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Tips on Responding to a Notice of Violation (NOV) or Enforcement Order

violationIf your facility is found to be out-of-compliance, use the following tips…

  1. Make Sure to have a procedure in place to respond to a Notice of Violation (NOV), an enforcement order, etc.
  2. The person responsible for responding needs to be given a copy of the NOV as soon as possible and management officials need be be alerted.
  3. Add a confidentiality statement to all documents generated during an enforcement investigation to ensure attorney-client privilege.
  4. Contact the agency issuing to let them know you’ve received the NOV or order and assure them that you will respond promptly.
  5. Determine strategy for challenging to the notice or order with your legal team.
  6. Know that receipt of an enforcement order or NOV can start the clock running for a continuous violation. Find out if you are liable for sanctions, fines, penalties or worse.
  7. Make sure to know if you could have your operations shutdown. If so, determine if a variance should be sought to allow operations to continue.
  8. Make corrections, answer allegations, and challenge investigators findings in written form.
  9. Have a single person in management be responsible for the whole matter and devote enough resources and staff to provide an active defense.
  10. File all appeals by their deadlines and state grounds for any appeal clearly and succinctly.
  11. Alter operations to comply with applicable regulations while appeals are pending and fully document your compliance.
  12. Collect and organize all relevant records and documents necessary for the defense. Do not destroy or discard any relevant documents during appeal periods.
  13. Identify anyone who may have information relevant to the matter, and ensure their willingness and availability to cooperate fully with counsel.
  14. Make sure you get defense strategy approval from management before proceeding.
  15. Remember to treat each NOV or enforcement order as a serious allegation or requirement with legal implications.

Need someone to help you with a NOV or enforcement order? Don’t go it alone. We work with these regulations everyday and know how to handle it for you, so you can focus on your core business.  

Contact Us (859-689-9222 – KY, 513-367-4100 – OH) to get more information about how we can help your business.

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