CAA Violation Report Help
The Clean Air Act (CAA) Violation Report presents compliance data for the CAA stationary source program, retrieved from the EPA’s Integrated Compliance Information System for Air (ICIS-Air). The CAA consists of several key air programs that are intended to regulate sources of pollutants by defining national air quality standards, establishing permitting and plan requirements for regulated facilities, and ensuring compliance through enforcement actions when violations occur. The Violation Report summarizes the activities related to a violation, in order to understand how CAA violations relate to compliance monitoring (i.e., what was the violation discovery activity?) and enforcement (i.e., what enforcement actions addressed the violation?).
General Overview
The Violation Report is organized into sections detailing the pollutants involved, related compliance activities, enforcement actions, and the specific air program under which the violations fall:
- Facility Summary
- CAA Violation Information
- Summary Information
- Linked Compliance Monitoring Activities
- Programs related to the Violation
- Pollutants
- Linked Enforcement Actions
Accessing the Violation Report
From the Detailed Facility Report:
Within the CAA Compliance Pipeline table, select the hyperlinked Violation Type on any row to view this report.
Data Organization
Data elements that are presented in the CAA Violation Report are described below.
Facility Summary
Facility name and address are displayed at the top of the facility summary section.
Facility Name
Company or permit holder name, as maintained in ICIS-Air.
Facility Address
Street address, city, state, and ZIP code where facility is located, as maintained in ICIS-Air.
ICIS-Air Source ID
An alphanumeric program system identifier which uniquely identifies each air stationary source. Most ICIS-Air IDs are composed of the Census state code, the FIPS county code, Local Control District number, and a sequence number, however the format varies by state.
FRS ID
The Facility Registry Service (FRS) ID of the air facility. The FRS uniquely identifies a facility by assigning an identification number (FRS ID) and uses it to link together all regulatory program database records (such as permit IDs and facility IDs that facilities use in reporting to the EPA).
Industry
The North American Industry Classification System (NAICS) code associated with the facility and description to classify industrial establishments. The system was developed to give special attention to developing production-oriented classification for (a) new and emerging industries, (b) service industries in general, and (c) industries engaged in the production of advanced technologies. NAICS industries are identified by a 6-digit code. The first two digits represent the industry sector, in which there exist 20 broad sectors. The third digit represents industry subsector, the fourth digit represented industry group, the fifth digit represents industry, and the sixth digit is U.S., Canadian, or Mexican National specific. NAICS Lookup
Clean Air Act Violation Information
Key details about the violation are presented in this section.
Summary Information
Violation Type
Indicates whether a violation is a High Priority Violation (HPV) or a Federally Reportable Violation (FRV). HPVs are violations of the CAA that meet the criteria in EPA's Enforcement Response to High Priority Violations Policy. The Guidance on Federally-Reportable Violations for Stationary Air Sources outlines the types of violations that state, local, and tribal agencies are to report to EPA.
Lead Agency
The lead agency responsible for issuing the notice of violation.
Violation Determined Date
The date on which the violation was determined.
Violation End Date
The date on which the violation was resolved. For FRVs, most agencies do not report an end date, in which case this column is populated with “N/A.” For HPVs and for agencies that choose to display an FRV date range in ECHO, this column displays the Resolved Date entered by the agency or “Unresolved” if no such date has been entered.
Resolving Action Type
The specific action taken by the EPA or a delegated state, local, or tribal agency to address the violation and ultimately bring the facility back into compliance. Examples include specific settlements, administrative actions and/or judicial actions.
Linked Compliance Monitoring
This section lists the compliance monitoring activities linked to the CAA violation.
Compliance Monitoring Type
A description of the type of compliance monitoring activity undertaken, or of the reported discovery action. "Date Out of Range" appears here if a violation was discovered by an activity that occurred prior to the past 10 years.
Official activities included are those counted under the CAA stationary source program or included as on-site non-stationary source compliance monitoring activities in EPA's Annual Results. The checked inspection types below indicate inspections that are included in official counts under the CAA stationary source program. A Full Compliance Evaluation (FCE) includes comprehensive paperwork review and often, but not always, an on-site inspection. Compliance evaluations that do not qualify as FCEs are characterized as "partial." Partial means that some compliance monitoring was done, but all requirements were not met to receive credit for a Full Compliance Evaluation.
More information about CAA Compliance Monitoring is provided in the Detailed Facility Report Data Dictionary.
Agency
Identifies the lead agency (e.g., EPA, State) conducting the compliance monitoring activity or that reported discovery action.
Date
The calendar date of the compliance monitoring activity.
Programs Related to Violation
This section lists the CAA program applicable to the violation.
Program Codes and Program Description
Program codes are used to identify 1) the regulatory air program(s) that applies to a particular plant or point, and 2) the regulatory air program(s) authorizing and associated with an action taken by a local, state or federal regulatory agency.
The full list of CAA Program Codes and Descriptions is provided in the Detailed Facility Report Data Dictionary.
Pollutants
This section presents details about the air pollutant emission(s) involved in the violation.
Pollutant Name
Indicates the name(s) of the air pollutant(s) relevant to the violation.
Pollutant Code
A numeric code in ICIS-Air that identifies a pollutant tracked at the air program level.
Chemical Abstract Number
The Chemical Abstract Service (CAS) number of the pollutant, if available. The CAS number is a unique and internationally recognized standard to identify chemical substances.
Linked Enforcement Actions
This section contains information about the enforcement actions linked to the violation.
Type of Action
The type of enforcement action used to address the violation. Action types include:
- Warning Letter
- Letter to Regulated Entity
- Show Cause Letter
- Letter of Violation/Warning Letter
- Notice of Violation
- Notice of Noncompliance Issued
- Administrative Order
- Civil Judicial Action
Agency
The agency that conducted the enforcement action.
Date
The calendar date the enforcement action was taken.
Penalty Assessed
The penalty assessed by a state/local agency of EPA and reported on an enforcement action.