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.
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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
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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
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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
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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.
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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.
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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
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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.
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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
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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
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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
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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.)
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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.
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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
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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
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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
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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
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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>
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<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>
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<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"?>
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<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>
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<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>
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