RCRA
ORIENTATION
MANUAL
1990 EDITION
THIS MANUAL WAS DEVELOPED BY:
THE U.S. ENVIRONMENTAL PROTECTION AGENCY
OFFICE OF SOLID WASTE/PERMITS AND STATE PROGRAMS DIVISION
OFFICE OF OMBUDSMAN
401 M STREET, S.W.
WASHINGTON, D.C. 20460
AND
THE ASSOCIATION OF STATE AND TERRITORIAL SOLID
WASTE MANAGEMENT OFFICIALS
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ACKNOWLEDGEMENTS
This manual was developed by the Office of Solid Waste, State Programs Branch, with
support from the Office of Ombudsman, Office of Program Management and Support and
the EPA/ASTSWMO Advisory Group. Special thanks to the many individuals in EPA
Headquarters and the Regional Offices who reviewed the drafts and provided comments.
Contractor support was provided by Booz, Allen & Hamilton, Incorporated and ICF
Incorporated.
This document has been reviewed by the U.S. Environmental Protection Agency and
approved for publication. Any trade names or commercial products are examples only and
are not endorsed or recommended by the U.S. Environmental Protection Agency.
For further information regarding this manual please contact:
Robert Knox
Office of Ombudsman
U.S. EPA
401 M St., S.W.
Washington, D.C. 20460
Phone: (202)475-9361
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FOREWORD
by Don R. Clay, Assistant: Administrator
Office of Solid Waste and Emergency Response
This manual updates the 1986 RCRA Orientation Manual, which has proven to be a popular
and valuable resource for anyone working in the RCRA program. This revision reflects the
progress that has been made in the program and documents the changes in RCRA.
1990 finds the RCRA Subtitle C regulatory framework in place and most States
implementing the program. Furthermore, substantial progress has been made in issuing
permits. HSWA - mandated revisions to the Subtitle D municipal solid waste landfill criteria
will soon be promulgated, the Subtitle I - underground storage tank program is now being
implemented, as is the Subtitle J demonstration program to track medical waste.
As we move ahead in the continuing implementation of RCRA, several priority initiatives
stand out. RCRA will soon be re-authorized, and the re-authorization process provides an
opportunity to reflect on our progress and points for change and enhancements, particularly for
the Subtitle D program. In the future, the RCRA program will place new emphasis on waste
minimization and corrective action.
The continued success of the RCRA program rests on the involvement of all affected parties.
This manual is a step towards increasing such involvement because it provides a mechanism
through which such parties can learn more about the program. Although the manual was
designed for EPA and State staff, we hope that it will be useful to all individuals who wish to
better understand RCRA.
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INTRODUCTION TO THIS MANUAL
The U.S. Environmental Protection Agency (EPA) developed this manual to provide
introductory information on the solid and hazardous waste management programs under the
Resource Conservation and Recovery Act (RCRA). The manual outlines the basic framework
of the regulatory program for new EPA and State employees, those persons new to RCRA
assignments, and others interested in the Act. The manual is not, however, meant to replace
in-depth analysis of the statute and its associated regulations and Agency guidance. It also
does not attempt to impart the skills to perform specific job duties, such as writing a permit.
Furthermore, it is written for those unfamiliar with the RCRA program; consequently, complex
details purposely have been simplified or excluded for the sake of clarity.
The manual is an update of the original RCRA Orientation Manual issued in 1986.
Revisions contained in this update reflect the many regulatory changes that have resulted from
both the Hazardous and Solid Waste Amendments (HSWA) of 1984 and the Medical Waste
Tracking Act of 1988 (RCRA Subtitle J).
The first four sections of the manual (Section I through Section IV) include an introduction to
RCRA, a review of the Subtitle D requirements for nonhazardous solid waste, a discussion of
Subtitle C requirements for hazardous waste, and a description of Subtitle I's provisions for
underground storage tanks. Section V addresses an important new topic of public concern -.-
the regulation of medical waste. Section VI examines RCRA's relationship to other
environmental laws, especially the Comprehensive Environmental Response, Compensation,
and Liability Act (CERCLA) ~ also known as Superfund. Finally, Section VII addresses the
public's role in the RCRA program. Each Section or Chapter (where applicable) includes an
overview of what is to be covered, illustrations and figures highlighting the text, and a
summary of key points presented.
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TABLE OF CONTENTS
Page Number
FOREWORD
INTRODUCTION TO THIS MANUAL
SECTION I
SECTION H
SECTION HI
CHAPTER 1
CHAPTER 2
CHAPTER 3
CHAPTER 4
CHAPTERS
CHAPTER 6
CHAPTER 7
SECTION IV
SECTION V
SECTION VI
CHAPTER 1
CHAPTER 2
CHAPTER 3
INTRODUCTION TO THE RESOURCE 1-1
CONSERVATION AND RECOVERY ACT
SUBTITLE D OF RCRA -- MANAGING II-1
SOLID WASTE
SUBTITLE C OF RCRA -- MANAGING IE-1
HAZARDOUS WASTE
WHAT IS HAZARDOUS WASTE? IH-3
REGULATIONS APPLICABLE TO IE-16
GENERATORS OF HAZARDOUS WASTE
REGULATIONS APPLICABLE TO IH-27
TRANSPORTERS OF HAZARDOUS WASTE
REGULATIONS APPLICABLE TO IH-31
TREATMENT, STORAGE, AND
DISPOSAL FACILITIES
PERMITTING IH-71
ENFORCEMENT ffl-87
STATE AUTHORIZATION IH-98
SUBTITLE I OF RCRA -- MANAGING IV-1
UNDERGROUND STORAGE TANKS
SUBTITLE J OF RCRA - MANAGING V-1
MEDICAL WASTE
RCRA AND ITS RELATIONSHIP TO OTHER VI-1
ENVIRONMENTAL STATUTES
LEGISLATIVE FRAMEWORK FOR VI-3
ADDRESSING HAZARDOUS WASTE
PROBLEMS
SUPERFUND: THE HAZARDOUS VI-8
WASTE CLEANUP PROGRAM
RCRA AND SUPERFUND: HOW THE VI-12
TWO PROGRAMS INTERACT
SECTION VH
PUBLIC PARTICIPATION
VIM
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TABLE OF CONTENTS (continued)
APPENDIX A
APPENDIX B
APPENDIX C
APPENDIX D
APPENDIX E
APPENDIX F
APPENDIX G
UNIFORM HAZARDOUS WASTE MANIFEST
LAND DISPOSAL RESTRICTIONS MANIFESTING
UNDERGROUND TANK NOTIFICATION FORM
MEDICAL WASTE TRACKING MANIFEST
EPA ORGANIZATION
HELPFUL ENVIRONMENTAL INFORMATION NUMBERS
RCRA ACRONYMS
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SECTION I
INTRODUCTION TO THE RESOURCE CONSERVATION
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OVERVIEW
RCRA: WHAT IT IS
- The Act
- Regulations
- Guidance and Policy
RCRA: HOW IT WORKS
- Subtitle D - Solid Waste
- Subtitle C - Hazardous Waste
- Subtitle I - Underground Storage Tanks
- Subtitle J - Medical Waste Regulations
WHO IS INVOLVED IN RCRA?
RCRA TODAY
- Waste Minimization
OUTLINE OF THE MANUAL
SUMMARY
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SECTION I INTRODUCTION TO THE
RESOURCE CONSERVATION
AND RECOVERY ACT
OVERVIEW
RCRA GOALS
To protect human health and the
environment
To reduce waste and conserve
energy and natural resources
To reduce or eliminate the
generation of hazardous waste as
expeditiously as possible.
The Resource Conservation and Recovery Act (RCRA), an
amendment to the Solid Waste Disposal Act, was enacted in
1976 to address a problem of enormous magnitude—how to
safely dispose of the huge volumes of municipal and industrial
solid waste generated nationwide. It is a problem with roots
that go back well before 1976.
There was a time when the amount of waste produced in the
United States was small and its impact on the environment
relatively minor— a river supposedly purified itself every 10
miles. Times changed. With the industrial revolution in the
latter part of the 19th century, the country began to experience
growth—the likes of which had never been seen before. New
products were developed, and the consumer was offered an
ever-expanding array of material goods.
This growth continued through the early 20th century and
took off after World War n when the nation's industrial base,
strengthened by war, turned its energy toward domestic
production. The results of growth, however,.were not all
positive. While the country produced more goods, it also
generated more waste, both hazardous and non hazardous.
