Air Dashboard Help

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Overview

The Air dashboard presented on the Enforcement and Compliance History Online (ECHO) website allows users to track both facility and environmental oversight agencies' performance as they relate to administration of and compliance with environmental standards established by the Clean Air Act (CAA). This document describes the compliance information and classifications presented on the Air Dashboard. These dashboards support the U.S. Environmental Protection Agency's transparency efforts.


Data Sources 

The Integrated Compliance Information System for CAA Stationary Sources (ICIS-Air) is EPA's database of record containing records for compliance and enforcement activities for stationary sources conducted under the authority of the Clean Air Act. ICIS-Air is used by delegated state and local agencies, tribes, and EPA. The Air Dashboard uses current (production) data from ICIS-Air. A secondary data source for the dashboard is EPA's Facility Registry Service (FRS) from which the FRS Registry ID, Federal Facility Flag, and Tribal Name(s) are obtained. For information about ECHO data sources and refresh dates, please see the About the Data page.

The Air Dashboard presents data for the ten most recent federal fiscal years, which run from October 1 to September 30. The dashboard presents current production data from the ICIS-Air database. The dashboard is updated weekly to show the latest available data from ICIS-Air. Information describing ECHO data sources and refresh dates can be found on the About the Data page.

The goal of the dashboard is to enable users to explore a variety of compliance and program metrics for facilities regulated under the CAA. While the lead regulatory agency may have additional details regarding a facility and regulatory oversight activities, the dashboard presents information that each regulatory agency is required to submit to EPA’s data system of record – ICIS-Air. Over time, EPA's compliance and enforcement programs change in response to new sources of data, monitoring technologies, and compliance tracking methods.

About the Data and Assessing State Performance

State performance is a complex and difficult matter to analyze and explain. Data alone cannot provide a complete picture of performance. Many states have issues with data completeness and accuracy, and without investigation and program knowledge, data can be misleading or misinterpreted. Often, there is important context around data that must be taken into account to provide an accurate picture. For example, not all activities and violations may be reported, some states are not authorized to run programs, current year data may still be in the process of being reported, and states may have alternative inspection plans. EPA uses data, like the information here, as a starting point for assessing state performance, but not as the sole measure of performance. More in-depth program reviews (see State Review Framework Reports) are used to identify needed state program improvements. While file reviews and management discussions can add to our understanding, the many layers of context and information make it difficult to portray performance in a consistent and transparent way.

Caveats

Activities and Violations

Data shown in the State Dashboards are based on data reported to EPA and may not reflect all compliance monitoring/inspections, enforcement or the full extent of noncompliance within a state. State environmental agencies may have more information on activities and noncompliance within their state on their agency websites. Links to state agency websites can be found on the Health and Environmental Agencies of U.S. States and Territories page. 

Authorization

Some states/territories do not have authorization/delegation to enforce any or all regulations implemented under the Clean Air Act, Clean Water Act, and Resource Conservation and Recovery Act. In these instances, when State is selected as the implementing Agency, it may appear that no activity was conducted. Activity in these states/territories may be displayed when EPA is selected as the implementing Agency. For more information about state authorization, please visit the following pages:

Alternative Inspection Plans

EPA sets national goals for how frequently facilities should be evaluated by the authorized enforcement agency. EPA develops Compliance Monitoring Strategies (CMSs) to ensure that the regulated facilities across the country are evaluated for compliance on a regular basis. EPA offers flexibility to the states for many of the inspection frequency goals. Some states take advantage of this flexibility by submitting alternative inspection plans that provide for inspection frequencies that are aligned with other priorities within the specific state. As of June 2020, the following states have CAA alternative inspections plans: Alaska, Illinois, Indiana, Massachusetts, Minnesota, New Jersey, New Mexico, and Texas.

Current Year

The most recent federal fiscal year may not show a complete dataset because the year is not completed.

Additional data caveats are explained on the ECHO Known Data Problems page. 


Using the Dashboard

Chart Functionality

The dashboard is organized in a structure logical to the scope and activities of federal compliance and enforcement programs. To learn more about these programs, visit the EPA's Basic Information on Enforcement page. There are six chart types, described in the chart types section below. Select the pulldown menu at the top of each chart to see a list of available chart metric views.  

For the best user experience with the dashboard, we recommend setting the browser zoom level between 80 and 90%. If you are having trouble viewing parts of the dashboard, you can try experimenting with this zoom level. 

Expand any chart to full screen by clicking the crossed arrows icon Expand icon at the top right of the chart.  

Download the underlying data from each chart view in Excel format by selecting the download arrow icon Download icon at the top right of the chart. 

View underlying data for any chart by selecting "Details" from the pulldown menu to display a preview table of the selected data. Note that this table preview is interactive and data fields can be sorted and searched on. We suggest expanding this view to full-screen to best view the data table. Also note that the table can be slower to load than the other charts. 

Filters

The dashboard defaults to show nationwide activity and performance metrics for the most recent ten fiscal years. Eight filters are available at the top of the dashboard, which allow users to create many possible customizations of the charts. 

Click on any of the filters to see the list of values. Note that after selecting a filter, a search bar will appear that allows users to search for values of interest. Multiple values may be selected by clicking on multiple selection options. Current selections will be highlighted in green. The charts dynamically update as the user selects value(s) from the dropdown list.

Confirm selection iconFilter selection changes will be saved either by clicking away from the filter dropdown or by clicking the green Confirm Selection button.

Cancel iconIf a user selects or de-selects filter options but does not want to save the changes, they can be canceled by clicking the red Cancel Selection button.

Note that the Cancel Selections button does not clear filter selections. An individual filter can be cleared of all selections by clicking the Clear Selections button Clear selections icon to the left in the filter dropdown. There is also a Clear All Selections button at the top left of the dashboard page. 

Additionally, the dashboard charts are interactive, and users can click directly on data within the charts (e.g., the bars on the chart and the items in the chart legend) to change/add filters. 

Current filter selections will appear as tabs at the top of the screen, above the page title. Clicking on the "x" button on the filter tab will remove the filter. 

Filters available on the Air Dashboard include: 

State
Filter the dashboard data by State.
EPA Region
Filter the dashboard data by EPA Region.
Classification
Filter the dashboard using one or more of four categories: major, minor, synthetic minor, and other. A facility's classification as having permit components designated as major, synthetic minor, minor, or other reflects the amount of pollution the facility has the potential to emit. The “other” classification is used for a small number of facilities with seasonal or intermittent emissions. The threshold rate for a facility's permitted components to be classified as major may vary within a state due to nonattainment of a National Ambient Air Quality Standard in a geographic area.
Permitting Agency
Filter the dashboard data by permitting agency (i.e., EPA, State, or Local). The option of choosing "Agency" is provided because EPA may be responsible for permitting, compliance, and enforcement under the Clean Air Act at some facilities located within a state. Selections here will filter results to all facilities permitted by the selected agency, regardless of whether a different agency has taken any compliance or enforcement action against that facility.
Lead Agency
Filter the dashboard data by lead agency (i.e., EPA, State, or Local). Note that the lead agency refers to the agency that led the compliance or enforcement action, not to the permitting agency. Selections here will filter results to facilities which have been subject to any compliance or enforcement action from the agency selected, regardless of which agency permitted the facility. 
Local Agency
Filter the dashboard data by Local Control Agency, an agency within a state that has been delegated the authority to enforce the Clean Air Act. 
Federal Facility
Filter the dashboard data by Federal Facilities (Yes/No). A “Yes” indicates that the facility is owned or operated by the US Federal Government.
Tribe Name
Filter the dashboard data by a specific Tribe Name. The association of a facility to a tribe is based on comparing the best available spatial location of the facility to tribal boundaries supplied by the US Department of the Interior’s Bureau of Indian Affairs. Some tribal areas may overlap, so a facility may be associated with more than one tribe. This is a geographic distinction and is not based on who has permitted the facility.

Dashboard Chart Types

The following describes the charts available within each of the six sections of the CAA Dashboard. 

Facilities 

Delegated agencies and EPA track a number of stationary source facilities that are regulated by the Clean Air Act. These facilities are referred to as "federally reportable." This group is comprised of:

  • Major emissions facilities
  • Synthetic minor emissions facilities
  • Minor emissions facilities that are subject to 40 C.F.R. Part 61 (National Emission Standard for Hazardous Air Pollutants)
  • Any facility that is part of a compliance monitoring strategy
  • Any facility with an unresolved high priority violation
  • Any facility that is or was subject to a formal enforcement action within the last three years

The Facilities chart shows a breakdown of the number of facilities that were active during the selected fiscal year(s). Please see the Using the Dashboard section for information about applying filters to these charts. 

