Office of Enforcement and Compliance Assurance

Office of Enforcement and Compliance Assurance

Integrated Compliance Information System

Effluent Trade Partners Technical Specification

March 31, 2005

ICIS–NPDES Data Migration Plan - 1

Office of Enforcement and Compliance Assurance

Document Change History

Version Number / Date / Description
1.0 / September 30, 2004 / Initial Release
1.1 / March 31, 2005 / Updates based on DR 1150.

Table of Contents

1. Introduction

2. Use Cases......

2.1 ETP01 Add Effluent Trade Partner (Streamlined)......

2.2 ETP02 Edit Effluent Trade Partner (Streamlined)

2.3 ETP03 Delete Effluent Trade Partner (Streamlined)

3. Prototype

4. Data Mapping

5. Object Model

6. Entity Relationship Diagram (ERD)

Tables and Figures

Table 2-1: Effluent Trade Partners Use Cases

Table 3-1: Effluent Trade Partners Screens

Table 4-1: Effluent Trade Partner Data Mapping

Table 5-1: Effluent Trade Partners Objects

Figure 3-1: List Limits

Figure 3-2: List Effluent Trade Partners on Edit Limit Screen

Figure 3-3: Manage Effluent Trade Partners

Figure 3-4: Add Effluent Trade Partner

Figure 3-5: Edit Effluent Trade Partner

Figure 3-6: Delete Effluent Trade Partner Confirmation

Figure 3-7: Delete Effluent Trade Partner Error

Figure 5-1: Effluent Trade Partner Object Model

Figure 6-1: Effluent Trade Partners ERD

ICIS Effluent Trade Partners Technical Specification1

Office of Enforcement and Compliance Assurance

1. Introduction

The purpose of the Effluent Trade Partners module is to record and track potential Effluent Trade Partners for Limits. When an Effluent Trade Partner is linked to a Limit record, the user will be able to enter Adjusted DMR Values for the DMR Values associated with that Limit. Users will be able to add, edit, and delete Effluent Trade Partners.

The following sections comprise the Technical Specification. These include:

  • Use Cases
  • Prototype
  • Data Mapping
  • Object Model
  • Entity-Relationship Diagram (ERD).

ICIS Effluent Trade Partners Technical Specification1

Office of Enforcement and Compliance Assurance

2. Use Cases

The following use cases address the interaction between a user and the system. Scenarios for specific functions of the module are presented and the user input and system response are described in detail. Screens can be referenced in the Screen Flow Diagrams in Section 3 and the Prototype in Section 4.

Table 2-1, Effluent Trade Partners Use Cases, lists the use cases for this module and whether they have been updated for streamlining.

Table 2-1: Effluent Trade Partners Use Cases

ID / Streamlined / Name
Included Use Cases
ETP01 /  / Add Effluent Trade Partner
ETP02 /  / Edit Effluent Trade Partner
ETP03 /  / Delete Effluent Trade Partner
Deferred Use Cases
None

2.1 ETP01 Add Effluent Trade Partner (Streamlined)

Assumptions:

Effluent Trade Partners for all Individual and General Permit Covered Facility (GPCF) Permit Types are subject to the same add requirements/business rules as for an Individual Permit. For purposes of this use case, the term Permit is assumed to encompass each of these alternative Permit Types.

Preconditions: The web user has navigated to the List Limit Sets screen.

