Ohio Admin. Code 3745-300-05 - Certified professionals
(A) Criteria
for certification.
(1) Individuals applying
for certification must
shall provide such information and evidence as
the director
Ohio
EPA deems reasonably necessary to enable the director to determine that
the individual meets the qualifications set
forth
provided in this rule.
(2) The director will
shall issue a
certificate to an individual upon a demonstration, to the director's
satisfaction, of the following:
(a) The
individual has earned a minimum of a bachelor's degree from a recognized
educational institution in one of the following
areas: biology, chemistry, environmental sciences, geology,
hydrogeology, toxicology, scientific subdisciplines of public health or
hazardous waste management, appropriate areas of engineering, or in a
curriculum determined to be equivalent by the director. The charter or
accreditation of the recognized educational institution
must
shall
have been effective as of the date the individual's degree was
granted.
(b) The individual
possesses eight years of relevant professional experience three of which are
supervisory or project management related. Such experience
must
shall
consist of an average minimum of twenty hours per week. Relevant professional
experience that consists of less than an average minimum of twenty hours per
week will
shall be applied toward the satisfaction of this
requirement on a pro rata basis.
(c) The individual possesses the professional
competence and knowledge to perform the tasks required of a certified
professional. This determination will
shall be made by reviewing
a review of
evidence including, but not limited to, references, agency
Ohio EPA
comments on past work submitted to the
agency
Ohio EPA , the application form, and other sources the director deems appropriate.
In order to
To
make this determination, the director will
shall consider
the following:
(iv)(v)
The previous
Previous performance of the individual with regard to
the various types of remedial systems designed and monitored.
(v)(vi)
The performance
Performance of the individual with regard to risk and
exposure assessments.
(vi)(viii)
The number
Number of individuals and disciplines of other
professionals supervised or coordinated by the individual.
(vii)(ix)
The nature
Nature of conclusions reached and recommendations and
opinions presented by the individual.
(viii)(x) Any other
factors the director deems relevant.
(i)
The proficiency
Proficiency of the individual;
.
(ii)
The
duration
Duration of the individual's
relevant employment.
(iii)
The previous
Previous performance of the individual with regard to
various investigative methods used, including but not limited to, whether such
experience includes work at sites where subsurface investigations
involving
that
involved hazardous substances or petroleum have occurred.
(iv)
Previous
performance of the individual with regard to past performance working with Ohio
EPA.
(vii)
Performance of the individual with regard to evaluating
laboratory data quality and sufficiency to conduct a voluntary
action.
(d) The individual has completed initial certification training in
accordance with this rule. Each individual applying
who applies
for initial certification must
shall complete initial certification training by
attending all sessions of the initial certification training. Initial
certification training will
shall consist of
at least eight hours of instruction pertaining to the technical implementation
of Chapter 3746. of the Revised Code,
and this chapter, and the standards of conduct a certified
professional must
shall exercise when providing professional services
are provided under Chapter 3746. of the Revised
Code and this chapter.
(i) The training may
be conducted by Ohio EPA or a third-party who
implements the training in a manner and using materials approved by
Ohio EPA. Ohio EPA will
shall review, and, with or without modification,
shall approve the training syllabi, and the scope
and content of training and training materials used by a third party prior to
their use at an initial certification
training.
(ii) Ohio EPA or the
third party who conducts the initial certification training may charge each
person registering
who registers for or attending
who attends
the initial certification training a non-refundable fee, established at a level
sufficient to defray the actual costs of the training, the
. The fee amount
is subject to Ohio EPA approval.
(iii) Upon the conclusion of each initial
certification training, Ohio EPA or the third-party who conducted the training will
shall provide each person who completed the initial
certification training a certificate of completion. In the event a third party conducts the initial
certification training, the
The third
party must
shall submit to Ohio EPA the name and contact
information of each person who completed the initial certification
training.
(iv) Initial
certification training is valid for one year from
after the date
the individual completes the initial certification training as provided in the
certificate of completion. If the individual applying
who applies
for initial certification does not submit the application within one year
of
after
completion of the initial certification training, the individual shall re-take the training
must be retaken.
(e) Possesses good moral character. Evidence
of an inability to comply with the ethical responsibilities required of a
certified professional with good moral character includes, but is not limited
to, acts involving
that involve dishonesty, fraud, or deceit.
(3) An individual who has earned
advanced degrees from recognized educational institutions in addition to those
required to meet the minimum educational requirements may request that the
director credit that additional education toward the requirements for relevant
professional experience if the individual can demonstrate,
to the director's satisfaction, that the
advanced degree constitutes relevant experience. Credit may be granted in
accordance with the following:
(a) One year
credit for each relevant master's degree.
(b) Two years credit for a relevant doctorate
degree.
(c) A maximum of two years
credit may be granted for such additional education.
(4) Certification will
shall be denied
if the director finds the following:
(a) The
individual does not meet the requirements set
forth
provided in paragraph (A)(2) of
this rule.
