Case Reports

Learn about the Case Management reports available and the information provided by each one.

Important: Incident-related information used to populate case reports is based on Incidents that include the sections and fields of the Default Incident Type templates shipped with the software. Because Incident Type templates can be configured to be user-specific, it is important to be aware that the sections and fields requiring entries to generate a meaningful report may not be a part of Incidents established with user-specific Incident Types. Refer to Incident Type Layouts and Templates for additional information.

For information on case reports, click the following links or use the scroll bar to scan the page.

Case Statistic Report	Entity Corrective Action Report
Compliance Plan Review Report	Non-Compliance Incident Statistic Report
Compliance Plan Summary Report	Schedule Report
Compliance Report

Case Statistic Report

The Case Statistics report provides a count (and corresponding percentage) of cases categorized by Case Risk Rank and Media for a specified entity. Just the risk ranks and media associated with the reporting cases are included in the report. For example, if none of the reporting cases have been assigned a "Waste" media, the "Waste" media will not be displayed as a field on the report. Subcategories show risk rank counts for cases with an Open and Closed status and media counts for cases with an Open status. Only Total counts include cases with a Draft status. When the reporting period spans more than one year, separate counts are provided for each year with grand totals that include all years.

To generate a Case Statistics report

Click Reports > Case Reports > Case Statistics Report in the Navigation Tree.

The report setup window for the Essential Reporter utility is displayed.
Specify the appropriate criteria in the selection tree and click the Run button on the toolbar.

The results are displayed in the report preview window. When more than one page exists, use the arrow buttons on the toolbar to move from page-to-page.
See Printing, Saving, and Emailing Reports or click File > Exit to close the Essential Reporter.

Data Sources

The data used to populate the fields on the Case Statistic report is derived from the information entered on forms within Essential. Knowing the source of the report data can help you determine what information to maintain, as well as troubleshoot missing or inaccurate data on a report.

Verification Guidelines	Essential form / Section / Details
A First Reviewed date has been entered.	Case form / Additional Information section
Total Cases Risk Rank
The Case Risk Rank has been assigned.	Case form / Additional Information section / Each risk rank assigned to the reporting cases is listed with the appropriate counts. When no risk rank has been assigned, the case is counted in the Risk Rank field.
Closed Cases Risk Rank
The case status = Closed.	Case form / Status field
Open Cases Risk Rank
The case status = Open.	Case form / Status field
Cases By Media
A Media has been assigned to the case.	Case form / Additional Information section / Each media assigned to the reporting cases is listed with the appropriate counts. When no media has been assigned, a Not Assigned media is included.
Open Cases By Media
The case status = Open.	Case form / Status field

Compliance Plan Review Report

The Compliance Plan Review report provides case, incident, root cause, and corrective action plan details for a single case.

To generate the report, click Reports > Case Reports > Compliance Plan Review Report in the Navigation Tree. Select a Case Number from the list and click View Report. A printer-friendly version (.pdf) of the report is displayed in a separate Adobe Acrobat Reader window with printing, saving, and emailing capabilities.

Data Sources

The data used to populate the fields on the Compliance Plan Review report is pulled from the information entered on forms within Essential. Knowing the source of the report data can help you determine what information to maintain, as well as troubleshoot missing or inaccurate data on a report.