ETP01 Add Effluent Trade Partner (Streamlined)
Step / User Input / Step / System Response
Basic Flow:
1 / User selects a Limits link for one of the Limit Sets. / 2 / System displays the List Limits screen on which is listed each of the current Limits (i.e., those that are in effect for the system date) that belong to the current Limit Set grouped by Parameter.
For each Base Limit or Permit Modification Limit (PML), the system displays “Trade = ON” if the Limit has at least one Effluent Trade Partner linked to it.
3* / User selects a Limit and selects the Add Trade Partner button. / 4 / System validates that the selected Limit may have an Effluent Trade Partner added by validating that:
•The Permit is not an MGP
•The Limit is either a Base Limit (i.e., Change of Limit Status is blank) or a PML (i.e., Change of Limit Status = Modification).
4.1 / If the selected Limit is invalid, the
•System generates an error message and rejects the transaction
•Use case continues at Step 3 for data correction unless the user cancels or exits the transaction.
Else
•Use case continues at Step 5.
5 / System displays the Add Trade Partner screen. Trade Partner Type is defaulted to Point Source.
6 / User enters the Trade Partner data and indicates the desire to Save. / 7 / System validates the Trade Partner data against the edit checks in the Data Mapping and the following business rules:
•The following data elements must be entered:
–Trade ID
–Trade Partner Type
–Trade Partner Start Date
–NPDES ID (if Trade Partner Type = Point Source)
–Other ID (if Trade Partner Type = Bank or (Trade Partner Type = Non-PointSource and NPDES ID is blank))
–Address data elements (if Trade Partner Type = Non-PointSource and Other ID is not blank). The required Address data elements are:
»Organization Formal Name
»Location Name
»Street Address 1
»City
»State Code
»Zip Code (Postcode for International Address).
•The following combination of data elements must be unique in the system:
–NPDES ID
–Permitted Feature Identifier
–Limit Set Designator
–Parameter Code
–Monitoring Location Code
–Season ID
–Limit Start Date
–Limit End Date
–Trade ID.
•If the Trade Partner Type is Point Source:
–Trade Partner NPDES ID is required
–Trade Partner Other ID must be blank
–Trade Partner NPDES ID may not be the Source Permit NPDES ID.
•If the Trade Partner Type is Non-PointSource:
–The user must enter either a Trade Partner NPDES ID OR Trade Partner Other ID and the required Address data elements.
–If Trade Partner NPDES ID is entered, it may not be the Source Permit NPDES ID
–The user may not enter both the Trade Partner NPDES ID and the Trade Partner Other ID.
•If the Trade Partner Type is Bank:
–The user must enter Trade Partner Other ID
–Trade Partner NPDES ID must be blank.
•Trade Partner End Date (if entered) must be greater than Trade Partner Start Date
7.1 / If the data are invalid, the
•System generates an error message and rejects transaction
•Use case continues at Step 6 for data correction unless the user cancels or exits the transaction.
Else
•Use case continues at Step 8.
8 / System saves the Trade Partner to the database.
9 / System displays the List Limits screen (or if the user selected Add from the List Trade Partner screen the user will return to the List Trade Partner screen).
10 / Use case terminates.
Alternative Flow(s):
3.1 / User selects a Limit
3.1.1 / User selects a Base Limit or Permit Modification Limit and selects the Edit link. / 3.1.2 / System displays the Edit Limit screen.
3.1.3 / User navigates to the Trade Partner portion of the screen and selects the Manage Trade Partners button. / 3.1.4 / System displays the List Trade Partners screen.
3.1.5 / User selects the Add Trade Partner button. / 3.1.6 / Use case continues at Step 5.

Post Conditions: None.

2.2 ETP02 Edit Effluent Trade Partner (Streamlined)

Assumptions:

  • Effluent Trade Partners for all Individual and General Permit Covered Facility (GPCF) Permit Types are subject to the same edit requirements/business rules as for an Individual Permit. For purposes of this use case, the term Permit is assumed to encompass each of these alternative Permit Types.

Preconditions: The web user has navigated to the List Limit Sets screen.

