49-109

49-109. Certificate of disclosure of
violations; remedies

A. The following persons shall file a certificate of disclosure with the department
as prescribed by this section:

1. A person who is engaged in an activity subject to regulation under this title
and who has been convicted of a felony involving laws related to solid waste, special
waste, hazardous waste, water quality or air quality in any state or federal jurisdiction
or for a violation of 42 United States Code section 9603 within the five year period
immediately preceding execution of the certificate.

2. Except in proceedings in which the department, or this state on behalf of the
department, is or was a party, a person who is engaged in an activity subject to
regulation under this title and who is or has been subject in any civil proceeding to an
injunction, decree, judgment or permanent order of any state or federal court within the
five year period immediately preceding the execution of the certificate that involved a
violation of laws of that jurisdiction relating to solid waste, special waste, hazardous
waste, used oil or used oil fuel, petroleum, water quality or air quality, except for a
misdemeanor violation of section 49-550, or a violation of 42 United States Code section
9603.

B. The certificate of disclosure prescribed by subsection A of this section shall
contain the following:

1. Identification of that person, including without limitation present full name,
all prior names or aliases, including full birth name, present house address and all
prior addresses for the immediately preceding five year period, date and location of
birth and social security number.

2. The nature and description of each conviction or judicial action, the date and
location, the court and public agency involved and the file or cause number of the case.

3. A written declaration that each signer swears to its contents under penalty of
perjury.

C. The certificate of disclosure submitted on behalf of a corporation shall be
executed by any two executive officers or directors of that corporation.

D. For purposes of subsection A of this section, "person" means a natural person,
any public or private corporation, its officers, directors, trustees, incorporators and
persons controlling or holding over ten per cent of the issued and outstanding common
shares or ten per cent of any other proprietary, beneficial or membership interest in the
corporation, a partnership, including all general partners and limited partners
controlling a ten per cent or more beneficial interest in the partnership, association or
society of persons, the federal government and any of its departments or agencies, this
state and any of its agencies, departments, political subdivisions, counties, towns or
municipal corporations.

E. Initial certificates shall be delivered to the department within ninety days
after the person first becomes subject to the disclosure requirements of this
section. Certificates shall be filed annually thereafter within ninety days after the
close of that person's fiscal year as reported on the initial certificate.

F. By December 1 of each year, the department shall provide the attorney general
with a list of all persons who were convicted of the crimes or who are the subject of the
judicial actions described in subsection A of this section, as indicated from the
certificates of disclosure filed during the preceding year.

G. In lieu of the certificate of disclosure prescribed by this section, a
corporation may submit to the director copies of annual reports filed with the securities
and exchange commission pursuant to section 13 or 15(d) of the securities exchange act of
1934 (15 United States Code section 78), commonly known as a "10-K form", within ninety
days of filing the annual report. The initial submission to the director shall include
10-K forms for the preceding five years.

H. A person who contributes information for a certificate of disclosure and who
makes an untrue statement of material fact concerning the requirements of subsection B of
this section or withholds any material fact concerning the requirements of subsection B
of this section or a person who is obligated to file a certificate of disclosure and who
fails to file the certificate is subject to the remedies prescribed in section 49-110.