Annual NNCR Help

On this page:

• Overview
• Data Sources
• Using the Dashboard
• Chart Types
  • Facilities
  • Compliance Monitoring Activities
  • Violations
  • Enforcement Actions
  • Enforcement Actions with Penalties Assessed
  • Penalties Assessed
• Data Dictionary 

Overview 

The NPDES Noncompliance Annual Report Dashboard provides summary compliance monitoring and enforcement activities within each state, tribe, and territory, as well as summary information on violations identified in the four quarterly NNCRs for that federal fiscal year. The dashboard provides an easy-to-use summary of key activities, like: which facilities are regulated, how many have compliance monitoring activities, how many have violations, and how many enforcement actions have been taken.

Data Sources 

The data source for the Annual NPDES Noncompliance Report Dashboard is EPA's Clean Water Act data program system, Integrated Compliance Information System for National Pollutant Discharge Elimination System (ICIS-NPDES), which contains permit information, limits related to discharges and operations, and discharge monitoring data for facilities managed under the CWA NPDES program. Data are refreshed weekly and subject to change as the data system is updated.

Starting with 2021, data for the federal fiscal years are presented to show multi-year trends. Subsequent annual reports will be provided no later than March 1^st of the following year. The federal fiscal year is from October 1 to September 30.

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 compliance monitoring expectations. 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 dashboard 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 and territories do not have authorization/delegation to enforce any or all regulations implemented under the Clean Water Act. A state may receive authorization for one or more of the NPDES Program components (e.g., NPDES Base Program for municipal and industrial facilities, federal facilities, general permitting, pretreatment program, and biosolids). For example, if the state had not received authorization for federal facilities, EPA would continue to issue permits to federal facilities (e.g., military bases, national parks, federal lands, etc.). For more information about state authorization, please visit the NPDES State Program Information page.

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

Using the Dashboard 

Chart Functionality

The dashboard is organized by the scope and activity type of federal compliance and enforcement programs. To learn more about these programs, visit 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 at the top right of the chart. 

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

View the underlying data for any chart by selecting "Details" from the pulldown menu to display a preview table of the selected data. The table preview is interactive and each data field can be sorted and filtered. We suggest expanding this view to full screen to best view the data table. Also note the data table can load more slowly than the charts.

Filters

The dashboard defaults to show nationwide activity and performance metrics. Filters are available at the top of the dashboard, which allow users to customize the charts. Select any of the filters to see the list of possible values. Note that after selecting a filter, a search bar will appear that allows users to “Search in listbox” for their value 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 you select value(s) from the dropdown list.

Filter selections are saved by selecting away from the filter dropdown or by selecting the green “Confirm selection” button.

Filter selections can be cancelled by selecting the red “Cancel selection” button. Note that the “Cancel selection” button does not clear all filter selections.

An individual filter can be cleared of all selections by clicking the "Clear selections" button 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; you can click directly on a portion of the chart (e.g., the bars on the chart) or within the Details table 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 include:

Fiscal Year

Filter the dashboard data by federal fiscal year, which starts October 1^st and ends September 30^th. Activities that occurred on October 1, 2021, would be included in the 2022 fiscal year.

EPA Region

Filter the dashboard data by EPA Region corresponding to the state the facility is permitted in.

State/Territory

Filter the dashboard data by the state the facility is permitted in and corresponds to the first two characters of the NPDES ID.

Tribe

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 the U.S. Census Bureau’s tribal boundary layer. 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 the permitting agency for the facility. To select all tribe names, use the three dot selection option and choose "Select all" from the dropdown menu.

Major/Non-Major

Filter the dashboard by Major or Non-Major facilities. If the facility does not have Facility Type in the database, the dashboard defaults the facility type to non-major.

Permitting Agency

Filter the dashboard data by permitting agency (EPA, State, or Other). By default, most unpermitted facilities have “Other” listed as the "Permitting Agency," in the data system. However, if the permit record was first entered into the previous data system and migrated, the unpermitted facility may have a permitting agency listed as EPA or state.

The option of choosing "Permitting Agency" is provided because EPA may be responsible for NPDES permitting at some facilities located within a state, territory, or tribe. Selections here will filter results to all facilities permitted by the selected agency, regardless of a different agency performing a compliance monitoring activity at or an enforcement action against that facility.

Permit Type

Filter the dashboard data by Permit Type (General, Individual, Individual Industrial User (IU), Associated Permit Record, or Unpermitted).

