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SUPPORTING STATEMENT

ENVIRONMENTAL PROTECTION AGENCY

AIR STATIONARY SOURCE COMPLIANCE AND ENFORCEMENT INFORMATION 

REPORTING (Renewal)

1. IDENTIFICATION OF THE INFORMATION COLLECTION

 1(a) TITLE OF THE INFORMATION COLLECTION

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

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

1(b) ABSTRACT:

Air Stationary Source Compliance and Enforcement Information Reporting is an activity

whereby delegated State, Local, 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

System (AFS) until mid-October 2014, and via input to the modernized AFS – the air component

of the Integrated Compliance Information System (ICIS-Air). At that time, AFS will be replaced 

by ICIS-Air. ICIS-Air is a sub-component of ICIS, which provides compliance and enforcement 

information on thousands of facilities regulated under numerous federal statutes, with particular

focus on determining compliance for the Clean Water Act – National Pollutant Discharge and 

Elimination System (NPDES) program. Many delegated agencies use AFS and, in the future, 

will use ICIS-Air as their own data system, while others electronically report data to the EPA 

from their own systems. The information provided to the EPA includes compliance activities and 

determinations, and monitoring and enforcement activities. The EPA uses this information to 

assess progress toward meeting regulatory requirements developed under the authority of the 

CAA to protect and maintain air quality, public health, and the environment. The EPA and many 

of the delegated agencies access the data currently in AFS to assist them in managing their air 

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

(i) Terms of Clearance

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

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

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

changes in respondent burden expected to result from system changes."

Plans for improving AFS:
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The EPA Office of Compliance has been preparing for the modernization of AFS and 

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

project which improves the ability of EPA, and delegated agencies to ensure compliance with the 

nation’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 ICIS, and will switch over to the new modernized ICIS-Air system in

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

delegated agencies have experienced while using AFS as the EPA national data system. 

Please note that in the final 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 

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

pursuant to the following subsections of regulations implementing the CAA under Subpart Q –

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

CFR 70.4(j)(1), which addresses submission of information to 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 

programs. The information 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. Finally, the 
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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 for this collection is outlined in several EPA 

guidance documents: (1) the Clean Air Act Stationary Source Compliance Monitoring Strategy

(CMS) of July 14, 2014; (2) the Timely and Appropriate (T&A) Enforcement Response to High 

Priority Violations (the 2014 HPV Policy); (3) the Clean Air Act National Stack Testing 

Guidance of April 27, 2009 (Stack Test Guidance); and (4) the Clarification Regarding 

Federally-Reportable Violations for Clean Air Act Stationary Sources of March 22, 2010 (the 

2010 FRV Policy).

(ii) General Need for the Data

The national air stationary source compliance monitoring and enforcement program 

promotes effective, cooperative, and coordinated efforts among the EPA and the delegated 

agencies. The Agency recognizes the primary role of the delegated agencies in the prevention 

and control of air pollution. 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 responsibilities, 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 source 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 establishes 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 

pollution and compliance concerns. The CMS also establishes a framework of minimal 

data requirements for reporting to the EPA. This information, collected in AFS and soon 

in ICIS-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 ICIS-Air will become, one of the Agency’s vehicles for 

tracking and evaluating stack test data. 
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- 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 supports policy analysis and 

evaluation; targeting efforts; and meets 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 

ICIS-Air, in important ways including the following: 

Data concerning stationary source compliance monitoring and enforcement programs is 

critical to conducting oversight of delegated agency compliance and enforcement programs. The 

EPA Office of Enforcement and Compliance Assurance (OECA), the Environmental Council of 

States (ECOS), state media associations, and other delegated agency representatives have 

developed a framework for conducting reviews of core monitoring and enforcement activities in 

the CAA, Clean Water Act (CWA), and the Resource Conservation and Recovery Act (RCRA) 

programs. The OECA/ECOS State Review Framework (SRF) was developed to provide a 

national state enforcement program oversight system to promote consistency in the level of 

oversight, state compliance and enforcement activities, and environmental protection across the 

country. Reviews were initiated in 2004, and have occurred in 4-year cycles. Each state now has

two reviews completed and the EPA is currently in the third round of national reviews. Each 

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

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

collaborative problem solving regarding delegated agency performance in five elements covering 

compliance monitoring, civil enforcement, and data management. 

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

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

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

weekly data extracts from ICIS. In addition to ECHO, data from ICIS-Air is included in the EPA

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

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

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

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

This renewal introduces the following changes that will reduce the data reporting burden 

as compared to the current ICR, 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 2014 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 

year) 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 system. This information collection is a critical component of CMS 

implementation.

In furtherance of national oversight, the CMS focuses on Title V major sources and 

synthetic minor sources that emit, or have the potential to emit, at or above 80 percent of 

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

evaluations to be conducted by delegated agencies are recommended for making 

compliance determinations at Title V Major Sources and SM-80s. However, pursuant to 

the flexibility provided in the CMS, delegated agencies may propose alternative CMS 

plans and negotiate alternative evaluation frequencies to address important local 

compliance issues.

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

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

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

the expanding universe of regulated sources and our increasing mandates, the EPA has 

continued to seek new ways to widen the range of compliance monitoring activities

available for determining compliance. Therefore, the CMS finalized in July 2014 further 

increases the flexibility of delegated agencies when conducting compliance monitoring 

activities through an expanded set of tools for determining compliance and for addressing
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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 has expanded what 

constitutes compliance monitoring while maintaining program integrity. 

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

and incorporate new technologies and innovative compliance monitoring approaches. 

The 2014 CMS takes into account the opportunities created by advanced monitoring 

technologies such as geospatial measurement of air pollution, fence-line monitoring, 

infrared cameras, and photoionization detectors.

This information collection allows 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 ICISAir 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 SM80s to other sources not addressed by CMS (e.g., true minors), all applicable MDRs are 

to be reported to ICIS-Air for all sources in the alternative plan. Delegated agencies are to 

enter compliance and enforcement data for their CMS sources within 60 days (within 120 

days for stack test date and results). 

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

Compliance Evaluations (PCEs), and Investigations are activities that must be reported at 

the facility level in ICIS-Air. FCEs are to be reported into ICIS-Air as either on-site or 

off-site. Off-site FCEs are to be reported only when delegated 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 plan and/or when they lead to 

discovery of an HPV. To assist in reporting PCEs, there are several specific PCE 

activities that may be reported into ICIS-Air. 

