11/00/87
Guidance For Tracking Administrative Enforcement Actions
ENFORCEMENT DOCKET OPERATING PROCEDURES
DIRECTIVES TRANSMITTAL
NUMBER: 88-03
TITLE: Guidelines for Tracking Administrative Enforcement Actions
DATE: November, 1987
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1. PURPOSE: Explain how various data items are used, standard values,
and conventions when tracking administrative actions.
2. ABSTRACT: When entering and tracking administrative actions in the
DOCKET, certain conventions and definitions must be
followed and only particular data values are valid for
certain fields.
3. DISPOSITION: New.
4. KEYWORDS: administrative actions; case category; type case; law;
section; violation type; pollutant; date issued; date
concluded.
GUIDELINES FOR TRACKING ADMINISTRATIVE ENFORCEMENT ACTIONS
The various environmental statutes authorize EPA to take enforcement
actions for violations of provisions contained in the laws and accompanying
regulations. Three broad types of enforcement actions can be initiated:
administrative, civil judicial, and criminal. These guidelines pertain to
the entry and tracking of administrative enforcement actions in the
Enforcement Docket System (DOCKET) and describe the conventions and
definitions that have been established and what data values are valid for
certain data items.
The entry of administrative enforcement actions follow the general
"Guidelines for Initial Entry of Cases." The first step is to complete an
Administrative Case Data Form (Appendix A) for the proposed action and a
Facility Data Form (Appendix B) for the violating facility. The attorney
assigned to the matter is responsible for completing the forms. It is
essential that both forms be completed following the instructions and
definitions.
For administrative actions it is important that the attorney completing
the forms and the data analyst entering the data understand the meaning and
use of certain critical data fields.
CASE CATEGORY
TYPE CASE
LAW AND SECTION
VIOLATION TYPE
POLLUTANT
DATE ISSUED
DATE CONCLUDED
1. The CASE CATEGORY (CCAT) is used to broadly group the administrative
enforcement action as either adjudicatory or nonadjudicatory: (See
Appendix C for a description of enforcement action proceedings.) The
case category codes assigned to these two groups are:
A - Adjudicatory Administrative Proceeding
N - Nonadjudicatory Administrative Proceeding
Adjudicatory Administrative Proceedings involve the issuance of a
"complaint" (or similar document) which sets forth the alleged
violation, followed eventually by the issuance of an "order". Thus, at
least two significant dates are tracked for these:
DATE ISSUED - Date the "Complaint" is issued;
DATE CONCLUDED - Date the "Order" is issued.
Nonadjudicatory Administrative Proceedings involve the issuance of only
one document, the "order". For such cases:
DATE ISSUED = DATE CONCLUDED - Date the "order" was finally issued
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The CASE CATEGORY is determined automatically by the value entered for
"TYPE CASE."
(See Appendix D for a table that relates TYPE CASE to CASE CATEGORY).
2. The TYPE CASE should be used to define the section of the statute
authorizing the administrative enforcement actions.
EXAMPLE: CAA Section 120 Notices of Noncompliance,
the TYPE CASE = 120;
RCRA Section 3008(h) Orders, TYPE CASE = 3008H.
(See Appendix D for a complete listing of possible entries.)
3. The LAW/SECTION is 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 the statutes:
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. The VIOLATION TYPE further describes the violation. Use one (or more) of
the standard codes. See Appendix E.
5. The POLLUTANT is used to indicate the substance(s) that was involved in
the violation. Standard abbreviations and codes are required so that
this field may be used as a selection criteria, not just a print field.
A table of standard codes, abbreviations and descriptions is contained
in the TSO data set: BDPOPMO. 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.
6. The DATE ISSUED is used only for the date the "complaint" is issued
under an adjudicatory administrative proceeding.
7. The DATE CONCLUDED is the date the "Order" is issued for both
adjudicatory and nonadjudicatory actions.
The DOCKET batch retrieval can be used to produce standard and ad hoc
"Quick Look", "Crosstab", and "Case Status" reports for administrative
cases.
