                             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:

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 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:

   oo 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.


   oo 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. 

   oo 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.

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

   * 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, 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 system-required 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 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, system-based 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 partners in AFS modernization tasks; and help the EPA understand the barriers that delegated agencies face in achieving a major information system transition. 

         o 
       (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.


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

            (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, SM-80's and Part 61 NESHAP facilities that are not Title V Minor Sources, other facilities identified within the CMS Evaluation Plan, any facility with a formal enforcement 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 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.

                                    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) 
*LocationAddressCityCode 
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.    

Zip Code
*Zip Code
*LocationZipCode


NAICS Code or SIC Code
*Primary NAICS Code
*NAICSPrimaryIndicatorCode


Government Ownership
Facility Type of Ownership
FacilityTypeOfOwnershipCode



>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 Federally-Enforceable Air Program(s)





Air Program 
*Air Program 
*AirProgramCode
 


+Air Program Description
+OtherProgramDescriptionText
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
*AirProgramOperatingStatusCode



^Air Program Operating Status Start Date
^AirProgramOperatingStatusStartDate
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 Classification
*Delegated Agency Pollutant Classification 
*AirPollutantDAClassificationCode 
  


^Delegated Agency Pollutant Classification Start Date 
^AirPollutantDAClassificationStartDate 
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
^AirPollutantStatusIndicator
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
*AirCMSSourceCategoryCode



^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)

*CMS Source Frequency Indicator (if there is *not* a default minimum for selected Source Category)
*AirCMSMinimumFrequency

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
*ComplianceMonitoringActivityTypeCode
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 
*ComplianceInspectionTypeCode



*Lead Agency 
*LeadAgencyCode 


Date Achieved
+Actual End Date
+ComplianceMonitoringDate
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 
+OtherProgramDescriptionText
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).
*ComplianceMonitoringIdentifier
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).  
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
*ComplianceMonitoringActivityTypeCode
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 
*ComplianceInspectionTypeCode



*Lead Agency 
*LeadAgencyCode 


Date Achieved
+Actual End Date
+ComplianceMonitoringDate
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 
+OtherProgramDescriptionText
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).
*ComplianceMonitoringIdentifier
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).
Investigations
All Investigations
* State/Tribe/LCON Investigation Conducted
Delegated Agency Investigation Conducted
Delegated Agency Investigation Conducted


Facility ID
*ICIS-Air Programmatic ID
*AirFacilityIdentifier


Action Type (Lead Agency inherent in action type)
*Compliance Monitoring Activity Type
*ComlianceMonitoringActivityTypeCode
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 
*ComplianceInspectionTypeCode



*Lead Agency 
*LeadAgencyCode 


Date Achieved (for Investigation Conducted)
Actual End Date (for Investigation Conducted)
ComplianceMonitoringDate 
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)
+ComplianceMonitoringStartDate



+Planned End Date
+ComplianceMonitoringPlannedEndDate


Air Program(s)
*Air Programs
*ProgramCode



+Other Air Program 
+OtherProgramDescriptionText
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).
*ComplianceMonitoringIdentifier
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
*ComplianceMonitoringActivityTypeCode
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
*ComplianceInspectionTypeCode
 


^Conducted By 
+StackTestConductorTypeCode
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
StackTestObservedAgencyTypeCode
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
+ComplianceMonitoringDate
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 
+OtherProgramDescriptionText
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).
*ComplianceMonitoringIdentifier
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
>ComplianceMonitoringActivityTypeCode
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
>ComplianceInspectionTypeCode
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 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) 
+ComplianceMonitoringPlannedEndDate



+Actual End Date (Date Received)
+ComplianceMonitoringDate


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 
+OtherProgramDescriptionText
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).
*ComplianceMonitoringIdentifier
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 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?
FacilityReportDeviationsIndicator

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
*EnforcementActionTypeCode



*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).
*AirDAEnforcementActionIdentifer
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).
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
*EnforcementActionTypeCode
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).
*AirDAEnforcementActionIdentifier
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
*FinalOrderAirFacilityIdentifier


Action Type (Type/Lead Agency inherent in action type)
*Final Order Type
*Final Order Type Code


Date Achieved
+Final Order Issued Date (Admin) 

Final Order Entered Date (Judicial) 
+FinalOrderIssuedEnteredDate 


Resolving Action (and Date Achieved)
Air Resolved Date (HPV Resolving Action only)
AirResolvedDate


Cash Assessed Penalty
Penalty Assessed to be Paid To:
CashCivilPenaltyRequiredAmount (populates Penalty Assessed to be Paid To: Delegated Agency)
A penalty will be required for some enforcement action types. 
Compliance 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
+OtherProgramDescriptionText
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, ICIS-Air will generate the activity identifier automatically when the record is saved.  EDT users must provide the identifier.  This will enable tracking activities in ICIS-Air using an identifier generated by the state or local agency data system.  This will facilitate editing activities. 

A unique identifier will also assist with linking for HPVs.  
Violation Details
Compliance Status
Violation Tracking 
Violation Tracking 
This data may be designated as enforcement sensitive pursuant to the underlying polices. 

Air Program Pollutant Compliance Status (FRV)/HPV Day Zero/HPV Violation Type Code/HPV Violating Pollutant
*Violation Type
*AirViolationTypeCode
In ICIS-Air the list of violation types is more descriptive than the options used to report violations in AFS. Instead of reporting "In-Violation with regard to procedural compliance" users will report, for example, "Failure to maintain records as required by permit or regulation." 


*Air Program
*AirViolationProgramCode
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
+AirViolationPollutantCode


Date Achieved (Day Zero)
+HPV Day Zero Date
+HPVDayZeroDate


Informal Enforcement 
Method of Advisement (aka notification of violation)
AdvisementMethodTypeCode (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
+OtherPathwayCategoryCode

+OtherPathwayTypeCode

+OtherPathwayDate

   
Addressing Action
Addressing Action/Date


   
Resolving Action
Resolving Action/Date



                                    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

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 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 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 On-Site 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).




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 include:

   * 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.  


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 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 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 ICIS-Air 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

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
            
   * 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 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, 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 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.  

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.

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.
	
(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 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 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.

                                 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
 
 

                                     BATCH
                                      UI
                                    DIRECT
                                     BATCH
                                      UI
                                    DIRECT

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


                                     BATCH
                                      UI
                                    DIRECT
                                     BATCH
                                      UI
                                    DIRECT
LARGE = >350 MAJOR SOURCES
AL
371
FL
405
GA
406
NY 
448
MI
459
CA-SOUTH COAST
495
WI
500
IL
502
LA
520
PA
634
IN
669
OH
725
TX
1418

