Quarterly NNCR Help

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The quarterly National Pollution Discharge Elimination System (NPDES) Noncompliance Report (NNCR) displays a facility-level list of violations with other relevant environmental conditions. The requirements for the report stem from 40 CFR §123.45, and require U.S. EPA to produce online quarterly reports with minimum content specified within the regulation.

The NNCR Report is organized into three sections:

Facility Information 

Facility Information included in this section is associated with a particular Federal Registry Service (FRS) ID and NPDES ID(s). FRS links together all regulatory program database records, such as permit IDs and facility IDs that facilities use in reporting to EPA.

FRS Facility Name

Company or facility name, as maintained in 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.

FRS Facility Address

Street address, city, state, and zip code where facility is located, as maintained in FRS. Certain data systems also maintain mailing address information, which is not used in this report. The street address may differ across EPA databases due to differences in reported information (e.g., use of mailing address), change in ownership, use of parent or subsidiary address, etc.

FRS ID

The identification number that is assigned to a facility by FRS to uniquely identify a facility site.

EPA Region

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

Permit Details

NPDES ID

National Pollutant Discharge Elimination System (NPDES) permit ID and uniquely identified in the program data system, ICIS-NPDES. 

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 Location

The street address, city, county, state, and ZIP code where facility is located, as maintained in the ICIS-NPDES database. The street address may differ across EPA databases due to differences in reported information (e.g., use of mailing address), change in ownership, use of parent or subsidiary address, etc.

Facility Type

The facility ownership classification in ICIS-NPDES (a system-generated field, derived from owner/operator type and permit component). A facility may be classified as a publicly owned treatment work (POTW) or non-POTW based on the following categorization: The NPDES ID will have its Facility Type set to “POTW” if the permit has a “POTW” permit component and the facility has a “Facility Type of Ownership” that is one of the following (only one value is allowed per facility):

  • County Government (CNG)
  • Municipality (CTG)
  • Municipal or Water District (MWD)
  • Mixed Ownership (e.g., Public/Private) (MXO)
  • School District (SDT)
  • State Government (STF)
  • Tribal Government (TRB)

Non-POTW: The NPDES ID will have its Facility Type set to “Non-POTW” for all other cases.

Permit Type

The NPDES permit type. Permit types include: 

  • Associated Permit Record - A system record associated to a NPDES permit.
  • General Permit Covered Facility - A NPDES facility that is covered under a Master General Permit, which are permits that cover multiple facilities that have similar discharges and are located in a specific geographic area. A general permit applies the same or similar conditions to all dischargers covered under the general permit.
  • Individual IU Permit (Non-NPDES) - Industrial user in a pretreatment program (NPDES indirect discharger). Although an industrial user is not issued an NPDES Permit, a permit record is maintained for tracking purposes. 
  • Individual State Issued Permit (Non-NPDES) - An individual permit unique to each facility, but not in the NPDES program.
  • NPDES Individual Permit - An individual NPDES permit is unique to each facility. The limitations and other conditions in an individual permit are based on the facility's operations, type and amount of discharge, and receiving stream, among other factors.
  • State Issued Master General Permit (Non-NPDES) - A state issued permit that covers multiple facilities that have similar discharges, but is not in the NPDES program. 
  • Unpermitted Facility - A facility that does not have an active NPDES permit but has a system record to associate NPDES activities (e.g., compliance monitoring or enforcement actions).

Components

The permit component(s) associated with the NPDES Permit Program Area. Permit components include:

  • Biosolids - Biosolids (formerly referred to as "sewage sludge") are the nutrient-rich organic materials resulting from the treatment of sewage sludge (the name for the solid, semisolid or liquid untreated residue generated during the treatment of domestic sewage in a treatment facility). When treated and processed, sewage sludge becomes biosolids which can be safely recycled and applied as fertilizer to sustainably improve and maintain productive soils and stimulate plant growth. Biosolids are regulated under 40 CFR Part 503. 40 CFR Part 503 establishes standards, which consist of general requirements, pollutant limits, management practices, and operational standards, for the final use or disposal of biosolids.
  • Combined Sewer Overflow (CSO) - A combined sewer overflow (CSO) refers to a discharge of untreated wastewater from a combined sewer system at a point prior to the headworks of the publicly-owned treatment works. (59 FR 18688) CSOs generally occur in response to wet weather events. Most combined sewer systems are designed to discharge excess flow directly to surface water bodies, such as streams, rivers, estuaries, and coastal waters.
  • Concentrated Animal Feeding Operation (CAFO) - An NPDES permit regulating discharge from Concentrated Animal Feed Operations (CAFOs). CAFOs are animal feeding operations with more than 1,000 animals. CAFOs with a point source discharge are to receive permits.
  • Construction Stormwater - Permit requirements associated with construction activities, as defined at 40 CFR 122.26.
  • Industrial Stormwater - Permit requirements associated with non-construction activities at industrial facilities, as defined at 40 CFR 122.26(b)(14)(i) through (xi).
  • Pretreatment - An NPDES permit that prescribes for the reduction of the amount of pollutants, the elimination of pollutants, or the alteration of the nature of pollutant properties in wastewater prior to or in lieu of discharging or otherwise introducing such pollutants into a publicly owned treatment works [40 CFR 403.3(q)].
  • Publicly Owned Treatment Works (POTW) - The term Publicly Owned Treatment Works or POTW means a treatment works as defined by section 212 of the Clean Water Act, which is owned by a State or municipality (as defined by section 502(4) of the Clean Water Act). This definition includes any devices and systems used in the storage, treatment, recycling and reclamation of municipal sewage or industrial wastes of a liquid nature. It also includes sewers, pipes and other conveyances only if they convey wastewater to a POTW Treatment Plant. The term also means the municipality as defined in section 502(4) of the Clean Water Act, which has jurisdiction over the Indirect Discharges to and the discharges from such a treatment works.
  • Urban Stormwater - Medium/Large Municipal Separate Storm Sewer System (Medium/Large MS4) - Additional requirements for medium/large municipal separate storm sewer systems (MS4s), as defined at 40 CFR 122.26.
  • Urban Stormwater - Small Municipal Separate Storm Sewer System (Small MS4) - Additional requirements for small municipal separate storm sewer systems (MS4s), as defined as 40 CFR 122.30-122.37.

