                             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 0107.12, OMB Control Number 2060-0096.

      1(b) Short Characterization/Abstract:
                                    
Air Stationary Source Compliance and Enforcement Information Reporting is an activity whereby State, Local, Native American, Territorial and Commonwealth governments (hereafter referred to as "delegated agencies") report air stationary source compliance and enforcement information to the U.S. Environmental Protection Agency (the EPA or the Agency) on a regular basis. The information is provided to the EPA via input to the Integrated Compliance Information System (ICIS). ICIS contains compliance and enforcement information on thousands of facilities regulated under numerous federal statutes including the Clean Water Act  -  National Pollutant Discharge and Elimination System (NPDES) program. The modules within ICIS that are used to report air related data are collectively referred to as ICIS-Air. Agencies receive delegation of the Clean Air Act (CAA) through regulated grant authorities, and report compliance/enforcement activities undertaken at stationary sources pursuant to the minimum data requirements as outlined in this ICR. The majority of delegated agencies maintain their own data system and extract data from it and report it to ICIS-Air using either electronic data transfer (EDT) or manually ("direct entry"). A small number of delegated agencies use ICIS-Air exclusively, since they have no internal air compliance and enforcement database. The information provided to the EPA includes source information, compliance monitoring activities, violation determinations, and enforcement activities. The EPA uses this information to assess the health of the compliance and enforcement program established under the CAA. The EPA also uses ICIS-Air to record comparable federal activities. 

2. Need for and Use of the Collection

      2(a) Need/Authority for the Collection

            (i) Authority	
			
The CAA calls for state, local, federal and Native American governments to implement the Act in partnership with EPA to reduce pollution. It is well understood that working closely with government partners leads to better programs that are more effective and efficient. For regulatory programs, EPA often has discussions early in the rulemaking process with government partners (federal, state, local and tribal) and with interested parties such as affected industries, environmental groups, and communities. After a rule is complete, EPA works with government partners and stakeholders to achieve effective implementation. This ICR supports the partnership established for CAA program implementation by facilitating regular information exchange. Section 114(a)(1) of the CAA, 42 U.S.C. §7414(a)(1), establishes that EPA may request information on a one-time, periodic or continuous basis for the purpose of carrying out any provision of the Act. Individually, certain provisions of the Act and its implementing regulations include specific language for the collection of some of the information requested by this ICR. For example, 110(p) of the CAA, 42 U.S.C § 7410(p), establishes that EPA may request information to assess the implementation of any state implementation plan. 40 CFR § 70.4(j)(1) (Title V) requires that any information obtained or used in the administration of a Title V permit program be available to EPA. This ICR encompasses this information in addition to information that assists with carrying out additional provisions of the Act. Related provisions include but are not limited to New Source Performance Standards (NSPS) in 40 CFR Part 60, National Emission Standards for Hazardous Air Pollutants (NESHAP) in 40 CFR Part 61 and Part 63, and New Source Review (NSR) permitting regulations in 40 CFR Part 51 and Part 52. The periodic reporting of regulated source information, compliance monitoring, violation determination, and enforcement information is the subject of this renewal ICR.
                                       
            (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. But, the CAA requires that EPA regularly monitor delegated agencies to ensure adequate implementation and enforcement of delegated and authorized programs. To do this, the EPA has identified the minimum amount of data or the Minimum Data Requirements (MDRs) it believes are necessary to manage the national air stationary source compliance monitoring and enforcement program within this ICR. Reporting the MDRs, which are listed in Table 1 in Section 4(b), is critical in order to:

 Manage the national CAA compliance and enforcement program to ensure effectiveness and consistency; 
 Oversee state/local/tribal efforts and assess progress in achieving protection of the environment and public health; 
 Target compliance activities and enhance ability to use advanced monitoring tools; 
 Improve efforts to achieve health and environmental benefits envisioned by our regulations and permits; 
 Increase transparency and meet public expectations for readily accessible and detailed information; and
 Provide complete and timely responses to inquiries (e.g., Congress, Office of Management and Budget (OMB), public).
      
In addition to the regulatory infrastructure the data supports, it also allows the Agency to effectively implement our compliance and enforcement guidance and policies. These are: 

 The Clean Air Act Stationary Source Compliance Monitoring Strategy, July 14, 2014 (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. Data included in this ICR is a critical component of the implementation of the CMS.

 The Clean Air Act National Stack Testing Guidance, April 27, 2009  -  The EPA developed the stack testing guidance to improve uniformity in conducting stack tests and promote coordination among the EPA and delegated agencies. ICIS-Air is the Agency's repository for stack test data regarding compliance with CAA regulations. 

 The Guidance on Federally-Reportable Violation for Clean Air Act Stationary Sources, September 23, 2014 (FRV policy)  -  The EPA developed the 2014 FRV policy to balance a commitment to share information with the public about violations of CAA regulations that affect their communities with the need to prioritize the use of limited resources available to delegated agencies. The FRV policy supports the Agency in managing the national CAA compliance and enforcement program. ICIS-Air is the Agency's repository for data pertaining to federally-reportable violations, which are violations of federally-enforceable regulations.  

 The Enforcement Response Policy for High Priority Violations of the Clean Air Act, August 25, 2014 (HPV policy)  -  The EPA developed the 2014 HPV policy to help Federal, state, local and tribal delegated agencies prioritize enforcement efforts with respect to sources of air pollution. The HPV policy addresses a subset of federally-reportable violations, called high priority violations (HPVs), that the Agency believes warrant additional oversight. The additional oversight serves to ensure that delegated agencies respond to such violations in a timely and appropriate manner and, if needed, have access to federal assistance. ICIS-Air fully supports reporting HPV activity: the discovery action, notice/advisement provided to the regulated entity, addressing the violation, and resolution of the violation and enforcement action.

Data concerning stationary source compliance monitoring and enforcement 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 developed a State Review Framework (SRF) for conducting consistent reviews of core monitoring and enforcement activities pursuant to the CAA, Clean Water Act (CWA), and the Resource Conservation and Recovery Act (RCRA) programs. These SRF reviews were initiated in 2004, and have occurred in 4-year cycles. The data reported to ICIS-Air is paramount for these reviews. Each review begins with an analysis of data metrics to identify any obvious trends or issues. The SRF reviews are a platform for collaborative problem solving regarding compliance monitoring, enforcement, and data management.  

Specific data from ICIS-Air will be provided to the EPA Web site, Enforcement and Compliance History Online (ECHO) (http://echo.epa.gov/), which allows the public to access compliance and enforcement information for multiple statutory programs on approximately 800,000 regulated facilities nationwide. ECHO is updated via weekly data extracts from ICIS-Air. ECHO allows the public to retrieve information about CAA regulated sources as well as EPA and delegated agency compliance evaluations, violation determinations, and enforcement actions. In addition to ECHO, data from ICIS-Air is included in the EPA's ENVIROFACTS, a web tool developed and maintained by the EPA Office of Environmental Information (http://www3.epa.gov/enviro/) 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) Additional Data Options for Reporting Considered as Part of this Renewal ICR
      This renewal requires the continuation of reporting of previously established MDRs via either direct, on-line entry or electronic data transfer (EDT) to ICIS-Air, and does not introduce any new data requirements. On June 8, 2018, the EPA solicited comment (83 FR 26664) on several options for improving the reporting of CAA stationary source facility compliance information in order to improve the display, usability and accuracy of the data submitted to ICIS-Air for presentation to the public through EPA's ECHO capability. Specifically, the EPA solicited comment on three options presented for the reporting of Federally Reportable Violation (FRV) dates: 1a. FRV Determination Date and Case File Resolved Date; 1b. Violation Occurrence Start Date and Occurrence End Date; and 2. FRV Determination Date. Option 1a would require the linking of formal enforcement actions to the case file, and in the absence of formal enforcement action, the entry of Resolving Action Type and Date. Option 1b would add two data elements to the minimum data requirements. Option 2 continues the status quo in which the FRV Determination Date is either reported voluntarily by the agency or auto-generated by ICIS-Air to match the date on which the agency submitted the FRV data to ICIS-Air. These options were further outlined in a 2/27/18 joint EPA-State paper, located in Docket Id. No. EPA - HQ - OECA - 2018 - 0248. The EPA has considered the small set of public comments received on these options in this renewal and intends to continue the status quo with respect to the MDRs associated with reporting FRVs.
            
 2(b) Practical Utility/Users of the Data

There are many ways in which the EPA, delegated agencies, and the public use the data included in this ICR. As stated previously, the MDRs represent the minimum amount of data the Agency believes necessary for effective management of the national air stationary source compliance monitoring and enforcement program. Some of the key uses of the data on a national basis are to:

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

 Support efficient and effective targeting and enhanced enforcement strategies;

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

 Support essential oversight activities;

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

 Develop measures of regulatory program success;

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

 Standardize delegated agency reporting to EPA;

 Assist regulatory analyses and design of new regulations; 

 Support multimedia initiatives which integrate quarterly reports of air, water, and land compliance data;

 Provide timely and accurate response to information requests made by 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

ICIS is a data system designed to track compliance and enforcement information. It is a modern web-based system which provides easy access to historical and current records for the EPA, and state/local/tribal agency staff involved in compliance and enforcement activities. Within ICIS, there are data modules specifically for reporting compliance and enforcement data pertaining to activities related to the CAA. These modules are collectively referred to as ICIS-Air. The following are important facets of ICIS-Air:
   
 Provides both electronic submission and Graphical User Interface (GUI) capabilities.   
 Provides modern and streamlined methods for electronic transfer of data. 
 Implements robust security features to ensure the integrity of the software and data, protect confidentiality of data, and maximize availability to users.
 Adheres to the EPA standards for software and hardware development, including the use of the Central Data Exchange (CDX) and EPA/ECOS data standards.
 Supports all baseline MDRs necessary to conduct the national air stationary source enforcement and compliance assurance program.  
 Contains a set of streamlined data entry screens with maximized system-generation of data based on user permissions and types of records being reported.
 Auto-populates data fields to the greatest extent possible based on the record type being added or type of agency (e.g., state) associated with the user adding the record.  
 Includes drop-down menus of values and type-ahead functionality 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. Non-Duplication, Consultations, and Other Collection Criteria

3(a) Non-Duplication

The MDR elements outlined in Table 1 of Section 4(b) represent minimum data requirements for effective implementation and management of a national compliance and enforcement program. For EPA and the public, the ICIS-Air data is the only national repository of information on CAA stationary source compliance and enforcement activities. This ICR relates to information that delegated agencies generally collect as part of their customary business practice to manage their compliance and enforcement programs. Some delegated agencies use ICIS-Air as their sole data system for managing the MDRs and other data elements, while others have their own data management systems and report information they manage in their own system to ICIS-Air. Roughly one-third of the reporting delegated agencies report data using electronic data transfer (EDT). 

Agencies that report data to ICIS-Air via EDT submit their data in Extensible Markup Language (XML) format. To facilitate the submission of data, node plug-ins have been developed for agencies to extract the data requested by this ICR and convert it into XML submission files that are submitted to ICIS-Air via the EPA's Central Data Exchange (CDX). 