ETP02 Edit Effluent Trade Partner (Streamlined)
Step / User Input / Step / System Response
Basic Flow:
1 / User selects a Limits link for one of the Limit Sets. / 2 / System displays the List Limits screen on which is listed each of the current Limits (i.e., those that are in effect for the system date) that belong to the current Limit Set grouped by Parameter.
For each Base Limit or Permit Modification Limit (PML), the system displays “Trade = ON” if the Limit has at least one Effluent Trade Partner linked to it.
3 / User selects a Base Limit or PML and selects the Edit button. / 4 / System displays the appropriate Edit Limit screen.
5 / User navigates to the Trade Partner portion of the screen and selects the Manage Trade Partners button. / 6 / System displays the List Trade Partners screen.
7 / User selects a Trade Partner and selects the Edit button. / 8 / System displays the Edit Trade Partner screen. Trade ID, and Type are not editable.
9 / User edits the Trade Partner data and indicates the desire to Save. / 10 / System validates the Trade Partner data against the edit checks in the Data Mapping and the following business rules:
•The following data elements must be entered:
–Trade Partner Start Date
–NPDES ID (if Trade Partner Type = Point Source)
–Other ID (if Trade Partner Type = Bank or (Trade Partner Type = Non-PointSource and NPDES ID is blank))
–Address data elements (if Trade Partner Type = Non-PointSource and Other ID is not blank). The required Address data elements are:
»Organization Formal Name
»Location Name
»Street Address 1
»City
»State Code
»Zip Code (Postcode for International Address).
•If the Trade Partner Type is Point Source:
–Trade Partner NPDES ID is required
–Trade Partner Other ID must be blank
–Trade Partner NPDES ID may not be the Source Permit NPDES ID.
•If the Trade Partner Type is Non-PointSource:
–The user must enter a Trade Partner NPDES ID OR Trade Partner Other ID and the required Address data elements.
–If Trade Partner NPDES ID is entered, it may not be the Source Permit NPDES ID
–The user may not enter both the Trade Partner NPDES ID and the Trade Partner Other ID.
•If the Trade Partner Type is Bank:
–The user must enter Trade Partner Other ID
–Trade Partner NPDES ID must be blank.
•Trade Partner End Date (if entered) must be greater than Trade Partner Start Date.
10.1 / If the data are invalid, the
•System generates an error message and rejects the transaction
•Use case continues at Step 9 for data correction unless the user cancels or exits the transaction.
Else
•Use case continues at Step 11.
11 / System saves the Trade Partner to the database.
12 / System displays the List Trade Partner screen.
13 / Use case terminates.
Alternative Flow(s): None

Post Conditions: None.

2.3 ETP03 Delete Effluent Trade Partner (Streamlined)

Assumptions: Effluent Trade Partners for all Individual and General Permit Covered Facility (GPCF) Permit Types are subject to the same delete requirements/business rules as for an Individual Permit. For purposes of this use case, the term Permit is assumed to encompass each of these alternative Permit Types.

Preconditions: The web user has navigated to the List Limit Sets screen.

ETP03 Delete Effluent Trade Partner (Streamlined)
Step / User Input / Step / System Response
Basic Flow:
1 / User selects a Limits link for one of the Limit Sets. / 2 / System displays the List Limits screen on which is listed each of the current Limits (i.e., those that are in effect for the system date) that belong to the current Limit Set grouped by Parameter.
For each Base Limit or Permit Modification Limit (PML), the system displays “Trade = ON” if the Limit has at least one Effluent Trade Partner linked to it.
3 / User selects a Base Limit or PML and selects the Edit link. / 4 / System displays the appropriate Edit Limit screen.
5 / User navigates to the Trade Partner portion of the screen and selects the Manage Trade Partners button. / 6 / System displays the List Trade Partners screen.
7 / User selects a Trade Partner and clicks the Delete button. / 8 / System displays the Delete confirmation screen.
9 / User chooses to proceed with the delete. / 10 / If the Trade Partner is the last one for the Limit, the system validates that no DMR Values linked to the Trade Partner’s Limit have an Adjusted DMR Value entered.
10.1 / If the delete is invalid, the
•System generates an error message and rejects the transaction
•Use case continues at Step 7 for data correction unless the user cancels or exits the transaction.
Else
•Use case continues at Step 11.
11 / System deletes the Trade Partner from the database.
12 / System displays the List Trade Partner screen with the deleted Trade Partner no longer displayed.
13 / Use case terminates.
Alternative Flow(s): None

Post Conditions: None.

