Integrated Compliance Information
System (ICIS) and Beyond:
Current and Future Plans and Technology
Presented by:
Alison Kittle, U.S. EPA
Bill Rensmith, Windsor Solutions, Inc.
Mike Beaulac, Michigan DEQ
Tony Jeng, enfoTech & Consulting
Exchange Network National Meeting
May 30, 2012
1
Agenda
 ICIS
Today
 Future of ICIS
 ICIS Electronic Submission Tools


OpenNode2 Starter Kit for ICIS
EN-Node2 Plug-In for ICIS
 Resources
Available to States
2
Agenda
 ICIS
Today
 Future of ICIS
 ICIS Electronic Submission Tools


OpenNode2 Starter Kit for ICIS
EN-Node2 Plug-In for ICIS
 Resources
Available to States
3
ICIS Today
DMR Batch



In production since May 2008
6 state agencies using it (AK, AR, IL, MI, MN, TN)
12 NetDMR states using it (AR, CO, CT, HI, IN, KY, LA, MD, SD, TN, UT, TX)
Full Batch

Phase 1




Batching of permit related data
7 state agencies submitting this data (AL, DE, FL, KY, MO, OH, PA)
In production since February 2011
Phase 2



Batching of inspection related data
6 state agencies submitting this data (AL, DE, FL, KY, OH, PA)
In production since November 2011
4
ICIS Today
Full Batch

Phase 3



Batching of enforcement action, violation and program report related data
15 State agencies to be migrated out of PCS (AZ, IA, KS, ME, MS, NJ, NC,
ND, OR, SC, VA, VT, WA, WV, WY)
Scheduled to be in production December 2012
5
Agenda
 ICIS
Today
 Future of ICIS
 ICIS Electronic Submission Tools


OpenNode2 Starter Kit for ICIS
EN-Node2 Plug-In for ICIS
 Resources
Available to States
6
Future of ICIS

Full Batch Data Flow Enables ICIS For:




Electronic exchange of information between EPA and
states (e.g., NPDES Permitting, Enforcement and
Compliance information).
Electronic reporting from the NPDES regulated
universe to EPA
Electronic reporting of compliance monitoring data
from inspectors in the field
Electronic submission of data from other EPA
systems
7
Future of ICIS

Electronic reporting of compliance data from
inspectors in the field:


Region 4 inspectors to send their compliance
monitoring data and RCRA inspection reports directly
to ICIS from the field via CDX
EPA is piloting tablet software for the PCB and
NPDES Construction Storm Water compliance
monitoring programs
8
Agenda
 ICIS
Today
 Future of ICIS
 ICIS Electronic Submission Tools


OpenNode2 Starter Kit for ICIS
EN-Node2 Plug-In for ICIS
 Making
the Future of ICIS and Electronic
Reporting a Reality
9
ICIS Electronic Submission Tools

Free .NET and Java software posted on the
Exchange Network used for submitting all data
families to ICIS

Stores data extracted from state NPDES system into
staging tables structured like ICIS

Generates XML submission files and submits them
to ICIS through CDX

Returns results of ICIS processing

States must extract their NPDES data into the
staging tables with ICIS reference codes
10
OpenNode2 ICIS-NPDES Full
Batch Plugin
Submitting Data to ICIS the Easy
Way
Bill Rensmith, Windsor Solutions, Inc.
11
OpenNode2

Project Background




How it Works



Staging Tables
Submission Lifecycle
Live Demonstration



About OpenNode2, flows, and plugins
About this Project
Project Timeline
Implementer Responsibilities
Options for non-OpenNode2 States
Q&A
12
About OpenNode2
 Open
source Exchange Network node
software
 OpenNode2 can:


send data to other Network partners
make data available for others to query
 Most
widely used node software on the
Network
 Available at
http://code.google.com/p/opennode2
13
About Flows and Plugins