 
Facilities by Permitting Agency
Description of Metrics
Definition
Count of federally reportable facilities by permitting agency (EPA, State, and Local) in the selected federal fiscal year.
Additional details for the following terms can be found in the Data Dictionary:
Notes: The Permitting Agency is involved in issuing and renewing CAA permits. Lead Agency refers to the entity leading a particular activity (e.g., inspection or enforcement action) at a facility. Selections here will filter results to facilities permitted by the selected agency.
Facilities by Classification
Description of Metrics
Definition
Count of federally reportable facilities by classification in the selected federal fiscal year.
Classification
Under the CAA, facilities are classified based on the magnitude and types of emissions: Major Emissions, Synthetic Minor Emissions, Minor Emissions, and Other.
Additional details for the following terms can be found in the Data Dictionary:
Facilities by Operating Status
Description of Metrics
Definition
Count of federally reportable facilities by operating status (Operating, Seasonal, or Unknown) in the selected federal fiscal year.
Additional details for the following terms can be found in the Data Dictionary:

Compliance Monitoring Activities 

Compliance monitoring activities are conducted to ensure compliance with regulations implemented under the authority of the Clean Air Act. For this dashboard, the following activities are reported:

  1. Full Compliance Evaluation (FCE). An FCE is a comprehensive evaluation of the compliance status of the facility. It looks for all regulated pollutants at all regulated emission units, and it addresses the compliance status of each unit, as well as the facility’s continuing ability to maintain compliance at each emission unit. An FCE includes:
    • A review of all required reports and the underlying records
    • An assessment of air pollution control devices and operating conditions
    • An observation of visible emissions 
    • A review of facility records and operating logs
    • An assessment of process parameters, such as feed rates, raw material compositions, and process rates
    • A stack test, if there is no other way to determine compliance with the emission limits.
       
  2. Partial Compliance Evaluation (PCE). A PCE is a documented compliance assessment focusing on a subset of regulated pollutants, regulatory requirements, or emission units at a given facility. A PCE should be more comprehensive than a cursory review of individual reports. It may be conducted solely for the purpose of evaluating a specific aspect of a facility or it may combine several PCE evaluations to satisfy the annual requirements of a FCE.
  3. Stack Test. A stack test, also referred to in EPA regulations 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 the requirements of the Clean Air Act (CAA). Stack testing is an important tool used to determine a facility’s compliance with emission limits, or capture or control efficiencies established pursuant to the CAA.
  4. Title V Annual Compliance Certification (TVACC) Reviews. The TVACC requires the facility permittee to periodically (but no less frequently than annually) certify that the facility is in compliance with any applicable requirements of the permit, and to promptly report any deviations from permit requirements to the permitting authority.  The TVACC is used as an enforcement tool to indicate possible exceptions to compliance.

Only activities at federally reportable facilities are included in the Air Dashboard. 

Compliance Monitoring Activities by Lead Agency
Description of Metrics
Definition
Count of compliance monitoring activities at federally reportable facilities by lead agency (EPA, State, and Local) in the selected federal fiscal year.
Compliance Monitoring Activities
Activities, such as: on-site compliance evaluations, emissions testing, and facility certifications are conducted to ensure compliance with regulations implemented under the authority of the Clean Air Act.
Additional details for the following terms can be found in the Data Dictionary:
Notes: The Permitting Agency is involved in issuing and renewing CAA permits. Lead Agency refers to the entity leading a particular activity (e.g., inspection or enforcement action) at a facility. Selections here will filter results to facilities which have been subject to any compliance monitoring or enforcement action from the agency selected.
Compliance Monitoring Activities by Classification
Description of Metrics
Definition
Count of compliance monitoring activities at federal reportable facilities by facility classification in the selected federal fiscal year.
Compliance Monitoring Activities
Activities, such as: on-site compliance evaluations, emissions testing, and facility certifications are conducted to ensure compliance with regulations implemented under the authority of the Clean Air Act.
Classification
Under the CAA, facilities are classified based on the magnitude and types of emissions: Major Emissions, Synthetic Minor Emissions, Minor Emissions, and Other.
Additional details for the following terms can be found in the Data Dictionary:
Compliance Monitoring Activity by Inspection Type
Description of Metrics
Definition
Count of compliance monitoring activities at federally reportable facilities by Monitoring Type (FCE Off-Site, FCE On-Site, PCE Off-Site, PCE On-Site, Stack Test, and Title V CCR) in the selected federal fiscal year.
Compliance Monitoring Activities
Activities, such as: on-site compliance evaluations, emissions testing, and facility certifications are conducted to ensure compliance with regulations implemented under the authority of the Clean Air Act.
Classification
Under the CAA, facilities are classified based on the magnitude and types of emissions: Major Emissions, Synthetic Minor Emissions, Minor Emissions, and Other.
Additional details for the following terms can be found in the Data Dictionary:
Stack Tests by Result
Description of Metrics
Definition
Count of stack tests by result (Pass, Fail, Pending, Incomplete, and N/A) in the selected federal fiscal year. The number of facilities is limited to federally reportable facilities with major, synthetic minor, or minor potential emissions subject to 40 C.F.R. Part 61.
Compliance Monitoring Activities
Activities, such as: on-site compliance evaluations, emissions testing, and facility certifications are conducted to ensure compliance with regulations implemented under the authority of the Clean Air Act.
Additional details for the following terms can be found in the Data Dictionary:
% Facilities with FCEs by Classification
Description of Metrics
Definition
Percent of federally reportable facilities with a Full Compliance Evaluation (FCE) by classification in the selected federal fiscal year.
Bar Chart:

Facilities in Selected Classification with Full Compliance Evaluations / Facilities in Selected Classification

  • Numerator: The number of federally reportable facilities in the selected classification with full compliance evaluations in the selected federal fiscal year.
  • Denominator: The number of federally reportable active facilities and facilities with the identified activity that are closed or inactive in the selected classification in the selected federal fiscal year.
Metric Replication
 
Compliance Monitoring Activities
Activities, such as, on-site compliance evaluations, emissions testing, and facility certifications are conducted to ensure compliance with regulations implemented under the authority of the Clean Air Act.
Classification
Under the CAA, facilities are classified based on the magnitude and types of emissions: Major Emissions, Synthetic Minor Emissions, Minor Emissions, and Other.
Additional details for the following terms can be found in the Data Dictionary:
Notes: Percentages are used in this metric.
Replication of metric for % Facilities with FCEs by Classification using Details Table downloads
Source Data for DownloadMetric ComponentNumerator (Count of records where...)Denominator (Count of records where...)
Facilities DetailClassification = {Classification}"Full Compliance Evaluation Flag" is "Yes""Active Flag" is "Yes" or "Full Compliance Evaluation Flag" is "Yes"
% Facilities with FCEs vs. National Average
Description of Metrics
Definition
Percent of facilities with a Full Compliance Evaluation (FCE) for a group of facilities against the national average percent of facilities with a Full Compliance Evaluation (FCE) in the selected federal fiscal year.
Group Average (Bar Chart):

Facilities with Full Compliance Evaluations in the Selected State(s) / Facilities in Selected States

  • Numerator: The number of federally reportable facilities with full compliance evaluations in the selected state(s) in the selected federal fiscal year.
  • Denominator: The number of federally reportable active facilities and facilities with the identified activity that are closed or inactive in the selected state(s) in the selected federal fiscal year.
National Average (Line Chart):

Facilities with Full Compliance Evaluations / Facilities

  • Numerator: The number of federally reportable facilities with full compliance evaluations nationally in the selected federal fiscal year.
  • Denominator: The number of federally reportable active facilities and facilities with the identified activity that are closed or inactive nationally in the selected federal fiscal year.
Metric Replication
 
Compliance Monitoring Activities
Activities, such as, on-site compliance evaluations, emissions testing, and facility certifications are conducted to ensure compliance with regulations implemented under the authority of the Clean Air Act.
Additional details for the following terms can be found in the Data Dictionary:
Notes
  • Percentages are used in this metric.
  • If no specific states are selected, the state average and national averages will be the same.
Replication of metric for % Facilities with FCEs vs. National Average using Details Table downloads
Source Data for DownloadMetric ComponentNumerator (Count of Records where...)Denominator (Count of Records where...)
Facilities DetailSelected State(s)"Full Compliance Evaluation Flag" is "Yes" and "State" is {Selected State(s)}"Active Flag" is "Yes" or "Full Compliance Evaluation Flag" is "Yes" and "State" is {Selected State(s)}
Facilities DetailNational Average"Full Compliance Evaluation Flag" is "Yes""Active Flag" is "Yes" or "Full Compliance Evaluation Flag" is "Yes"

Federally Reportable Violations

Violations of federally enforceable Clean Air Act (CAA) requirements at an applicable stationary source, which are to be reported to EPA, are called Federally Reportable Violations, or FRVs. The applicable CAA programs for FRV reporting are NSPS, NESHAP, MACT, NSR, PSD, EPA approved SIP, and Title V. FRVs include the following:

  1. Violations of any emission limitation, emission standard or surrogate parameter.
  2. Procedural violations including:
    • Failure to maintain reports and underlying records as required by permit or regulation
    • Failure to test or conduct valid monitoring in a timely manner as required by permit or regulation
    • Failure to report in a timely manner
    • Failure to construct, install, or operate facility/equipment in accordance with the permit or regulation
    • Failure to obtain or maintain a permit
    • Work practice violations
    • Violations of consent decrees, court orders or administrative orders

While FRVs may be further distinguished as High Priority Violations (HPVs), the violations displayed on the dashboard charts below are currently identified as FRVs. EPA's Guidance on FRVs for Stationary Air Sources will provide additional detailed information on FRVs.

