£EPA
United States
Environmental Protection Agency
Fiscal Year 2010 National Environmental
Information Exchange Network
Grant Program
Solicitation Notice
U.S. Environmental Protection Agency
Office of Environmental Information
Office of Information Collection
Information Exchange and Services Division
Information Exchange Partnership Branch
August 2009
OFFICE OF
ENVIRONMENTAL
INFORMATION
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Fiscal Year 2010 National Environmental Information
Exchange Network Grant Program
Solicitation Notice
Table of Contents
I. Funding Opportunity Description
A. Background
B. Grant Program Funding History and Results
C. Assistance Activities
D. Environmental Results from Assistance Activities
E. Program Priorities
F. Partnership Agreements
II. Award Information
A. General Information
B. Types of Assistance
C. Funding Restrictions
III. Eligibility Information
A. Eligible Applicants
B. Threshold Criteria for Eligibility
C. Eligibility Criteria for Partnership Proposals
D. Cost Sharing or Matching
IV. Proposal and Submission Information
A. Submission Date and Time
B. Intergovernmental Review
C. Partnership Agreements
D. Pre-proposal Assistance and Communications
E. Confidential Business Information
V. Proposal Review Information
A. Evaluation Criteria
B. Review and Selection Process
C. Anticipated Award Dates
VI. Award Administration Information
A. Award Notices
B. Administrative and National Policy Requirements
C. Reporting
D. Dispute Resolution Provision
VII. Agency Contacts
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Appendices
A. Appendix A: Suggested Exchange Network Data Exchange Activities
B. Appendix B: Definitions
C. Appendix C: Detailed Instructions for Submitting Proposals
D. Appendix D: Sample Project Goals, Outputs and Outcomes
E. Appendix E: Contracts and Subawards
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FY 2010 National Environmental Information Exchange
Network Grant Program Solicitation Notice
Overview Information
Agency Name and Office: U.S. Environmental Protection Agency (EPA), Office of
Environmental Information (OEI)
Funding Opportunity Title: FY 2010 National Environmental Information Exchange
Network Grant Program
Announcement Type: Availability of Funding Solicitation Notice
Funding Opportunity Number: EPA-OEI-10-01
Catalog of Federal Domestic Assistance (CFDA) Number: 66.608
Dates: November 20, 2009 - Deadline for submitting proposals to EPA
July 2010 - Expected Issuance of FY 2010 Exchange Network Grant
Program awards
I. Funding Opportunity Description
EPA, states, territories, and tribes are working together to develop the National Environmental
Information Exchange Network, a secure, Internet- and standards-based way to support
electronic data reporting, sharing, and integration of both regulatory and non-regulatory
environmental data. States, tribes and territories exchanging data with each other or with EPA,
should make the Exchange Network and the Agency's connection to it, the Central Data
Exchange (CDX), the standard way they exchange data and should phase out any legacy
methods they have been using. More information on the Exchange Network is available at
www.exchangenetwork.net.
The Exchange Network Grant Program provides funding to states, territories, tribes, and inter-
tribal consortia to develop the information technology and information management capabilities
they need to actively participate in the Exchange Network. This program supports the exchange
of data; mentoring, planning and training activities; and collaborative work within the Exchange
Network. This grant program may also be used to fund the standardization, exchange and
integration of geospatial information to address environmental, natural resource, and human-
health challenges.
I-A. Background
The U.S. Environmental Protection Agency (EPA) and its state, tribal, and territorial partners
continue to invest collaboratively to expand the National Environmental Information Exchange
Network (Exchange Network or EN). The idea for developing the Exchange Network arose
from discussions between EPA and state environmental agencies about the challenges of
collecting, sharing, and using environmental information to improve human health and
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environmental protection decision-making. In 1998, EPA and the states formed the State/EPA
Information Management Work Group (IMWG). The IMWG developed the conceptual design
for a national, secure network to improve environmental decision-making through the
comprehensive exchange of environmental information. In 2004, the IMWG commissioned the
Network Planning Action Team (NPAT) to develop a Business Plan for the Network. The
Exchange Network Business Plan strategies and vision continue to guide Exchange Network
implementation and growth.
In 2007, the Exchange Network Leadership Council (ENLC) issued the Exchange Network
Strategic Plan which described its commitment to "building a state-of-the-art Environmental
Information Exchange Network which will become the preferred method for exchanging
environmental data in support of better environmental decision-making." The Plan's objectives
include completing infrastructure, expanding use of the Network to support environmental
decision-making, and meeting customer needs. Exchange Network Grant Program applicants
should access the EN Strategic Plan at http://www.exchangenetwork.net/ENStrategicPlan.pdf.
EPA expects the statutory authority for the Fiscal Year 2010 Exchange Network Grant program
to be provided under the State and Tribal Assistance Grant (STAG) heading within EPA's Fiscal
Year 2010 appropriation act. The FY 2010 President's Budget requests $10,000,000 for the
National Environmental Information Exchange Network Grant Program. Funding of grant
proposals under this Solicitation Notice is subject to the availability of program funds in the FY
2010 annual appropriation for EPA.
I-B. Grant Program Funding History and Results
FY 2010 is the ninth year of the Exchange Network Grant Program. Authorization for the
Exchange Network Grant Program over the previous eight years has been provided by the annual
appropriations for EPA: FY 2002 (Public Law 107-73), FY 2003 (Public Law 108-7), FY 2004
(Public Law 108-199) FY 2005 (Public Law 108-447) and FY 2006 (Public Law 109-54), FY
2007 (Public Law 110-5), FY 2008 (Public Law 110-161), and FY 2009 (Public Law 111-8).
From FY 2002 to FY 2009, EPA has provided approximately $144 million for state, tribal, and
territorial awards and associated program support through the grant program.
In a relatively short period, the Exchange Network has become a reality. As of June 2008, all 50
states, 52 tribes and five territories have participated in developing the Exchange Network at
some level. Fifty states and eight tribes, and one territory have established their Exchange
Network Node and have exchanged data with another partner. For detailed information on state,
territorial, and tribal activities, please see the grant activities that are described at
http://www.epa.gov/exchangenetwork/grants/index.html. For information on the progress of the
data exchanges, please see http://www.exchangenetwork.net.
I-C. Assistance Activities
This Solicitation Notice requests that states, territories, tribes, and inter-tribal consortia develop
and submit proposals to support the exchange of data and business needs of multiple, if not all,
Exchange Network partners while being focused on the stated priorities of the Exchange
Network. EPA will evaluate proposals based on the criteria in Section V.A. Applicants may
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propose projects that include activities other than those listed as examples, provided they are
consistent with the EN goals.
Following a determination of eligibility (see section III-A), EPA will evaluate eligible proposals
based on the criteria in Section V-A. Proposals must commit to and clearly describe the
development of EN services reusable by other partners. For examples of past projects, refer to
http://www.exchangenetwork.net/exchanges/. Appendix A offers more detailed information on
data exchanges and priority EN project areas.
EPA expects to notify the applicants of its selection decisions after they are made in or around
March 2010. EPA may require successful applicants to submit additional or updated documents
required to process awards. EPA anticipates awarding all grants by July 2010. Applicants are
responsible for reading and complying with the instructions and criteria found in this Solicitation
Notice.
I-D. Environmental Results from Assistance Activities
EPA's mission is to protect human health and the environment. Designed to help states,
territories, tribes, and EPA share information more efficiently and effectively over the Internet,
the Exchange Network provides timely access to high-quality, geographically focused data to
strengthen environmental decisions
nation-wide. Proposals under this
Solicitation must clearly demonstrate
support of the EPA 2006-2011 Strategic
Plan, Cross-Goal Strategy of Innovation
and Collaboration, Objective of
"Collaborating on Common Goals."
It is EPA policy to directly link work
supported by assistance agreements to the
Agency's mission and Strategic Plan.
This ensures that environmental results are
appropriately addressed in submitted grant
proposals, awarded assistance agreements,
negotiated work plans, and required
performance/technical reports. EPA will,
therefore, evaluate all proposals based on
details provided on the technical
deliverables of their proposed work and
the environmental results derived from
those deliverables.
To achieve environmental results,
applicants should propose a project that
contains one or more goals (e.g.,
implement WQX data exchange,
publishing AQS data to neighboring
Example Statements of Environmental Results:
Provide environmental decision-makers and
the public with timely, accurate, and
consistent information on watersheds through
the region by developing an XML schema
for exchanging regional water quality data.
> Inform beach closure decisions by state
environmental decision-makers through an
expanded system by which local water
monitors and water quality laboratories use
common sampling and monitoring results to
formulate public safety recommendations.
> Improve timeliness and accuracy of
environmental data and decisions by
implementing electronic submission of state
drinking water data directly from laboratories
to state drinking water programs and EPA
through a five-state collaborative effort
Examples of successful statements of
environmental results in previous proposals can
be found at www.epa.sov/exchansenetwork.
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partners) that will yield desired outcomes (e.g., increased speed and timeliness of data exchange
by allowing data exchanges to happen more frequently; improved quality of data through
additional and more efficient and earlier detection of errors). Goals may consist of one or more
outputs (e.g., map CERS data to XML schema, improve GIS locations and geospatial metadata
for air release points).
The Exchange Network Strategic Plan contains three over-arching Objectives to enable full use
of the Network, establish resource priorities, and provide for continued growth of the Network:
Exchange Network infrastructure is complete and operated and maintained in a way that
assures Exchange Network reliability and continuity
Use of the Network has been expanded to support environmental decision-making
The Exchange Network is responsive to customer needs
The following strategic targets are associated with the Objectives:
Previous projects have ensured that, "By 2007 all 50 states' nodes are operational."
Currently active grants are developing needed EN infrastructure to meet the strategic target
that, "By 2010 all 50 states' nodes remain operational."
Successful 2010 grant proposals will provide support to meet a strategic target that, "By 2012
the EPA and states have implemented all national system flows."
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I-E. Program Priorities
From these strategic documents, the primary outcome expected from the Exchange Network
assistance agreements is more informed environmental decision-making enabled by improved
access to, and exchange of, high-quality environmental data from public and private sector
sources. With this outcome in mind, proposals should demonstrate support for and results
toward the tiered EN program priorities below. Applicants are advised that higher scoring
evaluations will potentially result from well-articulated projects supporting at least one Tier 1
activity.
Tier 1. Activities to Expand Data Exchanges and
Data Availability to Exchange Network Partners:
> Completion of sustainable flows for national
and priority system data exchanges identified in
section II of Appendix A by the end of the
project's period
> Geospatially enable existing national and
priority system data exchanges
> Expansion of national and priority system data
exchanges, already deployed by the applicant, to
other network partners through collaborative
reuse of existing tools and services
> Network publishing to allow EN partners and
the public to access, integrate, and analyze
information from sources across the Network
Implement climate change/greenhouse gas
emissions data exchange
Examples of Support to Priorities:
Increase timeliness and availability
of water quality data flows to
EPA's WQX by decreasing delays
between entry into local systems
and availability to all EN partners.
Expand efficiency and improve
quality of facility data sharing to
reduce administrative burden by
reduction or elimination of manual
and/or duplicative data entry
Expanded functionality of airshed
data reporting, at reduced costs,
through shared infrastructure and
tools with EN partners.
> Standardization and comparability
of data will result in the prevention
or earlier detection of errors.
More examples of success in meeting
program priorities can be found at
www. epa.sov/exchansenetwork.
Tier 2. Activities to Expand Innovative Flow of
Environmental Information:
> Innovative projects in support of non-regulatory
data flows, such as emergency response data,
nationally significant geospatial data sets
developed under OMB circular A-16
("Coordination of Geographic Information and
Related Spatial Data Activities"), open dump
data exchanges, and water quality laboratory
data reporting, that demonstrate potential
applicability to multiple EN partners
Support to bring partner's existing systems into compliance with EPA's Cross-Media
Electronic Reporting Regulation (CROMERR)
Establishment of new, Node 2.0-compliant nodes
Develop standalone Open Geospatial Consortium (OGC) standards-based software for node
installations to publish dataflows in formats that may include WMS, WFS, SOS, and
AtomPub
Please note that grant resources are not available in FY 2010 to support upgrading existing nodes
to the Node 2.0 specification. If an applicant proposes CROMERR enhancements, their
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narrative must describe the project in specific technical and programmatic detail to receive a
positive evaluation. Detailed program information on CROMERR compliance is available at
www. epa. gov/cromerr.
EPA also wishes to clarify how it will evaluate innovative projects that integrate national and
priority system flows such as the Homeland Emergency Response System (HERE). If, as part of
an innovative project, the applicant will be implementing a new national or priority system data
flow, EPA will score this proposal as being in tier 1. For example, a proposal that includes
completion of the RCRAInfo Handler data exchange and integration of this exchange into HERE
would be considered as falling in tier 1. If, on the other hand, the applicant is implementing an
application such as HERE that is integrating existing data flows, and the proposal does not
otherwise include any of the activities included in tier 1, then EPA would score this proposal as
being in tier 2. For example, a proposal includes two goals: goal 1 is implementation of HERE,
integrating an existing RCRAInfo Handler data exchange and goal 2 is implementation of the
Non-Point Source Best Management Practices data exchange. Because this proposal does not
implement any new tier 1 exchanges nor include any other tier 1 work, it would net a tier 2 score.
Applicants may wish to reference the ENLC's Geospatial Strategy Report and white paper
(http://www.exchangenetwork.net/exchanges/cross/GeospatialStrategyReport FINAL.pdf) on
issues related to exchanging geospatial data over the Network and promoting the use of
Geospatial Mark-up Language (GML) for the exchange of geographic features (points, lines,
polygons) over the Exchange Network. EPA endorsed the exploration of Geospatial "Really
Simple Stuff (GeoRSS) GML to address most of the exchange of geospatial features over the
Exchange Network. Applicants can strengthen their proposal for Network grants funding by
explaining how their proposed data exchange efforts are linked to national efforts to improve the
transmission and sharing of geospatial data and/or geo-referenced environment program data
currently underway in support of environmental program missions.
I-F. Partnership Agreements
Applicants may propose collaborative activities such as:
pursuing priority activities in formal collaboration with other Exchange Network partners;
exchanging data not previously available or shared between partners, e.g., environmentally-
related human health data; geospatial data; data needed to fill current data gaps; or data
related to pollution prevention practices, technologies, or case studies; and
exchanging data needed to address regional environmental issues (e.g., for the Great Lakes,
Long Island Sound, Chesapeake Bay, Puget Sound, U.S./Mexico border, Gulf of Mexico).
One example of such a project would be to use the Exchange Network to share watershed
monitoring data and the analytical results produced by watershed analysis tools.
See Section III-C, "Eligibility Criteria for Partnership Proposals," before making any financial
commitments to proposal partners or listing these partners in your proposal.
