Office of Enforcement and Compliance Assurance
Integrated Compliance Information System
ICIS-Air EDT
Air Compliance Monitoring Strategy – Technical
Specification
Version 1.4
Revised Final
July 14, 2015
Office of Enforcement and Compliance Assurance
Document Change History
Version Number
Date
Description
0.1
7/11/2013
Initial Draft Release.
1.0
10/31/2013
Incorporated EPA Comments.
1.1
2/26/2014



Removed business rule mapping for CMS-116 to R-C.
Updated role name in the processing flow steps.
Added business rule CMS-117.
1.2
8/4/2014

Per CR# AIR-1537, added business rules CMS-118
and CMS-119.
1.3
12/5/2014

Per DR# AIR-867, updated data elements mapping for
updated data types of AirCMSStartDate,
AirActiveCMSPlanIndicator, AirRemovedPlanDate.
1.4
7/14/2015

Per CR# AIR-2781, updated business rule CMS-023.
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Table of Contents
1. INTRODUCTION..................................................................................................................... 4
1.1 PURPOSE ................................................................................................................................ 5
1.2 DOCUMENT OVERVIEW .......................................................................................................... 5
2. VALIDATION AND PROCESSING ...................................................................................... 6
2.1 GENERAL EDT PROCESSING RULES ....................................................................................... 6
2.1.1 Asterisks ......................................................................................................................... 6
2.1.2 Multi-Value Items .......................................................................................................... 6
2.1.3 Default Values ............................................................................................................... 9
2.2 REPLACE (R) AIR COMPLIANCE MONITORING STRATEGY PROCESSING ................................. 9
2.2.1 Replace Air Compliance Monitoring Strategy Processing Flow ................................. 10
2.3 MASS DELETE (X) AIR COMPLIANCE MONITORING STRATEGY PROCESSING....................... 16
2.3.1 Mass Delete Air Compliance Monitoring Strategy Processing Flow .......................... 16
2.4 BUSINESS RULES .................................................................................................................. 18
3. DATA ELEMENT MAPPING .............................................................................................. 20
4. XML SCHEMA ....................................................................................................................... 21
APPENDIX A: ACRONYMS .................................................................................................... 22
APPENDIX B: XML SUBMISSION EXAMPLE ................................................................... 23
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List of Tables
Table 2.1-1: Adding a Multi-Value Item List ................................................................................. 7
Table 2.1-2: Changing a Multi-Value Item List ............................................................................. 7
Table 2.1-3: Deleting from a Multi-Value Item List ...................................................................... 8
Table 2.2-1: Replace Air Compliance Monitoring Strategy Processing....................................... 12
Table 2.3-1: Mass Delete Air Compliance Monitoring Strategy Processing................................ 17
Table 2.4-1: Air Compliance Monitoring Strategy Business Rules ............................................. 18
Table 3-1: EDT Air Compliance Monitoring Strategy Data Element Mapping ........................... 20
Table A-1: Acronym List .............................................................................................................. 22
List of Figures
Figure 2.2-1: Replace Air Compliance Monitoring Strategy Processing Flow ............................ 11
Figure 2.3-1: Mass Delete Air Compliance Monitoring Strategy Processing Flow ..................... 16
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1. INTRODUCTION
The focus of this technical specification is the submission of Air Compliance Monitoring
Strategy data to the Integrated Compliance Information System (ICIS) through Electronic Data
Transfer (EDT) using Extensible Markup Language (XML) transactions. Data for other areas of
the ICIS system (e.g., Air Facility Pollutants, Air Facility Programs, and Formal Enforcement
Actions) will be addressed in separate technical specifications.
Users do not submit XML data directly to ICIS. Instead, zipped XML submission files are
submitted to the Environmental Protection Agency’s (EPA’s) Central Data Exchange (CDX)
which then passes the files to ICIS. To submit data to CDX, the user must have a NAAS User
Identifier (ID) and password. This ID and password are specific to CDX and are completely
unrelated to ICIS. An ICIS User ID must be provided in the ID tag in the header of each XML
file so that when ICIS receives the zipped file(s), it can determine if the transactions in the file
can be performed by the user submitting the transaction. After receiving the zipped file from the
user, CDX performs several important functions. They perform a virus scan to ensure that the
files are free of viruses and then assign a unique CDX Transaction ID to the submission. This
Transaction ID maps directly to the Batch ID that ICIS uses internally to manage processing.
ICIS uses this CDX Transaction ID to communicate information about the submission to CDX
and the user. CDX then archives the submission and validates the XML files based on the rules
in the XML schema. If problems are detected, CDX notifies the user so that the problems can be
corrected. Upon completion of these tasks, CDX sends the error-free submission to ICIS.
For purposes of this document:
•
“User” refers to EPA Regional, State, Tribe and Local Control Agency (LCON) users.
•
“ICIS” refers to the system and “ICIS-Air” is a component within the ICIS system.
•
“NAAS ID” refers to the ID the user must have to log in to CDX.
•
“ICIS User ID” refers to the user’s ID in the ICIS system.
•
“CDX Transaction ID” refers to the identifier CDX provides for each zipped submission file
containing one or more XML files.
•
“Batch ID” in all communications with users (e.g., audit reports, EDT processing
confirmation report) refers to the identifier CDX provides for each zipped submission file
(This is the same as the CDX Transaction ID).
•
“Batch ID” in the ICIS Batch Operational Database (DB) refers to the identifier assigned to a
zipped submission file by ICIS to make processing more efficient.
•
“Payload” in a zipped submission file refers to all of the XML transactions for a submission
type within each of the XMLs contained in the zipped submission file.
A zipped submission file may contain many XML files, and within each XML file there can be
one Payload for one or more different Submission Types (e.g., Air Compliance Monitoring
Strategy). Each Payload may contain one or many XML transactions, each of which contains the
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Air Compliance Monitoring Strategy data and a specific transaction type that identifies how ICIS
