5.1.1. Identify violations through compliance reviews, on-site inspections, and investigations on behalf of IDEM;

5.1.2. Identify the appropriate class of violation consistent with this policy;

5.1.3. Take appropriate enforcement action within the designated time frame; and

5.1.4 Route the inspection summary/violation letter or referral to the appropriate section chief or deputy director within the designated time frame.

5.2.1. Ensure appropriate class of violation is consistent with this policy;

5.2.2. Monitor and ensure deadlines are met;

5.2.3. Sign all inspection summary/violations letters or referrals and send within designated time frames; and

5.2.4. Sign off on all referrals and route to appropriate branch chief.

5.3.1. Review referrals;

5.3.2. Identify any sensitive issues;

5.3.3. Appropriately coordinate with regional office directors or deputy directors;

5.3.4. Ensure appropriate class of violation is consistent with this policy;

5.3.5. Monitor and ensure deadlines are met;

5.3.6. Sign off on all referrals for enforcement and route to their program assistant commissioner before being distributed to staff assigned to distribute enforcement referrals to case managers;

5.3.7. Be the point of contact for each program area; and

5.3.8. Identify revisions to this policy.

5.4.1. Review referrals;

5.4.2. Identify any sensitive issues;

5.4.3. Sign off on all referrals;

5.4.4. Assign to appropriate case manager;

5.4.5. Monitor and ensure deadlines are met in accordance with employee performance plans; and

5.4.6. Coordinate with the compliance and enforcement staff per this policy.

5.5.1. Evaluate documentation to ensure referral supports enforcement action;

5.5.2. Prepare all documents and manage all assigned cases to ensure deadlines are met;

5.5.3. Enter required enforcement information into the METS database; and

5.5.4. Coordinate with the compliance staff per this policy.

5.6.1. Distribute this policy and accompanying standard operating procedures to all compliance and enforcement staff;

5.6.2. Review all referrals to enforcement staff to ensure violations are managed in accordance with the provisions of this policy;

5.6.3. Ensure any program-specific policies are consistent with this policy;

5.6.4. Coordinate with the other assistant commissioners, compliance and enforcement managers and regional office directors, as necessary;

5.6.5. Establish a process to evaluate compliance cases to assure case-specific circumstances justify the level of enforcement proposed;

5.6.6. Review all proposed denials of voluntary self disclosures to ensure self-disclosures are managed appropriately;

5.6.7. Notify the commissioner of a program referral of a state facility;

5.6.8. As directed by the commissioner, hold discussions with counterparts at appropriate state agencies concerning compliance problems to ensure that the appropriate state agency takes actions to return to compliance;

5.6.9. Determine, after discussion with appropriate state agency staff, whether to refer a case regarding state agency compliance to appropriate compliance and enforcement staff;

5.6.10. Forward, when appropriate, referral packet of a state facility to the assistant commissioner of the Office of Legal Counsel for appropriate enforcement action.

5.6.11. Review proposed Agreed Orders and Commissioners Orders to ensure cases are managed in accordance with the provisions of this policy; and

5.6.12. Sign Agreed Orders.

Violations have been divided into three classes. In all three classes, violations will be referred to enforcement staff when approved by the applicable program assistant commissioner. It is expected that enforcement staff will make determinations that are consistent and fair across all media.

6.2.1. General categories:

A. Class 1 Violations:

1. Violations which are immediately reviewed by the appropriate program assistant commissioner for referral to enforcement staff include any of the following:

a. Unauthorized preventable (negligent) discharge, failure to provide treatment, release or emission that results in a threat to human health or safety or which results in a serious impact to the environment;

b. Person performing a regulated activity without the proper permit, license or certification that results in a significant threat to human health or the environment;

c. A determination of significant noncompliance (SNC) or high priority violation (HPV), under the water, air or hazardous waste programs;

d. Documented falsification of data, documents or reports;

e. Failure to respond to a violation letter where a response is required;

f. Denial of access to an agency staff person to a regulated site; and

g. Other preventable violations not specifically identified above which result in threat to human health or safety or which results in serious impact to the environment.

