Online Tracking Information System (OTIS) – Targeting and Public Access

Rebecca Kane Office of ComplianceDecember 4, 2008http://www.epa-otis.gov/otis

2

Presentation Overview

Data System OrientationOTIS Overview

– Overview, Content, and Access– OTIS and ECHO– Error Correction

OTIS in Detail– Targeting Concepts– “Gaps” in Inspection Coverage– Mapping– Potential Non-notifiers– Data Analysis

3

Data System 101

IDEA – Integrated Data for Enforcement Analysis. Mainframe system that integrates data from AFS, PCS, RCRAInfo, ICIS, and other systems. Extracts data from the systems monthly.OTIS – Online Tracking Information System. Web-based interface to IDEA for government employees.ECHO – Enforcement and Compliance History Online. Public access Internet site – another interface to IDEA –offering more limited capabilities than OTIS.ICIS – Integrated Compliance Information System –Detailed tracking of EPA enforcement cases and home of modernized Permit Compliance System (PCS).FRS – Facility Registry System. Centrally managed database that identifies facilities, sites, or places subject toenvironmental regulations or of environmental interest.

4

IDEA and FRS

The Facility Registry System (FRS) serves as the facility linkage utility for EPA data access tools (including IDEA/OTIS/ECHO, Envirofacts, Window to My Environment…).Each program (air, water, waste…) issues its own permit and/or database identification numbers.FRS links all relevant IDs to a location and generates an ID number for that location.IDEA uses the FRS linkages to integrate the data from the various program databases.

5

IDEA and ICIS

IDEA extracts ICIS EPA case data monthly.IDEA extracts ICIS NPDES (Clean Water Act National Pollutant Discharge Elimination System) data monthly.OTIS has an ICIS case search interface (ICIS EZ Search).ICIS case data is integrated into OTIS’s Detailed Facility Report.OTIS can be used to review all non-sensitive ICIS EPA formal enforcement action data, unless up-to-the-minute information is needed (ICIS is updated daily, IDEA monthly).

6

How Do Users Access IDEA Data?

~70,000 searches/month

PublicPublic access www.epa-echo.gov/echo

ECHO

>400 jurisdictions registered~15,000 searches/month

EPA, state, local, and federal agency staff

Restricted Web-based www.epa-otis.gov/otis

OTIS

Used by branch staff

Internal for custom analysis

Mainframe log-inIDEA direct queries

UsageAudienceLocationInterface

7

What is OTIS?

OTIS is a set of Web-based search and reporting tools that provide integrated enforcement and compliance data to more than 400 federal, state, and local agencies.OTIS is found at the following URL that is secured to EPA and registered agencies: www.epa-otis.gov/otis. OTIS is an easier-to-use Internet interface to the IDEA system.Users run more than 150,000 OTIS queries per year.

8

OTIS Site Content

Three-year compliance status and five-year inspection and enforcement history for more than 800,000 EPA-regulated facilities:

– Clean Air Act (CAA) stationary sources– Clean Water Act (CWA) permitted direct dischargers (under

the National Pollutant Discharge Elimination System (NPDES))

– Resource Conservation and Recovery Act (RCRA) hazardous waste generators/handlers

OTIS includes EPA and state, local, and tribal environmental agency data.

9

OTIS Site Content continued

Basic facility and permit dataInspections performedViolations with pollutants or brief violation typesSignificant noncompliance statusEnforcement actions takenPenalties assessedDemographics of area surrounding facilityPollutant release data (from TRI – Toxics Release Inventory)

10

OTIS Searching Methods & Reports

Search by media or multimediaSearch for trends (statistics)

– State Review Framework– Management Reports

Search for non-notifiers/non-reportersStart with a map and zoom in on facilitiesMap results of a queryView detailed facility-level dataChart out effluent discharge patternsView Watch List

11

OTIS Access

OTIS homepage: http://www.epa-otis.gov/otis/ – all EPA buildings have access– Application for OTIS access for non-EPA government

employees: http://envr.abtassoc.com/otis_ip_registration/– Access based on IP address; no password required.– For EPA employees who regularly work from home:

Anytime Anyplace Access Virtual Private Network (VPN) (http://intranet.epa.gov/aaa) allows OTIS access.

Any OTIS user can access Facility Finder tool– Account creation and password required for the purpose

of storing each user's facility lists.

12

OTIS Access continued

Watch List and State Review Framework access is limited to EPA, state environmental agencies, and local governments and tribes with EPA program authorization.