should process the data. For Air Compliance Monitoring Strategy, there are two valid XML
transaction types: Replace and Mass Delete. The details of the Air Compliance Monitoring
Strategy transaction types are described in Section 2: Validation and Processing.
After receiving a zipped submission file from CDX, ICIS parses it and saves each Air
Compliance Monitoring Strategy XML transaction to the database so that the individual Air
Compliance Monitoring Strategy XML transactions can be ordered and processed. After
processing is complete for all files in a zipped submission, ICIS sends a response notification to
CDX, which then notifies the user when processing is complete.
1.1 PURPOSE
The purpose of this document is to provide an overview of the Air Compliance Monitoring
Strategy submission data through XML transactions using text descriptions, tables, and figures.
A major section of this Air Compliance Monitoring Strategy Technical Specification, Section 2:
Validation and Processing, details the two valid XML transaction types for Air Compliance
Monitoring Strategy (Replace and Mass Delete). Provided with these transactions are the
business rules that govern Air Compliance Monitoring Strategy transactions, as well as the
accompanying error/warning messages, serving to notify users of the data in error and provide
them with the information necessary to correct the problems.
This document references the ICIS-Air CMS Web Design Document, Sub-Processing section for
system generated CMS data that are common for both Web and EDT.
1.2 DOCUMENT OVERVIEW
The following sections comprise the remainder of this technical specification:
•
Section 2: Validation and Processing – This section describes the processing of Replace
and Mass Delete Air Compliance Monitoring Strategy XML transactions, and the business
rules that apply to the transaction types.
•
Section 3: Data Element Mapping – This section provides a mapping between the XML
Tag Name, ICIS-Air Screen Name, and ICIS Database Name for Air Compliance Monitoring
Strategy data elements.
•
Section 4: XML Schema – This section provides a list of the XML schemas related to Air
Compliance Monitoring Strategy.
•
Appendix A: Acronyms – This section provides a list of all acronyms used in the document.
•
Appendix B: XML Submission Example – This section provides an example XML
Submission for the Air Compliance Monitoring Strategy Submission Type.
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2. VALIDATION AND PROCESSING
After receiving a zipped submission from CDX, ICIS parses the Air Compliance Monitoring
Strategy XML transactions, saves each to the database, and groups them by transaction type. The
valid transaction types for Air Compliance Monitoring Strategy are Replace and Mass Delete.
ICIS must process these groups in the proper order to achieve the desired results. The ICIS Batch
Design Document Appendix D: ICIS Batch Submission Types and Processing Order details the
processing order for all ICIS XML submissions. This section describes specific fields that
require special processing as well as the detailed processing of the one Air Compliance
Monitoring Strategy transaction types.
Key values are those mandatory fields used to identify records in the ICIS database by the EDT
processing module. The ICIS XML Schema requires that key values be entered for all
transactions in order to be able to establish a new record and find existing records to change or
delete. The key value for an Air Compliance Monitoring Strategy transaction is:
•
Air Facility Identifier.
The following sub-sections describe general processing rules related to asterisks and the detailed
processing of Air Compliance Monitoring Strategy XML transaction.
2.1 GENERAL EDT PROCESSING RULES
It is important to understand the following general EDT processing rules for ICIS.
2.1.1 Asterisks
Users must have the ability to remove data from fields through XML transactions. This is
accomplished through the use of asterisks (*). The asterisk is not stored in ICIS, but instead is
used to signal the system that the field should be blanked out. It is not necessary for the user to
submit asterisks in Replace transactions because leaving the tag out of the XML transaction
achieves the same result (i.e., the field is left blank), but ICIS has been designed to process
asterisks in those cases.
2.1.2 Multi-Value Items
Individual Data Tag – The simplest kind of multi-value item consists of one data tag that can be
repeated multiple times within a transaction. Below is an example of an Individual Data Tag
multi value item (NationalPrioritiesCode) repeated multiple times:
<NationalPrioritiesCode>1000</NationalPrioritiesCode>
<NationalPrioritiesCode>1002</NationalPrioritiesCode>
<NationalPrioritiesCode>1005</NationalPrioritiesCode>
<NationalPrioritiesCode>1006</NationalPrioritiesCode>
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Multiple Data Tags – Some multi-value items contain multiple data tags which can be repeated,
as a group, multiple times within a transaction. Below is an example of multiple data tags:
<NAICSCodeDetails>
<NAICSCode>114119</NAICSCode>
<NAICSPrimaryIndicatorCode>Y</NAICSPrimaryIndicatorCode>
</NAICSCodeDetails>
<NAICSCodeDetails>
<NAICSCode>115111</NAICSCode>
<NAICSPrimaryIndicatorCode>N</NAICSPrimaryIndicatorCode>
</NAICSCodeDetails>
<NAICSCodeDetails>
<NAICSCode>115115</NAICSCode>
<NAICSPrimaryIndicatorCode>N</NAICSPrimaryIndicatorCode>
</NAICSCodeDetails>
If data already exist for one of these multi-value items for a record in ICIS and the user wishes to
add new values while keeping the existing values, they would include all of the values that they
wish to have for the field (i.e., all existing values, plus the new values) in their XML submission.
The table below provides an example.
Table 2.1-1: Adding a Multi-Value Item List
NationalPrioritiesCode in ICIS DB
NationalPrioritiesCode in XML
Submission
Result in ICIS DB After Processing
1000
1000
1000
1002
1002
1002
1005
1005
If data already exist for one of these multi-value items in ICIS and the user wishes to change one
of the values, they would include all of the values that they wish to have for the field (i.e.,
existing values they wish to keep, plus new values) in their XML submission. The table below
provides an example.
Table 2.1-2: Changing a Multi-Value Item List
NationalPrioritiesCode in ICIS DB
1000
NationalPrioritiesCode in XML
Submission
Result in ICIS DB After Processing
1000
1000
1005
1005
1002
If data already exist for one of these multi-value items for a record in ICIS and the user wishes to
remove all but one of the values, they would include only the value that they wish to have for the
field (i.e., existing values they wish to keep) in their XML submission. The table below provides
an example.
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Table 2.1-3: Deleting from a Multi-Value Item List
NationalPrioritiesCode in ICIS DB
1000
NationalPrioritiesCode in XML
Submission
1000
Result in ICIS DB After Processing
1000
1002
1005
Users must also have the ability to blank out all values for these multi-value items. This is
accomplished by submitting one row of the multi-value item with an asterisk as the value. The
rules for doing this are described below:
•
Individual Data Tag – If an asterisk is submitted in an individual data tag, ICIS will blank
out all existing values for the corresponding field.
•
Multiple Data Tags:

