Wastewater Dashboard Help

On this page: 

• Overview
• Data Sources
• Using the Comparative Map
• Using the Dashboard
• Chart Types/Metric Views
  • Facilities
  • Compliance Monitoring Strategy (CMS) Activities
  • Violations
  • Significant (SNC) or Category I Noncompliance
  • Enforcement Actions
  • Penalties
• Data Dictionary
• Common Questions

 Overview

The EPA/State Wastewater Dashboard provides an overview of Clean Water Act (CWA) regulatory oversight activities of authorized agencies and EPA. The dashboards provide an easy-to-use summary of key activities to answer questions like: which facilities are regulated, how many have had compliance monitoring activities (e.g., inspections), how many have alleged violations, and how many enforcement actions have been taken.

 Data Sources

The data source for the EPA/State Wastewater Dashboard is EPA's Clean Water Act data program system, Integrated Compliance Information System National Pollutant Discharge Elimination System (ICIS-NPDES), which contains permit information, limits related to discharges and operations, and discharge monitoring data for facilities managed under the CWA NPDES program. Data are refreshed weekly and subject to change as the data system is updated. For information about ECHO data sources and refresh dates, please see the About the Data page.

Data for the current federal fiscal year and nine previous federal fiscal years are presented to show multi-year trends. The federal fiscal year is from October 1 to September 30.

About the Data and Assessing State Performance

State performance is a complex and difficult matter to analyze and explain. Data alone cannot provide a complete picture of performance. Many states have issues with data completeness and accuracy, and without investigation and program knowledge, data can be misleading or misinterpreted. Often, there is important context around data that must be taken into account to provide an accurate picture. For example, not all activities and violations may be reported, some states are not authorized to run programs, current year data may still be in the process of being reported, and states may have alternative inspection plans. EPA uses data, like the information here, as a starting point for assessing state performance, but not as the sole measure of performance. More in-depth program reviews (see State Review Framework Reports) are used to identify needed state program improvements. While file reviews and management discussions can add to our understanding, the many layers of context and information make it difficult to portray performance in a consistent and transparent way.

Caveats

Activities and Violations

Data shown in the State Dashboards and Comparative Maps are based on data reported to EPA and may not reflect all compliance monitoring/inspections, enforcement, or the full extent of noncompliance within a state. State environmental agencies may have more information on activities and noncompliance within their state on their agency websites. Links to state agency websites can be found on the Health and Environmental Agencies of U.S. States and Territories page. Activities for terminated permits are not included in the dashboard.

Authorization 

Some states/territories do not have authorization/delegation to enforce any or all regulations implemented under the Clean Water Act. In these instances, when State is selected as the Lead Agency, it may appear that no activity was conducted. Activity in these states/territories may be displayed when EPA is selected as the permitting or lead 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 (e.g., NPDES Base Program for municipal and industrial facilities, Federal Facilities, General Permitting, Pretreatment Program, and Biosolids.) For example, if the state had not received authorization for federal facilities, EPA would continue to issue permits to federal facilities (e.g., military bases, national parks, federal lands, etc.). For more information about state authorization, please visit the NPDES State Program Information page.

Current Year

The most recent federal fiscal year may not show a complete dataset because the year is not completed.

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

 Using the Dashboard

Chart Functionality

The dashboard is organized in a structure logical for the scope and activities of federal compliance and enforcement programs. To learn more about these programs, visit EPA's Basic Information on Enforcement page. 

There are six chart types, described in the chart types section below. Select the pulldown menu at the top of each chart to see a list of available chart metric views.        

For the best user experience with the dashboard, we recommend setting the browser zoom level between 80 and 90%. If you are having trouble viewing parts of the dashboard, you can try experimenting with this zoom level.       
Expand any chart to full screen by clicking the crossed arrows iconat the top right of the chart. 

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

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

Filters

The dashboard defaults to show nationwide activity and performance metrics for the most recent ten federal fiscal years. Six filters are available at the top of the dashboard, which allow users to create many possible customizations of the charts.       

Click on any of the filters to see the list of values. Note that after selecting a filter, a search bar will appear that allows users to search for their value of interest. Multiple values may be selected by clicking on multiple selection options. Current selections will be highlighted in green. The charts dynamically update as the user selects value(s) from the dropdown list.       

