# Development of CDX Workflow for Electronic Toxic Substances Control Act (eTSCA) Submissions
Draft User Guide
Version 1.0

November 13, 2008 

# U.S. Environmental Protection Agency Central Data Exchange (CDX)U.S. EPA CDX Draft User Guide

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# Table of Contents

Section 1. Introduction ........................................................................................................ ....1-1 1.1 Background..................................................................................................................1-1 1.2 Scope.......................................................................................................................... .1-1 Section 2. System High Level Overview ................................................................................2-1 Section 3. Web CDX Registration Steps ................................................................................3-1 Section 4. User Certificate and Key Pair Generation............................................................4-1
Section 5. Data Submission....................................................................................................5 -1 Section 6. Download Reports .................................................................................................6-1 Section 7. Transaction History ...............................................................................................7- 1 Section 8. Transaction Details................................................................................................8 -1 Abbreviations and Acronyms ....................................................................................................1U.S. EPA CDX Draft User Guide

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# Section 1. Introduction This document presents the user guide for the U. S. Environmental Protection Agency’s (EPA's) Office of Prevention, Pesticides, and Toxic Subs tances (OPPTS) / Office of Pollution Prevention and Toxics (OPPT), and Central Data Exchange (CDX ) Electronic Toxic Substances Control Act (eTSCA) Submissions data flow that provides se rvice for 30 different types of Toxic Substances Control Act (TSCA) submissions through EPA’s CDX system. 

# 1.1 Background The purpose of this system is to provide secu re electronic submission and receipt of eTSCA submissions. Industries can submit the encrypted and signed data through CDX to the OPPT environment in the Enterprise Content Management System (ECMS). OPPT analysts obtain the data from ECMS and use it in a workflow process. The eTSCA application facilitates the receipt and storage of eTSCA-related submissions into the ECMS. 

# 1.2 Scope The eTSCA User Guide provides the user with the information that she/he need to know about Registration for CDX and Client use, as well as handling backup of the Encryption and Decryption Keys.U.S. EPA CDX Draft User Guide

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# Section 2. System High Level Overview The eTSCA system involves submission and distribution of eTSCA detail reports using the Web services capabilities and generic services of the CDX Node, Java Node Client, and eTSCA back-end node. The eTSCA system provides the following capabilities:

• Submitters can submit encrypted and signed eTSCA detail reports in Zip format via Web services to the CDX Node.

• The CDX Node validates the signature on the .zip file

• The CDX Node distributes eTSCA detail reports to the NCS Back-end Node via Web services.

• The NCS Back-end Node accepts the eTSCA detail report and validates the signature, decrypts the document, unzips it, processes it, and loads it to the Documentum system.

• The NCS Back-end Node notifies the CDX Node of the document processing outcome.

• The NCS Back-end Node submits the copy of records for all received documents to the CDX Node.

• The CDX Node provides the status of the transaction to the Client via Web services and e-mails.

• The CDX Node provides the Copy of Record (CoR) to the Client via Web services.

• The Node Client provides an ability to decrypt the CoR.

• The Node Client provides an ability to submit Support documents via submit Web services.

• The Node Client provides an ability to download documents from the CDX Node via download Web services.

• The CDX Node distributes Support documents to the NCS Back-end Node.

• The NCS Back-end Node submits documents c ontaining a Submission Report Number (SRN document) to the CDX Node via submit Web services.

• The NCS Backend Node submits document containing a Pre-manufacturing Notice (PMN) Case Number to the CDX Node via submit Web services.

• The CDX Node provides the status of documents downloaded to the NCS Back-end Node via query Web services.U.S. EPA CDX Draft User Guide

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# Section 3. Web CDX Registration Steps The following section describes CDX Web registration process for an eTSCA submitter. All CDX Web users enter the system through the CDX Web Home page as shown in Figure 3-1.

Figure 3-1. CDX Web Home PageU.S. EPA CDX Draft User Guide

3-2 New users click on a “Registration” link to start a registration wizard. A warning notice will be displayed as shown in Figure 3-2.

Figure 3-2. CDX Web Warning Notice and Privacy StatementU.S. EPA CDX Draft User Guide

3-3 The user clicks on the continue option to start the registration process. This action will display terms and conditions agreement form as shown in Figure 3-3.

Figure 3-3. Terms & Conditions Agreement Form The user can accept the terms and conditions by clicking the “I Accept” button or cancel the registration by clicking the “I Decline” button.U.S. EPA CDX Draft User Guide

3-4 Once the user has accepted the registration agreement, he or she will be redirected to the personal information form as shown in Figure 3-4.

