Mo. Code Regs. Ann. tit. 10, § 20-13.080
PURPOSE: This rule sets forth the protocol used by the Missouri Clean Water Commission for the consistent and equitable assessment of civil penalties. The penalties are authorized and described in the Underground Storage Tank Law,sections 319.127and319.139, RSMo.
(4) An order assessing an administrative penalty shall be served upon the operator, owner or appropriate representative, including the registered agent, through United States Postal Service certified mail, return receipt requested; a private courier or messenger service which provides verification of delivery; or by hand delivery to the operator’s or owner’s residence or place of business. An order assessing an administrative penalty shall be considered served if verified receipt is made by the operator’s or owner’s registered agent. A refusal to accept or a rejection of certified mail,
secrctaly Of state
private courier or messenger service delivery or by hand delivery of an order assessing an administrative penalty constitutes service of the order.
(7) Calculation of Penalties. The two (2) components listed in subsections (?)(A) and(B) will be evaluated and the two (2) figures will be totaled to arrive at a dollar penalty amount. The components weigh the gravity of the noncompliance and any economic benefits accrued as the result of noncompliance.
(C) Calculation of the Gravity-Based Component. The gravity-based component shall be a matrix value which may be modified by other factors. It may be multiplied by a violatorspecific factor, by an environmental sensitivity factor and days of noncompliance factor.
step in determining the gravity-based component shall be determining the initial matrix value. The matrix value reflects both the federal Underground Storage Tank Law (IJSTL) and Resource Conservation and Recovery Act (RCRA) penalty matrices. A matrix has been developed in which two (2) criteria form the axes. The specific cell of the matrix to be used in determining the matrix value is found by determining a gravity level (major, moderate, minor) for both criteria. The criteria which form the matrix axes are the
CODEOFSTATE REGULATIONS IO CSR 20-13
extent of deviation from the law and occurrence of or potential for harm.
ment of the statute or any corresponding standard, limitation, order or regulation, or term or condition of any permit. The assessment of the extent of deviation from the provisions of sections 319.100-319.139, RSMo relates to the degree to which the violation departs from or renders ineffective the intended purpose of the specific statutory or regulatory requirement. A violator may be in compliance with most provisions of a requirement, may have totally disregarded the requirement or be at some point between the extremes. The assessment will reflect this range.
health or the environment as a result of a violator’s noncompliance. The risk presented by a given violation depends on both the likelihood that humans or the environment may be exposed to the stored products and the extent and effect of the potential exposure. The assessment will reflect the probability that the violation could have resulted in, or did result in, a release of the stored substance and the harm which would result if, or did result when, the product was released to the environment.
as follows:
ment equates to substantial noncompliance and little or no effort to comply. A major potential for harm denotes substantial or continuous health or environmental risks;
ment equates to significant deviation from requirements, but there has been some effort made to comply and the substantial and significant provisions are implemented. A moderate potential for harm denotes a significant risk to health or the environment;
ment equates to most, but not all, requirements met including all substantial or significant ones. A minor potential for harm may cause a relatively low health/environmental risk; and
part of this rule as Appendix A shall be used to assist in the placement of violations in a specific gravity level and thereby a cell in the matrix. Violations not in Appendix A will be given gravity levels and corresponding matrix placement based on the factors presented in this section of the rule. The underground storage tank (UST) administrative and civil penalty matrix is as follows:
Potential Extent of Deviation for Harm Major Moderate Minor Major $500 Moderate $250 Minor $ 200 $ 100 $ 0 lOCSR20-13-NATURALRESOURCES
2. Violator-specific factor adjustment (VSA). To ensure that penalties are assessedin a fair and consistent manner, and take into account case-specific differences, five (5) factors shall be considered. These factors shall be expressed as a positive or negative change to the matrix value. The change to the matrix value using VSA shall not exceed fifty percent (50%) per factor except on approval of the director. The matrix value may be adjusted based on-
claims of ignorance of the law or regulation.
