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Office of Enforcement and Compliance Assurance
Integrated Compliance Information System
ICIS Case File Web Design
Version 1.8
REVISED FINAL
July 14, 2015
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OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
Document Change History
Version Number
Date
Description
0.1
4/2/2014
Initial Draft Release
1.0
4/29/2014
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1.1
July 9, 2014
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ICIS Case File
Incorporated EPA Comments
Updated design to allow Federal users to select
Case File Type from Global Navigation menu
Combined the Identify Linked Pathway Activities
BGP and Set Status Type BGP into single
Identify Linked Pathway Activities and Set Case
File Status Type BGP
Updated Sub Activity screen to new look and
feel
Added Section 8. Case File List Screens
Removed CF-046
Removed rule that if CAA is selected for
Federal Case Files then must select at least Air,
RMP, or ICIS Facility Interest.
Removed UDF 6 from the Search screen.
Updated Section 9.1 to clarify that the BGP is
called when the user enters or updates the
Other Pathway Activities or Dates.
Updated Section 9.1 to NOT copy linked
Addressing Action/Date to linked Resolving
Action/Date.
Added error messages for CF-055 and CF-056
Updated CF-057 to reference Case File instead
of Compliance Determination in the error
message.
Updated CF-073 to include the descriptions for
the ERP values.
Removed CF-074 and CF-105
Added # of Claims to CF-152
Added CF-210, CF-211, and CF-213
Updated CF-163 and CF-164 to clarify that they
only apply if Violation Class = HPV
Updated CF-195 to reference HPV Status
instead of FRV Status
Updated CF-196 – CF-199 to clarify that the
Add/Link button is on the Edit Federal activity
screen.
Added error message for CF-198
Updated the Data Element Mapping to show
that Case File Name is conditionally required.
Updated the Data Element Mapping to shw that
the Sensitive Data Flag will be set by the
application.
Added the Search, Clear, and Cancel buttons to
the top of the Search Case File screen.
Updated screens and Section 1 text to reflect
that the Case File Identifier will only have data
entry fields for the parts of the ID that are
editable by the user.
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Version Number
Date
1.2
August 4, 2014
Description
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1.3
August 27, 2014
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1.4
September 10, 2014
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Updated Add/Edit screens to standardize
display of Case File Identifier
Added Search, Clear, and Cancel buttons to top
of Search screen.
Removed the error messages for CF-138 and
CF-139
Updated CF-081 and all Air screens to hyperlink
the Activity Identifier to the View/Edit screen of
the activity.
Added CF-157B to require the Air Violation level
FRV Determination Date to be less than or
equal to HPV Day Zero Date.
Updated DA screens to show that Programs is
type-ahead text instead of checkboxes.
Updated CF-095 to specify that Addressing
Milestones are determined based on the
Ref_Sub_Activity_Type.Addressing_Action_Fla
g = Y.
Updated data element mapping to specify that
State must be a valid state in Ref_State where
usage_indicator= N or B
Updated for Air-1960. Remove “Must enter
Federal Statute before selecting Method of
Discovery” from the non-Air Case file screen.
Updated for Air-1687, Air-1748. Changed logic
for filtering NEI Action Types. The user must
first select appropriate National Enforcement
Initiatives. The NEI Action Types are filtered
and displayed based on NEIs selected.
1.5
September 26, 2014
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Updated CF-082 to add that ‘Under
Enforcement Review’ will display for users with
Enforcement Sensitive Privileges attempting to
view a sensitive record outside of their
geography.
1.6
December 5, 2014
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Added requirements CF-157C – CF 157F to
default FRV Determination Date per CR AIR1037
Updated FRV Determination Date in the Data
Elements Mapping to show that FRV
Determination Date defaults to the current date
on Add
Added requirements CF-052A, CF-052B, CF071A, and CF-071B, per CR AIR-1962
Added requirement CF-071C, per CR AIR-2203
Updated Search Case Files sample screen to
show default values, per CRs AIR-1962 and
AIR-2203.
Updated Section 9.1.1 and requirement CF-087
to incorporate new Linked Discovery Action
logic, per CR AIR-1030.
Updated Figure 2.2 2. Global Navigation –
Federal User (Air), per CR AIR-984.
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ICIS Case File
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Version Number
Date
1.7
March 31, 2015
Description
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1.8
April 21, 2015
1.9
July 14, 2015
ICIS Case File
Text changes to clarify that a linked EA must
have a Final Order for an Air Interest to set
Case File Status to Resolved and that if multiple
linked EAs qualify as the Resolving action and
have the same latest Air Resolved Milestone
Actual Date, the EA with the highest Activity ID
is used.
Table 9.1-5 and Business Rule CF-101
Text changes to clarify existing functionality for
how facilities are populated
Table 2.3-1, 4.3-1
Updated for CR Air-1782:
o Section 2.0 narrative, Table 2.1-1, Table
2.3-1
o Section 7.0 narrative, Table 7.3-1
o Table 8.1-1, Table 8.1-2, Table 8.1-3
o Figure 8.2-5, 8.2-7
o Requirements: CF-200 to CF-223
Updated Screen Navigation Actions sections to
reflect the actual behavior of the Cancel buttons
(this is a documentation update only):
Tables 2.1-1 and 4.1-1
Updated screen titles from “Related” to
“Linked”.
Added missing business rule CF-224.
Updated for Air-3044:
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Added text to Search Compliance Monitoring
describing autocomplete behavior for City
Name.
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Per Air-2201, updated Figure 9.1-1, updated
Table 9.1-1, updated requirement CF-102, and
added requirements CF-102A to CF-102H for
flagging Other Addressing Action/Date that was
set based on Other Resolving Action/Date, and
added Table 9.1-2 for sample scenarios.
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Per Air-1940, updated Figures 2.2-6, 2.2-10,
2.2-13, 4.2-3, 4.2-7, and 4.2-10 to show
warning message above Comment field.
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Per Air-2297, added requirement CF-147A and
updated DEM for Consultation Dates sort order.
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Per Air-2540/Air-1956, updated business rule
CF-065 and Data Elements Mapping, and
added text to the Search Case File introduction
for the Air DA filter and rank order for Air
Programs.
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Per DR Air-3436, added business rule CF-225
to not allow Program System Acronym to be
FRS for Federal non-Air Case Files.
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Table of Contents
1. INTRODUCTION..................................................................................................................... 1
1.1 CASE FILE IDENTIFIER ............................................................................................................ 1
1.2 SUMMARY OF CHANGES FROM CURRENT ICIS FOR INITIAL RELEASE OF ICIS-AIR............... 3
2. ADD CASE FILE ...................................................................................................................... 4
2.1 SCREEN NAVIGATION ACTIONS.............................................................................................. 7
2.2 SAMPLE SCREEN .................................................................................................................... 9
2.3 USE CASE ............................................................................................................................. 21
3. SEARCH CASE FILES .......................................................................................................... 24
3.1 SCREEN NAVIGATION ACTIONS............................................................................................ 25
3.2 SAMPLE SCREEN .................................................................................................................. 25
3.3 USE CASE ............................................................................................................................. 29
4. EDIT CASE FILE ................................................................................................................... 30
4.1 SCREEN NAVIGATION ACTIONS............................................................................................ 30
4.2 SAMPLE SCREEN .................................................................................................................. 31
4.3 USE CASE ............................................................................................................................. 43
5. ADD/EDIT AIR VIOLATION .............................................................................................. 46
5.1 SCREEN NAVIGATION ACTIONS............................................................................................ 46
5.2 SAMPLE SCREEN .................................................................................................................. 46
5.3 USE CASE ............................................................................................................................. 48
6. DELETE CASE FILE ............................................................................................................ 50
6.1 SCREEN NAVIGATION ACTIONS............................................................................................ 50
6.2 SAMPLE SCREEN .................................................................................................................. 50
6.3 USE CASE ............................................................................................................................. 51
7. LINK/UNLINK CASE FILE ................................................................................................. 52
7.1 SCREEN NAVIGATION ACTIONS............................................................................................ 52
7.2 SAMPLE SCREEN .................................................................................................................. 53
7.3 USE CASE ............................................................................................................................. 56
8. CASE FILE LIST SCREENS ................................................................................................ 57
8.1 SCREEN NAVIGATION ACTIONS............................................................................................ 58
8.2 SAMPLE SCREEN .................................................................................................................. 63
9. CASE FILE BACKGROUND PROCESSING .................................................................... 70
9.1 IDENTIFY LINKED PATHWAY ACTIVITIES AND SET CASE FILE STATUS TYPE....................... 70
9.1.1 Identify Linked Discovery Action .............................................................................................................. 82
9.1.2 Identify Linked Notification Action ........................................................................................................... 84
9.1.3 Identify Linked Addressing Action ............................................................................................................ 85
9.1.4 Identify Linked Resolving Action............................................................................................................... 87
9.1.5 Set Case File Status Type .......................................................................................................................... 90
9.2 SET ENFORCEMENT RESPONSE POLICY ................................................................................ 91
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10. REQUIREMENTS................................................................................................................ 94
11. DATA ELEMENTS MAPPING ........................................................................................ 131
APPENDIX A: ACRONYMS .................................................................................................. 162
List of Tables
Table 1.2-1. Case File Add Screen Combinations .........................................................................................................4
Table 1.2-2. Add Case File Prepopulation Sources .......................................................................................................7
Table 2.1-1. Screen Navigation: Add Case File ............................................................................................................7
Table 2.3-1. Use Case: Add Case File ......................................................................................................................... 22
Table 3.1-1. Screen Navigation: Search Case Files ..................................................................................................... 25
Table 3.3-1. Use Case: Search Case File ..................................................................................................................... 29
Table 4.1-1. Screen Navigation: View/Edit Case File ................................................................................................. 30
Table 4.3-1. Use Case: Edit Case File ......................................................................................................................... 43
Table 5.1-1. Screen Navigation: Add/Edit Case File Air Violations ........................................................................... 46
Table 5.3-1. Use Case: Add/Edit Case File Air Violation ........................................................................................... 49
Table 6.1-1. Screen Navigation: Delete Case File ....................................................................................................... 50
Table 6.3-1. Use Case: Delete Case File ..................................................................................................................... 51
Table 7.1-1. Screen Navigation: Link Case File .......................................................................................................... 53
Table 7.1-2. Screen Navigation: Unlink Case File ...................................................................................................... 53
Table 7.3-1. Use Case: Link Case File ........................................................................................................................ 56
Table 7.3-2. Use Case: Unlink Case File ..................................................................................................................... 56
Table 8-1. Modules with Case File List Screens ......................................................................................................... 57
Table 8-2. Summary of User Access to Case File Tabs/Sub Links ............................................................................. 58
Table 8.1-1. Screen Navigation: Link/Unlink <Module> ............................................................................................ 58
Table 8.1-2.Case File List Screen Details .................................................................................................................... 59
Table 8.1-3.Add/Link Case File List Dropdown Options ............................................................................................ 63
Table 9.1-1. Identify Linked Pathway Activities and Set Case File Status Type Processing ...................................... 74
Table 9.1-2. System Generation of Other Addressing Action/Date based on Other Resolving Action/Date Scenarios
............................................................................................................................................................................ 78
Table 9.1-3. Identify Linked Discovery Action Processing ......................................................................................... 82
Table 9.1-4. Identify Linked Notification Action Processing ...................................................................................... 85
Table 9.1-5. Identify Linked Addressing Action Processing ....................................................................................... 86
Table 9.1-6. Identify Linked Resolving Action Processing ......................................................................................... 88
Table 9.1-7. Set Case File Status Type Processing ...................................................................................................... 90
Table 9.2-1. Set Enforcement Response Policy Processing ......................................................................................... 92
Table 10-1. Case File Requirements ............................................................................................................................ 94
Table 11-1. Case File Data Element Mapping ........................................................................................................... 131
List of Figures
Figure 2.2-1. Global Navigation – Federal User (FE&C) ..............................................................................................9
Figure 2.2-2. Global Navigation – Federal User (Air) ...................................................................................................9
Figure 2.2-3: Global Navigation – Delegated Agency User ........................................................................................ 10
Figure 2.2-4. Add Delegated Agency Case File: Air Case File ................................................................................... 11
Figure 2.2-5. Add Delegated Agency Case File: Air Case File Continued ................................................................. 12
Figure 2.2-6. Add Delegated Agency Case File: Air Case File Continued ................................................................. 13
Figure 2.2-7. Add Federal Case File: Air Case File with NEI ..................................................................................... 14
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Figure 2.2-8. Add Federal Case File: Air Case File with NEI Continued ................................................................... 15
Figure 2.2-9. Add Federal Case File: Air Case File with NEI Continued ................................................................... 16
Figure 2.2-10. Add Federal Case File: Air Case File with NEI Continued ................................................................. 17
Figure 2.2-11. Add Federal Non-Air Case File ........................................................................................................... 18
Figure 2.2-12. Add Federal Non-Air Case File Continued .......................................................................................... 19
Figure 2.2-13. Add Federal Non-Air Case File Continued .......................................................................................... 20
Figure 2.2-14. Add Case File: Facilities from Add/Link Case File ............................................................................. 21
Figure 3.2-1. Search Case Files ................................................................................................................................... 26
Figure 3.2-2. Search Case Files Continued .................................................................................................................. 27
Figure 3.2-3. Search Case Files Continued .................................................................................................................. 28
Figure 3.2-4. Search Case File Results ........................................................................................................................ 29
Figure 4.2-1. Edit Delegated Agency Case File: Air Case File ................................................................................... 32
Figure 4.2-2. Edit Delegated Agency Case File: Air Case File Continued .................................................................. 33
Figure 4.2-3. Edit Delegated Agency Case File: Air Case File Continued .................................................................. 34
Figure 4.2-4. Edit Federal Air Case File with NEI ...................................................................................................... 35
Figure 4.2-5. Edit Federal Air Case File with NEI Continued..................................................................................... 36
Figure 4.2-6. Edit Federal Air Case File with NEI Continued..................................................................................... 37
Figure 4.2-7. Edit Federal Air Case File with NEI Continued..................................................................................... 38
Figure 4.2-8. Edit Federal Non-Air Case File.............................................................................................................. 39
Figure 4.2-9. Edit Federal Non-Air Case File Continued ............................................................................................ 40
Figure 4.2-10. Edit Federal Non-Air Case File Continued .......................................................................................... 41
Figure 4.2-11. Add/Edit Sub Activities (Air) .............................................................................................................. 42
Figure 4.2-12. Add/Edit Sub Activities (Non-Air) ...................................................................................................... 42
Figure 4.2-13. Add/Edit Sensitive Comments ............................................................................................................. 43
Figure 5.2-1. Add/Edit Air Violations ......................................................................................................................... 47
Figure 5.2-2. Add Air Violation .................................................................................................................................. 48
Figure 6.2-1. Delete Case File ..................................................................................................................................... 51
Figure 7.2-1. Air Delegated Agency List of Case Files Linked to the Case File ......................................................... 54
Figure 7.2-2. Air Delegated Agency List of Case Files Eligible to be Linked to the Case File (EPA User) ............... 55
Figure 8.2-1. List of Case Files Linked to the Facility (EPA menu) ........................................................................... 64
Figure 8.2-2. List of Case Files Linked to the Facility (State menu) ........................................................................... 65
Figure 8.2-3. List of Case Files Linked to the Facility (LCON menu) ........................................................................ 65
Figure 8.2-4. List of Case Files Linked to the Enforcement Action ............................................................................ 66
Figure 8.2-5. List of Case Files Eligible to be Linked to the Enforcement Action ...................................................... 67
Figure 8.2-6. List of Case Files Linked to the Compliance Monitoring Activity ........................................................ 68
Figure 8.2-7. List of Case Files Eligible to be Linked to the CM Activity .................................................................. 69
Figure 9.1-1. Identify Linked Pathway Activities and Set Case File Status Type ....................................................... 72
Figure 9.1-2. Identify Linked Discovery Action ......................................................................................................... 82
Figure 9.1-3. Identify Linked Notification Action ....................................................................................................... 84
Figure 9.1-4. Identify Linked Addressing Action ........................................................................................................ 86
Figure 9.1-5. Identify Linked Resolving Action .......................................................................................................... 88
Figure 9.1-6. Set Case File Status Type....................................................................................................................... 90
Figure 9.2-1. Set Enforcement Response Policy ......................................................................................................... 92
ICIS Case File
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OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
1. INTRODUCTION
This design document includes both Federal and Delegated Agency Case Files and replaces the
ICIS Compliance Determination design document. Case File is the new name for the ICIS
Compliance Determination module. Once the Regulatory Agency has determined that there are
one or more issues warranting additional research or analysis as potential violations, they begin
compiling the information in the Case File. ICIS-Air users will use the Air Violations screen of
the Case File module to record data about claims of potential violations. ICIS-Air users will
connect the discovery actions that identified or confirmed issues, any actions taken to inform the
facility, and any addressing and resolving actions on the Case File. These actions are the Case
File’s Pathway Activities and can be user-entered or system-generated based on the activities
linked to the Case File.
Case Files reported by ICIS-Air users include both federal and non-federal case files. Nonfederal case files will be referred to as Delegated Agency (DA) Case Files and include actions
issued by State, Tribal and LCON agencies.
The types of Case Files are:
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Air Case File
National Enforcement Initiative (NEI) Determination
Air Case File with NEI
Deficiency Detected
Violation Detected
Case Screening
No Violation No Deficiency
Delegated Agency Case Files will have Type set to Air Case File (values that are set by the
system cannot be changed by the user), while Federal users will have the option to choose any
type for Federal Case Files.
1.1 CASE FILE IDENTIFIER
The Case Identifier has a geographic component and a unique identifier component. An HQ user
entering a Federal Case File record will select from all Region values (default value is HQ but
can be edited) to populate the Region/State portion of the Case File Identifier. For a Regional
user entering a Federal Case File record, the value for Region/State in the Case File Identifier
will be set to the Region associated with the User ID. A value that is defaulted by the system can
be edited by the user, while a value that is set by the system cannot.
A Delegated Agency Case File record cannot be identified as both an LCON and a State Case
File. For a State or Tribe user, the system will set the value for Region/State in the Case File
Identifier to the State/Tribe associated with the User ID. LCON will be set to 000. For an
LCON user, the system will set the value for Region/State in the Case File Identifier to the State
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OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
associated with the User ID and will set the value for LCON to the LCON assigned to the User
ID.
A Regional user assisting in entry of a State Case File must select from all State/Tribe values
within their Region to populate the Region/State portion of the Case File Identifier. A Regional
user entering an LCON Case File must do the same. If a State is selected, LCON values will be
filtered based on the State selected.
An HQ user assisting in entry of a State Case File must select from all State/Tribe values to
populate the Region/State portion of the Case File Identifier. An HQ user entering an LCON
Case File must do the same. If a State is selected, LCON values will be filtered based on the
State selected.
For all users entering Delegated Agency Case Files, the Region Code, which is stored in the
database as part of the activity’s geographic data, will be system-generated based on the
State/Tribe value defaulted or selected and will be non-editable. Users only will be able to add,
edit, and delete a Case File within their own jurisdiction (e.g. Alabama state users may edit data
for Alabama; Region 1 users may edit data for states, tribes, or LCONs within their region).
For Federal records, the Case File Identifier will be system generated based on the value
populated in the Region/State field. The following is the format of the Case File Identifier for
Federal records:
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Positions 1-2: HQ or Region Code based on the Case File Region value
Positions 3-5: '000'
Position 6: Program Code, ‘F’ for Federal records
Positions 7–25: numeric increment that is unique to the combination within a common
value for positions 1–6 (i.e., must be unique within Region), variable in length with
maximum of 25 alphanumeric characters total for the entire Case File Identifier.
For Delegated Agency records, the Case File Identifier will be system generated based on the
values populated in the Region/State and LCON fields. The following is the format of the Case
File Identifier for Delegated Agency records:
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Positions 1-2: State or Tribe Code based on the Case File State value
Positions 3-5: LCON code based on the Case File LCON value. If no value exists, use
'000'
Position 6: Program Code, ‘A’ for Air DA records
Positions 7–25: numeric increment that is unique to the combination within a common
value for positions 1–6 (i.e., must be unique within LCON, State, or Tribe), variable in
length with maximum of 25 alphanumeric characters total for the entire Case File
Identifier.
When displayed on Add screens, the Case File ID will have data entry boxes only for the parts of
the ID that are editable by the user who is adding the record (e.g., there will be a State dropdown
if a State Enforcement Action is entered by an EPA user). Any parts of the Case File Identifier
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that cannot be entered by the user will be displayed as text. On Edit screens, the Case File
Identifier will be displayed as text only.
The following functions are available for the Case File module:
 Add
 Search/Search Results
 View/Edit
 Add, Edit, and Delete Air Violations (for Air records only)
 Delete
 Link/Unlink.
1.2 SUMMARY OF CHANGES FROM CURRENT ICIS FOR INITIAL RELEASE OF ICIS-AIR
The following is a summary of changes from existing ICIS Compliance Determination
functionality:
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Compliance Determination has been renamed to Case File, and the entire module has
been redesigned. Sub Activities and Related Activities are only available for Federal
Case Files, and the functionality for those areas has not changed from ICIS Compliance
Determination.
Delegated Agency Case Files can be created. Previously, only Federal Compliance
Determination records could be created.
The Search capability has been expanded to allow the user to search on most of the new
Case File fields.
Current ICIS does not support sensitive comments for Compliance Determination
activities. Air Case Files can have multiple sensitive comments.
Current ICIS supports only one non-sensitive comment for a Compliance Determination
activity. All Case Files can have multiple non-sensitive comments.
Current ICIS does not support recording specific violations related to a Compliance
Determination. Air Case Files can have multiple Air Violations.
Current ICIS does not have the concept of Pathway Activities. Air Case Files can have
four Pathway Activities – Discovery Action, Notification Action, Addressing Action, and
Resolving Action – either entered by the user or system generated based on linked
activities.
Current ICIS does not have a Compliance Determination Identifier. Case Files have a
Case File Identifier consisting of the Region/State Code, LCON Code, Program Code,
and a system-generated unique identifier.
Current ICIS does not support the concept of a Lead Agency for Compliance
Determination activities. Case Files have a Lead Agency field that is defaulted on Add,
but can be changed by the user.
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2. ADD CASE FILE
This section provides a summary of screen navigation, sample screens, and a use case for the
Add Case File function.
The Case File screens consist of many of the same fields but are slightly different depending on
the Case File Type. Table 1.2-1. Case File Add Screen Combinations describes differences
between the Add screens based on Case File Type:
Table 1.2-1. Case File Add Screen Combinations
User-Provided Information:
Fed or DA
Case File Type
DA
Air Case File
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Fed
Air Case File
Set/Defaulted fields
Set Status Type
Default Lead Agency
Set Program System
Acronym (Air Facility
only)
Set Federal Statute
Other notes:
-1 Facility only and must be
Air
-Law Section does not
appear on DA screen and is
saved as “Other”
- Consultation Date is not
editable.
 Set Status Type
 Default Lead Agency
Other notes:
-1 Facility only and must be
Air
- Consultation Date is
editable.
Fed
Air Case File
with NEI
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Set Status Type
Default Lead Agency
Other notes:
-1 Facility only and must be
Air
- Consultation Date is
editable.
ICIS Case File
What the screen shows:
Fields that dynamically display
Case File Information:
 Enforcement Response Policy (display only)
 Enforcement Sensitive Indicator
Case File Dates
 Earliest FRV Determination Date (display only)
 Earliest HPV Day Zero Date (display only)
Pathway Activities
 Discovery Action Type/Date via Linked Activity
 Discovery Action Other Type/Other Date
 Notification Action Type/Date via Linked Activity
 Addressing Action Type/Date via Linked Activity
 Addressing Action Other Type/Other Date
 Resolved Action Type/Date via Linked Activity
 Resolved Action Other Type/Other Date
Case File Information:
 Enforcement Response Policy (display only)
Case File Dates
 Earliest FRV Determination Date (display only)
 Earliest HPV Day Zero Date (display only)
Pathway Activities
 Discovery Action Type/Date via Linked Activity
 Discovery Action Other Type/Other Date
 Notification Action Type/Date via Linked Activity
 Addressing Action Type/Date via Linked Activity
 Addressing Action Other Type/Other Date
 Resolved Action Type/Date via Linked Activity
 Resolved Action Other Type/Other Date
Same as Federal Air Case File, plus:
National Enforcement Initiative Determination
 Facility NEI Initiated Action Type
 Facility NEI Initiated Action Date
 Facility Addressed/Controlled Action Type
 Facility Addressed/Controlled Action Date
 Facility No Further Action Type
 Facility No Further Action Date
 HQ Addressed/Controlled Approval
 HQ Addressed/Controlled Approval Date
 NEI Determination Comment
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OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
User-Provided Information:
Fed
NEI
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Default Lead Agency
Other notes:
-1 to many Facilities and
can be any Facility Interests.
Facility Interest
- Consultation Date is
editable.
Fed
Other types
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Default Lead Agency
Other notes:
-1 to many Facilities and
can be any Facility Interests.
- Consultation Date is
editable.
What the screen shows:
Case File Information:
 Method of Discovery
 Violation Class Type
 Follow-up Action
 Enforce AO
Case File Dates
 Discovery Date
 Determination Date
 Occurrence Start Date
 Occurrence End Date
PLUS
NEI data
Case File Information:
 Method of Discovery
 Violation Class Type
 Follow-up Action
 Enforce AO
Case File Dates
 Discovery Date
 Determination Date
 Occurrence Start Date
 Occurrence End Date
Delegated Agency Case Files
It should be noted that Case File Identifier, Case File Type, Status Type, Programmatic System
Acronym, Federal Statute, Enforcement Response Policy, Earliest Federally Reportable
Violation (FRV) Determination Date, and Earliest High Priority Violation (HPV) Day Zero Date
cannot be edited on the Add Delegated Agency Case File screen.



Enforcement Response Policy – the policy that defines EPA’s enforcement response
under the Clean Air Act (CAA), e.g., whether the violation constitutes an FRV, HPV,
non-FRV, or other.
FRV, as defined by the Draft Guidance of Federally-Reportable Violations for Clean Air
Act Stationary Sources dated September 2013.
HPV, as defined by the Draft Timely and Appropriate Enforcement Response to High
Priority Violations- Revised dated December 2013.
The system will default the following values:




Case File Type – ‘Air Case File’
Programmatic System Acronym – ‘AIR’
Federal Statutes – ‘CAA’
Lead Agency
The system will generate the following fields when the user saves the record:




Federal Law Section – ‘OTHER’ (not displayed on screen)
Case File Identifier
Status Type – based on Pathway Activities
Enforcement Response Policy – based on Air Violation data.
ICIS Case File
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OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
Earliest FRV Determination Date and Earliest HPV Date will be system generated once Air
Violations have been added to the Case File.
At a minimum, the following data elements must be populated to add a Delegated Agency Case
File:








Case File Identifier (system-generated)
Case File Type (system-generated)
Linked Facility
Federal Statutes (system-generated)
Federal Law Section (system-generated)
Programs
Status Type (system-generated)
Enforcement Response Policy (system-generated).
Federal Case Files
On the Add Federal Case File screen, LCON, Case File Identifier, and Added Programs cannot
be edited. Added Programs will be populated based on the selected Law Sections. Case File
Identifier and Status Type will be generated after the user saves the record. Additional fields,
including some that are not editable, may be displayed, depending on the Case File Type
selected.
At a minimum, the following data elements must be populated to add a Federal Case File:








Case File Identifier (system-generated)
Case File Name
Case File Type
Linked Facility
Federal Statutes
Federal Law Section
Programs (system-generated)
Status Type.
Add Case File can be launched from several places that will prepopulate and associate some
data. Table 1.2-2. Add Case File Prepopulation Sources summarizes these functions.
ICIS Case File
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OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
Table 1.2-2. Add Case File Prepopulation Sources
Source Screen
List of Case Files
Linked to the Facility
Voluntary Disclosure
Federal Compliance
Monitoring Activity
List of Case Files
Eligible to be Linked to
the <Module>
Launch Mechanism
Add Case File Dropdown
Add Case File Prepopulation
 Case File Facility prepopulated based on source facility
Add/Link Case File Dropdown
(launches Add Federal Case
Files only)
Add/Link Case File Dropdown
(launches Federal and Air DA
Case Files)

