Office of Enforcement and Compliance Assurance Integrated Compliance Information System ICIS EDT Case File and Air DA Enforcement Action Linkage – Technical Specification Version 1.0 Final June 4, 2014 Office of Enforcement and Compliance Assurance Document Change History Version Number Date 0.1 5/12/2014 1.0 6/4/2014 Description Initial Draft Release. ICIS EDT – Case File and Air DA Enforcement Action Linkage Incorporated EPA comments Updated error message CF007 to specify that it is an “Air DA” Enforcement Action. i Office of Enforcement and Compliance Assurance Table of Contents 1. INTRODUCTION..................................................................................................................... 1 1.1 PURPOSE ................................................................................................................................ 2 1.2 DOCUMENT OVERVIEW .......................................................................................................... 2 2. VALIDATION AND PROCESSING ...................................................................................... 3 2.1 GENERAL EDT PROCESSING RULES ....................................................................................... 3 2.1.1 Asterisks ......................................................................................................................... 3 2.1.2 Multi-Value Items .......................................................................................................... 4 2.1.3 Default Values ............................................................................................................... 4 2.2 CASE FILE LINKAGE ............................................................................................................... 4 2.2.1 Replace (R) Case File Linkage Processing .................................................................... 5 2.2.1.1 Replace Case File Linkage Processing Flow .......................................................... 5 2.2.2 Mass Delete (X) Case File Linkage Processing ........................................................... 10 2.2.2.1 Mass Delete Air DA Case File Processing Flow .................................................. 10 2.3 AIR DA ENFORCEMENT ACTION LINKAGE ........................................................................... 15 2.3.1 Replace (R) Enforcement Action Linkage Processing ................................................ 15 2.3.1.1 Replace Air DA Enforcement Action Linkage Processing Flow ......................... 15 2.3.2 Mass Delete (X) Air DA Enforcement Action Linkage Processing ............................ 19 2.3.2.1 Mass Delete Air DA Enforcement Action Linkage Processing Flow .................. 19 2.4 BUSINESS RULES .................................................................................................................. 23 3. DATA ELEMENT MAPPING .............................................................................................. 25 4. XML SCHEMA ....................................................................................................................... 26 APPENDIX A: ACRONYMS .................................................................................................... 27 APPENDIX B: XML SUBMISSION SAMPLE ....................................................................... 28 ICIS EDT – Case File and Air DA Enforcement Action Linkage ii Office of Enforcement and Compliance Assurance List of Tables Table 2.2-1. Case File Linkage Key Values for Target Records .................................................... 4 Table 2.2-2: Replace Case File Linkage Processing ....................................................................... 7 Table 2.2-3: Mass Delete Case File Linkage Processing .............................................................. 12 Table 2.3-1. Air DA Enforcement Action Linkage Key Values for Target Records ................... 15 Table 2.3-2: Replace Air DA Enforcement Action Linkage Processing ...................................... 17 Table 2.3-3: Mass Delete Air DA Enforcement Action Linkage Processing ............................... 21 Table 2.4-1: Case File Linkage and Air DA Enforcement Action Linkage Business Rules ........ 23 Table 3-1: Case File Linkage and Air DA Enforcement Action Linkage Data Element Mapping ....................................................................................................................................................... 25 Table A-1: Acronym List .............................................................................................................. 27 List of Figures Figure 2.2-1: Replace Case File Linkage Processing Flow ............................................................ 6 Figure 2.2-2: Mass Delete Case File Linkage Processing Flow ................................................... 11 Figure 2.3-1: Replace Air DA Enforcement Action Linkage Processing Flow ........................... 16 Figure 2.3-2: Mass Delete Air DA Enforcement Action Linkage Processing Flow .................... 20 ICIS EDT – Case File and Air DA Enforcement Action Linkage iii Office of Enforcement and Compliance Assurance 1. INTRODUCTION The focus of this technical specification is the submission of Case File Linkage and Air DA Enforcement Action Linkage data to the Integrated Compliance Information System (ICIS) through Electronic Data Transfer (EDT) using Extensible Markup Language (XML) transactions. Data for other areas of ICIS (e.g., Air Facility Pollutants, Air Facility Programs, and Formal Enforcement Actions) are 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 Network Authentication and Authorization Service (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 also 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., Case File Linkage). Each ICIS EDT – Case File and Air DA Enforcement Action Linkage 1 Office of Enforcement and Compliance Assurance Payload may contain one or many XML transactions, each of which contains the linkage data and a specific transaction type that identifies how ICIS should process the data. For Case File and Air DA Enforcement Action linkages, there are two valid XML transaction types per submission type: Replace (to link) and Mass Delete (to unlink). The details of these Case File Linkage and Air DA Enforcement Action Linkage transaction types are described in Section 2: Validation and Processing. After receiving a zipped submission file from CDX, ICIS parses it and saves each Case File Linkage or Enforcement Action Linkage XML transaction to the database so that the individual 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 Case File Linkage and Air DA Enforcement Action Linkage submission data through EDT XML transactions using text descriptions, tables, and figures. A major section of this Technical Specification, Section 2: Validation and Processing, details the two valid XML transaction types for Case File Linkage and Air DA Enforcement Action Linkage – Replace and Mass Delete. Provided with these transactions are the business rules that govern EDT 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. 