3. Prototype

The following figures are screen shots of the Effluent Trade Partners module. The purpose of each screen is described in the Use Cases in Section 2.

Table 3-1, Effluent Trade Partners Screens, lists the screens for this module and whether they have been updated for streamlining.

Table 3-1: Effluent Trade Partners Screens

ID / Streamlined / Name
Included Screens
1 /  / List Limits
5 /  / List Effluent Trade Partners on Edit Limit Screen
9 / Manage Effluent Trade Partners
13 / Add Effluent Trade Partner
21 / Edit Effluent Trade Partner
29 /  / Delete Confirmation
30 /  / Delete Error
Deferred Screens
14 / Add to Similar Limit
22 / Apply Edit to Similar Trade Partners
31 / Delete Similar Trade Partner
32 / Delete Similar Confirmation
All GPCF and mod mode specific variations on any Effluent Trade Partner screens

Figure 3-1: List Limits

Changes Due to Streamlining:

  • Remove Copy & Create New button
  • Remove Stay/Lift Stay Button
  • Remove Delete Stay Button
  • Rename Add Base Limit Link to Add Limit.

Figure 3-2: List Effluent Trade Partners on Edit Limit Screen

Changes Due to Streamlining:

  • Remove Trade Status History
  • Make Stay data elements editable.

Figure 3-3: Manage Effluent Trade Partners

Changes Due to Streamlining:

  • None.

Figure 3-4: Add Effluent Trade Partner

Changes Due to Streamlining:

  • None.

Figure 3-5: Edit Effluent Trade Partner

Changes Due to Streamlining:

  • Make NPDES ID editable.

Figure 3-6: Delete Effluent Trade Partner Confirmation

Changes Due to Streamlining:

  • Remove suggestion to remove from other Permits.

Figure 3-7: Delete Effluent Trade Partner Error

Changes Due to Streamlining:

  • Rewrite warning message to read: “Deletion of the Trade Partner will leave the following Limits for which Adjusted DMR Values have been entered with no Trade Partner.”.

ICIS Effluent Trade Partners Technical Specification1

Office of Enforcement and Compliance Assurance

4. Data Mapping

The Data Mapping is used to map every field on a screen to a column and table in the database. The following table shows the data mapping for the Effluent Trade Partner screens.