II. Award Information
The Catalog of Federal Domestic Assistance number for the Exchange Network Grant Program
is 66.608 (http://www.cfda.gov).
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II-A. General Information
In FY 2010, EPA expects to award an estimated $10,000,000 for 40 to 50 grants of up to
$350,000. The exact number of grants will depend on the amount of EPA's appropriation for the
grant program, the number of proposals submitted to EPA by the proposal deadline, the amount
requested to produce the proposed results, and the competitive review of the proposals received.
EPA anticipates most of the awards will be in the $50,000 to $200,000 range. Awards to a
single applicant will not exceed $200,000. EPA may make a limited number of awards to
collaborative, multi-partner grant projects. Budgets for these projects cannot exceed
$350,000. EPA will set aside approximately ten percent of the appropriated funds for tribal
assistance agreements. The amount awarded to tribes may be greater than this set-aside,
depending on the merit of tribal proposals and on the competitive review of all proposals. The
standard period of performance for each project will be two years. EPA expects to announce the
FY 2010 Exchange Network Grant program awards in or around March 2010 and award the
grants by July 2010.
In appropriate circumstances, EPA reserves the right to partially fund applications by funding
discrete portions or phases of proposed projects. If EPA decides to partially fund a project, it will
do so in a manner that does not prejudice any applicants or affect the basis upon which the
application or portion thereof, was evaluated and selected for award, and therefore maintains the
integrity of the competition and selection process.
Additional Awards: EPA reserves the right to make additional awards under this
announcement, consistent with Agency policy, if additional funding becomes available after the
original selections. Any additional selections for awards will be made no later than six months
from the date of the original selections.
II-B. Types of Assistance
Assistance agreements funded through the Exchange Network Grant Program may be issued in
various forms. EPA has the authority to determine each of these forms, but will consider
requests from each applicant on the final award elements of the assistance agreement.
EPA uses assistance agreement vehicles to transfer funding and services to a recipient to
accomplish a public purpose. Unlike contracts, grants are structured and managed to ensure the
project benefits the recipient toward the identified public purpose. In the case of the Exchange
Network, Assistance agreements are structured to allow recipients to develop needed
infrastructure, systems, and capacity to electronically report environmental information and
participate fully on the Network.
Applicants should identify and justify requests for the various structural elements available
within their assistance agreement to best achieve their project and environmental results. EPA
will consider applicant requests regarding the following options:
Grant or Cooperative Agreement. Grants represent direct funding to a recipient to support
an identified project with defined environmental results. A cooperative agreement
anticipates substantial involvement from EPA, in collaboration with the recipient, to achieve
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project results. If the recipient does not identify a preference, EPA's default award will be a
cooperative agreement.
Direct Funding or In-Kind Services. EPA will consider grantee requests to use all or a
portion of awarded grant funds to provide in-kind services to the recipient through an EPA
contract vehicle. Applicants should request and justify project efficiencies to be expected
from this approach.
Single Grant or Performance Partnership/Consolidated Grants An applicant whose
organization has an existing Performance Partnership Grant (PPG) with EPA may request
any new grant recommended for funding be incorporated into the PPG. Similarly, a
territorial applicant whose territory has a Consolidated Grant (CG) with EPA may request
that new awards be incorporated into the CG. Absent a request from the recipient for
inclusion within a PPG or CG, EPA will award the grant in a stand-alone vehicle.
II-C. Funding Restrictions
Applicants may propose project funding from the FY 2010 Exchange Network Grant Program
for costs associated with personnel salaries and fringe benefits, Intergovernmental Personnel Act
Agreements (IPA's) travel, travel related to Exchange Network activities, equipment, supplies,
contractual costs, in-kind services provided by EPA, and indirect costs. Applicants may not use
funding from the FY 2010 Exchange Network Grant Program for the following functions (see
Appendix B for definitions.):
Construction costs.
Operations and maintenance of previously developed and implemented EN projects.
Workshops and Conferences that are not initiated, advertised, and conducted for the benefit
of the recipient and other state, tribal, territorial, or local representatives or public
participants or are conducted primarily for EPA's benefit.
Pre-Award Costs not previously requested to cover pre-award costs incurred 90 days or less
before the award date.
Management Fees in excess of the direct costs and indirect costs at the rate approved by the
applicant's cognizant audit agency, or at the rate provided for by the terms of the agreement
negotiated with EPA.
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III. Eligibility Information
III-A. Eligible Applicants
Eligible applicants for the Exchange
Network Grant program include states,
U.S. Territories (i.e., American Samoa,
the Commonwealth of the Northern
Mariana Islands, the District of Columbia,
Guam, Palau, Puerto Rico, the U.S. Virgin
Islands), federally recognized Indian tribes
and native villages, and inter-tribal
consortia of federally recognized tribes
(e.g., the Northwest Indian Fisheries
Commission because their membership is
primarily federal recognized tribes and
they have sufficient controls to ensure
tribes will benefit from funding).
Examples of Eligible Project Lead
Organizations:
> State Department of Environmental Quality
> Territorial Environment Division
> Tribal Council on behalf of two or more
tribal environmental and/or health agencies
> State Department of Public Health
> Tribal Water Quality Administration
> State Office of the Chief Information Officer
Regional Air Quality Board delegated
authority for the air program under 40 CFR
State university where the university or the
university system is formally designated as
an instrumentality of the state
Other entities, such as regional air
pollution control districts, some public
universities, and local governments that
are delegated to implement environmental
programs from their state in compliance
with 40 CFR may apply for assistance if
they are agencies or instrumentalities of a
state under applicable state laws. These
entities, as well as other entities that submit applications asserting they are agencies or
instrumentalities of a state, must provide with the proposal a letter from the appropriate state
Attorney General certifying that the applicant is an agency or instrumentality of the state or
provide legal documents that clearly establish the status of the applicant as an agency or
instrumentality of a state. If the application does not contain the required documentation, the
proposal will not be considered.
EPA encourages applicants with questions regarding eligibility to seek clarification from EPA by
contacting Edward Mixon, Exchange Network Grants Program Manager, at (202) 566-2142 or
mixon.edward@epa.gov and to attend Exchange Network Users meetings to learn about and
discuss Exchange Network projects and technology. Applicants not meeting the eligibility
criteria may consider collaborative work with eligible organizations. EPA will only evaluate
proposals with eligible entities identified as the lead implementing agency for the project.
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III-B. Threshold Criteria for Eligibility
These are requirements that if not met by the time of proposal submission will result in
elimination of the proposal from consideration for funding. Only proposals from eligible entities
(see above) that meet all of these criteria will be evaluated against the ranking factors in Section
V of this announcement. Applicants deemed ineligible for funding consideration as a result of
the threshold eligibility review will be notified within 15 calendar days of the ineligibility
determination.
l.a. Proposals must substantially comply with the proposal submission instructions and
requirements set forth in Section IV and Appendix C of this announcement or else they will be
rejected. Where a page limit is expressed in Section IV and Appendix C with respect to the
project narrative, pages in excess of the page limitation will not be reviewed.
b. Proposals must be postmarked or submitted as specified in Section IV and Appendix C of this
announcement on or before the proposal submission deadline published in this announcement.
Applicants are responsible for ensuring that their proposals are submitted by the submission
deadline.
c. Proposals postmarked or submitted after the submission deadline will be considered late and
returned to the sender without further consideration unless the applicant can clearly demonstrate
that it was late due to EPA mishandling. Applicants should confirm receipt of their proposal
with Edward Mixon (mixon.edward@epa.gov) as soon as possible after the submission deadline
- failure to do so may result in your proposal not being reviewed.
2. EPA will not fund any activities or deliverables for which the entity has previously received
funds. Applicants must detail differences between current grant proposals and previous grant
awards to avoid confusion. If a proposal is similar to a previously funded activity, applicants
must briefly discuss how previously funded activities differ from current activities proposed or
how the current proposal will complement or build on past or ongoing accomplishments.
3. All state government applicants must provide a statement of two to three pages, explaining
how they will seek to meet the EN strategic target that EPA and the states have implemented all
national and priority system data exchanges identified in Section II of Appendix A. These pages
do not count as part of the 10-page maximum for the project narrative. At a minimum, this
statement must answer the following questions:
For which national and priority system data exchanges is the applicant flowing data to EPA
or receiving data from EPA using the Exchange Network? What was the date of the
applicant's most recent data exchange for each of these flows?
If the date of the applicant's most recent data flow for any of the data exchanges identified in
question 1 was prior to January 1, 2008, the applicant needs to explain why it has not
exchanged data since then. Does the applicant plan to exchange data again? What is the
target date for the next data exchange?
For each national and priority system data exchanges with which the applicant has not yet
flowed data, does the applicant plan to flow data by the end of FY 2012. What is the target
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date for flowing data? Please provide interim milestones (e.g., mapping state data to XML
schema).
If there are any national and priority system data exchanges with which the applicant does
not plan to flow data, the applicant needs to explain why it does not plan to participate in the
exchange. Examples include: applicant not delegated to implement program, applicant enters
data directly into EPA system (e.g., RCRAinfo) and does not have a system of its own, EPA
system will not be ready to accept data, and other identified business needs.
If the applicant is aware of any systemic impediments to fully implementing all national and
priority system data exchanges by the end of 2012, it should describe these impediments
along with any solutions the applicant may have.
The applicant should provide any pertinent information that will help EPA evaluate its plan.
EPA will not review a proposal that does not include this statement. The statement must
contain sufficient detail to demonstrate that the state has a strategic approach for fully
implementing the Exchange Network for all appropriate national and priority system flows.
4. EPA will not review proposals from a single applicant that have budgets which exceed
$200,000 and multi-partner, collaborative proposals that have budgets which exceed $350,000.
5. EPA will not review a proposal or a part of a proposal that requests funding to upgrade an
existing node to the Node 2.0 specification.
III-C. Eligibility Criteria for Partnership Proposals
EPA will consider a higher funding limit for projects that include more than one Exchange
Network partner. For these, one eligible entity must lead the collaborative effort and assume
program and financial responsibility for the proposed project. Partners must state their support,
through a letter of intent or other written mechanism included within the proposal, for specific
project activities within the partnership proposal. Coalitions formed from within a single state,
territorial, or tribal government (e.g., a "partnership" limited to the Environment and Public
Health Departments within a state) will not be considered an eligible partnership and will be
limited to the maximum funding for a single-jurisdiction grant, which in FY 2010 is $200,000.
III-D. Cost Sharing or Matching
No cost-sharing or matching of funds is required by applicants.
IV. Proposal and Submission Information
Applicants for the FY 2010 Exchange Network Grant program must submit a proposal package
to EPA by November 20, 2009. EPA will accept project proposals for National Environmental
Information Exchange Network grants in one of two ways: 1) a hardcopy mailed or delivered
proposal, including one original and two copies or 2) a proposal submitted by electronic mail.
Initially, EPA will require applicants to submit a streamlined proposal which provides needed
information to facilitate the evaluation of the proposed project, including, but not limited to, the
SF-424, the project narrative, proposed budget, and qualifications of the key personnel. Only
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applicants with proposals that EPA selects for funding will need to submit other official forms.
EPA will confirm receipt of each proposal with an e-mail to the contacts listed in the cover letter.
Applicants may obtain a copy of the SF-424 from the Office of Grants and Debarment website
(http://www.epa.gov/ogd/AppKit/application.htm).
Proposals must include a cover letter signed by an authorized organizational representative
(AOR) who, by virtue of their position, is able to obligate staff time on the proposed project.
The specific requirements of the proposal package and each document included with the package
are available in Appendix C which outlines the format for the project narrative (no more than
ten-single-spaced pages) and provides more detailed proposal instructions. The ten-page limit
does not include the 2-3 page Exchange Network Implementation Plan required in section III-B,
above EPA will not review pages beyond the first ten pages of the project narrative
Upon notification of the EPA's funding recommendation, applicants may be required to submit
additional documents to complete the funding package. EPA will provide further instructions for
submittal of additional or updated documents at that time.
IV-A. Submission Date and Time
Signed and completed proposal packages as described in Appendix C must be postmarked, sent
via electronic mail, or delivered to an overnight courier service no later than 11:59 PM Eastern
Standard Time, November 20, 2009. Proposal packages postmarked, sent electronically, or
delivered to an overnight courier after the published closing date and time will be returned to the
sender without further consideration.
IV-B. Intergovernmental Review
This funding opportunity is not subject to Executive Order (EO) 12372, "Intergovernmental
Review of Federal Programs."
IV-C. Partnership Agreements
EPA awards funds to one eligible applicant as the recipient even if other eligible applicants are
named as partners or co-applicants or members of a coalition or consortium. The recipient is
accountable to EPA for the proper expenditure of funds and attainment of program and
environmental results.
Grantees may provide subgrants or subawards to fund partner work within the overall project,
provided the recipient complies with applicable requirements for subawards or subgrants
including those contained in 40 CFR Parts 30 or 31, as appropriate. Successful applicants cannot
use subgrants or subawards to avoid requirements in EPA grant regulations for competitive
procurement by using these instruments to acquire commercial services or products from for-
profit organizations to carry out its assistance agreement. For more detailed information on
partnership agreements, contracts, and subawards, please see Appendix E.
EPA panels will review applicants' qualifications, past performance, and reporting history, and
will consider, as appropriate and relevant, the qualifications, expertise, and experience of formal
partners. Applicants should detail their own project roles and responsibilities, experience and
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past performance and those of their formal partners. Section V, below, describes in detail the
evaluation criteria and process EPA will use to make selections under this Notice.
IV-D. Pre-proposal Assistance and Communications
In accordance with EPA's Assistance Agreement Competition Policy (EPA Order 5700.5A1),
EPA staff will not meet with individual applicants to discuss draft proposals, provide informal
comments on draft proposals, or provide advice to applicants on how to respond to ranking
criteria. Applicants are responsible for the contents of their proposals. However, EPA will
respond to questions in writing, including electronic mail, from individual applicants regarding
threshold eligibility criteria, administrative issues related to the submission of the proposal, and
requests for clarification about the announcement.
IV-E. Confidential Business Information
In accordance with 40 CFR 2.203, applicants may claim all or a portion of their proposal as
confidential business information. EPA will evaluate confidentiality claims in accordance with
40 CFR Part 2. Applicants must clearly mark proposals or portions of proposals they claim as
confidential. If no claim of confidentiality is made, EPA is not required to make the inquiry to
the applicant otherwise required by 40 CFR 2.204(c) (2) prior to disclosure. The Agency,
however, considers competitive proposals confidential and protected from disclosure prior to the
completion of the competitive selection process.
V. Proposal Review Information
V-A. Evaluation Criteria
EPA review panels will evaluate and score proposals from eligible applicants using the following
criteria. The EPA Selection Official will make the final funding decisions based on an
applicant's score and other factors as discussed in section V-B. Appendix D provides an
example of a project narrative.
Expected Outputs, Outcomes and Environmental Results (20 points): EPA will evaluate the
clarity of project outputs, outcomes and environmental results (such as improved environmental
decision-making) and the description of a method for tracking them using these criteria:
Does the proposal clearly tie project goals to outcomes such as burden reduction, costs
savings, and improved data quality and timeliness? (5 points)
Does the proposal clearly tie outcomes to environmental results (e.g., specific ways that
improved data quality and timeliness will improve environmental decision-making; data how
data sharing among partners will enable agency managers to manage water and air sheds
more effectively). (5 points)
Does the proposal include a plan that allows the applicant to track and report progress towards
achieving the project's expected goals to EPA? Does the proposal include a plan that allows the
applicant to track and report to EPA progress towards achieving the project's expected outputs,
outcomes, and environmental results? Each grant funded goal, such as a completed data flow,
should have several outputs scheduled over the project period leading to the goal. (10 points)
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Project Feasibility and Approach (20 points-5 points for each sub factor ): EPA will evaluate
the feasibility of proposed projects using the following criteria:
Does the design of the project appear to be within the technical capabilities of the applicant,
and compatible with EN technology?
Does the proposal clearly describe project roles and responsibilities for the applicant and, for
collaborative projects, each partner?
Does the project narrative clearly describe how the applicant's IT/IM staff are collaborating
with environmental or health programs to integrate project outputs into the programs'
business operations, thereby increasing the likelihood that the project will achieve its desired
outcomes and results.
Applicants must affirm their commitment to reuse existing EN tools or share new tools with
EN partners:
o For existing flows, has the applicant committed to using and adapting existing tools
or;
o For innovative flows, has the applicant committed to sharing the tools developed or
significantly customized for the project?
Exchange Network Priorities (30 points): EPA will evaluate how well a proposal advances the
Exchange Network program objectives (Section I-D), and the consistency of the proposed work
with Exchange Network priorities (Section I-E). For more detail about data exchange activities
see Appendix A or the Exchange Network website at
http://www.exchangenetwork.net/exchanges/.
Under this criterion, applicants are advised that only well-articulated projects that address at least
one Tier 1 activity will be potentially eligible to receive the maximum points under this factor.
Applicants are specifically advised that if their proposal does not address any Tier 1 activities, it
will only be eligible for a maximum of 20 points under this factor. Specific criteria include:
Does the proposal commit to a Tier 1 project involving:
o Completion of sustained flows for national and priority system data exchanges by the end
of the project's period
o Expansion of national and priority system data exchanges, already deployed by the
applicant, to other network partners through collaboration and the reuse of existing tools
and services
o Network Publishing to allow others to use information (see definition in Appendix B),
o Climate change and greenhouse gas emissions data exchange
Does the proposal commit to a Tier 2 project involving:
o Innovative projects developing sustained non-regulatory data exchanges, such as
emergency response data and nationally significant geospatial data sets developed under
OMB circular A-16 ("Coordination of Geographic Information and Related Spatial Data
Activities"), open dump data exchanges, and water quality laboratory data reporting.
o Bringing an existing system into compliance with CROMERR
o Establishing new, Node 2.0-compliant nodes
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Budget, Resources and Key Personnel (15 points-5 points for each subfactor below): EPA will
evaluate: (1) the budget's appropriateness including the amount allocated to each goal and its
adequacy to support and complete the proposed work; and (2) the qualifications of the project
manager and other key personnel and the applicant's resources to perform the project.
Does the proposal include an appropriate amount budgeted for each goal in the project
narrative?
Is the budget sufficient to support completion of the work within two years?
Does the proposal document the qualifications of the project manager and other key
personnel to perform the proposed work, and does the applicant demonstrate it has the
resources to perform the project?
Past Performance (15 points): EPA will evaluate applicants on their progress towards
achieving the expected results under prior Exchange Network grants and as reported in Exchange
Network Grant semi-annual progress reports (past recipients who have a poor semi-annual
reporting record will receive a reduced score). If an applicant does not have prior Exchange
Network grants then they will be evaluated based on their progress towards achieving the
expected results under other prior federal agency assistance agreements (an assistance agreement
is a grant or cooperative agreement and not a contract) performed within the last 3 years.
Please note that in evaluating applicants under this criteria, the Agency will consider the
information provided by the applicant and may also consider relevant information from other
sources including agency files and prior/current grantors (e.g., to verify and/or supplement the
information supplied by the applicant). If you do not have any relevant or available past
performance or reporting information, please indicate this in the proposal and you will receive a
neutral score for this criteria-7.5 points. If you do not provide any response for these items, you
may receive a score of 0 for these factors
V-B. Review and Selection Process
EPA review panels will base their evaluation and ranking of proposals on the criteria listed in
section V-A. The EPA reviewers will submit comments and rankings and make funding
recommendations to the selection official, the Assistant Administrator of the Office of
Environmental Information (OEI) or his or her designee who will make the final funding
decisions.
Other Evaluation Factors: In making the final funding decisions from among the most highly
scored proposals, the EPA selection official may also consider one or more of the following
factors:
EPA programs' ability and/or readiness to support proposed project activities;
geographic distribution of funding;
prioritization of data exchange and priority activities over other assistance activities;
ensuring participation in the Exchange Network by federally recognized Indian tribes and
inter-tribal consortia; and
EPA's capacity to provide any requested in-kind services.
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V-C. Anticipated Award Dates
EPA anticipates that it will announce selection decisions in or around March 2010. EPA plans to
issue the awards by July 2010.
VI. Award Administration Information
VI-A. Award Notices
EPA will notify all applicants, by telephone or electronic or postal mail, of their status in or
around March 2010. The notification of a full or partial funding recommendation, which advises
the applicant that it has been preliminarily selected and is being recommended for award, is not
an authorization to begin work. Notifications will detail final proposal requirements and other
required information needed from those applicants preliminarily recommended for award. EPA
will give applicants instructions and a due date for submittal of the final proposal package.
VI-B. Administration and National Policy Requirements
Each assistance agreement will include a set of Administrative Terms and Programmatic
Conditions, such as requirements for electronic funding transfers, additional financial status
reporting, and limitations on payments to consultants, and application of indirect cost rates.
These terms and conditions form the basis for the final award of Exchange Network grant
funding. Failure to concur with the included terms and conditions will invalidate the award.
VI-C. Reporting
Semi-Annual Performance Progress Reports: Reporting is an important obligation that award
recipients agree to undertake when they sign an assistance agreement. Both EPA and recipients
are accountable to Congress and to the public for the proper and effective use of Exchange
Network assistance funds. Award recipients will submit semi-annual and final technical reports
through EPA's Central Data Exchange (CDX) using a web form that replicates the current
reporting form. EPA will provide successful applicants with detailed instructions for registering
with and reporting through CDX at the time of award.
VI-D. Dispute Resolution Provision
Assistance agreement competition-related disputes will be resolved in accordance with the
dispute resolution procedures published in 70 FR (Federal Register) 3629, 3630 (January 26,
2005) which can be found at http://www.epa.gov/ogd/competition/resolution.htm. Copies of
these procedures may also be requested by contacting Edward Mixon at 202-566-2142 or
mixon.edward@epa.gov.
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VII. Agency Contacts
The primary EPA Headquarters point of contact is:
Edward Mixon
Exchange Network Grant Program Manager
Office of Information Collection
Office of Environmental Information
Phone: (202) 566-2142
Facsimile: (202) 566-1684
Email: mixon.edward@epa.gov
Mailing AddreSS: Physical AddreSS (for overnight, or courier deliveries)'.
Edward Mixon Edward Mixon
U.S. Environmental Protection Agency U.S. Environmental Protection Agency
1200 Pennsylvania Avenue, NW, (2823-T) 1301 Constitution Avenue, NW
Washington, DC 20460 6th Floor, Room 6416-V
Washington, DC 20004
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Appendix A
Suggested Exchange Network Data Exchange Activities
This Appendix outlines the data exchange activities that applicants should consider when
applying for the FY 2010 Exchange Network Grant Program. The Appendix contains four
subsections: Definition of Standard Milestones for EPA Information System or Data Exchanges,
National and Priority System Data Exchanges, Non-Regulatory Data Exchanges and Innovative
Data Exchanges. This Appendix highlights the EPA Program Office activities related to flows
and provides suggested activities for applicants to consider when developing their proposal.
The Exchange Network Grant Program supports a variety of activities, including the
development of common data standards, formats, and trading partner agreements for sharing data
over the Exchange Network and implementation of collaborative, innovative uses of the
Exchange Network. It also supports the standardization, exchange, and integration of geospatial
information to address environmental, natural resource, and related human-health issues.
As part of the standardization mentioned above, grantees must utilize data standards that have
been previously approved by the ENLC as they develop Exchange Network products and
services. In most cases, the data standards needed in implementation will have previously been
incorporated in the major EPA systems and Exchange Network data flows. These data standards
can simply be reused. For detailed information on each ENLC approved standard please refer to
the Exchange Network website at http://www.exchangenetwork.net/standards/index.htm. There
is also a separate document (located at the web site cited above) to assist you with understanding
how these standards have been implemented within the specific EPA systems. Please note that
in some cases you may need to identify areas for new data standardization. If so, please indicate
in your proposal the data standards needed and project the funding required to support that work.
The success of the Exchange Network will ultimately depend on how EPA and its partners use
the data and information that are exchanged to enhance decision-making and programmatic
operations. EPA encourages all partners to use the Exchange Network to meet their business
needs. This could include exchanging data that supports national environmental systems, as well
as data that support particular state, territorial, and tribal needs. Innovative projects must
demonstrate that they will be net-centric and result in the development of reusable services for
the Exchange Network.
I. Definition of Standard Milestones for EPA Information Systems
or Data Exchanges
This section will assist EPA Programs and Exchange Network partners in better understanding
the EPA Program Office activities and establish consistency across all data flows by further
defining each milestone. These activities may be already completed, in process or planned at the
time of release of this guidance.
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Test XML Schema - (Version X) - Schema has completed EPA testing and is ready for limited
release to Exchange Network Partners that will support the testing process with EPA to identify
any potential issues from real data exchanges. This includes the use of real data sets in XML
instance documents. At this stage, Partners will have the constructs for mapping data to their
own systems and sufficient time would be needed by these partners to complete that process
once the schema(s) is released.
Release final XML Schema - (Version X) - Schema has undergone conformance review and is
ready for posting to the Exchange Network Web Site for access by all Exchange Network
Partners (www.exchangenetwork.net).
National database available for testing - National database is ready for testing to exchange
data in a format that complies with agreed upon standards and rules. For example, the database
can support testing the receipt and processing of XML instance documents or a converted format
as part of the exchange process.
Availability of EPA Node services for testing - EPA Node services include all central services
the program offices need or choose that enable a more efficient data exchange among exchange
partners. Examples include XML validation (Schema and Schematron), Network Authentication
and Authorization Service (NAAS), XML Gateway services, and the Universal Description and
Discovery Integration tool.
Readiness for complete end-to-end testing by Exchange Network Partners - At this stage,
the XML schema(s) at a minimum are ready for testing by Network Partners and the National
Database and EPA Node services are available for testing. In addition, all EPA accounts have
been established for testing (e.g. privileges to NAAS and authorization to the database)
Flow Configuration Document completed or updated - Flow Configuration Documents
identify and standardize the minimum information needed by trading partners to execute a data
exchange. They describe the technical configuration and business processes used to exchange
data between trading partners.
System ready to receive or publish - This status indicates that a sufficient amount of end-to-
end testing has occurred and all problems have been addressed, the XML schema(s) has been
released, supporting documentation has been finalized, all production readiness reviews have
been completed, the Program Office has received approval (if applicable) from the National
Computing Center for deploying new code to production, and the appropriate parties (e.g.
helpdesks) have been notified of release and have the necessary tools to support Exchange
Network Partners' inquiries.
Develop Trading Partner Agreement (TPA) - A Trading Partner Agreement (TPA) defines in
writing, for specific data exchanges, the participating partners' individual and joint
responsibilities in stewardship, security, and other items essential for the effective exchange of
information between two or more trading partners on the Exchange Network. A TPA must be
developed within six months after the exchange has begun unless a waiver is obtained. The
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Network Policy Framework including the TPA Procedure can be found at:
http://www.exchangenetwork.net/policy/index.htm.
Other Exchange Network activities (optional) - This section provides an opportunity to
identify key milestones for unique activities associated with a particular project. Some examples
are upcoming National conferences to conduct training, additional Web services to be deployed,
a strategic rollout plan and related post-production activities.
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II. National and Priority System Data Exchanges
Applicants could propose to implement one or more of the following data exchanges. These
exchanges are organized by media: EPA's priority will be on proposals that focus on deploying
national and priority system data exchanges. Each of these data exchanges is briefly described
below, along with related EPA Program Office information and a concise description of
milestones for the development of data flow within the FY 2010-2012 timeframe. Please note
that data exchanges for the Air Facility System (AFS) and the Integrated Compliance Tracing
System (ICTS) have been removed from this prioritization list because milestones have been
changed to dates beyond the 2012 timeframe. EPA expects to contact previous recipients to
change grant project narratives which include spending on the AFS or ICTS data exchanges. In
some cases, additional activities for the data exchange are listed. Applicants need to align their
activities with the milestones described. Priority will also be given to proposals that result in
data being geospatially enabled and published.
Air
. Air Quality System (AQS) A-5
. Emission Inventory System (EIS) A-6
. Greenhouse Gas Data System (GGDS) A-7
Office of Enforcement and Compliance Assurance (OECA)
Integrated Compliance Information System - National Pollutant Discharge
Elimination System (ICIS-NPDES) A-8
. Net Discharge Monitoring Reports (NetDMR) A-l 1
Waste
. Resource Conservation and Recovery Act Information System (RCRAInfo) A-13
Water
. Assessment TMDL Tracking & Implementation System (ATTAINS) A-14
. eBeaches A-16
. Safe Drinking Water Information System (SDWIS) A-17
. Underground Injection Control (UIC) Database A-18
. Water Quality Exchange (WQX) A-19
Other
. Facility Registry System (FRS) A-20
. Toxics Release Inventory System (TRIS) A-21
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Air Quality System (AQS)
Description:
AQS is a national database that contains ambient air quality monitoring data collected by state,
tribal, and local governments. The data volume that flows into AQS is large, with thousands of
files submitted per year containing a total of about 90,000,000 discrete data points.
Version 2.1 of the AQS XML schema has recently been deployed to the Exchange Network and
the EPA Central Data Exchange (CDX). This schema provides support for the 2000 census Core
Based Statistical Areas (CBSA), and reflects the deprecation of the older Metropolitan Statistical
Areas (MSA).
Exchange Network Program Office Activities
Milestones
Test XML schema - (Version 2.1)
Release XML Schema - (Version 2.1)
Availability of database or system for testing
Availability of Node services for testing
Readiness for complete end-to-end testing by states/tribes*
System readiness to receive production data to EPA
Flow Configuration Document completed or updated
Target
Completion Date
Completed
Completed
Available
Available
Ready
Ready
Completed
* An AQS test environment account is required for system or end-to-end testing.
Additional Activities to be considered by Grant Applicants:
Grant activities could include:
Mapping data elements to version 2.1 XML schema
Configuring the organization's Exchange Network Node to flow AQS data to EPA
Upgrading State/Local/Tribal Exchange Network Node (and related data systems) to
support version 2.1 XML schema
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Emission Inventory System (EIS)
Description:
The Emissions Inventory System (EIS) is the new information system for storing all current and
historical emissions inventory data. It will be used to receive and store emissions data and
generate annual and triennial National Emission Inventory beginning with the 2008 NEI.
The National Emissions Inventory (NEI) is EPA's compilation of estimates of air pollutants
discharged on an annual basis and their sources. EPA uses the NEI to track emissions trends over
time, develop regional pollutant reduction strategies, set and analyze regulations, perform air
toxics risk assessments including inhalation risks and multi-pathway exposure, model air
pollutant dispersion and deposition, and measure environmental performance as required by the
Government Performance and Results Act.
Exchange Network Program Office Activities
Milestone
Test XML schema
Release XML Schema (Draft)
Availability of database or system for testing
Availability of Node services for testing
Readiness for complete end-to-end testing by States/ Tribes
System readiness to receive production data to EPA
Flow configuration document completed or updated
Target
Completion Date
Complete
Complete
Complete
Complete
July 2009
July 2009
July 2009
Additional Activities to be considered by Grant Applicants:
Future reporting is expected to transition to the modernized NEI the Emissions Inventory
System (EIS). For FY2008, EIS development was primarily focused on Web access to the
database. Data submissions are expected to start flowing through the Exchange Network to the
EIS in 2009. EIS reporting will make use of a new schema that are expected to shorten the
length of time required to meet reporting deadlines and reduce burden on state, local and tribal
agencies by consolidating reporting schemas referred to as the Consolidated Emission
Reporting schema (CERS). The CERS facilitates the reporting of data from state-to-EPA for the
NEI and The Climate Registry (TCR) reporting. The schema may also be used for direct facility
to state reporting as additional data elements, identified in the Air Force project, have been
included for this purpose.
Grant proposals could include mapping data from NIF3.0 to CERS; facility to state reporting:
and, modernization of current systems to meet the shortened reporting requirements.
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Greenhouse Gas Data System (GGDS)
Description:
The Greenhouse Gas Data System (GGDS) will support EPA's proposed Mandatory Reporting
Rule (MRR) for the collection of GHG emissions data from all sectors of the economy. Under
the proposed MRR approximately 13,000 facilities will submit reports to EPA on an annual
basis. The first data collection will be for calendar year 2010 and the first reporting deadline will
be March 31, 2011. Following QA of the data, EPA plans to make the data available to
interested states and tribes through network publishing. An applicant interested in obtaining data
for facilities under their jurisdiction should seek funding to perform the work necessary to
receive these data. GGDS results will inform future policy by providing a comprehensive,
facility-level listing of upstream and downstream GHG emissions. Additional information can
be found at: http://www.epa.gov/climatechange/emissions/ghgrulemaking.html
Exchange Network Program Office Activities
Milestone
Report out on compliance with data standards
Test XML schema - (Version X)
Release XML Schema - (Version X)
Availability of database or system for testing
Availability of Node services for testing
Readiness for complete end-to-end testing by States/Regions
System readiness to share production data with States/Regions
Flow configuration document completed or updated
Quality assurance of preliminary GGDS results
Public release of GGDS results
Target
Completion Date
February 20 10
February 2010
March 20 10
June 20 10
June 20 10
September 20 10
April 20 11
July 20 10
April 20 11
June 20 11
Additional Activities to be considered by Grant Applicants
Exchange Network grant activities include Node development and testing as well as quality
assurance of GGDS results. States and Regions will be invited to participate in testing the
GGDS data flow in mid-2010 using the Consolidated Emission Reporting Schema (CERS). EPA
will share GGDS production results with States and Regions via the Exchange Network
approximately 60 days after the March 31, 2011 reporting deadline.
EPA will provide preliminary datasets to those States and Regions that are interested in
participating in the quality assurance process. Many States already have GHG reporting
programs in place that overlap with MRR sources. A comparison of results could, for example,
help identify sources that should have reported to the MRR but failed to do so, a concern
particularly in the first year.
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ICIS-NPDES
Integrated Compliance Information System -
National Pollutant Discharge Elimination System
Description:
ICIS-NPDES, the modernized version of the Permit Compliance System (PCS), supports
traditional NPDES wastewater discharge program functions (e.g., permitting, compliance
monitoring, and enforcement), as well as new functions for special regulatory programs, such as
concentrated animal feeding operations (CAFO) and wet weather concerns. ICIS-NPDES
currently accepts XML-formatted discharge monitoring reports (DMR's) via the Exchange
Network and will be able to receive additional NPDES data families electronically in the future.
The ICIS-NPDES exchange will be completed with the full "batch" implementation of the
system, and PCS is scheduled to be retired soon after development of the ICIS-NPDES full batch
capability is complete. The "batch" implementation is for states and facilities to electronically
transfer (batch) some or all of their data into ICIS-NPDES using CDX.
The ICIS-NPDES batch implementation is being accomplished in 3 parts:
Part 1: Batch DMR for Hybrid States. As of FY2008, Hybrid States electronically transfer
(batch) their DMR data from their state system to ICIS-NPDES and directly enter all of their non-
DMR NPDES data into ICIS-NPDES via the ICIS web screens. Most hybrid states use ICIS-
NPDES to directly manage their NPDES program.
Part 2: NetDMR. As of June 2009, ICIS-NPDES was capable to receive DMR's (via CDX) from
facilities that have electronically signed and submitted them using NetDMR. The NetDMR tool
was developed pursuant to an Exchange Network grant managed by Texas with the participation of
11 other states, OEI and OECA. (The XML DMR schema components developed in Part 1: Batch
DMR for Hybrid States are also used in the NetDMR flow.)
Part 3: Full Batch States. Full Batch states have their own systems to manage the NPDES
program and will electronically transfer (batch) all of their NPDES data from their state systems
via CDX to ICIS-NPDES. This will include the previously-developed DMR data as well as all
other data families in the ICIS-NPDES schema. There are approximately 22 full batch states. (The
XML DMR schema components developed in Part 1: Batch DMR for Hybrid States will also be
used in full batch schema.) The full batch work is planned to be accomplished in three phases,
organized by data family (permit data, enforcement action and inspection data, and all remaining
data).
Exchange Network Program Office Activities
Milestone
Part 1: System readiness to receive production data for Batch
DMR for Hybrid states.*
Part 2: NetDMR Flow activities.
Readiness for complete end-to-end testing by facilities for the
NetDMR Flow to EPA. *
XML schema for NetDMR is final
Target Completion
Date
Ready
Ready
Completed
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Exchange Network Program Office Activities
NetDMR State-hosted Texas instance pilot facility
demonstration completed, and application approved for
production.
NetDMR National instance operational for facilities where EPA
or selected States are permitting authority. Readiness to receive
production facility data for the NetDMR Flow from permitted
facilities.*
Part 3: Full Batch States activities *
Test ICIS-NPDES Permit Data Family XML schema for Phase
1 of Full Batch
Final Conformance Review of ICIS-NPDES Full Batch Phase 1
(Permit Data Family) XML schemas
Release XML Schema (Draft) for Phase 1 of ICIS-NPDES Full
Batch (Permit Data Family)
Flow Configuration Document for Phase 1 of ICIS-NPDES Full
Batch (Permit Data Family)
Availability of database or system for testing for Phase 1 of
ICIS-NPDES Full Batch (Permit Data Family)
Availability of Node services for testing for Phase 1 of ICIS-
NPDES Full Batch (Permit Data Family)
Test ICIS-NPDES Enforcement Action (EA) and Inspection
Data Families XML schema for Phase 2 of Full Batch
Final Conformance Review of ICIS-NPDES Full Batch Phase 2
(EA and Inspection Data Families) XML schemas
Release XML Schema (Draft) for Phase 2 of ICIS-NPDES Full
Batch (EA and Inspection Data Families)
Availability of database or system for testing for Phase 2 of
ICIS-NPDES Full Batch (EA and Inspection Data Families)
Readiness for complete end-to-end testing by Pilot States/ Tribes
for Phase 2 of ICIS-NPDES Full Batch (EA and Inspection Data
Families)
System readiness to receive production data for Phase 2 of ICIS-
NPDES Full Batch (EA and Inspection Data Families) for Pilot
States
System readiness to receive production data for Phase 3 of ICIS-
NPDES Full Batch (Remaining Data Families) for Pilot States
6/23/09
6/22/09
October 20 10
November 20 10
January 2010
Complete
July 20 10
Complete
Q2FY12**
Q2FY12**
Q2FY11**
Q4FY11**
Q4FY11**
Q2FY12**
To Be Determined**
* Contingent on partners completing data clean-up and migration from PCS to ICIS-NPDES. NetDMR provides no
connection to EPA's Permit Compliance System (PCS), and PCS is scheduled to be retired soon after development
of the ICIS-NPDES full batch capability is complete.
** Dates pending EPA scheduling of preferred technical approach for implementing ICIS-NPDES Full Batch.
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Activities to be Considered by Grant Applicants
ICIS-NPDES grant applicants should consider the following activities among their opportunities
for obtaining grant funding:
Continue ICIS-NPDES data migration activities in coordination with EPA Headquarters,
Regions, States, and data migration workgroup participants.
Participate on Integrated Project Teams (TPTs), monitor progress, and test the processes for
submitting non-DMR NPDES data families to EPA.
Participate in node testing processes for new submissions to EPA.
Develop capability to generate final XML schema for non-DMR ICIS-NPDES data flows.
Extract and convert the data from State NPDES systems into the XML format needed to
submit data to ICIS-NPDES via batch.
Modify state systems to accommodate the data requirements for ICIS-NPDES.
Develop requirements and design for extraction tool(s) to pull data out of ICIS-NPDES via
the Exchange Network, and import the data to the State database.
Develop and implement extraction tool(s).
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Network Electronic Discharge Monitoring Reports (NetDMR)
Description:
Electronic transmission of discharge monitoring reports (DMR's) allows NPDES permitting
authorities to get out of the business of printing and mailing hard copy paper DMR forms to
thousands of facilities, sorting the paper forms received, keypunching results by hand, and filing
the paper forms. The National Installation of NetDMR has been developed collaboratively
among a group of states (led by Texas), OECA and OEI to be a common, centrally-hosted
electronic DMR application closely integrated with EPA's ICIS-NPDES system. The Central
Data Exchange (CDX) is used for the exchange of data between NetDMR and ICIS-NPDES.
Version 1.0 of the National Installation of NetDMR was released for use by permittees of select
pilot states and EPA regions in June 2009. Many states and EPA Regions will use their own
customized instance within the National Installation of NetDMR, but NetDMR's open source
configuration also allows states to take a copy of the NetDMR code and host it on their servers as
their own application. States that elect to use NetDMR in either form must also be users of ICIS-
NPDES, as NetDMR is closely integrated with EPA's ICIS-NPDES system. NetDMR provides
no connection to EPA's Permit Compliance System (PCS), and PCS is scheduled to be retired
soon after development of the ICIS-NPDES full batch capability is complete.
Exchange Network Program Office Activities
Milestone
Readiness for complete end-to-end testing by facilities for the
NetDMR Flow to EPA.
XML schema for NetDMR is final.
NetDMR centrally-hosted instance pilot facility demonstration
completed and application approved for production.
NetDMR centrally-hosted instance ready for testing with authorized
states slated for Group I, II, or III production.
NetDMR operational for facilities where EPA is permitting authority.
Readiness to receive production facility data for the NetDMR Flow
from EPA-permitted facilities.
NetDMR centrally-hosted instance ready for Group I authorized states
to move into production.
NetDMR centrally-hosted instance ready for Group II authorized
states to move into production.
NetDMR centrally-hosted instance ready for Group III authorized
states to move into production.
Target Completion
Date
complete
complete
complete
complete
complete
6/22/09
6/30/10 *
6/30/11 *
* Note: production implementation dates can be staggered in time, per state and EPA consultation
Activities to be Considered by the Grant Applicants
The 2010 Exchange Network grant process could support collaborative efforts for states, in
consultation with their EPA Regions, to pilot test and launch their instances within the National
Installation of the NetDMR tool (Area 1), as well as efforts by states to flow DMR data from
permittees to ICIS-NPDES via their own customized state-hosted NetDMR system (Area 2).
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Area 1 - Pilot Testing and Launch of State Instance within NetDMR National Installation, and
Associated Business Processes
Effective implementation includes development of all the business processes to move from a
paper-based system to an electronic system, with the understanding that a paper-based system
will need to be maintained for several years until all permittees are converted to the electronic
system. Applicants could describe the efforts needed by the state to effectively test and launch
the use of their instance within the National Installation of NetDMR, and discuss their adoption
rate goals and milestones. Applications could also assist states in converting from paper to
electronic processes, ensuring that Subscriber Agreements are properly handled according to
CROMERR requirements, and ensuring that permit limits are up to date in ICIS-NPDES.
Applicants could identify which of the two remaining Groups (target dates in table above) that
the state preferred for their implementation of the NetDMR tool.
Area 2 - Adaptation of NetDMR to a State Environment
Some states have specific business reasons why NetDMR will be used as a stand-alone state
program (as opposed to use of the centrally-hosted version). For states that are not prior
NetDMR users, this area will provide support for technical activities that lead to implementation.
In these cases, applicants might explain why it is advantageous to deploy a stand-alone system
(which requires state operation and maintenance). Applicants could discuss costs and milestones
associated with deploying and testing the application to ensure it works properly and sends
required data to ICIS-NPDES using the approved schema and methodology.
NOTE: A state's participation in either Area 1 or 2 is contingent upon its completion of data
clean up and migration from PCS to ICIS-NPDES. Under both Areas 1 and 2, the grantee could
indicate whether the state plans to require mandatory use of electronic submission ofDMR 'sfor
permits that are renewed after the NetDMR project is completed.
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Resource Conservation and Recovery Act Information (RCRAInfo)
Description:
RCRAInfo is a national, Web-based system which provides data entry, data management, and
data reporting functions used to support the implementation and oversight of the Resource
Conservation and Recovery Act (RCRA) of 1976 and the Hazardous and Solid Waste
Amendments (HSWA) of 1984 as administered by EPA (through its Regions) and authorized
States. RCRAInfo identifies and categorizes hazardous waste handlers, and includes high quality
information about regulated activities, permit/closure status, compliance with Federal and State
regulations, and cleanup activities.