3(b) Public Notice Required Prior to ICR Submission to OMB

An announcement of a public comment period for the renewal of this ICR was published in the Federal Register (83 FR 26664) on June 8, 2018.  EPA received eight comments, five of which responded to the reporting options for Federally Reportable Violation (FRV) dates provided in the notice; the remaining three comments were unrelated to the data requirements or burden associated with this renewal. Of these, all five commenters expressed a preference for Option 2 which would continue the status quo in which the FRV Determination Date is either reported voluntarily by the agency or auto-generated by ICIS-Air to match the date on which the agency submitted the FRV data to ICIS-Air. One of these commenters also indicated that Option 1a could be feasible for their agency. One commenter also provided comments to request that EPA reconsider the exclusion of 40 CFR 61.145 asbestos demolition and renovation activities from the ICR, and to express that the timeframe for reporting the results of stack tests or performance tests is unrealistic. It is our policy to respond after a thorough review of comments received since the last ICR renewal, as well as those submitted in response to the first Federal Register notice. The comments received and our responses are included in this ICR as a supplementary document. 

3(c) Consultations

The Agency has consulted delegated air agencies in order to collect annual estimates of the relative time to report the minimum data requirements to ICIS-Air. The Agency consulted a total of eight delegated agencies, including four "small" agencies (agencies reporting for less than 150 major sources) and four "large" agencies (agencies reporting for greater than 150 major sources). Of the eight delegated agencies, four report to ICIS-Air via EDT and four report via direct, online data entry. The feedback EPA received is summarized in Section 6(a) Estimating Respondent Burden. 

      3(d) Effects of Less Frequent Collection
      
During this ICR renewal process, the EPA is not implementing any changes to the reporting timeframes. EPA expects that for any reportable activity, the associated MDRs will be reported with 60 days of the date of the activity. 

If the EPA received data less frequently (e.g., quarterly), there would be an adverse impact on the collaborative process for conducting compliance monitoring evaluations and ensuring violations discovered are addressed and resolved timely. In addition, the timeliness of making this information available to the public would suffer. The lack of timeliness would create a specific data quality concern, additional to any other known data quality concerns.
      
3(e) General Guidelines

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

  	3(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). 

	3(g) Sensitive Questions

This information collection does not include sensitive questions. No questions concerning sexual behavior or attitudes, religious beliefs, or other matters usually considered private are included in this information collection.

4.  The Respondents and the Information Collected

4(a) Respondents/SIC Codes

The respondents for the information collection activity are state, local, territorial, and Native American delegated agencies. The United States Standard Industrial Classification (SIC) code for the respondents affected by the standards is SIC 9511 which corresponds to the North American Industry Classification System (NAICS) 924110 for Administration of Air and Water Resource and Solid Waste Management Programs. Source compliance data assembled by delegated agencies covers numerous NAICS categories. 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 local air pollution control agencies). The classification of small and large agencies is made based upon the number of major sources included in their federally-reportable universe: 150 or less major sources is defined as a small agency, 151 or more major sources is defined as a large agency. In addition to major sources of which there are 14,861 active as of the drafting of this ICR, these delegated agencies track a significant number of non-major sources that are federally reportable (27,261 synthetic minors and 3,195 minors). 

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

4(b) Information Requested

            (i) Data 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. The list of MDRs as reported to ICIS-Air is found in Table 1, MDRs for Renewal. The data elements include source information, compliance monitoring activities, violation determinations and enforcement actions. Activities can be reported as either planned or completed. In general, the completed or concluded date is the relevant date for this ICR. Minimum reportable activities include compliance evaluations, investigations, performance tests and results, informal enforcement actions, and formal enforcement actions. The following section describes each of these data elements. 

A facility is a stationary source, containing one or more pollutant-emitting units. It includes portable sources, which are stationary sources that can be moved from one physical location to another, such as an asphalt processing plant. Each facility is associated with one delegated agency. The delegated agency is identified by a unique combination of characters embedded in a facility's Programmatic Identifier. In ICIS-Air a facility record must exist before users can enter data for activities associated with that facility such as compliance evaluations and enforcement actions. Activities are to be reported when they occur at a facility that is part of the federally-reportable universe, which is comprised of all: 

 Title V major sources; 
 Synthetic minor sources; 
 Sources subject to a Part 61 NESHAP regulation; 
 Facilities included in a CMS plan;
 Facilities subject to a formal enforcement action; and 
 Facilities with an HPV.  
            
The Agency is aware that the federally-reportable universe included in this ICR differs from the universe of sources generally covered by the CMS, FRV and/or HPV policies. The CMS policy focuses on Title V majors and 80% synthetic minor sources, the FRV policy sets the universe of sources at which FRVs are to be reported to Title V majors, 80% synthetic minors, sources on a CMS plan, and any source with an HPV; and the HPV policy generally applies to Title V majors. This difference will result in compliance monitoring activities and enforcement actions being reported for some sources not covered by these policies. 

Compliance monitoring activities are evaluations of the compliance status of the facility. These activities include compliance evaluations (both partial and full), investigations, performance tests, and receipt and review of Title V annual compliance certifications.
 
A compliance evaluation generally includes:

             A review of all required reports and the underlying records;
             An assessment of air pollution control devices and operating conditions;
             Observing visible emissions; 
             A review of facility records and operating logs; or
             An assessment of process parameters, such as feed rates, raw material compositions, and process rates.

After a compliance monitoring activity is completed a review of all acquired materials against the regulatory framework and/or permit is conducted to determine if any violations occurred. Some agencies are authorized to make a violation determination during the compliance monitoring activity, while others are not. The 2014 FRV and HPV policies discuss when a violation is to be reported to ICIS-Air. To report a violation, delegated agencies must first create a Case File activity. Within the Case File, violations are reported by selecting a violation type and air program violated (e.g., New Source Performance Standards). Some violation types also require a pollutant (e.g., Violation of an Emission Limit). FRVs include violations of federally-enforceable rules and regulations, which include all limitations and conditions that are enforceable by the Administrator and citizens under the CAA or that are enforceable under other statutes administered by the Administrator. 

If a FRV determination is made, then typically a source is notified of such findings via an informal enforcement action. An informal enforcement action notifies or advises the recipient of apparent deficiencies, findings concerning noncompliance, or that the issuing agency believes one or more violations occurred at the referenced source and provides instructions for coming into compliance. An informal enforcement action offers an opportunity for the recipient to discuss with the issuing agency actions they have taken to correct the violations identified or provide reasons they believe the violations did not occur. An informal enforcement action may include reference to an issuing agency's authority to elevate the matter, and/or liability of the recipient to pay a penalty. This data is intended to ensure that the delegated agency informs the source as soon as possible of the agency's findings so that the source is on notice of the need to promptly correct conditions giving rise to the violation(s) or potential violation(s). 

A formal enforcement action either requires that a person comply with regulations, requirements, or prohibitions established under the CAA; sets compliance schedule with milestones, requires payment of a penalty or establishes an agreement to pay a penalty; initiates an administrative procedure (e.g., file a complaint) or civil action (e.g., referral); or constitutes a civil action. Generally, these actions are referred to as complaints, settlement agreements, compliance or penalty orders, referrals, consent agreements, or consent decrees. In other words, formal enforcement actions have legal consequences if the source does not comply. All facilities subject to formal enforcement are to be tracked in ICIS until the resolution of the enforcement action, regardless of classification. 
 

Record keeping: Data provided to the EPA by delegated agencies will be maintained by the EPA in ICIS-Air and, when appropriate, transferred to the National Archives and Records Administration. 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 include:

 Processing, compiling, and reviewing information for accuracy and appropriateness; 
 Transmitting information for entry into ICIS-Air, including any necessary changes to delegated agency data systems to facilitate the transfer of MDRs; and
 Affirming that the data has been transmitted accurately.

These tasks generally are to be performed on a 60-day basis. Most of the burdens under Activity 1 are designated as Customary Business Practice, because the delegated agencies collect a majority of the information required by the EPA for their own program management purposes.

	Record Retention: Delegated agencies should maintain MDR data in ICIS for at least five (5) years with the exception of data pertaining to HPVs. Sources with HPVs are to be kept in ICIS-Air indefinitely regardless of operating status. In addition, ICIS-Air users may delete data from the system that is no longer valid or that pertains to sources that are no longer federally-reportable or are permanently closed. 
            
                                    TABLE 1
      ICIS-AIR: Reporting Minimum Data Requirements  -  Delegated agencies
This table shows provides the CAA stationary source compliance and enforcement minimum data requirements (MDRs) and where they are reported in ICIS-Air.  

In some instances, there is a difference between reporting requirements for web entry and electronic data transfer (EDT) in ICIS-Air. An example is an activity identifier. In ICIS-Air, agencies that will report using EDT will provide an activity identifier for each activity reported, agencies that will report via the web will have an activity identifier generated for them. This difference exists to allow EDT agencies to report an identifier generated by their state or local agency system. In this table, agencies that will report via the web are referred to as "web agencies," and agencies that will report using EDT are "EDT agencies."

Area
MDR
 ICIS-Air Data Field
Further explanation of specific data fields.
                              Source Information
                            Source/Facility Record
                                  Facilities
                             Required Data Fields
A facility is a stationary source of pollutants including portable stationary sources. All sources included in the federally-reportable universe are to be reported. 

Facility ID
Programmatic ID 
The Program ID is 18 alphanumeric characters comprised of the State or Tribe, LCON (where applicable), and 13 characters unique within the reporting agency. A facility is uniquely defined by its Programmatic ID. The Programmatic ID is provided by the delegated agency. 

Facility Name
Facility Site Name
The Facility Name would indicate the environmental relevance of the facility or reference the regulated activities (e.g., Joe's Widget Manufacturing Facility). Name changes should be reported as soon as they are known. 

Street
Address
The address reported is the physical address of a facility. This is the address of the location where the emissions occur; not, for example, the corporate headquarters. If no physical address exists, delegated agencies may report a PO Box along with a latitude and longitude for the physical location of the facility.

City
City (GNIS City Code or City Name) 
The city can be reported in the City free text field or in the City Name (GNIS) field using the GNIS Feature ID. If no city is available, a corresponding value indicating such should be provided in the City text field (e.g., No City) with an accurate latitude and longitude reported. 

State
State
The postal state code that corresponds to the state in which the facility is physically located. 

County
County Name (GNIS)  
A county is required if the City text field is used to report the City. If the City Name (GNIS) is used to report the City, the county will be set based on the City Name (GNIS) reported. 

Zip Code
Zip Code
The zip code that corresponds to the physical location of the facility. 

NAICS Code 
Primary NAICS Code
The North American Industry Classification System (NAICS) is the standard used by Federal statistical agencies in classifying business establishments. NAICS are assigned based on a facility's primary business activity. A complete and valid NAICS code contains six digits.

Government Ownership
Facility Type of Ownership
Facility Type of Ownership reflects whether the facility is privately owned or owned by different levels of government. Although identification of the owner/operator can be defined down to the municipal level, at a minimum any federally owned/operated facility should be identified. 
                                 Air Programs
              All Applicable Federally-Enforceable Air Program(s)
                              Required Data Fields
Air programs are CAA regulatory programs (e.g., Title V permits). All applicable air program codes are to be reported, but a plant should have at least one air program. Programs that are not delegated or enforced by a state or local agency are not required to be reported by delegated agencies (e.g., Mandatory GHG Reporting Rule, CFC Tracking (CAA Title VI)). EPA should report these air programs, where applicable. 




