Office of Enforcement and Compliance Assurance
Integrated Compliance Information System
ICIS Batch
State NPDES Informal Enforcement Action –
Technical Specification
Version 2.0
Revised Final
March 13, 2014
Office of Enforcement and Compliance Assurance
Document Change History
Version Number
Date
Description
0.1
01/28/2011
Initial Draft Release.
1.0
03/14/2011
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1.1
March 16, 2012
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Schema 2.0 change: renamed tag
ReasonforDeletingRecord to ReasonDeletingRecord.
Updated Data Element Mapping and IEA230.
Incorporated comments provided by EPA.
Applied updates from the Formal Enforcement Action
tech spec that apply to Informal Enforcement Actions.
Changed “Phase” to “Release” in the Introduction.
Reworded the business rule and error message for
IEA130.
Updated Business Rule for IEA051 to check for the
state_epa_flag in the ICIS_ACTIVITY table instead of
checking the EA Type(s) of the existing record in ICIS.
Also updated IEA052 to check the activity_status_code
in the ICIS_ACTIVITY table instead of checking the EA
Type(s) of the existing record in ICIS.
Updated the Business Rule and Error message for
IEA060 to state that the Enforcement Action ID must
be at least four characters in length.
Removed business rule IEA120 about duplicate
NPDES IDs being linked to an Enforcement Action.
Duplicates will instead be ignored.
Updated Government Contact error messages to be
global. These error messages are now shared among
Federal Compliance Monitoring, Formal Enforcement
Action, and Informal Enforcement Action. Changed
IEA280 to GC010, IEA290 to GC020, IEA300 to
GC030, IEA310 to GC040, IEA320 to GC050, and
IEA321 to GC060.
Changed the mapping for IEA090, IEA160, and
IEA210 so they only apply to New and Replace.
Unmapped from Change. Added a new step in the flow
for Replace like Change to check these rules.
Updated the document for O&M CR 543. Added two
new fields to the schema and data element mapping
called Federal Facility Indicator and Federal Facility
Indicator Comment. Business rule IEA231 was added
for the ref table check.
Clarified the text that explains default values in Section
2.1.3. Separated web-only fields from tags that are
submitted in batch. Clarified that default values apply
to New, Change, and Replace transactions. Clarified
that if a field is blanked out on a Change or Replace
like Change transaction, it will be defaulted in batch.
Changed “Federal Facility Activity” to “Federal Facility
Indicator” in error message for IEA231.
Updated the error message for IEA240 to print multiple
values instead of one.
Updated the error message for IEA260 to be dynamic
instead of static.
Clarified in the Multi-Value Items section that
duplicates (i.e., same data submitted multiple times)
are ignored by the system for both individual data tags
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Version Number
Date
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Description
and multiple data tags. Exceptions to this rule appear
as business rule rejections.
Added a note to IEA230 to say that the tag Reason for
Deleting Record is ignored for New, Change, and
Replace transactions.
Added a note in the privileges step in the supporting
flow table for all transaction types that Informal
Enforcement Actions are always non-sensitive.
Added a new business rule IEA081 to see if the
NPDES ID belongs to an MGP. Applies to N, C, and R
and is checked in the Are data valid step.
Updated IEA100, which checks if a Facility Interest
exists, to only apply if the Permit Type is not MGP.
Removed the note from IEA081 and updated the error
message to be dynamic.
Added a note to GC060 error message saying that one
message is issued for each Government Contact.
Changed error code IEA161 to IEA051 and changed
error code IEA171 to IEA052.
Switched the order of the following tags in the Data
Element Mapping: ElectronicAddressText and
AffiliationTypeText. AffiliationTypeText now comes
first. This is to be consistent with Federal Compliance
Monitoring.
Moved business rules for IEA051 and IEA052 to be
before the privileges check.
Updated the error messages for GC020 and GC050 to
be in synch with Compliance Monitoring.
Updated the multi-value text in section 2.1.2. Instead of
stating that all tags must be identical to be a duplicate,
stated that only the tags that represent the key must be
identical in order to be a duplicate.
Removed the tags FederalFacilityIndicator and
FederalFacilityIndicatorComment from the schema and
data element mapping. Removed the associated ref
table business rule IEA231 and also added the fields to
the list of fields that are not blanked out during a
Replace transaction.
1.2
June 18, 2012
•
Removed note in the tech spec business rule IEA130
that references the O&M DR 7951, as this DR was
fixed.
1.3
January 11, 2013
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CR 774: Added tag FileNumber to the schema and
data element mapping. Also added the text: “Please
Note: The FileNumber tag is a batch only field. It will
not display on the web screen but users will be able to
report on the data.”
CR 296: Added EA status population to New, Change,
and Replace and added new section to contain the Set
Informal Enforcement Action logic and flow.
•
2.0
March 14, 2014
Updated intro and text of document to specify that the
rules in this tech spec relate to State NPDES Informal
Enforcement Actions
•
Updated the following business rules to specify State
NPDES Informal Enforcement Actions: IEA051,
IEA090, IEA160
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Version Number
Date
Description
Added business rule IEA225 and updated web and batch
default values to document existing functionality (i.e.,
documentation update only)
Updated for OMCR-342/Air-559 (Update
state_epa_filter_flags for reference tables to reflect Air):
• Business rules: IEA170
Updated for OMCR-344/Air-562 (Update
icis_activity.state_epa_flag to add an L to accommodate
LCONs):
• Updated default values in 2.1.3 to clarify
state_epa_flag values (not a code change)
• Updated do not overwrite values for State NPDES
Informal Replace in 2.5.1 to clarify that this value does
not get blanked out (not a code change)
Updated for OMCR-362/Air-575 (State NPDES EA should
use Program Category rather than NPDES Program Flag
in Ref Program):
• Business rule IEA220
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Table of Contents
1. INTRODUCTION..................................................................................................................... 1
1.1 PURPOSE ................................................................................................................................ 2
1.2 ASSUMPTIONS AND CONSTRAINTS ......................................................................................... 3
1.3 DOCUMENT OVERVIEW .......................................................................................................... 3
2. VALIDATION AND PROCESSING ...................................................................................... 5
2.1 GENERAL BATCH PROCESSING RULES ................................................................................... 5
2.1.1 Asterisks ......................................................................................................................... 5
2.1.2 Multi-Value Items .......................................................................................................... 5
2.1.3 Default Values ............................................................................................................... 8
2.2 MASS DELETE (X) INFORMAL ENFORCEMENT ACTIONS PROCESSING .................................... 8
2.2.1 Mass Delete Informal Enforcement Action Processing Flow........................................ 9
2.2.2 Mass Delete Informal Enforcement Action Sample Scenarios.................................... 13
2.3 NEW (N) INFORMAL ENFORCEMENT ACTION PROCESSING .................................................. 14
2.3.1 New Informal Enforcement Action Processing Flow .................................................. 15
2.3.2 New Informal Enforcement Action Scenarios ............................................................. 19
2.4 CHANGE (C) INFORMAL ENFORCEMENT ACTION PROCESSING............................................. 21
2.4.1 Change Informal Enforcement Action Processing Flow ............................................. 21
2.4.2 Change Informal Enforcement Action Sample Scenarios ........................................... 25
2.5 REPLACE (R) INFORMAL ENFORCEMENT ACTION PROCESSING ............................................ 27
2.5.1 Replace Informal Enforcement Action Processing Flow ............................................. 27
2.5.2 Replace Informal Enforcement Action Sample Scenarios ........................................... 32
2.6 SET INFORMAL ENFORCEMENT ACTION STATUS .................................................................. 35
2.6.1 Set Informal Enforcement Action Status Flow ............................................................ 35
2.7 BUSINESS RULES .................................................................................................................. 38
3. DATA ELEMENT MAPPING .............................................................................................. 44
4. XML SCHEMA ....................................................................................................................... 46
APPENDIX A: ACRONYMS .................................................................................................... 47
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List of Tables
Table 2-1: Adding to a Multi-Value Item List ................................................................................ 6
Table 2-2: Changing to a Multi-Value Item List ............................................................................ 7
Table 2-3: Deleting from a Multi-Value Item List ......................................................................... 7
Table 2-4: Mass Delete Informal Enforcement Action Processing .............................................. 11
Table 2-5: Mass Delete Informal Enforcement Action Example 1 .............................................. 13
Table 2-6: Mass Delete Informal Enforcement Action Example 2 .............................................. 14
Table 2-7: Mass Delete Informal Enforcement Action Example 3 .............................................. 14
Table 2-8: New Informal Enforcement Action Processing........................................................... 17
Table 2-9: New Informal Enforcement Action Example 1 ........................................................... 19
Table 2-10: New Informal Enforcement Action Example 2 ......................................................... 20
Table 2-11: New Informal Enforcement Action Example 3 ......................................................... 20
Table 2-12: Change Informal Enforcement Action Processing .................................................... 23
Table 2-13: Change Informal Enforcement Action Example 1 .................................................... 25
Table 2-14: Change Informal Enforcement Action Example 2 .................................................... 26
Table 2-15: Change Informal Enforcement Action Example ....................................................... 26
Table 2-16: Replace Informal Enforcement Action Processing ................................................... 29
Table 2-17: Replace Informal Enforcement Action Example 1 ................................................... 32
Table 2-18: Replace Informal Enforcement Action Example 2 ................................................... 32
Table 2-19: Replace Informal Enforcement Action Example 3 ................................................... 33
Table 2-20: Replace Informal Enforcement Action Example 4 ................................................... 34
Table 2-21: Replace Informal Enforcement Action Example 5 ................................................... 34
Table 2-22: Set Informal Enforcement Action Status................................................................... 37
Table 2-23: Informal Enforcement Action Business Rules .......................................................... 38
Table 3-1: Batch Informal Enforcement Action Data Element Mapping ..................................... 44
Table A-1: Acronym List .............................................................................................................. 47
List of Figures
Figure 2-1: Mass Delete Informal Enforcement Action Processing Flow .................................... 10
Figure 2-2: New Informal Enforcement Action Processing Flow ................................................ 16
Figure 2-3: Change Informal Enforcement Action Processing Flow ........................................... 22
Figure 2-4: Replace Informal Enforcement Action Processing Flow ........................................... 28
Figure 2-5: Set Informal Enforcement Action Status Flow .......................................................... 36
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1. INTRODUCTION
Many states already have their own tracking systems for National Pollutant Discharge
Elimination System (NPDES) data. When those states are migrated to the Integrated Compliance
Information System (ICIS), having them enter these data in ICIS through the Web interface
would require them to perform duplicative data entry. Instead, users from these states may enter
data in ICIS through batch submissions by which they extract data from their state system and
submit it to ICIS in Extensible Markup Language (XML) files. The type of data a state submits
through batch depends on the type of data tracked in their state system.
Current users of ICIS include Headquarters, Regions, direct-user states, hybrid states using Batch
Discharge Monitoring Report (DMR) functionality, and full batch states. Batch modules are
being added in groups, and the Informal Enforcement Action module is part of Full Batch
Release 3.
Enforcement activities can be performed under any environmental statute (e.g., Clean Water Act
(CWA), Clean Air Act (CAA)), and a particular Enforcement Action (EA) is recorded against a
single statute for State NPDES and Air DA EAs. ICIS tracks EAs performed under these
statutes by the following types of Agencies:



Federal, both EPA Headquarters (HQ) and Regional activities
State/Tribe/Territory activities (typically referred to as State activities for brevity)
Local Control Agency (LCON) activities.
