CADDNAR


[CITE: Department of Natural Resources v. Bardonner, 5 CADDNAR 211 (1991)]

 

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Cause #: 90-152W

Caption: Department of Natural Resources v. Bardonner
Administrative Law Judge: Lucas
Attorneys: McInerny, DAG; pro se (Bardonner)
Date: October 17, 1991

ORDER

 

(1) A notice of violation is issued by the Natural Resources Commission against Eugene Bardonner pursuant to IC 14-3-3-22 for his failure to comply with the terms of a permit (Docket Number D-5031) issued in 1977 under IC 13-2-22 to construct a dam on an unnamed tributary to Big Blue River in the northeast quarter of the southeast quarter of section 10, township 16 north, range 9 east in Henry County, Indiana.

 

(2) Eugene Bardonner shall abate the violation by slowly breaching the dam and dewatering the lake impounded by the dam, with the abatement to be completed by January 27, 1992.

 

(3) If the dam is not breached and the lake dewatered by January 27, 1992, a charge of $500 (five hundred dollars) daily shall be imposed beginning on January 28, 1992 and continuing until March 27, 1992 or until abatement is achieved, whichever date occurs earlier, for a total amount not to exceed $30,000 (thirty thousand dollars).

FINDINGS OF FACT

 

1. The Indiana department of natural resources (the "Department") is an agency as the term is defined in IC 4-21.5-1-3. IC 4-21.5 (sometimes referred to as the "administrative adjudication act" or the "AAA") is applicable to an "agency action" of the Department.

 

2. As defined in IC 4-21.5-1-15, "ultimate authority" means the individual or panel in whom the final authority of an agency is vested. As provided in IC 14-3-3-21(a), the natural resources commission (the "Commission") is the ultimate authority for the Department.

 

3. On May 17, 1990, the Department filed against Eugene Bardonner ("Bardonner") its Complaint for the Issuance of a Notice of Violation (and for the Imposition of a Charge) for the Failure to Correct the Matters of, Allegedly Constructing a Dam Without a Permit from the Natural Resources Commission and Not Maintaining the Dam in a Good and Sufficient State of Repair and/or Operating Condition, by Not Bringing the Dam into Compliance with the Conditions of the Certificate of Approval, on an Unnamed Tributary to Big Blue River, Near Knightstown, Henry County (the "Complaint"). With filing of the Complaint, this proceeding was commenced pursuant to the administrative adjudication act.

 

4. The section of the administrative adjudication act which most particularly governs a complaint is IC 4-21.5-3-8; and the Complaint conforms to the requirements of that section.

 

5. IC 4-21.5-3-14(c) sets forth generally which party has the burden of persuasion and the burden of going forward in a proceeding. In this proceeding, the Department is the party pursuing Bardonner for a regulatory violation. For this reason, the Department carries both the burden of persuasion and the burden of going forward. The result is also supported because the statutory authority for the Complaint is IC 14-3-3-22; and subsection 22(b) specifies that the "[D]epartment has the burden of proving the alleged violation by a preponderance of the evidence." Peabody Coal Company v. Patrick R. Ralston, Ind. App., 83A01-9103-CV-76 (1991).

 

6. The Complaint was filed with respect to a dam (the "dam") constructed for Bardonner on an unnamed tributary of the Big blue River in the southwest quarter (SW 1/4) of section 10, township 16 north, range 9 east, near Knightstown in Henry, county, Indiana. The location of the dam is not in dispute.

 

7. The dam was constructed about 1975 without a certificate of authorization as required by IC 13-2-22 (sometimes referred to as the "Flood Control Act"). After the Department learned of the unauthorized construction, the site was inspected and Bardonner was informed that an application must be filed with the Department for an after-the-fact authorization.

 

8. Subsequently, Bardonner made application pursuant to the Flood Control Act for a certification of authorization for the dam. The application was approved and Bardonner issued a written certificate of authorization within docket number D-5031 on May 25, 1977 (the "permit"). Claimant's Exhibit 2.

 

9. The permit contained standard conditions and, in addition, set forth the seven following requirements:

 

(1) All disturbed areas shall be effectively protected from erosion during the construction period and shall be suitably revegetated or otherwise provided with permanent protection upon completion.

(2) The dam shall be leveled to a minimum elevation of

 

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1,032.5 feet mean sea level and seeded. The emergency spillway for the dam shall be leveled to a minimum elevation of 1,029.0 feet mean sea level and seeded.

(3) The upstream slope shall be provided with rip-rap protection against wave wash action.

(4) The spillway shall, as needed, be protected from erosion damage.

