Office of Enforcement and Compliance Assurance
Integrated Compliance Information System
ICIS-Air EDT Delegated Agency Formal
Enforcement Action and Milestone – Technical
Specification
Version 1.4
Revised Final
July 14, 2015
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
Document Change History
Version Number
Date
Description
0.1
December 20, 2013
Initial Draft Release.
1.0
February 7, 2013
Incorporated EPA Comments.
1.1
April 25, 2014
Updated Table 2-1 text to match State NPDES: “Set to the
greatest Final Order Issued date of the Final Orders”.
Updated Process Add Enforcement Action processing flows
to include activity_filter_code.
Updated business rule mapping of FEA-318 to include
database detail: icis_activity.state_epa_flag = S or L.
Updated business rule text for FEA-275 to include
database detail: icis_activity.state_epa_flag = S or L and
activity program = AIR and icis_activity.state_epa_flag = E.
Added business rules FEA-320 and FEA-321 for integrated
Case File background processing “Identify Linked Pathway
Activities and Set Case File Status Type” and updated
corresponding processing flows and steps.
Updated FEA-291 text to clarify that business rule applies
to Formal Admin and Judicial Final Orders.
Removed FEA-288 because the Final Order Type
Proposed Judicial Settlement does not apply to Air records.
Added “Filed” to Enforcement Action Status “Complaint
Filed/AO Issued” in Table 2.2-1.
Removed fields from Enforcement Action Basic Information
data that the system will not blank out because they are
either system generated or Web data entry fields only list:
Pollutants, Case Summary Confirmation and Case
Summary Confirmation Date.
1.2
8/27/2014
Per CR# AIR-1589, added business rule FEA-322, added
data element mapping for OtherProgramDescriptionText
and updated the sample submission.
Per CR# AIR-1586, removed business rule FEA-279 to not
require ReasonDeletingRecord, added text that
ReasonDeletingRecord is ignored in Replace transactions.
Per CR# AIR-1584, added Lead Agency Code to list of
defaults (if not submitted) and removed FEA-297.
1.3
11/19/2014
Per DR# AIR-2514, removed business rule FEA-253.
1.4
7/14/2015
Per CR# Air-770/2671, updated Air DA milestones to
rename to “State Attorney General or Equivalent”, added
milestone “Final Order Lodged”, and added new Penalty
fields Demand for Stipulated Penalty Amount and Date
Paid:

Updated Milestone name to “State Attorney General or
Equivalent”
ICIS-Air EDT Delegated Agency Formal Enforcement Action and Milestone
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Version Number
Date
Description








Added Final Order Lodged Date business rules FEA323 through 326 and 328
Added Final Order Lodged milestone business rule
FEA-327
Added Demand for Stipulated Penalty business rules
FEA-331 and FEA-332
Updated Table 2-1 to add Final Order Lodged
Milestone
Updated Table 2.2-2 to add Final Order Lodged status
Update Figure 2.3-3 and Table 2.3-3 to generate Final
Order Lodged Milestone Actual Date if Final Order
Lodged Date is submitted
Updated Data Elements Mapping to add the new fields
Updated Appendix B XML Sample Submission for Air
DA Formal EA
Per CR# AIR-2301, updated Table 2.2-1 and Table 2.2-2
for Resolved status.
Per CR# AIR-2540/Air-1956, updated FEA-263 for filtering
Air DA Programs.
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Table of Contents
1. INTRODUCTION..................................................................................................................... 6
1.1 PURPOSE ................................................................................................................................ 7
1.2 DOCUMENT OVERVIEW .......................................................................................................... 7
2. VALIDATION AND PROCESSING ...................................................................................... 9
2.1 GENERAL EDT PROCESSING RULES ..................................................................................... 11
2.1.1 Asterisks ....................................................................................................................... 11
2.1.2 Multi-Value Items ........................................................................................................ 11
2.1.3 Default Values ............................................................................................................. 15
2.2 ENFORCEMENT ACTION STATUS GENERATION .................................................................... 16
2.3 REPLACE (R) AIR DA FORMAL ENFORCEMENT ACTION PROCESSING ................................. 17
2.3.1 Replace Air DA Formal Enforcement Action Processing Flow .................................. 19
2.3.2 Process Add Air DA Enforcement Action Flow.......................................................... 24
2.3.3 Generate Milestone Actual Dates Flow ....................................................................... 29
2.3.4 Process Edit Air DA Enforcement Action Flow .......................................................... 33
2.3.5 Process Final Order and Penalty Flow ......................................................................... 38
2.3.6 Generate Final Order Dates Flow ................................................................................ 41
2.4 MASS DELETE (X) AIR DA FORMAL ENFORCEMENT ACTION PROCESSING ......................... 44
2.4.1 Mass Delete Air DA Formal Enforcement Action Processing Flow ........................... 44
2.5 REPLACE (R) AIR DA ENFORCEMENT ACTION MILESTONE PROCESSING ............................ 49
2.5.1 Replace Air DA Enforcement Action Milestone Processing Flow ............................. 49
2.5.2 Process Enforcement Action Closed Actual Date Flow .............................................. 55
2.6 BUSINESS RULES .................................................................................................................. 59
3. DATA ELEMENT MAPPING .............................................................................................. 73
4. XML SCHEMA ....................................................................................................................... 77
APPENDIX A: ACRONYMS .................................................................................................... 78
APPENDIX B: XML SAMPLE SUBMISSION ....................................................................... 79
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List of Tables
Table 2-1: Chronological Order of Milestones per Air DA Formal Enforcement Action Type .. 10
Table 2.1-1: Adding a Multi-Value Item List ............................................................................... 12
Table 2.1-2: Changing a Multi-Value Item List ........................................................................... 13
Table 2.1-3: Deleting from a Multi-Value Item List .................................................................... 13
Table 2.2-1: Air DA Administrative Formal Enforcement Action Status Generation ................. 16
Table 2.2-2: Air DA Judicial Formal Enforcement Action Status Generation ............................. 16
Table 2.3-1: Replace Air DA Formal Enforcement Action Processing........................................ 21
Table 2.3-2: Process Add Air DA Formal Enforcement Action ................................................... 26
Table 2.3-3: Generate Milestone Actual Dates ............................................................................. 31
Table 2.3-4: Process Edit Air DA Enforcement Action ............................................................... 35
Table 2.3-5: Process Final Order and Penalty .............................................................................. 39
Table 2.3-6: Generate Final Order Dates ...................................................................................... 42
Table 2.4-1: Mass Delete Air DA Formal Enforcement Action Processing................................. 46
Table 2.5-1: Replace Air DA Enforcement Action Milestone Processing ................................... 51
Table 2.5-2: Process Enforcement Action Closed Actual Date .................................................... 57
Table 2.6-1: Air DA Formal Enforcement Action Business Rules .............................................. 59
Table 2.6-2: Air DA Enforcement Action Milestone Business Rules .......................................... 70
Table 3-1: EDT Air DA Formal Enforcement Action Data Element Mapping ............................ 73
Table 3-2: EDT Air DA Enforcement Action Milestone Data Element Mapping ....................... 76
Table A-1: Acronym List .............................................................................................................. 78
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List of Figures
Figure 2.3-1: Replace Air DA Formal Enforcement Action Processing Flow ............................. 20
Figure 2.3-2: Process Add Air DA Enforcement Action Flow ..................................................... 25
Figure 2.3-3: Generate Milestone Actual Dates Flow .................................................................. 30
Figure 2.3-4: Process Edit Air DA Enforcement Action Flow ..................................................... 34
Figure 2.3-5: Process Final Order and Penalty Flow .................................................................... 38
Figure 2.3-6: Generate Final Order Dates Flow ........................................................................... 41
Figure 2.4-1: Mass Delete Air DA Formal Enforcement Action Processing Flow ...................... 45
Figure 2.5-1: Replace Air DA Enforcement Action Milestone Processing Flow......................... 50
Figure 2.5-2: Process Enforcement Action Closed Actual Date Flow ......................................... 56
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1. INTRODUCTION
The focus of this technical specification is the submission of Air Delegated Agency (DA) Formal
Enforcement Action (EA) data and Air DA Enforcement Action Milestone data to the Integrated
Compliance Information System (ICIS) through Electronic Data Transfer (EDT) using
Extensible Markup Language (XML) transactions. Data for other areas of the ICIS system (e.g.,
Air Facility Programs, Air Facility Pollutants, Air DA Compliance Monitoring) will be
addressed in separate technical specifications.
Users do not submit XML data directly to ICIS. Instead, zipped XML submission files are
submitted to the Environmental Protection Agency’s (EPA’s) Central Data Exchange (CDX)
which then passes the files to ICIS. To submit data to CDX, the user must have a NAAS User
Identifier (ID) and password. This ID and password are specific to CDX and are completely
unrelated to ICIS. An ICIS User ID must also be provided in the ID tag in the header of each
XML file so that when ICIS receives the zipped file(s), it can determine if the transactions in the
file can be performed by the user submitting the transaction. After receiving the zipped file from
the user, CDX performs several important functions. They perform a virus scan to ensure that the
files are free of viruses and then assign a unique CDX Transaction ID to the submission. This
Transaction ID maps directly to the Batch ID that ICIS uses internally to manage processing.
ICIS uses this CDX Transaction ID to communicate information about the submission to CDX
and the user. CDX then archives the submission and validates the XML files based on the rules
in the XML schema. If problems are detected, CDX notifies the user so that the problems can be
corrected. Upon completion of these tasks, CDX sends the error-free submission to ICIS.
For purposes of this document:
•
“User” refers to EPA Regional, State, Tribe and Local Control Agency (LCON) users.
•
“ICIS” refers to the system and “ICIS-Air” is a component within the ICIS system.
•
“NAAS ID” refers to the ID the user must have to log in to CDX.
•
“ICIS User ID” refers to the user’s ID in the ICIS system.
•
“CDX Transaction ID” refers to the identifier CDX provides for each zipped submission file
containing one or more XML files.
•
“Batch ID” in all communications with users (e.g., audit reports, EDT processing
confirmation report) refers to the identifier CDX provides for each zipped submission file
(This is the same as the CDX Transaction ID).
•
“Batch ID” in the ICIS Batch Operational Database (DB) refers to the identifier assigned to a
zipped submission file by ICIS to make processing more efficient.
•
“Payload” in a zipped submission file refers to all of the XML transactions for a submission
type within each of the XMLs contained in the zipped submission file.
A zipped submission file may contain many XML files, and within each XML file there can be
one Payload for one or more different Submission Types (e.g., Air DA Formal Enforcement
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Action). Each Payload may contain one or many XML transactions, each of which contains the
Air DA Formal Enforcement Action data and a specific transaction type that identifies how ICIS
should process the data. For Air DA Formal Enforcement Action, there are two valid XML
transaction types per submission type: Replace and Mass Delete. For Air DA Enforcement
Action Milestone, there is one valid XML transaction type per submission type: Replace. The
details of the Air DA Formal Enforcement Action and Air DA Enforcement Action Milestone
transaction types are described in Section 2: Validation and Processing.
After receiving a zipped submission file from CDX, ICIS parses it and saves each Air DA
Formal Enforcement Action or Air DA Enforcement Action Milestone XML transaction to the
database so that the individual transactions can be ordered and processed. After processing is
complete for all files in a zipped submission, ICIS sends a response notification to CDX, which
then notifies the user when processing is complete.
1.1 PURPOSE
The purpose of this document is to provide an overview of Air DA Formal Enforcement Action
submission data and Air DA Enforcement Action Milestone data through EDT XML transactions
using text descriptions, tables, and figures.
A major section of this Air DA Formal Enforcement Action and Milestone Technical
Specification, Section 2: Validation and Processing, details the two valid XML transaction types
for Air DA Formal Enforcement Action (Replace and Mass Delete) and the one valid XML
transaction type for Air DA Enforcement Action Milestone (Replace). Provided with these
transactions are the business rules that govern Air DA Formal Enforcement Action transactions
and Air DA Enforcement Action Milestone transactions, as well as the accompanying
error/warning messages, serving to notify users of the data in error and provide them with the
information necessary to correct the problems.
1.2 DOCUMENT OVERVIEW
The following sections comprise the remainder of this technical specification:
•
Section 2: Validation and Processing – This section describes the processing of Replace
and Mass Delete Air DA Formal Enforcement Action XML transactions and Replace Air DA
Enforcement Action Milestone, and the business rules that apply to each transaction type.
•
Section 3: Data Element Mapping – This section provides a mapping between the XML
Tag Name, ICIS-Air Screen Name, and ICIS Database Name for Air DA Formal
Enforcement Action and Air DA Enforcement Action Milestone data elements.
•
Section 4: XML Schema – This section provides a list of the XML schemas related to Air
DA Formal Enforcement Action and Air DA Enforcement Action Milestone.
•
Appendix A: Acronyms – This section provides a list of all acronyms used in the document.
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•
Appendix B: XML Submission Example – This section provides an example XML
Submission for the Air DA Formal Enforcement Action Submission Type and the Air DA
Enforcement Action Milestone Submission Type.
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2. VALIDATION AND PROCESSING
After receiving a zipped submission from CDX, ICIS parses the XML transactions, saves each to
the database, and groups them by transaction type. The valid transaction types for Air DA
Formal Enforcement Action are Replace and Mass Delete. The valid transaction type for Air DA
Enforcement Action Milestone is 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 XML submissions. This section describes specific fields that
require special processing as well as the detailed processing of the two Air DA Formal
Enforcement Action transaction types and one Air DA Enforcement Action Milestone
transaction type.
Key values are those mandatory fields used to identify records in the ICIS database by the EDT
processing module. The ICIS XML Schema requires that key values be entered for all
transactions in order to be able to establish a new record and find existing records to change or
delete. The key value for Air DA Formal Enforcement Action transactions is:
•
Air DA Enforcement Action Identifier.
The key value for Air DA Enforcement Action Milestone transactions are:
•
•
Air DA Enforcement Action Identifier
Milestone Type Code.
An Air DA Formal Enforcement Action in the ICIS Web application can include data from the
sub-modules Sensitive Comments, Milestones, Sub-Activities, and Related Activities. In
addition, an Enforcement Action can have one or more Final Orders. A Final Order is a separate
module in the ICIS Web application and can include data from the Penalty sub-module.
An EDT Air DA Formal Enforcement Action transaction includes Enforcement Action data and
may include Enforcement Action Resolution data, Final Order data, and Penalty data.
Enforcement Action, Final Order, and Penalty data have been streamlined for EDT processing
and do not include many of the optional fields that are included in the ICIS Web application.
Note: The Demand for Stipulated Penalty fields are not considered Penalty data. For all business
rules that rely on Penalty data to exist, data entered in the Demand for Stipulated Penalty fields
will not be counted as Penalty data.
In addition, Enforcement Action Resolution data are displayed on the Milestone screen in the
ICIS Web application, but are submitted with Enforcement Action Basic Information data in an
EDT Air DA Formal Enforcement Action transaction. Other Milestone data such as Milestone
Planned and Actual dates are included within the Air DA Enforcement Action Milestone
submission type.
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An Air DA Enforcement Action Milestone XML transaction adds, edits, or deletes data for a
single Milestone. To add, edit, or delete multiple Milestones for the same Enforcement Action,
multiple transactions must be submitted.
Not all Milestones that comprise the ordered list of Enforcement Action Milestones must be
achieved; however, when a Milestone is achieved, it must be achieved chronologically within the
ordered set (with the exception of the “Enforcement Action Data Entered” Milestone). When the
actual date is populated for a Milestone, this equates to a Milestone being achieved. Table 2-1:
Chronological Order of Milestones per Air DA Formal Enforcement Action Type displays the
Milestones that exist for the different Air DA Formal Enforcement Action types. Please note that
the Milestone Type reference codes are listed in parentheses behind the description, and the subbullet states whether the Milestone is user-entered or system-generated. The user-entered
Milestones are optional. If a user-entered milestone is not submitted, then it will remain blank.
Table 2-1: Chronological Order of Milestones per Air DA Formal Enforcement Action
Type
Air DA Formal Enforcement Action Type
Administrative Formal Enforcement Action
Milestones





Enforcement Action Data Entered (ROPNA)
o System-generated when Enforcement Action is created.
Complaint Filed/Proposed Order (CPOA)
o User-entered.
Final Order Issued (CAFO)
o System-generated based on dates that exist for the Final
Order(s).
o Set to the greatest Final Order Issued date of the Final
Orders.
Air Resolved (ACLSA)
o System-generated based on dates that exist for the Final
Order(s).
o Set to the greatest Air Resolved Date of the Final
Orders, only If Air Resolved Date exists for all Final
Orders.
Enforcement Action Closed (CLSA)
o User-entered.
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Air DA Formal Enforcement Action Type
Judicial Enforcement Action
Milestones







Enforcement Action Data Entered (ROPNJ)
o System-generated when Enforcement Action is created.
Referred to State Attorney General or Equivalent (RSAGJ)
o User-entered.
Complaint Filed With Court (CMF)
o User-entered.
Final Order Lodged (FOL)
o System-generated based on dates that exist for the Final
Order(s).
o Set to the greatest Final Order Lodged date of the Final
Orders.
Final Order Entered (FOE)
o System-generated based on dates that exist for the Final
Order(s).
o Set to the greatest Final Order Entered date of the Final
Orders.
Air Resolved (ACLSJ)
o System-generated based on dates that exist for the Final
Order(s).
o Set to the greatest Air Resolved Date of the Final
Orders, only if Air Resolved Date exists for all Final
Orders.
Enforcement Action Closed (CLOSE)
o User-entered.
The following sub-sections describe general processing rules related to asterisks and the detailed
processing of Air DA Formal Enforcement Action and Air DA Enforcement Action Milestone
transactions.
2.1 GENERAL EDT PROCESSING RULES
It is important to understand the following general EDT processing rules for ICIS:
2.1.1 Asterisks
Users must have the ability to remove data from fields through XML transactions. This is
accomplished through the use of asterisks (*). The asterisk is not stored in ICIS, but instead is
used to signal the system that the field should be blanked out. It is not necessary for the user to
submit asterisks in Replace transactions because leaving the tag out of the XML transaction
achieves the same result (i.e., the field is left blank), but ICIS has been designed to process
asterisks in those cases.
2.1.2 Multi-Value Items
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
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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 Individual Data Tag
multi value item (NationalPrioritiesCode) repeated multiple times:
<NationalPrioritiesCode>1000</NationalPrioritiesCode>
<NationalPrioritiesCode>1002</NationalPrioritiesCode>
<NationalPrioritiesCode>1005</NationalPrioritiesCode>
<NationalPrioritiesCode>1006</NationalPrioritiesCode>
Multiple Data Tags – Some multi-value items contain multiple data tags which can be repeated,
as a group, multiple times within a transaction. Below is an example of multiple data tags:
<NAICSCodeDetails>
<NAICSCode>114119</NAICSCode>
<NAICSPrimaryIndicatorCode>Y</NAICSPrimaryIndicatorCode>
</NAICSCodeDetails>
<NAICSCodeDetails>
<NAICSCode>115111</NAICSCode>
<NAICSPrimaryIndicatorCode>N</NAICSPrimaryIndicatorCode>
</NAICSCodeDetails>
<NAICSCodeDetails>
<NAICSCode>115115</NAICSCode>
<NAICSPrimaryIndicatorCode>N</NAICSPrimaryIndicatorCode>
</NAICSCodeDetails>
If data already exist for one of these multi-value items for a record in ICIS and the user wishes to
add new values while keeping the existing values, they would include all of the values that they
wish to have for the field (i.e., all existing values, plus the new values) in their XML submission.
