Compliance Inspections

A notice of compliance informs the person or business responsible that the inspected activity, substance, or works were found to be in compliance with a specified regulatory requirement.

An advisory notifies the non-compliant party in writing that they are not in compliance with a specific regulatory requirement and often recommends a course of action that is expected to achieve compliance. An advisory may:

• include an exchange of information on best management practices or technical solutions;
• reference where additional information and educational materials can be sourced; and
• include requests for a description of the cause of the non-compliance, measures being considered to prevent further non-compliance and a remedial action plan.

An advisory is often the first enforcement response taken in cases of minor to moderate non-compliance when there is a high likelihood of achieving compliance. An advisory, like a warning serves as a formal record of the alleged non-compliance and forms an important element of the compliance history of the party in question. An advisory can be issued in one of a number of formats such as a letter, a pre-printed notice similar in appearance to a violation ticket, or as part of a standardized inspection form in which a copy is provided to the individual or business being inspected.

Similar to an advisory, a warning notifies the non-compliant party in writing that they are not in compliance with a specific regulatory requirement; however, the warning differs from an advisory in that it warns of the possibility of an escalating response should non-compliance continue. Warnings are generally used when it is determined that an exchange of information alone would not be sufficient in achieving compliance.

A warning serves as an important formal record of the alleged non-compliance and forms an important element of the compliance history of the party in question. This becomes particularly relevant when assessing and responding to any subsequent non-compliance by the party. Although verbal warnings in the field are sometimes used, when it is important to have a record of the non-compliance, staff should follow up by issuing a written warning. A warning may:

• require a description of the cause of the non-compliance, measures being considered to prevent further non-compliance and a remedial action plan;
• require an inspection prior to issuing the warning letter in order to gather sufficient information regarding the non-compliance (a follow-up inspection may also be undertaken in order to verify compliance); and
• request written confirmation from the client that compliance has been achieved.

Referred for further action means that the results of an inspection were forwarded to a director, statutory decision maker, agency (such as the Conservation Officer Service), or professional association for further review or investigation. The referral may subsequently result in enforcement action for the non-compliances observed during the inspection. Enforcement actions can include orders, administrative sanctions, administrative penalties, violation tickets, court prosecution, or restorative justice forums.