1 **SUPPORTING STATEMENT ENVIRONMENTAL PROTECTION AGENCY**  **AIR STATIONARY SOURCE COMPLIANCE AND ENFORCEMENT INFORMATION REPORTING**  **(Renewal) 1. IDENTIFICATION OF THE INFORMATION COLLECTION**  1 (a) TI TLE OF THE INFORMATION COLLECTION **Air Stationary Source Compliance and Enforc**  **e ment Information**  **Reporting** (Renewal) , EPA I CR Number 0107. 1 1 , OMB Control Number 20 60

- 0096 , EPA

- HQ

- OECA

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- 0523 1 (b) ABSTRACT: Air Stationary Source Compliance and Enforcement Information Reporting is an activity whereb y State, Local, Tribal , Territorial and Commonwealth governments (hereafter referred to as " delegated agencies ") report air stationary source compliance and enforcement information to the U.S. Environmental Protection Agency (the EPA or the Agency) on a regular basis

. Th e information is provided to the EPA via input to the Integrated Compliance Information System (I CI S)

. IC IS replaced the Air Facility System (AFS ) as the database of record for this information. The modules within ICI S that are used to report Air related data are collectivel y referred to as IC IS

- Air

. ICI S contains compliance and enforcement information on thousands of facilities regulated under numerous federal statutes including the Clean Water Act

– National Pollutant Discharge and Elimination System (NPDES) program

. The majority of delegated agencies maintain their own data s ys tem and extract data from it and report it to I CI S eith er electronically

or manually

. A small number of delegated agenc ies use IC IS as their only data system. The information provided to the EPA includes source information, compliance monitoring activities , violation determinations, and enforcement activities. The EPA uses this information to assess the health of the compl iance and enforcement program established under the Clean Air Act (CAA)

. The EPA also uses ICIS to record comparable federal activities.

(i ) Terms of Clearance The following Terms of Clearance were given b y OMB in the prior IC R, 0107. 10 :

" In accordance with 5 CFR 1320, the collection is approved for 3 years. The agency has indicated it anticipates s ystem modernization changes as described in the Supporting Statement to occur between 2013

- 2014 and that it will timely submit a request for revisi on with substantive changes upon completion of that modernization effort. Upon resubmission, it is further suggested that EPA pay

close attention to burden estimates and reassess expected burden changes. " IC IS

- Air Implementation :2

The EPA Office of Compliance replaced AFS with IC IS

- Air , a modern, web

-based data s ys tem , via a multi

- ye ar modernization project to improve the ability of EPA and delegated agencies to share and manage information regarding CAA compliance and enforcement programs . The Agency complete d replacement of AFS with ICI S

- Air in October 2014. There will be subsequent releases of ICIS

- Air as new functionality is developed. Due to the enhanced functionality provided b y a web

-based system and the superior electronic data transfer process ICIS

- Air utilizes, the Agency expects the overall burden of data reporting to be less than what delegated agencies experienced using AFS

. **2. NEED FOR AND USE OF THE COLLECTION** 2 (a) NEED/AUTHORITY FOR THE COLLECTION (i ) Authority The CAA calls for state, local, federal and tribal governments to implement the Act in partnership to reduce pollution. Itis well understood that working closel y with government partners leads to better programs that are more effective and efficient

. For regulatory programs, EPA often has discussions earl y in the rulemaking process with government partners (federal, state, local and tribal) and with interested parties such as affected industries, environmental groups, and communities. After a rule is complete, EPA works with government partners and stakeholders to achieve effective implementation. This ICR supports the partnership established for CAA program implementation by facilitating regular information exchange. Section 114(a)(1) of the CAA, 42 U.S.C. § 7414(a)(1), establishes that EPA may request information on a one - time, periodic or continuous basis for the purpose of carrying out any provision of the Act

. Individuall y, certain provisions of the Act and its implementing regulations include sp ecific language for the collection of some of the information requested b y this ICR

. For example, 110(p) of the CAA, 42 U.S.C § 7410(p), establishes that EPA may request information to assess the implementation of any state implementation plan. 40 CFR § 70 .4(j)(1) ( Title V) requires that any information obtained or used in the administration of a Title V permit program be available to EPA. This ICR encompasses this information in addition to information that assists with carrying out additional provisions of the A ct . Related provisions include but are not limited to New Source Performance Standards (NSPS) in 40 CFR Part 60, National Emission Standards for Hazardous Air Pollutants (NESHAP) in 40 CFR Part 61 and Part 63, and New Source Review (NSR) permitting regulations in 40 CFR Part 51 and Part 52. The periodic reporting of regulated s ource information , compliance monitoring, violation determination, and enforcement information is the subject of this renewal ICR

.

(ii) General Need for the Data The n ational air stationary source compliance monitoring and enforcement program promotes effective, cooperative, and coordinated efforts among the EPA and the delegated agencies . The Agency recognizes the primary role of the delegated agencies in the prevention and control of air pollution. But, the CAA requires that EPA regularl y monitor delegated3

agencies to ensure adequate implementation and enforcement of delegated and authorized programs. To do this, the EPA has identified the minimum amount of data or the Minimum Data Requirements (MDRs) it believes is necessary to manage the national air stationary source compliance monitoring and enforcement program within this ICR

. Reporting the MDRs, which are listed in Table 1 in Section 4(b), is critical in order to:

• M anage the national CAA compliance and enforcement program to ensure effectiveness and consistency ;
• Oversee state/local/tribal efforts and assess progress in achieving protection of the environment and public health ;
• Target compliance activities and enhance ability to use advanced monitoring tools ;
• Improve efforts to achieve health and environmental benefits envisioned by our regulations and permits ;
• In crease transparency and meet public expectations for readily accessible and detailed informati on ; and

• Provide complete and timely responses to inquiries (e.g., Congress, OMB, public)

. In addition to the regulatory infrastructure the data supports, it also allows the Agency to effectivel y implement our compliance and enforcement guidance and polici es. These are:

- The Clean Air Act Stationary Source Compliance Monitoring Strategy , July 14, 2014 ( CMS )

– The CMS e stablishes a baseline compliance monitoring program with emphasis on CAA Title V maj or sources (as defined by CAA §501(2)) and a limited sub set of synthetic minor sources , while providing delegated agencies with the flexibility to address local air pollution and compliance concerns. The CMS also establishe s a framework of minimal data requirements for reporting to the EPA

. Data included in thi s I CR is a critical component of the implementation of the CMS

.

- The Clean Air Act National Stack Testing Guidance , April 27, 2009

– The EPA developed the stack testing guidance to improve uniformity in conducting stack tests and promote coordination among the EPA and delegated agencies

. IC IS

- Air is the Agency ’ s repository

for stack test data regarding compliance with CAA regulations

.

- The Guidance on F ederally

- Reportable V iolation for Clean Air Act Stationary Sources , September 23, 2014 (FRV policy)

– The EPA developed the 2014 FRV p olicy to balance a commitment to share information with the public about violations of CAA regulations that affect their communities with the need to prioritize the use of limited resources available to deleg ated agencies

. The FRV p olicy supports the Agency in managing the national CAA compliance and enforcement program. IC IS

- Air is the Agency ’ s repository for data pertaining to federall y- reportable violations, which are violations of federall yenforceable regulations.

- The Enforcement Response Policy for High Priority

Violations of the Clean Air Act , August 25, 2014 (HPV p olicy)

– The EPA developed the 2014 HPV p o licy to help4

Federal, state, local and tribal delegated agencies prioritize enforcement efforts with respect to sources of air pollution. The HPV p olicy addresses a subset of federall yreportable violations, called high p riority v iolations (HPVs ) , that the Agency believes warrant additional oversight . The additional oversight serves to ensure that delegated agencies respond to such violations in a timely and appropriate manner and, if needed, have access to federal assistance. ICIS

- Air fully support s reporting HPV activity : the discovery action , notice/advisement provided to the regulated entity , addressing the violation , and resolution of the violation and enforcement action

. Data concerning stationary source compliance monitoring and enforcement program s is critical to conducting oversight of delegated agency compliance and enforcement programs. The EPA Office of Enforcement and Compliance Assurance (OECA) , the Environmental Council of States (ECOS), state media associations, and other delegated agency representatives developed a State Review Framework (SRF) for conducting consistent reviews of core monitoring and enforcement activities pursuant to the CAA, Clean Water Act ( C WA) , and the Resource Conservati on and Recovery Act (RCRA) programs. These SRF reviews were initiated in 200 4, and have occurred in 4

- year c yc les. The data reported to ICI S

- Air is paramount for these reviews. Each review begins with an analysis of data metrics to identify any obvious trends or issues

. The SRF reviews are a platform for collaborative problem solving regarding compliance monitoring, enforcement, and data management. Specific data from IC IS

- Air will be provided to the EPA Web site , Enforcement and C ompliance H istory O nline (ECHO) (http://www.epa.gov/echo ) , which allows the public to access compliance and enforcement information for multiple statutory programs on approximately

800,000 regulated facilities nationwide. ECHO is updated via weekl y data extract s from IC IS

. ECHO allows the public to retrieve information about CAA regulated sources as well as EPA and delegated agency compliance evaluations, violation determinations, and enforcement actions. Inaddition to ECHO , data from ICIS is included in the EPA ’s ENVIROFACTS, a web tool developed and maintained by the EPA Office of Environmental In formation (http://www.epa.gov/enviro/index.html ) that allows the public to retrieve data from a multitude of EPA databases . ICIS

- Air data also will be used as part of performance measures satisfying the Government Performance Results Act requirements.

(iii) Reasons for New Data as Part of this Renewal ICR This renewal introduces the following policy changes that affect the way that violations are to be reported. These changes will effectivel y reduce the reporting burden compared to the current ICR that was approved in January 2012 :

 Guidance on Federally

-Reportable Violations for Clean Air Act Stationary So urces (FRV p olicy) and Data : In coordination with national and regional organizations representing air compliance and enforcement programs as well as with individual delegated agencies , on September 23 , 2014, the EPA issued a revised FRV p olicy which supersede d the 2010 FRV clarification memo

. The EPA developed the revised FRV Policy in response to5

concerns raised b y delegated agencies regarding resource constraints and reporting burden associated with the 2010 FRV Clarification Memo. FRV reporting i s important, as it supports the Agency in managing the national CAA compliance and enforcement program. The collected data support s : policy analysis and evaluation; decision

- making in determining the significance of violations and enforcement priorities; targeting efforts; and me eting public expectations for accessible, detailed information

. The revised policy

reduce s the overall reporting burden by changing the method for reporting violations and limiting the universe of source s whose violations of federally enforceable requirements are reportable. In AFS, to report a violation, agencies changed the compliance status of a regulated pollutant to “in violation.” The delegated agency then had to change the compliances status back to “ in compliance ” once the v iolation was resolved. This process was a multi

- step process that required the same piece of data to be update d at least twice. It was referred to as tracking compliance status. The revised FRV policy replaced tracking compliance status with reporting a vi olation. Agencies now report the violation one time. Once the violation is reported b y s electing a violation ty pe, agencies do not have to touch that specific piece of data again. In addition to the method of reporting a violation, the new applicable universe of violation sources is limited to : Title V Major Sources ; SM

- 80 s ources; sources included in a CMS plan; and any

source at which a HPV has been identified. This source universe provides consistency between compliance monitoring polic ies and violation reporting for the delegated agencies

. The previous applicable universe included : all s ynthetic minor sources, minor sources subject to a Part 61 NESHAP regulation, and any s ource subject to a formal enforcement action. The narrow ed universe of sources is anticipated to result in improved data completeness and accuracy . As stated in the revised policy , FRVs are violations of federall y enforceable CAA requirements at a source within the applicable universe stated above. FRVs include violations of any

emission limit, emission standard , or surrogate parameter. They also include procedural violations such as failure to maintain reports and underlying records as required b y permit or regulation; failure to timely test or conduct valid monitoring as required b y 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 I CI S

- Air, a delegated agency creates a Case File. Once the Case File is created , the delegated agency is to report the violation ty pe, the applicable federal air program or the state or local regulation, pollutant(s), where applicable, associated with the violation , and the date the FRV determination was made

. If no date is reported, the date the FRV is reported in I CI S

- Air will be set as a default date. FRVs are expected to6

be reported within 60 days of when the determination is made that a violation occurred. The Case File in which the FRV was reported may be designated as “enforcement sensitive” in ICI S

- Air, but once the source is noti fied of the violation (s) or a formal enforcement action is issued or entered b y a court , the designation should be removed by either linking an enforcement action record to the Case File or removing the enforcement sensitive flag from the Case File

.

 The Enforcement Response Policy for High Priori ty Violations of the Clean Air Act (HPV policy) : The most recent revision to the HPV p olicy was issued August 25, 2014 , superseding the 1998 version. The HPV p olicy addresses a subset of federally

enforceable CAA violations, called High Priority Violations (HPVs ) that the EPA believes warrant additional oversight to ensure that delegated agencies respond to such violations in a timely

and appropriate manner and, if needed, have access to federal assistance. The policy

provides criteria used to identify an HPV

. The revised 2014 HPV p olicy reflects two substantial changes from the 1998 policy that will reduce the reporting burden of the delegated agencies . First, the EPA has focused the criteria of what constitutes an HPV on those violations that are most l ikely to be significant for human health and the environment or for maintenance of strong CAA programs. In doing so, the Agency has replaced the ten General Criteria and the Matrix Criteria with six Criteria. The EPA expects that fewer violations will be c lassified as an HPV, and , as such , there will be a significant reduction in reporting. 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 jointly by EPA and delegated air agencies that such violation does not warrant additional tracking, delegated agencies can repri oritize their efforts. The revised HPV policy provides explicit mechanisms implemented in ICI S

- Air to remove the matter from HPV oversight. Because these decisions will be made jointly , explicitly, and earlier in the process, the EPA expects that delegated agencies will not need to continue to consult with the EPA and report on violations that no longer warrant the additional oversight. To report an HPV into ICI S

- Air, a delegated agency creates a Case File. Once the Case File is created , the delegated agency report s an HPV by selecting a violation ty

pe associated with an HPV , the applicable federal air program or the state or local regulation, pollutant(s), where applicable, and the date the violation was determined to be an HPV. This date is referred to a s the Day Z ero date. HPVs are expected to be reported within 60 days of when the determination is made. The Case File in which the HPV was reported may

be designated as “enforcement sensitive” in ICI S

- Air, but once a source is notified of the violation (s) or a formal enforcement action is issued or entered by a court, the designation should be removed b y either linking an enforcement action record to the Case File or removing the enforcement sensitive flag from the Case File

.7 (iv) Opportunities for New Data As agencies become familiar and comfortable with reporting to I CI S

- Air, EPA believes opportunities for new data will be realized. Over the course of this ICR, EPA would like to evaluate the following data for possible inclusion in future ICRs:

 Source Reported Compliance Status

- The requirement to report a compliance status for each review of a Title V annual compliance certification was eliminated. In lieu of this, the Agency

would like to explore reporting the compliance status reported by the sourc e on the annual certification.

