Overview

A dashboard is a data interface designed for easy reading. It allows multiple metrics to be monitored and displayed at a summary level, while offering the supporting data at a lower or more granular level. The dashboards found on the Enforcement and Compliance History Online website are specialized to track both facility and agency performance as they relate to compliance with and enforcement of environmental standards. The dashboards on the Enforcement and Compliance History Online website include charts, tables and links to additional information. The data on the dashboards is presented as a national view or by state or territory. Currently local agency data is included in state data. Where a local agency is responsible for Clean Air Act permitting, compliance and enforcement, we plan to create views specific to them in future iterations of the dashboards. The dashboards can be tailored by users based on their preferences. For example, a user can select each report to show major facilities. The dashboards support the U.S. Environmental Protection Agency's transparency efforts.

Data for the current fiscal year and the four previous fiscal years is presented, so that we are always showing a five year trend. The fiscal year refers to the federal fiscal year, which is from October 1 to September 30. Beginning with fiscal year 2011, the dashboards present data that was captured from the Air Facility System (AFS) database and frozen so that it could not be changed. For years that we do not have frozen data, we use current production data. Our goal is to use frozen data, but the current year will always be production data.

Due to the transition between CAA national data management systems, the State Air Dashboard has not been updated since January 31, 2015. EPA is reviewing options for displaying more recent data.

Our hope for the dashboards is that they enable an iterative approach and evolve as users engage and identify their needs; and our compliance and enforcement programs change in response to new sources of data, monitoring technologies, and compliance tracking methods.

For more information about the air program, see "Common Questions" listed below each dashboard.

• Activity Dashboard - The Activity Dashboard reflects counts of activities and the dollar value of penalties assessed. Each report shows multiple years of data to provide context either at the national level or within a state. The data is graphed and shown as an aggregate count with the list of facilities that compose the aggregate available when a user clicks on the graph.
   
• Performance Dashboard - The Performance Dashboard reflects activities as rates either based on the number of facilities within a specified universe (e.g., synthetic minor facilities) or the total number of the activity conducted. It also provides ratios of associated activities where we do not have the data directly linked in the Air Facility System, the national database of record. Each report provides a national average and some provide a national goal, where appropriate, to provide context. Where a ratio is provided, users can click on the graph to view the list of facilities that compose the aggregate.
   
• Data Sources - The Air Facility System is the source of all the data. It is the national database of record for compliance and enforcement activities conducted under the Clean Air Act at stationary sources. It is used by delegated state and local agencies, and EPA.

Activity Dashboard

The dashboards are organized in a structure logical to compliance and enforcement programs. Select the "view more" pulldown at the top of each dashboard section to see a list of additional charts. Access chart drilldowns by clicking on the bars of each chart (drilldowns are currently available for most charts).

Note: To print the entire activity dashboard, you can press the Alt and Print Screen (PrtScn) Exit key on your keyboard while on the dashboard page. This will copy an image of the selected window to your computer's clipboard, which you can then paste into word processor or image software to print. Print individual components of the dashboard by clicking the “Print” link below each chart. 

Facilities Regulated

Delegated agencies and EPA track a number of stationary source facilities in the Air Facility System that are regulated by the Clean Air Act. A subset of this number is referred to as the "federally-reportable number." This number is comprised of major facilities, synthetic minor facilities, minor 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, and any facility that is subject or was subject to a formal enforcement action within the last three years.

The dashboard delineates the number of federally-reportable facilities into three categories: major facilities, synthetic minor facilities, and minor/other facilities. A facility's classification as major, synthetic minor or minor/other reflects the amount of pollution it has the potential to emit. The threshold rate for a facility to be major may vary within a state due to nonattainment of a National Ambient Air Quality Standard in an area. A facility's default classification is used to determine in which category a facility is included. The category of minor/other facilities includes minor facilities subject to 40 C.F.R. Part 61; and minor and other facilities with an unknown classification that are part of a compliance monitoring strategy, or have an unresolved high priority violation, or were issued a formal enforcement action within the last three years. A small subset of minor facilities are considered federally-reportable.

Each number count only includes facilities that were active when the data was frozen. Active refers to an operating status of operating, temporarily closed, or seasonal. The number count for the current year is based on production data, which means the data could change throughout the year.

