§ 6605f. Waste management personnel background review

(a) Disqualifying criteria. Any nongovernmental entity or person applying for a certification under section 6605, 6605a, or 6606 of this title, for interim certification under section 6605b of this title, or for a waste transportation permit under section 6607a of this title, shall be denied certification or other authorization if the Secretary finds:

(1) that the applicant or any person required to be listed on the disclosure statement pursuant to subdivision (b)(1) of this section has been convicted of any of the following disqualifying offenses in this or any other jurisdiction within the 10 years preceding the date of the application:

(A) murder;

(B) kidnapping as defined in 13 V.S.A. § 2405;

(C) gambling as defined in 13 V.S.A. § 2135;

(D) robbery as defined in 13 V.S.A. § 608;

(E) bribery as defined in 13 V.S.A. chapter 21;

(F) extortion as defined in 13 V.S.A. § 1701;

(G) arson as defined in 13 V.S.A. chapter 11;

(H) burglary as defined in 13 V.S.A. § 1201;

(I) larceny and embezzlement as defined in 13 V.S.A. chapter 57;

(J) forgery and fraud as defined in 13 V.S.A. chapters 43, 47, and 49 and 9 V.S.A. chapters 63, 67, 71, 105, and 131;

(K) possession and control of drugs and related offenses as defined in 18 V.S.A. chapter 84;

(L) unlawfully selling, bartering, possessing, furnishing, or transporting alcohol pursuant to 7 V.S.A. § 561;

(M) the federal Racketeer Influenced and Corrupt Organizations Act as defined in 18 U.S.C. § 1961 et seq.;

(N) the criminal provisions of federal antitrust laws for activities related to solid waste;

(O) the criminal provisions of any federal or state environmental protection laws or rules relating to solid waste;

(P) obstruction of justice as defined in 13 V.S.A. chapter 67;

(Q) fraud in the offering, sale, or purchase of securities as defined in 9 V.S.A. § 4224a and in the U.S. Code;

(R) alteration of motor vehicle identification numbers as defined in 23 V.S.A. § 1703;

(S) unlawful manufacture, purchase, use, or transfer of firearms as defined in 13 V.S.A. chapter 85 and in the U.S. Code;

(T) perjury as defined in 13 V.S.A. chapter 65; or

(2) that the applicant or any person required to be listed on the disclosure statement pursuant to subdivision (b)(1) of this section, alone or taken together, have committed more than one violation of environmental: statutes; rules; orders; certifications; or permits, issued by any jurisdiction, which have the potential to significantly harm the public health, public safety, or the environment, giving due consideration to the size and scope of the applicant's business operations.

(b) Disclosure statement. The disclosure statement shall include the following:

(1) Disclosure of equity and debt ownership. The full name, business address, and Social Security number or its foreign equivalent of the applicant or, if the applicant is a business concern, of the officers, directors, partners, or key employees of that business concern; and a listing of all persons or business concerns which hold any equity in or debt liability of the applicant business concern, or, if the applicant business concern is a publicly traded corporation, of all persons or business concerns holding more than five percent of the equity in or debt liability of that business concern. The Secretary and the Commissioner of Public Safety shall have the right, but not the obligation, to require the applicant to submit disclosure statements for the officers, directors, partners, and key employees of any business concern that holds any equity in or debt liability of the applicant business concern.

(2) Disclosure of equity and debt ownership in related business concerns. The full name, business address, and Social Security number of all persons or business concerns holding any equity in or debt liability of any business concern disclosed in this subsection. The Secretary and the Commissioner of Public Safety shall have the right, but not the obligation, to require the applicant to submit disclosure statements for the officers, directors, partners, and key employees of any business concern that holds any equity in or debt liability of the applicant business concern.

(3) Disclosure of record of convictions. The record of convictions identified in subsection (a) of this section by any person identified in this section for the 10 years prior to the date of the application.

(4) Disclosure of civil and administrative penalties. A list of all civil and administrative penalties issued against the applicant by any state or federal authority, in the five years immediately preceding the filing of the application, which resulted from a finding of violation or assurance of discontinuance, relating to the collection, transportation, treatment, storage, or disposal of solid waste or hazardous waste by the applicant, or if the applicant is a business concern, by any key employee, officer, director, or partner of that business concern.