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ENFORCEMENT CASE DATA FORM
APPENDIX A
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! CASE NO.: _____-_____- E _____ Date Entered: ____/____/____ !
! (Assigned by Docket Control !
! !
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* CASE NAME: ___________________________________________________________
* TYPE CASE: _____ CIV - Civil BNK - Bankruptcy
(See Back for Adm.) CIC - Civil Contempt CIA - Civil Consent
CIT - Citizen Suit Decree Amendment
* HQ DIVISION: _____ AIR - Air MOB - Mobile
HAZ - Hazardous Waste WAT - Water
PES - Pesticides and Toxics
* LAW/SECTION: * (Please use the section CFR/SECTION:
1.________/_______ of the law VIOLATED, 1._____/_________
2.________/_______ NOT the section that 2._____/_________
3.________/_______ authorizes the action) 3._____/_________
4.________/_______
5.________/_______
* TECHNICAL CONTACT: ___________________________ PHONE: FTS - ____ - _____
* REGIONAL ATTORNEY: ___________________________ PHONE: FTS - ____ - _____
* DEFENDANTS: NAMED IN COMPLAINT?
(Y/N)
1.__________________________________________________ ______
2.__________________________________________________ ______
3.__________________________________________________ ______
4.__________________________________________________ ______
* STATE: _____
VIOLATION TYPE: _________ POLLUTANT: ______________
DATE OPENED: ___/___/___
* DATE INITIATED: ___/___/___ * REFERRAL INDICATOR ___ RH: Region to HQ
(Civil) ___ RD: Region to DOJ
DATE ISSUED: ___/___/___ (Direct Referral)
(Adj. Adm.) Direct Referral Lead: DOJ_____ USA____
DATE CONCLUDED: ___/___/___
DATE VIOLATION DATE DOCUMENTS
DETERMINED: ___/___/___ RECEIVED BY ORC:____/____/____
PROPOSED PENALTY: _________________
* Required fields - must be filled out for case entry
- A.1 -
Appendix B
FACILITY DATA FORM
*PLEASE USE THE ADDRESS OF THE SITE OF VIOLATION (NOT THE COMPANY MAILING
ADDRESS).
*A SEPARATE FORM MUST BE COMPLETED FOR EACH FACILITY CITED IN THE CASE.
--------------------------------- -------------------------------
! CASE NO.: _____-_____-E _______ ! ! EPA ID #:__________________ !
! (Assigned by DOCKET analyst) ! ! (Assigned by FINDS analyst) !
--------------------------------- -------------------------------
* FACILITY NAME: _________________________________________________________
* STREET ADDRESS: ________________________________________________________
* CITY: _________________________ * STATE_____________ ZIP: ______________
*TYPE OWNERSHIP: ______________ P: Private industry or individual
F: Federal Government
S: State
C: County
M: Municipal
D: District
SIC CODE(s): ________ , ________ , ________ , ________
(one required)
-------------------------------- OPTIONAL ---------------------------------
PARENT COMPANY: ______________________________________________
NPDES PERMIT NO. ___________________________
SUPERFUND SITE: _______________ (Y or N)
LATITUDE: _____ _____ _____
LONGITUDE: _____ _____ _____
- B.1 -
Appendix C
EPA ENFORCEMENT ACTIONS:
I. ADMINISTRATIVE CASES:
A. Adjudicatory:
Respondent is entitled to a trial-like "hearing" at which some type of
judge or other fact-finder is present. This procedure is used whenever
a penalty is to be imposed.
Complaint ---- Answer ---- Hearing ---- Decision ---- Final Order
! ! !
--------------------------------------------- Consent Agreement
& Final Order
Certain actions may require an Administrative Law Judge (ALJ) (e.g.,
RCRA Section 3008(a); TSCA Section 16, FIFRA Section 14, CAA Section
120);
OR a Presiding Officer who can be an EPA attorney or, sometimes, another
EPA employee (e.g., CWA Section 311(j) SPCC cases; CWA Section 309(g)
Class I cases; SDWA Section 1423 UIC cases).