Air Program 
Air Program 
An Air Program code represents a CAA regulatory program applicable to a facility. In cases where state or local regulations are stricter than federal regulations, reporting of the federal air program is sufficient. Another option available to delegated agencies is to report a general "Federally-Enforceable Requirement" and provide a state or local regulatory citation in a free text field. Typically state and local permits identify the permit conditions that are federally-enforceable. So, this information is readily available. 

Air Program Operating Status
Air Program Operating Status
An operating status must be reported for each air program. The Operating Status represents the operational condition of the unit(s) or processes to which the air program applies or the operational condition of the facility.  

Subparts for NSPS, NESHAP, MACT
Subparts 
A subpart is associated with an air program. A subpart is required for NESHAP Part 61 regardless of facility classification. A subpart is required for NESHAP Part 63 and NSPS if the facility is a Title V major. Part 63 and NSPS subparts are optional but encouraged for any non-major facility. Where Subpart A  -  General Provisions are incorporated into a source specific subpart wholly or by reference, delegated agencies do not also have to report Subpart A as an applicable Subpart. 
                                  Pollutants
                     Regulated Pollutant(s) by Air Program
                              Required Data Fields
All pollutants for which a source is regulated should be reported, but at a minimum each facility should have at least one pollutant.  

Pollutant Code or CASN
Pollutant Name or CASN
Pollutants reported include those for which a source is regulated.   

Pollutant Classification
Delegated Agency Pollutant Classification 
Pollutant classification indicates the rate at which a facility can potentially emit a pollutant. A pollutant classification is required for each pollutant. If a classification is not applicable, agencies may report "Not Applicable" as the classification. 
                                  CMS Record
                                      CMS
                             Required Data Fields
The CMS Record identifies sources that are included on a CMS plan. This data is only reported for sources that are included on a CMS plan. 

CMS Source Category
CMS Source Category
The Source Category corresponds to the category defined by the CMS policy in which a facility is assigned based on its potential to emit (PTE). For the purposes of the CMS policy, PTE is the maximum capacity of a stationary source to emit a pollutant under its physical and operational design. 

CMS Minimum Frequency Indicator
CMS Minimum Frequency 


The Minimum Frequency is the minimum number of federal fiscal years recommended between full compliance evaluations at a source covered by the CMS policy. If the CMS policy includes a recommended minimum frequency for the CMS Source Category applied to the facility, the CMS Minimum Frequency will default to the policy recommended minimum frequency on the web. Delegated agencies may overwrite the Minimum Frequency. EDT agencies must submit the Minimum Frequency, it will not default. 
                         Minimum Reportable Activities
                                  FCE Record
                                     FCEs
                              Required Data Fields
A Full Compliance Evaluation (FCE) is a comprehensive evaluation of a facility. All FCEs should be reported.  

Facility ID
Programmatic ID
Delegated agencies must associate the FCE to one facility. The Programmatic ID is the unique identifier for the facility. 

Action Type (Lead Agency/On or Off Site)
Compliance Monitoring Activity Type
As a result of the structure of ICIS, delegated agencies must first identify the type of activity they wish to report (e.g., Inspection/Evaluation). Web agencies do this via the Add link. EDT agencies must include this in their submission.      


Compliance Monitoring Type 
The compliance monitoring type indicates the specific type of compliance evaluation performed. If any component of the evaluation was performed on-site, the FCE should be reported as on-site. 


Lead Agency 
The Lead Agency indicates the agency that primarily performed the activity reported. If the reporting agency was not the lead agency for the activity, they must select the Lead Agency. Otherwise, the field will default based on the record type being added (i.e., state, local, etc.). 

Date Achieved
Actual End Date
The actual end date is the date the reported activity occurred.   

Air Program(s)
Air Programs
The air program is the applicable regulation. All air programs for an activity should be reported on the action record.

Activity Identifier
Compliance Monitoring Identifier 
The identifier is unique for every record in ICIS. It allows agencies to easily and accurately identify their records for updating or editing purposes. ICIS-Air will generate the activity identifier automatically when the record is created directly on the web.  EDT users must provide the identifier. This was established so that an identifier generated by or recognized by their state or local system could also be used for tracking in ICIS-Air.  
                                  PCE Record
                                     PCEs
                              Required Data Fields
A Partial Compliance Evaluation (PCE) is a documented compliance assessment focusing on a subset of regulated pollutants, regulatory requirements, or emission units at a given facility. PCEs are only required when they are a discovery action for an HPV or are included in a CMS alternative plan.

Facility ID
Programmatic ID
Delegated agencies must associate the PCE to one facility. The Programmatic ID is the unique identifier for the facility.

Action Type (Lead Agency/On or Off Site)
Compliance Monitoring Activity Type
As a result of the structure of ICIS, delegated agencies must first identify the type of activity they wish to report (e.g., Inspection/Evaluation,). Web agencies do this via the Add link. EDT agencies must include this in their submission.      


Compliance Monitoring Type 
The compliance monitoring type indicates the specific activity performed. If the PCE was conducted on-site, a delegated agency can report the specific evaluation activity conducted (e.g., PCE On-site Interview). 


Lead Agency 
The Lead Agency indicates the agency that primarily performed the activity reported. If the reporting agency was not the lead agency for the activity, they must select the Lead Agency. Otherwise, the field will default based on the record type being added (i.e., state, local, etc.).

Date Achieved
Actual End Date
The actual end date is the date the reported activity occurred.   

Air Program(s)
Air Programs
The air program is the applicable regulation. All air programs for an activity should be reported on the action record.

Activity Identifier
Compliance Monitoring Identifier 
The identifier is unique for every record in ICIS. It allows agencies to easily and accurately identify their records for updating or editing purposes. ICIS-Air will generate the activity identifier automatically when the record is created directly on the web.  EDT users must provide the identifier. This was established so that an identifier generated by or recognized by their state or local system could also be used for tracking in ICIS-Air.  
                                Investigations
 Investigation Conducted
                             Required Data Fields
An investigation is limited to a portion of a facility, is more resource intensive, and involves a more in-depth assessment of a particular issue. All investigations conducted should be reported. 

Facility ID
Programmatic ID
Delegated agencies must associate the investigation to at least one facility. The Programmatic ID is the unique identifier for the facility.

Action Type (Lead Agency)
Compliance Monitoring Activity Type
As a result of the structure of ICIS, delegated agencies must first identify the type of activity they wish to report (e.g., Inspection/Evaluation). Web agencies do this via the Add link. EDT agencies must include this in their submission.        


Compliance Monitoring Type 
The compliance monitoring type indicates the specific activity performed. 


Lead Agency 
The Lead Agency indicates the agency that primarily performed the activity reported. If the reporting agency was not the lead agency for the activity, they must select the Lead Agency. Otherwise, the field will default based on the record type being added (i.e., state, local, etc.).

Date Achieved 
Actual End Date (for Investigation Conducted)
For an investigation, the Actual End Date corresponds to the date the investigation concluded. 


Actual Start Date (for Investigation Initiated)
Delegated agencies can optionally report the Actual Start Date to identify when the Investigation was initiated (this is required for EPA). If the only the Actual Start Date is reported, the record will be enforcement sensitive.  

Air Program(s)
Air Programs
The air program is the applicable regulation. All air programs for an activity should be reported on the action record.  

Activity Identifier
Compliance Monitoring Identifier 
The identifier is unique for every record in ICIS. It allows agencies to easily and accurately identify their records for updating or editing purposes. ICIS-Air will generate the activity identifier automatically when the record is created directly on the web.  EDT users must provide the identifier. This was established so that an identifier generated by or recognized by their state or local system could also be used for tracking in ICIS-Air.  
                                  Stack Tests
                            Stack Tests Conducted 
                             Required Data Fields
A stack test, also referred to as a performance or source test, measures the amount of a specific regulated pollutant, pollutants, or surrogates being emitted; demonstrates the capture efficiency of a capture system; or determines the destruction or removal efficiency of a control device used to reduce emissions at facilities subject to CAA requirements. All stack tests conducted for demonstrating or determining compliance with federally-enforceable requirements should be reported. 

Facility ID
Programmatic ID
Delegated agencies must associate the stack test to one facility. The Programmatic ID is the unique identifier for the facility.

Action Type (Who Conducted/Who Observed, Lead Agency)
Compliance Monitoring Activity Type
As a result of the structure of ICIS, delegated agencies must first identify the type of activity they wish to report (e.g., Inspection/Evaluation). Web agencies do this via the Add link. EDT agencies must include this in their submission.           


Compliance Monitoring Type
The compliance monitoring type indicates the specific activity performed. 


Conducted By 
Conducted By indicates who performed the test or contracted with a third party to perform the test. Since the majority of stack tests reported for compliance purposes are conducted by the owner/operator, the value defaults to owner/operator on the web. Delegated agencies may overwrite this value. EDT agencies must include this in their submission, it will not default. 


Observed By
Observed By indicates whether the delegated agency or EPA was on-site during the test to observe its performance. If an agency was present during the test, delegated agencies should select the agency. 


Lead Agency 
The Lead Agency indicates the agency that primarily performed the activity reported. If the reporting agency was not the lead agency for the activity, they must select the Lead Agency. Otherwise, the field will default based on the record type being added (i.e., state, local, etc.).

Date Achieved 
Actual End Date
The actual end date is the date the stack test was completed.   

Test Results (Pass, Fail, Pending)
Stack Test Status 
The status corresponds to whether the measured results indicate the unit was able to meet the emission, parameter or surrogate limit measured; or capture, destruction or removal efficiency required.  

Air Program(s)
Air Programs
The air program is the applicable regulation. All air programs for an activity should be reported on the action record.  

Activity Identifier
Compliance Monitoring Identifier 
The identifier is unique for every record in ICIS. It allows agencies to easily and accurately identify their records for updating or editing purposes. ICIS-Air will generate the activity identifier automatically when the record is created directly on the web. EDT users must provide the identifier. This was established so that an identifier generated by or recognized by their state or local system could also be used for tracking in ICIS-Air.  
                              TV ACC Due/Received
                                  All TV ACCs
                             Required Data Fields
The Title V permitting program (Part 70) requires that a compliance certification be submitted not less than annually. All compliance certifications should be reported. 

Facility ID
Programmatic ID
Delegated agencies must associate the TV ACC to one facility. The Programmatic ID is the unique identifier for the facility.

Action Type  -  TV ACC Due/Received (Lead Agency)
Compliance Monitoring Activity Type
As a result of the structure of ICIS, delegated agencies must first identify the type of activity they wish to report (e.g., Inspection/Evaluation); for EDT the Compliance Monitoring Activity Type for TV ACC records will be generated based on the XML submission type.


Compliance Monitoring Type
The compliance monitoring type indicates the specific activity performed.  The TV ACC Due/Received indicates the date the compliance certification is due and the date it is received. There are instances where a source is required to submit quarterly or semi-annual certifications. In these instances, all compliance certifications received are to be reported. When multiple compliance certifications are submitted, it is recommended but not required that the delegated agency report the Certification Period in order to show that the full year was covered by the certifications. 