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. These facilities are identified by EPA using Source Category Codes in the Air Facility System associated with an EPA compliance monitoring strategy.

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Compliance Monitoring

Compliance monitoring are activities conducted to ensure compliance with regulations implemented under the authority of the Clean Air Act. The compliance monitoring activities included here are full compliance evaluations and stack tests. A full compliance evaluation addresses all regulated pollutants at all regulated emission units, and addresses the current compliance status of each emission unit and the ability of the facility to maintain compliance at each emission unit. A stack test is a method for measuring the amount of emissions from a stack and is typically conducted by a facility's owner and/or operator. A stack test may be part of a full compliance evaluation. Only activities at federally-reportable facilities are included.

Technical Information

For Air Facility System users, the state/local agency count is based on the national action types full compliance evaluation On-site (FS) and full compliance evaluation Off-site (FF). The EPA count is based on the national action types Air Toxics full compliance evaluation On-site (AA), Air Toxics full compliance evaluation Off-site (AB), full compliance evaluation On-site (FE), and full compliance evaluation Off-site (FZ). The stack test counts are based on the national action types Owner/Operator Conducted Source Test (3A), State Conducted Source Test (6C), and State Required Source Test Conducted (Reviewed not Observed) (TR), EPA Source Test Conducted (2A), EPA Required Source Test Conducted (Reviewed not Observed) (TE), and EPA Required Source Test Conducted (Observed and Reviewed) (TO).

The corresponding metrics under Round 3 of the State Review Framework are 1C1, 1C2, 1C3, 1C4, 1I1, 1I2, 1I3 and 1I4.

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Violations

Alleged violations are reported to the Air Facility System as a data element called Compliance Status. EPA refers to these alleged violations as "federally-reportable" violations. When a violation is alleged the agency that identified the violation is required to update the compliance status appropriately. Each month, the Air Facility System then captures the worst-case compliance status for each facility and stores it as a historic record. The dashboard uses the historic record of the monthly compliance status to determine if noncompliance was identified or a violation was alleged during the fiscal year specified. The noncompliance or alleged violation may have occurred in a previous fiscal year but continued during the fiscal year specified. Only federally-reportable facilities are included.

Technical Information

For Air Facility System users, the applicable compliance statuses are 1, 5, 6, 7, B, W. For state/local agency count, the dashboard uses the state historic compliance status indicator (SCH1). For the EPA count, the dashboard uses the EPA historic compliance status indicator (ECH1).

The corresponding metrics under Round 3 of the State Review Framework are 1D1 and 1D2.

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High Priority Violations

A high priority violation is an indication that an alleged violation warrants priority under the Clean Air Act stationary source enforcement response policy. An alleged violation is compared to an established set of criteria to determine if it is a High Priority Violation. The enforcement response policy that defines a High Priority Violation generally applies to major facilities, but there are occasions where an alleged violation at a synthetic minor or minor facility is identified as a High Priority Violation. The dashboard provides both a facility count and an activity count. Only activities at federally-reportable facilities are included.

Technical Information

For Air Facility System users, the state/local agency count is based on the national action types Day Zero Shared Enforcement Lead (2B) and State/Local Day Zero (2E). The EPA count is based on the national action type Federal Day Zero (2Z).

The corresponding metrics under Round 3 of the State Review Framework are 1F1 and 1F2.

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Enforcement

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 with a regulation under the Clean Air Act. Under EPA reporting methods, a Notice of Violation is considered an informal enforcement action. A formal enforcement action typically occurs after the issuance of an informal enforcement action, and either requires that a person 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.

Technical Information

For Air Facility System users, the state/local agency informal enforcement action count is based on the national action type State Notice of Violation Issued (7C); the formal enforcement action count is based on the national action types State Court Consent Decree (2D) and State Administrative Order Issued (8C). The EPA informal enforcement action count is based on the national action type EPA Notice of Violation Issued (6A); the formal enforcement action count is based on the national action types 113(D)(4) Innovative Technology Order Approved/Issued by EPA (1B), EPA Court Consent Decree (6B), Section 120 Notice of Noncompliance (7A), EPA 167 Stop Work Order (7E), (7F), EPA 113(D) Administrative Penalty Order Complaint Filed, EPA 113(A) Order (8A), 113(D) Delayed Compliance Order Approved/Issued by EPA (9A), Federal Air Toxics Administrative Order (AG), Federal Air Toxics Administrative Penalty Order (AH).

