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SUPPORTING STATEMENT

ENVIRONMENTAL PROTECTION AGENCY

AIR STATIONARY SOURCE COMPLIANCE AND ENFORCEMENT INFORMATION 

REPORTING (Renewal)

1. IDENTIFICATION OF THE INFORMATION COLLECTION

 1(a) TITLE OF THE INFORMATION COLLECTION

Air Stationary Source Compliance and Enforcement Information Reporting (Renewal), 

EPA ICR Number 0107.11, OMB Control Number 2060-0096, EPA-HQ-OECA-2014-0523

1(b) ABSTRACT:

Air Stationary Source Compliance and Enforcement Information Reporting is an activity

whereby delegated State, Local, Native American, Territorial and Commonwealth governments 

(hereafter referred to as either "states/locals" or "state and local agencies") make air stationary

source compliance and enforcement information available to the U.S. Environmental Protection 

Agency (EPA or the Agency) on a cyclic basis. This information is provided to EPA via input to 

the current Air Facility System (AFS) until mid-October 2014, and via input to the modernized 

AFS – the air component of the Integrated Compliance Information System (ICIS-Air). At that 

time, AFS will be replaced by ICIS-Air. ICIS-Air is a sub-component of ICIS, which provides 

compliance and enforcement information on thousands of facilities regulated under numerous 

federal statutes, with particular focus on determining compliance for the Clean Water Act –

National Pollutant Discharge and Elimination System (NPDES) program and supporting 

effective management of the Clean Air Act (CAA or the “Act”) stationary source compliance 

and enforcement program. Many states/locals use AFS and, in the future, will use ICIS-Air as 

their own data system, while others electronically report data to EPA from their own systems. 

The information provided to EPA includes compliance activities and determinations, and

monitoring and enforcement activities. EPA uses this information to assess progress toward 

meeting regulatory requirements developed under the authority of the CAA to protect and 

maintain air quality, public health, and the environment. The EPA and many of the state and 

local agencies access the data currently in AFS to assist them in managing their air pollution 

control programs. This is expected to continue with the new ICIS-Air.

(i) Terms of Clearance

The following Terms of Clearance were given by OMB in the prior ICR, 0107.10:

"This ICR extension is approved for 3 years. Resubmittal of this ICR for extension should 

provide updated description of Agency plans to improve the AFS reporting system and the likely 

changes in respondent burden expected to result from system changes."
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Plans for improving AFS:

EPA’s Office of Compliance has been preparing for the modernization of AFS and 

implementation of ICIS-Air since FY 2002. ICIS is a three phase multi-year modernization 

project which improves the ability of EPA, states and locals to ensure compliance with the 

nations environmental laws by enabling collection and management of comprehensive 

compliance and enforcement information. The Agency will complete the modernization and 

integration of AFS with ICIS, and will switch over to the new modernized ICIS-Air system in

October 2014. The Agency expects the overall burden of data collection to be less than what 

state and locals have experienced while using AFS as their means of reporting information into 

the EPA national data system. 

Please note that in the final section of this supporting statement, EPA is providing the 

burden estimates created in support of the previous 2010 ICR renewal request. This 

information will be updated in the fall of 2014 prior to issuance of the final ICR renewal 

Federal Register (FR) notice. At that time, EPA will be able to create a new burden 

estimate for use of ICIS-Air, as that system will be ready for implementation in the fall of 

2014. EPA also will have completed key revisions to the High Priority Violators (HPV) and 

Federally Reportable Violations (FRV) policies that will result in burden reductions that 

can be estimated. Additionally, EPA will estimate the one-time burden (experienced 

during the period in which the current ICR, approved in January 2012, was in place) 

associated with state and local efforts to transition their reporting processes from AFS to 

ICIS-Air. 

2. NEED FOR AND USE OF THE COLLECTION

2(a) NEED/AUTHORITY FOR THE COLLECTION

(i) Authority

While there is no single statutory requirement for data entry and collection in the CAA, 

the provisions of Section 114(a)(1) of the CAA, 42 U.S.C. Section 7414(a)(1), provide EPA with 

broad authority to request reporting of information of the type sought by the Agency in this 

Information Collection Request (ICR). Furthermore, much of this collection activity is 

conducted pursuant to the following subsections of regulations implementing the CAA under 

Subpart Q – Reports in 40 CFR 51: Sections 51.324 (a) and (b), and 51.327. Activity also is 

authorized by 40 CFR 70.4(j)(1), which addresses submission of information to EPA by state and 

local permit authorities, and 40 CFR 70.10(c)(1)(iii), which addresses EPA oversight of state and 

local agency compliance and enforcement efforts for major sources under Title V operating 

permit programs. The information is necessary for EPA to provide adequate oversight for 

Federal programs implemented by states/locals, such as the New Source Performance Standards 

(NSPS) in 40 CFR Part 60, National Emission Standards for Hazardous Air Pollutants 
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(NESHAP) in 40 CFR Part 61 and Part 63, and New Source Review (NSR) permitting 

regulations in 40 CFR Part 51 and Part 52. These data are necessary for implementation of the 

air compliance and enforcement programs at either the Federal or state and local agency level. 

Finally, the information is necessary for EPA to fulfill its oversight responsibilities to ensure that 

State Implementation Plans (SIPs) fulfill the testing, inspection, and enforcement requirements 

of 40 CFR 51.212 on an ongoing basis. Much of the need for this collection is outlined in 

several EPA guidance documents: 1) The Clean Air Act Stationary Source Compliance 

Monitoring Strategy (CMS) of July 14, 2014; 2) The Timely and Appropriate (T&A) 

Enforcement Response to High Priority Violations (HPVs) policy of December 1998 - revision 

scheduled for September 2014; 3) the Clean Air Act National Stack Testing Guidance of April 

27, 2009; and 4) the Clarification Regarding Federally-Reportable Violations for Clean Air Act 

Stationary Sources of March 22, 2010 (i.e., the 2010 FRV clarification memo) – revision 

scheduled for September 2014.

(ii) General Need for the Data

The national air stationary source compliance monitoring and enforcement program 

promotes effective, cooperative, and coordinated efforts among EPA and the state and local 

agencies. The program recognizes the primary role of the state and local agencies in the 

prevention and control of air pollution. However, under the CAA, EPA has the ultimate 

responsibility to ensure the protection of the health and welfare of the American public. To meet 

these responsibilities, EPA provides guidance and oversight to the state and local agencies in 

compliance monitoring and enforcement activities. The cyclic reporting of source 

characterization, compliance, and enforcement information is the subject of this renewal ICR.

This reporting is communicated to the users as a set of Minimum Data Requirements (MDRs), 

listed in Table 1 in Section 4(b). The MDRs represent the minimum amount of data EPA 

believes is necessary to manage the national air stationary source compliance monitoring and 

enforcement program. These data elements are critical in prioritizing programs and conducting 

national evaluations. In addition, the information provided by these data elements enables the 

Agency to respond in a timely manner to requests for information with accurate, nationally 

defined, and nationally comprehensive data. These data provide public transparency on national 

compliance and enforcement activities for the CAA stationary source program.

Three of the aforementioned policies need these data as follows:

The CMS establishes a baseline compliance monitoring program with emphasis on CAA 

Title V major sources and a limited subset of synthetic minor sources, while providing state/local 

agencies with the flexibility to address local air pollution and compliance concerns. The CMS 

also establishes a framework of minimal data requirements for reporting to the EPA. This 

information, collected in AFS/ICIS-Air, is a critical component of the implementation of the 

CMS.

The Clean Air Act National Stack Testing Guidance is designed to improve uniformity in
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conducting stack tests and promote coordination among EPA and state/local agencies. AFS is, 

and ICIS-Air will become, one of the Agency’s vehicles for tracking and evaluating stack test 

data. 

The HPV Policy is designed to help Federal, state, and local agencies prioritize 

enforcement efforts with respect to sources of air pollution in their jurisdictions. The Policy

directs scrutiny on those violations that are most important. The Policy provides definitions for 

specific types of violations and identifies the procedures to be used in violation identification. 

ICIS-Air will support reporting HPV activity in its entirety: discovery, addressing, and 

resolution.

Current AFS and future ICIS-Air data are used in important ways including the following: 

ICIS-Air data is critical to conducting oversight of state and local compliance and 

enforcement programs. The EPA Office of Enforcement and Compliance Assurance (OECA), 

the Environmental Council of States (ECOS), state media associations, and other state/local

representatives have developed a framework for conducting reviews of core monitoring and 

enforcement activities in the CAA, Clean Water Act (CWA), and the Resource Conservation and

Recovery Act (RCRA) programs. The OECA/ECOS State Review Framework (SRF) was 

developed to provide a national state enforcement program oversight system to promote 

consistency in the level of oversight, state enforcement activities, and environmental protection 

across the country. Reviews were initiated in 2004, and have occurred in 4-year cycles. Each 

state now has 2 reviews completed; therefore EPA is currently in the third round of national

reviews. Each review begins with an analysis of data metrics. Paramount to these reviews is the 

data contained in AFS, and its successor, ICIS-Air, for the CAA. The SRF reviews have become 

a tool for collaborative problem solving regarding state/local agency performance in 5 elements 

covering compliance monitoring, civil enforcement, and data management. 

Data from ICIS-Air will be provided to the EPA Web site, ECHO,

(http://www.epa.gov/echo) which allows the public to access compliance and enforcement 

information on approximately 800,000 regulated facilities nationwide. ECHO is updated via 

weekly data extracts from ICIS. In addition, ICIS-Air data will be used as part of performance 

measures satisfying the Government Performance Results Act (GPRA) requirements. In addition 

to ECHO, the EPA ENVIROFACTS, a web tool developed and maintained by the EPA Office of 

Environmental Information (http://www.epa.gov/enviro/index.html) allows the public to retrieve 

data from a multitude of EPA databases, and also includes information from ICIS. 

(iii) Reasons for Need for New Data as Part of this Renewal ICR

This renewal introduces the following changes that will reduce reporting as compared to 

the current ICR, approved in January 2012: 

 Clean Air Act Stationary Source Compliance Monitoring Strategy (CMS) and Data: The CMS 

provides national consistency in developing stationary source CAA compliance monitoring 
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programs while allowing states/locals/tribes flexibility to address local air pollution and 

compliance problems. The policy assists in improving communication between the delegated 

agencies and Regions on stationary source air compliance monitoring programs, and enhancing 

EPA oversight of these programs. In providing a framework for developing such programs, the 

policy also provides a mechanism for recognizing and utilizing the wide range of tools available 

for evaluating and determining compliance. 

In collaboration with our enforcement partners, EPA revised the CMS in 2014 to account for 

changes in the CAA compliance and enforcement program. The CMS requires states/locals/tribes 

to submit a CMS plan biennially (based upon Federal fiscal year) for Agency approval. As part 

of the overall process, states/locals/tribes and Regions are to maintain records of their compliance 

monitoring activities, and enter facility-specific compliance and enforcement data, including data 

concerning federally reportable violations and high priority violations, in the national air 

compliance and enforcement data system. This information collection is a critical component of 

CMS implementation.

In furtherance of national oversight, the CMS focuses on Title V major sources (as defined by 

CAA §501(2)) and synthetic minor sources that emit or have the potential to emit at or above 80 

percent of the Title V major source threshold (SM-80s). Minimum frequencies for compliance 

evaluations to be conducted by state/local/tribal agencies are recommended for making 

compliance determinations at Title V majors and SM-80s. However, pursuant to the flexibility 

provided in the CMS, states/locals/tribes may propose alternative CMS plans and negotiate 

alternative evaluation frequencies to address important local compliance issues.

The CMS has explicitly recognized that various tools ranging from self-certifications to 

traditional stack tests are available and should be used to evaluate compliance. The use of all 

such tools can help achieve efficiencies and reduce expenses. However, in response to the 

expanding universe of regulated sources and our increasing mandates, EPA has continued to seek 

new ways to widen the range of compliance monitoring activities available for determining 

compliance. Therefore, the CMS finalized in July 2014 further increases the flexibility to 

delegated agencies when conducting compliance monitoring activities through an expanded set of 

tools for determining compliance and for addressing local air pollution and compliance concerns. 