B. Non-adjudicatory, with a Hearing:
An information gathering hearing is held; usually, no oath is taken and
no cross examination takes places. Some questioning of witnesses may
occur.
Proposed Order ---- Hearing ---- Final Order
(e.g., SDWA Section 1414 PWS Compliance Orders)
C. Non-adjudicatory, without a Hearing:
EPA has the authority to issue such an order unilaterally, without prior
notice to the Respondent. The Respondent has no right to a hearing.
(This authority is often granted for emergency situations.) Pursuant to
EPA policies, some opportunity for the Respondent to confer with EPA
regarding the order is usually afforded.
(e.g., CERCLA Section 106 Orders; CAA Section 113 Orders; SDWA Section
1431 Emergency Orders)
II. JUDICIAL CASES:
Civil Judicial
Complaint ---- Answer ---- Hearing ---- Consent Decree or Order
- C.1 -
Appendix D
Administrative Enforcement Actions
(non-judicial)
HQ CASE TYPE
LAW DIV CATEGORY* CASE DESCRIPTION
CAA AIR A 120 Noncompliance Penalty Proceeding
N 113A Immediate Compliance Order (no penalties)
N 113D 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
N CWANOV Notice of Violation
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)
N SDWANOV Notice of Violation
N SDWANON Notice of Noncompliance
MPRSA WAT A 105 Compliance and Penalty Order
TSCA PES A 16 Compliance and Penalty Order
N TSCANOV Notice of Violation
N TSCANON Notice of Noncompliance
FIFRA PES A 14 Compliance and Penalty Order
A 13 SSUR 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
N RCRANOV Notice of Violation
CERCLA WAZ 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.
- D.1 -
Appendix E
A. CAA
1. TYPE CASE defines the section authorizing the enforcement action;
CASE CATEGORY is specific for each TYPE CASE.
TYPE CASE
CASE DESCRIPTION CATEGORY
120 CAA Section 120 Notice of Noncompliance A
113A CAA Section 113A Administrative Order N
113D CAA Section 113D Delayed Compliance Order N
167 CAA Section 167 PSD Order N
113 CAA Section 113 Notice of Violation N*
114 CAA Section 114 Information Request Letters - not actually
enforcement actions
* There is no "order" issued (these are exceptional actions).
2. LAW/SECTION defines the CAA section being violated.
CAA/110 SIP Violations
CAA/111 NSPS Violations
CAA/112 NESHAPS Violations
CAA/114 Information Request Violations
CAA/PARTC OSD Violations
CAA/PARTD NSR Violations
3. The VIOLATION TYPE further describes the violation.
4. "POLLUTANT" values frequently used in CAA actions:
CODE DESCRIPTION
ARSENIC Arsenic
ASBESTOS Asbestos
BENZENE Benzene
BERYLIUM Berylium
CO Carbon Monoxide
COE Coke Oven Emissions
LEAD Lead
MERCURY Mercury
NOX Nitrogen oxide
OP Opacity *
PM Particulate Matter
RADON Radon
RADON Radionuclides
S02 Sulfur dioxide
VHAP Volatile haz. air pollutants
VINYLCHL Vinyl Chloride
VOC Volatile Organic Compound
* To distinguish between Particulate Mass Emissions (particulate
matter) and Particulate Visible Emissions (opacity)
i.e. PM = Particulate Matter (mass)
OP = Particulate Matter (visible) = Opacity
- E.1 -
B. CERCLA
1. TYPE CASE defines the section authorizing the enforcement action;
CASE CATEGORY is specific for each TYPE CASE.
TYPE CASE
CASE DESCRIPTION CATEGORY
106 CERCLA Section 106 Administrative order for response N
action.
104E CERCLA Section 104(e) Administrative order for N
compliance with information and access request.
109A CERCLA Section 109(a) Class I Administrative A
penalties, based on failure to comply with certain
orders for enumerated requirements.
