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DEP ENFORCEMENT MANUALTABLE OF CONTENTSINTRODUCTIONCHAPTER ONE - DEP ENFORCEMENT ORGANIZATION1.1Secretary and Deputy Secretaries and Assistant Deputy Secretary1.2Division Directors1.3Districts1.4Duties and Responsibilities of District Staff1.5Office of General Counsel1.5.1Enforcement Section of Office of General Counsel1.6Other Governmental EntitiesCHAPTER TWO - COMPLIANCE OPTIONS2.0Introduction2.1First Steps2.2Compliance Options2.3ConclusionCHAPTER THREE - ENFORCEMENT OPTIONS3.0 Introduction3.1First Step Options3.2Options Following the Issuance of Compliance Assistance Offer3.3Options Following the Issuance of a Warning Letter3.4Options Following the Issuance of a Notice of Violation3.5Options Following the Issuance of a Final Order or a Consent Order3.6Options Following the Submittal of a Case Report to OGC3.7Options Following the Entry of a Consent Final Judgment or Final JudgmentCHAPTER FOUR - INSPECTIONS AND INVESTIGATIONS4.0Determining Non-Compliance4.1Jurisdiction4.2Preparation for an On-Site Inspection4.3Regulatory Inspections - Obtaining Site Access4.3.1 Site Access - Statutory Authority4.3.2 Site Access - Permission4.3.2.1Site Access Permission by Owner, Operator, or Person in Charge - Express Permission4.3.2.2Site Access Permission by Owner, Operator, or Person in Charge - Implied Permission4.3.3Judicial Authorization for Site Access4.3.3.1Inspection Warrant4.3.3.2Sampling under an Inspection Warrant4.3.3.3Litigation Seeking Site Access4.3.3.4Site Access During Litigation4.3.4Administrative Site Access4.4On-Site Inspection4.4.1 Violation Corrected4.4.2On-going ViolationDocumenting the Inspection (Post-Inspection Reporting)and Investigation4.5.1 Witnesses4.5.2Pictures4.6 Location4.7Obtaining Legal Descriptions4.8 Responsible Parties4.9 State Corporate and Partnership Information4.10 Sampling and Analysis4.11 Technical Support for Criminal Violations4.11.1Criminal Search Warrants4.11.2Evidentiary Sampling for Criminal Cases4.11.3Safety Plan4.11.4Records4.11.5Interviews4.11.6Inventory4.11.7Photography4.11.8Videotaped Evidence4.11.9Measurement and MappingCHAPTER FIVE - THE ADMINISTRATIVE PROCESS AND REMEDIES5.0Nature of the Administrative Process5.1Warning Letter5.2The Notice of Violation5.2.1 The Notice of Violation Subsections5.2.2 The Orders for Corrective Action Section5.2.3 The Notice of Rights Subsection5.2.4Model NOVs5.2.5Environmental Litigation Reform Act (ELRA) NOVs5.2.5.1 Use of ELRA5.2.5.2ELRA Penalty Calculation5.3The Administrative Process5.3.1Service of the NOV5.3.2Informal Conference5.3.3Request for Hearing5.3.4Procedures after the Request for Hearing5.4Costs and Expenses Which May be Included in a Consent Order or Notice of Violation5.4.1Conditions Under Which Other Costs and Expenses May be Included or Recovered5.4.2Costs and Expenses Recoverable in an ELRA Proceeding5.4.3Determination of the Costs of Those Persons Employed by the Department5.4.4Documentation of Costs5.4.5Determination of Costs for Settlements5.5Mediation5.5.1Agreeing to Mediation5.5.2Mediation of Administrative Disputes5.5.3Preparation for Mediation5.5.4The Mediation Conference5.5.5The Conclusion of Mediation5.6The Consent Order5.6.1 Short Form Consent Order5.6.2 Model Consent Orders5.6.3 Long Form Consent Orders5.6.3.1Findings of Fact and Conclusions of Law5.6.3.2The Ordered Section5.6.3.3The Notice of Rights Section5.6.3.4The Effective DateCHAPTER SIX - JUDICIAL PROCESS AND REMEDIES6.0Introduction6.1The Decision Making Process Before Taking Judicial Action6.1.1 Nature and