As a result of a national dialogue with national and regional organizations representing air 

compliance and enforcement programs, as well as the individual state and local agencies, the 

Agency has expanded what constitutes compliance monitoring while maintaining program 

integrity. 

The revised CMS recognizes the need for the compliance monitoring program to evolve and 

incorporate new technologies and innovative compliance monitoring approaches. The 2014 CMS 

takes into account the opportunities created by advanced monitoring technologies such as 

geospatial measurement of air pollution, fence-line monitoring, infrared cameras, and 

photoionization detectors.

This information collection allows EPA to carry out its oversight responsibilities and evaluate 

overall state/local/tribal compliance monitoring programs. In accordance with the CMS, any 

applicable CMS source that begins operations is to be reported into ICIS-Air and given a CMS 

indicator and appropriate evaluation frequency. If an alternative CMS plan is negotiated to allow 
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the shifting of resources from Title V majors and/or SM-80s to other sources not addressed by 

CMS (e.g., minors), all relevant MDRs are to be reported to ICIS-Air for all sources in the 

alternative plan. States/locals/tribes are to enter compliance and enforcement data for their CMS 

sources within 60 days (within 120 days for stack test date and results). 

The compliance monitoring types of Full Compliance Evaluations (FCEs), Partial Compliance 

Evaluations (PCEs) and Investigations are to be utilized for reporting activities at the facility level 

in ICIS-Air. FCEs are to be reported into ICIS-Air as either on-site or off-site. Off-site FCEs are 

to be reported only when state/local/tribal agencies are able to complete an FCE without having 

to conduct an on-site visit to assess control devices and process operating conditions. PCEs are 

not an MDR for states/locals/tribes except when they are part of an alternative CMS plan and/or 

when they lead to discovery of an HPV. To assist in reporting PCEs, there are several specific 

PCE activities that may be reported into ICIS-Air. 

FRVs and HPVs resulting from the compliance monitoring activities are to be identified and

reported into ICIS-Air consistent with current EPA policies at the time of reporting. Delegated 

agencies also are to report data concerning Title V annual compliance certifications reviewed. In 

addition, the CMS status in ICIS-Air will automatically change to “overdue” if an FCE is not 

completed within the recommended evaluation frequencies or in accordance with negotiated 

alternatives that extend the recommended evaluation frequencies.

 Guidance on Federally-Reportable Violations for Clean Air Act Stationary Sources (FRV 

Policy) and Data: In coordination with national and regional organizations representing 

air compliance and enforcement programs at the state and local level as well as with 

individual state, local, and tribal agencies, EPA is finalizing a revised FRV Policy which 

will supersede the 2010 FRV clarification memo. It is scheduled to be issued in 

September 2014. EPA has developed the revised FRV Policy in response to the concerns 

raised by state and local agencies regarding resource constraints and reporting burden 

associated with the 2010 FRV Clarification Memo. 

The revised FRV Policy is the result of the EPA effort to balance a commitment to 

transparency and sharing information with the public about pollution and violations that 

affect their communities with the need to prioritize the use of limited resources available 

to CAA implementing agencies. The policy also reflects modernization of the national 

air compliance and enforcement data system. 

The revised policy will reduce the overall reporting burden. FRV reporting is important, 

as it supports the Agency in managing the national CAA compliance and enforcement 

program. The collected data support: policy analysis and evaluation; targeting efforts;

and meeting public expectations for accessible, detailed information. They also inform 

oversight activities.

The reduction in reporting burden is achieved primarily through a change to limit the 

universe of sources whose violations of federally enforceable requirements are 

reportable. The new applicable universe of sources is: Title V Majors; SM-80 sources; 
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sources included in an alternative CMS plan; and any source at which a HPV has been 

identified. This source universe aligns with the CMS policy; thus, providing consistency

to the delegated agencies. The narrowed universe of sources reduces the overall burden 

of reporting CAA violations, which in turn, is anticipated to result in improved data 

completeness and accuracy. 

As stated in the revised policy, FRVs are those violations of federally enforceable CAA 

requirements at a source within the applicable universe stated above. FRVs include 

violations of any emission limitation, emission standard, or surrogate parameter. They

also include procedural violations such as failure to maintain reports and underlying 

records as required by permit or regulation; failure to timely test or conduct valid 

monitoring as required by permit or regulation; failure to timely report; failure to 

construct, install, or operate facility/equipment in accordance with the permit or 

regulation; failure to obtain or maintain a permit; work practice violation; and violation 

of consent decree, court order or administrative order.

To report an FRV into ICIS-Air, a state/local/tribe creates a Case File. Once the Case 

File is available to report the FRV, the state/local/tribe is to report the violation type, the 

applicable federal air program or implementing state/local regulation, and pollutant(s), 

where applicable, associated with the violation. FRVs are expected to be reported when a 

compliance determination is made. Generally, FRVs should be reported to ICIS-Air 

within 60 days of the determination.

 The Timely and Appropriate Enforcement Response to High Priority Violations Policy:

The HPV Policy, schedule to be revised in 2014, provides a significant revision to the 

1998 policy, and supersedes the 1998 version. The revised 2014 policy is designed as a 

management tool and provides oversight for responses to six specific categories of 

violations of certain federally enforceable regulations authorized by the Clean Air Act 

(CAA). State/local agencies are responsible for reporting/identifying data about these 

violations if the violations occur at: (1) major stationary sources and; (2) any minor 

stationary source subject to a CMS plan for a specific enforcement agency.

The revised 2014 HPV policy reflects several substantial changes from the original 1998 

policy that the EPA determined are appropriate after consultation and input from 

state/local enforcement agencies. First, the criteria of what constitutes an HPV have been 

sharpened to focus in on those violations that: (1) are likely to result in impacts that pose 

a significant risk to human health and/or the environment from direct or indirect release 

of air pollutants; or (2) may harm the ability to implement CAA programs. 

Second, the EPA determined that even when a violation falls within a category of HPVs, 

not every such violation warrants additional tracking and attention at a national level. 

Although prompt identification and communication is a key element in resolving a 

violation, if it is later determined that such violation does not warrant additional tracking, 
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enforcement agencies should be able to reprioritize their efforts. The revised HPV policy

provides explicit mechanisms to remove the matter from HPV oversight. Finally, the 

revised 2014 HPV policy looks to better align the expectations of enforcement staff with 

the reality of enforcement decisions. This policy constructs an approach to oversight that

enhances the ability of EPA to meaningfully monitor progress in an important group of 

enforcement matters, and fosters a cooperative approach to case management decisions 

that focuses more energy on protection of public health and the environment.

2(b) USE/USERS OF THE DATA

There are many ways in which EPA, state and local agencies, and the public use the CAA 

stationary source compliance and enforcement data. As stated previously, the MDRs represent 

the minimum amount of data EPA believes is necessary for effective management of the national 

air stationary source compliance monitoring and enforcement program. Some of the key uses of 

the data are to:

 Provide an accurate and accessible inventory of significant sources subject to federally

enforceable emission regulations;

 Develop compliance monitoring and enforcement strategies;

 Target compliance monitoring activities and track enforcement actions;

 Provide the public with transparent access to compliance monitoring and enforcement 

activities under federal statutes;

 Support essential oversight activities within EPA and with delegated agencies;

 Assist in identifying national trends and issues;

 Develop new measures of regulatory program success;

 Prepare various EPA reports on a national, regional, sector, or other level;

 Standardize state and local reporting to EPA;

 Conduct regulatory analyses;

 Support multimedia initiatives which integrate quarterly reports of air, water, and land 

disposal compliance data;

 Provide timely and accurate response to information requests made by the public, 

pollution control vendors, Congress and other information requesters; and
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 Provide a forum and model of successful state and local compliance programs (that 

include Federal data reporting) which can be used by other agencies in the development 

or expansion of their existing programs.

2(c) ABOUT ICIS-AIR

ICIS-Air, like AFS, is a management information system designed to track compliance and 

enforcement information. It is a modern web-based system which provides easy desktop access

to historical and current records for EPA, and state and local agency staff involved in compliance 

and enforcement activities. ICIS-Air promotes better data sharing with states, locals, and other 

partners. The following are important facets of ICIS-Air:

 ICIS-Air will provide both electronic submission and Graphical User Interface (GUI) 

capabilities for Delegated Agency users. 

 EPA users primarily will utilize the ICIS-Air GUI and in specific instances (e.g., Federal 

monitoring activities) also may have electronic submission capabilities.

 ICIS-Air will provide modern and streamlined techniques to support electronic transfer of 

data from state and local agencies to EPA. 

 ICIS-Air will implement robust security features to ensure the integrity of the software 

and data, protect confidentiality of data, and maximize availability to users.

 ICIS-Air will follow EPA standards for software and hardware development, including 

the use of the Central Data Exchange (CDX) and EPA/ECOS data standards.

 ICIS-Air will continue to support baseline Minimal Data Requirements (MDRs)

necessary to support the national air stationary source enforcement and compliance 

assurance program. 

 ICIS-Air will contain a set of streamlined data entry screens with system-generation of 

data elements such as Law/Program selection based on user permissions and systemrequired entry of only MDR data elements.

 ICIS-Air will eliminate the need for double data entry of federal Air data into AFS and 

ICIS 

ICIS-Air is designed to meet the currently approved MDRs. Hence, the type of 

information (e.g., basic facility information, CMS data, applicable air programs, regulated 

pollutants, actions, and violations) reported into the new system remains essentially the same. 

However, there are some changes in how the current MDRs will be reported into ICIS-Air. 

To fully capture some MDRs (such as “Minimum Reportable Actions”), ICIS-Air may

require some additional mouse clicks or key strokes. In spite of the additional clicks or key

strokes for reporting, we anticipate significant efficiencies in reporting and an overall reduction 

in reporting burden for both direct users, as well as those using electronic data transfer (EDT) to 

report MDRs. System efficiencies will be realized through several means such as: 
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(1) ICIS-Air auto-populates data fields to the greatest extent possible based on characteristics 

of the record type being added or information known about the person adding the record. 

(2) Drop-down menus of values and type-ahead functionality are provided wherever possible 

to facilitate entry of information, provide greater consistency in data entry, eliminate the 

need to refer to multiple lists of regional action types, and improve overall data quality. 

(3) The technology and capabilities of the new EDT process are a vast improvement over the 

current AFS direct batch process and the “Universal Interface.” 

There are a few other changes in the MDRs. For example, the MDR for “Compliance 

Status” is being streamlined so that the compliance status of an air program pollutant will no 

longer be required to be entered or subsequently changed to reflect a return to compliance. 

Instead, only violations will be reported into the new system. This change is being made at the 

request of states/locals. Also, states/locals/tribes will no longer be required to report the MDR 

for “Attainment Status.” The new system will automatically obtain this information from the 

EPA Facility Registry System (FRS). 

 

In addition to the above system efficiencies, programmatic changes resulting from 

revisions to both the HPV and FRV policies will result in an overall reduction in reporting 

burden. The method for reporting the “Informal Enforcement Actions” MDR was revised to 

accommodate recent revisions to the HPV policy that capture the various means currently used 

by states/locals/tribes to provide notice of violation to a source (e.g., electronic correspondence, 

meetings, teleconferences). However, this increase in reporting is offset by the changes that 

result in smaller reportable universes. For example, the revised HPV policy reduces the 

categories of violations that are designated as HPV. This will significantly reduce the overall 

number of reportable HPVs. The revised FRV policy changes the applicable source violation 

reporting universe to the CMS universe (i.e., Title V Majors, SM-80’s, sources in alternative 

plans) and sources that have had a violation designated as an HPV. This change will 

significantly reduce the number of violations that will be required to be reported as FRVs.

2(d) PROGRAM CHANGES

The discussions above about the policy and system changes summarize the program changes. 