Figure 3-4. CDX Registration: User InformationU.S. EPA CDX Draft User Guide

3-5 After choosing a login, password and secret question, the user will be asked for his or her Organization information as shown in Figure 3-5.

Figure 3-5. CDX Registration: Organization InformationU.S. EPA CDX Draft User Guide

3-6 The user will have to provide his or her Organization name, address, e-mail, and phone number. Clicking the “Next” button will lead to the Add CDX Web Program page. On this page the user will be able to choose the “TSCA” dataflow as shown in Figure 3-6.

Figure 3-6. CDX Registration: Add ProgramU.S. EPA CDX Draft User Guide

3-7 After adding the “TSCA” program to the new us er account, the user will have to choose the “Submitter” role on the Add Program ID page as shown in Figure 3-7.

Figure 3-7. Add Program IDU.S. EPA CDX Draft User Guide

3-8 This will trigger the Electronic Signature agreement process as shown in Figure 3-8.

Figure 3-8. Create ESA Dialog The user clicks on the “Create ESA & Continue” button to proceed with the Electronic Signature Agreement (ESA) generation process. The resulting agreement form is shown in Figures 3-9, 3- 10, 3-11, and 3-12.U.S. EPA CDX Draft User Guide

3-9 Figure 3-9. Electronic Signature Agreement FormU.S. EPA CDX Draft User Guide

3-10 Figure 3-10. Electronic Signature Agreement Form (Cont’d)U.S. EPA CDX Draft User Guide

3-11 Figure 3-11. Electronic Signature Agreement Form (Cont’d)U.S. EPA CDX Draft User Guide

3-12 Figure 3-12. Electronic Signature Agreement Form (Cont’d)

The user will be asked to print the resulted ESA as part of the ESA procedure. This completes the initial user registration process.U.S. EPA CDX Draft User Guide

3-13 Figure 3-13. Registration Complete After hitting the Finished button, the user will be redirected to the CDX Web home page screen as shown in Figure 3-14.U.S. EPA CDX Draft User Guide

3-14 Figure 3-14. Empty CDX Web Home Page The user registration application will be reviewed by the eTSCA approver and if the user credentials are confirmed, the user will be notified via e-mail that his or her account has been activated. Figure 3-15 shows a sample e-mail.U.S. EPA CDX Draft User Guide

3-15 Figure 3-15. Registration approval email

The system will send a Registration status change notification email, requesting the user to relogin into the system and continue with user setup process.U.S. EPA CDX Draft User Guide

3-16 Figure 3-16. CDX Registration Status Change Upon receiving the approval letter, the user will be able to login to the CDX Web application as shown in Figure 3-17.U.S. EPA CDX Draft User Guide

3-17 Figure 3-17. Central Data Exchange LoginU.S. EPA CDX Draft User Guide

3-18 The first time a user logins into CDX Web, he or she will be asked to provide answers to 5 out of 20 questions. Each time the user enters CDX Web thereafter one of the answered questions will be used to confirm the identity of the submitter to satisfy the 20-5-1 CROMERR requirement. The questions are shown in Figure 3-18.

Figure 3-18. 20-5-1 CROMERR Questions PageU.S. EPA CDX Draft User Guide

3-19 A Confirmation Page will be displayed to a user after he or she have answered the verification questions and saved the desired answers, as shown in Figure 3-19.

Figure 3-19. Answers to Your eSIG-PIN QuestionsU.S. EPA CDX Draft User Guide

3-20 After the account has been activated, the user will have a “TSCA” program link on his or her CDX Web home page as shown in Figure 3-20.

Figure 3-20. TSCA Program LinkU.S. EPA CDX Draft User Guide

3-21 CDX Web will send a confirmation letter for 20-5-1 e-signature questions as shown in Figure 3- 21.

Figure 3-21. eSIG-PIN Questions Answered Confirmation LetterU.S. EPA CDX Draft User Guide

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# Section 4. User Certificate and Key Pair Generation A user certificate and Private/Public Key pair is used to digitally sign and encrypt the submitted documents, providing security protection for eTSCA submissions. The certificate and key pair will be automatically obtained by the Node Client di alog in the Report Tool after the first login. When the document submission function of report tool is accessed, the Node Client dialog login screen will be displayed as shown in Figure 4-1.

