Fill Out Your Un 049 Form

What is the purpose of the UN 049 form?

The UN 049 form serves as a certification of financial responsibility for underground storage tanks (USTs) that contain petroleum in California. It is essential for tank owners and operators to demonstrate that they have adequate financial resources to cover potential damages or liabilities associated with their tanks. This certification is required to meet state regulations and to ensure compliance with safety standards, ultimately protecting the environment and public health.

Who needs to complete the UN 049 form?

Any individual or entity that owns or operates an underground storage tank containing petroleum must complete the UN 049 form. This includes both the tank owners and operators, as well as those utilizing USTs at various facilities. It is vital that this form is accurately filled out and submitted as it reflects the financial responsibility obligations mandated by state law.

What information must be included on the UN 049 form?

The form requires specific details to be provided. This includes the name and address of the tanks' owner or operator, the financial responsibility mechanisms being used, and the coverage amounts for both per occurrence and annual aggregate. Additionally, facility names and addresses for each UST must be listed. Completing this information accurately is important to comply with state regulations.

How should the completed UN 049 form be submitted?

Upon completion, the original UN 049 form must be submitted to the local UST regulatory agency that issues the UST permit. In addition, it is recommended that a copy of the form be kept at each UST facility for reference. Maintaining copies is a good practice, ensuring that all stakeholders are aware of the financial responsibility certifications applicable to each site.

What are the consequences of not complying with the UN 049 requirements?

Failure to comply with the financial responsibility requirements associated with USTs can lead to serious consequences. Civil penalties of up to $10,000 per day, per UST, may be imposed for each day of non-compliance. Additionally, any claims submitted to the State Cleanup Fund may be jeopardized, potentially leaving tank owners and operators financially vulnerable in the event of an incident.

Filling out the UN 049 form is a crucial step for demonstrating financial responsibility for underground storage tanks containing petroleum. However, many people make mistakes that can delay or jeopardize their compliance. One common error is failing to clearly type or print information. The instructions specify that clarity is essential, yet some individuals provide information that is either illegible or difficult to read. This can lead to misunderstandings and miscommunications with regulatory agencies, potentially causing issues down the line.

Another mistake revolves around coverage amounts. Applicants sometimes check the wrong boxes when indicating their coverage per occurrence and annual aggregate. The requirements state specific amounts, such as $500,000 per occurrence and $1 million annual aggregate. If these boxes are not checked correctly, the certification may be considered incomplete. It's always a good idea to double-check coverage amounts against the requirements to avoid this pitfall.

Moreover, individuals often neglect to provide detailed information regarding mechanisms used to demonstrate financial responsibility. Specifically, they may leave out the names and addresses of issuers or forget to include mechanism numbers. Not supplying this information can render the form invalid, forcing the applicant to resubmit it. Thus, taking the time to fill out each section thoroughly is critical.

Lastly, signatures can be a sticking point. Only the tank owner or operator is authorized to sign the form, yet mistakes occur when someone else signs or when the signature is not witnessed properly. The witness must sign and date the certification as well, providing their name in the designated space. Missing signatures or incorrect witnesses can lead to significant delays in processing the certification, putting the applicant's compliance at risk.

Alongside the UN 049 form, several other documents are often required to help establish compliance with financial responsibility for underground storage tanks (USTs). Each of these documents plays an important role in supporting the certification process and ensuring adherence to state regulations.

• UST Permit Application: This application is typically submitted to the local regulatory agency seeking permission to install, modify, or operate underground storage tanks. It contains information about the facility and its intended use.
• Insurance Policy Document: This document outlines the details of the insurance coverage taken out to meet the financial responsibility requirements. It includes the terms of coverage, expiration date, and the insured limits.
• Financial Test Documentation: This helps demonstrate financial responsibility through an evaluation of the owner's or operator's financial health. It may require financial statements and other documentation to prove adequate resources.
• State Cleanup Fund Enrollment Form: If utilizing the State UST Cleanup Fund as a financial responsibility mechanism, this form is needed to enroll and ensure compliance with fund requirements.
• Third Party Liability Endorsements: These documents provide additional coverage for any damages or claims made by third parties affected by leaks or spills from the USTs, as required by law.
• Annual Financial Assurance Confirmations: These confirmations verify that all financial responsibility mechanisms remain in place and comply with state financial assurance requirements on an annual basis.
• Corrective Action Plans: Should a leak occur, this document outlines the steps to be taken to rectify the situation, including cleanup and remediation efforts, as mandated by local regulatory authorities.

