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
- 20 14
- 0523 1 (b) ABSTRACT: Air Stationary Source Compliance and Enforcement Information Reporting is an activity whereb y delegated State, L ocal, Tribal , Territorial and Commonwealth governments (hereafter referred to as " delegated agencies ") make air stationary source compliance and enforcement information available to the U.S. Environmental Protection Agency (the EPA or the Agency) on a cyclic basis
. This information is provided to the EPA via input to the current Air Facility Sy stem (AFS) until mid
- October 2014, and via input to the modernized AFS

– the air component of the Integrated Compl iance Information System (I CI S
- Air) . At that time , AFS will be replaced by I CI S
- Air
. IC IS
- Air is a sub
- component of IC IS , which provides compliance and enforcement information on thousands of facilities regulated under numerous federal statutes, with parti cular focus on determining compliance for the Clean Water Act

– National Pollutant Discharge and Elimination System (NPDES) program
. Many delegated agencies use AFS and , in the future , will use IC IS
- Air as their own data s ys tem , while others electronicall y report data to the EPA from their own s ys tems. The information provided to the EPA includes compliance activities and determinations, and monitoring and enforcement activities. The EPA uses this information to assess progress t oward meeting regulatory requirements developed under the authority of the CAA to protect and maintain air quality , public health , and the environment . The EPA and many of the delegated agencies access the data currently in AFS to a ssist them in managing their air pollution control programs. This is expected to continue with the new ICIS
- Air.

(i ) Terms of Clearance The following Terms of Clearance were given b y OMB in the prior IC R, 0107. 10 : "This ICR extension is approved for 3 ye ars. Resubmittal of this I CR for extension should provide updated description of Agency plans to improve the AFS reporting sy stem and the likel y changes in respondent burden expected to result from sy stem changes." Plans for improving AFS :2

The EPA Office of Compliance has been preparing for the modernization of AFS and implementation of IC IS
- Air since FY 2002. IC IS is a three phase multi
- ye ar modernization project which improves the ability of EPA, and delegated agencies to ensure compliance with the natio n ’ s environmental laws by enabling the collection and management of comprehensive compliance and enforcement information. The Agency will complete the modernization and integration of AFS with ICI S , and will switch over to the new modernized ICI S
- Air s ys tem in October 2014. The Agency expects the overall burden of data collection to be less than what delegated agencies have experienced while using AFS as the EPA national data sy stem. **Please note that in the final section of this supporting statement, the**  **EP A is providing the**  **burden estimates created in support of the previous 2010**  **ICR renewal requ est. This**  **information will be u pdated**  **in the fall of 2014 prior to issuance of the final I**  **CR renewal Federal Register (**  **FR )**  **notice. A t that time,**  **the Agency will be able to create a**  **new burden**  **estimate for use of ICIS -** **Air, as that system will be ready for implementation in the**  **fall of**  **2014. The**  **EPA also**  **will have completed key revisions to the High Priority Violators (HPV)**  **and Federally Reportable Violations (FRV) policies that will result in burden reductions**  **that can be estimated. Additionally, the**  **EPA will estimate the one -**  **time burden (experienced during the period**  **in which the current ICR** **, approved in January 2012, was**  **in place) associated with delegated**  **agency efforts to transition their reporting processes**  **from AFS to ICIS -** **Air. 2. NEED FOR AND USE OF THE COLLECTION**  2 (a) NEED/AUTHORITY FOR THE COLLECTION (i ) Authority While there is no single statutory requirement for data entry and collection in the CAA , the provisions of Section 114(a)(1) of the CAA, 42 U.S.C. Section 7414(a)(1), provide the EPA with broad authority to request reporting of information of the type sought by the Agency in this Information C ollection Request (ICR) . Furthermore, much of this collection activity is conducted pursuant to the following subsections of regulations implementing the CAA under Subpart Q

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

40 CFR 70.4(j)(1), which addresses s ubmission of information to the EPA by delegated agency permit authorities, and 40 CFR 70.10(c)(1)(iii), which addresses EPA oversight of delegated agency compliance and enforcement efforts for major sources under Title V operating permit program s. The inf

ormation is necessary

for the EPA to provide adequate oversight for Federal programs implemented by delegated agencies , such as the 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. These data are necessary for implementation of the air compliance and enforcement programs at either the Federal or delegted agency level. Fin all y, the3

information is necessary

for the EPA to fulfill its oversight responsibilities to ensure that State Implementation Plans (SIPs) fulfill the testing, inspection , and enforcement requirements of 40 CFR 51.212 on an ongoing basis. Much of the need f or this collection is outlined in s everal EPA guidance documents: ( 1) the Clean Air Act Stationary Source Compliance Monitoring Strategy (CMS) of July

14, 2014 ; ( 2) the Timel y and Appropriate (T&A) Enforcement Response to High Priority Violati ons (the 2014 HPV Policy) ; ( 3) the Clean Air Act National Stack Te sting Guidance of April 27, 2009 (Stack Test Guidance) ; and ( 4) the Clarification Regarding F ederall y- Reportable Violations for Clean Air Act Stationary Sources of March 22, 2010 (the 2010 FRV Policy)
.

(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 th e delegated agencies in the prevention and control of air pollution. However, under the CAA, the EPA has the ultimate responsibility to ensure the protection of the health and welfare of the American public and the environment . To meet these responsibiliti es, the EPA provides guidance to the delegated agencies and conducts oversight of the compliance monitoring and enforcement activities of the delegated agencies
. The cyclic reporting of s ource characterization, compliance , and enforcement information is the subject of this renewal ICR
. 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. Reporting the MDRs, which are listed in Table 1 in Section 4(b), is critical in prioritizing programs and conducting national evaluations. In addition, reporting the MDRs enables the Agency to respond in a timely

manner to requests for information with accurate, nationally defined , and nationally

comprehensive data. These data provide public transparency on national compliance and enforcement activities for the CAA stationary

source program. All four of the aforementioned policies need these data as follows:

- CMS

– The CMS e stablishes a baseline compliance monitoring program with emphasis on CAA Title V major sources (as defined by CAA §501(2)) and a limited subset of synthetic minor sources , while providing delegated agencies with the flexibility to address local air p ollution and compliance concerns. The CMS also establishe s a framework of minimal data requirements for reporting to the EPA . This information , collected in AFS and soon in IC IS
- Air, is a critical component of the implementation of the CMS.

- Stack Test Guidance

– The EPA developed the stack testing guidance to improve uniformity

in conducting stack tests and promote coordination among the EPA and delegated agencies
. AFS is, and IC IS
- Air will become, one of the Agency ’ s vehicles for tracking and evaluating stack test data.4

- The FRV Policy

– The EPA developed the 2010 FRV Policy to balance a commitment to transparency

and sharing information with the public about pollution and violations that affect their communities with the need to prioritize the use of limited resources available to CAA implementing agencies. The FRV Policy supports the Agency in managing the national CAA compliance and enforcement program. AFS is, and ICIS
- Air will become, one of the Agency ’ s vehicles for data collection that support s policy anal ys is and evaluation; targeting efforts; and meet s public expectations for accessible, detailed information. The data collected also inform oversight activities conducted by the EPA
.

- The HPV Policy

– The EPA developed the 2014 HPV Policy to help Federal, and delegated agencies prioritize enforcement efforts with respect to sources of air pollution in their jurisdictions. The HPV Policy addresses a subset of CAA violations, called High Priority Violations or HPVs that the Agency believes warrant additional scrutiny to ensure that delegated agencies respond to such violations in an appropriate manner and, if needed, have access to federal assistance. ICIS
- Air will support reporting HPV activity in its entirety : discovery , advisement, addressing, and resolution. The EPA uses the data, which is currently reported in AFS and will be reported in the future in IC IS
- Air, in important way s including the following: Data concerning stationary source compliance monitoring and enforcement program s is critical to conducting oversight of delegated agency compli ance 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 have developed a framework for conducting reviews of core monitoring and enforcement activities in the CAA, Clean Water Act ( C WA) , and the Resource Conservati on and Recovery Act (RCRA) programs. The OECA/ECOS State Review Framework (SRF) was developed to provide a national state enforcement program overs ight s ys tem to promote consistency in the level of oversight, state compliance and enforcement activities, and environmental protection across the country
. Reviews were initiated in 200 4, and have occurred in 4
- ye ar cycles. Each state now has two reviews completed and the E PA is currentl y i n the third round of national review s . Each review begins with an analysis of data metrics . P aramount to these reviews is the data contained in AFS, and its successor, IC IS
- Air , for the CAA. The SRF reviews have become a tool for collaborative problem solving regarding delegated agency performance in five elements covering compliance monitoring, civil enforcement, and data management. Specific data from IC IS
- Air will be provided to the EPA Web site , ECHO, (http://www.epa.gov/echo ) which allows the public to access compliance and enforcement information on approximately 800,000 regulated facilities nationwide. ECHO is updated via weekl y data extract s from IC IS
. In addition to ECH O , data from ICIS
- Air is included in the EPA 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 measures5

satisfying the Government Performance Results Act requirements.

