Proof of Concept Demonstration for Electronic Reporting of Clean Water Act Compliance Monitoring Data: Announcement of Meeting and Demonstration, 36919-36922 [2011-15642]
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in accordance with the Federal
Advisory Committee Act (FACA) (5
U.S.C. App. 2) and related regulations.
Pursuant to FACA and EPA policy,
notice is hereby given that the SAB will
hold a public teleconference to initiate
an advisory, followed by a two-day
meeting. The SAB will comply with the
provisions of FACA and all appropriate
EPA and SAB Staff Office procedural
policies.
EPA is conducting a review of its
regulatory standards in 40 CFR part
192—Health and Environmental
Protection Standards for Uranium and
Thorium Mill Tailings. In accordance
with the Uranium Mill Tailings
Radiation and Control Act (UMTRCA)
section 206, EPA is authorized to
develop standards for the protection of
public health, safety, and the
environment from radiological and nonradiological hazards associated with
residual radioactive materials. The
Agency is currently undertaking a
review to determine if the existing
standards, last revised by EPA in 1995,
should be updated. The expectation is
that In-Situ Leach Recovery (ISL/ISR)
operations will be the most common
type of new uranium extraction facility
in the U.S. These facilities can affect
groundwater. Accordingly, EPA is
seeking scientific advice and relevant
technical criteria to establish standards
and procedures, including the relevant
period for monitoring ISL/ISR facilities
once uranium extraction operations are
completed, to provide reasonable
assurances of aquifer stability and
groundwater protection.
The EPA has requested the SAB
review a draft technical document on
ISL/ISR post closure stability
monitoring to evaluate what criteria
should be considered to establish a
specific period of monitoring for ISL/
ISR facilities, once uranium extraction
operations are completed. Among the
issues to be considered are whether a
time frame can be established; whether
specific site characteristics, features or
benchmarks can be used to aid in
establishing a post-closure monitoring
time period; and if other technical
approaches should be considered by
EPA to provide reasonable assurances of
aquifer stability and groundwater
protection.
The SAB Staff Office requested
nominations of experts in the Federal
Register (Vol. 75, No. 226, Weds,
November 24, 2010, pages 71702–
71703) and has formed an expert panel
by augmenting the RAC with additional
experts to review the EPA’s draft
technical report, which will be used as
a basis to evaluate the technical and
scientific issues pertaining to standards
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in 40 CFR Part 192—Health and
Environmental Protection Standards for
Uranium and Thorium Mill Tailings.
Availability of Meeting Materials: The
Agenda and other materials in support
of the teleconference and two-day
meeting will be placed on SAB Web site
in advance of the teleconference and
meeting.
Procedures for Providing Public Input:
Public comment for consideration by
EPA’s federal advisory committees and
panels has a different purpose from
public comment provided to EPA
program offices. Therefore, the process
for submitting comments to a federal
advisory committee is different from the
process used to submit comments to an
EPA program office.
Federal advisory committees and
panels, including scientific advisory
committees, provide independent
advice to EPA. Members of the public
can submit comments for a federal
advisory committee to consider as it
develops advice for EPA. Input from the
public to the SAB will have the most
impact if it provides specific scientific
or technical information or analysis for
SAB panels to consider or if it relates to
the clarity or accuracy of the technical
information. Members of the public
wishing to provide comment should
contact the Designated Federal Officer
directly.
Oral Statements: In general,
individuals or groups requesting an oral
presentation at a teleconference will be
limited to three minutes. Those
interested in being placed on the public
speakers list for the July 6, 2011
teleconference should contact Dr.
Kooyoomjian at the contact information
provided above no later than noon on
July 5, 2011. Those interested in being
placed on the public speakers list for the
July 18 and 19, 2011 meeting should
contact Dr. Kooyoomjian by noon on
July 15, 2011. Written Statements:
Written statements should be supplied
to the DFO via e-mail at the contact
information noted by noon July 5, 2011
for the teleconference, and by noon on
July 14, 2011 so that the information
may be made available to the Panel
members on the augmented RAC for
their consideration. Written statements
should be supplied in one of the
following electronic formats: Adobe
Acrobat PDF, MS Word, MS
PowerPoint, or Rich Text files in IBM–
PC/Windows98/2000/XP format. It is
the SAB Staff office general policy to
post written comments on the Web page
for the advisory meeting or
teleconference. Submitters are requested
to provide an unsigned version of each
document, because the SAB Staff Office
does not publish documents with
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signatures on its Web sites. Members of
the public should be aware that their
personal contact information, if
included in any written comments, may
be posted to the SAB Web site.