For example, at the end of World War II, United States
industry was generating roughly 500,000 metric tons of
hazardous waste per year. Compared with today's standards,
this amount is small indeed. A national survey conducted by
EPA in 1985 estimates that 275 millionmetric tons of hazardous
waste were generated nationwide.
Unfortunately, this phenomenal growth in the production of
waste was not mirrored by growth in the field of waste
management. Much of the waste produced made its way into
the environment, where it poses a serious threat to ecological
systems and public health.
It became clear, in the mid-1970s, to Congress and the nation
alike, that action had to be taken to ensure that solid wastes are
managed 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
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INTRODUCTION TO THE RESOURCE CONSERVATION
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RCRA'S FOUR INTERRELATED
PROGRAMS
SUBTITLED SUBTITLE C SUBTITLE I SUBTITLE!
I I I I
SOLID HAZARDOUS UNDERGROUND MEDICAL
WASTE WASTE STORAGE TANK WASTE
PROGRAM PROGRAM PROGRAM PROGRAM
RCRA: WHAT IT IS
• To reduce waste and conserve energy and natural resources
• To reduce or eliminate the generation of hazardous waste
as expeditiously as possible.
To achieve these goals, four distinct yet interrelated programs
exist under RCRA. The first program, under Subtitle D of
RCRA, encourages States to develop comprehensive plans to
manage primarily nonhazardous solid wastes, e.g., household
waste. The second program, under Subtitle C of RCRA,
establishes a system for controlling hazardous waste from the
time it is generated until its ultimate disposal, in effect, from
"cradle-to-grave." The third program, under Subtitle I of
RCRA, regulates certain underground storage tanks. It
establishes performance standards for new tanks and requires
leak detection, prevention and corrective action at underground
tank sites. The newest program to be established is the
medical waste program under RCRA Subtitle J. It establishes
a demonstration program to track medical waste from
generation to disposal.
Although RCRA creates a framework for the proper
management of hazardous and nonhazardous solid waste, it
does not address the problems of hazardous waste encountered
at inactive or abandoned sites or those resulting from spills
thatrequireemergencyresponse. These problems are addressed
by adifferent act, the Comprehensive Environmental Response,
Compensation,andLiabilityAct(CERCLA),commonlycalled
Superfund.
This section provides an overview of RCRA, including the
Act, regulations, guidance, and policy and, in addition,
discusses the four programs that make up RCRA and the
interrelationships among them. Finally, this section details
where RCRA is today, who is involved, and outlines the
remainder of this manual.
Any discussion of RCRA must begin with a definition of
terms. Although "RCRA" is the acronym for the Resource
Conservation and Recovery Act, it is often used to refer to the
overall program resulting from the Act. To avoid confusion
in this manual, the term "Act "refers to the statute or law and
the term "RCRA" to the program implemented under the law.
In addition, a distinction is made between terms used to
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SECTION I INTRODUCTION TO THE RESOURCE CONSERVATION
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The Act
Outline of the Act
Subtitle Provisions
A
B
C
D
E
F
G
H
General Provisions
Office of Solid Waste;
Authorities of the
Administrator
Hazardous Waste
Management
State or Regional
. Solid Waste Plans ,
Duties of the Secretary
of Commerce in
Resource and Recovery
Federal Responsibilities
Miscellaneous
Provisions
Research, Development,
Demonstration, and
Information
Regulation of Underground
Storage Tanks
Standards for the Tracking
and Management of
Medical Waste
describe statutory provisions versus regulations. When
referring to the statutory requirements they are either stated as
such or the term "Act" is used. When discussing regulations
developed by EPA, they are referred to as either standards,
regulations, or regulatory requirements. Thus, if X were in the
statute but not the regulations, it would be considered a
requirement of the Act. Alternatively, if Y were in the
regulations, it could be referred to as either a regulation or a
regulatory requirement , • ^ .,.
What we commonly know as the Act is really an amendment
to the first Federal solid waste statute. In 1965, the Solid
Waste Disposal Act was enacted for the primary purpose of
improving solid waste disposal methods. If was amended in
1970 by the Resource Recovery Act, and again in 1976 by
RCRA. The changes embodied in RCRA remodeled our
nation' s solid waste management system and added provisions
pertaining to hazardous waste management.
The Act continues to evolve as Congress amends it to reflect
changing needs. It has been amended several times since
1976, most significantly on November 8, 1984. The 1984
amendments, called the Hazardous and Solid Waste
Amendments (HSWA), significantly expanded the scope and
requirements of RCRA. Because of their significance,
provisions resulting from the 1984 amendments are emphasized
throughout the manual.
The Act is a law that describes the kind of waste management
program that Congress wants to establish. This description is
in very broad terms, e.g., directing EPA to develop and
promulgate criteria for identifying the characteristics of
hazardous waste. The Act also provides the Administrator of
EPA (or his or herrepresentative) with the authority necessary
to carry out the intent of the Act, e.g., authority to conduct
inspections.
The structure of the Act is straightforward. It is currentiy:
divided into ten subtitles, A through J. Subtitles A, B, E, F, G,
and H outline general provisions; authorities of the
Administrator; duties of the Secretary of Commerce; Federal
responsibilities; miscellaneous provisions; and research,
development, demonstration, and information. Subtitles C,
D, I, and J lay out the framework of the four programs that
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INTRODUCTION TO THE RESOURCE CONSERVATION
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Regulations
make up RCRA—the hazardous waste managementprogram;
the solid waste program; the underground storage tank program;
and the medical waste program, respectively.
The Act includes a Congressional mandate for EPA to develop
a comprehensive set of regulations. Regulations are legal
mechanisms that define how a statute' s broad policy directives
are to be implemented. Many RCRA regulations have been
developed to date, covering a range of topics, from guidelines
for State solid waste plans to the framework for the hazardous
waste permit program.
RCRA regulations are developed by EPA and published
according to an established process. When a regulation is
proposed, it is published in a document called the Federal
Register. It is usually first published as a proposed regulation,
allowing the public to comment on it for a period of time,
normally 30-60 days. Included with the proposed regulation
is a discussion of the Agency's rationale for the regulatory
approach and an explanation of the technical basis for the
proposed regulation (the preamble). Following the comment
period, EPA evaluates public comments. Addressing the
comments frequently results in revision to the proposed
regulation. The final regulation is published in the Federal
Register ("promulgated"). Regulations are compiled annually
and bound in the Code of Federal Regulations rf!FR) according
to a highly structured format. This latter process is called
codification. The codified RCRA regulations can be found in
Title 40 of the CFR, Parts 240-280. 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 the relationship between an Act and its regulations,
discussed above, is the norm, the relationship between HS WA
and its regulations differs. HSWA is unusual in that Congress
placed explicit requirements in the statute in addition to
instructing EPA in general language to develop 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
establishes "hammer" provisions, which are statutory
requirements that go into effect automatically (as regulations)
if EPA fails to issue regulations by certain dates.
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INTRODUCTION TO THE RESOURCE CONSERVATION
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Guidance and Policy
Guidance = How to
Policy = Should do
RCRA: HOW IT WORKS
The interpretation of statutory language does not end with the
codification of regulations. EPA further clarifies its regulations
through guidance documents and policy.
Guidance documents are issued by EPA primarily to elaborate
and provide direction for implementing regulations. They
essentially explain how to do something. For example, the
regulations in 40 CFR Part 270 detail what is required in a
permit application for a hazardous waste management facility,
and the guidance for this Part gives instructions on how to
evaluate a permit application to see if everything is included.
Guidance documents also provide the Agency's interpretation
of the Act.
Policy statements, on the other hand, specify operating
procedures that should be followed. They are a mechanism
used by EPA program offices to outline the manner in which
pieces of the RCRA program are to be carried out. For
example, the enforcement office may issue a policy outlining
what enforcement action must be taken if a ground-water
violation is found. In most cases, policy statements are
addressed to the staff working on implementation.
Many guidance and policy documents have been developed to
aid in implementing the RCRA program. Indeed, there are so
many that describing them is beyond the scope of this manual.
However, to find out what documents are available, one may
use the Office of Solid Waste's Directives System. This
system lists all RCRA-related policy, guidance, and
memoranda, and where they can be obtained. These lists are
available from each Region's Policy Directives Coordinator.