(iii) Reasons for Need for Data as Part of this Renewal ICR This renew al introduces the following changes that will reduce the data reporting burden as compared to the current IC R , approved in January 2012 :

 CMS and Data : The CMS provides national consistency in developing stationary

source CAA compliance monitoring programs while allowing delegated agencies flexibility to address local air pollution and compliance problems. The policy assists in improving communication between the delegated agencies and Regions on stationary source air compliance monitoring programs, and enhancing EPA oversight of these programs. In providing a framework for developing such programs, the policy also provides a mechanism for recognizing and utilizing the wide range of tools available for evaluating and determining compliance. In collaboration with our enforcement partners, the EPA revised the CMS in 20 14 to account for changes in the CAA compliance and enforcement program . The CMS requires delegated agencies to submit a CMS plan biennially (based upon Federal fiscal ye ar) for Agency

approval. As part of the overall process, delegated agencies and Regions are to maintain records of their compliance monitoring activities, and enter facility
- specific compliance and enforcement data, including data concerning federally reportable violations and high priority violations, in the national air compliance and enforcement data s ys tem. This information collection is a critical component of CMS implementation. In furtherance of national oversight, the CMS focuses on Title V major sources and sy nthetic minor sources that emit , or have the potential to emit , at or above 80 percent of the Title V major source threshold (SM
- 80s). Minimum frequencies for compliance evaluations to be conducted by delegated agencies are recommended for making compliance determinations at Title V M ajor Sources and SM
- 80s. However, pursuant to the flexibility

provided in the CMS, delegated agencies may propose alternative CMS plans and nego tiate alternative evaluation frequencies to address important local compliance issues. The CMS has explicitly

recognized that various tools ranging from self
- certifications to traditional stack tests are available and should be used to evaluate compliance . The use of all such tools can help achieve efficiencies and reduce expenses. However, in response to the expanding universe of regulated sources and our increasing mandates, the EPA has continued to seek new way s to widen the range of complianc e monitoring activities available for determining compliance. Therefore, the CMS finalized in July 2014 further increase s the flexibility of delegated agencies when conducting compliance monitoring activities through an expanded set of tools for determining complian ce and for addressing6

local air pollution and compliance concerns. As a result of a national dialogue with national and regional organizations representing air compliance and enforcement programs , as well as the individual delegated agencies , the Agency ha s expanded what constitutes compliance monitoring while maintaining program integrity. The revised CMS recogniz es the need for the compliance monitoring program to evolve and incorporate new technologies and innovative compliance monitoring approaches
. The 2014 CMS takes into account the opportunities created by advanced monitoring technologies such as geospatial measurement of air pollution, fence
- line monitoring, infrared cameras , and photoionization detectors. This information collection allows the EPA to carry out its oversight responsibilities and evaluate overall delegated agency compliance monitoring programs. In accordance with the CMS, any

applicable CMS source that begins operations is to be reported into I CI S
Air and given a CMS indicator and appropriate evaluation frequency . If an alternative CMS plan is negotiated to allow the shifting of resources from Title V majors and/or SM
80s to other sources not addressed b y CMS (e.g., true minors), all applicable MDRs are to be reported to ICIS
- Air f or all sources in the alternative plan. Delegated agencies are to enter compliance and enforcement data for their CMS sources within 60 days (within 120 day s for stack test date and results). The compliance monitoring types of Full Compliance Evaluation s (FCEs), Partial Compliance Evaluations (PCEs) , and Investigations are activities that must be reported at the facility

level in ICI S
- Air. FCEs are to be reported into I CI S
- Air as either on
- site or off
- site. Off
- site FCEs are to be reported onl y when del egated agencies are able to complete an FCE without having to conduct an on
- site visit to assess control devices and process operating conditions. The reporting of PCEs is not an MDR for delegated agencies except when they are part of an alternative CMS pl an and/or when they lead to discovery of an HPV. To assist in reporting PCEs, there are several specific PCE activities that may

be reported into I CI S
- Air. Delegated agencies also are to report data concerning Title V annual compliance certifications rev iewed. In addition, the CMS status in I CI S
- Air will automatically change to “overdue” if an FCE is not completed within the recommended evaluation frequencies or in accordance with negotiated alternatives that extend the recommended evaluation frequencies
.
 Guidance on Federally

-Reportable Violations for Clean Air Act Stationary Sources (FRV Policy) and Data : In coordination with national and regional organizations representing air compliance and enforcement programs at the delegated agency level as well as with individual delegated agencies , the EPA is finalizing a revised FRV Policy which will supersede the 2010 FRV clarification memo
. Itis scheduled to be issued in September 2014. The EPA has developed the revised FRV Policy in response to the concerns raised7

by delegated agencies regarding resource constraints and reporting burden associated with the 2010 FRV Clarification Memo. The revised FRV Policy

is the result of the EPA effort to balance a commitment to transparency

and sharing information with the public about pollution and violations that affect their communities with the need to prioritize the use of limited resources available to CAA implementing agencies. The policy also reflects modernization of the national air compliance and enforcement data sy stem. The revised policy

will reduc e the overall reporting burden
. FRV reporting is important, as it supports the Agency in manag ing the national CAA compliance and enforcement program. The collected data support: policy analysis and evaluation; targeting efforts; and me eting public expectations for accessible, detailed information
. They also inform oversight activities
. The reduction in rep o rting burden is achieved primarily through a change to limit the universe of source s whose violations of federall y enforceable requirements are reportable. The new applicable universe of sources is: Title V Major Sources ; SM
- 80 s ources; sources included in an alternative CMS plan; and any source at which a HPV has been identified. This source universe aligns with the CMS policy ; thus, providing consistency

to the delegated agencies. The narrow ed universe of sources reduces the overall burden of reporting CAA violations, which in turn, is anticipated to result in improved data completeness and accuracy . As stated in the revised policy , FRVs are those violations of federally enforceable CAA requirements at a source within the applicable universe stated above. FRVs include violations of any

emission lim itation, 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 by pe rmit 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 implementing delegated agency regulation, and pollutant(s), where applicable, associated with the violation. FRVs are expected to be reported when a compliance determination is made. Generall y, FRV s should be reported to ICIS
- Air within 60 day s of the determination. The FRV may be des ignated as “enforcement sensitive” in I CI S
- Air, but once a notice of violation i s issued, the designation should be removed.8

 The Timely and Appropriate Enforcement Response to High Priority Violations Policy : The HPV Policy , revised in 2014, provides a si gnificant revision to the 1998 policy , and supersedes the 1998 version. The HPV Policy addresses a subset of CAA violations, called High Priority

Violations or HPVs that the EPA believes warrant additional scrutiny to ensure that delegated agencies respond to such violations in an appropriate manner and, if needed, have access to federal assistance. The policy provides criteria used to identify an HPV and outlines the appropriate enforcement response expected from a delegated agency . Delegated agencies are responsible for reporting data about HPV violations if the violations occur at: (1) Title V Major Sources; and (2) any non - Title V M ajor Source stationary

source subject to a CMS plan for a specific delegated agency . The revised 2014 HPV Policy 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 most likely pose significant risks for human health and the environment or that are essential for maintenance of important 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 classified as an HPV, and a s 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 that such violation does not warrant additional tracking, delegated agencies should be able to reprioritize their efforts. The revised HPV policy provides e xplicit mechanisms to remove the matter from HPV oversight. Because these decisions will be made 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. 2 (b) USE/USERS OF THE DATA There are many way s in which the EPA, delegated agencies , and the public use the CAA stationary source compliance and enforcement data. As stated previousl y, the MDRs represent the minimum amount of data the Agency believes is necessary for effective management of the national air stationary

source compliance monitoring and enforcement program. Some of the key uses of the data on a national basis are to:

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

 Develop compliance monitoring and enforcement strategies;

 Target compliance monitoring activities and track enforcement actions;9

 Provide the public with transparent access to compliance monitoring and enforcement activities under federal statutes ;

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

 Assist in identifying national trends and issu es ;

 Develop new measures of regulatory program success;

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

 Standardize delegated agency reporting to EPA;

 Conduct regulatory

analyses;

 Support multimedia initiatives which inte grate quarterl y reports of air, water, and land disposal compliance data;

 Provide timely

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

 Provide a forum and model of successful delegated agency compliance programs (that include Federal data reporting) which can be used by other agencies in the development or expansion of their existing programs. 2(c) ABOUT IC IS
- AIR IC IS
- Air, like AFS , is a management information system designed to track compliance and enforcement information. It is a modern web
- based sy stem which provides eas y desktop access to historical and current records for the EPA, and delegated agency staff involved in compliance and enforcement activities. IC IS
- Air promotes better data sharing with delegated agencies and other partners. The following are important facets of I CI S
- Air:

 IC IS
- A ir will provide both electronic submission and Graphical User Interface (GUI) capabilities for d elegated agency users .  EPA users primaril y will utilize the IC IS
- Air GUI and in specific instances (e.g. , Federal m onitoring activities) also may have electronic submission capabilities
.  IC IS
- Air will provide modern and streamlined techniques to support electronic transfer of data from delegated agencies to the EPA.  IC IS
- Air will implement robust security features to ensure the integrity of the software and data, protect confidentiality of data, and maximize availabil ity to users
.  IC IS
- Air will follow the EPA standards for software and hardware development,10

including the use of the Central Data Exchange (CDX) and EPA/ECOS data standards
.  IC IS
- Air will continue to support baseline MDRs necessary to support the national air stationary source enforcement and compliance assurance program.  IC IS
- Air will contain a set of streamlined data entry screens with sy stem - generation of data elements such as Law/Program selection based on user permissions and system require d entry

of onl y M DR data elements
.  IC IS
- Air will eliminate the need for double data entry of federal Air data into AFS and IC I S IC IS
- Air is designed to meet the currently approved MDRs. Hence, the ty pe of information (e.g., basic facility information, C MS data, applicable air programs, regulated pollutants, actions, and violations) reported into the new s ys tem remains essentially the same. However, there are some changes in how the current MDRs will be reported into I CI S
- Air. T o fully capture some MD Rs, I CI S
- Air may require some additional mouse clicks or key strokes. In spite of the additional clicks or key strokes for reporting, we anticipate significant efficiencies in reporting and an overall reduction in reporting burden for both direct users, as well as those using electronic data transfer (EDT) to report MDRs. System efficiencies will be realized through several means such as: (1) IC IS
- Air auto
- populates data fields to the greatest extent possible based on characteristics of the record type being added or information known about the person adding the record. (2) Drop
- down menus of values and type - ahead functionality are provided wherever possible to facilitate entry