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 XML transactions for the Case File Linkage and Air DA Enforcement Action Linkage submission types, and the business rules that apply to each combination of submission and transaction type. • Section 3: Data Element Mapping – This section provides a mapping between the XML Tag Name, ICIS Screen Name, and ICIS Database Name for Case File Linkage and Air DA Enforcement Action Linkage data elements. • Section 4: XML Schema – This section provides a list of the XML schemas related to Case File Linkage and Air DA Enforcement Action Linkage. • 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 Case File Linkage and Air DA Enforcement Action Linkage Submission Types. ICIS EDT – Case File and Air DA Enforcement Action Linkage 2 Office of Enforcement and Compliance Assurance 2. VALIDATION AND PROCESSING After receiving a zipped submission from CDX, ICIS parses the XML transactions, saves each to the database, and groups them by transaction type. The valid transaction types for both Case File Linkage and Air DA Enforcement Action Linkage 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 Case File Linkage and Air DA Enforcement Action Linkage transaction types. A Replace Case File or Air DA Enforcement Action Linkage transaction creates a link between two records that must already exist within ICIS. A Mass Delete Case File or Air DA Enforcement Action Linkage transaction only deletes a link between two records in ICIS, but does not delete the actual records themselves. In this technical specification, the existing Case File or DA Enforcement Action record that is being linked to (or unlinked from) will be referred to as the “source” record. The source record appears in the beginning of the XML schema. The existing record that is linked to (or unlinked from) the source record will be referred to as the “target” record. The target records appear after the source record in the XML schema. A single Replace or Mass Delete transaction may only link or unlink one target record at a time. This is enforced via a choice in the XML schema, which only allows one target group to be submitted per transaction. The following sub-sections describe general processing rules related to asterisks and the detailed processing of Case File Linkage and Air DA Enforcement Action Linkage XML transactions. 2.1 GENERAL EDT PROCESSING RULES Non-linkage submission types (e.g., Air DA Case File) have a set of standard processing rules that are defined for EDT processing. It is important to understand that linkage submission types, including Case File Linkage and Air DA Enforcement Action Linkage, behave differently than non-linkage submission types and do not follow these general processing rules. 2.1.1 Asterisks For non-linkage submission types, asterisks are submitted to blank out data for a record in ICIS. For linkage submission types, there is no reason to submit asterisks for any data tags since it is not possible to edit an existing record in ICIS through a linkage transaction. A linkage transaction can only link (or unlink) two existing records in ICIS to each other. The schema does not allow an asterisk to be submitted for any of the Case File Linkage or Air DA Enforcement Action Linkage tags. ICIS EDT – Case File and Air DA Enforcement Action Linkage 3 Office of Enforcement and Compliance Assurance 2.1.2 Multi-Value Items Multi-value items are data fields that can be submitted multiple times. There are no multi-value items in the Case File Linkage or Air DA Enforcement Action Linkage submission types. 2.1.3 Default Values Linkage submission types, including Case File Linkage and Air DA Enforcement Action Linkage, do not have any default values since new database records cannot be created for linkage transactions. 2.2 CASE FILE LINKAGE All types of Case Files have the same unique identifier format. As a result, all types of Case Files (i.e., Federal and Delegated Agency (DA), Air and Non-Air) will use the same Case File Linkage submission type to link to (or unlink from) other ICIS activities. Linked activities are an important part of Air Case File data, as ICIS uses them to determine the Case File’s Pathway Activities. Whenever an Air Case File (Case File Type equal to “Air Case File” or “Air Case File with NEI”) is linked to or unlinked from a Compliance Monitoring activity or Enforcement Action, ICIS will perform background processing to determine if the source Case File’s Pathway Activities have changed. In a single Replace or Mass Delete transaction, one and only one target record must be submitted. The target record can be one of the following: • • • Compliance Monitoring Activity – Federal, State National Pollutant Discharge Elimination System (NPDES), or Air DA Formal/Informal Enforcement Action – Federal, State NPDES, or Air DA Case File – Federal or Air DA Key values are those mandatory fields used to identify records in the ICIS database by the EDT processing module. The key value for the source Case File is Case File Identifier. In addition to identifying the key value for the source Case File, key values must be identified for each target record. Table 2.2-1. Case File Linkage Key Values for Target Records lists the key values for each target record. Table 2.2-1. Case File Linkage Key Values for Target Records Linked or Unlinked Record Key Values Compliance Monitoring Activity (Federal, State NPDES, or Air DA) Compliance Monitoring Identifier Formal/Informal Enforcement Action (Federal or State NPDES) Enforcement Action Identifier Air DA Formal/Informal Enforcement Action Air DA Enforcement Action Identifier Case File (Federal or Air DA) Case File Identifier ICIS EDT – Case File and Air DA Enforcement Action Linkage 4 Office of Enforcement and Compliance Assurance 2.2.1 Replace (R) Case File Linkage Processing The Replace Case File Linkage transaction allows the user to link a target record to the source Case File. Only one target record can be linked per transaction. A Replace Case File Linkage transaction should contain the key data for the source Case File and the key data for the target record that will be linked to the source Case File. The processing of a Replace Case File Linkage transaction in ICIS is described below. 2.2.1.1 Replace Case File Linkage Processing Flow Error! Reference source not found. is a diagram depicting the processing of a Replace Case File Linkage transaction. Table 2.2-2: Replace Case File Linkage Processing detailing each step in the flow is also included in this section. ICIS EDT – Case File and Air DA Enforcement Action Linkage 5 Office of Enforcement and Compliance Assurance Figure 2.2-1: Replace Case File Linkage Processing Flow Replace Replace Case Case File File Linkage Linkage Processing Processing 1. 1. Does Does the the source source Case Case File File exist exist in in ICIS ICIS for for the the Case Case File File Identifier? Identifier? No 1A. 1A. Reject Reject transaction. transaction. Write Write 11 error error message message to to the the error error log. log. End End No 2A. 2A. Reject Reject transaction. transaction. Write Write 11 error error message message to to the the error error log. log. End End No 3A. 3A. Reject Reject transaction. transaction. Write Write 11 error error message message to to the the error error log. log. End End No 4A. 4A. Reject Reject transaction. transaction. Write Write 11 error error message message to to the error the error log. log. End End No 5A. 5A. Link Link the the target target record record to to the the source source Case Case File. File. Yes 2. 2. Does Does user user have have privileges privileges to to perform perform Replace Replace Case Case File File Linkage Linkage XML XML transaction? transaction? Yes 3. 3. Does Does the the target target record record exist exist for for the the target keys target keys submitted? submitted? Yes 4. 4. IsIs aa Facility Facility shared shared between between the the source source Case Case File File and and the the target target record? record? Yes 5. 