Upon the release of RCRAInfo Version 5, Version 4 Handler submissions will no longer be
accepted. EPA is encouraging recipients to plan for the transition from Version 4 to Version 5.
This transition will affect only the Handler module, and the changes are fairly minor. Recipients
that are currently mapping to Version 4 should continue to do so, whereas this will better
facilitate the conversion to Version 5. All other RCRAInfo modules (CME, Corrective Action,
Permitting, GIS, and Financial Assurance) will not be affected by the Version 5 release.
Exchange Network Program Office Activities
Milestone
System Readiness for V4 Handler and CME
System Readiness for V4 Corrective Action, Permitting, GIS, and
Financial Assurance Data
Schemas available for evaluation for Handler for V5
System Readiness for testing V5
System Readiness for XML Translation for V5
Begin Web Services evaluation
Initial Web Services Implementation
Web Services Testing / Evaluation
Final Outbound Web Services
Target
Completion Date
June 2009
December 2009
October 2009
December 2009
April 2010
May 20 10
October 20 10
November 2010-
March2011
September 20 11
Additional Activities to be considered by Grant Applicants
EPA encourages recipients to evaluate and explore the use of outbound web services and to
partner with EPA to identify outbound service needs and requirements. Participants are
encouraged to develop innovative ways for interacting with RCRAInfo Data.
EPA encourages recipients to continue to participate on IPTs, monitor progress, and work
closely with EPA to test their submission process. The testing process for submissions is a
critical stage that requires an extensive amount of state involvement and commitment in
partnership with EPA to work through issues that can only be recognized through 'real' data
submissions.
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Assessment TMDL Tracking & ImplementatioN System (ATTAINS)
(Integrated Reporting (303(d)/305(b))
Description:
EPA maintains the Assessment TMDL Tracking & ImplementatioN System (ATTAINS) to
document assessment decisions reported by States under the Clean Water Act Sections 303(d)
and 305(b) and to track Total Maximum Daily Loads. This information is critical to measure
environmental outcomes under the EPA Strategic Plan and the Office of Water National Water
Program Guidance. EPA is in the process of updating the ATTAINS XML attribute schema,
developed under the Minnesota Exchange Network grant, to meet the reporting specifications in
the most recent version of the Assessment Database http://www.epa.gov/waters/adb/tools.htm,
which also includes a geo-spatial schema. For more information, please visit
http://www.exchangenetwork.net/exchanges/water/owir.htm
Exchange Network Program Office Activities
Milestone
Report out on compliance with data standards
Test XML schema - (Version 1.1)
Flow configuration document completed or updated
Release XML Attribute Schema - (Version 1.1)
Release XML Geo-spatial Schema - (Version 1.1)
Availability of Version 1.1 schema and front end system testing
Post materials on Exchange Network Web site
Availability of system for end-to-end testing
System readiness to receive production data to EPA
Launch Integrated Project Team (IPT) to evaluate system data flow
(outreach)
Evaluate IPT feedback
Develop Draft XML Attribute Schema - (Version 1.2)
Test XML Attribute Schema - (Version 1.2)
Release XML Attribute Schema - (Version 1 .2)
Update Flow configuration document - (Version 1.2)
Availability of system for end-to-end testing - (Version 1 .2)
System readiness to receive production data to EPA - (Version 1.2)
Other Exchange Network activities: Development of Water Quality
Conditions and Integrated Reporting Data Standard to begin Fall 2009
Target Completion
Date
Complete
Complete
Complete
Complete
Complete
Complete
Complete
Complete
Complete
Fall 2009
Fall 2010
December 2009
January 2010
February 2010
February 20 10
February 20 10
April 2010
TBD
Additional Activities to be considered by Grant Applicants
Participate in dialogue about using the Exchange Network as a tool for States to submit
Integrated Reporting data.
EPA will begin working on the Water Quality Conditions and Integrated Reporting Data
Standard this fall. During this effort, EPA will solicit feedback from the states on the
data standard and the updated schema that will be developed upon completion of the data
standard.
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The primary focus of the Integrated Project Team will be to evaluate, validate and test
version 1.2 of the schema. The update from version 1.1 to 1.2 will be minor, and is being
done to meet the reporting specifications of the most recent version of the Assessment
Database. The IPT discussions may also include future thinking of the schema that will
be developed upon completion of the data standard.
Identify innovative ways to share geo-spatial information related to Integrated Reporting
data.
Explore innovative ways to incorporate existing Integrated Reporting and National
Hydrography Database georeferencing XML Schema into Web-based services and
applications.
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eBeaches
Description:
eBeaches is the electronic data transmission system that allows EPA to securely receive and display state
beach water quality and swimming advisory data as soon as state and local agencies send the data.
eBeaches supports the Beaches Environmental Assessment and Coastal Health (BEACH) Act
requirement to collect, store, and display beach public right-to-know pollution occurrence data.
Exchange Network Program Office Activities - PRAWN
Milestones
Test notification XML schema - (Version 2. 1)
Release notification XML Schema - (Version 2. 1)
Availability of database or system for testing
Availability of Node services for testing
Readiness for complete end-to-end testing by states/tribes
System readiness to receive production data to EPA
Flow Configuration Document completed or updated
Target
Completion Date
Completed
Completed
Available
Available
Ready
Ready
Completed
Exchange Network Program Office Activities - Beach WQX
Milestones
Test Beach Access DB use of WQX XML schema (V2.0)
Release Beach Access DB use of WQX XML Schema (V2.0)
Availability of database or system for testing
Availability of Node services for testing
Readiness for complete end-to-end testing by states/tribes
System readiness to receive production data to EPA
Flow Configuration Document completed or updated
Target
Completion Date
Completed
Completed
Available
Available
Ready
Ready
Completed
Activities and Suggestions to be considered by Grant Applicants
Applicants should consider the following steps prior to data submissions.
Read all support documentation at
http://www.epa.gov/waterscience/beaches/grants/datausers/index.htm
Map systems to the approved national XML schemas.
Quality check organization name (org_id) to sample station (station_id) to beach name
(project _id aka beach_id and national project id (EPABEACH) relationship/links to ensure
correct stations are linked to corresponding beach.
Check with other internal state offices for existing Node capability and before developing
Node capability for each beach data flow.
Validate XML instance documents prior to submission via CDX or Node.
Participate in biweekly Beach conference calls.
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Safe Drinking Water Information System (SDWIS)
Description:
The Safe Drinking Water Information System (SDWIS) receives and stores basic inventory and
regulatory compliance data for all public drinking water systems in the country. Data flows
using XML from state primacy agencies to EPA.
Exchange Network Program Office Activities
Milestone
Report out on compliance with data standards
Report using XML schema - (Version 2.0)
Utilizing Electronic Data Verification Tool
Availability of database or system for testing
Availability of Node services for testing
Readiness for complete end-to-end testing by States/ Tribes
System readiness to receive production data to EPA
Flow configuration document completed or updated
Laboratory to State reporting using XML schema
Target
Completion Date
Completed
Completed
Completed
Completed
Anytime
Anytime
Completed
Completed
Completed
Additional Activities to be considered by Grant Applicants:
EPA is encouraging states to deploy a laboratory reporting tool to allow laboratories to report
sample results electronically to state primacy agencies.
States can use electronic data verification to check the completeness of their data before
submitting data.
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Underground Injection Control (UIC) Information System
Description:
EPA launched a new UIC national information system in December 2007 and immediately began
accepting data through EPA's Exchange Network. The UIC data system is designed to provide high
quality, consistent and complete program information to support EPA's objective to manage and
oversee the national and regional program. The data fields are at well level, with fields for UIC
inventory (linked to FRS), permits, geospatial coordinates, inspections, compliance with mechanical
integrity, violations and enforcement actions.
Five states and seven regions have been submitting data quarterly since FY 2008, with 18 other UIC
programs currently mapping their data to the EPA XML schema. EPA is following a strategy and
schedule to complete population of the UIC database from 68 UIC State, Tribal, and EPA Region
programs by 2012.
Each state is expected to transition from existing reporting to a single quarterly submission to the
UIC data base once it meets the data quality and completeness requirements outlined in a transition
data policy memorandum issued in March, 2009.
Exchange Network Program Office Activities
Milestone
Test XML schema - (Version 1.0)
Release final XML Schema - (Version 1.0)
National database available for testing
Availability of Node services for testing
Readiness for complete end-to-end testing by states/tribes
Flow configuration document completed
System ready to receive production data from states
Other: Successful mapping, conversion of state data consistent with EPA
mapping instructions, and node to node submission of source data to EPA's
UIC database (for all 68 UIC programs)
Other: Validation of data received in EPA's database after each quarterly
submission to address data quality and completeness issues, to continue until
transition requirements are met and phase out of existing reporting is
complete.
Target
Completion Date
Completed
Completed
Completed
Completed
Completed
Completed
Ready (12/2007)
On-going
On-going
Additional Activities to be considered by Grant Applicants:
For Class V state programs with no effective existing database, EPA will support activities to
build a local data system that leads to efficient data transfer to EPA's database. EPA has existing
data templates and data transfer tools available, and will provide technical support on request.
EPA requests that UIC applicants include participation in existing EPA Integrated Project Team
(IPT) in their project narrative, to work with other programs involved in UIC mapping and data
transfer.
Since the end objective of state involvement in EPA's database is to phase out of other
reporting, EPA requests that UIC applicants include in their project narrative what steps they
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will take to address QA/QC issues raised during the quarterly data submission process until
transition is complete.
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Water Quality Exchange (WQX)
Description:
WQX defines the framework by which EPA compiles water quality monitoring data (physical,
chemical and biological) that are collected by a number of entities via a shared schema. The
purpose of the compilation of data in the STORET Data Warehouse is to provide a seamless
collection of monitoring data that is not restricted by jurisdictional boundaries. For more
information about WQX, visit http ://www. epa. gov/storet/wqx.html or
http://www.exchangenetwork.net/exchanges/water/wqx.htm.
Exchange Network Program Office Activities
Milestone
System readiness to receive test and production data to EPA (WQX vl.O
and WQX v2.0)
WQX Web Tool in production (WQX Web is an XML generation tool
that supports all WQX schema data elements)
End support for distributed STORET database (WQX data flow will be
primary mechanism for submitting data, and STORET database
submissions are no longer accepted).
STORET Warehouse Catalog, Monitoring Location, and Results Web
Services available
New STORET Warehouse Web Services released with full USGS NWIS
Web Services alignment
Target
Completion Date
Complete
Complete
September 2009
Complete
Spring 20 10
Additional Activities to be considered by Grant Applicants
Utilize WQX v2.0 to flow water quality data, specifically biological and habitat monitoring
parameters
Develop proposals that use EPA STORET Warehouse Web Services for data analysis
Adopt all applicable data standards
Identify innovative ways for sharing continuous monitoring data
Encourage the development of common catalogue services that provide standard water
quality data discovery and publishing to the Exchange Network community
Build tools that integrate water quality data from various sources (e.g. USGS data) to present
a common view of water quality data
Encourage capacity with small data providers for participating with other data partners and
submitting data through WQX and WQX Web
Develop shareable translation and validation tools to facilitate water quality and biological
data exchange
Begin linking station locations consistent with the NHD and the Geospatial One Stop
Hydrography Standard
Identify collaborative and innovative approaches for transitioning from local STORET to
WQX
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Facility Registry System (FRS)
Description:
The Facility Registry System (FRS) is a centrally managed database that provides access to a
single source of comprehensive information on facilities subject to environmental regulations or
of particular environmental interest. This integrated facility record allows the EPA and the
public to gain access to all environmental information reported from and about specific facilities.
A new schema should be available by the end of 2009, which will add new tribal data elements
and more latitude and longitude data to the Schema.
Exchange Network Program Office Activities
Milestones
Test XML schema - NEW FAC ID Version 3.0 replacing Fac ID 2.3
Release XML Schema - NEW FAC ID Version 3.0
Availability of database or system for testing
Availability of Node services for testing
Readiness for complete end-to-end testing by states/tribes
System readiness to receive production data to EPA
Flow configuration document completed or updated
Target
Completion Date
Completed
08/31/2009
Available
Available
Ready
Ready
Completed
Additional Activities to be considered by Grant Applicants:
States are encouraged to exchange facility data with EPA's FRS that are: Tier 2 Chemical
Inventory Reporting facilities, CAFO's (Concentrated Animal Feed Operations), Underground
Storage Tanks, Leaking Underground Storage Tanks, Landfills, Spill Prevention Control and
Counter Measure facilities and other facility types of environmental interest.
IPT involvement is encouraged to assist in building out Web Services to help publish facility
identification data throughout the Exchange Network. Defining, vetting and building a
comprehensive standard set of Web Services for facility data would advance the Network and
serve as a model for other data service publishing.
States and tribes are encouraged to submit geo-spatial locational data (latitude and longitude
data) to EPA's FRS for partners interested in locating and mapping facility data. Applicants are
encouraged to improve their facility records to conform more closely to the contact, facility and
locational data standards, thus improving the values of facility records. Tribes are especially
encouraged to use the Fac ID schema to share data about Open Dumps on Indian Country. (See
Open Dump Section of Appendix B)
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Toxic Release Inventory System (TRIS)
Description:
The TRI System is an annual reporting requirement for industries with toxic chemical releases
(deadline is July 1st of every year). The TRI State Data Exchange provides for simultaneous
submission of TRI reports to both EPA and states via CDX. Benefits of the TRI State Data
Exchange include:
For participating states and EPA, elimination of duplicative data entry, reduction of state data
reconciliation, and faster access to the data.
For facilities, reduced burden through simultaneous submission to both EPA and the state to
meetEPCRA Section 313 reporting requirements.
Exchange Network Program Office Activities
Milestones
Define/Modify State/EPA Data Requirements -Flow Configuration
Document
Load/Update XML Schema (if necessary) for FY2009
Continue to investigate use of additional Web services for further
application functionality
Test and Support operational Node-to-Node data exchanges between
CDX and States
Target
Completion Date
Completed
(12/15/2008)
11/31/2009
Ongoing
Ongoing
Additional Activities to be considered by Grant Applicants:
Work with the TRI Program to test XML schema on the state node to accept TRI data from
EPA.
States should develop procedures that enable the import of TRI data into their systems. The
procedures should support data in XML format received via their state node.
Use the TRI XML schema to develop loading/converter tools to populate the state database
directly from incoming data sources via CDX.
Consider leveraging existing proposals and tools developed by states already on the TRI
State Data Exchange, http://www.epa.gov/tri/stakeholders/state/state_exchange/index.htm
Consider collaborating with states on the TRI State Data Exchange and other states interested
in joining by developing sharable code (i.e., monthly conference calls, and listserve).
