AFS Overview, the Universal Interface, and AFS Modernization Plans Network Operations Board (NOB) Meeting October 25, 2006 David Hindin, Director Enforcement Targeting & Data Division

2 What is AFS? The Air Facility System (AFS) is EPA’s system of record for collection of Clean Air Act (CAA) stationary source compliance and enforcement data. AFS resides on the mainframe and is written in ADABAS/NATURAL In FY2001, the Office of Air and Radiation (OAR) transferred AFS to OECA. AFS had previously been part of OAR’s Aerometric Information Retrieval System (AIRS), with the CAA ambient data (Air Quality System) and emissions data (National Emissions Inventory).

3 What Data does AFS Contain? Minimum Data Requirements (MDR) per our AFS Information Collection Request include:  Compliance Monitoring Activities – including inspections and investigations  Violations – including high priority violations  Enforcement Actions – informal and formal  Facility and Classification Data

4 Who Reports to AFS? Approximately 650 Users  93 Agencies 56 State Agencies (inc., Trust Territories, Guam, American Samoa, etc) 27 Local Agencies  10 EPA Regional Offices

5 Four Methods for AFS Data Entry 1. Batch File – State/Local agency routinely sends files to the AFS using the flat file batch upload process 2. Online Data Entry – State/Local agency enters data into the AFS directly. 3. Regional Input – State/Local agency does not have a database to hold AFS data and sends the data to the Region for entry into AFS 4. Universal Interface (UI) – State/Local agency utilizes the UI for data validation and conversion into AFS flat file format for batch updating.

6 What is the UI? The UI is an OECA software product that facilitates the reporting of data from State/Local agencies to EPA’s AFS. UI users experience substantial reductions in the burden of reporting AFS MDRs to EPA. UI Platform:  Software resides on State/Local agency web server (inside their firewall)  Users access the UI through a browser on their desktop  Software written in visual basic code

7 State/Local Agency Database Extract Software Creates Data Text Files for UI Data Valid? Import State/Local Agency Data into UI Validate Data and Review Report Universal Interface Transfer File to EPA Mainframe Export Data in AFS Flat File Format Correct Data in State/Local Agency Database AFS Batch Update 1. Compare Submittal 2. Update Submittal Database Process Condition LEGEND No Yes Universal Interface (UI) Process Flow October 23, 2006 XML Schema Generates Import Files for UI Function Performed by UI Function Performed by State In Development Current Process

8 Use of the UI 18 states/locals, accounting for over 30% of major source data (CT, ME, MA, NH, NY, DE, PA, WV, OH, LA, NM, OK, NE, MT, AZ, AK, OR, Puget Sound) Several states in the queue to implement (MD, NC, MS, MI, MO, HI)

9 Current Approach for AFS Modernization Integration with ICIS (Integrated Compliance Information System)  Eliminates need for double-entry by EPA Regions;  Eliminates costs to develop and then operate separate air system; Uses existing ICIS 2.0 architecture (hardware and software) with only modest changes expected. Builds off existing processes set up with EPA’s National Computer Center and Central Data Exchange. Most or almost all of functionality for AFS is already in ICIS. Most of the facility level data for AFS already in ICIS.  Improves data integration.

10 Other Approaches for AFS Modernization Other approaches have been considered, but none appear cheaper, quicker or more effective than ICIS Integration because:  Resource constraints (staff and contract dollars) within OECA for AFS modernization in 2007 and 2008 affect all approaches. We are exploring options for finding additional resources, but tight budget climate.  Non-ICIS approaches require duplication of much of the work and infrastructure already accomplished for ICIS.  There are no short-cuts given need for data migration, state data flows via the Exchange Network, conformance with data standards, conformance with EPA architecture, and System Life Cycle Process requirements.

11 AFS Modernization Timelines FY 2007  Start AFS Business Requirements  Develop detailed schedule for AFS modernization. FY2008 Start Alternatives Analysis

12 AFS Business Requirements Analysis Document the programmatic (business) need for CAA compliance monitoring and enforcement data flows  Explain the functions and data needs for a modernized AFS.  We assume AFS meets most needs of the air community, but need to confirm this and document it. Identify and document current limitations of AFS that should be addressed by modernized system. Identify if there are any functions in AFS that might night be necessary to include in modernized system.  We will build on prior work already done by AFS user community. Solicit input from our stakeholders and users.

13 Alternatives Analysis Required by OMB  Review of other options (information systems)for meeting the business needs. Includes a Closeness of Fit Analysis (COFA) to compare the AFS Business Requirements to the Integrated Compliance Information System (ICIS) Develop alternatives (options) for meeting ICIS business needs as well as AFS Modernization needs. While we expect that modernization of AFS into ICIS will be the least cost option, we must still do the analysis.

14 Questions?