06-096 C.M.R. ch. 425, § 4 - License Requirements for Business and Public Entities
A.
General License Requirements
(1) Scope. This section sets forth the
specific licenses that a business or public entity must obtain prior to
engaging in an asbestos abatement activity . This section also sets forth
general standards of conduct and specific recordkeeping and other requirements
for maintaining each type of license .
(a) A
business entity or public entity that engages in an asbestos abatement activity
regulated by this rule must hold a valid license as set forth in this section,
unless exempted under section 2(E)(2) of this rule.
(b) A business entity or public entity that
engages in an asbestos abatement activity in more than one licensing category
set forth in this section must hold a valid license in each category.
(c) An individual engaged in asbestos
activities regulated by this rule as a sole proprietor must hold both a valid
license and a valid certificate .
(d) A business entity or public entity
licensed pursuant to this section must ensure and document that each of its
employees is trained in, knowledgeable of, and complies with company-specific
standard operating procedures and the requirements of this rule, as
applicable.
(e) A business or
public entity must maintain all required records at their place of business and
must make these available to the Department within 24 hours of request. The
business or public entity must also have a written plan for maintaining and
archiving records, including provisions for records to be retained for seven
(7) years, even if the licensee ceases business operations.
(2) Standards of Conduct.
Licensees must comply with all State and federal laws and regulations
pertaining to asbestos abatement activities, including the conflict of interest
provisions of section 2(G) of this rule. Failure to comply with this rule may
result in suspension or revocation of a license , denial of an application for
renewal, or other enforcement action deemed appropriate by the Department .
Licensees must perform their activities in a manner that:
(a) Is in compliance with state -of-the-art
professional services generally recognized as acceptable by the asbestos
consulting and abatement industries, asbestos professional associations, and
government agencies;
(b) Is
consistent with current practices taught by Department -licensed Training
Providers; and
(c) Based on
principles, values, standards, or rules of behavior that guide the decisions,
procedures and practices of a licensed entity in a way that contributes to the
health and safety of his/her workplace and to all others who may be affected by
his/her work.
(3)
General Application Requirements and Procedures
(a) An application for a license (including
renewal) must be made on forms approved by the Department and must be
accompanied by any necessary documentation demonstrating that the licensing
requirements of this section have been met.
(b) An application must be submitted with a
non-refundable application fee paid in full by a cashier's, certified, or
company check or otherDepartment-approved payment methods in the amount set
forth in this section.
(c) If an
application is incomplete, the Department will either deny it or ask for
further information.
(d) If the
Department requests further information from an applicant and does not receive
it in full within 30 calendar days, the application will be denied.
(e) If the Department , after reviewing an
application, determines that the applicant has met the applicable requirements
of this section, the Department will approve the application and a license will
be issued to the business entity or public entity stating the category in which
the entity holds a valid license .
(f) Except as provided at section 4(A)(4)(c)
of this rule, an expired license prohibits the business entity or public entity
to which it is issued from engaging in the asbestos abatement activity until a
current license is obtained.
(4) Annual Renewal and Reapplication
Procedures
(a) A license shall expire one
year from the date of issuance, except that licenses issued in response to an
application submitted within 30 days after the expiration date of a previously
issued license will expire one year from the expiration date of the previously
issued license .
(b) An applicant
may not apply for renewal of a license that has expired more than 30
days.
(c) If a complete application
for renewal of a license is received at least 30 calendar days prior to
expiration of the license , the license sought to be renewed will not expire
until a final decision has been made by the Department . If a complete
application for renewal of a license is not received at least 30 calendar days
prior to expiration of the license , the license sought to be renewed will
expire until a final decision has been made by the Department .
(d) If an application has been denied under
this section, the application may be resubmitted only if the applicant
addresses in writing each deficiency given in the denial.
(5) Denial of Applications. The Department
shall deny an application for a license (including renewal) if the applicant
fails to meet the standards established by this rule. Reasons for denial
include, but are not limited to:
(a) Failure
to submit documentation demonstrating its ability to comply with applicable
requirements, procedures, and standards set forth in this rule;
(b) Its employees' or agents' history of
incompetence or negligence as determined by the Department based on (a)
previous compliance inspection (s), review of operating record(s), or other
documents;
(c) Submission of false
information on an application;
(d)
Submission of an incomplete application;
(e) Failure to submit the required fee;
or
(f) Past violation(s) of State
or federal laws or regulations pertaining to asbestos abatement activities or
asbestos associated activities.