Figure 4-1. Node Client Login and Warning Notice On this screen the user will be presented with a warning notice, privacy statements and links to CDX Web resources for account management. The user enters his or her user name and password and chooses between the Production, Test, and Development environments. This choice will determine the destination for all document submissions and queries that will be performed through the Node Client during the current login session. After successful login, theU.S. EPA CDX Draft User Guide

4-2 user key pair and certificate will be created automatically and managed by the Node Client, without requiring user interaction. The Node Client stores the following data into a keystore under the user home directory:

• user ID

• user private key

• user certificate

• creation time The following file will be created: \<userHome>\ .<userId>-cromerr-keystore.jks Where <userHome> is a local user home directory (C:\Documents and Settings\myuser) and <userId> is an eTSCA user ID, registered with CDX Web. The user can copy this file to another safe location for backup, if desired.U.S. EPA CDX Draft User Guide

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# Section 5. Data Submission The user will prepare the desired document for submission using the Report Tool Node Client Submit dialog. Upon successful login, the following dialog will be presented to the user:

Figure 5-1. Submit Di alog, Before Submission The document path will be automatically populated fo r the user by the Report Tool. The user has the option to submit Original or Suppor t documents through this dialog. Support documents require a valid Transaction ID, corresponding to an original submission. The user can click on a “Submit File to Node” button to initiate the transaction. One of the 20-5-1 questions will be presented to the user to verify his or her identity.

Figure 5-2. 20-5-1 CROMERR Question The system will then encrypt the desired document with the Public key of the back-end server and transmit the encrypted document with related metadata to CDX. The CDX Transaction ID will be presented to the user on a submit dialog for the user’s reference.U.S. EPA CDX Draft User Guide

5-2 Figure 5-3. Document Submitted to CDX The user can click on a “Check Transaction Status” button to check the status of submitted document and download any document related reports. CDX will also send an email confirmation of the submission as shown in Figure 5-4.U.S. EPA CDX Draft User Guide

5-3 Figure 5-4. Submission Confirmation E-mailU.S. EPA CDX Draft User Guide

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# Section 6. Download Reports CDX will send notification e-mails (see Figure 6-1) in case any transaction related reports are available for download through the Node Client dialog of the Report Tool.

Figure 6-1. Report Notification E-mail The user can open the Node Client dialog and click on the eTSCA Document Download tab.U.S. EPA CDX Draft User Guide

6-2 Figure 6-2. Document Download tab The user can copy the transaction ID and a repor t name from an e-mail notification and click on the “Document Download” button. The system will attempt to download the requested file and decrypt it using the private key of the currently logged in user. The file save dialog will be presented to the user as shown in Figure 6-3.U.S. EPA CDX Draft User Guide

6-3 Figure 6-3. File Save Dialog All transaction related reports are also available for search and download through the transaction details dialog, discussed later in this guide.U.S. EPA CDX Draft User Guide

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# Section 7. Transaction History The transaction history search dialog will be presented to a user upon clicking the “ETSCA Transaction Search” tab as shown in Figure 7-1.

Figure 7-1. Transaction Search The user can search for a specific transaction within a given time period using transaction ID and/or status, or request a complete list of transactions during this time period. Transaction search results will be presented to the user in the “Transaction Search Results” panel.

Figure 7-2. Transaction Search ResultsU.S. EPA CDX Draft User Guide

7-2 Two buttons are available for each transaction; “Check Status” and “Details”. The Check Status button will refresh the status column of a given transaction with a new CDX status. This way the user can quickly check if a given transaction failed on the server. The Details button will open the transaction details dialog.U.S. EPA CDX Draft User Guide

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# Section 8. Transaction Details The Transaction Details dialog displays the detailed transaction information, including all of the documents and reports associated with the current transaction.

Figure 8-1. Transaction Details DialogU.S. EPA CDX Draft User Guide

8-2 The user can check the transaction status by clicking the “Check Status” button and can review the audit information by clicking on the “Audit Details” button as shown in Figure 8-2.

Figure 8-2. Audit Details dialog The user can close the dialog by clicking the “Done” button.U.S. EPA CDX Draft User Guide

8-3 The user can also download available reports by clicking the “Download” button related to a desired report. This will automatically initia te the download procedure. The document will get decrypted with the current user private key and the Save File dialog will be presented to a user. Reports can be saved on a local hard drive and accessed with the appropriate application.U.S. EPA CDX Draft User Guide

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# Abbreviations and Acronyms

Acronym/Term Definition CDX Central Data Exchange CoR Copy of Record ECMS Enterprise Content Management System EPA Environmental Protection Agency ESA Electronic Signature Agreement eTSCA Electronic Toxic Substances Control Act IE Internet Explorer OPPT Office of Pollution Prevention and Toxics OPPTS Office of Prevention, Pesticides, and Toxic Substances PMN Pre-manufacturing Notice SRN Submission Report Number SSL secure socket layer TSCA Toxic Substances Control Act UI user interface WSDL Web services description language