5. IsIs the the target target record record linked linked to to the the source source Case Case File? File? 6. 6. IsIs the the source source Case Case File File Type Type “Air “Air Case Case File” File” or or “Air “Air Case Case File File with with NEI”? NEI”? Yes Yes 6A. 6A. IsIs the the target target record record an an Enforcement Enforcement Action Action or or Compliance Compliance Monitoring Monitoring Activity? Activity? Yes 6C.Did 6C.Did Background Background Processing Processing complete complete successfully? successfully? No 6C1. 6C1. Reject Reject transaction. transaction. Write Write 11 error error message message to to the the error error log. log. End End No 7. 7. Accept Accept Transaction. Transaction. 6B. 6B. Identify Identify Linked Linked Pathway Pathway Activities Activities and and Set Set Case Case File File Status Status Type Type No Yes End End ICIS EDT – Case File and Air DA Enforcement Action Linkage 6 Office of Enforcement and Compliance Assurance Table 2.2-2: Replace Case File Linkage 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: Case File Linkage and Air DA Enforcement Action Linkage Business Rules. Table 2.2-2: Replace Case File Linkage Processing Item Number Item Description Mapping to Business Rule Table 1 Does the source Case File exist in ICIS for the Case File Identifier? ICIS determines if a Case File exists in ICIS that matches the key data submitted. A Case File is matched by Case File Identifier from the XML. If a matching Case File is found in ICIS, processing continues at #2, otherwise processing continues at #1A. CEL-003 1A Reject transaction. Write 1 error message to the error log. ICIS has determined that the identified source Case File does not exist in ICIS. ICIS writes an error message to the error log and rejects the transaction and Replace Case File Linkage processing ends. CEL-003 2 Does user have the privileges to perform Replace Case File Linkage XML transaction? ICIS determines if the user has privileges to perform a Replace Case File Linkage transaction and if the user has the authority to conduct a Replace Case File Linkage 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 Link/Unlink Case File function, which is available as part of the Case File Editor role. In addition, the user must have Sensitive Data Access privileges to perform this transaction if either the source Case File or the target record is Enforcement Sensitive. If the ICIS User ID has the correct privileges, processing continues at #3, otherwise processing continues at #2A. CEL-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 Case File Linkage transaction, then ICIS rejects the entire Replace Case File Linkage transaction. ICIS writes an error message to the error log and processing of this Replace Case File Linkage transaction ends. CEL-002 3 Does the target record exist for the target keys submitted? ICIS determines if the target record exists for the keys submitted. If it does exist, processing continues at #4, otherwise processing continues at #3A. CEL-004 3A Reject transaction. Write 1 error message per business rule violation to the error log. ICIS has determined that the target record does not exist. ICIS rejects the entire Replace Case File Linkage transaction and writes an error message to the error log and processing of this Replace Case File Linkage transaction ends. CEL-004 ICIS EDT – Case File and Air DA Enforcement Action Linkage 7 Office of Enforcement and Compliance Assurance Item Number Item Description Mapping to Business Rule Table 4 Is a Facility shared between the source Case File and the target record? ICIS determines if at least one Facility is shared between the source Case File and the target record. If this is true, processing continues at #5, otherwise processing continues at #4A. CEL-005 4A Reject transaction. Write 1 error message per business rule violation to the error log. ICIS has determined that no Facilities are shared between the source Case File and the target record. ICIS rejects the entire Replace Case File Linkage transaction and writes an error message to the error log and processing of this Replace Case File Linkage transaction ends. CEL-005 5 Is the target record linked to the source Case File? ICIS determines if the target record is already linked to the source Case File. If it is, processing continues at #7, otherwise processing continues at #5A. N/A 5A Link the target record to the source Case File ICIS links the target record to the source Case File. Processing continues at #6. N/A 6 Is the source Case File Type “Air Case File” or “Air Case File with NEI”? ICIS determines if the source Case File is an Air Case File (Type = “Air Case File” or “Air Case File with NEI”; Ref_Comp_Determination_Type.Air_Comp_Det_Flag = Y for these Case File Types). If it is, processing continues at #6A, otherwise processing continues at #7. N/A 6A Is the target record an Enforcement Action or Compliance Monitoring Activity? ICIS determines if the target record is an Enforcement Action or Compliance Monitoring Activity. If it is, processing continues at #6B, otherwise processing continues at #7. N/A 6B Identify Linked Pathway Activities and Set Case File Status Type ICIS continues processing by calling the background process (BGP) “Identify Linked Pathway Activities and Set Case File Status Type” for the source Case File to determine if the Replace Case File Linkage transaction impacted the Pathway Activities for the source Case File. See Case File Web Design Document for the documented details of this BGP flow. Processing continues at #6C. N/A 6C Did Background Processing complete successfully? ICIS determines whether Identify Linked Pathway Activities and Set Case File Status Type background process successfully completed or if there was an unexpected error. If the background processing completed successfully, processing continues at #7, otherwise processing continues at #6C1. CEL-006 6C1 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 Case File Linkage transaction ends. CEL-006 ICIS EDT – Case File and Air DA Enforcement Action Linkage 8 Office of Enforcement and Compliance Assurance Item Number 7 Item Description Accept transaction. ICIS logs a successful Replace Case File Linkage transaction, and processing of this Replace Case File Linkage transaction is complete. Mapping to Business Rule Table N/A Note: During the original design of EDT Linkage transactions in ICIS, EPA requested that if the two records are already linked, the transaction should be accepted with no error messages. This decision was to reduce rejected transactions and because the final outcome of the data remains the same (i.e., the two records are linked.) ICIS EDT – Case File and Air DA Enforcement Action Linkage 9 Office of Enforcement and Compliance Assurance 2.2.2 Mass Delete (X) Case File Linkage Processing The Mass Delete Air DA Case File Linkage transaction allows the user to unlink a target record from the source Case File. Only one target record can be unlinked per transaction. When a record is unlinked from the source Case File, the target record and source Case File records themselves are not deleted. The processing of a Mass Delete Case File Linkage transaction is ICIS is described below. 2.2.2.1 Mass Delete Air DA Case File Processing Flow Figure 2.2-2: Mass Delete Case File Linkage Processing Flow is a diagram depicting the processing of a Mass Delete Case File Linkage transaction. Table 2.2-3: Mass Delete Case File Linkage Processing detailing each step in the flow is also included in this section. ICIS EDT – Case File and Air DA Enforcement Action Linkage 10 Office of Enforcement and Compliance Assurance Figure 2.2-2: Mass Delete Case File Linkage Processing Flow Mass Mass Delete Delete Case Case File File Linkage Linkage Processing Processing 1. 