Unless otherwise specified below, the data for the charts comes from the Integrated Compliance Information System for CAA Stationary Sources (ICIS-Air). Data prior to 2015 comes from the AIRS Facility Subsystem of the Aerometric Information Retrieval System (AIRS-AFS). 

FRVs by Lead Agency
Description of Metrics
Definition
Count of federally reportable violations (FRVs) by lead agency (EPA, State and Local) in the selected federal fiscal year.
Violation
 An act of noncompliance with CAA regulatory requirements.
Additional details for the following terms can be found in the Data Dictionary:
Notes
  • The Permitting Agency is involved in issuing and renewing CAA permits. Lead Agency refers to the entity leading a particular activity (e.g., inspection or enforcement action) at a facility. Selections here will filter results to facilities which have been subject to any compliance monitoring or enforcement action from the agency selected.
  • Data comes from the Integrated Compliance Information System for CAA Stationary Sources (ICIS-Air), which was introduced in 2015.
Alleged Violations by Lead Agency
Description of Metrics
Definition
Count of alleged violations prior to 2015 by lead agency (EPA, State, and Local) in the selected federal fiscal year.
Violation
 An act of noncompliance with CAA regulatory requirements.
Additional details for the following terms can be found in the Data Dictionary:
Notes
  • The Permitting Agency is involved in issuing and renewing CAA permits. Lead Agency refers to the entity leading a particular activity (e.g., inspection or enforcement action) at a facility. Selections here will filter results to facilities which have been subject to any compliance monitoring or enforcement action from the agency selected.
  • This data comes from AIRS-AFS, which was retired in 2014.
Facilities with FRVs by Classification
Description of Metrics
Definition
Count of facilities with federally reportable violations (FRVs) by classification in the selected federal fiscal year.
Violation
 An act of noncompliance with CAA regulatory requirements.
Classification
 Under the CAA, facilities are classified based on the magnitude and types of emissions: Major Emissions, Synthetic Minor Emissions, Minor Emissions, and Other.
Additional details for the following terms can be found in the Data Dictionary:
Notes
  • The Permitting Agency is involved in issuing and renewing CAA permits. Lead Agency refers to the entity leading a particular activity (e.g., inspection or enforcement action) at a facility. Selections here will filter results to facilities which have been subject to any compliance monitoring or enforcement action from the agency selected.
  • Data comes from the Integrated Compliance Information System for CAA Stationary Sources (ICIS-Air), which was introduced in 2015.
Facilities with Alleged Violations by Classification
Description of Metrics
Definition
Count of alleged violations prior to 2015 by classification in the selected federal fiscal year.
Violation
 An act of noncompliance with CAA regulatory requirements.
Classification
 Under the CAA, facilities are classified based on the magnitude and types of emissions: Major Emissions, Synthetic Minor Emissions, Minor Emissions, and Other.
Additional details for the following terms can be found in the Data Dictionary:
Notes: This data comes from AIRS-AFS, which was retired in 2014.
% FRVs (Majors) Resolved by Lead Agency
Description of Metrics
Definition
Percent of federally reportable violations at major emissions facilities resolved by lead agency (EPA, State and Local) in the selected federal fiscal year.
Bar Chart:

FRVs at Major Emissions Facilities Resolved / FRVs at Major Emissions Facilities

  • Numerator: The number of federally reportable violations at facilities in the major emissions classification resolved by the selected lead agency in the selected federal fiscal year.
  • Denominator: The number of federally reportable violations, reported by the selected lead agency, at facilities in the major emissions classification in the selected federal fiscal year.
Metric Replication
 
Violation
 An act of noncompliance with CAA regulatory requirements.
Additional details for the following terms can be found in the Data Dictionary:
Notes
  • Percentages are used in this metric.
  • The Permitting Agency is involved in issuing and renewing CAA permits. Lead Agency refers to the entity leading a particular activity (e.g., inspection or enforcement action) at a facility. Selections here will filter results to facilities which have been subject to any compliance monitoring or enforcement action from the agency selected.
  • Data comes from the Integrated Compliance Information System for CAA Stationary Sources (ICIS-Air), which was introduced in 2015.
Replication of metric for % FRVs (Majors) Resolved by Lead Agency using Details Table downloads
Source Data for DownloadMetric ComponentNumerator (Count of records where...)Denominator (Count of records where...)
FRV DetailLead Agency = EPA"Lead Agency" is "EPA" and "Classification" is "Major Emissions" and "Resolved Date" is not "-""Lead Agency" is "EPA" and "Classification" is "Major Emissions"
FRV DetailLead Agency = State"Lead Agency" is "State" and "Classification" is "Major Emissions" and "Resolved Date" is not "-""Lead Agency" is "State" and "Classification" is "Major Emissions"
FRV DetailLead Agency = Local"Lead Agency" is "Local" and "Classification" is "Major Emissions" and "Resolved Date" is not "-""Lead Agency" is "Local" and "Classification" is "Major Emissions"
% FRVs (Majors) with Enforcement Action by Lead Agency
Description of Metrics
Definition
Percent of federally reportable violations (FRVs) at major emissions facilities with enforcement actions by lead agency (State and Local) in the selected federal fiscal year. Enforcement actions include notices of violation (NOV), warning letters, civil judicial actions, and administrative orders.
Bar Chart:

FRVs at Major Emissions Facilities with Enforcement Actions / FRVs at Major Emissions Facilities

  • Numerator: The number of federally reportable violations at facilities in the major emissions classification with enforcement action(s) issued by the selected lead agency in the selected federal fiscal year.
  • Denominator: The number of federally reportable violations, reported by the selected lead agency, at facilities in the major emissions classification in the selected federal fiscal year.
Metric Replication
 
Violation
 An act of noncompliance with CAA regulatory requirements.
Enforcement Action
Under the authority of the Clean Air Act, several types of enforcement actions may be taken: informal actions (e.g., notices of violation and warning letters) and formal enforcement actions (e.g., civil judicial actions and administrative orders).
Additional details for the following terms can be found in the Data Dictionary:
Notes
  • Percentages are used in this metric.
  • The Permitting Agency is involved in issuing and renewing CAA permits. Lead Agency refers to the entity leading a particular activity (e.g., inspection or enforcement action) at a facility. Selections here will filter results to facilities which have been subject to any compliance monitoring or enforcement action from the agency selected.
  • Data comes from the Integrated Compliance Information System for CAA Stationary Sources (ICIS-Air), which was introduced in 2015.
Replication of metric for % FRVs (Majors) with Enforcement Action by Lead Agency using Details Table downloads
Source Data for DownloadMetric ComponentNumerator (Count of records where...)Denominator (Count of records where...)
FRV DetailLead Agency = EPA"Lead Agency" is "EPA" and "Classification" is "Major Emissions" and "Enforcement Action" is "Yes""Lead Agency" is "EPA" and "Classification" is "Major Emissions"
FRV DetailLead Agency = State"Lead Agency" is "State" and "Classification" is "Major Emissions" and "Enforcement Action" is "Yes""Lead Agency" is "State" and "Classification" is "Major Emissions"
FRV DetailLead Agency = Local"Lead Agency" is "Local" and "Classification" is "Major Emissions" and "Enforcement Action" is "Yes""Lead Agency" is "Local" and "Classification" is "Major Emissions"
% Facilities (Majors) with FRVs by Permitting Agency
Description of Metrics
Definition
Percent of major emissions facilities with federally reportable violations (FRVs) by permitting agency (EPA, State and Local) in the selected federal fiscal year.
Bar Chart:

Major Emissions Facilities with FRVs / Major Emissions Facilities

  • Numerator: The number of facilities in the major emissions classification permitted by the selected permitting agency with federally reportable violations (FRVs) in the selected federal fiscal year.
  • Denominator: The number of active facilities and facilities with the identified activity that are closed or inactive in the major emissions classification permitted by the selected permitting agency in the selected federal fiscal year.
Metric Replication
 