Status

The NPDES permit status. Permit statuses include: 

  • Administratively Continued - A permit that is at the permit's expiration date. All monitoring data are still collected and used against the permit’s terms.
  • Effective - A permit that is in its lifetime (effective date <= current date < expiration date).
  • Expired - A permit that has reached 90 days after the expiration date and has no new Application Received Date or Complete Application Received Date entered.
  • Not Needed - A facility is tracked in the EPA program database, ICIS-NPDES, but is not required to have a NPDES permit.
  • Pending - A permit with incomplete data or a permit with an Effective Date that has not yet been reached.
  • Retired - A permit that all monitoring data is stopped against a retired permit; used in conjunction with Reissue. If a Permit is reissued before its expiration date, the Permit Status Code or the previous version of the Permit will be set to Retired.
  • Terminated - A permit that is beyond the permit's Termination Date. Upon the Termination Date being reached, the system will automatically change the Permit Status to Terminated. 

Designation

Identifies facilities by major or non-major designation:

  • 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 (https://www.epa.gov/sites/default/files/2020-02/documents/npdes_permit_rating_work_sheet.pdf). 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.

Permitting Agency

The environmental agency (U.S. EPA or State) that issued the permit.

Permittee Name

The name of the permitted entity. This name may differ from the facility name and there may be more than one name associated with the NPDES ID. 

Permittee Location

The address of the permitted entity. This location may differ from the facility location. The address corresponding with each permittee name will be shown.

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Violation Details 

This section presents a list of violations, details about the violations, and the types of enforcement taken in response to the violations, including penalties assessed. The quarterly report includes violations that occurred within the quarter, violations from previous quarterly reports that have not been resolved, and violations were resolved within the quarter.

Violation Details

NPDES ID

A unique 9-character ID assigned for each permit within the National Pollutant Discharge Elimination System (NPDES) program. The ID may contain both letters and numbers and often begins with the two-letter abbreviation for the state in which the facility is permitted.

Violation Type

The type of NPDES violation. Multiple selections are allowed but need to be selected one value at a time from the dropdown list. Violation types include: 