B. Class 2 Violations:

1. Violations referred to enforcement staff, if not adequately addressed by the regulated entity after a violation letter/ request for information letter is sent and the violation was not corrected or the response not deemed appropriate by the respective program assistant commissioner include any of the following:

a. Unauthorized discharge, failure to provide treatment, release or emission, or threat of release or emission, that results in minor or potential risk to human health or no serious harm to the environment;

b. Person performing a regulated activity without the proper permit, license or certification that does not result in a significant threat to human health or the environment;

c. Person performing a regulated activity with the proper permit, license or certification, but not following all required practices, with the exception of asbestos work practice requirements; and

d. Late, incomplete or improperly completed data, documents, reports or compliance monitoring and assurance activities.

C. Class 3 Violations:

1. Chronic or recurring minor violations may be referred to enforcement staff after repeated documentation of the violation or efforts to achieve compliance fail, and the violation continues; including any of the following:

a. Violations not otherwise covered by Class I or II, which are minor in nature and are documented in inspection reports or similar reports. These are often corrected at the time of the inspection, but recur after having been corrected. If there are recurring violations, a referral to enforcement staff may occur after a violation letter is sent; and

b. Violations that meet the criteria set forth in IC 13-30-7 as "minor violations".

6.3.1. Mandatory disclosures submitted to IDEM by regulated entities:

A. Appropriateness:

1. Regulated entities that are required to disclose violations, for example, quarterly deviation reports, discharge monitoring reports, annual compliance certifications, shall be treated in the same manner as if the violation was discovered by IDEM.

6.3.2. Voluntary self-disclosures submitted to IDEM by regulated entities:

A. Appropriateness:

1. The self disclosure manager shall evaluate any self disclosure within the parameters of IDEM's Self-Disclosure and Environmental Audit Policy and any related standard operating procedures.

B. Approval:

1. The self disclosure manager shall approve or disapprove any self-disclosure. All proposed disapprovals shall be reviewed by the OLC assistant commissioner and applicable program assistant commissioner for appropriateness.

Program areas shall take an appropriate and timely compliance or enforcement action for all violations. Violations shall be documented in writing, and the regulated entity shall be notified of all violations and whether enforcement action will be taken. Notification of the regulated entity shall be consistent with the agency's policies relative to providing notice of inspection results. The commissioner, assistant commissioners, and compliance branch chiefs possess the discretion to authorize compliance staff to deviate from the terms of this policy on a case-by-case basis.

6.4.1. Appropriateness:

The compliance manager shall seek to issue to a regulated entity the most appropriate enforcement action available in an effort to promote the expeditious return to compliance by that regulated entity.

Compliance managers shall identify an appropriate action for each violation consistent with standard operating procedures for program specific violations.

Class I Violations require immediate referral to the program assistant commissioner for consideration of initiation of the enforcement process regardless of the efforts by the responsible party or agency staff to achieve compliance. If the violator is responsible for a number of violations, which include a mixture of Class I, II and III violations, all violations will be referred with the Class I Violations.

Class II Violations require referral to the program assistant commissioner for consideration of initiation of the enforcement process, following the issuance of a violation letter, when the violation is not corrected within the timeframe required by the violation letter or if the violation occurs a second time.

Class III Violations may be referred to the program assistant commissioner for consideration of initiation of the enforcement process when the responsible party has been found to be repeatedly in violation of the same minor requirement, that is, responsible party has received written notification three times in the past five years for the same violation.

IDEM shall consider litigation to be anticipated with the regulated entity and shall comply with the agency's policy relative to maintaining information concerning facilities in litigation, no later than the date upon which a referral of a Compliance Inspection Report is made to the enforcement staff.