(b) The individual
has committed an act
involving
that
involves dishonesty, fraud, or deceit, or
otherwise lacks sufficient honesty or integrity.
(c) The individual fails to pay the fees and
costs as set forth
provided in this chapter.
(5) An individual may be denied certification
if the director finds that the individual is or was subject to certification or
license denial, revocation, or suspension in this state, another state, or
under a federal program.
(6) Except
as provided in paragraphs (A)(4) and (A)(5) of this rule, an individual who
meets the qualifications of paragraph (A)(2) of this rule and pays the
application fee will
shall be issued a certificate.
(B) Procedure for initial certification.
(2)(3) The individual
must
shall
submit official transcripts from the appropriate educational institutions to
verify that the educational qualifications as specified in paragraphs (A)(2)(a) and (A)(3) of
this rule are met.
(3)(4) The individual
must
shall
submit a certificate of completion demonstrating
that
demonstrates the individual's completion of the initial certification
training in accordance with paragraph (A)(2)(d) of this rule.
(4)(5)
All documents and information submitted to the
director
Ohio EPA pursuant to this
paragraph must
shall be accompanied by an affidavit from the
individual affirming that upon knowledge, information, and belief, all
information submitted in support of the individual's certification application
is true, accurate, and complete.
(6)(7)
Within forty-five days of the agency's
determination
after Ohio EPA determines
that an application is complete, the director will
shall either
approve or deny certification. The initial certification is valid for one year
from
after the
date of approval. If the director denies certification, the director
will
shall
provide a letter describing
that
describes the deficiencies upon which the certification denial is
based.
(7)(8) Each individual
has the burden of demonstrating
shall demonstrate to the director's satisfaction that
the individual meets the requirements for certification.
The agency
Ohio
EPA may require an individual to appear for a personal interview
for the purpose of answering
to answer questions pertaining to an application. If a
personal interview is scheduled, the time for
approving or denying
to approve or deny
an application as set forth
provided in
paragraph (B)(6)
(B)(7) of this rule will
shall be extended
to twenty days from
after the date a personal interview is conducted. If
an individual twice fails to appear for a personal interview scheduled with
the agency
Ohio
EPA , the application will
shall be denied unless the
agency
the director finds such failure to
appear was due to circumstances beyond the individual's reasonable
control.
(1) An individual must submit to the
director a complete and current application by certified mail, courier delivery
or any other form of mail or delivery accompanied by a receipt, on forms
provided by the director, and full payment of the non-refundable certified
professional application fee, as set forth in paragraph (B)(1) of rule
3745-300-03
of the Administrative Code. The director may require the individual to furnish
additional documentation pertaining to this application.
(1)
An individual who
applies for certification shall submit to Ohio EPA a complete and current
version of an initial application in a manner prescribed by Ohio
EPA.
(2)
The individual shall submit full payment of the
non-refundable fee, as described in paragraph (B)(1) of rule
3745-300-03
of the Administrative Code.
(5) The agency will conduct a
completeness review of the application within fourteen days of receipt and will
respond to the individual in the event that the application is incomplete. The
agency will not consider an incomplete application and will notify the
individual of any reasons the application is incomplete and of any additional
information required for further consideration. The director will not initiate
approval or denial of an application until the agency determines that a
complete application has been received. Nothing in this rule prevents the
agency from requiring an individual to promptly provide any information
necessary to determine whether to approve or deny
certification.
(6)
Within fourteen days after receipt, Ohio EPA shall
conduct a completeness review of an individual's initial certification
application, as follows:
(a)
Ohio EPA shall not consider an incomplete application,
and shall notify the individual of any reasons the application is incomplete,
and of any additional information required for further consideration of the
application.
(b)
The director shall not initiate final review of an
application until Ohio EPA determines that the application is
complete.
(c)
Nothing in this rule prevents Ohio EPA from requiring
an individual to promptly provide any information necessary to determine
whether to approve or deny certification.
(C) Procedure
for renewal of certification.
(1) An
individual applying
who applies for certification renewal
must submit to the director a renewal application by
certified mail, courier delivery or any other form of mail or delivery
accompanied by a receipt, on the form provided by the agency
shall submit to Ohio EPA a complete and current version of a
renewal application in a manner prescribed by Ohio EPA . The complete
renewal application must
shall be submitted before certification expires to
maintain continuous certification. Submittal of a renewal application after the
expiration date will
shall result in a lapse in the individual's
certification.
(2) A complete
renewal application must
shall include the following:
(a) Full payment of the annual fee
set forth
described in paragraph (B)(2) of rule
3745-300-03
of the Administrative Code.
(b)
Compliance with the standards of conduct set
forth
described in paragraph (E) of this
rule.
(c) Fulfillment of the
continuing education requirements set
forth
described in paragraph (C)(3) of
this rule.
(d) Completion of
initial certification training, if applicable, in accordance with paragraph
(A)(2)(d) of this rule.