 

3. NON-DUPLICATION, CONSULTATIONS, AND OTHER COLLECTION

CRITERIA

(a) NON-DUPLICATION

The MDR data elements outlined in Table 1 of Section 4(b) represent minimum data

requirements for effective implementation and management of a compliance and enforcement 

program. For EPA and the public, the ICIS-Air data are the only source of national information 

on CAA stationary source compliance and enforcement activities. State and local agency
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respondents generally collect the information as part of their customary business practice to 

manage their compliance and enforcement programs. ICIS-Air has been designed to reflect the 

core program data. Roughly a dozen state and local agencies will use ICIS-Air as their own data 

system for managing these and other data elements. Yet, many state and local agencies have their 

own data management systems. Most ICIS-Air data will be received from agencies via 

electronic data transfer (EDT) processes from either single or multimedia systems. 

(b) PUBLIC NOTICE REQUIRED PRIOR TO SUBMISSION TO OMB

The first Federal Register notice on this ICR renewal will be published in August 2014. 

EPA anticipates that the second and final FR notice will be published in November 2014. 

(c) CONSULTATIONS

EPA presents the renewal of this data collection to state and local agencies with nearly 

identical data reporting requirements. Given the timing of the system modernization efforts to 

replace AFS with ICIS-Air, EPA is not in a position to provide a rigorous, quantitative, systembased burden analysis through consultations with state and locals. However, during the AFS 

modernization project, EPA initated a set of outreach, communication, and consultation efforts 

with all states/locals to: ensure that EPA’s plans were clearly communicated; hear, understand 

and consider state and local perspectives; encourage states and locals to participate as partners in 

AFS modernization tasks; and help EPA understand the barriers that states and locals face in 

achieving a major information system transition. 

(d) EFFECTS OF LESS FREQUENT COLLECTION

During this ICR renewal process, EPA is not requesting any changes to the reporting 

timeframes. The 2012 ICR renewal included a change from quarterly reporting to within 60 days 

of the day of the event or at least six (6) times per year. This request was made to ensure that the 

data used by EPA was accurate and as timely as possible, and provided the public with more 

current source information. Data received quarterly were not providing capability for 

meaningful reviews at midyear and end of year cycles. EPA would prefer data reported on a 

monthly basis, and many agencies do report each month. 

If EPA received data less frequently (e.g., quarterly), review of yearly evaluation plans 

and addressing of high priority violators would be less timely. With quarterly reporting, yearly

reviews could not be completed until January of the following fiscal year, which reduced their 

utility. The timeliness of making this information available to the public suffered. The lack of 

timeliness also added to data quality concerns.

(e) GENERAL GUIDELINES

This information collection contains no special circumstances that would conflict with 
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the general guidelines in 5 CFR 1320.5.

 (f) CONFIDENTIALITY 

Any information submitted to the Agency for which a claim of confidentiality is made 

will be safeguarded according to Agency policies set forth in Title 40, Chapter 1, Part 2, Subpart 

B - Confidentiality of Business Information (see also 40 CFR 2; 41 FR 36902, September 1, 

1976; amended by 43 FR 42251, September 20, 1978; and 44 FR 17674, March 23, 1979). 

(g) SENSITIVE QUESTIONS

This section is not applicable.
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4. THE RESPONDENTS AND THE INFORMATION COLLECTED

(a) RESPONDENTS/NAICS CODES

The respondents for the information collection activity are state, local and tribal

environmental agencies. These environmental agencies are classified in NAICS 924110. Source 

compliance data assembled by the state and local agencies covers numerous NAICS categories. 

The state and local agencies that report to AFS, and ICIS-Air in the future, are defined as 

delegated grantees of the Clean Air Act. Most contacts are identified on the EPA Web site (see 

Contacts List at http://www.epa.gov/compliance/contact/data-afscontacts.html ). The total 

number of respondents is 99 (50 states, the District of Columbia, Puerto Rico, the Virgin Islands, 

Guam, American Samoa, the Mariana Protectorate and 43 delegated local agencies). The 

classification of small, medium, and large agencies is made based upon the number of major 

sources: 1-150 major sources are defined as a small agency, 151-499 are defined as a medium 

agency, and 500 or more major sources are defined as a large agency. Over the years, the CAA 

stationary source program has experienced a steady decline in the number of major sources. This 

trend is continuing as shown below:

2001 AFS ICR: 89 agencies, 22,890 major sources

2005 AFS ICR: 93 agencies, 21,085 major sources

2008 AFS ICR: 93 agencies, 15,563 major sources

2011 AFS ICR: 99 agencies, 14,511 major sources

2014 AFS ICR 99 agencies, 13,880 major sources

Reasons contributing to this 40% decline in the number of major sources over the last 

thirteen years include: 

 A growing number of sources opting out of Title V to keep emissions under the major 

threshold level for a pollutant; 

 The reductions in emissions gained through improved pollution control equipment; and 

 Changes to Air Program tracking of specific substances. For example, total suspended 

particulate (TSP or PT) emission standards are being replaced with standards for 

particulate matter of 10 micrometers or less (PM10) and fine particulate representing 

particles less than 2.5 micrometers in aerodynamic diameter (PM2.5). Splitting the 

emissions from this pollutant into two separate pollutants has resulted in the decrease of 

major threshold emissions for particulates.

The list of agencies by category can be found in Appendix 1, State and Local Agency

Classification by Size. 

(b) INFORMATION REQUESTED

(i) Specific Data Reporting and Record keeping Items
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Reporting: To manage the national air stationary source compliance monitoring and 

enforcement program, EPA provides a set of MDRs that identify the specific data elements to be 

reported and tracked in ICIS-Air for state and local agency compliance and enforcement 

activities. ICIS-Air provides a platform to plan and track other information occurring at a facility

from a tip/complaint, voluntary disclosure, evaluation/ investigation, or through an 

informal/formal enforcement action.

Tables 1 & 2 provide lists of the MDRs for renewal. Table 1 provides a mapping of 

MDRs previously reported into AFS to the MDRs as they will be reported into ICIS-Air. Table 

2 provides, for reference, the previous MDR requirements as approved in the January 2012 ICR 

in 2012. The reportable universe of facilities for ICIS-Air includes: Major, Synthetic Minor and 

Part 61 NESHAP Minor facilities, other facilities identified within the CMS Evaluation Plan, any 

facility with a formal enforcement action and any facility with an active HPV.

Formal enforcement actions are defined as administrative orders, consent decrees, and 

civil or criminal referrals. Reportable informal enforcement actions are defined as Notices of 

Violation. An informal action will not include the assessment of a monetary penalty. Notices of 

Violation with a proposed penalty should be reported as an administrative order under the 

delegated authority of Section 113 of CAA.

Additionally, facilities with formal enforcement are to be tracked in ICIS-Air until the 

resolution of the violation, regardless of classification. For example, should an administrative 

order be issued to a facility listed with a minor classification, all information required to establish 

a facility record should be added to ICIS-Air. The source should have any and all resulting 

enforcement activity entered into ICIS-Air until resolution of the violation, as resources allow. 

Respondents are reminded of the requirement to report all applicable pollutants emitted 

by a facility, to include the particulate pollutants (TSP or PT), PM10 and PM2.5. 

Record keeping: Data submitted to EPA by respondents are maintained by EPA in ICISAir. Respondents are authorized with the implementation and management of the CAA. Those 

respondents with data management systems are already maintaining the required data elements 

for their program management purposes. The data are extracted and transferred to EPA via 

EDT. Those respondents without data management systems enter the data into ICIS-Air via 

direct data entry on the web. Respondents are not required to report these data elsewhere in 

other federal EPA systems. 

(ii) Respondent Activities

The respondent activities associated with reporting of compliance and enforcement 

actions are detailed in Worksheet 1 in Section 6(a) below. These activities include:
15

1. Process, compile, and review information for accuracy and appropriateness; 

2. Transmit information for entry into ICIS-Air, including any necessary changes to state 

and local data systems to facilitate the transfer of MDRs; and

3. Affirm that the data has been transmitted accurately

These tasks generally are to be performed on a 60-day basis. Section 6 of this Supporting

Statement describes the cost and burden of these respondent activities. Most of the burdens 

under Activity 1 are designated as Customary Business Practice (CBP) because the state and 

local agencies collect the information required by EPA for their own program management

purposes. 

Record Retention: ICIS-Air users have the ability to delete data from the system that is no 

longer valid or that pertains to sources that are permanently closed. Users are required to 

maintain reportable MDR data in the system for at least five (5) years with the exception of data 

pertaining to HPVs and sources with minor formal enforcement actions. Sources with high 

priority violations are to be kept in ICIS-Air regardless of operating status. Minor sources with 

formal enforcement actions should be maintained in ICIS-Air for at least three (3) years. Users 

are encouraged to archive permanently closed facilities after five (5) years unless HPV activity is 

contained within the records.
16

TABLE 1

ICIS-AIR: REPORTING MINIMUM DATA REQUIREMENTS – DELEGATED AGENCIES

This table is intended to show how the current CAA stationary source compliance and enforcement minimum data requirements (MDRs) will be 

reported into ICIS-Air. As a result of the modernization from the mainframe to a web-based system there are some changes to how the current MDRs will be 

reported. 

In some instances there is a difference between reporting requirements for web entry and electronic data transfer (EDT) in ICIS-Air. An example is an 

activity identifier. In AFS, this is referred to as the Action Number. In ICIS-Air, agencies that will report using EDT will provide an identifier for each activity 

reported, agencies that will report via the web will have an identifier generated for them. This difference exists to allow EDT agencies to report an identifier 

generated by their state or local agency system. 

Some data elements are only included in the table to highlight data that ICIS-Air will generate in order to make better use of the existing MDR or to 

make it more exact. For example, ICIS-Air will generate an Air Program Operating Status Start Date to indicate when an Air Program was first applied to the 

facility and, if the operating status was changed, the date it was changed. Even though the field is not required to be reported, agencies may choose to override 

the generated value with the actual date to make it more exact. 

This table reflects ICIS-Air as currently designed. Requests to change the design have been made that will affect how some MDRs are reported. As 

these changes are implemented, this table will be updated. Examples of changes expected include field name changes and generating values that are currently 

reported by the user. 

MDR 

Level

Current - AFS Reporting via Web –

ICIS-Air

Reporting via EDT –

ICIS-Air

Further explanation of specific data fields.

Facility 

Record

Facilities Facilities Facilities

Facility ID *ICIS-Air 

Programmatic ID 

*AirFacilityIdentifier The Program ID is 18 alphanumeric characters comprised of 

the State or Tribe, LCON (where applicable), and 13 characters unique 

within the reporting agency. 

Facility Name *Facility Site Name *FacilitySiteName

Street *Address *LocationAddressText

City *City (GNIS City 

Code or City Name) 

*LocationAddressCityCod

e 

A change request has been submitted that will allow users to 

report a free text city name or a GNIS Feature ID. If the GNIS Feature 

ID is reported, the city name will be generated. 

State *State *LocationStateCode

County >County (generated 

based on the City) 

>County (generated based 

on the City) 

A change request has been submitted. If users report a free 

text city name, they will be required to report the county. If the GNIS 

Feature ID is reported, the county will be generated. 
17

MDR 

Level

Current - AFS Reporting via Web –

ICIS-Air

Reporting via EDT –

ICIS-Air

Further explanation of specific data fields.

Zip Code *Zip Code *LocationZipCode

NAICS Code or 

SIC Code

*Primary NAICS 

Code

*NAICSPrimaryIndicator

Code

Government 

Ownership

Facility Type of 

Ownership

FacilityTypeOfOwnership

Code

>LCON (LCON 

users; generated based on User 

ID)

*LCON (LCON users) The LCON field is used to identify a facility under a local 

control district’s jurisdiction. In AFS, users had to assign an LCON 

value to the facility in order to identify the agency with jurisdiction. In 

ICIS-Air, the LCON value will be generated based on the User ID of 

the person creating the facility. If the User ID is associated with an 

LCON, any facility created with that User ID will be associated with 

the LCON. 

