UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
                                                                             WSG98
                                                             Date Signed: July 29, 1997


MEMORANDUM

SUBJECT:   Regional Data Management Roles

FROM:      Janet L. Auerbach, Chief
             Information Management Branch
             Implementation and Assistance Division, OGWDW

TO:          Regional Drinking Water and Data Management
             Branch Chiefs

       At the Regional Branch Chiefs meeting in Philadelphia in April, I mentioned a number of
roles for the regions with regard to support of SDWIS/LAN, SDWIS/FED, and the Data Sharing
Committee. The effectiveness of the regional role will determine the level of success of SDWIS.
This memo follows up on that discussion and seeks commitment from the regions regarding
support for SDWIS/FED and SDWIS/LAN.

       SDWIS/FED
       Attachment A to this memo is a list of SDWIS/FED coordinator functions. This list may
help you understand all that your coordinator does.  It also provides a checklist to make sure that
all responsibilities are covered.

       As discussed at the meeting, we believe that regions should be providing beginner level
SDWIS/FED training for regional and state staff. Attachment B is an agenda for a beginner level
training course.  I raised the question at the meeting whether any region was willing to pay travel
costs to send its trainer to another region to conduct training, or send its staff to another region to
take training.  If either of these options interests you, let me know and I can try to arrange some
match-making.

       SDWIS/LAN
       We plan to conduct an evaluation of SDWIS/LAN in the pilot states and regions this fall
and winter, make any needed software modifications next spring, and install SDWIS/LAN in
new states by next summer. Two states, West Virginia and Vermont, have applied for and
received approval to have SDWIS/LAN installed earlier in the fiscal year.  We believe the
success of SDWIS/LAN will depend in part on participation by the regions. Attachment C lists
the roles of headquarters, regions, and states as we see them. Attachment D provides a more
detailed explanation of the roles identified for the regions. We estimate that these functions
would take about .5 FTE for each SDWIS/LAN state in the region.

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       As I indicated in April, we will not be able to install SDWIS/LAN in any new state in
your region unless you are able to perform the lead roles identified in Attachment C and
explained in Attachment D.  During the early part of FY 98, we are prepared to provide the
training necessary to prepare your staff to assume these responsibilities. Attachment E is a list of
state plans regarding SDWIS/LAN adoption as we know them today. Please let me know by
September 30 whether you believe you will be able to provide support to the candidate states in
your region. We will need your commitment before we can schedule any installations in your
states.

       Regions I and 4 have states which have indicated interest but those regions have not yet
requested the SDWIS/LAN PC version to familiarize themselves with the software. Please let
Clint Lemmons of my staff (260-3612) know if you would like to receive a copy.

       Data Quality

       Regions have a major role to play in ensuring the quality of data being submitted to
SDWIS/FED. There are a number of activities underway this year, such as the development of a
Regional Quality Assurance Manual, to assist regions in performing this function.  Reporting
under the FY 1997 Management Agreement between the Office of Water and the regions
requires a narrative report for each state describing the quality of drinking water inventory and
compliance information in SDWIS/FED and how it is used by the state and EPA. The 1998
Agreement requires a report on the activities taken by the regions to improve data quality in each
state. The Data Quality Committee would like to receive information on each region's quality
assurance activities and the region's assessment of the quality of each state's data in
SDWIS/FED. Regional activities and initiatives will he evaluated for possible inclusion in the
manual or possible distribution to other regions as an example.

       Data Sharing Committee

       I am delighted to announce that Carol Amend, Enforcement Branch Chief in Region 3,
has agreed to chair the Data Sharing Committee, beginning October 1.  Tom Poleck, Region 5,
has agreed to remain on the committee. Bill Davis, Region 6, has also been serving as a regional
member. Mark Rasso from Region 2 and Drew Bartlett from Region 4 have recently joined the
committee. Thank you to all these members for their interest in this important project. This
committee will have a strong east/Midwest flavor!