Each type of data on the network is a “flow”
 There is a flow for each regulatory area (air, waste,
etc…)
 ICIS-NPDES is one of many available flows
 EPA defined the rules for sending data via the ICISNPDES flow
Each flow is implemented as a Plugin in OpenNode2
 Plugins are the software that contain the functionality
needed to support a specific flow
 The OpenNode2 Google code site has plugins for
most major regulatory flows to EPA
14
About this Project
 The
ICIS-NPDES Full Batch flow is
complex




46 different data families
149 tables (complex data types)
1195 fields (simple elements)
963 business rules
 To
reduce implementation challenge, EPA
and ECOS wanted to make available tools
to simplify flow implementation for states.
15
About this Project (cont’d)


In September 2011, EPA and ECOS engaged Windsor
to develop full batch data flow plugin for OpenNode2
 Ubiquity of OpenNode2 made it a good choice to
reach the widest potential audience of states
 To reduce cost, only developing for the .NET version
of OpenNode2 (most commonly used version)
Pilot with Washington Dept. of Ecology
 Summer 2012
16
Project Timeline






1/5/2012 – Plugin design completed
2/8/2012 – Staging tables released to Google
Code
3/13/2012 – Beta Plugin released to Google
Code
4-8/2012 – Test/Implement in WA
8/23/2012 – Final Plugin release to Google
Code
12/2012 – Release of ICIS v4 Plugin

Adds support for compliance and enforcement
modules
17
Overall Submission Workflow
18
Workflow Lifecycle
Data Preparation Stage
a.
State-specific Extract, Transform and Load (ETL)
b.
Change Detection Process
2. Submission Stage
3. Result Processing Stage
a.
Retrieve Accept/Reject Report and Parse/Store
Results
b.
Store Accepted Records
 Full lifecycle must complete before repeating
 Checks in place to prevent out-of-sequence execution
1.
19
ICIS-NPDES Staging Tables

Two sets of staging tables:
 ICS_FLOW_LOCAL – Agency’s NPDES data to send to
ICIS
 ICS_FLOW_ICIS – Copy of all data successfully sent to
ICIS
ICS_FLOW_LOCAL
ICIS_PAYLOAD
ICS_FLOW_ICIS
ICIS_PAYLOAD
1. ICIS_BASIC_PRMT
1. ICIS_BASIC_PRMT
2. ICS_BS_PRMT
2. ICS_BS_PRMT
3. ICS_CAFO_PRMT
3. ICS_CAFO_PRMT
...
...
46. ICS_SWMS_4_PROG_REP
46. ICS_SWMS_4_PROG_REP
20
Stage 1: Data Preparation
 ETL

Step
Refresh “local” tables with latest data from
agency NPDES database
ICS_FLOW_LOCAL
ICIS_PAYLOAD
1. ICIS_BASIC_PRMT
NPDES Data
Source(s)
2. ICS_BS_PRMT
3. ICS_CAFO_PRMT
...
46. ICS_SWMS_4_PROG_REP
21
Stage 1: Data Preparation (cont’d)

Detect Changes Step
 Database routine compares “Local” data with
“ICIS” data to determine what needs to get sent.
 Sets Transaction Codes (N, C, R). Leave
Transaction Code blank if data is already in sync
with ICIS.
 Inserts records into “Local” for Deletes (D, X).
ICIS_FLOW_LOCAL
ICIS_PAYLOAD
ICIS_FLOW_ICIS
ICIS_PAYLOAD
1. ICIS_BASIC_PRMT
1. ICIS_BASIC_PRMT
2. ICS_BS_PRMT
2. ICS_BS_PRMT
3. ICS_CAFO_PRMT
3. ICS_CAFO_PRMT
...
...
46. ICS_SWMS_4_PROG_REP
46. ICS_SWMS_4_PROG_REP
22
Stage 2: Submission
 Plugin
builds payload for all
modules/records that have a Transaction
Code set.
ICS_FLOW_LOCAL
ICIS_PAYLOAD
<XML>
1. ICIS_BASIC_PRMT
<BasicPermitData>
2. ICS_BS_PRMT
OpenNode2
<BiosolidsPermitData>
3. ICS_CAFO_PRMT
...
23
Stage 3: Result Processing
 Download,
Parse and Store Results
Step:

When processing is complete, Node
downloads and parses Accepted and
Rejected Transactions into a Result Tracking
Table.
ICS_FLOW_LOCAL
ICIS Result Tracking Table
ICIS Key Fields
Error/Info Code
Error/Info Type Code
Error/Info Description
<XML>
OpenNode2
Accepted
Transactions
Rejected
Transactions
24
Stage 3: Result Processing (cont’d)

Store Accepted Transactions Step:
 Accepted Records are copied from “Local” to “ICIS”.
 Performed by a stored procedure executed by the
plugin.
ICS_FLOW_LOCAL
ICIS_PAYLOAD
ICS_FLOW_ICIS
ICIS_PAYLOAD
1. ICIS_BASIC_PRMT
1. ICIS_BASIC_PRMT
2. ICS_BS_PRMT
2. ICS_BS_PRMT
3. ICS_CAFO_PRMT
3. ICS_CAFO_PRMT
...
...
46. ICS_SWMS_4_PROG_REP
46. ICS_SWMS_4_PROG_REP
25
Stage 3: Result Processing (cont’d)

How do I audit successes/failures?
 All feedback from ICIS is stored in result tracking
table (ICS_SUBM_RESULTS)
 Only stores the accepted transactions from the most
recent submission
 Stores all errors received for a given business key’
26
Live Demonstration
27
What Can I Download?
 http://code.google.com/p/opennode2/
28
What Can I Download? (cont’d)

Plugin
 Plugin.zip – this is what you upload to OpenNode2
 Database scripts – for SQL Server and Oracle
• Creates needed tables, procedures, views…

Documentation
 Plugin Implementation Guide PDF
• Just the facts. Describes how to install and configure the
plugin and database components.

Plugin Design Specification PDF
• All the nitty-gritty details of the plugin design. Very useful to
understand the details of how the plugin components work.
29
Implementer Responsibilities
1.
2.
Set up staging tables in state environment
Map source systems to staging tables
Mapping to ICIS-NPDES lookup values
3.
4.
5.
6.
7.
30
Develop data extraction and transformation routines to
copy data from state database to staging tables
Set up node and plugin
Flow data to CDX Test environment
Monitor for errors. Fix by:
1.
Fixing data in source system
2.
refining ETL logic
Migrate to production
Questions and Answers
http://code.google.com/p/opennode2
Webinar Video: http://youtu.be/7qP2d6CUypsb
31
Electronic Submission Plug-Ins
 Michigan

eDMR Demonstration
by Mike Beaulac, Michigan DEQ
32
Electronic Submission Plug-Ins
EPA
A
B
C
NMS: NPDES Management System
E2: Online DMR Reporting System
EN Node: ICIS-DMR batch loading to CDX/ICIS
Wastewater Facility
PCS / ICIS
State of Michigan
2
5
Reporting
Requirements
obtained from
State System
3
DMR Certifier
EPA CDX
DMR is
submitted
electronically
E2
B
1
NMS
4
DMR
submissions
sent to State
System
NMS:
· Application Tracking
· Permit Issuance
· Permit Limit
· Inspection
· Compliance
· Enforcement, etc.
Reporting Data
Submission to
EPA CDX
C
A
State Node
33
Electronic Submission Plug-Ins

Permittee requests an account



DMR Reporting Forms


Authorized representative submits a TPA to DEQ to request an
account (preparer, viewer, certifier)
DEQ approves the request, establishes accounts, sends security
credentials to the requestor
NMS pushes monitoring/reporting requirements to E2 (supports
monthly, quarterly, semi-annual, annual DMRs)
DMR Reporting & Management



Permittee: Online data entry, Excel copy-and-paste, XML
upload, compliance checks, comment results, data validations,
make revisions (745 participating facilities, 76% out of 976)
DEQ: late/no submission report, email reporting alerts, etc.
Procedures in meeting CROMERR requirements
34
Electronic Submission Plug-Ins