+ Portable Source 

Indicator – County Code 

“777” 

^Portable Source 

Indicator flag (Defaults to No. 

User must check box to 

indicate if it is a Portable 

Source.)

^PortableSourceIndicator 

(Defaults to No. User must submit 

the tag only to indicate that it is a 

Portable Source.)

Instead of reporting ‘777’ in the county field to indicate a 

portable source, users will report a Portable Source flag. A permanent 

address should be reported for portable sources that corresponds to the 

owner or the address associated with a permit. 

Facility 

Programs

All Applicable 

Federally-Enforceable Air 

Program(s) 

All Applicable 

Federally-Enforceable Air 

Program(s) 

All Applicable FederallyEnforceable Air Program(s)

Air Program *Air Program *AirProgramCode

+Air Program 

Description

+OtherProgramDescriptio

nText

If a user chooses to report the “Federally-Enforceable 

Requirement” air program, they will be required to provide a 

description (e.g., ECL § 205.3).

Air Program 

Operating Status

*Air Program 

Operating Status

*AirProgramOperatingSta

tusCode

^Air Program 

Operating Status Start Date

^AirProgramOperatingSta

tusStartDate

This is not programmatically required data. This will be 

generated by ICIS-Air and will default to the date the air program is 

first added or the date the operating status is changed. It is included in 

this table because users can optionally choose to override the date prior 

to saving the record. 

Subparts for 

NSPS, NESHAP, MACT

+Subparts +AirProgramSubpartCode 

Facility 

Pollutants

Regulated 

Pollutant(s) by Air Program

Regulated 

Pollutant(s)

Regulated Pollutant(s)

Pollutant Code or 

CASN

*Pollutant Name or 

CASN

*AirPollutantsCode

Pollutant *Delegated Agency *AirPollutantDAClassific 
18

MDR 

Level

Current - AFS Reporting via Web –

ICIS-Air

Reporting via EDT –

ICIS-Air

Further explanation of specific data fields.

Classification Pollutant Classification ationCode 

^Delegated Agency 

Pollutant Classification Start 

Date 

^AirPollutantDAClassific

ationStartDate 

This is not programmatically required data. This will be 

generated by ICIS-Air and will default to the date the pollutant is first 

added or the date its classification is changed. It is included in this 

table because users can optionally choose to override the date prior to 

saving the record.

^Status ^AirPollutantStatusIndicat

or

This is not programmatically required data. A default value 

of “active” is generated that users can override. The background 

process that generates the facility-level classification only accounts for 

the classification of pollutants with a status of “active.” The alternative 

to tracking the “status” is to delete the pollutant, which will delete the 

history. Therefore, there will be no historical record of the pollutant 

for the facility. 

Compliance 

Status

N/A N/A This MDR will not be reported in ICIS-Air. But, reporting 

violations will continue to be required and will be reported on a Case 

File.

Attainment Status N/A N/A This data will be provided through a data exchange with 

FRS. 

CMS 

Record

CMS CMS CMS

Facility ID >ICIS-Air 

Programmatic ID (generated 

based on parent Facility)

*AirFacilityIdentifier

CMS Source 

Category

*CMS Source 

Category

*AirCMSSourceCategory

Code

^CMS Start Date ^AirCMSStartDate Like AFS, the CMS Start Date corresponds to the CMS 

Source Category Code and Minimum Frequency Indicator 

combination. When a facility is first added to a CMS plan, the current 

date will be applied as the CMS Start Date and users may optionally 

override it. If a facility CMS Source Category Code changes to a 

category that has a more frequent recommended minimum frequency, 

the CMS Start Date will change to the date the change is made. Again, 

users my override this date. The original CMS Start Date will be 

stored as the CMS Origination Date and cannot be changed. 

CMS Minimum 

Frequency Indicator

^CMS Source 

Frequency Indicator (if there is 

a default minimum for selected 

Source Category)

*AirCMSMinimumFreque

ncy
19

MDR 

Level

Current - AFS Reporting via Web –

ICIS-Air

Reporting via EDT –

ICIS-Air

Further explanation of specific data fields.

*CMS Source 

Frequency Indicator (if there is 

*not* a default minimum for 

selected Source Category)

FCE 

Record

FCEs FCEs FCEs

Facility ID *ICIS-Air 

Programmatic ID

*AirFacilityIdentifier

Action Type 

(Lead Agency/On or Off 

Site inherent in action type)

*Compliance 

Monitoring Activity Type

*ComplianceMonitoringA

ctivityTypeCode

As a result of the structure of ICIS, users must first identify 

via an Add Link the type of activity they wish to report (e.g., 

Inspection/Evaluation, Judicial Enforcement); EDT users will include 

the activity type in their XML submission. 

*Compliance 

Monitoring Type 

*ComplianceInspectionTy

peCode

*Lead Agency *LeadAgencyCode 

Date Achieved +Actual End Date +ComplianceMonitoringD

ate

The system will save a compliance evaluation record that 

only has a Planned End Date. This is to facilitate planning per the 

CMS. But, the programmatic MDR remains the Actual End Date 

(known as the Date Achieved in AFS). 

Air Program(s) *Air Programs *ProgramCode

+Other Air Program +OtherProgramDescriptio

nText

If a user chooses to report the “Federally-Enforceable 

Requirement” air program, they will be required to provide a 

description (e.g., ECL § 205.3).

Action Number >Compliance 

Monitoring Identifier 

(generated based on User ID of 

person adding record).

*ComplianceMonitoringId

entifier

Instead of submitting “99999” to generate a value in 

chronological order for the action number, ICIS-Air will generate the 

activity identifier automatically when the record is created directly on 

the web. EDT users must provide the identifier, which will better 

enable tracking activities in ICIS-Air for editing and linking. The 

identifier provided by EDT users must comprise the same format 

generated by ICIS-Air for the web users (State + LCON + Program 

Code + Unique Identifier). 
20

MDR 

Level

Current - AFS Reporting via Web –

ICIS-Air

Reporting via EDT –

ICIS-Air

Further explanation of specific data fields.

PCE 

Record

PCEs are an 

MDR when they are a 

discovery action for an 

HPV or are included in a 

CMS alternative plan. 

PCEs will continue 

to be an MDR when they are 

a discovery action for an 

HPV or are part of a CMS 

alternative plan. 

PCEs will continue to be 

an MDR when they are a 

discovery action for an HPV or 

are part of a CMS alternative 

plan. 

Facility ID *ICIS-Air 

Programmatic ID

*AirFacilityIdentifier

Action Type 

(Lead Agency/On or Off 

Site inherent in action type)

*Compliance 

Monitoring Activity Type

*ComplianceMonitoringA

ctivityTypeCode

As a result of the structure of ICIS, users must first identify 

via an Add Link the type of activity they wish to report (e.g., 

Inspection/Evaluation, Judicial Enforcement); EDT users will include 

the activity type in their XML submission. 

*Compliance 

Monitoring Type 

*ComplianceInspectionTy

peCode

*Lead Agency *LeadAgencyCode 

Date Achieved +Actual End Date +ComplianceMonitoringD

ate

The system will save a compliance evaluation record that 

only has a Planned End Date. This is to facilitate planning per the 

CMS. But, the programmatic MDR remains the Actual End Date 

(known as the Date Achieved in AFS). 

Air Program(s) *Air Programs *ProgramCode

+Other Air Program +OtherProgramDescriptio

nText

If a user chooses to report the “Federally-Enforceable 

Requirement” air program, they will be required to provide a 

description (e.g., ECL § 205.3).

Action Number >Compliance 

Monitoring Identifier 

(generated based on User ID of 

person adding record).

*ComplianceMonitoringId

entifier

Instead of submitting “99999” to generate a value in 

chronological order for the action number, ICIS-Air will generate the 

activity identifier automatically when the record is created directly on 

the web. EDT users must provide the identifier, which will better 

enable tracking activities in ICIS-Air for editing and linking. The 

identifier provided by EDT users must comprise the same format 

generated by ICIS-Air for the web users (State + LCON + Program 

Code + Unique Identifier).

Investigat

ions

All 

Investigations

 State/Tribe/LCON 

Investigation 

Conducted

Delegated Agency 

Investigation Conducted

Delegated Agency 

Investigation Conducted

Facility ID *ICIS-Air 

Programmatic ID

*AirFacilityIdentifier
21

MDR 

Level

Current - AFS Reporting via Web –

ICIS-Air

Reporting via EDT –

ICIS-Air

Further explanation of specific data fields.

Action Type 

(Lead Agency inherent in 

action type)

*Compliance 

Monitoring Activity Type

*ComlianceMonitoringAc

tivityTypeCode

As a result of the structure of ICIS, users must first identify 

via an Add Link the type of activity they wish to report (e.g., 

Inspection/Evaluation, Judicial Enforcement); EDT users will include 

the activity type in their XML submission. 

*Compliance 

Monitoring Type 

*ComplianceInspectionTy

peCode

*Lead Agency *LeadAgencyCode 

Date Achieved 

(for Investigation 

Conducted)

Actual End Date (for 

Investigation Conducted)

ComplianceMonitoringDa

te 

The MDR for delegated agencies is Investigation Conducted, 

which corresponds to reporting an Investigation with an Actual End 

Date (known as the Date Achieved in AFS). Users can optionally 

report the Actual Start Date to identify when the Investigation was

initiated (this is required for EPA). Currently, the design requires either 

an Actual Start Date or a Planned End Date. The design will be 

updated to accept an Actual Start Date, Planned End Date, or Actual 

End Date. But, the MDR remains the Actual End Date. 

+Actual Start Date 

(for Investigation Initiated)

+ComplianceMonitoringSt

artDate

+Planned End Date +ComplianceMonitoringPl

annedEndDate

Air Program(s) *Air Programs *ProgramCode

+Other Air Program +OtherProgramDescriptio

nText

If a user chooses to report the “Federally-Enforceable 

Requirement” air program, they will be required to provide a 

description (e.g., ECL § 205.3).

Action Number >Compliance 

Monitoring Identifier 

(generated based on User ID of 

person adding record).

*ComplianceMonitoringId

entifier

Instead of submitting “99999” to generate a value in 

chronological order for the action number, ICIS-Air will generate the 

activity identifier automatically when the record is created directly on 

the web. EDT users must provide the identifier, which will better 

enable tracking activities in ICIS-Air for editing and linking. The 

identifier provided by EDT users must comprise the same format 

generated by ICIS-Air for the web users (State + LCON + Program 

Code + Unique Identifier).

Stack 

Tests

All Stack Tests Stack Tests 

Conducted for the Purpose of 

Determining Compliance

Stack Tests Conducted 

for the Purpose of Determining 

Compliance

Facility ID *ICIS-Air 

Programmatic ID

*AirFacilityIdentifier

Action Type 

(Who Conducted/Who 

Observed, Lead Agency 

inherent in action type)

*Compliance 

Monitoring Activity Type

*ComplianceMonitoringA

ctivityTypeCode

As a result of the structure of ICIS, users must first identify 

via an Add Link the type of activity they wish to report (e.g., 

Inspection/Evaluation, Judicial Enforcement); EDT users will include 

the activity type in their XML submission. 

*Compliance 

Monitoring Type

*ComplianceInspectionTy

peCode
22

MDR 

Level

Current - AFS Reporting via Web –

ICIS-Air

Reporting via EDT –

ICIS-Air

Further explanation of specific data fields.

^Conducted By +StackTestConductorType

Code

Since the majority of stack tests reported for compliance 

purposes are conducted by the owner/operator, the value will default to 

owner/operator. 

Observed By StackTestObservedAgenc

yTypeCode

If an agency was present during the test to observe its 

performance, a user must select the agency that observed the test. 

