RCRA Orientation
Manual
THIS MANUAL WAS DEVELOPED BY:
THE U.S. ENVIRONMENTAL PROTECTION AGENCY
OFFICE OF SOLID WASTE/COMMUNICATIONS, INFORMATION,
AND RESOURCES MANAGEMENT DIVISION
401 M STREET, S.W.
WASHINGTON, D.C. 20460
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TABLE OF CONTENTS
Foreword v
Use of the Manual vii
Executive Summary ES-1
Section I: Introduction to the Resource Conservation and Recovery Act 1-1
Section II: Managing Solid Waste RCRA Subtitle D 11-1
Section III: Managing Hazardous Waste RCRA Subtitle C 111-1
Overview 111-1
Chapter 1: Hazardous Waste Identification III-5
Chapter 2: Hazardous Waste Recycling and Universal Wastes III-33
Chapter 3: Regulations Governing Hazardous Waste Generators III-45
Chapter 4: Regulations Governing Hazardous Waste Transporters III-55
Chapter 5: Regulations Governing Treatment, Storage, and Disposal Facilities III-59
Chapter 6: Land Disposal Restrictions 111-101
Chapter 7: Hazardous Waste Combustion 111-113
ChapterS: Permitting of Treatment, Storage, and Disposal Facilities 111-123
Chapter 9: Corrective Action to Clean Up Hazardous Waste Contamination 111-137
Chapter 10: Enforcement of Hazardous Waste Regulations 111-145
Chapter 11: Authorizing States to Implement RCRA 111-157
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TABLE OF CONTENTS
RCRA Orientation Manual
Section IV: Managing Underground Storage Tanks RCRA Subtitle I IV-1
Section V: Miscellaneous Statutory Provisions V-1
Overview V-1
Chapter 1: Federal Procurement Requirements V-3
Chapter 2: Medical Waste Regulations V-9
Section VI: RCRA and Its Relationship to Other Environmental Statutes VI-1
Overview VI-1
Chapter 1: Legislative Framework for Addressing Hazardous Waste Problems VI-3
Chapter 2: CERCLA The Hazardous Waste Cleanup Program VI-11
Section VII: Public Involvement in RCRA VII-1
Appendix A: Hazardous Waste Manifest A-1
Appendix B: Land Disposal Restrictions Notification Requirements B-1
Appendix C: Underground Storage Tank Notification Form C-1
Appendix D: Glossary D-1
Appendix E: Acronyms and Abbreviations E-1
Appendix F: OSW Organization Chart F-1
Appendix G: Environmental Contacts G-1
IV
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FOREWORD
This manual updates the 7990 RCRA
Orientation Manual, which has proven to be a
popular and valuable resource for anyone working
with EPA's solid and hazardous waste
management program or underground storage
tank program. Since the manual's publication in
1990, the RCRA program has evolved
dramatically. As a result of changes in the
dynamics of solid and hazardous waste
management, as well as changes in the regulatory
expectations and demands of government, public,
and private entities, the RCRA program has been
steadily modified through new regulations,
policies, Agency-wide initiatives, and
Congressional mandates. The manual's revision
reflects the progress that has been made in the
program and documents the changes in RCRA.
At this time, the RCRA Subtitle C hazardous
waste regulatory framework is completely in
place, and almost all states are implementing large
portions of the program. EPA has achieved
significant progress in establishing provisions to
fully protect both ground water and air resources.
Under Subtitle D, the establishment of municipal
solid waste landfill criteria ensures adequate
protection of human health and the environment
from solid waste disposal practices. In addition,
the Agency has significantly expanded initiatives
aimed at reducing the amount of waste
generated, and in the event that this cannot be
achieved, making any resulting waste
management more efficient. Lastly, the Subtitle I
underground storage tank program is being fully
implemented, and tank owners and operators are
working towards upgrading their units to meet the
most current and environmentally protective
management standards.
As we move ahead in the continuing
implementation of RCRA, several priority
initiatives stand out. For example, EPA continues
to encourage waste minimization in order to
reduce the quantities of waste generated and the
volume of waste that needs to be handled by
practices such as land disposal and combustion.
Also, the RCRA program is advancing risk-based
regulation by evaluating new ways to regulate
wastes based on the risk that they might pose to
human health and the environment. Lastly, EPA is
increasing the incorporation of states, the
regulated community, and the public into the
regulatory process in order to further a protective
environmental strategy that is easy to implement,
provides feasible compliance options, and takes
into account the interests of citizens.
The continued success of the RCRA program
rests on the involvement of all stakeholders. This
manual provides a mechanism through which
affected parties can learn more about the program
and serves as an effective introduction to the
various facets and basic structure of the RCRA
program designed to regulate solid and hazardous
waste.
This manual was developed by the Office of
Solid Waste, Communications, Information, and
Resources Management Division. Special thanks
to the many individuals at EPA Headquarters who
reviewed the drafts and provided comments.
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USE OF THE MANUAL
This document has been reviewed by the U.S. Environmental Protection Agency and
has been approved for publication. Mention of trade names, products, or services does
not convey, and should not be interpreted as conveying, official EPA approval,
endorsement, or recommendation.
This manual serves as an effective introduction to the various facets and basic structure
of the RCRA program designed to regulate solid waste, hazardous waste, and underground
storage tanks. In order to achieve this goal, the RCRA Orientation Manual is designed for
EPA and state staff, members of the regulated community, and the general public who wish
to better understand RCRA. While this manual constitutes a review of the RCRA program,
it is not a substitute for RCRA or its implementing regulations, nor is it a regulation itself.
Thus, it cannot impose legally binding requirements on EPA, states, or the regulated
community. In addition, the manual is not intended to modify or affect in any way existing
statutory or regulatory requirements or Agency policies; it is simply intended to briefly
summarize those requirements and policies. If there is any unintended variation between
any statements in this manual and existing requirements or policy statements, the
requirements or policy statements are controlling.
Further information is available over the Internet on the Office of Solid Waste and
Emergency Response's Homepage at: http://www.epa.gov/oswer. For more detailed
information about hazardous and nonhazardous solid waste, please see the Office of Solid
Waste's Homepage at: http://www.epa.gov/osw. Regulatory information and documents
are also available from the RCRA, Superfund & EPCRA Hotline at either (703) 412-9810 in
the Washington DC area, or toll-free, (800) 424-9346 elsewhere. TDD users should call
(800) 553-7673. The Hotline is accessible over the Internet at http://www/epa.gov/
e paoswe r/h otl i n e.
VII
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RCRA Orientation Manual
EXECUTIVE SUMMARY
RCRA ORIENTATION
MANUAL
EXECUTIVE SUMMARY
OVERVIEW
The Resource Conservation and Recovery Act
(RCRA) was enacted in 1976 to address the huge
volumes of municipal and industrial solid waste
generated nationwide. After several amendments,
the Act as it stands today governs the management
of solid and hazardous waste and underground
storage tanks (USTs).
The U.S. Environmental Protection Agency
(EPA) published the 7990 RCRA Orientation
Manual in order to educate and inform the public
about the broad requirements of RCRA's
regulatory program. The 1990 manual has proven
to be a popular and valuable resource for anyone
working with EPA's solid and hazardous waste
management program or UST program.
Since the manual's publication in 1990, the
RCRA program has evolved dramatically. As a
result of changes in the dynamics of solid and
hazardous waste management, as well as changes
in the regulatory expectations and demands of
government, public, and private entities, the
RCRA program has been steadily modified
through new regulations, policies, Agency-wide
initiatives, and Congressional mandates. The
manual's revision reflects the progress that has
been made in the program and documents the
changes in RCRA.
FEATURES OF THIS MANUAL
Specifically, this manual addresses:
Introduction to RCRA
Managing Solid Waste RCRA Subtitle D
Managing Hazardous Waste RCRA
Subtitle C
Managing Underground Storage Tanks
RCRA Subtitle I
Miscellaneous Statutory Provisions
RCRA and Its Relationship to Other
Environmental Statutes
Public Participation in RCRA.
This manual also contains appendices that
present important RCRA forms and paperwork
requirements, a glossary, a list of acronyms and
abbreviations, an organization chart for EPA's
Office of Solid Waste, and useful environmental
contacts.
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EXECUTIVE SUMMARY
RCRA Orientation Manual
MANUAL HIGHLIGHTS
Each of the seven sections of the manual
discusses different aspects of the regulatory
program.
Introduction to the Resource
Conservation and Recovery Act
RCRA's goals are to protect human health and
the environment from the hazards posed by
waste disposal; to conserve energy and natural
resources through waste recycling
and recovery; to reduce or
eliminate the amount of waste
generated, including hazardous
waste; and to ensure that
wastes are managed in an
environmentally safe
manner.
RCRA, enacted in 1976, is an amendment to
the Solid Waste Disposal Act of 1965. RCRA
has been amended several times, most
significantly by the Hazardous and Solid Waste
Amendments (HSWA) of 1984.
Within this manual, the acronym RCRA does
not only refer to the Statute itself, but also to
corresponding regulations codified in the
Code of Federal Regulations (CFR), guidance,
and policy.
RCRA addresses three programs solid
waste, hazardous waste, and USTs.
RCRA involves several organizations and
entities, including Congress, EPA's Office of
Solid Waste and Emergency Response
(OSWER), EPA Regions, states, the regulated
community, and the general public.
Current program initiatives include
encouraging waste minimization, streamlining
RCRA regulations, and fostering federal/state
partnerships.
Managing Solid Waste RCRA
Subtitle D
RCRA's solid waste management program,
Subtitle D, encourages environmentally sound
solid waste management practices that
maximize the reuse of recoverable material
and foster resource recovery.
The term solid
waste is very broad,
including not only
the traditional
nonhazardous solid
wastes, such as
municipal garbage,
but also some
hazardous wastes.
RCRA Subtitle D
addresses solid
wastes, including those hazardous wastes that
are excluded from the Subtitle C regulations
(e.g., household hazardous waste), and
hazardous waste generated by conditionally
exempt small quantity generators (CESQGs).
The solid waste management program also
addresses municipal solid waste, which is
generated by businesses and households and
is typically collected and disposed in
municipal solid waste landfills (MSWLFs).
EPA recommends an integrated, hierarchical
approach to managing municipal solid waste
that includes: source reduction, recycling,
combustion, and landfilling. Source reduction
and recycling are preferred elements of the
system.
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RCRA Orientation Manual
EXECUTIVE SUMMARY
The Subtitle D program includes technical
criteria for MSWLFs to ensure that such
landfills will be fully protective of human
health and the environment.
EPA has launched several new initiatives to
further the development of the solid waste
management program Wastewise, the Jobs
Through Recycling program, unit pricing, and
full cost accounting for municipal solid waste.
Managing Hazardous Waste RCRA
Subtitle C
The hazardous waste management program,
Subtitle C, is intended to ensure that
hazardous waste is managed safely from the
moment it is
generated to the
moment it is
finally disposed.
The Subtitle C
program includes
procedures to
facilitate the
proper identification and classification of
hazardous waste.
While waste recycling and recovery are major
components of RCRA's goals, they must be
implemented consistently with proper
hazardous waste management. As a result,
RCRA contains provisions to
ensure safe hazardous waste
recycling, and to facilitate
the management of
commonly recycled
wastestreams.
The program also includes standards for those
facilities that generate (i.e., produce),
transport, treat, store, or dispose hazardous
waste. These include requirements for general
facility management and specific hazardous
waste management units. The provisions for
treatment, storage, and disposal facilities
(TSDFs) include additional precautions to
protect ground water and air resources.
The hazardous waste management program
includes safeguards to protect human health
and the environment from hazardous waste
that is disposed on the land (these safeguards
are known as the land disposal restrictions
(LDR)) or burned.
Because EPA wants to limit hazardous waste
treatment, storage, or disposal to those
facilities that can adequately protect human
health and the environment, RCRA requires
such facility owners and operators to obtain a
hazardous waste permit from the Agency.
Since hazardous waste
management may result
in spills or releases into
the environment, RCRA
Subtitle C also contains
provisions governing
corrective action, or the
cleanup of contaminated
air, ground water, and soil.
The Statute also grants EPA broad enforcement
authority to require all hazardous waste
management facilities to comply with the
regulations.
The Subtitle C program also contains
provisions to allow EPA to authorize state
governments to implement and enforce the
hazardous waste regulatory program.
Managing Underground Storage Tanks
(UST) RCRA Subtitle I
The RCRA Subtitle I UST regulatory program
regulates underground tanks storing petroleum
or hazardous substances.
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EXECUTIVE SUMMARY
RCRA Orientation Manual
In order to protect human health and the
environment from threats posed by releases
from such tanks, the program governs tank
design, construction, installation, operation,
release detection, release response, corrective
action, closure, and financial responsibility.
Many UST owners and operators must secure
loans from financial and other institutions to
comply with environmental regulations, such
as UST upgrading and maintenance
requirements. The Subtitle I program contains
specific provisions to protect lending
institutions from liability that they might incur
from extending such loans.
Similar to RCRA Subtitle C, Subtitle I contains
provisions to allow EPA to approve state
government implementation and enforcement
of the UST regulatory program.
The expense and threats of contamination
from leaking USTs necessitate efficient,
effective, and thorough cleanups. In order to
guarantee that such cleanups will be
conducted in an efficient and protective
manner, Subtitle I also established a Leaking
Underground Storage Tank (LUST) Trust Fund
to facilitate cleanup oversight and guarantee
cleanups when the responsible owner and
operator cannot take action, or when the
situation requires emergency action.
Miscellaneous Statutory Provisions
Consistent with RCRA's focus on recycling, the
Statute contains provisions for EPA to
encourage recycling and promote the
development of markets for materials with
recovered materials content.
To help achieve this goal, EPA publishes
federal procurement guidelines that set
minimum recovered materials content
standards for certain designated items. RCRA
requires federal procuring agencies to
purchase those items
composed of the highest
percentage of recovered
materials practicable.
These requirements are
specified in
Comprehensive
Procurement Guidelines
(CPG) and Recovered
Materials Advisory /
Notices (RMAN). /
RCRA's focus is not limited to solid waste,
hazardous waste, or USTs. Medical waste can
pose similar threats to human health and the
environment. As a result, RCRA established a
medical waste tracking program to ensure that
such waste is properly handled from the
moment it is generated to the moment it is
disposed. This program was a demonstration
program that began June 22, 1989, and ended
June 22, 1991. At this time, the program has
expired and no federal EPA tracking
requirements are currently in effect.
RCRA and Its Relationship to Other
Environmental Statutes
RCRA is only one aspect of the federal
regulatory system to protect the environment.
The RCRA regulations interact closely with
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RCRA Orientation Manual
EXECUTIVE SUMMARY
other environmental statutes such as the Clean
Air Act (CAA); Clean Water Act (CWA); the
Emergency Planning and Community Right-to-
Know Act (EPCRA); the Federal Insecticide,
Fungicide, and Rodenticide Act (FIFRA); the
Marine Protection, Research, and Sanctuaries
Act (MPRSA); the Occupational Safety and
Health Act (OSHA);
the Safe Drinking
Water Act (SDWA);
and the Toxic
Substances Control
Act (TSCA).
CAUTION
WEAR APPROVED
BREATHING APPARATUS
BEYOND THIS POINT
One statute in
particular, the
Comprehensive Environmental Response,
Compensation, and Liability Act (CERCLA), or
Superfund, has a close relationship with RCRA
in that both programs are designed to protect
human health and the environment from the
dangers of hazardous waste. While these
programs are similar, they have different
regulatory focuses. RCRA mainly regulates
how wastes should be managed to avoid
potential threats to human health and the
environment. CERCLA, on the other hand, is
relevant primarily when mismanagement
occurs or has occurred (i.e., when there has
been a release or a substantial threat of a
release in the environment of a hazardous
substance, or of a pollutant or contaminant,
that presents an imminent and substantial
threat to human health).
Public Involvement in RCRA
A major tenet and focus of the RCRA program
is the involvement of citizens, the regulated
community, and stakeholders in the regulatory
process. As a result, RCRA contains extensive
public participation and involvement
provisions.
RCRA includes provisions to facilitate public
participation in the permitting, corrective
action, and state authorization processes.
EPA, consistent with the requirements of the
Administrative Procedures Act (APA),
proactively involves the public every time the
Agency issues a rulemaking that establishes or
changes regulatory provisions.
EPA is also committed to equal protection of
all socioeconomic and racial groups in the
implementation and enforcement of the
nation's environmental laws. RCRA, consistent
with such environmental justice initiatives,
seeks to ensure that all segments of the
population have an equal opportunity to
participate in the regulatory process and have
equal access to information.
Because the RCRA program as a whole is a
complex regulatory framework, EPA has
established several public outreach and
assistance mechanisms to foster public
involvement. These include access to
information through training grants; the
Freedom of Information Act (FOIA); EPA's
Office of Ombudsman; the RCRA Information
Center (RIC); and the RCRA, Superfund &
EPCRA Hotline.
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SECTION I
INTRODUCTION TO THE RESOURCE
CONSERVATION AND RECOVERY ACT
In this section...
began to experience unparalleled growth. New
products were developed, and the consumer was
Overview 1-1 offered an ever-expanding array of material goods.
RCRA: What It Is I-2
- The Act I-2 Th'5 growth continued through the early 20th
- Regulations I-4 Century and accelerated after World War II when
- Guidance and Policy I-4 the nation's industrial base, strengthened by war,
RCRA: How It Works \-5 turned its energy toward domestic production.
- Subtitle D Solid Waste \-5 The results of growth, however,
- Subtitle C Hazardous Waste \-5 were not all positive. While the
- Subtitle I Underground Storage Tanks I-6 country produced more goods ^
Who Is Involved in RCRA? I-6 and prospered economically, it (/+*?
RCRA Today I-7 also generated more waste, both ^ ' ^
- Waste Minimization I-7 hazardous and nonhazardous.
- Streamlining RCRA Regulation I-8 For example, at the end of .. , . ^
- Subtitle C Federal/State Partnership I-8 World War II U.S. ''/ -
- Demonstrating Results I-8 industry was generating . / V>
Outline of the Manual I-9 roughly 500,000 metric
Summary '-9 tons of hazardous waste I I
per year. This amount continued to increase over
^^^^^^^^^^^^^^^^^^^^^^^^^^^^ the next 50 years. A national survey conducted
OVERVIEW ky ^^ 'n ^ ^^ estimated that 279 million metric
tons of hazardous waste were generated
The Resource Conservation and Recovery Act nationwide in 1995, more than a 500-fold
(RCRA), an amendment to the Solid Waste increase.
Disposal Act, was enacted in 1976 to address a ., ( . . , ... , , ...
,, , Unfortunately, this phenomenal growth in
prob em of enormous magnitude the huge . .. . iu
F , , , , waste production was not mirrored by
vo umes of mumcipa and mdustna so id waste . . ., f. , , ( . .
F advancements in the field of waste management.
generated nationwide. nu^u ^ j j^j^u
0 Much of the waste produced entered the
There was a time when the amount of waste environment, where it posed a serious threat to
produced in the United States was small and its ecological systems and public health.
impact on the environment was viewed as |p ^ ^^ jt became dear tQ ^
relatively minor. Times have changed. With the , ., A . , ., . , , . ,
7 ° and the American people that action had to be
industrial revolution in the late 1800s. the country . , ., ' ' ,
; taken to ensure that wastes were managed
1-1
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SECTION I
Introduction to the Resource Conservation and Recovery Act
properly. This realization began the process that
resulted in the passage of RCRA. The goals set by
RCRA are:
To protect human health and the environment
from the hazards posed by waste disposal
To conserve energy and natural resources
through waste recycling and recovery
To reduce or eliminate, as expeditiously as
possible, the amount of waste generated,
including hazardous waste
To ensure that wastes are managed in a
manner that is protective of human health and
the environment.
To achieve these goals, RCRA establishes three
distinct yet interrelated programs (see Figure 1-1).
The solid waste program, under RCRA Subtitle D,
encourages states to develop comprehensive plans
to manage nonhazardous industrial solid waste
and municipal solid waste, sets criteria for
municipal solid waste landfills (MSWLFs) and
Figure 1-1: RCRA'S THREE INTERRELATED
PROGRAMS
1
1
SUBTITLE D
1
Solid
Waste
Program
1
SUBTITLE C
1
Hazardous
Waste
Program
1
SUBTITLE 1
1
Underground
Storage Tank 1
Program 1
other solid waste disposal facilities, and prohibits
the open dumping of solid waste. The hazardous
waste program, under RCRA Subtitle C,
establishes a system for controlling hazardous
waste from the time it is generated until its
ultimate disposal in effect, from cradle to grave.
Finally, the underground storage tank (UST)
program, under RCRA Subtitle I, regulates
underground tanks storing hazardous substances
and petroleum products.
Although RCRA creates the framework for the
proper management of hazardous and
nonhazardous solid waste, it does not address the
problems of hazardous waste found at inactive or
abandoned sites or those resulting from spills that
require emergency response. These problems are
addressed by a different act, the Comprehensive
Environmental Response, Compensation, and
Liability Act (CERCLA), commonly called
Superfund, which was enacted in 1980.
This section provides an overview of RCRA,
including the Act, regulations, guidance, and
policy. In addition, this section discusses the three
major programs that comprise RCRA and the
interrelationships between them. Finally, this
section details where RCRA is today, introduces
who is involved in RCRA, and outlines the
remainder of this manual.
RCRA: WHAT IT IS
Although RCRA is the acronym for the
Resource Conservation and Recovery Act, it is
often used interchangeably to refer to the law, the
regulations, and EPA policy and guidance. To
avoid confusion in this manual, the term "the Act"
refers to the public law and statutory requirements
passed by Congress. The term "regulations" is
used interchangeably with standards or regulatory
requirements, and means the rules developed by
EPA to implement the statute.
The Act
The Act provides
general guidelines
for the waste
management
program envisioned
by Congress. This
description is in
broad terms (e.g.,
THE ACT
The law that describes the
kind of waste management
program that Congress
wants to establish. The
Act also provides the
Administrator of EPA (or
his or her designee) with
the authority to implement
the program.
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Introduction to the Resource Conservation and Recovery Act
SECTION I
directing EPA to develop and promulgate criteria
for identifying hazardous waste). The Act also
provides the EPA Administrator (or his or her
representative) with the authority necessary to
develop these broad standards into specific
requirements that will guide the actions of the
regulated community.
What we commonly know as RCRA, or the
Act, is actually a combination of the first federal
solid waste statutes and all subsequent
amendments (see Figure 1-2). In 1965, Congress
enacted the Solid Waste Disposal Act, the first
statute that specifically focused on improving solid
waste disposal
Figure I-2: THE
EVOLUTION
OF SIGNIFICANT RCRA
LEGISLATION
SOLID WASTE DISPOSAL ACT
OF 1965
RESOURCE CONSERVATION
AND RECOVERY ACT
OF 1976
HAZARDOUS AND SOLID
WASTE AMENDMENTS
OF 1984
FEDERAL FACILITIES
COMPLIANCE ACT
OF 1992
LAND DISPOSAL PROGRAM
FLEXIBILITY ACT
OF 1996
methods. The Solid
Waste Disposal Act
established
economic incentives
for states to develop
planning, training,
research, and
demonstration
projects for the
management of
solid waste. The Act
was amended in
1976 by RCRA,
which substantially
remodeled our
nation's solid waste
management system
and laid out the
basic framework of
the current
hazardous waste
management
program.
The Act, which has been amended several
times since 1976, continues to evolve as Congress
alters it to reflect changing needs. The Act was
amended significantly on November 8, 1984, by
the Hazardous and Solid Waste Amendments
(HSWA), which expanded the scope and
requirements of RCRA. HSWA was created largely
in response to citizen concerns that existing
methods of hazardous waste disposal, particularly
land disposal, were not safe. Because of their
significance and differences in their
implementation, HSWA provisions are
emphasized throughout this manual. Congress
also revised RCRA in 1992 by passing the Federal
Facility Compliance Act, which strengthened the
authority to enforce RCRA at federal facilities. In
addition, the Land Disposal Program Flexibility Act
of 1996 amended RCRA to provide regulatory
flexibility for the land disposal of certain wastes.
The structure of the Act is straightforward. It is
currently divided into 10 subtitles (see Figure I-3).
Subtitles A, B, E, F, G, H, and J outline general
provisions; authorities of the Administrator; duties
of the Secretary of Commerce; federal
responsibilities; miscellaneous provisions;
research, development, demonstration, and
information requirements; and medical waste
tracking. The other subtitles lay out the
framework for the three major programs that
comprise RCRA: the hazardous waste
management program (Subtitle C), the solid waste
program (Subtitle D), and the UST program
(Subtitle I).
Figure I-3: OUTLINE OF THE ACT
Subtitle Provisions
A General Provisions
B Office of Solid Waste; Authorities of the
Administrator and Interagency Coordinating
Committee
C Hazardous Waste Management
D State or Regional Solid Waste Plans
E Duties of the Secretary of Commerce in
Resource and Recovery
F Federal Responsibilities
G Miscellaneous Provisions
H Research, Development, Demonstration, and
Information
I Regulation of Underground Storage Tanks
J Standards for the Tracking and Management
of Medical Waste
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SECTION I
Introduction to the Resource Conservation and Recovery Act
THE REGULATIONS
The legal mechanism that
establishes standards or
imposes requirements as
mandated by the Act.
RCRA regulations are
promulgated by EPA,
published in the Federal
Register, and codified in
the Code of Federal
Regulations.
Regulations
The Act includes a
Congressional mandate directing
EPA to develop a comprehensive
set of regulations. Regulations, or
rulemakings, are issued by an
agency, such as EPA, that translate
the general
mandate of a statute into a set of
requirements that the regulated ^^^^^^
community and the agency must work within.
Regulations are developed by EPA in an open
and public manner according to an established
process. When a regulation is formally proposed,
it is published in an official government document
called the Federal Register to notify the public of
EPA's intent to create new regulations or modify
existing ones. EPA provides the public, which
includes the potentially regulated community, with
an opportunity to submit comments. Following
the comment period, EPA may revise the
proposed rule based on both an internal review
process and public comments.
The final regulation is published, or
promulgated, in the Federal Register. Included
with the regulation is discussion of the Agency's
rationale for the regulatory approach, known as
preamble language. Final regulations are
compiled annually and incorporated in the Code
of Federal Regulations (CFR) according to a highly
structured format based on the topic of the
regulation. This latter process is called
codification, and
each CFR title
corresponds to a
different regulatory
authority. For
example, the
Occupational Safety
and Health
Administration's
(OSHA's) regulations
are codified in Title
29 of the CFR; EPA's
are in Title 40. The codified RCRA
regulations can be found in Title 40 of
the CFR, Parts 240-282. These
regulations are often cited as 40 CFR,
with the part listed afterward (e.g., 40
CFR Part 264), or the part and section
(e.g., 40 CFR §264.10).
Although this relationship between
an Act and the regulations is the norm,
the relationship between HSWA and its
regulations differs slightly. Congress,
through HSWA, not only provided EPA with a
general mandate to promulgate regulations, but
also placed explicit instructions in the Statute to
develop certain regulations. Many of these
requirements are so specific that EPA incorporated
them directly into the regulations. HSWA is all the
more significant because of the ambitious
schedules that Congress established for
implementation of the Act's
provisions. Another unique
aspect of HSWA is that it
established hammer
provisions, or statutory
requirements that would go
into effect automatically
(with the force of
regulations) if EPA failed to
issue regulations by certain
dates.
The interpretation of statutory language does
not end with the codification of regulations. EPA
further clarifies the requirements of the Act and its
regulations through guidance documents and
policy.
Guidance and Policy
Guidance
documents are
issued by EPA
primarily to
elaborate and
provide direction
GUIDANCE
Documents developed and
issued by EPA to provide
instructions on how to
implement requirements of
either the Act or regulations.
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Introduction to the Resource Conservation and Recovery Act
SECTION I
for implementing and
complying with
regulations. They are
essentially "how to"
documents. For example, the
regulations in 40 CFR Part 270 detail what is
required in a permit application for a hazardous
waste management facility, while the guidance for
this Part suggests how to evaluate a permit
application to ensure that all information has been
included. Guidance documents also elaborate on
the Agency's interpretation of the requirements of
the Act.
Policy statements, on the other hand, specify
operating procedures that should generally be
followed. They are mechanisms used by EPA
program offices to outline the manner in which
pieces of the RCRA program are implemented.
For example, EPA's Office of Enforcement and
Compliance Assurance (OECA) may issue a policy
outlining what enforcement action should
generally be taken if a ground water violation is
found. In many cases, policy statements are
addressed to the
staff working on
implementation,
but they may also
be addressed to
the regulated
community.
POLICY
Statements developed by EPA
outlining a position on a topic or
giving instructions on how a
procedure should be conducted.
RCRA: HOW IT WORKS
The three programs established under RCRA
solid waste, hazardous waste, and USTs are
described in detail in the following chapters. To
provide an overall perspective of how RCRA
works, each of these programs and their
interrelationships are briefly summarized here. In
this manual, the solid waste program (Subtitle D) is
discussed before the hazardous waste program
(Subtitle C). Although this is alphabetically out of
order, the structure is designed to benefit the
reader.
Subtitle D Solid Waste
RCRA Subtitle D focuses on state and local
governments as the primary planning, regulating,
and implementing entities for the management of
nonhazardous solid waste, such as household
garbage and nonhazardous industrial solid waste.
EPA provides these state and local agencies with
information, guidance, policy and regulations
through workshops and publications to help states
and the regulated community make better
decisions in dealing with waste issues, to reap the
environmental and economic benefits of source
reduction and recycling of solid wastes, and to
require upgrading or closure of all environmentally
unsound disposal units. In order to promote the
use of safer units for solid waste disposal, EPA
developed federal criteria for the proper design
and operation of MSWLFs and other solid waste
disposal facilities. Many states have adopted these
criteria into their state solid waste programs.
Subtitle C Hazardous Waste
RCRA Subtitle C establishes a federal program
to manage hazardous wastes from cradle to
grave. The objective of the Subtitle C program is
to ensure that hazardous waste is handled in a
manner that protects human health and the
environment. To this end, there are Subtitle C
regulations for the generation; transportation; and
treatment, storage, or disposal of hazardous
wastes. In practical terms, this means regulating a
large number of hazardous waste handlers. As of
1996, EPA had on record more than 1,900
treatment, storage, and disposal facilities (TSDFs);
23,000 transporters; and about 775,000
generators.
The Subtitle C program has resulted in
perhaps the most comprehensive regulations EPA
has ever developed. The regulations first identify
the criteria to determine which solid wastes are
hazardous, and then establish various
requirements for the three categories of hazardous
waste handlers: generators, transporters, and
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SECTION I
Introduction to the Resource Conservation and Recovery Act
TSDFs. In addition, the Subtitle C regulations set
technical standards for the design and safe
operation of TSDFs. These standards are designed
to minimize the release of hazardous waste into
the environment. Furthermore, the regulations for
TSDFs serve as the basis for developing and issuing
the permits required by the Act for each facility.
Permits are essential to making the Subtitle C
regulatory program work, since it is through the
permitting process that EPA or a state applies the
technical standards to TSDFs.
One of the primary differences between
Subtitle C and Subtitle D is the type of waste each
regulates. Subtitle C regulates only hazardous
waste, a subset of solid waste, whereas Subtitle D
primarily manages nonhazardous solid waste.
Subtitle I Underground Storage Tanks
RCRA Subtitle I regulates underground storage
tanks (USTs) that contain petroleum or hazardous
substances (as defined under CERCLA). A major
objective of Subtitle I is to prevent and clean up
releases from tanks. Under Subtitle I, EPA has
developed performance standards for new tanks,
upgrading requirements for existing tanks, and
regulations to prevent, detect, and clean up
releases at all UST sites. This program is similar to
the Subtitle C program in that state programs may
be approved to operate in lieu of the federal
program.
WHO IS INVOLVED IN RCRA?
The RCRA program involves a myriad of
people and organizations with varying
roles. Congress and the President set
overall national direction for the RCRA
program through amendments to the Act.
EPA, through its Office of Solid Waste
and Emergency Response (OSWER),
translates this direction into operating
programs by developing regulations,
guidance, and policy.
Site-specific implementation of the RCRA
program is the responsibility of the EPA Regions
and states. All three RCRA programs hazardous
waste, solid waste, and USTs have mechanisms
through which states can exercise key program
responsibilities. Initial federal responsibilities vary
among the different programs.
Under Subtitle D, EPA established minimum
criteria for MSWLFs and required each state to
gain approval for their MSWLF permitting program
through an approval process which ensures that
the state's program meets minimum federal
criteria. Most of the Subtitle D solid waste
program is overseen by the states and compliance
is assured through state-issued permits.
State involvement in the Subtitle C program is
similar to involvement in the Subtitle D program.
Under Subtitle C, in the authorization process,
EPA reviews a state's hazardous waste program
and, if it is acceptable, grants the state authority to
run its program instead of EPA running the federal
program. States that have been authorized by EPA
to run their hazardous waste programs in lieu of
the federal program are known as authorized
states.
Under Subtitle I, EPA also allows state UST
programs to operate in lieu of the federal program
provided that a state's regulatory provisions are at
least as stringent as the federal provisions.
The regulated community that must
understand and comply with RCRA and
its regulations is a large, diverse group. It
includes not only facilities typically
thought of as hazardous waste
generators, such as industrial
manufacturers, but also government
agencies and small businesses, such
as a local dry cleaner generating
small amounts of hazardous
solvents, or a gas station with
underground petroleum tanks.
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Introduction to the Resource Conservation and Recovery Act
SECTION I
Lastly, the general public plays a key role in
RCRA by providing input and comments during
almost every stage of the program's development
and implementation, through rulemaking
participation, comments on TSDF permits, and
political action.
RCRA TODAY
When RCRA was first enacted in 1976, EPA
was faced with a huge implementation task. The
bulk of the activity during the first few years
focused on developing basic regulations for the
management of both hazardous and
nonhazardous solid waste in order to provide
adequate protection of human health and the
environment. Now, most of these elementary
standards are in place, but the RCRA program has
not remained stagnant. EPA continues to measure
and analyze the program's results to help identify
ways to make the RCRA program more efficient,
and new ways to achieve better, more cost-
effective protection of public health and the
environment.
Waste Minimization
WASTE MINIMIZATION
Waste minimization is the
reduction, to the extent feasible,
of hazardous waste generated
prior to any treatment, storage,
or disposal of the waste.
EPA has devoted much
of its efforts in the past to
the treatment and cleanup
of pollutants after they are
generated, and in fact, great
strides have been made in
environmental protection over the past 20 years.
EPA realizes, however, that there are
environmental and economic incentives to
reducing or eliminating waste before it is even
generated. Both the RCRA solid and hazardous
waste programs have adopted waste minimization
elements. EPA uses the term waste minimization
to mean the reduction, to the extent feasible, of
solid and hazardous waste. Both programs
emphasize source reduction (reducing waste at its
source, before it is even generated) and
environmentally sound recycling.
In the text of HSWA, Congress specifically
declared that the reduction or elimination of
hazardous waste generation at the source should
be a priority of the RCRA hazardous waste
program. To encourage hazardous waste
minimization nationwide, EPA developed the
Waste Minimization National Plan. This initiative
promotes a long-term national effort to minimize
the generation of hazardous chemicals in wastes.
The goals of the National Plan include:
Reducing the presence of the most persistent,
bioaccumulative, and toxic chemicals in
hazardous wastes 25% by the year 2000, and
50% by the year 2005
Emphasizing source reduction and
environmental source recycling over treatment
and disposal
Preventing transfers of chemical releases from
one medium (air, water, land) to another.
EPA has also developed strategies and
priorities for encouraging source reduction
and recycling of nonhazardous solid waste
streams regulated by RCRA Subtitle D.
EPA envisions a flexible integrated waste
management hierarchy where source
reduction, recycling, waste combustion,
and landfilling all play a part in the
successful management of solid waste at
the local level. Source reduction and recycling are
preferred approaches and are at the top of the
management hierarchy. Waste combustion and
landfilling are less emphasized. In addition, to
expand the use of recovered materials, EPA has
developed the procurement program, which
establishes guidelines recommending that federal
agencies purchase products containing recycled
materials.
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SECTION I
Introduction to the Resource Conservation and Recovery Act
Streamlining RCRA Regulation
EPA is currently identifying options to reinvent
the RCRA program by streamlining compliance
requirements. EPA's reinvention philosophy
includes providing flexibility in how results are
achieved, sharing information and decision-
making with all stakeholders, creating incentives
for compliance with environmental requirements,
lessening the burden of complying with
environmental requirements, and seeking a better
interface with other environmental regulations.
EPA is also placing an increasing emphasis on
making the RCRA hazardous waste program more
risk-based (i.e., ensuring that the regulations
correspond to the level of risk posed by the
hazardous waste being regulated). This approach
is particularly valuable for the cleanup of
contaminated sites. Placing excessive regulation
on sites whose contamination poses low risks to
human health and the environment may create
disincentives for cleanup. Focusing regulations on
risk would allow states greater flexibility in
determining the appropriate way to regulate sites
contaminated with relatively small quantities of
hazardous waste.
Subtitle C Federal/State Partnership
RCRA, like most federal environmental
legislation, encourages states to develop their own
hazardous waste programs as an alternative to
direct implementation of the federal program. At
the inception of RCRA, Congress envisioned that a
successful national program would be put in place
through joint action of the federal and state
governments EPA would set national goals and
standards based on
the Agency's
technical
expertise, and the
states would be
responsible for
implementing
those policies.
EPA is seeking to strengthen this federal/state
relationship by streamlining the authorization
process. Because EPA's hazardous waste
regulations are developed in stages, EPA has a
phased approach to approving state programs.
Each state must either adopt the new regulations
or upgrade those elements of its program that do
not meet federal standards. The authorization
process is often long and cumbersome. EPA has
proposed streamlined procedures for these state
revisions to make the process quicker and more
efficient. These procedures will also help reduce
the amount of resources needed for preparing and
processing authorization applications, and will
speed up state implementation of additional parts
of the RCRA program.
Demonstrating Results
It is as important to determine whether these
protective environmental goals are actually being
achieved as it is to develop them in the first place.
Recognizing the importance of evaluating the
performance of all government agencies, including
EPA, Congress enacted the Government
Performance and Results Act (GPRA) of 1993 to
provide for the establishment of strategic planning
and performance measurement in the federal
government. The intent of GPRA is to improve
public confidence in federal agencies by holding
agencies accountable for achieving program
results.
EPA has adopted the GPRA framework by
developing an Agency-wide strategic plan that
encompasses all EPA offices and program areas.
The strategic plan contains several goals specific to
RCRA, such as preventing pollution, reducing risk
to humans and the environment, better waste
management, and restoration of contaminated
waste sites. As part of the requirements of GPRA,
EPA has also developed specific, quantifiable
objectives for each of these goals. Progress toward
these target objectives will be measured and
evaluated annually. This framework ensures that
EPA can evaluate the success of its different
programs and can demonstrate tangible results to
the general public.
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Introduction to the Resource Conservation and Recovery Act
SECTION I
OUTLINE OF THE MANUAL
The remainder of this manual details the three
RCRA programs briefly discussed in this
introduction. The manual also describes two
other components of RCRA: the federal
procurement and medical waste tracking
programs. In addition, the manual discusses the
interrelationships between RCRA's Subtitle C
program and other environmental statutes, as well
as RCRA's public participation provisions. To
supplement this technical description of the RCRA
regulatory program, the manual also contains
appendices that present important RCRA forms
and paperwork requirements, a glossary (for the
reader's convenience, the terms that appear in
this glossary have been bolded throughout the
text), a list of acronyms and abbreviations, an
OSW organization chart, useful environmental
contacts, and a keyword index.
SUMMARY
RCRA was passed in 1976, as an amendment
to the Solid Waste Disposal Act of 1965, to ensure
that solid wastes are managed in an
environmentally sound manner. The broad goals
set by RCRA are:
To protect human health and the environment
from the hazards posed by waste disposal
To conserve energy and natural resources
through waste recycling and recovery
To reduce or eliminate, as expeditiously as
possible, the amount of waste generated,
including hazardous waste
To ensure that wastes are managed in a
manner that is protective of human health and
the environment.
To achieve the goals, three distinct yet
interrelated programs exist under RCRA:
Subtitle D - The solid waste program
promotes and encourages the environmentally
sound management of solid waste. It includes
minimum federal technical standards and
guidelines for state solid waste plans.
Subtitle C - The hazardous waste program
establishes a management system that
regulates hazardous waste from the time it is
generated until its ultimate disposal, in effect,
from cradle to grave.
Subtitle I - The UST program regulates
underground tanks that contain petroleum or
hazardous substances (as defined under
CERCLA).
There are several components of RCRA:
Act - The law that describes the kind of waste
management program that Congress wants to
establish. The Act also provides the
Administrator of EPA (or his or her designee)
with the authority to implement the Act.
Regulations - The legal mechanism that
establishes standards or imposes requirements
as mandated by the Act. RCRA regulations
are promulgated by EPA, published in the
Federal Register, and codified in the CFR.
Guidance - Documents developed and issued
by EPA to provide instructions on how to
implement requirements of either the Act or
regulations.
Policy - Statements developed by EPA
outlining a position on a topic or giving
instructions on how a procedure should be
conducted.
RCRA continues to change with amendments
to the Statute. HSWA, in particular, significantly
expanded both the scope and detailed
requirements of the Act, especially in the context
of the land disposal of hazardous wastes. Many
parties are involved in developing and
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SECTION I
Introduction to the Resource Conservation and Recovery Act
implementing the RCRA program, including
Congress, EPA, states, regulated entities, and the
general public.
EPA continues to improve the RCRA program
by using measurable results to identify and
promote new initiatives, such as encouraging
waste minimization, improving the federal/state
partnership in the hazardous waste program, and
aiding state and local governments in reaping the
environmental and economic benefits of source
reduction and recycling.
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SECTION II
MANAGING SOLID WASTE - RCRA SUBTITLE D
In this section...
Subsequent amendments to the Solid Waste
Disposal Act, such as RCRA, have substantially
increased the federal government's involvement in
Overview 11-1 solid waste management.
Definition of Solid Waste II-2
Municipal Solid Waste II-2 During the 1980s, solid waste management
- Source Reduction II-3 issues rose to new heights of public concern in
- Recycling II-4 many areas of the United States because of
- Combustion II-4 increasing solid waste generation, shrinking landfill
- Landfilling II-5 capacity, rising disposal costs, and public
Criteria for Solid Waste Disposal Facilities II-5 opposition to the siting of new landfills. These
- Criteria for Classification of Solid Waste so] jd waste management challenges continue
Disposal Facilities and Practices II-5 today, as many communities are struggling to
- Technical Criteria for Solid Waste Disposal develop cost-effective, environmentally protective
Facilities II-5 solutions. The growing amount of waste
- Technical Criteria for Municipal Solid Waste generated has made it increasingly important for
an ' s " solid waste management officials to develop
- Conditionally Exempt Small Quantity strategies to manage wastes safely and cost-
Generator Waste Disposal Facilities II-8 cc .. ,
effectively.
Assistance to Native American Tribes II-8
Solid Waste Management Initiatives II-9 RCRA Subtjt|e D encourages environmentally
Wastewise II-9 sound solid waste management practices that
- Jobs Through Recycling Program II-9 maximize the reuse of recoverable material and
- Unit Pricing 11-10 f . c ,., .
foster resource recovery. Solid waste is
- Full Cost Accounting for Municipal Solid . . . i . i i ^^ i i i
predominately regulated by state and local
governments. EPA has, however, promulgated
Summary 11-11 ° r °
OVERVIEW
Since the 1960s, Americans have sought to
provide efficient and favorable methods of waste
management. Congress enacted the Solid Waste
Disposal Act of 1965 to address the growing
quantity of waste generated in the United States
and to ensure its proper management.
WHAT IS A SOLID WASTE?
Garbage
Refuse
Sludges from waste treatment plants, water supply
treatment plants, or pollution control facilities
Nonhazardous industrial wastes
Other discarded materials, including solid, semisolid,
liquid, or contained gaseous materials resulting from
industrial, commercial, mining, agricultural, and
community activities.
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SECTION II
Managing Solid Waste - RCRA Subtitle D
some regulations pertaining to solid waste,
predominately addressing how disposal facilities
should be designed and operated. EPA's primary
role in solid waste management includes setting
national goals, providing leadership and technical
assistance, and developing guidance and
educational materials. The Agency has played a
major role in this program by developing tools and
information through policy and guidance to
empower local governments, business, industry,
federal agencies, and individuals to make better
decisions in dealing with solid waste issues. The
Agency's involvement is intended to create
incentives to motivate behavioral change in
reference to solid waste management through a
nonregulatory approach.
This section presents an outline
of the Subtitle D program. In doing
so, it defines the terms solid waste
and municipal solid waste, and it
describes the role EPA plays in
assisting waste officials in dealing
with solid waste management
problems. The section will provide
an overview of the criteria that EPA
has developed for solid waste
landfills, and will introduce some
Agency initiatives designed to promote proper and
efficient solid waste management.
DEFINITION OF SOLID WASTE
RCRA defines the term solid waste as:
Garbage (e.g., milk cartons and coffee
grounds)
Refuse (e.g., metal scrap, wall board, and
empty containers)
Sludges from waste treatment plants, water
supply treatment plants, or pollution control
facilities (e.g., scrubber slags)
Nonhazardous industrial wastes (e.g.,
manufacturing process wastewaters and
nonwastewater sludges and solids)
Other discarded materials, including solid,
semisolid, liquid, or contained gaseous
materials resulting from industrial,
commercial, mining, agricultural, and
community activities (e.g., boiler slags).
The term solid waste is very broad, including
not only the traditional nonhazardous solid
wastes, such as municipal garbage, but also some
hazardous wastes. Hazardous waste, a subset of
solid waste, is regulated under RCRA Subtitle C.
(Hazardous waste is fully discussed in Section III.)
RCRA Subtitle D addresses solid wastes,
including those hazardous wastes that
are excluded from the Subtitle C
regulations (e.g., household hazardous
waste), and hazardous waste generated
by conditionally exempt small quantity
generators (CESQGs).
The definition of solid waste is not
limited to wastes that are physically
solid. As noted above, many solid
wastes are liquid, while others are
semisolid or gaseous.
MUNICIPAL SOLID WASTE
Municipal solid waste is a subset of solid
waste and is defined as durable goods (e.g.,
appliances, tires, batteries), nondurable goods
(e.g., newspapers, books, magazines), containers
and packaging, food wastes, yard trimmings, and
miscellaneous organic wastes from residential,
commercial, and industrial nonprocess sources
(see Figure 11-1).
Municipal solid waste generation has grown
steadily over the past 35 years from 88 million
tons per year (2.7 pounds per person per day) in
1960, to 208 million tons per year (4.3 pounds
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Managing Solid Waste - RCRA Subtitle D
SECTION II
Figure 11-1: PRODUCTS GENERATED IN
MUNICIPAL SOLID WASTE BY WEIGHT IN 1995
Yard Trimmings
Containers and Packaging 29.8 million tons
72.9 million tons
Nondurable Goods
57.0 million tons
Durable Goods
31.2 million tons
Food and Other Wastes
17.1 million tons
per person per day) in 1995. While generation of
waste has grown steadily, recycling has also greatly
increased. In 1960, only about 7 percent of
municipal solid waste was recycled. By 1995, this
figure had increased to 27 percent.
To address the increasing volumes of
municipal solid waste that are generated on a
daily basis, EPA recommends using an integrated,
hierarchical approach to waste management with
four components: source reduction, recycling,
combustion, and landfilling. The hierarchy favors
source reduction to reduce both the volume and
toxicity of waste and to increase the useful life of
manufactured products. Next preferred is
recycling, including composting of yard and food
wastes, because it diverts
waste from combustion
facilities and landfills and has
positive impacts on both the
environment and the
economy. The goal of EPA's
approach is to use a
combination of all these
methods to safely and
effectively manage municipal
solid waste. EPA recommends
that communities tailor
systems from the four
components to meet their
individual needs, looking first
to source reduction, and second to recycling as
preferences to combustion and landfilling (see
Figure II-2).
Source Reduction
Rather than managing waste after it is
generated, source reduction is designed to
change the way products are made and used in
order to minimize waste generation. Source
reduction, also called waste prevention, is defined
as the design, manufacture, and use of products in
a way that reduces the quantity and toxicity of
waste produced when the products reach the end
of their useful lives. The ultimate goal of source
reduction is to decrease the amount and the
toxicity of waste generated. Businesses,
households, and state and local governments can
all play an active role in source reduction.
Businesses can manufacture products with
packaging that is reduced in both volume and
toxicity. They can also reduce waste by altering
their business practices (e.g., reusing packaging for
shipping, making double-sided copies,
maintaining equipment to extend its useful life,
using reusable envelopes). Community residents
can help reduce waste by leaving grass clippings
on the lawn or composting them with other yard
waste in their backyards, instead of bagging such
materials for eventual disposal. Consumers play a
Figure II-2: THE SOLID WASTE MANAGEMENT HIERARCHY
INTEGRATED
SOLID WASTE
MANAGEMENT
SYSTEM
Source reduction, landfilling, recycling, and combustion are all pieces of the solid
waste management puzzle. Source reduction and recycling are preferred elements of
the system.
II-3
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SECTION II
Managing Solid Waste - RCRA Subtitle D
crucial role in an effective source reduction
program by purchasing products having reduced
packaging or that contain reduced amounts of
toxic constituents. This purchasing subsequently
increases the demand for products with these
attributes. State and local governments include
source reduction in their long-term planning for
solid waste management in order to ensure its
effectiveness.
Recycling
Municipal solid waste recycling refers to the
separation and collection of wastes, their
subsequent transformation or remanufacture into
usable or marketable products or materials, and
the purchase of products made from recyclable
materials. In 1995, 27 percent (56.2 million tons),
of the municipal solid waste generated in the
United States was recycled (see Figure II-3). Solid
waste recycling:
Preserves raw materials and natural resources
Reduces the amount of waste that requires
disposal
Reduces energy use and associated pollution
Provides business and job opportunities
Reduces greenhouse gas emissions
Reduces pollution associated with use of virgin
materials.
Communities can offer a wide range of
recycling programs to their residents, such as
drop-off centers, curbside collection, and
centralized composting of yard and food wastes.
Composting processes are designed to
optimize the natural decomposition or decay of
organic matter, such as leaves and food.
Compost, the end product of composting, is a
humus-like material that can be added to soils to
increase soil fertility, aeration, and nutrient
Figure II-3: MANAGEMENT OF
MUNICIPAL SOLID WASTE GENERATED IN 1995
Combusted
33.5 million tons
Landfilled
118.3 million tons
Recycled
56.2 million tons
retention. Composting can serve as a key
component of municipal solid waste recycling
activities, considering that food and yard wastes
accounted for 21 percent of the total amount of
municipal solid waste generated in 1995. Some
communities are implementing large-scale
composting programs in an effort to conserve
landfill capacity.
The key to a successful recycling program is to
ensure that the recovered material is actually
reprocessed or remanufactured, and that the
products are bought and used by consumers.
Recycling programs will become more effective as
markets increase for products made from recycled
material. The federal government has developed
several initiatives in order to bolster the use of
recycled products. The federal procurement
guidelines, authorized by RCRA Subtitle F, are
designed to bolster the market for products
manufactured from recycled materials. The
procurement program uses government
purchasing to spur recycling and markets for
recovered materials. (This program is fully
discussed in Section V.)
Combustion
For centuries, burning has been a popular
method of reducing the volume of solid waste.
Before the Clean Air Act (CAA) of 1970 essentially
banned it, the burning of waste was rampant and
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Managing Solid Waste - RCRA Subtitle D
SECTION II
uncontrolled. While uncontrolled burning of solid
waste can be detrimental to health and the
environment, confined and controlled burning,
known as combustion, can not only decrease the
volume of solid waste destined for landfills, but
can also recover energy from the waste-burning
process. Modern waste-to-energy facilities use
energy recovered from the burning of solid waste
to produce steam and electricity. In 1995,
combustion facilities handled 16.1 percent (33.5
million tons) of the municipal solid waste
generated (see Figure II-3). Used in conjunction
with source reduction and recycling, combustion
can recover resources and materials and greatly
reduce the volume of wastes entering landfills.
Landfilling
Despite the effectiveness of source reduction,
recycling, and combustion, there will always be
waste that cannot be diverted from landfills. In
fact, landfilling of solid waste still remains the most
widely used waste management method as
Americans landfilled approximately 56.9 percent
(118.3 million tons) of municipal solid waste in
1995 (see Figure II-3). Many communities are
having difficulties siting new landfills largely as a
result of increased citizen and local government
concerns about the potential risks and aesthetics
associated with having a landfill in their
neighborhoods. To reduce risks to health and the
environment, EPA developed minimum criteria
that solid waste landfills must meet in order to
alleviate some of the concern raised over landfill
siting and health concerns.
CRITERIA FOR SOLID WASTE
DISPOSAL FACILITIES
One of the initial focuses of the Solid Waste
Disposal Act (as amended by RCRA) was to
require EPA to study the risks associated with solid
waste disposal and to develop management
standards and criteria for solid waste disposal units
(including landfills) in order to protect human
health and the environment. This study resulted
in the development of criteria for classifying solid
waste disposal facilities and practices.
Criteria for Classification of Solid Waste
Disposal Facilities and Practices
On September 13, 1979,
EPA promulgated
criteria to
designate
conditions
under which
solid waste
disposal
facilities and
practices
would not pose adverse effects to human health
and the environment (Part 257 Subpart A).
Facilities failing to satisfy the criteria were
considered open dumps requiring attention by
state solid waste programs. As a result, open
dumps had to either be closed or upgraded to
meet the criteria for sanitary landfills. States were
also required to incorporate provisions into their
solid waste programs to prohibit the establishment
of new open dumps.
Technical Criteria for Solid Waste
Disposal Facilities
The Part 257, Subpart A regulatory criteria
used to classify solid waste disposal facilities and
practices consist of general environmental
performance standards. The criteria contain
provisions designed to ensure that wastes disposed
of in solid waste disposal units will not threaten
endangered species, surface water, ground water,
or flood plains. Further, owners and operators of
disposal units are required to implement public
health and safety precautions such as disease
vector (e.g., rodents, flies, mosquitoes) controls to
prevent the spread of disease and restrictions on
the open burning of solid waste. In addition,
II-5
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SECTION II
Managing Solid Waste - RCRA Subtitle D
WHAT IS AN OPEN DUMP?
An open dump is defined as a disposal facility that
does not comply with one or more of the Part 257 or
Part 258 Subtitle D criteria. Using the Part 257,
Subpart A criteria as a benchmark, each state
evaluated the solid waste disposal facilities within its
borders to determine which facilities were open
dumps that needed to be closed or upgraded. For
each open dump, the state completed an Open
Dump Inventory Report form that was sent to the
Bureau of the Census. At the end of fiscal years
1981 through 1985, the Bureau compiled all of the
report forms and sent them to EPA, where they were
summarized and published annually.
facilities are required to install safety measures to
control explosive gases generated by the
decomposition of waste, minimize the number of
birds attracted to the waste disposed of in the
unit, and restrict public access to the facility. The
criteria also restrict the land spreading of wastes
with high levels of cadmium and polychlorinated
biphenyls (PCBs) in order to adequately protect
ground water from these dangerous contaminants.
These criteria serve as minimum technical
standards for solid waste disposal facilities. As a
result, facilities must meet the Part 257 standards
to ensure that ongoing waste management
operations adequately protect human health and
the environment. If they fail to do so, the facility
is classified as an open dump and must upgrade its
operations or close. States have the option of
developing standards more stringent than the Part
257, Subpart A criteria.
Technical Criteria for Municipal Solid
Waste Landfills
Protection of human health and the
environment from the risks posed by solid waste
disposal facilities was an ongoing concern of
Congress after RCRA was passed in 1976. As a
result, HSWA required EPA to report on the
adequacy of existing solid waste disposal facility
criteria and gather detailed data on the
characteristics and quantities of nonhazardous
solid wastes.
Report to Congress on Solid Waste Disposal
In October 1988, EPA submitted a Report to
Congress indicating that the United States was
generating an increasing amount of municipal
solid waste. The Report revealed that
approximately 160 million tons of municipal solid
waste were generated each year, 131 million tons
of which were landfilled in just over 6,500
MSWLFs. EPA also reported that although these
landfills used a wide variety of environmental
controls, they may pose significant threats to
ground water and surface water resources. For
instance, rain water percolating through the
landfills can dissolve harmful constituents in the
waste and can eventually seep into the ground,
potentially contaminating ground water. In
addition, improperly maintained landfills can pose
other health risks due to airborne contaminants, or
the threat of fire or explosion.
To address these environmental and health
concerns, and to standardize the technical
requirements for these landfills, EPA promulgated
revised minimum federal criteria in Part 258 for
MSWLFs on October 9, 1991. The criteria were
designed to ensure that MSWLFs receiving solid
waste would be protective of human health and
the environment. All landfills that were not
MSWLFs remained subject to the Part 257,
Subpart A criteria.
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Managing Solid Waste - RCRA Subtitle D
SECTION II
Criteria for Municipal Solid Waste Landfills
A municipal solid waste landfill is defined as
a discrete area of land or excavation that receives
household waste. A MSWLF may also receive
other types of RCRA Subtitle D wastes, such as
commercial solid waste, nonhazardous sludge,
CESQG waste, and industrial nonhazardous solid
waste. In 1995, there were approximately 2,500
MSWLFs in the United States.
The revised criteria address seven major
aspects of MSWLFs (see Figure II-4):
Location
Operation
Design
Ground water
monitoring
Corrective action
Closure and post-closure
Financial assurance (i.e., responsibility).
The first set of criteria restrict where a MSWLF
may be located. New landfills must meet
minimum standards for placement in or near flood
plains, wetlands, fault areas, seismic impact zones,
and other unstable areas. Because some bird
species are attracted to landfills, the criteria also
restrict the placement of landfills near airports to
reduce the bird hazards (i.e., collisions between
birds and aircraft that may cause damage to the
aircraft or injury to the passengers).
The operating criteria establish daily operating
standards for running and maintaining a landfill.
The standards dictate sound management
practices that ensure protection of human health
and the environment. The provisions require
covering the landfill daily, controlling disease
vectors, and controlling explosive gases. They also
prohibit the open burning of solid waste and
require the owner and operator of the landfill to
control unauthorized access to the unit.
The design criteria require each new landfill to
have a liner consisting of a flexible membrane and
a minimum of two feet of compacted soil, as well
as a leachate collection system. Leachate is
formed when rain water filters through wastes
placed in a landfill. When this liquid comes in
contact with buried wastes, it leaches, or draws
out, chemicals or constituents from those wastes.
States with approved MSWLF permit programs
can allow the use of an alternative liner design
that controls ground water contamination. The
liner and collection system prevent the potentially
harmful leachate from contaminating the soil and
ground water below the landfill.
In order to ensure that the liner and leachate
collection system are working properly and that
the landfill is not contaminating surrounding
ground water resources, MSWLF owners and
operators must also establish a ground water
monitoring program. Through a series of
monitoring wells, the facility owner and operator
is alerted if the landfill is leaking and causing
Figure II-4: CROSS-SECTION OF A MUNICIPAL SOLID WASTE LANDFILL
Ground Water
Monitoring Well
Liner
Leachate Collection
System
Explosive Gas
Monitoring Well
II-7
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SECTION II
Managing Solid Waste - RCRA Subtitle D
contamination. If contamination is detected, the
owner and operator of the landfill must perform
corrective action (i.e., clean up the
contamination caused by the landfill).
When landfills reach their capacity and can no
longer accept additional waste, the criteria
stipulate procedures for properly closing the
facility to ensure that the landfill does not present
any danger to human health and the environment
in the future. The closure activities at the end of
a facility's use are often expensive and the owner
and operator must have the ability to pay for
them. As a result, the criteria require each owner
and operator to prove that they have the financial
resources to perform these closure and post-
closure activities, as well as any necessary
corrective action.
Most of the solid waste program is overseen by
the states, and compliance is assured through
state-issued permits. Each state is to obtain EPA
approval for their MSWLF permitting program.
This approval process assesses whether a state's
program is sufficient to ensure each landfill's
compliance with the criteria. In addition to the
minimum federal criteria, states may impose
requirements that are more stringent than the
federal requirements.
Conditionally Exempt Small Quantity
Generator Waste Disposal Facilities
Businesses that produce small amounts of
hazardous waste, known as conditionally exempt
small quantity generators, need not manage
their hazardous waste under the Subtitle C
program. This means that CESQG waste can be
disposed of in solid waste landfills. However,
HSWA required EPA to establish standards to
ensure that CESQG waste disposal in solid waste
disposal units did not pose threats to human
health and the environment. As a result, on July
1, 1996, EPA revised the Part 257, Subpart B
criteria to contain standards for nonmunicipal,
nonhazardous waste disposal units that receive
CESQG hazardous waste. These revisions
addressed location restrictions, requirements for
monitoring for ground water contamination, and
corrective action provisions to clean up any
contamination. (CESQGs are fully discussed in
Section III, Chapter 3.)
ASSISTANCE TO NATIVE AMERICAN
TRIBES
EPA developed a draft municipal solid waste
strategy to assist Native American tribes in the
establishment of healthy, environmentally
protective, integrated solid waste management
practices on tribal lands. The strategy is based on
input from tribal focus groups convened by the
National Tribal Environmental Council and
discussions with tribal organizations, EPA Regional
Indian Program coordinators, other EPA offices,
and other federal agencies with trust
responsibilities on Native American lands. The
strategy emphasizes building tribal municipal solid
waste management capacity, developing tribal
organizational infrastructure, and building
partnerships among tribes, states, and local
governments. Direct EPA support of these goals
includes technical assistance, grant funding,
education, and outreach.
Solid waste managers on Native American
lands face unique challenges. To address issues
such as jurisdiction, funding, and staffing, EPA
offers several resource guides featuring in-depth
information specific to Native American lands.
The Agency recognizes that every solid waste
management program needs funding to survive
and that, in an era of tightening budgets, it may be
difficult to find necessary resources. One of EPA's
ongoing priorities is to make current information
available to help tribes locate the funding they
need to develop and implement safe and effective
solid waste programs.
Outreach and education materials are two
other tools EPA provides to tribes to support
environmentally sound integrated solid waste
management practices. The Agency's outreach
II-8
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Managing Solid Waste - RCRA Subtitle D
SECTION II
support helps tribes connect and learn from each
other's experiences. Educational resources help
tribal leadership as well as the general tribal
community understand the importance of good
municipal solid waste management. Better
understanding ensures that tribal municipal solid
waste programs are assigned a high priority and
facilitates the communities' adoption of new and
improved waste disposal practices.
SOLID WASTE MANAGEMENT
INITIATIVES
With the bulk of the RCRA Subtitle D program
already in place, EPA launched several new
initiatives to further the development of the solid
waste management program. These initiatives
promote proper waste management, and
encourage source reduction by both industry and
the public.
Wastewise
SEPA
WASTE
ISE
Many companies,
institutions, and
governments have
demonstrated that they
can save money by
reducing waste and
recycling material that would otherwise be
disposed. The Wastewise program is designed to
assist companies, states, local governments, Native
American tribes, and other institutions in
developing cost-effective practices to reduce
municipal solid waste. These partners set and
acheive certain goals within three areas: waste
prevention, recycling collection, and buying or
manufacturing recycled products. Participation
offers the partners several advantages. EPA
provides technical assistance, publications, and
program updates. Successful waste reduction
efforts are highlighted in EPA documents,
magazines, and trade publications. Participating
organizations can also use the Wastewise logo to
promote their participation.
These benefits along with the direct financial
savings that result from waste prevention and
recycling activities are helping to improve waste
management and resource efficiency. In 1996,
partners eliminated over 453,000 tons of
materials through waste prevention, a 30 percent
increase from 1995. Such waste prevention
represents approximately $80 million in avoided
purchasing and disposal costs. Partners also
recycled over 4.8 million tons in 1996, avoiding
approximately $162 million in disposal costs.
Since the program's inception in 1994, partners
have reduced nearly 11 million tons of waste.
Jobs Through Recycling Program
To support recycling markets, EPA launched
the Jobs Through Recycling program in 1994.
The goal of the program is to foster markets for
recycled goods by promoting and assisting the
development of businesses using recovered
materials, creating new recycling jobs, and
spurring innovative technologies. Under the
program, EPA awards over $1 million each year in
grants to states and tribes. Jobs Through Recycling
funds programs that help develop or retain
intermediate processing and end-use
manufacturing capacity for recyclables and
reusable materials. Jobs Through Recycling
supports the development and strengthening of
state, multi-state, and tribal market development
and economic development programs. The
activities funded thus far include the creation of
Recycling Economic Development Advocates
(REDAs), Recycling and Reuse
Business Assistance Centers
(RBACs), and commodity-
specific demonstration
projects. REDAs are
staff in state or
tribal economic
development
agencies who
pursue recycling
business growth,
whereas RBACs
II-9
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SECTION II
Managing Solid Waste - RCRA Subtitle D
are state full-service centers providing business,
technical, and financing assistance to businesses
using recovered materials.
Jobs Through Recycling bolsters the job
market by actively promoting the recycling
industry. Recycling is estimated to create nearly
five times as many jobs as landfilling. One 1994
study reported that 103,000 jobs, or 2.7 percent
of all manufacturing jobs in the Northeast region
of the United States, are attributed to recycling.
In addition, the jobs created by recycling
businesses draw from the full spectrum of the
labor market (ranging from low- and semi-skilled
jobs to highly skilled jobs). Materials sorters,
dispatchers, truck drivers, brokers, sales
representatives, process engineers, and chemists
are just some of the jobs needed in the recycling
industry.
Since Jobs Through Recycling's inception in
1994, $7.2 million in grants has been awarded to
36 states, 3 multi-state organizations, and 5 Native
American tribes. Grant winners from 1994 have
provided assistance to over 1,600 potential or
existing recycling/reuse businesses who have in
turn produced over 2,000 jobs, $300 million in
investment, 1.7 million tons in recycling capacity,
and 1 million tons of recycled material.
Unit Pricing
Some communities are using economic
incentives to encourage the public to reduce solid
waste sent to landfills. One of the most successful
economic incentive programs used to achieve
source reduction and recycling
is variable rate refuse
collection, or unit pricing.
Unit pricing programs,
sometimes referred to as pay-
as-you-throw systems, have
one primary goal: customers
who dispose of more waste
pay more for the collection
and disposal service. There
are a few different types of unit pricing systems.
Most require residents to pay a per-bag fee for
refuse collection, and require the purchase of a
special bag or tag to place on bags or cans. Other
systems allow customers to choose between
different size containers, and charge more for
collection of larger containers. EPA's role in the
further development of unit pricing systems has
been to study effective systems in use and to
disseminate documentation to inform other
communities about the environmental and
economic benefits that unit pricing may have for
their community. The number of communities
using unit pricing grew to more than 3,400 in
1995 and the population served has doubled
since 1990 to over 20 million today.
Full Cost Accounting for Municipal Solid
Waste
Full cost
accounting is
an additional
financial
management
tool that
communities
can use to
improve solid waste management. Full cost
accounting is an accounting approach that helps
local governments identify all direct and indirect
costs, as well as the past and future costs, of a
MSW management program. Full cost accounting
helps solid waste managers account for all
monetary costs of resources used or committed,
thereby providing the complete picture of solid
waste management costs on an ongoing basis. Full
cost accounting can help managers identify high-
cost activities and operations and seek ways to
make them more cost-effective.
EPA is continually studying these and other
programs in order to assist communities in
deciding whether one of these programs is right
for them. In addition to these initiatives, EPA has
published numerous guidance documents
11-10
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Managing Solid Waste - RCRA Subtitle D
SECTION II
designed to educate both industry and the public
on the benefits of source reduction, to guide
communities in developing recycling programs,
and to educate students on the benefits and
elements of source reduction and recycling.
SUMMARY
Subtitle D addresses primarily nonhazardous
solid waste. The term solid waste includes
garbage, refuse, sludges, nonhazardous industrial
wastes, and other discarded materials. Solid waste
also includes hazardous wastes that are excluded
from Subtitle C regulation (e.g., household
hazardous waste).
Municipal solid waste, a subset of solid waste,
is waste generated by businesses and households.
EPA recommends an integrated, hierarchical
approach to managing municipal solid waste that
includes, in descending order of preference:
Source reduction
Recycling
Combustion
Landfilling.
As part of Subtitle D, EPA has developed
detailed technical criteria for solid waste disposal
facilities, including specific criteria for MSWLFs.
These criteria include specific provisions for
MSWLF:
Location
Operation
Design
Ground water monitoring
Corrective action
Closure and post-closure
Financial assurance (i.e., responsibility).
EPA has helped develop and implement new
initiatives and programs that aid businesses, states,
local governments, and Native American tribes in
implementing effective solid waste management
programs. Focusing particularly on the
environmental and economic benefits of source
reduction and recycling, EPA fosters integrated
solid waste management in communities and
businesses. These initiatives include:
Wastewise
Jobs Through Recycling program
Unit pricing
Full cost accounting for municipal solid waste.
11-11
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SECTION III
RCRA SUBTITLE C -
MANAGING HAZARDOUS WASTE
In this section...
Overview 111-1
Chapter 1: Hazardous Waste Identification .. III-5
Chapter 2: Hazardous Waste Recycling and
Universal Wastes III-33
Chapter 3: Regulations Governing
Hazardous Waste Generators .... III-45
Chapter 4: Regulations Governing
Hazardous Waste Transporters .. III-55
Chapter 5: Regulations Governing Treatment,
Storage, and Disposal
Facilities III-59
ChapterG: Land Disposal Restrictions 111-101
Chapter 7: Hazardous Waste Combustion ... 111-113
Chapters: Permitting of Treatment, Storage
and Disposal Facilities 111-123
Chapter 9: Corrective Action to Clean Up
Hazardous Waste
Contamination 111-137
Chapter 10: Enforcement of Hazardous Waste
Regulations 111-145
Chapter 11: Authorizing States to Implement
RCRA 111-157
OVERVIEW
The improper management of hazardous
waste poses a serious threat to the health of
American citizens and their environment. When
EPA began developing the hazardous waste
management regulations in the late 1970s, they
estimated that only 10 percent of all hazardous
waste was managed in an environmentally sound
manner.
Some threats posed by the mismanagement of
hazardous waste are obvious. Reports of chemical
accidents or spills of hazardous waste that close
highways, or illegal midnight dumping that
contaminates property, are familiar. Yet, even
when hazardous waste is managed or disposed of
in a careful manner, it may still pose a serious
threat to human health and the environment. For
example, toxic hazardous wastes can leak from a
poorly constructed or improperly maintained
hazardous waste landfill. Such waste
contamination can severely, and sometimes
irreversibly, pollute ground water, the primary
source of drinking water for half the nation.
Ground water pollution is not the only
problem posed by hazardous waste
mismanagement. The improper disposal of
hazardous waste has polluted streams, rivers,
lakes, and other surface waters, killing aquatic life,
destroying wildlife, and stripping areas of
vegetation. In other cases, careless waste disposal
has been linked to respiratory illnesses, skin
diseases (including skin cancer), and elevated
levels of toxic materials in the blood and tissue of
humans and domestic livestock. In still other
cases, the mismanagement of hazardous waste has
resulted in fires, explosions, or the generation of
toxic gases that have killed or seriously injured
workers and firefighters.
Since 1980, under RCRA Subtitle C, EPA has
developed a comprehensive program to ensure
that hazardous waste is managed safely: from the
moment it is generated; while it is transported,
treated, or stored; until the moment it is finally
III-l
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SECTION III
Managing Hazardous WasteRCRA Subtitle C
disposed (see Figure 111-1). This cradle-to-grave
management system establishes requirements for
each of the following:
Hazardous Waste Identification To facilitate
the proper identification and classification of
hazardous waste, RCRA begins with hazardous
waste identification procedures.
Hazardous Waste Generators To ensure
proper and safe waste management, the RCRA
regulations provide management standards for
those facilities that produce hazardous waste,
and provide reduced regulations for facilities
that produce less waste.
Hazardous Waste Recycling and Universal
Wastes To provide for the safe recycling of
hazardous wastes, and facilitate the
management of commonly recycled materials,
RCRA includes provisions for hazardous waste
recycling and universal wastes.
Hazardous Waste Transporters To govern
the transport of hazardous waste between
management facilities, RCRA regulates
hazardous waste transporters.
Treatment, Storage, and Disposal Facilities
To fully protect human health and the
environment from hazardous waste treatment,
storage, and disposal, the TSDF requirements
establish generic facility management
standards, specific provisions governing
hazardous waste management units, and
additional precautions designed to protect
soil, ground water, and air resources.
Land Disposal Restrictions (LDR) To reduce
the hazards posed by permanently land
disposed waste, this program requires effective
and expeditious hazardous waste treatment.
Combustion To minimize the hazards
posed by the burning of hazardous waste,
RCRA imposes strict standards on units
conducting such combustion.
Permitting To ensure that only facilities
meeting the TSDF standards are treating,
storing, and disposing of hazardous waste, and
to provide each TSDF facility with a record of
the specific requirements applicable to each
part of its operation, RCRA requires owners
and operators of these facilities to obtain a
permit.
Figure 111-1: RCRA'S CRADLE-TO-GRAVE HAZARDOUS WASTE MANAGEMENT SYSTEM
Hazardous Waste
Generation
Hazardous Waste
Transportation
III-2
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Managing Hazardous WasteRCRA Subtitle C
SECTION III
Corrective Action Since hazardous waste
management may result in spills or releases
into the environment, the corrective action
program is designed to guide the cleanup of
any contaminated air, ground water, or soil
resulting from such management.
Enforcement To ensure that RCRA-
regulated facilities, from generators to TSDFs,
comply with these regulations, RCRA provides
EPA with the authority to enforce provisions of
the Act.
State Authorization To empower states and
make enforcement more efficient, RCRA also
allows EPA to authorize state governments to
administer various parts of the RCRA program.
Each of these aspects of the RCRA Subtitle C
program is carefully detailed in separate chapters
in this section.
m-3
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Page Intentionally Blank
-------
Managing Hazardous WasteRCRA Subtitle C
SECTION III
Chapter 7: Hazardous Waste Identification
CHAPTER 1
HAZARDOUS WASTE IDENTIFICATION
In this chapter...
OVERVIEW
Overview 111-5 What is a hazardous waste? Simply defined, a
Hazardous Waste Identification Process 111-6 hazardous waste is a waste with properties that
Is the Material a Solid Waste? 111-6 mal and what is excluded from the hazardous
Mixed Waste 111-30 waste regulations, even though it otherwise is a
Summary III 30 solid and hazardous waste. Finally, to promote
recycling and the reduction of the amount of waste
entering the RCRA system, EPA provides
exemptions for certain wastes when they are
recycled in certain manners.
III-5
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SECTION III
Managing Hazardous WasteRCRA Subtitle C
Chapter 7: Hazardous Waste Identification
This chapter introduces the hazardous waste
identification process, describes how to determine
if a waste is a solid waste, and provides the
regulatory definition for hazardous waste. It also
discusses those wastes specifically excluded from
Subtitle C regulation, and those wastes exempted
when recycled.
HAZARDOUS WASTE
IDENTIFICATION PROCESS
Proper hazardous waste identification is
essential to the success of the RCRA program.
This identification process can be a very complex
task. Therefore, it is best to approach the issue by
asking a series of questions in a step-wise manner
(see Figure 111-2). If facility owners and operators
answer the following questions, they can
determine if they are producing a hazardous
waste:
1. Is the material in question a solid waste?
2. Is the material excluded from the definition of
solid waste or hazardous waste?
3. Is the waste a listed hazardous waste? (Or, is
the waste delisted?)
4. Is the waste a characteristic hazardous waste?
This chapter will examine these key questions.
IS THE AAATERIAL A SOLID WASTE?
The Subtitle C program uses the term solid
waste to denote something that is a waste. In
order for a material to be classified as a hazardous
waste, it must first be a solid waste. Therefore, the
first step in the hazardous waste identification
process is determining if a material is a solid
waste.
The statutory definition points out that
whether a material is a solid waste is not based on
the physical form of the material (i.e., whether or
not it is a solid as opposed to a liquid or gas), but
rather that the material is a waste. The regulations
Figure III-2: HAZARDOUS WASTE IDENTIFICATION PROCESS
Is material a
solid waste?
Is waste excluded from
the definition of solid
hazardous waste?
Is waste a listed or characteristic
hazardous waste?
s waste dehsted?
MATERIAL IS NOT |
SUBJECT TO
RCRA SUBTITLE
C REGULATION
WASTE IS SUBJECT TO RCRA
SUBTITLE C REGULATION
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Managing Hazardous WasteRCRA Subtitle C
SECTION III
Chapter 7: Hazardous Waste Identification
further define solid waste as any material that is
discarded by being either abandoned, inherently
waste-like, a certain military munition, or recycled
(see Figure 111-3).
Abandoned The term abandoned simply
means thrown away. A material is abandoned
if it is disposed of, burned, or incinerated.
Inherently Waste-Like Some materials pose
such a threat to human health and the
environment that they are always considered
solid wastes; these materials are considered to
be inherently waste-like. Examples of
inherently waste-like materials include certain
dioxin-containing wastes.
Military Munition Military munitions are
all ammunition products and components
produced for or used by the U.S. Department
of Defense (DOD) or U.S. Armed Services for
national defense and security. Unused or
defective munitions are solid wastes when
abandoned (i.e., disposed of, burned,
incinerated) or treated prior to disposal;
rendered nonrecyclable or nonuseable
through deterioration; or declared a waste by
an authorized military official. Used (i.e., fired
or detonated) munitions may also be solid
wastes if collected for storage, recycling,
treatment, or disposal.
Recycled A material is recycled if it is used
or reused (e.g., as an ingredient in a process),
or reclaimed. A material is reclaimed if it is
processed to recover a usable product (e.g.,
smelting a waste to recover valuable metal
constituents), or if it is regenerated though
processing to remove contaminants in a way
that restores them to their useable condition
(e.g., distilling dirty spent solvents to produce
clean solvents). (Recycled materials are fully
discussed in Section III, Chapter 2.)
Recycled Materials
Materials that are recycled are a special subset
of the solid waste universe. When recycled, some
materials are not solid wastes, and therefore, not
hazardous wastes, while others are solid and
hazardous waste, but are subject to less-stringent
regulatory controls. The level of regulation that
applies to recycled materials depends on the
Figure 111-3: IS IT A SOLID WASTE?
Is material discarded by being either:
1) Abandoned;
2) Inherently waste-like;
3) A discarded military munition; or
4) Recycled?
I Yes
MATERIAL IS A SOLID WASTE
AND MAY BE A HAZARDOUS
WASTE SUBJECT TO RCRA
SUBTITLE C REGULATION
MATERIAL IS NOT A
SOLID WASTE AND IS
NOT SUBJECT TO
RCRA SUBTITLE C
REGULATION
III-7
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SECTION III
Managing Hazardous WasteRCRA Subtitle C
Chapter 1: Hazardous Waste Identification
material and the type of recycling (see Figure
111-4). Because some types of recycling pose
threats to human health and the environment,
RCRA does not exempt all recycled materials from
the definition of solid waste. As a result, the
manner in which a material is recycled will
determine whether or not the material is a solid
waste, and therefore potentially regulated as a
hazardous waste. In order to encourage waste
recycling, RCRA exempts three types of wastes
from the definition of solid waste:
Wastes Used as an Ingredient If a material
is directly used as an ingredient in a
production process without first being
reclaimed, then that material is not a solid
waste.