These accompanying documents form a comprehensive framework for demonstrating financial responsibility in the operation of underground storage tanks. Ensuring that each of these documents is accurate and up to date is crucial for maintaining compliance and protecting public and environmental health.

• Form 10-K - Similar to the UN 049, the Form 10-K requires a company to disclose financial responsibility and operational details related to environmental risk. Both documents ensure parties are aware of financial obligations and compliance status.
• Environmental Impact Statement (EIS) - Like the UN 049, an EIS outlines the potential environmental impacts of a proposed project, mandating a commitment to responsible practices and mitigation measures.
• Certificate of Insurance - This document verifies the financial coverage for various liabilities. Both forms confirm that responsible parties maintain adequate insurance for third-party actions and environmental damages.
• Financial Responsibility Form (EPA) - Similar in purpose, both forms demonstrate compliance with federal standards regarding financial responsibility for environmental risks, including underground storage tanks.
• Site Assessment Report - This document requires an evaluation of contamination risks, paralleling the UN 049's intent to ensure safety and compliance for underground tanks.
• State Fund Application - Both documents involve applications for financial assistance related to environmental compliance, ensuring that applicants meet state-specific financial responsibility mandates.
• Pollution Liability Insurance Application - This application guarantees that businesses have insurance coverage for pollution-related incidents, similar to the financial responsibility verification in the UN 049.
• Hazardous Waste Compliance Certification - Both forms certify compliance with regulations, affirming that organizations are financially prepared and operation-ready to manage hazardous materials responsibly.

When filling out the UN 049 form, it's important to follow proper guidelines to ensure your submission is accurate and complete. Here are five essential do's and don'ts to keep in mind:

• Do type or print clearly to ensure legibility.
• Don't forget to check the appropriate boxes for coverage amounts.
• Do include the full legal name of the tank owner or operator.
• Don't leave any sections blank; provide all required information.
• Do keep a copy of the completed form at each UST facility for your records.

• Misconception 1: The UN 049 form is only for new underground storage tanks (USTs).

This form actually applies to all UST sites, regardless of age. Old and new facilities alike need to demonstrate financial responsibility.

• Misconception 2: Only large companies need to fill out the UN 049 form.

Every owner or operator of an underground storage tank must complete this form, regardless of the size of their business.

• Misconception 3: This form can be submitted electronically.

You must submit the original signed form to your local regulatory agency. Keep a copy at each UST facility for your records.

• Misconception 4: Financial responsibility can be shown with any type of insurance.

The mechanisms used must specifically meet the requirements outlined in California regulations, including certain approved financial responsibility strategies.

• Misconception 5: You can skip sections if you believe they do not apply to you.

Every section must be completed as applicable. Omitting information can lead to rejection of your application.

• Misconception 6: The signature on the form doesn’t need a witness.

A witness or notary signature is required for the certification to be valid. This step ensures verification of the identity of the signer.

• Misconception 7: If I use the State Cleanup Fund, I am automatically compliant with all regulations.

Using the State Cleanup Fund is one way to show financial responsibility. However, you must still comply with all conditions for using the Fund.

• Misconception 8: There is no penalty for submitting the form late.

You could face substantial civil penalties, which can add up to $10,000 per day, per UST, for each day of violation if you do not comply with financial responsibility requirements.

• Misconception 9: The coverage amounts can be changed after submitting the form.

Once submitted, the coverage amounts listed on the form must remain consistent with your financial responsibility strategies and regulatory requirements.

• Misconception 10: You do not need to keep a copy of the form.

It is crucial to keep a copy of the submitted form at each UST facility. This can be important for future audits or inspections.

Here are key takeaways for filling out and using the UN 049 form:

• Understand Coverage Amounts: You must demonstrate financial responsibility, with specific amounts required per occurrence and annually.
• Single Form for Multiple Sites: You can list all underground storage tank (UST) sites on one form instead of submitting a separate form for each site.
• Complete Contact Information: Include the full legal name of the tank owner or operator clearly.
• Identify the Mechanisms: Specify which approved financial responsibility mechanisms you are using as per state and federal regulations.
• Provide Accurate Coverage Details: Ensure that the coverage amounts and periods are clearly indicated for each mechanism listed.
• Corrective Action & Third-Party Coverage: Clarify whether the selected mechanisms cover corrective actions and third-party compensation.
• Signature Requirements: The form must be signed by the tank owner or operator and witnessed or notarized.
• Submit Original Copy: After completing the form, send the original to the local agency that issues UST permits.
• Retain Copies: Keep a copy of the certification at each UST facility for your records.
• Stay Informed: Reach out to the State Water Resources Control Board for any questions regarding coverage requirements or the form itself.