109B CERCLA Section 109(b) Class II Administrative A
order for penalties based on failure to comply
with certain enumerated requirements.
2. The LAW/SECTION defines the CERCLA section being violated.
For CERCLA 109(a) & (b) orders, the section being violated can be:
CERCLA/103A Notification of hazardous substance release
CERCLA/103B Notification of hazardous substance release
CERCLA/103D2 Destruction of required records
CERCLA/108 Violation of financial responsibility requirement,
or denial or detention orders (issued by U.S. DOT)
CERCLA/122D3 Violation of Section 104(b) settlement orders
CERCLA/122L Violation of any Section 122 settlement order or
consent decree
- E.2 -
C. CWA
1. TYPE CASE defines the section authorizing the enforcement action;
CASE CATEGORY is specific for each TYPE CASE.
TYPE CASE
CASE DESCRIPTION CATEGORY
309 CWA Section 309 Admin. Order for compliance N
309G1 CWA Section 309(g) Class I Admin. Order for penalties A
309G2 CWA Section 309(g) Class II Admin. Order for penalties A
311J CWA Section 311(j) Admin. Order for compliance & penalties A
2. The LAW/SECTION defines the CWA section being violated.
For the Section 309 orders, the section being violated can be:
CWA/301 Effluent Limit & Permit Violations
CWA/307 Pretreatment Violations
CWA/308 Record Keeping Monitoring & Reporting Violations
CWA/311 Spill Prevention, Control & Countermeasure Violations
CWA/404 Dredge & Fill Violations
3. VIOLATION TYPE further describes the violation.
Section 301 violations can include the following VIOLATION TYPES:
IND Industrial source
POTW Publicly owned treated works
OR the INDUSTRY field could be used for this information.
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D. FIFRA
1. TYPE CASE defines the section authorizing the enforcement action;
CASE CATEGORY is specific for each TYPE CASE.
TYPE CASE
CASE DESCRIPTION CATEGORY
13 FIFRA Section 13 SSUR Order N
14 FIFRA Section 14 Admin. Order for compliance & A
penalties
2. The LAW/SECTION defines the FIFRA section being violated.
For FIFRA Section 14 Orders, the section being violated can be:
FIFRA/2C Adulteration
FIFRA/2Q Misbranding
FIFRA/3 Sale of unregistered pesticide; Misuse
FIFRA/7A or 7B Failure to Register Producing Establishment
FIFRA/7C Failure to File Pesticide Production Report
FIFRA/8 Failure to Provide Information; Refusal to Keep
Records
FIFRA/9 Refusal to Allow Inspection
FIFRA/13 Violation of a SSUR Order
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E. MPRSA
1. TYPE CASE defines the section authorizing enforcement action;
CASE CATEGORY is specific for each TYPE CASE.
TYPE CASE
CASE DESCRIPTION CATEGORY
105 MPRSA Section 105 Compliance & penalty Order A
2. LAW/SECTION defines the MPRSA section being violated.
MPRSA/101: Discharge without a permit, or discharge in violation of
a permit.
3. VIOLATION TYPE further describes the violation.
REP Reporting and record keeping requirements
NOPRMT Discharge without a permit
PRMTVL Discharge of permitted pollutants in excess of permitted quantity
limits; discharge of a permitted pollutant in excess of the
permitted discharge rate; discharge of an unpermitted pollutant;
discharge of a pollutant at an unpermitted site
- E.5 -
F. RCRA
1. TYPE CASE defines the section authorizing enforcement action;
CASE CATEGORY is specific for each TYPE CASE.