The table below provides an example.
Table 2.1-1: Adding a Multi-Value Item List
NationalPrioritiesCode in ICIS DB
NationalPrioritiesCode in XML
Submission
Result in ICIS DB After Processing
1000
1000
1000
1002
1002
1002
1005
1005
If data already exist for one of these multi-value items in ICIS and the user wishes to change one
of the values, they would include all of the values that they wish to have for the field (i.e.,
existing values they wish to keep, plus new values) in their XML submission. The table below
provides an example.
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Table 2.1-2: Changing a Multi-Value Item List
NationalPrioritiesCode in ICIS DB
1000
NationalPrioritiesCode in XML
Submission
Result in ICIS DB After Processing
1000
1000
1005
1005
1002
If data already exist for one of these multi-value items for a record in ICIS and the user wishes to
remove all but one of the values, they would include only the value that they wish to have for the
field (i.e., existing values they wish to keep) in their XML submission. The table below provides
an example.
Table 2.1-3: Deleting from a Multi-Value Item List
NationalPrioritiesCode in ICIS DB
1000
NationalPrioritiesCode in XML
Submission
1000
Result in ICIS DB After Processing
1000
1002
1005
Users must also have the ability to blank out all values for these multi-value items. This is
accomplished by submitting one row of the multi-value item with an asterisk as the value. The
rules for doing this are described below:
•
Individual Data Tag – If an asterisk is submitted in an individual data tag, ICIS will blank
out all existing values for the corresponding field.
•
Multiple Data Tags:

If asterisks are submitted in all required tags and the optional tags are not included,
ICIS will blank out all existing values for the corresponding multi-value item.

If asterisks are submitted in all required tags and values are submitted in one or more
optional tags, ICIS will blank out all existing values for the corresponding multivalue item (ignoring the data in the optional tags).

If asterisks are submitted in some required tags and values are submitted in other
required tags, ICIS will reject the transaction. This is addressed through business
rules, with error messages, detailed in the business rules table.

If there are no required tags for a multi-value item and asterisks are entered in one or
more of the optional tags:
•
If only asterisks are submitted, ICIS will blank out all existing values for the
corresponding multi-value item.
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•
If a combination of asterisks and values are submitted, ICIS will reject the
transaction. This is addressed through business rules, with error messages,
detailed in the business rules table.
As noted above, asterisks should only be used as an indication to blank out all values for a field,
and that should be the only row of data that is submitted for that field. However, it is possible
that a transaction will contain multiple rows of a multi-value item, some with asterisks and some
without. In that situation, ICIS will evaluate each row for validity. If any rows are invalid, ICIS
will reject the transaction. If all rows are valid, ICIS will save only the values submitted,
ignoring the “blanked out” rows.
If duplicate multi-value items are submitted (i.e., the same data submitted multiple times for
different multi-value items), then ICIS will save one of the duplicate multi-value items and
ignore the other duplicates. A multi-value item is considered a duplicate if the key value tags are
identical (i.e., fields in ICIS that must be unique for each multi-value). If there are duplicate
multi-value items, ICIS cannot guarantee which multi-value item will be saved. This logic
applies to both individual data tag and multiple data tag multi-value items. Any exceptions to this
processing logic will appear as a business rule and will result in a rejected transaction.
The Air DA Formal Enforcement Action Submission type contains the following multi-value
items:
•
Individual Data Tags:
•
•
•
•
•
•
•
•
Linked Facility (AirFacilityIdentifier)
Enforcement Action Type (EnforcementActionTypeCode)
Programs Violated (ProgramsViolatedCode)
Final Order Linked Facility (FinalOrderAirFacilityIdentifier)
Enforcement Agency Type (EnforcementAgencyTypeCode)
Pollutants Involved (AirPollutantCode)
Comments (InspectionCommentText)
Multiple Data Tags:
•
•
•
Final Order (AirDAFinalOrder)
Demand for Stipulated Penalty data (DemandStipulatedPenaltyData within
AirDAFinalOrder)
Government Contacts (GovernmentContact)
Final Order is a module in the ICIS Web application, but is embedded within the Air DA Formal
Enforcement Action submission type as a multi-value item. All Final Order data will be replaced
for all Replace transactions.
Although Final Orders are a part of the overall Replace Air DA Formal Enforcement Action
transaction, for a Replace like Change transaction, if Final Orders exist in ICIS, Final Orders are
edited and not replaced. The combination of Air DA Enforcement Action Identifier and Final
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OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
Order Identifier allows the system to determine if a Final Order exists for the Enforcement
Action. The Final Order is edited in a Replace like Change transaction instead of being replaced,
to prevent Final Order records from being deleted and re-added, which would cause the Final
Order children to be deleted but not re-added. When a Final Order is edited through EDT, all of
the Final Order data submitted in the XML schema will change all data previously in ICIS.
However, the web-only fields are not blanked out since they cannot be submitted via XML. The
XML data submitted is then saved for the record.
To delete all existing Final Orders in ICIS through a Replace transaction, one Final Order must
be submitted with an asterisk for the tag Final Order Identifier, or no Final Orders must be
submitted.
2.1.3 Default Values
Default values can include both web-only fields and web/XML fields. They apply to Replace
XML transactions. Default values are always set for Replace like New (R-N) transactions, and
are set for Replace like Change (R-C) transactions for tags that are blanked out.
The following is a list of default values for Air DA Formal Enforcement Action transactions and
the fields are web-only:
•
•
•
•
•
•
•
•
•
•
•
•
•
Enforcement Action Federal Statutes Violated: CAA - Clean Air Act
State Code: position 1-2 of the Air DA Enforcement Action ID
LCON Code: position 3-5 of the Air DA Enforcement Action ID (if not ‘000’)
Result of Voluntary Self-Disclosure: No
OECA Core Program: No
Enforcement Action Data Entered Milestone Actual Date: current date
Final Order Federal Statutes Violated: CAA - Clean Air Act
Final Order Name: Enforcement Action Name
Final Order - EMS Requested: No
Final Order - ADR Used: No
Final Order - OECA Core Program: No
Final Order - Penalty - Notice Pleading: No
Final Order - Penalty - Cash Civil Penalty Amount Required-By Statute: CAA
The following is a list of default values for Air DA Formal Enforcement Action transactions and
the fields are web/XML:
•
•
•
Government Contact Start Date of Association: current date
State/EPA Flag: Set to S if State Air Informal EA, set to L if LCON Air Informal EA (Note:
State EAs will have ‘000’ in positions 3-5 of the EA Identifier, LCONs will have valid
LCON codes in positions 3-5).
Lead Agency Code: Local (if LCON record) or State (if State/Tribe record)
There are no default values for Air DA Enforcement Action Milestone transactions.
ICIS-Air EDT Delegated Agency Formal Enforcement Action and Milestone
15
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
2.2 ENFORCEMENT ACTION STATUS GENERATION
Certain Milestone Actual Dates are generated based on the existing Final Order Dates. ICIS
system-generates the appropriate Status and Status Start Date for the parent Enforcement Action
record based on these existing Milestone Actual Dates. Table 2.2-1: Air DA Administrative
Formal Enforcement Action Status Generation displays the possible Status outcomes for an Air
DA Administrative Formal Enforcement Action and when they are generated.
Table 2.2-1: Air DA Administrative Formal Enforcement Action Status Generation
If the Conditions is True
The Following Milestone is
the Latest Milestone
(Highest rank_order in the
REF_SUB_ACTIVITY_TYPE
Table) that has an Actual
Date Populated
Other Conditions
Then Set Enforcement Action Status Data to the
Following
Enforcement Action
Status
Enforcement Action
Status Date
Enforcement Action Data
Entered
None
Enforcement Action Data
Entered
Milestone Actual Date
Complaint Filed/Proposed
Order
None
Complaint Filed/AO
Issued
Milestone Actual Date
Final Order Issued
None
Final Order Issued
Milestone Actual Date
Air Resolved
None
(Set the Enforcement
Action Status according
to the three rows above)
Resolved
(Set the Enforcement
Action Status Date
according to the three
rows above)
Milestone Actual Date
Enforcement Action Closed
Enforcement Action
Resolution Type does not
= Superseded by Another
Enforcement Action
Closed
Milestone Actual Date
Enforcement Action Closed
Enforcement Action
Resolution Type =
Superseded by Another
Enforcement Action
Closed Superseded
Milestone Actual Date
Table 2.2-2: Air DA Judicial Formal Enforcement Action Status Generation displays the possible
Status outcomes for a Delegated Agency Judicial Enforcement Action and when they are
generated.
Table 2.2-2: Air DA Judicial Formal Enforcement Action Status Generation
If the Following Conditions are True (Only One Row
can be True)
The Following Milestone is
the Latest Milestone
(Highest rank_order in the
REF_SUB_ACTIVITY_TYPE
Table) that has an Actual
Date Populated
Enforcement Action Data
Entered
Other Conditions
None
Then Set Enforcement Action Status Data to the
Following
Enforcement Action
Status
Enforcement Action Data
Entered
ICIS-Air EDT Delegated Agency Formal Enforcement Action and Milestone
Enforcement Action
Status Date
Milestone Actual Date
16
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
If the Following Conditions are True (Only One Row
can be True)
The Following Milestone is
the Latest Milestone
(Highest rank_order in the
REF_SUB_ACTIVITY_TYPE
Table) that has an Actual
Date Populated
Other Conditions
Then Set Enforcement Action Status Data to the
Following
Enforcement Action
Status
Enforcement Action
Status Date
Referred to State Attorney
General or Equivalent
None
Referred to State AG
Milestone Actual Date
Complaint Filed With Court
None
Complaint Filed
Milestone Actual Date
Final Order Lodged
None
Final Order Lodged
Milestone Actual Date
Final Order Entered
None
Final Order Entered
Milestone Actual Date
Air Resolved
None
(Set the Enforcement
Action Status according
to the four rows above)
Resolved
(Set the Enforcement
Action Status Date
according to the four
rows above)
Milestone Actual Date
Enforcement Action Closed
Enforcement Action
Resolution Type does not
= Superseded by Another
Enforcement Action
Closed
Milestone Actual Date
Enforcement Action Closed
Enforcement Action
Resolution Type =
Superseded by Another
Enforcement Action
Closed Superseded
Milestone Actual Date
2.3 REPLACE (R) AIR DA FORMAL ENFORCEMENT ACTION PROCESSING
The Replace Air DA Formal Enforcement Action transaction allows the user to submit Air DA
Formal Enforcement Action data to ICIS without considering the current state of the data in
ICIS. In processing the transaction, ICIS will determine whether or not the Air DA Enforcement
Action already exists. If the Air DA Enforcement Action does not exist in ICIS, the Replace
transaction creates a new Air DA Enforcement Action. If the Air DA Enforcement Action
already exists in ICIS, the Replace transaction updates the existing record in ICIS with the data
provided, blanking out fields that were not submitted.
In a Replace transaction, ICIS will replace the data for the Enforcement Action, Final Order, and
Penalty with the data submitted in the XML. It is important to note that there are some
Enforcement Action, Milestone, Final Order, and Penalty fields (or groups of fields) that cannot
be submitted through EDT transactions, either because they are web-only fields or because they
are system-generated. In a Replace transaction where the Enforcement Action already exists in
ICIS, the system will not blank out these fields:
Enforcement Action Basic Information data that the system will not blank out because they are
either system generated or Web data entry fields only:
•
•
Issued By
Enforcement Action Status
ICIS-Air EDT Delegated Agency Formal Enforcement Action and Milestone
17
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
Status Date
Branch
Federal Statutes Violated
State Sections Violated
EPA National Initiative
EPA Regional Initiative
OECA Core Program
Court Docket Number
Court Case Name
DOJ Number (Judicial)
DOJ Case Number (Judicial)
Respondents (Administrative Formal) / Defendants (Judicial)
Named in Complaint
Named in Final Order
Selected Initiatives
Relief Sought
Notice Pleading
Cash Civil Penalty Amount Sought
Result of Voluntary Self-Disclosure
Multimedia Action
Environmental Justice
Enforcement Case Summary for Public Distribution
Federal Facility Activity
Federal Facility Activity Comment
Milestone data that the system will not blank out:
•
•
Planned Dates (all)
Actual Dates (all)
Final Order Basic Information data that the system will not blank out:
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
Name
EMS Requested
ADR Used
Federal Statutes Violated
Law Sections Violated
Complaint Filed/Proposed Order Date (Administrative Formal)
Estimated Termination Date
Actual Termination Date
Most Recent Amendment Date
Agreement in Principle Date (Judicial)
Respondents (Administrative Formal) / Defendants (Judicial)
Status
Fiscal Year
Quarter
OECA Core Program
ICIS-Air EDT Delegated Agency Formal Enforcement Action and Milestone
18
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
•
•
EPA National Initiative
EPA Regional Initiative
Enforcement Action data, Resolution data, Final Order data, and Penalty data can be submitted
through a Replace Air DA Formal Enforcement Action transaction. Since the Penalty tag Cash
Civil Penalty Required Amount, Demand for Stipulated Penalty Amount, and Demand for
Stipulated Penalty Date Paid are embedded within a Final Order in an XML transaction, this data
cannot be manually deleted through an EDT transaction as it can be in the ICIS Web application.
Therefore, this data is automatically deleted during a Replace Air DA Formal Enforcement
Action XML transaction if ICIS determines that no data exists for the Penalty record. Note: The
Demand for Stipulated Penalty fields are not considered Penalty data for all business rules that
rely on Penalty data to exist.
The Replace Air DA Formal Enforcement Action transaction does not create the linked
relationships between a Formal Enforcement Action and another Activity (i.e., another
Enforcement Action, Compliance Monitoring Activity, Case File). Linking an Enforcement
Action to another Activity is described in its respective Technical Specification.
Note: if Reason for Deleting Record is submitted in a Replace transaction, it is ignored during
processing.
The processing of a Replace Air DA Formal Enforcement Action transaction in ICIS is described
below.
2.3.1 Replace Air DA Formal Enforcement Action Processing Flow
Figure 2.3-1: Replace Air DA Formal Enforcement Action Processing Flow is a diagram
depicting the processing of a Replace Air DA Formal Enforcement Action transaction. The
Process Add Enforcement Action sub-flow details the processing that applies only to the Replace
like New transactions. The Process Edit Enforcement Action sub-flow details the processing that
applies only to the Replace like Change transactions. A table detailing each step in the flow is
also included in this section.
ICIS-Air EDT Delegated Agency Formal Enforcement Action and Milestone
19
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
Figure 2.3-1: Replace Air DA Formal Enforcement Action Processing Flow
Replace
Formal
Enforcement
Action
Processing
End
1A1. Reject transaction.
Write 1 error message to
the error log.
No
1A.
Does Forum exist?
No
1. Does Enforcement
Action exist in ICIS?
Yes
2. Is
existing Enforcement Action Air
Delegated Agency Administrative
Formal or Air Delegated Agency
Judicial?
No
2A. Reject transaction.
Write 1 error msg per
business rule violation to
the error log.
End
Yes
Yes
End
1B1. Reject transaction.
Write 1 error message to
the error log.
No
1B.
Does user have privileges to
perform Replace Air DA Formal
Enforcement Action XML
transaction?
3.
Was Forum blanked out or
changed?
Yes
3A. Reject transaction.
Write 1 error msg per
business rule violation to
the error log.
End
No
4.
Does user have privileges to perform
Replace Air DA Formal Enforcement
Action XML transaction?
No
4A. Reject transaction.
Write 1 error message to
the error log.
End
Yes
5.
Do required Enforcement Action
data exist?
Yes
No
5A. Write 1 error msg per
business rule violation to
the error log.
Yes
6. Process
Edit Air DA
Enforcement
Action
No
1C. Process
Add Air DA
Enforcement
Action
8. Save the
Enforcement Action
and its child records to
the database.
7. Is the Air DA
Enforcement Action
linked to any Air
Case Files?
Yes
Yes
7A. Identify
Linked Pathway
Activities and
Set Case File
Status Type
7B. Did Background
Processing complete
successfully?
No
7C. Reject transaction.
Write 1 error message to
the error log.
End
9. Accept transaction.
End
ICIS-Air EDT Delegated Agency Formal Enforcement Action and Milestone
20
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
Table 2.3-1: Replace Air DA Formal Enforcement Action Processing contains a description of the items in the above flow. The Item
Number column refers to the Processing step being referenced. The Item Description column gives a more in-depth explanation of
each step of the process. The Mapping to Business Rules Table column references the specific business rules that are checked in that
step. All business rules relating to the flow can be found in Table 2.6-1: Air DA Formal Enforcement Action Business Rules.
Table 2.3-1: Replace Air DA Formal Enforcement Action Processing
Item
Number
Item Description
Mapping To Business Rule Table
1
Does Enforcement Action exist in ICIS?
ICIS determines if an Air DA Enforcement Action exists in ICIS that matches the key data submitted. The
XML key tag for an Air DA Formal Enforcement Action is Air DA Enforcement Action Identifier. If a
matching Air DA Formal Enforcement Action is found in ICIS, processing continues at #2, otherwise
processing continues at #1A.
N/A
1A
Does Forum exist?
ICIS determines if the Forum exists. If this is true, processing continues at #1B, otherwise processing
continues at #1A1.
FEA-255
1A1
Reject transaction. Write 1 error message to the error log.
ICIS has determined that the Forum does not exist. ICIS rejects the transaction, writes an error message to
the error log, and ends processing of the transaction.
FEA-255
1B
Does user have privileges to perform Replace Air DA Formal Enforcement Action XML transaction?
ICIS determines if the user has privileges to perform a Replace (like New) Air DA Formal Enforcement
Action transaction and if the user has the authority to conduct a Replace (like New) Air DA Formal
Enforcement Action transaction for the state/tribe/LCON requested. ICIS applies the same security rules
for EDT as it does for the web, and uses the same set of permissions. The user must have the Add/Copy
Formal Enforcement Action function and the Edit Formal Enforcement Action function, which are available
as part of the Formal Enforcement Action Editor role. The user does not need sensitive data privileges for
this transaction. If the ICIS User ID has the correct privileges, processing continues at #1C, otherwise
processing continues at #1B1.
FEA-241
1B1
Reject transaction. Write 1 error message to the error log.
ICIS has determined that the user does not have the correct privileges to perform this transaction. ICIS
rejects the transaction, writes an error message to the error log, and ends processing of the transaction.
FEA-241
1C
Process Add Air DA Enforcement Action
ICIS continues processing at Figure 2.3-2: Process Add Air DA Enforcement Action Flow and then
processing continues at #7.