Filter selection changes will be saved either by clicking away from the filter dropdown or by clicking the green Confirm Selection button.       

If a user selects or de-selects filter options but does not want to save the changes, they can be canceled by clicking the red Cancel Selection button.       

Note that the Cancel Selections button does not clear filter selections. An individual filter can be cleared of all selections by clicking the Clear Selections to the left in the filter dropdown. There is also a Clear All Selections button at the top left of the dashboard page. 

Additionally, the dashboard charts are interactive; users can click directly on a portion of the chart (e.g., the bars on the chart or items in the chart legend) to change/add filters.       

Current filter selections will appear as tabs at the top of the screen, above the page title. Clicking on the "x" button on the filter tab will remove the filter.

Filters available on the EPA/State Wastewater Dashboard include: 

State

Filter the dashboard data by the state the facility is permitted in.  Selecting "State" includes states, tribes, and territories authorized to administer the NPDES program and corresponds to the first two characters of the NPDES ID.

EPA Region

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

Facility Type

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

Permit Type

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

Permitting Agency

Filter the dashboard data by permitting agency (EPA or State). Unpermitted facilities have a 'Permitting Agency' associated. In these situations, the Permitting Agency represents the agency that first entered a record or activity (e.g., compliance monitoring activity/inspection, violation, or enforcement action) associated with the facility. 

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

Lead Agency

Filter the dashboard data by lead agency (EPA or State). Note that the lead agency refers to the agency that led the compliance or enforcement action, which is not necessarily the permitting agency.

• For Compliance Monitoring Activities, this refers to the agency that inspected the facility.
• For Enforcement Actions and Penalties, this refers to the agency that issued the enforcement action.

Selections here will filter results to facilities which have been subject to any compliance or enforcement action from the agency selected, regardless of which agency permitted the facility.

Federal Facility

Filter the dashboard data by Federal Facilities (Yes/No). A “Yes” indicates that the facility is owned or operated by the U.S. Federal Government, based on data available in ICIS-NPDES.

Tribe Name

Filter the dashboard data by a specific tribe name. The association of a facility to a tribe is based on comparing the best available spatial location of the facility to the U.S. Census Bureau’s tribal boundary layer. Some tribal areas may overlap, so a facility may be associated with more than one tribe. This is a geographic distinction and is not based on the permitting agency for the facility. To select all tribe names, use the three dot selection option and choose "Select all" from the dropdown menu.

 Using the Comparative Map

Map Functionality

The comparative map presents the same information as the dashboard in a format that allows users to compare national trends across different states and territories for a specific fiscal year. The comparative map defaults to show the total number of regulated facilities nationally by Facility State for the most recent complete fiscal year.

For the best user experience with the dashboard, we recommend setting the browser zoom level between 80 and 90%. If you are having trouble viewing parts of the dashboard, you can try experimenting with this zoom level.

Users may select a Map View to view the map by either Facility State or Activity State.

Select a Fiscal Year to view the comparative map for the specified federal fiscal year (i.e. October 1 - September 30)

Select a Metric View to update the data displayed in the map and the corresponding Key Performance Indicators (KPIs) directly above the map. The metric views available in the comparative map are the same data available in the dashboard. Please note that the comparative map does not break data down by lead agency or primary universe where noted in the documentation. However, users may filter on these values using the filters above the comparative map.

Users may filter on the selected metric with a subset of filters from the dashboard. Filter functionality is the same as the dashboard.

Above the map, Key Performance Indicators (KPIs) display national values for the selected filter/metric.

• The left KPI displays the Number of Selected Facilities Nationwide in Federal Fiscal Year. This value reflects any selected filters and the selected federal fiscal year.
• The right KPI displays the national count or average percentage for the selected metric. This value reflects any selected filters and the selected federal fiscal year.

Users may expand the map to full screen by clicking the crossed arrows icon at the top right of the map. Users can download the underlying map data in Excel format by selecting the download arrow icon .

The Other Areas table displays American territories, tribal areas, and jurisdictions under EPA regional purview.