Violation
 An act of noncompliance with CAA regulatory requirements.
Additional details for the following terms can be found in the Data Dictionary:
Notes
  • Percentages are used in this metric.
  • The Permitting Agency is involved in issuing and renewing CAA permits. Lead Agency refers to the entity leading a particular activity (e.g., inspection or enforcement action) at a facility. Selections here will filter results to facilities which have been subject to any compliance monitoring or enforcement action from the agency selected.
  • Data comes from the Integrated Compliance Information System for CAA Stationary Sources (ICIS-Air), which was introduced in 2015.
Replication of metric for % Facilities (Majors) with FRVs by Permitting Agency using Details Table downloads
Source Data for DownloadMetric ComponentNumerator (Count of records where...)Denominator (Count of records where...)
Facilities DetailPermitting Agency = EPA"Permitting Agency" is "EPA" and "Classification" is "Major Emissions" and "Federally Reportable Violation Flag" is "Yes""Permitting Agency" is "EPA" and Classification is "Major Emissions" and (Federally Reportable Violation Flag is "Yes" or "Active Flag" is "Yes")
Facilities DetailPermitting Agency = State"Permitting Agency" is "State" and "Classification" is "Major Emissions" and "Federally Reportable Violation Flag" is "Yes""Permitting Agency" is "State" and Classification is "Major Emissions" and (Federally Reportable Violation Flag is "Yes" or "Active Flag" is "Yes")
Facilities DetailPermitting Agency = Local"Permitting Agency" is "Local" and "Classification" is "Major Emissions" and "Federally Reportable Violation Flag" is "Yes""Permitting Agency" is "Local" and Classification is "Major Emissions" and (Federally Reportable Violation Flag is "Yes" or "Active Flag" is "Yes")
% Facilities (Majors) with FRVs vs. National Average
Description of Metrics
Definition
Percent of major emissions facilities with federally reportable violations (FRVs) for a selected group of facilities against the national average percent of facilities with federally reportable violations in the selected federal fiscal year.
Group Average (Bar Chart):

Facilities with FRVs in the Selected State(s) / Facilities in Selected States

  • Numerator: The number of facilities in the major emissions classification in the selected state(s) with federally reportable violations (FRVs) in the selected federal fiscal year.
  • Denominator: The number of active facilities and facilities with the identified activity that are closed or inactive in the major emissions classification in the selected state(s) in the selected federal fiscal year.
National Average (Line Chart):

Facilities with FRVs / Facilities

  • Numerator: The number of facilities in the major emissions classification nationally with federally reportable violations (FRVs) in the selected federal fiscal year.
  • Denominator: The number of active facilities and facilities with the identified activity that are closed or inactive in the major emissions classification nationally in the selected federal fiscal year.
Metric Replication
 
Violation
 An act of noncompliance with CAA regulatory requirements.
Additional details for the following terms can be found in the Data Dictionary:
Notes
  • Percentages are used in this metric.
  • Data comes from the Integrated Compliance Information System for CAA Stationary Sources (ICIS-Air), which was introduced in 2015.
  • If no specific states are selected, the state average and national averages will be the same.
Replication of metric for % Facilities (Majors) with FRVs vs. National Average using Details Table downloads
Source Data for DownloadMetric ComponentNumerator (Count of records where...)Denominator (Count of records where...)
Facilities DetailSelected State(s)"Classification" is "Major Emissions" and "Federally Reportable Violation Flag" is "Yes" and "State" is {Selected State(s)}"Classification" is "Major Emissions" and ("Federally Reportable Violation Flag" is "Yes" or "Active Flag" is "Yes") and "State" is {Selected State(s)}
Facilities DetailNational Average"Classification" is "Major Emissions" and "Federally Reportable Violation Flag" is "Yes""Classification" is "Major Emissions" and ("Federally Reportable Violation Flag" is "Yes" or "Active Flag" is "Yes")

High Priority Violations 

An HPV is a federally reportable violation that meets any of the criteria specified below: 

  1. Failure to obtain a New Source Review (NSR) permit (for either attainment or non-attainment areas) and/or install Best Available Control Technology (BACT) or Lowest Available Emission Reductions (LAER) (and/or obtain offsets) for any new stationary source or major modification at a major stationary source. This criterion also includes violations of a synthetic minor stationary source of an emission limit or permit condition such that the source’s actual annual emissions exceed or expect to exceed the major stationary source threshold defined in the NSR regulations.
  2. A violation of any federally enforceable emission limitation, emission standard, or surrogate parameter where the violation continues or is expected to continue for 7 days. This criterion also includes intermittent violations that occurred for at least 7 days. These limitations, standards or surrogates that were issued pursuant to Title 1, Part C or D of the CAA and their implementing regulations, those issued in an applicable Standards of Performance for New Sources (NSPS) (Part 60), or those issued pursuant to the National Emission Standards for Hazardous Air Pollutants (Parts 61 and 63),  or those in an analogous delegated state, local, tribal, or territorial plan apply.
  3. A violation that involves federally enforceable work practices, testing requirements, monitoring requirements, recordkeeping or reporting that substantially interferes with enforcement of a requirement or a determination of the source’s compliance. The determination of what is substantial shall be part of a case-by-case analysis/discussion between the EPA Region and the enforcement agency.
  4. Any other violations specifically identified and communicated to enforcement agencies by the Director, Air Enforcement Division, U.S. EPA (general applicability) or as mutually agreed upon between the enforcement agency and corresponding EPA Region (case by case).

For the dashboard charts listed below, only those HPVs at federally reportable facilities are included. EPA’s Revised Timely and Appropriate Enforcement Response to HPVs provides additional detailed information regarding HPVs.

HPVs by Lead Agency
Description of Metrics
Definition
Count of High Priority Violations (HPVs) at federally reportable facilities by lead agency (EPA, State, Local) in the selected federal fiscal year.
Violation
 An act of noncompliance with CAA regulatory requirements.
Additional details for the following terms can be found in the Data Dictionary:
Notes: The Permitting Agency is involved in issuing and renewing CAA permits. Lead Agency refers to the entity leading a particular activity (e.g., inspection or enforcement action) at a facility. Selections here will filter results to facilities which have been subject to any compliance monitoring or enforcement action from the agency selected.
HPVs by Classification
Description of Metrics
Definition
Counts of High Priority Violations at federally reportable facilities by classification in the selected federal fiscal year.
Violation
 An act of noncompliance with CAA regulatory requirements.
Classification
 Under the CAA, facilities are classified based on the magnitude and types of emissions: Major Emissions, Synthetic Minor Emissions, Minor Emissions, and Other.
Additional details for the following terms can be found in the Data Dictionary:
Facilities with HPVs by Permitting Agency
Description of Metrics
Definition
Count of federally reportable facilities with High Priority Violations by permitting agency (EPA, State, and Local). in the selected federal fiscal year.
Violation
 An act of noncompliance with CAA regulatory requirements.
Additional details for the following terms can be found in the Data Dictionary:
Notes: The Permitting Agency is involved in issuing and renewing CAA permits. Lead Agency refers to the entity leading a particular activity (e.g., inspection or enforcement action) at a facility. Selections here will filter results to facilities which have been permitted by the agency selected.
% Facilities (Majors) with HPVs by Permitting Agency
Description of Metrics
Definition
Percent of federally reportable major emissions facilities with High Priority Violations by permitting agency (EPA, State, and Local) in the selected federal fiscal year.
Bar Chart:

Major Emissions Facilities with HPVs / Major Emissions Facilities

  • Numerator: The number of federally reportable facilities in the major emissions classification permitted by the selected permitting agency with high priority violations (HPVs) in the selected federal fiscal year.
  • Denominator: The number of federally reportable active facilities and facilities with the identified activity that are closed or inactive in the major emissions classification permitted by the selected permitting agency in the selected federal fiscal year.
Metric Replication
 
Violation
 An act of noncompliance with CAA regulatory requirements.
Additional details for the following terms can be found in the Data Dictionary:
Notes
  • Percentages are used in this metric.
  • The Permitting Agency is involved in issuing and renewing CAA permits. Lead Agency refers to the entity leading a particular activity (e.g., inspection or enforcement action) at a facility. Selections here will filter results to facilities permitted by the agency selected agency.
Replication of metric for % Facilities (Majors) with HPVs by Permitting Agency using Details Table downloads
Source Data for DownloadMetric ComponentNumerator (Count of records where...)Denominator (Count of records where...)
Facilities DetailPermitting Agency = EPA"Permitting Agency" is "EPA" and "Classification" is "Major Emissions" and "High Priority Violation Flag" is "Yes""Permitting Agency" is "EPA" and Classification is "Major Emissions" and (High Priority Violation Flag is "Yes" or "Active Flag" is "Yes")
Facilities DetailPermitting Agency = State"Permitting Agency" is "State" and "Classification" is "Major Emissions" and "High Priority Violation Flag" is "Yes""Permitting Agency" is "State" and Classification is "Major Emissions" and (High Priority Violation Flag is "Yes" or "Active Flag" is "Yes")
Facilities DetailPermitting Agency = Local"Permitting Agency" is "Local" and "Classification" is "Major Emissions" and "High Priority Violation Flag" is "Yes""Permitting Agency" is "Local" and Classification is "Major Emissions" and (High Priority Violation Flag is "Yes" or "Active Flag" is "Yes")
% HPVs (Majors) Reported Within 60 Days by Lead Agency
Description of Metrics
Definition
Percent of High Priority Violations at federally reportable major emissions facilities reported within 60 days by lead agency (EPA, State, and Local) in the selected federal fiscal year.
Bar Chart:

HPVs at Major Emissions Facilities Reported within 60 Days / HPVs at Major Emissions Facilities

  • Numerator: The number of high priority violations (HPVs) at federally reportable facilities in the major emissions classification reported within 60 days from day zero by the selected lead agency in the selected federal fiscal year.
  • Denominator: The number of high priority violations (HPVs) at federally reportable facilities in the major emissions classification found by the selected lead agency in the selected federal fiscal year. 
Metric Replication
 
Violation
 An act of noncompliance with CAA regulatory requirements.
Additional details for the following terms can be found in the Data Dictionary:
Notes
  • Percentages are used in this metric.
  • Lead agency refers to the agency that led the compliance or enforcement action, not to the permitting agency. Selections here will filter results to facilities which have been subject to any compliance monitoring or enforcement action from the agency selected, regardless of which agency permitted the facility.
Replication of metric for % HPVs (Majors) Reported Within 60 Days by Lead Agency using Details Table downloads
Source Data for DownloadMetric ComponentNumerator (Count of records where...)Denominator (Count of records where...)
HPV DetailLead Agency = EPA"Lead Agency" is "EPA" and "Classification" is "Major Emissions" and "Reported within 60 Days" is "Yes""Lead Agency" is "EPA" and "Classification" is "Major Emissions"
HPV DetailLead Agency = State"Lead Agency" is "State" and "Classification" is "Major Emissions" and "Reported within 60 Days" is "Yes""Lead Agency" is "State" and "Classification" is "Major Emissions"
HPV DetailLead Agency = Local"Lead Agency" is "Local" and "Classification" is "Major Emissions" and "Reported within 60 Days" is "Yes""Lead Agency" is "Local" and "Classification" is "Major Emissions"
% HPVs (Majors) Addressed Within 180 Days
Description of Metrics
Definition
Percent of High Priority Violations at federally reportable major emissions facilities addressed within 180 days by lead agency (EPA, State, and Local) in the selected federal fiscal year.
Bar Chart:

HPVs at Major Emissions Facilities Addressed within 180 Days / HPVs at Major Emissions Facilities

  • Numerator: The number of high priority violations (HPVs) at federally reportable facilities in the major emissions classification addressed within 180 days from day zero by the selected lead agency in the selected federal fiscal year.
  • Denominator: The number of high priority violations (HPVs) at federally reportable facilities in the major emissions classification found by the selected lead agency in the selected federal fiscal year.
Metric Replication
 
Violation
An act of noncompliance with CAA regulatory requirements.
Additional details for the following terms can be found in the Data Dictionary:
Notes
  • Percentages are used in this metric.
  • Lead agency refers to the agency that led the compliance or enforcement action, not to the permitting agency. Selections here will filter results to facilities which have been subject to any compliance monitoring or enforcement action from the agency selected, regardless of which agency permitted the facility.
Replication of metric for % HPVs (Majors) Addressed Within 180 Days using Details Table downloads
Source Data for DownloadMetric ComponentNumerator (Count of records where...)Denominator (Count of records where...)
HPV DetailLead Agency = EPA"Lead Agency" is "EPA" and "Classification" is "Major Emissions" and "Addressed within 180 Days" is "Yes""Lead Agency" is "EPA" and "Classification" is "Major Emissions"
HPV DetailLead Agency = State"Lead Agency" is "State" and "Classification" is "Major Emissions" and "Addressed within 180 Days" is "Yes""Lead Agency" is "State" and "Classification" is "Major Emissions"
HPV DetailLead Agency = Local"Lead Agency" is "Local" and "Classification" is "Major Emissions" and "Addressed within 180 Days" is "Yes""Lead Agency" is "Local" and "Classification" is "Major Emissions"
% Facilities (Majors) with HPVs vs. National Average
Description of Metrics
Definition
Percent of federally reportable major emissions facilities with High Priority Violations for a selected group of facilities against the national average percent of facilities with High Priority Violations in the selected federal fiscal year. The denominator includes the population of active facilities and facilities with the identified activity that are closed or inactive.
Group Average (Bar Chart):

Facilities with HPVs in the Selected State(s) / Facilities in Selected States

  • Numerator: The number of federally reportable facilities in the major emissions classification in the selected state(s) with high priority violations in the selected federal fiscal year.
  • Denominator: The number of federally reportable active facilities and facilities with the identified activity that are closed or inactive in the major emissions classification in the selected state(s) in the selected federal fiscal year.
National Average (Line Chart):

Facilities with HPVs / Facilities

  • Numerator: The number of federally reportable facilities in the major emissions classification nationally with high priority violations in the selected federal fiscal year.
  • Denominator: The number of federally reportable active facilities and facilities with the identified activity that are closed or inactive in the major emissions classification nationally in the selected federal fiscal year.
Metric Replication
 
Violation
 An act of noncompliance with CAA regulatory requirements.
Additional details for the following terms can be found in the Data Dictionary:
Notes
  • Percentages are used in this metric.
  • If no specific states are selected, the state average and national averages will be the same.
Replication of metric for % Facilities (Majors) with HPVs vs. National Average using Details Table downloads
Source Data for DownloadMetric ComponentNumerator (Count of records where...)Denominator (Count of records where...)
Facilities DetailSelected State(s)"Classification" is "Major Emissions" and "High Priority Violation Flag" is "Yes" and "State" is {Selected State(s)}"Classification" is "Major Emissions" and ("High Priority Violation Flag" is "Yes" or "Active Flag" is "Yes") and "State" is {Selected State(s)}
Facilities DetailNational Average"Classification" is "Major Emissions" and "High Priority Violation Flag" is "Yes""Classification" is "Major Emissions" and ("High Priority Violation Flag" is "Yes" or "Active Flag" is "Yes")

Enforcement Actions

Under the Clean Air Act compliance and enforcement program, there are informal and formal enforcement actions. Informal enforcement actions do not direct a regulated facility to do anything or refrain from doing anything, and do not sanction or impose any penalty. An informal enforcement action simply informs the regulated facility of findings concerning noncompliance (Notice of Violation) with a regulation under the Clean Air Act. A formal enforcement action typically occurs after the issuance of an informal enforcement action, and either requires that a facility comply with the requirements or prohibitions established under the Clean Air Act, requires payment of a penalty, initiates a civil action, or constitutes a civil action. Only activities at federally reportable facilities are included.

Formal Enforcement Actions by Lead Agency
Description of Metrics
Definition
Count of formal enforcement actions by lead agency (EPA, State, and Local) in the selected federal fiscal year.
Enforcement Action
Under the authority of the Clean Air Act, several types of enforcement actions may be taken: informal actions (e.g., notices of violation and warning letters) and formal enforcement actions (e.g., civil judicial actions and administrative orders).
Additional details for the following terms can be found in the Data Dictionary:
Notes: Lead agency refers to the agency that led the compliance or enforcement action, not to the permitting agency. Selections here will filter results to facilities which have been subject to any compliance monitoring or enforcement action from the agency selected, regardless of which agency permitted the facility.
Informal Enforcement Actions by Lead Agency
Description of Metrics
Definition
Count of informal enforcement actions by lead agency (EPA, State, and Local) in the selected federal fiscal year.
Enforcement Action
Under the authority of the Clean Air Act, several types of enforcement actions may be taken: informal actions (e.g., notices of violation and warning letters) and formal enforcement actions (e.g., civil judicial actions and administrative orders).
Additional details for the following terms can be found in the Data Dictionary:
Notes: Lead agency refers to the agency that led the compliance or enforcement action, not to the permitting agency. Selections here will filter results to facilities which have been subject to any compliance monitoring or enforcement action from the agency selected, regardless of which agency permitted the facility.
Facilities with Formal Enforcement Actions by Lead Agency
Description of Metrics
Definition
Count of facilities with formal enforcement actions by lead agency (EPA, State, and Local) in the selected federal fiscal year.
Enforcement Action
Under the authority of the Clean Air Act, several types of enforcement actions may be taken: informal actions (e.g., notices of violation and warning letters) and formal enforcement actions (e.g., civil judicial actions and administrative orders).
Additional details for the following terms can be found in the Data Dictionary:
Notes: Lead agency refers to the agency that led the compliance or enforcement action, not to the permitting agency. Selections here will filter results to facilities which have been subject to any compliance monitoring or enforcement action from the agency selected, regardless of which agency permitted the facility.
Facilities with Informal Enforcement Actions by Lead Agency
Description of Metrics
Definition
Count of facilities with informal enforcement actions by lead agency (EPA, State, and Local) in the selected federal fiscal year.
Enforcement Action
Under the authority of the Clean Air Act, several types of enforcement actions may be taken: informal actions (e.g., notices of violation and warning letters) and formal enforcement actions (e.g., civil judicial actions and administrative orders).
Additional details for the following terms can be found in the Data Dictionary:
Notes: Lead agency refers to the agency that led the compliance or enforcement action, not to the permitting agency. Selections here will filter results to facilities which have been subject to any compliance monitoring or enforcement action from the agency selected, regardless of which agency permitted the facility.
% Enforcement Actions Reported Within 60 Days
Description of Metrics
Definition
Percent of enforcement actions reported within 60 days by lead agency (EPA, State, and Local) in the selected federal fiscal year.
Bar Chart:

Enforcement Actions Reported within 60 Days / Enforcement Actions

  • Numerator: The number enforcement actions reported within 60 days from day zero by the selected lead agency in the selected federal fiscal year.
  • Denominator: The number of enforcement actions by the selected lead agency in the selected federal fiscal year.
Metric Replication
 
Enforcement Action
 Under the authority of the Clean Air Act, several types of enforcement actions may be taken: informal actions (e.g., notices of violation and warning letters) and formal enforcement actions (e.g., civil judicial actions and administrative orders).
Additional details for the following terms can be found in the Data Dictionary:
Notes: Percentages are used in this metric.
Replication of metric for % Enforcement Actions Reported Within 60 Days using Details Table downloads
Source Data for DownloadMetric ComponentNumerator (Count of records where...)Denominator (Count of records where...)
Enforcement Actions DetailLead Agency = EPA"Lead Agency" is "EPA" and "Reported within 60 Days" is "Yes""Lead Agency" is "EPA"
Enforcement Actions DetailLead Agency = State"Lead Agency" is "State" and "Reported within 60 Days" is "Yes""Lead Agency" is "State"
Enforcement Actions DetailLead Agency = Local"Lead Agency" is "Local" and "Reported within 60 Days" is "Yes""Lead Agency" is "Local"
% Facilities with Enforcement Actions vs. National Average
Description of Metrics
Definition
Percent of facilities with an enforcement action compared to the national average in the selected federal fiscal year.
Group Average (Bar Chart):

Facilities with Enforcement Actions in the Selected State(s) / Facilities in Selected States

  • Numerator: The number of facilities with enforcement actions in the selected state(s) in the selected federal fiscal year.
  • Denominator: The number of active facilities and facilities with the identified activity that are closed or inactive in the selected state(s) in the selected federal fiscal year.
National Average (Line Chart):

Facilities with Enforcement Actions / Facilities

  • Numerator: The number of facilities with enforcement actions nationally in the selected federal fiscal year.
  • Denominator: The number of active facilities and facilities with the identified activity that are closed or inactive nationally in the selected federal fiscal year.
Metric Replication
 
Enforcement Action
 Under the authority of the Clean Air Act, several types of enforcement actions may be taken: informal actions (e.g., notices of violation and warning letters) and formal enforcement actions (e.g., civil judicial actions and administrative orders).
Additional details for the following terms can be found in the Data Dictionary:
Notes
  • Percentages are used in this metric.
  • If no specific states are selected, the state average and national averages will be the same.
Replication of metric for % Facilities with Enforcement Actions vs. National Average using Details Table downloads
Source Data for DownloadMetric ComponentNumerator (Count of records where...)Denominator (Count of records where...)
Facilities DetailSelected State(s)"Enforcement Action Flag" is "Yes" and "State" is {Selected State(s)}("Enforcement Action Flag" is "Yes" or "Active Flag" is "Yes") and "State" is {Selected State(s)}
Facilities DetailNational Average"Enforcement Action Flag" is "Yes""Enforcement Action Flag" is "Yes" or "Active Flag" is "Yes"

Penalties 

Assessed penalties are reported as a dollar amount on a formal enforcement action. Only activities at federally reportable facilities are included.

Penalties by Lead Agency
Description of Metrics
Definition
Penalties at federally reportable facilities by lead agency (EPA, State, and Local) in the selected federal fiscal year.
Penalties
A monetary sanction, if deemed appropriate by the lead agency, incorporated into a settlement of civil administrative (Consent Agreements/Final Orders) or judicial actions (Consent Decrees) that might recover the economic benefit of noncompliance plus some appreciable amount reflecting the gravity of the violation.
Additional details for the following terms can be found in the Data Dictionary:
Notes: Lead agency refers to the agency that led the compliance or enforcement action, not to the permitting agency. Selections here will filter results to facilities which have been subject to any compliance monitoring or enforcement action from the agency selected, regardless of which agency permitted the facility.
% FEAs with Penalty by Classification
Description of Metrics
Definition
Percent of formal enforcement actions against federally reportable facilities with penalty by classification in the selected federal fiscal year.
Bar Chart:

Formal Enforcement Actions with Penalties / Formal Enforcement Actions

  • Numerator: The number of formal enforcement actions against federally reportable facilities which included penalties in the selected classification in the selected federal fiscal year.
  • Denominator: The number of formal enforcement actions against federally reportable facilities in the selected classification in the selected federal fiscal year.
Metric Replication
 
Enforcement Action
 Under the authority of the Clean Air Act, several types of enforcement actions may be taken: informal actions (e.g., notices of violation and warning letters) and formal enforcement actions (e.g., civil judicial actions and administrative orders).
Penalties
A monetary sanction, if deemed appropriate by the lead agency, incorporated into a settlement of civil administrative (Consent Agreements/Final Orders) or judicial actions (Consent Decrees) that might recover the economic benefit of noncompliance plus some appreciable amount reflecting the gravity of the violation.
Classification
Under the CAA, facilities are classified based on the magnitude and types of emissions: Major Emissions, Synthetic Minor Emissions, Minor Emissions, and Other.
Additional details for the following terms can be found in the Data Dictionary:
Notes: Percentages are used in this metric.
Replication of metric for % FEAs with Penalty by Classification using Details Table downloads
Source Data for DownloadMetric ComponentNumerator (Count of records where...)Denominator (Count of records where...)
Enforcement Actions DetailClassification = {Classification}"Action Type" is "Formal" and "Total Penalty" > 0"Action Type" is "Formal"
% FEAs with Penalty by Lead Agency
Description of Metrics
Definition
Percent of formal enforcement actions against federally reportable facilities with penalty by lead agency (EPA, State, and Local) in the selected federal fiscal year.
Bar Chart:

Formal Enforcement Actions with Penalties / Formal Enforcement Actions

  • Numerator: The number of formal enforcement actions against federally reportable facilities which included penalties issued by the selected lead agency in the selected federal fiscal year.
  • Denominator: The number of formal enforcement actions against federally reportable facilities issued by the selected lead agency in the selected federal fiscal year.
Metric Replication
 
Enforcement Action
 Under the authority of the Clean Air Act, several types of enforcement actions may be taken: informal actions (e.g., notices of violation and warning letters) and formal enforcement actions (e.g., civil judicial actions and administrative orders).
Penalties
A monetary sanction, if deemed appropriate by the lead agency, incorporated into a settlement of civil administrative (Consent Agreements/Final Orders) or judicial actions (Consent Decrees) that might recover the economic benefit of noncompliance plus some appreciable amount reflecting the gravity of the violation.

Additional details for the following terms can be found in the Data Dictionary:

Notes

  • Percentages are used in this metric.
  • Lead agency refers to the agency that led the compliance or enforcement action, not to the permitting agency. Selections here will filter results to facilities which have been subject to any compliance monitoring or enforcement action from the agency selected, regardless of which agency permitted the facility.
Replication of metric for % FEAs with Penalty by Lead Agency using Details Table downloads
Source Data for DownloadMetric ComponentNumerator (Count of records where...)Denominator (Count of records where...)
Enforcement Actions DetailLead Agency = EPA"Lead Agency" is "EPA" and "Action Type" is "Formal" and "Total Penalty" > 0"Lead Agency" is "EPA" and "Action Type" is "Formal"
Enforcement Actions DetailLead Agency = State"Lead Agency" is "State" and "Action Type" is "Formal" and "Total Penalty" > 0"Lead Agency" is "State" and "Action Type" is "Formal"
Enforcement Actions DetailLead Agency = Local"Lead Agency" is "Local" and "Action Type" is "Formal" and "Total Penalty" > 0"Lead Agency" is "Local" and "Action Type" is "Formal"
Median Penalties Assessed
Description of Metrics
Definition
Median value of penalties assessed.
The penalty assessed counts the cash penalty reported on an EPA court consent decree, section 167 order, section 113(D) administrative penalty order, or a federal air toxics administrative penalty order. The assessed penalty may be different than the final penalty collected.
The assessed penalty does not include the value associated with a supplemental environmental project (SEP), which may be assigned a penalty value. An SEP is an environmentally beneficial project included in a settlement that furthers EPA's goals of protecting and enhancing public health and the environment.

Group Median (Bar Chart): The median of the value of the penalties accessed to facilities in the selected state(s) in the selected federal fiscal year.

National Median (Line Chart): The median of the value of the penalties accessed to facilities nationally in the selected federal fiscal year.

Penalties
A monetary sanction, if deemed appropriate by the lead agency, incorporated into a settlement of civil administrative (Consent Agreements/Final Orders) or judicial actions (Consent Decrees) that might recover the economic benefit of noncompliance plus some appreciable amount reflecting the gravity of the violation.

Additional details for the following terms can be found in the Data Dictionary:

Notes

  • Percentages are used in this metric.
  • The median value in a sorted distribution is the middle value: one half of the values are higher than the median and one-half of the values are lower than the median.
  • If no specific states are selected, the state average and national averages will be the same.

Data Dictionary

Active
Active facilities are those whose status is any of the following:
  • Operating (O)
  • Seasonal (I)
  • Temporarily Closed (T)
Inactive facilities include facilities whose status is any of the following:
  • Permanently Closed (X)
  • Planned (P)
  • Under Construction (C)
Addressed
Lead agencies should attempt to address an HPV within 180 days of day zero. This can be any of the following:
  1. Issuing a legally enforceable order that requires immediate action to come into compliance with the requirements violated
  2. Issuing a legally enforceable order that imposes penalties where the source has demonstrated that it is currently complying with the requirements violated
  3. Issuing a legally enforceable order that imposes a schedule on the source to comply with the requirements violated and penalties for the violation
  4. Transferring the matter to an organization with authority to initiate a civil or criminal judicial action (also known as a referral)
Classification
  • Major Emissions - Facilities which meet the definition of a Major source under the 1990 Clear Air Act Amendments. A Major source is one for which actual or potential emissions are above the applicable major source threshold. Major source thresholds for regulated pollutants run from 100 tons down depending on the pollutant toxicity and ambient air quality.
  • Synthetic Minor Emissions - A facility that avoids Major source requirements by accepting permit conditions which limit emissions below major source thresholds.
  • Federally Reportable Minor - A Minor source subject to Part 61 National Emissions Standards for Hazardous Air Pollutants (NESHAP). These sources are kept under close scrutiny because the standards are health based, and violation could imperil human health. OR Any Minor source which is subject to a formal enforcement action, including an Administrative Order, or Civil Suit in the past three years; or has an HPV that is unresolved; or is included on a Compliance Monitoring Strategy plan.
  • Emissions Classification Unknown - A facility with an unknown classification.
  • Other - A facility that is neither a Major nor a Synthetic Minor source.
  • Not Applicable - A classification does not apply to a facility.
Compliance Monitoring Activities
Compliance monitoring activities are conducted to ensure compliance with regulations implemented under the authority of the Clean Air Act. For this dashboard, the following activities are reported:
  1. Full Compliance Evaluation (FCE). An FCE is a comprehensive evaluation of the compliance status of the facility. It looks for all regulated pollutants at all regulated emission units, and it addresses the compliance status of each unit, as well as the facility’s continuing ability to maintain compliance at each emission unit. An FCE includes:
    • A review of all required reports and the underlying records
    • An assessment of air pollution control devices and operating conditions
    • An observation of visible emissions
    • A review of facility records and operating logs
    • An assessment of process parameters, such as feed rates, raw material compositions, and process rates
    • A stack test, which is employed if there is no other way to determine compliance with the emission limits.
    Full Compliance Evaluations have the following subtypes:
    • FFO - FCE Off-Site
    • FOO - FCE On-Site
  2. Partial Compliance Evaluation (PCE). A PCE is a documented compliance assessment focusing on a subset of regulated pollutants, regulatory requirements, or emission units at a given facility. A PCE should be more comprehensive than a cursory review of individual reports. It may be conducted solely for the purpose of evaluating a specific aspect of a facility or it may combine several PCE evaluations to satisfy the annual requirements of a FCE. Partial Compliance Evaluations have the following subtypes:
    • PFF - PCE Off-Site
    • PCE - PCE On-Site
    • POI - PCE On-Site Interview
    • POM - PCE On-Site Monitoring/Sampling
    • POR - PCE On-Site Record/Report Review
    • POV - PCE On-Site Visible Emission Observation
    • CST - Stack Test
    • TVA - Title V Annual Compliance Certification (TV ACC) Receipt/Review
  3. Stack Test. A stack test, also referred to in EPA regulations 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 the requirements of the Clean Air Act (CAA). Stack testing is an important tool used to determine a facility’s compliance with emission limits, or capture or control efficiencies established pursuant to the CAA.
  4. Title V Annual Compliance Certification (TVACC) Reviews. The TVACC requires the facility permittee to periodically (but no less frequently than annually) certify that the facility is in compliance with any applicable requirements of the permit, and to promptly report any deviations from permit requirements to the permitting authority. The TVACC is used as an enforcement tool to indicate possible exceptions to compliance.
Day Zero
The date of the initial identification of a violation as an HPV is called Day Zero, which will be deemed to have occurred on the earlier date of either:
  1. The date the lead agency has sufficient information to determine that a violation appears to meet at least one HPV criterion
  2. 90 days after the compliance monitoring activity that first provides information reasonably indicating a violation of a federally enforceable requirement
Enforcement Action
Under the Clean Air Act compliance and enforcement program, there are informal and formal enforcement actions. Informal enforcement actions do not direct a regulated facility to do anything or refrain from doing anything, and do not sanction or impose any penalty. An informal enforcement action simply informs the regulated facility of findings concerning noncompliance (Notice of Violation) with a regulation under the Clean Air Act. A formal enforcement action typically occurs after the issuance of an informal enforcement action, and either requires that a facility comply with the requirements or prohibitions established under the Clean Air Act, requires payment of a penalty, initiates a civil action, or constitutes a civil action. Only activities at federally reportable facilities are included.
Federal Fiscal Year
The Federal Fiscal Year runs from October 1 to September 30 of the following year. Because the federal fiscal year differ from the fiscal years of individual states, users should take care when comparing results from the ECHO State Dashboards with stat-specific summaries of similar compliance and enforcement information.
Federally Reportable Facility
Any stationary source facilities that are regulated by the Clean Air Act belonging to one or more of the following groups:
  • Major emissions facilities
  • Synthetic minor emissions facilities
  • Minor emissions facilities that are subject to 40 C.F.R. Part 61 (National Emission Standard for Hazardous Air Pollutants)
  • Any facility that is part of a compliance monitoring strategy
  • Any facility with an unresolved high priority violation
  • Any facility that is or was subject to a formal enforcement action within the last three years
Federally Reportable Violations
Violations of federally enforceable CAA requirements at an applicable source (Title V Major Sources, SM-80 Sources, sources included in an alternative CAA Stationary Source Compliance Monitoring Strategy (CMS) plan, and any source at which a high priority violation (HPV) has been identified) which are to be reported to EPA are called Federally Reportable Violations or FRVs. However, agencies also may optionally report violations at sources not within the scope of this policy to ICIS-Air. The applicable CAA programs for FRV reporting are NSPS, NESHAP, MACT, NSR, PSD, EPA approved SIP, and Title V. FRVs include the following:
  • Violations of any emission limitation, emission standard or surrogate parameter
  • Procedural violations including:
    • Failure to maintain reports and underlying records as required by permit or regulation such as:
      • Continuous emissions monitoring system (CEM) and continuous parameter monitoring reports
      • Malfunction reports
      • Excess emission reports
      • Semi-annual monitoring and periodic monitoring reports
    • Failure to timely test (e.g., performance test) or conduct valid monitoring as required by permit or regulation
    • Failure to timely report (e.g., annual compliance certifications)
    • Failure to construct, install, or operate facility/equipment in accordance with the permit or regulation (e.g., CEMs or other monitoring equipment)
    • Failure to obtain or maintain a permit (e.g., expired permit)
    • Work practice violations
    • Violation of consent decree, court order or administrative order
High Priority Violation (HPV)
A violation of a federally enforceable CAA requirement that is (1) likely to result in impacts that pose a significant risk to human health and/or the environment from direct or indirect release or air pollutants or (2) may harm the ability to implement CAA programs. An HPV is a federally reportable violation that meets any of the criteria specified below:
  1. Failure to obtain a New Source Review (NSR) permit (for either attainment or non-attainment areas) and/or install Best Available Control Technology (BACT) or Lowest Available Emission Reductions (LAER) (and/or obtain offsets) for any new stationary source or major modification at a major stationary source. This criterion also includes violations of a synthetic minor stationary source of an emission limit or permit condition such that the source’s actual annual emissions exceed (or expect to exceed) the major stationary source threshold defined in the NSR regulations.
  2. A violation of any federally enforceable emission limitation, emission standard, or surrogate parameter where the violation continues or is expected to continue for 7 days. This criterion also includes intermittent violations that occurred for at least 7 days. These limitations, standards or surrogates that were issued pursuant to Title 1, Part C or D of the CAA and their implementing regulations, those issued in an applicable Standards of Performance for New Sources (NSPS) (Part 60), or those issued pursuant to the National Emission Standards for Hazardous Air Pollutants (Parts 61 and 63), or those in an analogous delegated state, local, tribal, or territorial plan apply.
  3. A violation that involves federally enforceable work practices, testing requirements, monitoring requirements, recordkeeping or reporting that substantially interferes with enforcement of a requirement or a determination of the source’s compliance. The determination of what is substantial shall be part of a case-by-case analysis/discussion between the EPA Region and the enforcement agency.
  4. Any other violations specifically identified and communicated to enforcement agencies by the Director, Air Enforcement Division, U.S. EPA (general applicability) or as mutually agreed upon between the enforcement agency and corresponding EPA Region (case by case).
Lead Agency
Describes the agency, either EPA, State, or Local, with authority to enforce the regulations implemented under the Clean Air Act that led a compliance or enforcement action.
Local Agency
An agency within a state that has been delegated the authority to enforce the regulations implemented under the Clean Air Act.
Operating Status
Active facilities are those whose status is any of the following:
  • Operating (O)
  • Seasonal (I)
  • Temporarily Closed (T)
Inactive facilities include facilities whose status is any of the following:
  • Permanently Closed (X)
  • Planned (P)
  • Under Construction (C)
The codes for the following are not related to Stationary CAA facilities; therefore, are not included in ECHO for query purposes:
  • Landfill (L)
  • NESHAP Renovation (R)
  • NESHAP Spraying (S)
Penalties
A monetary amount in USD included in enforcement actions with the goal to achieve effective deterrence for the source subject to enforcement and for the regulated community as a whole. The amount should recover the economic benefit of noncompliance and contain a component reflecting the seriousness of the violation.
Permitting Agency
The agency, either EPA, State, or Local, which possesses the authority to enforce the Clean Air Act and initially issued the permit to the facility.
Resolved
  1. In a filed judicial action (state or federal), a court of competent jurisdiction has entered an order adjudicating the case and the order is final (such an order may include a compliance schedule or other injunctive relief to be preformed after the order becomes final.
  2. For violations addressed administratively or through any non-judicial process, all penalties have been collected, all SEPs are completed, and the source is confirmed to be in compliance with respect to all HPVs included in the administrative order or non-judicial agreement.
  3. A lead agency has proposed revision to its implementation plan (e.g., state implementation plan or tribal implementation plan) regarding the violation.