N/A
ICIS-Air EDT Delegated Agency Formal Enforcement Action and Milestone
21
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
Item
Number
Item Description
Mapping To Business Rule Table
2
Is existing Enforcement Action Air Delegated Agency Administrative Formal or Air Delegated
Agency Judicial?
ICIS determines if the Air DA Enforcement Action Identifier is for an Air Delegated Agency Formal
Enforcement Action (i.e., State/LCON Administrative Formal Enforcement Action or a State/LCON Judicial
Enforcement Action). If Air DA Enforcement Action Identifier is for an Air Delegated Agency Formal
Enforcement Action, processing continues at #3, otherwise processing continues at #2A.
FEA-256, FEA-318
2A
Reject transaction. Write 1 error msg per business rule violation to the error log.
If the Air DA Enforcement Action Identifier is not for an Air Delegated Agency Formal Enforcement Action
(i.e., it is an Air DA Informal Enforcement Action), then ICIS rejects the entire Replace Air DA Formal
Enforcement Action transaction. ICIS writes an error message per business rule violated to the error log
and processing of this Replace Air DA Formal Enforcement Action transaction ends.
FEA-256, FEA-318
3
Was Forum blanked out or changed?
ICIS determines if the Forum was blanked out or if it was changed. If either condition is true, processing
continues at #3A, otherwise processing continues at #4.
FEA-255, FEA-257
3A
Reject transaction. Write 1 error message to the error log.
ICIS has determined that the Forum was blanked out or changed. ICIS rejects the transaction, writes an
error message to the error log for each business rule violated, and ends processing of the transaction.
FEA-255, FEA-257
4
Does user have privileges to perform Replace Air DA Formal Enforcement Action XML transaction?
ICIS determines if the user has privileges to perform a Replace (like Change) Air DA Formal Enforcement
Action transaction and if the user has the authority to conduct a Replace (like Change) Air DA Formal
Enforcement Action transaction for the state/tribe/LCON requested. ICIS applies the same security rules
for EDT as it does for the web, and uses the same set of permissions. The user must have the Add/Copy
Formal Enforcement Action function and the Edit Formal Enforcement Action function, which are available
as part of the Formal Enforcement Action Editor role. In addition, the user must have Sensitive Data
Access privileges to perform this transaction for a sensitive Formal Enforcement Action. An Administrative
Formal Enforcement Action is sensitive unless a Milestone Complaint Filed/Proposed Order Actual Date
exists or a Final Order exists with a Final Order Issue Date. A Judicial Enforcement Action is sensitive
unless the Milestone Complaint Filed with Court Actual Date exists. If the ICIS User ID has the correct
privileges, processing continues at #5, otherwise processing continues at #4A.
FEA-241
4A
Reject transaction. Write 1 error message to the error log.
ICIS has determined that the user does not have the correct privileges to perform this transaction. ICIS
rejects the transaction, writes an error message to the error log, and ends processing of the transaction.
FEA-241
5
Do required Enforcement Action data exist?
ICIS determines if the required Enforcement Action data exist. If this is true, processing continues at #6,
otherwise processing continues at #5A.
FEA-251, FEA-258, FEA-262, , FEA322
ICIS-Air EDT Delegated Agency Formal Enforcement Action and Milestone
22
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
Item
Number
Item Description
Mapping To Business Rule Table
5A
Write 1 error msg per business rule violation to the error log.
ICIS has determined that the required Enforcement Action data do not exist. ICIS writes an error message
to the error log for each business rule violation. Processing continues at #6.
FEA-251, FEA-258, FEA-262, , FEA322
6
Process Edit Air DA Enforcement Action
ICIS continues processing at Figure 2.3-4: Process Edit Air DA Enforcement Action Flow and then
processing continues at #7.
N/A
7
Is the Air DA Enforcement Action linked to any Air Case Files?
If ICIS determines that the Air DA Formal Enforcement Action is linked to one or more Case Files with
Case File Type of Air Case File or Air Case File with NEI, processing continues at #7A, otherwise
processing continues at #8.
N/A
7A
Identify Linked Pathway Activities and Set Case File Status Type
ICIS continues processing by calling the BGP Process “Identify Linked Pathway Activities and Set Case
File Status Type” to determine if the Air DA Formal Enforcement Action affects the Case File’s Pathway
Activities and/or Case File Status Type for each of the linked Air Case Files. See Case File Web Design
Document for the documented details of this BGP flow. Processing continues at #7B.
N/A
7B
Did Background Processing complete successfully?
ICIS determines whether Identify Linked Pathway Activity and Set Case File Status Type Processing
successfully completed or if there was an unexpected error. If the background processing completed
successfully, processing continues at #8, otherwise processing continues at #7C.
FEA-320
7C
Reject transaction. Write 1 error message to the error log.
ICIS has determined that unexpected errors occurred. ICIS records one rejected transaction and writes
one error message to the log. This will allow the user to see that no data were successfully saved and the
XML transaction must be resubmitted. Processing of this Replace Air DA Formal Enforcement Action
transaction ends.
FEA-320
8
Save the Enforcement Action and its child records to the database.
ICIS has determined that the Replace Air DA Formal Enforcement Action XML transaction is valid. The
Enforcement Action and applicable child records are saved to the ICIS database. Applicable child records
can be Milestones, Final Order, and Penalty. If the following are removed from the Enforcement Action,
they should be unlinked but not deleted: Enforcement Action Linked Facilities, Enforcement Action
Government Contacts, Milestone Combined with / Superseded by Enforcement Action Identifier, and Final
Order Linked Facilities. Processing continues at #9.
N/A
9
Accept transaction.
ICIS logs a successful Replace Air DA Formal Enforcement Action transaction. Processing of the Replace
Air DA Formal Enforcement Action XML transaction is complete.
N/A
ICIS-Air EDT Delegated Agency Formal Enforcement Action and Milestone
23
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
2.3.2 Process Add Air DA Enforcement Action Flow
Figure 2.3-2: Process Add Air DA Enforcement Action Flow is a diagram depicting the process
of adding a new Air DA Formal Enforcement Action. A table detailing each step in the flow is
also included in this section.
The Generate Milestone Actual Dates sub-flow generates the Milestone Actual Dates for an Air
DA Formal Enforcement Action based on data that exists for the Enforcement Action’s Final
Orders.
ICIS-Air EDT Delegated Agency Formal Enforcement Action and Milestone
24
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
Figure 2.3-2: Process Add Air DA Enforcement Action Flow
Process Add
Air DA
Enforcement
Action
1. Are any Final
Orders submitted?
Yes
1A.
Are submitted Final
Order IDs unique?
Yes
1B. Create a Final Order record
in the database for each Final
Order submitted as a child
record of the Enforcement
Action.
No
1A1. Reject transaction.
Write 1 error message to
the error log.
No
2.
Are Penalty data
submitted for any
Final Orders?
Yes
No
3.
Is Enforcement
Action Administrative
Formal?
6. Are data
vaild?
Yes
No
No
2A. Create a Penalty record in
the database for each Penalty
submitted as a child record of a
Final Order; populate State/
Local Penalty Amount with the
value entered in Cash Civil
Penalty Required Amount.
3A. Create one record in the
database for each Milestone
that is valid for Air Delegated
Agency Administrative Formal
Enforcement Actions.
4. Create one record in the
database for each Milestone
that is valid for Air Delegated
Agency Judicial Enforcement
Actions.
6A. Reject transaction.
Write 1 error msg per
business rule violation to
the error log.
5. Generate
Milestone Actual
Dates
End
Yes
7. Set Enforcement
Action Status
8. Set the sensitive_data_flag in the
ICIS_ACTIVITY table to Y or N for the
Enforcement Action record based on the
Milestone Actual Dates.
9. Return to
calling program
ICIS-Air EDT Delegated Agency Formal Enforcement Action and Milestone
25
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
Table 2.3-2: Process Add Air DA Formal Enforcement Action contains a description of the items in the above flow. The Item Number
column refers to the Processing step being referenced. The Item Description column gives a more in-depth explanation of each step of
the process. The Mapping to Business Rules Table column references the specific business rules that are checked in that step. All
business rules relating to the flow can be found in Table 2.6-1: Air DA Formal Enforcement Action Business Rules.
Table 2.3-2: Process Add Air DA Formal Enforcement Action
Item
Number
Item Description
Mapping To Business Rule Table
1
Are any Final Orders submitted?
ICIS determines if one or more Final Orders are submitted in the transaction. If this condition is false,
processing continues at #3, otherwise processing continues at #1A.
N/A
1A
Are submitted Final Order IDs unique?
ICIS determines if the submitted Final Order IDs are unique. If this is true, processing continues at #1B,
otherwise processing continues at #1A1.
FEA-280
1A1
Reject transaction. Write 1 error message to the error log.
ICIS has determined that the Final Order IDs are not unique. ICIS rejects the transaction, writes an error
message to the error log, and ends processing of the transaction.
FEA-280
1B
Create a Final Order record in the database for each Final Order submitted as a child record of the
Enforcement Action.
ICIS creates a record for the Final Order in the database for each Final Order submitted. Processing
continues at #2.
N/A
2
Are Penalty data submitted for any Final Orders?
ICIS determines if one or more Final Orders that contain Penalty data are submitted in the transaction. If
this condition is false, processing continues at #3, otherwise processing continues at #2A.
N/A
2A
Create a Penalty record in the database for each Penalty submitted as a child record of a Final
Order.
ICIS creates a record for the Penalty in the database for each Final Order submitted that contains Penalty
data. Upon creating the penalty, the value entered in Cash Civil Penalty Required Amount is copied to
State/Local Penalty Amount. Processing continues at #3.
N/A
3
Is Enforcement Action Administrative Formal?
ICIS determines if the Forum of the Enforcement Action is Administrative - Formal. If this condition is false,
processing continues at #4, otherwise processing continues at #3A.
N/A
ICIS-Air EDT Delegated Agency Formal Enforcement Action and Milestone
26
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
Item
Number
Item Description
Mapping To Business Rule Table
3A
Create one record in the database for each Milestone that is valid for Air Delegated Agency
Administrative Formal Enforcement Actions.
ICIS creates a record in the database for each Milestone that is valid for Air DA Administrative Formal
Enforcement Actions. The valid Air DA Administrative Formal Milestones are listed in the
REF_SUB_ACTIVITY_TYPE table and have status_flag = A, activity_type_code = AFR, mandatory_flag =
Y and ref_activity_filter.air_da_flag = ‘Y’ based on ref_sub_activity_type.activity_filter_code. Processing
continues at #4.
N/A
4
Create one record in the database for each Milestone that is valid for Air Delegated Agency Judicial
Enforcement Actions.
ICIS creates a record in the database for each Milestone that is valid for Air DA Judicial Enforcement
Actions. The valid Air DA Judicial Milestones are listed in the REF_SUB_ACTIVITY_TYPE table and have
status_flag = A, activity_type_code = JDC, mandatory_flag = Y and ref_activity_filter.air_da_flag = ‘Y’
based on ref_sub_activity_type.activity_filter_code. Processing continues at #5.
N/A
5
Generate Milestone Actual Dates
ICIS continues processing at Figure 2.3-3: Generate Milestone Actual Dates Flow and then processing
continues at #6.
N/A
6
Are data valid?
ICIS checks business rules identified in the Mapping to Business Rule Table column to determine if the
data are valid. If none of the business rules are violated, processing continues at #7, otherwise processing
continues at #6A.
FEA-247, FEA-248, FEA-249, FEA250, FEA-251, FEA-252, FEA-258,
FEA-259, FEA-260, FEA-261, FEA262, FEA-263, FEA-264, FEA-265,
FEA-266, FEA-267, FEA-268, FEA269, FEA-270, FEA-271, FEA-272,
FEA-273, FEA-274, FEA-275, FEA276, FEA-277, FEA-278, FEA-281,
FEA-282, FEA-283, FEA-284, FEA285, FEA-286, FEA-287, FEA-289,
FEA-290, FEA-293, FEA-296, FEA298, FEA-299, FEA-300, FEA-301,
FEA-302, FEA-303, FEA-304, FEA319, FEA-322, FEA-323, FEA-324,
FEA-326, FEA-328, FEA-331, FEA332
6A
Reject transaction. Write 1 error msg per business rule violation to the error log.
ICIS has determined that the data are not valid. ICIS rejects the transaction, writes an error message to
the error log for each business rule violation, and processing ends. All database changes are rolled back.
(Same as Step 6)
ICIS-Air EDT Delegated Agency Formal Enforcement Action and Milestone
27
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
Item
Number
Item Description
Mapping To Business Rule Table
7
Set Enforcement Action Status
ICIS generates the Status for the Enforcement Action based on Table 2.2-1: Air DA Administrative Formal
Enforcement Action Status Generation or Table 2.2-2: Air DA Judicial Formal Enforcement Action Status
Generation. Processing continues at #8.
N/A
8
Set the sensitive_data_flag in the ICIS_ACTIVITY table to Y or N for the Enforcement Action record
based on the Milestone Actual Dates.
ICIS sets the sensitive_data_flag in the ICIS_ACTIVITY table to Y or N for the Enforcement Action record
based on the Milestone Actual Dates. The flag is set to Y if the parent Enforcement Action is sensitive and
it is set to N if the parent Enforcement Action is not sensitive. An Administrative Formal Enforcement
Action is sensitive unless a Milestone Complaint Filed/Proposed Order Actual Date exists or a Final Order
exists with a Final Order Issue Date. A Judicial Enforcement Action is sensitive unless the Milestone
Complaint Filed with Court Actual Date exists. Processing continues at #9.
N/A
9
Return to calling program
ICIS returns to the calling program.
N/A
ICIS-Air EDT Delegated Agency Formal Enforcement Action and Milestone
28
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
2.3.3 Generate Milestone Actual Dates Flow
Figure 2.3-3: Generate Milestone Actual Dates Flow is a diagram depicting the process of
generating Milestone Actual Dates for an Air DA Formal Enforcement Action. A table detailing
each step in the flow is also included in this section.
ICIS-Air EDT Delegated Agency Formal Enforcement Action and Milestone
29
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
Figure 2.3-3: Generate Milestone Actual Dates Flow
Generate
Milestone
Actual
Dates
1.
Do any Final
Orders Exist for the
Enforcement
Action?
1A. Set
Final Order
Issued/
Entered
Milestone
Actual Date
to null.
No
1B. Set Air
Enforcement
Action
Resolved
Milestone
Actual Date
to null.
2C. Return to
calling program
Yes
2. Set Final Order Issued/Entered Milestone
Actual Date to the Final Order Issued/Entered
Date of the Final Order with the greatest Final
Order Issued/Entered Date.
3.
Do any Judicial
Final Orders
include Final Order
Lodged Date?
No
3A. Set Final Order
Lodged Milestone
Actual Date to null.
Yes
4. Set Final Order Lodged Milestone Actual
Date to the Final Order Lodged Date of the
Final Order with the greatest Final Order
Lodged Date.
5.
Does Air Enforcement
Action Resolved Date
exist for all Final Orders?
No
5A. Set Air
Enforcement Action
Resolved Milestone
Actual Date to null.
5B. Return to
calling program
Yes
6. Set Air Enforcement Action Resolved
Milestone Actual Date to the Air Enforcement
Action Resolved Date of the Final Order with
greatest Air Enforcement Action Resolved
Date.
7. Return to
calling program
ICIS-Air EDT Delegated Agency Formal Enforcement Action and Milestone
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OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
Table 2.3-3: Generate Milestone Actual Dates contains a description of the items in the above flow. The Item Number column refers
to the Processing step being referenced. The Item Description column gives a more in-depth explanation of each step of the process.
The Mapping to Business Rules Table column references the specific business rules that are checked in that step. All business rules
relating to the flow can be found in Table 2.6-1: Air DA Formal Enforcement Action Business Rules.
Table 2.3-3: Generate Milestone Actual Dates
Item
Number
Item Description
Mapping To Business Rule Table
1
Do any Final Orders Exist for the Enforcement Action?
ICIS determines if one or more Final Orders exist for the Enforcement Action. If this condition is true,
processing continues at #2, otherwise processing continues at #1A.
N/A
1A
Set Final Order Issued/Entered Milestone Actual Date to null.
ICIS sets the Final Order Issued Milestone Actual Date to null if the Enforcement Action is Administrative
Judicial and sets the Final Order Entered Milestone Actual Date to null if the Enforcement Action is
Judicial. Processing continues at #1B.
N/A
1B
Set Air Resolved Milestone Actual Date to null.
ICIS sets the Air Resolved Milestone Actual Date to null. Processing continues at #1C.
N/A
1C
Return to calling program
ICIS returns to the calling program.
N/A
2
Set Final Order Issued/Entered Milestone Actual Date to the Final Order Issued/Entered Date of the
Final Order with the greatest Final Order Issued/Entered Date.
ICIS has determined that one or more Final Orders exist and sets the Final Order Issued/Entered
Milestone Actual Date to the Final Order Issued/Entered Date of the Final Order with the greatest Final
Order Issued/Entered Date. If Final Order Issued/Entered Date is null for all Final Orders, then ICIS sets
the Final Order Issued/Entered Milestone Actual Date to null. If multiple Final Orders exist with the same
Final Order Issued/Entered Date, then ICIS randomly selects the date from any of those Final Orders.
Processing continues at #3.
N/A
3
Does Final Order Lodged Date exist for any Judicial Final Orders?
ICIS determines if Final Order Lodged Date exists for any Judicial Final Orders. If at least one Judicial
Final Order includes Final Order Lodged Date, processing continues at #4, otherwise processing continues
at #3A.
N/A
3A
Set Final Order Lodged Milestone Actual Date to null.
ICIS has determined that none of the Judicial Final Orders exist with Final Order Lodged Date. ICIS sets
the Final Order Lodged Milestone Actual Date to null, and processing continues at #5.
ICIS-Air EDT Delegated Agency Formal Enforcement Action and Milestone
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Item
Number
Item Description
Mapping To Business Rule Table
4
Set Final Order Lodged Milestone Actual Date to the Final Order Lodged Date of the Final Order
with the greatest Final Order Lodged Date.
ICIS has determined that one or more Final Orders exist with Final Order Lodged Date and sets the Final
Order Lodged Milestone Actual Date to the Final Order Lodged Date of the Final Order with the greatest
Final Order Lodged Date. If the Final Order Lodged Date is null for all Final Orders, then ICIS sets the
Final Order Lodged Milestone Actual Date to null. If multiple Final Orders exist with the same Final Order
Lodged Date, then ICIS randomly selects the date from any of those Final Orders. Processing continues
at #5.
N/A
5
Does Air Resolved Date exist for all Final Orders?
ICIS determines if the Air Resolved Date exists for all Final Orders. If this condition is true, processing
continues at #4, otherwise processing continues at #3A.
N/A
5A
Set Air Resolved Milestone Actual Date to null.
ICIS has determined that the Air Resolved Date is blank for one or more Final Orders and sets the Air
Resolved Milestone Actual Date to null. Processing continues at #3B.
N/A
5B
Return to calling program
ICIS returns to the calling program.
N/A
6
Set Air Resolved Milestone Actual Date to the Air Resolved Date of the Final Order with the greatest
Air Resolved Date.