 Title V Compliance Certification Period Covered

- Because some Title V permits require quarterl y or semi

- annual compliance certifications, it would be beneficial for the period covered b y each certification to be reported in these cases.

 Subparts for all sources with a Title Vpermit

– If the subpart is inc luded in a Title V permit, it would be readily accessible and easily

reported.

 Source Classification

– A source level classification in lieu of a pollutant level classification.

 Linking a Notification to a Case File

– Currently , the discovery action, addressing action and resolving action are linked to a Case File that includes an HPV. Linking the notification would fill the gap in the pathway of activities pertaining to the Case File

.

 Violation Start and End Date

– Where a start and end date can be determined, it would be beneficial to the public to report this information

. The determination may be based on s elf

- reported information (e.g., excess emissions reports, etc.) or determined through compliance evaluations. (b) USE/USERS OF THE DATA There are many ways in which the EPA, delegated agencies , and the public use the data included in this I CR . As stated previously , the MDRs represent the minimum amount of data the Agency believes necessary for effective management of the national air stationary source compliance monitoring and enforcement program. Some of the key uses of the data on a national basis are to:

 Provide an accurate and accessible inventory of sources subject to federally enforceable regulations;

 Support efficient and effective targeting and enhanced enforcement strategies ;8

 Provide the public with transparent access to compliance monitoring and enforcement data , while providing facilities with an incentive to fix compliance problems;

 Support essential oversight activities ;

 Assist in identifying national trends and issues related to the CAA ;

 Develop measures of regulatory program success;

 Communicate performance and results on a national, regional, sector, or other level;

 Standardize delegated agency reporting to EPA;

 Assist regulatory

anal ys es and design of new regulati ons ;

 Support multimedia initiatives which integrate quarterl y repo rts of air, water, and land compliance data;

 Provide timely

and accurate response to information requests made b y citizens, the regulated community, Congress and other information requesters; and

 Provide a forum and model of successful delegated agency c ompliance programs (that include Federal data reporting) which can be used by other agencies in the development or expansion of their existing programs. (c) ABOUT IC IS IC IS is a data system designed to track compliance and enforcement information. It is a modern web

-based system which provides eas y access to historical and current records for the EPA, and state/local/tribal agency staff involved in compliance and enforcement activities. Within ICI S, there are data modules specificall y for reporting compliance and enforcement data pertaining to activities related to the CAA. These modules are collectively referred to as I CI S

Air. The following are important facets of ICI S:

 IC IS provide s both electronic submission and Graphical User Interface (GUI) capabilities

.  IC IS provide s modern and streamlined methods for electronic transfer of data.  IC IS implement s robust security features to ensure the integrity of the software and data, protec t confidentiality

of data, and maximize availability to users
.  IC IS follow s the EPA standards for software and hardware development, including the use of the Central Data Exchange (CDX) and EPA/ECOS data standards

.  IC IS support s all baseline MDRs necessary to conduct the national air stationary source enforcement and compliance assurance program.9

 IC IS contain s a set of streamlined data entry screens with maximized system
- generation of data based on user permissions and ty pes of records being reported

. IC IS is designed to meet the currently approved MDRs. Hence, the typ e of information (e.g., basic facility

information, CMS data, applicable air programs, regulated pollutants, actions, and violations) reported into the new s ys tem remains essentially the sam e as in the old system
. However, due to the design of the new s ys tem, there are a few changes to how the MDRs are reported. As an example, to navigate to the appropriate screen on which data is reported, ICI S

- Air requires an initial indication of the ty pe of activity to be reported (e.g., Inspection/Evaluation). In spite of th ese few additional step s for reporting, we anticipate significant e fficiencies 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 in part because : (1) IC IS

- Air auto

-populates data fields to the greatest extent possible based on the record ty pe being added or ty

pe of agency

(e.g., state) associated with the user 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 typ es, 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.” (d) PROGRAM CHANGES There are a few 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 long er be required , n or will it be required to subsequently change it back to reflect a return to compliance. Instead, onl y violations will be reported into the new s ys tem. This change is being made at the request of delegated agencies . Also, delegated agencie s will no longer be required to report the MDR for “Attainment Status.” The new s ys tem will automatically obtain this information from the EPA Facility

Registry System (FRS). In addition, as referenced above, the method for reporting MDRs has changed resulting in a few new elements of data necessary to report the MDRs. For example, delegated agencies will report whether their enforcement response is administrative or judicial , where as in AFS, the typ e of enforcement was inherent in the action reported. While EPA is not covered in this I CR, to ensure complete national tracking and transparency , there is an expectation that EPA will implement this ICR where appropriate. For example, EPA will report compliance monitoring activities for which they were the lead agency , and all enforcement actions issued or entered.10

**3. NON -** **DUPLICATION, CONSULTATIONS, AND OTHER COLLECTION CRITERIA**  (a) NON

- DUPLICATION The MDR elements outlined in Table 1 of Section 4(b) represent minimum data requirements for effective implementation and management of a national compliance and enforcement program. For EPA and the public, the IC IS data will be the only national repository of information on CAA stationary source compliance and enforcement activities. This ICR relates to information that delegated agencies generally collect as part of their customary business practice to manage their compliance and enforcement programs

. Some delegated agencies will use IC IS as their sole data s ys tem for managing th e MDRs and other data elements , while others have their own data management s ys tems and will be reporting information they manage in their own s ys tem to ICI S

- Air

. Roughl y one third of the reporting delegated agencies will report data using electronic data transfer (EDT). Agencies that report data to ICI S

- Air via EDT submi t their data in Extensible Markup Language (XML) format

. T o facilitate the submission of data , node plug

- ins have been developed for agencies to extract the data requested by this ICR and convert it into XML submission files that are submitted to IC IS via the EPA’s Central Data Exchange (CDX). To support state agencies with creating their own customized code for extracting, formatting, and submitting their data to ICI S or with using a plug

- in for their EDT process, $ 3,055,606 was awarded in Exchange Network grants in FFY 13 and 14. Some of the grants awarded included other goals not directl y related to ICI S

- Air (e.g., support the Air Quality S ystem). (b) PUBLIC NOTICE REQUIRED PRIOR TO SUBMISSION TO OMB EPA published a Federal Register notice on August 21, 2014 soliciting public comments for 60 days. EPA received ten comments (see section below for a full discussion of these comments). EPA will publish a second Federal Register notic e soliciting comments for 30 days concurrently

with the submission of this I CR to OMB

. (c) CONSULTAT IONS The requirements for ICIS

- Air were developed b y a committee that included state and local agencies, EPA regional staff and organizations, like the National Association of Clean Air Agencies, representing multiple delegated agencies . In addition, the design phase of ICIS

- Air included two similarly

comprise d workgroups that focused on migration of data from AFS to IC IS

- Air and the design of the web Graphic User Interface ( GUI) ; and an Integrated P roject T eam that focused on the EDT process . These groups met between July 2013 and October 2014. This collaborative design and development process was initiated to ensure clear communication of Agency plans; hear, understand and consider delegated agency perspectives; encourage delegated agencies to participate as partners in IC IS

- Air development tasks; and help th e EPA understand the barriers that delegated agencies face in achiev ing a major information system11

transition. EPA initiated additional consultations with air agencies in order to collect estimates of one - time burden associated with transitioning air compliance and enforcement reporting from AFS to I CI S

- Air, and separatel y to collect annual estimates of the relative time to report to ICI S

Air via EDT versus reporting to AFS via batch processes. The feedback EPA received is summarized in Section 6(a) Estim ating Respondent Burden. The first FR notice for this I CR was published August 21 , 2014. C omment s were received from six delegated agencies , o ne association , and three anonym ously

. Where appropriate these comments were addressed b y this I CR. Some of the comments received were not directly

related to this ICR

. Comments and Agency

Responses: In response to the first FR Notice ( 79 FR 49511 ) , we received comments from 10 entities

. Comments generally

focused on two areas: clarification of the federally

- reportable universe , and our method for estimatin g the burden associated with reporting to ICIS

- Air

. At this time, EPA is not changing the list of sources that comprise the federally

- reportable universe. To clarify the federally

- reportable universe and its relationship to the CMS, FRV and HPV policies, we offer the following:

 The federall y- reportable universe is broader than the universe of sources included in the CMS, FRV and HPV policies. It is EPA’s expectation that all minimum reportable activities (identified in Table 1 of this I CR) , which includes informal and formal enforcement actions , would be reported against the federally

- reportable universe. The FRV and HPV policies reduce the burden of reporting violation determinations only . For sources that are onl y reportable because they

were subject to a formal enforcement action, any minimum reportable activity

that occurs after the formal enforcement action was issued or entered should be reported.

 Because a source is part of the federal ly

- reportable universe does not mean that a FCE must be completed at the source. The EPA Stationary Source CMS policy , which establishes EPA’s recommendations for completing FCEs, focuses on Title V majors and 80% sy nthetic minor sources. These facilities are a subset of the federally

- reportable universe. But, if an FCE is completed at a federall y- reportable source, it is EPA’s expectation that the FCE would be reported. In response to the comments regarding our claim that I CI S

- Air will result in an overal l burden reduction, see Section 6 of this I CR for the methodology and results of a limited burden assessment. This limited assessment does include a one

- time estimate of the resource s required to participate in the design and development of IC IS

- Air. Some agencies opined that previous assessments significantly underestimated the actual burden of reporting to AFS

.12

In light of further experience in using IC IS

- Air, EPA may decide to renew this I CR in less than three ye ars. (d) EFFECTS OF LESS FREQUENT CO LLECTION During this ICR renewal process, the EPA is not requesting any changes to the reporting timeframes. The 2012 IC R renewal included a change from quarterl y reporting to within 60 days of the day of the event. This request was made to ensure that the data used by the Agency was accurate and as timely

as possib le , and provided the public with current information . Data received quarterl y did not provide capability for meaningful reviews at mid

- ye ar and end of ye ar. Concessions were made in the last I CR for the timeliness of reporting the results of stack tests or performance tests. These activities are to be reported within 120 days of the conclusion of the test. This concession addressed regulatory allowances where the source is provided 60 days from the conclusion of the test to submit the results to the delegated agency . Agencies are then given another 60 days to review the test results to determine if a performance test passed or failed. If the EPA received data less frequentl y ( e.g. , quarterly) , there would be an adverse impact on the collaborative process for conducting compliance monitoring evaluations and ensuring violations disco vered are addressed and resolved timely . In addition, the timeliness of making this information available to the public would suffer. The lack of timeliness would add to data quality

concerns. (e) GENERAL GUIDELINES This information collection contains no special circumstances that would conflict with 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 b y 43 FR 42251, September 20, 1978; and 44 FR 17674, March 23, 1979). (g ) SENSITIVE QUESTIONS This section is not applicable. **4. THE RESPONDENTS AND THE INFORMATION COLLECTED** (a) RESPONDENTS/

NAIC S CODES The respondents for the information collection activity are state , local , territorial, and tribal delegated agencies . These agencies are classified in NAICS 924110. Source compliance13

data assembled b y delegated agencies covers numerous NAICS categories. 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 9 9 (50 states, the District of Columbia, Puerto Rico, the Virgin Islands , Guam, American Samoa, the Mariana Protectorate and 43 local air pollution control agencies). The classification of small, medium, and large agencies is made based upon the number of major sources included in their federally

- reportable universe : > 59 major sources is defined a s a small agency , 60

- 349 is defined as a medium agency , and 350 or more major sources is defined a s a large agency

. But, in addition to major sources of which there are 13,742 active as of the drafting of this ICR, these delegated agencies track a significant number of non - major sources that are federally reportable (25,466 sy

nthetic minors and 3,176 minors). The list of agencies b y category can be found in Appendix 1 , Delegated Agency Classification by

Size

. (b) INFORMATION REQUESTED (i ) Specific Data Reporting and Record keeping Items Reporting : To manage the national air stationary source compliance monitoring and enforcement program, the EPA provides a set of MDRs that identify the specific data elements to be reported and tracked in IC IS

- Air

. The list of MDRs as reported to ICIS is found in Table 1, MDRs for Renewal. Because of the recent transition, Table 2 provides, for reference, the MDRs as reported to AFS. The data elements include source information, compliance monitoring activities , violation determinations and enforcement actions. Activities can be reported as either planned or completed. Ingeneral, the completed or concluded date is the relevant date for this ICR. Minimum reportable activities include compliance evaluation s , investigation s , performance tests and results , informal enforcement actions , and formal enforcement action s . The following section describes each of these data elements

. A facility 1 is a stationary source, containing one or more pollutant

- emitting units

. It includes portable sources , which are stationary sources that can be moved from one phys ical location to another, such as an a sphalt p rocessing p lant
. Each facility is associated with one delegate d agency . The delegated agency is identified by

a unique combination of characters embedded in a facility ’s Programmatic Identifier. In IC IS

- Air a facility record must exist before users can enter data for activities associated with that facility such as c ompliance evaluations and enforcement actions. A ctivities are to be reported when they occur at a facility

that is part of the federally

- reportable universe, which is comprise d of all :

 Title V major sources,  S ynthetic minor sources,  S ources subject to a Part 61 NESHAP regulation,