If asterisks are submitted in all required tags and the optional tags are not included,
ICIS will blank out all existing values for the corresponding multi-value item.

If asterisks are submitted in all required tags and values are submitted in one or more
optional tags, ICIS will blank out all existing values for the corresponding multivalue item (ignoring the data in the optional tags).

If asterisks are submitted in some required tags and values are submitted in other
required tags, ICIS will reject the transaction. This is addressed through business
rules, with error messages, detailed in the business rules table.

If there are no required tags for a multi-value item and asterisks are entered in one or
more of the optional tags:
•
If only asterisks are submitted, ICIS will blank out all existing values for the
corresponding multi-value item.
•
If a combination of asterisks and values are submitted, ICIS will reject the
transaction. This is addressed through business rules, with error messages,
detailed in the business rules table.
As noted above, asterisks should only be used as an indication to blank out all values for a field,
and that should be the only row of data that is submitted for that field. However, it is possible
that a transaction will contain multiple rows of a multi-value item, some with asterisks and some
without. In that situation, ICIS will evaluate each row for validity. If any rows are invalid, ICIS
will reject the transaction. If all rows are valid, ICIS will save only the values submitted,
ignoring the “blanked out” rows.
If duplicate multi-value items are submitted (i.e., the same data submitted multiple times for
different multi-value items), then ICIS will save one of the duplicate multi-value items and
ignore the other duplicates. A multi-value item is considered a duplicate if the key value tags are
identical (i.e., fields in ICIS that must be unique for each multi-value). If there are duplicate
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multi-value items, ICIS cannot guarantee which multi-value item will be saved. This logic
applies to both individual data tag and multiple data tag multi-value items. Any exceptions to this
processing logic will appear as a business rule and will result in a rejected transaction.
The Air Compliance Monitoring Strategy Submission types do not contain multi-value data tags.
2.1.3 Default Values
Default values can include both web-only fields and web/XML fields. They apply to Replace
XML transactions. Default values are always set for Replace like New (R-N) transactions, and
are set for Replace like Change (R-C) transactions for tags that are blanked out with an asterisk
or that were not submitted.
The following is a list of default values for Air Compliance Monitoring Strategy transactions and
the fields are web/XML:
•
•
•
•
CMS Start Date: <Current Date>
Active on CMS Plan: Yes (Y)
CMS Current Historical Flag: Current (C)
CMS Sensitive Data Flag: Yes (Y)
The following is a list of default values for Air Compliance Monitoring Strategy transactions and
the field is web-only:
•
CMS Minimum Frequency: Recommended Default Frequency based on CMS Source
Category selected.
2.2 REPLACE (R) AIR COMPLIANCE MONITORING STRATEGY PROCESSING
The Replace Air Compliance Monitoring Strategy record transaction allows the user to submit
Air Compliance Monitoring Strategy data to ICIS without considering the current state of the
data in ICIS. In processing the transaction, ICIS will determine whether or not the Air
Compliance Monitoring Strategy record already exists. If the Air Compliance Monitoring
Strategy record does not exist in ICIS, the Replace transaction creates a new Air Compliance
Monitoring Strategy record. If the Air Compliance Monitoring Strategy record already exists in
ICIS, the Replace transaction updates the existing record in ICIS with the data provided,
blanking out fields whose tags containing an asterisk or were not submitted.
In a Replace transaction, ICIS will replace the data for the Air Compliance Monitoring Strategy
record with the data submitted in the XML. In a Replace transaction where the Air Compliance
Monitoring Strategy record already exists in ICIS, the system will not blank out these fields:
•
•
•
•
CMS Start Date
CMS Source Category
CMS Minimum Frequency
Active on CMS Plan
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•
•
•
•
•
•
•
CMS Origination Date
CMS Current Historical Flag
CMS Sensitive Data Flag
CMS Cycle Date
CMS Applied Frequency
Next Full Evaluation Due Date
Current CMS Status.
The processing of a Replace Air Compliance Monitoring Strategy record transaction in ICIS is
described below.
2.2.1 Replace Air Compliance Monitoring Strategy Processing Flow
Figure 2.2-1: Replace Air Compliance Monitoring Strategy Processing Flow is a diagram
depicting the processing of a Replace Air Compliance Monitoring Strategy transaction. Table
2.2-1: Replace Air Compliance Monitoring Strategy Processing detailing each step in the flow is
also included in this section.
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Figure 2.2-1: Replace Air Compliance Monitoring Strategy Processing Flow
Replace Air
Compliance
Monitoring
Strategy
Processing
Yes
End
End
End
2A. Reject transaction.
Write 1 error message to
the error log.
3A. Reject transaction.
Write 1 error msg per
business rule violation to
the error log.
4A. Reject transaction.
Write 1 error msg per
business rule violation to
the error log.
No
No
No
1. Does an
Active Air CMS exist in
ICIS for the key data