Parameter requirement by Monitoring Point
and Stage
 Seasonal requirements
 Effective dates could be staged
35
Electronic Submission Plug-Ins
Commenting
Result.
Violation Alert!
Incomplete!
36
Electronic Submission Plug-Ins
Commenting
Result.
Report results
for parameters
not listed on the
DMR form…
37
ICIS Electronic Submission Tools

EN-Node2 ICIS Plug-In Demonstration
 by Tony Jeng, enfoTech & Consulting, Inc.
38
ICIS-Batch Data Family Structure
39
EN-Node Plugins for ICIS-NPDES
Unpermitted
Facility Plug-In
Basic
Permit
Plug-in
General
Permit
Plug-in
Master
General
Permit
Plug-in
Optional
Payloads for
Basic PMT
Optional
Payloads for
General PMT
Optional
Payloads for
Master
General PMT
Biosolids
CAFO
CSO
POTW
Pretreatment
Storm Water
MS4
…
Biosolids
CAFO
CSO
POTW
Pretreatment
Storm Water
MS4
…
Biosolids
CAFO
CSO
POTW
Pretreatment
Storm Water
MS4
…
DMR
Plug-in
Inspection
Plug-in
Report
Plug-in
Optional
Payloads:
Optional
Payloads:
CAFO
Inspection
SSO
Inspection
CSO
Inspection
Storm water
Inspection
…
SSO Annual
Report
SSO Monthly
Report
Storm Water
Event
Storm Water
Program
Report
…
Compliance
Determination
Plug-in
Enforcement
Plug-in
Optional
Payloads
Optional
Payloads
Single event
Schedule
Violation
Enforcement
Actions
40
EN-Node ICIS-Batch Implementation
Submissions:
Wastewater Facility
Generic data validation:
•State-to-ICIS code translation
•Data type & length
•Schema validation
State-specific validation…
•
Types: X, N, R, C
•
Delete Permit: To delete a
Permit, all child records must
be deleted first (limits, DMR,
violations, inspection, etc.)
•
Reload DMR: For period of
over-lapping permits, DMRs
need to be reloaded
DMR
DMR Certifier
Certifier
Submit DMR
Electronically
PCS
PCS // ICIS
ICIS
EPA
EPA CDX
CDX
Reports:
Data Push Options:
•Triggers,
•Stored Procedures,
•Schedule Jobs,
•…
1
EPA
Data
Submission
A
State Environment
B
D
•
Search/View State Data
•
Search/View Submit
data
•
Search/View
Transactions & status
•
View ICIS processing
reports
ICIS Staging Tables
3
2
Download
Process
Report
ICIS Data Flows
Generate ICISNPDES xml
Pushed Data to
Staging Tables
5
4
C
State
State NPDES
NPDES Database
Database
State Data
Storage
Submit
Data
Storage
6
Update ICIS-processing
Status in Submit Data
Tables
EN Node Starter Kit
EN
EN Node
Node
41
EN-Node ICIS Submission Options
42
EN-Node Flow Wizard - Process Configuration
43
EN-Node ICIS Plugins
 Availability
Status
 Download EN-Node & Plug-ins:
https://code.google.com/p/en-node2/downloads/list
44
Agenda
 ICIS
Today
 Future of ICIS
 ICIS Electronic Submission Tools


OpenNode2 Starter Kit for ICIS
EN-Node2 Plug-In for ICIS
 Resources
Available to States
45
Resources Available to States
OEI Exchange Network Grants

Funding to states, territories and federally recognized
Indian tribes to support development of Environmental
Information Exchange Network related activities

Announcement of the availability of funds and soliciting
of proposals and partial applications from applicants
occurs through the Exchange Network Grant web page
at www.epa.gov/networkg

46
For More Information
Contacts

ICIS-NPDES Electronic Submissions


Michigan eDMR


Mike Beaulac BeaulacM@Michigan.gov
EN-Node


Alison Kittle kittle.alison@epa.gov
Tony Jeng Tony_Jeng@enfotech.com
OpenNode2

Bill Rensmith bill_rensmith@windsorsolutions.com
47
Questions
???
48