The corresponding metrics under Round 3 of the State Review Framework are 1E1, 1E2, 1G1, 1G2, 1G3, and 1G4.

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Penalties

Assessed penalties are reported in the Air Facility System as a dollar amount on a formal enforcement action. Only activities at federally-reportable facilities are included.

The total penalty assessed counts the cash penalty reported by a state or local agency on a court consent decree or an administrative order. The total 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 total assessed penalty may be different than the final penalty collected. Also, the total assessed penalty does not include the value associated with a supplemental environmental project (SEP), which may be assigned a penalty value. A SEP is an environmentally beneficial project included in a settlement that furthers EPA's goals of protecting and enhancing public health and the environment.

The average penalty assessed was calculated by dividing the total penalties assessed by the total number of formal enforcement actions with a penalty assessed.

Technical Information

For Air Facility System users, the enforcement actions included are State Court Consent Decree (2D) and State Administrative Order Issued (8C), EPA Court Consent Decree (6B), EPA 167 Stop Work Order (7E), EPA 113(D) Administrative Penalty Order Complaint Filed (7F), and Federal Air Toxics Administrative Penalty Order (AH).

The corresponding metrics under Round 3 of the State Review Framework are 1H1 and 1H2.

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Performance Dashboard

The dashboards are organized in a structure logical to compliance and enforcement programs. Select the "view more" pulldown at the top of each dashboard section to see a list of additional charts. Access chart drilldowns by clicking on the bars of each chart (drilldowns are currently available for most charts).

Note: To print the entire performance dashboard, you can press the Alt and Print Screen (PrtScn) Exit key on your keyboard while on the dashboard page. This will copy an image of the selected window to your computer's clipboard, which you can then paste into word processor or image software to print. Print individual components of the dashboard by clicking the “Print” link below each chart. 

Facilities Regulated

Delegated agencies and EPA maintain a number of stationary source facilities in the Air Facility System that are regulated by the Clean Air Act. A subset of this number is referred to as the "federally-reportable number." This number is comprised of major facilities, synthetic minor facilities, minor facilities that are subject to 40 C.F.R. Part 61, any facility that is part of a Compliance Monitoring Strategy, any facility with an unresolved high priority violation, and any facility that is subject or was subject to a formal enforcement action with the last three years.

The dashboard delineates the number of federally-reportable facilities into three categories: major facilities, synthetic minor facilities, and minor/other facilities. A facility's classification as major, synthetic minor or minor/other reflects the amount of pollution it has the potential to emit. The threshold rate for a facility to be major may vary within a state due to nonattainment of a National Ambient Air Quality Standard in an area. A facility's default classification is used to determine in which category a facility is included. The category of minor/other facilities includes minor facilities subject to 40 C.F.R. Part 61; and minor and facilities with an unknown classification that are part of a compliance monitoring strategy, or have an unresolved high priority violation, or were issued a formal enforcement action within the last three years. A small subset of minor facilities is considered federally-reportable.

Each number count only includes facilities that were active when the data was frozen. Active refers to an operating status of operating, temporarily closed, or seasonal. The number count for the current year is based on production data, which means the data could change throughout the year.

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. These facilities are identified by EPA using Source Category Codes in the Air Facility System associated with an EPA compliance monitoring strategy.

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Compliance Monitoring

The focus of the Clean Air Act Stationary Source Compliance Monitoring Strategy is major facilities within the title V program and synthetic minor facilities that emit or have the potential to emit any pollutant or pollutants at or above 80% of the title V major facility threshold (synthetic minor 80%). The Compliance Monitoring Strategy establishes national goals of conducting a full compliance evaluation at title V major facilities once every two federal fiscal years; at mega-sites, which are the largest title V major facilities, once every three federal fiscal years; and at synthetic minor 80% facilities once every five federal fiscal years. A full compliance evaluation is a comprehensive evaluation of the compliance status of a facility regulated under the Clean Air Act . A full compliance evaluation addresses the current compliance status of each emission unit for all regulated pollutants and the ability of the facility to maintain compliance at each emission unit.