(e) All
documents and information submitted to the
director
Ohio EPA pursuant to this
paragraph must
shall be accompanied by an affidavit from the
individual, affirming that upon knowledge, information, and belief, all
information submitted in support of the renewal application is true,
accurate, and complete.
(3) To maintain certification, a certified
professional must
either shall demonstrate to the director's
satisfaction that the certified professional has completed a minimum of twelve
professional development hour units in the certification period, as
set forth
described in this rule, of relevant continuing
education, or must
shall obtain an excuse or modification of those
requirements in accordance with paragraph (C)(10) of this rule. Professional
development hour units may be earned as follows:
(a) Attendance at, and successful completion of
relevant college courses, relevant continuing
education courses, seminars, in-house courses, workshops, meetings,
conventions, or conferences pertaining to investigation, assessment or
remediation of hazardous substances or petroleum.
any of the following:
(i)
Relevant college
courses.
(ii)
Relevant continuing education courses.
(iii)
Seminars.
(iv)
In-house
courses.
(v)
Workshops.
(vi)
Meetings.
(vii)
Conventions.
(viii)
Conferences
pertaining to investigation, assessment, or remediation of hazardous substances
or petroleum.
(b)
Presentation and instruction at any courses,
seminars, workshops or other meetings identified in paragraph (C)(3)(a) of this
rule or instruction of courses in biology, chemistry, environmental sciences,
geology, hydrogeology, toxicology, scientific subdisciplines, hazardous waste
management, appropriate areas of engineering or other core courses that
themselves do not qualify under paragraph (C)(3)(a) of this rule, but
demonstrate the certified professionals knowledge of the subject matter
relevant to the investigation, assessment or remediation of hazardous
substances or petroleum.
of the
following:
(i)
Courses, seminars, workshops, or other meetings identified
in paragraph (C)(3)(a) of this rule.
(ii)
Instruction of
courses in biology, chemistry, environmental sciences, geology, hydrogeology,
toxicology, scientific subdisciplines, hazardous waste management, appropriate
areas of engineering.
(iii)
Other core courses that do not qualify under paragraph
(C)(3)(a) of this rule, but demonstrate the certified professional's knowledge
of the subject matter relevant to the investigation, assessment, or remediation
of hazardous substances or petroleum.
(c) The director has final authority with
respect to approval of courses, credit, professional development hour unit
value for courses, and other methods of earning credit.
(4) The conversion of other units of credit
to professional development hour units is as follows:
(a) Once college or unit semester hour equals
twenty professional development hour units.
(b) One college or unit quarter hour equals
fifteen professional development hour units.
(c) One continuing education unit equals ten
professional development hour units.
(d) One hour of attendance at seminars,
in-house courses, workshops, or professional or technical presentations made at
meetings, conventions, or conferences equals one professional development hour
unit.
(5) A certified
professionals
professional's initial presentation or instruction of
a course, seminar, workshop, or other meeting
described in paragraph (C)(3) of this rule will
shall be eligible
to receive credit for twice the professional development hour units that would
be credited for attending
attendance of the part of the course, seminar,
workshop, or other meeting presented or
instructed by the certified professional. This additional credit is not
available to full-time faculty.
(6)
Professional development hour units will
shall not be
earned for the following:
(a) Any worker
health and safety training.
(b) Any
course, seminar, or workshop designed primarily
for hazardous waste facility personnel for
as training on the
requirements of Chapter 3734. of the Revised Code or the rules adopted
thereunder. Partial credit may be claimed and earned for the portions of such
course, seminar, or workshop that relate to the
performance of a voluntary action, such as waste characterization and hazardous
waste management requirements.
(c) Attendance at a course, seminar, or workshop more than once in a certification
period.
(7) A certified
professional must
shall earn a minimum of six of the twelve professional
development hour units in the certification period by
attending
attendance
of courses and seminars conducted by Ohio EPA that are approved for
professional development hour units.
(8) A certified professional who has not
submitted a no further action letter to the director in request of a covenant
not to sue within the past four calendar years,
must
shall demonstrate having done either
of the following:
(a) Attended and completed
initial certification training in accordance with paragraphs (A)(2)(d)(i) to
(A)(2)(d)(iii) of this rule within the past four calendar years.
(b) Attended and completed an alternative
Ohio EPA-sponsored course or third party
workshop
third-party course approved by
Ohio EPA pertaining to the technical implementation of
Chapter 3746. of the Revised Code and this
chapter, and the standards of conduct applicable
to a certified professional must exercise when
providing professional services under Chapter 3746. of the Revised Code and this chapter.
The course shall be completed within one year prior to
any application for certification.
(9) Documents used to support professional
development hour units claimed must
shall be submitted with the renewal application and
must
shall
include the following:
(a) A personal log or
attendance verification document showing
that shows the
date of the activity, type of activity claimed, sponsoring organization, and the actual hours of instruction.
(b) Course summaries or conference agendas
with details of the sessions attended.