Table 4-1: Effluent Trade Partner Data Mapping

SCREEN / DATABASE
Screen Name / Screen Section / Screen Label / Key Element / DD Required / WENDB / Table Name / Column Name / Edit Checks (from Design Doc)
List ETP on Limit Screen / Trade Partners / Trade ID / Y / Y / ICIS_LIMIT_TRADE_PARTNER / TRADE_ID / Alphanumeric (30)
List ETP on Limit Screen / Trade Partners / Type / Y / ICIS_LIMIT_TRADE_PARTNER / TRADE_PARTNER_TYPE_CODE / Alphanumeric (3)
List ETP on Limit Screen / Trade Partners / NPDES ID / C / ICIS_PERMIT / PERMIT_ID / Positions 1 and 2 must be a valid State or Tribal Indicator, Positions 3–9 must be alphanumeric and must be a unique combination within a common value for positions 1–2
List ETP on Limit Screen / Trade Partners / Other ID / C / ICIS_LIMIT_TRADE_PARTNER / TRADE_PARTNER_OTHER_ID
List ETP on Limit Screen / Trade Partners / Name / C / ICIS_LIMIT_TRADE_PARTNER / ORGANIZATION_FORMAL_NAME
List ETP on Limit Screen / Trade Partners / Start Date / Y / ICIS_LIMIT_TRADE_PARTNER / TRADE_PARTNER_BEGIN_DATE / Date; Default to Permit Effective Date; System generated; cannot be overwritten
List ETP on Limit Screen / Trade Partners / End Date / ICIS_LIMIT_TRADE_PARTNER / TRADE_PARTNER_END_DATE / Date; Default to Permit Effective Date; System generated; can not be overwritten
List ETP on Limit Screen / Trade Status History / Status / ICIS_LIMIT_TRADE_STATUS / TRADE_STATUS_FLAG / Flag; Valid Values: On; Off: Default to Off; System generated; Can not be overwritten
List ETP on Limit Screen / Trade Status History / Trade Status Start Date / ICIS_LIMIT_TRADE_PARTNER / TRADE_PARTNER_BEGIN_DATE / Date; Default to Permit Effective Date; System generated; can not be overwritten
List ETP on Limit Screen / Trade Status History / Trade Status End Date / ICIS_LIMIT_TRADE_PARTNER / TRADE_PARTNER_END_DATE / Date; Default to Permit Effective Date; System generated; can not be overwritten
List ETPs / Trade Partners / Trade ID / Y / Y / ICIS_LIMIT_TRADE_PARTNER / TRADE_ID / Alphanumeric (30)
List ETPs / Trade Partners / Type / Y / ICIS_LIMIT_TRADE_PARTNER / TRADE_PARTNER_TYPE_CODE / Alphanumeric (3)
List ETPs / Trade Partners / NPDES ID / C / ICIS_PERMIT / PERMIT_ID / Positions 1 and 2 must be a valid State or Tribal Indicator, Positions 3–9 must be alphanumeric and must be a unique combination within a common value for positions 1–2
List ETPs / Trade Partners / Other ID / C / ICIS_LIMIT_TRADE_PARTNER / TRADE_PARTNER_OTHER_ID
List ETPs / Trade Partners / Name / C / ICIS_LIMIT_TRADE_PARTNER / ORGANIZATION_FORMAL_NAME
List ETPs / Trade Partners / Start Date / Y / ICIS_LIMIT_TRADE_PARTNER / TRADE_PARTNER_BEGIN_DATE / Date; Default to Permit Effective Date; System generated; can not be overwritten
List ETPs / Trade Partners / End Date / ICIS_LIMIT_TRADE_PARTNER / TRADE_PARTNER_END_DATE / Date; Default to Permit Effective Date; System generated; can not be overwritten
Add, Edit ETP / Add Trade Partner / Trade ID / Y / Y / ICIS_LIMIT_TRADE_PARTNER / TRADE_ID / Alphanumeric (30)
Add, Edit ETP / Add Trade Partner / Type / Y / ICIS_LIMIT_TRADE_PARTNER / TRADE_PARTNER_TYPE_CODE / Alphanumeric (3)
Add, Edit ETP / Add Trade Partner / NPDES ID / C / ICIS_PERMIT / PERMIT_ID / Positions 1 and 2 must be a valid State or Tribal Indicator, Positions 3–9 must be alphanumeric and must be a unique combination within a common value for positions 1–2