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

er 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.” 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 longer be required to be entered or subsequently changed to reflect a return to compliance. Instead, only violations will be reported into the new system. This change is being made at the request of delegated agencies
. Also, delegated agencies 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 S ys tem (FRS). In addition to the above system efficiencies, programmatic changes resulting from revisions to both the HPV and FRV policies will result in an overall reduction in reporting burden. In regard to the 2014 HPV Policy , the EPA designed ICIS
- Air to capture the various means currently

used by delegated agencies to advise the sources that an HPV has been identified (e.g., CAA 113 Notice of Violation letters, warning letters, electronic correspondence , meetings, teleconferences)
. Expanding the various forms of notice to the source to reflect the efforts of a delegated agency may increase the data reported (although onl y the initial advisement11

is required per the 2014 HPV Policy). Any increase, h owever, in reporting is more than offset b y (1) the changes in the HPV criteria that result in a smaller reportable universe and (2) the reduced reporting associated with removing a violation from HPV oversight
. Similarly, the revised FRV policy

changes the applicable source violation reporting universe to the CMS universe (i.e., Title V Major Source s, SM
- 80’s, sources in alternative plans) and sources that have had a violation designated as an HPV. This change will significantly reduce the number of violations that delegated agencies will be required to report as FRVs. 2 (d) PROGRAM CHANGES The discussions above about the policy and s ys tem changes summarize the program changes
. **3. NON -** **DUPLICATION, CONSULTATIO NS, 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 compliance and enforcement program. For EPA and the public, th e IC IS
- Air data will be the only national repository of national information on CAA stationary source compliance and enforcement activities. Delegated agencies generally collect the information as part of their customary business practice to manage their compliance and enforcement programs
. IC IS
- Air has been designed to capture the core program data. Roughl y a dozen delegated agencies will use IC IS
- Air as their own data sy stem for managing the MDRs and other data elements. Yet, many delegated agencies have their own data management systems
. M ost IC IS
- Air data will be received from agencies via electronic data transfer (EDT) processes from either single or multimedia sy stems
. (b) PUBLIC NOTICE REQUIRED PRIOR TO SUBMISSION TO OMB This is the first Federal Register notic e on thi s I CR renewal . EPA anticipates that the second and final FR notice will be published in November 2014. (c) CONSULTAT IONS EPA present s the renewal of this data collection to delegated agencies with nearl y identical data reporting requirements. Given the timing of the s ys tem modernization efforts to replace AFS with ICIS
- Air, EPA is not in a position to provide a rigorous , quantitative, sy stem based burden anal ys is through consultations with delegated agencies
. However, during the AFS modernization project, EPA initi ated a set of outreach, communication , and consultation efforts with all delegated agencies to: ensure clear communication of Agency plans; hear, understand and consider delegated agency perspectives; encourage delegated agencies to participate as12

partners in AFS modernization t asks; and help the EPA understand the barriers that delegated agencies face in achiev ing a major information s ystem transition. (d) EFFECTS OF LESS FREQUENT COLLECT ION 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 or at least six (6) times per year. This requ est was made to ensure that the data used b y the Agency was accurate and as timely as possib le , and provided the public with more current source information . Data received quarterl y were not providing capability for meaningful reviews at mid
- ye ar and end o f ye ar cycles. The EPA would prefer data reported on a monthly basis, and many agencies do report each month. If the EPA received data less frequentl y ( e.g. , quarterly) , review of ye arl y evaluation plans and addressing of h igh priority violators would be less timely
. With quarterl y reporting, yearly reviews could not be completed until January of the following fiscal year, which reduced their utility
. The timeliness of making this information available to the public suffered. The lack of timeliness al so added 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 42 251, September 20, 1978; and 44 FR 17674, March 23, 1979). (g ) SENSITIVE QUESTIONS This section is not applicable.13

**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 compliance data assembled b y the delegated agencies covers numerous NAICS categories. The delegated agencies that report to AFS , an d ICIS
- Air in the future, are defined as delegated grantees of the C AA . 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 del egated local agencies). The classification of small, medium, and large agencies is made based upon the number of major sources: 1
- 150 major sources are defined a s a small agency , 151
- 499 are defined as a medium agency , and 500 or more major sources are defined a s a large agency . Over the ye ars , the CAA stationary source program has experienced a steady decline in the number of major sources . This trend is continuing as shown below : 2001 AFS I CR: 89 agencies, 22,890 major sources 2005 AFS I CR: 93 agencies, 21,085 major sources 2008 AFS I CR: 93 agencies, 15,563 majo r sources 2011 AFS I CR: 99 agencies, 14, 511 major sources 2014 AFS I CR : 99 agencies, 13,880 major sources Reasons contributing to this 40 % decline in the number of major sources over the last thirteen ye ars include:

 A growing number of sources opting o ut of Title V by taking enforcement limits to keep emissions under the major source threshold level for a pollutant;  The reductions in emissions gained through impro v ed pollution control equipment, such that sources previously

considered Title V Major Sources can now qualify for non
- major status; and  EPA has replaced the standards for total suspended particulate (TSP) with standards for particulate matter of 10 micrometers or less (PM10) and fine particulate representing particles less than 2.5 micrometers in aerodyn amic diameter (PM2.5) which resulted in sources that were major for TSP being reclassified as non
- major for the separate pollutants. The list of agenc ies b y category can be found in Appendix 1 , Delegated Agency Classification by

Size
. (b) INFORMATION REQUESTED14 (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 for delegated agency compliance and enforcement activ ities. IC IS
- Air p rovides a platform to plan and track other information occurring at a facility from a tip/complaint, voluntary

disclosure, evaluation/ investigation, or through an informal/formal enforcement action. Table s 1 & 2 provide list s of the MDRs for renewal
. Table 1 provides a mapping of MD Rs previously

reported into AFS to the MDRs as they will be reported into IC IS
- Air. Table 2 provides , for reference, the previous MDR requirements as approved in the January 2012 IC R in 2012. The reportable universe of facilities for IC IS
- Air includes: Title V Major Sources , SM
80’s and Part 61 NESHAP facilities that are not Title V Minor Sources , other facilities identified within the CMS Evaluation Plan, any facility with a formal enforcement actio n and any facility with an HPV. Formal enforcement actions are defined as administrative orders, consent decrees, and civil or criminal referrals. Reportable informal enforcement actions are defined as Notices of Violation. An informal action will not include the assessment of a monetary penalty
. Notices of Violation with a proposed penalty should be reported as an administrative order under the delegated authority

of Section 113 of CAA. Additionally , facilities with formal enforcement are to be tracked in IC IS
- Air until the resolution of the violation, regardless of classification. For example, should an administrative order be issued to a facility that is not in a reportable universe , all information required to establish a facility record sh ould be added to IC IS
- Air
. The source should have any and all resulting enforcement activity entered into IC IS
- Air until resolution of the violation , as resources allow
. Delegated agencies are reminded of the requirement to report all applicable pollut ants emitted by

a facility, to include the particulate pollutants , PM10 and PM2.5. Record keeping : Data provided to the EPA by delegated agencies will be maintained by the EPA in IC IS
- Air
. Delegated agencies with data management sy stems are already maintaining the required data elements f or their program management purposes . The data are extracted and transferred to the EPA via E D T
. Delegated agencies without data management systems enter the data into IC IS
- Air via direct data entry on the web. Delegated agencies ar e not required to report these data elsewhere in other federal EPA s ys tems.

(ii) Respondent Activities The respondent (i.e., delegated agency) activities associated with reporting of compliance15

and enforcement actions are detailed in Worksh eet 1 in Section 6(a) below. These activities 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. Section 6 of this Supporting Statement describes the cost and burden of these respondent activities. Most of the burdens under Activity 1 are designated as Customary Business Practice , because the delegated agencies collect the information required by the EPA for their own program management purposes . Record Retention : I CI S
- Air users have the ability to delete data from the system that is no longer valid or that pertains to sources that are permanently closed. Users are required to maintain reportable MDR data in the sy stem for at least five (5) ye ars with the exception of data pertaining to HPVs and sources with minor formal enforcement actions. Sources with high priority violations are to be kept in I CI S
- Air regardless of operating status. Minor sources with formal enforcement actions should be maintained in I CI S
- Air for at least three (3) ye ars. Users are encouraged to archive permanently closed facilities after five (5) years unless HPV activity is contained within th e records.16 **TABLE 1 ICIS**  **- AIR:**  **R EPORTING**  **M INIMUM**  **D ATA**  **R EQUIREMENTS**  **– D**  **ELEGATED A**  **GENCIES** This table is intended to show how the current CAA stationary source compliance and enforcement mini mum data requirements (MDRs) will be reported into ICIS
- Air . As a result of the modernization from the mainframe to a web
-based system there are some changes to how the current MDRs will be reported. In some instances there is a difference between reporting requirements for web entry and electronic data transfer (EDT) in IC IS
- Air. An example is an activity identifier. In AFS, this is referred to as the Action Number. In ICIS
- Air, agencies that will report using EDT will provide an identifier for each activity reported, agencies that will report via the web will have an identifier generated for them. This differenc e exists to allow EDT agencies to report an identifier generated by their state or local agency system. Some data elements are only included in the table to highlight data that ICIS
- Air will generate in order to make better use of the existing MDR o r to make it more exact. For example, ICIS
- Air will generate an Air Program Operating Status Start Date to indicate when an Air Program was first applied to the facility and, if the operating status was changed, the date it was changed. Even though the f ield is not required to be reported, agencies may choose to override the generated value with the actual date to make it more exact. This table reflects ICIS
- Air as currently designed. Requests to change the design have been made that will affect how s om e MDRs are reported. As these changes are implemented, this table will be updated. Examples of changes expected include field name changes and generating values that are currently reported by the user. MDR Level Current
- AFS Reporting via Web