(10) The director may excuse or modify the
continuing education requirements of this rule for any certification period if
a certified professional is able to demonstrate to the director's satisfaction
that the certified professional is unable to complete the minimum requirements
due to the following:
(a) Health reasons, as
certified by a medical doctor.
(b)
Active service in the armed forces of the United States.
(11) The agency will conduct a
completeness review of the renewal application and respond to individual's
applying for renewal within fourteen days of receipt of an incomplete
application. The agency will not consider an incomplete application and will
notify the individual of the reason the application is incomplete, and of any
additional information required for further consideration. The director will
not approve or deny an application until the director determines that a
complete application has been received. Nothing in this rule prevents the
agency from requiring the individual to promptly provide any information
necessary to determine whether to approve or deny certification. If the
individual provides the additional information required to complete the
application after the expiration date of certification, there will be a lapse
between certification periods. Individuals must verify that they have no lapse
in certification at the time they issue any voluntary action
opinions.
(11)
Within fourteen
days after receipt, Ohio EPA shall conduct a completeness review of an
individual's renewal certification application, as follows:
(a)
Ohio EPA shall
not consider an incomplete application, and shall notify the individual of any
reasons the application is incomplete, and of any additional information
required for further consideration of the application.
(b)
The director
shall not approve or deny an application until Ohio EPA determines that the
application is complete.
(c)
Nothing in this rule prevents Ohio EPA from requiring
the individual to promptly provide any information necessary to determine
whether to approve or deny certification.
(d)
If the individual
provides the additional information required to complete the application after
the expiration date of certification, there shall be a lapse between
certification periods. Individuals shall verify that there was no lapse in
certification at the time the individual issues any voluntary action
opinions.
(12) The
certified professional has sixty
thirty days after notification of an incomplete
application to provide additional documentation, such as completion of
additional professional development hour
units within the certification period , and
to submit such documentation as an addendum in
accordance with paragraphs (C)(1) to (C)(2) of this rule.
(13) If the director determines that the
certified professional has not submitted documentation of a completed
application and
, or
the certified professional has not complied with a standard of conduct in
performance of professional services as described in this rule, the director
may deny the renewal certification application. If the director denies
renewal of a certification, the director will
shall provide a
letter describing
that describes the reasons for the denial of
certification renewal.
(14)
The individual may provide professional services and
may render voluntary action opinions under this chapter only when in possession
of certification that is issued and is unexpired.
The certified professionals
certification
Certification expires one
year after the date of issuance, unless the certification is suspended or
revoked prior to expiration. An individual whose certification
has expired and has
was not
been renewed within
one year
sixty
days after the expiration date of the certificate
cannot
shall
not apply for renewal certification in
accordance with
pursuant to paragraph
(C)(1) of this rule, but may apply for certification as set forth in
pursuant
to paragraphs (A) and (B) of this rule.
(D) Biocriteria certification.
(1) If the qualitative habitat evaluation
index, index of biotic integrity, modified index of well-being, and the
invertebrate community index are being used
in support of a no further action letter, the certified professional or the
certified professional's designated representative must
shall do the
following:
(a) Conduct these indices in
accordance with the procedures contained in
the biocriteria manual
"Biological Criteria for the Protection of Aquatic Life"
(referred to as the "biocriterial manual") only for those indices for
which the certified professional or the certified professional's designated
representative have received approval for
under paragraph (D)(1)(b) of this rule.
(b) Receive approval by the director for
status under paragraph (B) of rule
3745-4-03
of the Administrative Code to be a qualified data collector for level 3
credible data for any one or a combination of the following:
(i) Stream habitat assessment.
(ii) Fish community biology.
(iii) Benthic macroinvertebrate
biology.
(c) Submit with
the no further action letter written documentation from
the agency
Ohio
EPA which states that the certified professional or the certified
professional's designated representative received approval by the director for
status under paragraph (B) of rule
3745-4-03
of the Administrative Code to be a qualified data collector for level 3
credible data.
(2)
Qualified data collector level 3 status must
shall be renewed
every two years before it
qualified data collector level 3 status automatically
expires. In order to be renewed
To renew to qualified data collector level 3 status ,
the certified professional or the certified professional's designated
representative must
shall meet the renewal requirements for status as a
level 3 qualified data collector under paragraph (C) of rule
3745-4-03
of the Administrative Code.
(E) Standards of conduct.
The following standards apply to a certified
professional only when the certified professional provides professional
services under Chapter 3746. of the Revised Code and this chapter:
The following standards apply to a
certified professional only when providing professional services under Chapter
3746. of the Revised Code and this chapter:
(1) Professional competency.
(a) A certified professional
must
shall act
with care and diligence, and must
shall fully apply the certified professional's
knowledge and skill at the time professional services are performed.
(b) A certified professional may render a
voluntary action opinion only when the certified professional,
individually, or together with other
persons who are qualified by education, training, and experience in other areas
outside the certified professional's area of professional practice, has done
either of the following:
(i) Managed,
supervised, or actually performed the work which
is required to render the voluntary action opinion.
