RCRAInfo Version 3 Overview 2005 RCRAInfo National Users

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RCRAInfo Version 3 Overview 2005 RCRAInfo National Users Conference August 2 – 5, 2005 Nashville, TN

V 3 in a Nutshell Lori Furr, OSW

V 3 Overview Ø Ø Ø New technology/New Look Handler Searches Sort options Easier viewing of lists Easier viewing of selected information Edits/Informative Messages 3

New Technology/New Look 4

New Technology/New Look (cont. ) 5

Handler Searches 6

Sort Options 7

Easier Viewing of Lists 8

Easier Viewing of Lists (cont. ) 9

Easier Viewing of Lists (cont. ) 10

Easier Viewing of Selected Information 11

Edits/Informative Messages 12

Edits/Informative Messages cont. 13

Edits/Informative Messages 14

Changes to the CM & E Module Debbie Goodwin, OECA

Creation or Collection Criteria Ø National Information: Information that has mandatory creation or collection. v Ø National information must be tracked except where the Implementer is not authorized for that aspect of the RCRA program; i. e. , some national information will remain essentially voluntary, either on the part of the Implementer (as in the case of the Universal Waste rules) or the affected entity (as in the case of CESQGs). Shared and Optional Information: Information that is optionally created or collected. 16

Specified Level of Quality & Currency Criteria Putting in place standards for data currency and quality will enable useful sharing but requires additional attention from all implementers. Ø National Information: Information that is maintained to a specified level of quality and currency. Ø Shared and Optional Information: Information that may be collected in many different ways and is not always current or fully qualified. 17

Relies on Federal Rule OR Identified Directly by the Program Criteria Ø National Information: Information that relies on Federal rule to support the authority for its collection from the regulated community. v Ø This is true for all national information needs that are collected from the regulated community. However, a Federal rule is not required in cases where the information is identified directly by the program, which is the case for most all CM&E data (e. g. , Evaluation, Violation and Enforcement Data). Shared and Optional Information: Information that does not depend on Federal authority for its collection. 18

Accessible to All Regulators from RCRAInfo Criteria As implementers begin to share information, certain standards for use and dissemination must be defined to prevent misunderstanding, especially if the data is to be made publicly available. Ø National Information: Information that is always accessible to all regulators from RCRAInfo. Ø Shared Information: Information that is accessible to all regulators from RCRAInfo at the discretion of the Implementer. Shared Information should be shared by an Implementer unless there is a valid mitigating reason not to. 19

Accessible to All Regulators from RCRAInfo Criteria v Ø Shared Information is considered to be very important information to share with the RCRA regulatory community. The reason that this information need is not ‘National’ is because it is believed to be impractical to require that all Implementers provide this information. For example, if the Implementer has the data but believes that it is of a poor quality; if the Implementer does not currently track that data, and the added burden of collecting it is too great to justify its future collection; or if the data is considered to be confidential by the Implementer’s State. Optional Information: Information that is accessible to all regulators from RCRAInfo at the discretion of the Implementer. Even if implementers collect this Optional Information they do not need to share it unless they choose to. 20

CM&E Data Elements in V 3 Evaluation Data (cevaluation 3) National (Mandatory): Evaluation Activity Location Evaluation Start Date Day Zero Evaluation Type Multimedia Inspection Not Subtitle C Focus Area Description Evaluation Identifier Evaluation Agency Found Violation Citizen Complaint Sampling Focus Area Optional (Optional – Implementer’s choice): Evaluation Responsible Person Evaluation Suborganization Evaluation Notes 21

CM&E Data Elements in V 3 (continued) C 6003 Fed 3 Data This table contains data only for EPA inspections at Federal facilities. National (Mandatory): Inspection Performed Questionnaire Completed Questionnaire Given Inspector Questionnaire Received Site Questionnaire Received Optional (Optional – Implementer’s choice): Notes 22

CM&E Data Elements in V 3 (continued) Request Data (crequest 3) All Request information is shared. Shared (Optional – but really should be there): Date of Request Date Response Received Agency Activity Location 23