1. Does Does the the source source Case Case File File exist exist in in ICIS ICIS for for the the Case Case File File Identifier? Identifier? No 1A. 1A. Reject Reject transaction. transaction. Write Write 11 error error message message to to the the error error log. log. End End No 2A. 2A. Reject Reject transaction. transaction. Write Write 11 error error message message to to the the error error log. log. End End No 3A. 3A. Reject Reject transaction. transaction. Write Write 11 error error message message to to the the error error log. log. End End No 4A. 4A. Reject Reject transaction. transaction. Write Write 11 error error message message to to the error the error log. log. End End Yes 5A. 5A. Unlink Unlink the the target target record record from from the the source source Case Case File. File. Yes 2. 2. Does Does user user have have privileges privileges to to perform Mass perform Mass Delete Delete Case Case File File Linkage Linkage XML XML transaction? transaction? Yes 3. 3. Does Does the the target target record record exist exist for for the the target keys target keys submitted? submitted? Yes 4. 4. IsIs aa Facility Facility shared shared between between the the source source Case Case File File and and the the target target record? record? Yes 5. 5. IsIs the the target target record record linked linked to to the the source source Case Case File? File? 6. 6. IsIs the the source source Case Case File File Type Type “Air “Air Case Case File” File” or or “Air “Air Case Case File File with with NEI”? NEI”? No Yes 6A. 6A. IsIs the the target target record record an an Enforcement Enforcement Action Action or or Compliance Compliance Monitoring Monitoring Activity? Activity? Yes 6C.Did 6C.Did Background Background Processing Processing complete complete successfully? successfully? No 6C1. 6C1. Reject Reject transaction. transaction. Write Write 11 error error message message to to the the error error log. log. End End No 7. 7. Accept Accept Transaction. Transaction. 6B. 6B. Identify Identify Linked Linked Pathway Pathway Activities Activities and and Set Set Case Case File File Status Status Type Type No Yes End End ICIS EDT – Case File and Air DA Enforcement Action Linkage 11 Office of Enforcement and Compliance Assurance Table 2.2-3: Mass Delete Case File Linkage 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: Case File Linkage and Air DA Enforcement Action Linkage Business Rules. Table 2.2-3: Mass Delete Case File Linkage Processing Item Number Item Description Mapping to Business Rule Table 1 Does the source Case File exist in ICIS for the Case File Identifier? ICIS determines if a Case File exists in ICIS that matches the key data submitted. A Case File is matched by Case File Identifier from the XML. If a matching Case File is found in ICIS, processing continues at #2, otherwise processing continues at #1A. CEL-003 1A Reject transaction. Write 1 error message to the error log. ICIS has determined that the identified source Case File does not exist in ICIS. ICIS writes an error message to the error log and rejects the transaction and Mass Delete Case File Linkage processing ends. CEL-003 2 Does user have the privileges to perform Mass Delete Case File Linkage XML transaction? ICIS determines if the user has privileges to perform a Mass Delete Case File Linkage transaction and if the user has the authority to conduct a Mass Delete Case File Linkage 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 Link/Unlink Case File function, which is available as part of the Case File Editor role. In addition, the user must have Sensitive Data Access privileges to perform this transaction if either the source Case File or the target record is Enforcement Sensitive. If the ICIS User ID has the correct privileges, processing continues at #3, otherwise processing continues at #2A. CEL-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 Mass Delete Case File Linkage transaction, then ICIS rejects the entire Mass Delete Case File Linkage transaction. ICIS writes an error message to the error log and processing of this Mass Delete Case File Linkage transaction ends. CEL-002 3 Does the target record exist for the target keys submitted? ICIS determines if the target record exists for the keys submitted. If it does exist, processing continues at #4, otherwise processing continues at #3A. CEL-004 3A Reject transaction. Write 1 error message per business rule violation to the error log. ICIS has determined that the target record does not exist. ICIS rejects the entire Mass Delete Case File Linkage transaction and writes an error message to the error log and processing of this Mass Delete Case File Linkage transaction ends. CEL-004 ICIS EDT – Case File and Air DA Enforcement Action Linkage 12 Office of Enforcement and Compliance Assurance Item Number Item Description Mapping to Business Rule Table 4 Is a Facility shared between the source Case File and the target record? ICIS determines if at least one Facility is shared between the source Case File and the target record. If this is true, processing continues at #5, otherwise processing continues at #4A. CEL-005 4A Reject transaction. Write 1 error message per business rule violation to the error log. ICIS has determined that no Facilities are shared between the source Case File and the target record. ICIS rejects the entire Mass Delete Case File Linkage transaction and writes an error message to the error log and processing of this Mass Delete Case File Linkage transaction ends. CEL-005 5 Is the target record linked to the source Case File? ICIS determines if the target record is linked to the source Case File. If it is, processing continues at #5A, otherwise processing continues at #7. N/A 5A Unlink the target record from the source Case File ICIS unlinks the target record from the source Case File. Processing continues at #6. N/A 6 Is the source Case File Type “Air Case File” or “Air Case File with NEI”? ICIS determines if the source Case File is an Air Case File (Type = “Air Case File” or “Air Case File with NEI”; Ref_Comp_Determination_Type.Air_Comp_Det_Flag = Y for these Case File Types). If it is, processing continues at #6A, otherwise processing continues at #7. N/A 6A Is the target record an Enforcement Action or Compliance Monitoring Activity? ICIS determines if the target record is an Enforcement Action or Compliance Monitoring Activity. If it is, processing continues at #6B, otherwise processing continues at #7. N/A 6B Identify Linked Pathway Activities and Set Case File Status Type ICIS continues processing by calling the BGP Process “Identify Linked Pathway Activities and Set Case File Status Type” for the source Case File to determine if the Mass Delete Case File Linkage transaction impacted the Pathway Activities for the source Case File. See Case File Web Design Document for the documented details of this BGP flow. Processing continues at #6C. N/A 6C Did Background Processing complete successfully? ICIS determines whether Identify Linked Pathway Activities and Set Case File Status Type background process successfully completed or if there was an unexpected error. If the background processing completed successfully, processing continues at #7, otherwise processing continues at #6C1. CEL-006 6C1 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 Mass Delete Case File Linkage transaction ends. CEL-006 ICIS EDT – Case File and Air DA Enforcement