Corporate Compliance Screener Help

The Corporate Compliance Screener simplifies the initial screening of multiple EPA-regulated facilities (corporation or other).

The Corporate Compliance Screener workflow includes three steps:

  1. Enter Search Criteria
  2. Review Results
  3. Generate and Review Report

For additional information, see Frequent Questions.


Navigating the Corporate Compliance Screener

The Corporate Compliance Screener search criteria page allows users to conduct a query using specific search criteria. In addition, links to access related functionality are provided for the following:

  • Clear All – Select "Clear All" link to reset the search.
  • Help – Provides access to this Help page.

1. Enter Search Criteria

Search Options

Active Facilities Only
Specify whether to include active facilities only. The default selection “Any” does not restrict search results.
Settlement Time Period
Filter settlement records included in the EPA and State Formal Enforcement Settlements report table by a settlement entered date range. "Any" is selected by default and does not restrict settlements to a time period.

Facility/Company Identifiers

A Facility/Company Name or Facility ID Number must be specified to conduct a search.

Facility/Company Name(s)
Search for a facility/company by name or partial name (at least 3 characters) and include all possible variations of a facility's name. For example, try an abbreviated facility name and the long-form name (e.g., International Metals Company and INMETCO). The search is not case sensitive. Words separated by a space are treated as one search term and separate multiple search terms with a semi-colon (“;”). The search returns facilities that match any of the search terms. A match may be found within any of the current facility names associated with the Facility Registry Service (FRS) ID, but only the primary facility name is displayed in the search results table.
Note: The Corporate Compliance Screener does not provide corporate family linkage. It allows the user to provide multiple corporate, subsidiary, and trade style names with other criteria to select facilities and records likely representing the company of interest. The name search feature looks for each word provided and may over-select records that “sound like” those of interest, e.g., a facility search for “DuPont” will return “Amazon.com Dedc LLC - Dupont” in Dupont, WA.
Find Facility Name(s) That:
  • Contains Each Term (DEFAULT) - Returns facilities where all words in the facility name search terms are present in the facility name. The order of the words in a search term does not affect the search results.
    For example, searching for “town bridge” returns results that contain both “town” and “bridge” within the facility name, e.g., “Bridgeport Township” or “Middletown Bridge”
  • Matches Exactly - Returns facilities where the facility name search terms exactly match the facility name.
    For example, searching for “The First Company” only returns results with a facility name exactly matching all terms and in this order.
  • Matches Exact Phrase - Returns facilities where all search terms are found anywhere within the facility name. The order of the words in a search term affects the search results.
    For example, searching for “town bridge” returns different results than searching for “bridge town”
  • Begins With - Returns facilities where the facility name search terms are found at the beginning of the facility name.
    For example, searching for “bridge” returns results that begin with “bridge”, such as “Bridgeport” and “Bridgestone,” but excludes results like “Middlebridge”.
And Does Not Contain
Allows user to enter a term to exclude from the facility/company name query.
Facility ID Number(s)
Search for facilities or permits by their FRS or permit identification numbers. This search allows data entry of up to 2,000 IDs pasted from spreadsheet column, comma-separated, or return-separated.
The search allows entry of partial ID numbers with at least two characters. Entry of partial IDs will return facilities with ID numbers in any program that begin with the search term.
FRS Corporate
The ability to query based on the standardized FRS corporate name will be available in the future.

Facility/Company Locations

EPA Region
Search for information in a particular EPA Region. Choose a region from the dropdown menu. Hold down the CTRL key to select multiple regions. Users cannot select both EPA Region and State fields.
State
Choose a state from the dropdown menu. Hold down the CTRL key to select multiple states. Users cannot select both EPA Region and State fields.

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2. Review Results

The Corporate Compliance Screener returns a maximum of 75,000 records. Results are presented in tabular format in the data table. Users can further manipulate the data presented using the Customize Columns or the Download Data buttons. Select the Customize Columns button to adjust the columns displayed. Data fields available for selection are described below.

Users also can exclude specific records prior to generating a report. In the left-most column under Review Results, Exclude From Report, check the corresponding box to manually exclude a facility from the Step 3 report.