Lead Agency 
The Lead Agency indicates the agency that primarily performed the activity reported. If the reporting agency was not the lead agency for the activity, they must select the Lead Agency. Otherwise, the field will default based on the record type being added (i.e., state, local, etc.). 

Due/Received Date 
Planned End Date 
The Planned End Date reflects the date the Title V Annual Compliance Certification is due to the permitting authority and/or EPA. Where Title V sources submit semi-annual certifications this date should reflect the date each semi-annual certification is due to the permitting authority and/or EPA. 


Actual End Date 
The Actual End Date reflects the date the Title V Annual Compliance Certification was received by the permitting authority and/or EPA. Where Title V sources submit semi-annual certifications this date should reflect the date each semi-annual certification was received by the permitting authority and/or EPA.

Air Program(s)
Air Programs
The air program is the applicable regulation. All air programs for an activity should be reported on the action record.  

Activity Identifier
Compliance Monitoring Identifier 
The identifier is unique for every record in ICIS. It allows agencies to easily and accurately identify their records for updating or editing purposes. ICIS-Air will generate the activity identifier automatically when the record is created directly on the web. EDT users must provide the identifier. This was established so that an identifier generated by or recognized by their state or local system could also be used for tracking in ICIS-Air.  
                                 TV ACC Review
                                  All TV ACCs
                             Required Data Fields
All compliance certifications received should be reviewed, and the review should be reported.  

Action Type  -  TV ACC Review (Lead Agency)
Reviewer Agency 
Part 70 requires that a source submit their compliance certification to both the permitting authority and EPA. Both agencies can report the date and results of a review of a compliance certification on the same Due/Received activity record. Therefore, each agency must identify themselves in order to distinguish between multiple reviews.  

Date Achieved (Review action, Lead Agency)
Reviewed on [Date]
The Reviewed on date corresponds to the date the agency completed their review of the compliance certification. 

Deviations? 
Did Facility Report Deviations?
Part 70 requires that a compliance certification identify each deviation. The reviewer agency reports Yes or No to identify whether or not the source reported that deviations occurred during the certification period. 
                         Informal Enforcement Actions
                          Notification of a Violation
                             Required Data Fields
An informal enforcement action notifies or advises the recipient of apparent deficiencies, findings concerning noncompliance, or that the issuing agency believes one or more violations occurred at the referenced source and provides instructions for coming into compliance. All informal enforcement actions should be reported. 

Facility ID
ICIS-Air Programmatic ID
Delegated agencies must associate the informal enforcement action to at least one facility. The Programmatic ID is the unique identifier for the facility.

Action Type (Lead Agency)
Enforcement Action Forum
As a result of the structure of ICIS, delegated agencies must first identify the type of activity they wish to report (e.g., Judicial Enforcement). Web agencies do this via the Add link. For EDT, the forum for Informal Enforcement Actions will be generated based on the XML submission type. 


Enforcement Action Type
The type of informal enforcement action refers to the method or the vehicle used for notifying a source of a violation. Notification includes any notice of violation required by Section 113 of the CAA or corresponding state, local, or tribal implementation plan as well as other written notices, meetings, teleconferences and electronic correspondence. For HPVs only, the other forms of notice (e.g., teleconference) are to be reported on a Case File, Violation Details as the Method of Advisement and are further referenced below.  


Lead Agency 
The Lead Agency indicates the agency that primarily performed the activity reported. If the reporting agency was not the lead agency for the activity, they must select the Lead Agency. Otherwise, the field will default based on the record type being added (i.e., state, local, etc.).

Date Achieved
Achieved Date 
The Achieved Date reflects the date the notice is issued or provided to the source. 

Air Program Code(s)
Programs Violated 
The programs violated are the applicable regulations which a facility was determined to have violated. All air programs violated should be reported on the action record.  

Activity Identifier
Enforcement Action Identifier 
The identifier is unique for every record in ICIS. It allows agencies to easily and accurately identify their records for updating or editing purposes. ICIS-Air will generate the activity identifier automatically when the record is created directly on the web. EDT users must provide the identifier. This was established so that an identifier generated by or recognized by their state or local system could also be used for tracking in ICIS-Air.  
                          Formal Enforcement Actions
                          Formal Enforcement Actions
                             Required Data Fields
A formal enforcement action addresses or resolves a violation. Generally these actions are referred to as complaints, settlement agreements, compliance or penalty orders, referrals, consent agreements, or consent decrees. Formal enforcement actions have legal consequences if the source does not comply. All formal enforcement actions should be reported. 

Facility ID
Programmatic ID
Delegated agencies must associate the formal enforcement action to at least one facility. The Programmatic ID is the unique identifier for the facility.

Action Type (Lead Agency)
Enforcement Action Forum
As a result of the structure of ICIS, delegated agencies must first identify the type of activity they wish to report (e.g., Judicial Enforcement). Web agencies will do this via the Add link. For EDT, they must include this in their submission. 


Enforcement Action Type
In order to report a Final Order (e.g., Administrative Compliance Order) users must first create the Enforcement Action Type (e.g., Administrative Order). 


Lead Agency 
The Lead Agency indicates the agency that primarily performed the activity reported. If the reporting agency was not the lead agency for the activity, they must select the Lead Agency. Otherwise, the field will default based on the record type being added (i.e., state, local, etc.).


Milestones: Actual Date
Milestones reference steps in the enforcement response. The milestones vary depending on the type of enforcement (administrative or judicial). When a complaint is filed it is reported as a milestone on an enforcement action. A referral to the State Attorney General or its equivalent is reported as a milestone on a judicial enforcement action. The date that the milestone occurred must be reported. 

Air Program(s)
Programs Violated
The air program is the applicable regulation. All air programs for an activity should be reported on the action record.  

Activity Identifier
Enforcement Action Identifier 
The identifier is unique for every record in ICIS. It allows agencies to easily and accurately identify their records for updating or editing purposes. ICIS-Air will generate the activity identifier automatically when the record is created directly on the web. EDT users must provide the identifier. This was established so that an identifier generated by or recognized by their state or local system could also be used for tracking in ICIS-Air.  
                                  Final Order
                          Formal Enforcement Actions
                             Required Data Fields
The final order is the vehicle which captures a settlement agreement, compliance schedule, penalty assessment, or conditions to return to compliance. 

Activity Identifier
Final Order ID
Because multiple Final Orders can be reported on the same enforcement action type, a Final Order ID is needed to make the record unique. For web agencies, the Final Order ID will be generated when the record is saved. EDT users must provide the identifier. This was established so that an identifier generated by or recognized by their state or local system could also be used for tracking in ICIS-Air. 

Facility ID
ICIS-Air Programmatic ID
Delegated agencies must associate the Final Order to at least one facility. The Programmatic ID is the unique identifier for the facility.

Action Type (Lead Agency)
Final Order Type
The final order is the vehicle which captures a settlement agreement, compliance schedule, penalty assessment, or conditions to return to compliance, which may include injunctive relief. 

Date Achieved
Final Order Issued Date (Admin) 

Final Order Entered Date (Judicial) 
The Final Order Issued Date is the date the final administrative order (e.g., administrative compliance order, administrative penalty order, or consent agreement) was signed by a delegated authority and/or the recipient source. The Final Order Entered Date is the date the final order is entered by a court. 

Resolving Action 
Air Resolved Date 
For violations addressed administratively or through any non-judicial process, resolved means all penalties have been collected, SEPs completed, and the source is confirmed to be in compliance with respect to violations included in the final order. For violations addressed judicially, resolved means a court of competent jurisdiction has entered an order adjudicating the case and the order is final. 

Cash Assessed Penalty
Penalty Assessed to be Paid To:
The Cash Assessed Penalty value is the monetary penalty assessed in the penalty action or settlement offer. A penalty will be required for some enforcement action types, but not all. 
Case File
Violation Tracking
Required Data Fields
A Case File must be added for a delegated agency to report a known or suspected violation. A Case File can contain information about more than one violation at a source.  Violations should be reported in accordance with the 2014 FRV and 2014 HPV policies. Each of these policies focuses on a subset of federally-enforceable violations.

Facility ID
Programmatic ID
Delegated agencies must associate the Case File to one facility. The Programmatic ID is the unique identifier for the facility.

Air Program

Programs 
The air program is the applicable regulation that the facility was determined to have violated. 

Pollutant
Pollutants 
The pollutant reported is the pollutant that is the basis for the regulation or permit condition that was violated. Multiple pollutants can be reported on a Case File.

Lead Agency
Lead Agency
The Lead Agency indicates the agency that primarily performed the activity reported. If the reporting agency was not the lead agency for the activity, they must select the Lead Agency. Otherwise, the field will default based on the record type being added (i.e., state, local, etc.).

Activity Identifier
Case File Identifier 
The identifier is unique for every record in ICIS. It allows agencies to easily and accurately identify their records for updating or editing purposes. ICIS-Air will generate the activity identifier automatically when the record is created directly on the web. EDT users must provide the identifier. This was established so that an identifier generated by or recognized by their state or local system could also be used for tracking in ICIS-Air.  
Violation Details
Violation Tracking
Required Data Fields 
This data is designated as enforcement sensitive.

Violation
Violation Type
All federally-reportable violations should be reported. The violation type indicates whether the violation is an FRV or HPV.


Air Program
The air program is the applicable regulation or program that the facility was determined to have violated. Only one air program can be reported per violation type. 


Pollutant
The pollutant reported is the pollutant that is the basis for the regulation or permit condition that was violated. Only one pollutant can be reported per violation type.  

Date Achieved 
HPV Day Zero Date
The Day Zero Date is the earliest date that the delegated agency makes the initial identification of a violation as an HPV. It is the date used to evaluate timeliness of actions in accordance with the HPV policy. 

Informal Enforcement 
Method of Advisement 
The delegated agency should record on the Violation Details that it advised a source of the violation by entering the method of advisement, which includes: any written notices, meetings, teleconferences, and electronic correspondence. If the initial notice is a Notice of Violation or Warning Letter issued pursuant to CAA § 113(a) or a State or Tribal implementation plan, the notice is to be reported using the Enforcement Action module.  

Date Achieved
Date of Advisement
This corresponds to the date when the facility was initially advised of any violation. 
HPV 
HPV Pathway
Required Data Fields
These actions are either linked to a Case File or reported on the Case File. When a compliance monitoring activity is linked to or reported on a Case File, it is the discovery action. When a formal enforcement action is linked to a Case File it is the addressing and resolving action. 
   
Discovery Action
Discovery Action/Date
The activity that led to the discovery of a violation. The Discovery Action can either be a compliance monitoring activity reported to ICIS as such and linked to a Case File, or other options for discovery action can be reported (e.g., self-disclosed). The other options are reported on a Case File. 
   