Action Linkage 13 Office of Enforcement and Compliance Assurance Item Number 7 Item Description Accept transaction. ICIS logs a successful Mass Delete Case File Linkage transaction, and processing of this Mass Delete Case File Linkage transaction is complete. Mapping to Business Rule Table N/A Note: During the original design of EDT Linkage transactions in ICIS, EPA requested that if the two records are already unlinked, the transaction should be accepted with no error messages. This decision was to reduce rejected transactions and because the final outcome of the data remains the same (i.e., the two records are not linked.) ICIS EDT – Case File and Air DA Enforcement Action Linkage 14 Office of Enforcement and Compliance Assurance 2.3 AIR DA ENFORCEMENT ACTION LINKAGE Every Enforcement Action has an Enforcement Action Identifier, but the format of that Enforcement Action Identifier is different for Air DA Enforcement Actions than it is for Federal and State NPDES Enforcement Actions, so they cannot share the same submission type for linkage. The Air DA Enforcement Action Linkage submission type can only be used to link Air DA Enforcement Actions (Formal or Informal) to (or unlink from) other ICIS activities. In a single Replace or Mass Delete transaction, one and only one target record must be submitted. The target record must be a DA Formal or Informal Enforcement Action (Federal or Air DA). State NPDES EAs cannot be a target record as they will never share a Facility with an Air DA Enforcement Action. Air DA Enforcement Actions can also be linked to Case Files and Compliance Monitoring Activities; those linkages are separate submissions. The Case File Linkage and Compliance Monitoring Linkage submissions include Enforcement actions as target records. Key values are those mandatory fields used to identify records in the ICIS database by the EDT processing module. The key value for the source Air DA Enforcement Action is Air DA Enforcement Action Identifier. In addition to identifying the key value for the source Enforcement Action, key values must be identified for each target record. Table 2.3-1. Air DA Enforcement Action Linkage Key Values for Target Records lists the key values for each target record. Table 2.3-1. Air DA Enforcement Action Linkage Key Values for Target Records Linked or Unlinked Record Key Values Formal/Informal Enforcement Action (Federal) Enforcement Action Identifier Air DA Formal/Informal Enforcement Action Air DA Enforcement Action Identifier 2.3.1 Replace (R) Enforcement Action Linkage Processing The Replace Air DA Enforcement Action Linkage transaction allows the user to link a target Enforcement Action (Federal or Air DA) to the source Air DA Enforcement Action. Only one target record can be linked per transaction. A Replace Air DA Enforcement Action Linkage transaction should contain the key data for the source Air DA Enforcement Action and the key data for the target Enforcement Action that will be linked to the source Air DA Enforcement Action. The processing of a Replace Air DA Enforcement Action Linkage transaction in ICIS is described below. 2.3.1.1 Replace Air DA Enforcement Action Linkage Processing Flow Figure 2.3-1: Replace Air DA Enforcement Action Linkage Processing Flow is a diagram depicting the processing of a Replace Enforcement Action Linkage transaction. Table 2.3-2: ICIS EDT – Case File and Air DA Enforcement Action Linkage 15 Office of Enforcement and Compliance Assurance Replace Air DA Enforcement Action Linkage Processing detailing each step in the flow is also included in this section. Figure 2.3-1: Replace Air DA Enforcement Action Linkage Processing Flow Replace Replace Air Air DA DA Enforcement Enforcement Action Action Linkage Linkage Processing Processing 1. 1. Does Does the the source source Enforcement Enforcement Action Action exist exist in in ICIS ICIS for for the the Air Air DA DA Enforcement Enforcement Action Action Identifier? Identifier? No 1A. 1A. Reject Reject transaction. transaction. Write Write 11 error error message message to to the the error error log. log. End End No 2A. 2A. Reject Reject transaction. transaction. Write Write 11 error error message message to to the the error error log. log. End End No 3A. 3A. Reject Reject transaction. transaction. Write Write 11 error error message message to to the the error error log. log. End End No 4A. 4A. Reject Reject transaction. transaction. Write Write 11 error error message message to to the the error error log. log. End End No 5A. 5A. Link Link the the target target record record to to the the source source Enforcement Enforcement Action. Action. Yes 2. 2. Does Does user user have have privileges privileges to to perform perform Replace Replace Air Air DA DA Enforcement Enforcement Action Action Linkage Linkage XML XML transaction? transaction? Yes 3. 3. Does Does the the target target record record exist exist for for the the target target keys keys submitted? submitted? Yes 4. 4. IsIs aa Facility Facility shared shared between between the the source source Enforcement Enforcement Action Action and and the the target target record? record? Yes 5. 5. IsIs the the target target record record linked linked to to the the source source Enforcement Enforcement Action? Action? Yes 6. 6. Accept Accept Transaction. Transaction. End End ICIS EDT – Case File and Air DA Enforcement Action Linkage 16 Office of Enforcement and Compliance Assurance Table 2.3-2: Replace Air DA Enforcement Action Linkage 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: Case File Linkage and Air DA Enforcement Action Linkage Business Rules. Table 2.3-2: Replace Air DA Enforcement Action Linkage Processing Item Number Item Description Mapping to Business Rule Table 1 Does a the source Enforcement Action exist in ICIS for the Air DA Enforcement Action Identifier? ICIS determines if an Enforcement Action exists in ICIS that matches the key data submitted. An Enforcement Action is matched by Air DA Enforcement Action Identifier from the XML. If a matching Enforcement Action is found in ICIS, processing continues at #2, otherwise processing continues at #1A. CEL-007 1A Reject transaction. Write 1 error message to the error log. ICIS has determined that the identified source Enforcement Action does not exist in ICIS. ICIS writes an error message to the error log and rejects the transaction and Replace Air DA Enforcement Action Linkage processing ends. CEL-007 2 Does user have the privileges to perform Replace Air DA Enforcement Action Linkage XML transaction? ICIS determines if the user has privileges to perform a Replace Air DA Enforcement Action Linkage transaction and if the user has the authority to conduct a Replace Air DA Enforcement Action Linkage 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 Link/Unlink Formal Enforcement Action function, which is available as part of the Formal Enforcement Action Editor role for Formal Enforcement Actions and must have the Link/Unlink Informal Enforcement Action function, which is available as part of the Informal Enforcement Action Editor role for Informal Enforcement Actions. In addition, the user must have Sensitive Data Access privileges to perform this transaction if either the source Enforcement Action or the target record is Enforcement Sensitive. If the ICIS User ID has the correct privileges, processing continues at #3, otherwise processing continues at #2A. CEL-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 DA Enforcement Action Linkage transaction, then ICIS rejects the entire Replace Air DA Enforcement Action Linkage transaction. ICIS