When issuing a denial, the
(6)
Retention of Records. Records required by this section shall be maintained for
at least seven years. Records shall be stored at the licensee's normal place of
business or an archive or other facility approved by the Department .
(7) Fees. License applications must be
accompanied by a non-refundable fee paid in full by a cashier's, certified, or
company check or other Department -accepted method, made payable to the
Treasurer, State of Maine, as follows:
(a) Asbestos Abatement Contractor : $650.00
Limited
(i) Asbestos -containing exterior cementitious
materials
(ii) Roofing including
transite roof shingles
(iii)
Demolition by Large Equipment
(b) Asbestos Consultant : $650.00
Subcategories include:
(i) Monitoring
(ii) Inspection
(iii) Design
(c) Asbestos Analytical Laboratory :
$400.00
(d) In house Asbestos
Abatement Unit : $650.00
(e)
Training Provider : $500.00 or, with prior written Department approval, the
equivalent value of training of Department personnel.
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Note: If there are not sufficient funds to cover the check or
credit card transaction an insufficient funds fee will be assessed by
theDepartment in accordance with
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B.
Asbestos Abatement Contractor
(1)
License Requirements
(a) A business entity
engaged in an asbestos abatement activity must hold a valid Asbestos Abatement
Contractor license unless exempted under the provisions of section 2(E)(2) of
this rule.
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Note: Some activities that may require a valid
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(b) A licensed Asbestos Abatement
Contractor engaged in an asbestos abatement activity under its contractual
control is not required to hold an Asbestos Consultant license to design,
monitor, or collect air samples if performed by an appropriately-certified
asbestos professional in conjunction with an asbestos abatement
activity .
(2) Personnel
Requirements
(a) A licensed Asbestos
Abatement Contractor must have a certified Asbestos Abatement Project
Supervisor employed on staff at all times, except that a Limited Asbestos
Abatement Contractor may meet this personnel requirement by subcontracting with
an Asbestos Project Supervisor, Asbestos Abatement Design Consultant or
Asbestos Air Monitor services.
(b)
Employees of licensed Asbestos Abatement Contractors who engage in asbestos
abatement or associated activities must be certified pursuant to this
rule.
(3) Limited
Asbestos Abatement Contractor License . The Department may issue a limited
license to an Asbestos Abatement Contractor to engage solely in removal of ACM
roofing including transite roof shingles, exterior ACM cementitious materials
or demolition by large equipment with intact ACM flooring.
(4) Application Requirements. An applicant
for Asbestos Abatement Contractor including Limited Licenses must submit
information to demonstrate that it meets the requirements of this section and
the following:
(a) A written worker
protection program, including a respiratory protection program that conforms
with the requirements of OSHA 's Respiratory Protection Standard
29 CFR
1910.134, (effective April 8,
1998);
(b) A medical monitoring
program that conforms to the requirements of OSHA 's Asbestos Standard for
Construction (
29 CFR
1926.1101 effective August 10, 1994), which
includes the identity of the occupational health clinic utilized, number of
employees enrolled in the program, and locations of employee exposure
records;
(c) A list of all asbestos
associated citations and notices of violation received in the United States
during the last five years including the name of the issuing agency or
department , the final disposition of such citation or notice, and, if the
applicant 's principal owner or operator or officer has received an asbestos
associated citation or notice while owning or operating another company in the
previous five years, a list of those violations;
(d) A list of states in which the applicant
holds a license , certification, accreditation, or any other approval for
asbestos abatement activity ;
(e) A
copy of the applicant 's standard operating procedures for abatement activities
that prevent contamination of a facility and the environment, and that protect
the public and employee health from the hazards of exposure to asbestos .;
Limited licensees must submit standard operating procedures specific to their
activities. Roofing firms who intend to remove transite shingles must submit a
specific operating procedure for transite shingle removal ;
(f) A copy of the contractor's form for
sign-off, by an owner or owner 's agent, acknowledging receipt of bulk sampling
and project monitoring disclosures;
(g) Proof of access to a licensed asbestos
disposal site;
(h) Proof that the
applicant 's employees engaged in asbestos abatement activities are certified
pursuant to the requirements of this rule;
(i) A list of the names of the applicant 's
owner (s), or operator (s), principal(s), and officer(s);
(j) A list of all other entities performing
asbestos abatement activities or asbestos associated activities of which the
applicant , owner or operator (s), principals, or officers are an owner or
operator , principal or officer;
(k)
A list of all names (or acronyms) by which the applicant 's firm is known or
under which it does business;
(l)
Any information requested by the Department for purposes of determining the
proficiency and adequacy of the applicant 's standard operating
procedures;
(m) Proof that at least
one employee is a certified Asbestos Abatement Project Supervisor or trained as
a competent person for roofing, flooring, exterior cementitious, and demolition
by large equipment projects; and
(n) A statement affirming that applicable
state asbestos rules and regulations, including the recordkeeping requirements
of these rules, will be met.