Report Field	Essential form / Section / Details
Enterprise Entity	Case form / Responsible Entity field
Case #	Case form
Case Status	Case form
Date Closed	Automatically set to the compliance meeting date when the Recommended To Close check box is selected and the case is subsequently accepted on the Compliance Meeting Review list.
Compliance Type	Case form
First Reviewed	Case form / Additional Information section
Review Notification	Case form / Review Notifications section / Notification Date
Case Title	Case form / Title field
Incident #	Incident form / Incident # field. An incident is associated with a case record when it appears as a line item in the Associated Incidents section on the Case form.
Incident Reported Date	Incident form / Date Reported field. An incident is associated with a case record when it appears as a line item in the Associated Incidents section on the Case form.
Compliance Type	Incident form / Additional Information section / Compliance Type field. An incident is associated with a case record when it appears as a line item in the Associated Incidents section on the Case form.
Incident Type	Incident form / Incident Type field. An incident is associated with a case record when it appears as a line item in the Associated Incidents section on the Case form.
Media Name	Incident form / (dynamic) Media field. An incident is associated with a case record when it appears as a line item in the Associated Incidents section on the Case form. Note: The Media dynamic field must be added to the user-defined Incident Type template used to create the incident.
Incident First	Automatically populated with the earliest start date from the incidents associated with the case.
Awareness Date	Case form / Review section / Awareness field
Case Liability	Automatically populated with the difference, in days, between the earliest incident First Date field value and oldest case corrective action proposed (or revised) completion date.
Case Performance	Automatically populated with the difference, in days, between the earliest incident Date Aware field value and the oldest case corrective action proposed (or revised) completion date.
Case Source	Case form
Assigned To	Case form / Additional Information section
Case Media	Case form / Additional Information section / Media field
Parameter of Concern	Case form / Additional Information section
Case Risk Rank	Case form / Additional Information section
Case Description	Case form / Description field
Abstract	Case form / Review section
Current Issues	Case form / Review section
Recommendation	Case form / Review section
Root Cause Code	Case form / Root Cause Determination section / Root causes are listed by Root Cause Code on the report.
Primary	Case form / Root Cause Determination section
Root Cause Causal Result	Case form / Root Cause Determination section
Final Target Completion Date Unknown	Case form / Corrective Action Plan section / A Yes is displayed on the report when the Final Target Completion Date Unknown check box is selected. Otherwise, a No is displayed.
Priority	Case form / Corrective Action Plan section
CA#	Case form / Corrective Action Plan section / CAI# field
Assigned To	Case form / Corrective Action Plan section
Proposed Completion Date	Case form / Corrective Action Plan section
Revised Completion Date	Case form / Corrective Action Plan section
Actual Completion Date	Case form / Corrective Action Plan section
Review on Completion	Case form / Corrective Action Plan section / A Yes is displayed when the Review on Completion check box is selected on the Corrective Action Item form. Otherwise, a No is displayed.
Actual Corrective Action	Case form / Corrective Action Plan section

Compliance Plan Summary Report

The Compliance Plan Summary report provides the same case, incident, root cause, and corrective action plan details as the Compliance Plan Review report for more than one case. A list of the cases included in the report is provided on the first page, followed by the details for each individual case.

To generate the report, click Reports > Case Reports > Compliance Plan Summary Report in the Navigation Tree. Select an Enterprise Entity from the list and one or more Case Number. Click View Report to display a printer-friendly version (.pdf) of the report in a separate Adobe Acrobat Reader window with printing, saving, and emailing capabilities.

Data Sources

The data used to populate the fields on the Compliance Plan Summary report is pulled from the information entered on forms within Essential. Knowing the source of the report data can help you determine what information to maintain, as well as troubleshoot missing or inaccurate data on a report.

Report Field	Essential form / Section / Details
Enterprise Entity	Case form / Responsible Entity field
Entity Description	Enterprise Entity form / General section / Description field
Related Cases
- Case #	Case form
- Case Title	Case form / Title field
- Compliance Type	Case form
- Media	Case form / Additional Information section
- Related NC Incidents	Case form / Status field / The status does not = Draft AND Case form / Associated Incidents section / Incidents with an NC Compliance Type have been added.
- Risk Rank	Case form / Additional Information section
- Case Status	Case form / Status field
- Max Target Date	Automatically populated with the value of the oldest case corrective action proposed (or revised) completion date.
Refer to the Compliance Plan Review report data source details for the remaining sections and fields.

Compliance Report

The Compliance report identifies environmental law/regulation-related noncompliance incidents by Compliance Type. Incident information is grouped by entity and includes the incident number and description, the date occurred and reported, and the risk rank.

To generate a Compliance report

Click Reports > Case Reports > Compliance Report in the Navigation Tree.

The report setup window for the Essential™ Reporter utility is displayed.
Specify the appropriate criteria in the selection tree and click the Run button on the toolbar.

The results are displayed in the report preview window. When more than one page exists, use the arrow buttons on the toolbar to move from page-to-page.
See Printing, Saving, and Emailing Reports or click File > Exit to close the Essential Reporter.

Data Sources

The data used to populate the fields on the Compliance report is pulled from the information entered on forms within Essential. Knowing the source of the report data can help you determine what information to maintain, as well as troubleshoot missing or inaccurate data on a report.

Report Field	Essential form / Section / Details
Compliance Type	Incident form / Additional Information section
Incidents reported from/through	Automatically populated based on the reporting dates specified.
Enterprise Entity	Incident form
- Incident #	Incident form
- Occurred Date	Incident form / Date Occurred field
- Date Reported	Incident form / The Date Reported is included in the from/to dates specified for the report.
- Risk Rank	Incident form / Additional Information section
- Incident Description	Incident form / Additional Information section

Entity Corrective Action Report

The Entity Corrective Action report shows all case corrective actions that are past due or pending completion in the next 30, 60, or 90 days. Clear the 30/60/90-day filters to review past due corrective actions as well as pending corrective actions due in more than 90 days. When an Actual Completion Date has been entered for a case corrective action, it is no longer displayed on the report.