Addressing Action
Addressing Action/Date
The delegated agency can address a violation using one of the following legally-enforceable actions: (1) issuing a legally enforceable order, (2) issuing a legally enforceable order that imposes penalties, (3) issuing a legally enforceable order that imposes a schedule on the source to comply with the requirement(s) violated and penalties, or (4) transferring the matter to an organization with authority to initiate a civil or criminal judicial action. The addressing action can either be an enforcement action reported to ICIS as such and linked to a Case File, or there are non-enforcement options reported on the Case File as an addressing action (e.g., No Further Action, Lead Change). 
   
Resolving Action
Resolving Action/Date
Resolved means that: (a) in a filed judicial action (state, local or federal), a court of competent jurisdiction has entered an order adjudicating the case; (b) for violations addressed administratively or through any non-judicial means, all penalties have been collected, all SEPs completed, and the source is confirmed to be in compliance with respect to all HPVs included in the administrative order or non-judicial agreement; or (c) an enforcement agency has proposed revisions to its implementation plan regarding the violation. If the resolution was achieved via enforcement, then the date the violation was resolved is reported on the enforcement action. If resolution was achieved through non-enforcement means, the resolving action is reported on the Case File (e.g., Proposed SIP Revision).


5.  The Information Collected: Agency Activities, Collection Methodology, and Information Management

5(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)
 Facilitate access to the database
 Audit and review of data submissions
 Data entry and verification
 Report preparation
 Program review (including review of user needs and suggestions of software revisions, or identification for delegated agencies of best/efficient data management and quality assurance practices)
 Data interpretation and analysis (including targeting activities)
 Quality assurance guidance

5(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. Reporting source information, violation determinations, and compliance and enforcement activity data to ICIS-Air and its predecessors, AFS and the Compliance Data System (CDS), has existed for the past 36 years. The MDRs have been developed as essential components of a compliance and enforcement tracking program and have been adopted into delegated agency data systems. Many delegated agencies will electronically update ICIS-Air from their database, while the remaining agencies will enter data into ICIS-Air directly. In some instances, EPA Regional Offices will enter compliance and enforcement data.  

The EPA data collection guidance and technical support for respondents focuses on supporting agencies in their collection methodology to minimize the total burden associated with meeting their reporting requirements. The Agency also has developed documents and memoranda to explain the collection and reporting of MDRs, such as user manuals, training materials, guidance documents, and a business rule compendium. In addition to continuing to improve these documents, EPA will continue to provide services in support of optimizing the collection and reporting of MDRs, including the following:

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

 User training, to support the training of 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.  
 
 Periodic webinars 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) uses MDR data to document activity for air compliance and enforcement oversight on a periodic basis. Delegated agencies have an opportunity during an annual data verification process to validate the data, make corrections as appropriate, or develop processes to address identified program concerns.  

            (iii) Machine and Processing Technology

ICIS-Air resides on EPA's Enterprise Servers at the National Computer Center (NCC) in North Carolina and is accessible to all delegated agency users via the internet. 

            (iv) Data Entry and Storage

Once compliance data are submitted to EPA, either directly online or via an electronic data transfer process by delegated agency data stewards, the data are managed and maintained 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 should maintain reportable MDR data in the system for at least five (5) years with the exception of data pertaining to HPVs. Sources with HPVs are to be kept in ICIS-Air regardless of operating status. 

            (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 (echo.epa.gov) and ENVIROFACTS (http://www.epa.gov/enviro/)
 Freedom of Information Act requests made to EPA

5(c) Small Entity Flexibility

The respondents for this information collection activity are state, local, Native American, 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.

5(d) Collection Schedule

Data from delegated agencies is collected on a 60-day schedule (except for stack test dates and results), associated with the Federal fiscal calendar. EPA Regional and HQ data is to be reported to ICIS-Air on a monthly basis. Data is extracted weekly 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
	
The previous ICR renewal included a combined burden estimate based on the transition from reporting from the Air Facility System (AFS) to ICIS-Air, and the burden associated with reporting minimum data requirements to ICIS-Air. The data collected and the burden estimates in this renewal reflect the full implementation of ICIS-Air and only includes the burden associated with reporting MDRs to ICIS-Air. The EPA has conducted multiple consultations to develop a more robust burden assessment for this ICR renewal. However, the assessment in this ICR is limited because the EPA is able to consult with less than 10% of delegated agencies. For this ICR renewal, EPA interviewed eight (8) delegated agencies, including four agencies that use the EDT process and four agencies that use direct online entry. The consultations were conducted in August  -  September 2018 to identify agencies of separate size classifications (e.g., "small" agencies that report up to 150 major sources, and "large" agencies that report more than 150 major sources) to account for differences in the amount of data required to be reported. The burden estimates provided by the consulted delegated agencies were used to extrapolate burden for the remaining respondents.

6(a) Estimating Respondent Burden	

To estimate burden for the submittal of data to ICIS-Air, EPA initiated consultations with eight delegated agencies. The average respondent hours for reporting activities will depend on the number of sources for which a delegated agency must collect and report source information, and compliance and enforcement data. The EPA identified agencies of separate size classifications (four "small" and four "large" agencies) to account for differences in the volume of minimum data requirements that would be reported by each agency. The EPA solicited and received information regarding the type of submittal and burden associated with reporting to ICIS-Air from each of the eight agencies. These agencies were asked to estimate the burden required to review, gather, quality assure (QA), and enter or upload data the minimum data requirements to ICIS-Air. Agencies conducting direct entry were also asked to estimate the burden associated with individual minimum data requirements (see Appendix II). Of these, four agencies submitted data using EDT small and four agencies submitted data using direct entry. EPA also requested that agencies provide burden associated with additional activities such as trainings or participation in regional ICIS-Air guidance calls. The responses, as provided by each agency, were as follows:
    
 Three small agencies reported to ICIS-Air using direct online entry. One of these agencies estimated the annual burden for review, gathering, and QA of data at approximately 128 hours per year, and approximately 7 days (53 hours) per year for manual entry of the data into ICIS-Air. Another agency estimated the total burden for gathering, review, QA, and submittal at 2.5 hours per month (30 hours per year). The third small agency using direct entry estimated the annual burden at approximately 79 hours per year based on an estimate of 3-5 minutes per entry for each inspection and 15 minutes per entry for each full stack test. 
 One small agency reported to ICIS-Air using EDT, with minimal usage of the direct data entry for certain data. The agency estimated burden for gathering, review, and QA of data at 3 hours per month, based on the gathering of data from the agency's internal database systems using an automated tool, with an additional 15 minutes every six months for direct data entry. The agency estimated an additional 1.5 hrs per month for the upload of data to ICIS-Air, review of messages from CDX, and for upkeep and QA of the data submitted. The agency also provided burden for updates to the agency's data tool, training, regional calls, and related activities (74 hrs) for a total estimated annual burden of 128.5 hours per year.
 One large agency reported to ICIS-Air using direct data entry. The agency estimated burden for the gathering, review, and quality assurance of data at 5-10 minutes for most sources and up to 3 hours for complex sources. For the direct entry of data into ICIS-Air, the agency provided an estimate of 1 hour a week for entry of FCE/PCE data and 2 hours per month for entry of enforcement data. The agency also provided an estimate of burden for the training of new employees to use the system and for regional training and support calls (15 hrs per year), for a total estimated annual burden of 286.5 hours per year.
 Two large agencies reported to ICIS-Air using EDT. One agency performing weekly uploads through EDT estimated the burden for gathering, review, and quality assurance of data at 5 hours and the burden for upload at 2 hours; the agency also estimated 8 hours per year for a quality assurance/quality control review of the data in the agency's internal databases against the data in ICIS-Air, for a total estimated burden of 372 hours per year. One agency estimated 200 hours per year for gathering, review, and QA of the minimum data requirements, and two hours every two weeks for upload of data through EDT; the agency also provided burden for participation in regional calls to address issues (3 hours per month), for a total estimated annual burden of 288 hours per year.
 One large agency reporting to ICIS-Air using EDT provided burden estimates of 300 to 400 hours per year for the gathering, review, data entry, and QA of air facility level data, 80 to 100 hours per year for the gathering, review, data entry, and QA of air enforcement data, 140 to 220 hours per year for QA/QC occurring weekly after each EDT batch, monthly in conjunction with air enforcement calls with the regional office, and annually in conjunction with end of the year data verification, and 200 to 300 hrs per year for technical support for the hardware, software, data maintenance, and programming upgrades. The total estimated annual burden provided by this agency was approximately 870 hours per year. 
 The consensus from all four agencies reporting to ICIS-Air using direct entry was that the estimates for the time associated with reporting individual MDRs (see Appendix II) in the prior renewal were generally quite accurate. 
       
We note that at least one large agency reported burden in a manner that was more inclusive than other agencies, and thus reported a significantly larger annual burden estimate in comparison to agencies of a similar size. Due to the limitations of the consultation process and EPA's ability to consult only a limited fraction of the respondents, we have included these estimates as provided. Based on the estimates EPA received from the eight delegated agencies, EPA developed a separate average burden per response for small and large agencies. The estimates were developed from the data as provided, assuming six responses annually (based on the 60-day collection schedule), and were weighted based on the number of major sources reported by each agency. The average burden per response is applied to the total number of small and large agencies to develop total annual burden estimates. Based on the data provided, the average burden per response is as follows:
    
 Small agencies (reporting data for up to 150 sources): 22 hours per response.
 Large agencies (reporting data for 150 or more sources): 72 hours per response.
   
    There are a total of 67 small agencies and 32 large agencies. Assuming six responses per year, the total annual average burden for respondents over the next three years is estimated to be 26,100 hours per year. 

      6(b) Estimating Respondent Costs

      (i) Estimating Labor Costs
	
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This ICR uses the following labor rates:

		Managerial	$65.71 (GS-13, Step 5, $41.07 + 60%) 
		Technical	$48.75 (GS-12, Step 1, $30.47 + 60%)
		Clerical	$26.38 (GS-6, Step 3, $16.49 + 60%)
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These rates are from the Office of Personnel Management (OPM), 2018 General Schedule, which excludes locality rates of pay. The rates have been increased by 60 percent to account for the benefit packages available to government employees. 

		(ii) Estimating Capital and Operations and Maintenance Costs

The only type of industry costs associated with the information collection activity in the regulations are labor 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.

	6(c) Estimating Agency Burden and Costs

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

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The average annual Agency burden during the three years of the ICR is estimated to be 36,000. Hours are allocated for data base management on the basis of 1.5 full-time equivalent positions dedicated to ICIS-Air activities in each Regional Office and 2 full time equivalents at the Headquarters level. The estimates are based on information from Regional Offices and on prior experience with the program. Estimates are formulated on a monthly basis versus bi-monthly basis (every 60 days) required of delegated agencies. 
--------------------------------------------------------------------------------

--------------------------------------------------------------------------------
The average annual Agency costs during the three years of the ICR is estimated to be $1,780,000. 
--------------------------------------------------------------------------------

--------------------------------------------------------------------------------
This cost is based on the average hourly labor rate as follows:

		Managerial	$65.71 (GS-13, Step 5, $41.07 + 60%) 
		Technical	$48.75 (GS-12, Step 1, $30.47 + 60%)
		Clerical	$26.38 (GS-6, Step 3, $16.49 + 60%)
--------------------------------------------------------------------------------

These rates are from the Office of Personnel Management (OPM), 2018 General Schedule, which excludes locality rates of pay. The rates have been increased by 60 percent to account for the benefit packages available to government employees. Details upon which this estimate is based appear below in Worksheet 2: Federal Annual Agency Burden and Costs - Air Stationary Source Compliance and Enforcement Information Reporting (Renewal). 

