Enforcement Component of STARS2

Introduction The Enforcement object of Stars2 was enhanced with release of Stars2 version 2.2.10 on December 4, 2015. It was originally created in 2013 to support the operations previously provided by CETA.

The following sections describe the enforcement object, how it is used.

Enforcement A CETA Enforcement consists of one or more actions united by a single Enforcement ID. An Action consists of the following data elements:

 Enforcement ID – numeric identifier for the Enforcement Case. Required.

 FP ID specifying the facility.

 Facility Name – user may search for facility by name.

 Facility History ID (specifying air programs and compliance and discussed in a later section),

 Evaluator – person responsible for evaluating the compliance status of the facility. Required.

 Action Type – type of action taken against facility (a subset of Action Types defined by US EPA). Required.

 Action Date – date action was taken. Required.

 Form of Action – indicator whether action was formal or informal (based on US EPA rules along with guidance from the CETA User’s Manual). Required.

 HPV (High Priority Violation) indicator (Yes/No) – indicator whether action is related to a High Priority Violation. Required and only can be set by first action.

 HPV List – list of High Priority violations associated with this action (from a list defined by US EPA). Required if HPV indicator is ‘Yes’ and can be set by first action.

 Type of Violation – type of violation (subset of a pre-defined list – US EPA). Required.

 Date Violation Discovered - date the violation was first discovered. Day Zero will be determined by the date of the first action. Required. It can only be updated by Administrator.

 Final Cash Amount - the final cash amount of an enforcement case's penalty settlement.

Document only for intended recipients 4/28/2018  Final SEP Amount - project performed as part of a penalty settlement in an enforcement case and is done in lieu of a certain portion of the cash penalty. Dollar amount due is (Cash – SEP).

 Day Zero – system-calculated date. Not user-editable. Set to Date Violation Discovered + 45 days initially. It can only be updated by Administrator.

 HPV Determination Date – if the HPV indicator is Yes, the date it is determined and it is required.

 Discovery Object is the identification of the object that that prompted the enforcement. This specifies the ID of the Emissions Test, Site Visit or Full Compliance Evaluation that documents the problem. If none of these are appropriate then an object of type Other (Off Site Visit) can be specified and such an object is created. No additional information is entered into that object.

 AFS ID – ID generated by AFS when action was received. This is managed by the system and not editable by the user.

 AFS Sent Date – date data was sent to AFS. This is managed by the system and not editable by the user.

 AFS Memo – free text information that is sent to AFS. May be up to 226 characters.

 Summary Table – a table displaying data for the most recent enforcement actions will be visible while the user is adding a new action or modifying/deleting an existing action. This table is for reference purposes.

 Attorney Assigned – should be definition table

 Case # - a 4 digit number, manually entered and maintained (Tom Kalman old case number), should be viewed in the header and searchable.

 Inspection Classification which can be set by the first action.

The following operations are supported:

 Create a new enforcement (along with the first action associated with the enforcement).

 Add a new Action to an existing enforcement

 Edit an existing action

 Delete an existing action (if it has not been sent to AFS – once sent to AFS, deletion of record must be done by System Administrator).

System Actions/Business Rules:

 Data that is common for a given Enforcement Case: Enforcement ID, HPV indicator, HPV list, Day Zero, Type of Violation, case #, Attorney, Inspection classification. Document only for intended recipients 4/28/2018  Only Formal Actions may be marked as HPV.

 Two Actions may not share the same Action Date and action type in the same facility.

 When an enforcement is about to be created, the system outputs a message reminding the user to check the Compliance Status information for the facility.

 if the enforcement case is not closed when creating or editing action with action types other than 05, EW, K9, the compliance status must be ‘No’. The system displays a message upon completion of saving the action reminding the user to check the compliance status for the facility.

 There will be only one opening and closing action per enforcement.

 Actions are sorted based on action date. Resolving action is after opening action and closing action is after resolving one.

 Only Actions with Action Type equal to 66, 66A, 68, or X2 may have Penalties and/or SEP amounts.

 Violation Type data will be missing from actions entered before 1/1/2008.

 When response is received from AFS, system will populate AFS Sent Date and AFS ID. At this point, the Action is locked and cannot be edited by a user (but can be edited by a System Administrator when necessary).