1 The terms facility and source are used interchangeably throughout this ICR.14  F acilities included in a CMS plan ,  Facilities subject to a formal enforcement action, and  F acilities with an HPV. The Agency is aware that the federall y- reportable universe included in this ICR differs from the universe of sources generall y covered b y the CMS, FRV and/or HPV policies. The CMS policy

focuses on Title V majors and 80% s ynthetic minor sources, the FRV policy sets the universe of sources at which FRVs are to be reported to Title V majors, 80% sy nthetic minors, sources on a CMS plan, and any source with an HPV ; and the HPV policy generall y applies to Title V majors . This difference will result in compliance monitoring activities and enforcement actions being reported for some sources not covered by th ese polic ies

. Compliance monitoring activities are evaluation s of the compl iance status of the facility

. These activities include compliance evaluations (both partial and full), investigations, performance tests, and receipt and review of Title V annual compliance certifications. A compliance evaluation generall y includes :

 A review of all required reports and the underlying records;  An assessment of air pollution control devices and operating conditions;  Observing visible emissions;  A review of facility

records and operating logs; or  An assessment of process parameters, such as feed rates, raw material compositions, and process rates

. After a compliance monitoring activity is completed a review of all acquired materials against the regulatory

framework and/or permit is conducted to determine if any violations occurred. Some agencies are authorized to make a violation determination during the compliance monitoring activity , while others are not. The 2014 FRV and HPV policies discuss when a violation is to be reported to ICI S

- Air. To report a violation, delegated agencies must first create a Case File activity . Within the Case File, v iolations are reported b y s electi ng a violation type and air program violated (e.g., New Source Performance Standards)

. Some violation ty pes also require a pollutant (e.g., Violation of an Emission Limit). FRVs include violations of federally

enforceable rules and regulations, which include all limitations and conditions that are enforceable b y the Administrator and citizens under the CAA or that are enforceable under other statutes administered b y the Administrator. If a FRV determination is made, then ty picall y a source is notified of such findings via an informal enforcement action. An informal enforcement action notifies or advises the recipient of apparent deficiencies, findings concerning noncompliance, or that the issuing agency believes one or more violations occurred at the referenced source and provides instructions for coming into compliance. An informal enforcement action offers an opportunity for the recipient to discuss with the issuing agency actions they

have taken to correct the violations identified or provide reasons they

believe the violations did not occur. An informal enforcement action may15

include reference to an issuing agenc ys ’ authority to elevate the matter, and/or liability of the recipient to pay

a penalty. This data is intended to ensure that the delegated agency informs the source as soon as possible of the agency ’s findings so that the source is on notice of the need to promptly correct conditions giving rise to the violation(s) or potential violati on(s). A formal enforcement action either requires that a person compl y with regulations, requirements, or prohibitions established under the CAA; sets compliance schedule with milestones, requires payment of a penalty or establishes an agreement to pay a penalty ; initiates an administrative procedure (e.g., file a complaint) or civil action (e.g., referral) ; or constitutes a civil action. Generally

these actions are referred to as complaints, settlement agreements, compliance or penalty orders, referrals , consent agreements, or consent decrees. In other words, formal enforcement actions have legal consequences if the source does not comply

. All facilities subject to formal enforcement are to be tracked in ICIS until the resolution of the enforcement action, regardless of classification. In addition to the current MDRs, EPA will be soliciting feedback during the period covered b y this ICR on existing and new data requirements. We are not requesting that comments be submitted on these elements in response to this ICR. The data elements for which feedback will be solicited, include, but are not limited to the data identified at 2(a)(iv) of this ICR. If warranted, the EPA may renew this ICR in less than three years. Record keeping : Data provided to the EPA by delegated agencies will be maintained by the EPA in IC IS

- Air and , when appropriate , transferred to the National Archives and Record s Administration. De legated agencies are not required to report these data elsewhere in other federal EPA systems.

(ii) Respondent Activities The respondent (i.e., delegated agency) activities associated with reporting of compliance and enforcement actions include: 1. Process, compile, and review information for accuracy and appropriateness; 2. Transmit information for entry into IC IS

- Air , including any necessary changes to delegated agency data systems to facilitate the transfer of MDRs; and 3. Affirm that the data has been transmitted accurately These tasks generall y are to be performed on a 60

- day basis. Most of the burdens under Activity 1 are designated as Customary Business Practice , because the delegated agencies collect the majority

of information required b y the EPA for their own program management purposes . Record Retention : Delegated agencies should maintain MDR data in ICI S for at least five (5) years with the exception of data pertaining to HPVs. Sources with HPVs are to be kept in IC IS

- Air indefinitel y regardl ess of operating status. In addition, ICI S

- Air users may delete data from the s ys tem that is no longer valid or that pertains to sources that are no longer federall y-16

reportable or are permanently closed.17 **TABLE 1 ICIS**  **- AIR:**  **R EPORTING**  **M INIMUM**  **D ATA**  **R EQUIREMENTS** 
**– D**  **ELEGATED AGENCIES** This table show s provides the CAA stationary source compliance and enforcement mini mum data requirements (MDRs) and where they are reported in ICIS

- Air

. In some instances there is a difference between reporting requirements for web entry and electronic data transfer (EDT) in IC IS

- Air. An example is an activity identifier. In ICIS

- Air, agencies that will report us ing EDT will provide an activity identifier for each activity reported, agencies that will report via the web will have an activity identifier generated for them. This difference exists to allow EDT agencies to report an identifier generated by their state or local agency system. In this table, agencies that will report via the web are referred to as “web agencies,” and agencies that will report using E DT are “EDT agencies.” Area MDR ICIS

- Air Data Field Further explanation of specific data fields. 

### Source Information Source/Facility Record Facilities Required Data Fields A facility is a stationary source of pollutants including portable stationary sources. All sources included in the federally

- reportable universe are to be reported. Facility ID Programmatic ID The Program ID is 18 alphanumeric characters comprised of the State or Tribe, LCON (where applicable), and 13 characters unique within the reporting agency. A facility is uniquely defined by its Programmatic ID. The Programmatic ID is provide d by the delegated agency. Facility Name Facility Site Name T he Facility Name would indicate the environmental relevance of the facility or reference the regulated activities (e.g., Joe’ s Widget Manufacturing Facility). Name changes should be reported as soon as they are known. Street Address The address reported i s the p hysical address of a facility. This is the address of the location where the emissions occur; not, for example, the corporate headquarters. If no physical address exists, delegated agencies may report a PO Box along with a latitude and longitude for the physical location of the facility. City City (GNIS City Code or City Name) The city can be reported in the City free text field or in the City Name (GNIS) field using the GNIS Feature ID . If no city is available, a corresponding value indicating such should be provided in the City text field (e.g., No City) with an accurate latitude and longitude reported. State State The postal state code that corresponds to the state in which the facility is physically located. County County Name (GNIS) A county is required if the City text field is used to report the City. If the City Name (GNIS) is used to report the City, the county will be set based on the18

Area MDR ICIS

- Air Data Field Further explanation of specific data fields. City Name (GNIS) reported. Zip Code Zip Code The zip code that corresponds to the physical lo cation of the facility. NAICS Code Primary NAICS Code The North American Industry Classification System (NAICS) is the standard used by Federal statistical agencies in classifying business establishments. NAICS are assigned based on a facility’s primary business activity

. A complete and valid NAICS code contains six digits. Government Ownership Facility T ype of Ownership Facility T ype of Ownership reflects whether the facility is privately owned or owned by different levels of government. Although identification of the owner/operator can be defined down to the municipal level, at a minimum any federally owned/operated facility should be identified

. Air Programs All Applicable

Federally

- Enforceable Air Program(s) Required Data Fields Air programs are CAA regulatory programs (e.g., Title V permits)

. All applicable air program codes are to be reported , but a plant should have at least one air program . Programs that are not delegated or enforced by a state or local agency are not required to be reported by delegated agencies (e.g., Mandatory GHG Reporting Rule, CFC Tracking (CAA Title V I) ) . EPA should report these air programs, where applicable. Air Program Air Program An Air Program code represents a CAA regulatory program applicable to a facility **.** In cases where s tate or l ocal regulations are s tricter than federal regulat ions , reporting of the federal air program is sufficient. Another option available to delegated agencies is to report a general “Federally

- Enforceable Requirement” and provide a state or local regulatory citation in a free text field. Typically state and local permits identify the permit conditions that are federally

- enforceable. So, this information is readily available. Air Program Operating Status Air Program Operating Status An operating status must be reported for each air program. The Operating Status represents the operational condition of the unit(s) or processes to which the air program applies or the operational condition of the facility. Subparts for NSPS, NESHAP, MACT Subparts A subpart is associated with an air p rogram. A subpart is required for NE SHAP Part 61 regardless of facility classification . A subpart is required for NESHAP Part 63 and N SPS if the facility is a Title V ma jor. P art 63 and NSPS subparts are optional but encouraged for any non - major facility

. Where Subpart A

– General Provisions are incorporated into a source specific subpart wholly or by reference, delegated agencies do not also have to report Subpart A as an appl icable Subpart. Pollutants Regulated Pollutant(s)

by Air Program Required Data Fields All pollutants for which a source is regulated should be reported , but at a minimum each facility should have at least one pollutant. Pollutant Code or CASN Pollutant Name or CASN Pollutants reported include those for which a source is regulated.19

Area MDR ICIS

- Air Data Field Further explanation of specific data fields.

Pollutant Classification Delegated Agency Pollutant Classification Pollutant classification indicates the rate at which a facility can potentially emit a pollutant

. A pollutant classification is required for each pollutant. If a classification is not applicable, agencies may report “Not Applicable ” as the classification. CMS Record CMS Required Data Fields The CMS Record identifies sources that are included on a CMS plan. This data is only reported for sources that are included on a CMS plan. CMS Source Category CMS Source Category The Source Category corresponds to the category defined by the CMS policy in which a facility is assigned based on its potential to emit (PTE)

. For the purposes of the CMS policy, PTE is the maximum capacity of a stationary source to emit a pollutant under its physical and operational design. CMS Minimum Frequency Indicator CMS Minimum Frequency The Minimum Frequency is the minimum number of federal fiscal years recommended between full compliance evaluations at a source covered by the CMS policy. If the CMS policy includes a recommended minimum frequency for the CMS Sourc e Category applied to the facility, the CMS Minimum Frequency will default to the policy recommended minimum frequency on the web

. Delegated agencies may overwrite the Minimum Frequency. EDT agencies must submit the Minimum Frequency, it will not default. 

### Minim um Reportable Activities FCE Record FCEs Required Data Fields A Full Compliance Evaluation (FCE) is a comprehensive evaluation of a facility. All FCEs should be reported. Facility ID Programmatic ID Delegated agencies must associate the FCE to one facility. The Programmatic ID is the unique identifier for the facility. Action Type (Lead Agency/On or Off Site) Com pliance Monitoring Activity T ype As a result of the structure of ICIS, delegated agencies must first identify the ty pe of activity they wish to report (e.g., Inspection/Evaluation). Web agencies do this via the Add link. EDT agencies must include this in their submission. Com pliance Monitoring Ty pe The compliance monitoring type indic ates the specific type of compliance evaluation performed

. If any component of the evaluation was performed on

site, the FCE should be reported as on

- site. Lead Agency The Lead Agency indicates the agency that primarily performed the activity reported. If the reporting agency was not the lead agency for the activity, they must select the Lead Agency. O therwise, the field will default based on the record type being add ed (i.e., state, local, etc.). Date Achieved Actual End Date The actual end date is the date the reported activity occurred. Air Program(s) Air Programs The air program is the applicable regulation. A ll air program s for an activity20

Area MDR ICIS

- Air Data Field Further explanation of specific data fields. should be reported on the action record. Activity Identifier Com pliance Monitoring Identifier The identifier is unique for every record in ICIS. It allows agencies to easily and accurately identify their records for updating or editing purposes. ICIS

Air will generate the activity identifier automatically when the record is created directly on the web. EDT users must provide the identifier. This wa s established so that an identifier generated by or recognized by their state or local system could also be used for tracking in ICIS

- Air. PCE Record PCEs Required Data Fields A Partial Compliance Evaluation (PCE) is a documented compliance assessment focusing on a subset of regulated pollutants, regulatory requirements, or emi ssion units at a given facility. PCEs are only required when they are a discovery action for an HPV or are included in a CMS alternative plan. Facility ID Programmatic ID Delegated agencies must associate the PCE to one facility. The Programmatic ID is the unique identifier for the facility. Action Type (Lead Agency/On or Off Site) Com pliance Monitoring Activity T ype As a result of the structure of ICIS, delegated agencies must first identify the ty pe of activity they wish to report (e.g., Inspection/Evaluation,)

. Web agencies do this via the Add link. EDT agencies must include this in their submission. Com pliance Monitoring Ty pe The compliance monitoring type indicates the specific activity performed

. If the PCE was conducted on

- site, a delegated agency can report the specific evaluation activity conducted (e.g

. , PCE On

- site Interview). Lead Agency The Lead Agency indicates the agency that primarily performed the activity reported. If the reporting agency was not the lead agency for the activity, they must select the Lead Agency. Otherwise, the field will default based on the record type being added (i.e., state, local, etc.). Date Achieved Actual End Date T he actual end date is the date the reported activity occurred. Air Program(s) Air Programs The air program is the applicable regulation. A ll air program s for an activity should be reported on the action record. Activity Identifier Com pliance Monitoring Identifier The identifier is unique for every record in ICIS. It allows agencies to easily and accurately identify their records for updating or editing purposes. ICIS

Air will generate the activity identifier automatically when the record is created directly on the web. EDT users must provide the identifier. This wa s established so that an identifier generated by or recognized by their state or local system could also be used for tracking in ICIS

- Air.21

Area MDR ICIS

- Air Data Field Further explanation of specific data fields. Investigations Investigation

Conducted Required Data Fields An investigation is limited to a portion of a facility, is more resource intensive, and involves a more in

- depth assessment of a particular issue. All investigations conducted should be reported. Facility ID Programmatic ID Delegated agencies must associate the investigation to at least one facility. The Programmatic ID is the unique identifier for the facility. Action Type (Lead Agency) Com pliance Monitoring Activity T ype As a result of the structure of ICIS, delegated agencies must first identify the ty pe of activity they wish to report (e.g., Inspection/Evaluation). Web agencies do this via the Add link. EDT agencies must include this in their submission. Com pliance Monitoring Ty pe The compliance monitoring type indicates the specific activity performed. Lead Agency The Lead Agency indicates the agency that primarily performed the activity reported. If the reporting agency was not the lead agency for the activity, they must select the Lead Agency. Otherwise, the field will default based on the record type being added (i.e., state, local, etc.). Date Achieved Actual End Date (for Investigation Conducted) For an investigation, the Actual End Date corresponds to the date the investigation concluded.