(c) Investigation. The Secretary shall refer the completed application to the Department of Public Safety for the purpose of verifying the information in the application and conducting an investigation. In connection with its investigation, the Department of Public Safety may request and receive criminal history information from any federal or state law enforcement agency or organization and may transmit that information to the Secretary. Unless the Secretary's determination or decision is contested, the information contained in the investigative report shall remain confidential and shall only be used by the cooperating agencies.

(d) Definition of key employee. As used in this section, "key employee" means any individual employed by a business concern in a management capacity or who is empowered to make discretionary decisions of a financially material nature with respect to the solid or hazardous waste operations of the business concern.

(e) Change in ownership. In the event of any change in ownership, the certificate or permit holder under this section shall file a disclosure statement, as required of an applicant under this section. This filing shall be made at least 90 days before the proposed change in ownership. A proposed change of ownership shall be processed in the same manner as an application under subsection (a) of this section, and if it would result in the denial of an application, transfer of the permit to the proposed new owner shall be denied.

(f) Rehabilitation. Notwithstanding the provisions of this section, no applicant under this section shall be denied certification, or licensure on the basis of disqualifying criteria with respect to any individual required to be listed in the disclosure statement or shown through investigation to have a beneficial interest in the business of the applicant other than an equity interest or debt liability, if the person has demonstrated the person's rehabilitation, as determined by the Secretary.

(g) Revocation of certification. The Secretary shall revoke any certification or permit subject to this section, or appoint a receiver and order that the receiver conduct the business in question, if the Secretary determines:

(1) that any of the grounds for denial under subsection (a) of this section either existed at the time of application or have arisen since that time; or

(2) that the holder of the certification or permit, or the applicant for the certification or permit, knowingly omitted or falsified information required to be disclosed under this section.

(h) Agency coordination. The Secretary of Natural Resources, the Attorney General, the State's Attorneys, and the Commissioner of Public Safety shall coordinate efforts to enforce solid waste laws and to investigate for violations of those laws.

(i) Decision by Secretary. Any denial by the Secretary under subsection (a) of this section shall be made within 90 days of receiving a completed application; except that when the Secretary or the Commissioner of Public Safety requests additional information pursuant to subdivision (b)(1) or (2) of this section, the 90-day period shall not run from the date of that request until the date upon which the Secretary or Commissioner receives the information requested. If the Secretary does not issue a denial within 90 days of receiving a completed application or the additional language requested, the applicant shall be deemed to have complied with the requirements of this section, subject to the Secretary's right to seek revocation under subsection (g) of this section.

(j) Private entities that contract with governmental entities. If a governmental entity is an applicant for a certification, interim certification, or waste transportation permit listed in subsection (a) of this section, and contracts with a nongovernmental entity to conduct any part of its operation that is subject to the certificate or permit, such nongovernmental entity shall comply with the requirements of this section.

(k) Exemption.

(1) Except to the extent that other activities create jurisdiction under this section, a person shall be exempt from the provisions of this section, if that person:

(A) applies for certification under this chapter for on-site storage or treatment of solid or hazardous waste:

(i) which is generated solely on-site; or

(ii) which is generated off-site by:

(I) any person under the same ownership or control as is the person applying; or

(II) any person who is a joint venturer with, or partner of, the person applying; and

(B) does not accept any other solid or hazardous waste for storage or treatment.

(2) Any person who applies for a certification under this chapter to perform corrective action, or closure or post-closure activities shall be exempt from the provisions of this section, except to the extent that other activities create jurisdiction under this section.

(l) Continuing jurisdiction. After a certification or permit has been issued, the Secretary and the Commissioner of Public Safety shall retain the right to require the permittee to submit additional information concerning all persons holding equity in or debt liability of the permittee, if the Secretary or Commissioner has received reliable information, that was not available at the time the certification or permit was issued, indicating that additional investigation is warranted. Upon request by the Secretary or the Commissioner for the submission of additional information, the permittee shall exercise all due diligence to comply completely and in a timely manner with the request.

(m) Annual statement. Any person subject to this section who has received a waste transporter permit under section 6607a of this title shall file a statement annually within 30 days prior to the month and day of issuance of that permit disclosing any changes in facts that would render the disclosure statement filed in connection with that permit inaccurate in any way, or stating that no such changes have occurred in the period of time covered by the annual statement. The annual statement shall be under oath or affirmation. (Added 1993, No. 157 (Adj. Sess.), § 1; amended 1995, No. 56, § 1, eff. April 20, 1995; 1995, No. 141 (Adj. Sess.), §§ 1-5, eff. April 30, 1996; 2017, No. 83, § 144.)