Delegated agencies also are to report data concerning Title V annual compliance 

certifications reviewed. In addition, the CMS status in ICIS-Air will automatically

change to “overdue” if an FCE is not completed within the recommended evaluation 

frequencies or in accordance with negotiated alternatives that extend the recommended 

evaluation frequencies.

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

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

air compliance and enforcement programs at the 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. It is scheduled to be issued in September

2014. The EPA has developed the revised FRV Policy in response to the concerns raised 
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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 system. 

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

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

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

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

oversight activities.

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

universe of sources whose violations of federally enforceable requirements are 

reportable. The new applicable universe of sources is: Title V Major Sources; SM-80 

sources; sources included in an alternative CMS plan; and any source at which a HPV has 

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

consistency to the delegated agencies. The narrowed universe of sources reduces the 

overall burden of reporting CAA violations, which in turn, is anticipated to result in 

improved data completeness and accuracy. 

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

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

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

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

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

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

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

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

of consent decree, court order or administrative order.

To report an FRV into ICIS-Air, a delegated agency creates a Case File. Once the Case 

File is created, the delegated agency is to report the violation type, 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. Generally, FRVs should be reported to ICIS-Air 

within 60 days of the determination. The FRV may be designated as “enforcement 

sensitive” in ICIS-Air, but once a notice of violation is issued, the designation should be 

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

The HPV Policy, revised in 2014, provides a significant 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

Major 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 as such there will be a significant reduction in reporting. 

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

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

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

violation, if it is later determined that such violation does not warrant additional tracking, 

delegated agencies should be able to reprioritize their efforts. The revised HPV policy

provides explicit 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 ways in which the EPA, delegated agencies, and the public use the CAA 

stationary source compliance and enforcement data. As stated previously, 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;
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 Provide the public with transparent access to compliance monitoring and enforcement 

activities under federal statutes;

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

 Assist in identifying national trends and issues;

 Develop new measures of regulatory program success;

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

 Standardize delegated agency reporting to EPA;

 Conduct regulatory analyses;

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

disposal compliance data;

 Provide timely and accurate response to information requests made by the 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 ICIS-AIR

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

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

to historical and current records for the EPA, and delegated agency staff involved in compliance 

and enforcement activities. ICIS-Air promotes better data sharing with delegated agencies and 

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

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

capabilities for delegated agency users. 

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

monitoring activities) also may have electronic submission capabilities.

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

data from delegated agencies to the EPA. 

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

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

 ICIS-Air will follow the EPA standards for software and hardware development, 
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including the use of the Central Data Exchange (CDX) and EPA/ECOS data standards.

 ICIS-Air will continue to support baseline MDRs necessary to support the national air 

stationary source enforcement and compliance assurance program. 

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

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

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

ICIS 

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

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

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

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

To fully capture some MDRs, ICIS-Air may require some additional mouse clicks or key

strokes. In spite of the additional clicks or key strokes for reporting, we anticipate significant 

efficiencies in reporting and an overall reduction in reporting burden for both direct users, as

well as those using electronic data transfer (EDT) to report MDRs. System efficiencies will be 

realized through several means such as: 

(1) ICIS-Air auto-populates data fields to the greatest extent possible based on characteristics 

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

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

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

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

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

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

There are a few 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 system will automatically obtain this information from the EPA 

Facility Registry System (FRS). 

 

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

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

burden. 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 only the initial advisement 
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is required per the 2014 HPV Policy). Any increase, however, in reporting is more than offset by

(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 Sources, 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 system changes summarize the program changes. 

 

3. NON-DUPLICATION, CONSULTATIONS, AND OTHER COLLECTION

CRITERIA

(a) NON-DUPLICATION

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

requirements for effective implementation and management of a compliance and enforcement 

program. For EPA and the public, the ICIS-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. ICIS-Air has been designed to capture

the core program data. Roughly a dozen delegated agencies will use ICIS-Air as their own data 

system for managing the MDRs and other data elements. Yet, many delegated agencies have

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

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

(b) PUBLIC NOTICE REQUIRED PRIOR TO SUBMISSION TO OMB

This is the first Federal Register notice on this ICR renewal. EPA anticipates that the 

second and final FR notice will be published in November 2014. 

(c) CONSULTATIONS

EPA presents the renewal of this data collection to delegated agencies with nearly 

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

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

modernization project, EPA initiated 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 as 
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partners in AFS modernization tasks; and help the EPA understand the barriers that delegated 

agencies face in achieving a major information system transition. 

(d) EFFECTS OF LESS FREQUENT COLLECTION

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

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

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

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

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

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

monthly basis, and many agencies do report each month. 

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

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

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

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

of timeliness also added to data quality concerns.

(e) GENERAL GUIDELINES

This information collection contains no special circumstances that would conflict with 

the general guidelines in 5 CFR 1320.5.

 (f) CONFIDENTIALITY 

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

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

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

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

(g) SENSITIVE QUESTIONS

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

(a) RESPONDENTS/NAICS CODES

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

tribal delegated agencies. These agencies are classified in NAICS 924110. Source compliance 

data assembled by the delegated agencies covers numerous NAICS categories. The delegated 

agencies that report to AFS, and ICIS-Air in the future, are defined as delegated grantees of the 

CAA. Most contacts are identified on the EPA Web site (see Contacts List at 

http://www.epa.gov/compliance/contact/data-afscontacts.html ). The total number of respondents 

is 99 (50 states, the District of Columbia, Puerto Rico, the Virgin Islands, Guam, American 

Samoa, the Mariana Protectorate and 43 delegated local agencies). The classification of small, 

medium, and large agencies is made based upon the number of major sources: 1-150 major 

sources are defined as a small agency, 151-499 are defined as a medium agency, and 500 or 

more major sources are defined as a large agency. Over the years, the CAA stationary source 

program has experienced a steady decline in the number of major sources. This trend is 

continuing as shown below:

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

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

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

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

2014 AFS ICR: 99 agencies, 13,880 major sources

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

thirteen years include: 

 A growing number of sources opting out of Title V by taking enforcement limits to keep 

emissions under the major source threshold level for a pollutant; 

 The reductions in emissions gained through improved 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 aerodynamic diameter (PM2.5) which resulted in 

sources that were major for TSP being reclassified as non-major for the separate 

pollutants. 

The list of agencies by category can be found in Appendix 1, Delegated Agency

Classification by Size. 

(b) INFORMATION REQUESTED
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(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 ICIS-Air for delegated agency compliance and enforcement activities. 