Permit Group

Filter the dashboard data by Permit Group (Individual, Non-Individual, or Unpermitted).

SIC

Filter the dashboard data by the Standard Industrial Classification (SIC) code(s) and description(s). Some SICs may reflect historical activities at a facility. SIC codes were established by the Census Bureau to identify processes, products, and services.

NAICS 

Filter the dashboard data by the North American Industry Classification System (NAICS) code(s) and description(s). Some NAICS may reflect historical activities at a facility. The North American Industry Classification System (NAICS) has replaced the Standard Industrial Classification (SIC) system.

For detailed information about NAICS and for a crosswalk between NAICS and SIC codes, please check the U.S. Census Bureau NAICS page.

Lead Agency 

Filter the dashboard data by the regulatory agency leading an activity. For compliance monitoring activities, this refers to the agency that lead the compliance monitoring activity/inspection the facility. For enforcement actions, this refers to the agency that issued the enforcement action.

Top of Page

Chart Types 

The following describes the charts available within each of the six sections of the NPDES Noncompliance Annual Report Dashboard.

Facilities 

Facilities included in the dashboard are those that were active during the year or had an ‘inactive’ permit but had some activity (compliance monitoring, violation, or enforcement) associated during the year. Active permits include those with a first effective date on or before the last day of the fiscal year and have a terminated date after the last day of the federal fiscal year.

Permits that are excluded from the dashboard include those with:

• Permit type of State Issued Master General Permit (Non-NPDES), Individual State Issued Permit (Non-NPDES), or Master General Permit,
• Permit type of Unpermitted and no associated activity during the year,
• Permit status of terminated, pending, denied, not needed, or retired and had no associated activity during the year,
• Permits with NPDES data group G2C (No Exposure Certification (NOE)) or G2D (Low Erosivity Waiver or Other Waiver from Stormwater Controls (LEW)) and had no associated activity during the year, as these facilities have waivers rather than NPDES permits, and  
• Permits with a first effective date that falls after the current date.

Learn more about each chart:

• Facilities by Permit Group
• Facilities by State/Territory
• Facilities by State/Territory (%)
• Facilities by Tribe
• Facilities by Tribe (%)

Facilities by Permit Group 

Facilities by State/Territory 

Facilities by State/Territory (%) 

Facilities by Tribe 

Facilities by Tribe (%) 

Compliance Monitoring Activities 

EPA sets national goals for how frequently facilities should be evaluated by the authorized enforcement agency. EPA develops Compliance Monitoring Strategies (CMS) to ensure the regulated facilities across the country are evaluated for compliance on a regular basis. The Clean Water Act Compliance Monitoring Strategy sets the national frequency goals for all categories of dischargers in the NPDES program. For more information on NPDES frequency goals, please refer to the CWA National Pollutant Discharge Elimination System Compliance Monitoring Strategy. 

Learn more about each chart:

• Facilities with Compliance Monitoring
• Facilities with Compliance Monitoring (%)
• Facilities with Compliance Monitoring by State/Territory
• Facilities with Compliance Monitoring by State/Territory (%)
• Facilities with Compliance Monitoring by Tribe
• Facilities with Compliance Monitoring by Tribe (%)
• Facilities with DMRs
• Facilities with DMRs (%)

Facilities with Compliance Monitoring  

Facilities with Compliance Monitoring (%) 

Facilities with Compliance Monitoring by State/Territory 

Facilities with Compliance Monitoring by State/Territory (%) 

Facilities with Compliance Monitoring by Tribe 

Facilities with Compliance Monitoring by Tribe (%) 

Facilities with DMRs 

Facilities with DMRs (%) 

Violations 

Displays counts of permits with Category I or II violations during the fiscal year, as included in the quarterly NNCRs. This includes effluent violations with a violation end date during the fiscal year and DMR reporting, schedule, and other (SEV) violations with a violation start or end date covering the fiscal year. If a violation has no end date and the violation start date is on or after the first day of the fiscal year, it will be included as a violation during the fiscal year. If a permit had both Category I and II violations during the fiscal year, it will be designated as a Category I to avoid double-counting. 

