Water Dashboard Help

Overview

A dashboard is a data interface designed for easy reading. It allows multiple metrics to be monitored and displayed at a summary level, while offering the supporting data at a lower or more granular level. The dashboards found on the Enforcement and Compliance History Online (ECHO) website are specialized to track both facility and agency performance as they relate to compliance with and enforcement of environmental standards. The dashboards in ECHO include charts, tables, and links to additional information. The data on the dashboards is presented as a national view or by state. The dashboards can be tailored by users based on their preferences. For example, a user can select each report to show permittees designated as "majors." The dashboards support EPA's transparency efforts.

Data for the current fiscal year and the four previous fiscal years is presented, so that we are always showing a five year trend. The fiscal year refers to the federal fiscal year, which is from October 1 to September 30. Beginning with fiscal year 2011, the dashboards present data that was captured from EPA's data systems and frozen so that it could not be changed. For years that we do not have frozen data, we use current production data. But, production data is always subject to change as EPA's data systems are updated. Our goal is to use frozen data, but the current year will always be production data.

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

For more information about the ECHO Dashboards and the Clean Water Act, see "Common Questions" listed below each dashboard and Overview of Clean Water Act NPDES Permit Program.

  • Activity Dashboard - The Activity Dashboard reflects counts of activities and the dollar value of penalties assessed. Each report shows multiple years of data to provide context either at the national level or within a state. The data is graphed and shown as an aggregate count with the list of facilities that compose the aggregate available when a user clicks on the graph.
     
  • Performance Dashboard - The Performance Dashboard reflects activities as rates either based on the number of facilities within a specified universe (e.g., permittees designated as "majors") or the total number of the activity conducted. Each report provides a national average and some provide a national goal, where appropriate, to provide context.
     
  • Data Sources - These dashboards use data from a various data sources. The following document provides information on the data sources and metrics used to derive the reports for the CWA Dashboard. This document may be particularly useful for staff in authorized state NPDES programs and other technical users: ECHO Clean Water Act (CWA) Dashboard Data Sources and Formulas.

Activity Dashboard

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

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

Example Water Activity Dashboard

Facilities Regulated

Under the Clean Water Act(CWA) all facilities that discharge pollutants from any point source (e.g., pipe, ditch, and channel) into waters of the United States are required to obtain a National Pollutant Discharge Elimination System (NPDES) permit. EPA administers the NPDES program in conjunction with authorized states. Most states currently have authorized NPDES programs and perform many of the permitting, administrative, and enforcement aspects of the NPDES Program. To be authorized, a state must have statutes that are as stringent as Federal laws. In these authorized states, EPA still retains oversight responsibilities. EPA works closely with states that have been authorized to carry out Federal compliance enforcement programs. EPA and the states plan and set priorities together and pursue joint enforcement activities when appropriate.

The following table describes the available reports available in this section of the dashboard. Please note that not all non-major general permit covered facilities have their facility information in ICIS-NPDES, which is the source of SRF data. Many states voluntarily enter additional data that is not required; however, data completeness may vary widely from state to state. See ECHO's data entry requirements table for more information on data entry requirements related to the NPDES program data.

Report TitleData SourceDashboard Shows
NPDES Permits by Type - FY (All)SRFThis shows the number of NPDES permits by permit type (e.g., major, non-major individual, and non-major general permit).
NPDES Permits by Issuing Agency - FY (Majors, All)SRFThis shows the number of NPDES permits designated as majors by permitting authority (e.g., state or EPA).
NPDES Permits by Issuing Agency - FY (Non-Majors, All)SRFThis shows the number of NPDES permits designated as non-majors (individual and general permit covered facilities) by permitting authority (e.g., state or EPA).
NPDES Permits by Issuing Agency (Non-Majors, Individual) Source: ANCR DataANCRThis shows the number of NPDES permits designated as non-majors with individual permits by permitting authority (e.g., state or EPA).

NPDES Facility and Permit Type

In administration and oversight of the CWA NPDES wastewater discharge permit program, EPA has divided permit holders as either "major" or "non-major" dischargers. For example, EPA identifies municipal wastewater treatment plants that discharge 1 million gallons per day or more as major dischargers. EPA policy requires that facility data (e.g., facility site name, city, state, longitude, latitude) be shared between states and EPA for all facilities.

