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[Federal Register Volume 76, Number 121 (Thursday, June 23, 2011)]
[Notices]
[Pages 36919-36922]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2011-15642]

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ENVIRONMENTAL PROTECTION AGENCY

[EPA-HQ-OECA-2009-0274; FRL-9322-8]
[RIN 2020-AA47]

Proof of Concept Demonstration for Electronic Reporting of Clean 
Water Act Compliance Monitoring Data: Announcement of Meeting and 
Demonstration

AGENCY: Environmental Protection Agency (EPA).

ACTION: Notice.

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SUMMARY: The U.S. Environmental Protection Agency (EPA) will conduct a 
public webinar in order to inform interested parties about an 
opportunity to participate in a technical proof of concept 
demonstration for electronic reporting of Clean Water Act (CWA) 
National Pollutant Discharge Elimination System (NPDES) Discharge 
Monitoring Report (DMR) compliance monitoring data. This webinar will 
be held on Wednesday, July 13, 2011, from 10:30 a.m.-12 p.m. EDT.
    EPA announced on July 6, 2009, that it would develop a Clean Water 
Action Plan \1\ to enhance public transparency regarding clean water 
enforcement performance at Federal and state levels, to strengthen that 
performance, and to transform EPA's water quality and compliance 
information systems. A consensus suggestion across co-regulators and 
stakeholder groups was

[[Page 36920]]

to implement electronic reporting from facilities that are required to 
submit reports to a regulatory agency. To fully realize the 
transformation of reporting and data management into the 21st century, 
OECA is developing a rule to require NPDES permittees to provide a 
variety of environmental information electronically. EPA is exploring 
different electronic reporting options to enable NPDES regulated 
facilities to electronically submit their compliance monitoring data. 
EPA will conduct a technical proof of concept to demonstrate the 
electronic reporting of NPDES compliance monitoring data from regulated 
facilities via an `open platform e-file' electronic reporting option. 
The `open platform e-file' proof of concept demonstration will focus 
the electronic transmission of NPDES DMRs from a third-party commercial 
software provider (``provider'') to EPA. If EPA were to fully implement 
this option, any provider that meets the Agency's data exchange 
standards, protocols, and specifications would be able to offer 
electronic reporting services to the regulated community for the NPDES 
program (e.g., NPDES permitted facilities). This open platform model 
would likely be similar to the Internal Revenue Service (IRS) model for 
electronic reporting, which uses third-party software providers for tax 
data collection and transmission (e.g., TurboTax, TaxACT, or others [no 
endorsement intended or implied]) from private citizens and businesses. 
The Agency does not intend to purchase services from any provider. All 
financial transactions would be between the providers and members of 
the regulated community. EPA will conduct a public webinar to provide 
an overview of the ``open platform e-file option'' and to identify 
person(s) interested in participating in a proof of concept 
demonstration of the technical feasibility of this ``open platform e-
file option'' and to identify the specific system and process 
information necessary for this proof of concept demonstration.
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    \1\ See: http://www.epa.gov/oecaerth/civil/cwa/cwaenfplan.html.

DATES: EPA will conduct the public webinar on Wednesday, July 13, 2011, 
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from 10:30 a.m.-12 p.m. EDT.

ADDRESSES: Persons interested in attending this webinar should register 
at: https://www1.gotomeeting.com/register/887495337.

FOR FURTHER INFORMATION CONTACT: For additional information, please 
contact Ms. Lucy Reed, Deputy Director, Enforcement Targeting and Data 
Division, Office of Compliance (mail code 2222A), Environmental 
Protection Agency, 1200 Pennsylvania Avenue, NW., Washington, DC 20460; 
telephone number: (202) 564-5036; e-mail address: reed.lucy@epa.gov.