To generate the report, click Reports > Case Reports > Entity Corrective Action Report in the Navigation Tree. Use the search features and filters to locate specific data. The Select All and Select None options are available to quickly add or remove the filters. Click Export to export just the data displayed to Excel. Use the standard Excel print features to print the report.

Data Sources

The data used to populate the fields on the Entity Corrective Action report is pulled from the information entered on forms within Essential. Knowing the source of the report data can help you determine what information to maintain, as well as troubleshoot missing or inaccurate data on a report.

Report Field	Essential form / Section / Details
Days Until Due	Automatically populated based on the Proposed or Revised (if one exists) Completion Date and the current date.
Enterprise Entity	Case form / Responsible Entity field
Case #	Case form
Compliance Type	Case form
Case Title	Case form / Title field
Actual Corrective Action	Case form / Corrective Action Plan section / Title field
Proposed Completion Date	Case form / Corrective Action Plan section
Revised Completion Date	Case form / Corrective Action Plan section
Assigned To	Case form / Corrective Action Plan section

Non-Compliance Incident Statistic Report

The Non-Compliance Incident Statistic report provides a count (and corresponding percentage) of incidents categorized by Risk Rank and Media for a specified entity. Just the risk ranks and media associated with the reporting incidents are included in the report. For example, if none of the reporting cases have been assigned a "Waste" media, the "Waste" media will not be displayed as a field on the report. When the reporting period spans more than one year, separate counts are provided for each year with grand totals that include all years.

To generate a Non-Compliance Incident Statistic report

Click Reports > Case Reports > Non-Compliance Incident Statistics Report in the Navigation Tree.

The report setup window for the Essential™ Reporter utility is displayed.
Specify the appropriate criteria in the selection tree and click the Run button on the toolbar.

The results are displayed in the report preview window. When more than one page exists, use the arrow buttons on the toolbar to move from page-to-page.
See Printing, Saving, and Emailing Reports or click File > Exit to close the Essential Reporter.

Data Sources

The data used to populate the fields on the Non-Compliance Incident Statistic report is derived from the information entered on forms within Essential. Knowing the source of the report data can help you determine what information to maintain, as well as troubleshoot missing or inaccurate data on a report.

Verification Guidelines	Essential form / Section / Details
The incident has been assigned the NC Compliance Type.	Incident form / Additional Information section Note: The Compliance Type system field needs to be added to user-defined Incident Type templates based on the Emergency Incident Basic Type in order for incidents created using those templates to be included in the report.
Total NC Incidents Risk Rank
A Risk Rank has been assigned to the incident.	Incident form / Additional Information section / When a Risk Rank is assigned, it is added to the Risk Rank field on the report. If a Case Risk Rank is assigned, the rank is added as a category to the report with a count that includes the incident.
NC Incidents in Cases Risk Rank
The incident has been associated with a case.	Case form / Associated Incidents section / The incident is listed as a line item.
NC Incidents not in Cases Risk Rank
The incident has not been associated with any case.	Case form / Associated Incidents section / The incident is not listed.
NC Incidents by Media
A Media has been assigned to the incident.	Incident form / Media field / When a media is assigned to an incident, the media is added as a category to the report with a count that includes the incident. Note: The Media system field or Media dynamic field needs to be added to user-defined Incident Type templates in order for incidents to be included in the report—except for templates created with the following Incident Basic Types: Complaint = A Media field is included in the Incident Detail section. If a media is assigned to an incident, the incident is included on the report. If a media is not assigned, the incident is not counted in the report. Spill = A Media field is included in the Notice of Enforcement section, however the incident is counted in the Not Assigned category of the report. If a Media field is added to user-defined Spill Incident Type templates, that Media field is used for reporting and the Notice of Enforcement section is ignored.
NC Incidents in Open Cases by Media
The case status = Open.	Case form / Status field
The incident has been associated with the case.	Case form / Associated Incidents section / The incident is listed as a line item.

Schedule Report

The Schedule report provides incomplete case and incident information of interest to the Case Management team, such as a count of newly reported noncompliance incidents without a case association, pending draft cases, unresolved proposed changes, cases missing a compliance meeting date, etc. Report data is derived from all the cases and incidents set up for an entity. A separate row for each entity's data is provided on the report.

To generate the report, click Reports > Case Reports > Schedule Report in the Navigation Tree and then click View Report. A printer-friendly version (.pdf) of the report is displayed in a separate Adobe Acrobat Reader window with printing, saving, and emailing capabilities.