The four programs established under RCRA — solid waste,
hazardous waste, underground storage tanks, and medical
waste—are described in detail in ensuing chapters. However,
to provide an overall perspective of how RCRA works, each
of these programs and their interrelationships is 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. The Subtitle D
Chapter includes the definition of solid waste, which must be
understood before the Subtitle C program can be explained.
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INTRODUCTION TO THE RESOURCE CONSERVATION
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Subtitle D - Solid Waste
Subtitle C - Hazardous Waste
The Subtitle C Program Regulates
CtNfRATOft
RSS^W'\^vJUL-V--L
TRANSPORTER
TSD
FACIUTISS
Subtitle D of the Act encourages States to develop and
implement solid waste management plans. These plans,
among other things, are intended to promote recycling of solid
wastes and require closing or upgrading of all environmentally
unsound dumps. Due to increasing volumes of solid waste,
solid waste management has become a key issue facing many
localities and States. In recognition of this issue, Congress
directed EPA in HSWA to take an active role with the States
in solving the difficult problem of solid waste management.
EPA is in the process of revising the standards that apply to
municipal solid waste landfills. Concurrent with the revision
of these standards, EPA formed a task force to analyze solid
waste source reduction and recycling options. The revised
solid waste standards, together with the task force findings,
will form the basis for EPA's development of a strategy to
better regulate municipal solid waste management.
S ubtitle C of the Act establishes a 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 regarding 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 June 1989,
EPA has on record more than 7,000 treatment, storage, and
disposal facilities; 17,000 transporters; and about 180,000
large and small quantity generators.
The Subtitle C program has resulted in perhaps the most
comprehensive regulations EPA has ever developed. They
first identify those solid wastes that are "hazardous" and then
establish various administrative requirements for the three
categories of hazardous waste handlers: generators,
transporters, and owners or operators of treatment, storage,
and disposal facilities (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 for each facility.
Issuing permits is essential to making the Subtitle C regulatory
program work, since it is through the permitting process that
EPA or a State actually applies the technical standards to
facilities.
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INTRODUCTION TO THE RESOURCE CONSERVATION
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Subtitle I - Underground
Storage Tanks
Subtitle J - Medical Waste
Regulations
WHO IS INVOLVED IN
RCRA?
One of the prime 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 the Subtitle
D program primarily manages nonhazardous solid waste.
Furthermore, Subtitle C was initially established as a Federal
program eventually to be delegated to States, unlike Subtitle
D, which began as a State program.
S ubtitle I of the Act regulates petroleum products and hazardous
substances (as defined under Superfund) stored in underground
tanks. The objective of Subtitle I is to prevent leakage to
ground water from tanks and to clean up past releases. Under
Subtitle I, EPA has developed performance standards for new
tanks and regulations for leak detection, prevention, closure,
financial responsibility, and corrective action at all underground
tank sites. This program is similar to the Subtitle C program
in that it may be delegated to States. Approximately 1.4
million tanks are regulated under Subtitle I.
Congress recently added Subtitle J to RCRA to address the
problem of medical waste mismanagement. During the summer
of 1988, medical wastes washed up on Atlantic beaches. This
phenomenon highlighted the inadequacy of medical waste
management practices and prompted Congress to enact
legislation addressing the problem. Subtitle J instructs EPA
to develop a two-year demonstration program to track medical
waste from generation to disposal in demonstration States.
After completion of the demonstration program in 1991, the
Agency will report its findings to Congress, who will consider
the merits of national medical waste regulation.
The RCRA program involves a myriad of people and
organizations with varying roles. Congress and the President
set overall national direction for RCRA programs 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,
guidelines, and policy. EPA then implements RCRA programs
or delegates implementation to the States, providing them
with technical and financial assistance.
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INTRODUCTION TO THE RESOURCE CONSERVATION
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RCRATODAY
The regulated community necessarily is involved with the
RCRA program because it must comply with the law and its
regulations. Finally, the general public participates by
providing input and comments at almost every stage of the
program's development and implementation.
When RCRA was first enacted in 1976, much work was
required to implement the program. Since then, both the
Subtitle C and D programs have been established through
regulations, andEPA and authorized States have concentrated
on implementing the Subtitle C program by issuing permits to
TSDFs. Delegation of the RCRA program to individual S tates
continues. EPA is working to implement the provisions of
HSWA within the existing regulatory framework. For example,
EPA has developed and continues to expand regulations to
restrict the land disposal of wastes. In addition, under RCRA
Subtitles I and J, new programs for regulating underground
storage tanks and medical wastes were developed.
Waste Minimization As the scope of waste management has come into focus, one
fact is clear: the preferred manner of managing waste is not to
generate it in the first place. Congress recognized this and
made it one of the goals of Subtitle C of RCRA — to reduce
or eliminate the generation of hazardous waste. EPA
established a waste minimization program to achieve this
goal. EPA uses the term "waste minimization" to mean the
reduction, to the extent feasible, of hazardous waste generated
prior to any treatment, storage, or disposal of the waste. It is
defined as any source reduction or recycling activity that
results in either reduction of total volume of hazardous waste
or reduction of toxicity of hazardous waste, or both, as long as
that reduction is consistent with the general goal of minimizing
present and future threats to human health and the environment.
RCRA contains several provisions for implementing hazardous
waste minimization. Section 3002 requires hazardous waste
generators to identify in their biennial reports to EPA (or the
State) the efforts undertaken to reduce the volume and toxicity
of waste generated and reductions in volume and toxicity
actually achieved. In addition, generators are required to
certify on the manifest accompanying off-site shipment of
their waste that they have a program in place to reduce the
volume or quantity and toxicity of such waste to the degree
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INTRODUCTION TO THE RESOURCE CONSERVATION
AND RECOVERY ACT
determined by the generator to be economically practicable.
EPA published guidance in June 1989 to assist hazardous
waste generators in developing such a waste minimization
program.
EPA is in the process of developing a strategy for
institutionalizing waste minimization within the RCRA waste
management framework. The strategy has five overall goals:
• Promote progress through outreach, technical guidance,
and information
• Identify barriers in the RCRA program; develop
regulatory, nonregulatory, and statutory remedies
« Promote innovative idea development among RCRA
program managers and staff
• Measure progress in waste minimization
• Develop and reinforce a partnership with States.
In recent years, more and more States have established waste
minimization programs to assist industry in realizing the
benefits of waste minimization. In many instances, there are
significant economic incentives to adopt waste minimization
practices. RCRA hazardous waste regulations make the
handling of hazardous waste an extremely costly, complicated
business. As a result, industries have turned increasingly to
measures aimed at reducing their generation of waste, such as
source reduction and recycling.
EPA is also developing strategies and priorities for encouraging
source reduction and recycling of the nonhazardous solid
waste stream regulated by Subtitle D of RCRA. In addition,
there is a new Agency-wide, multi-media program to promote
pollution prevention.
We have today a national waste management program. As a
result, waste reduction and recycling are occurring, waste
management methods have improved, and natural resources
are being conserved. Improper waste generation and disposal
can still pose problems, but now we have better management
and enforcement tools for addressing them.
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INTRODUCTION TO THE RESOURCE CONSERVATION
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OUTLINE OF
THE MANUAL
The remainder of this manual describes in detail the four
RCRA programs briefly discussed in this introduction. In
addition, sections reviewing the interrelationships between
RCRA' s S ubtitle C program and other environmental statutes,
and public participation are included. The remainder of the
manual consists of:
Section II: Subtitle D of RCRA - Managing Solid Waste
Section III: Subtitle C of RCRA - Managing Hazardous
Waste
Chapter 1 — What is Hazardous Waste?
Chapter 2 — Regulations Applicable to
Generators of Hazardous
Waste
Chapter 3 — Regulations Applicable to
Transporters of Hazardous
Waste
Chapter 4 — Regulations Applicable to
Treatment, Storage, and
Disposal Facilities
Chapter 5 — Permitting
Chapter 6 — Enforcement
Chapter 7 — State Authorization
Section IV: Subtitle I of RCRA - Managing Underground
Storage Tanks
Section V: Subtitle J of RCRA - Managing Medical
Waste
Section VI: RCRA and its Relationship to Other
Environmental Statutes
Section VII: Public Participation
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
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INTRODUCTION TO THE RESOURCE CONSERVATION
AND RECOVERY ACT
• Reduce waste and conserve energy and natural
resources
« Reduce or eliminate the generation of hazardous waste
as expeditiously as possible.