Actual Start Date (for Investigation Initiated) Delegated agencies can optionally report the Actual Start Date to identify when the Investigation was initiated (this is required for EPA). If the only the Actual Start Date is reported, the record will be enforcement sensitive. Air Program(s) Air Programs The air program is the applicable regulation. A ll air program s for an activity should be reported on the action record. Activity Identifier Com pliance Monitoring Identifier The identifier is unique for every record in ICIS. It allows agencies to easily and accurately identify their records for updating or editing purposes. ICIS

Air will generate the activity identifier automatically when the record is created directly on the web. EDT users must provide the identifier. This wa s established so that an identifier generated by or recognized by their state or local system could also be used for tracking in ICIS

- Air.22

Area MDR ICIS

- Air Data Field Further explanation of specific data fields. Stack Tests Stack Tests Conducted Required Data Fields A stack test, also referred to as a performance or source test, measures the amount of a specific regulated pollutant, pollutants, or surrogates being emitted; demonstrates the capture efficiency of a capture sys tem ; or determines the destruction or removal efficiency of a control device used to reduce emissions at facilities subject to CAA requirements. All stack tests conducted for demonstrating or determining compliance with federally

enforceable requirements s hould be reported. Facility ID Programmatic ID Delegated agencies must associate the stack test to one facility. The Programmatic ID is the unique identifier for the facility. Action Type (Who Conducted/Who Observed, Lead Agency) Com pliance Monitoring Activity T ype As a result of the structure of ICIS, delegated agencies must first identify the ty pe of activity they wish to report (e.g., Inspection/Evaluation). Web agencies do this via the Add link. EDT agencies must include this in their submission. Com pliance Monitoring Ty pe The compliance monitoring type indicates the specific activity performed. Conducted By Conducted By indicates who performed the test or contracted with a third party to perform the test. Since the majority of stack tests reported for compliance purposes are conducted by the owner/operator, the value default s to ow ner/operator on the web

. Delegated agencies may overwrite this value. EDT agencies must include this in their submission, it will not default. Observed By Observed By indicates whether the delegated agency or EPA was on - site during the test to observe its performance. If an agency was present during the test, delegated agencies should select the agency. Lead Agency The Lead Agency indicates the agency that primarily performed the activity reported. If the reporting agency was not the lead agency for the activity, they must select the Lead Agency. Otherwise, the field will default based on the record type being added (i.e., state, local, etc.)

. Date Achieved Actual End Date The actual end date is the date the stack test was completed. Test Results (Pass, Fail, Pending) Stack Test Status The status corresponds to whether the measured results indicate the unit was able to meet the emission , parameter or surrogate limit measured ; or capture, destruction or removal efficiency required

. Air Program(s) Air Programs The air program is the applicable regulation. A ll air program s for an activity should be reported on the action record. Activity Identifier Com pliance Monitoring Identifier The identifier is unique for every record in ICIS. It allows agencies to easily and accurately identify their records for updating or editing purposes. ICIS

Air will generate the activity identifier automatically when the record is23

Area MDR ICIS

- Air Data Field Further explanation of specific data fields. created directly on the web. EDT users must provide the identifier. This wa s established so that an identifier generated by or recognized by their state or local system could also be used for tracking in ICIS

- Air. TV ACC Due/Received All TV ACCs Required Data Fields The Title V permitting program (Part 70) requires that a compliance certification be submitted not less than annually. All compliance certifications should be reported. Facility ID Programmatic ID Delegated agencies must associate the TV ACC to one facility. The Programmatic ID is the unique identifier for the facility. Action Type

– TV ACC Due/Received (Lead Agency) Com pliance Monitoring Activity T ype As a result of the structure of ICIS, delegated agencies must first identify the ty pe of activity they wish to report (e.g., Inspection/Evaluation); for EDT the Com pliance Monitoring Activity Type for TV ACC records will be generated based on the XML submission type. Com pliance Monitoring Ty pe The compliance monitoring type indicates the specific activity performed. The TV ACC Due/Received indicates the date the com pliance certification is due and the date it is received. There are instances where a source is required to submit quarterly or semi

- annual certifications. In these instances, all compliance certifications received are to be reported. When multiple compliance certifications are submitted, it is recommended but not required that the delegated agency report the Certification Period in order to show that the full year was covered by the certifications. Lead Agency The Lead Agency indicates the agency that primarily performed the activity reported. If the reporting agency was not the lead agency for the activity, they must select the Lead Agency. Otherwise, the field will default based on the record type being added (i.e., state, local, etc.). Due/Received Date Planned End Date The Planned End Date reflects the date the Title V Annual Compliance Certification is due to the permitting authority and/or EPA. Where Title V sources submit semi

- annual certifications this date should reflect the date each semi

- annual certification is due to the permitting authority and/or EPA. Actual End Date The Actual End Date reflects the date the Title V Annual Compliance Certification was received by the permitting authority and/or EPA. Where Title V sources submit semi

- annual certifications this date should reflect the date each semi

- annual certification was received by the permitting authority and/or EPA. Air Program(s) Air Programs The air program is the applicable regulation. A ll air program s for an activity should be reported on the action record. Activity Identifier Com pliance Monitoring The identifier is unique for every record in ICIS. It allows agencies to easily24

Area MDR ICIS

- Air Data Field Further explanation of specific data fields. Identifier and accurately identify their records for updating or editing purposes. ICIS

Air will generate the activity identifier automatically when the record is created dire ctly on the web. EDT users must provide the identifier. This wa s established so that an identifier generated by or recognized by their state or local system could also be used for tracking in ICIS

- Air. TV ACC Revie w All TV ACCs Required Data Fields All compliance certifications received should be reviewed, and the revie w should be reported. Action Type

– TV ACC Revie w (L ead Agency) Revie wer Agency Part 70 requires that a source submit their compliance certification to both the permitting authority

and EPA. Both agencies can report the date and results of a review of a compliance certification on the same Due/Received activity record . T herefore, each agency must identify themselves in order to distinguish between multiple reviews. Date Ac hieved (Revie w action, Lead Agency) Revie wed on [Date] The Reviewed on date corresponds to the date the agency completed their review of the compliance certification. Deviations? Did Facility Report Deviations? Part 70 requires that a compliance certification identify each deviation. The reviewer agency reports Yes or No to identify whether or not the source reported that deviations occurred during the certification period. Informal Enforcement Actions Notification of a

Violation Required Data Fields An informal enforcement action notifies or advises the recipient of apparent deficiencies, findings concerning noncompliance, or that the issuing agency believes one or more violations occurred at the referenced source and provides instructions for coming into compliance . All informal enforcement actions should be reported. Facility ID ICIS

- Air Programmatic ID Delegated agencies must associate the informal enforcement action to at least one facility. The Programmatic ID is the unique identifier for the facility. Action Type (Lead Agency) Enforcement Action Forum As a result of the structure of ICIS, delegated agencies must first identify the ty pe of activity they wish to report (e.g., Judicial Enforcement)

. Web agencies do this via the Add link. Fo r EDT , the forum for Informal Enforcement Actions will be generated based on the XML submission type. Enforcement Action Type The type of informal enforcement action refers to the method or the vehicle used for notifying a source of a violation. Notification includes any notice of violation required by Section 113 of the CAA or corresponding state, local, or tribal implementatio n plan as well as other written notices, meetings, teleconferences and electronic correspondence. For HPVs only, the other forms of notice (e.g., teleconference) are to be reported on a Case File, Violation Details as the Method of Advisement and are furth er referenced below

.25

Area MDR ICIS

- Air Data Field Further explanation of specific data fields. Lead Agency The Lead Agency indicates the agency that primarily performed the activity reported. If the reporting agency was not the lead agency for the activity, they must select the Lead Agency. Otherwise, the field will default based on the record type being added (i.e., state, local, etc.). Date Achieved Ac hieved Date The Achieved Date reflects the date the notice is issued or provided to the source . Air Program Code(s) Programs Violated The programs violated are the applicable regulations which a facility was determined to have violated. All air program s violated s hould be reported on the action record. Activity Identifier Enforcement Action Identifier The identifier is unique for ev ery record in ICIS. It allows agencies to easily and accurately identify their records for updating or editing purposes. ICIS

Air will generate the activity identifier automatically when the record is created directly on the web. EDT users must provide the identifier. This wa s established so that an identifier generated by or recognized by their state or local system could also be used for tracking in ICIS

- Air. Formal Enforcement Actions Formal Enforcement

Actions Required Data Fields A formal enforcement action addresses or resolves a violation. Generally these actions are referred to as complaints, settlement agreements, compliance or penalty orders, referrals, consent agreements, or consent decrees. Formal enforcement actions have le gal consequences if the source does not comply. All formal enforcement actions should be reported. Facility ID Programmatic ID Delegated agencies must associate the formal enforcement action to at least one facility. The Programmatic ID is the unique identifier for the facility. Action Type (Lead Agency) Enforcement Action Forum As a result of the structure of ICIS, delegated agencies must first identify the ty pe of activity they wish to report (e.g., Judicial Enforcement). Web agencies will do this via the Add link. For EDT, they must include this in their submission. Enforcement Action Type 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 The Lead Agency indicates the agency that primarily performed the activity reported. If the reporting agency was not the lead agency for the activity, they must select the Lead Agency. Otherwise, the field will default based on the record type being added (i.e., state, local, etc.). Milestones: Actual Date Milestones reference s tep s in the enforcement response. The milestones vary depending on the type of enforcement (administrative or judicial). When a complaint is filed it is reported as a milestone on an enforcement action. A26

Area MDR ICIS

- Air Data Field Further explanation of specific data fields. referral to the State Attorney General or its equivalent i s reported as a milestone o n a judicial enforcement action. The date that the milestone occurred must be reported. Air Program(s) Programs Violated The air program is the applicable regulation. A ll air program s for an activity should be reported on the action record. Activity Identifier Enforcement Action Identifier The identifier is unique for every record in ICIS. It allows agencies to easily and accurately identify their records for updating or editing purposes. ICIS

Air will generate the activity identifier automatically when the record is created directly on the web. EDT users must provide the identifier. This wa s established so that an identifier generated by or recognized by their state or local system could also be used for tracking in ICIS

- Air. Final Order Formal Enforcement Actions Required Data Fields The final order is the vehicle which captures a settlement agreement, compliance schedule, penalty assessment, or conditions to return to compliance. Activity Identifier Final Order ID Because multiple Final Orders can be reported on the same enforcement action type, a Final Order ID is needed to make the record unique. For web agencies , the Final Order ID will be generated when the record is saved. EDT users must provide the id entifier. This was established so that an identifier generated by or recognized by their state or local system could also be used for tracking in ICIS

- Air. Facility ID ICIS

- Air Programmatic ID Delegated agencies must associate the Final Order to at least one facility. The Programmatic ID is the unique identifier for the facility. Action Type (Lead Agency) Final Order Type The final order is the vehicle which captures a settlement agreement, compliance schedule, penalty assessment, or conditions to return to compliance, which may include injunctive relief. Date Achieved Final Order Issued Date (Admin) Final Order Entere d Date (Judicial) The Final Order Issued Date is the date the final administrative order (e.g., administrative compliance order, administrative penalty order, or consent agreement) was signed by a delegated authority and/or the recipient source. The Final Order Entered Date is the date the final order is entered by a court. Resolving Action Air Resolved Date For violations addressed administratively or through any non

- judicial process, resolved means all penalties have been collected, SEPs completed, and the source is confirmed to be in compliance with respect to violations included in the final order. For violations addressed judicially, resolved means a court of competent jurisdiction has entered an order adjudicating the case and the order is final.27

Area MDR ICIS

- Air Data Field Further explanation of specific data fields.

Cash Assessed Penalty Penalty Assessed to be Paid To: The Cash Assessed Penalty value is the monetary penalty assessed in the penalty action or settlement offer. A penalty will be required for some enforcement action types , but not all

. Case File Violation Tracking Required Data Field s A Case File must be added for a delegated agency to report a known or suspected violation. A Case File can contain information about more than one violation at a source. Violations should be reported in accordance with the 2014 FRV and 2014 HPV policies. Each of these policies focuses on a subset of federally

- enforceable violations. Facility ID Programmatic ID Delegated agencies must associate the Case File to one facility. The Programmatic ID is the unique identifier for the facility. Air Program Programs The air program is the applicable regulation that the facility was determined to have violated. Pollutant Pollutants The pollutant reported is the pollutant that is the basis for the regulation or permit condition that was violated. Multiple pollutants can be reported on a Case File. Lead Agency Lead Agency The Lead Agency indicates the agency that primarily performed the activity reported. If the reporting agency was not the lead agency for the activity, they must select the Lead Agency. Otherwise, the field will default based on the record type being added (i.e., state, local, etc.). Activity Identifier Case File Identifier The identifier is unique for every record in ICIS. It allows agencies to easily and accurately identify their records for updating or editing purposes. ICIS

Air will generate the activity identifier automatically when the record is created directly on the web. EDT users must provide the identifier. This wa s established so that an identifier generated by or recognized by their state or local system could also be used for tracking in ICIS

- Air. Violation Details Violation Tracking Required Data Fields This data is designated as enforcement sensitive

.