– ICIS
- Air Reporting via EDT

– ICIS
- Air Further explanation of specific data fields. **Facility Record**  **Facilities Facilities**  **Facilities** Facility ID *I CIS
- Air

Programmatic ID *AirFacilityIdentifier The Program ID is 18 alphanumeric characters comprised of the State or Tribe, LCON (where applicable), and 13 characters unique within the reporting agency. Facility Name *F acility Site Name *F acilitySiteName Street *Address *LocationAddressText City *City (GNIS City

Code or City Name) *LocationAddressCityCod e A change request has been submitted that will allow users to report a free text city name or a GNIS Feature ID. If the GNIS Feature ID is reported, the city name will be generated. State *State *LocationStateCode County >County (generated

based on the City) >County (generated based on the City) A change request has been submitted. If users report a free text city name, they will be required to report the county. If the GNIS Feature ID is reported, the county will be generated.17 MDR Level Current
- AFS Reporting via Web

– ICIS
- Air Reporting via EDT

– ICIS
- Air Further explanation of specific data fields. Zip Code *Zip Code *LocationZipCode NAICS Code or SIC Code *P rimary NAICS Code *NAICSPrimaryIndicator Code Government Ownership Facility Type of Ownership FacilityTypeOfOwnership Code >LCON (LCON users; generated based on User ID) *LCON (LCON users) The LCON field is used to identify a facility under a local control district’s jurisdiction. In AFS, users had to assign an LCON value to the facility in order to identify the agency with jurisdi ction. In ICIS
- Air, the LCON value will be generated based on the User ID of the person creating the facility. If the User ID is associated with an LCON, any facility created with that User ID will be associated with the LCON. + Portable Source Indicator

– County Code “777” ^Portable Source Indicator flag (Defaults to No. User must check box to indicate if it is a Portable Source.) ^PortableSourceIndicator (Defaults to No. User must submit the tag only to indicate that it is a Portable Source.) Instead of reporting ‘777’ in the county field to indicate a portable source, users will report a Portable Source flag. A permanent address should be reported for portable sources that corresponds to the owner or the address associated with a permit. Facility Programs All Applicable

Federally
- Enforceable Air Program(s) All Applicable Federally
- Enforceable Air Program(s) All Applicable Federally
Enforceable Air Program(s) Air Program *Air Program *AirProgramCode +Air Program Description +OtherProgramDescriptio nText If a user chooses to report the “Federally
- Enforceable Requirement” air program, they will be required to provide a description (e.g., ECL § 205.3). Air Program Operating Status *Air Program Operating Status *AirProgramOperatingSta tusCode ^Air Program Operating Status Start Date ^AirProgramOperatingSta tusStartDate This is not programmatically required data. This will be generated by ICIS
- Air and will default to the date the air program is first added or the date the operating status is changed. It is included in this table because users can optionally choose to ov erride the date prior to saving the record. Subparts for NSPS, NESHAP, MACT +Subparts +AirProgramSubpartCode Facility Pollutants Regulated

Pollutant(s) by Air Program Regulated Pollutant (s) Regulated Pollutant (s) Pollutant Code or CASN *P ollutant Name or CASN *AirPollutantsCode Pollutant *D elegated Agency *AirPollutantDAClassific18 MDR Level Current
- AFS Reporting via Web

– ICIS
- Air Reporting via EDT

– ICIS
- Air Further explanation of specific data fields. Classification Pollutant Classification ationCode ^Delegated Agency Pollutant Classification Start Date ^AirPollutantDAClassific ationStartDate This is not programmatically required data. This will be generated by ICIS
- Air and will default to the date the pollutant is first added or the date its classification is changed. It is included in this table because users can optionally choose to override the date p rior to saving the record. ^Status ^AirPollutantStatusIndicat or This is not programmatically required data. A default value of “active” is generated that users can override. The background process that generates the facility
- level classification only accounts for the classification of pollutants with a status of “active.” The alternative to tracking the “status” is to delete the pollutant, which will delete the history. Therefore, there will be no historical record of the pollutant for the facility. Compliance Status N/A N/A This MDR will not be reported in ICIS
- Air. But, reporting violations will continue to be required and will be reported on a Case File. Attainment Status N/A N/A This data will be provided through a data exchange with FRS. **CMS Record**  **CMS CMS**  **CMS** Facility ID >ICIS
- Air

Programmatic ID (generated based on parent Facility) *AirFacilityIdentifier
CMS Source Category *CMS Source Category *AirCMSSourceCategory Code ^CMS Start Date ^AirCMSStartDate Like AFS, the CMS Start Date corresponds to the CMS Source Category Code and Minimum Frequency Indicator combination. When a facility is first added to a CMS plan, the current date will be applied as the CMS Start Date and users may optionally override it . If a facility CMS Source Category Code changes to a category that has a more frequent recommended minimum frequency, the CMS Start Date will change to the date the change is made. Again, users my override this date. The original CMS Start Date will be stored as the CMS Origination Date and cannot be changed. CMS Minimum Frequency Indicator ^CMS Source Frequency Indicator (if there is a default minimum for selected Source Category) *AirCMSMinimumFreque ncy1 9 MDR Level Current
- AFS Reporting via Web

– ICIS
- Air Reporting via EDT

– ICIS
- Air Further explanation of specific data fields.
*CMS Source Frequency Indicator (if there is *not* a default minimum for selected Source Category) **FCE Record**  **FCEs FCEs**  **FCEs** Facility ID *I CIS
- Air

Programmatic ID *AirFacilityIdentifier Action Type (Lead Agency/On or Off Site inherent in action type) *Co mpliance Monitoring Activity Type *Co mplianceMonitoringA ctivityTypeCode As a result of the structure of ICIS, users must first identify via an Add Link the type of activity they wish to report (e.g., Inspection/Evaluation, Judicial Enforcement); EDT users will include the activity typ e in their XML submission. *Co mpliance Monitoring Type *Co mplianceInspectionTy peCode *Lead Agency *LeadAgencyCode Date Achieved +Actual End Date +ComplianceMonitoringD ate The system will save a compliance evaluation record that only has a Planned End Date. This is to facilitate planning per the CMS. But, the programmatic MDR remains the Actual End Date (known as the Date Achieved in AFS). Air Program(s) *Air Programs *P rogramCode +Other Air Program +OtherProgramDescriptio

nText If a user chooses to report the “Federally
- Enforceable Requirement” air program, they will be required to provide a description (e.g., ECL § 205.3). Action Number >Compliance

Monitoring Identifier (generated based on User ID of person adding record). *Co mplianceMonitoringId entifier Instead of submitting “99999” to generate a value in chronological order for the action number, ICIS
- Air will generate the activity identifier automatically wh en the record is created directly on the web. EDT users must provide the identifier, which will better enable tracking activities in ICIS
- Air for editing and linking. The identifier provided by EDT users must comprise the same format generated by ICIS
- Air for the web users (State + LCON + Program Code + Unique Identifier).20 MDR Level Current
- AFS Reporting via Web

– ICIS
- Air Reporting via EDT

– ICIS
- Air Further explanation of specific data fields. **PCE Record**  **PCEs are an**

**MDR when they are a discovery action for an**  **HPV or are included in a CMS alternative plan.**  **PCEs w ill continue**  **to be an MDR when they are a discovery action for an**  **HPV or are part of a CMS alternative plan.**  **PCEs w ill continue to be**  **an MDR when they are a discovery action for an HPV or**  **are part of a CMS alternative plan.**  Facility ID *I CIS
- Air

Programmatic ID *AirFacilityIdentifier Action Type (Lead Agency/On or Off Site inherent in action type) *Co mpliance Monitoring Activity Type *Co mplianceMonitoringA ctivityTypeCode As a result of the structure of ICIS, users must first identify via an Add Link the type of activity they wish to report (e.g., Inspection/Evaluation, Judicial Enforcement); EDT users will include the activity type in their XML submission. *Co mpli ance Monitoring Type *Co mplianceInspectionTy peCode *Lead Agency *LeadAgencyCode Date Achieved +Actual End Date +ComplianceMonitoringD ate The system will save a compliance evaluation record that only has a Planned End Date. This is to facilitate planning per the CMS. But, the programmatic MDR remains the Actual End Date (known as the Date Achieved in AFS). Air Program(s) *Air Programs *P rogramCode +Other Air Program +OtherProgramDescriptio

nText If a user chooses to report the “Federally
- Enforceable Requirement” air program, they will be required to provide a description (e.g., ECL § 205.3). Action Number >Compliance

Monitoring Identifier (generated based on User ID of person adding record). *Co mplianceMonitoringId entifier Instead of submitting “99999” to generate a value in chronological order for the action number, ICIS
- Air will generate the activity identifier automatically wh en the record is created directly on the web. EDT users must provide the identifier, which will better enable tracking activities in ICIS
- Air for editing and linking. The identifier provided by EDT users must comprise the same format generated by ICIS
- Air for the web users (State + LCON + Program Code + Unique Identifier). **Investigat ions**  **All**

**Investigations**  **State/Tribe/LCON Investigation**  **Conducted Delegated Agency**  **Investigation Conducted Delegated Agency**  **Investigation Conducted**
Facility ID *I CIS
- Air

Programmatic ID *AirFacilityIdentifier21 MDR Level Current
- AFS Reporting via Web