State and local agencies are afforded flexibility under the Compliance Monitoring Strategy to include alternative frequencies and other types of sources. For example, with EPA approval, a state agency may put some minor facilities on a compliance evaluation schedule effectively adding them to their compliance monitoring strategy; or a title V major facility, based, in part, on its compliance history, may be evaluated every three federal fiscal years as opposed to every two federal fiscal years. When state and local agencies take advantage of these flexibilities, their compliance monitoring strategy is identified as an alternative compliance monitoring strategy. The Air Facility System provides the functionality for EPA, states, and local agencies to indicate the frequency of compliance evaluations for each individual facility; thereby, allowing EPA to evaluate the completion of both traditional and alternative compliance monitoring strategies. Only activities at federally-reportable facilities are included.

The graphs that reflect the percent of facilities with a full compliance evaluation compare the number of facilities that were evaluated in the fiscal year to the number of currently active federally-reportable facilities. The graphs that depict major and synthetic minor facilities are filtered by facility classification. Classification is based on its greatest annual emission rate potential. If a facility closed since the fiscal year but was evaluated in that fiscal year, it will be captured in the numerator but not necessarily the denominator potentially resulting in a value greater than 100%. The corresponding metrics under Round 3 of the State Review Framework are 1A1, 1A2, 1A3, 1A4, 1A5, 1A6, 1C1 and 1C3.

State and local agencies implement the Clean Air Act Stationary Source Compliance Monitoring Strategy. The graphs that reflect whether a facility received an evaluation (note: partial compliance evaluations are not included) on schedule show data that is reflective of all state and local agency compliance monitoring strategies including any alternative strategies. Where it appears no data is available, the state or local agency does not include those facility types in their compliance monitoring strategy. For example, the graph for % of Minor Facilities Evaluated on Schedule will most likely appear as if no minor facilities were evaluated on schedule. But, in reality, very few state and local agencies include minor facilities within their compliance monitoring strategy. Where they are included, they are part of an alternative strategy and this graph will reflect those instances. A goal of 100% is established because each state is evaluated against its planned compliance evaluations based on the data in the Air Facility System. That is a full compliance evaluation was expected to be completed or was completed during the fiscal year based on the data in the Air Facility System. The corresponding metrics under Round 3 of the State Review Framework are 5A, 5B, 5C and 5D.

The Air Facility System Information Collection Request establishes a timely reporting standard of 60 days for full compliance evaluations and reviews of title V annual compliance certifications, and 120 days for stack tests. To gauge whether the timeliness standard is met, we count the number of days between the date the compliance monitoring activity is completed (Date Achieved) and the date the activity record is reported to the Air Facility System (Date Created). There is a goal that all compliance monitoring activities be reported timely. The corresponding metrics under Round 3 of the State Review Framework are 3B1 and 3B2.

For Air Facility System users, the measures are based on the national action types Full Compliance Evaluation On-site (FS), Full Compliance Evaluation Off-site (FF), Title V Annual Compliance Certification Review by State (SR), Owner/Operator Conducted Source Test (3A), State Conducted Source Test (6C), and State Required Source Test Conducted (Reviewed not Observed) (TR). The EPA count is based on the national action types On-site (FE), Full Compliance Evaluation Off-site (FZ), Title V Annual Compliance Certification Review by EPA (ER), EPA Source Test Conducted (2A), EPA Required Source Test Conducted (Reviewed not Observed) (TE), and EPA Required Source Test Conducted (Observed and Reviewed) (TO).

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Violations

Alleged violations are reported to the Air Facility System as a data element called Compliance Status. When a violation is alleged the agency that identified the violation is required to update the compliance status appropriately. Each month, the Air Facility System records the worst-case compliance status for each facility and stores it as a historic record. The dashboard uses the historic monthly compliance status to determine if noncompliance was identified or a violation was alleged during the fiscal year specified. The noncompliance or alleged violation may have occurred in a previous fiscal year but continued during the fiscal year specified. Only federally-reportable facilities are included.