– Access based on IP address; no password required.Sensitive access information is limited to EPA employees.

– Password required; for information: http://www.epa-otis.gov/otis/enf_sens_access.html

– Provides searching for ICIS EPA cases in the pipeline and access to sensitive version of Case Report.

13

Key Similarities Between OTIS and ECHO

Similar look and feelAccess to AFS, PCS, RCRAInfo, ICIS data– Five years of inspection and enforcement data (and

beyond for federal cases from ICIS)– Three years of compliance data

Contain inspection, violation, significant violation, enforcement action, penalty, and demographic dataSame major reports (Detailed Facility Report and ICIS Case Report)

14

Key Differences Between OTIS and ECHO

8 search pages19 search pagesSearch options

NoYesWatch List

NoYes (available only to EPA via log-in)

Cases in the pipeline (sensitive)

NoYesStatistical data

Yes, but limitedYesMapping

NoYesToxics release data

ECHO (public)OTIS (gov’t use)

15

Error Correction Process

ECHO or OTIS users can report a potential data error by clicking ‘Report Error’ at the top of a Detailed Facility Report.EPA and state data stewards review the error notifications.

– EPA’s Integrated Error Correction Process, managed by the Office of Environmental Information (OEI), routes error notifications to the appropriate data steward.

– List of data stewards available from the OTIS home page.– The data stewards make corrections to the source database

when necessary.Data stewards can register for access to OEI’s Error Tracking System. (https://iasint.rtpnc.epa.gov/frs/frshome$.startup)

16

Error Correction Process continued

During the public comment period, regions and states experienced a heavy load of notifications requiring research.

– The rate of error reporting dropped drastically after the reviewperiod ended.

More than 5,000 errors have been corrected since ECHO launch.

– We receive about 60 error notifications per month in 2008.– This is up from 50/month in 2007 - most likely due to increased

usage of ECHO and OTIS.– Violations are the most common error notification topic.

17

OTIS IN DETAIL

18

Why Use OTIS for Compliance and Enforcement Information?

Factor in demographic data and/or pollutant releasesTarget based upon business sectorsMap your output and analyze trendsOTIS integrates all available information on a facility basis –see records across environmental statutesOTIS allows sophisticated single- and multi-media analysis OTIS provides look at federal and state dataGet easy downloads of search resultsOnline tutorials and help files provide examples to help anyone become an OTIS “expert” (plus we offer user support by email or phone)

19

Using Information to Inform Targeting Choices

OECA has tried to simplify data use by integrating information in a web-based application (OTIS).OTIS has the basic essentials for strategic and tactical targeting.OTIS can be used for inspection planning and by inspectors during pre-inspection preparation. What information is germane to targeting?

20

Targeting Questions

Frequency of inspections?Results of past inspections or compliance determinations (history of violation)?Environmentally-sensitive area (clusters of facilities or population centers)?Environmental footprint (large or small facility)?Aligned with priorities?Fitting profile of other non-compliers (sector, etc.)?Discrepancies across reporting?Environmental justice or geographic concerns?

21

Examples of Questions OTIS Can Answer

How many facilities in my state (or EPA region) are designated as LQGs, but have not been inspected?Which RCRA facilities in my state (or EPA region) report greater than 10,000 pounds of TRI releases, but are designated as SQGs or CESQGs?Do I have potential non-notifiers in my state?What cases in the last year were taken at facilities that are in an area with more than 50% minority population?Which federal facilities in a particular EPA region or state have been inspected in the last year?

22

RCRA Targeting Examples

Looking for facilities that may be “mis-classified”; for example, an LQG that is in the database as an CESQGUsing mapping tools to quickly access satellite imagesLooking for “non-notifiers” in targeted sectors or geographic areasFinding data quality problems

23

Looking for Gaps in Inspection Patterns

Goal: Identify facilities that appear to have a large environmental footprint, but have not been inspected by the state recently.– Use pollutant release (TRI) as a screening tool.– Look for high pollutant releases, but a regulatory

category that makes the facility subject to less frequent inspections.

24

Example, RCRA facilities with >10,000 TRI release with no inspections in last 3 years.Try this in your state or region – see what you may find! (next slide shows NY results)Interesting that some sources are listed as CESQG, yet report releasing more than 10,000 pounds of TRI pollutants to land.National total of CESQGs with 10,000 pounds TRI releases is 222. (example 2 slides ahead)Review of manifest data (not in OTIS) may be instructive.