6(d) Estimating the Respondent Universe and Total Burden and Costs

On average over the next three years, 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 local air pollution control agencies). EPA has classified small and large agencies based upon the number of major sources included in their federally-reportable universe: less than or equal 150 major sources is defined as a small agency, 151 or more major sources is defined as a large agency. In addition to major sources of which there are 14,861 active as of the drafting of this ICR, these delegated agencies track a significant number of non-major sources that are federally reportable (27,261 synthetic minors and 3,195 minors). Details regarding the delegated agency classifications is included in Appendix 1. 

The number of responses is calculated for each delegated agency classification based on the assumption of six responses per agency per year. The number of Total Annual Responses is 594. 

The total annual labor costs are $1,280,000. Details regarding these estimates may be found in Worksheet 1  -  Annual Delegated Agency Respondent Burden and Costs  -  Air Stationary Source Compliance and Enforcement Information Reporting (Renewal).

6(e) Bottom Line Burden Hours and Cost Tables

--------------------------------------------------------------------------------
The detailed bottom line burden hours and cost calculations for the respondents and the Agency are shown in Worksheets 1 and 2, respectively, and summarized below. 
--------------------------------------------------------------------------------

--------------------------------------------------------------------------------
            (i) Respondent Tally
--------------------------------------------------------------------------------

--------------------------------------------------------------------------------
The total annual labor hours are 26,100. Details regarding these estimates may be found in section 6(a) and Worksheet 1: Annual Delegated Agency Respondent Burden and Cost  -  Air Stationary Source Compliance and Enforcement Information Reporting (Renewal).
--------------------------------------------------------------------------------

--------------------------------------------------------------------------------
We assume that burdens for managerial tasks take 5% of the time required for technical tasks because the typical tasks for managers are to review and approve reports. Clerical burdens are assumed to take 10% of the time required for technical tasks because the typical duties of clerical staff are to proofread the reports, make copies and maintain records.
--------------------------------------------------------------------------------

--------------------------------------------------------------------------------
Furthermore, the annual reporting and recordkeeping burden for this collection of information is estimated to average 53 hours per response.
--------------------------------------------------------------------------------

--------------------------------------------------------------------------------
            (ii) The Agency Tally
--------------------------------------------------------------------------------

--------------------------------------------------------------------------------
The average annual Agency burden and cost over next three years is estimated to be 36,000 labor hours at a cost of $1,780,000. See Worksheet 2: Federal Annual Agency Burden and Cost  -  Air Stationary Source Compliance and Enforcement Information Reporting (Renewal).
--------------------------------------------------------------------------------

--------------------------------------------------------------------------------
We assume that burdens for managerial tasks take 5% of the time required for technical tasks because the typical tasks for managers are to review and approve reports. Clerical burdens are assumed to take 10% of the time required for technical tasks because the typical duties of clerical staff are to proofread the reports, make copies and maintain records.
--------------------------------------------------------------------------------

--------------------------------------------------------------------------------

	6(f) Reasons for Change in Burden

Under the previous renewal ICR (2015; EPA ICR No. 0107.11, OMB Control No. 2060-0096), total annual delegated agency respondent burden was 51,400 hours. The prior renewal included burden for the use of ICIS-Air as well as the transition from the AFS to the ICIS-Air system. Additionally, the prior renewal relied on a time-study and limited consultations for burden.

 	In this renewal, the total estimated annual respondent burden is 26,100 hours. There is no change in the number of respondents or the number of responses from the prior ICR. The decrease in respondent burden occurred as a result of adjustments to the burden required for the gathering, review, quality assurance, and upload or submittal of data to ICIS-Air and any additional trainings, calls, or upkeep activities. This ICR includes no burden associated with AFS or the transition to ICIS-Air. These adjustments were based on consultations with eight delegated air agencies of varying size, including four "small" agencies (reporting for up to 150 major air sources) and four "large" agencies (reporting for 151 or more major air sources). These eight agencies included four agencies that use the EDT process and four agencies that use direct online entry and reflect the complete implementation of ICIS-Air over the past three years. Therefore, EPA believes that the selected agencies are representative of the universe of respondents and that the estimates provided are, therefore, reasonable. We note that the assessment in this ICR is limited because the EPA is able to consult with less than 10% of delegated agencies. We believe the estimates provided are conservative, particularly for large agencies. At least one large agency reported burden in a manner that was more inclusive than other agencies, and thus reported a much larger annual burden estimate than other delegated agencies of similar size. Due to the limitations of the consultation process and EPA's ability to consult a fraction of the respondents, we included these estimates as provided. 

      6(g) Burden Statement
      
	The annual average burden per response for this collection of information is estimated to be 44 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. It is estimated that agencies will collectively spend a total of 26,100 hours per year for the transmittal, management and quality assurance of their data. The EPA will require a total of 36,000 hours per year for EPA oversight, data quality assurance, reporting, and other Agency activities. 

	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, 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-2018-0248. An electronic version of the public docket is available at http://www.regulations.gov/ which may be used to obtain a copy of the draft collection of information, submit or view public comments, access the index listing of the contents of the 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 in this document. The documents are also available for public viewing at the Enforcement and Compliance Docket and Information Center 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. 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-2018-0248 and OMB Control Number 2060-0096 in any correspondence.

WORKSHEET 1


                                       
                                       
                                       
ANNUAL DELEGATED AGENCY RESPONDENT BURDEN ESTIMATES (2018; EPA-HQ-OECA-2018-0248; EPA ICR No. 0107.12, OMB Control No. 2096-0096.) 
                                       
                                       
                                       

                                       
                                       
                                       
                                       
                                       
Respondent Activities:  Process, compile and review information; transmit information to ICIS-Air.
                                  Number of 
                                    Annual 
                               Annual Hours per
                                  Technical 
                                  Management
                                   Clerical
                                  Annual Cost

                                  Enforcement
                                   Responses
                                  Respondent
                                     Hours
                                     Hours
                                     Hours
                                       

                             Agencies Responding 
                                 (6x per year)
                                       
                                       
                                       



                                   per Year
                                       
                                       
                                       
                                       




                                       
                                       
                                       
                                       


Small Delegated agencies 
                                      67
                                      402
                                      132
                                   8,844.00
                                    884.40
                                    442.20
                                $    501,123.15 
(less than 150 major sources)

                                       
                                       
                                       
                                       




                                       
                                       
                                       
                                       


Large Delegated agencies
                                      32
                                      192
                                      432
                                   13,824.00
                                   1,382.40
                                    691.20
                                $    783,302.40 
(151 or more major sources)

                                       
                                       
                                       
                                       




                                       
                                       
                                       
                                       


Total
                                      99
                                      594
                                      564
                                   22,668.00
                                   2,266.80
                                   1,133.40
                                $ 1,284,426.00 
Total (rounded)
                                       
                                       
                                       
                                       
                                    26,100
                                       
                                $ 1,280,000.00
                                       







This ICR uses the following average hourly labor rates: For managerial $65.71 (GS-13, Step 5, $41.07 + 60%), $48.75 (GS-12, Step 1, $30.47 x 1.6) for technical, and $26.38 (GS-6, Step 3, $16.49 x 1.6) for clerical.  These rates are from the Office of Personnel Management (OPM), 2018 General Schedule, which excludes locality rates of pay.  The rates have been increased by 60 percent to account for the benefit packages available to government employees.






WORKSHEET 2
                                       
                                       
                                       
                                       
                                       

                                                                               
FEDERAL ANNUAL AGENCY BURDEN ESTIMATES (2018; EPA-HQ-OECA-2018-0248; EPAICR No. 0107.11, OMB Control No. 2096-0096.)
EPA REGION
                                # OF RESPONSES
                              HOURS PER RESPONSE
                                Technical Hours
                               Management Hours
                                Clerical Hours
                                  Annual Cost
REGION 1
                                      12
                                      260
                                                                           2652
                                                                            312
                                                                            156
                                                                      $153,972 
REGION 2
                                      12
                                      260
                                                                           2652
                                                                            312
                                                                            156
                                                                      $153,972 
REGION 3
                                      12
                                      260
                                                                           2652
                                                                            312
                                                                            156
                                                                      $153,972 
REGION 4
                                      12
                                      260
                                                                           2652
                                                                            312
                                                                            156
                                                                      $153,972 
REGION 5
                                      12
                                      260
                                                                           2652
                                                                            312
                                                                            156
                                                                      $153,972 
REGION 6
                                      12
                                      260
                                                                           2652
                                                                            312
                                                                            156
                                                                      $153,972 
REGION 7 
                                      12
                                      260
                                                                           2652
                                                                            312
                                                                            156
                                                                      $153,972 
REGION 8
                                      12
                                      260
                                                                           2652
                                                                            312
                                                                            156
                                                                      $153,972 
REGION 9
                                      12
                                      260
                                                                           2652
                                                                            312
                                                                            156
                                                                      $153,972 
REGION 10
                                      12
                                      260
                                                                           2652
                                                                            312
                                                                            156
                                                                      $153,972 
Subtotal
                                      120
                                     2,600
                                    31,200
                                                                    $1,539,720 
EPA HEADQUARTERS
                                       
                                       
                                       
                                       
                                       
                                       
SYSTEM ADMINISTRATOR
                                      12
                                    173.33
                                                                           2080
                                                                            208
                                                                            104
                                                                      $117,858 
SECURITY MANAGER
                                      12
                                    173.33
                                                                           2080
                                                                            208
                                                                            104
                                                                      $117,858 
Subtotal
                                      24
                                    346.66
                                     4,784
                                                                      $235,716 
                                                                               

                                       
                                       
                                       
                                       
                                       
                                       
Total Federal Burden (rounded)
                                      144
                                   2,946.66
                                    36,000
                                                                    $ 1,780,000

This ICR uses the following average hourly labor rates: For managerial $65.71 (GS-13, Step 5, $41.07 + 60%), $48.75 (GS-12, Step 1, $30.47 x 1.6) for technical, and $26.38 (GS-6, Step 3, $16.49 x 1.6) for clerical.  These rates are from the Office of Personnel Management (OPM), 2018 General Schedule, which excludes locality rates of pay.  The rates have been increased by 60 percent to account for the benefit packages available to government employees.