Seriousness of the Violation6.1.2 Judicial Actions6.1.3 Likelihood of Responsible Party Complying with a Final Order6.1.4 Issues Likely to be in Dispute6.1.5 Local Judges’ Records on Environmental Cases6.2Review and Approval Process Before Taking Judicial Action6.3Available Enforcement Remedies6.3.1 Injunctive Relief6.3.2 Civil Penalties6.3.3 Damages6.4Case Report6.5Complaint6.6Petition for Enforcement6.7Venue6.8Service of Process6.9 Motions and Answers6.10 Discovery6.11 Settlement6.12 Mediation6.13 Pre-Trial and Trial6.14 Post-Judgment Enforcement6.15 Appeals6.16 Collections6.16.1Accounts6.16.2Duty to Collect6.16.3Authority to Settle6.16.4Records6.16.5Initial Efforts to Collect6.16.6Referral6.16.7OGC Collection Mechanisms6.16.8Additional Enforcement Proceedings6.16.9Setoff6.17Bankruptcies6.17.1Notice6.17.2Department’s Interest6.17.3Effect of Filing Bankruptcy6.17.4Department’s Response to the Filing of Bankruptcy6.17.5Parallel Proceedings6.17.6Discharge6.17.7Subsequent ActionsCHAPTER SEVEN - LITIGATION PROCEDURES7.0Introduction7.1Communication with the Opposing Lawyer and Party7.2Public Records7.2.1 Exemptions from the Public Records Act7.2.1.1Trade Secrets7.2.1.2Confidential Informants7.2.1.3Attorney “Work Product”7.2.1.4Criminal Investigation Documents7.2.2Draft Documents7.3Subpoenas7.4Preparation for Hearing7.4.1Before Testifying7.4.2Day of the Hearing7.4.3When You are on the StandCHAPTER EIGHT - DATA MANAGEMENT8.0A Summary of the Legal Case Tracking System (LCTS)8.1Codes for Receipts Written for Money Collected from Enforcement ActionsAPPENDICESCIVIL PENALTY POLICY MEMOSSettlement Guidelines for Civil Penalties - DEP Directive 923List of Hazardous Substances – Supplemental Document to Attachment III of DEP Directive 923Guidelines for Deputy Secretary Approval of Economic BenefitGuidelines for Characterizing Air Violations Guidelines for Characterizing Wastewater ViolationsGuidelines for Characterizing Drinking Water ViolationsGuideline for Characterizing Drycleaner Solvent Containment ViolationsGuidelines for Characterizing NPDES Stormwater ViolationsGuidelines for Characterizing Storage Tank ViolationsGuidelines for Characterizing Hazardous Waste ViolationsSpecific Compliance Assistance Guidelines for RCRA /Hazardous WasteGuidelines for Characterizing UIC ViolationsGuidelines for Characterizing Used Oil ViolationsGuidelines for Characterizing Solid Waste ViolationsGuidelines for Characterizing Environmental Resources ViolationsCertified Operator Penalty GuidanceGuidelines for Handling State Lands ViolationsCOLLECTION/WRITE-OFF DOCUMENTSCollection Referral TemplateWrite-off Referral TemplateReferral Template InstructionsPast Due Notice – Sample 1Past Due Notice – Sample 2DATA MANAGEMENT DOCUMENTSLegal Case Tracking (LCT) Enforcement Case Entry FormFINANCIAL DOCUMENTSFinancial Affidavit for LLCFinancial Affidavit for CorporationsFinancial Affidavit for Individuals and Sole ProprietorsFinancial Affidavit for PartnershipsCOMPLIANCE DOCUMENTSIn Compliance – Closure LetterCompliance Assistance Offer - all sitesCompliance Assistance Offer – Exceedance/Missed Monitoring/Reporting/TestingRegulatory Compliance Memorandum 11-16-2011Warning LetterCompliance Assistance and Enforcement Process FlowchartMODEL CONSENT ORDERSSignatory Language and CertificationsEnforcement Style GuideDW/COHW/COHW/CO Corrective ActionsIndigent Petroleum Cleanup COIndigent Tanks COIW/CO (permitted facility)IW/CO (unpermitted facility)PW/COPW/CO for Disinfection By-productsPW/CO for 4-LogEmergency Well COSLERP/COSLERP/CO with incorporated TUASW/COSW