SUPPLEMENTARY INFORMATION: EPA's information about point source water 
pollution and their compliance with the CWA is largely built on paper-
based reporting systems developed nearly forty years ago and initially 
focused on a subset of point source pollution. Since then, the universe 
of permitted facilities has grown exponentially and there is 
significant interest in the electronic reporting of information for 
this expanded universe of regulated facilities. Electronic data 
collection and transmission could potentially: (1) Aid regulated 
facilities in reporting their NPDES compliance monitoring data; (2) 
reduce burden on states as electronic data submissions eliminate the 
need for transferring data from paper-based forms to databases; (3) 
provide more timely and accurate data for enforcement targeting and 
reporting; (4) increase transparency on regulatory compliance; and (5) 
enhance EPA's oversight and states' management of the NPDES program. 
EPA and many states already have built electronic reporting tools for 
some of the CWA NPDES compliance monitoring information. For example, 
in June 2009, EPA built and made publicly available an electronic 
reporting tool, Network Discharge Monitoring Report (NetDMR), for the 
electronic reporting of Discharge Monitoring Report (DMR) data from the 
regulated facilities to EPA.\2\
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    \2\ See: http://www.epa.gov/netdmr/.
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    In the future, EPA would like to supplement existing electronic 
reporting options with the `open platform e-file' option, to allow 
providers the opportunity of providing electronic reporting services to 
their clients (e.g., NPDES permitted facilities). Similar to the IRS 
system, the open platform e-file option would rely on third-party 
commercial software providers to gather monitoring data via an 
application user interface for the NPDES regulated community to report 
the data to EPA and state agencies electronically. Currently, this is 
only a technical proof of concept demonstration effort, but if and when 
EPA was to fully implement the open platform e-file option, EPA would 
need to review and determine if the third-party commercial software 
meets the standards, protocols and specifications for electronic 
reporting, and how these software providers would share this data with 
EPA through the Central Data Exchange (CDX) using the Environmental 
Information Exchange Network (``Exchange Network'') services. EPA would 
also need to coordinate with states to fully implement the open 
platform e-file option as EPA has authorized 46 states to manage the 
NPDES permit program.\3\ EPA conducted such coordination with the 
development and implementation of NetDMR. The Agency does not intend to 
purchase services from any provider as part of this technical proof of 
concept. If and when EPA was to fully implement the open platform e-
file option all financial transactions would be between the providers 
and members of the regulated community. EPA will not be a party to 
these transactions.
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    \3\ See: http://cfpub.epa.gov/npdes/statestats.cfm.
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    EPA will use the webinar as means to provide an overview and the 
scope and schedule for the `technical proof of concept' for the open 
platform e-file option. The webinar is open to all interested persons 
but will be mainly focused on providing information to providers that 
might be interested in participating in a `technical proof of concept' 
for the open platform e-file option. The webinar will also answer 
questions for persons interested in participating in the technical 
proof of concept demonstration.
    The webinar will provide an overview on the following topics:
     Agency's Clean Water Action Plan, the NPDES Electronic 
Reporting Rule, and the potential role for the open platform e-file 
option.
     EPA's CDX and Exchange Network Web services that could 
support the open platform e-file option.
     Scope of the technical proof of concept for the open 
platform e-file option (DMR data).
     Schedule and requirements for third-party providers 
interested in participating in the technical proof of concept.
     Solicit questions from the webinar participants on the 
technical proof of concept demonstration.
    The technical proof of concept is open to all providers; however, 
providers must describe and provide examples of their work experience 
and technical experience in the data exchange and the NPDES permit 
program. In order to participate in the technical proof of concept 
interested third-party providers must submit a letter of interest, not 
to exceed 5 pages, to Ms. Reed, see FOR FURTHER INFORMATION CONTACT 
section, by Wednesday, July 27, 2011, indicating their interest in 
participating in the technical proof of concept demonstration along 
with a short description of their company, contact information, and 
work experience (including examples) in using the