(5) Recordkeeping Requirements
(a) An Asbestos Abatement Contractor must
maintain documents set forth under this section at its principal place of
business or at an archive facility approved in advance by the Department , in a
form that is easily retrievable by project .
(b) An Asbestos Abatement Contractor must
make the following documents available to the Department within 24 hours of
request:
(i) The name, address, and
Department certification number for each of its employees engaged in asbestos
abatement activities, including dates of employment;
(ii) Identification, by name and Department
certification number, of each employee 's involvement in each of the Asbestos
Abatement Contractor 's past and present asbestos abatement projects, including
name, address, location, and duration of the project ;
(iii) Copies of all correspondence between
the Asbestos Abatement Contractor or its agent and any asbestos regulatory
agency including OSHA , for the previous five years, including but not limited
to letters, notices, citations received, and any notifications made by the
contractor pursuant to this rule;
(iv) Copies of all project waste manifests
required by the federal NESHAP regulations and Maine's Non-Hazardous
Waste Transporter Licenses, 06-096 CMR 411;
(v) Copies of Asbestos Consultants' and
Asbestos Analytical Laboratories' reports regarding the project design , on-site
project monitoring records, and release of the regulated area including
documenting the successful completion of the visual evaluation and air
clearance sampling requirements; and
(vi) Individual project records specified
below.
(c) An Asbestos
Abatement Contractor must maintain the following items at the abatement work
site throughout the duration of such activity and must make the documents
immediately available to the Department upon request:
(i) A copy of Chapter 425, "Asbestos
Management Regulations";
(ii) A
copy of the site-specific asbestos abatement project design ;
(iii) A Department certification card for
each on-site employee ;
(iv) A daily
sign-in log identifying each employee involved in the project by name
andDepartment certification number;
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Note:
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(v) Records of all on-site
monitoring, including personal samples required by
29 CFR
1926.1101, and project
documentation;
(vi) A copy of the
project notification;
(vii) A copy
of the Department approval for any non-standard work practice granted in
accordance with these regulations; and
(viii) A copy of the form signed by the
building owner or owner 's agent acknowledging receipt of the bulk sampling
and/or project monitoring disclosures.
C.
Asbestos
Consultant
(1) License Requirement. A
business or public entity that engages in the inspection , design, or monitoring
of asbestos abatement activities must hold a valid Asbestos Consultant license .
Licenses shall specify the function performed.
(2) Personnel Requirements
(a) The Asbestos Consultant firm must have an
Asbestos Abatement Design Consultant , Asbestos Inspector , or Asbestos Air
Monitor on staff at all times, as applicable for the type(s) of services for
which they are licensed.
(b) Each
employee of an Asbestos Consultant that engages in the inspection , project
design , or monitoring of asbestos abatement activities must be certified
pursuant to these rules.
(3) Application Requirements. An applicant
for an Asbestos Consultant license must submit sufficient information to
demonstrate that he/she meets the general license requirements set forth in
this section and the application requirements of Asbestos Abatement Contractor ,
except that at least one employee must be certified as an Asbestos Inspector if
the firm engages in inspection activities, at least one employee must be
certified as a Asbestos Design Consultant if the firm engages in project design
activities, and at least one employee must be certified as an Asbestos Air
Monitor if the firm engages in air monitoring activities.
(4) Recordkeeping Requirements
(a) An Asbestos Consultant is subject to the
following contractor recordkeeping requirements 4(B)(5)(a-b) and (i-v), and
4(B)(5)(c)(iii-vi) of this rule to the extent applicable to design, inspection ,
disclosure, and monitoring, and as further described in sections 4(D)(4)(b-d)
of this rule.
(b) An Asbestos
Consultant must maintain copies of daily project logs. Past project logs must
be maintained at the principal place of business. Current project logs must be
kept up-to-date at the project work site . Project logs include, but are not
limited to, sign-in sheets, daily project records, monitoring procedures and
data, notifications, work practices associated with the asbestos activity,
updated project designs indicating any changes made, and non-standard work
practice(s).
(c) An Asbestos
Consultant must maintain the following records at his/her place of business and
make them available within 24 hours of request:
(i) The documents listed in the on-site
contractor recordkeeping requirements of these rules as applicable to project
monitoring ;
(ii) Copies of
laboratory reports, monitoring documents, and other project documents that may
be generated for a particular activity;
(iii) Copies of all design documents for each
activity;
(iv) Copies of standard
operating procedures for each activity performed on-site by the Asbestos
Consultant ; and
(v) Copies of any
other documents generated in the course of each asbestos abatement
activity .
(d) An
Asbestos Consultant must maintain the following documents at the work site :
(i) The documents listed in this
section;
(ii) Current project logs
specified above; and
(iii) A copy
of the form signed by the building owner or owner 's agent acknowledging receipt
of bulk sampling and/or project monitoring disclosures.
(e) An Asbestos Consultant shall provide an
electronic file, or upon request a paper copy, of each three-year reinspection
and management plan recommendation report conducted in accordance with the
requirements of AHERA to the Local Education Agency (LEA) and the State of
Maine Bureau of General Services [BGS] (77 SHS Augusta, ME 04333-0077) within
60 days of completion of each reinspection. The Asbestos Consultant shall
notify theDepartment in writing of the re-inspection date and the date the
report was sent to the LEA and BGS when the reports are submitted to the LEA
and BGS.
D.
Asbestos Analytical Laboratory
(1) License Requirement. A business or public
entity that qualitatively or quantitatively analyzes samples of solids,
liquids, or gases for asbestos fibers, or that analyzes air samples for total
fiber count, must be licensed as follows:
(a)
An Asbestos Analytical Laboratory performing asbestos bulk, and/or air analysis
of samples collected in the State of Maine must hold a valid license for the
type of service provided.
(b) An
Asbestos Analytical Laboratory whose license encompasses air analysis must use
phase contrast microscopy (PCM), transmission electron microscopy (TEM ), or
another US EPA approved method for the analysis of air samples.
(c) An Asbestos Analytical Laboratory whose
license encompasses bulk analysis must use the analytical methods set forth in
Section 6(B)(2) of this rule.
(d)
An Asbestos Analytical Laboratory that performs air sample analysis must be an
active participating laboratory rated proficient by the AIHA 's PAT (American
Industrial Hygiene Association's Proficiency Analytical Testing) program and
must use the analytical methods set forth in Section 8(B)(2)(f) of this
rule.
(e) An Asbestos Analytical
Laboratory that performs bulk sample analysis must be accredited by the
National Voluntary Laboratory Accreditation Program (NVLAP ) or be an active
participating laboratory rated proficient by AIHA 's bulk quality assurance
program.
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Note: Samples collected as part of a school
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(2) Personnel
Requirements
(a) An Asbestos Analytical
Laboratory must have on staff at all times a certified Asbestos Air Analyst if
the laboratory performs air analyses, or a certified Asbestos Bulk Analyst if
the laboratory performs bulk analyses.
(b) Each employee of an Asbestos Analytical
Laboratory who engages in work as an analyst must hold a valid Asbestos Air or
Bulk Analyst certificate , as applicable.