The graphs that reflect the percent of facilities, major facilities, and synthetic minor facilities with a violation alleged compare the number of facilities with a historical compliance status for any month in the fiscal year that indicates the facility was "out of compliance" or "on a compliance schedule" to the number of currently active federally-reportable facilities. The graphs that depict major and synthetic minor facilities are filtered by facility classification. Classification is based on its greatest annual emission rate potential. If a facility closed since the fiscal year but was out of compliance or meeting a compliance schedule, it will be captured in the numerator but not necessarily the denominator potentially resulting in a value greater than 100%. The corresponding metrics under Round 3 of the State Review Framework are 1A1, 1A2, 1A3, 1A4, 1A5, 1A6, 1D1 and 1D2.

The graph that shows the % of facilities issued a Notice of Violation with an alleged violation reported compares the number of federally-reportable facilities that were issued a notification of an alleged violation during the fiscal year to the same number that also had a compliance status for any month in the fiscal year that indicates the facility was "out of compliance" or "on a compliance schedule." This metric uses the issuance of a Notice of Violation as an indicator that a violation was alleged; therefore, each facility issued a Notice of Violation should have a compliance status of either "out of compliance" or "on a compliance schedule" at the time the notice of violation was issued. If it does not, the metric will show a value less than 100% meaning alleged violations are not properly being reported by the agency. The corresponding metric under Round 3 of the State Review Framework is 7B1.

The graph that shows the % of facilities with a high priority violation identified with an alleged violation reported compares the number of federally-reportable major facilities with a high priority violation identified during the fiscal year to the same number that also had a compliance status for any month in the fiscal year that indicates the facility was "out of compliance" or "on a compliance schedule." This metric uses the identification of a high priority violation as an indicator that a violation was alleged; therefore, each facility with a high priority violation should have a compliance status of either "out of compliance" or "on a compliance schedule" at the time the high priority violation was identified. If it does not, the metric will show a value less than 100% meaning alleged violations are not properly being reported by the agency. The corresponding metric under Round 3 of the State Review Framework is 7B3.

The ratio of facilities with an alleged violation to facilities evaluated compares the number of federally-reportable facilities with a compliance status of either "out of compliance" or "on a compliance schedule" at any time during the fiscal year to the number of federally-reportable facilities evaluated during the same time period. The corresponding metrics under Round 3 of the State Review Framework are 1C1, 1C3, 1D1, and 1D2.

For Air Facility System users, the applicable compliance statuses are 1, 5, 6, 7, B, W. For state/local agency count, the dashboard uses the state historic compliance status indicator (SCH1). For the EPA count, the dashboard uses the EPA historic compliance status indicator (ECH1). The applicable Notice of Violation national actions types are State Notice of Violation Issued (7C) for state and local agencies, and EPA Notice of Violation Issued (6A) for EPA. The applicable high priority violation Day Zero national action types are Day Zero Shared Enforcement Lead (2B) and State/Local Day Zero (2E) for state and local agencies; and Federal Day Zero (2Z) for EPA. The applicable full compliance evaluation national action types are full compliance evaluation On-site (FS) and full compliance evaluation Off-site (FF) for state and local agencies; and On-site (FE) and full compliance evaluation FCE Off-site (FZ), Air Toxics full compliance evaluation On-site (AA), and Air Toxics full compliance evaluation Off-site (AB) for EPA.

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High Priority Violations

A high priority violation is an indication that an alleged violation warrants priority under the Clean Air Act stationary source enforcement response policy. An alleged violation is compared to an established set of criteria to determine if it is an HPV. The enforcement response policy that defines an HPV generally applies to major facilities, but there are occasions where an alleged violation at a synthetic minor or minor facility is identified as an HPV. Only activities at federally-reportable facilities are included.

The graphs that reflect the percent of major and synthetic minor facilities with a high priority violation compare the number of facilities with a high priority violation identified during the fiscal year to the number of currently active federally-reportable facilities. The graphs are filtered by facility classification to only include major and synthetic minor facilities since high priority violations are very rarely identified at minor facilities. Classification is based on a facility's greatest annual emission rate potential. If a facility closed since the fiscal year but had a high priority violation identified, it will be captured in the numerator but not necessarily the denominator potentially inflating the % value. The corresponding metrics under Round 3 of the State Review Framework are 1A1, 1A2, 1A3, 1A4, 1A5, 1A6, and 1F2.