Copyrighted material will not be posted
without explicit permission of the
copyright holder.
Accessibility: For information on
access or services for individuals with
disabilities, please contact Dr.
Kooyoomjian at (202) 564–2064 or email at kooyoomjian.jack@epa.gov. To
request accommodation of a disability,
please contact Dr. Kooyoomjian
preferably at least ten days prior to the
teleconference or meeting to give as
much time as possible to process your
request.
Dated: June 16, 2011.
Anthony F. Maciorowski,
Deputy Director, EPA Science Advisory Board
Staff Office.
[FR Doc. 2011–15761 Filed 6–22–11; 8:45 am]
BILLING CODE 6560–50–P
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
Environmental Protection
Agency (EPA).
ACTION: Notice.
AGENCY:
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 coregulators and stakeholder groups was
SUMMARY:
1 See: https://www.epa.gov/oecaerth/civil/cwa/
cwaenfplan.html.
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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 thirdparty 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.
DATES: EPA will conduct the public
webinar on Wednesday, July 13, 2011,
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,
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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
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
2 See:
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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.
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
3 See:
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https://cfpub.epa.gov/npdes/statestats.cfm.
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following standards, protocols, and
specifications in order to use EPA
Exchange Network services:
• The Node 2.0 Functional
Specifications and Protocols (https://
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 (https://
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
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 reconsider 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).
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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.
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,
5 See:
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https://www.epa.gov/cromerr/about.html.
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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.
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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
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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:
Æ DMRs with change, replace and mass
delete transactions being submitted at the
same time for one or more permitted
facilities;
Æ One permitted facility having over 25
unique outfalls with parameters being
reported at the same time;
Æ One permitted facility having over 25
unique parameters being reported at the same
time;
Æ Multi-seasonal parameters being
reported with non-seasonal parameters at the
same time for one or more permitted
facilities;
Æ Parameters monitored monthly,
quarterly, annually and semi-annually being
reported at the same time for one or more
permitted facilities;
Æ Scheduled parameters and unscheduled
parameters being reported at the same time
for one or more permitted facilities;
Æ Monitored and optionally monitored
parameters being reported at the same time
for one or more permitted facilities;
Æ Biosolids data being reported with
parameter values at the same time for one or
more permitted facilities;
Æ Parameters for one or more sewage
treatment plants being reported for one or
more permitted facilities;
Æ Parameters with reported values,
parameters with No Discharge Indicators, and
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parameters with a combination of reported
values and No Discharge Indicators being
reported at the same time for one or more
permitted facilities; and
Æ 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
FEDERAL ELECTION COMMISSION
Sunshine Act Meeting Notice
Federal Election Commission.
Tuesday, June 28, 2011,
at 10 a.m.
PLACE: 999 E Street, NW., Washington,
DC.
STATUS: This meeting will be closed to
the public.
ITEMS TO BE DISCUSSED:
Compliance matters pursuant to 2
U.S.C. 437g.
Audits conducted pursuant to 2
U.S.C. 437g, 438(b), and Title 26, U.S.C.
Matters concerning participation in
civil actions or proceedings or
arbitration.
Internal personnel rules and
procedures or matters affecting a
particular employee.
*
*
*
*
*
PERSON TO CONTACT FOR INFORMATION:
Judith Ingram, Press Officer, Telephone:
(202) 694–1220.
AGENCY:
DATE AND TIME:
Shelley E. Garr,
Deputy Secretary of the Commission.
[FR Doc. 2011–15915 Filed 6–21–11; 4:15 pm]
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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: https://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: https://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: https://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
(https://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 (https://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: https://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]
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