This document contains the technical specifications for State NPDES Informal Enforcement
Actions. Throughout the document, when the term Informal Enforcement Action is used, it
refers to State NPDES Informal Enforcement Actions submissions only. There is no current
Federal Enforcement Action EDT capability. Please note that EDT processing of Air Delegated
Agency enforcement data is documented separately in the ICIS-Air EDT Air DA Informal
Enforcement Action Technical Specification.
Enforcement Actions track actions taken to address noncompliance with environmental laws by a
regulated entity. An Informal Enforcement Action, such as a telephone call, notice of violation,
letter, or warning is issued once a violation has been detected. The focus of this technical
specification is the submission of Informal Enforcement Action data to ICIS through batch XML
transactions. Data for other areas of ICIS (e.g., Formal Enforcement Actions, Effluent Trade
Partners, Single Event Violations) will be addressed in separate technical specifications.
The general process for states to submit batch data was defined for batch DMR processing and
remains unchanged. States do not submit batch data directly to ICIS. Instead, batch files are
submitted to the Environmental Protection Agency’s (EPA’s) Central Data Exchange (CDX)
which then passes the files to ICIS. To submit data to CDX, the state must have a CDX User ID
and password. This ID and password are specific to CDX and are completely unrelated to ICIS.
An ICIS User ID must also be provided in the ID tag in the header of each XML file so that
when ICIS receives the batch file(s), it can determine if the transactions in the file can be
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performed by the user submitting the batch. After receiving a batch from the state, CDX
performs several important functions. They perform a virus scan to ensure that the state files are
free of viruses and then assign a unique Transaction ID to the batch. This Transaction ID maps
directly to the Batch ID that ICIS uses internally to manage processing. ICIS uses this
Transaction ID to communicate information about the batch to CDX and the state. CDX then
archives the batch and validates the XML files based on the rules in the XML schema. If
problems are detected, CDX notifies the state so that the problems can be corrected. Upon
completion of these tasks, CDX sends the error-free batches to ICIS.
For purposes of this document:
•
“CDX User ID” refers to the ID the user must have to log in to CDX.
•
“ICIS User ID” refers to the state user’s ID in the ICIS system.
•
“Transaction ID” refers to the identifier CDX provides for each batch.
•
“Batch ID” in all communications with users (e.g., audit reports, batch processing
confirmation report) refers to the identifier CDX provides for each batch (i.e., the
Transaction ID).
•
“Batch ID” in the ICIS Batch Operational Database (DB) refers to the batch identifier
assigned by ICIS to make processing more efficient.
“Payload” in a batch refers to all of the XML transactions for a submission type.
A batch may contain many XML files, and within each XML file there can be up to one Payload
for each Submission Type (Informal Enforcement Action). Each Payload may contain one or
many XML transactions, each of which contains the Informal Enforcement Action data and a
specific transaction type that identifies how ICIS should process the data. For Informal
Enforcement Actions, there are four valid XML transaction types: Mass Delete, New, Change,
and Replace. The details of the Informal Enforcement Action transaction types are described in
Section 2: Validation and Processing. After receiving a batch from CDX, ICIS parses it and
saves each Informal Enforcement Action XML transaction to the database so that the individual
Informal Enforcement Action XML transactions can be ordered and processed. After processing
is complete for all files in a batch, ICIS sends a response notification to CDX, which then
notifies the state, regional, or headquarters user when processing is complete.
1.1 PURPOSE
The purpose of this document is to provide a comprehensive overview of the submission of
Informal Enforcement Action data through batch XML transactions using text descriptions,
tables, and figures.
A major section of this Informal Enforcement Action Technical Specification, Section 2:
Validation and Processing, details the four valid XML transaction types for Informal
Enforcement Actions (Mass Delete, New, Change, and Replace). Provided with these
transactions are the business rules that govern batch Informal Enforcement Action transactions,
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as well as the accompanying error/warning messages, serving to notify users of the data in error
and provide them with the information necessary to correct the problems.
1.2 ASSUMPTIONS AND CONSTRAINTS
The following assumptions and constraints apply to the ICIS Batch Informal Enforcement Action
Technical Specification:
•
ICIS will process batches within a state in the order they are received from CDX. CDX will
not apply a timestamp to each batch that is submitted by the state. In addition, CDX cannot
guarantee that batches will be sent to ICIS in the same order that CDX received them from
the state. As a result, ICIS cannot guarantee that batches will be processed in the order in
which the state submitted them.
•
Users will submit batch files to CDX in the correct chronological order. A procedure will be
put in place by each state to ensure that a state sends only one batch at a time, and does not
send a new batch until they have received confirmation that the previous batch has been
processed.
•
CDX will perform a schema validation on every batch. ICIS will not perform another schema
validation. If schema errors exist that are not caught by the CDX validation, unexpected
results will occur.
•
The business rules for Informal Enforcement Actions entered via batch should be the same as
State Informal Enforcement Actions entered via the web application. Any differences will be
noted in the “Where Enforced (Web)” Column of the Business Rules table in Section 2:
Validation and Processing.
•
Design decisions will be made to minimize software changes that will be needed to
incorporate the batch entry of other data families. EPA will be consulted, as appropriate, as
these decisions are made.
ICIS will not save a transaction if there are any errors within the transaction, though transactions
will be saved if only warnings/informational messages exist. The rules for accepting and
rejecting transactions are described in detail in Section 2: Validation and Processing.
1.3 DOCUMENT OVERVIEW
The following sections comprise the remainder of this technical specification:
•
Section 2: Validation and Processing – This section describes the processing of Mass
Delete, New, Change, and Replace Informal Enforcement Action XML transactions, and the
business rules that apply to each transaction type.
•
Section 3: Data Element Mapping – This section provides a mapping between the Permit
Compliance System (PCS) Acronym, XML Tag Name, ICIS Screen Name, and ICIS
Database Name for Informal Enforcement Action data elements.
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•
Section 4: XML Schema – This section provides a list of the XML schemas related to
Informal Enforcement Actions.
•
Appendix A: Acronyms – This section provides a list of all acronyms used in the document.
Attachment A: Contacts and Addresses – This attachment provides the Business Rules and
Data Element Mapping for the Contacts & Addresses (CA) data.
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2. VALIDATION AND PROCESSING
After receiving a batch from CDX, ICIS parses the batch Informal Enforcement Action XML
transactions, saves each to the database, and groups them by transaction type. The valid
transaction types for Informal Enforcement Actions are Mass Delete, New, Change, and Replace.
ICIS must process these groups in the proper order to achieve the desired results. The ICIS Batch
Design Document Appendix D: ICIS Batch Submission Types and Processing Order details the
processing order for all ICIS batch submissions. This section describes specific fields that require
special processing as well as the detailed processing of the four Informal Enforcement Action
transaction types.
Key values are used throughout ICIS Batch to identify data in the ICIS database. The ICIS Batch
Schema requires that key values be entered for all transactions. The key value for Informal
Enforcement Action transactions is:
Enforcement Action Identifier
The following sub-sections describe general processing rules related to asterisks and the detailed
processing of Informal Enforcement Action XML transactions.
2.1 GENERAL BATCH PROCESSING RULES
It is important to understand the following general batch processing rules for ICIS:
2.1.1 Asterisks
Users must have the ability to remove data from fields through batch transactions. This is
accomplished through the use of asterisks (*). The asterisk is not stored in ICIS, but instead is
used to signal the system that the field should be blanked out. Asterisks can also be submitted in
Replace transactions. When that happens, they are interpreted by the system as blanks. It is not
necessary for the user to submit asterisks in Replace transactions because leaving the tag out of
the XML transaction achieves the same result (i.e., the field is left blank), but ICIS has been
designed to process asterisks in those cases.
2.1.2 Multi-Value Items
Data fields or sections for which multiple values can be entered are referred to in this technical
specification as multi-value items. Whenever tags for one of these multi-value items are included
in a payload, ICIS will replace all existing values for that item with the values submitted in the
tag(s), regardless of the transaction type submitted. There are two categories of multi-value
items:
Individual Data Tag – The simplest kind of multi-value item consists of one data tag that can be
repeated multiple times within a transaction. Below is an example of an Informal Enforcement
Action Data Tag multi-value item (ProgramsViolatedCode) repeated multiple times:
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<ProgramsViolatedCode>CWAOTHR</ProgramsViolatedCode>
<ProgramsViolatedCode>CWAPRTRT</ProgramsViolatedCode>
<ProgramsViolatedCode>CWASPILL</ProgramsViolatedCode>
<ProgramsViolatedCode>CWAWTL</ProgramsViolatedCode>
Multiple Data Tags – Some multi-value items contain multiple data tags which can be repeated,
as a group, multiple times within a transaction. Below is an example for an Informal
Enforcement Action:
<EnforcementAgencyDetails>
<AgencyTypeCode>ST4</AgencyTypeCode>
<AgencyLeadIndicator>Y</AgencyLeadIndicator>
</EnforcementAgencyDetails>
<EnforcementAgencyDetails>
<AgencyTypeCode>MN4</AgencyTypeCode>
<AgencyLeadIndicator>N</AgencyLeadIndicator>
</EnforcementAgencyDetails>
<EnforcementAgencyDetails>
<AgencyTypeCode>CT4</AgencyTypeCode>
<AgencyLeadIndicator>N</AgencyLeadIndicator>
</EnforcementAgencyDetails>
If data already exist for one of these multi-value items for the Informal Enforcement Action in
ICIS and the user wishes to add new values while keeping the existing values, they would
include all of the values that they wish to have for the field (i.e., all existing values, plus the new
values) in their XML submission. The table below provides an example.
Table 2-1: Adding to a Multi-Value Item List
ProgramsViolatedCode in ICIS DB
ProgramsViolatedCode in XML
Submission
Result in ICIS DB After Processing
CWAOTHR
CWAOTHR
CWAOTHR
CWAPRTRT
CWAPRTRT
CWAPRTRT
CWASPILL
CWASPILL
If data already exist for one of these multi-value items for the Informal Enforcement Action in
ICIS and the user wishes to change one of the values, they would include all of the values that
they wish to have for the field (i.e., existing values they wish to keep, plus new values) in their
XML submission. The table below provides an example.
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Table 2-2: Changing to a Multi-Value Item List
ProgramsViolatedCode in ICIS DB
CWAOTHR
ProgramsViolatedCode in XML
Submission
Result in ICIS DB After Processing
CWAOTHR
CWAOTHR
CWASPILL
CWASPILL
CWAPRTRT
If data already exist for one of these multi-value items for the Informal Enforcement Action in
ICIS and the user wishes to remove all but one of the values, they would include only the value
that they wish to have for the field (i.e., existing values they wish to keep) in their XML
submission. The table below provides an example.
Table 2-3: Deleting from a Multi-Value Item List
ProgramsViolatedCode in ICIS DB
CWAOTHR
ProgramsViolatedCode in XML
Submission
CWAOTHR
Result in ICIS DB After Processing
CWAOTHR
CWAPRTRT
CWASPILL
Users must also have the ability to blank out all values for these multi-value items. This is
accomplished by submitting one row of the multi-value item with an asterisk as the value. The
rules for doing this are described below:
•
Individual Data Tag – If an asterisk is submitted in an individual data tag, ICIS will blank
out all existing values for the corresponding field.
•
Multiple Data Tags:

If asterisks are submitted in all required tags and the optional tags are not included,
ICIS will blank out all existing values for the corresponding multi-value item.

If asterisks are submitted in all required tags and values are submitted in one or more
optional tags, ICIS will blank out all existing values for the corresponding multivalue item (ignoring the data in the optional tags).

If asterisks are submitted in some required tags and values are submitted in other
required tags, ICIS will reject the transaction. This is addressed through business
rules, with error messages, detailed in the business rules table.