Wastes Used as a Product Substitute If a
material is directly used as an effective
substitute for a commercial product (without
first being reclaimed), it is exempt from the
definition of solid waste.
Wastes Returned to the Production Process
When a material is returned directly to the
production process (without first being
reclaimed) for use as a feedstock or raw
material, it is not a solid waste.
Conversely, materials are solid wastes, and are
not exempt, if they are recycled in certain ways. If
these materials are used in a manner constituting
disposal; burned for energy recovery, used to
produce a fuel, or contained in fuels; accumulated
Figure 111-4: ARE ALL RECYCLED WASTES SOLID WASTES?
Is waste recycled by being:
1) Used as an ingredient;
2) Used as a product substitute; or
3) Returned to the production process?
Yes
No
Is recycled waste:
1) Used in a manner constituting disposal
2) Burned for energy recovery, used to
produce a fuel, or contained in fuels;
3) Accumulated speculatively; or
4) A dioxin-containing waste considered
inherently waste-like?
\
No
WASTE S A SOL D WASTE
WASTE IS NOT A SOLID WASTE
Facility must determine if waste is a:
1) Spent material;
2) Sludge;
3) By-product;
4) Commercial chemical product; or
5) Scrap metal
III-8
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Managing Hazardous WasteRCRA Subtitle C
SECTION III
Chapter 1: Hazardous Waste Identification
speculative!)/; or dioxin-containing wastes
considered inherently waste-like; then they are
defined as solid wastes.
Used in a Manner Constituting Disposal
Use constituting disposal is the direct
placement of wastes or products containing
wastes (e.g., asphalt with petroleum-refining
wastes as an ingredient) on the land.
Burned for Energy Recovery, Used to Produce
a Fuel, or Contained in Fuels Burning
hazardous waste for fuel (e.g., burning for
energy recovery) and using wastes to produce
fuels are regulated activities. Conversely,
commercial products intended to be burned
as fuels are not considered solid wastes. For
example, off-specification jet fuel (e.g., a fuel
with minor chemical impurities) is not a solid
waste when it is burned for energy recovery,
because it is itself a fuel.
Accumulated Speculatively In order to
encourage recycling of wastes as well as
ensure that materials are actually recycled,
and not simply stored to avoid regulation, EPA
established a provision to encourage facilities
to recycle sufficient amounts in a timely
manner. This provision designates as solid
wastes those materials that are accumulated
speculatively. A material is accumulated
speculatively (e.g., stored in lieu of
expeditious recycling) if it has no viable
market or if the person accumulating the
material cannot demonstrate that at least 75
percent of the material is recycled in a
calendar year, commencing on January 1 (see
Figure III-5).
Dioxin-Containing Wastes Considered
Inherently Waste-Like Dioxin-containing
wastes are considered inherently waste-like
because they pose significant threats to human
health and the environment if released or
mismanaged. As a result, RCRA does not
exempt such wastes from the definition of
solid waste even if they are recycled through
direct use or reuse without prior reclamation.
This is to ensure that such wastes are subject
to the most protective regulatory controls.
Figure III-5: MATERIALS ACCUMULATED SPECULATIVELY
January 1998 ~\^_
1 J2
81
15
22
29
I
1\
23
30
3
10
17
\
3\
4
1 1
18
25
SU
5
12
19
26
6
13
20
27
7
14 ' t
21 _
28 _
200 Ibs. of recyclable material in
storage
December 1998 )_,
1
8
15
22
29
2
9
16
23
30
3
10
17
24
4
11
18
25
5
12
19
26
6
13
20
27
7 ,
14 ',
21 ,
28 ,
150 Ibs. of the same recyclable
material still in storage
On January 1, 1998, a facility has 200 Ibs. of a material that it wants to re-insert directly into its production process. Such a
material is technically exempt from the definition of solid waste because it is being recycled through direct reuse without prior
reclamation. However, by the end of the calendar year (December 31, 1998), less than 75 percent (i.e., less than 150 Ibs.) of the
material has been reclaimed or sent off site for reclamation. Therefore, the material has been speculatively accumulated and is
no longer exempt from the definition of solid waste. The material may then be regulated as a hazardous waste.
111-9
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SECTION III
Managing Hazardous WasteRCRA Subtitle C
Chapter 7: Hazardous Waste Identification
Secondary Materials
Not all materials can be directly used or
reused without reclamation. If such materials
need to be reclaimed before use, they are
generally regulated as solid wastes. However,
some materials that must be reclaimed prior to use
as a recyclable material may still be exempt from
the definition of solid waste. This depends on the
type of material that the waste is. In order to
facilitate this solid waste determination process,
EPA groups all materials into five categories.
These secondary materials consist of spent
materials, sludges, by-products, commercial
chemical products (CCPs), and scrap metal.
Spent Materials
Spent materials are materials that have been
used and can no longer serve the purpose for
which they were produced without processing.
For example, a solvent used to degrease metal
parts will eventually become contaminated such
that it cannot be used as a solvent until it is
regenerated. If a spent material must be
reclaimed, it is a solid waste and is subject to
hazardous waste regulation. Spent materials are
also regulated as solid wastes when used in a
manner constituting disposal; burned for energy
recovery, used to produce a fuel, or contained in
fuels; or accumulated speculatively (see Figure
111-6).
Figure 111-6: REGULATORY STATUS OF SECONDARY MATERIALS
These materials are solid wastes when...
Spent Materials
Listed Sludges
Characteristic Sludges
Listed By-products
Characteristic By-products
Commercial Chemical Products
Scrap Metal
Reclaimed
V
V
V
V
Used in a manner
constituting
disposal
V
V
V
V
V
V*
V
Burned for energy
recovery, used to produce
a fuel, or contained in fuels
V
V
V
V
V
V*
V
Accumulated
speculatively
V
V
V
V
V
V
* If such management is consistent with the product's normal use, then commercial chemical products used in a
manner constituting disposal or burned for energy recovery, used to produce a fuel, or contained in fuels are not
solid wastes.
V Material is a solid waste
III-10
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Managing Hazardous WasteRCRA Subtitle C
SECTION III
Chapter 7: Hazardous Waste Identification
Sludges
Sludges are any solid, semisolid, or liquid
wastes generated from a wastewater treatment
plant, water supply treatment plant, or air
pollution control device (e.g., filters, baghouse
dust). Sludges from specific industrial processes or
sources (known as listed sludges) are solid wastes
when reclaimed; used in a manner constituting
disposal; burned for energy recovery, used to
produce a fuel, or contained in fuels; or
accumulated speculatively. On the other hand,
characteristic sludges (which are sludges that
exhibit certain physical or chemical properties) are
not solid wastes when reclaimed, unless they are
used in a manner constituting disposal; burned for
energy recovery, used to produce a fuel, or
contained in fuels; or accumulated speculatively
(see Figure 111-6). (Listings and characteristics are
fully discussed later in this chapter.)
By-Procfucfs
By-products are materials that are not one of
the intended products of a production process.
An example is the sediment remaining at the
bottom of a distillation column. By-product is a
catch-all term and includes most wastes that are
not spent materials or sludges. Listed by-products
are solid wastes when reclaimed; used in a
manner constituting disposal; burned for energy
recovery, used to produce a fuel, or contained in
fuels; or accumulated speculatively. On the other
hand, characteristic by-products are not solid
wastes when reclaimed, unless they are used in a
manner constituting disposal; burned for energy
recovery, used to produce a fuel, or contained in
fuels; or accumulated speculatively (see Figure
111-6).
Commercial Chemical Products
Commercial chemical products are unused
or off-specification chemicals (e.g., chemicals that
have exceeded their shelf life), spill or container
residues, and other unused manufactured
products that are not typically considered
chemicals. CCPs are not solid wastes when
reclaimed, unless they are used in a manner
constituting disposal; or burned for energy
recovery, used to produce a fuel, or contained in
fuels (see Figure 111-6).
Scrap Metal
Scrap metal is worn or extra bits and pieces of
metal parts, such as scrap piping and wire, or
worn metal items, such as scrap automobile parts
and radiators. If scrap metal must be reclaimed, it
is a solid waste and is subject to hazardous waste
regulation. Scrap metal is also regulated as a solid
waste when used in a manner constituting
disposal; burned for energy recovery, used to
produce a fuel, or contained in fuels; or
accumulated speculatively. This does not apply to
processed scrap metal which is excluded from
hazardous waste generation entirely (as discussed
later in this chapter).
Sham Recycling
For all recycling activities, the above rules are
based on the premise that legitimate reclamation
or reuse is taking place. EPA rewards facilities
recycling some wastes by exempting them from
regulation, or by subjecting them to lesser
regulation. Some facilities, however, may claim
that they are recycling a material in order to avoid
being subject to RCRA regulation, when in fact the
activity is not legitimate recycling. EPA has
established guidelines for what constitutes
legitimate recycling and has described activities it
considers to be illegitimate or sham recycling.
Considerations in making this determination
include whether the secondary material is
effective for the claimed use, if the secondary
material is used in excess of the amount necessary,
and whether or not the facility has maintained
records of the recycling transactions.
Ill-11
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SECTION III
Managing Hazardous WasteRCRA Subtitle C
Chapter 7: Hazardous Waste Identification
SHAM RECYCLING
Sham recycling may include situations when a
secondary material is:
Ineffective or only marginally effective for the
claimed use (e.g., using certain heavy metal
sludges in concrete when such sludges do not
contribute any significant element to the
concrete's properties)
Used in excess of the amount necessary (e.g.,
using materials containing chlorine as an
ingredient in a process requiring chlorine, but in
excess of the required chlorine levels)
Handled in a manner inconsistent with its use as a
raw material or commercial product substitute
(e.g., storing materials in a leaking surface
impoundment as compared to a tank in good
condition that is intended for storing raw
materials).
IS THE WASTE EXCLUDED?
Not all RCRA solid wastes qualify as hazardous
wastes. Other factors must be considered before
deciding whether a solid waste should be
regulated as a hazardous waste. Regulation of
certain wastes may be impractical or otherwise
undesirable, regardless of the hazards that the
waste might pose. For instance, household waste
can contain dangerous chemicals, such as solvents
and pesticides, but subjecting households to the
strict RCRA waste management regulations would
create a number of practical problems. As a
result, Congress and EPA exempted or excluded
certain wastes, such as household wastes, from the
hazardous waste definition and regulations.
Determining whether or not a waste is excluded
or exempted from hazardous waste regulation is
the second step in the RCRA hazardous waste
identification process. There are four categories of
exclusions:
Exclusions from the definition of solid waste
Exclusions from the definition of hazardous
waste
Exclusions for waste generated in raw material,
product storage, or manufacturing units
Exclusions for laboratory samples and waste
treatability studies.
If the waste fits one of these categories, it is
not regulated as a RCRA hazardous waste, and the
hazardous waste requirements do not apply.
Solid Waste Exclusions
A material cannot be a hazardous waste if it
does not meet the definition of a solid waste.
Thus, wastes that are excluded from the definition
of solid waste are not subject to RCRA Subtitle C
hazardous waste regulation. There are 15
exclusions from the definition of solid waste.
Domestic Sewage and Mixtures of Domestic
Sewage
Domestic sewage, or sanitary waste, comes
from households, office buildings, factories, and
any other place where people live and work.
These wastes are carried by sewer to a municipal
wastewater treatment plant (called a publicly
owned treatment works (POTW)). The treatment
of these wastes is regulated under the Clean Water
Act (CWA). Mixtures of sanitary wastes and other
wastes (including hazardous industrial wastes) that
National
Pollutant
Discharge
Elimination
System
Discharge
Clean Water Act
Pretreatment Surface
Impoundments
Surface Waters of
the United States
III-12
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Managing Hazardous WasteRCRA Subtitle C
SECTION III
Chapter 7: Hazardous Waste Identification
pass through a sewer system to a POTW are also
excluded from Subtitle C regulation once they
enter the sewer.
Industrial Wastewater Discharges (Point Source
Discharges)
Another exclusion from RCRA designed to
avoid overlap with CWA regulations applies to
point source discharges. Point source discharges
are discharges of pollutants (e.g., from a pipe,
sewer, or pond) directly into a lake, river, stream,
or other water body. CWA regulates such
discharges under the National Pollutant Discharge
Elimination System (NPDES) permitting program.
Under this exclusion from the definition of solid
waste, wastewaters that are subject to CWA
regulations are exempt from Subtitle C regulation
at the point of discharge. Any hazardous waste
generation, treatment, or storage prior to the
discharge is subject to RCRA regulation. Many
industrial facilities that treat wastewater on site
utilize this point source discharge exclusion.
Irrigation Return Flows
When farmers irrigate agricultural land, water
not absorbed into the ground can flow into
reservoirs for reuse. This return flow often picks
up pesticide or fertilizer constituents, potentially
rendering it hazardous. Because this water may
be reused on the fields, it is excluded from the
definition of solid waste.
Radioactive Waste
Radioactive waste is regulated by either the
Nuclear Regulatory
Commission or the U.S.
Department of Energy
(DOE) under the
Atomic Energy Act
(AEA). To avoid
duplicative regulation
under RCRA and AEA,
RCRA excludes certain radioactive materials from
the definition of solid waste. However, RCRA
excludes only the radioactive components of the
waste. If a radioactive waste is mixed with a
hazardous waste, the resultant mixture is regulated
by both AEA and RCRA as a mixed waste.
Similarly, if a facility generates a hazardous waste
that is also radioactive, the material is a mixed
waste and is subject to regulation under both
RCRA and AEA (the regulatory status of mixed
waste is fully discussed later in this chapter).
In-Situ Mining Waste
In-situ (in-place) mining of certain minerals
may involve the application of solvent solutions
directly to a mineral deposit in the ground. The
solvent passes through the ground, collecting the
mineral as it moves. The mineral and solvent
mixtures are then collected in underground wells
where the solution is removed. Such solvent-
contaminated earth, or any nonrecovered solvent,
is excluded from the definition of solid waste
when left in place.
Pulping Liquors
Pulping liquor, also called black liquor, is a
corrosive material used to dissolve wood chips for
manufacturing of paper and other materials. To
promote waste minimization and recycling, EPA
excluded pulping liquors from the definition of
solid waste if they are reclaimed in a recovery
furnace and then reused in the pulping process. If
the liquors are recycled in another way, or are
accumulated speculatively they are not excluded.
Spent Sulfuric Acid
Spent sulfuric acid may be recycled to
produce virgin sulfuric acid. To promote waste
reduction and recycling, such recycled spent
sulfuric acid is excluded from the definition of
solid waste, unless the facility accumulates the
material speculatively.
Ill-13
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SECTION III
Managing Hazardous WasteRCRA Subtitle C
Chapter 7: Hazardous Waste Identification
Closed-Loop Recycling
To further promote waste reduction and
recycling, spent materials that are reclaimed and
returned to the original process in an enclosed
system of pipes and tanks are excluded from the
definition of solid waste, provided that:
Only tank storage is involved, and the entire
process, through reclamation, is closed to the
air (i.e., enclosed)
Reclamation does not involve controlled flame
combustion, such as that which occurs in
boilers, industrial furnaces, or incinerators
Waste materials are never accumulated in
tanks for more than 12 months without being
reclaimed
Reclaimed materials are not used to produce a
fuel, or used to produce products that are
used in a manner constituting disposal.
An example of such a closed-loop system
might include a closed solvent recovery system in
which the dirty solvents are piped from the
degreasing unit to a solvent still where the solvent
is cleaned, and then piped back to the degreasing
unit.
Spent Wood Preservatives
Many wood preserving plants recycle their
wastewaters and spent wood preserving solutions.
These materials are collected on drip pads and
sumps, and are in many cases returned directly to
the beginning of the wood preserving process
where they are reused in the same manner. While
the process resembles a closed-loop recycling
process, the closed-loop recycling exclusion does
not apply because drip pads are open to the air.
Consistent with their objective to encourage
recycling hazardous waste, EPA developed two
specific exclusions for spent wood preserving
solutions and wastewaters containing spent
preservatives, provided that the materials have
been reclaimed and are reused for their original
purpose. In addition, EPA proposed to exclude
wood preserving solutions and wastewaters from
the definition of solid waste prior to reclamation.
In order to use this proposed exclusion, a facility
would be required to reuse the materials for their
intended purpose, and manage them in a way that
prevented releases to the environment.
Coke By-Product Wastes
Coke, used in the production of iron, is made
by heating coal in high temperature ovens.
Throughout the production process many by-
products are created. The refinement of these
coke by-products generates several listed and
characteristic wastestreams. However, to promote
recycling of these wastes, EPA provided an
exclusion from the definition of solid waste for
certain coke by-product wastes that are recycled
into new products.
Splash Condenser Dross Residue
The treatment of steel production pollution
control sludge generates a zinc-laden residue,
called a dross. This material, generated from a
splash condenser in a high temperature metal
recovery process, is known as a splash condenser
dross residue. Because this material contains 50
to 60 percent zinc, it is often reclaimed, reused, or
processed as a valuable recyclable material. Since
facilities commonly handle this material as a
valuable commodity by managing it in a way that
is protective of human health and the
environment, EPA excluded this residue from the
definition of solid waste.
Ill-14
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Managing Hazardous WasteRCRA Subtitle C
SECTION III
Chapter 7: Hazardous Waste Identification
Recovered Oil From Petroleum Refining
Operations
Petroleum refining facilities sometimes recover
oil from oily wastewaters and reuse this oil in the
refining process. In order to encourage waste
minimization and recycling, EPA excluded such
recovered oil from the definition of solid waste
when it is returned to the refinery.
Comparable Fuels
In order to promote the recycling of materials
with high fuel values, certain materials that are
burned as fuels are excluded from the definition
of solid waste, provided that they meet certain
specifications (i.e., are of a certain degree of
purity). This is to ensure that the material does
not exceed certain levels of toxic constituents and
physical properties that might impede burning.
Materials that meet this specification are
considered comparable to pure or virgin fuels.
Processed Scrap Metal
Scrap metal includes, but is not limited to,
pipes, containers, equipment, wire, and other
metal items that are no longer of use. To facilitate
recycling, scrap metal that has been processed to
make it easier to handle or transport and is sent
for metals recovery is excluded from the definition
of solid waste.
Shredded Circuit Boards
Circuit boards are metal boards that hold
computer chips, thermostats, batteries, and other
electronic components. Circuit boards can be
found in computers, televisions, radios, and other
electronic equipment. When this equipment is
thrown away, these boards can be removed and
recycled. Whole circuit boards meet the
definition of scrap metal, and are therefore
exempt from hazardous waste regulation when
recycled (as discussed in Section III, Chapter 2).
On the other hand, some recycling processes
involve shredding the board. Such shredded
boards do not meet the exclusion for recycled
scrap metal. In order to facilitate the recycling of
such materials, EPA excluded recycled shredded
circuit boards from the definition of solid waste,
provided that they are stored in containers
sufficient to prevent release to the environment,
and are free of potentially dangerous components,
such as mercury switches, mercury relays, nickel-
cadmium batteries, and lithium batteries.
Hazardous Waste
Exemptions
EPA also exempts certain
solid wastes from the definition
of hazardous waste. If a
material meets an exemption
from the definition of hazardous waste, it cannot
be a hazardous waste, even if the material
technically meets a listing or exhibits a
characteristic. There are 13 exemptions from the
definition of hazardous waste.
Household Hazardous Waste
Households often generate solid wastes that
could technically be hazardous wastes (e.g., old
solvents, paints, pesticides, fertilizer, poisons).
However, it would be impossible to regulate every
house in the United States that occasionally threw
away a can of paint thinner or a bottle of rat
poison. Therefore, EPA developed the household
waste exemption. Under this exemption, wastes
generated by normal household activities (e.g.,
routine house and yard maintenance) are exempt
from the definition of hazardous waste. EPA has
expanded the exemption to include household-
like areas, such as bunkhouses, ranger stations,
crew quarters, campgrounds, picnic grounds, and
day-use recreation areas. While household
hazardous waste is exempt from Subtitle C, it is
regulated under Subtitle D as a solid waste (as
discussed in Section II).
Ill-15
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SECTION III
Managing Hazardous WasteRCRA Subtitle C
Chapter 7: Hazardous Waste Identification
Agricultural Waste
To prevent overregulation of farms and
promote waste recycling, solid wastes generated
by crop or animal farming are excluded from the
definition of hazardous waste provided that the
wastes are returned to the ground as fertilizers or
soil conditioners. Examples of such wastes are
crop residues and manures.
Mining Overburden
After an area of a surface mine has been
depleted, it is common practice to return to the
mine the earth and rocks (overburden) that were
removed to gain access to ore deposits. When the
material is returned to the mine site, it is not a
hazardous waste under RCRA.
Bev/7/ and Benfsen Wastes
In the Solid Waste Disposal Act Amendments
of 1980, Congress amended RCRA by exempting
oil, gas, and geothermal exploration,
development, and production wastes (Bentsen
wastes); fossil fuel combustion wastes; mining and
mineral processing wastes; and cement kiln dust
wastes (Bevill wastes) from the definition of
hazardous waste pending further study by EPA.
These wastes were temporarily exempted because
they were produced in very large volumes, were
thought to pose less of a hazard than other wastes,
and were generally not amenable to the
management practices required under RCRA. The
following paragraphs describe these exemptions in
detail.
Fossil Fuel Combustion Waste
In order to accommodate effective study, fossil
fuel combustion wastes were divided into two
categories, large-volume coal-fired utility wastes
and remaining wastes. After studying these
wastes, in 1993, EPA decided to permanently
exempt large-volume coal-fired utility wastes,
including fly ash, bottom ash, boiler slag, and flue
gas emission control waste from the definition of
hazardous waste. EPA continues to study the
remaining wastes. Until a final determination is
made, these wastes will remain exempt. The
remaining waste category includes, but is not
limited to, wastes from utilities burning other
noncoal fossil fuels and wastes from nonutility
boilers burning any type of fossil fuel.
Oil, Gas, and Geothermal Wastes
Certain wastes from the exploration and
production of oil, gas, and geothermal energy are
excluded from the definition of hazardous waste.
These wastes include those that have been
brought to the surface during oil
and gas exploration and
production operations, and
other wastes that have
come into contact with the
oil and gas production
stream (e.g., during
removal of waters injected
into the drill well to cool
the drill bit).
Mining and Mineral Processing Wastes
Certain wastes from the mining, refining, and
processing of ores and minerals are excluded from
the definition of hazardous waste.
Cement Kiln Dust
Cement kiln dust is a fine-grained solid by-
product generated during the cement
manufacturing process and captured in a facility's
air pollution control system. After study, EPA
decided to develop specific regulatory provisions
for cement kiln dust. Until EPA promulgates these
new regulatory controls, however, cement kiln
dust will generally remain exempt from the
definition of hazardous waste.
Ill-16
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Managing Hazardous WasteRCRA Subtitle C
SECTION III
Chapter 7: Hazardous Waste Identification
Tr/Vo/enf Chromium Wastes
The element chromium exists in two forms,
hexavalent and trivalent. EPA determined that
while hexavalent chromium poses enough of a
threat to merit regulation as a characteristic
hazardous waste, trivalent chromium does not.
Therefore, to prevent unnecessary regulation, EPA
excluded, from the definition of hazardous waste,
trivalent chromium-bearing hazardous wastes from
certain leather tanning, shoe manufacturing, and
leather manufacturing industries.
Arsenically Treated Wood
Discarded arsenically treated wood or wood
products that are hazardous only because they
exhibit certain toxic characteristics (e.g., contain
harmful concentrations of metal or pesticide
constituents), are excluded from the definition of
hazardous waste. Once such treated wood is
used, it may be disposed of by the user
(commercial or residential) without being subject
to hazardous waste regulation. This exclusion is
based on the fact that the risks posed by the use of
such wood products on the land is identical to
those posed by the wood's disposal. For example,
arsenically treated telephone poles that are used
as products on the land pose risks similar to the
disposal of such poles. This exclusion applies only
to end-users and not to manufacturers.
Petroleum-Contaminated Media and Debris
from Underground Storage Tanks
USTs are used to store petroleum (e.g., oil)
and hazardous substances (e.g., ammonia). When
these tanks leak, the UST program under RCRA
Subtitle I provides requirements for cleaning up
such spills (the regulatory requirements for USTs
are fully discussed in Section IV). To facilitate the
corrective action process under the UST
regulations, contaminated media (soils and ground
water) and debris (tanks and equipment) at sites
undergoing UST cleanup that are hazardous only
because they exhibit certain toxic characteristics
(e.g., contain a harmful concentrations of
leachable organic constituents) are excluded from
the definition of hazardous waste.
Spent Chlorofluorocarbon Refrigerants
Chlorofluorocarbons (CFCs) released to the
atmosphere damage the stratospheric ozone layer.
To promote recycling and discourage the practice
of venting used CFCs to the atmosphere as a
means of avoiding Subtitle C regulation, EPA
excluded recycled CFCs from the definition of
hazardous waste since the refrigerants are
generally reclaimed for reuse.
Used O/7 F/7ters
In order to promote the
recycling and recovery of metals
and other products from used oil
filters, EPA exempted used oil
filters that have been properly
drained to remove the used oil.
Used Oil Distillation Bottoms
When used oil is recycled, residues (called
distillation bottoms) form at the bottom of the
recycling unit. To promote used oil recycling and
the beneficial reuse of waste materials, EPA
excluded these residues from the definition of
hazardous waste when the bottoms are used as
ingredients in asphalt paving and roofing
materials.
Raw Material, Product Storage, and
Process Unit Waste Exclusions
Hazardous wastes generated in raw material,
product storage, or process (e.g., manufacturing)
units are exempt from Subtitle C hazardous waste
regulation while the waste remains in such units.
These units include tanks, pipelines, vehicles, and
vessels used either in the manufacturing process or
III-17
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SECTION III
Managing Hazardous WasteRCRA Subtitle C
Chapter 7: Hazardous Waste Identification
for storing raw materials or products, but
specifically do not include surface impoundments.
Once the waste is removed from the unit, or
when a unit temporarily or permanently ceases
operation for 90 days, the waste is considered
generated and is subject to regulation.
Sample and Treatability Study Exclusions
Hazardous waste samples are small, discrete
amounts of hazardous waste that are essential to
ensure accurate characterization and proper
hazardous waste treatment. In order to facilitate
the analysis of these materials, RCRA exempts
characterization samples and treatability study
samples from Subtitle C hazardous waste
regulation.
Waste Characterization Samples
Samples sent to a lab to determine whether or
not a waste is hazardous are exempt from
regulation. Such samples (typically less than one
gallon of waste) are excluded from Subtitle C
regulation, provided that these samples are
collected and shipped for the sole purpose of
determining hazardous waste characteristics or
composition. Storage, transportation,
and testing of the sample
are excluded from RCRA
regulation even when the lab
testing is complete, provided the sample is
returned to the generator, and other specific
provisions are met. When shipping the
sample to or from the laboratory, the sample
collector must comply with certain labeling
requirements, as well as any applicable U.S.
Postal Service (USPS) or U.S. Department of
Transportation (DOT) shipping requirements.
Treofob/7/fy Study Samples
To determine if a particular treatment method
will be effective on a given waste or what types of
wastes remain after the treatment is complete,
facilities send samples of waste to a lab for testing.
EPA conditionally exempts those who generate or
collect samples for the sole purpose of conducting
treatability studies from the hazardous waste
regulations, provided that certain requirements,
including packaging, labeling, and recordkeeping
provisions, are met. In addition, under specific
conditions, laboratories conducting such
treatability studies may also be exempt from
Subtitle C regulation.
IS THE WASTE A LISTED HAZARDOUS
WASTE?
After a facility determines that its waste is a
solid waste and is not either excluded from the
definitions of solid or hazardous waste or exempt
from Subtitle C hazardous waste regulation, the
owner and operator must determine if the waste is
a hazardous waste. The first step in this process is
determining if the waste is a listed hazardous
waste. The hazardous waste listings consist of four
lists:
The F list
The K list
The P list
The U list.
Listed wastes are wastes from generic
industrial processes, wastes from certain sectors of
industry, and unused pure chemical products and
formulations. Because these wastes are dangerous
enough to warrant full Subtitle C regulation based
on their origin, any waste fitting a narrative listing
description is considered a listed hazardous waste.
Listing Criteria
Before developing each hazardous waste
listing, EPA thoroughly studies a particular
wastestream and the threats that it can pose to
human health and the environment. If the waste
poses enough of a threat, EPA includes a precise
description of that waste on one of four hazardous
waste lists within the regulations.
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Managing Hazardous WasteRCRA Subtitle C
SECTION III
Chapter 7: Hazardous Waste Identification
In order to determine whether a waste should
be listed in the first place, the Agency developed a
set of criteria to use as a guide and a consistent
frame of reference when considering listing a
wastestream. EPA only uses these criteria when
evaluating whether to list a waste, as these listing
criteria cannot be used by waste handlers for
waste identification purposes. Waste handlers
must instead consult the actual listings to
determine if their waste is regulated as a listed
hazardous waste.
There are four different criteria EPA uses to
decide whether or not to list a waste as hazardous.
Note that these four criteria do not directly
correspond to the four different lists of hazardous
waste. The four criteria are:
The waste typically contains harmful chemicals
(and other factors, such as risk and
bioaccumulation potential) which indicate that
it could pose a threat to human health and the
environment in the absence of special
regulation. Such wastes are known as toxic
listed wastes.
The waste contains such dangerous chemicals
that it could pose a threat to human health
and the environment even when properly
managed. These wastes are fatal to humans
and animals even in low doses. Such wastes
are known as acute hazardous wastes.
The waste typically exhibits one of the four
characteristics of hazardous waste: ignitability,
corrosivity reactivity, and toxicity.
EPA has cause to believe that, for some other
reason, the waste typically fits within the
statutory definition of hazardous waste
developed by Congress.
DEFINITION OF HAZARDOUS WASTE
In RCRA §1004(5), Congress defined hazardous
waste as a solid waste, or combination of solid
wastes, which because of its quantity, concentration,
or physical, chemical, or infectious characteristics
may:
(a) Cause, or significantly contribute to, an increase
in mortality or an increase in serious irreversible,
or incapacitating reversible, illness; or
(b) Pose a substantial present or potential hazard to
human health or the environment when
improperly treated, stored, transported, or
disposed of, or otherwise managed.
Based on this broad definition, Congress instructed
EPA to develop more specific criteria for defining
solid and hazardous waste. Congress believed that
EPA should define hazardous waste using two
different mechanisms: by listing certain specific solid
wastes as hazardous (i.e., wastes from certain
industrial processes or sources), and by identifying
characteristics (i.e., physical or chemical properties)
which, when exhibited by a solid waste, make it
hazardous. Taking Congress'lead, EPA proceeded
to develop an elaborate definition of hazardous
waste that included both of these mechanisms.
Hazardous Waste Listings
EPA has applied the listing criteria to hundreds
of specific industrial wastestreams. These wastes
are grouped into the four lists located at 40 CFR
Part 261, Subpart D. Listed wastes are organized
as follows:
The F list The F list includes wastes from
certain common industrial and manufacturing
processes. Because the processes generating
these wastes can occur in different sectors of
industry, the F list wastes are known as wastes
from nonspecific sources. The F list is codified
in the regulations at 40 CFR §261.31.
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SECTION III
Managing Hazardous WasteRCRA Subtitle C
Chapter 7: Hazardous Waste Identification
HAZARD CODES
To indicate its reason for listing a waste, EPA assigns
a hazard code to each waste listed on the F, K, P,
and U lists. The last four hazard codes in the table
below apply to wastes that have been listed because
they typically exhibit one of the four regulatory
characteristics of hazardous waste. The first two
hazard codes apply to listed wastes whose
constituents pose additional threats to human health
and the environment. The hazard codes indicating
the basis for listing a waste are:
Toxic Waste (T)
Acute Hazardous Waste (H)
Ignitable Waste (I)
Corrosive Waste (C)
Reactive Waste (R)
Toxicity Characteristic Waste (E)
The hazard codes assigned to listed wastes affect
the regulations that apply to handling the waste. For
instance, acute hazardous wastes accompanied by
the hazard code (H) are subject to stricter
management standards than most other wastes.
The K list The K list includes wastes from
specific industries. As a result, K list wastes are
known as wastes from specific sources. The K
list is found at 40 CFR §261.32.
The P list and the U list These two lists
include pure or commercial grade
formulations of specific unused chemicals.
Chemicals are included on the P list if they are
acutely toxic. A chemical is acutely toxic if it
is fatal to humans in low doses, if scientific
studies have shown that it has lethal effects on
experimental organisms, or if it causes serious
irreversible or incapacitating illness. The U list
is generally comprised of chemicals that are
toxic, but also includes chemicals that display
other characteristics, such as ignitability or
reactivity. Both the P list and U list are
codified at 40 CFR §261.33.
Each list includes anywhere from 30 to a few
hundred listed hazardous wastestreams. All of the
wastes on these lists are assigned an identification
number (i.e., a waste code) consisting of the letter
associated with the list (i.e., F, K, P, or U) followed
by three numbers. For example, wastes on the F
list may be assigned a waste code ranging from
F001 to F039, while wastes on the K list may be
assigned a waste code ranging from K001 to K161.
These waste codes are an important part of the
RCRA regulatory system since waste code
assignment has important implications for the
future management standards that will apply to
the waste.
The F List: Wastes From Nonspecific Sources
The F list designates hazardous wastes from
common industrial and manufacturing processes.
F list wastes usually consist of chemicals that have
been used for their intended purpose in an
industrial process. The F list wastes can be
divided into seven groups, depending on the type
of manufacturing or industrial operation that
creates them:
Spent solvent wastes (waste codes F001
through F005)
wastes
Electroplating and other metal finishing
(F006 through F012 and F019)
Dioxin-bearing wastes (F020 through F023
and F026 through F028)
Chlorinated aliphatic hydrocarbons
production wastes (F024 and F025)
Wood preserving wastes (F032, F034, and
F035)
Petroleum refinery wastewater treatment
sludges (F037 and F038)
Multisource leachate (F039).
Spent Solvent Wastes
The spent solvent waste listings (F001 through
F005) apply to wastestreams that are generated
from the use of certain common organic solvents.
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Managing Hazardous WasteRCRA Subtitle C
SECTION III
Chapter 7: Hazardous Waste Identification
Solvents are commonly used in various industries,
such as mechanical repair, dry cleaning, and
electronics manufacturing, for degreasing and
cleaning in addition to other functions. While
solvents are chemicals with many uses, these
listings only apply to solvents that are used as
solvents for their solvent properties (e.g., to
solubilize, dissolve, or mobilize other constituents)
and are spent (e.g., cannot be used further
without reprocessing). In addition, these listings
only apply to solvents that contain one or more of
the specific organic solvent constituents found in
the F001-F005 narrative descriptions. Lastly, these
listings only cover solvents that were above a
certain concentration before use.
Electroplating and Other Metal Finishing
Wastes
The electroplating and other metal finishing
waste listings (F006 through F012 and F019) apply
to wastestreams that are commonly produced
during electroplating and other metal finishing
operations. Diverse industries use electroplating
and other methods to change the surface of metal
objects in order to enhance the appearance of the
objects, make them more resistant to corrosion, or
impart some other desirable property to them.
Industries involved in plating and metal finishing
range from jewelry manufacture to automobile
production.
Dioxin-Bearing Wastes
The dioxin-bearing waste listings (F020
through F023 and F026 through F028) describe a
number of wastestreams that EPA believes are
likely to contain dioxins, which are allegedly
among the most dangerous known chemical
compounds. The dioxin listings apply primarily to
manufacturing process wastes from the production
of specific pesticides or specific chemicals used in
the production of pesticides. With the exception
of F028, all of the dioxin-bearing wastes are
considered acutely hazardous wastes and are
designated with the hazard code (H). These
wastes are therefore subject to stricter
management standards than other hazardous
wastes.
Chlorinated Aliphatic Hydrocarbon
Production Wastes
The chlorinated aliphatic hydrocarbons
production wastes (F024 and F025) list certain
wastestreams produced by the manufacture of
chlorinated aliphatic hydrocarbons. Chlorinated
aliphatic hydrocarbons are used in the
manufacture of certain pesticides and fire
retardants.
Wood Preserving Wastes
The wood preserving waste listings (F032,
F034, and F035) apply to certain wastes from
wood preserving operations. Most wood used for
construction or other nonfuel applications is
chemically treated to slow the deterioration
caused by decay and insects. For example,
telephone poles, railroad cross ties, and other
wood products are treated to withstand the rigors
of outdoor use.
Wood preservation typically involves coating
lumber with pentachlorophenol, creosote, or
preservatives containing arsenic or chromium.
The wood preserving process creates wastestreams
containing these chemicals, such as excess
preservative solution that drips from wood
products after treatment. Waste from wood
preservation using pentachlorophenol is F032,
waste from use of creosote is F034, and waste
from treating wood with arsenic or chromium is
F035.
These listings (as well as some K list waste
listings) also apply to a variety of other residues
from wood preserving.
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SECTION III
Managing Hazardous WasteRCRA Subtitle C
Chapter 7: Hazardous Waste Identification
Petroleum Refinery Wastewater Treatment
Sludges
The petroleum refinery wastewater treatment
sludge listings (F037 and F038) apply to specific
wastestreams from petroleum refineries. The
petroleum refining process
typically creates large
quantities of
contaminated wastewater.
Before this wastewater
can be discharged to a
river or sewer, it must be
treated to remove oil,
solid material, and
chemical pollutants.
To remove most of this oily waste from the
wastewater, refineries typically use two methods.
In the first step, gravity separates the pollutants
from the wastewater. The solids and heavier
pollutants sink to the bottom of a tank, forming a
sludge, while the lighter materials (called float)
float to the surface of the wastewater, where they
can be skimmed off. This sludge is F037. The
second step uses physical (stirring or agitating) and
chemical means to separate remaining pollutants
from the wastewater into sludge and float. This
sludge and float are F038.
Multisource Leachate
The F039 listing applies to multisource
leachate, the liquid material that accumulates at
the bottom of a hazardous waste landfill. The
leachate that percolates through landfills,
particularly hazardous waste landfills, usually
contains high concentrations of chemicals, and is
often collected to minimize the potential for it to
enter and contaminate the soil or ground water
below the unit.
The K List: Wastes From Specific Sources
The K list designates hazardous wastes from
specific sectors of industry and manufacturing.
Like F list wastes, K list wastes are manufacturing
process wastes, and usually consist of chemicals
that have been used for their intended purpose.
To determine whether a waste qualifies as K-
listed, a facility must first determine whether the
waste fits within one of the 17 different industrial
or manufacturing categories on the list. Second, a
facility must determine if this waste matches one
of the detailed K list waste descriptions in 40 CFR
§261.32. The 1 7 industries that generate K list
wastes are:
Wood preservation
Organic chemicals manufacturing
Pesticides manufacturing
Petroleum refining
Primary copper production
Primary zinc production
Ferroalloys production
Veterinary pharmaceuticals manufacturing
Inorganic pigment manufacturing
Inorganic chemicals manufacturing
Explosives manufacturing
Iron and steel production
Primary lead production
Primary aluminum production
Secondary lead processing
Ink formulation
Coking (processing of coal to produce coke, a
material used in iron and steel production).
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Managing Hazardous WasteRCRA Subtitle C
SECTION III
Chapter 7: Hazardous Waste Identification
The P and U Lists: Discarded Commercial
Chemical Products
The P and U lists designate as hazardous waste
pure and commercial grade formulations of
certain unused chemicals that are being disposed.
Unused chemicals may become wastes for a
number of reasons. For example, some unused
chemicals are spilled by accident. Others are
intentionally discarded because they are off-
specification and cannot serve the purpose for
which they were originally produced. For a waste
to qualify as P- or U-listed, the waste must meet
the following three criteria:
The waste must contain one of the chemicals
listed on the P or U list
The chemical in the waste must be unused
The chemical in the waste must be in the form
of a CCR
For purposes of the P and U lists, a CCP is
defined as a chemical that is one of the following:
100 percent pure
Technical (e.g., commercial) grade
The sole active ingredient in a chemical
formulation.
While 100 percent pure means that the
chemical is the only chemical constituent in the
product, technical grade means that the
formulation is not 100 percent pure, but is of a
grade of purity that is either marketed or
recognized in general usage by the chemical
industry. Sole active ingredient means that the
chemical is the only ingredient serving the
function of the formulation. For instance, a
pesticide made for killing insects may contain a
poison such as heptachlor, as well as various
solvent ingredients which act as carriers or lend
other desirable properties to the poison. Although
all of these chemicals may be capable of killing
insects, only the heptachlor serves the primary
purpose of the insecticide product. The other
chemicals involved are present for other reasons,
not because they are poisonous. Therefore,
heptachlor is the sole active ingredient in such a
formulation even though it may be present in low
concentrations.
Delistings
The RCRA regulations provide a form of relief
for listed wastes with low concentrations of
hazardous constituents. Through a site-specific
process known as delisting, a waste handler can
submit to an EPA Region or state a petition
demonstrating that even though a particular
wastestream generated at its facility is a listed
hazardous waste, it does not pose sufficient
hazard to merit RCRA regulation. For example, a
waste generated at a specific facility may meet a
listing description even though the process uses
different raw materials than EPA assumed were
used when listing the waste, thus the waste may
not contain the contaminants for which it was
listed. Similarly, after treatment of a listed waste,
the residue may no longer pose a threat to human
health and the environment.
Specifically, the petition must demonstrate that
the waste does not:
Meet the criteria for which it was listed
Exhibit any hazardous waste characteristics (as
discussed later in this chapter)
Pose a threat to human health and the
environment by being hazardous for any other
reason (e.g., does not contain additional
constituents that could pose a threat).
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SECTION III
Managing Hazardous WasteRCRA Subtitle C
Chapter 7: Hazardous Waste Identification
If the EPA Region or state grants a delisting
petition, the particular wastestream at that facility
will not be regulated as a listed hazardous waste.
IS THE WASTE A CHARACTERISTIC
HAZARDOUS WASTE?
After a facility determines its waste is a solid
waste and is not excluded from the definitions of
solid or hazardous waste, it must determine if the
waste is a hazardous waste. This entails
determining if the waste is listed, and also if the
waste is characteristic. Even if a waste is a listed
hazardous waste, the facility must then still
determine if the waste exhibits a characteristic.
Characteristic wastes are wastes that exhibit
measurable properties which indicate that a waste
poses enough of a threat to deserve regulation as
hazardous waste. EPA tried to identify
characteristics which, when present in a waste,
can cause death or illness in humans or lead to
ecological damage. The characteristics are an
essential supplement to the hazardous waste
listings. For example, some wastes may not meet
any listing description because they do not
originate from specific industrial or process
sources, but the waste may still pose threats to
DETERMINING BOTH LISTINGS AND
CHARACTERISTICS
A facility must determine both listings and
characteristics. Even if a waste is a listed
hazardous waste, the facility must then still
determine if the waste exhibits a characteristic
because waste generators are required to fully
characterize their listings. While some wastes
may not meet any listing description because
they do not originate from specific industrial or
process sources, the waste may still pose
threats to human health and the environment.
As a result, a facility is also required to
determine whether such a waste possesses a
hazardous property (i.e., exhibits a hazardous
waste characteristic).
human health and the environment. As a result, a
facility is also required to determine whether such
a waste possesses a hazardous property (i.e.,
exhibits a hazardous waste characteristic). The
characteristics are applied to any waste from any
industry.
Even if a waste does meet a hazardous waste
listing description, the facility must still determine
if the waste exhibits a characteristic. If such listed
wastes do exhibit a characteristic, the waste poses
an additional hazard to human health and the
environment, and may necessitate additional
regulatory precautions. For example, wastes that
are both listed and characteristic may have more
extensive LDR requirements, than those that are
only listed (the LDR program is fully discussed in
Section III, Chapter 6).
EPA decided that the characteristics of
hazardous waste should be detectable by using a
standardized test method or by applying general
knowledge of the waste's properties. Given these
criteria, EPA established four hazardous waste
characteristics:
Ignitability
Corrosivity
Reactivity
Toxicity.
Ignitability
The ign it ability characteristic identifies
wastes that can readily catch fire and sustain
combustion. Many paints, cleaners, and other
industrial wastes pose such a hazard. Liquid and
nonliquid wastes are treated differently by the
ignitability characteristic.
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Managing Hazardous WasteRCRA Subtitle C
SECTION III
Chapter 7: Hazardous Waste Identification
Most ignStable
wastes are liquid in
physical form. EPA
selected a flash
point test as the
method for
determining
whether a liquid
waste is
The ignitability characteristic
identifies wastes that can
readily catch fire and sustain
combustion.
combustible enough to deserve
regulation as hazardous. The flash point test
determines the lowest temperature at which the
fumes above a waste will ignite when exposed to
flame.
Many wastes in solid or nonliquid physical
form (e.g., wood, paper) can also readily catch fire
and sustain combustion, but EPA did not intend to
regulate most of these nonliquid materials as
ignitable wastes. A nonliquid waste is considered
ignitable if it can spontaneously catch fire or catch
fire through friction or absorption of moisture
under normal handling conditions and can burn
so vigorously that it creates a hazard. Certain
compressed gases are also classified as ignitable.
Finally, substances meeting the Department of
Transportation's definition of oxidizer are classified
as ignitable wastes. Ignitable wastes carry the
waste code D001 and are among the most
common hazardous wastes. The regulations
describing the characteristic of ignitability are
codified at 40 CFR §261.21.
Corrosiviiy
The corrosivity
characteristic
identifies wastes
that are acidic or
alkaline (basic).
Such wastes can
readily corrode or
dissolve flesh,
metal, or other
The corrosivity characteristic
identifies wastes that are
acidic or alkaline (basic) and
can readily corrode or
dissolve flesh, metal, or
other materials.
materials. They are also among the most common
hazardous wastes. An example is waste sulfuric
acid from automotive batteries. EPA uses two
criteria to identify liquid and aqueous corrosive
hazardous wastes. The first is a pH test. Aqueous
wastes with a pH greater than or equal to 12.5 or
less than or equal to 2 are corrosive. A liquid
waste may also be corrosive if it has the ability to
corrode steel under specific conditions. Physically
solid, nonaqueous wastes are not evaluated for
corrosivity. Corrosive wastes carry the waste code
D002. The regulations describing the corrosivity
characteristic are found at 40 CFR §261.22.
The reactivity characteristic
identifies wastes that readily
explode or undergo violent
reactions.
Reactivity
The reactivity
characteristic
identifies wastes
that readily
explode or
undergo violent
reactions.
Common
examples are
discarded
munitions or explosives. In many cases, there is
no reliable test method to evaluate a waste's
potential to explode or react violently under
common handling conditions. Therefore, EPA
uses narrative criteria to define most reactive
wastes and requires waste handlers to use their
best judgment in determining if a waste is
sufficiently reactive to be regulated. This is
possible because reactive hazardous wastes are
relatively uncommon and the dangers that they
pose are believed to be well known to the few
waste handlers who deal with them.
A waste is reactive if it meets any of the
following criteria:
It can explode or violently react when
exposed to water or under normal handling
conditions
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SECTION III
Managing Hazardous WasteRCRA Subtitle C
Chapter 7: Hazardous Waste Identification
It can create toxic fumes or gases when
exposed to water or under normal handling
conditions
It meets the criteria for classification as an
explosive under DOT rules
It generates toxic levels of sulfide or cyanide
gas when exposed to a pH range of 2 through
12.5.
Wastes exhibiting the characteristic of
reactivity are assigned the waste code D003. The
reactivity characteristic is described in the
regulations at 40 CFR §261.23.
Toxicity
When hazardous waste is disposed of in a
land disposal unit, toxic compounds or elements
can leach into underground drinking water
supplies and expose users of the water to
hazardous chemicals and constituents. EPA
developed the toxicity characteristic (TC) to
identify wastes likely to leach dangerous
concentrations of toxic chemicals into ground
water.
In order to predict whether any particular
waste is likely to leach chemicals into ground
water at dangerous levels, EPA designed a lab
procedure to replicate the leaching process and
other conditions that occur when wastes are
buried in atypical municipal landfill. This lab
procedure is known as the Toxicity Characteristic
Leaching Procedure (TCLP).
The regulations require a facility to apply the
TCLP to its hazardous waste samples in order to
create a liquid leachate. This leachate would be
similar to the leachate generated by a landfill
containing a mixture of household and industrial
wastes. Once this leachate is created via the
TCLP, the waste handler must determine whether
it contains any of 40 different toxic chemicals in
amounts above the specified regulatory levels (see
Figure III-7). These regulatory levels are based on
ground water modeling studies and toxicity data
that calculate the limit above which these
common toxic compounds and elements will
threaten human health and the environment. If
the leachate sample contains a concentration
above the regulatory limit for one of the specified
chemicals, the waste exhibits the toxicity
characteristic and carries the waste code
associated with that compound or element. The
regulations describing the toxicity characteristic
Figure III-7: TCLP REGULATORY LEVELS
Waste Code
D004
D005
D018
D006
D019
D020
D021
D022
D007
D023
D024
D025
D026
D016
D027
D028
D029
D030
D012
D031
D032
D033
D034
D008
D013
D009
D014
D035
D036
D037
D038
D010
D011
D039
D015
D040
D041
D042
D017
D043
Contaminant
Arsenic
Barium
Benzene
Cadmium
Carbon tetrachloride
Chlordane
Chloro benzene
Chloroform
Chromium
o-Cresol*
m-Cresol*
D-Cresol*
Total Cresols*
2,4-D
1 ,4-Dichlorobenzene
1 ,2-Dichloroethane
1,1-Dichloroethvlene
2,4-Dinitrotoluene
Endrin
Heptachlor (and its epoxide)
Hexachlorobenzene
Hexachlorobutadiene
Hexachloroethane
Lead
Lindane
Mercury
Methoxvchlor
Methyl ethvl ketone
Nitrobenzene
Pentachlorophenol
Pvridine
Selenium
Silver
Tetrachloroethvlene
Toxaphene
Trichloroethvlene
2,4,5-Trichlorophenol
2,4,6-Trichlorophenol
2,4,5-TP (Silvex)
Vinyl chloride
Concentration
5.0
100.0
0.5
1.0
0.5
0.03
100.0
6.0
5.0
200.0
200.0
200.0
200.0
10.0
7.5
0.5
0.7
0.13
0.02
0.008
0.1
0.5
3.0
5.0
0.4
0.2
10.0
200.0
2.0
100.0
5.0
1.0
5.0
0.7
0.5
0.5
400.0
2.0
1.0
0.2
*if o-, m-, and p-cresols cannot be individually measured,
the regulatory level for total cresols is used.
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Managing Hazardous WasteRCRA Subtitle C
SECTION III
Chapter 7: Hazardous Waste Identification
are codified at 40 CFR §261.24, and the TC
regulatory levels appear in Table 2 of that same
section.
SPECIAL REGULATORY
CONVENTIONS
Once a facility generates a hazardous waste,
the waste may become mixed with other wastes,
be treated and produce residues, or even be
spilled. RCRA provides special regulatory
provisions to address the regulatory status of
hazardous wastes in these situations.
Mixture Rule
The mixture rule is intended to ensure that
mixtures of listed wastes with nonhazardous solid
wastes are regulated in a manner that minimizes
threats to human health and the environment.
Listed Wastes
The mixture rule regulates a combination of
any amount of a nonhazardous solid waste and
any amount of a listed hazardous waste as a listed
hazardous waste (see Figure III-8). Even if a small
vial of listed waste is mixed with a large quantity
of nonhazardous waste, the resulting mixture
bears the same waste code and regulatory status
as the original listed component of the mixture,
unless the generator obtains a delisting. This is
intended to prevent a facility from
mixing a listed waste with a
nonhazardous waste in order to
escape having to manage the
waste as hazardous.
applies to mixtures of solid wastes and wastes
listed solely because they exhibit a characteristic
(see Figure III-8). When EPA lists a waste as
hazardous, the Agency assigns a hazard code to
the waste as a reason for the listing. If a
hazardous waste is listed for ignitability (hazard
code I), corrosivity (hazard code C), or reactivity
(hazard code R), and that waste is mixed with a
solid waste, then the original listing does not carry
through to the resulting mixture as long as that
mixture does not exhibit any hazardous waste
characteristics. The reason behind this exemption
is that the such wastes were originally listed for the
risks posed by certain characteristics, and if a
waste mixture does not exhibit those
characteristics (e.g., it does not pose a significant
risk), then the mixture does not warrant Subtitle C
regulation. For example, EPA listed the F003
spent solvents as hazardous because these wastes
typically display the ignitability characteristic. If
F003 waste is inadvertently mixing with another
waste, and the resulting mixture does not exhibit
any characteristic, the F003 listing no longer
applies.
Another exemption from the mixture rule
applies to certain listed hazardous wastes that are
discharged to wastewater treatment facilities in
very small or de minimis amounts. Many
industrial facilities produce large quantities of
nonhazardous wastewaters as their primary
wastestreams. These wastewaters are typically
discharged to a water body or local sewer system
after being treated to remove pollutants, as
Figure III-8: THE MIXTURE RULE
Exemptions
There are several exemptions
from the mixture rule. One
exemption from the mixture rule
Any amount of
nonhazardous solid
waste
f
Any amount of listed
hazardous waste
LISTED
HAZARDOUS
WASTE
Any amount of
nonhazardous solid
waste
Any amount of listed
hazardous waste
that is listed solely
for exhibiting a
characteristic
NONHAZARDOUS
WASTE IF MIXTURE
DOES NOT EXHIBIT
ANY
CHARACTERISTIC
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SECTION III
Managing Hazardous WasteRCRA Subtitle C
Chapter 7: Hazardous Waste Identification
required by CWA. At many of these large
facilities, on-site cleaning, chemical spills, or
laboratory operations create relatively small
amounts of hazardous waste. For example, a
textile plant producing large quantities of
nonhazardous wastewater can generate a
secondary wastestream of listed spent solvents
from cleaning equipment. Routing such
secondary hazardous wastestreams to the facility's
wastewater treatment system is a practical way of
treating and disposing of these wastes. This
management option triggers the mixture rule,
since even a very small amount of a listed
wastestream combined with very large volumes of
nonhazardous wastewater causes the entire
mixture to be listed. EPA provided an exemption
from the mixture rule for situations where
relatively small quantities of listed hazardous
wastes are routed to large-volume wastewater
treatment systems.
Other exemptions apply to mixtures of listed
and characteristic wastes with mining and mineral
processing that are exempt from the definition of
hazardous waste under the Bevill exemption.
Wastes that are hazardous via the mixture rule can
also exit Subtitle C regulation through the delisting
process.
Derived-From Rule
Hazardous waste treatment, storage, and
disposal processes often generate residues that
may contain high concentrations of hazardous
constituents. In order to adequately protect
human health and the environment from the
threats posed by these potentially harmful wastes,
the derived-from rule governs the regulatory
status of such listed waste residues.
Listed Wastes
Residues produced from the treatment of
listed hazardous wastes may pose a significant
threat to human health and the environment. If
not captured by the waste's listing description,
such waste could escape regulation. To close this
potential regulatory gap, EPA created the derived-
from rule which states that any material derived
from a listed hazardous waste is also a listed
hazardous waste (see Figure 111-9). For example,
ash created by burning a hazardous waste is
considered derived-from that hazardous waste.
Thus, such ash bears the same waste code and
regulatory status as the original listed waste,
regardless of the ash's actual properties. This
principle applies regardless of the actual health
threat posed by the waste residue or the residue's
chemical composition.
Figure 111-9: THE DERIVED-FROM RULE
Listed hazardous waste
Any residue from the treatment, storage,
or disposal of a listed waste...
I
...is still a listed hazardous waste...
I
...unless waste is recycled to make new products|
or processed to recover useable materials with
economic value (provided that product is not
used in a manner constituting disposal or burnedj
for energy recovery)
Exemptions
There are several regulatory exemptions from
the derived-from rule. The first exemption applies
to products reclaimed from hazardous wastes.
Many listed hazardous wastes can be recycled to
make new products or processed to recover
usable materials with economic value. Such
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Managing Hazardous WasteRCRA Subtitle C
SECTION III
Chapter 7: Hazardous Waste Identification
products derived-from recycled hazardous wastes
are no longer solid wastes, provided that they are
not used in a manner constituting disposal or
burned for energy recovery (see Figure 111-9). The
other exemptions from the derived-from rule
apply to residues from specific treatment
operations. Wastes that are hazardous via the
derived-from rule can also exit Subtitle C
regulation through the delisting process.
Contained-ln Policy
Sometimes listed and characteristic wastes are
spilled onto soil or contaminate equipment,
buildings, or other structures. The mixture and
derived-from rules do not apply to such
contaminated soil and materials because these
materials are not actually wastes. Soil is
considered environmental media (e.g., soil,
ground water, sediment), while the equipment,
buildings, and structures are considered debris
(e.g., a broad category of larger manufactured and
naturally occurring objects that are commonly
discarded). Examples of debris include:
Dismantled construction materials, such as
used bricks, wood beams, and chunks of
concrete
Decommissioned industrial equipment, such
as pipes, pumps, and dismantled tanks
Other discarded manufactured objects, such
as personal protective equipment (e.g., gloves,
coveralls, eyewear)
Large, naturally occurring objects, such as tree
trunks and boulders.
Environmental media and debris are
contaminated with hazardous waste in a number
of ways. Environmental media become
contaminated through accidental spills of
hazardous waste or spills of product chemicals
which, when spilled, become hazardous wastes.
Debris can also be contaminated through spills.
Most debris in the form of industrial equipment
and personal protective gear becomes
contaminated with waste or product chemicals
during normal industrial operations.
In order to address such contaminated media
and debris, EPA created the contained-in policy
to determine when contaminated media and
debris must be managed as RCRA hazardous
wastes.
Environmental media are not, in and of
themselves, waste, but are regulated as hazardous
waste when they contain (are contaminated by) a
RCRA listed hazardous waste or exhibit a
characteristic. In these cases, the media and
debris must be managed as if they were hazardous
waste. EPA or states can determine that media
and debris no longer contain hazardous waste by
determining that the media or debris no longer
poses a sufficient health threat to deserve RCRA
regulation. Once this contained-out
determination is made, the media and debris are
generally no longer regulated under RCRA Subtitle
C. However, under certain circumstances, the
RCRA LDR requirements might continue to apply.
HAZARDOUS WASTE
IDENTIFICATION RULES
RCRA regulates hazardous wastes either
because they carry a listing code, or because they
exhibit a characteristic. Characteristics are based
on actual risks that the materials may pose.
Listings codes however, can remain with a waste
even if it has very low concentrations of harmful
materials, or is considerably different from the
waste for which the listing was originally created.
RCRA listing codes often apply to hazardous waste
mixtures; treatment, storage, and disposal
residues; and contaminated media and debris
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Chapter 7: Hazardous Waste Identification
based on the source of the waste rather than the
risks that such materials pose to human health and
the environment.
In these situations, it is entirely possible that
the mixtures, residues, or media and debris
contain low concentrations of hazardous
constituents, posing minimal threats to human
health and the environment, but are still regulated
as hazardous. Similarly, listed wastes may also
contain low concentrations of hazardous
constituents, but will still be regulated as
hazardous because they originate from a specific
industrial source or process. In order to add
flexibility to the hazardous waste identification
system, EPA proposed two hazardous waste
identification rules to establish and provide a
regulatory mechanism through which low-risk
wastes can exit Subtitle C regulation.
The proposed Hazardous Waste
Identification Rule for Waste (HWIR-waste)
proposes exit levels for each of the hazardous
constituents in listed wastes. If a facility can
determine that the concentrations of hazardous
constituents in the waste are below the exit levels,
then the waste will no longer carry a listing, and
will no longer be hazardous (provided it does not
exhibit a characteristic). In essence, listed wastes
with low concentrations of hazardous constituents,
hazardous waste mixtures, and hazardous residues
that do not pose significant risks will be able to
exit Subtitle C regulation as long as they do not
pose a threat to human health or the
environment. EPA plans to write a new HWIR-
waste proposal by October 31, 1999, and finalize
the HWIR-waste rule by April 30, 2001.
The Hazardous Waste Identification Rule for
Contaminated Media (HWIR-media) was
proposed in April 1996, and requested public
comment on several ways to improve regulations
on the management of remediation wastes, such
as contaminated media, debris, and old sludges
from hazardous waste cleanups. EPA had hoped
to make comprehensive changes to the regulation
of these remediation wastes, but public comments
were extremely divided on the course of proper
reform. Therefore, the Agency is planning to
finalize, in June 1998, a few of the elements of the
April 1996 proposal, but not to promulgate a
comprehensive reform. EPA plans to finalize
provisions for streamlined permits for managing
remediation wastes, increased flexibility for staging
wastes prior to off-site management, an exclusion
for certain dredged material, and streamlined
RCRA state authorization procedures. As part of a
separate rulemaking, LDR Phase IV, EPA finalized
new LDR treatment standards for hazardous soils.
(LDR is fully discussed in Section III, Chapter 6.)
MIXED WASTE
RCRA specifically exempts certain radioactive
mixed materials from the definition of solid waste.
However, some radioactive material may be
mixed with hazardous wastes that are regulated
under RCRA. In addition, a facility may generate
a hazardous waste that is also radioactive.
Because the material in both of these situations
contains both radioactive material and RCRA
hazardous waste, it is referred to as mixed waste
under RCRA. RCRA and AEA regulate these
mixed wastes jointly. AEA regulates the RCRA-
exempt radioactive portion and RCRA regulates
the hazardous waste portion. Mixed waste
generators include
DOE, power plants, ^ ^
labs, hospitals, and
universities using
radioactive
materials.
A.4
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SECTION III
Chapter 7: Hazardous Waste Identification
SUMMARY
In order to determine if a facility is subject to
RCRA Subtitle C, the owner and operator must
determine if they have a hazardous waste. This
determination must be made by using the
following methodology:
Is the material a solid waste?
Is the waste excluded?
Is the waste a listed hazardous waste?
Is the waste a characteristic waste?
A waste must first be a solid waste before it
can be a hazardous waste. A solid waste is a
waste that is abandoned, inherently waste-like, a
certain military munition, or recycled. On the
other hand, if a solid waste is directly recycled
without prior reclamation by being either used as
an ingredient, used as a product substitute, or
returned to the production process, then the
material is not regulated as a waste at all. If such
recycled materials, however, are used in a manner
constituting disposal; burned for energy recovery,
used to produce a fuel, or contained in fuels;
accumulated speculatively; or dioxin-containing
wastes considered inherently waste like; then they
are regulated as solid wastes. If a recycled
material needs reclamation prior to direct use or
reuse, its regulatory status is determined by the
type of material that it is:
Spent materials are regulated as solid wastes
when reclaimed; used in a manner
constituting disposal; burned for energy
recovery, used to produce a fuel, or contained
in fuels; or accumulated speculatively.
Listed sludges are solid wastes when
reclaimed; used in a manner constituting
disposal; burned for energy recovery, used to
produce a fuel, or contained in fuels; or
accumulated speculatively.
Characteristic sludges are not solid wastes
when reclaimed, unless they are used in a
manner constituting disposal; burned for
energy recovery, used to produce a fuel, or
contained in fuels; or accumulated
speculatively.
Listed by-products are solid wastes when
reclaimed; used in a manner constituting
disposal; burned for energy recovery, used to
produce a fuel, or contained in fuels; or
accumulated speculatively.
Characteristic by-products are not solid wastes
when reclaimed, unless they are used in a
manner constituting disposal; burned for
energy recovery, used to produce a fuel, or
contained in fuels; or accumulated
speculatively.
CCPs are not solid wastes when reclaimed,
unless they are used in a manner constituting
disposal; or burned for energy recovery, used
to produce a fuel, or contained in fuels.
Scrap metal is a solid waste when reclaimed;
used in a manner constituting disposal;
burned for energy recovery, used to produce a
fuel, or contained in fuels; or accumulated
speculatively.
Regardless of the type of recycling that takes
place, it must be legitimate and not sham
recycling.
If the waste is a solid waste, it may be
excluded from the Subtitle C hazardous waste
regulations. There are four categories of
exclusions:
Exclusions from the definition of solid waste
Exemptions from the definition of hazardous
waste
Exclusions for waste generated in raw material,
product storage, or manufacturing units
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Chapter 7: Hazardous Waste Identification
Exclusions for laboratory samples and waste
treatability studies.
If the waste fits one of these categories, it is
not regulated as a RCRA hazardous waste, and the
hazardous waste requirements do not apply.
If the waste is a solid waste and is not
excluded, a facility must determine if it is a listed
hazardous waste. The F, K, P, and U lists provide
narrative descriptions of wastes from specific
industrial processes and sources. Wastes meeting
any of these descriptions are listed hazardous
wastes. However, through the delisting process,
facilities can demonstrate that their wastes does
not pose sufficient hazard to warrant Subtitle C
regulation as a listed hazardous waste.
Wastes may also be hazardous if they exhibit a
characteristic. Even if a facility's waste is listed,
the owner and operator must still determine if it
exhibits a characteristic. The four characteristics
are:
Ign Stability
Corrosivity
Reactivity
Toxicity.
There are special regulatory conventions or
provisions that apply to hazardous waste mixtures;
treatment, storage, and disposal residues; and
contaminated media and debris. These provisions
are known as the mixture rule, the derived-from
rule, and the contained-in policy.
In the future, low-risk wastes with low
concentrations of hazardous constituents will be
able to exit Subtitle C regulation through risk-
based exit levels established by HWIR-waste.
Through HWIR-media, EPA will also facilitate the
management of remediation wastes, such as
contaminated media, debris, and old sludges from
hazardous waste cleanups.
RCRA and AEA jointly regulate mixed waste,
or waste that is radioactive, and listed or
characteristic.
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Managing Hazardous WasteRCRA Subtitle C
SECTION III
Chapter 2: Hazardous Waste Recycling and Universal Wastes
CHAPTER 2
HAZARDOUS WASTE RECYCLING
AND UNIVERSAL WASTES
In this chapter...
Overview 111-33
Hazardous Waste Recycling 111-33
- Full Regulation 111-34
- Exemptions 111-34
- Special Standards 111-35
Used Oil 111-36
- Used Oil Regulation 111-36
- What is Used Oil? 111-37
- Used Oil Handlers 111-37
- Used Oil Management Standards 111-38
Universal Waste 111-41
- Universal Waste Handlers 111-41
- Universal Waste Transporters III-42
- Universal Waste Destination Facilities III-42
Summary III-42
OVERVIEW
RCRA hazardous wastes do not cease to be
dangerous simply because they are being reused,
recycled, or reclaimed. Many hazardous waste
recycling operations may pose serious health and
environmental hazards and should be subject to
Subtitle C regulation. Reuse, recycling, and
reclamation should be viewed instead as ways of
managing hazardous wastes which, if properly
conducted, can avoid environmental hazards,
protect scarce natural resources, and reduce the
nation's reliance on raw materials and energy.
Promoting reuse and recovery is certainly one of
the goals of RCRA; however, this goal does not
take precedence over assuring the proper
management of hazardous waste.
EPA has tried, to the extent possible, to
develop regulations for hazardous waste
management that foster environmentally sound
recycling and conservation of resources, but at the
same time provide adequate protection of human
health and the environment. This chapter outlines
the regulations governing recycling of hazardous
wastes, and describes special management
standards for two commonly recycled
wastestreams: used oil and universal wastes.
HAZARDOUS WASTE RECYCLING
The hazardous waste identification process (as
discussed in Section III, Chapter 1) describes how
to determine whether a material is a solid and
hazardous waste. How a material is regulated
under RCRA (i.e., whether or not it is a solid and
potentially a hazardous waste) when it is recycled
THE RECYCLING GOAL OF RCRA
Reuse, recycling, and reclamation are ways of
managing hazardous wastes which, if properly
conducted, can avoid environmental hazards, protect
scarce natural resources, and reduce the nation's
reliance on raw materials and energy. While
promoting reuse and recovery is certainly one of the
goals of RCRA, this goal does not take precedence
over assuring the proper management of hazardous
waste.
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Managing Hazardous WasteRCRA Subtitle C
Chapter 2: Hazardous Waste Recycling and Universal Wastes
depends on what type of
material it is, and what type
of recycling is occurring. If
the recycled material is not a
solid waste, then it is not a
hazardous waste and is not
subject to RCRA Subtitle C
requirements. However, if the material qualifies
as a solid and hazardous waste, it is subject to
RCRA Subtitle C jurisdiction.
Many hazardous wastes can be recycled safely
and effectively. To address the goal of
encouraging recycling while protecting human
health and the environment, EPA has tried to tailor
the level of regulation to reflect the actual hazard
of the recycling activity. In this approach to
regulation, recycling standards range from full
regulation to specialized standards to exemptions
from regulation. Handlers of hazardous waste
slated for recycling must determine what type of
regulation they fall under based on the recycling
activity being conducted and the type of material
being managed.
Full Regulation
Most recycled hazardous wastes are subject to
full hazardous waste regulation. This means that
handlers of these recyclable materials (i.e., persons
who generate, transport, or store prior to
recycling) are subject to the same regulations as
handlers who are managing hazardous wastes
prior to disposal.
While management of the hazardous wastes
prior to recycling is subject to regulation, the
recycling process itself is exempt from RCRA
(except for some air emissions standards as
discussed in Section III, Chapter 5). For example,
if a facility receives hazardous spent solvents from
another facility for redistillation (heating a mixture
to separate it into several pure components), the
recycling units themselves are not required to
follow RCRA design and operating standards for
hazardous waste units. However, the owners and
operators of the recycling facility must follow all
applicable Subtitle C requirements (including the
requirement to obtain a permit) for container or
tank storage areas used to store such wastes prior
to recycling.
Exemptions
Not all hazardous wastes pose the same
degree of hazard when recycled. EPA believes
wastes that may be recycled in a protective
manner, or that are addressed under other
environmental regulations, warrant exemptions
from RCRA Subtitle C. Consequently, handlers of
these materials are not subject to any hazardous
waste regulations. These exempt recyclable
hazardous wastes are:
Industrial ethyl alcohol
Scrap metal
Waste-derived fuels from refining processes
Unrefined waste-derived fuels and oils from
petroleum refineries
Petroleum coke.
RCRA'S RECYCLING PROCESS EXEMPTION
While management of the hazardous wastes prior to
recycling is subject to regulation, the recycling
process itself is exempt from RCRA (except for
applicable air emission standards). For example, if a
facility receives hazardous spent solvents from
another facility for redistillation (heating a mixture to
separate it into several pure components), the
recycling units themselves are not required to follow
RCRA design and operating standards for hazardous
waste units. However, the owners and operators of
the recycling facility must follow all applicable Subtitle
C requirements (including the requirement to obtain a
permit) for container or tank storage areas used to
store such wastes prior to recycling.
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Managing Hazardous WasteRCRA Subtitle C
SECTION III
Chapter 2: Hazardous Waste Recycling and Universal Wastes
Industrial Ethyl Alcohol
Industrial ethyl alcohol that is reclaimed is
exempt from RCRA Subtitle C because the U.S.
Bureau of Alcohol, Tobacco and Firearms (BATF)
already regulates it from the point of generation to
redistillation.
Scrap Metal
Scrap metal that is disposed of or recycled is a
solid waste; however, it is exempt from Subtitle C
regulation when it is
reclaimed (i.e., recycled to
recover metal content). This
does not apply to processed
scrap metal which is excluded from
hazardous waste regulation entirely
(as discussed in Section III, Chapter 1).
Waste-Derived Fuels from Refining Processes
Fuels produced by refining oil-bearing
hazardous wastes with normal process streams at
petroleum refining facilities are exempt if such
wastes resulted from normal petroleum refining,
production, and transportation practices. For
these wastes to be considered refined, they must
be inserted into a part of the process designed to
remove contaminants. This would typically mean
insertion prior to distillation.
Unrefined Waste-Derived Fuels and Oils
Fuels produced at a petroleum refinery from
oil-bearing hazardous wastes that are introduced
into the refining process after the distillation step,
or that are reintroduced in a process that does not
include distillation, are exempt if the resulting fuel
meets the specifications under the federal
recycled used oil standards in 40 CFR §279.11 (as
discussed later in this chapter). Oil that is
recovered from hazardous waste at a petroleum
refinery and burned as a fuel is also exempt
provided it meets the used oil specifications.
Petroleum Coke
Petroleum coke produced from petroleum
refinery hazardous waste containing oil is exempt
from Subtitle C regulation if: (1) the coke is
produced by the same person that generated the
hazardous waste; and (2) the coke does not
exhibit a hazardous characteristic.
Special Standards
While RCRA specifically exempts some wastes
when recycled, some recycling processes may still
pose enough of a hazard to warrant some degree
of regulation. However, due to the nature of the
recycling process itself, or the nature of the
materials being recycled, these processes may
require a specialized set of standards. These
processes are:
Use constituting disposal
Precious metals reclamation
Spent lead-acid battery reclamation
Burning for energy recovery.
Use Constituting Disposal
Use constituting disposal refers to the practice
of recycling hazardous wastes by placing them on
the land or using them as ingredients in a product
that will be placed on the land. To be placed on
the land, waste-derived products must: (1) be
made for the general public's use; (2) have
undergone a chemical reaction so as to be
inseparable by physical means; and (3) meet
applicable LDR treatment standards (as discussed
in Section III, Chapter 6). Once these waste-
derived products meet these standards, they are
no longer restricted from placement on the land.
Materials that do not meet these criteria remain
regulated.
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Managing Hazardous WasteRCRA Subtitle C
Chapter 2: Hazardous Waste Recycling and Universal Wastes
Precious Metals Reclamation
Precious metals reclamation is the recycling
and recovery of precious metals (i.e., gold, silver,
platinum, palladium, iridium, osmium, rhodium,
and ruthenium) from hazardous waste. Because
EPA found that these materials will be handled
protectively as valuable commodities with
significant economic value, generators,
transporters, and storers of such recyclable
materials are subject to reduced requirements.
Spent Lead-Acid Battery Reclamation
Persons who generate,
transport, regenerate, collect,
and store spent lead-acid
batteries prior to reclamation,
but do not perform the actual
reclamation, are not subject to
hazardous waste regulation. EPA
established those provisions to
encourage the recycling of these
batteries. However, owners and operators of
facilities that store spent batteries before
reclamation, other than spent batteries that are
regenerated (processed to remove contaminants
and restore the product to a useable condition),
are subject to regulation in a manner similar to
hazardous waste TSDFs.
Burning For Energy Recovery
The process of recycling hazardous waste by
burning it for energy recovery may pose significant
air emissions hazards. Therefore, EPA established
specific operating standards for units burning
hazardous wastes for energy recovery. These units
are known as boilers or industrial furnaces (BIFs)
(as discussed in Section III, Chapter 7).
USED OIL
In developing a hazardous waste regulatory
program to facilitate and encourage recycling,
Congress felt that certain commonly recycled
materials warranted a regulatory program of their
own. As a result, Congress and EPA created
special management
standards for used oil.
Under these standards,
recycled used oil is not
subject to the hazardous
waste regulatory program
applicable to other
recycled materials, but
rather to its own
management provisions.
Used oil has certain
unique properties that
make it distinct from most hazardous
wastestreams. First of all, used oil is generated by
a wide range of entities, including, but not limited
to, large manufacturing facilities, industrial
operations, service stations, quick-lube shops, and
even households. These processes and operations
generate approximately 1.4 billion gallons of used
oil annually. Secondly, used oil is an easily
recyclable material. For example, just one gallon
of used oil provides the same 2.5 quarts of
lubricating oil as 42 gallons of crude oil. However,
even used oil that does not exhibit any
characteristics of hazardous waste can have
harmful effects if spilled or released into the
environment.
Used Oil Regulation
In an effort to encourage the recycling of used
oil, and in recognition of the unique properties
and potential hazards posed by used oil, Congress
passed the Used Oil Recycling Act in 1980. This
Act amended RCRA by requiring EPA to study the
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Managing Hazardous WasteRCRA Subtitle C
SECTION III
hazards posed by used oil and to develop used oil
management standards to protect human health
and the environment. As a result, EPA developed
special recycling regulations for used oil that are
completely separate from hazardous waste
recycling standards. First, in November 1985, EPA
promulgated restrictions on the burning of used oil
for energy recovery. Second, in September 1992,
EPA developed a more comprehensive used oil
recycling program, codified in 40 CFR Part 279,
that incorporated the existing burning restrictions,
and added used oil management standards for all
facilities that handle used oil.
Since EPA's used oil program is designed to
encourage used oil recycling, Part 279 includes a
recycling presumption. This is an assumption
that all used oil that is generated will be recycled.
The recycling presumption simplifies the used oil
management system by enabling handlers to only
comply with the used oil regulations, instead of
the hazardous waste regulations. Only when the
used oil is actually disposed of or sent for disposal
must handlers determine whether or not the used
oil exhibits a characteristic of hazardous waste and
manage it in accordance with hazardous waste
regulations.
Chapter 2: Hazardous Waste Recycling and Universal Wastes
M What is Used Oil?
Used oil is any oil that has been refined from
crude oil or any synthetic oil that has been used
and, as a result of such use, is contaminated by
physical or chemical impurities. In other words,
used oil must meet each of the following three
criteria: origin, use, and contamination. First, the
used oil must be derived from crude oil or
synthetic oil (i.e., derived from coal, shale, or
polymers). Second, the oil must have been used
as a lubricant, hydraulic fluid, heat transfer fluid,
or other similar uses. Unused oil such as cleanout
tank bottoms from virgin product fuel oil storage is
not used oil because it has not been used. Finally,
the used oil must be contaminated by physical or
chemical impurities as a result of such use.
Physical impurities could include contamination
by metal shavings, sawdust, or dirt. Chemical
impurities could include contamination by water
or benzene, or degradation of lubricating
additives.
Used Oil Handlers
Persons who handle used oil are subject to
specific management requirements depending on
the extent of their used oil recycling activities.
The following handlers are subject to used oil
management standards:
Generators
Collection centers and aggregation points
Transporters
Transfer facilities
Processors and rerefiners
Marketers.
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Managing Hazardous WasteRCRA Subtitle C
Chapter 2: Hazardous Waste Recycling and Universal Wastes
Generators
Used oil generators are persons whose act or
process produces used oil, or first causes used oil
to be subject to regulation. Examples of common
generators include car repair shops, service
stations, and metalworking industries. Individuals
who generate used oil through the maintenance of
their own personal vehicles and equipment
(known as used oil do-it-yourselfers) are not
considered used oil generators.
Collection Centers and Aggregation Points
Used oil collection centers and aggregation
(J(J (J
points are facilities that accept small amounts (less
than 55 gallons) of used oil and store it until
enough is collected to ship it elsewhere for
recycling. Used oil collection centers typically
accept used oil from multiple sources that include
both businesses and private citizens. Used oil
aggregation points collect oil from places run by
the same owner and operator as the aggregation
point, and also from private citizens.
Transporters
Used oil transporters are persons who haul
used oil in quantities greater than 55 gallons and
deliver it to transfer facilities, rerefiners,
processors, or burners.
Transfer Facilities
Used oil transfer facilities are any structures
or areas (such as loading docks or parking areas)
where used oil is held for longer than 24 hours,
but not longer than 35 days.
Processors and Rerefiners
Used oil processors and rerefiners are
facilities that process used oil so that it can be
burned for energy recovery or reused.
Burners
Used oil burners are handlers who burn used
oil for energy recovery in boilers, industrial
furnaces, or hazardous waste incinerators.
Marketers
Used oil marketers are handlers who either:
(1) direct shipments of used oil to be burned as
fuel in regulated devices (i.e., boilers, industrial
furnaces, and incinerators); or (2) claim that used
oil to be burned for energy recovery is on-
specification. A marketer must already be a used
oil generator, transporter, processor, rerefiner, or
burner.