writes an error message to the error log and processing of this Replace Air DA Enforcement Action Linkage transaction ends. CEL-002 3 Does the target record exist for the target keys submitted? ICIS determines if the target record exists for the keys submitted. If it does exist, processing continues at #4, otherwise processing continues at #3A. CEL-008 ICIS EDT – Case File and Air DA Enforcement Action Linkage 17 Office of Enforcement and Compliance Assurance Item Number Item Description Mapping to Business Rule Table 3A Reject transaction. Write 1 error message per business rule violation to the error log. ICIS has determined that the target record does not exist. ICIS rejects the entire Replace Air DA Enforcement Action Linkage transaction and writes an error message to the error log and processing of this Replace Air DA Enforcement Action Linkage transaction ends. CEL-008 4 Is a Facility shared between the source Enforcement Action and the target record? ICIS determines if at least one Facility is shared between the source Enforcement Action and the target record. If this is true, processing continues at #5, otherwise processing continues at #4A. CEL-009 4A Reject transaction. Write 1 error message per business rule violation to the error log. ICIS has determined that no Facilities are shared between the source Enforcement Action and the target record. ICIS rejects the entire Replace Air DA Enforcement Action Linkage transaction and writes an error message to the error log and processing of this Replace Air DA Enforcement Action Linkage transaction ends. CEL-009 5 Is the target record linked to the source Enforcement Action? ICIS determines if the target record is already linked to the source Enforcement Action. If it is, processing continues at #6, otherwise processing continues at #5A. N/A 5A Link the target record to the source Enforcement Action ICIS links the target record to the source Enforcement Action. Processing continues at #6. N/A 6 Accept transaction. ICIS logs a successful Replace Air DA Enforcement Action Linkage transaction, and processing of this Replace Air DA Enforcement Action Linkage transaction is complete. N/A Note: During the original design of EDT Linkage transactions in ICIS, EPA requested that if the two records are already linked, the transaction should be accepted with no error messages. This decision was to reduce rejected transactions and because the final outcome of the data remains the same (i.e., the two records are linked.) ICIS EDT – Case File and Air DA Enforcement Action Linkage 18 Office of Enforcement and Compliance Assurance 2.3.2 Mass Delete (X) Air DA Enforcement Action Linkage Processing The Mass Delete Air DA Enforcement Action Linkage transaction allows the user to unlink a target Enforcement Action (Federal or Air DA) from the source Air DA Enforcement Action. Only one target record can be unlinked per transaction. When a record is unlinked from the source Enforcement Action, the target record and source Enforcement Action records themselves are not deleted. The processing of a Mass Delete Air DA Enforcement Action Linkage transaction in ICIS is described below. 2.3.2.1 Mass Delete Air DA Enforcement Action Linkage Processing Flow Figure 2.3-2: Mass Delete Air DA Enforcement Action Linkage Processing Flow is a diagram depicting the processing of a Mass Delete Enforcement Action Linkage transaction. Table 2.3-3: Mass Delete Air DA Enforcement Action Linkage Processing detailing each step in the flow is also included in this section. ICIS EDT – Case File and Air DA Enforcement Action Linkage 19 Office of Enforcement and Compliance Assurance Figure 2.3-2: Mass Delete Air DA Enforcement Action Linkage Processing Flow Mass Mass Delete Delete Air Air DA DA Enforcement Enforcement Action Action Linkage Linkage Processing Processing 1. 1. Does Does the the source source Enforcement Enforcement Action Action exist in ICIS for exist in ICIS for the the Air Air DA DA Enforcement Enforcement Action Action Identifier? Identifier? No 1A. 1A. Reject Reject transaction. transaction. Write Write 11 error error message message to to the the error error log. log. End End No 2A. 2A. Reject Reject transaction. transaction. Write Write 11 error error message message to to the the error error log. log. End End No 3A. 3A. Reject Reject transaction. transaction. Write Write 11 error error message message to to the the error error log. log. End End No 4A. 4A. Reject Reject transaction. transaction. Write Write 11 error error message message to to the the error error log. log. End End Yes 5A. 5A. Unlink Unlink the the target target record record from from the the source source Enforcement Enforcement Action. Action. Yes 2. 2. Does Does user user have have privileges privileges to to perform perform Mass Mass Delete Delete Air Air DA DA Enforcement Enforcement Action Action Linkage Linkage XML XML transaction? transaction? Yes 3. 3. Does Does the the target target record record exist exist for for the the target target keys keys submitted? submitted? Yes 4. 4. IsIs aa Facility Facility shared shared between between the the source source Enforcement Enforcement Action Action and and the the target target record? record? Yes 5. 5. IsIs the the target target record record linked linked to to the the source source Enforcement Enforcement Action? Action? No 6. 6. Accept Accept Transaction. Transaction. End End ICIS EDT – Case File and Air DA Enforcement Action Linkage 20 Office of Enforcement and Compliance Assurance Table 2.3-3: Mass Delete Air DA Enforcement Action Linkage 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: Case File Linkage and Air DA Enforcement Action Linkage Business Rules. Table 2.3-3: Mass Delete Air DA Enforcement Action Linkage Processing Item Number Item Description Mapping to Business Rule Table 1 Does the source Enforcement Action exist in ICIS for the Air DA Enforcement Action Identifier? ICIS determines if an Enforcement Action exists in ICIS that matches the key data submitted. An Enforcement Action is matched by Air DA Enforcement Action Identifier from the XML. If a matching Enforcement Action is found in ICIS, processing continues at #2, otherwise processing continues at #1A. CEL-007 1A Reject transaction. Write 1 error message to the error log. ICIS has determined that the identified source Enforcement Action does not exist in ICIS. ICIS writes an error message to the error log and rejects the transaction and Mass Delete Air DA Enforcement Action Linkage processing ends. CEL-007 2 Does user have the privileges to perform Mass Delete Air DA Enforcement Action Linkage XML transaction? ICIS determines if the user has privileges to perform a Mass Delete Air DA Enforcement Action Linkage transaction and if the user has the authority to conduct a Mass Delete Air DA Enforcement Action Linkage 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 Link/Unlink Formal Enforcement Action function, which is available as part of the Formal Enforcement Action Editor role for Formal Enforcement Actions and must have the Link/Unlink Informal Enforcement Action function, which is available as part of the Informal Enforcement Action Editor role for Informal Enforcement Actions. In addition, the user must have Sensitive Data Access privileges to perform this transaction if either the source Enforcement Action or the target record is Enforcement Sensitive. If the ICIS User ID has the correct privileges, processing continues at #3, otherwise processing continues at #2A. CEL-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 Mass Delete Enforcement Action