Modules:
Compliance Monitoring
Case File
Enforcement Action
Case File Facility prepopulated based on source record
facility
 Upon Save, validates that:
o Correct number of facilities are on the target record
o Warning message if no facility in common between source
and target record
 If at least one facility in common, system links new Case File
to the source record using Pipeline Processing from related
activities
2.1 SCREEN NAVIGATION ACTIONS
Table 2.1-1. Screen Navigation: Add provides a list of the navigation options when adding a
Case File record. Entry Point describes how the user navigates to the specific screen to perform
the action. User Action describes the actions performed by the user on the screen. Exit Point
describes the results of the user’s action.
Table 2.1-1. Screen Navigation: Add Case File
Entry Point
Home → Search Case Files → Case File Search Results →
View/Edit Case File → Add Case File
Home → Add Case File
ICIS Case File
User Action
Save
Exit Point
System saves the record and
navigates to the View/Edit screen
of the current record.
Save and Add Another
System saves the record and
navigates to the Add Case File
screen.
Save and Add Air
Violations (only
available for Air Case
File and Air Case File
with NEI)
System saves the record and
navigates to the Add/Edit Air
Violations screen.
Cancel
System does not save the record
and navigates to the Home screen.
Save
System saves the record and
remains on the View/Edit screen
of the current record.
Save and Add Another
System saves the record and
navigates to the Add Case File
screen.
Save and Add Air
Violations (only
available for Air Case
File and Air Case File
with NEI)
System saves the record and
navigates to the Add/Edit Air
Violations screen.
Cancel
System does not save the record
and navigates to the Home screen.
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OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
Entry Point
Home → Search Case File → Case File Search Results →
Add Case File
Home → Other Module Location → Case File tab→ Add
Case File (Navigation Menu)
Home → Edit Voluntary Disclosure or Federal Compliance
Monitoring Activity → Add/Link Case File
Home → Other Module Location → Case File tab→ List of
Case Files Eligible to be Linked → Add Case File (Add/Link
Case File dropdown)
ICIS Case File
User Action
Save
Exit Point
System saves the record and
remains on the View/Edit screen
of the current record.
Save and Add Another
System saves the record and
navigates to the Add Case File
screen.
Save and Add Air
Violations (only
available for Air Case
File and Air Case File
with NEI)
System saves the record and
navigates to the Add/Edit Air
Violations screen.
Cancel
System does not save the record
and navigates to the Home screen.
Save
System saves the record and
remains on the View/Edit screen
of the current record.
Save and Add Another
System saves the record and
navigates to the Add Case File
screen.
Save and Add Air
Violations (only
available for Air Case
File and Air Case File
with NEI)
System saves the record and
navigates to the Add/Edit Air
Violations screen.
Cancel
System does not save the record
and navigates to the Home screen.
Save
System saves the record and
remains on the View/Edit screen
of the current record.
Save and Add Another
System saves the record and
navigates to the Add Case File
screen.
Save and Add Air
Violations (only
available for Air Case
File and Air Case File
with NEI)
System saves the record and
navigates to the Add/Edit Air
Violations screen.
Cancel
System does not save the record
and navigates to the Home screen.
Save
System saves the record and
remains on the View/Edit screen
of the current record.
Save and Add Another
System saves the record and
navigates to the Add Case File
screen.
Save and Add Air
Violations (only
available for Air Case
File and Air Case File
with NEI)
System saves the record and
navigates to the Add/Edit Air
Violations screen.
Cancel
System does not save the record
and navigates to Search Case File
screen.
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2.2 SAMPLE SCREEN
Case File screens will vary slightly depending on the Case File Type, as described in Table
1.2-1. Case File Add Screen Combinations.
Figure 2.2-1. Global Navigation – Federal User (FE&C) and Figure 2.2-2. Global
Navigation – Federal User (Air) provide an illustration of the Global Navigation for Federal
Users. Users can access the Search and Add Case File screens directly from the dropdown
menu.
Figure 2.2-1. Global Navigation – Federal User (FE&C)
Figure 2.2-2. Global Navigation – Federal User (Air)
Figure 2.2-3: Global Navigation – Delegated Agency User provides an illustration of the
Global Navigation for Delegated Agency Users. Note that an LCON user would see the Air
menu but not the NPDES menu. Users can access the Search and Add Case File screens directly
from the dropdown menu.
ICIS Case File
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OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
Figure 2.2-3: Global Navigation – Delegated Agency User
The following sample screens illustrate the Add Case File screen for a Delegated Agency Case
File from the perspective of a State user.
ICIS Case File
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Figure 2.2-4. Add Delegated Agency Case File: Air Case File
ICIS Case File
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Figure 2.2-5. Add Delegated Agency Case File: Air Case File Continued
ICIS Case File
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OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
Figure 2.2-6. Add Delegated Agency Case File: Air Case File Continued
The following sample screens illustrate the Add Case File screen for different types of Federal
Case Files.
ICIS Case File
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Figure 2.2-7. Add Federal Case File: Air Case File with NEI
ICIS Case File
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Figure 2.2-8. Add Federal Case File: Air Case File with NEI Continued
ICIS Case File
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Figure 2.2-9. Add Federal Case File: Air Case File with NEI Continued
ICIS Case File
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Figure 2.2-10. Add Federal Case File: Air Case File with NEI Continued
ICIS Case File
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Figure 2.2-11. Add Federal Non-Air Case File
ICIS Case File
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Figure 2.2-12. Add Federal Non-Air Case File Continued
ICIS Case File
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OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
Figure 2.2-13. Add Federal Non-Air Case File Continued
If the Add Case File activity is initiated from an Add/Link Case File dropdown on a List of Case
Files Eligible to be Linked to the <Module> Screen, a different Facilities section will be
displayed on the Add screen.
If the source record has only one Facility, then the system will select the Link checkbox next to
that Facility for the user. If the source record has more than one Facility, then the system will
leave the checkboxes blank, and the user will be required to affirmatively select Facilities by
clicking the Link checkbox next to the desired Facility. Federal Non-Air Case Files can be
associated with one or more Facilities while Air DA Case Files, Federal Air Case Files, and
Federal Air Case Files with NEI can be associated with one and only one Facility. If the user
does not select a Facility, or selects more than one for an Air Case File (Air DA Case File,
Federal Air Case File, Federal Air Case File with NEI), they will receive an error message upon
Save.
If the user searches for Facilities to link and selects one for Air Case Files, the system will
remove any previously listed Facilities (regardless of whether they have been checked) and will
replace them with the searched for and selected Facility, which will be set to checked.
If the user searches for Facilities to link, and selects one or more for Federal Non-Air Case Files,
the system will add the newly selected Facilities to the previously listed Facilities (regardless of
whether they have been checked). The newly selected Facility(ies) will be set to checked.
ICIS Case File
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OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
Figure 2.2-14. Add Case File: Facilities from Add/Link Case File shows the Facilities portion
of the screen when the Add was initiated from the Add/Link Case File dropdown.
Figure 2.2-14. Add Case File: Facilities from Add/Link Case File
2.3 USE CASE
Table 2.3-1. Use Case: Add Case File contains the use case for adding a Case File. The use
case provides the steps for user input and the system response that corresponds to each user
action.
ICIS Case File
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Table 2.3-1. Use Case: Add Case File
ICIS Case File
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Step
1.
User Input
User indicates the desire to add a Case File.
2.
ICIS Case File
System Response
System verifies user privileges.
System displays the Add Case File screen:
•
For a State or LCON user, system displays the Add DA CF
screen with Case File Type set to Air Case File.
•
For a Federal user, if user selected Air Case File - Federal,
system displays the Add Federal CF screen with Case File
Type set to Air Case File.
•
For a Federal user, if user selected Air Case File - State,
system displays the Add DA CF screen with Case File
Type set to Air Case File.
•
For a Federal user, if user selected Air Case File - LCON,
system displays the Add DA CF screen with Case File
Type set to Air Case File.
•
For a Federal User, if user selected Air Case File with NEI
– Federal, system displays the Add Federal CF screen with
Case File Type set to Air Case File with NEI.
•
For a Federal User, if user selected NEI – Federal, system
displays the Add Federal CF screen with Case File Type
set to National Enforcement Initiative Determination.
•
For a Federal User, if user selected Other – Federal, system
displays the Add Federal CF screen with a dropdown for
Case File Type (includes all active values except Air Case
File, Air Case File with NEI, and National Enforcement
Initiative Determination).
System pre-populates the Facility information based on the
source record (i.e., Facility ID, Facility Site Name, and Facility
Address) if user initiates Add Case File from any of the
following sources:

The Add Case File dropdown on the List of Case
Files Linked to the Facility screen

The Add/Link Case File dropdown at the bottom of
the Voluntary Disclosures or Edit Federal
Compliance Monitoring Activity screens

The Add/Link Case File dropdown on the List of
Case Files Eligible to be Linked to the <Module>
screens.
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OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
Step
3.
User Input
User enters the data and saves.
System Response
System validates data against business rules.
If processing of the data results in an error/exception condition,
the
•
System generates an error message and rejects the
transaction.
•
Use case continues at Step 2 for data correction unless the
user cancels or exits the transaction.
Else
•
System saves the record to the database
•
If the selected Facility is a non-ICIS owned interest
(i.e., it is not ICIS, NPDES, or AIR) and it does not
exist in the icis_facility_interest table, the system
copies the interest from frs_facility_site to
icis_facility_interest.
•
If the Add was initiated from a Compliance
Monitoring Activity, a Voluntary Disclosure, or a List
of Case Files Eligible to be Linked to the <Module>
screen and the Case File has at least one Facility in
common with the initiating record, the Case File is
also linked to the source using Related Activities
Pipeline Processing.
System determines if Case File Type = Air Case File or Air
Case File with NEI.
4.
If Case File Type = Air Case File or Air Case File with NEI, the
system performs Background Processing (BGP):
•
Identify Linked Pathway Activities and Set Case File
Status Type BGP
Else
•
Use case terminates.
5.
Use case terminates.
3. SEARCH CASE FILES
This section provides a summary of screen navigation, sample screens and a use case for the
Search Case File function.
The Search Case File functionality is shared between existing ICIS and ICIS-Air. Users may
search on Facility Information, Case File Information, Location Information, Pathway Activities,
National Enforcement Initiative Determination, Air Specific Information, or User Defined
Fields.
The Search Case File Results screen will, by default, display up to 200 records that match the
criteria entered on the Search Case Files screen. The user may change that to display up to 500
records if that is their preference. The Search Results screen will default the sort order according
to Case File ID. The Case File ID column will be sorted alphabetically in ascending order.
Users will be able to click on Case File ID, Case File Name, Case File Type, Status,
Programmatic ID/Facility Site Name, Enforcement Response Policy, Determination Date, and
HPV Day Zero Date column headers to re-sort the Search Results by a specific column of data.
ICIS Case File
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The default sort when a column is clicked is alphabetical ascending. For date fields, the default
sort when a column is clicked lists most current date to least current date. If the column is
clicked twice the sort will change to alphabetical descending. For date fields, it will list least
current dates to most current dates.
In the search results list, each record’s Case File ID will be a hyperlink. By clicking on the
hyperlink, the system will navigate to the View/Edit screen for that specific record.
Within the Air Specific Information section, users have the ability to search on Air Programs.
The Air Programs field type ahead will display Federal and DA Air Programs (where
ref_program.program_category_code=AIR). Federal Air Programs (where
ref_program.program_category_code=AIR and where activity_filter_code has
ref_activity_filter.air_da_flag=N) will be displayed with Program description first, followed by
its corresponding activity filter code description in parentheses, i.e. (EPA only), followed by the
Program code in parentheses. The activity filter code description is hardcoded within the search
results program values, so ICIS will not return search results for the activity filter description, i.e.
“(EPA only)”, portion that follows the program description. Air DA Programs will be displayed
with Program description first, followed by the Program code in parentheses. Air Programs will
be sorted ascending by Air Sort Order. Note: Federal Air Programs do not have an assigned sort
order, so they will appear last in the list of values.
3.1 SCREEN NAVIGATION ACTIONS
Table 3.1-1. Screen Navigation: Search Case Files provides a list of the navigation options
when searching for a Case File record. Entry Point describes how the user navigates to the
specific screen to perform the action. User Action describes the actions performed by the user on
the screen. Exit Point describes the results of the user’s action.
Table 3.1-1. Screen Navigation: Search Case Files
Entry Point
Home → Search → Case Files
User Action
Search
Exit Point
System performs search and
displays the Search Results screen
with data that match the search
criteria.
Clear
System clears the user-entered
data on the screen.
Cancel
System does not perform search
and navigates to the Home screen.
3.2 SAMPLE SCREEN
The following sample screens illustrate the Search Case Files and Search Case File Results
screens. The following is a list of sections on the Search Case File screen:



Facility Information
Case File Information
Location Information
ICIS Case File
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OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE




Pathway Activities
National Enforcement Initiative Determination
Air Specific Information
User Defined Fields 1-5.
If a user chooses to enter search criteria for City Code (Location Information section), the user
must first select a State. Once a State has been selected, a user may enter search criteria for City
Code, which will be an autocomplete and will filter results as criteria is typed. ICIS will list
results based on City Name, but the autocomplete filtering will display “City Name (County
Name, State Code) City Code”.
Figure 3.2-1. Search Case Files
ICIS Case File
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OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
Figure 3.2-2. Search Case Files Continued
ICIS Case File
27
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Figure 3.2-3. Search Case Files Continued
ICIS Case File
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OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
Figure 3.2-4. Search Case File Results
3.3 USE CASE
Table 3.3-1. Use Case: Search Case File contains the use case for searching for a Case File
record. The use case provides the steps for user input and the system response that corresponds
to each user action.
Table 3.3-1. Use Case: Search Case File
Step
1.
User Input
User enters search criteria and indicates the desire
to Search a Case File.
2.
Use case terminates.
ICIS Case File
System Response
System returns the search results with a list of Case Files
matching user entered criteria.
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OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
4. EDIT CASE FILE
This section provides a summary of screen navigation, sample screens, and a use case for the
Edit Case File function.
It should be noted that on the Edit Delegated Agency Case File screen, Case File Identifier, Case
File Type, Status Type, Programmatic System Acronym, Federal Statute, Enforcement Response
Policy, Earliest FRV Determination Date, and Earliest HPV Determination Date cannot be
edited. On the Edit Federal Case File screen, LCON, Case File Identifier, and Added Programs
cannot be edited.
4.1 SCREEN NAVIGATION ACTIONS
Table 4.1-1. Screen Navigation: View/Edit Case File provides a list of the navigation options
when editing a Case File record. Entry Point describes how the user navigates to the specific
screen to perform the action. User Action describes the actions performed by the user on the
screen. Exit Point describes the results of the user’s action.
Table 4.1-1. Screen Navigation: View/Edit Case File
Entry Point
Home → Search Facility → Facility Search Results →
View/Edit Facility → Case File tab → View/Edit Case File
Home → Search Case File → Search Case File Results →
View/Edit Case File
Home → Add Case File
ICIS Case File
User Action
Save
Exit Point
System saves the record and
remains on the View/Edit screen
of the current record.
Save and Add Another
System saves the record and
navigates to the Add Case File
screen.
Save and Add Air
Violations (only
available for Air Case
File and Air Case File
with NEI)
System saves the record and
navigates to the Add/Edit Air
Violations screen.
Cancel
System does not save the record
and navigates to the Home
screen.
Save
System saves the record and
remains on the View/Edit screen
of the current record.
Save and Add Another
System saves the record and
navigates to the Add Case File
screen.
Save and Add Air
Violations (only
available for Air Case
File and Air Case File
with NEI)
System saves the record and
navigates to the Add/Edit Air
Violations screen.
Cancel
System does not save the record
and navigates to Search Case
File Result screen.
Save
System saves the record and
remains on the View/Edit screen
of the current record.
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OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
Entry Point
Home → Other Module Location → Case File tab→
View/Edit Case File
User Action
Save and Add Another
Exit Point
System saves the record and
navigates to the Add Case File
screen.
Save and Add Air
Violations (only
available for Air Case
File and Air Case File
with NEI)
System saves the record and
navigates to the Add/Edit Air
Violations screen.
Cancel
System does not save the record
and navigates to Search Case
File screen.
Save
System saves the record and
remains on the View/Edit screen
of the current record.
Save and Add Another
System saves the record and
navigates to the Add Case File
screen.
Save and Add Air
Violations (only
available for Air Case
File and Air Case File
with NEI)
System saves the record and
navigates to the Add/Edit Air
Violations screen.
Cancel
System does not save the record
and navigates to the Home
screen.
4.2 SAMPLE SCREEN
Case File screens will vary slightly depending on the Case File Type. The following is a list of
data areas on the Edit Case File Screen for all Case File Types:













Basic Information
Linked Facility
Statutes
Programs
Case File Information
Case File Dates
Applicable Pollutants
Pathway Information
Initiatives
Cross Media Indicators
Government Contacts
User Defined Fields
Comments.
The following sample screens illustrate the Edit Case File screen for a Delegated Agency Case
File.
ICIS Case File
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Figure 4.2-1. Edit Delegated Agency Case File: Air Case File
ICIS Case File
32
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Figure 4.2-2. Edit Delegated Agency Case File: Air Case File Continued
ICIS Case File
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Figure 4.2-3. Edit Delegated Agency Case File: Air Case File Continued
The following sample screens illustrate the Edit Case File screen for different types of Federal
Case Files.
ICIS Case File
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Figure 4.2-4. Edit Federal Air Case File with NEI
ICIS Case File
35
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Figure 4.2-5. Edit Federal Air Case File with NEI Continued
ICIS Case File
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Figure 4.2-6. Edit Federal Air Case File with NEI Continued
ICIS Case File
37
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Figure 4.2-7. Edit Federal Air Case File with NEI Continued
ICIS Case File
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Figure 4.2-8. Edit Federal Non-Air Case File
ICIS Case File
39
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Figure 4.2-9. Edit Federal Non-Air Case File Continued
ICIS Case File
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Figure 4.2-10. Edit Federal Non-Air Case File Continued
Figure 4.2-11. Add/Edit Sub Activities (Air) and
Figure 4.2-12. Add/Edit Sub Activities (Non-Air) illustrate the Add/Edit Sub Activities screen
in which a user can add, edit, and delete sub activities. Sub Activities are accessed via the Sub
Activities sub-link on Federal Edit Case File screens.
ICIS Case File
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OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
Figure 4.2-11. Add/Edit Sub Activities (Air)
Figure 4.2-12. Add/Edit Sub Activities (Non-Air)
Note: the audit data for sub activities will be for the sub activity with the latest modified by/date.
ICIS Case File
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OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
Figure 4.2-13. Add/Edit Sensitive Comments illustrates the Add and Edit Sensitive Comments
screen from the perspective of a State user. Sensitive Comments are accessed via the Sensitive
Comments sub-link on the Edit Case File screens for Air Case Files (Case File Type = Air Case
File or Air Case File with NEI).
Figure 4.2-13. Add/Edit Sensitive Comments
4.3 USE CASE
Table 4.3-1. Use Case: Edit Case File contains the use case for editing a Case File record for all
Case File Types. The use case provides the steps for user input and the system response that
corresponds to each user action.
Table 4.3-1. Use Case: Edit Case File
Step
1.
2.
User Input
User searches for the record
to edit.
User indicates the desire to
edit a Case File.
3.
ICIS Case File
System Response
System provides a list of records that match the search criteria.
System verifies user privileges.
System displays the View/Edit Case File screen.
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OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
Step
4.
User Input
User edits the data and saves.
If processing of the data results in an error/exception condition, the
•
System generates an error message and rejects the transaction.
•
Use case continues at Step 2 for data correction unless the user cancels or
exits the transaction.
Else
•
System saves the record to the database.
•
If the selected Facility is a non-ICIS owned interest (i.e., it is not ICIS,
NPDES, or AIR) and it does not exist in the icis_facility_interest table, the
system copies the interest from frs_facility_site to icis_facility_interest.
System determines if Case File Type = Air Case File or Air Case File with NEI.
5.
6.
7.
System Response
System validates data against business rules.
User clicks the Sub Activities
link. (Federal Case Files only)
User enters data for a new sub
activity and saves.
If Case File Type = Air Case File or Air Case File with NEI, system performs
Background Processing:
•
Identify Linked Pathway Activities and Set Case File Status BGP
•
Set Enforcement Response Policy BGP
Else
•
Use case continues at Step 6.
System displays the Add/Edit Sub Activities screen; if there are no sub activities
for the record currently, a single blank row appears.
System validates data for all sub activities on the screen against business rules.
If processing of the data results in an error/exception condition, the
•
•
8.
9.
User indicates the desire to
add a new sub activity.
User edits data in an existing
sub activity and saves.
System generates an error message and rejects the transaction.
Use case continues at Step 7 for data correction unless the user cancels or
exits the transaction.
Else
•
System saves the record(s) to the database.
The system adds a new blank row for data entry on the same screen.
System validates data for all sub activities with at least one data element entered
on the screen against business rules.
If processing of the data results in an error/exception condition, the
•
•
10.
User marks some sub
activities for deletion and
saves.
Else
•
System saves the record(s) to the database.
System validates data against business rules.
If processing of the data results in an error/exception condition, the
•
•
11.
User clicks the Sensitive
Comments link. (Air Case
Files only)
ICIS Case File
System generates an error message and rejects the transaction.
Use case continues at Step 9 for data correction unless the user cancels or
exits the transaction.
System generates an error message and rejects the transaction.
Use case continues at Step 10 for data correction unless the user cancels or
exits the transaction.
Else
•
System deletes the marked records from the database and saves edits to any
remaining sub activities.
System displays the Sensitive Comments screen.
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OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
Step
12.
User Input
User edits the data and saves.
System Response
System validates data against business rules.
If processing of the data results in an error/exception condition, the
•
System generates an error message and rejects the transaction.
•
Use case continues at Step 12 for data correction unless the user cancels or
exits the transaction.
Else
•
System saves the record to the database.
13.
Use case terminates.
ICIS Case File
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5. ADD/EDIT AIR VIOLATION
This section provides a summary of screen navigation, sample screens and a use case for the
Add/Edit Air Violation function.
Users will be able to enter Air Violation data only if the Case File Type is Air Case File or Air
Case File with NEI and the user has Enforcement Sensitive privileges.
At a minimum, the following data elements must be populated to add an Air Violation:


Violation Type
Program.
5.1 SCREEN NAVIGATION ACTIONS
Table 5.1-1. Screen Navigation: Add/Edit Case File Air Violations provides a list of the
navigation options when adding/editing a Case File Air Violation record. Entry Point describes
how the user navigates to the specific screen to perform the action. User Action describes the
actions performed by the user on the screen. Exit Point describes the results of the user’s action.
Table 5.1-1. Screen Navigation: Add/Edit Case File Air Violations
Entry Point
Home → Search Facility → Facility Search Results →
View/Edit Facility → Case File tab → View/Edit Case File
→ Add/Edit Air Violation
Save
User Action
Exit Point
System saves the record and
navigates to the Add/Edit screen
of the current record.
Home → Search Case File → Search Results → View/Edit
Case File → Add/Edit Air Violation
Save
System saves the record and
navigates to the Add/Edit screen
of the current record.
Home → Add Case File → Save and Add Air Violation
Save
System saves the record and
navigates to the Add/Edit screen
of the current record.
Home → Other Module Location → Case File tab→
View/Edit Case File → Add/Edit Air Violation
Save
System saves the record and
navigates to the Add/Edit screen
of the current record.
5.2 SAMPLE SCREEN
The following is a list of data areas on the Add/Edit Case File Air Violation screen:


Facility Advised of Violation
Air FRV/HPV Details
When adding an Air Violation, some data at the Case File level may also be updated. These data
are:



Enforcement Response Policy
Earliest FRV Determination Date
Earliest HPV Day Zero Date
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OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
The following sample screens illustrate the Add/Edit Case File Air Violation screens from the
perspective of a State user.
Figure 5.2-1. Add/Edit Air Violations
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OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
Figure 5.2-2. Add Air Violation
5.3 USE CASE
Table 5.3-1. Use Case: Add/Edit Case File Air Violation contains the use case for adding or
editing Air Violations. The use case provides the steps for user input and the system response
that corresponds to each user action.
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OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
Table 5.3-1. Use Case: Add/Edit Case File Air Violation
Step
1.
User Input
User searches for the record to edit.
System Response
System provides a list of records that match the search criteria.
2.
User indicates the desire to edit a Case File.
System verifies user privileges.
3.
System displays the View/Edit Case File screen.
4.
User selects the Air Violation link.
5.
User adds or edits the data and saves.
If processing of the data results in an error/exception condition,
the
•
System generates an error message and rejects the
transaction.
•
Use case continues at Step 4 for data correction unless the
user cancels or exits the transaction.
Else
•
System saves the record to the database.
•
System updates the Case File data fields per business rules.
System performs Background Processing:
•
Set Enforcement Response Policy BGP
6.
7.
System displays the Add/Edit Air Violation screen.
System validates data against business rules.
Use case terminates.
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OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
6. DELETE CASE FILE
This section provides a summary of screen navigation, sample screens and a use case for the
Delete Case File function.
6.1 SCREEN NAVIGATION ACTIONS
Table 6.1-1. Screen Navigation: Delete Case File provides a list of the navigation options when
deleting a Case File record. Entry Point describes how the user navigates to the specific screen to
perform the action. User Action describes the actions performed by the user on the screen. Exit
Point describes the results of the user’s action.
Table 6.1-1. Screen Navigation: Delete Case File
Entry Point
Home → Search Facility → Facility Search Results →
View/Edit Facility → Case File tab → Delete Case File
Home → Search Case File → Search Case File Results →
Delete Case File
Home → Other Module Location → Case File tab → List
Case File → Delete Case File
User Action
Yes
Exit Point
System deletes the record and
navigates to the List Case File
screen.
Cancel
System does not delete the record
and navigates to the List Case File
screen.
Yes
System deletes the record and
navigates to the List Case File
screen.
Cancel
System does not delete the record
and navigates to the List Case File
screen.
Yes
System deletes the record and
navigates to the List Case File
screen.
Cancel
System does not delete the record
and navigates to the List Case File
screen.
6.2 SAMPLE SCREEN
Figure 6.2-1. Delete Case File below illustrates the warning/ confirmation message Delegated
Agency users receive when deleting a Case File.
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OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
Figure 6.2-1. Delete Case File
6.3 USE CASE
Table 6.3-1. Use Case: Delete Case File contains the use case for deleting a Case File record.
The use case provides the basic steps, user input and system response that apply to that step. The
Delete link will only display if the user has privileges to Delete.
Table 6.3-1. Use Case: Delete Case File
Step
1.
2.
3.
User Input
User searches for the record to
delete.
User indicates the desire to
delete a Case File.
User confirms deletion.
System Response
System provides a list of records that match the search criteria.
If the record is linked to other records:
•
System prompts user to confirm the deletion or cancel with a list of the types of
records that may be linked to the record being removed.
Else
•
System prompts user to confirm the deletion or cancel.
System validates against the business rules.
If processing of the data results in an error/exception condition, the
•
System generates an error message and rejects the transaction.
•
4.
Use case continues at Step 2 for data correction unless the user cancels or exits
the transaction.
Use case terminates.
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OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
7. LINK/UNLINK CASE FILE
Case Files can be linked or unlinked to other Activities including:







Other Case Files (DA Case Files only)
Compliance Monitoring Activities
Compliance Assistance Activities (Federal Case Files only)
Voluntary Disclosures (Federal Case Files only)
Alternative Dispute Resolutions (ADRs) (Federal Case Files only)
Incidents (Federal Case Files only)
Enforcement Actions.
To link or unlink a DA Case File to another Case File, a user must click on the Linked Case File
link from the Edit screen of a Case File record. After clicking the link, the List of Case Files
Linked to the Case File screen is displayed. It shows a list of Case Files that are linked to the
Case File being edited. If no Case Files are linked, then the list will be blank. From this screen,
a user may link Case Files or unlink Case Files that are already linked. (Federal Case Files can
be linked to each other through Related Activities/Pipeline functionality.)
To link Case Files, a user clicks List to Link, the List of Case Files Eligible to be Linked to the
Case File screen is displayed, and it allows users to see a list of all the Case Files that are eligible
to be linked to the current Case File based on a common Facility Interest. A user may select one
or multiple Case Files from this list to link to the source Case File record. Alternatively, a user
may select an option from the Add/Link Case File dropdown on the List of Case Files Eligible to
be Linked to the Case File screen. This dropdown will launch the selected Add Case File screen
prepopulated with the Facility(ies) from the source record. Upon save, if the target Case File still
has at least one facility in common with the source record, the system will link the two records
using Related Activities Pipeline Processing. Table 8.1-3.Add/Link Case File List Dropdown
Options in Section 8 details the values for the dropdown list based on the user and the source
record.
To link other types of records to a Case File the user will navigate from the Edit Case File screen
to the tab for the record type the user wants to link (e.g., Compliance Monitoring tab). When
linking a Delegated Agency Case File to any other Activities, it must not already be linked to the
current Case File. See Section 8. Case File List Screens for a description of the behavior of Case
File screens. These screens will also have an Add/Link Case File dropdown.
This section provides a summary of screen navigation, sample screens and a use case for the
Link and Unlink Case File functions. In this section, the example shows linking and unlinking a
Case File to a Case File only.
7.1 SCREEN NAVIGATION ACTIONS
Table 7.1-1. Screen Navigation: Link Case File provides navigation flow for linking a Case
File record and another existing Case File record. Entry Point describes how the user navigates to
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OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
the specific screen to perform the action. User Action describes the actions performed by the user
on the screen. Exit Point describes the results of the user’s action.
Table 7.1-1. Screen Navigation: Link Case File
Entry Point
Home → Search Facility → Facility Search Results →
View/Edit Facility → Case File tab→ List Case File →
View/Edit Case File → Linked Case Files → List to Link →
List of Case Files Eligible to be Linked to the Case File
Home → Search Case File → Search Results-List Case File
→ View/Edit Case File → Linked Case File → List to Link
→ List of Case Files Eligible to be Linked to the Case File
User Action
User selects records
and selects Link.
Exit Point
System creates links between the
selected records to the current
record and navigates to the List of
Case Files Linked to the Case File
screen.
Cancel
System does not link the records
and navigates to the List of Case
Files Linked to the Case File
screen.
User selects records
and selects Link.
System creates links between the
selected records to the current
record and navigates to the List of
Case Files Linked to the Case File
screen.
Cancel
System does not link the records
and navigates to the List of Case
Files Linked to the Case File
screen.
Table 7.1-2. Screen Navigation: Unlink Case File provides navigation flow for unlinking a
Case File and another existing Case File. Entry Point describes how the user navigates to the
specific screen to perform the action. User Action describes the actions performed by the user on
the screen. Exit Point describes the results of the user’s action.
Table 7.1-2. Screen Navigation: Unlink Case File
Entry Point
Home → Search Facility → Search Results-List Facility →
View/Edit Facility → Case File → List Case File →
View/Edit Case File → Linked Case Files → List of Case
Files Linked to the Case File
User Action
User selects records
and selects Unlink.
Exit Point
System removes links between the
selected records from the current
record and refreshes the List of
Case Files Linked to the Case File
screen.
Home → Search Case File → Search Results-List Case File
→ View/Edit Case File → Linked Case Files → List of Case
Files Linked to the Case File
User selects records
and selects Unlink.
System removes links between the
selected records from the current
record and refreshes the List of
Case Files Linked to the Case File
screen.
7.2 SAMPLE SCREEN
Figure 7.2-1. Air Delegated Agency List of Case Files Linked to the Case File and Figure
7.2-2. Air Delegated Agency List of Case Files Eligible to be Linked to the Case File below
illustrate the Delegated Agency Case File screens for linking and unlinking to other Case Files.
ICIS Case File
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OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
Figure 7.2-1. Air Delegated Agency List of Case Files Linked to the Case File
ICIS Case File
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OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
Figure 7.2-2. Air Delegated Agency List of Case Files Eligible to be Linked to the Case File
(EPA User)
ICIS Case File
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OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
7.3 USE CASE
Table 7.3-1. Use Case: Link Case File contains the use case for linking a Delegated Agency
Case File record. The use case provides the basic steps, user input and system response that
apply to that step. A user will only be able to link and unlink activities if the user has privileges
to Link/Unlink.
Table 7.3-1. Use Case: Link Case File
Step
1.
2.
User Input
User searches for the record to
edit.
User indicates the desire to edit
a Case File.
3.
4.
7.
8.
9.
System verifies user privileges.
System displays the View/Edit Case File screen.
User indicates the desire to link
the Case File and related Case
File.
5.
6.
System Response
System provides a list of records that match the search criteria.
User selects one or more Case
Files and selects Link.
User selects an option on the
Add/Link Case File dropdown.
System displays the List of Case Files Eligible to be Linked to the Case File
screen, which lists any Case Files that are eligible to be linked to the current
Case File based on the following business rules:
•
The Case File must be linked to at least one of the Facility Interests
associated with the current Case File.
•
The Case File must not already be linked to the current Case File.
If no Case Files that are eligible to Link to the current Case File are found,
the system:
•
Displays no results.
Else
•
Use case continues at Step 6.
System creates a link between each selected Case File to the current Case
File.
System launches the selected Add Case File screen, populating the Facilities
on the Add screen with the source Case File’s facilities.
Use case continues at the appropriate Add Case File use case.
Use case terminates.
Table 7.3-2. Use Case: Unlink Case File contains the use case for unlinking a Case File record.
The use case provides the basic steps, user input and system response that apply to that step.
Table 7.3-2. Use Case: Unlink Case File
Step
1.
2.
User Input
User searches for the record to
edit.
User indicates the desire to edit
a Case File.
3.
4.
5.
6.
User indicates the desire to
unlink the Case File and related
Case File
User selects one or more related
Case Files and selects Unlink.
Use case terminates.
ICIS Case File
System Response
System provides a list of records that match the search criteria.
System verifies user privileges.
System displays the View/Edit Case File screen.
System displays the List of Case Files Linked to the Case File screen.
System deletes the link between each selected Case File and the current Case
File, but it does not delete the unlinked Case Files.
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OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
8. CASE FILE LIST SCREENS
This use case is specific to the list screens for Case Files. For a general overview of tabs, sublinks, and list screens, refer to the ICIS Security and Navigation document.
Table 8-1. Modules with Case File List Screens lists the modules that have a Case File List
Screen that can be accessed through a tab or sub-link.
Table 8-1. Modules with Case File List Screens
Module
Facility
Incident
Voluntary Disclosure
(VD)
Compliance Monitoring
(CM)
Case File (CF)
Alternative Dispute
Resolution (ADR)
Enforcement Action (EA)
Compliance Assistance
Tab/Sub-link
Case File Tab
Case File Tab
Case File Tab
List Screen
List of Case Files Linked to the Facility
List of Case Files Linked to the Incident
List of Case Files Linked to the Voluntary Disclosure
Case File Tab
List of Case Files Linked to the Compliance Monitoring
Activity
List of Case Files Linked to the Case File (see Section 7)
List of Case Files Linked to the ADR
Linked Case Files Sub-link
Case File Tab
Case File Tab
Case File Tab
List of Case Files Linked to the Enforcement Action
List of Case Files Linked to the Compliance Assistance
Activity
Security will be applied to the list screens such that if a user clicks a tab or sub-link from within
a record to which they have access, that user will not see any linked activities that they are not
allowed to access. For example, if a State user with the sensitive data privilege looks at a nonsensitive EPA EA and then clicks the Case File tab, if the EA that the user was looking at was
linked to a sensitive LCON CF, the user will not be able to see the linkage between the EA
(which they can see) and the LCON sensitive record (which they cannot). See the ICIS Security
and Navigation document for details on which users can see which records.
Throughout this section, references to these List screens that apply to all the screens will use the
convention: List of Case Files Linked to the <Module>.
The system will display the list screen of linked Case Files (CFs) for a given module. Linked
Case Files may not be relevant for every type of record in a source module.
Table 8-2. Summary of User Access to Case File Tabs/Sub Links summarizes which users see
the Case File tabs/sub-links from the edit screens and any applicability rules or messages for
tabs. For example, an EPA user would see the Case File tab in all the listed source modules,
while State and LCON users would not have access to the tab in the FE&C only activities
(because they do not access those activities).
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Table 8-2. Summary of User Access to Case File Tabs/Sub Links
Facility
CF
EA
CF
EPA User
X
X
X
X
FE&C only activity
(i.e., Incident, Vol.
Disc., ADR, Comp.
Assist.)
X
State User
X
X
X
X
N/A
LCON User
X
X
X
X
N/A
8.1 SCREEN NAVIGATION ACTIONS
Table 8.1-1. Screen Navigation: Link/Unlink <Module> provides navigation flow for linking
a Case File record and another Module record. Entry Point describes how the user navigates to
the specific screen to perform the action. User Action describes the actions performed by the user
on the screen. Exit Point describes the results of the user’s action.
Table 8.1-1. Screen Navigation: Link/Unlink <Module>
Entry Point
Home → …→ View/Edit <Module> → Case File tab
User Action
User selects List to
Link and links records
Exit Point
System navigates to the List of
Case Files Eligible to be Linked to
the <Module> screen. User there
selects records to link and selects
Link. System navigates to the List
of Case Files Linked to the
<Module> screen.
User selects List to
Link and selects
Add/Link Case File
dropdown
System navigates to the List of
Case Files Eligible to be Linkd to
the <Module> screen. User there
selects Add/Link Case File
Dropdown. System navigates to
the selected Add Case File screen.
User selects Case File
records and selects
Unlink.
System unlinks the records and
navigates to the List of Case Files
Linked to the <Module> screen.
Table 8.1-2.Case File List Screen Details lists the data elements and their sources and
formatting for the List of Case Files Linked to the <Module> screen.
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Table 8.1-2.Case File List Screen Details
Case Files Linked to the <Module> Screen Details
1
Context Header
The header will display the header information for the record being edited as the header
elements are displayed on the Edit <Module> screen. See the Edit section of the ICIS Security
and Navigation document for the content of each module’s context headers.
2
Columns
The following columns will be displayed on the screen for each linked CF:
•
Case File ID – The Case File ID will be hyperlinked to provide a fast path to the Edit Case
File screen
•
Case File Name
– icis_comp_determination.comp_determination_uid
– icis_activity.activity_name
•
Case File Type
– Ref_comp_determination_type.comp_determination_type_desc (derived from
icis_comp_determination.comp_determination_type_code)
•
Status
– Ref_activity_status.activity_status_desc (derived from icis_activity.activity_status_code)
•
Programmatic ID/Facility Site Name – If there are multiple facilities, they will all be listed
in ID/Name pairs, with hard returns between pairs
– Icis_facility_interest.pgm_sys_acrnm
– Icis_facility_interest.pgm_sys_id
– Icis_facility_interest.facility_name
•
Enforcement Response Policy
– Ref_air_violation_severity.air_violation-severity_type_code (derived from
icis_comp_determination.enf_response_policy_code)
•
Determination Date
– Air Case Files: use stored procedure to find earliest FRV Determination Date based on
Air Case File Violations
– Other CF types: Icis_comp_determination.comp_determination_date
•
HPV Day Zero Date
– Use stored procedure to find earliest applicable HPV Day Zero Date
3.
Filtering
ICIS Case File
•
Actions – This column will provide actions for individual records. See Individual Record
Actions below. This column will not display for sub-link list screens.
•
Users will have the ability to filter the list by making an entry in the Filter box. This box
filters the records to identify those that have the entered text; it has an implicit starting and
ending wild card.
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OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
Case Files Linked to the <Module> Screen Details
4.
Sorting
•
The default sort order is by Case File Identifier in ascending order.
•
All columns will be dynamically sortable.
– When the up arrow icon next to the column header is clicked, the results will display in
‘ascending’ order for that particular column.
– When the down arrow icon next to the column header is clicked, the results will display
in ‘descending’ order for that particular column.
– Columns can also be sorted by clicking the column header; once for ascending, twice for
descending.
5.
Pagination and
Navigation
•
Sorting functionality will be implemented on the entire result list (globally and not per
page). If the user sorts on the Activity Name the first time, results will be displayed by
Activity Name in ascending order. If the user moves onto Page 3 and clicks on a column
header, the user will be taken back to Page 1 with the results sorted in ascending order.
•
All Case Files linked to the <Module> will be displayed, even if there are more than 500
•
A default of 200 records will be displayed per page, and the user will have the ability to
indicate whether to change that default to the following options:
–
–
–
–
–
–
Individual
Record Actions
25
50
100
200
All
•
Users will have the ability to filter the linked Case Files by making an entry in the filter
box. This box filters the records to identify those that have the entered text; it has an
implicit starting and ending wild card.
•
Each page will show the number of records in the following format: Showing # to # of #
entries (e.g., Showing 1 to 200 of 550 entries)
•
Users can navigate among multiple pages by using the following options:
–
–
–
–
–
6.
10
First: takes the user to the first page
Previous: takes the user to the previous page
<#>: takes the user to the specific page
Next: takes the user to the next page
Last: takes the user to the last page
The following actions will be listed next to each record for tab based list screens.
•
Delete
– Executes the Delete CF use case.
– If the user executes Delete and has the delete privilege and geographic access to the
record, the selected record will be deleted, and the screen will refresh and return the user
to the List of Case Files Linked to the <Module> screen
o If the user does not have the privileges to delete the record, they will receive
the following error message: “Sorry, you do not have the privilege to finish
the transaction.”
7.
Link and Unlink
Actions
ICIS Case File
NPDES and Air screens allow users to link and unlink records directly on the List of Case Files
Linked to the <Module> screen. These screens are:
•
List of Case Files Linked to the Case File
•
List of Case Files Linked to the Enforcement Action
•
List of Case Files Linked to the Compliance Monitoring Activity
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OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
Case Files Linked to the <Module> Screen Details
The two choices on the List of Case Files Linked to the <Module> screen are:
•
Unlink: Must be used in conjunction with selecting one or more already linked CFs to
unlink from the source record on the List of Case Files Linked to the <Module> screen.
– The user must have the Link/Unlink Case File privilege or this button will not display
– The user will be able to select multiple CFs to unlink using either a select all function or
individually selecting and de-selecting records. Select All will apply only to the current
screen’s records.
– If the user attempts to unlink without selecting any records, they will receive an error
message
– Upon selecting the unlink option after selecting one or more CFs, the system will return
the user to the List of Case Files Linked to the <Module> screen with the unlinked
record(s) removed from the List; if the unlinked CF is of Type Air Case File or Air Case
File with NEI, and it has been unlinked from a Compliance Monitoring Activity or an
Enforcement Action, the system calls Identify Linked Pathway Activities and Set Case
File Status Type background processing for each unlinked Case File.
•
List to Link: displays the List of Case Files Eligible to be Linked to the <Module> screen
– The user must have the Link/Unlink Case File privilege, or this button will not display
– The list of eligible CFs screen will list CFs meeting the following criteria:
o The CF must be linked to at least one of the Facility Interests in the source record
o The CF must not already be linked to the source record
– On the list of eligible CFs screen, the user will be able to select multiple eligible CFs to
link.
– There will be a Select All checkbox and the ability to individually select and de-select
records. Select All will apply only to the current screen’s records.
– There will be a Cancel button which takes the user back to the List of Case Files Linked
to the <Module> screen without linking any records.
– If the user attempts to link without selecting any records, they will receive an error
message.
– Upon selecting the link option after selecting one or more CFs, the system will return the
user to the List of Case Files Linked to the <Module> screen which will display any
newly linked CFs;
o if the newly linked CF is of Type Air Case File or Air Case File with NEI, and it has
been linked to one or more Compliance Monitoring Activities or Enforcement
Actions, the system calls Identify Linked Pathway Activities and Set Case File
Status Type background processing for each newly linked Case File.
o On the List of Case Files Eligible to be Linked to the Enforcement Action screen, if
the Enforcement Action is non-sensitive and has been linked to any sensitive Case
Files of Type Air Case File or Air Case File with NEI, the system changes those
linked Air Case Files to non-sensitive
– This screen will use the same sorting and pagination as the main List of Case Files
Linked to the <Module> screen with one exception:
o If this is the List of Case Files Eligible to be Linked to the Enforcement Action, the
CFs will be grouped and sorted by the Facility’s Program System Acronym and
Program System ID. There will be a header for each new facility that displays the
Program System Acronym, Program System ID, and Facility Name
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Case Files Linked to the <Module> Screen Details
8.
Add Case File
Action from
Facility
The List of Case Files Linked to the Facility screen will display an Add Case File option that
allows the user to not only Add the record but also prepopulates the new Case File with the
facility from which the Add was initiated. If the user does not have the Add Case File privilege,
they will see the dropdown menu, but the links for adding records will be greyed out.
The user’s options for adding via this option rather than the global navigation vary based on the
user’s geography:
EPA User Add Options:
Add Case File:
•
Air Case File
– EPA: Initiates INS01: Add Federal CF with Type = Air Case File
– State: Initiates: Add Delegated Agency CF = Air Case File
– LCON: Initiates: Add Delegated Agency CF = Air Case Rile
•
Air Case File with NEI
– EPA: Initiates INS01: Add Federal CF with Type = Air Case File with NEI
•
National Enforcement Initiative Determination
– EPA: Initiates INS01: Add Federal CF with Type = National Enforcement Initiative
Determination
•
Other
– EPA: Initiates INS01: Add Federal CF with Type as a dropdown
State User Add Options:
•
Add Case File: Initiates: Add Delegated Agency CF
LCON User Add Options:
•
9.
Add/Link Case
File Option from
CF, EA, or CM
List of CFs
Eligible to be
Linked screens
Add Case File: Initiates: Add Delegated Agency CF
The List of Case Files Eligible to be Linked to the <Module> screens will display an Add/Link
Case File dropdown that allows the user to launch an Add Case File screen prepopulated with
the facilities from the source record. Upon saving, if the new target Case File has at least one
facility in common with the source record, the system will link the two records using Pipeline
Processing. Table 8.1-3.Add/Link Case File List Dropdown Options shows the dropdown
options.
The dropdown menus for the Add/Link Case File dropdowns on the List of Case Files Eligible to
be Linked to the <Module> screens will be tailored based on the following general principles and
will be consistent across an Activity within those constraints (e.g., all List of Case Files Eligible
to be Linked to the X screens will have the same Add drop down menu for EPA users with the
Add function):

User Geography: EPA, State, and DA users will have different add options
o EPA users will be able to add Federal, State Air, and LCON Air CFs
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o State users will be able to add State Air CFs
o LCON users will be able to add LCON CFs

User Functions:
o Users without the Add Case File function will have that link greyed out.

Source Activity program
o Users on a State NPDES activity will be prevented from adding a State or LCON
Air Case File via graying out of the link
o Users on a State or LCON Air Activity will be prevented from adding a State
NPDES Case File because there is no such thing as a State NPDES Case File, so
the link will not appear.
Table 8.1-3.Add/Link Case File List Dropdown OptionsTable 8.1-2.Case File List Screen
Details shows the possible Add/Link Case File dropdown menu options for List of Case Files
Eligible to be Linked to the <Module> screens based on the above principles.
Table 8.1-3.Add/Link Case File List Dropdown Options
User
Geog
EPA
State
LCON
Source Activity
FE&C
(EA, CM, CF)
User Has Add
Functions?
Yes
Add/Link Case File Dropdown Content
Air DA
(EA, CM, CF)
Yes
State NPDES
(EA, CM)
Yes
Any
(EA, CM, CF)
No
FE&C
Air DA
State NPDES
Any
FE&C
Air DA
State NPDES
Yes
Yes
Yes
No
Yes
Yes
Yes
Air Case File
Federal State LCON
Air Case File with NEI Federal
NEI
Federal
Other
Federal
Air Case File
Federal State LCON
Air Case File with NEI Federal
NEI
Federal
Other
Federal
Air Case File
Federal State LCON
Air Case File with NEI Federal
NEI
Federal
Other
Federal
Air Case File
Federal State LCON
Air Case File with NEI Federal
NEI
Federal
Other
Federal
N/A
Air Case File
State
Air Case File
State
Air Case File
State
N/A
Air Case File
LCON
Air Case File
LCON
Any
No
Air Case File
LCON
8.2 SAMPLE SCREEN
Figure 8.2-1 through Figure 8.2-3 below illustrate the List of Case Files Linked to the Facility
Screens with their special add options for each user geography.
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Figure 8.2-1. List of Case Files Linked to the Facility (EPA menu)
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Figure 8.2-2. List of Case Files Linked to the Facility (State menu)
Figure 8.2-3. List of Case Files Linked to the Facility (LCON menu)
Figure 8.2-4 through Figure 8.2-7 illustrate the screens to link Case Files to Compliance
Monitoring activities and to Enforcement Actions.
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Figure 8.2-4. List of Case Files Linked to the Enforcement Action
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Figure 8.2-5. List of Case Files Eligible to be Linked to the Enforcement Action
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Figure 8.2-6. List of Case Files Linked to the Compliance Monitoring Activity
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Figure 8.2-7. List of Case Files Eligible to be Linked to the CM Activity
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9. CASE FILE BACKGROUND PROCESSING
Background processes (BGPs) are used to generate and update ICIS-Air data related to Case
Files. These processes are user-initiated. For example, when a user links an activity to a Case
File, the actions may trigger a background process to run.
9.1 IDENTIFY LINKED PATHWAY ACTIVITIES AND SET CASE FILE STATUS TYPE
Linked Pathway Activities are Compliance Monitoring activities and Enforcement Actions that
are linked to the Case File and meet the criteria to be the Case File’s Discovery Action,
Notification Action, Addressing Action, or Resolving Action. Status Type is a Case File-level
field that is system-generated for Case Files of Type Air Case File or Air Case File with NEI.
This process evaluates the Case File’s Pathway Activities to determine the value for Status Type.
ICIS-Air will run the Identify Linked Pathway Activities and Set Case File Status Type BGP
against current live data if any of the following criteria are met:

User enters or updates any of the Other (manual) Pathway Activities or associated dates.

User links a Compliance Monitoring activity to a Case File.

User unlinks a Compliance Monitoring activity from a Case File.

User edits a Compliance Monitoring activity that is linked to a Case File.

User links a Formal or Informal Enforcement Action to a Case File.

User unlinks a Formal or Informal Enforcement Action from a Case File.

User edits a Formal or Informal Enforcement Action that is linked to a Case File.

User deletes a Compliance Monitoring Activity or Enforcement Action that is linked to a
Case File.
When this background process is triggered, it will recalculate all of the Linked Pathway
Activities for the Case File. If no values change in the following fields when the process runs,
the Updated By and Updated Date fields will not be changed:

Linked Discovery Action

Linked Discovery Action Date

Other Discovery Action

Other Discovery Action Date
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
Linked Notification Action