ICIS has determined that the Air Resolved Date exists for all Final Orders and sets the Air Resolved
Milestone Actual Date to the Air Resolved Date of the Final Order with the greatest Air Resolved Date. If
multiple Final Orders exist with the same Air Resolved Date, then ICIS randomly selects the date from any
of those Final Orders. Processing continues at #5.
N/A
7
Return to calling program
ICIS returns to the calling program.
N/A
ICIS-Air EDT Delegated Agency Formal Enforcement Action and Milestone
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OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
2.3.4 Process Edit Air DA Enforcement Action Flow
Figure 2.3-4: Process Edit Air DA Enforcement Action Flow is a diagram depicting the process
of editing an existing Air DA Formal Enforcement Action. A table detailing each step in the flow
is also included in this section.
The Forum (e.g., Administrative - Formal, Judicial) is stored in the ICIS_ACTIVITY table and
this is what is used to determine the Forum when editing an Enforcement Action in EDT (when
creating a new Enforcement Action in EDT, the Forum is determined by the Enforcement Action
Types submitted).
The Process Final Order and Penalty sub-flow details the processing of Final Order and Penalty
data for editing an existing Air DA Formal Enforcement Action in ICIS, including the deletion of
Final Orders and Penalty records.
The Generate Final Order Dates sub-flow details the process of generating Final Order Dates for
an Air DA Formal Enforcement Action.
The Generate Milestone Actual Dates sub-flow generates the Milestone Actual Dates for an Air
DA Formal Enforcement Action based on data that exists for the Enforcement Action’s Final
Orders.
ICIS-Air EDT Delegated Agency Formal Enforcement Action and Milestone
33
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Figure 2.3-4: Process Edit Air DA Enforcement Action Flow
Process Edit
Air DA
Enforcement
Action
1. Does
submission contain
data other than key
data?
No
1A. Reject transaction.
Write 1 error message to
the error log.
End
Yes
2. Are any Final
Orders submitted?
No
Yes
No
2B. Reject transaction.
Write 1 error message to
the error log.
End
Yes
3. Process
Final Order
and Penalty
6. Are data
vaild?
2A.
Are submitted Final
Order IDs unique?
4. Generate
Final Order
Dates
5. Generate
Milestone Actual
Dates
6A. Write 1 error msg per
business rule violation to
the error log.
No
Yes
7. Have any error
messages been issued?
Yes
7A. Reject transaction.
End
No
8. Set Enforcement Action Status
9.
Do any Respondents/
Defendants exist for the
Enforcement Action?
Yes
9A. For each Respondent/
Defendant, set
named_in_settlement_flag =
Y or N based on if it exists for
any children Final Orders.
No
10. Set the sensitive_data_flag in the
ICIS_ACTIVITY table to Y or N for the
Enforcement Action record based on the
Milestone Actual Dates.
11. Return to
calling program
ICIS-Air EDT Delegated Agency Formal Enforcement Action and Milestone
34
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
Table 2.3-4: Process Edit Air DA Enforcement Action contains a description of the items in the above flow. The Item Number column
refers to the Processing step being referenced. The Item Description column gives a more in-depth explanation of each step of the
process. The Mapping to Business Rules Table column references the specific business rules that are checked in that step. All business
rules relating to the flow can be found in Table 2.6-1: Air DA Formal Enforcement Action Business Rules.
Table 2.3-4: Process Edit Air DA Enforcement Action
Item
Number
Item Description
Mapping To Business Rule Table
1
Does submission contain data other than key data?
ICIS determines whether any data besides the key data have been submitted for the Replace Air DA
Formal Enforcement Action transaction. If data other than key data have been submitted, processing
continues at #2; otherwise processing continues at #1A.
FEA-245
1A
Reject transaction. Write 1 error message to the error log.
If no data besides the key data have been submitted in this Replace Air DA Formal Enforcement Action
transaction, ICIS rejects the entire Replace Air DA Formal Enforcement Action transaction. ICIS writes an
error message to the error log and processing of this Replace Air DA Formal Enforcement Action
transaction ends.
FEA-245
2
Are any Final Orders submitted?
ICIS determines if one or more Final Orders are submitted in the transaction. If this condition is true,
processing continues at #2A, otherwise processing continues at #3.
N/A
2A
Are submitted Final Order IDs unique?
ICIS determines if the submitted Final Order IDs are unique. If this is true, processing continues at #3,
otherwise processing continues at #2B.
FEA-280
2B
Reject transaction. Write 1 error message to the error log.
ICIS has determined that the Final Order IDs are not unique. ICIS rejects the transaction, writes an error
message to the error log, and ends processing of the transaction.
FEA-280
3
Process Final Order and Penalty
ICIS continues processing at Figure 2.3-5: Process Final Order and Penalty Flow and then processing
continues at #4.
N/A
4
Generate Final Order Dates
ICIS continues processing at Figure 2.3-6: Generate Final Order Dates Flow and then processing
continues at #5.
N/A
5
Generate Milestone Actual Dates
ICIS continues processing at Figure 2.3-3: Generate Milestone Actual Dates Flow and then processing
continues at #6.
N/A
ICIS-Air EDT Delegated Agency Formal Enforcement Action and Milestone
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OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
Item
Number
Item Description
Mapping To Business Rule Table
6
Are data valid?
ICIS checks business rules identified in the Mapping to Business Rule Table column to determine if the
data are valid. If none of the business rules are violated, processing continues at #7, otherwise processing
continues at #6A.
FEA-252, FEA-254, FEA-259, FEA260, FEA-261, FEA-263, FEA-264,
FEA-265, FEA-266, FEA-267, FEA268, FEA-269, FEA-270, FEA-271,
FEA-272, FEA-273, FEA-274, FEA275, FEA-276, FEA-277, FEA-278,
FEA-281, FEA-282, FEA-283, FEA284, FEA-285, FEA-286, FEA-287,
FEA-289, FEA-290, FEA-291, FEA292, FEA-293, FEA-294, FEA-295,
FEA-296, FEA-298, FEA-299, FEA300, FEA-301, FEA-302, FEA-303,
FEA-304, FEA-319, FEA-323, FEA324, FEA-325, FEA-326, FEA-328,
FEA-331, FEA-332
6A
Write 1 error msg per business rule violation to the error log.
ICIS has determined that the data are not valid. ICIS writes an error message to the error log for each
business rule violation. Processing continues at #7.
(Same as Step 5)
7
Have any error messages been issued?
ICIS determines if any error messages have been issued. If this is true, processing continues at #7A,
otherwise processing continues at #8.
Note: errors may have been issued in Figure 2.3-1: Replace Air DA Formal Enforcement Action Processing
Flow that should be rejected at this step.
N/A
7A
Reject transaction.
ICIS has determined that one or more error messages have been issued, rejects the transaction, and ends
processing. All database changes are rolled back.
N/A
8
Set Enforcement Action Status
ICIS generates the Status for the Enforcement Action based on Table 2.2-1: Air DA Administrative Formal
Enforcement Action Status Generation or Table 2.2-2: Air DA Judicial Formal Enforcement Action Status
Generation. Processing continues at #9.
N/A
9
Do any Respondents/Defendants exist for the Enforcement Action?
ICIS determines if one or more Respondents or Defendants exist for the Enforcement Action. Respondents
are for Administrative Formal Enforcement Actions and Defendants are for Judicial Enforcement Actions.
They are both stored in the same database table: ICIS_ENF_DEFENDANT. If this condition is false,
processing continues at #8, otherwise processing continues at #9A.
N/A
ICIS-Air EDT Delegated Agency Formal Enforcement Action and Milestone
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Item
Number
Item Description
Mapping To Business Rule Table
9A
For each Respondent/Defendant, set named_in_settlement_flag = Y or N based on if it exists for
any children Final Orders.
ICIS has determined that one or more Respondents/Defendants exist for the Enforcement Action and sets
named_in_settlement_flag = Y in the ICIS_ENF_DEFENDANT table if the record also exists for one or
more Final Orders and sets named_in_settlement_flag = N if the record is does not exist for any Final
Orders. Processing continues at #10.
Note: these fields should appear as Yes and No in the ICIS web application.
N/A
10
Set the sensitive_data_flag in the ICIS_ACTIVITY table to Y or N for the Enforcement Action record
based on the Milestone Actual Dates.
ICIS sets the sensitive_data_flag in the ICIS_ACTIVITY table to Y or N for the Enforcement Action record
based on the Milestone Actual Dates. The flag is set to Y if the parent Enforcement Action is sensitive and
it is set to N if the parent Enforcement Action is not sensitive. An Administrative Formal Enforcement
Action is sensitive unless a Milestone Complaint Filed/Proposed Order Actual Date exists or a Final Order
exists with a Final Order Issue Date. A Judicial Enforcement Action is sensitive unless the Milestone
Complaint Filed with Court Actual Date exists. Processing continues at #11.
N/A
11
Return to calling program
ICIS returns to the calling program.
N/A
ICIS-Air EDT Delegated Agency Formal Enforcement Action and Milestone
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OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
2.3.5 Process Final Order and Penalty Flow
Figure 2.3-5: Process Final Order and Penalty Flow is a diagram depicting the processing of
Final Order and Penalty data for editing an existing Air DA Formal Enforcement Action in ICIS.
A table detailing each step in the flow is also included in this section.
Figure 2.3-5: Process Final Order and Penalty Flow
Process
Final Order
and Penalty
1.
Are any Final Orders
deleted in this
transaction?
1A. Delete the Final
Order and its child
records and links.
Yes
1A1. Return to
calling program
No
2.
Do any Final Orders exist
with a Penalty record?
2A. Return to
calling program
No
Yes
3.
Do Penalty data excluding ‘Notice
Pleading’ and ‘Cash Civil Penalty
Amount Sought’ exist for each Final
Order?
3A. Delete the Penalty for
the identified Final
Order(s).
No
Yes
4.
Are Penalty Assessed to be paid to EPA
and Penalty Assessed to be paid to
Federal Agency other than EPA blank in
the database?
Yes
No
No
4A.
Is State/Local blank in the database
OR before the change Civil Penalty
Amount Required and State/Local
Penalty were the same?
Yes
4A1.
Populate State/Local
Penalty Amount with the
value entered in Cash
Civil Penalty Required
Amount
5. Return to
calling program
ICIS-Air EDT Delegated Agency Formal Enforcement Action and Milestone
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Table 2.3-5: Process Final Order and Penalty contains a description of the items in the above flow. The Item Number column refers to
the Processing step being referenced. The Item Description column gives a more in-depth explanation of each step of the process. The
Mapping to Business Rules Table column references the specific business rules that are checked in that step. All business rules
relating to the flow can be found in Table 2.6-1: Air DA Formal Enforcement Action Business Rules.
Table 2.3-5: Process Final Order and Penalty
Item
Number
Item Description
Mapping To Business Rule Table
1
Are any Final Orders deleted in this transaction?
ICIS determines if one or more Final Orders are deleted in this transaction. If this condition is false,
processing continues at #2, otherwise processing continues at #1A.
N/A
1A
Delete the Final Order and its child records and links.
Final Order Linked Facilities and Final Order Respondents/Defendants are unlinked but not deleted. The
Final Order and all of its Final Order Status and Penalty data are deleted. Processing continues at # 1A1.
N/A
1A1
Return to calling program
ICIS returns to the calling program.
N/A
2
Do any Final Orders exist with a Penalty record?
ICIS determines if one or more Final Orders exist that include a Penalty Record. If this condition is true,
processing continues at #3, otherwise processing continues at #2A. Note: Demand for Stipulated Penalty
Amount and Date Paid are not considered Penalty data, so if this data exists, it will not be included as a
Final Order with a Penalty Record.
N/A
2A
Return to calling program
ICIS returns to the calling program.
N/A
3
Do Penalty data excluding ‘Notice Pleading’ and ‘Cash Civil Penalty Amount Sought’ exist for each
Final Order?
ICIS determines if any Penalty data excluding Notice Pleading and Cash Civil Penalty Amount Sought
exist for one or more Final Orders. If this condition is true, processing continues at #4, otherwise
processing continues at #3A.
N/A
ICIS-Air EDT Delegated Agency Formal Enforcement Action and Milestone
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OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
Item
Number
Item Description
Mapping To Business Rule Table
3A
Delete the Penalty for the identified Final Order(s).
ICIS has determined that one or more Final Orders have a Penalty with no data excluding Notice Pleading
and Cash Civil Penalty Amount Sought. ICIS deletes the Penalty record for the identified Final Order(s)
that do not have any data excluding ‘Notice Pleading’ and ‘Cash Civil Penalty Amount Sought’. Processing
continues at #5.
Note: the fields Penalty Assessed to be paid to EPA, Penalty Assessed to be paid to a Federal
Agency/Dept. Other Than EPA, Federal Agency/Dept. Receiving Penalty Assessed, Penalty Assessed to
be paid to State/Local Agency, and Total EPA Penalty Collected are Penalty fields, but are not stored in
the ICIS_PENALTY table. These fields are stored in the tables ICIS_ENFORCEMENT and
ICIS_ENF_CONCLUSION.
N/A
4
Are Penalty Assessed to be paid to EPA and Penalty Assessed to be paid to Federal Agency other
than EPA blank in the database?
ICIS determines if Penalty Assessed to be paid to EPA and Penalty Assessed to be paid to Federal
Agency other than EPA are blank in the database (these data elements cannot be entered through EDT
but may have been entered through the web). If they are not blank, processing continues at #5, otherwise,
processing continues at #4A.
N/A
4A
Is State/Local blank in the database OR before the change Civil Penalty Amount Required and
State/Local Penalty were the same?
ICIS determines if the State/Local Penalty Amount is blank in the database (this data element cannot be
entered through EDT but may have been updated through the web) or was present and matched the old
Cash Civil Penalty Required Amount. If either condition is true, processing continues at #4A1, otherwise
processing continues at #5.
N/A
4A1
Populate State/Local Penalty Amount with the value entered in Cash Civil Penalty Required
Amount.
ICIS has determined that the State/Local Penalty Amount must equal the Cash Civil Penalty Required
Amount and sets the State/Local Penalty Amount to the Cash Civil Penalty Required Amount, including
nulling out the State/Local Penalty if the Cash Civil Penalty has been nulled. Processing continues at #5.
N/A
5
Return to calling program
ICIS returns to the calling program.
N/A
ICIS-Air EDT Delegated Agency Formal Enforcement Action and Milestone
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2.3.6 Generate Final Order Dates Flow
Figure 2.3-6: Generate Final Order Dates Flow is a diagram depicting the process of generating
Final Order Dates for an Air DA Formal Enforcement Action. A table detailing each step in the
flow is also included in this section.
Figure 2.3-6: Generate Final Order Dates Flow
Generate
Final Order
Dates
1.
Do any Final
Orders exist for the
Enforcement
Action?
No
1A. Return to
calling program
Yes
2.
Does Air Resolved
Date exist for any Final
Orders?
2A. Set the
air_resolution_sys_gen_fl
ag = N for the identified
Final Order(s).
Yes
No
3.
Does Enforcement Action
Closed Milestone Actual
Date exist?
No
3A. Return to
calling program
Yes
4.
Is Air Resolved Date
null for any Final
Orders?
No
4A. Return to
calling program
Yes
5. Set the Final Order Air
Resolved Date to the
Enforcement Action Closed
Milestone Actual Date for the
identified Final Order(s).
6. Set the
air_resolution_sys_gen_fl
ag = Y for the identified
Final Order(s).
7. Return to
calling program
ICIS-Air EDT Delegated Agency Formal Enforcement Action and Milestone
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OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
Table 2.3-6: Generate Final Order Dates contains a description of the items in the above flow. The Item Number column refers to the
Processing step being referenced. The Item Description column gives a more in-depth explanation of each step of the process. The
Mapping to Business Rules Table column references the specific business rules that are checked in that step. All business rules
relating to the flow can be found in Table 2.6-1: Air DA Formal Enforcement Action Business Rules.
Table 2.3-6: Generate Final Order Dates
Item
Number
Item Description
Mapping To Business Rule Table
1
Do any Final Orders exist for the Enforcement Action?
ICIS determines if one or more Final Orders exist for the Enforcement Action in ICIS. If this condition is
true, processing continues at #2, otherwise processing continues at #1A.
N/A
1A
Return to calling program
ICIS returns to the calling program.
N/A
2
Does Air Resolved Date exist for any Final Orders?
ICIS determines if the Air Resolved Date exists for one or more Final Orders. If this condition is false,
processing continues at #3, otherwise processing continues at #2A.
N/A
2A
Set the air_resolution_sys_gen_flag = N for the identified Final Order(s).
ICIS sets the air_resolution_sys_gen_flag = N for the Final Order(s) identified in #2. Processing continues
at #3.
N/A
3
Does Enforcement Action Closed Milestone Actual Date exist?
ICIS determines if the Enforcement Closed Milestone Actual Date exists. If this condition is true,
processing continues at #4, otherwise processing continues at #3A.
N/A
3A
Return to calling program
ICIS returns to the calling program.
N/A
4
Is Air Resolved Date null for any Final Orders?
ICIS determines if the Air Resolved Date is null for one or more Final Orders. If this condition is true,
processing continues at #5, otherwise processing continues at #4A.
N/A
4A
Return to calling program
ICIS returns to the calling program.
N/A
5
Set the Final Order Air Resolved Date to the Enforcement Action Closed Milestone Actual Date for
the identified Final Order(s).
ICIS has determined that the Air Resolved Date is null for one or more Final Orders and sets the Final
Order Air Resolved Date to the Enforcement Action Closed Milestone Actual Date. Processing continues at
#6.
N/A
ICIS-Air EDT Delegated Agency Formal Enforcement Action and Milestone
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Item
Number
Item Description
Mapping To Business Rule Table
6
Set the air_resolution_sys_gen_flag = Y for the identified Final Order(s).
ICIS sets the air_resolution_sys_gen_flag = Y for the Final Order(s) identified in #4. Processing continues
at #7.
N/A
7
Return to calling program
ICIS returns to the calling program.
N/A
ICIS-Air EDT Delegated Agency Formal Enforcement Action and Milestone
43
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
2.4 MASS DELETE (X) AIR DA FORMAL ENFORCEMENT ACTION PROCESSING
The Mass Delete Air DA Formal Enforcement Action XML transaction allows the user to
remove an existing Air DA Formal Enforcement Action and its child records in ICIS. When an
Air DA Formal Enforcement Action is removed from ICIS, links to other records are deleted, but
the actual records themselves are not deleted (e.g., If an Air DA Formal Enforcement Action
record is linked to Case File records, ICIS will delete the Air DA Formal Enforcement Action
record and links but not the Case File records.) Further details about Air DA Enforcement
Action Linkage are described in its respective Technical Specification. Note: Reason Deleting
Record is processed during Mass Delete transactions (if submitted).
Even though Mass Delete transactions only apply to Air DA Enforcement Actions, links to both
Air DA Activities and Federal Activities can be deleted. A headquarter or regional user can link
Federal Activities (i.e., Compliance Monitoring) to an Air DA Enforcement Action through the
ICIS Web application. Links to these Federal records will be deleted during an Air DA Formal
Enforcement Action Mass Delete transaction.