(c) Each employee of an Asbestos Analytical
Laboratory who performs TEM analysis (bulk and/or air) must be properly trained
in TEM analytical procedures; documentation of their training must be
maintained by the laboratory and provided to the department upon
request.
(3) Application
and Recordkeeping Requirements
(a) Background
information on the laboratory, including:
(i)
The names of the applicant 's owner (s), or operator (s), principal(s), and
officer(s);
(ii) Location and
mailing address;
(iii) A list of
all other entities performing asbestos abatement activities or asbestos
associated activities in which individuals listed under section 4(E)(3)(a)(i)
of this rule are an owner or operator , principal or officer;
(iv) A list of all names (or acronyms) by
which the applicant 's firm is known or under which it does business;
and
(v) Any information requested
by the Department for purposes of determining the proficiency and adequacy of
the applicant 's standard operating procedures.
(b) The laboratory must submit documentation
describing its QA/QC program for ensuring accuracy of analysis of air and bulk
samples. This must include at a minimum, annual QA/QC training for all air and
bulk analysts that includes:
(i) A review of
applicable methods (NIOSH 9002, EPA/600/R-93/116, etc.);
(ii) A review of relevant current literature
(AIHA , ACGIH, McCrone, etc.) and state -of-the-art technology;
(iii) A review of the lab's current QA/QC
program, which should include at a minimum: the statistical calculation of
intrinsic sample variability, intra-counter variability, and inter-and
intra-laboratory variability, including the laboratory's current Relative
Standard Deviation;
(iv) A review
and hands-on session for microscope cleaning and calibration; and
(v) Two hours of reading QA samples to
determine the analyst's proficiency, including actual field samples,
round-robin samples from other laboratories if applicable, and third party QA
samples such as the PATs or AARs.
(c) An applicant for Asbestos Analytical
Laboratory must demonstrate that the applicant meets the recordkeeping
requirements set forth in these regulations and must make the following
available for review within 24 hours of request by the Department :
(i) Sample chain of custody procedures,
including but not limited to handling , storage, and disposal
procedures;
(ii) A copy of the
laboratories analytical quality assurance program(s);
(iii) Equipment calibration and
standardization procedures;
(iv)
Results of the last four quarters of PAT or round robin tests, including the
following: round number, date of participation in the round, and PAT results
including each analysts individual results;
(v) Laboratory standard procedures for
asbestos analysis;
(vi) An up to
date asbestos analytical equipment inventory;
(vii) Documents related to laboratory
personnel training;
(viii) The
certificate of the laboratory owner , operator , or supervisor;
(ix) A copy of their NVLAP or AIHA
accreditation as applicable; and
(x) A copy of their quality assurance program
ensuring proficiency of all analysts.
(d) Copies of state certificates and dates of
employment for employees performing analyses; and
(e) Copies of analyses performed, indicating
sample identification number, analysis methods utilized, analytical results,
and the name of the certified employee performing the analysis.
E.
In-house
Asbestos Abatement Unit
(1) Application
Requirements
An
An
An
(2) Personnel Requirements. Employees of a
licensed In-house Asbestos Abatement Unit who engage in asbestos abatement or
associated activities must be certified pursuant to these rules.
(3) Recordkeeping Requirements. An In-house
Asbestos Abatement Unit must meet the recordkeeping requirements set forth in
the Asbestos Abatement Contractor , Asbestos Consultant and Asbestos Analytical
Laboratory recordkeeping sections of these rules, as applicable.
F.
Training Provider
(1) License Requirement. A business entity or
public entity that provides asbestos training within the geographic boundaries
of the State of Maine must hold a valid Training Provider license .
A
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Note: Training courses also must be approved by the
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(2) Personnel Requirements
(a) Training Director . Each Training Provider
shall employ a training director , certified as an Asbestos Abatement Design
Consultant , who has overall responsibility for all aspects of
training.
(b) Instructors must have
academic credentials and/or field experience as specified below in the area in
which they provide training. Primary instructors must be approved by the
Department . If, after receiving a Training Provider license , there is a change
in teaching personnel, the Training Provider must notify in writing the
Department of the names and credentials of the new instructors at least 30 days
prior to the date of the next course offering.
