Charting a New CourseFor EPA’s Information Management

Larry FitzwaterUnited States Environmental Protection Agency

September 21, 2004

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Overview

1. Current EPA regulatory/electronic structure

2. New directions in technology and policy

3. US EPA’s Central Data Exchange (CDX)

4. State/EPA Information Exchange Network

• CDX’s role • Brief Technical Overview

5. Lessons/Conclusions

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EPA’s IT and Regulatory StructureUS EPA

– Founded in 1970– Now 17,500 employees, 6,000 in Washington –

remainder in 10 Regional offices across the country– $1.2 billion operating budget, additional $7 billion

trust funds– $375-$400 million annually on information technology– National computing center in North Carolina

Most environmental statutes by “media” – e.g. air, water– Organizational chart mimics statute-specific

regulations

Many programs “delegated” to the States and Tribes– State environmental responsibilities spread among

State agencies

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EPA Information Collection

EPA information collections:•350 active “information collections” at EPA•120 million estimated burden hours for

reporting and recordkeeping•1 million entities report to EPA, only 10%

directly – rest through States, Tribes or localities

•Hundreds of people managing data systems at EPA

•About 0.5 million-1 million transactions annually

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Issues – Politics and Policy

•Devolution of power to the States

•States resent EPA/Washington control/mandates

•States resent having to use old “national systems”

•States resent slow EPA system modernization

•“Come and get” the data EPA

•States as “partners”

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Issues - Technical• Architecture Snarl:

– Different systems for different statutes and none “talk” to each other

– Different architectures– Report one way/place here, and another there– Redundant data systems/entry

• Integrating data • Portraying state of environment or program

effectiveness• Portraying environmental quality across jurisdictions• Some collections still in paper or diskette• Little or no security, authentication, validation • State/EPA system modernization efforts asynchronous

Evolve Or Else!

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EPA (and State) Response

•New Enterprise-wide architecture at EPA

•Central Data Exchange (CDX)

•National Environmental Information Exchange Network (Network) with the States, Tribes localities and eventually the private sector

Management Practices(Architecture, Policies, Standards, Security)

Public

Industry

Non-governmentPartners

GovernmentPartners

CDXServices

CONNECT andEXCHANGE

USE

Program SupportPublic Access

Decision Support

System ofAccess

Enterprise Repository

Metadata Holdings Catalog

Shared Geospatial DataCentral RegistriesData Warehouse

STORE for USE

Operational Databases & Applications

PROCESS and STAGE

EXCHANGENETWORKS

Intranet

Extranet

Securityand

AccessControls

EPA Users

EPA Enterprise Target Architecture

• CDX Can Accept Different Data Formats from Members e.g.

• Flat files• XML

• Confirms Authenticity of Submitters

• Provides Documentation to Submitters that data was successfully received.

• CDX Not Only Translates Data from any format, it can make sure data is of good quality

• CDX Distributes incoming data to USEPA Data Systems

Submit or Receive all EPA data via the Web

Members who submit data to CDX

Receive official copy of certification

Documentation of adherence to Agency and Federal Data Management Requirements

Get Access to other Member’s data

ArchiveData

States and others Register to be Members or “Trading Partners”

Members Receive Access to Technical Support to use CDX

DistributeTranslate orCheck Quality

Validate

Sen

d o

r R

eceiv

e

Using the web, Members can use CDX to send all their environmental data (incoming)

Members, especially EPA Programs, can also access CDX (outgoing) to get data sent by any other program (state or other)

Central Data Exchange (CDX)

EPAData Systems

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Basic Data Exchange

• Node-Node Data Exchange - Transaction Logging - Error Handling - Naming & Directory

Services - Security/Access

Controls - Data Translation -

Registration/authentication/ authorization - Backup/recovery• Web User Data Exchange - Portal - Transaction Logging - Error Handling - Naming & Directory

Services - Security/Access

Controls -

Registration/authentication/ authorization - Backup/recovery• Legacy Application Integration - Transaction Logging - Error Handling - Security/Access

Controls -

Registration/authentication/ authorization - Data Translation - Backup/recovery• Non-repudiation - PKI - Encryption - Archiving• Auditing - Archiving

Enhanced Data Exchange

• Data Reconciliation & Validation

• Notification/Alert• Messaging• Reporting Capabilities• Workflow• Chat• PDA/Wireless• Interfaces to Legacy

Systems (EAI Middleware)

• Single Sign-on• CBI• CROMERR

Compliance

Exchange Support Services

• Development Support - System

specifications

and requirements

- XML Schema - Standards Development - Test plans and

test results - Data flow

evaluation - System HW/SW

enhancement -

Registry/repository• Transition Planning &

Management• Implementation,

Operations & Maintenance

• Disaster Recovery Services

• Security Planning (General support systems, major applications)

Document Services

• Document Collection• Data Entry/Data

Capture• Paper & Diskette

Processing• Data Validation, Error

Check and Reconciliation

• Data Filing/Storage

Client Support Services

• Hotline technical support

• Customer service tracking and reporting

• User guides, manuals, and handbooks

• Training and Outreach on the CDX System

• Periodic customer surveys

• Client support metrics

CDX Services

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8 Flows Below Are In Production & More Are In Development/Testing

