ICIS Governance Fact Sheet
Office of Compliance
Office of Enforcement and Compliance Assurance
U.S. Environmental Protection Agency
1200 Pennsylvania Avenue, NW (MC 2221-A)
Washington, D.C. 20460
http://www.epa.gov/compliance/data/systems/icis/guidance.html
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ssrntamotection Fact Sheet - Governance
The Integrated Compliance Information System (ICIS) is a web-based data system that supports
the federal enforcement and compliance assurance programs and the Clean Water Act (CWA)
National Pollutant Discharge Elimination System (NPDES) permitting and enforcement
programs. ICIS Phase I was originally launched in June 2002 and supported only Federal direct
data entry for the Federal Enforcement and Compliance (FE&C) programs. In June 2006, ICIS
2.0 was launched which integrated the National Pollutant Discharge Elimination System program
with the Permit Compliance System (PCS) Modernization (creating ICIS-NPDES), as well as
creating a new look and feel for the existing Federal Enforcement and Compliance screens. ICIS
3.0 currently supports State and Federal direct data entry and electronic submission of Discharge
Monitoring Reports (DMRs) by States.
In June of 2009, EPA released the NetDMR system into production. NetDMR is a national tool
that enables regulated Clean Water Act permittees to electronically submit Discharge Monitoring
Reports (DMRs) into ICIS via a secure internet application, using the National Environmental
Information Exchange Network. NetDMR allows participants to discontinue mailing in hard-
copy forms. NetDMR is available to EPA Regions and to States, Tribes, and Territories that use
ICIS. Multiple Regions and States are currently using NetDMR and more States, Tribes, and
Territories are planning to enable their regulated ICIS-NPDES facilities to begin utilizing this
electronic reporting tool.
As of FY2010, ICIS was used by 29 States, 2 tribes, and 9 territories. With the evolution of
ICIS, the needs of the governance structure for the system have also changed over time. The
governance structure for ICIS establishes processes that ensure that all decisions affecting system
changes are made in an orderly, well-informed fashion. ICIS supports a very broad stakeholder
community, which makes system governance complex.
ICIS is a dynamic system, which will continue to change and evolve to match the needs of its
user community. As ICIS grows, this governance will be updated to meet the evolving program
needs and new stakeholders.
What is ICIS Governance?
On October 1, 2008, the ICIS governance process was established as a process to address and
balance the interests of both the FE&C and ICIS-NPDES users. In the FY2010 Governance
Cycle, NetDMR, EPA's internet based Discharge Monitoring Reporting tool, was added to ICIS-
NPDES. Governance consists of Management Committees, and User Groups representing all
State and Federal stakeholders. System stakeholders include State users and managers, and
Federal users and managers for both the ICIS-NPDES and FE&C programs.
Additionally, governance institutes a standard communication and decision making process for
system enhancements, and policy and program issues that effect ICIS. On an annual schedule,
System stakeholders whose interests include Federal direct data entry, State direct data entry,
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hybrid data entry (a combination of electronic transfer of DMR data and direct data entry),
NetDMR (facility electronic transfer of DMR data), and batch processing (electronic transfer of
all ICIS-NPDES program data), will submit their change requests for prioritization and
implementation.
Who is affected by the ICIS Governance process?
There are five categories or groups participating in the ICIS Governance process. The
workgroups represent different perspectives of the Water and Compliance and Enforcement ICIS
program needs, all of which are key to effectively support a diverse group of users and business
requirements.
The groups are:
1. ICIS User Support Team; their duties include the coordination of all of the governance
components, tracking and elevating critical issues to management and elevating cross
governance issues as needed. They will coordinate with various groups, workgroups, and
committees to manage the submission of changes submitted in an Enhancement Request
Initiation Templates (ERITs) and to determine the final requirements.
2. ICIS-NPDES . NetDMR and FE&C User Workgroups: are the foundation for the ICIS
governance structure. The users are the ICIS supporters and liaisons for their State, Region or
Headquarter offices; they are the pulse of the system. They will play a pivotal role in gathering
requirements because they are the users of the system. In coordination with their Regional/State
System Administrators, they will be responsible for submission and ranking enhancement
requests for prioritization.
3. ICIS-NPDES (includes NetDMR) and FE&C Management Committees: provide the
opportunity for Branch Chiefs (or State equivalent) or above level managers to influence ICIS to
support program management and a future vision through the use of a voting process.
Management Committees represent one for FE&C and one for ICIS-NPDES that includes
NetDMR representation. These two Committees will allow the Managers to work through their
unique business issues while also having open communication channels with the other
Management Committees for common issues. The Management member must be able to vote as
the voice or representative of their organization, Region, State or headquarters. Non-members
can attend meetings to support their voting management member, but cannot vote in their place.