If an Air DA Formal Enforcement Action has one or more Final Order records when it is Mass
Deleted, all Final Orders and their associated date and linkages must be deleted before the
Enforcement Action is deleted.
2.4.1 Mass Delete Air DA Formal Enforcement Action Processing Flow
Figure 2.4-1: Mass Delete Air DA Formal Enforcement Action Processing Flow is a diagram
depicting the processing of a Mass Delete Air DA Formal Enforcement Action transaction. The
Process Delete Final Order sub-flow details the process of deleting a Final Order from the parent
Enforcement Action. A table detailing each step in the flow is also included in this section.
ICIS-Air EDT Delegated Agency Formal Enforcement Action and Milestone
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OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
Figure 2.4-1: Mass Delete Air DA Formal Enforcement Action Processing Flow
Mass Delete
Formal
Enforcement
Action
Processing
1. Does 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 msg per
business rule violation to
the error log.
End
No
3A. Reject transaction.
Write 1 error message to
the error log.
End
Yes
2.
Is existing Enforcement
Action Delegated Agency
Administrative Formal or
Delegated Agency
Judicial?
Yes
3. Does user
have privileges to perform
Mass Delete Air DA Formal
Enforcement Action XML
transaction?
Yes
4.
Do any Final
Orders exist for the
Enforcement
Action?
Yes
4A. Delete the Final
Order and its child records
and links.
No
5. Was Reason for
Deleting Record
submitted?
No
Yes
6. Save Reason for
Deleting Record to the
database.
7. Is the Air DA
Enforcement Action
linked to any Air
Case Files?
Yes
7A. Identify
Linked Pathway
Activities and
Set Case File
Status Type
No
8. Delete the Enforcement
Action and its child records
and links.
Yes
7B. Did Background
Processing complete
successfully?
No
7C. Reject transaction.
Write 1 error message to
the error log.
End
9. Accept transaction.
End
ICIS-Air EDT Delegated Agency Formal Enforcement Action and Milestone
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Table 2.4-1: Mass Delete Air DA Formal Enforcement Action Processing contains a description of the items in the above flow. The
Item Number column refers to the Processing step being referenced. The Item Description column gives a more in-depth explanation
of each step of the process. The Mapping to Business Rules Table column references the specific business rules that are checked in
that step. All business rules relating to the flow can be found in Table 2.6-1: Air DA Formal Enforcement Action Business Rules.
Table 2.4-1: Mass Delete Air DA Formal Enforcement Action Processing
Item
Number
Item Description
Mapping To Business Rule Table
1
Does Enforcement Action exist in ICIS?
ICIS determines if an Air DA Enforcement Action exists in ICIS that matches the key data submitted. The
XML key tag for an Air DA Formal Enforcement Action is Air DA Enforcement Action Identifier. If a
matching Air DA Formal Enforcement Action is found in ICIS, processing continues at #2, otherwise
processing continues at #1A.
FEA-244
1A
Reject transaction. Write 1 error message to the error log.
ICIS has determined that the Air DA 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.
FEA-244
2
Is existing Enforcement Action Delegated Agency Administrative Formal or Delegated Agency
Judicial?
ICIS determines if the Air DA Enforcement Action Identifier is for an Air Delegated Agency Formal
Enforcement Action (i.e., State/LCON Administrative Formal Enforcement Action or a State/LCON Judicial
Enforcement Action). If Air DA Enforcement Action Identifier is for an Air Delegated Agency Formal
Enforcement Action, processing continues at #3, otherwise processing continues at #2A.
FEA-256, FEA-318
2A
Reject transaction. Write 1 error msg per business rule violation to the error log.
If the Air DA Enforcement Action Identifier is not for an Air Delegated Agency Formal Enforcement Action
(i.e., it is an Air DA Informal Enforcement Action), then ICIS rejects the entire Mass Delete Air DA Formal
Enforcement Action transaction. ICIS writes an error message per business rule violated to the error log
and processing of this Mass Delete Air DA Formal Enforcement Action transaction ends.
FEA-256, FEA-318
ICIS-Air EDT Delegated Agency Formal Enforcement Action and Milestone
46
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
Item
Number
Item Description
Mapping To Business Rule Table
3
Does user have privileges to perform Mass Delete Air DA Formal Enforcement Action XML
transaction?
ICIS determines if the user has privileges to perform a Mass Delete Air DA Formal Enforcement Action
transaction and if the user has the authority to conduct a Mass Delete Air DA Formal Enforcement Action
transaction for the state/tribe/LCON requested. ICIS applies the same security rules for EDT as it does for
the web, and uses the same set of permissions. The user must have the Delete Formal Enforcement
Action function, which is available as part of the Formal Enforcement Action Deletion role. In addition, the
user must have Sensitive Data Access privileges to perform this transaction for a sensitive Formal
Enforcement Action. An Administrative Formal Enforcement Action is sensitive unless a Milestone
Complaint Filed/Proposed Order Actual Date exists or a Final Order exists with a Final Order Issue Date. A
Judicial Enforcement Action is sensitive unless the Milestone Complaint Filed with Court Actual Date
exists. If the ICIS User ID has the correct privileges, processing continues at #4, otherwise processing
continues at #3A.
FEA-241
3A
Reject transaction. Write 1 error message to the error log.
ICIS has determined that the user does not have the correct privileges to perform this transaction. ICIS
rejects the transaction, writes an error message to the error log, and ends processing of the transaction.
FEA-241
4
Do any Final Orders exist for the Enforcement Action?
ICIS determines if one or more Final Orders exist for the Enforcement Action in ICIS. If this condition is
false, processing continues at #6, otherwise processing continues at #5A.
N/A
4A
Delete the Final Order and its child records and links.
Final Order Linked Facilities and Final Order Respondents/Defendants are unlinked but not deleted. The
Final Order and all of its Final Order Status and Penalty data are deleted. Processing continues at #6.
N/A
5
Was Reason for Deleting Record submitted?
ICIS determines if the Reason for Deleting Record was submitted. If it was submitted, processing
continues at #6, otherwise processing continues at #7.
6
Save Reason for Deleting Record.
If Reason for Deleting Record was submitted, ICIS saves the Reason for Deleting Record to the ICIS
database. Processing continues at #7.
N/A
7
Is the Enforcement Action linked to any Air Case Files?
ICIS has saved Reason for Deleting Record (if submitted). If the Enforcement Action is linked to one or
more Case Files with Case File Type of Air Case File or Air Case File with NEI, processing continues at
7A, otherwise processing continues at #8.
N/A
7A
Identify Linked Pathway Activities and Set Case File Status Type
ICIS continues processing by calling the BGP Process “Identify Linked Pathway Activities and Set Case
File Status Type” to determine if the deleted Enforcement Action affects the Case File’s Pathway Activities
and/or Case File Status Type for each of the linked Air Case Files. See Case File Web Design Document
for the documented details of this BGP flow. Processing continues at #7B.
N/A
ICIS-Air EDT Delegated Agency Formal Enforcement Action and Milestone
47
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Item
Number
Item Description
Mapping To Business Rule Table
7B
Did Background Processing complete successfully?
ICIS determines whether Identify Linked Pathway Activity and Set Case File Status Type Processing
successfully completed or if there was an unexpected error. If the background processing completed
successfully, processing continues at #8, otherwise processing continues at #7C.
FEA-320
7C
Reject transaction. Write 1 error message to the error log.
ICIS has determined that unexpected errors occurred. ICIS records one rejected transaction and writes
one error message to the log. This will allow the user to see that no data were successfully saved and the
XML transaction must be resubmitted. Processing of this Mass Delete Air DA Formal Enforcement Action
transaction ends.
FEA-320
8
Delete the Enforcement Action and its child records and links.
ICIS has determined that this Air DA Formal Enforcement Action is valid for deletion. Enforcement Action
Linked Facilities, Enforcement Action Government Contacts, Milestone Combined with / Superseded by
Enforcement Action Identifier and Related Activities (Compliance Monitoring, Enforcement Action) are
unlinked but not deleted. The Enforcement Action and all of its Court Docket Numbers, Enforcement Action
Respondents/Defendants, Sensitive Comments, and Milestones are deleted. Processing continues at #9.
N/A
9
Accept transaction.
ICIS logs a successful Mass Delete Air DA Formal Enforcement Action transaction. Processing of the
Mass Delete Air DA Formal Enforcement Action XML transaction is complete.
N/A
ICIS-Air EDT Delegated Agency Formal Enforcement Action and Milestone
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OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
2.5 REPLACE (R) AIR DA ENFORCEMENT ACTION MILESTONE PROCESSING
The Replace Air DA Enforcement Action Milestone transaction allows the user to add, edit, or
delete Milestone Planned Dates or Milestone Actual Dates. The processing of a Replace Air DA
Enforcement Action Milestone XML transaction is described below.
2.5.1 Replace Air DA Enforcement Action Milestone Processing Flow
Figure 2.5-1: Replace Air DA Enforcement Action Milestone Processing Flow is a diagram
depicting the processing of a Replace Air DA Enforcement Action Milestone transaction. A table
detailing each step in the flow is also included in this section.
ICIS-Air EDT Delegated Agency Formal Enforcement Action and Milestone
49
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
Figure 2.5-1: Replace Air DA Enforcement Action Milestone Processing Flow
Replace Air
DA
Enforcement
Action
Milestone
Processing
1. Are Key Data Valid
for Replace
transaction?
1A. Reject transaction.
Write 1 error message per
business rule violated 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 message per
business rule violated to
the error log.
End
No
Yes
2. Does
user have privileges
to perform Replace Air DA
Enforcement Action
Milestone XML
transaction?
Yes
3. Is Enforcement
Action Air Delegated Agency
Administrative Formal type
or Delegated Agency
Judicial type?
Yes
4.
Was Enforcement
Action Closed
Milestone Actual Date
submitted?
4A.
Does Enforcement Action
have any Final Orders?
Yes
Yes
4B. Process
Enforcement
Action Closed
Actual Date
No
No
Yes
6A. Write 1
error message
per business
rule violated to
the error log.
No
5. Is
Enforcement Action Air
Delegated Agency
Administrative Formal
type?
6. Are
data valid for Administrative
Formal Enforcement Action
Milestone?
No
5A. Are
data valid for Judicial
Enforcement Action
Milestone?
Yes
No
5B. Write 1
error message
per business
rule violated to
the error log.
End
Yes
End
7. Set
Enforcement
Action
Status.
8. Set the
sensitive_data_flag in the
ICIS_ACTIVITY table to Y
or N for the parent Air DA
Enforcement Action record
based on the Milestone
Actual Dates.
9. Is the
Milestone Type Code
submitted an Addressing
Action and is the Air DA
Enforcement Action linked
to any Air Case Files?
Yes
9A. Identify
Linked Pathway
Activities and
Set Case File
Status Type
No
10. Save the Air DA
Enforcement Action
Milestone data to the
database.
Yes
9B. Did Background
Processing complete
successfully?
No
9C. Reject transaction.
Write 1 error message to
the error log.
End
11. Accept transaction.
End
ICIS-Air EDT Delegated Agency Formal Enforcement Action and Milestone
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OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
Table 2.5-1: Replace Air DA Enforcement Action Milestone Processing contains a description of the items from the Figure 2.5-1:
Replace Air DA Enforcement Action Milestone 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
Enforcement Action Milestones can be found in Table 2.6-2: Air DA Enforcement Action Milestone Business Rules.
Table 2.5-1: Replace Air DA Enforcement Action Milestone Processing
Item
Number
Item Description
Mapping To Business Rule Table
1
Are Key Data Valid for Replace transaction?
ICIS determines if the Air DA Enforcement Action Identifier and Milestone Type Code exist in ICIS. ICIS
also determines if there is an Air DA Enforcement Action Milestone in ICIS for the combination of Air DA
Enforcement Action Identifier and Milestone Type Code. If the data is valid, processing continues at #2,
otherwise processing continues at #1A.
FEA-307
1A
Reject transaction. Write 1 error message per business rule violated to the error log.
If the XML key data is not valid and cannot be found in ICIS, then ICIS rejects the Replace Air DA
Enforcement Action Milestone request. ICIS writes an error message per business rule violated to the error
log and processing of this Replace Air DA Enforcement Action Milestone transaction ends.
FEA-307
2
Does user have privileges to perform Replace Air Delegated Agency Enforcement Action Milestone
XML transaction?
ICIS determines if the user has privileges to perform a Replace Air DA Enforcement Action Milestone XML
transaction. ICIS applies the same security rules for EDT as it does for the web, and uses the same set of
permissions. The user must have the Add/Copy Formal Enforcement Action and Edit Formal Enforcement
Action function, which is available as part of the Formal Enforcement Action Editor role. In addition, the
user must have Sensitive Data Access privileges to perform this transaction if the parent Enforcement
Action is sensitive. An Administrative Formal Enforcement Action is sensitive unless a Milestone Complaint
Filed/Proposed Order Actual Date exists or a Final Order exists with a Final Order Issue Date. A Judicial
Enforcement Action is sensitive unless the Milestone Complaint Filed with Court Actual Date or the Final
Order Entered Milestone exists (i.e. Final Order Entered Date exists on a Final Order) for an Air Delegated
Agency Judicial Enforcement Action. If the ICIS User ID has the correct privileges, processing continues
at #3, otherwise processing continues at #2A.
FEA-306
2A
Reject transaction. Write 1 error message to the error log.
If the ICIS User ID does not have the correct privileges defined in ICIS for this Replace Air DA
Enforcement Action Milestone transaction, then ICIS rejects the entire Replace Air DA Enforcement Action
Milestone transaction. ICIS writes an error message to the error log and processing of this Replace Air DA
Enforcement Action Milestone transaction ends.
FEA-306
ICIS-Air EDT Delegated Agency Formal Enforcement Action and Milestone
51
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Item
Number
Item Description
Mapping To Business Rule Table
3
Is Enforcement Action Delegated Agency Administrative Formal type or Delegated Agency Judicial
type?
ICIS determines if the Air DA Enforcement Action Identifier is for an Air Delegated Agency Formal
Enforcement Action (i.e., State/LCON Administrative Formal Enforcement Action or a State/LCON Judicial
Enforcement Action). If Air DA Enforcement Action Identifier is for an Air Delegated Agency Formal
Enforcement Action, processing continues at #4 otherwise processing continues at #3A.
FEA-308
3A
Reject transaction. Write 1 error message per business rule violated to the error log.
If the Air DA Enforcement Action Identifier is not for an Air Delegated Agency Formal Enforcement Action
(i.e., it is an Air DA Informal Enforcement Action), then ICIS rejects the entire Replace Air DA Enforcement
Action Milestone transaction. ICIS writes an error message per business rule violated to the error log and
processing of this Replace Air DA Enforcement Action Milestone transaction ends.
FEA-308
4
Was Enforcement Action Closed Milestone Actual Date submitted?
ICIS determines if the XML tag Enforcement Action Closed Milestone Actual Date was submitted in this
transaction. It can be submitted with either a date value or asterisks. If this condition is not true, processing
continues at #5.
N/A
4A
Does Enforcement Action have any Final Orders?
ICIS determines if the Enforcement Action has any Final Orders. If one or more Final Order exists for the
Enforcement Action, processing continues at #4B, otherwise processing continues at #5.
N/A
4B
Process Enforcement Action Closed Actual Date
ICIS continues processing at Figure 2.5-2: Process Enforcement Action Closed Actual Date Flow and then
processing continues at #5.
N/A
5
Is Enforcement Action State Administrative Formal type?
If ICIS determines the Enforcement Action is an Air Delegated Agency Administrative Formal Enforcement
Action, processing continues at #6, otherwise processing continues at #5A.
N/A
5A
Are data valid for Judicial Enforcement Action Milestone?
ICIS determines if data is valid for a Replace Air DA Enforcement Action Milestone XML transaction of an
Air Delegated Agency Judicial Enforcement Action Milestone. If data is valid, processing continues at #7,
otherwise processing continues at #5B.
FEA-309, FEA-311, FEA-312, FEA313, FEA-316
5B
Reject transaction. Write 1 error message per business rule violated to the error log.
If the data is not valid for a Replace Air DA Enforcement Action Milestone XML transaction of an Air
Delegated Agency Judicial Enforcement Action Milestone, then ICIS rejects the entire Replace Air DA
Enforcement Action Milestone transaction. ICIS writes an error message per business rule violated to the
error log and processing of this Replace Air DA Enforcement Action Milestone transaction ends.
FEA-309, FEA-311, FEA-312, FEA313, FEA-316
ICIS-Air EDT Delegated Agency Formal Enforcement Action and Milestone
52
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Item
Number
Item Description
Mapping To Business Rule Table
6
Are data valid for Administrative Formal Enforcement Action Milestone?
ICIS determines if data is valid for a Replace Air DA Enforcement Action Milestone XML transaction for an
Air Delegated Agency Administrative Formal Enforcement Action Milestone. If data is valid, processing
continues at #7, otherwise processing continues at #6A.
FEA-310, FEA-311, FEA-312, FEA313, FEA-314, FEA-315 , FEA-317
6A
Reject transaction. Write 1 error message per business rule violated to the error log.
If the data is not valid for a Replace Air DA Enforcement Action Milestone XML transaction of an Air
Delegated Agency Administrative Formal Enforcement Action Milestone, then ICIS rejects the entire
Replace Air DA Enforcement Action Milestone transaction. ICIS writes an error message per business rule
violated to the error log and processing of this Replace Air DA Enforcement Action Milestone transaction
ends.
FEA-310, FEA-311, FEA-312, FEA313, FEA-314, FEA-315 , FEA-317
7
Set Enforcement Action Status.
ICIS generates the Status for the Enforcement Action based on Table 2.2-1: Air DA Administrative Formal
Enforcement Action Status Generation or Table 2.2-2: Air DA Judicial Formal Enforcement Action Status
Generation. Processing continues at #8.
N/A
8
Set the sensitive_data_flag in the ICIS_ACTIVITY table to Y or N for the parent Air DA Enforcement
Action record based on the Milestone Actual Dates.
ICIS sets the sensitive_data_flag in the ICIS_ACTIVITY table to Y or N for the parent Air DA Enforcement
Action record based on the Milestone Actual Dates. The flag is set to Y if the parent Air DA Enforcement
Action is sensitive and it is set to N if the parent Air DA Enforcement Action is not sensitive. An
Administrative Formal Enforcement Action is sensitive unless a Milestone Complaint Filed/Proposed Order
Actual Date exists or a Final Order exists with a Final Order Issue Date. A Judicial Enforcement Action is
sensitive unless the Milestone Complaint Filed with Court Actual Date or the Final Order Entered Milestone
exists (i.e. Final Order Entered Date exists on a Final Order) for an Air DA Judicial Enforcement Action.
Processing continues at #9.
N/A
9
Is the Milestone Type Code submitted an Addressing Action and is the Air DA Enforcement Action
linked to any Air Case Files?
If ICIS determines that the Air DA Milestone Type Code submitted is an Addressing Action (i.e.,
Ref_Sub_Activity.Addressing_Action_Flag = Y) and that the Air DA Informal Enforcement Action is linked
to one or more Case Files with Case File Type of Air Case File or Air Case File with NEI, processing
continues at 9A, otherwise processing continues at #10.
