Enforcement Manual

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Table of Contents

Basic list of documents

October 2017

WORD

[46 KB]

Introduction

Overview of manual contents

November 1997

PDF [7 KB]
 

DEP Regulatory Enforcement Organization
Secretary, Deputy Secretary and Assistant Deputy Secretary for Regulatory Programs; Division Directors; Districts; Duties and Responsibilities of District Staff; OGC; Enforcement Section of the OGC, Other Governmental Entities

October 2017

PDF

[86 KB]

Compliance Options

Introduction; First Steps; Specific Non-Compliance; Conclusion

September 2013

PDF

[13 KB]

Enforcement Options
Introduction; First Step Options; Options Following the Issuance of a Compliance Assistance Offer; Options Following the Issuance of a Warning Letter; Options Following the Issuance Consent Order; Options Following the Submittal of a of a Notice of Violation; Options Following the Issuance of a Final Order or a Case Report to OGC; Options Following the Entry of a Consent Final Judgment or Final Judgment

November 2015

PDF

[63 KB]

Inspections and Investigations
Determining Non-Compliance; Investigation; Preparation for an On-Site Inspection; Regulatory Inspections - Obtaining Site Access; Site Access - Statutory Authority; Site Access - Permission; Site Access Permission by Owner, Operator or Person in Charge - Express Permission; Site Access Permission by Owner, Operator or Person in Charge - Implied Permission; Judicial Permission for Site Access; Inspection Warrant; Litigation Seeking Site Access; Site Access During Litigation; On-Site Inspection; Violation Corrected; Documenting the Inspection (Post-Inspection Reporting); Witnesses; Previous Enforcement Actions and Permits; Pictures; Ongoing Violation; Jurisdiction, Description of Violation, and Citation of Statutes or Rules Violated; Location; Obtaining Legal Descriptions; Responsible Parties; State Corporate and Partnership Information; Operational and Maintenance Factors; Sampling and Analysis; Technical Support for Criminal Violations; Search Warrants; General Sampling and Analysis Information; Photography; Videotaped Evidence; Measurement and Mapping

January 2013

PDF

[74 KB]
WORD

[108 KB]

The Administrative Process and Remedies
Nature of the Administrative Process; Warning Letter; The Notice of Violation; The Notice of Violation Subsections; The Orders for Corrective Action Section; The Notice of Rights Subsection; Model NOVs; The Consent Order; Short Form Consent Order; Model Consent Orders; Long Form Consent Orders; Findings of Fact and Conclusions of Law; The Ordered Section; The Notice of Rights Section; The Administrative Process; Service of the NOV; Informal Conference; Request for Hearing; Costs and Expenses Which May Be Included in a Consent Order or Notice of Violation; Conditions Under Which Other Costs and Expenses May Be Included or Recovered; Determination of the Costs of Those Persons Employed by the Department; Documentation of Costs; Determination of Costs for Settlements; Special Master Procedures; Mediation; Agreeing to Mediation; Mediation of Administrative Disputes; Preparation for Mediation; The Mediation Conference; The Conclusion

October
2014

PDF
[98 KB]
WORD

[87 KB]

The Judicial Process and Remedies
Introduction; The Decision-Making Process Before Taking Judicial Action; Nature and Seriousness of the Violation; Remedies Sought; Likelihood of Responsible Party Complying with a Final Order; Issues Likely to be in Dispute; Local Judges’ Records on Environmental Cases; Review and Approval Process Before Taking Judicial Action; Available Enforcement Remedies; Injunctive Relief; Civil Penalties; Damages; Case Report; Priority Enforcement Litigation; Complaint; Petition for Enforcement; Venue; Service of Process; Motions and Answers; Discovery; Settlement; Mediation; Pre-Trial and Trial; Post-Judgment Enforcement; Appeals; Collections; Accounts; Duty to Collect; Authority to Settle; Records; Initial Efforts to Collect; Referral; OGC Collection Mechanisms; Additional Enforcement Proceedings; Setoff; Bankruptcies; Notice; Department’s Interest; Effect of Filing Bankruptcy; Department’s Response to the Filing of Bankruptcy; Parallel Proceedings; Discharge; Subsequent Actions

