Business rules associated with data in the Compliance, Monitoring and Enforcement Module is documented below. All data, whether entered using the user interface or submitted via XML translation must meet these business rules. The business rules are organized by table as found on the structure chart.
|
Number |
Description |
|
CE-000 |
The ACTIVITY LOCATION must be opted in to participate in CM&E translation. (See Documentation / General Help / Application Help / User's Guide / Settings / State Participation) |
|
Number |
Description |
|
CE1-010 |
HANDLER ID must exist in HBASIC. |
|
CE1-020 |
EVALUATION START DATE must be on or after January 1, 1980 and no later than today. |
|
CE1-030 |
EVALUATION IDENTIFIER must be provided. |
|
CE1-040 |
RESPONSIBLE AGENCY must equal a nationally-defined responsible agency value. |
|
CE1-050 |
If RESPONSIBLE AGENCY is equal to ‘X’ or ‘T’ then FOUND VIOLATION must equal ‘N’. |
|
CE1-060 |
If EVALUATION TYPE is not a follow-up evaluation (see nationally-defined evaluation type values), then DAY ZERO must equal the EVALUATION START DATE. |
|
CE1-065 |
If EVALUATION TYPE Type is equal to a follow-up evaluation (see nationally-defined evaluation type values) then DAY ZERO must be the date of a non-follow–up evaluation by the same agency occurring on or before the follow-up evaluation. |
|
CE1-070 |
If EVALUATION TYPE is equal to ‘SNY’ then DAY ZERO must be on or after January 1, 1980 and no later than today. |
|
CE1-080 |
If EVALUATION TYPE is equal to ‘SNN’ then DAY ZERO must be null. |
|
CE1-085 |
EVALUATION TYPE OWNER must equal ‘HQ’. |
|
CE1-090 |
EVALUATION TYPE must equal a nationally-defined evaluation type value. |
|
CE1-110 |
FOUND VIOLATION must equal ‘Y’, ‘N’, or ‘U’. |
|
CE1-120 |
If FOUND VIOLATION is equal to ‘Y’ and EVALUATION TYPE is not equal to ‘CAV’ then there must be a least one corresponding record in CLN_EVALUATION_VIOLATION3. |
|
CE1-125 |
If FOUND VIOLATION is equal to ‘Y’ and EVALUATION TYPE is equal to ‘CAV’ then there cannot be corresponding records in CLN_EVALUATION_VIOLATION3. |
|
CE1-130 |
If FOUND VIOLATION is equal to ‘N’ or ‘U’ then there cannot be corresponding records in CLN_EVALUATION_VIOLATION3. |
|
CE1-133 |
If the ACTIVITY LOCATION has indicated that the suborganization information is required then SUBORGANIZATION OWNER and SUBORGANIZATION must be provided. |
|
CE1-135 |
SUBORGANIZATION OWNER must equal the entity (State or Region) associated with the submitter or null. |
|
CE1-136 |
If SUBORGANIZATION is provided then SUBORGANIZATION OWNER must be provided. If SUBORGANIZATION OWNER is provided then SUBORGANIZATION must be provided. |
|
CE1-140 |
SUBORGANIZATION must equal an implementer-defined suborganization value or null. |
|
CE1-143 |
If the ACTIVITY LOCATION has indicated that the responsible person information is required then RESPONSIBLE PERSON OWNER and RESPONSIBLE PERSON must be provided. |
|
CE1-145 |
RESPONSIBLE PERSON OWNER must equal the entity (State or Region) associated with the submitter or null. |
|
CE1-146 |
If RESPONSIBLE PERSON is provided then RESPONSIBLE PERSON OWNER must be provided. If RESPONSIBLE PERSON OWNER is provided then RESPONSIBLE PERSON must be provided. |
|
CE1-150 |
RESPONSIBLE PERSON must equal an implementer-defined responsible person value or null. |
|
CE1-160 |
CITIZEN COMPLAINT must equal ‘Y’ or ‘N’. |
|
CE1-170 |
MULTIMEDIA INSPECTION must equal ‘Y’ or ‘N’. |
|
CE1-180 |
SAMPLING must equal ‘Y’ or ‘N’. |
|
CE1-190 |