If there are no required tags for a multi-value item and asterisks are entered in one or
more of the optional tags:
•
If only asterisks are submitted, ICIS will blank out all existing values for the
corresponding multi-value item.
If a combination of asterisks and values are submitted, ICIS will reject the transaction. This is
addressed through business rules, with error messages, detailed in the business rules table.
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As noted above, asterisks should only be used as an indication to blank out all values for a field,
and that should be the only row of data that is submitted for that field. However, it is possible
that a transaction will contain multiple rows of a multi-value item, some with asterisks and some
without. In that situation, ICIS will evaluate each row for validity. If any rows are invalid, ICIS
will reject the transaction. If all rows are valid, ICIS will save only the values submitted,
ignoring the “blanked out” rows.
If duplicate multi-value items are submitted (i.e., the same data submitted multiple times for
different multi-value items), then ICIS will save one of the duplicate multi-value items and
ignore the other duplicates. A multi-value item is considered a duplicate if the key value tags are
identical (i.e., fields in ICIS that must be unique for each multi-value). If there are duplicate
multi-value items, ICIS cannot guarantee which multi-value item will be saved. This logic
applies to both individual data tag and multiple data tag multi-value items. Any exceptions to this
processing logic will appear as a business rule and will result in a rejected transaction.
The Informal Enforcement Action Submission type contains the following multi-value items:
•
•
•
PermitIdentifier
ProgramsViolatedCode
EnforcementAgency (AgencyTypeCode and AgencyLeadIndicator)
GovernmentContact (ElectronicAddressText and AffiliationTypeText).
2.1.3 Default Values
Default values can include both web-only fields and web/batch fields. They apply to New,
Change, and Replace batch transactions. Default values are always set for New and Replace like
New transactions, and are set for Change and Replace like Change transactions for tags that are
blanked out.
The following is a list of web-only default values for Informal Enforcement Action Batch
transactions:
•
•
Federal Statutes Violated: Defaults to Clean Water Act (CWA)
Law Sections Violated: OTHER
Issued By: Defaults to State (S).
The following is a list of web/batch default values for Informal Enforcement Action Batch
transactions:
Start Date of Association: Defaults to Current Date.
2.2 MASS DELETE (X) INFORMAL ENFORCEMENT ACTIONS PROCESSING
The Mass Delete Informal Enforcement Action XML transaction allows the user to remove an
existing State NPDES Informal Enforcement Action in ICIS. A State NPDES Informal
Enforcement Action is removed from ICIS tables and added to the audit tables with the reason
the record is to be deleted and the record will not be displayed in the application. Any links to
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Inspections, Violations, NPDES Permits, or Government Contacts will also be deleted but not
the actual record itself. Also included in this section are sample Mass Delete Informal
Enforcement Action scenarios.
2.2.1 Mass Delete Informal Enforcement Action Processing Flow
Figure 2-1: Mass Delete Informal Enforcement Action Processing Flow is a diagram depicting
the processing of a Mass Delete Informal Enforcement Action transaction. A table detailing each
step in the flow is also included in this section.
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Figure 2-1: Mass Delete Informal Enforcement Action Processing Flow
Mass Delete
Informal
Enforcement
Action
Processing
1. Does the
Enforcement Action
exist in ICIS?
No
1A. Reject Transaction,
Write 1 error message to
the error log.
End
2A. Reject Transaction,
Write 1 error message to
the error log.
End
3A. Reject Transaction.
Write 1 error message to
the error log.
End
4A. Reject Transaction,
Write 1 error message to
the error log.
End
Yes
2. Is existing
Enforcement Action
State NPDES Informal?
No
Yes
3. Does user
have privileges to perform
Mass Delete Informal
Enforcement Action XML
transaction?
No
Yes
4. Are data valid?
No
Yes
5. Save Reason for
Deleting Record to the
database.
6. Delete the Informal
Enforcement Action, its
child records, and links.
7. Accept transaction.
End
10
ICIS Batch – Informal Enforcement Action, Version 1.3
Office of Enforcement and Compliance Assurance
Table 2-4: Mass Delete Informal Enforcement Action Processing contains a description of the items from the Mass Delete Informal
Enforcement Action Processing flow. The Item Number column refers to the Processing step being referenced. The Item Description
column gives a more in-depth explanation of each step of the process. The Mapping to Business Rules Table column references the
specific business rules that are checked in that step. All other business rules relating to State NPDES Informal Enforcement Actions
can be found in Table 2-23: Informal Enforcement Action Business Rules.
Table 2-4: Mass Delete Informal Enforcement Action Processing
Item
Number
Item Description
Mapping To Business Rule Table
1
Does the Enforcement Action exist in ICIS?
ICIS determines if an Enforcement Action Identifier exists in ICIS that matches the key data submitted. The
XML key tags for matching an Enforcement Action is Enforcement Action Identifier. If a matching
Enforcement Action is found in ICIS, processing continues at #2, otherwise processing continues at #1A.
IEA040
1A
Reject transaction. Write 1 error message to the error log.
ICIS has determined that the Enforcement Action does not exist in ICIS. ICIS rejects the transaction, writes
an error message to the error log, and ends processing of the transaction.
IEA040
2
Is existing Enforcement Action State NPDES Informal?
ICIS determines if the existing Enforcement Action in ICIS is a State NPDES Informal Enforcement Action.
If this condition is true, processing continues at #3, otherwise processing continues at #2A.
IEA051, IEA052
2A
Reject transaction. Write 1 error msg per business rule violation to the error log.
ICIS has determined that the existing Enforcement Action in ICIS is not a State NPDES Informal
Enforcement Action. ICIS rejects the transaction, writes an error message to the error log, and ends
processing of the transaction.
IEA051, IEA052
3
Does user have privileges to perform Mass Delete Informal Enforcement Action XML transaction?
ICIS determines if the user has privileges to perform a Mass Delete Informal Enforcement Action
transaction and if the user has the authority to conduct a Mass Delete Informal Enforcement Action
transaction for the state requested. ICIS applies the same security rules for batch as it does for the web,
and uses the same set of permissions. The user must have the Delete Informal Enforcement Action
function, which is available as part of the Informal Enforcement Action Deletion role. If the ICIS User ID
has the correct privileges, processing continues at #4, otherwise processing continues at #3A.
Note: Informal Enforcement Actions are always non-sensitive (e.g., sensitive_data_flag = N in the
ICIS_ACTIVITY table).
BAT020
3A
Reject transaction. Write 1 error message to the error log.
If the ICIS User ID does not have the correct privileges defined in ICIS for this Mass Delete Informal
Enforcement Action transaction, then ICIS rejects the entire Mass Delete Informal Enforcement Action
XML transaction. ICIS writes an error message to the error log, and processing of this Mass Delete
Informal Enforcement Actions XML transaction ends.
BAT020
11
ICIS Batch – Informal Enforcement Action, Version 1.3
Office of Enforcement and Compliance Assurance
Item
Number
Item Description
Mapping To Business Rule Table
4
Are data valid?
ICIS determines if all required data are submitted and checks validity of all required data. If required data
are submitted and the data are valid according to the business rules, processing continues at #5;
otherwise processing continues at #4A.
IEA170, IEA190, IEA230
4A
Reject Transaction. Write 1 error message to the error log.
If ICIS determines that required data are incomplete and/or invalid, ICIS rejects the entire Mass Delete
Informal Enforcement Action XML transaction. ICIS writes an error message to the error log, and
processing of this Mass Delete Informal Enforcement Actions XML transaction ends.
IEA170, IEA190, IEA230
5
Save Reason for Deleting Record to the database.
The Enforcement Action Identifier and Reason for Deleting Record is saved to the ICIS database and
processing continues at #6.
N/A
6
Delete the Informal Enforcement Action, its child records, and links.
ICIS has determined that this Informal Enforcement Action is valid for deletion. The Informal Enforcement
Action and Sub Activities are deleted. Links between Related Activities (Compliance Assistance,
Compliance Determination, Compliance Monitoring, Enforcement Action, Incident), Violations, Facilities,
and Government Contacts are also deleted but not the actual record itself. Processing Continues at #7.
N/A
7
Accept transaction.
ICIS logs a successful Mass Delete Informal Enforcement Action transaction. Processing of the Mass
Delete Informal Enforcement XML transaction is complete.
N/A
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ICIS Batch – Informal Enforcement Action, Version 1.3
Office of Enforcement and Compliance Assurance
2.2.2 Mass Delete Informal Enforcement Action Sample Scenarios
A Mass Delete Informal Enforcement Action transaction should contain only the key data and
the Reason for Deleting Record, though if it contains any other data, ICIS will still process the
Mass Delete. Examples of possible Mass Delete Informal Enforcement Action scenarios are
described below.
Example 1
If the submitted Mass Delete Informal Enforcement Action XML includes:
Valid Enforcement Action Identifier and Reason for Deleting Record.
ICIS will accept the transaction and remove the Informal Enforcement Action from the database
and save the Reason for Deleting Record in the ICIS Enforcement Audit table. Table 2-5: Mass
Delete Informal Enforcement Action Example 1 provides an example.
Table 2-5: Mass Delete Informal Enforcement Action Example 1
Informal Enforcement Action in
ICIS DB
Informal Enforcement Action XML
Submission
Enforcement Action Identifier: VA123456789
Mass Delete for Informal Enforcement
Action ID: VA-123456789
NPDES ID: VA1234567
Reason for Deleting Record: Entered
Incorrectly.
Result in ICIS DB After
Processing**
Enforcement Action Type: AIF
Enforcement Action Name: Acme
Industries lawsuit
Programs Violated Code: CWACSO
**ICIS saves the Enforcement Action Identifier and Reason for Deleting Record in the
ICIS_ENFORCEMENT_AUD table.
Example 2
If the submitted Mass Delete Informal Enforcement Action XML includes:
Invalid Enforcement Action Identifier.
ICIS will reject the transaction because the key value, Enforcement Action Identifier, does not
exist in the database. Table 2-6: Mass Delete Informal Enforcement Action Example 2 provides
an example.
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ICIS Batch – Informal Enforcement Action, Version 1.3
Office of Enforcement and Compliance Assurance
Table 2-6: Mass Delete Informal Enforcement Action Example 2
Informal Enforcement Action in
ICIS DB
Informal Enforcement Action XML
Submission
Result in ICIS DB After Processing
Enforcement Action Identifier: VA123456789
Mass Delete for Informal
Enforcement Action ID: VA222333444
Enforcement Action Identifier: VA123456789
NPDES ID: VA1234567
Reason for Deleting Record: Entered
Incorrectly.
NPDES ID: VA1234567
Enforcement Action Type: AIF
Enforcement Action Type: AIF
Enforcement Action Name: Acme
Industries lawsuit
Enforcement Action Name: Acme
Industries lawsuit
Programs Violated Code: CWACSO
Programs Violated Code: CWACSO
Example 3
If the submitted Mass Delete Informal Enforcement Action XML includes:
•
Valid Enforcement Action Identifier
Blank Reason for Deleting Record.
ICIS will reject the transaction because the Reason for Deleting Record is not provided. Table
2-7: Mass Delete Informal Enforcement Action Example 3 provides an example.
Table 2-7: Mass Delete Informal Enforcement Action Example 3
Informal Enforcement Action in
ICIS DB
Informal Enforcement Action XML
Submission
Result in ICIS DB After Processing
Enforcement Action Identifier: VA123456789
Mass Delete for Informal Enforcement
Action ID: VA-123456789
Enforcement Action Identifier: VA123456789
NPDES ID: VA1234567
Reason for Deleting Record: (not
submitted)
NPDES ID: VA1234567
Enforcement Action Type: AIF
Enforcement Action Type: AIF
Enforcement Action Name: Acme
Industries lawsuit
Enforcement Action Name: Acme
Industries lawsuit
Programs Violated Code: CWACSO
Programs Violated Code: CWACSO
2.3 NEW (N) INFORMAL ENFORCEMENT ACTION PROCESSING
The New Informal Enforcement Action XML transaction allows the user to add a new Informal
Enforcement Action in ICIS. The processing of a New Informal Enforcement Action XML
transaction is described below. Also included in this section are sample New Informal
Enforcement Action scenarios.
