Compliance Actions
Overview
Compliance actions—also referred to as enforcement actions—include both formal and informal enforcement activities, such as warning letters, notices of violation, administrative orders, or consent decrees.
Compliance Action Statuses
Compliance action statuses are divided into three main categories—Draft, Active, or Closed—which drive system behavior. The specific statuses within each category are configurable, and some implementations may include additional statuses not listed below.
Status Category | Status | Description | Notes |
|---|---|---|---|
Draft | Pending | The compliance action is not yet in effect. | This is the default status for all new compliance actions. |
Active | Issued | The compliance action is in effect. | This status applies only to informal compliance actions. |
Entered | The compliance action is in effect. | This status applies only to formal compliance actions. | |
Appealed | The compliance action has been appealed by the responsible party. | ||
Closed | Closed | The compliance action has been closed. | This typically applies only to informal compliance actions, such as violation notices or compliance communications. |
Amended | The compliance action was amended. | Amendments may result from various causes, such as negotiation with the responsible party. | |
Superseded | A compliance action has been issued that replaces this one. | This status is automatically applied when a supersede relationship is indicated on the Related Actions tab. For more information, see the Working with Compliance Actions page. | |
Terminated | The compliance action was terminated. | This is typically the result of a formal action by the party subject to the order, demonstrating full compliance and eliminating the need for the order. | |
Withdrawn | The compliance action was created but later withdrawn. |
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Entry Error | The compliance action was entered in error. |
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Valid status transitions are defined in system configuration.
Status Changes that Affect Linked Violations
Some status changes automatically affect linked violations. Updating formal compliance actions to Closed or Terminated automatically changes the linked violation’s status to Resolved. Updating informal compliance actions to Closed or Terminated automatically changes the linked violation’s status to Addressed not Resolved.
Security and Permissions
A user’s ability to change an item’s status depends on their permissions and the item’s current status. In general, if the item is in an active status and the user has assigned work related to it—such as being the assigned processor or having an active workflow task—then the item is editable.
For more information, see the Security Groups page.
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