NOT SUBTITLE C must equal ‘Y’ or ‘N’. |
|
CE1-200 |
If EVALUATION TYPE = ‘CAV’ then FOUND VIOLATION must equal ‘Y’ or ‘N’. |
|
CE1-210 |
If EVALUATION TYPE is equal to ‘SNY’ or ‘SNN’ then AGENCY must equal ‘E’ or ‘S’. |
|
CE1-215 |
If EVALUATION TYPE is equal to ‘FCI’ THEN FOCUS AREA OWNER must equal ‘HQ’ or the entity (State or Region) associated with the submitter. |
|
CE1-220 |
If EVALUATION TYPE is equal to ‘FCI’ then FOCUS AREA must equal a nationally-defined focus area value or an implementer-defined focus area value where the focus area applies to an 'FCI' evaluation. |
|
CE1-230 |
If EVALUATION TYPE is not equal to ‘FCI’ or 'NRR' then FOCUS AREA must be null. |
|
CE1-231 |
If FOCUS AREA is provided then FOCUS AREA OWNER must be provided. If FOCUS AREA OWNER is provided then FOCUS AREA must be provided. |
|
CE1-240 |
If NOC DATE is provided then FOUND VIOLATION must equal 'N' or FOUND VIOLATION must equal 'Y' and all violations linked to this evaluation must have an RTC ACTUAL DATE. |
|
CE1-250 |
NOC DATE must be on or after the EVALUATION START DATE and no later than today, or null. |
|
CE1-260 |
If the EVALUATION TYPE is a follow up evaluation then a non-follow up evaluation occurring on or before the followup evaluation must exist. |
|
CE1-265 |
If EVALUATION TYPE is equal to ‘NRR’ THEN FOCUS AREA OWNER must equal ‘HQ’, the entity (State or Region) associated with the submitter, or null. |
|
CE1-270 |
If the EVALUATION TYPE is equal to 'NRR' then FOCUS AREA must equal a nationally-defined focus area value, an implementer-defined focus area value where the focus area applies to an 'NRR' evaluation, or null. |
|
CE1-280 |
If EVALUATION TYPE = 'SNN' then an 'SNY' evaluation with the same RESPONSIBLE AGENCY as the 'SNN' occurring on or before the 'SNN' evaluation must exist. |
|
CE1-290 |
If EVALUATION TYPE = 'SNY' then an 'SNY' evaluation with the same ACTIVITY LOCATION, RESPONSIBLE AGENCY, and EVALUATION START DATE cannot exist. |
|
Number |
Description |
|
CE2-010 |
HANDLER ID must exist in HBASIC. |
|
CE2-020 |
REQUEST SEQUENCE NUMBER must be greater than zero. |
|
CE2-030 |
If HANDLER ID, EVALUATION IDENTIFIER, EVALUATION START DATE, and EVALUATION AGENCY are provided then a corresponding record must exist in CEVALUATION3. |
|
CE2-040 |
DATE OF REQUEST must after January 1, 1980 and no later than today, or null. |
|
CE2-050 |
DATE RESPONSE RECEIVED must be on or after DATE OF REQUEST (if provided) and less than or equal to today, or null. |
|
CE2-055 |
If DATE OF REQUEST is not provided then DATE RESPONSE RECEIVED must be provided. |
|
CE2-056 |
If DATE RESPONSE RECEIVED is not provided then DATE OF REQUEST must be provided. |
|
CE2-060 |
REQUEST AGENCY must equal ‘E’, ‘S’, ‘B’, or ‘C’. |
|
Number |
Description |
|
CE3-010 |
COMMITMENT LEAD and COMMITMENT SEQUENCE NUMBER must exist in COMMITMENT3. |
|
CE3-020 |
HANDLER ID, EVALUATION IDENTIFIER, EVALUATION START DATE, and EVALUATION AGENCY must exist in CEVALUATION3. |
|
Number |
Description |
|
CE4-010 |
HANDLER ID, VIOLATION SEQUENCE NUMBER, and AGENCY WHICH DETERMINED THE VIOLATION must exist in CLN_EVALUATION_VIOLATION3. |
|
CE4-020 |
VIOLATION SEQUENCE NUMBER must be provided. |
|
CE4-030 |
AGENCY WHICH DETERMINED THE VIOLATION must be equal to ‘E’ or ‘S’. |
|
CE4-035 |
If EVALUATION AGENCY is equal to ‘S’, ‘L’, or ‘B’ then AGENCY WHICH DETERMINED THE VIOLATION must equal ‘S’. |
|
CE4-037 |
If EVALUATION AGENCY is equal to ‘E’, ‘N’, or ‘C’ then AGENCY WHICH DETERMINED THE VIOLATION must equal ‘E’. |