– ICIS
- Air Reporting via EDT

– ICIS
- Air Further explanation of specific data fields. Action Type (Lead Agency inherent in action type) *Co mpliance Monitoring Activity Type *Co mlianceMonitoringAc tivityTypeCode As a result of the structure of ICIS, users must first identify via an Add Link the type of activity they wish to report (e.g., Inspection/Evaluation, Judicial Enforcement); EDT users will include the activity type in their XML submission. *Co mpli ance Monitoring Type *Co mplianceInspectionTy peCode *Lead Agency *LeadAgencyCode Date Achieved (for Investigation Conducted) Actual End Date (for Investigation Conducted) ComplianceMonitoringDa te The MDR for delegated agencies is Investigation Conducted, which corresponds to reporting an Investigation with an Actual End Date (known as the Date Achieved in AFS). Users can optionally report the Actual Start Date to identify when the Investigation was initiated (this is required for EPA). Currently, the design requires either an Actual Start Date or a Planned End Date. The design will be updated to accept an Actual Start Date, Planned End Date, or Actual End Date. But, the MDR remains the Actual End D ate. +Actual Start Date (for Investigation Initiated) +ComplianceMonitoringSt artDate +Planned End Date +ComplianceMonitoringPl annedEndDate Air Program(s) *Air Programs *P rogramCode +Other Air Program +OtherProgramDescriptio

nText If a user chooses to report the “Federally
- Enforceable Requirement” air program, they will be required to provide a description (e.g., ECL § 205.3). Action Number >Compliance

Monitoring Identifier (generated based on User ID of person adding record). *Co mplianceMonitoringId entifier Instead of submitting “99999” to generate a value in chronological order for the action number, ICIS
- Air will generate the activity identifier automatically when the record is created directly on the web. EDT users must pro vide the identifier, which will better enable tracking activities in ICIS
- Air for editing and linking. The identifier provided by EDT users must comprise the same format generated by ICIS
- Air for the web users (State + LCON + Program Code + Unique Identif

ier). **Stack Tests**  **All Stack Tests Stack Tests**  **Conducted for the Purpose of Determining Compliance**  **Stack Tests Conducted for the Purpose of Determining**  **Compliance** Facility ID *I CIS
- Air

Programmatic ID *AirFacilityIdentifier Action Type (Who Conducted/Who Observed, Lead Agency inherent in action type) *Co mpliance Monitoring Activity Type *Co mplianceMonitoringA ctivityTypeCode As a result of the structure of ICIS, users must first identify via an Add Link the type of activity they wish to report (e.g., Inspection/Evaluation, Judicial Enforcement); EDT users will include the activity type in their XML submission. *Co mpliance Monitoring Type *Co mplianceInspectionTy peCode22 MDR Level Current
- AFS Reporting via Web

– ICIS
- Air Reporting via EDT

– ICIS
- Air Further explanation of specific data fields. ^Conducted By +StackTestConductorType Code Since the majority of stack tests reported for compliance purposes are conducted by the owner/operator, the value will default to owner/operator. Observed By StackTestObservedAgenc

yTyp eCode If an agency was present during the test to observe its performance, a user must select the agency that observed the test. *Lead Agency *LeadAgencyCode Date Achieved +Actual End Date +ComplianceMonitoringD ate The system will save a compliance evaluation record that only has a Planned End Date. This is to facilitate planning per the CMS. But, the programmatic MDR remains the Actual End Date (known as the Date Achieved in AFS). Test Results (Pass, Fail, Pending) ^Stack Test Status ^StackTestStatusCode ICIS
- Air will default the value to pending and the user must update to Pass/Fail when the actual results are known. Air Program(s) *Air Programs *P rogramCode +Other Air Program +OtherProgramDescriptio

nText If a user chooses to report the “Federally
- Enforceable Requirement” air program, they will be required to provide a description (e.g., ECL § 205.3). Action Number >Compliance

Monitoring Identifier (generated based on User ID of person adding record). *Co mplianceMonitoringId entifier Instead of submitting “99999” to generate a value in chronological order for the action number, ICIS
- Air will generate the activity identifier automatically when the record is created directly on th e web. EDT users must provide the identifier, which will better enable tracking activities in ICIS
- Air for editing and linking. The identifier provided by EDT users must comprise the same format generated by ICIS
- Air for the web users (State + LCON + Pro gram Code + Unique Identifier). **TV ACC Due/Received**  **All TV ACCs All TV ACCs**  **All TV ACCs** Facility ID *I CIS
- Air

Programmatic ID *AirFacilityIdentifier Action Type

– TV ACC Due/Received (Lead Agency inherent in action type) *Co mpliance Monitoring Activity Type >ComplianceMonitoringA ctivityTypeCode As a result of the structure of ICIS, users must first identify via an Add Link the type of activity they wish to report (e.g., Inspection/Evaluation, Judicial Enforcement); for EDT the Compliance Monitoring Activity Type will be generated based on the XML submission type for TV ACC records. *Co mpliance Monitoring Type >ComplianceInspectionTy peCode Typically this requirement is negotiated between EPA and the permitting authority where the permitting authority enters the data. However, if EPA is responsible for reporting this data, they may enter the data on behalf of the permitting authority, but it will appear as a state or local agency activity. For EDT the Compliance Monitoring23 MDR Level Current
- AFS Reporting via Web

– ICIS
- Air Reporting via EDT

– ICIS
- Air Further explanation of specific data fields. Type will be generat ed based on the XML submission type for TV ACC records. *Lead Agency *LeadAgencyCode Due/Received (Date Scheduled/Date Achieved, Federal Users Only, unless otherwise negotiated) +Planned End Date (Due Date) +ComplianceMonitoringPl annedEndDate +Actual End Date (Date Received) +ComplianceMonitoringD ate Results Code N/A N/A If a “violation” is determined as a result of late submittal of a TV ACC or discovered during the review of the TV ACC, it will be reported as such using the Case File module. In cases, where an agency chooses to report a result for each TV ACC record in ICIS
- Air a User Defined Field (UDF) shall be used. Air Program(s) *Air Programs *P rogramCode +Other Air Program +OtherProgramDescriptio

nText If a user chooses to report the “Federally
- Enforceable Requirement” air program, they will be required to provide a description (e.g., ECL § 205.3). Action Number >Compliance

Monitoring Identifier (generated based on User ID of person adding record). *Co mplianceMonitoringId entifier Instead of submitting “99999” to generate a value in chronological order for the action number, ICIS
- Air will generate the activity identifier automatically when the record is created directly on the web. EDT users must pro vide the identifier, which will better enable tracking activities in ICIS
- Air for editing and linking. The identifier provided by EDT users must comprise the same format generated by ICIS
- Air for the web users (State + LCON + Program Code + Unique Identif

ier).24 MDR Level Current
- AFS Reporting via Web

– ICIS
- Air Reporting via EDT

– ICIS
- Air Further explanation of specific data fields. TV ACC Review All TV ACCs All TV ACCs All TV ACCs Action Type

– TV ACC Review (Lead Agency inherent in action type) Reviewer Agency ReviewerAgencyCode

Date Achieved (Review action, Lead Agency inherent in action type) Reviewed on [Date] *TV ACCReviewedDate

Deviations? (Federal Users Only, unless otherwise negotiated) (Yes/No/# of) Did Facility Report Deviations? FacilityReportDeviationsI ndicator
**Informal Enforcement**  **Actions Notices of** 

**Vi olation**  **Notification of a Vi**  **olation Notification**  **of a Vi**  **olation** Facility ID *I CIS
- Air

Programmatic ID *AirFacilityIdentifier Action Type (Type/Lead Agency inherent in action type) *En forcement Action Forum >Forum As a result of the structure of ICIS, users must first identify via an Add Link the type of activity they wish to report (e.g., Inspection/Evaluation, Judicial Enforcement); for EDT the forum for Informal Enforcement Actions will be generated based on the XML submission type. *En forcement Action Type *En forcementActionType Code *Lead Agency *LeadAgencyCode Date Achieved Achieved Date AchievedDate Air Program Code(s) *P rograms Violated *P rogramsViolatedCode Action Number >Enforcement Action

Identifier (generated based on User ID of person adding record). *AirDAEnforcementActio nIdentifer Instead of submitting “99999” to generate a value in chronological order for the action number, ICIS
- Air will generate the activity identifier automatically when the record is created directly on the web. EDT users must provide the identifier, which will better enable tracking activities in ICIS
- Air for editing and linking. The identifier provided by EDT users must comprise the same format generated by ICIS
- Air for the web users (State + LCON + Program Code + Unique Identifier).25 MDR Level Current
- AFS Reporting via Web

– ICIS
- Air Reporting via EDT

– ICIS
- Air Further explanation of specific data fields. **Formal Enforcement**  **Actions Formal** 

**Enforcement Actions Formal**  **Enforcement Actions Formal Enforcement**  **Actions** Facility ID *I CIS
- Air

Programmatic ID *AirFacilityIdentifier Action Type (Type/Lead Agency inherent in action type) *En forcement Action Forum *Forum As a result of the structure of ICIS, users must first identify via an Add Link the type of activity they wish to report (e.g., Inspection/Evaluation, Judicial Enforcement); EDT users will include the activity type in their XML submission. *En forcement Action Type *En forcementActionType Code In order to report a Final Order (e.g., Administrative Compliance Order) users must first create the Enforcement Action Type (e.g., Administrative Order). *Lead Agency *LeadAgencyCode Milestones: Referral Date (Judicial Actions Only)

– Actual Date MilestoneActualDate (Judicial Actions Only) Air Program(s) *P rograms Violated *P rogamsViolatedCode Action Number >Enforcement Action

Identifier (generated based on User ID of person adding record). *AirDAEnforcementActio nIdentifier Instead of submitting “99999” to generate a value in chronological order for the action number, ICIS
- Air will generate the activity identifier automatically when the record is created directly on the web. EDT users must provide the identifier, which will better enab le tracking activities in ICIS
- Air for editing and linking. The identifier provided by EDT users must comprise the same format generated by ICIS
- Air for the web users (State + LCON + Program Code + Unique Identifier). Final Order Formal

Enforcement Actio ns Final Orders Final Orders Action Number >Final Order ID *FinalOrderIdentifier Instead of submitting “99999” to generate a value in chronological order for the action number, ICIS
- Air will generate the Final Order identifier automatically when the record is saved. EDT users must provide the identifier. This will enable tracking activities in ICIS
- Air using an identifier generated by the state or local agency data sy stem. This will facilitate linking and editing activities. Facility ID *I CIS
- Air