Model Corrective ActionsTK/COShort Form Consent Order (SFCO) for IndividualsShort Form Consent Order (SFCO) for Business EntitiesSFCO with In-Kind Project LanguageModel In-Kind Paragraph Language CONSENT ORDER MODEL POLLUTION PREVENTION DOCUMENTSPollution Prevention in Enforcement Process MemoShort-form Consent Order with Pollution Prevention LanguagePollution Prevention Project Summary – SFCO ExhibitLong-form Consent Order Pollution Prevention ParagraphsPollution Prevention Project Plan – LFCO ExhibitPollution Prevention Project Final ReportVOLUNTARY CLEANUP AGREEMENTModel Voluntary Cleanup Agreement – drycleaning solvent contaminated sitesMODEL DOCUMENTS FOR 62-780Model 780 Consent OrderModel 780 Modification to Consent Order Hazardous Substance – 780 NOV ModelHazardous Substance & Pollutant – 780 NOV ModelSolid Waste Permit – 780 NOV ModelModel Warning Letter – Permitted FacilitiesGlobal RBCA Notice LetterGuidance Letter for Property Owners with Potential Impacts from Neighboring/Adjacent PropertiesInstructions For Use of Site Access DocumentsSite Access Assessment LetterSite Access Notice of IntentSite Access Assessment Final OrderSite Access Remediation LetterSite Access Remediation Final OrderWCU Request for OGC AssistanceLCT Case Entry Form – WCU PRP Analysis and NOV QuestionnaireProcedure for Ability to Pay – Cleanup Costs OnlyOFFICE OF EMERGENCY RESPONSE DOCUMENTSOER Compliance Assistance Offer LetterOER Model Access Permission TemplateOER Model ESR Insufficient LetterOER NFA Emergency Source Removal ReportOER Interim Source Removal ReportOER Referral Letter templateMODEL FINAL ORDERSDefault Final OrderMODEL ORDERS - MISCELLANEOUSOrder To Comply with Request for InformationMODEL LETTERSProbation Letter (for Drinking Water/Domestic Wastewater Certified Operators)Records Request LetterMODEL NOTICE OF VIOLATIONGeneric NOV (use for non-ELRA NOVs)Model Non-ELRA NOV for Tanks placard revocationSTATE LAND PROPRIETARY ONLY State Lands Proprietary Only – NOV Single Respondent (With Contractor)State Lands Proprietary Only – NOV Single Respondent (No Contractor)State Lands Proprietary Only – NOV Multiple Respondents (With Contractor)State Lands Proprietary Only – NOV Multiple Respondents (No Contractor) Notice of Unauthorized StructuresCORAL REEF PROTECTION ACT DOCUMENTSGuidelines for Pursuing Coral Reef Protection Act CasesCivil Penalty Authorization – Coral Reef ProtectionDamages Authorization – Coral Reef ProtectionELRA RELATED DOCUMENTSELRA Mediation Fact SheetSection 403.12, F.S.ELRA Model NOVOGC ENFORCEMENT ORGANIZATION CHARTORGCHARTEXTERNAL REFERRAL – STANDARD OPERATING PROCEDURESExternal Referral Request FormENFORCEMENT PROCESSCivil Penalty Authorization Memo - SampleCase Report – SampleCase Report and Request for Authorization to File Suit Seeking a Temporary Injunction – SampleEnforcement Paper Flow ChartIn-Kind Penalty Authorization Memo - SampleConsent Order Guidance MemorandumMEMO – Final Agency Action To Agency Clerk in Non-Secured Searchable FormatClosure Memo TemplateSITE ACCESS DOCUMENTSModel Affidavit and Application for Inspection WarrantModel Inspection WarrantModel Access Request LetterModel Access Permission FormModel Easement AgreementModel License AgreementInstructions for Use of Model Administrative Access OrderModel Administrative Access OrderRESTRICTIVE COVENANT/DEED RESTRICTIONSInstitutional Control Procedures Guidance Document with Sample Restrictive CovenantTEMPORARY USE AGREEMENT (TUA)Temporary Use Agreement Attachment 0-1 ................
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