 Dashboard Chart Types and Map Metric Views

The following describes the charts available within each of the six sections of the Wastewater Dashboard and Comparative Map metric views.

 Facilities

This section displays information about facilities regulated under the Clean Water Act. 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 and other agencies.

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 and other agencies 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. In most cases, EPA administers the NPDES program in Indian Country. Navajo Nation has an authorized NPDES program.

Note: the Facilities pie chart reflects the most recent year of all selected data. 

NPDES Facility and Permit Type 

In administration and oversight of the CWA NPDES wastewater discharge permit program, EPA classifies permit holders as either "major" or "non-major" dischargers. NPDES permitting authorities classify "major" facilities based on considerations such as toxic pollutant potential, ratio of discharge flow/stream flow volume, conventional pollutant loading, public health impact, water quality factors, and proximity to coastal waters. For example, EPA identifies municipal wastewater treatment plants that discharge 1 million gallons per day or more as major dischargers. All dischargers that do not meet the definition of "major" are referred to as "non-majors."

A National Pollutant Discharge Elimination System (NPDES) individual permit is written to reflect site-specific conditions of a single discharger (or in rare instances to multiple co-permittees) based on information submitted by that discharger in a permit application and is unique to that discharger. Individual permits are issued directly to an individual discharger. The dashboard also includes associated permit records, which are records associated to a NPDES permit and used for tracking purposes (e.g., biosolids program data can be reported as an associated permit record distinct from the POTW's permit record).  

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

Individual IU permits are for industrial users in a pretreatment program as NPDES indirect dischargers. Although an industrial user is not issued a NPDES Permit, a permit record is maintained for tracking purposes. Similarly, the permit type "unpermitted" is used to track facilities without an active permit but have records associated (inspections, violations, or enforcement actions) during the year. 

Facilities with a permits that have a NPDES data group number of G2C (No Exposure Certification (NOE)) or G2D (Low Erosivity Waiver or Other Waiver from Stormwater Controls (LEW)) are excluded from the dashboard, if there are no activities associated during the year, as these facilities have waivers rather than NPDES permits. 

 Compliance Monitoring Strategy (CMS) Activities

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

The national frequency goal for NPDES major facilities is for each to be inspected at least once every two years. The frequency goal for traditional non-major facilities is at least one at each facility every five years. States may choose to spread these evenly over the two and five year time periods (i.e., 50% and 20% coverage of major facilities and traditional non-major facilities each year, respectively), or may decide to unevenly plan over the two and five year time periods. The frequency goals for other non-major facilities vary depending on the type of facility. In addition, states are afforded flexibility under the CWA CMS that may accommodate alternative frequencies. For more information on NPDES frequency goals, including facility categories within the NPDES program that are not currently shown on the dashboards, please refer to CWA National Pollutant Discharge Elimination System Compliance Monitoring Strategy.

 Violations

This section displays information about CWA violations noted at regulated facilities. The violation data includes system-generated records. ICIS automatically generates three basic types of violations: schedule violations, effluent violations, and DMR non-receipt violations. For each of these three types of violations, there are one or two automatic processes that serve to generate the violations. For each type, there is a process that runs when certain data related to requirements or permittee performance are entered or edited.

In August 2023, EPA updated the EPA/State Wastewater Dashboard “Violations” charts to be specific to facilities with new violations during the fiscal year. This includes DMR reporting, effluent exceedance, permit schedule, compliance schedules, and single event violations with a start date in the new year. Violations are counted as new during the fiscal year based on the violation’s start date, which vary by violation type. 

• DMR Reporting = DMR Due Date
• Effluent Exceedances = DMR Monitoring Period End Date
• Permit or Compliance Schedule = Schedule Due Date 
• Single Event (SEV) = SEV Start Date

Prior to this update, the metrics counted facilities with new or ongoing effluent, schedule, or single events violations or an RNC or SNC status during the fiscal year. These criteria had excluded DMR reporting violations. The update removed the discrepancy between facilities with an RNC or SNC status and no violations during the year with the new violation-type flags. 