(5) A toe drain or other adequate embankment drainage facility shall be installed, if future annual inspections by the Department reveal that the granular foundation materials do not keep the downstream slope and toe area dry and stable.

(6) Dam revisions required to conform its structure to the permit terms shall be completed by December 1, 1977.

(7) The Commission shall, "before the dam is put to use," be provided with an inspection report from a registered professional engineer which certifies that the dam has been built in accordance with the plans and specifications included in the permit; or the owners of the dam will, at their expense, cause the dam to be breached.

 

10. When the permit was issued, IC 4-22-1 controlled administrative reviews of agency determinations. The issuance of the permit was a "final order or determination" of the Department; and Bardonner might have contested the terms of the permit by seeking administrative review pursuant to IC 4-22-1 within fifteen (15) days of notification of the permit.

 

11. Bardonner did not seek timely review of the terms of the permit. Instead he proceeded with the development of the dam. By failing to contest in 1977 the terms and conditions placed on the permit, Bardonner waived any opportunity for review. Bardonner is now legally bound to the terms of the permit as they were determined in 1977. Marshall Co. Drainage Bd. v. DNR, 1 Caddnar 32 (November 25, 1981). See, also, Dale Bland Trucking, Inc. v. Calcar Quarries, Inc. (1981), Ind. App., 417 N.E.2d 1157.

 

12. The Department has conducted regular inspections of the dam since the permit was issued in 1977. The first inspection occurred in August 1977; and inspections occurred in 1978, 1979, 1981, 1983, 1984, 1985, 1986, 1987, 1988, and 1989. Claimant's Exhibits 6 through 21.

 

13. Inspection reports made by the Department before 1988 indicated that the condition of grass cover on the dam was generally poor. Erosion occurred on the upstream (lakeside) slope of the dam, where the Department recommended the "addition of rip-rap or anchored poles to control the wave erosion." On the downstream slope, water was observed passing under the dam, and the area above this seepage was sometimes "spongy". The principal spillway, really little more than a "low spot" on the crest of the dam, contained an open swale into another gully. On one occasion, muskrat activity was observed which could reduce the integrity of the Dam; and the presence of brush made complete inspections difficult. As a whole maintenance was unsatisfactory; and one inspection report even referred to maintenance as being nonexistent.

 

14. The Department attempted, through correspondence, to communicate to Bardonner the importance of performing good maintenance on the dam and of complying with all the terms of the permit. Copies of the inspection reports were provided to Bardonner.

 

15. Late in 1988, Bardonner initiated an effort to comply with some permit terms. Trees were cut from a portion of the downstream side of the embankment. With the coming of winter, the Department agreed in November to defer additional compliance efforts on the dam until spring 1989. Claimant's Exhibit 17 and direct testimony by Kenneth Smith.

 

16. On April 19, 1989, Michael Neyer, Assistant Director of the Division of Water of the Department, wrote to Bardonner concerning the dam. He stated that "[a]s spring... [was] now here," Bardonner needed to contact staff for the Department with a written schedule to complete the permit conditions. Neyer stated the schedule should include:

 

(a) clearing and regrading the downstream face of the dam:

(b) leveling the top of the dam to a minimum elevation of 1032.5 feet, National Geodetic Vertical Datum;

(c) leveling the emergency spillway to an elevation of 1029.0 feet, National Geodetic Vertical Datum;

(d) providing rip-rap protection against wave action for the upstream slope of the dam; and

(e) suitably revegetating the disturbed areas of the dam.

 

17. On August 4, 1989, Neyer again wrote to Bardonner. He stated that Bardonner had not responded to the April 19 letter outlined in Finding 16 and that a Department inspection made on May 22 revealed no progress on the dam since the fall of 1988. The need was repeated to establish a written schedule to complete compliance work on the dam. Neyer also stated that the dam violated state law and that the Commission would be requested to issue a notice of violation "seeking imposition of a fine in an amount not to exceed One Thousand

 

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(1,000) Dollars per day, for each day the violation continues until the conditions of your permit (D-5031) are satisfied."

 

18. On October 4, 1989, the Department made another inspection of the dam. An inspection report was prepared on October 11 which stated in part:

 

(1) The top of the dam had been mowed and cleared. Old tire ruts as deep as nine inches were found across the length of the dam. The top of the dam was uneven with high and low areas. A survey determined the lowest area along the top of the dam to be at elevation 1033.6.

(2) The shoreline of the upstream slope was found to be overgrown with weeds, brush, and small trees. "Although it was nearly impossible to inspect the upstream slope, we did find areas of erosion where sloughing has occurred."