Linkage transaction, then ICIS rejects the entire Mass Delete Enforcement Action Linkage transaction. ICIS writes an error message to the error log and processing of this Mass Delete Enforcement Action Linkage transaction ends. CEL-002 3 Does the target record exist for the target keys submitted? ICIS determines if the target record exists for the keys submitted. If it does exist, processing continues at #4, otherwise processing continues at #3A. CEL-008 ICIS EDT – Case File and Air DA Enforcement Action Linkage 21 Office of Enforcement and Compliance Assurance Item Number Item Description Mapping to Business Rule Table 3A Reject transaction. Write 1 error message per business rule violation to the error log. ICIS has determined that the target record does not exist. ICIS rejects the entire Mass Delete Air DA Enforcement Action Linkage transaction and writes an error message to the error log and processing of this Mass Delete Air DA Enforcement Action Linkage transaction ends. CEL-008 4 Is a Facility shared between the source Enforcement Action and the target record? ICIS determines if at least one Facility is shared between the source Enforcement Action and the target record. If this is true, processing continues at #5, otherwise processing continues at #4A. CEL-009 4A Reject transaction. Write 1 error message per business rule violation to the error log. ICIS has determined that no Facilities are shared between the source Enforcement Action and the target record. ICIS rejects the entire Mass Delete Air DA Enforcement Action Linkage transaction and writes an error message to the error log and processing of this Mass Delete Air DA Enforcement Action Linkage transaction ends. CEL-009 5 Is the target record linked to the source Enforcement Action? ICIS determines if the target record is linked to the source Enforcement Action. If it is, processing continues at #5A, otherwise processing continues at #6. N/A 5A Unlink the target record from the source Enforcement Action ICIS unlinks the target record from the source Enforcement Action. Processing continues at #6. N/A 6 Accept transaction. ICIS logs a successful Mass Delete Air DA Enforcement Action Linkage transaction, and processing of this Mass Delete Air DA Enforcement Action Linkage transaction is complete. N/A Note: During the original design of EDT Linkage transactions in ICIS, EPA requested that if the two records are already unlinked, the transaction should be accepted with no error messages. This decision was to reduce rejected transactions and because the final outcome of the data remains the same (i.e., the two records are not linked.) ICIS EDT – Case File and Air DA Enforcement Action Linkage 22 Office of Enforcement and Compliance Assurance 2.4 BUSINESS RULES Table 2.4-1: Case File Linkage and Air DA Enforcement Action Linkage Business Rules lists the business rules that apply to the Case File Linkage and Air DA Enforcement Action Linkage transactions. 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 Case File Linkage or Air DA Enforcement Action Linkage transaction. The naming of the data fields is consistent with the ICIS-Air system terminology and not the EDT 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 Case File Linkage transactions is Case File Identifier. The key value that will be displayed for Air DA Enforcement Action Linkage transactions is Air DA Enforcement Action Identifier. The Applicable Transaction Types column identifies all transaction types to which the business rule applies. Table 2.4-1: Case File Linkage and Air DA Enforcement Action Linkage Business Rules Business Rule ID (Req ID) Business Rules Error/ Warning Code Error/Warning Message Applicable Transaction Types CEL-001 Transaction Type must be valid for Case File Linkage or Air BAT010 DA Enforcement Action Linkage. Valid Transaction Types are R (Replace) and X (Mass Delete). Transaction Type <Transaction Type value> is not valid for <Submission Type value>. R, X CEL-002 User must have privileges to perform the transaction. This BAT020 relates to specific roles, access level (HQ, specific region, specific state), and sensitive data privileges. Note: ICIS does not have EDT-specific privileges. The privileges for EDT and Web access are the same. State and LCON must be a valid State and LCON based on the User ID geography. Also, user must have Sensitive Data Access to link or unlink if either the source or the target record is Enforcement Sensitive. User <ID value> does not have privileges to perform this <Transaction Type value> <Submission Type value> transaction. R, X The source Case File does not exist for the key data entered. R, X Case File Linkage Source Case File CEL-003 The source Case File identified by the Case File Identifier must exist in ICIS. ICIS EDT – Case File and Air DA Enforcement Action Linkage CEL003 23 Office of Enforcement and Compliance Assurance Business Rule ID (Req ID) Business Rules Error/ Warning Code Error/Warning Message Applicable Transaction Types Target Record CEL-004 A record must exist in ICIS for the target record keys submitted. CEL004 A record does not exist in ICIS for the target record key submitted. R, X The record cannot be linked to or unlinked from the Case File because the target record does not share a Facility with the source record. R, X An error has occurred while processing the data for this Case File Linkage transaction. No data were saved for Case File Linkage, and the XML transaction must be resubmitted. R, X The source Air DA Enforcement Action does not exist for the key data entered. R, X CEL004 A record does not exist in ICIS for the target record key submitted. R, X CEL009 The record cannot be linked to or unlinked from the Enforcement Action because the target record does not share a Facility with the source record. R, X Note: the target Enforcement Action can be a Federal, State NPDES, or Air DA Enforcement Action and can be either an Informal or Formal Enforcement Action. CEL-005 A Facility must be shared between the source Case File and CEL005 the target record. Background Processing CEL-006 If ID Linked Pathway Activities and Set Case File Status CEL006 Background Processing does not complete successfully, XML transaction will not be saved. Air DA Enforcement Action Linkage Source Enforcement Action CEL-007 The source Enforcement Action identified by the Enforcement CEL007 Action identifier must exist in ICIS. Target Record CEL-008 A record must exist in ICIS for the target record keys submitted. Note: the target Enforcement Action can be a Federal or Air DA Enforcement Action and can be either an Informal or Formal Enforcement Action. CEL-009 A Facility must be shared between the source Enforcement Action and the target record. ICIS EDT – Case File and Air DA Enforcement Action Linkage 24 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: Case File Linkage and Air DA Enforcement Action Linkage 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 Case File Linkage and Air DA Enforcement Action Linkage XML submissions. The tables are organized according to the order in which tags are listed in the schemas. Table 3. -1: Case File Linkage and Air DA Enforcement Action Linkage Data Element Mapping XML Tag Name XML Data Type New or ICIS Air Screen Name Existing ICIS Tag ICIS Database Name Source Case File Key Data CaseFileIdentifier icis:StringMin7Max25TypeBase New Case File ID ICIS_Comp_Determination.Comp_Determination_UID New Enforcement Action Identifier ICIS_Enforcement.Enf_Identifier New Case File ID ICIS_Comp_Determination.Comp_Determination_UID Existing Enforcement Action Identifier