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ICIS Batch – Informal Enforcement Action, Version 1.3
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2.3.1 New Informal Enforcement Action Processing Flow
Figure 2-2: New Informal Enforcement Action Processing Flow is a diagram depicting the
processing of a New Informal Enforcement Action transaction. A table detailing each step in the
flow is also included in this section.
15
ICIS Batch – Informal Enforcement Action, Version 1.3
Office of Enforcement and Compliance Assurance
Figure 2-2: New Informal Enforcement Action Processing Flow
New Informal
Enforcement
Action
Processing
1. Does the Enforcement Action
exist in ICIS?
Yes
1A. Reject Transaction,
Write 1 error message to
the error log.
End
No
2A. Reject Transaction.
Write 1 error message to
the error log.
End
No
3A. Reject Transaction,
Write 1 error msg per
business rule violation to
the error log.
End
No
2. Does user
have privileges to perform
New Informal Enforcement
Action XML
transaction?
Yes
3. Are data valid?
Yes
3B.
Set Informal
Enforcement
Action Status
4. Save the Enforcement
Action to the database.
5. Accept transaction.
End
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ICIS Batch – Informal Enforcement Action, Version 1.3
Office of Enforcement and Compliance Assurance
Table 2-8: New Informal Enforcement Action Processing contains a description of the items from the New Informal Enforcement
Action Processing flow. The Item Number column refers to the Processing step being referenced. The Item Description column gives
a more in-depth explanation of each step of the process. The Mapping to Business Rules Table column references the specific business
rules that are checked in that step. All other business rules relating to Informal Enforcement Actions can be found in Table 2-23:
Informal Enforcement Action Business Rules.
Table 2-8: New Informal Enforcement Action Processing
Item
Number
Item Description
Mapping To Business Rule Table
1
Does the Enforcement Action exist in ICIS?
ICIS determines if an Enforcement Action already exists in ICIS that matches the key data submitted. The
XML key tag for matching an Informal Enforcement Action is Enforcement Action Identifier. If a matching
Enforcement Action is found in ICIS, processing continues at #1A, otherwise processing continues at #2.
IEA030
1A
Reject transaction. Write 1 error message to the error log.
If the XML key tag for the Informal Enforcement Action is found in ICIS, then ICIS rejects the New Informal
Enforcement Action request. ICIS writes an error message to the error log, and processing of this New
Informal Enforcement Action XML transaction ends.
IEA030
2
Does user have privileges to perform New Informal Enforcement Action XML transaction?
ICIS determines if the user has privileges to perform a New Informal Enforcement Action transaction and if
the user has the authority to conduct a New Informal Enforcement Action transaction for the state
requested. ICIS applies the same security rules for batch as it does for the web, and uses the same set of
permissions. The user must have the Add Informal Enforcement Action function, which is available as part
of the Informal Enforcement Action Editor role. If the ICIS User ID has the correct privileges, processing
continues at #3, otherwise processing continues at #2A.
Note: Informal Enforcement Actions are always non-sensitive (e.g., sensitive_data_flag = N in the
ICIS_ACTIVITY table).
BAT020
2A
Reject transaction. Write 1 error message to the error log.
If the ICIS User ID does not have the correct privileges defined in ICIS for this New Informal Enforcement
Action transaction, then ICIS rejects the entire New Informal Enforcement Action XML transaction. ICIS
writes an error message to the error log, and processing of this New Informal Enforcement Action XML
transaction ends.
BAT020
3
Are data valid?
ICIS determines if all required data are submitted and checks validity of all required and optional data. If
required data are submitted and required and optional data are valid according to the business rules,
processing continues at #4; otherwise processing continues at #3A.
IEA (060, 081, 090, 100, 110, 160,
190, 210, 220, 240, 250, 260, 270)
3A
Reject Transaction. Write 1 error msg per business rule violation to the error log.
If ICIS determines that required and/or optional data are incomplete and/or invalid, ICIS rejects the entire
(Same as Step 3)
GC (010, 020, 030, 040, 050, 060)
17
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Office of Enforcement and Compliance Assurance
Item
Number
Item Description
Mapping To Business Rule Table
New Informal Enforcement Action transaction. ICIS writes an error message to the error log for each
business rule violation and processing of this New Informal Enforcement Action XML transaction ends.
3B
Set Informal Enforcement Action Status.
ICIS calls the Set Informal Enforcement Action Status process to update the Status and Status Date of the
Informal Enforcement Action. See 2.6 Set Informal Enforcement Action Status.
N/A
4
Save the Informal Enforcement Action to the database.
ICIS has determined that the New Informal Enforcement Action transaction is valid. The Informal
Enforcement Transaction is saved to the ICIS database and processing continues at #5.
N/A
5
Accept transaction.
ICIS logs a successful New Informal Enforcement Action transaction. Processing of the New Informal
Enforcement Action XML transaction is complete.
N/A
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ICIS Batch – Informal Enforcement Action, Version 1.3
Office of Enforcement and Compliance Assurance
2.3.2 New Informal Enforcement Action Scenarios
Examples of possible New Informal Enforcement Action scenarios are described below.
Example 1
If the submitted New Informal Enforcement Action XML includes:
•
Valid Enforcement Action Identifier
Valid data for an Informal Enforcement Action.
ICIS will accept the transaction and add the new Informal Enforcement Action to the database.
Table 2-9: New Informal Enforcement Action Example 1 provides an example.
Table 2-9: New Informal Enforcement Action Example 1
Informal Enforcement Action in
ICIS DB
Informal Enforcement Action XML
Submission
Result in ICIS DB After Processing
Enforcement Action Identifier: VA123456789
Enforcement Action Identifier: VA123456789
NPDES ID: VA1234567
NPDES ID: VA1234567
Enforcement Action Type: AIF
Enforcement Action Type: AIF
Enforcement Action Name: Acme
Industries lawsuit
Enforcement Action Name: Acme
Industries lawsuit
Programs Violated Code: CWACSO
Programs Violated Code: CWACSO
Achieved Date: 2009-12-30
Achieved Date: 2009-12-30
Agency Type Code: ST4
Agency Type Code: ST4
Agency Lead Indicator Code: Y
Agency Lead Indicator Code: Y
Informal EA Comment Text: Action
followed up with a call.
Informal EA Comment Text: Action
followed up with a call.
Informal EA User Defined Field 1: N
Informal EA User Defined Field 1: N
Informal EA User Defined Field 2:
Special Use
Informal EA User Defined Field 2:
Special Use
Informal EA User Defined Field 3:
Special Use
Informal EA User Defined Field 3:
Special Use
Informal EA User Defined Field 4: 2009- Informal EA User Defined Field 4:
12-30
2009-12-30
Informal EA User Defined Field 5: 2009- Informal EA User Defined Field 5:
12-30
2009-12-30
Informal EA User Defined Field 6:
Special Use
Informal EA User Defined Field 6:
Special Use
Example 2
If the submitted New Informal Enforcement Action XML includes:
•
Valid Enforcement Action Identifier
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ICIS Batch – Informal Enforcement Action, Version 1.3
Office of Enforcement and Compliance Assurance
Data that violate a business rule (i.e., NPDES ID does not exist).
ICIS will reject the transaction because the NPDES ID must exist in the database. Table 2-10:
New Informal Enforcement Action Example 2 provides an example.
Table 2-10: New Informal Enforcement Action Example 2
Informal Enforcement Action in
ICIS DB
Informal Enforcement Action XML
Submission
Result in ICIS DB After Processing
Enforcement Action Identifier: VA123456789
NPDES ID: AA2222222
Enforcement Action Type: AIF
Enforcement Action Name: Acme
Industries lawsuit
Programs Violated Code: CWACSO
Achieved Date: 2009-12-30
Example 3
If the submitted New Informal Enforcement Action XML includes:
•
Valid Enforcement Action Identifier
Data that violate a business rule (i.e., Programs Violated Code is not provided).
ICIS will reject the transaction because the Programs Violated Code must be provided in the
transaction. Table 2-11: New Informal Enforcement Action Example 3 provides an example.
Table 2-11: New Informal Enforcement Action Example 3
Informal Enforcement Action in
ICIS DB
Informal Enforcement Action XML
Submission
Result in ICIS DB After Processing
Enforcement Action Identifier: VA123456789
NPDES ID: VA1234567
Enforcement Action Type: AIF
Enforcement Action Name: Acme
Industries lawsuit
Achieved Date: 2009-12-30
20
ICIS Batch – Informal Enforcement Action, Version 1.3
Office of Enforcement and Compliance Assurance
2.4 CHANGE (C) INFORMAL ENFORCEMENT ACTION PROCESSING
The Change Informal Enforcement Action XML transaction allows the user to submit specific
changes to the State NPDES Informal Enforcement Action data in ICIS. For the Informal
Enforcement Action identified in the transaction, ICIS updates only the fields specified in the
XML transaction. The processing of a Change Informal Enforcement Action transaction is
described below. Also included in this section are sample Change Informal Enforcement Action
scenarios.
2.4.1 Change Informal Enforcement Action Processing Flow
Figure 2-3: Change Informal Enforcement Action Processing Flow is a diagram depicting the
processing of a Change Informal Enforcement Action transaction. A table detailing each step in
the flow is also included in this section.
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ICIS Batch – Informal Enforcement Action, Version 1.3
Office of Enforcement and Compliance Assurance
Figure 2-3: Change Informal Enforcement Action Processing Flow
Change
Informal
Enforcement
Action
Processing
1.
Does the
Enforcement Action
exist in ICIS?
No
1A. Reject Transaction,
Write 1 error message to
the error log.
End
No
2A. Reject Transaction.
Write 1 error message to
the error log.
End
Yes
2. Is existing Enforcement
Action State NPDES
Informal?
Yes
3. Does user
have privileges to perform
Change Informal Enforcement
Action XML
transaction?
3A. Reject Transaction,
Write 1 error message to
the error log.
End
No
4A. Reject Transaction.
Write 1 error message to
the error log.
End
No
6A. Reject Transaction.
Write 1 error msg per
business rule violation to
the error log.
End
No
Yes
4.
Does the submission
contain data other than
key data?
Yes
5. Overlay changed fields.
6. Are data valid?
Yes
6B.
Set Informal
Enforcement
Action Status
7. Save the Enforcement
Action to the database.
8. Accept transaction.
End
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ICIS Batch – Informal Enforcement Action, Version 1.3
Office of Enforcement and Compliance Assurance
Table 2-12: Change Informal Enforcement Action Processing contains a description of the items from the Change Informal
Enforcement Action Processing flow. The Item Number column refers to the Processing step being referenced. The Item Description
column gives a more in-depth explanation of each step of the process. The Mapping to Business Rules Table column references the
specific business rules that are checked in that step. All other business rules relating to Informal Enforcement Actions can be found in
Table 2-23: Informal Enforcement Action Business Rules.
Table 2-12: Change Informal Enforcement Action Processing
Item
Number
Item Description
Mapping To Business Rule Table
1
Does the Enforcement Action exist in ICIS?
ICIS determines if an Enforcement Action already exists in ICIS that matches the key data submitted. The
XML key tag for matching an Informal Enforcement Action is Enforcement Action Identifier. If a matching
Enforcement Action is found in ICIS, processing continues at #2, otherwise processing continues at #1A.