N/A
9A
Identify Linked Pathway Activities and Set Case File Status Type
ICIS continues processing by calling the BGP Process “Identify Linked Pathway Activities and Set Case
File Status Type” to determine if the Air DA Milestone affects the Case File’s Pathway Activities and/or
Case File Status Type. See Case File Web Design Document for the documented details of this BGP
flow. Processing continues at #9B.
N/A
ICIS-Air EDT Delegated Agency Formal Enforcement Action and Milestone
53
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
Item
Number
Item Description
Mapping To Business Rule Table
9B
Did Background Processing complete successfully?
ICIS determines whether Identify Linked Pathway Activity and Set Case File Status Type Processing
successfully completed or if there was an unexpected error. If the background processing completed
successfully, processing continues at #8, otherwise processing continues at #9C.
FEA-321
9C
Reject transaction. Write 1 error message to the error log.
ICIS has determined that unexpected errors occurred. ICIS records one rejected transaction and writes
one error message to the log. This will allow the user to see that no data were successfully saved and the
XML transaction must be resubmitted. Processing of this Replace Air DA Milestone transaction ends.
FEA-321
10
Save the Air DA Enforcement Action Milestone data to the database.
ICIS saves the Air DA Enforcement Action Milestone data to the database. Processing continues at #11.
N/A
11
Accept transaction.
ICIS logs a successful Replace Air DA Enforcement Action Milestone transaction. Processing of the
Replace Air DA Enforcement Action Milestone transaction is complete.
N/A
ICIS-Air EDT Delegated Agency Formal Enforcement Action and Milestone
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OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
2.5.2 Process Enforcement Action Closed Actual Date Flow
Figure 2.5-2: Process Enforcement Action Closed Actual Date Flow is a diagram depicting the
processing of the Enforcement Action Closed Milestone Actual Date. A table detailing each step
in the flow is also included in this section.
ICIS-Air EDT Delegated Agency Formal Enforcement Action and Milestone
55
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
Figure 2.5-2: Process Enforcement Action Closed Actual Date Flow
Process
Enforcement
Action Closed
Actual Date
1.
Does Resolution Type =
Superseded by Another
Enforcement Action?
Yes
No
No
2. Is Air Resolved Date null
or flagged as systemgenerated for any Final
Orders?
No
1A.
Does Enforcement Action
Closed Milestone Actual
Date exist and was it
previously blank?
Yes
1B. Return to
Calling Program.
2A. Return to
Calling Program.
Yes
3. Set Air Resolved Date = Enforcement
Action Closed Milestone Actual Date for
the Identified Final Orders.
4.
Is Enforcement Action
Closed Milestone Actual
Date null?
4A. Flag Air Resolved Date as
not system-generated for the
identified Final Orders.
Yes
No
5. Does
Air Resolved Date exist
for all Final Orders?
4B. Flag the Air Resolved Date
as system-generated for the
identified Final Orders.
No
5A. Set Air
Resolved Milestone
Actual Date to null.
5B. Return to
Calling Program.
Yes
6. Set Air Resolved Milestone Actual Date
to the Air Resolved Date of the Final
Order with the greatest Air Resolved date.
7. Return to
calling program
ICIS-Air EDT Delegated Agency Formal Enforcement Action and Milestone
56
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
Table 2.5-2: Process Enforcement Action Closed Actual Date contains a description of the items from the flow above. 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 Enforcement Action Milestones can be found in Table 2.6-2: Air DA Enforcement Action
Milestone Business Rules.
Table 2.5-2: Process Enforcement Action Closed Actual Date
Item
Number
Item Description
Mapping To Business Rule Table
1
Does Resolution Type = Superseded by Another Enforcement Action?
ICIS determines if the Resolution Type of the Enforcement Action equals Superseded by Another
Enforcement Action. If this condition is true, processing continues at #1A, otherwise processing continues
at #2.
N/A
1A
Does Enforcement Action Closed Milestone Actual Date exist and was it previously blank?
ICIS determines if the Enforcement Action Closed Milestone Actual Date was newly added in this
transaction. If this is true, processing continues at #1B, otherwise processing continues at #2.
N/A
1B
Return to calling program
ICIS returns to the calling program.
N/A
2
Is Air Resolved Date null or flagged as system-generated for any Final Orders?
ICIS determines if the Air Resolved Date is null or if the air_resolution_sys_gen_flag = Y in the
ICIS_ENF_CONCLUSION table for any Final Orders. If this condition is true, processing continues at #3.
N/A
2A
Return to calling program
ICIS returns to the calling program.
N/A
3
Set Air Resolved Date = Enforcement Action Closed Milestone Actual Date for the Identified Final
Orders.
ICIS sets the Air Resolved Date = Enforcement Action Closed Milestone Actual Date for each Final Order
identified is #2. Processing continues at #4.
N/A
4
Is Enforcement Action Closed Milestone Actual date null?
ICIS determines if the Enforcement Action Closed Milestone Actual Date is null. If this condition is not true,
processing continues at #4B.
N/A
4A
Flag Air Resolved Date as not system-generated for the identified Final Orders.
ICIS sets the air_resolution_sys_gen_flag in the ICIS_ENF_CONCLUSION table to N for each Final Order
identified in #2. Processing continues at #5.
N/A
4B
Flag the Air Resolved Date as system-generated for the identified Final Orders.
ICIS sets the air_resolution_sys_gen_flag in the ICIS_ENF_CONCLUSION table to Y for each Final Order
identified in #2. Processing continues at #5.
N/A
ICIS-Air EDT Delegated Agency Formal Enforcement Action and Milestone
57
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
Item
Number
Item Description
Mapping To Business Rule Table
5
Does Air Resolved Date exist for all Final Orders?
ICIS determines if the Air Resolved Date exists for all Final Orders. If this condition is true, processing
continues at #6.
N/A
5A
Set Air Resolved Milestone Actual Date to null.
ICIS has determined that the Air Resolved Date is blank for one or more Final Orders and sets the Air
Resolved Milestone Actual Date to null. Processing continues at #5B.
N/A
5B
Return to calling program
ICIS returns to the calling program.
N/A
6
Air Resolved Milestone Actual Date to the Air Resolved Date of the Final Order with the greatest Air
Resolved Date.
ICIS has determined that the Air Resolved Date exists for all Final Orders and sets the Air Resolved
Milestone Actual Date to the Air Resolved Date of the Final Order with the greatest Air Resolved Date. If
multiple Final Orders exist with the same Air Resolved Date, then ICIS randomly selects the date from any
of those Final Orders. Processing continues at #7.
N/A
7
Return to calling program
ICIS returns to the calling program.
N/A
ICIS-Air EDT Delegated Agency Formal Enforcement Action and Milestone
58
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
2.6 BUSINESS RULES
Table 2.6-1: Air DA Formal Enforcement Action Business Rules and Table 2.6-2: Air DA Enforcement Action Milestone Business
Rules list the business rules that apply to Air DA Formal Enforcement Action transactions and Air DA Enforcement Action Milestone
transactions. Each row has a unique Business Rule ID which identifies the business rule. The Business Rules column describes the
specific business rule that is being applied to the Air DA Formal Enforcement Action transactions or Air DA Enforcement Action
Milestone transactions. The naming of the data fields is consistent with the existing production system terminology and not the EDT
XML schema terminology. The naming of the data fields is consistent with the ICIS system terminology and not the EDT XML
schema terminology. The Error/Warning Code column uniquely identify the Error/Warning Messages. The Error/Warning Message
lists the specific message (including data) that will be displayed on the audit report. The error/warning messages use the XML schema
terminology for data so that users can easily identify the specific data tags that are in error. On the audit reports, the key values for
each transaction will be concatenated. The key value that will be displayed for Air DA Formal Enforcement Action transactions is: Air
DA Enforcement Action Identifier. The key value that will be displayed for Air DA Enforcement Action Milestone transactions is: Air
DA Enforcement Action Identifier and Milestone Type Code. The Applicable Transaction Types column identifies all transaction
types to which the business rule applies.
Table 2.6-1: Air DA Formal Enforcement Action Business Rules
Business
Rule ID
(Req ID)
Business Rules
FEA-240 Transaction Type must be valid for Air DA Formal
Enforcement Actions. Valid Transaction Types are R
(Replace) and X (Mass Delete).
Error/
Warning
Code
BAT010
FEA-241 User must have privileges to perform the transaction. BAT020
This relates to specific roles, access level (HQ, specific
region, specific state), and sensitive data privileges.
Note: ICIS does not have EDT-specific privileges. The
privileges for EDT and Web access are the same.
Error/Warning Message
Applicable
Transaction
Types
Transaction Type <Transaction Type value> is not valid for
<Submission Type value>.
R, X
User <ID value> does not have privileges to perform this
<Transaction Type value> <Submission Type value> transaction.
R, X
Air DA Formal Enforcement Action Key Element(s)
FEA-244 The Air DA Enforcement Action Identifier must exist in FEA1244
ICIS.
The Air DA Enforcement Action Identifier must already exist in ICIS. X
FEA-245 If the Air DA Formal Enforcement Action transaction
FEA1245
contains only key data and no other data, ICIS rejects
the Air DA Formal Enforcement Action transaction.
The Air DA Formal Enforcement Action only contains key data and R-C
no other data for processing.
ICIS-Air EDT Delegated Agency Formal Enforcement Action and Milestone
59
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
Business
Rule ID
(Req ID)
Business Rules
Error/
Warning
Code
Error/Warning Message
Applicable
Transaction
Types
FEA-318 The existing Enforcement Action in ICIS must be a
FEA1318
State or LCON Air DA Activity (i.e., state_epa_flag = S
or L) in the ICIS_ACTIVITY table and must be an Air
DA Enforcement Action.
Note: This business rule is not checked for Replace
transactions where the Enforcement Action does not
exist in ICIS.
The Enforcement Action in ICIS must represent an Air DA
Enforcement Action.
R-C, X
FEA-247 The first two characters (i.e., State Code) of the Air DA FEA1247
Enforcement Action Identifier must be a valid state
(i.e., Active code where usage_indicator = N or B) in
REF_STATE table.
The first two characters (i.e., State Code) of the Air DA
Enforcement Action Identifier must represent a valid state in the
ICIS reference table.
R-N
FEA-248 Position 3-5 of the Air DA Enforcement Action Identifier FEA1248
must be a valid (i.e., Active) LCON code in the
REF_LCON table for the corresponding State in
positions 1-2 of the Air DA Enforcement Action and if
no LCON is associated to that record, Positions 3-5
must be ‘000’.
The characters in position three to five (i.e., LCON Code) of the Air R-N
DA Enforcement Action Identifier do not exist or are inactive in the
ICIS Reference Table or must be ‘000’.
FEA-249 Position 6 of the Air DA Enforcement Action Identifier
must be ‘A’.
FEA1249
The character in position six must be ‘A’.
R-N
FEA-251 One or more Linked Air Facility ID for the Facility
Interest must exist for an Air DA Formal Enforcement
Action.
FEA1251
Air Facility Identifier must exist.
R
FEA-252 The Linked Air Facility ID of the Air DA Formal
Enforcement Action must exist in ICIS and have a
program System Acronym of AIR.
FEA1252
Air Facility Identifier(s) <Air Facility ID value 1, Air Facility ID value R
2 …Air Facility value n> does not exist in ICIS.
Enforcement Action Linked Facilities
FEA-254 An Air Facility ID (i.e. Facility Interest) cannot be
FEA1254
unlinked from an Enforcement Action if it is the only Air
Facility ID (i.e., Facility Interest) that is in common with
a Related Activity (e.g., Compliance Monitoring,
Enforcement Action) that is linked to the Enforcement
Action.
The Air Facility Identifier cannot be unlinked from the Enforcement R-C
Action because it is the only Air Facility ID (i.e. Facility Interest) that
is in common with a Related Activity that is linked to the
Enforcement Action.
Forum
ICIS-Air EDT Delegated Agency Formal Enforcement Action and Milestone
60
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
Business
Rule ID
(Req ID)
Business Rules
Error/
Warning
Code
Error/Warning Message
Applicable
Transaction
Types
R
FEA-255 Forum must exist for an Air DA Formal Enforcement
Action.
FEA151
Forum must exist for a Formal Enforcement Action.
FEA-256 The existing Enforcement Action in ICIS must have a
Forum = AFR (Administrative-Formal) or JDC
(Judicial).
FEA152
The Enforcement Action in ICIS must represent either an
Administrative Formal Enforcement Action or a Judicial
Enforcement Action.
R-C, X
FEA-257 Forum cannot be changed from Administrative Formal to Judicial or vice-versa.
FEA153
The Forum cannot be changed from Administrative - Formal to
Judicial or vice-versa.
R-C
FEA-258 Enforcement Action Type must exist for an Air DA
Formal Enforcement Action.
FEA160
Enforcement Action Type Code must exist for a Formal
Enforcement Action.
R
FEA-259 Enforcement Action Type(s) must be a valid (i.e.,
Active) code with an Air DA activity filter code in the
REF_ENF_TYPE table
Note: Air DA activity filter codes are those where the
activity_filter_code has
ref_activity_filter.air_da_flag=’Y’.
FEA1259
Enforcement Action Type Code(s) <Enforcement Action Type Code R
value 1, Enforcement Action Type Code value 2,…Enforcement
Action Type Code value n> is not valid for Air Delegated Agency
Formal Enforcement Actions, does not exist, or is inactive in the
ICIS reference table.
FEA-260 Enforcement Action Type(s) must have an
activity_type_code in the REF_ENF_TYPE table that
matches the Forum.
FEA200
Enforcement Action Type Code(s) <Enforcement Action Type Code R
value 1, Enforcement Action Type Code value 2,…Enforcement
Action Type Code value n> must match the Forum <Forum value>.
FEA-261 For Judicial Enforcement Actions, no more than one
Enforcement Action Type can exist.
FEA220
A Judicial Enforcement Action cannot have more than one
Enforcement Action Type Code.
R
FEA-262 Programs Violated must exist for an Air DA Formal
Enforcement Action.
FEA240
Programs Violated Code must exist for a Formal Enforcement
Action.
R
FEA-322 If Air Program = Federally Enforceable Requirement,
Program Description must exist.
FEA322
Other Program Description Text must be entered because Program R
= CAAFENF.
FEA-263 Programs Violated must be a valid (i.e., Active) code
with program_category_code = AIR and
ref_program.activity_filter_code has
ref_activity_filter.air_da_flag = Y in the
REF_PROGRAM table.
FEA1263
Programs Violated Code(s) <Programs Violated Code value 1,
R
Programs Violated Code value 2,… Programs Violated Code value
n> is not an valid Air DA Programs Violated Code, does not exist,
or is an inactive value in the ICIS reference table.
Enforcement Action Type
Enforcement Action Programs Violated
Enforcement Action Pollutants Involved
ICIS-Air EDT Delegated Agency Formal Enforcement Action and Milestone
61
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
Business
Rule ID
(Req ID)
Business Rules
Error/
Warning
Code
FEA-319 Pollutants on the Pollutants Involved list must be a
FPI120
valid (i.e., Active) code with Pollutant_Category_Code
= AIR in the REF_POLLUTANT table.
Error/Warning Message
Applicable
Transaction
Types
Air Pollutant Code <Air Pollutant Code value 1, Air Pollutant Code R
value 2, … Air Pollutant Code value n> on the Pollutants Involved
list does not have a Pollutant Category Code of Air, does not exist,
or is inactive in the ICIS reference table.
Enforcement Action Resolution Data
FEA-264 Enforcement Action Resolution Type must be a valid
(i.e., Active) code with an Air DA activity filter code in
the REF_ENF_OUTCOME table.
Note: Air DA activity filter codes are those where the
activity_filter_code has
ref_activity_filter.air_da_flag=’Y’.
FEA1264
Resolution Type Code <Resolution Type Code value> is not valid
for Air Delegated Agency Formal Enforcement Actions, does not
exist, or is an inactive value in the ICIS reference table.
R
FEA-265 For Administrative Enforcement Actions, Enforcement FEA270
Action Resolution Type must be a valid Administrative
Formal Resolution Type (i.e., judicial_admin_filter_flag
= B) in the REF_ENF_OUTCOME table.
Resolution Type Code <Resolution Type Code value> is not a valid R
Administrative Formal Resolution Type.
FEA-266 For Judicial Enforcement Actions, Enforcement Action FEA280
Resolution Type must be a valid Judicial Resolution
Type (i.e., judicial_admin_filter_flag = J or B) in the
REF_ENF_OUTCOME table.
Resolution Type Code <Resolution Type Code value> is not a valid R
Judicial Resolution Type.
FEA-267 For Administrative Formal Enforcement Actions, if
FEA290
Enforcement Action Resolution Type is one of the
following:
• Default Order With Penalty
• Final Order With Penalty
• Litigated With Penalty
Then all of the following conditions must be true:
• One or more Final Orders must exist for the
Enforcement Action
• Penalty data must exist for at least one Final
Order
• Final Order Issued/Entered Date must exist for the
Final Order(s)
Resolution Type Code <Resolution Type Code value> is not valid
because a Final Order(s) does not exist, Penalty data does not
exist, or Final Order Issued Entered Date does not exist.
ICIS-Air EDT Delegated Agency Formal Enforcement Action and Milestone
R
62
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
Business
Rule ID
(Req ID)
Business Rules
FEA-268 For Judicial Enforcement Actions, if Enforcement
Action Resolution Type is one of the following:
• Default Order With Penalty
• Final Order With Penalty
• Litigated With Penalty
Then all of the following conditions must be true:
• One or more Final Orders must exist for the
Enforcement Action
• Penalty data must exist for at least one Final
Order
Error/
Warning
Code
Error/Warning Message
Applicable
Transaction
Types
FEA300
Resolution Type Code <Resolution Type Code value> is not valid
because a Final Order(s) does not exist or Penalty data does not
exist.
R
FEA-269 For Administrative Formal Enforcement Actions, if
FEA310
Enforcement Action Resolution Type is Source Agrees,
then one and only one of the following scenarios must
be true.
Scenario 1:
• One or more Final Orders exist for the
Enforcement Action
• Penalty data exists for at least one Final Order
• Final Order Issued/Entered Date exists for the
Final Order(s)
Scenario 2:
• No Final Orders exist for the Enforcement Action
Resolution Type Code <Resolution Type Code value> is not valid
because the Enforcement Action must either have a Final Order
with Penalty data and a Final Order Issued Entered Date, or have
no Final Order(s) at all.
R
FEA-270 For Judicial Enforcement Actions, if Enforcement
FEA320
Action Resolution Type is Source Agrees, then only
one of the following scenarios must be true.
Scenario 1:
• One or more Final Orders exist for the
Enforcement Action
• Penalty data exists for at least one Final Order
Scenario 2:
• No Final Orders exist for the Enforcement Action
Resolution Type Code <Resolution Type Code value> is not valid
because the Enforcement Action must either have a Final Order
with Penalty data, or have no Final Order(s) at all.
