905R86110
5556
LIBRARY REFERENCE DOCUMENT
PATHFINDER TO
EPA ENFORCEMENT DATABASES
MAY 1986
U.S. Environmental Protection Agency
Region V, Library
230 South Dearborn Street --'
Chicago, Illinois 60604
Prepared by:
Information Services Branch
Information Management and Services Division
Office of Information Resources Management
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U& Environmental Protection Agency
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TABLE OF CONTENTS
AIR
Compliance Data System 1
GENERAL COUNSEL
DOCKET 4
HAZARDOUS AND SOLID WASTE
Comprehensive Environmental Response, Conservation,
Compensation, and Liability Information System 8
Hazardous .Waste Data Management System 11
PESTICIDES AND TOXIC SUBSTANCES
FIFRA and TSCA Enforcement System 14
WATER
Federal Reporting'Data System 16
Permit Compliance System 19
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AIR
COMPLIANCE DATA SYSTEM (CDS)
PURPOSE
To provide Federal and State air program managers an
information management system on compliance status and
enforcement activities related to facilities subject to
Federal and State air emission regulations for New Source
Performance Standards (NSPS), State Implementation Plans
(SIPs), and National Emission Standards for Hazardous Air
Pollutants (NESHAPS).
DATA DESCRIPTION
Source:
Facilities emission limitations are contained in permits
maintained by State and local air pollution agencies;
State and local agency staff conduct inspections of
facilities compliance with these limitations and then
report their findings to Regional offices.
0 States send data to Regional offices periodically
(generally quarterly); they can submit electronically,
on computer files, or on manually coded forms.
0 Regional staff load the manually submitted data from
the States into their CDS system.
System Data includes:
0 ID information on facilities required to meet air
emission regulations (e.g., name, address)
0 Inspection schedules
0 Violations
0 Compliance status and schedules
0 Enforcement actions (e.g., administrative orders,
penalties)
0 Legal actions (e.g., DOJ referrals, civil/criminal
cases)
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REPORTS GENERATED
0 "Quick look" reports; a one line per source report,
listing the name, address and compliance address
and compliance status of facilities.
0 Source data reports containing complete history
of compliance status information and enforcement
action information for specific sources.
0 Milestone reports showing the number of emission
points by compliance status for the States within
a Region and for the Region as a whole.
^ ° Summary reports of enforcement actions taken by
States and Regions, type of action in all air
quality control Regions (AQCRs).
0 Reports summarizing the compliance status and
enforcement actions for selected facilities.
0 Special reports in "prevention of significant
deterioration" (PSD) showing the status of
facilities undergoing the permit review steps
associated with PSD regulations.
SYSTEM ACCESS
0 States can access CDS directly through tele-
communication lines or through links to Regional
computers.
0 Regional offices obtain reports through their
own minicomputers.
0 EPA's Headquarters Air program staff use terminals
at Headquarters to access the CDS system directly.
0 National system operates on EPA IBM 3090 mainframe.
Regional Offices have their own CDS version on
PDP-11/70 minicomputers.
0 Nineteen States directly access CDS; States that use
their own systems u.se a converter program to send data
to CDS. Fourteen States have CDS on their State system
(EPA provides the software). The software is written
in COBAL.
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PLANNED ENHANCEMENTS
0 CDS has been modified to maintain "continuous emissions
monitoring" (CEM) data. The CEM subset provides users
with quarterly reports of excess emissions.
0 EPA plans to more actively promote the use of CDS by
all the States.
0 Plans to expand data base by using ADABAS.
USER SUPPORT SERVICES
0 Training upon request (contract support The Research
Corporation (TRC) of New England)
0 CDS Users Guide
0 CEM Guide
0 CDS Quality Assurance Guide
0 Also provides technical support by TRC to CDS users
0 Annual CDS Managers Conference
SPONSOR
System Manager: Franklin C. Smith
Office/Address: Office of Air Quality Planning and Standards
(OAQPS)
Telephone: (202) 382-2881
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GENERAL COUNSEL
DOCKET
PURPOSE
Docket is a computerized system for tracking and managing
civil litigation case initiated by EPA against violators of
.all EPA-mandated enviornmental statutes. The system is used
for case tracking and management of enforcement activity/
analysis, responding to Congressional and FOIA request.