Linked Notification Action Date

Linked Addressing Action

Linked Addressing Action Date

Other Addressing Action

Other Addressing Action Date

Linked Resolving Action

Linked Resolving Action Date

Other Resolving Action

Other Resolving Action Date
Figure 9.1-1. Identify Linked Pathway Activities and Set Case File Status Type provides an
illustration of the overall process, which calls five sub-processes. A table detailing each step in
the flow also is included in this section.
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Figure 9.1-1. Identify Linked Pathway Activities and Set Case File Status Type
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Identify
Identify Linked
Linked
Pathway
Pathway
Activities
Activities and
and
Set
Set Case
Case File
File
Status
Type
Status Type
Yes
1.
1. Identify
Identify
Linked
Linked
Discovery
Discovery
Action
Action
2.
2. Identify
Identify
Linked
Linked
Notification
Notification
Action
Action
6B. Does Other
Addressing
Action database
flag = Y?
3.
3. Identify
Identify
Linked
Linked
Addressing
Addressing
Action
Action
No
No
6D.
6D. Identify
Identify
Linked
Linked
Addressing
Addressing
Action
Action
7A.
7A. Set
Set Other
Other
Resolving
Resolving Action/
Action/
Date
Date to
to Other
Other
Addressing
Addressing Action/
Action/
Date
Date
7B.
7B. Set
Set Case
Case
File
File Status
Status
Type
Type
End
End
No
6A.
6A. Does
Does aa
Resolving
Resolving and
and
Addressing
Addressing value
value
exist
for
Other
exist for Other
Addressing
Addressing
Action?
Action?
4.
4. Identify
Identify
Linked
Linked
Resolving
Resolving
Action
Action
6C.
6C. Set
Set database
database flag
flag
== NN
7. Does Other
Addressing
Action database
flag = Y?
Yes
Yes
Yes
5.
5. Are
Are Other
Other
Addressing
Addressing and
and
Linked
Linked
Addressing
Addressing
Actions
Actions Blank?
Blank?
No
Yes
6.
6. Are
Are Other
Other
Resolving
Resolving and
and
Linked
Linked Resolving
Resolving
Actions
Actions Blank?
Blank?
No
No
5A.
5A. Does
Does aa
Resolving
Resolving and
and
Addressing
Addressing value
value
exist
for
Other
exist for Other
Resolving
Resolving
Action?
Action?
No
5B.
5B. Does
Does aa value
value
exist
exist for
for Linked
Linked
Resolving
Resolving
Action?
Action?
Yes
5B1.
5B1. Set
Set Linked
Linked
Addressing
Addressing Action/
Action/
Date
to
Linked
Date to Linked
Resolving
Resolving Action/
Action/
Date
Date
Yes
5A1.
5A1. Set
Set Other
Other
Addressing
Addressing Action/
Action/
Date
Date to
to Other
Other
Resolving
Resolving Action/
Action/
Date
Date and
and set
set
database
database flag=Y
flag=Y
5C.
5C. Set
Set Case
Case
File
File Status
Status
Type
Type
End
End
8.
8. Was
Was Other
Other
Addressing
Addressing
Action/Date
Action/Date
blanked
blanked out?
out?
Yes
No
11.
11. Was
Was Other
Other
Resolving
Resolving
Action/Date
Action/Date
blanked
blanked out?
out?
Yes
12.
12. Blank
Blank out
out Other
Other
Resolving
Resolving and
and
Addressing
Addressing Action/
Action/
Date
Date and
and set
set
database
database flag
flag == NN
Yes
No
10.
10. Was
Was Other
Other
Resolving
Resolving
Action/Date
Action/Date
changed
changed (not
(not
blanked
blanked out)?
out)?
No
End
End
13.
13. Identify
Identify
Linked
Linked
Addressing
Addressing
Action
Action
14.
14. Set
Set Case
Case
File
File Status
Status
Type
Type
9A.
9A. Set
Set database
database
flag=N
flag=N
Yes
9. Was Other
Addressing
Action/Date
changed?
No
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Table 9.1-1. Identify Linked Pathway Activities and Set Case File Status Type Processing
contains a description of the items from the ID Linked Pathway Activities 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 Requirements
Table column references the specific requirements that are checked in that step. All requirements
relating to the flow can be found in Table 10-1. Case File Requirements.
Table 9.1-1. Identify Linked Pathway Activities and Set Case File Status Type Processing
Item
Number
Item Description
Mapping to
Requirements Table
1.
Identify Linked Discovery Action
System performs Identify Linked Discovery Action processing, which is described in
Table 9.1-3. Identify Linked Discovery Action Processing.
N/A
2.
Identify Linked Notification Action
System performs Identify Linked Notification Action processing, which is described in
Table 9.1-4. Identify Linked Notification Action Processing.
N/A
3.
Identify Linked Addressing Action
System performs Identify Linked Addressing Action processing, which is described in
Table 9.1-5. Identify Linked Addressing Action Processing.
N/A
4.
Identify Linked Resolving Action
System performs Identify Linked Resolving Action processing, which is described in
Table 9.1-6. Identify Linked Resolving Action Processing.
N/A
5.
Are Other Addressing and Linked Addressing Actions Blank?
System determines if both Other Addressing Action and Linked Addressing Action are
blank for this Case File. If both fields are blank, processing continues at Step 5A;
otherwise, processing continues at Step 6.
N/A
5A.
Does a Resolving and Addressing value exist for Other Resolving Action?
System determines if a value that is considered to be both Addressing and Resolving
exists for Other Resolving Action. If it does, processing continues at Step 5A1;
otherwise, processing continues at Step 5B.
N/A
5A1.
Set Other Addressing Action/Date to Other Resolving Action/Date and set database
flag=Y.
Because both Other Addressing Action and Linked Addressing Action are blank, the
system populates Other Addressing Action with the Other Resolving Action and Other
Addressing Action Date with Other Resolving Action Date and sets
ICIS_Comp_Det_Pathway.Rslv_to_Addr_Sys_Gen_Flag to ‘Y’. Processing continues at
Step 5C.
CF-102, CF-102D,
CF-102E, CF-102F,
CF-102G
5B.
Does a value exist for Linked Resolving Action?
System determines if a value exists for Linked Resolving Action. If it does, processing
continues at Step 5B1; otherwise, processing continues at Step 6.
N/A
5B1.
Set Linked Addressing Action/Date to Linked Resolving Action/Date
Because both Other Addressing Action and Linked Addressing Action are blank, the
system populates Linked Addressing Action with the Linked Resolving Action and
Linked Addressing Action Date with Linked Resolving Action Date. Processing
continues at Step 5C.
CF-103
5C.
Set Case File Status Type
System performs Set Case File Status Type processing, which is described in Table 9.1-7.
Set Case File Status Type Processing.
N/A
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Item
Number
Item Description
Mapping to
Requirements Table
6.
Are Other Resolving and Linked Resolving Actions Blank?
System determines if both Other Resolving Action and Linked Resolving Action are
blank for this Case File. If both fields are blank, processing continues at Step 6A;
otherwise, processing continues at Step 7.
N/A
6A.
Does a Resolving and Addressing value exist for Other Addressing Action?
System determines if a value that is considered to be both Addressing and Resolving
exists for Other Addressing Action. If it does, processing continues at Step 6A1;
otherwise, processing continues at Step 7.
N/A
6B.
Does Other Addressing Action database flag = Y?
If Other Addressing Action has ICIS_Comp_Det_Pathway.Rslv_to_Addr_Sys_Gen_Flag
= ‘Y’, then processing continues at Step 6C; otherwise, processing continues at Step 7A.
N/A
6C.
Set database flag = N
The system sets ICIS_Comp_Det_Pathway.Rslv_to_Addr_Sys_Gen_Flag to ‘N’.
Processing continues at Step 6D.
6D.
Identify Linked Addressing Action
System performs Identify Linked Addressing Action processing, which is described in
Table 9.1-5. Identify Linked Addressing Action Processing.
N/A
7.
Does Other Addressing Action database flag = Y?
If Other Addressing Action has ICIS_Comp_Det_Pathway.Rslv_to_Addr_Sys_Gen_Flag
= ‘Y’, then processing continues at Step 8; otherwise, processing continues at Step 7A.
N/A
7A.
Set Other Resolving Action / Date to Other Addressing Action / Date
Because both Other Resolving Action and Linked Resolving Action are blank and the
Other Addressing Action value is considered Addressing and Resolving, the system
populates Other Resolving Action with the Other Addressing Action and Other Resolving
Date with the Other Addressing Date. Processing continues at Step 6B.
CF-104
7B.
Set Case File Status Type
System performs Set Case File Status Type processing, which is described in Table 9.1-7.
Set Case File Status Type Processing.
N/A
8.
Was Other Addressing Action/Date blanked out?
System determines if Other Addressing Action and Other Addressing Action Date were
blanked out. If they were not, processing continues at Step 9; otherwise, processing
continues at Step 11.
N/A
9.
Was Other Addressing Action/Date changed?
System determines if Other Addressing Action and/or Other Addressing Action Date was
changed. If the one or both fields were changed, processing continues at Step 9A;
otherwise, processing continues at Step 10.
N/A
9A.
Set database flag = N
Because Other Addressing Action and/or Other Addressing Action Date was changed, the
system sets ICIS_Comp_Det_Pathway.Rslv_to_Addr_Sys_Gen_Flag to ‘N’. Processing
continues at Step 14.
CF-102A, CF-102B,
CF-102C
10.
Was Other Resolving Action/Date changed?
System determines if Other Resolving Action and/or Other Resolving Action Date was
changed. If the one or both fields were changed, processing continues at Step 5A1;
otherwise, processing continues at Step 11.
N/A
11.
Was Other Resolving Action/Date blanked out?
System determines if Other Resolving Action and Other Resolving Action Date were
blanked out. If they were, processing continues at Step 12; otherwise, processing
continues at Step 5A1.
N/A
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Item
Number
Item Description
Mapping to
Requirements Table
12.
Blank out Other Resolving and Addressing Action/Date and set database flag = N
System blanks out Other Resolving Action, Other Resolving Action Date, Other
Addressing Action, and Other Addressing Action Date and sets
ICIS_Comp_Det_Pathway.Rslv_to_Addr_Sys_Gen_Flag to ‘N’. Processing continues at
Step 13.
CF-102H
13.
Identify Linked Addressing Action
System performs Identify Linked Addressing Action processing, which is described in
Table 9.1-5. Identify Linked Addressing Action Processing.
N/A
14.
Set Case File Status Type
System performs Set Case File Status Type processing, which is described in Table 9.1-7.
Set Case File Status Type Processing.
N/A
The processing flow illustrates that Other Resolving Action/Date can be populated to the value
that the user provided for Other Addressing Action/Date, and vice versa. Only in the cases
where the Other Addressing Action/Date is populated based on the value that the user provided
for Other Resolving Action/Date, ICIS will track this auto-population by setting a database flag
(ICIS_Comp_Det_Pathway.Rslv_to_Addr_Sys_Gen_Flag). In the cases where the system has
flagged that the Other Addressing Action/Date record was set based on Other Resolving
Action/Date (i.e., Rslv_to_Addr_Sys_Gen_Flag=Y), the following scenarios apply:
1. User changes Other Addressing Action to any other value (either ‘Addressing only’ or
‘Addressing and Resolving’). The system updates the Addressing Action value as indicated
by the user and set flag=N.
2. User changes Other Addressing Action Date to a different value. If newly entered date passes
existing chronology business rules, the system updates the Other Addressing Action Date as
indicated by the user and sets the flag=N. If the newly entered date fails the existing
chronology business rules, the system returns an error. The change is not saved, and the flag
remains Y.
3. User changes Other Addressing Action to any other value (either ‘Addressing only’ or
‘Addressing and Resolving’) and changes Other Addressing Action Date. If newly entered
date passes existing chronology business rules, the system updates the Other Addressing
Action and Date as indicated by the user and sets the flag=N. If the newly entered date fails
the existing chronology business rules, the system returns an error. The change is not saved,
and the flag remains Y.
4. User blanks out Other Addressing Action and Date. The system sets Other Addressing
Action/Date to the values from Other Resolving Action Date. System (re)sets the flag to Y.
5. User blanks out Other Addressing Action but not Date. The system returns an error because it
fails existing business rule that if Date is entered, Action must be entered. The change is not
saved, and the flag remains Y.
6. User blanks out Other Addressing Action Date, but not Action. The system returns an error
because it fails existing business rule that if Action is entered, Date must be entered. The
change is not saved, and the flag remains Y.
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7. User changes Other Resolving Action to any other value. The system updates the Other
Resolving Action value as indicated by the user. The system updates the Other Addressing
Action value to match. The flag remains Y.
8. User changes Other Resolving Action Date to any other value. The system updates the Other
Resolving Action Date value as indicated by the user. The system updates the Other
Addressing Action Date value to match. The flag remains Y.
9. User changes both Other Resolving Action and Other Resolving Action Date. The system
updates the Other Resolving Action and Date values as indicated by the user. The system
updates the Other Addressing Action and Date values to match. The flag remains Y.
10. User blanks out Other Resolving Action but not Date. The system returns an error because it
fails existing business rule that if Date is entered, Action must be entered. The change is not
saved, and the flag remains Y.
11. User blanks out Other Resolving Action Date, but not Action. The system returns an error
because it fails existing business rule that if Action is entered, Date must be entered. The
change is not saved, and the flag remains Y.
12. User blanks out Other Resolving Action and Date. System blanks out Other Addressing
Action and Date (in addition to Other Resolving Action and Date), and sets the flag=N.
13. User blanks out Other Addressing Action and Date and Other Resolving Action and Date.
System blanks out Other Addressing Action and Date and Other Resolving Action and Date,
and sets the flag=N.
14. User links an Enforcement Action that qualifies as an Addressing Action and returns to Case
File screen, then deletes Other Addressing Action. The system displays Linked Addressing
Action and Other Resolving Action, and sets flag=N.
The following table further describes the expected results for the scenarios above. Some
scenarios listed in the Scenario column includes a reference number, which corresponds to the
number in the above list:
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Table 9.1-2. System Generation of Other Addressing Action/Date based on Other Resolving Action/Date Scenarios
Scenario
*all scenarios assume that no
Linked Pathway Activities exist
User adds a Case File record
with Other Resolving
Action/Date entered.
User adds a Case File record
with Other Addressing
Action/Date entered and the
value for Other Addressing
Action is an Addressing and
Resolving value.
User adds a Case File record
with Other Addressing
Action/Date entered and the
value for Other Addressing
Action is an Addressing Only
value.
User edits an existing record
where database flag = N. User
changes Other Addressing
Action Date and Other
Resolving Date to different
valid dates.
User edits an existing record
where database flag = N. User
blanks out Other Addressing
Action and Date.
User edits an existing record
where database flag = N. User
blanks out Other Resolving
Action and Date.
User edits an existing record
where database flag = Y. User
changes Other Addressing
Action to another Addressing
and Resolving value.
(Refer to #1 above)
User edits an existing record
where database flag = Y. User
ICIS Case File
Before
Other Pathway Activity Other Pathway
Date
(None)
(None)
User Edits
DB Other Pathway Activity
Flag
N Addr: (none)
Rslv: Close Out Memo
(None)
(None)
N
Addr: Close Out Memo Addr: 12/02/2012 Addr: Close Out Memo Addr: 12/02/2012
Rslv: (none)
Rslv: (none)
Rslv: Close Out Memo Rslv: 12/02/2012
N
(None)
(None)
N
Addr: Other Action
(Addressing Only)
Rslv: (none)
Addr: 11/01/2011
Rslv: (none)
N
Addr: Close Out Memo Addr: 12/02/2012 N
Rslv: Close Out Memo Rslv: 12/02/2012
Addr: Close Out Memo Addr: 11/01/2011 Addr: Close Out Memo Addr: 11/01/2011
Rslv: Close Out Memo Rslv: 11/01/2011 Rslv: Close Out Memo Rslv: 11/01/2011
N
Addr: Close Out Memo Addr: 11/01/2011 N
Rslv: Close Out Memo Rslv: 12/02/2012
Addr: (none)
Addr: (none)
Rslv: Close Out Memo Rslv: 12/02/2012
Addr: Close Out Memo Addr: 12/02/2012
Rslv: Close Out Memo Rslv: 12/02/2012
Y
Addr: Close Out Memo Addr: 11/01/2011 N
Rslv: Close Out Memo Rslv: 12/02/2012
Addr: Close Out Memo Addr: 12/01/2012 Addr: Close Out Memo Addr: 12/01/2012
Rslv: (none)
Rslv: (none)
Rslv: Close Out Memo Rslv: 12/02/2012
N
Addr: Close Out Memo Addr: 12/02/2012 Y
Rslv: Close Out Memo Rslv: 12/02/2012
Addr: Lead Change
Addr: 11/01/2011 Addr: Lead Change
Rslv: Close Out Memo Rslv: 12/02/2012 Rslv: Close Out Memo
Addr: 11/01/2011
Rslv: 12/02/2012
N
Addr: Close Out Memo Addr: 12/02/2012 Y
Rslv: Close Out Memo Rslv: 12/02/2012
Addr: Other Action
(Addressing Only)
Addr: 11/01/2011
Rslv: 12/02/2012
N
Other Pathway
Date
Addr: (none)
Rslv: 12/02/2012
After
Other Pathway Activity Other Pathway Date DB
Flag
Addr: Close Out Memo Addr: 12/02/2012
Y
Rslv: Close Out Memo Rslv: 12/02/2012
Addr: 11/01/2011 Addr: Other Action
Rslv: (none)
(Addressing Only)
Rslv: (none)
Addr: 11/01/2011 Addr: Other Action
Rslv: 12/02/2012 (Addressing Only)
78
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
changes Other Addressing
Action to an Addressing Only
value.
(Refer to #1 above)
User edits an existing record
where database flag = Y. User
changes Other Addressing
Action Date to a different valid
date.
(Refer to #2 above)
User edits an existing record
where database flag = Y. User
changes Other Addressing
Action Date and Other
Resolving Date to different
valid dates.
(Refer to #2 above)
User edits an existing record
where database flag = Y. User
changes Other Addressing
Action to another Addressing
and Resolving Action value and
changes Other Addressing
Date to a different valid date.
(Refer to #3 above)
User edits an existing record
where database flag = Y. User
changes Other Addressing
Action to an Addressing Only
value and changes Other
Addressing Date to a different
valid date.
(Refer to #3 above)
User edits an existing record
where database flag = Y. User
blanks out Other Addressing
Action and Date.
(Refer to #4 above)
User edits an existing record
where database flag = Y. User
blanks out Other Addressing
Action but not Date.
ICIS Case File
Rslv: Close Out Memo
Rslv: Close Out Memo
Addr: Close Out Memo Addr: 12/02/2012 Y
Rslv: Close Out Memo Rslv: 12/02/2012
Addr: Close Out Memo Addr: 11/01/2011 Addr: Close Out Memo Addr: 11/01/2011
Rslv: Close Out Memo Rslv: 12/02/2012 Rslv: Close Out Memo Rslv: 12/02/2012
N
Addr: Close Out Memo Addr: 12/02/2012 Y
Rslv: Close Out Memo Rslv: 12/02/2012
Addr: Close Out Memo Addr: 11/01/2011 Addr: Close Out Memo Addr: 11/01/2011
Rslv: Close Out Memo Rslv: 11/01/2011 Rslv: Close Out Memo Rslv: 11/01/2011
N
Addr: Close Out Memo Addr: 12/02/2012 Y
Rslv: Close Out Memo Rslv: 12/02/2012
Addr: Lead Change
Addr: 11/01/2011 Addr: Lead Change
Rslv: Close Out Memo Rslv: 12/02/2012 Rslv: Close Out Memo
Addr: 11/01/2011
Rslv: 12/02/2012
N
Addr: Close Out Memo Addr: 12/02/2012 Y
Rslv: Close Out Memo Rslv: 12/02/2012
Addr: Other Action
Addr: 11/01/2011 Addr: Other Action
(Addressing Only)
Rslv: 12/02/2012 (Addressing Only)
Rslv: Close Out Memo
Rslv: Close Out Memo
Addr: 11/01/2011
Rslv: 12/02/2012
N
Addr: Close Out Memo Addr: 12/02/2012 Y
Rslv: Close Out Memo Rslv: 12/02/2012
Addr: (none)
Addr: (none)
Rslv: Close Out Memo Rslv: 12/02/2012
Addr: Close Out Memo Addr: 12/02/2012
Rslv: Close Out Memo Rslv: 12/02/2012
Y
Addr: Close Out Memo Addr: 12/02/2012 Y
Rslv: Close Out Memo Rslv: 12/02/2012
Addr: (none)
Addr: 12/02/2012 System returns error
Rslv: Close Out Memo Rslv: 12/02/2012
Y
79
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
(Refer to #5 above)
User edits an existing record
where database flag = Y. User
blanks out Other Addressing
Date but not Action.
(Refer to #6 above)
User edits an existing record
where database flag = Y. User
changes Other Resolving
Action to another Addressing
and Resolving Action value.
(Refer to #7 above)
User edits an existing record
where database flag = Y. User
changes Other Resolving Date
to a different valid date.
(Refer to #8 above)
User edits an existing record
where database flag = Y. User
changes Other Resolving
Action to another Addressing
and Resolving Action value and
changes Other Resolving Date
to a different valid date.
(Refer to #9 above)
User edits an existing record
where database flag = Y. User
blanks out Other Resolving
Action but not Date.
(Refer to #10 above)
User edits an existing record
where database flag = Y. User
blanks out Other Resolving
Date but not Action.
(Refer to #11 above)
User edits an existing record
where database flag = Y. User
blanks out Other Resolving
Action and Date.
(Refer to #12 above)
User edits an existing record
where database flag = Y. User
ICIS Case File
Addr: Close Out Memo Addr: 12/02/2012 Y
Rslv: Close Out Memo Rslv: 12/02/2012
Addr: Close Out Memo Addr: (none)
Rslv: Close Out Memo Rslv: 12/02/2012
Addr: Close Out Memo Addr: 11/01/2011 Y
Rslv: Close Out Memo Rslv: 11/01/2011
Addr: Close Out Memo Addr: 11/01/2011 Addr: Lead Change
Rslv: Lead Change
Rslv: 11/01/2011 Rslv: Lead Change
Addr: 11/01/2011
Rslv: 11/01/2011
Y
Addr: Close Out Memo Addr: 11/01/2011 Y
Rslv: Close Out Memo Rslv: 11/01/2011
Addr: Close Out Memo Addr: 11/01/2011 Addr: Close Out Memo Addr: 12/02/2012
Rslv: Close Out Memo Rslv: 12/02/2012 Rslv: Close Out Memo Rslv: 12/02/2012
Y
Addr: Close Out Memo Addr: 11/01/2011 Y
Rslv: Close Out Memo Rslv: 11/01/2011
Addr: Close Out Memo Addr: 11/01/2011 Addr: Lead Change
Rslv: Lead Change
Rslv: 12/02/2012 Rslv: Lead Change
Y
Addr: Close Out Memo Addr: 11/01/2011 Y
Rslv: Close Out Memo Rslv: 11/01/2011
Addr: Close Out Memo Addr: 11/01/2011 System returns error
Rslv: (blank)
Rslv: 11/02/2012
Y
Addr: Close Out Memo Addr: 11/01/2011 Y
Rslv: Close Out Memo Rslv: 11/01/2011
Addr: Close Out Memo Addr: 11/01/2011 System returns error
Rslv: Close Out Memo Rslv: (blank)
Y
Addr: Close Out Memo Addr: 11/01/2011 Y
Rslv: Close Out Memo Rslv: 11/01/2011
Addr: Close Out Memo Addr: 11/01/2011 Addr: (none)
Rslv: (none)
Rslv: (none)
Rslv: (none)
Addr: (none)
Rslv: (none)
N
Addr: Close Out Memo Addr: 11/01/2011 Y
Rslv: Close Out Memo Rslv: 11/01/2011
Addr: (none)
Rslv: (none)
Addr: (none)
Rslv: (none)
N
Addr: (none)
Rslv: (none)
System returns error
Addr: (none)
Rslv: (none)
Y
Addr: 12/02/2012
Rslv: 12/02/2012
80
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
blanks out Other Addressing
Action/Date and Other
Resolving Action/Date.
(Refer to #13 above)
ICIS Case File
81
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
9.1.1 Identify Linked Discovery Action
Figure 9.1-2. Identify Linked Discovery Action is a diagram depicting the process to identify
the Case File’s Linked Discovery Action and Date. A table detailing each step in the flow also is
included in this section.
Figure 9.1-2. Identify Linked Discovery Action
Identify
Identify
Linked
Linked
Discovery
Discovery
Action
Action
1.
1. Does
Does Other
Other
Discovery
Discovery Action
Action
Type
Type Exist?
Exist?
No
2.
2. Identify
Identify all
all linked
linked Compliance
Compliance
Monitoring
Monitoring Activities
Activities that
that meet
meet all
all
of
of the
the following
following criteria:
criteria:
-- Activity
Activity Type
Type in
in (INF,
(INF, INS,
INS, INV)
INV)
-- Actual
Actual End
End Date
Date exists
exists
3.
3. Do
Do any
any of
of the
the linked
linked
CM
CM Activities
Activities from
from Step
Step 22
also
also have
have Stack
Stack Test
Test
Report
Report Received
Received Date?
Date?
Yes
Yes
4.
4. How
How many
many
records
records meet
meet
criteria?
criteria?
>1
1
1A.
1A. Return
Return to
to calling
calling
program
program
4B.
4B. Save
Save Activity
Activity ID
ID
as
as the
the Linked
Linked
Discovery
Discovery Action.
Action.
Save
Save the
the Stack
Stack Test
Test
Report
Report Received
Received
Date
Date as
as the
the Linked
Linked
Discovery
Discovery Action
Action
Date.
Date.
No
5A.
5A. Blank
Blank out
out
existing
existing Linked
Linked
Discovery
Discovery Action
Action
0
5.
5. How
How many
many
records
records meet
meet
criteria
criteria from
from
Step
Step 2?
2?
>1
5B.
5B. Save
Save the
the Activity
Activity
ID
ID of
of the
the record
record with
with
the
the Earliest
Earliest Actual
Actual
End
End Date
Date as
as Linked
Linked
Discovery
Discovery Action.
Action.
Save
Save that
that date
date as
as
the
the Linked
Linked Discovery
Discovery
Action
Action Date.
Date.
4A.
4A. Save
Save the
the Activity
Activity
ID
ID of
of the
the record
record with
with
the
the Earliest
Earliest Stack
Stack
Test
Test Report
Report
Received
Received Date
Date as
as
Linked
Linked Discovery
Discovery
Action.
Action. Save
Save that
that
date
date as
as the
the Linked
Linked
Discovery
Discovery Action
Action
Date.
Date.
4A1.
4A1. Return
Return to
to
calling
calling program
program
Note: If multiples exist with
same Stack Test Report
Received Date, use the
lowest Activity ID
6.
6. Return
Return to
to calling
calling
program
program
1
5C.
5C. Save
Save Activity
Activity ID
ID
as
as the
the Linked
Linked
Discovery
Discovery Action.
Action.
Save
Save the
the Actual
Actual End
End
Date
Date as
as the
the Linked
Linked
Discovery
Discovery Action
Action
Date.
Date.
Note: If multiples exist with
same Actual End Date, use
the lowest Activity ID
Table 9.1-3. Identify Linked Discovery Action Processing contains a description of the items
from the Identify Linked Discovery Action 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 Requirements Table column references
the specific requirements that are checked in that step. All requirements relating to the flow can
be found in Table 10-1. Case File Requirements.
Table 9.1-3. Identify Linked Discovery Action Processing
Item
Number
Item Description
Mapping to
Requirements Table
1.
Does Other Discovery Action Type Exist?
System determines if a value exists for Other Discovery Action Type. If it does,
processing continues at Step 1A; otherwise, processing continues at Step 2.
CF-087
1A.
Return to calling program
Identify Linked Discovery Action processing is complete. Processing returns to the
main flow of the calling program (Table 9.1-1. Identify Linked Pathway Activities
and Set Case File Status Type Processing (#2)).
CF-087
ICIS Case File
82
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
Item
Number
Item Description
Mapping to
Requirements Table
2.
Identify all linked Compliance Monitoring Activities that meet all of the following
criteria:

Activity Type in (INF, INS, INV)

Actual End Date Exists
System identifies all of the Case File’s linked Compliance Monitoring activities that
meet the criteria to be Discovery Actions. Processing continues at Step 3.
CF-087
3.
Do any of the linked CM Activities from Step 2 also have Stack Test Report
Received Date?
System determines if any of the linked CM Activities that meet the criteria in Step 2
also have Stack Test Report Received Date. If any of the records have Stack Test
Report Received Date, these take precedence over the others, and processing continues
at Step 4. Otherwise, processing continues at Step 5.
CF-087
4.
How many records meet criteria?
System determines how many of the Case Files linked Compliance Monitoring
Activities that meet the criteria to be a Discovery Action also have Stack Test Report
Received Date. If multiple records have Stack Test Report Received Date, processing
continues at Step 4A. If only one record has Stack Test Report Received Date,
processing continues at Step 4B.
CF-087
4A.
Save the Activity ID of the record with the Earliest Stack Test Report Received
Date as Linked Discovery Action. Save that date as the Linked Discovery Action
Date.
Of all the records that meet the criteria to be Discovery Actions and also have Stack
Test Report Received Date, the system chooses the record with the earliest Stack Test
Report Received Date. If multiple records exist with the earliest Stack Test Report
Received Date, the system chooses the one with the lowest Activity ID. The system
saves the Activity ID of the selected record as the Linked Discovery Action and the
Stack Test Report Received Date as the Linked Discovery Action Date. Processing
continues at Step 4.
CF-087
4A1.
Return to calling program
Identify Linked Discovery Action processing is complete. Processing returns to the
main flow of the calling program (Table 9.1 1. Identify Linked Pathway Activities
Processing (#2)).
4B.
Save the Activity as the Linked Discovery Action. Save the Stack Test Report
Received Date as the Linked Discovery Action Date.
System has determined that only one linked Compliance Monitoring activity meets the
criteria to be the Discovery Action and also has Stack Test Report Received Date. The
system saves the Activity ID of that Compliance Monitoring activity as the Linked
Discovery Action and the Stack Test Report Received Date as the Linked Discovery
Action Date. Processing continues at Step 4A1.
CF-087
5.
How many records meet criteria from Step 2?
System determines how many of the Case File’s linked Compliance Monitoring
activities meet the criteria to be Discovery Actions. If no records meet the criteria,
processing continues at Step 5A. If multiple records meet the criteria, processing
continues at Step 5B. If only one record meets the criteria, processing continues at Step
5C.
CF-087
5A.
Blank out existing Linked Discovery Action
System has determined that none of the Compliance Monitoring activities linked to the
Case File meet the criteria to be Discovery Actions. If Linked Discovery Action
already exists, then it no longer qualifies. The system blanks out the Linked Discovery
Action and Linked Discovery Action Date fields for the Case File. Processing continues
at Step 6.
CF-087
ICIS Case File
83
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
Item
Number
Item Description
Mapping to
Requirements Table
5B.
Save the Activity ID of the record with the Earliest Actual End Date as Linked
Discovery Action. Save that date as the Linked Discovery Action Date.
Of all the records that meet the criteria to be Discovery Actions, the system chooses the
record with the earliest Actual End Date. If multiple records exist with the earliest
Actual End Date, the system chooses the one with the lowest Activity ID. The system
saves the Activity ID of the selected record as the Linked Discovery Action and the
Actual End Date as the Linked Discovery Action Date. Processing continues at Step 6.
CF-087
5C.
Save Activity ID as the Linked Discovery Action. Save the Actual End Date as the
Linked Discovery Action Date.
System has determined that only one linked Compliance Monitoring activity meets the
criteria to be the Discovery Action. The system saves the Activity ID of that
Compliance Monitoring activity as the Linked Discovery Action and the Actual End
Date as the Linked Discovery Action Date. Processing continues at Step 6.
CF-087
4.
Return to calling program
Identify Linked Discovery Action processing is complete. Processing returns to the
main flow of the calling program (Table 9.1-1. Identify Linked Pathway Activities
and Set Case File Status Type Processing (#2)).
9.1.2 Identify Linked Notification Action
Figure 9.1-3. Identify Linked Notification Action is a diagram depicting the process to identify
the Case File’s Linked Notification Action and Date. A table detailing each step in the flow also
is included in this section.
Figure 9.1-3. Identify Linked Notification Action
2A.
2A. Blank
Blank out
out
existing
existing Linked
Linked
Notification
Notification Action
Action
0
Identify
Identify
Linked
Linked
Notification
Notification
Action
Action
1.
1. Identify
Identify all
all linked
linked Informal
Informal Enforcement
Enforcement
Actions
Actions that
that meet
meet all
all of
of the
the following
following criteria:
criteria:
-- Enforcement
Type
is
defined
as
Enforcement Type is defined as aa Notification
Notification
Action
Action
-- Achieved
Achieved Date
Date exists
exists
2.
2. How
How many
many
records
records meet
meet
criteria?
criteria?
1
2C.
2C. Save
Save Activity
Activity ID
ID
as
as the
the Linked
Linked
Notification
Action.
Notification Action.
Save
Save Achieved
Achieved Date
Date
as
as the
the Linked
Linked
Notification
Notification Action
Action
Date.
Date.
>1
2B.
2B. Save
Save the
the Activity
Activity
ID
ID of
of the
the record
record with
with
the
Earliest
the Earliest
Achieved
Date
Achieved Date as
as
Linked
Linked Notification
Notification
Action.
Action. Save
Save that
that
date
date as
as the
the Linked
Linked
Notification
Notification Action
Action
Date.
Date.
3.
3. Return
Return to
to calling
calling
program
program
Note: If multiples exist, use
the lowest Activity ID
Table 9.1-4. Identify Linked Notification Action Processing contains a description of the
items from the Identify Linked Notification Action 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 Requirements Table column references
the specific requirements that are checked in that step. All requirements relating to the flow can
be found in Table 10-1. Case File Requirements.
ICIS Case File
84
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
Table 9.1-4. Identify Linked Notification Action Processing
Item
Number
Item Description
Mapping to
Requirements Table
1.
Identify all linked Informal Enforcement Actions that meet all of the following
criteria:

Enforcement Type is defined as a Notification Action

Achieved Date exists
System identifies all of the Case File’s linked Informal Enforcement Actions that meet
the criteria to be Notification Actions. Processing continues at Step 2.
CF-088
2.
How many records meet criteria?
System determines how many of the Case File’s linked Informal Enforcement Actions
meet the criteria to be Notification Actions. If no records meet the criteria, processing
continues at Step 2A. If multiple records meet the criteria, processing continues at Step
2B. If only one record meets the criteria, processing continues at Step 2C.
2A.
Blank out existing Linked Notification Action
System has determined that none of the Informal Enforcement Actions linked to the
Case File meet the criteria to be Notification Actions. If a Linked Notification Action
already exists, then it no longer qualifies. The system blanks out the Linked
Notification Action and Linked Notification Action Date fields for the Case File.
Processing continues at Step 3.
CF-088
2B.
Save the Activity ID of the record with the Earliest Achieved Date as Linked
Notification Action. Save that date as the Linked Notification Action Date.
Of all the records that meet the criteria to be Notification Actions, the system chooses
the record with the earliest Achieved Date. If multiple records exist with the earliest
Achieved Date, the system chooses the one with the earliest Activity ID. The system
saves the Activity ID of the selected record as the Linked Notification Action and the
Achieved Date as the Linked Notification Action Date. Processing continues at Step 3.
CF-088
2C.
Save Activity ID as the Linked Notification Action. Save the Achieved Date as the
Linked Notification Action Date.
System has determined that only one linked Informal Enforcement Action meets the
criteria to be the Notification Action. The system saves the Activity ID of that Informal
Enforcement Action as the Linked Notification Action and the Achieved Date as the
Linked Notification Action Date. Processing continues at Step 3.
CF-088
3.
Return to calling program
Identify Linked Notification Action processing is complete. Processing returns to the
main flow of the calling program (Table 9.1-1. Identify Linked Pathway Activities
and Set Case File Status Type Processing (#3)).
9.1.3 Identify Linked Addressing Action
Figure 9.1-4. Identify Linked Addressing Action is a diagram depicting the process to identify
the Case File’s Linked Addressing Action and Date. A table detailing each step in the flow also
is included in this section.
ICIS Case File
85
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
Figure 9.1-4. Identify Linked Addressing Action
Identify
Identify
Linked
Linked
Addressing
Addressing
Action
Action
1.
1. Does
Does Other
Other
Addressing
Addressing
Action
Type
Action Type
Exist?
Exist?
2.
2. For
For each
each linked
linked
Formal
Formal Enforcement
Enforcement
Action
Action determine
determine the
the
earliest
earliest Actual
Actual Date
Date for
for
an
Addressing
an Addressing
Milestone.
Milestone. This
This isis the
the
Addressing
Addressing Date.
Date.
Yes
1A.
1A. Return
Return to
to calling
calling
program
program
3.
3. Of
Of the
the Addressing
Addressing Dates
Dates identified
identified in
in
previous
previous step,
step, ID
ID all
all that
that meet
meet the
the
following
following criteria:
criteria:
-- Addressing
Addressing Date
Date <=Other
<=Other Resolving
Resolving
Action
Action Date
Date
4A.
4A. Blank
Blank out
out
existing
existing Linked
Linked
Addressing
Addressing Action
Action
0
4.
4. How
How many
many
records
records meet
meet
criteria?
criteria?
1
4C.
4C. Save
Save Activity
Activity ID
ID
of
of the
the EA
EA as
as Linked
Linked
Addressing
Action.
Addressing Action.
Save
Save its
its Addressing
Addressing
Date
Date as
as the
the Linked
Linked
Addressing
Addressing Action
Action
Date.
Date.
>1
4B.
4B. Save
Save the
the Activity
Activity ID
ID of
of
the
the EA
EA with
with the
the Earliest
Earliest
Addressing
Milestone
Addressing Milestone
Actual
Actual Date
Date as
as Linked
Linked
Addressing
Addressing Action.
Action. Save
Save
that
date
as
the
that date as the Linked
Linked
Addressing
Addressing Action
Action Date.
Date.
5.
5. Return
Return to
to calling
calling
program
program
Note: If multiples exist, use
the lowest Activity ID
Table 9.1-5. Identify Linked Addressing Action Processing contains a description of the items
from the Identify Linked Addressing Action 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 Requirements Table column references
the specific requirements that are checked in that step. All requirements relating to the flow can
be found in Table 10-1. Case File Requirements.
Table 9.1-5. Identify Linked Addressing Action Processing
Item
Number
Item Description
Mapping to
Requirements Table
1.
Does Other Addressing Action Type Exist?
System determines if a value exists for Other Addressing Action Type. If it does,
processing continues at Step 1A; otherwise, processing continues at Step 2.
CF-094
1A.
Return to calling program
Identify Linked Addressing Action processing is complete. Processing returns to the
main flow of the calling program (Table 9.1-1. Identify Linked Pathway Activities
and Set Case File Status Type Processing (#4)).
CF-094
2.
For each linked Formal Enforcement Action determine the earliest Actual Date
for an Addressing Milestone. This is the Addressing Date.
System evaluates all of the Formal Enforcement Actions linked to the Case File to
determine the earliest Actual End Date of a qualifying Milestone for each one. For
purposes of this calculation, that date is the Addressing Date.
Processing continues at Step 3.
CF-094, CF-095
3.
Of the Addressing dates identified in previous step, ID all that meet the following
criteria:

Addressing Date <= Other Resolving Date (Other Resolving Date may not
exist. In that case, the Addressing Date is considered to meet this criterion.)
System evaluates all of the Addressing Dates identified in Step 2, and determines which
ones meet the date order criteria. Processing continues at Step 4.
CF-094, CF-095
ICIS Case File
86
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
Item
Number
Item Description
Mapping to
Requirements Table
4.
How many records meet criteria?
System determines how many of the Case File’s linked Formal Enforcement Actions
meet the criteria from the previous steps to be Addressing Actions. If no records meet
the criteria, processing continues at Step 4A. If multiple records meet the criteria,
processing continues at Step 4B. If only one record meets the criteria, processing
continues at Step 4C.
4A.
Blank out existing Linked Addressing Action
System has determined that none of the Formal Enforcement Actions linked to the Case
File meet the criteria to be Addressing Actions. If Linked Addressing Action already
exists, then it no longer qualifies. The system blanks out the Linked Addressing Action
and Linked Addressing Action Date fields for the Case File. Processing continues at
Step 6.
CF-094, CF-095
4B.
Save the Activity ID of the EA with the Earliest Addressing Date as Linked
Addressing Action. Save that date as the Linked Addressing Action Date.
Of all the records that meet the criteria to be Addressing Actions, the system chooses
the record with the earliest Addressing Date. If multiple records exist with the earliest
Addressing Date, the system chooses the one with the earliest Activity ID. The system
saves the Activity ID of the selected record as the Linked Addressing Action and the
Addressing Date as the Linked Addressing Action Date. Processing continues at Step 5.
CF-094, CF-095
4C.
Save Activity ID of the EA as the Linked Addressing Action. Save its Addressing
Date as the Linked Addressing Action Date.
System has determined that only one linked Formal Enforcement Action meets the
criteria to be the Addressing Action. The system saves the Activity ID of that Formal
Enforcement Action as the Linked Addressing Action and the Addressing Date as the
Linked Addressing Action Date. Processing continues at Step 5.
CF-094, CF-095
5.
Return to calling program
Identify Linked Addressing Action processing is complete. Processing returns to the
main flow of the calling program (Table 9.1-1. Identify Linked Pathway Activities
and Set Case File Status Type Processing (#4)).
9.1.4 Identify Linked Resolving Action
Figure 9.1-5. Identify Linked Resolving Action is a diagram depicting the process to identify
the Case File’s Linked Resolving Action and Date. A table detailing each step in the flow also is
included in this section.
ICIS Case File
87
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
Figure 9.1-5. Identify Linked Resolving Action
Identify
Identify
Linked
Linked
Resolving
Resolving
Action
Action
1.
1. Does
Does Other
Other
Resolving
Resolving Action
Action
Type
Type Exist?
Exist?
No
2.
2. Identify
Identify all
all linked
linked
Formal
Formal Enforcement
Enforcement
Actions
Actions that
that have
have aa Final
Final
Order
Order
5A.
5A. Blank
Blank out
out
existing
existing Linked
Linked
Resolving
Resolving Action
Action
5A1/5B1.
5A1/5B1. Return
Return to
to
calling
calling program
program
Yes
1A.
1A. Return
Return to
to calling
calling
program
program
0
3.
3. Do
Do all
all linked
linked Formal
Formal
EAs
EAs that
that have
have aa Final
Final
Order
Order for
for an
an Air
Air Interest
Interest
also
also have
have Actual
Actual Date
Date
for
for Air
Air Resolved
Resolved
Milestone?
Milestone?
Yes
4.
4. Of
Of the
the linked
linked Formal
Formal EAs
EAs from
from the
the
previous
previous step,
step, identify
identify those
those with
with Air
Air
Resolved
Resolved Milestone
Milestone Actual
Actual Date
Date >=
>=
(Linked
(Linked Addressing
Addressing Action
Action Date
Date and
and
Other
Other Addressing
Addressing Action
Action Date).
Date).
5.
5. How
How many
many
records
records meet
meet
criteria?
criteria?
>1
1
No
3A.
3A. Blank
Blank out
out
existing
existing Linked
Linked
Resolving
Resolving Action
Action
3A1/5C1.
3A1/5C1. Return
Return to
to
calling
calling program
program
5B.
5B. Of
Of the
the linked
linked Formal
Formal EAs
EAs from
from
the
the previous
previous step,
step, Save
Save the
the Activity
Activity
ID
of
the
record
with
the
latest
ID of the record with the latest Air
Air
Resolved
Resolved Milestone
Milestone Actual
Actual Date
Date as
as
the
the Linked
Linked Resolving
Resolving Action.
Action. Save
Save
that
that date
date as
as the
the Linked
Linked Resolving
Resolving
Action
Action Date.
Date.
Note: If multiples exist, use
the highest Activity ID
5C.
5C. Save
Save Activity
Activity ID
ID
of
of the
the EA
EA as
as Linked
Linked
Resolving
Resolving Action.
Action.
Save
Save its
its Resolved
Resolved
Milestone
Milestone Actual
Actual
Date
Date as
as the
the Linked
Linked
Resolving
Resolving Action
Action
Date.
Date.
Table 9.1-6. Identify Linked Resolving Action Processing contains a description of the items
from the Identify Linked Resolving Action 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 Requirements Table column references
the specific requirements that are checked in that step. All requirements relating to the flow can
be found in Table 10-1. Case File Requirements.
Table 9.1-6. Identify Linked Resolving Action Processing
Item
Number
Item Description
Mapping to
Requirements Table
1.
Does Other Resolving Action Type Exist?
System determines if a value exists for Other Resolving Action Type. If it does,
processing continues at Step 1A. Otherwise, processing continues at Step 2.
CF-101
1A.
Return to calling program
Identify Linked Resolving Action processing is complete. Processing returns to the
main flow of the calling program (Table 9.1-1. Identify Linked Pathway Activities
and Set Case File Status Type Processing (#5)).
CF-101
2.
Identify all linked Formal Enforcement Actions that have a Final Order
System evaluates all of the Formal Enforcement Actions linked to the Case File to
identify the ones that have at least one Final Order. Processing continues at Step 3.
CF-101
3.
Do all linked Formal EAs that have a Final Order for an Air Interest also have
Actual Date for Air Resolved Milestone?
System evaluates all linked Formal Enforcement Actions to determine if they all have
an Actual Date for the Air Resolved Milestone. If they do, processing continues at Step
4; otherwise, processing continues at Step 3A. If none of the linked Formal
Enforcement Actions that have an Air Interest also have a Final Order, processing
continues at Step 3A (because the EA will not have an Actual Date for the Air Resolved
Milestone).
CF-101
3A.
Blank out existing Linked Resolving Action
System has determined that none of the Formal Enforcement Actions linked to the Case
File meet the criteria to be Resolving Actions. If a Linked Resolving Action already
exists, then it no longer qualifies. The system blanks out the Linked Resolving Action
and Linked Resolving Action Date fields for the Case File. Identify Linked Resolving
Action processing continues at Step 3A1. Otherwise, processing continues at Step 4.
CF-101
ICIS Case File
88
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
Item
Number
Item Description
3A1.
Return to calling program
Identify Linked Resolving Action processing is complete. Processing returns to the
main flow of the calling program (Table 9.1-1. Identify Linked Pathway Activities
and Set Case File Status Type Processing (#5)).
4.
Of the linked Formal EAs from the previous step, identify those with Air Resolved
Milestone Actual Date >= (Linked Addressing Action Date and Other Addressing
Action Date). (Some or all of these dates may not exist. If none exist, The Formal EA
is considered to meet this criterion.)
System evaluates all of the linked Formal Enforcement Actions that have Final Orders
for an Air Interest to identify those with a qualifying Air Resolved Milestone Actual
End Date. Processing continues at Step 5.
5
How many records meet criteria?
System determines how many of the Formal Enforcement Actions linked to the Case
File meet the criteria from the previous steps to be Resolving Actions. If no records
meet the criteria, processing continues at Step 5A. If multiple records meet the criteria,
processing continues at Step 5B. If only one record meets the criteria, processing
continues at Step 5C.
5A.
Blank out existing Linked Resolving Action
System has determined that none of the Formal Enforcement Actions linked to the Case
File meet the criteria to be Resolving Actions. If a Linked Resolving Action already
exists, then it no longer qualifies. The system blanks out the Linked Resolving Action
and Linked Resolving Action Date fields for the Case File. Processing continues at Step
5A1.
5A1.
Return to calling program
Identify Linked Resolving Action processing is complete. Processing returns to the
main flow of the calling program (Table 9.1-1. Identify Linked Pathway Activities
and Set Case File Status Type Processing (#5))
5B.
Of the linked Formal EAs from the previous step, save the Activity ID of the
record with the latest Air Resolved Milestone Actual Date as the Linked Resolving
Action. Save that date as the Linked Resolving Action Date.
System evaluates all of the linked Formal Enforcement Actions that that meet the
criteria to be Resolving Actions to identify the record with the latest Air Resolved
Milestone Actual Date. If multiple records exist with the latest Air Resolved Milestone
Actual Date, the system chooses the one with the highest Activity ID. The system
saves the Activity ID of the selected record as the Linked Resolving Action and that
date as the Linked Resolving Action Date. Processing continues at Step 5B1.
5B1.
Return to calling program
Identify Linked Resolving Action processing is complete. Processing returns to the
main flow of the calling program (Table 9.1-1. Identify Linked Pathway Activities
and Set Case File Status Type Processing (#5))
5C.
Save Activity ID of the EA as Linked Resolving Action. Save its Air Resolved
Milestone Actual Date as the Linked Resolving Action Date.
System has determined that only one linked Formal Enforcement Action meets the
criteria to be the Resolving Action. The system saves the Activity ID of that Formal
Enforcement Action as the Linked Resolving Action and the Air Resolved Milestone
Actual Date as the Linked Resolving Action Date. Processing continues at Step 5C1.
5C1.
Return to calling program
Identify Linked Resolving Action processing is complete. Processing returns to the
main flow of the calling program (Table 9.1-1. Identify Linked Pathway Activities
and Set Case File Status Type Processing (#5)).
ICIS Case File
Mapping to
Requirements Table
CF-101
CF-101
CF-101
CF-101
89
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
9.1.5 Set Case File Status Type
Figure 9.1-6. Set Case File Status Type is a diagram depicting the process to set the Case File
Status Type. A table detailing each step in the flow also is included in this section.
Figure 9.1-6. Set Case File Status Type
1.
1. Does
Does Case
Case File
File
Type
Type == Air
Air Case
Case
File
File or
or Air
Air Case
Case
File
File with
with NEI?
NEI?
Set
Set Case
Case File
File
Status
Status Type
Type
Yes
2.
2. Does
Does Case
Case File
File
have
have Linked
Linked //
Other
Other Resolving
Resolving
Action?
Action?
No
Yes
1A.
1A. Do
Do not
not generate
generate
Case
Case File
File Status
Status Type
Type
2A.
2A. Set
Set Case
Case File
File
Status
Status Type
Type to
to
Resolved
Resolved
No
3.
3. Does
Does Case
Case File
File
have
have aa Linked
Linked //
Other
Other
Addressing
Addressing
Action?
Action?
No
4.
4. Does
Does Case
Case File
File
have
have aa Linked
Linked
Notification
Notification
Action?
Action?
No
5.
5. Does
Does Case
Case File
File
have
have aa Linked
Linked //
Other
Other Discovery
Discovery
Action?
Action?
Yes
Yes
Yes
3A.
3A. Set
Set Case
Case File
File
Status
Status Type
Type to
to
Addressed
Addressed
4A.
4A. Set
Set Case
Case File
File
Status
Status Type
Type to
to
Notified
Notified
5A.
5A. Set
Set Case
Case File
File
Status
Status Type
Type to
to
Discovered
Discovered
End
End
No
6.
6. Set
Set Case
Case File
File
Status
Status Type
Type to
to Data
Data
Entered
Entered
End
End
Table 9.1-7. Set Case File Status Type Processing contains a description of the items from the
Set Status Type 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 Requirements Table column references the specific requirements that are checked in
that step. All requirements relating to the flow can be found in Table 10-1. Case File
Requirements.
Table 9.1-7. Set Case File Status Type Processing
Item
Number
Item Description
Mapping to
Requirements Table
1.
Does Case File Type = Air Case File or Air Case File with NEI?
System determines if the Case File Type is Air Case File or Air Case File with NEI. If
it is either one of those values, processing continues at Step 2. Otherwise, processing
continues at Step 1A.
CF-109
1A.
Do not generate Case File Status Type
Because this is not an Air Case File (Case File Type of Air Case File or Air Case File
with NEI), the system does not generate Status Type. Status Type will be user entered
for this Case File. Set Status Type processing ends.
CF-109
2.
Does Case File have Linked / Other Resolving Action?
System evaluates the Case File to determine if it has a Resolving Action (either Linked
or Other). If it does, processing continues at Step 2A; otherwise, processing continues
at Step 3.
CF-109
2A
Set Case File Status Type to Resolved
System has determined that the Case File has a Resolving Action and sets Status Type
to Resolved. Set Status Type processing ends.
CF-109
3.
Does Case File have Linked / Other Addressing Action?
System evaluates the Case File to determine if it has an Addressing Action (either
Linked or Other). If it does, processing continues at Step 3A; otherwise, processing
continues at Step 4.
CF-109
ICIS Case File
90
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
Item
Number
Item Description
Mapping to
Requirements Table
3A.
Set Case File Status Type to Addressed
System has determined that the Case File has an Addressing Action but no Resolving
Action and sets Status Type to Addressed. Set Status Type processing ends.
CF-109
4.
Does Case File have Linked Notification Action?
System evaluates the Case File to determine if it has a Linked Notification Action. If it
does, processing continues at Step 4A; otherwise, processing continues at Step 5.
CF-109
4A.
Set Case File Status Type to Notified
System has determined that the Case File has a Notification Action but no Addressing
or Resolving Actions and sets Status Type to Notified. Set Status Type processing
ends.
CF-109
5.
Does Case File have Linked / Other Discovery Action?
System evaluates the Case File to determine if it has a Discovery Action (either Linked
or Other). If it does, processing continues at Step 5A; otherwise, processing continues
at Step 6.
CF-109
5A.
Set Case File Status Type to Discovered
System has determined that the Case File has a Discovery Action but no Notification,
Addressing, or Resolving Actions and sets Status Type to Discovered. Set Status Type
processing ends.
CF-109
6.
Set Case File Status Type to Data Entered
System has determined that the Case File does not have any Discovery, Notification,
Addressing, or Resolving Actions and sets Status Type to Data Entered. Identify
Linked Pathway Activities and Set Status Type processing ends.
CF-109
9.2 SET ENFORCEMENT RESPONSE POLICY
Enforcement Response Policy is a Case File-level field that exists for Case Files types of Air
Case File or Air Case File with NEI. This process evaluates the Case File’s Air Violations to
determine the value for Enforcement Response Policy. It is triggered whenever the Case File’s
Air Violations are saved.
Figure 9.2-1. Set Enforcement Response Policy is a diagram depicting the process to populate
the Case File’s Enforcement Response Policy field. A table detailing each step in the flow is
also included in this section.
ICIS Case File
91
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
Figure 9.2-1. Set Enforcement Response Policy
1.
1. Does
Does Case
Case File
File
have
have any
any Air
Air
Violations?
Violations?
Set
Set Enforcement
Enforcement
Response
Response Policy
Policy
No
Yes
2.
2. Do
Do any
any of
of the
the Air
Air
Violations
Violations have
have
Violation
Violation Class
Class ==
HPV?
HPV?
Yes
2A.
2A. Do
Do any
any of
of
those
those Air
Air Violations
Violations
have
have HPV
HPV
Designation
Designation
Removal
Removal Date
Date ==
null?
null?
Yes
2A1.
2A1. Set
Set
Enforcement
Enforcement
Response
Response Policy
Policy to
to
HPV
HPV
End
End
No
No
1A.
1A. Set
Set Enforcement
Enforcement
Response
Response Policy
Policy to
to
Blank.
Blank.
3.
3. Do
Do any
any of
of the
the
Air
Air Violations
Violations
have
Violation
have Violation
Class
Class == FRV?
FRV?
Yes
3A.
3A. Set
Set Enforcement
Enforcement
Response
Response Policy
Policy to
to
FRV
FRV
Yes
4A.
4A. Set
Set Enforcement
Enforcement
Response
Response Policy
Policy to
to
Non-FRV
Non-FRV
No
4.
4. Do
Do any
any of
of the
the
Air
Air Violations
Violations
have
Violation
have Violation
Class
Class == NonNonFRV?
FRV?
No
5.
5. Set
Set Enforcement
Enforcement
Response
Response Policy
Policy to
to
Other
Other
End
End
Table 9.2-1. Set Enforcement Response Policy Processing contains a description of the items
from the Set Enforcement Response Policy 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 Requirements Table column references
the specific requirements that are checked in that step. All requirements relating to the flow can
be found in Table 10-1. Case File Requirements.
Table 9.2-1. Set Enforcement Response Policy Processing
Item
Number
Item Description
Mapping to
Requirements Table
1.
Does Case File have any Air Violations?
System determines if the Case File has any Air Violations. If it does, processing
continues at Step 2. Otherwise, processing continues at Step 1A.
CF-073
1A.
Set Enforcement Response Policy to Blank
Because there are no Air Violations for this Case File, the system sets the Enforcement
Response Policy to blank. Set Enforcement Response Policy processing ends.
CF-073
2.
Do any of the Air Violations have Violation Class = HPV?
System evaluates all of the Case File’s Air Violations to determine if any have
Violation Classification of HPV (the most severe). If they do, processing continues at
Step 2A; otherwise, processing continues at Step 3.
CF-073
2A.
Do any of those Air Violations have HPV Designation Removal Date = null?
System evaluates all of the Case File’s Air Violations that have Violation Class = HPV
to determine if any of them have HPV Designation Removal Date equal to null
(meaning the HPV designation has not been removed). If so, processing continues at
Step 2A1; otherwise processing continues at Step 3A.
CF-073
ICIS Case File
92
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
Item
Number
Item Description
Mapping to
Requirements Table
2A1.
Set Enforcement Response Policy to HPV
System has determined that at least one of the Air Violations that does not have an HPV
Designation Removal Date has Violation Classification of HPV. The system sets
Enforcement Response Policy to HPV. Set Enforcement Response Policy processing
ends.
CF-073
3.
Do any of the Air Violations have Violation Class = FRV?
System evaluates all of the Case File’s Air Violations to determine if any have
Violation Classification of FRV. If they do, processing continues at Step 3A;
otherwise, processing continues at Step 4.
CF-073
3A.
Set Enforcement Response Policy to FRV
The system sets Enforcement Response Policy to FRV. Set Enforcement Response
Policy processing ends.
CF-073
4.
Do any of the Air Violations have Violation Class = Non-FRV?
System evaluates all of the Case File’s Air Violations to determine if any have
Violation Class = Non-FRV. If they do, processing continues at Step 4A; otherwise,
processing continues at Step 5.
CF-073
4A.
Set Enforcement Response Policy to Non-FRV
The system sets Enforcement Response Policy to Non-FRV. Set Enforcement Response
Policy processing ends.
CF-073
5.
Set Enforcement Response Policy to Other
The system has determined that the Case File does not quality for Enforcement
Response Policy of HPV, FRV, or Non-FRV. The system sets Enforcement Response
Policy to Other. Set Enforcement Response Policy processing ends.
CF-073
ICIS Case File
93
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
10. REQUIREMENTS
Table 10-1. Case File Requirements lists the requirements that apply to Case File functions. Each row has a unique ID which
identifies the Requirement ID. The Description column describes the specific functional or business rule requirement that is being
applied to the Case File module. The Error/Warning/Informational Message column lists the specific message that will display on the
screen. Functional requirements do not have error/warning/informational messages. An error message will display if a business rule
is violated and prevents the user from saving the record. A warning message displays when a user is required to confirm the action
prior to saving the record. An informational message displays after the record is saved. The Web Function column identifies all
functions to which the requirement applies.
Table 10-1. Case File Requirements
ID
Description
General Case File Requirements
The system shall enforce the security model for the users to
CF-001
view, add, edit, and delete a Case File. Refer to ICIS-Air
Security Requirements.
The system shall enforce Enforcement Sensitive privileges
CF-002
for a Case File according to the following rules:
The entire Case File is Enforcement Sensitive if the
Enforcement Sensitive Indicator = Yes
Air Violation records are always Enforcement
Sensitive
Enforcement Sensitive Comments are always
Enforcement Sensitive.
The Federal Case File shall have some or all of the following
CF-003
links:
Basic Info
Air Violations (Enforcement Sensitive Privileges
required; only Air Case File and Air Case File with
NEI)
Sensitive Comments (Enforcement Sensitive
Privileges required; only Air Case File and Air
Case File with NEI)
Sub Activities
Related Activities
ICIS Case File
Error/Warning/Informational Message
Web Function
The user does not have the privileges to perform this
transaction.
All Web Functions
N/A
Add/Edit/Delete
N/A
Edit
94
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
ID
CF-004
Description
The DA Case File shall have some or all of the following
links:
Basic Info
Air Violations (Enforcement Sensitive Privileges
required)
Sensitive Comments (Enforcement Sensitive
Privileges required)
Sub Activities (Federal Users)
Related Activities (Federal Users)
Linked Case Files (DA Users)
The Air Violations link shall only be displayed if the user has
CF-005
Enforcement Sensitive privileges and the Case File Type =
Air Case File or Air Case File with NEI.
The Sensitive Comments link shall only be displayed if the
CF-006
user has Enforcement Sensitive privileges and the Case File
Type = Air Case File or Air Case File with NEI.
The system shall allow the user to add a new Case File.
CF-007
The system shall allow the user to view a Case File.
CF-008
The system shall allow the user to edit an existing Case File.
CF-009
The system shall allow the user to delete an existing Case
CF-010
File.
An LCON user cannot add, edit, or delete a State Case File.
CF-011
An LCON user cannot add, edit, or delete a Federal Case
CF-012
File.
A State/Tribe user cannot add, edit, or delete an LCON Case
CF-013
File.
A State/Tribe user cannot add, edit, or delete a Federal Case
CF-014
File.
Case File Identifier
For LCON users entering an LCON Case File, the system
CF-015
shall generate the State field to the State associated with the
User ID.
For LCON users entering an LCON Case File, the system
CF-016
will generate the LCON field to the LCON associated with
the User ID.
For State/Tribe users entering a State Case File, the system
CF-017
shall generate the State field to the State/Tribe associated
with the User ID.
For State/Tribe users entering a State Case File, the system
CF-018
shall prevent the user from entering LCON.
ICIS Case File
Error/Warning/Informational Message
N/A
Web Function
Edit
N/A
Edit
N/A
Edit
N/A
N/A
N/A
N/A
Add
View
Edit
Delete
N/A
N/A
Add/Edit/Delete
Add/Edit/Delete
N/A
Add/Edit/Delete
N/A
Add/Edit/Delete
N/A
Add
N/A
Add
N/A
Add
N/A
Add
95
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
ID
CF-019
CF-020
CF-021
CF-022
CF-023
CF-024
CF-025
CF-026
CF-027
CF-028
CF-029
CF-030
ICIS Case File
Description
For Regional users entering a State or LCON Case File, the
system shall filter the values for State based on the States
associated with the user's Region.
For HQ users entering a State or LCON Case File, the system
shall display all display all values for State.
For Regional users entering a State Case File, the system
shall prevent the user from entering LCON.
For HQ users entering a State Case File, the system shall
prevent the user from entering LCON.
For an LCON Case File, HQ and Regional users will not be
able to enter LCON until State has been selected.
For an LCON Case File entered by HQ and Regional users,
once a value for State is selected, LCON field values will be
filtered based on the LCONs within the specified State.
For a Regional user entering a Federal Case File, Region will
be system generated to the Region associated with the user
ID.
For an HQ user entering a Federal Case File, Region will be a
picklist of the regions and shall default to HQ.
The system shall generate the DA Case File ID according to
the following algorithm:
Positions 1-2: State Code
Positions 3-5: LCON Code based on the Case File
LCON value. If value does not exist, use ‘000’
Position 6: A for Air DA
Positions 7-25: System generated numeric
increment that is unique to the combination within
a common value for positions 1-6
The system shall generate the Federal Case File ID according
to the following algorithm:
Positions 1-2: Region Code
Positions 3-5: ‘000’
Position 6: F for Federal
Positions 7-25: System generated numeric
increment that is unique to the combination within
a common value for positions 1-6
The system shall allow the Case File ID to be variable length
for positions 7-25.
Case File ID must be unique within the Region, State, LCON,
and Program (positions 1-6).
Error/Warning/Informational Message
N/A
Web Function
Add
N/A
Add
N/A
Add
N/A
Add
N/A
Add
N/A
Add
N/A
Add
N/A
Add
N/A
Add
N/A
Add
N/A
Edit
N/A
Add
96
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
ID
Description
Case File Deletion
CF-031
When deleting a Federal Case File record, the system will
display a confirmation message prior to deleting.
CF-032
When deleting a Delegated Agency Case File record,
the system will display a confirmation message prior to
deleting.
When deleting a Case File record, if any other Activities are
linked to the Activity, the system shall delete the link to each
Activity, but not delete the Activity.
Case File Data Elements
The system shall display the following data elements on the
CF-034
Add Case File screen when Case File Type = Air Case File:
CF-033
-
-
ICIS Case File
Error/Warning/Informational Message
Web Function
Are you sure you want to delete the selected Case File?
The following will be unlinked from this Case File (if
found):
ADRs
Case Files
Compliance Assistance activities
Compliance Monitoring activities
Formal Enforcement Actions
Incidents
Informal Enforcement Actions
Voluntary Disclosures
Are you sure you want to delete the selected Case File?
The following will be unlinked from this Case File (if
found):
Case Files
Compliance Monitoring activities
Formal Enforcement Actions
Informal Enforcement Actions
N/A
Delete
N/A
Add
Delete
Delete
Case File Identifier
Case File Type
Case File Name
Status Type
Lead Agency
Case File Description
Linked Facility
- Prog. Sys. Acronym
- Programmatic ID
- Facility Site Name
- FRS ID
- Address
- County
Federal Statutes
97
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
ID
CF-035
Description
Law Sections (Fed only)
Programs
Program Description
Enforcement Response Policy
Enforcement Sensitive Indicator (DA only)
Earliest FRV Determination Date
Earliest HPV Day Zero Date
Applicable Pollutants
Discovery Action Type/Date via Linked Activity
Discovery Action Other Type
Discovery Action Other Date
Notification Action Type/Date via Linked Activity
Addressing Action Type/Date via Linked Activity
Addressing Action Other Type
Addressing Action Other Date
Resolving Action Type/Date via Linked Activity
Resolving Action Other Type
Resolving Action Other Date
Lead Agency Change / Superseded By
Consultation Date
EPA National Initiative
Federal Facility Activity
Federal Facility Activity Comment
Government Contacts
-Affiliation Type
- Name
- Phone
- Fax
- Email
- Office
- Organization
User-Defined Fields 1-6
Comments
The system shall display the following data elements on the
Add Case File screen when Case File Type = Air Case File
with NEI:
-
ICIS Case File
Error/Warning/Informational Message
Web Function
N/A
Add
Case File Identifier
Case File Type
Case File Name
Status Type
Lead Agency
Case File Description
98
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
ID
ICIS Case File
Description
Linked Facility
- Prog. Sys. Acronym
- Programmatic ID
- Facility Site Name
- FRS ID
- Address
- County
Federal Statutes
Law Sections
Programs
Program Description
Enforcement Response Policy
Earliest FRV Determination Date
Earliest HPV Day Zero Date
Applicable Pollutants
Discovery Action Type/Date via Linked Activity
Discovery Action Other Type
Discovery Action Other Date
Notification Action Type/Date via Linked Activity
Addressing Action Type/Date via Linked Activity
Addressing Action Other Type
Addressing Action Other Date
Resolving Action Type/Date via Linked Activity
Resolving Action Other Type
Resolving Action Other Date
Lead Agency Change / Superseded By
Consultation Date
EPA National Initiative
Federal Facility Activity
Federal Facility Activity Comment
Government Contacts
-Affiliation Type
- Name
- Phone
- Fax
- Email
- Office
- Organization
User-Defined Fields 1-6
Comments
National Enforcement Initiative
Facility NEI Initiated Action Type
Facility NEI Initiated Action Date
Error/Warning/Informational Message
Web Function
99
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
ID
CF-036
ICIS Case File
Description
Facility Addressed/Controlled Action Type
Facility Addressed/Controlled Action Date
Facility No Further Action T type
Facility No Further Action Date
HQ Addressed/Controlled Approval
HQ Addressed/Controlled Approval Date
NEI Determination Comment
The system shall display the following data elements on the
Add Case File screen when the Case File Type = National
Enforcement Initiative Determination:
Case File Identifier
Case File Type
Case File Name
Status Type
Lead Agency
Case File Description
Linked Facility
- Prog. Sys. Acronym
- Programmatic ID
- Facility Site Name
- FRS ID
- Address
- County
Federal Statutes
Law Sections
Programs
Program Description
Method of Discovery
Violation Class Type
Follow-Up Action
Enforce AO
Discovery Date
Determination Date
Occurrence Start Date
Occurrence End Date
Applicable Pollutants
Lead Agency Change / Superseded By
Consultation Date
EPA National Initiative
Federal Facility Activity
Federal Facility Activity Comment
Government Contacts
-Affiliation Type
Error/Warning/Informational Message
Web Function
N/A
Add
100
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
ID
CF-037
ICIS Case File
Description
- Name
- Phone
- Fax
- Email
- Office
- Organization
User-Defined Fields 1-6
Comments
National Enforcement Initiative
Facility NEI Initiated Action Type
Facility NEI Initiated Action Date
Facility Addressed/Controlled Action Type
Facility Addressed/Controlled Action Date
Facility No Further Action T type
Facility No Further Action Date
HQ Addressed/Controlled Approval
HQ Addressed/Controlled Approval Date
NEI Determination Comment
The system shall display the following data elements on the
Add Case File screen when the Case File Type is not Air
Case File, Air Case File with NEI, or National Enforcement
Initiative Determination:
Case File Identifier
Case File Type
Case File Name
Status Type
Lead Agency
Case File Description
Linked Facility
- Prog. Sys. Acronym
- Programmatic ID
- Facility Site Name
- FRS ID
- Address
- County
Federal Statutes
Law Sections
Programs
Program Description
Method of Discovery
Violation Class Type
Follow-Up Action
Enforce AO
Error/Warning/Informational Message
Web Function
N/A
Add
101
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
ID
CF-038
CF-039
ICIS Case File
Description
Discovery Date
Determination Date
Occurrence Start Date
Occurrence End Date
Applicable Pollutants
Lead Agency Change / Superseded By
Consultation Date
EPA National Initiative
Federal Facility Activity
Federal Facility Activity Comment
Government Contacts
-Affiliation Type
- Name
- Phone
- Fax
- Email
- Office
- Organization
User-Defined Fields 1-6
Comments
The system shall display a context header on the Edit Case
File screen with the following fields:
Case File Identifier
Case File Name
Case File Type
EPA Region
Status Type
The system shall display the following data elements on the
Edit Case File screen when Case File Type = Air Case File:
Case File Identifier
Case File Type
Case File Name
Status Type
Lead Agency
Case File Description
Linked Facility
- Prog. Sys. Acronym
- Programmatic ID
- Facility Site Name
- FRS ID
- Address
- County
Federal Statutes
Error/Warning/Informational Message
Web Function
N/A
Edit
N/A
Edit
102
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
ID
CF-040
ICIS Case File
Description
Law Sections (Fed only)
Programs
Program Description
Enforcement Response Policy
Enforcement Sensitive Indicator (DA only)
Earliest FRV Determination Date
Earliest HPV Day Zero Date
Applicable Pollutants
Discovery Action Type/Date via Linked Activity
Discovery Action Other Type
Discovery Action Other Date
Notification Action Type/Date via Linked Activity
Addressing Action Type/Date via Linked Activity
Addressing Action Other Type
Addressing Action Other Date
Resolving Action Type/Date via Linked Activity
Resolving Action Other Type
Resolving Action Other Date
Lead Agency Change / Superseded By
Consultation Date
EPA National Initiative
Federal Facility Activity
Federal Facility Activity Comment
Government Contacts
-Affiliation Type
- Name
- Phone
- Fax
- Email
- Office
- Organization
User-Defined Fields 1-6
Comments
The system shall display the following data elements on the
Edit Case File screen when Case File Type = Air Case File
with NEI:
Case File Identifier
Case File Type
Case File Name
Status Type
Lead Agency
Case File Description
Linked Facility
Error/Warning/Informational Message
Web Function
N/A
Edit
103
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
ID
ICIS Case File
Description
- Prog. Sys. Acronym
- Programmatic ID
- Facility Site Name
- FRS ID
- Address
- County
Federal Statutes
Law Sections
Programs
Program Description
Enforcement Response Policy
Earliest FRV Determination Date
Earliest HPV Day Zero Date
Applicable Pollutants
Discovery Action Type/Date via Linked Activity
Discovery Action Other Type
Discovery Action Other Date
Notification Action Type/Date via Linked Activity
Addressing Action Type/Date via Linked Activity
Addressing Action Other Type
Addressing Action Other Date
Resolving Action Type/Date via Linked Activity
Resolving Action Other Type
Resolving Action Other Date
Lead Agency Change / Superseded By
Consultation Date
EPA National Initiative
Federal Facility Activity
Federal Facility Activity Comment
Government Contacts
-Affiliation Type
- Name
- Phone
- Fax
- Email
- Office
- Organization
User-Defined Fields 1-6
Comments
National Enforcement Initiative
Facility NEI Initiated Action Type
Facility NEI Initiated Action Date
Facility Addressed/Controlled Action Type
Facility Addressed/Controlled Action Date
Error/Warning/Informational Message
Web Function
104
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
ID
CF-041
ICIS Case File
Description
Facility No Further Action T type
Facility No Further Action Date
HQ Addressed/Controlled Approval
HQ Addressed/Controlled Approval Date
NEI Determination Comment
The system shall display the following data elements on the
Edit Case File screen when the Case File Type = National
Enforcement Initiative Determination:
Case File Identifier
Case File Type
Case File Name
Status Type
Lead Agency
Case File Description
Linked Facility
- Prog. Sys. Acronym
- Programmatic ID
- Facility Site Name
- FRS ID
- Address
- County
Federal Statutes
Law Sections
Programs
Program Description
Method of Discovery
Violation Class Type
Follow-Up Action
Enforce AO
Discovery Date
Determination Date
Occurrence Start Date
Occurrence End Date
Applicable Pollutants
Lead Agency Change / Superseded By
Consultation Date
EPA National Initiative
Federal Facility Activity
Federal Facility Activity Comment
Government Contacts
-Affiliation Type
- Name
- Phone
Error/Warning/Informational Message
Web Function
N/A
Edit
105
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
ID
CF-042
ICIS Case File
Description
- Fax
- Email
- Office
- Organization
User-Defined Fields 1-6
Comments
National Enforcement Initiative
Facility NEI Initiated Action Type
Facility NEI Initiated Action Date
Facility Addressed/Controlled Action Type
Facility Addressed/Controlled Action Date
Facility No Further Action T type
Facility No Further Action Date
HQ Addressed/Controlled Approval
HQ Addressed/Controlled Approval Date
NEI Determination Comment
The system shall display the following data elements on the
Edit Case File screen when the Case File Type is not Air
Case File, Air Case File with NEI, or National Enforcement
Initiative Determination:
Case File Identifier
Case File Type
Case File Name
Status Type
Lead Agency
Case File Description
Linked Facility
- Prog. Sys. Acronym
- Programmatic ID
- Facility Site Name
- FRS ID
- Address
- County
Federal Statutes
Law Sections
Programs
Program Description
Method of Discovery
Violation Class Type
Follow-Up Action
Enforce AO
Discovery Date
Determination Date
Error/Warning/Informational Message
Web Function
N/A
Edit
106
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
ID
CF-043
CF-044
CF-045
CF-047
ICIS Case File
Description
Occurrence Start Date
Occurrence End Date
Applicable Pollutants
Lead Agency Change / Superseded By
Consultation Date
EPA National Initiative
Federal Facility Activity
Federal Facility Activity Comment
Government Contacts
-Affiliation Type
- Name
- Phone
- Fax
- Email
- Office
- Organization
User-Defined Fields 1-6
Comments
The system shall require the user to enter the following data
elements to save a DA Air Case File:
Linked Facility
Programs
The system shall require the user to enter the following data
elements to save a Federal Air Case File or Air Case File with
NEI:
Case File Name
Case File Type
Linked Facility
Federal Statute
Law Sections
The system shall require the user to enter the following data
elements to save a Federal Case File when Case File Type is
not in (Air Case File, Air Case File with NEI):
Case File Identifier
Case File Name
Case File Type
Status Type
Linked Facility
Federal Statute
Law Sections
For a State Case File record, the system shall default Lead
Agency to ‘State’. It can be edited.
Error/Warning/Informational Message
Web Function
Case File Identifier: This field is required.
Case File Type: This field is required.
Linked Facility: This field is required.
Programs: This field is required.
Case File Identifier: This field is required.
Case File Name: This field is required.
Case File Type: This field is required.
Linked Facility: This field is required.
Federal Statute: This field is required.
Law Sections: This field is required.
Add/Edit
Case File Identifier: This field is required.
Case File Name: This field is required.
Case File Type: This field is required.
Status Type: This field is required.
Linked Facility: This field is required.
Federal Statute: This field is required.
Law Sections: This field is required.
Add/Edit
N/A
Add
Add/Edit
107
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
ID
CF-048
CF-049
CF-050
Linked Facility
CF-052
CF-052A
CF-052B
CF-053
CF-054
CF-055
CF-056
ICIS Case File
Description
For an LCON Case File record, the system shall default Lead
Agency to ‘Local’. It can be edited.
For a Federal Case File record, the system shall default Lead
Agency to ‘EPA’.
If Case File Type = ‘National Enforcement Initiative
Determination or Air Case File with NEI’ then at least one of
the following data elements must be entered:
Facility NEI Initiated Action Type
Facility NEI Initiated Action Date
Facility Addressed/Controlled Action Type
Facility Addressed/Controlled Action Date
Facility No Further Action T type
Facility No Further Action Date
HQ Addressed/Controlled Approval
HQ Addressed/Controlled Approval Date
NEI Determination Comment
Error/Warning/Informational Message
N/A
Web Function
Add
N/A
Add
At least one value must be entered in the National
Enforcement Initiative Determination section because Case
File Type = <Case File Type value>.
Add/Edit
The system shall set the value for Program System Acronym
to AIR on the DA Case File screen.
The system shall default the following fields on the Search
Facility to Link popup based on the user profile:
HQ User – Do not default Region, State, or LCON
Regional User – Default Region
State User – Default State
LCON User – Default LCON
In all cases, the values for Region, State, and LCON will not
be filtered based on User ID, and can be changed by the user.
On the Search Facility to Link popup, the system will filter
location fields as follows based on selected criteria:
If Region is selected, filter State and LCON
If State is selected, filter LCON, City Code, County
The system shall display the Program System Acronym as a
non-editable field for Delegated Agency Case File records.
The system shall ensure that the Case File is associated with
an existing Programmatic ID.
The system shall require that an Air Case File (Case File
Type = Air Case File or Air Case File with NEI) is associated
with one and only one Air Facility.
The system shall allow a non-Air Case File (Case File Type
<> Air Case File or Air Case File with NEI) to be associated
with one or many Facilities.
N/A
Add/Edit
N/A
Add/Edit
N/A
Add/Edit
N/A
Add/Edit
N/A
Add/Edit
For Air Case File Types, only one Facility can be linked,
and that Facility must be an Air Facility.
Add/Edit
Please select at least one Facility Interest.
Add/Edit
108
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
ID
CF-057
Description
If Program System Acronym = NPDES and Case File Type =
Violation Detected, the system shall display an information
message that the user should enter a Single Event Violation in
ICIS–NPDES.
Error/Warning/Informational Message
You have entered a Case File Type of Violation Detected
against a NPDES Facility Interest.
To track additional information about the violation, you
may want to enter a Single Event Violation for this Facility
Interest in the NPDES system.
N/A
The system shall allow a user to unlink a Facility from a Case
File.
A Facility cannot be unlinked from a Case File if it is the only The selected Facility cannot be unlinked from the Case File
CF-059
Facility in common between the Case File and one of the
because it is the only Facility that is common in the Case
activities in its Pipeline (a Federal module).
File’s Pipeline.
A Facility cannot be unlinked from a Case File if it is the only The selected Facility cannot be unlinked from the Case File
CF-060
Facility in common between the Case File and one of its
because it is the only Facility linking this activity to one or
Related Activities (Linked Activities).
more Related Activities.
The Facilities linked to a Compliance Monitoring Activity
N/A
CF-200
will be sorted by the Program System Acronym/Program
System ID combination in ascending order.
The system shall ensure that the user does not enter FRS as
Program System Acronym cannot be FRS.
CF-225
the Program System Acronym for a Federal Non-Air Case
File.
Linked Facilities when Add Initiated from Add/Link Case File dropdown on List of Case Files Eligible to be Linked screen
If the add has been initiated by an Add/Link Case File
N/A
CF-201
dropdown, link/unlink Facility functionality will be
displayed.
If the add has been initiated by an Add/Link Case File
N/A
CF-202
dropdown, and the source record has a single Facility, the
checkbox next to the prepopulated facility will be selected by
the system for the user.
If the add has been initiated by an Add/Link Case File
N/A
CF-203
dropdown, and the source record has multiple Facilities, the
checkbox next to the prepopulated facilities will be blank.
If the add Air DA Case File, Federal Air Case File, or Federal N/A
CF-204
Air Case File with NEI has been initiated by an Add/Link
Case File dropdown, and the user chooses to search for
facilities to link, the act of searching for and selecting a new
facility will erase any previously listed Facilities (even if their
checkbox has been checked) and will default select the
searched for Facility.
CF-058
ICIS Case File
Web Function
Add/Edit
Add/Edit
Edit
Edit
Add/Edit
Add/Edit
Add
Add
Add
Add
109
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
ID
CF-205
Description
If the add Federal Non-Air Case File has been initiated by an
Add/Link Case File dropdown, and the user chooses to search
for facilities to link, the act of searching for and selecting a
new facility will add the newly selected facilities to the
previously listed Facilities and will default select the searched
for Facility(ies).
If the add has been initiated by an Add/Link Case File
CF-224
dropdown, and the target record is an Air DA Case File, then
the system shall ensure that the Facility is an Air DA Facility.
Programs/Law Sections/Statutes
If Federal Statute = CAA and Programs = FederallyCF-061
Enforceable Requirement, then Program Description is
required.
For DA records, the system shall generate Law Sections as
CF-062
“OTHER”. (This field is not displayed on the screen.)
The system shall set the value for Federal Statute to CAA on
CF-063
the Delegated Agency Case File screen.
The system shall display the Federal Statute as a non-editable
CF-064
field for Delegated Agency Case File records.
The system shall filter Programs for DA Case File records to
CF-065
include only Air DA programs (i.e.,
ref_program.program_category_code = ‘AIR’ and
ref_program.activity_filter_code has
ref_activity_filter.air_da_flag = Y).
For Federal Case Files, the system shall filter Law Sections
CF-066
based on the Federal Statute(s) selected.
For Federal Case Files the system shall set Programs based
CF-067
on the Law Section(s) selected.
For Federal Case Files, if Case File Type = Air Case File or
CF-068
Air Case File with NEI, at least one Federal Statute must be
CAA.
Case File Information
The system shall default the Enforcement Sensitive Indicator
CF-069
to ‘No’. (DA only)
If a sensitive Case File (Enforcement Sensitive Indicator =
CF-070