Additionally, EPA and states 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. However, most general permits are classified by EPA and states as 'non-majors,' which means that a more limited set of facility, permit, discharge, and inspections data is entered into EPA's data system (ICIS-NPDES).

These groupings are used in the dashboard charts. Using these two groupings the entire universe of NPDES permits can be organized in one of four types:

  • Major Facilities with Individual NPDES Permits
  • Major Facilities covered by General Permits
  • Non-Major Facilities with Individual NPDES Permits
  • Non-Major Facilities covered by General Permits

The dashboard does not separately show major facilities covered by general permits as there are relatively fewer numbers of these facilities. These facilities are combined with major facilities with individual NPDES permits.

Permit Issuing Agency

States, tribes, and territories may be authorized by EPA to administer the NPDES program. A state may receive authorization for one or more of the NPDES Program components. 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.). Some of the dashboard reports in this section show the distribution of NPDES permits by the permitting authority.

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Inspections

This section shows the distribution of inspected facilities by inspection lead agency and permit type. The following table describes the available reports available in this section of the dashboard. Please note that authorized state NPDES programs are not required to submit information on inspections of general permit covered non-major facilities to EPA's data system (ICIS-NPDES), which is the source of SRF data. Many states voluntarily enter additional data that is not required; however, data completeness may vary widely from state to state. See ECHO's data entry requirements table for more information on data entry requirements related to the NPDES program data.

Report TitleData SourceDashboard Shows
Facilities Inspected by State or EPA (All)SRFThis shows the number of inspected facilities by NPDES permit type (e.g., major, non-major individual, and non-major general permit).
Facilities Inspected by State or EPA (All) - State/EPA SplitSRFThis shows the number of inspected facilities by lead inspection agency (e.g., state or EPA).
Facilities Inspected by State or EPA (Majors, All)SRFThis shows the number of inspected facilities designated as majors by lead inspection agency (e.g., state or EPA).
Facilities Inspected by State or EPA (Non-Majors, All)SRFThis shows the number of inspected facilities designated as non-majors by lead inspection agency (e.g., state or EPA).
Facilities Reviewed by State or EPA (Non-Majors with Individual Permit) Source: ANCR DataANCRThis shows the number of facilities designated as non-majors with individual permits that were reviewed by their permitting authority (e.g., state or EPA).

Technical Information

Facilities Reviewed for Violations (ANCR Data): Facilities discharging wastewater generally submit information about their wastewater discharges to their permitting authority on forms called Discharge Monitoring Reports (DMRs). If states enter these DMR data into EPA's data system (ICIS-NPDES), violations are automatically calculated by the database (i.e., DMR data are compared the corresponding effluent limits). EPA's methodology will count a facility as "reviewed" if at least one of the twelve monthly DMRs is entered in the database. Additionally, some states do not submit these DMR data to EPA, but have their own databases or paper file review system that identify violations and then share an overview on the number of these reviews with EPA via the Annual Noncompliance Report (ANCR). For this dashboard these facilities are also considered "reviewed." Facilities not reviewed for violations would typically submit paper discharge reports to the state (or EPA), but the state would file the report without reviewing it.

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Violations

This section shows the distribution of violations by permit type, by permitting issuing agency (state or EPA), and violation severity. The following table describes the available reports available in this section of the dashboard. Please note that authorized state NPDES programs are not required to submit information to EPA's data system (ICIS-NPDES ), which is the source of SRF data, on the results of state inspections or state review of compliance monitoring data submitted by permittees for non-major facilities. Many states voluntarily enter additional data that is not required; however, data completeness may vary widely from state to state. See ECHO's data entry requirements table for more information on data entry requirements related to the NPDES program data.