October 2014

PDF

[108 KB]
WORD

[61 KB]

Litigation Procedures
Introduction; Communication with the Opposing Lawyer and Party; Public Records; Exemptions from the Public Records Act; Trade Secrets; Confidential Informants; Attorney "Work Product"; Criminal Investigation Documents; Draft Documents; Subpoenas; Preparation for Hearing; Before Testifying; Day of the Hearing; When You Are On the Stand

December 2004

PDF

[82 KB]
WORD

[37 KB]

Data Management
A Summary of the Legal Case Tracking System (LCTS); Codes for Receipts Written for Money Collected from Enforcement Actions; A Summary of the Compliance and Enforcement Tracking System (COMET)

September 2016

PDF

[21 KB]

Settlement Guidelines for Civil Penalties - DEP Directive 923

February 2013

PDF [84 KB]

List of Hazardous Substances - Substance - Supplemental Document to Attachment III of DEP Directive 923

Guidelines for Characterizing Air Violations with Penalty Spreadsheet

May 2015

PDF [152 KB]

EXL

Guidelines for Characterizing Wastewater Violations

October 2013

PDF [161 KB]

Guidelines for Characterizing Drinking Water Violations

October  2013

PDF [158 KB]

Guidelines for Characterizing Dry Cleaner Violations

June 2013

PDF [76 KB]

Guidelines for Characterizing NPDES Stormwater Violations

October 2013

PDF [127 KB]

Guidelines for Characterizing Storage Tank Violations

June 2013

PDF [91 KB]

Guidelines for Characterizing Hazardous Waste Violations

June 2013

PDF [168 KB]

Specific Compliance Assistance Guidelines For RCRA/Hazardous Waste

August 2014

PDF [168 KB]

Guidelines for Characterizing UIC Violations

November 2015

PDF [206 KB]

Guidelines for Characterizing Used Oil Violations

June 2013

PDF [152 KB]

Guidelines for Characterizing Solid Waste Violations

June 2013

PDF [480 KB]

Guidelines for Characterizing Environmental Resources Violations

August 2013

PDF [172 KB]

Certified Operator Penalty Guidance

Under Revision - May 2013

Guidelines for Handling State Lands Violations

February 2015

PDF [2 MB]

EXL [65 KB]

EXL [47KB]

PDF [62 KB]

WORD [120 KB]

WORD [120 KB]

Legal Case Tracking (LCT) Enforcement Case Entry Form (This is a fillable form)

October 2017

PDF 

WORD

Financial Affidavit for Corporations

November 1997

PDF [27 KB]

Financial Affidavit for Individuals and Sole Proprietors

May 2015

WORD [160 KB]

Financial Affidavit for Partnerships

November 1997

PDF [27 KB]]

Financial Affidavit for LLC - Limited Liability Company

PDF [138 KB]
WORD [80 KB]

In Compliance - Closure Letter

November 2013

WORD [18 KB]

Compliance Assistance Offer - All Sites

March 2016

WORD [20 KB]

Regulatory Compliance Memorandum 11-16-2011

November 2011

PDF [380 KB]

Warning Letter

January 2016

WORD [25 KB]

Compliance Assistance and Enforcement Process Flowchart

May 2016

PDF [171 KB]

Signatory Language and Certification

WORD [41 KB]

Enforcement Style Guide

PDF [72 KB]
WORD [16 KB]

DW/CO

PDF [212 KB]
WORD [73 KB]

HW/CO

PDF [211 KB]
WORD [64 KB]

HW/CO Model Corrective Actions

PDF [66 KB]
WORD [89 KB]

Indigent Petroleum Cleanup CO

PDF [215 KB]
WORD [45 KB]

Indigent Tanks CO

PDF [217 KB]
WORD [64 KB]

IW/CO (permitted facility)

PDF [209 KB]
WORD [62 KB]

IW/CO (unpermitted facility)

PDF [215 KB]
WORD [67 KB]

PW/CO

PDF [193 KB]
WORD [56 KB]

PW/CO for Disinfection Byproduct

PDF [221 KB]
WORD [72 KB]