  • Base Program - Base program violations are single event violations (SEV) in ICIS-NPDES with the NPDES program of base program. This includes the following violation codes: 
    • A0013:  Effluent Violations - Failed Toxicity Test
    • A0023:  Effluent Violations - Industrial Spill
    • A0017:  Effluent Violations - Inspection sample above historic DMR range
    • A0022:  Effluent Violations - Narrative Effluent Violation
    • A0012:  Effluent Violations - Numeric effluent violation
    • A0016:  Effluent Violations - Reported Fish Kill
    • A0015:  Effluent Violations - Unauthorized Discharge
    • B0019:  Management Practice Violations - Best Management Practice Deficiencies
    • B0026:  Management Practice Violations - Failure to Allow Entry
    • B0012:  Management Practice Violations - Failure to Conduct Inspections
    • B0027:  Management Practice Violations - Failure to Develop Adequate SPCC Plan
    • B0011:  Management Practice Violations - Failure to Develop/Enforce Standards
    • B0028:  Management Practice Violations - Failure to Implement SPCC Plan
    • B0041:  Management Practice Violations - Failure to Maintain Records
    • B0040:  Management Practice Violations - Improper Chemical Handling
    • B0023:  Management Practice Violations - Improper Land Application (non-503 non-CAFO)
    • B0020:  Management Practice Violations - Improper Operation and Maintenance
    • B0021:  Management Practice Violations - Laboratory Not Certified
    • B0022:  Management Practice Violations - No Licensed/Certified Operator
    • B0042:  Management Practice Violations - Violation of a milestone in an order
    • C0017:  Monitoring Violations - Analysis not Conducted
    • C0011:  Monitoring Violations - Failure to Monitor for Non-Toxicity Requirements
    • C0021:  Monitoring Violations - Failure to Monitor for Toxicity Requirements
    • C0015:  Monitoring Violations - Frequency of Sampling Violation
    • C0018:  Monitoring Violations - Improper Analysis or Lab Error
    • C0014:  Monitoring Violations - Invalid/Unrepresentative Sample
    • C0016:  Monitoring Violations - No Flow Measurement Device
    • D0014:  Permit Violations - Application Incomplete
    • D0012:  Permit Violations - CWA §308 Failure to submit required permit application information
    • D0011:  Permit Violations - Discharge Without a Valid Permit
    • D0015:  Permit Violations - Failure to Pay Fees
    • D0016:  Permit Violations - Failure to Submit Timely Permit Renewal Application
    • D0013:  Permit Violations - Unapproved Operation
    • D0017:  Permit Violations - Violation Specified in Comment
    • E0017:  Reporting Violations - Failure to Notify
    • E0012:  Reporting Violations - Failure to Submit DMRs
    • E0013:  Reporting Violations - Improper/ Incorrect Reporting
    • E0011:  Reporting Violations - Late Submittal of DMRs
    • E0014:  Reporting Violations - Noncompliance with Section 308 Information Request
    • E0016:  Reporting Violations - Failure to submit required report (non-DMR non-pretreatment)      
  • Biosolids - Biosolids violations are single event violations (SEV) in ICIS-NPDES with the NPDES program of biosolids. This includes the following violation codes:  
    • F001B:  Biosolids - Land Application: Pollutant Limit Ceiling Violation
    • F002B:  Biosolids - Land Application: Invalid Monitoring or Unrepresentative Sample Violation
    • F003B:  Biosolids - Land Application: Pathogen Reduction Violation
    • F004B:  Biosolids - Land Application: Vector Attraction Reduction Violation
    • F005B:  Biosolids - Land Application: Endangered Species Act Violation
    • F006B:  Biosolids - Land Application: Applied to Flooded, Frozen, or Snow Covered Land Violation
    • F007B:  Biosolids - Land Application: Applied to Land that is 10 meters or Less from WOTUS Violation
    • F008B:  Biosolids - Land Application: Applied to Land at Greater than the Agronomic Rate Violation
    • F009B:  Biosolids - Land Application: Label or Information Sheet Requirements Violation
    • F010B:  Biosolids - Land Application: Cumulative Pollutant Loading Violation
    • F011B:  Biosolids - Land Application: Failure to Notify Land Application Applier
    • F012B:  Biosolids - Land Application: Failure to Notify Owner or Lease Holder
    • F013B:  Biosolids - Land Application: Failure to Notify State Permitting Authority 
    • F014B:  Biosolids - Land Application: Facility Failed to Keep Records for Preparers and Appliers
    • F015B:  Biosolids - Land Application: Biosolids Touching Harvestable Food Crops Violation
    • F016B:  Biosolids - Land Application: Biosolids Touching Root Crops Within 20 Months Violation
    • F017B:  Biosolids - Land Application: Biosolids Touching Root Crops Within 38 Months Violation
    • F018B:  Biosolids - Land Application: Food Crops, Feed Crops, and Fiber Crops Harvest Violation
    • F019B:  Biosolids - Land Application: Animal Grazing Violation
    • F020B:  Biosolids - Land Application: Turf Harvest Violation
    • F021B:  Biosolids - Land Application: High Potential Public Exposure Violation
    • F022B:  Biosolids - Land Application: Low Potential Public Exposure Violation
    • F023B:  Biosolids - Surface Disposal: Pollutant Limit Ceiling Violation
    • F024B:  Biosolids - Surface Disposal: Invalid Monitoring or Unrepresentative Sample Violation
    • F025B:  Biosolids - Surface Disposal: Pathogen Reduction Violation
    • F026B:  Biosolids - Surface Disposal: Vector Attraction Reduction Violation
    • F027B:  Biosolids - Surface Disposal: Sewage Sludge Storage Violation (More than Two Years)
    • F028B:  Biosolids - Surface Disposal: Endangered Species Act Violation
    • F029B:  Biosolids - Surface Disposal: Other Surface Disposal Requirement Violation
    • F030B:  Biosolids - Incineration: Emissions Limits Violation
    • F031B:  Biosolids - Incineration: Invalid Monitoring or Unrepresentative Sample Violation
    • F032B:  Biosolids - Incineration: Violation of National Emission Standards for Beryllium
    • F033B:  Biosolids - Incineration: Violation of National Emission Standards for Mercury
    • F034B:  Biosolids - Incineration: Failure to Properly Manage Continuous Monitoring Equipment Violation
    • F035B   Biosolids - Incineration: Failure to Properly Operate Air Pollution Control Devices Violation
    • F036B:  Biosolids - Incineration: Endangered Species Act Violation
    • F037B:  Biosolids - Incineration: Other Incineration Requirement Violation
    • F038B:  Biosolids: Other Management Practice Violation
    • R001B:  PR: Biosolids - Land Application: Pollutant Limit Ceiling Violation
    • R002B:  PR: Biosolids - Land Application: Invalid Monitoring or Unrepresentative Sample Violation
    • R003B:  PR: Biosolids - Land Application: Pathogen Reduction Violation
    • R004B:  PR: Biosolids - Land Application: Vector Attraction Reduction Violation
    • R005B:  PR: Biosolids - Land Application: Endangered Species Act Violation
    • R006B:  PR: Biosolids - Land Application: Applied to Flooded, Frozen, or Snow Covered Land Violation
    • R007B:  PR: Biosolids - Land Application: Applied to Land that is 10 meters or Less from WOTUS Violation
    • R008B:  PR: Biosolids - Land Application: Applied to Land at Greater than the Agronomic Rate Violation
    • R009B:  PR: Biosolids - Land Application: Label or Information Sheet Requirements Violation
    • R010B:  PR: Biosolids - Land Application: Cumulative Pollutant Loading Violation
    • R011B:  PR: Biosolids - Land Application: Failure to Notify Land Application Applier
    • R012B:  PR: Biosolids - Land Application: Failure to Notify Owner or Lease Holder
    • R013B:  PR: Biosolids - Land Application: Failure to Notify State Permitting Authority 
    • R014B:  PR: Biosolids - Land Application: Facility Failed to Keep Records for Preparers and Appliers
    • R015B:  PR: Biosolids - Land Application: Biosolids Touching Harvestable Food Crops Violation
    • R016B:  PR: Biosolids - Land Application: Biosolids Touching Root Crops Within 20 Months Violation
    • R017B:  PR: Biosolids - Land Application: Biosolids Touching Root Crops Within 38 Months Violation
    • R018B:  PR: Biosolids - Land Application: Food Crops, Feed Crops, and Fiber Crops Harvest Violation
    • R019B:  PR: Biosolids - Land Application: Animal Grazing Violation
    • R020B:  PR: Biosolids - Land Application: Turf Harvest Violation
    • R021B:  PR: Biosolids - Land Application: High Potential Public Exposure Violation
    • R022B:  PR: Biosolids - Land Application: Low Potential Public Exposure Violation
    • R023B:  PR: Biosolids - Surface Disposal: Pollutant Limit Ceiling Violation
    • R024B:  PR: Biosolids - Surface Disposal: Invalid Monitoring or Unrepresentative Sample Violation
    • R025B:  PR: Biosolids - Surface Disposal: Pathogen Reduction Violation
    • R026B:  PR: Biosolids - Surface Disposal: Vector Attraction Reduction Violation
    • R027B:  PR: Biosolids - Surface Disposal: Sewage Sludge Storage Violation (More than Two Years)
    • R028B:  PR: Biosolids - Surface Disposal: Endangered Species Act Violation
    • R029B:  PR: Biosolids - Surface Disposal: Other Surface Disposal Requirement Violation
    • R030B:  PR: Biosolids - Incineration: Emissions Limits Violation
    • R031B:  PR: Biosolids - Incineration: Invalid Monitoring or Unrepresentative Sample Violation
    • R032B:  PR: Biosolids - Incineration: Violation of National Emission Standards for Beryllium
    • R033B:  PR: Biosolids - Incineration: Violation of National Emission Standards for Mercury
    • R034B:  PR: Biosolids - Incineration: Failure to Properly Manage Continuous Monitoring Equipment Violation
    • R035B:  PR: Biosolids - Incineration: Failure to Properly Operate Air Pollution Control Devices Violation
    • R036B:  PR: Biosolids - Incineration: Endangered Species Act Violation
    • R037B:  PR: Biosolids - Incineration: Other Incineration Requirement Violation
    • R038B:  PR: Biosolids: Other Management Practice Violation
  • ​​​​​DMR Reporting - Reporting violation for submitting a required DMR more than 30 days after the due date or reporting a noncompliant no data indicator (NODI). This includes violation codes D80 and D90. 
  • Effluent - DMR effluent exceedance violation for reporting a DMR value outside the allowable limit. This includes violation code E90. 
  • Schedule - Violations for reporting required reports or completing required events after the due date. This includes violation codes C10, C20, C30, and C40. 