IEA040
1A
Reject transaction. Write 1 error message to the error log.
If the XML key tag for the Informal Enforcement Action cannot be found in ICIS, then ICIS rejects the
Change Informal Enforcement Action request. ICIS writes an error message to the error log, and
processing of this Change Informal Enforcement Action XML transaction ends.
IEA040
2
Is existing Enforcement Action State NPDES Informal?
ICIS determines if the existing Enforcement Action in ICIS is a State NPDES Enforcement Action and if the
Forum is Administrative - Informal. If these conditions are true, processing continues at #3, otherwise
processing continues at #2A.
IEA051, IEA052
2A
Reject transaction. Write 1 error msg per business rule violation to the error log.
ICIS has determined that the Enforcement Action is either a Federal Enforcement Action and/or is not an
Informal Enforcement Action. ICIS rejects the transaction, writes an error message to the error log for each
business rule violation, and ends processing of the transaction.
IEA051, IEA052
3
Does user have privileges to perform Change Informal Enforcement Action XML transaction?
ICIS determines if the user has privileges to perform a Change Informal Enforcement Action transaction
and if the user has the authority to conduct a Change Informal Enforcement Action transaction for the state
requested. ICIS applies the same security rules for batch as it does for the web, and uses the same set of
permissions. The user must have the Edit Informal Enforcement Action function, which is available as part
of the Informal Enforcement Action Editor role. If the ICIS User ID has the correct privileges, processing
continues at #4, otherwise processing continues at #3A.
Note: Informal Enforcement Actions are always non-sensitive (e.g., sensitive_data_flag = N in the
ICIS_ACTIVITY table).
BAT020
23
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Office of Enforcement and Compliance Assurance
Item
Number
Item Description
Mapping To Business Rule Table
3A
Reject transaction. Write 1 error message to the error log.
If the ICIS User ID does not have the correct privileges defined in ICIS for this Change Informal
Enforcement Action transaction, then ICIS rejects the entire Change Informal Enforcement Action XML
transaction. ICIS writes an error message to the error log, and processing of this Change Informal
Enforcement Action XML transaction ends.
BAT020
4
Does the submission contain data other than the key data?
ICIS determines whether any data besides the key data have been submitted for the Change Informal
Enforcement Action transaction. If data other than key data have been submitted, processing continues at
#5; otherwise processing continues at #4A.
IEA050
4A
Reject transaction. Write 1 error message to the error log.
If no data besides the key data have been submitted in this Change Informal Enforcement Action
transaction, ICIS rejects the entire Change Informal Enforcement Action transaction. ICIS writes an error
message to the error log and processing of this Change Informal Enforcement Action XML transaction
ends.
IEA050
5
Overlay changed fields.
ICIS overlays the fields from the Change Informal Enforcement Action transaction over the current fields in
ICIS. Processing continues at #6.
N/A
6
Are data valid?
ICIS determines if all required data are submitted and checks validity of all required and optional data. If
required data are submitted and required and optional data are valid according to the business rules,
processing continues at #7; otherwise processing continues at #6A.
IEA (081, 100, 110, 130, 140, 150,
170, 190, 220, 240, 250, 260, 270)
6A
Reject Transaction. Write 1 error msg per business rule violation to the error log.
If ICIS determines that required and/or optional data are incomplete and/or invalid, ICIS rejects the entire
Change Informal Enforcement Action transaction. ICIS writes an error message to the error log for each
business rule violation and processing of this Change Informal Enforcement Action XML transaction ends.
(Same as Step 6)
6B
Set Informal Enforcement Action Status.
ICIS calls the Set Informal Enforcement Action Status process to update the Status and Status Date of the
Informal Enforcement Action. See 2.6 Set Informal Enforcement Action Status.
N/A
7
Save the Informal Enforcement Action to the database.
ICIS has determined that the Change Informal Enforcement Action transaction is valid. The Informal
Enforcement Transaction is saved to the ICIS database and processing continues at #8.
N/A
8
Accept transaction.
ICIS logs a successful Change Informal Enforcement Action transaction. Processing of the Change
Informal Enforcement XML transaction is complete.
N/A
GC (010, 020, 030, 040, 050, 060)
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2.4.2 Change Informal Enforcement Action Sample Scenarios
Examples of possible Change Informal Enforcement Action scenarios are described below.
Example 1
If the submitted Change Informal Enforcement Action XML includes:
•
Valid Enforcement Action Identifier
Valid data for an Informal Enforcement Action.
ICIS will accept the transaction and change the Informal Enforcement Action in ICIS. Additional
data is added to the record in ICIS. Table 2-13: Change Informal Enforcement Action Example 1
provides an example.
Table 2-13: Change Informal Enforcement Action Example 1
Informal Enforcement Action in
ICIS DB
Informal Enforcement Action XML
Submission
Result in ICIS DB After Processing
Enforcement Action Identifier: VA-123456789
NPDES ID: VA1234567
NPDES ID: VA1234567, VA6789123
NPDES ID: VA1234567, VA6789123
Enforcement Action Type: AIF
Enforcement Action Type: AIF
Enforcement Action Type: AIF
Enforcement Action Name: Acme
Industries lawsuit
Enforcement Action Name: Acme
Industries lawsuit
Enforcement Action Name: Acme
Industries lawsuit
Programs Violated Code: CWACSO Programs Violated Code: CWACSO,
CWASTMC
Programs Violated Code: CWACSO,
CWASTMC
Achieved Date: 2009-12-30
Achieved Date: 2009-12-30
Agency Type Code: ST4
Agency Type Code: ST4
Agency Lead Indicator Code: Y
Agency Lead Indicator Code: Y
Informal EA Comment Text: Action
followed up with a call.
Informal EA Comment Text: Action
followed up with a call.
Informal EA User Defined Field 1: N
Informal EA User Defined Field 2:
Special Use
Informal EA User Defined Field 1: N
Informal EA User Defined Field 2:
Special Use
Informal EA User Defined Field 3:
Special Use
Informal EA User Defined Field 3:
Special Use
Informal EA User Defined Field 4: 2009- Informal EA User Defined Field 4:
12-30
2009-12-30
Informal EA User Defined Field 5: 2009- Informal EA User Defined Field 5:
12-30
2009-12-30
Informal EA User Defined Field 6:
Special Use
Informal EA User Defined Field 6:
Special Use
Example 2
If the submitted Change Informal Enforcement Action XML includes:
25
ICIS Batch – Informal Enforcement Action, Version 1.3
Office of Enforcement and Compliance Assurance
•
Valid Enforcement Action Identifier
Data that violate a business rule (i.e., Enforcement Action Type does not exist in ICIS).
ICIS will reject the transaction because the XML submission file contains an Enforcement
Action Type that does not exist in the ICIS reference table. Table 2-14: Change Informal
Enforcement Action Example 2 provides an example.
Table 2-14: Change Informal Enforcement Action Example 2
Informal Enforcement Action in
ICIS DB
Informal Enforcement Action XML
Submission
Result in ICIS DB After Processing
Enforcement Action Identifier: VA-123456789
NPDES ID: VA1234567
NPDES ID: VA1234567
NPDES ID: VA1234567
Enforcement Action Type: AIF
Enforcement Action Type: DNE
Enforcement Action Type: AIF
Enforcement Action Name: Acme
Industries lawsuit
Enforcement Action Name: Acme
Industries lawsuit Revised
Enforcement Action Name: Acme
Industries lawsuit
Programs Violated Code: CWACSO Programs Violated Code: CWASTMC
Programs Violated Code: CWACSO
Achieved Date: 2009-12-30
Agency Type Code: ST4
Agency Lead Indicator Code: Y
Example 3
If the submitted Change Informal Enforcement Action XML includes:
•
Valid Enforcement Action Identifier
Data that violate a business rule (i.e., Asterisk is submitted for one of the elements of a multivalue, multiple data tag to remove Agency Type Code).
ICIS will reject the transaction because asterisks cannot be submitted to only one of the elements
of a multi-value, multiple data tag to remove an Agency Type Code. The user must submit
asterisks to all elements in a multi-value, multiple data tag. Table 2-15: Change Informal
Enforcement Action Example provides an example.
Table 2-15: Change Informal Enforcement Action Example
Informal Enforcement Action in
ICIS DB
Informal Enforcement Action XML
Submission
Result in ICIS DB After
Processing
Enforcement Action Identifier: VA-123456789
NPDES ID: VA1234567
NPDES ID: VA1234567
NPDES ID: VA1234567
Enforcement Action Type: AIF
Enforcement Action Type: AIF
Enforcement Action Type: AIF
Enforcement Action Name: Acme
Industries lawsuit
Enforcement Action Name: Acme
Industries lawsuit Revised
Enforcement Action Name: Acme
Industries lawsuit
Programs Violated Code:
CWACSO
Programs Violated Code: CWASTMC
Programs Violated Code:
CWACSO
Agency Type Code: ST4
Agency Type Code: *
Agency Type Code: ST4
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Office of Enforcement and Compliance Assurance
Informal Enforcement Action in
ICIS DB
Agency Lead Indicator Code: Y
Informal Enforcement Action XML
Submission
Agency Lead Indicator Code: Y
Result in ICIS DB After
Processing
Agency Lead Indicator Code: Y
2.5 REPLACE (R) INFORMAL ENFORCEMENT ACTION PROCESSING
The Replace Informal Enforcement Action transaction allows the user to submit State NPDES
Informal Enforcement Action data to ICIS without considering the current state of the Informal
Enforcement Action data in ICIS. In processing the transaction, ICIS will determine whether or
not the Informal Enforcement Action already exists. If the Informal Enforcement Action does not
exist in ICIS, the Replace transaction behaves similarly to a New transaction and creates a new
State NPDES Informal Enforcement Action. In this case, most of the New business rules apply
to the Replace transaction. If the Informal Enforcement Action already exists in ICIS, the
Replace transaction behaves similarly to a Change transaction and updates the existing record in
ICIS with the data provided, blanking out fields that were not submitted. In this case, most of the
Change business rules apply to the Replace transaction. Also included in this section are sample
Replace Informal Enforcement Action scenarios.
2.5.1 Replace Informal Enforcement Action Processing Flow
Figure 2-4: Replace Informal Enforcement Action Processing Flow is a diagram depicting the
processing of a Replace Informal Enforcement Action transaction. A table detailing each step in
the flow is also included in this section.
In a Replace transaction, ICIS will replace the data for the Informal Enforcement Action with the
data submitted in the XML. It is important to note that there are some Informal Enforcement
Action fields that cannot be submitted through batch transactions, either because they are webonly fields or because they are system-generated.
In a Replace transaction where the Informal Enforcement Action already exists in ICIS, the
system will not blank out these fields:
•
•
•
•
•
Federal Statutes Violated
Federal Law Sections Violated
Issued By (aka State/EPA Flag)
Start Date of Association.
Federal Facility Activity
Federal Facility Activity Comment
The processing of a Replace Informal Enforcement Action transaction in ICIS is described
below.
27
ICIS Batch – Informal Enforcement Action, Version 1.3
Office of Enforcement and Compliance Assurance
Figure 2-4: Replace Informal Enforcement Action Processing Flow
Replace
Informal
Enforcement
Action
Processing
End
2A. Reject Transaction,
Write 1 error message to
the error log.
No
2.
Is existing Enforcement
Action State NPDES
Informal?
Yes
1. Does Enforcement Action
exist in ICIS?
No
Yes
End
End
3A. Reject Transaction.
Write 1 error message to
the error log.
4A. Reject Transaction.
Write 1 error msg per
business rule violation to
the error log.
No
No
3. Does user
have privileges to perform
Replace Informal Enforcement
Action XML
transaction?
1A. Does user
have privileges to perform
Replace Informal Enforcement
Action XML
transaction?
Yes
Yes
4.
Are data valid for
Replace (like Change)
transactions?
1B.
Are data valid for
Replace (like New)
transactions?
No
No
1A1. Reject Transaction.
Write 1 error message to
the error log.
End
1B1. Reject Transaction,
Write 1 error msg per
business rule violation to
the error log.
End
Yes
Yes
4B/1B2.
Set Informal
Enforcement
Action Status
5. Save the Informal
Enforcement Action to the
database.
6. Accept transaction.
End
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ICIS Batch – Informal Enforcement Action, Version 1.3
Office of Enforcement and Compliance Assurance
Table 2-16: Replace Informal Enforcement Action Processing contains a description of the items from the Replace Informal
Enforcement 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 Business Rules Table column references the specific
business rules that are checked in that step. All other business rules relating to Informal Enforcement Actions can be found in Table
2-23: Informal Enforcement Action Business Rules.
Table 2-16: Replace Informal Enforcement Action Processing
Item
Number
Item Description
Mapping To Business Rule Table
1
Does Enforcement Action exist in ICIS?
ICIS determines if an Enforcement Action already exists in ICIS that matches the key data submitted. The
XML key tag for matching an Informal Enforcement Action is Enforcement Action Identifier. If a matching
Enforcement Action is found in ICIS, processing continues at #2, otherwise processing continues at #1A.
N/A
1A
Does user have privileges to perform Replace Informal Enforcement Action XML transaction?
ICIS determines if the user has privileges to perform a Replace Informal Enforcement Action transaction
and if the user has the authority to conduct a Replace Informal Enforcement Action transaction for the
state requested. ICIS applies the same security rules for batch as it does for the web, and uses the same
set of permissions. The user must have the Add and Edit Informal Enforcement Action function, which is
available as part of the Informal Enforcement Action Editor role. If the ICIS User ID has the correct
privileges, processing continues at #1B, otherwise processing continues at #1A1.
Note: Informal Enforcement Actions are always non-sensitive (e.g., sensitive_data_flag = N in the
ICIS_ACTIVITY table).
BAT020
1A1
Reject transaction. Write 1 error message to the error log.
If the ICIS User ID does not have the correct privileges defined in ICIS for this Replace Informal
Enforcement Action transaction, then ICIS rejects the entire Replace Informal Enforcement Action XML
transaction. ICIS writes an error message to the error log, and processing of this Replace Informal
Enforcement Action XML transaction ends.
BAT020
1B
Are data valid for Replace (like New) transactions?
ICIS determines if all required data are submitted and checks validity of all required and optional data. If
required data are submitted and required and optional data are valid according to the business rules,
processing continues at #5; otherwise processing continues at #1B1.
IEA (060, 081, 090, 100, 110, 160,190,
210, 220, 240, 250, 260, 270)
1B1
Reject Transaction. Write 1 error msg per business rule violation to the error log.
If ICIS determines that required and/or optional data are incomplete and/or invalid, ICIS rejects the entire
Replace Informal Enforcement Action transaction. ICIS writes an error message to the error log for each
business rule violation and processing of this Replace Informal Enforcement Action XML transaction ends.
(Same as Step 1B)
1B2
Set Informal Enforcement Action Status.
ICIS calls the Set Informal Enforcement Action Status process to update the Status and Status Date of the
N/A
GC (010, 020, 030, 040, 050, 060)
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Office of Enforcement and Compliance Assurance
Item
Number
Item Description
Mapping To Business Rule Table
Informal Enforcement Action. See 2.6 Set Informal Enforcement Action Status.
2
Is existing Enforcement Action State NPDES Informal?
ICIS determines if the existing Enforcement Action in ICIS is a State NPDES Enforcement Action and if the
Forum is Administrative - Informal. If these conditions are true, processing continues at #3, otherwise
processing continues at #2A.
IEA051, IEA052
2A
Reject transaction. Write 1 error msg per business rule violation to the error log.
ICIS has determined that the Enforcement Action is either a Federal Enforcement Action and/or is not an
Informal Enforcement Action. ICIS rejects the transaction, writes an error message to the error log for each
business rule violation, and ends processing of the transaction.
IEA051, IEA052
3
Does user have privileges to perform Replace Informal Enforcement Action XML transaction?
ICIS determines if the user has privileges to perform a Replace Informal Enforcement Action transaction
and if the user has the authority to conduct a Replace Informal Enforcement Action transaction for the
state requested. ICIS applies the same security rules for batch as it does for the web, and uses the same
set of permissions. The user must have the Add and Edit Informal Enforcement Action function, which is
available as part of the Informal Enforcement Action Editor role. If the ICIS User ID has the correct
privileges, processing continues at #4, otherwise processing continues at #3A.
Note: Informal Enforcement Actions are always non-sensitive (e.g., sensitive_data_flag = N in the
ICIS_ACTIVITY table).
BAT020
3A
Reject transaction. Write 1 error message to the error log.
If the ICIS User ID does not have the correct privileges defined in ICIS for this Replace Informal
Enforcement Action transaction, then ICIS rejects the entire Replace Informal Enforcement Action XML
transaction. ICIS writes an error message to the error log, and processing of this Replace Informal
Enforcement Action XML transaction ends.
BAT020
4
Are data valid for Replace (like Change) transactions?
ICIS determines if all required data are submitted and checks validity of all required and optional data. If
required data are submitted and required and optional data are valid according to the business rules,
processing continues at #5; otherwise processing continues at #4A.
IEA (081, 090, 100, 110, 130, 140,
150, 160, 170, 190, 210, 220, 240,
250, 260, 270)
GC (010, 020, 030, 040, 050, 060)
4A
Reject Transaction. Write 1 error msg per business rule violation to the error log.
If ICIS determines that required and/or optional data are incomplete and/or invalid, ICIS rejects the entire
Replace Informal Enforcement Action transaction. ICIS writes an error message to the error log for each
business rule violation and processing of this Replace Informal Enforcement Action XML transaction ends.
(Same as Step 4)
4B
Set Informal Enforcement Action Status.
ICIS calls the Set Informal Enforcement Action Status process to update the Status and Status Date of the
Informal Enforcement Action. See 2.6 Set Informal Enforcement Action Status.
N/A
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Office of Enforcement and Compliance Assurance
Item
Number
Item Description
Mapping To Business Rule Table
5
Save the Informal Enforcement Action to the database.
ICIS has determined that the Replace Informal Enforcement Action transaction is valid. The Informal
Enforcement Transaction is saved to the ICIS database and processing continues at #6.
N/A
6
Accept transaction.
ICIS logs a successful Replace Informal Enforcement Action transaction. Processing of the Replace
Informal Enforcement XML transaction is complete.
N/A
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Office of Enforcement and Compliance Assurance
2.5.2 Replace Informal Enforcement Action Sample Scenarios
Examples of possible Replace Informal Enforcement Action scenarios are described below.
Example 1
If the submitted Replace Informal Enforcement Action XML includes:
•
•
Valid Enforcement Action Identifier
Valid data for an Informal Enforcement Action
Informal Enforcement Action does not exist in ICIS for the key data entered.
ICIS will accept the transaction and add the Informal Enforcement Action to the database. Table
2-17: Replace Informal Enforcement Action Example 1 provides an example.
Table 2-17: Replace Informal Enforcement Action Example 1
Informal Enforcement Action in
ICIS DB
Informal Enforcement Action XML
Submission
Result in ICIS DB After Processing
Enforcement Action Identifier: VA123456789
Enforcement Action Identifier: VA123456789
NPDES ID: VA1234567
NPDES ID: VA1234567
Enforcement Action Type: AIF
Enforcement Action Type: AIF
Enforcement Action Name: Acme
Industries lawsuit
Enforcement Action Name: Acme
Industries lawsuit
Programs Violated Code: CWACSO
Programs Violated Code: CWACSO
Example 2
If the submitted Replace Informal Enforcement Action XML includes:
•
•
Valid Enforcement Action Identifier
Valid data for an Informal Enforcement Action
Informal Enforcement Action exists in ICIS for the key data entered.
ICIS will accept the transaction and change the Informal Enforcement Action in ICIS. Table
2-19: Replace Informal Enforcement Action Example provides an example.
Table 2-18: Replace Informal Enforcement Action Example 2
Informal Enforcement Action in
ICIS DB
Informal Enforcement Action XML
Submission
Result in ICIS DB After
Processing
Enforcement Action Identifier: VA-123456789
NPDES ID: VA1234567
NPDES ID: VA1234567, VA6789123
NPDES ID: VA1234567,
VA6789123
Enforcement Action Type: AIF
Enforcement Action Type: AIF
Enforcement Action Type: AIF
Enforcement Action Name: Acme
Industries lawsuit
Enforcement Action Name: Acme
Industries lawsuit
Enforcement Action Name: Acme
Industries lawsuit
32
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Office of Enforcement and Compliance Assurance
Informal Enforcement Action in
ICIS DB
Programs Violated Code:
CWACSO
Informal Enforcement Action XML
Submission
Result in ICIS DB After
Processing
Programs Violated Code: CWACSO,
CWASTMC
Programs Violated Code:
CWACSO, CWASTMC
Achieved Date: 2009-12-30
Achieved Date: 2009-12-30
Agency Type Code: ST4
Agency Type Code: ST4
Agency Lead Indicator Code: Y
Agency Lead Indicator Code: Y
Informal EA Comment Text: Action
followed up with a call.
Informal EA Comment Text: Action
followed up with a call.
Informal EA User Defined Field 1: N
Informal EA User Defined Field 1:
N
Informal EA User Defined Field 2:
Special Use
Informal EA User Defined Field 2:
Special Use
Informal EA User Defined Field 3:
Special Use
Informal EA User Defined Field 3:
Special Use
Informal EA User Defined Field 4:
2009-12-30
Informal EA User Defined Field 4:
2009-12-30
Informal EA User Defined Field 5:
2009-12-30
Informal EA User Defined Field 5:
2009-12-30
Informal EA User Defined Field 6:
Special Use
Informal EA User Defined Field 6:
Special Use
Example 3
If the submitted Replace Informal Enforcement Action XML includes:
•
Valid Enforcement Action Identifier
Data that violate a business rule (i.e., Programs Violated Code is blanked out).
ICIS will reject the transaction because the XML submission file contains an asterisk to blank
out Programs Violated Code, which is a required tag Table 2-19: Replace Informal Enforcement
Action Example 3 provides an example.
Table 2-19: Replace Informal Enforcement Action Example 3
Informal Enforcement Action in
ICIS DB
Informal Enforcement Action XML
Submission
Result in ICIS DB After Processing
Enforcement Action Identifier: VA-123456789
NPDES ID: VA1234567
NPDES ID: VA1234567
NPDES ID: VA1234567
Enforcement Action Type: AIF
Enforcement Action Type: AIF
Enforcement Action Type: AIF
Enforcement Action Name: Acme
Industries lawsuit
Enforcement Action Name: Acme
Industries lawsuit Revised
Enforcement Action Name: Acme
Industries lawsuit
Programs Violated Code:
CWACSO
Programs Violated Code: *
Programs Violated Code:
CWACSO
Achieved Date: 2009-12-30
Agency Type Code: ST4
Agency Lead Indicator Code: Y
33
ICIS Batch – Informal Enforcement Action, Version 1.3
Office of Enforcement and Compliance Assurance
Example 4
If the submitted Replace Informal Enforcement Action XML includes:
•
Valid Enforcement Action Identifier
Data that violate a business rule (i.e., Government Contact identified by Email Address does not
exist in ICIS).