(ii) Reviewed the work, performed by other qualified persons, which is required to render the voluntary action
opinion.
(2)
Professional responsibility.
(a) A certified
professional must
shall hold paramount public health, safety,
welfare, and the environment in the performance
of professional services.
(b) If a
certified professional identifies an imminent hazard at a property at which the
certified professional is providing professional services, the certified
professional must
shall do the following:
(ii)(iii)
Notify the director
Ohio EPA of the imminent hazard if the volunteer, or
the owner or operator of the property, if
different from the volunteer, does not submit written confirmation to the
certified professional within forty-eight hours of
identifying
after the imminent hazard
was identified that the hazard
has been
was
addressed, or the director
has been
was
notified.
(i) Immediately notify the volunteer, or the
owner or operator of the property, if
different from the volunteer, of the imminent hazard and of the need to notify the director.
(ii)
Immediately
notify the volunteer, or the owner or operator of the property if different
from the volunteer, of the need for the volunteer or the owner or operator of
the property to notify Ohio EPA of the imminent hazard.
(c) If a
certified professional discovers the occurrence of a release at or from a
property that is subject to the requirements
contained in section
3750.06 of the Revised Code, the
certified professional must
shall do the
following:
(i) Immediately advise the
volunteer, or the owner or operator of the property, if different from the volunteer, of the condition
and the need for the volunteer, owner, or operator of
the property if different from the volunteer, to notify
the director
Ohio
EPA within the applicable time frame established in section
3750.06 of the Revised
Code.
(ii) Notify
the director
Ohio
EPA of the condition if the certified professional is not able to notify
the volunteer, or the owner or operator of the property, if different from the volunteer, within the
applicable time frames established in section
3750.06 of the Revised
Code.
(d) In the event
that a certified professional knows or has reason to know of an action taken by
a volunteer, or any person conducting
who conducts work in connection with a voluntary
action, that significantly deviates from any scope of work, plan, or report
developed to meet the requirements of
comply with this chapter, or an order of the director issued under division
(B)(3) of section 3746.12 of the Revised Code, the
certified professional must
shall promptly
notify the volunteer in writing of such deviation. For
purposes of this rule, scope of work or plan includes any operation and
maintenance plan and risk mitigation plan that is applicable to the
property.
(e)
In providing professional services, a
A certified professional must
shall do the
following:
(i) Exercise independent
professional judgment, and be objective in any
professional report, statement, or testimony.
(ii)
Follow the
requirements and procedures set forth in
Comply
with the applicable provisions of this chapter and Chapter 3746. of the
Revised Code.
(iii) Make a good
faith and diligent effort to obtain all relevant data, reports, and other
available information regarding conditions at a property, and identify and
obtain such additional data and other information as the certified professional
deems necessary to provide professional services.
(iv)
In
rendering
When a voluntary action opinion
is rendered , disclose and explain in the
voluntary action opinion the relevant facts, data, and other information that
support the voluntary action opinion, and all qualifications and limitations of
the voluntary action opinion.
(f)
In the event
that
If , subsequent to the date
that a certified professional
issues
issued
a no further action letter, the certified professional learns that relevant
facts, data, or other information existed at the
time the no further action letter was issued which indicates that applicable
standards were not met, the certified professional must
shall do the
following:
(i) Promptly notify the volunteer
or the owner or operator of the property,
if different from the volunteer, that the applicable standards were
not met, and of the need for the certified professional to notify
the director
Ohio
EPA .
(ii) Notify
the director
Ohio
EPA that applicable standards were not met if required. For purposes of this rule, the certified
professional is required to notify Ohio EPA if the volunteer, or the
owner or operator of the property, if
different from the volunteer, does not submit written confirmation to the
certified professional within thirty days of
learning
after the certified professional
learns of the relevant facts, data, or other information, that the
director has been
volunteer, owner, or operator notified
Ohio EPA .
(g) In the event that a volunteer prevents or
attempts to prevent a certified professional from acting in accordance with
paragraphs (E)(2)(e)(i) to (E)(2)(e)(iv) of this rule, the certified
professional must
shall sever the certified professional's relationship
with the volunteer.
(h) A certified
professional must
shall not engage in fraudulent or dishonest business
practices or allow the use of the certified professional's name by, or
associate in a business venture with, any person or firm which the certified
professional knows or should know is engaging in fraudulent or dishonest
business practices.
(i) A certified
professional must
shall cooperate fully in the conduct of audits by the
director and must
shall promptly furnish such information as the
director deems necessary to perform all audits under this chapter and section
3746.17 of the Revised
Code.
(j) A certified professional
must
shall
promptly and completely respond to all document requests made by the director
under this chapter and Chapter 3746. of the Revised Code.
(3) Conflicts of interest and contingent
fees.
(a) A certified professional
must
shall not
accept compensation, financial or otherwise, from
more than one person for professional services regarding a property, unless the
circumstances are fully disclosed in writing to, and agreed to, by, all persons
who contract with the certified professional for professional services with
regard to that property.
