United States . ..'. Solid Waste And EPA 510-8-97-003
Environmental Protection ' Emergency Response -March 1997
Agency 5403G -
&EPA State Third-Party Service
Provider Programs
%. - * ' - , '""*/,
Augmenting State
Underground Storage Tank
Programs
^k
Printed on Recycled Paper
-------
-------
State Third-Party Service
Provider Programs
Augmenting State
Underground Storage Tank
Programs
U.S. Environmental Protection Agency
Office of Underground Storage Tanks
March 1997
-------
-------
Contents
Part 1 Thinking About Third-Party Service Provider Programs ............. 1
Introduction .............. . .".... .'. .."'....... 2
Benefits ......--.' .......... ...'........... ...''. 3
General Considerations ....;..... .... 3
Ways To Ensure Competence, Effectiveness, And Integrity ....... 5
How To Get Started ................f.. ........................ 6
- . ' -'-"' !, ' ' - / - -, " j -," '
Part 2 Developing A Third-Party Inspection Program .................... 7
Background ............'.'.. 8
Histqry
Statutory Authority
Program Publicity .
Program Goals
Program Participants ...........\.."..- v 9
State .Regulatory Agency _-..,-
, Tank Owners And Operators ,.
Private Industry Inspectors .
Program Design ..................................'....... 10
\ Structuring The Program
Minimizing Conflicts Of Interest
Establishing A Pool Of Qualified Inspectors
Maintaining A Pool Of Qualified Inspectors
Targeting Facilities For Inspection
Initiating Inspections
Standardizing Inspections
Receiving Inspection Reports .
Tracking Inspections And Compliance
Overseeing Inspector Performance
Compliance And Enforcement Options 16
Effectiveness .............^....16
Costs ................... ................ j 17
Overview .
Pennsylvania's Costs .
Part 3 Developing A Third-Party Cleanup Program ..................... 21
Background .................................'........'-....... 22
\JHistory
Statutory Authority . ,
Stakeholders '.-.
Program Goals , . .
-.. Regulatory Checks And Balances
-------
Contents (continued)
The Massachusetts LSP Program
LSPs Defined
What.LSPsDo
Who Retains LSPs .-..'.
How The Program Is Doing Now
Program Design
Program Structure
The LSP Board
The LSP Process "
LSPs And The Waste Site Cleanup Program ...........
Overview
Notification Thresholds
Site Ranking
Cleanup Requirements And Endpoints
Accelerated Risk Reduction
Compliance And Permit Fees
LSPs And The Audit Program .....
Overview
Goals Of The Audit Program
Measuring Success Of The Audit Program
How Massachusetts Promotes And Supports Its LSP Program
Ensuring Accountability
Promoting Compliance
Supporting The LSP Profession
What Massachusetts Achieves With Its LSP Program .......
Accomplishments
Benefits
Costs
Overview
Licensing Board Costs
Licensing Board Start-up Costs .
Licensing Board Annual Operating Costs
Site Owner Costs For LSP Service
24
25
32
33
34
35
Part 4 Conclusion ,
State Challenges
The Third-Party Program Payoff
39
40
40
IV
-------
Contents (continued)
Pennsylvania Appendixes
Appendix A Commonwealth Of Pennsylvania Title 25. Environmental
Protection, Chapter 245. Administration Of The Storage Tank
And Spill Prevention Program, Subchapter A. General Provisions,
And Subchapter B. Certification Program For Installers And
Inspectors Of Storage Tanks A.nd Storage Tank Facilities .. .... A-1
Appendix B Pennsylvania Public Information Request Form ',. .. .". B-1
Appendix C Installer And Inspector Certification Application Form C-1
Appendix D Inspection Company Certification Application Form ..... ....... D-1
Appendix E Owner/Operator Notice Of Storage Tank Facility Inspection
-Information Packet .................. .;..... ... E-1
Massachusetts Appendixes r
Appendix F 309 CMR: Board Of Registration Of Hazardous Waste Site Cleanup
Professionals (Regulations) ... .... ...... ..'... ,.. F-1
' ^ ' ^ - - - -. : ' ( ' '-" '
Appendix G Comprehensive Response Action Transmittal Form (BWSC-107A/B)
And Phase I Completion Statement (BWSC-1Q.8) i... G-1
Appendix H . Instructions For The Application For Temporary Licensing And
Qualification For Examination H-1
Appendix I , Audit Implementation Plan, January 27,1994 .;............ .. 1-1
-------
*
-------
*
Parti
Thinking About Third-Party Service
Provider Programs
-------
Introduction
Together, states and EPA have made tremendous progress toward ensuring that
underground storage tanks (USTs) do not threaten human health and the environment. An
estimated 40 to 50 percent or more of the one million USTs still in use already meet the
December 1998 requirements for protection against corrosion, spills, and overfills. More than
130,000 contaminated sites have been cleaned up. Nevertheless, states still have a great deal
of work to do, and the resources available to state UST programs are limited.
Third-party service
providers are not
state employees or
contractors and do
not have the legal
authority of state
employees.'.
EPA's Office of Underground Storage Tanks (OUST) is now
expanding its national program strategy to include a greater role for the
private sector in bringing about the conditions under which good tank
management is common business practice. OUST prepared this
document to explain how states can use third-party service providers to
increase their program's productivity without long-term increases in
staffing or spending. Very briefly, third-party service providers are
privately employed specialists who are paid by UST owners and
operators to perform relatively routine tasks such as inspections or
oversight of leaking underground storage tank (LUST) cleanups at low-risk sites. Third-party
service providers perform such functions in lieu of states.
The information presented here is the result of a collaborative effort between OUST,
Pennsylvania's Department of Environmental Protection (PADEP), and Massachusetts'
Department of Environmental Protection (MADEP). The document contains four parts followed
by appendixes containing Pennsylvania and Massachusetts regulations, forms, and related
information. Part 1 introduces initial concepts that states need to think about. Part 2 provides
guidance on designing and running a third-party UST inspector program, based on "
Pennsylvania's experience. Part 3 provides guidance on designing and running a program in
which third-party service providers oversee lower priority LUST cleanups, based on
Massachusetts' experience. Part 4 summarizes the challenges facing state programs and
reiterates how third-party programs can extend state capability.
There may well be other functions that could be performed by third-party service providers.
OUST encourages states to consider other possibilities. OUST would like to thank everyone
who contributed, either by offering technical assistance, reviewing drafts, or providing copies of
regulations and other documents. OUST commends the Pennsylvania and Massachusetts
programs for their innovative ideas and thanks staff members for sharing their experiences.
If you would like to learn more about Pennsylvania's third-party service provider inspector
program, you may call their Customer Service Office, (717) 772-5599, during regular business
hours. Or, visit DEP's HomePage at http://www.dep.state.pa.us/dep/deputate/watermgt/
WC/WC_ST/wc_st.htm for general information about their UST program. To learn more about
Massachusetts' third-party service provider Licensed Site Professional (cleanup) program, you
may call Allan Fierce, Executive Director, Board of Registration of Hazardous Waste Site;
Cleanup Professionals,"(617) 574-6870, or Eric Arvedon, Environmental Engineer, Bureau of
Waste Site Cleanup, (617) 292-5887. You may also visit Massachusetts' DEP HomePage at
magnet@state.ma.us.
-------
Benefits
" Using third-party service providers is potentially beneficial not only to state programs but also
to UST owners and operators and the general public. Depending on how a third-party service
provider prograVn is designed, benefits generally can include: .
V More UST facilities' being inspected or more UST cleanups' being accomplished than states
could achieve with their own employees. With third-party service providers doing some of
the routine field work, state UST staff can focus on work that is high-priority or requires legal
: status that third-party service providers would not have.
/ UST owners' and operators' having the opportunity to work with third-party service providers
instead of having to deal directly with regulators. For example, they may have flexibility in
scheduling inspections which can lead to identifying and correcting deficiencies without
incurring penalties. In addition, third-party service providers may be able to provide valuable
information and advice about complying with UST technical standards and cleaning up
contamination.
/ The general public's gain when UST compliance is increased and LUST cleanups are
accelerated without long-term increases in taxpayer funding of state UST programs.
General Considerations
This section identifies several concepts that states-should consider when thinking about
initiating or actually designing a third-party service"provider program.
Identify work that can appropriately be done bv third-partv service providers. A third-party
service provider program is appropriate for relatively routine functions that do not necessarily
have to be performed by government employees. The service to be provided must be one that
UST owners and operators are required to obtain (e.g., inspections for compliance with leak
detection, upgrading, closure, installation, cleanup).
Design the program to be viable for service providers. Third-party service providers must be
able to charge prices that are reasonable for UST owners and operators but are sufficient to
make the service-provider business viable. Whether or not it will be viable depends on how the
service is defined: For example, performing inspections solely to determine compliance.with
tank registration requirements is not likely to be a viable business. The administrative tasks
involved in qualifying to participate and in performing the work and reporting the results must be
reasonable. And the service must be one that can be efficiently performed; an inspection
process that is cumbersome for state UST staff may be too difficult for .third-party service
providers to carry out unless it-is first streamlined.: -
Design the certification or licensing program to be self-supporting. Third-party service
provider certification or licensing programs can be designed to be largely self-supporting. If
service providers are required to take tests and obtain licenses, fees can be charged that cover
the costs of administering the tests and of issuing and renewing licenses. This part of a third-
party service provider program can even be administered by a private entity that derives its
-------
income from fees paid by the service providers. It also may be possible to have licensing fees
cover the cost of occasionally spot-checking service providers' performance or monitoring the
program in some other fashion, but care must be taken to avoid making fees so high that the
service-provider business is not viable. .
Leave the choice of a service provider to UST owners or operators. If the service-provider
business is financially viable, many providers likely will want to enter it. Thus, there can be
competition based on price, timeliness, and quality of the services. Programs will work best if
UST owners and operators are free to choose among the available service providers!
Assure accountability for results/outcomes. Where state agencies perform regulatory
functions, they are accountable to the public through various mechanisms. When services are
provided by a private entity paid by another private entity, accountability can become difficult to
pin down. But without public accountability for its effectiveness, quality, and fairness, a third-
party service provider program may fail. States can succeed by designing such programs to
ensure that the public has continued access to information (e.g., compliance status of UST
facilities) and by ensuring that there are ways to correct problems arising from a service
providers failure to do its work properly.
States should research and consider the following actions to help
them achieve success:
Check statutory authority. To allow private industry profes-sionals to
be certified or licensed for the purpose of overseeing regulated activities,
states must have appropriate statutory authority and regulations
governing all aspects of the program. Explicit authority for this type of
program may be unnecessary, or it may already exist in state laws not
relating specifically to the UST program.
Involve stakeholders. One way to promote the success of a new
program is to build consensus with stakeholders from the beginning of the
process. Letting stakeholders know exactly what is going on at each step
and soliciting their comments will increase the likelihood that they will
support the program. Stakeholders in a third-party program may include
tank owners and their representative organizations, potential private
industry professionals and their associations, state legislators,
environmental groups, other state agencies that may be involved, and other
business sectors with an interest in ensuring good tank management (e.g.,
bankers, property managers, commercial real estate brokers, insurance
agents).
Finding out
whether state
laws already
provide needed
authority is a key
first step.
Informed
stakeholders
will support
expedited
programs
because they
mean more
inspections and
cleanups for
less cost.
Set program goals. Establishing program goals is an essential early step. Goals may relate to
many aspects of a third-party service provider program, but such programs are most likely to
succeed if they are designed to accommodate the differing objectives of involved stakeholders.
For example, states want active inspection and cleanup programs, tank owners want reasonable
costs when meeting their regulatory requirements, and private industry professionals want viable
work and clear guidance.
-------
Publicize the program. Success also depends in part on keeping key participants (i.e., tank
owners, third-party service providers, state staff, and the public) informed about the development
of the program and their roles in it. Tank owners need to know they will be responsible for hiring
and paying for third-party service providers. Citizens have an interest in being informed about
the status of tanks in their neighborhoods or about nearby cleanup activities. Potential third-
party service providers need to know when certification or licensing exams'are being offered.
Develop regulatory checks and balances. A third-party inspection or cleanup program needs
a series of checks and balances in the regulations to ensure that inspections are being done
correctly and that contamination doesn't "fall through the cracks." Ideally, the regulations will
clearly define the responsibilities of all participants and will be easy to understand and
implement. _ . ' ; .
Ways To Ensure Competence, Effectiveness, And Integrity
, Naturally, there are risks that should be anticipated when setting up third-party service
provider programs. Some service providers may be technically weak. Some UST owners and
operators might allow a low price to take precedence over quality when choosing a service
provider. Or, UST owners and operators whose own technical knowledge is limited may rely too
heavily on third-party service providers. Real or apparent conflicts of interest may undermine
such programs. Ways of avoiding such problems as much as possible, and dealing with them if
they arise, can be built into the design, implementation, and oversight of third-party service
provider programs. Some ways of minimizing risks are described below.
Licensing or certification. To minimize the risk that incompetent or
ineffective service providers might enter the business, states can
require licensing or certification based on a review of applicants'
credentials, test results, and other criteria. Licensing or certification can
be implemented by either state agencies (which could.be agencies
already involved in such activities in other prp-fessional and technical
fields) or private entities., In either case, licensing or certification can be
made self-supporting through the collection of fees.
The differences
between licensing,
certification, and
registration in a
regulatory program
need to be well
understood.
Performance bonding. Licensing or certification might not prevent the entry of every
incompetent or ineffective, service provider; furthermore, even competent ones occasionally will
make mistakes. One way to protect UST owners and operators from having to bear the Cost of
errors by service providers is to require service providers to obtain performance bonds.
Performance bonding is a common practice in many businesses and can be a valuable
supplement to licensing or certification. Bonding will be meaningful only if there are clear,
binding definitions of the circumstances under which a bond would be activated.
Auditing performance. To ensure that third-party service providers perform in accordance
with applicable requirements, it may be necessary for states to audit or otherwise monitor their
performance. For example, Pennsylvania spot-checks the UST facilities that have been
inspected by third-party inspectors, and Massachusetts annually audits 20 percent of the sites
served by licensed site professionals. Such procedures can help states determine how well
third-party service provider programs are working and can minimize the chance that service
-------
providers or UST owners and operators might take shortcuts that compromise environmental
protection. , ,
Minimizing conflicts of interest. Conflicts of interest-both real and perceived-have the
potential to undermine public confidence in third-party service provider programs. One way to
minimize that risk is to limit the extent to which service providers can inspect the facilities with
which they have an ongoing business relationship. For example, an inspector should not be
permitted to inspect the facility where he or she is employed, and a professional who oversees
cleanups should not be permitted to endorse the products or services of environmental
companies licensed to do business in the state.
Identifying and dealing with deficiencies. Detecting and discouraging errors by third-party
service providers requires some vigilance. The state can audit or otherwise monitor a service
provider's performance (including critically reviewing at least a sample of inspection reports or
inspecting facilities or cleanup sites already visited by the third-party service provider). The state
must, however, be willing to suspend or revoke the licenses or certification of those who are
found to have engaged in questionable behavior. Suspension or revocation of licenses or
certification can be a time-consuming and complex process that might best be handled by a
state agency that afready has experience with such procedures.
Consumer information. As customers or clients of third-party service providers, UST owners
and operators need access to information that will help them make wise choices. Such
information might include lists of service providers who are licensed or certified, as well as
guidance on comparing the services that various providers offer, getting and comparing cost
estimates, and understanding what service providers can and cannot do. States also may want
to provide, on request, information about a specific service provider's performance, based on
state audits or comments from UST owners and operators.
How to Get Started
The two most productive steps state UST managers can take before
making any decisions on starting third-party service provider programs
are to examine the experience of states with programs and to consult
UST stakeholders. OUST urges state managers interested in setting up ,
such programs to consult their peers in Pennsylvania and Massachusetts
in order to benefit from lessons they have learned.
Early consultation
with stakeholders
can make a big
difference in a
state's efforts to
implement a
successful third-
party service
provider program.
-------
Part 2
Developing A Third-Party
Inspection Program
-------
Background
History
Using non-government personnel to perform inspections can reduce the public, cost of UST
programs by shifting some costs to the private sector-specifically to private entities that may
derive benefits from either providing or receiving inspection services. When state tank programs
operate in this manner, they can leverage resources and attain compliance levels that they miqht
not otherwise achieve.
This section is based on Pennsylvania's third-party underground storage tank inspection
program, which was initiated in 1994 by the Department of Environ-mental Protection (DEP). It
is intended to provide guidance on developing and implementing a third-party inspection
program to complete facility inspections traditionally performed by regulatory agencies.
DEP's third-party UST inspection program was broadly modeled after Pennsylvania's
Sewage Enforcement Office program created in 1970 in which municipalities hired inspectors
that were certified by the state. The program requires owners and operators of USTs to contract
with, and pay, certified privately employed inspectors to conduct operations inspections at their
facilities. Before initiating the third-party inspection program, Pennsylvania did not have an
active field presence and performed compliance inspections primarily in response to complaints
from the public.
1600
1400-
, 1200
Annual UST Inspections Performed
Through November 20,1996
As seen in the chart, the number of
UST inspections rose dramatically after
the program was implemented. Between
June 1994 and mid-November 1996, third-
party inspectors conducted nearly 2500
inspections. Plus, since most private
inspectors are also certified installers, tank
owners are benefiting from a higher level
of technical expertise than was possible
with state inspectors.
Statutory Authority
One of the first things to consider
before setting up a third-party inspection
program is whether or not existing state
law allows the operation of this type of
program. A state's Attorney General can
determine whether the necessary authority
can be inferred from existing law. If not,
authority will have to be established through the state legislature.
Pennsylvania's statutory authority to develop and implement a third-party inspection program.
comes from its 1989 Storage Tank and Spill Prevention Act. The Act gives the state and jts
employees or agents the authority to conduct inspections. The Act also gives the state the
8
11000-
a
J= 800
<*-
I 600
. E
I 400 -
200-
0-
1993
1994 1995
Fiscal Year
1996
-------
authority to establish an inspector certification program and requires that only certified inspectors
conduct inspections. Regulations governing the inspector certification program were adopted in
September 1991; they established program requirements and standards of performance. A
copy of Subchapters A and B containing the regulations for the certification program may be
found in Appendix A. »
Program Publicity
During both the development and implementation phases of a new program, it is important to
communicate with interested stakeholders. To inform stakeholders about its new program,
Pennsylvania did mass mailings to tank owners and operators, prospective third-party
Inspectors, and various trade associations. In addition, the DEP started a newsletter and sent :
out press releases to the media. Appendix B contains a copy of the Public Information Request
form published by the Bureau of Water Quality Management, Division of Storage-Tanks.
Program Goals ,
Goals may relate to many aspects of a third-party inspection program, ranging from the
proficiency of the inspectors and the quality of inspections to the frequency with which LIST
facilities will be inspected. Pennsylvania's primary goal is to have the 9,359 facilities in
operation before 1989 inspected by the end of 1998. A secondary goal is getting information to
facility owners which will help them prepare for upcoming inspections as well as help them bring
their tanksi into compliance with the 1998 requirements. ,
Program Participants
Three groups play major roles in, and derive major benefits from, a third-party inspection
program: State regulatory agencies, tank owners and operators, and private industry inspectors.
State Regulatory Agency
Third-party
inspectors do
not have legal
authority.
A state UST regulatory agency establishes and enforces the rules under
which a third-party inspection program operates. It oversees the activities of
third-party inspectors and takes necessary action to deal with problems,
such as poor performance by inspectors. And while'third-party inspectors
may do most of the routine work of assessing compliance with UST
requirements, the state UST agency retains its responsibility for
verifying violations and taking enforcement actions.
Third-party inspection programs can increase both the amount of time inspectors are-in the
field and the number of inspectjons they perform. They also make use of technical skills readily
available in the private sector. Using third-party inspectors frees up state resources so that
emphasis can be placed on those parts of the UST program where state involvement is most
important and most needed (e.g., ensuring clean closures, taking enforcement actions).
-------
Tank Owners And Operators
Tank owners and operators hire and pay inspectors from the private sector and tank owners
and operators are responsible for correcting violations found during an inspection. They can
benefit from a third-party inspection prbgram in three ways:
S Inspections are performed by someone .who has the qualifications and experience for such
work but is not a "regulator." .
S Correcting violations identified by a third-party inspector generally will be less costly than
waiting until the state issues a violation notice and imposes penalties.
/ Tank owners can schedule inspections at their convenience, within state-prescribed time
limits, and select a certified inspector.
Private Industry Inspectors
Third-party inspectors are hired and paid for their services directly by tank owners. They are
finders of facts, not enforcers of laws. After an inspection, the inspector documents the results
and submits a copy of the report to the tank owner and to the state. A third-party inspection
program creates jobs in the private sector. It does not guarantee work to anyone, but it does
make opportunities available to qualified individuals, including opportunities to assist owners and
operators in coming into compliance, where the state allows such activity by third-party
inspectors.
f
Program Design
Structuring The Program
Setting up a program structure generally involves defining the work to be done and deciding
who will do it. Possibilities range from a highly centralized approach to one in which
responsibility is divided among many groups. A division of responsibilities that takes advantage
of capabilities that already exist within the state government is potentially the most effective
approach.
In Pennsylvania, the responsibilities of DEP headquarters include:
S Managing the program,
/ Developing the regulations,
/ Communicating the program's mission and goals,
/ Identifying training needs and coordinating training,
/ Providing technical assistance and guidance to regional staff,
/ Overseeing development and administration of certification exams (by the private sector),
/ Reviewing and approving applications of potential inspectors, ' ,
S Issuing guidance,
/ Evaluating the effectiveness of the program, and
/ Distributing information to inspectors (such as regulatory changes).
10
-------
Responsibilities of the Regional Offices include:
/ Working with inspectors, .
V Reviewing inspection reports and other paperwork,
/ Conducting follow-up activities to achieve compliance,
/, Performing joint inspections,
/ Maintaining standards of performance of the inspectors, and
/ Initiating enforcement actions against facility owners and inspectors.
Minimizing Conflicts Of Interest
In establishing a third-party service provider program, a state must determine who will be
eligible to perform inspections and under what circumstances. Facing these issues early can
avoid potential conflicts of interest (both actual and perceived). Questions to consider include:
S Can an inspector be an employee of the facility he or she is inspecting or must he or she be
ah unrelated third party? .
'/ Can someone who has installed an UST system also inspect it for compliance with
* regulatory requirements?
/ .Can an inspector provide the services necessary to bring a facility into compliance?
In Pennsylvania, inspectors are prohibited from being an.employee of the owner of the
facility being inspected. However, an Inspector can assist the owner in correcting deficiencies
(such as, leak detection violations or problems with the installation) discovered during the
inspection, as long as the inspector also has the appropriate installer certification. .
Establishing A Pool Of Qualified Inspectors
To make a third-party inspection program viable and to maintain the quality and integrity of
the program, a state needs to have means of determining which prospective inspectors are
qualified to perform the work. There are various ways to do that, including: ,
/ Requiring inspectors to be trained or certified by existing professional organization(s),
S Establishing an inspector certification or licensing program (run by.either the state or a
private third-party), or
S Requiring inspectors to meet minimum requirements for education and experience. ,
What a state does to ensure that if has qualified inspectors may depend on the resources
available. If a state has neither the staff nor the funding to set up a certification or licensing
program, it could charge fees fpr certification or licensing to make the program self-sufficient, or
it could rely to some extent on external resources. Professional organizations, universities, or
other state agencies are among the external groups that might offer training or play a role in the
certification process. " .
-------
Most certification and licensing programs require a minimum level of education and
experience, a specified level of achievement on a test, and some mandatory training. The test,
can be written, oral, practical, or some combination of these. Another option is to develop a
simple screening program in which prospective inspectors submit data on their education and
experience. Based on these data, the state or an independent entity would decide whether the
applicants are qualified to perform inspections.
In Pennsylvania, prospective inspectors are tested and certified to perform operations
inspections. Interested persons submit an application describing their education and technical
experience (see Appendix C). Applicants meeting basic requirements must then take and pass
a two-part (i.e., administrative and technical) examination administered by a testing contractor.
Pennsylvania also certifies Inspection companies. Appendix D is an inspection company
certification application form.
Maintaining A Pool Of Qualified Inspectors
Once a state's program has a pool of people qualified to perform inspections, ensuring that
these people stay current on all aspects of the inspection process is critical. Aspects of
inspection practices that may change over time include procedures, testing protocols, or the use
of new and emerging technologies. A state can't afford to let its qualified inspectors' knowledge
become obsolete. Here are some, ways to keep inspectors qualified and up-to-date. ,
/ Set a specific length of time that certification is valid .
/ Require continuing education/training,
/ Distribute informational materials,
S Have state staff available to answer questions,
S Hold periodic inspector meetings, , *
S Conduct joint inspections periodically, and
/ Provide performance feedback to inspectors.
Limiting the time for which a certification is valid and requiring continuing education to ensure
that inspectors are up-to-date before recertifying them increases the chances that quality work
will be done in the field. If a state decides to do this, charging a renewal fee can help support
the process. A state can distribute materials that keep inspectors up-to-date on technical and
regulatory issues. Examples might include booklets on particu-larly complex leak detection
methods, such as Statistical Inventory Reconciliation, or on how to complete a process (e.g.,
determining whether or not suction piping meets regulatory requirements.
Pennsylvania requires inspectors to renew their licenses every three
years. Each inspector must submit a renewal application at least 120
days prior to the renewal date and must successfully complete any
training that DEP deems appropriate. Pennsylvania also provides
technical educational materials to ensure that inspectors' knowledge is
up-to-date.
As of September
1996, Pennsylvania
had certified 205
UST inspectors.
12
-------
Targeting Facilities For Inspection
' ' ~; -' - '- ; '. ' '- - ' - ' ' ".'- '
Deciding which UST facilities are to be inspected and when the inspections are to be
conducted is a state function. There are many possible targeting schemes. Any targeting
scheme that can be used in a traditional state inspection program can also be used in a third-.
party inspection program. Accordingly, there is no need for a detailed discussion of targeting in
this document. The key point is that having a third-party inspection program does not require" the
state to surrender its rote in selecting UST facilities for inspections and determining the focusx>f
the inspections (e.g., registration, leak detection, financial responsibility).
Pennsylvania allows
.owners to voluntarily
have an inspection
conducted.
The Pennsylvania DEP targets facilities for inspection by looking
at tank system age, type of product stored, number of tanks, and
history of environmental or regulatory problems. These targeted
inspections include ensuring that all paperwork-financial
responsibility information, tank registration, detailed tank system
information-is in proper order; checking that each tank meets
regulatory requirements, including leak detection; and, if necessary,
checking for proper closure. :
Initiating Inspections
' - ' '" ^ - ; " "- "", - - ° - - '
To initiate inspections, a state needs to notify facility owners, tell owners what they must do
to prepare for inspections, and schedule the inspections. In Pennsylvania, UST owners are
responsible for selecting an inspector and are encouraged to get cost-estimates from several
: inspectors. They also must get the inspection done within a specified time. DEP sends owners
an information packet containing a certified letter notifying them that ah operations inspection is
due within 45 days from receipt of the packet; a list of certified inspectors and a list of certified
inspection companies; information on the inspection and how to prepare for it; a facility
operations inspection form, which the inspector completes and submits to DEP, and a postcard
to be returned to the DEP giving the inspection date, facility name and identification number, and
inspector's name. Appendix E contains a sample information packet with.the exception of the
lists of certified inspectors and inspection companies. ''.-'
Standardizing Inspections
Standardizing inspections is important to the integrity of the program.
Standardization ensures that all inspectors check for the same things during
an inspection. If, for example, an inspector finds that an owner has a leak
detection system, a standardized form ensures that he will also check to see if
it is working properly. Without standardization, one inspector may see an
automatic tank gauge system on the wall and assume it is working, while
another will ask the owner to perform a leak detection test. Required refresher training will help
inspectors follow standard procedures. Standard-ized tools can be developed either by the state
or by a contractor. Materials that could be developed include: Standard operating procedures,
checklists, inspection forms, and inspection reports.
Consider
adapting
existing
procedures
and forms to
save money.
13
-------
Pennsylvania uses a standardized inspection form that contains an overall compliance status
rating for each tank on the first page followed by several pages of checklists to assist the
inspector in making the status determination. A comments section is included so that unique
occurrences not listed onjthe inspection form can be noted.
Receiving Inspection Reports
Either during or following an inspection, the inspector will need to prepare some type of
inspection report. It can be a standardized inspection form as Pennsylvania uses or a separate
document. The report is what the state uses to determine whether or not a facility is in
compliance. The owner or the inspector can submit the inspection report to the state within a
specified time; the state has to decide who should submit the report and when it should be
submitted. A state may choose to have the inspector submit a copy of the report to both the
owner/operator and the state, or a state might decide that it wants the owner to submit the report
directly. In either case, it may be worthwhile to have the inspection report signed by both the
inspector and the facility owner before it is submitted to the state.
In Pennsylvania, once an inspection is conducted, inspectors have 60 days to submit the
standardized inspection report to the Department of Environmental Protection. During this 60-
day period, inspectors can work with facility owners to bring their facilities into compliance^
Should inspectors submit incomplete or inaccurate inspection reports, DEP Regional personnel
will contact them to obtain the missing information and discuss proper ways to prepare the report
and standardize the inspection.
Tracking Inspections And Compliance
To maintain program integrity, the state must perform tasks such as tracking compliance
levels and taking enforcement actions. Program staff will need information about the inspections
and other facility data that the state deems important. Information that a state's tracking system
might contain include:
/ Name and location of facilities inspected, date of the inspection, and name of the inspector;
/ Violations noted and the dates on which they were corrected;
/ History of facility compliance; and , '
-------
Overseeing Inspector Performance inspector oversight
, Inspector oversight is an important part of a third-party inspection
program. A state needs to know that inspectors are doing their jobs
properly. If problems are identified, they must be promptly corrected.
Correcting a problem could involve phone conversations, letters, face-
to-face meetings, or suspension or revocation of an inspector's license.
is an important
component of a
third-party
inspection program.
, Documenting an inspector's performance is critical. It is useful to keep a file on each
inspector and put everything, whether positive or negative, in the file. Such documen-tation will
provide a state with valuable information which could be used as support for suspension or
revocation of an inspector's certification, license, or authority to perform inspections. A state can
oversee the performance of inspectors in a variety of ways. .
Reviewing inspection reports. It is helpful to target specific inspection reports for review
because of human health or environmental considerations. Some reports should be randomly
selected for review. In this way, inspectors will know that aj] sites are important.
Conducting random spot inspections. Having regulators inspect facilities that have already
been visited by third-party inspectors is another way to check the work of inspectors. Spot
inspections can be-accomplished with or without an inspector's advance knowledge.
. Conducting joint inspections. Joint inspections can be an effective
oversight tool for both inspectors and regulators, in that each can learn from
.--»'. uses a
the other. Joint inspections-also tell a state whether inspectors know what
they are doing and whether inspections are being conducted properly. A state of oversight
may want to consider conducting joint inspections extensively in the early
stages of implementing a third-party inspection program, or conducting joint
inspections when newly qualified inspectors begin work, or both.
Pennsylvania
combination
methods.
Soliciting owner/operator comments.. Another oversight method is soliciting opinions from
facility owners regarding inspectors and/or the inspection process. It is, of course, necessary to
separate opinion from fact.
When questions arise about inspectors' performance, a review of some, if not all, of the
inspection reports will help the state determine whether action has to be taken. If the reports
indicate inaccuracies or inadequacies, .contacting the inspectors as soon as possible and
discussing the situation may get problems resolved without need for further action.
Documenting such discussipns is important.
In Pennsylvania, joint inspections were conducted frequently in the beginning of program
implementation to ensure that both regulators and inspectors knew what was involved in a
compliance inspection. In at least one of its regions, the DEP continues to perform joint
inspections with new inspectors to be sure they are doing the^work satisfactorily and filling out
the inspection form correctly. Pennsylvania currently relies primarily on the review of forms to
ensure that they are filled put properly. This review also reveals whether facilities are in
compliance and if any further actions are required. The cornerstone of Pennsylvania's oversight
process is legal authority to suspend or revoke inspector certification. Revocation of a
15
-------
certification by the state is a permanent action; a suspended certification, however, may be
reinstated. Circumstances under which these actions can occur are listed in Pennsylvania's
regulations.
Compliance And Enforcement Options
In third-party programs as in regulatory programs, states have to be assiduous when dealing
with uncooperative tank owners. For example, in third-party inspection pro-grams, states need a
plan for dealing with the following situations:
S A tank owner fails to respond to an inspection notification,, .
/ A tank owner refuses to have an inspection conducted,
/ An inspection.report identifies violations, or
S A tank owner fails to take action to come into compliance.
Strategies for dealing with these situations can be as simple or intricate as a state deems
necessary. If, for example, an owner fails to respond to an inspection notification, a phone call
may be sufficient to correct the problem. If an owner refuses to have an inspection conducted, a
state could have state regulatory personnel perform the inspection or even close the facility (if
the state has authority to take such action) until the owner agrees to an inspection.
In Pennsylvania, the following strategy is used:
An inspector has 60 days following an inspection to submit the
inspection report to DEP. During this time, the inspector may work with
the owner or operator to bring the facility into compliance.
If the facility comes into compliance during this time, then the inspector
notes this in the comments section of the inspection report prior to
submitting it.
Pennsylvania's
enforcement
strategy gives
owners several
options.
/ If the facility is not in compliance after the inspection form is submitted, the owner or operator
is sent a Notice of Violation providing a timetable and a method for the facility to come into
compliance.
v' If the facility owner fails to come into compliance during this time, then state personnel will
visit the facility to conduct an inspection. If violations noted in the inspector's report are
confirmed, then further enforcement actions will be taken, including the assessment of a civil
penalty. DEP does not take enforcement actions based solely upon a third-party
inspector's report.
effectiveness
Determining how well a state's third-party program is working and/or how to improve it are
keys to long-term success. There are several ways a state can evaluate program effectiveness:
Periodic surveys, interviews with regulatory staff and inspectors, and documentation reviews.
16
-------
Once the program has been up and running for a period of time, a state could check the
level of facility compliance statewide to determine whether or not the program is making a
difference. Examples of other before-and-after measures of program effectiveness that could be
used include numbers (or percent) of facilities inspected, numbers (or percent) of violations
corrected without initiation of enforcement action, and numbers of complaints per hundred"
facilities inspected. '
Pennsylvania makes adjustments to improve'the program and increase its
effectiveness when needs arise. In addition, DEP is evaluating its third-party
inspection program at the two-year point by, visiting each Regional Office.
During these visits, staff and managers are interviewed, samples of the
records are reviewed, and discussions with inspectors that perform work in
the region are conducted. Once completed, the Commonwealth will e.valuate
the information it has obtained and make adjustments as necessary.
Pennsylvania
reviewed its .
program at
the two year
point.
'OStS
Overview
Costs to the state for a third-party inspection program can be in the form
of staff time, dollars (for contracts or interagency agreements), or both.
When considering the cost to develop and implement a third-party inspection
program, a state should recognize that the resources needed will diminish
over time. Although start-up costs could be significant, once the program is
up and running, maintaining it generally takes less staff time and fewer
dollars. ."" "
Start-up costs
can be high,
but long-term
benefits are
also high.
. While it is difficult to predict costs, Pennsylvania reported the following areas irt which
program costs were significant. .
/ Determining whether a state has adequate legal authority and, if necessary, obtaining it;
/ Establishing an inspector certification program including developing regulations, developing
and administering a certification exam, reviewing inspector applications/and, approving
training classes required for renewing certification; .-_.
^ Developing and printing a standardized inspection form for use by private sector inspectors;
v^ Developing and mailing outreach materials/information packets to tank owners;,
v' Developing or adapting a currently-used tracking system/database; and
/"_ Performing inspector oversight and program implementation tasks.
" ' . '*-"" """ - " ' , '
Other program components such as involving stakeholders and publicizing the program also
may require an investment of staff time, money, or both.
.17
-------
Some of the costs associated with developing and implementing a third-party inspection'
program may be substantial, but the long-term benefits may also be substantial. Third-party
inspection programs can greatly increase the number of facilities a state inspects with fewer
state staff than are needed by traditional state inspection programs. More inspections will likely
mean greater compliance with regulatory requirements.
Pennsylvania's Costs
Costs To The State Agency
In Pennsylvania, the UST program, including the third-party inspection program, is funded
through tank registration fees. Here are estimates provided by the Pennsylvania UST program
staff of the costs to develop and implement the third-party inspection program.
Developing authority and regulation. The 1989 Storage Tank and Spill Prevention Act gives
the state the authority to conduct inspections, establish an inspector certification program, and
require that only certified inspectors conduct inspections. The certification program regulations,
adopted in September 1991, establish program requirements and standards of performance.
Developing these regulations involved considerable time and effort (approximately two years) on
the part of the Headquarters staff. t
Setting up and maintaining the certification program. Pennsylvania certifies both inspectors
and installers to conduct inspections and tank handling activities (e.g., installation, modification,
removal, tightness testing) on USTs and aboveground storage tanks (ASTs). At this time, the
state doesn't charge inspectors or installers fees to participate in its certification program.
The inspector and installer certification exams were developed, under contract, by a
professional examination company. This first contract for initial exam development and
administration of the certification program (including giving and grading exams) was approx-
imately $150,000. The second contract for exam administration, awarded for three years, is
slightly less than $100,000. Management of the entire certification program by the state
(covering UST and AST inspectors and installers) requires approximately three man-years of
work.
Providing the inspection form. Pennsylvania purchases its inspection forms from a private
company at a cost of $5.00 each. The custom-made form is five pages long and includes an
original and three carbon copies: one for the state, one for the inspector, and one for the tank
owner.
Mailing to owners. The cost, in terms of staff time and money (for postage), of mailing the
inspection notification letter and several attachments to more than 9300 facilities is significant
because Pennsylvania's goal is to inspect all facilities in operation prior to 1989 (9,359 facilities)
by the end of 1998. .-'''.
Developing a tracking system. The Headquarters office staff developed a system that
required significant programming time.
18
-------
Implementing the program and overseeing inspectors. Pennsylvania is expending
approximately 2.0 - 2.5 man-years of work in the Headquarters office and 6-8 man-years of work
through its six Regional Offices to implement the inspection program. Existing staff have taken
on third-party oversight arid implementation tasks; the state has not hired additional staff. ~
Costs To Tank Owners And Operators
In 'Pennsylvania's program, tank owners are responsible fof hiring and paying a certified
private sector inspector. The cost of inspections currently averages about $100 per tank., Some
inspectors offer discounts if a facility has multiple tanks. Market forces set the price.
Pennsylvania doesn't ask inspectors what they charge or publish rates, but does encourage tank
owners to shop around for the best price. .
Costs To Private Sector Inspectors
Costs to conduct inspections (travel, equipment, preparation time) should be covered by the
price inspectors charge tank owners for the service. 'If private inspectors must pay certification
and licensing fees, their charges may also reflect these costs of participation in the program.
19
-------
-------
Part 3
Developing A Third-Party
Cleanup Program
21
-------
Background
History
More and more often, states are facing environmental cleanup demands that they are
having difficulty meeting. Whether the problem stems from cutbacks in resources,
greater-than-anticipated numbers of sites requiring cleanups, or other factors, the result
is the same--too much cleanup work and not enough staff. In harvesting expertise
already available in the marketplace, a third-party cleanup program can help solve the
problem of a state's cleanup backlog.
Part 3 contains a description of Massachusetts' Licensed Site Professional (LSP)
program, a component of the state's Waste Site Cleanup Program. In the late 1960's, a
limited program for responding to oil spills was launched. In 1983, broader authority to
aggressively target contaminated sites and spill emergencies was established when
Massachusetts enacted its Superfund statute, Chapter 21E of the General'Laws. Three
years later, citizens approved a ballot question giving the Department of Environmental
Protection (DEP) specific deadlines and quotas for finding and assessing pre-existing oil
and hazardous material release sites, ensuring their timely cleanup/and increasing
public participation in the process. The program was predicated on DEP providing direct
oversight of assessment and cleanup work. DEP was, however, not given the funding or
staffing to carry out these mandates. "
By 1990, the number of known and suspected sites with oil and hazardous material
releases surpassed DEP's ability to oversee responses. Fewer than one-quarter of the
4,200 sites were being actively addressed, and in any given year, only a few cleanups
were completed. Sites languished under the existing program with no clear way out of
the cleanup process. Adding to the burden, DEP was responding to.more than 2,000
new spills and emergencies each year.
To address the problem, in 1990 DEP convened a study
committee to begin the process of revising the Chapter 21E
program. The members developed a new vision-one ultimately
shared by all major stakeholders-and a comprehensive set of
recommendations for increasing the number of cleanups without
compromising environmental standards. In the early discussion
phase, the study committee decided the new program should be
predicated on five essential elements:
A study committee
debated the question
of what government
and the private sector
each did best.
/ DEP must know about releases to the environment,
-------
41
A key component of these changes was a recommendation to license environmental
professionals to oversee and coordinate response actions at most disposal sites, the
redesigned statute was approved by the Legislature, signed into law by the Governor in
1992, and went into effect on October 1, 1993. :
The LSP program changed DEP's mission from providing direct oversight of all site
assessments and cleanups to ensuring timely oversight of ajl assessments and
cleanups. The program also placed greater responsibility for cleaning up sites in the .
' private sector. The state would oversee the work of LSPs only at the most serious sites.
LSPs would oversee the others without DEP oversight. .
Statutory Authority
Massachusetts', statutory authority for the LSP program began with amendments to
Chapter 21E of the General Laws (i.e., its Superfund statute) which included passage of
enabling legislation to create the Board of Registration of Hazardous Waste Site Cleanup
Professionals (Chapter 21 A, §§19-19J). Following this, DEP and the Board promulgated
regulations revising the Massachusetts Contingency Plan (originally published in 1988)
as well as regulations for the LSP program (309 CMR). The LSP Board regulations
appear as Appendix F. "
Stakeholders _
Informed citizens will
support an expedited
program because it
means more cleanups
at a faster pace and ,
with less cost.
By forming the public/private 21E study committee, which
Involved stakeholders from each of the major groups that would be
affected by the new program, Massachusetts gave all stakeholders ,
representation in the design of the LSP program. By working with
each .group, the committee was able to reach compromises that were
integral to the success of this program. According to DEP, the ,
overhaul of the 21E program was a collaborative effort from the
beginning; without stakeholder buy-in, it is unlikely that a program
such as this could have been created.
Program Goals
Massachusetts designed a program that satisfied the objectives of, all stakeholders.
DEP's objectives were to expand the role of the private sector for lower risk sites and to
focus limited government resources oh high risk sites and on those tasks that only
government can perform. Site owners wanted permanent solutions to their cleanup
problems, a speedy process, and lower cleanup costs. Licensed site professionals
wanted clear guidance upon which they could base their opinions.
Regulatory Checks and Balances
A third-party cleanup program needs a series of checks and balances in the
regulations to protect against abuse and to ensure that contamination does not "fall
through the cracks." Massachusetts developed three very important regulatory
processes in the LSP program that help the program work as intended. One of these is
23
-------
the audit program: 20 percent of the cleanups coordinated by LSPs are audited for
compliance with the regulations. Another is aggressive disciplinary procedures for LSPs
who fail to follow the MCP regulations. In addition, the Waste Site Cleanup Program's
Numerical Ranking System (risk ranking process) ensures that the worst sites are
monitored by the state.
The Massachusetts LSP Program
LSPs Defined
LSPs are
experienced
professionals in
the field of
hazardous
waste site
assessment,
cleanup and
removal.
Massachusetts law defines an LSP as an individual who, by reason of
appro-priate education, training and experience, is qualified, (i.e., licensed)
to render waste site cleanup activity opinions that can be relied upon as
sufficient to protect health, safety, public welfare and the environment.
LSPs are required to have at least five years of relevant professional
experience (seven years without an appro-priate degree), appropriate
technical background, and good moral character. They undergo rigid
evaluation, testing, and performance monitoring and must meet continuing ~
education requirements.
What LSPs Do
LSPs issue waste site cleanup activity opinions (see Appendix G) describing
whether contamination is present at a site, what work is needed to clean up the
contamination found, and whether that work has been completed. According to the
regulations, LSPs may render these opinions only when they manage, supervise or
actually perform the assessments or cleanup actions, or periodically observe the perfor-
mance of the work by others. In their opinions, LSPs must also attest that the completed
work complies with all regulations and any order, permit, or approval issued by the DEP.
LSPs are permitted to rely upon the advice of other professionals but must determine
that these professionals are qualified by education, training, and experience to it.
Who Retains LSPs
LSPs are hired and paid by site owners. Because all assessment, containment, or
removal work for releases which exceed a state notification threshold must comply with
state laws and regulations, only LSPs can sign the waste site cleanup activity opinions
filed with the DEP. All private parties who are having assessment and cleanup work
done at their site must retain LSPs to demonstrate that the work complies with the
regulations.
24
-------
How The Program Is Doing Now
.The LSP program is still in its infancy,
but cleanups are already being completed
faster. This chart depicts the increase in
cleanups (both hazardous material and
petroleum) between 1989 and 1995.
Sites Permanently Cleaned Up in Massachusetts
(Excludes New Spills)
600-,
500-
400
300 -
r r r 1 1 r i .i .
1988 1989 1990 1991 1992 1993 1994 1995 1996
Note: 80 percent of the work performed by
Massachusetts LSPs since the new
program's inception in October 1993 has 20°'""
been UST-related. '-
100
Massachusetts' first-in-the-nation
program to allow the private sector, o
through the LSP program, to oversee
cleanup of hazardous waste sites won
national recognition from the Council of State Governments, which selected it as one of
its 1995 Innovations Award winners. The Innovations Award Program identifies the
best and most creative practices in state government which have the potential to
be adopted by other states. The U.S. EPA congratulates Massachusetts for its
achievement. - ,
Program Design v
Program Structure
A third-party cleanup program should include all or most of the following components:
/ Licensing or certification of private industry professionals hired by site owners to carry
out regulatory cleanup functions. :
^ A system for ranking sites according to risk level so that low risk cleanups can
proceed quickly and cost effectively and high risk sites can receive the level of state
oversight necessary to protect public health and the environment.
^ Processes (e.g., auditing) performed by the state to determine the level of -
compliance being achieved and to ensure that quality work is performed.-
/ Regulations governing all aspects of the program to be carried out by private industry
professionals.
/" Clear procedural guidance for both site owners and licensed industry professionals
hired to oversee cleanups.
^ Education and outreach targeted at all affected groups^
25
-------
The LSP Board
As part of the 1992 legislative redesign, Massachusetts created an
independent Board under the jurisdiction of the Massachusetts Executive Office
of Environmental Affairs (EOEA), a Secretariat of the Governor's Cabinet.
Authority for staffing the Board was delegated by EOEA to the Department of
Environmental Protection.
LSP Board
members
represent
all major
stakeholder
groups.
The Chapter 21E statute specifies that the Board will have eleven members
and that the Commissioner of DEP or his designee will serve as Chairman. The
remaining ten members are volunteers appointed by the Governor. DEP's
Commissioner, in turn, delegated the position of Board Chairman to the head of the
Bureau of Waste Site Cleanup. The statute also requires that Board membership
include representatives from industry, potential responsible parties, environmental
groups, LSPs, and the DEP. The eleven-member Board sets policy and general
procedural direction for the program.
The May 1993 regulations adopted by the Board outline implementation,
administration, and enforcement of the LSP program. The regulations define the
qualifications to become an LSP and the standards of professional practice that LSPs
must meet. The Board is required by law to license only those individuals who have
been proven qualified to render waste site cleanup activity opinions. To do this, the
Board established: '
/ Minimum education and experience requirements which an individual must meet
before being allowed to take the test for licensure as an LSP;
/ Procedures for issuing and renewing licenses;
S Rules of professional conduct applicable to LSPs;
/ Procedures for issuing advisory rulings interpreting the professional conduct
standards; and
/ Procedures for disciplinary action to enforce the regulations and all
orders, licenses, and approvals issued by the Board.
By January 1,1997, the LSP Board had approved 543 applicants for
testing and denied 263. The first exam was given in November 1995;
the exam is offered every six months.
The LSP Process
As of January 1,
1997, there are 418
LSPs operating in
Massachusetts.
Qualifications and licensing. To determine whether environmental professionals are
eligible to take the licensing examination, the Board reviews detailed written applications
in which candidates describe their education, experience, and moral character.
Appendix H contains Instructions for the Application forTemporary Licensing and
Qualification for Examination.
26
-------
Minimum education and experience requirements listed in the Board regulations fall
into two categories. The "standard track" requires a baccalaureate, masters, or
doctorate degree from an accredited college or university in one of the specified science
or engineering curricula approved by the Board (e.g;, hazardous waste management,
hydrogeology, microbiology). This track requires "eight years of total professional
experience," including five years of "relevant professional experience." The "alternate
track" requires a high school diploma and 14 years of "total professional experience,"
including seven years of "relevant professional experience." For both tracks, the
\ regulations require that.at least three years of relevant professional experience have
occurred within the five years prior to submission of an application.
"Total professional experience" is defined in the Board's^regulations as any
experience applying scientific or engineering principles in any environmental, scientific,
or engineering field. "Relevant professional experience" is defined as experience gained
at the decision-making-level selecting methodologies and drawing technical conclusions
for site investigations, risk characterizations, and/or remediations at sites where oil ,
and/or hazardous material has been released to the ground or groundwater.
The Board regulations define good moral character as "...such character as will
enable an individual to discharge the responsibilities of a licensed site professional.
Evidence of Inability to discharge such duties includes, but is not limited to, felonious acts
and acts 'involving dishonesty, fraud or deceit which have or could have a substantial
connection to the professional responsibilities qf a licensed site professional."
A licensing exam is administered twice a year. Candidates who are found to be
eligible to take the examination are tested for their overall technical and regulatory
understanding. Once it has been determined that an applicant is eligible to take the
exam, he or she has two years in which to pass it. If a'n applicant fails to pass the exam,
he or she may take another exam wjthin that two-year period without re-applying. Each
exam consists of 160 multiple-choice questions, and no two tests are identical. The
passing score is determined separately for each exam using a criterion-referenced
methodology that takes into account variations in the difficulty of each examination. The
passing scdres.for each of the first three exams giverg-anged between 77 and 80
percent. .. j
Once an applicant passes the exam, he or she is issued a full LSP license, which is
valid for three years. At the end of the three-year licensure period, the license may be
renewed for another three-year period by demonstrating that one has met the Board's
continuing education requirements and by paying the renewal fee. The exam does not
need to be retaken. ;
The Board made no exceptions to its licensing requirements. No one was or can be
"grandfathered in" or granted reciprocity, including those already licensed as Professional,
Engineers or Professional Geologists in Massachusetts or elsewhere. Nor is exception
granted to those who have merely been in the waste site cleanup business for many
years. " ,
27
-------
Fees. Because the Legislature intended the LSP Board to be self-supporting, the
enabling statute governing the LSP program requires that the Board charge fees
sufficient to recover the costs of its operation. Here is the schedule of fees that was
established:
/ Application fee $245 (payable at the time application is submitted)
-------
./" If sufficient grounds exist, the team may request an informal conference with the LSP
who is the subject of the complaint in an attempt to resolve the matter through an
agreement for discipline.
V If no agreement is reached, the Board proceeds with a full adjudicatory hearing.
As a licensing agent, the LSP Board has the authority, in response to a ...
complaint or findings of its own and after an adjudicatory hearing, to suspend or,
revoke an LSP's license. The Board has developed procedures for assessing
civil administrative penalties and issuing public or private censures to LSPs. If
the Board revokes an LSP's license, it can bar reissuance of the license for up
to five years.
An LSP
can lose
his or her
license for
5 years.
LsPs And The Waste Site Cleanup Program
Overview
Massachusetts site owners hire LSPs to coordinate their cleanup activity and
determine that the work meets state requirements-ih most cases without DEP
involvement: The revised Massachusetts Contingency Plan (MCP) identifies specific
points in the cleanup process that require LSPs to render formal, written opinions. When
a site owner discovers a reportable release, the first thing the owner must do, in most
cases, is hire an LSP because further site assessment and cleanup cannot begin without
oversight performed by an LSP.
The DEP describes the new 21E program/as a highway with a variety of entrance
and exit points, fast and slow lanes, signs to describe how releases will be identified, and
the level of DEP oversight appropriate for each site. The MCP serves as a "roadmap" for
conducting assessments and cleanups.
v Within limits, the pace of cleanup is determined by site owners in consultation with
the LSPs they hire. The MCP provides "off-ramps" at any point where DEP's standards
for cleanup have been met: It also establishes basic performance standards and "driving
speeds" for moving through the process. The more time site owners spend on the
cleanup "highway," the more they will pay DEP in compliance fees. The system was
designed with incentives to encourage owners to clean Up their sites and get "off the
highway" (out of the process) as quickly as possible. .
Here is a brief description of the most important features of the MCP regulations
pertaining to site remediation. .
Notification Thresholds
The original MCP did not provide guidance on the threshold cpntaminant levels that
triggered the mandatory reporting of "historical" contamination. As a result, site owners
were reporting everything, even trace amounts of contamination, which led to a backlog
29
-------
of sites waiting to receive a clean bill of health. The revised MCP established clear
thresholds below which contaminant levels in soil and groundwater were not required to
be reported to the DEEP.
Very small cleanups (i.e., removal of up to 100 cubic yards of soil contaminated with
oil or up to 20 cubic yards of soil contaminated by hazardous material) do not have to get
into DEP's system at all, providing all contaminants above the threshold reporting levels
have been removed. LSP services are not required for initial assessments intended to
determine whether there is a reportable release at a site, nor are they required for
notifying DEP of a reportable release. ;
Massachusetts uses
a risk-based process
called the Numerical
Ranking System. ..
Site Ranking
Sites that have not been cleaned up within one year of notification
to the DEP must be evaluated using a risk-based quantitative ranking
system, the Numerical Ranking System (MRS). The NRS classifies
sites into tiers and ranks' them using specific criteria and scoring
based on both existing and potential risks to public health, natural resources, and
environmental receptors. -
Sites that score below a specific number fall into the lower tier. Assessment and
cleanup of these sites do not require a DEP permit and can proceed with oversight
performed by LSPs. Sites that score above this number or are located in groundwater
resource areas fall into the higher tier. All of these require DEP permits before
comprehensive response actions can be taken. The NRS is also used to separate high
tier sites into three categories. The most complicated and serious response actions in
the high tier are coordinated by LSPs with continuous oversight by DEP staff. Response
actions atsites ranked in the remaining two categories can proceed without direct DEP
oversight, once a permit is issued.
Originally, it was estimated that about 70 percent of the oil and hazardous material
releases requiring classification would score in the lower tier. In fact, in the first two
years of the program, of 803 sites ranked by LSPs, 88.4 percent were classified in the
lower tier. Of the 11.6 percent that scored in the higher tier, only one site fell into the
category that required continuous DEP oversight. LSPs had primary responsibility for the
remaining 802 sites in the system at that time.
Cleanup Requirements And Endpoints
The revised MCP established a standard for deciding when response actions are
complete in terms of the risks remaining at sites. LSPs must render opinions that a
condition of "no significant risk of harm to health, safety, public welfare, or the
environment" exists at a site. The standard requires consideration of both current and
reasonably foreseeable uses of a site and its surrounding area.
Determining "how clean is clean enough" is probably the area in which certainty is
desired most, since site owners do not want to begin a cleanup process from which there
is no clear end point. LSPs have three options in Massachusetts for defining a level of
"no significant risk" or "how clean is clean enough."
30
-------
/ Method 1: uses numeric standards for more than 100 common chemicals in soil and
groundwater. ; :
S Method 2: allows for adjustments in the standards in Method 1 to reflect site-specific
conditions. '',.'
S Method 3: allows cleanup goats to be defined based on a site-specific risk
assessment.
LSPs must file a report with the DEP documenting that a permanent or temporary
cleanup has been a'chieved. An "endpoint" considered permanent indicates that "no
significant risk" exists at the site. If the permanent solution is based on assumptions of
limited site activities, then a deed notice or restriction is required to ensure that these
assumptions remain valid over time. Deed restrictions inform future property owners that
activities at the site willbe limited unless further cleanup action is taken. An "endpoinf
considered temporary means that a permanent solution is not feasible, but that all
substantial hazards have been eliminated. Eventually, a permanent solution must be
implemented if one becomes feasible. .
Accelerated Risk Reduction
Early risk reduction measures and accelerated assessment and cleanup actions are
encouraged in Massachusetts and, in some cases, mandated. In the case of time-critical
conditions, "Immediate Response Actions" must be taken by site owners using LSPs. In
non-critical situations, they can work together to take abatement actions that reduce risks
and lower future cleanup costs. These risk reduction measures may allow complete
cleanup of smaller releases without comprehensive response actions, or may improve
site conditions (and lower the site's numerical ranking ) at sites where long-term cleanup
is required. The DEP reports that the hew program has generated a 400-percent
increase in voluntary risk reduction measures.
Compliance And Permit Fees
Most cleanups in Massachusetts are paid for by responsible parties (i.e., site owners
and operators), DEP assesses one-time compliance fees for various preliminary
response actions and risk reduction measures prior to tier classification. After tier
classification, owners and operators are required to pay annual compliance fees until
their sites are cleaned up and can be closed out of DEP's system. These compliance
fees were established for two primary reasons. All LSP opinions and site owner
documents that are submitted to DEP are subject to audit; compliance fees help offset
the cost of the auditing process. Secondly, -
the compliance fees act as ah incentive for site owners to clean up their sites as quickly
as possible. Doing so reduces the compliance fees required by DEP and also can
reduce their cleanup costs.
31
-------
LSPs And The Audit Program
Overview
The 1992 amendments to Chapter 21E require that DEP, at a minimum, audit 20
percent of the response actions not overseen by DEP. The audit program is run by the
Bureau of Waste Site Cleanup (BWSC) and is supported by annual compliance
assurance fees paid by owners. See Appendix I for a copy of the Massachusetts "Audit
Implementation Plan." -
The audit program is carried out by a headquarters office and four regional offices.
Headquarters manages the general audit process, (randomly) selects sites to be audited
by the regions, and summarizes audit findings. The regional offices target sites to be
audited in addition to those randomly selected by headquarters, conduct the audits, and
produce the findings. Approximately 200 audits are cbnducted each year. In general,
LSPs see the audit process as a way to educate themselves and DEP on how well the
MCP regulations are being followed.
Audits are one of many regulatory tools the DEP uses to ensure compliance with the
MCP. Other compliance tools include:
S Permit review: Reviewing and processing higher tier permit applications.
/ Direct oversight: Reviewing and approving response actions at emergencies and
those sites directly overseen by DEP.
S Response action deadline compliance tracking: Tracking to ensure timely submittal
of response action reports.
S Site inspections: Monitoring response actions.
S Investigations: Responding to release notifications and referrals from within the DEP,
other government agencies,'or the public. . ''.'..
S Enforcement actions: Issuing notices of noncompliance, orders, penalty assessment
notices, revocation of permits, and referrals to the Attorney General's Office or other
law enforcement authorities. ,
/ Publicly-funded response actions: Issuing Notices of Response Action and cost
recovery actions.
32
-------
Goals Of The Audit Program
" The goals of
BWSC's
compliance
consistency,
credibility, and
committment.
_ The four major goals of the audit program (called the 4 C's) as well as
the goals for the Bureau of Waste Site Cleanup's entire compliance
programareto: . " ,
^ Achieve an increasing level of compliance with the MCP to ensure
protection of health, safety, public welfare, and the environment overall.
The possibility of an audit is an incentive for both LSPs and site owners
to perform their response actions in accordance with the regulations. ^"^^
Such compliance enables them to avoid enforcement actions that could
result from an audit and possibly costs of redoing cleanup work to achieve
compliance. -
/ Ensure the consistency of audits and other compliance activities throughout the
state. The purposes of this goal are to ensure that audit staff in all regional offices
follow the same procedures when performing audits and to ensure that these audit .
procedures are consistent with all other DEP compliance processes. Some of the
mechanisms used are consistent criteria for selecting sites to be audited, consistent
forms and correspondence for initiating arid completing audits, and guidance used to
evaluate response actions and sites. ,'-. ^
/ Establish credibility of the audit/compliance programs with the public, the LSPs, and
the regulated community. In addition, the audit program must meet DEP's
expectations for the redesigned 21E program.
/ Meet the commitment to audit annually 20 percent of sites subject to compliance
assurance fees.
Measuring Success Of The Audit Program
By the end of 1996, the DEP had completed 387 audits. Of this number, 117 were
audits of randomly selected sites; they had a compliance rate of 80%, At these sites the
work was adequate or the problems were easily corrected without further field work: The
remaining 270 sites were specifically targeted because it was anticipated that problems
might be found. As expected, the rate of compliance was lower at targeted sites-77%.
The state believes that the audit program has improved compliance and pushed the level
of professionalism higher within the LSP community. ,
How Massachusetts Promotes And Supports Its LSP Program
Ensuring Accountability
In designing its third-party cleanup program, Massachusetts designed all of the
components to work together to guarantee accountability for the outcome of cleanup
activities. Aggressive education and outreach (to site owners, LSPs, contractors,
environmentalists, the business community, and the general public) are two ways DEP
informs people about how the program is working.
33 '
-------
Promoting Compliance
When Massachusetts got out of the business of directly overseeing the majority of its
cleanups, DEP was able to' shift staff resources from pre-cleanup approvals and
oversight to those activities that the state must do-emergency response, site discovery,
oversight of high-risk sites, compliance monitoring, and enforcement. To promote
compliance in the first two years of the new program, the DEP:
/ Launched the MCP Helpline, which answered more than 11,000 calls from LSPs, site
owners, and the general public during its first two years of operation;
/ Conducted 20 seminars to keep the private sector current on 21E program revisions
and three regulatory training courses accredited by the LSP Board to meet the
continuing education requirements for LSPs;
S Publicized audit findings and discussed them with the LSP Association to increase
awareness of common deficiencies and violations;
S Contributed a regular column to the LSP Association's monthly newsletter,
highlighting important audit findings and compliance issues; and
/ Sent regular "reminder" letters to parties conducting cleanups about specific
deadlines they would have to meet.
Supporting The LSP Profession
Once the LSP program was launched, a new profession was created in
Massachusetts. In 1992 the Licensed Site Professional Association (LSPA), a non-profit
trade association, was established by a group of LSPs to promote the interests of ,
members of the new profession in relation to insurers, vendors, the DEP, and others
interested in the program. The Association's stated mission is "to promote sound
business and technical practices of member LSPs." The LSPA publishes a monthly
newsletter and works jointly with the DEP and the LSP Board to develop and offer Board-
approved training courses to LSPs: Its Loss Prevention Committee reviews audit
findings provided by the DEP, which has turned out to be a helpful service for LSPA's
members.
What Massachusetts Achieves With Its LSP Program
Accomplishments
By 1990, the growing number of sites in the 21E program far outstripped DEP's
monetary and human resources to manage site assessments and cleanup at these sites.
In that year, fewer than one-quarter of the 4,200 oil and hazardous material sites in the
state were actively being worked on, and very few cleanups were completed. The
agency also was responding to more than 2,000 emergencies per year. Further, with
existing manpower at a ratio of one staff person per 280 sites, this backlog grew to 6,500
sites by mid-1992.
34
-------
The gridlock was eliminated by the redesigned 21E program. In the first two years of
the new program's existence more than 450 applicants received interim LSP licenses
and site owners increased their voluntary risk reduction actions by 400 percent.
However, Massachusetts' greatest accomplishment during this two-year period was
cleanup of 3,200 oil and hazardous material spills and waste sites, some of which had
been iri the system for years.
Benefits 7
- Massachusetts has realized major benefits from its third-party service provider
cleanup program. There has been a significant increase in environmental protection
without compromise of the state's environmentalstandards. Sites that were
contaminated have been returned to productive use through a program that continues to
provide protection of public health and the environment. .;'-'.
While the number of state employees has actually increased with the addition of the
LSP Board staff; the new program also created revenue streams that didn't exist before.
Hazardous waste sites now move through the cleanup process faster, and. the revised
regulations provide a flexible process and a set of clear standards for classifying sites
"clean," which has resulted in an exponential increase in cleanups completed.
-Stakeholders are benefiting from more efficient use of state resources.
Professionals from private industry have benefited from the redesigned cleanup
program as well. As site cleanups accelerated, demand for LSP services also grew.
With the regulatory checks and balances in the redesigned 21E program, the opinions
rendered by LSPs are viewed with confidence and sites are being closed at a much
faster pace.
Site owners in Massachusetts benefit from clear regulations; they know what is
expected of them. Responsible parties are required to pay the costs of cleaning up their
contaminated sites and the new program gives them a process that leaves the pace up
to them and gives them more flexibility in the cleanup process. Incentives for reducing
risks and achieving permanent solutions are built into the program giving site owners
opportunities to lower cleanup costs and get out of the state process quicker..
wests
Overview ' -
Massachusetts did not redesign its cleanup program for the purpose of reducing
state expenditures. Rather, the state was seeking a'way to reduce its backlog of
hazardous waste site cleanups without requesting significant additional money and
staffing through the Legislature. This goal has already been achieved. However, those
involved with running the redesigned program believe that it is also reducing state
expenditures by substantially lowering the state's overall site cleanup costs.
The program is creating a dramatic increase in the number of sites being assessed
and cleaned up annually, while only slightly increasing costs and staffing levels;
-','' - .--.- . '35' ' '- ' : -.'". .,
-------
Furthermore, these increased costs are being offset substantially, if not entirely, by
several factors: (1) the fees collected from LSPs, (2) the permit and annual compliance
fees collected by DEP from site owners, and (3) the additional tax revenue from millions
of dollars of income earned because of increased cleanup activity, as well as, the
economy created when contaminated sites are cleaned up and put back into productive
use:
Licensing Board Costs
Board members themselves cost the state nothing. The Chairman of the Board is a
salaried DEP employee, and, as stated earlier, the other ten members are volunteers. =
Massachusetts does not pay travel or other expenses incurred when members
participate in Board activities.
Licensing Board Start-up Costs
The LSP program started out as a project within DEP. In 1992, two full-time
employees began the work of setting up the Board. By the fall of that year the eleven
member Board was in place. In the spring of 1993, the Board members and staff
finalized the regulations and sent out an announcement inviting applications for
admission to the program. To continue the work, including processing the 400
applications received, two more full-time DEP employees and two temporary data-entry
clerks were added to the project.
The start-up costs for the LSP program during 1993-1994 included employee
compensation for six staff, office space and equipment, preliminary exam development,
and program publicity. Additionally, the Board hired legal counsel, which remains a
salaried position with the Board today.
Licensing Board Annual Operating Costs
The Board's annual operating costs include compensation for five full-time
employees (the Board is supported by an Executive Director and four full-time staff),
expenses associated with offering licensing exams, and overhead. Staffing and
overhead have remained relatively stable. Exam costs have fluctuated, but were highest
in 1994-1995 when the pool of exam questions was being developed. The regulations
require that the Board offer the licensing exam at least once each year. It currently has a
three-year $200,000 contract in place to develop and administer four or five exams. The
contractor is paid on an hourly basis for the time and expenses incurred each year.
Overhead includes a payment to DEP of between $40,000 and $50,000 per year for
office space, utilities, computer support, and payroll services.,
36
-------
Beginning in fiscal year 1995, the Legislature appropriated funds for the LSP Board in
the state budget. Before that, start-up funding was provided by DEP. The following
figures are taken from the Board's records and projections from 1994 through the end of
its fiscal year in 1997 ending on June 30:
Fiscal Year
1994
1995
1996
1997
Budget
314,300
312,700
355,000
Spending
136,200
. 292,400
232,900
300,000***
Revenue
201,800
90,500
306,700**
140,000***
(all figures rounded)
*
**
***
Generated from approximately 400 application fees
Generated from offering the exam twice in th&same year
Projected
Site Owner Costs For LSP Service
LSPs charge site owners an hourly rate for their services. The rate ranges from $105
to $180 or $190 per hour depending on several factors:
/ LSP overhead; is he or she an independent, small business owner or the executive
vice-president of a large environmental assessment firm?
/ LSP seniority; does he or she have seven years of professional experience or 27
years? . " "' "
/ Condition of the site; is it a small, uncomplicated cleanup or a large;-complex one?.
Site owners are encouraged to obtain competitive bids from several LSPs before
contracting for cleanup work to be performed at their site.
37
-------
-------
Part 4
Conclusion
39
-------
conclusion
State Challenges
Most states are challenged by a large regulated community, a large number of
release sites, and limited resources. Innovative, flexible, and cost-efficient programs are
needed to surmount these challenges. Third-party service provider programs are a way
to augment and strengthen state underground storage tank programs, but are not a
substitute for them. These programs can, however, reduce public tax burdens by shifting
most of the costs of prevention and cleanup to tank owners. They also utilize technical
skills available in the private sector.
Most state programs have more high-priority work than they can handle; thus the
primary reason for using third-party service providers is to increase states' ability to do
this work. State staff will have to oversee a third-party service provider program as well
as continue to perform certain regulatory functions (e.g., determining the existence of
violations, taking enforcement actions, responding to emergencies, setting cleanup
standards and goals, overseeing cleanup of high-risk sites) because of legal consider-
ations or because high risks to human health and the environment are involved.
The Third-Party Program Payoff
Setting up a third-party service provider program takes staff time and money.
However, most states probably can do this without a net increase in budget or staffing.
How long it takes will vary from one state to another, but it may take two or more years to
design such a program, write the regulations (if necessary) and guidance; and identify
service providers and prepare them to start work. The design phase may require a
financial investment as well but, once implemented, third-party service provider programs
can become self-supporting, with the payoff of being able to increase field presence (or
otherwise strengthen programs) while allowing LIST staff to focus on high-priority work.
In both Pennsylvania and Massachusetts, setting these third-party service provider
programs up did require additional staff time and money because, among other things,
these states were breaking new ground. However, neither program resulted in a
reduction of state personnel. Other states should be able to establish programs in less
time and with less cost by building on the experience of these two states.
Interested states should consider not only the ideas presented .here OUST urges states
but also any others that seem suitable. While this guide is based
largely on Pennsylvania's and Massachusetts' experience, OUST is not
suggesting that other states simply duplicate these programs; rather,
that states either take what they find useful from the examples provided
by Pennsylvania and Massachusetts or take totally different
approaches, depending on state needs.
to consider setting
up third-party
service provider
programs.
If you would like more information about third-party service provider programs, please
contact your EPA Regional Underground Storage Tank Program Manager.
40
-------
Appendix A
Commonwealth Of Pennsylvania
Title 25. Environmental Protection, Chapter 245.
Administration Of The Storage Tank And
Spill Prevention Program,
SubchapterA. General Provisions And
Subchapter B. Certification Program For Installers
And Inspectors Of Storage Tanks And Storage Tank Facilities
A-1
-------
-------
Commonwealth of Pennsylvania
Pennsylvania Code
Title 25. Environmental Protection
Department of Environmental Protection
Chapter 245. Administration of the Storage Tank
and Spill Prevention Program
Department of Environmental Protection
Bureau of Water Quality Management
Division of Storage Tanks
Rachel Carson State Office Building, 10th Floor
400 Market Street
Harrisburg, PA 17101-2301
(717)772-5599
Current through 25 Pa. Code 6178 (December 30, 1995)
-------
Ch. 245 SPILL PREVENTION PROGRAM 25 § 245.1
CHAPTER 245. ADMINISTRATION OF THE STORAGE TANK AND
SPILL PREVENTION PROGRAM
Subchap. §
A. GENERAL PROVISIONS 2451
B. CERTIFICATION PROGRAM FOR INSTALLERS AND
INSPECTORS OF STORAGE TANKS AND STORAGE TANK
FACILITIES 245.101
D. CORRECTIVE ACTION PROCESS FOR OWNERS AND
OPERATORS OF STORAGE TANKS AND STORAGE TANK
FACILITIES AND OTHER RESPONSIBLE PARTIES 245.301
H. FINANCIAL RESPONSIBILITY REQUIREMENTS FOR
OWNERS AND OPERATORS OF UNDERGROUND
STORAGE TANKS AND STORAGE TANK FACILITIES 245.701
Authority
The provisions of this Chapter 245 issued under the act of The Clean Streams Law (35 P. S.
§§ 691.1691.1001); the Storage Tank and Spill Prevention Act (35 P. S. §§ 6021.1016021.2104);
and section 1920-Aof The Administrative Code of 1929 (71 P. S. § 510-20), unless otherwise noted.
Source
The provisions of this Chapter 245 adopted September 20, 1991, effective September 21, 1991, 21
Pa.B. 4345, unless otherwise noted. ,
Notes of Decisions
Law Reviews
Pennsylvania's Storage Tank Act: Statute, Regulations and Guidances, Sneath, Wm. Stanley, 6 VilJ.
Envtl. L.J. 75 (1995).
Subchapter A. GENERAL PROVISIONS
GENERAL
Sec.
245.1. Definitions.
245.2. General.
TANK HANDLING ACTIVITIES
245.21. Tank handling and inspection requirements.
GENERAL
§ 245.1. Definitions.
The following words and terms, when used in this chapter, have the following '
meanings, unless the context clearly indicates otherwise:,
ASNTThe American Society of Nondestructive Testing^
-------
25 §245.1 ENVIRONMENTAL PROTECTION Pt. I
Aboveground field constructed metallic storage tank An aboveground stor-
age tank that is manufactured from either ferrous or nonferrous metals and has
final assembly completed at the job site. The term does not include associated
piping. ..--..
Aboveground field constructed nonmetallic storage tank-? An aboveground
storage tank that is manufactured from nonmetallic materials; for example,
fiberglass reinforced plastic, composites, plastics, and the like, and has final
assembly completed at the job site. The term does not include associated pip-
.
Aboveground manufactured metallic storage tank An aboveground storage
tank that is manufactured from either ferrous or nonferrous metals and is com-
pletely fabricated and assembled in the shop prior to shipping. The term does
not include associated piping.
Aboveground manufactured nonmetallic storage tank An aboveground stor-
age tank that is manufactured .from nonmetallic materials; for example, fiber-
glass reinforced plastic, composites, plastics, and the like, and is completely
fabricated and assembled in the shop prior to shipping. The term does not
include associated piping. ;
Aboveground storage tank -One or a combination of stationary tanks with a
capacity in excess of 250 gallons, including underground pipes and dispensing
systems connected thereto within the storage tank facility, which is or was used
to contain an accumulation of regulated substances, and the volume of which,
including the volume of piping within the storage tank facility, is greater than
90% above the surface of the ground. The term includes tanks which can be
visually inspected, from the exterior, in an underground area. The term does not
include the following, or pipes connected thereto:
(i) A farm, municipal or residential tank of 1,100 gallons or less capac-
ity used for storing motor fuel for noncommercial purposes.
(ii) A tank used for storing heating oil for consumptive use on the pre-
mises where stored.
(iii) A pipeline facility, including gathering lines, regulated under:
(A) The Natural Gas Pipeline Safety Act of 1968 (49 U.S.C.A. App.
§§1671^1687).
''. (B) The Hazardous Liquid Pipeline Safety Act of 1979 (49 U.S.C.A.
§§ 20012015). . ~. .
(C) An interstate or intrastate pipeline facility regulated under State
laws comparable to the provisions of law referred to in clause (A) or (B).
(iv) A surface impoundment, pit, pond or lagoon.
(v) A stormwater or Avaste water collection system.
(vi) A flow-through process tank, including, but not limited to, a pres-
sure vessel and oil and water separators.
(vii) A nonstationary tank liquid trap or associated gathering lines
directly related to oil and gas production or gathering operations.
74S-9
-------
Ch. 245 SPELL PREVENTION PROGRAM 25 § 245.1
(viii) Tanks which are used to store brines, crude oil, drilling or frac flu-
ids and similar substances or materials and are directly related to the explo-
ration, development or production of crude oil or natural gas regulated under
the Oil and Gas Act (58 P. S. §§ 601.101601.605).
(ix) Tanks regulated under the Surface Mining Conservation and Recla-
mation Act (52 P. S. §§ 1396.11396.31).
(x) Tanks used for the storage of products which are regulated under the
Federal Food, Drug and Cosmetic Act (21 U.S.C.A. §§ 301392).
(xi) Tanks permitted under the Solid Waste Management Act (35 P. S.
§§ 6018.1016018.1003), including, but not limited to, piping, tanks/col-
lection and treatment systems used for leachate, methane gas condensate
management.
(xii) A tank of 1,100 gallons or less in capacity located on a farm used
solely to store or contain substances that are used to facilitate the production
of crops, livestock and livestock products on the farm.
(xiii) Tanks which are used to store propane gas.
(xiv) A tank of 300 gallon or less capacity which is located within the
interior of a building and is used to store virgin or recycled motor oil. v
(xv) Other tanks excluded by regulations promulgated under the act.
ActThe Storage Tank and Spill Prevention Act (35 P. S. §§ 6021.101
6021.2104).
AdjacentNext to or contiguous with. ,
Affect or diminishIn the context of water supplies, the term has the follow-
ing meaning: To cause or contribute to a measurable increase in the concentra-
tion of one or more contaminants in a water supply above background levels,
or to cause or contribute to a decrease in the quantity of the water supply.
Ancillary equipmentElectrical, vapor recovery, access or other systems and
devices, including, but not limited to, devices, such as piping, fittings, flanges,
valves and pumps used to distribute, meter, monitor or control the flow of
regulated substances to or from a storage tank system.
AquiferA geologic formation, group of formations or part of a formation
capable of yielding sufficient groundwater for monitoring purposes.
Cathodic protectionA technique to prevent corrosion of a metal surface by
making that surface the cathode of an electrochemical cell.
Certified inspectorA person certified by the pepartment to conduct envi-
ronmental audits and inspections of tanks or tank facilities. A certified inspec-
tor may not be an employe of a tank owner.
Certified installerA person certified by the Department to install, modify
or remove storage tanks. A certified installer may be an employe of a tank
owner.
Commercial heating oil storage tankAn underground storage tank in
excess of 3,000 gallons used for storage of heating oil for the consumptive use
on the premises where stored.
-------
25 § 245.1 ENVIRONMENTAL PROTECTION Pt. I
CompanyA. sole proprietorship, partnership, corporation, association, joint
venture, consortium, institution, trust, firm, joint stock company or cooperative
enterprise.
Containment structure or facilityAnything -built, installed or established
which comes in contact with regulated substances that are spilled, leaked,
emitted, discharged, escaped, leached or disposed from a storage tank or stor-
age tank system. The term includes but is not limited to, a vault, dike, wall,
building or secondary containment structure around an underground or above-
ground storage tank, or any rock or other fill material placed around an under-
ground storage tank. , ,
Corrective action . .
(i) The term includes the following:
(A) Containing, assessing or investigating a release.
(B) Removing a release or material affected by a release.
'.(CD) Taking measures to prevent, mitigate, abate or remedy releases,
pollution and potential for pollution, nuisances and damages to the public
health, safety or welfare, including, but not limited to, the following:
(I) Waters of this Commonwealth, including surface water and
groundwater.
(II) Public and private property,
(III) Shorelines, beaches, water columns and bottom sediments.
. (IV) Soils arid other affected property, including wildlife and other
natural resources. -
(D) Taking actions to prevent, abate, mitigate or respond to a violation
of the act that threatens public health or the environment.
(E) Temporarily or permanently relocating residents, providing alter-
native water supplies or undertaking an exposure assessment.
(ii) The term does not include the cost of routine inspections, routine
investigations and permit activities not associated with a release.
Environmental auditActivities conducted by a certified inspector to do the
following:
(i) Review storage tank facility site characteristics and justifications of
those characteristics as supplied by the owner.
(ii) Evaluate the storage tank system or storage tank facility site, equip-
ment and records to determine evidence of an actual or possible release of a
regulated substance.
Exempt underground storage tankAn underground storage tank which has
been exempted by regulation from participation in USTIF.
Exposure assessmentAn assessment to determine the extent of exposure of,
or potential for exposure of, individuals, the biological community and all other
natural resources to releases from a storage tank based on, but not limited to,
the following:
-------
Ch. 245 SPILL PREVENTION PROGRAM 25 § 245.1
(i) The nature and extent of contamination and the existence of or
potential for pathways of human exposure, including groundwater or surface
water contamination, air emissions, soil contamination and food chain con-
tamination.
(ii) The size of the community within the likely pathways of exposure.
(iii) The comparison of expected human exposure levels to the short-
term and long-term health effects associated with identified contaminants.
FarmLand used for the production for commercial purposes of crops, live-
stock and livestock products, including the processing or retail marketing of
these crops', livestock or livestock products if more than 50% of these pro-
cessed or merchandized products are produced by the farm operator. The
phrase "Crops, livestock and livestock products" includes, but is not limited to:
(i) Field crops, including corn, wheat, oats, rye, barley, hay, potatoes
and dry beans.
(ii) Fruits, including apples, peaches, grapes, cherries and berries.
(iii) Vegetables, including tomatoes, snap beans, cabbage, carrots, beets,
onions and mushrooms. ,
(iv) Horticultural specialties, including nursery stock, ornamental
shrubs, ornamental trees and flowers.
(v) Livestock and livestock products, including cattle, sheep, hogs,
goats, horses, poultry, forbearing animals, milk, eggs and furs.
(vi) Aquatic plants and animals and their, by-products.
Free productA regulated substance that is present as a nonaqueous phase
liquid; that is, liquid not dissolved in water. ,
Free product recoveryThe removal of free product.
GroundwaterWater beneath the surface of the ground that exists in a zone
of saturation.
Groundwater degradationA measurable increase in the concentration of
one or more contaminants in groundwater above background levels for those
contaminants. ^
Heating oil for consumptive useHeating oil used to provide space heating.
Inspection activitiesActivities to inspect or conduct an environmental audit
concerning all or a part of a storage tank system or storage tank facility.
InstallActivities to construct, reconstruct or erect to put into service a stor-
age tank, a storage tank system or storage tank facility.
Interim certificationCertification granted by the Department on an interim
basis under section 108 of the act (35 P. S. § 6021.108) to installers and
inspectors of storage tank systems or storage tank facilities.
Intrafacility pipingA common piping system serving more than one stor-
age tank system within a storage tank facility.
MaintenanceThe normal operational upkeep to prevent a storage tank sys-
tem or storage tank facility from releasing regulated substances if the activity
involved is not a major modification or minor modification.
245-5 .
-------
25 § 245.1 ENVIRONMENTAL PROTECTION Pi. I
Major modification
(i) An activity to upgrade, repair, refurbish or restore all or any part of
an existing storage tank system or storage tank facility which:
(A) Alters the design of that storage tank system or storage tank facil-
" ; '' ityf ' "' '':' - ' . ' ' '- ''' '''" .'
(B) May affect the integrity of that storage tank system or storage tank
facility. .
(ii) The term includes an activity directly affecting the tank portion of
the storage tank system or ah activity directly affecting an underground com-
ponent of the storage tank system.
Minor modification
(i) An activity to upgrade, repair, refurbish or restore all or part of an
existing storage tank system or storage tank facility which does not alter the
-t design of that storage tank system or storage tank facility, but, which may
effect the integrity of that storage tank system or storage tank facility.
(ii) The term does not include an activity directly affecting the tank
portion of the storage tank system or an activity directly affecting an under-
ground component of the storage tank system.
, ModifyTo conduct an activity that constitutes a major modification or a
minor modification.
Monitoring systemA. system capable of detecting releases in connection
with an aboveground jar underground storage tank.
New facilityA. storage tank facility which did not exist prior to August 5,
1989. -'.:.- -
OSHA-^Occupational Safety and Health AdministrationThe agency estab-
lished under the Occupational Safety and Health Act of 1970 (29 U.S.C.A.
§§ 651678). ; ,
OperatorA. person who manages,' supervises, alters, controls or has respon-
sibility for the operation of a storage tank.
OwnerIncludes the following:
(i) In the case of a storage tank in use on August 7, 1989 or brought
into use after August 7, 1989, a person who owns or has an ownership inter-
est in a storage tank used for the storage, containment, use or dispensing of
regulated substances.
(ii) In the case of an aboveground storage tank in use before August 7,
1989, but which was no longer in use on August 7, 1989,. a person who
owned the aboveground tank immediately before the discontinuance of its
use as well as a person who meets the definition in subparagraph (i).
(iii) In the case of an underground storage tank, the owner of an under-
ground storage tank holding regulated substances on or after November 8,
1984, and the owner of an underground storage tank at the time all regulated
substances were removed when removal occurred prior to November 8,
1984.
-------
Ch. 245 SPILL PREVENTION PROGRAM 25 § 245.1
Permanently affixedNot able to be moved from its resting place by design
or which is connected to real property by piping or other structure.
Permanent water supplyA well, interconnection with a public water sup-
ply, extension of a public water supply, similar water supply or a treatment
system, determined by the Department to be capable of restoring the water
supply to the quantity and quality of the original unaffected water supply.
PersonAn individual, partnership, corporation, association, joint venture,
consortium, institution, trust, firm, joint-stock company, cooperative enterprise,
municipality, municipal authority, Federal Government or agency, Common-"
wealth Department, agency, board, commission or authority, or other legal
entity which is recognized by law as the subject of rights and duties. In provi-
sions of the act prescribing a fine, imprisonment or penalty, or a combination
thereof. The term includes the officers and directors of a corporation or other
legal entity having officers and directors.
Pressure vesselA vessel used in industrial processes designed to withstand
pressures above 15 psig.
Process vesselA vessel in industrial or commercial operation in which,
during use, there is a mechanical, physical or chemical change of the contained
substances talcing place. The industrial or commercial process may include, but
is not limited to, mixing, separating, chemically altering, dehydrating, extract-
ing, refining or polishing of the substances in the tank. The term does not
include tanks used only to store substances prior to sale or to store feedstock
prior to additional processing.
Public water systemA system which provides water to the public for
human consumption which has at least 15 service connections or regularly
serves an average of at least 25 individuals daily at least 60 days out of the
year. The term includes collection, treatment, storage and distribution facilities
under control of the operator of the system and used'in connection with the
system. The term includes collection or pretreatment storage facilities not under
control of the operator which are used in connection with the system. The term
also includes a system which provides for bottling or bulk hauling for human
consumption. Water for human consumption includes water that is used for
drinking, bathing and showering, cooking, dishwashing or maintaining oral
hygiene.
Regulated substance
(i) An element, compound, mixture, solution or substance that, when
released into the environment, may present substantial danger to the public
health, welfare or the environment which is one of the following:
(A) A substance defined as a hazardous substance in section 101(14)
of the Comprehensive Environmental Response, Compensation, and
Liability Act of 1980 (42 U.S.C.A. § 9601) but not including a substance
regulated as a hazardous waste under Subtitle C of the Resource Conser-
vation and Recovery Act of 1976 (42 U.S.C.A. §§ 69216931).
245-7
-------
25 § 245.1 ENVIRONMENTAL PROTECTION Pt. I
(B) Petroleum, including crude oil or a fraction thereof and hydrocar-
bons which are liquid at standard conditions of temperature and pressure
(60°F and 14.7 pounds per square inch absolute), including, but not lim-
ited to, oil, petroleum, fuel oil, oil sludge, oil refuse, oil mixed with other
nonhazardous wastes and crude oils, gasoline and kerosene.
(C) Other substances determined by the Department by regulation
whose containment, storage, use or dispensing may present a hazard to the
public health and safety or the environment, but not including gaseous
substances used exclusively for the administration of medical care.
(ii) The term does not include the storage or use of animal waste in
normal agricultural practices.
Release Spilling, leaking, emitting, discharging, escaping, leaching or dis-
posing from a storage tank into surface waters and groundwaters of this Com-
monwealth or soils or subsurface soils in an amount equal to or greater than
the reportable released quantity determined under section 102 of the Compre-
hensive Environmental Response, Compensation, and Liability Act of 1980 (42
U.S.C.A. § 9602), and regulations promulgated thereunder, or an amount equal
to or greater than a discharge as defined in section 311 of the Federal Water
Pollution Control Act (33 U.S.C.A. § 1321) and regulations promulgated there-
under. The term also includes spilling, leaking, emitting, discharging, escaping,
leaching or disposing from a storage tank into a containment structure or facil-
ity that poses an immediate threat of contamination of the soils, subsurface
soils, surface water or groundwater.
Release detection The determination, through a method or combination of
methods, whether a release of a regulated substance has occurred from a stor-
age tank into the environment or into the interstitial space between the storage
tank and its secondary containment around it.
Removal Removal from service, but excluding site assessment.
Removal from service The term includes the following:
(i) Activities related to rendering a storage tank system permanently
unserviceable. Activities include properly draining and cleaning the storage
tank system of product liquids, vapors, accumulated sludges or solids, and
"- completing one of the following:
(A) Leaving the storage tank system in the ground and filling the tank
with inert, solid material. .
(B) Dismantling or removing the storage tank system from the tank
(ii) The term includes discontinued use, abandonment, closure in place
and permanent closure but does not include temporary closure as those terms
are used in the act and the Federal regulations promulgated under the
Resource Conservation and Recovery Act of 1976.
(iii) The term includes site assessment activities required under 40 CFR
Part 280 (relating to technical standards and corrective action requirements
245-8
-------
Ch. 245 SPILL PREVENTION PROGRAM 25 § 245.1
for owners and operators of underground storage tanks) and applicable State
law, which are the responsibility of owners and operators, but are not con-
ducted by certified installers or inspectors.
Reportable releaseA quantity or an unknown quantity of regulated sub-
stance released to or posing an immediate threat to surface water, groundwater,
bedrock, soil or sediment. The .term does not include the following, if the
owner or operator has control over the release, the release is completely con-
tained and, within 24 hours of the release, the total volume of the release is
recovered or removed in the corrective action:
(i) A release to the interstitial space of a double-walled aboveground or
underground storage tank.
(ii) A release of less than 25 gallons to a containment area, structure or
facility around an aboveground storage tank.
(iii) A release of less than 5 gallons to a synthetic surface, such as
asphalt or concrete, which prevents migration of the regulated substance to
surface water, groundwater, bedrock, soil or sediment.
(iv) A release of less than 1 gallon to surface soils.
Responsible partyA person who is responsible or liable for corrective
action under the act. The term includes: the owner or operator of a storage tank;
the landowner or occupier; and, a person who on or after August 5, 1990,
knowingly sold, distributed, deposited or filled an unregistered storage tank
regulated by the act, with a regulated substance, prior to the discovery of the
release.
Secondary containmentAn additional layer of impervious material creating
a space in which a release of a regulated substance from a storage tank may be
detected before it enters the environment,
SedimentSolid fragmental material that originates from weathering of
rocks and is transported or deposited by air, water or ice, or that accumulates
by other natural agents, such as chemical precipitation from solution or secre-
tion by organisms, and that forms in layers on the earth's surface at ordinary
temperatures in a loose, unconsolidated form. The term includes sand, gravel,
silt, mud, till, loess and alluvium.
SiteFor purposes of § 245.303(c) and (d) (relating to general require-
ments), the term means the tract of land which includes the storage tank facil-
ity. For other purposes the term means the area of surface and subsurface land
or water that has been affected by a release of regulated substances.
Small aboveground storage tankAn aboveground storage tank having a
capacity equal to or less than 21,000 gallons.
SoilUnconsolidated materials above bedrock.
Spill prevention response planEmergency plans and procedures developed
by an aboveground storage tank or tank facility owner, operator, or both, for
response to an accident or spill on the facility by facility personnel or contrac-
tors. .....-'
. 7.4S-Q
-------
25 §245.1 ENVIRONMENTAL PROTECTION Pt. I
Stationary tank An aboveground storage tank that is permanently affixed to
the real property on which the tank is located.
Storage tank An aboveground or underground storage tank which is used
for the storage of a. regulated substance. -
Storage tank facility One or more stationary tanks, including associated
intrafacility pipelines, fixtures, monitoring devices and other equipment. A
facility may include aboveground tanks, underground tanks or a combination of
Storage tank system An underground or aboveground storage tank, associ-
ated underground or aboveground piping directly serving that storage tank, and
one or more of the following which are directly associated with that storage
tank:
(i) Ancillary equipment.
(ii) Foundation. .
(iii) Containment structure or facility. \
(iv) Corrosion protection system.
(v) Release detection system.
(vi) Spill and overfill protection system.
Substantial modification An activity to construct, refurbish, restore or
remove from service an existing storage tank, piping or storage tank facility
which alters the physical construction or integrity of the storage tank or stor-
age tank facility.
Survey For purposes of § 245.303(d), the term means a study at a sufficient
level of detail to establish baseline levels for surface water, groundwater, soil
and sediment prior to me use of a storage tank facility.
Tank handling activities Activities, to install, modify or remove all or part
of a. storage tank system or storage tank facility. The term does not include,
maintenance activities. ,
Temporary water supply Bottled water, a water tank supplied by a bulk
water hauling system and similar water supplies in quantities sufficient to
accommodate normal usage.
Third party liability Liability of an owner or operator of an underground
storage tank to a person for bodily injury or property damage, or both, arising
from or caused by a sudden or nonsudderi release of a regulated substance from
the underground storage tank.
USTIB Underground Storage Tank Indemnification Board The Board
Established under section 703 of the act (35 P. S. § 6021.703), and authorized
to carry out the powers and duties described in section 705 of the act (35 P. S.
§ 6021.705).
USTIF Underground Storage Tank Indemnification Fund The Fund estab-
lished under section 704 of the act (35 P. S. § 6021.704), for the purpose of
making payments to the owner or operator of an underground storage tank who
'.:'. 245-10 .
-------
Ch. 245 SPILL PREVENTION PROGRAM 25 § 245.1
incurs corrective action liability or third party liability caused by a sudden "or
nonsudden release from an underground storage tank.
USTIF deductibleThe portion of liability incurred by an owner or operator
of an underground storage tank for corrective action or for third party liability,
within the limits of liability for USTIF coverage, which is the responsibility of
the owner or operator and which is not indemnified by USTIF coverage. The
USTIF deductible amount is established or revised by USTIB in accordance
with section 705(c) of the act.
Underground field constructed metallic storage tankAn underground stor-
age tank that is manufactured from either ferrous or nonferrous metals and has
final assembly completed at the job site. The term does not include associated
piping.
Underground field constructed nonmetallic storage tankAn underground
storage tank that is manufactured from nonmetallic materials; for example,
fiberglass reinforced plastic, composites, plastics, and the like, and has final
assembly completed at the job site. The term does not include associated pip-
ing. .
Underground manufactured metallic storage tankAn underground storage
tank that is manufactured from either ferrous or nonferrous metals and is com-
pletely fabricated and assembled in the shop prior to shipping. The term does
not include associated piping.
Underground manufactured nonmetallic storage tankAn underground stor-
age tank that is manufactured from nonmetallic materials; for example, fiber-
glass reinforced plastic, composites, plastics, and the like, and is completely
fabricated and assembled hi the shop prior to shipping. The term does not
include associated piping.
Underground storage tankOne or a combination of tanks (including under-
ground pipes connected thereto) which are used to contain an accumulation of
regulated substances, and the volume of which (including the volume of under-
ground pipes connected thereto) is 10% or more beneath the surface of the
ground. The term does not include:
(i) Farm or residential tanks of1,100 gallons or less capacity used for
storing motor fuel for noncommercial purposes.
(ii) Tanks of 3,000 gallons or less used for storing heating oil for con-
sumptive use on the premises where stored.
(iii) A septic or other subsurface sewage treatment tank.
(iv) A pipeline facility (including gathering lines) regulated under:
(A) The Natural Gas Pipeline Safety Act of 1968.
(B) The Hazardous Liquid Pipeline Safety Act of 1979.
(v) An interstate or intrastate pipeline facility regulated under State
laws comparable to the provisions of law in subparagraph (iv).
(vi) Surface impoundments, pits, ponds or lagoons.
(vii) Stormwater or wastewater collection systems.
245-11 -''.
-------
25 §245.2 ENVIRONMENTAL PROTECTION Pt. I
(viii) Flow-through process tanks.
(ix) Liquid traps or associated gathering lines directly related to oil or
gas production and gathering operations.
(x) Storage tanks situated in an underground area (such as a basement,
cellar, mine working, drift, shaft or tunnel) if the tank is situated upon or
above the surface Of the floor.
(xi) Tanks permitted under the Solid Waste Management Act, including,
but not limited to, piping, tanks, collection and treatment systems used for
leachate, methane gas and methane gas condensate management.
(xii) An underground storage tank system whose capacity is 110 gallons
or less.
(xiii) Other, tanks excluded by policy or regulations promulgated under
the act.
Unregistered storage tankA. storage tank, regulated under the act, which
does not hold a current, valid registration.
Water supplyExisting, designated or planned sources of water or facilities
or systems for the supply of water for human consumption or for agricultural,
commercial, industrial or other legitimate use^ protected by the applicable
water supply provisions of § 93.3 (relating to protected water uses).
Source
The provisions of this § 245.1 amended December 23, 1994, effective December 24, 1994, 24
Pa.B. 6515. Immediately preceding text appears at serial pages (183067) to (183078).
§ 245.2. General.
A person may not install, construct, erect, modify, operate or remove from ser-
vice all or part of a storage tank system or storage tank facility in a manner that
violates the act, this part or applicable Federal regulations adopted under the
Resource Conservation and Recovery Act of 1976 (42 U.S.C.A. §§ 69016987).
This chapter incorporates^ by reference the Federal regulations governing under-
ground storage tank systems contained in 40 CFR Part 280 (relating to technical
standards and corrective action requirements for owners and operators of under-
Aground storage tanks (UST)), except for Federal regulations governing the exclu-
sions and deferrals for underground storage tank systems contained in 40 CFR
280.10(b)(d) (relating to applicability).
TANK HANDLING ACTIVITIES
§ 245.21. Tank handling and inspection requirements.
(a) Tank handling activities shall be conducted by a certified installer and,
except in the case of minor modification, inspected by a certified inspector.
(b) The operation of storage tank facilities shall be inspected by a certified
inspector. The frequency of inspection shall be based on:
245-12 '. '''.'
-------
Ch. 245 SPILL PREVENTION PROGRAM 25
(1) The age of the storage tank systems located at the storage tank facility.
(2) The type of regulated substances contained in the storage tank systems
located at the storage tank facility.
(3) The distance of the storage tank facility from public and private surface
water and groundwater supplies.
(4) The total capacity of the storage tank systems located at the storage
tank facility.
(5) The geologic conditions at the storage tank facility.
(6) Whether the storage tank, facility, owner or operator has violated the act
or the regulations promulgated thereunder.
(7) Whether the storage tank facility has storage tank systems which are
periodically taken out of service.
(8) Whether there is suspected contamination at the storage tank facility.
(9) The level of quality control maintained at the storage tank facility.
(c) The Department will notify the storage tank facility, in writing, when an
inspection is required.
Subchapter B. CERTIFICATION PROGRAM FOR INSTALLERS
AND INSPECTORS OF STORAGE TANKS AND STORAGE
TANK FACILITIES
GENERAL CERTIFICATION REQUIREMENTS
'Sec.
245.101. Purpose.
245.102. Requirement for certification.
245.103. Phase-in from interim certification. .
245.104. .Application for installer or inspector certification.
245.105. Certification examinations.
245.106. Conflict of interest.
245.107. Reciprocity. .
245.108. Suspension of certification.
245.109. Revocation of certification.
245.110. Certification of installers.
245.111. Certified installer experience and qualifications.
245.112. Certification of inspectors.
245.113. Certified inspector experience and qualifications.
245.114. Renewal and amendment of certifications.
COMPANY CERTIFICATION
'
245.121. Certification of companies.
245.122. Applications for company certification.
245.123. Suspension of company certification.
245-13
(206965^ No 955 F^h QA .
-------
25 §245.101 ENVIRONMENTAL PROTECTION Pt. I
245.124. Revocation of company certification.
245.125. Renewal and amendment of company certification.
STANDARDS FOR PERFORMANCE
245.131. Validity of certification.
245.! 32. Standards of performance.
TRAINING APPROVAL
245.141. Training approval.
GENERAL CERTIFICATION REQUIREMENTS
. ' - - - "'...""' ." ' * , ' ' -
§ 245.101. Purpose.
This chapter establishes a certification program for installers and inspectors of
storage tank systems and storage tank facilities and companies mat employ
installers or inspectors, and establishes standards of performance for certified
installers, certified inspectors and certified companies.
§ 245.102. Requirement for certification.
(a) A person may not conduct tank handling activities unless that person
holds a current installer certification issued by the Department for the applicable
certification category as indicated in § 245.110 (relating to certification of install-
ers). Except as provided in § 245.103 (relating to phase-in from interim certifi-
cation), installer certification will only be issued by the Department to a person
who:
(1) Possesses minimum experience and qualifications as provided under
§ 245.111 (relating to certified installer experience and qualifications).
(2) Achieves a passing grade on a certification examination administered
or approved by the Department for one or more of Jhe certified installer cat-
egories described in § 245.110 for which the person is requesting certification.
(3) Submits an accurate and complete application.
(4) Is not found to be in violation of the act or this chapter and has not.had
a certification revoked by the Department under § 245.109 (relating to revoca-
tion of certification).
(b) A person may not conduct inspection activities at a storage tank system
or storage tank facility required by the Department under the act and this part
unless that person holds a current inspector certification issued by the Department
'-' .' 245-14
-------
Ch. 245 SPILL PREVENTION PROGRAM 25 § 245.103
for the applicable inspector certification category. Except as provided in
§ 245.103 inspector certification will only be issued by the Department to a per-
son who:
(1) Possesses minimum experience and qualifications as provided under
§ 245.113 (relating to certified inspector experience and qualifications).
(2) Achieves a passing grade on a certification examination administered
or approved by the Department for one or more of the certified inspector cat-
egories described in § 245.112 (relating to certification of inspectors) for
which the person is requesting certification. ,
(3) Submits an accurate and complete application.
(4) Is not found to be in violation of the act or this chapter and has not had
a certification revoked by the Department under § 245.109.
(c) Certified installers and certified inspectors shall successfully complete
additional periodic training and testing administered or approved by the Depart-
ment to maintain their certification. Successful completion means attendance at
all sessions of training and attainment of a minimum grade of 90% on all sec-
tions of all tests given as part of the training program.
(d) After March 23, 1992, a certified installer or certified inspector may not
perform tank handling or inspection activities as an employe of a company unless
the company holds a valid certification issued by the Department under this
chapter.
Cross References
This section cited in 25 Pa. Code § 245.104 (relating to application for installer or inspector cer-
tification).
§ 245.103. Phase-in from interim certification.
(a) The Department may issue an installer certification or inspector certifica-
tion on a temporary basis for the applicable certification category to any person
who meets the minimum experience requirements under § 245.111 or § 245.113
(relating to certified installer experience and qualifications; and certified inspec-
tor experience and qualifications).
(b) A person certified as an installer or inspector on an interim basis under
section 108 of the act (35 P. S. § 6021.108) who meets the minimum experience
and qualification requirements under § 245.111 or § 245.113 may request tem-
porary installer certification or temporary inspector certification on or before
January 21, 1992. Failure to be granted temporary installer certification or tem-
porary inspector certification on or before March 23, 1992 will result in revoca-
tion of interim certification.
(c) To be granted permanent installer certification or permanent inspector
certification, a person who obtains temporary installer certification or temporary
inspector certification under this section, shall, on or before September 21, 1994,
achieve a passing grade on a certification examination administered or approved
245-15
-------
25 §245.104 ENVIRONMENTAL PROTECTION Pt. I
by the Department for one or more of the certified installer or inspector catego-
ries described in § 245.110 or § 245.112 (relating to certification of installers;
and certification of inspectors). Failure to achieve a passing grade within this
time will result in revocation of the temporary installer certification or temporary
inspector certification.
Source :
The provisions of this § 245.103 adopted September 20, 1991, effective September 21, 1991, 21
Pa.B. 4345; corrected September 27, 1991, effective September 21, 1991, 21 Pa,B. 4405; amended
April 23, 1993, effective April 24, 1993, 23 Pa.B. 1949. Immediately preceding text appears at serial
page (162554).
Cross References
This section cited in 25 Pa. Code § 245.102 (relating to requirement for certification); 25 Pa. Code
§ 245.104 (relating to application for installer or inspector certification); and 25 Pa. Code § 245.114
(relating to renewal and amendment of certifications).
§ 245.104. Application for installer or inspector certification.
(a) The applicant shall be a natural person.
(b) An application for installer or inspector certification shall be submitted to
the Department on forms provided by the Department and shall contain the fol-
lowing information:
(1) Evidence that the applicant has the certification prerequisites contained
in § 245.111 or § 245.113 (relating to certified installer experience and quali-
fications; and certified inspector experience and qualifications).
(2) The applicant's name, address and telephone number.
(3) Other information necessary for a determination of whether the issu-
ance of a certification conforms to the act and this chapter.
(c) Ain application for certification shall be received by the Department no
.later than 120 days prior to the announced date of the certification examination.
(d) An application shall be complete upon submission. .
(e) An applicant meeting the requirements of §§ 245.102(a)(4) or (b)(4) and
245.103 (relating to requirement for Certification; and phase-in from interim cer-
tification) will be granted admission to the certification examinations for which
the applicant has requested certification and is qualified.
Cross References
This section cited in 25 Pa. Code § 245.107 (relating to reciprocity).
§ 245.105. Certification examinations.
(a) The Department will establish separate administrative and technical con-
tent for the examinations and the standards and criteria against which they will
-------
Ch. 245 SPILL PREVENTION PROGRAM 25 § 245.106
be evaluated to be used in determining the fitness of candidates for certification
as certified installers or certified inspectors under the categories established by
this chapter. .
(b) The Department will schedule a date and location for the examinations for
certified installer and certified inspector at least once in each calendar year.
(c) Only applicants who have been authorized by the Department, in accor-
dance with this chapter, to take an examination shall be admitted to an examina-
tion or issued a certification as a result of passing an examination. Authorization
to take an examination shall be based on compliance with the requirements of this
chapter.
(d) To receive a passing grade on the examination, the applicant for certifica-
tion shall achieve a minimum score of 90% on each section .of the examination.
(e) An applicant who fails two examinations for the same certification may
not retake the examination until the applicant has successfully completed a train-
ing program that is administered or approved by the Department and focuses on
those areas of the examination in which the applicant is deficient. Successful
completion means attendance at all sessions of training and attainment of a mini-
mum grade of 90% on all sections of all tests given as part of the training pro-
gram.
§ 245.106. Conflict of interest.
(a) Except as provided in subsection (b), a certified inspector may not be one
or more of the following:
(1) An employe of the tank owner.
(2) A certified installer on the same tank handling activity for which he is
a certified inspector.
(3) An employe of a company that employs a certified installer on the
same tank handling activity for which he is a certified inspector, when the tank
handling activity is performed on a field constructed storage tank. This prohi-
bition extends to a company that owns, or is owned by, the employer, in whole
or in part.
(b) A certified inspector who is a certified installer may conduct a tank han-
dling activity to correct.a deficiency identified by the same certified individual or
company during an inspection of the. operation of a storage tank facility. Notwith-
standing this exception, subsection (a)(2) still prohibits a certified inspector from
subsequently inspecting a tank handling activity which the certified inspector
conducted to correct a deficiency noted in an inspection of the operation of a
storage tank facility.
Source -
The provisions of this § 245.106 amended December 23, 1994, effective December 24, 1994, 24
Pa.B. 6515. Immediately preceding text appears at serial page (162556).
245-17 ,
-------
25 §245.107 ENVIRONMENTAL PROTECTION Pt. I
' " ~
§ 245.107. Reciprocity.
(a) A person holding a valid certification issued under the law of another
state, territory or the District of Columbia may be issued a certificate in a classi-
fication equivalent,to the classification of the certification issued by the other
state, territory or District of Columbia, if the person proves to me satisfaction of
the Department that he is competent to conduct activities in the classification for
which certification is being requested. In making its determination, the Depart-
ment will consider the following:
(1) That the other certification was issued as a result of the passing of an
examination equivalent in technical content to that given by the Department for
that classification.
(2) That the applicant can be shown to have complied with the laws and
requirements of the state, territory or District of Columbia, issuing the other
certification in conducting activities for which the other certification was
issued.
(3) That the applicant meets the experience and qualification requirements
of this chapter for the category of certification being requested.
(4) The applicant achieves a passing grade on all administrative sections of
the certificatibn examination required by this chapter for the category of certi-
fication being requested.
(b) The applicant shall submit an application for certification to the Depart-
ment in accordance with,§. 245.104 (relating to application for installer or inspec-
tor certification).
§ 245.108. Suspension of certification.
(a) The Department may suspend the certification of a certified installer or
certified inspector for good cause which includes, but is not limited to:
(1) A violation of the act or this part.
(2) Incompetency on the part of the certified installer or certified inspector
as evidenced by errors in conducting duties and activities for which the certi-
fication in question was issued.
(3) Failure to successfully complete a training program required by the
Department.
(4) In the case of a certified inspector's failure to:
(i) Inform the owner or operator and the Department of conditions or
procedures that are not in accordance with the manufacturer's technical and
procedural specifications for installation, construction, modification or opera-
tion of the storage tank system or storage tank facility.
(ii) Conduct, review or observe a test or inspection activity required by
the act or this part.
(iii) Submit reports of inspection activities to the Department within 60
days of conducting the inspection activities.
245-18
-------
Ch. 245 SPILL PREVENTION PROGRAM 25 § 245.109
(5) In the case of a certified installer's failure to:
(i) Be present during tank handling activities at the storage tank system
or storage tank facility as required by the act and this part.
(ii) Conduct tank handling activities in accordance with the require-
ments of the act and this part.
(iii) Submit tank handling reports and activities to the Department within
60 days of conducting the tank handling activities.
(6) Working as a certified installer or certified inspector in a certification
category for which the person has failed to obtain certification.
(7) Failure to meet one or more of the standards for performance in
§ 245.132 (relating to standards of performance).
(8) Submission of false information to the Department.
(b) The suspension of a certification in a single category shall prevent the
person from engaging in activities in all categories of certification.
(c) The Department may require that the person successfully complete a spe-
cial training program sponsored or approved by the Department designed to
strengthen the specific weakness in the certified installer's or certified inspector's
duties, as required under the act or this part identified in the suspension order.
Successful completion means attendance at all sessions of training and attainment
of a minimum grade of 90% on all sections of all tests given as part of the train-
ing program.
(d) The Department may reinstate the certification if:
(1) The cause for the suspension has been removed.
(2) The person is competent to execute duties and responsibilities for
which certification was issued.
Cross References
This section cited in 25 Pa. Code § 245.109 (relating to revocation of certification).
§ 245.109. Revocation of certification.
(a) The Department may revoke the certification of a certified installer or
certified inspector if the certified installer or certified inspector has done one or
more of the following: .
(1) Demonstrated a willful disregard of, or willful or repeated violations of
the act or regulations promulgated thereunder or this part.
(2) Willfully submitted false information to the Department.
(3) Committed an act requiring suspension under § 245.108 (relating to
suspension of certification) after having certification suspended previously.
(b) The revocation of a certification in a single category shall prevent the
person from engaging in activities in all categories of certification.
Cross References
This section cited in 25 Pa. Code § 245.102 (relating to .requirement for certification).
245-19
-------
25 § 245.110 ENVIRONMENTAL PROTECTION Pt. I
§ 245.110. Certification of installers.
(a) An installer certification shall authorize the person to whom it is issued
to conduct tank handling activities pertaining to storage tank systems or storage
tank facilities in one or more of the categories in subsection (b).
(b) Installer certifications may be issued for the following categories:
(1). Underground manufactured storage tankinstallation, modification {
UMX}. Installation and modification of underground manufactured storage
tanks.
(2) Underground manufactured storage tankmodification {UM M}.
Modification of underground manufactured storage tanks.
(3) Underground manufactured storage tankremoval {UM R}. Removal
of underground manufactured storage tank systems or storage tank facilities.
(4) Underground field constructed metallic storage tankinstallation and
modification {UFMX}. Installation and modification of underground field con-
structed metallic storage tanks. ;
(5) Underground field constructed metallic .storage tankmodification
{UFMM}. Modification of underground field constructed metallic storage
tanks. \
(6) Underground field constructed nonmetallic storage tankinstallation
and modification {UFNX}. Installation and modification of underground field
constructed nonmetallic storage tanks.
(7) Underground fieldconstructed nonmetallic-storagetank-modification
{UFNM}. Modification of underground field constructed nonmetallic storage
tanks. .'''..
(8) Underground field constructed storage tankremoval {UF R}.
Removal of underground field constructed storage tank systems or storage tank
facilities. ;
(9) Underground storage tank-mechanicalinstallation and modification
{UMeX}. Installation and modification of tank related mechanical appurte-
nances, including, but not limited to, valves, piping, internal piping, pumps,
corrosion protection systems, release detection systems, and spill and overfill
protection systems that are components of an underground storage tank system
or storage tank facility.
(10) Underground storage tankmechanicalmodification {UMeM}.
Modification of tank related mechanical appurtenances, including, but not lim-
ited to, valves, piping, internal piping, pumps, corrosion protection systems,
release detection systems, and spill and overfill protection systems that are
components of an underground storage tank system or storage tank facility.
(11) Underground storage tankcivil {UCvl}. Installation and modification
of tank related structural components, including, but not limited to, fbunda-
.: - 245-20 ' > ' '
-------
Ch. 245 SPILL PREVENTION PROGRAM 25 § 245.110
tions, field grading systems, vaults, pump supports, pipe supports and drainage
systems associated with an underground storage tank system or storage tank
facility.
(12) Underground storage tanktank tightness tester {U_TT}. Activities
involved in conducting and interpreting results of hydrostatic pressure tests on
underground storage tank systems or storage tank facilities.
(13) Aboveground manufactured metallic storage tankinstallation and
modification {AMMx}. Installation and modification of aboveground manufac-
tured metallic storage tanks.
(14) Aboveground manufactured nonmetallic storage tankinstallation and
modification {AMNx}. Installation and modification of aboveground manufac-
tured nonmetallic storage tanks.
(15) Aboveground manufactured storage tankremoval {AMR}. Removal
from service of aboveground manufactured storage tank systems or storage
tank facilities.
(16) Aboveground field constructed metallic storage tankinstallation and
modification {AFMX}. Installation and modification of aboveground field con-
structed metallic storage tanks.
(17) Aboveground field constructed nonmetallic storage tankinstallation
and modification {AFNX}. Installation and modification of aboveground field
constructed nonmetallic storage tanks. .
(18) Aboveground field constructed storage tankremoval {AF R}.
Removal from service of aboveground field constructed storage tank systems
or storage tank facilities.
(19) Aboveground metallic storage tankmodification {A MM}. Modifica-
tion of aboveground metallic storage tanks;
(20) Aboveground nonmetallic storage tankmodification {A NM}. Modifi-
cation of aboveground nonmetallic storage tanks.
(21) Aboveground storage tankmechanicalinstallation and modification
{AMeX}. Installation and modification of tank related mechanical appurte-
nances, including, but not limited to, valves, fill piping, suction piping, internal
piping, foam system piping, pumps, corrosion protection systems, release
detection systems, and spill and overfill protection systems that are components
of an aboveground storage tank system or storage tank facility.
(22) Aboveground storage tankmechanicalmodification {AMeM}. Modi-
fication of tank related mechanical appurtenances, including, but not limited to,
valves, fill piping, suction piping, internal piping, foam system piping, pumps,
corrosion protection systems, release detection systems, and spill and overfill
protection systems that are components of an aboveground storage tank system
or storage tank facility.
(23) Aboveground storage tankcivil {ACvL}. Installation and modification
of tank related structural components, including, but not limited to, founda-
245-21"
-------
25 § 245.111
ENVIRONMENTAL PROTECTION
Pt. I
tions, dike walls, field grading, vaults, pump supports, pipe supports and drain-
age systems associated with an aboveground storage tank system or storage
tank facility.
(24) Storage tankliner {T L}. Activities involved in installing internal lin-
ings for underground and aboveground storage tanks systems or storage tank
facilities.
i .""'-. ' ' ' - : ' '
Cross References
TJiis section cited in 25 Pa. Code § 245.102 (relating to requirement for certification); and 25
Pa. Code § 245.103 (relating to phase-in from interim certification).
§ ,245.111. Certified installer experience and qualifications.
(a) An applicant shall meet the following minimum experience or education
requirements, or both, and have completed the required number of activities in
the appropriate category for an installer certification:
Total Experience or
Category Education plus Experience
UMX 3 years, or college degree and
2 years
UM M . 3 years, or college degree and
2 years
UM R 3 years, or college degree and
2 years
UFMX 4 years, or college degree and
3 years
UFMM 4 years, or college degree and
3 years
UFNX 3 years, or college degree and
2 years
UFNM 3 years, or college degree and
3 years
UF R 3 years, or college degree and
.2 years
UMeX 3 years, or college degree and
2 years .
Total Number of
Activities Completed
15 (15 of which are
installations)
15 (15 of which are
modifications)
15 (15 of which are removals)
20 (10 of which are
installations, 10 of which are
modifications)
20 (20 of which are
modifications)
15 (10 of which are
installations, 5 of which are
modifications)
15.(15 of which are
modifications)
15 (15 of which are removals)
15 (10 of which are
installations, 5 of which are
modifications)
245-22
-------
Ch. 245
SPILL PREVENTION PROGRAM
25 § 245.111
Total Experience or
Category Education plus Experience
UMeM 3 years, or college degree and
2 years
UCvL 3 years, or college degree and
2 years
UTT Department approved training
AMMX 3 years, or college degree and
2 years
or
UMX Certification
AMNX 3 years, or college degree and
2 years
or
UMX Certification
AMR 3 years, or college degree and
2 years
or.
UMR Certification
AFMX 4 years, or college degree and
3 years
AFNX 3 years, or college degree and
2 years
AF R 3 years, or college degree and
2 years
A MM 4 years, or college degree and
3 years
A NM 3 years, or college degree and
3 years
AMEX 4 years, or college degree and
3 years
or
UMEX Certification
Total Number of
Activities Completed
15 (15 of which are
modifications)
15 (10 of which are
installations, 5 of which are
modifications)
15 (15 of which are
installations)
None
15 (15 of which are
installations)
None
15 (15 of which are removals)
None
20 (10 of which are
installations, 10 of which are
modifications) ;
15 (10 of which are
installations, 5 of which are
modifications)
15 (15 of which are removals)
20 (20 of which are
modifications)
15 (15 of which are
modifications)
15 (10 of which are
installations, 5 of which are
modifications)
None
(2069751 No
245-23
-------
25 § 245.111 ENVIRONMENTAL PROTECTION Pt. I
Total Experience or Total Number of
Category Education plus Experience Activities Completed
AMeM 4 years, or college degree and 20 (20 of which are
3 years modifications)
ACvl 4 years, or college degree and 20 (10 of which are
3 years installations, 10 of which are
modifications)
TL 3 years 15 (15 of which are tank
- linings)
(b) The total number of activities completed required by subsection (a) shall
have been completed within the 7-year period immediately prior to submitting the
application for certification. The activities shall have been completed in compli-
ance with Federal and State requirements and the applicant shall have had sub-
stantial personal involvement at the storage tank site in the activities. Noncerti-
fied individuals may work at the site but the certified installer is directly
responsible to assure that the activities are conducted properly. This work quali-
fies toward the total number of activities completed requirements.
(c) A college degree being substituted for experience, shall be in civil engi-
neering, mechanical engineering, environmental engineering, petroleum engineer-
ing, chemical engineering, structural engineering or geotechnical engineering.
(d) The total experience requirement for underground storage tanktank
tightness tester (UTT) shall be demonstrated through the submission of proof of
successful completion of a training program sponsored or approved by the
Department. Successful completion means attendance at all sessions of training
and attainment of a minimum grade of 90% on all sections of the tests given as
a part of the training course.
(e) Except for UTT, the total experience requirement is experience gained
working at a storage tank site while working towards the Total Number of Activi:
ties Completed requirement. .
(f) In the category for aboveground field constructed metallic storage tank
{AFMX}, for installation activities involving tanks greater than 90 feet in diam-
eter, each installation activity shall count as two installations for purposes of
meeting the total number of activities requirement.
Source
The provisions of this § 245.111 amended December 23, 1994, effective December 24, 1994, 24
Pa.B, 6515; corrected January 6, 1995, effective December 24, 1994, 25 Pa.B. 17. Immediately pre-
ceding text appears at serial pages (162561) to (162563). ,
245-24 -
-------
Ch. 245
SPILL PREVENTION PROGRAM
25 §245.112
Cross References
This section cited in 25 Pa. Code § 245.102 (relating to requirement for certification); 25 Pa. Code
§ 245.103 (relating to phase-in from interim certification); and 25 Pa. Code § 245.104 (relating to
application for installer or inspector certification).
§ 245.112. Certification of inspectors.
(a) An inspector certification authorizes the person to whom,it is issued to
conduct tank inspection activities for storage tank systems and storage tank facili-
ties in one of more of the categories in subsection (b).
(b) Inspector certifications may be issued for the following categories:
(1) IUMUnderground manufactured storage tank system and storage
tank facility.
(2) IUFUnderground field constructed storage tank system and storage
tank facility.
(3) I AMAboveground manufactured storage tank system and storage
tank facility.
(4) IAFAboveground field constructed storage tank system and storage
tank facility.
Cross References
This section cited in 25 Pa. Code § 245.102 (relating to requirement for certification); and 25
Pa. Code § 245.103 (relating to phase-in from interim certification).
§ 245.113. Certified inspector experience and qualifications.
(a) An applicant shall meet the following minimum experience or education
requirements, or both, and have completed the required number of activities in
the appropriate category for an inspector certification:
Total Experience and
Qualification or Education
Category plus Experience
IUM 1. 4 years, or college degree
and 2 years
2. Department approved tank
tightness familiarization course
or UTT certification
or
IUF certification and
Department approved tank
tightness familiarization course
or UTT certification
Total Number of
Activities Completed
20 (10 of which are
installations, 10 of which are
major modifications)
None
245-25
-------
25 §245.113
ENVIRONMENTAL PROTECTION
PL I
Category
IUF
IAM
IAF
Total Experience and
Qualification or Education
plus Experience
1.4 years, or college degree
and 2 years
2. Nondestructive testing level
2 certification using current
ASNT Recommended Practice
(SNT-TC-1 A)
or
IAF Certification
1. .4 years, or college degree
and 2 years
2. Nondestructive testing level
2 certification using current
ASNT Recommended Practice
(SNT-TC-1 A) or Department
approved API 653 training
course or API 653 certification
or
IAF Certification
1.4 years, or college degree
and 2 years
2. Nondestructive testing level
2 certification using current
ASNT Recommended Practice
(SNT-TC-1 A) or Department:
approved API 653 training
course or API 653 certification
Total Number of
, Activities Completed
20 (1.0 of which are
installations, 10 of which are
major modifications)
None
20 (10 of which are
installations and 10 of which
are major modifications, or all
of which are operations or
service inspections under API
653 standards)
None
20 (10 of which are
installations and 10 of which
are major modifications, or all
of which are operations or .
service inspections under API
653 standards)
(b) The total number of activities completed required by subsection (a) shall
have been completed within the 7-year period immediately prior to submitting the
application for certification. The activities shall have been completed in compli-
ance with Federal and State requirements and the applicant shall have had sub-
stantial personal involvement at the storage tank site in the activities.
(c) A college degree being substituted for experience shall be in civil engi-
neering, mechanical engineeririg, environmental engineering, petroleum engineer-
ing, chemical engineering, structural engineering, gedtechnical engineering,
hydrology, geology or environmental studies.
(d) The total number of activities completed required by subsection (a) may
be met through the conducting of tank handling or inspection activities. Noncer-
245-26
-------
Ch. 245 SPILL PREVENTION PROGRAM 25 § 245.114
tified individuals may work at the site but the certified inspector is directly
responsible to assure that the activities are conducted properly. This work quali-
fies toward the total number of activities completed requirements.
(e) The total experience requirement is experience gained working at a stor-
age tank site while working towards the Total Number of Activities Completed
requirement. ;
Source
The provisions of this § 245.113 amended December 23, 1994, effective December 24, 1994, 24
Pa.B. 6515. Immediately preceding text appears at serial pages (162563) to (162565).
Cross References
This section cited in 25 Pa. Code § 245.102 (relating to require'ment for certification); 25 Pa. Code
§ 245.103 (relating to phase-in from interim certification); and 25 Pa. Code § 245.104 (relating to
application for installer or inspector certification).
§ 245.114. Renewal and amendment of certifications.
(a) Except as provided in § 245.103 (relating to phase-in from interim certi-
fication), certification shall be for 3 years from the date of issuance unless sus-
pended or revoked before that date. An applicant for renewal shall:
(1) Submit a completed application for renewal to the Department at least
120 days prior to the renewal date.
(2) Successfully complete a training program sponsored or approved by die
Department. Successful completion means attendance at all sessions of training
and attainment of a minimum grade of 90% on all sections of all tests given as
part of the training program.
(b) A certified installer or certified inspector shall notify the Department and
seek amendment of the certification from the Department whenever:
(1) There is a change in the information provided in the application for the
certification. This request shall be made within 14 days from the date of a
change in information.
(2) The certified installer or certified inspector wishes to conduct tank
handling or inspection activities in installer or inspector certification categories
other than those-approved by the Department as set forth on the certification.
(3) The certified installer or certified inspector wishes to eliminate installer
or inspector certification categories from the certification.
(c) Certified installers or certified inspectors required to amend their certifi-
cations in accordance with subsection (b)(l) or (3) shall apply for amendment on
a form provided by the Department.
(d) Certified installers or certified inspectors required to amend their certifi-
cations in accordance with subsection (b)(2) shall comply with the applicable
requirements of this chapter related to application, experience, qualifications and
examination.
-. 245-27
(2069791 Nn
-------
25 § 245.121 ENVIRONMENTAL PROTECTION - Pt. I
COMPANY CERTIFICATION
§ 245.121. Certification of companies.
After March 23, 1992 a company may not perform or employ a certified
installer or certified inspector to perform tank handling or inspection activities
unless the company holds a valid certification issued by the Department under
this chapter and the company verifies that the certified installer or certified
inspector holds a valid certification issued under this chapter for the appropriate
category. ;
'/..--, :" . " ' ' Source - ""- - - - .
The provisions of this §'245.121 adopted September 20, 1991, effective September 21, 1991, 21
Pa.B. 4345; corrected September 27, 1991, effective September 21, 1991, 21 Pa.B. 4405.
§ 245.122. Applications for company certification.
(a) Applications for certification shall be submitted to the Department on
forms provided by the Department and shall include information that will enable
the Department to determine if issuance of the certification shall conform to the
requirements of the act and this chapter. The following information shall be
included:
(1) The full name, address and telephone number of the company.
(2) The names held.by the company within the previous 7 years.
(3) A summary of the previous tank handling and inspection activities per-
formed by the company and the officers of the company over the 7-year period
immediately preceding the application.
(4) Identification of industry or government licenses or certifications held
by the company .and the officers of the company relating to underground or
aboveground storage tanks.
(5) The names and certification numbers of all certified installers and cer-
tified inspectors employed by the company.
(6) A statement signed by a person authorized to bind the company certi-
fying that the company:
(i) Has obtained a copy of the act and this chapter.
(ii) Will comply with the act and this chapter and will direct the
employes, principals and agents of the company to perform tank handling
and inspection activities in a manner that is consistent with the act and this
chapter.
(7) Other information necessary for a determination whether the Jssuance
of a certification conforms to the requirements of the act and this chapter. v
(b) Applications shall be complete upon submission.
,;>' 245-28 ' . ' '
-------
Ch. 245 SPILL PREVENTION PROGRAM 25 .§ 245.123
§ 245.123. Suspension of company certification.
(a) The Department may suspend the certification of a certified company for
good cause, which includes, but is not limited to:
(1) A violation of the act or this chapter by the company or a certified
installer or certified inspector employed by the company.
(2) Incompetency on the part of the company as evidenced by errors in
executing duties and responsibilities for which the certification was issued.
(3) Failure to meet one or more of the standards of performance in
§ 245.132 (relating to standards of performance).
(b) The Department may reinstate the certification if the following apply:
(1) The certified company and certified installers and certified inspectors
employed by the certified company are competent to execute the duties and
responsibilities for which certification was issued.
(2) The cause for the suspension has been removed.
(c) Suspension of a certification by the Department shall prevent a company
from conducting tank handling or inspection activities during the suspension.
§ 245.124. Revocation of company certification.
(a) The Department may revoke the certification of a certified company for
one or more of the following conditions:
(1) A willful disregard for, or willful or repeated violations of the act or
this chapter.
(2) . The certification of an installer or inspector employed by the company
is revoked. ,
(3) There has been a prior suspension of,the certification.
(b) Revocation of a certification by the Department shall prevent a company
from conducting tank handling or inspection activities.
§ 245.125. Renewal and amendment of company certification.
(a) Company certification shall be for 3 years from the date of issuance
unless suspended or revoked before that date. An applicant for renewal shall sub-
mit a completed application for renewal to the Department at least 120 days prior
to the renewal date.
(b) A certified company shall notify the Department and file an amendment
to its company certification on a form approved by the Department whenever
there is a change in the information provided in the application for the certifica-
tion. !
245-29
-------
25 § 245.131 ENVIRONMENTAL PROTECTION Pt. I
STANDARDS FOR PERFORMANCE
§ 245.131. Validity of certification.
A certificate will not be valid, jf it is obtained through fraud, deceit or the sub-
mission of inaccurate data or qualifications.
§ 245.132. Standards of performance.
(a) Certified companies, certified installers and certified inspectors shall:
(1) Maintain manufacturers, American Society of Nondestructive Testing
(ASNT), American Petroleum Institute/American Society of Mechanical Engi-
neers, Underwriters Laboratory, EPA, and Department technical and adminis-
trative, specifications and manuals which pertain to the categories for which
certification was issued. This material is available from the following sources:
(i) ASNT, 1711 Arlingate Lane, Post Office Box 28518, Columbus
Ohio 43228-0518. '
(ii) American Petroleum Institute, 2535 One Main Place, Dallas TX
75202-3904
(iii) American Society of Mechanical Engineers, 345 East 47th Street
New York, NY 10017. - -
(iv) Underwriters Laboratory, Suite 400, 818 Eighteenth Street,- N. W.,
Washington, D. C. 20006.
(v) Environmental Protection Agency, Region III, UST/LUST Section
(3HW63), 841 Chestnut Building, Philadelphia, Pennsylvania 19107.
(vi) Department of Environmental Resources,, Division of Storage
Tanks, 400 Market Street, Post Office Box 8762, Harrisburg, Pennsylvania
17105-8762.
(2) Complete and file with the Department on a form provided by the
Department a certification that the tank handling activity or inspection activity
conducted by the certified installer or certified inspector meets the require-
ments of the act and this part.
(3) Maintain complete records of tank handling and inspection activities.
(4) Report to the Department a release of a regulated substance or con-
firmed or suspected contamination of soil, surface or groundwater from regu-
lated substances observed while, performing services as a certified installer or
certified inspector.
(5) Perform certified installer or certified inspector activities so that there
is no release of regulated substances or contamination of soil, surface or
groundwater caused by regulated substances from a storage tank system or
storage tank facility.
(6) Not affix the certified installer's or certified inspector's signature or
certification number to documentation concerning the installation or inspection
of a component of a storage tank system project or to documentation concern-
ing tank handling or inspection activity, unless:
245-30 ;
-------
-------
Appendix B
Pennsylvania Public Information Request Form
-------
3930-FM-WC0019 2/97
COMMONWEALTH OF PENNSYLVANIA
DEPARTMENT OF ENVIRONMENTAL PROTECTION
BUREAU OF WATERSHED CONSERVATION
DIVISION OF STORAGE TANKS
1,
2.
3.
4.
5.
6.
7.
8.
9.
10.
11.
12.
13.
14.
15.
16.
17.
18.
19.
20.
PUBLIC INFORMATION REQUEST
Act 32 w/Amendments
Certification Company Application
Certified Company Amendment Form
Certification Install/Inspect Application ,
Certified Install/Inspect Amendment Form
Certification Training Course Approval Application
DEP Approved Training Courses - Certification
DEP Certified Inspection Companies
DEP Certified Tank Handling Companies
DEP Regulated AST & UST Listing - Order Form (STDS List)
EPA -Controlling UST Cleanup Costs - Fact Sheets 1-5
EPA- Dollars & Sense
EPA- Federal Register- Financial Requirements
EPA- Federal Register-Technical Requirements
EPA Environmental Fact Sheet - Lender Liability Rule for USTs with
40 CFR Part 280 attached
EPA -Musts for USTs
EPA -OH No!
EPA - Regional & State UST/LUST Program Contacts
EPA - Straight Talk On Tanks
Fact Sheets: ,
#1 Storage Tank & Spill Prevention Act
#2 Certification of Storage Tank Installers & Inspectors
#2A Understanding the Certification Categories
#3 Storage Tank Company Certification
#4 Storage Tank Training Course Approval
#6 Leak Detection: Meeting the Requirements
#7 Upgrading Underground Storage Tanks
#8 Stage II Vapor Recovery Systems
#9 Storage Tank Registration
#10 Developing a Spill Prevention Response Plan
#1 1 How to Detect Leaks Using Inventory Control
#12 How to Detect Leaks Using Tank Tightness Testing
#13 How to Detect Leaks In Underground Piping Systems
#16 Financial Responsibility for USTs
#17 Tips for Residential Heating Oil Tank Owners -ASTS
#18 Farm Storage Tank Requirements
REVISION
DATE
6/95
11/95
11/95
1/95
11/95
2/96
current
list
12/95
12/95
6/96
5/92
7/95
10/88
9/88
9/95
7/95
12/88
2/95
7/95
8/96
12/95
12/95
12/95
12/95
12/95
12/95
9/95
8/96
12/95
12/95
11/95 .
12/95
12/95
12/95
COPY
NEEDED
.
- -
-------
21.
22.
23.
24.
25.
26.
27.
28.
29.
30.
31.
32.
33.
34.
35.
PUBLIC INFORMATION REQUEST (cont'd)
Introduction to Statistical Inventory Recbncilation for USTs
Guidelines Emergency Spill Response Plan
Hazardous Substance List -
PA Code Title 25, Chapter 245-Certif ication, Corrective Action and
Tinancial Responsibility
Reference List (Industry Codes / Associations)
Registration Form for Storage Tanks
Storage Tank Regional List
Storage Tank Monitor Newsletter
Storage Tank Regional Map :
Technical Reference Manual Installers & Inspectors -UST's
Technical Reference Manual Installers & Inspectors -AST's
EPA Manual Tank Gauging
EPA Doing Inventory Control Right for USTs
EPA Don't Wait Until 1998- Spill, Overfill and Corrosion Protection
for USTs
List of Leak Detection Evaluation (Manufacturer's List)
REVISION
DATE
'. 9/95
7/95
, 9/95
3/95
10/93
' 9/95 ,
3/95
Current
Issue
8/95
. 1 1/93
11/93
4/94
Current
list price
COPY
NEEDED
-
D ADDITIONAL REQUEST FORM
NAME
ADDRESS
Mail To:
DEPT OF ENVIRONMENTAL PROTECTION
BUREAU OF WATERSHED CONSERVATION
DIVISION OF STORAGE TANKS
PO BOX 8762
HARRISBURGPA 17105-8762
-2-
-------
-------
Appendix C
Installer And Inspector Certification
Application Form
C-1
-------
-------
3630-FM-WQ0206 Rev. 7/96
. , '...". Commonwealth of Pennsylvania
Department of Environmental Protection -.. .
INSTALLER AND INSPECTOR CERTIFICATION APPLICATION FORM
DATE
Appl.
Appr.
Appl.
Denied
Application No.
Client ID No.
Employer ID No.
Certification ID No.
SECTION 1
APPLICATION TYPE:
(check ONLY one)
(i) Initial Certification (first time application under Chapter 245)
(ii) Modification of Existing Certification (add or delete certification categories)
(iii) Renewal of Existing Certification categories
Your current Certification ID # is
SECTION 2 ... .
Is this application in response to a previous denial of certification under Chapter 245 of DEP's regulations?
Yes
No
If yes, the Application Number on the notification of denial is
SECTIONS
APPLICANT INFORMATION: Social Security #.
Applicant Name
Home Mailing Address
City
State
Last
First
M.I.
Z'P.
Phone (_
Ext.
Municipality _
(City.Twp; Boro.)
County
SECTION 4 /
CURRENT EMPLOYER INFORMATION:
Dates of Employment:
Current Employer Name
From / /To / /
' - '.-.-' ' ' -"'..''.'
Mailinq Address
' . * ' . ' ' . '-,
City
State
Municipality
. - '
3p Phone ( ) Ext.
County
(gty, Twp. Boro.) Company Certification ID
-------
3630-FM-WQ0206 Rev. 7/96 Page 2
Social Security # '- -
SECTION s
SEND CORRESPONDENCE TO: Applicant Address Employer Address -
If more than one employer, Employer name
Only ONE address can be used for mailing: ,
SECTIONS
(a) CERTIFICATION BEING REQUESTED FOR INITIAL APPROVAL:
Note: Check (below) all the categories desired and for which you are qualified. See attached
Installer/Inspector Description Sheet for descriptions and qualifications for each category.
Applicant must complete a separate Attachment A for each certification category requested.
INSTALLER CATEGORIES INSPECTOR CATEGORIES
Underground Aboveqround Tank Liner . Underground
UMX . AMMX __ TL IUM
UMR AMNX
UTT AMR Aboveground
AFMX 1AM
AFR ; IAF "
AMEX
ACVL '
(b) RENEWAL: .
Note: Carefully check (below) all categories for which you are applying for renewal. Indicate whether
you wish to renew by being actively involved in the category (Attachment A), retesting in the
technical module for this category or if you wish to delete this category. To add new categories,
refer to section 6. (a). When using Attachment A, the applicant must complete a separate
Attachment A for each certification category in which he/she is reguesting renewal.
METHOD OF RENEWAL BEING USED
Attachment A Retest Delete
INSTALLER CATEGORIES:
Underground
UMX
UMR
UTT
Aboveqround
AMMX
AMNX
AMR
AFMX
AFR
AMEX
ACVL
Underqround/Aboveqround
TL
INSPECTOR CATEGORIES:
Underground
IUM .....
Aboveqround
1AM t
IAF
-------
3630-FIM-WQ0206 Rev.7/96 . Page3
Social Security # - -
SECTION 7 . ;'' ~~~ ~~~" . ' ~~
RECIPROCITY ALLOWANCE: , /
None Available .'.-'. .
At the present time no state is approved for Pennsylvania Installer/Inspector Certification reciprocity allowance:
SECTIONS
EXAMINATION LOCATION PREFERENCE:
Check one location you would prefer for the certification examination. .
.-'".,-. Pittsburgh _ Philadelphia
Harrisburg ^ Allentown .
SECTION 9 "/'.... "'";.'' V '.'.--' '- . ' .. - " ' ' .
This section must be completed and notarized by the applicant
I hereby certify that the statements made in this application and all attached,documents are true and accurate
to the best of my knowledge. I understand that any statement made by me that is not accurate may serve as
grounds to invalidate any certificate. .
, Signatureof the Applicant (In Ink) - -Date
AFFIDAVIT '--.
STATE - -."'.'
COUNTY OF ' SS
Sworn to and Subscribed Before Me This
Day of . ' . 19_,
NOTARY
SEAL
Notary Public
This Commission Expires
The Department reserves the right to request additional information necessary to determine whether the
issuance of a certification conforms to Act 32 and Chapter 245.
Retain a copy of the application and all attachments for your records and send the application materials to:
Pennsylvania Department of Environmental Protection
; P.O. Box 8763
Harrisburg, PA 17105
-------
-------
3630-FM-WQ0206a Rev7/96 Pagel
/ COMMONWEALTH OF PENNSYLVANIA ,
DEPARTMENT OF ENVIRONMENTAL PROTECTION
CERTIFIED INSTALLER AND INSPECTOR AMENDMENT FORM
1} INDIVIDUAL INFORMATION: Social Security # , - -
Name ' , \ V. Certification Number:
Last First M.I.
, Home Address
.City
" . State
Municipality
Zip
Phone (, )
County
ext.
(City.Twp.,Boro.)i
Is this a new address Yes ". No
Address previously reported to DEP (If you are reporting anew address):
City
State __^_ Zip Phone ( ) ext.
Municipality ' County ,__
(City/Twp.,Boro.) . ' .
2. CURRENT EMPLOYER INFORMATION:
Dates of Employment: From / /'...- To
Current Employer Name
Address
City
State - Zip '.-'.. Phone ( ) ".'-.' ext.
Municipality . ' - County : .
(city,TwP..Boro.) Company Certification ID - -' .
Complete only when requesting Amendment of Existing Certification regarding Employer status:
(Choose One Only) Adding Employer Changing Employer
If Changing Employer, complete the following:
Name of Previous Employer - ... '
Date Terminated from that Employer -.: / " /
3. MAILING INFORMATION:
' ' .'-.. - ^ '
Send correspondence to (choose only one): Applicant Address Employer Address
If more than one employer, employer name '.:. '''-. . . - - .
I hereby certify that information provided on this amendment is true and accurate to the best of my knowledge and
understand that providing false information may serve as grounds to invalidate my certification.
Signature - '- ' . -;. Date ,__ -
Note: Use this Amendment Form only for changing address, changing mailing address, changing employer or
adding employer. ~ .'._.-
-------
3630-FM-WQ0206a Rev7/9S
Page 2
Retain acopy of this Amendment documentforyour records and send, the original Amendment Form to:
Pennsylvania Department of Environmental Protection
P. O. Box 8763
Harrisburg, PA 17105-8763
This section for Official
Action Date
Reviewed
Department Use Only
Initial Comment
Posted
Other
File ' .
-------
3630-FM-WQ0206b Rev. 7/96 , .
Installer/Inspector Guidance Sheet .
for Completing the
Installer/Inspector Certification Application Form
Unless otherwise specified, all attachments regarding additional information must be 8 1/2 X 11 inches in size
and contain the applicant name, Social Security #, and application section # in the upper right corner of the
page.- ; - '/, ' '' ;-, ... - '.' , - :. _ ,- -
Unless otherwise specified, a\t certificates or equivalent proofs of training or certification requested on the
Application Form or Attachment A must specifically name the applicant.
SECTION 1. The applicant is requested to check only one of the of the options for application type:
Initial Certification.- Check this option if you have never been granted installer or inspector certification
by the Department under Chapter 245. . .
Note: Interim certification as an installer or inspector is not considered as certification under
Chapter245. -
Modification of Existing Certification - Check this option if you are currently certified under Chapter 245
and wish to add or delete one or more categories on your certification.
To add certification categories, provide your certification ID number in section 1., your full name, Social
Security Number and current home address number in section 3., your Employer Information in Section 4.,
and place an "X" only in the space(s) associated with the category(s) in section 6. that you wish to add.
You must then supply the information necessary to qualify for Initial Certification in those categories.
You may also check this option to delete certification categories that you no longer wish to hold. On the
Application Form, provide your certification ID number in section .1., your full name and Social Security
number in section 3., and place the letter "D" in the space associated with the category in section 6. that
you now hold, but wish to delete.
Renewal of Existing Certification Categories - Use this section to indicate Certification Renewal and show
the method and categories for which you are requesting Certification Renewal in Section 6b.
Use Installer/Inspector Amendment Form (attached) to amend existing certification relating to the
applicant or employer information. '
An Amendment of Existing Certification is required for changes of information provided on the
Application Form in regard to:
"ApplicantInformation" (Sections.)
"Employer Information" (Section 4.) .
SECTION 2. Check whether this application is in response to a previous denial of certification.
Any applicant who is denied certification in any category, either as a result of requesting Initial
Certification or the result of requesting a Modification to Existing Certification, must submit a new
Application Form if that applicant wishes to again request certification for the denied category. The
application must be in the form of a request for Initial Certification if no certification was granted, or as,a
request for a Modification to Existing Certification if the applicant currently holds certification under
Chapter 245 (See section 1. above). As a part of any application submission in response to a denial of
-1-
-------
3630-FM-WQ0206b Rev. 7/96 . .
certification, the applicant must check Yes in section 2. and provide-,the application number from the
denial notification.
'
List any other employers together with the information required in this section on an Installer/Inspector
Amendment Form{s) (attached).
If requesting an Amendment of Existing Certification regarding Employer Status, check either Adding
Employer or Changing Employer. If changing employer due to termination with a previous employer,
indicate the name of the previous employer and date of termination.
SECTION 6.(a) A certified installer is defined as a person certified by the Department to install, modify or
remove storage tanks. A certified installer may be an employe of a tank owner.
Activities to install, modify or remove storage tanks are collectively referred to as tank handling activities.
A certified inspector is defined as a person certified by the Department to conduct inspections of tanks or
tank facilities. A certified inspector may not be an employee of a tank owner.
Activities to conduct inspections are collectively referred to as inspection activities.
The Application Form lists 11 categories of certification for installers and three certification categories for
inspectors. These categories reflect separate specialities relating to individuals who conduct tank
handling and inspection activities with regard to underground or aboveground storage tanks (See the
*itta-?.ed InstaHer/lnsPertor Description Sheet). The categories are designed to allow the applicant
flexibility in tailoring certification to his or her specific needs. Each applicant may select any category
desired for which the applicant is qualified by virtue of experience and qualifications requirements as
established in Chapter 245, Section 245.111 or 245.113 for the specific category.
Place an "X" next to the categories desired for certification.
For example, an applicant may wish to remove underground storage tanks and to install underground
storage tanks, underground piping, corrosion protection systems, release detection systems, and spill and
overfill protection systems. In this case the applicant would place an "X" next to the following:
UMR Underground storage tank-removal .
UMX Underground storage tank system-installation, modification
Or, for example, an applicant may wish to inspect underground.storage tank systems In this case the
applicant would place an "X" nextto the following:
IUM Underground storage tank system and storage tank facility
SECTION 6.(b) Place and "x" next.to the category and below the method which is being used to renew a
certification category in which you are presently permanently certified. If you wish to delete a category place
an "x" nextto the category and in the delete column.
Renewal by Attachment A requires an Attachment A to be completed for that category indicating
activities performed during the time since permanent certification was obtained.
(See the Attachment Guidance Sheet for completing Attachment A, keeping in mind the permanent
certification period and the dates involved.)
-2-
-------
3630-FM-WQ0206b Rev. 7/96
Renewal by Retest may be used if the activities completed in the category since becoming permanently
certified are not sufficient to qualify for renewal by active involvement as indicated on .an enclosed
Attachment A. Applicants using this option will be contacted by the testing contractor to schedule a
retake of the technical exam for the category involved.
SECTION 7. RECIPROCITY ALLOWANCE - NOT APPLICABLE AT THE PRESENT TIME. The granting of a
reciprocity allowance by the Department was established to exempt an applicant from taking the technical
sections of the certification examination for those certification categories deemed by the Department to be
equivalent to the certification issued to the applicant by the other certification program. For an applicant to
be granted the reciprocity allowance, the certification program being requested for recognition must be
approved by the. Department. At the present time no state certification program has been approved by the
Department.
SECTION 8. To aid the Department in scheduling examinations, the applicant must indicate the examination
location preferred. .
Retain a copy of the application and all attachments for your records and send the completed application
materialsto: "
, , Pennsylvania Department of Environmental Protection
- ~ P.O.Box8763
Harrisburg, PA 17105
Questions may be directed in writing to this address or to telephone number:
{717)772-5599
-3-
-------
-------
3630-FM-WQ0206C Rev. 7/96
Description Sheet for DEP Certified Installer and Inspector Categories and Minimum
Experience and Education Qualifications
Six months experience may be accredited to an installer applicant who successfully completes a
Department approved training program applicable to the certification category being requested. The six months
experience shall be accredited to the total years of experience required by Subsection (a), except for applicants
who are substituting a college degree for experience.
INSTALLER CATEGORIES
Category
Code
UNIX
UMR
UTT
AMMX
AMNX
AMR
AFMX
APR
AMEX
Description
Underground storage tank system
installation and modification
Underground storage tank removal
Underground storage tank tightness tester.
Tightness testing activities involved in
conducting and interpreting results of
volumetric and nonvolumetric tests on
underground storage tank systems or
storage tank facilities.
Aboveground manufactured metallic
storage tank installation and modification
Aboveground Nonmetallic Storage Tank -
Installation and Modification
Aboveground manufactured storage tank
removal
Aboveground field constructed metallic
storage tank installation, modification and
removal
-Aboveground field constructed storage
tank removal
Aboveground storage tank-mechanical -
installation, modification and removal. _
Mechanical include: valves, fill piping, ~
suction piping, foam system piping, pumps,
corrosion protection, release detection,
spill and overflow prevention and other
appurtenances that are components of the
storage tank system or facility.
Total Experience
or Education
Plus Experience
2 yrs.. or college
degree and 1 yr.
2 yrs. or college
degree and 1 yr.
Department
approved
train ing with
testing
equipment
manufacturer's
certification.
2 yrs. or college
degree and 1 yr.
orUMX
certification or
AFMX
certification
2 yrs. or college
degree and 1 yr.
2 yrs. or college
degree and 1 yr.
or UMR
certification or
APR certification
3 yrs. or college
degree and 2 yrs.
2 yrs. or college
degree and 1 yr.
3 yrs. or college
degree and 2 yrs.
Total Number of Activities For
Initial Approval or Renewal
15 installations.
15 removals
1 0 Tank tightness tests required
for renewal only '
15 installations.
None
None
1 5 which may be installations or
major modifications.
15 removals
None
None
20^vhich may be installations or
major modifications
15 removals.
20 10 installations and
10 modifications.
-1-
-------
3630-FM-WQ0206C Rev. 7/96
Description Sheet for DEP Certified Installer and Inspector Categories and Minimum
Experience and Education Qualifications
INSTALLER CATEGORIES
Category
Code
ACVL
TL
Description
Aboveground storage tank - civil.
Installation and modification of tank
related structural components such as
foundations, dike walls, field grading,
above and below grade vaults, pump
supports, pipe supports, corrosion
protection systems, and drainage systems
associated with an aboveground tank
system or facility.
Storage tank-liner. Activities involved in
the installation of internal liners for
underground and aboveground storage
tank systems or facilities.
Total Experience
or Education
Plus Experience
3 yrs. or college
degree and 2 yrs.
2 years
Total Number of Activities
20 10 installations, and 10
modifications ;
/'
15 tank linings
INSPECTOR CATEGORIES
Category
Code
Description
Total Experience or Education Plus
Experience
Total Number of Activities
IUM
Underground storage
tank systems and storage
tank facilities.
1. 4 yrs., or college degree and 2 yrs.
2. Department approved tank
tightness familiarization course or
UTT certification.
OR
IAM certification and Department
approved tank tightness familiari-
zation course or UTT certification
20 10 installations and 10
major modifications
(20 operations
inspections for cert.
renewal applicants)
None
IAM
Aboveground
manufactured storage
tank system and storage
tank facilities
OR
4 yrs, or college degree and 2 yrs.
Nondestructive Testing Level 2
certification using currentASNT
recommended practice (SNT-TC-1 A)
or Department approved
aboveground tank inspector.
training course or API 653
Certification
IAF certification
20 which may be any
combination of
installations, major
modifications or
inspections.
None
IAF
Aboveground field
constructed storage tank
systems and storage tank
facilities.
1. 4 yrs, or college degree and 2 yrs.
2. Nondestructive Testing Level 2
certification using current ASNT
recommended practice (SNT-TC-1A)
or Department approved API 653
Training Course or API 653
Certification
20 which may beany
combination of
installations, major
modifications or
inspections under API
653 standards.
-2-
-------
3630-FM-WQ0206d Rev.,7/96 / '
,-"..- Attachment Guidance Sheet for Completing
Attachment A
\ - -' Documentation of Total Experience and Qualification or Education Plus Experience
and
Total Number of Activities Completed
1- A separate copy of a complete Attachment A package (pages 1 through 7) must be attached to the
application form for each certification category being requested. An application requesting a category
for whlch the Attachment A package is incomplete or missing will be denied for the subject category.
2. Refer to the Installer/Inspector Description Sheet for a listing of the category codes to complete this
section. . - ' ~ ,
3a. Indicate the number of years of experience-in the specific certification category being requested This
number must be at least that stated in the "total experience and qualifications or education plus
experience" requirement in Sections 245.111 and 245.113 of Chapter 245 for the category in question in
order for the applicant to be considered qualified for that category. Refer tp Installer/Inspector
Description Sheet for a listing of this information.
The employment history for the years of experience (and substantial involvement) listed in Section 3a
, must be listed in the space provided.. The history dates should be listed as month/year and must cover the
years being considered as experience, but need not be consecutive. If additional space is required to
provide the experience employment history, additional pages may be added to the Attachment A section
of the application.
3b. Six months experience may be accredited to ah installer applicant who successfully completes a
Department approved training program applicable to the certification category being requested The six
months experience shall be accredited to the total years of experience required by subsection (a), except
for applicants who are substituting a college degree for experience.
3c. The applicant may, at his or her option, substitute documentation of acceptable education for part of the
total experience and qualifications" requirement as allowed by Sections 245.111 and 245 113 of
Chapter 245 for the certification category being requested. Refer to Installer/Inspector Description Sheet
for a listing of the "total expedience and qualifications or education plus experience" requirements bv
category. . J
The types of education:that are acceptable as a partial substitute for experience for installer certification
include college degrees in:
civil engineering, mechanical engineering, environmental engineering, petroleum engineering
chemical engineering, structural engineering, or geotechnical engineering.
The types of education that are acceptable as a partial substitute for experience for Inspector certification
include college degrees in: .. .. :
civil engineering, mechanical engineering, environmental engineering, petroleum engineering
chemical engineering, structural engineering, geotechnical engineering, hydrology qeoloqy or
environmental studies. -" ~ »*».». MJ<
4a: In'-.this section, the applicant must provide all the information requested for each activity beinq
documented as completed, for the certification category in question.
This information includes: .
Date activity completed - Provide the month and year the activity being documented was completed.
In order to qualify for certification, the activities completed must have occurred within the seven-year
period immediately prior to submitting the application.
-T-
-------
3S30-FM-WQ0206d Rev. 7/96
Type of activity completed - Enter one appropriate code per line from below.
I Installation (tank handling or inspection associated with installation)
H Modification (tank handling or inspection associated with modification)
P Operations or service inspection performed on a storage tank system or facility
R Removal (tank handling or inspection associated with removal)
Tank Handling Activities are activities in which the applicant has had substantial hands-on personal
involvement at the storage tank site. Supervision or oversight of tank handling activities do not
qualify for initial certification, but will qualify for certification renewal.
Be aware that an activity is considered to be an installation if it involves activities to construct,
reconstruct, or erect the components of a storage tank system or storage tank facility so as to put that
system or facility into service.
Modification involves activities to upgrade, repair, refurbish, or restore any part of an existing
storage tank system or storage tank facility. Major modification activities involve modifications that
alter the design of the storage tank or system and modifications that affect the integrity of the
system as defined at Chapter 245.1: .
For example, activities to install associated piping and a release detection system for a new storage
tank system would be considered installation, whereas, activities to replace associated piping and add
a release detection system for an existing storage tank system would be. considered modification.
Further, the activities conducted by the applicant pertaining to the associated piping and the release
detection system would be considered separate activities. Likewise, activities to install separate
storage tanks would be considered as separate activities.
Inspection of installations, modifications, removals and operations or service inspections also qualify
as activities completed for inspector categories and would be entered as "I", "M", "P", or "R", as
appropriate, in the "Type of activity completed" block. '
System component involved - Enter one appropriate code per line from below.
A Underground storage tank system
F Aboveground manufactured metallic storage tank
G Aboveground nonmetallic storage tank system
H Aboveground field constructed metallic storage tank greater than 90 foot diameter
I Aboveground field constructed metallic storage tank less than or equal to 90 foot diameter
K Aboveground storage tank system mechanical (piping, valves, corrosion protection, release
detection, spill and overfill prevention, etc)
L Aboveground storage tank system civil (foundations, field grading systems, vaults, pump
supports, pipe supports, drainage systems, etc)
M Underground or Aboveground storage tank lining
Brief Description of Activity Completed - Provide a brief description of the specific-activity completed.
In order to qualify for certification, the number of activities completed, the type of activity completed
and the system component involved must be appropriate to the certification category being
requested. (Only one activity code and one component code should appear on each line.)
-2-
-------
3630-FM-WQ0206d Rev. 7/96
For example, for an applicant to qualify for Aboveground storage tank - mechanical -
installation/modification {AMEX}, he or she would have to list at least 20 activities completed within
theJast seven years, 10 installations and 10 modifications related to aboveground storage tank
system piping, valves, corrosion protection systems, release detection systems, spill and overfill
prevention systems, or other storage tank mechanical appurtenances.
Additional activities completed may be listed on a separate sheet of paper. This sheet must be 8 1/2x11
inches in size, Jabeled'as "4a. Additional Activities Completed" and include the applicant's name and
social security number in the upper right corner of the page as they appear ori the application form The
information required in section 4b. must also be provided for each additional activity submitted.
4b. In this section the applicant must provide all information as to the storage tank facility involved and the
applicant's employer for each of the activities documented in section 4a. The storage tank facility and
employer information listed under each activity number in section 4b. must correspond to the number of
the activity being documented in section 4aT
For example, an applicant documenting the installation of an underground storage tank in item
number 1 of section 4a. must provide in item number 1 of section 4b, the required information
regarding the storage tank facility where the storage tank was installed and the applicant's employer
at the time of the installation. ', -
In cases where the applicant completed more than one activity at the same facility, the applicant may
enter Same as 'n'" (where 'n' is the "activity number" of first activity at that facility) in the "Owner
Name block for that activity in 4b. In cases where the applicant completed more than one activity under
the same employer, the applicant may follow the same procedure by entering "Same as 'n' "(where 'n' is
the activity number" for the first listing of that employer) in the "Company name" block.
If the applicant's employer for an activity completed in Section 4a is his present employer then a
company official must sign the form, confirming and verifying the activity. A signature from past
employers is not required. " ~
For activities completed on regulated storage tank systems in Pennsylvania after September 21, 1991 the
certification number of the individual under whose supervision the activity was completed must appear
under the employer in Section 4b. No PA Certification Numbers are required for activities not completed
in Pennsylvania. (For example: activities completed in another state, such as New York would not
require verification of PA certifications.) - '
The telephone number for the contact or facility for which the activity was completed must aooear
under Section 4b. .. - '. r~~~ ~ ~* tiHH
All certificates or equivalent proofs of training or certification requested in Sections 5 and 6 must
specifically name the applicant. - - .
5' J;0?letion of this section relates to certification for "Underground storage tank - tank tightness tester"
{UTT} or Department approved familiarization course for IUM certification. Section 245111 of
Chapter 245 requires that art applicant requesting certification in these categories submit proof of
successful completion of a training program sponsored or approved by the Department. Training can be
from a manufacturer, private sector organization or business, providing the training program is approved
by the Department. ^
To document qualification for certification jn this category the applicant must provide the name and
;, , training approval number of the tank tightness testing or familiarization training program attended and
the date the program Was completed. The applicant must also submit a copy of the current certificate or
other equivalent proof of successful completion of the training program.
6. Completion of this section relates to inspector certification for "Aboveground manufactured storaqe
tank system and storage tank facility" {IAM} and "Aboveground field constructed storage tank system
and storage tank facility" {IAF} .only. Section 245.113 of Chapter 245 requires that an applicant
requesting certification in these categories hold NOT Level 2 certification, API-653 certification or have
-3-
-------
3S30-FM-WQ0206d Rev. 7/96
successfully "completed a Department approved API-653 training course (for IAF) or AST inspection
training program (for 1AM). ,
To document this requirement, the applicant must submit a copy of the current certificate or certification
or other equivalent proof of successful completion of the Department approved API-653 training course.
7. Completion of this section relates to Department approved training being substituted for experience.
Six months experience may be accredited to "an installer applicant who successfully completes a
Department approved training program applicable to the certification category being requested. The six
months experience shall be accredited to the total years of experience required by subsection (a), except
for applicants who are substituting a college degree for experience. Applicants who are substituting a
college degree for total years of experience can not apply the Department approved training program
completion credit. ,
8. Refer to Section 3c
-4-
-------
3630-FNV-WQ0206e Rev. 7/96
***
ATTACHMENT A
DOCUMENTATION OF TOTAL EXPERIENCE AND
QUALIFICATION OR
EDUCATION PLUS EXPERIENCE
AND
TOTAL NUMBER OF ACTIVITIES COMPLETED
IMPORTANT - PLEASE READ THE FOLLOWING ***
Attach to the application a copy of this completed attachment package consisting of pages 1 through 7 for each
categoryiof jnstaller or inspector certification requested.
Make as many copies of this attachment package, prior to completing the information, as necessary to document all
categoriespf installer or inspector certification being requested.
See the Installer/Inspector Description Sheet attached to the application form for descriptions .of installer and
inspector categories and information on minimum qualifications based on education plus experience and total
number of activities completed for each specific installer and inspector category. See the Attachment Guidance Sheet
attheendof this attachment for codes and information on completing this form.
Provide the following information as it appears on the application form: >
1. AppiicantName,
last
first
middle int.
Social Security #
2. CERTIFICATION CATEGORY BEING REQUESTED WITH THIS ATTACHMENT
OFFICIAL USE ONLY
initials
Number of Years of Experience
Adequate for category __
Insufficient # provided __
Required Provided
College Degree
Appropriate to Chapter 245 __
Transcripts verified __
Transcripts acceptable _.
Degree acceptable
Department approved
training appropriate to
category requested '
Training course ,
Department approved
Years of Experience
insufficient because
degree unacceptable
UTT Training
Training course not DEP ;_
approved for the category
Applicant has not shown __
proper proof of completion
Total Number of Activities Completed
Adequate for category
Insufficient # provided
Required Provided
Activity(s) '
Date Activity Corhpleted invalid
Activity(s) ' '
Type Activity Completed
.inappropriate to category
Activity(s)
System Component Involved
inappropriate to category
Activity(s) ;
cannot be properly verified
NOT Level 2 Certification
Applicant has not shown
proper proof of completion
-------
3S30-FM-WQ0206e Rev. 7/96
Social Security #
Page 2
3. DOCUMENTATION OF TOTAL EXPERIENCE OR EDUCATION AND EXPERIENCE
3a. Number of years of experience and substantial involvement in the category being requested '
List employment history for the years of experience stated in 3a. above.
Company Name From To Contact Telephone Number
1.
2.
3.
3b. Requesting six month experience accreditation based on approved training course.
(Complete Section 7 on page 7 of Attachment A).
3c. Is a college degree being substituted for appropriate experience? Yes
If yes, complete Section 8 on Page 7 of Attachment A.
Yes
No
4. DOCUMENTATION OF TOTAL NUMBER OF ACTIVITIES COMPLETED
4a,
No.
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
Date Activity
Completed
(Month/Yr)
Type of
Activity
Completed
(See Codes)
one per line
System
Component
Involved
(See Codes)
one per line
-
Brief Description of Activity Completed
(Do Not Just Re-enter Component Involved)
-
-------
3630,-FM-WQ0206e Rev. 7/96
4b. Storage Tank Facility and Employer Information
Social Security #_
Page?
Complete the information listed below for each activity listed in section 4a. Activity No.'s in 4a. must correspond
to Activity No.'sin 4b. "
StoraqeTank
Wo. 1
Owner Name
Facility Name
Facility
Address -
City
State
OwnerContact «
Contact Phone (
Facility Phone (
No. 2
Owner Name
Facility Name
Facility
Address
City
State
OwnerContact
Contact Phone (
Facility Phone (
No. 3
Owner Name
Fa'cility Name
Facility
Address
City
State .
Owner Contact
Contact Phone (
Facility Phone (
Wo. 4
, Owner Name
Facility Name
Facility
Address -
City
State
OwnerContact
Contact Phone (
Facility Phone (
No. 5
Owner Name
Facility Name
Facility
Address
City
State . ' .
OwnerContact
Contact Phone (
Facility Phone (,
Facility Activity Completed for
^ * - *
Zip
) .":-'.'
) -
Zip
) . .
) - .--..-'
. -' -
Zip
' ) ' -
)
.ZiD
) - ''.'
) -.''-
ZiD '
V
-.)- -
Official Use
Approved
Verified
Approved
Verified
,f
Approved
- . '
Verified
Approved
Verified
Approved
Verified
Applicant's Employer when Activity Completed
Company Name
Company " '
Address
City '
State Zip
Company Contact
Contact Phone ( ) -
Present Company Official Verification -Signature
1 ' - " ' ' . '
Worked under Certified Individual - PA Cert No.
Company Name
Company
Address
City
State Zip
Company Contact . -
Contact Phone ( , ) -
Present Company Official Verification -Signature
Worked under Certified Individual -PA Cert No.
Company Name
Company . ~
Address .
City -.".-..
State Zip
Company Contact -
Contact Phone ( ) -
Present Company Official Verification -Signature
Worked under Certified Individual - PA Cert No.
Company Name -
Company
Address ,
City ' . ' =-
State Zip .
Company Contact
Contact Phone ( )
Present Company Official Verification -Signature
Worked under Certified Individual - PA Cert No.
Company Name
Company , "
Address - ' -
City
State Zip
Company Contact '
Contact Phone f ) -
Present Company Official Verification -Signature
Worked under Certified Individual - PA Cert No.
-------
3630-FM-WQ0206e Rev. 7/96
4b. Storage Tank Facility and Employer Information (continued)
Social Security #
Page 4
StoraqeTank
No. 6
Owner Name
Facility Name '
Facilitv
Address
Citv
State
Owner Contact
Contact Phone (
Facility Phone (
Wo. 7
Owner Name
Facilitv Name
Facilitv
Address
City
State
Owner Contact
Contact Phone (
Facility Phone (
No. 8
Owner Name
Facility Name
Facilitv
Address
Citv
State
Owner Contact
Contact Phone (
Facility Phone (
Wo. 9
Owner Name
Facility Name
Facility
Address
Citv
State
Owner Contact
Contact Phone (
Facility Phone (
Wo. 70
Owner Name
Facility Name
Facility
Address
Citv
State
Owner Contact
Contact Phone C
Facility Phone (
Facilitv Activity Completed for
ZiD
)
)
ZiD
)
>
ZiD
)
)
ZiD
)
)
.
ZiD
)
)
Official Use
Approved
Verified '
Approved
Verified
Approved
Verified
Approved
Verified
Approved
Verified
Applicant's Employer when Activity Completed
Company Name . -
Company ,
Address
City
State ZiD
Company Contact
Contact Phone ('-,) -
Present Company Official Verification -Signature
Worked under Certified Individual - PA Cert No.
Company Name
Company
Address
Citv
State Zip
Company Contact
Contact Phone ( ) -
Present Company Official Verification -Signature
Worked under Certified Individual - PA Cert No.
Company Name
Company '
Address
Citv
State Zip
Company Contact
Contact Phone ( ) -
Present Company Official Verification -Signature
Worked under Certified Individual - PA Cert No.
Company Name
Company "
Address
Citv
State Zip
Company Contact
Contact Phone ( ) ' - .
Present Company Official Verification -Signature
Worked under Certified Individual - PA Cert No.
Company Name
Company
Address
City
State Zip
Company Contact '
Contact Phone ( ") -
Present Company Official Verification -Signature
Worked under Certified Individual - PA Cert No.
-------
B630-FM-WQ02q6e Rev. 7/96
i
*
4b. Storage Tank Facility and Employer Information (continued)
Social Security #
Page5
Storage Tank Facility Activity Completed for
Wo. 11
Owner Name
--".-. '
Facility Name
Facility .
Address
City ,
State
Zip
.Owner Contact ''--. ',
Contact Phone (
) , -." '-
. Facility Phone ( ) ...,-'
Wo. 12
Owner Name
Facility Name .
Facility ;
Address .
City-
State
ZiD
OwnerContact "
Contact Phone ( ) -
Facility Phone ( ) '-
Wo. 13
: Owner Name
f ' ' " r
Facility Name
Facility. .
Address
.City
State
Zip
OwnerContact ..''"
Contact Phone ( ) --
Facility Phone' ( )
Wo. 14
Owner Name
Facility Name
Facility ' '"-' ', .
Address '
City
State
ZiD
OwnerContact - .
Contact Phone ( ) . ,
Facility Phone ( ) - - '
Wo. 75
Owner Name
Facility Name
Facility
Address
City
State
ZiD
OwnerContact
Contact Phone ( ' ) . .
Facility Phone ( ..-)' -
" . ' .
Official Use
Approved
Verified
Approved
* Verified
Approved
Verified
.-
Approved
Verified
Approved
Verified
Applicant's Employer when Activity Comoleted
Company Name -
Company . .
Address
City , ' ' .
State -Zip "
Company Contact '
Contact Phone ( )
Present Company Official Verification-Signature
Worked under Certified Individual - PA Cert No.
Company Name ' "
Company .
Address ^
City
State .Zip
Company Contact
Contact Phone ( )''-. ^
Present Company Official Verification -Signature
Worked under Certified Individual - PA Cert No.
Company Name
Company
Address
City
State Zip -
Company Contact . '
Contact Phone ( ) - '
Present Company Official Verification -Signature
Worked under Certified Individual - PA Cert No.
Company Name
Company
Address
City
State . Zip "
Company Contact
Contact Phone ( )
Present Company Official Verification -Signature
Worked under Certified Individual- PA Cert No.
Company Name
Company
Address
City - , - . - '
State 'Zip
Company Contact
Contact Phone ( ) -
Present Compa ny Official Verification -Signature
Worked under Certified Individual - PA Cert No.
-------
3630-FM-WQ0206e Rev. 7/96
4b. Storage Tank Facility and Employer Information (continued)
, Social Security #_
Page 6
Storaqe Tank
Wo 16
Owner Name
Facility Name
Facility
Address
CItv
State
Owner Contact
Contact Phone (
Facility Phone (
Wo. 17
Owner Name
Facility Name
Facility
Address
Citv
State
Owner Contact
Contact Phone (
Facility Phone {
Wo. 18
Owner Name
Facility Name
Facility
Address
Citv
State
Owner Contact
Contact Phone (
Facility Phone (
Wo. 19
Owner Name
Facility Name
Facility
Address
Citv
State
Owner Contact
Contact Phone (
Facility Phone (
Wo. 20
Owner Name
Facility Name
Facility
Address
Citv
State
Owner Contact
Contact Phone (
Facility Phone (
Facility Activity Completed for
Zio
)
)
Zio
)
)
ZiD
)
}
Zio
)
)
Zio
)
)
Official Use
Approved
Verified
Approved
Verified
Approved
Verified
>
Approved
Verified
Approved
Verified
Applicant's Employer when Activity Completed
Company Name
Company .
Address
Citv
State Zip '
Present Company Contact
Contact Phone ( )
Present Company Official Verification -Signature
Worked under Certified Individual - PA Cert No.
Company Name
Company
Address
Citv '"
State Zio
Company Contact
Contact Phone ( )
Present Company Official Verification -Signature
Worked under Certified Individual - PA Cert No.
CompanvName
Company
Address
Citv '
State Zio
Company Contact '
ContactPhone( )
Present Company Official Verification -Signature
'
Worked under Certified Individual - PA Cert No.
Company Name
Company
Address
Citv - - -
State ZID -
Company Contact
Contact Phone ( )
Prese'nt Company Official Verification -Signature
Worked under Certified Individual - PA Cert No.
Company Name
Company
Address - ' '
Citv
State Zip
Company Contact
Contact Phone ( )
Present Company Official Verification -Signature .
Worked under Certified Individual -PA Cert No.
-------
3630-FM-WQ0206e Rev. 7/96
; . Page?
Social Security # - - '
5. TANK TIGHTNESS FAMILIARIZATION OR TANK TIGHTNESS TESTING PROOF OF TRAINING (ForUTT
certification or Familiarization Course for IUM certification.)
Name of Departmentapproved Tank Tightness Testing training course attended.
Training Approval Number -' -
Course title '
Date Completed / /
(Submit copy of current certificate or qther equivalent proof of successful completion of the training course.)
6. INSPECTOR PROOF OF NOT OR NDE LEVEL 2 CERTIFICATION, APPROVED API 653 TRAINING COURSE OR API
653 CERTIFICATION FOR 1AM OR IAF CERTIFICATION. DEPARTMENT APPROVED ABOVEGROUND TANK
INSPECTOR TRAINING COURSE APPLIES TO 1AM CERTIFICATION ONLY.
. . Date Completed/Obtained
j. /
(Submit copy of current certificate or other equivalent proof of successful completion or obtainment of NDT
Level 2 Certification, Department approved API-653 Training Course or API-653 Certification.
-7.'. DEPARTMENT APPROVED TRAINING COURSE
Six months experience accredited to installer applicant successfully completing Department approved training
applicable to category requested.
CATEGORY
COURSE TITLE
TRAINING APPROVAL NUMBER
DATE COMPLETED
(Submit copy of current certificate as proof of successful completion of the training course.)
8. College Name
Address ' - .
Degree Earned ' . . - ,. . Major. . - .. Date
(College transcripts must be attached as evidence of the degree being considered.)
, Recycled Paper
-------
-------
Appendix D
Inspection Company Certification
Application Form
*
D-1
-------
-------
3630-FM-WQ0207 Rev. 11/95 ' .
Commonwealth of Pennsylvania
. . Department of Environmental Protection
Storage Tank Program
COMPANY CERTIFICATION APPLICATION FORM
Storage Tank Program
Page 1.
OFFICIAL USE ONLY:
DATE
Appl. Appl.
Appr. Denied
Application No.
Client ID No.
Company
Certification ID No.
1. APPLICATION TYPE:
(check ONLY one)
(i) Initial Certification
(first time application under Chapter 245)
(ii) Renewal of Existing Certification
(required every three years) :
The current Company Certification ID # (renewals only) is
2. Is this application in response to a previous denial of certification under
Chapter 245 of DEP's regulations? Yes . No
If yes, the Application Number on the notification of denial is , .
3. APPLICANT INFORMATION:
Company Name
Address
City
".State
Municipality
(City, Twp.r Boro.)
Federal Tax ID i
Zip
Phone (_
Ext.
County
Contact Name
Contact Phone (_
FAX (
Ext.
CORPORATE SUBSIDIARY OF:
Company Name .
Address
City
State
Municipality
(City, Twp.,'Boro.)
Federal Tax ID #
Certification No.
Zip
Phone (_
Ext.
County
Contact Name -
Contact Phone (_
FAX (
Ext,
-------
3630-FM-WQ0207 Rev. 11/95
Page 2
COHPAHT OFFICERS:
Provide the names and titles of at least two of the top company officers, such as the
President and Vice-president or Chairman or Vice Chairman, as they exist within the
company. List the telephone number for each officer.
Officer Name
Title
Phone
Officer Name
Title
Phone
Last
( )
( )
First M.I.
Ext. ,
Ext.
Officer Name
Title
Phone (
Ext.
5. PREVIOUS COMPANY NAMES:
Federal Tax ID #
List all names held by the company within the previous" seven years.
period during which that name was held.
Give the time
Previous Name
Previous Name
Previous Name
Previous Name
From:
From:
From:
From:
To:
6. LICENSES AND CERTIFICATIONS HELD:
List all industry or government licenses or certifications held by the company and
the officers of the company relating to underground or aboveground storage tanks.
Give names, numbers and expira'tion dates.
*** Copy this form as needed, prior to completing, to detail all licenses **,*
and certifications held
License or Certificate Name
Number
Held by
Description
License or Certificate Name
Number
Held by
Description
License or Certificate Name
Number
Held by
Description
Expiration Date
Expiration Date
Expiration Date
-------
3630-FM-WQ0207 Rev. 11/95
7. CORPORATE SUBSIDIARY
1. Company Name
Address
City
State
Municipality
(City, Twp., Boro.)
INFORMATION:
Federal Tax ID #
Certification No.
Zip
Phone (
County
Contact Name - -
Contact Phone ( . )
FAX < _}_
Pages
Ext.
Ext.
2. Company Name 7.
Address
City 3H
/State
Municipality
(City, Twp., Boro.)
Federal Tax ID #
Certification No.
Zip
Phone {
County
Contact Name'
Contact Phone ( )
FAX (_ )'_
Ext.
Ext.
3. Company Name
Address
City .
State ;
Municipality '_
(City, Twp., Boro.}
Federal Tax ID f
Certification No.
Zip
Phone ( )
_ County
Contact Name
Contact Phone (.
FAX (
Ext.
Ext.
4. Company Name ._
Address
City ~~
State
Municipality
(City, Twp.,_ Boro.)
Federal Tax ID #
Certification No.
Zip
Phone ( )
County
Contact Name
Contact Phone (_
FAX (
Ext.
Ext.
Federal Tax ID §
5. Company Name-__
Address
City
State . - '
Municipality
(City, Twp., Boro.)
Certification No.
Zip
Phone (_ _)
County
Contact Name . .
Contact Phone (_ }
PAX ( __)"
Ext.
Ext.
-------
Page 4
Federal Tax ID i
8. CERTIFIED EMPLOYEES:
List the names, PA certification ID numbers and subsidiary no, (see page 3) worked
for (if any) for all certified installers and inspectors employed by the company.
List by Last Name, First Name, M.I. If the individuals certification is in process,
use "Pending" for the PA Certification ID. If there are no PA certified individuals (I
enter "None."
*** Copy this form as needed, prior to completing, to detail all installers ***
and inspectors
Subsidiary No. '
Subsidiary No.
Subsidiary No.
Subsidiary No. -__
Subsidiary No.
Subsidiary No. '
Subsidiary No. ____
Subsidiary No. '
Subsidiary No. '
Subsidiary No. '
Subsidiary No.
Subsidiary No. -
Subsidiary No. . '
Subsidiary No. '
Subsidiary No.
Subsidiary No. ." !
Subsidiary No. '
Subsidiary No.
Subsidiary No. -
Subsidiary No.
Subsidiary No. ' .__
Subsidiary No. '
Subsidiary No.
Subsidiary No. .
Subsidiary No.
Cert.
Cert.
Cert.
Cert.
Cert.
Cert.
Cert.
Cert.
Cert.
Cert.
Cert.
Cert.
Cert.
Cert.
Cert.
Cert.
Cert.
Cert.
Cert.
Cert.
Cert.
" Cert.
Cert.
Cert.
Cert.
ID
ID
ID
ID
ID
ID
ID
ID
ID
ID
ID
ID
ID
ID
ID
ID
ID
ID
ID
ID
ID
ID
ID
ID
ID
-------
3630-FM-WQ0207 Rev. 11795
Page 5
9. PROJECT HISTORY:
Federal Tax ID |
Provide a brief summary of the previous tank handling and inspection activities
performed by the company and/or the officers of the company. Project history items
cannot be older than 7 years from the application notary date. See the attached
Company Guidance Sheet for codes and information to complete the project history
information. Project history information need not exceed the spaces provided on this
page. / "' " . - . '' . . ' - ' - - . ' /-
Project Period (Month/Year)
Type of Project Code
Facility Owner
Facility Name _,
Facility Mailing Address
City
State
Owner Contact
Prom: / . TO:
System Component Code .
Zip
Contact Phone ( )
Facility Phone (_____).
Project involvement by (check one):
If Company Officer, Name :.
Project Description and Comments:
Company
Company Officer
Project Period (Month/Year)
Type of Project Code
Facility Owner ; _
Facility Name _^_
Facility Mailing Address '.
City
State ''
Owner Contact
. Contact Phone (_
Facility Phone
From:
System Component Code
Zip
)
}_
Project involvement by (check one):
If Company Officer , _' Name
Project Description and Comments ;
Company
Company 'Of ficer
'
Project Period (Month/Year)
Type of Project Code
Facility Owner
Facility Name
Facility Mailing Address
, City
State
Owner Contact
Contact Phone
From: / TO:
'. System Component Code\
'
Zip
( __)_
Facility Phone (____)
Project involvement by (check one):
If Company Officer, Name '
Project Description and Comments;
Company
Company Officer
'
-------
3630-FM-WQ0207 Rev. 11/95 , Page 6
Federal Tax ID %
10. This section must be completed and notarized by a company official authorized to bind
the company. Photocopied signatures and notary information will not be accepted.
I hereby certify to the following: '-.'
(a) that the company has obtained copies of:
(i) the Storage Tank and Spill Prevention Act (Act 32), and^
(ii) Chapter 245, Administration of the Storage Tank and Spill Prevention
Program, and
(iii) all technical and administrative specifications and manuals required by
Section 245.132(a)(1) of Chapter 245, and .
(b) that the company will comply with Act 32 and Chapter 245 and will direct the
employees, principals and agents of the company to perform tank handling and
inspection activities in a manner that is consistent with Act 32 and Chapter 245.
Failure to meet these requirements or any other conditions specified in Act 32 or
Chapter 245 could result in the revocation or suspension of company certification.
I further certify on behalf of the company that the statements made in this applica-
tion and all attached documents are true and accurate to the best of my knowledge. I
understand that any statement made that is not accurate may serve as grounds to
invalidate any certificate.
Signature of the Company Official (In Ink) Date
Type or Print Name of the Company Official
AFFIDAVIT
COMMONWEALTH OF PENNSYLVANIA
COUNTS OF ; SS
Sworn to and Subscribed Before Me This '
Day of , 19_
NOTARY
SEAL
Notary Public
This Commission Expires
The Department reserves the right to request additional information necessary to
determine whether issuance of a certification conforms to Act 32 and Chapter 245.
Retain a copy of the application and all attachments for your records and send the
completed application materials to:
Pennsylvania Department of Environmental Protection
Storage Tank Program
Rachel Carson State Office Building
P.O. Box 8763
Harrisburg, PA 17105-8763
-------
3630-FNV-\NQ0207(a) Rev.11/95
Company Guidance Sheet
for Completing the
.".-; Company Certification Application Form
Unless otherwise specified, all attachments regarding additional information must be 8 1/2 X 11 inches in
size and contain the applicant name, Federal Tax ID # (or Social Secur'ity #), and application section # in
the upper" right corner of the page.
1. The applicant is requested to check only one of the of jthe options for application type:
Initial Certification ,- Check this option if you have never been granted company certification by the
Department under Chapter 245. :
Renewal of Existing Certification - Check this option if you are applying for renewal of company
certification. Renewal is required every three years. The applicant must submit the Application Form
with information that is updated from that of the last submission.
2. Check whether this application is in response to a previous denial of certification.-
Any applicant who is denied certification must submit a new Application Fora if that applicant wishes
to, again, request certification. As a part of any application submission in response to a denial of
certification, the applicant must check Yes in section 2. and provide the application number from the
denial notification. ' ..'.'.
3. If a Federal Tax ID number cannot be provided, The Social Security number of the company officer who
signs the Application Form in section 9. may be substituted. If the company,is a corporate subsidiary
of another company, complete the. "Subsidiary of" Section of the application:
6. In addition to the name, number and expiration date, provide the name of the officer who holds the
'-. license or certificate and a description of the scope or purpose of that license or certificate.
Some examples of possible licenses or certificates are: manufacturer's training certificates, NACE
certifications, ASME certifications, ASNT certifications and OSHA personnel protection and safety,
training certificates. , -
8. Subsidiary Information - List all corporate subsidiaries that will' be covered under the parent company
certification number, if approved, Leave this section blank if no corporate subsidiaries will be
involved with any form of tank handling or inspection activities. , ,
9. Type of Project r- Enter the appropriate code from below.
I Installation (Handling or Inspection)
M Modification (Handling or Inspection)
R Removal (Handling "or Inspection)
Syste» coaponent involved - Enter the appropriate code from below.
A Underground manufactured storage tank
B Underground field constructed metallic storage tank . ,
C Underground field constructed nonmetallic storage tank
D Underground mechanical (piping, valves, corrosion protection, release detection, spill and
overfill prevention, etc) . ' -
E Underground civil (foundations, field grading systems, vaults, pump supports, pipe supports,
drainage systems, etc) -
F Aboveground manufactured metallic storage tank ,
- 1 -'
-------
363Q-FM-WQ0207(a) Rev. 11795
G Aboveground manufactured nonmetallic storage tank
H Aboveground field constructed metallic'storage tank greater than 90 foot diameter
I Aboveground field constructed metallic storage tank less than or equal to 90 foot diameter
J Aboveground field constructed nonmetallic storage tank
K Aboveground mechanical (piping, Valves, corrosion protection, release detection, -spill and
overfill prevention, etc)
L Aboveground civil (foundations, field grading systems,'vaults, pump supports, pipe supports,
drainage systems, etc)
H Underground or Aboveground storage tank lining
Ths owner contact may be the owner or other employe responsible and familiar with the project in
question. - '
Check whether involvement in the project was by the applicant company or by a company officer.
Company officer would be checked, primarily, if the involvement for the project in question is being
documented by a company officer outside of his or her association with the applicant company. If
company officer is checked, provide the name of that officer.
Provide a brief description and comments that will more completely characterize the project.
A»ond«cnt of Existing Certification - If the company currently holds certification -under Chapter 245,
but you wish to amend general information supplied as a part of the application submission, utilize
the Certified Company Amendment form (3600-FM-WQ207(b)) attached to this application.
An Amendment of Existing Certification is required for changes of information provided in regard
, to: ' '"'.''
"Applicant Information" (Section 3.) (Including addition of corporate subsidiaries)
"Company Officers" (Section 4.)
"Certified Employees" (Section 7.)
Unless specifically directed by the Department, it is not required to submit an Amendment of
Existing Certification to update information'regarding:
"Licenses and Certifications Held" (Section 6.) ,
"Project History" (Section 8.)
To include additional information relating to officers, employees or corporate subsidiaries, copy pages of
this application as needed.
Retain a copy of the application and all attachments for your records and send the application materials
to: ' . ' .
Pennsylvania Department of Environmental Protection
Storage Tank Program
Rachel Carson State Office Building ,
P.O. Box8763
Harrisburg, PA 17105-8763
Questions may be directed in writing to this address or to telephone number:
(717) 772-5599
Recycled Paper op
- 2 -
-------
3630-FM-WQ0207(b) 11/95
COMMONWEALTH OF PENNSYLVANIA
1 DEPARTMENT OF ENVIRONMENTAL PROTECTION
Storage Tank Program , ,
P.O. Box 8763
. Harrisburg, PA 17105-8763
CERTIFIED COMPANY AMENDMENT FORM
Federal Tax ID #
Current Company Name
Corporate Subsidiary of
Address
City
State
, Municipality
(City, Twp., Boro.)
Previous Conripany Name
Address
City
State
Municipality
Certification #
Effective Date:
Zip
Phone (_
County
Contact Name
Contact Phone (_
FAX (_
Federal Tax ID #
Zip
Phone (_
County
Ext.
Ext.
Certification #
Ext.
NEW COMPANY OFFICERS:
Officer Name
Title
Last
Phone Phone
Officer Being Replaced
Officer Name
Title
Last
Phone Phone
Officer Being Replaced
First
Ext.
First
Ext.
M.I.
M.I.
Officer Name
Title
Last
First
Ext.
M.I.
Phone . Phone
Officer Being Replaced ''
CHANGES IN CERTIFIED EMPLOYEES:
*** Copy this form as needed, prior to completing, to detail all installers and inspectors
Name
'-.'
-
Hire
Date
-
Termination
Date
.-
Certification ID #
' ..- " . .
-------
3630-FM-WQ0207(b) 11/95
HEW SUBSIDIARY INFORMATION:
Federal Tax ID f
1. Company Name
Address
Certification No
City
State
Municipality
(City, Twp.f Boro.)
Zip
Phone (
County
Contact Name
Contact Phone
Ext.
^
Ext.
|g^-Jg^gjgj^y-3g|]roR|jaTIOH.
2. Company Name
Address
Certification No.
City
State
Municipality
(City, Twp.f Boro.)
Zip
Phone (
County
Contact Name
Contact Phone (.
FAX (
Ext.
Ext.
SH StJBSiDlftki INFORMATION:
3. Company Name
Address
City ,
State
Municipality
(City, Twp.f Boro.)
Certification No.
Zip
Phone (
County
Contac t Name
Contact Phone
FAX
Ext.
Ext.
DELETE SUBSIDIARY INFORMATION:
Federal Tax ID #
1. Company Name
Address
City
State
Municipality
(City, Twp.f Boro.)
Certification No.
Zip
Phone (
County
Contact Name
Contact Phone (_
FAX (
Ext.
Ext.
DELETE SUBSIDIARY INFORMATION:
Federal Tax ID fr
2. Company Name
Address
City
State
Municipality
(City, Twp.f Boro.)
Certification No.
Zip
Phone (
County
Contact Name
Contact Phone
FAX
Ext.
Ext.
Signature of the Company Official (In Ink)
Date
Type or Print Name of the Company Official
Recycled
-------
Appendix E
Owner/Operator Notice Of Storage Tank Facility
Inspection Information Packet
E-1
-------
-------
Southcentral Regional Office
One Ararat Boulevard
Harrisburg, PA 17110
717-
CERTIFIED LETTER NO.
RE: NOTICE OF STORAGE TANK FACILITY INSPECTION
Dear Underground Storage Tank Owner:
The 1989 Storage Tank and Spill Prevention Act requires that operations inspections be
conducted at storage tank facilities. Operation inspections are to review tank facility
compliance with technical and operation requirements. Operations inspections of underground
storage tanks must be conducted by an inspector holding DER certification in the IUM category.
After the operations inspection has been done, the completed operations inspection form must
be submitted to DER by the certified inspector.
Your facility has been scheduled for an operations inspection to be completed within
45 days of receipt of this letter. As the tank owner, it is your responsibility to make all
arrangements regarding the inspection including obtaining the services of a certified inspector
to conduct the operations inspection. We suggest that you contact several companies haying
employees certified in the IUM category to obtain bids for the inspection work. When you have
selected an inspector, ask the inspector's advice for organizing the necessary documents and
product inventory records so that you have them available for the inspection. , _
Please notify the Department of the scheduled inspection date and certified inspector's
name, by.returning the enclosed postcard at least 10 days prior to the inspection.
Enclosed are:
(1) A List of Department Trained Underground Storage Tank Certified IUM Inspectors,
and .Certified Inspection Companies,
(2) Questions Commonly Asked by Storage Tank Owners about Operations Inspections for
your reference,
(3) A Postcard for confirming your inspection schedule to DER, and
; (4) Underground Storage Tank Facility Operations Inspection Form which the inspector
must complete and submit to DER. ;
-------
-2-
If you have any questions or concerns regarding the inspection, contact this office at the
above telephone number.
Sincerely,
Regional Monitoring and Compliance Manager
Storage Tank Section
Enclosures (4)
Underground Storage Tank Facility Inspection Schedule
"URGENT"
Return at least 10 days prior to the scheduled inspection.
FACILITY ID#
FACILITY NAME_
OWNER NAME
OWNER'S TELEPHONE #_
INSPECTORS NAME
INSPECTION DATE
-------
Questions Commonly asked by Storage Tank Owners about
Operations Inspections
-Why must I pay for the Operations Inspection?
The Act was designed to limit the need for state employees by making use of the private sector to help
implement the program. One area where the private sector is being used is in the facility operation inspections.
Instead of paying higher fees or taxes to support a large staff of state inspectors, owners contract with private
sector inspectors to have operation inspections conducted. In this way, the number of state inspectors is
minimized. It is believed that this is a less costly, more efficient way to accomplish these inspections, utilizing
industry expertise. -
-What is an Operations Inspection? ^
An Operations Inspection is an inspection conducted by a Department of Environmental Protection (DEP)
certified private sector inspector to evaluate all regulated underground storage tanks at a storage tank facility.
Relevant components of each storage tank system are evaluated including: construction material of tank and
piping, cathodic protection or corrosion protection, pump system, spill and overfill prevention devices, vapor
recovery, and release detection devices, The status of tank system registration and fire marshal permits are also
evaluated. Records regarding tank and piping release detection and corrosion protection are evaluated in detail.
VWhat is the goal of an Operations Inspection?
The ultimate goal of the Operations Inspection is to bring all storage tank facilities into compliance with the laws
and regulations that govern these systems. The inspector will discuss the results of the inspection with the
facility owner/operator representative and, if necessary, offer recommendations for facility or record keeping
improvements to bring the facility into compliance. ;
-When should I have an Operations Inspection completed?
Inspections can be "self-initiated" or "DEP-initiated", you may choose to have an inspection of your facility at
any time. If DEP initiates an inspection, you will receive a letter from the Department requesting an Operations
Inspection of your facility. The inspection .should be completed by the date specified in the letter you received.
To get credit for the inspection, a self-initiated inspection report should be submitted to DEP to reduce the
likelihood of the Department initiating an additional inspection.
-How much will an Operations Inspection cost?
The cost of an Operations Inspection will vary with the size, type, and location of a facility. There are also other
variables which could impact the cost. Obtain several bids from qualified inspectors to get the best price for the
best service. Be sure to use a DEP certified inspector. Refer to the list of DEP Certified Inspection Companies
for company names and phone numbers. : .
-How long will the inspection take? An hour, a day, a week?
The length of the.inspection depends upon the size and type of facility. The inspection may be extended if
compliance problems are identified during the inspection. Most facilities can be completed in less than one day.
-What kind of records do I need to show the inspector?
1) The inspector will need to see records regarding all system components that cannot be verified by visual
inspection. For instance, if the tank is constructed of fiberglass and totally backfilled, an inspector might not be
able to confirm that the tank is in fact constructed of fiberglass. An invoice record of the tank purchased and a
certified tank installer's "tank Handling Activities Report" that documents the installation are the easiest ways
to confirm the construction material of the tank.
2) Registration sticker displayed at the tank fill and the registration certificate displayed within view of the
general public.
-------
3) If steel tanks or piping are present, records of cathodic protection testing must be available for new
systems and will be evaluated. Refer to page 4 of DEP's Underground Storage Tank Facility Operations
Inspection Report for the cathodic protection compliance criteria.
4) Tank and piping release detection records. Refer to page 2 and 3 of DEP's Underground Storage Tank
Facility Operations Inspection Report for the release detection method criteria for the release method(s) you use.
The inspector will need to see the appropriate records for the type of release detection you use for the tank and
piping. These records might include tightness tests, monthly monitoring records, manufacturer's certification of
test performance, construction details for suction piping, or results of annual line leak detector tests on
pressurized piping.
5) State Fire Marshal permit (or equivalent in Allegheny of Philadelphia Counties) when flammable or
combustible liquids are stored.
What should I do during the inspection? .
You or a responsible staff person needs to be present at the inspection to assist the inspector in becoming familiar
with the facility and in conducting any activities that require operation of equipment or access to system
components.
.-What happens at the end of the inspection?
The inspector will review the results of the inspection with you or your staff person and 'answer questions. The
inspector will explain the information presented on the form. Violations, if any exist, will be identified. The
inspector is available to assist you in determining how to deal with these violations. You or your staff person
should review the inspection report to make sure that it accurately describes the condition of your facility,
includes appropriate clarification comments, and you understand what is documented. The inspector and you or
your staff person must sign the report. The completed report is submitted to both the DEP local region and
central offices.
-Who is responsible for sending the report to PEP? ;
The certified inspector is by law responsible for submitting the completed Operations Inspection report to DEP
within 60 days. Owners, however, should encourage the. inspector to submit the report to DEP immediately upon
inspection completion.
-Who is allowed to make necessary facility improvements?
Only Department certified installers may perform tank handling activities in their area(s) of certification. The
inspector who has the required certification may make the necessary facility improvements, with the
owner/operator's approval. You as the facility owner may want to "shop" for competitive prices by contacting
several certified installers or companies qualified to complete the necessary tank handling activity. A list of
Certified Tank Handling Companies is available by contacting DE P.
-What if the facility improvements are not completed prior to submission of the Operations Inspection
report? : -
The Inspection Summary, Section VII on page 1 of the Operations Inspection report indicates area of compliance
and noncompliance. Areas of noncompliance may be further investigated by DEP to assess whether the
appropriate improvements have been completed and there is a possibility that penalty assessments will be issued.
-Are all underground storage tank facilities required to complete an operations inspection?
Yes, over a period of several years, all regulated underground storage tank facilities will be required to undergo
an Operations Inspection. However, facilities having compliance problems may be asked by have more frequent
operations inspections.
-------
3630-FM-WQ0028 Rev. 9/9S
COMMONWEALTH OF PENNSYLVANIA
DEPARTMENT OF ENVIRONMENTAL PROTECTION
BUREAU OF WATER QUALITY MANAGEMENT
: STORAGE TANK DIVISION
UNDERGROUND STORAGE TANK FACILITY
OPERATIONS INSPECTION
L FACILITY INFORMATION
Facility Identification Number
Facility Name
Facility Address
Owner/Operator Representative: (present during inspection)
Name '''' ''/'
Phone ' .
II. CERTIFIED INSPECTOR
Name -
Certified Inspector No.
Phone No.
Employer
III. DATE(S) OF INSPECTION (month/day/year)
Initial Followup
IV. FINANCIAL RESPONSIBILITY INFORMATION PROVIDED Yes_
V. SUSPECTED/CONFIRMED CONTAMINATION OBSERVED Yes_
VI. IMPROPERLY CLOSED TANKS ARE PRESENT Yes_
VII. INSPECTION SUMMARY. Complete this section when inspection is final.
1. Indicate the compliance status of each item below using the following codes: N = Non-Compliant
(If so, provide comment)
_ (If so, provide comment)
No.
No.
No
C=Compliant
Tank Construction and Corrosion Protection
Piping Construction and Corrosion Protection
Spill Prevention
Overfill Prevention
Registration Sticker Display
Tank Release Detection
Piping Release Detection
Tank No.
Tank No.
Tank No;
-,
Tank No.
Tank No.
2. CERTIFIED INSPECTOR
I, the DEP Certified Inspector, have inspected the entire above referenced facility. Based on my observation
of the facility and information provided by the owner, I certify under penalty of law as provided in 18 Pa.
C.S.A. Section 4904 (relating to unsworn falsification to authorities), that the information provided by me is
true, accurate, and complete to the best of my knowledge and belief.
Date
Certified Inspector's Signature
3. OWNER/OPERATOR REPRESENTATIVE: I have reviewed the completed inspection report. I certify under
penalty of law as provided in 18 PA C.S.A. Section 4904 (relating to unsworn falsification to authorities), the
the information provided by me is true, accurate, and complete to the best of my knowledge and belief.
I have /have not (circleone) submitted an amended[registration form.
Signature
Title
Date
Page 1
-------
3630-FM-WQ0028 Rev. 9/95
UNDERGROUND STORAGE TANK FACILITY
OPERATIONS INSPECTION
Facility Name
Date
Facility ID
VIII. TANK SYSTEM INFORMATION For each tank, write in the Tank Number at the top of the column, the Tank:|{
Capacity, Substance Stored, Installation Date, and the most recent Modification Date. For the remaining items, x
fill in the correct Tank System Component Code from the lists at the bottom of the page.
1 . Tank Capacity (gallons)
2. Substance Stored
3. Installation Date
4. Modification Date (if any)
5. Tank Construction and Corrosion Protection
6. Piping Construction and Corrosion Protection
7. Pump (piping) System
8. Spill Prevention
9. Overfill Prevention
10. Current Registration Sticker Display
11. Fire Marshal Permit
12. Vapor Recovery
For
DEP
Use
(1)
(2)
(4)
(6)
(7)
(8)
(9)
(11)
Tank No.
Tank No.
Tank No.
Tank No.
Tank No.
Complete the attached pages before entering the codes for the following items
13. Tank Release Detection (2 possible)
14. Pipinq Release Detection (2 possible)
(12)
(5)
TANK SYSTEM COMPONENT CODES
5. TANKCONSTRUCTION and CORROSION PROTECTION
A Unprotected Steel (single wall)
B Cathodkally Protected Steel (Galvanic)
C Cathodically Protected Steel (Impressed Current)
D Double Walled Steel
E Fiberglass (Single Wall)
P Fiberglass (Double Wall)
G Steel w/Plastic or Fiberglass Jacket
H Steel w/FRP Coating (Act 100 or equivalent)
I Steel w/lined interior
J Concrete
N Unknown
99 Other (provide written comment)
6. PIPING CONSTRUCTION and CORROSION PROTECTION
A Bare Steel
B Cathodically Protected Steel
C Copper
D Fiberglass or rigid non-metallic
E Flexible Non-metallic
F Unknown
99 Other (provide written comment)
Z Double wall (use With Code A-99)
7. PUMP (PIPING) SYSTEM
A Suction: Check Valve at Pump
B Suction: Check Valve at Tank
C Pressure
D Gravity flow to dispenser
8. SPILL PREVENTION
Y Yes
N No
9. OVERFILL PREVENTION
Y Yes
N No
10. CURRENT REGISTRATION STICKER
DISPLAY
Y Properly displayed
N None
11. FIRE MARSHAL PERMIT
A Issued prior to August 5,1989
B Issued on" or after August 5,1989
C No permit obtained
D Tanks not regulated by Fire
Marshal
12. VAPOR RECOVERY
A Stage I Installed
B Stage II Installed
C Stage I and II Installed
D None
13. TANK RELEASE DETECTION -
A Inventory Control and code B or C
B Annual Tank Tightness Testing
C Tank Tightness Testing every 5 years
D Statistical Inventory Reconciliation
E Automatic Tank Gauging
F Manual Tank Gauging (36 Hour)
G Manual Tank Gauging (44 or 58 Hour)
H Interstitial Monitoring (2 Walls)
I Interstitial Monitoring (Liner)
J Groundwater Monitoring
K Vapor Monitoring
N None or method incomplete
O Exempt (provide written comment)
14. PIPE RELEASE DETECTION
A Automatic Line Leak Detector (incl.
test)
B Annual LineTightness.Test (pressure)
C .Line Tightness Test - 3 years (suction)
D Interstitial Monitoring
E Groundwater Monitoring
F Vapor Monitoring
H None or method .incomplete
I Exempt (provide written comment)
J Statistical Inventory Reconciliation
Page 2
-------
3630-FM-WQ0028 Rev. 9/95 ,
UNDERGROUND STORAGE TANK FACILITY ,
OPERATIONS INSPECTION
Facility Name Date Facility ID
IX. RELEASE DETECTION REFERENCE
Tank Tank Tank Tank Tank , Instructions: Check the box to indicate that criteria has been met.
__^ - , Circle the box to indicate that criteria has not been met."
Inventory Control and Tank Tightness Testing (Tank only) Circle with "N/A" when criteria is not applicable.
a n an n- stick (or ATS) readings and dispenser readingseach operating day
a a q , n " n 1 /8th inch accuracy in stick readings * . ' .
an n . n n before/after delivery stick readings reconciled with delivery receipts'
n a an b drop tube present in gauge opening ;
a n n n a dispenser meter calibrated ,
D a a a a "monthly check for water (1 /8th inch accuracy) ,
. P... d d d d monthly reconciliation (1% of volume pumped plus 130 gallons)
d n D n n reconciliation records maintained for one year
d a d d n documentation of annual tightness test or 5 year tightness test (upgraded tank) present at site
d d a . d . . d manufacturer's certification of tightness test performance is present at site (after 12/22/90)
Statistical Inventory Reconciliation: (Tank and/or piping)
d d d d .d manufacturer's certification of test performance is present at site
d d d- " b n data is collected according to the vendor's instructions -
d d : d a a analysis completed monthly; records maintained for 1 year
Automatic Tank Gauging (Tank only)
a a a d d monthly leak test conducted - -'.".".."-
" d d d n a documentation of last year of tests . ,
d n d n d manufacturer's certification of equipment performance is present at site (installed after 12/22/90)
d d n a d records including dates of calibration, maintenance, and repair for the past year
n d da a equipment is operational .. - .-
Manual Tank Gauging (Tank only) '."
b ' a a d d performed weekly . -
d n n a d tank capacity is 2,000 gallons or less
d d d a d 1/8th inch accuracy stick readings
d d a a n average 2 stick readings before and after test
d d n n n test length appropriate for each tank (minimum 36 hour test)
d d d d n variation is within standard (both weekly and monthly) ' , -
d n , n . d d documentation showing test date and results for last year of tests ~
d d d d n last tightness test and manufacturer's test certification when required
Interstitial Monitoring: (Tank and/or piping)
D d n n a interstitial area monitored monthly ' .
d d d d n monitoring wells (secondary barrier) or ports are clearly marked and secured
d n- d .d d- documentation showing test date and results for last year of monitoring . .-..."
. d n d -n 'n .records of calibration, maintenance, ahd repair of equipment for last year .
n n no a manufacturer's certificatioh^of equipment performance is present at site (installed after 12/22/90)
a n. a a a secondary barrier is compatible with stored substance and impermeable '
Groundwater Monitoring: (Tank and/or piping) ;
d d d d q regulated substance stored is immiscible in water and has a specific gravity <1.
d a: a a a groundwater is within 20 feet of surface grade and soil hydraulic conductivity is >.. 01 cm/sec,:
d d a , a n casing is properly slotted and allows entry of product during high and low groundwater conditions
d d d d d wells are sealed from ground surface to the top of the filter pack
d d d d d site evaluation verifies the above information; wells are located.according to site evaluation
d d n n d monitoring devices can detect at least 1/8 inch of product;"manufacturer's certification present on site
d. d d d d monitoring wells are marked and secured :
d d d d n wells monitored and results recorded monthly
d a n d n , monthly documentation is maintained for 1 year
Vapor Monitoring: (Tank and/or piping) , _ ' '-
d . d d d d " stored substance is sufficiently volatile and backfill allows diffusion of vapors from releases
d-- an n d the monitoring device is not rendered inoperative by groundwater, rainfall, or soil moisture
d-d d d n background contamination will not interfere with vapor monitoring -
a a n n n vapor monitors are designed and operated to detect increases in concentrations of stored substance
dO a d q site evaluation verifies above information, wells are located according to the site evaluation
nn a. DO monitoring wells are marked and secured . ,
d, dO d n wells monitored and results recorded monthly; monthly documentation is maintained for 1 year
D n n n n records of calibration, maintenance, and. repairof monitoring equipment for last year
d a a q a manufacturer's.certification of equipment performance is present at site (installed after 12/22/90)
Paqe 3
-------
3630-FM-WQ0028 Rev. 9/95
UNDERGROUND STORAGE TANK FACILITY
OPERATIONS INSPECTION
Facility Name Date Facility ID
IX. RELEASE DETECTION REFERENCE
Pipe Pipe Pipe Pipe Pipe
Instructions:
Check the box to indicate that criteria has been met.
Circle the box to indicate that criteria has not been met.
Circle with "N/A " when criteria is not applicable.
-*
^?^r
Pfp!ng Tightness Testing (Piping only)
Q Q a P D test conducted at proper frequency
- conducted annually for pressurized piping without monthly monitoring
- conducted every 3 years for suction piping (doesn't meet exempt criteria) without monthly monitoring
Q D o O D documentation of last test and test was conducted within proper timeframe
D D O D a manufacturer's certification of test performance '
O D O D P if test device permanently installed, records of calibration, maintenance and repair for last year
Automatic Line Leak Detection (PRESSURIZED piping only)
NOTE: This method of leak detection required on all pressurized piping in addition to at least one other leak detection method
O D D D D annual test of leak detector according to manufacturer's instructions
O P; P D P documentation showing date and results of last annual test .
D O D P P manufacturer's certification of equipment performance (installed after 9/22/91)
Q O O P P able to detect a leak of Bgphat 10psiwithin 1 hour
D D P P P records of calibration, maintenance and repair for last year
Check Valve at the Dispenser (SUCTION piping only)
NOTE: No further release detection required on piping meeting all these criteria. . , .
p p p p p , the tank is lower than the dispenser
D Q P P P the below grade piping slopes uniformly back to the tank
D P P P P there is only one check valve in the piping
O P P P P the check valve is located close to or inside the suction pump
D P P P P compliance with above specifications can be readily determined
X. CATHODIC PROTECTION COMPLIANCE CRITERIA
Tank Tank Tank Tank Tank
and and and and and
Pipe Pipe Pipe Pipe Pipe
Galvanic Cathodlc Protection (Tank and/or Piping)
p D P P P structure to soil potential greater than 185 volts ,
p p p p p monitoring conducted within six months of installation
O P P P P monitoring conducted every three years
p p p p p ' documentation of last two monitoring results '
Q p p p p monitoring conducted within 6 months of repair
Impressed Current Cathodic Protection (Tank and/or Piping)
Q p p p p structure to soil potential greater than .85 volts ^
D O P P P monitoring conducted within six months of installation .
D p p p D monitoring conducted every three years ,
p ' o P P P documentation of last two monitoring results
p p p p P volt and amp readings recorded every 60 days (within design limits)
Q O P P n documentation of last three volt and amp readings
p p p p p designed by a corrosion expert
tf Cathodic Protection is Added to Existing Tanks, One of the Following is Required:
p p p n P tank was internally inspected and found to be structurally sound and free of corrosion holes
p p p p p the tank was less than ten years old and now uses automatic tank gauging, soil vapor monitoring,
groundwater monitoring, interstitial monitoring or statistical inventory reconciliation for leak detection
P P P ' P P the tank was less than ten years old and was tested for tightness prior to installing the cathodic
protection'and between three and six months following the first operation of the cathodic protection
p p p p p the tank was also internally lined as specified in the rules
p p p p p the tank was assessed and found to be acceptable for upgrading under ASTM standard ES 40-94
Page 4
-------
3630-FM-WQ0028 Rev. 9/95 ''''-.
UNDERGROUND STORAGE TANK FACILITY
OPERATIONS INSPECTION
Facility Name Date Facility ID
XI. COMMENTS
Reference section and tank number for each comment
Page 5
-------
-------
Appendix F
309 CMR: Board Of Registration Of Hazardous Waste
Site Cleanup Professionals (Regulations)
F-1
-------
l>
-------
The Commonwealth of Massachusetts
William Francis Galvin, Secretary of the Commonwealth
State Publications and Regulations
REGULATION FILING AND PUBLICATION
."'.*-- = ' , '
1. Regulation Chapter, Number and Heading: 309 CM R 1.00-8.00
2. Name of Agency: Board of Registration of Hazardous Waste Cleanup Professionals
3. This document is reprinted from the Code of Massachusetts Regulations and
contains the following: -
309 CMR 1.00 Reserved
2.00 Introductory Provisions
3.00 Licensing of Licensed Site Professionals
4.00 Rules of Professional Conduct
5.00 Advisory Rulings
6.00 Design and Use of Licensed Site Professional
Seals
7.00 Procedure Governing Disciplinary Proceedings
8.00 Administrative Penalty Regulations
Under the provisions of Massachusetts General Laws, Chapter 30A, Section 6 and Chapter 233, Section
75, this document may be used as evidence of the original documents,on file with the Secretary of the
Commonwealth. '.-.--'- ''..-',.
Compiled as in full force and effect: 8/11/95
A true copy attest:
$2-45 2l
WILLIAM FRANCIS GALVIN
Secretary of the Commonwealth
-------
-------
309 CMR: BOARD OF REGISTRATION OF s
HAZARDOUS WASTE SITE CLEANUP PROFESSIONALS
Table of Contents
(309 CMR 1.00: RESERVED) . . ,
309 CMR 2.00: INTRODUCTORY PROVISIONS .
Section 2.01: . Preamble .
Section 2.02: Definitions -
Section 2.03: Severability . .
Section 2.04: Scheduling and Conduct of Meetings
Section 2.05: Public Records and Personal Data
Section 2.06: Submissions to the Board , . "
Section 2.07: Computation of Time
Section 2.08: Application Fee
Section 2.09: Annual Fee _
Section 2.10: Issuance of Notices
Section 2:11: Receipt of Notices
Section 2.12: Petitions for Waiver , .;".'.-
309 CMR.3.00: LICENSING OF LICENSED SITE PROFESSIONALS
Section 3.01: Licensing of Licensed Site Professionals
Section 3.02: Qualifications for Licensure.as an LPS
Section 3,03: Application for Licensure , : ;
Section 3.04: Examination
Section 3.05: . Temporary Licensing -.
Section 3.06: Special Rules Applicable to Persons Assisting With Examinations
Development *'- ,
Section 3.07: License Denial
Section 3.08: License Renewal:
Section 3.09: Right to Adjudicatory Hearing . '
Section 3.10: Waiver of Right to Adjudicatory Hearing :
Section 3.11: Continuing Education Requirements
Appendix A ,/..,-."
309 CMR 4.00: RULES OF PROFESSIONAL CONDUCT
Page
Section 4.01:
Section 4.02:
Section 4.03:
Section 4.04:
Section 4.05:
Preamble
Professional Competency
Professional Responsibility
Conflict of Interest
Contingent Fees
309 CMR 5.00: ADVISORY RULINGS ,
Section 5.01: General
Section 5.02: Submission
Section 5.03: Disposition
Section 5.04: Availability to Public
309 CMR 6.00: DESIGN AND USE OF LICENSED SITE PROFESSIONAL'S SEAL
Section 6.00: Design and Use of Licensed Site Professional's Seal ,
309 CMR 7.00: PROCEDURE GOVERNING DISCIPLINARY PROCEEDINGS
Section 7.01: General Provions - . . ': , -
Section 7.02: . Initiation .
Section 7.03: Preliminary Investigation
Section 7.04: . Informal Conferences
5
'5
8
8
9
9
9
9
9
10
10
"10 ,
11
11
11
12 :
13 .
14
15
16
16
16
16
17
-21
23
23
23
23
25
25
27
27
27
27
27
29
29
31
31
31
31
,31
8/11/95
309 CMR- 1
-------
309 CMR: ' BOARD OF REGISTRATION OF
HAZARDOUS WASTE SITE CLEANUP PROFESSIONALS
Table of Contents
P_age
309 CMR 7.00: PROCEDURE GOVERNING DISCIPLINARY PROCEEDINGS (continued)
Section 7.05: Disposition by the Board
Section 7.06: Docket
Section 7.07: Suspension Prior to Hearing
Section 7.08: Board Action Without Hearing
Section 7.09: Reinstatement
309 CMR 8.00: ADMINISTRATIVE PENALTY REGULATIONS
Section 8.01: Preconditions for Assessment of A Civil Administrative
Penalty ,
Section 8.02: Noncompliance with a Law, Regulation, Order, or License
Section 8.03: Notice of Noncompliance
Section 8.04: Pattern of Noncompliance
Section 8.05: Willful Noncompliance .
Section 8.06: Noncompliance Resulting in Significant Impact on ,
Public Health, Safety, or Welfare,
Section 8.07: Determining the Money'Amount of a Civil Administrative
Penalty
Section 8.08: Minimum Permissible Penalty
Section 8.09: Maximum Permissible Penalty
Section 8.10: Factors to be Applied in Determining the Money Amount
of a Civil Administrative Penalty
Section 8.11: Procedures for Assessment of a Civil Administrative
Penalty; Remedial Education Option
Section 8.12: Notice of Intent to Assess a Civil Administrative Penalty
Section 8.13: Content of Notice of Intent to Assess a Civil
Administrative Penalty
Section 8.14: Service of Notice of Intent to Assess a Civil
Administrative Penalty
Section 8.15: Right to Adjudicatory Hearing
Section 8.16: Waiver of Right to Adjudicatory Hearing
Section 8.17: Conducting the Adjudicatory Hearing
Section 8.18: Paying a Civil Administrative Penalty
32
32
32
32
32
33
33
33
3.3-
34
35,
35,
35
35
35
35
36
36.
37
37
37
37
38
38
8/11/95
309 CMR - 2
-------
309 CMR: BOARD OF REGISTRATION OF
HAZARDOUS WASTE SITE CLEANUP PROFESSIONALS
309 CMR 2.00: INTRODUCTORY PROVISIONS / ,
Section
2.01: Preamble ; . ,...-..
2.02: Definitions
2.03: Severability
2.04: Scheduling and Conduct of Meetings -
2.05: Public Records and Personal Data
2.06: Submissions to the Board .
2.07: Computation of Time
2.08: Application Fee
2.09: Annual Fee
2.10: Issuance of Notices
2.11: Receipt of Notices
2.12: Petitions for Waivers , ,
2.01: Preamble -
(1) 309 CMR is adopted by the Board of Registration of Hazardous Waste Site Cleanup
Professionals, pursuant to its authority under M.G.L. c. 21A, §§ 16 and 19 through 19J, and
M;G.L. c. 30A, §§ 2 and 3. The purpose of 309 CMR is to provide, for the implementation,
administration, and enforcement of M.G.L. c. 21 A, .§.§ 16 and 19 through 19J, by establishing:
(a) requirements which must be met by each individual to be licensed by the Board as a
'.". . licensed site; professional;
(b) procedures for the issuance and renewal of licenses; , .
' (c) rulesof professional conduct .applicable to licensed site professionals;
: (d) procedures for the Board's issuance of advisory rulings interpreting the standards for
,, professional conduct; and
(e) procedures for the Board to take appropriate disciplinary action to enforce M.G.L. c.
21 A, §§ 19 through 19J, and 309 CMR, and orders, licenses, and approvals issued or granted
by the Board. ' . '
The Board deems 309 CMR sufficiently stringent so that waste site cleanup activity opinions
rendered by individuals licensed by the Board will be rendered so that they protect public health,
safety, welfare-and the environment. .-:". -
(2) 309 CMR should be read together with M.G.L. c. 21 A, §§ 16 and 19 through 191 The
Board presumes that an individual licensed by the Board has notice of the provisions of M.G.L.
. c. 21A, §§ 16 and 19 through 19J, M.G.L. c. 2 IE, 310 CMR 40.0000, and 309 CMR, and
, expects that he or she will practice in accordance with them.
2.02: Definitions '
As used in 309 CMR, the terms "waste site cleanup activity opinion" and "hazardous waste
site cleanup professional" shall have the meanings ascribed to such, terms by M.G.L. c. 21 A,
,§19. " - . .
For the purposes of 309 CMR, words and phrases shall have the meaning ascribed to such
. words and phrases by M.G.L. c. 21E, § 2, and/or 310 CMR 40.0000, unless the context clearly
indicates otherwise. _
In 309 CMR, the following terms and phrases shall have the following meanings unless the
context clearly indicates otherwise:
Adjudicatory Hearing means a hearing conducted in accordance with M.G.L. c. 30A and the
Standard Adjudicatory Rules of Practice and Procedure, 801 CMR 1.00. .
Agency means any agency, authority, .board, commission, department, office, or political
subdivision of the federal; state, or local government.
Applicant means any individual who submits to the Board an application for licensure as a
licensed site professional. ' . ..
8/11/95 , . : . 3.09 CMR -5
-------
309 CMR: BOARD OF REGISTRATION OF
HAZARDOUS WASTE SITE CLEANUP PROFESSIONALS
2.02: coritinued
Board means the Board of Registration of Hazardous Waste Site Cleanup Professionals
established pursuant to M.G.L. c. 21 A, § 19. ,
Civil Administrative Penalty and Penalty each means a civil administrative penalty that the
Board seeks to assess pursuant to M.G.L. c. 21A, §§ 16 and 19G, and 309 CMR.
Client means any person, including, but not limited to an employer who has engaged a licensed
site professional to provide professional services with respect to a particular site.
Department means the Massachusetts Department of Environmental Protection.
Good moral character means such character as will enable ah individual to discharge the
responsibilities of a licensed site professional. Evidence of inability to discharge such duties
includes, but is not limited to, felonious acts and acts involving dishonesty, fraud or deceit which
have or could have a substantial connection to the professional responsibilities of a licensed site
professional. . . ~
Imminent hazard means a hazard which would pose a significant risk of harm to health, safety,
public welfare or the environment if it were present even for a short period of time, as further.
described in 310 CMR 40.0950.
Informal conference means a conference not subject to those provisions of M.G.L. c. 30A
governing adjudicatory proceedings.
Laws means statutes, rules, regulations, codes, ordinances or bylaws.
» -
License means approval which the Board issues to 'an individual pursuant to M.G.L. c. 21 A,
§ 19C, and which authorizes the individual to render Waste site cleanup activity opiriions.
Licensed Site Professional and LSE each means a "hazardous waste site cleanup professional"
as defined in M.G.L. c. 21 A," § 19.
Massachusetts Contingency Plan and MCP each means the regulations published at 310 CMR
40.0000 as amended from time to time.
Misconduct means any act or omission in nohcompliance with M.G.L. c. 21 A, §§ 19 through
19Jor309CMR.
Noncompliance. Failure to Comply, and Violation each means any act or failure to act which
constitutes or results in one or more of the following:
(a) acting as, advertising as, holding oneself out to be, or representing oneself as being a
licensed site professional without being in possession of a valid license; ' . ;
(b) engaging in any activity prohibited by, or not in compliance with, any requirement; or
(c) failure to comply with any requirement.
Notice of Intent to Assess a Civil Administrative Penalty and Penalty Assessment Notice each
mean a written notice that the Board is seeking to assess a Penalty pursuant to M.G.L. c. 21 A,
§§ 16 and 19G, and 309 CMR. .
Notice of Noncompliance means a written notice given to a person by the Board which states
that said person has failed to comply with certain requirement(s), as set forth therein. .
Person means any agency or political subdivision of the federal, government or state; any state,
public or private corporation or authority; any interstate body, foreign nation, individual, trust,
firm, joint stock company, partnership, association or other entity; any officer, employee, or
agent of such person; and any group of persons.
S/ll/95 309 CMR-6
-------
309 CMR: BOARD OF REGISTRATION OF
HAZARDOUS WASTE SITE CLEANUP PROFESSIONALS
2.02: continued
Practical experience means the application of technical knowledge and skills within a field or
fields of expertise during assessment, containment or removal projects. Such projects must have
been conducted or supervised by the applicant, must encompass a variety of environmental and
contaminant conditions, and must have included locations at which subsurface investigations
were conducted. The Board may accept as practical experience projects which it determines to
be equivalent to assessment, containment and removal projects.
Principal Decision Maker means an individual who regularly bears all or a significant portion
of the responsibility and accountability for the overall conduct of one or more major components
(site investigation, risk characterization, remediation) of response actions at disposal sites. In
general, this denomination will not include individuals with responsibility and accountability
only for sub-tasks (e.g., field exploration program, ground water modeling, air modeling, data
manipulation) within the major components of response actions.
Professional Services means the rendering of waste site cleanup activity opinions, and services
associated with the rendering of waste site cleanup activity opinions, by a licensed site pro-
fessional who has either -'... , '
(a) in the case of an opinion related to an assessment:
1. managed, supervised or actually performed such assessment, or
2. periodically observed the performance by others of such assessment; or
(b) in the case-of an opinion related to a containment or removal action:
1. managed, supervised of actually performed such action, or
, 2. periodically reviewed and evaluated the performance by others of such action.
Proficiency means competence in assessment,,containment or removal projects. Proficiency
will be evaluated by the Board, in its discretion, based on evidence from references, Department
comments, the application form, or other sources.
Recognized educational institution means an institution which is accredited by a regional board
or association of institutions of higher education approved by the Council on Post Secondary
Accreditation or which is chartered to grant degrees by the state in which it is located. For the
purposes of 309 CMR 3.02, such charter or accreditation must have been in effect at the time the
claimed degree was granted to an applicant for licensure. Degrees from foreign institutions will
be evaluated by the Board on .a case by case basis. ; ,~
Relevant Professional Experience means experience that the Board determines, separately for
each position held by an applicant, is a concurrent combination of waste site cleanup decision
making experience and practical experience, both performed with proficiency. The Board will -
consider the following criteria in evaluating whether an applicant's waste site cleanup decision
making experience arid practical experience constitute relevant professional experience: the
range of methods evaluated arid selected; the number of individuals and other disciplines of
other professionals supervised or coordinated; the nature of conclusions reached and
recommendations and opinions presented; the extent of review of conclusions, recommendations
and opinions by supervisors; the nature of the applicant's relationship with waste site consultants
and the manner in which the applicant's decision making responsibilities-were differentiated
from those of others; the duration of employment; the nature of work performed (including,'but
not limited to, whether such experience includes work at sites where subsurface investigations
have occurred); the extent to. which assessment, containment or removal responsibilities were
exercised throughout each position; the nature of the employer's primary business interests and
the relation of those interests to hazardous waste work; the relevance of the prior experience to
the technical and regulatory knowledge, skills and abilities ordinarily required of licensed site "
professionals at the time of application; and any other factors the Board deems relevant.
Relevant professional experience does not include experience involving only or primarily, non-
scientific or non-technical; activities associated with a disposal site, such as contract
.management, budget control, legal analysis; and other similar management activities.
Requirement means any regulation, order, license, or approval issued or adopted by the Board,
or any law which the Board has the authority or responsibility to enforce.
8/11/95 . ' "" .' 309 CMR-7
-------
309 CMR: BQARD OF REGISTRATION OF
HAZARDOUS WASTE SITE CLEANUP PROFESSIONALS
2.02: continued
' ' ' -
Rules of Professional Conduct means the regulations set forth at 309 CMR 4.00.
Same Requirements) means requirement(s) that require, or prohibit, the same action or activity. ,
Standard Adjudicatory Rules of Practice and Procedure means the rules set forth at 801 CMR
1.00.
Total Professional Experience means all of, an applicant's professional experience that is
determined by the Board to be experience applying scientific or engineering principles in the
environmental, scientific, or engineering fields where the resultant conclusions form the basis
for reports, studies and other similar documents. The Board will consider the following criteria.
in evaluating an applicant's total professional experience: the description of work activities, the
field or' fields of activities, the duration of employment, "the types of reports, studies and
documents prepared and any other factors the Board deems relevant.
Unauthorized Practice means acting as, advertising as, holding oneself out to be, or representing
oneself as being a licensed site professional when not in possession of a currently valid license
issued by the Board.
Waste site cleanup decision making experience means professional experience in positions in
which: , ,
(a) an applicant's assessment, containment or reknoval responsibilities were an integral and
substantial component of his or her position;
(b) an applicant evaluated and selected scientific or technical methodologies for conducting
assessments, containments or removals at sites;
(c) an applicant supervised or coordinated other professionals in the conduct of those
scientific and technical tasks necessary to complete assessments, containments or removals; .
and ' . .
(d) an applicant drew technical conclusions, made recommendations, and issued opinions
based on the results of assessments, containments, or removals.
Waste site cleanup decision making experience must be gained through exercising a broad
range of responsibilities within assessments, or containments; or removals, and may not be
gained through exercising a narrow spectrum of responsibilities for parts and/or components of
, assessments, or containments or removals. Waste site cleanup decision making experience may
consist of work which includes the contributions of others in reaching decisions on waste site
cleanup activities; however, applicants must demonstrate that they have been an active
participant and a principal decision maker. Waste site cleanup decision making experience does
not include experience involving only or primarily non-scientific or non-technical activities
associated with assessments, containments or removals, such as contract management, budget
control, legal analysis, and other similar management activities. Waste site cleanup decision
making experience also does not include experience with landfills, septic systems or similar non-
hazardous material disposal facilities, water supply systems, or with the management of
hazardous waste under M.G.L. c. 21C, Resource Conservation Recovery Act, 42 U.S.C. § 6901
el seq. or similar statutes unless the applicant clearly demonstrates to the Board that the
assessment, containment and/or removal of oil or hazardous materials released to the
environment was the subject of the applicant's decision making 'in such contexts, and that the
other criteria of this definition are met.
2.03- Severability ..
It is hereby declared that the provisions of 309 CMR are severable. If any provision or its
application to any person or circumstances is held invalid, such invalidity shall .not affect other
provisions or applications which can be given effect without the invalid provision or application.
1.04: Scheduling and Conduct of Meetings
(1) Meetings. (Reserved) ' .
(2) Decisions hy the Board. ,
8/11/95 309 CMR -8
-------
309 CMR: BOARD OF REGISTRATION OF
HAZARDOUS WASTE SITE CLEANUP PROFESSIONALS
2.04: continued
(a) Regulations- The affirmative vote of at least a majority of the Board members shall be
required for adoption,.amendment or repeal of regulations.
(b) Disciplinary Proceedings The affirmative vote of at least a majority of the Board
members shall be required to take disciplinary action against an applicant, licensed site
professional, or other person engaged in unauthorized practice.
(c) Licenses- -The affirmative vote of at least a majority of the Board members present at
a meeting shall be required to approve or deny license applications.
(3) Robert's Rules of Order. Unless otherwise specified in 309 CMR, the most recent edition
of Robert's Rules of Order will govern the conduct of business at Board meetings.
(4) All meetings of the Board will be open to the public, unless the Board votes to go into
executive session as provided by M.G.L. c. 30A, § 1 lA'A
2.05: Public Records and Personal Data '
All documentary materials and data made or received by the Board or any employee of the
. ; ' Board, including documentary information concerning any applicant or licensed site
professional, shall constitute public records unless such materials or data fall within one or more
of the exemptions to the definition of public records in M.G.L. c. 4, § 7. Subject to the
. restrictions described in the following sentence pertaining to personal data, the Board may, in
its discretipn, release to the public documentary materials and data which does not constitute a
- public record. Neither the Board nor its employees shall permit access to any information which
qualifies as personal data, as defined by M,G.L. c. 66A, § 1, to any person other than a Board
member, an employee of the Board, or the data subject unless such access is authorized by
statute or a regulation which is consistent with the purposes of M.G.L. c. 66 A or is approved by
the data subject whose personal data are sought.
2.06: Submissions to the Board
Each .submission to the Board shall be delivered either by hand or mail delivery, unless the
Board provides otherwise.
2.07" Computation of Time , " .
Any period of time prescribed or referred to in 309 CMR shall begin with the first day
following the act which initiates the running of the time period, and shall include every calendar
day, including the last day of the time period so computed. When the last day of any such period
falls on a day when the Board's office is closed, the period will be deemed to run until the end
of the next day on which the Board's office is open.
2.08: Application Fee . .
- The Board will accept applications for licensing-only if the applicable fee established by the
, Secretary of Administration and Finance pursuant to M.GL. c. 7, § 3B, and published in 801
CMR 4.00, has been paid. Payment shall be made in full by check .or money order made payable
'-- to the Commonwealth/of Massachusetts. Theapplication fee is non-refundable.
2.09:' Annual Fee - -
. =_TO maintain his or her license, each licensed.site professional shall pay the applicable annual
fee established by the Secretary of Administration and Finance pursuant to M.G.L. c. 7, § 3B,
and published in 801 CMR 4.00. Payment,shall be made in full by check or money order made
payable to the Commonwealth of Massachusetts within 30 days of initial issuance of a license
and annually thereafter. The annual fee is non-refundable.
8/11/95 .----. . ".. ; , 309CMR-9
-------
309 CMR: BQARD OF REGISTRATION OF
HAZARDOUS WASTE SITE CLEANUP PROFESSIONALS
2 10' Tssiiance of Notices
Each notice given by the Board to a person pursuant to M.G.L. c. 21 A, §§ 16 and/or 19
through 19J, and/or 309 CMR 2.00 shall be deemed to be issued by the Board as follows:
(1) if served in hand, the notice shall be deemed to be issued on the date when delivered:
(a) personally to the person, or
(b) at the person's address last known to the Board:
(2) if given by mail (either regular mail or certified mail, return receipt requested) the notice
shall be deemed to be issued when postmarked by the U.S. Postal Service.
2.11: Receint of Notices
Each notice given by the Board to a person pursuant to M.G.L. c. 21 A, §§ 16 and/or 19 -
through 19J, and/or 309 CMR shall be deemed to be received by said person as follows:
(1) if served in hand, the notice shall be deemed to be received when delivered:
(a) personally to the person, or
(b) at the person's address last known to the Board;
(2) if given by certified mail, return receipt requested, the notice shall be deemed to be received
either:
(a) when signed for by:
1.' the person, or / /
2. the person's employee or agent; or _ . ' . . . '
(b) when returned by the U.S. Postal Service to the Board as unclaimed or refused, unless
die Board is persuaded that the notice was not claimed for reasons beyond the control of the
person to whom the notice was mailed. . ,
(3) If given by regular mail, the notice shall be deemed to be received no later than the third
business day after it is mailed to the person, unless the Board is persuaded otherwise by the
person to whom the notice was mailed. '-..-
2.1?: Petitions for Waivers
Notwithstanding any of the requirements, limitations, provisions and/or deadlines set forth
in 309 CMR 1.00 through 8.00, any licensee may petition the Board for good cause shown to
waive any requirement, limitation or provision, or waive or extend any deadline, and the Board
shall in its sole discretion, approve or deny any such petition. The Board shall require said
licensee to demonstrate why the petition is within the spirit of the Board's regulations and is not
contrary to the public interest. Under no circumstances shall the Board approve a petition
allowing any of the following: .
(1) waiver of any fees; and .
(2) waiver of any rules of professional conduct set forth in 309 CMR 4.00.
The affirmative vote of at least a majority pf the Board members .shall be required to approve
or deny such petitions.
REGULATORY AUTHORITY
309 CMR 2.00: M.G.L. c. 21 A, §§ 16 and 19 through 19J.
8/11/95 , 309 CMR-10
-------
309 CMR: BOARD OF REGISTRATION OF
HAZARDOUS WASTE SITE CLEANUP PROFESSIONALS
309 CMR 3.00: LICENSING OF LICENSED SITE PROFESSIONALS ; -
Section ''.-,..'-.' -' ' ,' , '..'.,
3.Q 1: Licensing of Licensed Site Professionals
3.02: Qualifications for Licensure as an LSP
3.03: Application for Licensure ..'''.-..-
3.04: Examination . .
3.05: Temporary Licensing
J.06: Special Rules Applicable To Persons Assisting with Examination Development
3.07: License Denial
3.08: License Renewal-; :.-.'.-'. '
3.09: Right to Adjudicatory Hearing ,
3.10: Waiver of Right to Adjudicatory Hearing
3.11: Continuing Education Requirements ' " - ,
Appendix A
3.01: Licensing of Licensed Site Professionals
Applicants for licensure must provide such information and demonstration as the Board
. " deems reasonably necessary to enable the Board to determine that applicants meet the qualifica-
tions in 309 CMR 3.02 and must achieve a passing score on an examination conducted by the
Board in accordance with 309 CMR 3.04.
3.02: Qualifications for Licensure-as an LSP ' .
Applicants must demonstrate that they meet the following requirements for the Board to
determine that applicants are eligible to take the licensing examination:
(1) Minimum Education Requirements.. Applicants for licensure shall meet the requirements
of one of the following tracks by the deadline established by the Board, for filing an application
to be eligible for the next examination: .
(a) Standard Track. Applicant has earned a baccalaureate, masters or doctorate degree from
a recognized educational institution in one of the curricula listed in; Appendix A, or in a
' curriculum found to be equivalent by the Board.
(b) Alternate Track. Applicant has earned at least a high school diploma, but does not meet
the requirements for the standard track. >
\. (2) Minimum Experience Requirements: Each applicant shall demonstrate to the Board's satis-
faction that he or she meets, the requirements for total professional experience and relevant
professional experience, determined separately for each position. Qualifying total professional
experience and relevant professional experience must be work of a professional grade and
- character performed for a minimum average of 20 hours per week that indicates the applicant
is competent to render waste site cleanup activity opinions. Total professional experience or
, , relevant professional experience performed for less than a minimum average of 20 hours per
week will be applied toward the satisfaction of 309 CMR 3.02(2) onaprorata basis.
(a) For the standard track applicants must have eight years of total professional .experience,
five years of which are relevant professional experience. At least three years of the relevant
professional experience must have occurred within five years prior to submission of an
application for licensure. _. .
(b) For the alternate track applicants must have 14 years of total professional experience,
seven years of which are relevant professional experience. At least three years of the relevant
professional experience must have occurred within five years prior to submission of an
'applicati6n for licensure. - .
(c) Work performed during a period of full-time undergraduate study at an educational in-
stitution is considered part of the educational program and is not considered acceptable
professional experience; provided, however, that the Board may accept work,performed for
periods of at least two and one half consecutive months per calendar year when not enrolled
as a full-time student, during, or incidental to, undergraduate education as total professional
experience if the applicant did not receive college credits for that work.
8/11/95 - . 309CMR-11
-------
309 CMR: BOARD OF REGISTRATION OF
HAZARDOUS WASTE SITE CLEANUP PROFESSIONALS
3.02: continued
(3) Good Moral Character. Applicants shall demonstrate that they possess good moral charac-
ter. ...
(4) Credits. Applicants who have earned degrees from recognized educational institutions in
addition to those required to meet the minimum educational requirements set forth in 309 CMR
3.02 may request that the Board credit some or all of that additional education toward the
requirements for total professional experience in accordance with the following:
(a) in the case of an applicant seeking a license via the Standard Track, one year credit for
each master's degree, and two years credit for a doctorate degree, if the degrees are from a
recognized educational institution in one of the curricula listed in Appendix-A; or
(b) in the case of an applicant seeking a license via the Alternate Track, one year credit for
each associate's degree, and two years credit for a baccalaureate or higher degree.
The Board will grant to an applicant up to two years maximum credit for additional
education. . .
3.03: Application for Licensure ' '
(1) Filing Procedure. An individual desiring to be licensed as a licensed site professional shall
fully complete a current application form approved by the Board and file such completed form,
together with the application fee, with the Board at least 90 days prior to the date of the next
scheduled examination. Applications filed after the deadline established for filing will be
reviewed by the Board for the examination that follows the next scheduled examination.
Incomplete applications', and applications which are not legible, are not typed, are not complet-
ed according to the instructions, or afe not accompanied by the requisite fee, may be denied by
the Board if the applicant fails to correct deficiencies in the application in a timely manner. The
application form may require the applicant to submit, or cause to be submitted, references and
information related to the applicant's moral character, employment history, education, -
experience, and any other information deemed appropriate by the. Board. At any stage during the
review of an application, the Board may require an applicant to provide additional information
pertaining to his or her application.
(2) Documentary Evidence of Education. The applicant shall submit original transcripts or
other documentation issued by the educational institution(s) from which the applicant earned the
degree needed to demonstrate the minimum education requirement for licensure. The Board will
retain the original documentation. The Board, at its discretion, may require the applicant to
furnish additional documentation pertaining to his or her application.
(3) Review of Applications. The Board will consider each application separately. The Board
will review applications and supporting evidence to determine the completeness of applications
and the eligibility of. an applicant for examination. For total professional experience and
relevant professional experience, the Board will review each position separately to determine
if each position meets the requirements of total professional experience or relevant professional
experience. Each applicant deemed eligible for examination by the Board will be notified of the
locations) where the examination .will be held, the materials he or she is-permitted to bring to
the examination and other necessary information. Each applicant found ineligible for
examination by the Board will be sent a written explanation of the reasons the Board has found
the applicant ineligible no less than 15 days prior to the scheduled examination date. Applicants
determined by the Board to be ineligible for examination may reapply for examination in
accordance with the procedures set forth in 309 CMR 3.02. -
(4) Interviews. The Board, in its discretion, may require an applicant to appear for a personal
interview for the purpose of answering questions pertaining to an application: However, the
Board is under no obligation to require or hold such an interview.
If an applicant twice fails to appear for a personal interview scheduled with the Board, the'
applicant shall be deemed ineligible to sit for the next scheduled examination, unless the Board
finds such failure to appear was due to circumstances reasonably beyond the applicant's control.
8/11/95 _ . 309 CMR-12
-------
309 CMR: BOARD OF REGISTRATION OF
HAZARDOUS WASTE SITE CLEANUP PROFESSIONALS
3.04- Examination - .
(1) Frequency and Scheduling. The Board shall.administer a licensing examination at least
. once per year. Examinations shall be held at places and times set by"the Board or its designee
as directed by the Board. .
(2) Fyaminatinn Format/Content. Examinations shall be comprised of multiple choice ques-
tions an'd shall test the applicant's overall regulatory understanding and overall technical,
understanding. Overall technical understanding means an understanding.of basic concepts and
',' methods in those scientific and technical fields related to assessment, containment and removal
" actions sufficient to render competent waste site cleanup activity opinions. Overall regulatory
understanding means an understanding of 309 CMR, 310,CMR 40.0000, and related written
policies and other environmental regulations sufficient to. render competent waste site .cleanup
activity opinions. , , " :
(3) Initial Eligibility. An applicant may not take an examination unless he or she has been
deemed eligible for the examination pursuant to 309 CMR 3.03(3).
(4) Examination Fee. An applicant may take an examination only if the applicable examination
fee established by the Secretary of Administration and Finance pursuant to M.G.L. c. 7, § 3B,
and published in 801 CMR 4.00 has been.paid. Payment shall be made in full by check or
money order payable to the Commonwealth of Massachusetts. The examination fee is non-
refundable, except in the following circumstances: An applicant whose failure to appear for the
examination is found by the Board to be due to circumstances beyond his or her reasonable
control shall receive a refund or may request that his or her application be held open until he or
she can take a subsequent examination that occurs within two years of the date the Board voted
to approve the .applicant's written application.
(5) Examination Procedures and Rules. .
(a) The Board will require each examinee tcTpresent some form of identification containing
a photograph of the applicant. The examinee may present: - . .
1. a current motor vehicle operator's license or other government-issued i'dentification
document;
2. a passport; or - -
, .. '3. any other form of official identification that has been approved by the Board at the
applicant's request prior to the examination. '
(b) Unless the Board specifically permits examinees to bring equipment and materials to
' a given examination, examinees shall not be allowed to bring any books, notes, memoranda,
scratch paper, computers or other equipment or materials into the examination room with the
'. , . . following exceptions:
1.: Examinees may bring and utilize non-programmable calculators.
' . ' - 2. Examinees with disabilities shall be permitted to bring and utilize other equipment
and/or materials when the use of said equipment and/or materials is either required by
law or specifically permitted by the Board at the request of the examinees.
(c) The following examination rules shall be in effect during the examination, and violation
ofany rule shall be considered grounds for disqualification of the applicant: v
1. Examinees shall not copy examination questions or make notes relative thereto.
2. Examinees shall not discuss the examination with anyone other than a proctor.
3. Examinees shall not read or copy the answers ofany other examinee and shall not
, permit their own answers to .be read or copied.
4. Examinees shall not remove copies of the, examination from the examination room
before, during or after the examination.
5. Upon completing the examination, examinees shall not leave the examination room
with anything except those items they brought into the room. All notes, scratch paper,
and calculation sheets must be turned in to the proctors along with the examination and
answer sheets.
(6) Passing Score. Each time the examination is administered, the Board will establish the
passing score. The Board shall establish that score based on its determination of the score that
should be obtained by an individual who has the level of technical and regulatory knowledge
that would reasonably be expected by an otherwise qualified applicant with five years of relevant
professional experience. ' .-"_'..
8/11/95 , . 3Q9CMR-13
-------
309 CMR: BOARD OF REGISTRATION OF
HAZARDOUS WASTE SITE CLEANUP PROFESSIONALS
3.04: continued
(7) F-xamination Results. The examinations shall be graded by the Board or its designees. The
results of the examination shall be mailed to each applicant. Examination papers will not be
returned to the applicant.
(8) Reapplication for Examination. Applicants who fail to achieve a passing score on the
examination may take a subsequent examination subject to the, following procedures.
(a) For applicants who have been issued a temporary license and who fail to achieve a
passing score on the first examination scheduled for said applicants, the rules and procedures
set forth in 309 CMR 3.05, where applicable, shall take precedence over the procedures set
forth in 309 CMR 3.04(8). .
(b) Upon receipt by the Board of the following items, an applicant shall be allowed to take
a subsequent examination that is scheduled to occur on a date not more than two years after
the date the Board voted to approve that applicant's written application:
1. A letter stating the applicant's intention to take the subsequent examination; and
2. The examination fee described in 309 CMR 3.04(4). ' :
(c) Applicants who seek to take a subsequent examination that is scheduled for a date that
is greater than two years after the date the Board last voted to approve that applicant's written
application must apply to be deemed eligible to take the examination by submitting the
following:
1. A limited licensure application in a form approved by the Board; and
2. The full application fee described in 309 CMR 2.08.
The Board shall require that each of these applicants meets the, eligibility requirements
existing at that time for initial applicants and shall require that each of these applicants demon-
strates in'the limited licensure application that at least three years of relevant professional
experience occurred within five years prior to submission of the limited licensure application.
3.05* Temporary Licensing
(1) Subject to the requirements of 309 CMR 3.03(1), prior to the date on which the Board
administers its first examination the Board may issue a temporary license to any applicant whom
the Board determines has met the requirements for education and experience set forth in 309
CMR 3.02, is found by the Board to be of good moral character, and thus is eligible for
examination.
(2) Applicants issued a temporary license are eligible for the first scheduled examination. If
an applicant who has been issued a temporary license fails to appear for the first examination
scheduled for the applicant, then the applicant's temporary license shall expire on the date of the
next scheduled Board meeting unless the Board, in its discretion, reissues the applicant's
temporary license pursuant to 309 CMR 3.05(3). If an applicant who has been issued a
temporary license fails to receive a passing score' on the first examination scheduled for the
applicant, the applicant's temporary license shall remain in effect, and the Board shall schedule
the applicant for the next available examination, for which the applicant shall pay the
appropriate examination retake fee. If .the applicant fails the second examination, said
applicant's temporary license shall expire on the date the Board gives notice of the applicant's
score on the second scheduled examination. A temporary licensee who receives a passing score
on either the first or the second examination scheduled for said temporary licensee shall be
issued a full license.
(3) Notwithstanding 309 CMR 3.05(2), an applicant who has been issued a temporary license
and whose failure to appear for the first scheduled examination was caused by circumstances
beyond his orher reasonable control'may petition the Board to have his or her temporary license .
reissued pending the administration of the second examination scheduled for the applicant. The
Board, in its discretion, may reissue the applicant's temporary license pending the second
scheduled examination. If the applicant fails to appear for the second scheduled examination,
then the applicant's temporary license shall 'expire effective on the date of that examination. If
the applicant fails to receive a passing score on the second scheduled examination, then his or
her temporary license shall expire on the date the Board gives notice of the failure.
8/11/95 309 CMR-14
-------
309 CMR: BOARD OF REGISTRATION OF
HAZARDOUS WASTE SITE CLEANUP PROFESSIONALS
3.05: continued
(4) Notwithstanding 309 CMR 3.0,8, the Board will not renew a temporary license issued
pursuant to 309 CMR 3.05(1). .
3.06: -Special Rules Applicable To Persons Assisting With Examination Development.
(1) Notwithstanding 309 CMR 3.05(2), an applicant who has been issued a temporary license
and who is serving or has served, with the Board's permission, as a provider of technical advice
or assistance to the independent testing service that is developing or has developed the Board's
first five licensing examinations (a "technical advisor") may be deferred, upon a vote of the
Board, from taking any of those examinations that are administered within eighteen months of
the date said technical advisor last provided technical advice or assistance to the independent
testing service (the "deferment period"). The date'which marks the commencement of the
deferment period shall be confirmed in a letter from the Board to said technical advisor. Each"
said technical advisor shall be scheduled to take the first examination which is offered by the
Board after the deferment period has elapsed for said technical advisor, and he or she shall retain
his or her temporary, license until receiving notice of his or her score on said examination.
(2) Notwithstanding 309 CMR 3.05(2), Board members and former Board members who are
temporary licensees ("LSP Board members") and who are serving or have served as members
, of the Board's committee that reviews and approves the questions and/or examinations
developed by the independent testing service that is developing or has developed the Board's
first five licensing examinations shall be deferred from taking
any of those examinations that are administered within eighteen,months of the date said LSP -
Board member last participated in-the development, review and approval of questions and
answers for the licensing examinations (the "deferment period"). Each LSP Board member shall
..' be scheduled to take the first examination after the deferment period has elapsed, and he or she
- shall! retain his or her temporary license until receiving notice of nis or her. score on said
." examination. " .
(3) During the period that technical advisors and LSP Board members are participating in the
described examination development process, they shall maintain strict confidentiality with
respect to any material information about any examination questions, answers, scoring sheets
or any portions of any of the examinations developed by said testing service. After, last serving
in the described capacities, they shall not keep, view, discuss or disclose the substance of,, or any
material .information about, any examination questions, answers, scoring sheets or any portions
of any of the examinations developed by said testing service. . , ' . .
(4) If a temporary licensee who has received a" deferment pursuant to 309 CMR 3.06(1) or (2)
fails to appear for the first examination scheduled for said individual, his or her temporary
> license shall expire on the date of the next scheduled Board meeting unless the Board, in its
! discretion, reissues the individual a temporary license pursuant to 309 CMR 3.06(4). If a
temporary licensee who has received a-deferment pursuant to 309 CMR 3.06(1) or (2)'fails to
receive a passing scoje on the first examination scheduled for said individual, his or her
temporary license shall remain in effect, and the Board shall schedule the individual for the next
examination, for which the individual shall pay the examination fee described in 309 CMR
3.04(4). If the individual fails the second examination, said individual's temporary license shall
expire on the date the Board gives notice of the individual's score on the second scheduled
examination. A temporary licensee who has received a deferment pursuant to 3.09 CMR 3'.06(1)
.or (2) and who receives a passing score on either the first or the second examination scheduled
for said individual shall be issued a full license. .. "i
(5) Notwithstanding 309 CMR 3.06(3), a temporary licensee who has received a deferment
pursuant to 309 CMR 3.06(1) or (2) and whose failure to appear for the first examination
: scheduled for said individual was caused by circumstances beyond his or her reasonable control
may petition the Board to have his or her temporary license reissued pending the administration
. of the next examination. The Board,. in its discretion, may reissue the said individual's
temporary license pending the next examination. If said individual fails to appear for the next
examination, then the said individual's temporary license shall expire effective on the date of that
examination. If said individual fails to receive a passing score on the next examination, then his
or her temporary license shall expire on the date the Board gives notice of the failure.
8/11/95 ' 309 CMR-15
-------
309 CMR: BOARD OF REGISTRATION OF
HAZARDOUS WASTE SITE CLEANUP PROFESSIONALS
3.07* T.icense Denial
The Board will deny a license to an applicant who fails to meet any of the requirements for
licensing set forth in 309 CMR 3.00. The Board will inform the applicant in writing of the
reason(s) why he or she was denied a license. An individual denied a license may reapply for
licensing in accordance with the procedures set forth in 309 CMR 3.02.
3.08: License Renewal . ,
(1) A licensed site professional must renew his or her license every three years to maintain his
or her license. Each license issued by the Board shall expire on the date stated on his or her
license unless renewed by the Board.
(2) To renew a license, a licensed site professional shall: . -
(a) submit for approval to the Board a completed renewal application form and the proper
renewal fee established by the Secretary of Administration and Finance pursuant to M.G.L.
c. 7, § 3B, and published in 801 CMR 4.00, 30 days prior to the date of expiration of his or
her license; '
(b) include with such application form the full payment of the non-refundable renewal fee
by check or money order made payable to the Commonwealth of Massachusetts; and
(c) demonstrate to the Board's satisfaction that he or she has fulfilled the continuing educa-
tion requirements set forth in 309 CMR 3.11 or obtained a waiver of those requirements in ,
accordance with 309 CMR 2.12.
(3) If a licensed site professional fails to renew his or her license in accordance with 309 CMR
3.08(2), then his or her license shall lapse on the date of expiration of his or her license and
remain so until his or her license is renewed. An individual who fails to renew his or her license
within one year of the date of_ expiration of his cr her license shall reapply for licensing in
accordance with the procedures set forth in 309 CMR 3.02. A person whose license has lapsed
and not been renewed shall not be, act as, advertise as, or hold himself or herself out to be, or
represent himself or herself as being, a licensed site professional. -
(4) Notwithstanding 309 CMR 3.08(3), a licensed site professional who in good faith believes
he or she has submitted a'completed renewal application to the Board, paid the proper renewal .
fee and fulfilled the continuing education requirements "prior to the date of expiration of his or
her license may continue to render waste site cleanup activity opinions until the Board gives
notice to such LSP informing him,or her that his or her request for renewal does not conform
with the requirements set forth in 309 CMR 3.08(2) or, if a licensed site professional has a right
to, and requests an adjudicatory hearing, until the date the Board issues a final decision pursuant
to that request.
3.09- Right to Aditidicatorv Hearing - '
(1) An applicant determined by the Board to be ineligible for examination may request an
adjudicatory hearing by filing a written Notice of Claim for Adjudicatory Proceeding, the
Notice shall state clearly and concisely the facts which are grounds for the proceedings and the
relief sought. The Notice shall be filed with the Board within 21 days from the date that the
applicant receives notice of the Board's determination.
(2) A Notice shall be deemed to be filed with the Board as-set forth herein: '
(a) If hand-delivered during regular business hour's, it shall be deemed filed on the day
delivered. . ~.- '
(b) If hand-delivered during non-business hours, it shall be deemed filed on the next regular
business day. ,
(c) If mailed by placing in U.S. mail, it shall be deemed filed on the date so post-marked.
3.10- Waiver nFRipht to Adiudicatorv Hearing .
, An applicant will be deemed to have waived his or her right to an adjudicatory hearing
unless the Board receives his or her written request for an adjudicatory hearing by the deadline
set forth in 309 CMR 3.09. -
S/,,/95 ' " . . ' 309 CMR-16
-------
309 CMR: BOARD OF REGISTRATION OF
HAZARDOUS WASTE SITE CLEANUP PROFESSIONALS
3.11: Continuing Education Requirements
(1) Definitions. As used in 309 CMR 3.11, the following terms shall have the following
: . meanings unless the context clearly indicates otherwise: ;
' Continuing education means Board-approved courses of learning that are designed tr> fiirthpr tho
. professional competence of licensees." OSHA-required health and safety training courses shall
/ not be considered acceptable for the purposes of meeting the cdntinuing education requirements.
Continuing education credit and Credit each mean:
(a) For Board-approved courses which are offered as part of a university or college^ curricu-
lum, the units of continuing education that,pursuant to 309 CMR 3.11(9), are granted by the
' Board for each approved course completed by a licensee; and
(b) For all other Board-approved courses, the units of continuing education that are granted
by- the Board, generally on the basis of one credit for each hour of approved course
instruction actually attended by a licensee. -
Courses Offered as Part of a University or College Curriculum mean courses offered by an
institution accredited to issue associates, bachelors and/or graduate degrees, provided that the
course: .-'':.''
(a) meets on a regular weekly, schedule on a semester or quarterly basis, and
(b) the. course may be taken for a grade. '-
Core Curriculum and Core each mean courses, approved as such by the Board for a specified
.number of continuing education credits, for which the course provider has demonstrated, to the
Board's satisfaction, that the course subject matter is directly focused upon specific regulatory
topics that constitute necessary and important components of the performance of response
actions (i.e., assessment, containment and/or removal) at disposal sites in Massachusetts.
LicenseefsVand LSP(s) each mean individuals holding a temporary or full LSP license which
is in full force and effect.
Regulatory means continuing education that is reasonably likely to maintain or enhance the
licensee's ability,,to competently perform, supervise and/or coordinate response actions (i.e.,
., assessments, containments and/or removals) in Massachusetts in compliance with applicable
: .. regulatory requirements. The term'contemplates only/continuing education that is directly
focused upon an understanding of, and compliance with, the panoply of legal and regulatory
requirements applicable to the licensee's provision of professional services in Massachusetts.
, Technical means continuing education that is reasonably likely to maintain or enhance the
licensee's ability to competently, perform, supervise and/or coordinate the scientific and/or
technical components of response actions i.e., assessments, containments and/or removals in
- Massachusetts. % The term should not be narrowly construed.so that it reaches only continuing
education that is,directly concerned with performing such activities; however, if the technical
- subject matter of the continuing education is'more generally focused, it should at least be
demonstrably relevant to the scientific and/or technical components of response actions at
- disposal sites in Massachusetts. .
(2) Basic Requirements. ".;.'' .
(a) Every three years following issuance of his or her full license, each LSP shall demon-
strate to the Board's satisfaction that he or she has earned a minimum of 48 continuing
education credits. These credits can only be earned by successfully completing Board-
approved courses devoted to the topics set forth in 309 CMR 3.11(3). No person may apply
continuing education credits earned during one license period toward another license period.
Subject to the attendance and other .requirements set forth in 309 CMR 3.11, continuing
education credits are considered to be earned at the completion of each Board-approved
course. , , .'>"- ,
8/11/95 -.-.-. ;. . 309 CMR-17
-------
309 CMR: BOARD OF REGISTRATION OF
HAZARDOUS WASTE SITE CLEANUP PROFESSIONALS
3.11: continued
NOTES:
(b) All the requirements set forth in 309 CMR 3.11(2)(a) apply to temporary licensees
except that each LSP who held a temporary license issued by the Board pursuant to 309
CMR 3.05 shall demonstrate to the Board's satisfaction as a condition of receiving the first
renewal of his or her full license that he or she has earned a total of 64 continuing education
credits. A maximum of 32 continuing education credits may be earned prior to the date said
LSP received a full license. In the event that the first full licenses are not issued on or before
December 1,1995, the Board may, in its discretion, require each LSP who holds a temporary
license to earn additional continuing education credits.
(c) All continuing education "credits submitted in fulfillment of the requirements of 309
CMR 3.11 (2)(a) and (b) shall be earned in Board-approved courses that are reasonably likely
to maintain or enhance the licensee's ability to render competent professional services.
(d) There shall be no right of appeal from any decision made by the Board with respect'to
approval of courses for continuing education credit.
(3) Credit Minimums. '
(a) The continuing education credits required in 309 CMR 3.11(2)(a) shall include not
fewer than 16 credits from courses concerning technical subjects relevant to oil or hazardous
materials assessment, containment or removal activites at disposal sites in Massachusetts and
not fewer than 16 credits from courses concerning regulatory subjects relevant to oil or
hazardous materials assessment, containment or removal activities at disposal sites in
Massachusetts. The balance of the 'required credits may be earned in either of these two
categories. '
(b) The continuing education credits required in 309 CMR 3.1 l(2)(b) shall include not
fewer than 24 credits from courses concerning technical subjects relevant to oil or hazardous .
materials assessment, containment or removal in Massachusetts and not fewer than 24 credits
from courses concerning regulatory subjects relevant to oil or hazardous materials
assessment, containment or removal activities in Massachusetts. The balance of the required
credits may be earned in either of these two categories.
(c) At least 12 of the 16 continuing education credits from courses concerning regulatory
subjects, as required by 309 CMR 3.1 l(3)(a), and at least 12 of the 24 continuing education
credits from courses concerning regulatory subjects required for those who have held
temporary licenses as set forth in 309 CMR 3.1 l(3)(b), must be earned by attending courses
approved by the Board as "Core Curriculum."
(d) The 309 CMR 3.1 l(3)(a) and (b) continuing education requirements for both those who
have held temporary licenses and those who have not are depicted in the following table.
I!
Course Categories
Technical
Regulatory
Total Credits Required
Minimum Number of Credits Required
Upon first renewal if
LSP, held a
Temporary License
24 .
24*
64**
Upon all other
license renewals
16 .
16*
48**
* At least 12 of tKe required "Regulatory" hours must.be earned in "Core" courses.
** The balance of the credits may be enrned in either category.
(4) Board-required courses. The Board may from time to time require all LSPs to take a
specific course.\The Board will allow such a course to be counted toward the requirements of
309 CMR 3.11 (2) and (3).
(5) General Course Requirements. To be considered by the Board for approval as a continuing
education course, the licensee or course provider must demonstrate that: >
(a) adequate attendance records will be maintained;
(b) for courses not offered as part of a university or college curriculum, at least four
contiguous hours of instruction time will be provided;
8/11/95
309 CMR- 18
-------
309 CMR: BOARD OF REGISTRATION OF
HAZARDOUS WASTE SITE CLEANUP PROFESSIONALS
3.11: Continued
(c) the course will be ,taught by competent instructors knowledgeable in the subject matter
. r to be presented; and
(d) a written outline or syllabus will be followed.
: (6) Cnre Curriculum Course Requirements. To be considered by the Board for approval as a
Core Curriculum course, the licensee or course provider must: ^
(a) meet the requirements set forth in 309 CMR 3.11(5); and ' '- ,
(b) demonstrate that the course meets the definition for Core Curriculum set forth in 309
CMR 3.11(1).
(7V Requests for Approval of Continuing Education Courses.
. (a) Either an LSP or the provider of a potentially qualifying course may seek Board
- approval for the course. The Board shall attempt to act upon a complete.request within two
months of receipt; however, the Board's failure to act within two months shall not constitute
approval of the course. Requests for retroactive approval of continuing education courses
(i.e., courses already commenced or completed) may be approved, in the Board's discretion,
up until the time the Board issues its first set of full licenses. After the Board has issued its
first set of full licenses, the Board may consider approving a course retroactively only if a
request for course approval was received.by the Board at least two months before the course
commenced. In , no event will a course be approved for continuing education if it
commenced prior to September 29, 1993.'
(b) A complete request for approval of a continuing education course must include the
following information: ' _.,.':-...
.1. the date^s), time(s) and location(s) bfthe course, and the number of hours of contin-
uing education credits requested; . ' . . . , - '
- . ' 2.... a written course outline or syllabus;
, 3. a written statement describing the course and establishing its relevance to oil or
hazardous materials assessment, containment or removal activities at disposal sites in
Massachusetts;
,4. the credentials of the instructors; .
5. a statement that the sponsoring organization will maintain a record of attendance and
/ will follow the course outline or syllabus;
6. the different credit options (if any) attending LSPs will have for earning specified
, - hours of continuing education credit; ,
7. for courses offered as part of a university or college curriculum, a statement that the
sponsoring organization will, at the completion of the course, conduct an evaluation of
the course instructors) using, at a minimum, evaluations prepared confidentially by the
, students attending the course and maintained in such a manner that the identity of each
, student evaluator is not disclosed to the course instructor; and - - -
8. any other information which the Board requests of the licensee or course provider to
demonstrate compliance with 309 GMR 3.11.
(c) Once a course has been approved by the Board, if there are any substantive changes in
the course outline or syllabus, or a change of instructor(s), the course will require separate,
additional' Board approval before LSPs can be given continuing education credit for taking
the revised course. , -
(d) In submitting a course for Board approval as continuing education, whether as Core
Curriculum or otherwise, the licensee or course provider may suggest an appropriate division
of the course into regulatory and technical components. Based on the information submitted,
the Board may determine, in its discretion, whether to approve regulatory and technical
continuing education credits based on the suggested division or decide upon a more
appropriate allocation of credits. ' . .
(e) In selecting Board-approved courses for continuing education credit, each licensee must
also consider the .criterion of 309 CMR 3.1 l(2)(c) as it applies to that individual licensee.
While the Board will not routinely investigate whether ,an otherwise approved course meets
the requirements of 309 CMR,3.1 l(2)(c)for a given individual, theBoard reserves the right
to do so. If the Board finds that this criterion has not been met, without waiving any other
.'.. remedy available to it, theBoard may deny a licensee all or a portion of the credit sought and
. may take any other appropriate action including, but not limited to, requiring the licensee to
obtain additionalcontinuing education credits in ,the subsequent license period.
8/11/95 - ! 309 CMR-19,
-------
309 CMR: BOARD OF REGISTRATION OF
HAZARDOUS WASTE SITE CLEANUP PROFESSIONALS
3.11: continued
(8) Attendance Requirements. For continuing education credit to be granted, the following
attendance requirements must be met:
(a) To receive continuing education credit for a Board approved Core Curriculum course
that is not being offered as part of a university or college curriculum, the licensee must
attend 100% of the portion of the course for which credit is being sought.
(b) To receive continuing education credit for any other Board approved course, the
licensee must attend at least 75% of the course; however, in no event may the attendance be
less than four hours. In the event that an LSP attends at least 75% but less than'1-00% of the
course, the LSP will receive credit on a pro rata basis.
(c) Course instructors who are licensees may receive continuing education credit for a
course once if they either teach the entire course or teach part of the course and attend,
subject to the attendance requirements noted above, the remainder of the course.
(d) Once an LSP has received continuing education credit for a course, no further credit can
be earned by attending the course again at any time thereafter.
(9) Maximum Credit for University or College Courses. Courses offered as part of a university
or college curriculum may be approved by the Board for up to 12 credits of regulatory or
technical continuing education credits if the course is taken for a grade and.the licensee passes,
or up to 8 credits of regulatory or technical continuing education credits if the course is not taken
for a grade by the licensee. If an LSP takes the course for a score or grade, the LSP must pass
the course in order to receive continuing education credit. In determining whether the LSP has
passed the course, the score or grade assigned by the course provider will ordinarily govern.
8/11/95
309 CMR - 20
-------
309 CMR: BOARD OF REGISTRATION OF
HAZARDOUS WASTE SITE CLEANUP PROFESSIONALS
3.00: continued ,
' * -
. , APPENDIXA
STANDARD TRACK DEGREES
;- Degrees meeting the Standard Track curriculum requirement (309 CMR 3.02(l)(a)) include a
-bachelor's or advanced degree from an accredited college,or university with a major or
concentration in the following fields:
AirResources
- - . . Applied Mechanics . '. . ' _
Applied Physics' ' '
Biochemistry '. . , . - -
Biology'(including toxicology, ecology, botany, zoology) - :
Chemistry . ','..'."''
Earth Science "
Engineering (of any type)
, Environmental Sciences
, Environmental Studies (if technical in nature)
Epidemiology .'.."- .
Forestry
'" , Geology
Hazardous Waste Management .
Hydrogeology
Hydrology
Industrial Hygiene . ,
..:.:.- - Materials Science
Mathematics '
Medicine
Meteorology .. ; :
MicrpbiolQgj'
Natural Science , '.
Oceanography ,
Physics
Public Health (if technical in nature) '
Risk Assessment
Soil Science
Water Resources _
; " Wetland Science. ' ' - , .
If the applicant's degree is not in a field listed above, the Board shall consider whether the degree
is equivalent to one or more of the degrees listed. The applicant has the burden of proof; the
Board shall base its decision in part on official transcripts.
REGULATORY AUTHORITY
309 CMR 3.00: M.G.L. c. 21A, §§ 16 and 19 through 19J.
8/11/95 309 CMR-21
-------
309 CMR: BOARD OF REGISTRATION OF
HAZARDOUS WASTE SITE CLEANUP-PROFESSIONALS
NON-TEXT PAGE
8/11/95 , -;-.-" 309 CMR-2?
-------
309 CMR: BOARD OF REGISTRATION OF
HAZARDOUS WASTE SITE CLEANUP PROFESSIONALS
309 CMR 4.00: RULES OF PROFESSIONAL CONDUCT
Section
4.01: Preamble .
4.02:, Professional Competency .
4.03: Professional Responsibility
4.04: Conflict of Interest
4.05: Contingent Fees .
4.01: Preamble
, , In order to safeguard the public health, safety, welfare and. the environment and to establish
- . . and maintain 'a standard of professional integrity, the Board has established 309 CMR 4.00
(Rules of Professional Conduct). 309 CMR 4.00 shall be binding on every person licensed by
the Board to render waste site cleanup activity opinions within the meaning of M.G.L. c. 21A,
'.''. §19. ; ; . -- .. '...'':' '
Any person who may become aware of the failure of a licensed site professional to comply
_ withan obligation or prohibition imposed by 309 CMR 4.00 may file a complaint with the Board
pursuant to 309 CMR 7.00. However, the availability of this right is not intended to subject an
LSP to any liability in addition to any actions that may be taken by the Board, nor is it intended
that a violation of 309 CMR 4.00 shall by itself give rise to a private cause of action or create
any presumption that a legal duty to a party other than the Board or the Department has been
breached. ' ~
All LSPs are charged with having knowledge of 309 CMR 4.00 and shall be deemed to be
familiar with the provisions and to understand them.
4.02: Professional Competency : ;
(1) In providing Professional Services, a licensed site professional shall act with reasonable
: care and diligence, and apply the knowledge and skill-ordinarily required of licensed site
professionals in good standing practicing in the Commonwealth at the time the services are
performed. ' .
(2) A licensed site professional shall render a waste site cleanup activity opinion only when he
or she has either:
(a) in the case of a waste site cleanup activity opinion related to an assessment, managed,
: .. supervised or actually performed such assessment or periodically observed the performance
.- by others of such assessment; or, -
(b) in the case of a waste site cleanup activity opinion related to a containment or removal
action, managed, supervised, actually performed, or periodically reviewed and evaluated the
, , performance by others of such action, in order to opine whether the completed .work
complies with M.G.L. c. 2 IE,. 310 CMR 40.0000, and any order, permit or approval of the
: Department. --
(3) In rendering waste site cleanup activity opinions, an LSP may rely in part upon the advice
. of one or more professionals whom the LSP determines are qualified by education, training and
experience.
4.03' Professional Responsibility
._ (1) A licensed site,professional shall hold paramount public health, safety, welfare, and the
environment in the performance of professional services.
, (2). If a licensed site professional, acting in accordance with 309 CMR 4.02(1), identifies an
- imminent hazard at a particular site at which he or she is providing professional services, he or
she shall: -, ,
.(a) immediately advise his or her client of the need to notify the Department of the
imminent hazard; and .
(b) notify,the Department of the imminent hazard no later than 24 hours after identifying
such, unless the client has provided such notice.
8/11/95 ' 309 CMR-23
-------
309 CMR: BOARD OF REGISTRATION OF
HAZARDOUS WASTE SITE .CLEANUP PROFESSIONALS
4.03: continued
(3) If, in the course of providing professional services, an LSP obtains knowledge through
observation of a condition:
(a) on a property known by the LSP to be owned or operated by the client and which in
whole or in part comprises all or a portion of the site for which the LSP has been retained;
and
(b) which the LSP, in the exercise of his or her professional discretion, considers to pose
a significant risk to health, safety, public welfare or the environment (within the meaning
ofM.G.L. c. 21E).
Then, the LSP shall notify the client of the existence of the condition.
(4) In the event a licensed site professional knows, or has reason to know of an action taken or
a decision'made by his or her client with respect to a particular aspect of the licensed site
professional's professional services that significantly deviates from any scope of work, plan, or
report developed to meet the requirements ofM.G.L, c. 21E, 310 CNDl 40.0000, or an order of
the Department, then the licensed site professional shall promptly notify his or her client in
writing of such.
(5) In providing professional services, a licensed site professional shall:
(a) exercise independent professional judgment;
(b) follow the requirements and procedures set forth in applicable provisions ofM.G.L.
c. 21E, and 310 CMR 40.0000;
(c) make a good faith and reasonable effort to identify and obtain the relevant and material
facts, data, reports and other information evidencing conditions at a site that his or her client
possesses or that is otherwise readily available, and identify and obtain such additional data
a,nd other information as he or she deems necessary to discharge his or her professional
obligations under M.G.L. c. 21 A, §§ 19 through 19J, and 309 CMR; and ;
(d) with regard to the rendering of waste site cleanup activity opinions, disclose and explain
in the waste site cleanup activity opinion the material facts, data, other information, and
qualifications and limitations known by him or her which may tend to support or lead to a
waste site cleanup activity opinion contrary to, or significantly different from, the one
expressed.
(6) An LSP shall not reveal facts, data or information obtained in his or her professional
capacity without the prior consent of the client, except as authorized or required by law, if such
facts, data, or information are claimed in writing to the licensed site professional to be
confidential by the client.
(7) If subsequent to the date a licensed site professional renders a waste site cleanup activity
opinion he or she learns that material facts, data or other information existed at the time the
waste site cleanup activity opinion was rendered which may tend to support or lead to a waste
site cleanup activity opinion contrary to, or significantly different from, the'one expressed, then
the licensed site professional shall promptly notify his or her client in writing of such,
(8) If, subsequent to the date of his or her engagement, a successor licensed site professional
leams of material facts, data or other information that existed at the date of a predecessor
licensed site professional's waste site cleanup activity opinion and" was not disclosed in that
waste site cleanup activity opinion, then the successor licensed site professional shall promptly
notify his or her client in writing of such. ,
(9) A licensed site professional shall not allow the use of his or her .name by, or associate in a
business venture with, any person or firm which.he or she knows or should know is engaging
in fraudulent or dishonest business or professional practices relating to the professional
responsibilities of a licensed site professional.
(10) Applicants and licensed site professionals shall cooperate fully in the conduct of investi-
gations by the Board by promptly furnishing, in response to orders or subpoenas issued by the
Board, such information as the Board, or persons duly authorized by the Board, deems necessary
to perform its duties under M.G.L. c. 21 A, §§ 16 and 19 through 19J.
S/ll/95 . 309 CMR-24
-------
309 CMR: BOARD OF REGISTRATION OF
HAZARDOUS WASTE SITE CLEANUP PROFESSIONALS
4.04: Conflict of Interest
(I) A licensed site professional shall not accept compensation, financial or otherwise, for his
or her professional services pertaining to a site from more than one person having significant
conflicting or adverse interests unless the circumstances are folly disclosed to, and agreed to by,
all clients engaging him or her with regard to that site. . .
(2) , In the event a licensed site professional has, develops or acquires any business association,
direct or indirect financial interest, or other circumstance which is substantial enough to create
an impression of influencing his or her judgment in connection with his or her performance of
professional services pertaining to any site, the licensed site professional shall fully disclose in
writing to his or her client the nature of the business association, financial interest or
circumstance. For the purposes of 309 CMR 4.04(2) receipt of salary or employee benefits by
an LSP employed by his or her client on a foil time basis is deemed not to be substantial. ' ;
(a) If the client or employer,objects to such business association, financial interest or
circumstance, the licensed site professional shall offer to terminate, at his or her discretion,
either the business association, financial interest or circumstance, .or his or her engagement
with regard to the site or sites.
(b) If a licensed site professional believes that his or her business association, financial
interest or circumstance renders him or her incapable of discharging his or her professional
obligations under 309 CMR 4.00 in connection with his or her performance of professional
services pertaining to a site, the licensed site professional shall terminate his or her
engagement with regard to that site.
(3) A licensed site professional shall not solicit or accept financial or other valuable consider-
ation from .material or equipment suppliers in return for specifying or endorsing their products.
*
4.05: Contingent Fees'
A licensed site professional shall not offer or render professional services under an
arrangement whereby no fee will be charged if a specified finding or result is attained, or where
the payment of his or her fee in whole or in part, or the amount of the fee, is otherwise dependent
upon a. specified finding or result of such services.;
REGULATORY AUTHORITY :
309 CMR 4.00: M.G.L. c. 21 A, §§ 16 and 19 through 1?J.
8/11/95 ~ : 309 CMR-25
-------
309 CMR: BOARD OF REGISTRATION OF
HAZARDOUS WASTE SITE CLEANUP PROFESSIONALS
NON-TEXT PAGE
8/11/95 309 CMR-26
-------
309 CMR: BOARD OF REGISTRATION OF
HAZARDOUS WASTE SITE CLEANUP PROFESSIONALS
309 CMR 5.00: ADVISORY RULINGS ,
- .'".,- ' ' " ' : '. ' "- ' .
Section ' " . . - " ,
5.01: General
5.02: Submission " . . "
5.03: Disposition
5.04: .Availability to Public -
5.01: General ' -
(1) A licensed site professional, or an attorney acting on his or her behalf, may at any time
request an advisory ruling interpreting one or more of the Rules of Professional Conduct:
(2) An advisory ruling rendered by the Board, until and unless amended or revoked, shall be
a defense in a criminal action brought under M.G.L. C..21A* §§ 19 through 19J, and shall be
binding on the Board in any subsequent proceedings concerning the individual who requested
the ruling and acted in good faith in reliance thereon, unless material facts were omitted or
misstated in the request for an advisory ruling.
(3) Advisory rulings will be issued at the Board's discretion and only upon written request. The
Board may decline to issue an advisory ruling for any reason the Board deems proper.
5.02: Submission .,
(1) Requests for advisory rulings shall be submitted to the Board in writing.
-(2) The original request for an advisory ruling shall be sublnitted to the Board, together with '
'-11 copies thereof. ,' / '.._-.
(3)' The original request for an advisory ruling shall be signed and dated by the licensed site
professional submitting the request or by his or her attorney. This signature constitutes a
-' certification by the signatory that he or she has read the request and knows the content thereof,
. and that the statements contained therein are true and correct to thebest of his or her knowledge.
If the request is submitted by a licensed site professional's attorney, then the request shall state
. that he or she has been authorized by his or her client to submit the request.
(4) Each request for an advisory ruling shall include the name, address, license number and
telephone number of the licensed site professional seeking the' ruling and, if the request is
submitted by his or her attorney, the name, address and telephone number of his or her attorney,
and shall state clearly and concisely the substance or nature of the request, including all relevant
, , and material facts pertinent to the. request. The request may be accompanied by supporting data,
views or arguments. -.
(5) The Board may request additional written information as necessary to complete a factual
background for its ruling.
S.03: Disposition -
, In the event the Board renders an advisory ruling, a copy of the Board's ruling will be sent
to the person requesting the ruling. , "
504: Availability to Public
(1) All advisory rulings issued by the Board are public documents arid will be available for
public inspection during the Board's normal working hours. In addition, the Board may
otherwise publish or circulate advisory rulings as it deems appropriate.
8/11/95 ' 309 CMR-27
-------
309 CMR: BOARD OF REGISTRATION OF
HAZARDOUS WASTE SITE CLEANUP PROFESSIONALS
5.04: continued
(2) The name of the person requesting a ruling and any other identifying information will not
be included in such publication or circulation unless the person who requested the ruling
consents to such inclusion in writing.
REGULATORY AUTHORITY .
309 CMR 5.00: M.G.L. c. 21A, §§ 16 and 19 through 19J.
S/l 1/95
309 CMR - 28
-------
309 CMR: BOARD OF REGISTRATION OF
HAZARDOUS WASTC SITE CLEANUP PROFESSIONALS
309 CMR 6.00: ' -~. " DESIGN AND USE OF LICENSED SITE PROFESSIONAL'S SEAL
- - ;- , : --.. - :'.. ; -' , , .- - ',' '
Section . .
6.'00: Design and Use of Licensed Site Professional's Seal - .
6.00" Design and Use of Licensed Site Professional's Seal ,
(1) For the purpose of rendering waste site cleanup activity opinions, each licensed site
professional shall procure and use a rubber stamp or embossing device for a seal, the design,
arrangement, size and working of which shall conform with the Board's specifications.
(2) A licensed site professional shall use his or her seal to attest that- in his or'her professional
judgment, the waste site cleanup activity opinion upon which it appears, complies with the
provisions . of M.G.L. c. 21A, §§ 19 through 19 J, 309;CMR, M.G.L. c. 21E, 310 CMR 40.0000,
and all other laws, regulations, orders, permits, and approvals applicable to such response action
or response actions'.
(3) The licensed site professional's seal is intended for his or her personal use in connection
. with waste site cleanup activity opinions for which he or she will be responsible and is not
transferable.- : ,-'...-
(4) . A licensed site professionaUhall not allow or suffer his or her official seal to be affixed to
any waste site cleanup activity opinion not prepared by him or her or* under his or her personal
supervision. ..."-.
(5) A licensed site professional, upon receipt of his or her seal, shall stamp or emboss it upon
two sheets of his or her letterhead, and submit the impression, to the Board as evidence that he
'i . . or she has complied with the requirements for procurement of a seal. .
REGULATORY AUTHORITY ' :
309 CMR 6.00: M.G.L.c,21A,§§ 16 and 19 through 19J. !
S/ll/95 , .; ' - , 309CMR-29
-------
309 GMR: BOARD OF REGISTRATION OF
HAZARDOUS WASTE SITE CLEANUP PROFESSIONALS
NON-TEXT PAGE
8/11/95 , 309CMR-30
-------
309 CMR: BOARD OF REGISTRATION OF
HAZARDOUS WASTE SITE CLEANUP PROFESSIONALS
309 CMR 7.00: PROCEDURE GOVERNING DISCIPLINARY PROCEEDINGS
Section - .-.-"'. , ' . , ,
7.01: General Provisions ' ' /.
7.02: Initiation , .;''' . , ._
7.03: Preliminary Investigation
7.04: Informal Conferences
7.05: Disposition by the Board
7.06: Docket ,' ., ' . '
7.07: Suspension Prior to Hearing - - '--
7.08: Board Action Without Hearing
7.09: Reinstatement ; ",
7.01: General Provisions
: In response to a complaint and after an adjudicatory hearing, the Board may:
(1) suspend or revoke any license issued by it: ,
(a) for cause, including, but not limited' to:
1. fraud or misrepresentation in procuring a license or its renewal;
2. felonious acts; and
3. acts involving dishonesty, fraud, deceit or lack of good moral character which have
- a substantial connection to the professional responsibilities of a licensed site
professional.
; (b) for failure to pay a penalty in full and in a timely fashion as required by 309 CMR
8.18(2); or - . - '
(c) for noncompliance with any provision of M.G.L. c. 21 A, §§ 19 through 19J, or any
provision of 309 CMR;
(2) assess a, civil administrative penalty on any person who is in- noncompliance with any
provision of any regulation, order, or license issued or adopted by the Board, or with any >
' provision of M.G.L. c. 21A, §§ 19 through 19J, subject to the requirements of 309 CMR 8.00;
(3) issue a public or private censure to a licensed site professional for cause; and
-(4) take action as allowed by law. ; -
, Any!, person whose license is suspended or revoked shall also be subject to such other
penalties as may be. provided by law. "
.7.02: Initiation
Any person or any member of the Board may file a complaint with the Board which, charges
a licensed site professional with misconduct. A complaint may be filed in any form. The Board,
in its discretion, may investigate anonymous complaints.
7.03: Preliminary Investigation .
The Board may conduct or arrange for the conduct of a preliminary investigation to
determine the truth and validity of the allegations set forth in, a complaint.
7.04: Informal Conferences " '
. , To facilitate disposition of a complaint, the Board, may request the person filing the
complaint and/or the licensed site professional who is the subject of the complaint, and/or any
other person to attend an informal conference at any time prior to the commencement of an
adjudicatory proceeding. .
8/11/95 . ' . 309 CMR-31
-------
309 CMR: BOARD OF REGISTRATION OF
HAZARDOUS WASTE SITE CLEANUP PROFESSIONALS
7.05: Disposition bv the Board
If the Board determines that it has sufficient grounds to initiate disciplinary action, the Board
may take such action as it deems a complaint warrants, including, but not limited to, issuing an
order, commencing an adjudicatory proceeding, or disposing of the complaint at an informal
conference. . . .
7.06: Docket
If the Board determines that sufficient grounds, exist to initiate disciplinary action, the Board
will assign a docket number to the complaint. All papers subsequently filed with the Board -
which relate to a particular complaint should bear the same docket number as that assigned to
the complaint.
7.07: Suspension Prior to Hearing
In the event that the Board finds that an imminent threat to public health or safety or to the'
environment could result during the pendency of an adjudicatory hearing, the Board may issue
an order suspending or revoking a licensed site professional's license. This order shall be
effective and enforceable immediately upon issuance, and may remain so notwithstanding and
until the conclusion of the adjudicatory, proceeding, unless the Board orders otherwise during
the course of the adjudicatory proceeding. The Board shall provide an opportunity for a hearing
on the necessity for the summary action within seven days of the date on whic'h the Board issues
such an order.
7.08- Board Action Without Hearing
Notwithstanding any provision of 309 CMR to the contrary, the Board may revoke, suspend
or refuse to renew a license without affording an opportunity for an adjudicatory hearing if the
revocation, suspension, or refusal to renew is based solely Upon failure of the licensee to file
timely applications or to pay lawfully prescribed fees, provided the Board gives notice of its
intent to take such action to the licensee seven days prior to taking such action. If the licensee
files the necessary application, or pays the prescribed fee within the time period, the Board shall
terminate the revocation, suspension or refusal proceedings.
7.09- Reinstatement
(1) Any person whose license is revoked may be barred by the Board from applying for
reissuance of his or her license for a period of not more than five years. The term during which
reissuance is barred will be established by the Board as part of its decision in the revocation
proceeding. '_'..- .
(2) Any person whose license is suspended may be barred by the Board from applying for
reinstatement or renewal of his or his license until the suspension period established by the
Board as part of its decision in the suspension proceeding has run.
REGULATORY AUTHORITY
309 CMR 7.00: M.G.L. c. 21A, §§ 16 and 19 through 19J.
8/11/95
309 CMR-32
-------
309 CMR: BOARD OF REGISTRATION OF
HAZARDOUS WASTE SITE CLEANUP PROFESSIONALS
309 CMR 8.00: ADMINISTRATIVE PENALTY REGULATIONS
Section '.' ~ ... ~ - -
8.01: Preconditions for Assessment of A Civil Administrative Penalty
8.02: Noncompliance with a Law, Regulation, Order, or License ' , ,
8.03: Notice of Noncompliance "" - *-.--. ;
8.04: Pattern of Noncompliance - ,
8.05: Willful Noncompliance ''- '"' '
8.06: Noncompliance Resulting in Significant Impact on Public Health, Safety, Welfare or the
Environment _.-.
8.07: Determining the Money Amount of a Civil Administrative Penalty , . ' ..
8.08: Minimum Permissible Penalty
8.10: Factors to be Applied in Determining the Money Amount of a Civil Administrative Penalty
8.11: Procedures for Assessment of a Civil Administrative Penalty; Remedial Education Option
8.12: Notice of Intent to Assess a Civil Administrative Penalty . .. - -
8.13: Content of Notice of Intent to Assess a Civil Administrative Penalty
8.14: Service of Notice of Intent to Assess aCivil Administrative Penalty
8.15: Right to Adjudicatory Hearing
8.16: Waiver of Right to Adjudicatory Hearing .-'. ..-'... ,
8,17: Conducting the Adjudicatory Hearing . ;.."'. -' .
8.18: Paying a Civil Administrative Penalty . -' " , . . .
8.01: Preconditions for Assessment of a Civil Administrative Penalty
A penalty may be" assessed only for a failure to comply that:
(1) meets the criteria set forth in 309 CMR 8.02, and
(2) was any of the following: - ." - .
(a) the subject of a previous Notice of Noncompliance, as set forth in 3 09 CMR 8'.03;
(b) part of a pattern of noncompliance, asset forth in 309 CMR 8.04;
(c) willful and not the result of error, as set forth in 309 CMR 8.05; or
,(d) a failure to comply that resulted.in significant impact on public health, safety, welfare
or the environment, as set forth in 309 CMR 8.06. '"-''.
8.02: Noncompliance with a Law. Regulation. Order, or License -_.' .
A penalty may be assessed only for a failure to comply which, at the time it occurred,
. constituted noncompliance with a requirement:
(1) which was then in effect; and .
(2) to which that person.was then subject. ,'._.-
8.03: Notice of Noncompliance
(1) Criteria for Determining Whether Prior Issuance of a Notice of Noncompliance Is Required
for Assessment of a Civil Administrative Penalty. A penalty may be assessed only,if either:
- (a) a Notice of Noncompliance has been given to that person as set forth in 309 CMR 8.03;
' '' or ',. ' ' ', . . ;
(b) a Notice of Noncompliance has not been given to that person but the failure to comply
wasassetforthin309GMR8.01(2)(b), (c)or(d). '-'......'
(2) Content of a Notice of Noncompliance. A Notice of Noncompliance shall:
' - ". (a) describe one or more requircment(s) in effect when the Notice of Noncompliance was
given, and for each such Requirement, the occasion(s) that the Board asserts said person was
not in compliance therewith; and ,
. (b) specify a reasonable deadline or deadlines by which .the person shall come into
compliance with the requirement(s) described in the Notice of Noncompliance.
S/J1/95 ... " ., 309 CMR-33
-------
309 CMR: BOARD OF REGISTRATION OF
HAZARDOUS WASTE SITE CLEANUP PROFESSIONALS
8.03: continued
(3) Criteria to be Considered in Determining Whether a Civil Administrative Penalty May Be
Assessed After a Notice of Noncompliance Has Been Given. The Board may assess a penalty
on any person when the criteria set forth in 309 CMR 8.02 and the following criteria are met:
(a) the Board has previously given that person a Notice of Noncompliance;
(b) that person did not: . -.
1. come into compliance, within the deadline specified in the Notice of Noncompliance,
with the requirement(s) described in the Notice of Noncompliance, or
2. submit, within the deadline specified in the Notice of Noncompliance, a written pro-
posal setting forth how and when that person proposes to come into compliance with the
requirements) described in the Notice of Noncompliance; and
(c) noncompliance with the requirement(s) described in the Notice of Noncompliance con-
tinued or was repeated on or after the deadline(s) specified in the Notice of Noncompliance.
(4) Additional Criteria to be Considered in Determining Whether a Civil Administrative
Penalty May Be Assessed After a Notice of Noncompliance Has Been Given. In determining
whether to assess a penalty after a Notice of Noncompliance has been given, the Board may
consider, but shall not be limited to considering, the following criteria:
(a) whether or not other notices of non compliance have been issued to the same person
within the preceding five years;
(b) what the person did to. prevent the violation for which the person would be assessed the
penalty and the other violation(s) described in the prior Notice of Noncompliance(s);
(c) what the person did, and how quickly the person acted, to come into compliance after
the occurrence of the violation for which the person would be assessed the penalty and the
other violations) described in the prior Notice(s) of Noncompliance;
(d) what the person did, and how quickly the person acted, to remedy and mitigate whatever
harm might have been done as a result of the occurrence of the violation for which the
person would be assessed the penalty and the other violation(s) described in the prior
Notice(s) of Noncompliance; and , .
(e) the actual and potential damages suffered, and actual or potential costs incurred, by the
Commonwealth, or by any other person, as a result of the occurrence of the violation for
which the person would be assessed the penalty and the other yiolation(s) described in the
prior Notice(s) of Noncompliance.
8.04* Pattern of Noncompliance
(1) Criteria to be Considered in Determining Whether Instances of Noricompliance Constitute
a Pattern of Noncompliance for which a Civil Administrative Penalty May Be Assessed. A
penalty may be assessed without the prior issuance of a Notice of Noncompliance if the criteria
set forth in 309 CMR 8.02 are met and the violation thus being penalized is not an isolated
instance but part of a pattern of noncompliance. In determining whether the violation to be thus
penalized is not an isolated instance but part of a pattern of noncompliance, the Board shall
consider, but shall not be limited to considering, the following criteria:
(a) whether the person who would be assessed the penalty was -given by the Board, on at-
least one previous occasion during the five-year period prior to the date-of the Penalty
Assessment Notice, a Notice of Noncompliance asserting violation(s) of the same require-
ment(s) as the requirement(s) for violation of which the person would be assessed the
penalty; -
(b) whether the person who would be assessed the penalty was given by the Board, on at
least two previous occasions during the four-year period prior to. the date of the Penalty
Assessment Notice, a Notice, of Noncompliance asserting violation(s) of requirenlent(s)
different from the requirement(s) for violation of which the person would be assessed the
penalty;
(c) whether the violation for which the person would be assessed the penalty and the other
:Violation(s) described in the prior Notice(s) of Noncompliance, considered together-, indicate:
1. a potential threat to public health, safety, or welfare, or the environment;
2. an interference with the Board's ability to .efficiently and effectively administer its
programs; or
3. an interference with the Board's ability to efficiently and effectively enforce any
requirement to which 309 CMR applies..
8/11/95 . 309 CMR-34
-------
309 CMR: BOARD OF .REGISTRATION OF
HAZARDOUS WASTE,SITE CLEANUP PROFESSIONALS
8.04: continued
(2) Additional Criteria to be Considered in Determining Whether Instances of Noncompliance
Constitute a Pattern of Noncompliance for which a Civil Administrative Penalty May Be
Assessed. In determining whether the violation to be penalized is not an isolated instance but
part, of a pattern of npncompliance, the Board may consider, but shall not be limited to
considering, the following criteria: . .
(a) what the person did to prevent the violation for which the person would be assessed the
penalty and the other violation(s) described in the prior Notice(s) of Noncompliance;
(b) what the person did, and how quickly the person acted, to come into compliance after
the occurrence of the violation for which the person would be assessed the penalty and the
other violation(s) described in the prior Notice(s) of Noncompliance;
(c) " what the. person did, and how quickly the person acted, to remedy and mitigate whatever
harm might have been done as a result of the occurrence of the violation for which the
-person would be assessed the penalty and the other violation(s) described in the prior
Notice(s) of Noncompliance; and
(d) the actual and potential damages suffered, and actual or potential costs incurred, by the
Commonwealth, or by any other person, as a result of the occurrence of the violation for
which the person would be assessed the penalty and the other violation(s) described in the
," prior Notice(s) of Noncompliance.
8.05: Willful Noncomoliance
. . A penalty may be assessed without the prior issuance of a Notice of Noncompliance if the
criteria set forth in 309 CMR 8."02 are met and the violation was willful and not the result of
, error. ' _.-'."
8.06- Noncompliance Resulting in Significant Impact on Public Health. Safety. Welfare or the
Environment >
A penalty may be assessed without the prior issuance of a Notice of Noncompliance if the
criteria set forth in 309 CMR 8:02 are met and the violation thus being penalized-resulted in
significant impact on public health, safety, welfare or the environment.
8.07: Determining the Money Amount of a Civil Administrative Penalty -
The money amount of.each penalty assessed shall be determined in accordance with the
criteria set forth in 309 CMR 8.07 through 8.09. ' "
8.08: Minimum Permissible Penalty ' ' __ ' ' - /. '
No penalty assessed shall be less than $100.00. ,
8.09: Maximum Permissible Penalty .' , ."-.'.'- , '
For each rioncpmpliance except unauthorized practice, the full amount of the Penalty
assessed shall not exceed $1,000. The maximum penalty for unauthorized practice shall not
exceed SI,000 for each offense. ' -
8.10: Factors to be Applied in Determining the Money Amount of a Civil Administrative Penalty
. In determining the amount of each penalty, the Board shall consider each of the following:
(1) the actual and potential impact on public health, safety, and welfare, and the environment,
of the failure(s) to comply that would be penalized; .
(2) the actual and potential damages suffered, and actual or potential costs incurred, by the
Commonwealth, or by any other person, as a result of the failure(s) to comply that would be
penalized; ...,"'
8/11/95 ; 309 CMR-35
-------
309 CMR: BOARD OF REGISTRATION OF
HAZARDOUS WASTE SITE CLEANUP PROFESSIONALS
8.10: continued ,
(3) whether the person who would be assessed the penalty took steps to prevent the failure(s)
to comply that would be penalized;
(4) whether the person who would be assessed the penalty took steps to promptly come into
compliance after the occurrence of 4he failure(s) to comply that would be penalized;
(5) whether the person who would be assessed the penalty took steps to remedy and mitigate
whatever harm might have been done as a result of the failure(s) to comply that would be
penalized;
(6) whether the person being assessed the penalty has previously failed to comply with any
regulation, order, or license issued or adopted by the Board, or any law which the Board has the
authority or responsibility to enforce;
(7) making compliance less costly than the failure(s) to comply that would be penalized;
(8) deterring future noncompliance by the person who would be assessed the penalty;
(9) deterring future noncompliance by persons other than the person who would be assessed
the penalty;
(10) the financial condition of the person who would be assessed the penalty;
(1 1) the public interest; and
(12) any other factor(s) that_ reasonably may be considered in determining the .amount of a
penalty, provided that said factor(s) shall be set forth in the Penalty Assessment Notice.
8.1 1- Procedures for Assessment of a Civil Administrative Penalty: Remedial Education Option .
(1) Each penalty assessed shall be assessed in accordance with the procedures set forth in 309
CMR 8. 11 through 8. 18.
(2) Right to Choose Remedial Education Instead of Penalty. In every proceeding involving
assessment of a penalty, except a proceeding concerning unauthorized practice, the person being
assessed the penalty shall have the right to choose to either pay the full amount of the penalty
in accordance with 309 CMR 8.18 or attend and successfully complete a course of remedial
education prescribed by the Board within reasonable deadline specified by the Board.
(3) Waiver of Right to Choose Remedial Education. Whenever the Board seeks to assess a
penalty on any person, such person shall be deemed, effective 21 days after the date of issuance
of a final decision approved by the Board, to have waived his or her right to choose to attend and
successfully complete a course of remedial education prescribed by the Board in lieu of paying
the full amount of the penalty, unless the Board receives from that person a written statement
that states he or she elects to attend the course of remedial education as prescribed, and within
the deadline specified, in the Board's final decision. -
8.13; Notice of Intent to Assess a Civil Administrative Penalty
"
(1) Whenever the Board seeks to assess a penalty, the Board shall issue to the person on whom
the penalty would be assessed a notice of intent to assess a civil administrative penalty, the
content of which shall be as set forth in 309 CMR 8. 1 3, and which shall be served -as set forth
in 309 CMR 8.14.
(2) Notwithstanding 309 CMR 8.12(1), prior to issuing a notice of intent to assess a civil
administrative penalty to the person on whom the penalty would be assessed, the Board shall
provide such person an opportunity to discuss the alleged noncompliance with the Board at an
informal conference, except where the noncompliance concerns unauthorized practice.
8/11/95 309 CMR -36
-------
"309 CMR: ABOARD OF REGISTRATION OF
HAZARDOUS WASTE SITE CLEANUP PROFESSIONALS
8.13: 'Content of Notice of Intent to Assess a Civil Administrative Penalty
Each Penalty Assessment Notice shall include all of thefollowing: ..-.'
(1) a concise statement of the alleged act or omission for which" such penalty would be
assessed; , ' " -
(2) each law, regulation, order, or license which has not been complied with as a result of such
alleged act or omission;
(3) the money amount which would be assessed as a penalty for each alleged act or omission
for which the penalty would be assessed, and a concise statement of the factors considered by
. the Board in determining this amount;
.(4). a statement that the person on whom the penalty would be assessed has a right to an
; adjudicatory hearing on such assessment; .-:-'.''
(5) a statement of the requirements that must be complied with by the person on whom the
penalty would be assessed in order for said person to avoid'being deemed to have waived said
person's right to an adjudicatory hearing; an4
(6) a statement of how and by when the penalty must be paid if the person on whom the penalty
would be assessed waives said person's right to an adjudicatory hearing. .
8.14: Service of Notice of Tntent to Assess a Civil Administrative Penalty -
Each Penalty Assessment Notice shall be served, by one or more of the following methods,
on the person on whom the Board seeks to assess the penalty:
(1) Service in hand at the person's address last known to the Board or at the last known
addressofariy officer, employee, or agent of the person authorized by appointment of the person
or by law to accept service. . -
(2) Service in hand personally to the person, or to any officer, employee, or agent of the person
authorized by appointment of the person or by law to accept service. '
-(3) By certified mail, return receipt requested, addressed to the person's address last known to
the Board or to the last known address of any officer, employee, or agent of the person
authorized by appointment of the person or by law to accept service. -
8.15: Right to Adjudicatory Hearing . ',_ . -
Subject to the provisions of 309 CMR 8.16, whenever the Board seeks to assess a penalty
on any person, such person shall have the right to an adjudicatory hearing. "
8.16: Waiver of Right to Adjudicatory Hearing -
Whenever the Board seeks to assess a penalty on any person, such person shall be deemed,
effective 21 days after the date of issuance of the Penalty Assessment Notice pursuant to
309 CMR 2.10, to have waived the right to an adjudicatory hearing unless, within 21 days of the
date of issuance of the Penalty Assessment Notice, the Board receives from that person a written
statement that does either or .both of the following, and does so subject to and in compliance with
applicable provisions of 801 CMR 1.00: ' ;
(1) denies the occurrence of the act(s) or omission(s) alleged by the Board in the Penalty
Assessment Notice; ; ,
(2) asserts that the money amount of the proposed Penalty is excessive.
S/ll/95 ' , ; . - - 309 CMR-37
-------
309 CMR: BOARD OF REGISTRATION OF
HAZARDOUS WASTE SITE CLEANUP PROFESSIONALS
8.17: Conducting the Adjtidicatory Hearing
(1) Every adjudicatory hearing conducted pursuant to M.G.L. c. 21 A, §§16 and/or 19Gand309
CMR 8.17 shall be conducted in accordance with all applicable provisions of M.G.L. c. 30A and
801 CMR 1.00, provided that to the extent such provisions are inconsistent with M.G.L. c. 21 A, .
§§ 16 and/or 19G, and 309 CMR 8. 17, the provisions of M.G.L. c. 21 A, §§ 16 and/or 19G, and
309 CMR 8.17 shall apply.
(2) The Board shall not be required to prove the occurrence of the act(s) or omission(s) alleged
by the Board in the Penalty Assessment Notice and not denied in the statement filed pursuant
to 309 CMR 8.16 (as may be amended in accordance with 801 CMR 1.01(6)(g)).
(3) If, in the statement filed pursuant to 309 CMR 8.16, the person who would be assessed the
penalty denies the occurrence of the act(s) or omission(s) alleged by the Board in the Penalty
Assessment Notice, the Board shall, by a preponderance of the evidence, prove the occurrence
of the act(s) or omission(s) denied in said statement. ,
(4) If the person assessed the penalty files the statement required pursuant to 309 CMR 8. 16,
the subsequent adjudicatory proceeding shall be ended either by:
(a) a written agreement, which shall take effect only upon written approval by a majority
of Board members; or
(b) a final decision, which shall take effect only upon written approval by a majority of.
Board members.
8.18' Paying a Civil Administrative Penalty
(1) How Payment Shall Be Made. Each penalty shall be paid by certified check, cashier's
check, or money order payable to the order of the Commonwealth of Massachusetts. No other
form of payment shall be accepted.
(2) When Payment Shall Be Made.
(a) Except as provided in 309 CMR 8.1S(2)(b), each penalty assessed and for which
remedial education is not elected as a substitute pursuant to 309 CMR 8. 1 1, shall be paid in
full as follows:
1. If the person assessed the penalty waives the right to an adjudicatory hearing pur-
suant to 309 CMR 8.16, the penalty shall be due, and shall be paid in full, when such
waiver takes effect (i.e. no later than 21 days after the date of issuance of the Penalty
Assessment Notice pursuant to 309 CMR 2. 1 0.
2. If the person assessed the penalty files the statement described in 309 CMR 8.1 6
and if the subsequent adjudicatory proceeding is ended by a written agreement pursuant
to 309 CMR~8.17(4)(a), the penalty shall be due, and shall be paid in full, no later than
21 days after the date the Board approves said agreement in writing.
3. If the person assessed the penalty files the statement described in 309 CMR 8.16,
and if the subsequent adjudicatory proceeding is ended by a final decision approved and
signed by the Board pursuant to 309 CMR 8.17(4)(b), and if a penalty is assessed
' pursuant to said final decision, and if a civil action for judicial review is not commenced,
pursuant to M.G.L. c. 30A, within 30 days of the date said final decision is approved and
signed by the Board, the penalty shall be due, and shall be paid in full, no later than 30
' days after the date the Board approves and signs said final decision.
4. If the person assessed the penalty files the statement required pursuant to 309 CMR
8.16, and if the subsequent adjudicatory proceeding is ended by a final decision approved
and signed by the Board pursuant to 309 CMR S.17(4)(b), and if a penalty is assessed
pursuant to said final decision, and if a civil action for judicial review is commenced,
pursuant to M.G.L. c. 30A, within 30 days of the date said final decision is approved and
signed by the Board, and if the Court upholds the assessment of the penalty in whole or
in part, the penalty shall be due, and shall be paid in full, no later than 21 days after the
date of the entry of the Court's judgment, or by such other deadline as the Court may
prescribe.
8/11/95 309 CMR-38
-------
309 CMR: BOARD OF REGISTRATION OF
HAZARDOUS WASTE SITE CLEANUP PROFESSIONALS
8.18: continued
,(b) The Board may authorize payment of a civil administrative penalty at a time or times
later than those prescribed pursuant to 309 CMR 8.18(2)(a). No such authorization shall be
valid unless made expressly and in writing. In the absence of any such express written
authorization, the provisions of 309 CMR 8.18(2)(a) shall apply. If the Board gives any such
..express written authorization, the-civil administrative penalty shall be paid in full at the time
or times specified therein. . .. ."...'.'
(c) If the person assessed the penalty files the statement for which the Board Has provided
. in 309 CMR 8.11 but does not attend or does not successfully complete the course of
remedial education prescribed by the Board by the deadline specified by the Board, that
person shall pay the full amount of-the penalty, plus interest at the rate set forth in M.G.L.
c. 231, § 6C, calculated from the date such person filed such statement with the Board.
(3) Consequences of Failure to Make Payment When Due. Each person who fails to pay a
penalty in full and on time in compliance with 309 CMR 8.18(2) shall be liable to the
Commonwealth for up to three times the amount of the penalty, together with costs, plus interest
from the time the penalty became final, and attorneys' fees, including all costs and attorneys' fees
incurred directly in the collection thereof. This is in addition to any other remedy authorized by
.any requirement, including, but not limited to, suspension or revocation of license. ;
REGULATORY AUTHORITY
309 CMR 8.00: M.G.L. c. 21A,§§ 16 and 19 through 19J.
8/11/95 . . 309 CMR-39
-------
-------
Appendix G
Comprehensive Response Action Transmittal Form
(BWSC-107A/B)
And Phase I Completion Statement
(BWSC-108)
G-1
-------
-------
Massachusetts Department of Environmental Protection
Bureau of Waste Site Cleanup
TIER CLASSIFICATION, TIER II EXTENSION &
TIER II TRANSFER TRANSMITTAL FORM
Pursuant to 310 CMR 40.0510 and 40.0560 (Subpart E)
BWSC-107A
Release Tracking Number
A. DISPOSAL SITE LOCATION:
Disposal Site Name: ;
Street: .'-1' '
City/Town:
Location Aid:
ZIP Code:
Related Release Tracking Numbers That This Submittal Will Address:
B. THIS FORM IS BEING USED TO: (check all that apply) , ,
i~~\ Submit a new or revised Tier Classification Submittal for a Tier I Site, including a Numerical Ranking Scoresheet , . "-
(complete Sections A, B, C, I, J, K and L). -
[~~] Submit a new or revised Tier Classification Submittal for a Tier II Site, including a Numerical Ranking Scoresheet
(complete Sections A, B, C, F, G| I, J, K and L). , . , ,
Q Submit a Notice thai an additional Release Tracking Number(s) is (are) being linked to this Tier Classified Site and rescoring is not
required at this time (complete Sections A, B, J; K and L). If this submittal is for a Tier I Site, you must also submit a Minor Permit Modification
TransmittalFprm(BWSC-109), - - - ;
List Additional Release Tracking Number(s): .- : ' ' '
[~| Submit a Phase I Completion Statement supporting a Tier Classification Submittal (complete Sections A, B, I, J, K and L).
I! Submit a Tier II Extension Submittal for Response Actions at a Tier II Site (complete Sections A, B, D, F, G; I, J, K and j_).
[~~| Submit a Tier II Extension Submittal for Response Actions taken after expiration of a Waiver, pursuant to 310 CMR 40.0630(4)
(complete Sections A, B, D, F, J, K and L, and also complete Sections-G and I or Section H).*
r~] Submit a Tier II Transfer Submittal for a change in person(s) undertaking Response Actions at a Tier II Site
(complete Sections A, B, E, F, G, I, J, K, L, M, NandO). ,
ED Submit a Tier II Transfer Submittal for a change in person(s) undertaking Response Actions at a Waiver Site, pursuant to
310 CMR 40.0630(6) (complete Sections A. B, E, F, J, K, L, M, N and 6, and also complete Sections G and I or Section H).*
-.''.. You must attach all supporting documentation required for each use of form indicated,
including copies of any Legal Notices and Notices to Public Officials required by 310 CMR 40.1400.
'NOTE: The Waiver expires on the effective date of this submittal and all further Response Actions must be taken as a Tier II Site.
C. HER CLASSIFICATION SUBMITTAL:
Numerical Ranking Score for Disposal Site:'(from Numerical Ranking Scoresheet).
Proposed Tier Classification of Disposal Site: (check one) J | Tier IA
Q Tier IB .
Check which, if any, of the Tier I inclusionary criteria are met by the Disposal Site, pursuant to 31 0 CMR 40.0520:
TierIC
Tier II
|~~i Groundwater is located within an interim Wellhead Protection Area or a Zone II, and there is evidence of groundwater contamination by.an .
Oil or Hazardous Material at the time of Tier Classification at concentrations equal to or exceeding the applicable RCGW-1 Reportable
Concentration set forth in 310 CMR 40.0360. . ;
| | An Imminent Hazard is present at the time of Tier Classification.
Check here if this Tier Classification revises a previous submittal for this Disposal Site. You must include a revised Numerical Ranking Scoresheet
with this submittal. If a Tier I Permit has been issued, you may also need to submit a Major Permit Modification Application (BWSC 10).
If incorporating additional Release(s) into the Disposal Site, list Release Tracking Number(s): ___ __ : _ - _ .
D. TIER II EXTENSION SUBMITTAL REQUIREMENTS:
State the expiration date of the Tier II Classification or Waiver for the Disposal Site, whichever is applicable:.
Attach a statement summarizing why a Permanent or Temporary Solution has not been achieved at the Disposal Site.
A Tier II Extension is effective for a period of one year beyond the current expiration date of the Tier II Classification or Waiver.
E. TIER II TRANSFER SUBMITTAL REQUIREMENTS:
State the proposed effective date of the change in person(s) undertaking Response Actions at the Disposal Site:.
Attach a statement summarizing the reasons for the proposed change in person(s) undertaking the Response Actions.
Disposal Site or received a Waiver of Approvals.
Revised 4/6/95
Supersedes Forms BWSC-010(in part) and 014
Do Not Alter This Form
Pagel of 4
-------
Massachusetts Department of Environmental Protection
Bureau of Waste Site Cleanup
TIER CLASSIFICATION, TIER II EXTENSION &
TIER II TRANSFER TRANSMITTAL FORM
Pursuant to 310 CMR 40.0510 and 40.0560 (Subpart E) '
BWSC-107A
Release Tracking Number
F. DISPOSAL SITE COMPLIANCE HISTORY SUM MARY:
» If providing either a Tier Classification Submittal for a Tier II Site or a Tier II Extension Submittal for a Waiver Site, the person named in
Section J must provide a Compliance History. . .
> If providing a Tier II Extension Submittal for a'Tier II Site, the person named in Section J must update their Compliance History since the
effective dale of the Tier II Classification. . ',.,,'*
> If providing a Tier II Transfer Submittal for a Tier II or Waiver Site, the person named in Section M must provide a Compliance History.
Compliance History for (provide only one name per History): _ - .
PI Check here V there has been no change to the Compliance History of the person named above (Extension Submittal for a Tier il Site ONLY).
Ust al permits or licenses that have been issued by the Department that are relevant to this Disposal Site:
PERMIT NUMBER:
PERMIT CATEGORY:
FACILITY ID:
PROGRAM:
ASrQtffllity -, : ' r-
Hazardous Waste (M.G.Lc. 21C) : -1
SoiWWaste . - -
Industrial Wastewater Management . ;
Water Supply ;
Water Pollution Control/Surface Water . : "
Water Poiution Corttroi/Groundwater __ _ .
Water Pollution Control/Sewer Connection , : :
WcUanda Waterways :
Ust all other Federal, state or local permits, licenses, certifications, registrations, variances, or approvals that are relevant to this Disposal Site:
ISSUING AUTHORITY OR PROGRAM, OR DOCUMENTATION TYPE: IDENTIFICATION NUMBER: DATE ISSUED:
If needed, attach to this Transmittal Form a statement further describing the Compliance History of this Disposal Site. This statement must describe
the compliance history of the person named above with the following:
(1) DEP regulations; and
(2) other tews for the protection of health, safety, public welfare and the environment administered or enforced by any other government agency.
Such a statement should identify information such as:
(1) actions relevant to the Disposal Site taken by the Department to enforce its requirements including, but not limited to, a Notice of
Noncompfiance (NON), Notice of Intent to Assess Civil Administrative Penalty (PAN), Notice of Intent to Take Response Action (NORA), and
an administrative enforcement order;
(2) administrative consent orders;
(3) Judfcfcrt consent judgements;
(4) siroRar administrative actions taken by other Federal, state or local agencies;
(S) civil or criminal actions relevant to the Disposal Site brought on behalf of the DEP or other Federal, state, or local agencies; and
(6) any additional relevant information.
For each action identified, provide the following information:
(1) name of the issuing authority, type of action, identification number and date issued; , '
(2) description of noncompliance cited; . , ,
(3) current status of the matter; and , ,
(4) final disposition, if any.
Revised 4/6/95
Supersedes Forms BWSC-010 (in part) and 014
Do Not After This Form
Page "2 of 4
-------
Massachusetts Department of Environmental Protection
Bureau of Waste Site Cteanup . ;
TIER CLASSIFICATION, TIER II EXTENSION &
TIER II TRANSFER TRANSMITTAL FORM
Pursuant to 310 CMR 40.0510 and 40.0560 (SubpartE)
BWSC-1Q7A
Release Tracking Number
G. CERTIFICATION OF ABILITY AND WILLINGNESS:
> If providing either a Tier II Classification Submitta! or a Tier II Extension Submittal, the person who signs this certification MUST be the person
named in Section J, or that person's agent. " , ^
> If providing a Tier II Transfer Submittal, the person who signs this certification MUST be the person named in Section M, or that person's agent.
I attest .under the pains and penalties of perjury that (i) I/the person(s) or entity(ies) on whose behalf this submittal is made has/have personally
examined and am/is familiar with the requirements of M.G.L. c. 21E and 31.0 CMR 40.0000; (ii) based upon my inquiry of the/those Licensed Site
Professionals) employed or engaged to render Professional Services for the disposal site which is the subject of this Transmittal Form and of the
person(s) or entity(ies) on whose behalf this submittal is made, and my/that personXs1) or entity"s(ies') understanding as to the estimated costs of
necessary response actions, that/those person(s) or entity(ies) has/have the technical, financial and legal ability to proceed with response actions for
such site in accordance with M.G.L. c. 21 E, 310 CMR 40.0000 and other applicable requirements; and (iii) that I am fully authorized to make this
attestation on behalf of the person(s) or entity(ies) legally responsible for this submittal. I/the person(s) or entity(ies) on whose behalf this submittal is
made is aware of the requirements in 310 CMR 40.0172.for notifying the Department in the event that I/the person(s) or entity(ies) on whose behalf
this'submittal is made leam(s) that it/they is/are unable to proceed with the necessary response actions. -,-'.'.
By:
(signature)
For:
(print name of person or'entity recorded in Section J or M, as appropriate)
Title:
Date:
If you are submitting either a Tier II Extension Submittal for a Waiver Site or a Tier II Transfer Submittal for a Waiver Site,
you may choose to sign the alternative Ability and Willingness Certification found in Section H
in place of providing the certification in Section G and the LSP Opinion in Section 1.
H. ALTERNATIVE CERTIFICATION OF ABILITY AND WILLINGNESS:
> If providing a Tier II Extension Submittal for a Waiver Site, the person who signs this certification MUST be the person named in Section J; or
that person's agent ' , . ' ' .. . . ......
> If providing a Tier II Transfer Submittal for a Waiver Site, the person who signs this certification MUST be the person named in Section M, or
that person's agent.
I attest under the pains and penalties of perjury that (i) I/the persori(s) or entity(ies) on whose behalf this submittal is made has/have personally
examined and am/is familiar with the requirements of M;G.L. c. 21E and 310 CMR 40.0000; (ii) based upon my inquiry of the Cortsultant-of-Record for
the disposal site which is the subject of this Transmittal Form and of the person(s) or entrty(ies) on whose behalf this submittai is made, and my/that
person's(s') or entity"s(ies') understanding as to the estimated costs of necessary response actions, that/those person(s) or entity(ies) has/have the .
technical, financial and legal ability to proceed with response actions for such site in accordance with M.G.L. c. 21 E, 310 CMR 40.0000 and other
applicable requirements; and (iii) that I am fully authorized to make this attestation oh behalf of the person(s) or entity(ies) legally responsible for this
submittal. I/the person(s) or entity(ies) on whose behalf this submittal is made is aware of the requirements in 310 CMR 40.0172 for notifying the
Department in the event jthat.Whe perspn(s) or entitypes) on whose behalf this submittal is made learn(s) that it/they is/are unable to proceed with the
'necessary response actions. '
By:.
(signature)
For.
(print name of person or entity recorded in Section J or M, as appropriate)
Title:
Date:
I. LSP OPINION:
I attest under the pains and penalties of perjury that I have personally examined and am familiar with this transmittal form, including any and alt documents
accompanying this submittal. In my professional opinion and judgment based upon application of (i) the standard of care in 309 CMR 4.02(1), (ii) the -
applicable provisions of 309 CMR 4.02(2) and (3), and (iii) the-provisions of 309 CMR 4.03(5), to the best of my knowledge, information andrbelief,
> if Section B. of this form indicates that a Tier I or Tier II Classification Submittal which relies upon a previously submitted'Phase I Completion
Statement is being submitted, this Tier Classification Submittal has been developed in accordance with the applicable provisions of M.G.L. c. 21E and
310 CMR 40.0000; _ .. /
> if Section B of this form indicates that a Phase I Completion Statement bra Tier I or TierII Classification Submittal which does not rely upon
a previously submitted Phase I Completion Statement is being submitted, the response action(s) that is (are) the subject of this submittal (i) ha.s
(have) been developed and implemented in accordance with the applicable provisions of M.G.L. c. 21E and 310 CMR 40.0000, (ii) is (are) appropriate
and reasonable to accomplish the purposes of such response action(s) as set forth in the applicable provisions of M.G.L. c. 21E and 310 CMR
40.0000, and (iii)-complies(y) with the identified provisions of all orders, permits, and approvals identified in this submittal; ' .
...'':. SECTION I IS CONTINUED ON THE NEXT PAGE
Revised 4/6/95
Supersedes Forms BWSC-010 (in part) and 014
Do Not Alter This Form . ,
Page 3 of 4
-------
Massachusetts Department of Environmental Protection BWSC-107A
Bureau of Waste Site Cleanup
TIER CLASSIFICATION, TIER II EXTENSION & Release Tracking Number
TIER II TRANSFER TRANSMITTAL FORM
Pursuant to 310 CMR 40.0510 and 40.0560 (Subpart E)
I. LSP OPINION: (continued)
> iTSecfion B of this form Indicates that a TierU Extension Submittal or a Tier II Transfer Submittal is being submitted, the response action(s) that
« (am) the subject of this submrttal (i) is (are) being implemented in accordance with the applicable provisions of M.G.L. c. 21E and 310 CMR 40.0000,
(ift »(are) appropriate and reasonable to accomplish the purposes of such response action(s) as set forth in the applicable provisions of M.G.L. c. 21E
and 310 CMR 40.0000. and (Hi) complies(y) with the identified provisions of all orders, permits, and approvals identified in this submittal.
I am aware that significant penalties may result, including, but not limited to, possible fines and imprisonment, if I submit information which I know to
be false, inaccurate or materially incomplete.
(""I Check here if the Response Actlon{s) on which this opinion is based, if any, are (were) subject to any order(s), permitfs) and/or approvals)
Issued by DEP or EPA. If the box is checked, you MUST attach a statement identifying the applicable provisions thereof.
LSPName: ' LSP#:_ Stamp: '
Telephone: " Ext.:' :
FAX: (optionag : :
Signature:
Date:
J. PERSON MAKING SUBMITTAL: (For Transfer Submittals describe person currently undertaking response actions, not transferee)
Name of Organization: '. : .: : _ _ .'.
Name of Contact: ; Title: . . : _
Street : : : ..,.., ,
City/Town:
State: ZIP Code:
Telephone: Ext.: FAX-(optional)
K. RELATIONSHIP TO DISPOSAL SITE OF PERSON MAKING SUBMITTAL: (check one)
{j| RPorPRP Specify: Q Owner O Operator Q Generator Q Transporter Other RP or PRP:
Q Fiduciary, Secured Lender or Municipality with Exempt Status (as defined by M.G.L. c. 21 E, s. 2)
Q Agency or Public Utility on a Right of Way (as defined by M.G.L. c. 21 E,s.5(j)) - .
Q Any Other Person Making Submittal Specify Relationship: ^_____
L. CERTIFICATION OF PERSON MAKING SUBMITTAL:
lt __^__ . attest under the pains and penalties of perjury (i) that I have personally examined and am
famiBar with the information contained in this submittal, including any and all documents accompanying this transmittal form, (ii) that, based on my inquiry
of those Individuals Immediately responsible for obtaining the information, the material information contained in this submittal is, to the best of my
knowfedge and beBef, true, accurate and complete, and (ffi) that I am fully authorized to make this attestation on behalf of the entity legally responsible for
this sobntftal. Whe person or entity on whose behalf this submittal is made am/is aware that there are significant penalties, including, but not limited to,
possible fmes and imprisonment, for willfully submitting false, inaccurate, or incomplete information.
By:
(signature)
Fon _ _ - Date: - : - : - : -
(print name of person or entfty recorded in Section J) .
Enter address of the person providing certification(s), including Ability and Willingness Certification where applicable, if different from address
recorded in Section J:
Street: _ _ __ _ _ _ '
Cfty/Town: . _ ; _ '. _ state: _ '. _ ZIP Code: _ ; _
Tetephcm Ext.: FAX: (optional)
YOU MUST COMPLETE ALL RELEVANT SECTIONS OF THIS FORM OR DEP MAY RETURN THE DOCUMENT AS
INCOMPLETE. IF YOU SUBMIT AN INCOMPLETE FORM, YOU MAY B'E PENALIZED FOR MISSING
A REQUIRED DEADLINE, AND YOU MAY INCUR ADDITIONAL COMPLIANCE FEES.
Revised 4/6V95 Supersedes Forms BWSC-010 (in part) and 014 . .Page 4 of 4
Do Not Alter This Form
-------
Massachusetts Department of Environmental Protection BWSG-107B
Bureau of Waste Site Cleanup
TIER CLASSIFICATION, TIER II EXTENSION & Release Tracking Number
TIER II TRANSFER TRANSMITTAL FORM
Pursuant to 31OCMR 40.0510 and 40.0560 (SubpartE)
Only complete and submit this page if you are providing a Tier II Transfer Submittal for a Tier II Site or a Waiver Site.
M. PERSON WHO IS TRANSFEREE:
Name pf Organization:
Name of Contact: .. ' . - Trtte: .
Street: ' . '; '-..'.
CityHown: '';'-' ' : State:. - ' ZIP Code:
Telephone: ..''"' . ' ' Ext: ' FAX: (optional)
N. RELATIONSHIP TO DISPOSAL SITE OF PERSON WHO IS TRANSFEREE: (check one)
Q RPorPRP Specify: Q Own61" Q Operator Q Generator'Q Transporter Other RP or PRP: _
Q Fiduciary, Secured Lender or Municipality with Exempt Status (as defined by M.G.L. c. 21E, s. 2)
L] Agency or Public Utility on a Right of Way (as defined by-M.G.Lc. 21 E,s. 50)) ' . .'
Q Any Other Person Who is Transferee Specify Relationship: ' , '
O. CERTIFICATION OF PERSON WHO IS TRANSFEREE: ,
l_ ' . __ - , attest under the pains and penalties of perjury (i) that I have personally examined and am
familiar with the information contained in this submittal, including any and all documents accompanying this transmittal form, (ii).that, based on my
inquiry of those individuals immediately responsible for obtaining the information, the material information contained in this submittal is, to the best of
my knowledge and belief, true, accurate and complete, and (Hi) that I am fully authorized to make this attestation on behalf of the entity legally
responsible for this submittal. I/the person or entity on whose behalf this submittal is made am/is aware that there are significant penalties, including,
but not limited to, possible fines and imprisonment, for willfully submitting false, inaccurate, or incomplete information.
By. ' '. ' . ' Title: ' - - - /
(signature)
For: \ _; ._ ' Date: "-
" (print name of person or entity recorded in Section M) _
Enter address of the person providing certification.^ different from address recorded in Section M:
Street: : -' ' .
City/Town: . ' - '' State: '~ ZIP Code:
Telephone: .''".- * ' ExL: -.-.' ' FAX: (optional) '
YOU MUST COMPLETE ALL RELEVANT SECTIONS OF THIS FORM OR DEP MAY RETURN THE DOCUMENT AS
INCOMPLETE. IF YOU SUBMIT AN INCOMPLETE FORM, YOU MAY BE PENALIZED FOR MISSING
A REQUIRED DEADLINE, AND YOU MAY INCUR ADDITIONAL COMPLIANCE FEES.
1 Revised 4/6/95 Supersedes Forms BWSC-010 (in part) and 014 - Page 1 of 1
"
-------
^
-------
Massachusetts Department of Environmental Protection BWSC-108
Bureau of Waste Site Cleanup
COMPREHENSIVE RESPONSE ACTION TRANSMITTAL Release Tracking Number
FORM & PHASE I COMPLETION STATEMENT
Pursuant to 310 CMR 40.0484 (Subpart D) and 40.0800 (Subpart H)
A. SITE LOCATION:
Site Name: (optional)
Street: . " - ' ' ' ' ' . Location Aid:
City/Town: ZIP Code: _
Related Release Tracking Numbers that this.Form Addresses: - '
Tier Classification: (check one of the following) Q TierIA - Q] Tier IB Q Tier 1C Q Tier II [~] Not Tier Classified
If a Tier I Permit has been issued, state the Permit Number:- . :
B. THIS FORM IS BEING USED TO: (check all that apply)
|~| submit a Phase I Completion Statement, pursuant to 310 CMR 40.0484 (complete Sections A, B, C, G, H, I and J).
[""I Submit aPhase II Scope of Work, pursuant to 310 CMR 40.0834 (complete Sections -A, B, C, G, H, land J).
I | Submit a final Phase II Comprehensive Site Report and Completion Statement, pursuant to 310 CMR 40.0836
(complete Sections A, B, C, D, G, H, I and J). . .
r~\ Submit a Phase HI Remedial Action Plan and Completion Statement! pursuant to 310 CMR 40.0862 (complete Sections A, B, C, G, H, I and J).
[""I Submit a Phase IV Remedy Implementation Plan, pursuant to 310 CMR 40.0874 (complete Sections A, B, C, G, H, I and J). '
F] Submit an As-Built Construction Report, pursuant to 310 CMR 40.0875 (complete Sections A, B,C, G,H, land J).
P~| Submit a Phase IV Final Inspection Report and Completion Statement, pursuant to 310 CMR 40.0878 and 40.0879
(complete Sections A, B, C, E, G, H, I and J). ; ' " , ,
PI submit a periodic Phase V Inspection & Monitoring Report, pursuant to 310 CMR 40.0892 (complete Sections A, B, C, G, H, I and J).
I I Submit a final Phase V Inspections. Monitoring Report and Completion Statement, pursuant to 310 CMR 40.0893
(complete Sections A, B, C, F, G, H, I and J).
You must attach all supporting documentation required for each use Of form indicated, including copies of
any Legal Notices and Notices to Public Officials required by 310 CMR 40.1400.
C. RESPONSE ACTIONS:
II Check here if any response action(s) that serves as the basis for the Phase submittal(s) involves the use of Innovative Technologies. (DEP is
interested in using this information to create an Innovative Technologies Clearinghouse.)
Describe Technologies:
D. PHASE II COMPLETION STATEMENT: .
Specify the outcome of the Phase II Comprehensive Site-Assessment: ,
PI Additional Comprehensive Response Actions are necessary at this Site, based on the results of the Phase II Comprehensive Site Assessment.
r~l The requirements of a Class A Response Action Outcome have been met and a completed Response Action Outcome Statement (BWSC-104)
will be submitted to DEP. ...... \
II The requirements of a Class B Response Action Outcome have been met and a completed Response Action Outcome Statement (BWSC-104)
will be submitted to DEP. . ' . .
[""I Rescoring of this Site using the Numerical Ranking System is necessary, based on the results of the final Phase II Report.
E. PHASE IV COMPLETION STATEMENT:
Specify the outcome of Phase IV activities: " ,
n Phase V operation, maintenance or monitoring of the Comprehensive Response Action is necessary to achieve a Response Action Outcome.
(This site will be subject to a Phase'V Operation, Maintenance and Monitoring Annual Compliance Fee.)
I| The requirements of a Class A Response Action Outcome have been met. No additional operation, maintenance or "monitoring is necessary to
ensure the integrity of the Response Action Outcome. A completed Response Action Outcome Statement (BWSC-104) will be submitted to
DEP. ' ' " . . . . ' ' . . ' .
;.
: DEP.
r~] The requirements of a Class C Response Action Outcome have been met. No additional operation, maintenance or monitoring is necessary to
ensure the integrity of the Response Action Outcome; A completed Response Action Outcome Statement (BWSC-104) will be submitted to
SECTION E IS CONTINUED ON THE NEXT PAGE
Revised 3/30/95 - - ' Supersedes Forms BWSC-010 (in part) and 013 Page 1 of 3
Do Not Alter This Form - .V- - . '
-------
Massachusetts Department of Environmental Protection BWSC-108
Bureau of Waste Site Cleanup
COMPREHENSIVE RESPONSE ACTION TRANSMITTAL Release Tracking Number
FORM & PHASE I COMPLETION STATEMENT
Pursuant to 310 CMR 40.0484 (Subpart D) and 40.0800 (Subpart H)
E. PHASE IV COMPLETION STATEMENT: (continued) ,
(""I The requirements of a Class C Response Action Outcome have been met. Further operation, maintenance or monitoring of the. remedial- action
is necessary to ensure that conditions are maintained and that further progress is made toward a Permanent Solution. A completed Response
Action Outcome Statement (BWSC-104) will be submitted to DEP. . ' '
Indicate whether the operation and maintenance will be Active or Passive. (Active Operation and Maintenance is defined at 310 CMR 40.0006.):
Q Active Operation and Maintenance Q> .Passive Operation and Maintenance
(Active Operation and Maintenance makes the Site subject to a Post-RAO Class C Active Operation and Maintenance Annual Compliance Fee.)
F. PHASE V COMPLETION STATEMENT:
Specify the outcome of Phase V activities:
f~l The requirements of a Class A Response Action Outcome have been met and a completed .Response Action Outcome Statement (BWSC-104)
wit) be submitted to DEP. .
["I The requirements of a Class C Response Action Outcome have been met. No additional operation, maintenance or monitoring is necessary to
ensure the integrity of the Response Action Outcome. A completed Response Action Outcome Statement (BWSC-104) will be submitted to DEP.
PI The requirements of a Class C Response Action Outcome have been met. Further operation, maintenance or monitoring of the remedial action
is necessary to ensure that conditions are maintained and that further progress is made toward a Permanent Solution. A completed Response
Action Outcome Statement (BWSC-104) will be submitted to DEP.
Indicate whether the operation and maintenance will be Active or Passive. (Active Operation and Maintenance is defined at 310 CMR 40.0006.):
Q Active Operation and Maintenance O Passive Operation and Maintenance
(Active Operation and Maintenance makes the Site subject to a Post-RAO Class C Active Operation and Maintenance Annual Compliance Fee.)
it
G. LSP OPINION:
I attest under the pains and penalties of perjury that I have personally examined and am familiar with the information contained in this transmittal form,
including any and all documents accompanying this submittal. In my professional opinion and judgment based upon application of (i) the standard of
cant in 309 CMR 4.02(1), (ii) the applicable provisions of 309 CMR 4.02(2) and (3), and (iii) the provisions of 309 CMR 4.03(5), to the best of my
knowledge, Information and belief, . '. " ,..- ,
> IfStction B Indicates that a Phase I, Phase II, Phase III, Phase IV or Phase V Completion Statement is being submitted, the response action(s)
that is (are) the subject of this submittal (i) has (have) been developed and implemented in accordance with the applicable provisions of M.G.L. c. 21E
and 310 CMR 40,0000, (ii) is (are) appropriate and reasonable to accomplish the purposes of such response action(s) as set forth in the applicable
pf ovaions of M.G.L. c. 21E and 310 CMR 40.0000, and (iii) complies(y) with the identified provisions of all orders, permits, and approvals identified in
this submfttal;
* IfStction B Indcates that a Phase II Scope of Work or a Phase IV Remedy Implementation Plan is being submitted, the response action(s) that
Is (are) the subject of this submittal (i) has (have) been developed in accordance with the applicable provisions of M.G.L. c. 21E and 310 CMR
40,0000, (ii) Is (are) appropriate and reasonable to accomplish the purposes of such response action(s) as set forth in the applicable provisions of
M.G.L c. 21E and 310 CMR 40.0000, and (iii) complies(y) with the identified provisions of all orders, permits, and approvals identified in this submittal;
> IfStction B /ndfcafes that an As-Built Construction Report or a Phase V Inspection and Monitoring Report is being submitted, the response
action{s) that is (are) the subject of this submittal (i) is (are) being implemented in accordance with the applicable provisions of M.G.L. c. 21F and 310
CMR 40,0000, (H) is (are) appropriate and reasonable to accomplish the purposes of such response action(s) as set forth in the applicable p ovisions
of M.G.L c. 21E and 310 CMR 40.0000, and (iii) complies(y) with the identified provisions of all orders, permits, and approvals identified in t is
submittal, . '.-.."
I am awire that significant penalties may result, including, but not limited to, possible fines and imprisonment, if I submit information which I ho\ to
be false, inaccurate or materially incomplete.
j~l Check here if the Response Action(s) on which this opinion is based, if any, are (were) subject to any order(s), permit(s) and/or approv !(s)
Issued by DEP or EPA. If the box is checked, you MUST attach a statement identifying the applicable provisions thereof.
LSP Name: LSP#: Stamp:
Telephone: Ext- .
FAX; (optional) :
Signature:
Date:
Revised 3/30/95 Supersedes Forms BWSC-010 (in part) and 013 Page 2 of 3
Do Not Alter This Form
-------
Massachusetts Department of Environmental Protection
Bureau of Waste Site Cleanup
COMPREHENSIVE RESPONSE ACTION TRANSMITTAL
FORM & PHASE I COMPLETION STATEMENT
Pursuant to 310 CMR 40.0484 (Subpart D) and 40.0800 (Subpart H)
BWSC-108
Release Tracking Number
H. PERSON UNDERTAKING RESPONSE ACTION(S):
Name of Organization: ' .
Name of Contact:
Street:
Title:
City/Town:
Telephone:
Statef
ZIP Code:
Ext.:
FAX: (optional)
j~] Check here if there has been a change in the person undertaking the Response Action.
I. RELATIONSHIP TO SITE OF PERSON UNDERTAKING RESPONSE ACTION(S): (checkone)
Q] RPorPRP Specify: O Owner Q Operator Q Generator Q Transporter OtherRPorPRP: :
Q Fiduciary, Secured Lender or Municipality with Exempt Status (as defined by M.G.L c. 21E, s. 2)
Q] Agency or Public Utility on a Right ofWay (as defined by M.G.L.c. 21 E,s.5(j))" '
r~] Any Other Person Undertaking Response Action Specify Relationship: ' -
J. CERTIFICATION OF PERSON UNDERTAKING RESPONSE ACTION(S):
/attest under the pains and penalties of perjury (i) that I have personally examined and am
familiar with the information contained in this submittal, including any and all documents accompanying this transmittal form, (ii) that, based on my inquiry
of those individuals immediately responsible.for obtaining the information, the material information contained in this submittal is, to the best of my
' knowledge and belief, true/accurate and complete/and (Hi) that I am fully authorized to make this attestation on behalf of the entity legally reaponsible for
this submittal. I/the person or entity on whose behalf this submittal is made am/is aware that there are significant penalties, including, but not limited to,
possible fines and imprisonment, for willfully submitting false, inaccurate, or incomplete information.
By:.
(signature)
For:
Title:
Date:
(print name of person or entity recorded in Section H) '
Enter address of the person providing certification, if different from address recorded in Section H:
Street: - . ' '-'': ' ; . "-''' , '. .-..
-.,,,' _2 State:
City/Town:
Telephone:
ZIP.Code:
Ext,:
FAX: (optional)
YOU MUST COMPLETE ALL RELEVANT SECTIONS OF THIS FORM OR DEP MAY RETURN THE DOCUMENT AS
INCOMPLETE. IF YOU SUBMIT AN INCOMPLETE FORM, YOU MAY BE PENALIZED FOR MISSING
A REQUIRED DEADLINE.
Revised 3/30/95
Supersedes Forms BWSC-010 (in part) and 013
Do Not Alter This Form
Page 3 of 3
-------
-------
Appendix H
Instructions ForThe Application For Temporary
Licensing And Qualification For Examination
H-1
-------
-------
LSP APPLICATION PACKAGE
SEPTEMBER 1994
Board of Registration of Hazardous
Waste Site Cleanup Professionals
' Instructions for the
Application
for Temporary Licensing & Qualification for Examination
1. INTRODUCTION
The Board of Registration of Hazardous Waste Site Cleanup Professionals is pleased to present
the September 19°" Licensed Site Professional Appliration Package.
f ' " , - "
The Board's process for evaluating applications is designed to ensure that each applicant receives
a fair and impartial decision based on the information nresented to ;t. You can assist the Board
to accomplish this goal by remembering that: : -
a!! applicants should read these instructions, the LSP regulations, and the
other information in the application package carefully before beginning to
complete the LSP application forms; the Board has a responsibility to apply its
.applications criteria as defined by the LSP regulations; applicants'misunder-
standing of those regulations or of the Board's applications procedures or these
instructions may cause applications to be delayed or denied;
.-.'-,' ' ' 4 . .
applicants have the burden to both claim and demonstrate that they meet the
requirements for licensing: applicants should review their applications to ensure
that the Board's questions are answered fully and completely;.the Board relies
primarily upon the written information provided in the application forms to decide
whether or not to issue a temporary LSP license; * *
applicants should ensure that the information they provide in the application
forms stands alone, and does not depend upon any other information or
knowledge of the applicant 6r his or her reputation, firm or experience: the
Board's discretion to consider information provided by applicants external to the
application form is limited by statute and by the Board's evaluation procedure;
therefore, unless specifically requested to do so by the Board, applicants will not
have the opportunity to add any other written or oral information, to their
applications;
LSP Application Instructions September 1994
-------
page 2
applicants should not rely upon their gencrai understanding of the Board's
mission or upon information from other sources as a basis for completing the
application forms; they should refer to these instructions, the LSP regulations, the
definitions of terms in the LSP regulations, and other information in the
application package to understand the criteria thai the Board uses to evaluate
applicants'qualifications;
If applicants need additional information during the preparation of this Application, they may call
the Board's offices at (617) 556-1145. Please note that staff will answer general questions about
the application and the evaluation process, but must refrain from discussing the specifics of any
applicant's qualifications.' Applicants with special needs may contact the Board for assistance or
additional information. .
The Board's regulations describe in detail the qualifications and standards of practice for LSPs.
A copy of these regulations (309 CMR 1.00 through 8.00) is in this packet. The law establishing
the Board of Registration of Hazardous Waste Site Cleanup Professionals and authorizing the
Board to establish a licensing program is M.G.L. c. 21 A, section 19-19J
go to next page
LSP Application Instructions September 1994
-------
.'-.- . , --.-'.. . page3 v: -'-;'.'' --. -..,
2. INFORMATION ABOUT QUALIFICATIONS FOR LICENSING
Attributes of an LSP: An LSP is "an individual who, by reason of appropriate education,
training and experience, is qualified, as attested by being licensed by the board, to render waste
site cleanup activity opinions that can be relied upon as sufficient to protect public health, safety.
welfare and the environment." '
The regulations establish eight attributes that an individual must have to be licensed as an LSP
and therefor issue opinions that can be relied upon to protect public health, safety, welfare and
the environment. Two of these attributes (overall technical understanding and overall regulatory
understanding) will be evaluated through an examination to be developed and given over the next
year. - . . , ' . .. "..".' -'-'-.
These other six attributes will be evaluated through the application process Applicants must
meet the minimum requirements for all of these attributes to be issued a temporary license. The
six attributes are: '',
* waste site cleanup decision making experience
* practical experience
proficiency
; > total professional experience .--'"" '"-.'
. * good moral character.
* . appropriate education - -
- ' ' * ' ' . " '
The-first three attributes, considered together, make up Relevant Professional Experience (RPE).
Relevant Professional Experience is the core of what it is to be an LSP; most of the Board's
evaluation of applications will center upon RPE. Applicants have the burden of both claiming
and. demonstrating that they meet the regulators- requirements for RPE. Presented below is
information describing how the Board will evaluate the information provided by applicants to
support their request for issuance of a license.
Relevant Professional Experience: The Board's determination of whether an applicant
possesses sufficient Relevant Professional Experience to be given .a license is a central
component of the licensing process, and is viewed by the Board as core experience that must-be
demonstrated to receive an LSP license.
The Board's regulations define Relevant Professional Experience as "a combination of waste site
cleanup decision making experience and practical experience, both performed with proficiency.
Relevant Professional Experience does not include experience involving only, non-scientific or
non-technical activities associated with a disposal site, such as contract management, budget
control, legal analysis and other similar management activities."
Please note that the Board intends to use information gathered through .any part of the application
review process to reach a determination concerning an applicant's qualifications to become an
LSP Application Instructions September 1994
-------
page 4
LSP, If an individual meets the qualifications established in the LSP regulations, the Board will
issue that person a license.
Whai will the Board accept as a demonstration thai 1 ha\'c the needed RPE? The
Board's questions on Forms 2 (positions) and Forms 3 (projects) ask complex questions
designed to elicit analytical information about the nature of applicants' work experience
and decision making responsibilities. Applicants have the burden of presenting written
evidence and supporting information that backs up their claims that they meet the
requirements for licensing.
The Board will conduct .a position by position review : In determining whether an applicant
possesses Relevant Professional (RPE), the Board will review each position separately. The
Board will determine whether all aspects of the RPE definition are met for each position. If a
position fails to meet any aspect of the definition, it will not be credited as RPE.
Applicants are responsible for describing different sets of responsibilities as different positions.
If a position contains different sets of responsibilities, and the Board is not convinced that the
entire position meets the requirements for RPE, the position will not be credited as RPE, unless
the Board finds evidence in that position description to break the position into discrete time
periods. - - .
My position -seems to meet most but not all of the requirements for
site cleanup decision making experience. Can 1 get partial credit for
'that position? No. In order for the Board4o find that a set of position
responsibilities meets the requirements for waste site cleanup decision
making experience, all of the requirements must be met.
^ - ' .
Applicants should answer the Form 2 questions in a manner that fully describes each, position in
light of the regulator}' requirements, and- should submit at least two illustrative Form 3 project
descriptions for each position. If the project submitted illustrates some aspects of the RPE
definition but not others, the applicant should consider submitting additional corresponding Form
3s that illustrate any missing.aspects.
Applicants' relationship with consultants: The Board is aware that in describing particular
positions, the.applicant's precise decision making role in performing waste site cleanup activities
may not be always be readily apparent. This is often of particular concern when, in performing
such activities, the applicant employed or otherwise utilized contractors, consultants or other
assessment, containment, or remediation specialists to perform some or all of the technical,
regulatory, oversight or management aspects of assessment, containment or remediation work.
Applicants are therefore directed to set forth in detail precisely when they employed or utilized
such experts, under what circumstances, what their day-to-day and overall roles were in relation
to those experts, what aspects of the projects were performed by .the experts, and approximately
LSP Application Instructions September 1994
-------
how much of their waste site cleanup work was performed in that manner (and how much was
performed by the applicants directly). .. .
Since 1 work in a small company, I do not directly supervise.other
people doing sites work. What must I do to have the Board accept that!
supervise or coordinate other people'swork? The regulations refer to
"supervise OR coordinate" in order to recognize that applicants may
direct the work of someone over whom they do not have direct
supervisbri a] authority. For example, some applicants may direct the
activities of teams of workers who work for other firms. Applicants
should describe the manner and degree to which others'work was done
at the applicants'direction. ,
In providing this information, it mav be useful to describe the decision making structure or
hierarchy of the corporation, firm or other entity in which applicants have held the position.
focusing in particular upon applicants' level of authority relative to their supervisors and other
officials or personnel.
Applicants as principal decision makers: Included in the requirements for RPE is a
requirement that the applicant "demonstrate that [he or she has] been an active participant and a
principal decision maker" in performing waste site cleanup activities.
Therefore, applicants do not-have the burden of demonstrating that they are 'the sole principal
decision maker for each position. However, applicants'must clearly demonstrate that their
technical decisions were significant enough components of decisions made at sites to warrant a
finding that they were principal decision makers..
Now thai the MCP has been revised, it seems as though only LSPs can
-. be principal decision makers. How-can I gain decision making
experience ij'I'm not already an LSP? Under the new MCP there are
many opportunities for decisions to be made regarding sites work: only a
small number of those decision are "waste site cleanup advisory
opinions" reserved by regulations and law solely to LSPs. All other
decisions and recommendations may be made by other experienced
individuals, dependent upon the particular requirements of the project
and of the firms carrying out the work. An applicant's recommendation
"and decision may be made under the supervision of a more senior
individual who also holds an LSP license; in such a case the applicant's
burden is still that of demonstrating that he or she is^ principal decision
maker, not THE principal decision maker.
The Board recognizes that in performing those activities, the applicant may have engaged in
collaborative -work with others possessing different fields of expertise. In_< deciding whether the
applicant was "a principal decision maker." the Board will determine whether the applicant
exercised significant overall technical and 'managerial'..decision making responsibility in that
position as a whole.
LSP Application Instructions September 1994
-------
page 6
In so doing, the Board will consider the nature of the position, and the size and complexity of the
corresponding projects, the applicants' decision making role in those projects, and will determine
the extent to which the applicant was involved in technical and managerial aspects of the
significant cleanup decisions made at sites.
Must all of my work have been done in Massachusetts? Ho. The
regulations do not specify that positions, described in Form 2 or the
projects described in Form 3 must have occurred in Massachusetts. The.
Board is developing an examination that will assess each applicants'
"overall technical understanding" and "overall regulator.
understanding", the latter being specific to Massachusetts.
Not all positions or projects that involve waste site cleanup activities will meet the principal
decision maker requirement. That "could be due to various reasons, including making decisions
that do not demonstrate that one was a principal decision maker, positions that primarily involve
the provision of field or analytical support for other decision makers, or project management
without demonstrated technical decision making. Also, positions or projects limited to sub-parts
of an assessment, containment or removal activity and that do not demonstrate a connection to
principal decision making as a whole will not be regarded as evidence of RPE by the Board..
] do risk assessment: can I become an LSP with a specialty .in such a
narrow field? There is nothing in the regulations to prevent a person
who has a narrow specialty within the hazardous waste site cleanup field
from becoming an LSP. as long as they meet all the regulatory
requirements, including that of a. principal decision maker for
assessment, containment or removal activities.
Assessment, containment or removal activities as an integral component of position
responsibilities: Included in the requirements for RPE is a requirement that an applicant's
assessment, containment or removal responsibilities are an integral component of his or her
position.
The Board recognizes that all applicants spend less than 100% of their time making decisions a
sites/whether those other activities are supervising employees, conducting or receiving training.
developing client relationships, or conducting other environmental work. However, applicants .
must demonstrate that their assessment, containment or removal responsibilities were an integral
component of their position responsibilities. ,
/ work in manufacturing 60% of the time and do sites work 40% of the
time. Will this position count as Relevant Professional Experience?
Assuming all other requirements are met, an applicant may receive a
license if his or her "assessment, containment or removal responsibilities
were an integral component of his or her position." The regulations do
not specify-that a certain percentage of time must be spent doing sites
work. It is within that 40% time that applicants must demonstrate that
LSP Application Instructions September 1994
-------
they have sufficient experience and exercise sufficient responsibility to
. meet the requirements for relevant professional experience.
Thus, a position that includes waste site cleanup activities as but one of many functions may still
qualify provided that their performance is a regular part of the position, is not rare, occasional, or
merely tangential to other functions, and meets all other requirements.
The Board does not use any particular quantitative measure in determining whether a position
meets this requirement. The Board will instead make a qualitative determination about whether
applicants' waste site cleanup activities comprise a significant or substantial portion of the
position responsibilities. In addition to examining information provided by the applicant
concerning the frequency or time spent on performing waste site cleanup tasks, the Board will
consider the depth and breadth of tjje waste site cleanup tasks performed, their technical or
regulator}'complexity, and the applicant's overall role in performing them.
go to next page
LSP Application Instructions September 1994
-------
page 8
3. INFORMATION ABOUT THE APPLICATION PROCESS
Temporary Licenses: Until the Board develop? the examination and sets the date for the first
examination, the Board will issue temporary licx-nses that will allow license holders to perform
any of the functions of an LSP and that will qualify them for the examination. In other words.
the Board will award temporary licenses to those who demonstrate that they meet the six
attributes of an LSP as evaluated through the application process. Evaluation of the other two
.attributes will occur when the examination is given.
Temporary license holders who pass that examination will receive regular licenses valid for a 3
year period. The examination will test an applicant's overall technical and regulatory
understanding; the other attributes of an LSP are evaluated through the application review
process. . .
Confidentiality of Information on the Application Form: According to applicable laws, the
Board may be compelled to release information from an applicant's application form to other
people or to the general public in certain circumstances.
Can a member of the public see my application ? Can I get the Board la
agree to hold certain information confidential .or will the public and m\
competitors be able to look at my application?. Since the Board is a
public agency, and since the different statutes ihal.apply to public record*-
contain both genera] rules and performance standards that are met on a
case-by-case basis, it would be prudent for applicants to assume thai am
of the information may at some point become part of the public record.
The Board will make a case-by-case deterrninatidn of what information
may be released based on the specific circumstances of a request.
Application time frames: Applications are being acceptea by Board continually, and the Board
intends to continue to make licensing decisions at each of its monthly meetings. Applicant? can
"expect 10, to 12 weeks between the date their application is submitted and the date the Board
takes action on the application. ' ,'-,--.'
Board action on applications:. The Board first will review each application for administrative
completeness. If the application is determined to be "incomplete", a letter will be sent to
applicants requesting-additional information or application materials. The applicant assumes full
responsibility for the timely provision of all materials.
Completed applications are sent to an Application Review Panel for substantive evaluation. The ,
, Application Review Panel will be either a recommendation for approval or denial or a request for
additional information from the'applicant or other parties. That Panel consists of a set of three of
the eleven Board, members'and one staff person. The three.members of the Panel evaluate the
LSP Application Instructions September 1994
-------
.'- .'.'-'.,' - , -. page 9 ; .. ' ; ' ;
application and make a recommendation to the fulLBoard: staff assists the Board members and
does not vote. i ; ,
The Application Review Panel may recommend a decision to the full Board may ask for
additional information from the applicant, or may ask for additional information from
supervisors, references, or the like. If additional information is requested from applicants, they
may provide the information to the Board, voluntarily withdraw their application, or ask the
Board to make a decision based upon the information available to the Board at that time.
Recommendations from Application Review Panels are sent to the full Board for its
consideration and action. These recommendations are held confidential until the day of the
Board's meeting. ' "
Ho\\-can 1 influence fae Board's decisions before the meetings? Does the
Board allow applicants to present additional information at the
meetings? The Board has a responsibility to the public to applicant's to
ensure that the application review process is as objective as possible.
-...' The Board's application evaluation process requires all information from
the applicants to come to the Board within the application form, or in
response to specific questions from application review panels. There is
currently no opportunity in the application review process for applicants
to decide to add information to their application by making oral .
presentations to the Board.
Applicants approved by the Board will receive letters of approval which authorize them to secure
the LSP seal and begin practicing .Applicants-denied by the Board will receive letters ,
explaining the Board's decision, describing appeal rights, and offering an inten'iew with the staff
person who handled their application to discuss the reasons for the Board's actions.
Outside Information; It is possible that the Board may receive written information regarding
an applicant's qualifications from any individual. In addition, the law establishing the LSP
program requires the Board to notify the Department of Environmental Protection of all
applicants, licensees, license.suspensions and other disciplinary actions. The Board's written
evaluation process describes how the Board wilj consider such "outside information" during the
application evaluation process.
How will the board deal with letters written about an applicant from ~
disgruntled or complaining former clients?The Board anticipates
. receiving written comments regarding applicants from DEP and from
members of the public, and is establishing a specific process to handle
this "outside" information. Two of the goals of this' process are to
ensure that frivolous or false information will not taint the review of
applications, and to help the Board to meet its responsibility to consider
: relevant information before deciding whether to issue a license.
LSP Application Instructions September 1994
-------
page 10
Referents and other persons: The Board may contact the referents and other persons listed in
the application to obtain additional information about an applicant's qualifications with or , _
without notifying the applicant.
Substitutions For Requirements: All applicants must meet all requirements to obtain a license.
There are a limited number of instances in which the regulations provide substitutions for these
. requirements. (For example, up to two years of credit for TPE may be obtained through specific
educational substitutions.) In those limited instances, the applicant has the burden of proof and
must specifically request and provide sufficient information in support of the substitution.
Many graduate students work while going to school. 1 worked as a
Research Assistant JS hours per week during the school year while
-getting my Masters Degree doing' fate and transport research at sites.
My work was not pan of my degree requirements, and J did earn the
Masters. Can I count both the work 1 did as Relevant Professional
Experience and get credit for my degree? The answer to this question
depends upon individual circumstances.' Assuming that the work done
meets all other requirements for licensing (e.g., principal decision
making), and assuming that the work done was nol required as part of
the graduate degree requirements, applicants could claim and receive
credit for both the degree and the work.' Since work in a position less .
than.20 hours per week must be pro rated , a person working 15 hours
per week for 8 months during a calendar year would claim 112 year of
"work. ' .
Interviews: The Board can require an in-person interview with an applicant to obtain , .
information pertaining to the application. Thaunterview may be with the entire Board, an
Application Review Panel, or a subcommittee of the Board.
Proof of Education: All applicants must submit "original transcripts or other documentation
from the appropriate educational institution(s) to verify that he or she meets the required
educational qualifications". Note that copies made by the applicant of documents he or she
received from educational institutions do not meet this requirement.
The Standard Track and the Alternate Track have different minimum educational standards:
* Standard Track: college or higher degree in a field listed in Section 3,
Appendix A, of the regulations;
* Alternate Track: graduation from high school.
Reapplication: If the Board does not approve an application, an individual must submit a
complete set of application materials and another application fee to re-apply. Unless the Board
LSP Application Instructions September 1994
-------
page 11
. specifies otherwise, applicants may re-apply at anytime. If the re-applicationoccurs within6
months of the Board's decision, applicants may choose to use the older references.
Fees: The Board is required by'law to charge fees sufficient to recover all costs of its operation.
This means that all the activities of the Board must be supported through fees on those who
choose to use the Board's services, here are four fee^that LSPs are required to pay:
: » application fee of $245 payable at the time the application issubmitted
* ' an annual fee of $ 160payable within 30 days after a licenseis granted and
annually thereafter
a renewal fee of $100 payable30 days before the end of a license period
(currently 3 years)
* an examination fee* to be set when the examination is; developed.
The application fee must be submitted at the same time the completed application is
submitted. If the Board cannot determine that an applicant has paid the application fee. the
Board will stop working on that application.
Examination: The Board is developing an examination to evaluate two of the eight attributes
necessary to become an LSP: .overall technical understanding and overall regulatory
understanding (see the regulations for definitions of these requirements). The Board intends to
begin giving the examination in mid- to late 1995. The Board will notify' all LSPs (that is.
even-one who holds a temporan license) of the time and location of the examination.
go to next page
LSP Application Instructions September 1994
-------
page 12
.4. APPLICATION INSTRUCTIONS
. - ." .
On the following pages are detailed instructions for each of these forms. The Board will use the
information presented on these forms as critical indicators of an applicant's ability to render
competent waste site cleanup decisions.
Applicants should read thoroughly the Application Instructions, the LSP regulations and all other
information in this application package before attempting to complete these forms. Failure to
understand the nature of the information the Board is seeking in each section may cause your
answers to fail to demonstrate that you meet the requirements for licensing.
The Board requires typed applications: Handwritten applications will be deemed incomplete
and will not be forwarded to the Application Review Panels for evaluation or to the Board for a
decision.
/- ' l
'The Board requires that the answers on the application form be provided in the space provided.
Do not submit additional information unless specifically requested to do so by the application.
Information provided by appJicants that is not requested in the application will hot be used by the
Board to make its licensing decisions.
Applicants have a responsibility to both claim and clearly demonstrate that they meet the
requirements for licensing. Prudent applicants will provide information in the application form
that is relevant to the criteria that the LSP Board will evaluate and will refrain from providing
information not germane to the LSP requirements.
Since the LSP license is issued to an individual, applicants should use the first person singular to
describe their own work, experience and responsibilities.
5. FORM - BY - FORM INSTRUCTIONS
Purpose of the Application Forms: The purpose of these forms is to provide the Board with
information it needs to determine whether you meet the qualifications for licensing. After asking
for general information (Form 1) the forms focus upon your
* Relevant Professional Experience (Forms 2,3 ,4, and 5) and
* Total Professional Experience (Forms 6 and 7). .
The Board will decide whether to grant Relevant Professional Experience for each Form 2
position based upon all the information made available to the Board..
Application Instructions September 1994
-------
'".'. - ;-''-.; ^ '.' ' -' page 13 ' ' . -
FORM1
APPLICANT INFORMATION
Form 1: Applicant Information This form gathers basic information about each applicant.
including the mailing address applicants you want the Board to use in all correspondence.
reformation concerning your educational background, your selection of either the Standard Track
or Alternate Track, information regarding your moral character and proficiency in past work, and
a statement for you to write in your own hand that attests to the correctness of the information in
this Form and provides a means of identification. - :
If this is a re-application, write your previous application number in the space provided at the top
of Form 1, page 1.
* - " " . _"'-'
The Board will use the information provided in this form as your official record in its files. Type
in your name, address and telephone number exactly as you want them to appear in your LSP file.
You are responsible for the accuracy of the information you provide.
If the records you submit to the Board in support of your application refer to you under a
different name, type that name in the space provided. ,
Check the appropriate line to indicate under which Track (Standard or Alternate) you want the
Board to consider your application. If you are unsure which track you fit into, reread the
appropriate sections of the LSP regulations. _' '
Use the Applicant's Education table to summarize your education. Fill m the initials of the type
of degree you received (e.g.. AA. GED. MS). In the last column on the right, check one and only
.one box to indicate the degree you are using to meet the minimum requirements of the Track
under which you want to be considered for licensing. .
If lam relying upon a Masters Degree to qualify for the Standard Track.
do 1 also need to submit documentation to the Board for high school and
for my Bachelor's degrees? No. As noted in the instructions, you will ,
,be checking one box on page one of Form 1 to indicate the degree you
use to qualify for the Standard or Alternate Track; For the purposes of
qualifying for a track, the Board requires documentation for that one
degree only. Note that applicants requesting to use degrees for purposes
"other than qualifying for a track may need to submit additional
documentation. _ .
Attach original documentation that you received that degree following Form 1.
Could the Board be more specific in defining what it will accept as
"original documentation"from schools? When do I need to submit
transcripts? The Board needs to see a document sent from a school
which contains the information verifying that the applicant has the
'educational background that he or she is claiming. Some applicants will
LSP Application Instructions September 1994
-------
page 14 .
be claiming degrees: for those applicants the document from the school
(whether a letter or transcripts) will not need to show specific courses.
Other applicants' claims may be based upon the specific courses taken:
for those applicants the documents from the school must contain the "
course information to back up the applicant's claim
If a college or higher degree, it must be listed in Appendix A of the regulations as a qualifying
degree. If your degree is not listed and you want the Board to consider approving the degree,
explain why the degree should be considered equivalent to those in Appendix A on a separate
page and attach that page following Form 1.
IfIvant to claim my college degree for the Standard Track, but it is nor
listed in the regulations as a qualifying degree, how can 1 get the Board
to accept the degree? As noted in the LSP regulations in Appendix A.
"section '3, you may ask the Board to accept your degree as equivalent to
those listed in Appendix A. The regulations do not specify a particular
method. Each applicant must decide the best way to make the claim.
whether based on courses, program requirements, general purposes of
the major, or other bases.
You must answer each question in the section regarding moral character and proficiency . If you
answer "yes" to any question explain the circumstances on a separate page and attach it following
Form 1.
The Board will use the handwriting Sample you provide here for two purposes: to ensure that the
.information you provide is accurate and as a means of establishing your -vdentiry.
When all pans of the application are ready to submit, sign and date Form 1 and send the
complete application to the Bqard. ,
. FORM 2:
RELEVANT PROFESSIONAL EXPERIENCE
WASTE SITE CLEANUP DECISION MAKING EXPERIENCE
POSITION DESCRIPTIONS
Form 2: Waste Site Cleanup Decision Making Experience: Through descriptions of
positions, Form 2 asks you to explain in detail the type and scope of your waste site cleanup
decision making experience. It includes questions regarding the responsibilities of the position.
your role in selecting methodologies, your supervising experience, the degree to which you
exercised independent judgment, and other information that will enable applicants to both claim
and demonstrate that they meet the requirements for licensing..
The Board will decide whether to grant Relevant Professional Experience for each Foriri 2 .
position based upon all the information made available to the Board. The Board will be applying
LSP Application Instructions September 1994
-------
page 15
the LSP regulations' definition pf "relevant professional experience"; applicants should not-rely
upon a dictionars'definition of the word "relevant."
What is the distinction between Form 2 and Form 3? Form 2 asks
applicants to demonstrate their waste site cleanup decision making
experience by describing position responsibilities. Form 3 asks
applicants to demonstrate their practical experience by describing their
project responsibilities. Note that BOTH forms are used by applicants to
demonstrate their Relevant Professional Experience.
Complete one copy of Form 2 for each of your waste site cleanup decision making positions.
Use discrete time periods for each of your positions; no one Form 2 position should overlap with
any other position RPE or TPE). Make copies of this form as needed.
Describe your most recent position firs:, then work bach in time, numbering them consecutively
in the upper right hand box on page 1. .
In order to obtain as full and as accurate a description of your decision making responsibilities as
possible, the Board expects you to regard the term "position" as a set of particular waste site
cleanup responsibilities, rather than an organizational rank or title. Using this definition, your
waste site cleanup decision making position responsibilities may have changed for a variety of
reasons while formal titles or rank stay the same, resulting in more than one "position".
What is a "position1? Could you give some examples? How many Form
2s should I fill out? While there is no regulatory definition for a
"position", Form 2 focuses upon a set of particular waste site cleanup
responsibilities, not simply applicants'organizationalrank or title. Some
applicants' responsibilities may have changed over time, even thought
their titles have remained the same: those applicants may choose to
.'describe multiple positions, describing the most recent position-first,
then working back in time. Other applicants may have been exercising
the same set of responsibilities over an extended period of time. These
applicants may choose to describe their responsibilities as.one position.
You are urged to provide enough information to the Board so that .it can make an informed
evaluation of your decision making responsibilities over time. If your decision making
responsibilities have changed overtime, the Board expects that you will submit multiple Forms 2
so that you may accurately describe those changes in responsibilities.
Provide the general information requested about the position, including name and telephone
number of your supervisor. ;
The question regarding average number of hours worked does not refer to the number of hours
doing waste site cleanup work; it refers to the number of hours in the position. If you worked in
the position for an average of less than 20 hours per week, list the average number of hours that
you worked. " !:
LSP Application Instructions September 1994
-------
page 16
If the Board has some question about whether I have the 20 hours per
week doing sites work, will the Board exa'mine time sheets to make sure
1 worked on sites that often? First, it is important to note that the
Board's question regarding average hours per week does not refer to ,,
number of hours doing sites work; it refers to the number of hours in
the position as a whole, including but not limited to sites work, non-site
environmental work, and related administrative work. Second, if the
Board has questions about any of the information on the application, it
will begin its search for information using the resources made available
to it within the application process (e.g., the applicant, supervisors.
references, etc.). If the questions are answered to the Board's
satisfaction, it will not proceed further. If the questions are not, the
Board can choose to seek additional information.
Do not pro 'rate you experience orrForms 2 unless specifically directed to,do so by these
instructions. According to the Board's regulations, applicants who demonstrate that they meet
the requirements for waste site cleanup decision making will receive credit for the entire time
period: even if that position also contains additional responsibilities that are not related to
hazardous waste site assessment, containment or removal. ~
/ work at my position 60 hours a week, and I can document that time.
Can I receive additional years of credit for working more than 40 hours
per week and. for example, earn my five years of Relevant Professional
Experience in 3years? No. If an applicant works 60 hours in a week,
even at two different jobs, they get credit for that one week of work
Include a short .description of your field(s) of expertise for this position. The Board will evaluate
your suitability'to become as LSP in pan upon your own definition of your field or fields of
expertise. While the Board does not require any applicant to possess a predetermined breadth or
;dcpth of knowledge in the assessment, containment or removal fields, it will closely examine
your application and supporting materials to ensure that you have sufficient expertise within your
field or fields of expertise to render waste site cleanup activity opinions.
Form 2 then asks four questions regarding the nature of your waste site cleanup decision making
responsibilities in this position. Answer these questions thoughtfully and carefully. The Board
will look for supporting information in other parts of the application to ensure that you Have
exercised sufficient decision making responsibilities in a proficient manner. Be as specific as
possible in your answers. Use the first person singular whenever appropriate.
Question d asks you about the level of responsibility and independent judgment you exercised in
this position. The Board recognizes that waste site cleanup decision making experience may
consist of work than includes the contributions of others in reaching decisions on waste site
cleanup activities. Applicants must demonstrate that they have been an active participant and a
principal decision maker, as required in the regulations.
'How do I gain experience to qualify as an LSP if the LSPs are ihe ones
making the decisions at sites? LSPs are required by law to issue waste
LSP Application Instructions September 1994
-------
--' ' -' '^ -' / . - ".page 17 ...'.' - ..' - ' '
, v site cleanup activin opinions, which are required at certain milestones
during activities at a site. These opinions are based on a series of
actions and decisions by individuals and teams of experts While it is
hypothetically possible for a fiim or client to reserve all active
participation and principal decision making at sites solely to LSPs/in
practice LSPs issuing the opinions depend significantly upon others'
decision making experience. :
At the bottom right of page 3. list the number of years and months in this position. If you
worked in the position for ah average of less than 20 hours per week, you must pro rate your
experience: divide the average number of hours you worked per week by 20 and multiply that
fraction times the number of months you were in this position.
Hou -do I handle a leave of absence? Applicants areresponsible for
demonstrating tHat the\ have the minimum number of years of
experience for receiving a license. Applicants are individually
responsible as professionals to represent to the Board as accurately as
possible the amount of experience they have. Applicants'have choices
about how to inform the Board that they have a gap in service: the
"duration" lines in Form 2 , separate Form 2s for experience on either
side of the gap. and/or Form 5 to explain these circumstances.
.' -S - . ' - . ~ . . -' . *
Note that the Board's regulations do not allow any educational substitutions for Relevant
Professional Experience, Iri order to claim employment as a teacher or as a student as Relevant
Professional Experience, the applicant must demonstrate that the responsibilities of that position
meet the requirements for.Relevant Professional Experience in the same manner as any other
position. In.addjtion. there are further restrictions upon students' ability to claim Relevant
Professional Experience (see the regulations)... ""''.
FORM 3
RELEVANT PROFESSIONAL EXPERIENCE
PRACTICAL EXPERIENCE
PROJECT DESCRIPTIONS
Form 3: Practical Experience: Through descriptions of between 5 and 10 assessment,
containment and removal projects, your Forms 3 illustrate your Practical Experience and the
breadth and depth of your waste site cleanup experience. Includes questions regarding the
application of your technical expertise, the nature and extent of contamination, and your decision
making role in the project. .
, . " ' ' " - .'".".
Complete at least five but no more than ten copies of Form 3 describing your application of
technical knowledge arid skills in assessment, containment or removal projects. In the upper
right hand box of page 1, number each project description.
Submit atjeasi 2 project descriptions for each Form 2 position.
LSP Application Instructions September 1994
-------
page 18
You should select projects that best describe your experience, and that allow the Board lo
evaluate your understanding of your field or fields of expertise. You do not have to list projects
in all areas of waste site cleanup; you should carefully select the projects you describe so that
* they accurately convey your understanding of the assessment, containment or removal work that
you do. The Board will look for supporting information in this and other parts of the application
to ensure that you have exercised sufficient decision making responsibilities in a proficient
manner.
How does the Board define a "project"? Can I separate a site info
operable units or separate a site into phases and claim each as a
separate project? Applicants' are limited to 5 to 10 projects to
demonstrate their practical experience. Applicants are free to describe
the sites work that they believe best demonstrates their practical '
experience. The regulations do not prohibit applicants describing
discrete units or phases at a site as separate projects.
You may choose to describe projects that you believe are equivalent to assessment, containment
or removal projects, as specified in the LSP regulations. If you do so, explain why you think
those projects are equivalent to assessment, containment or removal projects using Forrn 3 and
Form 5.
If my main position responsibilities appear to be something other than
sites assessment, containment and removal (e.g., land/ill assessment:
asbestos removal, residuals management) will that experience still count
for relevant professional experience? If J come from this background
how do I demonstrate that this experience qualifies as relevant
professional experience? Relevant professional experience consists of
both waste site cleanup decision making experience and practical
experience. The definition of waste site cleanup decision making
experience (which applicants wjll demonstrate in Form 2 requires that
an applicant's assessment, containment or removal responsibilities were
an integral component of his or her position. Applicants whose
responsibilities appear not to be assessment, containment or removal
must demonstrate that they meet the regulatory requirements. Form 5,
the Optional Statement, can be used by all applicants to provide
information that may not fit into the other forms.
Provide all information requested about the project, including identification of the client. Do not
l.eave any lines or boxes unfilled. Be aware that while listing a client as ."confidential" does riot
render your application incomplete, the Board's ability to verify the information you provide or to
obtain further information regarding your project may be impaired if you choose to refrain from
listing a client.
LSP Application Instructions September 1994
-------
page 19
' . '. ' " ; FORM 4 "'."'"-.-. . :
RELEVANT PROFESSIONAL EXPERIENCE
SUMMARY OF POSITIONS
Form 4: Summary of RPE positions: Summarizes the positions from Form 2. Here you will
claim your years and months of Relevant Professional Experience.
Complete Form 4 to summarize the number of years of waste site cleanup decision making
experience. You are not jequired to fill in each row.
Using the position numbers from your Form(s) 2, provide a short description of each position;
then list the elapsed time for each position in years and months.
-' '"'" . . - ' .' -.. _>s* . ".". ;: '.'. -'-. /'' -\ ... . . -
Then list the numbers of the Forms 3 (project descriptions) that correspond to each position, and
indicate the month and year that each project started and finished (you can bring that infonnatipn
forward from the project duration portion of each Form 3.) ....-.;-
Total the elapsed time for all claimed Form 2 positions in the box at the bottom of the Form.
That resulting number is the total time you are claiming as Relevant Professional Experience.
FORM 5
OPTIONAL STATEMENT OF QUALIFICATIONS
Form 5: Optional Statement: You may write a statement up to 250 words in length in Form 5
providing additional information in support of your demonstration of Relevant Professional
Experience. For guidance see the definition of Relevant Professional Experience in the
regulations. .
FORM 6
TOTAL PROFESSIONAL EXPERIENCE
POSITION DESCRIPTIONS
Form 6: TPE positions: Describes additional scientific, engineering, or environmental positions
to demonstrate that you meet the Board's requirements for Total Professional Experience.
If I have more that 8 years of Relevant Professional Experience and am ,
on the Standard Track, do I have to fill out any Form 6s? That decision
is at the discretion of the applicant. If you choose aot to fill put any ,
Forms 6. include one in your packet and mark it NA. However, be sure
that you have the number of years of Total Professional Experience
needed for vour track in box 4 on Form 7 .
LSP Application Instructions September 1994
-------
page 20
Complete one Form 6 for each of your environmental, scientific, or engineering positions. Do not
include any positions you already claimed as Relevant Professional Experience in your Forms 2.
Should I list my Relevant Professional Experience positions on Form 6
10 claim them as Total Professional Experience? No. Form 7, box 1,
provides a way for you to carry forward your Relevant Professional
Experience into the calculation for Total Professional Experience. (That
is done because, as defined in the regulations, Relevant Professional
Experience is a subset of Total Professional Experience.)
Note that the regulations place specific conditions upon any claims for substitutions for Total
Professional Experience, and that claims for Total Professional Experience during a period of
full-time education are significantly restricted by the LSP regulations.
Is teaching experience considered by the Board to be total professional
experience? If the work done meets the regulatory requirements, it will
be counted. Applicants who want to claim teaching as, total professional
experience must demonstrate that they meet the requirements for total
professional experience. .
Make additional copies of your Form 6 as needed. Describe your most recent position first, then
work back in time, numbering them consecutively 'in the box in the upper right corner of Form 6.
Provide all the information requested. If you worked in a position for an average of less than 20
hours per week, list the average number of hours that you worked. At the bottom right of each
Form 6 list the number of years and months in this position. If you worked in the position for an
average of less-than 20 hours per week', you must pro rate your experience: divide the average
number of hours you worked per week by 20 and multiply that fraction times the number of
months you were in this position.
FORM 7
TOTAL PROFESSIONAL EXPERIENCE
POSITION DESCRIPTIONS
Form 7: Summary of TPE positions: By adding together the amount of time, you spent in
positions performing Relevant Professional Experience (Box 1), the time you spent in positions
performing Total Professional Experience (Box 2), and any credits for education (Box 3), this
form summarizes the number of years of Total Professional Experience claimed (Box 4).
Note that the form automatically counts your claimed Relevant Professional Experience from
Form 4 as Total Professional Experience.
The Board's regulations grant educational credit for Total Professional Experience only under
specific limited circumstances. Generally, credit may be claimed only for completed degrees,;
LSP Application Instructions September 1994
-------
.page 21
but niay not be claimed_for degrees used to meet the minimum requirements for the Standard or
Alternate Track.
If you claim the credits, attach original documentation that you received the .appropriate degree
immediately following Form 7. .
If you are in the Standard Track, a degree for which you claim credit must be from the list of
qualified degrees in Appendix A. For the Alternate Track, credit may be claimed for any AA,
baccalaureate or higher degree. A maximum of two years credit may be claimed.
SUMMARY OF REFERENCES
PROFESSIONAL REFERENCE FORMS
Summary of References: Lists the names, addresses and telephone numbers of the four people
that are submitting references on your behalf.
Professional Reference Forms: The application package contains 4 professional reference
forms. 4 envelopes are also provided, one for each reference form. You will send one reference
form and one envelope your referents. They will complete the forms, seal them in the envelopes
provided, arid return them to you, You then will submit the four sealed references as part ofyour
completed application.
For each of the three page reference forms fill in the information about each referent in Box 1.
Then fill in the waiver of liability information in box 2,
You must choose whether or not to waive any claims against the referent and whether or not to
waive any rights to review the reference's submittal; Sign and date box 2 on the line provided.'
On the waiver statement on the reference forms, what will happen if I
don't choose either "do" or "do not"? As long as the rest of the
reference form is complete, the Board will consider the reference
information in its application review.
To each referent send the following items:
the appropriate three page reference form
* the two page description of the LSP program provided in this package
* the return envelope with the signature line on the back flap of the
envelope. '
Be sure to arrange for each referent to return to you their completed reference form sealed inside
me return envelope with the referent's signature across the back of the envelope. You will then
submit these four sealed envelopes as part of your application.
end of Application Instructions
LSP Application Instructions September 1994
-------
-------
Appendix I
Audit Implementation Plan,
January 27,1994
1-1
-------
-------
AUDIT IMPLEMENTATION PLAN
-'.... Fiscal Years 93-94 and 94-95
January. 27, 1994
For Publi c Releas e
-------
Audit Implementation Plan
TABLE OF CONTENTS
I. Introduction 2
Purpose of This Plan -
Origin of Audit Program.
Audits as Part of the Compliance Continuum
Activities Considered to Be Audits
II. Goals, Standard of Evaluation and Confidentiality. 6
The Pour Major Goals of the Audit Program
Minimum Standard of Evaluation for Audits
Confidentiality
III. Roles and Responsibilities ... 11
Regional Audit Staff
Other Regional BWSC Staff . "
Boston Audit Coordinator
The Audit Team
Roles of Other Bureaus
IV. The Audit Selection Process 16
V. Overview of Audit Process 17
The Audit .
Compliance Assistance
Standard Forms and Correspondence
VI. Audit Guidance .21
VII. Training ; 21
VIII. Program Evaluation ..'... 22
Authors
Stephen Winslow drawing from reports and information prepared by
Brian Moran, Neil Ram, Russell Clifton, Mary Gardner, Cathy Wanat,
Pat Donahue, Joe Kowal and Suzanne Roberts.
For Public Release
-------
Audit Implementation Plan . . : 2
I. Introduction ' - . . . . . . -;,....'
.A... Purpose of this Plan - . ' "
, * .,.-'"- = , , ,
This Audit Implementation Plan describes: -. - .-
t the Goals of the/Waste Site Cleanup audit.program;
4 the Roles and Responsibilities of the Department
staff, sections and bureaus responsible for implementing
the program;. ' , / '
'-."- * . - . ~ .
4. the Process auditors will follow when conducting audits
and. related activities; and . .
*the Measures of Success the program will use to
monitor its effectiveness;-
This plan should be viewed as a working.draft that begins to
structure the audit program. This plan will be modified
: accordingly when problems implementing it arise. This plan
is not intended to create any substantive or- procedural
rights. '
B. Origin of the Audit Program ... . ' .
The 1992 Amendments to Massachusetts General Law
Chapter 21E shifted1, the responsibility to proceed with
response actions from the Department to private parties who
engage License Waste Site Cleanup Professionals- (LSPs).
That legislation also mandated that the Department audit a
sufficient number of private response actions not overseen by
- the Department to ensure compliance with M.G.L. C.21E and the
. MCP. Each year the Department must, at a minimum, audit 20%
of the sites subject to annual compliance assurance fees.;
Pursuant to that .mandate, the Department promulgated
regulations which generally set out. procedures the Department
. will follow when conducting audits and compliance assistance
that results from audits. Section V describes those
procedures and how the Department intends 'to implement them
iri more detail. ~ . (
For Public Release
-------
Audit Implementation Plan ' 3
' , ' - .. -. -
C. Audits as Part of the Compliance Continuum-
Audits constitute only one of the many, regulatory tools
the Department can use to review and ensure compliance with
the MCP. Other compliance tools include:
1. Permit Review consisting of review and processing
of permit applications;
2. Direct Oversight through review and approval of
response actions;
3. Response Action Deadline Compliance Tracking
including tracking the timely submittal of response
action reports;
4. Site Inspections allowed by permit, waiver, statute
or consent; , '-
5. Investigations in response to release notifications
and referrals from within the Department, other
government agencies or the public;
6. Enforcement Actions including the issuance of
notices of noncompliance, orders, penalty assessment
notices, revocation of permits and referrals to the
Attorney General's office or other law enforcement
authorities; and,
7. Publicly-funded Response Actions including the
issuance of Notices of Response Action and cost
recovery actions.
Significant overlaps exist between audits and the listed
compliance activities.- The listed activities should, not be
viewed as rigid categories into which a particular Department
action must be fit. Rather, the listed activities should be
viewed as an overlapping continuum of actions a. number of
which can be applied in the same circumstance. Figure 1
presents a representation of the BWSC Compliance Continuum
fjrom the time a reportable release, or threat of release
occurs until a response action outcome has been reached. The
shaded areas represent the relative amount of responsibility
each of the BWSC regional sections have for ensuring
compliance at a particular point in the MCP process.
For Public Release
-------
BWSC COMPLIANCE CONTINUUM
Figure 1
Notification
Classification Permitting
RAO
5 years From
RAO A or I)
BWSG Section
Em. Response investigate
&SiteNotif
Permits
Audits
Site Management
Sections vary between regions.
Oversight
oflRAsft
IRACs Oversight and
Inspection of
Imminent Hazard Referrals -i
Track Permit Filing and
Order Permit Submitta
on Permit Compliance ../...'
NRSfan*"',';;", \; ' /:/-> 'j,;-/{"-\ 7,/ ?,;VRAOs';I
Tier II ;x j '* Audits at IB.IQ II ", " t'' " ''. ^1^
pr^iw-- , ' , ^ *\f, 9, ''''. '','':₯ " '
' ' v ""
Compliance
Review for Tier II
Permit &
Track Permit- Filing and K NRS Review
Order Permit SubmittalXP/*
Post-RAO
^Oversight
: Shaded Area Represents ^
'- Level of Responsibility for §
' Compliance
' - '.. f- ; ' ', , ' -' ?'',
TIME
January 27,1994
-------
Audit Implementation Plan 5
Figure 1 demonstrates the overlap of compliance
activities and responsibilities for compliance within BWSC.
For instance, failures to notify may be identified by either
the Emergency Response and Site Management (ER&SN) section
during an investigation of a referral from local officials
or the Audit section while auditing a Tier II submittal. The
ER&SN section may review, approve and inspect a RAM, the
permit staff may prioritize- that site for permitting because
of the nature of the RAM-and the audit staff could ultimately
assess the effectiveness of the RAM after an RAO has been
submitted. In that instance, a visit to -confirm compliance
would be called a site inspection for ER&SN staff, permit
review for permit. staff and an audit for audit staff. An
auditor may rely upon recent site inspections by ER&SN or
permit staff to complete necessary audit activities.
The relationship between audits and other compliance
activities should be viewed , as a two-way street. Other
compliance activities can "result in the flagging of a site
for audit while auditors can refer a site to other Department
staff for appropriate response action. For instance, ER&SN
staff may flag a site for audit after responding to an
imminent hazard referral.. Auditors may refer certain
imminent hazards to the ER&SN staff.
D. Activities Considered to Be Audits
As a result of the overlap between the various
compliance activities,, the-type of compliance activity being
conducted by the Department will not" determine whether such
activity is an audit. Nor will the. Audit program try to
count every compliance activity as an audit. Rather, a
compliance activity will be considered an audit when the
Department:
4 follows the procedures for audit described in Subpart K
of the KCP, such as sending a Notice of Audit and making
Audit Findings;
4 follows the procedures for implementing Subpart K
described in this plan and audit guidance developed
pursuant to this plan; and,
4 is not conducting or overseeing the response -action at
the time of the audit. . ,
Compliance activities which solely review procedural
compliance with the MCP will not be considered an audit. For
instance, administrative completeness review consisting
For Public Release
-------
Audit Implementation Plan - 6
solely of a review.to determine whether necessary. ;
documentation has been submitted and completed will 'not be
considered an audit. Also, tracking of compliance deadlines
using the Department's databases will not be considered.
auditing. .'-_","- . ..-'-.-
II. Goals, Standard of Care arid Ethic
A. The Four Major Goals of the Audit Program (known as the
4C"s) , as well as goals for BWSC's entire compliance
program, are to: _ . . ' '-",'
l. Achieve an. increasing level of Compliance.with the
MCP to ensure protection of health,.safety, public
welfare and the -environment 'overall.--. .''.'
- 2... Ensure the Consistency of audits .and compliance
activities within and across regions.
. . . ' 3.. Establish-the Credibility of the -audit and compliance
: ,- programs to the public, Licensed Site Professionals,
. .. ' ~ the regulated community and the Department.
' ) ' -
4. Meet-the Commitment to audit 20% of sites subject to
^ compliance fees. -
. The following section discusses these goals in more
,-. ; > ; detail. .. ' " . ' . '
Compliance .
The audit program as part of ; 'BWSC's entire
. . compliance program seeks to achieve an increasing level,
of compliance with the MCP over, the course of time for
all response actions or sites. The audit - program will
primarily focus. on compliance with the MCP after a site
has' been scored , or otherwise classified. The
possibility that a response action or site may be
.audited will -cause RPs, PRPs or Other Person to perform
response actions in compliance with the regulations to
'- avoid any enforcement actions that could result from an
audit and costs to redo response action to achieve
compliance. r
Figure. 2 contains an idealized representation of
compliance scenarios. As a site progresses through the
; MCP process, the audit and compliance programs will seek
to establish the acceptable and unacceptable 'range of
For Public Release
-------
Figure 2
Compliance Scenarios
RELEASE
CO
o
5
<
uj
CO
z
o
Q.
CO
ill
OC
U.
O
Progress of Site through MCP
Response Action
Outcome
Acceptable
Unacceptable
Excursion(s) of
unacceptable response
Acceptable
Outcome
Acceptable
Outcome
Unacceptable
Outcome
-------
Audit Implementation Plan : . 8 '
quality of response actions. Without some possibility of
.".-'. audit, response actions may fall ' out of the acceptable
.range, following .the lower curve depicted on Figure 2.
BWSC will seek to perform enough audits to ensure that
at a"., substantial majority of .response actions RP, PRPs,
and Other " Persons, self-regulate themselves .with the
assistance of LSPs and over time achieve compliance,
following the upper curve in Figure 2. . -'
The audit and compliance programs will particularly
.focus on those response actions and sites, which fall
4 below the acceptable range of quality. In particular,
. , Auditors lyill"...- seek to identify violations and
deficiencies which, if- not remedied, . pose the greatest,
risks to health, safety, public welfare and the
environment. ' Audit . selection procedures attempt to
target groups of-, sites and response actions where
violations and .deficiencies pose the greatest risk to
" health, safety, public welfare and the environment and
,..--. where the most substantial yiolat-ions and deficiencies
have been identified in the past.
The audit program will assist responsible parties
, return .to arid .remain at an acceptable level of~
compliance through --the use of compliance assistance
under Subpart K. Auditors will seek to identify areas
where responsible parties and LSPs ..need further guidance
to consistently achieve an acceptable .level of
compliance, .. '"..---.-"':
/ . Many auditors have in the past served as project
managers responsible, for ensuring compliance at
.' individual sites at 'each approval step. -In contrast, an
auditor serves as a member of a team striving to achieve
an increasing .level of compliance .at all sites subject
to audit. Of course, auditors must focus- on individual
- .sites when conducting audits. In auditing individual
sites, audit staff will seek to identify the most
substantial violations and deficiencies in the group of
sites audited to provide examples to other RPs, PRPs and
Other Persons who have not been audited. When making
audit findings, auditors should hot only seek to guide
the RP, PRP or Other Person subject to the audit but
should also guide other's who may review . that audit
finding. .
The results of«.random audits will be used to track
: . whether the audit and compliance programs achieve an
. .increasing level of compliance over time.
For Public Release
-------
Audit Implementation Plan
Consistency
BWSC staff will seek to achieve as high a level of
consistency as practicable between the1 audit and
compliance actions conducted by different BWSC staff and
between different regions. For audits, this consistency
includes consistency in:
4- the criteria used to select sites for audit,
4 the forms and correspondence used to initiate and
complete an audit, " , .
4 the* minimum standard of evaluation for audits,
4 the minimum level of audit evaluation activities
conducted, '
4 the guidance used 'to evaluate response actions
and sites,
4- audit findings, /
4 requirements ,to correct violations and
deficiencies, ,
4 compliance assistance procedures. .
Credibility .
To attain credibility, the Audit program must meet
the varying expectations of the public, the regulated
community, Licensed Site Professionals and the
Department for the redesigned 2IE program.
The December 1990 Waste Site Cleanup Program
Improvements Report set forth the basic principles of
the redesigned 21E program and called for a vigorous
audit and enforcement program. The public and regulated
community expect audits to ensure private sector
compliance with applicable requirements, to operate as
efficiently as possible and to serve as part of a
program that encourages private sector responses to the
maximum extent possible. The regulated community also
expects audits to have a definite beginning and end, to
follow the regulatory procedures and to be limited in
time after an RAO.
LSPs expect to exercise professional, judgment when
rendering opinions -regarding . the adequacy of
assessments, appropriateness of cleanup decisions and .
completeness of response actions implemented. If LSPs
For Public Release
-------
Audit Implementation Plan , , 10
find that they can never render .opinions without direct
involvement of audit or other Department staff, the
audit 'program will fail because the Department lacks
sufficient staff to audit each,site. .
r The Department expects the audit program to confirm
: private sector compriance with the MCP, to identify
portions of the new regulations that cause confusion>
..- result in inconsistencies or warrant the development of
'_ further policies, and to protect against abuse of the
discretion the new regulations provide,
To a'chieve all those .expectations,, the Audit
program will conduct frequent site inspections and avoid
simply reviewing reports using checklists. Audit
, Findings will be made publicly available so that the
public, ,LSPs and the regulated community all can review
whether the audit program achieves their expectations.
4. Commitment to Achieving the 20% Target :
This Audit Plan seeks to achieve the statutory goal
.of' auditing 20% "of all sites and response 'actions
subject; to annual compliance fees. BWSC will make a
good faith effort to see that' audits following the
procedures of Subpart K of the MCP are conducted at 20%
of all sites and response ~actions .subject to annual-
compliance " fees. In 'addition, the audit program will
. conduct audits of response actions and sites .not subject
to annual compliance fees" as part of an overall effo'rt
to promote compliance with 21E and the MCP. Compliance
activities other than audits pursuant to Subpart K will
also be tracked and reported, : :
B. Minimum Standard of Evaluation for Audits . .-
The Minimum Standard of Evaluation, for Audits sets forth
four basic evaluations that experienced Department staff and
consultants believe to be :necessary to determine the adequacy
of response actions. To achieve -that Minimum Standard of
Evaluation, an audit must evaluate:
1.- the sufficiency, appropriateness and validity, of
data upon which response actions are based,
2. the reasonableness of interpretations of site.
. information and the adequacy of the selected .
. response actions,
; 3. the achievement of compliance with the applicable
.-. requirements of the MCP with particular emphasis on
For Public Release
-------
Audit Implementation Plan 11
the achievement of the performance standards of the
MCP, ,
4. the consistency of the interpretations and response -
actions with the Best Response Action Management
Approach (BRAMA).
The Audit Findings Form that will be completed during
each audit contains sections to complete the evaluations of
data, interpretations, performance standards' and BRAMA.
Audit Guidance tailored for the individual response actions
being audited emphasizes performance standards and references
relevant regulatory sections, policies and guidance.
Standards the Department uses to evaluate the sufficiency of
response actions will evolve over time through discussions
between the Department and LSPs as each gains experience with'
the 1993 MCP.
C. Confidentiality , , " . -
Release of certain information related to the audit
program could jeopardize the effectiveness-of the program in
assessing compliance with 21E and. the MCP. Audit Guidance
may have auditors focus on limited aspects of response
actions. If Audit Guidance becomes publicly available, ' RPs, jjfe;
' PRPs and Other Persons could tailor response actions to Hv
achieve only those aspects audited by DEP. f Department ^f-
enforcement actions, real estate transactions and the-actions
of RP, PRPs or Other Persons may be affected if such-persons
have prior knowledge that a site will be audited'or of the
specific criteria the Department uses to select sites ' for
audit. As a result, Auditors and other Department"staff must
keep confidential portions of this plan, the Audit Guidance,
lists of sites to be1 audited and auditing criteria
confidential. General audit strategies, however, , will be "
communicated to the public from time to time. The Department
will also tell the public which portions , of the MCP it
considers particularly critical and of course will dedicate
more audit resources to those areas. ,
III. Role and Responsibilities in Implementing the Audit Plan
A. Regional Audit Staff
The Audit program will be implemented by regional .
offices with support from the Boston office. All staff"
directly conducting audits will be located in the regions.
All auditors will be supervised by the Audit Section Chiefs :
and the Regional Engineers for Waste Site Cleanup. A total
of 18 full-time equivalents have been dedicated to the
For Public Release
-------
Audit implementation Plan
12
program in- the regions. The audit staff-has been allocated
based on the expected number of audits per region. The
allocation of auditors assumes that the percentage of - - -.
confirmed disposal sites represents a good estimate of the
percentage of sites 'that will be subject to audit. Figure 3
breaks down the number of "confirmed sites by region in August
1993. The totals in Figure 3 include all priority,.non- -
priority-(including waiver sites) and unclassified sites
except federal superfund sites and federal facilities.
" Number of Confirmed Disposal Sites Per Region ~
. August 1993 ;
WERO
CRO
SERO
NERO
1993 Waiver
1993 Priority &
Unclassified
500 10^00 1500 2000
Figure 3 : ; .,
Figure 4 shows how the audit staff will be allocated
between the regions. Should a greater percentage of sites
be subject to audit in a region, a greater number of audit
staff may be required in that regionv For instance, as
Figure 3 indicates non-waiver confirmed sites (gray bar)',
which will be audited more frequently than waiver site's,
makeup a greater percentage bf confirmed sites in Central,
Southeast and Western region compared to the.Northeast
region.;Future estimates of audit staff needs will be based
on how many sites and response actions arid sites are subject
to audit. FTEs will in many instances be divided between BWSC
staff; some auditors will continue to be project managers.
Having auditors:perform site management at some sites can
broaden auditors experience and technical'skills.
For Public Release
-------
Audit Implementation Plan
13
Fulltime Equivalents Dedicated to Auditing
Boston
WERO
CRO
SERO
NEHO
Total FTE Allocated
01 2345678
Figure 4.
The regional audit staff will select sites for targeted
audit based on the criteria developed by the audit team.
Boston will assist the regions in this effort by developing
reports containing relevant information from BWSC databases.
Regional staff will also conduct audits of sites selected -
entirely at random by the-Boston office.
The Audit Section Chief has the responsibility of
assigning sites to auditors, overseeing all audits, approving
audit findings and reviewing the amount of time spent on each
audit. When an auditor completes the required audit
activities, the auditor will complete the standard audit
findings form and make recommendations for the outcome of the
audit to the Audit Section Chief. The section chief reviews
the findings for consistency with audits conducted by other
auditors and other regions and approves those findings.
Initially, regional engineers will also review audit
findings. Audit finding forms will be forwarded to the
Boston Audit coordinator once finalized. Such forms become
public information when the Notice of Audit Findings is
issued or when Compliance Assistance has.been completed,
whichever is later.
Auditors will be responsible for pursuing enforcement
for violations discovered during the course of an audit.
Other regional staff will have responsibility for pursuing
violations they become aware.
For Public Release
-------
Audit Implementation Plan , , . " .'.-' 14
. B.1 Other Regional BWSC Staff ' , * :
.- ER&SN (including Risk Reduction in NERO) and Permitting
Staff will have appropriate roles in auditing based upon their
responsibilities for compliance activities. Some audits will
-be conducted by staff outside-the Audit and Site Management
sections that will conduct most audits.
C. Boston Audit Coordinator -
The Boston Audit Coordinator has primary responsibility
to co-ordinate the development, implementation, operation and
review of the audit program. That responsibility includes:
. 1.ensuring the Audit Implementation Plan has been
. reviewed and supported by the regions, BWSC Boston, the
Assistant Commissioner and other bureaus,
-2.organizing Audit Team meetings,
3.working with the Audit Team to develop the targeted
audit selection criteria and ensuring review of- those
criteria byBWSC Boston,-Assistant Commissioner, Deputy
Commissioner for Operations and other bureaus,
4. assisting regions to identify sites which meet
targeted criteria and conducting the random.site
selection process with assistance from MIS,
5. overseeing the development of Audit Guidance,
-, standard -audit, correspondence and forms, by members of
the Audit Team, . .
. 6. serving as a sounding board- for audit section chiefs
when new or unique questions arise during audits,
7. reviewing audit findings, identifying major . .
1 inconsistencies between audits, and .raising and
resolving those inconsistencies with the Audit Team
and/or the" regions, ;
; ... 8. -preparing an annual report, of the progress of the
Audit program in meeting its goals; .
9. co-ordinating and/or conducting internal training,
. 10. conducting external training, communicating general
' audit program priorities and responding to general
. questions and concerns regarding the audit program,
11. consulting with the Audit Section chief when an
audit indicates that an enforcement referrals to AG's
office may be warranted. '.'. .
D. The Audit Team , ;'
The Audit Team,consists of the Audit Section Chiefs, the'
Boston Audit Coordinator and representatives of BWSC Policy.
and Program Development Staff, the Bureau of Resource.
..--.- For Public Release
-------
Audit Implementation Plan
15
Protection, the Bureau of Waste Prevention and the Office of
Research and Standards. . ''..
The Team ensures consistency in the initiation,
performance and findings'of audits as spelled out in the
Goals. To achieve that role, the Team develops and revises
standard forms, correspondence and Audit Guidance for the
initiation and performance of audits. The Audit Guidance also
sets forth standard evaluation-points that auditors review
when making findings. Team meetings serve as forums to peer
review audits and audit findings, to discuss issues that arise
during audits and to develop common solutions. The Team will
also plan and develop internal training and workshops for
audit staff. The Team will also discuss and ensure the
consistency in the enforcement actions undertaken as a result
of audits.
After the initial implementation phase of this Plan, the
Audit Team will draft written technical advisories that
resolve significant inconsistencies and issues that
consistently arise during the conduct of audits. Major issues
that warrant the development of policies or regulations will
be referred to the BWSG Planning and Program Development
Section. A discussion paper will further elaborate on the
role of the Audit Team in 'developing technical advisories.
E. Roles of Other Bureaus
Other Bureaus have taken keen interest in particular
aspects of the audit program and have indicated a desire to
remain involved in those aspects as the program is -implemented
and becomes fully operational. BRP and BWP will develop
training for both audit staff and LSPs regarding regulations
of particular concern during waste -site cleanups. When
requested by other bureaus, BWSC will seek to co-ordinate its
audit activities with any enforcement or inspection activities
the other bureaus may decide to conduct that relate to the
response actions being audited.
The Office of Research and Standards, the Office of
General Counsel and Lawrence Experiment Stations will provide
services in their areas of expertise.
For Public Release
-------
\ Audit Implementation Plan , ; ' ..''.. 16
.IV. The Audit Selection .Process * . ,' . ,. _ ,'..."'
" Sites "will be targeted for audit using either a random" or a
targeted selection process. "
"Random auditing creates an- incentive for a greater number
of people to comply with the MCP when compared to strict
prioritization by creating uncertainty that any s.ite or response
action may be audited. . Random, audits , will also serve as-a control,
crroup that allows DEP to report -how successful the new, MCP is
working rather than concentrating DEP resources only where
problems would be expected. -. For the purposes of this, plan, random
auditing refers to the random selection of response actions, sites
or RPs for audit;from Selection Groups. Groups '.will, be selected
to maximize the ability to use' MIS to select sites and minimize
the need for manual review, of files. The Boston Audit, Coordinator
will conduct the random selection for sites. Regions may also
select additional sites for audit, using random selection methods.
For the "purposes of: this plan, targeted auditing refers to
the selection of response actions, sites or RPs for audit based on
a screening of site information using preexisting targeting
criteria/ The purpose of targeted auditing is to use more-DEP
audit resources on those response actions,, sites and PRPs of
greatest concern and allow, -use, of .regional knowledge and
information. The regional and .Boston offices will develop
criteria to use-to target sites for audits through the Audit Team..
Those criteria will be reviewed by the Assistant Commissioner and
the Deputy Commissioner for Operations. Under this plan the
regional offices will ultimately select the sites to be . targeted
for audit- Boston will review site selection information to
identify general trends in regional selection and to determine how
effectively the overall audit strategy has been implemented.
The new MCP has been developed with the expectation that
private parties will be able to rely upon the opinions of LSPs
when making real estate transactions and that the Department will
"focus its resources on those sites that pose the greatest risk.
As a 'result, the Department does not plan to target sites when
requested by parties to real estate1transactions. ,
Sites may be targeted for audit based on the LSP or
consultant who performed the work provided"certain documentation
exists. The audit regulations implicitly permit targeting sites
on this basis. The regulations allow targeted audits even after
five years from an RAO A br-B if the Department can establish a
pattern of noncompliance under 310 CMR 5.00 by the person who
managed the response actions. .A pattern of noncompliance consists
of either two separate violations of, a single regulation or three
For Public Release
-------
Audit Implementation Plan
17
separate violations of different regulation's. In the first set of
audits of work under the 1993 MCP, no sites will be targeted based
on the LSP who performed since LSPs have just obtained their
licenses and no documentation exists of their work. Whenever sites.
have been targeted based on the LSP or consultant of record,
Notices of Audit must be sent,to each RP, PRP or Other Person
whose site is being audited and the RP, PRP or Other Person will
be responsible for implementing any actions to remedy deficiencies
or violations.' All referrals to the LSP Board must be made through
the Assistant Commissioner.
V. Overview of Audit Process
A. The Audit
Figure 5 provides a general flowchart of the auditing
process. Audits will generally follow three basic steps,
information gathering, evaluation, and findings:
audits Begin with
File Reuieui .
Information gathering will generally begin with a
review of information contained within the regional files.
When information gathering requires audit activities more
extensive than a file review, the regulations require the
auditor to issue a Notice of Audit that specifies the scope
of the audit and the type of audit activities to be
-conducted. (The first Decision Box in Figure 5) . Notices of
Audit will generally be sent after an auditor has performed
the initial file review. Auditors will also- frequently
include a request for missing information with the Notice of
Audit. The initial response actions to be audited will
generally be determined at the time a response action or site
has been selected for audit. If a response action was the
particular reason a site, has been selected for audit, the
For Public Release
-------
Audit Implementation Plan
18
audit should focus on that'particular response action.
The Audit Guidance sets "out the minimum level of audit
activities auditors must -undertake to complete an audit.
Generally/ that guidance requires a site visit/inspection in
addition to a file review although the regulations do not
require" a site inspection. The guidance requires site
visits/inspect ions to ensure that the audit program ~ has .a
field presence that will create credibility for the program,
identify glaring deficiencies in response actions and allow
.auditors the , opportunity to be in the field/ An auditor may
rely on site inspections recently conducted by other BWSC
staff. The general requirement that site inspections be
performed will be reviewed after the first round of audits
have been completed. :
ClK*Art Porsocu! Graphic? © 1984, 1989 T/Mjk«r Co
Field Inspections will
ensure fluditors are
not dust Paper Pushers
Information "gathering focuses on .obtaining the
information necessary to complete evaluation activities and
make audit findings. As part of infprmation gathering, each
auditor will complete the general site information portion of
the audit findings form. - ;-';.-. ..
Evaluation focuses on compliance with the performance
standards set forth in the Audit Guidance and meeting the
minimum standard of evaluation for audits. The evaluation
will.be based on regulations, policies and'guidance that
applied at the time the response actions being evaluated were
undertaken or documented. The Audit Guidance first lists the
performance standard that, response actions must meet to be
sufficient under the MCP. The Guidance also contains minimum
evaluation activities each auditor must perform as well as
additional activities the auditor may conduct. That.minimum
level has been incorporated into the guidance to ensure a
quality and consistency between audits necessary to create
credibility for the program. Guidance also contains a ' "-'
For Public Release
-------
BWSC Audit Process
Notice of Audit
Issued by DEP
Site Inspection &
Sampling
Requestfor Meeting with
DEP
Request for Information
Notice of
Noncompllance and
DEP request to
participate In
Compliance Assistance
Compliance Assistance
(at DEP's Option)
Site Selection &
DEP Review of Files
1 Audit Complete
Notice of Audit
Not Issued
Additional
Information
Needed
Notice o' ''.udlt Findings^
NO VIOLATIONS OR
DEFICIENCIES I
Deficiencies
Found
Violations
Found
DEP
Immediate
Enforcement
Notice of Final Audit
Findings &
ENFORCEMENT
Notice of Audit Findings
with DEP requestto
participate in
Compliance Assistance
OR
Notice of Audit Findings
with required steps to
correct deficiencies
DEP Requests
Demonstration of
Compliance
DEP Requests
Consent Order
DEP Requests
Audit Follow-Up Plan
PRP
Complies
K with DEP
Request
DEP Concludes
Compliance Assistance
& Initiates
ENFORCEMENT
DEP Concludes
Compliance Assistance:
Possible Re-audit
KUKIITUWroOWMMauUIOITM.ua
-------
Audit,Implementation Plan ,';'',- 19
listing of applicable regulations, policies and guidance that
the Auditor.can refer to for more, detailed compliance
questions.- The auditor documents the results of the
evaluation on the Audit Findings Form. The Audit Findings
form also contains the evaluation for the minimum standard of
evaluation for audits described in Section IT. :
, Auditors use.the results of their evaluations to make
Audit: Finding recommendations to the. Audit Section Chief as
to whether violations or deficiencies exist {Decision Boxes 2
and'3 in Figure 5). Violations will be considered to have
:occurred when an auditor can document a clear violation of
DEP regulations.* Deficiencies would include situations .where
a RP, PRP or Other Person has failed to follow DEP policy,
technical advice provided by permit staff or BRAMA,, or to
provide sufficient technical justification. As the
Department and LSPs gain more experience, deficiencies
related to policies, BRAMA and technical justification may be
considered violations. Recommendations auditors -may make
include findings that:.
-no deficiencies have been found that .warrant further
Department 'action, . ' ","'
.- deficiencies have .been found and the Notice of Audit
:' Findings should include a statement of specific steps to
correct -those deficiencies; ,
..." - deficiencies have been found and the Notice of'Audit"
- Findings should request that the RP, PRP or Other-- Person
participate In Compliance Assistance,
- violations and deficiencies have been found and the
Notice of Audit Findings- should include a notice of
noncompliance and a statement of specific steps to
.-, . correct those violations and deficiencies,, ~ -
- violations and deficiencies have been found and the
, Notice of Audit- Findings should include a notice of
noncompliance and a request that the RP, PRP or Other
Person participate in Compliance Assistance,
- violations and deficiencies have been found and '
immediate enforcement actions should be taken or the;
matter should.be referred to other Bureaus (Decision Box
#4 in'Figure 5} . L --'"".
The Audit Findings are documented on the Audit Findings
Form by the Auditor and approved by the Compliance Section
For Public Release
-------
Audit Implementation Plan 20
Chief. Depending upon the seriousness of the violations and
deficiencies identified during an audit, audit staff and the
audit section chief may decide to meet with the RP, PRP or
Other Person prior to making audit findings final. Unless
compliance can be confirmed at or immediately after the such
meeting, Compliance Assistance should be initiated and an
Audit Follow-up plan should be required. An audit will be
considered completed when the audit findings form has been
signed by the.Audit Section Chief. Initially the regional
engineers will also review audit findings.
C. Compliance Assistance
Compliance Assistance will be initiated after an audit
has been completed with the approval of the Audit Section
Chief. This plan does not anticipate that each audit will
require the use of compliance assistance. Compliance
Assistance will also be combined with enforcement when
violations do not warrant immediate, independent enforcement
actions. The Audit Team will develop" a strategy to identify
sites that require immediate enforcement as staff gain
experience with audits. In general, immediate enforcement
actions may be required for failures to notify of imminent
hazards especially when any actual harm or further release
has occurred or when an RP, PRP or Other Person has
previously been provided the opportunity to participate in
Compliance Assistance.
The Departments request that an RP, PRP or Other Person
participate in Compliance Assistance will be contained in the
Notice of Audit Findings. The Notice of Audit Findings will
contain a time and a place for the Compliance .Assistance
meeting and any specify actions the RP, PRP or Other Person
should take to prepare for that meeting.
At the meeting, the Auditor will discuss the findings of
the audit and request any further information that may be
readily available to confirm or demonstrate compliance. If
compliance is confirmed at the meeting, the auditor will
prepare a Notice of Final Audit Findings which also
terminates Compliance Assistance. Unless compliance can be
confirmed at or immediately after the Compliance Assistance
meeting, an Audit Follow-up plan will be required. .
The general outline of any Audit Follow-up Plan will be
discussed at the meeting and well as DEP's role in reviewing
and overseeing the implementation of the plan. .The Audit
Follow-up Plan will generally be required to be submitted
within 14-30 days after the meeting depending upon'its
For Public Release
-------
Audit Implementation Plan 21
complexity. "The Audit Follow-up Plan approval letter will
terminate Compliance^Assistance unless otherwise specified.
D. Standard Forms and Correspondence
Forms under development include,: -'..'. x
- Audit Findings Form "
,Correspondence Under Development Includes:
- Notice of Audit & Audit Process Flowchart-.
- Notice of Audit Findings + either:
- statement-of non-deficiency ("A-OK Letter")
- statement .of deficiency and/or, violations
--- statement of deficiency and/or violations, and
, a Compliance Assistance Request :
- Request for an Audit Follow-up Plan ,
. "'- Approval/Disapproval .of .An Audit Follow-up Plan
- Letter Terminating Further Compliance Assistance
VI. Audit Guidance " . " " ' ' ,
, The purpose of Audit Guidance is to establish the minimum
standard of evaluation- for conducting particular types of audit.
The Audit Guidance.will focus particularly on the Performance
Standards established in the MCP. For response actions that laick
specific MCP performance standards., the Audit Team will develop a
standards consistent with the MCP requirements with that response
action for review within BWSC. Guidance will require certain
audit and evaluation activities,be performed to assist auditors
determine whether the performance standards have been met.
VII. Training - . . :. - -...'.
; '..A. Internal ' - -. ' '-
Audit training and workshops will be conducted to keep
audit .staff apprised of developments within the audit
program. Introductory training has already been conducted on
the general .concepts., of the the audit regulations. A
Workshop has been scheduled to provide auditors an
.opportunity to review an audit problem, apply the audit
guidance, propose audit findings and to discuss any audits
they may have already initiated. A conflict resolution case
study is being developed to train auditors in how to avoid
creating unnecessary conflicts. .-.-.'' . .
.Auditors have also participated in training on the new
For Public Release
-------
Audit Implementation Plan 22
MCP and will participate in future trainings, on the MCP,
policies and technical developments in waste site cleanup
technology. BWSC anticipates that external training seminars
will include audit staff and LSPs.
B. External Training
Audits have been mentioned as one of the new compliance
tools under the new MCP at Compliance Assistance Training
(CAT) sessions under the new MCP. A presentation has been
made on the audit program to the LSP Association and another
one will be performed in approximately six months with
members of the audit team. The Boston Audit Coordinator will
communicate general audit themes that give the regulated
community a general sense of what areas the audit program'
will focus on in the future. ' .
Results of audits will be publicly available and can be
used to inform the regulated community regarding DEP's
interpretation of the MCP. The Audit Team may prepare
technical advisories as the result of audits which will also
guide LSPs when making opinions. BWSC will actively encourage
distribution of audit findings,, technical advisories and
other appropriate MCP guidance.
VIII. Program Evaluation
The number of audits to be conducted by each region will be
discussed between the Boston and regional BWSC management to allow
incorporation of the number of audits into the program plans for
each region. BRP and BWP will also develop estimates of the
number of audits they expect to be involved with each year. The
number of response actions and sites subject to audit, including
those eligible for the 20% target, will be determined based on
totals for the past fiscal year. Appropriate adjustments will be
made for any large number of transition sites that become.subject
to audit during the new fiscal year. Mid-year adjustments may be
made if a large number-of response actions subject to audit are
received in the first six months of the fiscal year.
' Response actions and sites that pay annual compliance fees
and that will be counted towards the 20% target include:
1. Releases older than 120 days (if not RAO or Tier IA permit
submitted) ,(120 days runs from 10/1/93 for releases reported
since 8/1/93)
2. Waivers submitted between 8/1/93 - 10/1/93
3. RAMS
4. Any Tier IB or 1C site
For Public Release
-------
Audit Implementation Plan 23
5. Any Tier II site . '-':" ." ' ''. ',. : ; ' ; -.'__"'
Ah audit,of a response action or-site will be counted towards
the 20% target if: ' ; .
. (1) an annual compliance fee or other type of compliance .fee
has been or is required to be paid in the fiscal year in
question, or such a fee was paid in the prior fiscal year,
(2).an audit has been initiated. r
Other 'compliance activities such as site inspections and
audits of waiver sites and LSP evaluation opinions-will also be-
tracked. Compliance activities at sites subject to the annual
compliance fees will be .cpunted towards the "20% goal of auditing.
Counting those compliance'activities towards the 20'% goal is
consistent with the intentions of those who proposed the audit
program. The programmatic distinction being made between audits
and and other'compliance activities results from legal .
considerations not necessarily considered when,the 20% goal was
adopted by the Legislature. For instance, the.December 1990'
.report that first proposed the audit program did not distinguish
between audits and other compliance activities. In any event, BWSC
will make a good faith effort to perform a Subpart -K audit at 20%
of the sites subject to annual compliance fees; , .
-For the first fiscal year an estimated 100-300 sites will be
subject to annual compliance fees depending upon, the number of.
priority sites that become Tier IB sites. In the -following years
more sites will become subject to audits as waivers expire and
LTBls/ unclassified sites.and npn-priordty sites transition to-
become Tier 1C or Tier II sites. /
An annual BWSC Audit, Compliance and Enforcement report will
summarize the number,of: . ;
4 audits actually conducted; ._.-"'
4 sites at which violations .or deficiencies were not noted;
4 sites at which violations or deficiencies were noted;
4 audits that resulted in compliance assistance; -
4 hours that the average audit and .compliance assistance
._" activities take; and - ,
4 other compliance activities BWSC has conducted that do not
qualify as audits or otherwise count towards the 20% goal.
For Public Release
&VS.GOVERNMENT PRINTING OFFICE: 1997 - S18-2M/83S63
-------
------- |