Used Oil Management Standards
The used oil management standards apply to a
wide variety of facilities with very different
business practices. These standards are designed
to establish minimum regulations for all facilities,
addressing such practices as proper storage,
transportation, recordkeeping, and burning.
These standards vary by facility type. The most
stringent requirements apply to facilities that
process or rerefine used oil. Used oil transporters,
transfer facilities, and used oil burners are subject
to a reduced set of standards. Generators have
the fewest requirements.
Used O/7 as a Hazardous Waste
Because used oil mixed with hazardous wastes
increases risks to human health and the
environment, all handlers are encouraged to keep
used oil from becoming contaminated with
hazardous wastes. To prevent intentional mixing,
EPA subjects mixtures of used oil and listed
hazardous waste to all applicable hazardous waste
standards.
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Managing Hazardous WasteRCRA Subtitle C
SECTION III
Chapter 2: Hazardous Waste Recycling and Universal Wastes
From an enforcement point of view, however,
the Agency cannot always determine if used oil
has been mixed with a listed hazardous waste. As
a result, EPA decided to use an objective test that
focused on the halogen level in used oil (listed
spent halogenated solvents were often found to be
mixed with used oil). This objective test is known
as the rebuttable presumption. According to this
test, used oil that contains more than 1,000 parts
per million (ppm) of total halogens is presumed to
have been mixed with a listed hazardous waste,
and is therefore subject to applicable hazardous
waste regulations. A person may rebut this
presumption by demonstrating, through analysis
or other documentation, that the used oil has not
been mixed with listed hazardous waste.
Nevertheless, used oil that is known to have been
mixed with a listed hazardous waste is considered
a listed hazardous waste, regardless of the halogen
level.
The principle for mixtures of used oil and
characteristic hazardous waste is somewhat
different. First, if used oil is mixed with a waste
that only exhibits the characteristic of ignitability,
or is listed solely for ignitability, and the resultant
THE REBUTTABLE PRESUMPTION
EPA presumes that used oil which contains more than
1,000 ppm of total halogens has been mixed with a
listed hazardous waste, and is therefore subject to
applicable hazardous waste regulations, unless the
presumption can be successfully rebutted. A person
may rebut this presumption by demonstrating, through
analysis or other documentation, that the used oil has
not been mixed with listed hazardous waste. For
example, a generator has a drum of used oil
containing 2,000 ppm of halogens. Even though the
used oil was not mixed with a listed hazardous waste,
EPA will presume that is the case. The generator,
however, can rebut this presumption by demonstrating
that the high halogen level is due to mixing with
household hazardous wastes, which are not
considered hazardous under RCRA. As a result, the
drum of oil is regulated as used oil, and not as
hazardous waste.
mixture is no longer ignitable, then the mixture
can be managed as used oil, despite the inherent
characteristics that the used oil may bring to the
mixture. EPA believes that materials that are
ignitable-only should not affect the chemical
constituent or other properties of used oil when
mixed, and therefore, should not add additional
risks to human health and the environment when
burned. However, used oil mixed with a waste
that is hazardous because it exhibits one or more
characteristics of hazardous waste (other than just
ignitability), must no longer exhibit any
characteristics if it is going to be managed as used
oil.
Used O/7 Confom/nafed with PCBs
The use and disposal of PCBs are regulated by
the Toxic Substances Control Act (TSCA). Used oil
contaminated with 50 ppm or greater of PCBs is
not subject to the RCRA used oil management
standards because current TSCA requirements
provide comprehensive management standards for
such oils.
Storage
Although different used oil handlers may have
specific management requirements for their oil, all
handlers must:
Store used oil in tanks and containers.
Storage of used oil in lagoons, pits, or surface
impoundments is prohibited, unless these
units are subject to hazardous waste TSDF
standards (as discussed in Section III,
Chapter 5)
Clearly mark containers and tanks with the
words "Used Oil"
Keep containers and tanks in good condition
and free of leaks
Respond to releases of used oil from their
storage units.
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SECTION III
Managing Hazardous WasteRCRA Subtitle C
Chapter 2: Hazardous Waste Recycling and Universal Wastes
Transfer facilities, processors and rerefiners,
and burners must also have secondary
containment systems to prevent oil from reaching
the environment in the event of a spill or leak.
Secondary containment consists of an oil-
impervious dike, berm, or retaining wall to contain
releases, as well as an oil-impervious floor to
prevent migration.
Burning Restrictions
Levels of contamination in used oils may vary
widely, depending on different types of uses or
length of use. Recognizing this fact, EPA has
established a set of criteria, called used oil
specifications, to evaluate the potential hazards
posed by used oil when burned for energy
recovery. Used oil that is tested and is not within
these set parameters is termed off-specification
used oil.
Parameter
Arsenic
Cadmium
Chromium
Flash point
Lead
Total Halogens
Allowable Level
5 ppm maximum
2 ppm maximum
10 ppm maximum
100° F minimum
100 ppm maximum
4,000 ppm maximum
Off-specification used oil may be burned for
energy recovery, but it is strictly regulated. Such
used oil may only be burned in:
Boilers
Industrial furnaces
Hazardous waste incinerators
Generator space heaters that meet certain
operating conditions.
Conversely, used oil that meets all
specification levels, otherwise known as on-
specification used oil, is not subject to any
restrictions when burned for energy recovery. In
fact, on-specification used oil is comparable to
product fuel in terms of regulation. Once the
specification determination is made, and certain
recordkeeping requirements are complied with,
the on-specification oil is no longer subject to
used oil management standards.
Recordkeeping and Reporting
Used oil transporters, transfer facilities,
processors and rerefiners, burners, and marketers
are required to obtain an EPA identification (EPA
ID) number. While generators, collection centers,
aggregation points, and those who transport their
own used oil in shipments of less than 55 gallons
do not need an EPA ID number, they may still
need a state or local permit.
Used oil transporters, processors, burners, and
marketers must also track each acceptance and
delivery of used oil shipments. Records can take
the form of a log, invoice, or other shipping
document and must be maintained for three
years.
In addition, used oil processors and rerefiners
must:
File a biennial report of used oil activity
Prepare a contingency plan detailing how
releases will be addressed
Prepare an analysis plan describing testing
protocols at the facility
Maintain records of shipment and deliveries of
used oil
Maintain an operating record at the facility.
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Managing Hazardous WasteRCRA Subtitle C
SECTION III
Chapter 2: Hazardous Waste Recycling and Universal Wastes
UNIVERSAL WASTE
The special management provisions for used
oil clearly eased the management burden and
facilitated the recycling of such material. EPA also
discovered that subjecting other commonly
recycled materials to hazardous waste regulation
was burdensome on many handlers of these
wastes. This burden has the potential of
discouraging waste recycling by facilities who are
otherwise willing to engage in such activity. In
response to these concerns, in May 1995 EPA
promulgated the universal waste program,
codified in 40 CFR Part 273.
The universal waste program promotes the
collection and recycling of certain widely
generated hazardous wastes, known as universal
wastes. Through this program, EPA intends to
ease the regulatory burden on the facilities that
manage universal wastes, particularly by allowing
more time for accumulation of these wastes in
order to facilitate appropriate recycling or
disposal. Three types of waste are covered under
the universal waste regulations: hazardous waste
batteries, hazardous waste pesticides that are
either recalled or collected in waste pesticide
collection programs, and hazardous waste
thermostats. Other similar wastes may be added
to the universal waste regulations in the future.
WHAT ARE UNIVERSAL WASTES?
Universal wastes are subject to special management
provisions intended to ease the management burden
and facilitate the recycling of such materials. Three
types of waste are currently covered under the
universal waste regulations: hazardous waste
batteries, hazardous waste pesticides that are either
recalled or collected in waste pesticide collection
programs, and hazardous waste thermostats. More
wastes may be added to the universal waste
regulations in the future, but presently only these
wastes are included.
The regulated community may also petition the
Agency to include additional wastes in the
universal waste program in the future.
There are four types of regulated participants
in the universal waste system: small quantity
handlers of universal waste (SQHUW), large
quantity handlers of universal waste (LQHUW),
universal waste transporters, and universal waste
destination facilities.
Universal Waste Handlers
There are two types of handlers of universal
waste. The first type of handler is a person who
generates, or creates, universal waste. For
example, this may include a person who uses
batteries, pesticides, or thermostats, and who
eventually decides that they are no longer usable.
The second type of handler is a person who
receives universal waste from other handlers,
accumulates the waste, and then sends it on to
other handlers, recyclers, or treatment or disposal
facilities without performing the actual treatment,
recycling, or disposal. This may include a person
who collects batteries, pesticides, or thermostats
from small businesses and sends the wastes to a
recycling facility. The universal waste handler
requirements depend on how much universal
waste a handler accumulates at any one time.
Small Quantity Handlers of Universal Waste
Small quantity handlers of universal waste
accumulate less than 5000 kilograms (kg)
(approximately 11,000 pounds (Ibs)) of all
universal waste categories combined at their
location at any time. Accumulation time for
universal wastes at any location is limited to one
year. SQHUW are required to manage universal
waste in a way that prevents releases to the
environment. SQHUW must also immediately
respond to releases of universal waste. SQHUW
must distribute basic waste handling and
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SECTION III
Managing Hazardous WasteRCRA Subtitle C
Chapter 2: Hazardous Waste Recycling and Universal Wastes
emergency information to their employees to
ensure that their staff are aware of proper
handling and emergency procedures.
Large Quantity Handlers of Universal Waste
Large quantity handlers of universal waste
accumulate a total of 5000 kg or more of universal
waste at any time. The designation as a LQHUW
is retained for the remainder of the calendar year
in which the 5000-kg threshold was exceeded,
and may be reevaluated in the following calendar
year. LQHUW must comply with the same
requirements as SQHUW, as well as a few
additional ones. LQHUW must also maintain
basic records documenting shipments received at
the facility and shipments sent from the facility,
must obtain an EPA ID number, and must comply
with stricter employee training requirements.
Universal Waste Transporters
Universal waste transporters are persons who
transport universal waste from handlers of
universal waste to other handlers, destination
facilities, or foreign destinations. These wastes do
not need to be accompanied by a RCRA
hazardous waste manifest during transport, but
transporters must comply with applicable DOT
requirements.
Transporters may store universal waste for up
to 10 days at a transfer facility during the course of
transportation. Transfer facilities are transportation
related facilities such as loading docks, parking
areas, and storage areas. If a transporter keeps
universal waste for more than 10 days at one
location, the transporter is subject to all applicable
SQHUW or LQHUW regulations.
Universal Waste Destination Facilities
Universal waste destination facilities are
facilities that treat, dispose of, or recycle a
particular category of universal waste. These
facilities are subject to the same requirements as
fully regulated hazardous waste TSDFs. Full
regulation includes permit requirements, general
facility standards, and unit-specific standards (as
discussed in Section III, Chapter 5). The universal
waste program includes only two additional
specific universal waste requirements for
destination facilities. These requirements are
procedures for rejecting shipments of universal
waste and the documentation of the receipt of
universal waste.
SUMMARY
EPA developed a regulatory approach to
regulate different hazardous waste recycling
activities in accordance with the degree of hazard
they pose. The three types of regulation are: full
regulation, exemptions, and special standards.
Persons who generate, transport, and store
hazardous wastes prior to recycling must manage
them in the same manner as persons who handle
hazardous wastes prior to disposal. The recycling
process itself is exempt from regulation.
Certain hazardous wastes, based on the
manner in which they are recycled, or based on
regulation by other environmental statutes, are
exempt from hazardous waste regulation. Those
wastes are:
Industrial ethyl alcohol
Scrap metal
Waste-derived fuels from refining processes
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Managing Hazardous WasteRCRA Subtitle C
SECTION III
Unrefined waste-derived fuels and oils from
petroleum refineries
Petroleum coke.
Some recycling processes are not fully exempt
from hazardous waste regulation, but are instead
subject to specialized standards. These processes
are:
Use constituting disposal
Precious metal reclamation
Lead-acid battery reclamation (regenerated
batteries are exempt from hazardous waste
regulation entirely)
Burning for energy recovery.
Certain commonly recycled materials are
subject to streamlined hazardous waste regulation.
One type of material, used oil, is regulated under
its own recycling program. Used oil is defined as
any oil that has been refined from crude oil or any
synthetic oil that has been used and as a result of
such use is contaminated by physical or chemical
impurities.
The used oil recycling provisions include
management standards for used oil:
Generators
Collection centers and aggregation points
Chapter 2: Hazardous Waste Recycling and Universal Wastes
Transporters
Transfer facilities
Processors and rerefiners
Burners
Marketers.
Another type of material, universal waste, is
also subject to streamlined management
provisions. The universal waste program is
designed to encourage the recycling of certain
widely generated hazardous wastes by easing the
regulatory burden on persons who handle,
transport, and collect them. Universal wastes
consist of:
Hazardous waste batteries
Hazardous waste pesticides that are either
recalled or collected in waste pesticide
collection programs
Hazardous waste thermostats.
The universal waste program includes
regulatory provisions for universal waste handlers,
transporters, and destination facilities.
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Managing Hazardous WasteRCRA Subtitle C
SECTION III
Chapter 3: Regulations Governing Hazardous Waste Generators
CHAPTER 3
REGULATIONS GOVERNING HAZARDOUS
WASTE GENERATORS
In this chapter...
Overview III-45
Who Are The Regulated Generators? III-46
- Large Quantity Generators III-46
- Small Quantity Generators III-47
- Conditionally Exempt Small Quantity
Generators III-47
- Episodic Generation III-47
- State Regulations III-47
Large and Small Quantity Generator
Regulatory Requirements III-48
- Waste Identification and Counting III-48
- EPA Identification Numbers III-48
- Accumulation of Waste III-48
- Preparation for Transport Regulations III-49
- The Manifest III-49
- Recordkeeping and Reporting III-50
Conditionally Exempt Small Quantity
Generators 111-51
Quantity and Time Limits 111-51
International Shipments III-52
- Hazardous Waste Imports III-52
- Hazardous Waste Exports III-52
- International Treaties III-52
Farmer Exclusion III-53
Summary III-53
OVERVIEW
Under RCRA, hazardous waste generators are
the first link in the cradle-to-grave hazardous
waste management system. All generators must
determine if their waste is hazardous and must
oversee the ultimate fate of the waste. RCRA
Subtitle C requires generators to ensure and fully
document that the hazardous waste they produce
is properly identified, managed, and treated prior
to recycling or disposal. The regulations
applicable to generators of hazardous waste are
located in 40 CFR Part 261 and Part 262.
(Generators may also be subject to LDR
requirements as discussed in Section III, Chapter
6.) The degree of regulation to which each
generator is subject depends to a large extent on
how much waste each generator produces every
month. This chapter summarizes who is
considered a generator, and which standards
apply based on waste generation rates.
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SECTION III
Managing Hazardous WasteRCRA Subtitle C
Chapter 3: Regulations Governing Hazardous Waste Generators
WHO ARE THE REGULATED
GENERATORS?
The Subtitle C regulations broadly define the
term generator to include any person, by site,
who:
First creates or produces a hazardous waste
(e.g., from an industrial process)
OR
First brings a hazardous waste into the RCRA
Subtitle C system (e.g., imports a hazardous
waste into the United States).
Because generators are the first step in the
RCRA Subtitle C system, it is important that they
properly classify and identify their waste to ensure
proper handling later in the hazardous waste
management process. As a result, generators of
waste must make the following determinations:
Is the waste a solid waste?
Is the waste excluded?
Is the waste a listed hazardous waste?
Is the waste a characteristic hazardous waste?
Hazardous waste generators may include
various types of facilities and businesses ranging
from large manufacturing operations, universities,
and hospitals to small businesses and laboratories.
Because these different types of facilities generate
different volumes of wastes resulting in varying
degrees of environmental risk, RCRA regulates
generators based on the amount of waste that they
generate in a calendar month. As a result, there
are three categories of hazardous waste
generators:
Large quantity generators (LQGs)
Small quantity generators (SQGs)
CESQGs.
Large Quantity Generators
Early in the development of the RCRA
program in 1980, EPA recognized that a relatively
small number of large scale hazardous waste
management facilities generated the majority of
the nation's hazardous waste. In order to address
the facilities that posed the greatest threat to
human health and the environment, EPA focused
on those generators that produced the greatest
volumes of hazardous waste by establishing
standards for large quantity generators.
Large quantity generators are defined as
those facilities that generate:
Greater than 1,000 kg of hazardous waste per
calendar month (approximately 2,200 Ibs)
OR
Greater than 1 kg of acutely hazardous waste
per calendar month (approximately 2.2 Ibs).
In 1997, there were approximately 20,000
LQGs.
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Managing Hazardous WasteRCRA Subtitle C
SECTION III
Chapter 3: Regulations Governing Hazardous Waste Generators
Small Quantity Generators
The LQG regulations focused on generators
whose volume of waste posed the greatest threat
to human health and the environment. All other
generators that produced less than 1,000 kg of
hazardous waste per month (or less than 1 kg of
acutely hazardous waste per month) were
historically exempted from the RCRA generator
requirements.
Because of the concern that such exempt
hazardous waste could cause environmental harm,
Congress (through HSWA) required that EPA also
regulate those small quantity generators who
produced more than 100 kg of hazardous waste.
SQGs are defined as those facilities that:
Generate between 100 kg (approximately 220
Ibs) and 1,000 kg of hazardous waste per
calendar month
AND
Accumulate less than 6,000 kg (approximately
13,200 Ibs) of hazardous waste at any time.
In 1997, there were approximately 236,000
SQGs.
Conditionally Exempt Small Quantity
Generators
Until HSWA, facilities generating waste below
the 100-kg cut-off point were exempt from RCRA
regulatory requirements. HSWA resulted in a
third category of generators, CESQGs. These
generators are defined as those facilities that
produce:
Less than 100 kg of hazardous waste per
calendar month
OR
Less than 1 kg of acutely hazardous waste per
calendar month.
DRY CLEANERS
The CESQG requirements additionally limit
the facility's waste accumulation to less than
1,000 kg of hazardous waste, 1 kg of acute
hazardous waste, or 100 kg of any residue from
the cleanup of a spill of acute hazardous waste at
any time.
In 1997, there were between 455,000 and
700,000 CESQGs.
Episodic Generation
Because generator status is determined on a
monthly basis, it is possible that a generator's
status can change from one month to the next,
depending on the amount of waste generated in a
particular month. This is referred to as episodic
generation. If a generator's status does in fact
change, the generator is required to comply with
the respective regulatory requirements for that
class of generators for the waste generated in that
particular month.
State Regulations
State classification of generator categories may
be different from those outlined above. Some
states regulate all generators of hazardous waste
(i.e., there is no exempt category), while other
states classify generators by waste type rather than
by generated volume. Therefore, it is imperative
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SECTION III
Managing Hazardous WasteRCRA Subtitle C
Chapter 3: Regulations Governing Hazardous Waste Generators
that generators contact their respective state
agency to determine if state generator regulations
differ from these federal requirements.
LARGE AND SMALL QUANTITY
GENERATOR REGULATORY
REQUIREMENTS
LQGs and SQGs are subject to regulations
contained in 40 CFR Part 262 that require each
generator to:
Identify and count waste
Obtain an EPA ID number
Comply with accumulation and storage
requirements (including requirements for
training, contingency planning, and
emergency arrangements)
Prepare the waste for
transportation
Track the shipment and
receipt of such waste
Meet recordkeeping
and reporting
requirements.
Because SQGs produce
a smaller portion of the
nation's hazardous waste, Congress was
concerned that full regulation might be
economically burdensome and inappropriate.
Consequently, Congress authorized EPA to reduce
the regulatory requirements applicable to SQGs
provided that such requirements were still
protective of human health and the environment.
This chapter fully discusses these regulatory
requirements and notes the differences between
LQG and SQG regulatory provisions.
Waste Identification and Counting
In order to determine which generator
standards a facility must comply with, generators
are required to identify each waste that they
generate and determine all applicable listings and
characteristics. After determining which wastes
are hazardous, each month, generators are
responsible for totaling (or counting) the weight of
all hazardous wastes generated in that month in
order to determine if they will be regulated as a
LQG, SQG, or CESQG for that particular month.
EPA Identification Numbers
One way that EPA monitors and tracks
generators is by assigning each LQG and SQG a
unique EPA ID number. If you generate, treat,
store, dispose of, transport, or offer for
transportation any hazardous waste, you must
have an ID number. Furthermore, the generator is
forbidden from offering hazardous waste to any
transporter or TSDF that does not also have an
EPA ID number. ID numbers are issued to each
generator for each individual site or facility
property where hazardous waste is generated.
Generators may request ID number application
forms from their state agency.
Accumulation of Waste
LQGs and SQGs are also subject to facility
waste management standards. A LQG may
accumulate hazardous waste on site for 90 days or
less. Under temporary, unforeseen, and
uncontrollable circumstances, this 90-day period
may be extended for up to 30 days by the EPA
Regional Administrator on a case-by-case basis.
LQGs must comply with the following
requirements:
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Managing Hazardous WasteRCRA Subtitle C
SECTION III
Chapter 3: Regulations Governing Hazardous Waste Generators
Proper Management The waste is properly
accumulated in containers, tanks, drip pads,
or containment buildings. Hazardous waste
containers must be kept closed and marked
with the words "Hazardous Waste." Tanks
and containers are required to be marked with
the date on which accumulation began and
the generator must ensure and document that
waste is shipped off site within the allowable
90-day period.
Emergency Plan LQGs are required to have
formal written contingency plans and
emergency procedures in the event of a spill
or release.
Personnel Training Facility personnel must
be trained in the
proper handling of
hazardous waste
through an established
training program.
Considering the lesser risks posed by the
generation of lesser quantities of hazardous waste,
SQGs are subject to less extensive facility waste
management provisions. A SQG may accumulate
hazardous waste on site for 180 days or less.
SQGs transporting hazardous waste for off-site
treatment, storage, or disposal over distances
greater than 200 miles may accumulate waste for
up to 270 days. SQGs must comply with the
following requirements:
Proper Management The waste is properly
accumulated in either tanks or containers
marked with the words "Hazardous Waste."
Tanks and containers must also be marked
with the date on which accumulation began.
Emergency Plan The SQG requirements
include specified emergency responses;
however, SQGs are not required to have
written contingency plans. They are required
to ensure that an emergency coordinator is on
the premises, or on-call at all times, and have
basic facility safety information readily
accessible.
Personnel Training SQGs are not required
to have an established training program, but
must ensure that employees handling
hazardous waste are familiar with proper
handling and emergency procedures.
Preparation for Transport Regulations
Pre-transport regulations are designed to
ensure safe transportation of hazardous waste
from the point of origin to the ultimate disposal
site. In developing hazardous waste pre-transport
regulations, EPA adopted DOT's regulations for
packaging, labeling, marking, and placarding.
These DOT regulations can be found at 49 CFR
Parts 172, 173, 1 78, and 1 79. DOT regulations
require:
Proper packaging to prevent leakage of
hazardous waste during both normal transport
conditions and potentially dangerous
situations (e.g., if a drum falls off of a truck)
Labeling, marking, and placarding of the
packaged waste to identify the characteristics
and dangers associated with its transport.
These pre-transport regulations only apply to
generators shipping waste off site for treatment,
storage, or disposal. Transportation on site is not
subject to these pre-transport requirements.
The Manifest
As previously discussed, the Subtitle C
program is designed to manage hazardous waste
from cradle to grave. The Uniform Hazardous
Waste Manifest (Form 8700-22) plays a crucial part
in this management system. (A sample of the
manifest can be found in Appendix A.) The
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SECTION III
Managing Hazardous WasteRCRA Subtitle C
Chapter 3: Regulations Governing Hazardous Waste Generators
manifest allows all parties involved in hazardous
waste management (e.g., generators, transporters,
TSDFs, EPA, state agencies) to track the movement
of hazardous waste from the point of generation
to the point of ultimate treatment, storage, or
disposal. A RCRA manifest contains the following
federally required information:
Name, address, and EPA ID number of the
hazardous waste generator, transporter(s), and
designated facility
DOT description of the waste's hazards
Quantities of the wastes transported and
container type.
Each manifest also contains a certification that
states:
The shipment has been accurately described
and is in proper condition for transport
The generator has a waste minimization
program in place at its facility to reduce the
volume and toxicity of hazardous waste to the
degree economically practicable, as
determined by the generator
The treatment, storage, or disposal method
chosen by the generator is the most
practicable method currently available that
minimizes the risk to human health and the
environment.
Each time a waste is transferred (e.g., from a
transporter to the designated facility or from a
transporter to another transporter), the manifest
must be signed to acknowledge receipt of the
waste. A copy of the manifest is retained by each
individual in the transportation chain. Once the
waste is delivered to the designated facility, the
owner and operator of that facility must sign and
return a copy of the manifest to the generator.
This system ensures that the generator has
documentation that the hazardous waste has
arrived at its ultimate destination. To further
ensure the safe transport of hazardous waste, a
generator may not offer waste for transport unless
that transporter has an EPA ID number.
Recordkeeping and Reporting
The recordkeeping and reporting
requirements for LQGs and SQGs provide EPA
and the states with a method to track the
quantities of hazardous waste generated and the
movement of hazardous wastes. The generator
regulations in 40 CFR Part 262 contain three
primary recordkeeping and reporting
requirements:
Biennial reporting
Exception reporting
Three-year record retention.
Biennial Reporting
The biennial reporting requirements are
intended to provide EPA with reliable national
data on hazardous waste management. In order
to achieve this, LQGs must submit a Biennial
Report (EPA Form 8700-T3A and B) to the EPA
Regional Administrator or state by March 1 of
each even-numbered year. The report details the
generator's activities during the previous calendar
year and includes the:
EPA ID number, name, and address of the
generator
EPA ID number and name of each transporter
used throughout the year
EPA ID number, name, and address of each
off-site TSDF and recycler to which waste was
sent during the year
Descriptions and quantities of each hazardous
waste generated.
The federal RCRA regulations do not require
SQGs to file biennial reports.
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Managing Hazardous WasteRCRA Subtitle C
SECTION III
Chapter 3: Regulations Governing Hazardous Waste Generators
Exception Reporting
The RCRA regulations ensure that the
transport of hazardous waste from its point of
generation to its point of treatment, storage, or
disposal is documented through a manifest
system. This system requires the designated
facility to return a signed and dated copy of the
manifest to the generator in order to acknowledge
receipt of the waste. If the generator does not
receive this paperwork, additional steps need to
be taken in order to locate the waste. As a result,
LQGs who transport waste off site, but do not
receive a signed and dated copy of the manifest
from the designated facility within 45 days from
the date on which the initial transporter accepted
the waste, must submit an exception report to the
EPA Regional Administrator. The exception report
must describe efforts made to locate the waste
and the results of those efforts.
SQGs who do not receive a signed and dated
copy of the manifest from the designated facility
within 60 days must send a copy of the original
manifest to the EPA Regional Administrator with a
note indicating that they have not received a
return copy.
Record Retention
Generators must keep a copy of each biennial
report and any exception reports for at least three
years from the due date of the report. Generators
are also required to keep copies of all manifests
for three years, or until
a signed and dated copy
of the manifest is
received from the
designated facility. The
manifest received from
the designated facility
must be kept for at least
three years from the
date on which the
hazardous waste was
accepted by the initial transporter. Finally, records
of waste analyses and determinations performed
by the generator must be kept for at least three
years from the date the waste was last sent to an
on-site or off-site TSDF. These retention periods
may be extended automatically during the course
of any unresolved enforcement action regarding
the regulated activity, or as requested by the EPA
Administrator.
CONDITIONALLY EXEMPT SMALL
QUANTITY GENERATORS
While CESQGs are not subject to the
requirement to obtain an EPA ID number, comply
with accumulation and storage requirements,
follow the manifest system, or meet recordkeeping
and reporting requirements, they are subject to
limited generator waste management standards.
CESQGs may also be subject to DOT
requirements. CESQGs must:
Identify their hazardous waste
Comply with storage limit requirements
Treat or dispose of their hazardous waste in an
on-site or off-site hazardous waste TSDF; state
permitted, licensed, or registered solid waste
disposal facility; recycling facility; or universal
waste facility.
QUANTITY AND TIME LIMITS
LQGs, SQGs, and CESQGs are subject to
specific quantity and time limits that restrict the
amount of waste that may be stored on site at any
one time, and the length of such storage. For
example, SQGs may not store more than 6,000 kg
of hazardous waste on site at any one time, and
CESQGs may not store more than 1,000 kg of
hazardous waste on site at any one time. LQGs
must move all of the waste that they generate in a
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Chapter 3: Regulations Governing Hazardous Waste Generators
particular month off site within 90 days, while
SQGs have 180 days to move all waste off site. If
SQGs or CESQGs exceed their respective storage
quantity limits, or if LQGs or SQGs exceed their
respective accumulation time limits, the facility
becomes a storage facility subject to all applicable
requirements for TSDFs (including permitting)
unless they have received an accumulation time
limit extension from EPA or their state.
INTERNATIONAL SHIPMENTS
Not all hazardous wastes that are managed in
the United States originate in this country.
Similarly, not all wastes generated in the
United States are managed exclusively
in this country. To ensure that such
international shipments are
handled in a manner that protects
human health and the
environment, RCRA contains
management provisions for both
hazardous waste imports and
exports. Because such shipments are
also governed by various international
treaties and agreements, the RCRA
regulations include provisions which implement
these treaties and agreements.
Hazardous Waste Imports
Under RCRA, any person importing a
hazardous waste into the United States from a
foreign country is subject to the hazardous waste
generator standards. As a result, an importer is
subject to all generator requirements, including
the completion of a hazardous waste manifest.
Subpart F of Part 262 contains special instructions
for importers completing the manifest.
Hazardous Waste Exports
RCRA also contains specific requirements for
hazardous waste exports. For example, there are
specific notification requirements for exports of
hazardous wastes that prohibit the export of
hazardous waste unless the exporter obtains
written consent from the receiving country prior to
shipment. This written consent must be attached
to the manifest accompanying each waste
shipment.
To export a hazardous waste, the exporter
must notify the EPA Administrator 60 days prior to
when the waste is scheduled to leave the United
States. This notification may cover export
activities extending over a 12-month
period, unless information in the
notification changes. If the
importing country agrees to accept
the hazardous waste, EPA will
send an Acknowledgment of
Consent to the exporter, who may
then export the waste to the
accepting country. In 1993, the
United States exported approximately
142,000 tons of hazardous waste.
International Treaties
Two international treaties may affect U.S.
hazardous waste import and export practices.
They are the Basel Convention and the
Organization for Economic Cooperation and
Development (OECD) Council Decision.
Basel Convention
The Basel Convention establishes standards
for the transboundary movement of hazardous
waste, solid waste, and municipal incinerator ash,
including notice to and written confirmation from
the receiving country prior to export. As of 1996,
over 90 countries were party to the Convention.
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Chapter 3: Regulations Governing Hazardous Waste Generators
Although the United States is not currently a party
to the Basel Convention, the Convention still
affects U.S. importers and exporters in the
following manner. Parties to the Basel Convention
cannot trade Basel-covered wastes with
nonparties in the absence of a bilateral or
multilateral agreement (in this case, a separate
agreement between countries or groups of
countries to govern the transboundary movement
of waste). As a result, U.S. businesses, as a
practical matter, can only import waste from and
export waste to those Basel countries with which
the U.S. government has negotiated a separate
waste trade agreement. Those countries with
which the United States has entered into such
bilateral agreements for import and export include
Canada and Mexico. Those countries with which
the United States has entered into a bilateral
agreement for import include Malaysia and Costa
Rica.
Organization for Economic Cooperation
and Development Council Decision
The OECD Council Decision is another
multilateral agreement that establishes procedural
and substantive controls for the import and export
of hazardous waste recyclables between OECD
member nations. The agreement is intended to
ease the trade of such recyclables and minimize
the possibility that such wastes will be abandoned
or handled illegally. As of 1996, there were 25
member countries in the OECD. Since the United
States is a member of OECD and is a party to the
Decision, U.S. businesses can trade recyclables
with other member OECD nations (including
those that are also party to the Basel Convention).
(Please note, however, that the transboundary
movement of hazardous waste recyclables
between the United States and Canada, and the
United States and Mexico is still governed by the
U.S./Canadian and U.S./Mexican bilateral
agreements, and not by the OECD Decision.)
FARMER EXCLUSION
Although a farmer may be a generator of
hazardous waste, waste pesticides disposed of on
a farmer's own property in compliance with
specified waste management requirements,
including the disposal instructions on the pesticide
label, are not subject to the generator
requirements. This exclusion is intended to
prevent the double regulation of farmers under
both RCRA and the Federal Insecticide, Fungicide,
and Rodenticide Act (FIFRA).
SUMMARY
Hazardous waste generators regulated under
RCRA fall into three categories, based on the
amount of hazardous waste generated per
calendar month:
LQGs
SQGs
CESQGs.
LQGs and SQGs must:
Identify and count waste
Obtain an EPA ID number
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Chapter 3: Regulations Governing Hazardous Waste Generators
Comply with accumulation and storage
requirements (including requirements for
training, contingency planning, and
emergency arrangements)
Prepare the waste for transportation
Track the shipment and receipt of such waste
Meet recordkeeping and reporting
requirements.
LQGs and SQGs may also be subject to LDR
requirements.
CESQGs are not subject to most of the
generator requirements applicable to LQGs and
SQGs, but they must identify their hazardous
waste, comply with storage limit requirements,
and ensure waste treatment or disposal in an on-
site or off-site:
Hazardous waste TSDF
State permitted, licensed, or registered solid
waste disposal facility
Recycling facility
Universal waste facility.
Any person importing hazardous waste into
the United States from a foreign country is
subject to hazardous waste generator standards.
RCRA also contains specific requirements for
hazardous waste exports. Importers and
exporters must also comply with the provisions of
international trade treaties, such as the Basel
Convention and the OECD Council Decision.
Because farmers disposing of certain pesticide
wastes on their own land are subject to
regulation under both RCRA and FIFRA, RCRA
specifically excludes such farmers from the
generator requirements.
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Managing Hazardous WasteRCRA Subtitle C
SECTION III
Chapter 4: Regulations Governing Hazardous Waste Transporters
CHAPTER 4
REGULATIONS GOVERNING HAZARDOUS
WASTE TRANSPORTERS
In this chapter...
Overview 111-55
Who Are the Regulated Transporters? 111-55
Regulatory Requirements 111-56
- EPA Identification Number 111-56
- The Manifest 111-56
- Handling Hazardous Waste Discharges 111-57
Transfer Facilities 111-57
Additional Regulatory Requirements 111-57
Summary 111-58
OVERVIEW
Hazardous waste transporters play an integral
role in the cradle-to-grave hazardous waste
management system by delivering hazardous
waste from its point of generation to its ultimate
destination. Since such transporters are moving
regulated wastes on public roads and highways,
rails, and waterways, they are regulated not only
by RCRA, but by DOT standards as well.
To avoid regulatory discrepancies and
redundant regulations, the hazardous
waste transporter regulations were
developed jointly by EPA and DOT.
Although the regulations are integrated,
they are not located in the same part of
the CFR. DOT's Hazardous Materials
Transportation Act regulations are found in
49 CFR Parts 171 -1 79, while the RCRA
Subtitle C transporter requirements are located in
40 CFR Part 263. This chapter summarizes only
the RCRA Subtitle C transporter regulations.
Please consult the DOT regulations for a complete
understanding of hazardous waste transporter
requirements.
WHO ARE THE REGULATED
TRANSPORTERS?
A hazardous waste transporter under Subtitle
C is any person engaged in the off-site
transportation of hazardous waste within the
United States, if such transportation requires a
manifest. Off-site transportation of hazardous
waste includes shipments from a hazardous waste
generator's facility property to another facility for
treatment, storage, or disposal. Regulated off-site
transportation includes shipments of hazardous
waste by air, rail, highway, or water.
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Managing Hazardous WasteRCRA Subtitle C
Chapter 4: Regulations Governing Hazardous Waste Transporters
Transporter regulations only apply to the off-
site transport of hazardous waste. The transporter
regulations do not apply to the on-site
transportation of hazardous waste within a
facility's property or boundary. On site refers to
geographically contiguous properties, even if the
properties are separated by a public road.
Consequently, a facility may ship wastes between
two properties without becoming subject to the
hazardous waste transporter regulations, provided
that the properties are contiguous. Transporter
requirements do apply to shipments between
noncontiguous properties that require travel on
public roads. Examples of such on-site
transportation include generators and TSDFs
transporting waste within their facilities, or on
their own property.
REGULATORY REQUIREMENTS
FOR TRANSPORTERS
A transporter of hazardous waste is subject to
several regulations under RCRA and must:
Obtain an EPA ID number
Comply with the manifest system
Properly handle hazardous waste discharges.
EPA Identification Number
One way that EPA keeps track of hazardous
waste transporters is by requiring each
transportation company to obtain an EPA ID
number. Without this ID number, the transporter
is forbidden from transporting hazardous waste.
Unlike generator EPA ID numbers, which are site-
specific, transporter numbers are assigned to the
transportation company as a whole. This means
that each individual truck does not receive a
unique number, but rather, uses the number
issued to the company's headquarters location.
The Manifest
With the exception of water and rail
shipments and the transport of certain SQG
recycling wastes, a transporter may not accept
hazardous waste from a generator unless the
waste is accompanied by a properly prepared
manifest. Upon receiving the waste, the
transporter must sign and date the manifest to
acknowledge receipt and return a copy to the
generator before leaving the generator's property.
A copy of the manifest must accompany the
shipment of the waste at all times. Once a
transporter has accepted a waste, the transporter
is required to deliver the entire quantity of waste
to the next designated transporter or to the
designated facility. Upon turning the waste over
to another transporter or to the designated facility,
the transporter is required to have the manifest
signed and dated by the recipient. All transporters
are required to keep a signed copy of the manifest
for three years from the date the initial transporter
accepted the waste. If the waste cannot be
delivered as the manifest directs, the transporter
must contact the generator and receive further
instructions on whether to return the waste or take
it to another facility.
These manifest
requirements are
slightly different
for water and rail
transporters.
Water and rail
transporters must
comply with the
directions on the
manifest, obtain
an EPA ID number, and must be
listed on the manifest, but the manifest is not
required to physically accompany the waste
shipment at all times. Instead, both water and rail
transporters can use another shipping document
instead of the manifest, provided that it contains
the same information as the manifest. The initial
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SECTION III
Chapter 4: Regulations Governing Hazardous Waste Transporters
water or rail transporter must sign and date the
manifest or shipping document and ensure that it
reaches the designated facility, and the final water
or rail transporter must ensure that the owner and
operator of the designated facility signs the
manifest or shipping paper. Intermediate water
and rail transporters are not required to sign the
manifest or shipping paper.
Because one of the primary goals of RCRA is
to foster resource recovery and recycling, the
transporter regulations contain a special
exemption from the manifest requirements for
transporters who handle certain recycled (or
reclaimed) wastes generated by SQGs. This
exemption is intended to facilitate the recycling of
small quantities of hazardous wastes that are
transported in a protective manner. To qualify for
this exemption, the waste must be reclaimed
under a contractual agreement between the SQG
and a recycling facility. The agreement must
specify the type of waste reclaimed and the
frequency of shipments. In addition, the vehicle
used to transport the waste must be owned and
operated by the recycling facility. Both the
generator and transporter are responsible for
keeping a copy of the reclamation agreement on
file for three years after the agreement ends.
Handling Hazardous Waste Discharges
Even though the regulations are designed to
ensure that hazardous waste shipments are
conducted safely, the transportation of hazardous
waste can still be dangerous as there is always the
possibility that an accident may occur. To address
this possibility, the regulations require transporters
to take immediate action to protect human health
and the environment if a release occurs (e.g.,
notifying local authorities and diking the discharge
area). When a serious accident or spill occurs, the
transporter must notify the National Response
Center by phone. The Centers for Disease Control
(CDC) must also be informed if the spill involves
disease-causing agents.
The regulations also authorize certain federal,
state, or local officials to handle transportation
accidents. Specifically, if immediate removal of
waste is necessary to protect human health or the
environment, one of these officials may authorize
a nonmanifested removal of the waste by a
transporter without an EPA ID number.
TRANSFER FACILITIES
Transporters accepting hazardous waste from a
generator or another transporter may need to hold
waste temporarily during the normal course of
transportation. A transfer facility is defined as
any transportation-related facility, such as loading
docks, parking areas, storage areas, and other
similar areas where shipments are held during the
normal course of transportation. A transporter
may hold waste at a transfer facility for up to 10
days.
ADDITIONAL REGULATORY
REQUIREMENTS
Even though transporters are regulated under
Part 263 of the RCRA regulations and DOT
provisions, there are certain situations when a
transporter may be subject to additional RCRA
regulatory requirements. For example, if a
transporter stores waste at a transfer facility for
more than 10 days, the transfer facility becomes a
storage facility subject to all applicable
requirements for TSDFs (including permitting).
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Managing Hazardous WasteRCRA Subtitle C
Chapter 4: Regulations Governing Hazardous Waste Transporters
In other situations, a transporter may be
subject to RCRA hazardous waste generator
requirements. For example, transporters may
import hazardous waste into the United States,
thus causing the waste to become subject to the
RCRA regulations. Also, transporters may mix
separate hazardous wastes with different shipping
descriptions into a single container, thus physically
producing a hazardous waste. In these instances,
transporters are responsible for complying with the
RCRA hazardous waste generator provisions (as
discussed in Section III, Chapter 3).
SUMMARY
A regulated transporter is defined under
Subtitle C as any person engaged in the off-site
transportation of hazardous waste, if such
transportation requires a manifest. The
transporter regulations do not apply to the on-site
transportation of hazardous waste within a
facility's property boundary.
Transporters of hazardous waste must comply
with both EPA and DOT regulations. The RCRA
Subtitle C regulations require a transporter to:
Obtain an EPA ID number
Comply with the manifest system
Properly handle hazardous waste discharges.
During the normal course of transportation,
transporters may hold waste temporarily (for up to
10 days) at a transfer facility.
Transporters of hazardous waste may also be
subject to Subtitle C generator or storage facility
requirements (e.g., if the transporter stores waste
at a transfer facility for more than 10 days or
imports hazardous waste into the United States).
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SECTION III
Chapter 5: Regulations Governing Treatment, Storage, and Disposal Facilities
CHAPTER 5
REGULATIONS GOVERNING TREATMENT,
STORAGE, AND DISPOSAL FACILITIES
In this chapter...
Overview
What is a TSDF?
- Permits and Interim Status
- Exemptions
General Facility Standards
- EPA Identification Numbers
- Waste Analysis
- Security
- Inspection Requirements
- Personnel Training
- Requirements for Ignitable, Reactive, or
Incompatible Waste
- Location Standards
Preparedness and Prevention
Contingency Plans and Emergency
Procedures
- Contingency Plan
- Emergency Coordinator
- Emergency Procedures
Manifest, Recordkeeping, and Reporting
- Manifest
- Operating Record
- Biennial Report
- Additional Reports
Standards for Hazardous Waste Treatment,
Storage, and Disposal Units
- Containers
- Containment Buildings
- Drip Pads
- Land Treatment Units
- Landfills
- Surface Impoundments
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- Tanks
- Waste Piles
- Miscellaneous Units
Closure
- Closure Requirements
- Post-Closure Requirements
Financial Assurance
- Financial Assurance for Closure/Post-
Closure Care
- Accident Liability Requirements
- Financial Assurance Mechanisms
Ground Water Monitoring
- General Requirements
- Permitted Facilities
- Interim Status Facilities
Air Emission Standards
- Process Vents
- Equipment Leaks
- Containers, Surface Impoundments, and
Tanks
- Other Requirements
Summary
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OVERVIEW
Treatment, storage, and disposal facilities
are the last link in the cradle-to-grave hazardous
waste management system. The requirements for
TSDFs, located in 40 CFR Parts 264 and 265, are
more extensive than the standards for generators
and transporters. They include general facility
operating standards, as well as standards for the
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Managing Hazardous WasteRCRA Subtitle C
Chapter 5: Regulations Governing Treatment, Storage, and Disposal Facilities
various types of units in which hazardous waste is
managed. General facility standards address good
management practices for any facility engaged in
hazardous waste management. The technical
standards go beyond these requirements to ensure
that all elements of the TSDF are constructed and
operated to prevent leaks of hazardous waste into
the environment. The technical standards also
address the diversity of hazardous waste
operations being conducted around the country
by guiding facilities in the proper design,
construction, operation, maintenance, and closure
of a variety of hazardous waste treatment, storage,
and disposal units. These unit standards include
requirements for a wide range of hazardous waste
management units, from containers (e.g., 55-
gallon drums) to landfills, in order to ensure that
these units handle waste safely and effectively.
WHAT IS A TSDF?
With some exceptions, a TSDF is a facility
engaged in one or more of the following activities:
Treatment - Any method, technique, or
process designed to physically, chemically, or
biologically change the nature of a hazardous
waste
Storage - Holding hazardous waste for a
temporary period, after which the hazardous
waste is treated, disposed of, or stored
elsewhere
Disposal - The discharge, deposit, injection,
dumping, spilling, leaking, or placing of any
solid or hazardous waste on or in the land or
water. A disposal facility is any site where
hazardous waste is intentionally placed and
where the waste will remain after a TSDF
stops operation.
To help owners and operators of new and
existing TSDFs comply with new RCRA
regulations, RCRA divides them into two
categories: permitted (new) and interim status
(existing).
Permits and Interim Status
When Congress enacted RCRA in 1976, it
directed EPA to develop standards for new TSDFs
(those built after the standards were established)
and for facilities that were already in operation.
Congress further required that the standards for
both new and existing facilities differ only where
absolutely necessary.
New TSDFs, those facilities constructed after
the regulations were promulgated, must be
designed and built to meet the standards EPA
deemed necessary to protect human health and
the environment. To handle hazardous waste, a
new facility must obtain a permit, in accordance
with provisions in 40 CFR Part 270, before it
begins operation. These facilities are called
permitted facilities. (Permitting is fully discussed
in Section III, Chapter 8.) The permit lays out the
standards and requirements applicable to the
specific activities conducted at that facility,
including both the general facility standards and
the standards applicable to each type of unit at
the facility. The requirements for these facilities
are located in 40 CFR Part 264.
On the other hand, facilities already in
existence and operating may not immediately be
able to meet the design and operating standards
for new facilities. For example, when RCRA was
enacted, existing hazardous waste management
facilities immediately became subject to
regulation, while other existing facilities managing
nonhazardous waste were brought into RCRA by
regulatory changes that made these wastes
hazardous. For both sets of TSDFs, EPA created a
special category of regulations to allow these
facilities to gradually come up to speed with the
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SECTION III
Chapter 5: Regulations Governing Treatment, Storage, and Disposal Facilities
standards for permitted facilities. These facilities
are called interim status facilities. While in
interim status, facilities must comply with these
separate standards, which are often less stringent
than the standards for permitted facilities and are
not tailored to individual sites, until they receive
their permit. The requirements for these facilities
are located in 40 CFR Part 265.
While the standards for permitted facilities are
often similar to those for interim status facilities,
there are circumstances where the standards for
new facilities would be impracticable for existing
facilities to implement immediately. This chapter
will focus primarily on the standards for permitted
facilities, contrasting them with the standards for
interim status facilities where appropriate.
Exemptions
In order to promote certain beneficial
activities or to avoid overlapping with the
requirements of other parts of RCRA or other
environmental laws, RCRA exempts certain types
of facilities or operations from the standards for
permitted and interim status TSDFs.
Perm/ts-by-Ru/e
Facilities that have permits for certain activities
under other environmental laws may qualify for a
special form of a RCRA permit, known as a
permit-by-rule. These activities include ocean
disposal of hazardous wastes regulated under the
Marine Protection, Research, and Sanctuaries Act
(MPRSA); underground injection of hazardous
wastes regulated under the Safe Drinking Water
Act (SDWA); and treatment of hazardous
wastewaters in a POTW regulated under CWA.
Under this exemption, the facility's non-RCRA
permit serves in place of a RCRA permit, provided
the facility is in compliance with that permit and
other basic RCRA administrative requirements.
(Permits-by-rule are fully discussed in Section III,
Chapter 8.)
Concf/f/ona//y Exempt Small Quantity
Generator Waste
Facilities that treat (including recycle), store, or
dispose of only hazardous waste generated by
CESQGs are excluded from the TSDF standards.
RCRA requires that such facilities be permitted,
licensed, or registered by the state to handle
nonhazardous industrial or municipal solid waste,
or qualify as a recycling facility. (CESQGs are fully
discussed in Section III, Chapter 3.)
Recyclable Materials
RCRA provides separate, reduced regulations
for TSDFs recycling certain materials. These
recycling facilities are generally exempt from the
TSDF standards, but may be required to comply
with streamlined hazardous waste management
requirements. These reduced provisions apply to
facilities recycling:
Precious metals
Lead-acid batteries
Used oil
Hazardous waste burned in boilers and
industrial furnaces.
For other recyclable materials, there are no
special requirements. For example, facilities
recycling the following materials are exempt from
all TSDF standards:
Industrial ethyl alcohol
Used batteries returned to the manufacturer
for regeneration
Scrap metal
Fuels produced from refining oil-bearing
hazardous wastes
Oil reclaimed from hazardous waste.
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Managing Hazardous WasteRCRA Subtitle C
Chapter 5: Regulations Governing Treatment, Storage, and Disposal Facilities
(Recyclable materials are fully discussed in
Section III, Chapter 2.)
Generators
Generators accumulating waste on site in
accordance with the generator regulations do not
need a permit and do not have to comply with the
permitted TSDF standards. They must comply
with only those interim status standards specified
in the generator regulations. On the other hand, if
SQGs or CESQGs exceed their respective storage
limits, or if LQGs or SQGs exceed their respective
accumulation time limits, the facility becomes a
storage facility subject to all applicable
requirements for TSDFs (including permitting).
(Generators are fully discussed in Section III,
Chapter 3.)
Farmers
Farmers disposing of pesticide wastes on their
own property in compliance with the disposal
instructions on the pesticide label are also not
subject to the TSDF standards. Congress
did not want to regulate farmers under
both RCRA and FIFRA.
Therefore, farmers meeting
these management
conditions are exempt
from the TSDF standards.
Toto//y Enclosed Treatment Units
Totally enclosed treatment units (TETUs) are
designed and constructed to eliminate the
potential for hazardous wastes to escape into the
environment during treatment. If directly
connected to an industrial production process,
and treatment prevents the release of hazardous
constituents into the environment, TETUs are
exempt from the TSDF standards.
Elementary Neutralization Units
Elementary neutralization units (ENUs) are
containers, tanks, tank systems, transportation
vehicles, or vessels that neutralize wastes that are
hazardous only for exhibiting the characteristic of
corrosivity (D003). Neutralization in such units is
exempt from the TSDF standards. However,
neutralization in other types of units is regulated.
Wostewoter Treatment Units
Wastewater treatment units (WWTUs) are
tanks or tanks systems that treat hazardous
wastewaters and discharge them pursuant to CWA
(e.g., the discharge is sent to a POTW or to
surface water under a NPDES permit). Such units
are exempt from the TSDF regulations.
Emergency Response
Treatment, storage, and disposal activities that
are part of an emergency response action taken to
immediately contain or treat a spill of hazardous
waste are exempt from TSDF standards. On the
other hand, any treatment, storage, or disposal
after the emergency situation has passed is subject
to full regulation. Likewise, any hazardous waste
generated during an emergency action must be
managed in accordance with the generator
standards.
Transfer Facilities
A transfer facility is a transportation-related
facility, including loading docks and parking and
storage areas, where shipments of hazardous
waste are temporarily held during the normal
course of transportation. A transfer facility
temporarily storing a manifested shipment of
hazardous waste for less than 10 days before
transfer to the next designated facility is not
subject to the TSDF standards. On the other
hand, if transporter storage at a transfer facility
exceeds 10 days, the transfer facility becomes a
storage facility subject to all applicable
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SECTION III
Chapter 5: Regulations Governing Treatment, Storage, and Disposal Facilities
requirements for TSDFs (including permitting).
(Transfer facilities are fully discussed in Section III,
Chapter 4.)
Adding Absorbent
Because liquid hazardous wastes are not
allowed in a landfill, absorbents must be added to
the container to remove the visible liquids.
Adding absorbent to hazardous waste may be
considered hazardous waste treatment, thus
triggering the TSDF standards. However, to
promote the reduction of the amount of liquid
hazardous waste sent to landfills, the regulations
for hazardous waste treatment do not apply to a
facility adding absorbent to waste when the waste
is first put into a container. Subsequent addition
of absorbent is not covered under this exemption
and may be considered treatment subject to the
TSDF standards.
Universal Waste Handlers
Handlers and transporters of recycled
batteries, pesticides, and mercury thermostats are
exempt from the TSDF standards. (Universal
wastes are fully discussed in Section III, Chapter
2.)
GENERAL FACILITY STANDARDS
If a TSDF is not exempt under any of these
provisions, then it must comply with the standards
for fully regulated TSDFs. These standards cover
good management practices, including keeping
track of the amount and type of wastes entering
the facility, training employees to safely manage
hazardous waste, and preparing to avoid
hazardous waste emergencies.
EPA Identification Numbers
As with generators and transporters of
hazardous waste, TSDF owners and operators are
required to notify EPA of the types of hazardous
waste they plan to treat, store, or dispose of by
applying for an EPA ID number.
Waste Analysis
To keep track of
the wastes being sent
for treatment, storage,
or disposal, TSDF
owners and operators
must analyze waste
shipments. The TSDF's
permit will list the types of hazardous waste that a
facility is allowed to treat, store, or dispose.
Analyzing the waste received ensures that the
facility only handles wastes they are permitted to
handle, and ensures that the wastes are treated,
stored, or disposed properly. A waste analysis
plan outlines the procedures necessary to ensure
proper treatment, storage, or disposal. The plan
must be written, kept on site, and answer six basic
questions:
How will the TSDF know if the waste received
is the same as that described on the manifest?
Which waste constituents should the TSDF
analyze?
How should the samples be taken?
What testing and analytical methods should
the facility use?
How often should the waste be retested?
What are the acceptance and rejection criteria
for each wastestream?
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The waste analysis must be repeated
periodically to ensure that the information on a
given waste is accurate and current. At a
minimum, the waste analysis must be repeated
when the TSDF is notified or has reason to believe
that the process or operation generating the
hazardous waste has changed, and when
inspection indicates that the hazardous waste
received does not match the information on the
accompanying manifest.
Security
Security provisions are intended to prevent
accidental or unauthorized entry into the active
portion of a facility (i.e., where hazardous waste is
treated, stored, or disposed). Unless the TSDF
owner and operator demonstrates to the
implementing agency that livestock or
unauthorized persons who enter the facility will
not be harmed and will not interfere with
compliance with the regulations, the facility must
install the following security measures:
A 24-hour surveillance system that
continuously monitors and controls entry onto
the active portion of the facility (e.g.,
television monitoring, guards)
OR
An artificial or natural barrier (e.g., a fence)
that completely surrounds the active portion
of the facility and serves as a means to control
entry to the active portion at all times through
gates or entrances
A sign reading: "Danger Unauthorized
Personnel Keep Out" at each entrance to the
active portion. The sign must be written in
English and any other language that is
predominant in the area surrounding the
facility. Alternative language conveying the
same message may also be used.
Inspection Requirements
To make sure that the facility is operating
properly, the TSDF owner and operator must
visually inspect the facility for malfunction,
deterioration, operator errors, and leaks. The
inspections should follow a written inspection
schedule developed and followed by the owner
and operator. The schedule identifies the types of
problems to be checked and how often
inspections should be conducted. Areas where
spills are more likely to occur, such as loading and
unloading areas, must be inspected daily when in
use. Unit-specific inspections or requirements
also must be included in the schedule. The owner
and operator must record inspections in a log or
summary and must remedy any problems
identified during inspections.
Personnel Training
To ensure that employees at the facility
understand the risks posed by management of
hazardous waste and are prepared to respond in
case of an emergency, TSDF owners and operators
must provide training. The training program must
be completed six months from the date the facility
is subject to the TSDF standards, or six months
after the date a worker is newly employed. This
training program must be reviewed annually.
Requirements For Ignitable, Reactive,
or Incompatible Waste
To avoid dangerous
accidents, fires, or
explosions, special care
must be taken in handling
ignitable, reactive, or
incompatible wastes.
TSDF owners and
operators handling
ignitable and reactive
wastes must be able to
NO
SMOKING
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demonstrate that these wastes are protected from
ignition sources. Such protection includes "No
Smoking" signs placed where ignitable and
reactive wastes are stored, designation of separate
smoking areas, and additional handling
requirements. Similarly, owners and operators
must take precautions against the combined
storage of wastes that might react dangerously with
one another, or with the unit in which they are
stored. Such a reaction might be a fire or
explosion, or the release of toxic dusts, gases, or
fumes. To determine if particular wastes or storage
units are compatible, the RCRA regulations list
some common potentially incompatible wastes (40
CFR Part 264, Appendix V). For compatibility of
wastes not listed in the regulations, the owner or
operator may need to test the waste and the unit
for compatibility.
Location Standards
Certain types of terrain may increase the
dangers associated with managing hazardous
waste. To protect people and the environment
around these areas, RCRA imposes restrictions on
where TSDFs can be built. The location standards
for building new TSDFs include restrictions on
siting TSDFs in floodplains or earthquake-sensitive
areas. Additionally, TSDF owners and operators
may not place noncontainerized or bulk liquid
hazardous waste in a salt dome, salt bed
formation, or underground mine or cave.
Congress has granted one exception to this rule:
DOE's Waste Isolation Pilot Project (WIPP) in New
Mexico.
PREPAREDNESS AND
PREVENTION
The preparedness and
prevention standards are
intended to minimize and
prevent emergency
situations at TSDFs, such as a fire, an explosion, or
any unplanned release of hazardous waste or
hazardous waste constituents to the air, soil, or
surface water. These regulations require
maintenance and routine testing of emergency
equipment, alarms, minimum aisle space (to
accommodate movement of personnel and
equipment during emergencies), and provisions
for contacting local authorities (police, fire
department, hospitals, and emergency response
teams) involved in emergency responses at the
facility.
CONTINGENCY PLANS AND
EMERGENCY PROCEDURES
Because emergencies cannot always be
avoided, a TSDF must be prepared to respond.
Contingency plans and emergency procedures
provide the owner and operator with mechanisms
to respond effectively to emergencies. The goal of
these requirements is to minimize hazards
resulting from fires, explosions, or any unplanned
release of hazardous waste or constituents to air,
soil, or surface water. To help guide these
activities, the owner and operator must maintain a
written contingency plan at the facility, and must
carry out that plan immediately in the event of an
emergency.
Contingency Plan
The contingency plan describes emergency
response arrangements with local
authorities and lists the names,
addresses, and telephone numbers
of all facility personnel qualified
to work with local authorities as
emergency coordinators.
Where applicable, the plan
might also include a list of
emergency equipment and
evacuation plans. If the owner
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and operator has already prepared an emergency
or contingency plan in accordance with other
regulations (e.g., the Spill Prevention, Control, and
Countermeasures (SPCC) rules as discussed in
Section VI, Chapter 1), they can amend the
existing plan to incorporate hazardous waste
management provisions.
The contingency plan must be reviewed and
amended when the applicable regulations or
facility permits are revised, if the plan fails in an
emergency, or when there are changes to the
facility, the list of emergency coordinators, or the
list of emergency equipment. A copy of the
contingency plan (and any revisions) must be
maintained at the facility and provided to all local
authorities who may have to respond to
emergencies.
Emergency Coordinator
To guide emergency response activities, the
TSDF owner and operator must designate an
emergency coordinator. The emergency
coordinator is responsible for assessing emergency
situations and making decisions on how to
respond. There must be at least one employee
either on the facility premises or on call with the
authority to commit the resources needed to carry
out the contingency plan.
Emergency Procedures
During an emergency, measures must be taken
to ensure that fires, explosions, and releases do
not occur, recur, or spread. In the event of an
imminent or actual emergency situation, the
emergency coordinator must immediately activate
internal facility alarms or communication systems
and notify appropriate state and local authorities.
If the coordinator determines that the emergency
threatens human health or the environment
outside of the facility and finds that evacuation of
local areas may be advisable, the coordinator must
notify appropriate authorities, and either the
designated government official for the area or the
National Response Center.
MANIFEST, RECORDKEEPING,
AND REPORTING
To keep track of hazardous waste activities,
TSDF owners and operators must keep records
and make reports to EPA. The manifest system
tracks each off-site shipment of hazardous waste.
The operating record and biennial report detail
facility and waste management over time.
Manifest
When a waste shipment is received from off
site, the TSDF owner and operator must sign and
date all copies of the manifest to verify that the
waste has reached the appropriate designated
facility. The TSDF must keep a copy for its records
and send a copy to the generator within 30 days
to verify that the waste has been accepted. If the
owner and operator of a TSDF must send the
waste to another TSDF for further treatment or
disposal, they must initiate a new manifest.
Operating Record
To keep track of
hazardous waste
activity at the
facility, the owner
and operator is
required to keep,
until the facility
closes, a written
operating record on site
describing all waste
received; methods and
dates of treatment,
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storage, and disposal; and the wastes' location
within the facility. All information should be cross-
referenced with the manifest number. Other
information that the TSDF must keep in its
operating record includes:
Waste analysis results
Details of emergencies requiring contingency
plan implementation
Inspection results (required to be kept for
three years).
While most records may be kept on computer
or microfiche, the TSDF owner and operator must
keep original, signed copies of all manifests for
inspection purposes. All records and plans must
be available for inspection.
Biennial Report
To track hazardous waste activity nationwide,
RCRA requires TSDFs to report to EPA the types
and amounts of hazardous wastes generated,
received, treated, stored, and disposed. TSDFs
that generate hazardous waste through the course
of on-site treatment, storage, or disposal must also
describe waste minimization efforts taken to
reduce the volume and toxicity of wastes
generated, as well as describe the changes in
volume or toxicity actually achieved, compared
with those achieved in previous years. Reports are
due to the EPA Regional Administrator on March 1
of each even-numbered year, and must detail the
waste managed during the previous (odd-
numbered) year. For example, the biennial report
covering 1997 activities would be due March 1,
1998. Some states may require submission of
such reports annually. Each owner and operator
should consult their state agency for more specific
biennial reporting information.
Additional Reports
Other reports that must be supplied to the
implementing agency include, but are not limited
to, reports of releases, fires and explosions, ground
water contamination and monitoring data, and
facility closure information. Spills may also trigger
reporting requirements under CERCLA, and the
Emergency Planning and Community Right-to-
Know Act (EPCRA). (CERCLA and EPCRA are fully
discussed in Section VI.)
STANDARDS FOR HAZARDOUS
WASTE TREATMENT, STORAGE,
AND DISPOSAL UNITS
Hazardous waste managed at TSDFs may be
treated, stored, or disposed of in several different
types of units. In order to ensure that hazardous
wastes are managed properly and in a safe
manner, RCRA imposes design, construction,
operation, maintenance, closure, and financial
assurance requirements on hazardous waste
management units.
Some of these units treat, store, or dispose of
hazardous waste in or on the ground. Because
these land-based units (i.e., land treatment units,
landfills, surface impoundments, and waste piles)
manage waste directly on the land, they have the
potential to generate hazardous leachate that can
pose a serious threat to soil, surface water, ground
water, and human health and the environment.
To minimize the potential for leachate to
threaten human health and the environment, EPA
developed design and operating standards that use
a combination of different technologies and good
operating practices to detect, contain, and clean
up any leaks that might occur.
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Waste management not only has the potential
to threaten ground water, surface water, and soil,
but air as well. In order to minimize the risks that
hazardous waste management poses to air, RCRA
includes standards to control air emissions from
certain hazardous waste management operations
and units.
Containers
Containers are one of the
most commonly used and
diverse forms of hazardous
waste storage. A container is
any portable device in which a
material is stored, transported,
treated, or otherwise handled. Examples of
hazardous waste containers include, but are not
limited to: 55-gallon drums, large tanker trucks,
railroad cars, small buckets, and test tubes. When
EPA promulgated the unit-specific requirements
for hazardous waste containers, the Agency
emphasized that although mismanagement of
containers has caused severe contamination in the
past, relatively few regulations would be needed
to ensure proper management. As a result, the
container standards consist of very streamlined
and basic management requirements.
Design Standards
Containers must be in good condition.
Containers that are deteriorating (e.g., cracked,
rusted, or leaking) cannot be used. Waste stored
in defective containers must be transferred to
containers in good condition or managed in
another type of unit.
Operating Requirements
To prevent containers from spilling their
contents, containers holding hazardous waste
must be kept closed, except when adding or
removing waste. In addition, containers must not
be handled, opened, or stored in a way that might
cause them to leak.
Inspections
In order to ensure that containers are being
managed in compliance with these regulations,
owners and operators must visually inspect
container storage areas at least weekly for leaking
and deteriorating containers.
Release Prevention and Response
To further prevent releases of hazardous waste
into the environment, containers holding liquid
hazardous wastes must have a secondary
containment system. Secondary containment is
emergency short-term storage designed to hold
leaks from hazardous waste management units.
An example of a secondary containment system is
a sloped concrete pad that drains leaked waste
into a tank. The secondary containment system
must be free of cracks, able to contain the spill,
and emptied quickly. Containers at interim status
facilities do not have secondary containment
requirements.
Spec/a/ Wastes
When handled improperly, some wastes can
ignite or explode. To protect communities near
the facility from these dangers, containers holding
ignitable or reactive wastes must be located at
least 50 feet from the facility's property line.
Other Requirements
In addition to these requirements, containers
storing or treating certain hazardous wastes are
subject to RCRA air emission control requirements
(as discussed later in this chapter). LQGs and
SQGs accumulating waste in containers are
subject to the interim status TSDF standards for
these units. SQGs, however, are not subject to the
air emission control requirements. (Generator
requirements are fully discussed in Section III,
Chapter 3.)
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Containment Buildings
A containment building is a completely
enclosed self-supporting structure (i.e., with four
walls, a roof, and a floor) used to store or treat
noncontainerized waste. Containment buildings
are generally used for the management of
hazardous waste debris and other bulky and high
volume hazardous wastes, but may be employed
for the management of any nonliquid hazardous
waste.
Design Standards
The design standards for containment
buildings stress structural soundness and
hazardous waste leak prevention. To ensure that a
containment building meets these standards, a
professional engineer must certify that the unit is
designed and installed according to the following
specifications:
The containment building must be completely
enclosed with four walls, a floor, and a roof.
The floor, walls, and roof must be constructed
of man-made materials with enough strength
to withstand movement of wastes, personnel,
and heavy equipment within the building.
Dust control devices, such as air-lock doors or
negative air pressure systems (that pull air into
the containment building) must also be used
as necessary to prevent hazardous waste dust
from escaping through these building exits.
All surfaces in the containment building that
come into contact with wastes during
treatment or storage must be chemically
compatible with such wastes. Incompatible
wastes that might cause unit failure cannot be
placed in containment buildings.
If the containment building is used to manage
hazardous waste with visible liquids, or if waste
treatment being conducted in the building
requires the addition of liquids to the waste, the
owner and operator must equip the unit with the
following:
A primary barrier constructed of materials to
prevent migration of the waste into the barrier
A liquid collection system to minimize
standing liquids in the containment building
and to facilitate liquid removal
A leak detection system located immediately
beneath the floor to indicate any weakness in
the floor and leaks of hazardous waste from
the unit
A secondary barrier, such as a liner,
constructed around the unit to contain any
leaks and to facilitate cleanup before they
reach nearby soils, surface water, or ground
water. As with the unit floor, the secondary
barrier must be structurally sound and
chemically resistant to wastes and liquids
managed in the containment building.
Some containment buildings designate certain
areas (known as wet areas) for the management of
liquid-containing wastes. Such buildings only
need secondary containment for these wet areas,
provided that waste liquids cannot migrate to the
dry areas of the containment building.
Operating Requirements
Containment building operating requirements
focus primarily on maintenance and inspection of
the unit, recordkeeping requirements, and
provisions for response to releases of hazardous
waste. Among other requirements, owners and
operators must:
Maintain the floor so that it is free of
significant cracks, corrosion, or deterioration
Repair or replace surface coatings or liners that
are subject to wear from movement of waste,
personnel, or equipment as often as needed
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Limit the height of wastes piled within the unit
Maintain dust control devices at all openings
to prevent emissions from the unit
Provide a decontamination area within the
containment building (e.g., an area for
washing vehicles and equipment prior to
leaving the building) to prevent the tracking of
waste out of the unit.
Inspections
Containment buildings must be inspected at
least once every seven days, with all activities and
results recorded in the operating log. During
inspection, the owner and operator should
evaluate the unit's integrity and assess nearby soils
and surface waters to detect any signs of waste
release. For purposes of these inspections, the
owner and operator should also consider
information from monitoring or leak detection
equipment.
Release Prevention and Response
If a release is discovered during an inspection
or at any time, the owner and operator must take
the leaking portion of the unit out of service and
take all appropriate steps to repair the leak and
contain the released waste. The owner and
operator must also notify the EPA Regional
Administrator of the release and of the proposed
schedule for repair of the unit. Upon completion
of all necessary repairs and cleanup, a qualified,
registered, professional engineer must verify, to the
EPA Regional Administrator, that the facility
complied with the plan.
Other Requirements
LQGs accumulating waste in containment
buildings are subject to the interim status TSDF
standards for these units. (Generator
requirements are fully discussed in Section III,
Chapter 3.)
Drip Pads
Drip pads are engineering structures
consisting of a curbed, free-draining base,
constructed of nonearthen materials, and
designed to convey wood preservative chemical
drippage from treated wood, precipitation, and
surface water run-on to an associated collection
system at wood preserving plants. In the wood
preserving process, preservative solutions are
commonly applied to wood products using a
pressure treating process. Once the preservative
solution has been applied to the wood, it is
removed from the process unit and excess solution
is allowed to drip from the wood onto drip pads.
The pads collect the drippage (along with
rainwater and surface water that has entered the
pad) and collects it in a tank, container, or other
such unit until the waste may be recycled, treated,
or disposed of (see Figure 111-10).
Design Standards
The various elements of a drip pad must be
designed and constructed to handle the wastes
managed on the unit and prevent those wastes
from leaking into the environment.
Pad
The owner and operator of the drip pad must
construct the pad of nonearthen materials (e.g.,
concrete, metal) and ensure that the pad is strong
enough to prevent collapse, cracking, or other
failure. The surface of the pad must have a raised
barrier (called a berm) around the perimeter to
prevent waste from running off the pad. It must
be sloped to help the drippage flow into the
collection unit, and must either be treated with
impermeable sealers, coatings, or covers to
prevent liquid from seeping into the base, or have
a liner with a leak detection and collection system.
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Liquid Collection System
The liquid collection system must be designed
to prevent overflow, allow facility personnel to
easily remove waste from the unit, and comply
with the hazardous waste tank standards. Where
applicable, the liquid collection system must also
be protected from rain water running into and out
of the unit.
Liner and Leak Detection System
The liners and leak detection system for drip
pads do not have specific technical design criteria,
but must be structurally sound and chemically
compatible with the preservative drippage, and
must be able to signal releases from the drip pad
at the earliest practicable time.
Operating Requirements
Generally, a drip pad must be free of cracks
and show no signs of corrosion or other types of
deterioration. Drip pads must be cleaned
frequently to allow for inspections of the entire
drip pad surface without interference from
accumulated wastes and residues. In addition to
occasional cleaning, drippage and precipitation
from the liquid collection system must be emptied
as often as necessary to prevent the waste from
flowing over the curb around the unit. All
collection tanks must also be emptied as soon as
possible after storms to ensure that they do not
overflow back onto the pad. Lastly, owners and
operators must minimize the tracking of hazardous
waste by personnel and vehicles.
Inspections
Drip pads must be inspected weekly and after
storms to ensure that the pad and the liquid
collection systems are functioning properly and to
check for deterioration of or leaks from the units.
If, upon inspection, a drip pad shows any
deterioration, the owner and operator must take
the affected portion of the unit out of service for
repairs before returning it to service.
Other Requ/remenfs
LQGs accumulating waste on drip pads are
subject to the interim status TSDF standards for
these units. (Generator requirements are fully
discussed in Section III, Chapter 3).
Land Treatment Units
Land treatment units, or land farms, are
seldom-used land disposal units. Land treatment
involves the application of waste on the soil
surface, or the incorporation of waste into the
upper layers of the soil in order to degrade,
transform, or immobilize hazardous constituents
present in hazardous waste. The waste is placed
Figure 111-10: CROSS-SECTION OF A DRIP PAD
Drip Pad
Wood Products
_ Treated With
Preservative
Solution
Berm
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in the portion of the surface soil above the water
table (or the highest point of the ground water
flow) to let the soil microbes and sunlight degrade
the hazardous waste. Because these units utilize
biodegradation as a method of hazardous waste
treatment thus necessitating certain operating and
waste management conditions, the design and
operating requirements for land treatment units
are quite different from other waste management
units.
Design Standards
Land treatment units must be equipped with
run-on, run-off, and wind dispersion controls.
Run-on and run-off controls prevent rain water
and other liquids from running onto the unit (and
creating leachate) and stop this leachate from
running off the unit, thus carrying contaminants
into surrounding soils, surface waters, and ground
water. Wind dispersal controls prevent wind gusts
from blowing small particles of hazardous waste
off a land treatment unit into the air and
surrounding soils and surface water. To prevent
wind dispersal, owners and operators of land
treatment units must apply a wind dispersal
control, such as a cover, to the unit.
Operating Requirements
The operating requirements for land treatment
units are intended to promote and maintain the
biodegradation of hazardous wastes placed in the
unit. Maintenance of proper soil pH, careful
management of waste application rate, and
control of surface water run-off are all key to the
operation of a land treatment unit. The operation
requirements include:
Controls on the rate and method of waste
application
Measures to control soil acidity
Measures to enhance microbial and chemical
reactions
Measures to control the moisture content of
the area where wastes are treated.
Treatment Program and Demonstration
In order to guarantee that these waste
treatment practices will be conducted to properly
degrade the waste, owners and operators of land
treatment units must design a treatment program
that takes into account the characteristics of the
site and the wastes to be handled. The owner and
operator must then demonstrate to EPA the
effectiveness of this plan. A treatment
demonstration may involve field testing on a
sample soil plot or laboratory testing. Interim
status land treatment units are not required to
establish a treatment program, but owners and
operators can only place hazardous waste in the
land treatment unit if the waste will be rendered
nonhazardous or less hazardous.
Food Chain Crops
In some cases, an owner and operator may
grow food-chain crops (crops grown for human
consumption) in a land treatment unit. The
Agency believes that this can be done safely if the
owner and operator can demonstrate that
hazardous constituents are not present in the crop
in abnormally high levels. Additionally, if
cadmium is present in the unit, the owner and
operator must comply with additional
management standards.
Inspections
The owner and operator must inspect the
treatment area weekly and after storms to ensure
that the unit is in compliance with the operating
criteria. In addition, the owner and operator must
establish a soil monitoring program. If there is
significant evidence that the wastes in the unit are
not responding to treatment and are sinking
towards the water table, the owner and operator
must notify the EPA Regional Administrator within
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seven days, and modify the treatment program to
ensure the sufficient treatment of hazardous
constituents within the treatment zone.
Spec/a/ Wastes
Certain types of hazardous wastes pose such a
threat to human health and the environment that
their management requires additional regulatory
precautions. Considering the risks associated with
the treatment, storage, and disposal of certain
dioxin-containing hazardous wastes (F020, F021,
F022, F023, F026, and F027), the RCRA
regulations restrict the management of these
wastes in land treatment units. As a result, owners
and operators can only manage these wastes in a
permitted land treatment unit in accordance with
a special management plan approved by the EPA
Regional Administrator. These wastes may not be
handled in interim status land treatment units
because these units do not meet the strict
construction standards, and thus, may not be
sufficiently protective.
Landfills
A landfill is a disposal unit where nonliquid
hazardous waste is placed in or on the land.
Landfills are the final disposal site, the ultimate
grave, for a significant portion of the hazardous
waste that is generated in the United States.
Design Standards
To minimize the potential for leachate to leak
from a landfill, EPA developed the following
design standards (see Figure 111-11):
Double liner
Double leachate collection and removal
system
Leak detection system
Run-on, run-off, and wind dispersal controls
Construction quality assurance.
Figure 111-11: CROSS-SECTION OF A LANDFILL
Ground Water
Monitoring Well
Double Liner
Double Leachate
Collection and
Removal System
Run-on/Run-off
Control
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Double Liner
The double liner system has two components:
a top liner and a composite bottom liner. The top
liner, usually a synthetic material, keeps the liquid
waste in the unit and prevents migration of
hazardous leachate and waste into the liner. The
composite bottom liner, consisting of a synthetic
liner (made of a special kind of plastic) on top of
three feet of compacted soil material, is designed
to prevent any liquids that have leaked through
the top liner from reaching underlying soils and
ground water.
Double Leachate Collection and Removal
System
Landfills must also be equipped with two
leachate collection and removal systems. The first
rests on the top liner, and the second between the
top liner and the bottom composite liner. The top
system collects any leachate that has filtered down
through the waste in the unit and pumps it out to
a collection tank, where it may be collected and
disposed. The bottom system collects any
leachate that has leaked through the top liner and
similarly pumps it out to a collection tank, where
it may similarly be collected and disposed.
Leak Detection System
While the lower leachate collection and
removal system will continually remove the small
amounts of liquid that might seep through the top
liner, it may not be capable of handling a larger
leak. Larger leaks can apply strong pressure on
the bottom liner, potentially causing it to fail. To
avoid this problem, RCRA requires that a leak
detection system be installed within the leachate
collection and removal system. This system must
be able to detect when the flow rate into the
leachate collection and removal system is above a
normal operating range, and warn the owner and
operator that the top liner may be leaking.
Run-On, Run-Off, and Wind Dispersal
Controls
The run-on, run-off, and wind dispersal
requirements are identical to those for land
treatment units.
Construction Quality Assurance
None of these technologies are effective if the
landfill is installed improperly or constructed of
inferior materials. To ensure that a landfill meets
all the technological requirements, EPA requires a
construction quality assurance program. The
program mandates a construction quality
assurance plan that identifies how construction
materials and their installation will be monitored
and tested and how the results will be
documented. The program must be developed
and implemented under the direction of a
registered professional engineer, who must also
certify that the construction quality assurance plan
has been successfully carried out and that the unit
meets all specifications before any waste is placed
into the unit.
Operating Requirements
In order to prevent the formation and
migration of leachate in landfills, owners and
operators may not place liquid hazardous wastes
in a landfill, unless the wastes are in:
Very small containers, such as ampules
Containers, such as batteries, that contain
small amounts of liquid for purposes other
than storage
Lab packs (drums filled with many small
containers packed in nonbiodegradable
absorbent materials).
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Owners and operators may add
nonbiodegradable absorbents to containers of
liquid hazardous waste to remove any visible
liquids. After all visible liquids have been
removed, the owner and operator may then place
the waste in a landfill.
Inspections
To ensure that the liners and leachate
collection and removal systems are working
properly, landfill owners and operators must:
Inspect liners for any problems after
construction or installation and continue
inspections weekly and after storms to monitor
for evidence of deterioration or damage
Monitor leachate collection and removal
system sumps at least weekly to measure the
amount of liquid in the sumps and determine
whether the upper liner might be leaking.
This is designed to verify both the integrity of
the liner and the efficiency of the leachate
pump. If the level indicates a substantial leak,
the owner and operator must notify EPA and
respond in accordance with the facility's
response action plan.
