Overview
The Enforcement program tracks formal enforcement actions through case files. Each case can have multiple entries documenting the escalation timeline, and enforcement levels classify the severity at each stage.
Before you begin
Enforcement levels must be configured in Settings > Enforcement Levels.
The Enforcement program must be enabled.
Creating an enforcement case
Navigate to the Enforcement program from the left sidebar.
Click to create a new case.
Fill in the case details:
Name: The case name or identifier.
Enforcement Level: Select the initial severity level from the configured levels.
Link the case to relevant records by adding entries:
Locations: Link to the site(s) involved.
Investigations: Link to related investigations (general or IDDE).
BMPs: Link to relevant Best Management Practices.
Click Save.
Adding entries to a case
Open the enforcement case.
Click the Add Case File Entry button or dropdown.
Choose the entry type from the dropdown. Options are listed in the table below.
Fill in the entry details in the form that appears. Each entry records the creator and timestamp automatically.
Click Save.
Multiple entries build the enforcement timeline (for example: Add Comment recording initial contact, then Change Enforcement Level to escalate to Notice of Violation, then Add Action Requirement for required follow-up).
Dropdown option | What it does |
Add Action Requirement | Record a required action or follow-up item for the case. |
Add Comment | Add a free-text comment to the case timeline. |
Change Custom Tag | Apply or update a custom tag on the case. The label reflects whatever your admin has named your Custom Tag field. |
Change Enforcement Level | Update the case's enforcement level (for example, escalating from Warning to Notice of Violation). The label for this option reflects the custom name your admin has set for Enforcement Level, if any. |
Create Document from Template | Generate a document from a configured report template (for example, a Notice of Violation letter). Only appears if your admin has configured at least one enforcement report template. |
Link to Investigation | Link the case to a record in the Investigations program. Only appears if the Investigations program is enabled. |
Link to Management Practice | Link the case to a Management Practice (BMP) from your BMP database. |
Link to Site | Link the case to a site in your system. Use this to associate the enforcement action with one or more sites. |
Some options in the dropdown only appear when the related program is enabled on your account:
Link to Investigation (requires the Investigations program).
Create Document from Template (requires at least one enforcement report template configured by the SwiftComply team).
Closing a case
Open the case.
Click Close.
The close date and the user who closed it are recorded.
Closed cases and all their entries remain in the system for audit and reporting purposes.
Enforcement in the datatable
The enforcement case list shows columns for: name, created date, case level, closed date, enforcement level, custom tags, outstanding actions, linked BMPs, linked sites, address, and linked investigations (if IDDE is enabled).
FAQ
Q: Can an enforcement case link to multiple sites?
A: Yes. Add multiple Link to Site entries to connect the case to as many sites as needed.
Q: Where do I configure enforcement levels?
A: Go to Settings > Enforcement Levels. Each level has a name and display order. Common examples include Warning, Notice of Violation, Administrative Order, Fine, and Consent Decree.
Q: Can investigations automatically create enforcement cases?
A: Yes. In the Investigations program, outcome types configured to create enforcement actions automatically add a new enforcement case file when the investigation outcome is saved.
Q: Can I reopen a closed case?
A: Yes, there is an option to reopen a closed case next to the status section.