Facility/Case Name [facility_case_name]
Company or permit holder name, as maintained in the Facility Registry Service (FRS). The facility name may differ across EPA databases due to differences in reported information, change in ownership, use of parent or subsidiary name, etc. Note that a match may be found within any of the current facility names associated with the FRS ID; however, only the primary facility name is displayed in the search results table. Select the hyperlinked name to view the Detailed Facility Report.
For rows representing cases, the Case Name is presented, as maintained in the Integrated Compliance Information System (ICIS).
Facility/Case Identifier [facility_case_identifier]
FRS uniquely identifies a facility by assigning an identification number (FRS ID) and uses the FRS ID to link together all regulatory program database records, such as permit IDs and facility IDs that facilities use in reporting to EPA.
Enforcement Case information included in this column is associated with a unique number identifying the enforcement action. For EPA civil cases, these numbers begin with either the two digit EPA Region Code, "HQ" (headquarters initiated cases), and "EF" or "WF" (Eastern or Western Field Office CAA Mobile Source Program cases) followed by the fiscal year in which the action was initiated and a sequence number. State NPDES civil cases start with the two-character post abbreviation followed by a sequence number.
Case Defendants [currently unavailable in download]
The name of the defendant, Potentially Responsible Party (PRP for Superfund cases), or respondents associated with the enforcement action.
Facility Street Address, City, State [address, city, state]
Street address, city, and state where facility is located, as maintained by each data system. The address displayed in the search results table reflects information in the FRS database.
Facility EPA Region [epa_region]
The EPA region where the facility is located. EPA has 10 regional offices that execute programs within several states and territories.
Alternate Facility Names [icis_air_names, camd_names, eis_names, cwa_names, rcra_names, sdwa_names, tri_names, tsca_names]
Company or permit holder name, as maintained in the specific program’s database. The facility name may differ across EPA databases due to differences in reported information, change in ownership, use of parent or subsidiary name, etc. Facility names are included for the following list of federal regulations within the database:
  • Clean Air Act (CAA)
  • Clean Air Markets Division (CAMD)
  • Emission Inventory System (EIS)
  • Clean Water Act (CWA)
  • Resources Conservation and Recovery Act (RCRA)
  • Safe Drinking Water Act (SDWA)
  • Toxics Release Inventory (TRI)
  • Toxic Substances Control Act (TSCA)
Facility Permit IDs (CAA, CWA, RCRA, SDWA) [air_ids, npdes_ids, rcra_ids, sdwa_ids]
  • CAA ID(s) - A unique ID assigned for each record/permit/site/facility within ICIS-Air. These identifiers are for used tracking purposes in the individual data systems.
  • CWA ID(s) - A unique ID assigned for each record/permit/site/facility within ICIS-NPDES. These identifiers are for used tracking purposes in the individual data systems.
  • RCRA ID(s) - A unique ID assigned for each record/permit/site/facility within RCRAInfo. These identifiers are for used tracking purposes in the individual data systems.
  • SDWA ID(s) - A unique ID assigned for each record/permit/site/facility within SDWIS. These identifiers are for used tracking purposes in the individual data systems.
Statute in HPV/SNC/SV [media_primary_law]
Displays the statute(s) in which the facility is currently considered a High Priority Violator (HPV), in Significant Noncompliance (SNC), or a Serious Violator (SV).
Note: This field considers the most current data available, including effluent exceedances reported after the last Quarterly Noncompliance Report (QNCR) was issued; post QNCR data are considered draft and have not been fully quality assured. If the official data show the facility is in violation and the post QNCR data show the facility is not in violation or unknown, the status is based on the official QNCR data. Otherwise, the status is based on post QNCR.
Violation Status [facility_curr_snc]
An indication of the facility's current known overall compliance status. Status codes include:
  • Serious violation (SNC, HPV, or SV, depending on statute)
  • Noncompliance (in violation of an environmental regulation)
  • No Violation (no violations recorded in the national systems of record)
  • No Information
Note: This field considers the most current data available, including effluent exceedances reported after the last QNCR was issued; post QNCR data are considered draft and have not been fully quality assured. If the official data show the facility is in violation and the post QNCR data show the facility is not in violation or unknown, the status is based on the official QNCR data. Otherwise, the status is based on post QNCR.
Case Status [case_curr_status]
The current status of the enforcement action. Status is based on the most recent milestone activity reported in the case record. The "as of" status date reflects the date of the most recent milestone activity.
Qtrs with HPV/SNC/SV [qtrs_in_snc]
Count of the number of quarters, out of the last twelve quarters, in which the permit is considered in Significant Noncompliance (SNC), as described above under Current Compliance Status. A quarter is any of the following 3-month calendar periods: January-March, April-June, July-September, or October-December. Further violation and detailed compliance information can be found on ECHO's Frequently Asked Questions page.
Active Facility [fac_active_flag]
Displays "Y" if the facility has an active designation.

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3. Generate and Review Report

Clicking the Generate Report button opens the Corporate Compliance Screener Report, which summarizes records associated with the current search results. 

Navigating the Corporate Compliance Screener Report

The Corporate Compliance Screener Report is an interactive report allowing users to quickly find data of interest. Links to access related functionality are provided for the following:

  • Download Report – Allows users to download the Corporate Compliance Screener Report as a spreadsheet file.
  • Help – Provides access to this Help page.

Data are organized into four tables and include more detailed information about the facilities and enforcement cases selected from the Corporate Compliance Screener review results table.