(i) Primary Instructors. The primary
instructor(s) are the person (s) delivering the majority of the training
material for the training course and the hands-on portion(s) of the course.
Primary instructors must have successfully completed a Department -approved
initial training course in the discipline being taught.
(ii) Secondary Instructors. Secondary
instructors are persons possessing academic credentials, training, and/or
(field) experience in a particular area, who may regularly provide portion(s)
of instruction at a course. Secondary instructors do not need to have attended
initial asbestos training courses, but need to provide, prior to conducting
training, the primary instructor with written documentation detailing his/her
experience and copies of his/her training and/or academic
credentials.
(3) Application Requirements. An applicant
for Training Provider must submit:
(a)
Background information on the training provider , including:
(i) The names of the owner (s), or
operator (s), principal(s), and officer(s);
(ii) Location and mailing address;
(iii) A list of all other entities performing
asbestos abatement activities or asbestos associated activities in which
individuals listed in section 4(F)(3)(a)(i) of this rule are an owner or
operator , principal or officer;
(iv) A list of all names (or acronyms) by
which the applicant 's firm is known or under which it does business;
and
(v) Any information requested
by the Department for purposes of determining the proficiency and adequacy of
the applicant 's standard operating procedures.
(b) A list of the qualifications and resumes
of the instructors, primary and secondary, who will be teaching;
(c) A detailed description of the number and
quality of supplies and equipment, the availability of audio/visual teaching
aid;
(d) A physical description of
the primary training facility , including dimensions, that demonstrates that it
is adequate for training and learning purposes as follows:
(i) Lighting sufficient so that all areas of
the training room are adequately illuminated for ease of reading and viewing
visual presentations;
(ii) Room
size adequate to accommodate the expected/actual number of attendees with
sufficient space to allow attendees ample space for seating, laying out
training materials, and exam taking;
(iii) Tables sized to accommodate each
student comfortably, without crowding. Chairs must be comfortable and of proper
height to the table(s);
(iv) Air
circulation must maintain a steady exchange of fresh air;
(v) Background noise must be minimal and not
distractive to the learning environment, such that exchanges between the
trainer and attendees are audible at all times;
(vi) At a minimum two means of egress from
the building in which the training room is located; a large room may require
two means of egress; and
(vii) A
statement affirming that any facility and/or "hands-on facility ", other than
the primary training facility , used for training shall comply with the
requirements of this subsection.
(e) A copy of the course sign in/sign out log
the training provider will use to track the times that students arrive and
depart the course, including the times out and in for any lunch break. This log
is to be filled in by the students when entering and exiting the
classroom.
(f) An original student
certificate issued upon successful completion of courses;
(g) An example of the format used to
communicate to the Department the course results within 5 days of course
completion, including participant names, social security numbers or date of
birth , and exam scores;
(h) A
description of the method that the Training Provider will use to notify course
dates, times and location to the Department . All courses must be announced in
writing to the Department at least ten calendar days before the
course;
(i) A statement that the
Training Provider will issue student certificates within two weeks of the
completion of the course; and
(j)
The name and qualifications of the Training Director .
(4) Recordkeeping Requirements
(a) A Training Provider must maintain records
of all requirements of section 11, course exam(s), and student answer sheets
for a period of seven years and make them available to the Department within 24
hours of request, except as provided in section 4(F)(4)(b) of this
rule.
(b) A Training Provider whose
principal place of business is outside the State of Maine and who provides
training to individuals seeking a certificate pursuant to this rule must make
records and information available to the Department within 5 business days of
receipt of a request for information.
(5) Standard of Conduct. The issuance of a
fraudulent student certificate , or the violation of any provision of this rule
or other applicable laws and regulations including the Model Accreditation Plan
(MAP) , constitutes grounds for the suspension or revocation of the Training
Provider 's license , the denial of the renewal of the license , and/or other
enforcement action deemed appropriate by the Department .
(6) Reciprocity. Reciprocity, or the
acceptance of an individual's training certificate indicating the successful
completion of appropriate training, is allowed by this rule. Licensure of
Training Providers is not reciprocal.
Notes
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