(3) The downstream slope was found to have been "'worked over' by a dozer." The condition of the slope surface was described as "raw and uneven with limbs, brush, [and] lumps of soil scattered over the slope. In many areas on the slope, the soil is so disturbed by the 'clearing operation' that it is impossible to determine if sloughing or other slope instability has occurred." Seepage was observed near the abutments, although the presence of trees and brush precluded the 'Inspection from determining the upper limit of the seepage. The toe of the slope was found to be "extremely saturated and wet. Again, a thorough examination of the toe area" was "not possible owing to the heavy vegetation and debris from the clearing operation."

(4) The spillway was described as "an open channel at the south end of the dam." The channel was unmowed and "heavy vegetation" was identified at the channel entrance. A narrow gully had been formed in the spillway channel. The survey crew had "determined that the control action in the spillway" was "at elevation 1032.2" and the surface of the impounded water was "at elevation 1032.0."

 

19. The persons who conducted the October 4, 1989 inspection spoke with Bardonner. They indicated in their written report that "Bardonner debated each condition [of the permit] with us except for the last two conditions ... "

 

20. On May 17, 1990, the Department filed the Complaint. The Complaint contends that in November 1989 the dam remained in violation of every condition in the permit.

 

(1) In violation of the condition set forth in Finding 9(l), even though the downstream and upstream slopes of the dam had been cleared of heavy vegetation, the Department argued that the downstream slope is raw with lumps of soil from the upstream slope; and there was alleged to be no erosion protection on the disturbed slopes.

(2) In violation of the condition set forth in Finding 9(2), the original spillway elevation of 1,032.3 was said to be unaltered; and no seeding was found to have been accomplished.

(3) In violation of the condition set forth in Finding 9(3), there was no riprap observed.

(4) In violation of the condition set forth in Finding 9(4), no spillway protection was alleged to have been provided.

(5) In potential violation of the condition set forth in Finding 9(5), no toe drain or other drainage facilities had been installed, although a wet area was said to exist near the toe of the dam.

(6). In violation of Finding 9(6), construction work required to be revised within six months of the permit approval in 1977 was not found to have been completed.

(7) In violation of Finding 9(7), a certified inspection report from a registered professional engineer, that the dam was constructed according to the approved plans and specifications, was alleged not to have been provided before the dam was placed in use.

 

21. After the issuance of the Complaint, a dam inspector for the Department again made numerous attempts to contact Bardonner in an effort to achieve compliance with the permit terms.

 

22. On July 26, 1991, the Department again inspected the dam. Although some progress had been made, the dam still did not comply with the 1977 permit.

 

23. The conditions set forth in the permit, as described in Finding 9(l), had not been met at the time of the July 1991 inspection. Bardonner continues to be in violation of this condition in that portions of the slopes of the dam, the top of the dam, and the spillway had bare soil with no permanent vegetation or other suitable erosion control.

 

24. The conditions set forth in the permit, as described in Finding 9(2), had not been met at the time of the July 1991 inspection. Bardonner continues to be in violation of this condition in that spillway had bare earth with a trench running through it. The 3.5 foot differential between the crest of the dam and the spillway required in the permit was approaching, but had not yet achieved, satisfaction.

 

25. The conditions set forth in the permit, as described in finding 9(3), had not been met at the time of the July 1991 inspection. No

 

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riprap had been applied to the upstream slope as required in the permit. The dam was covered with bare earth.[FOOTNOTE i]

 

26. The conditions set forth in the permit, as set forth in Finding 9(4), had not been fully met at the time of the July 1991 inspection, although significant progress was observed. The spillway continued to be in a "very torn-up" state, but Bardonner was in the process of installing a black drain tile underneath the spillway to help minimize erosion damage to the emergency spillway.

 

27. The conditions set forth in the permit, as described in Finding 9(6), had not been met as of July 1991. Revised construction work was not completed by December 1, 1977, with notice given to the Department following completion. In fact, revised construction work has never been completed.

 

28. The conditions set forth in the permit, as described in Finding 9(7), had not been met as of July 1991. Bardonner did not, before putting the dam in use, provide a certified inspection report from a registered professional engineer that the dam was built according to plans and specifications approved by the Commission. For well over a decade, the dam has been utilized without providing a certified inspection report.[FOOTNOTE ii]

 

29. The Department has satisfied the burden of proving that Bardonner has violated the terms of the permit.

 

30. Because Bardonner has not complied with the conditions of the permit, including the prerequisite that plans and specifications be certified by a registered professional engineer in advance of usage, the dam exists without a permit as required for construction in a floodway by IC 13-2-22-13.