‘Yes’) is linked to a non-sensitive Formal Enforcement
Action, the system shall set the Case File’s Enforcement
Sensitive Indicator to ‘No’. (DA only)
If a sensitive Case File (Enforcement Sensitive Indicator =
CF-071
‘Yes’) is linked to an Informal Enforcement Action, the
system shall set the Case File’s Enforcement Sensitive
Indicator to ‘No’. (DA only)
ICIS Case File
Error/Warning/Informational Message
N/A
Web Function
Add
An Air DA activity can only have a Facility linked that has
a Program System Acronym of AIR.
Add
Program Description: This field is required because
Federal Statute selected is CAA and “FederallyEnforceable Requirement “was selected for Programs.
N/A
Add/Edit
N/A
Add/Edit
N/A
Add/Edit
N/A
Add/Edit
N/A
Add/Edit
N/A
Add/Edit
Federal Statutes: At least one statute must be CAA for the
selected Case File Type.
Add/Edit
N/A
Add
N/A
Edit
N/A
Edit
Add
110
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
ID
CF-072
CF-073
Case File Dates
CF-075
CF-076
CF-077
CF-078
Description
Enforcement Sensitive Indicator must be ‘No’ if the Case File
is linked to an Informal Enforcement Action or non-sensitive
Formal Enforcement Action. (DA only)
The system shall generate Enforcement Response Policy
as the most severe classification associated with the Air
Violation Type of the Air Violations linked to the Case File.
Violations that have an HPV Designation Removal Date do
not qualify as HPV status, but do qualify as FRV. The four
classification values, in descending order of severity, are:
HPV: High Priority Violation
FRV: Federally-Reportable Violation
Non-FRV: Non-Federally Reportable Violation
Other
Error/Warning/Informational Message
Enforcement Sensitive Indicator: This Case File is linked
to a non-sensitive Enforcement Action and cannot be made
sensitive.
N/A
Web Function
Edit
For Federal Case Files, Occurrence Start Date must be less
than or equal to the following dates:
Discovery Date
Determination Date
Current Date
Occurrence End Date
For Federal Case Files, Discovery Date must be less than or
equal to the following dates:
Determination Date
Current Date
For Federal Case Files, Determination Date must be less than
or equal to the Current Date.
Occurrence Start Date: This field must be less than or equal
to Discovery Date, Determination Date, Current Date,
Occurrence End Date.
Add/Edit
Discovery Date: This field must be less than or equal to
Determination Date and Current Date.
Add/Edit
Determination Date: This field must be less than or equal
to Current Date.
Add/Edit
For Federal Case Files, Occurrence End Date must be less
than or equal to the Current Date.
Occurrence End Date: This field must be less than or equal
to Current Date.
Add/Edit
N/A
Edit
N/A
Edit
N/A
Edit
The system shall generate Earliest FRV Determination Date
with the earliest FRV Determination Date of the Air
Violations linked to the Case File.
The system shall generate Earliest HPV Day Zero Date with
CF-080
the earliest HPV Day Zero Date of the Air Violations linked
to the Case File for which HPV Designation Removal Date is
null.
Pathway Activities
For Linked Pathway Activities, the system shall display the
CF-081
Activity Unique Identifier (hyperlinked to the View/Edit
screen for the Activity), Activity Type, and associated date
(determined by ID Linked Pathway Activities BGP) unless
the action is Enforcement Sensitive.
CF-079
ICIS Case File
Add/Edit
111
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
ID
CF-082
CF-083
CF-084
CF-085
CF-086
CF-087
Description
If the linked Addressing Action is Enforcement Sensitive, the
system shall store the Activity ID of the linked action, but
display “Under Enforcement Review” instead of the Linked
Addressing Action Type, Identifier, and Date if the user
viewing the screen does not have Enforcement Sensitive
Privileges. If the user does have Enforcement Sensitive
Privileges but the linked Addressing Action is Enforcement
Sensitive and outside of the user’s geography, the system
shall display “Under Enforcement Review” instead of the
Linked Addressing Action Type, Identifier, and Date.
If Other Discovery Action Type is entered, then Other
Discovery Action Date must be entered.
If Other Discovery Action Date is entered, then Other
Discovery Action Type must be entered.
Other Discovery Action Date must be less than or equal to the
current date
If Other Discovery Action Type is entered, then the system
will blank out Linked Discovery Action Type and Date.
If Other Discovery Action Type is blank, the system shall
select the linked Discovery Action from the linked activities
that meet the following criteria:
Linked Compliance Monitoring Activity of Type
INS, INV, or INF
Actual End Date exists
Error/Warning/Informational Message
N/A
Web Function
Edit
Other Discovery Action Date: This field is required
because Other Discovery Action Type exists.
Other Discovery Action Type: This field is required
because Other Discovery Action Date exists.
Other Discovery Action Date: This date must be less than
or equal to the current date.
N/A
Add/Edit
N/A
Edit, Link/Unlink
Activities via tabs or
Related Activities, Edit
linked Compliance
Monitoring Activities
Add/Edit
Add/Edit
Edit
If any of the these activities also have Stack Test Report
Received Date, system sets the one (that has both Stack
Test Report Received Date and Actual End Date) with
the earliest Stack Test Report Received Date as the
Linked Discovery Action. System sets the Stack Test
Report Received Date as the Linked Discovery Action
Date. If multiples exist, use the lowest Activity ID.
If none of these activities also has Stack Test Report
Received Date, system sets the Linked Discovery Action
as the activity with the earliest Actual End Date. System
sets Linked Discovery Date as the Actual End Date of
the Linked Discovery Action. If multiples exist, use the
lowest Activity ID.
ICIS Case File
112
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
ID
CF-088
CF-089
CF-090
CF-092
CF-093
CF-094
CF-095
CF-096
ICIS Case File
Description
The system shall set the linked Notification Action from the
linked activities that meet the following criteria:
Linked Informal Enforcement Action that is
defined as a Notification Action
Achieved Date (Activity Status Date) exists
Of all linked activities that meet the above criteria,
system sets the Linked Notification Action as the
activity with the earliest Achieved Date (Activity Status
Date). System sets Linked Notification Date as the
Achieved Date (Activity Status Date) of the Linked
Notification Action. If multiples exist, use the lowest
Activity ID.
If Other Addressing Action Type is entered, then Other
Addressing Action Date must be entered.
If Other Addressing Action Date is entered, then Other
Addressing Action Type must be entered.
Other Addressing Action Date must be less than or equal to
the following dates:
Current Date
Other Resolving Action Date
If Other Addressing Action Type is entered, then the system
will blank out Linked Addressing Action Type/Date.
If Other Addressing Action Type is blank, the system shall
set the Linked Addressing Action according to the following
rules:
For each linked Formal Enforcement Action, ID the
earliest Actual Date for a Milestone that is defined
as an Addressing Milestone
Of the Milestone Dates in the above bullet, ID the
ones that are <= Other Resolving Action Date
Of the Milestones in the above bullet, identify the
one with the earliest Actual Date and set this
Enforcement Action as the Linked Addressing
Action. If multiples exist, use the lowest Activity
ID. Set the Linked Addressing Action Date as this
Milestone Date.
For purposes of calculating the Linked Addressing Action,
the system shall consider the Milestones as Addressing
Milestones if
Ref_Sub_Activity_Type.Addressing_Action_Flag = Y.
If Other Resolving Action Type is entered, then Other
Resolving Action Date must be entered.
Error/Warning/Informational Message
N/A
Web Function
Edit, Link/Unlink
Activities via tabs or
Related Activities, Edit
linked Enforcement Action
Other Addressing Action Date: This field is required
because Other Addressing Action Type exists.
Other Addressing Action Type: This field is required
because Other Addressing Action Date exists.
Other Addressing Action Date must be less than or equal to
Current Date and Other Resolving Action Date.
Add/Edit
N/A
Edit
N/A
Edit, Link/Unlink
Activities via tabs or
Related Activities, Edit
linked Enforcement Action
N/A
Edit, Link/Unlink
Activities via tabs or
Related Activities, Edit
linked Enforcement Action
Add/Edit
Other Resolving Action Date: This field is required
because Other Addressing Action Type exists.
Add/Edit
Add/Edit
113
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
ID
CF-097
CF-098
CF-100
CF-101
CF-102
CF-102A
ICIS Case File
Description
If Other Resolving Action Date is entered, then Other
Resolving Action Type must be entered.
Other Resolving Action Date must be less than or equal to
Current Date.
If Other Resolving Action Type is entered, then the system
will blank out Linked Resolving Action Type/Date.
If Other Resolving Action Type is blank, the system shall set
the Linked Resolving Action Type according to the following
criteria:
All linked Formal EAs that have a Final Order for
an Air Interest also have an Actual Date for Air
Resolved Milestone
Air Resolved Milestone Actual Date >= (Other
Addressing Action Date and Linked Addressing
Action Date)
Set the Linked Resolving Action Type as the Enforcement
Action with the latest Air Resolved Milestone.
Set the Linked Resolving Action Date as latest Air Resolved
Milestone Date.
If multiples exist, use the highest Activity ID.
Note: If none of the linked Formal EAs have a Final Order
for an Air Interest, then the EAs will not have an Air
Resolved Milestone Actual Date and will not resolve the Case
File.
If Other Addressing Action and Linked Addressing Action
are blank and Other Resolving Action has a value that is
considered Resolving and Addressing
(XREF_Pathway_Category_Type.Pathway_Type_Code has
corresponding Category Code = ADDR and RSLV), the
system shall set Other Addressing Action to Other Resolving
Action and Other Addressing Date to Other Resolving Date
and set the ICIS_Comp_Det_Pathway.
Rslv_to_Addr_Sys_Gen_Flag =Y.
If ICIS_Comp_Det_Pathway.
Rslv_to_Addr_Sys_Gen_Flag=Y and the user changes the
Other Addressing Action to another value, then the system
shall update the Addressing Action value as indicated by the
user and set ICIS_Comp_Det_Pathway.
Rslv_to_Addr_Sys_Gen_Flag=N.
Error/Warning/Informational Message
Other Resolving Action Type: This field is required
because Other Addressing Action Date exists.
Other Resolving Action Date: This date must be less than
or equal to the Current Date.
N/A
Web Function
Add/Edit
N/A
Edit, Link/Unlink
Activities via tabs or
Related Activities, Edit
linked Enforcement Action
N/A
Edit, Link/Unlink
Activities via tabs or
Related Activities, Edit
linked Enforcement Action
N/A
Edit
Add/Edit
Edit
114
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
ID
CF-102B
CF-102C
CF-102D
CF-102E
CF-102F
ICIS Case File
Description
If ICIS_Comp_Det_Pathway.
Rslv_to_Addr_Sys_Gen_Flag=Y and the user changes Other
Addressing Action Date to a different value that is less than
or equal to the current date and Other Resolving Action Date,
then the system shall update the Other Addressing Action
Date as indicated by the user and set
ICIS_Comp_Det_Pathway. Rslv_to_Addr_Sys_Gen_Flag=N.
If all of the following conditions are true:
--ICIS_Comp_Det_Pathway.
Rslv_to_Addr_Sys_Gen_Flag=Y
--the user changes Other Addressing Action to another value
--the user changes Other Addressing Action Date that is less
than or equal to the current date and Other Resolving Action
Date
Then:
The system shall update the Other Addressing Action and
Date as indicated by the user and set the
ICIS_Comp_Det_Pathway. Rslv_to_Addr_Sys_Gen_Flag
=N.
If the ICIS_Comp_Det_Pathway.
Rslv_to_Addr_Sys_Gen_Flag =Y and the user blanks out
Other Addressing Action and Date, then the system shall set
Other Addressing Action/Date to the values from Other
Resolving Action/Date and set the
ICIS_Comp_Det_Pathway. Rslv_to_Addr_Sys_Gen_Flag
=Y.
If the ICIS_Comp_Det_Pathway.
Rslv_to_Addr_Sys_Gen_Flag =Y and the user changes Other
Resolving Action to another value, then the system shall
update the Other Resolving Action value as indicated by the
user, update the Other Addressing Action value to match, and
set the ICIS_Comp_Det_Pathway.
Rslv_to_Addr_Sys_Gen_Flag =Y.
If the ICIS_Comp_Det_Pathway.
Rslv_to_Addr_Sys_Gen_Flag =Y and the user changes Other
Resolving Action Date to any other value, then the system
shall update the Other Resolving Action Date value as
indicated by the user, update the Other Addressing Action
Date value to match, and set the ICIS_Comp_Det_Pathway.
Rslv_to_Addr_Sys_Gen_Flag =Y.
Error/Warning/Informational Message
N/A
Web Function
Edit
N/A
Edit
N/A
Edit
N/A
Edit
N/A
Edit
115
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
ID
CF-102G
CF-102H
CF-103
CF-104
CF-106
Status Type
CF-107
CF-107A
ICIS Case File
Description
If all of the following conditions are true:
--ICIS_Comp_Det_Pathway. Rslv_to_Addr_Sys_Gen_Flag
=Y
--the user changes Other Resolving Action to another value
--the user changes Other Resolving Action Date to another
Date
Then:
The system shall update the Other Addressing Action and
Date values to match and set the ICIS_Comp_Det_Pathway.
Rslv_to_Addr_Sys_Gen_Flag =Y.
If the ICIS_Comp_Det_Pathway.
Rslv_to_Addr_Sys_Gen_Flag =Y and the user blanks out
Other Resolving Action and Date, then the system shall blank
out Other Addressing Action and Date to match Other
Resolving Action/Date and set the
ICIS_Comp_Det_Pathway. Rslv_to_Addr_Sys_Gen_Flag
=N.
If Other Addressing Action and Linked Addressing Action
are blank and Linked Resolving Action exists, the system
shall set Linked Addressing Action to Linked Resolving
Action and Linked Addressing Date to Linked Resolving
Date.
If Other Resolving Action and Linked Resolving Action are
blank and Other Addressing Action has a value that is
considered Resolving and Addressing
(XREF_Pathway_Category_Type.Pathway_Type_Code has
corresponding Category Code = ADDR and RSLV), the
system shall set Other Resolving Action to Other Addressing
and Other Resolving Date to Other Addressing Date.
If the ID Linked Pathway Activities background process runs
but data are not changed, the Updated By and Updated Date
fields should not be changed.
Error/Warning/Informational Message
N/A
Web Function
Edit
N/A
Edit
N/A
Edit, Link/Unlink
Activities via tabs or
Related Activities, Edit
linked Enforcement Action
N/A
Edit, Link/Unlink
Activities via tabs or
Related Activities, Edit
linked Enforcement Action
N/A
Edit, Link/Unlink
Activities via tabs or
Related Activities, Edit
linked Compliance
Monitoring Activities, Edit
Linked Enforcement
Action
For a Federal Case File for which case File Type <> Air Case
File or Air Case File with NEI, Status Type shall be an
editable field using REF_Activity_Status active values.
For a Federal Case File for which case File Type <> Air Case
File or Air Case File with NEI, Status Type shall default to
Data Entered on an Add transaction.
N/A
Add/Edit
NA
Add
116
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
ID
CF-108
CF-109
CF-110
NEI
CF-111
CF-112
CF-113
CF-114
CF-115
ICIS Case File
Description
For a Federal Case File, if Status Type is user entered and
then Case File Type is set to Air Case File or Air Case File
with NEI, the system shall overwrite the user-entered Status
Type value with the system-generated value.
For an Air Case File or Air Case File with NEI, the system
shall generate Status Type according to the following rules:
If Linked / Other Resolving Action exists, set to
Resolved.
If Linked / Other Addressing Action exists AND
Linked / Other Resolving Action does not exist, set
to Addressed.
If Linked Notification Action exists AND Linked /
Other Addressing Action does not exist AND
Linked / Other Resolving Action does not exist, set
to Notified.
If Linked / Other Discovery Action exists AND
Linked Notification Action does not exist AND
Linked / Other Addressing Action does not exist
AND Linked / Other Resolving Action does not
exist, set to Discovered.
If no Pathway Activities exist, set to Data Entered.
The value will not be editable.
If the Status Type background process runs but data are not
changed, the Updated By and Updated Date fields should not
be changed.
Error/Warning/Informational Message
N./A
Web Function
Add/Edit
N/A
Edit, Link/Unlink
Activities via tabs or
Related Activities, Edit
linked Compliance
Monitoring Activities, Edit
Linked Enforcement
Action
N/A
Edit, Link/Unlink
Activities via tabs or
Related Activities, Edit
linked Compliance
Monitoring Activities, Edit
Linked Enforcement
Action
Facility NEI Initiated Action Type must be entered if Facility
NEI Initiated Action Date is entered.
Facility NEI Initiated Action Date must be entered if Facility
NEI Initiated Action Type is entered.
The Available Facility NEI Initiated Action Types are
displayed as a concatenation of: ‘<National Enforcement
Initiative code> - <Sub-Initiative short description> - <
Facility NEI Initiated Action Type short description>’.
The system shall filter the values for Facility NEI Initiated
Action Type based on the selected NEI.
The Available Facility NEI Initiated Action Types are
displayed sorted in ascending order by National Enforcement
Initiative code.
Facility NEI Initiated Action Type: This field is required
because Facility NEI Initiated Action Date exists.
Facility NEI Initiated Action Date: This field is required
because Facility NEI Initiated Action Type exists.
N/A
Add/Edit
N/A
Add/Edit
N/A
Add/Edit
Add/Edit
Add/Edit
117
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
ID
CF-116
CF-117
CF-118
CF-119
CF-120
Description
Facility NEI Initiated Action Date must be less than or equal
to the current date.
The system shall filter the values for Facility
Addressed/Controlled Action Type based on the selected
NEI.
The Available Facility Addressed/Controlled Action Types
are displayed sorted in ascending order by National
Enforcement Initiative code.
The Available Facility Addressed/Controlled Action Types
are displayed as a concatenation of: ‘<National Enforcement
Initiative code> - <Sub-Initiative short description> <Facility Addressed/Controlled Action Type short
description>’.
Facility Addressed/Controlled Action Type must be entered if
Facility Addressed/Controlled Action Date is entered.
CF-121
Facility Addressed/Controlled Action Date must be entered if
Facility Addressed/Controlled Action Type is entered.
CF-122
Facility Addressed/Controlled Action Date must be less than
or equal to the current date.
Facility No Further Action Type must be entered if Facility
Addressed/Controlled Action Date is entered.
Facility No Further Action Date must be entered if Facility
Addressed/Controlled Action Type is entered.
The system shall filter the values for Facility No Further
Action Type based on the selected NEI.
The Available Facility No Further Action Types are
displayed as a concatenation of: ‘<National Enforcement
Initiative code> - <Sub-Initiative short description> <Facility No Further Action Type short description>’.
The Available Facility No Further Action Types are
displayed sorted in ascending order by National Enforcement
Initiative code.
Facility No Further Action Date must be less than or equal to
the current date.
HQ Addressed/Controlled Approval must be selected if HQ
Addressed/Controlled Approval Date is entered.
HQ Addressed/Controlled Approval Date must be selected if
HQ Addressed/Controlled Approval is selected.
CF-123
CF-124
CF-125
CF-126
CF-127
CF-128
CF-129
CF-130
ICIS Case File
Error/Warning/Informational Message
Facility NEI Initiated Action Date: This date must be less
than or equal to the Current Date.
N/A
Web Function
Add/Edit
N/A
Add/Edit
N/A
Add/Edit
Facility Addressed/Controlled Action Type: This field is
required because Facility Addressed/Controlled Action
Date exists.
Facility Addressed/Controlled Action Date: This field is
required because Facility Addressed/Controlled Action
Type exists.
Facility Addressed/Controlled Action Date: This date must
be less than or equal to the Current Date.
Facility No Further Action Type: This field is required
because Facility No Further Action Date exists.
Facility No Further Action Date: This field is required
because Facility No Further Action Type exists.
N/A
Add/Edit
N/A
Add/Edit
N/A
Add/Edit
Facility No Further Action Date: This date must be less
than or equal to the Current Date.
HQ Addressed/Controlled Approval: This field is required
because HQ Addressed/Controlled Approval Date exists.
HQ Addressed/Controlled Approval Date: This field is
required because HQ Addressed/Controlled Approval
exists.
Add/Edit
Add/Edit
Add/Edit
Add/Edit
Add/Edit
Add/Edit
Add/Edit
Add/Edit
Add/Edit
118
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
ID
CF-131
Comments
CF-132
CF-133
CF-134
CF-135
CF-136
CF-137
CF-138
CF-139
CF-140
Audit
CF-141
CF-142
CF-143
CF-144
Description
HQ Addressed/Controlled Approval Date must be less than or
equal to the current date.
Error/Warning/Informational Message
HQ Addressed/Controlled Approval Date: This date must
be less than or equal to the Current Date.
Web Function
Add/Edit
The system shall allow the user to enter multiple nonsensitive comments for a Case File.
The system shall allow the user to enter multiple sensitive
comments for a Case File.
The system shall require that Case File Comments (Sensitive
Comment) be entered when Case File Comments Author is
entered, and vice versa.
The system shall generate the Created By based on the
Created By field in the database for Sensitive Comments.
The system shall generate the Created Date field based on the
Created Date field in the database for Sensitive Comments.
The system shall generate the Updated Date field based on
the Updated Date field in the database for Sensitive
Comments.
The system shall verify that the user who is attempting to edit
the Case File Sensitive Comment is the same user who
initially entered the comment (Created By).
The system shall verify that the user who is attempting to
delete the Case File Sensitive Comment is the same user who
initially entered the comment (Created By).
The system shall list the sensitive comments in ascending
chronological order by Created Date.
N/A
Add/Edit
N/A
Edit
The value for Case File Comments cannot be all blanks.
Author cannot be empty.
Edit
N/A
Edit
N/A
Edit
N/A
Edit
N/A
Edit
N/A
Edit
N/A
Edit
The system shall write to the audit table when a new Case
File is created.
The system shall write to the audit table when a Case File
record is updated and saved.
The system shall display values for Last Updated By and Last
Updated Date within the Case File record when a Case File is
updated and saved.
The system shall write to the audit table when a Case File
record is deleted.
N/A
Add
N/A
Edit
N/A
Edit
N/A
Delete
N/A
Add/Edit
N/A
Add, Edit
Add/Edit
Add/Edit
Consultation Date
The system shall allow the user to enter multiple Consultation
CF-145
Dates.
The system shall allow the user to delete a Consultation Date.
CF-146
Consultation Date can only be entered, edited, or deleted by
CF-147
an EPA user.
ICIS Case File
119
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
ID
CF-147A
Air Violation
CF-148
CF-149
CF-150
CF-151
CF-152
CF-152A
ICIS Case File
Description
Consultation Dates shall be sorted in reverse chronological
order when displayed on the screen. Note that newly entered
data will be sorted after save.
Error/Warning/Informational Message
N/A
Web Function
Add/Edit
The system shall allow the user to add a new Air Violation
record.
The system shall allow the user to edit an existing Air
Violation record.
The system shall allow the user to delete an existing Air
Violation record.
The system shall display the following fields in the context
header of the Air Violations screen:
Case File Identifier
Case File Name
Case File Type
Case File Status
EPA Region Code
The system shall display the following data elements on the
Add/Edit Air Violations screen:
Method of Advisement
Facility Advised of Violation Date
Violation Type
Pollutant
Program
Program Description
FRV Determination Date
HPV Day Zero Date
# of Claims
HPV Designation Removal Basis
HPV Designation Removal Date
Occurrence Start Date
Occurrence End Date
Air Violations must be unique based on the combination of
the following fields:
Violation Type
Pollutant
Program
Program Description
FRV Determination Date
HPV Day Zero Date
Occurrence Start Date
Occurrence End Date
N/A
Edit
N/A
Edit
N/A
Edit
N/A
Edit
N/A
Edit
Air Violations must be unique based on the combination of
the following fields:
Violation Type
Pollutant
Program
Program Description
FRV Determination Date
HPV Day Zero Date
Occurrence Start Date
Occurrence End Date
Edit
120
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
ID
CF-213
Description
Method of Advisement is required if Facility Advised of
Violation Date is entered and vice versa.
CF-153
The available values for the Air Violation-level Pollutant
field will be values selected for the Case-File level
Applicable Pollutants field.
The available values for the Air Violation-level Programs
will be values selected for the Case-File level Programs field.
The system shall require the user to enter the following fields
to save an Air Violation record:
Violation Type
Program
Pollutant is required if Pollutant Required Indicator = Y for
the selected Violation Type in REF_Air_Violation_Type.
CF-154
CF-155
CF-156
CF-157
CF-157A
CF-157B
CF-157C
CF-157D
CF-157E
CF-157F
ICIS Case File
The system shall display Violation Type as
Violation_Class_Code – Air Violation_Type_Desc, sorted in
ascending order (based on full concatenation of description)
in the picklist based on REF_Air_Violation_Type.
FRV Determination Date must be less than or equal to the
current date.
FRV Determination Date must be less than or equal to HPV
Day Zero Date.
When the Add Air Violation screen is displayed, the system
will default FRV Determination Date to the current date. It
can be edited.
When the user clicks Done on the Add Air Violation screen,
the system will validate that FRV Determination Date is
populated. If it is not, when the system redisplays the screen
with the error message, it will default FRV Determination
Date to the current date.
When the Edit Air Violation screen is displayed, if FRV
Determination Date is not already populated, it will default to
the current date. It can be edited.
When the user clicks Done on the Edit Air Violation screen,
the system will validate that FRV Determination Date is
populated. If it is not, when the system redisplays the screen
with the error message, it will default FRV Determination
Date to the previously saved value (if one exists). Otherwise,
it will default to the current date.
Error/Warning/Informational Message
Method of Advisement: This field is required if Facility
Advised of Violation Date is entered.
Facility Advised of Violation Date: This field is required if
Method of Advisement is entered.
N/A
Web Function
Edit
N/A
Violation Type: This field is required.
Program: This field is required.
Edit
Pollutant: This field is required for the selected Violation
Type.
Edit
N/A
FRV Determination Date: This field must be less than or
equal to the current date.
FRV Determination Date: This field must be less than or
equal to the HPV Day Zero Date.
N/A
Edit
FRV Determination Date: Enter a value less than or
equal to the current date.
Add
N/A
Edit
FRV Determination Date: Enter a value less than or
equal to the current date.
Edit
Edit
Add
121
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
ID
CF-158
Description
HPV Day Zero Date is required if Violation Class = HPV for
the selected Violation Type.
Error/Warning/Informational Message
HPV Day Zero Date: This field is required for the selected
Violation Type.
Web Function
Edit
CF-159
HPV Day Zero Date can only be entered if Violation Class =
HPV for the selected Violation Type.
Program Description is required if Program = FederallyEnforceable Requirement.
HPV Day Zero Date: This field is only applicable for HPV
Air Violations.
Program Description: This field is required if Program
selected for the Air Violation is “Federally-Enforceable
Requirement.
Occurrence Start Date: This field must be less than or equal
to Occurrence End Date.
HPV Designation Removal Basis: This field is required
because HPV Designation Removal Date exists.
HPV Designation Removal Date: This field is required
because HPV Designation Removal Basis exists.
HPV Removal Designation Basis: This field cannot be
entered for the selected Violation Type.
HPV Removal Designation Date: This field cannot be
entered for the selected Violation Type.
This Air Violation cannot be deleted from the Case File
because it is the only Air Violation and the Case File’s
Enforcement Response Policy = HPV.
Edit
Program cannot be edited because it exists on an Air
Violation record.
Pollutant cannot be edited because it exists on an Air
Violation record.
Edit
N/A
Add/Edit
N/A
Add/Edit
N/A
Add/Edit
N/A
Search
CF-160
Air Violation Occurrence Start Date must be less than or
equal to Air Violation Occurrence End Date.
If Violation Class = HPV, HPV Designation Removal Basis
CF-163
is required if HPV Designation Removal Date is entered.
If Violation Class = HPV, HPV Designation Removal Date is
CF-164
required if HPV Designation Removal Basis is entered.
HPV Designation Removal Basis can only be entered if
CF-165
Violation Class = HPV for the selected Violation Type.
HPV Designation Removal Date can only be entered if
CF-166
Violation Class = HPV for the selected Violation Type.
An Air Violation cannot be deleted if both of the following
CF-167
are true:
It is the only Air Violation record for the Case File
Enforcement Response Policy = HPV
A Case File-level Program cannot be removed if that Program
CF-210
also exists for an Air Violation for that Case File.
A Case File-level Pollutant cannot be removed if that
CF-211
Pollutant also exists for an Air Violation for that Case File.
Government Contacts
The system shall allow the user to associate zero to many
CF-168
government contacts to a Case File.
The system shall require user to associate an Affiliation Type
CF-169
to a government contact.
The system shall filter the list of Affiliation Type values to
CF-170
those where Xref_Affiliation_Module.App_Module_Code
indicating Compliance Determination.
Search Case Files
The system shall allow the user to search for Case Files based
CF-171
on predefined search data elements:
Facility Information:
Program Interest
FRS/Programmatic ID
Facility Site Name
State Facility ID
CF-162
ICIS Case File
Edit
Edit
Edit
Edit
Edit
Edit
Edit
Edit
122
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
ID
ICIS Case File
Description
Registration Number
Location Information
EPA Region
Address
City
State-Region Code
State
Zip Code
Country
County
LCON
Case File:
Case File Identifier
Case File Type
Case File Name
Status Type
Federal Statutes
Law Sections
Added Programs
Violation Class
Enforcement Response Policy
Case File Determination Date Range
Earliest HPV Day Zero Date Range
Lead Agency
Pathway Activities
Discovery Action Type
Discovery Action Date Range
No Discovery Action Identified
Notification Action Type
Notification Action Date Range
No Notification Action Identified
Addressing Action Type
Addressing Action Date Range
Not Yet Addressed
Resolving Action Type
Resolving Action Date Range
Not Yet Resolved
NEI
Initiative
Sub-Initiative
Initiated Action Type
Addressed/Controlled Action Type
No Further Action Type
Air Specific Information
Error/Warning/Informational Message
Web Function
123
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
ID
CF-071A
CF-071B
CF-071C
CF-172
CF-173
CF-173A
CF-174
ICIS Case File
Description
Air Programs
Pollutants
User Defined Fields
UDF 1
UDF 2
UDF 3
UDF 4
UDF 5
The system shall default the following fields on the Case File
Search based on the user profile:
HQ User – Do not default Region, State, or LCON
Regional User – Default Region
State User – Default State
LCON User – Default LCON
In all cases, the values for Region, State, and LCON will not
be filtered based on User ID, and can be changed by the user.
On the Case File Search screen, the system will filter location
fields as follows based on selected criteria:
If Region is selected, filter State and LCON
If State is selected, filter LCON, City Code, County
The system shall default the Program Interest field to ‘AIR’
on the Search screen if the screen is accessed from the Global
Air Menu. The value can be changed.
The system shall perform searches using an implicit ending
wildcard for the following search fields:
FRS/Programmatic ID
State Facility ID
Facility Site Name
Registration Number
Case File Identifier
Case File Name
The system shall filter Air Programs to include only Clean
Air Act Programs.
On the Search Results screen, the Determination Date field
shall display either the Case File Determination Date (for
non-Air Case Files) or the Earliest FRV Determination Date
(for Air Case Files).
The system shall provide the user a list of search results that
matches the search criteria for Case Files.
Error/Warning/Informational Message
Web Function
N/A
Search
N/A
Search
N/A
Search
N/A
Search
N/A
Search
N/A
Search
N/A
Search
124
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
ID
CF-175
Description
The system shall display the following data elements on the
Case File Search Results screen:
Case File Identifier
Case File Name
Case File Type
Status
Programmatic ID
Facility Site Name
Enforcement Response Policy
Determination Date
HPV Day Zero Date
The system shall display Case File search results with a
CF-176
default sort order by Programmatic ID in ascending order.
The system shall allow the user to click on the column
CF-177
headers on the Case File search results screen based on the
following rules:
The initial click on a column header will sort the
data in ascending order
If the column is clicked a second time, the sort
order will be in descending order
The system shall allow the user to click on the following
CF-178
column headers to sort::
Case File Identifier
Case File Name
Case File Type
Status
Programmatic ID
Facility Site Name
Enforcement Response Policy
HPV Day Zero Date
Link/Unlink Other Activities to a Case File in the Case File Module
The system shall filter the display of eligible Enforcement
CF-179
Action records to be linked based on the criteria that the
record to be linked must be associated with at least one
Facility that is also associated with the current Case File
record and must not already be linked to that Case File.
The system shall allow the user to unlink a Case File record
CF-180
from Enforcement Action records.
The system shall filter the display of eligible Compliance
CF-181
Monitoring records to be linked based on the criteria that the
record to be linked must be associated with at least one
Facility that is also associated with the current Case File
record and must not already be linked to that Case File.
ICIS Case File
Error/Warning/Informational Message
N/A
Web Function
Search
N/A
Search
N/A
Search
N/A
Search
N/A
Link/Unlink
N/A
Link/Unlink
N/A
Link/Unlink
125
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
ID
CF-182
Description
Error/Warning/Informational Message
The system shall allow the user to unlink a Case File record
N/A
from Compliance Monitoring records.
The system shall filter the display of eligible Compliance
N/A
CF-183
Assistance records to be linked based on the criteria that the
record to be linked must be associated with at least one
Facility that is also associated with the current Case File
record and must not already be linked to that Case File.
The system shall allow the user to unlink a Case File record
N/A
CF-184
from Compliance Assistance records.
The system shall filter the display of eligible Voluntary
N/A
CF-185
Disclosures to be linked based on the criteria that the record
to be linked must be associated with at least one Facility that
is also associated with the current Case File record and must
not already be linked to that Case File.
The system shall allow the user to unlink a Case File record
N/A
CF-186
from Voluntary Disclosure records.
The system shall filter the display of eligible ADR records to
N/A
CF-187
be linked based on the criteria that the record to be linked
must be associated with at least one Facility that is also
associated with the current Case File record and must not
already be linked to that Case File.
The system shall allow the user to unlink a Case File record
N/A
CF-188
from ADR records.
The system shall filter the display of eligible Incident records
N/A
CF-189
to be linked based on the criteria that the record to be linked
must be associated with at least one Facility that is also
associated with the current Case File record and must not
already be linked to that Case File.
The system shall allow the user to unlink a Case File record
N/A
CF-190
from Incident records.
For DA Case Files, the system shall filter the display of
N/A
CF-191
eligible Case File records to be linked based on the criteria
that the record to be linked must be associated with at least
one Facility that is also associated with the current Case File
record and must not already be linked to that Case File.
The system shall allow the user to unlink a Case File record
N/A
CF-192
from Case File records.
Add/Link Case File Dropdown from List of Case Files Eligible to Be Linked to the <Module> Screen
The system shall allow the user to link Case Files to
N/A
CF-206
Compliance Monitoring Activities using the Case File tab in
the Compliance Monitoring module.
ICIS Case File
Web Function
Link/Unlink
Link/Unlink
Link/Unlink
Link/Unlink
Link/Unlink
Link/Unlink
Link/Unlink
Link/Unlink
Link/Unlink
Link/Unlink
Link/Unlink
Link/Unlink
126
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
ID
CF-207
CF-208
CF-209
CF-210
CF-211
CF-212
CF-213
CF-214
ICIS Case File
Description
The system shall allow the user to link Case Files to a
Compliance Monitoring Activity that meet the following
criteria:
 Share at least one Facility with the Compliance Monitoring
Activity
 Not already linked to the Compliance Monitoring Activity
The system shall allow the user to unlink Case Files from
Compliance Monitoring Activities using the Case File tab in
the Compliance Monitoring module.
The system shall allow the user to Add and Link a Case File
to a source Compliance Monitoring Activity on the List of
Case Files Eligible to be Linked to the Compliance
Monitoring Activity screen. The linked Facilities from the
source Compliance Monitoring Activity shall be populated on
the Add screen for the new Case File and shall be editable.
If the user initiates an Add and Link Case File, upon Save of
the new Case File the source and target have a Facility in
common, the system shall link the new Activity to the source
Compliance Monitoring Activity invoking Pipeline
Processing in the Related Activities Tech Spec.
If the user initiates an Add and Link Case File from a source
Compliance Monitoring Activity, and upon Save the source
and target do not have a Facility in common, the system shall
present a warning message and will allow the user to continue
and save the record without linking.
The system shall allow the user to link Case Files to
Enforcement Actions using the Case File tab in the
Enforcement Actions module.
The system shall allow the user to link Case Files to an
Enforcement Action that meet the following criteria:
 Share at least one Facility with the Enforcement Action
 Not already linked to the Enforcement Action
The system shall allow the user to unlink Case Files from
Enforcement Actions using the Case File tab in the
Enforcement Actions module.
Error/Warning/Informational Message
N/A
Web Function
Link/Unlink
N/A
Link/Unlink
N/A
Link/Unlink
N/A
Link/Unlink
The Case File cannot be linked to the Compliance
Monitoring Activity because they do not have a Facility in
common. Do you wish to continue?
Link/Unlink
[Note (not part of error message): if Yes is selected, the
Case File is saved but not linked to the source Compliance
Monitoring Activity. If No is selected, the Case File is not
saved and the user is returned to the Add Case File screen.]
N/A
Link/Unlink
N/A
Link/Unlink
N/A
Link/Unlink
127
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
ID
CF-215
CF-216
CF-217
CF-218
CF-219
CF-220
CF-221
CF-222
ICIS Case File
Description
The system shall allow the user to Add and Link a Case File
to a source Enforcement Action on the List of Case Files
Eligible to be Linked to the Enforcement Action screen. The
linked Facilities from the source Enforcement Action shall be
populated on the Add screen for the new Case File and shall
be editable.
If the user initiates an Add and Link Case File from a source
Enforcement Action, and upon Save of the new Case File the
source and target have a Facility in common, the system shall
link the new Activity to the source Enforcement Action
invoking Pipeline Processing in the Related Activities Tech
Spec.
If the user initiates an Add and Link Case File from a source
Enforcement Action and upon Save the source and target do
not have a Facility in common, the system shall present a
warning message and will allow the user to continue and save
the record without linking.
The system shall allow the user to link Case Files to other
Case Files using the Linked Case Files sub-link in the Case
File module.
The system shall allow the user to link Case Files to a Case
File that meet the following criteria:
 Share at least one Facility with the Case File
 Not already linked to the Case File
The system shall allow the user to unlink Case Files from
other Case Files using the Linked Case File sub-link in the
Case File module.
The system shall allow the user to Add and Link a Case File
to a source other Case File on the List of Case Files Eligible
to be Linked to the Case File screen. The linked Facilities
from the source other Case File shall be populated on the Add
screen for the new Case File and shall be editable.
If the user initiates an Add and Link Case File from a source
Case File, and upon Save of the new Case File the source and
target have a Facility in common, the system shall link the
new Activity to the source Case File invoking Pipeline
Processing in the Related Activities Tech Spec.
Error/Warning/Informational Message
N/A
Web Function
Link/Unlink
Link/Unlink
The Case File cannot be linked to the Enforcement Action
because they do not have a Facility in common. Do you
wish to continue?
Link/Unlink
[Note (not part of error message): if Yes is selected, the
Case File is saved but not linked to the source Enforcement
Action. If No is selected, the Case File is not saved and the
user is returned to the Add Case File screen.]
N/A
Link/Unlink
N/A
Link/Unlink
N/A
Link/Unlink
N/A
Link/Unlink
N/A
Link/Unlink
128
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
ID
CF-223
Description
If the user initiates an Add and Link Case File from a source
Case File and upon Save the source and target do not have a
Facility in common, the system shall present a warning
message and will allow the user to continue and save the
record without linking.
Sub Activities (Federal Only)
Sub Activity Actual Date must be <= current date.
CF-193
CF-194
CF-194A
Sub Activity Types are filtered based on the Compliance
Activity Type.
Sub Activity Type is required to save a Sub Activity.
Air Facility Summary FRV Status
The system shall populate HPV Status on the Facility
CF-195
Summary screen for the Facility linked to Air Case Files
(Case File Type = Air Case File or Air Case File with NEI)
indicating the highest status of non-resolved HPV violations
according to the following rules:
Display as Unaddressed HPV if any Case Files with
Enforcement Response Policy = HPV have Status
Type = Discovered or Notified
Display as Addressed HPV if any Case Files with
Enforcement Response Policy = HPV have Status
Type = Addressed and none have Status Type =
Discovered or Notified
Display as null if all Case Files with Enforcement
Response Policy = HPV have Status Type =
Resolved.
Error/Warning/Informational Message
The Case File cannot be linked to the Case File because
they do not have a Facility in common. Do you wish to
continue?
Web Function
Link/Unlink
[Note (not part of error message): if Yes is selected, the
Case File is saved but not linked to the source Case File. If
No is selected, the Case File is not saved and the user is
returned to the Add Case File screen.]
Sub Activity Actual Date: This field must be less than or
equal to the current date.
N/A
Add/Edit
Sub Activity Type: This field is required.
Add/Edit
N/A
Add/Edit
Add/Edit
For this calculation, the system shall exclude all Case Files
that meet either of the following criteria:
Status Type = Data Entered
Case File is Enforcement Sensitive
HPV Status is not a stored data element. This calculation is
performed when the Facility Summary screen is accessed so
that the proper value can be displayed.
Add/Link Case File from FE&C Edit Buttons (Federal only)
ICIS Case File
129
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
ID
CF-196
CF-197
CF-198
CF-199
ICIS Case File
Description
If the Case File Add is initiated from Add/Link button on the
Edit Federal Compliance Monitoring Activity, the system
shall default the Facilities on the Add Case File screen to the
Facilities on the source Compliance Monitoring Activity.
If the Case File Add is initiated from Add/Link button on the
Edit Voluntary Disclosure, the system shall default the
Facilities on the Add Case File screen to the Facilities on the
source Voluntary Disclosure.
If the Case File Add is initiated from Add/Link button on the
Edit Federal Compliance Monitoring Activity, upon save, the
system shall link the new Case File to the source Compliance
Monitoring Activity if the two still share at least one facility,
the system shall invoke Pipeline Processing in the Related
Activities Tech Spec.
If the Case File Add is initiated from Add/Link button on the
Edit Voluntary Disclosure, upon save, the system shall link
the new Case File to the source Voluntary Disclosure if the
two still share at least one facility, the system shall invoke
Pipeline Processing in the Related Activities Tech Spec.
Error/Warning/Informational Message
N/A
Web Function
Add
N/A
Add
For Air Case File Types, only one Facility can be linked,
and that Facility must be an Air Facility.
Add
N/A
Add
130
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
11. DATA ELEMENTS MAPPING
Table 11-1. Case File Data Element Mapping includes the data element name as displayed on the screen, whether the field is system
required (SR?), programmatically required (PR?), and conditionally required (CR?). It also provides the default values that will be
displayed when the user first arrives at the Add screen, how the data will be displayed on the screen, the source reference table, values
for the selection boxes, and sort order, and where the data will be saved in the target database table and columns.
Table 11-1. Case File Data Element Mapping
Data Element
Name
SR
?
PR
?
CR
?
Fed/DA/
Both
Default
Value
Displayed
Data Type Displayed
(Type, Length)
Y
N
Both
System
Generated