       Funding

       The SDWIS/LAN and SDWIS/FED budget, combined, in FY 98 is $4 million. That
level is the same as the level in FY 97. However, it will seem like a cut because we had $2
million in FY 96 carryover to spend in FY 97. The FY 98 funding level is insufficient to carry
out all  the activities we were planning to conduct. We are looking at a variety of funding options
for FY 98 and FY 99. We recognize that FY 98 budgets are already fairly well set. However, we
are considering  asking the states who are getting SDWIS/LAN installed for the first time in FY
98 to pay the $25K in contractor cost associated with installation and training in that state. For

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FY 99, we are exploring broader options, such as asking SDWIS/LAN states to share the costs of
operating and maintaining that system.  We will also need to explore options regarding cost-
sharing for regions which use SDWIS/LAN for non-primacy states or Indian lands. We will be
getting options papers out to you for review on these issues in the next few months.

       Next Steps

       By September 30, please let me know the answers to the following questions:

              1) SDWIS/FED: Will the region conduct beginner level training?
             2) SDWIS/LAN: Will the region provide the assistance discussed in Attachments
             C and D for SDWIS/LAN states in their region?

       Also, by September 30, provide to the Data Quality Committee information on regional
quality assurance activities and the region's assessment of state data quality.

       cc:    Bob Blanco
             Water Division Directors, Regions 1-10

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                                                                                 WSG98

                                      Attachment A

                REGIONAL SDWIS/FED COORDINATOR FUNCTIONS

I.      Quality Control/Quality Assurance

       1.      Performs periodic evaluations of SDWIS' data quality, identifying specific
              deficiencies and/or data quality issues, recommending corrective actions to State.

       2.      Serves as the Regional SDWIS Resource Access Control Facility (RACF) System
              Security Administrator.

       3.      Coordinates and reconciles national reporting data requirements, e.g., GPRA and
              SNC/Exceptions Tracking data with Enforcement staff.

       4.      Develops guidance documents, e.g., data processing, reporting and system use,
              for Regional and State staffs.

II.     Data Processing

       1.      Tracks the receipt and processing of States' quarterly reports.

       2.      Reviews and analyzes error reports, sending copies to the States, if appropriate.
              Documents the nature and quantity of errors.  Contacts the State to discuss the
              reason for any data which were rejected and the actions required to correct the
              data. These actions can include correction in the State's data system, if
              appropriate.

       3.      Tracks the receipt and processing of corrected rejected data or corrects the rejects
              in SDWIS.

       4.      Provides a summary of the quarter's processing results to Regional State Program
              Managers and also to the States when appropriate.

III.    State Implementation Oversight

       1.      Conducts data verifications at least every three years, after implementation of new
              rules, major modifications to the State's data system or whenever appropriate.
              Provides written reports to the Region and the State. Follows up on deficiencies.

       2.      Participates in the states' midyear and end-of-year evaluations to include
              identifying strengths as well as weaknesses and makes recommendations for
              improvements.

       3.      Coordinates implementation of Data Sharing Committee recommendations on dat

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             which must be reported to SDWIS/FED.

       4.     Negotiates annual State work plan commitments with State Grant Managers.

IV.    Public Information

       Retrieves and analyzes SDWIS data in response to Freedom of Information Requests,
       studies, trend analyses, enforcement activities, special initiatives, GIS activities, routine
       and periodic reports to Headquarters, or assists other staff members in these activities.

V.     System Development/Oversight (System Enhancements, etc.)

       1.  Participates in the evaluation and development of SDWIS.
       2.  Evaluates and makes recommendations for system enhancements.

VI.    Regional SDWIS/FED Expert

       1.     Provides technical assistance to States in resolving reporting problems.

       2.     Represents the Region on national data management and/or SDWIS-related work
             groups, conferences and conference calls.

       3.     Maintains SDWIS documentation manuals.

       4.     Disseminates and explains data management policy and procedures to Regional
             staff and States.

       5.     Provides training and technical assistance to States and/or Regional staff on
             revisions and/or modifications to SDWIS relating to data entry, data retrieval, and
             reporting requirements for newly-developed regulations. Facilitates or conducts
             periodic refresher and/or advanced SDWIS training.