 Significant (SNC) or Category I Noncompliance

This section displays information about serious violations of environmental regulations determined at CWA regulated facilities. The national program database calculates the severity of violations, which have specific criteria specifying the duration, severity, and type of violations that rise to the level of Significant/Category I Noncompliance (SNC). SNC can occur at major facilities. The calculation of "Category I" violations is equivalent to the SNC calculations, but because the violations occur at smaller dischargers (non-major) EPA does not classify the violations as "SNC". Whether a violation is SNC or Category I has some bearing on the government response used to address the violation(s). Repeat SNC occurrences are typically addressed through formal enforcement actions, while Category I violations are often addressed via informal enforcement processes.

The compliance status for NPDES dischargers is typically determined by the comparison of discharge monitoring reports (DMRs) submitted by facilities to their permitted discharge limits. Both permit limits and discharge data must be present for the system to generate an accurate compliance status. EPA's data system uses a sophisticated algorithm that considers severity and duration of violations when determining whether a facility is considered to be in Significant/Category I Noncompliance (SNC), including state or EPA manually-entered compliance data, if present.

 Enforcement Actions

There are many tools available to EPA enforcement and compliance assurance programs. Some tools are used to notify regulated entities regarding potential violations (e.g., Warning Letter, Notice of Non-Compliance). Others are used to advise regulated entities of an impending enforcement action and invite settlement (e.g., Notice of Violation, Show Cause Letter, Pre-Filing Notice Letter, and Notice of Intent to File an Administrative Complaint). Others are the actual enforcement action (e.g., Administrative Penalty Order, Administrative Compliance Order).

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

Informal Action: Typically used to address less serious violations, an informal action must meet all the following criteria: 

1. Is issued by the regulatory agency in writing (paper or electronic) to the regulated entity, 
2. Is issued as a result of a “potential finding of violation” or a finding of violation, 
3. 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, 
4. Includes: 
   1. A statement that the regulated entity should take whatever action(s) is necessary to correct the potential finding of violation or finding of violation, 
   2. 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 
   3. 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, 
5. Is not independently enforceable, 
6. 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, 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 
7. 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 Action: Typically used to address more serious violations and may be independently enforceable, a formal action must meet all the following criteria: 

1. Is issued by the regulatory agency in writing (paper or electronic) to the regulated entity,
2. Is issued as a result of a “finding of violation”, a “finding of endangerment”, or a self-disclosure, 
3. Contains a description of the legal and factual basis for the action and states with reasonable specificity the nature of the finding of violation, 
4. 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 
5. 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). 

 Penalties

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

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

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

 Data Dictionary

Active

Facilities with a permit status of Effective, Administratively Continued, or Expired.

Classification

The dashboard classifies permit holders as: 

• Major (Individual)
• Major (General) 
• Major (Individual (IU))  
• Major (Associated Permit Record)
• Non-Major (Individual)
• Non-Major (General)
• Non-Major (Individual (IU))
• Non-Major (Associated Permit Record)
• Unpermitted

DMRs Expected (Facilities)

The count of expected DMRs, based on the unique grouping of NPDES ID, permitted feature, limit set designator, and DMR due date. 

DMRs Received (Facilities)

The count of DMRs submitted, based on the unique grouping of NPDES ID, permitted feature, limit set designator, and DMR due date. The count of DMRs received will be equal to or less than the DMRs expected. DMRs received is inclusive of DMRs where numeric data or a no data indicator (NODI) was reported, inclusive of noncompliant NODIs. 

Enforcement Action Types  

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

Informal CWA enforcement actions consist of the following:

• LOVWL - Letter of Violation/Warning Letter
• NOV - Notice of Violation
• NONC - Notice of Noncompliance Issued

Formal CWA enforcement actions include:

• CIV - Civil Judicial Action
• EOGOV - Emergency Order - Governor
• OSUSREV - Order of Suspension or Revocation
• SCWAAO - State CWA Non Penalty AO
• SCWAAPO - State CWA Penalty AO
• STAOCO - State Administrative Order of Consent

Facility  

Any facility that holds a National Pollutant Discharge Elimination System (NPDES) permit. 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 such a permit.

Facility Type  

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

Federal Fiscal Year  

The Federal Fiscal Year runs from October 1 to September 30 of the following year. Because the federal fiscal year differ from the fiscal years of individual states, users should take care when comparing results from the EPA/State Dashboards with stat-specific summaries of similar compliance and enforcement information.