Programmatic ID *FinalOrderAirFacilityIde ntifier Action Type (Type/Lead Agency *Final Order Type *Final Order Type Code26 MDR Level Current
- AFS Reporting via Web

– ICIS
- Air Reporting via EDT

– ICIS
- Air Further explanation of specific data fields. inherent in action type) Date Achieved +Final Order Issued

Date (Admin) Final Order Entered Date (Judicial) +FinalOrderIssuedEntered Date
Resolving Action (and Date Achieved) Air Resolved Date (HPV Resolving Action only) AirResolvedDate Cash Assessed Penalty Penalty Assessed to be Paid To: CashCivilPenaltyRequired Amount (populates Penalty Assessed to be Paid To: Delegated Agency) A penalty will be required for some enforcement action types. **Complian ce Status**  **Compliance**

**Status Vi**  **olation Tracking Vi**  **olation Tracking Vi**  **olation data will be rep orted using the Case File**  **module. Underlying data reported on the Violation sub link will roll**  **- up to the Case File (e.g., HPV).**  Facility ID *I CIS
- Air

Programmatic ID *AirFacilityIdentifier Air Program *P rograms *P rogramCode +Program Description +OtherProgramDescriptio nText If a user chooses to report the “Federally
- Enforceable Requirement” air program, they will be required to provide a description (e.g., ECL § 205.3). Pollutant Pollutants AirPollutantCode ^Lead Agency ^LeadAgencyCode >Case File Identifier (generated based on User ID of person adding record). *C aseFileIdentifier FRVs will no longer be repor ` ted as the compliance status of an air program pollutant. In ICIS
- Air, FRVs and HPVs are reported on a Case Fi le, which is treated similar to other activities in ICIS
- Air. The concept is similar to reporting a key action in AFS. Each Case File will be assigned an identifier, similar to an action number on a key action in AFS. But, instead of submitting “99999” to generate a number, ICIS
Air will generate the activity identifier automatically when the record is saved. EDT users must provide the identifier. This will enable tracking activities in ICIS
- Air using an identifier generated by the state or local agency data system. This will facilitate editing activities. A unique identifier will also assist with linking for HPVs. Violation Details Compliance

Status Violation Tracking Violation Tracking This data may be designated as enforcement sensitive pursuant to the underlying polices. Air Program *V iolation Type *AirViolationTypeCode In ICIS
- Air the list of violation types is more descriptive than27 MDR Level Current
- AFS Reporting via Web

– ICIS
- Air Reporting via EDT

– ICIS
- Air Further explanation of specific data fields. Pollutant Compliance Status (FRV)/HPV Day Zero/HPV Violation Type Code/HPV Violating Pollutant the options used to report violations in AFS. Instead of reporting “In
Violation with regard to procedural compliance” users will report, for example, “Failure to maintain records as required by permit or regulation.” *Air Program *AirViolationProgramCod

e If a user chooses to report the “Federally
- Enforceable Requirement” air program, they will be required to provide a description (e.g., ECL § 205.3). +Pollutant +AirViolationPollutantCo de Date Achieved (Day Zero) +HPV Day Zero Date +HPVDayZeroDate Informal Enforcement Method of Advisement (aka notification of violation) AdvisementMethodTypeC ode (aka notification of violation) This field meets the requirement to report when notice was provide to the regulated entity. Date Achieved Date of Advisement AdvisementMethodDate This corresponds to the date when the facility was initially advised of any potential violation. HPV Action Linking HPV Action

Linking HPV Action Linking HPV Action Linking Discovery Action Discovery

Action/Date +OtherPathwayCategoryC ode +OtherPathwayTypeCode +OtherPathwayDate Addressing Action Addressing Action/Date Resolving Action Resolving

Action/Date28 **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 referrals and actions) should be tracked until the resolution of the violation, regardless of classification. If a minor source is included in the CMS universe, has a current enforcement action of three ( 3 ) ye ars old , or is listed as a discretionary HPV , it is considered reportable
. In dividual regional/state agreements are not supers eded b y this listing. **AFS Identification**  **Acronym** 1. Facility Name PNME 2. State STAB/STTE 3. County CNTY 4. Facility Number PCDS 5. Street STRS 6. City CYNM 7. Zip Code ZIPC 8. NAI CS Code NI C1 [Note: While SI C Codes can be reported to AFS, reporting of the NAICS code is required.] 9. Government Ownership GOVT 10. HPV Linkage and Key Action (Day

Zero) Linked from Action Data **Compliance Monitoring Strategy (CMS)** 11. CMS Source Category CMSC29

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 Program(s)** 16. Pollutant(s) by

Code or Chemical Abstract Service Number PLAP/CAPP 17. Classification(s): EPA/ST ECLP/SCLP 18. Attainment Status : EPA/ST EATN/SATN [Note: The 2011 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)**  2 0. Minimum Reportable Actions:  In formal Enforcement Actions: Notice of Violation(s)  Formal Enforcement Actions: Administrative Order(s) and Assessed Penalties , Consent Decrees and Agreements, Civil and Criminal Referrals, Civil and Criminal Actions  HPV Violation Discovered : Linked actions are FCEs, PCEs, Stack Tests (Observed or Reviewed) , Title V Annual Compliance Certifications, Stack Test Notification Receipt  HPV Addressing Actions : Linked actions include but are not limited to State/EPA Civil or Criminal Referrals, State/EPA Civil or Criminal Actions, Administrative Orders, Consent Decrees, Source Returned to Compliance by State/EPA with no Further Action Required.  HPV Resolving Actions: Linked actions include but are not limited to Violation Resolved, Closeout Memo I ssued , Source Returned to Compliance by State/EPA with no30

Further Action Required.  Full Comp liance 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 rep orted in the results code field, must be reported to AFS within 120 day s.  Title V Annual Compliance Certifi cation Due/Received : Reported b y EP A unless otherwise negotiated. The Due Date of a Title V Annual Compliance Certification will be reported as Date Scheduled on the “Title V Annual Compliance Certification Due/Received b y EPA” action, and is not enforce ment sensitive.  Title V Annual Compliance Certification Reviewed: In cludes Results C odes for Annual Comp liance Certification reviews : in compliance (MC), in vi olation (MV) and unknown (MU). Annual Compliance Certification deviations(s) will be indicate d in RD08 for EPA reviews (and state reviews as negotiated).  Investigations : EPA Investigation Initiated (started) and State/EPA Investigation Conducted (finished). State Investigation Initiated is added for optional use. EPA and State Investigation Ini tiated (started) action types are enforcement sensitive. **Additional Action Information** : 21. Results Code RSC1 Note: Pass/Fail/Pending (PP/FF/99) codes are reported for Stack Test actions. Compliance Results Codes of “ In Compliance (MC), In Violation (MV), or Unknown (MU) ” are entered for Title V Annual Compliance Certification reviews. 22. RD08 (Certification Deviations) RD81 Note: EPA reports into AFS unless otherwise negotiated. Compliance Codes of “ In Compliance (MC), In Violation (MV), or Unknown (MU) ” are entered for Title V Annual Compliance Certification reviews. 23. Date Scheduled DTS1 Note: The Due Date of a Title V Annual Compliance Certification will be reported as Date Scheduled on the “Title V Annual Compliance Certi fication 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) VPL 1 Note: To be identified when the Day Zero action is established. **Timeliness Standard** 26. Action Reported within 60 Day s of Event reported in the Date Achieved (DTA1) field of the31

action record for delegated agencies , with a minimum upload of six (6) times per ye ar. 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 following items whenever practicable.

 Minor Facility information: For minor sources that are not MDR (MDR for minor facilities is defined as: Minor NESHAP, a minor facility identified within the CMS plan for evaluation, minor facilities with an enforcement action less than three ( 3 ) ye ars old, or any HPV case regardless of class) reporting is optional but encouraged. Minor source information would include NSPS and MACT subpart applicability
.
 Stack Test Pollutant (PLC1)

 Partial Compliance Evaluations (PCEs) and specific reporting of On
- Site PCE activity defined as: Complaint Partial Compliance Evaluation, Permit Partial Compliance Evaluation, Process Partial Compliance Evaluation, Partial Compliance Evaluation 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 day s.

 State Investigations initiated (Enforcement Sensitiv e)
.32

**5. AGENCY ACTIVITIES, COLLECTION METHODOLOGY, AND INFORMATION MANAGEMENT**  (a) AGENCY ACTIVITIES Activities performed b y EPA personnel involve both EPA Regional and Headquarters staff. The Regional Offices generally serve as the primary

li aison 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 1 :

 Interaction with delegated agencies (e.g., answer respondent questions, train respondents on the use of the s ys tem, liaison with delegated agencies , participate in National data management discussions)  Audit and review of data submissions  Data entry and verification  Report preparation  Program review (including review of user needs and suggestions of software revisions, or identification for 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 Management of the compliance and enforcement information collected from delegated agency respondents for entry into a national dat a sy stem is a well
- established process. Compliance and compliance action reporting to ICI S
- Air and its predecessor s , AFS and the Compliance Data S ys tem (CDS) , has existed for the past 33 years. The MDRs have been developed as essential components of a compliance and enforcement tracking program and have been adopted into delegated agency sy stems. Many delegated agencies will automatically update IC IS
- Air from their database, while some will enter data into IC IS
- Air directly . In some instances, EPA Regional Offices will enter compliance and enforcement data on behalf of EPA as well as for a specific delegated agency into IC IS
- Air
.