To achieve these goals, four distinct yet interrelated programs
exist under RCRA:
« SubtitleD—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—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—Regulates petroleum products and hazardous
substances (as defined under Superfund) that are stored in
underground tanks.
• Subtitle!— Regulates medical waste generation, treatment,
destruction, and disposal.
There are several components of RCRA:
• Act — Describes, in statutory language, 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 to carry out the Act.
Authority for developing regulations is found in the Act.
Regulations are published in the Federal Register and
codified in the Code of Federal Regulations.
• Guidance—Developed and issued by EPA (or the States)
to provide instructions on how to implement requirements
of either the Act or regulations.
,». Policy — Statements developed by EPA (or the States)
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INTRODUCTION TO THE RESOURCE CONSERVATION
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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.
These amendments significantly.expand both the scope (e.g.,
the creation of S ubtitle J) and detailed requirements of the Act.
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SECTION n
SUBTITLE D OF RCRA - MANAGING SOLID WASTE
OVERVIEW
- Exceptions to the Definitions of Solid Waste
MANAGEMENT OF SOLID WASTE UNDER SUBTITLE D
- Criteria for Classification of Solid Waste Disposal Facilities and Practices
- State Plan Guidelines
EXEMPTIONS FROM THE SUBTITLE D CRITERIA
NEW DIRECTIONS
- Report to Congress
- Subtitle D Criteria Revisions
- Municipal Solid Waste Agenda for Action
SUMMARY
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SECTION II SUBTITLE D OF RCRA - MANAGING
SOLID WASTE
OVERVIEW
Solid Waste Management
Objectives:
• Encourage environmentally
sound solid waste management
practices
• Maximize the re-use of
recoverable resources
• Foster resource conservation
Congress enacted the Solid Waste Disposal Act of 1965,
which established grant programs for the development of
solid waste management plans by States and/or interstate
agencies. Subsequent amendments to the Solid WasteDisposal
Act — the Resource Recovery Act of 1970, RCRA in 1976,
and HSWA in 1984 — have substantially increased the
Federal government'sinvolvementin solid waste management.
However, the Subtitle D program continues to be implemented
principally by State and local governments.
The term "solid waste" used in Subtitle D refers almost
exclusively to nonhazardous solid waste. The bulk of the
statutory and regulatory requirements covering the handling
and disposition of most hazardous solid waste falls under
Subtitle C of RCRA, which is addressed in Section III.
The primary objectives of Subtitle D as outlined in Section
4001 of the Act "are to assist in developing and encouraging
methods for the disposal of solid waste which are
environmentally sound and which maximize the utilization of
valuable resources including energy and materials, which are
recoverable from solid waste and to encourage resource
conservation." To achieve these objectives, the 1976 statutory
amendments mandated that EPA develop criteria for the
classification of solid waste disposal facilities and practices
(Section 4004) and established a framework for State solid
waste management plans (Sections 4002, 4003, 4006, and
4007).
EPA promulgated the criteria (40 CFRPart 257) on September
13,1979. These criteria establish standards for determining
whether solid waste disposal facilities and practices may pose
adverse effects on human health and the environment. Facilities
that fail to meet the criteria are "open dumps" (as referred to
in Section 4005 of RCRA) for purposes of State solid waste
management planning efforts under Subtitle D. The criteria
provide the basis for enforcing the prohibition on "open
dumps" and may be used by citizens to sue in Federal District
Court.
EPA published guidelines for State solid waste management
plans (40 CFR Part 256) on July 31, 1979. Using these
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SECTION H
SUBTITLE D OF RCRA - MANAGING SOLID WASTE
DEFINITION OF
SOLID WASTE
HOUSEHOLD
GARBAGE
COMMERCIAL
REFUSE
O--^\. »
SLUDGE
Exceptions to the Definition
of Solid Waste
guidelines, States began developing plans and submitting the
them to EPA for approval. EPA's role with respect to State
plans is limited to establishing the guidelines for their
development, providing technical assistance, and approving
plans that comply with these requirements. The main
responsibility for developing and implementing State plans
lies with each State.
This section presents an outline of the Subtitle D program. In
doing so, it defines the term "solid waste"; describes how State
plans are developed, approved, and implemented; reviews the
current SubtitleD Criteria; lists exemptions from the Criteria;
and acknowledges new directions for the Subtitle D program.
The term "solid waste" is very broad, including not only the
traditional nonhazardous solid wastes, such as municipal
garbage, but also hazardous solid wastes. Subtitle C regulates
hazardous wastes; Subtitle D covers all other solid wastes.
Subtitle D covers certain hazardous wastes excluded from
regulation under Subtitle C, e.g., household hazardous wastes
and hazardous wastes generated by small quantity generators.
(Subtitle C wastes are discussed in Section III.) Section 1004
(27) of the Act defines solid waste as:
• Garbage, e.g., milk cartons and coffee grounds
• Refuse, e.g., metal scrap, wall board, and empty
containers
• Sludge from a waste treatment plant, water supply
treatment plant, or pollution control facility, e.g.,
scrubber sludges
• Other discarded material, including solid, semisolid,
liquid, or contained gaseous material resulting from
industrial, commercial, mining, agricultural, and
community activities, e.g., boiler slag, fly ash.
To understand the RCRA definition of solid waste, keep in
mind that not all solid waste is solid. As noted above, many
solid wastes are liquid, while others are semisolid or gaseous.
If the definition were limited to that given above, just about
every type of waste produced by man would qualify as solid
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SECTION n
SUBTITLE D OF RCRA - MANAGING SOLID WASTE
MANAGEMENT OF SOLID
WASTE UNDER SUBTITLE D
Criteria for Classification of
Solid Waste Disposal Facilities
and Practices
waste. This, however, is not the case, and Section 1004(27)
contains a number of exceptions to the definition. Specifically,
the following materials are not considered solid waste under
RCRA:
• Domestic sewage (defined as untreated sanitary wastes
that pass through a sewer system)
• Industrial wastewater discharges regulated under the
Clean Water Act
• Irrigation return flows
• Nuclear materials, or by-products, as defined by the
Atomic Energy Act of 1954.
Subtitle D establishes a solid waste management framework
that has two main components:
1) Criteria for classification of solid waste disposal facilities
and practices
2) Guidelines for the development and implementation of
State plans.
The first component of the Subtitle D program is the "Criteria
for Classification of Solid Waste Disposal Facilities and
Practices," commonly called the "Subtitle D Criteria" (40
CFR Part 257). The Criteria are used to determine which solid
waste disposal facilities and practices pose a reasonable
probability of adverse effects on health and the environment.
Facilities failing to satisfy criteria are considered open dumps
for purposes of State solid waste management planning.
The 40 CFR Part 257 Criteria include general environmental
performance standards addressing eight major topics:
Floodplains, endangered species, surface water, ground water,
land application, disease, air, and safety. A brief summary of
these provisions follows.
40 CFR 257.3-1 specifies that facilities or practices in
floodplains shall not interfere with the floodplain or result in
washout of solid waste so as to pose a hazard to human life,
wildlife, or land or water resources. 40 CFR 257.3-2 prohibits
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SECTION n
SUBTITLE D OF RCRA - MANAGING SOLID WASTE
Areas Covered by the Subtitle
D Criteria
solid waste disposal facilities and practices that cause or
contribute to the taking of any endangered or threatened
species or result in the destruction or adverse modification of
the critical habitats of such species. The surface water
provision, 40 CFR 257.3-3 specifies that disposal facilities
shall not cause a discharge pf pollutants or dredged or fill
material to waters of the United States. To do so is in violation
of Section 402 or Section 404 of the Clean Water Act. 40 CFR
257.3-4 lays out the ground-waterprotection standards, which
require thatfacilities and practices not exceed the Safe Drinking
Water Act Maximum Contaminant Levels (MCLs) in an
underground drinking water source beyond the solid waste
unit boundary or beyond an alternative boundary specified by
the State.
40 CFR 257.3-5 requires that a facility or practice meet certain
restrictions with respect to the concentrations of cadmium and
polychlorinated biphenyls (PCBs) contained in waste applied
to land used for producing food crops. 40 CFR 257.3-6
specifies that waste disposal facilities and practices must
institute appropriate disease vector controls, such as periodic
application of cover material. In addition, 40 CFR 257.3-6
requires pathogen reduction processes for sewage sludges and
septic tank pumpings applied to land.