(b) A
certified professional must
shall not render
a voluntary action opinion with respect to any property owned, leased, or
operated by or in which any of the following persons have an interest:
(i) The certified professional.
(ii) An employer or a person affiliated with
an employer of the certified professional.
(iii) A relative or past relative of the
certified professional.
(iv) A
person, or any affiliated person, with whom the certified professional was
employed during the year preceding, or in the year subsequent to, the date at
which the certified professional entered into a contract with that
person.
(v) Any person whose
relationship with the certified professional may impact the certified
professional's ability to discharge professional obligations under this
chapter.
(c) In the
event that a certified professional has, develops, or acquires any business
association, direct or indirect financial interest, or other circumstance which
could create an impression of influencing the certified professional's judgment
in connection with performance of professional services, the certified
professional must
shall fully disclose in writing, to the person who has
contracted with the certified professional for professional services, the
nature of the business association, financial interest, or other circumstance.
(i) If the person who
has contracted with the certified
professional for professional services objects to such business association,
financial interest or circumstance, the certified professional, at the
certified professional's discretion, must
either shall terminate the business association,
financial interest, or circumstances, or
shall terminate the professional services
pertaining to the voluntary action.
(ii) If a certified professional believes
that a business association, financial interest,
or other circumstance renders the certified professional incapable of
discharging professional obligations under this chapter regarding a voluntary
action, the certified professional must
shall terminate the certified professional's
involvement regarding that voluntary action and shall avoid any further involvement regarding such
action.
(d) A certified
professional must
shall not solicit or accept financial or other
consideration from any person in return for specifying
specification of
or endorsing
endorsement of the products or services of such person
in connection with a voluntary action.
(e) A certified professional
must not, directly or indirectly,
shall not provide professional services under a
contingency arrangement whereby the amount of payment of any consideration to
the certified professional is dependent upon or related to the attainment or
non-attainment of a specified finding or result, or where the payment of any
consideration to the certified professional in whole or in part is otherwise
dependent upon or related to a specified finding or result of such
services.
(f) A certified
professional may
shall not advertise or otherwise promise to any person
that the certified professional will issue a no further action letter regarding
a property, until the certified
professional has determined
determines that all requirements of Chapter 3746. of
the Revised Code and this chapter have
been
are satisfied.
(4) Affidavit requirement - voluntary action
opinions. Certified professionals shall submit each
voluntary action opinion by affidavit pursuant to this paragraph except for no
further action letters that are subject to the affidavit provisions of
paragraph (Q) of rule
3745-300-13
of the Administrative Code. The certified professional shall submit an
affidavit based upon the certified professional's knowledge, information, and
belief, which includes the following:
Certified professionals must submit
each voluntary action opinion by affidavit pursuant to this paragraph except
for no further action letters that are subject to the affidavit provisions of
paragraph (Q) of rule
3745-300-13
of the Administrative Code. The certified professional must submit an affidavit
based upon the certified professional's knowledge, information and belief,
which includes the following:
(a)
The
name
Name of the certified
professional.
(b) Name and address
of the property that is the subject of the voluntary action.
(c) The purpose for which the voluntary
action opinion is being
submitted.
(d)
An identification
Identification of the information, data, documents, or
reports included with the voluntary action opinion submitted with the
affidavit.
(e)
A statement
Statement attesting that
the certified professional has read all of the standards of conduct
contained in paragraph (E) of this rule and
is in compliance with the standards of conduct regarding the voluntary action
opinion.
(f)
A statement
Statement attesting that
the voluntary action opinion and the associated information, data, documents,
or reports submitted by the certified professional are true, accurate, and complete.
(F) Suspension or revocation of
certification.
(1)(2)
The director may suspend or revoke the certification of a certified
professional for a period of time to be determined by the director if the
director finds any of the following:
(4)(3) The director may
suspend for a period of not more than five years, or may permanently revoke, a certified professionals certification if the
director finds any of the following:
(g)(f) The certified
professional's certification has been
was suspended or revoked under this chapter on at
least two occasions.
(1)
The
director shall revoke the certification of a certified professional for a
period of time to be determined by the director if the director finds that any
information on the certified professional's application for initial
certification or application for renewal certification or any information in
connection with a voluntary action was falsified.
(a) The
certified professional's performance has
resulted in the issuance of a no further action letter that is not consistent
with applicable standards contained in this
chapter or Chapter 3746. of the Revised Code.
(b) The certified professional
has
did not
substantially complied
comply with section
3746.31 of the Revised Code or
paragraph (H)(2)
(I)(2) of this rule.
(2) The director will revoke the
certification of a certified professional for a period of time to be determined
by the director if the director finds that any information on the certified
professional's application for initial certification or application for renewal
or any information in connection with a voluntary action has been
falsified.
(3) The director will permanently
revoke the certification of a certified professional if the certified
professional fails to comply with the director's request to provide documents,
data or other information for the purposes of verifying the qualifications of
the certified professional or for the purpose of auditing the performance of
the certified professional made by the director in connection with an audit
under rule
3745-300-14 of the
Administrative Code.