1 For purposes of estimating burdens, the first four items are considered the primary Regional Office activities and the last three items are considered the primary Headquarters activities.33

The EPA data collection guidance and technical support for respondent s during the past 33 ye ars has focused on supporting agencies in their collection methodology to minimize the total burden associated with meeting their reporting requirements . The Agency will continue to focus on these efforts. The Agency also has developed documents and memoranda to explain the collection and reporting of MDRs, such as user manuals and a business rule compendium
. New reporting, training, and business rule documentation is under development for ICIS
- Air to replace the existing AFS materials. In addition to these documents, EPA will continue to provide services in support of optimizing the collection and reporting of MDRs , including the following:

 An IC IS
- Air telephone help line providing users with data collection transmittal and quality assurance, supplem ented by c ontractual, Regional and Headquarters staff.

 User training , both to ensure a smooth transition to I CI S
- Air and to support the training of future ICIS
- Air users on an ongoing basis.

 Support for development and use of plug
- in technologies that greatl y simplify the electronic transfer of data from delegated agency databases to ICIS
- Air.

 A publicly
- available EPA IC IS
- Air Web site to provide all users , as well as the general public , with information on documents, manuals, training information, updates, etc. (http://www.epa.gov/compliance/data/s ys tems/icis /index.html ).

 A quarterl y national webinar 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 sy stem 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 sy stem and ENVIROFACTS. These s ys tems maintain procedures 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 expanded34

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 sy stem 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 el ements 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 their reviews to validate the data, make corrections as appropriate, or develop processes to address identified program concerns
.

(iii) Machine and Processing Technology IC IS
- Air will reside on EPA ’ s Enterprise Server s at the National Computer Center (NCC) in North Carolina and be 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 by

EPA. If either EPA staff or a delegated agency data steward identifies any concerns with the data or the sy stem, 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 are required to maintain reportable MDR data in the system for at least five (5) years with the exception of data pertaining to HPVs and sources with minor formal enforcement actions. Sources with HPVs are to be kept in IC IS
- Air regardless of operating status. Sources with minor formal enforcement actions should be maintained in IC IS
- Air for at least three (3) ye ars, as IC IS
- Air software does not allow deletion of actions less than three years old. Users are encouraged to archive permanently closed facilities after five (5) ye ars unless HPV activity is contained within the records. (v) Public Access The public may

access CAA stationary

source compliance and enforcement information through:

 Review of IC IS
- Air data available through EPA
- supported Web sites such as35 ECHO (htt

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

mation Act requests made to EPA (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 gov ernments 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 entities will be af fected 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, associated with the Federal fiscal calendar. EPA Regional and HQ data is to be reported to IC IS
Air on a monthly

basis. Each month, data is extracted and provided to EPA sy stems for use in an al ys is 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 T HE COLLECTION**  **Please note that in this section of this supporting statement, the EPA is providing**  **the burden estimates created in support of the previous 2010 ICR renewal request. This information will be updated in the fall of 2014 prior to issuance of the final ICR renewal**  **Federal Register ( FR) notice. At that time, the Agency will be able to create a new burden**  **estimate for use of ICIS -** **Air, as that system will be ready for implementation in the fall of 2014. The EPA also will have completed key revisions to the High Priority Violators (HPV)**  **and Federally Reportable Violations (FRV) policies that will result in burden reductions that can be estimated. Additionally, the EPA will estimate the one**  **- time burden**  **(experienced during the period in which the current ICR, approved in January 2012, was i**  **n place) associated with delegated agency efforts to transition their reporting processes from AFS to ICIS**  **- Air.**  (a) ESTIMAT ING RESPONDENT BURDEN36

Worksheet 1 reports the annual respondent burden estimates by burden activity
. Worksheet 1 is derived from Appendix 1, Comments Received During the Public Comment Period Ending March 21, 2011 ; Appendix 2 , Agencies Directly Contacted for Burden Estimates; and Appendix 3 , Delegated Agency Classification by

Size; plus activity

assumptions discussed in Section 4 (b)(ii) of this collection request. The respondent hour burden presented in this renewal I CR reflects the current and unchanged MDRs, as listed in Table 1 in Section 4(b) of this document. Based on the consultations identified in Section 3(c) and other data anal ys es, the burden estimates incorporate the following assumptions and findings:

 There are 9 9 respondents, with 6 small agencies from the State of California added. Appendix 3 identifies the list of respondents reporting to AFS.  C hanges to the docum ented reporting universe: o The category

of Large Agencies remained the same at 13 agencies ; however, the totals of major sourc es were reduced in Missouri and increased in Alabama. o The category

of Medium Agencies increased from 22 sources in the 2008 ICR t o 37 agencies. A labama was moved to the Large Agency category
. The following were added :  T ennessee / Knoxville  Maine  Montana  North Dakota  C alifornia / Santa Barbara  Connecticut  South Dakota  C alifornia / Bay Area  N ebraska  Utah  Maryland  Hawaii  Washington  Oregon  Del aware  Missouri

 The category

of Small Agencies decreased from 58 agencies to 49 a gencies. The following California agencies were added: o CA / Feather River o CA / Imperial o CA / Kern o CA / Mojave Desert o CA / San Luis Obispo o CA / Yolo Solano37

 The basis of the reportable universe is 1 4,511 major sources ( 7% less than the 2008 I CR renewal, approximately 26% fewer than in the 2005 I CR renewal , and 32% fewer than in the 2001 I CR renewal ) , and 2 4,494 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). Also reportable are minor National Emission Standards for Hazardous Air Pollutants (NESHAP) source s (1, 250 sources nationwide), any source included in the CMS universe for evaluation (opted
- in sources used as a replacement for other sources) regardless of class, any minor source with an enforcement action less than three ( 3 ) ye ars old, or any source wi th a H PV
.
 The average respondent hours per response for reporting activities will depend on the number of sources for which a delegated agency must collect and report compliance and enforcement data. To reflect these differences EPA has grouped the agenci es in three categories for purposes of this I CR based on the number of major sources that are in each delegated agency ’ s jurisdiction, as defined in the following table:

Respondent Size Category Number of Facilities Number of Agencies Large >3 5 0 Major Sources 13 Medium 60
- 349 Major Sources 22 Small 59 or fewer Major Sources 58 This is a change of respondent size from previous renewals, based on the change in number of major sources in the large category and the increase of six sm all agencies from the State of California
.
 A set of interview guides was created for estimating burden. The following guidelines were used for the guides: **SYSTEM REPORTING SETUP AND IMPLEMENTATION** : Time and resources invested in equipment setup, implementation, and maintenance. Estimates of time spent to ensure communications software is working and hardware costs, if applicable. Reportable as time in hours and a dollar amount for equipment purcha sed for the sole purpose of entering AFS data. If an employee uses a delegated agency computer for more than just AFS data entry , equipment costs are not added to the burden estimate. **DATA PREPARATION** : Preparation of data before data input. This category is used for38

Direct Entry

agencies, agencies with specific data flows that are directl y entered into AFS (HPV), batch states without a conversion program or batch states uploading AFS data that is not maintained in their own system. Time is reported in ho urs per ye ar. **DATA ENTRY (DIRECT /BATCH** **)** : H istoric information is used to estimate data entry of MDRs. Number of actions is multiplied by 1 minute then converted to hours per year. Universe upkeep also is included, consisting of maintenance of plant general, air program, and air program pollutant information. This time is based on the national average of sources in noncompliance. Review of FY2010 data show a national average of 1 0 % of sources in violatio n. This would require changing the air program pollutant data to violation, and then, in time, back to compliance. These activities are added to times reported for data quality and review, training, meetings, and other data
- related activities to compile a final burden total. **BATCH FILE EXTRACTION** : This category is used for creation of new conversion programs in Batch Agencies only . It covers the time and resources spent for data mapping, conversion work, file creation , and testing. Time is reported in h ours per year. If an agency has an existing batch file extraction program, no burden is reported. **CONVERSION FILE MAINTENANCE** : Estimates of time spent in maintaining an existing conversion program are reported in this category . Time is reported in hours per ye ar. Users of the Universal Interface program will have no time indicated in this category , as the conversion program is maintained b y EPA. **CONTRACTOR ASSISTANCE** : I f any time and resources spent are for contractual assistance versus delegated agenc y personnel, those resources should be report ed using this category
. This category

is report ed in dollars spent per year. **HPV OVERSIGHT** : Special data oversight of HPV cases is estimated at 10 minutes per month per case. Historic information of active case s during FY20 10 will be used to estimate this burden. **DATA QUALITY PROCEDURES** : Estimates reported in hours per ye ar will reflect review of direct data entry and batch file compare and error reports. Estimates in this category reflected an increase due to a better understanding of time needed for quality assurance work
. Our understanding of necessary quality assurance improved from the SRF analysis. **TRAINING AND INFORMATIONAL MEETINGS** : Estimates reported in hours of time spent in training, conferences, w orkshops, and other meetings concerning AFS data entry ONLY.

 Estimations from direct users of AFS used a conversion of activity from FY 20 10 , universe of sources, comments received from the Federal Register announcement and input from interviews. Actual numbers of Full Compliance Evaluations, Stack Tests,39

Notices of Violation, Enforcement Actions, and HPV activity were taken into account to reach an estimation of burden.

