7/13/2011 U.S. Environmental Protection Agency

Electronic Reporting 

CWA Compliance Monitoring Data

Proof Of Concept

July 13, 2011, 10:30 – 12:00 EDT

Public Webinar announced June 23, 2011, FR: 2011-15642

Lucy Reed, Deputy Director, Enforcement Targeting Data Division

Carey Johnston, Enforcement Targeting Data Division 

Roy Chaudet, Technical Lead, Office of Environmental Information

Alison Kittle, Technical Lead, Integrated Compliance Information System
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Webinar Topics

• Purpose of the Webinar

• EPA’s vision of electronic reporting

– Why EPA is exploring electronic reporting

– Benefits of Third Party Software Provider Services

– Variety of Potential NPDES e-Reporting possibilities

• Scope of Proof of Concept

• Proof of Concept Schedule

• Expectations of Software Developers

• Technical requirements

– Exchange Network

– Integrated Compliance Information System (ICIS)

• Long Term Project Scope

• Questions
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Purpose of the Webinar

For interested parties:

• Inform you on EPA’s direction for electronic reporting

• Further convey and explain information in the 

Federal Register Notice: FR-2011-15642

• Answer your questions on this project

• Hear from you on your experience and or interest in 

this project
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Why is EPA Exploring Electronic Reporting?

• Allow EPA and states to focus resources on the most 

important environmental problems

• Improve data quality and completeness

• Improve transparency and public access to complete 

and timely data

Third Party Software providers are one potential

business model
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EPA’s Vision for Electronic Reporting

• Clean Water Act Action Plan: In July 2009 Administrator Jackson directed 

EPA’s Office of Enforcement and Compliance Assurance (OECA) to develop an 

action plan to enhance public transparency regarding clean water enforcement as 

part of EPA’s larger effort to enhance transparency, promote the public’s right to 

know about water quality and provide information on EPA’s actions to protect 

water under the Clean Water Act. 

• Proposed NPDES Electronic Reporting Rule: Will utilize current 

technology to ensure that facility-specific information is submitted to EPA on a 

nationally consistent, timely, accurate, and complete basis for national program 

management, oversight, and transparency. 

•This proposed regulation would require that most of this NPDES information be 

submitted electronically by the permittees.
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Benefits of Third Party Software Provider 

Services 

• EPA and states no longer have to be in the software 

development business

• Allows of the marketplace to innovate; and add value 

beyond what EPA can achieve on its own

• Potential for spurring growth in the private sector

• Regulated community has a voice in the interface 

software development process

• Reporting of compliance monitoring data can be 

easily integrated into existing data management 

systems
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Third Party Software Provider Proof of

Concept

Goal:

• Solicit interest and demonstrate software providers’ capability 

to meet EPA requirements for a third party e-DMR approach 

Scope:

• Technical Proof of Concept for e-DMR from third party 

software provider via CDX to ICIS-NPDES

• Will leverage Exchange Network services

• Will not address CROMERR requirements 

http://www.epa.gov/CROMERR/about.html (the legal framework for electronic reporting 

under all of the EPA’s environmental regulations)

• Will not include full production ICIS-NPDES functionality
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Proof of Concept Schedule

• Letters of Interest – July 27, 2011

– (specific requirements in FR-2011-15642)

• Selection of Proof of Concept Participants - August 

10, 2011

• Services/Connectivity (1st Test) with Vendors –

completed by August 31, 2011

• Technical training Webinar – September 7, 2011

• Software Provider Testing thru September 30, 2011

• Final Report - October 2011
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Questions

• If you have a question please hit #6 to 

un-mute yourself. 

• After you have asked your question 

please hit *6 to re-mute

Thank you
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Four Participant Polls

1. Are you currently supporting regulated facilities with electronic reporting tools?

Yes 

No

2. Has either a regulated entity or regulatory agency suggested providing this type of 

service?

Yes 

No

3. Are you interested in participating in this proof of concept?

Yes 

No

4. Do you have experience with exchanging data using XML and web services?

Yes

No
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Expectations of Software Vendors

CWA NPDES Program

• Knowledge of the NPDES program

• Experience assisting regulated entities or States 

with completion of DMR submissions

Technical Experience 

Ability to: 

1. Connect to Exchange Network Services

2. Exchange data using Node 2.0 Functional 

Specifications and Protocols

3. Use the language and formats designated 
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Submission Requirements

• Connect using https

• Submit files to an EPA Node using the published WSDL

• Support Trading Partners in Exchange Network data 

exchanges using Node 2.0 specifications

• Generate data in XML format

• Operate schema validation tools (to check the 

submission)

• Transfer files through CDX node on Exchange Network

• Check submission status with CDX and download 

processing results from CDX
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ICIS Processing Requirements

• Parse XML files of results returned by ICIS and 

display the information to the user

• Gather and store DMR data from facilities

• Determine due dates for measurements of 

regularly scheduled, quarterly, annual, and semiannual parameter limits

• Provide summarized monthly DMR data in the 

electronic format required by ICIS
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Questions

• If you have a question please hit #6 to un-mute 

yourself. 

• After you have asked your question please hit *6 

to re-mute

Thank you
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Long Term Project Scope

• FY2012 Proposed Activities:

– Consider lessons learned from Proof of Concept before moving forward

– Develop plan and requirements for implementing Agency ‘Open 

Platform e-file’ Model to include:

• FR Notice

• Webinars

– Address CROMERR requirements

– Consider support needed for Clean Water Act Action Plan and Proposed 

NPDES Electronic Reporting Rule

– Work closely with States and Regions in defining and meeting their 

reporting needs

• All FY2012 progress is funding dependent
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A Few More Participant Polls

Given the presence of POTW and industry registrants for the webinar, we’d like to ask you:

Do you use third-party commercial software to organize your Clean Water Act compliance monitoring data (e.g., 

DMRs, Program Reports)?

A - Yes

B - No (I use custom built tools like Microsoft Access or Excel)

C - No (I manage most of my data on paper)

D - No (I'm not a facility that needs to manage Clean Water Act compliance monitoring data)

Would you like to electronically prepare, sign and submit CWA compliance reports from commercial software?

A - Very Interested

B - Interested

C - Somewhat Interested

D - Not Interested

E - Not Applicable (I don't need to manage Clean Water Act compliance monitoring data)
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Next Steps

• Submit Letter of Interest – 7/27/11

(specific requirements in FR-2011-15642)

Send to: Ms. Lucy Reed, (Reed.Lucy@epa.gov)

Deputy Director, Enforcement Targeting and Data Division

Office of Compliance (mail code 2222A), 

Environmental Protection Agency, 

1200 Pennsylvania Avenue, NW., 

Washington, DC 20460

• Selection of Proof of Concept Participants – 8/10/11

• All letters of interest will be responded to by e-mail
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Contacts

• Roy Chaudet, 202-566-1703

Submission Requirements

• Alison Kittle, 202-564-6233

ICIS Requirements

• Rochele Kadish, 202-564-3106

General Project Information

• Carey Johnston, 202-566-1014

Documentation

Information and resources can be found at:

http://www.epa.gov/compliance/data/npdesefile/index.html
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Questions

• If you have a question please hit #6 to 

un-mute yourself. 

• After you have asked your question 

please hit *6 to re-mute

Thank you