Report TitleData SourceDashboard Shows
Facilities in Noncompliance (All)SRFThis shows the number of facilities by NPDES permit type (e.g., major, non-major) in noncompliance.
Facilities in Noncompliance (Majors with Individual Permit)SRFThis shows the number of individually permitted facilities designated as majors by noncompliance status [e.g., Noncompliance (SNC), Noncompliance (Not SNC)].
Facilities in Significant Noncompliance (Majors with Individual Permit)SRFThis shows the number of individually permitted facilities designated as majors in significant noncompliance (SNC) by permitting authority (e.g., State, EPA).
Facilities in Noncompliance (Not SNC) (Majors with Individual Permit)SRFThis shows the number of individually permitted facilities designated as majors in noncompliance (but not in SNC) by permitting authority (e.g., State, EPA).
Facilities in Noncompliance (Non-Majors with Individual Permit)SRFThis shows the number of individually permitted facilities designated as non-majors by noncompliance status [e.g., Category 1 (most serious) or Category 2].
Facilities in Category 1 Noncompliance (Non-Majors with Individual Permit)SRFThis shows the number of individually permitted facilities designated as non-majors by permitting authority (e.g., State, EPA).
Facilities with Single Event Violations (All)SRFThis shows the number of facilities with single even violations.
Facilities with Compliance Schedule Violations (All)SRFThis shows the number of facilities with compliance schedule violations.
Facilities with Permit Schedule Violations (All)SRFThis shows the number of facilities with permit schedule violations.

Technical Information

The following are some use terms to help you better understand the reports in this section.

  • Violation Type: EPA splits violations of NPDES permits into two categories: Category 1 [a.k.a. Significant Noncompliance (SNC) for permittees designated as majors] and Category 2. Facilities identified as in Category 1 noncompliance are typically those facilities with the most serious violations of their permit effluent limits in terms of duration, frequency, and magnitude, other permit requirements (e.g., failure of a Publicly Owned Treatment Works (POTW) to enforce its approved pretreatment program), or enforcement order (e.g., failure to meet an enforcement order's compliance deadline to build an improved wastewater treatment system). Facilities identified as in Category 2 noncompliance are typically those facilities with less serious violations. For more information on these two categories can be found here (PDF)(4 pp, 147 K, About PDF).
  • Single Event Violations: A Single Event Violation (SEV) is an event that is independently determined by the EPA Region or the authorized state NPDES program to show a violation of a NPDES permit requirement or the CWA and is neither a system-generated effluent limit violation nor a schedule violation (e.g., failure to submit a discharge monitoring report). An unauthorized bypass or discharge or a violation detected during an inspection are examples of a SEV. EPA Region or the authorized state NPDES program manually enter SEV data into PCS or ICIS-NPDES; however, authorized state NPDES program are only required to enter SEV data for facilities designated as "Majors" as well as POTWs designated as "Non-Majors" with pretreatment programs.
  • Compliance Schedule Violations: The EPA Region or the authorized state NPDES program can issue an enforcement action and a related schedule to a facility with a NPDES permit (e.g., requirement to upgrade wastewater treatment plant by a certain date). Failure to complete the required activity in accordance with the related schedule results in a Compliance Schedule Violation. EPA Region or the authorized state NPDES program manually enter these data into PCS or ICIS-NPDES; however, authorized state NPDES program are only required to enter these data for facilities designated as "Majors" as well as POTWs designated as "Non-Majors."
  • Permit Schedule Violations: The EPA Region or the authorized state NPDES program can require the NPDES regulated facility to complete an activity (e.g., upgrade wastewater treatment, submit report) by a certain date as a permit requirement. Failure to complete the required activity in accordance with the related schedule results in a Permit Schedule Violation. EPA Region or the authorized state NPDES program manually enter these data into PCS or ICIS-NPDES; however, authorized state NPDES program are only required to enter these data for facilities designated as "Majors" as well as POTWs designated as "Non-Majors."

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Serious Violations

This section shows the distribution of serious violations by permit type and by permitting issuing agency (state or EPA). The following table describes the available reports available in this section of the dashboard. Please note that authorized state NPDES programs are not required to submit information to EPA's data system (ICIS-NPDES ), which is the source of SRF data, on the severity of noncompliance events for non-major facilities. Many states voluntarily enter additional data that is not required; however, data completeness may vary widely from state to state. See ECHO's data entry requirements table for more information on data entry requirements related to the NPDES program data.

Report TitleData SourceDashboard Shows
Facilities in Category 1 Noncompliance (All with Individual Permit)SRFThis shows the number of facilities by NPDES permit type (e.g., major, non-major) in Category 1 noncompliance (most serious).
Facilities in Category 1 Noncompliance (Majors in SNC with Individual Permit)SRFThis shows the number of individually permitted facilities designated as majors in significant noncompliance (SNC) by permitting authority (e.g., State, EPA).
Facilities in Category 1 Noncompliance (Non-Majors with Individual Permit)SRFThis shows the number of individually permitted facilities designated as non-majors in Category 1 noncompliance by permitting authority (e.g., State, EPA).
Facilities One or More Years Behind Construction Schedule Deadlines (Non-Major, Individual) Source: ANCR DataANCRThis shows the number of facilities that are one or more years behind in their construction schedule deadlines.