PW/CO for 4-Log

PDF [217 KB]
WORD [77 KB]

Emergency Well CO

PDF [195 KB]
WORD [66 KB]

SLERP/CO

PDF [235 KB]
WORD [94 KB]

SLERP/CO with TUA Incorporated

PDF [61 KB]
WORD [33 KB]

SW/CO

PDF [208 KB]
WORD [63 KB]

SW Model Corrective Actions

PDF [137 KB]
WORD [51 KB]

TK/CO

PDF [211 KB]
WORD [66 KB]

Short-Form Consent Order (SFCO) for Business Entities

PDF [172 KB]
WORD [77 KB]

Short-Form Consent Order (SFCO) for Individuals

PDF [165 KB]
WORD [75 KB]

Short-Form Consent Order with Pollution Prevention Language

Model In-Kind Paragraph Language

PDF [16 KB]

WORD [35 KB]

Pollution Prevention in Enforcement Process Memo

December 2014

PDF [26 KB]
WORD [38 KB]

Short-Form Consent Order with Pollution Prevention Language

WORD [79 KB]

Pollution Prevention Project Summary – SFCO Exhibit

WORD [74 KB]

Long-Form Consent Order Pollution Prevention Paragraphs

PDF [10 KB]
WORD [21 KB]

Pollution Prevention Project Plan LFCO Exhibit

WORD [76 KB]

Pollution Prevention Project Final Report

WORD [32 KB]

PDF [26 KB]
WORD [38 KB]

Model 780 Consent Order

PDF [161 KB]
WORD [70 KB]

Model 780 Consent Order – Indigent Cleanup

WORD [74 KB]

Model 780 Modification to Consent Order

PDF [35 KB]
WORD [50 KB]

Hazardous Substance - Model 780 NOV

December 2016

WORD [57 KB]

Hazardous Substance & Pollutant - Model 780 NOV

December 2016

WORD [59 KB]

Solid Waste Permit - Model 780 NOV

December 2016

WORD [54 KB]

Model Warning Letter Permitted Facilities

August 2010

PDF [66 KB]
WORD [66 KB]

Global RCBA Notice Letter

August 2011

PDF [49 KB]
WORD [25 KB]

Guidance Letter for Property Owners with Potential Impacts from Neighboring/Adjacent Properties

December 2009

PDF [50 KB]
WORD [17 KB]

Instructions for Use of Site Access Documents

February 2010

PDF [48 KB]
WORD [35 KB]

Site Access Assessment Letter

February 2010

PDF [57 KB]
WORD [28 KB]

Site Access Notice of Intent

July 2011

PDF [92 KB]
WORD [35 KB]

Site Access Assessment Final Order

February 2010

PDF [79 KB]
WORD [19 KB]

Site Access Remediation Letter

July 2011

PDF [64 KB]
WORD [27 KB]

Site Access Remediation Final Order

February 2010

PDF [79 KB]
WORD [18 KB]

WCU Request for OGC Assistance

December 2016

WORD [61 KB]

LCT Case Entry Form – Waste Cleanup PRP Analysis and NOV Questionnaire

February 2015

WORD [42 KB]

Procedure for Ability to Pay – Cleanup Costs Only

July 2015

WORD [22 KB]

OER Compliance Assistance Offer Letter

OER Model Access Permission Template

OER Model ESR Insufficient Letter

OER NFA Emergency Source Removal Report

OER NFA Interim Source Removal Report

OER Referral Letter template

PDF [93 KB]
WORD [36 KB]

PDF [27 KB]
WORD [36 KB]

PDF [65 KB]
WORD [30 KB]

PDF [55 KB]
WORD [28 KB]

Generic Notice of Violation - for non-ELRA NOVs

WORD [47 KB]

PDF [19 KB]
WORD [27 KB]

PDF [112 KB]
WORD [148 KB]

Guidelines for Pursuing Coral Reef Protection Act Cases

PDF [42 KB]

Civil Penalty Authorization – Coral Reef Protection

Damages Authorization – Coral Reef Protection

PDF [42 KB]
WORD [51 KB]