Data Validation (REF Table, Valid
Values, Sort Order)
Target Database Table &
Column
Case File Context Header
Case File
Identifier
Y


Case File Name
Case File Type
ICIS Case File
N
Y
N
Y
N
N
Both
Both
System
Generated
based on
Case File
Name

System
Generated
based on
Case File
Type





Display Data Only
in Context Header
Alphanumeric
Max Length 25
characters
Display Data Only
in Context Header
Alphanumeric
Max Length 100
characters
N/A
ICIS_Comp_Determination.Com
p_Determination_UID
N/A
ICIS_Activity.Activity_Name
Display Data Only
in Context Header
Alphanumeric
Max Length 100
characters

REF_Comp_Determination_Type
REF_Comp_Determination_Type
.Comp_Determination_Type_Des
c
where
REF_Comp_Determination_Type
.Comp_Determination_Type_Cod
e=ICIS_Comp_Determination.Co
mp_Determination_Type_Code
131
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
Data Element
Name
SR
?
PR
?
CR
?
Fed/DA/
Both
Default
Value
Displayed
Data Type Displayed
(Type, Length)
Status
N
N
N
Both
System
Generated
based on
Case File
Status Type

System
Generated
based on
State Code

EPA Region
N
N
N
Both





State/EPA Flag
ICIS Case File
Y
N
N
Both
System
Generated



Data Validation (REF Table, Valid
Values, Sort Order)
Target Database Table &
Column
Display Data Only
in Context Header
Alphanumeric
Max Length 100
characters

REF_Activity_Status
REF_Activity_Status.Activity_St
atus_Desc
where
REF_Activity_Status.Activity_St
atus_Code=ICIS_Activity.Activit
y_Status_Code
Display Data Only
in Context Header
Display
REF_State.Region_
code for the State
value selected
Alphanumeric
Max Length 2
characters
Does not display
Alphanumeric
Length = 1

REF_Region
ICIS_Activity.Region_Code
If the user has selected to add a Federal
Case File, set to E. If the user has
selected to add a State Case File, set to S.
If the user has selected to add an LCON
Case File, set to L.
ICIS_Activity.State_EPA_Flag
132
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
Data Element
Name
SR
?
PR
?
CR
?
Fed/DA/
Both
Default
Value
Displayed
Data Type Displayed
(Type, Length)
Y
N
N
Fed
Value is
system
generated
based on
Region
associated
with User
ID. Value
is editable
for HQlevel users.

For State
and LCON
Users value
is System
generated
based on
State
associated
with User
ID

Data Validation (REF Table, Valid
Values, Sort Order)
Target Database Table &
Column
Basic Information
Basic
Information::
Region / State
Basic
Information::
Region / State
ICIS Case File
Y
N
N
DA




Single Select
Dropdown
Alphanumeric
Max Length 2
characters


Single Select
Dropdown
Alphanumeric
Max Length 2
characters




REF_Region
Valid Values:
o Values currently in ICIS
REF_Region
Sort Order:
o Alphabetic - Ascending
o Results filtered based on
geography of User ID
ICIS_Activity.Region_Code
REF_State
Valid Values:
o Values currently in ICIS
REF_State where
usage_indicator=N or B
Sort Order:
o Alphabetic - Ascending
o Results filtered based on
geography of User ID
ICIS_Activity.State_Code
133
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
Data Element
Name
SR
?
PR
?
CR
?
Fed/DA/
Both
Default
Value
Displayed
Data Type Displayed
(Type, Length)
Basic
Information::
LCON
N
N
N
Both
For LCON
Users,
value is
system
generated
based on
LCON
associated
with User
ID.



Data Validation (REF Table, Valid
Values, Sort Order)
Single Select
Autocomplete
Length of Largest
Value
Display
REF_Air_Lcon.Lco
n_Desc where
REF_Air_Lcon_Co
de=ICIS_Activity.A
ir_Lcon_Code


REF_Air_Lcon
For Federal and State users, values
are filtered based on the selected
State.
Target Database Table &
Column
ICIS_Activity.Air_Lcon_Code
For Federal
and State
records,
value is
system
generated
as 000.
Basic
Information::
Case File
Identifier
Y
N
N
Both
N/A

Max Length 25
characters
N/A
ICIS_Comp_Determination.Com
p_Determination_UID
Basic
Information::
Case File Name
N
N
Y
Both
N/A



Alphanumeric
Free-form text
Max Length 100
characters
N/A
ICIS_Activity.Activity_Name
ICIS Case File
134
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
Data Element
Name
SR
?
PR
?
CR
?
Fed/DA/
Both
Default
Value
Displayed
Data Type Displayed
(Type, Length)
Basic
Information::
Case File Type
Y
N
N
Both
Air Case
File for Air
Delegated
Agency
records


Data
Entered


Basic
Information::
Status Type
Y
N
N
Both


Basic
Information::
Case File
Description
ICIS Case File
N
N
N
N/A



Dropdown
Length of Largest
Value
Display
REF_Comp_Determ
ination_Type.Comp
_Determination_Ty
pe_Desc where
REF_Comp_Determ
ination.Comp_Deter
mination_Type_Cod
e=ICIS_Comp_Dete
rmination.Comp_De
termination_Type_
Code
Dropdown
Length of Largest
Value
Display
REF_Activity_Statu
s.Activity_Status_D
esc where
REF_Activity_Statu
s.Activity_Status_C
ode=ICIS_Activity.
Activity_Status_Co
de
Alphanumeric
Free-form text
Max Length 4000
characters
Data Validation (REF Table, Valid
Values, Sort Order)



REF_Comp_Determination_Type
Only active values
Sort Order
o Alphabetical, ascending


N/A
REF_Activity_Status
Only active values
Target Database Table &
Column
ICIS_Comp_Determination.Com
p_Determination_Type_Code
ICIS_Activity.Activity_Status_C
ode
ICIS_Comp_Determination.Descr
iption_Text
135
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
Data Element
Name
SR
?
PR
?
CR
?
Fed/DA/
Both
Default
Value
Displayed
Data Type Displayed
(Type, Length)
Basic
Information::
Lead Agency
N
Y
N
DA
For Federal
records,
value is
EPA. For
State
records,
value is
State. For
LCON
records,
value is
Local



Data Validation (REF Table, Valid
Values, Sort Order)
Target Database Table &
Column
Dropdown
Length of Largest
Value
Display
REF_Agency_Type.
Agency_Type_Desc

Alphanumeric
Max Length 15
characters
Alphanumeric
Free-form text
Max Length 10
characters
Alphanumeric
Max Length 50
characters
N/A
ICIS_Facility_Interest.Pgm_Sys_
ID
N/A
ICIS_Facility_Interest.Pgm_Sys_
Acrnm
N/A
ICIS_Facility_Interest.Facility_N
ame
Alphanumeric
Max Length 50
characters
Alphanumeric
Max Length 50
characters
N/A
ICIS_Facility_Interest.Location_
Address
N/A
ICIS_Facility_Interest.Supplemen
tal_Location_Text

REF_Agency_Type values where
REF_Agency_Type.Activity_Group
_Code=CMD
Only active values
ICIS_Activity.Air_Lead_Agency
_Type_Code
Linked Facility
Linked Facility::
Programmatic ID
Y
Y
N
Both
N/A


Linked Facility::
Program System
Acronym
N
N
N
Both
N/A



Linked Facility::
Facility Site
Name
N
N
N
Both
N/A


Linked Facility::
Address Street 1
N
N
N
Both
N/A


Linked Facility::
Address Street 2
N
N
N
Both
N/A


ICIS Case File
136
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
Data Element
Name
SR
?
PR
?
CR
?
Fed/DA/
Both
Default
Value
Displayed
Data Type Displayed
(Type, Length)
Linked Facility::
County
N
N
N
Both
N/A

Linked Facility::
State
N
N
N
Both
N/A


Linked Facility::
Zip Code
N
N
N
Both
N/A


Linked Facility::
FRS ID
N
N
N
Both
N/A


Y
Y
N
Both
CAA for
Air
Delegated
Agency
records

Data Validation (REF Table, Valid
Values, Sort Order)
Display
REF_County.Count
y_Name where
REF_County.Count
y_Code=ICIS_Facil
ity_Interest.County_
Code
Alphanumeric
Max Length 2
characters
Numeric
Max Length 14
characters
Alphanumeric
Max Length 12
characters

Dropdown
REF_County
Target Database Table &
Column
ICIS_Facility_Interest.County_C
ode
N/A
ICIS_Facility_Interest.State_Cod
e
N/A
ICIS_Facility_Interest.Zip
N/A
ICIS_Facility_Interest.
Facility_UID


XREF_Activity_Law_Section.Sta
tute_Code
Statutes/Programs
Statutes:: Federal
Statutes

Law Sections::
Law Sections
ICIS Case File
Y
Y
N
Fed
N/A

Dropdown


REF_Statute
Valid values:
o Values currently in REF_Statute
o XREF_Program_Law_Section.S
tatute_Code where
Activity_Group_Code=CMD
Sort Order:
o Alphabetic - Ascending Order
by Statute Code
REF_Law_Section
Valid values:
o Values currently in
REF_Law_Section
o XREF_Program_Law_Section.
Law_Section_Code where
Activity_Group_Code=CMD
XREF_Activity_Law_Section.La
w Section_Code
137
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
Data Element
Name
SR
?
PR
?
CR
?
Fed/DA/
Both
Default
Value
Displayed
Data Type Displayed
(Type, Length)
Programs::
Programs
Y
Y
N
Both
N/A


Multi-select with
Autocomplete
On Air screen for
Delegated Agency,
display
REF_Program.Progr
am_Desc
(ref_program.progra
m_code)
Data Validation (REF Table, Valid
Values, Sort Order)



Programs::
Program
Description
N
N
N
DA
N/A


Alphanumeric
Max Length 100
characters
REF_Program where
program_category_code = ‘AIR’
and ref_program.activity_filter_code
has ref_activity_filter.air_da_flag =
Y
Valid values:
o Values currently in
REF_Program
o XREF_Program_Law_Section.P
rogram_Code where
Activity_Group_Code=CMD
for Federal Statute selected
Sort Order:
o Alphabetic - Ascending Order
by ref_program.air_sort_order
N/A
Target Database Table &
Column
XREF_Activity_Program.Progra
m_Code
ICIS_Comp_Determination.Other
_Program_Text
Pollutants
ICIS Case File
138
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
Data Element
Name
SR
?
PR
?
CR
?
Fed/DA/
Both
Default
Value
Displayed
Data Type Displayed
(Type, Length)
Pollutants::
Applicable
Pollutants
N
N
N
Both
N/A



Data Validation (REF Table, Valid
Values, Sort Order)
Target Database Table &
Column
Multi-select with
Autocomplete
Length of Largest
Value
On Air screen for
Delegated Agency,
display
REF_Pollutant.Poll
utant_Desc where
REF_Pollutant.Poll
utant_Category_Co
de=AIR


N/A
ICIS_Comp_Determination.Super
seded_By

ICIS_Comp_Det_Consultation.C
onsultation_Date
REF_Pollutant
Sort Order:
o Alphabetic – Ascending by
Pollutant Name
XREF_Activity_Pollutant.Polluta
nt_Code
Pathway Information
Pathway
Information::
Lead Agency
Change/Supersed
ed By
N
N
N
Both
N/A



Alphanumeric
Free-form text
Max Length 100
characters
Pathway
Information::
Consultation
Date
N
N
N
Both
N/A

Display only for
Delegated Agency
users
Date
o EDT: Must be
valid date in
yyyy-mm-dd
format
o Web: Must be
valid date in
mm/dd/yyyy
format