Violation Violation Type All federally

- reportable violations should be reported. The violation type indicates whether the violation is an FRV or HPV. Air Program The air program is the applicable regulation or program that the facility was determined to have violated. Only one air program can be reported per violation type. Pollutant The pollutant reported is the pollutant that is the basis for the regulation o r permit condition that was violated. Only one pollutant can be reported per violation type. Date Achieved HPV Day Zero Date The Day Zero Date is the earliest date that the delegated agency makes the28

Area MDR ICIS

- Air Data Field Further explanation of specific data fields. initial identification of a violation as an HPV. It is the date used to evaluate timeliness of actions in accordance with the HPV policy. Informal Enforcement Method of Advisement The delegated agency should record on the Violation Details that it advised a source of the violation by entering the method of advisement, which includes: any written notices, meetings, teleconferences, and electronic correspondence. If the initial notice is a Notice of Violation or Warning Letter issued pursuant to CAA § 113(a) or a State or Tribal implementation plan, the notice is to be reported using the Enforcement Action module. Date Achieved Date of Advisement This corresponds to the date when the facility was initially advised of any violation. HPV HPV Pathway Required Data Fields These actions are either linked to a Case File or reported on the Case File. When a compliance monitoring activity is linked to or reported on a Case File, it is the discovery action. When a formal enforcement action is linked to a Case File it is the addressing and resolving action. Discovery Action Discovery Action/Date The activity that led to the discovery of a violation. The Discovery Action can either be a compliance monitoring activity reported to ICIS as such and linked to a Case File, or other options for discovery action can be reported (e.g., self

- disclosed). The other options are reported on a Case File. Addressing Action Addressing Action/Date The delegated agency can address a violation using one of the following legally

- enforceable actions: (1) issuing a legally enforceable order, (2) issuing a legally enforceable order that imposes penalties, (3) issuing a legally enforceable order that imposes a schedule on the source to comply with the requirement(s) violated and penalties, or (4) transferring the matter to an organization with authority to initiate a civil or criminal judicial action. The addressing a ction can either be an enforcement action reported to ICIS as such and linked to a Case File, or there are non

- enforcement o ptions reported on the Case File as an addressing action (e.g., No Further Action, Lead Change )

. Resolving Action Resolving Action/Date Resolved means that: (a) in a filed judicial action (state, local or federal), a court of competent jurisdiction has entered an order adjudicating the case; (b) for violations addressed administratively or through any non

- judicial means, all penalties have been collected, all SEPs completed, and the source is confirmed to be in compliance with respect to all HPVs included in th e administrative order or non

- judicial agreement; or (c) an enforcement agency has proposed revisions to its implementation plan regarding the violation . If the resolution was achieved via enforcement, then the date the violation was29

Area MDR ICIS

- Air Data Field Further explanation of specific data fields. resolved is reported o n the enforcement action. If resolution was achieved through non

- enforcement means, the resolving action is reported on the Case File (e.g., Proposed SIP Revision).30 **TABLE 2**  **SUMMARY OF NATIONAL MINIMUM DATA REQUIREMENTS (MDRs) FOR CLEAN**  **AIR ACT STATIONARY SOURCE COMPLIANCE -**  **20 12**  **ICR** Note: Unless otherwise noted, both the EPA Regions and delegated agencies report their own data. The universe of facilities for IC IS

- Air includes: Major, Sy nthetic 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 ( i.e., administrative orders, consent decrees, civil or criminal ref errals 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 ) ye ars old , or is listed as a discretionary HPV , it i s considered reportable

. In dividual regional/state agreements are not supers eded b y this listing. **Identification AFS**  **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. NAI CS Code NI C1 [Note: While SIC Codes can be reported to AFS, reporting of the NAI CS 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 12. CMS Minimum Frequency Indicator CMSI Note: Generally

EPA enters these fields into AFS; delegated agencies provide this information per agreement with the EPA Region. An EPA Region may delegate data entry

rights to a delegated 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 sy nthetic 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 Programs(s)**31

16. P ollutant(s) by

C ode or Chemical Abstract Service Number PLAP/CAPP 17. Classification(s): EPA/ST ECLP/SCLP 18. Attainment Status: EPA/ST EATN/SATN [Note: The 2011 I CR 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:  In formal Enforcement Action: 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 I ssued, Source Returned to Compliance by State/EPA with no 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 b y EPA unless otherwise negotiated. The Due Date of a Title V Annual Compliance Certification will b e reported as Date Scheduled on the “ Title V Annual Compliance Certification Due/Received b y 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 deviation(s) will be indicated in RD08 for EPA reviews (and state reviews as negotiated).  Investigations: EPA Investigation Initiated (started) and State/EPA Inv estigation Conducted (finished). State Investigation Initiated is added for optional use. EPA and State Investigation Initiated (started) action ty pes 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 (Certificatio n Deviations) RD8132

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 Ty

pe Code (s) VTP1 Note: To be identified when the Day Zero action is established 25. HPV Violating Pollutant(s) 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 action record for delegated 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 are not considered MDR s , but as useful and helpful for program implementation, evaluation , and oversight. Delegated agencies are encouraged to report the followin g 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, and Partial Compliance Evaluation On

- Site Observation. (Note: All PCEs are required to be reported b y 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).

 Title V Permit Program Data Elements (PPDEs): Required for reporting to AFS by the33

Office of Air Quality

Planning and Standards (OAQPS), used by the Office of Enforcement and Compliance Assurance (OECA) for major source universe population. To be established when the Title V permit is issued. AFS will require the establishment of an AFS ID, the individual permit number, category, and event type for permit issued plus the date achieved. Permit Program Data Elements (PPDEs) include the Permit Number (ASPN), Permit Category (PMTC), and Permit I ssuance Event Ty pes (IF

– Permit I ssued and IR

– Permit Renewal) and the date (PATY/PDEA).

 Automatic Generation of the Compliance Status for High Priority Violator (HPV) Pathways: Agencies have the option of using AFS software to generate the compliance status for sources with HPV pathway s.
**5. AGENCY ACTIVITIES, COLLECTION METHODOLOGY, AND INFORMATION**  **MANAGEMENT** (a) AGENCY ACTIVITIES Activities performed b y EPA personnel involve both EPA regional and h eadquarters staff. The r egional o ffices generall y serve as the primary liaison with respondents , and, if applicable, assume the primary ro le of any EPA reporting of data. Headquarters staff focus primarily on data s ys tem issues, data management practices, and other national program management activities. The EPA activities include 2 :

 Inte raction with delegated agencies (e.g., answer respondent questions, train respondents on the use of the s ys tem, liaison with delegated agencies , participate in n ational data management discussions)  Facilitate access to the database  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 delegated 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

2 For purposes of estimating burdens, the first five items are considered the primary Regional Office activities and the last three items are considered the primary Headquarters a ctivities.34

Management of the compliance and enforcement information collected from delegated agency respondents for entry into a national data system is a well

- established process. Reporting source information, violation determinations, and compliance and enforcement activity data to IC IS

- Air and its predecessor s , AFS and the Compliance Data System (CDS) , has existed for the past 33 ye ars. The MDRs have been developed as essential components of a compliance and enforcement tracking program and have been adopted into delegated agency data systems. Many delegated agencies will electronicall y update IC IS

- Air from their datab ase, while the remaining agencies will enter data into IC IS

- Air directl y. In some instances, EPA Regional Offices will enter compliance and enforcement data. The EPA data collection guidance and technical support for respondent s focuses on supporting agencies in their collection methodology to minimize the total burden associated with meeting their reporting requirements

. The Agency also has developed documents and memoranda to explain the collection and reporting of MDRs, such as user m anuals and a business rule compendium

. New reporting, training, and user guidance document s have been developed for ICIS

- Air. In addition to continuing to improve these documents, EPA will continue to provide services in support of optimizing the collection and reporting of MDRs , including the following:

 An IC IS

- Air telephone help line providing users with data collection transmittal and quality assurance.

 User training , both to ensure a smooth transition to I CI S

- Air and to support the training of future IC IS

- Air users on an ongoing basis.

 Support for development and use of plug

- in technologies that greatl y simplify the electronic transfer of data from delegated agency databases to ICIS

- Air.

 Periodic webinar s to disseminate news and information to all registered users. The 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 delegated agencies on CAA stationary source compliance and enforcement information reporting. (ii) Data Quality Checking Procedures IC IS

- Air data that are directly entered via the web interface are edit ed and validated b y 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 Exchang e (CDX) when delegated agencies transfer data electronicall y to ICIS

- Air. On a weekl y basis, the EPA downloads data from IC IS

- Air and loads it into multiple applications providing data to the public: the ECHO system and ENVIROFACTS. These s ys tems maintain procedures35

for error resolution and correction ; thereby , improving the quality of data in IC IS

- Air

. Many delegated agencies have written Standard Operating Procedures or have expanded Quality Assurance Project Plans that define their reporting process. These procedures contain a data correction mechanism, define data ownership, and outline each step taken to report timel y, accurate, and useable data to the 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

. The EPA reviews a comprehensive set of data retrievals on a cyclic basis to review delegated 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) utiliz es MDR data to document activity for air compliance and enforcement oversight on a periodic basis. Delegated agencies have an opportunity

during an annual data verification process to validate the data, make corrections as app ropriate, or develop processes to address identified program concerns

.

(iii) Machine and Processing Technology IC IS

- Air reside s on EPA ’ s Enterprise Server s at the National Computer Center (NCC) in North Carolina and is accessible to all delegated 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 delegated agency data stewards , the data are managed and maintained b y EPA. If either EPA staff or a delegated agency data steward identifies any concerns with the data or the system, EPA staff and the data steward discuss and resolve the concern

. 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 IC IS

- Air should maintain reportable MDR data in the system for at least five (5) years with the exception of data pertaining to HPVs. Sources with HPVs are to be kept in IC IS

- Air regardless of operating status.

(v) Public Access The public may

access CAA stationary

source compliance and en forcement information through:

 Review of IC IS

- Air data available through EPA

- supported Web sites such as

ECHO (echo.epa.gov) and ENVIROFACTS (http://www.epa.gov/enviro/)  Freedom of Infor

mation Act requests made to EPA36

(c) SMALL ENT ITY FLEXIBILITY The respondents for this information collection activity are state, local, tribal , and territorial delegated 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 delegated agencies covered b y this renewal ICR are above that threshold, and therefore no small entiti es will be affected b y 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 20 1 2 IC R, data from delegated agencies is collected on a 60

- day schedule (except for stack test dates and results) , associated with the Federal fiscal calendar. EPA Regional and HQ data is to be reported to IC IS

- Air on a monthly basis. D ata is extracted weekly and provided to EPA s ys tems for use in analysis and to provide data to the public. On a routine basis Regional and Headquarters EPA program staff develop trend and status reports utilizing IC IS

- Air data and assess the completeness of the data submitted. **6. ESTIMATING THE BURDEN AND COST OF THE COLLECTION** Please note that the EPA is providing a limited burden assessment in this I CR renewal

. The EPA will develop a more robust burden assessment for the next I CR renewal. The assessment in this I CR is limited because delegated agencies have just begun using ICIS

- Air and, at the time of this ICR renewal, not all agencies that will be reporting e lectronically are currently doing so . In addition, the EPA completed key revisions to the HPV and FRV policies that EPA expects will result in burden reductions. For this I CR renewal, the burden estimate is based on the expected relative change in burden associated with reporting to ICIS

- Air versus to AFS . EPA completed a time study to compare the amount of time required to enter data into AFS and IC IS

- Air. EPA also interviewed agencies that have submitted data electronicall y to ICI S to compare the batch upload process they used for AFS to the EDT process they use for I CI S

- Air. EPA interviewed agencies to measure the one

- time burden imposed by the transition from AFS to I CI S

- Air. (a) ESTIMAT ING RESPONDENT BURDEN

**Comparing AFS and ICIS -** **Air Direct Data Entry Burden**  To estimate the relative change in burden associated with directl y entering required data to ICI S

- Air versus to AFS, EPA conducted a time study comparing 47 different AFS direct data entry scenarios to the equivalent ICI S

- Air direct entry sc enarios (Appendix 2) . The study,37

conducted in October 2014, included 28 different business processes within the databases. The time study

was conducted by

a contractor who has supported AFS for several decades and therefore knows the most efficient means to enter data into AFS. The contractor staff gained familiarity

with ICI S

- Air as they

were involved in the I CI S

- Air development effort as a sub

- contractor and participated in training on ICIS

- Air. Overall, given their deep AFS expertise and their modest degree of expertise in using ICIS

- Air, the study likely has a bias toward underestimating the relative burden experienced b y AFS users. The results provide a strong indication that ICIS

- Air direct entry users will experience a discernable reduction in overall burden. In summary , the study found that:  12 of the 47 AFS direct data entry scenarios (including establishing connectivity through Host on Demand, changing compliance status, archiving/de

- archiving facilities, looking up table values, updating pl ant ids) no longer needed to be performed at all within I CI S

Air.  22 ICI S

- Air direct data entry scenarios took less time than the equivalent AFS process.  6 direct data entry

processes took the same amount of time in AFS and ICIS

- Air.  7 AFS direct data entry scenarios took less time than the equivalent process in I CI S

- Air. EPA is currentl y preparing several enhancements to ICI S

- Air application software that will improve the efficiency of Case File/HPV data entry . These enhancements to ICI S

- Air will address several of the 7 direct data entry processes in which AFS entry was more efficient during the time study . The time study demonstrates that replacing AFS with I CI S

- Air will result in reduced burden to delegated agencies entering data directl y to ICIS

- Air. Therefore, we expect the actual burden estimate for ICIS

- Air to be less than previous burden estimates calculated for AFS. **Co mparing AFS and ICIS**  **- Air Electronic Data Transfer (EDT)**  **Burden** Calculating burden associated with I CI S

- Air electronic data transfer is very difficult at this time, since less than ten agencies have successfully transferred data to ICIS

- Air since it was put into production on October 27, 2014. EPA recognizes that a comprehensive assessment of EDT burden cannot be performed at this time, as over thirty agencies have not yet successfull y transferred data. EPA expects that approximately forty agencies will be able to successfull y transfer to ICIS

- Air b y m id

- 2015. EPA requested initial feedback from the smal l number of agencies that have successfully transferred data to ICI S

- Air via EDT. These agencies were asked to estimate their burden for transferring data to ICIS

- Air, given their initial experiences doing so, and compare it with their estimated previous year burden for submitting required data to AFS. EPA received responses38

from six agencies. The results, as referenced below, were inconclusive:  One agency

stated that they

believed the burden would be about the same annually

. (Approximately

312 hours per year)  Two agenc ies both estimated that reporting to ICIS

- Air would take twice as long as reporting to AFS (50 hours/year for ICIS

- Air to 25 for AFS; and, 48 IC IS

- Air to 24 AFS)  Two agencies estimated that their reporting burden would drop by up to 2/3 (30

- 36 hours for AFS to 10

- 15 hours for ICIS

- Air) and precipitously to near zero (12

- 36 hours for AFS to minutes for ICI S

- Air) since the process was fully automated from that agency s ys tem to ICIS

- Air.  And, one agency

estimated that their reporting burden wil l go up (from 48 hours to AFS to 60 hours for ICIS

- Air) EPA recognizes the importance of limiting reporting burden for delegated agencies. ICIS

Air was designed with that goal in mind. Our experience with the CWA/NPDES program, which made a similar trans ition from an aging mainframe database to ICIS

-NPDES several ye ars ago, indicates that the burden associated with reporting via EDT was reduced dramatically for many state agencies. EPA will continue to work with delegated agencies that will report to ICIS

- Air via EDT to help them streamline and automate their reporting processes and achieve the dramatic reductions in burden experienced b y two of the aforementioned agencies. **Estimating One Time Burden Associate with the Transition from**  **AFS and ICIS -** **Air** EPA is appreciative of the sustained and extensive time commitments made by delegated agencies to transition from AFS to ICI S

- Air. To understand the extent of the one

- time transition burden associated with this system modernization effort, EPA solicited and received responses from eight delegated agencies regarding their estimated burden to participate in ICI S

- Air workgroup activities, perform ICI S

- Air testing, prepare their AFS data to successfull y migrate to IC IS

- Air, and prepare to flow data from their data base to ICI S

- Air (if applicable). Based upon the estimates EPA received from the eight state/local agencies, the average one - time burden for transition from AFS to I CI S

- Air was 124 hours for direct entry agencies (based on 3 responses) and 1103 hour s for agencies reporting to ICIS

- Air via EDT (based on 5 responses ). There are approximately 64 agencies that report to ICIS

- Air directly and 3 5 agencies that plan to report via EDT. Using those figures as multipliers, EPA estimates that approximately 46,5 00 hours of one

- time burden was experienced by employees of the 99 agencies that transitioned their reporting of CAA stationary source compliance and enforcement data from AFS to I CI S

- Air.