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III. Non-Regulatory Data Exchanges
This section of Appendix A highlights non-regulatory data exchanges that meet specific business
needs. These data exchanges could support environmental decision-making and operations,
address cross-cutting environmental issues, or support specific state, territorial, or tribal
environmental programs.
Applicants could propose to implement geospatial data and tools to flow environmental
information. Exchange Network partners could play an important role in helping the geospatial
community at large realize the benefits of building interoperable solutions to share and re-use
data. By adhering to applicable geospatial standards and measurement guidelines for metadata
creation and publishing, and by implementing Open Geospatial Consortium (OGC) compliant
Web service capabilities, Network partners can take important steps to ensure the development
and maintenance of shareable geospatial data resources. To avoid duplicative data acquisitions,
applicants can utilize the existing cataloged information available in the Geospatial One Stop
(GOS) portal (http://www.geodata.gov) prior to buying, creating or collecting geospatial data
needed for proposed projects. Once projects are underway, partners can create metadata about
geospatial datasets acquired and publish their existence through registration at the GOS portal.
Non-regulatory
Enabling Geospatial Data Exchange A-23
National Pollution Prevention (P2) Results System A-25
Non-Point Source Best Management Practices (NFS BMP) A-26
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Enabling Geospatial Data Exchange
Description:
Geospatial data are information that represents features on the Earth expressed as lines, points or
polygons, these data are used in tandem with programmatic data through geospatial information
systems and browsers to support programmatic analysis in geographic or place-based context.
Office of Management and Budget (OMB) Circular A-16 "Coordination of Geographic
Information and Related Spatial Data Activities" identifies 34 critical geospatial data themes that
are essential components of the National Spatial Data Infrastructure
(http://www.whitehouse.gov/omb/circulars/aO 16/aO 16 rev.html). The A-16 geospatial data
theme categories contain data sets related to biodiversity, wetlands, watershed boundaries, soils,
hydrography, etc., essential to environmental analysis and decision-making.
For some time, the national geospatial community has struggled with the production and
maintenance of national datasets with stewardship at multiple levels of government. The
Exchange Network may have a critical role in the future expansion of the National Spatial Data
Infrastructure, and could serve to empower the development of national data layers while
maintaining data stewardship, maintenance and ownership at the appropriate organizations. EPA
seeks novel proposals that provide prototype solutions for the next generation NSDI, a merger of
the existing National Spatial Data Infrastructure data, tools and catalogs along with the
distributed computing resources of the Exchange Network.
Exchange Network Program Office Activities
Milestones
Evaluate existing standards and schema (XML/GML) to support
coverages
Develop XML/GML schema and concept of operations for discovery,
update or exchange of coverages
Release XML Schema
Conduct/complete testing
Complete readiness evaluation for implementation
Readiness for complete end-to-end testing by states/tribes
System readiness to implement geospatial data production exchange
Target
Completion Date
Complete
Complete
08/30/2009
02/01/2010
05/01/2010
08/01/2010
12/01/2010
Additional Activities to be considered by Grant Applicants:
The intent is not to fund the creation of new data (e.g. conducting water sampling) or exchange
entire national coverage, but to facilitate the sharing of important updates by state or local
agencies across the Network partnership, where practical, as well as to facilitate the publishing of
Network data and services using Open Geospatial Consortium (OGC) standards and interfaces.
Proposals relevant to this topic should be centered on one or more key business areas that would
benefit from the publishing of geospatially-enabled Network data both inside and outside the
Network itself. Innovative proposals will demonstrate publishing of geospatial data assets for
use in proposals involving multiple jurisdictions and/or will focus on multi-media environmental
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problems, such as using Geospatial Really Simple Stuff (GeoRSS) to integrate bio-diversity,
habitat, bio-indicators, and invasive species with existing water data. Examples of relevant
proposals could include the exploration of potential effects of climate change on ecological
resources like T&E species or vulnerable ecosystems. In these examples, the value of
geospatially enabling Network data flows is apparent to facilitate the study of cross-jurisdictional
problems with data sources from inside and outside the Exchange Network itself, using
geographic location as an integrating concept.
Applicants are encouraged to demonstrate how their work fosters collaboration across a broader
community of interest (e.g., USGS, State Cartographic Agencies, etc.) and supports the
establishment and broad distribution of these data. Applicants proposing the development of
geospatial exchanges should leverage OGC standards, tools and services to adapt XML/GML
schema to support the discovery, exchange and update of these critical data sources.
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National Pollution Prevention (P2) Results Data System
Description:
The National P2 Results Data System is a cooperative initiative between EPA, state and local P2
programs, the National Pollution Prevention Roundtable (NPPR), and the Pollution Prevention
Resource Exchange (P2Rx) Centers, to present the results of P2 programs on both a regional and
national basis using common metrics and definitions. The initial System, including regional
aggregation modules and training and promotional materials, has been developed and deployed.
Three state-level databases and an XML schema for P2 Results Data exchange are being
developed to facilitate the collection and aggregation of P2 outcome data.
Exchange Network Program Office Activities
Milestone
Update backend cost calculators in the National P2 Results Data System
Add greenhouse gas and mercury measures the P2 Results data set
Solicit feedback on existing P2 Results Data System, prioritize
requested improvements, and implement changes to the system based on
top priorities
Update XML schema to reflect changes in the P2 Results data set;
submit for review
Target
Completion Date
8/31/2009
8/31/2009
12/31/2009
3/31/2010
Additional Activities to be considered by Grant Applicants:
Expand capacity within the system to include additional greenhouse gas reduction measures
in line with the final adopted rule on Greenhouse Gas Reporting.
Expand P2 measurement capacity within the system to include additional sustainability
metrics.
Contribute to further elaboration of the P2 Results System's data dictionary; including
coordination with metrics used by the P2 Grants program, the Resource Conservation and
Recovery grant program, and other related programs.
Grant applicant activities could include mapping additional data elements to XML schema
and configuring the Node/Web Services to flow this dataset to the National P2 Results Node,
EPA, and other partners.
Encourage the development of Exchange Network capabilities with additional states for this
data flow including database/node installation support, and training and mentoring
opportunities.
Contribute to further development of data collection policies (e.g., required documentation of
results; how to handle recurring results).
Contribute to further development of conversion factors for calculating environmental
outcomes.
Contribute to further development of data quality and assurance procedures to improve
completeness and integrity of the data.
Develop and share tools to assist data collection in the field.
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Agricultural Non-Point Source Best Management Practice Data Exchange
(NFS BMP)
Description:
Accurate, consistent, and spatially explicit non-point source best management practice data is a
critical data flow for assessment of load reduction and corresponding water quality benefits.
BMP's are components of Tributary Strategies for analyzing Total Maximum Daily Loads
(TMDL's). BMP data aids the strategic targeting of environmental actions required to protect and
restore the water quality conditions necessary to sustain a number of aquatic species.
The Chesapeake Bay Program Partnership, led by Pennsylvania Department of Environmental
Protection, developed the data exchange templates, schema and services that standardizes the
exchange. On a national scale, NPS BMP will provide a database of information on best
management practices suitable to reduce loads and improve water quality in different geographic
settings.
Exchange Network Program Office Activities
Milestone
Report out on compliance with data standards
Test XML schema
Release XML Schema
Availability of database or system for testing
Availability of Node services for testing
Readiness for complete end-to-end testing by States/ Tribes
System readiness to receive production data to EPA
Flow configuration document completed or updated
Target
Completion Date
Completed
Completed
Completed
Completed
Completed
Completed
11/30/2009
Completed
Additional Activities to be considered by Grant Applicants
Applicants are encouraged to do any of the following activities:
Expand the current Regional exchange by leveraging the existing schema and standards.
Develop the suite of services to support geographically and temporally based exchanges
of BMP data.
Build out the schema to include geo-spatial data exchange elements and develop
additional validation and/or analytical tools to support this data flow.
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IV. Innovative Data Exchanges
This section of Appendix A highlights examples of Network-wide innovation projects that would
expand the Exchange Network's capability to meet emerging business needs and promote
reusability. Innovation will be the primary growth mechanism that contributes to the Exchange
Network success over the long term. This section describes programs and activities where
partners can design, develop and manage flows that will leverage the value of the Exchange
Network and expand its use.
Projects and proposals should identify specific activities that meet a business need and involve
the sharing of data among partners that are currently on or expected to be part of the Exchange
Network. Innovative projects or proposals may or may not involve data flowing to EPA.
Acceptable activities for proposed innovative projects include the following:
publication of data which EPA, states or tribes might want to access from a partner's
Node;
design and development of a key data flow not yet mature enough to be operational on the
Exchange Network;
development of the data standards for a specific data or document flow; and
development and documentation of an XML schema.
This section of the Appendix provides detailed information on the following examples of data
flows that would be considered innovative in the use of the Exchange Network infrastructure:
Innovative Data Exchanges
Electronic Documents (eDoc) A-29
Open Dump Data Exchange A -31
An example of another potential innovative project could be to partner with EPA and/or
states/tribes to develop data standards and data schemas that would support data flows related to
underground storage tank (UST) facilities including, but not limited to, data related to:
inventories, releases (leaking), inspections and compliance. UST data flows or data publishing
could support web proposals and/or integration efforts that would benefit from underground tank
facility and program information. Other innovative projects include, but are not limited to,
projects related to emergency response (e.g., Homeland Emergency Response Exchange or
HERE) and water quality laboratory data reporting.
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Enhanced Integration for Electronic Documents and Data (eDoc)
Description:
EPA is seeking proposals to improve transparency of information about regulated facilities
through better integration of EPA and state information sources. Often, EPA's databases provide
basic activity and status information, while state, local, or tribal websites or databases contain
more detailed information and documents. Data consumers often do not find the information
they need because it is not connected. They find it hard to work across EPA and state
information sources, and would prefer integration.
A successful project would develop interconnectivity between state/local/tribal databases or
websites and EPA public access sites such as ECHO, My Environment, and EnviroFacts.
State/local authorities and Tribes can develop electronic document access and exchange
processes within four focus areas: (1) Web Services that allow EPA websites to send Facility
Registry System (FRS) or other permit identifiers to the state system for retrieval of data about a
particular facility; (2) similar Web Services that share, receive, store, or retrieve documents that
are related to regulated facilities; (3) development of XML schemas/metadata standards that can
be used by EPA and states to transfer information about documents; and (4) incorporation/
integration of existing Web Services offered by EPA into state, local, tribal websites.
Grant Focus Areas (with bulleted examples)
Area 1 - Integrated Web Services for Data Retrieval
State database/website provides detailed information about combined sewer overflows,
spills, or other CWA discharge data. The state adapts its database/website to receive a
request providing relevant data for a specific NPDES permittee or geographic area.
State measures pollutant reductions from enforcement actions - provides a web service.
Area 2 - Integrated Web Services for Document Retrieval
A state has searchable documents (e.g., CAA excess emissions or certification reports,
enforcement administrative orders or consent decrees, permits or permit fact sheets,
notices of violation, or enforcement case press releases). The state updates its web
processes to either allow EPA websites to send an identification number to allow users to
find documents for a chosen facility, or the state provides EPA with regularly updated
metadata that contains pointers to, and descriptive information about, documents that the
state can provide to users.
Area 3 - XML Schema and Metadata Standards for Selected Documents
Using the example under Area 2, a consortium of states develop metadata standards for
chosen documents - providing a structure for listing documents that are available for
public users. The metadata standards may describe the document type, date, year,
submitter, owner, facility identifier, etc. The standard will allow states to publish
metadata and URLs for the documents, or serve up the documents directly.
Area 4 -State Integration of EPA Web Services.
Many EPA websites currently provide web services or direct URL access to queries.
State, local, tribal websites could be adapted to link into the relevant data EPA publishes
about a facility or interest area (e.g., watershed, community, etc).
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Proposals must explain how the FRS or permit number will be incorporated into the project, and
should discuss the data flow and document types that will become more readily accessible.
Proposals may request EPA in-kind services if existing CDX and document management
infrastructure changes are needed to accommodate state projects. Project areas that focus on
shared services for existing minimum data requirements are not eligible, because this
information is handled via established, database-specific procedures.
Types of Network development activities that proposals could address include:
Develop and test XML schema and documents' metadata standards,
Develop and test web services,
Availability of Node services for testing,
Readiness for complete end-to-end testing by project participants, and
Flow configuration documents completed or updated.
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Open Dump Data Exchange
Description:
The Open Dump problem facing tribes is immense and badly in need of inventorying the
universe of the problem. The EPA's Office of Resource Conservation and Recovery (ORCR)
and the DOI-Indian Health Service (IHS) all need updated and timely information on Open
Dumps on Indian Country. The Exchange Network is in a unique position to assist and promote
the timely, accurate sharing of key information on Open Dumps to a vast set of partners. This is
a data set that has even OMB's attention. Development of specific data standards might be
needed. Development or enhancement of the Fac ID 3.0 schema might fit the data exchange
needs of this data flow. However, a new schema might be necessary for the data flow. Tribes
are encouraged to develop the data requirements that will meet ORCR and IHS data needs and
develop the appropriate schema and flow configuration to meet these data needs.
Milestones:
Develop XML schema - Open Dumps
Test Schema
Develop Web services
Complete end to end testing by tribes with CDX
Flow configuration document completed
Conduct an IPT on the data flow
Mentor other tribes on the data flow
Additional Activities to be considered by Grant Applicants:
Integrated Project Team involvement is encouraged to assist in building out the schema for Open
Dumps. Defining, vetting and building a comprehensive standard set of Web Services for Open
Dump data flow would advance the Network and serve as a model for other data service
publishing. Documenting the data flow is needed.
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Appendix B
Definitions
Central Data Exchange (CDX)
EPA's CDX is the point of entry to the National Environmental Information Exchange Network
(Exchange Network) for environmental data exchanges to the Agency. CDX provides the
capability for submitters to access their data through the use of web services. CDX enables EPA
and participating Program Offices to work with stakeholders - including state, tribal and local
governments and regulated industries - to enable streamlined, electronic submission of data via
the Internet.
Communities of Interest
A community of interest is a group of Exchange Network stakeholders who share an interest in
the exchange of a specific set of environmental data.
Construction
Construction is the erection, building, alteration, remodeling, improvement, or extension of
buildings, structures or other property. Construction also includes remedial actions in response
to a release, or a threat of a release, of a hazardous substance into the environment as determined
by the CERCLA of 1980.
Data Standard
A data standard documents an agreement on representation, format and definition of common
data exchanged. Exchange Network partners must use data standards that have been approved
by the Exchange Network Leadership Council (ENLC). The ENLC has subsumed the activities
of the Environmental Data Standards Council (EDSC). See information at
http://www.exchangenetwork.net/standards.