Sort Order:
o Reverse Chronological Order by
Consultation Date
Initiatives
ICIS Case File
139
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
Data Element
Name
SR
?
PR
?
CR
?
Fed/DA/
Both
Default
Value
Displayed
Data Type Displayed
(Type, Length)
Initiatives:: EPA
National
Initiative
N
N
N
Both
N/A


Data Validation (REF Table, Valid
Values, Sort Order)
Multiselect
Length of Largest
Value

Dropdown
Length of Largest
Value
Display
REF_Cross_Media_
Indicator.Cross_Me
dia_Indicator_Desc
where
REF_Cross_Media_
Indicator.Fed_Facili
ty_Indicator_Code=
ICIS_Activity_Cros
s_Media.Fed_Facilit
y_Indicator_Code
Alphanumeric
Max Length 4000
characters



REF_Priority where
Region_Code=HQ
Sort Order:
o Reverse Chronological Order by
Fiscal Year
o Alphabetic – Ascending Order
by Priority Description
Target Database Table &
Column
XREF_Activity_Priority.Priority_
Code
Cross Media Indicators
Cross Media
Indicators::
Federal Facility
Activity
N
Cross Media
Indicators::
Federal Facility
Activity
Comment
N
N
N
Both
N/A



N
N
Both
N/A


REF_Cross_Media_Indicator
ICIS_Activity_Cross_Media.Fed_
Facility_Indicator_Code
N/A
ICIS_Activity_Cross_Media.Fed_
Facility_Comment
Ref_Air_Violation_Severity
ICIS_Comp_Determination.Enf_
Response_Policy_Code
Air Case File (if Case File type = Air Case File or Air Case File with NEI)
Case File
Information::
Enforcement
Response Policy
ICIS Case File
N
N
N
Both
N/A

Display only
140
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
Data Element
Name
SR
?
PR
?
CR
?
Fed/DA/
Both
Default
Value
Displayed
Data Type Displayed
(Type, Length)
Case File
Information::
Enforcement
Sensitive
Indicator1
Case File Dates::
Earliest HPV
Day Zero
N
N
N
DA
No

N
N
N
Both
N/A


Case File Dates::
Earliest FRV
Determination
Date
N
N
N
Both
N/A


Checkbox
Display only
Date
o EDT: Must be
valid date in
yyyy-mm-dd
format
o Web: Must be
valid date in
mm/dd/yyyy
format
Display only
Date
o EDT: Must be
valid date in
yyyy-mm-dd
format
o Web: Must be
valid date in
mm/dd/yyyy
format
Data Validation (REF Table, Valid
Values, Sort Order)

Valid Values:
o Yes
o No (default)
Target Database Table &
Column
ICIS_Activity.Sensitive_Data_Fla
g
N/A
N/A
N/A
N/A
Air Case File: Pathway Activities
1
For other activities sensitive_data_flag is set by a trigger, but for Case File since it can be updated by the user and through linking to non-sensitive Enforcement
Actions, the application will take the responsibility for populating the flag for Case Files.
ICIS Case File
141
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
Data Element
Name
SR
?
PR
?
CR
?
Fed/DA/
Both
Default
Value
Displayed
Data Type Displayed
(Type, Length)
Discovery Action
Type/Date::
Discovery Action
Other Type
N
N
N
Both
N/A



Discovery Action
Type/Date::
Discovery Action
Other Date
N
Discovery Action
Type/Date::
Discovery Action
via Linked
Activity
N
ICIS Case File
N
N
N
N
Both
Both
N/A
N/A


Dropdown
Display
Ref_Pathway_Type.
Pathway_Type_Des
c where
xRef_Pathway_Typ
e.
Pathway_category_
Code=DSCV
Sort By:
xref_pathway_categ
ory_type.sort_order
ASC
Date
o EDT: Must be
valid date in
yyyy-mm-dd
format
o Web: Must be
valid date in
mm/dd/yyyy
format
Display only
Data Validation (REF Table, Valid
Values, Sort Order)

Ref_Pathway_Type
Target Database Table &
Column
ICIS_Comp_Det_Pathway.Manua
l_Pathway_Type_Code
and
ICIS_Comp_Det_Pathway.Pathw
ay_Category_Code=DSCV
(Discovery Action)
N/A
ICIS_Comp_Det_Pathway.Manua
l_Pathway_Date
and
ICIS_Comp_Det_Pathway.Pathw
ay_Category_Code=DSCV
(Discovery Action)

Linked Compliance Monitoring
Activity with Facility ID in common
ICIS_Air_Comp_Det_Pathway.Li
nked_Activity_ID and
ICIS_Air_Comp_Det_Pathway.Li
nked_Pathway_Date WHERE
pathway_category_code = DSCV
(Discovery Action)
142
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
Data Element
Name
SR
?
PR
?
CR
?
Fed/DA/
Both
Default
Value
Displayed
Data Type Displayed
(Type, Length)
Notification
Action
Type/Date::
Notification
Action via
Linked Activity
N
N
N
Both
N/A

Display only

Linked Enforcement Action Activity
with Facility ID in common
ICIS_Air_Comp_Det_Pathway.Li
nked_Activity_ID and
ICIS_Air_Comp_Det_Pathway.Li
nked_Pathway_Date WHERE
pathway_category_code = NTFN
Addressing
Action
Type/Date::
Addressed
Action Other
Type
N
N
N
Both
N/A


Dropdown
Ref_Pathway_Type.
Pathway_Type_Des
c where
xRef_Pathway_Typ
e.
Pathway_category_
Code=ADDR
Sort By:
xref_pathway_categ
ory_type.sort_order
ASC

Ref_Pathway_Type
ICIS_Comp_Det_Pathway.Manua
l_Pathway_Type_Code

Data Validation (REF Table, Valid
Values, Sort Order)
Target Database Table &
Column
and
ICIS_Comp_Det_Pathway.Pathw
ay_Category_Code=ADDR
(Addressing Action)
and
ICIS_Comp_Det_Pathway.Pathw
ay_Category_Code=RSLV
(Resolving)
Addressing
Action
Type/Date::
Addressed
Action Other
Date
N
N
N
Both
N/A

Date
o EDT: Must be
valid date in
yyyy-mm-dd
format
o Web: Must be
valid date in
mm/dd/yyyy
format
N/A
ICIS_Comp_Det_Pathway.Manua
l_Pathway_Date
and
ICIS_Comp_Det_Pathway.Pathw
ay_Category_Code=ADDR
(Addressing Action) and
ICIS_Comp_Det_Pathway.Pathw
ay_Category_Code=RSLV
(Resolving)
ICIS Case File
143
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
Data Element
Name
SR
?
PR
?
CR
?
Fed/DA/
Both
Default
Value
Displayed
Data Type Displayed
(Type, Length)
Addressing
Action
Type/Date::
Addressing
Action via
Linked Activity
N
N
N
Both
N/A

Resolving Action
Type/Date::
Resolving Action
Other Type
N
N
N
Both
N/A



Resolving Action
Type/Date::
Resolving Action
Other Date
N
N
N
Both
N/A

Display only
Dropdown
Display
Ref_Pathway_Type.
Pathway_Type_Des
c where
Ref_Pathway_Type.
Manual_Pathway_T
ype_Code=ICIS_Co
mp_Det_Pathway.M
anual_Pathway_Typ
e_Code
Sort By:
xref_pathway_categ
ory_type.sort_order
ASC
Date
o EDT: Must be
valid date in
yyyy-mm-dd
format
o Web: Must be
valid date in
mm/dd/yyyy
format
Data Validation (REF Table, Valid
Values, Sort Order)
Target Database Table &
Column

Linked Enforcement Action Activity
with Facility ID in common
ICIS_Air_Comp_Det_Pathway.Li
nked_Activity_ID and
ICIS_Air_Comp_Det_Pathway.Li
nked_Pathway_Date WHERE
pathway_category_code = ADDR
(Addressing Action)

Ref_Pathway_Type
ICIS_Comp_Det_Pathway.Manua
l_Pathway_Type_Code
and
ICIS_Comp_Det_Pathway.Pathw
ay_Category_Code=ADDR
(Addressing Action) and
ICIS_Comp_Det_Pathway.Pathw
ay_Category_Code=RSLV
(Resolving)
N/A
ICIS_Comp_Det_Pathway.Manua
l_Pathway_Date
and
ICIS_Comp_Det_Pathway.Pathw
ay_Category_Code=ADDR
(Addressing Action) and
ICIS_Comp_Det_Pathway.Pathw
ay_Category_Code=RSLV
(Resolving)
ICIS Case File
144
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
Data Element
Name
SR
?
PR
?
CR
?
Fed/DA/
Both
Default
Value
Displayed
Data Type Displayed
(Type, Length)
Resolving Action
Type/Date::
Resolving Action
via Linked
Activity
N
N
N
Both
N/A

(N/A)
N
N
N
Both
N/A
N/A (Not displayed)
Display only
Data Validation (REF Table, Valid
Values, Sort Order)
Target Database Table &
Column

Linked Enforcement Action Activity
with Facility ID in common
ICIS_Air_Comp_Det_Pathway.Li
nked_Activity_ID and
ICIS_Air_Comp_Det_Pathway.Li
nked_Pathway_Date WHERE
pathway_category_code = RSLV
(Resolving Action)

Set based on Figure 9.1-1. Identify
Linked Pathway Activities and Set
Case File Status Type
ICIS_Comp_Det_Pathway.Rslv_t
o_Addr_Sys_Gen_Flag

REF_Discovery_Method
ICIS_Comp_Determination.Disco
very_Method_Code
Case File (if Case File type <> Air Case File or Air Case File with NEI)
Case File
Information::
Method of
Discovery
ICIS Case File
N
N
N
Fed
N/A



Dropdown
Length of Largest
Value
Display
REF_Discovery_Me
thod.Discovery_Met
hod_Desc where
REF_Discovery_Me
thod.Discovery_Met
hod_Code=ICIS_Co
mp_Determination.
Discovery_Method_
Code
145
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
Data Element
Name
SR
?
PR
?
CR
?
Fed/DA/
Both
Default
Value
Displayed
Data Type Displayed
(Type, Length)
Case File
Information::
Violation Class
Type
N
N
N
Fed
N/A


Case File
Information::
Follow-up Action
N

N
N
Fed
N/A



Case File
Information::
Enforce AO
ICIS Case File
N
N
N
Fed
No

Dropdown
Length of Largest
Value
Display
REF_Violation_Cla
ss.Violation_Class_
Desc where
REF_Violation_Cla
ss.Violation_Class_
Code=ICIS_Comp_
Monitor.Violation_
Class_Code
Dropdown
Length of Largest
Value
Display
REF_Followup_Act
ion.Followup_Actio
n_Desc where
REF_Followup_Act
ion.Followup_Actio
n_Code=ICIS_Com
p_Determination.Fo
llowup_Action_Cod
e
Checkbox
Data Validation (REF Table, Valid
Values, Sort Order)
Target Database Table &
Column

REF_Violation_Class
ICIS_Comp_Determination.Viola
tion_Class_Code

REF_Followup_Action
ICIS_Comp_Determination.Follo
wup_Action_Code

Valid Values:
o Yes
o No
ICIS_Comp_Determination.Enf_
Admin_Order_Flag
146
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
Data Element
Name
SR
?
PR
?
CR
?
Fed/DA/
Both
Default
Value
Displayed
Data Type Displayed
(Type, Length)
Case File Dates::
Discovery Date
N
N
N
Fed
N/A

Case File Dates::
Determination
Date
N
N
N
Fed
N/A

Case File Dates::
Occurrence Start
Date
N
N
N
Fed
N/A

ICIS Case File
Date
o EDT: Must be
valid date in
yyyy-mm-dd
format
o Web: Must be
valid date in
mm/dd/yyyy
format
Date
o EDT: Must be
valid date in
yyyy-mm-dd
format
o Web: Must be
valid date in
mm/dd/yyyy
format
Date
o EDT: Must be
valid date in
yyyy-mm-dd
format
o Web: Must be
valid date in
mm/dd/yyyy
format
Data Validation (REF Table, Valid
Values, Sort Order)
Target Database Table &
Column
N/A
ICIS_Comp_Determination.Disco
very_Date
N/A
ICIS_Comp_Determination.Com
p_Determination_Date
N/A
ICIS_Activity.Actual_Begin_Dat
e
147
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
Data Element
Name
SR
?
PR
?
CR
?
Fed/DA/
Both
Default
Value
Displayed
Data Type Displayed
(Type, Length)
Case File Dates::
Occurrence End
Date
N
N
N
Fed
N/A

National
Enforcement
Initiative
Determination::
Facility NEI
Initiated Action
Type
N
N
Y
Fed
N/A


National
Enforcement
Initiative
Determination::
Facility NEI
Initiated Action
Date
N
N
Y
Fed
N/A

Data Validation (REF Table, Valid
Values, Sort Order)
N/A
Date
o EDT: Must be
valid date in
yyyy-mm-dd
format
o Web: Must be
valid date in
mm/dd/yyyy
format
NEI (if Case File type = Air Case File with NEI or National Enforcement Initiative Determination)
ICIS Case File
Multi-select
Display
REF_Initiated_Acti
on_Type.Initiated_
Action_Type_Desc
where
REF_Initiated_Acti
on_Type.Initiated_
Action_Type_Code
=XREF_Comp_Det
_Initiated_Actn.Initi
ated_Action_Type_
Code
Date
o EDT: Must be
valid date in
yyyy-mm-dd
format
o Web: Must be
valid date in
mm/dd/yyyy
format

N/A
REF_Initiated_Action_Type
Target Database Table &
Column
ICIS_Activity.Actual_End_Date
XREF_Comp_Det_Initiated_Actn
.Initiated_Action_Type_Code
ICIS_Comp_Determination.Initiat
ed_Action_Type_Date
148
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
Data Element
Name
SR
?
PR
?
CR
?
Fed/DA/
Both
Default
Value
Displayed
Data Type Displayed
(Type, Length)
National
Enforcement
Initiative
Determination::
Facility NEI
Addressed/Contr
olled Action
Type
N
N
Y
Fed
N/A


National
Enforcement
Initiative
Determination::
Facility
Addressed/Contr
olled Action Date
N
N
Y
Fed
N/A

ICIS Case File
Multi-select
Display
REF_NEI_Sub_Initi
ative.NEI_Sub_Initi
ative_Code –
REF_NEI_Sub_Initi
ative.NEI_Sub_Initi
ative_Short_Desc REF_Addr_Ctrl_Ac
tion_Type.Addr_Ctr
l_Action_Type_Sho
rt where
REF_Addr_Ctrl_Ac
tion_Type_Type.Ad
dr_Ctrl_Type_Code
=XREF_Comp_Det
_Addr_Ctrl_Actn.A
ddr_Ctrl_Action_Ty
pe_Code
Date
o EDT: Must be
valid date in
yyyy-mm-dd
format
o Web: Must be
valid date in
mm/dd/yyyy
format
Data Validation (REF Table, Valid
Values, Sort Order)


N/A
REF_NEI_Sub_Initiative
REF_Addr_Ctrl_Action_Type
Target Database Table &
Column
XREF_Comp_Det_Addr_Ctrl_Ac
tn.Addr_Ctrl_Action_Type_Code
ICIS_Comp_Determination.Addr
_Ctrl_Action_Type_Date
149
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
Data Element
Name
SR
?
PR
?
CR
?
Fed/DA/
Both
Default
Value
Displayed
Data Type Displayed
(Type, Length)
National
Enforcement
Initiative
Determination::
Facility No
Further Action
Type
N
N
Y
Fed
N/A


National
Enforcement
Initiative
Determination::
Facility No
Further Action
Date
N
N
Y
Fed
N/A

National
Enforcement
Initiative
Determination::
HQ
Addressed/Contr
olled Approval
N
N
N
Fed
No

ICIS Case File
Multi-select
Display
REF_No_Further_A
ction_Type.No_Furt
her_Action_Type_D
esc where
REF_No_Further_A
ction_Type.No_Furt
her_Action_Type_C
ode=XREF_Comp_
Det_No_Futher_Act
n.No_Further_Actio
n_Type_Code
Date
o EDT: Must be
valid date in
yyyy-mm-dd
format
o Web: Must be
valid date in
mm/dd/yyyy
format
Checkbox
Data Validation (REF Table, Valid
Values, Sort Order)

REF_No_Further_Action_Type
Target Database Table &
Column
XREF_Comp_Det_No_Futher_A
ctn.No_Further_Action_Type_Co
de
N/A
ICIS_Comp_Determination.No_F
urther_Action_Type_Date

ICIS_Comp_Determination.HQ_
Addr_Ctrl_Approval_Flag
Valid Values:
o Yes
o No
150
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
Data Element
Name
SR
?
PR
?
CR
?
Fed/DA/
Both
Default
Value
Displayed
Data Type Displayed
(Type, Length)
National
Enforcement
Initiative
Determination::
HQ
Addressed/Contr
olled Approval
Date
N
N
N
Fed
N/A

National
N
Enforcement
Initiative
Determination::
NEI
Determination
Comment
Government Contacts
N
N
Fed
N/A



Affiliation Type
N/
A
N/
A
Both
N/A

N/
A


First Name
ICIS Case File
N/
A
N/
A
N/
A
Both
N/A


Date
o EDT: Must be
valid date in
yyyy-mm-dd
format
o Web: Must be
valid date in
mm/dd/yyyy
format
Alphanumeric
Free-form text
Max Length 4000
characters
Display
REF_Affiliation_Ty
pe.Affiliation_Type
_Desc where
REF_Affiliation_Ty
pe.Affiliation_Type
_Code=XREF_Acti
vity_Person.Affiliati
on_Type_Code
Dropdown
Length of Largest
Value
Display only
Max Length 30
characters
Data Validation (REF Table, Valid
Values, Sort Order)
Target Database Table &
Column
N/A
ICIS_Comp_Determination.HQ_
Addr_Ctrl_Approval_Date
N/A
ICIS_Comp_Determination.NEI_
Comment_Text



N/A
REF_Affiliation_Type.Affiliation_T
ype_Desc
Dropdown filtered based on
Affiliation_Category
Sort By:
o Alphabetic by
Affiliation_Type_Desc
XREF_Activity_Person.Affiliatio
n_Type_Code
ICIS_Person.First_Name
151
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
Data Element
Name
SR
?
PR
?
CR
?
Fed/DA/
Both
Default
Value
Displayed
Data Type Displayed
(Type, Length)
Last Name
N/
A
N/
A
N/
A
Both
N/A


Office
N/
A
N/
A
N/
A
Both
N/A


Organization
N/
A
N/
A
N/
A
Both
N/A


Start Date of
Association
N/
A
N/
A
N/
A
Both
Current
Date

End Date of
Association
N/
A
N/
A
N/
A
Both
N/A

N
N
Both
N

Display only
Max Length 30
characters
Display only
Max Length 100
characters
Display only
Max Length 50
characters
Date
o EDT: Must be
valid date in
yyyy-mm-dd
format
o Web: Must be
valid date in
mm/dd/yyyy
format
Date
o EDT: Must be
valid date in
yyyy-mm-dd
format
o Web: Must be
valid date in
mm/dd/yyyy
format
Data Validation (REF Table, Valid
Values, Sort Order)
N/A
Target Database Table &
Column
ICIS_Person.Last_Name

Sort Order:
o Alphabetic by
Office_Name
ICIS_Office.Office_Name

Sort Order:
o Alphabetic by
Organization_Name
ICIS_Organization.Organization_
Name
N/A
XREF_Activity_Person.Begin_D
ate
N/A
XREF_Activity_Person.End_Dat
e

ICIS_Regional_Data.String1
User Defined Fields
User Defined
Fields:: 1
ICIS Case File
N
Checkbox
Valid Values:
o Yes
o No
152
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
Data Element
Name
SR
?
PR
?
CR
?
Fed/DA/
Both
Default
Value
Displayed
Data Type Displayed
(Type, Length)
User Defined
Fields:: 2
N
N
N
Both
N/A



User Defined
Fields:: 3
N
N
N
Both
N/A



User Defined
Fields:: 4
N
N
N
Both
N/A

User Defined
Fields:: 5
N
N
N
Both
N/A

User Defined
Fields:: 6
N
N
N
Both
N/A



Alphanumeric
Free-form text
Max Length 50
characters
Alphanumeric
Free-form text
Max Length 50
characters
Date
o EDT: Must be
valid date in
yyyy-mm-dd
format
o Web: Must be
valid date in
mm/dd/yyyy
format
Date
o EDT: Must be
valid date in
yyyy-mm-dd
format
o Web: Must be
valid date in
mm/dd/yyyy
format
Alphanumeric
Free-form text
Max Length 4000
characters
Data Validation (REF Table, Valid
Values, Sort Order)
Target Database Table &
Column
N/A
ICIS_Regional_Data.String2
N/A
ICIS_Regional_Data.String3
N/A
ICIS_Regional_Data.Date1
N/A
ICIS_Regional_Data.Date2
N/A
ICIS_Regional_Data.String4
Sub Activities
ICIS Case File
153
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
Data Element
Name
SR
?
PR
?
CR
?
Fed/DA/
Both
Default
Value
Displayed
Data Type Displayed
(Type, Length)
Sub Activity
Type
Y
N
N
Fed
N/A



Planned Date
Actual Date
N
N
N
N
N
N
Fed
Fed
N/A
N/A

Display
REF_Sub_Activity_
Type.Sub_Activity_
Type_Desc where
ICIS_Sub_Activity.
Sub_Activity_Type
_Code =
REF_Sub_Activity_
Type_Code
Dropdown
Length of Largest
Value
Date
o EDT: Must be
valid date in
yyyy-mm-dd
format

Web: Must be
valid date in
mm/dd/yyyy
format

Date
o EDT: Must be
valid date in
yyyy-mm-dd
format

Web: Must be
valid date in
mm/dd/yyyy
format
Data Validation (REF Table, Valid
Values, Sort Order)
Target Database Table &
Column

REF_Sub_Activity_Type.Sub_Activ
ity_Type_Desc

Dropdown filtered based on
Activity_Type_Code = CMD and
Status_Flag = A

Sort By:
Alphabetic by Sub_Activity_Type_Desc
ICIS_Sub_Activity.Sub_Activity
_Type_Code
N/A
ICIS_Sub_Activity.Planned_Date
N/A
ICIS_Sub_Activity.Actual_Date
Comments
ICIS Case File
154
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
Data Element
Name
SR
?
PR
?
CR
?
Fed/DA/
Both
Default
Value
Displayed
Data Type Displayed
(Type, Length)
Comments
N
N
N
Both
N/A



Sensitive
Comments::
Comments
N
N
N
Both
N



Data Validation (REF Table, Valid
Values, Sort Order)
Target Database Table &
Column
Alphanumeric
Free-form text
Max Length 4000
characters
N/A
ICIS_Activity_Comment.Comme
nt_Text
Alphanumeric
Free-form text
Max Length 4000
characters
N/A
Alphanumeric
Max Length 30
characters
N/A
ICIS_Activity.Created_By
N/A
ICIS_Activity.Created_Date
where
ICIS_Activity_Comment.Comme
nt_Type_Code is blank
ICIS_Activity_Comment.Comme
nt_Text
where
ICIS_Activity_Comment.Comme
nt_Type_Code=STC (for State
Sensitive comments) or LCC (for
LCON Sensitive comments)
Basic Information Continued
Created By
N
N
N
Both
System
generated
based on
User ID


Created Date
N
N
N
Both
System
generated
based on
date of data
entry

ICIS Case File
Date
o EDT: Must be
valid date in
yyyy-mm-dd
format
o Web: Must be
valid date in
mm/dd/yyyy
format
155
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
Data Element
Name
SR
?
PR
?
CR
?
Fed/DA/
Both
Default
Value
Displayed
Data Type Displayed
(Type, Length)
Last Modified By
N
N
N
Both
System
generated
based on
User ID


Last Modified
Date
N
N
N
Both
System
generated
based on
date of data
entry

N
N
N
Both
N/A


Alphanumeric
Max Length 30
characters
Date
o EDT: Must be
valid date in
yyyy-mm-dd
format
o Web: Must be
valid date in
mm/dd/yyyy
format
Data Validation (REF Table, Valid
Values, Sort Order)
Target Database Table &
Column
N/A
ICIS_Activity.Updated_By
N/A
ICIS_Activity.Updated_Date
Air Violations
Facility Advised
of Violation::
Method of
Advisement
ICIS Case File

Dropdown
Length of Largest
Value
Display
REF_Fac_Advised_
Violation.Fac_Advi
sed_Violation_Desc
where
REF_Fac_Advised_
Violation.Fac_Advi
sed_Violation_Code
=ICIS_Comp_Deter
mination.Fac_Advis
ed_Violation_Code

REF_Fac_Advised_Violation
ICIS_Air_Comp_Det_Fac_Adv_
Viol.Fac_Advised_Violation_Cod
e
156
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
Data Element
Name
SR
?
PR
?
CR
?
Fed/DA/
Both
Default
Value
Displayed
Data Type Displayed
(Type, Length)
Facility Advised
of Violation::
Date
N
N
N
Both
N/A

N
N
Both
N/A


Date
o EDT: Must be
valid date in
yyyy-mm-dd
format
o Web: Must be
valid date in
mm/dd/yyyy
format
Data Validation (REF Table, Valid
Values, Sort Order)
N/A
Target Database Table &
Column
ICIS_Air_Comp_Det_Fac_Adv_
Viol.Fac_Advised_Violation_Dat
e
Air Violation Details
Air HPV/FRV
Details:: Air
Violation Type
Y

ICIS Case File
Dropdown
Length of Largest
Value
Display
REF_Air_Violation
_Type.Air_Violatio
n_Type_Desc where
REF_Air_Violation
_Type.Air_Violatio
n_Type_Code=XRE
F_Air_Comp_Det_
Violation.Air_Viola
tion_Type_Code

REF_Air_Violation_Type
ICIS_Air_Comp_Det_Violation.
Air_Violation_Type_Code
157
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
Data Element
Name
SR
?
PR
?
CR
?
Fed/DA/
Both
Default
Value
Displayed
Data Type Displayed
(Type, Length)
Air HPV/FRV
Details:: Program
Y
N
N
Both
N/A



Air HPV/FRV
Details:: Program
Description
N
N
Y
Both
N/A



Air HPV/FRV
Details::
Pollutant
N
N
Y
Both
N/A



ICIS Case File
Dropdown
Length of Largest
Value
Display
REF_Program.Progr
am_Desc
(Program_Code)
Alphanumeric
Free-form text
Max Length 100
characters
Dropdown
Length of Largest
Value
Display
REF_Pollutant.Poll
utant_Desc where
REF_Pollutant.Poll
utant_Category_Co
de=AIR
Data Validation (REF Table, Valid
Values, Sort Order)

Target Database Table &
Column
REF_Program where
REF_Program.Program_Category_
Code=AIR and
ref_program.activity_filter_code has
ref_activity_filter.air_da_flag = Y

Valid values:
o Values currently in
REF_Program
o XREF_Program_Law_Section.P
rogram_Code where
Activity_Group_Code=CMD
for Federal Statute=CAA

Sort Order:
o Alphabetic - Ascending Order
by ref_program.air_sort_order
N/A
ICIS_Air_Comp_Det_Violation.P
rogram_Code

ICIS_Air_Comp_Det_Violation.P
ollutant_Code
REF_Pollutant
ICIS_Air_Comp_Det_Violation.
Other_Program_Text
158
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
Data Element
Name
SR
?
PR
?
CR
?
Fed/DA/
Both
Default
Value
Displayed
Data Type Displayed
(Type, Length)
Air HPV/FRV
Details:: FRV
Determination
Date
N
N
N
Both
Current
Date

Air HPV/FRV
Details:: HPV
Day Zero Date
N
N
Y
Both
N/A

Air HPV/FRV
Details::
Occurrence Start
Date
N
N
N
Both
N/A

ICIS Case File
Date
o EDT: Must be
valid date in
yyyy-mm-dd
format
o Web: Must be
valid date in
mm/dd/yyyy
format
Date
o EDT: Must be
valid date in
yyyy-mm-dd
format
o Web: Must be
valid date in
mm/dd/yyyy
format
Date
o EDT: Must be
valid date in
yyyy-mm-dd
format
o Web: Must be
valid date in
mm/dd/yyyy
format
Data Validation (REF Table, Valid
Values, Sort Order)
Target Database Table &
Column
N/A
ICIS_Air_Comp_Det_Violation.F
RV_Determination_Date
N/A
ICIS_Air_Comp_Det_Violation.
HPV_Day_Zero_Date
N/A
ICIS_Air_Comp_Det_Violation.
Occurrence_Begin_Date
159
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
Data Element
Name
SR
?
PR
?
CR
?
Fed/DA/
Both
Default
Value
Displayed
Data Type Displayed
(Type, Length)
Air HPV/FRV
Details::
Occurrence End
Date
N
N
N
Both
N/A

# of Claims
N
Y
N
Both
1

Air HPV/FRV
Details:: HPV
Designation
Removal Basis
N
N
Y
Both
N/A


ICIS Case File

Date
o EDT: Must be
valid date in
yyyy-mm-dd
format
o Web: Must be
valid date in
mm/dd/yyyy
format
Number
Dropdown
Length of Largest
Value
Display
REF_Air_Designati
on_Removal.Air_D
esignation_Removal
_Desc where
REF_Air_Designati
on_Removal.Air_D
esignation_Removal
_Code=
XREF_Air_Comp_
Det_Violation.Air_
Designation_Remov
al_Code
Data Validation (REF Table, Valid
Values, Sort Order)
N/A
Target Database Table &
Column
ICIS_Air_Comp_Det_Violation.
Occurrence_End_Date

Valid values 1-99
ICIS_Air_Comp_Det_Violation.
Nmbr_Of_Occurrence

REF_Air_Designation_Removal
ICIS_Air_Comp_Det_Violation.
Air_Designation_Removal_Code
160
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
Data Element
Name
SR
?
PR
?
CR
?
Fed/DA/
Both
Default
Value
Displayed
Data Type Displayed
(Type, Length)
Air HPV/FRV
Details:: HPV
Designation
Removal Date
N
N
Y
Both
N/A

ICIS Case File
Date
o EDT: Must be
valid date in
yyyy-mm-dd
format
o Web: Must be
valid date in
mm/dd/yyyy
format
Data Validation (REF Table, Valid
Values, Sort Order)
N/A
Target Database Table &
Column
ICIS_Air_Comp_Det_Violation.
Air_Designation_Removal_Date
161
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
APPENDIX A: ACRONYMS
Table Appendix A: Acronyms-1: Acronym List
Acronym
Definition
BGP
Background Processing
CAA
Clean Air Act
CF
Case File
CM
Compliance Monitoring
DA
Delegated Agency
EPA
Environmental Protection Agency
FRS
Facility Registry System
FRV
Federally-Reportable Violation
HPV
High Priority Violation
HQ
Headquarters
ICIS
Integrated Compliance Information System
LCON
Local Control Agency
NEI
National Enforcement Initiative
ICIS Case File
162