06-096 C.M.R. ch. 400, § 12 - Criminal or Civil Record

The Department may refuse to grant, or approve the transfer of, a license for a solid waste facility or activity if it finds that the owner or the operator or any person having a legal interest in the applicant or the facility has been convicted of any criminal law or adjudicated or otherwise found to have committed any civil violation of environmental laws or rules of the State, other states, the United States, or another country. Such an adjudication or finding can be by means of a court order or consent decree, or by means of an administrative order or agreement.

A. Full Disclosure

(1) Persons . All applicants for a new or amended license, or transfer of a solid waste license, shall submit, at the time of application, a disclosure statement with the Department containing information about the following persons:

(a) The individual applicant; or

(b) If the applicant is a business entity:

(i) Any officers, directors, and partners;

(ii) All other persons or business concerns, having managerial or executive authority and holding more than 5 percent of the equity in or debt of that business unless the debt is held by a chartered lending institution;

(iii) All other persons or business concerns other than a chartered lending institution having a 25 percent or greater financial interest in the applicant; and

(iv) The managerial person with operational responsibility for the facility or activity; or

(c) If the applicant is a public entity, all persons having managerial or executive authority over the solid waste facility or activity.

(2) Applicant Information . The full name, business address, home address, date of birth, social security number (if requested) and Federal Employer Identification number of the persons required to disclose under this section;

(3) Related Companies . The full name and business address of any company that collects, transports, treats, stores, or disposes of solid waste or hazardous waste in which any of the persons required to disclose under this section holds at least a 5% equity interest;

(4) Criminal Convictions . A listing and explanation of any criminal convictions of the State, other states, the United States, or another country of the persons required to disclose under this section;

(5) Civil Violations . A listing and explanation of any adjudicated civil violations of environmental laws or rules administered by the State, other states, the United States, or another country by any of the persons required to disclose under this section in the 5 years immediately preceding the filing of the application;

(6) Consent Decrees and Administrative Orders or Agreements . A listing and explanation of administrative agreements or consent decrees entered into by, or administrative orders directed at, any of the persons required to disclose under this section for violations of environmental laws administered by the Department, the State, other states, the United States or another country in the 5 years immediately preceding the filing of the application;

(7) Other Proceedings . A listing and explanation of any ongoing court proceeding, administrative consent agreement negotiation, or similar ongoing administrative enforcement action not already provided in which the applicant or any of the persons required to disclose under this section is a party and which concerns environmental laws administered by the Department or the State; and

(8) Other Information . A listing of any agencies outside of Maine that have regulatory responsibilities over the applicant in connection with its collection, transportation, treatment, storage or disposal of solid or hazardous wastes and any other information required by the Department or the Office of the Attorney General that relates to the enforcement history or character of the applicant.

B. Denial of License. The Department may deny a solid waste license because of any convictions, adjudications, orders, or findings based on the Department's judgment of the offense in question and whether the person has demonstrated rehabilitation by clear and convincing evidence.

(1) Consideration . In making this determination the Department may consider all relevant evidence including the following:

(a) The nature and responsibilities of the position that the individual would hold;

(b) The nature and seriousness of the offense;

(c) The date and circumstances under which the offense occurred;

(d) The age of the individual when the offense was committed;

(e) Whether the offense was an isolated or repeated incident; and

(f) Any evidence of rehabilitation.

(2) Rehabilitation . In the case of any person found to have violated any federal or state environmental protection laws or rules, the Department will consider the seriousness of the violation, the rehabilitation of that person based on whether he, she, or it has made all reasonable efforts to clean up or mitigate any environmental damage caused by the activities that resulted in a conviction, adjudication, order or finding, and whether any restitution has been made to injured parties.

(3) Approval Required . A solid waste licensee may not knowingly hire as an officer or director or knowingly allow to acquire an equity interest or debt interest, any person found guilty of a felony or who has committed any violation of environmental law or rules, without first obtaining the approval of the Department.

(4) Compliance Required . The Department will not issue a license or approve a license transfer if the applicant refuses to comply with the requirements of this section or if the information supplied for these inquiries is untrue or misleading as to the facts pertaining to the criminal or civil record of any person required to disclose under this section.

Notes

06-096 C.M.R. ch. 400, § 12