entered?
No
2. Does user
have privileges to
perform Replace Air
CMS XML
transaction?
1A. Does the Air
Facility exist in ICIS?
Yes
Yes
3. Does submission
contain data other than
key data?
1B. Does user
have privileges to
perform Replace Air
CMS XML
transaction?
Yes
Yes
4. Are data valid
for the Replace (like
Change) transaction?
1C. Do required CMS
data exist?
No
1A1. Reject transaction.
Write 1 error message to
the error log.
End
No
1B1. Reject transaction.
Write 1 error message to
the error log.
End
No
1C1. Reject transaction.
Write 1 error msg per
business rule violation to
the error log.
End
No
1D1. Reject transaction.
Write 1 error msg per
business rule violation to
the error log.
End
Yes
1D.
Are data valid for
Replace (like New)
transaction?
Yes
Yes
1E. System generates
data.
5. Run BGP: Generate
Current CMS Status.
5A. Did Background
Processing complete
successfully?
6. Save the Air CMS
record to the database.
Yes
No
5B. Reject transaction.
Write 1 error message to
the error log.
End
7. Accept transaction.
End
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Table 2.2-1: Replace Air Compliance Monitoring Strategy Processing contains a description of the items in the above flow. The Item
Number column refers to the Processing step being referenced. The Item Description column gives a more in-depth explanation of
each step of the process. The Mapping to Business Rules Table column references the specific business rules that are checked in that
step. All Business Rules relating to the flow can be found in Table 2.4-1: Air Compliance Monitoring Strategy Business Rules.
Table 2.2-1: Replace Air Compliance Monitoring Strategy Processing
Item
Number
Item Description
Mapping to Business Rule Table
1.
Does an Active Air CMS exist in ICIS for the key data entered?
ICIS determines if an active Air CMS where Air_CMS.Active_CMS_Plan_Flag = ‘Y’ exists in ICIS that
matches the key data submitted. The XML key tag for an Air CMS transaction is the Air Facility Identifier. If
a matching Air Facility with an active Air CMS is found in ICIS, processing continues at #2, otherwise
processing continues at #1A
N/A
1A.
Does the Air Facility exist in ICIS?
ICIS determines if an Air Facility exists in ICIS for the Air Facility Identifier submitted. If a matching Air
Facility Identifier is not found in ICIS, processing continues at #1A1, otherwise processing continues at
#1B.
CMS-104
1A1.
Reject transaction. Write 1 error message to the error log.
If the Air Facility Identifier does not exist in ICIS, then ICIS rejects the Replace Air Compliance Monitoring
Strategy request. ICIS writes an error message to the error log and processing of this Replace Air
Compliance Monitoring Strategy transaction ends.
CMS-104
1B.
Does user have privileges to perform Replace Air Compliance Monitoring Strategy XML
transaction?
ICIS determines if the user has privileges to perform a Replace Air Compliance Monitoring Strategy
transaction and if the user has the authority to conduct a Replace Air Compliance Monitoring Strategy
transaction for the specific record requested. ICIS applies the same security rules for XML transactions as
it does for the web, and uses the same set of permissions. The user must have the Manage Air Facility
CMS function which is available as part of the Air Facility CMS Editor role, the Edit Air Facility function
which is available as part of the Air Facility Editor Role, and enforcement sensitive data privileges. If the
ICIS User ID has the correct privileges, processing continues at #1C, otherwise processing continues at
#1B1.
CMS-002
1B1.
Reject transaction. Write 1 error message to the error log.
If the ICIS User ID does not have the correct privileges defined in ICIS for this Replace Air Compliance
Monitoring Strategy transaction, then ICIS rejects the entire Replace Air Compliance Monitoring Strategy
transaction. ICIS writes an error message to the error log and processing of this Replace Air Compliance
Monitoring Strategy transaction ends.
CMS-002
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Item
Number
Item Description
Mapping to Business Rule Table
1C.
Do required CMS data exist?
ICIS determines if the Air CMS required data exist in the XML file. CMS required data include: CMS
Source Category and CMS Minimum Frequency. If the required Air CMS data do not exist, processing
continues at #1C1, otherwise processing continues at #1D.
CMS-012, CMS-014
1C1.
Reject transaction. Write 1 error msg per business rule violation to the error log.
If the Air CMS required data do not exist, then ICIS rejects the Replace Air CMS request. ICIS writes an
error message to the error log for each business rule violation and processing of this Replace Air
Compliance Monitoring Strategy transaction ends.
CMS-012, CMS-014
1D.
Are data valid for Replace (like New) transaction?
ICIS checks validity of all required and optional data. If required and optional data are valid according to
the business rules, processing continues at #1E; otherwise processing continues at #1D1.
CMS-023, CMS-029, CMS-107, CMS110, CMS-119
1D1.
Reject transaction. Write 1 error msg per business rule violation to the error log.
If ICIS determines that required and/or optional data are invalid, ICIS writes an error message to the error
log for each business rule violation and processing of this Replace Air Compliance Monitoring Strategy
transaction ends.
(Same as Step 1D)
1E.
System generates data.
ICIS has determined that the CMS data are valid. The following data are system generated:

Air_CMS.Active_CMS_Plan_Flag = Y

Air_CMS.Current_Historical_Flag = C

Air_CMS.Sensitive_Data_Flag = Y
N/A
Processing continues at #5.
2.
Does user have privileges to perform Replace Air Compliance Monitoring Strategy XML
transaction?
ICIS determines if the user has privileges to perform a Replace Air Compliance Monitoring Strategy
transaction and if the user has the authority to conduct a Replace Air Compliance Monitoring Strategy
transaction for the specific record requested. ICIS applies the same security rules for XML transactions as
it does for the web, and uses the same set of permissions. The user must have the Manage Air Facility
CMS function which is available as part of the Air Facility CMS Editor role, the Edit Air Facility function
which is available as part of the Air Facility Editor Role, and enforcement sensitive data privileges. If the
ICIS User ID has the correct privileges, processing continues at #3, otherwise processing continues at
#2A.
CMS-002
2A.
Reject transaction. Write 1 error message to the error log.
If the ICIS User ID does not have the correct privileges defined in ICIS for this Replace Air Compliance
Monitoring Strategy transaction, then ICIS rejects the entire Replace Air Compliance Monitoring Strategy
transaction. ICIS writes an error message to the error log and processing of this Replace Air Compliance
Monitoring Strategy transaction ends.
CMS-002
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Item
Number
Item Description
Mapping to Business Rule Table
3
Does submission contain data other than key data?
ICIS determines whether any data besides the key data have been submitted for the Air Compliance
Monitoring Strategy transaction. If data other than key data have been submitted, processing continues at
#4; otherwise processing continues at #3A.
CMS-106
3A
Reject transaction. Write 1 error message to the error log.
If no data besides the key data have been submitted in this Replace Air Compliance Monitoring Strategy
transaction, ICIS rejects the entire Replace Air Compliance Monitoring Strategy transaction. ICIS writes an
error message to the error log and processing of this Replace Air Compliance Monitoring Strategy
transaction ends.
CMS-106
4.
Are data valid for Replace (like Change) transaction?
ICIS checks validity of all required and optional data. If required and optional data are valid according to
the business rules, processing continues at #5; otherwise processing continues at #4A.
CMS-012, CMS-014, CMS-023, CMS029, CMS-107, CMS-108, CMS-109,
CMS-117, CMS-118, CMS-119
4A.
Reject transaction. Write 1 error msg per business rule violation to the error log.
If ICIS determines that required and/or optional data are invalid, ICIS writes an error message to the error
log for each business rule violation and processing of this Replace Air Compliance Monitoring Strategy
transaction ends.
(Same as Step 4)
5.
Run BGP: Generate Current CMS Status.
ICIS run the background process, “Generate Current CMS Status”, to generate the following data:

CMS Origination Date

CMS Start Date

CMS Cycle Date

CMS Applied Frequency

Next Full Evaluation Due Date

Current CMS Status
Refer to the ICIS-Air CMS Web Design
Document, Sub-processing sections.
Processing continues at #5A.
5A.
Did Background Processing complete successfully?
ICIS determines whether Generate Current CMS Status Processing successfully completed or if there was
an unexpected error. If the background processing completed successfully, processing continues at #6,
otherwise processing continues at #5B.
N/A
5B.
Reject transaction. Write 1 error message to the error log.
ICIS has determined that unexpected errors occurred. ICIS records one rejected transaction and writes
one error message to the log. This will allow the user to see that no data were successfully saved and the
XML transaction must be resubmitted. Processing of this Replace Air Compliance Monitoring Strategy
transaction ends.
CMS-113
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Item
Number
6.
Item Description
Save the Air CMS record to the database.
The Air CMS record is saved to the ICIS database.
Mapping to Business Rule Table
N/A
Processing continues at #7.
7.
Accept transaction.
ICIS logs a successful Replace Air Compliance Monitoring Strategy transaction, and processing of this
Replace Air Compliance Monitoring Strategy transaction is complete.
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2.3 MASS DELETE (X) AIR COMPLIANCE MONITORING STRATEGY PROCESSING
The Mass Delete Air Facility XML transaction allows the user to remove an Air Compliance
Monitoring Strategy from ICIS.
2.3.1 Mass Delete Air Compliance Monitoring Strategy Processing Flow
Figure 2.3-1: Mass Delete Air Compliance Monitoring Strategy Processing Flow is a diagram
depicting the processing of a Mass Delete Air Compliance Monitoring Strategy transaction.
Table 2.3-1: Mass Delete Air Compliance Monitoring Strategy Processing detailing each step in
the flow is also included in this section.
Figure 2.3-1: Mass Delete Air Compliance Monitoring Strategy Processing Flow
Mass Delete
Air
Compliance
Monitoring
Strategy
Processing
1. Does an
Active Air CMS exist in
ICIS for the key data
entered?
No
1A. Reject transaction.
Write 1 error message to
the error log.
End
No
2A. Reject transaction.
Write 1 error message to
the error log.
End
Yes
2. Does
user have privileges to
perform Mass Delete Air
Compliance Monitoring
Strategy XML
transaction?
Yes
3. Delete the Air
Compliance Monitoring
Strategy.
4. Accept transaction.
End
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Table 2.3-1: Mass Delete Air Compliance Monitoring Strategy Processing contains a description of the items in the above flow. The
Item Number column refers to the Processing step being referenced. The Item Description column gives a more in-depth explanation
of each step of the process. The Mapping to Business Rules Table column references the specific business rules that are checked in
that step. All Business Rules relating to the flow can be found in Table 2.4-1: Air Compliance Monitoring Strategy Business Rules.
Table 2.3-1: Mass Delete Air Compliance Monitoring Strategy Processing
Item
Number
Item Description
Mapping To Business Rule Table
1
Does an Active Air CMS exist in ICIS for the key data entered?
ICIS determines if an active Air CMS where Air_CMS.Active_CMS_Plan_Flag = ‘Y’ exists in ICIS that
matches the key data submitted. An Air CMS is matched through the Air Facility Identifier. If a matching Air
Facility with an active Air CMS is found in ICIS, processing continues at #2, otherwise processing
continues at #1A.
CMS-116
1A
Reject transaction. Write 1 error message to the error log.
If the XML key data for the Air Compliance Monitoring Strategy cannot be found in ICIS, then ICIS rejects
the Mass Delete Air Compliance Monitoring Strategy request. ICIS writes an error message to the error log
and processing of this Mass Delete Air Compliance Monitoring Strategy transaction ends.
CMS-116
2
Does user have privileges to perform Mass Delete Air Compliance Monitoring Strategy XML
transaction?
ICIS determines if the user has privileges to perform a Mass Delete Air Compliance Monitoring Strategy
XML transaction and if the user has the authority to conduct a Mass Delete Air Compliance Monitoring
Strategy XML transaction for the specific record requested. ICIS applies the same security rules for XML
transactions as it does for the web, and uses the same set of permissions. The user must have the
Manage Air Facility CMS function which is available as part of the Air Facility CMS Editor role, the Edit Air
Facility function which is available as part of the Air Facility Editor Role, and enforcement sensitive data
privileges. If the ICIS User ID has the correct privileges, processing continues at #3; otherwise processing
continues at #2A.
CMS-001
2A
Reject transaction. Write 1 error message to the error log.
If the ICIS User ID does not have the correct privileges defined in ICIS for this Mass Delete Air Compliance