*Lead Agency *LeadAgencyCode 

Date Achieved +Actual End Date +ComplianceMonitoringD

ate

The system will save a compliance evaluation record that 

only has a Planned End Date. This is to facilitate planning per the 

CMS. But, the programmatic MDR remains the Actual End Date 

(known as the Date Achieved in AFS). 

Test Results 

(Pass, Fail, Pending)

^Stack Test Status ^StackTestStatusCode ICIS-Air will default the value to pending and the user must 

update to Pass/Fail when the actual results are known. 

Air Program(s) *Air Programs *ProgramCode

+Other Air Program +OtherProgramDescriptio

nText

If a user chooses to report the “Federally-Enforceable 

Requirement” air program, they will be required to provide a 

description (e.g., ECL § 205.3).

Action Number >Compliance 

Monitoring Identifier 

(generated based on User ID of 

person adding record).

*ComplianceMonitoringId

entifier

Instead of submitting “99999” to generate a value in 

chronological order for the action number, ICIS-Air will generate the 

activity identifier automatically when the record is created directly on 

the web. EDT users must provide the identifier, which will better 

enable tracking activities in ICIS-Air for editing and linking. The 

identifier provided by EDT users must comprise the same format 

generated by ICIS-Air for the web users (State + LCON + Program 

Code + Unique Identifier).

TV ACC 

Due/Received

All TV ACCs All TV ACCs All TV ACCs

Facility ID *ICIS-Air 

Programmatic ID

*AirFacilityIdentifier

Action Type –

TV ACC Due/Received 

(Lead Agency inherent in 

action type)

*Compliance 

Monitoring Activity Type

>ComplianceMonitoringA

ctivityTypeCode

As a result of the structure of ICIS, users must first identify 

via an Add Link the type of activity they wish to report (e.g., 

Inspection/Evaluation, Judicial Enforcement); for EDT the Compliance 

Monitoring Activity Type will be generated based on the XML 

submission type for TV ACC records.

*Compliance 

Monitoring Type

>ComplianceInspectionTy

peCode

Typically this requirement is negotiated between EPA and 

the permitting authority where the permitting authority enters the data. 

However, if EPA is responsible for reporting this data, they may enter 

the data on behalf of the permitting authority, but it will appear as a 

state or local agency activity. For EDT the Compliance Monitoring 
23

MDR 

Level

Current - AFS Reporting via Web –

ICIS-Air

Reporting via EDT –

ICIS-Air

Further explanation of specific data fields.

Type will be generated based on the XML submission type for TV 

ACC records.

*Lead Agency *LeadAgencyCode 

Due/Received 

(Date Scheduled/Date 

Achieved, Federal Users 

Only, unless otherwise 

negotiated)

+Planned End Date 

(Due Date) 

+ComplianceMonitoringPl

annedEndDate

+Actual End Date 

(Date Received)

+ComplianceMonitoringD

ate

Results Code N/A N/A If a “violation” is determined as a result of late submittal of a 

TV ACC or discovered during the review of the TV ACC, it will be 

reported as such using the Case File module. In cases, where an agency 

chooses to report a result for each TV ACC record in ICIS-Air a User 

Defined Field (UDF) shall be used.

Air Program(s) *Air Programs *ProgramCode

+Other Air Program +OtherProgramDescriptio

nText

If a user chooses to report the “Federally-Enforceable 

Requirement” air program, they will be required to provide a 

description (e.g., ECL § 205.3).

Action Number >Compliance 

Monitoring Identifier 

(generated based on User ID of 

person adding record).

*ComplianceMonitoringId

entifier

Instead of submitting “99999” to generate a value in 

chronological order for the action number, ICIS-Air will generate the 

activity identifier automatically when the record is created directly on 

the web. EDT users must provide the identifier, which will better 

enable tracking activities in ICIS-Air for editing and linking. The 

identifier provided by EDT users must comprise the same format 

generated by ICIS-Air for the web users (State + LCON + Program 

Code + Unique Identifier).
24

MDR 

Level

Current - AFS Reporting via Web –

ICIS-Air

Reporting via EDT –

ICIS-Air

Further explanation of specific data fields.

TV ACC 

Review

All TV ACCs All TV ACCs All TV ACCs

Action Type –

TV ACC Review (Lead 

Agency inherent in action 

type)

Reviewer Agency ReviewerAgencyCode 

Date Achieved 

(Review action, Lead 

Agency inherent in action 

type)

Reviewed on [Date] *TVACCReviewedDate

Deviations? 

(Federal Users Only, unless 

otherwise negotiated) 

(Yes/No/# of)

Did Facility Report 

Deviations?

FacilityReportDeviationsI

ndicator

Informal 

Enforcement 

Actions

Notices of 

Violation

Notification of a 

Violation

Notification of a 

Violation

Facility ID *ICIS-Air 

Programmatic ID

*AirFacilityIdentifier

Action Type 

(Type/Lead Agency 

inherent in action type)

*Enforcement Action 

Forum

>Forum As a result of the structure of ICIS, users must first identify 

via an Add Link the type of activity they wish to report (e.g., 

Inspection/Evaluation, Judicial Enforcement); for EDT the forum for 

Informal Enforcement Actions will be generated based on the XML 

submission type. 

*Enforcement Action 

Type

*EnforcementActionType

Code

*Lead Agency *LeadAgencyCode

Date Achieved Achieved Date AchievedDate

Air Program 

Code(s)

*Programs Violated *ProgramsViolatedCode

Action Number >Enforcement Action 

Identifier (generated based on 

User ID of person adding 

record).

*AirDAEnforcementActio

nIdentifer

Instead of submitting “99999” to generate a value in 

chronological order for the action number, ICIS-Air will generate the 

activity identifier automatically when the record is created directly on 

the web. EDT users must provide the identifier, which will better 

enable tracking activities in ICIS-Air for editing and linking. The 

identifier provided by EDT users must comprise the same format 

generated by ICIS-Air for the web users (State + LCON + Program 

Code + Unique Identifier).
25

MDR 

Level

Current - AFS Reporting via Web –

ICIS-Air

Reporting via EDT –

ICIS-Air

Further explanation of specific data fields.

Formal 

Enforcement 

Actions

Formal 

Enforcement Actions

Formal 

Enforcement Actions

Formal Enforcement 

Actions

Facility ID *ICIS-Air 

Programmatic ID

*AirFacilityIdentifier

Action Type 

(Type/Lead Agency 

inherent in action type)

*Enforcement Action 

Forum

*Forum As a result of the structure of ICIS, users must first identify 

via an Add Link the type of activity they wish to report (e.g., 

Inspection/Evaluation, Judicial Enforcement); EDT users will include 

the activity type in their XML submission. 

*Enforcement Action 

Type

*EnforcementActionType

Code

In order to report a Final Order (e.g., Administrative 

Compliance Order) users must first create the Enforcement Action 

Type (e.g., Administrative Order). 

*Lead Agency *LeadAgencyCode 

Milestones: Referral 

Date (Judicial Actions Only) –

Actual Date

MilestoneActualDate 

(Judicial Actions Only)

Air Program(s) *Programs Violated *ProgamsViolatedCode

Action Number >Enforcement Action 

Identifier (generated based on 

User ID of person adding 

record).

*AirDAEnforcementActio

nIdentifier

Instead of submitting “99999” to generate a value in 

chronological order for the action number, ICIS-Air will generate the 

activity identifier automatically when the record is created directly on 

the web. EDT users must provide the identifier, which will better 

enable tracking activities in ICIS-Air for editing and linking. The 

identifier provided by EDT users must comprise the same format 

generated by ICIS-Air for the web users (State + LCON + Program 

Code + Unique Identifier).

Final 

Order

Formal 

Enforcement Actions

Final Orders Final Orders

Action Number >Final Order ID *FinalOrderIdentifier Instead of submitting “99999” to generate a value in 

chronological order for the action number, ICIS-Air will generate the 

Final Order identifier automatically when the record is saved. EDT 

users must provide the identifier. This will enable tracking activities in 

ICIS-Air using an identifier generated by the state or local agency data 

system. This will facilitate linking and editing activities.

Facility ID *ICIS-Air

Programmatic ID

*FinalOrderAirFacilityIde

ntifier

Action Type 

(Type/Lead Agency 

*Final Order Type *Final Order Type Code
26

MDR 

Level

Current - AFS Reporting via Web –

ICIS-Air

Reporting via EDT –

ICIS-Air

Further explanation of specific data fields.

inherent in action type)

Date Achieved +Final Order Issued 

Date (Admin) 

Final Order Entered 

Date (Judicial) 

+FinalOrderIssuedEntered

Date 

Resolving Action 

(and Date Achieved)

Air Resolved Date 

(HPV Resolving Action only)

AirResolvedDate

Cash Assessed 

Penalty

Penalty Assessed to 

be Paid To:

CashCivilPenaltyRequired

Amount (populates Penalty 

Assessed to be Paid To: State/Local 

Agency)

A penalty will be required for some enforcement action 

types. 

Complian

ce Status

Compliance 

Status

Violation Tracking Violation Tracking Violation data will be reported using the Case File 

module. Underlying data reported on the Violation sub link will 

roll-up to the Case File (e.g., HPV). 

Facility ID *ICIS-Air 

Programmatic ID

*AirFacilityIdentifier

Air Program *Programs *ProgramCode 

+Program 

Description

+OtherProgramDescriptio

nText

If a user chooses to report the “Federally-Enforceable 

Requirement” air program, they will be required to provide a 

description (e.g., ECL § 205.3).

Pollutant Pollutants AirPollutantCode 

^Lead Agency ^LeadAgencyCode

>Case File Identifier 

(generated based on User ID of 

person adding record).

*CaseFileIdentifier FRVs will no longer be repor`ted as the compliance status of 

an air program pollutant. In ICIS-Air, FRVs and HPVs are reported on 

a Case File, which is treated similar to other activities in ICIS-Air. The 

concept is similar to reporting a key action in AFS. Each Case File will 

be assigned an identifier, similar to an action number on a key action in 

AFS. But, instead of submitting “99999” to generate a number, ICISAir will generate the activity identifier automatically when the record 

is saved. EDT users must provide the identifier. This will enable 

tracking activities in ICIS-Air using an identifier generated by the state 

or local agency data system. This will facilitate editing activities. 

A unique identifier will also assist with linking for HPVs. 

Violation 

Details

Compliance 

Status

Violation Tracking Violation Tracking This data may be designated as enforcement sensitive

pursuant to the underlying polices.

Air Program *Violation Type *AirViolationTypeCode In ICIS-Air the list of violation types is more descriptive than 
27

MDR 

Level

Current - AFS Reporting via Web –

ICIS-Air

Reporting via EDT –

ICIS-Air

Further explanation of specific data fields.

Pollutant Compliance 

Status (FRV)/HPV Day 

Zero/HPV Violation Type 

Code/HPV Violating 

Pollutant

the options used to report violations in AFS. Instead of reporting “InViolation with regard to procedural compliance” users will report, for 

example, “Failure to maintain records as required by permit or 

regulation.” 

*Air Program *AirViolationProgramCod

e

If a user chooses to report the “Federally-Enforceable 

Requirement” air program, they will be required to provide a 

description (e.g., ECL § 205.3).

+Pollutant +AirViolationPollutantCo

de

Date Achieved 

(Day Zero)

+HPV Day Zero Date +HPVDayZeroDate

Informal 

Enforcement 

Method of 

Advisement (aka notification of 

violation)

AdvisementMethodTypeC

ode (aka notification of violation)

This field meets the requirement to report when notice was 

provide to the regulated entity. 

Date Achieved Date of Advisement AdvisementMethodDate This corresponds to the date when the facility was initially 

advised of any potential violation. 

