Document ID: EPA-HQ-OEI-2008-0133-0002
Agency: epa
Document Type: Supporting & Related Material
Title: 
Posted Date: 2008-02-25T05:00Z

ENFORCEMENT AND COMPLIANCE 

DATA STANDARD

Standard No.:EX000.1-XXX 

Version 2.2 – FINAL DRAFT

Date: February 7, 2008 

		

The Exchange Network Leadership Council (ENLC) is a partnership among US
EPA, States and Tribal partners to promote the efficient sharing of
environmental information through the development and adoption of data
standards. More information about is available at   HYPERLINK
"http://www.exchangenetwork.net"  www.exchangenetwork.net 

Foreword

The Exchange Network Leadership Council (ENLC) is a partnership among US
EPA, States and Tribal partners to develop and agree upon data standards
for environmental information collection and exchange.  The Council
seeks to promote efficient sharing of environmental information between
State, US EPA and Tribal partners through the development of data
standards.  More information about the ENLC is available at
http://www.exchangenetwork.net/standards.

1.0	INTRODUCTION

Environmental information is a key tool in the effective management of
our environmental resources and human health conditions.  As a result,
much effort goes into data acquisition, management, maintenance,
exchange, and oversight.  Greater access is the goal of many data
consumers, and data managers. Providers invest significant resources
meeting their requirements. In response, many data providers are
improving access as they post usable copies of their environmental
information on the web.  These efforts are a vast improvement over
previous conditions; however, there is a growing desire and need to both
provide and receive data in a clearly defined and a uniform way.  Data
from multiple sources can then be aggregated and used without the
inherent variations that exist between data sets across agencies. 

1.1	Scope

This ENLC standard identifies and defines the major areas of enforcement
and compliance information that could be used for the exchange of data
among environmental agencies and other entities.  The purpose of the
standard is to provide a common lexicon, so that information about
functionally similar activities and/or instruments can be stored.

1.2	Revision History

Date	Version	Description

April 22, 2002	1-85727:1	Initial adoption by the Environmental Data
Standards Council

July 11, 2007	EX- 00000:XX.2	Assignment of a new data standard number
and format

February 08, 2008	EX-00000.XX.2.2	Change some permissible value lists to
example value lists

1.3	References

This standard relies on other standards to make it complete and provide
the necessary support. As such users should consider the Normative
Standards (references) noted below, integral to the Enforcement and
Compliance Data Standard. These include: 

Representation of Date and Time [EX000013.1] Data Standard

Contact Information [EX000019.2] Data Standard

1.4	Terms and Definitions

For the purpose of this document, the following terms and definitions
apply.

Term						Definition

Civil Penalty					A monetary sanction that the violator is required to
pay 

the government because of a violation, but not including a stipulated
penalty. The term includes penalties imposed through either an
administrative or a civil judicial proceeding, but does not include
fines, penalties, or monetary restitution imposed through a criminal
enforcement proceeding.

Collection					A claim that the defendant/respondent pay a previously 

incurred debt or monetary obligation, such as an 

imposed penalty, which has gone unpaid beyond the due date.

Compliance Assistance				Compliance Assistance includes activities,
tools, or 

Technical assistance that provides clear and consistent 

Information for helping the regulated community understand and meet its
regulatory obligations, or helping other compliance assistance providers
(including government agencies, contractors and grantees) to aid the
regulated community in complying with environmental regulations. 
Although compliance assistance may also help the regulated communities
find cost-effective ways to comply with regulations and improve
environmental performance through the use of pollution prevention,
environmental management practices, and innovative technologies, at
least one objective of compliance assistance must be related to
achieving or advancing regulatory compliance.

Compliance Schedule				An enforceable schedule, contained in a Final
Order, for 

The implementation of specific injunctive relief activities, specifying
milestones or deadlines for the completion thereof (including any
interim milestones).  The term, “Compliance Schedule,” as used in
the Enforcement/Compliance Data Standard, does not include a compliance
schedule issued as part of an environmental permit.

Compliance Status				A determination of a regulated entity’s
compliance with 

Specific statutory or regulatory requirements.

Cost Recovery					A claim that the defendant/respondent reimburse the 

Government for costs incurred in connection with certain 

Activities, typically emergency or remedial response actions.

Enforcement Authority				The governmental entity that initiates an
enforcement 

action.

Enforcement Status				The status of a regulatory authority’s
enforcement 

Response related to violations determined to exist with ‘

Respect to a regulated community.

Information Request				An enforceable request for information to a
regulated 

entity or potentially regulated entity about a site, facility, 

or activity.

Injunctive Relief					An enforceable requirement obliging the 

defendant/respondent to take, or refrain from taking, 

certain specified actions.  Examples include installation 

of pollution control equipment, performing a cleanup or 

corrective action, eliminating a volatile discharge, submitting reports,
etc.  Injunctive Relief does not include any requirement to perform
Supplemental 

Environmental Projects (SEP).  In the Enforcement and Compliance Data
Standard, the term “Injunctive Relief” does not include the
obligation to make penalty or cost recovery payments.  SEPs, penalties
and cost recovery obligations are captured in separate data elements.

Inspection					A visit to a facility or site for the purpose of
gathering 

Information to determine compliance, including offsite 

observations.

Investigation					An extraordinarily detailed assessment of a
facility’s or 

facilities’ compliance status.

Penalty						A monetary sanction for failure to comply with 

requirements, that the violator is required to pay to the 

government.

Reporting Authority				The governmental entity that provides data
regarding its 

enforcement and compliance activities.

Responsible Authority				The government official with authority to issue
a legal 

instrument such as a complaint, Final Order, or information request. 

Search Warrant					A judicial instrument authorizing access to a
facility or

site by government personnel or their agents for the 

purpose of determining compliance and/or carrying out 

response activities; this category includes warrants and 

judicial orders in aid of access.

Settlement Agreement				An enforceable agreement between the parties to 

ensure compliance that is executed by both parties

and approved by the tribunal or responsible authority.