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Enforcement Actions

This section shows the distribution of enforcement actions by enforcement action type and by enforcement action lead agency (state or EPA). The following table describes the available reports available in this section of the dashboard. Please note that authorized state NPDES programs are not required to submit information to EPA's data system (ICIS-NPDES), which is the source of SRF data, on the formal or informal enforcement actions for non-major facilities. Many states voluntarily enter additional data that is not required; however, data completeness may vary widely from state to state. See ECHO's data entry requirements table for more information on data entry requirements related to the NPDES program data.

Report TitleData SourceDashboard Shows
Facilities with Enforcement Actions (All) - Formal/Informal SplitSRFThis shows the number of facilities with an enforcement action by enforcement action type (e.g., formal action, informal action).
Facilities with Enforcement Actions (All) - State/EPA SplitSRFThis shows the number of facilities with an enforcement action by permitting authority (e.g., State, EPA).
Facilities with Formal Enforcement Actions (All)SRFThis shows the number of facilities with a formal enforcement action by permitting authority (e.g., State, EPA).
Facilities with Informal Enforcement Actions (All)SRFThis shows the number of facilities with an informal enforcement action by permitting authority (e.g., State, EPA).
Facilities with Enforcement Actions (Major, All)SRFThis shows the number of major permitted facilities with an enforcement action by permitting authority (e.g., State, EPA).
Facilities with Enforcement Actions (Non-Major, Individual) - ANCRANCRThis shows the number of non-major individually permitted facilities with an enforcement action (formal or informal) by permitting authority (e.g., State, EPA).
Facilities Receiving Administrative Penalty Order (Non-Major, Individual) - ANCRANCRThis shows the number of non-major individually permitted facilities receiving an administrative penalty order by permitting authority (e.g., State, EPA).
Facilities with Permit Modifications Extending Compliance Deadlines (Non-Major, Individual) - ANCRANCRThis shows the number of non-major individually permitted facilities receiving an administrative penalty order by permitting authority (e.g., State, EPA).

Technical Information

EPA groups enforcement actions into two categories: Formal Actions and Informal Actions. Formal actions include the issuance of an Administrative Order or a Consent Decree. Informal actions include Notice of Violation/Potential Penalty, Letter of Violation, or Warning Letter.

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Penalties

This section shows the distribution of enforcement actions with monetary penalty by enforcement action lead agency (state or EPA). The following table describes the available reports available in this section of the dashboard. Please note that authorized state NPDES programs are not required to submit penalty information to EPA's data system (ICIS-NPDES ), which is the source of SRF data. Many states voluntarily enter additional data that is not required; however, data completeness may vary widely from state to state. See ECHO's data entry requirements table for more information on data entry requirements related to the NPDES program data.

Report TitleData SourceDashboard Shows
Number of Formal Enforcement Actions with Monetary Penalties (All)SRFThis shows the number of facilities with an enforcement action with a monetary penalty by permitting authority (e.g., State, EPA).
Total Monetary Penalties Assessed (All)SRFThis shows the amount of assessed penalties ($) by permitting authority (e.g., State, EPA).
Median Monetary Penalty (All)SRFThis shows the median amount of assessed penalty ($) by permitting authority (e.g., State, EPA).
Total Monetary Penalties Assessed (Non-Major, Individual) - ANCR DataANCRThis shows the total amount of monetary penalties assessed by the permitting authority (e.g., State, EPA) for non-major individually permitted facilities.

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Performance Dashboard

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

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

Example Water Performance Dashboard

 

Facilities Regulated

Under the Clean Water Act all facilities that discharge pollutants from any point source (e.g., pipe, ditch, and channel) into waters of the United States are required to obtain a National Pollutant Discharge Elimination System (NPDES) permit. This section shows the distribution of NPDES permits by permit type and by permitting issuing agency (state or EPA).

The following table describes the available reports available in this section of the dashboard. See ECHO's data entry requirements table for more information on data entry requirements related to the NPDES program data.

