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

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  State Third-Party Service
     Provider Programs
     Augmenting State
 Underground Storage Tank
         Programs
U.S. Environmental Protection Agency
Office of Underground Storage Tanks
           March 1997

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                                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

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                          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

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                          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

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                            Parti
               Thinking About Third-Party Service
                      Provider Programs

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 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.

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 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

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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.

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    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

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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.

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         Part 2
Developing A Third-Party
   Inspection Program

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 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

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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).

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 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

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    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.                                   "          .

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    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

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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

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    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                                            ,       '


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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

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 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

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   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

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    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

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   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

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         Part 3
Developing A Third-Party
    Cleanup Program
            21

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 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,

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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

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 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

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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

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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

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     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

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    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)


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./"  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

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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

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/  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

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 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

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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      '

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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

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   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

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   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

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   Part 4
Conclusion
     39

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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

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                      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

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       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)

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 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.
 §§ 691.1—691.1001); the Storage Tank and Spill Prevention Act (35 P. S. §§ 6021.101—6021.2104);
 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:,
    ASNT—The American Society of Nondestructive Testing^

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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.
      §§  2001—2015).                       .   ~.  .
        (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

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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. §§ 601.101—601.605).
      (ix)   Tanks regulated under the Surface Mining Conservation and Recla-
    mation Act (52 P. S. §§  1396.1—1396.31).
      (x)   Tanks used for the storage of products which are regulated under the
    Federal Food, Drug and Cosmetic Act (21 U.S.C.A. §§ 301—392).
      (xi)   Tanks permitted under the Solid Waste Management Act (35 P. S.
    §§  6018.101—6018.1003), 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.
    Act—The  Storage Tank and Spill  Prevention Act  (35 P. S. §§ 6021.101—
  6021.2104).
    Adjacent—Next to or contiguous with.     ,
    Affect or diminish—In 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 equipment—Electrical, 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.
    Aquifer—A geologic formation, group of formations or part of a formation
  capable of yielding sufficient groundwater for monitoring purposes.
    Cathodic protection—A technique to prevent corrosion of a metal surface by
  making that  surface the cathode of an electrochemical cell.
    Certified inspector—A 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 installer—A 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 tank—An underground storage tank in
  excess of 3,000 gallons used for storage of heating oil for the consumptive use
  on the premises where stored.

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25 § 245.1         ENVIRONMENTAL PROTECTION                Pt.  I


     Company—A. sole proprietorship, partnership, corporation, association, joint
  venture, consortium, institution, trust, firm, joint stock company or cooperative
  enterprise.
     Containment structure or facility—Anything -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 audit—Activities 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 tank—An underground storage tank which has
  been exempted by regulation from participation in USTIF.
    Exposure assessment—An 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:

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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.
    Farm—Land 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 product—A regulated substance that is present as a nonaqueous phase
  liquid; that is, liquid not dissolved in water.           ,
    Free product recovery—The removal of free product.
    Groundwater—Water beneath  the surface of the ground that exists in a zone
  of saturation.
    Groundwater  degradation—A measurable  increase in the  concentration of
  one or more contaminants  in groundwater  above background levels for those
  contaminants.                                              ^
    Heating oil for consumptive use—Heating oil used to provide space heating.
    Inspection activities—Activities to inspect or conduct an environmental audit
  concerning all or a part of a storage tank system or storage tank facility.
    Install—Activities to construct, reconstruct or erect to put into service a stor-
  age tank, a storage tank system or storage tank facility.
    Interim certification—Certification 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 piping—A common piping system serving more than one stor-
  age tank system within a storage tank facility.
    Maintenance—The  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   .

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 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.
 ,   Modify—To conduct an activity that constitutes a major modification or a
   minor modification.
     Monitoring system—A. system capable of detecting releases in connection
   with an aboveground jar underground storage tank.
     New facility—A. storage tank facility which did not exist prior to August 5,
   1989.  -'.:.-•                                                             -
     OSHA-^Occupational Safety and Health Administration—The agency estab-
   lished under the Occupational Safety and Health  Act of 1970 (29 U.S.C.A.
   §§ 651—678).                     ;                    ,
     Operator—A. person who manages,' supervises, alters, controls or has respon-
   sibility for the operation of a storage tank.
     Owner—Includes 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.

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Ch. 245             SPILL PREVENTION PROGRAM          25 § 245.1


    Permanently affixed—Not able to be moved from its resting place by design
  or which is connected to real property by piping or other structure.
    Permanent water supply—A 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.
    Person—An 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 vessel—A vessel used in industrial processes  designed to withstand
  pressures above 15 psig.
    Process vessel—A 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 system—A  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. §§ 6921—6931).

                                  245-7

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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

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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 release—A 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 party—A 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 containment—An 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,
    Sediment—Solid 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.
    Site—For 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 tank—An aboveground storage tank having  a
  capacity equal to or less than 21,000 gallons.
    Soil—Unconsolidated materials above bedrock.
    Spill prevention response plan—Emergency 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

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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                            .

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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 deductible—The 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 tank—An 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  tank—An 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 tank—An 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 tank—An 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 tank—One 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                            ••-''.

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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 tank—A. storage tank, regulated under the act, which
   does not hold a current, valid registration.
     Water supply—Existing, 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. §§ 6901—6987).
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     '.     '••'•'.'•

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 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              .

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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 tank—installation, modification {
  UMX}.  Installation  and modification of underground  manufactured  storage
  tanks.
    (2)  Underground  manufactured storage tank—modification  {UM  M}.
  Modification of underground manufactured storage tanks.
    (3)  Underground manufactured storage tank—removal {UM R}. Removal
  of underground manufactured storage tank systems or storage tank facilities.
    (4)  Underground field constructed metallic storage tank—installation and
  modification {UFMX}. Installation and modification of underground field con-
  structed metallic  storage tanks.    ;
    (5)  Underground field constructed metallic .storage tank—modification
 {UFMM}. Modification of underground field constructed  metallic storage
  tanks.                          \
    (6)  Underground field constructed nonmetallic storage tank—installation
 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 tank—removal {UF  R}.
 Removal of underground field constructed storage tank systems or storage tank
 facilities.                                                            ;
   (9)   Underground storage tank—-mechanical—installation 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  tank—mechanical—modification {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 tank—civil {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 tank—tank 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  tank—installation  and
  modification {AMMx}. Installation and modification of aboveground manufac-
  tured metallic storage tanks.
    (14)  Aboveground manufactured nonmetallic storage tank—installation and
  modification {AMNx}.  Installation and modification of aboveground manufac-
  tured nonmetallic storage tanks.
    (15)  Aboveground manufactured storage tank—removal {AMR}. Removal
  from service of aboveground manufactured storage tank systems or  storage
  tank facilities.
    (16)  Aboveground field constructed metallic storage tank—installation and
  modification {AFMX}.  Installation and modification of aboveground field con-
  structed metallic storage tanks.
    (17)  Aboveground field constructed nonmetallic storage  tank—installation
  and modification {AFNX}. Installation and modification of aboveground field
  constructed nonmetallic storage tanks.         .
    (18)  Aboveground field  constructed  storage  tank—removal {AF R}.
  Removal from service of aboveground field constructed storage tank systems
  or storage  tank facilities.
    (19)  Aboveground metallic storage tank—modification {A MM}. Modifica-
  tion of aboveground metallic storage tanks;
    (20)  Aboveground nonmetallic storage tank—modification {A NM}. Modifi-
  cation of aboveground nonmetallic storage  tanks.
    (21)  Aboveground storage tank—mechanical—installation 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 tank—mechanical—modification {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 tank—civil {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 tank—liner {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


 U—TT       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  tank—tank
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)   IUM—Underground  manufactured storage tank system and  storage
   tank facility.
     (2)   IUF—Underground field constructed storage tank system and storage
   tank facility.
     (3)   I AM—Aboveground  manufactured storage tank system and  storage
   tank facility.
     (4)   IAF—Aboveground 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

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 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        '                      .  ' '

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 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

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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                   ;

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               Appendix B
Pennsylvania Public Information Request Form

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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













• .„





- -

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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-

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           Appendix C
Installer And Inspector Certification
        Application Form
•
               C-1

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-------
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

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 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 	

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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

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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.                ~                                        •.'._.-

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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 ' .


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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-

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  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-

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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-

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-------
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

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)


.



ZiD

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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






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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.

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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

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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

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 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

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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

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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

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                  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

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                        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

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                        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

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                          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

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                          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

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                          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

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                          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

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                           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

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                         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

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                         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

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                           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

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                          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

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                          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

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                          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

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                          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

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                          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

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                           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

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                          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,

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                          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

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                         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

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                   309 CMR:  BOARD OF REGISTRATION OF
              HAZARDOUS WASTE SITE CLEANUP-PROFESSIONALS
NON-TEXT PAGE
8/11/95   ,                             -;-•.-" 309 CMR-2?

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                          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

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                           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

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                                        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

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                   309 CMR:  BOARD OF REGISTRATION OF
              HAZARDOUS WASTE SITE CLEANUP PROFESSIONALS
NON-TEXT PAGE
 8/11/95                                                 309 CMR-26

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                           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

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                       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

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                           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

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                    309 GMR:  BOARD OF REGISTRATION OF
               HAZARDOUS WASTE SITE CLEANUP PROFESSIONALS
NON-TEXT PAGE
8/11/95                                      ,             309CMR-30

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                          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

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                          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

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                         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

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                         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

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                         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

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                          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

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                         "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

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                          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

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                         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

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                 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

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                      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

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                       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

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                      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

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                      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
                                                                               "

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^

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                       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:

 I—I 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.                                 ......         \

 I—I 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- -       .    '

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                       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

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                     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

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                Appendix H
Instructions ForThe Application For Temporary
 Licensing And Qualification For Examination
                    H-1

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                      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

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                                           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
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                          LSP Application Instructions September 1994

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.'•-.-     . •      ,    --.-'..   .  •        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

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                                           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

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 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

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                                            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

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              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.
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                          LSP Application Instructions September 1994

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                                          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

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        .'-    •.'.'-'.,'   - ,      -.    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

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                                           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

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                                          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.
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                           LSP Application Instructions September 1994

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                                         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

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 '•".'.         -       ;-''•-.; ^   '.'    •' -' 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

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                                          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

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                                          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

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                                           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

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•-•-'•   '     -'        '^ -'      •     / .  -  ".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

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                                            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

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                                        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

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                                         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

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                                         .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

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       Appendix I
Audit Implementation Plan,
     January 27,1994
           1-1

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AUDIT IMPLEMENTATION  PLAN
      -•'.... Fiscal  Years  93-94 and 94-95
               January. 27,  1994
               For Publi c Releas e

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 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

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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

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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

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                           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

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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

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•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

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                           	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

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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.

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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


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 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

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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

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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.
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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.

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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 by•BWSC 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.

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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.
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\   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

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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
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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   ' "•-'
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             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

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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


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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

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 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


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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

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 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

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