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

tip/complaint, voluntary disclosure, evaluation/ investigation, or through an informal/formal 

enforcement action.

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

MDRs previously reported into AFS to the MDRs as they will be reported into ICIS-Air. Table 2 

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

2012. The reportable universe of facilities for ICIS-Air includes: Title V Major Sources, SM80’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 action 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 ICIS-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 should be added to ICIS-Air. The source should have any and all 

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

allow. 

Delegated agencies are reminded of the requirement to report all applicable pollutants 

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 ICIS-Air. Delegated agencies with data management systems are already maintaining 

the required data elements for their program management purposes. The data are extracted and 

transferred to the EPA via EDT. Delegated agencies without data management systems enter the 

data into ICIS-Air via direct data entry on the web. Delegated agencies are not required to report 

these data elsewhere in other federal EPA systems. 

(ii) Respondent Activities

The respondent (i.e., delegated agency) activities associated with reporting of compliance 
15

and enforcement actions are detailed in Worksheet 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 ICIS-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 generally are to be performed on a 60-day basis. Section 6 of this Supporting

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

Activity 1 are designated as Customary Business Practice, because the delegated agencies collect 

the information required by the EPA for their own program management purposes. 

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

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

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

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

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

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

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

contained within the records.
16

TABLE 1

ICIS-AIR: REPORTING MINIMUM DATA REQUIREMENTS – DELEGATED AGENCIES

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

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

reported. 

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

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

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

generated by their state or local agency system. 

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

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

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

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

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

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

reported by the user. 

MDR 

Level

Current - AFS Reporting via Web –

ICIS-Air

Reporting via EDT –

ICIS-Air

Further explanation of specific data fields.

Facility 

Record

Facilities Facilities Facilities

Facility ID *ICIS-Air 

Programmatic ID 

*AirFacilityIdentifier The Program ID is 18 alphanumeric characters comprised of 

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

within the reporting agency. 

Facility Name *Facility Site Name *FacilitySiteName

Street *Address *LocationAddressText

City *City (GNIS City 

Code or City Name) 

*LocationAddressCityCod

e 

A change request has been submitted that will allow users to 

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

ID is reported, the city name will be generated. 

State *State *LocationStateCode

County >County (generated 

based on the City) 

>County (generated based 

on the City) 

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

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

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

MDR 

Level

Current - AFS Reporting via Web –

ICIS-Air

Reporting via EDT –

ICIS-Air

Further explanation of specific data fields.

Zip Code *Zip Code *LocationZipCode

NAICS Code or 

SIC Code

*Primary NAICS 

Code

*NAICSPrimaryIndicator

Code

Government 

Ownership

Facility Type of 

Ownership

FacilityTypeOfOwnership

Code

>LCON (LCON 

users; generated based on User 

ID)

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

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

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

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

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

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

the LCON. 

+ Portable Source 

Indicator – County Code 

“777” 

^Portable Source 

Indicator flag (Defaults to No. 

User must check box to 

indicate if it is a Portable 

Source.)

^PortableSourceIndicator 

(Defaults to No. User must submit 

the tag only to indicate that it is a 

Portable Source.)

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

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

address should be reported for portable sources that corresponds to the 

owner or the address associated with a permit. 

Facility 

Programs

All Applicable 

Federally-Enforceable Air 

Program(s) 

All Applicable 

Federally-Enforceable Air 

Program(s) 

All Applicable FederallyEnforceable Air Program(s)

Air Program *Air Program *AirProgramCode

+Air Program 

Description

+OtherProgramDescriptio

nText

If a user chooses to report the “Federally-Enforceable 

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

description (e.g., ECL § 205.3).

Air Program 

Operating Status

*Air Program 

Operating Status

*AirProgramOperatingSta

tusCode

^Air Program 

Operating Status Start Date

^AirProgramOperatingSta

tusStartDate

This is not programmatically required data. This will be 

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

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

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

to saving the record. 

Subparts for 

NSPS, NESHAP, MACT

+Subparts +AirProgramSubpartCode 

Facility 

Pollutants

Regulated 

Pollutant(s) by Air Program

Regulated 

Pollutant(s)

Regulated Pollutant(s)

Pollutant Code or 

CASN

*Pollutant Name or 

CASN

*AirPollutantsCode

Pollutant *Delegated Agency *AirPollutantDAClassific 
18

MDR 

Level

Current - AFS Reporting via Web –

ICIS-Air

Reporting via EDT –

ICIS-Air

Further explanation of specific data fields.

Classification Pollutant Classification ationCode 

^Delegated Agency 

Pollutant Classification Start 

Date 

^AirPollutantDAClassific

ationStartDate 

This is not programmatically required data. This will be 

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

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

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

saving the record.

^Status ^AirPollutantStatusIndicat

or

This is not programmatically required data. A default value 

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

process that generates the facility-level classification only accounts for 

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

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

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

for the facility. 

Compliance 

Status

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

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

File.

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

FRS. 

CMS 

Record

CMS CMS CMS

Facility ID >ICIS-Air 

Programmatic ID (generated 

based on parent Facility)

*AirFacilityIdentifier

CMS Source 

Category

*CMS Source 

Category

*AirCMSSourceCategory

Code

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

Source Category Code and Minimum Frequency Indicator 

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

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

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

category that has a more frequent recommended minimum frequency, 

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

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

stored as the CMS Origination Date and cannot be changed. 

CMS Minimum 

Frequency Indicator

^CMS Source 

Frequency Indicator (if there is 

a default minimum for selected 

Source Category)

*AirCMSMinimumFreque

ncy
19

MDR 

Level

Current - AFS Reporting via Web –

ICIS-Air

Reporting via EDT –

ICIS-Air

Further explanation of specific data fields.

*CMS Source 

Frequency Indicator (if there is 

*not* a default minimum for 

selected Source Category)

FCE 

Record

FCEs FCEs FCEs

Facility ID *ICIS-Air 

Programmatic ID

*AirFacilityIdentifier

Action Type 

(Lead Agency/On or Off 

Site inherent in action type)

*Compliance 

Monitoring Activity Type

*ComplianceMonitoringA

ctivityTypeCode

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

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

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

the activity type in their XML submission. 

*Compliance 

Monitoring Type 

*ComplianceInspectionTy

peCode

*Lead Agency *LeadAgencyCode 

Date Achieved +Actual End Date +ComplianceMonitoringD

ate

The system will save a compliance evaluation record that 

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

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

(known as the Date Achieved in AFS). 