|
CE4-039 |
VIOLATION TYPE OWNER must equal ‘HQ’. |
|
CE4-040 |
VIOLATION TYPE must equal a nationally-defined violation type value. |
|
CE4-050 |
The DATE DETERMINED must be greater than October 1, 1980 and no later than today. |
|
CE4-055 |
If the violation does not exist in RCRAInfo then the DATE DETERMINED must be greater than the EVALUATION START DATE and no later than today. |
|
CE4-060 |
ACTUAL RETURN TO COMPLIANCE DATE must be on or after DATE VIOLATION WAS DETERMINED and no later than today, or null. |
|
CE4-070 |
RETURN TO COMPLIANCE QUALIFIER must equal a nationally-defined return to compliance qualifier value or null. |
|
CE4-080 |
If RETURN TO COMPLIANCE QUALIFIER is provided then ACTUAL RETURN TO COMPLIANCE DATE must be provided. |
|
CE4-090 |
If ACTUAL RETURN TO COMPLIANCE DATE is provided then RETURN TO COMPLIANCE QUALIFIER must be provided. |
|
CE4-100 |
If there is no corresponding 810 or 820 enforcement action in CENFORCEMENT3 then RESPONSIBLE AGENCY must equal the AGENCY WHICH DETERMINED THE VIOLATION. |
|
CE4-110 |
If there is a corresponding 810 enforcement action in CENFORCEMENT3 then RESPONSIBLE AGENCY must equal ‘E’. |
|
CE4-120 |
If there is a corresponding 820 enforcement action in CENFORCEMENT3 then RESPONSIBLE AGENCY must equal ‘S’. |
|
CE4-130 |
If AGENCY WHICH DETERMINED THE VIOLATION is equal to 'E' then VIOLATION TYPE cannot equal 'XXS'. |
|
Number |
Description |
|
CE5-010 |
HANDLER ID, EVALUATION IDENTIFIER, EVALUATION START DATE, and EVALUATION AGENCY must exist in CEVALUATION3. |
|
CE5-020 |
HANDLER ID, VIOLATION SEQUENCE NUMBER, and AGENCY WHICH DETERMINED THE VIOLATION must exist in CVIOLATION3. |
|
CE5-030 |
The HANDLER ID, VIOLATION SEQUENCE NUMBER, and AGENCY must be linked to at least one evaluation where the DATE DETERMINED is greater than or equal to the EVALUATION START DATE. |
|
Number |
Description |
|
CE6-010 |
HANDLER ID, VIOLATION SEQUENCE NUMBER, AGENCY WHICH DETERMINED THE VIOLATION, VIOLATION OWNER, and VIOLATION TYPE must exist in CVIOLATION3. |
|
CE6-020 |
VIOLATION OWNER, VIOLATION TYPE, CITATION OWNER, CITATION, and CITATION TYPE must exist in CLN_LU_VIOL_CITATION3. |
|
CE6-030 |
CITATION SEQUENCE NUMBER must be greater than zero. |
|
Number |
Description |
|
CE8-010 |
HANDLER ID must exist in HBASIC. |
|
CE8-015 |
ENFORCEMENT TYPE OWNER must equal ‘HQ’ or the ACTIVITY_LOCATION (State or Region). |
|
CE8-020 |
ENFORCEMENT TYPE must equal a nationally-defined enforcement type value or an implementer-defined enforcement type value. |
|
CE8-023 |
If the ACTIVITY LOCATION has indicated that the suborganization information is required then SUBORGANIZATION OWNER and SUBORGANIZATION must be provided. |
|
CE8-025 |
SUBORGANIZATION OWNER must equal the implementer responsible for this enforcement action or null. |
|
CE8-026 |
If SUBORGANIZATION is provided then SUBORGANIZATION OWNER must be provided. If SUBORGANIZATION OWNER is provided then SUBORGANIZATION must be provided. |
|
CE8-030 |
SUBORGANIZATION must equal an implementer-defined suborganization value or null. |
|
CE8-033 |
If the ACTIVITY LOCATION has indicated that the responsible person information is required then RESPONSIBLE PERSON OWNER and RESPONSIBLE PERSON must be provided. |
|
CE8-035 |
RESPONSIBLE PERSON OWNER must equal the ACTIVITY_LOCATION (State or Region) or null. |
|
CE8-036 |
If RESPONSIBLE PERSON is provided then RESPONSIBLE PERSON OWNER must be provided. If RESPONSIBLE PERSON OWNER is provided then RESPONSIBLE PERSON must be provided. |
