Enforcement Manual

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Table of Contents

Basic list of documents

August 2019

WORD
[34 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

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[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

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[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

July 2020

PDF [205 KB]

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

Guidelines for Characterizing Air Violations with Penalty Spreadsheet

July 2020

PDF [157 KB]

EXL [115 KB]

Guidelines for Characterizing Wastewater Violations

July 2020

WORD [56 KB]

Guidelines for Characterizing Drinking Water Violations

July 2020

WORD [55 KB]

Guidelines for Characterizing Dry Cleaner Violations

June 2013

PDF [76 KB]

Guidelines for Characterizing NPDES Stormwater Violations

July 2020

WORD [58 KB]

Guidelines for Characterizing Storage Tank Violations with Penalty Spreadsheet

July 2020

PDF [189 KB]
EXL [125 KB]

Guidelines for Characterizing Hazardous Waste Violations with Penalty Spreadsheet

July 2020

PDF [295 KB]
EXL [42 KB]

Specific Compliance Assistance Guidelines For RCRA/Hazardous Waste

August 2014

PDF [168 KB]

Guidelines for Characterizing UIC Violations

July 2020

WORD [72 KB]

Guidelines for Characterizing Used Oil Violations

July 2020

PDF [297 KB]

Guidelines for Characterizing Solid Waste Violations with Penalty Spreadsheet

July 2020

PDF [276 KB]
EXL [64]

Guidelines for Characterizing Environmental Resources Violations

July 2020

WORD [58 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 [195 KB]

WORD [120 KB]

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

March 2021

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Financial Affidavit for Corporations

January 2020

WORD [68 KB]

Financial Affidavit for Individuals and Sole Proprietors

January 2020

WORD [160 KB]

Financial Affidavit for Partnerships

January 2020

WORD [68 KB]]

Financial Affidavit for LLC - Limited Liability Company

WORD [94 KB]

In Compliance - Closure Letter

March 2020

WORD [30 KB]

Compliance Assistance Offer - All Sites

March 2017

WORD [35 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

June 2021

PDF [228 KB]

Signatory Language and Certification

WORD [41 KB]

Enforcement Style Guide

PDF [72 KB]
WORD [16 KB]

DW/CO

WORD [64 KB]

HW/CO

WORD [71 KB]

HW/CO Model Corrective Actions

PDF [66 KB]
WORD [89 KB]

Indigent Petroleum Cleanup CO

WORD [48 KB]

Indigent Tanks CO

WORD [67 KB]

IW/CO (permitted facility)

WORD [62 KB]

IW/CO (unpermitted facility)

WORD [67 KB]

PW/CO

WORD [63 KB]

PW/CO for Disinfection Byproduct

WORD [77 KB]

PW/CO for 4-Log

WORD [84 KB]

Emergency Well CO

WORD [66 KB]

SLERP/CO

WORD [97 KB]

SLERP/CO with TUA Incorporated

WORD [33 KB]

SW/CO

WORD [70 KB]

SW Model Corrective Actions

PDF [137 KB]
WORD [51 KB]

TK/CO

WORD [72 KB]

Short-Form Consent Order (SFCO) for Business Entities

WORD [77 KB]

Short-Form Consent Order (SFCO) for Individuals

WORD [74 KB]

Short-Form Consent Order with Pollution Prevention Language

Model In-Kind Paragraph Language

WORD [32 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

WORD [90 KB]

Model 780 Consent Order – Indigent Cleanup

WORD [99 KB]

Model 780 Modification to Consent Order

WORD [31 KB]

Hazardous Substance - Model 780 NOV

March 2020

WORD [73 KB]

Hazardous Substance & Pollutant - Model 780 NOV

March 2020

WORD [80 KB]

Solid Waste Permit - Model 780 NOV

March 2020

WORD [69 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

May 2021

WORD [28 KB]

Instructions for Use of Site Access Documents

December 2018

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

WORD [42 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 [33 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]

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