HPV 

Action Linking

HPV Action 

Linking

HPV Action Linking HPV Action Linking

Discovery Action Discovery 

Action/Date

+OtherPathwayCategoryC

ode

+OtherPathwayTypeCode

+OtherPathwayDate

Addressing 

Action

Addressing 

Action/Date

Resolving Action Resolving

Action/Date
28

TABLE 2

SUMMARY OF NATIONAL MINIMUM DATA REQUIREMENTS (MDRs)

FOR CLEAN AIR ACT STATIONARY SOURCE COMPLIANCE-2012 ICR

Note: Unless otherwise noted, both Regions and states/locals report their own data. The 

universe of facilities for ICIS-Air includes: Major, Synthetic Minor and Part 61 NESHAP Minor 

facilities, other facilities identified within the CMS Evaluation Plan, any facility with a formal 

enforcement action, and any facility with an active HPV. Facilities with formal enforcement 

actions (administrative orders, consent decrees, civil or criminal referrals and actions) should be 

tracked until the resolution of the violation, regardless of classification. If a minor source is 

included in the CMS universe, has a current enforcement action of three (3) years old, or is listed 

as a discretionary HPV, it is considered reportable. Individual regional/state agreements are not 

superseded by this listing. 

AFS

Identification Acronym

1. Facility Name PNME

2. State STAB/STTE

3. County CNTY

4. Facility Number PCDS

5. Street STRS

6. City CYNM

7. Zip Code ZIPC

8. NAICS Code NIC1

[Note: While SIC Codes can be reported to AFS, reporting of the NAICS code is required.]

9. Government Ownership GOVT

10. HPV Linkage and Key Action (Day Zero) Linked from 

Action Data

Compliance Monitoring Strategy (CMS)

11. CMS Source Category CMSC
29

12. CMS Minimum Frequency Indicator CMSI

Note: Generally EPA enters these fields into AFS; state/locals provide this information per 

agreement with the EPA Region. An EPA Region may delegate data entry rights to a state/local 

agency.

All Regulated Air Program(s) [Note: All applicable air programs should be reflected at the 

plant level of AFS.]

13. Air Program APC1

14. Operating Status AST1

15. Subparts for NSPS, NESHAP and MACT SPT1

Note: Any applicable subpart for the NSPS, NESHAP or MACT air program at major and 

synthetic minor sources, minor source NESHAP and all other facilities reported as MDR. 

Reporting of minor source NSPS and MACT subparts are optional, but recommended. 

Regulated Pollutant(s) within Air Program(s)

16. Pollutant(s) by Code or Chemical Abstract Service Number PLAP/CAPP

17. Classification(s): EPA/ST ECLP/SCLP

18. Attainment Status: EPA/ST EATN/SATN

[Note: The 2011 ICR restricts the values necessary for the Attainment Status to N = 

Nonattainment, A = Attainment, and U = Unknown.]

19. Compliance Status: EPA/ST ECAP/SCAP

Actions Within Air Programs (includes Action Number, Type, Date Achieved)

20. Minimum Reportable Actions: 

 Informal Enforcement Actions: Notice of Violation(s)

 Formal Enforcement Actions: Administrative Order(s) and Assessed Penalties, Consent 

Decrees and Agreements, Civil and Criminal Referrals, Civil and Criminal Actions

 HPV Violation Discovered: Linked actions are FCEs, PCEs, Stack Tests (Observed or 

Reviewed), Title V Annual Compliance Certifications, Stack Test Notification Receipt

 HPV Addressing Actions: Linked actions include but are not limited to State/EPA Civil 

or Criminal Referrals, State/EPA Civil or Criminal Actions, Administrative Orders, 

Consent Decrees, Source Returned to Compliance by State/EPA with no Further Action 

Required.

 HPV Resolving Actions: Linked actions include but are not limited to Violation 

Resolved, Closeout Memo Issued, Source Returned to Compliance by State/EPA with no 
30

Further Action Required.

 Full Compliance Evaluations (On or Off Site)

 Stack Tests: Date of the test is reported in the Date Achieved field, Pass/Fail/Pending 

codes (PP/FF/99) are reported in the results code field, must be reported to AFS within 

120 days.

 Title V Annual Compliance Certification Due/Received: Reported by EPA unless 

otherwise negotiated. The Due Date of a Title V Annual Compliance Certification will 

be reported as Date Scheduled on the “Title V Annual Compliance Certification 

Due/Received by EPA” action, and is not enforcement sensitive. 

 Title V Annual Compliance Certification Reviewed: Includes Results Codes for Annual 

Compliance Certification reviews: in compliance (MC), in violation (MV) and unknown 

(MU). Annual Compliance Certification deviations(s) will be indicated in RD08 for EPA 

reviews (and state reviews as negotiated).

 Investigations: EPA Investigation Initiated (started) and State/EPA Investigation 

Conducted (finished). State Investigation Initiated is added for optional use. EPA and 

State Investigation Initiated (started) action types are enforcement sensitive. 

Additional Action Information:

21. Results Code RSC1

Note: Pass/Fail/Pending (PP/FF/99) codes are reported for Stack Test actions. Compliance 

Results Codes of “In Compliance (MC), In Violation (MV), or Unknown (MU)” are entered for 

Title V Annual Compliance Certification reviews. 

22. RD08 (Certification Deviations) RD81

Note: EPA reports into AFS unless otherwise negotiated. Compliance Codes of “In Compliance 

(MC), In Violation (MV), or Unknown (MU)” are entered for Title V Annual Compliance 

Certification reviews. 

23. Date Scheduled DTS1

Note: The Due Date of a Title V Annual Compliance Certification will be reported as Date 

Scheduled on the “Title V Annual Compliance Certification Due/Received by EPA” action, and 

is not enforcement sensitive. 

24. HPV Violation Type Code(s) VTP1

Note: To be identified when the Day Zero action is established. 

25. HPV Violating Pollutant(s) VPL1

Note: To be identified when the Day Zero action is established.

Timeliness Standard

26. Action Reported within 60 Days of Event reported in the Date Achieved (DTA1) field of the 
31

action record for state and local agencies, with a minimum upload of six (6) times per year. 

Monthly updating is encouraged. Federal Data is to be reported on a monthly basis. 

OPTIONAL/DISCRETIONARY DATA REPORTING: NON-MDR DATA

The following items cover data that is not considered an MDR, but as useful and helpful for 

program implementation, evaluation, and oversight. State and local agencies are encouraged to 

report the following items whenever practicable. 

 Minor Facility information: For minor sources that are not MDR (MDR for minor 

facilities is defined as: Minor NESHAP, a minor facility identified within the CMS plan 

for evaluation, minor facilities with an enforcement action less than three (3) years old, or 

any HPV case regardless of class) reporting is optional but encouraged. Minor source 

information would include NSPS and MACT subpart applicability.

 Stack Test Pollutant (PLC1)

 Partial Compliance Evaluations (PCEs) and specific reporting of On-Site PCE activity

defined as: Complaint Partial Compliance Evaluation, Permit Partial Compliance 

Evaluation, Process Partial Compliance Evaluation, Partial Compliance Evaluation OnSite Observation. (Note: All PCEs are required to be reported by EPA Regional offices. 

Also, any negotiated PCEs that are part of an alternative frequency which is part of an 

agency’s CMS plan are required to be reported.)

 Reporting more frequently than every 60 days. 

 State Investigations initiated (Enforcement Sensitive).
32

5. AGENCY ACTIVITIES, COLLECTION METHODOLOGY, AND INFORMATION 

MANAGEMENT

(a) AGENCY ACTIVITIES

Activities performed by EPA personnel involve both EPA Regional and Headquarters 

staff. The Regional Offices generally serve as the primary liaison with respondents, and, if 

applicable, assume the primary role of any EPA reporting of data. Headquarters staff focus on 

data system issues, data management practices, and other national program management 

activities. The EPA activities include1:

 Interaction with delegated agencies (e.g., answer respondent questions, train respondents 

on the use of the system, liaison with state and local agencies, participate in National 

data management discussions)

 Audit and review of data submissions

 Data entry and verification

 Report preparation

 Program review (including review of user needs and suggestions of software revisions, or 

identification for state and local agencies of best/efficient data management and quality 

assurance practices)

 Data interpretation and analysis (including targeting activities)

 Quality assurance guidance

(b) COLLECTION METHODOLOGY AND MANAGEMENT

(i) Overview

Management of the compliance and enforcement information collected from state and 

local respondents for entry into a national data system is a well-established process. Compliance 

and compliance action reporting to ICIS-Air and its predecessors, AFS and the Compliance Data 

System (CDS), has existed for the past 33 years. The MDRs have been developed as essential 

components of a compliance and enforcement tracking program and have been adopted into state 

and local systems. Many states will automatically update ICIS-Air from their database, while 

some will enter data into ICIS-Air directly. In some instances, EPA Regional Offices will enter 

compliance and enforcement data into ICIS-Air. 

 

1 For purposes of estimating burdens, the first four items are considered the primary Regional Office 

activities and the last three items are considered the primary Headquarters activities.
33

EPA data collection guidance and technical support for respondents during the past 33

years has focused on supporting agencies in their collection methodology to minimize the total 

burden associated with meeting their reporting requirements. The Agency will continue to focus 

on these efforts. 

EPA also has developed documents and memoranda to explain the collection and 

reporting of MDRs, such as user manuals and a business rule compendium. New reporting, 

training, and business rule documentation is under development for ICIS-Air to replace the 

existing AFS materials. In addition to these documents, EPA will continue to provide services in 

support of optimizing the collection and reporting of MDRs, including the following:

 An ICIS-Air telephone help line providing users with data collection transmittal and 

quality assurance, supplemented by contractual, Regional and Headquarters staff.

 User training, both to ensure a smooth transition to ICIS-Air and to support the training 

of future ICIS-Air users on an ongoing basis.

 Support for development and use of plug-in technologies that greatly simplify the 

electronic transfer of data from state and local databases to ICIS-Air. 

 A publicly-available EPA ICIS-Air Web site to provide all users, as well as the general 

public, with information on documents, manuals, training information, updates, etc.

(http://www.epa.gov/compliance/data/systems/icis/index.html). 

 A quarterly national webinar to disseminate news and information to all registered users.

EPA presents these tools in plain English to provide novice and experienced personnel 

with suggestions as to how their reporting burden can be minimized. More specific guidance is 

provided as each EPA Regional Office enters into specific agreements with state and local 

agencies on CAA stationary source compliance and enforcement information reporting.

(ii) Data Quality Checking Procedures

ICIS-Air data that are directly entered via the web interface are edited and validated by 

the system upon submission for range, context, and appropriate database record identification 

and cross referencing. Analogous data quality checks are made within the EPA Central Data 

Exchance (CDX) when states/locals transfer data electronically to ICIS-Air. On a weekly basis, 

EPA downloads data from ICIS-Air and loads it into multiple applications providing data to the 

public: the ECHO system and ENVIROFACTS. These systems maintain procedures for error 

resolution and correction; thereby, improving the quality of data in ICIS-Air. 

Many state and local agencies have written Standard Operating Procedures or have 

expanded Quality Assurance Project Plans that define their reporting process. These procedures 
34

contain a data correction mechanism, define data ownership, and outline each step taken to report 

timely, accurate, and useable data to EPA. Additionally, the OECA Office of Compliance has a 

Quality Management Plan requiring that data quality requirements be built into each information 

system managed by the Office. 

EPA reviews a comprehensive set of data retrievals on a cyclic basis to review state/local 

agency progress within the CMS, review implementation of CAA FRV and HPV policies, 

examine milestone completion with HPV pathways, and enable overall review of data elements

for accuracy.

The OECA State Review Framework (SRF) utilizes MDR data to document activity for 

air compliance and enforcement oversight on a periodic basis. State and local agencies have an 

opportunity during their reviews to validate the data, make corrections as appropriate, or develop 

processes to address identified program concerns. 

(iii) Machine and Processing Technology

ICIS-Air will reside on EPA’s Enterprise Servers at the National Computer Center (NCC) 

in North Carolina and be accessible to all state and local agency users via the internet. 

(iv) Data Entry and Storage

Once compliance data are submitted to EPA, either directly online or via an 

electronic data transfer process by state/local data stewards, the data are managed and maintained 

by EPA. If either EPA staff or a state/local data steward identifies any concerns with the data or 

the system, EPA staff and the data steward discuss and resolve. EPA policy specifies the 

security and retention requirements for its databases, in addition to the specific program 

requirements and archiving protocols associated with each compliance data collection program. 