 An enforcement is in one of following states:

. Initiated –This is the state when enforcement is created by an action which is not opening, referring, resolving or closing action.

. Open with EAR – state when an action with EAR action type is added to the enforcement.

. Referred – state when an action of referring type is added to the enforcement. These actions are: X3 and DY.

. Resolved pending milestone – state when an action with resolving type is added to the enforcement. These actions are: 66, 66A, 68, and G4.

. Closed – state when an action with closing type is added to the enforcement. These actions are: 05, 05A, EW and K9.

 Users will maintain the ability to add actions to an enforcement case even if it is “resolved”.

 The state of enforcement is calculated automatically by system.

 System Administrator should have the ability to edit ANY field and change its value.

Document only for intended recipients 4/28/2018  When enforcement is opened by EAR, the corresponding workflow is created. The workflow will be cancelled if the corresponding action is deleted.

Case Logs An Enforcement Case may have zero or more Case Logs associated with it. The Case Logs are just notes attached to the Enforcement Case. A case log consists of the following data elements:

 Facility ID –user may search for facility by facility id.

 Facility Name – user may search for facility by name.

 Enforcement ID – numeric identifier of the related Enforcement

 Date – date associated with the note.

 Office Note – note text (up to 2500 characters)

 Note ID – (internal) numeric identifier for the note

 Summary Table – a table displaying data for the most recent case logs will be visible while the user is adding a new action or modifying/deleting an existing case log. This table is for reference purposes.

The following operations are supported:

 Create a new note

 Edit an existing note

Milestones Milestone information is recorded at the enforcement caselevel and consists of the following data elements:

 Facility ID

 Date of Order

 Case Settlements – drop down list

 Milestone – text field up to 255 characters

 Payment Amount – dollar amount associate with this milestone.

 Deadline Date

 Completion Date

 Memo – up to 500 characters

Document only for intended recipients 4/28/2018 System Actions/Business Rules:

 Create a new Milestone

 Edit an existing Milestone.

 Delete an existing Milestone.

Enforcement Query Reports at Enforcement Search Page There are a number of Enforcement reports:

 Unresolved HPV Cases and Unresolved Non-HPV Cases which generates one row per Enforcement case for the specified DO/LAA.

 Resolved HPV Cases and Resolved Non-HPV Cases list all the actions. This is filtered by DO/LAA and county.

 Enforcement Penalties is filtered by DO/LAA and lists only the Actions that specify SEP and Cash Amounts.

 Enforcement Action Type Reports is similar to other reports but is filtered by DO/LAA, county and a single Action Type.

 Milestone Reports are filtered only by county.

Enforcement Usage Patterns  There is a need to able to locate Enforcement Cases over a subset of facilities (e.g., DO/LAA, facility name) based upon certain attributes of a case. This would include some of the attributes HPV or not HPV, Formal/Informal, Day Zero date and Type of Violation.

 HPV Enforcements need to be linked to the FCE, PCE, Emissions Test, or Title V Annual Compliance Certification that resulted in the enforcement. The AFS System will require that the AFS ID of the linked action be sent along with the enforcement information. Stars2 will need to provide the users with a mechanism to link an enforcement and will also need to manage the linkage when data is sent to AFS.

Document only for intended recipients 4/28/2018 Air Programs/Subparts The Air Programs/Subparts information for a facility is displayed on two pages displaying most of the same information but different editing capabilities. The Air Programs are:

 Title V – indicates whether the facility has federally enforceable terms and conditions of Title V.

 SM/FESOP/FEPTIO – indicates whether the facility has federally enforceable terms and conditions to avoid classification as Title V.

 SIP – indicates applicability of the State Implementation Plan (SIP) to the facility. All facilities are subject to SIP, so this box is always checked and cannot be edited by the user.

 MACT - indicates whether a Maximum Achievable Control Technology (MACT) rule applies to any emissions unit at the facility. It includes list of subparts.

 Non-Attainment/Offset/NSR PTI – indicates facility has been issued a Non-Attainment New Source Review permit, a permit with Emissions Offsets, or New Source Review permit. Includes list of applicable pollutants as identified by USEPA or CETA.