 Estimations from batch users were completed using the same base information used f or burden estimate of direct users, but also took into consideration the process used within the agency

for generation of a transfer file. Time necessary to create the batch file from a state system will vary

on the complexity

of a s ys tem. Universal Interf ace users have a streamlined effort of time with no maintenance costs and thus have a lower level of effort than delegated agencies that maintain their own conversion program. (b) ESTIMATING RESPONDENT COSTS (i ) Estimating Labor Costs The last column in Worksheet 1 reports the total costs of respondent burden activities. The costs reflect the use of appropriately skilled labor at $ 47.89 per hour. This hourly

rate is in 20 10 dollars reflecting average delegated agency government wages and salaries taken from the Bureau of Labor Statistics, US Department of Labor web site at http://stats.bls.gov/NEWS.RELEASE/ECEC.T04.HTM . This average wage incorporates 9 5 % 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 200 8 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 reformatting and transmission of that data. As necessary , EPA provided the equipment necessary for electronic transmission of data from delegated agency sy stems to AFS as part of an AIRS Connectivity Project prior to 1991. ( c ) ESTIMATING AGENCY BURDEN A ND COST Section 5(a) identifies several Agency activities for this information collection. Worksheet 2 presents the Federal EPA burden and cost estimates for each of these activity categories. Hours are allocated for data base management on the basis of 1.5 full
- time equivalent positions dedicated to AFS activities in each Regional Office and 2 full time equivalents at the Headquarters level. The estimates are based on information from Regional Offices and on prior40

experience with the program. Estimates a re formulated on a monthly basis versus bi
- monthly basis (every

60 day s) required of delegated agencies . Cost estimates for Regional activities are based on the salary

of a GS
- 12 (step 5) staffer in 20 10 . An overhead factor of 1.6 is applied, and an averag e locality

adjustment pay

is available via the Salary Table on the Office of Personnel Management’s web site to determine a full loaded hour rate for Regional activities or $2,036,369 annually across the nation (http://www.opm.gov/oca/10tables/indexGS.asp ) . The cost also includes travel expenses for Regional emplo yees to attend data meetings and workshops. The bottom half of Worksheet 2 shows the burden and costs for EPA Headquarters staff. Dire ct labor costs are based on a GS
- 14 (Step 5) Sy stem 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 $ 3 55,037
. 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.)** 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 49 294 1,519.00 9,114.00 $ 475,388.00 (less than or equal to 59 major sources) Medium Delegated agencies 37 222 2, 593.08 15,558.50 $ 772,784.33 (60
- 299 major sources) Large Delegated agencies 13 78 4, 951.92 2 9,711.50 $ 1, 595,014.89 (greater than or equal to 300 major sources) **Totals 9**  **9 594**  **9,064.00 54,384.00**  **$ 2,843,187.22**  Total Cost is taken from Department of Labor statistics found at: http://stats.bls.gov/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 5 4,384 $ 2,843,187 2. EPA Regions 31,200 $ 2,036,369 3. EPA Headquarters 4,160 $ 3 55,037 **Totals 89,744**  **$ 5,234,593**  (f) REASONS FOR CHANGE IN BURDEN Under this renewal ICR ( 2010; EPA
- HQ
- OECA
- 2010
- 0777; EPA I CR No. 0107.10 , OMB Control No. 2096
- 0096.) , total annual delegated agency respondent burden has decreased to 54,384 hours, while the 200 8 IC R estimated a total annual respondent burden of 73,07 3 hours. Thus, the to tal estimated annual decrease in respondent burden is 18,689 hours. No adjustment to the baseline count of hours is submitted. The following information is provided to account for burden difference:

 Reduction in the Major Source universe: The universe of Major Sources continues to reduce in size . The FY2010 universe was 14,511 major sources, the universe used for the 2008 ICR was 15,563 major sources, a difference of 7%. Universe figures will result in less reporting burden to report a smaller universe.

 Use of the Universal Interface software program : There were 1 7 agencies using the product. One s tate estimated they obtained a 30% savings in time using the UI . Not every

state realizes the same amount of savings while using the product, as mapping and implementation depend upon the structure of the in
- house database. However, a portion of the burden savings can be attributed to use of the44 UI
.
 C onsultations with delegated agencies reveal significant differences in estimated burdens. The burden estimated from one small state with direct data entry was twice as many hours than reported from the medium agencies with more than 75% more sources. Burden estimations were built on universe size and method of update to AFS: Direct user, batch user, or a U I batch user.

 Every agency has a different procedure for the collection, review, verification, entry , anal ys is and interpretation of data management procedures. What might take 20 hours in one agency may take 30 or more hours in another due to internal procedures, management practices, and the relative skill and experience of the user. Many of the agencies interviewed totaled the FTE hours expended in their agency and divided those hours amongst the I CR Burden Estimate categories.

 None of the agencies interviewed used outside contractors for any data management work. In the past, c ontractor work has proven to be more labor intensive and more expensive than work completed by delegated agency employees.

 All agencies interviewed noted lack of resources available for data management activities. All agencies report that data management responsibilities are collateral duties for staff, and while the agencies would like to spend more time on quality assurance and review, there is not enough time available with dwindling resources. (g) BURDEN STATEMENT The average burden per response for this collection of information is estimated to be 92 hours, though this estimate varies according to the ty pe of respondent. Reporting b y delegated agencies on s ource c ompliance and enforc ement a ctions is estimated based on the number of major sources in the delegated agencyarea. On a yearl y basis using median counts, a small delegated agency

spends an average of 31 hours per 60 day s reporting to AFS . A medium delegated agency

spends an average of 70 hours and a large delegated agenc y will spend around 3 81 hours per 60 day s reporting to AFS , for a total of 54,384 hours per ye ar for the transmittal, management and quality

assurance o f their data. The EPA will require a total of 35,360 hours per ye ar for EPA oversight, data quality assurance, reporting, and other Agency activities, for an overall total of 89,744 hours for both Federal and delegated agency effort. 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 sy stems for the purposes of collecting, validating, and verifying information; adjust the45

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 revi ew 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 display s 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 (note that the burden estimates are from 2010) , and any sugge sted methods for minimizing respondent burden, including the use of automated collection techniques, the EPA has established a public docket for this ICR under Docket ID No. EPA
- HQ
- OECA
- 201 4
- 0 523 , which is available for online viewing at www.regulations.gov, or in person viewing at the OECA Docket in the EPA Docket Center (EPA/DC), EPA West, Room 3334, 1301 Constitution Ave., NW, Washington, DC. The EPA/DC Public Reading Room is open from 8:30 a. m. to 4:30 p.m., Monday through Friday , excluding legal holiday s. The telephone number for the Reading Room is (202)566
- 1744, and the telephone number for OECA Docket is (202)566
- 1752 . An electronic version of the public docket is available at www.regulati ons.gov. This site can be used to submit or view public comments, access the index listing of the contents of the public docket, and to access those documents in the public docket that are available electronically . When in the sy stem, 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 1 4
- 0 523 and OMB Control Number 2060
- 0 096 in any correspondence.46 

## APPENDIX **1 (**  **2010 ;**  **EPA -**  **HQ -**  **OECA -**  **2010 -**  **0777; EPA ICR No. 0107.10**  **, OMB Control No. 2096 -**  **0096.)**

**DELEGATED AGENCY CLASSIFICATION BY SIZE** 

**99 AGENCIES**  **SM AL**  **L = < 59**  **MA**

**JOR SOURCES AGENCY**  **MAJORS AGENCY**  **MAJORS AMERICAN SAMOA**  **0 CA** **- MONTEREY BAY**  **19 NV** **- WASHOE**  **2 OR** **- LANE**  **19 WA** **- BENTON**  **2 AL**  **- HUNTSVILLE**  **20 MARIANNAS PROTECTORATE**  **4 WA** **- NORTHWEST**  **20 WA** **- YAKIMA**  **5 VI**  **21 CA** **- FEATHER RIVER**  **6 VT**  **21 CA** **- KERN**  **6 CA** **- SAN**  **DIEGO 26**  **CA -**  **SAN LUIS OBISPO 6**  **CA -** **VENTURA 28**  **IA -**  **POLK 9**  **NV -**  **CLARK 28**  **NM -** **ALBUQUERQUE 9**  **NC -** **ASHEVILLE 30**  **WA -**  **SPOKANE 9**  **NV 30**  **NC -**  **FORSYTH 10**  **WA -**  **PUGET SOUND 33**  **CA -**  **IMPERIAL 11**  **DC 34**  **IA -**  **LINN 11**  **PA -** **ALLEGHENY 34**  **NC -**  **MECKLENBURG 11**  **TN -**  **MEMPHIS 36**  **AZ -**  **PINAL 14**  **KY -** **JEFFERSON 37**  **CA -** **YOLO SOLANO 14**  **AL -** **JEFFERSON 38**  **AZ -**  **PIMA 15**  **AZ -**  **MARICOPA 39**  **CA -**  **SACRAMENTO 15**  **PA -**  **PHILADELPHIA 39**  **NE -**  **LINCOLN -**  **LANCASTER 15**  **RI 39**  **GU 16**  **NH 44**  **WA -**  **OLYMPIC 16**  **PR 49**  **WA -**  **SOUTHWEST 16**  **CA -**  **MOJAVE DESERT 50**  **TN -** **NASHVILLE 17**  **ID 58**  **TN -**  **CHATTANOOGA 18** 47

**ME DIUM**  **= 60**  **- 349**  **MA JOR SOURCES**  **AG ENCY**  **MA JORS**  **AG ENCY**  **MA JORS**  **TN -**  **KNOX 60**  **WY 167**  **ME 66**  **NM 169**  **CA -**  **CA RB**  **69 WV**  **192 MT**  **69 AR**  **202 ND**  **69 CA**  **- SA**  **N JO AQ**  **UIN 257**  **CA -**  **SA NT**  **A BA**  **RBA RA**  **75 VA**  **273 CT**  **83 IA**  **274 SD**  **86 CO**  **284 CA**  **- BA**  **Y A REA**  **90 MS**  **288 NE**  **116 KY**  **290 UT**  **119 KS**  **300 MD**  **127 MN**  **305 HI**  **131 OK**  **306 WA**  **132 TN**  **307 OR**  **135 MO**  **314 AZ**  **139 NJ**  **317 MA**  **144 SC**  **322 AK**  **149 NC**  **346 DE**  **162**

**LA RGE = >350 M**  **AJ OR SOURCES**  **AL 371**  **FL 405**  **GA 406**  **NY 448**  **MI 459**  **CA -**  **SOUTH COAST 495**  **WI 500** 

BATC UI DIRE CT

BATC UI DIRE CT48 **IL 502**  **LA 520**  **PA 634**  **IN 669**  **OH 725**  **TX 1418**