[[Page 36921]]

following standards, protocols, and specifications in order to use EPA 
Exchange Network services:
     The Node 2.0 Functional Specifications and Protocols 
(http://www.exchangenetwork.net/node/node2.0.htm).
     Integrated Compliance Information System-National 
Pollutant Discharge Elimination System (ICIS-NPDES) Flow Configuration 
Document, DMR Extensible Markup Language (XML) Schema, ICIS DMR Batch 
User Guide, ICIS DMR Data Exchange Template, and ICIS DMR Example XML 
Instance Document (http://www.exchangenetwork.net/exchanges/water/icisnpdes.htm).
     Exchange standards that include: Extensible Markup 
Language (XML); Simple Object (SOAP) v 1.2; Web Services Description 
Language (WSDL) v1.1; Secure Hypertext Transfer Protocol (https) (see 
NIST 800-52); WS-Security v 1.0; and Message Transmission Optimization 
mechanism (MTOM).
    The description should include the following items to illustrate 
the experience the provider has in meeting the requirements identified 
above:

--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.
--Parse XML files.
--Gather and store Discharge Monitoring Report data from facilities.
--Provide monthly Discharge Monitoring Report data in an electronic 
format.
--Transfer files through the CDX node on the Exchange Network.
--Check the submission status with CDX, and download processing results 
from CDX.
--Generate monthly DMR data in XML format as required by ICIS.

Interested third-party providers must also include in their letter of 
interest a short written statement of their experience and 
understanding of the NPDES program and of their experience with 
assisting regulated entities or states with completion of DMR 
submissions and whether these submissions used the DMR XML schema, and 
the use of the technical specification, protocols, and standards in 
these data exchanges. Interested third-party providers must also 
include in their letter of interest a statement certifying that they 
are not on the General Services Administration's Excluded Parties List 
System.\4\
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    \4\ See: https://www.epls.gov/.
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    EPA will review these written submissions to identify the providers 
that meet EPA's eligibility requirements for participation in the 
technical proof of concept. EPA will determine eligibility based on the 
providers written submissions of their work experience (including 
examples) in using data exchange standards, protocols, and 
specifications (see previous three bullets) and the NPDES permit 
program (see previous paragraph). Based on these written submissions 
EPA will identify and notify all eligible providers that they have been 
accepted in the participation in the technical proof of concept. EPA 
will use the webinar to outline the process and factors that it will be 
used for determining eligibility for participation in the technical 
proof of concept.
    EPA will work with these third-party providers to conduct an 
initial service test to connect, authenticate, submit and download a 
sample document to a service to be provided by EPA. This initial test 
will identify the third-party providers that can successfully connect 
to and use EPA's data exchange services, using the following standards 
and the Node 2.0 functional specification and protocols and the 
exchange standards identified above. EPA will assist these software 
providers in setting up and conducting this services test and in 
identifying the criteria for demonstrating a successful connection and 
use of EPA's data exchange services. See Appendix A, ``Technical Proof 
of Concept Objective, Scope, Criteria for Success.'' The initial 
services test will need to be completed by August 4, 2011. EPA may 
grant an extension to this date for good cause and will notify provider 
participants of any changes to this date. Those unable to demonstrate 
basic connectivity and use of services within this time frame will not 
be able to continue their participation in the technical proof of 
concept. EPA will send written notification to these providers 
identifying whether they demonstrated a successful connection to EPA's 
data exchange services. Providers that have not demonstrated a 
successful connection and use of EPA services may send an e-mail to Mr. 
Roy Chaudet, EPA's Office of Environmental Information, if they wish 
EPA to re-consider its decision (chaudet.roy@epa.gov). During the basic 
services test period, technical questions can be directed to Mr. 
Chaudet or Ms. Alison Kittle, EPA's Office of Enforcement and 
Compliance Assurance (kittle.alison@epa.gov).
    Third-party providers that successfully pass the initial services 
test will then conduct another test demonstrating the ability for their 
application to perform automated electronic submissions of DMR data to 
EPA. EPA will not use actual DMR data for this test but will provide 
sample data (e.g., pollutant monitoring data, permit limits) to third-
party software providers to use to create and test their DMR 
submissions in this technical proof of concept. EPA will also assist 
these providers in setting up and conducting this test and in 
identifying the criteria for demonstrating a successful transmission of 
DMR data to EPA. See Appendix A, ``Technical Proof of Concept 
Objective, Scope, Criteria for Success.'' This second test will need to 
be completed by September 30, 2011. EPA may grant an extension to this 
date for good cause and will notify provider participants of any 
changes to this date.
    Given that this is only a technical proof of concept demonstration, 
the requirements of the Cross Media Electronic Reporting Rule 
(CROMERR), 40 CFR Part 3, will not be included in this proof of 
concept.\5\ EPA notes that full implementation of the open platform e-
file option would require compliance with CROMERR and any future 
requirements of the NPDES Electronic Reporting Rule.
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    \5\ See: http://www.epa.gov/cromerr/about.html.
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    EPA will use the webinar to solicit names of persons interested in 
a technical proof of concept for the open platform e-file option for 
the electronic submission of DMRs. However, participation in the 
webinar is not a prerequisite for participation in the technical proof 
of concept. At the conclusion of the technical proof of concept 
demonstration, EPA will provide a summary of results of the proof of 
concept demonstration in the docket for the NPDES Electronic Reporting 
Rule (see EPA-HQ-OECA-2009-0274) and on the Web page supporting this 
demonstration. Participation in this technical proof of concept is 
voluntary and EPA will not be providing funds for participation. 
Additionally, EPA will not use this technical proof of concept 
demonstration or its results to endorse the commercial products or 
services of any third-party software providers.

Proof of Concept Demonstration for Electronic Reporting of Clean Water 
Act Compliance Monitoring Data: Announcement of Meeting and 
Demonstration

    EPA and the Federal government are prohibited from endorsing any 
product,

[[Page 36922]]

service or enterprise. EPA will also not use participation in the 
technical proof of concept as an eligibility factor for participation 
in potential future related data exchange projects or with any 
potential production deployment of third-party data exchange. Persons 
that are interested in participating in the technical proof of concept 
but cannot attend the webinar should contact Ms. Reed, see FOR FURTHER 
INFORMATION CONTACT section.

    Dated: June 15, 2011.
Lisa C. Lund,
Director, Office of Compliance.
    Dated: June 15, 2011.
Andrew Battin,
Director, Office of Information Collection.

Appendix A: Technical Proof of Concept Objective, Scope, and Criteria 
for Success

    Objective: The objective of the technical proof of concept is to 
demonstrate that a third party software provider can offer an 
interface to the regulated community that can leverage EPA/Exchange 
Network services and meet the requirements for electronic reporting 
to EPA's Integrated Compliance Information System (ICIS)-NPDES 
system.
    Scope: The technical proof of concept shall demonstrate basic 
functionality for electronically submitting DMRs using existing EPA 
standards, protocols, and specifications. For this technical proof 
of concept, the general scope is expected to include:
    Initial Setup. Each software provider selected for participating 
in the technical proof of concept demonstration by EPA must apply 
for their own Network Authentication Authorization Services (NAAS) 
test account by contacting the Central Data Exchange (CDX) Node Help 
Desk at nodehelpdesk@epacdx.net. All software providers must request 
the ICIS test user account and data flow configuration information 
for transferring data to EPA's ICIS system by contacting Ms. Kittle 
(kittle.alison@epa.gov).
    Basic Permit/DMR Information. EPA will provide permit limit data 
to the participating software provider for a sample permit in EPA's 
ICIS-NPDES system for the provider to be able to use in their 
submissions. EPA will provide the algorithms for anticipating DMRs 
from the limit data for the software provider to identify and 
extract monitoring data when it is due at EPA. This will be done 
using the vendor's software and not simply creating an XML file.
    Preparing DMR for Submission. Using the ICIS limits data and 
algorithm provided by EPA, the software provider shall extract the 
expected DMR data and use it to prepare an XML file based upon the 
format as prescribed in EPA's ICIS DMR Batch User Guide, ICIS DMR 
Data Exchange Template, and ICIS DMR Example XML Instance Document. 
The software provider will be responsible for validating the 
resulting sample DMR XML against the DMR XML schema before 
compressing the file into a format compatible with WinZip.
    Electronic Submission of Sample DMR. Using the established 
connectivity and the standards, protocols, and specifications for 
the Exchange Network's data exchange services, the software provider 
shall connect, authenticate and invoke services necessary to 
electronically submit their sample DMR XML to CDX.
    Processing by CDX. Once the sample DMR XML zipped file is 
received by CDX, it must pass simple validation checks against EPA's 
DMR XML schema. The software provider will be responsible for 
tracking the status of the submission, obtaining the results of the 
submission, correcting any errors that will have occurred, and 
resubmitting the DMR XML to EPA until it has been properly 
