Searching Compliance Actions

Compliance actions can be found in one of two ways

Searching Compliance Actions from the Home Menu

Click the Home tab on the left-hand navigation pane, select the Compliance and Enforcement navigation menu item. The compliance action search screen is displayed, allowing for searching of compliance actions by various criteria such as site, status, and compliance action type.

Click the Open button to view or edit the compliance action details for the selected compliance action.

Searching Compliance Actions from the Site Menu

Click the Site tab on the left-hand navigation pane, click the Compliance and Enforcement Actions navigation menu item. The compliance actions associated with the currently-selected site are displayed.

Click the Open button to view or edit the compliance action details for the selected compliance action.

Creating a Compliance Action

Compliance actions may be created in one of two methods–from the Site menu, or from an Evaluation.  

Creating a Compliance Action from the Site

To create a compliance action from a site:

• Navigate to the site for which the compliance action is being created.
• Click the Compliance and Enforcement Actions menu item.
  • Any existing compliance actions for the site are displayed in a list.
• Click the Add Compliance Action button at the top of the screen.
  • A Details screen will be displayed to capture the required information about the compliance action.

• Select one or more Program Areas that the com

  pliance action relates to and click the Add button.

• Select the Action (e.g., administrative, formal, civil, criminal).
• Specify the Action Type (these are filtered based on the action selected).
• Update the Workgroup, Processor, and Description as desired.
• Click the Save button.
  • The compliance action is created and the full multi-tab compliance action screen is displayed.

Creating a Compliance Action from an Evaluation

Compliance actions may also be created from an existing evaluation.  Creating the compliance action from the evaluation is more efficient if the action is being created as direct outcome of an evaluation / inspection, as this method provides an easy way for the evaluator to link the violations identified by the evaluation at the time the compliance action is created.

To create a compliance action from an evaluation:

• Navigate to the Violations tab of the evaluation.
• Select one or more violations that should be linked to the new compliance action by clicking the checkbox next to the evaluation.  This may include violations created by the evaluation or violations created by another evaluation but reviewed by this violation.
• Click the Create Compliance Action button.
  • A Compliance Enforcement Detail page is displayed.

• Select the Program Area that the compliance action relates to (this will default to the program area of the current evaluation).
• Select the Action (e.g., administrative, formal, civil, criminal).
• Specify the Action Type (these are filtered based on the action selected).
• Specify the Workgroup and Processor, and enter a Description as desired.
• Click the Save Compliance Action button
  • The compliance action is created and a pop-up window is displayed on the right-lower corner containing a link to the newly created compliance action.

Issuing a Compliance Action

Issuance of a compliance action requires updating the status of the compliance action to Issued (or Entered for formal actions).

To issue a compliance action:

• From the compliance action detail screen, click the Update Status button
  • A pop-up window appears.
• Select Issued or Entered from the Status field dropdown list.
  • The system will validate whether the compliance action may be issued.  Correct any errors encountered.
• Select the Effective Date for the issuance.
• Enter the Reason for Status Change (optional).
• Click the Save button.

Updating a Compliance Action to another Status

Updating a compliance action to any other status such as Closed, Appealed, Pending or Withdrawn.  

To update status:

• From the compliance action detail screen, click the Update Status button.
  • A pop-up window appears.
• Select the new status from the Status field dropdown.
  • Select the Effective Date for the issuance (if presented).
• Enter the Reason for Status Change (optional).
• Click the Save button.

Linking Compliance Action to an Evaluation(s)

Compliance action can be linked to one or more evaluations through violations created by an evaluation.

To link a compliance action to an evaluation:

• Navigate to the Linked Violations tab of the Compliance and Enforcement Actions.
• Click the Link Violation(s).
• A screen is displayed with a list of violations that can be linked.
• Select the violation(s) then click the Link button.