Report TitleData SourceDashboard Shows
NPDES Permits by Type - FY (All)SRFThis shows the number of NPDES permits by permit type (e.g., major, non-major individual, and non-major general permit).
NPDES Permits by Issuing Agency - FY (Majors, All)SRFThis shows the number of NPDES permits designated as majors by permitting authority (e.g., state or EPA).
NPDES Permits by Issuing Agency - FY (Non-Majors, All)SRFThis shows the number of NPDES permits designated as non-majors (individual and general permit covered facilities) by permitting authority (e.g., state or EPA).
NPDES Permits by Issuing Agency (Non-Majors, Individual) Source: ANCR DataANCRThis shows the number of NPDES permits designated as non-majors with individual permits by permitting authority (e.g., state or EPA).
Number of Expired Permits - FYEPA/OWThis shows the number of expired permits for the year 2013. This list was initially pulled from ICIS-NPDES and reviewed by EPA Regions and states. This review process is managed by EPA's Office of Water. 2
Percentage of Active Individual NPDES Permits with Limits in EPA's Data System - ICIS-NPDES (Majors)SRFThis shows the percentage of active individual permitted major facilities with limits in EPA's data system (ICIS-NPDES). EPA policy requires states to put limits data on majors in EPA's data system (95% minimum threshold).
Percentage of Active Individual NPDES Permits with Limits in EPA's Data System - ICIS-NPDES (Non-Majors)SRFThis shows the percentage of active individual permitted non-major facilities with limits in EPA's data system (ICIS-NPDES).
Percentage of Active Individual NPDES Permits with DMRs in EPA's Data System - ICIS-NPDES (Majors)SRFThis shows the percentage of active individual permitted major facilities with DMR data in EPA's data system (ICIS-NPDES). EPA policy requires states to put limits data on majors in EPA's data system (95% minimum threshold). For the purposes of this chart a facility is counted as having DMR data if at least DMR is entered in the year.
Percentage of Active Individual NPDES Permits with DMRs in EPA's Data System - ICIS-NPDES (Non-Majors)SRFThis shows the percentage of active individual permitted non-major facilities with DMR data in EPA's data system (ICIS-NPDES). For the purposes of this chart a facility is counted as having DMR data if at least DMR is entered in the year.
Number of Active Individual NPDES Permits with Limits and DMRs in EPA's Data System - ICIS-NPDES (Majors)SRFThis shows the number of active individually permitted facilities (major) that have limit and DMR data in EPA's data system (ICIS-NPDES). 2
Number of Active Individual NPDES Permits with Limits and DMRs in EPA's Data System - ICIS-NPDES (Non-Majors)SRFThis shows the number of active individually permitted facilities (non-major) that have limit and DMR data in EPA's data system (ICIS-NPDES). 2
Major Facilities with Manual Override of RNC/SNC to Compliant Status (Percentage)SRFThis chart shows the percentage of major facilities that had a manual override of reportable noncompliance or significant noncompliance in EPA's data system (ICIS-NPDES) to compliant status.

2 To be developed

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Inspections

This section shows the distribution of inspected facilities by inspection lead agency and permit type. The following table describes the available reports available in this section of the dashboard. See ECHO's data entry requirements table for more information on data entry requirements related to the NPDES program data.

Report TitleData SourceDashboard Shows
Facilities Inspected by State or EPA (Majors, %)SRFThis shows the percentage of major inspected facilities by the lead inspection agency (e.g., state or EPA).
Facilities Inspected by State or EPA (Non-Majors Individual, %)SRFThis shows the percentage of non-major inspected facilities (with individual NPDES permits) by the lead inspection agency (e.g., state or EPA).
Facilities Inspected by State or EPA (Non-Majors General Permit, %)SRFThis shows the percentage of non-major inspected facilities (permitted under general permits) by the lead inspection agency (e.g., state or EPA).
Facilities Reviewed by State or EPA (Non-Major, Individual) (%)ANCRThis shows the percentage of non-major facilities (with individual NPDES permits) that are reviewed by the permitting authority (e.g., state or EPA). Percentages calculated from state provided summary data on individually permitted non-major facilities. "Reviewed" means that the permitting authority compared effluent limits for a facility against its reported discharge monitoring data at least once during the year.