TYPE CASE
CASE DESCRIPTION CATEGORY
3008A RCRA Section 3008(a) Compliance & Penalty Order A
9006 RCRA Section 9006 LUST Compliance & Penalty Order A
3008H RCRA Section 3008(h) Corrective Action Order A
(no penalties)
3013 RCRA Section 3013 Compliance Order (no penalties) N
7003 RCRA Section 7003 Compliance Order (no penalties) N
9003H RCRA Section 9003(h) LUST Action Order/Petroleum A
2. LAW/SECTION defines the RCRA section being violated.
For RCRA Section 3008(a) orders, the LAW/SECTION violated can be:
RCRA/3002 Generator Violations
RCRA/3003 Transporter Violations
RCRA/3004 & 3005 TSD VIolations
RCRA 3007 Information Request Violations
RCRA/3010 Notification Violations
OTHER Violations not covered by the above categories
3. VIOLATION TYPE further describes the violation.
TSD violations can be further broken down into VIOLATION TYPE (These
violation types also exist under the various state regulations in each
region. In order to allow for national searches of the database, the
following codes should be used by each region):
CLO Closure & Post-Closure Plan
GWM Groundwater Monitoring
PRMT Permit (Notification, Interim status, Part B, LOIS)
FIN Financial Responsibility
CON Containers (drums, tanks)
LDT Land Disposal & Trmt (surface impoundments, landfills, waste
piles)
GFR General Facility Requirements (plans, facility inspections, etc.)
- E.6 -
G. SDWA
1. TYPE CASE defines the section authorizing enforcement action;
CASE CATEGORY is specific for each TYPE CASE.
TYPE CASE
CASE DESCRIPTION CATEGORY
1414G2 SDWA Section 1414 PWS Administrative Compliance N
Order for first-time violator
1414G3 SDWA Section 1414 PWS Administrative Order for A
compliance and penalties, for second and later
violations
1423 SDWA Section 1423 UIC Administrative Order for A
compliance & penalties.
1431 SDWA Section 1431 Emergency Administrative Order N
1432 Tampering with public water system
2. LAW/SECTION defines the SDWA section violated:
SDWA/1421 UIC Regulations
SDWA/1412 PWS Regulations
3. VIOLATION TYPES for PWS:
Section 1414 actions can include the following VIOLATION TYPES:
MCL Failure to comply with maximum containment level (Section
141.11 - .16)
SA Failure to sample and analyze properly (Section 141.21 - .30)
REP Failure to comply with reporting requirements (Section 141.31)
NP Failure to notify public of SDWA violations (Section 141.31)
REC Failure to maintain required records (Section 1411.33)
VAO Failure to comply with an administrative order
4. VIOLATION TYPES for UIC:
Section 1423 actions can include the following VIOLATION TYPES:
UNI Injection not authorized or in violation of permit (Section
144.11)
MFL Failure to operate well so there is no movement of fluid into an
underground source of drinking water (Section 144.12)
UNO Unauthorized operation of a Class IV well (Section 144.13)
VPA Failure to comply with an approved plugging & abandonment ("P&A")
plan (Section 144.28)
NPA Failure to have an approved P&A plan (section 144.28(c))
REP Failure to file required reports (Sections 144.18(b), (h), (j),
(l); 144.51)
REC Failure to maintain required records (Sections 144.28(i); 144.51)
MON Failure to monitor properly (Sections 144.28(h); 144.51)
- E.7 -
CAC Failure to complete casing & cementing (Section 144.28(e))
OIN Injection between the outermost casing protecting an underground
source of drinking water and the well bore (Section 144.55)
FIN Failure to demonstrate financial responsibility (Section
144.28(d))
MIN Failure to demonstrate mechanical integrity (Section 146.8)
PRS Injection beyond authorized pressure (Section 146.13)
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H. TSCA
1. TYPE CASE defines the section authorizing enforcement action;
CASE CATEGORY is specific for each TYPE CASE.
TYPE CASE
CASE DESCRIPTION CATEGORY
16: TSCA Section 16 Compliance & Penalty Order A
2. The LAW/SECTION defines the TSCA section being violated.
TSCA/4 Testing
TSCA/5 Pre-manufacturing Notice
TSCA/6A Asbestos in Schools
TSCA/6E PCB's
TSCA/8A Reporting
TSCA/11 Refusal to allow inspection
TSCA/13 Imports
OTHER Violations not covered by the above categories
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