The system contains an historic record of all EPA civil
litigation.
DATA DESCRIPTION
Source:
Data is obtained and entered into the system at the time
a case is developed and initiated in the region.
0 Updates and changes are done monthly.
0 Significant milestones events are entered into the system
as they occur.
System is, therefore, updated both daily and routinely on a
monthly basis.
System Data includes-*
0 Case description: case name, responsible office, region,
law(s) and section violated, and headquarters division
handling or reviewing the case.
0 Staff assigned: regional attorney, regional technical contact,
headquarters program office contact, headquarters attorney
Department of Justice (DOJ) attorney.
0 Major Event and Milestone dates: initiated, referred to DOJ,
field, and concluded.
0 Miscellaneous event dates: other significant events as defined
by user.
0 Amendments to complaints.
0 Results of how the case was concluded, stage at which
it was concluded and any imposed penalties.
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0 List of the defendants including any potentially responsible
parties proposed and named in the complaint.
0 Comments include a brief description of the case summary, and
attorney comments on important case activities.
REPORTS GENERATED
0 Quick Look reports: a one line per case report from data base
containing specific items requested by systems accessor.
All standard reports have a full range of selection and sort
capabilities.
0 Crosstab reports: arrays of values for two data items (eg.
fiscal year filed by region.)
0 SAS analysis including frequency distributions, the number
of days cases are pending, and graphic and histogram
distributions.
SYSTEM ACCESS
0 Access is restricted; Retrievials are made only by trained
authorized EPA analysts in headquraters, regions, and the
National Enforcement Investigation Center (NEIC).
0 System resides on the IBM 3090 mainframe vising ADABAS data-
base management software.
0 No states have access to either input or output of data from
the system; no such authorization is planned.
PLANNED ENHANCEMENTS
No significant enhancements are planned.
USER SUPPORT SERVICES
0 Data element dictionary
0 List of analysts authorized to make retrievials is attached.
0 There are no training courses available.
EPA SPONSOR
System Manager: Bruce Rothrock
Office/Address: Office of Enforcement and Compliance (LE-133)
Telephone: (202) 382-2614
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DATA ANALYSTS ADDRESS/PHONE LIST
LOCATION
Region I
Region II
Region III
Region IV
Region V
NAME
VALERIE HAYNES
SUSAN SHERIDAN
DOUG FREEHAFER
ARON WILLIAMS
Region VI
CINDY GLAVES
TOM PERNELL(C!
MOHAMED KUMAIL
DEHRADUNWALA
Region VII
COLLEEN THOMAS
ADDRESS
USEPA, Region I
Office of Regional Counsel
John F. Kennedy Fed. Bldg.
Room 2203
Boston, MA 02203
USEPA, Region II
Office of Regional Counsel
26 Federal Plaza, Rm 437
New York, NY 10278
USEPA, Region III, 3RCOO
Office of Regional Counsel
841 Chestnut Bldg.
Philadelphia, PA 19107
USEPA, Region IV
Office of Regional Counsel
Second Floor
345 Court!and Street, NE.
Atlanta, GA 30365
USEPA, Region V
Office of Regional Counsel
Sixteenth Floor, 5C-16
230 South Dearborn Street
Chicago, IL 60604
USEPA, Region VI
Office of Regional Counsel
6DT - CSC
1201 Elm Street
Dallas, TX 75270
USEPA, Region VII
Office of Regional Counsel
Computer Sciences Corp.