                                       	
                                  APPENDIX I
                    DELEGATED AGENCY CLASSIFICATION BY SIZE
                                  99 AGENCIES
 
AGENCYA
                                    MAJORS
                                Synthetic Minor
                                    Minors
AGENCY
                                    MAJORS
                               Synthetic Minors
                                    Minors
SMALL AGENCIES <= 150 MAJOR SOURCES
American Samoa
                                       0
                                       0
                                       0
Ventura County APCD (CA)
                                      22
                                       9
                                       0
Glenn County APCD (CA)
                                       1
                                       0
                                       0
Memphis-Shelby County (TN)
                                      28
                                      96
                                       7
Southern Ute
                                       0
                                       0
                                       0
Maricopa County (AZ)
                                      29
                                      29
                                       2
Amador County Air District (CA)
                                       1
                                       2
                                       0
Nevada
                                      30
                                      35
                                       1
California
                                       2
                                       1
                                       1
Clark County (NV)
                                      31
                                       8
                                       0
Benton Clean Air Agency (WA)
                                       2
                                       4
                                       0
San Diego County APCD (CA)
                                      31
                                       8
                                       0
Washoe County (NV)
                                       2
                                       4
                                       0
Philadelphia (PA)
                                      32
                                      73
                                      35
North Coast AQMD (CA)
                                       4
                                       1
                                       1
Washington
                                      33
                                      19
                                       2
Mariannas Protectorate
                                       4
                                       2
                                       0
Allegheny County Health Dept (PA)
                                      33
                                      37
                                      16
Yakima Regional Clean Air Agency (WA)
                                       5
                                       0
                                       0
New Hampshire
                                      33
                                      157
                                      15
Knox County (TN)
                                       5
                                      79
                                       6
Jefferson County (AL)
                                      34
                                      107
                                       4
Buncombe County (NC)
                                       6
                                      11
                                       0
Rhode Island
                                      35
                                      78
                                       6
Huntsville (AL)
                                       6
                                      12
                                       1
Jefferson County (KY)
                                      37
                                      52
                                       0
Spokane Clean Air (WA)
                                       8
                                      18
                                       0
Mojave Desert AQMD (CA)
                                      39
                                       2
                                       2
City of Albuquerque (NM)
                                       8
                                      18
                                      14
Puerto Rico
                                      40
                                      15
                                       9
Nashville (TN)
                                       8
                                      98
                                       0
District of Columbia
                                      41
                                       0
                                       4
Forsyth County (NC)
                                       9
                                      26
                                       4
Idaho
                                      43
                                      207
                                      24
Virgin Islands
                                      10
                                       3
                                       0
Hawaii
                                      44
                                      10
                                       9
Olympic Regional Clean Air Agency (WA)
                                      11
                                       9
                                       0
Puget Sound Clean Air (WA)
                                      46
                                      69
                                      36
Mecklenburg County (NC)
                                      11
                                      69
                                       1
Arizona
                                      47
                                      58
                                      25
Lincoln County (NE)
                                      13
                                      23
                                      10
Delaware
                                      52
                                      76
                                       5
Vermont
                                      13
                                      104
                                       1
Maine
                                      55
                                      236
                                       2
Pima County (AZ)
                                      14
                                       4
                                       0
Montana
                                      61
                                      177
                                       2
Chattanooga (TN)
                                      14
                                      66
                                       1
Connecticut
                                      66
                                      176
                                      29
Sacramento APCD (CA)
                                      15
                                       6
                                       0
Santa Barbara APCD (CA)
                                      72
                                      54
                                       2
Southwest Clean Air (WA)
                                      15
                                      21
                                       2
North Dakota
                                      79
                                      103
                                       6
Pinal County (AZ)
                                      16
                                       5
                                       1
Utah
                                      81
                                      32
                                       1
Omaha (NE)
Linn County (IA)
                                      17
                                      124
                                       2
South Dakota
                                      86
                                      81
                                      14
Guam
                                      18
                                       3
                                       1
Oregon
                                      107
                                      19
                                       2
Lane Regional (OR)
                                      18
                                      14
                                       1
Maryland
                                      119
                                      209
                                      15
Monterey Bay APCD (CA)
                                      19
                                       1
                                       0
Nebraska
                                      121
                                      145
                                      14
Polk County (IA)
                                      19
                                      462
                                      17
Wyoming
                                      128
                                      32
                                      38
Northwest Clean Air (WA)
                                      20
                                      12
                                       3
Massachusetts
                                      128
                                      969
                                      126
LARGE  = > 151 MAJOR SOURCES
Alaska
                                      151
                                      213
                                      12
Oklahoma
                                      316
                                     3146
                                      55
West Virginia
                                      159
                                      91
                                      113
North Carolina
                                      324
                                      774
                                      33
New Mexico
                                      175
                                      236
                                      47
Minnesota
                                      335
                                      245
                                      95
Arkansas
                                      207
                                      573
                                      79
Florida
                                      365
                                      533
                                      55
Tennessee
                                      220
                                      322
                                      114
Georgia
                                      373
                                     1355
                                      35
Colorado
                                      236
                                     1420
                                      281
Michigan
                                      400
                                     1029
                                       5
Virginia
                                      242
                                     1696
                                      19
Wisconsin
                                      410
                                      258
                                       5
Iowa
                                      245
                                     1476
                                      14
New York
                                      434
                                     3016
                                      25
South Carolina
                                      251
                                      392
                                      24
South Coast AQMD (CA)
                                      437
                                       0
                                      17
New Jersey
                                      263
                                      999
                                      205
Pennsylvania
                                      494
                                      823
                                      283
Mississippi
                                      272
                                      289
                                      19
Illinois
                                      547
                                      365
                                      366
Kentucky
                                      272
                                      290
                                       4
Louisiana
                                      599
                                      122
                                      340
Missouri
                                      275
                                      212
                                      38
Indiana
                                      601
                                      624
                                      17
Alabama
                                      300
                                      231
                                      20
Ohio
                                      671
                                      934
                                      103
Kansas
                                      301
                                      752
                                      68
Texas
                                     2394
                                       0
                                      164
San Joaquin Valley APCD (CA)
                                      312
                                      204
                                      19

                                       
                                       
                                       






                                       
Appendix II:  Business Processes for Reporting Stationary Source information into ICIS-Air
                                       
NOTE:  The ICIS-air processes listed in this document, have been described in just one way.  Users may navigate through ICIS-air and enter or change records via alternative routes
                                   Process #
                                    Process
                            Relative Degree of Use
                                  Explanation
                  Steps needed to Achieve Process in ICIS-Air
                   Time estimates for process from prior ICR
                                       1
                             Logon to application
                                 Frequent use
Used each time a user logs onto ICIS
Go to //https://icisairtest.epa.gov/icis and logon using WAM User ID and password
                                   1 minute
                                       2
                                Add a facility
                                 Moderate use
              Used when a federally reportable facility is added
If not already logged into ICIS-air, point browser to https://icisairtest.epa.gov/icis and logon using WAM User ID and password.  Select AIR then ADD A FACILITY; provide Programmatic ID, Facility Site Name, State, Zip Code, Address, City, County Name & Primary NAICS. Select SAVE AND ADD AIR PROGRAM; Provide Air Program, Operating Status and any applicable subparts. Select SAVE. Select ADD POLLUTANT. Provide Pollutant and Classification. Select SAVE.    
                                   3 minutes




If already logged into ICIS-air, select AIR then ADD A FACILITY; provide Programmatic ID, Facility Site Name, State, Zip Code, Address, City, County Name & Primary NAICS. Select SAVE AND ADD AIR PROGRAM; Provide Air Program, Operating Status and any applicable subparts. Select SAVE. Select ADD POLLUTANT. Provide Pollutant and Classification. Select SAVE.    
                                   2 minutes
                                       3
                           Add Regulated Air Program
                                Infrequent use
    Used whenever a Regulated AIR Program is added to an existing facility
If not already logged into ICIS-air, point browser to https://icisairtest.epa.gov/icis and logon using WAM User ID and password.  Select AIR then Search for Facility. Select facility from Search list. Select ADD AIR PROGRAM; Provide Air Program, Operating Status and any applicable subparts. Select SAVE. 
                                   2 minutes




If already logged into ICIS-air, select AIR then Search for Facility. Select facility from Search list. Select ADD AIR PROGRAM; Provide Air Program, Operating Status and any applicable subparts. Select SAVE. 
                                    1minute
                                       4
                           Add a regulated Pollutant
                                Infrequent use
Used whenever a new pollutant is added to an air program on an existing facility
If not already logged into ICIS-air, point browser to https://icisairtest.epa.gov/icis and logon using WAM User ID and password.  Select AIR then search for desired facility.  Select facility from search list. Select ADD POLLUTANT. Provide Pollutant and Classification. Select SAVE.    
                                   3 minutes




If logged into ICIS-air, search for desired facility.  Select AIR then search for desired facility. Select facility from search list. Select ADD POLLUTANT. Provide Pollutant and Classification. Select SAVE.    
                                  1.5 minutes
                                       5
                      Add a Compliance Monitoring action
                                 Frequent use
Used to add PCE's, FCE's, Stack Tests, TVACC & Investigations to an existing facility
If not already logged into ICIS-air, point browser to https://icisairtest.epa.gov/icis and logon using WAM User ID and password.   Select Compliance Monitoring-Inspection/Evaluation for State.  Supply information for Compliance Monitoring Identifier, Compliance Monitoring Type, Linked facilities, Actual End Date, Air Program(s).  If the CM activity is a stack test, provide Stack Test Status.  Scroll to bottom and select SAVE. 
                                   3 minutes




If already logged into ICIS-air, select Compliance Monitoring-Inspection/Evaluation for State.  Supply information for Compliance Monitoring Identifier, Compliance Monitoring Type, Linked facilities, Actual End Date and Air Program(s).  If the CM activity is a Stack Test, provide Stack Test Status.  Scroll to bottom and select SAVE. 
                                   2 minutes
                                       6
                                       
                           Add an Enforcement action
                                 Frequent use
  Used to add Informal and formal enforcement actions to an existing facility
If not already logged into ICIS-air, point browser to https://icisairtest.epa.gov/icis and logon using WAM User ID and password.  Select Enforcement Actions and choose Formal, Judicial or Informal for your agency.   For a Formal Enforcement action, (1) check Administrative Order, link facility(s) and provide Air Program(s) Violated. Click SAVE; (2) Select ADD FINAL ORDER sublink.  Supply Final Order Type & Issued date. Click SAVE; (3) Select PENALTY sublink, supply Assessed cash Penalty in the Penalty to be Paid to field.  Click SAVE. (4) Select Milestones sublink. Provide Complaint Filed/Proposed Order Final Date.  Click SAVE
                                   4 minutes
                                       



If already logged into ICIS-air select Enforcement Actions and choose Formal, Judicial or Informal for your agency.   For a Formal Enforcement action, (1) check Administrative Order, link facility(s) and provide Air Program(s) Violated. Click SAVE; (2) Select ADD FINAL ORDER sublink.  Supply Final Order Type & Issued date. Click SAVE; (3) Select PENALTY sublink, supply Assessed cash Penalty in the Penalty to be Paid to field.  Click SAVE. (4) Select Milestones sublink. Provide Complaint Filed/Proposed Order Final Date.  Click SAVE
                                   3 minutes
                                       7
                                       
                     Add Comments to a Facility or Action
                                Infrequent use
      Used whenever a comment is added to either a facility or an action
If not already logged into ICIS-air, point browser to https://icisairtest.epa.gov/icis and logon using WAM User ID and password.  Search for and select the CM activity or Enforcement active that is receiving the comment. If the Comment is non-sensitive, scroll down to the Comment field on the activity record.  Enter Comment and click SAVE.  If the Comment is sensitive, select the Sensitive Comment sublink of the activity receiving the comment.  Enter Comment text and click SAVE.
                                   2 minutes
                                       