Learn more about each chart:

• Facilities with Violations
• Facilities with Violations (%)
• Facilities with Violations by State/Territory
• Facilities with Violations by State/Territory (%)
• Facilities with Violations by Tribe
• Facilities with Violations by Tribe (%)

Facilities with Violations 

Facilities with Violations (%) 

Facilities with Violations by State/Territory 

Facilities with Violations by State/Territory (%) 

Facilities with Violations by Tribe 

Facilities with Violations by Tribe (%) 

Enforcement Actions 

This section displays information about EPA and state enforcement activity at regulated facilities. Enforcement actions included are specific to NPDES enforcement actions. The dashboard does not include Clean Water Action Section 311 (oil and hazardous substance liability) or Section 404 (wetlands) enforcement actions. 

Learn more about each chart:

• Facilities with Enforcement
• Facilities with Enforcement (%)
• Facilities with Enforcement by State/Territory
• Facilities with Enforcement by State/Territory (%)
• Facilities with Enforcement by Tribe
• Facilities with Enforcement by Tribe (%)

Facilities with Enforcement Actions 

Facilities with Enforcement Actions (%) 

Facilities with Enforcement Actions by State/Territory 

Facilities with Enforcement Actions by State/Territory (%) 

Facilities with Enforcement Actions by Tribe 

Facilities with Enforcement Actions by Tribe (%) 

Enforcement Actions with Penalties Assessed  

This section displays information about penalties at regulated facilities that had alleged violations.

Civil administrative and judicial actions often end with a settlement, an agreed upon resolution to an enforcement case. Settlements in civil administrative actions are often in the form of Consent Agreements/Final Orders. Settlements in civil judicial actions are generally embodied in Consent Decrees, signed by all parties to the action and filed in the appropriate court.

In the settlements, EPA or the state often requires injunctive relief (actions needed to return to compliance and correct environmental damage) and the payment of penalties. Settlements also may include Supplemental Environmental Projects, environmentally beneficial projects that a defendant/respondent agrees to undertake in settlement of an enforcement action, but which the defendant/respondent is not otherwise legally required to perform.

Learn more about each chart:

• Facilities with Penalties Assessed
• Facilities with Penalties Assessed (%)
• Facilities with Penalties Assessed by State/Territory
• Facilities with Penalties Assessed by State/Territory (%)
• Facilities with Penalties Assessed by Tribe
• Facilities with Penalties Assessed by Tribe (%)

Facilities with Penalties Assessed 

Facilities with Penalties Assessed (%)  

Facilities with Penalties Assessed by State/Territory 

Facilities with Penalties Assessed by State/Territory (%)  

Facilities with Penalties Assessed by Tribe 

Facilities with Penalties Assessed by Tribe (%) 

Penalties Assessed 

Learn more about each chart:

• Penalties Assessed
• Penalties Assessed by State/Territory
• Penalties Assessed by Tribe

Penalties Assessed by State/Territory 

Penalties Assessed by Tribe 

Data Dictionary 

Achieved Date 

Date associated with an informal enforcement action.

Active Permit

Active permits include those with a first effective date on or before the last day of the federal fiscal year and have a terminated date after the last day of the federal fiscal year.

Activity ID 

Unique identifier for the compliance monitoring activity

Associated Permit Records

Records associated with a NPDES permit and used for tracking purposes (e.g., biosolids program data can be reported as an associated permit record distinct from the POTW's permit record).

Compliance Schedule 

Yes/No flag for the final order including a compliance schedule

Category I or II Violation 

40 CFR §123.45 requires every violation to be designated as a Category I or II violation. The regulation includes specific criteria for Category I violations. All violations that do not meet Category I criteria must be designated as Category II.  If a permit had both Category I and II violations during the fiscal year, it will be designated as a Category I to avoid double-counting. 

Compliance Monitoring Description 

Description for the type of compliance monitoring activity 

DMR Limits 

Facilities with DMR limits include facilities with NPDES Data Groups DMR with regular (G3A) or irregular (G3B) submission frequency. 

End Date 

End date of the compliance monitoring activity.

Enforcement ID 

A unique number identifying the enforcement action. For EPA civil cases, these numbers begin with either the two digit EPA Region Code or "HQ" (headquarters initiated cases) followed by the fiscal year. In a majority of cases, this is the year in which the action was initiated. After the fiscal year there is a sequence number. State NPDES civil cases start with the two character post abbreviation, followed by a sequence number.

Enforcement Issued/Entered Date 

Date associated with a formal enforcement action. For a judicial enforcement action this is the date the Clerk of the Court stamps the document after it is signed by the presiding Judge. For an administrative formal enforcement action this is the date the Final Order was issued.