processed.
    Processing by ICIS. Once the sample submission has successfully 
passed schema validation, CDX will distribute the file to ICIS for 
processing. ICIS will return an XML file containing the list of key 
fields for parameters able to be processed (``accepted 
transactions'') along with an XML file of parameters unable to be 
processed with error messages (``rejected transactions''). The 
software provider will be responsible for downloading this report 
through the download service provided by CDX and providing a means 
for viewing these errors within their software package.
    Criteria for Success: The general criteria for successful 
completion of the technical proof of concept by the software 
provider are:
     Ability of the software provider's electronic reporting 
software to use ICIS limit set information to determine when a 
scheduled parameter is due in ICIS.
     Successful generation of the following types of sample 
DMR XML files in the format expected by ICIS via the software 
provider's electronic reporting software:
    [cir] DMRs with change, replace and mass delete transactions 
being submitted at the same time for one or more permitted 
facilities;
    [cir] One permitted facility having over 25 unique outfalls with 
parameters being reported at the same time;
    [cir] One permitted facility having over 25 unique parameters 
being reported at the same time;
    [cir] Multi-seasonal parameters being reported with non-seasonal 
parameters at the same time for one or more permitted facilities;
    [cir] Parameters monitored monthly, quarterly, annually and 
semi-annually being reported at the same time for one or more 
permitted facilities;
    [cir] Scheduled parameters and unscheduled parameters being 
reported at the same time for one or more permitted facilities;
    [cir] Monitored and optionally monitored parameters being 
reported at the same time for one or more permitted facilities;
    [cir] Biosolids data being reported with parameter values at the 
same time for one or more permitted facilities;
    [cir] Parameters for one or more sewage treatment plants being 
reported for one or more permitted facilities;
    [cir] Parameters with reported values, parameters with No 
Discharge Indicators, and parameters with a combination of reported 
values and No Discharge Indicators being reported at the same time 
for one or more permitted facilities; and
    [cir] DMRs that are able to pass all business rules specified in 
the ICIS Batch Technical Specification Document.
     Successful authentication and electronic submission of 
all types of sample DMR XML files listed above to CDX via the 
software provider's electronic reporting software.
     Ability to receive, track and interpret CDX notices on 
the status of each DMR XML file submission.
     Ability of all types of sample DMR XML files to pass 
initial schema validation by CDX.
     Successful retrieval of CDX schema validation result 
reports and ICIS error reports in XML format for each submission to 
CDX, and use the reports to perform defect correction and 
resubmission of corrected DMR XML files as necessary.
     100% success in the ability of ICIS to process all of 
the sample DMR XML files listed above.
     Ability for the software provider's electronic 
reporting software to receive, parse and process accepted and 
rejected transaction reports returned by ICIS for each CDX 
submission with a status of ``Completed'' in XML format, and 
translate them into a human readable format for the submitter to 
review.

[FR Doc. 2011-15642 Filed 6-22-11; 8:45 am]
BILLING CODE 6560-50-P
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