Air Program(s) *Air Programs *ProgramCode

+Other Air Program +OtherProgramDescriptio

nText

If a user chooses to report the “Federally-Enforceable 

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

description (e.g., ECL § 205.3).

Action Number >Compliance 

Monitoring Identifier 

(generated based on User ID of 

person adding record).

*ComplianceMonitoringId

entifier

Instead of submitting “99999” to generate a value in 

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

activity identifier automatically when the record is created directly on 

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

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

identifier provided by EDT users must comprise the same format 

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

Code + Unique Identifier). 
20

MDR 

Level

Current - AFS Reporting via Web –

ICIS-Air

Reporting via EDT –

ICIS-Air

Further explanation of specific data fields.

PCE 

Record

PCEs are an 

MDR when they are a 

discovery action for an 

HPV or are included in a 

CMS alternative plan. 

PCEs will continue 

to be an MDR when they are 

a discovery action for an 

HPV or are part of a CMS 

alternative plan. 

PCEs will continue to be 

an MDR when they are a 

discovery action for an HPV or 

are part of a CMS alternative 

plan. 

Facility ID *ICIS-Air 

Programmatic ID

*AirFacilityIdentifier

Action Type 

(Lead Agency/On or Off 

Site inherent in action type)

*Compliance 

Monitoring Activity Type

*ComplianceMonitoringA

ctivityTypeCode

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

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

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

the activity type in their XML submission. 

*Compliance 

Monitoring Type 

*ComplianceInspectionTy

peCode

*Lead Agency *LeadAgencyCode 

Date Achieved +Actual End Date +ComplianceMonitoringD

ate

The system will save a compliance evaluation record that 

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

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

(known as the Date Achieved in AFS). 

Air Program(s) *Air Programs *ProgramCode

+Other Air Program +OtherProgramDescriptio

nText

If a user chooses to report the “Federally-Enforceable 

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

description (e.g., ECL § 205.3).

Action Number >Compliance 

Monitoring Identifier 

(generated based on User ID of 

person adding record).

*ComplianceMonitoringId

entifier

Instead of submitting “99999” to generate a value in 

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

activity identifier automatically when the record is created directly on 

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

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

identifier provided by EDT users must comprise the same format 

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

Code + Unique Identifier).

Investigat

ions

All 

Investigations

 State/Tribe/LCON 

Investigation 

Conducted

Delegated Agency 

Investigation Conducted

Delegated Agency 

Investigation Conducted

Facility ID *ICIS-Air 

Programmatic ID

*AirFacilityIdentifier
21

MDR 

Level

Current - AFS Reporting via Web –

ICIS-Air

Reporting via EDT –

ICIS-Air

Further explanation of specific data fields.

Action Type 

(Lead Agency inherent in 

action type)

*Compliance 

Monitoring Activity Type

*ComlianceMonitoringAc

tivityTypeCode

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

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

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

the activity type in their XML submission. 

*Compliance 

Monitoring Type 

*ComplianceInspectionTy

peCode

*Lead Agency *LeadAgencyCode 

Date Achieved 

(for Investigation 

Conducted)

Actual End Date (for 

Investigation Conducted)

ComplianceMonitoringDa

te 

The MDR for delegated agencies is Investigation Conducted, 

which corresponds to reporting an Investigation with an Actual End 

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

report the Actual Start Date to identify when the Investigation was

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

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

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

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

+Actual Start Date 

(for Investigation Initiated)

+ComplianceMonitoringSt

artDate

+Planned End Date +ComplianceMonitoringPl

annedEndDate

Air Program(s) *Air Programs *ProgramCode

+Other Air Program +OtherProgramDescriptio

nText

If a user chooses to report the “Federally-Enforceable 

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

description (e.g., ECL § 205.3).

Action Number >Compliance 

Monitoring Identifier 

(generated based on User ID of 

person adding record).

*ComplianceMonitoringId

entifier

Instead of submitting “99999” to generate a value in 

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

activity identifier automatically when the record is created directly on 

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

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

identifier provided by EDT users must comprise the same format 

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

Code + Unique Identifier).

Stack 

Tests

All Stack Tests Stack Tests 

Conducted for the Purpose of 

Determining Compliance

Stack Tests Conducted 

for the Purpose of Determining 

Compliance

Facility ID *ICIS-Air 

Programmatic ID

*AirFacilityIdentifier

Action Type 

(Who Conducted/Who 

Observed, Lead Agency 

inherent in action type)

*Compliance 

Monitoring Activity Type

*ComplianceMonitoringA

ctivityTypeCode

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

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

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

the activity type in their XML submission. 

*Compliance 

Monitoring Type

*ComplianceInspectionTy

peCode
22

MDR 

Level

Current - AFS Reporting via Web –

ICIS-Air

Reporting via EDT –

ICIS-Air

Further explanation of specific data fields.

^Conducted By +StackTestConductorType

Code

Since the majority of stack tests reported for compliance 

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

owner/operator. 

Observed By StackTestObservedAgenc

yTypeCode

If an agency was present during the test to observe its 

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

*Lead Agency *LeadAgencyCode 

Date Achieved +Actual End Date +ComplianceMonitoringD

ate

The system will save a compliance evaluation record that 

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

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

(known as the Date Achieved in AFS). 

Test Results 

(Pass, Fail, Pending)

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

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

Air Program(s) *Air Programs *ProgramCode

+Other Air Program +OtherProgramDescriptio

nText

If a user chooses to report the “Federally-Enforceable 

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

description (e.g., ECL § 205.3).

Action Number >Compliance 

Monitoring Identifier 

(generated based on User ID of 

person adding record).

*ComplianceMonitoringId

entifier

Instead of submitting “99999” to generate a value in 

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

activity identifier automatically when the record is created directly on 

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

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

identifier provided by EDT users must comprise the same format 

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

Code + Unique Identifier).

TV ACC 

Due/Received

All TV ACCs All TV ACCs All TV ACCs

Facility ID *ICIS-Air 

Programmatic ID

*AirFacilityIdentifier

Action Type –

TV ACC Due/Received 

(Lead Agency inherent in 

action type)

*Compliance 

Monitoring Activity Type

>ComplianceMonitoringA

ctivityTypeCode

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

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

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

Monitoring Activity Type will be generated based on the XML 

submission type for TV ACC records.

*Compliance 

Monitoring Type

>ComplianceInspectionTy

peCode

Typically this requirement is negotiated between EPA and 

the permitting authority where the permitting authority enters the data. 