ICIS_Enforcement.Enf_Identifier New Enforcement Action Identifier ICIS_Enforcement.Enf_Identifier New Compliance Monitoring ID ICIS_Comp_Monitor.Comp_Monitor_UID Source Air DA Enforcement Action Key Data AirDAEnforcementActionIdent icis:StringMin7Max25TypeBase ifier Target Case File Key Data CaseFileIdentifier icis:StringMin7Max25TypeBase Target Federal and State NPDES Enforcement Action Key Data EnforcementActionIdentifier icis: StringMin1Max20TypeBase Target Air DA Enforcement Action Key Data AirDAEnforcementActionIdent icis:StringMin7Max25TypeBase ifier Target Compliance Monitoring Key Data ComplianceMonitoringIdentifi icis:StringMin7Max25TypeBase er ICIS EDT – Case File and Air DA Enforcement Action Linkage 25 Office of Enforcement and Compliance Assurance 4. XML SCHEMA The following sections of the ICIS XML schema are related to the Case File Linkage and Air DA Enforcement Action Linkage Submission Types: • • • • • ICIS_AirDAEnforcementActionLinkage.xsd ICIS_CaseFileLinkage.xsd ICIS_Common.xsd ICIS_Header.xsd ICIS_KeyElements.xsd ICIS EDT – Case File and Air DA Enforcement Action Linkage 26 Office of Enforcement and Compliance Assurance APPENDIX A: ACRONYMS Table A-1: Acronym List Acronym Definition BGP Background Processing CDX Central Data Exchange DA Delegated Agency DB Database EDT Electronic Data Transfer EPA Environmental Protection Agency ICIS Integrated Compliance Information System ID Identifier LCON Local Control Agency NAAS Network Authentication and Authorization Service NPDES National Pollutant Discharge Elimination System OECA Office of Enforcement & Compliance Assurance XML Extensible Markup Language ICIS EDT – Case File and Air DA Enforcement Action Linkage 27 Office of Enforcement and Compliance Assurance APPENDIX B: XML SUBMISSION SAMPLE B.1: Source Case File, Target Case File XML Submission Sample <?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>Case File Linkage Submission</Title> <CreationTime>2001-12-17T09:30:47.0Z</CreationTime> <Comment>2nd resubmittal of rejected transactions from May submission</Comment> <DataService>ICIS-Air</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="CaseFileLinkageSubmission"> <CaseFileLinkageData> <TransactionHeader> <TransactionType>R</TransactionType> <TransactionTimestamp>2001-12-17T09:30:47.0Z</TransactionTimestamp> </TransactionHeader> <CaseFileLinkage> <CaseFileIdentifier>AL100A5932</CaseFileIdentifier> <LinkageCaseFile> <CaseFileIdentifier>AL100A6932</CaseFileIdentifier> </LinkageCaseFile> </CaseFileLinkage> </CaseFileLinkageData> </Payload> </Document> B.2: Source Case File, Target Air DA Enforcement Action XML Submission Sample <?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>Case File Linkage Submission</Title> <CreationTime>2001-12-17T09:30:47.0Z</CreationTime> <Comment>2nd resubmittal of rejected transactions from May submission</Comment> ICIS EDT – Case File and Air DA Enforcement Action Linkage 28 Office of Enforcement and Compliance Assurance <DataService>ICIS-Air</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="CaseFileLinkageSubmission"> <CaseFileLinkageData> <TransactionHeader> <TransactionType>R</TransactionType> <TransactionTimestamp>2001-12-17T09:30:47.0Z</TransactionTimestamp> </TransactionHeader> <CaseFileLinkage> <CaseFileIdentifier>AL100A5932</CaseFileIdentifier> <LinkageAirDAEnforcementAction> <AirDAEnforcementActionIdentifier>AL100A6932</AirDAEnforcementActionIdentifier> </LinkageAirDAEnforcementAction> </CaseFileLinkage> </CaseFileLinkageData> </Payload> </Document> B.3: Source Case File, Target Enforcement Action (Federal, State NPDES) XML Submission Sample <?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>Case File Linkage Submission</Title> <CreationTime>2001-12-17T09:30:47.0Z</CreationTime> <Comment>2nd resubmittal of rejected transactions from May submission</Comment> <DataService>ICIS-Air</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="CaseFileLinkageSubmission"> <CaseFileLinkageData> <TransactionHeader> <TransactionType>R</TransactionType> <TransactionTimestamp>2001-12-17T09:30:47.0Z</TransactionTimestamp> </TransactionHeader> ICIS EDT – Case File and Air DA Enforcement Action Linkage 29 Office of Enforcement and Compliance Assurance <CaseFileLinkage> <CaseFileIdentifier>01000F5932</CaseFileIdentifier> <LinkageEnforcementAction> <EnforcementActionIdentifier>01-10006932</EnforcementActionIdentifier> </LinkageEnforcementAction> </CaseFileLinkage> </CaseFileLinkageData> </Payload> </Document> B.4: Source Case File, Target Compliance Monitoring XML Submission Sample <?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>Case File Linkage Submission</Title> <CreationTime>2001-12-17T09:30:47.0Z</CreationTime> <Comment>2nd resubmittal of rejected transactions from May submission</Comment> <DataService>ICIS-Air</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="CaseFileLinkageSubmission"> <CaseFileLinkageData> <TransactionHeader> <TransactionType>R</TransactionType> <TransactionTimestamp>2001-12-17T09:30:47.0Z</TransactionTimestamp> </TransactionHeader> <CaseFileLinkage> <CaseFileIdentifier>AL100A5932</CaseFileIdentifier> <LinkageComplianceMonitoring> <ComplianceMonitoringIdentifier>AL100A6932</ComplianceMonitoringIdentifier> </LinkageComplianceMonitoring> </CaseFileLinkage> </CaseFileLinkageData> </Payload> </Document> B.5: Source Air DA Enforcement Action, Target Air DA Enforcement Action XML Submission Sample <?xml version="1.0" encoding="UTF-8"?> ICIS EDT – Case File and Air DA Enforcement Action Linkage 30 Office of Enforcement and Compliance Assurance <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 DA Enforcement Action Linkage Submission</Title> <CreationTime>2001-12-17T09:30:47.0Z</CreationTime> <Comment>2nd resubmittal of rejected transactions from May submission</Comment> <DataService>ICIS-Air</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="AirDAEnforcementActionLinkageSubmission"> <AirDAEnforcementActionLinkageData> <TransactionHeader> <TransactionType>R</TransactionType> <TransactionTimestamp>2001-12-17T09:30:47.0Z</TransactionTimestamp> </TransactionHeader> <AirDAEnforcementActionLinkage> <AirDAEnforcementActionIdentifier>AL100A5932</AirDAEnforcementActionIdentifier> <LinkageAirDAEnforcementAction> <AirDAEnforcementActionIdentifier>AL100A6932</AirDAEnforcementActionIdentifier> </LinkageAirDAEnforcementAction> </AirDAEnforcementActionLinkage> </AirDAEnforcementActionLinkageData> </Payload> </Document> B.6: Source Air DA Enforcement Action, Target Federal Enforcement Action XML Submission Sample <?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 DA Enforcement Action Linkage Submission</Title> <CreationTime>2001-12-17T09:30:47.0Z</CreationTime> <Comment>2nd resubmittal of rejected transactions from May submission</Comment> <DataService>ICIS-Air</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> ICIS EDT – Case File and Air DA Enforcement Action Linkage 31 Office of Enforcement and Compliance Assurance <Payload Operation="AirDAEnforcementActionLinkageSubmission"> <AirDAEnforcementActionLinkageData> <TransactionHeader> <TransactionType>R</TransactionType> <TransactionTimestamp>2001-12-17T09:30:47.0Z</TransactionTimestamp> </TransactionHeader> <AirDAEnforcementActionLinkage> <AirDAEnforcementActionIdentifier>AL100A5932</AirDAEnforcementActionIdentifier> <LinkageEnforcementAction> <EnforcementActionIdentifier>01-10006932</EnforcementActionIdentifier> </LinkageEnforcementAction> </AirDAEnforcementActionLinkage> </AirDAEnforcementActionLinkageData> </Payload> </Document> ICIS EDT – Case File and Air DA Enforcement Action Linkage 32