 The basis of the reportable universe is 13,742 major sources , 25,466 sy nthetic minor sources (sources with the potential to emit at the major threshold, but emit under this threshold due to process or operating restrictions) , and 3,176 minor or other sources

.39

 The average respondent hours for reporting activities wil l depend on the number of sources for which a delegated agency must collect and report source information, and compliance and enforcement data. (b) ESTIMATING RESPONDENT COSTS Because this burden estimate is limited in that it reflects very little user experience with the production ICI S

- Air system, the EPA is providing the quantified estimates u sed for previous ICR renewals. The Agency did adjust the hours spent based on the redistribution of the size of agencies. (i

) Estimating Labor Costs The las t 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 delegated agency government wages and sal aries 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 Delegated agency Government Emplo yer 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 delegated 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

. Delegated agencies maintain computers for their own tracking needs and this reporting activity onl y involves ref

ormatting and transmission of that data. (c) ESTIMAT ING 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 IC IS

- Air 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 f ormulated on a monthly

basis versus bi

monthly basis (every

60 days) required of delegated 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 lo cality adjustment pay

is available via the Salary Table on the Office of40

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 l abor 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 AN**  **NUA L**  **DELEG AT**  **ED A GENCY**  **RESPONDENT BURDEN ESTIMA** **TES (2010;**  **EPA -**  **HQ -**  **OECA -**  **2010 -**  **0777; EPA ICR No. 0107.10**  **, OM B**  **Control No. 2096 -**  **0096.) Updated**  **in 2014 to reflect a**  **slight shift**  **fr om the previous**  **ICR in the distribution of agenc**  **ies based on size.**  Respondent Activities: Process, compile and review Number of Annual Annual Hours per Total Total information; transmit information to AFS. Maintain Enforcement Responses Respon d e nt Hours Cost records for AFS reporting compatibility. Agencies (6x per ye ar) Sm all Delegated agencies 54 324 1,685 .00 10,110 .00 $ 527,339

. 55 (less than or equal to 59 major sources) Medium Delegated agencies 33 198 2,312.75

. 13,876.52 $ 689 , 240

. 78 (60
- 349 ma

jor sources) Large Delegated agencies 12 72 4, 571

. 00 27,425.98 $ 1, 472 , 320

. 36 (greater than or equal to 3 50 ma jor sources) **Totals 9**  **9 594**  **8,568.75 5**  **1 ,**  **412**
**. 5**  **0 $**  **2, 688**  **, 900** 
**. 69**  Total Cost is taken from Department of Labor statistics found at: http://stats.bls.gov/NE WS .RELEASE/ECEC.T04.HTM Costs include median dollar amounts for travel costs to data management meetings and workshops.42

**WORKSHEET 2 FEDERA**  **L ANNU**  **AL A** **GENCY BURDEN ESTIMA**  **TES (2010;**  **EPA -**  **HQ -**  **OECA -**  **2010 -**  **0777; EPA ICR No.**  **0107.10 , OMB Control No. 2096**  **- 0096.)** 
**EPA REGION**  **# OF RESPONSES**  **HOURS PER**

**RESPONSE TOTA**  **L**

**HOURS HOURLY** 

**COST FULLY** 

**LOA DED**  **COST TOTA**  **L 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 HEA**  **DQUA RTERS**  **# OF RESPONSES**  **HOURS PER**

**RESPONSE TOTA**  **L**

**HOURS HOURLY** 

**COST FULLY** 

**LOA DED**  **COST TOTA**  **L COST** SYSTEM ADMINISTRATOR 12 173.33 2,080.00 $ 57.13 $ 91.41 $1 92,128.64 GS
- 14/5 SECURITY MANAGER 12 173.33 2,080.00 $ 48.35 $ 77.36 $1 62,908.80 GS
- 13/5 **Totals 24**  **346.67 4,160.00**  **$3 55,037.44**  **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 Ty

pe Total Hours Total Costs 1. Delegated agencies 51,412 $ 2,688,900 2. EPA Regions 31,200 $ 2,036,369 3. EPA Headquarters 4,160 $ 355,037 **Totals 8**  **6 ,7**  **72 $**  **5, 080**  **, 306**  (f) REASONS FOR CHANGE IN BURDEN Under th e previous renewal ICR ( 2010; E PA ICR No. 0107.10 , OMB Control No. 20 60

- 0096.) , total annual delegated agency respondent burden was 54,384 hours. Inthis renewal , the total estimated annual decrease in respondent burden is 2,972 hours. The decrease occurred as a result of slight shifts in the distribution of agencies by size (see Worksheet 1), due to a continued reduction in the universe of major air sources. (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 ty pe of respondent. Reporting b y delegated agencies on source compliance and enforcement actions is estimated based on the number of major sources. Itis estimated that agencies will collectively spend a total of 51,412 hours per ye ar for the transmittal, management and quality assurance of their data. The 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 86,772 hours for both Federal and delegated agency effort. These estimates are completel y extrapolated based on data submitted under the previous ICR renewal.44

Burden means the total time, effort, or financial resources expended b y 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 compl y with any previously

applicable instructions and requirements; train 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 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, and any suggested methods for minimizing respondent burden, including the use of automated col lection techniques, the 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), William Jefferson Clinton 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)56 6

- 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 publ ic 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

- O ECA

- 20 14

- 0523 and OMB Control Number 2060

- 0 096 in any correspondence.45 

## APPEN **DIX 1**  **DELEGATE D**  **AGENCY CLASSIFICATION BY SIZE**

**99 AGENCIES** 

**AGENCY MAJORS**  **Synthetic Minor Minors**  **AGENCY MAJORS**  **Synthetic Minors Minors**  **SMALL AGENCIES < 59 MAJORS**  **AMERICAN SAMOA 0**  **0 0**  **CA -**  **MONTEREY BAY 19**  **1 0**  **NV -** **WASHOE 2**  **4 0**  **OR -**  **LANE 18**  **16 0**  **WA -**  **BENTON 2**  **4 0**  **AL -**  **HUNTSVILLE 6**  **12 1**  **MARIANNAS PROTECTORATE**  **4 2**  **0 WA** **- NORTHWEST**  **22 10**  **0 WA** **- YAKIMA**  **4 1**  **0 VI**  **10 3**  **0 CA** **- FEATHER RIVER**  **5 0**  **3 VT**  **14 84**  **1 CA** **- KERN**  **6 1**  **0 CA** **- SAN DIEGO**  **27 8**  **0 CA** **- SAN LUIS OBISPO**  **6 11**  **0 CA** **- VENTURA**  **24 7**  **0 IA** **- POLK**  **18 420**  **5 NV** **- CLARK**  **27 6**  **0 NM**  **- ALBUQUERQUE**  **9 15**  **2 NC**  **- ASHEVILLE**  **31 73**  **0 WA** **- SPOKANE**  **9 19**  **0 NV**  **29 35**  **0 NC**  **- FORSYTH**  **10 22**  **5 WA** **- PUGET SOUND**  **32 75**  **33 CA** **- IMPERIAL**  **11 7**  **0 DC**  **40 0**  **16 IA** **- LINN**  **17 124**  **3 PA** **- ALLEGHENY**  **30 37**  **24 NC**  **- MECKLENBURG**  **9 76**  **5 TN**  **- MEMPHIS**  **30 105**  **1 AZ** **- PINAL**  **16 3**  **0 KY** **- JEFFERSON**  **35 100**  **0 CA** **- YOLO SOLANO**  **14 0**  **0 AL**  **- JEFFERSON**  **35 101**  **2 AZ** **- PIMA**  **15 4**  **0 AZ** **- MARICOPA**  **33 46**  **17 CA** **- SACRAMENTO**  **15 6**  **0 PA** **- PHILADELPHIA**  **32 75**  **19 TN** 

**– KNOX**  **8 40**  **5 TN** 

**– NASHVILLE**  **11 94**  **1**46 **WA**

**– OLYMPIC**  **12 9**  **1 WA** 

**– SOUTHWEST**  **14 20**  **1 NE** 

**– LINCOLN**  **16 30**  **1 GU**  **18 3**  **1 WA**  **28 19**  **1 NH**  **35 119**  **72 RI**  **37 87**  **6 PR**  **40 14**  **10 CA** 

**– MOJAVE DESERT**  **51 1**  **0 ID**  **45 200**  **22 ME**  **57 168**  **6 AZ**  **58 72**  **12 CA** 

**– CARB**  **48 21**  **2 NE** 

**– OMAHA**  **15 35**  **1 MEDIUM = 60** 

**– 349 MAJORS**  **MT 66**  **170 14**  **ND 76**  **102 8**  **CA**

**– SANTA BARBARA**  **75 53**  **0 CT**  **72 194**  **25 SD**  **89 66**  **1 CA** 

**– BAY AREA**  **84 30**  **2 NE**  **98 96**  **18 UT**  **99 212**  **53 MD**  **120 211**  **15 HI**  **133 6**  **2 OR**  **110 21**  **0 MA**  **140 924**  **150 AK**  **144 213**  **10 DE**  **60 80**  **3 WY**  **125 30**  **90 NM**  **145 407**  **73 WV**  **163 62**  **30 AR**  **196 623**  **65 CA** 

**– SAN JOAQUIN**  **303 180**  **1 VA**  **254 1588**  **9 IA**  **249 1473**  **5 CO**  **236 1266**  **290 MS**  **276 278**  **17 KY**  **278 356**  **3 KS**  **307 759**  **55 MN**  **287 230**  **58 OK**  **291 2141**  **6 TN**  **230 405**  **108 MO**  **268 232**  **57 NJ**  **279 1024**  **56 SC**  **271 402**  **11 NC**  **332 763**  **16 AL**  **315 253**  **12 LARGE = > 350 MAJORS SOURCES** 47 **FL 372**  **562 13**  **GA 376**  **1270 23**  **NY 423**  **2954 104**  **MI 390**  **853 7**  **CA**

**– SOUTH COAST**  **441 0**  **32 WI**  **419 248**  **8 IL**  **480 225**  **251 LA**  **517 82**  **568 PA**  **523 721**  **217 IN**  **600 550**  **23 OH**  **605 847**  **57 TX**  **1310 0**  **207**48

**APPENDIX 2: Business Processes for Reporting Stationary Source**  **information into Data System of Record**

NOTE: The ICIS

- air processes listed in this document, have been described in just one way. Users may navigate through ICIS

- air and enter or cha n ge records via alternative routes

**Process # Process**  **Relative Degree of**  **Use Explanation**  **Steps needed to Achieve Process in AFS Amount of time**  **taken to perform process**  **in AFS Steps needed to Achieve** 

**Process in ICIS -** **Air Amount of**  **time taken to perform**  **process in ICIS**  **- air** 
1 Download and install

Host on Demand (HOD) Infrequent This software necessary to communicate with the mainframe Go to https://trex.rtpnc.epa.gov and follow download and installation. 2
- 10 minutes depending on connection speed Not needed for ICIS

- air N/A

2 Download and install

Host on Demand (HOD) Infrequent Periodic upgrades to HOD Go to https://trex.rtpnc.epa.gov and follow instructions to remove previous version and then install new version. 2
- 10 minutes depending on connection speed Not needed for ICIS

- air N/A

Execute Host On Demand (HOD) Frequent Necessary to communicate with the AFS Execute Host on Demand 15 seconds

- 2 minutes depending on connection speed Not needed for ICIS

- air N/A

3 Logon to application Frequent use Used each time a user logs onto AFS Acces s the mainframe using HOD. Enter AIRS on the Command line and the User ID and password on mainframe screen 15 seconds

- 2 minutes depending on connection speed Go to

//https://icisairtest.epa.gov/icis and logon using WAM User ID and password 1 minute49

4 Add a facility Moderate use Used when a federally reportable facility is added If not already logged into AFS, execute HOD and

logon to mainframe. Go to AIRS main menu and select Update AFS Online. Supply the State, County & Plant ID. Enter information for Plant General fields (Plant Name, Street Address, City Name, Zip Code, NAICS & Governmental Facility Code); Air Program fields (Air program code and Air Program Status) & Air Program Pollutant fields (Air Program, Pollutant Code, State Compliance Statu s, State Classification and State Attainm e nt Indicator). Press ENTER to SAVE 8 minutes If not already logged into ICIS

air, point browser to https://icisairtest.epa.gov/icis and logon using WAM User ID and password. Select AIR then ADD A FACILITY; provide Programmatic ID, Facility Site Name, State, Zip Code, Address, City, County Name & Primary NAICS. Select SAVE AND ADD AIR PROGRAM; Provide Air Program, Operating Status and any applicable subparts. Select SAVE. Select ADD POLLUTANT. Provide Pollutant and Classification. Select SAVE. 3 minutes