R
ICIS-Air EDT Delegated Agency Formal Enforcement Action and Milestone
63
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
Business
Rule ID
(Req ID)
Business Rules
Error/
Warning
Code
Error/Warning Message
Applicable
Transaction
Types
FEA-271 If Enforcement Action Resolution Type is one of the
FEA330
following:
• Default Order No Penalty
• Final Order No Penalty
• Litigated No Penalty
• Unilateral Administrative Order Without
Adjudication
Then all of the following conditions must be true:
• One or more Final Orders must exist for the
Enforcement Action
• Penalty data must not exist for any Final Order(s)
Resolution Type Code <Resolution Type Code value> is not valid
because a Final Order(s) does not exist or Penalty data exists.
R
FEA-272 For Administrative Formal Enforcement Actions, if
FEA340
Enforcement Action Resolution Type is one of the
following:
• Dismissed by Tribunal
• EPA Did Not Pursue
• Litigated, Lost
• Unknown
• Voluntarily Dismissed After Filing
• Withdrawn by Region/State
Then a Final Order must not exist for the Enforcement
Action.
Resolution Type Code <Resolution Type Code value> is not valid
because one or more Final Orders exist.
R
FEA-273 For Judicial Enforcement Actions, if Enforcement
FEA350
Action Resolution Type is one of the following:
• DOJ Declined
• Dismissed by Tribunal
• EPA Did Not Pursue
• Litigated, Lost
• Unknown
• U.S. Attorney Declined
• Voluntarily Dismissed After Filing
• Withdrawn by Region/State
Then a Final Order must not exist for the Enforcement
Action.
Resolution Type Code <Resolution Type Code value> is not valid
because one or more Final Orders exist.
R
ICIS-Air EDT Delegated Agency Formal Enforcement Action and Milestone
64
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
Business
Rule ID
(Req ID)
Business Rules
Error/
Warning
Code
Error/Warning Message
Applicable
Transaction
Types
FEA-274 If Enforcement Action Resolution Type is one of the
FEA1274
following:
• Combined With Another Case(s)
• Superseded by Another Enforcement Action
Then the Combined with / Superseded by Enforcement
Action Identifier field must exist.
Air DA Combined or Superseded by EA ID must exist because
Resolution Type Code is <Resolution Type Code value>.
FEA-275 Combined with / Superseded by Enforcement Action FEA1275
Identifier field must be an Air DA Enforcement Action
Identifier (i.e., icis_activity.state_epa_flag = S or L and
activity program = AIR) or a Federal Enforcement
Action Identifier (i.e., icis_activity.state_epa_flag = E)
that exists in ICIS.
Air DA Combined or Superseded by EA ID does not exist in ICIS or R
is not an Air DA Enforcement Action or a Federal Enforcement
Action.
FEA-276 If Enforcement Action Resolution Type is blank or is
not one of the following:
• Combined With Another Case(s)
• Superseded by Another Enforcement Action
Then Combined with / Superseded by Enforcement
Action must not exist.
FEA1276
Air DA Combined or Superseded by EA ID cannot exist because
Resolution Type Code is neither ECO (Combined With Another
Case(s)) or ESU (Superseded by Another Enforcement Action).
R
FEA-277 If Enforcement Action Resolution Type is Combined
With Another Case(s), then a Final Order must not
exist for the Enforcement Action.
FEA390
Resolution Type Code <Resolution Type Code value> is not valid
because a Final Order exists for the Enforcement Action.
R
FEA-278 Combined with / Superseded by Enforcement Action
must not be equal to the source Enforcement Action.
FEA1278
Air DA Combined or Superseded by Enforcement Action Identifier R
<Air DA Combined or Superseded by EA ID value> cannot be
equal to the Air DA Enforcement Action Identifier of the current
Enforcement Action.
FEA-250 Combined with / Superseded by Enforcement Action FEA1250
Identifier field cannot be a State NPDES Enforcement
Action.
Air DA Combined or Superseded by Enforcement Action Identifier
cannot be a State NPDES Enforcement Action Identifier.
R
R
Final Order Identifier
FEA-280 All Final Orders for an Enforcement Action must have FEA420
a unique Final Order ID.
Note: this applies even if duplicate data are submitted
for multiple Final Orders.
Final Order Identifier <Final Order Identifier value> must be unique R
for the Enforcement Action.
Note: This error message is issued once for each set of Final
Orders with the same Final Order Identifier.
Final Order Type
ICIS-Air EDT Delegated Agency Formal Enforcement Action and Milestone
65
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
Business
Rule ID
(Req ID)
Business Rules
FEA-281 Final Order Type must exist for a Final Order.
Error/
Warning
Code
FEA461
Error/Warning Message
For Final Order <Final Order Identifier value>, Final Order Type
Code must exist for a Final Order.
Applicable
Transaction
Types
R
Note: This error message is issued once for each Final Order.
FEA-282 Final Order Type must be a valid (i.e., Active) code
with an Air DA activity filter code in the
REF_ENF_CONCLUSION_ACTION table.
Note: Air DA activity filter codes are those where the
activity_filter_code has
ref_activity_filter.air_da_flag=’Y’.
FEA1282
For Final Order <Final Order Identifier value>, Final Order Type
Code <Final Order Type Code value> is not valid for states, does
not exist, or is inactive in the ICIS reference table.
R
Note: This error message is issued once for each Final Order.
FEA-283 The Final Order Type activity_type_code in the
FEA480
REF_ENF_CONCLUSION_ACTION table must match
the Enforcement Action Type(s) activity_type_code in
the REF_ENF_TYPE table.
For Final Order <Final Order Identifier value>, Final Order Type
R
Code <Final Order Type Code value> must have the same Forum
(e.g., Administrative Formal, Judicial) as the parent Enforcement
Action.
Note: This error message is issued once for each Final Order.
Final Order Linked Facilities
FEA-284 One or more Linked Air Facility ID must exist for a
Final Order.
FEA1284
For Final Order <Final Order Identifier value>, Final Order Air
Facility Identifier must exist for a Final Order.
R
Note: This error message is issued once for each Final Order.
FEA-285 The Linked Air Facility ID(s) (i.e., Facility Interest) for a FEA1285
Final Order must also be linked to the parent
Enforcement Action.
For Final Order <Final Order Identifier value>, Final Order Permit
Identifier(s) <Final Order Air Facility Identifier value 1, Final Order
Air Facility Identifier value 2,… Final Order Air Facility Identifier
value n> must also be linked to the parent Enforcement Action.
R
Note: This error message is issued once for each Final Order.
Final Order Issued/Entered Date
FEA-286 For Administrative Formal Enforcement Actions, Final FEA1286
Order Issued/Entered Date must exist if the Final
Order is the only Final Order for the Enforcement
Action and the Complaint Filed/Proposed Order
Milestone Actual Date does not exist.
ICIS-Air EDT Delegated Agency Formal Enforcement Action and Milestone
For Final Order <Final Order Identifier value>, the following must R
exist for an Administrative Formal Enforcement Action Final Order if
the Final Order is the only Final Order for the Enforcement Action
and the Complaint Filed/Proposed Order Milestone Actual Date
does not exist: Final Order Issued Entered Date.
66
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
Business
Rule ID
(Req ID)
Business Rules
Error/
Warning
Code
FEA-287 For Administrative Formal Enforcement Actions, Final FEA580
Order Issued/Entered Date must exist if multiple Final
Orders exist for the Enforcement Action.
Error/Warning Message
Applicable
Transaction
Types
For Final Order <Final Order Identifier value>, Final Order Issued R
Entered Date must exist for an Administrative Formal Enforcement
Action Final Order if multiple Final Orders exist for the Enforcement
Action.
Note: This error message is issued once for each Final Order.
FEA-289 Final Order Issued/Entered Date must be less than or FEA590
equal to the current date.
For Final Order <Final Order Identifier value>, Final Order Issued
Entered Date <Final Order Issued Entered Date value> must be
less than or equal to the current date <current date value> for the
Final Order.
R
Note: This error message is issued once for each Final Order.
FEA-290 If the Air Resolved Date exists for a Final Order, then FEA1290
Final Order Issued/Entered Date must be less than or
equal to the Air Resolved Date for the Final Order.
For Final Order <Final Order Identifier value>, Final Order Issued R
Entered Date <Final Order Issued Entered Date value> must be
less than or equal to Air Resolved Date <Air Resolved Date value>
for the Final Order.
Note: This error message is issued once for each Final Order.
FEA-291 Final Order Issued/Entered Date for a Final Order must FEA1291
be less than or equal to the Actual Date of any
Enforcement Action Milestone that succeeds the Final
Order Issued/Entered Milestone in the ordered list of
Milestones, with the exception of Air Resolved.
For Final Order <Final Order Identifier value>, Final Order Issued R-C
Entered Date <Final Order Issued Entered Date value> must be
less than or equal to the Actual Date of any Enforcement Action
Milestone that succeeds Final Order Issued/Entered in the ordered
list of Milestones, with the exception of Air Resolved.
Note: This error message is issued once for each Final Order.
FEA-292 Final Order Issued/Entered Date for a Final Order must FEA620
be greater than or equal to the Actual Date of any
Enforcement Action Milestone that precedes the Final
Order Issued Milestone in the ordered list of
Milestones, with the exception of Enforcement Action
Data Entered.
For Final Order <Final Order Identifier value>, Final Order Issued R-C
Entered Date <Final Order Issued Entered Date value> must be
greater than or equal to the Actual Date of any Enforcement Action
Milestone that precedes Final Order Issued in the ordered list of
Milestones, with the exception of Enforcement Action Data Entered.
Note: This error message is issued once for each Final Order.
Final Order Lodged Date
ICIS-Air EDT Delegated Agency Formal Enforcement Action and Milestone
67
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
Business
Rule ID
(Req ID)
Business Rules
Error/
Warning
Code
FEA-323 For Judicial Enforcement Actions, Final Order
FEA323
Issued/Entered Date must be greater than or equal to
the Final Order Lodged Date.
Error/Warning Message
For Final Order <Final Order Identifier value>, Final Order Issued
Entered Date <Final Order Issued Entered Date value> must be
greater than or equal to Final Order Lodged Date <Final Order
Lodged Date value> for the Final Order.
Applicable
Transaction
Types
R
Note: This error message is issued once for each Final Order.
FEA-324 For Judicial Enforcement Actions, Final Order Lodged FEA324
Date must be less than or equal to the current date.
For Final Order <Final Order Identifier value>, Final Order Lodged R
Date <Final Order Lodged Date value> must be less than or equal
to the current date <current date value> for the Final Order.
Note: This error message is issued once for each Final Order.
FEA-325 For Judicial Enforcement Actions, Final Order Lodged FEA325
Date for a Final Order must be less than or equal to
the Actual Date of any Enforcement Action Milestone
that succeeds the Final Order Lodged Milestone in the
ordered list of Milestones, with the exception of Final
Order Issued/Entered and Air Resolved.
For Final Order <Final Order Identifier value>, Final Order Lodged R-C
Date <Final Order Lodged Date value> must be less than or equal
to the Actual Date of any Enforcement Action Milestone that
succeeds Final Order Lodged in the ordered list of Milestones, with
the exception of Final Order Issued Entered and Air Resolved.
Note: This error message is issued once for each Final Order.
FEA-326 For Judicial Enforcement Actions, Final Order Lodged FEA326
Date must be less than or equal to the Air Resolved
Date if submitted.
For Final Order <Final Order Identifier value>, Final Order Lodged R
Date <Final Order Lodged Date value> must be less than or equal
to Air Resolved Date <Air Resolved Date value> for the Final
Order.
Note: This error message is issued once for each Final Order.
FEA-328 Final Order Lodged Date cannot be submitted for
Administrative Formal Enforcement Actions.
FEA328
For Final Order <Final Order Identifier value>, Final Lodged Date R
cannot be submitted because the Enforcement Action is considered
an Administrative Formal Enforcement Action.
FEA1293
For Final Order <Final Order Identifier value>, Air Resolved Date R
<Air Resolved Date value> of the Final Order must be less than or
equal to the current date <current date value>.
Final Order Air Resolved Date
FEA-293 Air Resolved Date for the Final Order must be less
than or equal to the current date.
Note: This error message is issued once for each Final Order.
ICIS-Air EDT Delegated Agency Formal Enforcement Action and Milestone
68
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
Business
Rule ID
(Req ID)
Business Rules
Error/
Warning
Code
FEA-294 If the Enforcement Action Closed Milestone Actual
FEA1294
Date exists, Air Resolved date for the Final Order must
be less than or equal to the Enforcement Action
Closed Milestone Actual Date.
Error/Warning Message
Applicable
Transaction
Types
For Final Order <Final Order Identifier value>, Air Resolved Date R-C
<Air Resolved Date value> of the Final Order must be less than or
equal to the Enforcement Action Closed Milestone Actual Date.
Note: This error message is issued once for each Final Order.
FEA-295 Air Resolved Date for a Final Order must be greater
than or equal to the Actual Date of any Enforcement
Action Milestones that precedes the Air Resolved
Milestone in the ordered list of Milestones, with the
exception of Enforcement Action Data Entered and
Final Order Issued/Entered.
FEA1295
For Final Order <Final Order Identifier value>, Air Resolved Date R-C
<Air Resolved Date value> must be greater than or equal the
Actual Date of any Enforcement Action Milestone that precedes Air
Resolved in the ordered list of Milestones, with the exception of
Enforcement Action Data Entered and Final Order Issued/Entered.
Note: This error message is issued once for each Final Order.
Demand for Stipulated Penalty Data
FEA-332 Demand for Stipulated Penalty Paid Date must be less FEA332
than or equal to the current date.
The Demand for Stipulated Penalty Paid Date <Demand Stipulated R
Penalty Paid Date value> must be less than or equal to the current
date.
FEA-331 Asterisks must be entered in all required tags to blank FEA331
out all Demand for Stipulated Penalty data. If asterisks
are only entered in some required tags and values are
entered in other required tags, the transaction will be
rejected.
For one or more Demand for Stipulated Penalty data, both
asterisks and values were entered in the required tags. The
required tags must contain either all asterisks or all values.
R
Enforcement Action Agency Data
FEA-296 Enforcement Agency Type must be a valid (i.e., Active) FEA770
code in the REF_AGENCY_TYPE table with
activity_group_code = EFA (Enforcement Action).
Enforcement Agency Type Code <Enforcement Agency Type Code R
value 1, Enforcement Agency Type Code value 2,… Enforcement
Agency Type Code value n> is inactive or invalid in the ICIS
Reference Table.
FEA-298 Lead Agency must be a valid (i.e., Active) code with an FEA1298
Activity_Group_Code = EFA in the
REF_AGENCY_TYPE table.
Lead Agency Code <Lead Agency Code value> does not have an R
Activity Group Code of EFA (Enforcement Action), does not exist,
or is inactive in the ICIS reference table.
Enforcement Action Government Contacts
FEA-299 The Government Contact identified by Email Address GC010
must exist in ICIS.
ICIS-Air EDT Delegated Agency Formal Enforcement Action and Milestone
The Government Contact(s) identified by Electronic Address Text R
<Electronic Address Text value 1, Electronic Address Text value 2,
… Electronic Address Text value n> does not exist in ICIS.
69
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
Business
Rule ID
(Req ID)
Business Rules
FEA-300 For Government Contact, the Affiliation Type Code
must be a valid (i.e., Active) code with an
affiliation_category of Government in the
REF_AFFILIATION_TYPE table.
Error/
Warning
Code
Error/Warning Message
Applicable
Transaction
Types
R
GC020
Affiliation Type Text <Affiliation Type Text value 1, Affiliation 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.
FEA-301 For Government Contact, the Affiliation Type must
GC030
have an app_module_code = SEA (State Enforcement
Action) in the XREF_AFFILIATION_MODULE table.
Affiliation Type Text <Affiliation Type Text value 1, Affiliation Type
Text value 2,… Affiliation Type Text value n> is not valid for
<Submission Type value>.
R
FEA-302 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).
Only one Government Contact with Affiliation Type Text of LEA
(Lead EPA Attorney) can be Active for an Enforcement Action at
any one time.
R
FEA-303 Asterisks must be entered in all required Government GC050
Contact tags (Email Address and Affiliation Type) to
blank 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.
For one or more Government Contacts, both asterisks and values
were entered in the required tags. The required tags must contain
either all asterisks or all values.
R
FEA-304 Government Contact End Date of Association must be GC060
greater than the Government Contact Start Date of
Association.
End Date Of Contact Association <End Date Of Contact
R
Association value> must be greater than the Start Date Of Contact
Association <Start Date Of Contact Association value>.
GC040
Note: This error message is issued once for each Government
Contact.
Air Case File Background Processing
FEA-320 If Identify Linked Pathway Activities and Set Case File FEA1318
Status Type Background Processing does not
complete successfully, the XML transaction will not be
saved.
An error has occurred while processing the data for this Air
R-C, X
Delegated Agency Formal Enforcement Action transaction. No data
were saved for this Air Delegated Agency Formal Enforcement
Action, and the XML transaction must be resubmitted.
Table 2.6-2: Air DA Enforcement Action Milestone Business Rules
Busines
s Rule ID
(Req ID)
Business Rules
Error/
Warning
Code
FEA-305 Transaction Type must be valid for Enforcement
BAT010
Action Milestones. The only valid Transaction Type is
R (Replace).
ICIS-Air EDT Delegated Agency Formal Enforcement Action and Milestone
Error/Warning Message
Transaction Type <Transaction Type value> is not valid for
<Submission Type value>.
Applicable
Transaction
Types
R
70
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
Busines
s Rule ID
(Req ID)
Business Rules
Error/
Warning
Code
Error/Warning Message
Applicable
Transaction
Types
FEA-306 User must have privileges to perform the transaction. BAT020
This relates to specific roles, access level (HQ,
specific region, specific state), and sensitive data
privileges.
Note: ICIS does not have EDT-specific privileges. The
privileges for EDT and Web access are the same.
User <ID value> does not have privileges to perform a
<Transaction Type value> <Submission Type value> transaction.
FEA-307 The Air DA Enforcement Action Milestone identified by EAM307
the combination of Air DA Enforcement Action
Identifier and Milestone Type Code entered must exist
in ICIS.
An Air DA Enforcement Action Milestone does not exist for the key R
data entered.
FEA-308 The Air DA Enforcement Action Identifier must
EAM308
represent an Air State or LCON Administrative Formal
Enforcement Action or an Air State or LCON Judicial
Enforcement Action.
Air DA Enforcement Action Identifier is not an Air State/LCON
Administrative Formal Enforcement Action or an Air State/LCON
Judicial Enforcement Action.
R
FEA-309 For a Judicial Formal Enforcement Action, Milestone EAM070
Type Code must be one of the following:

RSAGJ (Referred to State Attorney General
or Equivalent)

CMF (Complaint Filed with Court)

CLOSE (Enforcement Action Closed)
Note: these codes have an editable_flag = Y in the
REF_SUB_ACTIVITY_TYPE table.
Milestone Type Code is not editable for a Judicial Formal
Enforcement Action.