726 Minnesota Avenue
Kansas City, KS 66101
PHONE
(FTS) 223-4921
(617) 223-4921
(FTS) 223-0400
(617) 223-0400
(FTS) 264-2645
(212) 264-2645
(FTS) 597-4912
(215) 597-4912
(FTS) 257-2335
(404) 881-2335
(FTS) 886-6907
(312) 886-6907
(FTS) 886-6846
(312) 886-6846
(FTS) 729-2986
(214) 767-2986
(FTS) 757-2841
(913) 266-2841
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DATA ANALYSTS ADDRESS/PHONE LIST
Region VIII IRENE ERHART
Region IX
Region X
EPA-HQ
CHRISTINE BENNETT
SUSAN LEE
CONSOLIDATED
DOCKET
SYSTEM TASK
MANAGER
BRUCE MACDONALD
LINDA FLIPPO
STEVE BROWN
KAREN WLOSINSKI
USEPA, Region VIII (FTS) 564-1453
Office of Regional Counsel (FTS) 564-1458
999 - 18th Street (303) 293-1453
One Denver Place, Suite 1300 (303) 293-1458
Denver, CO 80202-2413
USEPA, Region IX
Office of Regional Counsel
215 Fremont Street
San Francisco, CA 94105
USEPA, Region X
Office of Regional Counsel
1200 Sixth Avenue, 4th Floor
Seattle, WA 98101
USEPA
Waterside Mall, Rm 3600D
401 M Street, SW.
Washington, DC 20460
Mail Stop - LE132-G
(FTS) 454-7450
(415) 974-7450
(FTS) 399-1142
(206) 442-1142
USEPA
Waterside Mall, Gallery II
401 M Street, SW.
Washington, D. C. 20460
Mail Stop - LE130-B
(FTS) 382-2567
(202) 382-2567
(FTS) 382-2568
(202) 382-2568
(FTS) 382-2578
(202) 382-2578
(FTS) 475-8295
(202) 475-8295
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HAZARDOUS AND SOLID WASTES
COMPREHENSIVE ENVIRONMENTAL RESPONSE,
COMPENSATION, AND LIABILITY INFORMATION SYSTEM (CERCLIS)
formerly the
EMERGENCY AND REMEDIAL RESPONSE INFORMATION (ERRIS)
and the
PROJECT TRACKING SYSTEM (PTS)
PURPOSE
:- To provide EPA Headquarters and Regional Superfund managers
with an automated inventory of abandoned and inactive or
uncontrolled, hazardous waste sites. CERCLIS also provides
the capability for storing and retrieving information on
management and cleanup actions under way at these sites.
DATA DESCRIPTION
Source:
0 The data in CERCLIS is the data collected by State and
Federal officials and reported as part of hazardous waste
site identification and cleanup activities.
0 Regional offices evaluate and enter all data with the
exception of some financial data, which is entered by
Headquarters staff.
System Data includes:
0 Identification and location of uncontrolled hazardous
waste sites.
0 Planned milestones for cleanup and progress against
those milestones.
0 Cost of cleanup.
0 Descriptive data.
0 Region-specific data.
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REPORTS GENERATED
0 Site and alias name and location listings
0 Site description listings
0 Event description listings
0 Event schedule listings
0 Financial listings
0 Site and event statistical reports
0 Standardized graphs (bar charts, line charts, pie
charts, and maps) are on the retrieval menu.
SYSTEM ACCESS
0 Headquarters and Regional staff can access the system
directly.
0 Standard reports and the results of ad hoc queries
are printed locally both in Regional and Headquarters
offices.
0 Reports and machine readable files from the system are
available to State and other outside users on request.
0 National system operates on EPA's IBM 3090 mainframe
and uses the S2K database management software. Regional
and Headquarte.TS offices perform data entry on PDP 11/70
minicomputers. Data entry software on the minicomputers
was written and operates in INFORM.
0 An ad hoc query capability is also provided for
those users who are familiar with the S2K natural
language capability.
PLANNED ENHANCEMENTS
0 CERCLIS was developed by modifying the software for the
Office of Solid Waste and Emergency Response's Emergency
and Remedial Response Information System (ERRIS) and the
Project Tracking System (PTS). This enhancement, effective
March 28, 1985, allowed integration of both sets of
information.
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The Office of Emergency and Remedial Response is
currently in the process of developing an integrated
program management system for the Superfund program
which will significantly impact CERCLIS. This
system will focus on:
— Conducting site management planning through the
use of automated systems;
— Tracking identified major site management activities
for national and Regional program management;
— Using CERCLIS as the source of site management
information to support national program management;
— Expanding user support, system marketing, and user
input opportunities for CERCLIS.
USER SUPPORT SERVICES
0 CSC has set up a "hot-line" type operation at its
Headquarters office in Falls Church for users having
operational/technical difficulties. User support is
also provided through EPA Headquarters offices in
OIRM and OERR.