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

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

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

MDR 

Level

Current - AFS Reporting via Web –

ICIS-Air

Reporting via EDT –

ICIS-Air

Further explanation of specific data fields.

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

ACC records.

*Lead Agency *LeadAgencyCode 

Due/Received 

(Date Scheduled/Date 

Achieved, Federal Users 

Only, unless otherwise 

negotiated)

+Planned End Date 

(Due Date) 

+ComplianceMonitoringPl

annedEndDate

+Actual End Date 

(Date Received)

+ComplianceMonitoringD

ate

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

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

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

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

Defined Field (UDF) shall be used.

Air Program(s) *Air Programs *ProgramCode

+Other Air Program +OtherProgramDescriptio

nText

If a user chooses to report the “Federally-Enforceable 

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

description (e.g., ECL § 205.3).

Action Number >Compliance 

Monitoring Identifier 

(generated based on User ID of 

person adding record).

*ComplianceMonitoringId

entifier

Instead of submitting “99999” to generate a value in 

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

activity identifier automatically when the record is created directly on 

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

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

identifier provided by EDT users must comprise the same format 

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

Code + Unique Identifier).
24

MDR 

Level

Current - AFS Reporting via Web –

ICIS-Air

Reporting via EDT –

ICIS-Air

Further explanation of specific data fields.

TV ACC 

Review

All TV ACCs All TV ACCs All TV ACCs

Action Type –

TV ACC Review (Lead 

Agency inherent in action 

type)

Reviewer Agency ReviewerAgencyCode 

Date Achieved 

(Review action, Lead 

Agency inherent in action 

type)

Reviewed on [Date] *TVACCReviewedDate

Deviations? 

(Federal Users Only, unless 

otherwise negotiated) 

(Yes/No/# of)

Did Facility Report 

Deviations?

FacilityReportDeviationsI

ndicator

Informal 

Enforcement 

Actions

Notices of 

Violation

Notification of a 

Violation

Notification of a 

Violation

Facility ID *ICIS-Air 

Programmatic ID

*AirFacilityIdentifier

Action Type 

(Type/Lead Agency 

inherent in action type)

*Enforcement Action 

Forum

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

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

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

Informal Enforcement Actions will be generated based on the XML 

submission type. 

*Enforcement Action 

Type

*EnforcementActionType

Code

*Lead Agency *LeadAgencyCode

Date Achieved Achieved Date AchievedDate

Air Program 

Code(s)

*Programs Violated *ProgramsViolatedCode

Action Number >Enforcement Action 

Identifier (generated based on 

User ID of person adding 

record).

*AirDAEnforcementActio

nIdentifer

Instead of submitting “99999” to generate a value in 

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

activity identifier automatically when the record is created directly on 

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

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

identifier provided by EDT users must comprise the same format 

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

Code + Unique Identifier).
25

MDR 

Level

Current - AFS Reporting via Web –

ICIS-Air

Reporting via EDT –

ICIS-Air

Further explanation of specific data fields.

Formal 

Enforcement 

Actions

Formal 

Enforcement Actions

Formal 

Enforcement Actions

Formal Enforcement 

Actions

Facility ID *ICIS-Air 

Programmatic ID

*AirFacilityIdentifier

Action Type 

(Type/Lead Agency 

inherent in action type)

*Enforcement Action 

Forum

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

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

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

the activity type in their XML submission. 

*Enforcement Action 

Type

*EnforcementActionType

Code

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

Compliance Order) users must first create the Enforcement Action 

Type (e.g., Administrative Order). 

*Lead Agency *LeadAgencyCode 

Milestones: Referral 

Date (Judicial Actions Only) –

Actual Date

MilestoneActualDate 

(Judicial Actions Only)

Air Program(s) *Programs Violated *ProgamsViolatedCode

Action Number >Enforcement Action 

Identifier (generated based on 

User ID of person adding 

record).

*AirDAEnforcementActio

nIdentifier

Instead of submitting “99999” to generate a value in 

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

activity identifier automatically when the record is created directly on 

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

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

identifier provided by EDT users must comprise the same format 

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

Code + Unique Identifier).

Final 

Order

Formal 

Enforcement Actions

Final Orders Final Orders

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

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

Final Order identifier automatically when the record is saved. EDT 

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

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

system. This will facilitate linking and editing activities.

Facility ID *ICIS-Air

Programmatic ID

*FinalOrderAirFacilityIde

ntifier

Action Type 

(Type/Lead Agency 

*Final Order Type *Final Order Type Code
26

MDR 

Level

Current - AFS Reporting via Web –

ICIS-Air

Reporting via EDT –

ICIS-Air

Further explanation of specific data fields.

inherent in action type)

Date Achieved +Final Order Issued 

Date (Admin) 

Final Order Entered 

Date (Judicial) 

+FinalOrderIssuedEntered

Date 

Resolving Action 

(and Date Achieved)

Air Resolved Date 

(HPV Resolving Action only)

AirResolvedDate

Cash Assessed 

Penalty

Penalty Assessed to 

be Paid To:

CashCivilPenaltyRequired

Amount (populates Penalty 

Assessed to be Paid To: Delegated 

Agency)

A penalty will be required for some enforcement action 

types. 

Complian

ce Status

Compliance 

Status

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

module. Underlying data reported on the Violation sub link will 

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

Facility ID *ICIS-Air 

Programmatic ID

*AirFacilityIdentifier

Air Program *Programs *ProgramCode 

+Program 

Description

+OtherProgramDescriptio

nText

If a user chooses to report the “Federally-Enforceable 

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

description (e.g., ECL § 205.3).

Pollutant Pollutants AirPollutantCode 

^Lead Agency ^LeadAgencyCode

>Case File Identifier 

(generated based on User ID of 

person adding record).

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

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

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

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

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

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

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

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

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

A unique identifier will also assist with linking for HPVs. 

Violation 

Details

Compliance 

Status

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

pursuant to the underlying polices.

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

MDR 

Level

Current - AFS Reporting via Web –

ICIS-Air

Reporting via EDT –

ICIS-Air

Further explanation of specific data fields.

Pollutant Compliance 

Status (FRV)/HPV Day 

Zero/HPV Violation Type 

Code/HPV Violating 

Pollutant

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

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

regulation.” 

*Air Program *AirViolationProgramCod

e

If a user chooses to report the “Federally-Enforceable 

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

description (e.g., ECL § 205.3).