Looking for Gaps in Inspection Patterns

25

-Sample Results – NY >10,000 lbs TRI release and no inspections in 3 years-

26

-CESQGs with >10,000 lbs. of TRI Land Release-

-See Next Slide for View Zoomed to Region 4-

27

CESQGs with >10,000 lbs. of TRI Land Release

*Facility recently paid $100,000 CAA penalty

28

Using OTIS Google Maps

Per previous examples, once a query is constructed, it is easy to review satellite imagery for each facility.This review may help you pick targets (e.g., see barrels lying around, surface impoundments, discolorations, etc.).Satellite images may also assist with actual inspection planning (which areas do I have questions about, or what areas will I look at most closely).Can the satellite photos help prove that a facility has made specific changes that raise concerns?OTIS provides real-time panning and zooming.

29

Using OTIS Google Maps with Demographic Information

LQGs in Region 4 not inspected in last 5 years and in 50% minority areas.

30

Inspected in last year and in 50% minority areas.

Using OTIS Google Maps with Demographic Information

31

More OTIS Google Maps

Finding violations in Region 4.Map allows quick zoom in.About 1000 recently inspected facilities have no violations while about 230 do have violations.What does a violator look like from the air?

32

Can Targeting Be Enhanced by Satellite Imagery?

33

Satellite Images: Zoomed-in View

Can photos like these help us find potential problems?

34

Pre-inspection Preparation

In addition to routine review of past files, consider reviewing prior to inspections:– OTIS Detailed Facility Report – see if compliance issues

are noted in other databases– The satellite photos from Google Maps (and OTIS can

give directions to the site)– Note, OTIS ICIS EZ Search can be used by EPA

employees to query “cases in the pipeline” with an enforcement sensitive log-in.

Find out what other facilities are nearby in case you have extra time (OTIS Google Maps makes this easy).

35

Non-notifier Identification (OTIS Facility Finder)

What once took weeks now takes hours.With Facility Finder you can take external data (e.g., Dun and Bradstreet, Online Yellow Pages, etc.) and evaluate EPA databases for matches.Facility Finder automates the first step in identifying non-notifiers.Rather than looking for non-notifiers one at a time, OTIS makes all the database comparisons, and allows you to quickly screen a long list for the best targets.Facility Finder web cast: http://www.epa-otis.gov/otis/otis_trainings.html

36

Non-notifier: Targeting Analytic Process

Identify “targeted” geographic area– Ex: NJ and NY (RCRA “non-notifier pilot”)

Identify industrial sector (e.g., SIC or NAICS code)– Ex: SIC=3471 (Metal plating)

Query Dun & Bradstreet with above criteria– Can use other lists: business directories, corporate

reports/web sites, etc.

Use OTIS Facility Finder– Import D&B or other facility list with names, addresses, etc.– Review “matches” in Facility Finder tool (see next slide)

37

Non-notifier: Using OTIS ‘Facility Finder’ tool

Get saved FF print screen from Margaret

38

Non-notifiers Identified? (No Match to RCRAInfo)

39

Non-notifier: Targeted Results

286 facilities with SIC 3471, NY/NJ from D&B57% matched to a RCRA facility16% questionable matches27% non-matched (e.g., potential targets)– NY: 54 facilities (30%)– NJ: 21 facilities (20%)

Phone calls were placed to potential targets to gather more information about their businesses.

40

Data Quality Analysis

Some data quality analysis may be easier with OTIS than with RCRAInfo.One example – search for facilities with violations that have been open for more than five years.OTIS facility search easily provides the list, but does not distinguish between state and EPA violations.State Review Framework data metrics can give this information.

41

Data Quality Analysis continued

Go to the OTIS State Review Framework query page, choose RCRA, select a state, and click Submit. On the data metrics results page, scroll down to metric 2B. Click on the top number to get the state list of open violations, or click on the bottom number for the EPA list. Metric 2B lists violations that have been open for more than 240 days.

– For just those open more than five years, download the list intoExcel by clicking the appropriate Save Results link at the bottom of the list.

– Sort the list by the Date Violation Determined column and delete the more recent violations.

42

Possible Enhancements

Specific tool for targeting based on TRI land releases EPA HQ examining OTIS “sign-in” for work at home and travelEJ SEATFacility Finder for a single databaseThose interested in GIS may want to preview some new Agency GoogleEarth tools

43

Contact Information

Rebecca Kane– kane.rebecca@epa.gov– 202-564-5960

Mike Barrette– barrette.michael@epa.gov– 202-564-7019

OTIS: http://www.epa-otis.gov/otisECHO: http://www.epa-echo.gov/echo