Data Sources

The data used to populate the fields on the Schedule report is derived from the information entered on forms within Essential. Knowing the source of the report data can help you determine what information to maintain, as well as troubleshoot missing or inaccurate data on a report.

Report Section/Field	Verification Guidelines	Essential form / Section / Details
Incidents W/O Cases	The incident has not been associated with a case.	Case form / Associated Incidents section / The incident is not listed.
Max Age Days = today minus the oldest date reported for incidents with an NC or PNC compliance type that have not been assigned to a case.	A reported date has been entered.	Incident form / Date Reported field
NC	The incident has been assigned an NC Compliance Type.	Incident form / Additional Information section / Compliance Type field
PNC	The incident has been assigned a PNC Compliance Type.	Incident form / Additional Information section / Compliance Type field
Assigned To Note: The name of each different person is listed, last name first, separated by semicolons.	An individual has been assigned to the incident.	Incident form / Case Assigned To field / Note: The Case Assigned To system field needs to be added to user-defined Incident Type templates.
Draft Cases	The case status = Draft.	Case form / Status field
Max Age Days = today minus the oldest Case Awareness date.	The Awareness date has been entered.	Case form / Review section / Awareness field
Total = the number of draft cases with a Case Awareness date.
Assigned To Note: The name of each different person is listed, last name first, separated by semicolons.	An individual has been assigned to the case.	Case form / Additional Information section
Corrective Action Plans	The case status = Open. Note: The Past Due 7 Days, Max Age Past, and Review On Completion fields of the report are also populated when the case status = Draft.	Case form / Status field
Max Age Days = today minus the oldest corrective action proposed change date. Note: The proposed change date is automatically derived from the timestamp of the saved corrective action proposed change record.	A proposed change for a case corrective action has been submitted.	Incident form / Corrective Actions section / A proposed change is created via the Propose a change to a Corrective Action link.
Pending (corrective) Action Items	A Change Pending link is displayed in the Change Status field of the case Corrective Action Plan.	Case form / Corrective Action Plan section
Max Update Days = today minus the date of the oldest completed corrective action.	A corrective action with an actual completion date has been assigned to a case.	Case form / Corrective Action Plan section / Actual Completion Date
Cases w/All CA Complete	Each case corrective action has been completed.	Corrective Action Item form / Status field = Completed
Past Due 7 Days = a count of case corrective actions with a proposed or revised proposed completion date that is seven or more days in the past.	A corrective action with a proposed or revised completion date has been assigned to a case.	Case form / Corrective Action Plan section / If no Revised Completion date has been entered, the Proposed Completion date is used.
Max Age Past = today minus the date of the oldest corrective action.	A corrective action with a proposed or revised completion date has been assigned to a case.	Case form / Corrective Action Plan section / If no Revised Completion date has been entered, the Proposed Completion date is used.
Assigned To Note: The name of each different person is listed, last name first, separated by semicolons.	An individual has been assigned to a case with associated corrective actions. When all case corrective actions have been completed, the individual is no longer displayed.	Case form / Additional Information section
Review On Completion = a count of case corrective actions requiring review after completion.	A corrective action requiring review upon completion has been assigned to the case.	Case form / Corrective Action Plan section / A Yes is displayed when the Review on Completion check box on the Corrective Action Item form is selected. Otherwise, a No is displayed.
Open Cases	The case status = Open.	Case form / Status field
W/O CRM (Compliance Review Meeting) Date	A Compliance Meeting date has not been selected.	Case form / Review section / Compliance Meeting field
Miss Matched Incidents = the number of case/associated incident Compliance Type discrepancies.	The Compliance Type of one or more incidents associated with a case is different than the case Compliance Type.	Case form / Associated Incidents section / Incident compliance types are entered in the Additional Information section on the Incident form.
Root Cause Analysis	The Case Status = Open.	Case form / Status field
Max Age Days = today minus the oldest root cause proposed change date. Note: The proposed change date is automatically derived from the timestamp of the saved root cause proposed change record.	A proposed change for a case root cause has been submitted.	Incident form / Root Causes section / A proposed change is created via the Propose a change to Causal Root Cause link.
Pending RCA (Root Cause Analysis) Change	A Change Pending link is displayed in the Change Status field.	Case form / Root Cause Determination section
Assigned To Note: The name of each different person is listed, last name first, separated by semicolons.	An individual has been assigned to the case.	Case form / Additional Information section
Location W/O ZNC A Y indicates there are no cases with a ZNC Compliance Type at the entity; an N indicates there are.	No zero non-compliance cases have been established for the entity.	Case form / Compliance Type does not = ZNC