4. ICIS Integrated Management Board (IEVIB): is a nominated subset of the Management
Committees. The IEVIB's primary role is to review and make final recommendations on which
Final Requirements should be implemented. It is the job of the IEVIB members to represent their
Committee members while negotiating for the best outcome for ICIS holistically. Decisions that
cannot be made at the IIMB will be elevated to Headquarters Office Directors_ the Office of
Compliance for ICIS-FE&C, and for ICIS-NPDES, the Office of Compliance and the Office of
Wastewater Management.
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Prior to FY2010, members of the IIMB included three co-chairs, ETDD, and one co-chair from
each Management Committee (4 ICIS-NPDES and 4 ICIS-FE&C) for a total of 9 members for a
two year term. They met only as needed.
In FY2010, it was determined that the IIMB should be changed to include only the three
Management Committee Chairs from ETDD; one from ETDD, one for ICIS-NPDES and one for
FE&C. The rationale for this change was that the IIMB members felt that ETDD had the
expertise and breath of knowledge to make decisions on implementation of enhancements to
ICIS.
5. Enhancement Requirements groups: are tasked in response to an enhancement request. The
categories for the groups are created around the ICIS modules and are static but the members of
the requirement groups are dynamic based upon the specific Enhancement request. The purpose
of the enhancement requirements groups is to ensure all enhancement requests get reviewed and
developed by the subject matter experts and users who will ultimately be the beneficiary of the
enhancement. The Final Requirements should be detailed and specific enough that the ICIS
contractor will be able to estimate the level of effort required, and then begin the development
work. The frequency of the meetings will be dependent on the complexity of the Enhancement
request.
What is the purpose of ICIS Governance?
Quite simply, EPA needs a way to manage changes to ICIS, develop requirements and prioritize
and plan for the implementation of change request that are initiated by both stakeholders and
EPA internal customers.
How will the ICIS Governance process work?
• An enhancement request is initiated via the Enhancement Request Initiation Template
(Appendix A).
• Enhancement Champions work in their State, Region or HQ office to complete the
Enhancement Request Template prior to being submitted to ICIS User Support.
• ICIS User Support communicates the essential enhancement request to User and
Management groups and initiates a requirements group.
• A Requirements group convenes to work on essential enhancement request requirements.
• A Final Requirements Template (Appendix B) is submitted to ICIS User Support.
• Finalize requirements
• Assign resources
• Implement system change
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Where can I find more information about ICIS Governance?
For general information on ICIS Governance, contact the User Support Helpline at (202) 564-
7756. The User Support Helpline is open Monday through Friday, excluding legal holidays, from
8:30 a.m. to 5:30 p.m., Eastern Time. For copies of the ICIS Governance document, visit the
EPA User Support, Training and Reporting, UST&R website at [insert link]. For all other
inquiries, email icis@epa.gov.
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Fact Sheet - Governance
Appendix A - Enhancement Request Initiation Template
Template for Initial Request - send to ICIS(S)epa.gov
This form is required in order to request procedure or system changes to ICIS 2.0.
Individual Initiating the Request (Enhancement champion)
SEM/Sr. Water Mgr n
State n
Mgmt. Comm. n
ICIS usern
HQn
Region n
Type of Request: (procedure or system change)
Approving Manager Signature (Management Enhancement Champion)
Phone
Office:
ICIS-NPDES n
Date Submitted:
E-mail:
Program
FE&Cn
Change Request Description
Complete all information known at the time request is submitted
Module affected
(Monitoring, Permits, Limits,
Enforcement milestones)
Description of requested system
change
Reason for the change request
Federal Only:
Has this been submitted to the
Measures Review Board
(MRB)?
D YES
n NO
Is a sub-group required to
develop specifications for the
enhancement?
If yes, which one
User impacts by type of user
Risks to be considered in the
change: impact on other
program/modules, user training,
reports revision, documentation.
Data migration or retroactive
affects
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User training or other
co|nmunications required
Cliange Request is: Essential
n
Fact Sheet - Governance
Ranked
n
Date:
Accepted n
User Workgroup Action
Sub-group designated:
Denied n
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Appendix B - Final Requirements Template
Name of Enhancement Request:
Enhancement Champions
User:
Manager:
Requirements Group Members
Phone E-mail:
Program
ICIS-NPDES o FE&Cn
Date sent to Management
Both n
Committee:
Management Champion Signature:
Final Proposal Description
Complete all information
What is the Change Request
Accomplishing?
What screens does the
change affect
What fields will be affected
o new field
o pull down menus
o business rule
changes
o filtering / logic
Picture of the screen
changes and data flows
Reporting
o new object
o new report
o revised report
Data migration or retroactive
affects
User training or other
communications required
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Environmental Protection
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Fact Sheet - Governance
Changes to the ICIS 2.0
User Guide
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