ICIS will reject the transaction because a Government Contact does not exist in ICIS for the
Email Address submitted. Table 2-20: Replace Informal Enforcement Action Example provides
an example.
Table 2-20: Replace Informal Enforcement Action Example 4
Informal Enforcement Action in
ICIS DB
Informal Enforcement Action XML
Submission
Result in ICIS DB After Processing
Enforcement Action Identifier: VA123456789
NPDES ID: VA1234567
Enforcement Action Type: AIF
Enforcement Action Name: Acme
Industries lawsuit Revised
Programs Violated Code: CWACSO
Government Contact Email Address:
[email protected]
Example 5
If the submitted Replace Informal Enforcement Action XML includes:
•
Valid Enforcement Action Identifier
Data that violate a business rule (e.g., Multiple Agency Type Codes submitted with Agency Lead
Indicator Code = Y).
ICIS will reject the transaction because only one Agency Type Code can be submitted with
Agency Lead Indicator Code = Y. Table 2-21: Replace Informal Enforcement Action Example
provides an example.
Table 2-21: Replace Informal Enforcement Action Example 5
Informal Enforcement Action in
ICIS DB
Informal Enforcement Action XML
Submission
Result in ICIS DB After
Processing
Enforcement Action Identifier: VA-123456789
NPDES ID: VA1234567
NPDES ID: VA1234567
NPDES ID: VA1234567
Enforcement Action Type: AIF
Enforcement Action Type: AIF
Enforcement Action Type: AIF
34
ICIS Batch – Informal Enforcement Action, Version 1.3
Office of Enforcement and Compliance Assurance
Informal Enforcement Action in
ICIS DB
Informal Enforcement Action XML
Submission
Result in ICIS DB After
Processing
Enforcement Action Name: Acme
Industries lawsuit
Enforcement Action Name: Acme
Industries lawsuit Revised
Enforcement Action Name: Acme
Industries lawsuit
Programs Violated Code:
CWACSO
Programs Violated Code: CWASTMC
Programs Violated Code:
CWACSO
Achieved Date: 2009-12-30
Agency Type Code: ST4
Agency Lead Indicator Code: Y
Agency Type Code: CT4
Agency Lead Indicator Code: Y
2.6 SET INFORMAL ENFORCEMENT ACTION STATUS
Informal Enforcement Actions have a Status and Status Date that is generated by New, Change,
and Replace transactions based on the achievement of the action.
2.6.1 Set Informal Enforcement Action Status Flow
Figure 2-5: Set Informal Enforcement Action Status Flow is a diagram depicting the logic for
setting the status of an Informal Enforcement Action. This is a sub-flow that is called in the New,
Change, and Replace Informal Enforcement Action Processing flows. A table detailing each step
in the flow is also included in this section.
The logic for setting the Status for an Informal Enforcement Action in ICIS is described below.
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ICIS Batch – Informal Enforcement Action, Version 1.3
Office of Enforcement and Compliance Assurance
Figure 2-5: Set Informal Enforcement Action Status Flow
Set Informal
Enforcement
Action Status
1. Is the Achieved Date
entered?
Yes
1A.
Set Status = Achieved
Set Status Date =
Achieved Date
2.
Back to Calling
Process
No
1B.
Set Status = Active
Set Status Date = Created
Date
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ICIS Batch – Informal Enforcement Action, Version 1.3
Office of Enforcement and Compliance Assurance
Table 2-22: contains a description of the items from the Set Informal Enforcement 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 Business Rules Table column references the specific business rules that are checked in that step. All other business rules
relating to Informal Enforcement Actions can be found in Table 2-23: Informal Enforcement Action Business Rules.
Table 2-22: Set Informal Enforcement Action Status
Item
Number
Item Description
Mapping To Business Rule Table
1
Is the Achieved Date Entered?
ICIS determines if the Achieved Date has been entered for the Informal Enforcement Action. If the
Achieved Date has been entered, processing continues at #1A, otherwise processing continues at #1B.
N/A
1A
Set Status = Achieved, Set Status Date = Achieved Date
ICIS determines the Achieved Date has been entered and sets the Status
(icis_activity.activity_status_code) = Achieved and the Status Date (icis_activity.activity_status_date) =
Achieved Date.
N/A
1B
Set Status = Active, Set Status Date = Created Date
ICIS determines the Achieved Date has NOT been entered and sets the Status
(icis_activity.activity_status_code) = Active and the Status Date (icis_activity.activity_status_date) =
Created Date. In the case of New transactions, the Created Date will be the current date.
N/A
2
Back to Calling Process
Having set the Status and Date, ICIS returns to the calling process.
N/A
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ICIS Batch – Informal Enforcement Action, Version 1.3
Office of Enforcement and Compliance Assurance
2.7 BUSINESS RULES
Table 2-23: Informal Enforcement Action Business Rules lists the business rules that apply to State NPDES Informal Enforcement
Action transactions. Each row has a unique Error Code which identifies the business rule. The Business Rules column describes the
specific business rule that is being applied to the Informal Enforcement Action transactions. The naming of the data fields is consistent
with the existing production system terminology and not the batch XML schema terminology. The Where Enforced (Web) column
identifies the code tier that is responsible for enforcing the business rule from the Web Application. Business Rules that have a Where
Enforced column of Business rule layer can often be reused for ICIS Batch. The Error/Warning Message lists the specific message
(including data) that will be displayed on the audit report along with code. The error/warning messages use the XML schema
terminology for data so that users can easily identify the specific data tags that are in error. On the audit reports, the key values for
each transaction will be concatenated. The key value that will be displayed for Informal Enforcement Action transactions is:
Enforcement Action Identifier. The Applicable Transaction Types column identifies all transaction types to which the business rule
applies.
Table 2-23: Informal Enforcement Action Business Rules
Error/
Warning
Code
Business Rules
Where
Enforced
(Web)
Error/Warning Message
Applicable
Transaction
Types
X, N, C, R
BAT010 Transaction Type must be valid for Informal Enforcement N/A
Actions. Valid Transaction Types are X (Mass Delete), N
(New), C (Change), R (Replace).
Transaction Type <Transaction Type value> is not valid for
<Submission Type value>.
BAT020 User must have privileges to perform the transaction. This GUI
relates to specific roles and access level (HQ, specific
region, specific state).
Note: ICIS does not have Batch-specific privileges. The
privileges for Batch and Web access are the same.
Informal Enforcement Action Key Element(s)
X, N, C, R
User <ID value> does not have privileges to perform a
<Transaction Type value> <Submission Type value> transaction.
IEA030
The Enforcement Action Identifier must not exist in ICIS.
Business Rule Enforcement Action already exists for the key data provided.
Layer
IEA040
The Enforcement Action Identifier must exist in ICIS.
GUI
IEA050
If the Informal Enforcement Action transaction contains
N/A
only key data and no other data, ICIS rejects the Informal
Enforcement Action transaction.
N
X, C
The Enforcement Action identifier must already exist in ICIS.
The Informal Enforcement Action only contains key data and no C
other data for processing.
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ICIS Batch – Informal Enforcement Action, Version 1.3
Office of Enforcement and Compliance Assurance
Error/
Warning
Code
Business Rules
Where
Enforced
(Web)
IEA051
The existing Enforcement Action in ICIS must be a state GUI
Activity (i.e., state_epa_flag = S) in the ICIS_ACTIVITY
table and must be a NPDES Enforcement Action1.
.
Note: This business rule is not checked for Replace
transactions where the Enforcement Action does not exist
in ICIS.
IEA052
The existing Enforcement Action in ICIS must be an
GUI
Administrative - Informal Activity (i.e., activity_status_code
= AIF) in the ICIS_ACTIVITY table.
Note: This business rule is not checked for Replace
transactions where the Enforcement Action does not exist
in ICIS.
IEA060
Error/Warning Message
Applicable
Transaction
Types
The Enforcement Action in ICIS must represent a State NPDES C, R, X
Enforcement Action.
The Enforcement Action in ICIS must represent an Informal
Enforcement Action.
C, R, X
The first two characters (i.e., State Code) of the
GUI
Enforcement Action Identifier must be a valid state (i.e.,
Active code where usage_indicator = N or B) in
REF_STATE table, the third character must be a dash
(i.e., -), and it must be a minimum of four characters in
length.
Note: This business rule is not checked for Replace
transactions where the Enforcement Action exists in ICIS.
Enforcement Action Linked NPDES ID (i.e., Facility Interest) Data Element(s)
The first two characters (i.e., State Code) of the Enforcement
N, R
Action Identifier must represent a valid state in the ICIS reference
table, the third character must be a dash, and it must be at least
four characters in length.
IEA081
The Permit Type for the Permit identified by the NPDES
ID cannot be:
• NPDES Master General Permit
• State Issued Master General Permit (Non-NPDES)
N/A
N, C, R
The Permit Type for the Permit Identifier(s) <Permit Identifier
value 1, Permit Identifier value 2,… Permit Identifier value n>
cannot be NPDES Master General Permit or State Issued Master
General Permit (Non-NPDES).
IEA090
One or more Linked NPDES ID for the Facility Interest
must exist for a State NPDES Informal Enforcement
Action.
Business rule Permit Identifier for the Facility Interest must exist for a State
layer
NPDES Informal Enforcement Action.
1
N, R
Note: see the ICIS Security and Navigation document for a discussion of how ICIS determines whether a state action is also a NPDES action.
39
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Error/
Warning
Code
Business Rules
Where
Enforced
(Web)
Error/Warning Message
Applicable
Transaction
Types
N, C, R
IEA100
If the Permit Type for the Permit identified by the NPDES Business rule Permit Identifier(s) <Permit Identifier value 1, Permit Identifier
ID is not one of the following:
layer
value 2,… Permit Identifier value n> is not a NPDES Facility
Interest or does not exist in ICIS.
• NPDES Master General Permit
• State Issued Master General Permit (Non-NPDES)
Then the Linked NPDES ID for the Facility Interest of the
Informal Enforcement Action must exist in ICIS and must
have a Program System Acronym of NPDES.
IEA110
The first two characters (i.e., State Code) of the NPDES Business rule Permit Identifier(s) <Permit Identifier value 1, Permit Identifier
N, C, R
ID (i.e., Facility Interest Identifier) must equal the first two layer
value 2,… Permit Identifier value n> must be for the same state
characters of the Enforcement Action Identifier.
acronym as the first two characters of the Enforcement Action
Identifier.
C, R
A NPDES ID (i.e. Facility Interest) cannot be unlinked from Business rule Permit Identifier(s) <Permit Identifier value 1, Permit Identifier
value 2,… Permit Identifier value n> cannot be unlinked from the
an Enforcement Action if one or more Violations with the layer
Enforcement Action because one or more Violations with the
same NPDES ID are linked to the Enforcement Action.
same NPDES ID are linked to the Enforcement Action.
Note: This business rule is not checked for Replace
IEA130
transactions where the Enforcement Action does not exist
in ICIS.
IEA140
A NPDES ID (i.e. Facility Interest) cannot be unlinked from Business rule
layer
an Enforcement Action if it is the only NPDES ID (i.e.,
Facility Interest) that is in common with a Related Activity
(e.g., Compliance Assistance, Compliance Determination,
Compliance Monitoring, Enforcement Action, Incident) that
is linked to the Enforcement Action.
Note: This business rule is not checked for Replace
transactions where the Enforcement Action does not exist
in ICIS.
The Permit Identifier cannot be unlinked from the Enforcement C, R
Action because it is the only NPDES ID (i.e. Facility Interest) that
is in common with a Related Activity that is linked to the
Enforcement Action.
