11/00/87
Docket Enhancements - FY 1988, Phase I
ENFORCEMENT DOCKET OPERATING PROCEDURES
DIRECTIVES TRANSMITTAL
NUMBER: 88-02
TITLE: Docket Enhancements - FY 1988, Phase I
DATE: November, 1987
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1. PURPOSE: Describe enhancements and changes to the Enforcement
Docket System that will be implemented in November, 1987.
2. ABSTRACT: Enhancements and changes have been made to the DOCKET in
the areas of "Case Category", "Type Case", "Laws",
"Pollutant", and "Type Violation", primarily to better
identify and track administrative enforcement actions.
3. DISPOSITION: NEW.
4. KEYWORDS: enhancements; case category; type case; laws; pollutant;
type violation; administrative actions.
DOCKET ENHANCEMENTS - FY 1988, PHASE I
Recent enhancements made to the Docket will go into production in
November, 1987. These enhancements are:
1. CASE CATEGORY (CCAT):
This field groups cases into broad categories and is used primarily
as a select criteria for report requests to aid in retrieval
efficiency. Thus, it is easy to include or exclude certain
categories of cases from the desired report.
EXAMPLE:
SELECT CCAT = A, N (select only adm. cases)
Additional values have been defined to give separate categories for
adjudicating and nonadjudicating administrative actions, for
citizen suits, and for other matters assigned and tracked. The
defined codes and descriptions are:
C - Civil Judicial
A - Adjudicatory Administrative Proceeding
N - Non Adjudicatory Administrative Proceeding
S - Citizen Suit
M - Matter (other categories)
Case category is automatically determined at the time the case is
initially entered by the value for TYPE CASE. See Appendix A for a
table that relates TYPE CASE to CASE CATEGORY for administrative
cases.
2. TYPE CASE (TYPC)
This field has been expanded from 3 to 7 characters. This change
has been made to accommodate the new values to be used for
administrative enforcement actions (see Enforcement Docket
Operating Procedures, Number: 88-03; Title: Guidelines For
Tracking Administrative Enforcement Actions). The "TYPE CASE"
field is used for administrative enforcement actions to define the
section of the statute authorizing the action (see Appendix A).
The values for TYPE CASE for civil judicial actions continue to be:
CIV - civil
CIC - civil contempt
CIA - amendment to consent decree
BNK - bankruptcy
PFN - pre-filing negotiations
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3. LAW (LAWS)
This field has been expanded from 5 to 7 characters. This change
will allow the common statute abbreviations to be used; CRCLA is
now entered as CERCLA and the corresponding change has been made to
all cases in the data base.
The LAW and SECTION fields are used to define the statute and
section of the statute which has been violated. When an action
does not allege a violation of a section, enter the authorizing
section.
EXAMPLE:
RCRA Section 3008(h) actions
CERCLA Section 106 orders
Notes:
The following guidelines should be followed in entering
the statutes and corresponding sections:
1. The primary statute should be entered first. This
insures that the HQ Division (HQDV) corresponds to
the first statute entered.
2. Use the section designation from the published statute; the
U.S.C. (or U.S.C.A.) should never be cited as the
statute/section.
3. Parentheses should not be used when entering the
section of a statute:
EXAMPLE:
ENTER: RCRA/3008A:
DO NOT ENTER: RCRA/3008(A).
4. Enter separate sections of the statute as separate
entries:
EXAMPLE:
ENTER: CERCLA/106 and CERCLA/107;
DO NOT ENTER: CERCLA/106,107.
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4. POLLUTANT (POLL):
This field has been expanded from 5 to 20 characters. This will
accommodate longer names of chemical substances. Standard
abbreviations and codes are required so that this field may be used
as a selection criteria, not just a print field. A file of
standard codes, abbreviations, and descriptions is contained in the
data set: BDROPMO.POLLUTNT. If the table does not contain a
particular pollutant, contact Docket User Support (FTS-382-2567) to
request that a new one be added.
CAUTION: With the expansion of certain data fields, users should examine
existing standard QUICK LOOK reports and determine if the expansion of the
size of the above data fields will cause the PRINT LINE to exceed 132
characters. Adjustments may be required such as eliminating one or more
data fields or reducing the print length of a field.
EXAMPLES-
CSNM(30) to CSNM(25)
TYPC to TYPC(3)
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Appendix A
Administrative Enforcement Actions
(non-judicial)
HQ CASE TYPE
STATUTE DIV CATEGORY* CASE DESCRIPTION
CAA AIR A 120 Noncompliance Penalty Proceeding
N 113A3 Immediate Compliance Order (no penalties)
N 113D3 Delayed Compliance Order (no penalties)
N 167 PSD Order (no penalties)
CWA WAT N 309 Compliance Order (no penalties)
A 309G1 Class I Administrative Penalty Order
A 309G2 Class II Administrative Penalty Order
A 311J SPCC Compliance & Penalty Order
SDWA WAT N 1414G2 PWS Compliance Order (no penalties)
A 1414G3 PWS Penalty Order (for violation of a
OWS Compliance order)
A 1423 UIC Compliance and Penalty Order
N 1431 Emergency Administrative Order
(no penalties)
MPRSA WAT A 105 Compliance and Penalty Order
TSCA PES A 16 Compliance and Penalty Order
13 SSUR Order
FIFRA PES A 14 Compliance and Penalty Order
RCRA HAZ A 3008A Compliance and Penalty Order
A + 3008H Corrective Action Order (no penalties)
N 3013 Compliance Order (investigation)
(no penalties)
N 7003 Compliance Order (Cleanup) (no penalties)
A 9006 LUST Compliance & Penalty order
A 9003H LUST Action Order/Petroleum
CERCLA HAZ N 106 Compliance Order (Cleanup) (no penalties)
N 104E Compliance Order (violation of Information)
request or access request) (no penalties)
A 109A Class I Administrative Penalty Order
A 109B Class II Administrative Penalty Order
* A = Adjudicatory proceedings
N = Non-adjudicatory proceedings
+ Although RCRA Section 3008(h) Orders do not include penalties, an
adjudicatory process is utilized.
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