Violation Start Date

The start date of the violation and varies by violation type:

  • Base Program - Manually entered by a regulatory authority. 
  • Biosolids - Manually entered by a regulatory authority or automatically generated from a program report. Program report violation start dates vary by violation. 
  • DMR Reporting - Due date of the DMR. 
  • Effluent - Not applicable. 
  • Schedule - Due date of the scheduled report or event. 

Violation End Date

The end date of the violation and varies by violation type:

  • Base Program - Manually entered by a regulatory authority. 
  • Biosolids - Manually entered by a regulatory authority or automatically generated from a program report. Program report violation start dates vary by violation.
  • DMR Reporting - Date a numeric DMR value or compliant NODI was reported. 
  • Effluent - DMR monitoring period end date. 
  • Schedule - Date the report was submitted or schedule event was accomplished. 

Violation Location

The location of the violation and varies by violation type. Multiple selections are allowed but need to be selected one value at a time from the dropdown list. Violation locations include: 

  • Base Program - Not applicable. 
  • Biosolids - Program Report is for violations self-reported on the biosolids annual report. Violations manually entered by a regulatory authority to not have a violation location associated. 
  • DMR Reporting - DMR permitted feature number and the limit set designator. The permitted feature number is sometimes referred to as an outfall, and the limit set designator an alphanumeric field that is used to designate a particular grouping of parameters on a DMR. 
  • Effluent - DMR permitted feature number and the limit set designator. The permitted feature number is sometimes referred to as an outfall, and the limit set designator an alphanumeric field that is used to designate a particular grouping of parameters on a DMR. 
  • Schedule - Permit is for required reports or events in a NPDES permit, sometimes referred to as a permit narrative condition, and Compliance is for required reports or events in an enforcement action. 

Parameter

The parameter or description the violation and varies by violation type. Multiple selections are allowed but need to be selected one value at a time from the dropdown list. Violation types include: 

  • Base Program - Single event violation (SEV) description.  
  • Biosolids - Single event violation (SEV) description.  
  • DMR Reporting - A five-character code and description in ICIS-NPDES that identifies the regulated parameter. Multiple parameters can apply to a single pollutant or CAS number.
  • Effluent - A five-character code and description in ICIS-NPDES that identifies the regulated parameter. Multiple parameters can apply to a single pollutant or CAS number.
  • Schedule - Code and description of the required report or scheduled event.

Category

The violation is classified as either Category I or Category II, as designated in 40 CFR §123.45. Category I is generally, but not always, considered more serious than Category II. The criteria for Category I violations are established in the regulatory framework for enforcement order violations, compliance construction violations, permit effluent limit violations, reporting violations, non-numeric effluent violations, and those considered to be of concern at the discretion of EPA or state regulatory authorities. All other types of noncompliance that do not meet the criteria for Category I noncompliance are classified as Category II. Multiple selections are allowed but need to be selected one value at a time from the dropdown list. 

Violation Status

The status of the violation. Multiple selections are allowed but need to be selected one value at a time from the dropdown list. Violation statuses include: 

  • Unresolved - Occurs when either the facility or the regulatory authority has not performed an action to correct a violation. Note: an unresolved status does not represent that a regulatory authority has not taken any actions to respond to the violation, but that the actions did not meet requirement to change the status to resolved pending or resolved (e.g., informal enforcement). 
  • Resolved Pending - Occurs when a violation is included in a formal enforcement action with a compliance schedule and the enforcement action has not yet been closed. Violations with a resolved pending status will appear on the quarterly NNCR, even if the violation occurred before the quarter.  
  • Resolved - Occurs when either the facility or the regulatory authority performed an action to correct a violation. Examples include DMR reporting violations where numeric data or a compliance NODI was submitted late, effluent violations where three-months of “clean” DMR data has been reported, and schedule violations for events or reports were that were completed, or a formal enforcement action responding to the violation was closed. A violation status of “resolved” does not preclude an enforcement action from being taken the future. Additionally, some violations are administratively resolved through permit termination or DMR Reporting violations with a detection date more than 1 year from the current date. 