0 Headquarters provides training to all users on a
semi-annual basis - in the Spring and Fall. The
training is extended to Data Base Administrators,
Regional Project Officers, and CSC support personnel/
and services include:
- definitions
- issues
- management expectations
- contractor support
- QA/QC support
- data elements
- structure,
- system overview
- screen installation
- data entry menu
- retrieval menu
- update and maintenance reports and listings
EPA SPONSOR
System Manager: Richard Martin
National Project Officer: Shirley Keehn
Office/Address: Office of Emergency and Remedial
Response, OSWER
Telephone: (202) or FTS 382-5837
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HAZARDOUS AND SOLID WASTE
HAZARDOUS WASTE DATA MANAGEMENT SYSTEM (HWDMS)
PURPOSE
To provide Federal and State managers with automated
systems capability for managing facilities regulated under
the Resource Conservation and Recovery Act (RCRA), which
regulates generators, transporters, treaters, storers,
and disposers of hazardous waste.
DATA DESCRIPTION
Source:
0 All companies that generate, transport, treat, store,
or dispose of hazardous waste are required to submit
information to the State environmental agencies or
EPA Regional offices responsible for RCRA.
0 The data in HWDMS is collected by State or Federal
officials, depending upon which government level is
authorized responsibility for the RCRA program. With
the exception of seven States, the data is sent to
the EPA Region where regional staff or their contractors
enter the data into the system. The seven remaining
States enter data directly into HWDMS using the EPA
regional minicomputers from terminals located in the
State offices.
System Data includes:
0 Facility level data including facility location, mailing
owner, and operator names and addresses; geographic
information on the location of the facility; SIC codes.
0 Waste process design type and capacity available
at the facility, and the types of wastes actually
processed as reported by facilities on their RCRA
Notification Forms and Part A, Permit Applications.
0 Action-events in the Part B permitting process;
financial management data, closure/post-closure
actions, and ground-water monitoring actions.
0 Compliance and enforcement data related to compliance
monitoring and enforcement actions that do not involve
litigation. (Actions involving litigation are tracked
when they are filed and completed; civil and criminal
actions are tracked in more detail in a system called
DOCKET.)
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REPORTS GENERATED
0 HWDMS provides the following functional support to
EPA Headquarters program offices, Regions, and States:
— Inventory of facilities regulated by RCRA.
— RCRA Notification and Part A Permit Application
processing support.
— Management tracking capabilities for the Part B
permitting process, RCRA groundwater monitoring
actions, financial management reporting, closure/
post-closure requirements, and compliance monitoring
and enforcement actions.
SYSTEM ACCESS
0 Seven States access HWDMS to enter data directly.
0 Regional offices directly access the system and print
HWDMS reports locally.
0 EPA Headquarters staff can access HWDMS using terminals
in the EPA Headquarters Office.
0 The system operates on EPA's IBM 3090 mainframe.
There are ten physically separate System 2000 (S2K)
databases, one for each Region.
0 Data entry software was written in INFORM and operates
on the Region POP 11/70 minicomputer. The ten S2K
data bases are consolidated weekly using IDMS input/
output capabilities and EPA-developed Relational
Data System (RDS) software to consolidate the data
into one large National database.
PLANNED ENHANCEMENTS
0 System modifications have been completed to allow
reporting of compliance monitoring and enforcement
data. The HWDMS Version 5 and Version 6 data
structures were merged to provide capabilities Regions
need for daily program management and those Headquarters
needs for oversight reporting.
* A major system development effort is underway to build
a comprehensive information management system to serve
the total RCRA program at the HO, Region and State
level. The system entitled "RCRIS", will support
administration information needs, analysis for regulatory
development, and management of the regulated facilities/
handlers.
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USER SUPPORT SERVICES
0 Technical assistance is available through a contractor,
Computer Sciences Corporation - (202) 488-5914.
