Compliance Actions
Overview
Compliance actions, often referred to as enforcement actions, encompass both formal and informal enforcement activities.
Examples of compliance actions include:
Warning letters
Notices of violation
Administrative orders
Consent decrees
Compliance actions have the following features:
A unique compliance action number, which is automatically assigned based on a numbering scheme configured for the action type by a system administrator.
Classification into types and categories set by a system administrator.
A compliance action status (see description of statuses below).
An action date, which is the date that the compliance action was entered or issued.
The ability to reference violations (recorded via an evaluation) that triggered or substantiated the action.
Schedules that can be defined for reporting or other requirements.
The ability to define fines and stipulations. Fines may be assessed and invoiced as part of the compliance action issuance or after issuance. Stipulations may specify potential fines the responsible party may incur and the intervals at which they apply, such as per event, per month, or per occurrence.
The option to be designated as confidential, which limits access to the compliance action record by unprivileged users.
The ability to supersede (or be superseded by) another compliance action. This can be useful when escalating a compliance action from an informal action to a formal action. When a compliance action is entered or issued that supersedes another action, the superseded compliance action status is updated to Superseded.
Other shared attributes, such as events, documents, contacts, and program components. Default program components are automatically added to the compliance action when the action is created.
Compliance Action Status
The status of a compliance action tracks where the action is in its lifecycle. All functional area items in nVIRO fall into one of three major status categories: Draft, Active, or Closed.
Valid status transitions are defined in system configuration. Some implementations may include additional statuses not listed below.
Status Category | Compliance Action Status | Status Description | Status Transition Violation Impact |
|---|---|---|---|
Draft | Pending | Initial status of a compliance action. | |
Active | Issued | The compliance action is in effect. Applies only to informal enforcement actions. | |
Entered | The compliance action is in effect. Applies only to formal enforcement actions. | ||
Appealed | The compliance action has been appealed by the responsible party. | ||
Closed | Closed | The compliance action has been closed. A closed action is typically taken on informal actions, such as violation notices or compliance communications. | For formal compliance actions, this automatically updates the related violation’s status to Resolved. For informal compliance actions, this automatically updates the related violation’s status to Addressed not Resolved. |
Amended | The compliance action was amended, such as through negotiation with the responsible party. | ||
Superseded | This status is automatically applied when a compliance action is issued that replaces this one. A supersede relationship must be indicated on the Related Actions tab for this to occur. | ||
Terminated | A formal action has been taken by the party subject to the order, demonstrating they have fully complied and the order is no longer required. | For formal compliance actions, this automatically updates the related violation’s status to Resolved. For informal compliance actions, this automatically updates the related violation’s status to Addressed not Resolved. | |
Withdrawn | The compliance action was created but later withdrawn. | ||
Entry Error | The compliance action was entered in error. |
Security and Permissions
The ability to change an item’s status depends on the user’s permissions and the current status of the item. 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 will be editable.
For more information, see the Security Groups page.
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