Consistent with IC 13-14-5, compliance staff shall provide a verbal summary to the regulated entity, if the regulated entity is available, at the conclusion of an inspection.

Compliance staff shall provide a written inspection notification to the regulated entity of the on-site inspection or investigation detailing any specific matters discovered during the inspection or investigation that may constitute a violation of Indiana's Environmental Requirements.

Compliance staff shall provide in writing to the regulated entity, notice that a violation has been referred for initiation of the enforcement process at the time if the referral is deemed appropriate by the program assistant commissioner.

A. Class I Violations:

Compliance staff shall submit a referral to the program assistant commissioner for consideration, detailing any specific violations upon conclusion of a regulatory compliance review, on-site inspection or investigation, and determination of a violation.

B. Class II Violations:

Compliance programs shall issue Violation Letters for Class II Violations. Compliance staff and managers shall ensure that a Violation Letter is issued to a regulated entity upon the conclusion of an inspection or compliance review or investigation and determination of a violation.

Compliance staff and managers shall ensure that the regulated entity has achieved compliance with the provisions of the violation letter.

In the event that compliance with the provisions of a violation letter is not achieved, the compliance staff and manager shall ensure that the violations cited in the violation letter are referred to the program assistant commissioner for consideration.

If an enforcement follow-up inspection (EFI) is necessary to verify compliance with the violation letter, compliance staff and managers shall ensure that the EFI is conducted.

C. Class III Violations:

Compliance programs shall issue violation letters for Class III Violations. Compliance staff and managers shall ensure that a violation letter is issued to a regulated entity upon conclusion of an inspection or compliance review and determination of a violation.

In the event of repeated violations of the same minor requirement, that is, responsible party has received written notification three times in the past five years for the same violation, the compliance staff and manager shall ensure that the violations cited in the previous violation letters are referred to the program assistant commissioner.

If an enforcement follow-up inspection (EFI) is necessary to verify compliance with the violation letter, compliance staff and managers shall ensure that the EFI is conducted.

A. The following violations shall be addressed as listed below:

1. All pollution spills and violations of an emergency nature shall be immediately reported to the IDEM's Spill Line at (888) 233-7745;

2. Direct or indirect threats, intimidation, criminal mischief, battery or other criminal or inappropriate behavior towards an employee during the course of addressing a complaint shall be immediately reported per the procedures set forth in IDEM's policy relative to dealing with threats or intimidations while conducting job duties;

3. Violations discovered by the Compliance and Technical Assistance Program shall be handled in accordance with appropriate policies relative to managing confidential information; and

4. State agency facilities:

In the event that other state agency facilities have violations that warrant referral to enforcement, the appropriate compliance program shall prepare a referral packet fully documenting in writing violations of Indiana's Environmental Requirements. The referral packet shall be routed to the assistant commissioner of the appropriate program area. The assistant commissioner shall notify senior staff at a senior staff meeting of the referral. Senior staff will determine which senior staff member shall contact their appropriate counterpart at the affected agency. The assistant commissioner shall hold discussions with counterparts at appropriate state agency concerning compliance problems to ensure that the appropriate state agency takes actions to return to compliance. The assistant commissioner shall, after discussion with appropriate state agency, determine whether to initiate enforcement processes against a state agency. In such a case the assistant commissioner shall forward the referral packet to the compliance and enforcement manager responsible for initiating enforcement actions.

Evidence or other information that indicates possible criminal activity shall be referred to the Office of Criminal Investigations consistent with the IDEM Office of Criminal Investigations standard operating procedure for use of investigative discretion.

Evidence or other information that indicates clear and immediate danger to human health or the environment shall be referred to the Office of the Indiana Attorney General.

Only those cases known to be open and currently under investigation or consideration by U.S. EPA shall be referred after review by the Office of Legal Counsel assistant commissioner and respective program assistant commissioner.

DIN: 20091028-IR-318090852NRA

Composed: May 04,2024 12:13:39AM EDT

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