Release Prevention and Response
In order to prepare for a leak from a landfill,
RCRA requires that owners and operators of
hazardous waste landfills develop a response
action plan. The response action plan outlines the
short- and long-term actions to be taken in the
event of a leak. A short-term action might involve
shutting off the flow of hazardous waste into the
landfill. A long-term action might involve
emptying the unit and repairing or replacing the
damaged liner or leachate collection and removal
systems. As part of the plan, in the event of a
leak, the owner and operator must notify the EPA
Regional Administrator, determine what short-
term actions must be taken, determine the
location, size, and cause of any leak, and report
the findings to the EPA Regional Office.
Spec/a/ Wastes
Similar to land treatment units, permitted
landfills can only treat, store, or dispose of certain
dioxin-containing hazardous wastes (F020, F021,
F022, F023, F026, and F027) if the unit has a
special management plan approved by the EPA
Regional Administrator. These wastes cannot be
managed in interim status landfills.
Special Requirements for Certain Containers in
Landfills
Over time, the hazardous waste containers
placed in a landfill will decompose and collapse,
creating air pockets under the landfill cover.
When the wastes surrounding the container settle
to fill the void, the liner may also settle. Such
settling may cause the liner to stretch or tear. To
prevent significant voids that could cause collapse
of final covers and tearing of liners when
containers erode and to maintain and extend
available capacity in hazardous waste landfills,
containers placed in a landfill must either be:
At least 90 percent full
OR
Crushed, shredded, or in some other way
reduced in volume (unless they are very small
containers, such as ampules).
Surface Impoundments
A surface impoundment is a natural
topographic depression, man-made excavation, or
diked area formed primarily of earthen materials
(although it must be lined with man-made
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materials) that is used to treat, store, or dispose of
liquid hazardous waste. Examples include holding
ponds, storage pits, and settling lagoons.
Design Standards
To minimize the potential for leachate to leak
from a surface impoundment, EPA developed the
following design standards (see Figure 111-12):
Double liner
Leachate collection and removal system
Leak detection system
Dikes, berms, and freeboard
Construction quality assurance.
Double Liner
The double liner system requirements are
identical to those for hazardous waste landfills.
Leachate Collection and Removal System
The unit must be equipped with a leachate
collection and removal system between the top
liner and the bottom composite liner. The system
collects any leachate that has leaked through the
top liner and pumps it out to a collection tank.
The system features a pump system and drainage
layers to slow the flow of the leak. The system
must be designed with a minimum bottom slope
to help drainage, be made of materials that will
not chemically react with the wastes placed in the
unit, and be able to remove the liquids at a
specified minimum rate.
Leak Detection System
The leak detection system requirements are
identical to those for hazardous waste landfills.
Dikes, Berms, and Freeboard
A surface impoundment must also be
designed to prevent the flow of liquids over the
top of an impoundment (overtopping). This is
accomplished by constructing and maintaining
dikes or berms (walls or man-made hills
surrounding the unit) and ensuring a minimum
distance (called freeboard) between the surface of
the waste and the top of the impoundment to
prevent overflow during high winds or rainstorms.
Construction Quality Assurance
The construction quality assurance program
requirements are identical to those for hazardous
waste landfills.
Figure 111-12: CROSS-SECTION OF ASURFACE IMPOUNDMENT
Ground Water
Monitoring Well
Double Liner
Leachate Collection
and Removal System
Dike or Berm
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Inspections
To ensure that the liners and leachate
collection and removal system are working
properly, owners and operators of hazardous
waste surface impoundments must:
Inspect liners and dikes or berms for any
problems after construction or installation, and
continue inspections weekly and after storms
to monitor for evidence of deterioration,
sudden drops in the level of the impoundment
contents, and severe erosions of dikes and
other containment devices
Monitor leachate collection and removal
system sumps at least weekly to measure the
amount of liquid in the sump and determine
whether the upper liner might be leaking.
This is designed to verify both the integrity of
the liner and the efficiency of the leachate
pump. If the level indicates a substantial leak,
the owner and operator must notify EPA and
respond in accordance with the facility's
response action plan.
Release Prevention and Response
The release prevention and response
requirements are identical to those for hazardous
waste landfills.
Spec/a/ Wastes
Similar to land treatment units and landfills,
permitted surface impoundments can only treat,
store, or dispose of certain dioxin-containing
hazardous wastes (F020, F021, F022, F023, F026,
and F027) if the unit has a special management
plan approved by the EPA Regional Administrator.
These wastes cannot be managed in interim status
surface impoundments.
Other Requ/rements
Other surface impoundment requirements
include retrofitting provisions and air emissions
requirements.
Surface Impoundment Retrofitting
Surface impoundments handling
nonhazardous wastes are not subject to these
extensive hazardous waste surface impoundment
design and operating requirements. However,
such impoundments may become subject to
RCRA if the waste being handled in the unit
becomes a hazardous waste as a result of a new
hazardous waste listing or characteristic. In these
cases, the owner and operator of the
impoundment must retrofit the unit to meet the
standards described above, or cease receipt of the
hazardous waste and begin the closure process.
Owners and operators have four years from the
day that the listing or characteristic is finalized (in
the Federal Register) to retrofit or close. For
example, owners and operators of surface
impoundments that became subject to RCRA as
the result of the promulgation of the toxicity
characteristic waste codes on March 29, 1990,
were required to retrofit those units to meet the
design and operating standards, or cease receipt
of hazardous waste and begin closure by March
29, 1994.
These retrofitting requirements may be waived
by the implementing agency under special
circumstances. The impoundment must be
designed, operated, and located in such a manner
that there will be no migration of hazardous
constituents into ground water or surface water at
any time. Furthermore, the impoundment may
contain only characteristic TC wastes. The
implementing agency will determine on a site-
specific basis whether a waiver from the
retrofitting requirement is protective of human
health and the environment.
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Air Emissions
In addition to these requirements, surface
impoundments storing, treating, or disposing of
certain hazardous wastes are subject to RCRA air
emission control requirements (as discussed later
in this chapter).
Tanks
Tanks are stationary devices (as opposed to
portable containers) used to store or treat
hazardous waste. They are widely used for
storage or accumulation of hazardous waste
because they can accommodate huge volumes of
material, sometimes in the tens of thousands of
gallons. Tanks are used for the treatment of
hazardous waste because of their structural
strength and versatility. In order to ensure that a
tank system can hold hazardous waste for its
intended lifetime, a TSDF owner and operator
must ensure that the tank is properly designed.
RCRA requires that the tank system or
components be designed with an adequate
foundation, structural support, and protection
from corrosion to prevent it from collapsing or
leaking. In order to ensure that a tank is properly
designed, an independent, qualified, registered,
professional engineer must certify that the unit
meets these requirements.
Design Standards
Hazardous waste tanks must be installed
properly and designed to protect against
corrosion.
Installation
Because even the most flawlessly designed
tanks can fail if installed improperly, new tank
systems must be inspected by an independent
qualified expert prior to use to ensure that the
tank was not damaged during installation. The
owner and operator must repair any damage
before the installation is complete or the system is
in use. All new tanks and ancillary equipment
must be tested to make sure that there are no
leaks, and any leaks discovered must be fixed
before the tanks are covered, enclosed, or placed
in use.
Corrosion Protection
When metal tanks are in contact with soil or
water, they can corrode and leak. To prevent
leaks from corroded tanks, RCRA requires tanks
made wholly or partly of metal to be designed and
installed with adequate corrosion protection. To
ensure that a tank is properly protected, an owner
and operator must develop a written design plan.
The design should take into account information
specific to the site, such as soil moisture and
acidity, that can affect the corrosion rate of the
tank. The unit must have one or more of the
following corrosion protection methods:
Construction materials that are corrosion-
resistant (e.g., fiberglass)
Corrosion-resistant coating in combination
with cathodic protection (cathodic protection
prevents tanks from corroding by reversing the
naturally occurring electric current in the
ground that can degrade tank walls)
Electrical isolation devices.
Existing tanks do not have to meet these
requirements because of the high cost of installing
corrosion protection on tanks that are already in
the ground. On the other hand, owners and
operators of existing tanks must assess the
structural integrity of the units to ensure that they
are designed and maintained to contain the
wastes stored or treated within them without
failing, collapsing, or rupturing. Such assessments
must be certified by an independent, qualified,
registered, professional engineer.
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Operating Requirements
Hazardous waste tanks must be operated in a
manner that minimizes or eliminates releases.
Chemicals that may cause any part of the tank's
system to fail may not be placed in the unit.
Because the loading or filling of tanks brings
the potential for spills or releases of waste into the
environment, such spills or overflows from the
tank system must also be prevented by using, at a
minimum:
Spill prevention controls, such as valves
designed to prevent the backflow of waste
during fill-up of a tank
Overfill prevention controls, such as alarms
that sound when the waste level in the tank
gets too high, and valve systems that
automatically close when overfill is likely
Sufficient room within an uncovered tank
between the surface of the waste and the top
of the tank (minimum freeboard).
Inspections
To verify that hazardous waste tanks and
components are operated and maintained in
satisfactory condition, owners and operators must
inspect their tanks daily. To meet these objectives,
inspections must thoroughly identify leaks,
deterioration, corrosion, or structural fatigue in
any portion of the tank or system components. In
addition to visual inspections, owners and
operators must also take into account any data
received from leak detection monitors and other
tests.
Release Prevention and Response
The release response requirements require
leak detection systems to detect leaks, and
secondary containment devices to contain any
leaks that might occur from the tank or ancillary
equipment (see Figure 111-13). All new hazardous
waste tank systems must have leak detection and
secondary containment before being placed in
service. Existing systems must be equipped with
secondary containment by different deadlines,
based on a phased-in schedule determined by the
age of the tank.
Figure 111-13:
SECONDARY CONTAINMENT FOR TANKS
Secondary
Containment
Hazardous System
Waste Tank
Ancillary
Equipment
Leak Detection
Hazardous waste tanks must be equipped with
a leak detection system. The leak detection
system must be able to detect failure in either the
main tank or secondary containment system
generally within 24 hours. Thermal conductivity
sensors, electrical resistivity sensors, and vapor
detectors are commonly used leak detection
devices. Daily visual inspections may also be used
where tanks and tank components are physically
accessible.
Secondary Containment
To make sure the tank system will perform
properly, secondary containment systems must be
designed, installed, and operated to ensure that:
No waste is released to the surrounding soil,
ground water, or surface water
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Construction materials or liners are compatible
with the waste to be stored or treated in the
tank
The tank is capable of containing accumulated
material until it is promptly removed (generally
within 24 hours)
The tank has sufficient structural strength to
prevent failure
The foundation can resist failure due to
normal movement of the surrounding soils
(settlement, compression, or uplift).
Owners and operators must meet these
requirements by using one of the following
secondary containment devices:
An external liner that completely surrounds
the unit with an impermeable material
A vault (the tank rests in an underground
chamber usually constructed with concrete
floors and walls and an impermeable cover)
A double-walled tank (the tank is completely
enclosed inside another tank with a leak
detection monitoring system installed between
the two)
An EPA-approved alternative design.
In addition to the tank itself, all ancillary
equipment (e.g., pipes, valves, trenches
connected to the tank or tank system) must have
full secondary containment. Examples of
secondary containment for ancillary equipment
include lined trenches, and jacketed or double-
walled piping. When inspected daily, however,
the following equipment is exempt from this
requirement:
Aboveground piping (not including flanges,
joints, valves, and connections)
Welded flanges, welded joints, and welded
connections
Seal-less or magnetic coupling pumps
Aboveground pressurized piping systems with
automatic shut-off devices.
Despite these precautions, occasionally a tank
system or secondary containment system will leak
or spill hazardous waste. When this happens, the
owner and operator must immediately take the
tank out of operation and determine the cause of
the release. To prevent the spill from moving
further away from the tank, the owner and
operator must also remove and properly dispose
of any contaminated soil, ground water, or surface
water. In addition, the owner and operator must
notify the EPA Regional Administrator or National
Response Center, and submit a follow-up written
report to the EPA Regional Administrator within 30
days. The tank must then either be repaired or
closed.
Other Requirements
In addition to these requirements, tanks
storing or treating certain hazardous wastes are
also subject to RCRA air emission control
requirements (as discussed later in this chapter).
LQGs and SQGs accumulating waste on site in
tanks are subject to the interim status TSDF
standards for these units. (Generator
requirements are fully discussed in Section III,
Chapter 3.) SQGs, however, are not subject to the
air emission control requirements.
Waste Piles
A waste pile is an open pile used for treating
or storing nonliquid hazardous waste. The
standards for these units are very similar to those
for landfills, but the difference is that waste piles
may be used for temporary storage and treatment
only, not disposal.
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Design Standards
To minimize the potential for leachate to leak
from a waste pile, EPA developed the following
design standards (see Figure 111-14):
Double liner
Double leachate collection and removal
system
Leak detection system
Run-on, run-off, and wind dispersal controls
Construction quality assurance.
Double Liner
The double liner system requirements are
identical to those for hazardous waste landfills and
surface impoundments.
Double Leachate Collection and Removal
System
The double leachate collection and removal
system requirements are identical to those for
hazardous waste landfills.
Leak Detection System
The leak detection system requirements are
identical to those for hazardous waste landfills and
surface impoundments.
Run-On, Run-Off, and Wind Dispersal
Controls
The run-on, run-off, and wind dispersal
control requirements are identical to those for
hazardous waste landfills; however, interim status
waste piles are not subject to the storm water
controls, but are subject to wind dispersal
controls.
Construction Quality Assurance
The construction quality assurance program
requirements are identical to those for hazardous
waste landfills and surface impoundments.
Operating Requirements
Under no circumstances can an owner and
operator place liquid hazardous waste in a waste
pile.
Figure 111-14: CROSS-SECTION OF A WASTE PILE
Double Liner
Double Leachate
Collection and
Removal System
Dike or Berm
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Inspections
The liner and leachate collection and removal
system inspection requirements are identical to
those for hazardous waste landfills.
Release Prevention and Response
The release prevention and response
requirements are identical to those for hazardous
waste landfills.
Special Wastes
Similar to land treatment units, landfills, and
surface impoundments, permitted waste piles can
only treat, store, or dispose of certain dioxin-
containing hazardous wastes (F020, F021, F022,
F023, F026, and F027) if the unit has a special
management plan approved by the EPA Regional
Administrator. These wastes cannot be managed
in interim status waste piles.
Other Requirements
Owners and operators of permitted waste
piles that are located indoors and meet special
requirements are subject to reduced regulation.
Specifically, the waste pile must:
Be located inside or under a structure
Not receive liquid wastes
Be protected from surface water run-on
Be designed and operated to control dispersal
of waste
Be managed to prevent the generation of
leachate.
If these standards are met, the owner and
operator of the permitted waste pile is exempt
from ground water monitoring requirements as
well as the design and operation requirements for
waste piles. RCRA provides this exemption
because when properly designed and maintained,
indoor waste piles can prevent hazardous leachate
from forming or leaking into the environment.
Miscellaneous Units
When RCRA was enacted in 1976, there was
a diverse universe of hazardous waste
management units in existence. Some of these
units did not fit the definition of any of the typical
hazardous waste management practices described
earlier in this chapter. These include physical,
chemical, and biological treatment units; thermal
treatment units; and underground injection
control (UIC) wells. As a result, EPA established
interim status standards for these units. When EPA
established final permitted TSDF standards for all
hazardous waste management units, the Agency
did not establish final standards for physical,
chemical, and biological treatment units or
thermal treatment units, but rather grouped them
together and permitted them as miscellaneous
units. EPA did not include UIC wells in this
miscellaneous unit category because such wells
were later addressed under SDWA.
At present, all new hazardous waste
management units that do not fit the definition of
one of the types of units discussed earlier in this
chapter or an incinerator or BIF (as discussed in
Section III, Chapter 7) are permitted as
miscellaneous units. This section of the chapter
will present the management standards for such
units. For historical purposes, this section of the
chapter will also present the interim status
standards for physical, chemical, and biological
treatment units; thermal treatment units; and UIC
wells.
Because the standards for miscellaneous units
address treatment, storage, and disposal processes
that are not addressed by other unit-specific
standards, the following management standards
consist of general operating requirements that may
be modified and amended based on site-specific
considerations.
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Permitted Miscellaneous Units
Since some TSDFs treat, store, or dispose of
waste in units that are different from the
previously described hazardous waste
management units, RCRA established broad and
protective management provisions for
miscellaneous units to allow for the use of new
and innovative waste management technologies.
The RCRA standards are designed to give the
implementing agency the flexibility to tailor permit
standards, on a case-by-case basis, to these
unique waste management practices.
Miscellaneous units are defined as treatment,
storage, or disposal units other than:
Containers, containment buildings, drip pads,
land treatment units, landfills, surface
impoundments, tanks, or waste piles (as
discussed in this chapter)
Incinerators or BIFs (as discussed in Section III,
Chapter 7)
Corrective action management units (CAMUs)
(as discussed in Section III, Chapter 9)
Units permitted for research, development,
and demonstration (RD&D) (as discussed in
Section III, Chapter 8)
UIC wells.
Based on this definition, miscellaneous units
may include, but are not limited to:
Geologic repositories (e.g., underground
caves)
Deactivated missile silos
Thermal treatment units
Units for the open burning or detonation of
waste explosives
Chemical, physical, or biological treatment
units.
Since miscellaneous units are subject to site-
specific design and operating requirements, RCRA
requires that owners and operators applying for a
permit provide the implementing agency with
detailed information on unit design and potential
environmental impacts. The owner and operator
must provide detailed plans and engineering
reports describing the unit location, design,
construction, operation, maintenance, monitoring
plans, and inspection plans.
Owners and operators must also provide
detailed information on the potential pathways of
human or environmental exposure to hazardous
waste or hazardous constituents. Under these
provisions, owners and operators must evaluate
the potential magnitude and nature of potential
human and environmental exposure to air, surface
water (including wetlands), ground water, and soil.
Owner and operators of miscellaneous units are
required to conduct monitoring, testing, data
analysis, inspections, and response actions (if
necessary) in order to ensure that the unit is in
compliance with its general performance
standards, and that waste management has not
threatened any of these environmental mediums.
Interim Status Chemical, Physical, and
Biological Treatment Units
When RCRA was first enacted in 1976, some
of the diverse hazardous waste management units
in existence were chemical, physical, and
biological treatment units. Such units employed
unique treatment processes, such as distillation,
centrifugation, reverse osmosis, ion exchange, and
filtration. The Agency established interim status
standards for such units to address the safe
containment of hazardous waste, hazardous waste
constituents, and treatment by-products.
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The operating standards for these units require
that:
Waste is compatible with treatment
equipment
Ignitable and reactive wastes are
decharacterized immediately before or after
placement in the treatment process or
equipment
Waste analysis and trial treatment tests verify
that treatment will meet applicable
requirements
Owners and operators inspect discharge
control, safety, and monitoring equipment
daily; and inspect construction materials of
treatment processes and confinement
structures weekly.
Interim Status Thermal Treatment Units
After the enactment of RCRA, another set of
diverse hazardous waste management units in
existence were thermal treatment units. EPA
established interim status standards for these units
to allow for the development of alternative
treatment processes in units that did not meet the
definition of an incinerator or BIF (as discussed in
Section III, Chapter 7).
Thermal treatment is defined as the
treatment of hazardous waste in a device that uses
elevated temperatures as the primary means to
change the chemical, physical, or biological
character or composition of the hazardous waste.
Thermal treatment units include carbon
regeneration units, and other devices employing
processes, such as molten salt pyrolysis,
calcination, wet-air oxidation, and microwave
destruction.
The operating standards for these units
require:
The establishment of steady, normal
conditions of operation or readiness
Waste analysis to determine the heating value
of the waste, and concentrations of halogens,
sulfur, lead, and mercury
Monitoring and inspections of temperature
and emission-control instruments, the stack
plume, and all process and ancillary
equipment.
The implementing agency also has the
flexibility to develop standards for these units on a
case-by-case basis when considering the
technology-specific data submitted by the
applicant. It is probable that the regulations for
specific thermal treatment units will reference the
incinerator, boiler, and industrial furnace standards
due to the similarities between the units.
Interim Status Underground Injection Control
Wells
Underground injection control wells are
units into which hazardous waste is permanently
disposed of by injection 1/4 mile below an aquifer
with an underground source of drinking water (as
defined under SDWA). EPA originally intended to
regulate UIC wells disposing of hazardous waste
under SDWA. At the inception of the RCRA
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program, however, many states did not yet have a
SDWA-approved DIG program. As a result, EPA
imposed RCRA requirements on such units until
states gained SDWA approval for their DIG
programs. Because DIG wells were not addressed
by the unit-specific hazardous waste management
standards, RCRA initially regulated such DIG wells
as interim status units. These standards required
DIG wells to comply with interim status general
facility standards, with the exception of closure
and financial assurance.
After states gained SDWA approval for their
DIG programs, such wells became regulated
jointly by SDWA and RCRA. SDWA regulates the
design, operating, and closure standards for the
well itself, while RCRA regulates any other
hazardous waste-related activities at that facility
up until the point of injection. While such wells
are no longer subject to RCRA interim status
standards, they would need a RCRA permit-by-
rule, requiring compliance with only certain RCRA
administrative requirements.
As an alternative to receiving a SDWA UIC
well permit (accompanied by a RCRA perm it-by-
rule), UIC well owners and operators could also
choose to apply for a full RCRA permit as a
miscellaneous unit.
CLOSURE
All hazardous waste TSDFs will eventually stop
receiving waste for treatment, storage, or disposal.
After these facilities are closed, the owner and
operator must either remove all waste that has
accumulated in units at the facility, or leave the
waste in place while maintaining the units in a
way that ensures they will not pose a future threat
to human health and the environment. RCRA
Subtitle C's closure and post-closure standards are
designed to achieve this goal.
The closure and post-closure regulations are
divided into two parts: the general standards
applicable to all TSDFs, and the technical
standards for specific types of hazardous waste
management units. These combined
requirements ensure that a specific unit or facility
will not pose a future threat to human health or
the environment after a TSDF closes. This
discussion will focus on the general closure
standards applicable to all TSDFs.
Closure Requirements
Closure is the period directly after a TSDF
stops its normal operations. During this period, a
TSDF stops accepting hazardous waste; completes
treatment, storage, and disposal of any wastes left
on site; and disposes or decontaminates
equipment, structures, and soils. Some owners
and operators will completely remove all waste
that was treated, stored, or disposed in their unit.
This operation is known as clean closure. In
order to demonstrate clean closure, an owner and
operator must show that levels of hazardous
contaminants at the facility do not exceed EPA-
recommended exposure levels.
Closure Plan
To ensure that a TSDF is closed properly, the
owner and operator must prepare a closure plan
that details exactly how and when facility closure
will take place, and must submit the plan to their
implementing agency for approval. Permitted
facilities are required to submit a closure plan to
their implementing agency at the time of permit
application. The approved closure plan then
becomes an enforceable component of their
permit. Interim status facilities must have a
written closure plan on the premises six months
after they become subject to RCRA. The closure
plan must contain:
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A description of how the owner and operator
will close each hazardous waste management
unit
A description of how and when the owner and
operator will achieve final closure of the
whole facility
An estimate of the maximum amount of
hazardous waste kept on site over the life of
the facility
A detailed description of closure methods,
including the actions necessary to remove and
manage waste and decontaminate the site
A description of any other steps necessary to
comply with the closure standards, such as
ground water monitoring or leachate
collection (depending on the type of unit).
When there is a change in the design or
operation of the facility, a change in the expected
closure date, or an unexpected event (e.g.,
discovering more contaminated soil than originally
anticipated), the owner and operator or the
implementing agency must amend the closure
plan to address the additional steps necessary to
safely close the facility. In such instances,
permitted facilities must submit an application to
modify their permit, while interim status facilities
must submit the proposed modification to the
implementing agency for approval.
Closure Timetable
To ensure that facility closure is begun and
completed in a timely manner, the closure
regulations establish specific timetables for the
initiation and completion of closure activities (see
Figure 111-15). An owner and operator of a closing
TSDF must:
Notify the implementing agency that they
expect to begin closure activities (notification
must take place at least 60 days before for
surface impoundments, landfills, waste piles,
and land treatment units, and at least 45 days
before for all other units)
Begin closure activities within 30 days of
receiving the final shipment of hazardous
waste
Remove all hazardous wastes from the TSDF
or dispose of the wastes on site within 90 days
of beginning closure
Complete all closure activities within 180 days
of beginning closure
Certify that closure has been completed in
accordance with the specifications in the
approved closure plan within 60 days of
completing closure. The certification must be
signed by the owner and operator and by an
independent, registered, professional
engineer.
Figure 111-15: TIMETABLE OF CLOSURE ACTIVITIES
Notify for
of a Lane
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111-86
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Managing Hazardous WasteRCRA Subtitle C
SECTION III
Chapter 5: Regulations Governing Treatment, Storage, and Disposal Facilities
The implementing agency may grant
extensions, if required closure activities will take
more time, or if the facility or unit has the capacity
to accept more hazardous or nonhazardous waste.
During closure, all contaminated equipment,
structures, and soils must be properly disposed or
decontaminated. During this process, an owner
and operator may become a generator of
hazardous waste, and must therefore comply with
the generator requirements.
Delay of Closure
The closure timetable is designed to guarantee
that closure is completed as soon as practicable
after the final receipt of hazardous waste in order
to minimize risks posed to human health and the
environment. On the other hand, owners and
operators of landfills, surface impoundments, and
land treatment units may have room to accept
nonhazardous waste at the time of closure. To
enable these TSDFs to continue operation, RCRA
allows these facilities to delay closure of such
units. This delay is not available to any other
units. Those units for which owners and operators
choose to delay closure are still subject to all
applicable RCRA hazardous waste requirements,
and must meet special requirements designed to
ensure that the disposal of both the nonhazardous
and hazardous waste will in no way endanger
human health and the environment.
Survey Plat
After a TSDF ceases hazardous waste activity
and closes all units, it still may be important to
know exactly where hazardous wastes were
handled (especially for purposes of future sale of
the property). To preserve this information, the
owner and operator must submit to the
implementing agency or local zoning authority a
survey plat indicating the location and dimensions
of the closed hazardous waste units. The survey
plat must be submitted no later than the
submission of certification of closure for each
hazardous waste disposal unit.
Post-Closure Requirements
Some TSDFs are intended for the final disposal
of hazardous waste. Land treatment units,
landfills, and surface impoundments are the only
units where an owner and operator may
permanently dispose of hazardous waste.
Because such permanent land disposal brings the
potential for releases from the unit over a long-
term period, these owners and operators must
conduct post-closure monitoring and maintenance
activities. Other TSDFs may not be able to
remove all hazardous wastes and decontaminate
all equipment. Since these owners and operators
cannot clean close, they must close such units as
landfills, and comply with the post-closure
requirements for landfills.
Post-closure is the period after closure during
which owners and operators conduct monitoring
and maintenance activities to preserve the
integrity of the disposal system and continue to
prevent or control releases from the disposal units.
Post-closure care consists of two primary
responsibilities: ground water monitoring and
maintaining the waste containment system (e.g.,
covers, caps, and liners). Such activities include:
Maintaining the final cover, the leak detection
system, and the ground water monitoring
systems
Providing long-term protection from liquids
migrating into the closed unit, promoting
drainage of liquid, accommodating settling of
waste in the unit
Making sure that the final cover, liners, or
other containment or monitoring systems are
not disturbed
Monitoring ground water to detect any
releases of hazardous constituents.
The post-closure period normally lasts for 30
years after closure is completed, but may be either
extended or shortened by the EPA Regional
Administrator.
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SECTION III
Managing Hazardous WasteRCRA Subtitle C
Chapter 5: Regulations Governing Treatment, Storage, and Disposal Facilities
Post-Closure Plan
In order to ensure that the post-closure care of
the facility is properly carried out, the owner and
operator must design and implement a post-
closure plan. The owner and operator must
submit the plan with the post-closure permit
application. The plan must include:
A description of planned ground water
monitoring activities
A description of planned maintenance
activities
The name, address, and telephone number of
the facility contact person or office.
Posf-C/osure Notices
As with the survey plat for closure, owners and
operators of TSDFs required to perform post-
closure activities must, within 60 days after the
facility originally certified closure, provide the
local zoning or land use authority and the EPA
Regional Administrator with a record of the type,
location, and quantity of hazardous wastes in each
disposal unit at the facility. Also, a notice must be
placed in the property deed and recorded. This
notice must state that the land was used for
hazardous waste management, that the use of the
land is restricted, and that the survey plat and
record of closure were submitted to the local
zoning authority and the EPA Regional
Administrator.
Certification of Completion of Post-Closure
Care
To ensure that post-closure care was
performed in accordance with the post-closure
plan, no later than 60 days after completion of the
established post-closure care period for each
hazardous waste disposal unit, the owner and
operator must submit to the EPA Regional
Administrator a certification that the post-closure
care period was performed in accordance with the
specifications established in the approved closure
plan.
FINANCIAL ASSURANCE
The RCRA
closure and
post-closure
requirements
are designed to
protect human
health and the environment from the long-term
threats associated with hazardous waste
management and permanent disposal. Many of
these detailed requirements come at the end of a
facility's waste management operations and can
be very expensive. To prevent a facility from
ceasing operations and failing to provide for the
potentially costly closure and post-closure care
requirements, EPA promulgated regulations
requiring TSDFs to demonstrate that they have the
financial resources to properly conduct closure
and post-closure in a manner that protects human
health and the environment.
The TSDF general facility standards include
precautions to prepare a facility for accidents,
spills, and any resulting emergency responses.
Such unexpected events could damage third
parties by impacting human health or property
outside the facility. In order to compensate third
parties for injury or damage that might result from
such events (known as liabilities), the RCRA
regulations require TSDF owners and operators to
demonstrate that they have the financial resources
to pay for bodily injury or property damage that
might result from waste management. The
closure, post-closure, and liability financial
resource requirements are called financial
assurance.
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Managing Hazardous WasteRCRA Subtitle C
SECTION III
Chapter 5: Regulations Governing Treatment, Storage, and Disposal Facilities
In addition to requiring facilities to set aside
funds for closure, post-closure, and liabilities, the
RCRA regulations specify the financial mechanisms
that TSDF owners and operators must use to
ensure that the financial resources are available in
the event that they are needed.
Financial Assurance for Closure/Post-
Closure Care
After a TSDF owner and operator prepares the
required written closure and post-closure plans for
their facility, they must prepare a cost estimate
that reflects how much it would cost to hire a
third-party contractor to close the facility. These
estimates provide the base figure for the amount
of financial assurance a facility must provide.
Cost Estimates
Cost estimates must reflect the cost of hiring a
third party to conduct all activities outlined in the
closure and post-closure plans. Closure cost
estimates are based on the point in the facility's
operating life when closure would be the most
expensive. Post-closure cost estimates are based
on projected costs for an entire post-closure
period of 30 years, unless reduced or extended by
the implementing agency.
Cost Acf/usfmenfs
Closure and post-closure cost estimates must
be adjusted annually for inflation until closure is
completed. Owners and operators must also
adjust cost estimates following any changes to
their closure or post-closure plans that would raise
the costs involved. For example, the addition of
treatment units would mean that they will require
decontamination at closure. The closure and
post-closure estimates must be recalculated to
reflect the additional expenses.
Period of Coverage
TSDF owners and operators must maintain
financial assurance until closure and post-closure
are complete. Within 60 days after receiving a
TSDF's certification of final closure, the
implementing agency must notify the owner and
operator that financial assurance for final closure is
no longer required. Similarly, within 60 days after
receiving a TSDF's certification of completion of
post-closure care, the implementing agency must
notify the owner and operator that financial
assurance for post-closure is no longer required.
Accident Liability Requirements
TSDF owners and operators must also be able
to compensate third parties for bodily injury or
property damage that might result from hazardous
waste management at a facility. This coverage
ensures that, in the event of an accidental release
of hazardous constituents, money will be available
to compensate affected third parties suffering
bodily injury or property damage. All TSDFs must
demonstrate liability coverage for sudden
accidents. In addition, TSDFs with land-based
units (e.g., landfills) must also demonstrate liability
coverage for nonsudden accidents.
Sudden Accidental Occurrences
The inherent risks posed by hazardous waste
management at all TSDFs brings the possibility of
sudden accidents. These sudden accidental
occurrences are defined as events that are not
continuous or repeated. Examples of sudden
accidental occurrences are fires and explosions.
The minimum financial requirements include at
least $1 million per occurrence, and an annual
total (known as annual aggregate) of at least $2
million.
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SECTION III
Managing Hazardous WasteRCRA Subtitle C
Chapter 5: Regulations Governing Treatment, Storage, and Disposal Facilities
Nonsucfcfen Accidental Occurrences
Because land-based units are located directly
on the land, they bring an increased risk of slow,
long-term nonsudden leaks to soil and ground
water, and exposure to human health and the
environment. These nonsudden accidental
occurrences are defined as events that take place
over time and involve continuous or repeated
exposure to hazardous waste. An example of a
nonsudden accidental occurrence is a leaking
surface impoundment that contaminates a
drinking water source over time. The minimum
financial requirements include at least $3 million
per occurrence, and an annual aggregate of at
least $6 million.
These liability financial assurance coverage
amounts apply on an owner and operator basis,
not on a per facility basis. Consequently, owners
and operators must provide $1 million per
occurrence and $2 million annual aggregate for
(jij (j
sudden accidental occurrences, and $3 million
per occurrence and $6 million annual aggregate
for nonsudden accidental occurrences (if
applicable), regardless of the number of facilities
owned and operated.
Period of Coverage
TSDF owners and operators must maintain
financial liability coverage until closure is
complete. Within 60 days after receiving a TSDF's
certification of final closure, the implementing
agency must notify the owner and operator that
liability financial assurance is no longer required.
Liability coverage is not required during the post-
closure period. The implementing agency may,
however, require liability coverage if closure was
not completed in accordance with the facility's
closure plan.
Financial Assurance Mechanisms
Financial assurance mechanisms are the
different ways an owner and operator can show
that funds are available to pay for closure, post-
closure, and liability requirements. An owner and
operator may demonstrate financial assurance
through one or more of the following financial
assurance mechanisms:
Trust fund
Surety bond (two types)
Payment bond
Performance bond
Letter of credit
Insurance
Financial test
Corporate guarantee.
Trust Fund
A trust fund allows a facility to set aside
money in increments, according to a phased-in
schedule (known as a pay-in period). At the end
of this pay-in period, the facility will have enough
money set aside to cover its financial assurance
costs, and will have funds specifically earmarked
for closure, post-closure, and liability
requirements.
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Managing Hazardous WasteRCRA Subtitle C
SECTION III
Chapter 5: Regulations Governing Treatment, Storage, and Disposal Facilities
Under some of the other mechanisms (surety
bonds, letters of credit, and corporate guarantees),
owners and operators must establish a standby
trust fund into which any payments made by the
mechanism will be deposited. EPA will then use
this trust fund to cover the respective costs.
Surety Bonds
A surety bond is a guarantee by a surety
company that specifies that closure, post-closure,
and liability obligations will be fulfilled. If the
owner and operator fails to pay the costs specified
in a bond, the surety company is liable for the
costs. There are two types of surety bonds:
Payment bond A payment bond will, in the
event an owner and operator fails to fulfill their
closure, post-closure, or liability obligations,
fund a standby trust fund in the amount equal
to the value of the bond.
Performance bond A performance bond
guarantees that the owner and operator will
comply with their closure, post-closure, and
liability requirements. Performance bonds can
also be paid into a standby trust fund. Interim
status facilities may not use performance
bonds.
Letter of Credit
A letter of credit is a credit document issued
to a TSDF by a financial institution, covering the
cost of closure, post-closure, or liability activities.
Insurance
The owner or operator of a TSDF may take
out an insurance policy to cover the cost of
closure, post-closure, and liability requirements in
the event that the owner and operator is unable to
satisfy these obligations.
Financial Test
Some companies are of such size and financial
strength that they have the assets to absorb the
costs of closure, post-closure, and liability
obligations. As a result, owners and operators can
demonstrate and document their financial strength
by using the financial test to satisfy the TSDF
financial assurance requirements.
Corporate Guarantee
While not all companies will be able to meet
the financial test requirements, they may be
owned by a company (or have a sibling company)
that has the financial standing and ability to meet
the financial test requirements. In these cases, a
TSDF owner and operator may arrange a
corporate guarantee by demonstrating and
documenting that its corporate parent, corporate
grandparent, sibling corporation, or a firm with a
substantial business relationship with the owner or
operator, meets the financial test requirements on
its behalf.
GROUND WATER MONITORING
The treatment, storage, or disposal of
hazardous waste directly on the land creates the
potential to generate hazardous waste leachate
that can carry hazardous contaminants into the
environment. Such contaminants can pose a
serious threat to ground water resources.
Ground water is water found below the land
surface in the part of the earth's crust in which all
voids are filled with water. This water
accumulates in an aquifer, an underground rock
formation, that provides a significant amount of
ground water to drinking wells and springs.
Ground water serves as a very important
resource by providing drinking water and
municipal water supplies for approximately 50
percent of all Americans. In some areas, ground
water supplies 100 percent of the water supply for
all uses. Ground water is also a very critical
resource in agriculture. Farmers rely on this
resource to irrigate the crops that are later sold at
markets across the country.
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SECTION III
Managing Hazardous WasteRCRA Subtitle C
Chapter 5: Regulations Governing Treatment, Storage, and Disposal Facilities
The importance of ground water is highlighted
by that fact that it is very difficult and expensive to
clean once contaminated. Cleanup can take
decades, and in certain cases cannot restore
ground water to useable conditions.
General Requirements
In order to protect this valuable resource and
avoid costly cleanups, RCRA requires TSDF
owners and operators of land-based treatment,
storage, or disposal units (i.e., land treatment
units, landfills, surface impoundments, and waste
piles) to monitor the ground water passing under
their facilities to ensure that their hazardous waste
management activities are not contaminating the
ground water.
Waivers and Exemptions
Some land-based units are designed or
managed in a way that does not bring the
potential for ground water contamination. Such
waivers or exemptions from the ground water
monitoring requirements apply to:
Man-made structures that do not receive
liquid wastes, have inner and outer
containment layers and a leak detection
system between the containment layers, and
are designed to prevent the entry of rain water
Land treatment units that do not release
hazardous constituents into the environment
during the post-closure period
Indoor waste piles
Units that do not have the potential to leak
hazardous waste into the environment
Units that have been clean closed.
Ground Wafer Monitoring Provisions
The purpose of the ground water monitoring
requirements is to require owners and operators
of land-based units to monitor the ground water
that passes beneath their TSDF in order to detect
leaks of hazardous waste, and facilitate cleanup as
soon as possible. As a result, owners and
operators must install monitoring wells to detect
contamination in the aquifer nearest the ground
surface. In order to ensure that the information
received from the monitoring wells is accurate,
TSDF owners and operators must have:
Enough wells installed in the right places to
accurately represent the ground water activity
under the facility
Properly installed wells (poorly installed wells
may give false results)
Lined or cased wells to prevent the collapse of
monitoring well bore holes
Consistent sampling and analysis procedures
Statistical methods to avoid false evidence of a
release
Accurate records containing any information
collected.
The ground water monitoring requirements
vary for permitted and interim status TSDFs. The
interim status ground water monitoring
requirements are designed to generate
information about ground water quality for use in
developing the facility's permit, as well as detect
and clean up releases.
Permitted Facilities
Facilities with permitted land treatment units,
landfills, surface impoundments, or waste piles
must develop a ground water monitoring program.
This ground water monitoring program consists of
three phases:
Detection monitoring, to detect if a leak has
occurred
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Managing Hazardous WasteRCRA Subtitle C
SECTION III
Chapter 5: Regulations Governing Treatment, Storage, and Disposal Facilities
Compliance monitoring, to determine if an
established ground water protection standard
has been exceeded once a leak has occurred
Corrective action, to clean up contamination
caused by the leak.
Because different TSDFs handle different types
of wastes and will have units of different age and
design, each TSDF's program is unique and site-
specific.
Defect/on Monitoring Program
Detection monitoring is the first step of
ground water monitoring. The goal is to detect
and characterize any leaks of hazardous waste
from the unit. In detection monitoring, the owner
and operator monitors for indications of a leak
from the unit, looking for potential changes in the
ground water quality from normal (background)
levels. A change from background levels might
indicate a leak from the unit. The results from the
sampling wells are compared to the background
ground water quality levels to determine if there is
any evidence of an increase (see Figure 111-16). If
the evidence indicates that the unit is leaking, the
owner and operator must:
Notify the EPA Regional Administrator within
seven days
Immediately sample all wells for hazardous
constituents
Determine which hazardous constituents are
present and at what levels
Submit an application to modify the facility's
permit to move into the second phase of the
ground water monitoring program
(compliance monitoring)
Figure MM 6: DETECTION MONITORING
Adjusted Water
Table After
Installation of Wells
Bedrock
Ground Water
Monitoring
Wells
In detection monitoring, owners and operators compare the sample results from the ground water monitoring wells to the
background water quality levels. A change from background levels might indicate a leak from the unit.
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SECTION III
Managing Hazardous WasteRCRA Subtitle C
Chapter 5: Regulations Governing Treatment, Storage, and Disposal Facilities
Submit a cleanup feasibility plan.
If the owner and operator can prove that the
contamination did not result from their facility,
they can continue detection monitoring.
Comp//once Monitoring Program
Once the owner and operator has established
that a release has occurred, they must develop
and implement a compliance monitoring
program (see Figure 111-1 7). The goal of
compliance monitoring is to ensure that the
amount of hazardous waste that has leaked into
the uppermost aquifer does not exceed
acceptable levels. In order to determine what
these acceptable levels are, RCRA requires the
owner and operator to establish a ground water
protection standard (GWPS). The GWPS has four
parts: identification of hazardous constituents;
identification of concentration levels for each
constituent; establishment of a compliance point;
and determination of a compliance period during
which the GWPS applies.
Hazardous Constituents
For purposes of compliance monitoring,
hazardous constituents are those constituents
that have been detected in the uppermost aquifer
and are reasonably expected to be in or derived
from the waste contained in the unit.
Concentration Limits
Concentration limits are the maximum levels
of hazardous waste or hazardous constituents
allowed to be present in the ground water. The
concentration levels can be:
Background levels
Maximum contaminant levels (MCLs)
borrowed from SDWA
Alternative concentration limits (ACLs)
established by the EPA Regional Administrator.
Figure 111-17: COMPLIANCE MONITORING
Limit of the Waste
Management Area
Regulated Unit
Uppermost
Aquifer
Direction of Ground
Water Flow
Two-Dimensional
Point of Compliance
During the compliance monitoring program, an owner and operator must ensure that the amount of hazardous waste that
has leaked into the uppermost aquifer does not exceed acceptable levels. To achieve this, an owner and operator must
establish a ground water protection standard, which includes identification of hazardous constituents, identification of
concentration levels for each constituent, establishment of a point of compliance, and determination of a compliance period.
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Managing Hazardous WasteRCRA Subtitle C
SECTION III
Chapter 5: Regulations Governing Treatment, Storage, and Disposal Facilities
Point of Compliance
The point of compliance is the vertical point
where the owner and operator must monitor the
uppermost aquifer to determine if the leak
exceeds the GWPS.
Compliance Period
The compliance period is the length of time
during which an owner and operator must
conduct compliance monitoring or perform
cleanup. Generally, this period will cover the rest
of the TSDF's operating life and may extend into
the post-closure period.
The owner and operator must monitor at least
semiannually to determine if the GWPS has been
exceeded. The specifics of the GWPS will be
listed in the TSDF's permit.
During the compliance period, the owner and
operator must determine whether there is any
evidence of increased contamination for any of
the hazardous constituents specified in the GWPS.
This is accomplished by comparing information
collected at the point of compliance to the
concentration limits set in the GWPS. The owner
and operator must also analyze the samples from
compliance wells for all RCRA hazardous
constituents at least annually to determine if any
additional constituents are present that are not
specified in the GWPS. If additional constituents
are found, they must be added to the list of
constituents in the GWPS.
If the GWPS is exceeded, the owner and
operator must:
Notify the EPA Regional Administrator in
writing within seven days
Submit an application to modify the facility's
permit to move into the third phase of the
ground water monitoring program (corrective
action)
Continue to monitor in accordance with the
compliance monitoring program.
If the owner and operator can prove that the
increased contamination resulted from a source
other than their facility, or that the increase was
due to an error in analyzing the sample or natural
variations in ground water, they must notify the
EPA Regional Administrator in writing within seven
days. On the other hand, if the contamination is
found to have resulted from a unit at the TSDF,
the owner and operator must initiate cleanup.
Corrective Action Program
The goal of ground water corrective action
(cleanup) is to clean the ground water to meet the
GWPS. To clean up the contamination, the owner
and operator must either remove the hazardous
constituents from the ground water or treat them
in place. The specific measures undertaken to
clean the ground water will vary with each facility
(see Figure 111-18).
Effectiveness
To make sure the owner's and operator's
corrective action program is working properly,
they must monitor the ground water under the
TSDF, and then report semi-annually on the
effectiveness of the corrective action program.
Length
Once the ground water has been treated to
meet the GWPS, the owner and operator may
stop corrective action and return to compliance
monitoring. During the compliance period,
facilities may move between compliance
monitoring and corrective action as necessary to
respond to new releases from the unit.
If the compliance period ends and corrective
action is still being conducted, corrective action
must continue as long as necessary to achieve the
GWPS. Only after the owner and operator has
met the GWPS for three consecutive years may
they stop corrective action. If the unit is still in the
post-closure period, the owner and operator may
then reinstate a detection monitoring program. If
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SECTION III
Managing Hazardous WasteRCRA Subtitle C
Chapter 5: Regulations Governing Treatment, Storage, and Disposal Facilities
Injection of Water
and Solvents into
Ground Water
Figure 111-18: GROUND WATER CORRECTIVE ACTION
Treatment System
Re-Injection of
Clean Water
Upperrmost
Aquifer
Contaminant Plume
Ground Water Flow
An example of ground water corrective action is a ground water pump and treat system. In order to remediate
contamination that has leaked from a disposal site into the uppermost aquifer, the owner and operator injects water and
solvents into the ground. The groundwater flow carries the water and solvents to the contaminant plume, flushes the plume
of the contamination, and carries the contaminants to a recovery well where the contaminated water is pumped to the
surface and treated. Clean water is then re-injected into the ground water for reuse in the pump and treat process.
the post-closure period has elapsed, the TSDF has
completed its requirements under RCRA ground
water monitoring.
Interim Status Facilities
The requirements for interim status facilities
were designed to supply background data on
these facilities before permitting, and to act as a
warning system to detect any releases to ground
water prior to issuing a permit to the facility. The
interim status program is similar to the permitted
ground water monitoring program, but does not
include cleanup provisions. If cleanup is required
at an interim status facility, it will be addressed
under RCRA §3008(h) or §7003 corrective action
authorities (as discussed in Section III, Chapter 9),
or in the facility permit when issued. The interim
status ground water monitoring program is
comprised of two phases: an indicator evaluation
and a ground water quality assessment.
Indicator Evaluation
To determine if the units at a TSDF are
leaking, the owner and operator must monitor the
ground water under the facility. The information
collected from the monitoring wells is compared
to data on background water quality to determine
if any contamination of the uppermost aquifer has
occurred. If the information indicates that there
may be a release from the facility, the owner and
operator must then begin the second phase, the
ground water quality assessment. If an owner and
operator assumes or already knows that
contamination of the uppermost aquifer has
occurred, they may initiate the ground water
quality assessment instead of an indicator
evaluation program.
Ground Water Quality Assessment Program
Once the owner and operator has determined
that there may have been a release from the unit,
the ground water quality assessment helps to
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Managing Hazardous WasteRCRA Subtitle C
SECTION III
Chapter 5: Regulations Governing Treatment, Storage, and Disposal Facilities
determine the extent of the release. If an owner
and operator must perform a ground water quality
assessment, they must notify the EPA Regional
Administrator within seven days, and prepare and
submit a plan on how to conduct a ground water
quality assessment to the EPA Regional
Administrator within 15 days. In the ground water
quality assessment, the owner and operator must
establish how fast the unit is leaking, how far the
leak has spread, and the concentrations of
constituents in the contamination. The owner and
operator must repeat this assessment at least
quarterly until final closure of the facility, and must
keep records of all required analyses and
evaluations on site. They must also submit an
annual report to the EPA Regional Administrator
detailing the status of the ground water quality
assessment program.
AIR EMISSION STANDARDS
While many hazardous waste TSDF standards
are designed to protect ground water, potential
contamination of air resources also represents a
threat to human health and the environment.
During the process of hazardous waste treatment,
storage, or disposal, hazardous constituents can
escape into the air.
One particular class of these constituents,
volatile organics, evaporate easily and have been
linked to several adverse health effects. In order
to control the release of these emissions from
hazardous waste management processes, RCRA
imposes air emission control requirements on
units that commonly manage hazardous waste
with organics.
Process Vents
Certain types of hazardous waste units are
commonly used to manage wastes with high levels
of volatile organics. As a result, the first set of air
emission requirements addresses process vents
associated with the distillation, fractionation, thin-
film evaporation, solvent extraction, and air and
steam stripping of hazardous waste with an annual
average total organic concentration of 10 parts per
million by weight (ppmw). Owners and operators
of TSDFs with these treatment processes must
reduce organic emissions at their entire facility. To
meet this standard, the owner and operator may
either modify the treatment process or install a
device to control organic emissions.
Equipment Leaks
Volatile organics can also escape into the air
through gaps between connections of hazardous
waste management equipment, or other leaks
from such equipment. As a result, the second set
of air emission regulations establishes specific leak
detection and repair programs for equipment
(e.g., valves, pumps, and compressors) that
contains or contacts hazardous waste with at least
10 percent by weight organics. These programs
require leak detection monitoring and inspection.
In addition, once a leak has been detected, the
equipment must be repaired.
Containers, Surface Impoundments,
and Tanks
In order to further protect human health and
the environment from the risks posed by volatile
organics, the final set of RCRA air emission
standards require TSDF owners and operators to
control organic air emissions from hazardous
waste containers, surface impoundments, and
tanks. RCRA requires these controls if the units
manage waste with an average volatile organic
concentration above 500 ppmw. These air
emission controls prevent the release of organic
constituents through installation of a control
device (e.g., a flare), or prevention of emissions.
111-97
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SECTION III
Managing Hazardous WasteRCRA Subtitle C
Chapter 5: Regulations Governing Treatment, Storage, and Disposal Facilities
Containers
TSDF owners and operators are subject to one
of three different sets of requirements for
containers depending on the size of the container,
the organic content of hazardous waste placed in
the container, and whether or not waste
stabilization (as discussed in Section III, Chapter 6)
occurs in the container. Small containers
(between 26 and 119 gallons) and large containers
(greater than 119 gallons) storing waste with a low
vapor pressure (known as Level 1 containers) must
either comply with DOT requirements, be
equipped with a closed cover, or be fitted with a
vapor suppressing barrier. Large containers storing
waste with a high vapor pressure (known as Level
2 containers) may either meet DOT specifications,
operate with no detectable emissions, or be vapor
tight (i.e., no vapors can escape the unit). The last
category of containers (Level 3 containers) are
those units conducting waste stabilization. These
containers must be vented through a closed-vent
system to a control device.
Surface Impoundments
TSDF surface impoundment owners and
operators must either install a cover (e.g., an air-
supported structure or a rigid cover) over the
impoundment, which must be vented through a
closed-vent system to a control device, or equip
the surface impoundment with a floating
membrane cover.
Tanks
TSDF tank owners and operators are subject
to one of two different sets of requirements
depending on the vapor pressure of the waste
being managed in the unit. Tanks which store
hazardous waste below certain vapor pressures
(known as Level 1 tanks), must be equipped with,
at a minimum, a fixed roof. Those tanks that store
waste with higher vapor pressures (known as Level
2 tanks), have five compliance options that range
from putting the tank in an enclosure vented to a
control device to using a closed-vent system that
vents emissions from the unit to a control device.
Other Requirements
The air emission standards require owners and
operators to keep certain records demonstrating
compliance with these standards in the facility's
operating log.
LQGs are subject to the interim status air
emission control requirements for process vents,
equipment leaks, containers, and tanks. SQGs,
however, are not subject to these air emission
control requirements.
SUMMARY
The RCRA Subtitle C TSDF standards impose
requirements on units that treat, store, or dispose
hazardous waste. These standards include full
operation and management requirements for
permitted facilities (those built after the standards
were established) and less stringent provisions for
interim status facilities (those that were already in
operation).
The TSDF standards require facilities to
comply with:
General facility standards
Preparedness and prevention requirements
Contingency plans and emergency procedure
provisions
Manifest, recordkeeping, and reporting
requirements.
TSDF owners and operators can treat, store, or
dispose of waste in a variety of units. Each unit
has its own specific standards governing unit
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Managing Hazardous WasteRCRA Subtitle C
SECTION III
Chapter 5: Regulations Governing Treatment, Storage, and Disposal Facilities
design, construction, operation, and maintenance.
Owners and operators can manage their waste in
any of the following units:
Containers
Containment buildings
Drip pads
Land treatment units
Landfills
Surface impoundments
Tanks
Waste piles
Miscellaneous units.
LQGs accumulating waste in containers,
containment buildings, drips pads, and tanks are
subject to the interim status TSDF standards for
these units. SQGs accumulating waste in
containers and tanks are subject to the interim
status standards for these units.
The TSDF standards also establish
requirements to ensure that hazardous waste
management units are closed in a manner that
protects human health and the environment. The
closure provisions require the facility to stop
accepting waste; remove all waste from
management units; and decontaminate all soils,
structures, and equipment. Some units (i.e., land
treatment units, landfills, and surface
impoundments) serve as places for the final
disposal of hazardous waste. These land disposal
units must comply with additional post-closure
requirements to ensure proper long-term unit
maintenance.
Because closure and post-closure activities can
be very expensive, the TSDF standards require
owners and operators to demonstrate financial
assurance. These provisions also require all TSDFs
to set aside funds in order to compensate third
parties for bodily injury and property damage that
might result from hazardous waste management
operations.
RCRA's TSDF standards also include provisions
to protect ground water and air resources from
hazardous waste contamination. RCRA requires
owners and operators of land-based units (i.e.,
land treatment units, landfills, surface
impoundments, and waste piles) to monitor the
ground water below their TSDF for possible
contamination, and clean up any discovered
contamination.
In order to protect air resources, TSDFs are
required to install unit controls to prevent organic
emissions from escaping into the air. The air
emissions controls apply to process vents,
equipment leaks, containers, surface
impoundments, and tanks.
111-99
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Managing Hazardous Waste RCRA Subtitle C
SECTION III
Chapter 6: Land Disposal Restrictions
CHAPTER 6
LAND DISPOSAL RESTRICTIONS
In this chapter...
Overview 111-101
Applicability 111-102
LDR Prohibitions 111-103
- Disposal Prohibition 111-103
- Dilution Prohibition 111-109
- Storage Prohibition 111-109
History of LDR 111-109
Summary 111-111
OVERVIEW
A common hazardous waste management
practice is to place hazardous waste in land-based
units (i.e., land treatment units, landfills, surface
impoundments, or waste piles). In 1995,
approximately 8.1 percent (22 million tons) of
hazardous waste generated under RCRA was
permanently disposed of on the land. The
permanent disposal of hazardous waste in land-
based units has the potential to threaten human
health and the environment through ground water
contamination. As a result, the RCRA program
contains extensive technical requirements to
ensure that land-based units prevent hazardous
leachate from escaping into the environment. To
complement the unit-specific standards, which
alone do not fully protect human health and the
environment from the potential risks of land-based
hazardous waste management, RCRA contains the
LDR program.
The LDR program approaches ground water
protection differently from unit-specific technical
standards. This program does not mandate
physical barriers to protect ground water, but
instead requires that hazardous wastes undergo
fundamental physical or chemical changes so that
they pose less of a threat to ground water, surface
water, and air when disposed. The obvious
advantage of such hazardous waste treatment is
that it provides a longer lasting form of protection
than does simple hazardous waste containment.
While synthetic barriers designed to prevent the
migration of leachate can break down and fail
over time, physical and chemical changes to the
waste itself provide a more permanent type of
protection.
Ill-101
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SECTION III
Managing Hazardous Waste RCRA Subtitle C
Chapter 6: Land Disposal Restrictions
When directing EPA to establish the LDR
program, Congress called for regulations that
specified concentrations of hazardous constituents
or methods of treatment that would substantially
decrease the toxicity of hazardous waste or
decrease the likelihood that contaminants in such
wastes would leach. EPA responded to these
requirements by establishing waste-specific
treatment standards that dictate to what extent
waste must be treated. All hazardous wastes,
except under certain circumstances, must meet a
specific treatment standard before they can be
disposed.
APPLICABILITY
Wastes must be a RCRA hazardous waste in
order to be subject to the LDR program. In other
words, unless a waste meets the definition of a
solid and hazardous waste, its disposal is not
regulated under the LDR program. Once a
generator identifies its waste as hazardous (either
listed, characteristic, or both), the waste is
assigned a waste code. When EPA establishes a
treatment standard for the waste code, the waste
will then become restricted (i.e., subject to the
LDR requirements). RCRA requires that EPA
establish treatment standards for hazardous wastes
within six months of promulgating a new listing or
characteristic. Until EPA establishes a treatment
standard for a waste, this newly identified or
newly listed waste (i.e., waste for which EPA has
yet to establish a treatment standard) can continue
to be land disposed without treatment. When
EPA promulgates a final treatment standard for a
waste, handlers of the waste must manage it in
accordance with all the LDR requirements and
cannot dispose of it on the land until it meets all
applicable treatment standards (see Figure 111-19).
Figure 111-19: LAND DISPOSAL RESTRICTIONS APPLICABILITY
Yes
Is waste a listed or characteristic hazardous waste?
Yes
No
Is waste:
1) Generated by a CESQG; or
2) A pesticide/container residue disposed by a farmer on his own land; or
3) A low-volume release mixed with facility wastewater and discharged
under CWA?
Yes
WASTE IS NOT SUBJECT
TO LDR
]
No
Does waste have a treatment standard1?
Yes
WASTE IS SUBJECT TO LDR
No
]
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Managing Hazardous Waste RCRA Subtitle C
SECTION III
Chapter 6: Land Disposal Restrictions
While the LDR program generally applies to all
persons who generate, transport, treat, store, or
dispose of restricted hazardous wastes, there are
exclusions from the LDR requirements. The
following wastes are not subject to the LDR
program:
Waste generated by CESQGs
Waste pesticides and container residues
disposed of by farmers on their own land
Newly identified or newly listed hazardous
wastes for which EPA has yet to promulgate
treatment standards
Certain waste releases that are mixed with a
facility's wastewater and discharged pursuant
to CWA.
Wastes meeting any of these descriptions may
continue to be land disposed without being
subject to the LDR program.
The LDR requirements attach to a hazardous
waste at its point of generation. In other words,
once a waste has been generated, identified, and
assigned a waste code, it must be treated in
accordance with LDR requirements before being
disposed. As a general principle, a hazardous
waste must meet all applicable treatment
standards to be eligible for land disposal. For
purposes of the LDR program, a generator of a
listed hazardous waste must determine if the
waste also exhibits any hazardous waste
characteristics. If it does, then the treatment
standard for all waste codes must be met before
land disposal.
LDR PROHIBITIONS
The LDR program consists of three main
components: the disposal prohibition, the dilution
prohibition, and the storage prohibition. This
series of prohibitions restricts how wastes subject
to LDR requirements are handled. The most
visible aspect of the LDR program is the disposal
prohibition, which includes treatment standards,
variances, alternative treatment standards, and
notification requirements. Land disposal means
placement in or on the land, except in a corrective
action unit, and includes, but is not limited to,
placement in a landfill, surface impoundment,
waste pile, injection well, land treatment facility,
salt dome formation, salt bed formation,
underground mine or cave, or placement in a
concrete vault, or bunker intended for disposal
purposes. The other two components work in
tandem with the disposal prohibition to guide the
regulated community in proper hazardous waste
management. The dilution prohibition ensures
that wastes are properly treated, and the storage
prohibition ensures that waste will not be stored
indefinitely to avoid treatment.
Disposal Prohibition
The first component of the LDR program, the
disposal prohibition, prohibits the land disposal
of hazardous waste that has not been adequately
treated to reduce the threat posed by such waste.
The criteria that hazardous wastes must meet
before being disposed of are known as treatment
standards. These treatment standards can be
either concentration levels for hazardous
constituents that the waste must meet or
treatment technologies that must be performed on
the waste before it can be disposed.
EPA bases the LDR treatment standards on the
performance of available technologies. EPA
conducts extensive research into available
treatment
technologies to
determine which
proven, available
technology is the
best at treating the
waste in question.
The technology that
DISPOSAL PROHIBITION
The disposal prohibition
prohibits the land disposal
of hazardous waste that
has not been adequately
treated to reduce the threat
posed by such waste.
Ill-103
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SECTION III
Managing Hazardous Waste RCRA Subtitle C
Chapter 6: Land Disposal Restrictions
best minimizes the mobility or toxicity (or both) of
the hazardous constituents is designated as the
Best Demonstrated Available Technology
(BOAT) for that waste. The treatment standards
are based on the performance of this BOAT.
When treatment standards are set as
concentration levels, the regulated community
may use any method or technology (except
dilution, as discussed later in this chapter) to meet
that concentration level. The concentration level
is based on the performance of the BOAT, but the
regulated community does not need to use this
technology to meet the treatment standard. EPA
prefers to use concentration-based standards
because they stimulate innovation and the
development of alternative treatment
technologies. However, when EPA feels that the
waste will only be effectively treated by the BOAT
or when there is no way to measure hazardous
constituent levels, the Agency will designate the
BOAT as the treatment standard. This means that
the regulated community must treat the waste
with that specific technology in order to meet the
treatment standard.
The treatment standards are found in the
regulations in a table arranged by hazardous waste
code (40 CFR §268.40). Concentration-based
treatment standards appear in the table as
numeric values. The few treatment standards that
require the use of a specific technology are
expressed as a five-letter code representing the
technology (see Figure 111-20). There are 30 such
codes representing specific technology-based
standards. Descriptions of these codes and the
technologies that they require are found in the
regulations in a separate table in 40 CFR §268.42
(see Figure 111-21).
Figure III-20: EXCERPTS FROM THE 40 CFR §268.40 TREATMENT STANDARDS TABLE
Concentration-Based
Standard
TREATMENT STANDARDS FOR HAZARDOUS WASTES /
WASTE
CODE
K009
K026
WASTE DESCRIPTION
AND
TREATMENT/
REGULATORY
SUBCATEGORY
Distillation bottoms from
the production of
acetaldehyde from
ethylene
Stripping still tails from
the production
of methyl ethyl pyridines
REGULATED HAZARDOUS
CONSTITUENT
Common
Name
Chloroform
NA
CAS
Number
67-66-3
NA
WASTEWATERS
Concentration in
mg/l; or
Technology Code
0.046
CMBST
NONWASTEWATERyS
Concentration in m//kg
unless notes as "nig/l/TCLR";
or Technology Qode
^
f
6.0
CMBST
A
Technology-Based
Standard
III-104
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Managing Hazardous Waste RCRA Subtitle C
SECTION III
Chapter 6: Land Disposal Restrictions
Figure 111-21: EXCERPTS FROM THE 40 CFR §268.42 TECHNOLOGY-BASED STANDARDS TABLE
Code
BIODG
CHRED
CMBST
DEACT
MACRO
NEUTR
PRECP
REMTL
RORGS
STABL
Technology
Biodegradation
Chemical reduction
Combustion
Deactivation
Macroencapsulation
Neutralization
Precipitation
Recovery of Metals
Recovery of Organics
Stabilization
Description
Biodegradation uses microorganisms to breakdown organic compounds
to make a waste less toxic.
Chemical reduction converts metal and inorganic constituents in
wastewater into insoluble precipitates that are later settled out of the
wastewater, leaving a lower concentration of metals and inorganics in the
wastewater.
Combustion destroys organic wastes or makes them less hazardous
through burning in boilers, industrial furnaces, or incinerators.
Deactivation is treatment of a waste to remove the characteristic of
ignitability, corrosivity, or reactivity. Deactivation can be achieved using
many of the treatment technologies in 40 CFR §268.42, Table 1 . Part 268,
Appendix VI recommends technologies that can be used to deactivate
specific wastestreams.
Macroencapsulation is the application of a surface coating material to
seal hazardous constituents in place and prevent them from leaching or
escaping.
Neutralization makes certain wastes less acidic or certain substances
less alkaline.
Precipitation removes metal and inorganic solids from liquid wastes to
allow the safe disposal of the hazardous solid portion.
Recovery of organics uses direct physical removal methods to extract
metal or inorganic constituents from a waste.
Recovery of organics uses direct physical removal methods (e.g.,
distillation, steam stripping) to extract organic constituents from a waste.
Stabilization (also referred to as solidification) involves the addition of
stabilizing agents (e.g., Portland cement) to a waste to reduce the
leachability of metal constituents.
Choracfer/sf/c Hazardous Wastes
Both listed and characteristic hazardous
wastes must meet the LDR treatment standards
before they are eligible for land disposal. There
are, however, some unique situations that arise
when dealing with characteristic wastes under the
LDR program.
The treatment standards for most
characteristic hazardous wastes entail rendering
the waste nonhazardous (i.e., decharacterizingthe
waste or removing the characteristic). However,
some characteristic waste treatment standards
have additional requirements. The regulated
community must examine these wastes for
underlying hazardous constituents. These
constituents are not what causes the waste to
exhibit a characteristic, but they can pose hazards
nonetheless. The underlying hazardous
constituents must be treated in order to meet
contaminant-specific levels. These levels are
referred to as the universal treatment standards
(UTS), and are listed in a table in the RCRA
regulations (40 CFR §268.48). This is why some
characteristic wastes that no longer exhibit a
characteristic must still be treated to meet
additional LDR requirements. Once such
characteristic hazardous wastes have been
decharacterized and treated for underlying
constituents, they can be disposed of in a
nonhazardous waste landfill.
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SECTION III
Managing Hazardous Waste RCRA Subtitle C
Chapter 6: Land Disposal Restrictions
CASE STUDY: DECHARACTERIZED WASTES AND THE REQUIREMENT TO TREAT
FOR UNDERLYING HAZARDOUS CONSTITUENTS
A facility generates an industrial nonwastewater that contains benzene, acetone, and methanol. The generator
determines that their waste is not listed based on its origin, but upon testing the waste, determines that it fails the
TCLP for benzene. As a result, the waste is identified as D018. According to the LDR treatment standard for D018,
the benzene in the waste must be treated to a standard of 10 mg/kg, and the waste must also be treated for
acetone and methanol underlying hazardous constituents. The generator decides to treat the waste in containers
at the facility. After treatment, the benzene meets the 10 mg/kg standard and no longer exhibits a characteristic.
Although the waste is technically no longer a hazardous waste, it must be treated for the acetone and methanol
underlying hazardous constituents before it can be land disposed.
Variances, Extensions, and Exemptions
If a restricted waste does not meet its
applicable treatment standard, it is prohibited
from land disposal. Although most wastes become
eligible for disposal by meeting the treatment
standards, in some instances this may not be
possible. For example, there may not be enough
treatment capacity to treat a waste, or the
concentration level may not be achievable. To
address these situations, EPA established
procedures that allow wastes to be disposed of
under special circumstances. The following
exemptions, variances, and extensions allow
wastes to be disposed of without meeting their
respective treatment standards, or to be treated to
a different standard:
National capacity variances
Case-by-case extensions
No-migration variances
Variances from a treatment standard
Equivalent treatment method variances
Surface impoundment treatment exemptions.
While national capacity variances, when
needed, are automatically granted to all affected
hazardous waste management facilities, the other
five exemptions, variances, and extensions require
a facility to specifically petition the Agency.
National Capacity Variances
When developing a treatment standard, EPA
examines the available treatment capacity to
determine whether it is sufficient to handle
current and future waste management needs. If
the Agency determines that nationally there is not
enough capacity to treat a waste, EPA can
automatically extend the effective date of the
waste's treatment standard. Such an extension to
the effective date is intended to give the waste
treatment industry more time to develop the
capacity to handle the waste. Wastes under a
national capacity variance can be disposed of,
without meeting the treatment standards, in
landfills and surface impoundments that meet
minimum technical requirements (e.g., liners,
leachate collection and removal systems, and leak
detection systems). (These technical requirements
are fully discussed in Section III, Chapter 5.)
Case-by-Case Extensions
A facility may petition EPA for a case-by-case
extension to delay the effective date of a waste's
treatment standard, upon showing that capacity
does not exist for that particular waste. Similar to
national capacity variances, wastes granted case-
by-case extensions can be disposed of without
meeting the treatment standards in landfills and
surface impoundments that meet minimum
technical requirements.
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Managing Hazardous Waste RCRA Subtitle C
SECTION III
Chapter 6: Land Disposal Restrictions
No-Migration Variances
No-migration variances differ from capacity
variances in that they apply to the disposal unit
instead of to the waste, and allow wastes to be
disposed of in the unit without meeting the
treatment standards. To obtain a no-migration
variance for a disposal unit, a facility must petition
EPA and demonstrate that there will be no
migration of hazardous constituents from the unit
(i.e., the waste will not leak or escape from the
unit) for as long as the wastes remain hazardous.
Variances from a Treatment Standard
Variances from a treatment standard allow the
regulated community to petition EPA and show
that the required LDR treatment standard is not
appropriate for their waste, or that the treatment
standard is not achievable. If a variance is
granted, EPA will specify an alternative standard to
meet.
Equivalent Treatment Method Variances
Equivalent treatment method variances allow
the regulated community to petition EPA and
demonstrate that a technology different from the
required LDR treatment technology can achieve
the same results. If approved, the applicant can
use the alternative technology in place of the
required technology.
Surface Impoundment Treatment
Exemptions
Surface impoundment treatment exemptions
allow the regulated community to petition EPA for
permission to treat hazardous waste in surface
impoundments (surface impoundments are fully
discussed in Section III, Chapter 5). Under normal
circumstances, owners and operators cannot place
untreated hazardous waste on the land, even if it
is in a land-based unit for treatment. Since many
facilities use surface impoundments as a means of
treating waste, the surface impoundment
treatment exemption allows owners and operators
to conduct such treatment under certain
conditions. Surface impoundments treating waste
under this exemption must comply with double
liner and minimum technical requirements, and
provisions for the removal of sludges and
treatment residues.
Alternative Treatment Standards
In establishing treatment standards, the
Agency applied the BOAT methodology to the
typical forms of waste generated by industry.
Some forms of hazardous waste are unique and
were not taken into account by the BOAT process
when treatment standards were established. As a
result, EPA created a number of broad, alternative
treatment standards for special types of waste.
Lab Packs
Laboratories commonly generate small
volumes of many different listed hazardous
wastes. Rather than manage all these
wastes separately,
labs often
consolidate these
small containers into
lab packs. Trying to
meet the individual
treatment standards
for every waste
contained in a lab
pack would be impractical.
To ease the compliance burden, EPA established
an alternative treatment standard for lab packs
that allows the whole lab pack to be incinerated,
followed by treatment for any metal in the
residues. Treatment using this alternative standard
satisfies the LDR requirements for all individual
wastes in the lab pack.
Ill-107
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SECTION III
Managing Hazardous Waste RCRA Subtitle C
Chapter 6: Land Disposal Restrictions
Debris
Debris can become contaminated with
hazardous waste accidental releases or spills.
While such contaminated debris is typically
regulated under the contained-in policy (as
discussed in Section III, Chapter 1), it may also be
subject to LDR treatment standards. The physical
characteristics of such debris may make it difficult
to meet the LDR treatment standard for the waste
that is contaminating it. For example, incinerating
a solvent-saturated brick wall is not necessarily
going to destroy the solvent constituents that are
safely nestled in between the pieces of brick.
Instead of requiring debris to meet these
sometimes inappropriate and difficult standards,
EPA established a set of alternative standards that
can be used to treat hazardous debris (40 CFR
§268.45, Table 1). The alternative standards range
from removing all contaminants with high pressure
washing, to encapsulating
the debris in order to
prevent hazardous
constituents from leaching.
Debris treated with these
alternative treatment
standards meets the LDR
requirements, and in many
cases, can be disposed of as
nonhazardous waste.
Soil
Accidental spills of hazardous waste or spills of
product chemicals can also contaminate soil.
While such contaminated media is also typically
regulated under the contained-in policy (as
discussed in Section III, Chapter 1), it may also be
subject to LDR treatment standards. Because EPA
established LDR treatment standards by applying
the BOAT process for wastes, and soil is not
considered a "waste," the established LDR
treatment standards might not automatically be
appropriate for contaminated soil. As a result, EPA
promulgated alternative treatment standards for
contaminated soil in 1998.
Notification, Certification, and Recordkeeping
In order to properly track the hazardous waste
that is generated, transported, treated, stored, and
disposed of, EPA imposes certain LDR notification,
certification, and recordkeeping requirements on
generators and TSDFs. LDR notifications inform
the next waste handler how the waste must be
treated to meet the treatment standard or if it can
be disposed of without treatment. When wastes
do not need to meet a treatment
standard, or already meet the
standard, EPA requires the
handler to sign a statement J ; L
certifying such a claim.
Generators must send a
notification with the initial
shipment of every waste. If the
waste, process, or receiving
facility changes, another
notification is required. The
information that the notification must include
varies according to the status of the waste. For
example, the notification requirements will differ
slightly if the waste meets its treatment standard or
is subject to a national capacity variance.
Treatment facilities have to send similar
notifications along with the shipment of treated
wastes to disposal facilities. A certification
normally accompanies this notification stating that
the waste meets its treatment standards and may
be land disposed. Disposal facilities are the final
link in the waste management chain. As a result,
they have to test the waste residue that they
receive to ensure that it meets the treatment
standards.
Each hazardous waste handler must comply
with certain recordkeeping requirements for LDR
notifications and paperwork. Generators,
treatment facilities, and disposal facilities must
keep copies of all LDR paperwork associated with
the waste they ship or receive in their facility files
for three years.
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Managing Hazardous Waste RCRA Subtitle C
SECTION III
Chapter 6: Land Disposal Restrictions
Characteristic wastes that are decharacterized
subsequent to the point of generation (i.e., they
become nonhazardous) are handled differently.
Once a waste is decharacterized and has met its
full LDR treatment standards, it can go to a RCRA
Subtitle D nonhazardous waste facility. These
LDR notifications and certifications are sent to the
EPA Region or authorized state rather than to the
receiving Subtitle D facility. This is intended to
protect Subtitle D facilities from the burden of
hazardous waste paperwork.
Dilution Prohibition
The second component of the LDR program is
the dilution prohibition. When a waste's
treatment standard is expressed as a numeric
concentration level, it is often easier and less
expensive to dilute the waste in water or soil in
order to reduce the concentration of the
hazardous constituents. This type of activity does
not reduce the overall or mass load of toxic
chemicals that could be released to the
environment, and is inconsistent with the goals of
the LDR program. To prevent this activity from
being practiced, EPA established the dilution
prohibition. The dilution prohibition states that it
is impermissible to dilute hazardous waste to
circumvent proper treatment. Adding water or
DILUTION PROHIBITION
The dilution prohibition forbids dilution, such as the
addition of soil or water to waste, in order to reduce
the concentrations of hazardous constituents, and can
prohibit treatment of a waste by ineffective or
inappropriate treatment methods. Examples of
ineffective or inappropriate treatment include
biodegradation, combustion, or incineration of metals,
and stabilization of organics. The clearest objective
indication that proper treatment is being conducted is
if the treatment is the same type as that on which the
treatment standard is based (i.e., if the treatment
method is the same as the BOAT that established the
waste's treatment standard) or if the treatment
process actually destroys or removes hazardous
constituents.
soil to a waste to dilute it, combining wastes not
amenable to the same type of treatment, and
incinerating metal wastes are all examples of
impermissible dilution.
Storage Prohibition
The final
component of
the LDR
program is the
storage
prohibition.
Before a waste
can be treated,
it is usually
STORAGE PROHIBITION
The storage prohibition
prevents the indefinite storage
of untreated hazardous waste
for reasons other than the
accumulation of quantities
necessary for effective
treatment or disposal.
stored in units, such as containers and tanks.
These storage units are not intended for the long-
term management of waste, and therefore, are not
required to provide the same level of protective
measures as disposal units. To prevent indefinite
storage, EPA regulations state that if waste storage
exceeds one year, the facility has the burden of
proving that such storage is being maintained in
order to accumulate quantities necessary for
effective treatment or disposal. For storage less
than one year, EPA has the burden of proving that
such storage is not for the purpose of
accumulating quantities necessary for effective
treatment or disposal. Generators accumulating
waste on site within their respective accumulation
time limits (as discussed in Section III, Chapter 3),
and transfer facilities temporarily storing
manifested shipments of hazardous waste for less
than 10 days (as discussed in Section III, Chapter
4), are not subject to this burden of proof
requirement.
HISTORY OF LDR
The LDR program has a complicated history.
The progression of the LDR program is important
in understanding how and why the LDR program
operates the way it does today (see Figure III-22).
Ill-109
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SECTION III
Managing Hazardous Waste RCRA Subtitle C
Chapter 6: Land Disposal Restrictions
Figure 111-22: SIGNIFICANT LAND DISPOSAL RESTRICTIONS RULEMAKINGS
November 7,
1986
JulyS,
1987
August 17,
1988
June 23, Junel,
1989 1990
August 18, September 19, Aprils,
1992 1994 1996
May 12,
1997
t
t
t
t
t
Solvent and Dioxin Rule
(51 FR 40572)
First Third Rule
(53 FR 31138)
Third Third Rule
(55 FR 22520)
Phase II Rule
(59 FR 47980)
Phase IV Rule
(62 FR 25998)
California List Rule
(52 FR 25760)
Second Third Rule
(54 FR 26594)
Phase I Rule
(57 FR 37194)
Phase III Rule
(61 FR 15565)
HSWA established the authority for the LDR
program. When HSWA was enacted, EPA had
already listed and identified a large number of
hazardous wastes. As a result, the Agency had to
gradually address these wastes by establishing LDR
treatment standards in stages. Congress directed
EPA to address certain high-risk and high-volume
wastes first, and established a three-part schedule
for EPA to follow in addressing the remaining
wastes. The three parts of this schedule are
known as the Thirds.
Before EPA could address the wastes in the
Thirds, the Agency was required to address those
wastes that were high-risk (dioxins) and those
wastes that were generated in large amounts
(solvents). The treatment standards for these
wastes were promulgated on November 7, 1986.
This rulemaking also established the basic
framework for the LDR program.
Because EPA's promulgation of LDR treatment
standards for the large number of wastes in the
Thirds would take considerable time, the Agency
established interim treatment standards to ensure
adequate protection of human health and the
environment. These interim standards are known
as the California list. The list, based on a
program established by California's Department of
Health Services, became effective on July 8, 1987.
These standards did not target specific waste
codes, but rather wastes containing certain toxic
constituents or exhibiting certain properties. As
EPA established waste-specific treatment standards
in the Thirds, the California list provisions were
superseded. All of the provisions on the list have
now been superseded.
To address the wastes that were to be covered
under the Thirds, EPA ranked the wastes according
to hazard and volume generated. Those wastes
that posed the greatest potential threat were
addressed first through a rulemaking on August
17, 1988. These wastes are known as the First
Third wastes. The treatment standards for the
Second Third wastes were promulgated on June
23, 1989, and the treatment standards for the
Third Third wastes were promulgated on June 1,
1990.