+Pollutant +AirViolationPollutantCo

de

Date Achieved 

(Day Zero)

+HPV Day Zero Date +HPVDayZeroDate

Informal 

Enforcement 

Method of 

Advisement (aka notification of 

violation)

AdvisementMethodTypeC

ode (aka notification of violation)

This field meets the requirement to report when notice was 

provide to the regulated entity. 

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

advised of any potential violation. 

HPV 

Action Linking

HPV Action 

Linking

HPV Action Linking HPV Action Linking

Discovery Action Discovery 

Action/Date

+OtherPathwayCategoryC

ode

+OtherPathwayTypeCode

+OtherPathwayDate

Addressing 

Action

Addressing 

Action/Date

Resolving Action Resolving

Action/Date
28

TABLE 2

SUMMARY OF NATIONAL MINIMUM DATA REQUIREMENTS (MDRs)

FOR CLEAN AIR ACT STATIONARY SOURCE COMPLIANCE-2012 ICR

Note: Unless otherwise noted, both the EPA Regions and delegated agencies report their own 

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

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

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

enforcement actions (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)

years old, or is listed as a discretionary HPV, it is considered reportable. Individual regional/state 

agreements are not superseded by this listing. 

AFS

Identification Acronym

1. Facility Name PNME

2. State STAB/STTE

3. County CNTY

4. Facility Number PCDS

5. Street STRS

6. City CYNM

7. Zip Code ZIPC

8. NAICS Code NIC1

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

9. Government Ownership GOVT

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

Action Data

Compliance Monitoring Strategy (CMS)

11. CMS Source Category CMSC
29

12. CMS Minimum Frequency Indicator CMSI

Note: Generally EPA enters these fields into AFS; 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 

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

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

Regulated Pollutant(s) within Air Program(s)

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

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

18. Attainment Status: EPA/ST EATN/SATN

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

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

19. Compliance Status: EPA/ST ECAP/SCAP

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

20. Minimum Reportable Actions: 

 Informal Enforcement Actions: Notice of Violation(s)

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

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

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

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

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

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

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

Required.

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

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

Further Action Required.

 Full Compliance Evaluations (On or Off Site)

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

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

120 days.

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

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

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

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

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

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

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

reviews (and state reviews as negotiated).

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

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

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

Additional Action Information:

21. Results Code RSC1

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

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

Title V Annual Compliance Certification reviews. 

22. RD08 (Certification Deviations) RD81

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

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

Certification reviews. 

23. Date Scheduled DTS1

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

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

is not enforcement sensitive. 

24. HPV Violation Type Code(s) VTP1

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

25. HPV Violating Pollutant(s) VPL1

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

Timeliness Standard

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

action record for delegated agencies, with a minimum upload of six (6) times per year. Monthly

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

OPTIONAL/DISCRETIONARY DATA REPORTING: NON-MDR DATA

The following items cover data that are not considered MDRs, 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) years old, or 

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

information would include NSPS and MACT subpart applicability.

 Stack Test Pollutant (PLC1)

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

defined as: Complaint Partial Compliance Evaluation, Permit Partial Compliance 

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

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

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

 Reporting more frequently than every 60 days. 

 State Investigations initiated (Enforcement Sensitive).
32

5. AGENCY ACTIVITIES, COLLECTION METHODOLOGY, AND INFORMATION 

MANAGEMENT

(a) AGENCY ACTIVITIES

Activities performed by EPA personnel involve both EPA Regional and Headquarters 

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

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

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

management activities. The EPA activities include1:

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

on the use of the system, liaison with 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 data system is a well-established process. 

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

Compliance Data System (CDS), has existed for the past 33 years. The MDRs have been 

developed as essential components of a compliance and enforcement tracking program and have 

been adopted into delegated agency systems. Many delegated agencies will automatically update 

ICIS-Air from their database, while some will enter data into ICIS-Air directly. In some 

instances, EPA Regional Offices will enter compliance and enforcement data on behalf of EPA 

as well as for a specific delegated agency into ICIS-Air. 

 

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

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

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

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

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

focus on these efforts. 

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

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

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

of future ICIS-Air users on an ongoing basis.

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

electronic transfer of data from delegated agency databases to ICIS-Air. 

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

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

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

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

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

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

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

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

Exchange (CDX) when delegated agencies transfer data electronically to ICIS-Air. On a weekly

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

data to the public: the ECHO system and ENVIROFACTS. These systems maintain procedures 

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

Many delegated agencies have written Standard Operating Procedures or have expanded 
34

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 timely, 

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

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

system managed by the Office. 

The EPA reviews a comprehensive set of data retrievals on a cyclic basis to review 

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

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

elements for accuracy.

The OECA State Review Framework (SRF) utilizes 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

ICIS-Air will reside on EPA’s Enterprise Servers 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 system, EPA staff and the data steward discuss and resolve the 

concern. EPA policy specifies the security and retention requirements for its databases, in 

addition to the specific program requirements and archiving protocols associated with each 

compliance data collection program. Users of ICIS-Air are required to maintain reportable MDR 

data in the system for at least five (5) years with the exception of data pertaining to HPVs and 

sources with minor formal enforcement actions. Sources with HPVs are to be kept in ICIS-Air

regardless of operating status. Sources with minor formal enforcement actions should be 

maintained in ICIS-Air for at least three (3) years, as ICIS-Air software does not allow deletion 

of actions less than three years old. Users are encouraged to archive permanently closed facilities 

after five (5) years unless HPV activity is contained within the records. 

(v) Public Access

The public may access CAA stationary source compliance and enforcement information

through:

 Review of ICIS-Air data available through EPA-supported Web sites such as 
35

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

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

 Freedom of Information Act requests made to EPA

(c) SMALL ENTITY FLEXIBILITY

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

territorial delegated agencies. The Regulatory Flexibility Act (RFA), incorporated in the 1995 

Paperwork Reduction Act, defines a “small governmental jurisdiction as governments of cities, 

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

than 50,000.” The delegated agencies covered by this renewal ICR are above that threshold, and 

therefore no small entities will be affected by this information collection. The respondents 

defined as local agencies are recipients of Clean Air Act Section 105 grants, or have assumed 

reporting responsibility from their respective state agency.

(d) COLLECTION SCHEDULE

Since the 2012 ICR, data from 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 ICISAir on a monthly basis. Each month, data is extracted and provided to EPA systems for use in 

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

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

completeness of the data submitted. 

6. ESTIMATING THE BURDEN AND COST OF THE COLLECTION

Please note that 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 

in place) associated with delegated agency efforts to transition their reporting processes 

from AFS to ICIS-Air. 