NNCR Detection Description

The description for the highest violation Category (I or II) associated with the violation and varies by violation type:

  • Category I - Manual - Applies when a violation's detection has been manually updated to "Category I" by a regulatory authority in ICIS-NPDES. This applies to RNC detection codes B, G, I, J, X, Y, and Z. Manual updates take precedence over system generated detections. 
  • Category II - Manual - Applies when a violation's status has been manually updated to "Category II" by a regulatory authority in ICIS-NPDES. This applies to RNC detection codes D, E, F, Q, and W. Manual updates take precedence over system generated detections. 
  • Compliance Schedule Event - II - Applies when a Category I event was less than 91 days late, as required by the enforcement action compliance schedule, or is a Category II event. For Category I events, this includes when the current date was less than 91 days after the due date and the completion date has not been reported or when an completion date has been reported and was less than 91 days after the due date. 
  • Compliance Schedule Event 90 - I - Applies when a Category I event was 91 or more days late, as required by the enforcement action compliance schedule. This is when either the current date is 91 or more days after the due date and the completion date has not been reported, or the completion date has been reported and was 91 or more days after the due date.
  • Compliance Schedule Report - II - Applies when a Category I report was less than 31 days late, as required by the enforcement action compliance schedule, or the report is a Category II report. For Category I reports, this includes when a completion date has been reported and was less than 31 after the due date. 
  • Compliance Schedule Report 30 - I - Applies when a Category I report was 31 or more days late, as required by the enforcement action compliance schedule. This is when either the current date is 31 or more days after the due date and the completion date has not been reported, or the completion date has been reported and was 31 or more days after the due date. 
  • DMR Reporting (Entire) - NODI - Applies when all required DMR values on a DMR form were missing or reported as noncompliant no data indicators 31 days after the DMR due date and the DMR value was reported as a noncompliant NODI. DMR form is identified by the unique grouping of required DMR values for a NPDES ID, permitted feature, and monitoring period end date. It does not assess limit sets or monitoring locations separately.
  • DMR Reporting (Entire) - No Data - Applies when all required DMR values on a DMR form were missing or reported as noncompliant no data indicators 31 days after the DMR due date and the DMR value was not reported as a noncompliant NODI (i.e., no data was submitted). DMR form is identified by the unique grouping of required DMR values for a NPDES ID, permitted feature, and monitoring period end date. It does not assess limit sets or monitoring locations separately.
  • DMR Reporting (Partial) - NODI - Applies when less than all required DMR values on a DMR form were missing or reported as noncompliant no data indicators 31 days after the DMR due date and the DMR value was reported as a noncompliant no data indicator. DMR form is identified by the unique grouping of required DMR values for a NPDES ID, permitted feature, and monitoring period end date. It does not assess limit sets or monitoring locations separately.
  • DMR Reporting (Partial) - No Data - Applies when less than all required DMR values on a DMR form were missing or reported as noncompliant no data indicators 31 days after the DMR due date and the DMR value was not reported as a noncompliant no data indicator (i.e., no data submitted). DMR form is identified by the unique grouping of required DMR values for a NPDES ID, permitted feature, and monitoring period end date. It does not assess limit sets or monitoring locations separately.
  • Effluent - Chronic Monthly Average - Applies when effluent exceedance violations of monthly average effluent limits were exceeded by any amount in any four or more months during a 6-month review period. These criteria apply to all Group I and Group II pollutants. To view pollutants in each group, see 40 CFR §123.45.
  • Effluent - Chronic Non- monthly Average - Applies when effluent exceedance violations of non-monthly average effluent limits were exceeded by any amount in any four or more months during a 6-month review period. These criteria apply to all Group I and Group II pollutants. To view pollutants in each group, see 40 CFR §123.45. Note: When a parameter has both a monthly average and a non-monthly average limit, effluent violations were only evaluated for these criteria if the monthly average has a numeric limit and it was also exceeded to some degree during the same month. This does not apply if the monthly average has monitoring only requirements. 
  • Effluent - Enforcement - Applies to effluent exceedance violations of enforcement limits. This detection applies to all limit types (minimums, maximums, averages, and totals). 
  • Effluent - Magnitude Monthly Average - Applies when effluent exceedance violations of monthly average permit effluent limits exceeded or were equal to the Technical Review Criteria (TRC) multiplied by the effluent limit and occur in two or more months during a 6-month period. The TRC is determined by multiplying the permit limit value by 1.4 for Group 1 pollutants and 1.2 for Group 2 pollutants. To view pollutants in each group, see 40 CFR §123.45. 
  • Effluent - Magnitude Non-monthly Average - Applies when effluent exceedance violations of non-monthly average permit effluent limits exceeded or were equal to the Technical Review Criteria (TRC) multiplied by the effluent limit and occur in two or more months during a 6-month period. The TRC is determined by multiplying the permit limit value by 1.4 for Group 1 pollutants and 1.2 for Group 2 pollutants. To view pollutants in each group, see 40 CFR §123.45. Note: When a parameter has both a monthly average and a non-monthly average limit, effluent violations were only evaluated for these criteria if the monthly average has a numeric limit and it was also exceeded to some degree during the same month. This does not apply if the monthly average has monitoring only requirements. 
  • Effluent - Minimum - Applies to effluent exceedance violations of permit effluent limits of minimums (i.e., reported DMR value was below the permitted minimum limit).  
  • Effluent - Monthly Average - Applies when the effluent exceedance violations of monthly average permit effluent limits did not satisfy “Effluent – Magnitude Monthly Average” or “Effluent – Chronic Monthly Average” criteria. 
  • Effluent - Non-monthly Average - Applies when the effluent exceedance violations of non-monthly average permit effluent limits did not satisfy “Effluent – Magnitude Non-Monthly Average” or “Effluent – Chronic Non-Monthly Average” criteria. 
  • Other - I - Applies when a single event violation (SEV) has been designated as a Category I violation for base program and biosolids violations.  
  • Other - II - Applies when a single event violation (SEV) has been designated as a Category II violation for base program and biosolids violations. 
  • Permit Schedule Event - II - Applies when a Category I event was less than 91 days late or the event is a Category II event, as required by the permit. For Category I events, this includes when the current date was less than 91 days after the due and the completion date has not been reported or when the completion date has been reported and was less than 91 days after the due date. 
  • Permit Schedule Event 90 - I - Applies when a Category I event was 91 or more days late, as required by the permit. This is when either the current date is 91 or more days after the due date and the completion date has not been reported, or the completion date has been reported and was 91 or more days after the due date.
  • Permit Schedule Report - II - Applies when a Category I report was less than 31 days late or the report is a Category II report, as required by the permit. For Category I events, this includes when an completion date has been reported and was less than 31 after the due date. 
  • Permit Schedule Report 30 - I - Applies when a Category I report was 31 or more days late, as required by the permit. This is when either the current date is 31 or more days after the due date and the completion date has not been reported, or the completion date has been reported and was 31 or more days after the due date. 
  • Permit Schedule Reported Late - Applies when a permit schedule (report or event) did not meet the 14-day reporting requirement (see 40 CFR 122.41 and 122.47), as required by the permit. This detection only applies to reporting-only violations. If the permit schedule event or report was both reported and accomplished late, the other permit schedule detections would take precedence. 