If already logged into ICIS-air, search for and select the CM activity or Enforcement active that is receiving the comment. If the Comment is non-sensitive, scroll down to the Comment field on the activity record.  Enter Comment and click SAVE.  If the Comment is sensitive, select the Sensitive Comment sublink of the activity receiving the comment.  Enter Comment text and click SAVE.
                                   1 minute
                                       8
                                       
                             Add a facility to CMS
                 Once a year or whenever CMS Plan is modified
          Used whenever a facility is added to the biannual CMS Plan
If not already logged into ICIS-air, point browser to https://icisairtest.epa.gov/icis and logon using WAM User ID and password.  Select AIR then search for desired facility.  Select facility from search list. Select CMS.  Select ADD CMS.  Enter CMS Source Category and CMS Minimum Frequency.  Select SAVE.    
                                   2 minutes
                                       



If logged into ICIS-air, search for desired facility.  Select AIR then search for desired facility.  Select facility from search list. Select CMS.  Select ADD CMS.  Enter CMS Source Category and CMS Minimum Frequency.   Select SAVE.    
                                   1 minute
                                       9
                                       
                                    Add HPV
                                 Frequent use
                         Used whenever an HPV is added
If not already logged into ICIS-air, point browser to https://icisairtest.epa.gov/icis and logon using WAM User ID and password.  Select AIR then search for desired facility.  Select facility from search list. Select Case Files.  (1) Select ADD CASE FILE.  Provide Case File Identifier, Link facility if needed, Air Program(s), Applicable Pollutants. Scroll to bottom and click SAVE AND ADD AIR VIOLATIONS. (2) Enter HPV/FRV details by clicking on the ADD AIR VIOLATION link on the Air HPV/FRV Details TAB.  Select Violation Type, Pollutant & Program from drop down list.  Enter FRV or HPV date.  Select SAVE.
                                   4 minutes
                                       



If already logged into ICIS-air, select AIR then search for desired facility.  Select facility from search list. Select Case Files.  (1) Select ADD CASE FILE.  Provide Case File Identifier, Link facility if needed, Air Program(s), Applicable Pollutants. Scroll to bottom and click SAVE AND ADD AIR VIOLATIONS. (2) Enter HPV/FRV details by clicking on the ADD AIR VIOLATION link on the Air HPV/FRV Details TAB.  Select Violation Type, Pollutant & Program from drop down list.  Enter FRV or HPV date.  Select SAVE.
                                   3 minutes
                                      10
                                       
                     Add/Link Discovery action to Day Zero
                                 Frequent use
         Used whenever a Discovery action is linked to it is Day Zero
If not already logged into ICIS-air, point browser to https://icisairtest.epa.gov/icis and logon using WAM User ID and password. Select AIR then search for desired facility. If Discovery action has already been entered, Click Case Files.  Select Case File Id from list.  Click Compliance Monitoring activities.  Click LIST TO LINK.  Select desired CM activities to be linked to Case file.  Click LINK. If Discovery action has not already been entered, first add CM activity and then link it to the Case File.
2 minutes if Discovery action already exists; 3.5 minutes if Discovery action does not exist
                                       



If already logged into ICIS-air, select AIR then search for desired facility. If Discovery action has already been entered, Click Case Files.  Select Case File Id from list.  Click Compliance Monitoring activities.  Click LIST TO LINK.  Select desired CM activities to be linked to Case file.  Click LINK. If Discovery action has not already been entered, first add CM activity and then link it to the Case File.
1 minutes if Discovery action already exists; 1.5 minutes if Discovery action does not exist
                                      11
                                       
                        Add/Link NOV action to Day Zero
                                 Frequent use
            Used whenever an NOV is Added/linked to it is Day Zero
If not already logged into ICIS-air, point browser to https://icisairtest.epa.gov/icis and logon using WAM User ID and password. Select AIR then search for desired facility. If NOV action has already been entered, Click Case Files.  Select Case File Id from list.  Click Enforcement activities.  Click LIST TO LINK.  Select desired Informal Enforcement activities to be linked to Case file.  Click LINK. If NOV action has not already been entered, first add NOV activity and then link it to the Case File.
2 minutes if NOV action already exists; 3.5 minutes if NOV action does not exist
                                       



If already logged into ICIS-air, select AIR then search for desired facility. If NOV action has already been entered, Click Case Files.  Select Case File Id from list.  Click Enforcement activities.  Click LIST TO LINK.  Select desired Informal Enforcement activities to be linked to Case file.  Click LINK. If NOV action has not already been entered, first add NOV activity and then link it to the Case File.
1 minutes if NOV action already exists; 1.5 minutes if NOV action does not exist
                                      12
                                       
                    Add/Link Addressing action to Day Zero
                                 Frequent use
         Used whenever an Addressing is Added/linked to it is Day Zero
If not already logged into ICIS-air, point browser to https://icisairtest.epa.gov/icis and logon using WAM User ID and password. Select AIR then search for desired facility. If Addressing action has already been entered, Click Case Files.  Select Case File Id from list.  Click Enforcement activities.  Click LIST TO LINK.  Select desired Enforcement activities to be linked to Case file.  Click LINK. If Addressing action has not already been entered, first add addressing activity and then link it to the Case File.
2 minutes if addressing action already exists; 3.5 minutes if addressing action does not exist
                                       



If already logged into ICIS-air, select AIR then search for desired facility. If Addressing action has already been entered, Click Case Files.  Select Case File Id from list.  Click Enforcement activities.  Click LIST TO LINK.  Select desired Enforcement activities to be linked to Case file.  Click LINK. If Addressing action has not already been entered, first add addressing activity and then link it to the Case File.
1 minute if addressing action already exists; 3.5 minutes if addressing action does not exist
                                      13
                                       
                    Add/Link Resolution action to Day Zero
                                 Frequent use
      Used whenever a Resolution action is Added/linked to it is Day Zero
If not already logged into ICIS-air, point browser to https://icisairtest.epa.gov/icis and logon using WAM User ID and password. Select AIR then search for desired facility. Click Case File. Select desired Case file.  Scroll down to Pathway Activities.  Click on the Addressing Action to edit the record and navigate to the Final Order sublink.  Click the desired Final Order and an Air Resolved date on the Dates tab.  Scroll to bottom of page and click SAVE.
                                  2.5 minutes
                                       



If logged into ICIS-air, select AIR then search for desired facility. Click Case File. Select desired Case file.  Scroll down to Pathway Activities.  Click on the Addressing Action to edit the record and navigate to the Final Order sublink.  Click the desired Final Order and an Air Resolved date on the Dates tab.  Scroll to bottom of page and click SAVE.
                                  1.5 minute
                                      14
                                       
                    Add/Link Lead change action to Day Zero
                                Infrequent use
              Used whenever a Lead changes takes place for an HPV
If not already logged into ICIS-air, point browser to https://icisairtest.epa.gov/icis and logon using WAM User ID and password. Select AIR then search for desired facility. Click Case File. Select desired Case file.  Scroll down to Pathway Activities.  If Case has not been Addressed, point to the Addressing Action and to the pull down list for OTHER.  Select LEAD CHANGE & supply a date.  Scroll to bottom of page and click SAVE. If Case has already been Addressed, point to the Resolving Action and to the pull down list for OTHER.  Select LEAD CHANGE & supply a date.  Scroll to bottom of page and click SAVE.
                                  2.5 minutes
                                       



If already logged into ICIS-air, select AIR then search for desired facility. Click Case File. Select desired Case file.  Scroll down to Pathway Activities.  If Case has not been Addressed, point to the Addressing Action and to the pull down list for OTHER.  Select LEAD CHANGE & supply a date.  Scroll to bottom of page and click SAVE. If Case has already been Addressed, point to the Resolving Action and to the pull down list for OTHER.  Select LEAD CHANGE & supply a date.  Scroll to bottom of page and click SAVE.
                                  1.5 minutes
                                      15
                                       
                             Change Plant General
                                 Moderate use
Used when a Plant Name, Street address, City Name, Zip Code, NAICS or Governmental Facility Code changes are needed in ICIS
If not already logged into ICIS-air, point browser to https://icisairtest.epa.gov/icis and logon using WAM User ID and password.  Select AIR then Search for Facility. Select facility from Search list. Update Plant Name, Street Address and Zip Code. Select SAVE.
                                   3 minutes
                                       



If logged into ICIS-air, search for desired facility.   Select AIR then search for desired facility.  Select facility from search list.  Update Plant Name, Street Address and Zip Code.  Select SAVE.
                                  1.5 minutes
                                      16
                                       
                          Change to Operating status
                                 Moderate use
     Used whenever the operating status of a regulated air program changes
If not already logged into ICIS-air, point browser to https://icisairtest.epa.gov/icis and logon using WAM User ID and password.  Select AIR then Search for Facility. Select facility from Search list.    Select Air Programs.  Select the Air Programs Description link. Enter Operating Status in Edit Current Operating Status.  Select SAVE.
                                   3 minutes
                                       



If logged into ICIS-air, search for desired facility.   Select AIR then search for desired facility.  Select facility from search list.    Select Air Programs.  Select the Air Programs Description link. Enter new Operating Status in Edit Current Operating Status.  Select SAVE.
                                   1 minute
                                      17
                                       
                     Change a Compliance Monitoring action
                                 Moderate use
Used to modify the results of a stack test or add the received date to a TVACC; also used to correct data entry errors on an action
If not already logged into ICIS-air, point browser to https://icisairtest.epa.gov/icis and logon using WAM User ID and password.  Select AIR then Search for Facility. Select facility from Search list.    Select Compliance Monitoring.  Filter to find Stack Tests.  Select Compliance Monitoring ID/Activity Id from filtered list.  Select new Stack Test Status.    Select SAVE.
                                  3.5 minutes
                                       



If logged into ICIS-air, search for desired facility.   Select AIR then search for desired facility.  Select facility from search list. Select Compliance Monitoring.  Filter to find Stack Tests.  Select Compliance Monitoring ID/Activity Id from filtered list.  Select new Stack Test Status.    Select SAVE.
                                   1 minute
                                      18
                                       
                        Modify CMS data for a facility
                                 Moderate use
                  Used to modify CMS Category (class changes)
If not already logged into ICIS-air, point browser to https://icisairtest.epa.gov/icis and logon using WAM User ID and password.  Select AIR then Search for Facility. Select facility from Search list.    Select CMS.   Select CMS Start Date link.  Change CMS Category.  Select SAVE.
                                   3 minutes
                                       



If logged into ICIS-air, search for desired facility.   Select AIR then search for desired facility.  Select facility from search list Select CMS.   Select CMS Start Date link.  Change CMS Category.  Select SAVE.
                                   1 minute
                                      19
                                       
                              Delete information
                                 Moderate use
                Used to remove duplicates or data entry errors
If not already logged into ICIS-air, point browser to https://icisairtest.epa.gov/icis and logon using WAM User ID and password.  Select AIR then Search for Facility. Select facility from Search list.    Select Compliance Monitoring.  Filter to find action. Select Delete for action to be deleted on filtered list.  Select YES to delete.
                                   4 minutes
                                       



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