While EPA was addressing the solvents,
dioxins, and the Thirds, other hazardous wastes
were being listed and identified as part of the
Agency's continuing process of hazardous waste
identification. These newly listed and identified
wastes, which became subject to RCRA after
HSWA, were grouped in their own respective
schedules. These schedules are known as the
Phases. These schedules not only promulgated
III-110
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Managing Hazardous Waste RCRA Subtitle C
SECTION III
Chapter 6: Land Disposal Restrictions
treatment standards for newly listed and identified
wastes, but also made minor modifications and
improvements to the LDR regulatory program.
On August 18, 1992, EPA promulgated Phase
I, which finalized treatment standards for the first
set of newly listed wastes and established
alternative treatment standards for hazardous
debris. On September 19, 1994, EPA
promulgated Phase II, which also finalized
treatment standards for additional newly listed
wastes and added the UTS table (40 CFR
§268.48). On April 8, 1996, EPA promulgated
Phase III, which not only finalized treatment
standards for a third set of newly listed wastes, but
also prohibited the combustion of metals (such
treatment is ineffective and thus constitutes
impermissible dilution). On May 12, 1997, EPA
promulgated the first half of Phase IV, which
finalized the last set of treatment standards for
newly listed wastes and modified the LDR
notification requirements. The second half of
Phase IV, which will complete the schedule
established by the Phases, will finalize treatment
standards for newly identified toxicity
characteristic metal wastes and formerly exempt
mineral processing wastes.
With the completion of the four Phases, EPA
has promulgated standards for all currently
identified and listed hazardous wastes. EPA now
promulgates the LDR treatment standards for a
waste when the waste is initially identified or
listed.
SUMMARY
The LDR program is designed to protect
ground water from contamination by requiring
hazardous wastes to be physically or chemically
altered to reduce the toxicity or mobility of
hazardous constituents prior to disposal. The LDR
requirements apply to all hazardous wastes (with a
few exceptions) once a treatment standard has
been established for the waste. These
requirements attach at the point of generation, at
which time generators must determine both
hazardous waste listings and characteristics. Based
on this determination, the waste must meet all
applicable treatment standards before disposal.
The LDR program consists of prohibitions on:
Disposal
Dilution
Storage.
The disposal prohibition requires that
hazardous wastes be treated to meet waste
specific treatment standards before disposal.
These standards are based on the BOAT process
and requires treatment to a specific concentration
level or treatment by a specific technology. EPA
established a series of variances, exemptions, and
extensions to address those situations where the
required treatment standard cannot be achieved.
The LDR program also includes alternative
treatment standards for unique wastestreams, such
as lab packs, debris, and soil. To ensure that
wastes receive proper treatment and are managed
appropriately, EPA also established notification
and recordkeeping requirements.
The dilution prohibition prevents treatment by
ineffective or inappropriate methods. The storage
prohibition is intended to require expeditious
treatment.
Since 1986, when the first treatment standards
were promulgated, the LDR program has
continually evolved. EPA has finished establishing
treatment standards for all existing, newly
identified, and newly listed wastes based on two
rulemaking schedules (the Thirds and Phases), and
the Agency now establishes treatment standards
for hazardous wastes when they are either listed
or identified.
Ill-Ill
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Managing Hazardous Waste RCRA Subtitle C
SECTION III
Chapter 7: Hazardous Waste Combustion
CHAPTER 7
HAZARDOUS WASTE COMBUSTION
In this chapter...
Overview 111-113
Which are the Regulated Units? 111-114
- Incinerators 111-115
- Boilers and Industrial Furnaces 111-115
Regulatory Requirements 111-116
- Performance Standards 111-117
- Operating Requirements 111-119
Additional Requirements 111-120
Future Integrated Regulations 111-121
Summary 111-121
OVERVIEW
A large number of TSDFs use combustion, the
controlled burning of substances in an enclosed
area, as a means of treating and disposing of
hazardous waste. Approximately 2.5 percent (6
million tons) of the hazardous waste generated
in the United States in 1995 was treated
using combustion. As a hazardous waste
management practice, combustion has
several unique attributes. First, if properly
conducted, it permanently destroys toxic
organic compounds contained in
hazardous waste by breaking their
chemical bonds and reverting them to
their constituent elements, thereby
reducing or removing their toxicity.
Second, combustion reduces the
volume of hazardous waste to be '
disposed of on land by converting solids and
liquids to ash. Land disposal of ash, as opposed to
disposal of untreated hazardous waste, is in many
instances both safer and more efficient.
Combustion is an intricate treatment process.
During burning, organic wastes are converted
from solids and liquids into gases. These gases
pass through the flame, are heated further, and
eventually become so hot that their organic
compounds break down into the constituent
atoms. These atoms combine with oxygen and
form stable gases that are released to the
atmosphere after passing through air pollution
control devices.
The stable gases produced by combustion of
organics are primarily carbon dioxide and water
vapor. Depending on waste composition,
however, small quantities of carbon monoxide,
nitrogen oxides, hydrogen chloride, and other
gases may form. These gases have the potential to
cause harm to human health and the
environment. The regulation of these
emissions is the primary focus of the
RCRA combustion unit standards.
The management or disposal of
metals and ash, other by-products of
the combustion process, also causes
concern. Ash is an inert solid
L,,,,-^-^ material composed primarily
^h of carbon, salts, and metals.
| I I » During combustion, most
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SECTION III
Managing Hazardous Waste RCRA Subtitle C
Chapter 7: Hazardous Waste Combustion
ash collects at the bottom of the combustion
chamber (bottom ash). When this ash is removed
from the combustion chamber, it may be
considered hazardous waste via the derived-from
rule or because it exhibits a characteristic. Small
particles of ash (particulate matter that may also
have metals attached), however, may be carried
up the stack with the gases (fly ash). These
particles and associated metals are also regulated
by the combustion regulations, as they may carry
hazardous constituents out of the unit and into the
atmosphere. Since combustion will not destroy
inorganic compounds present in hazardous waste,
such as metals, it is possible that such compounds
may also end up in bottom ash and fly ash at
harmful concentrations. Ash residue is subject to
applicable RCRA standards and may need to be
treated for metals or other inorganic constituents
prior to land disposal (see Figure 111-23).
In the early years of RCRA, EPA's idea was to
combust as much hazardous waste as possible and
landfill the resultant ash. This process destroyed
the majority of the waste, thus reducing the
volume requiring disposal. However, it was
determined that incomplete or improperly
conducted combustion had the potential to
present a major public health risk, and therefore,
became the topic of much public outcry. This
public concern, coupled with EPA's advancements
in assessing potential risks arising from combustion,
caused a shift in EPA's strategy on combustion.
This shift in thinking resulted in the increasing
stringency of combustion requirements over time.
WHICH ARE THE REGULATED UNITS?
Hazardous wastes are combusted for various
purposes. The purpose of combustion is directly
related to the type of unit used. There are two
classes of combustion units, those that burn waste
for energy recovery and those that burn waste for
destruction. At the present time, the regulations
that apply to each activity vary with the type of
waste that is burned, the type of combustion
device, and the purpose of the burning. Under
proposed regulations, known as the maximum
achievable control technology (MACT) proposed
rule, expected to be finalized in late 1998, the
Figure III-23: THE COMBUSTION PROCESS
AIR POLLUTION
CONTROL DEVICE
COMBUSTION CHAMBER
STABLE GASES
(Carbon Dioxide, Water
Vapor, Carbon Monoxide,
Nitrogen Oxide, Hydrogen
Chloride, and Chlorine)
FLY ASH
(Particulate Matter,
Carbon, Salts, and
Metals)
Atoms combine with
oxygen to form
stable gases
Gases pass through flame
and break down into atoms
Waste is converted
to gases
]
BOTTOM ASH
(Carbon, Salts, and Metals)
III-114
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Managing Hazardous Waste RCRA Subtitle C
SECTION III
Chapter 7: Hazardous Waste Combustion
regulations would be harmonized and the purpose
of burning would no longer be a key factor. The
MACT proposal is fully discussed later in this
chapter.
followed by a controlled flame afterburner) and
plasma arc incinerators (a unit that uses electrical
discharge followed by a controlled flame
afterburner).
Incinerators
Boilers and Industrial Furnaces
The first class of combustion units are
hazardous waste incinerators. Incineration is the
combustion of hazardous waste primarily for
destruction (i.e., disposal). Incineration is a
method of thermal destruction of primarily organic
hazardous waste using controlled flame
combustion (see Figure 111-24). This process can
reduce large volumes of waste materials to ash
and lessen toxic gaseous emissions. An
Figure 111-24:
CROSS-SECTION OF AN INCINERATOR
Auxiliary Fuel
and/or
Liquid Waste
^^
Auxiliary Fuel
and/or
Liquid Waste
Air
Hazardous
Waste
Combustion
Air
Feed Ram
Ash
Transfer Ram
Ash
Discharge Ram
Ash Discharge
incinerator is an enclosed device that uses
controlled flame combustion and does not meet
the more specific criteria for classification as a
boiler, industrial furnace, sludge dryer (a unit that
dehydrates hazardous sludge), or carbon
regeneration unit (a unit that regenerates spent
activated carbon). Incinerators also include
infrared incinerators (a unit that uses electric heat
The second class of combustion units are BIFs.
Boilers are used to recover energy from hazardous
waste, while industrial furnaces are used primarily
to recover material values.
PA defines boilers as enclosed devices that use
controlled flame combustion to recover and
export energy in the form of steam, heated fluid,
or heated gases. A boiler is comprised of two
main parts, the combustion chamber used to heat
the hazardous waste and the tubes or pipes that
hold the fluid used to produce energy (see Figure
111-25). The regulatory definition of boiler requires
that these two parts be in close proximity to one
Figure 111-25:
CROSS-SECTION OF A BOILER
Water To Be
Heated V
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SECTION III
Managing Hazardous Waste RCRA Subtitle C
Chapter 7: Hazardous Waste Combustion
another to ensure the effectiveness of the unit's
energy recovery system and to maintain a high
thermal energy recovery efficiency. In addition,
the unit must export or use the majority of the
recovered energy for a beneficial purpose.
Industrial furnaces are enclosed units that are
integral parts of a manufacturing process and use
thermal treatment to recover materials or energy
from hazardous waste (see Figure 111-26). These
units may use hazardous waste as a fuel to heat
raw materials to make a commodity (e.g., a
cement kiln making cement) or the unit may
recover materials from the actual hazardous waste
(e.g., a lead smelter recovering lead values). The
following 12 devices meet the definition of an
industrial furnace:
Cement kiln
Aggregate kiln
Coke oven
Smelting, melting, and refining furnace
Methane reforming furnace
Pulping liquor recovery furnace
Lime kiln
Phosphate kiln
Blast furnace
Titanium dioxide chloride process oxidation
reactor
Halogen acid furnace
Combustion device used in the recovery of
sulfur values from spent sulfuric acid.
Figure III-26:
CROSS-SECTION OF AN INDUSTRIAL FURNACE
Preheater 1
After notice and comment, EPA may add other
devices to this list of industrial furnaces upon
consideration of factors related to the design and
use of the unit.
Not all units that meet the definition of boiler
or industrial furnace are subject to the BIF
standards. Each individual unit must first be
evaluated against a number of exemptions from
the BIF requirements. For a variety of reasons
(e.g., to avoid duplicative regulation), EPA
exempted the following units from the BIF
regulations:
Units burning used oil for energy recovery
Units burning gas recovered from hazardous
or solid waste landfills for energy recovery
Units burning hazardous wastes that are
exempt from RCRA regulation, such as
household hazardous wastes
Units burning hazardous waste produced by
CESQGs
Coke ovens burning only K087 decanter tank
tar sludge from coking operations
Certain units engaged in precious metals
recovery
Certain smelting, melting, and refining
furnaces processing hazardous waste solely for
metals recovery
Certain other industrial metal recovery
furnaces.
REGULATORY REQUIREMENTS
Clinker
Kiln
1
1 A
J 1 \y^
I
Stack
-: T
-^ /( !
Dust
Collector (£
The RCRA regulation of combustion units is
composed of two types of requirements,
performance standards and operating
requirements. Performance standards are the
numerical pollutant emission limits developed by
III-116
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Managing Hazardous Waste RCRA Subtitle C
SECTION III
Chapter 7: Hazardous Waste Combustion
EPA or states. Operating requirements, on the
other hand, are parameters established by the
facility and written into a permit that will ensure
that the unit meets the numerical performance
standards.
Performance Standards
Emissions from combustion units may be
comprised of a variety of hazardous pollutants. To
minimize potential harmful effects of these
pollutants, EPA developed performance standards
to regulate four pollutant categories: organics,
hydrogen chloride and chlorine gas, particulate
matter, and metals. Both incinerators and BIFs
have performance standards that they must meet.
For each category or type of emission, the
regulations establish compliance methods and
alternatives.
Organics
Because the primary purpose of a combustion
unit is to destroy the organic components found in
hazardous waste, it is essential to verify that the
unit is efficiently destroying organics in the waste.
This is determined based on the unit's organic
destruction and removal efficiency (DRE) as
demonstrated in a trial burn. Since it would be
nearly impossible to determine the DRE results for
every organic constituent in the waste, certain
principal organic hazardous constituents
(POHCs) are selected for this demonstration.
These POHCs are selected for each facility based
on their high concentration in the wastestream
and their greater difficulty to burn. If the unit
achieves the required DRE for the POHCs, then it
is presumed that it will achieve the same (or
better) DRE for all other easier-to-burn organics in
the wastestream. At least one POHC will be
selected from each wastestream that the facility
manages. The facility designates the selected
POHCs in their permit application (the permitting
process for combustion units is fully discussed in
Section III, Chapter 8).
The combustion unit must demonstrate a DRE
of 99.99 percent for each POHC in the hazardous
wastestream. This means that for every 10,000
molecules of the POHC entering the unit, only
one molecule can be released to the atmosphere.
In addition, due to an increased threat to human
health and the environment posed by certain
dioxin-containing wastes (F020, F021, F022,
F023, F026, and F027), the required DRE for
POHCs in these units has been established at
99.9999 percent, or one released molecule for
every one million burned (see Figure III-27).
These DRE standards must be met by both
incinerators and BIFs.
Hydrogen Chloride and Chlorine Gas
Hydrogen chloride and chlorine gases form
when chlorinated organic compounds in
hazardous wastes are burned. If uncontrolled, this
chlorine can become a human health risk and is a
large component in the formation of acid rain.
EPA has developed different requirements to
control the emissions of chlorine from the
different classes of combustion units.
Figure III-27:
PERFORMANCE STANDARDS FOR ORGANICS
POHCs are chosen based on their high concentration in the
wastestream and their greater difficulty to burn. If the unit
demonstrates the required DRE for the POHCs, then it is
presumed that it will be able to achieve the same (or better)
DRE for all other easier-to-bum organics in the wastestream.
For every 10,000 molecules of POHCs that enter a combustion
process, the unit must destroy 9,999 of them.
III-117
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Managing Hazardous Waste RCRA Subtitle C
Chapter 7: Hazardous Waste Combustion
Incinerators currently must control the
emissions of hydrogen chloride, but are not
required by the regulations to control chlorine gas.
An incinerator burning hazardous waste cannot
emit more than 1.8 kg of hydrogen chloride per
hour or more than one percent of the total
hydrogen chloride that is found in the stack gas
prior to entering any pollution-control equipment,
whichever is larger.
Hazardous waste BIFs must follow a tiered
system for the regulation of both hydrogen
chloride and chlorine gas. The owner and
operator determines the allowable feed or
emission rate of total chlorine by selecting one of
three approaches, called tiers. Each tier differs in
the amount of monitoring, and in some cases, air
dispersion modeling (i.e., modeling the air
pathways through which pollutants may travel),
that the owner and operator is required to
conduct (see Figure III-28).
Each facility can select any of the three tiers.
Factors that a facility may consider in selecting a
tier include the physical characteristics of the
facility and surrounding terrain, the anticipated
waste compositions and feed rates, and the level
of resources available for conducting the analysis.
The main distinction between the tiers is the point
of compliance. This is the point at which the
owner and operator must ensure that chlorine
concentrations will be below EPA's acceptable
exposure levels. The owner and operator must
determine if the cost of conducting monitoring
and modeling is worth the benefit of possibly
combusting waste with a higher concentration of
chlorine (see Figure III-29).
Participate Matter
The third combustion unit performance
standard is for particulate matter. Particulate
matter consists of small dust-like particles emitted
from combustion units. The particles themselves
are not normally toxic, but may become caught in
the lungs (causing respiratory damage) if inhaled,
Figure III-28:
PERFORMANCE STANDARDS FOR HYDROGEN
CHLORIDE, CHLORINE GAS, AND METALS
Tier II monitoring involves
limiting stack emissions of
hydrogen chloride,
chlorine gas, and metals.
Tier III monitoring
involves limiting the
risks that hydrogen
chloride, chlorine gas,
and metals will pose to
the surrounding
environment.
Tier I monitoring
involves limiting
the hourly waste
feed rate of
hydrogen chloride
chlorine gas, and
metals.
or may enter into the environment where they can
cause either ecological damage or, via food chain
intake, can reenter the human health exposure
pathway. In addition, particulate matter may
provide a point of attachment for toxic metals and
organic compounds. To minimize these adverse
conditions, EPA developed an emission limit of
180 milligrams per dry standard cubic meter
(dscm) for all classes of combustion units.
Incinerators and BIFs are subject to this same
numerical standard.
Metals
The final performance standard is for toxic
metals. For BIFs, metals, both carcinogenic and
noncarcinogenic, are regulated under the same
type of tiered system as chlorine. The facility
determines an appropriate tier for each regulated
metal and assures that the facility meets these feed
rate and emission standards. A different tier may
be selected for each metal pollutant (see Figure III-
28). The regulations do not require hazardous
waste incinerators to meet the metal performance
standards.
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SECTION III
Chapter 7: Hazardous Waste Combustion
Figure 111-29:
THE TIERED SYSTEM OF
MODELING AND MONITORING
Tier II requires increased
monitoring to ensure that
pollutants have been
eliminated through either
partitioning to bottom ash or
products, or collected by the
air pollution control device.
Tier III requires the most
monitoring by using air
dispersion modeling to ensure
that pollutant exposure does
not pose a threat to human
health and the environment.
I High
UL
LU
UL
"8
CD
i
LOW
Low/\
Level of Monitoring and Modeling
High
Tier I, which requires the lowest level of monitoring
through adjusting waste feed rates, assumes that 100
percent of the pollutants will escape into the environment.
Owners and operators can choose any Tier for their hydrogen
chloride, chlorine gas, and metals monitoring; however, the
level of monitoring and modeling increase with each tier.
Additional Performance Standards
EPA may require owners and operators of
hazardous waste combustion units to comply with
additional performance standards by virtue of the
omnibus authority. This authority allows EPA to
incorporate additional terms and conditions into a
facility's permit as necessary to protect human
health and the environment. For example,
owners and operators may be required to limit
metal emissions from their incinerators. (The
omnibus authority is fully discussed in Section III,
Chapter 8.)
EPA frequently requires that site-specific risk
assessments, incorporating direct and indirect
exposures, be conducted during the combustion
unit's permitting process. These risk assessments
ensure that the unit's impact on the surrounding
environment is minimized to the extent possible.
Operating Requirements
The second type of combustion unit standards
are the operating requirements. The goal of
setting operating requirements for hazardous
waste combustion units is to ensure that the unit
will operate in a way that meets the performance
standards for organics, chlorine, particulate matter,
and metal pollutants. The unit's permit will
specify the operating conditions that have been
shown to meet the performance standards for
organics, chlorine gas, particulate matter, and
metals (permit requirements for combustion units
are fully discussed in Section III, Chapter 8).
A RCRA permit for a hazardous waste
combustion unit sets operating requirements that
specify allowable ranges for, and requires
continuous monitoring of, certain critical
parameters that will ensure compliance with the
performance standards. Operation within these
parameters ensures that combustion is performed
in the most protective manner and the
performance standards are achieved (see Figure
III-30). These parameters, or operating
requirements, may include:
Maximum allowable carbon monoxide levels
in stack emissions
Allowable ranges for temperature
Maximum waste feed rates
Combustion gas velocity
Limits on variations of system design and
operating procedures.
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Managing Hazardous Waste RCRA Subtitle C
Chapter 7: Hazardous Waste Combustion
Figure 111-30: OPERATING REQUIREMENTS
TEMPERATURE
CARBON
MONOXIDE
EMISSIONS
GAS
VELOCITY
WASTE FEED RATE
Combustion facilities must operate in accordance with certain conditions that specify allowable
ranges and limits for waste feed rates, temperature, gas velocity, and carbon monoxide emissions.
ADDITIONAL REQUIREMENTS
Because hazardous waste combustion units
are a type of TSDF, they are subject to the general
TSDF standards (as discussed in Section III,
Chapter 5) in addition to combustion unit
performance standards and operating
requirements. Combustion units are also subject
to specific waste analysis, inspection and
monitoring, and residue management
requirements.
While combusting hazardous waste, the
combustion process and equipment must be
monitored and inspected to avoid potential
accidents or incomplete combustion. The
monitoring and inspection requirements for
incinerators are detailed in the regulations, while
the requirements for BIFs are determined on a
site-specific basis. Possible inspection and
monitoring requirements include:
Monitoring the combustion temperature, and
hazardous waste feed rate
Sampling and analyzing the waste and exhaust
emissions to verify that the operating
requirements established in the permit
achieve the performance standards
Conducting visual inspections of the
combustion unit and its associated equipment
Testing the emergency waste feed cut-off
system and associated alarms
Placing monitoring and inspection data in the
operating log.
Residues from the combustion of hazardous
waste are also potentially subject to RCRA
regulation. If a combustion unit burns a listed
hazardous waste, the ash is also considered a
listed waste via the derived-from rule. The owner
and operator must also determine whether this
ash exhibits any hazardous waste characteristics.
The same is true if a unit burns waste that only
exhibits a characteristic. Ash that exhibits a
characteristic must be managed as a hazardous
waste.
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Chapter 7: Hazardous Waste Combustion
FUTURE INTEGRATED REGULATIONS
On April 19, 1996, EPA published a proposed
rule under the joint authority of RCRA and CAA to
upgrade the emission standards for hazardous
waste combustors. These emission standards were
developed based on the maximum achievable
control technology process commonly employed
by CAA. This process develops technology-based,
concentration limits for individual constituents.
This rule proposes to eliminate the current
inconsistencies between the BIF and incinerator
regulations by subjecting all hazardous waste
combustors to one set of emissions standards.
Specifically, this rule will affect incinerators,
cement kilns, and lightweight aggregate kilns. EPA
plans to address boilers and other industrial
furnaces in a future rulemaking.
Consistent with EPAs trend of gradually
increasing the stringency of standards over time,
the rule proposes more stringent emissions
standards for dioxins, furans, mercury, cadmium,
lead, particulate matter, hydrogen chloride,
chlorine gas, hydrocarbons, carbon monoxide,
and several low-volatile metals. This rule also
makes several significant changes to the existing
combustion regulations.
SUMMARY
Combustion, the controlled burning of
hazardous substances in an enclosed area, has the
potential to adversely affect human health and the
environment, and it is therefore subject to strict
regulation. As a result, the burning of hazardous
waste in incinerators and BIFs is regulated by two
methods, performance standards and operating
requirements.
The performance standards are intended to
regulate four pollutant categories:
Organ ics
Hydrogen chloride and chlorine gas
Particulate matter
Metals.
These performance standards may include a
demonstration of the unit's ORE for certain
POHCs, and emission standards for hydrogen
chloride, chlorine gas, metals, and particulate
matter.
The operating requirements are intended to
ensure that the combustion unit will operate in a
way that meets the performance standards for
these pollutants. Operating conditions may
include:
Maximum allowable carbon monoxide levels
in stack emissions
Allowable ranges for temperature
Maximum waste feed rates
Combustion gas velocity
Limits on variations of system design and
operating procedures.
In addition to operating and performance
requirements, combustion units are subject to
specific waste analysis, inspection and monitoring,
and residue management requirements.
EPA has developed these requirements in
order to efficiently control the emission of
hazardous pollutants without being overly
burdensome on the regulated community. The
combustion unit regulations are in the process of
being updated based on CAA's MACT process,
and therefore, may change significantly in the
future.
Ill-121
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Managing Hazardous Waste RCRA Subtitle C
SECTION III
Chapter 8: Permitting of Treatment, Storage, and Disposal Facilities
CHAPTER 8
PERMITTING OF TREATMENT, STORAGE
AND DISPOSAL FACILITIES
In this chapter...
risks, Congress felt that TSDF management
activities needed to be closely regulated to prevent
Overview 111-123 spills, accidents, and mechanical failures. In
Applicability 111-124 addition, because these activities involve different
Permitting Process 111-125 units and different waste management methods,
- Informal Meeting Prior to Application 111-125 they require tailored standards. For example, land
- Permit Submission 111-126 disposal units need precautions, such as liners and
- Permit Review 111-126 ground water monitoring, to ensure protection of
- Preparation of the Draft Permit 111-127 ground water resources. Similarly, incinerators
- Taking Public Comment 111-128 need special provisions, such as emission control
- Finalizing the Permit 111-128 requirements, to ensure protection of air
Permit Administration 111-128 resources. In response to these concerns, EPA
- Omnibus Provision 111-129 promulgated extensive technical standards for the
- Permit-as-a-Shield 111-130 design and safe operation of hazardous waste
Interim Status 111-130 TSDFs (these regulations are fully discussed in
- Qualifying for Interim Status 111-131 Section III, Chapter 5). However, these design and
- Changes During Interim Status 111-131 operating standards were not enough. Congress
- Termination of Interim Status 111-131 wanted a more tangib|e guarantee that TSDFs
Special Forms of Hazardous Waste Permits.... 111-132 WQu|d comp|y wjth thejr extensive management
- Permits-by-Rule 111-132 standards in a way that would adequately protect
- Emergency Permits 111-132 humap hea|th apd ^ envjronment
- Research, Development, and Demonstration
Permits 111-132 TSDFs are unique in that their owners and
- Land Treatment Demonstration Permits 111-133 operators choose to enter the hazardous waste
- Combustion Permits 111-133 industry. Unlike generators who produce
- Post-Closure Permits 111-134 hazardous waste incidental to their normal
ummary - business operations, TSDF owners and operators
make it their business to manage hazardous waste.
^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^ Because these facilities choose to enter the
OVERVIEW hazardous waste industry, and engage in waste
management processes that pose varied and
When RCRA was enacted, Congress extensive risks to human heal* and the u
recognized the risks posed by the treatment, environment, Congress wanted to ensure that
storage, and disposal of large volumes of thes^ facillties would comP'y Wlth the TSDF
hazardous waste at TSDFs. Considering these standards.
Ill-123
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SECTION III
Managing Hazardous Waste RCRA Subtitle C
Chapter 8: Permitting of Treatment, Storage,, and Disposal Facilities
As a result, TSDFs are required to obtain
permission, in the form of an operating permit,
which establishes the administrative and technical
conditions under which waste at the facility must
be managed. Specifically, permits provide TSDF
owners and operators with the legal authority to
treat, store, or dispose of hazardous waste and
detail how the facility must comply with the
regulations. Compliance with this permit ensures
that hazardous waste is handled in a controlled
manner that is protective of human health and the
environment. Permits also serve as an
implementation mechanism, and as a means by
which EPA can track waste management at
facilities that choose to handle hazardous waste.
Permits can be issued by EPA, authorized
states, or both. The permitting agency has the
authority to issue or deny permits and is
responsible for verifying that facilities are
operating in compliance with the conditions set
forth in that permit. Owners and operators of
facilities that do not comply with permit provisions
are subject to possible RCRA enforcement actions,
including financial penalties.
WHAT ARE PERMITS?
TSDFs are required to obtain permission, in the form
of an operating permit, that establishes the
administrative and technical conditions under which
waste at the facility must be managed. Permits
provide TSDF owners and operators with the legal
authority to treat, store, or dispose of hazardous
waste and detail how the facility must comply with
the regulations. Compliance with this permit ensures
that hazardous waste is handled in a controlled
manner that is protective of human health and the
environment. Permits also serve as an
implementation mechanism, and as a means by
which EPA can track waste management at facilities
that choose to handle hazardous waste.
APPLICABILITY
All TSDF owners and operators must submit a
comprehensive permit application that covers the
full range of TSDF standards, including general
facility provisions, unit-specific requirements,
closure and financial assurance standards, and any
applicable ground water monitoring and air
emissions provisions. The permit application must
demonstrate that the permittee's methods of
handling the waste are consistent with the level of
protection of human health and the environment
required by RCRA.
Some facilities are not required to obtain a
RCRA permit when handling hazardous waste
provided that they meet certain conditions
specified in the regulations. EPA has determined
that the requirements of the permit process would
place an unnecessary regulatory burden on these
facilities because the manner in which they
manage the waste does not pose a significant
threat to human health and the environment.
These exceptions include:
LQGs accumulating waste on site for less than
90 days (as discussed in Section III, Chapter 3)
SQGs accumulating waste on site for less than
180 days (as discussed in Section III, Chapter
3)
Farmers disposing of waste pesticides and
container residues on their own land
Owners and operators of ENUs, TETUs, and
WWTUs (as discussed in Section III, Chapter 5)
Transporters storing manifested wastes at
transfer facilities for a period of 10 days or less
(as discussed in Section III, Chapter 4)
Owners and operators performing containment
activities during an immediate response to an
emergency
III-124
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Managing Hazardous Waste RCRA Subtitle C
SECTION III
Chapter 8: Permitting of Treatment, Storage, and Disposal Facilities
Universal waste handlers and transporters (as
discussed in Section III, Chapter 2)
Persons adding absorbent material to
hazardous waste in a container and persons
adding waste to absorbent material in a
container.
If any of these facilities treat, store, or dispose
of hazardous waste in a manner not covered by
one of these exclusions, they are subject to the
RCRA permit requirements for that activity. For
example, if a LQG exceeds the 90-day
accumulation time limit, the facility becomes a
storage facility and the owner and operator must
obtain RCRA operating permit.
Recycling units are also exempt from
permitting requirements because the recycling
process itself is exempt from RCRA (except for
some air emission standards). However, recycling
facility owners and operators must follow all
applicable Subtitle C requirements (including the
requirement to obtain a permit) for any waste
management prior to recycling.
PERMITTING PROCESS
Owners and operators who are subject to the
permitting requirements must submit a permit
application in accordance with specific permit
application procedures (see Figure 111-31). While
the operator has the duty to obtain the permit,
both the owner and operator must sign it. These
procedures have been established to account for
facility-specific conditions by providing flexibility
and ample opportunity for public involvement.
Informal Meeting Prior to Application
Prior to submitting a permit application, an
applicant must announce and hold an informal
meeting with the public. The purpose of this
meeting is for the applicant to explain the
Figure 111-31: THE PERMITTING PROCESS
Applicant holds informal
meeting with the public
prior to permit application
Applicant submits
Part A and Part B
permit applications
Permitting agency announces receipt of permit
application, makes application available for public
review and comment, and reviews application to
verify completeness
If application is incomplete,
permitting agency issues as
many notices of deficiency as
necessary until application is
complete
If application is complete,
permitting agency notifies
permittee of application's
completeness
Permitting agency evaluates
whether permit satisfies technical
requirements and makes
preliminary decision to issue or
deny the permit
If decision to deny permit,
permitting agency issues
notice of intent to deny
If decision to issue permit,
permitting agency prepares
draft permit
Permitting agency announces
decision and issues fact sheet
explaining decision
Public has 45 days to
comment on the decision
FINAL PERMIT DECISION
III-125
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SECTION III
Managing Hazardous Waste RCRA Subtitle C
Chapter 8: Permitting of Treatment, Storage,, and Disposal Facilities
associated with the waste management activities
that will occur at the facility, and therefore often
consists of volumes of documents.
Owners and operators of new facilities must
submit Parts A and B simultaneously. This
submission must occur at least 180 days prior to
the date on which physical construction is
expected to begin. An owner and operator
cannot begin construction of the facility until the
application is reviewed and a final permit is
issued.
operating plans for the facility to the public,
including the waste the facility will handle and
associated waste management processes, and for
the public to pose questions and make
suggestions. This informal public meeting is also
intended to provide the owner and operator with
issues and concerns to consider when drafting the
permit. The permitting agency also uses this
meeting to compile a mailing list for future public
outreach.
Permit Submission
After the public meeting, the applicant can
submit the permit application to the permitting
agency. The permit application is divided into two
parts, Part A and Part B. The Part A application is
submitted on a designated form, EPA Form 8700-
23, and requires basic information about the
facility, such as the name of the facility owner and
operator, the facility location, the hazardous waste
management processes, the design capacity of
these processes, and the hazardous waste that will
actually be handled at the facility. The Part B
application is submitted in narrative form and
provides site-specific information associated with
the waste management activities that will be
conducted at the facility, and includes geologic,
hydrologic, and engineering data (see Figure III-
32). The Part B application covers the details
Permit Review
The permitting agency announces its receipt of
the permit application and makes the application
available for public review and comment.
Simultaneously, the agency reviews the application
to verify its completeness. If the permitting
agency determines that the application is
incomplete, it issues a notice of deficiency to the
permittee describing the additional information
Figure III-32:
EXAMPLES OF PART A AND PART B
INFORMATION REQUIREMENTS
Part A
Activities conducted that require a permit
Facility name, mailing address, and location
Facility standard industrial classification (SIC) codes
Treatment, storage, and disposal processes
Design capacity of waste management units
List of wastes to be managed at facility
Permits received or applied for under other regulatory
programs
Topographic map.
PartB
General facility description
Analyses of wastes to be managed
Facility security procedures
Inspection schedule
Contingency plan
Procedures and precautions to prevent release of waste
into environment
Procedures and precautions to prevent accidental
ignition or reaction of waste
Facility location information.
Ill-126
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Managing Hazardous Waste RCRA Subtitle C
SECTION III
Chapter 8: Permitting of Treatment, Storage, and Disposal Facilities
that is necessary for a complete application. Such
notices can be issued numerous times during the
permit review and revision process. Each time the
agency receives information, it reviews the
content, and if necessary, issues another notice
until the application is complete.
When the application contains all of the
necessary information, the permitting agency
notifies the permittee of the application's
completeness and will begin an evaluation to
determine whether it satisfies the appropriate
technical requirements. After the evaluation, the
permitting agency makes a preliminary decision
on whether to issue or deny the permit. If the
permitting agency determines that the application
is complete and satisfies all applicable
requirements, the agency prepares a draft permit.
If the permitting agency determines that the
application does not demonstrate compliance
with the RCRA standards, it will tentatively deny
the permit and issue a notice of intent to deny.
Preparation of the Draft Permit
In preparing the draft permit, the
implementing agency incorporates all applicable
technical requirements and all other conditions
associated with the operations to be conducted at
the facility into the permit. In addition, general
and administrative conditions are placed in all
draft permits and require the permittee, among
other things, to:
Comply with all provisions of the permit
Provide any relevant information that is
requested by the permitting agency
Comply with all reporting requirements
Allow the facility to be inspected
Take all reasonable steps to protect human
health and the environment.
In addition, the draft permit includes a
statement of the permitting agency's right to
modify, revoke and reissue, or terminate the
permit as necessary.
The draft permit also includes the term of the
permit. RCRA permits are effective for a fixed
term of a maximum of 10 years. Limiting permit
duration assures that facilities are periodically
reviewed and that their requirements are updated
to reflect the current state-of-the-art hazardous
waste management practices. Considering the
increased risks posed by the management of
hazardous waste on the land, land disposal unit
permits are to be reviewed five years after the
date of issuance or reissuance and modified as
necessary.
If a facility needs to conduct corrective action,
but cannot complete the cleanup before the
permit is issued, the permitting agency may
include a schedule of compliance in the permit.
This schedule establishes interim and final dates
for the completion of specific cleanup goals, as
well as reporting requirements.
Ill-127
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SECTION III
Managing Hazardous Waste RCRA Subtitle C
Chapter 8: Permitting of Treatment, Storage,, and Disposal Facilities
Taking Public Comment
Once the draft permit is complete, or the
notice of intent to deny has been issued, the
permitting agency announces its decision by
sending a letter to everyone on the facility mailing
list, placing a notice in a local paper, and
broadcasting the decision over the radio. The
permitting agency also issues a fact sheet to
explain the decision. After the announcement,
the public has 45 days or more to comment on
the decision. Citizens may request a public
hearing to address concerns by contacting the
permitting agency. The permitting agency may
also hold a hearing at its own discretion, if
deemed necessary. There is at least a 30-day
public notice period before the hearing is
convened.
If information submitted during the initial
comment period appears to raise substantial new
questions concerning the permit, the permitting
agency may reopen or extend the comment
period. In this situation, the permitting agency
may also decide to revise the draft permit or issue
a notice of intent to deny.
Finalizing the Permit
After the comment period closes, the
implementing agency prepares a response to all
significant public comments and makes the final
permit decision by either issuing or denying the
permit. The owner and operator may appeal the
decision to EPAs Environmental Appeals Board.
When this administrative appeal is exhausted, the
petitioner may seek judicial review of the final
permit decision.
PERMIT ADMINISTRATION
EPA views permits as living documents that
can be modified to allow facilities to implement
technological improvements, comply with new
environmental standards, respond to changing
waste streams, and generally improve waste
management practices. The permitting agency
cannot anticipate all of the administrative,
technical, or operational changes required over
the permit term for the facility to maintain a state-
of-the-art operation, and therefore, permit
modifications are inevitable. The regulations
governing permit modifications were developed to
provide owners and operators and EPA with
flexibility to change permit conditions, expand
public notification and participation opportunities,
and allow for expedited approval if no public
concerns exist regarding a proposed change.
Permit modifications can be requested by either
the permittee or the permitting agency.
The regulations for permittee-requested
modifications establish three classes of
modifications. Class 1 modifications cover routine
changes, such as correcting typographical errors or
replacing equipment with functionally equivalent
equipment. Class 2 modifications address
common or frequently occurring changes needed
to maintain a facility's level of safety or a facility's
requirement to conform to new regulations. Class
3 modifications cover major changes that
substantially alter the facility or its operations (see
Figure III-33). Procedures differ among the three
classes of permittee-requested modifications
based on the degree of change. Class 1
modifications have minor administrative
III-128
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Managing Hazardous Waste RCRA Subtitle C
SECTION III
Chapter 8: Permitting of Treatment, Storage, and Disposal Facilities
Figure 111-33: EXAMPLES OF PERMIT MODIFICATION CLASSIFICATIONS
Class 1
Adminstrative and informational
changes
Correction of typographical
errors
Changes in names, addresses,
and phone numbers of
emergency coordinators
Changes to waste sampling
and analysis methods to
comply with new regulations
Changes to analytical
quality assurance and quality
control plan to comply with new
regulations
Class 2
Changes in frequency
or content of inspection
schedules
Changes to corrective action
program
Extensions of post-closure
care period
Changes to facility training plan
that affect the type or amount
of employee training
Changes in number, location,
depth, or design of groundwater
monitoring wells
Class 3
Addition of corrective action
program
Creation of a new landfill as
part of closure
Addition of compliance
monitoring to ground water
monitoring program
Reduction in post-closure
care period
Addition of temporary
incinerator
for closure activities
Note: Permit modifications are classified thoroughly in 40 CFR §270.42, Appendix I
requirements and may or may not need prior
Agency approval. Class 2 and 3 modifications
have more substantial administrative requirements
and require prior Agency approval followed by a
process similar to the permitting process.
The permitting agency may request a permit
modification if there are substantial alterations or
additions to the facility, if new information is
received by the permitting agency that was not
available at the time of permit issuance, or if new
regulations or judicial decisions affect the
conditions of the permit. The permitting agency
will request that the facility initiate the
modification procedures for the type of change
being requested. The permitting agency may
terminate a permit if the facility fails to comply
with any condition of the permit or does not
disclose or misrepresents any relevant facts, or if
the permitted activity endangers human health
and the environment.
Omnibus Provision
Some hazardous waste management practices
may pose threats to human health and the
environment that are not specifically addressed by
the RCRA regulations. To address such instances,
HSWA increased the authority of EPA when
writing permits by creating the omnibus
provision. This authority allows EPA to add
conditions that are not specifically described in
Part 264 to an operating permit, where the permit
writer demonstrates that the additional standards
are necessary to protect human health and the
environment. For example, EPA could invoke the
omnibus authority to require a TSDF owner and
operator to conduct a site-specific risk assessment
of the impact on endangered species before
issuing an operating permit to the facility, even
though such risk assessments are not specifically
mandated by the RCRA regulations.
Ill-129
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SECTION III
Managing Hazardous Waste RCRA Subtitle C
Chapter 8: Permitting of Treatment, Storage,, and Disposal Facilities
Permit-as-a-Shield
In genera], compliance with a RCRA permit is
considered compliance with the RCRA regulations
for enforcement purposes. This gives permittees
the security of knowing that if they comply with
their permits, they will not be enforced against for
violating new requirements that were not
established in the original permit. This is referred
to as the permit-as-a-shield provision. EPA
believes that the most useful purpose of a permit
is to specifically prescribe the requirements that a
facility has to meet to allow that facility to plan
and operate with knowledge of what rules apply.
While permit-as-a-shield protects a facility
from having to comply with new regulatory
requirements that were not included in the
original operating permit, some regulatory
requirements are of such importance to the
protection of human health and the environment
that EPA feels that TSDFs should have to comply
with them immediately. As a result, the permit-as-
a-shield provision does not apply to some types of
new regulatory provisions. Examples are the LDR
standards, the liner and leak detection
requirements for certain land disposal units, and
the organic air emissions provisions.
INTERIM STATUS
Many TSDFs were already existing and
operating when they became subject to RCRA
regulatory requirements as a result of a statutory or
regulatory change. These owners and operators
were immediately subject to the RCRA
requirements, including the requirement to obtain
an operating permit. Many of these facilities were
not able to immediately meet the required TSDF
design and operating standards in order to obtain
an operating permit. Congress recognized that it
HOW DOES INTERIM STATUS OPERATE?
Beginning in 1980, XYZ Corporation began treating
and storing nonhazardous petroleum refinery
sludges at one of its facilities. On November 2,
1990, EPA promulgated F037 and F038 hazardous
waste listings for such sludges. As a result, the
sludges became subject to the hazardous waste
regulations and XYZ's facility became subject to
the RCRA TSDF standards. However, rather than
ceasing operations, the facility was allowed to
operate under the interim status provisions until it
received an operating permit. Under these
provisions, XYZ was required to submit a Part A
permit application six months after the date of
publication of the regulatory change that subjected
it to the RCRA standards (i.e., by May 2, 1991).
XYZ's Part B permit application must be submitted
when requested by the permitting agency. The
permitting agency will give the facility at least six
months from the date of request to submit the Part
B. If XYZ is managing these sludges in land
disposal units, the owner and operator must submit
their Part B within 12 months of becoming subject
to the regulations (i.e., by May 2, 1992) or they will
lose interim status.
would be virtually impossible for the Agency and
authorized states to issue permits to all existing
TSDFs before the RCRA Subtitle C program
became effective in November 1980. As a result,
Congress established provisions to give these
facilities "interim status." Interim status allows a
facility to operate without a permit as long as it
complies with certain general facility and unit-
specific TSDF standards until the implementing
agency can make a final permit determination
(interim status TSDF standards are fully discussed
in Section III, Chapter 5). These interim status
requirements are self-implementing until the
facility submits its Part B permit application and
receives its final permit.
Ill-130
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Managing Hazardous Waste RCRA Subtitle C
SECTION III
Qualifying for Interim Status
In order to qualify for interim status, the
facility must have:
Existed (operating or in construction) on the
effective date of the rule that brought the
facility into the RCRA program
Submitted a Part A permit application
Notified EPA of hazardous waste activity.
Changes During Interim Status
Changes can be made to a facility operating
under interim status provided that the owner and
operator submits a revised Part A permit
application that includes justification for the
proposed change before any changes are made.
The following changes are permissible:
Management of hazardous wastes not
previously identified in Part A of the permit
application
Increases in the design capacity of processes
used at the facility
Changes to, or additions of, hazardous waste
processes
Changes in the ownership or operational
control of the facility
Changes made in accordance with an interim
status corrective action order under §3008(h)
(corrective action is fully discussed in Section
III, Chapter 9)
Addition of newly regulated hazardous waste
units.
Chapter 8: Permitting of Treatment, Storage, and Disposal Facilities
Changes to an interim status facility may not
be made if they amount to "reconstruction" of the
facility. Any change that requires a capital
expenditure exceeding 50 percent of the cost of
construction of a comparable new facility is
considered reconstruction. This reconstruction
prohibition prevents interim status facilities from
constructing entirely new facilities while operating
under self-implementing standards, in order to
avoid the scrutiny of the permitting process that
would otherwise apply to new facilities. The
reconstruction prohibition does not apply if the
changes are necessary to comply with the LDR
regulations, the hazardous waste tank regulations
or a corrective action order, among other things.
Termination of Interim Status
Interim status is terminated either when the
permitting agency makes a final determination on
the Part B permit application (to either issue or
deny a permit), or when the facility fails to furnish
a Part B application on time.
An owner and operator of an interim status
facility may submit the Part B voluntarily or in
response to a request from the state or EPA.
However, an owner and operator of a facility
already in existence must submit the Part B in
accordance with HSWA-mandated deadlines for
specific types of units. If a permittee fails to
submit the Part B before the expiration of the
specified statutory time period, the facility loses
interim status immediately. These deadlines were
imposed because Congress wanted to ensure that
hazardous waste management units that posed
increased threats to human health and the
environment would not operate in interim status
indefinitely.
III-131
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SECTION III
Managing Hazardous Waste RCRA Subtitle C
Chapter 8: Permitting of Treatment, Storage,, and Disposal Facilities
SPECIAL FORMS OF HAZARDOUS
WASTE PERMITS
Some unique hazardous waste management
operations and practices require special permit
provisions. These provisions provide the
permitting agency flexibility in developing permit
conditions and procedures for permit
administration. These special forms of permits
include:
Permits-by-rule
Emergency permits
RD&D permits
Land treatment demonstration permits
Combustion permits
Post-closure permits.
Permits-by-Rule
EPA issues permits under different
environmental statutes. In some instances, the
RCRA regulations may overlap with the
requirements of another statute. In order to avoid
unnecessary duplicative regulation, RCRA allows
these facilities' non-RCRA permit to serve in place
of a RCRA permit, provided that such facilities are
in compliance with that permit and other basic
RCRA administrative requirements. Permits-by-
rule are available for:
Ocean disposal vessels and barges regulated
under MPRSA
UIC wells regulated
under SDWA
POTWs regulated under
CWA.
Emergency Permits
In emergency situations, EPA can forego the
normal permitting process for hazardous waste
management activities. Specifically, when EPA or
an authorized state finds there is an imminent and
substantial endangermentto human health and
the environment, it can issue a temporary
emergency permit to allow treatment, storage, or
disposal of hazardous waste by a nonpermitted
facility or by a permitted facility that has not been
permitted to engage in such activity. The duration
of an emergency permit cannot exceed 90 days.
Research, Development, and
Demonstration Permits
Owners and operators who propose to use
innovative hazardous waste treatment
technologies can receive a RD&D permit,
provided that permit standards for such an activity
have not already been established by EPA. The
RD&D permit requirements specify that a facility
can only receive those wastes necessary to
determine the efficiency of the treatment
technology. RD&D permits provide for the
construction and operation of the facility for up to
one year, but may be renewed up to three times
with each renewal not exceeding one year. In
order to expedite the issuance of RD&D permits,
EPA may modify or waive the usual permit
application and issuance requirements, with the
exception of financial responsibility and public
participation. When issuing RD&D permits, EPA
must maintain consistency with its mandate to
protect human health and the environment.
Ill-132
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Managing Hazardous Waste RCRA Subtitle C
SECTION III
Chapter 8: Permitting of Treatment, Storage, and Disposal Facilities
Land Treatment Demonstration Permits
Before a land treatment facility can obtain a
final permit, the owner and operator must
demonstrate that hazardous constituents in a
waste can be completely degraded, transformed,
or immobilized in the treatment zone. Land
treatment demonstration permits allow an owner
and operator to perform these required treatment
demonstrations in order to obtain a final TSDF
operating permit. Such demonstration permits are
issued for treatment or disposal, and may include
field tests or laboratory analysis conditions, unit
design criteria, construction standards, operation
provisions, and maintenance requirements (land
treatment unit standards are fully discussed in
Section III, Chapter 5).
Combustion Permits
Combustion permits specify the conditions
under which a combustion facility must operate.
A facility's permit specifies the operating
conditions, such as waste feed rate, unit
temperature, gas velocity, and carbon monoxide
emissions, which guarantee that a combustion unit
will meet its respective performance standards
(i.e., pollutant-specific air emissions limitations).
The permit also specifies combustion unit waste
analysis, inspection and monitoring, and residue
management requirements. (Standards for
combustion units are fully discussed in Section III,
Chapter 7.) Additionally, the permit sets
conditions for all other hazardous waste storage,
treatment, and disposal units at the facility.
Owners and operators must obtain a RCRA
operating permit before beginning construction of
a combustion unit. However, it is impossible to
prescribe which specific operating conditions will
limit air emissions without a constructed unit that
the owner and operator can actually test to
determine if adequate protection of human health
and the environment is being achieved. As a
result, the permit process for combustion units is
comprised of four phases intended to test the
unit's operation prior to the issuance of the final
permit to ensure that the unit can operate in
accordance with its operating conditions (see
Figure 111-34). These phases include:
Shake-down period, during which the
combustion unit is brought to the level of
normal operating conditions in preparation for
the trial burn
Trial burn, during which burns are conducted
so that performance can be tested over a
range of conditions
Post-trial burn, during which the data from the
trial burn is evaluated and the facility may
operate under conditions specified by the
permitting agency
Final operating period, which continues
throughout the life of the permit.
The permitting agency
specifies operating conditions
for all phases based on a
technical evaluation of the
combustion unit's design, the
information contained in the
permit application and trial
burn plan, and results of
burns from other combustion
units. The operating
conditions are established
such that the combustion unit
will theoretically meet
performance standards at all
times. The results from the
trial burn are used to verify
the adequacy of the proposed
operating conditions.
Figure 111-34:
COMBUSTION
UNIT PERMITTING
Final Permiti
Decision
Construction of I
Combustion Unit I
Shake-Down
Period
Post-Trial Burn I
BIBililililililii
Final Operating
Period
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Managing Hazardous Waste RCRA Subtitle C
Chapter 8: Permitting of Treatment, Storage,, and Disposal Facilities
Interim Status Combustion Units
Owners and operators of interim status
combustion units must demonstrate that their
units meet all applicable performance standards
by submitting performance data developed during
actual burns. Performance data is used by the
permitting agency to determine whether the
combustion unit meets RCRA performance
standards when burning a particular waste under a
specific set of operating conditions.
Post-Closure Permits
Owners and operators of hazardous waste
disposal units, and owners and operators of
hazardous waste management units that cannot
clean close and must close as landfills, must
conduct post-closure care, including ground water
monitoring and maintenance of an impermeable
cap (post-closure is fully discussed in Section III,
Chapter 5). The standards for permitted facilities
incorporate post-closure care requirements into
the facility's operating permit to ensure that post-
closure care is performed in a protective manner.
However, because interim status facilities do not
yet have operating permits, the RCRA regulations
require that interim status facilities needing post-
closure care obtain a post-closure permit to
ensure that such closure is performed in a
protective manner, as well. In securing a post-
closure permit, interim status facilities must meet
all applicable requirements for permitted facilities,
including the ground water monitoring standards.
SUMMARY
The RCRA regulations require hazardous
waste TSDFs to obtain an operating permit that
establishes the administrative and technical
conditions under which hazardous waste at the
facility must be managed. Such permits cover the
full range of TSDF standards, including general
facility provisions, unit-specific requirements,
closure and financial assurance standards, and any
applicable ground water monitoring and air
emissions provisions.
In order to obtain a permit, a TSDF owner and
operator must comply with specific application
procedures. The permitting process consists of the
following stages:
Informal meeting prior to application
Permit submission
Permit review
Preparation of the draft permit
Taking public comment
Finalizing the permit.
After issuance, permits may need to be
modified to allow facilities to implement
technological improvements, comply with new
environmental standards, respond to changing
waste streams, and generally improve waste
management practices. These modifications can
be initiated by either the facility or the permitting
agency.
Facilities that were existing and operating on
the effective date of a regulation that required
them to obtain an operating permit are considered
interim status facilities. They are allowed to
continue operating as long as they comply with
certain general facility and unit-specific TSDF
standards until the implementing agency makes a
final permit determination.
Some unique waste management operations
and practices require special permit provisions.
These special forms of permits include:
Permits-by-rule
Emergency permits
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Managing Hazardous Waste RCRA Subtitle C
SECTION III
Chapter 8: Permitting of Treatment, Storage, and Disposal Facilities
RD&D permits
Land treatment demonstration permits
Combustion permits
Post-closure permits.
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Managing Hazardous Waste RCRA Subtitle C
SECTION III
Chapter 9: Corrective Action to Clean Up Hazardous Waste Contamination
CHAPTER 9
CORRECTIVE ACTION TO CLEAN UP
HAZARDOUS WASTE CONTAMINATION
In this chapter...
Overview 111-137
Corrective Action Authorities 111-138
Corrective Action Components 111-139
- RCRA Facility Assessment 111-139
- Phase I RCRA Facility Investigation 111-140
- RCRA Facility Investigation 111-140
- Interim Measures 111-141
- Corrective Measures Study 111-141
- Corrective Measures Implementation 111-141
SubpartS Initiative 111-142
Contaminated Media 111-142
Remediation Waste Management 111-143
Summary 111-143
OVERVIEW
Past and present activities at RCRA facilities
have sometimes resulted in releases of hazardous
waste and hazardous constituents into soil, ground
water, surface water, and air. The Statute
generally mandates that EPA require the
investigation and cleanup, or remediation, of
these hazardous releases at RCRA facilities. This
program is known as corrective action. In 1996,
EPA estimated that approximately 5,000 RCRA
facilities are potentially subject to RCRA corrective
action, over three times the number of sites on the
Superfund National Priorities List(NPL) (as
discussed in Section VI, Chapter 2). The degree of
investigation and subsequent corrective action
necessary to protect human health and the
environment varies significantly among these
facilities.
EPA enforces the corrective action program
primarily through the statutory authorities
established by HSWA. Prior to HSWA, EPAs
statutory authority to require cleanup of
hazardous releases was limited to situations where
the contamination presented an "imminent and
substantial endangermentto health or the
environment." Regulatory authority was limited to
releases identified during ground water monitoring
at RCRA-regulated land-based hazardous waste
units, such as landfills or surface impoundments.
Through HSWA, Congress substantially expanded
EPAs corrective action authority, allowing the
Agency to address any
releases of hazardous
waste or hazardous
constituents to all
environmental
media at both
RCRA
permitted and
nonpermitted
facilities.
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Managing Hazardous Waste RCRA Subtitle C
Chapter 9: Corrective Action to Clean Up Hazardous Waste Contamination
CORRECTIVE ACTION AUTHORITIES
One of the keys to understanding the RCRA
corrective action program is knowing how a
facility becomes subject to corrective action (see
Figure 111-35). Facilities generally are brought into
the RCRA corrective action process when there is
an identified release of hazardous waste or
hazardous constituents, or when EPA is
considering a facility's RCRA permit application.
When a facility is seeking a permit, or when a
permit is already in place, EPA can incorporate
corrective action into the permit requirements.
Permitted facilities are required under 40 CFR Part
264, Subpart F, to monitor ground water to detect
and correct any releases from regulated land-
based hazardous waste land disposal units (as
discussed in Section III, Chapter 5). HSWA further
expanded EPAs permit authority for corrective
action to address all environmental media, as well
as releases from areas other than regulated land
disposal units, such as tanks or containers. Permits
issued to RCRA facilities must, at a minimum,
contain schedules of compliance to address these
releases and include provisions for financial
assurance to cover the cost of implementing those
cleanup measures. The HSWA statutory
provisions for addressing corrective action in
permits are as follows:
Releases from solid waste management units
(SWMUs) - Under the authority of §3004(u) of
the Act, EPA requires corrective action for
releases of hazardous waste or hazardous
constituents from SWMUs in a facility's
permit. A SWMU is any discernible unit
where solid or hazardous wastes have been
placed at any time, or any area where solid
wastes have been routinely and systematically
released.
Releases beyond the facility boundary -
§3004(v) of the Act authorizes EPA to impose
corrective action requirements for releases
that have migrated beyond the facility
boundary. This corrective action provision can
be complementary to §3004(u), but it is not
expressly limited to releases from SWMUs.
Omnibus permitting authority - This provision,
found in §3005(c)(3) of the Act, allows EPA or
an authorized state to include any
requirements deemed necessary in a permit,
including the requirement to perform
corrective action. This authority is particularly
useful at permitted facilities when there is a
release not associated with any particular
SWMU. (Omnibus permitting authority is fully
discussed in Section III, Chapter 5.)
EPA also possesses additional authorities to
order corrective action that are not contingent
upon a facility's permit. The statutory provisions
to issue corrective action orders are:
Releases at interim status facilities - §3008(h)
of the Act authorizes EPA to require corrective
action or other necessary measures through an
administrative enforcement order or lawsuit,
whenever there is or has been a release of
hazardous waste or constituents from an
interim status RCRA facility (i.e., a facility that
has not yet received a RCRA permit).
Figure 111-35:
CORRECTIVE ACTION AUTHORITIES
PROVISION
Permit
Order/Lawsuit
Order/Lawsuit
Voluntary
Decision
PARTY
Permitted
TSDF
Interim Status
TSDF
Any Handler
Any Handler
AUTHORITY
§3004(u)
§3004(v)
§3005(c)(3)
§3008(h)
§7003
NA
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Chapter 9: Corrective Action to Clean Up Hazardous Waste Contamination
Imminent and substantial endangerment -
This authority, found in §7003 of the Act,
allows EPA, upon evidence of past or present
handling of solid or hazardous waste, to
require any action necessary when a situation
may present an imminent and substantial
endangerment to health or the environment
(i.e., poses significant threat or harm). This
authority applies to all facilities, whether or
not they have a RCRA permit. EPA can waive
other RCRA requirements (e.g., a permit) to
expedite the cleanup process under this
provision.
Corrective action need not always involve
permit requirements or an enforcement order.
Owners and operators of RCRA-regulated facilities
may also volunteer to perform corrective action.
Some activities which may be necessary to
achieve corrective action goals at a facility,
however, may require formal approval by EPA or
the state. EPA, therefore, encourages owners and
operators to work closely with EPA and state
agencies to obtain sufficient oversight during
voluntary cleanup activities.
CORRECTIVE ACTION
COMPONENTS
The corrective action process is structured
around elements common to most cleanups under
other EPA programs: an initial site assessment,
followed by a more extensive characterization of
the contamination, and the evaluation and
implementation of cleanup alternatives, both
immediate and long-term. The specific
components of the RCRA corrective action
program are not dictated by the regulations, but
are instead found in various EPA guidance and
policy documents. Since the steps necessary to
achieve cleanup at a facility will depend on site-
specific conditions, the corrective action process is
highly flexible. Therefore, the following six
components of corrective action should be viewed
as considerations necessary to make good cleanup
decisions, and not goals in and of themselves.
These components may occur in any order, and
not every component is necessary to determine
that no further action is required (i.e., that the
corrective action process has been completed).
RCRA Facility Assessment
The first component in most cleanup programs
is an initial site assessment, known in the RCRA
corrective action process as a RCRA facility
assessment (RFA). During an RFA, owners and
operators, with oversight by their implementing
agencies, typically compile existing information on
environmental conditions at a given facility,
including information on areas of concern (i.e.,
areas that, based on past facility waste
management activities, might warrant further
investigation for releases), actual or potential
releases, and release pathways (e.g., air, soil, or
ground water through which contamination might
possibly travel). This information is compiled and
reviewed to eliminate areas of a facility (even
entire facilities) from further consideration where
there is no evidence of a release or likelihood of a
release that could pose a threat to human health
or the environment. This review may be followed
by a visual site inspection to verify the initial
information. A sampling visit is sometimes
performed to obtain appropriate samples for
making release determinations.
Implementing
assessments, such
limited oversight
resources. Since
it could be very
expensive to
oversee all
corrective action
sites at once, EPA
sets priorities to
ensure that it is
agencies often use initial site
as the RFA, to set priorities for
RCRA FACILITY
ASSESSMENTS
RFAs compile existing
information on environmental
conditions at a given facility,
including information on actual
or potential releases.
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Managing Hazardous Waste RCRA Subtitle C
Chapter 9: Corrective Action to Clean Up Hazardous Waste Contamination
using its resources in the most effective manner.
In the corrective action program, EPA sets
priorities using a resource management tool called
the National Corrective Action Prioritization
System (NCAPS). NCAPS considers the setting of
a facility, actual and potential releases of
hazardous constituents from the facility, and the
toxicity of constituents of concern, to group
facilities into high, medium, or low priority groups.
In 1996, EPA estimated that 40 percent of all
ranked facilities were high priority, 30 percent
were medium priority, and 30 percent were low
priority. Such groupings do not mean that high
priority facilities will be cleaned up, while those
lower in priority will be ignored or neglected.
Rather, NCAPS is used to provide direction as to
which facilities should be completely cleaned up
first.
Phase I RCRA Facility Investigation
RCRA Facility Investigation
If a release is identified during the RFA or the
Phase I RFI, the agency overseeing the corrective
action may instruct the owner and operator of the
facility to conduct
a full-scale site
characterization to
ascertain the
nature and extent
of contamination at
the site. The site
characterization, or
RCRA FACILITY
INVESTIGATIONS
RFIs ascertain the nature
and extent of contamination
of releases identified during
the RFA or Phase I RFI.
PHASE I RCRA FACILITY
INVESTIGATIONS
Phase I RFIs confirm or reduce
uncertainty about areas of
concern or potential releases
identified during the RFA.
Phase I RCRA facility
investigations (Phase I RFIs),
sometimes referred to as
release assessments, are used to
confirm or reduce uncertainty
about areas of concern or
potential releases identified
during the RFA. It is often
useful to conduct a limited release assessment
after the RFA, but before full-scale
characterization, to focus subsequent
investigations or eliminate certain units or areas
from further consideration. In addition, release
assessments can help determine whether interim
measures are needed to contain or minimize the
extent of releases while the corrective action
process is taking place. Release assessments are
particularly helpful in cases where the RFA is
dated or where the overseeing agency and the
facility owner and operator disagree about
inclusion of one or more units, areas, or releases
in the site characterization.
RCRA facility investigation (RFI), should be
tailored to the specific conditions and
circumstances at the facility and should focus on
the units, releases, and pathways of concern. RFIs
can range widely from a small specific activity
(such as investigation of soil contamination
resulting from storage of waste in a specific unit) to
a complex multimedia study that might include a
widespread investigation of releases to
air, soil, and ground water.
To expedite the corrective action
process, EPA encourages facility
owners and operators to use existing
information whenever possible to
avoid duplication of effort. For
example, an owner and operator may
have records of soil borings collected during
construction of a facility. By using existing
information, owners and operators can focus their
investigation on collecting new data necessary to
select and implement cleanup alternatives.
To facilitate investigations, EPA uses the
concept of action levels in some cases. Action
levels are risk-based concentrations of hazardous
constituents in ground water, soil, or sediment.
The presence of hazardous constituents above
these action levels suggests that there has been a
release requiring additional study or corrective
measures. Under this approach, contamination at
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Managing Hazardous Waste RCRA Subtitle C
SECTION III
Chapter 9: Corrective Action to Clean Up Hazardous Waste Contamination
a site found below appropriate action levels would
not generally be subject to cleanup or further
study.
Interim Measures
Interim
measures are
short-term actions
used to control
ongoing risks to
human health or
the environment
while site
characterization is
INTERIM MEASURES
Interim measures are
short-term actions to
control ongoing risks while
site characterization is
underway or before a final
remedy is selected.
underway or before a final remedy is selected.
Interim measures can include a wide range of
activities such as removing the source of the
contamination, fencing off the contaminated area,
or providing alternative drinking water sources.
EPA has increasingly emphasized the importance
of implementing interim measures as early as
possible in the corrective action process.
Corrective Measures Study
CORRECTIVE
MEASURES STUDY
CMS identifies and
evaluates different
alternatives to
remediate the site.
If the potential need
for cleanup is identified
during the RFI process,
the owner and operator
is then responsible for
performing a corrective
measures study (CMS).
During the CMS, the
owner and operator will identify and evaluate
different alternatives to remediate the site. A CMS
need not address all potential remedies; it should
focus instead on realistic remedies tailored to the
nature and extent of the contamination. EPA or
the state agency expects facility owners and
operators to develop and recommend a preferred
remedy or remedy performance standards,
including proposed media cleanup levels and
compliance time frames. Although this
recommendation is the responsibility of the owner
and operator, EPA or the state agency can reject
any alternative and require further analysis or
prescribe a different remedy.
Upon completion of the CMS, EPA or the state
agency generally summarizes the proposed
remedial action plan and the findings supporting
the selected remedy in a document called the
statement of basis. This document is designed to
facilitate public participation in the remedy
selection process. The statement of basis
describes the rationale for the remedy selection
and contains an explanation for the selected
cleanup levels. The scope and content for the
statements of basis vary widely, depending on the
complexity of the site, the nature of the proposed
remedy, the level of public interest, and other
relevant factors. In any case, the statement of
basis should be sufficiently detailed for the public
to understand and comment on EPA's or the state
agency's remedy selection decision.
Corrective Measures Implementation
Once EPA or the state agency has addressed
public comments, a facility can transition into the
next phase of the
remedial process:
corrective measures
implementation (CMI).
CMI includes detailed
design, construction,
operation, maintenance,
and monitoring of the
chosen remedy, all of
which are performed by
the facility owner and operator with EPA or state
oversight.
CORRECTIVE
MEASURES
IMPLEMENTATION
CMI includes detailed
design, construction,
operation, maintenance,
and monitoring of the
chosen remedy.
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SECTION III
Managing Hazardous Waste RCRA Subtitle C
Chapter 9: Corrective Action to Clean Up Hazardous Waste Contamination
CORRECTIVE ACTION: A CASE STUDY
XYZ Industrial Company is a hazardous waste
storage facility with a RCRA permit. During a
routine EPA inspection, the Agency discovered
contamination in XYZ Industrial's tank storage area.
Soils under the area were contaminated by wastes
spilled during pumping, and by leaking tanks. The
soil exhibited high levels of trichloroethylene, a
volatile organic compound that migrates easily
through the soil into the ground water and is
believed to cause cancer. In addition, the company
discovered that a municipal drinking water well
located within a mile of the facility was also
contaminated with trichloroethylene. None of this
contamination was detected in the initial permitting
process.
EPA then conducted an RFA to compile
information on the types of hazardous wastes
managed at the facility in the past, areas where
such wastes were managed, and possible exposure
pathways.
The owner and operator of XYZ Industrial then
conducted an RFI, with EPA oversight, to estimate
the health and environmental problems that could
result if the contamination was not cleaned up, and
to determine the extent of the contamination. In
order to protect human health and the environment
while these assessments and investigations were
taking place, the owner and operator established an
alternative drinking water source for the households
served by the municipal well as an interim measure.
A CMS determined that the company should
clean up the ground water via a pump and treat
process, excavate the soil and treat it thermally, and
dispose of the treated soil in a landfill on site.
In a statement of basis, EPA proposed the
above technologies as the recommended remedial
alternative. The statement of basis included all
documentation in support of the recommended
remedy, as well as the contaminant cleanup levels
that had to be achieved during the remedial action.
The public had an opportunity to comment on both
the statement of basis and a draft permit
modification that included the additional activities
that XYZ Industrial would undertake as part of the
remedy process. Following the public comment
period, the facility owner and operator began the
CMI phase of the cleanup by administering the
selected remedy.
SUBPART S INITIATIVE
Presently, EPA implements the RCRA
corrective action program primarily through
statutory authorities and EPA guidance and policy
developed pursuant to those authorities. Only a
very small part of the corrective action program
has been codified as regulations. In 1990, EPA
proposed to incorporate a substantial part of the
corrective action program in 40 CFR Part 264,
Subpart S. The primary objective of Subpart S is
to set forth a clear and comprehensive set of
regulations and procedures that will provide a
more consistent approach to investigating and
making cleanup decisions. EPA has been working
with states and the regulated community to
develop practical, streamlined regulations to
achieve cleanup goals while enhancing public
participation and cost reduction. The Subpart S
regulations will also serve to encourage states to
assume a larger role and to seek authorization for
the corrective action program.
CONTAMINATED MEDIA
Cleaning up RCRA facilities under the
corrective action program may involve the
management of large amounts of contaminated
media, particularly soil and ground water. Under
the contained-in policy (as discussed in Section III,
Chapter 1), media that contain listed hazardous
wastes or exhibit a hazardous waste characteristic
generally are subject to the same management
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Managing Hazardous Waste RCRA Subtitle C
SECTION III
Chapter 9: Corrective Action to Clean Up Hazardous Waste Contamination
standards as newly generated hazardous waste,
including TSDF standards and LDR requirements.
These strict management standards sometimes do
not correspond to the level of risk posed by
environmental media, which is often
contaminated with relatively small amounts of
hazardous waste. EPA has proposed HWIR-media
(as discussed in Section III, Chapter I) to finalize
provisions to facilitate the management of such
remediation wastes.
REMEDIATION WASTE
MANAGEMENT
While HWIR-media proposes to facilitate the
management of remediation wastes, the corrective
action program already contains two provisions
designed to address the unique nature of
remediation wastes and facilitate the selection and
implementation of effective cleanup remedies.
The first provision establishes standards for
corrective action management units. A CAMU
is a physical, geographical area designated by EPA
or states for managing remediation wastes during
corrective action. These management provisions
allow remediation waste to be managed in a unit
without having to comply with LDR treatment
standards, or the minimum technical requirements
for land-based treatment, storage, or disposal
units.
The second provision establishes standards for
temporary units (TUs). TUs are containers or
tanks that are designed to manage remediation
wastes during corrective action at permitted or
interim status facilities. These provisions allow
EPA or states to modify the design, operating, and
closure standards that normally apply to these
units in order to facilitate prompt cleanup of
contaminated sites.
SUMMARY
Through a process called corrective action,
EPA requires RCRA-regulated facilities to
investigate and clean up releases of hazardous
waste or constituents to the environment.
Corrective action is included as a
requirement in a facility's permit through
§3004(u), §3004(v), or §3005(c)(3) statutory
authorities. Corrective action can also be
mandated through an enforcement order through
§3008(h) or §7003 statutory authorities. Facilities
may also voluntarily choose to clean up their
contamination.
The corrective action process is flexible and
focused on results, rather than specific steps. The
six main components of the corrective action
process generally are:
The RFA, to compile existing information on
environmental conditions at a given facility,
including information on actual or potential
releases
The Phase I RFI (also known as a release
assessment), to confirm or reduce uncertainty
about areas of concern or potential releases
identified during the RFA
The RFI, to ascertain the nature and extent of
contamination of releases identified during the
RFA or Phase I RFI
Interim measures to control ongoing risks
while site characterization is underway or
before a final remedy is selected
The CMS, to identify and evaluate different
alternatives to remediate the site
The CMI, which includes detailed design,
construction, operation, maintenance, and
monitoring of the chosen remedy.
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SECTION III
Managing Hazardous Waste RCRA Subtitle C
Chapter 9: Corrective Action to Clean Up Hazardous Waste Contamination
Two EPA initiatives are aimed at facilitating
corrective action. The Subpart S initiative
proposes to establish the regulatory authorities
and guidance for corrective action as a regulatory
program, in order to provide national consistency.
HWIR-media proposes to finalize provisions to
facilitate the management of such remediation
wastes.
The corrective action program already
contains two provisions designed to address
remediation wastes: standards for CAMUs and
TUs.
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Managing Hazardous Waste RCRA Subtitle C
SECTION III
Chapter 70: Enforcement of Hazardous Waste Regulations
CHAPT
10
ENFORCEMENT OF HAZARDOUS
WASTE REGULATIONS
In this chapter...
Overview
Compliance Monitoring
- Inspections and Information Gathering
- Conducting the Inspection
Enforcement Actions
- Administrative Actions
- Civil Actions
- Criminal Actions
Civil Penalty Policy
Enforcement at Federal Facilities
Compliance Assistance and Incentives
- Small Business Compliance Incentives and
Assistance
- Self-Audit Policy
Agency Functions
Summary
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-149
-151
-152
-153
-153
-153
-154
-154
-154
Feds Fined for Pollution
Challenges Sovereign Immunity
Federal Employees Accused of
Dumping Poisonous Chemicals
Lab Indicted for
Water Violations
OVERVIEW
The effective implementation of the RCRA
program depends on whether the people and
companies regulated under RCRA comply with its
various requirements. The goals of the RCRA
enforcement program are to ensure that the
regulatory and statutory provisions of RCRA are
met, and to compel necessary action to correct
violations. EPA and the states achieve these goals
by closely monitoring hazardous waste handler
(e.g., generator, transporter, and TSDF) activities,
taking expeditious legal action when
noncompliance is detected, and providing
compliance incentives and assistance. Facility
inspections by federal and state officials are the
primary tool for monitoring compliance. When
noncompliance is detected, legal action, in the
form of an administrative order, a civil lawsuit, or a
criminal lawsuit, may follow, depending on the
nature and severity of the problem. EPA
has also issued several policies to provide
incentives for businesses to voluntarily
evaluate their own compliance and
disclose violations, and to assist small
businesses in complying with the
regulations. The combination of effective
monitoring, expeditious legal action, and
compliance incentives and assistance is
intended to reduce the number of
handlers operating in violation of RCRA
requirements and to deter potential
violations.
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SECTION III
Managing Hazardous Waste RCRA Subtitle C
Chapter 70: Enforcement of Hazardous Waste Regulations
This chapter describes the three essential
aspects of the enforcement program: compliance
monitoring, enforcement actions, and compliance
incentives and assistance. Almost all of the
enforcement provisions detailed in this chapter
are based on the Act, federal EPA policy, and
Agency regulations. It is important to note that
state requirements may be more stringent than
those mandated by the federal government, and
state enforcement authorities and procedures may
differ from those of EPA.
COMPLIANCE MONITORING
One aspect of the enforcement program is
monitoring facilities to verify that they comply
with RCRA regulatory requirements. Monitoring
serves several purposes, such as allowing EPA and
the states to assess the effectiveness of specific
legal actions that may have been taken already
against a handler, and enabling EPA to gather data
in support of a future rulemaking. In addition, the
overall compliance monitoring program allows
EPA to evaluate the effectiveness of state programs
and to monitor nationwide compliance with
RCRA. Finally, monitoring acts as a deterrent,
encouraging compliance with the regulations by
making acts of noncompliance susceptible to
enforcement actions.
Inspections and Information Gathering
The primary method of collecting compliance
monitoring data is through an inspection. Section
3007 of the Act provides the authority for
conducting inspections. This section allows a
representative of EPA or an authorized state to
enter any premises where hazardous waste is
handled to examine records and take samples of
the wastes. In instances when criminal activity is
suspected, EPA's National Enforcement
Investigations Center may become involved.
Similarly, DOT may participate where waste
transporters are involved. While all TSDFs must
be inspected at least once every two years, HSWA
requires that all federal- and state-operated
facilities be inspected annually. Facilities may also
be inspected at any time if EPA or the state has
reason to suspect that a violation has occurred.
Finally, facilities are chosen for an inspection when
specific information is needed to support the
development of RCRA regulations and to track
program progress and accomplishments.
Inspections may be conducted by EPA, an
authorized state, or both. Typically, either the
state or EPA has overall responsibility, or the lead,
for conducting the inspection. The inspection
may include a formal visit to the handler, a review
of records, taking of samples, and observation of
operations.
Conducting the Inspection
Several steps are generally followed in RCRA
inspections to ensure consistency and
thoroughness; these steps are summarized below.
The inspector prepares for the inspection by:
Coordinating inspection activities with other
regulatory or enforcement personnel as
necessary
Reviewing facility files
Preparing an inspection
plan
Developing a checklist
Packing appropriate safety
equipment.
The first stage of the actual inspection is the
facility entry. Upon entry, the inspector generally
holds an opening conference with the owner and
operator to discuss the nature of the inspection
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and to describe the information and samples to be
gathered. Following the opening conference, the
actual inspection takes place, which may involve:
Reviewing facility operations and waste
management practices
Reviewing records
Conducting a visual inspection
Identifying sampling requirements.
Finally, the inspector holds a closing conference
with the owner and operator to allow him or her to
respond to questions about the inspection and to
provide additional information. The inspector
usually summarizes the findings.
After the visit is completed, the inspector
prepares a comprehensive report that summarizes
the records reviewed, any sampling results, and the
handler's compliance status with respect to RCRA.
The most important result of any inspection is
the determination of whether the handler is in
compliance with the regulations. The inspector may
also determine compliance through examination of
the reports that handlers are required to submit, or
are part of normal waste handler operations. Reports
may contain information about the wastes being
handled, the method of handling, and the ultimate
disposal of wastes. Reports are submitted as required
in a permit or enforcement order (e.g., corrective
action schedules of compliance) and by regulation
(e.g., biennial report). If the handler is not complying
with all of the appropriate state or federal
requirements, enforcement action may be taken.
ENFORCEMENT ACTIONS
When compliance monitoring detects a
violation, enforcement actions bring handlers into
compliance with applicable Subtitle C regulations.
The goal of enforcement actions is to compel:
TYPES OF ENFORCEMENT INSPECTIONS
Compliance Evaluation Inspection Routine
inspections to evaluate compliance with RCRA.
These inspections usually encompass a file review
prior to the site visit; an on-site examination of
generation, treatment, storage or disposal areas; a
review of records; and an evaluation of the facility's
compliance with RCRA.
Case Development InspectionAn inspection
when significant RCRA violations are known,
suspected, or revealed. These inspections are
usually intended to gather data in support of a
specific enforcement action.
Comprehensive Ground Water Monitoring
EvaluationAn inspection to ensure that ground
water monitoring systems are designed and
functioning properly at RCRA land disposal facilities.
Compliance Sampling Inspection Inspections to
collect samples for laboratory analysis. This
sampling inspection may be conducted in
conjunction with any other inspection.
Operations and Maintenance Inspection
Inspections to ensure that ground water monitoring
and other systems at closed land disposal facilities
continue to function properly. These inspections are
usually conducted at facilities that have already
received a thorough evaluation of the ground water
monitoring system through a comprehensive ground
water monitoring inspection.
Laboratory Audit Inspections of laboratories
performing ground water monitoring analysis to
ensure that these laboratories are using proper
sample handling and analysis protocols.
Compliance with RCRA's waste handling
standards
Compliance with RCRA's recordkeeping and
reporting requirements
Monitoring and corrective action in response
to releases of hazardous waste, and hazardous
constituents.
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Chapter 70: Enforcement of Hazardous Waste Regulations
EPA (or an authorized state) has a broad range
of enforcement options including:
Administrative actions
Civil actions
Criminal actions.
A decision to pursue one of these options is
based on the nature and severity of the problem.
Administrative Actions
An administrative action is an enforcement
action taken by EPA or a state under its own
authority, without involving a court process.
Administrative enforcement actions can take
several forms, ranging from EPA or the state
authority issuing informal notices of
noncompliance, to orders that force facilities to
take a certain action. Administrative actions tend
to be resolved quickly and can often be quite
effective in forcing a handler to comply with
regulations or to remedy a potential threat to
human health or the environment. Two types of
administrative actions, informal actions and formal
actions, provide for enforcement response outside
the court system.