Stipulated Penalty				A monetary sanction that the violator is required
to pay 

to the government because of noncompliance with a 

Final Order and which is paid pursuant to the explicit

terms of such Final Order.

Subpoena					A formal document issued to compel testimony and/or

to produce documents.

Supplemental Environmental Project (SEP)	An environmentally beneficial
action or project, not 

otherwise required by law, agreed to be undertaken by

the defendant/respondent, often in lieu of a portion of a 

penalty.

1.5	Implementation

Users are encouraged to use the XML registry housed on the Exchange
Network Web site ( HYPERLINK "http://www.exchangenetwork.net/"
http://www.exchangenetwork.net ) to download schema components for the
construction of XML schema flows.  In addition, the Environmental Data
Registry (http:// HYPERLINK "http://www.epa.gov/edr" www.epa.gov/edr )
provides the data standard structure and attributes in a downloadable
format that will facilitate database development activities.  

1.6	Document Structure 

The structure of this document is briefly described below: 

a.	Section 2.0 Enforcement and Compliance Diagram, illustrates the
principal data groupings contained within Enforcement and Compliance
Data Standard.

b.	Section 3.0 Enforcement and Compliance Data Standards Table, provides
information on the high and intermediate levels of Enforcement and
Compliance data groupings, as well as their related data elements. Where
applicable, for each level of this data standard, a definition, XML tag,
note(s), example list of values and format are provided.  The format
column lists the required number of characters for the associated data
element, where “A” specifies alphanumeric, “N” designates
numeric, “G” is used for grouping and “D” for time and date
elements. 

c.	Data Element Numbering. For purposes of clarity and to enhance
understanding of data standard hierarchy and relationships, each data
group is numerically classified from the primary to the elemental level.

d.	Code and Identifier Metadata: Metadata, defined here as data about
data or data elements, includes their descriptions and/or any needed
context setting information required to identify the origin, conditions
of use, interpretation, or understanding  the information being
exchanged or transferred.  (Adapted from ISO/IEC 2382-17:1999
Information Technology Vocabulary—Part 17: Databases 17.06.05
metadata).  Based on the business need, additional metadata may be
required to sufficiently describe an identifier or a code.  A note
regarding this additional metadata is included in the notes column for
identifier and code elements. Additional metadata for identifiers may
include: 

• Identifier Context, which identifies the source or data system that
created or defined the identifier 

Additional metadata for codes may include: 

• Code List Identifier, which is a standardized reference to the
context or source of the set of codes 

• Code List Version Identifier, which identifies the particular
version of the set of codes. 

• Code List Version Agency Identifier, which identifies the agency
responsible for maintaining the set of codes 

• Code List Name, which describes the corresponding name for which the
code represents

e.	Appendix A, Enforcement and Compliance Data Structure Diagram
illustrates the hierarchical classification of the Enforcement and
Compliance data standard.  This diagram enables business and technical
users of this standard to quickly understand its general content and
complexity.  

2.0	ENFORCEMENT AND COMPLIANCE DIAGRAM

The figure below illustrates the major data groups associated with the
Enforcement and Compliance Data Standard. 

	

 3.0	ENFORCEMENT AND COMPLIANCE DATA STANDARD TABLE 

1.0	Compliance Monitoring Information

Definition: 	Information about the types of activities leading to or
resulting in a determination of the compliance status of a regulated
entity, facility, or group of facilities.

Relationships:  One of more compliance monitoring actions can detect a
violation

		Each compliance monitoring action can detect one or more violations

		A compliance monitoring action is taken with respect to a facility by
a reporting agency.

		A compliance monitoring action is associated with one or more
statute/section pairs, which serve to describe the 

		environmental program(s) or interest(s) being furthered through the
action.

	

.Notes:		None.

XML Tag: ComplianceMonitoringInformation	

Data Element Name	Data Element Definitions	Notes	Format	XML Tags

1.1 Compliance Monitoring Date	The calendar date that the compliance
monitoring action was performed or conducted. 	For actions such as
inspections or investigations, use the date on which the action was
completed.  For actions such as written requests for information, use
the date the request was signed by the Responsible Authority.

Refer to the Representation of Date and Time [EX000013.1] Data Standard
D(8)	ComplianceMonitoringDate

1.2 Compliance Monitoring Identifier	The unique alphanumeric identifier
that specifies a compliance monitoring action pertaining to a regulated
facility or entity.	Note: Based on the business need, additional
metadata may be required to sufficiently describe an identifier. This
additional metadata is described in the Introduction section 1.6.d.
A(20)	ComplianceMonitoringIdentifier

1.3 Compliance Monitoring Agency Name	The name of the agency,
department, or organization performing or conducting the compliance
monitoring action

A(100)	ComplianceMonitoringAgencyName

1.4 Compliance Monitoring Agency Type 	The type of agency performing or
conducting the compliance monitoring action.	Local agencies include
intrastate regional agencies (i.e., those with jurisdiction extending
across multiple local government boundaries).

EXAMPLE VALUES

U.S. EPA – United States Environmental Protection Agency.

Other Federal – Another agency of the United States.

State – State agency.

Interstate – Interstate agency

Local – Local agency.

Tribal - Tribal government agency.	A(13)	ComplianceMonitoringAgencyType

1.5 Compliance Monitoring Action Type	The type of compliance monitoring
action taken by a regulated agency.	Compliance monitoring action types
should accomplish one or more of the following objectives: 

- Determine the compliance status of a regulated entity with a law,
rule, permit, enforcement order, compliance schedule or other legal
requirement. 

- Obtain documentation to support a claim of noncompliance. 

- Inform the regulated entity of potential and actual noncompliance. 

- Provide information to the regulated entity on where and how to obtain
compliance assistance. 

- Provide information to the regulated entity on how to conduct
self-policing. 

Activities that may be categorized as “Information Requests”
include: 

- Issuance of a subpoena for the production of documents or testimony. 

- A requirement that a facility conduct testing or sampling (e.g., a
stack test). 