3. Environmental sensitivity factor adjustment.
value will be made by analysis of the environmental sensitivity of the site. For purposes of this rule, environmental sensitivity shall be based on the potential or actual environmental impact at the site and shall be categorized as either low, moderate or high. Factors considered to determine these levels shall be-
involved or actually released and the size and number of US’ls;,
obvious human health and safety hazards; and
the site that would make clean1 rp difficult or spread the plume of contaminants in an erratic pattern.
environmental sensitivity, an environmental sensitivity multiplier (ESM) shall be found in the following table: Environmental Sensitivity ESM LOW 1.0 Moderate 1.5 High 2.0
ment. The final adjustment that shall be made to the matrix value is a factor that takes into account the number of days of noncompliance. To determine this adjustment, the days of noncompliance multiplier (DNM) shall be located in the following table and the matrix value shall be multiplied by this figure: Days of Noncompliance DNM O-90 1.0 91-180 1.5 B-270 2.0 271-365 2.5 each adtftit:l six (6) add 0.5
component of the administrative or civil penalty shall be as follows: Gravity-based penalty = Matrix value X VSA X ESM X DNM
(9) The proceeds from any administrative penalty assessed in accordance with this rule shall be paid to the county treasurer of the county in which the violation(s) occurred for the use and benefit of the county schools.
(7/27/92) Roy 0. Blunt
Chapter 134nderground Storage Tanks-Administrative Penalties
APPENDIX A
Violation Requirement _____-~-
UST SYSTEMS: DESIGN, CONSTRUCTION, INSTALLATION, AND NOTIFICATION (Violations of the requirements of 10 CSR 20.10.020-10 CSR 20-10.022) Performance standards for new UST systems Installation of an improperly constructed fiberglass-reinforced plastic tank Installation of an improperly designed and constructed metal tank that fails to meet corrosion protection standards Installation of a metal tank with unsuitable dielectric coating Installation of an improperly designed cathodic protection system for a metal tank Improper installation of cathodic protection system for a metal tank Improper operation and maintenance of tank cathodic protection system Installation of an improperly constructed steel-fiberglass-reinforced-plastic tank Installation of improperly constructed fiberglass-reinforced plastic piping Failure to provide any cathodic protection for metal piping Installation of piping with unsuitable dielectric coating Installation of improperly designed cathodic protection for metal piping Improper installation of cathodic protection system for piping Improper operation and maintenance of cathodic protection system for metal piping Failure to install any spill prevention system Installation of inadequate spill prevention equipment in a new tank Failure to install any overfill prevention system Installation of inadequate overfill prevention equipment in a new tank Failure to install tank in accordance with accepted codes and standards Failure to install piping in accordance with accepted codes and standards Failure to provide any certification of UST installation Failure to provide complete certification of UST installation Upgrading of existing UST systems Failure to meet all tank upgrade standards Improper installation of interior lining for tank upgrade requirements Failure to meet interior lining inspection requirements for tank upgrade Failure to ensure that tank is structurally sound before installing cathodic protection Failure to provide any monthly monitoring of cathodic protection for tank upgrade requirement Failure to provide continuous monthly monitoring of cathodic protection for tank upgrade requirement Failure to meet tightness test requirements for a tank upgraded with cathodic protection Failure to meet requirements for testing for corrosion holes for a tank upgraded with cathodic protection Failure to install any cathodic protection for metal piping upgrade requirements Failure to meet tightness test requirements for cathodically protected metal piping Failure to provide spill prevention system for an existing tank Failure to provide overfill prevention system for an existing tank Notification requirements Failure to notify state or local agency within thirty (30) days of bringing a UST system into use Failure to notify designated state or local agency of existing tank Failure to identify on the submitted notification form all known tanks at that site Failure to submit a separate notification form for all notified tanks that are located at a senarate place of operation - Failure to provide complete certification of all requirements on the notification form Failure to inform tank purchaser of notification requirements GENERAL OPERATING REQUIREMENTS (Violations of the requirements of 10 CSR 20-10.030-10 CSR 20-10.034) Spill and overfill control Failure to take necessary precautions to prevent overfill/spillage during the transfer of product Failure to report a spill/overfill Failure to investigate and cleanup a spill/overfill
Ray D. Blunt (7/27/92) CODEOFSTATE REGULATIONS semary Of state 10 CSR 20-13
Deviation From Potential