R
FEA-310 For an Administrative Formal Enforcement Action,
Milestone Type Code must be one of the following:

CPOA (Complaint Filed/Proposed Order)

CLSA (Enforcement Action Closed)
Note: these codes have an editable_flag = Y in the
REF_SUB_ACTIVITY_TYPE table.
EAM080
Milestone Type Code is not editable for an Administrative Formal
Enforcement Action.
R
FEA-311 Actual Date must be less than or equal to the current
date.
EAM090
Milestone Actual Date <Enforcement Milestone Actual Date value> R
must be less than or equal to the current date <current date
value>.
FEA-312 Actual Date must be less than or equal to the Actual
Date of each Enforcement Action Milestone that
succeeds it in the ordered list of Milestones.
EAM100
Milestone Actual Date <Milestone Actual Date value> must be less R
than or equal to the succeeding Milestone’s Actual Date:
<succeeding Milestone Type Code value (Milestone Type
Description value), succeeding Milestone Actual Date value>.
ICIS-Air EDT Delegated Agency Formal Enforcement Action and Milestone
R
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OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
Busines
s Rule ID
(Req ID)
Business Rules
Error/
Warning
Code
Error/Warning Message
Applicable
Transaction
Types
FEA-313 Actual Date must be greater than or equal to the
EAM110
Actual Date of each Enforcement Action Milestone that
precedes it in the ordered list of Milestones except for
Enforcement Action Data Entered.
Milestone Actual Date <Milestone Actual Date value> must be
greater than or equal to the preceding Milestone’s Actual Date:
<preceding Milestone Type Code value (Milestone Type
Description value), preceding Milestone Actual Date value>.
R
FEA-314 The Complaint Filed/Proposed Order Actual Date must EAM314
be less than or equal to both the Final Order Issued
Date and the Air Resolved Date of each Final Order
included in the Enforcement Action.
The Complaint Filed/Proposed Order Milestone Actual Date
<Milestone Actual Date value> must be less than or equal to both
the Final Order Issued Date and the Air Resolved Date of each
Final Order for the Enforcement Action.
R
FEA-315 The Enforcement Action Closed Actual Date must be EAM315
greater than or equal to both the Final Order
Issued/Entered Dated and the Air Resolved Date of
each Final Order that is linked to the current
Enforcement Action.
The Enforcement Action Closed Milestone Actual Date <Milestone R
Actual Date value> must be greater than or equal to both the Final
Order Issued/Entered Date and the Air Resolved Date of each
Final Order for the Enforcement Action.
FEA-316 The Complaint Filed With Court Actual Date must be
less than or equal to both the Final Order Entered
Date and the Air Resolved Date of each Final Order
included in the Enforcement Action.
EAM316
The Complaint Filed With Court Milestone Actual Date <Milestone R
Actual Date value> must be less than or equal to both the Final
Order Entered Date and the Air Resolved Date of each Final Order
for the Enforcement Action.
FEA-317 The Complaint Filed/Proposed Order Actual Date
EAM150
cannot be deleted when a Final Order exists for the
Enforcement Action and the Final Order Issued Date is
blank.
The Complaint Filed/Proposed Order Milestone Actual Date cannot R
be deleted when a Final Order exists for Enforcement Action and
the Final Order Issued Date is blank/null.
FEA-327 The Complaint Filed With Court Actual Date cannot be EAM327
deleted when a Final Order exists for the Enforcement
Action and the Final Order Lodged Date has been
entered for at least one Final Order.
The Complaint Filed With Court Actual Date cannot be deleted
R
when a Final Order exists for the Enforcement Action and the Final
Order Lodged Date has been entered for at least one Final Order.
Air Case File Background Processing
FEA-321 If Identify Linked Pathway Activities and Set Case File EAM319
Status Type Background Processing does not
complete successfully, the XML transaction will not be
saved.
ICIS-Air EDT Delegated Agency Formal Enforcement Action and Milestone
An error has occurred while processing the data for this Air
Delegated Agency Milestone transaction. No data were saved for
this Air Delegated Agency Milestone, and the XML transaction
must be resubmitted.
R
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OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
3. DATA ELEMENT MAPPING
The mapping between XML Tag Name, ICIS Screen Name, and ICIS Database Name is shown below in Table 3-1: EDT Air DA
Formal Enforcement Action Data Element Mapping and Table 3-2: EDT Air DA Enforcement Action Milestone Data Element
Mapping. The table is organized according to the order in which tags are listed in the Air Delegated Agency Formal Enforcement
Action schema.
Table 3-1: EDT Air DA Formal Enforcement Action Data Element Mapping
XML Tag Name
XML Data Type
New or
Existing
ICIS Tag
ICIS Screen Name
ICIS Database Name
Air DA Enforcement Action Key Data
AirDAEnforcementActio icis:StringMin7Max25TypeBase
nIdentifier
New
Enforcement Action
Identifier
icis_enforcement.enf_identifier
New
Programmatic ID
icis_facility_interest.pgm_sys_id
Existing
Enforcement Action
Name
icis_enforcement.enf_name
icis_activity.activity_name
Existing
Forum
Icis_activity.activity_type_code
Existing
Enforcement Action
Type
xref_enf_type.enf_type_code
ProgramsViolatedCode icis:StringMin1Max9TypeBase
Existing
Programs Violated
xref_activity_program.program_code
OtherProgramDescriptio icis:StringMin1Max100Type
nText
New
Program Description
ICIS_Activity.Other_Program_Text
Existing
Enforcement Action
Resolution Type
icis_enforcement.enf_outcome_code
Enforcement Action Linked Facilities
AirFacilityIdentifier
icis:String18FixedTypeBase
Enforcement Action Name
EnforcementActionNam icis:StringMin1Max100Type
e
Forum
Forum
Icis:ForumType
Enforcement Action Type
EnforcementActionType icis:StringMin1Max7TypeBase
Code
Enforcement Action Programs Violated
Enforcement Action Resolution Data
ResolutionTypeCode
icis:StringMin1Max3Type
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OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
XML Tag Name
XML Data Type
AirDACombinedSuperse icis:StringMin1Max25Type
dedEAID
New or
Existing
ICIS Tag
ICIS Screen Name
ICIS Database Name
Existing
Combined with /
Superseded by
Enforcement Action
Identifier
icis_related_enf.related_activity_id
Existing
Reason for deleting
Enforcement Action
icis_enforcement_aud.delete_reason
FormalEAUserDefinedFi icis:YesNoIndicatorType
eld1
Existing
1
icis_regional_data.string1
FormalEAUserDefinedFi icis:StringMin1Max50Type
eld2
Existing
2
icis_regional_data.string2
FormalEAUserDefinedFi icis:StringMin1Max50Type
eld3
Existing
3
icis_regional_data.string3
FormalEAUserDefinedFi icis:DateType
eld4
Existing
4
icis_regional_data.date1
FormalEAUserDefinedFi icis:DateType
eld5
Existing
5
icis_regional_data.date2
FormalEAUserDefinedFi icis:StringMin1Max4000Type
eld6
Existing
6
icis_regional_data.string4
icis:IntegerRange1To99999Type
Existing
Final Order ID
icis_enf_conclusion.enf_conclusion_nmbr
icis:StringMin1Max3TypeBase
Existing
Type
icis_enf_conclusion.enf_conclusion_action_c
ode
New
Programmatic ID
icis_facility_interest.pgm_sys_id
FinalOrderLodgedDate icis:DateType
New
Final Order Lodged Date icis_enf_conclusion.settlement_lodged_date
FinalOrderIssuedEntere icis:DateType
dDate
Existing
Final Order Issued Date icis_enf_conclusion.settlement_entered_dat
Final Order Entered Date e
Enforcement Action Delete Confirmation
ReasonDeletingRecord icis:StringMin1Max500Type
Enforcement Action User Defined Fields
Final Order Identifier
FinalOrderIdentifier
Final Order Type
FinalOrderTypeCode
Final Order Linked Facilities
FinalOrderAirFacilityIden icis:String18FixedTypeBase
tifier
Final Order Dates
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OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
XML Tag Name
XML Data Type
AirEnforcementActionRe icis:DateType
solvedDate
New or
Existing
ICIS Tag
New
ICIS Screen Name
ICIS Database Name
Air Resolved Date
icis_enf_conclusion.air_resolution_date
Cash Civil Penalty
Amount Required-By
Statute
icis_penalty.penalty_required_amt
Other Comments
icis_enf_conclusion.enf_conclusion_text
DemandStipulatedPenal icis:DecimalRange0To9999999999 New
tyAmount
99.99Type
Demand for Stipulated
Penalty Amount
xref_enf_concl_stip_penalty.stipulated_pena
lty_amt
DemandStipulatedPenal icis:DateType
tyPaidDate
New
Demand for Stipulated
Penalty Date Paid
xref_enf_concl_stip_penalty.stipulated_pena
lty_paid_date
New
Lead Agency
icis_activity.air_lead_agency_type_code
EnforcementAgencyTyp icis:StringMin1Max3Type
eCode
Existing
Enforcement Agency
Type
xref_activity_agency_type.agency_type_cod
e
EnforcementAgencyNa icis:StringMin1Max100Type
me
Existing
Enforcement Agency
Name
icis_enforcement.agency_name
Final Order Penalty Data
CashCivilPenaltyRequir icis:DecimalRange0To9999999999 Existing
edAmount
99.99Type
Final Order Comments
OtherComments
icis:StringMin1Max4000Type
Existing
Demand for Stipulated Penalty
Enforcement Action Agency Data
LeadAgencyCode
icis:StringMin1Max3Type
Enforcement Action Government Contacts
AffiliationTypeText
icis:StringMin1Max3Type
Existing
Affiliation Type
xref_activity_person.affiliation_type_code
ElectronicAddressText
icis:StringMin1Max100Type
Existing
Email Address
icis_person_electronic_address.electronic_a
ddress_text
StartDateOfContactAsso Icis:DateType
ciation
Existing
Start Date of Association xref_activity_person.begin_date
EndDateOfContactAsso Icis:DateType
ciation
Existing
End Date of Association xref_activity_person.end_date
New
Other Agency Initiative
icis_activity.other_agency_initiative_text
Pollutants Involved
xref_activity_pollutant.pollutant_code
Other Air DA Enforcement Action
OtherAgencyInitiativeTe icis:StringMin1Max200Type
xt
AirPollutantCode
icis:NonNegativeIntegerMin1Max10 Existing
Type
ICIS-Air EDT Delegated Agency Formal Enforcement Action and Milestone
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OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
XML Tag Name
XML Data Type
New or
Existing
ICIS Tag
ICIS Screen Name
ICIS Database Name
EnforcementActionCom icis:StringMin1Max4000Type
mentText
New
Comments
icis_activity_comment.comment_text
and
icis_activity_comment.comment_type_code
is blank
SensitiveCommentText icis:StringMin1Max4000Type
New
Sensitive Comments
icis_activity_comment.comment_text
and
icis_activity_comment.comment_type_code=
STC (State sensitive comment) or LCC
(LCON sensitive comment)
Table 3-2: EDT Air DA Enforcement Action Milestone Data Element Mapping
XML Tag Name
XML Data Type
New or
Existing
ICIS Tag
ICIS Screen Name
ICIS Database Name
Air DA Enforcement Action Milestone Key data
AirDAEnforcementActio icis:StringMin7Max25TypeBase
nIdentifier
New
Enforcement Action
icis_enforcement.enf_identifier
MilestoneTypeCode
Existing
Milestone
icis_sub_activity.sub_activity_type_code
icis:StringMin1Max5TypeBase
Air DA Enforcement Action Milestone data
MilestonePlannedDate
icis:DateType
Existing
Planned Date
icis_sub_activity.planned_date
MilestoneActualDate
icis:DateType
Existing
Actual Date
icis_sub_activity.actual_date
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OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
4. XML SCHEMA
The following sections of the ICIS XML schema are related to the Air DA Formal Enforcement
Action Submission Type:
•
•
•
•
•
•
ICIS_AirDAFormalEnforcementAction.xsd
ICIS_Common.xsd
ICIS_EnforcementAction.xsd
ICIS_FormalEnforcementAction.xsd
ICIS_Header.xsd
ICIS_KeyElements.xsd
The following sections of the ICIS XML schema are related to the Air DA Enforcement Action
Milestone Submission Type:
•
•
•
•
•
ICIS_AirDAEnforcmentActionMilestone.xsd
ICIS_Common.xsd
ICIS_EnforcementActionMilestone.xsd
ICIS_Header.xsd
ICIS_KeyElements.xsd
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OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
APPENDIX A: ACRONYMS
Table A-1: Acronym List
Acronym
Definition
CAA
Clean Air Act
CDX
Central Data Exchange
DA
Delegated Agency
DB
Database
DOJ
Department of Justice
EA
Enforcement Action
EDT
Electronic Data Transfer
EPA
Environmental Protection Agency
GUI
Graphic User Interface
ICIS
Integrated Compliance Information System
LCON
Local Control Agency
OECA
Office of Enforcement & Compliance Assurance
XML
Extensible Markup Language
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OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
APPENDIX B: XML SAMPLE SUBMISSION
B.1: Air DA Formal Enforcement Action XML Submission Sample
<?xml version="1.0" encoding="UTF-8"?>
<Document xmlns=“http://www.exchangenetwork.net/schema/icis/5” xmlns:xsi=“http://www.w3.org/2001/XMLSchema-instance”>
<Header>
<Id>UUStaffer1</Id>
<Author>Jane Doe</Author>
<Organization>UU Department of Environmental Protection</Organization>
<Title>Air DA Formal Enforcement Action Submission</Title>
<CreationTime>2001-12-17T09:30:47.0Z</CreationTime>
<Comment>2nd resubmittal of rejected transactions from May submission</Comment>
<DataService>ICIS-Air</DataService>
<ContactInfo>123 Main Street, Anytown UU, 00555, (888) 555-1212, [email protected]</ContactInfo>
<Property>
<name>e-mail</name>
<value>[email protected]</value>
</Property>
</Header>
<Payload Operation="AirDAFormalEnforcementActionSubmission">
<AirDAFormalEnforcementActionData>
<TransactionHeader>
<TransactionType>R</TransactionType>
<TransactionTimestamp>2001-12-17T09:30:47.0Z</TransactionTimestamp>
</TransactionHeader>
<AirDAFormalEnforcementAction>
<AirDAEnforcementActionIdentifier>NJ000A0123456789012345</AirDAEnforcementActionIdentifier>
<AirFacilityIdentifier>NJ000A000000000001</AirFacilityIdentifier>
<EnforcementActionName>Acme Industries lawsuit</EnforcementActionName>
<Forum>AFR</Forum>
<EnforcementActionTypeCode>SCAAAPO</EnforcementActionTypeCode>
<ProgramsViolatedCode>CAACSO</ProgramsViolatedCode>
<OtherProgramDescriptionText>Other</OtherProgramDescriptionText>
<ResolutionTypeCode>ESU</ResolutionTypeCode>
<AirDACombinedSupersededEAID>AL-333-123456789012345</AirDACombinedSupersededEAID>
<FormalEAUserDefinedField1>Y</FormalEAUserDefinedField1>
<FormalEAUserDefinedField2>Special use</FormalEAUserDefinedField2>
<FormalEAUserDefinedField3>Special use</FormalEAUserDefinedField3>
<FormalEAUserDefinedField4>2005-12-31</FormalEAUserDefinedField4>
<FormalEAUserDefinedField5>2005-12-31</FormalEAUserDefinedField5>
<FormalEAUserDefinedField6>Special use</FormalEAUserDefinedField6>
<AirDAFinalOrder>
<FinalOrderIdentifier>1</FinalOrderIdentifier>
<FinalOrderTypeCode>APO</FinalOrderTypeCode>
<FinalOrderAirFacilityIdentifier>NJ000A000000000001</FinalOrderAirFacilityIdentifier>
<FinalOrderLodgedDate>2009-11-30</ FinalOrderLodgedDate>
<FinalOrderIssuedEnteredDate>2005-12-31</FinalOrderIssuedEnteredDate>
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<AirResolvedDate>2006-12-31</AirResolvedDate>
<CashCivilPenaltyRequiredAmount>15000</CashCivilPenaltyRequiredAmount>
<OtherComments>Special use</OtherComments>
<DemandStipulatedPenaltyData>
<DemandStipulatedPenaltyAmount>25000</DemandStipulatedPenaltyAmount>
<DemandStipulatedPenaltyPaidDate>2008-12-31</DemandStipulatedPenaltyPaidDate>
</DemandStipulatedPenaltyData>
</AirDAFinalOrder>
<LeadAgencyCode>STA</LeadAgencyCode>
<EnforcementAgencyTypeCode>ST4</EnforcementAgencyTypeCode>
<EnforcementAgencyName>New Jersey DEM</EnforcementAgencyName>
<EnforcementActionGovernmentContact>
<AffiliationTypeText>LTC</AffiliationTypeText>
<ElectronicAddressText>[email protected]</ElectronicAddressText>
<StartDateOfContactAssociation>2005-12-31</StartDateOfContactAssociation>
<EndDateOfContactAssociation>2006-12-31</EndDateOfContactAssociation>
</EnforcementActionGovernmentContact>
<OtherAgencyInitiativeText>NJ Initiative</OtherAgencyInitiativeText>
<AirPollutantCode>12345</AirPollutantCode>
<EnforcementActionCommentText>Comment</EnforcementActionCommentText>
<SensitiveCommentText>Comment</SensitiveCommentText>
</AirDAFormalEnforcementAction>
</AirDAFormalEnforcementActionData>
</Payload>
</Document>
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OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE
B.2: Air DA Enforcement Action Milestone XML Submission Sample
<?xml version="1.0" encoding="UTF-8"?>
<Document xmlns=“http://www.exchangenetwork.net/schema/icis/5” xmlns:xsi=“http://www.w3.org/2001/XMLSchema-instance”>
<Header>
<Id>UUStaffer1</Id>
<Author>Jane Doe</Author>
<Organization>UU Department of Environmental Protection</Organization>
<Title>Subactivity Submission</Title>
<CreationTime>2001-12-17T09:30:47.0Z</CreationTime>
<Comment>2nd resubmittal of rejected transactions from May submission</Comment>
<DataService>ICIS-Air</DataService>
<ContactInfo>123 Main Street, Anytown UU, 00555, (888) 555-1212, [email protected]</ContactInfo>
<Property>
<name>e-mail</name>
<value>[email protected]</value>
</Property>
</Header>
<Payload Operation="AirDAEnforcementActionMilestoneSubmission">
<AirDAEnforcementActionMilestoneData>
<TransactionHeader>
<TransactionType>R</TransactionType>
<TransactionTimestamp>2001-12-17T09:30:47.0Z</TransactionTimestamp>
</TransactionHeader>
<AirDAEnforcementActionMilestone>
<AirDAEnforcementActionIdentifier>AL000A0123456789012345</AirDAEnforcementActionIdentifier>
<MilestoneTypeCode>ACLSJ</MilestoneTypeCode>
<MilestonePlannedDate>2005-12-31</MilestonePlannedDate>
<MilestoneActualDate>2005-12-31</MilestoneActualDate>
</AirDAEnforcementActionMilestone>
</AirDAEnforcementActionMilestoneData>
</Payload>
</Document>
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