Data Element
A data element is the smallest unit of information stored in and exchanged among Exchange
Network partners' information systems. Examples of data elements are the facility name, DUNS
number, and inspection date.
Data Exchange Template (DET)
A data exchange template is a standardized format that identifies the types of information
required/allowed in a particular document or data exchange. Data exchange templates contain no
data, but they define the format for exchange according to data standards and trading partner
agreements. A standard template for DET's is available on the Exchange Network Website
(http://www.exchangenetwork.net/dev schema).
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Demonstrated Node Configurations (DNCs)
Demonstrated Node Configurations are the messaging layer for Web Services that interacts with
the Exchange Network. It is based on the Network WSDL which defines the Web Services.
Environmental Information Exchange Network (Exchange Network)
The Exchange Network is an Internet and standards-based information network among EPA and
its partners in states, tribes, and territories. It is designed to help integrate information, provide
secure real-time access to environmental information, and support the electronic collection and
exchange of high-quality data and information. The Exchange Network provides a more
efficient way of exchanging environmental information at all levels of government. It
significantly improves the way EPA and its state, tribal, and territorial partners send and receive
information.
Extensible Markup Language (XML)
Extensible Markup Language is a flexible language for creating common information formats
and sharing both the format and content of data over the Internet and elsewhere. XML is a
formatting language recommended by the World Wide Web Consortium (W3C). For guidance
on the development of XML schema for the Exchange Network or related activities of the
Network Technical Group, see the Exchange Network Web site at
http://www.exchangenetwork.net.
Flow Configuration Documents (FCD's)
FCD's are the principle document that captures the detailed data exchange processing design and
roles governing the data exchange using narrative text, diagrams and examples. A standard
template for FCD's is available on the Exchange Network Website
http ://www. exchangenetwork. net/dev_schema).
Geographic Information Systems
Geographic Information Systems (GIS) include software and hardware systems that relate and
display collected data in terms of geographic or spatial location. GIS allow users to collect,
manage, and analyze large volumes of geospatial data and metadata. EPA and its partners use
GIS systems to conduct complex environmental analyses.
Geospatial Data
Geospatial data are data that identify, depict, or describe the geographic locations, boundaries, or
characteristics of the Earth's inhabitants or its natural or human-constructed features. Geospatial
data include geographic coordinates (e.g., latitude and longitude) that identify a specific location
on the Earth and data that are linked to geographic locations or have a geospatial component
(e.g., socio-economic data, land use records and analyses, land surveys, homeland security
information, and environmental analyses). Geospatial data may be obtained using a variety of
approaches and technologies, including things such as surveys, satellite remote sensing, Global
Position System (GPS) hand-held devices and airborne imagery and detection devices.
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Geospatial Technologies
Geospatial technologies include the computer hardware and software that are commonly used to
collect, import, store, manipulate, analyze, and display digital geospatial data. These
technologies include GIS, global positioning systems (GPS), remote sensing and visualization
systems.
In-Kind Services
Services provided by EPA contractors and consultants on specific parts of the project for the
recipient. The recipient can request this type of service as part of the grant proposal, if the in-
kind work is directly related to the recipient's proposal and the applicant is the primary
beneficiary of the work. However, EPA reserves the right to decide whether or not in-kind
services will be provided. The recipient may not direct the work provided through in-kind
services. These services are managed by EPA.
Integrated Project Team
A group of individuals comprised of partner and EPA staff, support contractors and technology
vendors organized to design and implement a specific exchange.
Metadata
Metadata are data or information that describes other data. Examples include data that describe
how or where the data were collected, whether or not the data comply with agreed-upon data
standards, or how the data will be used.
National and Priority System Flows
Thirteen National and Priority System Flows identified in this Solicitation Notice The flows are:
Air Quality System (AQS); Emissions Inventory System (EIS); Greenhouse Gas Data System
(GGDS); Integrated Compliance Information System - National Pollution Discharge Elimination
System (ICIS-NPDES); Net Discharge Monitoring Reports (NetDMR); Resource Conservation
and Recovery Act Information System (RCRAinfo); Assessment TMDL Tracking and
Implementation System (ATTAINS); eBeaches; Safe Drinking Water Information System
(SDWIS); Underground Injection Control Database (UIC); Water Quality Exchange (WQX);
Facility Registry System (FRS); and Toxic Release Inventory System (TRIS).
Network Authorization and Authentication Services
Network Authorization and Authentication Services (NAAS) are a set of centralized information
security services that Exchange Network partners can use to authenticate and authorize their
users. NAAS provides an efficient way for Exchange Network participants to exchange data,
without having to build and maintain their own security system. NAAS supports many levels of
security, from PIN/passwords to public Key Infrastructure. All NAAS operations are conducted
over a Secure Socket Layer (SSL) channel using 128-bit encryption.
Network Publishing
Network publishing is a term that refers to using Web Services to make data available to
Network users by querying nodes and returning environmental data in the form of XML
documents. These services are also called data services. Once these data services are deployed,
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they can be used in a number of ways such as populating Web pages, synchronizing data
between sites, viewing data in a Web service client, or building new sources of data into an
integrated application. In other words, Network publishing is a specific subset of the many
possible types of Web Services. Other Web service types include data submission, security,
quality assurance, notification and status.
Node
A Node is a Web service enabled server (hardware and software) that provides a point for
exchanging information over the Internet. Exchange Network Nodes can gain access to and
transmit information using Web Services. In order to achieve interoperability among Nodes, all
Nodes must be set up according to the Exchange Network specifications. Specifications,
protocols, tools, code, and documentation for building a functioning Exchange Network Node
are available at http://www.exchangenetwork.net/node/node2.0.htm.
Node 2.0
Node 2.0 refers to the newest version of the Network Exchange Protocol (v 2.0) and the Network
Node Functional Specification (v 2.0).
Node Client
A Node client is an application (software code) that can generate Web service messages for
using the Exchange Network. A Node client can do the following:
Submit data in XML format to EPA or other partners using the Exchange Network and
Request data in XML format from EPA or other partners using the Exchange Network.
Several Node clients that are very user friendly are available on the Exchange Network Web site
already. More are on the way. A Node client software developer kit (SDK) is also available to
help you integrate Node client requests into your proposals.
Unlike Nodes, Node clients cannot publish data on the Exchange Network (i.e., they cannot
listen for or respond to data queries from other Exchange Network partners)
Operational Exchange Network Node
An Exchange Network Node is operational if it meets all of the following criteria:
demonstrates conformance with the Network Exchange Protocol version 2.0 and Network
Node Functional Specification version 2.0 by successfully passing the Node Certification
Tool test suite.
implements the minimum Exchange Network security practices (e.g., including the use of
Network Authorization and Authentication Services);
submits data in XML format to EPA or other Exchange Network partners;
receives data in XML format from EPA or other Exchange Network partners; and
demonstrates ability to publish data to the Exchange Network by responding to specific
data queries from authorized Exchange Network partners.
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Outcome
The term "outcome" means the result, effect or consequence that will occur from carrying out an
environmental program or activity that is related to an environmental or programmatic goal or
objective. Outcomes may be environmental, behavioral, health-related or programmatic in
nature, must be quantitative, and may not necessarily be achievable within an assistance
agreement funding period.
Output
The term "output" means an environmental activity, effort, and/or associated work products
related to an environmental goal or objective, that will be produced or provided over a period of
time or by a specified date. Outputs may be quantitative or qualitative but must be measurable
during an assistance agreement funding period.
Schema
An XML schema defines the structure of an XML document. An XML schema defines things
such as which data elements and attributes can appear in a document; how the data elements
relate to one another; whether an element is empty or can include text; which types of data are
allowed for specific data elements and attributes; and what the default and fixed values are for
elements and attributes. A set of Network quality assurance Web services is available to validate
your XML documents against the schemas using a standard parser. A list of procedural and
guidance documents related to schema development is available in the Flow Documentation
Checklist document on the Exchange Network Website
(http://www.exchangenetwork.net/dev schema).
Schematron
Schematron is an open source application that is used for validating XML documents against
business rules and returning error reports. It uses XML stylesheet (XSLT) technology. The
Network Quality Assurance Services use Schematron to validate XML documents against the
business rules, as well as supporting a standard parser for schema validation.
Trading Partner Agreement (TPA)
A Trading Partner Agreement (TPA) defines in writing, for specific data exchanges, the
participating partners' individual and joint responsibilities in stewardship, security, and other
items essential for the effective exchange of information between two or more trading partners
on the Exchange Network. A TPA must be developed within six months after the exchange has
begun unless a waiver is obtained. The Network Policy Framework including the TPA
Procedure can be found at: http://www.exchangenetwork.net/policy/. There are a few examples
posted on the exchangenetwork.net site. In the near future there will be a section on the site
devoted to TPA's.
Web Form
A standard interface that can be downloaded from the Internet. A web form contains blank fields
for a user to enter data. Users can then submit the form (e.g., environmental reports) to the
receiver.
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Web Services
Web Services are a software system designed to support interoperable machine-to-machine
interaction over a network. They make it easier to conduct work across organizations regardless
of the types of operating systems, hardware/software, programming languages, and databases
that are being used.
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Appendix C
Detailed Instructions for Submitting Proposals
Applicants for the FY 2010 Exchange Network Grant program must submit a proposal package
to EPA by November 20, 2009. EPA will accept project proposals for National Environmental
Information Exchange Network grants in one of two ways: 1) a hardcopy mailed or delivered
proposal, including one original and two copies; or 2) a proposal submitted by electronic mail.
Initially, EPA will require applicants to submit a streamlined proposal which provides needed
information to facilitate the evaluation of the proposed project, including, but not limited to, the
SF-424, the project narrative, proposed budget, and qualifications of the key personnel. Only
applicants with proposals that EPA selects for funding will need to submit other official forms.
EPA will confirm receipt of each proposal with an e-mail to the contacts listed in the cover letter.
EPA has provided a checklist of proposal components described below at:
http://www.epa.gov/exchangenetwork/grants/index.html.
All proposal packages must include the following components:
1. Cover letter (see the suggested template at the end of Appendix C) including:
a. recipient information;
b. project title;
c. type of vehicle requested (grant/cooperative agreement/ Performance Partnership Grant);
d. proposed amount of grant (broken down into direct funding and in-kind assistance if
relevant);
e. partners on the grant (if applicable);
f. brief proj ect summary including a statement of proj ect goal(s);
g. contact information for the project lead; and
h. signature of executive level Authorized Organizational Representative (AOR).
2. SF-424 (can be obtained from http://www.epa.gov/ogd/AppKit/application.htm)
3. Project narrative including goals, outputs with dates, outcomes, and environmental
results: You must limit the project narrative to 10 single spaced pages. The ten-page limit does
not include the Exchange Network Implementation plan described in section III-B. EPA will
not review pages beyond the first ten pages of the project narrative.
The narrative must address each of the Evaluation Criteria (Section V-A) of this
Solicitation Notice. The narrative should describe the major goal or goals, outputs and
outcomes, and environmental results of the two-year project. A goal should reflect the purpose of
the project. For instance, a proposal including both a UIC flow and a WQX flow would have two
goals. Each goal should have scheduled outputs (major work products) that lead to its
implementation. Each goal and some outputs will have outcomes. An outcome is the effect or
consequence of the project goal or of its major outputs. Each goal should have an environmental
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result. The schedule of outputs should be detailed enough to demonstrate an applicant's ability to
track progress toward each goal. Applicants can find a sample narrative with goals, outputs and
outcomes in Appendix D.
4. Programmatic Resources and Personnel: Briefly describe the programmatic resources and
personnel involved in the project for the recipient and any participating partner. Highlight any
expertise or past experiences that may be particularly helpful in carrying out the project.
Include biographical sketches or resumes of the lead and any partner Project Manager(s).
5. Formal Project Partners - Roles and Responsibilities and Distribution of Funds: If the
proposed project involves formal project partners who will actively participate in implementing
the project, provide a description of the roles and responsibilities of each partner in carrying out
each of the project goals. Describe how the recipient would coordinate work among the partners
using methods such as regular teleconferences, meetings, or written status reports. If the recipient
plans to distribute funding to other partners, describe the method for doing so. Exchange
Network grant projects that include one or more formal partners can have budgets up to
$350,000.
Partnerships formed from within a single state, territorial, or tribal government (e.g., a
"partnership" limited to the Environment and Public Health Departments within a state) are not
eligible partnership and are limited to the $200,000 maximum funding for a single-jurisdiction
grant.
6. Detailed Itemized Budget: Applicants should describe both the total project budget and
the costs associated with each major goal in a detailed itemized budget The goal-specific
budget information is important, because EPA may wish to consider partially funding
some projects (i.e., funding only some goals for a project but not others). The budget must
include any relevant item listed below
A. Personnel - List all staff positions by title. Give the annual salary of each person, the
percentage of their time devoted to the project, the amount of each person's salary funded
by the grant and the total personnel cost for the budget period.
B. Fringe Benefits - Identify the fringe benefit rate and total amount.
C. Travel - Specify the mileage, per diem, estimated number of in state and out of state trips
other costs for each type of travel. EPA suggests that applicants include funds for travel
to national, regional and area Exchange Network conferences.
D. Equipment - Identify each item of equipment to be purchased which has an estimated
acquisition cost of $5,000 or more per unit and a useful lifetime of more than one year.
List the quantity and unit cost per item. Items with a unit cost of less than $5,000 are
supplies.
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E. Supplies - Supplies include all tangible personal property other than "equipment." The
detailed budget should identify categories of supplies (such as laboratory supplies or
office supplies). List the quantity and unit cost per item.
F. Contractual - Identify each proposed contract and specify its purpose and estimated cost.
Applicants who request in-kind services should list them here.
G. Other - List each item in sufficient detail for U.S. EPA to determine whether the costs are
reasonable or allowable. List any item, such as training, not covered elsewhere here.
H. Indirect Charges - If indirect charges are included in the budget, include the approved
indirect cost rate with a copy of the Indirect Cost Rate Agreement, a description of the
base used to calculate indirect costs and total cost of the base, and the total indirect
charges requested. Before an applicant can incur any costs under the indirect cost
category, the Indirect Cost Rate Agreement must be approved and current. If you
do not have a current rate, you may submit a copy of the submitted application to the
cognizant fiduciary agency.
I. Management Fees - When formulating budgets for proposals/applications, applicants
must not include management fees or similar charges in excess of the direct costs and
indirect costs at the rate approved by the applicants cognizant audit agency, or at the rate
provided for by the terms of the agreement negotiated with EPA. The term "management
fees or similar charges" refers to expenses added to the direct costs in order to accumulate
and reserve funds for ongoing business expenses, unforeseen liabilities, or for other
similar costs that are not allowable under EPA assistance agreements. Management fees
or similar charges may not be used to improve or expand the project funded under this
agreement, except to the extent authorized as a direct cost of carrying out the scope of
work.