Add, Edit ETP / Add Trade Partner / Other ID / C / ICIS_LIMIT_TRADE_PARTNER / TRADE_PARTNER_OTHER_ID
Add, Edit ETP / Add Trade Partner / Start Date / Y / ICIS_LIMIT_TRADE_PARTNER / TRADE_PARTNER_BEGIN_DATE / Date; Default to Permit Effective Date; System generated; can not be overwritten
Add, Edit ETP / Add Trade Partner / End Date / ICIS_LIMIT_TRADE_PARTNER / TRADE_PARTNER_END_DATE / Date; Default to Permit Effective Date; System generated; can not be overwritten
Add, Edit ETP / Trade Partner Address / Organization Formal Name / C / ICIS_LIMIT_TRADE_PARTNER / ORGANIZATION_FORMAL_NAME
Add, Edit ETP / Trade Partner Address / Organization DUNS Number / ICIS_LIMIT_TRADE_PARTNER / ORGANIZATION_DUNS_NUMBER
Add, Edit ETP / Trade Partner Address / Location Name / C / ICIS_LIMIT_TRADE_PARTNER / LOCATION_NAME / Alphanumeric (50)
Add, Edit ETP / Trade Partner Address / Street Address / C / ICIS_LIMIT_TRADE_PARTNER / STREET_ADDRESS / Alphanumeric (50)
Add, Edit ETP / Trade Partner Address / Supplemental Address Text / ICIS_LIMIT_TRADE_PARTNER / SUPPLEMENTAL_ADDRESS_TEXT / Alphanumeric (50)
Add, Edit ETP / Trade Partner Address / City / C / ICIS_LIMIT_TRADE_PARTNER / CITY / Alphanumeric (30)
Add, Edit ETP / Trade Partner Address / State / C / ICIS_LIMIT_TRADE_PARTNER / STATE_CODE / Alphanumeric (2)
Add, Edit ETP / Trade Partner Address / Province or City District (International Address) / ICIS_LIMIT_TRADE_PARTNER / PROVINCE / Alphanumeric (35)
Add, Edit ETP / Trade Partner Address / Zip Code / C / ICIS_LIMIT_TRADE_PARTNER / ZIP / Alphanumeric (14)
Add, Edit ETP / Trade Partner Address / County / ICIS_LIMIT_TRADE_PARTNER / COUNTY / Alphanumeric (44)
Add, Edit ETP / Trade Partner Address / Country / ICIS_LIMIT_TRADE_PARTNER / COUNTRY_CODE / Alphanumeric (44); Validate against REF_COUNTRY.
Add, Edit ETP / Trade Partner Address / Division Name / ICIS_LIMIT_TRADE_PARTNER / DIVISION_NAME / Alphanumeric (50)
Add, Edit ETP / Trade Partner Address / Alternate Telephone Number / ICIS_LIMIT_TRADE_PARTNER_PHONE / TELEPHONE_NUMBER / Alphanumeric (15)
Add, Edit ETP / Trade Partner Address / Telephone Number / ICIS_LIMIT_TRADE_PARTNER_PHONE / TELEPHONE_NUMBER / Alphanumeric (15)
Add, Edit ETP / Trade Partner Address / Extension / ICIS_LIMIT_TRADE_PARTNER_PHONE / TELEPHONE_EXTENSION_NUMBER / Alphanumeric (5)
Add, Edit ETP / Trade Partner Address / Fax / ICIS_LIMIT_TRADE_PARTNER_PHONE / TELEPHONE_NUMBER / Alphanumeric (15)
Add, Edit ETP / Trade Partner Address / Email / ICIS_TRADE_PARTNER_E_ADDRESS / ELECTRONIC_ADDRESS_TEXT / Alphanumeric (50)
Header / NPDES ID / C / ICIS_PERMIT / PERMIT_ID / Positions 1 and 2 must be a valid State or Tribal Indicator, Positions 3–9 must be alphanumeric and must be a unique combination within a common value for positions 1–2
Header / Permit Type / ICIS_PERMIT / PERMIT_TYPE_CODE
Header / Permitee Name / ICIS_PERMITEE / PERMITEE
Header / Major/Minor Indicator / ICIS_MAJOR_MINOR_STATUS / MAJOR_MINOR_STATUS_FLAG
Header / Permitted Feature ID / ICIS_PERM_FEATURE / PERM_FEATURE_NMBR
Header / Limit Set Designator / ICIS_LIMIT_SET / ICIS_SET_DESIGNATOR / Aphanumeric(2), no special character , and Can not be blank
Header / Issue Date / ICIS_PERMIT / ISSUE_DATE
Header / Effective Date / ICIS_PERMIT / EFFECTIVE_DATE
Header / Expiration Date / ICIS_PERMIT / EXPIRATION_DATE

ICIS Effluent Trade Partners Technical Specification1