Informal Actions
An informal administrative action is any
communication from EPA or a state agency that
notifies the handler of a problem. It can take
many forms, such as a letter or a phone call. An
informal letter to the handler may be called a
notice of violation or a notice of noncompliance.
For this type of action, EPA or the state notifies a
handler that they are not in compliance with some
provision of the regulations. This type of action is
particularly appropriate when the violation is
minor, such as a record maintenance requirement.
If the owner and operator does not take steps to
comply within a certain time period, a warning
letter will be sent, setting out specific actions to be
taken to move the handler into compliance. The
warning letter also sets out the enforcement
actions that will follow if the handler fails to
remedy the violation.
Formal Actions
Alternatively, EPA or the state can take formal
action when a more severe violation is detected,
or the owner and operator does not respond to an
informal action. Formal actions often take the
form of an administrative order, which is issued
directly under the authority of RCRA and imposes
enforceable legal duties. Orders can be used to
force a facility to comply with specific regulations;
to take corrective action; to perform monitoring,
testing, and analysis; or to address a threat to
human health and the environment. An
administrative order can be issued as a consent
order, which documents an agreement between
the Agency and the violator. EPA can issue four
types of administrative orders under RCRA:
ADMINISTRATIVE ENFORCEMENT ACTIONS: A CASE STUDY
Following a routine inspection at a university, four
facilities within the campus were found to be in
violation of various RCRA requirements involving the
management of hazardous wastes and the
preparation of emergency procedures. EPA initiated
an administrative action against the university to
assess appropriate civil penalties. After negotiations
with the university, EPA agreed to sign a consent
order to set the cash penalty at $69,570 and allow
the university to perform three supplemental
environmental projects worth $279,205. One project
was to promote pollution prevention in the school's
laboratories; the second was a hazardous chemical
waste management training program to promote
environmental compliance; and the third was the
renovation of a building for use as a lead poison
resource center to promote public health within a
disadvantaged community.
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Compliance orders §3008(a) of RCRA
allows EPA to issue an order requiring any
person who is not complying with a
requirement of RCRA to take steps to come
into compliance. A compliance order may
require immediate compliance or may set out
a schedule for compliance. The order can
contain a penalty of up to $27,500 per day for
each day of noncompliance and can suspend
or revoke the facility's permit or interim status.
When EPA issues a compliance order, the
person to whom the order is issued can
request a hearing on any factual provisions of
the order. If no hearing is requested, the
order will become final 30 days after it is
issued.
Corrective action orders §3008(h) allows
EPA to issue an order requiring corrective
action at an interim status facility when there
is evidence of a release of a hazardous waste
or a hazardous constituent into the
environment. EPA can issue a §3008(h) order
to require corrective action activities including
investigations, repairing liners, or pumping to
treat ground water contamination. In addition
to requiring corrective action, these orders can
suspend interim status and impose penalties of
up to $27,500 for each day of noncompliance
with the order (as discussed in Section III,
Chapter 9).
§3013 orders If EPA finds that a substantial
hazard to human health and the environment
exists, the Agency can issue an administrative
order under §3013. A §3013 order is used to
evaluate the nature and extent of the problem
through monitoring, analysis, and testing.
These orders can be issued either to the
current owner and operator of the facility or to
a past owner and operator (if the facility is not
currently in operation or if the present owner
and operator can not be expected to have
actual knowledge of the potential release).
Violation of §3013 orders can result in
penalties of up to $5,500 per day.
§7003 orders In any situation where an
imminent and substantial endangermentto
health or the environment is caused by the
handling of solid or hazardous wastes, EPA can
order any person contributing to the problem
to take steps to clean it up. This order can be
used against any contributing party, including
past or present generators, transporters, or
owners or operators of the site. Violation of
§7003 orders can result in penalties of up to
$5,500 per day (as discussed in Section III,
Chapter 9).
In Fiscal Year 1996, EPA initiated 1,186 formal
administrative actions (see Figure III-36).
Civil Actions
In addition to formal and informal
administrative actions, some statutory authorities
allow EPA to initiate civil actions, also known as
judicial actions. A civil action is a formal lawsuit,
filed in court, against a person who has either
failed to comply with a statutory or regulatory
requirement or administrative order, or against a
person who has contributed to a release of
hazardous waste or hazardous constituents. Civil
actions are often employed in situations that
present repeated or significant violations or where
there are serious environmental concerns.
Attorneys from the U.S. Department of Justice
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Chapter 70: Enforcement of Hazardous Waste Regulations
CIVIL ENFORCEMENT ACTIONS: A CASE STUDY
EPA filed a complaint with a U.S. District Court
against a repeat violator, alleging noncompliance
with RCRA hazardous waste storage standards.
The violator, subject to a prior enforcement action,
had ignored a final administrative order issued by
EPA. That order required immediate compliance
with RCRA regulatory obligations and the payment
of $74,105 in civil penalties. Since the issuance of
the final order, the violator not only failed to pay any
of the assessed civil penalty, but continued to violate
the RCRA regulations. EPA sued the violator for
collection of the past due amount under the
administrative order, plus interest and costs, and a
further civil penalty for continuing and additional
violations. The federal judge in the case ordered the
violator to pay past administrative penalties, and to
pay an additional fine for violating the past order.
(DOJ) prosecute RCRA civil cases for EPA, while
the state attorneys general assume this role for the
states. In Fiscal Year 1996, EPA referred 1,280
cases for civil action (see Figure III-36).
Civil actions are useful in several situations.
When the person being sued has not complied
with a previously issued administrative order, the
courts may impose penalties to force the handler
to comply. When a long-term solution to a
problem is desired, a civil action may be helpful to
ensure proper supervision of the handler's actions.
Civil actions may be used when noncompliance
with an administrative order presents a danger to
public health or the environment. They also may
provide stronger deterrence to noncompliance
than an administrative order, because civil judicial
cases can be costly and lengthy.
RCRA provides EPA the authority for filing four
different types of civil actions:
Compliance action Under §3008(a), the
federal government can file suit to force a
person to comply with any applicable RCRA
regulations. In federal actions, the court can
impose a penalty of up to $27,500 per day
per violation for noncompliance.
Corrective action In a situation where there
has been a release of hazardous waste or
hazardous constituents from a facility, the
federal government can sue to require the
facility to correct the problem and take any
necessary response measures under §3008(h).
The court can also suspend or revoke a
facility's interim status as a part of its order (as
discussed in Section III, Chapter 9).
Monitoring and analysis If EPA has issued a
monitoring and analysis order under §3013 of
RCRA and the person to whom the order was
issued fails to comply, the federal government
can sue to require compliance with the order.
In this type of case, the court can assess a
penalty of up to $5,500 per day of
noncompliance with these orders.
Imminent and substantial endangerment As
with a §7003 administrative order, when any
person has contributed or is contributing to an
imminent and substantial endangerment to
human health and the environment, the
federal government can sue the person to
require action to remove the hazard or
remedy any problem. If the Agency first
issued an administrative order, the court can
also impose a penalty of up to $5,500 for each
day of noncompliance with those orders (as
discussed in Section III, Chapter 9).
Frequently, several of the civil action
authorities will be used together in the same
lawsuit. This is particularly likely to happen where
a handler has been issued an administrative order
for violating a regulatory requirement, has ignored
that order, and is in continued noncompliance. In
this circumstance, a lawsuit can be filed that seeks
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Chapter 70: Enforcement of Hazardous Waste Regulations
penalties for violating the regulations, penalties for
violating the order, and a judge's order requiring
future compliance with the regulations and the
administrative order.
Criminal Actions
In addition to administrative or civil actions,
EPA may also enforce against a facility through a
criminal action, depending on the nature and
severity of the violation. Criminal actions are
usually reserved for only the most serious
violations. A criminal action initiated by the
federal government or a state can result in the
imposition of fines or imprisonment. In Fiscal Year
1996, EPA initiated 262 criminal referrals (see
Figure III-36). Seven acts identified in §3008 of
RCRA are subject to criminal action and carry
criminal penalties. The penalties range from a fine
of up to $50,000 per day or a prison sentence of
up to five years, to a total fine up to $1 million and
up to 15 years in prison.
Six of the seven criminal acts carry a penalty of
up to $50,000 per day and up to five years in jail.
Stated briefly, these acts are knowingly:
Transporting waste to a nonpermitted facility
Treating, storing, or disposing of waste without
a permit or in violation of a material condition
of a permit or interim status standard
Omitting important information from, or
making a false statement in a label, manifest,
report, permit, or interim status standard
Generating, storing, treating, or disposing of
waste without complying with RCRA's
recordkeeping and reporting requirements
Transporting waste without a manifest
Exporting a waste without the consent of the
receiving country.
The seventh criminal act is the knowing
transportation, treatment, storage, disposal, or
export of any hazardous waste in such a way that
another person is placed in imminent danger of
death or serious bodily injury. This act carries a
possible penalty of up to $250,000 or 15 years in
prison for an individual, or a $1 million fine for a
corporation.
CRIMINAL ENFORCEMENT ACTIONS: A CASE STUDY
A warehouse worker employed by a chemical
manufacturer was instructed by the president of the
company to dispose of unwanted hazardous
chemicals. The worker loaded the hazardous waste in
his pickup truck and dumped it in a dumpster located
in a low-income community. The president of the
chemical company later paid the worker $400 for
disposing of the chemicals. Upon discovery of the
hazardous waste, the residents of three nearby
apartment buildings had to be evacuated. The
company president was sentenced by a U.S. District
Court to five years probation, 200 hours of community
service, and more than $5,000 restitution for the
unlawful disposal of hazardous waste. The warehouse
worker was sentenced to five years probation, six
months of home detention, and more than $5,000 in
restitution. As part of the plea agreement, the
company was forced to pay $43,984 in restitution.
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Chapter 70: Enforcement of Hazardous Waste Regulations
Figure 111-36:
FISCAL YEAR 1996
ENFORCEMENT ACTIVITIES
EPA Formal
Administrative Actions
(1,186 cases)
EPA Civil Actions
(1,280 cases)
EPA Criminal Referrals
(262 cases)
2.1%
State Enforcement Actions
(9,739 cases)
CIVIL PENALTY POLICY
EPA's Civil Penalty Policy is designed to provide
guidance and consistency in assessing noncriminal
penalty amounts for both administrative actions
and in settlements of civil judicial enforcement
actions. The policy serves many purposes,
including ensuring that:
Penalties are assessed in a fair and consistent
manner
Penalties are appropriate for the seriousness of
the violation
Economic incentives for noncompliance are
eliminated
Penalties are sufficient to deter persons from
committing RCRA violations
Compliance is expeditiously achieved and
maintained.
EPA's penalty policy utilizes a calculation
system to determine the amount of a penalty,
based on four components. These components
include: 1) the gravity (i.e., severity) of the
particular violation; 2) the duration of the
violation; 3) the economic benefit gained through
noncompliance; and 4) any site-specific
adjustments (see Figure III-37).
One type of site-specific adjustment that
provides EPA with flexibility in assessing penalties
is called a supplemental environmental project.
OECA issued its Interim Revised Supplemental
Environmental Projects Policy in 1995. These are
environmentally beneficial projects which a
defendant or respondent agrees to undertake in
the settlement of a civil or administrative
enforcement action, but which the defendant is
not otherwise legally required to perform. For
example, a violator may agree to restore and
protect a wetland or an endangered species
habitat. In appropriate circumstances, EPA may
Figure III-37:
CIVIL PENALTY CALCULATION
+ / - Adjustments = Penalty
adjust the final settlement penalty for a violator
who agrees to perform a project so that it is lower
compared to that of a violator who does not agree
to perform such a project.
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Chapter 70: Enforcement of Hazardous Waste Regulations
ENFORCEMENT AT FEDERAL
FACILITIES
In the past, federal facilities have been subject
to the RCRA regulations, but not to civil fines or
penalties. This limited waiver of sovereign
immunity made enforcement at federal facilities
less effective. In 1992, however, Congress passed
the Federal Facilities Compliance Act, which
expressly waived
sovereign immunity
against civil fines and
penalties and clarified
that EPA has the
* P P P P P P P P P P P P P P P P P P P » authority to issue
enforcement orders
against a federal department or agency in the
same manner and under the same circumstances
as an action taken against another person. No
EPA issued administrative order becomes final
until the federal department or agency has had
the opportunity to confer with the EPA
Administrator.
COMPLIANCE ASSISTANCE AND
INCENTIVES
Over the past few years, EPA has issued
numerous policies to provide compliance
assistance and incentives to the regulated
community. By helping businesses understand the
regulations, and by providing certain incentives for
compliance, EPA hopes to move closer to its goal
of ensuring compliance with all RCRA
requirements. Two policies in achieving this goal
are the Final Policy on Compliance Incentives for
Small Businesses and Incentives for Self-Policing:
Discovery, Disclosure, Correction and Prevention
of Violations (also known as the EPA Audit Policy).
Small Business Compliance Incentives
and Assistance
The Final Policy on Compliance Incentives for
Small Businesses is intended to promote
environmental compliance among small
businesses by providing incentives to participate in
compliance assistance programs, conduct audits,
and promptly correct violations. A small business
is defined as a person, corporation, partnership, or
other entity who employs 100 or fewer
individuals, across all
facilities and operations
owned by the entity.
The policy sets
guidelines for EPA and
the states on reducing
or waiving penalties for
small businesses that
make good faith efforts
to correct violations.
Under this policy,
EPA may eliminate or mitigate its settlement
penalties based on certain criteria. The small
business needs to make a good faith effort to
comply with applicable environmental
requirements by either detecting a violation during
on-site compliance assistance from a government
or government-supported program, or by
conducting an internal audit and promptly
disclosing in writing all violations discovered as
part of the audit. The violation should also be the
first for the small business; this policy does not
apply to businesses that have been subject to
warning letters or any other type of enforcement
action. The small business needs to also correct
the violation within the time period allowed,
which in most cases is 180 days. For the policy to
apply, the violation also can neither be one that
has caused actual serious harm to human health
or the environment, nor one that involves criminal
conduct.
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To assist businesses in complying with the
regulations, OECA, in conjunction with industry,
academic institutions, environmental groups, and
other agencies, has opened compliance assistance
centers. These centers provide assistance to small
businesses, in addition to providing industry-
specific information to state and local government
officials. The compliance centers serve members
of industries such as printing, metal finishing,
automotive services and repair, and agriculture.
Self-Audit Policy
EPA's policy regarding Incentives for Self-
Policing: Discovery, Disclosure, Correction and
Prevention of Violations encourages regulated
entities to voluntarily discover, disclose, and
correct violations of environmental requirements.
This policy is designed not only to encourage
greater compliance with the laws, but also to
achieve maximum compliance through active
efforts by the regulated community.
The Agency provides incentives, such as
eliminating or reducing the gravity component of
civil penalties by 75 percent, for companies that
conduct voluntary audits. EPA also may choose
not to recommend criminal prosecution of a
regulated entity based on voluntary disclosure of
violations that are discovered through audits and
disclosed to the government before an
investigation occurs.
The policy has certain limitations. As with the
small business policy, companies may not be able
to gain relief under this policy for repeated
violations, violations that present a serious or
imminent harm to human health or the
environment, or violations that involve criminal
activity. Also, the violation should be discovered
through an environmental audit or through a
documented, systematic procedure which reflects
the company's due diligence in preventing,
detecting, and correcting violations. To receive
the penalty mitigation, the regulated entity should
correct the violation within 60 days, unless written
notice is provided indicating a longer time frame,
and needs to certify in writing that the violations
have been corrected. Finally, the regulated entity
needs to take steps to prevent a recurrence of the
violation.
AGENCY FUNCTIONS
Responsibility for the various components that
make up the RCRA enforcement program is
divided among different EPA Headquarters offices,
the EPA Regions, and state agencies. EPA
Headquarters is responsible for setting nationwide
policy, monitoring regional and state activities,
and providing technical support. The EPA Regions
take primary federal responsibility for performing
inspections, issuing administrative orders,
preparing civil actions, monitoring compliance
with administrative and judicial orders, and
providing support to DOJ for ongoing lawsuits. As
with many other aspects of the RCRA program,
responsibility for enforcement is largely
decentralized. Authorized states take primary
responsibility for enforcement in close
cooperation with their respective EPA Region.
EPA, however, retains its authority to take
enforcement actions in authorized states if the
state fails to do so, does not obtain acceptable
results, or requests EPA assistance.
SUMMARY
There are three essential elements to RCRA's
enforcement program: compliance monitoring,
enforcement actions, and compliance assistance
and incentives.
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Compliance monitoring is used to determine a
handler's level of compliance with RCRA's
regulatory requirements. The primary method of
collecting compliance monitoring data is through
an inspection.
Either EPA or an authorized state may lead
inspections. Inspections must be conducted
annually at all federal- or state-operated facilities
and at least once every two years at each TSDF.
The six types of inspections conducted under the
RCRA program are:
Compliance evaluation inspection
Case development inspection
Comprehensive ground water monitoring
evaluation
Compliance sampling inspection
Operations and maintenance inspection
Laboratory audit.
Chapter 70: Enforcement of Hazardous Waste Regulations
The primary goal of enforcement actions is to
bring facilities into compliance and ensure future
compliance. The enforcement options available
under RCRA are:
Administrative actions, including informal and
formal actions
Civil actions
Criminal actions.
EPA uses the guidelines in the Civil Penalty
Policy for assessing penalty amounts and uses the
Interim Revised Supplemental Environmental
Projects Policy to allow for flexibility in assessing
penalties.
Enforcement of RCRA at federal facilities is
now similar to enforcement at TSDFs, as a result
of the Federal Facility Compliance Act of 1992.
To achieve greater compliance, EPA also offers
compliance assistance through numerous policies,
including Final Policy on Compliance Incentives for
Small Businesses and Incentives for Self-Policing:
Discovery, Disclosure, Correction and Prevention
of Violations.
The responsibility for the various enforcement
actions is divided among different EPA
Headquarters offices, EPA Regions, and authorized
state agencies.
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Managing Hazardous Waste RCRA Subtitle C
SECTION III
Chapter 77: Authorizing States to Implement RCRA
CHAPTER 11
AUTHORIZING STATES TO IMPLEMENT RCRA
In this chapter...
needs would allow them to administer the
hazardous waste program in the most effective
manner.
Overview 111-157
Developing a State Hazardous Waste In order for a state to assume the regulatory
Program 111-157 lead as the implementing agency, it must be
- Final Authorization 111-158 authorized by EPA to do so. RCRA requires
- Interim Authorization 111-160 authorization to ensure state programs are at least
Review of the Proposed State Program 111-161 equivalent to and consistent with the federal rules.
Revising Authorized State Programs 111-161 Through state authorization, EPA establishes
- Withdrawing State Program Authorization .... 111-162 minimum federal standards to prevent overlapping
- Transferring Program Responsibility Back to or duplicative state regulatory programs. A state
EPA 111-163 tnat nas recejvecj fjna] authorization, known as an
Grants and Oversight 111-163 authorized state, implements and enforces the
- State Grants 111-163 hazardous waste regulations in lieu of the federal
- Priority Setting 111-163 ernment.
- State Oversight 111-163 °
Information Management 111-163
- Resource Conservation and Recovery 7^c\/c^^oit^f^^T7T^^^^Dr^^^
Information System 111-164 DEVELOPING A STATE HAZARDOUS
- Biennial Reporting System 111-164 WASTE PROGRAM
- State Authorization Tracking System 111-164
Summary 111-164 Under RCRA, as enacted in 1976, states had
two options for assuming the responsibility to
administer the RCRA Subtitle C program: final or
TTnpnwIpTT^^^^^^^^^^^^^^^^^^^ interim authorization.
OVERVIEW
When RCRA was written, it was Congress'
intent for the states to assume primary
responsibility for implementing the hazardous
waste regulations, with oversight from the federal
government. Congress felt the states' familiarity
with the regulated community, and state and local
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SECTION III
Managing Hazardous Waste RCRA Subtitle C
Chapter 77: Authorizing States to Implement RCRA
Final Authorization
For a state to receive final authorization, it
must be fully equivalent to, no less stringent than,
and consistent with the federal program.
However, states may impose requirements that are
more stringent or broader in scope than the
federal requirements. Some examples of rules
that are more stringent are the decision by some
states to not recognize the CESQG exemption, or
to require annual (rather than biennial) reports.
An example of a rule that is broader in scope is
the regulation of antifreeze as a listed waste in
some states. In addition, the state's program must
provide adequate enforcement authority to carry
out its provisions, provide for public notice and
hearing in the permitting process, and provide for
public availability of information in "substantially
the same manner and to the same degree" as the
federal program.
As an initial step toward obtaining final
authorization, a state typically adopts the federal
rules in some manner. Adopting the federal
program means either incorporating federal rules
into the state's rules, or creating state rules that are
equivalent to federal rules. Many states simply
incorporate the federal rules by reference (this is
known as incorporation by reference). This is
when the regulatory language in a state's
regulations actually cites, or refers to, the federal
regulations. A state may also choose to create an
analogous set of state regulations through the state
legislative process. Even though a state may have
adopted the federal program and its hazardous
waste program is similar or identical to the federal
program, it still does not have primacy for
ADOPTING FEDERAL REGULATIONS
As an initial step toward obtaining final authorization,
a state typically adopts the federal rules in some
manner. Adopting the federal program means either
incorporating federal rules into the state's rules, or
creating state rules that are equivalent to federal
rules.
implementing and enforcing the hazardous waste
regulations in lieu of EPA. To assume this role, the
state must first be granted final authorization. As
of January 1998, all states, with the exception of
Alaska, Hawaii, and Iowa, are authorized to
implement the RCRA hazardous waste program.
Any state that seeks final authorization for its
hazardous waste program must submit an
application to the EPA Administrator containing
the following elements:
A letter from the governor requesting program
authorization
A complete description of the state hazardous
waste program
An attorney general's statement
A memorandum of agreement (MOA)
Copies of all applicable state statutes and
regulations, including those governing state
administrative
procedures
Documentation of
public participation
activities.
Governor's Letter
This is simply a letter, signed by the governor,
formally requesting the EPA Administrator to
authorize the state's hazardous waste program
which will be implemented in lieu of the federal
program.
Program Description
The program description describes how the
state intends to administer the hazardous waste
program in place of the federal program. It
includes the following:
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A narrative description of the scope, structure,
coverage, and processes of the state program
A description of the state agency or agencies
responsible for running the program, including
a description of state-level staff who will carry
out the program
A description of applicable state procedures,
including permitting procedures and any state
administrative or judicial review procedures
A description of the state's manifest tracking
system
Copies of any forms used to administer the
program under state law
A complete description of the state's
compliance tracking and enforcement
program.
In addition, the program description must
include estimates of:
Costs involved in running the program and an
itemization of the sources and amounts of
funding available to support the program's
operation
The number of generators, transporters, and
on-site and off-site disposal facilities (along
with a brief description of the types of facilities
and an indication of the permit status of these
facilities)
The annual quantities of hazardous waste
generated within the state, transported into
and out of the state, and stored, treated, or
disposed of within the state (if available).
Chapter 77: Authorizing States to Implement RCRA
If the state chooses to develop a program that
is more stringent or broader in scope (or both)
than the one required by federal law, the program
description should address those parts of the
program that go above and beyond what is
required under RCRA Subtitle C.
Attorney General's Statement
The attorney general's statement identifies the
legal authorities statutes, regulations, and
where appropriate, case law upon which the
state is relying to demonstrate equivalence with
the federal program. The statement must include
citations to specific statutes, administrative
regulations, and judicial decisions which
demonstrate adequate authority. When
differences from federal authorities exist in the
state's program, the statement provides an
explanation. The statement must be signed by the
attorney general or an independent legal counsel
authorized to represent the state agency in court.
State statutes and regulations cited in the attorney
general's statement must be lawfully adopted and
fully effective at the time the program is
authorized.
Memorandum of Agreement
Although a state with an authorized program
assumes primary responsibility for administering
Subtitle C hazardous waste regulations, EPA still
SAMPLE MEMORANDUM OF AGREEMENT
This memorandum of agreement (hereinafter
"Agreement") establishes policies, responsibilities,
and procedures pursuant to 40 CFR §271.8 for the
State of Hazardous Waste Program
(hereinafter "State Program") authorized under
Section 3006 of the Resource Conservation and
Recovery Act (hereinafter "RCRA" or "the Act") of
1976 (Public Law 94-580, 42 USC §6901 et seq.)
and the United States Environmental Protection
Agency (hereinafter EPA) Regional Office for Region
. This Agreement further sets forth the manner
in which the State and EPA will coordinate in the
State's administration of the State program.
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Chapter 77: Authorizing States to Implement RCRA
retains enforcement authority and oversight
responsibilities. In these instances, since the
authorized state and EPA both possess regulatory
authority to administer the regulations, there is a
potential for problems or conflicts, such as dual
permitting or dual enforcement of the regulations.
The memorandum of agreement between the
state Director and the EPA Regional Administrator
outlines the nature of these responsibilities and
oversight powers, and defines the level of
coordination between the state and the EPA in
implementing the program. While each MOA will
contain provisions unique to each individual
state's program, several provisions are common to
all MOAs. These include provisions for:
Establishing state procedures for assigning EPA
identification numbers
Specifying the frequency and content of
reports that the state must submit to EPA
Coordinating compliance monitoring and
enforcement activities between the state and
EPA
Allowing EPA to conduct compliance
inspections of the regulated community in the
authorized state
Joint processing of permits for those facilities
that require a permit from both the state and
EPA
Specifying the types of permit applications that
will be sent to the EPA Regional Administrator
for review and comment
Transferring permitting responsibilities upon
authorization.
Stole Statutes and Regulations
The state must submit copies of its statutes
and regulations that are expected to act in lieu of
the federal RCRA regulations. Where states adopt
the federal regulations by reference, a document
may be included outlining where in the state rules
the federal rules are incorporated.
Documentation of Public Participation
A state must demonstrate that the public was
allowed to participate in the state's decision to
seek final authorization. Prior to submitting the
application to the Administrator, a state must have
given public notice of its intent to apply for
authorization. Public notice must take the form of
publishing the announcement in major
newspapers, sending information to individuals on
the state agency mailing list, and allowing for a 30-
day comment period. Proof of public
participation may include copies of comments
submitted by the public during the comment
period, and transcripts, recordings, or summaries
of any public hearings concerning state
authorization.
Interim Authorization
Some states are not able to receive final
authorization immediately because their programs
do not meet the minimum federal requirements.
As a result, these states can obtain interim
authorization. Interim authorization is a
temporary mechanism that is intended to promote
continued state participation in hazardous waste
management while encouraging states to develop
programs that are fully equivalent to the federal
program and that will qualify for final
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Chapter 77: Authorizing States to Implement RCRA
INTERIM AUTHORIZATION
Interim authorization is a temporary mechanism that
is intended to promote continued state participation
in hazardous waste management while encouraging
states to develop programs that are fully equivalent
to the federal program and that will qualify for final
authorization. A state may receive interim
authorization if its hazardous waste program is
substantially equivalent to the federal program.
authorization. A state may receive interim
authorization if its hazardous waste program is
substantially equivalent to the federal program.
Interim authorization is intended to allow a state
with its own hazardous waste program in place to
continue implementing its current program until
final authorization can be achieved. Under RCRA,
interim authorization expired on January 31,
1986. HSWA introduced a new interim
authorization period for any requirement
promulgated pursuant to HSWA authority. HSWA
interim authorization expires January 1, 2003.
REVIEW OF THE PROPOSED STATE
PROGRAM
Once the state has submitted a complete
application to EPA, the EPA Regional Administrator
determines whether or not the state's program
should be authorized.
The EPA Regional Administrator makes this
determination according to the following steps:
Tentative determination The EPA Regional
Administrator must tentatively approve or
disapprove the state's application. The
tentative determination is published in the
Federal Register.
Public comment The public is given an
opportunity to comment on the state's
application and the EPA Regional
Administrator's tentative determination. If
sufficient interest is expressed, a public
hearing will be held after the notice of the
tentative determination is published in the
Federal Register.
Final determination After the notice of the
tentative determination is published in the
Federal Register, the EPA Regional
Administrator must decide whether or not to
authorize the state's program, taking into
account all comments submitted. This final
determination is then published in the Federal
Register.
REVISING AUTHORIZED STATE
PROGRAMS
Once a state has gained final authorization, it
must continually amend and revise its program to
maintain its authorized status. As RCRA continues
to evolve through new federal rulemakings, an
authorized state is required to revise its program
to reflect the changes in the federal program. An
authorized state may also have to revise its
program in order to incorporate any state statutory
or regulatory changes that affect the state's
hazardous waste program.
All program revisions may be initiated by
either EPA or the authorized state. To revise its
authorized program, a state must submit a
modified program description, attorney general's
statement, MOA, or any other documents
deemed necessary by EPA. The EPA Administrator
reviews the state's proposed modifications
applying the same standards used to review the
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Chapter 77: Authorizing States to Implement RCRA
state's initial program application. The state's
program revisions are effective once approved by
EPA. Notice of all state program revisions are then
published in the Federal Register.
A state with final authorization must modify its
program on a yearly basis to reflect changes to the
federal program resulting from the promulgation
of new rules. New federal rules are grouped into
annual clusters, and a state revises its program by
adopting and becoming authorized for the entire
cluster. A cluster begins on July 1 of each year
and ends on June 30 of the following year. By July
1 of each year, an authorized state must adopt the
cluster, which includes all changes to the federal
program, that occurred during the 12 months
preceding the previous July 1 (e.g., states must
modify their programs by July 1, 1997 to reflect all
changes made between July 1, 1995 and June 30,
1996). The deadlines for program modifications
may also be extended for one year if state
statutory amendments are necessary.
Withdrawing State Program
Authorization
Authorized state programs are continually
subject to review. If the EPA Administrator
determines that a state's authorized program no
longer complies with the appropriate regulatory
requirements and the state fails to amend its
program accordingly, authorization may be
withdrawn. An authorized state's program may be
considered out of compliance for many reasons.
One reason could be failure to promulgate or
enact required regulations, leaving the state
without the legal authority to implement or
enforce its program. Also, the state legislature
could limit or strike down the state's authority to
enforce its program. A state could also be out of
compliance by failing to issue required permits, or
by continually issuing bad permits. If an
authorized state fails to enforce its authorized
program properly, does not act on violations, fails
to assess proper penalties or fines, or fails to
inspect and monitor properly, it may also be
considered out of compliance. Finally, if the state
fails to comply with the requirements of the MOA,
the EPA Administrator may determine the state is
out of compliance and may begin program
withdrawal procedures. If program authorization
is withdrawn, responsibility for administering and
enforcing RCRA Subtitle C reverts back to EPA.
Although EPA can withdraw hazardous waste
program authorization for a state that fails to
enforce its authorized program properly or take
timely and appropriate action, the Agency can
take other action without officially withdrawing
authorization. In such instances, EPA may take
independent enforcement action by overfiling, or
enforcing a provision for which a particular state
has authorization. EPA may also overfile if the
state requests EPA to do so and provides
justification based on unique, case-specific
circumstances, or if a case could establish a legal
precedent. In order to overfile, EPA must notify
the state 30 days prior to issuing a compliance
order or starting a civil action within that state.
WHAT IS OVERFILING?
Overfiling is when EPA enforces a provision for which
a particular state has authorization in instances when
the state fails to enforce its authorized program
properly or take timely and appropriate action. EPA
may also overfile if the state requests EPA to do so
and provides justification based on unique, case-
specific circumstances, or if a case could establish a
legal precedent. For example, an SQG in an
authorized state generates hazardous waste, but
does not store such waste in proper accumulation
tanks and containers. If the state failed to
adequately enforce against the facility for violation of
the generator provisions, federal EPA could overfile
by issuing an enforcement order forcing the facility to
comply with the regulations.
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Chapter 77: Authorizing States to Implement RCRA
Transferring Program Responsibility Back
to EPA
A state with an authorized program may
voluntarily transfer the program back to EPA. To
do this, the state must give the EPA Administrator
180 days notice and submit a plan for the orderly
transfer to EPA of all relevant program information
necessary for administering the program (e.g.,
permits and permit files, compliance records,
permit applications, reports).
GRANTS AND OVERSIGHT
While authorized states bear the primary
responsibility for implementing the RCRA Subtitle
C program, federal EPA still plays a role by offering
financial assistance to states to help them develop
and implement their hazardous waste programs,
establishing broad national priorities, and ensuring
that states properly carry out the RCRA program.
State Grants
EPA offers grants to states to assist them in
developing or implementing authorized hazardous
waste management programs. Each EPA Regional
Office receives an allotment based upon multiple
factors, such as population and the amounts and
types of hazardous waste generated in the EPA
Region. States then submit proposed work plans
that outline planned activities in the upcoming
year, including permitting, enforcement, and
program management. EPA Regions then
negotiate with each state over the specific work to
be accomplished with these grant funds. States
that receive RCRA grant funds must provide a 25
percent match.
Priority Setting
EPA also sets RCRA national goals and priority
program activities on an annual basis. Each year,
EPA identifies the national priorities for
implementing all of its programs, including the
RCRA Subtitle C and D programs. These priorities
form the basis for EPA Regional and state
workload negotiations for the upcoming year.
State Oversight
Ensuring that states properly implement their
hazardous waste management programs is also an
important EPA responsibility. As a result, EPA
Regional staff have oversight responsibilities to:
Promote national consistency in RCRA
implementation
Encourage coordination and agreement
between EPA and states on technical and
management issues
Ensure proper enforcement by the state
Ensure appropriate expenditure of federal
grant funds.
INFORMATION MANAGEMENT
Several RCRA provisions require the regulated
community to report hazardous waste
management information to EPA and states. For
example, biennial reporting provisions require
large quantity generators and TSDFs to submit
waste management information to EPA by March
1 of every even-numbered year. EPA and states,
in turn, collect and track such information to
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Managing Hazardous Waste RCRA Subtitle C
Chapter 77: Authorizing States to Implement RCRA
ensure that the hazardous waste program is
adequately managed at the EPA Headquarters,
EPA Regional, and state levels, and to provide
accurate and up-to-date information to both
Congress and the general public. In order to
achieve this goal, EPA compiles such data in the
Resource Conservation and Recovery Act
Information System (RCRIS) and the Biennial
Reporting System (BRS) databases. EPA also
maintains the State Authorization Tracking System
(StATS), which it uses to track whether states have
been authorized to implement or have adopted
federal hazardous waste rulemakings.
Resource Conservation and Recovery Act
Information System
The RCRA program uses the Resource
Conservation and Recovery Act Information
System to track RCRA Subtitle C facility-specific
data. This database tracks events and activities
related to generators, transporters, and treatment,
storage, and disposal facilities. RCRIS is
maintained by EPA Regions and states who submit
monthly updates to the database. RCRIS replaced
the Hazardous Waste Data Management System,
which was permanently archived on December
24, 1991.
Biennial Reporting System
The Biennial Reporting System tracks
detailed hazardous waste activity reports, known
as biennial reports, that are submitted by LQGs
and TSDFs. Some states require facilities to report
this information annually. States compile these
reports and submit the information to EPA
Regions. This data is then entered directly into
BRS.
State Authorization Tracking System
The State Authorization Tracking System is a
tool used by EPA to chart the states that have been
authorized to implement the RCRA hazardous
waste program. By looking at StATS reports, an
individual can determine if a particular state has
been authorized to implement a specific rule. The
reports also list the Federal Register citations for
final authorization decisions for each state and
rule.
SUMMARY
Congress intended states to assume
responsibility for implementing RCRA, with
oversight from the federal government. In order
for a state to receive authorization to implement
and enforce the hazardous waste regulations in
lieu of federal EPA, the state must demonstrate
that its program:
Is equivalent to, no less stringent than, and
consistent with the federal program (state
requirements may be more stringent or
broader in scope)
Provides adequate enforcement authority
Provides for public availability of information
in substantially the same manner and to the
same degree as the federal program.
Any state that seeks final authorization for its
hazardous waste program must submit an
application to the EPA Administrator containing
the following elements:
A letter from the governor requesting program
authorization
A complete program description
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Chapter 77: Authorizing States to Implement RCRA
An attorney general's statement
An MOA
Copies of all applicable state statutes and
regulations
Documentation of public participation
activities.
Once a state's program has been authorized, it
must revise its program, on an annual basis, to
reflect both changes in the federal program, and
state statutory or regulatory changes. State
programs are also subject to review by EPA, and a
state's authorized status can be withdrawn if the
program does not comply with appropriate
regulatory requirements. Without officially
withdrawing authorization, EPA may take
independent enforcement action by overfiling, or
enforcing a provision for which a particular state
has authorization. States may also choose to
transfer program responsibility back to EPA.
EPA works closely with states in implementing
the hazardous waste management program by
offering grants to states, setting national goals and
priorities, and providing program oversight.
EPA Headquarters, EPA Regions, and states
collect, compile, and track information on the
RCRA hazardous waste program through RCRIS,
BRS, and StATS.
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SECTION IV
MANAGING UNDERGROUND STORAGE TANKS
RCRA SUBTITLE I
In this section...
Overview IV-1
Scope of the Underground Storage Tank
Problem IV-2
The Underground Storage Tank Regulatory
Program IV-3
- Program Scope IV-3
- Notification IV-4
- Technical Requirements IV-5
Lender Liability IV-15
State Underground Storage Tank Programs .... IV-15
Inspections and Enforcement IV-16
Leaking Underground Storage Tank Trust
Fund IV-17
Summary IV-18
OVERVIEW
Across the United States, there are
approximately one million federally regulated
underground storage tanks in use that store
petroleum or hazardous substances. An UST is
defined as a tank and any underground piping
connected to the tank that has at least 10 percent
of its combined volume underground. This
definition includes the tank, connected
underground piping, any underground ancillary
equipment, such as valves and pumps, and
containment systems. Therefore, aboveground
tanks with extensive underground piping may
meet the definition of an UST. In order for a tank
to meet the definition of an UST it must also
contain a regulated substance. A regulated
substance is any hazardous substance, defined
under CERCLA §101 (14), and petroleum. In other
words, the federal UST regulations apply only to
USTs storing either petroleum or hazardous
substances. Underground tanks holding
nonhazardous substances, such as water, are not
covered by these regulations.
The vast majority of USTs store petroleum
products at retail establishments, such as gas
stations, and at petroleum refining facilities. Less
than three percent of USTs store hazardous
substances. Placing tanks underground minimizes
hazards and provides a convenient place to store
liquid materials while hiding unsightly equipment.
These tanks are found at a variety of locations,
including convenience stores, airports, service
stations, small and large manufacturing facilities,
and government facilities. USTs at these sites are
used primarily to store gasoline, diesel fuel, crude
oil, hazardous chemicals, and heating oil. Many
of these tanks are made of bare, unprotected
steel, causing them to pose a substantial threat to
WHAT IS AN UST?
An UST is defined as a tank and any underground
piping connected to the tank that has at least 10
percent of its combined volume underground. This
definition includes the tank, connected underground
piping, any underground ancillary equipment, such
as valves and pumps, and containment systems.
WHAT IS A REGULATED SUBSTANCE?
A regulated substance is defined as any hazardous
substance, defined under CERCLA §101(14), and
petroleum.
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SECTION IV
Managing Underground Storage Tanks RCRA Subtitle I
human health and the environment from leaking
due to faulty installation, corrosion, tank or pipe
rupture, or spills.
With over 50 percent of the U.S. population
relying on ground water as their primary source of
drinking water, Congress acted to protect this
resource in 1984 by adding Subtitle I to RCRA in
1984. Under this Congressional mandate, EPA
was required to develop a comprehensive
regulatory program for USTs storing petroleum or
regulated hazardous substances. In 1988, EPA
published regulations that require owners and
operators of new tanks and tanks already in the
ground to prevent, detect, and clean up releases.
In 1986, Congress amended Subtitle I with the
passage of the Superfund Amendments
Reauthorization Act (SARA) by creating a fund for
corrective action for petroleum releases from
USTs; this fund is referred to as the Leaking
Underground Storage Tank (LUST) Trust Fund.
This section describes the UST program
regulatory requirements, the role of the states in
implementing the program, and the LUST Trust
Fund.
SCOPE OF THE UNDERGROUND
STORAGE TANK PROBLEM
Of the one million tanks currently in use and
subject to the federal regulations, less than half are
believed to be made of unprotected bare steel,
which can corrode, allowing contaminants to seep
into the ground and threaten the environment.
About 30,000 new releases are reported each
year. Between the beginning of the UST program
and September 1997, approximately 341,000
UST releases have been confirmed. EPA estimates
that about 60 percent or more of these releases
have affected ground water. Consequently,
leaking USTs pose a potentially widespread threat
to our nation's ground water.
Releases of regulated substances into the
environment are generally attributed to corrosion,
faulty installation, and spills and overfills.
Corrosion occurs when bare metal, soil, and moist
conditions combine to produce an underground
electric current that destroys hard metal. Over
time, corrosion can create holes in the body of the
tank and piping, increasing the likelihood of leaks
into the soil. The speed and severity of corrosion
varies depending on site-specific factors.
Improper installation is also a typical cause of
UST failure. Proper installation is crucial to ensure
the structural integrity of both the tank and its
piping. Proper installation procedures include
excavating the soil, siting where the tank system
should be located, determining burial depth,
assembling the tank system, backfilling around the
tank system, and grading the surface soil (i.e.,
evening out surface where the soil was replaced).
Installation problems generally result from careless
installation practices that do not follow standard
industry codes and procedures. For example,
mishandling of the tank during installation can
RELEASES FROM USTS
An average of 30,000 new releases are reported
each year. Between the beginning of the UST
program and September 1997, approximately
341,000 UST releases have been confirmed. EPA
estimates that about 60 percent or more of these
releases have affected ground water.
cause cracks in fiberglass-reinforced plastic tanks
or damage the protective coating on steel tanks,
leading to corrosion.
Finally, spills and overfills, usually caused by
human error during product transfers, contribute
to tank leakage. Spills often occur when the tanks
are filled during routine product deliveries.
Although these spills are small, repeated releases
of any size can have substantial environmental
impacts. Overfills normally release much larger
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Managing Underground Storage Tanks RCRA Subtitle I
SECTION IV
volumes than spills. Overfills occur when tanks
are filled beyond their capacity and excess
product is released. Installation of spill and overfill
protection, in addition to following industry
standards for correct filling practices, help to
prevent such releases from occurring.
THE UNDERGROUND STORAGE
TANK REGULATORY PROGRAM
Congress, when developing RCRA Subtitle I,
chose to subject only about one-third of the total
number of UST systems that were in use when
the law was enacted to the UST program. The
tanks that were specifically exempted from the
scope of the regulations were selected by
Congress because these particular types of USTs
were regulated under federal, state, or local laws.
Program Scope
While tanks that have at least 10 percent of
their combined volume underground and are used
to store petroleum and hazardous substances are
subject to the RCRA Subtitle I program, not all
tanks meeting this definition of an UST are
required to comply with the requirements.
Congress specifically excluded certain tanks from
the definition, including:
Farm and residential tanks of 1,100 gallons or
less capacity holding motor fuel used for
noncommercial purposes
Tanks storing heating oil used on the premises
where it is stored
Tanks on or above the floor of underground
areas, such as basements or tunnels
Septic tanks and systems for collecting
wastewater and storm water
Flow-through process tanks (i.e., tanks that are
part of production processes and have a
steady flow of materials through the tank
during operation)
Pipeline facilities
Surface impoundments, pits, ponds, or
lagoons
Storm water or wastewater collection systems
Liquid traps or associated gathering lines
directly related to oil or gas production and
gathering operations.
Upon examination of the UST universe, EPA
determined that there were additional tanks that
should not be subject to the federal regulatory
program due to their size, content, location, or
regulation under other programs. As a result, EPA
excluded the following tanks:
UST systems holding hazardous wastes listed
or identified under RCRA Subtitle C, or a
mixture of such wastes and regulated
substances
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SECTION IV
Managing Underground Storage Tanks RCRA Subtitle I
Wastewater treatment tank systems that are
part of a wastewater treatment facility
regulated under CWA
Equipment or machinery that contains
regulated substances for operational purposes,
such as hydraulic lift tanks and electrical
equipment tanks
UST systems with a capacity of 110 gallons or
less
UST systems that contain de minimis
concentrations of regulated substances
Emergency spill or overflow containment UST
systems that are expeditiously emptied after
use.
EPA also identified tanks that did not warrant
exclusion, but should not be subject to full
regulation. As a result, EPA deferred certain tanks
from the requirements for design and installation,
operation, release detection, release reporting and
investigation, closure, and financial responsibility.
These deferred tanks include:
Wastewater treatment tank systems
UST systems containing radioactive material
regulated under AEA
UST systems that are part of emergency
generator systems at nuclear power generation
facilities
Airport hydrant fuel distribution systems
UST systems with field-constructed tanks.
UST systems that store fuel solely for use by
emergency power generators are deferred from
the release detection requirements only.
In order to fully protect human health and the
environment, these deferred tanks are still subject
to release response and corrective action
regulations to ensure that any leaks from a
deferred UST system will be addressed and
cleaned up. Additionally, all deferred tanks are
subject to an interim prohibition which generally
requires that such tanks installed after May 8,
1985, comply with certain technical requirements
that provide basic protection of human health and
the environment.
Notification
Because of the vast number of USTs already in
existence when Congress enacted RCRA Subtitle I,
EPA found that developing UST regulations and
classifying the number of USTs in the United States
was an intensive task. EPA's first action in
responding to this mandate was to establish a
notification system allowing tracking of existing
USTs, as well as providing a mechanism to identify
when a new UST was brought into operation. As
a result, owners and operators of UST systems that
were in the ground on or after May 8, 1986, were
required to notify the state or local agency of the
tank's existence, unless the tank was taken out of
operation on or before January 1, 1974. Any
owner and operator who brings an UST into use
after May 8, 1986, must notify the designated
state or local agency of the existence of the tank
system within 30 days of bringing the tank into
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Managing Underground Storage Tanks RCRA Subtitle I
SECTION IV
use. In addition, any person who sells a tank
intended to be used as an UST must inform the
purchaser of the notification requirement.
Technical Requirements
In response to the scope of the UST problem
and Congress' mandate, EPA issued technical
performance standards for all USTs and regulations
to require petroleum UST owners and operators
to have the financial means to pay for cleanups
and to compensate third parties. These standards,
codified in 40 CFR Part 280, encompass
provisions for UST:
Design, construction, and installation
Operation
Release detection
Release reporting, investigation, and
confirmation
Corrective action
Closure
Financial responsibility.
New vs. Existing Underground Storage Tank
Systems
At the time EPA's technical regulations for
USTs came into effect, many tanks were already
being used to store regulated substances. To
accommodate the thousands of USTs in
existence at the time the federal
regulations were established, EPA
built a certain amount of
flexibility into the UST program
to ensure that tanks already in
use were covered by the new
program, yet not immediately
subjected to the new, potentially
NEW VS. EXISTING TANKS
New tanks are those that are installed, or that have
commenced installation, after December 22, 1988.
These tanks are expected to be in compliance with
all of the technical standards upon installation.
Existing tanks are those that were in service, or for
which installation had commenced, on or before
December 22, 1988. Existing tanks have until this
date to meet the performance standards for new
tanks, meet the upgrading requirements for existing
tanks, or be taken out of service.
costly, design standards. To address this issue, EPA
made a distinction in the UST regulations between
new tanks and existing tanks. New USTs are those
that were installed or that had commenced
installation after December 22, 1988. These tanks
are expected to be in compliance with all of the
technical standards upon installation.
Existing USTs are those that were in service,
or for which installation had commenced, on or
before December 22, 1988. At the time the
regulations went into effect, approximately two
million tanks were considered existing. While EPA
felt that these tanks could pose the same threat as
new tanks, and thus should be subject to the same
standards as new tanks, the Agency granted a
period during which the existing tanks could come
into compliance with the regulations. This phase-
in or upgrading period expires December 22,
1998. At that time, existing tanks must either
meet the performance standards for new
tanks, meet the upgrading requirements for
existing tanks, or be properly closed.
While the standards for existing USTs
are often identical to those for new
USTs, there are limited circumstances
where the standards for new USTs
would be impracticable for existing
USTs to implement immediately.
This chapter will focus primarily
IV-5
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SECTION IV
Managing Underground Storage Tanks RCRA Subtitle I
on the standards for new USTs, contrasting them
with the standards for existing USTs where
appropriate.
Design, Construction, and Installation
Proper installation is crucial to ensuring the
structural integrity of both the tank and its piping.
Therefore, owners and operators of tank systems
must certify on their UST notification form that the
tank system was installed in accordance with the
manufacturer's instructions and in accordance
with practices developed by nationally recognized
associations, such as the Petroleum Equipment
Institute (PEI).
Tanks are also required to be designed and
constructed in such a way as to protect them from
corrosion. This can be accomplished by
constructing the tank of materials that do not
corrode, such as fiberglass-reinforced plastic, or
outfitting a steel tank with a thick layer of
noncorrodible material. A third option, known as
cathodic protection, uses sacrificial anodes or a
direct current source to protect steel by halting the
naturally occurring electrochemical process that
causes corrosion (see Figure IV-1). Piping that
routinely contains product, and that is in contact
with soils, must meet similar corrosion protection
standards.
Owners and operators of USTs must also
ensure that any substance stored in the UST does
not react in such a way that it threatens the
integrity of the tank. For this reason, the tank and
piping must be made of, or lined with, a material
that is compatible with the substance stored in the
tank.
In order to remain in service after December
22, 1998, existing tanks that are not constructed
with noncorrodible material are required to install
corrosion protection as part of the upgrading
requirements. This may be in the form of
cathodic protection, an interior lining of
Figure IV-1: CATHODIC PROTECTION
Grade
Current Path
UST corrosion is caused by an electric current that is created
when bare metal is placed in soil. Cathodic protection prevents
such corrosion. The above impressed current system sends
electric current from anodes, through the soil to the UST system
to protect the tank by overcoming the corrosion-causing current
normally flowing from the tank.
noncorrodible material, or a combination of the
two. Corrosion protection in the form of cathodic
protection is also required for piping.
In addition to these design standards, tank
systems are subject to general requirements to
ensure proper operation and maintenance.
Operation
The general operating requirements provide
owners and operators with a set of standards to
ensure that routine daily operations are conducted
safely. Theses requirements are geared primarily
toward the prevention of spills, overfills, and
corrosion.
Spill and Overfill Protection
Spill and overfill protection requirements
include common-sense procedures, such as
ensuring that there is enough room in the tank to
receive a delivery of gasoline before the delivery is
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Managing Underground Storage Tanks RCRA Subtitle I
SECTION IV
Figure IV-2: OVERFILL PROTECTION
-Fill Pipe
Shutoff Valve
Float
An UST owner and operator can meet overfill protection
requirements by using an overfill protection device. Such
devices either shut off delivery once the product has
reached a certain level in the tank, or sound an alarm that
notifies the delivery driver that the tank is almost full. For
example, an automatic shut off device (or fill pipe device)
has one or two valves that are operated by a float
mechanism. When the product reaches a certain level in the
tank (i.e., when the float mechanism reaches a certain level),
the device will shut off the flow of product into the tank.
made, and watching the entire delivery to prevent
spilling or overfilling. In addition, spills and
overfills must be eliminated or minimized by
installing certain equipment. For example,
catchment basins can contain small amounts of
product that are spilled when the delivery hose is
disconnected from the fill pipe. Overfill
protection devices either shut off delivery once
the product has reached a certain level in the
tank, or sound an alarm that notifies the delivery
driver that the tank is almost full (see Figure IV-2).
As with design and installation requirements,
standards for product transfer are based on
standards developed by nationally recognized
associations.
All tank systems are subject to the general
operating standards for spill and overfill control.
New tanks must have catchment basins and
overfill protection devices when they are installed.
Existing tanks must install spill and overfill
protection devices by December 22, 1998, as part
of their upgrading requirements. The only
exception to these requirements is that USTs,
either new or existing, which never receive
product transfers of more than 25 gallons at a
time, do not have to meet the spill and overfill
design standards.
Corrosion Protection
Both new UST systems and existing UST
systems that have been upgraded with corrosion
protection must follow guidelines for the
operation and maintenance of the corrosion
protection equipment. The regulations require
that corrosion protection systems be properly
operated and maintained to ensure that no
releases occur. In addition, UST systems with
cathodic protection must be periodically inspected
and tested to ensure that the equipment is
operating properly. Finally, the owner and
operator must keep records documenting
compliance with these operation, maintenance,
and inspection requirements.
Release Detection
EPA included release detection requirements
in the UST regulations to detect releases from
leaking tanks before they pose threats to or
damage human health and the environment. All
new USTs are required to have release detection
(also referred to as leak detection) for tanks and
piping when they are installed. Existing USTs were
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SECTION IV
Managing Underground Storage Tanks RCRA Subtitle I
required to meet release detection requirements
for tanks and piping no later than December
1993.
There is no single release detection system
that is best for all sites, nor is there a particular
type of release detection that is consistently the
least expensive. Identifying the best leak
detection choice for an UST depends on a
number of factors, including cost (both initial
installation cost and long-term operation and
maintenance cost), facility configuration (such as
the complexity of piping runs and tank systems),
ground water depth, soil type, seasonal rainfall
and temperature ranges, availability of
experienced installers, and other variables best
evaluated by professionals.
Based on these and other factors, petroleum
UST owners and operators can choose any of
these seven release detection methods (see Figure
IV-3):
Interstitial monitoring
Automatic tank gauging systems
Vapor monitoring
Ground water monitoring
Statistical inventory reconciliation (SIR)
Manual tank gauging for small USTs
Other methods meeting performance
standards.
The federal UST program also includes
different release detection requirements for
hazardous substance tanks as well as for
underground piping for all USTs. Lastly, the
federal regulations contain recordkeeping
provisions requiring owners and operators to
document compliance with the release detection
standards.
Figure IV-3: RELEASE DETECTION METHODS
Inventory Control or
Manual Tank Gauging
Vapor
Monitoring
Well
Tank Tightness Testing
Line Leak Detector
_ inventory
Automatic Tank Gauging
Ground Water
Monitoring Well
Secondary
Containment
with
Interstitial
Monitoring
UST owners and operators can provide release detection for their tanks using several different methods. These include secondary
containment with interstitial monitoring, automatic tank gauging, vapor monitoring, ground water monitoring, and SIR (not pictured).
In some cases, owners and operators can combine either inventory control or manual tank gauging with tank tightness testing.
Owners and operators must also provide release detection for piping, including automatic line leak detectors for pressurized piping.
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Managing Underground Storage Tanks RCRA Subtitle I
SECTION IV
Interstitial monitoring involves the use of
secondary containment, such as a barrier, outer
wall, vault, or liner around the UST or piping to
prevent leaking product from escaping into the
environment. Alternatively, tanks can be
equipped with inner bladders to provide
secondary containment. If product escapes from
the inner tank or piping, it will then be directed
towards an interstitial monitor located between
the walls.
Automatic tank gauging systems use a probe
in the tank that is wired to a monitor to provide
information on product level and temperature.
These systems automatically calculate the changes
in product volume that can indicate a leaking
tank.
Vapor monitoring measures product fumes in
the soil around the UST to check for leaks. This
method requires installation of carefully placed
monitoring wells. Owners and operators can
perform vapor monitoring on a periodic basis, or
continuously, using permanently installed
equipment.
Ground water monitoring senses the
presence of liquid product floating in ground
water. This method requires installation of
monitoring wells at strategic locations in the
ground near the tank and along the piping runs.
To discover if leaked product has reached ground
water, owners and operators can periodically
check these wells by hand, or monitor them
continuously with permanently installed
equipment. This method cannot be used at sites
where ground water is more than 20 feet below
the surface.
With statistical inventory reconciliation,
owners and operators use sophisticated computer
software to conduct a statistical analysis of
inventory, delivery, and dispensing data. These
data are then analyzed to determine if any
product has been released.
Owners and operators of USTs with a capacity
of 1,000 gallons or less can use manual tank
gauging as the sole method of release detection
for the life of the tank. Manual tank gauging
requires owners and operators to keep the tank
undisturbed for at least 36 hours each week,
during which time the contents of the tank are
measured. At the end of each week, owners and
operators analyze the test results to determine if
the tank is leaking.
Any other release detection technology can be
used if it meets a performance standard of
detecting a leak of 0.2 gallons per hour with a
probability of detection of at least 95 percent and
a probability of false alarm of no more than five
percent.
These seven release detection methods are
monthly monitoring methods, and eventually, all
UST owners and operators will have to use at least
one of them. It may, in some cases, require a
significant investment of time and resources for
owners and operators to get these release
detection methods in place. In the interim, UST
owners and operators can combine either
inventory control or manual tank gauging with
tank tightness testing. The length of time that
owners and operators can use these temporary
methods depends on whether their UST meets the
standards for new or upgraded tanks, when the
UST was upgraded to meet corrosion protection
requirements and, in some cases, the size of the
tanks.
Inventory control with tank tightness testing
This method combines monthly inventory
control with periodic tank tightness testing.
Inventory control involves taking
measurements of tank contents, recording the
amount of product pumped each operating
day and reconciling these data at least once a
month. Tank tightness testing describes a
variety of methods used to determine if a tank
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SECTION IV
Managing Underground Storage Tanks RCRA Subtitle I
is leaking; most of these methods involve
monitoring changes in product level or volume
in a tank over a period of several hours.
Manual tank gauging with tank tightness
testing Owners and operators of tanks with
a capacity of 2,000 gallons or less can
temporarily use monthly manual tank gauging
with periodic tank tightness testing.
Hazardous Substance USTs
Hazardous substance USTs must meet
different release detection requirements. New
USTs must employ secondary containment with
interstitial monitoring. By enclosing such tanks
with a second wall, leaks can be detected quickly
and contained before harming the environment.
Existing USTs are not required to comply with
these standards until December 22, 1998, as part
of their upgrading requirements. Until that time,
owners and operators of existing hazardous
substance USTs can use any of the previously
discussed release detection methods for
petroleum USTs.
Piping
Underground piping for all USTs (both new
and existing petroleum and hazardous substance
tanks) that routinely contains a regulated
substance is also subject to release detection
standards. Pressurized piping requires automatic
line leak detectors and an additional monitoring
method, such as an annual line tightness test or
certain previously mentioned monthly monitoring
methods for tanks. Suction piping may or may not
require release detection, depending on how such
piping is designed. For example, suction piping
that has enough slope to allow product to drain
back into the tank does not require release
detection. However, suction piping that is subject
to release detection requirements must use a
periodic line tightness test or certain monthly
monitoring methods for tanks.
Recordkeeping
The release detection recordkeeping
requirements include maintaining results of any
sampling, testing, or monitoring, as well as
maintaining documentation of all calibration,
maintenance, and repair of release detection
equipment. These record retention provisions are
applicable to new and existing petroleum and
hazardous substance tanks and piping.
Release Reporting, Investigation, and
Confirmation
UST release detection requirements are
intended to prevent petroleum and hazardous
substances from leaking into the environment.
Unfortunately, many releases have already
occurred and may occur in the future. As a result,
the UST regulations stipulate procedures for
investigating and confirming suspected releases
from petroleum and hazardous substance USTs,
and reporting such releases to the implementing
agency. All UST owners and operators must be
attentive to a variety of warning signals that
indicate an UST may be leaking. These include
evaluation of results of release detection
monitoring and testing, observation of any unusual
operating conditions at the pump (such as erratic
or overly slow product flow), and evidence of
product leakage into the environment (e.g., the
presence of petroleum in nearby surface water or
wells). Upon observing such warning signals, the
owner and operator must immediately report the
suspected release to the implementing agency.
The owner and operator must then determine if
the suspected release is an actual release by
conducting tightness testing of the entire UST
system to determine a possible source. The owner
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Managing Underground Storage Tanks RCRA Subtitle I
SECTION IV
and operator must also measure for the presence
of contaminants in soil or ground water, and
determine the source of the release if such
contamination has been discovered.
If the results of tank tightness testing or the site
inspection (or both) indicate that no release has
occurred, then no further investigation is required.
If, however, the results of these investigations
indicate that a release has occurred, the owner
and operator must respond by immediately
stopping the release and repairing or replacing any
damaged equipment. If an owner and operator
chooses to repair rather than replace a damaged
pipe or tank, EPA requires the repair person to
follow standard industry codes, such as codes
established by the American Petroleum Institute
(API), for correct repair practices. In addition, the
owner and operator must take steps to clean up
the release through the UST corrective action
program.
Corrective Action
Corrective action for UST systems is designed
to ensure that releases of regulated substances do
not threaten human health and the environment.
While corrective action procedures are comprised
of a series of steps, the exact action to be taken
and the level of response required vary depending
on the severity of the release and the nature of the
containment.
Response to confirmed releases consists of
short-term and long-term stages. The initial stage
of the response consists of short-term actions to
stop and contain the leak or spill and steps to
ensure that the leak or spill poses no immediate
hazard to human health and safety, such as
removing explosive vapors and other fire hazards.
The owner and operator must also remove as
much product from the UST system as necessary
to prevent any further release; begin to recover
any free (released) product; and provide a report
to the implementing agency that includes a
description of the initial actions taken, an
assessment of the extent of contamination, and a
plan on how they will clean up the release.
Based on data collected during the initial site
characterization, the implementing agency will
decide whether further action is warranted. Some
leaks and spills will require additional long-term
attention to correct the problem. In these cases,
the implementing agency will request a corrective
action plan from the owner and operator that
describes how they will clean up contaminated
soil and ground water. The implementing agency
will then evaluate the plan to determine if it will
adequately protect human health and the
environment, taking into account such factors as
the type of substance released, potential impacts
on drinking water, and other site-specific
concerns. Once the corrective action plan is
approved, the owner and operator must
implement the plan and report the results of the
cleanup to the implementing agency.
One methodology that helps implementing
agencies address UST sites requiring corrective
action is risk-based decision-making (RBDM).
EPA encourages states to incorporate RBDM into
the implementation of their corrective action
programs. RBDM is a process that uses risk and
exposure assessment concepts to help UST
implementing agencies establish enforcement
priorities. Because of the vast number of leaking
USTs and the limited financial and human
resources available to implement corrective action
at these sites, RBDM is an important tool in
expediting assessments and cleanups at
contaminated sites. It is also used to tailor the
cleanup response to the level of risk posed by a
particular site. For example, implementing
agencies may use RBDM to categorize or classify
sites, to aid in establishing cleanup goals, and to
decide on the necessary level of oversight.
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Managing Underground Storage Tanks RCRA Subtitle I
Closure
If an UST is taken out of service for any period
of time, the owner and operator must close the
UST system according to certain procedures in
order to ensure adequate protection of human
health and the environment. Closure can be done
on either a temporary or permanent basis.
Temporary Closure
If the owner and operator plan to bring the
tank system back into service at a later date, they
may close the tank temporarily. Temporary
closure requires the owner and operator to
continue to operate and maintain the corrosion
protection system and, if any product remains in
the tank, to maintain the leak detection system.
During temporary closure, the tank remains
subject to release response and corrective action
requirements. If the owner and operator take the
UST out of service for longer than three months,
they must leave the vent lines open and
functioning, and cap and secure all other lines
attached to the tank.
Permanent Closure
Tanks cannot be temporarily closed for a
period longer than 12 months unless they meet
the requirements for new or upgraded tanks. If
the tank does not meet these requirements, or if
the owner and operator decide to discontinue
using the tank altogether, they must permanently
close the UST system.
Permanent closure involves
a number of steps
designed to ensure that
the tank will pose no
threats to human
health or the
environment after
it is closed.
These steps
include notifying
the implementing
agency of the intent to close the tank, assessing
the tank and surrounding area to determine if any
releases have occurred, initiating corrective action
to clean up any such releases, removing all liquids
and accumulated sludges from the tank, and
either removing the tank from the ground or filling
it with an inert solid material, such as concrete or
sand (if state and local regulations allow it).
Changes In Service
In some cases, an owner and operator may
decide to use a formerly regulated UST system to
store a nonregulated substance. This is considered
a change in service. Before making this change,
the owner and operator must notify the
implementing agency, empty and clean the tank,
conduct a site assessment to determine if a release
has occurred, and initiate corrective action if
appropriate.
For both tank closures and changes in service,
the owner and operator must maintain results of
the site assessment for at least three years, or mail
the results to the implementing agency.
Financial Responsibility
When Congress amended RCRA Subtitle I in
1986, it recognized that UST corrective action
could be very expensive, and as a result, some
UST owners and operators might not be able to
pay for such cleanups. Similarly, Congress
discovered that releases from USTs had the
potential both to inflict severe damage on
neighboring property and threaten human health.
In response to these concerns, Congress directed
EPA to establish UST financial responsibility
requirements to ensure that owners and operators
would have the financial resources to pay for any
necessary corrective action, as well as compensate
third parties for bodily injury and property damage
(known as third-party damages) resulting from
leaking USTs.
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Managing Underground Storage Tanks RCRA Subtitle I
SECTION IV
The UST financial responsibility regulations
apply only to petroleum UST owners and
operators. State and federally owned and
operated USTs are exempt from these
requirements because it is assumed that such
entities already have the financial resources to pay
for corrective action and liability expenses.
The UST financial responsibility requirements
require coverage in both per occurrence and
annual aggregate amounts.
Per Occurrence Coverage
Per occurrence means the amount of money
that must be available to pay for the costs from
one leak. These requirements are based on
whether a facility markets (i.e., sells) petroleum to
the public and the volume of petroleum handled
at a facility. All petroleum marketers, and facilities
that handle an average of 10,000 gallons of
petroleum per month, are required to
demonstrate at least $1 million in per occurrence
coverage. Petroleum nonmarketers are required
to demonstrate at least $500,000 in per
occurrence coverage (see Figure IV-4). For
example, owners and operators of gas stations,
which are considered marketers because they sell
petroleum to the public, would need to
demonstrate $1 million in per occurrence
coverage for their USTs. On the other hand,
owners and operators of USTs used to fuel
vehicles that are rented to the public, which are
considered nonmarketers, would need to
demonstrate $500,000 in per occurrence
coverage if their average monthly throughput was
less than 10,000 gallons.
Annual Aggregate Coverage
Annual aggregate is the total amount of
financial responsibility coverage required to pay
for the costs of all leaks that might occur in one
year. These requirements are based on the
number of USTs owned and operated at all
Figure IV-4:
PER OCCURRENCE COVERAGE
Monthly average
throughput of 10,000
gallons or less
Monthly average
throughput of over
10,000 gallons
$1 million per
occurrence
locations. Owners and operators of over 100
USTs are required to demonstrate at least $2
million in annual aggregate coverage. Owners
and operators of 100 or less tanks are required to
demonstrate at least $1 million in annual
aggregate coverage (see Figure IV-5).
Mechanisms
Financial responsibility mechanisms are the
different ways an UST owner and operator can
show that funds are available to pay for corrective
action and liability requirements. An owner and
operator must demonstrate financial responsibility
through one or more of the following
mechanisms:
State assurance funds Most states have
established programs that can help pay for
cleanup and third-party liability costs resulting
from leaking USTs. Generally, the state
assurance funds are funded by gasoline taxes,
tank fees, or a combination of both. The
terms and conditions of the state assurance
funds vary greatly, and participation can either
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Managing Underground Storage Tanks RCRA Subtitle I
Figure IV-5:
ANNUAL AGGREGATE COVERAGE
$1 million
annual aggregate
$2 million
annual aggregate
be mandatory or voluntary. Participating UST
owners and operators, in good standing with
their state assurance fund, can use that fund to
demonstrate financial responsibility.
Financial test of self-insurance Some
companies are of such size and financial
strength that they have the assets to absorb the
costs incurred by UST corrective action and
liability. As a result, such owners and
operators can demonstrate their financial
strength by using the financial test of self-
insurance to satisfy the UST financial
responsibility requirements.
Corporate guarantee While not all
companies will be able to meet the financial
test requirements, they may be owned by a
company (either corporate parent or
grandparent), may have a sibling company, or
may have a "substantial business relationship"
with another company that has the financial
standing and ability to meet the financial test
requirements. In these cases, an UST owner
and operator may arrange to have their
corporate parent, corporate grandparent,
sibling corporation, or firm with a substantial
business relationship meet the UST financial
responsibility requirements on their behalf and
provide them with a corporate guarantee.
Insurance or risk retention group coverage
An UST owner and operator can take out an
insurance policy to cover the corrective action
and liability coverage requirements. Owner
and operators can also use risk retention
groups, which are entities formed by
businesses or individuals with similar risks to
provide insurance coverage for those risks.
Surety bond A surety bond is a guarantee
by a surety company that it will meet the
obligations of the UST owner and operator in
the event of a failure to satisfy corrective
action or liability requirements. If the owner
and operator fails to pay the costs specified in
a bond, the surety company is liable for the
costs, but the owner and operator must then
repay the surety company. The owner and
operator must also establish a standby trust
fund into which any payments made by the
surety company will be deposited. EPA or the
states then use this trust fund to cover the
respective costs.
Letter of credit A letter of credit, issued by
a financial institution (such as a bank), is a
contract between the UST owner and
operator, the issuer, and the implementing
agency. Under the terms of this agreement, if
the UST owner and operator fails to pay for
corrective action or liability, the implementing
agency will direct the issuer to deposit such
payments into a standby trust fund.
Trust fund Under a trust fund, aggregate
funds for UST corrective action and liability
are held and administered by an impartial
third party (usually a bank). By placing such
money in an independent fund, the funds will
not be commingled with the owner's and
operator's other assets, and will always be
available on the event that a release occurs, or
a claim is made.
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SECTION IV
These financial responsibility mechanisms
were developed to meet the needs of the private
sector. Many local government UST owners and
operators had difficulty demonstrating compliance
with these mechanisms because of slight
differences in their financial management and
accounting practices. As a result, EPA
promulgated four additional options that local
governments could choose to demonstrate UST
financial responsibility. These mechanisms are:
Bond rating test
Financial test
Guarantee
Dedicated fund.
While the bond rating and financial tests are
modeled after the UST financial test of self-
insurance, the guarantee is similar to the corporate
guarantee, and the dedicated fund is similar to the
trust fund, these mechanisms were all tailored to
meet the special needs of local governments.
LENDER LIABILITY
Many UST owners and operators must secure
loans from financial and other institutions to
comply with environmental regulations, such as
UST upgrading and maintenance requirements.
These owners and operators often use the
property on which the UST is located as collateral
in order to secure the loan.
Financial institutions have
historically been reluctant to
extend loans to UST owners
and operators for fear of
later incurring UST cleanup
liability. For example, if a
bank held property as
collateral for a service station
that later became bankrupt,
the lender would take
possession of the property, becoming the owner of
the property and the tanks on it. Financial
institutions feared that they would then be subject
to the UST regulations, including financial
responsibility for corrective action and third-party
liability. Until recently, this potential for lending
institutions to be held liable for releases from
USTs, known as lender liability, greatly hampered
the ability of UST owners and operators to secure
the capital necessary to make tank improvements,
upgrade the UST, or comply with other
requirements.
EPA published the lender liability regulations
in 1995. The rule provides lenders with an
exemption from all federal UST regulatory
requirements provided that the lender, or secured
creditor, does not participate in the management
or operation of the UST system. This means that
the lender is exempt from corrective action
requirements and liability for cleanup costs of
contaminated property, both prior to and after
foreclosure, as long as the lender does not engage
in petroleum production, refining, or marketing,
does not manage or operate the UST, and does
not store petroleum in the UST after foreclosure.
STATE UNDERGROUND STORAGE
TANK PROGRAMS
States play a central role in the administration
of the UST program. Because of the size and
diversity of the UST regulated community, states
and local governments are in
the best position to oversee
the regulation of USTs.
Congress intended for states to
take over the day-to-day
administration of the UST
program from the federal
government; therefore, RCRA
Subtitle I allows EPA to
approve state UST programs to
operate in lieu of the federal
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Managing Underground Storage Tanks RCRA Subtitle I
UST program provided they are at least as
stringent as the federal program and ensure
adequate enforcement.
In order to be approved, a state program must
meet three requirements. First, the state program
must set standards for eight performance criteria
that are no less stringent than federal standards.
These include the standards for:
New UST system design
General operating requirements
Release detection
Upgrading
Release reporting
Corrective action
Financial responsibility
Closure.
Second, the program must contain provisions
that ensure adequate enforcement of the UST
regulations. This means that the state must have
adequate legal authority to implement and
enforce the regulations, including the authority to
inspect records and sites, require monitoring and
testing, and assess penalties. In some cases, states
will have to enact additional laws in order to have
adequate authority. The state program must also
include opportunities for public participation in
the state enforcement process.
Finally, the state program must regulate at least
the same universe of USTs covered by the federal
program, although many states may choose to
implement programs that are broader in scope
than the federal program. For example, a state
may regulate all heating oil tanks, even though the
federal UST program excludes tanks used for
storing heating oil for consumptive use on the
premises where stored. In such cases, EPA does
not review or approve the portion of the program
that is broader in scope than the federal program.
EPA can, however, approve requirements that are
more stringent than the federal program. For
example, a state may receive approval from EPA
to implement release detection requirements that
are more stringent than those contained in the
federal regulations.
Because state programs operate in lieu of the
federal program, owners and operators in states
that have an approved UST program do not have
to comply with two sets of statutes and
regulations. Once their programs are approved,
states have the lead role in UST program
enforcement; therefore, owners and operators
need only comply with their state regulations to
be in full compliance with all requirements. For
states without approved programs, EPA works in
conjunction with state officials to enforce the
federal UST regulations. These states may have
MOAs with their EPA Regional Office that allow
them to implement specific parts of the UST
regulations on behalf of EPA. Such agreements
outline the nature of the state's responsibilities
and oversight powers, and the level of
coordination between the state and the EPA in
implementing the program.
INSPECTIONS AND ENFORCEMENT
RCRA Subtitle I provides authority for federal
and state personnel to request pertinent
information from tank owners and operators;
inspect and sample tanks; monitor and test tanks
and surrounding soils, air, surface water, and
ground water; respond to violations of tank
standards through civil or administrative actions;
and seek injunctive relief when human health or
the environment are endangered.
EPA may issue compliance orders for any
violation of the Statute or regulations. A violator
who fails to comply with the order may be subject
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Managing Underground Storage Tanks RCRA Subtitle I
SECTION IV
HOW DO STATE UST PROGRAMS OPERATE?
Because state programs operate in lieu of the
federal program, owners and operators in states that
have an approved UST program do not have to
comply with two sets of statutes and regulations.
Once their programs are approved, states have the
lead role in UST program enforcement; therefore,
owners and operators need only comply with their
state regulations to be in full compliance with all
requirements.
to a civil penalty of up to $27,500 per tank per
day of noncompliance. In addition, any owner
and operator who knowingly fails to notify or
submits false information may be subject to civil
penalties of up to $11,000 for each tank for which
notification is not given or false information is
submitted. Furthermore, any owner and operator
who fails to comply with any regulatory
requirement under Subtitle I, may be subject to
civil penalties of up to $11,000 per tank, for each
day of violation. Criminal penalties are not
authorized under Subtitle I.
At all levels of government, regulatory
agencies are granted some discretion in
determining when to impose penalties. In the
UST program, inspectors often issue a notice of
violation or a warning letter to first-time violators
when a facility is inspected, provided that the
violations are not egregious. These informal
enforcement actions are less resource-intensive for
the states and are usually effective in promoting
compliance. States and EPA generally reserve
their strongest enforcement tools for use on
facilities whose owners and operators have not
been responsive to informal enforcement actions,
facilities whose violations pose significant threats
to human health and the environment, or facilities
who have a history of noncompliance. Federal
enforcement authorities include the use of field
citations and administrative or judicial (or both)
enforcement actions.
UST inspectors issue field citations at the time
they identify violations. Field citations are not
issued for serious violations. They are issued in
cases where the violation is a first-time violation
and is clear-cut, easily verifiable, and easily
correctable. A field citation couples a fine with a
requirement to correct the violation within 30
days. If a facility does not address the violation
within 30 days, however, follow-up enforcement
actions can assess additional penalties.
Apart from inspections, outreach and
education are among of the most commonly used
ways to familiarize UST owners and operators
with the UST regulations and promote
compliance. EPA and states produce and
distribute a wide variety of informational
materials, including booklets, leaflets, videos, and
slide shows, designed to assist owners and
operators in complying with the UST
requirements. EPA and states also conduct
seminars and workshops and use inspections as
opportunities to explain the requirements and
offer assistance. In addition, EPA works closely
with trade associations representing tank owners
and operators to provide compliance assistance
information to their members.
LEAKING UNDERGROUND
STORAGE TANK TRUST FUND
As part of SARA, Congress also created the
Leaking Underground Storage Tank Trust Fund.
The LUST Trust Fund has two purposes. First, it
provides money for overseeing corrective action
taken by a responsible party, usually a contractor
hired by an owner and operator of the leaking
UST. Second, the LUST Trust Fund provides
money for cleanups at UST sites where the owner
and operator is unknown, unwilling or unable to
respond, or which require emergency action.
IV-17
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SECTION IV
Managing Underground Storage Tanks RCRA Subtitle I
LEAKING UNDERGROUND STORAGE TANK
TRUST FUND
The LUST Trust Fund provides money to states to
oversee corrective action by a responsible party and
to clean up sites where the owner and operator is
unknown, unwilling, or unable to respond, or which
require emergency action.
The LUST Trust Fund is financed through an
excise tax on gasoline, diesel, and aviation fuels.
As of March 1997, about $1.8 billion had been
collected, $655 million of which has been given to
EPA. About $560 million has been dispersed to
state programs for state officials to use for
administration, oversight, and cleanup work. The
remaining LUST Trust Fund money has been used
by EPA for administrative activities: negotiating
and overseeing cooperative agreements;
implementing programs on Native American
lands; and supporting EPA Regional and state
offices.
To receive money from the LUST Trust Fund, a
state must enter into a cooperative agreement
with the federal government to spend the money
for its intended purpose. Every state has a
cooperative agreement with EPA. LUST Trust Fund
money is divided among EPA Regional Offices
based on a formula that uses state data. In fiscal
year 1995, each state received a base allocation
plus additional money depending on the
following: the number of confirmed releases in the
state; the number of notified petroleum tanks; the
number of residents relying on ground water for
drinking water; and the number of cleanups
initiated and completed as a percentage of total
confirmed releases.
States use LUST Trust Fund money to oversee
corrective action by a responsible party and to
clean up sites where no responsible party can be
found. Less than five percent of all cases have
been without a responsible party. To date, states
have used about one-third of their LUST Trust
Fund money for administration, one-third for
oversight and state-led enforcement, and one-
third for cleanups.
SUMMARY
Across the United States, a wide range of
persons, from large and small businesses to private
entities, store regulated substances (petroleum and
CERCLA hazardous substances) in USTs. An UST
is defined as a tank and any underground piping
connected to that tank that has at least 10 percent
of its combined volume underground.
Not all tanks storing regulated substances are
subject to the UST regulations, as some tanks are
specifically exempted from the regulations due to
their regulation under other laws.
In an effort to protect human health and the
environment from releases from regulated USTs,
EPA promulgated technical performance standards
designed to ensure safe design, operation,
maintenance, and closure. These standards,
codified in 40 CFR Part 280, encompass
provisions for UST:
Design, construction, and installation
Operation
Release detection
Release reporting, investigation, and
confirmation
Corrective action
Closure
Financial responsibility.