 Permit Type 

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

Compliance Monitoring (Inspection) Types 

• On-Site
  • AFD - Animal Feeding Operation (AFO) Defined
  • AFN - AFO Designation
  • AU1 – Audit
  • AU2 – Audit (This compliance monitoring type is considered on-site unless the POTW does not have an approved pretreatment program.)
  • CBI – Biomonitoring
  • CEI – Evaluation
  • CE2– Evaluation
  • DIA – Diagnostic
  • FLP - Follow-Up
  • OPM - Operation and Maintenance
  • PIU - Non-Sampling
  • PSI - Sampling
  • ROS - Reconnaissance without Sampling
  • RWS - Reconnaissance with Sampling
  • SA1 - Sampling
  • TX1 - Toxics
  • TX2 - Toxics
• Off-Site
  • ADR - Asbestos Demolition and Renovation
  • AER - Aerial Photography
  • AU2 – Audit (This compliance monitoring type is considered off-site if the POTW does not have an approved pretreatment program.)
  • CAI - Compliance Assistance Inspection
  • CCP - Citizen Complaint
  • CDI - Case Development
  • CEF - Full Evaluation
  • CEP - Partial Evaluation
  • OSN -  Noncompliance Rate
  • OSV - On Site Visit
  • PRV - Plan Review
  • RMT - Remote Sensing
  • SCE - Schedule Evaluation
  • WIT - Witness Response Drill

Lead Agency 

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

• For Compliance Monitoring Activities, this refers to the agency that lead the compliance monitoring activity/inspection the facility.
• For Enforcement Actions and Penalties, this refers to the agency that issued the enforcement action.

NPDES (National Pollutant Discharge Elimination System) 

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

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

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

Penalties 

A monetary sanction, if deemed appropriate by the lead agency, incorporated into a settlement of civil administrative (Consent Agreements/Final Orders) or judicial actions (Consent Decrees) that might recover the economic benefit of noncompliance plus some appreciable amount reflecting the gravity of the violation. In the settlements, EPA or the state often require injunctive relief (actions needed to return to compliance and correct environmental damage) and the payment of penalties. Settlements also may include Supplemental Environmental Projects (SEPs), environmentally beneficial projects that a defendant/respondent agrees to undertake in settlement of an enforcement action, but which the defendant/respondent is not otherwise legally required to perform.

Permitting Agency 

The agency, either EPA or State, which initially issued a NPDES permit. “State” includes states, tribes, and territories authorized to administer the NPDES program.

Significant or Category I Noncompliance (SNC) 

The national program database calculates the severity of violations, which have specific criteria specifying the duration, severity, and type of violations that rise to the level of Significant (SNC) or Category I Noncompliance. SNC can occur at major facilities. The calculation of "Category I" violations is equivalent to the SNC calculations, but because the violations occur at smaller dischargers (non-major) EPA does not classify the violations as "SNC". Whether a violation is SNC or Category I has some bearing on the government response used to address the violation(s). Repeat SNC occurrences are typically addressed through formal enforcement actions, while Category I violations are often addressed via informal enforcement processes. The following violations are considered Significant (SNC) or Category I Noncompliance:

• Compliance/Permit Schedule - Reporting - Compliance schedule non-receipt.
• Compliance/Permit Schedule - Violations - An enforcement action has been issued, and the facility is not meeting its compliance schedule.
• Effluent - Monthly Average Limit - The facility has exceeded the monthly effluent restrictions established by a state or EPA on quantities, rates, and concentrations in wastewater discharges.
• Effluent - Non-monthly Average Limit - The facility has exceeded the non-monthly effluent restrictions established by a state or EPA on quantities, rates, and concentrations in wastewater discharges.
• Failure to Report DMR - Not Received - Discharge Monitoring Report (DMR) not received.

Violation Types 

• Effluent Exceedances - Some NPDES permittees are required to report their self-monitoring results on discharge monitoring reports (DMRs). Effluent exceedance violations are generated when a reported DMR value exceeded the limit value. This includes exceedances of permit limits, permit modification limits, stay limits, and enforcement/interim limits. A separate effluent exceedance violation is generated for each record on the report that exceeded its limit. 
• DMR Reporting - Some NPDES permittees are required to report their self-monitoring results on discharge monitoring reports (DMRs). DMR reporting violations are generated when a required record was not received within 30 days of the due date. This includes missing numeric values and when a noncompliant no data indicator (NODI) was reported. A separate DMR reporting violation is generated for each missing record. 
• Permit Schedule - Permit schedule violations are generated when date-based requirements are not met as part of a permit requirement. 
• Compliance Schedule - Compliance (enforcement) schedule violations are generated when date-based requirements are not met as part of an enforcement action requirement.
• Single Event Violation (SEV): Includes all violations that are not DMR reporting, effluent exceedance, permit schedule, or compliance schedule violations. These violations are either manually identified and reported (e.g., from an inspection) or generated automatically from electronically submitted program reports. 

 Common Questions

What is the NPDES Permit Program?

Under the Clean Water Act all facilities that discharge pollutants from any point source into waters of the United States are required to obtain a National Pollutant Discharge Elimination System (NPDES) permit. The permit provides two levels of control: technology-based limits (based on the ability of dischargers in the same industrial category to treat wastewater) and water quality-based limits (if technology-based limits are not sufficient to provide protection of the water body). The NPDES program also requires controls on industrial discharges to sewage treatment plants ("pretreatment program”) and the management and disposal of biosolids from sewage treatment plants ("biosolids program”).       
The CWA allows EPA to authorize the NPDES program to state, territorial, and tribal governments, enabling these agencies to perform many of the permitting, administrative, and enforcement aspects of the NPDES program. Most states have authorized NPDES programs. In these states, EPA still retains oversight responsibilities. EPA works closely with the states, territories, localities, and tribes to implement federal environmental programs. States, territories, and tribes authorized to manage federal programs must have enforcement authorities that are at least as stringent as federal law. EPA works with officials in these environmental, health, and agricultural agencies on strategic planning, priority-setting, and measurement of results.       
Finally, separate from the NPDES program, EPA uses its authority under Section 311 of the CWA to implement procedures, methods, equipment, and other requirements to prevent discharges of oil from vessels and facilities and to contain such discharges when they occur.

What are expectations related to compliance monitoring within states?

Please see ECHO's Compliance Monitoring Expectations page for more information.

What are the types of facilities regulated by EPA and the states under the CWA NPDES program?

All facilities that discharge pollutants through a point source into waters of the United States are regulated by EPA and authorized agencies under the NPDES program. These include municipal and industrial sources of wastewater pollution. The NPDES program also regulates wastewater from industrial facilities connected to the publicly-owned treatment works (POTWs) sewerage system through the pretreatment program and biosolids from POTWs through the biosolids program. Another main part of the NPDES program is regulating discharges related to wet-weather events. The majority of facilities covered by the NPDES program are stormwater discharging facilities. These wet weather enforcement programs regulate the following discharges:

• Stormwater Discharges From Municipal Separate Storm Sewer Systems (MS4s)
• Road-Related Municipal Separate Storm Sewer Systems (MS4s)
• Stormwater Discharges From Construction Activities
• Stormwater Discharges From Industrial Facilities
• Combined Sewer Overflows
• Sanitary Sewer Overflows
• Concentrated Animal Feeding Operations (CAFOs)

Where can I search for a particular facility to see if they have violations or find water quality data for the watershed where a NPDES permittee is located?

Please use the ECHO Wastewater/Stormwater/Biosolids Facility Search.

How can I download detailed information about compliance and enforcement activity?

ECHO integrates facility data from different EPA databases, including ICIS-NPDES. In the event that the facility searches available through ECHO do not meet your needs, datasets from the primary enforcement and compliance history databases are available.       
EPA also maintains the ECHO Exporter download, which provides a summary of all regulated facilities in one file. There are up to 130 data fields available for each facility, including the frequency of compliance monitoring activities/inspections, violations, actions, and penalties. The file includes Clean Air Act, Clean Water Act, Resource Conservation and Recovery Act and other data, such Toxics Release Inventory releases, industry codes, and permit types.