Chapter 421, § 6: Enforcement Procedures

The Commission shall use the following process when it initiates an enforcement action.#

A.Informal Disposition of Probable Violation#

When an evaluation of an operator's records and facilities indicates that the operator is apparently violating this chapter, a staff member designated by the Commission will informally discuss the probable violation with the operator before concluding the inspection. Any documentation or physical evidence necessary to support a future allegation of non-compliance may be obtained during the inspection. On-site corrective action may be taken by the operator of the facilities where the probable violation exists, thus correcting the violation without further action. The Commission may permit the operator of the facilities where a probable violation exists to correct the violation within 30 days, thus correcting the violation without further action.#

B.Written Formal Notice of Probable Violation#

After evidence of a probable violation is collected and the violation report written, the operator will be notified of the results of the on-site evaluation and the provision of this chapter the operator is apparently violating. The notice of probable violation may include a proposed administrative penalty amount. A written response from the operator must be filed with the Commission within 14 days of the time the operator receives the violation notice.#

C.Response Options Open to Operator#

The operator, in responding to the violation notice, may:#

1.Submit a written plan specifying actions that the operator will take to correct the violation, a schedule for completion of each action step, and a final date of compliance. If the Commission accepts the corrective plan submitted by the operator and the operator implements the corrective actions, the violation is resolved. In addition to the submission of a written correction plan, or alternatively, the operator may request an informal conference. Upon request for an informal conference, a staff member designated by the Commission will establish a date, time, and location for the conference. During the conference, staff will review the violation report with the operator to identify corrective actions and reach a mutually acceptable resolution of the violation and proposed administrative penalty, if any. If this effort fails, the designated staff member may refer the violation to the Commission for formal action. If the designated staff member declines to refer the matter to the Commission for formal action, the operator will be notified by letter.#

D.Commission Action#

1.If the violation is referred to the Commission for formal resolution, the Commission may take the following actions:#

a. The Commission may seek injunctive relief in the Superior Court pursuant to 35-A M.R.S.A. §§ 4515 or 4704;#

b. The Commission may issue a show cause order and schedule a hearing requiring the operator to show why the operator should not be subject to the penalties set forth in 35-A M.R.S.A. §§ 4516-A or 4705-A;#

c. The Commission may, after investigation and a formal public hearing pursuant to 35-A M.R.S.A. §1303, order an operator to take corrective action; or#

d. The Commission may decline to take action to resolve the alleged violation.#

2.Consent agreements. Notwithstanding any other provision of this rule, the Commission may at any time resolve an alleged violation with a consent agreement.#

a. Content. A consent agreement must be signed by the respondent, or a duly authorized representative, and must indicate agreement with the terms therein. A consent agreement is not required to indicate the respondent acknowledges having committed a violation.#

b. Order. A consent agreement is effective only if approved by the Commission through the issuance of an order.#

E.Hazardous Facility Orders#

1.If the Commission finds a pipeline facility is hazardous to life or property, the Commission may issue an order requiring the operator to take immediate corrective action, which may include:#

a. Suspended or restricted use of the facility;#

b. Physical inspection;#

c. Testing;#

d. Repair;#

e. Replacement; or#

f. Other action.#

2.The Commission shall give the operator written notice and an opportunity for a hearing before issuance of a hazardous facility order unless the Commission determines there is a serious and imminent threat to life or property. If the order is issued without a prior hearing, the operator shall be given written notice and an opportunity for a hearing as soon after the order is issued as possible. Any such hearing shall be recorded and a member of the Commission's legal staff shall act as hearing examiner.#

3.The operator may appeal the decision of the hearing examiner to the Commission within 5 business days following the decision. After receipt of the notice of appeal, the Commission may investigate pursuant to 35-A M.R.S.A. §1303 and hold a formal public hearing on the matter within a reasonable time. If the Commission does not issue an order commencing an investigation within 20 days following the filing of the appeal, the appeal is automatically denied. If the Commission denies the appeal, the decision of the hearing examiner is deemed a final decision of the Commission. If the Commission does hold a public hearing, it shall determine the matter de novo and may affirm, revise or modify the decision of the hearing examiner and substitute its own decision therefore.#