Activities that may be categorized as a “Compliance Inspection”
include inspections pursuant to a search warrant or an order in aid of
access, inspections at a regulator’s office location, and offsite
observations of a facility or site. 

Activities that may be categorized as an “Off-Site Review” include: 

- The review of the reports of facility-conducted testing or sampling
tests submitted by the regulated entity. 

- Review of self-reported information from regulated entities, including
information required to be submitted (e.g., Discharge Monitoring Report
[DMR] or CAA Title V self-certifications) and voluntarily submitted
information.

EXAMPLE VALUES

Information Request - An enforceable, written request for information to
a regulated entity or potentially regulated entity or about a site,
facility, or activity. 

Compliance Inspection - A visit to a facility or site for the purpose of
gathering information to determine compliance including direct
observations of facility operations. 

	A(24)	ComplianceMonitoringActionType

Compliance Investigation - An extraordinary, detailed assessment of a
regulated entity’s compliance status, which requires significantly
more time to complete than a typical compliance inspection (i.e.,
several weeks, as compared with one or a few days). 

Offsite Record Review - A review of records, conducted at the government
agency’s offices, for the purpose of reviewing information to
determine compliance of a regulated entity.

1.6 Compliance Inspection Type	The type of compliance inspection
conducted.

	This data element issued only if the type of Compliance Monitoring
Action taken was “Compliance Inspection”

 Inspection to determine the compliance of a facility or regulated
entity with the terms of a previously-issued enforcement instrument
would be included here. 

EXAMPLE VALUES

Compliance Evaluation Inspection – An Inspection designed to determine
compliance with legal requirements, which does not involve sampling.

Compliance Sampling Inspection – An inspection designed a determine
compliance with applicable statues and regulations, which involves
collection of physical samples of air, water, waste, etc.

Reconnaissance or Screening Inspection – An abbreviated, initial
inspection designed to obtain a preliminary overview of a facility’s
compliance program and status.

Case Development Inspection – An inspection designed to collect
specific information to support an ongoing or planned enforcement
action.	A(38)	ComplianceInspectionType

1.7 Off Site Record Review Type	The type of off-site record review
conducted.	This data element is used only if the Compliance Monitoring
Action taken was – “Off-Site Record Review.”  The data element
describes the way in which such records were acquired by the Compliance
Monitoring Agency.

Information requested by a regulatory agency would be categorized under
the Compliance Monitoring Action “Information Request.”

EXAMPLE VALUES

Required – The regulated entity was legally required to submit the
records.

Self-Policing Submission – The records reviewed were self-reported
information submitted by a regulated entity under EPA’s self-policing
policies (I.e., EPA’s Audit Policy or Small Business Compliance
Policy) or under State, Tribal, or Local analogs.

Voluntary – The records were self-reported information submitted
voluntarily by a regulated entity, but not pursuant to EPA’s
self-policing policies or State, Tribal, or Local analogs.	A(31)
OffSiteRecordReviewType

1.8 Compliance Monitoring Media Type 	The environmental program(s) with
respect to which the compliance monitoring action was taken.	Select all
applicable values.  Any compliance monitoring action for which two or
more environmental programs are selected represents a “multi-media”
compliance monitoring action.  Note that two or more distinct
environmental programs may occur under a single statue; e.g., National
Pollutant Discharge.  Elimination System (NPDES) and Wetlands under the
federal Clean Water Act; or Public Water Supply and Underground
Injection Control under the federal Safe Drinking Water Act.

EXAMPLE VALUES

Air Stationary Source

Air Mobile Source

Emergency and Community Right-to-Know

Hazardous Waste (RCRA)

National Pollutant Discharge Elimination System

Ocean Dumping

Solid Waste

Pesticides

Public Water Supply

Superfund

Toxic Substances

Underground Injection Control 

Underground Storage Tanks

Wetlands

Other	A(47)	ComplianceMontioringMediaType

1.9 Citizen Complaint Indicator Code	The code that indicates whether a
compliance monitoring action was performed in response to a citizen
complaint or tip. 	Includes tips or other information received from
individuals, community groups, environmental groups, other facilities or
regulated entities, etc.

Permissible List of Values:

Y –Yes

N – NO	A(1)	CitizenComplaintIndicatorCode

1.10 Compliance Monitoring Action Reason	The reason for performing a
compliance monitoring action. 

 	”Core Program” includes, e.g., when the regulatory agency monitors
all major sources on a routine basis; or a statute specifies the
frequency of routine monitoring for certain facilities; or the agency
selects some percentage of its monitoring based on random selection;
etc.

“Agency Priority” includes, e.g., monitoring actions taken with
respect to target pollutants; or actions taken in specially targeted
industries, geographic areas, communities, ecosystems, etc.

	A(26)	ComplianceMontioringActionReason

More than one of the Permissible Values may apply to a given Compliance
Monitoring Action.  For example, an inspection may be in support of an
Agency priority, but also fulfill core program obligations.  In that
case, the reporting agency may choose how to characterize the Reason;
ordinarily, in the example given, we would encourage selection of
“Agency Priority” as providing a more specific rationale.

EXAMPLE VALUES

Core Program – The compliance monitoring action was performed as part
of the Compliance Monitoring Agency’s core programmatic activities.

Agency Priority – The compliance monitoring action was performed in
furtherance of a priority or initiative of the Compliance Monitoring
Agency or a partner agency.

Selected Monitoring Action – The Compliance Monitoring Agency selected
the facility or regulated entity for compliance monitoring in response
to a referral from another unit within the Compliance Monitoring Agency
or another unit of government; in response to a citizen complaint or
tip; or for another reason specific to the regulated entity or facility
in question (e.g., monitoring compliance with a compliance schedule in a
previously-issued enforcement instruments; or because there is probable
cause to believe a violation exists).

1.11 Compliance Monitoring Action Priority Originator	The program that
established the priority that prompted the compliance monitoring action.
If the Reason for Compliance Monitoring Action is “Priority,”
identify the originator of the priority.	A(12)
ComplianceMonitoringActionPriorityOriginator

1.12 Compliance Monitoring Priority	The name of the priority that
prompted the compliance monitoring action.	If the Reason for Compliance
Monitoring Action is “Priority,” identify the priority by name.