|
CE8-040 |
RESPONSIBLE PERSON must equal an implementer-defined responsible person value or null. |
|
CE8-045 |
ENFORCEMENT ACTION DATE must be a on or after January 1, 1980 and no later than today. |
|
CE8-050 |
ENFORCEMENT ACTION DATE must be a on or after the most recent VIOLATION DETERMINED DATE that this enforcement is linked to and no later than today. |
|
CE8-060 |
ENFORCEMENT IDENTIFIER must be provided. |
|
CE8-070 |
RESPONSIBLE AGENCY must equal a nationally-defined responsible agency value. |
|
CE8-080 |
CORRECTIVE ACTION COMPONENT INDICATOR must equal ‘Y’ or ‘N’. |
|
CE8-085 |
If ENFORCEMENT ACTION DATE < '15-APR-2019' then FINANCIAL ASSURANCE REQUIREMENT INDICATOR must equal 'Y', 'N', or null. If ENFORCEMENT ACTION DATE >= '15-APR-2019' then FINANCIAL ASSURANCE REQUIREMENT INDICATOR must equal 'Y' or 'N'. |
|
CE8-090 |
If ENFORCEMENT TYPE equals ‘380’ then CA/FO SEQUENCE NUMBER must equal an implementer-defined CA/FO value. If ENFORCEMENT TYPE does not equal ‘380’ then CA/FO SEQUENCE NUMBER must equal blank. |
|
CE8-100 |
APPEAL INITIATED DATE must be on or after the ENFORCEMENT ACTION DATE and no later than today, or null. |
|
CE8-110 |
APPEAL RESOLVED DATE must be on or after the APPEAL INITIATED DATE and no later than today, or null. |
|
CE8-120 |
DISPOSITION STATUS DATE must be on or after the ENFORCEMENT ACTION DATE and no later than today, or null. |
|
CE8-125 |
DISPOSITION STATUS OWNER must equal ‘HQ’. |
|
CE8-130 |
DISPOSITION STATUS must equal a nationally-defined disposition status value or null. |
|
CE8-135 |
If DISPOSITION STATUS OWNER is provided then DISPOSITION STATUS and DISPOSITION STATUS DATE must be provided. |
|
CE8-140 |
If DISPOSITION STATUS is provided then DISPOSITION STATUS OWNER and DISPOSITION STATUS DATE must be provided. |
|
CE8-150 |
If DISPOSITION STATUS DATE is provided then DISPOSITION STATUS OWNER and DISPOSITION STATUS must be provided. |
|
CE8-160 |
ENFORCEMENT TYPES 100-199 and 800-899 cannot impose a penalty. |
|
Number |
Description |
|
CE9-010 |
HANDLER ID, VIOLATION SEQUENCE NUMBER, and AGENCY WHICH DETERMINED VIOLATION must exist in CVIOLATION3. |
|
CE9-020 |
HANDLER ID, ENFORCEMENT IDENTIFIER, ENFORCEMENT ACTION DATE, and ENFORCEMENT AGENCY must exist in CENFORCEMENT3. |
|
CE9-030 |
SCHEDULED COMPLIANCE DATE must be on or after the ENFORCEMENT ACTION DATE or null. |
|
Number |
Description |
|
CEB-010 |
HANDLER ID, ENFORCEMENT IDENTIFIER, ENFORCEMENT ACTION DATE, and ENFORCEMENT AGENCY must exist in CENFORCEMENT3. |
|
CEB-020 |
SEP SEQUENCE NUMBER must be greater than zero. |
|
CEB-025 |
SEP TYPE OWNER must equal ‘HQ’ or the implementer responsible for this SEP. |
|
CEB-030 |
SEP TYPE must equal a nationally-defined SEP type value or implementer-defined SEP type value. |
|
CEB-040 |
SEP SCHEDULED COMPLETION DATE must be on or after the ENFORCEMENT ACTION DATE or null. |
|
CEB-050 |
SEP ACTUAL COMPLETION DATE must be on or after the ENFORCEMENT ACTION DATE and no later than today, or null. |
|
CEB-060 |
If SEP SCHEDULED COMPLETION DATE is not provided then SEP ACTUAL COMPLETION DATE must be provided. |
|
CEB-070 |
If SEP ACTUAL COMPLETION DATE is not provided then SEP SCHEDULED COMPLETION DATE must be provided. |
|
CEB-080 |
The SEP DEFAULTED DATE must be after the SEP SCHEDULED COMPLETION DATE and no later than today, or null. |
|
CEB-090 |
EXPENDITURE AMOUNT must be greater than zero or null. |