If the Informal Enforcement Action has Violations linked to Business rule The Enforcement Action Achieved Date must exist because the C, R
Informal Enforcement Action has linked Violations.
it, the Enforcement Action Achieved Date must exist.
layer
Note: This business rule is not checked for Replace
transactions where the Enforcement Action does not exist
in ICIS.
Enforcement Action Type Data Element(s)
IEA150
IEA160
Enforcement Action Type must exist for an Informal
Enforcement Action.
GUI
Enforcement Action Type Code must exist for an Informal
Enforcement Action.
N, R
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ICIS Batch – Informal Enforcement Action, Version 1.3
Office of Enforcement and Compliance Assurance
Error/
Warning
Code
IEA170
Business Rules
Where
Enforced
(Web)
Error/Warning Message
Applicable
Transaction
Types
Enforcement Action Type(s) must be a valid (i.e., Active) GUI
code with a State NPDES activity filter code (i.e.,
ref_activity_filter.npdes_flag = ‘Y’ based on
ref_enf_type.activity_filter_code) in the REF_ENF_TYPE
table.
Enforcement Action Type Code <Enforcement Action Type Code N, C, R
value > is not valid for State NPDES Enforcement Actions, does
not exist, or is inactive in the ICIS reference table.
Enforcement Action Type must have an
GUI
activity_type_code in the REF_ENF_TYPE table equal to
AIF (Administrative - Informal).
Enforcement Action Program Violated Data Element(s)
Enforcement Action Type Code <Enforcement Action Type Code N, C, R
value> must represent an Informal Enforcement Action.
IEA190
IEA210
Programs Violated must exist for an Informal Enforcement Business rule Programs Violated Code must exist for an Informal Enforcement N, R
Action.
layer
Action.
IEA220
Programs Violated must be a valid (i.e., Active) code with Business rule Programs Violated Code(s) <Programs Violated Code value 1,
layer
program_category_code = NPDES in the
Programs Violated Code value 2,… Programs Violated Code
REF_PROGRAM table.
value n> is not a NPDES Programs Violated Code, does not
exist, or is an inactive value in the ICIS reference table.
N, C, R
IEA225
Set Statute/Law Section Code to CWA/OTHER for State
NPDES EAs.
Business rule N/A
layer
N, R
Reason for Deleting Enforcement Action must exist.
Note: this tag is ignored for New, Change, and Replace
transactions.
Enforcement Action Agency Data Element(s)
Business rule Reason Deleting Record must exist for a Mass Delete Informal
layer
Enforcement Action transaction.
X
IEA240
Enforcement Agency Type must be a valid (i.e., Active)
code in the REF_AGENCY_TYPE table with
activity_group_code = EFA (Enforcement Action).
Business rule Enforcement Agency Type Code <Enforcement Agency Type
N, C, R
layer
Code value 1, Enforcement Agency Type Code value 2,…
Enforcement Agency Type Code value n> is inactive or invalid in
the ICIS Reference Table.
IEA250
Only one Enforcement Agency Type can be designated
with Agency Lead Indicator Code = Y.
Business rule More than one Enforcement Agency Type Code <Enforcement
layer
Agency Type Code value 1, Enforcement Agency Type Code
value 2, … Enforcement Agency Type Code value n> has been
designated with an Agency Lead Indicator Code = Y.
Note: this does not apply for Replace like Change
transactions.
Enforcement Action Reason for Deletion Data Element(s)
IEA230
N, C, R
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ICIS Batch – Informal Enforcement Action, Version 1.3
Office of Enforcement and Compliance Assurance
Error/
Warning
Code
Business Rules
Where
Enforced
(Web)
Error/Warning Message
Applicable
Transaction
Types
IEA260
The same Enforcement Agency Type cannot be included Business rule Enforcement Agency Type Code <Enforcement Agency Type
N, C, R
multiple times with different Agency Lead Indicator codes. layer
Code value 1, Enforcement Agency Type Code value 2,…
Enforcement Agency Type Code value n> was submitted multiple
times with different Agency Lead Indicator Code values.
IEA270
Both asterisks and values were entered in the required tags
N, C, R
Enforcement Agency Type Code and Agency Lead Indicator
Code. All asterisks or all values must be entered in the required
tags.
Asterisks must be entered in all required Agency Type
Business rule
Code tags (Enforcement Agency Type and Agency Lead layer
Indicator) to blank out all Agency Type Codes. If asterisks
are only entered in some required tags and values are
entered in other required tags, the transaction will be
rejected..
Enforcement Action Government Contacts Data Element(s)
GC010
The Government Contact identified by Email Address
must exist in ICIS.
Business rule The Government Contact(s) identified by Electronic Address Text N, C, R
layer
<Electronic Address Text value 1, Electronic Address Text value
2, … Electronic Address Text value n> does not exist in ICIS.
GC020
For Government Contact, the Affiliation Type Code must GUI
be a valid (i.e., Active) code with an affiliation_category of
Government in the REF_AFFILIATION_TYPE table.
Affiliation Type Text <Affiliation Type Text value 1, Affiliation
N, C, R
Type Text value 2, … Affiliation Type Text value n> does not
have an Affiliation Category of Government, does not exist, or is
inactive in the ICIS reference table.
GC030
For Government Contact, the Affiliation Type must have GUI
an app_module_code = SEA (State Enforcement Action)
in the XREF_AFFILIATION_MODULE table.
Affiliation Type Text <Affiliation Type Text value 1, Affiliation
N, C, R
Type Text value 2,… Affiliation Type Text value n> is not valid for
<Submission Type value>.
GC040
Only one Lead EPA Attorney at a time can be Active for
an Enforcement Action (i.e., cannot have overlapping
dates when they are associated).
GC050
Asterisks must be entered in all required Government
Business rule For one or more Government Contacts, both asterisks and
N, C, R
Contact tags (Email Address and Affiliation Type) to blank layer
values were entered in the required tags. The required tags must
contain either all asterisks or all values.
out all Government Contacts. If asterisks are only entered
in some required tags and values are entered in other
required tags, the transaction will be rejected.
GC060
Government Contact End Date of Association must be
greater than the Government Contact Start Date of
Association.
Business rule Only one Government Contact with Affiliation Type Text of LEA N, C, R
layer
(Lead EPA Attorney) can be Active for an Enforcement Action at
any one time.
GUI
End Date Of Contact Association <End Date Of Contact
N, C, R
Association value> must be greater than the Start Date Of
Contact Association <Start Date Of Contact Association value>.
Note: This error message is issued once for each Government
Contact.
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ICIS Batch – Informal Enforcement Action, Version 1.3
Office of Enforcement and Compliance Assurance
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ICIS Batch – Informal Enforcement Action, Version 1.3
Office of Enforcement and Compliance Assurance
3. DATA ELEMENT MAPPING
The mapping between PCS Acronym, XML Tag Name, ICIS Screen Name, and ICIS Database Name is shown below in Table 3-1:
Batch State NPDES Informal Enforcement Action Data Element Mapping. The table is organized according to the order in which tags
are listed in the State NPDES Informal Enforcement Action schema.
Table 3-1: Batch State NPDES Informal Enforcement Action Data Element Mapping
PCS Acronym
XML Tag Name
XML Data Type
ICIS Screen Name
ICIS Database Name
Informal Enforcement Action Key Elements
N/A
EnforcementActionIdentifier
Icis: StringMin1Max20TypeBase
Enforcement Action Identifier
icis_enforcement.enf_identifier
Informal Enforcement Action Elements
NPID, SLID
PermitIdentifier
icis:String9FixedTypeBase
NPDES ID
icis_facility_interest.pgm_sys_id
ENAC
EnforcementActionTypeCode
icis:StringMin1Max7TypeBase
Enforcement Action Type
xref_enf_type.enf_type_code
N/A
EnforcementActionName
icis:StringMin1Max100Type
Enforcement Action Name
icis_enforcement.enf_name;
icis_activity.activity_name
N/A
AchievedDate
icis:DateType
Achieved Date
Icis_enforcement.achieved_date;
icis_activity.actual_end_date
N/A
ProgramsViolatedCode
icis:StringMin1Max9TypeBase
Programs Violated
xref_activity_program.program_code
N/A
ReasonDeletingRecord
icis:StringMin1Max500Type
Reason for deleting
Enforcement Action
icis_enforcement_aud.delete_reason
N/A
FileNumber
icis:StringMin1Max50Type
N/A
icis_enf_region_docket.regional_docket_nmbr
Please Note: The FileNumber tag is a batch only field. It will not display on the web screen but users will be able to report on the data.
ECM1+ECM2+E InformalEACommentText
CM3+ECM4+EC
M5+ECM6+ECM
7+ECM8+ECM9+
ECM0
icis:StringMin1Max4000Type
Comments
icis_activity_comment.comment_text
RDH1
InformalEAUserDefinedField1
icis:YesNoIndicatorType
User Defined Fields 1
icis_regional_data.string1
RDH2
InformalEAUserDefinedField2
icis:StringMin1Max50Type
User Defined Fields 2
icis_regional_data.string2
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ICIS Batch – Informal Enforcement Action, Version 1.3
Office of Enforcement and Compliance Assurance
PCS Acronym
XML Tag Name
XML Data Type
ICIS Screen Name
ICIS Database Name
N/A
InformalEAUserDefinedField3
icis:StringMin1Max50Type
User Defined Fields 3
icis_regional_data.string3
N/A
InformalEAUserDefinedField4
icis:DateType
User Defined Fields 4
icis_regional_data.date1
N/A
InformalEAUserDefinedField5
icis:DateType
User Defined Fields 5
icis_regional_data.date2
N/A
InformalEAUserDefinedField6
icis:StringMin1Max4000Type
User Defined Fields 6
icis_regional_data.string4
ENAC
EnforcementAgencyTypeCode StringMin1Max3Type
Enforcement Agency Type
xref_activity_agency_type.agency_type_code
N/A
AgencyLeadIndicator
YesNoIndicatorType
Agency Lead Indicator
xref_activity_agency_type.agency_lead _flag
N/A
EnforcementAgencyName
StringMin1Max100Type
Enforcement Agency Name
icis_enforcement.agency_name
N/A
AffiliationTypeText
StringMin1Max3Type
Affiliation Type
xref_activity_person.affiliation_type_code
N/A
ElectronicAddressText
StringMin1Max100Type
Email Address
icis_person_electronic_address.electronic_add
ress_text
N/A
StartDateOfContactAssociation Icis:DateType
Start Date of Association
xref_activity_person.begin_date
N/A
EndDateOfContactAssociation Icis:DateType
End Date of Association
xref_activity_person.end_date
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ICIS Batch – Informal Enforcement Action, Version 1.3
Office of Enforcement and Compliance Assurance
4. XML SCHEMA
The following sections of the ICIS XML schema are related to the Informal Enforcement Action
Submission Type:
•
•
•
•
•
•
ICIS_Address.xsd
ICIS_Common.xsd
ICIS_Contact.xsd
ICIS_Header.xsd
ICIS_Key_Elements.xsd
ICIS_Informal_Enforcement_Action.xsd
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ICIS Batch – Informal Enforcement Action, Version 1.3
Office of Enforcement and Compliance Assurance
APPENDIX A: ACRONYMS
Table A-1: Acronym List
Acronym
Definition
CA
Contacts and Addresses
CDX
Central Data Exchange
CWA
Clean Water Act
DA
Delegated Agency
DB
Database
DMR
Discharge Monitoring Report
EPA
Environmental Protection Agency
GUI
Graphic User Interface
ICIS
Integrated Compliance Information System
NPDES
National Pollutant Discharge Elimination System
PCS
Permit Compliance System
XML
Extensible Markup Language
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ICIS Batch – Informal Enforcement Action, Version 1.3