CM&E Data Elements in V 3 (continued) Commitment Data (commitment 3) All Commitment information is optional. Optional (Optional – Implementer’s choice): Commitment Type Commitment Description Activity Location Federal FY Start Date End Date Notes 24

CM&E Data Elements in V 3 (continued) Violation Data (cviolation 3) National (Mandatory): Activity Location Determined By Agency Violation Type RTC Sequence Number Determined Date Actual RTC Date Optional (Optional – Implementer’s choice): Notes 25

CM&E Data Elements in V 3 (continued) Citation Data (ccitation 3) National (Mandatory): Citation Sequence Number Citation Type Citation Description Optional (Optional – Implementer’s choice): Notes 26

CM&E Data Elements in V 3 (continued) Enforcement Data (cenforcement 3) National (Mandatory): Activity Location Enforcement Action Date Enforcement Type Appeal Initiated Date Disposition Status CAFO Seq Enforcement Identifier Agency Enforcement Type Description Appeal Resolved Date Disposition Status Date CA Component Optional (Optional – Implementer’s choice): Attorney Docket Number Responsible Person Suborganization Notes 27

CM&E Data Elements in V 3 (continued) Media Data (cmedia 3) Shared (Optional – but really should be there): Media Type Optional (Optional – Implementer’s choice): Notes 28

CM&E Data Elements in V 3 (continued) SEP Data (csep 3) National (Mandatory): SEP Sequence Number Scheduled Completion Date Expenditure Amount SEP Type Actual Completion Date SEP Type Description Optional (Optional – Implementer’s choice): Notes 29

CM&E Data Elements in V 3 (continued) Milestone Data (cmilestones 3) Shared (Optional – but really should be there): Sequence Number Technical Requirement No Technical Requirement Description Scheduled Completion Date Actual Completion Date Defaulted Date Optional (Optional – Implementer’s choice): Notes 30

CM&E Data Elements in V 3 (continued) Penalty Data (cpenalty 3) National (Mandatory): Penalty Type Amount Optional (Optional – Implementer’s choice): Notes 31

CM&E Data Elements in V 3 (continued) Payment Data (cpayment 3) Shared (Optional – but really should be there): Scheduled Date Scheduled Amount Paid Date Paid Amount Defaulted Date Optional (Optional – Implementer’s choice): Notes 32

V 3 Site Activity Highlights Rene’ Anderson, Idaho

Active/Inactive Timeline Highlights Ø Ø Ø June 2003 - Workgroup formed. May/June 2004 - National Review. February 2005 - WIN/INFORMED ESC final approval. April 2005 - Final documents distributed to User Community. July 2005 - Posted under the Version 3 documentation portion of the RCRA Partnership Web within RCRAInfo. 34

Active/Inactive Flag Ø Ø The Active/Inactive Flag will be added to the Handler Detail screen. Universe calculations will run to determine the active or inactive status of a facility by looking for SI Handler, Permitting, Converter, CA, and state-specific activities (Recommendations 1 -14). 35

HPACS Ø HPACS - Acronym will be similar to the Permitting LIBST model for determining activities (Recommendation 1). 36

New Usage Codes Ø New Usage codes will be added to show whether a state-specific activity should be used in the active universe calculation (Recommendations 11 and 14). 9 - Implementer-defined, not Nationally Required, Routinely Released, Used in Universe Calculations. v 0 - Implementer-defined, not Nationally Required, Routinely Released, Not Used in Universe Calculations. v 37

State Information Table A table that States can use to provide an overview and description of their activities will be established; data will be sent to public access Web sites (Recommendation 20). Ø The Workgroup suggested improvements be made to Envirofacts outside the realm of active/inactive status. Ø 38

Handler Data Entry Screens Ø Handler data entry screens will include a note for Implementers to standardize State Generator Status and State-specific activity descriptions (Recommendation 21). 39

New BR Reports will… Compare a State’s RCRA EPA ID Numbers against customer ID numbers in BR WR data (Recommendation 26). Ø Reverse search of WR data to find shipment information for a specific RCRA EPA ID Number (recommendation 27). Ø 40