Enforcement Type Description 

The full formal and informal enforcement action definitions are provided in the Detailed Facility Report Data Dictionary. 

Informal CWA enforcement actions consist of the following:

• AERS - Agency Enforcement Review
• AER - Agency Enforcement Review
• CSFOS - Citizen Suit Final Order 
• CSNOTS - Citizen Suit Notice
• CCA - Compliance Agreement
• ENFMTGS - Enforcement Meeting
• IRLS - Information Request Letter
• LOVWL - Letter of Violation/ Warning Letter 
• LRES - Letter to Regulated Entity
• NFAS - No Further Action
• NONC - Notice of Noncompliance Issued
• NOV - Notice of Violation 
• ONVS - Oral Notification of Violation
• ENFMTGO - Other Response - Enforcement Meeting
• PHEMLO - Other Response - Phone Call/ EMAIL
• UNDREVO - Other Response - Under Review
• PHEMLS - Phone Call/ EMAIL
• SCLS - Show Cause Letter
• UNDREVS - Under Review
• UNDREV - Under Review

Formal CWA enforcement actions include:

• 309A - CWA 309A AO For Compliance
• 309G2A - CWA 309G2A AO For Class I Penalties
• 309G2B - CWA 309G2B AO For Class II Penalties
• 309G2E - CWA 309G2E AO For Class I Penalties - Storm Water Construction Expedited Settlement Program
• 309G2E1 - CWA 309G2E AO For Class I Penalties - Storm Water Industrial Expedited Settlement Program
• 309G2E2 - CWA 309G2E AO For Class I Penalties - Wastewater Expedited Settlement Program
• EOGOV - Emergency Order - Governor
• OSUSREV - Order of Suspension or Revocation
• STAOCO - State Administrative Order of Consent
• SCWAAO - State CWA Non Penalty AO
• SCWAAPO    State CWA Penalty AO

EPA Region 

The EPA Region where the facility is located. EPA has 10 regional offices that execute programs within several states and territories.

Facility Name 

Facility or company name, as maintained in the ICIS-NPDES 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 Registry Service (FRS) ID 

The identification number that is assigned to a facility by the Facility Registry Service (FRS) to uniquely identify a site. 

Federal Penalty Assessed 

The total federal penalty assessed is the dollar penalty amount to be paid from all settlements in a concluded enforcement action. EPA settles the vast majority of its administrative and civil judicial enforcement actions, and these settlements (often called a consent order or consent decree) include an agreed upon penalty amount. In most of these settlements, there is not a direct admission by the defendant of liability for violations. In a few cases that involve bankruptcy, the penalty amount may be determined as an "allowed claim" in bankruptcy, and the amount actually recovered may be less than the amount of the allowed claim. The total federal penalty amount includes assessments due to both EPA and to other federal agencies that are party to the settlement, e.g., the Coast Guard.

Final Order 

Final order number associated with the formal enforcement action. 

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 dashboard with stat-specific summaries of similar compliance and enforcement information.

General Permit

EPA and authorized agencies issue general permits to cover multiple facilities in specific categories of discharges. General permits can be a cost-effective option for agencies because of the large number of facilities that can be covered under a single permit. Where a large number of similar facilities require permits, a general permit allows the permitting authority to allocate resources in a more efficient manner and to provide timelier permit coverage than issuing an individual permit to each facility. In addition, using a general permit ensures consistent permit conditions for comparable facilities. Most general permits are classified by EPA and authorized agencies as "non-majors." Note: The general permits and associated activities may not be inclusive of the entire universe. Regulatory authorities are required to report general permit data to EPA in accordance with the NPDES eRule Phase 2 deadline in December 2025. 

Individual IU Permit

Permits for industrial users in a pretreatment program as NPDES indirect dischargers. Although an industrial user is not issued a NPDES permit, a permit record is maintained for tracking purposes.

Individual Permit Group

Inclusive of active permits that are unique to the permittee, have effluent limits, and require the submission of discharge monitoring reports. For the NNCR this include permits with an individual permit type and NPDES data group of DMR with Regular (G3A) or Irregular (G3B) Submission Frequency. Active permits include those with a first effective date on or before the last day of the federal fiscal year and have a terminated date after the last day of the federal fiscal year.

Individual Permit

A National Pollutant Discharge Elimination System (NPDES) individual permit is written to reflect site-specific conditions of a single discharger (or in rare instances to multiple co-permittees) based on information submitted by that discharger in a permit application and is unique to that discharger. Individual permits are issued directly to an individual discharger.

Lead Agency

Describes the regulatory agency undertaking the compliance monitoring activity/inspection, either EPA or State.

• For compliance monitoring activities, this refers to the agency that lead the compliance monitoring activity/inspection the facility.
• For enforcement actions, this refers to the agency that issued the enforcement action.

Major/Non-major 

• Major: EPA defined “major” in guidance and policy developed in the mid-1980s.  For industrial facilities, EPA developed a permit rating worksheet used by permit writers to assist with classification of a facility as a major or non-major. Worksheets were developed to guide this process. See EPA NPDES Permit Rating worksheet (PDF) (44pp, 1870 K). Industrial facilities that scored 80 points or higher using the worksheet were classified as major facilities. Publicly owned treatment works (POTWS) with 1 million gallons of flow per day or greater and POTWs serving a population of 10,000 or greater were also classified as major facilities. Lastly, the Regional Administrator or State Director can also designate facilities as major facilities independent of the worksheet or the above criteria.
• Non-major: Includes municipal and industrial facilities that have not been designated as majors.

NAICS

The North American Industry Classification System (NAICS) code(s) and description(s). Some NAICS may reflect historical activities at a facility. The North American Industry Classification System (NAICS) has replaced the Standard Industrial Classification (SIC) system. For detailed information about NAICS and for a crosswalk between NAICS and SIC codes, please check the U.S. Census Bureau NAICS page.

Non-Individual Permit Group 

Inclusive of all other active NPDES-regulated entities that are not individually permitted (see individual permit group). For the NNCR, this includes permits with the permit type of general, individual IU, or associated permit record, or individual permits without the NPDES data group of DMR with Regular (G3A) or Irregular (G3B) Submission Frequency. Active permits include those with a first effective date on or before the last day of the federal fiscal year and have a terminated date after the last day of the federal fiscal year.

NPDES Closed Date 

The date of closure for the formal enforcement action final order.

NPDES (National Pollutant Discharge Elimination System) ID 

Under the Clean Water Act all facilities that discharge pollutants from any point source into waters of the United States are required to obtain a National Pollutant Discharge Elimination System (NPDES) permit. The NPDES ID is a unique identifier in the program data system, ICIS-NPDES. The permit provides two levels of control: technology-based limits (based on the ability of dischargers in the same industrial category to treat wastewater) and water quality-based limits (if technology-based limits are not sufficient to provide protection of the water body). The NPDES program also requires controls on industrial discharges to sewage treatment plants ("pretreatment program”) and the management and disposal of biosolids from sewage treatment plants ("biosolids program”).

The CWA allows EPA to authorize the NPDES program to state, territorial, and tribal governments, enabling these agencies to perform many of the permitting, administrative, and enforcement aspects of the NPDES program. Most states have authorized NPDES programs. In these states, EPA still retains oversight responsibilities. EPA works closely with the states, territories, localities, and tribes to implement federal environmental programs. States, territories, and tribes authorized to manage federal programs must have enforcement authorities that are at least as stringent as federal law. EPA works with officials in these environmental, health, and agricultural agencies on strategic planning, priority-setting, and measurement of results.

Finally, separate from the NPDES program, EPA uses its authority under Section 311 of the CWA to implement procedures, methods, equipment, and other requirements to prevent discharges of oil from vessels and facilities and to contain such discharges when they occur.

NPDES Program 

Lists the NPDES programs reviewed during the compliance monitoring activity. The NPDES programs include: 

• Base Program
• Biosolids
• CAFO
• Construction Stormwater
• Industrial Stormwater
• Pretreatment
• Sewer Overflows
• Urban Stormwater (MS4)

Off-Site Compliance Monitoring 

Activities included as off-site compliance monitoring are those most likely to take place off-site, but may not have been. The following compliance monitoring activities are included in the off-site category: 

• AU2: Audit (This compliance monitoring type is considered off-site if the POTW does not have an approved pretreatment program.)
• DSA: Desk Audit

On-Site Compliance Monitoring 

Yes/No flag for the compliance monitoring activity taking place on-site. Activities included as on-site compliance monitoring are those most likely to take place on-site, but may not have been. The following compliance monitoring activities are included in the on-site category: 