The Air Facility System Information Collection Request establishes a timely reporting standard of 60 days for high priority violations. The high priority violation identification action record in the Air Facility System is referred to as the high priority violation Day Zero. This graph compares the number of high priority violation Day Zero actions reported timely to the number of high priority violation Day Zero actions achieved within the fiscal year. To gauge whether the action is reported timely, we count the number of days between the date the high priority violation is identified (i.e., the high priority violation Day Zero Date Achieved) and the date the high priority violation is reported to the Air Facility System (i.e., high priority violation Day Zero Date Created). There is a goal that all high priority violations be reported within 60 days of the date the alleged violation is identified as a high priority violation. The corresponding metrics under Round 3 of the State Review Framework are 1F1 and 3A1.

The Ratio of Major Facilities with a high priority violation to Major Facilities with an Alleged Violation compares the number of major facilities with a high priority violation identified during the fiscal year to the number of major facilities with a compliance status of either "out of compliance" or "on a compliance schedule" at any time during the same time period. The corresponding metrics under Round 3 of the State Review Framework are 1F2 (filtered for major facilities based on classification) and 1D1 (filtered for major facilities based on classification).

The Ratio of Major Facilities with a high priority violation to Major Facilities Evaluated compares the number of major facilities with a high priority violation identified during the fiscal year to the number of major facilities with a full compliance evaluation completed during the same time period. The corresponding metrics under Round 3 of the State Review Framework are 1F2 (filtered for major facilities based on classification) and 1C1 (filtered for major facilities based on classification).

The Timely and Appropriate Enforcement Response to High Priority Violations policy (1998) establishes guidelines for addressing alleged violations that are identified as a high priority violation. A timeliness standard of 270 days for addressing a high priority violation, not including violations of a NSR/PSD requirement, is included in the policy. If a lead change occurs an agency is afforded an additional 30 days to address the high priority violation. To address a high priority violation means that an administrative action has been issued or a civil action has been initiated. The graph that shows the % of High Priority Violations Addressed Timely compares the number of high priority violations (not including high priority violations involving NSR/PSD violations) that were addressed during the fiscal year within 270 days (or 300 days if a lead change occurred) to the number of high priority violations addressed during the same time period. The corresponding metric under Round 3 of the State Review Framework is 10A.

For Air Facility System users, the applicable compliance statuses are 1, 5, 6, 7, B, W. For state/local agency count, the dashboard uses the state historic compliance status indicator (SCH1). For the EPA count, the dashboard uses the EPA historic compliance status indicator (ECH1). The applicable Notice of Violation national actions types are State Notice of Violation Issued (7C) for state and local agencies, and EPA Notice of Violation Issued (6A) for EPA. The applicable high priority violation Day Zero national action types are Day Zero Shared Enforcement Lead (2B) and State/Local Day Zero (2E) for state and local agencies; and Federal Day Zero (2Z) for EPA. The applicable full compliance evaluation national action types are full compliance evaluation On-site (FS) and full compliance evaluation Off-site (FF) for state and local agencies; and On-site (FE) and full compliance evaluation Off-site (FZ), Air Toxics full compliance evaluation On-site (AA), and Air Toxics full compliance evaluation Off-site (AB) for EPA.

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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 with a regulation under the Clean Air Act. Under EPA reporting methods, a Notice of Violation is considered an informal enforcement action. A formal enforcement action typically occurs after the issuance of an informal enforcement action, and either requires that a person comply with the requirements or prohibitions established under the Clean Air Act, payment of a penalty, initiates a civil action, or constitutes a civil action. Only activities at federally-reportable facilities are included.