The air criterion in 40 CFR 257.3-7 prohibits open burning of
solid waste (with certain exceptions) and specifies that the
applicable requirements of the State Implementation Plans
developed under Section 110 of the Clean Air Act must be
met. Finally, the safety provisions of 40 CFR 257.3-8 require
control of explosive gases, fires, bird hazards to aircraft, and
public access to the facility.
The Part 257 Criteria serve as minimum technical standards
for solid waste disposal facilities. Facilities must comply with
the Part 257 Criteria to ensure that ongoing operations 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. Part 257 applies to facilities in all States,
regardless of the existence of an approved management plan.
Furthermore, States have the option of developing criteria
more stringent than the 40 CFR Part 257 Criteria. Compliance
with Part 257 and the ban on dumping can be enforced through
citizen suits (Section 7002 of the Act) or by the State.
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SECTION n
SUBTITLE D OF RCRA - MANAGING SOLID WASTE
State Plan Guidelines
In addition to serving as minimum technical standards, the
Part 257 Criteria were used to identify open dumps. As
mentioned above, an open dump is defined as a disposal
facility that does not comply with one or more-of the Subtitle
D Criteria. Using the Criteria as a benchmark, each State
evaluated the solid waste disposal facilities within its borders
to determine which were open dumps and, therefore, needed
to be closed or upgraded. For each facility that failed to
comply with one or more of the Criteria, the State completed
an Open Dump Inventory Report form that was sent to the
Bureau of the Census. At the end of each fiscal year, the
Bureau compiled all of the report forms and sent them to EPA,
where they were summarized and published as the Inventory
of Open Dumps. These inventories were published annually
from 1981-1985.
Guidelines for State solid waste management plans are found
in 40 CFR Part 256. The purpose of these guidelines is to assist
States in developing and implementing EPA-approved solid
waste management plans. Such plans serve to ensure
environmentally sound solid waste management and disposal,
resource conservation, and maximum utilization of valuable
resources. The guidelines assist States by outlining the
minimum requirements for State plans and detailing how
these plans are approved by EPA. Although EPA-approved
State plans all follow the guidelines on 40 CFR Part 256, not
all State plans are identical. Each plan reflects a State's unique
solid waste management needs.
The State plan must include the following elements as specified
in the guidelines:
• Identifying the responsibilities of State, local, and
regional authorities in implementing the plan
• Establishing a solid waste disposal program that
prohibits new open dumps, provides for the closing or
upgrading of ah1 existing open dumps, and establishes
any State regulatory powers necessary to implement the
plan
• Developing a strategy for encouraging resource
recovery and conservation activities
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SECTION n
SUBTITLE D OF RCRA - MANAGING SOLID WASTE
EXEMPTIONS FROM THE
SUBTITLE D CRITERIA
NEW DIRECTIONS
• Ensuring that adequate facility capacity exists to
dispose of solid waste in an environmentally sound
manner
• Coordinating with other environmental programs
« Ensuring public participation in plan development,
regulatory development, facility permitting, and open
dump inventory.
Once the plan has been developed and adopted by the State, it
is submitted to EPA for approval. Within 6 months from the
date of submittal, the Administrator must either approve or
disapprove the plan. Approval is granted if the Administrator
finds that the plan fulfills all of the minimum requirements set
out in the guidelines.
In accordance with 40 CFR 257.1 (C), certain solid waste
disposal facilities or practices are exempted from complying
with the Subtitle D Criteria, including:
• Agricultural wastes used as fertilizers or soil
conditioners
• Domestic sewage applied to the land
• Hazardous waste disposal facilities regulated under
Subtitle C of RCRA
• Industrial discharges that are point sources and subject
to permits under Section 402 of the Clean Water Act.
RCRA Section 4010, as amended by HSWA, required EPA
to conduct a study and submit a Report to Congress on the
adequacy of certain solid waste guidelines and criteria.
Specifically, EPA was required to determine whether the
Criteria are adequate to protect human health and the
environment from ground-water contamination. The report
also was to evaluate the need for additional enforcement
authorities for Subtitle D. Furthermore, EPA was required to
revise the Criteria to address facilities that receive hazardous
household waste or hazardous waste from small quantity
generators (the definition of small quantity generators is
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SECTION II
SUBTITLE D OF RCRA - MANAGING SOLID WASTE
Report to Congress
Subtitle D Criteria
Revisions
discussed in Section III). Congress directed that, ataminimum,
the revisions should require ground-water monitoring to detect
contamination, establish criteria on the acceptable location of
new or existing facilities, and provide for corrective action, as
appropriate.
In addition to requiring revisions to the Criteria, HSWA
directed States to establish permit programs, or other systems
of prior approval and conditions, for facilities receiving
household hazardous waste or hazardous waste from small
quantity generators. These permit programs are meant to
ensure that such facilities are in compliance with the existing
40 CFR Part 257 Criteria.
In October 1988, EPA submitted to Congress its report on the
adequacy of the existing Subtitle D Criteria. This report
represented EPA' s most comprehensive review of solid waste
management in the U.S. in a decade. In preparing the report,
EPA found that some 11 billion tons of solid waste - including
agricultural, mining, oil and gas, industrial, as well as municipal
solid wastes - are produced in the U.S. every year. These
wastes are managed in an estimated 227,000 storage and
disposal units, including surface impoundments, waste piles,
landfills, and land treatment units. Environmental controls on
these units vary widely.
The Report to Congress revealed that most information on
solid waste management, available at the State and local level,
is on municipal solid waste landfills (MS WLFs). The Agency
learned that approximately 160 million tons of municipal
solid waste are generated each year, 131 million tons of which
are landfilled in just over 6,500 MSWLFs. Information on
these landfills indicates that they vary widely in the use of
environmental controls such as clay or synthetic liners, liquid
(leachate) collection systems, and ground-water monitoring,
and that they may pose significant threats to ground and
surface water resources. The Report to Congress concluded
that MSWLFs are adversely affecting the environment and
that the current Subtitle D Criteria and State regulatory
requirements are not adequate to address these problems.
In HSWA, Congress required EPA (in Section 4010) to revise
the existing Subtitle D Criteria for solid waste "facilities that
may receive hazardous household waste or hazardous wastes
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SECTION II
SUBTITLE D OF RCRA - MANAGING SOLID WASTE
from small quantity generators under Section 3001 (d)."
, Through information gathered for the Report to Congress on
solid waste management, EPA determined that these wastes
are disposed primarily in MSWLFs. Consequently, EPA
proceeded first with revising the criteria for MSWLFs.
In August 1988, EPA proposed revisions to the Subtitle D
Criteria, regulating MSWLFs under 40 CFR Part 258 instead
of Part 257. The proposed rule would significantly expand the
current criteria contained in 40 CFR Part 257 and would set
standards of performance for protecting human health and the
environment to meet the HSWA mandate. Like the 40 CFR
Part 257 Criteria, the revised criteria for MSWLFs will
contain location and operating requirements for protecting
air, surface, and ground-water resources.
EPA has attempted to retain a high degree of consistency
between Part 257 and the proposed 40 CFR Part 258 by
investing the primary responsibility for implementing the
revised Part 258 Criteria with States. In fact, HSWA requires
States to establish a permit program, or other system of prior
approval and conditions, to en sure compliance with the revised
Criteria within 18 months of their promulgation. If EPA
determines, however, that a State program is not adequate to
ensure compliance with the revised Criteria, the Agency may
enforce the revised Criteria using the enforcement authorities
of Sections 3007 and 3008 of Subtitle C of RCRA. EPA is
continuing to collect information regarding other types of
facilities (e.g., industrial solid waste facilities and construction
demolition debris landfills) that may receive small quantity
generator hazardous waste or may pose threats to human
health or the environment. The revised Criteria are expected
to be promulgated in Fiscal Year 1990.
Municipal Solid Waste Increasing attention at the Federal, State, and local levels is
Agenda for Action being directed at municipal solid waste management. Although
primarily a local responsibility, the problems associated with
municipal solid waste management are national in scope.
Recognizing the need for a national response to the problem,
EPA created a Municipal Solid Waste Task Force to develop
a strategy for improving the n ation' s management of municipal
solid waste.