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Corporate Compliance Screener Report

Search criteria selected are displayed at the top of the report.

Facility Search Results Table

This table presents overall violation statistics for all facilities returned in the Corporate Compliance Screener review results table.

Active Facilities
Number of facilities returned with an active designation.
Facilities with Violation(s)
Number of facilities returned that had any violations in the most recent quarter. See Current Violation Status for more information.
Facilities with Significant Violation(s)
Number of facilities returned that had any significant violations in the most recent quarter. See Current Violation Status for more information.
Facilities with HPV/SNC/SV By Statute
Number of facilities returned that are currently in significant violation, by the statute in violation, including CAA, CWA, RCRA, and SDWA.

Facility Violation Information Table

This table presents facility-level information for facilities returned in the Corporate Compliance Screener review results table that are currently in significant violation.

FRS ID
Select the hyperlinked FRS ID to view the facility’s Detailed Facility Report. See Facility/Case Identifier for more information.
Program Facility Name
See Facility/Case Name for more information.
Address (Street Address, City, and State)
See Facility Address for more information.
Statute
See Statute in HPV/SNC/SV for more information.
Program ID
See Facility Program IDs for more information.
HPV/SNC/SV Status
Displays “Yes” if the facility is currently in significant violation.
Qtrs in HPV/SNC/SV
See Quarters with HPV/SNC/SV for more information.
Violation Status
Displays the statute-specific violation code corresponding to the permit in current violation. See the DFR Data Dictionary’s Current SNC/HPV description for definitions of violation codes by statute.

EPA and State Formal Enforcement Settlements Table

This table presents case-level information for facilities or cases returned in the Corporate Compliance Screener review results table that have had any penlaty amount and that match the selected Settlement Time Period range.

FRS ID
Select the hyperlinked FRS ID to view the facility’s Detailed Facility Report. See Facility/Case Identifier for more information.
Facility Name
See Facility/Case Name for more information.
Law/Section
Identifies the primary statute/law and section violated and cited in the enforcement action. Many of EPA's judicial actions are based on incidents that are violations of more than one statute. One law entered into the ICIS record is designated the primary law, which is considered the law that is most seriously violated and/or for which the most significant relief is sought. For additional information, view a list of possible Statute Codes (Law), Law Section Codes, and Law Section description combinations (PDF) (11 pp, 365 K, About PDF).
Program ID/Case Number
See Facility Permit IDs for more information.
Type of Action
Identifies the type of action based on the enforcement authority used. The current options are Administrative - Formal or Judicial.
Lead Agency
The name of the lead agency responsible for the case (EPA or state).
Settlement Date
For federal judicial actions, this is the date the settlement document is signed by the presiding judge and entered by the Clerk of the Court. At that point, the settlement becomes a binding court order. For administrative actions, this is the date that the final order is signed and issued by the enforcement authority.
Penalty Assessed
For civil judicial enforcement actions, this amount is the federal penalty assessed against the defendant(s) as specified in the final entered Consent Decree or Court Order. For administrative enforcement actions, it is the penalty assessed in the Consent/Final Order. It does not include the amount of the penalty mitigated due to a SEP or the amount shared with the state or local entities. Interest payments associated with a penalty paid over time are not included in this amount. EPA settles the vast majority of its administrative and civil judicial enforcement actions, and these settlements include an agreed upon penalty amount. In most of these settlements, there is not a direct admission by the defendant of liability for violations.
Complying Action Value
For civil enforcement actions, the value of the costs incurred by the defendant/respondent to attain compliance with the law and restore the environment. This value does not include penalties, cost recovery, or costs associated with SEPs.
SEP Value
For civil enforcement actions, as part of a settlement, a defendant may voluntarily agree to undertake an environmentally beneficial project (Supplement Environmental Project (SEP)) related to the violation in exchange for mitigation of the penalty to be paid. It may not include activities a defendant must take to return to compliance with the law. SEP value represents the total value of all SEPs for all settlements at the enforcement case.

EPA "Open" Civil Enforcement Cases Table

This table presents case-level information for enforcement cases returned in the Corporate Compliance Screener Search Results table that are led by EPA and have a current case status that is considered "open" (Complaint Filed, Stayed While Under Appeal).

Case Number
Select the hyperlinked Case Number to view the Enforcement Case Report. See Facility/Case Identifier for more information.
Case Name
See Facility/Case Name for more information.
Case Type
See Type of Action for more information.
Case Status
See Current Case Status for more information.
Status Date
The date of the most recent milestone activity reported in the case record.
Primary Law/Section
See Law/Section for more information.
Number of Defendants/PRPs
The number of the defendants, Potentially Responsible Parties (PRPs for Superfund cases), or respondents associated with the enforcement action.
Additional Information
This field is left blank. After downloading the report, users can add custom notes into this field using spreadsheet software such as Microsoft Excel.

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