Standing Committee A standing committee will be created to review site identification and activity data issues and develop proposals to address them (Recommendation 33). Ø The committee is anticipated to be one of the program groups as part of the new Change Management Process. Ø 41

Summary of Universe Changes Beverly Allen, OSW

Summary of Universe Changes Ø What’s A Universe? Universe: A collection of sites which share a Universe common RCRA status. v Universe Calculations: Standardized database Calculations queries routinely & automatically performed on RCRAInfo data which populate universe flags in the RCRAInfo database. v 43

Summary of Universe Changes Ø RCRAInfo V 3 incorporates additions & enhancements to universes. Recommended in HMA PAA & Site Activity Status Project reports. v Needed for next HQ Management GPRA reporting cycle. v Ø Three universe categories: Significant Non-compliers (SNCs). v Active Sites. v 2006 Permitting & 2008 Corrective Action GPRA. v 44

Summary of Universe Changes Ø Significant Non-Complier (SNC) Universes. v Twelve new SNC Universes which indicate SNC status: § § § State Addressed SNC, EPA Addressed SNC BOY State Addressed SNC, BOY EPA Addressed SNC State Unaddressed SNC, EPA Unaddressed SNC BOY State Unaddressed SNC, BOY EPA Unaddressed SNC State SNC w/Compliance Schedule, EPA SNC w/Compliance Schedule BOY State SNC w/ Compliance Schedule, BOY SNC w/Compliance Schedule 45

Summary of Universe Changes Ø Significant Non-Complier (SNC) Universes (cont. ). v V 2 SNC, BOYSNC Universes. Rules for determining Overall SNC change. § Overall BOYSNC goes away. § The V 2 SNC universe says whether or not the site is a SNC and includes every site regardless of agency. (whether unaddressed, or on a compliance schedule. v Each SNC universe flag is 1 -character field, value = Y or N. v For detailed discussion, don’t miss the general session: Everything You Ever Wanted To Know About Designating a SNC v 46

Summary of Universe Changes Ø Significant Non-Complier (SNC) Universes (cont. ). v Reference: News Alerts & General Information link on RCRAInfo main menu, RCRAInfo Partnership Website, RCRAInfo News, Version 3 Documentation, Website News Documentation HMA PAA Team’s Final Report 47

Summary of Universe Changes Ø Active Site Universe. v New 5 -character universe field indicates whether & why a site is considered active. “HPACS” indicates activities/other universes that cause HPACS the site to be active. § By default a site is inactive & Active Site = “ -----”. ----§ Ex: “----S” means facility is in Active Site Universe because it is a State Regulated TSDF. § 48

Summary of Universe Changes Ø Active Site “Sub-Universes. ” v Three new universes used in calculating Active Site Universe. § Active Site Federally Regulated TSDF • § Active Site Converter TSDF • § 5 -character, “LIBST” Active Site State Regulated TSDF 8 -character, “LIBSTYYY” • Y’s indicate State Universal Waste, Gen. Status, Other State Activities • 49

Summary of Universe Changes Ø Active Site Universes. For more information, attend breakout session WIN/INFORMED Site Activity Workgroup: Overview of Recommendations v Reference: News Alerts & General Information link on RCRAInfo main menu, RCRAInfo Partnership Website, RCRAInfo News, Version 3 Documentation, Website News Documentation Site Status Report - Final for RCRA Subtitle C Site Activity Status Project Report v 50

Summary of Universe Changes Ø Permitting and Corrective Action GPRA Universes. v Permitting 2006 GPRA § v Renewals 2006 GPRA § v 1 -character field, values = “+, -, N” - Corrective Action 2008 GPRA § 1 -character field, values TBD 51

Summary of Universe Changes Ø RCRAInfo V 3 Universe Calculations and Reporting Paper. Available in the Fall v Two sections: v Design Concepts and Programmatic Interpretations. § Technical Information. § Database Structure • Calculation Logic • 52