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SECTION n
SUBTITLE D OF RCRA - MANAGING SOLID WASTE
After a year-long effort, the Task Force produced its report,
"The Solid Waste Dilemma: An Agenda for Action," in
February 1989. The Agenda provides a number of proposals
for actions by EPA, States, local governments, industry, and
the public. It identifies an integrated waste management
hierarchy — combining the complementary use of source
reduction, recycling, combustion, and landfills— as the best
approach for comprehensively managing municipal solid
waste.
The Task Force surveyed current municipal solid waste
management practices and identified goals for sound national
policy. Recognizing the ever-widening gap between declining
waste management capacity and rising levels of waste
generation, the Task Force determined that the nation must
find "a safe and permanent way to eliminate the gap between
waste generation and available capacity in landfills,
combustion, and in secondary materials markets." The Task
Force concluded that source reduction and recycling are the
preferred options for closing this gap and reducing the amount
and toxicity of waste. As a result, EPA established a national
goal to divert 25 percent of the nation's municipal solid waste
from landfills and combustors through source reduction and
recycling by 1992. An equally important feature of the
Agenda is strengthening the reliability and safety of all solid
waste management options. The revised Criteria forMS WLFs,
as well as other EPA rulemaking to improve the performance
of municipal waste combustors, are part of this effort.
Finally, the Task Force identified objectives for national
action to address the municipal solid waste dilemma. These
objectives involve not only EPA efforts but the participation
of State and local governments, industry, waste managers, and
the public in implementing the concept of integrated waste
management. These objectives include:
• Increasing the waste planning and management
information (both technical and educational) available
to States, local communities, waste handlers, citizens,
and industry
• Increasing data collection on waste generation for
research and development
• Increasing effective planning by waste handlers, local
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SECTION n
SUBTITLE D OF RCRA - MANAGING SOLID WASTE
SUMMARY
communities, and States
• Increasing source reduction activities by the
manufacturing industry, government, and citizens
• Increasing recycling by government and by individual
and corporate citizens
• Reducing the risks from municipal waste combustion
in order to protect human health and the
environment
« Reducing the risks from landfills in order to protect
human health and the environment.
To ensure that these objectives are properly addressed, the
Agenda proposes an ambitious schedule of specific activities
to be undertaken for each objective through 1991.
The Subtitle D program is implemented principally at the
State and local level. While Subtitle C addresses hazardous
solid waste, Subtitle D primarily addresses nonhazardous
solid waste. Certain hazardous wastes excluded from Subtitle
C regulation are covered by Subtitle D (e.g., household and
small quantity generator hazardous wastes). The main goals
of the Subtitle D program, as outlined in Section 4001 of
RCRA, are to encourage solid waste management practices
that:
• Promote environmentally sound disposal methods
• Maximize the reuse of recoverable resources
• Foster resource conservation.
To achieve these goals, RCRA establishes the framework for:
• A voluntary program under which participating States
may develop solid waste management plans. Each plan
must outline the steps States will take to ensure that:
- Solid waste is properly managed
- Resources are conserved and recovered (where
possible)
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SECTION n
SUBTITLE D OF RCRA - MANAGING SOLID WASTE
- Open dumps are closed or upgraded
• Technical standards for solid waste management
facilities. The standards, commonly called the
Subtitle D Criteria, are mandatory and establish
minimum technical disposal requirements.
As a result of HSWA, the Part 257 Criteria are being revised
to address facilities that receive household hazardous waste
and small quantity generator hazardous waste. The States
must develop a permit program, or other system of prior
approval and conditions, to implement the Part 258 revised
Criteria.
Recognizing that the municipal solid waste management
problem requires a national response, EPA has launched an
ambitious "Agenda for Action" to encourage integrated waste
management. EPA has identified an integrated waste
management hierarchy and encourages complementary use
of source reduction, recycling, combustion, and landfills.
EPA has set a national goal to reduce waste over 25 percent by
1992 by means of source reduction and recycling.
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SECTION III
SUBTITLE C OF RCRA -
MANAGING HAZARDOUS WASTE
CHAPTER 1 - WHAT IS HAZARDOUS WASTE?
CHAPTER 2 - REGULATIONS APPLICABLE TO GENERATORS OF
HAZARDOUS WASTE
CHAPTER 3 - REGULATIONS APPLICABLE TO TRANSPORTERS OF
HAZARDOUS WASTE
CHAPTER 4 -
REGULATIONS APPLICABLE TO TREATMENT,
STORAGE, AND DISPOSAL FACILITIES
CHAPTER 5 - PERMITTING
CHAPTER 6 - ENFORCEMENT
CHAPTER 7 - STATE AUTHORIZATION
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SECTION III SUBTITLE C OF RCRA - MANAGING
HAZARDOUS WASTE
OVERVIEW
WHAT IS
HAZARDOUS WASTE
TRANSPORTER
TSD
FACILITIES
J
ENFORCEMENT
The improper management of hazardous waste is probably
one of the most serious environmental problems in the United
States. In 1979, EPA estimated that only 10 percent of all
hazardous waste was managed in an environmentally sound
manner. The remainder was transported, treated, stored, or
disposed of in a way that potentially threatens human health
and the environment. Since that time, the amount of hazardous
waste produced has steadily risen.
Mismanagement has potentially severe consequences: ground
water — the source of drinking water for about half the
nation's population — is polluted from the open dumping of
wastes or from improperly operated landfills and surface
impoundments. In some areas, residents obtain drinking
water from other sources because ground-water supplies are
so badly contaminated with toxic or cancer-causing chemicals
and heavy metals.
Ground-water pollution is not the only problem posed by
improper hazardous waste management. 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, the
vaporization of volatile organic materials from wastes that
were improperly disposed of has been linked to respiratory
illnesses, skin diseases (including skin cancer), and elevated
levels of toxic materials in the blood and tissues 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 firemen.
The Subtitle C program developed under RCRA (Sections
3001 - 3019 of the Act) is designed to ensure that the
mismanagement of hazardous waste does not continue. It
does this by creating a Federal "cradle-to-grave" system to
manage hazardous waste (including provisions for cleaning
up releases) and to set forth statutory and regulatory
requirements for:
• Identifying hazardous waste
« Generators of hazardous waste
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SECTION m
SUBTITLE C OF RCRA - MANAGING HAZARDOUS WASTE
• Transporters of hazardous waste
• Owners and operators of facilities that treat, store, or
dispose of hazardous wastes
• Issuing operating permits to owners or operators of
treatment, storage, and disposal facilities, and providing
for corrective action for hazardous waste releases
• Enforcing the Subtitle C program
• Transferring the responsibilities of the Subtitle C
program from the Federal government to the States.
The statutory and regulatory requirements entailed above are
discussed and elaborated upon in separate chapters in this
section.
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••CHAPTER1
WFIAT IS HAZARDOUS WASTE?
OVERVIEW
DEFINITION OF HAZARDOUS WASTE
IDENTIFICATION OF HAZARDOUS WASTE
CHARACTERISTICS
- Ignitability
Corrosivity
- Reactivity
- EPToxicity
TESTING FOR HAZARDOUS WASTE CHARACTERISTICS
LISTING OF HAZARDOUS WASTES
HAZARDOUS WASTE MIXTURES
WASTES SPECIFICALLY EXCLUDED FROM SUBTITLE C
REGULATION
WASTES DERIVED FROM HAZARDOUS WASTE
WHEN DOES A HAZARDOUS WASTE CEASE BEING HAZARDOUS?
MIXED WASTE REGULATION
RELATIONSHIP TO STATE HAZARDOUS WASTE PROGRAMS
SUMMARY
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CHAPTER 1 WHAT IS HAZARDOUS WASTE?
OVERVIEW
WHAT IS
HAZARDOUS WASTE
DEFINITION OF
HAZARDOUS WASTE
The regulatory framework established under Subtitle C was
designed to protect human health and the environment from
the effects of improper management of hazardous waste.
Determining "what is a hazardous waste?" therefore, is a key
question because only those wastes that are found to be
hazardous are subject to Subtitle C regulations. Making this
determination is a complex task. The universe of potential
hazardous wastes is large and diverse, consisting of chemical
substances, mixtures, generic waste streams, and specific
products. Furthermore, wastes are potentially hazardous for
differentreasons. Congress addressed thisproblemby directing
EPA (under Section 3001 of the Act) to develop andpromulgate
criteria for identifying the characteristics of hazardous waste
and for listing particular wastes as hazardous.