If already logged into AFS, go to AIRS main menu and select Update AFS Online. Supply the State, County & Plant ID. Enter information for Plant General fields (Plant Name, Street Address, City Name, Zip Code, NAICS & Governmental Facility Code); Air Program fields (Air program code and Air Program Status) & Air Program Pollutant fields (Air Program, Pollutant Code, State Compliance Status, State Classification and State Attainm e nt Indicator). Press ENTER to SAVE 5 minutes If already logged into ICIS

- air, select AIR then ADD A FACILITY; provide Programmatic ID, Facility Site Name, State, Zip Code, Address, City, County Name & Primary NAICS. Select SAVE AND ADD AIR PROGRAM; Provide Air Program, Operating Sta tus and any applicable subparts. Select SAVE. Select ADD POLLUTANT. Provide Pollutant and Classification. Select SAVE. 2 minutes

5 Add Regulated Air

Program Infrequent Used whenever a Regulated AIR Program is added to an existing facility If not already logged into AFS, execute HOD and

logon to mainframe. Go to AIRS main menu and select Update AFS Online. Supply the State, County & Plant ID. Enter information for Air Program fields (Air program code and Air Program Status) & Air Program Pollutan t fields (Air Program, Pollutant Code, State Compliance Status, State Classification and State Attainm e nt Indicator). Press ENTER to SAVE 4minutes If not already logged into ICIS

air, point browser to https://icisairtest.epa.gov/icis and logon using WAM U ser ID and password. Select AIR then Search for Facility. Select facility from Search list. Select ADD AIR PROGRAM; Provide Air Program, Operating Status and any applicable subparts. Select SAVE. 2 minutes50 If already logged into AFS, go to AIRS main menu and select Update AFS Online. Supply the State, County & Plant ID. Enter information for Air Program fields (Air program code and Air Program Status) & Air Program Pollutant fields (Air Program, Pollutant Code, State Compliance Status, State Classi fication and State Attainm e nt Indicator). Press ENTER to SAVE 2 minutes If already logged into ICIS

- air, select AIR then Search for Facility. Select facility from Search list. Select ADD AIR PROGRAM; Provide Air Program, Operating Status and any applicable subparts. Select SAVE. 1minute

6 Add a regulated

Pollutant Infrequent Used whenever a new pollutant is added to an air program on an existing facility If not already logged into AFS, execute HOD and logon to mainframe. Go to AIRS main menu and select Update AFS Online. Supply the State, County & Plant ID. Enter informati on for Air Program Pollutant fields (Air Program, Pollutant, State Compliance Status, State Classification & State Attainment Indicator). Press ENTER to SAVE 4minutes If not already logged into ICIS

air, point browser to https://icisairtest.epa.gov/icis a nd logon using WAM User ID and password. Select AIR then search for desired facility. Select facility from search list. Select ADD POLLUTANT. Provide Pollutant and Classification. Select SAVE. 3 minutes

If already logged into AFS, goto AIRS Main Menu and select Update AFS Online. Update Plant Air Program Pollutant fields (Air Program, Pollutant, State Compliance Status, State Classification & State Attainment Indicator). Press ENTER to SAVE 2 minutes If logged into ICIS

- air, search for desired facility. Select AIR then search for desired facility. Select facility from search list. Select ADD POLLUTANT. Provide Pollutant and Classification. Select SAVE. 1.5 minutes51

7 Add a Compliance

Monitoring action Frequent use Used to add PCE's, FCE's, Stack Tests, TVACC & Investigations to an existing facility If not already logg e d into AFS, execute HOD and logon to mainframe. Go to AIRS main menu and select Update AFS Online. Supply the State, County & Plant ID. Supply information for Plant Action (A ction Number, Action Air Program(s), Action Type, Date Achieved, and possibly Results code, RDE8 and Pollutant Code). Press ENTER to SAVE. 5 minutes If not already logged into ICIS

air, point browser to https://icisairtest.epa.gov/icis and logon using WAM User ID and password. Select Compliance Monitoring

Inspection/Evaluation for State. Supply information for Compliance Monitoring Identifier, Compli a nce Monitoring Type, Linked facilities, Actual End Date, Air Program(s). If the CM activity is a stack t est, provide Stack Test Status. Scroll to bottom and select SAVE. 3 minutes

If already in AFS, Update Plant Action (Action Number, Action Air Program(s), Action Type, Date Achieved, and possibly Results code, RDE8 and Pollutant Code). Press ENTER to SAVE. 3 minutes If already logged into ICIS

- air, select Compliance Monitoring

Inspection/Evaluation for State. Supply information for Compliance Monitoring Identifier, Compli a nce Monitoring Type, Linked facilities, Actual End Date and Air Program(s). If the CM activity is a Stack Test, provide Stack Test Status. Scroll to bottom and select SAVE. 2 minutes52

8 Add a Enforcement

action Frequent use Used to add Informal and formal enforcement actions to an existing facility If not already logged into AFS, execute HOD and logon to mainframe. Go to AIRS main menu and select Update AFS Online. Supply the State, County & Plant ID. Supply information for Plant Action (Action Number, Action Air Program(s), Action Type, Date Achieved, possibly Results code, RDE8 and Pollutant Code. Press ENTER to SAVE. 5 minutes If not already logged into ICIS

air, point browser to https://icisairtest.epa.gov/icis and logon using WAM User ID and password. Select Enforcement Actions and choose Formal, Judicial or Informal fo r your agency. For a Formal Enforcement action, (1) check Administrative Order, link facility(s) and provide Air Program(s) Violated. Click SAVE; (2) Select ADD FINAL ORDER sublink. Supply Final Order Type & Issued date. Click SAVE; (3) Select PENALTY s ublink, supply Assessed cash Penalty in the Penalty to be Paid to field. Click SAVE. (4) Select Milestones sublink. Provide Complaint Filed/Proposed Order Final Date. Click SAVE 4 minutes53 If already logged into AFS, Update Plant Action (Action Number, Action Air Program(s), Action Type, Date Achieved, possibly Results code, RDE8 and Pollutant Code. Press ENTER to SAVE. 3 minutes If already logged into ICIS

- air select Enforcement Actions and choose Formal, Judicial or Informal for your agency. For a Formal Enforcement action, (1) check Administrative Order, link facility(s) and provide Air Program(s) Violated. Click SAVE; (2) Select ADD FINAL ORDER sublink. Supply Final Order Type & Issued date. Click SAVE; (3) Select PENALTY sublink, supply As sessed cash Penalty in the Penalty to be Paid to field. Click SAVE. (4) Select Milestones sublink. Provide Complaint Filed/Proposed Order Final Date. Click SAVE 3 minutes54

9 Add Comments to a

Facility or Action Infrequent use Used whenever a comment is added to either a facility or an action If not already logged into AFS, execute HOD and

logon to mainframe. Go to AIRS main menu and select Update AFS Online. Supply the State, County & Plant ID. Supply information for Plant Comment (Action Number (if for an action), Comment number and Comment text). Press ENTER to SAVE 5 minutes If not already logged into ICIS

air, point browser to https://icisairtest.epa.gov/icis and logon using WAM User ID and password. Search for and select the CM activity or Enfor cement active that is receiving the comment. If the Comment is non

- sensitive, scroll down to the Comment field on the activity record. Enter Comment and click SAVE. If the Comment is sensitive, select the Sensitive Comment sublink of the activity receivi ng the comment. Enter Comment text and click SAVE. 2 minutes

If already logged into AFS, Update Plant Comment by providing an Action Number (if for an action), Comment Number and Comment Text). Press ENTER to SAVE. 2 minutes If already logged into ICIS
- air, search for and select the CM activity or Enforcement active that is receiving the comment. If the Comment is non

sensitive, scroll down to the Comment field on the activity record. Enter Comment and click SAVE. If the Comment is sensitive, sele ct the Sensitive Comment sublink of the activity receiving the comment. Enter Comment text and click SAVE. 1 minute55

10 Add a facility to CMS Once a year or whenever CMS Plan is modified Used whenever a

facility is added to the biannual CMS Plan If not already logged into AFS, execute HOD and

logon to mainframe. Go to AIRS main menu and select Update AFS Online. Supply the State, County & Plant ID. Supply information for Plant CMS (CMS Category and CMS Frequency). Press ENTER to SAVE. 4 minutes If not already logged into ICIS

air, point browser to https://icisairtest.epa.gov/icis and logon using WAM User ID and password. Select AIR then search for desired facility. Select facility from search list. Select CMS. Select ADD CMS. Enter CMS Source Catego ry and CMS Minimum Frequency. Select SAVE. 2 minutes

If already logged into AFS, Update Plant CMS (CMS Category and CMS Frequency). Press ENTER to SAVE. 1 minute If logged into ICIS

- air, search for desired facility. Select AIR then search for desired facility. Select facility from search list. Select CMS. Select ADD CMS. Enter CMS Source Category and CMS Minimum Frequency. Select SAVE. 1 minute56

11 Add HPV Frequently used Used whenever an HPV is added If not already logged into AFS, execute HOD and

logon to mainframe. Go to AIRS main menu and select Update AFS Online. Supply the State, CNTY, PCDS. Update Plant Action as a Key action by providing Action Number, Air Program(s), Action Type, Date Achieved, Pollutant Code and linking information that may include Discovering Agency, and Violation Type Code(s). Press ENTER to SAVE. 6 minutes If not already logged into ICIS

air, point browser to https://icisa irtest.epa.gov/icis and logon using WAM User ID and password. Select AIR then search for desired facility. Select facility from search list. Select Case Files. (1) Select ADD CASE FILE. Provide Case F i le Identifier, Link facility if needed, Air Program (s), Applicable Pollutants. Scroll to bottom and click SAVE AND ADD AIR VIOLATIONS. (2) Enter HPV/FRV details by clicking on the ADD AIR VIOLATION link on the Air HPV/FRV Details TAB. Select Violation Type, Pollutant & Program from drop down list. Enter FRV or HPV date. Select SAVE. 4 minutes57 If already logged into AFS, Update Plant Action as a Key action by providing Action Number, Air Program(s), Action Type, Date Achieved, Pollutant Code and linking information that may include Discovering Agency and Violation Type Code(s). Press ENTER to SAVE. 3 minutes If already logged into ICIS

- air, select AIR then search for desired facility. Select facility from search list. Select Case Files. (1) Select ADD CASE FILE. Provide Case F i le Identifier, Link facility if needed, Air Program(s), Applicable Pollutants. Scroll to bottom and click SAVE AND ADD AIR VIOLATIONS. (2) Enter HPV/FRV details by clicking on the ADD AIR VIOLATION link on the Air HPV/FRV Details TAB. Select Violation Type, Pollutant & Program from drop down list. Enter FRV or HPV date. Select SAVE. 3 minutes

12 Add/Link Discovery

action to Day Zero Frequently used Used whenever a Discovery action is linked to it i s Day Zero If not already logged into AFS, execute HOD and logon to mainframe. Go to AIRS main menu and select Update AFS Online. Supply the State, County and Plant ID. Update Plant Action by providing the Key action Number, Action Type & Date Achieved of the Discovery Action on the action linking screen. Press ENTER to SAVE. 4 minutes If not already logged into ICIS

air, point browser to https://icisairtest.epa.gov/icis and logon using WAM User ID and password. Select AIR then search for desired facility. If Discovery action has already been entered, Click Case Files. S elect Case File Id from list. Click Compliance Monitoring activities. Click LIST TO LINK. Select desired CM activities to be linked to Case file. Click LINK. If Discovery action has not already been entered, first add CM activity and then link it to th e Case File. 2 minutes if Discovery action already exists; 3.5 minutes if Discovery action does not exist58 If already logged into AFS, Update Plant Action by providing the Key action Number, Action Type & Date Achieved of the Discovery Action on the action linking screen. Press ENTER to SAVE. 1 minute If already logged into ICIS

- air, select AIR then search for desired facility. If Discovery action has already been entered, Click Case Files. Select Case File Id from list. Click Compliance Monitoring activities. Click LIST TO LINK. Select desired CM activities to be linked to Case file. Click LINK. If Discovery action has not already been entered, first add CM activity and then link it to the Case File. 1 minutes if Discovery action already exists; 1.5 minutes if Discovery action does not exist

13 Add/Link NOV action to

Day Zero Frequently used Used whenever an NOV is Added/linked to it i s Day Zero If not already logged into AFS, execute HOD and

logon to mainframe. Go to AIRS main menu and select Update AFS Online. Supply the State, County & Plant ID. Update Plant Action by providing the Key action Number, Action Type & Date Achieved of the NOV Action on the action linking screen. Press ENTER to SAVE. 4 minutes If not already logged into ICIS

air, point browser to https://icisairtest.epa.gov/icis and logon using WAM User ID and password. Select AIR then search for desired facility. If NOV action has already been entered, Click Case Files. Select Case File Id from list. Click Enforcement activiti es. Click LIST TO LINK. Select desired Informal Enforcement activities to be linked to Case file. Click LINK. If NOV action has not already been entered, first add NOV activity and then link it to the Case File. 2 minutes if NOV action already exists; 3 .5 minutes if NOV action does not exist59 If already logged into AFS, Update Plant Action by providing the Key action Number, Action Type & Date Achieved of the NOV Action on the action linking screen. Press ENTER to SAVE. 1 minute If already logged into ICIS

- air, select AIR then search for desired facility. If NOV action has already been entered, Click Case Files. Select Case File Id from list. Click Enforcement activities. Click LIST TO LINK. Select desired Informal Enforcement activities to be linked to Case file. Click LINK. If NOV action has not already been entered, first add NOV activity and then link it to the Case File. 1 minutes if NOV action already exists; 1.5 minutes if NOV action does not exist