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Violations

This section shows the percentage of violations by permit type, by permitting issuing agency (state or EPA), and violation severity. More information on the types of violations are described above in the Activity Dashboard section of this help file. The following table describes the available reports available in this section of the dashboard. See ECHO's data entry requirements table for more information on data entry requirements related to the NPDES program data.

Report TitleData SourceDashboard Shows
Facilities in Noncompliance (%)SRF & ANCRThis shows the percentage of facilities by NPDES permit type (e.g., major, non-major) in noncompliance. Data on facilities with permits designated as majors and non-majors are from ICIS-NPDES and the ANCR, respectively.
Facilities in Noncompliance (Majors, %)SRFThis shows the percentage of individually permitted facilities designated as majors by noncompliance status [e.g., Noncompliance (SNC), Noncompliance (Not SNC)].
Facilities in Noncompliance (Non-Majors, %)ANCRThis shows the percentage of individually permitted facilities designated as non-majors in noncompliance by permitting authority (e.g., State, EPA).
Percentage of Inspected Facilities with Single Event Violation (All, %)SRFThis shows the number of inspected facilities with single event violations by permitting authority (e.g., State, EPA).

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Serious Violations

This section shows the distribution of serious violations by permit type and by permitting issuing agency (state or EPA). The following table describes the available reports available in this section of the dashboard. See ECHO's data entry requirements table for more information on data entry requirements related to the NPDES program data.

Report TitleData SourceDashboard Shows
Major Facilities in Significant Noncompliance (%)SRFThis shows the percentage of individually permitted facilities designated as majors in serious noncompliance.
Non-Major Facilities in Category 1 Noncompliance (Ind. %)ANCRThis shows the percentage of individually permitted facilities designated as non-majors in Category 1 (most serious) noncompliance. Percentages calculated from state provided summary data on individually permitted non-major facilities. Some states did not provide the split between Category 1 noncompliance (most serious) and Category 2 noncompliance. For these states no data is shown on this chart.
Facilities One or More Years Behind Construction Schedule Deadlines (%, Non-Major Ind.)ANCRThis shows the number of individually permitted facilities designated as non-majors that are one or more year behind required construction schedules. These construction schedules often relate to the installation of new and improved wastewater treatment equipment.

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Enforcement Actions

This section shows the distribution of enforcement actions by enforcement action type and by enforcement action lead agency (state or EPA). The following table describes the available reports available in this section of the dashboard. See ECHO's data entry requirements table for more information on data entry requirements related to the NPDES program data.

Report TitleData SourceDashboard Shows
Major Facilities in Noncompliance with Formal Enforcement Actions (%)SRFThis shows the percentage of facilities designated as majors with a formal enforcement action (bars) and the percentage of individually permitted facilities designated as majors in serious noncompliance type (dotted line).
Non-Major Facilities in Noncompliance with Formal Enforcement Actions (%) (ANCR Data)ANCRThis shows the percentage of facilities designated as non-majors with a formal enforcement action (bars) and the percentage of individually permitted facilities designated as non-majors in Category 1 (most serious) noncompliance type (dotted line). Percentages calculated from state provided summary data on individually permitted non-major facilities. Some states did not provide the split between Category 1 noncompliance (most serious) and Category 2 noncompliance. For these states the line showing Category 1 noncompliance is shown at 0% on this chart.
Facilities with Timely Enforcement Action as Appropriate (Majors, Individual, %)SRFThis shows the percentage of facilities designated as majors (individual permits) with a timely enforcement action as appropriate. EPA policy requires such an action for 98% of these facilities.
Noncompliance & Enforcement Actions Comparison - MajorsSRFThis shows the number of facilities designated as majors in noncompliance and serious noncompliance alongside the number of facilities designated as majors with an enforcement action and the number of facilities with a formal enforcement action.
Noncompliance & Enforcement Actions Comparison - Non-Majors (ANCR Data)ANCRThis shows the number of facilities designated as non-majors in noncompliance and Category 1 (most serious) noncompliance alongside the number of facilities designated as non-majors with an enforcement action and the number of non-facilities with a formal enforcement action.

Technical Information

EPA groups enforcement actions into two categories: Formal Actions and Informal Actions. Formal actions include the issuance of an Administrative Order or a Consent Decree. Informal actions include Notice of Violation/Potential Penalty, Letter of Violation, or Warning Letter.