Example values will include priorities established by EPA at the
National or EPA Regional level and priorities established by State,
Local, and/or Tribal agencies. 

EXAMPLE VALUES

Clean Water Act/Wet Weather – The national priority area Clean Water
Act/Wet Weather that includes Combined Sewer Overflow (CSO) Policy, the
Sanitary Sewer Overflow (SSO) Enforcement Management System, and the
National Concentrated Animal Feeding Operations (CAFOs) Sector Strategy.

Safe Drinking Water Act/Microbial Rules – The national priority area
Safe Drinking Water Act/ Microbial Rules

Clean Air Act/NSR/PSD – The national priority area Clean Air Act/New
Source Review/Prevention of Significant Deterioration (NSR/PSD)

Clean Air Act/Air Toxics – The national priority area Clean Air
Act/Air Toxics	A(53)	ComplianceMonitoringPriority

Resource Conservation and Recovery Act/Permit Evaders – The national
priority area Resource Conservation and Recovery Act/Permit Evaders.

Petroleum Refining Sector – The national priority area Petroleum
Refining Sector.

1.13 Compliance Monitoring Action Outcome	The results from a compliance
monitoring action.	EXAMPLE VALUES

No Violation – No violation(s) detected.

Immediately Corrected – Violation(s) detected and immediately
corrected onsite.

No Immediately Corrected – Violation(s) detected but not immediately
corrected.

Under Review – A determination on compliance status is pending further
review, completion of an inspection report, etc. 

No Compliance Monitoring (Facility Shut Down) – The facility is no
longer in operation.

No Compliance Monitoring (Access Denied) – The owner/operator denied
access to the facility.	A(45)	ComplianceMonitoringActionOutcome

2.0	Violation 

	Definition: 	Noncompliance with one or more legally enforceable
obligations by a regulated entity, as determined by a 	

			responsible authority.  Included in this category are violations of
legally enforceable obligations under pre-existing

			Final Orders (e.g., violations of compliance schedules included in
enforcement orders.) 

Relationships:  	Each violation is affiliated with a compliance
monitoring agency.

Each violation can be detected by one or more compliance monitoring
actions.

Each violation can be associated with zero or one or more permits.

Each violation may lead to zero or one or more enforcement actions. (Not
every violation results in an enforcement action.  The same violation
may be cited in several different, successive enforcement actions of
progressively greater severity [e.g., a Notice of Violation followed by
a Complaint and ultimately, a Final Order].)

Notes:		None.

XML Tag: Violation	

Data Element Name	Data Element Definitions	Notes	Format 	XML Tags

2.1 Violation Determined Date	The calendar date the Responsible
Authority determines that a regulated entity is in violation of a
legally enforceable obligation.	This may be the same as, or different
than, the Compliance Monitoring Date 

Refer to the Representation of Date and Time [EX000013.1] Data Standard
D(8)	ViolationDeterminedDate

2.2 Violation Class Type	The type of violation that is the subject of
the Violation Determined Date.	If reporting on a group of violations
rather than an individual violation and any of the violations within the
group are Significant or High Priority, select the permissible value
“Significant or High Priority Violation.”

	A(38)	ViolationClassType

Permissible Values:

Significant or High Priority Violation – The violation meets
applicable programmatic criteria for those terms, as set out by EPA.

Other – The violation does not meet applicable programmatic criteria
for “significant” or “high priority” violations.

2.3 Compliance Schedule Indicator Code	The code that indicates whether
the regulated entity is currently on a legally enforceable compliance
schedule (i.e., pursuant to a Final Order) for return to compliance with
the obligation that is the subject of the Violation Determined Date.	If
reporting on a group of violations rather than an individual violation
and if any such violations are subject to a Compliance Schedule, select
the permissible value “Yes.” 

Permissible List of Values:

Y – Yes

N – No	A(1)	ComplianceScheduleIndicatorCode

2.4 Return to Compliance Schedule Date	The calendar date, specified in
the Compliance Schedule (if any), on which the regulated entity is
scheduled to return to compliance with respect to the legal obligation
that is the subject of the Violation Determined Date.	If reporting on a
group of violations rather than on an individual violation, then enter
the latest date by which such violations are to be corrected.

Refer to the Representation of Date and Time [EX000013.1] Data Standard 
D(8)	ReturnComplianceScheduleDate

2.5 Return to Compliance Actual Date

	The calendar date, determined by the Responsible Authority, on which
the regulated entity actually returned to compliance with respect to the
legal obligation that is the subject of the Violation Determined Date. 
If reporting on a group of violation rather than on an individual
violation, then enter the date on which all such violations are actually
corrected. 

Refer to the Representation of Date and Time [EX000013.1] Data Standard 
D(8)	ReturnComplianceActualDate

3.0	Enforcement Action General Information  

Definition: 	Information about any kind of action taken to address
noncompliance with environmental laws by a regulated entity: asses
penalties for noncompliance; compel the recipient to perform or refrain
from certain actions; recover costs; and/or collect money owed to the
government under environmental laws. 

Relationships:  Each enforcement action is related to one or more
specific determinations of noncompliance, or determinations of the need
for response or corrective action.

	Each enforcement action is related to zero or one or more permits
through a violation.

	Each enforcement action is related to one or more defendant(s)
respondent(s).

	Each enforcement action can be linked to zero or one or more
violations. (Some enforcement actions are not based on alleged
violations of law.  Examples include many “imminent-and-substantial
endangerment” actions, and other actions brought to compel the
implementation of a response action, or to recover government costs.)

	Each enforcement action has a single current enforcement status; but
each action may have had a different status at other past times during
the lifetime of that action.

Each enforcement action is taken with respect to zero, one or more
facilities. (Though not common, it is possible to take an enforcement
action against an entity that is not related to a specific regulated
“facility.”)

Each enforcement action must have one or more
defendant(s)/respondent(s).

Each enforcement action is associated with a statutory authority.

Notes:		

XML Tag: EnforcementActionGeneralInformation	

Data Element Name	Data Element Definitions	Notes	Format	XML Tags

3. 1 Enforcement Action Date	The calendar date the enforcement action
was issued or filed.	For actions, involving written documents, the
Enforcement Action Date is the date on which the document was signed by
the Responsible Authority, except for judicial actions it is the date
the action was filed in or entered by the court.  For an informal action
based only on oral notification, it is the date the regulated entity
actually received such notification.

Refer to the Representation of Date and Time [EX000013.1] Data Standard 
D(8)	EnforcementActionDate

3. 2 Enforcement Action Identifier	The unique alphanumeric identifier
used in the applicable database to identify a specific enforcement
action pertaining to a regulated entity or facility. 

A(20)	EnforcementActionIndentifier

3.3 Enforcement Action Name	The formal name of the enforcement action as
shown on the caption of the legal instrument. 	Example List of Values:

U.S. v. XYZ Company 

State of --- v. XYZ Company 

In the Matter of XYZ Corp

	A(200)	EnforcementActionName



Data Element Name	Data Element Definitions	Notes	Format	XML Tags

3.4 Enforcement Agency Name	The full name of the agency, department, or
organization that submitted the enforcement action data to EPA.

A(100)	EnforcementAgencyName

3.5  Enforcement Agency Type	The type of agency that submitted the
enforcement action data the EPA.	Local agencies include intrastate
regional agencies (i.e., those with jurisdiction extending across
multiple local government boundaries).

EXAMPLE VALUES

US EPA – United States Environmental Protection Agency.

Other Federal – Another agency of the United States.

State – State agency.

Interstate – Interstate agency.

Local – Local agency.

Tribal – Tribal government agency.	A(13)	EnforcementAgencyType



Data Element Name	Data Element Definitions	Notes	Format	XML Tags

3.6 Enforcement Agency Location	The U.S. Postal Service alphabetic code
that represents the U.S. state and territory in which a state or local
government enforcement agency operates.	If the Enforcement Agency Type
is “State” or “Local,” the enforcement agency should enter the
two-letter postal code for the state or territory, in which it is
located, even though its jurisdiction is not statewide.

Permissible  Values List:

Use the two-letter U.S. Postal code for the state or territory.

Refer to the Contact Information Data [EX000019.2] Data Standard	A(2)
EnforcementAgencyLocation

 	A9100)	FederalStatuteViolated

3.8 State Statute Violated	The state statute and section(s) alleged to
have been violated.

A(100)	StateStatuteViolated

3.9 Tribal Statute Violated	The tribal statute(s), ordinance(s) or
law(s) alleged to have been violated.

A(100)	TribalStatuteViolated

3.10 Local Statute Violated	The local statute(s), ordinances(s) or
law(s) alleged to have been violated.

A(100)	LocalStatuteViolated

3.11 Citation	The citation(s) of the violations alleged.	Use regulatory
citation, if applicable, otherwise use statutory citation.  Use 
commonly accepted form of citation/	A(200)	Citation



Data Element Name	Data Element Definitions	Notes	Format	XML Tags

3.12 Noncompliance or Corrective Action Description	The narrative text
describing the noncompliance identified, or the response or corrective
action required.

A(200)	NoncomplianceCorrectiveActionDescriptionText

3.13 Enforcement Action Type	The type of action taken by the regulatory
agency.	EXAMPLE VALUES

Oral Notification of Violation – An oral notification to the regulated
entity of violation(s) of applicable laws where no further action is
contemplated assuming the entity achieves compliance in a timely manner.

Letter to Regulated Entity – A written notification to the regulated
entity of violation(s) of applicable laws, such as a warning letter,
where no further action is contemplated assuming the entity timely
achieves compliance.

Letter to State/Tribe – A written notification to a delegated or
authorized state, tribe or local government agency, about violation(s)
of applicable laws by a regulated entity within the jurisdiction of the
state or tribe.

	A(30)	EnforcementActionType



Data Element Name	Data Element Definitions	Notes	Format	XML Tags

Written Notice of Violation – A written notice sent to a regulated
entity, initiating the enforcement process by informing the entity of
violation(s) of applicable law, and requesting that the regulated entity
take action to come into compliance, with the expectation of            
             further follow-up action by the regulatory agency.

Demand for Stipulated Penalties – A written demand that a regulated
entity, which is subject to a previous Final Order, pay stipulated
penalties specified therein for violation(s) of its terms.

Judicial Referral – A formal written request to another agency or unit
of government to proceed with judicial enforcement (e.g., criminal or
civil judicial action) relating to the violation(s) in question.



Data Element Name	Data Element Definitions	Notes	Format	XML Tags

Field Citation – A legal instrument issued by an inspector in the
field; it provides the Respondent a chance to certify a return to
compliance, and pay a reduced penalty, without further discussion with
the Regulatory Authority and without further litigation.

Complaint/Proposed Order – A legal instrument that formally initiates
a “two-step” legal procedure (in which the Respondent has the right
to a specified further process such as a hearing or trial), the
objective of which is to secure an independently enforceable Final
Order.  This type of Enforcement Action can be either administrative or
judicial.

Final Order – An administrative or judicial legal instrument that
formally concludes an enforcement action, and which imposes on the
recipient independently enforceable obligations.



Data Element Name	Data Element Definitions	Notes	Format	XML Tags

Voluntary Compliance Agreement – A consent agreement in which a
regulated entity agrees to come into compliance, but which does not
invoke the legal enforcement authority of the government (i.e., the
agreement is enforceable only as contract). 

4.0	Additional Enforcement Action Attributes 

Definition: 	Attributes that provide additional descriptive information
about Enforcement Action Types “Notice of Violation,”
“Complaint/Proposed Order,” and/or “Final Order” only.

Relationships:  	Each Complaint/Proposed Order may be associated with
one or more Enforcement Action “relief sought” types (Data  

		Elements 5.1 – Cash Civil Penalty Amount Sought, 6.1 – Cost
Recovery Amount Sought, 6.3 – Collection Amount 

		Sought, and7.1 – Injunctive Relief Sought Description). 

	XML Tag:

		Each Final Order may be associated with one or more Final Order Relief
Required types.

	Notes:		AdditionalEnforcementActionAttributes



Data Element Name	Data Element Definitions	Notes	Format	XML Tags

4.1 Enforcement Action Forum	The legal forum in which the enforcement
action is brought.	EXAMPLE VALUES

Judicial – The action is brought in federal or state court.

Administrative – the action is brought before an administrative body
or tribunal; or the action is brought by an administrative agency and
does not involve a separate tribunal (e.g., a warning letter or Notice
of Violation (NOV).	A(14)	EnforcementActionForum

4.2  Enforcement Action Status	The current status of the enforcement
action.	EXAMPLE VALUES

Active – A Notice of Violation, Judicial Referral, or
Complaint/Proposed Order has been initiated, but a Final Order has not
yet been issued, nor has the Action been otherwise Concluded, Closed,
Superseded, or Combined.

	A(25)	EnforcementActionStatus

Concluded – The action has been concluded, but not yet closed.  An
enforcement action is concluded but not closed when a Notice of
Violation or a Final Order has been issued, but all actions requested in
such Notice or required in such Order have not yet been completed;
and/or the termination date in the Final Order (if specified) has not
yet passed; and the action has not been Superseded, Combined, Withdrawn,
or Dismissed.

Closed – All actions requested in a Notice of Violation, or required
in a Final Order, have been completed by the recipient; or the
termination date of the Final Order (if such a date specified) has
passed; or the action has been Withdrawn or Dismissed, or the
enforcement action has been superseded by, or combined into, another
related enforcement action addressing the same violation.

Stayed While Under Appeal – Where a Final Order has been appealed, and
its effective date has been stayed pending the outcome of the appeal,
this value should be used. 

4.3  Enforcement Action Status Date	The calendar date of the most recent
Enforcement Action Status determination.	Refer to the Representation of
Date and Time [EX000013.1] Data Standard	D(8)
EnforcementActionStatusDate

4.4 Enforcement Action Resolution Type	The mechanism by which the
enforcement action is revealed.	EXAMPLE VALUES

Consent: A Final Order issued by the Responsible Authority, or the
tribunal, with the comment of the parties.

Adjudicated – A Final Order issued by the Responsible Authority, or
the tribunal, after adjudication (motion practice, trial, hearing,
etc.), where the matter has been contested by the Respondent.

Unilaterally Issued – A Final Order issued by the Responsible
Authority without the Respondent’s consent and without any proceedings
such as a hearing or trial.

Default- A Final Order issued by the Respondent Authority or the
tribunal as a consequence of the Respondent’s failure to timely carry
on with the subsequent procedural steps.

	A(19)	EnforcementActionResolutionType

Withdrawn – A Notice of Violation or a Complaint/Proposed Order that
is withdrawn by the Responsible Authority.

Dismissed – A Complaint/Proposed Order that is dismissed by the
Responsible Authority or tribunal.

 Superseded or Combined – An enforcement action has been superseded by
another related enforcement action (e.g., a Notice of Violation has been
superseded by a Complaint/Proposed Order or a Final Order); or has been
combined into another related enforcement action.

5.0	Enforcement Action Cash Penalty and Supplemental Environmental
Project (SEP) Information

Definition: Additional information about 

   ** Any cash civil penalty sought through, and/or required pursuant
to, an Enforcement Action; 	

** Any stipulated penalty subsequently required to be paid as a
consequence of noncompliance by the     Defendant/Respondent with the
terms of a Final Order; and ‘

	  ** Any Supplemental Environmental Projects (SEP) required to be
performed pursuant to a Final Order.

Relationships:  

Notes:		

XML Tag: EnforcementActionCashPenaltyandSupplementalEnvironmentalProject


Data Element Name	Data Element Definitions	Notes	Format	XML Tag

5.1 Cash Civil Penalty Amount Sought	The dollar amount of any proposed
cash civil penalty set forth in a Compliance/Proposed Order.	The amount
sought is the amount initially proposed, requested or demanded by the
agency that initiates an enforcement action that seeks a penalty. The
amount required (see Data Element # 5.2 – Cash Penalty Amount
Required) is the amount ultimately agreed to in a settlement, or imposed
by the tribunal or other responsible authority.

Does not include: 

**The value of Supplemental  Environmental Projects (SEP) that may be
included in a resolution of the enforcement actions;

**The value of any Stipulated Penalties that may be sought for
noncompliance with a Final Order; or 

**The value of any injunctive relief that may be required by a Final
Order.	N(15)	CashCivilPenaltyAmountSought

5.2 Cash Civil  Penalty Amount  Required	The dollar amount of any cash
civil penalty, payment of which is required pursuant to a Final Order.
The figure to be reported is the amount required to be paid, whether or
not such penalty has been collected.

Does not include:

**The value of any Stipulated Penalties that may be required for
noncompliance with the Final Order;

**The value of any Supplemental Environmental  Project (SEP) included in
the Final Order; or 

**The value of any injunctive relief required by the Final Order,	N(15)
CashCivilPenatlyAmountRequired

5.3 Stipulated Penalty Amount Required	The dollar amount of any cash
stipulated penalty, payment of which is required by the Enforcement
Agency, pursuant to the terms of a pre-existing Final Order.	A
Stipulated Penalty Amount Required figure should only be reported if the
Enforcement Agency has made a demand for payment thereof (whether or not
the amount has been collected); or the Defendant/Respondent has
self-assessed and paid such Penalties.  Stipulated penalties include
suspended or contingent penalties, payment of which is required only in
the event of subsequent noncompliance (after initial resolution of an
enforcement action).	N(15)	StipulatedPenaltyAmountRequired

5.4 SEPs Description	The narrative text describing any Supplemental
Environmental Projects required to be performed pursuant to a Final
Order.

A (2000)	SupplementalEnvironmentalProjectsDescriptionText

5.5 SEPs Value	The dollar value of any Supplemental Environmental
Projects (SEP) required to be performed pursuant to a Final Order.	This
is the estimated full cost to the Defendant/Respondent of implementing
any such SEPs.	N(15)	SupplementalEnvironmentalProjectsValue

5.6 SEPs  Penalty Assessment Value	The portion of the Supplemental
Environmental Projects (SEP) Value which is explicitly denominated as a
civil penalty assessed in a Final Order.	EPA does not denominate any
portion of the SEP Value as a civil penalty, so for EPA actions this
value will be zero.  However, other jurisdictions may denominate some
portion of the Required SEP Value as a penalty. Thus, the SEPs Penalty
Assessment Value may be any fraction of the SEPs Value from 0% to 100%,
although it is usually substantially less than 100%.	N(15)
SupplementalEnvironmentalProjectsPenaltyAssessmentValue

5.7 Total Civil Penalty Value	The total value of the civil penalty
required by a Final Order.	The value is the sum of the Cash Civil
Penalty Required Amount plus the Required SEPs Penalty Assessment Value.
 The Total Civil Penalty Value may be equal to or greater than the Cash
Civil Penalty Required Value.  (For EPA cases, it will be equal to the
Cash Civil Penalty Required Value.)	N(15)	TotalCivilPenaltyValue

6.0	Enforcement Action Cost Recovery and Collection Information 

Definition:  Information about any cost recovery or collection sought
through, and/or required pursuant to, an Enforcement Action. 

Relationships:  

Notes:		

XML Tag: EnforcementActionCostRecoveryandCollectionInformation



Data Element Name	Data Element Definitions	Notes	Format	XML Tags

6.1 Cost Recovery  Amount Sought	The dollar amount of any cost recovery
sought in a Complaint/Proposed Order.	If the enforcement action seeks
reimbursement of future government costs, not yet expended, and the
amount of such future costs can be reasonably accurately estimated, such
amount may be included here.	N(15)	CostRecoveryAmountSought

6.2 Cost Recovery Amount Required	The dollar amount of any cost recovery
required to be paid pursuant to a Final Order.	Report the amount
required in the Final Order, whether or not it has been collected.  If
the Enforcement Action resolution includes an enforceable obligation for
the Defendant/Respondent to reimburse future government costs, not yet
expended (e.g., upon presentation of a bill), and the amount of such
future costs can be reasonably and accurately estimated, such amount may
be included here.	N(15)	CostRecoveryAmountRequired

6.3 Collection Amount Sought	The dollar amount of the prior debt sought
to be collected through a Complaint/Proposed Order,

N(15)	CollectionAmountSought

6.4 Collection Amount Required	The dollar amount of any collection
payment required in a Final Order or other mechanism used to resolve the
collection Complaint/Proposed Order.	Report the amount required in the
Final Order, whether or not it has been collected.	N(15)
CollectionAmountRequired

7.0	Enforcement Action Injunctive Relief Information  

Definition:  Information about any injunctive relief sought through,
and/or required pursuant to, an Enforcement Action, but not including
penalties, cost recovery, and Supplemental Environmental Project (SEP)
obligations.  

Penalties, cost recovery and SEPs, are addressed in separate categories.

The environmental benefits anticipated from such Injunctive Relief are
covered in the Enforcement Action Compliance Milestones Information Data
Group.

Relationships:  

Notes:		

XML Tag:EnforcementActionInjunctiveReliefInformation

Data Element Name	Data Element Definitions	Notes	Format	XML Tags

7.1 Injunctive Relief Sought Description	Narrative description of the
injunctive relief sought through a Complaint/Proposed Order.	Does not
include penalties, cost recovery or Supplemental Environmental Project
(SEP).	A (2000)	InjunctiveReliefSoughtDescription

7.2 Injunctive Relief Required Description	Narrative description of the
injunctive relief required in a Final Order,	Does not include penalties,
cost recovery, or Supplemental Environmental Project (SEP),	A (2000)
InjunctiveReliefRequiredDescription

7.3  Injunctive Relief Value	The estimated dollar cost to the
Defendant/Respondent of carrying out all injunctive relief (not
including penalties, cost recovery or Supplemental Environmental
Projects) required pursuant to a Final Order,

N(15)	InjunctiveReliefValue

8.0	Enforcement Action Compliance Milestones Information  

Definition:  Information about the status of implementation, by
Defendant/Respondent, of compliance actions required as milestones
included in a Final Order or other enforcement action resolution,
including Injunctive Relief.  Supplemental Environmental Projects (SEP),
Penalty or Cost Recovery payment required,

Relationships:  

Notes:		

XML Tag: EnforcementActionComplianceMilestonesInformation 

Data Element Name	Data Element Definitions	Notes	Format	XML Tags

8.1 Compliance Milestones Status	The status of implementation by a
Defendant/Respondent, on a given date (the Compliance Milestones
Determination Date), of any compliance milestone actions required to
have been completed by the date, including injunctive relief,
Supplemental Environmental Projects, and penalty and cost recovery
payments required.	EXAMPLE VALUES

Implemented by Due Date(s) – All required milestone actions, the
deadlines for which are on or before the reporting date, were
implemented by the specified deadline date(s),

Implemented by Determination Date, but Later than Due Date(s) – One or
more milestone actions were not implemented by the date(s) specified in
the enforcement action resolution instrument, but such actions were
completed before the most recent Compliance Milestones Status
Determination Date,

	A(100)	ComplianceMilestonesStatus

8.2 Compliance Milestones Status Determination Date	The calendar date
the Responsible Authority last determined a regulated entity’s status
of compliance with the milestone obligations in an enforcement action
resolution instrument.	Refer to the Representation of Date and Time
[EX000013.1] Data Standard	D(8)
ComplianceMilestonesStatusDeterminationDate

Data Element Name	Data Element Definitions	Notes	Format	XML Tag

8.3 Compliance Milestones Violation Response Indicator	The code that
indicates whether the Enforcement Agency has taken action in response to
a Compliance Milestones Implementation Violation.	Such response action
may include a demand for stipulated penalties; further enforcement
action seeking additional civil penalties; further action seeking to
impose contempt sanctions; amendment or revision of the compliance
schedule to set new milestone dates; etc.