(a) The
certified professional has violated or
failed to comply with the standards of conduct established in paragraph (E) of
this rule.
(b) The certified
professional has been
was denied certification for performing environmental
work in this state, another state, or under federal programs.
(c) The certified professional's
certification for performing
to perform environmental work in this state, another
state, or under federal programs has
been
was revoked or suspended.
(d) The certified professional
has used the certified professional seal
described in paragraph (K)
(L) of this rule in an unauthorized manner.
(e) The certified professional
has committed an act involving dishonesty,
fraud, or deceit.
(f) The certified professional has
failed to make annual fee payments in accordance with paragraph (C)(1) of this
rule and paragraph (B)(2) of rule
3745-300-03
of the Administrative Code.
(g)
The certified professional failed to make annual fee
payments in accordance with paragraph (C)(1) of this rule and paragraph (B)(2)
of rule
3745-300-03
of the Administrative Code.
(4)
The director may
request the certified professional to provide documents, data, or other
information to verify the qualifications of the certified professional or to
audit the performance of the certified professional. If the certified
professional fails to comply with the director's request, the director shall
permanently revoke the certification of the certified
professional.
(5) A certified
professional whose certification has
been
was suspended or revoked
must
shall
immediately provide notification of the suspension or revocation, by certified
mail, to all persons who have contracted
with the certified professional for professional services, or who
have had a no further action letter
prepared by the certified professional. The certified professional
must
shall
provide to the director a copy of all notifications required by this paragraph
within ten days of
after the date of the certified mailing.
(6)
The
Unless the director
first consults with the director of the department of commerce, the
director will
shall not revoke the certification of a certified
professional who conducts voluntary actions only at properties contaminated
solely with petroleum, unless the director first
consults with the director of the department of commerce.
(7) The director will
shall provide at
least thirty days prior notice to a certified professional of an ensuing
suspension or revocation action by the director. The notice
will
shall
include a general explanation of the suspension or revocation action.
(G) Recertification after
suspension or revocation. An individual whose
certification was suspended or revoked may apply for recertification after
suspension or revocation. Such application shall comply with paragraphs (A) and
(B) of this rule.
(1) An individual whose
certification has been suspended, and has not been renewed within one year
after the date of expiration, may apply for recertification after termination
of the suspension period imposed by the director. Such application must comply
with the criteria and procedures for initial certification set forth in
paragraphs (A) and (B) of this rule.
(2) An individual whose
certification has been revoked may apply for recertification after termination
of the revocation period imposed by the director. Such application must comply
with the criteria and procedures for initial certification set forth in
paragraphs (A) and (B) of this rule.
(H)
If a certified
professional no longer intends to retain certification, the certified
professional shall return the certificate with a written notice to Ohio EPA
indicating intent to withdraw from certification.
(1) The following criteria are
applicable to all voluntary actions for which professional services are
rendered:
(a) A certified professional must
maintain all documents and data prepared or acquired in connection with a
voluntary action for a period of at least ten years. After ten years, if a
certified professional does not intend to retain such documents, the certified
professional must notify the director by certified mail of such intent and
provide the director with the opportunity to obtain all documents. The
documents must be retained by the certified professional until the notice
described above is provided to the director and the director notifies the
certified professional in writing that the director does intend to obtain the
documents. If the director notifies the certified professional in writing that
the director does not intend to obtain the documents, the certified
professional may discard the documents. Notification of the director is not
required as long as a certified professional continues to retain all
documents.
(b) If a certified professional no
longer intends to retain certification, the certified professional may return
the certificate with a notice by certified mail to the director indicating the
certified professional's intent to withdraw from certification. Upon
withdrawal, the certified professional must promptly provide the director the
opportunity to obtain all documents maintained under this chapter in the same
manner as identified in paragraph (H)(1)(a) of this rule.
(2) The director will, upon the
written request of any person for documents not in the possession of the
director and described on a list included in a no further action letter
submitted to the director, send a written request to the certified professional
to submit such documents to the director within a reasonable period of time.
Upon receiving the written request from the director, the certified
professional must submit the original documents to the director, within the
time period specified in the director's request. Within a reasonable period of
time after the director receives the requested documents, the director will
provide copies of the documents, at cost, to the person who requested the
documents and will retain the originals in the agency's files. Any request for
reproduction of documents must be made through the director.
(1)
The certified
professional's document retention requirements are as follows:
(a)
A certified
professional shall maintain all documents and data prepared or acquired in
connection with a voluntary action for a period of at least ten
years.
(b)
After ten years, if a certified professional does not
intend to retain such documents, the certified professional shall notify Ohio
EPA by certified mail of such intent and shall provide Ohio EPA the opportunity
to obtain all documents.
(c)
Documents shall be retained by the certified
professional until the notice described in paragraph (I)(1)(d) of this rule is
provided and Ohio EPA notifies the certified professional in writing that Ohio
EPA does intend to obtain the documents.