NNCR Detection Date

The date associated with the latest violation detection description and varies by violation type and detection description: 

  • Base Program - Date the violation was reported to EPA or most recently updated, whichever is most recent. 
  • Biosolids - Date the violation was reported to EPA or most recently updated, whichever is most recent. 
  • DMR Reporting - 31 days after the DMR due date. 
  • Effluent - Date associated with the highest violation category during a 6-month review period.
  • Schedule - Category II violations have a detection date set to the report or event due date. Category I reports have a detection date set to 31 days after the report due date. Category I events have a detection date set to 91 days after the due date. 

NNCR Resolution Description

The description for the violations resolved or resolved pending status and varies by violation type:

  • Closure of Formal Enforcement - Applies when the violation was included in a formal enforcement action with a compliance schedule that has been closed. 
  • Effluent - 3 Months Clean - Applies after the facility submits three consecutive months of compliant DMR data. Either through an improved process, new technology, or another mechanism besides enforcement, this resolution indicates the facility has made a change so the DMR values for the pollutant have been consistently under the limit requirements and the facility appears to be back in compliance on its own. The DMRs will not satisfy the criteria if a no data indicator (NODI) was reported (excluding NODI B and Q), monitoring data was not required, or DMR non-receipt tracking is off during the last three months of the 6-month review period. The counts of months are based on the month of the DMR monitoring period end date.
  • Formal Enforcement with a Compliance Schedule - Applies when the violation was included in a formal enforcement action with a compliance schedule that has not yet been closed. The resolved pending status is an interim status before the violation has been resolved, often when the enforcement order has been closed, or potentially sooner if the facility comes back into compliance on their own. 
  • Permit Terminated - Applies when a permit has been terminated and the violation has not been resolved by another method. 
  • Resolved - Manual - Applies when a violation's resolution has been manually updated to "Resolved" by a regulatory authority in ICIS-NPDES. This applies to RNC resolution codes 6, 9, and B. Manual resolutions take precedence over system generated resolutions, even if the system generated resolution would have resolved the violation at an earlier date. 
  • Resolved Pending - Manual - Applies when a violation's resolution has been manually updated to "Resolved Pending" by a regulatory authority in ICIS-NPDES. This applies to RNC resolution codes 7 and 8. Manual updates take precedence over system generated resolutions, even if the system generated resolution would have resolved the violation at an earlier date. 
  • Submitted Report or Completed Event - Applies when a required report has been submitted or required event has been completed.
  • System Administratively Resolved - Applies when a DMR Reporting violation is more than 1 year after the violation's detection date and has not been resolved by other means. 
  • Unresolved - Manual - Applies when a violation's resolution has been manually updated to "Unresolved" by a regulatory authority in ICIS-NPDES. This applies to RNC resolution code 1. Manual updates take precedence over system generated resolutions, except for single event violations (SEVs) for base program and biosolids violations that are linked to formal enforcement actions with compliance schedules.

NNCR Resolution Date

The date associated with the violation's resolution and varies by the resolution description: 

  • Closure of Formal Enforcement - If the violation's detection date is before the NPDES Closed Date of the Final Order of the linked enforcement action, the resolution date is set to the NPDES Closed Date. If the violation's detection date is after the NPDES Closed Date of the Final Order linked to the violation, the resolution date is set to the violation's detection date. 
  • Effluent - 3 Months Clean - Last day of the 6-month review period when the clean quarter criteria was first met. 
  • Formal Enforcement with a Compliance Schedule - If the violation's detection date was before Final Order Issued/Entered Date of the linked enforcement action, then the resolution date is set to the Final Order Issued/Entered Date. If the violation's detection date was after Final Order Issued/Entered Date of the linked enforcement action, the resolution date is set the violation's detection date. 
  • Permit Terminated - The permit's termination date. 
  • Resolved - Manual - Date manually reported by a regulatory authority. 
  • Resolved Pending - Manual - Date manually reported by a regulatory authority. 
  • Submitted Report or Completed Event - Date of the required report was submitted or the required event was completed. 
  • System Administratively Resolved - 1-year after the violation's detection date.
  • Unresolved - Manual - Date manually reported by a regulatory authority. 

Days Late

The number of days after the due date that the report was received or the schedule event was completed. This only applies to DMR reporting and schedule violations.

DMR Violations

Monitoring Period End Date

The end date of the reporting period for the DMR. 

DMR Value Type

The unique code identifying a limit or DMR value type (i.e., Quantity 1, Quantity 2, Concentration 1, Concentration 2, Concentration 3).

DMR Monitoring Location

The code and description for the monitoring location associated with the DMR.