 

31. As provided in IC 13-2-22-20, a person who violates IC 13-2-22-13 commits a Class B infraction; and each day of continuing violation after conviction of the offense constitutes a separate offense. IC 13-2-22 is administered by the Department.

 

32. IC 14-3-3-22(a) provides that the commission may issue a notice of violation to a person who violates a law administered by the Department for which a misdemeanor or infraction penalty is established.

 

33. The preponderance of the evidence supports issuance of the Complaint under IC 14-3-3-22 against Bardonner for his violation of IC 13-2-22 with respect to the dam.

 

34. Where a complaint is issued under IC 14-3-322(a), the person against whom the complaint is issued is entitled to a period of not less than 15 days in which to abate the violation.

 

35. An appropriate abatement for the violations of the permit in this proceeding is to slowly breach the dam and dewater the lake.[FOOTNOTE iii]

 

36. Sixty days from the issuance of a notice of violation in this proceeding is an adequate period to slowly breach the dam and dewater the lake.

 

37. With a determination of the appropriate abatement and period to correct a violation, a notice of violation issued under IC 14-3-3-22(a) must also specify the "charge" to be imposed if abatement is not achieved in a timely fashion.

 

38. The charge cannot exceed the amount which might be assessed for violation of the misdemeanor or infraction applicable to the violation. Because the violation by Bardonner could have been found as a Class B infraction, and because the maximum judgment for a violation constituting a Class B infraction is $1,000 with each day the violation continues a separate offense, the maximum charge which can be assessed against Bardonner is $1,000 daily.

 

39. The Commission has found, with respect to other notices of violation issued under IC 14-3-3-22, that the maximum charge should be reserved for the most serious violations. In considering the seriousness of a violation, the Commission determines whether there is posed an imminent danger to persons, property, or the environment. Department v. Banner, 5 Caddnar 176, 177 (1991).

 

40. In determining what the charge should be for failure to abate a notice of violation in a timely fashion, the Commission has determined that factors to be considered are whether a violation by a person has been deliberate and continuing [Banner, 5 Caddnar 177]; or whether, after the issuance of a complaint, the person has worked with the Department in good faith to address a problem. DNR, Collins v. Hasenour, et al., 5 Caddnar 180, 181 (1991).

 

41. The evidence presented in this proceeding does not demonstrate that the dam presents an imminent danger to persons, property, or the environment. Bardonner has made an effort in some instances to work with the Department to correct problems with the dam, but he has also committed deliberate and continuing violations of other permit terms. The extended duration of these violations is particularly troublesome.

 

42. The daily charge which is assessed, if slowly breaching the dam and dewatering the lake is not accomplished in a timely fashion, should be in a medium range for what could be assessed for a violation constituting a

 

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Class B infraction. The daily charge should be established in this proceeding at $500. This charge should continue for a period of 60 days, or until abatement is achieved, whichever occurs first, for maximum charge of $30,000.

FOOTNOTES


i. Bardonner now opposes the use of riprap to provide protection against wave action on the upstream slope of the dam. During direct testimony, he stated that the "Department seemed to want to take a head-in-the-sand attitude toward riprap, when its not all that proven to be the ultimate best, and certainly not shown any evidence of learning and creative innovation and responsible innovation ... They want to exclude (alternatives to riprap) strictly on the basis that its something that was conceived 16 or 17 years ago and approved 15 or so years ago. That's kind of a dead-end approach. I just have to say it that way." The commentary by Bardonner is ironic. If the riprap had been placed "15 or so years ago" as required in his permit, there would not now be an occasion for discussion as to what is or is not innovative in 1991 for erosion control on the upstream slope of a dam. Apart from a total lack of expert testimony in this case to refute the propriety of riprap placement, what should be the ideal erosion control technique for the upstream slope of a dam, simply is not at issue. What is at issue is the failure, and in this instance the refusal, of Eugene Bardonner to ever comply with permit conditions established in 1977.

ii. The lack of a certified inspection report by a registered professional engineer is understandable since the dam clearly does not comply with the permit terms. The determination by Bardonner to use the dam without compliance with the permit terms, and in direct violation of this condition, demonstrates total disregard, if not total contempt, for the permitting process.

iii. The possibility exists, that even with the passage of 15 years without Bardonner satisfying the permit terms, complete permit compliance might yet be achieved. The parties or the Commission might elect to defer final action on this proceeding if permit compliance appears likely within a reasonable period, but considering the history of this dam, any attempt to frame abatement of a notice of violation in terms of permit compliance appears doomed to failure. If a notice of violation is issued, the abatement should by straightforward, easily monitored, and readily enforceable should a judicial action be needed. For these reasons, abatement of this notice of violation should specify breaching the dam and not compliance with the permit.