s; Regions and HQ and allow proper recognition for good performance in HPV implementation. 7

8 Issue 1 Lack of SNC ID/reporting Some Regions/states rarely identify or report HPV. In 16 states, major source inspections led to an HPV finding at a rate of 5% (1/2 Nat l Avg.) or less in 2004, and 5 states reported no HPVs in 2004 (including state and EPA data). Judging from enforcement actions taken, some states do not designate these cases as HPV. HPV rates also must undergo sensitivity analysis particularly because some small states may not have any HPV. Need to develop an action plan for how this issue is handled. 8

9 Issue 2 Delayed Entry of SNC Some Regions/states excessively delay the entry of HPV into AFS. (6 - month analysis; Oct 04-Apr 05) Based on a comparison between: Month the HPV first appears in IDEA refresh, and HPV designation date (e.g., Day Zero) in AFS. Up to a 30 day grace included S/L & EPA HPV together. Will do analysis to separate: Delayed entry by key Day Zero + x day milestones: 61 % delayed more than 60 days (NOV issue date by lead) 50 % delayed more than 90 days, 31 % delayed more than 180 days (beyond EPA NOV date Difficult to determine exact date of HPV entry. 9

10 Issue 2 Continued When HPV identification data is not reported until a formal enforcement action is taken, the following core programs are negatively impacted Substantial threats could go unnoticed by Regions (e.g., not implementing HPV Policy) OC compliance screenings (e.g., voluntary programs, awards, etc.) for the Agency are not accurate Prevents Regional - state case lead discussions Watch List management tool is inaccurate ECHO does not provide accurate data to public 10

11 Issue 3 Inaccurate HPV Date Some Regions/states may not accurately report the HPV designation date ( Day Zero ). Date their HPV on the same day or just before action is taken. Current lack of a link between the HPV Day Zero and the discovery event hinders analysis. Better analysis will be possible after 2005 ICR. Makes timely and appropriate analysis impossible, facilities kept from Watch List, identification of a facility an HPV and the true duration of HPV violation remains a mystery to data users (public and internal EPA and S/L). 11

12 Issue 4 Guidance Weaknesses There were gaps/conflicts in the guidance under the CAA program regarding the timely entry of nationally required data into AFS. (ICR +: improvements) EPA normally expects data errors to be corrected within 60 days. Lack of guidance could cause problems in excessive delay in data corrections leading to Info Quality Guideline issues. (ICR+) State Framework Review project may encounter problems in selecting date of yearly pulls. Agreement is needed on how data should be used to measure Regional performance against the HPV (particularly under State Framework). 12

13 Next Steps National/Regional meetings with states will frame these issues for discussion particularly variance in HPV ID rates including acceptable rationales. AFS Workshop (July 12-14, 2005) in Pittsburg, PA OECA will develop analyses (e.g., internal Watch List with individual Regions with S/L dialogues) to examine integrity of HPV data over time (in about six months). OECA will use the analyses for discussion with particular Regions and states (e.g., significant Policy implementation issues). Discussion of State Framework and Watch List as vehicles to promote discussion of these issues. 13