DMR Percent Over Limit

For effluent violations, the percent that a reported pollutant measurement was over the limit value, also known as an effluent exceedance. The National Pollution Discharge Elimination System Integrated Compliance and Information System (ICIS-NPDES) determines effluent exceedance violations and calculates the percent the DMR reported value exceeded the permit limit. At times, the percent exceedance calculated is 2,147,483,650 or 99,999 percent but the NNCR displays "Limit Violation" because these values are not representative of the actual measured percent exceedance and should not be interpreted this way.

Receiving Waterbody Code

The hydrologic unit code (HUC) to identify the receiving waterbody. 

Receiving Waterbody Name

The name of the receiving waterbody associated with the facility's external outfalls latitude/longitude data. The waterbody data is based on data from the USGS Watershed Boundary Dataset (WBD). 

Enforcement Action Details

Enforcement Type**

The designation, informal or formal (administrative or judicial) of the type of enforcement action taken. Multiple selections are allowed but need to be selected one value at a time from the dropdown list. 

Informal actions are typically used to address less serious violations, an informal action must meet all the following criteria:

  • Is issued by the regulatory agency in writing (paper or electronic) to the regulated entity,
  • Is issued as a result of a “potential finding of violation” or a finding of violation,
  • Contains a description of the legal and factual basis for the possible action and states with reasonable specificity the nature of the potential finding of violation or finding of violation,
  • Includes:
    • A statement that the regulated entity should take whatever action(s) is necessary to correct the potential finding of violation or finding of violation,
    • A recommended reasonable timeframe for completing and/or reporting, as appropriate, either any necessary actions to correct the potential finding of violation or finding of violation expressed in specific terms (e.g., within 45 days of receipt of this action or prior to the next permit reporting deadline), or a demonstration by the recipient that there is no such violation; and
    • A statement describing the steps the regulatory agency “may” take or “is prepared to” take with respect to the potential finding of violation or finding of violation,
  • Is not independently enforceable,
  • Is not an action established by law or regulation by which the regulatory agency may itself impose or seek through a court or other tribunal,10 the imposition of a sanction (e.g., a penalty) or injunctive relief for the identified violation, obtain compliance or abate the endangerment, or resolve liability, and
  • Includes, for self-disclosures where there is a potential finding of violation, acknowledgment that the discloser has certified that the violation has been corrected (e.g., Acknowledgement Letter).

Formal actions are typically used to address more serious violations and may be independently enforceable, a formal action must meet all the following criteria:

  • Is issued by the regulatory agency in writing (paper or electronic) to the regulated entity,
  • Is issued as a result of a “finding of violation”, a “finding of endangerment”, or a self-disclosure,
  • Contains a description of the legal and factual basis for the action and states with reasonable specificity the nature of the finding of violation,
  • Is an action established by law or regulation by which the regulatory agency may itself impose or seek through a court or other tribunal, the imposition of a sanction (e.g., a penalty) or injunctive relief for the identified finding of violation, obtain compliance or abate the endangerment, or use to resolve liability (e.g., FIFRA Notices of Warning, Federal Facility Compliance Agreement), and
  • For self-disclosures where there is a finding of violation, includes notice that the discloser has certified that the violation has been corrected (e.g., electronic Notice of Determination).

 

 

Enforcement Description**

The description for the enforcement actions, which varies by violation enforcement type:

  • Administrative - Informal 
    • Agency Enforcement Review [state only]
    • Citizen Suit Final Order [state only]
    • Citizen Suit Notice [state only]
    • Enforcement Meeting [state only]
    • Information Request Letter [state only]
    • Letter of Violation/ Warning Letter [EPA and state]
    • Letter to Regulated Entity [state only]
    • No Further Action [state only]
    • Notice of Noncompliance Issued [EPA and state]
    • Notice of Violation [EPA and state]
    • Oral Notification of Violation [state only]
    • Other Response - Enforcement Meeting [EPA only]
    • Other Response - Phone Call/ EMAIL [EPA only]
    • Other Response - Under Review [EPA only]
    • Phone Call/ EMAIL [State only]
    • Show Cause Letter [State only]
    • Under Review [State only]
  • Administrative - Formal
    • CWA 309A AO For Compliance [EPA only]
    • CWA 309G2B AO For Class II Penalties [EPA only]
    • CWA 309G2E AO For Class I Penalties - Storm Water Industrial Expedited Settlement Program [EPA only]
    • CWA 309G2E AO For Class I Penalties - Wastewater Expedited Settlement Program [EPA only]
    • Emergency Order - Governor [State only]
    • Order of Suspension or Revocation [State only]
    • State Administrative Order of Consent [State only]
    • State CWA Non Penalty AO [State only]
    • State CWA Penalty AO [State only]
  • Judicial - Formal 
    • Civil Judicial Action [EPA and state]

Enforcement ID**

A unique number identifying the enforcement action. For EPA 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 cases start with the two character location abbreviation, followed by a sequence number. Formal enforcement actions include an enforcement ID that links to the ECHO Civil Enforcement Case Report, where you can find more details about the enforcement action, including penalties assessed, penalty amount collected, and compliance schedules details. 

Enforcement Lead Agency**

Identifies the lead agency (e.g., EPA, State) for the enforcement action.

Enforcement Achieved Date**

Date associated with an informal enforcement action. This date does not apply to formal enforcement actions. 

Enforcement Final Order**

The unique final order number associated with the Formal Enforcement Action. This field is blank for informal enforcement actions. 

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 NPDES Closed Date**

The date of closure for the final order. This field is blank for informal enforcement actions. 

**Note on sorting: A violation can be linked to multiple enforcement actions. Under these situations, sorting is be performed on the “minimum” description alphabetically or numerically within the field. For example, if a violation is linked to both a “Notice of Violation” and a “State Administrative Order of Consent,” the column always sorts on the “Notice of Violation” field and ignores the “State Administrative Order of Consent” value. Similar logic (e.g., minimum value) is used to sort numeric and date enforcement action fields where multiple actions have been linked to a unique violation.

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Environmental Conditions 

DMR Flow and Pollutant Loadings

NPDES ID

A unique 9-character ID assigned for each permit within the National Pollutant Discharge Elimination System (NPDES) program. The ID may contain both letters and numbers and often begins with the two-letter abbreviation for the state in which the facility is permitted.

Description

Includes the Average Facility Flow (MGD - million gallons per day), Pollutant Load Over Limit (pounds), and Pollutant Load Over Limit (toxic-weighted pounds). The Pollutant Load Over Limit is calculated using the "Option 1" calculation from the Water Pollutant Loading Tool. For more information about Pollutant Loading Tool calculations, see the Water Pollutant Loading Tool Frequently Asked Questions.

DMR Year

Displays counts for Average Facility Flow (MGD - million gallons per day), Pollutant Load Over Limit (pounds), and Pollutant Load Over Limit (toxic-weighted pounds) for each year in the previous 5 years.

External Outfalls

NPDES ID

A unique 9-character ID assigned for each permit within the National Pollutant Discharge Elimination System (NPDES) program. The ID may contain both letters and numbers and often begins with the two-letter abbreviation for the state in which the facility is permitted.

Permitted Feature

The ID for the permitted feature or outfall for a permit. 

Receiving Waterbody Code 

The code to identify the receiving waterbody. 

Receiving Waterbody Name 

The name of the receiving waterbody associated with the facility's external outfalls latitude/longitude data. The waterbody data is based on data from the USGS Watershed Boundary Dataset (WBD). 

Latitude/Longitude 

The permitted feature's latitude and longitude coordinates.

Assessed Waters from Latest States Submissions (ATTAINS)

State

The state in which the water body is located.

Report Cycle

Year that the report was created or last updated.

Assessment Unit ID 

Unique identifier identifying the segment of a water body that has been evaluated for pollution. 

Assessment Unit Name

Name of the assessment unit located near the facility. An assessment unit is a segment of a water body that has been evaluated for pollution, as indicated in the ATTAINS database. 

Water Condition

States the current water condition of the water body segment on which the facility resides. The water body segment is listed as: Unknown if the current status of the water body segment is unknown. Impaired if the water body segment has been identified as impaired. Impaired - 303(d) listed if the water body segment has been identified as impaired and reported to EPA. Visit EPA's Impaired Water and TMDLs webpage for more information about 303(d) listings of impaired waters.

Cause Groups Impaired 

Lists all groups of pollutants or stressors that are causing impairment in the assessed water body, as indicated in ATTAINS database.

Drinking Water Use

The status of Drinking Water Use for the water body, based on data in the ATTAINS database. This field displays the following descriptions:

  • Insufficient Information if a conclusion cannot be made whether the water body segment in which the facility resides is designated for drinking water use.
  • Not Supporting if the water body segment in which the facility resides is not designated for drinking water use.
  • Fully Supporting if the water body segment in which the facility resides is designated for drinking water use.
  • Not Assessed if the water body segment in which the facility resides has not been assessed for drinking water use. 
  • "--" if the use group has not been assigned to the water by the state. This generally is considered to mean the state did not assess the water for this designated use, but did not specifically report it as "Not Assessed." This occurs most commonly when the designated use does not apply to the water. 

Aquatic Life

The status of Aquatic Life use for the water body, based on data in the ATTAINS database. This field displays the following descriptions:

  • Insufficient Information if a conclusion cannot be made whether the water body segment in which the facility resides is designated for aquatic life use.
  • Not Supporting if the water body segment in which the facility resides is not designated for aquatic life use.
  • Fully Supporting if the water body segment in which the facility resides is designated for aquatic life use.
  • Not Assessed if the water body segment in which the facility resides has not been assessed for aquatic life use. 
  • "--" if the use group has not been assigned to the water by the state. This generally is considered to mean the state did not assess the water for this designated use, but did not specifically report it as "Not Assessed." This occurs most commonly when the designated use does not apply to the water. 

Fish Consumption Use

The status of Fish Consumption Use for the water body, based on data in the ATTAINS database. This field displays the following descriptions:

  • Insufficient Information if a conclusion cannot be made whether the water body segment in which the facility resides is designated for fish consumption use.
  • Not Supporting if the water body segment in which the facility resides is not designated for fish consumption use.
  • Fully Supporting if the water body segment in which the facility resides is designated for fish consumption use.
  • Not Assessed if the water body segment in which the facility resides has not been assessed for fish consumption use. 
  • "--" if the use group has not been assigned to the water by the state. This generally is considered to mean the state did not assess the water for this designated use, but did not specifically report it as "Not Assessed." This occurs most commonly when the designated use does not apply to the water. 

Recreation Use

The status of Recreation Use for the water body, based on data in the ATTAINS database. This field displays the following descriptions:

  • Insufficient Information if a conclusion cannot be made whether the water body segment in which the facility resides is designated for recreation use.
  • Not Supporting if the water body segment in which the facility resides is not designated for recreation use.
  • Fully Supporting if the water body segment in which the facility resides is designated for recreation use.
  • Not Assessed if the water body segment in which the facility resides has not been assessed for recreation use. 
  • "--" if the use group has not been assigned to the water by the state. This generally is considered to mean the state did not assess the water for this designated use, but did not specifically report it as "Not Assessed." This occurs most commonly when the designated use does not apply to the water. 

Other Use 

The status of Other Use for the water body, based on data in the ATTAINS database. This field displays the following descriptions:

  • Insufficient Information if a conclusion cannot be made whether the water body segment in which the facility resides is designated for other use.
  • Not Supporting if the water body segment in which the facility resides is not designated for other use.
  • Fully Supporting if the water body segment in which the facility resides is designated for other use.
  • Not Assessed if the water body segment in which the facility resides has not been assessed for other use.
  • "--" if the use group has not been assigned to the water by the state. This generally is considered to mean the state did not assess the water for this designated use, but did not specifically report it as "Not Assessed." This occurs most commonly when the designated use does not apply to the water. 

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