Permitted List of Values:

Y -  Yes

N – No	A(1)	ComplianceMilestonesViolationResponseIndicator

8.4 Compliance Milestones Completed Date	The calendar date, determined
by the Reporting Authority, on which all compliance milestone actions
required in an enforcement action resolution have actually been
completed, including all injunctive relief, SEPs, and all penalty or
cost recovery payments required.	Refer to the Representation of Date and
Time [EX000013.1] Data Standard	D(8)	ComplianceMilestonesCompletedDate

9.0 	Defendant/Respondent Affiliation Information

Definition: Information on the affiliation of the defendant(s) or
respondent(s) named in the enforcement action.

Relationships:  Each enforcement is linked to one or more
defendant/respondents and each defendant/respondent may be affiliated
with one or more facilities that are the subject of the enforcement
action. Additional information about each defendant/respondent (e.g.,
mailing address, DUNS Number, contact person, title, etc.) may be
recorded as defined in the Facility Site Identification Data Standard,
irrespective of whether or not the defendant/respondent is an owner or
operator of a facility that is the subject of the enforcement action
(e.g., where the defendant/respondent’s only affiliation to the
facility is as Generator or Transporter.)

Notes:		

XML Tag: DefendantRespondentAffiliationInformation 



Data Element Name	Data Element Definitions	Notes	Format	XML Tags

9.1 Affiliation of  Defendant/Respondent to Facility	The name that
describes the capacity or function that a defendant/respondent serves
for a facility that is the subject of the enforcement action.	The
Defendant/Respondent may be related to the subject facility in more than
one way; therefore, more than one permissible value may be selected. 
For example, an owner of a facility may also be an operator.  Similarly,
the generator of wastes may also be the owner or operator of the
facility where the wastes were disposed.

Note that a waste transporter may also be the owner or operator of the
facility.  If the violations alleged are with respect to that facility,
the affiliation is as “Owner” and/or “Operator.” If the
violations alleged are with respect to the Defendant’s activities as
transporter to or from another facility, then the affiliation is
“Transporter.” 

EXAMPLE VALUES: 

Owner – The defendant or respondent is the owner of the facility.

Operator – The defendant or respondent is a generator of waste
material found at the subject facility. 

Other- The defendant or respondent has an affiliation to the facility
other than the owner, operator, generator, or transporter.  

	A(11)	AffiliationDefendantRespondentFacility

Appendix A

gram

		Enforcement and Compliance	

		Standard No.: EX00000-XX

		Version 2.2 – Draft

10/26/2005 	Working Draft – Well Identification Data Standard 

		Enforcement and Compliance

		Std No.: EX000.1-XXX

		Version 2.2 - Draft

  DATE \@ "M/d/yyyy"  2/14/2008 		Page   PAGE  4 		Page   PAGE  4  

11/7/2007		Page   PAGE  41  

11/7/2007		Page   PAGE  42  	

Enforcement and Compliance

Data Standard

3.0 Enforcement Action General Information  

3.1  Enforcement Action Date

3.2  Enforcement Action Identifier  

3.3  Enforcement Action Name

3.4  Enforcement Agency Name

3.5  Enforcement Agency Type

3.6 Enforcement Agency Location

3.7 Federal Agency Location

3.8 State Statute Violated 

3.9 Tribal Statute Violated

3.10 Local Statute Violated 

3.11 Citation

3.12 Noncompliance or Corrective Action Description

3.13 Enforcement Action Type

2.0 Violation  

2.1  Violation Determined Date

2.2  Violation Class Type 

2.3  Compliance Schedule Indicator Code

2.4  Return to Compliance Schedule Date  

2.5  Return to Compliance Actual Date  

1.0 Compliance Monitoring Information

1.1   Compliance Monitoring Date

1.2   Compliance Monitoring Identifier

1.3   Compliance Monitoring Agency Name

1.4   Compliance Monitoring Agency Type

1.5   Compliance Monitoring Action Type

1.6   Compliance Inspection Type 

1.7 Off-Site Record Review Type

1.8   Compliance Monitoring Media Type

1.9   Citizen Complaint Indicator Code

1.10 Compliance Monitoring Action Reason 

1.11 Compliance Monitoring Action Priority Originator

1.12 Compliance Monitoring Priority 

1.13 Compliance Monitoring Action Outcome

5.0 Enforcement Action Cash Penalty and Supplemental Environmental
Project (SEP) Information

5.1 Cash Civil Penalty Amount Sought

5.2 Cash Civil Penalty Amount Required

5.3 Stipulated Penalty Amount Required

5.4 SEPs Description

5.5 SEPs Value

5.6 SEPs Penalty Assessment Value

5.7 Total Civil Penalty Value

4.0 Additional Enforcement Action  Attribute     

4.1 Enforcement Action Forum

4.2 Enforcement Action Status

4.3  Enforcement Action Status Date 

4.4 Enforcement Action Resolution Type

6.0 Enforcement Action Cost Recovery and Collection Information  

6.1 Cost Recovery Amount Sought 

6.2 Cost Recovery Amount Required 

6.3 Collection Amount Sought 

6.4 Collection Amount Required 

7.0 Enforcement Action Injunctive Relief Information 

7.1 Injunctive Relief Sought Description 

7.2 Injunctive Relief Required Description 

7.3 Injunctive Relief Value 

8.0 Enforcement Action Compliance Milestones information 

8.1 Compliance Milestones Status 

8.2 Compliance Milestones Status Determination Date 

8.3 Compliance Milestones Violation Response Indicator

8.4 Compliance Milestones Completed Date

9.0 Defendant/Respondent Affiliation Information  

9.1 Affiliation of Defendant/Respondent to Facility