Monitoring Strategy transaction, then ICIS rejects the entire Mass Delete Air Compliance Monitoring
Strategy transaction. ICIS writes an error message to the error log and processing of this Mass Delete Air
Compliance Monitoring Strategy transaction ends.
CMS-001
3
Delete the Air Compliance Monitoring Strategy.
ICIS removes the Air Compliance Monitoring Strategy record from the database. Processing continues at
#4.
N/A
4
Accept transaction.
ICIS logs a successful Mass Delete Air Compliance Monitoring Strategy transaction. Processing of the
Mass Delete Air Compliance Monitoring Strategy transaction is complete.
N/A
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2.4 BUSINESS RULES
Table 2.4-1: Air Compliance Monitoring Strategy Business Rules lists the business rules that apply to Air Compliance Monitoring
Strategy transaction. Each row has a unique Business Rule ID which identifies the business rule. The Business Rules column describes
the specific business rule that is being applied to the Air Compliance Monitoring Strategy transaction. The naming of the data fields is
consistent with the ICIS-Air system terminology and not the XML schema terminology. The Error/Warning Code column uniquely
identify the Error/Warning Messages. The Error/Warning Message lists the specific message (including data) that will be displayed on
the audit report. The error/warning messages use the XML schema terminology for data so that users can easily identify the specific
data tags that are in error. On the audit reports, the key values for each transaction will be concatenated. The key value that will be
displayed for Air Compliance Monitoring Strategy transaction is: Air Facility Identifier. The Applicable Transaction Types column
identifies all transaction types to which the business rule applies.
Table 2.4-1: Air Compliance Monitoring Strategy Business Rules
Business
Business Rules
Rule ID
(Req ID)
CMS-103 Transaction Type must be valid for Compliance Monitoring
Strategy. Valid Transaction Types are R (Replace) and X
(Mass Delete).
CMS-001 The system shall enforce the security model for the users to
view, add, edit, and delete a CMS. Refer to ICIS-Air Security
Requirements.
CMS-012 The system shall require the user to enter a value for CMS
Source Category.
CMS-014 The system shall require the user to enter a value for CMS
Minimum Frequency.
Air Compliance Monitoring Strategy Key Elements
CMS-104 The Air Facility must exist in ICIS.
Error/
Error/Warning Message
Warning
Code
BAT010
Transaction Type <Transaction Type value> is not valid for
<Submission Type value>.
BAT020
ACS010
ACS020
ACS030
CMS-106 If the Air Compliance Monitoring Strategy transaction contains ACS040
only key data and no other data, ICIS rejects the Air
Compliance Monitoring Strategy transaction.
Applicable
Transaction
Types
R, X
User <ID value> does not have privileges to perform this
<Transaction Type value> <Submission Type value>
transaction.
CMS Source Category Code is required to save an Air
Compliance Monitoring Strategy plan record.
CMS Minimum Frequency is required to save an Air
Compliance Monitoring Strategy plan record.
R, X
A CMS plan record cannot be added because the Air Facility
Identifier does not exist in ICIS as an Air Facility.
The Air Compliance Monitoring Strategy transaction only
contains key data and no other data for processing.
R-N
R
R
R-C
Note: This business rule is not checked for Replace
transactions where the CMS Record does not exist in ICIS.
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Office of Enforcement and Compliance Assurance
Business
Business Rules
Error/
Error/Warning Message
Applicable
Rule ID
Warning
Transaction
(Req ID)
Code
Types
CMS-116 An Air Compliance Monitoring Strategy where Active on CMS ACS050
An Active Air Compliance Monitoring Strategy does not exist for
X
the key data entered.
Plan equals Yes must exist for the Air Facility in ICIS.
Air Compliance Monitoring Strategy Information
CMS-023 The system shall save the CMS record but provide a warning ACS060
message if the CMS Source Category does not match the
Facility Classification for Active CMS records.
CMS-029 The system shall ensure that the CMS Start Date is less than ACS070
or equal to the current date.
CMS-107 CMS Source Category Code must be a valid (i.e., Active)
ACS080
code in the REF_Air_CMS_Category table.
CMS-108 If Date Removed from CMS Plan is submitted then Active on
CMS Plan must equal No (N).
CMS-109 The Date Removed from CMS Plan must be less than or
equal to the current date.
CMS-110 If Active on CMS Plan is submitted for a new CMS record
then the value must equal Yes (Y).
CMS-117 If Active on CMS Plan equals No (N), then Date Removed
from CMS Plan must exist.
CMS-118 Date Removed from CMS Plan must be greater than or equal
to CMS Start Date.
CMS-119 If an Air Facility has an Inactive CMS, for new CMS records,
CMS Start Date must be greater than the last Date Removed
from CMS Plan.
Background Processing
CMS-113 If Generate Current CMS Status Background Processing
does not complete successfully, the XML transaction will be