When the UST regulatory program came into
existence, there were over two million tanks
already in the ground. To accommodate these
USTs, EPA built flexibility into the regulatory
program to allow such tanks to upgrade during a
phase-in period. As of December 22, 1998, such
IV-18
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Managing Underground Storage Tanks RCRA Subtitle I
SECTION IV
existing tanks must either meet the performance
standards for new tanks, meet the upgrading
requirements for existing tanks, or be taken out of
service.
The UST technical requirements may be
expensive to comply with. As a result, many
owners and operators secure loans from private
lending institutions. However, if owners and
operators default on such loans, banks may
foreclose on property containing such USTs. By
default, the bank may become responsible and
liable for compliance with the federal UST
requirements, including the cleanup of all
releases. In order to shield lending institutions
from such requirements, and remove the
disincentive for issuing such loans in the first
place, EPA promulgated a lender liability provision
to exempt lending institutions from the UST
requirements provided they do not manage or
operate the UST.
The UST program also includes state program
approval provisions that are designed to help
facilitate the delegation of UST program
implementation to the states. This provides states
the authority to ensure proper compliance with
the federal standards, and allows states with
approved programs to have primary enforcement
responsibility. In order for a state to receive
approval, its program must be no less stringent
than the federal program, cover the same universe
of tanks covered by the federal program, and
provide for adequate enforcement of the state
UST program. The UST program also includes
provisions regarding inspections and enforcement.
Finally, the UST program includes a LUST
Trust Fund. Under the LUST Trust Fund, EPA
disperses money to states that have cooperative
agreements with the Agency to provide money for
overseeing corrective action taken by a
responsible party and to provide money for
cleanups at UST sites where the owner and
operator is unknown, unwilling or unable to
respond, or which require emergency action.
IV-19
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SECTION V
MISCELLANEOUS STATUTORY REQUIREMENTS
In this section...
Overview V-1
Chapter 1: Federal Procurement
Requirements V-3
Chapter 2: Medical Waste Regulations V-9
OVERVIEW
All RCRA provisions do not fit neatly into the
solid waste, hazardous waste, and UST regulatory
frameworks. The Statute established additional
miscellaneous provisions to further the goals of the
waste management program, and to address
materials that were not covered by Subtitles C, D,
or I.
The first set of these miscellaneous statutory
provisions focuses on promoting recycling and
developing a market for products with recycled
content: the federal procurement requirements.
The second set of miscellaneous statutory
provisions focuses on certain materials that were
not covered by Subtitles C, D, or I: namely,
medical wastes. These requirements imposed a
tracking system to ensure the safe and protective
management of potentially harmful wastes.
This section consists of two chapters:
To
Federal Procurement Requirements
promote recycling, encourage the
development of recycling technologies, and
develop the market for products with recycled
content, RCRA contains specific federal
procurement requirements.
Medical Waste Regulations To ensure the
tracking and safe management of medical
waste, RCRA established a medical waste
demonstration program.
Both of these aspects of the RCRA program
are carefully detailed in separate chapters in this
section.
V-1
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Miscellaneous Statutory Provisions
SECTION V
Chapter 7: Federal Procurement Requirements
CHAPTER 1
FEDERAL PROCUREMENT REQUIREMENTS
In this chapter...
Overview V-3
Promotion of Recycling V-3
Federal Procurement Requirements V-4
- Comprehensive Procurement Guidelines V-5
- Recovered Materials Advisory Notice V-5
- Procurement Program V-6
- Compliance V-7
Summary V-8
OVERVIEW
The purpose of RCRA is not merely to control
waste generation, waste management, or waste
disposal. The title of the Act itself clearly reveals a
major focus and intent of the regulatory program -
resource conservation and recovery. As discussed
in Section I, a major goal of RCRA is energy and
natural resource conservation through taking steps
to reduce the depletion of our natural resources
and to protect those resources from hazardous
constituents. Another major goal of RCRA is
resource recovery through extracting usable
resources from materials that are unintentionally
created (i.e., wastes).
More specifically, such resource recovery or
recycling entails the separation and collection of
wastes for their subsequent transformation or
remanufacture into usable products and materials.
Resource recovery is a major component of the
RCRA program because it diverts large amounts of
solid waste from landfills and incinerators,
conserves space in landfills, recovers the precious
raw materials that are often found in solid waste,
and preserves natural resources that would
otherwise be used to produce virgin products and
materials.
To further this waste management approach,
RCRA established specific provisions to promote
the development of recycling capabilities and
technologies, and develop a market for recyclable
materials. As a result, the Statute contains
provisions for technology and market
development activities, as well as federal
procurement requirements intended to bolster the
demand for products containing recycled
materials.
PROMOTION OF RECYCLING
When the Statute was enacted,
the waste management and
recycling industries were unable to
maintain and promote substantial
resource conservation and
recovery of a wide range of
materials. While specific
industries, such as metals and
glass recycling, were mature
and developed, recycling of
other commodities, such as old
V-3
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SECTION V
Miscellaneous Statutory Provisions
Chapter 7: Federal Procurement Requirements
Projections
newspapers was not as
advanced. While recycling was
a major component of the
regulatory program, there was
neither the technology to
recycle nor a market in which
to sell and purchase such
commodities.
Then (and now), without a
market to sell or a demand to
purchase recycled products,
there was no incentive to perform the recycling
activities in the first place. In other words, why
make a product with a recycled material if no one
will buy it?
Congress recognized this opportunity within
the recycling industry and sought ways to promote
both recycling activities and market development.
As a result, RCRA includes provisions requiring
EPA to take steps to identify markets for recovered
materials, identify economic and technical barriers
to the use of recovered materials, encourage the
development of new uses for recovered materials,
and promote recycling technologies. In addition,
RCRA requires the National Institutes of Standards
and Technology to develop specifications for
recycled materials to facilitate their reuse in
replacing virgin materials in various industrial and
commercial products.
FEDERAL PROCUREMENT
REQUIREMENTS
Realizing that recycling is not only the
collection of materials for remanufacture, but also
the purchase of products with recovered content
by consumers, Congress sought ways to stimulate
market demand for recycled materials. Congress
realized that the purchasing power of the federal
government, if focused on procuring materials
with recovered content, could create a significant
demand for recycled materials thus
stimulating the market. Increased
demand by the federal government for
products with recovered content
would boost manufacturing of such
items and encourage the private sector
to purchase such goods as well. As a
result, RCRA §6002 established the
federal government's buy-recycled
program, formally referred to as the
federal procurement program.
The federal procurement program sets
minimum recovered materials content standards
for certain designated items and requires
procuring agencies to purchase those items
composed of the highest percentage of recovered
materials practicable. Minimum content standards
specify the minimum amount of recovered
materials that designated items should contain.
Procuring agencies are defined as:
Federal government departments or agencies
State government agencies that use
appropriated federal funds for procurement of
a designated item
Local government agencies that use
appropriated federal funds for procurement of
a designated item
Government contractors that work on a
project funded by appropriated federal funds,
with respect to work performed under the
contract.
Only procuring agencies that purchase
$10,000 or more worth of a designated item
during the course of their fiscal year, or that
purchased at least $10,000 worth of a
procurement item during the preceding fiscal year,
are subject to these procurement requirements.
V-4
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Miscellaneous Statutory Provisions
SECTION V
Chapter 7: Federal Procurement Requirements
The Statute requires EPA to identify products
that are or can be made from recovered materials,
and to make recommendations concerning the
procurement of items containing recovered
materials. Procuring agencies can use these
guidelines to meet these statutory requirements.
Comprehensive Procurement Guidelines
EPA designates items in a Comprehensive
Procurement Guideline (CPG), which is updated
annually. Currently there are 36 items designated
within eight product categories (see Figure V-1).
These product categories are:
Paper and Paper Products
Vehicular Products
Construction Products
Transportation Products
Park and Recreation Products
Landscaping Products
Nonpaper Office Products
Miscellaneous Products.
Recovered Materials Advisory Notice
For each item designated in the CPG, EPA also
publishes a corresponding recovered content level
(see Figure V-2). These recovered material levels
are published in a Recovered Materials Advisory
Notice (RMAN). Procuring agencies can use these
levels as guidelines, but are encouraged to exceed
EPA's recommendations. EPA also provides
information on specifications for purchasing a
particular item and other pertinent purchasing
information.
Figure V-1: DESIGNATED PROCUREMENT ITEMS
Paper and Paper Products
All (except building and construction paper grades)
Vehicular Products
Engine Coolants
Rerefined Lubricating Oils
Retread Tires
Construction Products
Building Insulation Products
Polyester Carpet
Cement and Concrete Containing Coal Fly Ash and
Ground Granulated Blast Furnace Slag
Consolidated and Reprocessed Latex Paint
Floor Tiles
Laminated Paperboard
Patio Blocks
Shower and Restroom Dividers and Partitions
Structural Fiberboard
Transportation Products
Channelizers
Delineators
Flexible Delineators
Parking Stops
Traffic Barricades
Traffic Cones
Park and Recreation Products
Plastic Fencing
Playground Surfaces
Running Tracks
Landscaping Products
Garden and Soaker Hoses
Hydraulic Mulch
Lawn and Garden Edging
Yard Trimmings Compost
Nonpaper Office Products
Binders
Office Recycling Containers
Office Waste Receptacles
Plastic Desktop Accessories
Plastic Envelopes
Plastic Trash Bags
Printer Ribbons
Toner Cartridges
Miscellaneous Products
Pallets
V-5
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SECTION V
Miscellaneous Statutory Provisions
Chapter 7: Federal Procurement Requirements
Figure V-2:
SAMPLE RECOVERED MATERIALS ADVISORY NOTICE CONTENT LEVEL SPECIFICATION
Postconsumer materials are materials
or finished products that have served
their intended uses and have been
discarded for disposal or recovery,
having completed their lives as
consumer items. For example, EPA
recommends that 60-100%, of the 90-
100% recovered plastic that EPA
recommends for plastic fencing, should
originate from the recycling of
postconsumer plastic.
Total recovered materials content
refers to the total percentage of
recovered materials that EPA
recommends fora designated item.
For example, EPA recommends that
procuring agencies purchase plastic
fencing that contains 90-100%
recovered plastic.
Recommended Recovered Materials Content Levels
for Fencing Containing Recovered Plastic
Material
Postconsumer
content (%)
Total
recovered
materials
content (%)
Plastic 60-100
90-100
EPA's recommendation does not preclude a procuring agency from purchasing fencing that is manufactured
from another material, such as wood. The procurement guidelines simply require that a procuring agency,
when purchasing plastic fencing, purchase this item made with recovered materials to the extent possible.
Procurement Program
If an agency meets the definition of a
procuring agency and is purchasing a certain
dollar amount of a designated item, that agency is
required to purchase items with recovered
content to the maximum extent possible. Within
one year after EPA designates an item, procuring
agencies must revise their product specifications to
require the use of recovered materials and to
eliminate administrative barriers to the use of
materials with recovered content, such as
removing purchasing provisions that prohibit the
use of recovered materials or require the exclusive
use of virgin materials.
Not all procuring agencies will be able to
purchase the designated items with recovered
content. In some instances, such agencies will
need to purchase items that do not contain the
minimum recovered content. The Statute
provides, however, that procuring agencies need
not purchase designated items if the designated
items will not be available within a reasonable
period of time, will not meet the agency's
reasonable performance standards, or will not be
available at a reasonable price. EPA, however,
encourages such agencies to try to purchase
designated items with recovered content to the
extent practicable.
Each procuring agency must develop an
affirmative procurement program for each
designated item, setting forth the agency's policies
and procedures for implementing the
requirements.
V-6
-------
Miscellaneous Statutory Provisions
SECTION V
Chapter 7: Federal Procurement Requirements
EXECUTIVE ORDER 12873
When RCRA established the federal procurement
program, EPA was required to follow the formal
rulemaking process in order to designate an item and
establish minimum content levels. After this
rulemaking process, these items were formally
codified in the CFR. Because of the length of this
rulemaking process, from 1980 to 1993, EPA had
only designated five items for the procurement
program. In order to streamline this process,
President Clinton signed Executive Order 12873 in
1993 to require EPA to change the process to allow
more items to be designated faster. This change led
to the CPG and RMAN.
The affirmative procurement program consists
of four parts:
Preference program
Promotion program
Estimation, certification, and verification
program
Monitoring and review program.
Preference Program
The preference program is a means by which
an agency can show its preference for products
made with recovered materials. It may consist of
established minimum content standards, a case-
by-case approach when the minimum content
standard is inappropriate, or an equivalent
alternative. Minimum content standards specify
the minimum amount of recovered materials that
designated items should contain. Agencies can
adopt these standards on an agency-wide basis for
all procurement actions. Case-by-case policy
development allows the procuring agency to
establish a separate recovered materials content
requirement for a specific procurement action,
while still enabling the agency to procure other
designated products with the highest amount of
recovered materials practicable. The procuring
agency can also choose an alternative that is
equivalent to either of these options, such as
contracting for recycling of spent engine coolant.
Promotion Program
Through the promotion program, the agency
must actively promote its desire to buy recycled
products, both internally within the agency and
externally to product vendors. Internal promotion
usually is a broad-based employee education
program that affirms an agency's procurement
policy through advertising, workshops, agency
newsletters, and technical and staff manuals.
Examples of external promotion include
publishing articles in trade journals, participating
in vendor shows or trade fairs, placing statements
in bid solicitations, and discussing an agency's
procurement policy at bidders' conferences.
Estimation, Certification, and Verification
Program
The estimation, certification, and verification
program establishes procedures for obtaining
estimates and certifications, and where
appropriate, reasonably verifying the amount of
recovered materials content utilized in the
performance of a contract.
Monitoring and Review Program
The monitoring and review program requires
agencies to monitor affirmative procurement
programs to ensure that they are fulfilling their
requirements to purchase items composed of
recovered materials.
Compliance
Once EPA designates an item in the CPG, the
responsibility for complying with the procurement
program rests with the procuring agency. There
are no provisions in the Statute for federal
enforcement of the guidelines. On the other
V-7
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SECTION V
Miscellaneous Statutory Provisions
Chapter 7: Federal Procurement Requirements
hand, RCRA §7002 citizen suit provisions allow
citizens to sue in U.S. District Court to seek relief
against any person alleged to be in violation of the
requirements of the Act, including the
procurement requirements. (Citizen suit
provisions are fully discussed in Section III,
Chapter 10.)
SUMMARY
In order to further RCRA's resource,
conservation, and recovery goals, EPA established
provisions to promote recycling and market
development. RCRA created federal procurement
requirements to create a significant demand for
products with recovered content, boost
manufacturing of such products, and encourage
the private sector to purchase such goods as well.
The procurement requirements apply to
procuring agencies that purchase $10,000 or more
worth of a designated item during the course of
their fiscal year, or that purchased at least $10,000
worth of a procurement item during the preceding
fiscal year.
Procuring agencies are defined as:
Federal government departments or agencies
State government agencies that use
appropriated federal funds for procurement of
a designated item
Local government agencies that use
appropriated federal funds for procurement of
a designated item
Government contractors that work on a
project funded by appropriated federal funds,
with respect to work performed under the
contract.
The federal procurement program sets
minimum recovered materials content standards
for certain designated items and requires
procuring agencies to purchase those items
composed of the highest percentage of recovered
materials practicable. EPA designates these items
in the CPG and specifies minimum recovered
content levels in an RMAN.
Each procuring agency must develop an
affirmative procurement program for each
designated item, setting forth the agency's policies
and procedures for implementing the
requirements. This program consists of four parts:
Preference program
Promotion program
Estimation, certification, and verification
program
Monitoring and review program.
-------
Miscellaneous Statutory Provisions
SECTION V
Chapter 2: Medical Waste Regulations
CHAPTER 2
MEDICAL WASTE REGULATIONS
In this chapter...
Overview V-9
What is Medical Waste? V-9
Medical Waste vs. Hazardous Waste V-10
The Demonstration Program V-10
- Generators V-11
- Transporters V-11
- Treatment, Destruction, and Disposal
Facilities V-12
Interstate Shipments V-12
Reports to Congress V-12
Current Requirements V-13
Summary V-13
New York, Rhode Island, and the Commonwealth
of Puerto Rico all participated in the two-year
tracking program. For purposes of this program,
they were known as covered states. This
demonstration program began June 22, 1989 and
ended June 22, 1991. Currently, the program is
expired and no federal medical waste tracking and
management regulations are in effect. As a result,
the provisions in Part 259 have been removed
from the CFR. States, however, have become
active in managing medical waste and a majority
have developed programs similar to the federal
model. This chapter will discuss what was
considered medical waste under the two-year
demonstration program.
OVERVIEW
During the summer of 1988, syringes and
other used medical materials washed up on
beaches along the Atlantic seaboard. In response
to public concern about this problem, Congress
enacted the Medical Waste Tracking Act in
November 1988, which added medical waste
tracking provisions in RCRA Subtitle J. The
Medical Waste Tracking Act directed EPA to
establish a two-year demonstration program for
the tracking and management of medical waste.
Under this statutory authority, EPA codified
regulations in 40 CFR Part 259 identifying the
medical wastes to be tracked and creating
management standards for handlers of medical
waste. The States of Connecticut, New Jersey,
WHAT WAS MEDICAL WASTE?
Medical waste included:
Cultures and stocks of infectious
agents
Human pathological wastes (e.g.,
tissues, body parts)
Human blood and blood
products
Used sharps (e.g.,
hypodermic needles and
syringes used in animal or
human patient care) v
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SECTION V
Miscellaneous Statutory Provisions
Chapter 2: Medical Waste Regulations
Certain animal wastes
Certain isolation wastes (e.g., wastes from
patients with highly communicable diseases)
Unused sharps (e.g., suture needles, scalpel
blades, hypodermic needles).
For purposes of the demonstration program,
the definition of medical waste excluded
household waste. In addition, residues from
treatment and destruction processes, or from the
incineration of regulated medical wastes, were not
considered medical
waste, nor were
I human remains
intended to be buried
or cremated. Etiologic
agents (i.e., infectious
substances) being shipped
pursuant to other federal regulations,
and samples of medical waste that were
shipped for enforcement purposes were exempt
from the 40 CFR Part 259 requirements.
MEDICAL WASTE VS. HAZARDOUS
WASTE
Because medical wastes met the RCRA
regulatory definition of solid waste, these wastes
were also subject to the Subtitle C hazardous
waste characterization. In other words, once a
facility identified a waste as a medical waste, it
then had to determine if this waste was also listed
or characteristic. (The hazardous waste
identification process is fully discussed in Section
III, Chapter 1.) If medical waste was a hazardous
waste, it was subject to the Subtitle C hazardous
waste requirements. When the Subtitle J medical
waste tracking standards were in place, such
hazardous medical wastes were excluded from the
tracking requirements and were subject to those
requirements in RCRA Subtitle C (see Figure V-3).
Figure V-3:
MEDICAL WASTE VS. HAZARDOUS WASTE
Medical waste,
which was neither
listed nor
characteristic
Medical waste,
which was also
listed or
characteristic
Hazardous waste,
which was listed or
characteristic, but not
a medical waste
RCRA Subtitle J
RCRA Subtitle C
RCRA Subtitle C
If medical waste was neither listed nor characteristic, it was
subject to regulation as medical waste under RCRA Subtitle J.
If medical waste was also listed or characteristic, it was subject
to regulation as hazardous waste under RCRA Subtitle C.
THE DEMONSTRATION PROGRAM
The medical waste tracking demonstration
program set up provisions for tracking medical
waste from the generator to the disposal site,
similar to Subtitle C's hazardous waste manifest
system. The program was designed to ensure
proper handling, tracking, and disposal of medical
waste. The system required that a tracking form
accompany the waste and a signed copy be
retained by the generator, each transporter,
transfer station,
and the treatment,
destruction, and
disposal facility
that handled the
waste. When the
final disposal
facility accepted
the waste a copy
of the signed
tracking form was
returned to the
generator.
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Miscellaneous Statutory Provisions
SECTION V
Chapter 2: Medical Waste Regulations
Through this process the generator was assured
that the waste was actually received for disposal.
The tracking program also included exception and
discrepancy reporting to alert EPA and the states if
wastes were not being handled properly.
To minimize
contact with
medical wastes by
workers, handlers,
and the public, the
program also
included specific
requirements for
segregation,
packaging,
labeling, marking, and storing of medical wastes
before they were shipped to another site for
treatment, destruction, or disposal.
The demonstration program focused on three
groups of medical waste handlers:
Generators
Transporters
Treatment, destruction, and disposal facilities.
Generators
A medical waste generator was any person
whose act or processes produced medical waste
or caused medical waste to become subject to
regulation. These tracking provisions applied to
persons or facilities that generated 50 pounds or
Q I
more of medical waste in a month and shipped
such waste off site. These generators were
required to separate, package, label, mark, and
track medical wastes according to the regulations.
Generators producing and shipping less than 50
pounds a month were required to prepare their
wastes properly for shipment, but could use a log
to account for wastes instead of a tracking form.
With the exception of medical waste burned
in on-site incinerators, generators who disposed of
medical wastes on site or in a sewer system were
not covered by the requirements of this program.
Similarly, wastes that were treated and destroyed
or disposed of on site or in sewers were not
counted as part of the 50-pound monthly total.
Generators burning waste in on-site incinerators
were required to report the volume of waste
burned. All medical wastes, even those that were
to be treated, destroyed, and disposed of on site,
were required to be stored properly.
These provisions applied to medical wastes
generated by federal facilities in covered states.
These provisions also applied to ships and ocean
vessels that brought medical wastes to shore by
docking in a covered state.
Transporters
A medical waste transporter was any person
engaged in the off-site transportation of medical
waste by air, rail, highway, or water. Transporters
were required to notify EPA of their intent to
comply with the tracking program before they
could accept medical waste for transport.
Transporters were required to follow rules
governing the transport, tracking, recordkeeping,
and reporting of waste shipments. They were also
required to make sure that the wastes they
accepted for transport had been properly
prepared for shipping and that the tracking form
was accurate.
V-ll
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SECTION V
Miscellaneous Statutory Provisions
Chapter 2: Medical Waste Regulations
Treatment, Destruction, and Disposal
Facilities
Treatment facilities were facilities that changed
the biological character or composition of medical
waste to substantially reduce or eliminate its
potential for causing disease. Destruction facilities
were facilities that destroyed medical waste by it,
mutilating it, or tearing it apart to render it less
infectious and unrecognizable as medical waste.
Once medical waste was properly treated and
destroyed, it no longer needed to be tracked.
These treatment and destruction facilities included
incinerators and treatment operations that ground,
steam-sterilized, or treated the waste with
disinfectants, heat, or radiation. Disposal facilities
were facilities where medical waste was placed in
or on the land (e.g., landfills).
The demonstration program did not regulate
the operation of these treatment, destruction, and
disposal processes, but rather required tracking
from generation to disposal and recordkeeping.
When the wastes were accepted for disposal,
these facilities had to send a signed copy of the
tracking form back to the generator or initiator of
the tracking form. The facility owners and
operators were required to investigate any
discrepancies between the accompanying papers
and the shipments they received. If after
investigation there was still a discrepancy, they
were required to report to EPA and the generator's
state agency. Once treated and destroyed,
however, such wastes were no longer subject to
the tracking requirements.
INTERSTATE SHIPMENTS
While only the States of Connecticut, New
Jersey, New York, Rhode Island, and the
Commonwealth of Puerto Rico participated in the
tracking program, the medical waste tracking
provisions also applied when shipments
SHIPMENTS TO STATES NOT PARTICIPATING
IN THE DEMONSTRATION PROGRAM
While only the Commonwealth of Puerto Rico and the
States of Connecticut, New Jersey, New York, and
Rhode Island participated in the tracking program, the
medical waste tracking provisions also applied when
shipments originating in these covered states were
transported to states that did not participate in the
program.
originating in these covered states were
transported to states that did not participate in the
program.
According to the provisions of the tracking
program, if medical waste was generated in a
covered state, any subsequent handling by a
transporter or treatment, destruction, and disposal
facility in that state, another covered state, or a
noncovered state was subject to the tracking
provisions. For example, if a medical waste was
generated in New Jersey (a covered state) and
transported by truck to Pennsylvania (a
noncovered state) for treatment and disposal, the
waste would still be subject to the medical waste
tracking provisions since the waste was originally
generated in a covered state.
REPORTS TO CONGRESS
The Medical
Waste Tracking
Act also required
EPA to submit
two interim
reports and a
final report on
medical waste
management and
the
demonstration
program to
Congress. The
information
REPORT TO CONGRESS:
MEDICAL WASTE
V-12
-------
Miscellaneous Statutory Provisions
SECTION V
Chapter 2: Medical Waste Regulations
gathered during the demonstration program will
be used to determine whether such a program
should be extended nationwide and what other
options are available for medical waste
management. The first and second interim reports
were released in 1990; the final report is still
under development.
CURRENT REQUIREMENTS
While medical waste is not regulated under
the current federal RCRA regulations, there are
federal requirements for medical waste under
CAAand FIFRA.
In 1997, under CAA, EPA established new
source performance standards (NSPS) and
emissions guidelines to reduce air emissions from
new and existing hospital, infectious, and medical
waste incinerators. These guidelines also
established standards for incinerator operator
training and qualification, equipment inspections,
and siting. In 1997, EPA estimated that there
were approximately 2,400 such incinerators in
operation in the United States that combust
approximately 846,000 tons of medical and
infectious waste annually.
Under FIFRA, antimicrobial pesticides and
disinfectants used in medical waste treatment
technologies must be registered with EPA.
SUMMARY
Congress enacted the Medical Waste Tracking
Act in November 1988, which added medical
waste tracking provisions to RCRA Subtitle J. The
Act directed EPA to establish a two-year
demonstration program for the tracking of medical
waste. The States of Connecticut, New Jersey,
New York, Rhode Island, and the Commonwealth
of Puerto Rico all participated in the tracking
program. This demonstration program began June
22, 1989 and ended June 22, 1991. Currently,
the program is expired and no federal tracking
regulations are in effect. States, however, have
become active in managing medical waste and
many have developed programs similar to the
federal model.
Medical wastes included:
Cultures and stocks of infectious agents
Human pathological wastes (e.g., tissues, body
parts)
Human blood and blood products
Used sharps (e.g., hypodermic needles and
syringes used in animal or human patient care)
Certain animal wastes
Certain isolation wastes (e.g., wastes from
patients with highly communicable diseases)
Unused sharps (e.g., suture needles, scalpel
blades, hypodermic needles).
The medical waste demonstration program set
up provisions for tracking the waste from the
generator to the disposal site, similar to Subtitle
C's hazardous waste manifest system.
The demonstration program focused on three
groups of medical waste handlers:
Generators
Transporters
Treatment, destruction, and disposal facilities.
The medical waste tracking provisions also
applied when shipments originating in states
covered by the program were transported to states
that did not participate in the program.
V-13
-------
SECTION V
Miscellaneous Statutory Provisions
Chapter 2: Medical Waste Regulations
The Medical Waste Tracking Act also required
EPA to submit two interim reports and a final
report on medical waste management and the
demonstration program to Congress. The first and
second interim reports were released in 1990, the
final report is still under development.
While medical waste is not regulated under
the current federal RCRA regulations, there are
federal requirements for medical waste under
CAA for medical waste incinerators and under
FIFRA for pesticides and disinfectants used in
medical waste treatment technologies.
V-14
-------
SECTION VI
RCRA AND ITS RELATIONSHIP TO OTHER
ENVIRONMENTAL STATUTES
In this section...
Overview VI-1
Chapter 1: Legislative Framework for
Addressing Hazardous Waste
Problems VI-3
Chapter 2: Superfund: The Hazardous
Waste Cleanup Program VI-11
OVERVIEW
EPA's mission is to protect human health and
the environment. In order to further this mission,
Congress has enacted many environmental laws to
address releases, or threats of releases, of
hazardous constituents. An understanding of
these laws is necessary to determine where RCRA
fits into the national environmental protection
program established by Congress and
implemented by EPA. Each environmental statute
has its own particular focus, whether it is
controlling the levels of pollutants introduced into
a single environmental medium (i.e., air, soil, or
water) or addressing a specific area of concern,
such as pesticides or waste cleanup.
While the segmentation of environmental
issues simplifies the drafting of legislation, it
complicates the implementation of environmental
protection regulations. The media-, practice-, and
chemical-specific boundaries established in the
nation's environmental statutes are often artificial.
Many different types of practices may be
responsible for the release into the environment of
the same contaminant. Moreover, individual
contaminants are not confined to specific media
(see Figure VI-1). Volatile organic compounds,
such as benzene or toluene can be released into
and contaminate the air, soil, and water.
Additionally, uncontrolled pollutants may travel
long distances by natural means and change
physically, affecting multiple media. Therefore, a
media- or contaminant-specific approach cannot
fully address the magnitude and complexities of
the waste management problem. This section
introduces each of these environmental protection
statutes and highlights their differences from
RCRA.
Many of these statutes interact closely and
even overlap with RCRA. In order to avoid
overregulation of industry and coordinate
environmental protection laws, Congress required
that EPA, when promulgating RCRA regulations,
ensure consistency with and avoid duplication of
regulatory provisions promulgated under other
environmental statutes.
One statute in particular, CERCLA or
Superfund, has a close-fitting relationship with
RCRA. Both programs are similar in that their
primary purpose is to protect human health and
the environment from the dangers of hazardous
VI-1
-------
SECTION VI
RCRA and its Relationship to Other Environmental Statutes
Figure VI-1: MULTI-EXPOSURE PATHWAYS
waste. However, these statutes address the
hazardous waste problem from two fundamentally
different approaches:
RCRA has a regulatory focus and authorizes
control over the management of wastes from
the moment of generation until final disposal.
CERCLA has a response focus. Whenever
there has been a breakdown in the waste
management system (e.g., a release or a
potential threat of a release of a hazardous
substance, pollutant, or contaminant),
CERCLA authorizes cleanup actions.
Considering the close relationship and
similarities between RCRA and CERCLA, this
section will closely examine the CERCLA
regulatory program and its interaction with RCRA.
This section consists of two chapters:
Legislative Framework for Addressing
Hazardous Waste Problems Outlines the
environmental statutes designed to protect
human health and the environment from
exposure to hazardous waste and
contaminants and highlights their major
interactions with RCRA
Superfund: The Hazardous Waste Cleanup
Program Focuses on one crucial aspect of
this legislative framework, the CERCLA
hazardous waste cleanup program and its
interactions with RCRA.
VI-2
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RCRA and its Relationship to Other Environmental Statues
SECTION VI
Chapter 7: Legislative Framework for Addressing Hazardous Waste Problems
CHAPTER 1
LEGISLATIVE FRAMEWORK FOR ADDRESSING
HAZARDOUS WASTE PROBLEMS
In this chapter...
Overview VI-3
Environmental Statutes VI-3
- Clean Air Act VI-3
- Clean Water Act VI-4
- Emergency Planning and Community
Right-to-Know Act VI-5
- Federal Insecticide, Fungicide, and
Rodenticide Act VI-6
- Marine Protection, Research, and
Sanctuaries Act VI-6
- Occupational Safety and Health Act VI-6
- Safe Drinking Water Act VI-7
- Toxic Substances Control Act VI-7
Summary VI-9
OVERVIEW
The legislation that serves as the basis for
managing hazardous wastes can be divided into
two categories:
Media-specific statutes that limit and monitor
the amount of wastes introduced into the air,
waterways, oceans, and drinking water
Other statutes that directly limit the
production, rather than the release, of
chemical substances and products that may
contribute to the nation's wastes.
This chapter summarizes each statute and
highlights its interaction with RCRA (see Figure
VI-2).
ENVIRONMENTAL STATUTES
In order to adequately protect human health
and the environment from exposure to hazardous
waste and contaminants, Congress enacted several
regulatory programs to protect the nation's air and
water resources, as well as ensure the safety of
public health.
Clean Air Act
The Clean Air Act limits the emission of
pollutants into the atmosphere in order to protect
human health and the environment from the
effects of airborne pollution. For six criteria
pollutants (sulfur dioxide, particulate matter,
nitrogen dioxide, carbon monoxide, ozone, and
lead), EPA
established
National Ambient
Air Quality
Standards
(NAAQS).
Regulation of
these criteria
pollutants affords
the public some
protection from
toxic air pollutants.
VI-3
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SECTION VI
RCRA and its Relationship to Other Environmental Statutes
Chapter 7: Legislative Framework for Addressing Hazardous Waste Problems
Congress also mandated that CAA control
emissions from specific industrial sources. Using
this statutory authority, EPA designated hazardous
air pollutants and set National Emission
Standards for Hazardous Air Pollutants
(NESHAPs). Primary responsibility for
implementing both the NAAQS and NESHAP
requirements rests with states.
The major interactions between RCRA and
CAA include the following:
Hazardous waste combustion facilities may be
subject to permitting requirements under both
CAA and RCRA. EPA is developing a rule to
eliminate overlapping regulation of these
combustion facilities by setting one integrated
set of standards to fulfill the requirements of
both laws (as discussed in Section III, Chapter
7).
Air emissions from incinerators and other
types of TSDFs regulated under RCRA must
comply with applicable ambient air quality
standards and emission limitations of CAA.
EPA has also developed air emission
regulations for TSDFs and LQGs under RCRA
(40 CFR Parts 264/265, Subparts AA, BB, and
CC) (as discussed in Section III, Chapter 5).
However, these RCRA regulations have been
amended to minimize, to the extent possible,
any overlap with CAA regulations.
While medical waste is not subject to federal
RCRA regulation (as discussed in Section V,
Chapter 2), air emissions from new and
existing hospital, infectious, and medical waste
incinerators are subject to NSPS and emissions
guidelines under CAA.
Extraction of pollutants from air emissions
using CAA controls (e.g., scrubbers) can create
hazardous wastes or sludges containing such
wastes. Disposal of these materials must
comply with RCRA.
Clean Water Act
The Clean Water Act imposes pollutant
limitations for all discharges of wastewater from
identifiable ("point") sources into the nation's
waterways. These discharges are defined as either
direct discharges, indirect discharges, or zero
discharges.
Direct discharges are discharges from "point
sources" into surface water pursuant to a NPDES
permit. NPDES permits are granted on a case-by-
case basis and limit the permissible concentration
of toxic constituents or conventional pollutants in
effluents discharged to a waterway. These limits
are generally established on the basis of the best
available treatment technology and, where
necessary, to protect surface water quality
standards.
Under indirect discharges, the wastewater is
first sent to a POTW, and then after treatment by
the POTW, discharged pursuant to an NPDES
permit. Under these requirements, the generator
of the wastes cannot simply transfer the waste
materials to a POTW. Rather, the wastes must
satisfy applicable treatment and toxic control
requirements known as pretreatment standards,
where they exist. POTWs that receive hazardous
wastes for treatment are also subject to certain
RCRA permit-by-rule requirements (as discussed
in Section III, Chapter 8), and remain subject to
RCRA corrective action.
Zero discharges mean that the wastewater is
not being discharged to a navigable water, but
rather is being land disposed (e.g., through spray
irrigation) or are disposed by underground
injection. Zero discharge facilities are subject to
federal or state regulatory limitations that are as
strict as those that apply to direct and indirect
dischargers.
CWA also includes provisions intended to
prevent oil spills into the navigable waters of the
United States. These Spill Prevention, Control,
VI-4
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RCRA and its Relationship to Other Environmental Statues
SECTION VI
Chapter 7: Legislative Framework for Addressing Hazardous Waste Problems
and Countermeasures regulations establish spill
prevention procedures and equipment
requirements for nontransportation-related
facilities with certain aboveground or
underground oil storage capacities that could
reasonably be expected to discharge oil into or
upon the navigable waters of the United States or
adjoining shorelines. The SPCC regulations
provide a basic framework for operational
procedures, containment requirements, and spill
response procedures.
The major interactions between RCRA and
CWA include the following:
Sludge resulting from wastewater treatment
and pretreatment under CWA must be
handled as a RCRA waste under Subtitle C, if
hazardous.
Discharges to surface waters from a RCRA-
permitted facility must comply with the
limitations set forth in a NPDES permit. This
means that either the facility itself has
obtained an NPDES permit, or the wastes
meet CWA pretreatment standards and have
been transported to a POTW.
USTs that are subject to the technical
requirements of RCRA's UST program may
also be subject to CWA SPCC requirements.
Emergency Planning and Community
Right-to-Know Act
Congress amended CERCLA in 1986 with the
enactment of the Superfund Amendments and
Reauthorization Act. These amendments
improved the Superfund program and added an
important section that focused on strengthening
the rights of citizens and communities in the face
of potential hazardous substance emergencies.
This section, SARA Title III, or the Emergency
Planning and Community
Right-to-Know Act,
was enacted in
response to
the more
than 2,000
deaths
caused by
the release
of a toxic chemical
in Bhopal, India.
EPCRA is intended to help communities
prepare to respond in the event of a chemical
emergency, and to increase the public's
knowledge of the presence and threat of
hazardous chemicals. To this end, EPCRA requires
the establishment of state and local committees to
prepare communities for potential chemical
emergencies. The focus of the preparation is a
community emergency response plan that must:
1) identify the sources of potential emergencies; 2)
develop procedures for responding to
emergencies; and 3) designate who will
coordinate the emergency response.
EPCRA also requires facilities to notify the
appropriate state and local authorities if releases of
certain chemicals occur. Facilities must also
compile specific information about hazardous
chemicals they have on site and the threats posed
by those substances. Some of this information
must be provided to state and local authorities.
More specific data must be made available upon
request from those authorities or from the general
public.
The primary interaction between RCRA and
EPCRA is that some RCRA TSDFs treating
hazardous waste are required to submit annual
reports to EPA of their releases of chemicals to air,
land, and water.
VI-5
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SECTION VI
RCRA and its Relationship to Other Environmental Statutes
Chapter 7: Legislative Framework for Addressing Hazardous Waste Problems
Federal Insecticide, Fungicide, and
Rodenticide Act
The Federal Insecticide, Fungicide, and
Rodenticide Act provides procedures for the
registration of pesticide products to control their
introduction
into the
marketplace.
As such, its
regulatory focus is
different from most of the
, - ; statutes discussed in this
chapter. While the other
"t statutes attempt to minimize
1 and manage waste by-products
" at the end of the industrial
process, FIFRA controls whether
(and how) certain products are
manufactured or sold in the first
place.
FIFRA imposes a system of pesticide product
registrations. Such requirements include pre-
market review of potential health and
environmental effects before a pesticide can be
introduced in the United States, reregistration of
products introduced prior to the enactment of
FIFRA to assess their safety in light of current
standards, and classification of pesticides for
restricted or general use. Restricted products can
be used only by those whose competence has
been certified by a state program.
The major interactions between RCRA and
FIFRA include the following:
FIFRA controls limit the level of toxic
pesticides that are produced, and thereby
reduce the amount of waste that needs to be
managed under RCRA.
FIFRA requires the registration of pesticides
and disinfectants used in medical waste
treatment technologies (as discussed in
Section V, Chapter 2).
Marine Protection, Research, and
Sanctuaries Act
The Marine Protection, Research, and
Sanctuaries Act requires a permit for any material
that is transported from a U.S. port or by a U.S.
vessel for deposition at sea.
The major interaction with RCRA is that
MPRSA prevents waste from a RCRA generator or
TSDF from being deposited into the ocean, except
in accordance with a separate MPRSA permit.
Occupational Safety and Health Act
The mission of the Occupational Safety and
Health Act is to save lives, prevent injuries, and
protect the health of employees in the workplace.
OSHA accomplishes these
goals through several
regulatory requirements
including the Hazard
Communication Standard
(HCS), and the Hazardous
Waste Operations and Emergency Response
Worker Protection Standard (HAZWOPER).
The HCS was promulgated to provide workers
with access to information about the hazards and
identities of the chemicals they are exposed to
while working, as well as the measures they can
take to protect themselves. OSHA's Hazard
Communication Standard requires employers to
establish hazard communication programs to
transmit information on the hazards of chemicals
to their employees by means of labels on
containers, material safety data sheets, and
training programs.
CAUTION
WEAR APPROVED
BREATHING APPARATUS
BEYOND THIS POINT
VI-6
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RCRA and its Relationship to Other Environmental Statues
SECTION VI
Chapter 7: Legislative Framework for Addressing Hazardous Waste Problems
SAFETY
FIRST
WEAR YOUR
GOGGLES
The Hazardous Waste
Operations and Emergency
Response Worker Protection
Standard was developed to protect
the health and safety of workers
engaged in operations at hazardous
waste sites, hazardous waste treatment facilities,
and emergency response locations. HAZWOPER
covers issues such as training, medical
surveillance, and maximum exposure limits.
The major interactions between RCRA and
OSHA include the following:
Hazardous waste generators and TSDFs may
need to comply with OSHA training and
planning standards, in addition to RCRA
requirements.
HAZWOPER regulations may be applicable to
RCRA corrective action cleanup activities, and
to hazardous waste operations at generator
facilities and TSDFs.
Safe Drinking Water Act
The Safe Drinking Water Act protects the
nation's drinking water supply by establishing
national drinking water standards (MCLs or
specific treatment techniques), and by regulating
UIC wells. The UIC program bans some types of
underground disposal of RCRA hazardous wastes.
With some exceptions, other materials cannot be
injected underground without a UIC permit.
The major interactions between RCRA and
SDWA include the following:
MCLs may be adopted by the RCRA program
as cleanup standards for corrective action.
Selected MCLs are also used under the RCRA
ground water monitoring program for land
disposal units.
RCRA also contains provisions parallel
to SDWA that prohibit the underground
injection of hazardous wastes, unless
such wastes have been treated to meet
their respective LDR treatment standards
(as discussed in Section III, Chapter 6).
RCRA also contains a ban on any injection of
hazardous waste into "shallow" wells.
Toxic Substances Control Act
The primary focus of the Toxic Substances
Control Act is similar to that of FIFRA in that the
statute provides authorities to control the
manufacture and sale of certain chemical
substances. These requirements include testing of
chemicals that are currently in commercial
production or use, pre-market screening and
regulatory tracking of new chemical products, and
controlling
unreasonable
risks once a
chemical
substance is
determined to
have an
adverse effect
on health or
the
environment.
TSCA controls on such
unreasonable risks includes prohibiting the
manufacture or certain uses of the chemical,
requiring labeling, limiting volume of production
or concentration, requiring replacement or
repurchase of products, and controlling disposal
methods.
The major interactions between RCRA and
TSCA include the following:
TSCA has a direct effect on RCRA through
controls on the disposal methods of certain
chemicals, such as PCBs. For example, while
VI-7
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SECTION VI
RCRA and its Relationship to Other Environmental Statutes
Chapter 7: Legislative Framework for Addressing Hazardous Waste Problems
Figure VI-2: MAJOR RCRA INTERACTIONS WITH OTHER ENVIRONMENTAL LAWS
CAA RCRA hazardous waste combustion facilities are subject to CAA permit requirements
Air emissions from RCRA incinerators and other TSDFs must comply with applicable CAA NAAQS and
emission limitations
Pollutants and sludges extracted from CAA air emissions control devices are subject to RCRA hazardous
waste regulations if hazardous
Hospital, infectious, and medical waste incinerators are subject to NSPS and emissions guidelines under
CAA
CWA Sludges resulting from CWA wastewater treatment and pretreatment are subject to RCRA hazardous
waste regulations if hazardous
Discharges from RCRA-permitted facilities must comply with the limitations set forth in NPDES permits
RCRA-regulated USTs may also be subject to CWA SPCC requirements
EPCRA Some RCRA TSDFs must submit annual reports to EPA detailing releases of chemicals to air, land, and
water
FIFRA FIFRA controls limit the level of toxic pesticides that are produced, and thereby reduce the amount of
waste that needs to be managed as hazardous under RCRA
FIFRA requires the registration of pesticides and disinfectants used in medical waste treatment
technologies
MPRSA MPRSA prevents waste from a RCRA generator or TSDF from being deposited into the ocean, except in
accordance with a separate MPRSA permit
OSHA RCRA hazardous waste generators and TSDFs may need to comply with OSHA training and planning
standards
RCRA cleanup activities and hazardous waste operations at generator facilities and TSDFs may need to
comply with HAZWOPER regulations
SDWA MCLs may be adopted by the RCRA program as cleanup standards for corrective action
RCRA contains provisions parallel to SDWA that prohibit the underground injection of hazardous wastes,
unless such wastes have been treated to meet their respective LDR treatment standards
TSCA TSCA controls on the disposal methods of certain chemicals, such as PCBs, reduce the amount of waste
that needs to be managed as hazardous under RCRA
TSCA controls on the manufacture and use of certain chemical substances also reduce the amount of
waste that needs to be managed as hazardous under RCRA
-------
RCRA and its Relationship to Other Environmental Statues
SECTION VI
Chapter 7: Legislative Framework for Addressing Hazardous Waste Problems
TSCA regulates PCB disposal, RCRA also
regulates PCB disposal when the PCBs are
mixed with hazardous waste.
TSCA also regulates used oil that contains
quantifiable levels of PCBs.
TSCA's indirect effect on RCRA is the same as
FIFRA's. TSCA controls the manufacture and
use of certain chemical substances, which
limits the amount of waste that needs to be
managed under RCRA.
SUMMARY
Several major environmental statutes work
together to address hazardous waste problems.
These include media-specific statutes that limit the
amount of waste released into a particular
environmental medium, and other statutes that
directly control the production of certain products,
and protect workers managing hazardous wastes.
These statutes are:
Clean Air Act
Clean Water Act
Emergency Planning and Community Right-to-
Know Act
Federal Insecticide, Fungicide, and
Rodenticide Act
Marine Protection, Research, and Sanctuaries
Act
Occupational Safety and Health Act
Safe Drinking Water Act
Toxic Substances Control Act.
VI-9
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Page Intentionally Blank
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RCRA and its Relationship to Other Environmental Statues
SECTION VI
Chapter 2: Superfund: The Hazardous Waste Cleanup Program
CHAPTER 2
SUPERFUND: THE HAZARDOUS WASTE
CLEANUP PROGRAM
In this chapter...
Overview VI-11
Definitions VI-12
History and Purpose of CERCLA VI-12
Trigger for Statutory Response VI-13
Types of Response Actions VI-14
RCRA and Remedy Selection Under
CERCLA VI-15
RCRA Corrective Action vs. CERCLA
Response VI-15
Imminent Hazards Under RCRA and
CERCLA VI-17
Summary VI-17
OVERVIEW
This chapter focuses on the Comprehensive
Environmental Response, Compensation, and
Liability Act, which is a central part of the
legislative framework for environmental
protection. CERCLA is also known as Superfund.
CERCLA is designed to remedy the mistakes in
hazardous waste management made in the past,
while the RCRA waste management standards are
concerned with avoiding such mistakes through
proper management in the present and future.
RCRA mainly regulates how wastes should be
managed to avoid potential threats to human
health and the environment. CERCLA, on the
other hand, is relevant primarily when
mismanagement occurs or has occurred (i.e.,
when there has been a release or a substantial
threat of a release in the environment of a
hazardous substance, or of a pollutant or
contaminant, that presents an imminent and
substantial threat to human health). More
specifically, RCRA authorizes a general regulatory
program to manage all hazardous wastes from
cradle to grave (i.e., from generation to ultimate
disposal), while CERCLA authorizes a number of
government actions to remedy the conditions that
could result in a release or the effects of a release
itself. While the two programs use parallel, but
not identical, procedures, both RCRA and
CERCLA authorize EPA to act in the event of an
imminent hazard.
RCRA VS. CERCLA
RCRA mainly regulates how wastes
should be managed to avoid potential
threats to human health and the
environment. CERCLA, on the other
hand, comes into play primarily when
mismanagement occurs or has occurred
(i.e., when there has been a release or a
substantial threat of a release in the
environment of a hazardous substance or
of a pollutant or contaminant that presents
an imminent and substantial threat to
human health).
VI-11
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SECTION VI
RCRA and its Relationship to Other Environmental Statutes
Chapter 2: Superfund: The Hazardous Waste Cleanup Program
This chapter discusses why CERCLA was
enacted, summarizes some of the Statute's
authorities, and examines the major areas where
the CERCLA and RCRA programs interact.
DEFINITIONS
RCRA and CERCLA both address hazards to
the environment. However, CERCLA is the more
comprehensive statute. CERCLA hazardous
substances encompass RCRA hazardous wastes, as
well as other toxic pollutants regulated by CAA,
CWA, and TSCA. Thus, all RCRA hazardous
wastes may trigger CERCLA response actions when
released into the environment. RCRA
nonhazardous solid wastes, on the other hand, do
not trigger CERCLA response actions unless they
present an imminent and substantial danger as
pollutants or contaminants (see Figure VI-3).
Figure VI-3:
RELATIONSHIP BETWEEN
CERCLA HAZARDOUS SUBSTANCES
AND RCRA HAZARDOUS WASTES
Hazardous Substances
CERCLA
CERCLA hazardous substances encompass RCRA
hazardous wastes as well as other toxic pollutants
regulated by CAA, CWA, and TSCA. RCRA
nonhazardous solid wastes do not trigger CERCLA
response actions unless they present an imminent and
substantial danger to human health and the
environment as pollutants or contaminants.
In addition to hazardous substances, CERCLA
addresses pollutants and contaminants, which
are broadly defined to include any substance that
is reasonably anticipated to cause illness or
deformation in any organism. All three definitions
specifically exclude petroleum and natural gas.
HISTORY AND PURPOSE OF CERCLA
CERCLA was established in response to the
discovery, in the late 1970s, of a large number of
abandoned, leaking, hazardous waste dumps that
were threatening human health and
contaminating the environment. One of the best
known dumps was Love Canal in Niagara Falls,
New York, where a chemical company had buried
large amounts of hazardous waste in a canal
originally designed to transport water. After the
canal was capped with clay and soil, an
elementary school was built over the site, and the
city of Niagara Falls grew rapidly around it.
In the 1970s, an unusual number of
community residents (especially those who
attended the elementary school) developed
serious health problems. Moreover, the residents
complained of noxious fumes and of chemicals
oozing out of the ground. Subsequent
government investigations found extensive
contamination of the area, including ground water
supplies. In 1978, President Carter declared Love
Canal a federal disaster area, and most of the
residents in the area around the site were
relocated.
At the time, declaring the site a federal
disaster area was the only viable option available
to the federal government. RCRA did not provide
relief because the problem did not involve the
current or future management of wastes. Legal
actions against the responsible parties did not offer
a solution because such action was too time
consuming and costly. Unfortunately, subsequent
investigations indicated that the scope of the
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RCRA and its Relationship to Other Environmental Statues
SECTION VI
Chapter 2: Superfund: The Hazardous Waste Cleanup Program
SUPERFUND REAUTHORIZATION AND
TAXING AUTHORITY
SARA not only extended CERCLA for another five
years, but increased the Fund from $1.6 billion to
$8.5 billion. The taxing authority of SARA was to
expire on December 31, 1991; however, the
Omnibus Reconciliation Act of 1990 extended the
taxes without modification for four years, through
December 31, 1995. Separately, the Superfund
program was reauthorized, without changes to the
text of the Statute, until September 30, 1994, a
three-year extension from the expiration date of
the SARA authorization in 1991. Congress failed
to reauthorize the Superfund program before
September 30, 1994 (the end of the fiscal year),
however, the program is still operating because
funding continues to be appropriated to the
Superfund program. In the future, the Superfund
program may be reauthorized and the taxing
authority may be extended.
waste dump problem went far beyond Love
Canal, making the federal disaster relief option
impractical. In late 1980, Congress passed
CERCLA to address other uncontrollable
hazardous waste sites similar to Love Canal
throughout the country.
CERCLA, as originally enacted in 1980,
authorized a five-year program by the federal
government to perform the following primary
tasks:
Identify those sites where releases of
hazardous substances had already occurred or
might occur and posed a serious threat to
human health, welfare, or the environment
Take appropriate action to remedy those
releases
Force those parties responsible for the release
to pay for the cleanup actions.
To accomplish these tasks, CERCLA gave new
cleanup authority to the federal government,
created a $1.6 billion trust fund to pay for
government cleanup, and imposed cleanup
liability on those responsible. This "Super Fund"
consisted primarily of tax assessments on oil and
designated chemicals.
During the five-year period of the original
CERCLA program, two facts became increasingly
clear: the problem of abandoned hazardous waste
sites was more extensive than originally thought,
and its solution would be more complex and time
consuming. Unlike RCRA response actions where
the owner and operator of a site are known,
CERCLA may deal with environmental threats due
to activities conducted long ago, thus the
responsible party may be unknown, no longer in
existence (e.g., a defunct company), or unable to
pay. To address these additional concerns, SARA
not only extended CERCLA for another five years,
but increased the fund from a total of $1.6 billion
to $8.5 billion. SARA also established new
standards and schedules for site cleanup and also
created new programs for informing the public of
risks from hazardous substances in their
community and preparing communities for
hazardous substance emergencies.
TRIGGER FOR STATUTORY
RESPONSE
CERCLA response authorities are triggered by
a release or a substantial threat of release of
dangerous substances into the environment (e.g.,
a chemical spill from a tank truck accident or a
leak from a damaged drum). The release must
involve either:
A hazardous substance, as defined in the
Statute
OR
A pollutant or contaminant that may present
an imminent or substantial danger to public
health or welfare.
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RCRA and its Relationship to Other Environmental Statutes
Chapter 2: Superfund: The Hazardous Waste Cleanup Program
TYPES OF RESPONSE ACTIONS
Once a potential release has been discovered,
the information is entered into the
Comprehensive Environmental Response,
Compensation, and Liability Information System
(CERCLIS), a computerized database used to track
hazardous substance sites. After being entered
into CERCLIS, each site undergoes a preliminary
assessment (PA) to determine if the site poses a
potential hazard and whether further action is
necessary. If the threat is immediate, a removal
action may be conducted.
Removal actions are short-term cleanup
actions that usually address problems only at the
surface of a site. They are conducted in response
to an emergency situation (e.g., to avert an
explosion, to cleanup a hazardous waste spill, or
to stabilize a site until a permanent remedy can be
found). Removal actions are limited to 12 months
duration or $2 million in expenditures, although in
certain cases these limits may be extended.
Removals may occur at any point in time after the
PA has been conducted.
Remedial actions are longer-term response
actions that ultimately represent the final remedy
for a site and generally are more expensive and of
a longer duration than removals. This is because
the remedial actions are intended to provide
permanent solutions to hazardous substance
threats. It is possible that both removal and
remedial actions may be taken at the same site. In
the event that longer-term cleanup is necessary,
the site is referred to the remedial program for
further investigation and assessment.
If the PA reveals a contamination problem
exists, but does not pose an immediate threat that
warrants a removal, EPA will continue to study the
site during a site inspection (SI). Based on data
collected during the PA and the SI, EPA will
evaluate the site using the Hazard Ranking
System (MRS), a model and scoring system that
determines the relative risk to public health and
the environment posed by hazardous substances
in ground water, surface water, air, and soil. Only
those sites with a score of 28.5 (on a scale from 0
to 100) are eligible for placement on the National
Priorities List, EPA's priority hazardous substance
sites for cleanup. EPA only funds remedial actions
at hazardous waste sites on the NPL. As of
December 1997, there are over 1,200 sites either
on the NPL or proposed for inclusion. The
majority of sites on the NPL were listed based on
their MRS score. Under some circumstances, sites
may also be placed on the NPL by the state in
which the site is located or by the Agency for
Toxic Substances and Disease Registry (ATSDR).
Once a site is placed on the NPL, the remedial
process begins. The remedial process requires
EPA to design a community involvement plan that
will inform citizens of all remedial activities and
provide opportunities for public comment. A
remedial response has two main phases. The first
phase, the remedial investigation/feasibility
study (RI/FS), involves evaluating site conditions at
the site, defining any problems, and comparing
alternative site cleanup methods. After the
remedy has been selected, the decision is
documented in the record of decision (ROD).
The second phase, the remedial design/remedial
action (RD/RA), involves designing the chosen
cleanup and beginning construction.
Following the implementation of the remedy,
the state or the potentially responsible party
(PRP) assumes responsibility for the operation and
maintenance (O&M) of the site, which may
include such activities as ground water pump and
treat, and cap maintenance. Once EPA has
determined that all appropriate response actions
have been taken and cleanup goals have been
achieved, the site is deleted from the NPL through
a formal rulemaking process.
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RCRA and its Relationship to Other Environmental Statues
SECTION VI
Chapter 2: Superfund: The Hazardous Waste Cleanup Program
RCRA AND REMEDY SELECTION
UNDER CERCLA
CERCLA assures that remedies are based on
the cleanup standards and criteria that have been
established by other laws, such as CAA, CWA, and
RCRA. CERCLA specifically requires that on-site
remedies attain any legally applicable or relevant
and appropriate requirements (ARARs),
standards, criteria, or limitations under federal or
more stringent state environmental laws, including
RCRA, unless site-specific waivers are obtained.
This means, for example, that whenever a
remedial action involves on-site treatment,
storage, or disposal of hazardous waste, the action
must meet RCRA's technical standards for such
treatment, storage, or disposal (as discussed in
Section III, Chapter 5). The National Oil and
Hazardous Substances Pollution Contingency
Plan (NCR), which is the regulatory blueprint for
the CERCLA program, addresses the application of
ARARs to CERCLA remedial actions (40 CFR Part
300).
Once hazardous wastes are transported from a
CERCLA site, they are subject to full RCRA
regulation. Therefore, all transportation and TSD
requirements under RCRA must be followed. This
means that off-site shipments must be
accompanied by a manifest. In particular, the off-
site disposal of hazardous wastes can occur only at
a RCRA facility in a unit in full compliance with
WHAT ARE ARARS?
CERCLA on-site remedies must attain any ARARs
standards, criteria, or limitations under federal or
more stringent state environmental laws, including
RCRA, unless site-specific waivers are obtained.
This means, for example, that whenever a
remedial action involves on-site treatment,
storage, or disposal of hazardous waste, the
action must meet RCRA's technical standards for
such treatment, storage, or disposal. The NCR
details the application of ARARs to Superfund
remedial actions.
the Subtitle C requirements. Agency policy
requires that the disposal facility be inspected by
EPA six months prior to receiving the waste.
For off-site land disposal of wastes resulting
from a CERCLA activity, the program contains two
additional requirements. First, the unit in which
the wastes are to be disposed must not be
releasing hazardous wastes or constituents into
ground water, surface water, or soil. Second, any
releases from other units of the facility must be
under an approved RCRA corrective action
program. This policy assures that wastes shipped
off site from CERCLA sites are sent to
environmentally sound waste management
facilities.
Finally, EPA may not take or fund remedial
actions in a state unless the state ensures the
availability of hazardous waste treatment and
disposal capacity by submitting a capacity
assurance plan (CAP) to EPA. This capacity must
be for facilities that are in compliance with RCRA
Subtitle C requirements, and must be adequate to
manage hazardous wastes projected to be
generated within the state over 20 years. This
requirement limits and manages the amount of
hazardous waste generated in the United States by
encouraging waste minimization and recycling,
interstate agreements, and efficient and realistic
hazardous waste management systems. As of
December 1997, every state in the nation had
submitted a CAP to EPA.
RCRA CORRECTIVE ACTION VS.
CERCLA RESPONSE
The cleanup of a site with hazardous waste
contamination may be handled under either
CERCLA, as described above, or RCRA. RCRA
authorizes EPA to require corrective action (under
an enforcement order or as part of a permit)
whenever there is, or has been, a release of
hazardous waste or constituents at TSDFs. The
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SECTION VI
RCRA and its Relationship to Other Environmental Statutes
Chapter 2: Superfund: The Hazardous Waste Cleanup Program
Statute provides similar corrective action authority
in response to releases at interim status facilities.
Further, RCRA allows EPA to require corrective
action beyond the facility boundary. EPA
interprets the term corrective action (as discussed
in Section III, Chapter 9) to cover the full range of
possible actions, from studies and interim
measures to full cleanups. Anyone who violates a
corrective action order can be fined up to
$27,500 per day of noncompliance and runs the
risk of having their permit or interim status
suspended or revoked.
RCRA and CERCLA cleanup programs use
different labels, but follow roughly parallel
procedures in responding to releases (see Figure
VI-4). In both, the first step after discovery of a
release is an examination of available data to
determine if an emergency action is warranted.
Both programs authorize short-term measures to
abate the immediate adverse effects of a release.
Once an emergency has been addressed, both
programs provide for an investigation and formal
study of long-term cleanup options. When these
analyses are completed, both provide for formal
selection of a remedy. The major procedural
difference between the two programs involves
funding. CERCLA requires that site conditions be
analyzed according to the MRS and that only NPL
sites receive any remedial action funding. There is
no comparable requirement under the RCRA
Figure VI-4: RCRA CORRECTIVE ACTION VS. CERCLA REMEDIAL PROCESS
RCRA
NCAPS _ _ _
RFA
RFI
CERCLA
Notification/
Discovery
PA/SI
Statement
of Basis/
Permit
Modification
CMS
CMI
FS
RD/RA
O&M
Completion of
corrective action/
No further action
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RCRA and its Relationship to Other Environmental Statues
SECTION VI
Chapter 2: Superfund: The Hazardous Waste Cleanup Program
corrective action program because the owner or
operator of the site is responsible for the cost of
the cleanup.
The facility owner or operator implements
RCRA corrective action. On the other hand, a
number of different parties can implement a
CERCLA remedial action in a number of different
ways. For example, agreements may be reached
that allow PRPs, the state, or the federal
government, to assume the lead for certain
portions of a response action.
Generally, cleanups under RCRA corrective
action or CERCLA will substantively satisfy the
requirements of both programs. It is EPA's general
policy for facilities subject to both CERCLA and
RCRA to be deferred to RCRA authority.
However, in some cases, it may be more
appropriate to use both RCRA and CERCLA
authorities. EPA has many procedures in place to
facilitate coordination between the RCRA and
CERCLA programs.
IMMINENT HAZARDS UNDER RCRA
AND CERCLA
Both RCRA and CERCLA contain provisions
that allow EPA to require persons contributing to
an imminent hazard to take the necessary actions
to clean up releases. RCRA's §7003 imminent and
substantial endangerment provision addresses
nonhazardous as well as hazardous solid waste
releases. The authority under CERCLA §106 is
essentially the same, except that CERCLA's
authority to abate an imminent or substantial
danger to public health or the environment is
limited to hazardous substance releases. In an
enforcement action, the RCRA and CERCLA
imminent hazard provisions may be used in
tandem to ensure adequate protection of human
health and the environment.
SUMMARY
CERCLA authorizes cleanup responses
whenever there is a release, or a substantial threat
of a release, of a hazardous substance, a pollutant,
or a contaminant, that presents an imminent and
substantial danger to public health. After a
potential release has been discovered, the site is
entered into CERCLIS, and undergoes a PA. If the
hazard is immediate, EPA may require a removal
action. If a contamination problem still exists, but
is not an immediate threat, EPA will conduct an SI,
evaluate the site using the MRS, and possibly place
the site on the NPL for remedial action. Such
longer-term remedial actions involve additional
remediation steps and larger expenditure of time
and resources because they provide permanent
solutions to hazardous substance problems. These
additional steps include an RI/FS. After a remedy
has been selected, the decision is documented in
the ROD, the RD/RA is implemented, and the
state or PRP is responsible for O & M of the site.
When all appropriate remedial actions have been
taken and the cleanup goals have been achieved,
the site is deleted from the NPL.
The RCRA program differs from the CERCLA
waste management approach. The general
distinction between the two programs is that
RCRA authorizes the safe and protective
management of wastes, while CERCLA authorizes
cleanup responses whenever there is a release of
wastes. However, the two programs do overlap.
For example, RCRA standards may be considered
ARARs and can be important in selecting remedies
under CERCLA. Moreover, RCRA's corrective
action and CERCLA's remedial action use parallel,
but not identical, procedures. Finally, both
Statutes authorize EPA to act in the event of an
imminent hazard.
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SECTION VII
PUBLIC PARTICIPATION
In this section...
Overview VII-1
Permitting VII-2
- Pre-Application Meeting VII-3
- The Draft Permit, Public Comment Period,
and Public Hearing VII-4
- Permit Modification VII-4
- Permit Renewals VII-5
- Trial Burn Notices VII-5
- Interim Status Facilities VII-5
- Post-Closure Permits VII-6
- Information Repositories VII-6
Corrective Action VII-6
- Corrective Action Permits VII-7
- Corrective Action Orders VII-7
- Voluntary Corrective Action VII-7
State Authorization VII-7
The Rulemaking Process VII-8
- Proposed Rulemakings VII-8
- Public Comment VII-8
- Final Rulemakings VII-9
Environmental Justice VII-9
Outreach and Public Assistance VII-9
- Grants VII-10
- Freedom of Information Act VII-10
- EPA's Office of Ombudsman VII-10
- RCRA Information Center VII-10
- RCRA, Superfund & EPCRA Hotline VII-11
Summary VII-11
OVERVIEW
EPA is committed to involving the public in the
development and implementation of the solid
waste, hazardous waste, and UST environmental
decision-making. One of the Agency's central
goals is to provide equal access to information and
an equal
opportunity to
participate.
EPA regards
public
participation
as an
important
activity that
empowers
communities to become involved in local
RCRA-related activities.
Through RCRA, Congress gave EPA broad
authority to provide for public participation in the
regulatory program. RCRA §7004(b) directs EPA
to provide for, encourage, and assist public
participation in the development, revision,
implementation, and enforcement of any
regulation, guideline, information, or program
under the Act.
The RCRA public participation requirements
bring government, private industry, public interest
groups, and citizens together to make important
decisions about hazardous waste, solid waste, and
UST facilities. Specifically, these groups and
VII-1
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SECTION VII
Public Participation
individuals have a stake in RCRA's hazardous
waste management program, such as TSDF
permitting, corrective action, and state
authorization. On a broader level, the public also
has tremendous interest in EPA's rulemaking
process and environmental justice.
Public involvement in the RCRA program
presents unique needs and opportunities. While
the Agency is firmly committed to promoting
broad and equitable public participation, EPA also
seeks to ensure the flexibility for individual permit
writers, facilities, and communities to adopt the
most appropriate, site-specific approach consistent
with the principles of fairness and openness. As a
result, in many instances, EPA references
guidance, instead of codified regulatory language,
to encourage all stakeholders, such as facilities,
permitting agencies , and the public, to strive
toward public involvement goals, while at the
same time maintaining the flexibility consistent
with a national regulatory approach.
EPA views public outreach as an essential
element of public participation. Public outreach
educates people about hazardous waste issues
and the RCRA decision-making process. Public
outreach also creates informal opportunities for
public input and dialogue. To expand public
participation, the Agency actively engages in
extensive public outreach activities.
PERMITTING
A focus of RCRA public participation is the
involvement of the public in the hazardous waste
TSDF permitting process. (Permitting is fully
discussed in Section III, Chapter 8.) TSDF owners
and operators handle large quantities of waste that
present potential risk to human health and the
environment. Public participation informs the
public of the types of wastes and management
methods that the TSDF owner and operator
intends to employ and allows the public an
THE IMPORTANCE OF PUBLIC PARTICIPATION
Public participation informs the public of the types of
wastes and management methods that a TSDF
owner and operator intends to employ and allows the
public an opportunity to voice its concerns about
these risks. Public participation also benefits the
TSDF owner and operator because it fosters
community relations and can help to avoid delays
and future litigation by addressing public concerns up
front.
opportunity to discuss the facility's anticipated
waste management activities with the owner and
operator. Communities may provide information
that facility owners and operators may not
otherwise have access to, and which may impact
some of the facility plans (e.g., information on day
care locations that might impact transportation
routes to and from the facility). Public
participation also benefits the TSDF owner and
operator because it fosters community relations
and can help to avoid delays and future litigation
by addressing public concerns up front.
From the permitting agency's point of view,
the public can contribute valuable information
and ideas that can improve the quality of agency
decisions and permit applications. With public
input, permitting decisions are influenced by local
circumstances that technical staff alone cannot
provide.
The permitting process serves as an
appropriate mechanism for public participation
requirements because the permit serves as the set
of requirements against which compliance will be
measured. Public interaction in the process serves
both to educate the public and to allow the public
to express concerns to the facility and the
permitting agency. Each step in the RCRA permit
decision process is accompanied by public
participation requirements (see Figure VI1-1). EPA
promulgated regulations in 40 CFR Parts 25, 124,
and 270 to create opportunities for the public to
learn about RCRA activities and provide input
VII-2
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Public Participation
SECTION VII
Figure VIM: PUBLIC INVOLVEMENT IN THE
RCRA PERMITTING PROCESS
Facility notifies public of
informal meeting at least 30 |
days prior to meeting
Informal public meeting
Permit applicant submits
permit application, including
a summary of the public
meeting that includes
details of the meeting and
list of attendees
Upon receipt of
application, permitting
agency sends notice to
everyone on facility
mailing list indicating
where public can view
application
Permitting agency
notifies public of
decision to issue a draft
permit or a notice of
intent to deny, and
opens minimum 45-day
comment period
After comment period
closes, permitting agency |
reviews and evaluates all
comments, and issues a
final permit decision
Permitting agency
notifies the facility owner
and operator, public
commenters, and all
other persons who
requested notice on the
final permit decision
During comment period,
public or permitting
agency may request a
hearing; Permitting
agency must notify
public at least 30 days
prior to such a hearing
during the permitting process. These
requirements may not be sufficient in all cases.
Permitting agencies and facilities should consider
going beyond the regulatory requirements, as
necessary, to provide for meaningful and equitable
public participation.
Public interaction occurs during pre-
application meetings, public comment and
response periods, and public hearings. Through
all of these steps, the public can engage facility
owners and operators and regulators in a dialogue.
This dialogue is crucial because a successful public
participation program requires the flow of
information among all stakeholders.
EPA encourages public participation activities
that occur outside the formal permitting process.
Citizens can contact environmental, public
interest, and civic and community groups that
have an interest in the facility and become
involved in their activities. The permit applicant
may also create informal opportunities for public
input and dialogue.
Pre-Application Meeting
The public participation provisions require
prospective applicants to hold an informal public
meeting before submitting an application for a
RCRA permit. The permit applicant should select
a meeting time, date, and place that are
convenient to the public. The permit applicant
must provide notice of the pre-application
meeting at least 30 days prior to the meeting in a
manner that is likely to reach all members of the
affected community. The applicant must advertise
the meeting in the newspaper, through a
broadcast announcement, and on a sign posted at
or near the property. The meeting will provide a
chance for the community to interact with and
provide input to an owner and operator before
the submission of the permit application. At the
meeting, the owner and operator should describe
the facility in the level of detail that is practical at
vn-3
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SECTION VII
Public Participation
the time of the meeting to give the public enough
information to understand the facility operations
and potential impacts to human health and the
environment. The permit applicant must submit
with the permit application a summary of the
meeting and a list of all attendees. Upon receipt
of the permit application, the permitting agency
must send a notice to everyone on the facility
mailing list specifying where the public can
examine the application. Thus, the public may
begin reviewing the application at the same time
as the permitting agency.
The Draft Permit, Public Comment
Period, and Public Hearing
Once the permit application is complete, the
permitting agency will decide whether to issue a
draft permit or a notice of intent to deny. In either
case, the permitting
agency notifies the
public of its decision
and announces the
opening of a
minimum 45-day
public comment
period. The
permitting agency
prints the notice in a
local paper,
broadcasts the
notice over a local radio station, and sends a copy
to the mailing list recipients and relevant agencies.
The permitting agency also prepares a fact sheet
or statement of basis regarding its decision. The
fact sheet (or statement of basis) explains the
factual, legal, methodological, and policy
questions considered in making the decision to
issue or deny the permit.
Any person may request a public hearing
during the comment period. The permitting
agency holds a hearing if someone submits a
written notice of opposition to the draft permit
and a request for a hearing, or if the permitting
agency finds a significant degree of interest in the
draft permit. The permitting agency may also hold
a public hearing at its own discretion. The
permitting agency must notify the public at least
30 days prior to the hearing.
The comment period on the draft permit
allows public submission of written concerns and
suggestions to the permitting agency in writing.
The permitting agency describes and responds to
all significant comments raised during the
comment period.
After the public comment period closes, the
permitting agency will review and evaluate all
comments and issue a final permit decision. The
agency sends a notice of decision to the facility
and any person who submitted comments or
requested notice on the final permit decision.
Permit Modification
As with the initial permit process, permit
modifications can raise public concerns that must
be addressed through public participation. Public
participation responsibilities and activities vary
depending on who initiated the modification and
the degree to which the modification changes the
facility permit. When a modification is proposed,
only the permit conditions subject to modification
are reopened for public comment.
Permitting agencies may initiate a permit
modification if there are substantial alterations or
additions to the facility, if new information is
received by the permitting agency that was not
available at the time of permit issuance, or if new
regulations or judicial decisions affect the
conditions of the permit. Agency-requested
permit modifications are subject to the same
public participation requirements that are
required during the permitting process.
VII-4
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Public Participation
SECTION VII
Permit modifications initiated by the facility
owner and operator are categorized as Class 1, 2,
or 3 according to how substantively they change
the original permit. The only public involvement
requirement for Class 1 modifications is that
within 90 days of implementing a change the
facility must send a notice to all parties on the
mailing list compiled by the permitting agency.
The Class 2 modifications are more stringent
than Class 1 modifications, and involve public
notice in a local newspaper, a 60-day comment
period, and a public meeting held no earlier than
15 days into the comment period and no later
than 15 days before it ends. At any time during
the Class 2 procedures, the permitting agency may
reclassify the request as a Class 3 modification if
there is significant public concern or if the agency
determines the modification is too complex for
the Class 2 procedures.
Class 3 modifications address changes that
substantially alter a facility or its operations, and
often raise significant public concern. While these
PUBLIC PARTICIPATION DURING
PERMIT MODIFICATIONS
Public participation requirements during permit
modifications vary depending on the extent of the
modification. Class 1 permit modifications require that
within 90 days of implementing a change, the facility
must send a notice to all parties on the mailing list
compiled by the permitting agency. Class 2 permit
modifications involve public notice in a local
newspaper, a 60-day comment period, and a public
meeting held no earlier than 15 days into the comment
period and no later than 15 days before it ends. While
Class 3 modifications are subject to the same
requirements as Class 2 modifcations, such
modifications require the permitting agency to provide
the public with additional opportunities to participate in
the process.
modifications are subject to the same public
participation provisions as Class 2 modifications,
Class 3 modifications require the permitting
agency to provide the public with additional
opportunities to participate in the process. For
example, the permitting agency must issue a
public notice of the agency's draft permit decision,
allow for a 45-day public comment period on the
decision, develop a fact sheet or statement of
basis, and hold a public meeting (if requested)
with 30-day advance notice.
Permit Renewals
A facility owner and operator who makes a
significant change during the renewal of their
permit is also subject to the pre-application
meeting and notice requirements. A significant
change in facility operations is a change that is
equivalent to a Class 3 modification. This
requirement ensures that if during permit renewal
a facility makes significant changes to an already
publicly reviewed and approved permit, the
public will have an opportunity to participate in
the permit review and approval process.
Trial Burn Notices
Owners and operators of new hazardous
waste combustion facilities may not commence a
trial burn until after the permitting agency has
issued the required notice. EPA anticipates that
permitting agencies will typically notify the public
at least 30 days prior to the trial burn. The notice
requirement applies only to the initial trial burn,
and not to subsequent burns that may be
conducted as part of a permit modification. For
interim status combustion units, the permitting
agency must also provide public notice of the
intent to approve a trial burn plan.
Interim Status Facilities
In general, interim status facilities are not
required to follow any standardized public
participation procedures until the facility owner
and operator applies for a permit. Implementing
VII-5
-------
SECTION VII
Public Participation
agencies may need to use innovative techniques
to communicate with the public about interim
status facilities. EPA acknowledges that each
situation will require a different type and level of
community involvement in order to address public
concerns.
Post-Closure Permits
Owners and operators who submit a permit
application for the purpose of conducting post-
closure activities are not subject to the
pre-application meeting and notice requirements.
EPA's experience is that the public has usually
been concerned with permit decisions related to
active hazardous waste management operations
rather than closed facilities. Post-closure activities
are subject to the public notice and comment
period at the draft permit stage.
Information Repositories
In certain instances, RCRA permits can be the
subject of intense debate. When public interest is
strong, the demand for information increases.
The public participation requirements allow the
permitting agency to require a permit applicant to
set up an information repository at any time after
submittal of the permit application and during the
life of the permit. The repository will hold all
information and documents that the permitting
agency decides are necessary to adequately
inform and educate the public. EPA intended for
permitting agencies to use the information
repository requirement sparingly on a case-by-
case basis when a significant amount of public
concern has surfaced or where the community has
unique information needs.
CORRECTIVE ACTION
Corrective action investigations and remedial
actions at hazardous waste facilities also create
strong community interest because contamination
can directly affect and impact communities.
(Corrective action is fully discussed in Section III,
Chapter 9.) The community may seek information
related to current or potential contamination,
including levels of contamination, the extent of
health and environmental risks, and the potential
for future risks. The public may also seek
additional opportunities to provide input to the
overseeing agency or the facility about the
cleanup of the contamination.
More than 5,000 facilities are subject to RCRA
corrective action. The necessary degree of
cleanup at these sites varies significantly. Program
implementors are granted latitude in structuring
the corrective action process, developing cleanup
objectives, and selecting remedies appropriate to
site-specific circumstances. Similar latitude is
allowed in determining the best approach to
public participation, in order to provide
opportunities appropriate for the level of interest
of the community.
Public participation requirements during
corrective action are established in regulations;
further recommendations are set out in guidance.
The regulations set requirements that facilities and
implementing agencies must meet when a permit
is issued or modified to incorporate corrective
action provisions.
In the absence of final regulations specifically
addressing public participation during corrective
action, program implementors and facility owners
VII-6
-------
Public Participation
SECTION VII
and operators should develop public participation
strategies on a site-specific basis, consistent with
existing public participation requirements and the
program goal of full, fair, and equitable public
participation. Permitting agencies and facilities
should make all reasonable efforts to provide for
early public participation because important
corrective action decisions are made during the
site investigation and characterization. At a
minimum, information regarding corrective action
activities should be available to the public and the
public should be given an opportunity to review
and comment on proposed corrective action
remedies.
Corrective Action Permits
When corrective action is part of the RCRA
permitting process, it follows the public
participation requirements associated with
permitting. Thus, the corrective action provisions
in any permit application are available for public
review throughout the permitting process and the
public can comment on them at the draft permit
stage.
Corrective Action Orders
EPA regulations do not require that corrective
action activities that are imposed or overseen
through an order include public participation.
However, EPA's policy is that the same level of
PUBLIC PARTICIPATION
DURING CORRECTIVE ACTION
When corrective action is part of the RCRA permitting
process, it follows the public participation
requirements associated with permitting. While EPA
regulations do not require public participation for
corrective action activities that are imposed or
overseen through an order, EPA's policy is that the
same level of public participation requirements
imposed under a permit should generally apply under
a corrective action order.
public participation requirements imposed under
a permit should generally apply under a corrective
action order. There may be limitations on the
implementing agency's ability to release or discuss
certain information when using an order, but if
public interest in the facility is high, the agency
should address concerns without breaching the
confidentiality of the owner's and operator's case
by at least discussing why limitations are necessary,
and if and when they will be lifted.
EPA has clarified various issues in reference to
public participation activities during RCRA §7003
imminent hazard cleanups. Specifically, §7003
orders should involve public participation to the
maximum extent possible. During these cleanups,
EPA should provide public notice and an
opportunity to comment when the Agency issues
the order, during the remedy selection process,
and upon Agency determination that the cleanup
has been completed. When situations prevent
public participation from occurring, the Agency
should involve the public at the earliest
opportunity. The Agency may also consider
holding public meetings to address concerns if the
site has attracted significant attention.