It is upon this identification and listing of wastes that RCRA's
Subtitle C program is based. All solid waste generators, from
national manufacturers to the corner dry cleaners, must
determine if their solid waste is hazardous and thus subject to
regulation under Subtitle C.
This chapter defines the term "hazardous waste" and describes
how EPA determines if a solid waste is hazardous. It also
discusses those wastes specifically excluded from Subtitle C
regulation.
Congress defined the term "hazardous waste" in Section
1004(5) ofRCRAasa "solid waste, or combination of solid
wastes, which because of its quantity, concentration, or
physical, chemical, or infectious characteristics may:
1) Cause, or significantly contribute to an increase in
mortality or an increase in serious irreversible, or
incapacitating reversible, illness or
2) Pose a substantial present or potential hazard to human
health or the environment when improperly treated,
stored, transported, or disposed of, or otherwise
managed."
Note that RCRA defines hazardous wastes in terms of properties
of a solid waste. Therefore, if a waste is not a solid waste, as
defined in Subtitle D, it cannot be a hazardous waste.
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CHAPTER 1
WHAT IS HAZARDOUS WASTE?
IDENTIFICATION OF
HAZARDOUS WASTE
CHARACTERISTICS
The amount of hazardous waste generated by American
industries is staggering. A survey by EPA estimates that 275
million metric tons of hazardous waste were generated in
1985. This translates into over 1 ton of hazardous waste
generated per person, per year. The vast majority of these
wastes come from the chemical and petroleum industries.
These industries alone generate 71 percent of all hazardous
wastes produced. The remainder comes from a wide range of
other industries, including metal finishing, general
manufacturing, and transportation.
Although Congress defined the term "hazardous waste" in the
Act, EPA was required to develop the regulatory framework
that would identify those solid wastes that must be managed
as hazardous wastes under Subtitle C. This framework (40
CFR Part 261), specifies that a solid waste is hazardous if it
is not excluded from regulation as a hazardous waste and it
meets any of the following conditions:
1) Exhibits any of the characteristics of a hazardous waste
2) Has been named as a hazardous waste and listed as such
in the regulations
3) Is a mixture containing a listed hazardous waste and a
nonhazardous solid waste
4) Is a waste derived from the treatment, storage, or
disposal of a listed hazardous waste.
EPA has identified four characteristics for hazardous waste.
Any solid waste that exhibits one or more of these
characteristics is classified as hazardous under RCRA:
• Ignitability
• Corrosivity
• Reactivity or
• Extraction Procedure (EP) Toxicity.
EPA considered two criteria in selecting these characteristics.
The first criterion was that the characteristics be capable of
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CHAPTER 1
WHAT IS HAZARDOUS WASTE?
Ignitability CorroslvHy
Reactivity
Toxicity
A waste is hazardous if it exhibits any of these four characteristics.
Ignitafoility
being defined in terms of physical, chemical, orotherproperties
that cause the waste to meet the definition of hazardous waste
in the Act. The second criterion was that the properties
defining the characteristics be measurable by standardized
and available testing protocols. The second criterion was
adopted because the primary responsibility for determining
whether a solid waste exhibits any of the characteristics rests
with generators. EPA believed that unless generators were
provided with widely available and uncomplicated methods
for determining whether their wastes exhibited the
characteristics, the identification system would prove
unworkable.
Largely due to this second criterion, EPA has to date refrained
from adding carcinogenicity, mutagenicity, bioaccumulation
potential, and phytotoxicity to the set of characteristics. EPA
considered the available test protocols for measuring these
additional characteristics to be either insufficiently developed
or too complex and too highly dependent on the use of skilled
personnel and professional equipment. Additionally, given
the current state of knowledge concerning such characteristics,
EPA did not feel that it could define with any confidence the
numerical threshold levels at which wastes exhibiting these
characteristics would present a substantial hazard. As testing
protocols become generally acceptable and EPA's confidence
in setting minimum thresholds increases, more characteristics
will be added.
40 CFR 261.20 through 261.24 defines the properties of
wastes exhibiting any or all of the existing characteristics
described below.
A solid waste that exhibits any of the following properties is
considered a hazardous waste due to its ignitability:
• A liquid, except aqueous solutions containing less than
24 percent alcohol, that has a flash point less than 60°
C (140° F)
« A nonliquid capable, under normal conditions, of
spontaneous and sustained combustion
• An ignitable compressed gas per Department of
Transportation (DOT) regulations or
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CHAPTER 1
WHAT IS HAZARDOUS WASTE?
• An oxidizer per DOT regulation.
EPA' s reason for including ignitability as a characteristic was
to identify wastes that could cause fires during transport,
storage, or disposal. Examples of ignitable wastes include
waste oils and used solvents.
Corrosivity A solid waste that exhibits any of the following properties is
considered a hazardous waste due to its corrosivity:
• An aqueous material with pH less than or equal to 2 or
greater than or equal to 12.5 or
• A liquid that corrodes steel at a rate greater than 1/4
inch per year at a temperature of 55° C (130° F).
EPA chose pH as an indicator of corrosivity because wastes
with high or low pH can react dangerously with other wastes
or cause toxic contaminants to migrate from certain wastes. It
chose steel corrosion because wastes capable of corroding
steel can escape from their containers and liberate other
wastes. Examples of corrosive wastes include acidic wastes
and used pickle liquor (employed to clean steel during its
manufacture).
Reactivity A solid waste that exhibits any of the following properties is
considered a hazardous waste due to its reactivity:
Normally unstable and reacts violently without
detonating
Reacts violently with water
Forms an explosive mixture with water
Generates toxic gases, vapors, or fumes when mixed
with water
Contains cyanide or sulfide and generates toxic gases,
vapors, or fumes at a pH of between 2 and 12.5
Capable of detonation if heated under confinement or
subjected to strong initiating source
m-6
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CHAPTER 1
WHAT IS HAZARDOUS WASTE?
EP Toxicity
Constituent
Arsenic
Barium
Cadmium
Chromium
Lead
Mercury
Selenium
Silver
Endrin
Lindane
Methoxychlor
Toxapheue
2,4 - D
2,4,5 - TP
Concentration
mg/1
5.0
100.0
1.0
5.0
5.0
0.2
1.0
5.0
0.02
0.4 ,
10.0
0.5
10.0
1.0
Figure 1.1
Constituents and Concentrations
for EP Toxicity
TESTING FOR HAZARDOUS
WASTE CHARACTERISTICS
• Capable of detonation at standard temperature and
pressure or
• Listed by DOT as Class A or B explosive.
Reactivity was chosen as a characteristic to identify unstable
wastes that can pose a problem at any stage of the waste
management cycle, e.g., an explosion. Examples of reactive
wastes include water from TNT operations and used cyanide
solvents.
The term EP toxicity often confuses newcomers to the program
because, in addition to referring to a characteristic of a waste,
it also refers to a test. The test, called the extraction procedure
(EP), is designed to identify wastes likely to leach hazardous
concentrations of particular toxic constituents into the ground
water as a result of improper management.
During the procedure, constituents are extracted from the
waste in a manner designed to simulate the leaching actions
that occur in landfills. The extract is then analyzed to
determine if it possesses any of the toxic contaminants listed
in Figure 1.1. If the concentrations of the toxic constituent
exceed the levels listed in Figure 1.1, the waste is classified as
hazardous.
The EP toxicity test has been criticized because of its failure
to adequately simulate the flow of toxic contaminants to
drinking water. Under HSWA, Congress directed EPA to
examine the EP toxicity test to determine if modifications or
additions could improve it as a diagnostic tool. EPA plans to
replace the test with the Toxicity Characteristic Leaching
Procedure (TCLP) test in the near future.
The responsibility for determining if a particular solid waste
is hazardous falls on the generators. If a solid waste is neither
excluded nor listed, as discussed in the following pages,
generators must either test their waste using standard methods
(specified in 40 CFR Part 261) or have sufficient knowledge
about their waste to assess whether it exhibits any of the
characteristics. If the waste does exhibit a characteristic, then
it is hazardous and must be handled accordingly. Tests must
be applied to each individual waste and cannot be used to
m-7
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CHAPTER 1
WHAT IS HAZARDOUS WASTE?
LISTING OF
HAZARDOUS WASTES
There are Three Lists
of Hazardous Wastes:
• Non-specific source
wastes
• Specific source
wastes
• Commercial
chemical products.
assess a type of waste (other than to define the waste generically
as hazardous). This provision was established to prevent a
national company from making one waste determination and
using the results nationwide, masking potential regional
variations. The tests must also be run on representative
samples to obtain results that adequately characterize the
nature of the waste.