rejected.
ICIS-Air EDT – Air Compliance Monitoring Strategy FINAL
ACS090
ACS100
ACS110
ACS130
ACS140
ACS150
ACS120
Warning: CMS Source Category Code does not match the
Facility Classification.
R
CMS Start Date <CMS Start Date value> must be less than or
equal to the current date.
CMS Source Category Code <CMS Source Category Code
value> does not exist or is inactive in the ICIS-Air reference
table.
Active on CMS Plan must equal 'N’ because Date Removed
from CMS Plan exists.
Date Removed from CMS Plan <Date Removed from CMS Plan
value> must be less than or equal to the current date.
Active on CMS Plan must equal ‘Y’ for a new CMS record.
R
Date Removed from CMS Plan must exist because Active on
CMS Plan equals ‘N’.
Date Removed from CMS Plan must be greater than or equal to
CMS Start Date
CMS Start Date must be greater than the last Date Removed
from CMS Plan.
An error has occurred while processing the data for this Air
Compliance Monitoring Strategy transaction. No data were
saved for this Compliance Monitoring Strategy, and the XML
transaction must be resubmitted.
R
R-C
R-C
R-N
R-C
R-C
R-C
R
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Office of Enforcement and Compliance Assurance
3. DATA ELEMENT MAPPING
The mapping between XML Tag Name, ICIS Air Screen Name, and ICIS Database Name is shown below in Table 3. -1: EDT Air
Compliance Monitoring Strategy Data Element Mapping. In addition, the table indicates whether or not a new XML tag was created
or an existing ICIS XML tag was used for the Air Compliance Monitoring Strategy XML submission. The table is organized
according to the order in which tags are listed in the Air Compliance Monitoring Strategy schema.
Table 3. -1: EDT Air Compliance Monitoring Strategy Data Element Mapping
XML Tag Name
XML Data Type
New or
Existing
ICIS
Tag
ICIS Air Screen Name
ICIS Database Name
Air Compliance Monitoring Strategy Submission Key Value
AirFacilityIdentifier
String18FixedTypeBase New
Air Facility Identifier
ICIS_Facility_Interest.Pgm_Sys_ID
StringMin1Max3TypeBa New
se
IntegerRangeNew
0To9TypeBase
CMS Source Category
Air_CMS.Air_CMS_Category_Code
CMS Minimum Frequency
Air_CMS.CMS_User_Defined_Frequency
AirCMSStartDate
DateType
New
CMS Start Date
Air_CMS.CMS_Begin_Date
AirActiveCMSPlanIndicator
YesNoIndicatorType
New
Active on CMS Plan
Air_CMS.Active_CMS_Plan_Flag
AirRemovedPlanDate
DateType
New
Date Removed from CMS Plan Air_CMS.CMS_Plan_Removal_Date
Air Compliance Monitoring Strategy
AirCMSSourceCategoryCode
AirCMSMinimumFrequency
AirReasonChangingCMSComments StringMin1Max200Type New
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Reason for Changing CMS
Air_CMS.CMS_Change_Reason_Text
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4. XML SCHEMA
The following sections of the ICIS XML schema are related to the Air Compliance Monitoring
Strategy Submission Type:
•
•
•
•
ICIS_AirComplianceMonitoringStrategy.xsd
ICIS_Common.xsd
ICIS_Header.xsd
ICIS_KeyElements.xsd
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Office of Enforcement and Compliance Assurance
APPENDIX A: ACRONYMS
Table A-1: Acronym List
Acronym
Definition
CDX
Central Data Exchange
CMS
Compliance Monitoring Strategy
DB
Database
EDT
Electronic Data Transfer
EPA
Environmental Protection Agency
ICIS
Integrated Compliance Information System
ID
Identifier
LCON
Local Control Agency
XML
Extensible Markup Language
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APPENDIX B: XML SUBMISSION EXAMPLE
<?xml version="1.0" encoding="UTF-8"?>
<Document xmlns=“http://www.exchangenetwork.net/schema/icis/5” xmlns:xsi=“http://www.w3.org/2001/XMLSchema-instance”>
<Header>
<Id>UUStaffer1</Id>
<Author>Jane Doe</Author>
<Organization>UU Department of Environmental Protection</Organization>
<Title>Air Compliance Monitoring Strategy Submission</Title>
<CreationTime>2001-12-17T09:30:47.0Z</CreationTime>
<Comment>2nd resubmittal of rejected transactions from May submission</Comment>
<DataService>ICIS-NPDES</DataService>
<ContactInfo>123 Main Street, Anytown UU, 00555, (888) 555-1212, jane.doe@uudeq.state.us</ContactInfo>
<Property>
<name>e-mail</name>
<value>doe.john@state.us</value>
</Property>
</Header>
<Payload Operation="AirComplianceMonitoringStrategySubmission">
<AirComplianceMonitoringStrategyData>
<TransactionHeader>
<TransactionType>R</TransactionType>
<TransactionTimestamp>2013-06-17T09:30:47.0Z</TransactionTimestamp>
</TransactionHeader>
<AirComplianceMonitoringStrategy>
<AirFacilityIdentifier>NJ000A000000000001</AirFacilityIdentifier>
<AirCMSSourceCategoryCode>001</AirCMSSourceCategoryCode>
<AirCMSMinimumFrequency>2</AirCMSMinimumFrequency>
<AirCMSStartDate>2010-05-01</AirCMSStartDate>
<AirActiveCMSPlanIndicator>Y</AirActiveCMSPlanIndicator>
<AirRemovedPlanDate>2010-05-01</AirRemovedPlanDate>
<AirReasonChangingCMSComments>Change Comments</AirReasonChangingCMSComments>
</AirComplianceMonitoringStrategy>
</AirComplianceMonitoringStrategyData>
</Payload>
</Document>
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