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                                                                           WSG98

                                   Attachment B

SDWIS/FED BASIC TRAINING
AGENDA

1.     SDWIS/FED Database overview

2.     Logging on to SDWIS/FED

3.     File manipulation using ISPF and SDSF

4.     UMAIL

5.     Accessing and creating SDWIS/FED standard reports

6.     Viewing and printing standard reports

7.     Introduction to the Platinum Reporting Facility (PRF) for Ad Hoc reports

8.     Copying and running an existing query/form

9.     Printing the report from a PRF query

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                                                                              WSG98

                                     Attachment C

                    SDWIS/LAN Regional Implementation Plan

                                     April 3, 1997

It has been understood that Headquarters would be responsible for funding and coordination of
all activities relating to the pilot. Once the pilot is completed and we begin to look at new states
adopting SDWIS/LAN, the sheer numbers involved would dilute headquarters' implementation
assistance capability to the point that success would be impossible. The success of SDWIS/LAN
after the pilot may well depend on the willingness of the Regional offices to perform most of the
duties of installation, training, and initial contact for post-installation technical assistance for the
new states.

We propose that each Region establish a SDWIS/LAN team and designate at least one person as
a SDWIS/LAN Coordinator. The lead person would not necessarily be the same person as the
SDWIS/FED Coordinator. SDWIS/LAN and SDWIS/FED are different data systems residing in
different environments.  EPA Headquarters will provide the appropriate regional staff with
SDWIS/LAN training through a train-the-trainer course.

In this proposal, the EPA Regional Offices would have the lead or have a major role in
following SDWIS/LAN-related activities:

SDWIS/LAN Training (Shared with Headquarters)
Start-up Assistance
Initial Contact  For Post-installation Technical Assistance

Regional Offices would be involved to a lesser degree with the following activities:

Marketing
SDWIS/LAN Installation
Upload to SDWIS/FED Assistance

Additionally, would have  the option of involvement in the following activities:

Oracle DBA Support
EDI Start-up Assistance
EDI Implementation Support
Oracle Database Optimization
Novell NetWare Expertise/Support
Network Performance Improvements
Microsoft Access Expertise/Support
Microsoft Access Training
Data Communications

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                                      Attachment D

SDWIS/LAN Training

EPA has committed to providing the initial installation and user training for any state which
adopts SDWIS/LAN. User training should be a joint effort between EPA headquarters and the
regional office. It is typically five days in duration and each should conduct one half of the daily
instruction.  Regional participation in conducting the on-site SDWIS/LAN user training will
serve to familiarize the EPA regional staff members with the particular state's data needs and
keep them up-to-date on the SDWIS/LAN software itself.  Regional involvement would also
help establish the regional office's support role in the region.

Start-up assistance

The process for adopting SDWIS/LAN requires a great deal of planning and coordination.
Regional offices should take the coordinating lead to assure that established checklists are
complete to promote a smooth transition to the new system.  Since the regional offices have a
better understanding of their states' needs, it would be preferable for them to coordinate the
efforts needed to make SDWIS/LAN a success in their regions.  The areas which need to be
coordinated are pre-installation activities, and post-installation activities including data
migration.  Pre-installation activities involve  assuring that states meet computer hardware and
software requirements.  Regional offices should also take an active role in helping states convert
their legacy system data into the Oracle-based SDWIS/LAN tables. Post-installation activities
are those which states perform to bring the data system into implementation. States from five of
the ten EPA regional offices as well as two of the offices themselves have been involved in the
SDWIS/LAN pilot program and could significantly contribute toward its implementation in new
states.

Initial Contact For Post-installation Technical Assistance

EPA regional offices should serve as the initial point of contact for states in their respective
regions who adopt SDWIS/LAN.  The regional office staff should be able to direct states'
inquiries to the appropriate person. Each EPA regional office should appoint at least one staff
member to  serve as SDWIS/LAN Coordinator.  This staff member would not necessarily be the
same person as the SDWIS/FED  Coordinator since SDWIS/LAN and SDWIS/FED are
completely different data systems residing in different environments, and each requires a
different skill set. The SDWIS/LAN Coordinator and any supporting team members would need
to be adequately trained  to recognize the nature of the caller's problem and either answer the
question or route their call to the appropriate  person. This level of involvement will also serve to
keep the regional office aware of the status of SDWIS/LAN issues in their states.

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                                                                               WSG98
The following matrix lists the SDWIS/LAN-related activities and proposes that each be assigned
to the state, EPA Region, or EPA Headquarters, and the degree to which they would take the
lead.  In some situations, it may be necessary for the state to secure a contract with an
independent outside company to perform certain tasks where expertise is not available in-house
or from the EPA Regional Office.
Activity
Marketing
Candidate Screening
SOW IS/LAN Installation
SOW IS/LAN Training
Start-up Assistance
Data Migration to
Populate SDWIS/LAN
Initial Contact For Post-
installation Technical
Assistance
Oracle DBA Support
Oracle DBA Training
Database Optimization
Novell NetWare
Expertise/Support
Microsoft Access
Expertise/Support
Microsoft Access
Training
Network Performance
Improvements
ODBC Driver Issues
EDI Start-up Assistance
EDI Implementation
Support
Data Communications
Upload to SDWIS/FED
Assistance
EPAHQ
Major
Major
Major
Joint with Region
Minor
Minor





Minor



Minor
Minor


EPA Region
Minor

Minor
Joint with HQ
Major

Major
Optional

Optional
Optional
Optional
Optional
Optional

Optional
Optional
Optional
Minor
State




Contract
Major

Major
Major
Major
Major
Major
Major
Major
Major
Contract
Major
Major
Major

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                                            WSG98
      Attachment E

      SDWIS/LAN
Customer Interest Summary
   State/EPA Regional
STATE
Alabama
Alaska
Arizona
Arkansas
California
Colorado
Connecticut
Delaware
Florida
Georgia
Hawaii
Idaho
Illinois
Indiana
Iowa
Kansas
Kentucky
Louisiana
Maine
Maryland
Massachusetts
Michigan
REG
4
10
9
6
9
8
1
3
4
4
9
10
5
5
7
7
4
6
1
3
1
5
INTEREST
Low
Unknown
None
High, has PC version
Low, has PC version
Low, Can not use Oracle applications
High, has PC version
Moderate, has PC version
Low
Unknown
Moderate, has PC version
Low, Has PC version
Pilot State, also has PC version
Pilot State, also has PC version
Pilot State
None, has PC version
Unknown
Moderate, has PC version
Low
Unknown
Low, has PC version
Low, has PC version
           10

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                             WSG98
Minnesota
Mississippi
Missouri
Montana
Nebraska
Nevada
New Hampshire
New Jersey
New Mexico
New York
North Carolina
North Dakota
Ohio
Oklahoma
Oregon
Pennsylvania
Rhode Island
South Carolina
South Dakota
Tennessee
Texas
Utah
Vermont
Virginia
Washington
West Virginia
Wisconsin
5
4
7
8
7
9
1
2
6
2
4
8
5
6
10
3
1
4
8
4
6
8
1
3
10
3
5
Low, Previous Pilot State, has PC version, may
be frustrated with own system's development
Moderate, wants to see PC version
High, has PC version
High
Pilot State
Pilot State
Low, has PC version
Moderate, has PC version
Low, has PC version
Unknown, has PC version
High, has PC version
Pilot State
Low
Moderate
Unknown, has PC version
Low
Unknown
Unknown
Unknown
Pilot State
Low, has PC version
Moderate, has PC version
High, has PC version, compelling need
Pilot State
Unknown
High, has PC version, compelling need
Unknown
11

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                              WSG98
Wyoming
EPA Region 1
EPA Region 2
EPA Region 3
EPA Region 4
EPA Region 5
EPA Region 6
EPA Region 7
EPA Region 8
EPA Region 9
EPA Region 10
8










High, has PC version, See EPA Region 8
Unknown
Moderate, DI for Virgin Is. & Puerto Rico
Moderate, DI for B.C. has PC version
Low
Low, has PC version
Pilot Region
Low, has PC version
High, has PC version, see Wyoming
Low, has PC version
Pilot Region for PC version
12

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