(d)
If Ohio EPA
notifies the certified professional in writing that Ohio EPA does not intend to
obtain the documents, the certified professional may discard the
documents. \
(e)
Notification to Ohio EPA is not required pursuant to
this rule as long as a certified professional continues to retain all
documents.
(f)
Upon withdrawal, the certified professional promptly
shall provide Ohio EPA the opportunity to obtain all documents maintained under
this chapter in the same manner as identified in paragraph (I)(1)(a) of this
rule.
(2)
Procedures to address requests for documents that are
not in Ohio EPA's possession are as follows:
(a)
Upon the written
request of any person for documents not in the possession of Ohio EPA and
described on a list included in a no further action letter submitted to the
director, Ohio EPA shall send a written request to the certified professional
to submit such documents to Ohio EPA within a reasonable period of
time.
(b)
Upon receipt of the written request from Ohio EPA, the
certified professional shall submit the original documents to Ohio EPA, within
the time period specified in the director's request.
(c)
Within a
reasonable period of time after Ohio EPA receives the requested documents, the
Ohio EPA shall provide copies of the documents to the requestor in the same
manner as a public record.
(d)
Any request for
reproduction of documents shall be made through Ohio EPA.
A certified professional must
prepare and retain a voluntary action summary report, detailing the certified
professional's findings and conclusions regarding the environmental conditions
at each property for which the certified professional was requested to prepare
a no further action letter, in accordance with division (C) of section 3746.11
of the Revised Code and paragraph (J) of rule
3745-300-13
of the Administrative Code and in a format prescribed and provided by the
agency.
(1)
Be consistent with the executive summary requirements
of rule
3745-300-13
of the Administrative Code.
(2)
Detail the
certified professional's findings and conclusions regarding the environmental
conditions at each property for which the certified professional was requested
to prepare a no further action letter.
(3)
Be retained by
the certified professional.
The issuance, denial, suspension, or
revocation of certifications are final actions of the director, and are subject
to the procedure for appeal set forth in Chapter 3745. of the Revised
Code.
(1)
For the purpose of rendering
To render a voluntary action opinion, each certified
professional must
shall procure and use an
embossing
a device
for
to mark a
seal. A rubber
The
separate stamp may be used in addition to the embossing
seal device
for purposes of recording
to record the individual's certification dates. The
design, arrangement, size, and wording of the
seal must
shall conform with the specifications
as prescribed by the agency
Ohio
EPA .
(2) The certified
professional's seal is intended for
shall apply to the certified professional's official
use only in connection with voluntary action opinions for which the certified
professional is responsible, and is not
transferable
shall not
transfer .
(3) A certified
professional must
shall use the seal to attest that, in the certified
professional's professional judgment, the voluntary action opinion upon which
it
the seal
appears complies with the provisions of
this chapter and Chapter 3746. of the Revised Code.
(4) A certified professional
may
shall not
allow the official seal to be affixed to any document associated with any
project which is not a voluntary action or to any voluntary action opinion not
prepared by the certified professional or under the certified professional's
personal supervision.
(5) An
individual whose certification has expired
and has
was
not been renewed, or
has been
was
revoked or suspended must
shall not allow the official seal to be affixed to any
document associated with a voluntary action opinion unless and until such
individual is recertified as a certified professional in accordance with this
rule.
(1)
As a condition of certification under this rule,
certified professionals located outside the state of Ohio consent to service of
process and to personal jurisdiction of any Ohio court or the Ohio
environmental review appeals commission in proceedings that adjudicate any
rights or obligations under this chapter and Chapter 3746. of the Revised Code,
or in which the cause of action involves, in whole or in part, the certified
professional's performance under this chapter or Chapter 3746. of the Revised
Code.
(2)
Out-of-state certified professionals also consent to
Ohio EPA's right of entry for inspection or investigation, and to the service
of administrative warrants, inspection warrants, or other appropriate search
warrants as a condition of certification under this rule.
As a condition of certification
under this rule, certified professionals located outside the state of Ohio
hereby consent to service of process and to personal jurisdiction of any Ohio
court or the Ohio environmental review appeals commission in proceedings which
adjudicate any rights or obligations under this chapter, and Chapter 3746. of
the Revised Code, or in which the cause of action involves, in whole or in
part, the certified professional's performance under this chapter or Chapter
3746. of the Revised Code. Out-of-state certified professionals also hereby
consent to the agency's right of entry for inspection or investigation, and to
the service of administrative warrants, inspection warrants, or other
appropriate search warrants as a condition of certification under this rule of
the Administrative Code.
Notes
Promulgated Under: 119.03
Statutory Authority: 3746.04
Rule Amplifies: 3746.071, 3746.18, 3746.19, 3746.31
Prior Effective Dates: 12/29/1995, 12/16/1996, 03/04/2002, 04/19/2006, 03/01/2009, 04/23/2012, 04/18/2013, 08/01/2014, 05/26/2016
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