EPA SPONSOR
System Manager: Steve Levy
Office/Address: Office of Solid Waste and Emergency Response
Telephone: (202) or FTS 382-4697
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PESTICIDES AND TOXIC SUBSTANCES
FIFRA and TSCA Enforcement System (FATES)
PURPOSE
To provide Federal managers automated capability to
store and retrieve available State and Federal information
on compliance activities pertaining to the Federal
Insecticide, Fungicide, and Rodenticide Act (FIFRA),
which regulates production, distribution and use of
pesticides and the Toxic Substances Control Act (TSCA),
which regulates development, production, distribution,
use and disposal of chemical substances and mixtures.
FATES also provides information to respond to Freedom
of Information requests.
DATA DESCRIPTION
Source:
EPA is responsible for monitoring compliance with FIFRA
and TSCA. States submit hard copy reports on enforcement
actions they have taken to the Regional offices. EPA
personnel enters this information as well as EPA pesticide
enforcement data and TSCA enforcement data into mini-
computers for transmission to NCC at RTP, NC.
System Data includes:
0 List of pesticide-producing establishments,
identifying parent company and types and
amounts of products manufactured annually.
0 Results of FIFRA and TSCA inspections.
0 Status of FIFRA and TSCA enforcement actions.
0 For EPA's State awarded pesticide grant program,
includes: projections and accomplishments for
inspections, enforcement actions, certifications and
training of pesticide applicators.
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REPORTS GENERATED
0 Lists of pesticide-producing establishments, identifying
parent company and types and amounts of products
manufactured.
0 Lists of inspections, including name of site and
types of samples taken.
0 Lists of enforcement cases, showing type of enforcement
response, responsible party, and case milestones.
0 Compliance histories for specific companies or
establishments, listing all prior inspections,
samples, violations, and enforcement actions.
0 For specific States, a comparison of enforcement and
certification projections arid accomplishments.
SYSTEM ACCESS
0 EPA personnel must enter data utilizing minicomputers,
but can request reports either directly or through
the minicomputer.
0 National System operates on EPA IBM 3090 mainframe,
model 200, using IDMS database management software.
0 Regional data entry and report production operates
on PDP-11/70 minicomputers.
USER SUPPORT SERVICES
0 FATES workshops and training conducted as needed.
EPA SPONSOR
System Manager: Mike Wood
Office/Address: Office of Compliance Monitoring, Office of
Pesticides and Toxic Substances
Telephone: (202) or FTS/382-7835
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WATER
FEDERAL REPORTING DATA SYSTEM (FRDS)
PURPOSE
To provide Federal managers with a centralized database
of information on public water supply system (PWS) to
assist them in their program oversight responsibilities.
For example, Headquarters uses FRDS information to oversee
State programs, as well as to prepare reports for Congress.
DATA DESCRIPTION
- Source:
Public water supply systems must regularly monitor the
quality of their drinking water and report that
quality to State agencies. When a violation occurs,
State agencies periodically (each quarter) report
these violations to EPA.
0 20 States use EPA's Model States Information System
(MSIS) to maintain data on their Public Water
Supply programs. These States transmit the data
quarterly (via magnetic tape) to the Region, which
performs a quality control check and forwards it
to EPA which updates FRDS. Several other States
have their own software package and either send hard-
copy reports (generated from their system) to the
Region or provide data to FRDS in a standard format.
0 The remaining States send hardcopy reports to the
Region, which enters the data in FRDS.
0 PWS-Micro is under development. When implemented,
it will provide the States using the system, the
capability to provide data to FRDS.
System Data includes:
0 Facility identification information for each PWS,
including identification number, location (e.g.,
latitude/longitude), owner, water source, plant
type and any variances granted.
0 Violations data describing the type, severity, and
date of violation.
0 Enforcement information (e.g., type, date, status).
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REPORTS GENERATED
0 Lists of all active PWS and their compliance status.
0 Charts summarizing the regulated community (e.g.,
percent of population served, average size of each
type of PWS, violations by county or State).
0 Tables showing status of systems (e.g.,
violations by type of violation, disposition of
violations).
0 Summaries of all enforcement actions, highlighting
those which have not been resolved.
e Capability to cross reference Superfund sites contained
in CERCLIS database using geographic parameters.
SYSTEM ACCESS
0 Each State may access PROS using an online, interactive
retrieval package.
0 Headquarters and Regional staff access the system
directly using the same online retrieval software as
the States.