(a) ESTIMATING RESPONDENT BURDEN
36

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

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

burden estimates incorporate the following assumptions and findings:

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

Appendix 3 identifies the list of respondents reporting to AFS. 

 Changes to the documented reporting universe:

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

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

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

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

were added:

 Tennessee / Knoxville

 Maine

 Montana

 North Dakota

 California / Santa Barbara

 Connecticut

 South Dakota

 California / Bay Area

 Nebraska

 Utah

 Maryland

 Hawaii

 Washington

 Oregon

 Delaware

 Missouri

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

following California agencies were added:

o CA / Feather River

o CA / Imperial

o CA / Kern

o CA / Mojave Desert

o CA / San Luis Obispo

o CA / Yolo Solano
37

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

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

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

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

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

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

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

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

old, or any source with a HPV.

 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 agencies in three 

categories for purposes of this ICR 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 >350 Major Sources 13

Medium 60-349 Major Sources 22

Small 59 or fewer Major Sources 58

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

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

California. 

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

were used for the guides:

SYSTEM REPORTING SETUP AND IMPLEMENTATION: Time and resources 

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

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

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

an employee uses a 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 for 
38

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

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

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

DATA ENTRY (DIRECT/BATCH): Historic 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 10% of sources in violation. 

This would require changing the air program pollutant data to violation, and then, in time, back 

to compliance. These activities are added to times reported for data quality and review, training, 

meetings, and other data-related activities to compile a final burden total.

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

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

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

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

CONVERSION FILE MAINTENANCE: Estimates of time spent in maintaining an 

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

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

conversion program is maintained by EPA.

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

assistance versus delegated agency personnel, those resources should be reported using this 

category. This category is reported in dollars spent per year.

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

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

burden.

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

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

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

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

TRAINING AND INFORMATIONAL MEETINGS: Estimates reported in hours of 

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

ONLY. 

 Estimations from direct users of AFS used a conversion of activity from FY2010, 

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 for 

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

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

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

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

than 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 2010 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 95% of Management, Professional, and Related rates and 5% Office and 

Administrative Support rates from the Occupational Group of Delegated agency

Government Employer costs per hour, to reflect the mix of skills required for data 

oversight. The 2008 ICR used a rate of $45.90 per hour. The burden cost by activity is 

computed as the product of burden hours and cost per hour. Added to cost are appropriate 

travel costs to meetings and workshops. The total annual burden cost for 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 only involves reformatting and transmission of that data. As necessary, EPA 

provided the equipment necessary for electronic transmission of data from delegated

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

(c) ESTIMATING AGENCY BURDEN AND COST

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

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

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

positions dedicated to AFS activities in each Regional Office and 2 full time equivalents at the 

Headquarters level. The estimates are based on information from Regional Offices and on prior 
40

experience with the program. Estimates are formulated on a monthly basis versus bi-monthly

basis (every 60 days) required of delegated agencies. Cost estimates for Regional activities are 

based on the salary of a GS-12 (step 5) staffer in 2010. An overhead factor of 1.6 is applied, and 

an average 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 employees to attend data meetings and workshops. 

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

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

Security Manager. The fully loaded staffing cost, with Washington DC locality pay, using the 1.6 

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

attend data meetings and workshops. 
41

WORKSHEET 1

ANNUAL DELEGATED AGENCY RESPONDENT BURDEN 

ESTIMATES (2010; EPA-HQ-OECA-2010-0777; EPA ICR No. 0107.10, OMB 

Control No. 2096-0096.)

Respondent Activities: Process, compile and review Number of Annual 

Annual 

Hours per Total Total

information; transmit information to AFS. Maintain Enforcement Responses Respondent Hours Cost

records for AFS reporting compatibility. Agencies

(6x per 

year)

Small 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 29,711.50 $1,595,014.89

(greater than or equal to 300 major sources)

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

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

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

WORKSHEET 2

FEDERAL ANNUAL AGENCY BURDEN 

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

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

EPA REGION

# OF 

RESPONSES

HOURS PER 

RESPONSE

TOTAL 

HOURS

HOURLY 

COST

FULLY 

LOADED 

COST TOTAL COST

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

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

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

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

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

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

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

REGION 8 12 260.00 3,120.00 $40.10 $64.16 $202,179.20 Denver, CO

REGION 9 12 260.00 3,120.00 $44.24 $70.78 $222,846.08 San Francisco, CA

REGION 10 12 260.00 3,120.00 $39.87 $63.79 $201,031.04 Seattle, WA

Totals 120 2,600.00 31,200.00 $2,036,368.64

EPA HEADQUARTERS

# OF 

RESPONSES

HOURS PER 

RESPONSE

TOTAL 

HOURS

HOURLY 

COST

FULLY 

LOADED 

COST TOTAL COST

SYSTEM 

ADMINISTRATOR 12 173.33 2,080.00 $57.13 $91.41 $192,128.64 GS-14/5

SECURITY MANAGER 12 173.33 2,080.00 $48.35 $77.36 $162,908.80 GS-13/5

Totals 24 346.67 4,160.00 $355,037.44

Total Federal Burden 144 2,946.67 35,360.00 $2,391,406.08

Federal Wage Scales found at: http://www.opm.gov/oca/10tables/indexGS.asp

Fully loaded wage is hourly wage multiplied by 1.6. Total cost includes travel costs for meetings and workshops.
43

(d) ESTIMATING RESPONDENT UNIVERSE AND TOTAL BURDEN 

See Worksheet 1 (above).

(e) BOTTOM LINE BURDEN HOURS AND COSTS

Worksheet 3 summarizes the total annual burden hours and costs for AFS collection 

activity. The data for Worksheet 3 represents totals computed across activities identified in 

Worksheets 1 and 2.

WORKSHEET 3

TOTAL BURDEN HOURS AND COSTS (2010; EPA-HQ-OECA-2010-0777; EPA 

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

Respondent Type Total Hours Total Costs

1. Delegated agencies 54,384 $ 2,843,187

2. EPA Regions 31,200 $ 2,036,369

3. EPA Headquarters 4,160 $ 355,037

Totals 89,744 $ 5,234,593

(f) REASONS FOR CHANGE IN BURDEN

Under this renewal ICR (2010; EPA-HQ-OECA-2010-0777; EPA ICR No. 0107.10, 

OMB Control No. 2096-0096.), total annual delegated agency respondent burden has decreased 

to 54,384 hours, while the 2008 ICR estimated a total annual respondent burden of 73,073 hours. 