Securing RCRAInfo Beverly Allen, OSW

Securing RCRAInfo Every RCRAInfo user has the responsibility to protect system data from unauthorized access, modification, and release. Ø Developers, system administrators, & IT staff have the responsibility to protect software/hardware resources as well. Ø A broad range of tools & processes are used to secure RCRAInfo against external & internal threats. Ø 54

Securing RCRAInfo We have plenty of outside help… EPA (OEI) is more focused than ever towards protecting EPA’s data systems & support infrastructure. Ø The White House, Congress & OMB impose more & more stringent reporting requirements on federal government agencies to encourage diligence. Ø Under FISMA, Agencies must ensure that mission-critical data systems comply with detailed guidelines & control objectives provided by the National Institute of Standards & Technology (NIST). v An independent Risk Assessment must be conducted every three years. v A Security Plan must be maintained. v The ASSERT system used by EPA to track and report progress. v 55

Securing RCRAInfo We have plenty of outside help… (cont. ) Ø Agency requires all EPA staff (HQ & Regions) complete annual on-line security training. USALearning. gov (formerly Go. Learn. gov) v All employees complete introductory module. v Employees with “significant security responsibility” must complete additional modules. v Ø EPA contractors required to undergo similar training. 56

Securing RCRAInfo We have on-going security awareness training processes at HQ… New EPA & contractor RCRAInfo users at HQ required to read detailed RCRAInfo Data Management Responsibilities Guide & sign Acknowledgement Form certifying they understand the rules. v We strongly suggest Regions & States implement a similar process. v Copies of forms used by EPA HQ employees and contractors that can be adapted for your use are available on RCRAInfo Partnership Web under the Forms link. Ø OSW has formal sign-out process for departing employees. Ø Automated annual security certification process exists within RCRAInfo requiring all users to reaffirm rules of behavior. Ø 57

Securing RCRAInfo What has the RCRAInfo HQ team done lately to secure RCRAInfo? We removed potentially damaging documentation from the publicly available RCRA Partnership Web. Ø We ask your patience as we transition to a more secure environment. v We’re creating new “sanitized” versions of certain documents. v We’re putting detailed, technical documents in safer places. v We’re closing security holes. Ø 58

Securing RCRAInfo What’s in Store for Version 3? Password maintenance built into RCRAInfo instead of NTSD’s Self-Service Password Change System. Ø Users without read access to a given module will not be able to run reports for that module (principle of “least privilege”). privilege Ø 59

Securing RCRAInfo What’s in Store for Version 3? (cont. ) Ø OAURS will be going away!!!! NTSD still evaluating potential permanent replacement. v NTSD working on interim web-based replacement. v NTSD knows we want distributed access so state RCRAInfo DBAs can reset passwords (at a minimum). v 60

Securing RCRAInfo Some Security Awareness Reminders… Ø Do not share user ids & passwords. Ø When making up passwords, don’t pick offensive/questionable or easily guessed choices. Ø Report security violations & vulnerabilities to proper authorities. v EPA employees go to this link for incident reporting: http: //intranet. epa. gov/itsecurity/training/incidents. html v State employees & contractors contact Regional RCRAInfo DBA. 61

Securing RCRAInfo Some Security Awareness Reminders… Designated System Administrators should promptly perform cleanup duties when employees & contractors leave. Ø Every user should know rules about RCRAInfo data to protect its accessibility and confidentiality. Ø Data Usage Types v Implementer-specific data v Enforcement Sensitive data v Data that can be routinely released to the public v § Don’t miss Releasing RCRAInfo Data to the Public session 62

On-line Help Enhancements and User Support Dina Villari, OSW

RCRAInfo Help in Version 3

New Tabbed Format Three sections Ø General Help v. Basic data about the application and the Help system Ø Data Entry Help v. Guidance on maintaining data in the application Ø Technical Help v. Technical data about the structure 65

Context Sensitive Help Ø Click the RCRAInfo logo to bring up the Help. Ø Based on the screen, the Help will open to a relevant page. Ø E. g. , from the Handler Search page, Help will open to the User Guide page for Conducting Handler Searches. 66