0 National system operates on EPA's IBM 3090, model 200.
The application uses the System 2000 database management
system.
PLANNED ENHANCEMENTS
0 ODW is modifying FRDS to maintain a single, continuum
inventory and violation/follow-up data for a minimum
of five fiscal years. These enhancements are scheduled
to be implemented in the second quarter of FY 87.
USER SUPPORT SERVICES
0 Processing edits and .updates for FRDS
0 Various database administration functions
0 Answering the FRDS Hotline
0 Assisting users in extracting data from FRDS, (particularly
complex questions or high priority systems problems
are referred to the EPA system manager or systems
maintenance contractor for resolution).
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EPA SPONSOR
System Manager: Larry Weiner
Office/Address: Office of Drinking Water
Telephone: (202) or FTS 382-2799
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WATER
PERMIT COMPLIANCE SYSTEM (PCS)
PURPOSE
To provide capability for automated storage, retrieval,
and analysis by Federal and State managers of permit and
discharge information on facilities regulated under the
National Pollutant Discharge Elimination System (NPDES)
program administered by EPA's Office of Water.
DATA DESCRIPTION
*
•
Source:
Reports submitted to State and EPA authorities by the
more than 65,000 industrial and municipal facilities
that have permits under the NPDES program. Facilities
must sample effluent on a daily, weekly, or monthly
basis and then regularly report the monitoring results
to State or EPA authorities, depending on their
delegation status.
0 15 States with NPDES delegation enter data into PCS
themselves (FY 86 negotiations may increase States
direct access):
— Dial-up Regional minicomputer and enter using
interactive software.
— Dial-up EPA National Computer Center (NCC) to
enter data in batch mode or interactive mode.
0 Regions are required to perform data entry for balance
of delegated States and for nondelegated States.
System Data includes:
0 Identification information for industrial and municipal
facilities with NPDES permits
0 Outfall and limits data from NPDES permits
0 Effluent data from monthly Discharge Monitoring Reports
(DMRs) submitted by NPDES permittees
0 State and EPA inspection data
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* Compliance schedules and violations
0 Enforcement actions and dates
0 Evidentiary hearing data
REPORTS GENERATED
0 Identification of effluentr compliance schedule,
and DMR reporting violations.
0 Quarterly Non-Compliance Report (QNCR).
0 Compliance Schedule Forecast Report showing events
and dates for compliance actions.
0 Limit Summary Report listing discharge limits by
facility for each NPDES parameter.
0 Quicklook and Milestone Reports which allow users
to retrieve and tally information in PCS.
0 Facility Report which provides detailed information
on a permittee.
SYSTEM ACCESS
0 States access PCS to retrieve data by submitting
batch or interactive requests to NCC.
0 National system operates on EPA IBM 3090 mainframe
using ADABAS database management software.
0 Regional minicomputer data entry software operates
on POP 11/70 minicomputers.
0 Remote users (Regions and States) access system by
means of dial-up service through Tymnet and Telenet
public data networks.
0 INQUIRY retrieval capability allows users to perform
interactive queries.
0 PCS ADABAS data entry allows users to perform interactive
data entry.
PLANNED ENHANCEMENTS
0 Automation of SPMS and new QNCR regulations
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0 EPA prepared and issued a clear policy regarding
PCS use which addresses major data quality issues
and data completeness and timeliness. By the end
of FY 86 all SPMS related data will be included in
the system.
0 Ability to calculate pollutant loadings by stream,
by facility, by county, etc.
USER SUPPORT SERVICES
0 PCS hotline - (202) or FTS 475-8529
(Staffed 7:30a.m. - 4:30p.m. EST)
0 User documentation and support for training
0 Management and technical status reports
0 Monthly teleconference status calls
0 Online status file to communicate PCS operations and
enhancements
0 PCS Steering Committee meetings
0 PCS User Group meetings
PCS Work Group meetings
EPA SPONSOR
System Manager: Dela Ng
Office/Address: Office of Water Enforcement and Permits
(OWEP)
Telephone: (202) or FTS 475-8323
U.S. Environmental Protection Agency
230 South Dearborn Street
Chicago, Illinois 60604
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