The graphs that reflect the percent of all facilities, major facilities, and synthetic minor facilities subject to enforcement compare the number of facilities that received an informal enforcement action and/or were subject to a formal enforcement action during the fiscal year to the number of currently active federally-reportable facilities within those numbers. The graphs that depict major and synthetic minor facilities are filtered by facility classification. Classification is based on its greatest annual emission rate potential. If a facility closed since the fiscal year but received an informal enforcement action or was subject to a formal enforcement action during the fiscal year, it will be captured in the numerator but not necessarily the denominator potentially inflating the % value. The corresponding metrics under Round 3 of the State Review Framework are 1A1, 1A2, 1A3, 1A4, 1A5, 1A6, 1E2, 1G2, and 1G4.

The Ratio of Facilities Subject to Formal Enforcement to Facilities with an Alleged Violation compares the number of facilities that were subject to a formal enforcement action in the fiscal year to the number of facilities with a compliance status of either "out of compliance" or "on a compliance schedule" at any time during the same time period. Not all alleged violations warrant formal enforcement, and not all facilities with an alleged violation would be subject to a formal enforcement action within the same fiscal year. A formal enforcement action may be issued in a subsequent fiscal year. So, we do not expect a 1:1 ratio. The corresponding metrics under Round 3 of the State Review Framework are 1D1, 1D2, 1G2, and 1G4.

The Ratio of Formal Enforcement Actions to Notices of Alleged Violations compares the number of enforcement actions issued in the fiscal year to the number of informal enforcement actions issued in the same time period. Not all informal enforcement actions result in a formal enforcement action. So we do not expect a 1:1 ratio. The corresponding metrics under Round 3 of the State Review Framework are 1E1 and 1G1.

The Air Facility System Information Collection Request establishes a timely reporting standard of 60 days for all enforcement actions. To gauge whether the timeliness standard is met, we count the number of days between the date the enforcement action was issued (Date Achieved) and the date the enforcement action is reported to the Air Facility System (Date Created). This graph compares the number of enforcement actions reported timely to the number of enforcement actions reported within the fiscal year. There is a goal that all enforcement actions be reported within 60 days of the date the action was issued. The corresponding metrics under Round 3 of the State Review Framework are 3B3.

For the Air Facility System users, the state/local agency informal enforcement action count is based on the national action type State Notice of Violation Issued (7C); the formal enforcement action count is based on the national action types State Court Consent Decree (2D) and State Administrative Order Issued (8C). The EPA informal enforcement action count is based on the national action type EPA Notice of Violation Issued (6A); the formal enforcement action count is based on the national action types 113(D)(4) Innovative Technology Order Approved/Issued by EPA (1B), EPA Court Consent Decree (6B), Section 120 Notice of Noncompliance (7A), EPA 167 Stop Work Order (7E), (7F), EPA 113(D) Administrative Penalty Order Complaint Filed, EPA 113(A) Order (8A), 113(D) Delayed Compliance Order Approved/Issued by EPA (9A), Federal Air Toxics Administrative Order (AG), Federal Air Toxics Administrative Penalty Order (AH). The applicable compliance statuses are 1, 5, 6, 7, B, W. For state/local agency count, the dashboard uses the state historic compliance status indicator (SCH1). For the EPA count, the dashboard uses the EPA historic compliance status indicator (ECH1).

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Penalties

Assessed penalties are reported to the Air Facility System as a dollar amount on a formal enforcement action. Not all formal enforcement actions warrant a penalty; therefore, not all will have a penalty. Only activities at federally-reportable facilities are included.

These graphs compare the number of formal enforcement actions with an assessed penalty to the number of formal enforcement actions issued in the same time period. The same action types are included in both the numerator and denominator.

An assessed penalty does not include the value associated with a supplement environmental project, which may be assigned a monetary value but is not included as an assessed penalty. A supplement environmental project is an environmentally beneficial project included in a settlement that furthers EPA's goal of protecting and enhancing public health and the environment.

For the state/local count, the actions are court consent decrees and administrative orders. For the EPA, the actions are EPA court consent decree, section 167 order, section 113(D) administrative penalty order, and a federal air toxics administrative penalty order. The corresponding metrics under Round 3 of the State Review Framework are 1H2, 1G1 and 1G3.

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Data Sources

The Air Facility System is the source of all the data. The Air Facility System is maintained by EPA. It is the national database of record for compliance and enforcement activities conducted under the Clean Air Act at stationary sources. It is used by delegated state and local agencies and EPA.