14 Add/Link Addressing

action to Day Zero Frequently used Used whenever an Addressing is Added/linked to it i s Day Zero If not already logged into AFS, execute HOD and

logon to mainframe. Go to AIRS main menu and select Update AFS Online. Supply the State, County & Plant ID. Update Plant A ction by providing the Key action Number, Action Type & Date Achieved of the Addressing action on the linking screen. Press ENTER to SAVE. 4 minutes If not already logged into ICIS

air, point browser to https://icisairtest.epa.gov/icis and logon using WAM User ID and password. Select AIR then search for desired facility. If Addressing action has already been entered, Click Case Files. Select Case File Id from list. Click Enforcement activities. Click LIST TO LINK. Select desired Enforcement activities t o be linked to Case file. Click LINK. If Addressing action has not already been entered, first add addressing activity and then link it to the Case File. 2 minutes if addressing action already exists; 3.5 minutes if addressing action does not exist60 If already logged into AFS, Update Plant Action by providing the Key action Number, Action Type & Date Achieved of the Addressing action on the action linking screen. Press ENTER to SAVE. 1 minute If already logged into ICIS

- air, select AIR then search for desired facility. If Addressing action has already been entered, Click Case Files. Select Case File Id from list. Click Enforcement activities. Click LIST TO LINK. Select desired Enforcement activities to be linked to Case file. Click LINK. If Addres sing action has not already been entered, first add addressing activity and then link it to the Case File. 1 minute if addressing action already exists; 3.5 minutes if addressing action does not exist

15 Add/Link Resolution

action to Day Zero Frequently used Used whenever a Resolution action is Added/linked to it i s Day Zero If not already logged into AFS, execute HOD and

logon to mainframe. Go to AIRS main menu and select Update AFS Online. Supply the State, County & Plant ID. Update Plant Action by p roviding the Key action Number, Action Type & Date Achieved of the Resolution action on the linking screen. Press ENTER to SAVE. 4 minutes If not already logged into ICIS

air, point browser to https://icisairtest.epa.gov/icis and logon using WAM User ID an d password. Select AIR then search for desired facility. Click Case File. Select desired Case file. Scroll down to Pathway Activities. Click on the Addressing Action to edit the record and navigate to the Final Order sublink. Click the desired Final Ord er and an Air Resolved date on the Dates tab. Scroll to bottom of page and click SAVE. 2.5 minutes61 If already logged into AFS, Update Plant Action by providing the Key action Number, Action Type & Date Achieved of the Resolution action on the linking screen. Press ENTER to SAVE. 1 minute If logged into ICIS

- air, select AIR then search for desired facility. Click Case File. Select desired Case file. Scroll down to Pathway Activities. Click on the Addressing Action to edit the record and navigate to t he Final Order sublink. Click the desired Final Order and an Air Resolved date on the Dates tab. Scroll to bottom of page and click SAVE. 1.5 minute

16 Add/Link Lead change

action to Day Zero infrequently used Used whenever a Lead changes takes place for an HPV If not already logged into AFS, execute HOD and

logon to mainframe. Go to AIRS main menu and select Update AFS Online. Supply the State, County & Plant ID. Update Plant Action by providing the Key action Number, Action Type & Date Achieved of the Lead Change action on the linking screen. Press ENTER to SAVE. 4 minutes If not already logged into ICIS

air, point browser to https://icisairtest.epa.gov/icis and logon using WAM User ID and password. Select AIR then search for desired facility. Click Case File. Select desired Case file. Scroll down to Pathway Activities. If Case has not been Addressed, point to the Addressing Action and to the pull down list for OTHER. Select LEAD CHANGE & supply a date. Scroll to bottom of page and click SAVE. If Case has already been Addressed, point to the Resolving Action and to the pull down list for OTHER. Select LEAD CHANGE & supply a date. Scroll to bottom of page and click SAVE. 2.5 minutes62 If already logged into AFS, Update Plant Action by providing the Key action Number, Action Type & Date Achieved of the Lead Change action on the linking screen. Press ENTER to SAVE. 1 minute If already logged into ICIS

- air, select AIR then search for desired facility. Click Case File. Select desired Case f ile. Scroll down to Pathway Activities. If Case has not been Addressed, point to the Addressing Action and to the pull down list for OTHER. Select LEAD CHANGE & supply a date. Scroll to bottom of page and click SAVE. If Case has already been Addressed, point to the Resolving Action and to the pull down list for OTHER. Select LEAD CHANGE & supply a date. Scroll to bottom of page and click SAVE. 1.5 minutes

17

Change Plant General Moderate use Used when a Plant Name, Street address, City Name, Zip Code, NAICS or Governmental Facility Code changes are needed in AFS If not already logged into AFS, execute HOD and

logon to mainframe. Go to AIRS main menu and select Update AFS Online. Supply the State, County & Plant ID. Update Plant Identification a nd Update desired Plant General fields (Plant Name, Street Address, City Name, Zip Code, NAICS or Governmental Facility Code. Press ENTER to SAVE. 5 minutes If not already logged into ICIS

air, point browser to https://icisairtest.epa.gov/icis and logon us ing WAM User ID and password. Select AIR then Search for Facility. Select facility from Search list. Update Plant Name, Street Address and Zip Code. Select SAVE. 3 minutes

If already logged into AFS, Update desired Plant General fields (Plant Name, Street Address, City Name, Zip Code, NAICS or Governmental Facility Code. Press ENTER to SAVE. 2 minutes If logged into ICIS

- air, search for desired facility. Select AIR then search for desired facility. Select facility from search list. Update P lant Name, Street Address and Zip Code. Select SAVE. 1.5 minutes63

18 Change to Operating

status Moderate use Used whenever the operating status of a regulated air program changes If not already logged into AFS, execute HOD and

logon to mainframe. Go to AIRS main menu and select Update AFS Online. Supply the State, County & Plant ID. Go to Plant Air Program and supply the desired air program. Update the Operating Status field. Press ENTER to SAVE. 4 minutes If not already logged into ICIS

air, point browser to https://icisairtest.epa.gov/icis and logon using WAM User ID and password. Select AIR then Search for Facility. Select facility from Search list. Select Air Programs. Select the Air Programs Description link. Enter Operating Status in Edit Current Operating Status. Select SAVE. 3 minutes

If already in desired facility, go to Update Plant Air Program and supply the desired Air Program. Update the Operating Status field. Press ENTER to SAVE. 1 minute If logged into ICIS

- air, search for desired facility. Select AIR then search for desired facility. Select facility from search list. Select Air Programs. Select the Air Programs Description link. Enter new Operating Status in Edit Current Operating Status. Select SAVE. 1 minute

19 Change Compliance

Status Frequent Used whenever the Compliance status of a pollutant or facil i ty changes If not already logged into AFS, execute HOD and

logon to mainframe. Go to AIRS main menu and select Update AFS Online. Supply the State, County & Plant ID. Go to Update Plant Air Program Pollutant, supply Air Program and Air Program Pollutant and update State Pollutant Compliance Status. Press ENTER to SAVE. 4 minutes Not needed for ICIS

- air N/A6 4 If already in desired facility, go to Update Plant Air Program Pollutant, supply Air Program and Air Program Pollutant and update State Pollutant Compliance Status. Press ENTER to SAVE. 1 minute

20 Change a Compliance

Monitoring action Moderate use Used to modify the results of a stack test or add the received date to a TVACC; also used to correct data entry errors on an action If not already logged into AFS, execute HOD and

logon to mainframe. Go to AIRS main menu and select Update AFS Online. Su pply the State, County & Plant ID. Go to Update Plant Action, supply Action Number, update Results Code and Date Achieved. Press ENTER to SAVE. 4 minutes If not already logged into ICIS

air, point browser to https://icisairtest.epa.gov/icis and logon usi ng WAM User ID and password. Select AIR then Search for Facility. Select facility from Search list. Select Compliance Monitoring. Filter to find Stack Tests. Select Compliance Monitoring ID/Activity Id from filtered list. Select new Stack Test Statu s. Select SAVE. 3.5 minutes

If already in desired facility, go to Update Plant Action, supply Action Number, update Results Code and Date Achieved. Press ENTER to SAVE. 1 minute If logged into ICIS

- air, search for desired facility. Select AIR then search for desired facility. Select facility from search list. Select Compliance Monitoring. Filter to find Stack Tests. Select Compliance Monitoring ID/Activity Id from filtered li st. Select new Stack Test Status. Select SAVE. 1 minute65

21 Modify CMS data for a

facility Moderate use Used to modify CMS Category (class changes) If not already logged into AFS, execute HOD and

logon to mainframe. Go to AIRS main menu and select Update AFS Online. Supply the State, County and Plant ID. Go to Compliance Monitoring Strategy and update CMS Category. Press ENTER to SAVE. 4 minutes If not already logged into ICIS

air, point browser to https://icisairtest.epa.gov/icis and logon using WAM User ID and password. Select AIR then Search for Facility. Select facility from Search list. Select CMS. Select CMS Start Date link. Change CMS Category. Select SAVE. 3 minutes

If already in desired facility, go to Compliance Monitoring Strategy and update CMS Category. Press ENTER to SAVE. 1 minute If logged into ICIS

- air, search for desired facility. Select AIR then search for desired facility. Select facility from search list Select CMS. Select CMS Start Date link. Change CMS Ca tegory. Select SAVE. 1 minute

22 Archive/Dearchive a

facility Infrequent use Used when a facility has inactive for >5 years If not logged on, use HOD to LOGON to the

mainframe, select Update AFS Online and Select Option 4 of the Main Menu than Utility Menu Option 6 (Archive) or Option 7 (De

- archive). Supply State, County and Plant ID. Press ENTER to SAVE. If manual Utility User, select Option 11 (submit Current Utility File to process the file. 5 minutes Not needed for ICIS

- air N/A66 If already logged onto the mainframe, Select Option 4 of the Main Menu than Option 6 (Archive) or Option 7 (De

- archive) on the Utility menu. Supply State, County and Plant ID. Press ENTER to SAVE. If manual Utility User, select Option 11 (submit Current Utility F ile) to process the file. 2 minutes

23 Delete information Moderate use Used to remove duplicates or data entry errors If not logged on, use HOD to LOGON to the

mainframe, select Update AFS Online and Select Option 4 of the Main Menu than Utility Menu Option 2 (Delete Information), Plant Level. Supply the State, County & Plant ID. If not deleting the entire facility, also provide key information for desired record. Press ENTER to SAVE. If manual Utility User, select Option 11 (submit Current Utili ty File) to process the file. 5 minutes If not already logged into ICIS

air, point browser to https://icisairtest.epa.gov/icis and logon using WAM User ID and password. Select AIR then Search for Facility. Select facility from Search list. Select Compl iance Monitoring. Filter to find action. Select Delete for action to be deleted on filtered list. Select YES to delete. 4 minutes67 If already logged onto the mainframe, select Update AFS Online and Option 4 of the Main Menu; Select Utility Menu Option 2 (Delete Information), Plant Level. Supply the State, County & Plant ID. If not deleting the entire facility, also provide key information for desired record. Press ENTER to SAVE. If manual Utility User, select Option 11 (submit Current Util ity File) to process the file. 2 minutes If logged into ICIS

- air, search for desired facility. Select AIR then search for desired facility. Select facility from search list Select Compliance Monitoring. Filter to find action. Select Delete for actio n to be deleted on filtered list. Select YES to delete. 2 minutes

24 Source Swap Infrequent use Used to change the geographic location or plant ID If not logged on, use HOD to LOGON to the

mainframe, select Update AFS Online and Option 4 of the Main Menu than Utility Menu Option 5 (Source Swap). Supply current State, County and Plant ID and new State, County and Plant ID. Press ENTER to SAVE. If manual Utility User, select Option 11 (submit Current Utility File) to process the file. 5 minutes

Not needed for ICIS

- air N/A

If already logged onto the mainframe, Select Option 4 of the Main Menu than Option 5 (Source Swap) on the Utility menu. Supply current State, County and Plant ID and new State, County and Plant ID. Press ENTER to SAVE. If manual Utility User, select Option 11 (submit Current Utility File) to process the file. 2 minutes68

25

User JCL Parameters Infrequent use Used to provide or changes defaults user JCL parameters If not logged on, use HOD to LOGON to the

mainframe, select Update AFS Online and Select Option 4 of the Main Menu; Option Utility Menu Option 8 (User JCL Parameters). Enter new JCL parameters. Press ENTER to SAVE. 6 minutes

Not needed for ICIS

- air N/A

If already logged onto the mainframe, Select Option 4 of the Main Menu; Option Option 8 (User JCL Parameters) on the Utility menu. Enter new JCL parameters. Press ENTER to SAVE. 3 minutes

26 Table File Lookup Frequent use Used to obtain valid table values either online or hard copy If not logged on, use HOD to LOGON to the

mainframe, select Update AFS Online and Select Option 4 of the Main Menu than Utility Menu Option 9 (Table File Lookup). Select desired table, List On

- line or Batch. Supply desired filter fields. Press ENTER to view table va lues or run batch report. 5 minutes

Not needed for ICIS

- air N/A

If already logged onto the mainframe, select Option 4 of the Main Menu than Utility Menu Option 9 (Table File Lookup). Select desired table, List On

- line or Batch. Supply desired filter fields. Press ENTER to view table values or run batch report. 2 minutes69

27 Update AFS Plant ID Infrequent use Used to add/change an AFS ID for a facility (used for TV Permit information If not logged on, use HOD to LOGON to the

mainframe, select Update AFS Online and Select Option 4 of the Main Menu than Utility Menu Option 10 (Update AFS Plant ID). Supply current and new AFS ids. Press ENTER to SAVE. If a manual Utility user, select Option 11 from the Utilit menu to process the request. 4 minu tes

Not needed for ICIS

- air N/A

If already logged onto the mainframe, Select Option 4 of the Main Menu than Option 10 (Update AFS Plant ID). Supply current and new AFS ids. Press ENTER to SAVE. If a manual Utility user, select Option 11 from the Utility menu to process the request. 2 minutes

28 Submit Utility File Moderate use Used whenever a Manual Utility User needs to submit a utility request If not logged on, use HOD to LOGON to the

mainframe, select Option 4 of the Main Menu than Utility Menu Option 11 (Submit Current Utility File). Supply Utility file name or accept default name, supply reject file name. Press ENTER to continue to JCL page to process. 5 minutes Not needed for ICIS

- air N/A70 If already logged onto the mainframe, Select Optio n 4 of the Main Menu than Option 11 (Submit Current Utility File). Supply Utility file name or accept default name, supply reject file name. Press ENTER to continue to JCL page to process. 2 minutes