Working with Compliance Actions
- John Kostakos
- Megan Sproul
- Tiffany Portman
Searching for Compliance Actions
Compliance and Enforcement Actions may be searched from the Global Search, or, when viewing a site, from the Site Navigation Menu.
Search Compliance Actions from the Global Search
To search for Compliance Actions using the Global Search
Click into the Global Search field.
Click Compliance and Enforcement beneath the Search by Topic.
The Evaluation search page is displayed, allowing for the searching of submissions by various criteria such as site name, form type, submission status, and processor (See Navigation, Searching, and User Profile ).
Compliance and Enforcement may be named differently from one agency to another.
Â
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 and 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 using one of two methods: from the Site menu or from an evaluation. Â
Creating a Compliance Action from a 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 page.
A Details page is displayed to capture the required information about the compliance action.
Select one or more Program Areas that the compliance action relates to, and click the Add button.
Select the Action (e.g., administrative, formal, civil, or 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 page is displayed.
Creating a compliance action using the method above will create a compliance action that is not linked to an evaluation. Read more about linking a Compliance action to an Evaluation.
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 created as the direct outcome of an evaluation or 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 for this violation.
Click the Create Compliance Action button.
The Compliance/Enforcement Detail page is displayed.
Select the Program Area that the compliance action relates to (this defaults to the program area of the current evaluation).
Select the Action (e.g., administrative, formal, civil, or 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 in the right-lower corner of the page containing a link to the newly created compliance action.
Â
If the pop-up window has closed, the new compliance action may also be accessed from the evaluation via the violation. To do this,
Open any one of the violations to view the Violation Details page.
Click the violation Docket tab to display the violation relations, which should list the newly created compliance action.
Click the Open button on the compliance action to display the compliance action details.
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 page, 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
It will often be necessary to update a compliance action status from Issued to Closed, Appealed, Pending, or Withdrawn. Â
To update the status:
From the compliance action detail page, 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 status change (if presented).
Enter the Reason for Status Change (optional).
Click the Save button.
Linking a Compliance Action to an Evaluation(s)
A 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/Enforcement Actions Details page.
Click the Link Violation(s) button.
A page is displayed with a list of violations that can be linked.
Select the violation(s), then click the Link button.
Superseding a Compliance Action (Escalating Enforcement)
A compliance action can supersede another compliance action. For example, a Violation Notice might be superseded by a Second Violation Notice.
A compliance action must be in Pending status in order to supersede another action.
To supersede a compliance action, perform the following steps:
Create and save a new compliance action that will supersede an existing action.
Click the Related Actions tab.
Click the Supersede button. A list is displayed showing compliance actions that are available to be superseded by the current compliance action. Note that the screen displays "Step 1 of 4" in the footer. Check the boxes next to the compliance actions to be superseded and click Next.
On step 2, select the compliance schedules on the source compliance action(s) to copy forward to the current compliance action, and click Next.
On step 3, select the violations from the source compliance action(s) to link to the current compliance action, and click Next.
On step 4, select the documents from the source compliance action(s) to link to the current compliance action.Â
Finally, click Save to finish.
The Related Actions list will then list the compliance actions that have been superseded by the current compliance action.
Note: When the superseding action transitions to Issued or Entered status, the linked, superseded compliance actions' status will update to Superseded.
If a compliance action is superseded by or supersedes another compliance action, the information will be displayed on the sidebar of the Compliance Action Details screen along with links to the related action.
Adding a Public Notice to a Compliance Action
Public notices are added from a submission record in the Application/Request functional area only.
To add a new public notice:
Navigate to the desired submission.
Navigate to the Events tab for the submission.
Click the Add Event button.
Click Add Public Notice - Pending Compliance Action. The New Event page is displayed: