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Click on a term to view the definition:
Compliance Status
Type Definitions
Document Status Type Definitions
Incident Follow-up Status Type Definitions
Violation Status Type Definitions
Activity
Number
- A system generated number consisting of three alpha
characters representing the Activity Type, followed
by six numeric characters, the first two of which represent
the calendar year and the last four of which are in
sequence beginning with 0001.
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Administrative
Consent Order (ACO) - A Negotiated
Enforcement Action whereby the scope of remedial actions
(compliance) and schedules as well as penalties are
identified and agreed upon by both parties. The parties
also agree on Stipulated Penalties to be assessed in
the event that the violator fails to comply with an
ACO.
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Administrative
Order (AO) - A Prescribed Enforcement
Action issued after determining that a violator has
not complied with an NOV, or after determining that
the violation is not a minor violation. An Administrative
Order by itself carries no penalty assessment, but orders
the violator to comply with a requirement in accordance
with the prescribed compliance schedule.
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Administrative
Order and Notice of Civil Administrative Penalty Assessment
(AONOCAPA) - A Prescribed Enforcement Action issued after determining that a violator
has not complied with an NOV, or after determining that
the violation is not a minor violation. AONOCAPAs carry
penalties, and are contestable through the State's Office
of Administrative Law.
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(Air) Annual
Compliance Certification
- A review of Title V Annual Compliance Certification
reports submitted by holders of Title V permits.
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(Air) Compliance
Schedule (Review) -
A review of the section of a Title V application that
pertains to non-compliance issues currently existing
at a facility.
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(Air) Excess
Emission Report
- An inspection in which Excess Emission Reports (EERs),
submitted to DEP by a facility, are reviewed by an inspector/investigator.
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(Air) Emission
Statement Audit
- A comprehensive review of a facility's emission statement.
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(Air) Negative
Declaration
- Review of a facility's potential to emit when requested
by facility to lower their facility size ranking.
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Audit
- An inspection, under the category of Compliance Assistance,
in which an inspector/investigator examines a facility
for compliance with the regulations, while providing
information to the facility representative. In general,
no enforcement actions are issued as a result of this
type of inspection, unless the situation is extraordinary
in a negative way.
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Bear Incident Category I
Characterizes the Bear incident with following surroundings:
AGRICULTURE
ATTEMPTED HOME ENTRY
UNPROVOKED DOG ATTACK
HUMAN ATTACK
Category Level I often leads to Bear’s death.
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Bear Incident Category II
Characterizes the Bear incident with following surroundings:
CAMP SITE
PROVOKED DOG ATTACK
GARBAGE
NUISANCE
OTHER
PROPERTY DAMAGE
Under Category Level II, Bear may end up being shot with rubber bullets or captured.
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Bear Incident Category III
Characterizes the Bear incident with following surroundings:
BIRD FEEDER
FOUND DEAD
INJURED BEAR
ILLEGAL KILL
OTHER
SIGHTING
URBAN BEAR
VECHICLE STRIKE
A dead Bear found or a sighting of a Bear passing through private property are examples of category level III Bear incident.
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Brief Compliance
Inspection
- A routine inspection conducted on a specific schedule
(i.e., weekly, biweekly, monthly, quarterly) or to review
a small set of requirements, as opposed to all requirements
that may apply.
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CEHA (County
Environmental Health Act) - A
regulation governing the DEP's relationship with county
agencies. Through this legislation agreements between
state and county agencies are made in relation to environmental
issues, particularly the responsibilities for environmental
oversight and inspections.
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CEHA Inspection
- An inspection conducted by a county agency and authorized
and/or funded under the CEHA Act. Generally, these inspections
are recorded when an alleged violation has been discovered.
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Compliance
Achieved Date
- The date upon which an entity has physically complied
with a specific requirement.
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Compliance
Assistance -
A compliance evaluation conducted by the Department
for the primary purpose of identifying regulated equipment,
areas or processes at a PI. Compliance Assistance can
be provided by multiple programs, like Greenstart and
One Stop, or be specific to a single program, like Hazardous
Waste (Audit).
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Compliance
Due Date - The date
the DEP program requests that an entity achieve physical
compliance with a specific requirement.
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Compliance
Evaluation -
A determination of the compliance status of a PI with
regard to one or more rules, regulations, enforcement
orders, or other requirements through inspecting the
facility, reviewing records. A compliance evaluation
has a start date, when an investigator began the evaluation,
and an approved date, the date the Department confirmed
the compliance evaluation. In general a compliance evaluation
is associated with a single PI & Activity ID.
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Compliance
Status - An indication
for a single requirement of the result of the compliance
evaluation. Compliance Statuses include Out of Compliance
(OC), In Compliance (IC), Not Determined (ND), etc.
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Compliance Status Types:
Compliance
Not Determined
- Compliance could not be determined from observation or based on available evidence. The status implies intent and an effort to make such determination. Usually indicates the situation prevented determination or made the requirement itself irrelevant such as with projects not yet begun or equipment not in operation.
Data Collection
- The requirement is strictly a checklist item
being used to collect data about the PI, not to
record compliance. For example, Potable Water
checklists were developed to collect data that
will eventually be stored in other NJEMS screens
once developed.
Heading
- The requirement is a checklist heading, not
a true regulatory requirement. There is no compliance
determination made for Headings.
In Compliance
- The requirement is found to be in compliance.
No
- The requirement is strictly a checklist item
not being used to record compliance. The checklist
item is being used to gather information about
the PI, not compliance with a true regulatory
requirement. Marking a requirement as No will
not create a violation.
No Obvious Concern
- The requirement is in compliance, but is enforced
by another Enforcement program (i.e. a Screening
Checklist requirement) and therefore should not
be definitively marked with In Compliance.
Not Applicable
- The requirement does not apply to the PI or
that particular inspection, and therefore a compliance
status is not recorded.
Not Inspected
- There was no intention to evaluate compliance with this requirement and/or no effort was expended to evaluate compliance with it.
Out of Compliance
- The requirement is out of compliance and becomes
a violation when the inspection is finalized.
Out of Compliance, Non-referred
- The requirement is out of compliance, but should
not be referred to the violation list because
it is continuing in nature and the original violation
is already recorded on the list. The only other
time this status may be used is when a more appropriate
requirement is marked OC somewhere else (ie: Non-Checklist).
ON should never be used without the existence/creation
of a violation record.
Potential Violation
- The requirement is alleged to be out of compliance
but is enforced by another Enforcement program
and therefore should be referred to that program
for follow-up.
Yes
- The requirement is strictly a checklist item
not being used to record compliance. The checklist
item is being used to gather information about
the PI, not compliance with a true regulatory
requirement.
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Description
of Non-Compliance - A narrative
explaining how an entity has failed to comply with a
specific requirement.
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Discovery
Activity - The Activity
Number of the inspection activity in which the alleged
violation was discovered.
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Discovery
Date - The start date
of the inspection activity in which the alleged violation
was discovered.
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Document Status
- A term used to explain the state of a document. Document
statuses include Effective; Amended; Superseded, Closed,
etc.
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Document Status Types:
Amended
- An enforcement action is changed (fixed or corrected
only) by a new enforcement action of the same
type. The document replacing it will have a new
ID but is considered as a new version of the original.
Closed
- An enforcement action is complied with completely
(corrective actions, penalties, conditions, etc)
are all satisfied.
Conducted
- A compliance evaluation screen is locked. The
system will take the compliance evaluation screen's
end date as the conducted date.
Effective
- The conditions (and corrective actions) of an
enforcement action are considered to be in effect
(usually begins with violator's receipt). Any
clocks for due dates are ticking when effective.
Effective-NFA
- An enforcement action was issued but because of low priority
or other circumstances, no more resources will be expended to
ensure or confirm a return to compliance. In Land Use cases of
this status a deed attachment is typically applied to ensure
compliance upon the sale of property.
Hearing Requested
- An enforcement action that was effective
is contested or is in court.
Referred to Collections
- An enforcement action specifying penalties that have been issued
3rd Notices for non-payment are referred to the State’s contracted
collection agency.
Rescinded
- An enforcement action that was once effective
is no longer effective. This is meant to imply
a reversal of previous decisions by the department.
Settlement Pending - An enforcement action specifying
penalties or leading to penalties is being addressed by a separate
Settlement Agreement that was executed but is not yet completely
resolved. Documents of this status can be made Effective again
in the event the Settlement is not paid or resolved.
Superceded
- An enforcement action is replaced by a new enforcement
action, usually of a new type. The document replacing
it will have a new ID and is considered as a distinct
2nd document (NOV to AONOCAPA).
Voided
- Applies to Negiotiated Enforcement Actions (NEA) only, indicating
the agreed upon conditions were not met and that any concessions by
the Department no longer apply. Either a previously issued or a
new Prescribed Enforcement Action that is more restrictive or
punitive will be made effective.
Withdrawn - A draft negotiated enforcement action
was sent to a violator but was not signed and executed by all
parties. Withdrawn documents were never effective. |
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Document Type
- The description of an enforcement action. Document
types include NOV (Notice of Violation); Administrative
Order; AONOCAPA (Administrative Order and Notice of
Civil Administrative Penalty Assessment); NOCAPA (Notice
of Civil Administrative Penalty Assessment); Settlement
Agreement; Stipulation of Settlement; etc.
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Effective
Start Date - The
date on which the Responsible Entity received an enforcement
action.
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Enforcement
Action - A legal
document issued by the NJDEP to a person or facility
responsible for a violation of the State's environmental
regulations. Enforcement actions are either Prescribed
Enforcement Actions or Negotiated Enforcement Actions.
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Finalized
Date - The date, upon
which the inspector/investigator completed the inspection,
submitted a report, and the report was reviewed and
approved by a supervisor.
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Follow-Up
Activity - Any activity
performed by an inspector to determine the compliance
status of a regulatee with regard to a previously issued
enforcement action. Examples of follow-up activities
include re-inspections and confirmation of receipt of
submittal requirements.
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Formal Enforcement
Actions -
A category of enforcement actions consisting of all
Prescribed Enforcement Actions except Notices of Violation.
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General Submittal
Review - A
review of materials submitted to a DEP program either
to determine compliance or to grant or deny requests
for extension in achieving compliance.
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GreenStart
Inspection -
A type of Compliance Assistance inspection that is requested
by a facility. The facility may request that one or
more DEP program areas perform an inspection of their
facility. In general, no enforcement actions are issued
as a result of this type of inspection, unless the situation
is extraordinary in a negative way.
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Hazardous
Waste Sampling
- An inspection that includes the DEP staff taking samples
of materials in order to determine compliance with the
regulations.
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(HW) Operation
and Maintenance
- An inspection conducted at Hazardous Waste regulated
Landfills; Surface Impoundments; Lagoons; etc. in which
DEP personnel observe the sampling of monitoring wells
and send a report to the Federal Environmental Protection
Agency (EPA) explaining their findings.
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(HW) Transporter
Roadside Inspection
- An inspection conducted throughout the State of New
Jersey on a highway in which motor vehicles are pulled
over by the State Police and examined for compliance
with Federal Department of Transportation requirements,
as well as New Jersey State Regulations.
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Incident Follow-up
Status - An indication
of how or if the incident was resolved. Incident Follow-up
Statuses include Pending, Referred, Closed-Investigated
(with or without violations), etc.
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Incident Follow-up Status
Types:
Closed,
No Inv
- A routine notification was mApril 11, 2007he DEP made no response or
investigation into it.
Awaiting Rev/Approve
- This is an interim status used to help supervisors
find incidents that require review and approval.
Once considered complete the status will be set
to a final status like Closed, Inv-no viol, Closed,
Inv-w/viol or Inv., Not Confirmed.
CEHA - no viol
- DEP referred the investigation to a CEHA agency
that responded and conducted an investigation,
which concluded without identification of any
violations.
CEHA - w/viol
- DEP referred the investigation to a CEHA agency
that responded and conducted an investigation,
which concluded with identification of one or
more violations.
Cl, Inv (Do Not Use)
- This is the old Closed, Investigated status
that can not be deleted because of historical
data, but is not to be used when adding a new
incident follow-up status.
Closed, Inv-no viol
- DEP responded and conducted an investigation,
which concluded without identification of any
violations.
Closed, Inv-w/viol
- DEP responded and conducted an investigation,
which concluded with identification of one or
more violations. When this status is used, there
must be a link established from the CE screen
which documents the violation, to the incident.
Inv., Not Confirmed
- DEP responded but there was no longer an issue
to agree or disagree with. The investigation has
terminated upon responding. This may be due to
not making contact with a complainant or the complainant
retracting the complaint. This status is also
used if the complaint is anonymous and upon arrival
there is no reason found for concern. This status
will essentially be used to identify where resources
have been used fruitlessly.
Pending
- The incident was recorded and may be under investigation.
The staff assigned field will be populated if
it is under investigation. In the new version,
Pending incidents are assigned only if there is
a value in the staff assigned field.
Referred
- The incident record was provided to another
authority for their attention.
Referred to Qtr. EER
- This is an Air specific status that indicates
the incident will be followed-up and concluded
during review of the associated quarterly Excess
Emission Report (EER).
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Incident ID
- The unique identification number given to each notification
received by the NJDEP Communication Center.
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Incident Investigation
- An inspection resulting from one or more phone calls
to the DEP's Communication Center, either from a citizen
or a facility representative. Generally, Incident Investigations
are recorded when a violation has resulted, however,
this is not always the case.
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Inspections
- Compliance evaluations conducted through site visits
and/or submittal reviews that are identified as essential
programmatic activities. These include inspections targeting
specific industries, pollutants, and geographical areas
to further the Department's initiatives.
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Inspection
Type - A subcategory
of an inspection. Inspection Types include (Air) Excess
Emission Report; Brief Compliance Inspection; Standard
Compliance Inspection; Incident Investigation; (HW)
Transporter Roadside Inspection; etc.
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Mandatory
Monthly Reporting (MMR) - A NJPDES
permittee who monitors and reports less frequently than
monthly has a violation which requires the permittee
to adjust its monitoring schedule to monitor and report
on a monthly basis. The increased monitoring is triggered
by a Serious Violation or by the failure to submit a
complete Discharge Monitoring Report.
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Negotiated
Enforcement Action (NEA) - An
enforcement action executed by both the Department and
the regulatee to address existing non-compliance issues
through a compliance schedule, resolve a penalty assessment
or both. A Negotiated Enforcement Action is one of the
following activity types: Administrative Consent Order,
Alternate Dispute Resolution, Judicial Consent Order,
Penalty Settlement Offer, Settlement Agreement, Stipulation
of Settlement.
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Notice of
Civil Administrative Penalty Assessment (NOCAPA)
- An enforcement action issued for a non-minor violation
that has been corrected in the time between the occurrence
of the violation and the preparation of the enforcement
action.
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Notice of
Penalty (NOP) - An enforcement
action used by the Pesticides, Radiation, Water Allocation
and Stream Encroachment programs which only have authority
to assess civil penalties, as opposed to civil administrative
penalties. The Notice of Penalty identifies the violation,
directs them to correct it, and offers to settle for
a specified amount. If the violator is not willing to
settle, the case is referred to the Office of the Attorney
General.
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Notice of
Violation (NOV) - A Prescribed
Enforcement Action that puts the violating party on
notice that a violation has occurred. A NOV can be prepared
either as a result of an inspection or review of a submittal
from a regulated facility. The NOV lists the date of
discovery of the violation, description of the violation,
and a compliance due date. NOVs do not carry penalties,
but can serve as the basis for additional enforcement
action if compliance is not achieved. Generally a NOV
will allow 30 to 60 days for compliance. NOVs cannot
be appealed. In many instances, if the violation is
corrected, no additional actions will follow.
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One Stop
- An inspection conducted by multiple DEP programs to
determine compliance with ALL applicable requirements
at a facility.
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Prescribed
Enforcement Action (PEA) - An
enforcement action unilaterally issued by the Department
to a regulatee as the result of a violation discovered
or confirmed through a compliance evaluation. A Prescribed
Enforcement Action is one of the following activity
types: Administrative Order, Administrative Order and
Notice of Civil Administrative Penalty Assessment, Notice
of Civil Administrative Penalty Assessment, Notice of
Violation, Judicial Order, Judicial Order with Penalty,
and a Stipulated Penalty Demand Letter.
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Program Description
- The term used to
describe a DEP program (i.e., Air; Water Quality; Hazardous
Waste; Solid Waste; TCPA; DPCC; Right To Know; etc.).
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Program Interest
(PI) - The data representation
of a logical grouping of related resources (mainly structures,
facilities, buildings, machinery, equipment, etc.) located
at, or associated with a DEP-designated Site, which
are of interest to one DEP Program. The program's interest
is the result of activities, operations and/or situations
requiring DEP regulation or oversight. Aspects of one
Program Interest may overlap either partially or entirely
with those of another, depending on the focus of the
interested programs with regulatory or oversight responsibility.
As a result, a single facility may be represented by
more than one Program Interest data record.
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Program Interest
Name - The name
used by a DEP program area or provided by a regulated
entity to describe a Program Interest.
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Program Interest
Number (PI Number) - The
unique identifying number for a PI. The PI Number may
include letters, numbers and in some cases dashes.
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PI & Activity
ID - The unique combination
of a regulatee's Program Interest Identification # and
the NJEMS identification of the subject activity. For
example the PI & Activity ID, "55600 - NEA000012"
refers to the 12th (0012) Negotiated Enforcement Action
(NEA), issued in calendar year 2000 (00), to the Program
Interest with ID# 55600.
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Program Interest
Type (PI Type) - A descriptor
serving to differentiate between varieties of Program
Interests within a given program. Each Program Interest
may only be labeled with a single PI Type at a time,
even if it somehow displays attributes of other documented
PI Types. PI Types are not permanent and may change
for a given Program Interest over time if either the
Program Interest changes or the program's needs for
classification change.
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Public Community Water System -
"Public community water system" means a public water system which serves at least 15
service connections used by year-round residents or regularly serves at least
25 year-round residents.
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Public Non-Community Water System -
"Public noncommunity water system" means a public water system that is not a public
community water system and is either a "public nontransient noncommunity water system"
or a "public transient noncommunity water system" as defined in this section.
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Public Water System -
"Public water system" means a system for the provision to the public of water
for human consumption through pipes or other constructed conveyances, if such
system has at least 15 service connections or regularly serves at least 25 individuals
daily for at least 60 days out of the year. Such term includes any collection,
treatment, storage and distribution facilities under control of the operator of
such system and used primarily in connection with such system, and any collection
or pretreatment storage facilities not under such control which are used primarily
in connection with such system. A public water system is either a "public community
water system" or a "public
noncommunity water system".
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Related Activities
- Activities that amend, supersede or co-exist with
the activity that you are viewing. Related activities
include one or more of the same alleged violations discovered
during an inspection.
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Response to
Inquiry-Executive Referral -
An inspection conducted as a result of either an Executive
Referral (either from DEP Executive Staff or other State
Executive Staff members) or a letter from the general
public.
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Responsible
Entity - A person
and/or company to whom an enforcement action is issued.
This entity is considered to be legally responsible
for the alleged violation and corrective actions to
be taken to achieve compliance.
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Self-Initiated
Investigation
- An inspection that is conducted as a result of either
reviewing paperwork at another location or that is observed
during the course of daily work. These are impromptu
inspections.
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Serious Violation
- Listed as Severity on the Violation reports
- is an exceedance of a NJPDES permit limit as follows:
1. Exceedance of a monthly average by 20% or more for
a hazardous pollutant; or 2. Exceedance of a monthly
average by 40% or more for a non-hazardous pollutant.
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Settlement
Agreement - This
is a document drafted by the Department then reviewed
by the violator and jointly executed. It is used primarily
to resolve penalty disputes for a contested formal document
issued by the Department. The settlement document should
include a brief description of the violation(s), a statement
indicating that compliance was achieved, and a penalty
settlement with instructions on when and where to remit
payment and withdrawal of hearing request.
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Significant
Noncomplier (SNC) -Listed as Severity
on the Violation reports - any person who commits any
of the following NJPDES violations: 1. A serious violation
for the same pollutant, at he same discharge point source,
in any two months of any six month consecutive period;
2. Exceedance of an effluent limitation expressed as
a monthly average, for the same pollutant, at the same
discharge point source, by any amount in any four months
of any consecutive six month period; or 3. Failure to
submit a completed discharge monitoring report in any
two months of any consecutive six month period.
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Site
- A Site is a single, contiguous piece of real property,
identifiable by location or spatial descriptors that
encompasses one or more Program Interests.
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Special Investigation
- An inspection that requires a lengthy investigation,
requiring multiple site visits and several file and/or
other paperwork reviews.
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Standard Compliance
Inspection
- An assigned inspection conducted by DEP programs to
determine compliance with all applicable requirements.
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Stop Sale,
Stop Use, Embargo - An enforcement
action used by the Pesticide and Radiation program when
a pesticide or radiation-producing piece of equipment
is being used in violation of the law and/or regulations.
An embargo prohibits the violator from using the pesticide
or radiation equipment until further notice.
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Violated Citation
- The alphanumeric code used to define a specific requirement.
The Violated Citation may refer to New Jersey State
Administrative Code; Federal Regulation; and/or New
Jersey Statute.
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Violation
Status - The state
of a specific requirement. Violation Statuses include
Pending; Rescinded; Satisfied; etc.
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Violation Status Types:
Affirmative Defense Approved
- A violation was referred to the list and it
was later determined to be outside of the entity's
control. This implies an event was indeed a violation
but any penalties are excused.
CEHA Violation
- A violation that was discovered by a county environmental health agency
(county health department).
Deleted
- Indicates that the violation record was created
through a procedural error and should be erased.
This should not be used when a decision is made
to "overturn" or reverse a violation.
The record will remain in the system, it will
just be marked with deleted status.
MMR and SNC Satisfied
- A water enforcement specific code indicating
that two aspects of the violation have been satisfied.
MMR Satisfied
- A water enforcement specific code indicating
that only one of two possible aspects of the violation
have been satisfied.
No Further Action
- The department considers the violation an accurate
record of the situation, but some or all of the
aspects remain unresolved. The department has
chosen not to take any further action.
Pending
- All violations default to this status upon creation.
They should remain in this status throughout the
creation, issuance and effective period of any
documents they are included in.
Rescinded
- The department agrees that the violation is
not an accurate account of the situation but the
record will remain to show the history of how
it was addressed.
Satisfied
- The violation was fully corrected.
SNC Satisfied
- A water enforcement specific code indicating
that only one of two possible aspects of the violation
have been satisfied.
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(Water) Affirmative
Defense Review
- A review conducted by Water Compliance and Enforcement
staff in response to an alleged effluent violation of
a NJPDES permit that may result in mandatory penalties.
The Water Compliance and Enforcement staff reviews the
circumstances surrounding these requests in order to
determine whether they should be approved or denied.
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