7. Network Implementation Plan. All state applicants must submit a document of two to three
pages explaining how the applicant plans to fully implement the Exchange Network for all
regulatory and national system flows as described in Section III-B.
8. Additional information for inter-tribal consortium: An inter-tribal consortium applying
for an FY 2010 Exchange Network Grant must include documentation that shows:
a formal partnership exists among the Indian tribal governments that are members of the
inter-tribal consortium, and the majority of the members are federally recognized Indian
tribes; and,
the consortium's federally recognized tribal members have authorized the consortium to
apply for and receive assistance from the Exchange Network Grant Program.
EPA will notify applicants of its selection decisions in or around March 2010. At the time, the
Agency will request additional documentation, including other official forms, from successful
applicants. The notification letters will include further instructions to those applicants for
submittal of additional or updated documents. Required forms in PDF format can be obtained at
http://www.epa.gov/ogd/AppKit/application.htm. EPA plans to award all grants by July 2010.
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Submitting an Electronic Proposal Package
Electronic mail submissions of the proposal package must be sent to Edward Mixon at
ENGrantProgram@epa.gov by 11:59 pm on November 20, 2009. Applicants must attach each
required document listed in this appendix to the e-mail as a separate PDF file. When you submit
your proposal materials by e-mail, you are accepting all potential risks associated with this
technology, including server delays and other transmission difficulties. Files exceeding 15 MB
may experience transmission delays which could effect when EPA receives them. For proposals
exceeding 15 MB, applicants should consider submitting their proposal materials early or as
hardcopies to avoid late submission issues.
Submitting a Hard-Copy Proposal Package
Applicants should submit one original and two paper copies of all of the documents listed in this
appendix. Hard-copy proposals must be postmarked or delivered to an overnight mail or courier
service at or before 11:59 PM (Eastern Standard Time) on November 20, 2009. EPA
recommends the use of overnight delivery or courier services to reduce the chance of delays.
Applicants should send their hard-copy proposals to one of the following addresses depending on
the delivery method:
Mailing AddreSS. Physical AddreSS (for overnight, or courier deliveries)'.
Edward Mixon Edward Mixon
U.S. Environmental Protection Agency U.S. Environmental Protection Agency
1200 Pennsylvania Avenue, NW, (2823-T) 1301 Constitution Avenue, NW
Washington, DC 20460 6th Floor, Room 6416-V
Washington, DC 20004
Applicants who submit a hard copy are encouraged to also submit an electronic copy of the
proposal by email, to Edward Mixon at ENGrantProgram@epa.gov.
EPA will provide electronic acknowledgement of receipt of each proposal. If you do not receive
acknowledgement of receipt from EPA regarding the submission of your grant proposal within
30 days of the proposal deadline, please contact Edward Mixon, Exchange Network Grants
Manager, at (202)-566-2142. Failure to do so may result in your proposal not being considered.
Please retain documentation that shows that you submitted your proposal by the deadline.
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Suggested template for cover letter
[Organizational Letterhead]
Mr. Edward Mixon
U.S. Environmental Protection Agency
Office of Environmental Information
1200 Pennsylvania Ave., NW, Mail Code 2823-T
Washington, DC 20460
Dear Mr. Mixon:
I am pleased to submit the [state, tribe or territory name here] [Name of Department or Agency]'s
proposal for a [type of assistance: grant, cooperative agreement Performance Partnership Grant or
Consolidated Grant amendment], entitled [project name], under the FY 2010 Exchange Network Grant
Program. This proposal is seeking [dollar amount] in direct grants funding and [dollar amount of Funds]
in in-kind support. We have ['no' or number of partners] formal partners in this grant proposal. [Our
partners are: name partners].
[short narrative description of project including a statement of project goal(s)]
The contact for this grant proposal is:
Name and Title of Project Lead
Name of Office or Division
Name of Department or Agency
Full Mailing Address
Phone Number(s)
Email address
If there are any questions, please feel free to call either myself or the contact named in this letter.
Sincerely,
[Name/Title of Authorized Organizational Representative]
Attachment
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Appendix D
Sample Project Goals, Outputs and Outcomes
Goals
1 Emissions Inventory System (EIS) & Greenhouse Gas (GHG) Data Flows
Freedonia DEP has been sending NEI data to EPA using the Exchange Network. However, as
EPA moves to a new database, called the Emissions Inventory System, this data flow will need
to be upgraded to meet the new schema, CERS.
Freedonia requires Title V facilities to provide Greenhouse Gas (GHG) data to the state, unless
they are providing data directly to The Climate Registry (TCR). Currently three Freedonia
companies have agreed to supply data to TCR. The remainder of the Title V facilities must
supply GHG data to Freedonia DEP annually using the same online system as NEI data. This
system is called the Permitting and Air Reporting System of Freedonia (PARSOF)
1.1. Map EIS & GHG data elements to the CERS XML Schema
This includes detailed analysis and specifications for transferring data from PARSOF to
CERS schema.
1.2. Implement the production EIS data flow. This includes:
Develop the Extract, Transform and Load (ETL) process to load PARSOF data to
staging tables
Develop an EIS node plug-in to transfer the data from the staging tables to XML
Configure the node data flow
Test the data flow and perform quality assessment
1.3. Implement the GHG data flow to production.
Repeat step 1.2 with minor adaptations for GHG data.
1.4. Improve GIS Locations for emission points from Title V facilities, including
preparation of geospatial metadata for the Latitude/Longitude Data Standard and meeting
EPA's minimum accuracy of 25 meters for most points. This will improve the accuracy
of data in both EIS and GHG.
This includes obtaining and entering locations and stack parameters for approximately
9,500 emission points into the PARSOF database. Some of these data will need to be
transformed from the Breeze modeling software, and some obtained from paper maps and
checked against aerial photos. Also if time allows, other locations and associated web
applications for environmental assessment/integration may be improved.
1.5. Add application module to the Facility Explorer web application to allow easy access
to emission point locations and associated data. This will be used to evaluate emission
rates of surrounding major facilities within a given radius of a proposed construction
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project. This is a required assessment under the Prevention of Significant Deterioration
(PSD) permitting program.
Currently when a construction project is proposed, the applicant contacts DEP who then
queries the database for nearby sites, and manually finds the emission point data for each
site to send to the applicant. The proposed web application module will allow the
applicant to run a simple query themselves, thus obtaining the data immediately, and
completely eliminating the need for DEP staff to find data.
The proposed application module includes programming to load the emission point
locations as sub-entities into Freedonia's Environmental Facilities Database (EFD)
warehouse, request the search, do the GIS query, retrieve needed report data from EFD
and PARSOF, and build the report using SQL Reporting Services. The report will
include:
facility name, address, and plant ID;
permitted or potential facility-wide emission rates in tons per year for: SC>2, NOx,
CO, Pb, PMio, and (if available) PM2.5;
a list of emission point locations with XY coordinates in UTM;
permitted or potential emission rates and the most recent two years of actual
emissions for each emission point for: 862, NOx, CO, Pb, PMio, and (if available)
PM2.5; and
stack parameters, including stack ID, height, diameter, temperature, flow rate,
emission point type, bypass stack (Y/N), and obstructed (Y/N).
2 Water Quality Exchange (WQX) Flow
The replacement database for STORET, AWQMS (Ambient Water Quality Management
System) is being developed by several states and Region 8, including Illinois, Minnesota, Utah,
the National Park Service, and possibly Alaska. Freedonia is planning to implement this
database to replace Freedonia STORET as the state database.
2.1. Map the data elements to the XML Schema. This includes detailed analysis and
specifications for transferring data from the state database to WQX schema.
2.2. Implement the data flow to CDX (EPA's Node). This includes:
adapt the 4.1 WQX Windsor node plug-in to transfer the data from the state database
to XML;
set up and configure the node; and
test the data flow and perform quality assessment.
2.3. Document the flow implementation for use by other states using AWQMS and the
same type of Node. Illinois and Minnesota use a Windsor .NET node. Other agencies
have also mentioned the possibility of using the Windsor Node by the time this is
implemented. Freedonia DEP will develop the documentation and provide any
applicable code to these other agencies for streamlined implementation.
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2.4. Publish a Web Service which will allow applications to pull water quality monitoring
data. This web service will allow applications to query water quality monitoring data
from the state's database. Initial plans are for at least two staging tables which can be
populated using an automated DTS/SSIS or other script.
At a minimum, the staging tables should include the following elements and any other
required elements in the WQX schema.
The output will be in WQX standard XML and include all elements in the staging tables.
This grant will focus on making this work with Freedonia data. However, this can be
extended later in two ways:
add data to Freedonia's staging tables from other sources, such as USGS, the
Freedonia Pesticide Monitoring database (FPEST), and raw water samples from the
Safe Drinking Water Information System (SDWIS). This will allow applications to
pull easily pull monitoring data from a variety of sources; or
share the code and documentation with other states using AWQMS.
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Goals, Outputs, Target Dates and Outcomes
Goal
EIS &
GHG Data
Flows
WQX4
Output
1 . 1 CERS data mapped to
XML schema
1.2 EIS flow to EPA
becomes operational
1.3 GHG flow to EPA
becomes operational2
1.4 Improve GIS locations
& geospatial metadata for
air release points3
1.5 Add Assessment
Module3 to evaluate air
emissions near new
construction projects
2.1 Data mapped to XML
schema2
2.2 Implement WQX
Flow3
2.3 Written documentation
of implementing WQX
with multi-state AWQMS
database
2.4 Publish Web Service
Target Date
Jan. 1,2011
June 1,2011
Dec. 31,2011
Sept. 30, 2012
Mar. 31,2012
Mar. 31,2011
Sept. 30, 2011
Jan. 31,2012
Sept. 30, 2012
Outcome
Increased availability of data to
other Exchange Network partners
Electronic availability of
standardized, timely, high quality
data over the Exchange Network.
Electronic availability of
standardized, timely, high quality
data over the Exchange Network.
More accurate locations will result
in better analyses for environmental
assessment
Improved environmental decisions
& efficiency from analysis of easily
accessed data
Increased availability of data to
other Exchange Network partners
Electronic availability of
standardized, timely, high quality
data over the Exchange Network.
Streamlined flow implementation
for other agencies that use the
AWQMS database
Improved analysis of water quality
monitoring data
Estimated Grant Period: October 1, 2010 through Sept. 30, 2012. If DEP is notified of the grant award by August lor before,
dates will be shifted so they fall within the grant period.
2These tasks also accomplish the following intermediate outcome:
Improved business processes that facilitate burden reduction on the regulated community.
3These tasks also accomplish the following two intermediate outcomes:
Increased speed and timeliness of data exchange by allowing data exchanges to happen more frequently, thereby
decreasing the lag between partner systems;
Increased efficiency of data exchange by reducing administrative burden, including reducing or eliminating manual
intervention for tasks such as scheduling, resubmissions, or security.
4This goal also accomplishes the following intermediate outcomes.
Economies of scale through shared infrastructure to achieve reduced costs and expanded functionality.
Please see our attached Detailed Budget which links expected investments under this
agreement to each goal to support and complete the proposed work referenced in this
Narrative.
D-4
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Appendix E
Contracts and Subawards
Can funding be used for the applicant to make subawards acquire contract services or
fund partnerships?
EPA awards funds to one eligible applicant as the recipient even if other eligible applicants are
named as partners or co-applicants or members of a coalition or consortium. The recipient is
accountable to EPA for the proper expenditure of funds.
Funding may be used to provide subgrants or subawards of financial assistance, which includes
using subawards or subgrants to fund partnerships, provided the recipient complies with
applicable requirements for subawards or subgrants including those contained in 40 CFR Parts
30 or 31, as appropriate. Applicants must compete contracts for services and products,
including consultant contracts, and conduct cost and price analyses to the extent required by the
procurement provisions of the regulations at 40 CFR Parts 30 or 31, as appropriate. The
regulations also contain limitations on consultant compensation. Applicants are not required to
identify subawardees/subgrantees and/or contractors (including consultants) in their
proposal/application. However, if they do, the fact that an applicant selected for award has
named a specific subawardee/subgrantee, contractor, or consultant in the proposal/application
EPA selects for funding does not relieve the applicant of its obligations to comply with
subaward/subgrant and/or competitive procurement requirements as appropriate. Please note
that applicants may not award sole source contracts to consulting, engineering or other firms
assisting applicants with the proposal solely based on the firm's role in preparing the
proposal/application.
Successful applicants cannot use subgrants or subawards to avoid requirements in EPA grant
regulations for competitive procurement by using these instruments to acquire commercial
services or products from for-profit organizations to carry out its assistance agreement. The
nature of the transaction between the recipient and the subawardee or subgrantee must be
consistent with the standards for distinguishing between vendor transactions and subrecipient
assistance under Subpart B Section .210 of OMB Circular A-133 , and the definitions of
subaward at 40 CFR 30.2(ff) or subgrant at 40 CFR 31.3, as applicable. EPA will not be a party
to these transactions. Applicants acquiring commercial goods or services must comply with the
competitive procurement standards in 40 CFR Part 30 or 40 CFR Part 31.36 and cannot use a
subaward/subgrant as the funding mechanism.
How will an applicant's proposed subawardees/subgrantees and contractors be considered
during the evaluation process described in Section V of the announcement?
Section V of the announcement describes the evaluation criteria and evaluation process that will
be used by EPA to make selections under this announcement. During this evaluation, except for
those criteria that relate to the applicant's own qualifications, past performance, and reporting
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history, the review panel will consider, if appropriate and relevant, the qualifications, expertise,
and experience of:
(i) an applicant's named subawardees/subgrantees identified in the proposal/application if the
applicant demonstrates in the proposal/application that if it receives an award that the
subaward/subgrant will be properly awarded consistent with the applicable regulations in 40
CFR Parts 30 or 31. For example, applicants must not use subawards/subgrants to obtain
commercial services or products from for profit firms or individual consultants.
(ii) an applicant's named contractor(s), including consultants, identified in the
proposal/application if the applicant demonstrates in its proposal/application that the
contractor(s) was selected in compliance with the competitive Procurement Standards in 40 CFR
Part 30 or 40 CFR 31.36 as appropriate. For example, an applicant must demonstrate that it
selected the contractor(s) competitively or that a proper non-competitive sole-source award
consistent with the regulations will be made to the contractor(s), that efforts were made to
provide small and disadvantaged businesses with opportunities to compete, and that some form
of cost or price analysis was conducted. EPA may not accept sole source justifications for
contracts for services or products that are otherwise readily available in the commercial
marketplace.
EPA will not consider the qualifications, experience, and expertise of named
subawardees/subgrantees and/or named contractor(s) during the proposal/application evaluation
process unless the applicant complies with these requirements.
E-2
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