Major
Major Major Moderate Moderate Major Major Major Major Major Moderate Moderate Major Major Major Major Major Varies’ Varies’ Moderate Minor
Major Major Major Major Major
Moderate Major
Major Major Major Major Major
Major Major Major
Major Moderate Major
Major Major Major for Matrix Harm Value
Major
Moderate Moderate Moderate Moderate Moderate Moderate Major Moderate Moderate Moderate Moderate Moderate Major Major Moderate Moderate Varies’ Varies’ Minor Minor
Major Major Moderate Moderate Major
Minor Moderate
Moderate Major Moderate Major Moderate
Major Major Moderate
Minor Minor Major
Major Major Major lOCSR20-13-NATURAL RESOURCES
Requirement
Operation and maintenance of corrosion protection Failure to operate and maintain corrosion protection system continuously Failure to ensure that cathodic protection system is tested within six (6) months of installation Failure to ensure that cathodic protection system is tested every three (3) years after that Failure to meet one (1) three (3).year test for cathodic protection system Failure to inspect cathodic protection system in accordance with accepted codes Failure to inspect impressed current systems every sixty (60) days Failure to maintain any records of cathodic protection inspections Failure to maintain every record of cathodic protection inspections Compatibility Failure to ensure that UST system is made of or lined with materials compatible with substance stored Repairs allowed Failure to repair UST system in accordance with accepted codes and standards Failure to repair fiberglass-reinforced UST in accordance with accepted codes and standards Failure to replace metal piping that has released product Failure to repair fiberglass-reinforced piping in accordance with manufacturer’s specifications Failure to ensure that repaired tank systems are tightness tested within thirty (30) days of completion of repair Failure to test cathodic protection system within six (6) months of repair of a UST system Failure to maintain records of each repair to a UST system RELEASE DETECTION (Violations of the requirements of 10 CSR 20-10.040-10 CSR 20-10.045) General requirements for all UST systems Failure to provide release detection method capable of detecting a release from tank or piping that routinely contains product Failure to install, calibrate, operate or maintain release detection method in accordance with manufacturer’s instructions Failure to provide a release detection method that meets the performance requirements in the regulations Failure to notify the department when release detection indicates release Failure to provide any release detection method by phase-in date Failure to close any UST system that cannot meet release detection requirements Requirements for petroleum UST systems Failure to monitor tanks at least every thirty (30) days, if appropriate Failure to conduct tank tightness testing every five (5) years, if appropriate Failure to conduct annual tank tightness testing, if appropriate Failure to use any underground piping monitoring method Requirements for hazardous substance UST systems Failure to provide release detection for an existing hazardous substance tank Failure to provide adequate release detection for a new hazardous substance UST system Failure to provide adequate secondary containment of tank for a hazardous substance LIST Failure to provide adequate double-walled tank/adequate lining for a hazardous substance UST Failure to provide adequate external liners for a hazardous substance UST Failure to provide adequate secondary containment of piping for a hazardous substance UST Methods of release detection for piping Failure to provide any release detection for underground piping Failure to provide adequate line leak detector system for underground piping Failure to provide adequate line tightness testing system for underground piping system Inadequate use of applicable tank release detection methods Division 26Clean Water Commission
Deviation From Potential
Major Major Major Moderate Major Major Major Moderate
Major
Varies’ Varies’ Major Major
Major Major Major
Major
Major
Major Major Major Major
Major Major Major Major
Major Major Major Major Major Major
Major Major Major Major for Harm
Major Major Moderate Minor Moderate Moderate Moderate Minor
Major
Varies’ Varies’ Major Major
Moderate Moderate Major
Major
Major
Major Major Major Major
Major Major Major Major
Major Major Major Major Major Major
Major p;+; Major
Roy D. Blunt
Matrix Value
t 1500
see matrix see matrix $ 1500 $ 1500
$ 750
f 1% Deviation
Violation Reuuirement