Common Questions

What types of facilities are regulated by the Clean Air Act?
There are three main categories of stationary sources regulated by the CAA:
  • Major Sources are facilities that can emit pollutants on an annual basis at a rate greater than thresholds established by the Clean Air Act. The thresholds for a major source vary by location depending on attainment status. For example, a facility that can emit greater than 100 tons per year of any pollutant other than greenhouse gases is major under Title III of the CAA; in areas with extreme non-attainment for ozone, a facility that can emit greater than 10 tons per year of volatile organic compounds would be major under Title I of the CAA;
  • Synthetic Minor Sources (SM) are facilities that would be major, but have federally enforceable permit limits to restrict their emissions below major source thresholds; and
  • Minor or Area sources are facilities that physically cannot emit above major source thresholds.
For more on the Title V permit program, please visit EPA's Operating Permits Website.

As of November 2019, there are 13,319 active major sources, and 160,843 active synthetic minor, minor, and other sources (collectively referred to as non-major sources). EPA does not require reporting of most minor sources and related data, with some exceptions (see Summary of Data Entry Requirements). Active sources are those that are operating, seasonal or temporarily operating. Therefore, the non-major universe count in EPA's national database does not include all minor emissions facilities. However, some states do report minor facility data on a voluntary basis and additional facility universe data may be found on state and local agency web sites.
What are expectations related to compliance monitoring within states?
Please see ECHO's Compliance Monitoring Expectations page for more information.

The focus of the CAA Stationary Source Compliance Monitoring Strategy (CMS) is major facilities within the Title V program and synthetic minor emissions facilities that emit or have the potential to emit any pollutant or pollutants at or above 80% of the Title V major emissions threshold (SM-80). The CMS establishes national goals of conducting a full CAA compliance evaluation at Title V major facilities once every two federal fiscal years; at mega-sites, which are the largest Title V major emissions facilities, once every three federal fiscal years; and at SM-80s once every five federal fiscal years. In addition, states and locals are afforded flexibility under the CAA CMS that accommodates alternative frequencies and other types of sources. For example, with EPA approval, a state agency may put some minor emissions facilities on a compliance evaluation schedule effectively adding them to their CMS; or a Title V major emissions facility, based, in part, on its compliance history, may be evaluated every three fiscal years as opposed to every two fiscal years. When state and local agencies take advantage of these flexibilities, their CMS is identified as an alternative CMS.
Where do the data come from? Are the data frozen or does ECHO use production data from the system of record?
The data come from EPA and delegated state, local, and tribal environmental agencies, which report into the national data system, ICIS-Air. The dashboard was updated in 2019 to use production data for all fiscal years. The fiscal year refers to the federal fiscal year, which runs from October 1 to September 30.
How can I find CAA compliance and enforcement information for a specific facility?
Select Details from the dropdown menus that appear in each panel of the CAA Dashboard to find a facility that is included in the filtered set of records. Each facility identifier is hyperlinked to a Detailed Facility Report that includes, among other things, a five-year history of compliance monitoring, informal enforcement actions and formal enforcement actions.
Where can I find emissions and chemical release data for a facility?
On the ECHO Search for CAA Facilities page under the Pollutant section of the query form, users can find facilities that report emissions and chemical releases to the Toxics Release Inventory (TRI) and/or National Emissions Inventory (NEI).
TRI data are updated annually. TRI mapping and query tools are available on the TRI Data and Tools web page.
NEI is updated every three years, but includes data on criteria pollutant emissions as well as hazardous air pollutants. Customizable NEI reports and maps are available at EPA's Air Emission Sources web page. 
How can I find air quality information for an area of interest to me?
EPA maintains inventories of air quality data and facility emissions data. Air quality inventories are developed using monitoring data. Emissions inventories are developed using facility specific data. These datasets are complementary because facility emissions will affect an area's air quality.
The Air Quality System (AQS) contains air monitoring data collected by EPA, state, local and tribal air pollution control agencies from thousands of monitoring stations. To search for data, visit:
  • AIRNow Exit – Real-time air quality maps and daily AQI forecasts exit EPA disclaimer for over 300 US cities.
  • AirTrends – Air quality trends based on a nationwide network of monitoring sites for each criteria pollutant.
  • AirCompare – Interactive website that provides access to air quality information, based on specific health conditions of interest.
  • AirExplorer – Access to data from the AQS Data Mart for air quality analysts. AirData provides an annual summary of air pollution data from both NEI and AQS.
  • Clean Air Status and Trends Network (CASTNET) – Access to measurements of concentrations of air pollutants involved in acidic deposition affecting regional ecosystems and rural ambient ozone levels.
The National Emissions Inventory contains source specific annual emissions data. To search data, visit Air Emission Sources, a database of facility, industrial sector, county and state criteria pollutant emission summaries.
The ECHO Air Facility Search allows a user to search for specific air emission sources or sources in a specific geographic area.
Areas that do not meet a National Ambient Air Quality Standard for a criteria pollutant can be found using EPA's "The Green Book Nonattainment Areas for Criteria Pollutants".
Does EPA require that all violations or permit deviations at every air emission source be reported to them?
No, EPA has identified a subset of violations as federally reportable violations according to the Guidance on Federally-Reportable Violations for Stationary Air Sources. On a voluntary basis, some states do report all violations at all emissions sources.
All deviations from a source's Title V permit are required to be reported to EPA and the permitting agency.
How can I download detailed information about compliance and enforcement activity for CAA stationary sources? 
ECHO provides national datasets on compliance and enforcement for CAA stationary sources on the ECHO Data Downloads webpage. There are separate datasets for the ICIS-Air data system and legacy system, AFS. EPA also maintains the ECHO Exporterwhich provides a download of all regulated facilities in one zip file. There currently over 130 data fields available for each facility, including the frequency of inspections, violations, actions, and penalties. The file includes Clean Air Act, Clean Water Act, Resource Conservation and Recovery Act and other data, such Toxics Release Inventory releases, industry codes, and permit types.

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