• AFD: Animal Feeding Operation (AFO) Defined
• AFN: AFO Designation
• AU1: Audit
• AU2: Audit (This compliance monitoring type is considered on-site unless the POTW does not have an approved pretreatment program.)
• CBI: Biomonitoring
• CEI: Evaluation
• CE2: Evaluation
• DIA: Diagnostic
• FOC: Focused
• FLP: Follow-Up
• OPM: Operation and Maintenance
• OVS: Oversight
• PIU: Non-Sampling
• PSI: Sampling
• ROS: Reconnaissance without Sampling
• RWS: Reconnaissance with Sampling
• SA1: Sampling
• TX1: Toxics
• TX2: Toxics

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. In the settlements, EPA or the state often require injunctive relief (actions needed to return to compliance and correct environmental damage) and the payment of penalties. Settlements also may include Supplemental Environmental Projects (SEPs), environmentally beneficial projects that a defendant/respondent agrees to undertake in settlement of an enforcement action, but which the defendant/respondent is not otherwise legally required to perform.

Permitting Agency 

The agency (EPA, State, or Other), which initially issued a NPDES permit. “State” includes states, tribes, and territories authorized to administer the NPDES program. By default, most unpermitted facilities have “Other” listed as the "Permitting Agency," in the data system. However, if the permit record was first entered into the previous data system and migrated, the unpermitted facility may have a permitting agency listed as EPA or state.

Permit Group 

One of three universes established in 40 CFR 123.45 to categorize or group different types of permits (individual, non-individual, and unpermitted) on the annual NNCR.

Permit Type 

• Associated Permit Record: A NPDES ID that records activities associated to a NPDES permit and used for tracking purposes (e.g., biosolids program data can be reported as an associated permit record distinct from the POTW's permit record).  
• General Permit: A NPDES permit used to cover multiple facilities in specific categories of discharges. General permits can be a cost-effective option for agencies because of the large number of facilities that can be covered under a single permit. Where many similar facilities require permits, a general permit allows the permitting authority to allocate resources in a more efficient manner and to provide timelier permit coverage than issuing an individual permit to each facility. In addition, using a general permit ensures consistent permit conditions for comparable facilities. Most general permits are classified by EPA and authorized agencies as "non-majors."
• Individual Permit: A NPDES permit written to reflect site-specific conditions of a single discharger (or in rare instances to multiple co-permittees) based on information submitted by that discharger in a permit application and is unique to that discharger. Individual permits are issued directly to an individual discharger. 
• Individual IU: A NPDES ID that records activities for industrial users in a pretreatment program as a NPDES indirect discharger. Although an industrial user is not issued a NPDES permit, a permit record is maintained for tracking purposes.
• Unpermitted: A NPDES ID use to track facilities without an active permit but have records associated (inspections, violations, or enforcement actions). 

SIC 

The Standard Industrial Classification (SIC) code(s) and description(s). Some SICs may reflect historical activities at a facility. SIC codes were established by the Census Bureau to identify processes, products, and services.

Start Date 

Start date of the compliance monitoring activity. 

State/Territory 

The state associated with the first two characters of the NPDES ID and does not always represent that the facility was permitted by a state agency. 

State Region Code 

Indicates the unique code identify particular regions (e.g., counties) within a state.

State Penalty Assessed 

The total dollar penalty amount from all settlements to be paid to a state enforcement authority that is party to a concluded enforcement action.

Total Penalty Assessed 

Sum of the final order's federal penalty assessed and the state penalty assessed. 

Tribe 

The association of a facility to a tribe is based on comparing the best available spatial location of the facility to the U.S. Census Bureau’s tribal boundary layer. 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 the permitting agency for the facility.

Violation 

Yes/No flag for a violation associated with the compliance monitoring activity. 

Unpermitted Permit Group 

Inclusive of Clean Water Act point sources that had unauthorized discharge(s) of pollutants to waters of the U.S. For the NNCR, this includes permit with the permit type of unpermitted and had a violation, informal enforcement action, or new or ongoing formal enforcement action during the federal fiscal year. New or ongoing formal enforcement actions includes those with a Final Order Issue/Entered Date during the federal fiscal year, Final Order NPDES Closed Date is blank by the end of the federal fiscal year, or Final Order NPDES Closed Date during the federal fiscal year.