Working with Compliance Actions
Searching Compliance Actions
Compliance actions can be searched through global search or the navigation menu when viewing a site.
Search Compliance Actions Using Global Search
Click the global search field and select the Compliance and Enforcement topic to open the Compliance and Enforcement Search page. For more information on global search and search pages, see the Search by Topic page.
The Compliance and Enforcement Search page allows compliance actions to be searched by various criteria, such as site name, primary program, type, and responsible party.
Use the sort buttons or filters at the top of each column to locate a specific compliance action. When using a filter, the list dynamically updates to display all compliance actions that match the entered value.
Click a row to view or edit details for that compliance action.
Searching Compliance Actions Using the Site Menu
When viewing a site, click the Compliance and Enforcement Actions menu item to view compliance actions associated with it. Click a row to view or edit details for that compliance action.
Creating a Compliance Action
Compliance actions may be created from the site menu or from an evaluation.
Creating a Compliance Action from a Site
To create a compliance action from a site:
Navigate to the site.
Click the Compliance and Enforcement Actions menu item. Existing compliance actions for the site are listed.
Click the Add Compliance Action button at the top of the page to open the Compliance/Enforcement Action Details page.
Complete relevant fields. For information on fields on this page, see the Viewing and Editing Compliance Action Details page.
Click the Save button.
Creating a Compliance Action from an Evaluation
Creating a compliance action from an evaluation is more efficient when the action is the direct outcome of an evaluation or inspection, as it allows the evaluator to easily link related violations.
To create a compliance action from an evaluation:
Navigate to the Violations tab of the evaluation.
Use the checkboxes to select one or more violations to link to the new compliance action. This may include violations created by the evaluation and/or violations created by another evaluation but reviewed for this one.
Click the Create Compliance Action button to open the Compliance/Enforcement Detail page.
Complete relevant fields. For information on fields on this page, see the Viewing and Editing Compliance Action Details page.
Click the Save Compliance Action button. A pop-up window appears in the lower-right corner of the page with a link to the new compliance action.
If the pop-up window has closed, the new compliance action can also be accessed through the violation by following these steps:
Open any violation linked to the new compliance action to access the Violation Details page.
Navigate to the Docket tab.
Click the compliance action.
Issuing a Compliance Action
To issue a compliance action, its status must be updated to Issued (for informal actions) or Entered (for formal actions).
To update the compliance action status and issue it:
Click the Update Status button on the Compliance/Enforcement Action Details page to open the Update Compliance Action Status page.
Select Issued or Entered from the Status 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 a Reason for Status Change (optional).
Click the Save button.
The same process can be followed to update a compliance action to another status. For more information on compliance action statuses, see the Compliance Actions page.
Linking a Compliance Action to an Evaluation
A compliance action can be linked to one or more evaluations through violations.
To link a compliance action to an evaluation:
Navigate to the Linked Violations tab of the Compliance/Enforcement Action Details page.
Click the Link Violation(s) button to open a list of eligible violations.
Select the violation(s), then click the Link button.
Resolving a Compliance Action
To resolve or close a compliance action:
Click the Update Status button on the Compliance/Enforcement Action Details page to open the Update Compliance Action Status page.
Select the appropriate closed status from the Status dropdown list. (For more information on compliance action statuses, see the Compliance Actions page.)
If configured, enter a Resolution Date and Resolution Description.
Click the Save button.
Superseding a Compliance Action (Escalating Enforcement)
A compliance action can supersede another, which can be useful when escalating an informal action to a formal action. For example, a violation notice may be superseded by a second violation notice.
To supersede a compliance action:
Create a new compliance action to supersede the existing action. The new action must be in Pending status.
Open the Related Actions tab on the Compliance/Enforcement Action Details page for the new action.
Click the Supersede button. A list of compliance actions eligible to be superseded appears, with “Step 1 of 4” in the footer.
Select the checkbox next to the compliance action to be superseded, then click the Next button.
On step 2, select compliance schedules from the superseded action to copy to the new action, then click the Next button.
On step 3, select violations from the superseded action to link to the new action, then click the Next button.
On step 4, select documents from the superseded action to link to the new action.
On step 5, select program components from the superseded action to copy to the new action. The system will validate that each component does not already exist on the new action.
Click the Save button. The Related Actions tab will display the compliance actions superseded by the current action. This information will also appear in the sidebar of the Compliance/Enforcement Action Details page for both actions.
When the superseding action transitions to Issued or Entered status, the superseded actions’ status automatically changes to Superseded.
Adding a Public Notice to a Compliance Action
For information on adding a public notice for a pending compliance action, see the Public Notice Events page.