 PSD - indicates whether the facility has been issued a Prevention of Significant Deterioration (PSD) permit. Includes list of applicable pollutants as identified by USEPA or CETA.

 NESHAP - indicates whether a National Emission Standard for Hazardous Air Pollutants (NESHAP) rule applies to ANY emissions unit at the facility. Includes list of Pollutants – subpart, see CETA.

 NSPS - indicates whether a New Source Performance Standard (NSPS) rule applies to ANY emissions unit at the facility. Includes list of applicable pollutants regulated by any NSPS subpart that applies to any EU at the facility and all subparts that apply to any EU at the facility.

Since CETA and AFS use different codes than are used in Stars2, an additional code column is added to the NSPS definition table to allow converting from the CETA codes to Stars2 codes and to convert the other direction when reporting to AFS.

Many of these have subparts and/or pollutants that may apply and many of those have a compliance status which is ‘Yes’, ‘No’, or ‘On Schedule’.

On the Federal Rules page (reached from a facility 3rd level menu), general users can change what air programs the facility is subject to and which subparts and/or pollutants apply. When added, the compliance is set to ‘Yes’. If any compliance status is not ‘Yes”, then that item cannot be removed. If any of the subparts or pollutants of an Air Program are not ‘Yes’, then the facility cannot be changed to not be subject to that Air Program.

Document only for intended recipients 4/28/2018 On the Enforcement page (reached from a facility 3rd level menu), CETA users can change the compliance status of anything displayed. They cannot change what the facility is subject to or any of the subparts or pollutants. If there is an open Enforcement, at least one of the compliance status values must be other than ‘Yes”.

Air Programs/Subparts The Air Programs/Subparts information for a facility is displayed on two pages displaying most of the same information but different editing capabilities. The Air Programs are:

 Title V – indicates whether the facility has federally enforceable terms and conditions of Title V.

 SM/FESOP/FEPTIO – indicates whether the facility has federally enforceable terms and conditions to avoid classification as Title V.

 SIP – indicates applicability of the State Implementation Plan (SIP) to the facility. All facilities are subjectto SIP, so this box is always checked and cannot be edited by the user.

 MACT - indicates whether a Maximum Achievable Control Technology (MACT) rule applies to any emissions unit at the facility. It includes list of subparts.

 Non-Attainment/Offset/NSR PTI – indicates facility has been issued a Non-Attainment New Source Review permit, a permit with Emissions Offsets, or New Source Review permit. Includes list of applicable pollutants as identified by USEPA or CETA.

 PSD - indicates whether the facility has been issued a Prevention of Significant Deterioration (PSD) permit. Includes list of applicable pollutants as identified by USEPA or CETA.

 NESHAP - indicates whether a National Emission Standard for Hazardous Air Pollutants (NESHAP) rule applies to ANY emissions unit at the facility. Includes list of Pollutants – subpart, see CETA.

 NSPS - indicates whether a New Source Performance Standard (NSPS) rule applies to ANY emissions unit at the facility. Includes list of applicable pollutants regulated by any NSPS subpart that applies to any EU at the facility and all subparts that apply to any EU at the facility.

Since CETA and AFS use different codes than are used in Stars2, an additional code column is added to the NSPS definition table to allow converting from the CETA codes to Stars2 codes and to convert the other direction when reporting to AFS.

Many of these have subparts and/or pollutants that may apply and many of those have a compliance status which is ‘Yes’, ‘No’, or ‘On Schedule’.

Document only for intended recipients 4/28/2018 On the Federal Rules page (reached from a facility 3rd level menu), general users can change what air programs the facility is subject to and which subparts and/or pollutants apply. When added, the compliance is set to ‘Yes’. If any compliance status is not ‘Yes”, then that item cannot be removed. If

Special Consideration of Inspection Classification While this information may be repeated elsewhere in this document, it is collected here for clarity.

Each time a permit is finalized, the inspection classification is initialized to TV, FEPTIO or Non-HPF corresponding to that permitting classification.

If the Inspection Classification has a value, it can only be changed manually by someone with the CETA Role from the Enforcement Page.

The Inspection Classification of the facility at the time an Enforcement is started is saved with the Enforcement because it is important to remember that value.

Document only for intended recipients 4/28/2018