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Penalties

This section shows the distribution of enforcement actions with monetary penalty by enforcement action lead agency (state or EPA). The following table describes the available reports available in this section of the dashboard. See ECHO's data entry requirements table for more information on data entry requirements related to the NPDES program data.

Report TitleData SourceDashboard Shows
Median Monetary Penalty (All)SRFThis shows the median amount of assessed penalty ($) by permitting authority (e.g., State, EPA).
Number of Enforcement Actions with Monetary Penalties (All)SRFThis shows the number of facilities with an enforcement action with a monetary penalty by permitting authority (e.g., State, EPA).
Total Monetary Penalties Assessed (All)SRFThis shows the amount of assessed penalties ($) by permitting authority (e.g., State, EPA).
Total Monetary Penalties Assessed (Non-Major, Individual) Source: ANCR DataANCRThis shows the total amount of monetary penalties assessed by the permitting authority (e.g., State, EPA) for non-major individually permitted facilities.

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Data Sources

There are several sources of data for these dashboard reports and these data sources are described in detail below. For a comprehensive summary, visit the ECHO Clean Water Act (CWA) Dashboard Data Sources and Formulas page.

State Review Framework

For fiscal years 2008 to 2010 and the current fiscal year to date the dashboard presents uses the State Review Framework (SRF) metrics with production data from the Permit Compliance System (PCS) and the Integrated Compliance Information System for the National Pollutant Discharge Elimination System (ICIS-NPDES). For fiscal year 2011, the dashboard presents SRF metrics that were captured from the PCS and ICIS-NPDES in August 2012. We refer to the captured data as "frozen," meaning it will not change. Production data is subject to change as PCS and ICIS-NPDES are updated. Dashboard reports that are built off of SRF data are "drillable" - meaning that users can click on the report to "drill" in a see the underlying data that the dashboard uses to create each chart. More information on how EPA derived the SRF metrics and the labeling is available below:

These data are provided by authorized states and EPA Regional offices. ECHO's data entry requirements table is designed to help users understand where data is more complete.

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Annual Noncompliance Report for Non-Majors

This Annual Noncompliance Report (ANCR) provides valuable information about the state of compliance among individually-permitted non-major facilities that report self-monitoring data under the CWA NPDES. NPDES program regulation (40 CFR 123.45(c)), requires states to report summary information on violations and enforcement activities at individually permitted non-major facilities covered by the ANCR. Each year EPA collects these summary data from each state and territory and summarizes the results in a report. This dashboard presents "frozen" data from fiscal years 2009 and 2010. As more ANCR data become available these dashboards will be updated. Dashboard reports that are built off of ANCR data are not "drillable" as these data are only summary data from states and EPA Regions (i.e., you can't see the list of facilities for each ANCR summary data metric). More information on these ANCR metrics is available below:

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EPA Office of Water NPDES Permits Backlogged List

The CWA specifies that NPDES permits may not be issued for a term longer than five years [see CWA Section 402(b)(1)(B); 40 CFR 122.46(a)]. Permittees that wish to continue discharging beyond the five year term must submit a complete application for permit renewal at least 180 days prior to the expiration date of their permit. If the permitting authority receives a complete application, but does not reissue the permit prior to the expiration date, the permit may be "administratively continued." Permits that have been administratively continued beyond their expiration date are considered to be "backlogged." Where information is available, facilities awaiting their first NPDES permits are also considered part of the NPDES permit backlog.

EPA's Office of Water maintains a list of backlogged NPDES permits, which it updates on a bi-annual basis with Regions and states. EPA will update this dashboard with the latest version of the Office of Water's backlogged list as it becomes available. Dashboard reports that are built off of the Office of Water's backlogged list are "drillable" - meaning that users can click on the report to "drill down" to see the underlying data that the dashboard uses to create each chart.

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EPA Office of Water NPDES Permit Program State Authorization

States who want to be authorized to administer the NPDES program must complete a process that is defined by the Clean Water Act Section 402 (b) and 40 CFR Part 123. The NPDES Program consists of various components, including:

  • NPDES Base Program for municipal and industrial facilities,
  • Federal Facilities,
  • General Permitting,
  • Pretreatment Program, and
  • Biosolids.

A state may receive authorization for one or more of the NPDES Program components. 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.). These dashboards use data available from EPA's Office of Water website to indicate the NPDES program components that are administered by the state.

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