Users of ICIS-Air are required to maintain reportable MDR data in the system for at least five (5) 

years with the exception of data pertaining to HPVs and sources with minor formal enforcement 

actions. Sources with HPVs are to be kept in ICIS-Air regardless of operating status. Sources 

with minor formal enforcement actions should be maintained in ICIS-Air for at least three (3) 

years, as ICIS-Air software does not allow deletion of actions less than three years old. Users 

are encouraged to archive permanently closed facilities after five (5) years unless HPV activity is 

contained within the records. 

(v) Public Access

The public may access CAA stationary source compliance and enforcement information

through:

 Review of ICIS-Air data available through EPA-supported Web sites such as 

ECHO (http://www.epa-echo.gov/echo/) and ENVIROFACTS 
35

(http://www.epa.gov/enviro/)

 Freedom of Information Act requests made to EPA

(c) SMALL ENTITY FLEXIBILITY

The respondents for this information collection activity are state, local, tribal, and 

Commonwealth environmental agencies. The Regulatory Flexibility Act (RFA), incorporated in 

the 1995 Paperwork Reduction Act, defines a “small governmental jurisdiction as governments 

of cities, counties, towns, townships, villages, school districts, or special districts with a 

population of less than 50,000.” The state and local agencies covered by this renewal ICR are 

above that threshold, and therefore no small entities will be affected by this information 

collection. The respondents defined as local agencies are recipients of Clean Air Act Section 

105 grants, or have assumed reporting responsibility from their respective state agency.

(d) COLLECTION SCHEDULE

Since the 2012 ICR, data from state and local agencies is collected on a 60-day schedule, 

associated with the Federal fiscal calendar. EPA Regional and HQ data is to be reported to ICISAir on a monthly basis. Each month, data is extracted and provided to EPA systems for use in 

analysis and to provide data to the public. On a routine basis Regional and HQ EPA program 

staff develop trend and status reports utilizing ICIS-Air data and assess the completeness of the 

data submitted. 

6. ESTIMATING THE BURDEN AND COST OF THE COLLECTION

Please note that this final section of the supporting statement contains the burden 

estimates created in support of the previous 2010 ICR renewal request. This information 

will be updated in its entirety prior to issuance of the final ICR renewal FR notice in the 

fall of 2014. By then, EPA will be able to create a burden estimate for use of ICIS-Air, as 

that system will be ready for implementation in fall 2014. EPA also will have completed 

two key policy revisions that will result in burden reductions that can be estimated. 

Additionally, EPA will estimate the one-time burden (experienced during the period that 

the 2012 ICR was in place) associated with state and local efforts to transition their 

reporting processes from AFS to ICIS-Air. 

(a) ESTIMATING RESPONDENT BURDEN

Worksheet 1 reports the annual respondent burden estimates by burden activity.

Worksheet 1 is derived from Appendix 1, Comments Received During the Public Comment 

Period Ending March 21, 2011; Appendix 2, Agencies Directly Contacted for Burden Estimates; 

and Appendix 3, State and Local Agency Classification by Size; plus activity assumptions 
36

discussed in Section 4(b)(ii) of this collection request. The respondent hour burden presented in 

this renewal ICR reflects the current and unchanged MDRs, as listed in Table 1 in Section 4(b) 

of this document. Based on the consultations identified in Section 3(c) and other data analyses, 

the burden estimates incorporate the following assumptions and findings:

 There are 99 respondents, with 6 small agencies from the State of California added. 

Appendix 3 identifies the list of respondents reporting to AFS. 

 Changes to the documented reporting universe:

o The category of Large Agencies remained the same at 13 agencies; however, the 

totals of major sources were reduced in Missouri and increased in Alabama. 

o The category of Medium Agencies increased from 22 sources in the 2008 ICR to 

37 agencies. Alabama was moved to the Large Agency category. The following 

were added:

 Tennessee / Knoxville

 Maine

 Montana

 North Dakota

 California / Santa Barbara

 Connecticut

 South Dakota

 Californina / Bay Area

 Nebraska

 Utah

 Maryland

 Hawaii

 Washington

 Oregon

 Deleware

 Missouri

 The category of Small Agencies decreased from 58 agencies to 49 agencies. The 

following California agencies were added:

o CA / Feather River

o CA / Imperial

o CA / Kern

o CA / Mojave Desert

o CA / San Luis Obispo

o CA / Yolo Solano

 The basis of the reportable universe is 14,511 major sources (7% less than the 2008 ICR 

renewal, approximately 26% fewer than in the 2005 ICR renewal, and 32% fewer than in 

the 2001 ICR renewal), and 24,494 synthetic minor sources (sources with the potential to 

emit at the major threshold, but emit under this threshold due to process or operating 
37

restrictions). Also reportable are minor National Emission Standards for Hazardous Air 

Pollutants (NESHAP) sources (1,250 sources nationwide), any source included in the 

CMS universe for evaluation (opted-in sources used as a replacement for other sources) 

regardless of class, any minor source with an enforcement action less than three (3) years 

old, or any source with a High Priority Violation.

 The average respondent hours per response for reporting activities will depend on the 

number of sources for which a state or local agency must collect and report compliance 

and enforcement data. To reflect these differences EPA has grouped the agencies in three 

categories for purposes of this ICR based on the number of major sources that are in each 

state and local agency’s jurisdiction, as defined in the following table:

Respondent Size

Category Number of Facilities Number of Agencies

Large >350 Major Sources 13

Medium 60-349 Major Sources 22

Small 59 or fewer Major Sources 58

This is a change of respondent size from previous renewals, based on the change in number of 

major sources in the large category and the increase of six small agencies from the State of 

California. 

 A set of interview guides was created for estimating burden. The following guidelines 

were used for the guides:

SYSTEM REPORTING SETUP AND IMPLEMENTATION: Time and resources 

invested in equipment setup, implementation, and maintenance. Estimates of time spent to ensure 

communications software is working and hardware costs, if applicable. Reportable as time in 

hours and a dollar amount for equipment purchased for the sole purpose of entering AFS data. If 

an employee uses a state/local agency computer for more than just AFS data entry, equipment 

costs are not added to the burden estimate. 

DATA PREPARATION: Preparation of data before data input. This category is used 

for Direct Entry agencies, agencies with specific data flows that are directly entered into AFS 

(HPV), batch states without a conversion program or batch states uploading AFS data that is not 

maintained in their own system. Time is reported in hours per year.
38

DATA ENTRY (DIRECT/BATCH): Historic information is used to estimate data entry

of Minimum Data Requirements (MDRs). Number of actions is multiplied by 1 minute then 

converted to hours per year. Universe upkeep also is included, consisting of maintenance of 

plant general, air program, and air program pollutant information. This time is based on the 

national average of sources in noncompliance. Review of FY2010 data show a national average 

of 10% of sources in violation. This would require changing the air program pollutant data to 

violation, and then, in time, back to compliance. These activities are added to times reported for 

data quality and review, training, meetings, and other data-related activities to compile a final 

burden total.

BATCH FILE EXTRACTION: This category is used for creation of new conversion 

programs in Batch Agencies only. It covers the time and resources spent for data mapping, 

conversion work, file creation, and testing. Time is reported in hours per year. If an agency has 

an existing batch file extraction program, no burden is reported. 

CONVERSION FILE MAINTENANCE: Estimates of time spent in maintaining an 

existing conversion program are reported in this category. Time is reported in hours per year. 

Users of the Universal Interface program will have no time indicated in this category, as the 

conversion program is maintained by EPA.

CONTRACTOR ASSISTANCE: If any time and resources spent are for contractual 

assistance versus state/local agency personnel, those resources should be reported using this 

category. Reported in dollars spent per year.

HPV OVERSIGHT: Special data oversight of HPV cases is estimated at 10 minutes per 

month per case. Historic information of active cases during FY2010 will be used to estimate this 

burden.

DATA QUALITY PROCEDURES: Estimates reported in hours per year will reflect 

review of direct data entry and batch file compare and error reports. Estimates in this category

reflected an increase due to a better understanding of time needed for quality assurance work. 

Our understanding of necessary quality assurance improved from the SRF analysis.

TRAINING AND INFORMATIONAL MEETINGS: Estimates reported in hours of 

time spent in training, conferences, workshops, and other meetings concerning AFS data entry

ONLY. 

 Estimations from direct users of AFS used a conversion of activity from FY10, universe 

of sources, comments received from the Federal Register announcement and input from 

interviews. Actual numbers of Full Compliance Evaluations, Stack Tests, Notices of 

Violation, Enforcement Actions, and HPV activity were taken into account to reach an 

estimation of burden. 
39

 Estimations from batch users were completed using the same base information used for 

burden estimate of direct users, but also took into consideration the process used within 

the agency for generation of a transfer file. Time necessary to create the batch file from a 

state system will vary on the complexity of a system. Universal Interface users have a 

streamlined effort of time with no maintenance costs and thus have a lower level of effort 

than state or local agencies that maintain their own conversion program. 

(b) ESTIMATING RESPONDENT COSTS

(i) Estimating Labor Costs

The last column in Worksheet 1 reports the total costs of respondent burden 

activities. The costs reflect the use of appropriately skilled labor at $47.89 per hour. 

This hourly rate is in 2010 dollars reflecting average state/local government wages and 

salaries taken from the Bureau of Labor Statistics, US Department of Labor web site at

http://stats.bls.gov/NEWS.RELEASE/ECEC.T04.HTM. This average wage incorporates 

95% of Management, Professional, and Related rates and 5% Office and Administrative 

Support rates from the Occupational Group of State and Local Government Employer 

costs per hour, to reflect the mix of skills required for data oversight. The 2008 ICR used 

a rate of $45.90 per hour. The burden cost by activity is computed as the product of 

burden hours and cost per hour. Added to cost are appropriate travel costs to meetings 

and workshops. The total annual burden cost for state and local agencies is estimated to 

be approximately $2.8 million. The burden per response is approximately 92 hours. 

(ii) Estimating Capital and Operations and Maintenance Costs

There are no capital and maintenance costs associated with this reporting activity. 

State and local agencies maintain computers for their own tracking needs and this 

reporting activity only involves reformatting and transmission of that data. As necessary, 

EPA provided the equipment necessary for electronic transmission of data from state and 

local systems to AFS as part of an AIRS Connectivity Project prior to 1991.

(c) ESTIMATING AGENCY BURDEN AND COST

Section 5(a) identifies several Agency activities for this information collection. 

Worksheet 2 presents the Federal EPA burden and cost estimates for each of these activity

categories. Hours are allocated for data base management on the basis of 1.5 full-time 

equivalent positions dedicated to AFS activities in each Regional Office and 2 full time 

equivalents at the Headquarters level. The estimates are based on information from Regional 

Offices and on prior experience with the program. Estimates are formulated on a monthly basis 

versus bi-monthly basis (every 60 days) required of state and local agencies. Cost estimates for 

Regional activities are based on the salary of a GS-12 (step 5) staffer in 2010. An overhead 

factor of 1.6 is applied, and an average locality adjustment pay is available via the Salary Table 
40

on the Office of Personnel Management’s web site to determine a full loaded hour rate for 

Regional activities or $2,036,369 annually across the nation 

(http://www.opm.gov/oca/10tables/indexGS.asp). The cost also includes travel expenses for 

Regional employees to attend data meetings and workshops. 

The bottom half of Worksheet 2 shows the burden and costs for EPA Headquarters staff. 

Direct labor costs are based on a GS-14 (Step 5) System Administrator, and a GS-13 (Step 5) 

Security Manager. The fully loaded staffing cost, with Washington DC locality pay, using the 

1.6 benefit factor, is $355,037. The cost also includes travel expenses for Regional employees to 

attend data meetings and workshops. 
41

WORKSHEET 1

ANNUAL STATE RESPONDENT BURDEN ESTIMATES (2010; EPAHQ-OECA-2010-0777; EPA ICR No. 0107.10, OMB Control No. 2096-0096.)