• AQS: Air Quality System• eBeaches• NEI: National Emission Inventory• PCS IDEF (Pass-Through) Permit Compliance

System-Interim Data Exchange Format• SDWARS: Safe Drinking Water Access and Review

System• RCRAInfo: Resource Conservation and Recovery Act

Information System• TRI Toxics Release Inventory• TSCA HaSD Toxic Substances Control Act Health

and Safety Data

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Case Study – Toxic Release Inventory:Industry Reporting Directly to EPA Using CDX

For most recent reporting year, 2002

23,939 Facilities Reporting

15,003 Paper Submissions

57,867 Disk Submissions

22,325 CDX Submissions with electronic signature

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Results with CDX

•Reduced time to process TRI data by 32% over last year

•TRI submissions through CDX were up 164% over last year

•Savings of nearly $10/facility submission or over $57,000 this year alone

•Users love paperless submission and electronic receipt

Management Practices(Architecture, Policies, Standards, Security)

Public

Industry

Non-governmentPartners

GovernmentPartners

CDXServices

CONNECT andEXCHANGE

USE

Program SupportPublic Access

Decision Support

System ofAccess

Enterprise Repository

Metadata Holdings Catalog

Shared Geospatial DataCentral RegistriesData Warehouse

STORE for USE

Operational Databases & Applications

PROCESS and STAGE

EXCHANGENETWORKS

Intranet

Extranet

Securityand

AccessControls

EPA Users

EPA Target Architecture

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What is the Exchange Network?

A widely distributed web services network that offers a platform-independent, database-neutral, operating system-agnostic programming environment where trading partners can exchange information securely over the Internet

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The Exchange Network VisionA voluntary standards-based, secure exchange environment across the Internet that – Improves data quality and reproducibility– Lowers burden for all partners– Offers the public and regulators better access to

data– Ensures data stewardship– Improves timeliness– Replaces multiple reporting points at EPA– Replaces non-electronic reporting– Improves data integration – regional portrayal

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CDX (EPA’s Node)

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Components of the Exchange Network

• Data Standards• XML Schema Standards, Review Process and

Registry• Network Specifications • Tools• Support• Coordination • Trading Partner Agreements – what data when

etc.• One connection to the Network per partner

(node) • Grant Program for States

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What is a Network Node?

• A Network Node (Node) is a simple web service that initiates and responds to requests for environmental information. CDX is EPA’s “node” on the Network– Client – Requests– Server - Responds

• Nodes can exchange/publish any type of content

• The requests and responses use common formats expressed in eXtensible Markup Language (XML)

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Network Supports Four Basic Operations

1. Administering: authentication and authorization and identity management

2. Querying: Querying a partner for data.3. Sending: Send a set of data to a

partner.4. Retrieving : Retrieving from a partner

a standard set of data.

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Basic Node Architecture

Internet

SOAP ListenerSOAP Processor

Database Connectivity

Object HandlerData MappingXML Processor

Node (Web Server)

Firewall

ExistingInformation

System

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Network Exchange Protocol

Message Structure

• Transport - HTTP

• XML Message - SOAP

• Message Payload – XML– SOAP BODY– DIME Attachments

• Security – HTTPS/SSL

Security (HTTPS/SSL, PKI, etc.)

Transport Protocol (HTTP)

XML Messaging (SOAP)Envelope

SOAP Header

SOAP BodyXML Schema

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Network Protocols and Specifications • Network Node Functional Specifications describe

– Actions performed by the node– How node functions are invoked– Expected node output

• Network Node Exchange Protocol– Defines types of valid messages a Node should

receive– Describes format for sending messages among

nodes

• Expected shelf life of Network Specifications V1.0 is approximately 18-24 months

Lessons Learned As We Head Toward Our Information Exchange Promised Land…

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Lessons/Conclusions

Cutting edge technology with evolving standards can be risky and expensive

• States: budget woes and varying technical ability– If State grant program disappears…

• Long-term investment – not just about ROI– Data quality and data improvement– Burden reduction for industry and government

reporters

• Coordination, politics and control issues – “Open” Network requires rigorous standards and

“central control”– EPA programs gradually coming around – hedging bets– Contractor competition and capacity with web services– Difficult to drive out costs so far – no national RFP no

“node-in-a-box”

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Lessons/Conclusions

•Think about architecture and capacity planning at the beginning – we were a classic startup

•Consider web services instead of individual PKI or other security/authentication approaches

•Single sign-on, one registration database for all data flows with different views

•Take advantage of emerging portal technology

•Opportunity for business process improvement – don’t pave cowpaths

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For More Information

Exchange Network: www.exchangenetwork.netCDX: www.epa.gov/cdx

Chris Clark, Lead ArchitectClark.Chris@epa.gov(202) 566-1693

Jeff Wells, Business ManagerWells.Jeffrey@epa.gov(202) 566-1706