Voluntary Corrective Action
Although EPA typically has less control over
public participation during voluntary corrective
action, the Agency encourages the use of public
participation and will generally take into account
the level of public participation conducted by the
facility owner and operator when evaluating the
acceptability of voluntary actions.
STATE AUTHORIZATION
RCRA also requires public involvement when
EPA authorizes states to implement the hazardous
waste regulations. Such public involvement is
intended to allow the public to voice their
VII-7
-------
SECTION VII
Public Participation
concerns regarding the change in implementing
agency. Specifically, during the state authorization
process, a state must provide public notice and an
opportunity for public hearing before submitting
its application for final authorization. The Statute
also requires that EPA provide opportunity for
public hearing before it decides to grant or deny a
state's authorization and before EPA withdraws a
state's authorization. (State authorization is fully
discussed in Section III, Chapter 11.)
THE RULEMAKING PROCESS
Besides facilitating public participation during
hazardous waste TSDF permitting, corrective
action, and state authorization under the RCRA
Subtitle C program, EPA proactively initiates public
involvement activities as part of all formal RCRA
rulemakings. Congress, through the
Administrative Procedures Act (APA) (5 U.S.C.
Sections 551-559), established the legal
requirement that federal agencies provide the
public with notice and an opportunity to
comment on rulemakings. The Act addresses
rulemaking procedures as well as site-specific
licensing procedures, access to agency
information, and procedures and standards for
judicial review of agency actions. All
environmental rulemakings proposed and finalized
by EPA include public participation throughout the
process (see Figure VII-2).
Proposed Rulemakings
The first step in the rulemaking process is the
issuance of the notice of proposed rulemaking by
EPA. The forum for providing the public with
notice of a proposed rule is the Federal Register.
The notice must include a statement of the time,
place, and nature of the rulemaking, a reference
to the legal authority under which the rule is
proposed, and the terms of the proposed rule.
Public Comment
After notice is given, EPA must provide
interested persons an opportunity to participate in
the rulemaking through submission of written
data, views, or arguments. This process not only
educates the public, but also provides valuable
information to EPA during the regulatory
development process. Up-front participation
reduces the likelihood of litigation challenging
subsequent regulations. Public participation can
take many forms, including opportunity for a
hearing, opportunity for access to EPA materials,
and opportunity for written comments on
proposals.
Figure VII-2: THE RULEMAKING PROCESS
EPA issues notice of proposed
rulemaking in the Federal Register
\
Public responds to notice of proposed
rulemaking (e.g., attends hearings,
submits written comments)
I
EPA revises notice of
proposed rulemaking
I
EPA issues notice of final rulemaking in
the Federal Register and responds to
public comments in the rule's preamble
I
If necessary, EPA will give any interested
party the right to petition for the issuance,
amendment, or repeal of the rule
-------
Public Participation
SECTION VII
Final Rulemakings
Once public comments are considered, EPA
will revise the proposed rulemaking. The rule will
often change between its proposal and finalization
as a result of public comments. The final rule is
published in the Federal Register, and EPA will
respond to public comments in the rule's
preamble. After final promulgation, EPA must
give any interested party the right to petition for
the issuance, amendment, or repeal of the rule.
Rulemaking Information
EPA evaluates a variety of background
information, as well as public comments, in the
development of a particular rulemaking. Each
Federal Register lists a background docket that is
available for public viewing. This docket contains
all the background documents, including scientific
studies, risk assessments, public comments, and
EPA responses, that were used for that particular
rulemaking.
In addition to the background docket, the
Federal Register also contains regulatory impact
analyses. These are analyses of a particular
rulemaking's effects on other environmental
regulations and economic impact on the regulated
community.
In these analyses, EPA evaluates the effects this
rule will have on other environmental regulations,
such as CERCLA and CWA, and publishes the
expected impacts in the Federal Register. In
addition, EPA studies the economic effects of a
particular rule on the regulated community to
determine compliance costs. As required by the
Regulatory Flexibility Act of 1980, the Agency also
evaluates the impacts of the rulemaking on small
businesses, small organizations, and small
governmental jurisdictions.
ENVIRONMENTAL JUSTICE
Environmental justice refers to the fair
distribution of environmental risks across
socioeconomic and racial groups. On February
11, 1994, President Clinton issued Executive
Order 12898,
directing federal
agencies to
identify and
address
environmental
concerns and
issues of
minority and
low-income
communities.
EPA is
committed to equal protection in the
implementation and enforcement of the nation's
environmental laws. EPA believes that
environmental justice issues should be addressed
on a local level and on a site-specific basis. EPA
encourages permitting agencies and facilities to
use all reasonable means to ensure that all
segments of the population have an equal
opportunity to participate in the permitting
process and have equal access to information in
the process. These means may include, but are
not limited to, multilingual notices and fact sheets,
as well as translators, in areas where the affected
community contains significant numbers of people
who do not speak English as a first language.
OUTREACH AND PUBLIC
ASSISTANCE
A number of opportunities exist for the public
to obtain RCRA program information and
assistance. These include grants, the Freedom of
Information Act, EPA Office of Ombudsman, the
RCRA Information Center, and the RCRA,
Superfund & EPCRA Hotline.
VII-9
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SECTION VII
Public Participation
Grants
Under RCRA §7007, EPA has the authority to
provide grants to states, municipalities,
educational institutions, or any other organization
to help these groups effectively implement training
programs that demonstrate solid waste
management and resource recovery operations.
Such grants provide governments and nonprofit
organizations with the opportunity to further the
goals of Act through public outreach.
Freedom of Information Act
The Freedom of Information Act (FOIA)
provides private parties with the right to obtain
information in the possession of the government.
Unless materials are promptly published and
copies are offered for sale, each agency must
make information available for public inspection
and copying. FOIA requires each agency to
establish procedures for handling requests
regarding government statutes, regulations,
standards, permit conditions, requirements,
orders, and policies.
There are certain materials which are not
subject to FOIA. These include:
Draft materials
Matters of national defense or foreign policy
Material related solely to internal personnel
rules and practices
Trade secrets and privileged commercial or
financial information
Investigation material collected for
enforcement purposes
Geological and geophysical information and
data.
EPA has pursued a policy of fully disclosing its
records to the public, consistent with the rights of
individuals to privacy, the rights of persons entitled
to protection under confidential business
information (CBI) provisions, and the need for EPA
to promote internal policy deliberations. EPA will
disclose information to any requester to the fullest
extent possible without unjustifiable expense or
unnecessary delay.
EPA's Office of Ombudsman
In order to create a central clearinghouse for
public concerns on matters relating to the
implementation and enforcement of RCRA, EPA
established the Office of Ombudsman and
appointed a Hazardous Waste Ombudsman at
EPA Headquarters and each EPA Region. The
primary responsibilities of the Ombudsman are to
respond to questions and complaints regarding
implementation of the RCRA program.
Additionally, the Ombudsman makes
recommendations to the EPA Administrator based
on inquiries received. The EPA Headquarters
Ombudsman may be reached by contacting:
Office of Ombudsman
U.S. Environmental Protection Agency
Office of Solid Waste and Emergency
Response
401 M Street, S.W.
Washington, DC 20460
(800) 262-7937
RCRA Information Center
The RCRA Information Center (RIC) houses
the background dockets for all RCRA rulemakings,
as well as additional EPA publications on RCRA.
The public can view docket materials Monday
through Friday from 9:00 a.m. to 4:00 p.m., EST.
The public can make an appointment to review
these materials by calling (703) 603-9230. A
maximum of 100 pages may be copied from any
regulatory document at no charge and additional
VII-10
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Public Participation
SECTION VII
copies cost $0.15 per page. The RIC is located at
Crystal Gateway I, First Floor, 1235 Jefferson Davis
Highway, Arlington, Virginia.
RCRA, Superfund & EPCRA Hotline
The RCRA, Superfund & EPCRA Hotline is a
publicly accessible service which provides up-to-
date regulatory information. The Hotline
responds to factual questions on federal EPA
regulations
developed under
RCRA, CERCLA,
EPCRA, the Oil
Pollution Act (OPA),
and SPCC. The
Hotline is staffed by
professionals who are completely familiar with the
latest issues and regulations affecting the
hazardous waste program. The Hotline is open
Monday through Friday from 9:00 a.m. to 6:00
p.m., EST, and may be contacted at either (703)
412-9810, or toll-free, (800)424-9346.
SUMMARY
EPA is committed to involving the public in the
development and implementation of the solid
waste, hazardous waste, and UST regulations and
seeks to empower communities to become
involved in local RCRA-related activities. To
achieve these goals, the RCRA public participation
requirements bring government, private industry,
public interest groups, and citizens together to
make important decisions about hazardous waste
management facilities.
A focus of RCRA public participation is the
involvement of the public in the hazardous waste
TSDF permitting process. The public interaction
occurs during pre-application meetings, public
comment and response periods, and public
hearings. RCRA includes specific provisions to
involve the public in all stages of the hazardous
waste TSDF permitting process: prior to the initial
permit application; after draft permit issuance;
and during permit modifications, permit renewals,
post-closure permits, and trial burns.
In addition, RCRA requires public involvement
during Subtitle C corrective action, whether such
cleanups are instituted through a permit or order,
or conducted voluntarily. RCRA also requires
public involvement when EPA authorizes states to
implement the hazardous waste regulations.
While RCRA's initiatives to facilitate public
participation during hazardous waste TSDF
permitting, corrective action, and state
authorization are limited to the RCRA Subtitle C
program, EPA is required to comply with the
public involvement provisions under APA for all
formal rulemakings under all RCRA subtitles.
Consistent with Executive Order 12898,
directing federal agencies to identify and address
environmental concerns and issues of minority
and low-income communities, EPA encourages
allowing all segments of the population equal
access to information pertaining to the RCRA
program.
To assist in disseminating information and
promoting public education about the RCRA
program, EPA engages in several outreach and
public assistance mechanisms. The Agency
provides training grants, allows access to
information through the Freedom of Information
Act, and provides program information through
the EPA Office of Ombudsman, the RCRA
Information Center, and the RCRA, Superfund &
EPCRA Hotline.
VII-11
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Page Intentionally Blank
-------
Please print or type (Form designed for use on elite (12 - pitch) typewriter)
Form Approved. OMB No. 2050 - 0039 Expires 9-30-91
UNIFORM HAZARDOUS
WASTE MANIFEST
1 Generator's US EPA ID No. Manifest
Document No.
i i i i i i i i i i i i i i i i
2. Page 1
of
Information in the shaded areas
is not required by Federal
law
3. Generator's Name and Mailing Address
4. Generator's Phone ( )
A. State Manifest Document Number
B. State Generator's ID
5. Transporter 1 Company Name
US EPA ID Number
I I I I I I I I I I I
C. State Transporter's ID
D. Transporter's Phone
7. Transporter 2 Company Name
US EPA ID Number
I I I I I I I I I I I
E. State Transporter's ID
F. Transporter's Phone
. Designated Facility Name and Site Address
10. US EPA ID Number
I I I I I I I I I I I
G. State Facility's ID
H. Faci ity's Phone
1 1 . US DOT Description (Including Proper Shipping Name, Hazard Class, and ID Number)
1 2. Containers
No. Type
13.
Total
Quantity
I I
I I I
I I
I I I
I I
I I I
I I
I I I I I I
J. Additional Descriptions for Materials Listed Above
K. Handling Codes for Wastes Listed Above
15. Special Handling Instructions and Additional Information
16. GENERATOR'S CERTIFICATION: I hereby declare that the contents of this consignment are fully and accurately described above by
proper shipping name and are classified, packed, marked, and labeled, and are in all respects in proper condition for transport by highway
according to applicable international and national government regulations.
If I am a large quantity generator, I certify that I have a program in place to reduce the volume and toxicity of waste generated to the degree I have determined to be
economically practicable and that I have selected the practicable method of treatment, storage, or disposal currently available to me which minimizes the present and
future threat to human health and the environment; OR, if I am a small quantity generator, I have made a good faith effort to minimize my waste generation and select
the best waste management method that is available to me and that I can afford.
Printed/Typed Name
Signature
Month Day Year
I I I I I I
1 7. Transporter 1 Acknowledgement of Receipt of Materials
Printed/Typed Name
Signature
Month Day Year
I I I I I I
18. Transporter 2 Acknowledgement of Receipt of Materials
Printed/Typed Name
Signature
Month Day Year
I I I I I I
19. Discrepancy Indication Space
20. Facility Owner or Operator: Certification of receipt of hazardous materials covered by this manifest except as noted in item 19.
Printed/Typed Name
Signature
Month Day Year
I I I I I I
EPA Form 8700 - 22 (Rev. 9 - 88) Previous editions are obsolete.
-------
Land Disposal Restrictions Notification Requirements
APPENDIX B
APPENDIX B
LAND DISPOSAL RESTRICTIONS
NOTIFICATION REQUIREMENTS
Generators: Generators must send a notification with the initial shipment of every waste to a TSDF. If
the waste, process, or receiving facility changes, another notification is required. The information that the
notification must include varies according to the status of the waste. Waste that needs treatment before it
can be disposed of will have different information than waste that can be disposed of without treatment.
Below is a table that details the required elements for LDR notifications.
Required Notification
Information
1 . EPA hazardous waste and
manifest numbers of first
shipment
2. Statement: This waste is
subject to LDR
3. Statement: This waste is not
prohibited from land disposal
4. The constituents of concern
and any underlying hazardous
constituents (if applicable)
5. Indication whether it is a
wastewater or nonwastewater
6. Waste analysis data
(when available)
7. Date the waste will be
prohibited from land disposal
8. For hazardous debris, when
treating with the alternative
treatment technologies, list the
contaminants subject to
treatment
9. A certification is needed
(see applicable section
for exact wording)
Waste Needs to Meet
Treatment Standard
X
X
X
X
X
X
Waste Meets
Treatment Standard
X
X
X
X
X
X
Waste Is Not
Subject to
Treatment Standard
X
X
X
X
X
Waste Is In
Lab Packs
X
X
B-l
-------
APPENDIX B
Land Disposal Restrictions Notification Requirements
Treatment Facilities: Treatment facilities have to send similar notifications along with the shipment of
treated wastes to disposal facilities. A certification must be included stating that the waste meets the
treatment standards and may be land disposed. Below is a table detailing the information required for
treatment facility notifications.
Required Notification Information
1.
2.
3.
4.
5.
6.
EPA hazardous waste and
manifest number of first shipment
Statement that the waste is subject to LDR
The constituents of concern and any underlying
hazardous constituents (if applicable)
Indication whether it is a wastewater
or nonwastewater
Waste analysis data (when available)
A certification statement is needed (see applicable
section for exact wording)
Waste Is Treated and
Sent for Disposal
X
X
X
X
X
X
B-2
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Underground Storage Tank Notification Form
APPENDIX C
APPENDIX C
UNDERGROUND STORAGE TANK
NOTIFICATION FORM
C-l
-------
Page Intentionally Blank
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&EPA
United States
Environmental Protection Agency
Washington, DC 20460
Form Approved.
OMB No. 2050-0068
Approval expires 3/31/98
Notification for Underground Storage Tanks
State Agency Name and Address:
STATE USE ONLY
ID NUMBER:
DATE RECEIVED:
TYPE OF NOTIFICATION
A. NEW FACILITY
No. of tanks
_ at facility
B. AMENDED
C. CLOSURE
A. Date Entered into Computer
B. Data Entry Clerk Initials
C. Owner Was Contacted to Clarify Responses, Comments:
No. of continuation sheets attached
INSTRUCTIONS
Please type or print in ink all items except "signature" in section V. This form must be
completed for each location containing underground storage tanks. If more than five (5) tanks
are owned at this location, photocopy the following sheets, and staple continuation sheets to
the form.
GENERAL INFORMATION
Notification is required by Federal law for all underground tanks that have been
used to store regulated substances since January 1,1974, that are in the ground as
of May 8,1986, or that are brought into use after May 8,1986. The information
requested is required by Section 9002 of the Resource Conservation and Recovery
Act (RCRA), as amended.
The primary purpose of this notification program is to locate and evaluate underground
tanks that store or have stored petroleum or hazardous substances. It is expected that
the information you provide will be based on reasonably available records, or in the
absence of such records, you knowledge, belief, or recollection.
Who Must Notify? Section 9002 of RCRA, as amended, requires that, unless exempted,
owners of underground tanks that store regulated substances must notify designated
State or local agencies of the existence of their tanks. Owner means-
fa) in the case of an underground storage tank in use on November 8, 1984, or brought
into use after that date, any person who owns an underground storage tank used for
storage, use, or dispensing of regulated substances, and
(b) in the case of any underground storage tank in use before November 8, 1984, but
no longer in use on that date, any person who owned such tank immediately before
discontinuation of its use.
(c) if the State so requires, any facility that has underground any changes to facility
information or tank system status (only amended tank information needs to be
included).
What Tanks Are Included? Underground storage tank is defined as any one or
combination of tanks that (1) is used to contain an accumulation of "regulated
substances," and (2) whose volume (including connected underground piping) is 10% or
more beneath the ground. Some examples are underground tanks storing: 1. gasoline,
used oil or diesel fuel, and 2. industrial solvents, pesticides, herbicides or fumigants.
What Tanks Are Excluded? Tanks removed from the ground are not subject to
notification. Other tanks excluded from notification are:
1. farm or residential tanks of 1,100 gallons or less capacity used for storing motor
fuel for noncommercial purposes;
2. tanks used for storing heating oil for consumptive use on the premises where
stored;
3. septic tanks;
4. pipeline facilities (including gathering lines) regulated under the Natural Gas
Pipeline Safety Act of 1968, or the Hazardous Liquid Pipeline Safety Act of 1979, or
which is an intrastate pipeline facility regulated under State laws;
5. surface impoundments, pits, ponds, or lagoons;
6. storm water or waste water collection systems;
7. flow-through process tanks;
8. liquid traps or associated gathering lines directly related to oil or gas production
and gathering operations;
9. storage tanks situated in an underground area (such as a basement, cellar,
mineworking, drift, shaft, or tunnel) if the storage tank is situated upon or above the
surface floor.
What Substances Are Covered? The notification requirements apply to underground
storage tanks that contain regulated substances. This includes any substance defined as
hazardous in Section 101 (14) of the Comprehensive Environmental Response,
Compensation and Liability Act of 1980 (CERCLA), with the exception of those
substances regulated as hazardous waste under Subtitle C of RCRA. It also includes
petroleum, e.g., crude oil or any fraction thereof which is liquid at standard conditions of
temperature and pressure (60 degrees Fahrenheit and 14.7 pounds per square inch
absolute).
Where To Notify? Send completed forms to:
When To Notify? 1. Owners of underground storage tanks in use or that have been
taken out of operation after January 1, 1974, but still in the ground, must notify by May 8,
1986. 2. Owners who bring underground storage tanks into use after May 8, 1986, must
notify within 30 days of bringing the tanks into use. 3. If the State requires notification of
any amendments to facility, send information to State agency immediately.
Penalties: Any owner who knowingly fails to notify or submits false information shall be
subject to a civil penalty not to exceed $10,000 for each tank for which notification is not
given or for which false information is submitted.
I. OWNERSHIP OF TANK(S)
II. LOCATION OF TANK(S)
Owner Name (Corporation, Individual, Public Agency, or Other Entity)
If required by State, give the geographic location of tanks by degrees, minutes, and seconds.
Examples Lat. 42, 36, 12 N Long. 85, 24, 17 W
Latitude
Longitude
Street Address
Facility Name of Company Site Identifier, as applicable
(if same as Section I,
mark box here) ^_^
Street Address
City
State
Zip Code
County
City
Zip Code
Phone Number (include Area Code)
County
Municipality
EPA Form 7530-1 (Rev. 8-94) Electronic and Paper versions acceptable.
Previous editions may be used while supplies last.
Page 1 of 5
-------
£g£ ^ZD)^m United States
\^Clj^^ Environmental Protection Agency
Washington, DC 20460
Form Approved.
OMB No. 2050-0068
Approval expires 3/31/98
Notification for Underground Storage Tanks
III. TYPE OF OWNER IV. INDIAN LANDS
Di 1 Tanks are located on land within an Indian Tribe or Nation:
Federal Government l_l Commercial Reservation or on other trust lands. l_l
D State Government D Private Tanks are owned by native American
D nation, tribe, or individual 1 1
Local Government ' '
V. TYPE OF FACILITY
1 1 Gas Station 1 1 Railroad 1 1 Truck!
1 1 Petroleum Distributor 1 1 Federal - Non-Military 1 1 Utilities
1 1 Air Taxi (Airline) 1 1 Federal - Military 1 1 Reside
1 1 Aircraft Owner 1 1 Industrial 1 1 Farm
1 1 Auto Dealership 1 1 Contractor 1 1 Other
ig/Transport
3
ntial
Explain)
VI. CONTACT PERSON IN CHARGE OF TANKS
Name: Job Title: Address:
Phone Number (Include Area Code):
VII. FINANCIAL RESPONSIBILITY
1 1 1 have met the financial responsibility requirements
in accordance with 40 CFR Subpart H
Check All that Apply
1 1 Self Insurance 1 1 Guarantee 1 1 State Funds
1 1 Commercial Insurance 1 1 Surety Bond 1 1 Trust Fund
1 1 Risk Retention Group 1 1 Letter of Credit 1 1 Other Method Allowed - Specify
VIII. CERTIFICATION (Read and sign after completing all section)
1 certify under penalty of law that 1 have personally examined and am familiar with the information submitted in this and all attached documents, and that based on my inquiry
of those individuals immediately responsible for obtaining the information, 1 believe that the submitted information is true, accurate, and complete.
Name and official title of owner or owner's Signature Date Signec
authorized representative (Print)
Paperwork Reduction Act Notice
EPA estimates public reporting burden for this form to average 30 minutes per response including time for reviewing instructions, gathering and maintaining the data needed
and completing and reviewing the form. Send comments regarding this burden estimate to Chief, Information Policy Branch (21 36), U.S. Environmental Protection Agency,
401 M Street, Washington D.C. 20460, marked "Attention Desk Officer for EPA." This form amends the previous notification form as printed in 40 CFR Part 280, Appendix
I. Previous editions of this notification form may be used while supplies last.
EPA Form 7530-1 (Rev. 8-94) Electronic and Paper versions acceptable.
Previous editions may be used while supplies last.
Page 2 of 5
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£± ^^% JL Form Approved.
*S&^W*M\ United States OMB No. 2050-0068
^^^" * m Environmental Protection Agency Approval expires 3/31/98
Washington, DC 20460
Notification for Underground Storage Tanks
IX. DESCRIPTION OF UNDERGROUND STORAGE TANKS (Complete for each tank at this location.)
Tank Identification Number
1 . Status of Tank (mark only one)
Currently In Use
Temporarily Out of Use
Permanently Out of Use
Amendment of Information
2. Date of Installation (mo./year)
3. Estimated Total Capacity (gallons)
4. Material of Construction (mark all that apply)
Asphalt Coated or Bare Steel
Cathodically Protected Steel
Epoxy Coated Steel
Composite (Steel with Fiberglass)
Fiberglass Reinforced Plastic
Lined Interior
Double Walled
Polyethylene Tank Jacket
Concrete
Excavation Liner
Unknown
Other, Please specify
Has tank been repaired?
5. Piping (Material) (mark all that apply)
Bare Steel
Galvanized Steel
Fiberglass Reinforced Plastic
Copper
Cathodically Protected
Double Walled
Secondary Containment
Unknown
Other, Please Specify
6. Piping (Type) (mark all that apply)
Suction: no valve at tank
Suction: valve at tank
Pressure
Gravity Feed
Has piping been repaired?
Tank No
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EPA Form 7530-1 (Rev. 8-94) Electronic and Paper versions acceptable.
Previous editions may be used while supplies last.
Page 3 of 5
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£± ^^% JL Form Approved.
*S&^W*M\ United States OMB No. 2050-0068
^^^" * m Environmental Protection Agency Approval expires 3/31/98
Washington, DC 20460
Notification for Underground Storage Tanks
Tank Identification Number
7. Substance Currently or Last Stored in Greatest
Quantity by Volume
Gasoline
Diesel
Gasohol
Kerosene
Heating Oil
Used Oil
Other
Please Specify
Hazardous Substance
CERCLA name and/or
CAS number
Mixture of Substances
Please Specify
Tank No
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Tank No
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X. TANKS OUT OF USE, OR CHANGE IN SERVICE
1 . Closing of Tank
A. Estimated date last used
(mo./day/year)
B. Estimated date tank closed
(mo./day/year)
C. Tank was removed from ground
D. Tank was closed in ground
E. Tank filled with inert material
Describe
F. Change in service
2. Site Assessment Completed
Evidence of a leak detected
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EPA Form 7530-1 (Rev. 8-94) Electronic and Paper versions acceptable.
Previous editions may be used while supplies last.
Page 4 of 5
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A CDA
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Notification for
Underground
Form Approved.
OMB No. 2050-0068
Approval expires 3/31/98
Storage Tanks
XI. CERTIFICATION OF COMPLIANCE (COMPLETE FOR ALL NEW AND UPGRADED TANKS AT THIS
Tank Identification Number
1 . Installation
A. Installer certified by tank and piping
manufacturers
B. Installer certified or licensed by the implementing
agency
C. Installation inspected by a registered
engineer
D. Installation inspected and approved by
implementing agency
E. Manufacturer's installation checklists have been
completed
F. Another method allowed by State agency. Please
specify.
2. Release Detection (Mark all that apply)
A. Manual tank gauging
B. Tank tightness testing
C. Inventory Controls
D. Automatic tank gauging
E. Vapor monitoring
F. Groundwater monitoring
G. Verify monitoring/secondary containment
H. Automatic line leak detectors
I. Line tightness testing
J. Other method allowed by implementing agency.
Please specify
3. Spill and Overfill Protection
A. Overfill device installed
B. Spill device installed
Tank No
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OATH: I certify the information concerning installation that is provided in section XI is true to the best of my belief and knowledge.
Installer:
Name
Position
Signature
Company
Date
EPA Form 7530-1 (Rev. 8-94) Electronic and Paper versions acceptable.
Previous editions may be used while supplies last.
Page 5 of 5
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Glossary
APPENDIX D
APPENDIX D
GLOSSARY
The terms below are defined as they pertain to the
Resource Conservation and Recovery Act.
Abandoned For purposes of defining a material as
a solid waste under RCRA Subtitle C, a material
that is disposed of, burned, or incinerated.
Accumulated Speculatively Storage of a material
in lieu of expeditious recycling. Materials are
usually accumulated speculatively if the waste
being stored has no viable market or if a facility
cannot demonstrate that at least 75 percent of the
material has been recycled in a calendar year.
Acknowledgment of Consent Notice sent by EPA
to an exporter of hazardous waste, indicating that
the importing country has agreed to accept such
waste.
Action Levels For purposes of Subtitle C
corrective action, risk-based concentrations of
hazardous constituents in ground water, soil, or
sediment that may trigger further investigation into
possible contamination at a particular site.
Administrative Action Enforcement action taken
by EPA or a state under its own authority, without
involving a judicial court process.
Administrative Procedures Act The Act that
establishes rulemaking procedures as well as site-
specific licensing procedures, access to agency
information, and procedures and standards for
judicial review of agency actions. All
environmental rulemakings proposed and finalized
by EPA include public participation throughout the
process.
Aggregation Points Centers that accept used oil
only from places owned by the same owner and
operator as the aggregation point, or from do-it-
yourselfers.
Alternative Concentration Limits For purposes of
TSDF ground water monitoring, hazardous
constituent limits established by the EPA Regional
Administrator that are allowed to be present in
ground water.
Annual Aggregate For purposes of UST financial
responsibility, the total amount of UST financial
responsibility coverage required to cover all leaks
that might occur in one year.
Applicable or Relevant and Appropriate
Requirements Standards, criteria, or limitations
under federal or more stringent state
environmental laws, including RCRA, that may be
required during a Superfund remedial action,
unless site-specific waivers are obtained.
D-l
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APPENDIX D
Glossary
Authorized State A state that has been delegated
the authority by EPA to implement and enforce its
own regulations for hazardous waste management
under RCRA. The state program must be at least
as stringent as the federal standards.
Automatic Tank Gauging A release detection
method for USTs that uses a probe in the tank that
is wired to a monitor to provide information on
product level and temperature.
Basel Convention The international treaty that
establishes standards for global trade of hazardous
waste, municipal waste, and municipal incinerator
ash. Because the United States is not a party to
the convention, U.S. businesses can only export
waste to those countries with which the U.S.
government has negotiated a separate waste trade
agreement.
Bentsen Wastes Geothermal exploration,
development, and production waste exempt from
RCRA Subtitle C regulation.
Best Demonstrated Available Technology The
technology that best minimizes the mobility or
toxicity (or both) of the hazardous constituents for
a particular waste.
Bevill Wastes Fossil fuel combustion wastes,
mining and mineral processing wastes, and
cement kiln dust wastes exempt from RCRA
Subtitle C regulation.
Biennial Report A report submitted by hazardous
waste LQGs and TSDFs in order to enable EPA
and the states to track the quantities of hazardous
waste generated and the movements of those
hazardous wastes.
Biennial Reporting System A database that tracks
hazardous waste activity reports, known as
biennial reports, that are submitted by LQGs and
TSDFs.
Boiler An enclosed device that uses controlled
flame combustion to recover and deliver energy in
the form of steam, heated fluid, or heated gases.
Bottom Ash Ash that collects at the bottom of a
combustion chamber.
Burners Handlers who burn used oil for energy
recovery in boilers, industrial furnaces, or
hazardous waste incinerators.
Burning for Energy Recovery Burning hazardous
waste for its heating value as a fuel, and using
wastes to produce fuels or as ingredients in fuels.
By-Products Materials that are not one of the
intended products of a production process. It is a
catch-all term and includes most wastes that are
not spent materials or sludges.
California List Interim LDR treatment standards
that ensured adequate protection of human health
and the environment during the time EPA was
promulgating final LDR treatment standards.
Capacity Assurance Plan A written statement
which ensures that a state has hazardous waste
treatment and disposal capacity. This capacity
must be for facilities that are in compliance with
RCRA Subtitle C requirements and must be
adequate to manage hazardous wastes projected
to be generated within the state over 20 years.
Cathodic Protection A form of corrosion
protection for USTs that uses sacrificial anodes or a
direct current source to protect steel by halting the
naturally occurring electrochemical process that
causes corrosion.
Change in Service Using a formerly regulated
UST system to store a nonregulated substance.
D-2
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Glossary
APPENDIX D
Characteristic Waste Waste that is considered
hazardous under RCRA because it exhibits any of
four different properties: ignitability, corrosivity,
reactivity, and toxicity.
Civil Action A formal lawsuit, filed in court,
against a person who has either failed to comply
with a statutory or regulatory requirement or an
administrative order, or against a person who has
contributed to a release of hazardous waste or
hazardous constituents.
Clean Air Act The Act that regulates air emissions
from area, stationary, and mobile sources. CAA
limits the emission of pollutants into the
atmosphere in order to protect human health and
the environment from the effects of airborne
pollution.
Clean Closure The process of completely
removing all waste that was treated, stored, or
disposed in a hazardous waste unit.
Clean Water Act The Act that sets the basic
structure for regulating discharges of pollutants to
surface waters of the United States. CWA imposes
contaminant limitations or guidelines for all
discharges of wastewater into the nation's
waterways.
Closure Procedure that a solid or hazardous
waste management facility undergoes to cease
operations and ensure protection of human health
and the environment in the future.
Codification The process by which final
regulations are incorporated into the CFR, which
is published annually.
Collection Centers Centers that accept used oil
from multiple sources, including both businesses
and private citizens.
Combustion The controlled burning in an
enclosed area as a means of treating or disposing
of hazardous waste.
Commercial Chemical Products Unused or off-
specification chemicals, spill or container residues,
and other unused manufactured products that are
not typically considered chemicals. For the
purposes of hazardous waste listings, CCPs include
only unused, pure chemical products and
formulations.
Compliance Monitoring For purposes of RCRA
TSDF ground water monitoring, a program that
seeks to ensure that the amount of hazardous
waste that has leaked into the uppermost aquifer
does not exceed acceptable levels.
Composting Processes designed to optimize the
natural decomposition or decay of organic matter,
such as leaves and food. The end product of
composting is a humus-like material that can be
added to soils to increase soil fertility, aeration,
and nutrient retention.
Comprehensive Environmental Response,
Compensation, and Liability Act The Act that
authorizes EPA to clean up uncontrolled or
abandoned hazardous waste sites and respond to
accidents, spills and other emergency releases of
hazardous substances. CERCLA provides EPA with
enforcement authority to ensure that responsible
parties pay the cleanup costs of remediating a site
contaminated with hazardous substances.
Comprehensive Environmental Response,
Compensation, and Liability Information System
A computerized database used to track hazardous
substance sites.
Comprehensive Procurement Guidelines A list,
updated annually, which designates items with
recycled content that procuring agencies should
aim to purchase. This list currently contains 36
items within 8 product categories.
D-3
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APPENDIX D
Glossary
Concentration Limits For purposes of TSDF
ground water monitoring, the maximum levels of
hazardous constituents allowed to be present in
the ground water.
Conditionally Exempt Small Quantity
Generators Facilities that produce less than 100
kg of hazardous waste, or less than 1 kg of acutely
hazardous waste, per calendar month. A CESQG
may only accumulate less than 1,000 kg of
hazardous waste, 1 kg of acutely hazardous waste,
or 100 kg of spill residue from acutely hazardous
waste at any one time.
Construction Quality Assurance A program
required by EPA to ensure that a landfill, surface
impoundment, or waste pile meets all of the
technological requirements.
Contained-ln Policy EPA's policy that determines
the health threats posed by contaminated
environmental media and debris, and whether
such materials must be managed as RCRA
hazardous wastes.
Containers Portable devices in which a material
is stored, transported, treated, or otherwise
handled.
Containment Building A completely enclosed
structure used to store or treat noncontainerized
waste.
Cooperative Agreement An agreement between
a state and EPA which ensures that the state will
spend money from the LUST Trust Fund for its
intended purpose.
Corporate Guarantee The demonstration that a
corporate grandparent, corporate parent, or
sibling corporation can meet financial assurance
requirements on behalf of a TSDF owner and
operator, or the financial responsibility
requirements on behalf of an UST owner and
operator. Firms with a "substantial business
relationship" with an UST owner and operator can
also make this demonstration.
Corrective Action EPA's program to address the
investigation and cleanup of contamination from
solid waste facilities, hazardous waste facilities,
and USTs.
Corrective Action Management Unit A physical,
geographical area designated by EPA or states for
managing remediation wastes during corrective
action.
Corrective Measures Implementation A step in
the RCRA Subtitle C corrective action process
when the owner and operator performs detailed
design, construction, operation, maintenance, and
monitoring of a chosen cleanup remedy.
Corrective Measures Study A step in the RCRA
Subtitle C corrective action process when the
owner and operator identifies and evaluates
remediation alternatives at a given contaminated
site.
Corrosivity Characteristic The characteristic
which identifies wastes that are acidic or alkaline
(basic) and can readily corrode or dissolve flesh,
metal, or other materials.
Counting Totaling the hazardous wastes at a
given facility for a particular month in order to
determine hazardous waste generator status.
D-4
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Glossary
APPENDIX D
Covered State States that participated in EPA's
medical waste tracking program from June 22,
1989 to June 22, 1991, which included
Connecticut, New Jersey, New York, Rhode Island,
and the Commonwealth of Puerto Rico.
Cradle to Grave The time period referring to the
initial generation of hazardous waste to its
ultimate disposal.
Criminal Action Enforcement action reserved for
the most serious violations, which can result in
fines or imprisonment.
De minimis Very small amounts of hazardous
waste that are discharged to wastewater treatment
facilities and thus, are exempt from the mixture
rule. De minimis also refers to small
concentrations of regulated substances in an UST.
Debris A broad category of large manufactured
and naturally occurring objects that are commonly
discarded (e.g., construction materials,
decommissioned industrial equipment, discarded
manufactured objects, tree trunks, boulders).
Delisting A site-specific petition process whereby
a handler can demonstrate to EPA that a particular
wastestream generated at its facility that meets a
listing description does not pose sufficient hazard
to warrant RCRA regulation. Owners and
operators can also use the delisting process for
wastes that are hazardous under the mixture and
derived-from rules that pose minimal hazard to
human health and the environment.
Derived-From Rule A rule that regulates residues
from the treatment of listed hazardous wastes.
Destination Facilities Facilities that treat, dispose
of, or recycle a particular category of universal
waste.
Destruction and Removal Efficiency Standard
which verifies that a combustion unit is destroying
the organic components found in hazardous
waste.
Detection Monitoring For purposes of RCRA
TSDF ground water monitoring, the first step of
monitoring at land disposal units, where the
owner and operator monitors for indication of a
leak from the unit, looking for potential changes in
the ground water quality from normal
(background) levels.
Dilution Prohibition The LDR requirement that
prohibits the addition of soil or water to waste in
order to reduce the concentrations of hazardous
constituents instead of treatment by the
appropriate LDR treatment standards.
Direct Discharges Discharges from point sources
into surface water pursuant to a CWA NPDES
permit.
Disposal The discharge, deposit, injection,
dumping, spilling, leaking, or placing of any solid
or hazardous waste on or in the land or water.
Disposal Prohibition The LDR requirement that
prohibits the land disposal of hazardous waste that
has not been adequately treated to reduce the
threat posed by such waste.
Distillation Bottoms Residues that form at the
bottom of a distillation unit.
Do-it-Yourselfers Individuals who generate used
oil through the maintenance of their own personal
vehicles and equipment, and are not considered
used oil generators.
D-5
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APPENDIX D
Glossary
Drip Pads Engineering structures consisting of a
curbed, free-draining base, constructed of
nonearthen materials, and designed to convey
wood preservative chemical drippage from treated
wood, precipitation, and surface water run-on to
an associated collection system at wood
preserving plants.
Elementary Neutralization Units Containers,
tanks, tank systems, transportation vehicles, or
vessels which neutralize wastes that are hazardous
only for exhibiting the characteristic of corrosivity.
Emergency Planning and Community Right-to-
Know Act The Act designed to help communities
prepare to respond in the event of a chemical
emergency, and to increase the public's
knowledge of the presence and threat of
hazardous chemicals.
Environmental Justice The fair distribution of
environmental risks across socioeconomic and
racial groups.
Environmental Media Materials such as soil,
groundwater, and sediment.
EPA Identification Number A unique number
assigned by EPA to each hazardous waste
generator, transporter, or treatment, storage, and
disposal facility.
Episodic Generation The situation in which a
generator's status changes from one month to the
next, as determined by the amount of waste
generated in a particular month. If a generator's
status does in fact change, the generator is
required to comply with the respective regulatory
requirements for that class of generators for the
waste generated in that particular month.
Exception Report A report, submitted by LQGs
and SQGs, detailing efforts to locate wastes when
a signed copy of the manifest has not been
received.
Existing USTs USTs that were in service, or for
which installation had commenced on or before
December 22, 1988.
Federal Insecticide, Fungicide, and Rodenticide
Act The Act that provides procedures for the
registration of pesticide products to control their
introduction into the marketplace.
Federal Procurement Program A program that
sets minimum recycled content standards for
certain designated items and requires procuring
agencies to purchase those items composed of the
highest percentage of recovered materials
practicable.
Final Authorization Authorization by EPA that
indicates that a state's program is equivalent to, or
no less stringent than, as well as consistent with,
federal hazardous waste regulations.
Financial Assurance Under RCRA Subtitle C, the
requirements designed to ensure that TSDF
owners and operators will have the financial
resources to pay for closure, post-closure, and
liability costs. Under RCRA Subtitle D, the
requirements designed to ensure that MSWLF
owners and operators will have the financial
resources to pay for closure, post-closure, and
corrective action costs.
Financial Test A test of self-insurance which
demonstrates that an owner and operator has
sufficient financial strength to satisfy TSDF
financial assurance or UST financial responsibility
requirements.
Float The lighter materials present in petroleum
refinery wastewater. As components of oily waste,
float rises to the surface in the first step of
wastewater treatment.
D-6
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Glossary
APPENDIX D
Fly Ash Particles of ash, such as participate matter
which may also have metals attached them, that
are carried up the stack of a combustion unit with
gases during combustion.
Formal Action An enforcement action, frequently
in the form of an administrative order, that is taken
when a serious violation is detected, or when the
owner and operator does not respond to an
informal action.
Freedom of Information Act The Act that grants
private parties the right to obtain information in
the government's possession. FOIA requires each
federal agency to establish procedures for
handling requests regarding government statutes,
regulations, standards, permit conditions,
requirements, orders, and policies.
Full Cost Accounting An accounting approach
that helps local governments identify all direct and
indirect costs, as well as the past and future costs,
of a municipal solid waste management program.
Generator Any person whose act first creates or
produces a hazardous waste, used oil, or medical
waste, or first brings such materials into RCRA
regulation.
Ground Water Monitoring Sampling and
analysis of ground water for the purpose of
detecting the release of contamination from a
solid or hazardous waste land-based unit. Ground
water monitoring is also a method of UST release
detection which senses the presence of liquid
product floating in ground water.
Hammer Provisions Requirements written
directly into RCRA by Congress, as in the case of
the Hazardous and Solid Waste Amendments of
1984, that would automatically become
regulations if EPA failed to issue its own regulations
by certain dates.
Hazard Communication Standard The OSHA
standard that provides workers with access to
information about the hazards and identities of
the chemicals they are exposed to while working,
as well as the measures they can take to protect
themselves.
Hazard Ranking System A model devised under
CERCLA that determines the relative risk to public
health and the environment posed by hazardous
substances in ground water, surface water, air, and
soil. Only those sites with a score of 28.5 (on a
scale of 0 to 100) are eligible for placement on the
NPL.
Hazardous Constituents For purposes of RCRA
TSDF ground water monitoring, those constituents
that have been detected in the uppermost aquifer
and are reasonably expected to be in or derived
from the waste contained in the unit.
Hazardous Substance A comprehensive
designation under CERCLA for RCRA hazardous
wastes as well as other toxic pollutants regulated
by CAA, CWA, and TSCA. EPA has the authority
under CERCLA to designate any additional
element, compound, mixture, or solution as a
hazardous substance. The definition of hazardous
substance specifically excludes petroleum and
natural gas.
Hazardous Waste A waste with properties that
make it dangerous, or capable of having a harmful
effect on human health and the environment.
Under the RCRA program, hazardous wastes are
specifically defined as wastes that meet a
particular listing description or that exhibit a
characteristic of hazardous waste.
D-7
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APPENDIX D
Glossary
Hazardous Waste Identification Rule for
Contaminated Media (HWIR-media) Rule that
proposes provisions for streamlined permits for
managing remediation wastes, increased flexibility
for staging wastes prior to off-site treatment or
shipment, an exclusion for dredged material, and
streamlined RCRA state authorization procedures.
Hazardous Waste Identification Rule for Waste
(HWIR-waste) Rule that proposes exit levels for
hazardous constituents in listed wastes.
Hazardous Waste Operations and Emergency
Response Worker Protection Standard The
OSHA standard that protects the health and safety
of workers engaged in operations at hazardous
waste sites, hazardous waste treatment facilities,
and emergency response locations.
Ignliability characteristic The characteristic
which identifies wastes that can readily catch fire
and sustain combustion.
Incinerator An enclosed device that uses
controlled flame combustion and does not meet
the criteria for classification as a boiler, industrial
furnace, sludge dryer (a unit that dehydrates
hazardous sludge), or carbon regeneration unit (a
unit that regenerates spent activated carbon).
Incinerators also include infrared incinerators
(units that use electric heat followed by a
controlled flame afterburner) and plasma arc
incinerators (units that use electrical discharge
followed by a controlled flame afterburner).
Incorporation by Reference This occurs when
the regulatory language in a state's regulation
actually cite, or refer to, the federal regulations.
Indirect Discharges Wastewater that is first sent
to a POTW, and then after treatment by the
POTW, discharged pursuant to an NPDES permit
that is sent to a POTW before being discharged as
allowed by a NPDES permit.
Industrial Furnace An enclosed unit that is an
integral part of a manufacturing process and uses
thermal treatment to recover materials or energy
from hazardous waste.
Informal Administrative Action Any
communication from EPA or a state agency that
notifies the handler of a problem.
Inherently Waste-Like For purposes of defining a
material as a solid waste under RCRA Subtitle C, a
material, such as dioxin-containing wastes, that is
always considered a solid waste because of its
intrinsic threat to human health and the
environment.
Insurance A policy to cover the TSDF financial
assurance or UST financial responsibility
requirements.
Interim Authorization A temporary mechanism
that is intended to promote continued state
participation in hazardous waste management
while encouraging states to develop programs that
are fully equivalent to the federal program and will
qualify for final authorization.
Interim Measures Under RCRA Subtitle C
corrective action, short-term actions to control
ongoing risks while site characterization is
underway or before a final remedy is selected.
Interim Status Facilities TSDFs that were already
in operation when the RCRA standards were
established, and that are operating under less
stringent standards until they receive a permit.
Interstitial Monitoring UST release detection
method that involves the use of secondary
containment, such as a barrier, outer wall, vault,
or liner around the UST or piping to prevent
leaking product from escaping into the
environment. If product escapes from the inner
tank or piping, it will then be directed towards an
interstitial monitor located between the walls.
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Glossary
APPENDIX D
Inventory Control An UST release detection
method that involves taking measurements of tank
contents, recording the amount of product
pumped each operating day, and reconciling this
data at least once a month to determine is a tank
is leaking.
Jobs through Recycling A program EPA launched
in 1994 to support recycling markets. The goal of
the program is to foster markets for recycled goods
by promoting and assisting the development of
businesses using recovered materials, creating new
recycling jobs, and spurring innovative
technologies.
Lab Packs Drums filled with many small
containers packed in nonbiodegradable absorbent
materials.
Land Disposal For purposes of RCRA Subtitle C
regulation, placement in or on the land, except in
a corrective action unit, and includes, but is not
limited to, placement in a landfill, surface
impoundment, waste pile, injection well, land
treatment facility, salt dome formation, salt bed
formation, underground mine or cave, or
placement in a concrete vault, or bunker intended
for disposal purposes.
Land Treatment Units Also known as land farms,
land treatment units involve the application of
hazardous waste on the soil surface, or the
incorporation of waste into the upper layers of the
soil in order to degrade, transform, or immobilize
hazardous constituents present in hazardous
waste.
Landfill For purposes of RCRA Subtitle C, a
disposal unit where nonliquid hazardous waste is
placed in or on the land.
Large Quantity Generators Facilities that
generate more than 1,000 kg of hazardous waste
per calendar month, or more than 1 kg of acutely
hazardous waste per calendar month.
Large Quantity Handlers of Universal Waste
Handlers that accumulate a total of 5000 kg or
more of universal waste at any one time.
Leachate Any liquid, including any suspended
components in the liquid, that has percolated
through or drained from waste.
Leaking Underground Storage Tank Trust Fund
A fund created by SARA that provides money for
overseeing corrective action taken by a
responsible party, and provides money for
cleanups at UST sites where the owner and
operator is unknown, unwilling, or unable to
respond.
Letter of Credit A credit document issued to an
owner and operator to cover TSDF financial
assurance or UST financial responsibility
requirements.
Liabilities Damages that may result from an
unexpected release of contaminants into the
environment.
Listed Wastes Wastes that are considered
hazardous under RCRA because they meet
specific listing descriptions.
Manifest Paperwork that accompanies hazardous
waste from the point of generation to the point of
ultimate treatment, storage, or disposal. Each
party involved in the waste's management retains
a copy of the RCRA manifest, which contains
specific information about the waste.
Manual Tank Gauging A method of UST leak
detection that requires keeping the tank
undisturbed for at least 36 hours per week, during
which time the contents of the tank are measured
to determine if the tank is leaking.
D-9
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APPENDIX D
Glossary
Marine Protection, Research, and Sanctuaries
Act This Act requires a permit for any material
that is transported from a U.S. port or by a U.S.
vessel for deposition at sea.
Marketers Used oil handlers who either 1) direct
shipments of used oil to be burned as fuel in
regulated devices, or 2) claim that used oil to be
burned for energy recovery is on-specification.
Maximum Achievable Control Technology
Process Technology-based concentration limits
developed under CAA to limit emissions of
individual constituents from hazardous waste
combustion units.
Maximum Contaminant Levels For purposes of
RCRA ground water monitoring, contaminant-
specific levels borrowed from SDWA that are the
maximum levels of hazardous waste or hazardous
constituents allowed to be present in the
groundwater.
Medical Waste Culture and stocks of infectious
agents, human pathological wastes, human blood
and blood products, used sharps, certain animal
wastes, certain isolation wastes, and unused
sharps.
Memorandum of Agreement An agreement
between a state's director and its EPA Regional
Administrator outlining the nature of the
responsibilities to enforce a regulatory program
and defining the level of coordination and
oversight between EPA and the state agency.
Military Munitions For purposes of defining a
material as a solid waste under RCRA Subtitle C,
ammunition products and components produced
for or used by the military for national defense
and security.
Miscellaneous Units Hazardous waste treatment,
storage, or disposal units regulated under RCRA
that do not meet any of the other definitions of
regulated units.
Mixed Waste Radioactive waste that is also a
hazardous waste under RCRA. Such wastes are
jointly regulated by RCRA and Atomic Energy Act.
Mixture Rule A rule that is intended to ensure
the regulation of mixtures of listed wastes with
nonhazardous solid wastes.
Municipal Solid Waste Durable goods (e.g.,
appliances, tires, batteries), nondurable goods
(e.g., newspapers, books, magazines), containers
and packaging, food wastes, yard trimmings, and
miscellaneous organic wastes from residential,
commercial, and industrial nonprocess sources.
Municipal Solid Waste Landfill A discrete area of
land or excavation that receives municipal solid
waste.
National Ambient Air Quality Standards
Regulations promulgated by EPA under the Clean
Air Act for six criteria pollutants sulfur dioxide,
particulate matter, nitrogen dioxide, carbon
monoxide, ozone, and lead in order to protect
the public from toxic emissions to the atmosphere.
National Corrective Action Prioritization System
A resource management tool by which EPA sets
priorities for the Subtitle C corrective action
program.
National Emission Standards for Hazardous Air
Pollutants Controls set by EPA under the Clean
Air Act to control emissions from specific industrial
sources.
D-10
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Glossary
APPENDIX D
National Oil and Hazardous Substances
Pollution Contingency Plan The NCR contains
the regulations that implement the CERCLA
response process. The NCR also provides
information about the roles and responsibilities of
EPA, other federal agencies, states, and private
parties regarding releases of hazardous substances.
National Priorities List EPA's priority hazardous
substance sites for cleanup. EPA only funds
remedial actions at hazardous waste sites on the
NPL.
New USTs USTs that are installed, or for which
installation has commenced, after December 22,
1988. New USTs must be installed in compliance
with all of the applicable technical standards.
Nonsudden Accidental Occurrences For
purposes of TSDF financial assurance, events that
take place over time and involve continuous or
repeated exposure to hazardous waste.
Notice of Deficiency A notice requiring that a
TSDF permit applicant supply more information
for a complete permit application.
Notice of Intent to Deny A notice issued by a
permitting agency which tells a TSDF permit
applicant that the application does not
demonstrate compliance with the RCRA
standards.
Notice of Noncompliance An informal letter to a
handler written as part of an informal
administrative action.
Notice of Violation An informal letter to a
handler written as part of an informal
administrative action.
Occupational Safety and Health Act The Act
that is designed to save lives, prevent injuries, and
protect the health of employees in the workplace.
OSHA accomplishes these goals through several
regulatory requirements including the HCS and
HAZWOPER standards.
OECD Council Decision A multilateral agreement
by the Organization for Economic Cooperation
and Development that establishes procedural and
substantive controls for the import and export of
recyclables between member nations. Because
the United States is a member of the OECD, U.S.
businesses can trade recyclables with other
member nations.
Off-Specification Used Oil Used oil that is tested
and does not meet given parameters for arsenic,
cadmium, chromium, flash point, lead, and total
halogens.
Omnibus Provision The authority which allows
EPA to add conditions to a TSDF permit that are
not specifically addressed by the RCRA
regulations.
On-Specification Used Oil Used oil that meets
all the given parameters for arsenic, cadmium,
chromium, flash point, lead, and total halogens.
Open Dumps Solid waste disposal facilities that
fail to comply with the Subtitle D criteria.
Operating Requirements Parameters established
by a facility and written into a permit that will
ensure a combustion unit meets numerical
performance standards.
D-ll
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APPENDIX D
Glossary
Operation and Maintenance The operation and
maintenance phase of the CERCLA response
process. Operation and maintenance may include
activities such as ground water pump and treat,
and cap maintenance. EPA conducts review of
operation and maintenance activities to ensure
that the remedy selected is still protective of
human health and the environment.
Overfiling When a state fails to enforce its
hazardous waste program properly, EPA can
overfile, or enforce a provision for which a
particular state has authorization.
Particulate Matter Small dust-like particles
emitted from hazardous waste combustion units.
Payment Bond For purposes of TSDF financial
assurance, a type of surety bond that will fund a
standby trust fund in the amount equal to the
value of the bond.
Per Occurrence For purposes of UST financial
responsibility, the amount of money that must be
available to pay for the costs from one leak.
Performance Bond For purposes of TSDF
financial assurance, a type of surety bond that
guarantees that an owner and operator will
comply with their closure, post-closure, and
liability requirements.
Performance Standards The numerical pollutant
emission limits for hazardous waste combustion
units developed by EPA.
Permanent Closure Closure of an UST that
involves a number of steps designed to ensure that
the tank will pose no threat to human health or
the environment after it is closed.
Permit-as-a-Shield The provision which ensures
that TSDF permittees will not be enforced against
for violating new requirements that were not
established in the original permit.
Permit-by-Rule A special form of a RCRA permit
that is sometimes granted to facilities with permits
for activities under other environmental laws.
Permitted Facilities Facilities that have obtained
a TSDF permit from EPA or the state agency to
engage in the treatment, storage, or disposal of
hazardous waste.
Phase I RCRA Facility Investigations Also known
as release assessments, these are used to confirm
or reduce uncertainty about areas of concern or
potential releases identified during a RCRA
Subtitle C corrective action RCRA facility
assessment.
Point of Compliance For purposes of RCRA TSDF
ground water monitoring, the vertical point where
a TSDF owner and operator must monitor the
uppermost aquifer to determine if the leak
exceeds the ground water protection standard.
Point Source Discharges Discharges of treated
wastewater directly into a lake, river, stream, or
other water body. Point source discharges are
regulated under CWA.
Pollutants or Contaminants Any element,
substance, compound, or mixture that, after
release into the environment and upon exposure,
ingestion, inhalation, or assimilation into any
organism, will or may reasonably be anticipated to
cause illness, death, or deformation in any
organism. The definition of pollutant or
contaminant specifically excludes petroleum and
natural gas.
Post-Closure Period after closure during which
owners and operators of solid or hazardous waste
disposal units conduct monitoring and
maintenance activities in order to preserve the
integrity of the disposal system.
D-12
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Glossary
APPENDIX D
Potentially Responsible Party The person or
persons who may be held liable for hazardous
substance contamination under CERCLA. PRPs
may include the owners and operators,
generators, transporters, and disposers of the
hazardous substances.
Precious Metals Reclamation The recycling and
recovery of precious metals (i.e., gold, silver,
platinum, palladium, iridium, osmium, rhodium,
and ruthenium) from hazardous waste.
Preliminary Assessment A review of all readily
available site information such as maps, deeds,
and other records to determine if further CERCLA
response action is necessary. During the PA, EPA
tries to determine what type of substances may
have been released and the potential impacts to
human health and the environment.
Principal Organic Hazardous Constituents
Selected organic constituents, which are high in
concentration and difficult to burn, that are
monitored to ensure a hazardous waste
combustion unit's destruction and removal
efficiency.
Processors and Rerefiners Facilities that process
used oil so that it can be burned for energy
recovery or reused.
Procuring Agency Agencies that purchase
$10,000 or more worth of an item designated
under the federal procurement program during
the course of a fiscal year. Procuring agencies
include: federal government departments or
agencies; state government agencies that use
appropriated federal funds for procurement of a
designated item; local government agencies that
use appropriated federal funds for procurement of
a designated item, and government contractors
that work on a project funded by appropriated
federal funds with respect to work performed
under the contract.
Publicly Owned Treatment Works A municipal
wastewater treatment plant that receives domestic
sewage from households, office buildings,
factories, and other places where people live and
work. Treatment at a POTW is regulated by CWA.
RCRA Facility Assessment Step in the RCRA
Subtitle C corrective action process where owners
and operators compile existing information on
environmental conditions at a given facility,
including information on actual and potential
releases.
RCRA Facility Investigation Site characterization
used to ascertain the nature and extent of
contamination of releases identified during a
Subtitle C RCRA facility assessment or the Phase I
RCRA facility investigation.
Reactivity Characteristic The characteristic
which identifies wastes that readily explode or
undergo violent reactions.
Rebuttable Presumption An objective test that
focuses on the halogen level in used oil to
determine whether the used oil has been mixed
with a listed hazardous waste.
Reclaimed For purposes of defining a material as
a solid waste under RCRA Subtitle C, a material is
reclaimed if it is processed to recover a usable
product, or regenerated by processing it in a way
that restores it to usable condition.
Record of Decision A remedial action plan
document that describes the remedy selected for a
Superfund site.
Recovered Materials Advisory Notice A notice
that provides a suggested recycled content levels
and other purchasing information for each item
designated in the CPG. Procuring agencies can
use these levels as guidelines, but are encouraged
to exceed EPA's recommendations.
D-13
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APPENDIX D
Glossary
Recovered Materials Content Standards The
minimum amount of recovered material that
designated items under the federal procurement
program should contain.
Recycled For purposes of defining a material as a
solid waste under RCRA Subtitle C, a material is
recycled if it is used or reused, or reclaimed.
Recycling The separation and collection of
wastes, their subsequent transformation or
remanufacture into usable or marketable products
or materials, and the purchase of products made
from recyclable materials.
Recycling Presumption The assumption that all
used oil that is generated will be recycled.
Regulated Community The group of
organizations, people, industries, businesses, and
agencies that, because they perform certain
activities, fall under the purview of RCRA.
Regulated Substance For purposes of UST
regulation, any hazardous substance defined
under CERCLA §101 (14), and petroleum.
Regulations Rules issued by an agency, such as
EPA, that translate the general mandate of a
statute into a set of requirements that the
regulated community and the agency must work
within.
Remedial Action Longer-term CERCLA response
actions that ultimately represent the final remedy
for a site and generally are more expensive and of
a longer duration than removals.
Remedial Design/Remedial Action Remedial
design is a phase in the CERCLA response process
in which technical drawings are developed for the
chosen remedy, costs for implementing the
remedy are estimated, and roles and
responsibilities of EPA, states and contractors are
determined. During the remedial action phase,
the remedy is implemented generally by a
contractor, with oversight and inspection
conducted by EPA or the state (or both).
Remedial Investigation/Feasibility Study A
remedial investigation is a phase in the CERCLA
response process that entails an in-depth
examination of the nature and extent of
contamination at a site and the associated risks to
human health and the environment. The
feasibility study entails an analysis of remedial
action alternatives comparing the advantages and
disadvantages of each.
Removal Action Short-term cleanup action taken
under CERCLA that usually addresses problems
only at the surface of a site. A removal is
conducted in response to an emergency, and
generally is limited to 12 months duration or $2
million in expenditures.
Resource Conservation and Recovery
Information System A database that tracks RCRA
Subtitle C facility-specific data and contains events
and activities related to hazardous waste
generators, transporters, and TSDFs.
Risk Retention Groups For purposes of UST
financial responsibility, entities formed by
businesses or individuals with similar risks to
provide insurance coverage for those risks.
Risk-Based Decision-Making A process that uses
risk and exposure assessment concepts to help
UST implementing agencies establish enforcement
priorities.
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Glossary
APPENDIX D
Rulemakings Rules issued by an agency, such as
EPA, that translate the general
mandate of a statute into a set of requirements
that the regulated community and the agency
must work within.
Safe Drinking Water Act The Act designed to
protect the nation's drinking water supply by
establishing national drinking water standards
(MCLs or specific treatment techniques), and by
regulating DIG wells.
Scrap Metal Worn or extra bits and pieces of
metal parts, such as scrap piping and wire, or
worn metal items, such as scrap automobiles and
radiators.
Secondary Materials The five categories of solid
wastes regulated under Subtitle C, which include:
spent materials, by-products, sludges, commercial
chemical products, and scrap metal.
Sham Recycling Illegitimate activities executed
under the guise of recycling in order to be exempt
from or subject to lesser regulation.
Site Inspection An in-depth assessment of on-site
conditions, conducted as part of the CERCLA
response process, to rank the site's hazard
potential by determining the site's hazard ranking
system score. Activities to assess the site may
include sampling, field reconnaissance, and
examination of site records (e.g., topographical
maps, logs).
Sludges Any solid, semisolid, or liquid wastes
generated from a wastewater treatment plant,
water supply treatment plant, or air pollution
control device.
Small Quantity Generators Facilities that
generate between 100 kg and 1,000 kg of
hazardous waste per calendar month.
Small Quantity Handlers of Universal Waste
Handlers that do not accumulate 5000 kg of all
universal waste categories combined at their
location at any one time.
Sole Active Ingredient For purposes of
determining if a waste is P or U listed, the only
chemical ingredient serving the function of a
commercial product formulation.
Solid Waste Any garbage, refuse, sludge from a
wastewater treatment plant, water supply
treatment plant, or air pollution control facility,
and other discarded material, including solid,
liquid, semisolid, or contained gaseous material,
resulting from industrial, commercial, mining, and
agricultural operations and from community
activities. For the purposes of hazardous waste
regulation, a solid waste is a material that is
discarded by being either abandoned, inherently
waste-like, a certain waste military munition, or
recycled.
Solid Waste Management Units For purposes of
Subtitle C corrective action, discernible units
where solid or hazardous wastes have been
placed at any times, or any area where solid
wastes have been routinely and systematically
released.
Source Reduction Maximizing or reducing the
use of natural resources at the beginning of an
industrial process, thereby eliminating the amount
of waste produced by the process. Source
reduction is EPA's preferred method of waste
management.
Spent Materials Materials that have been used
and can no longer serve the purpose for which
they were produced without processing.
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APPENDIX D
Glossary
Spill Prevention Control and Countermeasures
Regulations establishing spill prevention
procedures and equipment requirements for
nontransportation-related facilities with certain
aboveground or underground storage capacities
that could reasonably be expected to discharge oil
into or upon the navigable waters of the United
States or adjoining shorelines.
State Assurance Funds For purposes of UST
financial responsibility, state funds that are used to
help pay for cleanup and third-party liability costs
resulting from leaking USTs.
State Authorization Tracking System A tool used
by EPA to chart those states that have been
authorized to implement the RCRA hazardous
waste program.
Statement of Basis Document that summarizes a
proposed remedial action plan and the findings
supporting that selected remedy during the
Subtitle C corrective action process.
Statistical Inventory Reconciliation An UST
release detection method that involves using
sophisticated computer software to conduct a
statistical analysis of inventory, delivery, and
dispensing data in order to determine if a tank is
leaking.
Storage Holding hazardous waste for a temporary
period, after which the hazardous waste is treated,
disposed of, or stored elsewhere.
Storage Prohibition LDR provision that prevents
the indefinite storage of untreated hazardous
waste for reasons other than the accumulation of
quantities necessary for effective treatment or
disposal.
Sudden Accidental Occurrences For purposes of
TSDF financial assurance, events that are not
continuous or repeated.
Superfund The common name for CERCLA.
Superfund refers to the entire CERCLA program as
well as the trust fund established to fund cleanup
of contaminated sites where potentially
responsible parties cannot be identified, or are
unwilling or unable to pay.
Superfund Amendments and Reauthorization
Act SARA, enacted in 1986, reauthorized and
amended CERCLA to include additional
enforcement authorities, technical requirements,
community involvement requirements, and
various clarifications. SARA Title III authorized
EPCRA.
Supplemental Environmental Projects
Environmentally beneficial projects which a
defendant or respondent agrees to undertake in
the settlement of a civil or administrative
enforcement action, but which the defendant is
not otherwise legally required to perform.
Surety Bond A guarantee which certifies that a
surety company will cover TSDF financial
assurance or UST financial responsibility
requirements on behalf of the owner and
operator.
Surface Impoundment A natural topographic
depression, man-made excavation, or diked area
formed primarily of earthen materials that is used
to treat, store, or dispose of hazardous waste.
Tank Tightness Testing A variety of UST release
detection methods used to determine if a tank is
leaking; most of these methods involve monitoring
changes in product level or volume in a tank over
a period of several hours.
Tanks Stationary devices used to store or treat
hazardous waste.
D-16
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Glossary
APPENDIX D
Technical Grade For purposes of determining if a
waste is P or U listed, a commercial chemical
product that is not 100 percent pure, but is of a
grade of purity that is either marketed or
recognized in general usage by the chemical
industry.
Temporary Closure A method by which an UST
owner and operator can close a tank temporarily
and bring it back into service at a later date. The
owner and operator must continue to operate and
maintain the corrosion protection system and the
leak detection system if any product remains in
the tank.
Temporary Units Containers or tanks that are
designed to manage remediation wastes during
corrective action at permitted or interim status
facilities.
Thermal Treatment The treatment of hazardous
waste in a device that uses elevated temperatures
as the primary means to change the chemical,
physical, or biological character or composition of
the waste.
Totally Enclosed Treatment Units Units that are
designed and constructed to practically eliminate
the potential for hazardous wastes to escape into
the environment during treatment.
Toxic Substances Control Act The Act that
controls the manufacture and sale of certain
chemical substances.
Toxicity Characteristic The characteristic which
identifies wastes that are likely to leach dangerous
concentrations of toxic chemicals into ground
water.
Toxicity Characteristic Leaching Procedure A
lab procedure designed to predict whether a
particular waste is likely to leach chemicals into
ground water at dangerous levels.
Transfer Facilities Any transportation-related
facility such as loading docks, parking areas,
storage areas, or other similar areas where
shipments of hazardous waste, used oil, or
universal waste are held temporarily during the
normal course of transportation.
Transporter Any person engaged in the off-site
transportation of hazardous waste, used oil,
universal waste, or medical waste.
Treatment Any method, technique, or process
designed to physically, chemically, or biologically
change the nature of a hazardous waste.
Treatment Standards LDR criteria that hazardous
waste must meet before it is disposed.
Treatment, Storage, and Disposal Facilities
Facilities engaged in the treatment, storage, or
disposal of hazardous waste. These facilities are
the last link in the cradle-to-grave hazardous
waste management system.
Trial Burn Burn conducted to test the
performance of a hazardous waste combustion
unit over a range of conditions.
Trust Fund A financial mechanism by which a
facility can set aside money in order to cover the
TSDF financial assurance or UST financial
responsibility requirements.
Underground Injection Control Well Units into
which hazardous waste is permanently disposed of
by injection 1/4 mile below an aquifer with an
underground source of drinking water (as defined
under SDWA).
Underground Storage Tanks A tank and any
underground piping connected to the tank that is
used to contain an accumulation of regulated
substances and that has at least 10 percent of its
combined volume underground.
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APPENDIX D
Glossary
Underlying Hazardous Constituents
Constituents that must be treated in order to meet
contaminant-specific levels for purposes of the
LDR program.
Unit Pricing An economic incentive program
used to achieve source reduction and recycling,
also called variable rate refuse collection, where
customers who dispose of more waste pay more
for the collection and disposal services.
Universal Treatment Standards Contaminant-
specific hazardous waste LDR treatment levels.
Universal Wastes Commonly recycled wastes
with special management provisions intended to
facilitate recycling. There are three categories of
universal wastes: hazardous waste batteries,
hazardous waste pesticides that have been
recalled or collected in waste pesticide collection
programs, and hazardous waste thermostats.
Upgrading Retrofitting existing USTs to come into
compliance with the UST regulations. The
upgrading period expires on December 22, 1998.
Use Constituting Disposal The direct placement
of wastes or waste-derived products (e.g., asphalt
with petroleum refining wastes as an ingredient)
on the land.
Used Oil Any oil that has been refined from
crude or synthetic oil that has been used and, as a
result of such use, is contaminated by physical or
chemical impurities.
Vapor Monitoring An UST release detection
method in which the equipment measures
product fumes in the soil around the UST to check
for leaks.
Waste Analysis Plan A plan that outlines the
procedures necessary to ensure proper treatment,
storage, or disposal of hazardous waste.
Waste Minimization The reduction, to the extent
feasible, in the amount of hazardous waste
generated prior to any treatment, storage, or
disposal of the waste. Because waste
minimization efforts eliminate waste before it is
generated, disposal costs may be reduced, and the
impact on the environment may be lessened.
Waste Pile An open pile used for treating or
storing nonliquid hazardous waste.
Wastewater Treatment Units Tanks or tank
systems that treat hazardous wastewaters and
discharge them pursuant to CWA.
Wastewise A program designed to assist
companies, states, local governments, Native
American tribes, and other institutions in
developing cost-effective practices to reduce solid
waste.
Zero Discharges Wastewater that is not directly
or indirectly discharged to a navigable water (e.g.,
wastewater that is land disposed through spray
irrigation) under CWA. Zero discharge facilities
are subject to federal or state regulatory limitations
that are as strict as those that apply to direct and
indirect dischargers under CWA..
D-18
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Acronyms and Abbreviations
APPENDIX E
APPENDIX E
ACRONYMS AND ABBREVIATIONS
ACL - Alternative Concentration Limit
AEA - Atomic Energy Act
APA - Administrative Procedures Act
API - American Petroleum Institute
ARAR - Applicable or Relevant and Appropriate
Requirement
ATSDR - Agency for Toxic Substances and Disease
Registry
BATF - Bureau of Alcohol, Tobacco, and Firearms
BOAT - Best Demonstrated Available Technology
BIF - Boiler or Industrial Furnace
BRS - Biennial Reporting System
CAA-Clean Air Act
CAMU - Corrective Action Management Unit
CAP - Capacity Assurance Plan
CBI - Confidential Business Information
CCP - Commercial Chemical Product
CDC - Centers for Disease Control
CERCLA - Comprehensive Environmental
Response, Compensation, and Liability Act
CERCLIS - Comprehensive Environmental
Response, Compensation, and Liability Act
Information System
CESQG - Conditionally Exempt Small Quantity
Generator
CFC - Chlorofluorocarbon
CFR - Code of Federal Regulations
CMI - Corrective Measures Implementation
CMS - Corrective Measures Study
CPG - Comprehensive Procurement Guideline
CWA - Clean Water Act
DOD - Department of Defense
DOE - Department of Energy
DOJ - Department of Justice
DOT - Department of Transportation
ORE - Destruction and Removal Efficiency
DSCM - Dry Standard Cubic Meter
END - Elementary Neutralization Unit
EPA ID- EPA Identification
EPCRA - Emergency Planning and Community
Right-to-Know Act
FIFRA- Federal Insecticide, Fungicide, and
Rodenticide Act
FOIA - Freedom of Information Act
GPRA - Government Performance and Results Act
GWPS - Ground water Protection Standard
H - Hazard Code
HAZWOPER - Hazardous Waste Operations and
Emergency Response Worker Protection
Standard
HCS - Hazard Communication Standard
HRS - Hazard Ranking System
HSWA - Hazardous and Solid Waste Amendments
HWIR-media - Hazardous Waste Identification
Rule for Media
HWIR-waste - Hazardous Waste Identification
Rule for Waste
kg - kilogram
E-l
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APPENDIX E
Acronyms and Abbreviations
Ib - pound
LDR - Land Disposal Restrictions
LQG - Large Quantity Generator
LQHUW - Large Quantity Handler of Universal
Waste
LUST - Leaking Underground Storage Tank
MACT - Maximum Achievable Control Technology
MCL - Maximum Contaminant Level
MOA - Memorandum of Agreement
MPRSA - Marine Protection, Research, and
Sanctuaries Act
MSWLF - Municipal Solid Waste Landfill
NAAQS - National Ambient Air Quality Standards
NCAPS - National Corrective Action Prioritization
System
NCP - National Oil and Hazardous Substances
Pollution Contingency Plan
NESHAP - National Emission Standards for
Hazardous Air Pollutants
NPDES - National Pollutant Discharge Elimination
System
NPL - National Priorities List
NSPS - New Source Performance Standards
O&M - Operation and Maintenance
OECA - Office of Enforcement and Compliance
Assurance
OECD - Organization for Economic Cooperation
and Development
OPA - Oil Pollution Act
OSHA - Occupational Safety and Health Act
OSWER - Office of Solid Waste and Emergency
Response
PA - Preliminary Assessment
PCB - Polychlorinated Biphenyl
PEI - Petroleum Equipment Institute
POHC - Principal Organic Hazardous Constituent
POTW - Publicly Owned Treatment Works
ppm - part per million
ppmw - part per million by weight
PRP - Potentially Responsible Party
RBAC - Recycling and Reuse Business Assistance
Center
RBDM - Risk-Based Decision-Making
RCRA - Resource Conservation and Recovery Act
RCRIS - Resource Conservation and Recovery Act
Information System
RD&D - Research, Development, and
Demonstration
RD/RA - Remedial Design/Remedial Action
REDA - Recycling Economic Development
Advocate
RFA - RCRA Facility Assessment
RFI - RCRA Facility Inspection
RI/FS - Remedial Investigation/Feasibility Study
RIC - RCRA Information Center
RMAN - Recovered Materials Advisory Notice
ROD - Record of Decision
SARA - Superfund Amendments and
Reauthorization Act
SDWA - Safe Drinking Water Act
SIC - Standard Industrial Classification
SI - Site Inspection
SIR - Statistical Inventory Reconciliation
SPCC - Spill Prevention, Control, and
Countermeasures
SQG - Small Quantity Generator
SQHUW - Small Quantity Handler of Universal
Waste
StATS - State Authorized Tracking System
SWMU - Solid Waste Management Unit
TC - Toxicity Characteristic
TCLP - Toxicity Characteristic Leaching Procedure
TETU - Totally Enclosed Treatment Unit
TSCA - Toxic Substances Control Act
TSDF - Treatment, Storage, and Disposal Facility
UIC - Underground Injection Control
USPS - United States Postal Service
UST - Underground Storage Tank
UTS - Universal Treatment Standard
WIPP - Waste Isolation Pilot Project
WWTU - Wastewater Treatment Unit
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EPA Organization Chart
APPENDIX F
APPENDIX F
OSW ORGANIZATION CHART
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APPENDIX F
EPA Organization Chart
The Office of Solid Waste (OSW) contributes to the Agency's goal of protecting human health and
the environment. Its principal responsibility is to build a national waste management program,
implemented through EPA Regional Offices and state programs, to manage solid and hazardous waste in
the United States. There are six divisions which follow:
The Communications, Information, and Resources Management Division (CIRMD) is responsible
for managing an outreach and communications program to increase public awareness about solid and
hazardous waste programs, managing the national RCRA information systems, and providing
administrative, budget, and contract management support to the Office of Solid Waste.
The Economics, Methods, and Risk Analysis Division (EMRAD) is responsible for evaluating
toxicological and exposure data; developing health and ecological risk assessment support; and applying
multimedia fate to transport models to assist in the evaluation of the ecological and human health
impacts of solid waste management systems. It prepares regulatory assessments, which include societal
costs and benefits of options for regulation development, policy analysis, and legislative initiatives under
consideration within OSW. The Division also develops and evaluates sampling, statistical, and analytical
methods to support RCRA regulations and policies, and implements the RCRA quality assurance
program.
The Hazardous Waste Identification Division (HWID) is responsible for conducting industry studies
to determine which wastes should be listed as hazardous, and identifying the hazardous waste
characteristics. It also develops Agency policies related to delisting, and develops regulations and
guidance regarding medical wastes, used oil, generators and transporters of hazardous waste, hazardous
waste recycling, and the definition of solid waste. The Division also develops policies related to
international hazardous waste management and is the lead on issues related to the import and export of
hazardous waste, such as the Basel Convention.
The Hazardous Waste Minimization and Management Division (HWMMD) is responsible for
encouraging hazardous waste minimization, establishing standards that assure safe treatment of
hazardous waste, and identifying data that must be reported on waste generation, treatment, storage,
and disposal. HWMMD's responsibilities include the Waste Minimization National Plan, the LDR
program, the EPA Combustion Strategy, and the Waste Information Needs Project.
The Municipal and Industrial Solid Waste Division (MISWD) is responsible for ensuring safe
management of municipal, industrial, and extractive solid wastes by providing technical guidance,
regulations, policy, and information related to waste prevention, recycling, and disposal to industry, EPA
Regional, state and tribal officials, and the general public.
The Permits and State Programs Division (PSPD) is responsible for the nationwide implementation
of a program to control hazardous wastes including the permitting of facilities and the authorization of
states to operate their programs in lieu of the federal program. The Division develops regulations and
guidance for the national corrective action program which oversees site cleanups at facilities that store,
treat, or dispose of hazardous waste. PSPD also provides technical support for EPA Regions and states
that are implementing the programs.
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Environmental Contacts
APPENDIX G
APPENDIX G
ENVIRONMENTAL CONTACTS
EPA INFORMATION SERVICES
Common Sense Initiative (202) 260-7417
Congressional and Legislative Affairs (202) 260-5195
Control Technology Center; Clean Air Act (919) 541-0800
Employment Information (202) 260-6000
Environmental Appeals Board (EAB) (202) 501-7060
Environmental Justice Hotline (800) 962-6215
Environmental Recycling Hotline (800) 253-2687
Information Resource Center (IRC) (202) 260-5922
Lead Information Clearinghouse (800) 424-5323
Methods Information Communication Exchange
(MICE or Test Methods Hotline) (703)821-4690
National Center for Environmental Publications and Information
(NCEPI) (800)490-9198
National Pesticides Telecommunications Network; Federal Insecticide,
Fungicide, and Rodenticide Act (800) 858-7378
Office of Research and Development (ORD) (513) 569-7562
Pay-As-You-Throw Helpline (888) 372-7298
RCRA, Superfund & EPCRA Hotline (800) 424-9346
Safe Drinking Water Act Hotline (800) 426-4791
Stratospheric Ozone Information Hotline (800)296-1996
Toxic Substances Control Act Hotline (202) 554-1404
WasteWi$e (800) 372-9473
Wetlands Protection Hotline (800) 832-7828
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APPENDIX G
Environmental Contacts
EPA DOCKETS
Clean Air Act (202)260-7548
Clean Water Act (202)260-3027
Comprehensive Environmental Response, Compensation,
and Liability Act (703) 603-9232
Federal Insecticide, Fungicide, and Rodenticide Act (703) 305-5805
Resource Conservation and Recovery Act (703) 603-9230
Toxic Substances Control Act (202) 260-7099
Underground Storage Tanks (703) 603-9231
FEDERAL GOVERNMENT INFORMATION SERVICES
Agency for Toxic Substances and Disease Registry (ATSDR) (703) 603-9232
Council on Environmental Quality; National Environmental
Policy Act (202)395-5750
Federal Information Center (800) 688-9889
Government Printing Office (GPO) (202) 512-1800
Hazardous Materials Information Line (800) 467-4922
Hazardous Waste Operations and Emergency Response (HAZWOPER) (202) 219-8031
National Technical Information Service (NTIS) (800) 553-6847
National Institute for Occupational Safety and Health (NIOSH) (800) 356-4674
National Response Center (800) 424-8802
Nuclear Regulatory Commission (800) 362-5642
Occupational Safety and Health Administration (OSHA) (202)219-8148
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