Respondent Activities: Process, compile and review Number of Annual 

Annual 

Hours per Total Total

information; transmit information to AFS. Maintain State/Local Responses Respondent Hours Cost

records for AFS reporting compatibility. Agencies

(6x per 

year)

Small State/Local Agencies 49 294 1,519.00 9,114.00 $475,388.00

(less than or equal to 59 major sources)

Medium State/Local Agencies 37 222 2,593.08 15,558.50 $772,784.33

(60-299 major sources)

Large State/Local Agencies 13 78 4,951.92 29,711.50 $1,595,014.89

(greater than or equal to 300 major sources)

Totals 99 594 9,064.00 54,384.00 $2,843,187.22

Total Cost is taken from Department of Labor statistics found at: http://stats.bls.gov/NEWS.RELEASE/ECEC.T04.HTM

Costs include median dollar amounts for travel costs to data management meetings and workshops.
42

WORKSHEET 2

FEDERAL ANNUAL AGENCY BURDEN 

ESTIMATES (2010; EPA-HQ-OECA-2010-0777; EPA ICR 

No. 0107.10, OMB Control No. 2096-0096.)

EPA REGION

# OF 

RESPONSES

HOURS PER 

RESPONSE

TOTAL 

HOURS

HOURLY 

COST

FULLY 

LOADED 

COST TOTAL COST

REGION 1 12 260.00 3,120.00 $40.85 $65.36 $205,923.20 Boston, MA

REGION 2 12 260.00 3,120.00 $42.13 $67.41 $212,312.96 New York, NY

REGION 3 12 260.00 3,120.00 $39.86 $63.78 $200,981.12 Philadelphia, PA

REGION 4 12 260.00 3,120.00 $39.05 $62.48 $196,937.60 Atlanta, GA

REGION 5 12 260.00 3,120.00 $40.95 $65.52 $206,422.40 Chicago, IL

REGION 6 12 260.00 3,120.00 $39.50 $63.20 $199,184.00 Dallas, TX

REGION 7 12 260.00 3,120.00 $37.37 $59.79 $188,551.04 Kansas City, MO

REGION 8 12 260.00 3,120.00 $40.10 $64.16 $202,179.20 Denver, CO

REGION 9 12 260.00 3,120.00 $44.24 $70.78 $222,846.08 San Francisco, CA

REGION 10 12 260.00 3,120.00 $39.87 $63.79 $201,031.04 Seattle, WA

Totals 120 2,600.00 31,200.00 $2,036,368.64

EPA HEADQUARTERS

# OF 

RESPONSES

HOURS PER 

RESPONSE

TOTAL 

HOURS

HOURLY 

COST

FULLY 

LOADED 

COST TOTAL COST

SYSTEM 

ADMINISTRATOR 12 173.33 2,080.00 $57.13 $91.41 $192,128.64 GS-14/5

SECURITY MANAGER 12 173.33 2,080.00 $48.35 $77.36 $162,908.80 GS-13/5

Totals 24 346.67 4,160.00 $355,037.44

Total Federal Burden 144 2,946.67 35,360.00 $2,391,406.08

Federal Wage Scales found at: http://www.opm.gov/oca/10tables/indexGS.asp

Fully loaded wage is hourly wage multiplied by 1.6. Total cost includes travel costs for meetings and workshops.
43

(d) ESTIMATING RESPONDENT UNIVERSE AND TOTAL BURDEN 

See Worksheet 1 (above).

(e) BOTTOM LINE BURDEN HOURS AND COSTS

Worksheet 3 summarizes the total annual burden hours and costs for AFS collection 

activity. The data for Worksheet 3 represents totals computed across activities identified in 

Worksheets 1 and 2.

WORKSHEET 3

TOTAL BURDEN HOURS AND COSTS (2010; EPA-HQ-OECA-2010-0777; EPA 

ICR No. 0107.10, OMB Control No. 2096-0096.)

Respondent Type Total Hours Total Costs

1. States/Local Agencies 54,384 $ 2,843,187

2. EPA Regions 31,200 $ 2,036,369

3. EPA Headquarters 4,160 $ 355,037

Totals 89,744 $ 5,234,593

(f) REASONS FOR CHANGE IN BURDEN

Under this renewal ICR (2010; EPA-HQ-OECA-2010-0777; EPA ICR No. 0107.10, 

OMB Control No. 2096-0096.), total annual state and local agency respondent burden has 

decreased to 54,384 hours, while the 2008 ICR estimated a total annual respondent burden of 

73,073 hours. Thus, the total estimated annual decrease in respondent burden is 18,689 hours. 

No adjustment to the baseline count of hours is submitted. The following information is 

provided to account for burden difference:

 Reduction in the Major Source universe: The universe of Major Sources 

continues to reduce in size. The FY2010 universe was 14,511 major sources, the 

universe used for the 2008 ICR was 15,563 major sources, a difference of 7%. 

Universe figures will result in less reporting burden to report a smaller universe.

 Use of the Universal Interface software program: There were 17 agencies using 

the product. One state estimated they obtained a 30% savings in time using the 

UI. Not every state realizes the same amount of savings while using the product, 

as mapping and implementation depend upon the structure of the in-house 

database. However, a portion of the burden savings can be attributed to use of the 
44

UI. 

 Consultations with states/local agencies reveal significant differences in estimated 

burdens. The burden estimated from one small state with direct data entry was 

twice as many hours than reported from the medium agencies with more than 

75% more sources. Burden estimations were built on universe size and method of 

update to AFS: Direct user, batch user, or a UI batch user.

 Every agency has a different procedure for the collection, review, verification, 

entry, analysis and interpretation of data management procedures. What might 

take 20 hours in one agency may take 30 or more hours in another due to internal 

procedures, management practices, and the relative skill and experience of the 

user. Many of the agencies interviewed totaled the FTE hours expended in their 

agency and divided those hours amongst the ICR Burden Estimate categories. 

 None of the agencies interviewed used outside contractors for any data 

management work. In the past, contractor work has proven to be more labor 

intensive and more expensive than work completed by state or local employees. 

 All agencies interviewed noted lack of resources available for data management 

activities. All agencies report that data management responsibilities are collateral 

duties for staff, and while the agencies would like to spend more time on quality

assurance and review, there is not enough time available with dwindling 

resources. 

(g) BURDEN STATEMENT

The average burden per response for this collection of information is estimated to be 92

hours, though this estimate varies according to the type of respondent. Reporting by state and 

local environmental agencies on source compliance and enforcement actions is estimated based 

on the number of major sources in the state/local area. On a yearly basis using median counts, a

small state/local agency spends an average of 31 hours per 60 days reporting to AFS. A medium 

state/local agency spends an average of 70 hours and a large state/local agency will spend around 

381 hours per 60 days reporting to AFS, for a total of 54,384 hours per year for the transmittal, 

management and quality assurance of their data. EPA will require a total of 35,360 hours per 

year for EPA oversight, data quality assurance, reporting, and other Agency activities, for an 

overall total of 89,744 hours for both Federal and state/local agency effort.

Burden means the total time, effort, or financial resources expended by persons to 

generate, maintain, retain, or disclose or provide information to or for a Federal agency. This 

includes the time needed to review instructions; develop, acquire, install, and utilize technology

and systems for the purposes of collecting, validating, and verifying information; adjust the 

existing ways to comply with any previously applicable instructions and requirements; train 
45

personnel to be able to respond to a collection of information; search data sources; complete and 

review the collection of information; and transmit or otherwise disclose the information. An 

agency may not conduct or sponsor, and a person is not required to respond to, a collection of 

information unless it displays a currently valid OMB control number. The OMB control 

numbers for EPA’s regulations are listed in 40 CFR Part 9 and 48 CFR Chapter 15.

To comment on the Agency’s need for this information, the accuracy of the provided 

burden estimates (note that the burden estimates are from 2010), and any suggested methods for 

minimizing respondent burden, including the use of automated collection techniques, EPA has 

established a public docket for this ICR under Docket ID No. EPA-HQ-OECA-2014-0523, 

which is available for online viewing at www.regulations.gov, or in person viewing at the OECA

Docket in the EPA Docket Center (EPA/DC), EPA West, Room 3334, 1301 Constitution Ave., 

NW, Washington, DC. The EPA/DC Public Reading Room is open from 8:30 a.m. to 4:30 p.m., 

Monday through Friday, excluding legal holidays. The telephone number for the Reading Room 

is (202)566-1744, and the telephone number for OECA Docket is (202)566-1752. An electronic 

version of the public docket is available at www.regulations.gov. This site can be used to submit 

or view public comments, access the index listing of the contents of the public docket, and to 

access those documents in the public docket that are available electronically. When in the 

system, select “search,” then key in the Docket ID Number identified above. Also, you can send 

comments to the Office of Information and Regulatory Affairs, Office of Management and 

Budget, 725 17th Street, NW, Washington, D.C. 20503, Attention: Desk Officer for EPA. Please 

include the EPA Docket ID Number EPA-HQ-OECA-2014-0523 and OMB Control Number 

2060-0096 in any correspondence.
46

APPENDIX 1 

(2010; EPA-HQ-OECA-2010-0777; EPA ICR No. 0107.10, OMB Control No. 2096-0096.)

STATE AND LOCAL AGENCY CLASSIFICATION BY SIZE

99 AGENCIES

SMALL = <59 MAJOR SOURCES

AGENCY MAJORS AGENCY MAJORS

AMERICAN SAMOA 0 CA-MONTEREY BAY 19

NV-WASHOE 2 OR-LANE 19

WA-BENTON 2 AL-HUNTSVILLE 20

MARIANNAS PROTECTORATE 4 WA-NORTHWEST 20

WA-YAKIMA 5 VI 21

CA-FEATHER RIVER 6 VT 21

CA-KERN 6 CA-SAN DIEGO 26

CA-SAN LUIS OBISPO 6 CA-VENTURA 28

IA-POLK 9 NV-CLARK 28

NM-ALBUQUERQUE 9 NC-ASHEVILLE 30

WA-SPOKANE 9 NV 30

NC-FORSYTH 10 WA-PUGET SOUND 33

CA-IMPERIAL 11 DC 34

IA-LINN 11 PA-ALLEGHENY 34

NC-MECKLENBURG 11 TN-MEMPHIS 36

AZ-PINAL 14 KY-JEFFERSON 37

CA-YOLO SOLANO 14 AL-JEFFERSON 38

AZ-PIMA 15 AZ-MARICOPA 39

CA-SACRAMENTO 15 PA-PHILADELPHIA 39

NE-LINCOLN-LANCASTER 15 RI 39

GU 16 NH 44

WA-OLYMPIC 16 PR 49

WA-SOUTHWEST 16 CA-MOJAVE DESERT 50

TN-NASHVILLE 17 ID 58

TN-CHATTANOOGA 18
47

MEDIUM = 60-349 MAJOR SOURCES

AGENCY MAJORS AGENCY MAJORS

TN-KNOX 60 WY 167

ME 66 NM 169

CA-CARB 69 WV 192

MT 69 AR 202

ND 69 CA-SAN JOAQUIN 257

CA-SANTA BARBARA 75 VA 273

CT 83 IA 274

SD 86 CO 284

CA-BAY AREA 90 MS 288

NE 116 KY 290

UT 119 KS 300

MD 127 MN 305

HI 131 OK 306

WA 132 TN 307

OR 135 MO 314

AZ 139 NJ 317

MA 144 SC 322

AK 149 NC 346

DE 162

LARGE = >350 MAJOR SOURCES

AL 371

FL 405

GA 406

NY 448

MI 459

CA-SOUTH COAST 495

WI 500

BATC

UI

DIRE

CT

BATC

UI

DIRE

CT
48

IL 502

LA 520

PA 634

IN 669

OH 725

TX 1418