Thus, the total estimated annual decrease in respondent burden is 18,689 hours. No adjustment to 

the baseline count of hours is submitted. The following information is provided to account for 

burden difference:

 Reduction in the Major Source universe: The universe of Major Sources continues 

to reduce in size. The FY2010 universe was 14,511 major sources, the universe 

used for the 2008 ICR was 15,563 major sources, a difference of 7%. Universe 

figures will result in less reporting burden to report a smaller universe.

 Use of the Universal Interface software program: There were 17 agencies using 

the product. One state estimated they obtained a 30% savings in time using the 

UI. Not every state realizes the same amount of savings while using the product, 

as mapping and implementation depend upon the structure of the in-house 

database. However, a portion of the burden savings can be attributed to use of the 
44

UI. 

 Consultations with 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 UI batch user.

 Every agency has a different procedure for the collection, review, verification, 

entry, analysis and interpretation of data management procedures. What might 

take 20 hours in one agency may take 30 or more hours in another due to internal 

procedures, management practices, and the relative skill and experience of the 

user. Many of the agencies interviewed totaled the FTE hours expended in their 

agency and divided those hours amongst the ICR Burden Estimate categories. 

 None of the agencies interviewed used outside contractors for any data 

management work. In the past, contractor work has proven to be more labor 

intensive and more expensive than work completed by 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 type of respondent. Reporting by delegated

agencies on source compliance and enforcement actions is estimated based on the number of 

major sources in the delegated agencyarea. On a yearly basis using median counts, a small 

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

delegated agency spends an average of 70 hours and a large delegated agency will spend around 

381 hours per 60 days reporting to AFS, for a total of 54,384 hours per year for the transmittal, 

management and quality assurance of their data. The EPA will require a total of 35,360 hours per 

year for EPA oversight, data quality assurance, reporting, and other Agency activities, for an 

overall total of 89,744 hours for both Federal and delegated agency effort.

Burden means the total time, effort, or financial resources expended by persons to 

generate, maintain, retain, or disclose or provide information to or for a Federal agency. This 

includes the time needed to review instructions; develop, acquire, install, and utilize technology

and systems for the purposes of collecting, validating, and verifying information; adjust the 
45

existing ways to comply with any previously applicable instructions and requirements; train 

personnel to be able to respond to a collection of information; search data sources; complete and 

review the collection of information; and transmit or otherwise disclose the information. An 

agency may not conduct or sponsor, and a person is not required to respond to, a collection of 

information unless it displays a currently valid OMB control number. The OMB control 

numbers for EPA regulations are listed in 40 CFR Part 9 and 48 CFR Chapter 15.

To comment on the Agency’s need for this information, the accuracy of the provided 

burden estimates (note that the burden estimates are from 2010), and any suggested 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-2014-0523, 

which is available for online viewing at www.regulations.gov, or in person viewing at the OECA

Docket in the EPA Docket Center (EPA/DC), EPA West, Room 3334, 1301 Constitution Ave., 

NW, Washington, DC. The EPA/DC Public Reading Room is open from 8:30 a.m. to 4:30 p.m., 

Monday through Friday, excluding legal holidays. The telephone number for the Reading Room 

is (202)566-1744, and the telephone number for OECA Docket is (202)566-1752. An electronic 

version of the public docket is available at www.regulations.gov. This site can be used to submit 

or view public comments, access the index listing of the contents of the public docket, and to 

access those documents in the public docket that are available electronically. When in the 

system, select “search,” then key in the Docket ID Number identified above. Also, you can send 

comments to the Office of Information and Regulatory Affairs, Office of Management and 

Budget, 725 17th Street, NW, Washington, D.C. 20503, Attention: Desk Officer for EPA. Please 

include the EPA Docket ID Number EPA-HQ-OECA-2014-0523 and OMB Control Number 

2060-0096 in any correspondence.
46

APPENDIX 1 

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

DELEGATED AGENCY CLASSIFICATION BY SIZE

99 AGENCIES

SMALL = <59 MAJOR SOURCES

AGENCY MAJORS AGENCY MAJORS

AMERICAN SAMOA 0 CA-MONTEREY BAY 19

NV-WASHOE 2 OR-LANE 19

WA-BENTON 2 AL-HUNTSVILLE 20

MARIANNAS PROTECTORATE 4 WA-NORTHWEST 20

WA-YAKIMA 5 VI 21

CA-FEATHER RIVER 6 VT 21

CA-KERN 6 CA-SAN DIEGO 26

CA-SAN LUIS OBISPO 6 CA-VENTURA 28

IA-POLK 9 NV-CLARK 28

NM-ALBUQUERQUE 9 NC-ASHEVILLE 30

WA-SPOKANE 9 NV 30

NC-FORSYTH 10 WA-PUGET SOUND 33

CA-IMPERIAL 11 DC 34

IA-LINN 11 PA-ALLEGHENY 34

NC-MECKLENBURG 11 TN-MEMPHIS 36

AZ-PINAL 14 KY-JEFFERSON 37

CA-YOLO SOLANO 14 AL-JEFFERSON 38

AZ-PIMA 15 AZ-MARICOPA 39

CA-SACRAMENTO 15 PA-PHILADELPHIA 39

NE-LINCOLN-LANCASTER 15 RI 39

GU 16 NH 44

WA-OLYMPIC 16 PR 49

WA-SOUTHWEST 16 CA-MOJAVE DESERT 50

TN-NASHVILLE 17 ID 58

TN-CHATTANOOGA 18
47

MEDIUM = 60-349 MAJOR SOURCES

AGENCY MAJORS AGENCY MAJORS

TN-KNOX 60 WY 167

ME 66 NM 169

CA-CARB 69 WV 192

MT 69 AR 202

ND 69 CA-SAN JOAQUIN 257

CA-SANTA BARBARA 75 VA 273

CT 83 IA 274

SD 86 CO 284

CA-BAY AREA 90 MS 288

NE 116 KY 290

UT 119 KS 300

MD 127 MN 305

HI 131 OK 306

WA 132 TN 307

OR 135 MO 314

AZ 139 NJ 317

MA 144 SC 322

AK 149 NC 346

DE 162

LARGE = >350 MAJOR SOURCES

AL 371

FL 405

GA 406

NY 448

MI 459

CA-SOUTH COAST 495

WI 500

BATC

UI

DIRE

CT

BATC

UI

DIRE

CT
48

IL 502

LA 520

PA 634

IN 669

OH 725

TX 1418