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Enforcement Desk

Enforcement Desk

This Enforcement Desk Reference (EDR) is a convenient resource for current policies, forms and other documents needed to complete enforcement actions. The EDR is designed to assist you in producing predictable, timely and consistent enforcement. If you have any questions and suggestions regarding the EDR, please contact Camille Fontanella of the Office of Planning and Program Development at 860-424-3074.

A full list of the enforcement documents can be found by clicking here

The goal of DEEP’s Enforcement Coordination Plan is to promote effective communication between divisions and to facilitate efficient use of resources. The program coordination in the plan relates to addressing violations, corrective actions, compliance and enforcement actions and staff straining. The plan includes a multi-media checklist for field compliance, an interdepartmental referral form for formal enforcement actions and a contact list for field compliance and enforcement staff.

More specifically, the multi-media checklist was revised to identify violations early and strengthen DEEP’s capacity in the field to achieve prompt compliance – thus helping increase our protection of the environment and public health.

If you observe any possible violations at the site you have inspected, please complete the checklist and e-mail it to the appropriate division(s) as soon as possible, but not later than on or before 15 days from the date of discovery. If the situation is urgent, please call to ensure that the program area(s) are aware of the violations, and then follow-up with sending the checklist. When possible, documenting the potential violations or environmental problems with photographs is also important.

If you receive a completed checklist with possible violations, within 5 business days please e-mail an acknowledgment of receipt to the sender. Notification of your division’s follow-up actions would also be appreciated.

Timely, complete, and accurate entry of enforcement data and documents into SIMs is a critical component in determining overall site conditions. SIMS provides agency-wide access to the most current and reliable information on environmental activity at a site.

A Fall 2009 Lean initiative provided recommendations and assisted in the development of guidance, standard operating procedures (SOPs) and forms for SIMS enforcement data entry. The Commissioner issued a directive for mandatory enforcement data and document entry into SIMS that establishes goals for consistent and timely entry of enforcement data and documents. In addition, to reduce the number of steps necessary for processing orders following the Commissioner’s signature, an Order Processing Protocol has been developed that outlines the essential steps to scan, mail and enter the enforcement data and documents into SIMS as well as identifying the documents to be included in an Order package.

Further, the Formal Action Data Sheet (FADS) is an additional tool to assure that complete, accurate and consistent information is entered into SIMS while simultaneously providing essential documentation and tracking for enforcement case development. The FADS will be used for all formal enforcement actions and the Consent Order Data Sheet will no longer be required.

There are a number of documents that have been developed to assist with SIMS data and document entry. These documents can be found below or by visiting the Enforcement Desk Documents directory on SharePoint and filtering by Document Category "SIMS Data Entry".

For questions regarding the SIMS Enforcement Entry process, contact Camille Fontanella of the Office of Planning and Program Development at 860-424-3074.

Document Name Description / Purpose
Directive for SIMS Enforcement Action Entry To establish baseline enforcement data and document entry requirements to assure that timely, complete, accurate and consistent information is entered into SIMS.

Please visit the Directives Search page and search for SIMS.
Table of High Level Mandatory Entry Identifies the enforcement data and documents to be entered into SIMS with timeframe goals for entry
Document Entry Index Identifies the document type and category for entry into SIMS for enforcement documents
Formal Action Data Sheet

Instructions		 A form to be completed by enforcement staff for all formal enforcement actions to assist with accurate data entry. Replaces the Consent Order Data Sheet for consent orders.
SOP for Searching for Existing Enforcement Action Instructions on how to search for an existing enforcement action to prevent duplicate entry.
Order Processing Protocol Provides instructions on the reduced steps to process an Order following signature, including mailing as well as data and document entry into SIMS. Outlines the essential documents to be included in an Order package
Distribution List for Order Processing Identifies appropriate staff for distribution of scanned Order and package.
Existing Duplicate SOP Describes the steps to eliminate existing duplicate enforcement action entries in SIMS
Notice of Confidentiality Template Format to provide notice of the existence of confidential documents
Order Cover Letter Template Sample order cover letter
SIMS Enforcement Entry Training PowerPoint Presentation Slides from staff training conducted in April 2010
Multi-Program SOP SOP for processing multi-program enforcement actions including SIMS data entry and coordination with involved programs

Enforcement Training 2023


Multi-media Enforcement Coordination Training was held on November 15, 2023. The material covered different DEEP Inspection program areas to train program area inspectors on what to look for in the field for all program areas and to note on the Multi-media Checklist. Below are the videos of the presentations.


Recording with Unofficial Transcript here.


Training Links

Training: Red Tag Resolution Process
Training: Preparing a Defensible Enforcement Case Presentation: Preparing a Defensible Enforcement Case.
Training: 4th Amendment and Access Presentation: 4th Amendment and Access.
Training: The Hearing. Presentation: The Hearing
Training: Pre-Hearing Preparation. Presentation: The Pre-Hearing Process
Training: Mediation Presentation: Mediation
Multi-Media Cross Training Q&A