|
CEB-100 |
If SEP ACTUAL COMPLETION DATE or SEP DEFAULTED DATE is provided then EXPENDITURE AMOUNT must be greater than zero. |
|
CEB-110 |
If EXPENDITURE AMOUNT is greater than zero then SEP ACTUAL COMPLETION DATE or SEP DEFAULTED DATE must be provided. |
|
CEB-120 |
If SEP DEFAULTED DATE is provided then SEP ACTUAL COMPLETION DATE must be null. |
|
Number |
Description |
|
CEC-010 |
HANDLER ID, ENFORCEMENT IDENTIFIER, ENFORCEMENT ACTION DATE, and ENFORCEMENT AGENCY must exist in CENFORCEMENT3. |
|
CEC-020 |
DATE OF THE SNY THAT ACTION IS ADDRESSING must be a date associated with an SNY evaluation associated with this agency and must occur on or before the ENFORCEMENT ACTION DATE. |
|
Number |
Description |
|
CEE-010 |
HANDLER ID, ENFORCEMENT IDENTIFIER, ENFORCEMENT ACTION DATE, and ENFORCEMENT AGENCY must exist in CENFORCEMENT3. |
|
CEE-015 |
PENALTY TYPE OWNER must equal ‘HQ’. |
|
CEE-020 |
PENALTY TYPE must equal a nationally-defined penalty type value. |
|
CEE-030 |
If PENALTY TYPE = ‘ZAP’ or ‘USM’ then PENALTY AMOUNT must equal zero. If PENALTY TYPE <> ‘ZAP’ or ‘USM’ then penalty amount must be greater than zero. |
|
CEE-035 |
ENFORCEMENT TYPES 100-199 and 800-899 cannot impose a penalty. |
|
CEE-040 |
ENFORCEMENT TYPES 200 - 299 can only impose a ‘PMP’, ‘FMP’, ‘FSC’, ‘SCR’, ‘USM’, or ‘ZAP’ penalty type. |
|
CEE-050 |
ENFORCEMENT TYPES 300 - 399 can only impose a ‘PMP’, ‘FMP’, ‘FSC’, ‘SCR’, ‘USM’, or ‘ZAP’ penalty type. |
|
CEE-060 |
ENFORCEMENT TYPES 400 - 499 can only impose a ‘PMP’ , ‘USM’, or ‘ZAP’ penalty type. |
|
CEE-070 |
ENFORCEMENT TYPES 500 - 599 can only impose a ‘PMP’, ‘FMP’, ‘FSC’, ‘SCR’, ‘USM’, or ‘ZAP’ penalty type. |
|
CEE-080 |
ENFORCEMENT TYPES 600 - 699 can only impose a ‘PMP’, ‘FMP’, ‘FSC’, ‘SCR’, ‘USM’, or ‘ZAP’ penalty type. |
|
CEE-090 |
ENFORCEMENT TYPES 700 - 799 can only impose a ‘FMP’ , ‘USM’, or ‘ZAP’ penalty type. |
|
CEE-100 |
If PENALTY TYPE is equal to ‘ZAP’ then NOTES must be provided. |
|
CEE-110 |
If PENALTY TYPE is equal to ‘ZAP’ then no other penalty may be associated with this enforcement action. |
|
Number |
Description |
|
CEF-010 |
HANDLER ID, ENFORCEMENT IDENTIFIER, ENFORCEMENT ACTION DATE, ENFORCEMENT AGENCY, PENALTY TYPE OWNER, and PENALTY TYPE must exist in CPENALTY3. |
|
CEF-020 |
PAYMENT SEQUENCE NUMBER must be greater than zero. |
|
CEF-030 |
PAYMENT SCHEDULED DATE must be greater than or equal to the ENFORCEMENT ACTION DATE or null. |
|
CEF-040 |
PAYMENT SCHEDULED AMOUNT must be greater than zero or null. |
|
CEF-050 |
PAYMENT PAID DATE must be greater than or equal to the ENFORCEMENT ACTION DATE and no later than today, or null. |
|
CEF-060 |
PAYMENT PAID AMOUNT must be greater than zero or null. |
|
CEF-070 |
If PAYMENT SCHEDULED DATE is not provided then PAYMENT PAID DATE must be provided. |
|
CEF-080 |
If PAYMENT PAID DATE is not provided then PAYMENT SCHEDULED DATE must be provided. |
|
CEF-090 |
If PAYMENT SCHEDULED DATE is provided then PAYMENT SCHEDULED AMOUNT must be provided. |
|
CEF-100 |
If PAYMENT SCHEDULED AMOUNT is provided then PAYMENT SCHEDULED DATE must be provided. |
|
CEF-110 |
If PAYMENT PAID DATE is provided then PAYMENT PAID AMOUNT must be provided. |
|
CEF-120 |
If PAYMENT PAID AMOUNT is provided then PAYMENT PAID DATE must be provided. |
|
CEF-130 |
If PAYMENT DEFAULTED DATE is provided then PAYMENT PAID DATE must be blank. |
|
CEF-140 |
PAYMENT DEFAULTED DATE must be greater the PAYMENT SCHEDULED DATE and not later than today, or null. |