Release detection recordkeeping Failure to maintain any records of release detection monitoring Failure to maintain every record of release detection monitoring Failure to document all release detection performance claims for five (5) years after installation Failure to maintain any results of sampling, testing or monitoring for release detection for at least one (1) year Failure to maintain every result of sampling, testing or monitoring for release detection for at least one (1) year Failure to retain results of tightness testing until next test is conducted Failure to document any calibration, maintenance and repair of release detection . . Failure to document every calibration, maintenance and repair of release detection RELEASE REPORTING, INVESTIGATION AND CONFIRMATION (Violations of the requirements of 10 CSR 20-10.050-10 CSR 20-10.053) Reporting of suspected release Failure to report a suspected release within twenty-four (24) hours to the department Release investigation and confirmation steps Failure to investigate and confirm a release (if appropriate) using accepted procedures Reporting and cleanup of spills and overfills Failure to report a spill/overfill (if appropriate) to the department within twenty-four (24) hours (or other specified time period) Failure to contain and immediately cleanup a spill/overfill of less than twenty-five (25) gallons Failure to contain and immediately cleanup a hazardous substance spill/overfill RELEASE RESPONSE AND CORRECTIVE ACTION (Violations of the requirements of 10 CSR 20-10.060-10 CSR 20-10.067) -_ Failure to take initial response actions within specified time period after a release is confirmed Failure to submit report on initial abatement measures within twenty (20) days (or other specified time) of release confirmation Failure to submit report on initial site characterization within forty-five (45) days (or other specified time) of release confirmation Failure to submit report on free product removal within forty-five (45) days (or other specified time) of release confirmation OUT-OF-SERVICE UST SYSTEMS AND CLOSURE (Violations of the requirements of 10 CSR 20-10.070-10 CSR 20-10.074) Temporary closure Failure to continue operation and maintenance of cathodic protection system in a temporarily closed tank system Failure to continue operation and maintenance of release detection in a temporarily closed tank system Failure to comply with temporary closure requirements for a tank system for three (3) or more months Fzg;F permanently close or upgrade a temporarily closed tank system after twelve (12)
Permanent closure and changes-in-service Failure to notify the department of a closure or change-in-service Failure to remove all liquids and sludges for tank closure Failure to remove closed tank from the ground or fill tank with an inert solid for tank closure Failure to empty and clean tank system and conduct a site assessment prior to a change-in-service Assessing the site at closure or change-in-service Failure to measure (if required) for the presence of a release before a permanent closure If contaminated soil, contaminated groundwater or free product is discovered, failure to begin corrective action
Roy D. Blunt (7127192) CODEOFSTATEREGULATIONS 10 CSR 20-13
From Potential for Harm -
Major Major Moderate Minor Moderate Minor
Major Major
Moderate Minor Major Major Major Major Moderate Moderate
Major Major
Major Major
Major Major Major Major Major Major
Major Major
Major Major
Major Major
Major Major
Major Moderate
Major Major
Major Moderate
Major Major
Major Major Major Major Major Moderate
Major Major
Major Major
Major Major Matrix Value .-
$ 1500
: :i
$ 1500
$ 100
! E $ 500
$ 1500
$ 1500
x :Ei $ 1500
$ 1500
$ 1500
$ 1500
$1500
$ 750
$ 1500
$ 1500
$ 1500
i :Ei $ 750
$ 1500
$ 1500
$1500 10CSR20-134ATURAL RESOURCES
Violation Requirement
Closure records Failure to maintain closure records for at least three (3) years Failure to maintain change-in-service records for at least three (3) years FINANCIAL RESPONSIBILITY (Violations of the requirements of 10 CSR 20-11.090-10 CSR 20-11.111) Failure to comply with financial responsibility requirements by the required phase-in time Failure to meet the requirement for per-occurrence coverage of insurance Failure to meet the requirement for annual aggregate coverage of insurance Failure to review and adjust financial assurance after acquiring new or additional USTs Use of an unapproved mechanism or combination of mechanisms to demonstrate financial responsibility Use of falsified financial documents to pass financial test of self-insurance Failure to report evidence of financial responsibility to the department within thirty (30) days of detecting a known or suspected release Failure to report evidence of financial responsibility to the department when new tanks are installed Failure to report evidence of financial responsibility to the department if the provider becomes incapable of providing financial assurance and the owner or operator is unable to obtain alternate coverage within thirty (30) days Failure to maintain copies of the financial assurance mechanism(s) used to comply with financial responsibility rule and certification that the mechanism is in compliance with the requirements of the rule at the UST site or place of business
IDeviation from requirement and potential from harm will vary depending upon specific code or standard violated. Auth: sections 319.137 and 644.026, RSMo (Cum. Supp. 1990). Original rule filed Dec. 31,1991, effective Aug. 6,1992.
CODEOFSTATEREGULATIONS
Deviation From Potential
Major Major
Major Major Major Major
Major Major
Moderate
Moderate
Moderate
Moderate for Harm
Major Major
Moderate Moderate Moderate Moderate
Moderate Moderate
Minor
Minor
Minor
Minor
Roy D. Blunt secretary a, state
Matrix Value
$1500 $1500
$ 750 $ 750 $ 750 $ 750
: %
$ 100
$ 100
$ 100
$ 100