A solid waste is hazardous if it is named on one of three lists
developed by EPA:
*) Nonspecific source wastes C40 TFR 9fi1 31) . 7^,. ^
generic wastes, commonly produced by manufacturing
and industrial processes. Examples from this list include
spent halogenated solvents used in degreasing and
wastewater treatment sludge from electroplating processes
as well as dioxin wastes, most of which are "acutely
hazardous" wastes due to the danger they present to
human health and the environment.
2) Specific source, wa^g ran rep 0*1 T?) Ttmlirtconiirt:
of wastes from specifically identified industries such as
wood preserving, petroleum refining, and organic chemical
manufacturing. These wastes typically include sludges,
still bottoms, wastewaters, spent catalysts, and residues,
e.g., wastewater treatment sludge from pigment production.
3) Commercial chemical pmflirfr (An PFP o/q ra(P) and
(f)), also called "P" and "U" list wastes) - The third list
consists of specific commercial chemical products, or
manufacturing chemical intermediates. This list includes
chemicals such as chloroform and creosote, acids such as
sulfuric acid and hydrochloric acid, and pesticides such as
DDT and kepone.
EPA developed these lists by examining different types of
wastes and chemical products to see if they met any of the
following criteria:
• Exhibit one of the four characteristics of a hazardous
waste
• Meet the statutory definition of hazardous waste
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CHAPTER 1
WHAT IS HAZARDOUS WASTE?
HAZARDOUS WASTE
MIXTURES
SOLID
WASTE
• Are acutely toxic or acutely hazardous or
• Are otherwise toxic.
One of the questions that faced EPA when setting the conditions
for identifying hazardous wastes was how to classify a waste
mixture that contains both a listed hazardous waste and a
nonhazardous solid waste. EPA decided that any waste
mixture containing a listed hazardous waste is considered a
hazardous waste and must be managed accordingly. This
applies regardless of what percentage of the waste mixture is
composed of listed hazardous wastes. Without such a
regulation, generators could evade Subtitle C requirements
simply by commingling listed wastes with nonhazardous
solid waste. Most of these waste mixtures would not be caught
by' the four Subtitle C characteristics because they would
contain wastes which were listed for reasons other than
exhibiting the characteristics, e.g., they are acutely toxic.
Allowing this situation would leave a major loophole in the
Subtitle C management system and create inconsistencies in
how wastes are managed under that system. However, a few
exceptions to the mixture rule outlined above follow:
• If a wastewater discharge subject to regulation by the
Clean Water Act is mixed with low concentrations of a
listed waste, as specified in 40 CFR 261.3, the resultant
mixture is not considered a listed hazardous waste. Of
course, if such a mixture exhibited one of the
characteristics, it would be deemed hazardous.
• Mixtures of nonhazardous wastes and listed wastes that
were listed for exhibiting a characteristic are not
considered hazardous if the mixture no longer exhibits
any of the characteristics set forth in Subpart C of 40
CFR Part 261.
• Mixtures of nonhazardous wastes and characteristic
hazardous wastes are not considered hazardous if the
mixture no longer exhibits any of the characteristics set
forth in Subpart C of 40 CFR Part 261.
• Certain concentrations of spent solvents and laboratory
wastewater that are discharged in low concentrations
and do not pose a threat to human health or the
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CHAPTER 1
WHAT IS HAZARDOUS WASTE?
WASTES DERIVED FROM
HAZARDOUS WASTE
WASTES SPECIFICALLY
EXCLUDED FROM
SUBTITLE C REGULATION
environment are excepted.
• De minimis losses of discarded commercial chemical
products or intermediaries used as raw materials in
manufacturing or produced as by-products are
excepted. These include minor losses from spills and
transfer of materials, process leaks, and similar
incidental discharges.
An additional exemption from the mixture rule has been
granted to the petroleum refining industry for heat exchanger
bundle cleaning sludge.
Another question that EPA faced was how to classify residues
from the treatment, storage, or disposal of a listed hazardous
waste. The Agency decided that any residue derived from a
listed hazardous waste is considered a hazardous waste. EPA
established this rule because it is reasonable to assume that
wastes derived from hazardous wastes are themselves
hazardous unless it can be shown that they do not pose a threat
to human health and the environment.
Congress decided that certain wastes should not be regulated
as hazardous waste, thereby being "excluded" from Subtitle C
regulation. Specifically, Congress outlined:
• Materials which are not solid wastes
• Solid wastes which are not to be considered hazardous
waste
• Hazardous waste specifically exempted from regulation
• Waste requiring further study before being regulated as
hazardous.
A generator of solid waste should first determine if the waste
is specifically excluded from Subtitle C regulation. If the
waste is not excluded, the generator must determine if the
waste is hazardous.
Excluded wastes include a number of common solid wastes
that do not present a significant threat to human health or the
environment or are currently managed under other programs
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CHAPTER 1
WHAT IS HAZARDOUS WASTE?
in a way that minimizes any threat to human health or the
environment, (e.g., household wastes, municipal resource
recovery wastes, agricultural wastes, and mining overburden
returned to the mine site).
Congress exempted certain solid wastes from consideration as _
hazardous waste. These wastes are detailed in 40 CFR
261.4(b). A few of these wastes provisionally exempted
included oil and gas production wastes, mining wastes, wastes
from the combustion of coal or other fossil fuels, and cement
kiln dust waste. To determine if these wastes should be
regulated at all, Congress, under Section 8002 of the Act,
directed EPA to conduct studies and report on whether the
results indicate that the wastes should be regulated under
Subtitle C. EPA completed several of these "large volume"
studies. As a result, EPA recently determined that regulation
of wastes from the development and production of crude oil,
natural gas, and geothermal energy is not warranted under
Subtitle C. Instead, EPA has chosen to expand existing
regulatory programs under Subtitle D, the Clean Water Act,
and the Safe Drinking Water Act. EPA has also determined
that regulation under Subtitle C of mining wastes (referred to
as "Bevill Wastes") from extraction and beneficiation currently
is not warranted. Instead, the Agency plans to develop a
program to regulate these mining wastes under Subtitle D of
RCRA. Other mining wastes and processing wastes are still
being studied and are provisionally exempt from Subtitle C.
Additional solid waste streams that are excluded from
consideration as hazardous wastes include: household waste,
solid waste returned to the soil as fertilizers, various chromium-
containing wastes, and discarded arsenical-treated wood.
Hazardous wastes generated in raw material or manufacturing
process units are excluded until the wastes leave those units or
until the waste remains in an inactive unit longer than 90 days.
Wastes sent to laboratories or treatment facilities for treatability
studies also are excluded if the stringent provisions of 40 CFR
261.4(d) are followed.
Certain residues of hazardous waste in empty containers also
are excluded from regulation under Subtitle C. Specifically,
any hazardous waste remaining in a liner or empty container
is exempt if all of the waste has been removed by methods such
as pumping or pouring. Additionally, no more than 2.5
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CHAPTER 1
WHAT IS HAZARDOUS WASTE?
-Recycle-
-Conserve Energy—
centimeters of wastecan remain in the bottom of the container,
or less than 3 percent by weight if the container is under 110
gallons, less than 0.3 percent if over 110 gallons. Special
requirements apply if the waste is acutely hazardous. The
liner or container must be triple rinsed or cleaned by an equally
effective method. The rinsate then must be handled as a
hazardous waste.
EPA amended Congress'list of exempted wastes with certain
chromium-containing wastes and laboratory samples.
Language excluding these wastes from RCRA regulation is
contained in 40 CFR 261.4(a).
Consistent with RCRA's mandate to foster resource recovery,
the regulations exempt some secondary materials from RCRA
when they are recycled using certain procedures. The
exemption is based upon the type of secondary material being
recycled and the recycling process used. 40 CFR 261.2, Table
1 identifies classes of secondary materials including:
• Spent Materials - Materials that have been used and can
no longer serve their original purpose without
reprocessing
• Sludges - Residues from treatment of air emmissions or
wastewater pollution control operations
• By-products - Residual materials from industrial,
commercial, mining, and agricultural operations
* Commercial Chemical Products - Chemical products
and intermediates, and
• Scrap Metal - Bits and pieces of metal from metal
processing operations or consumer use.
When recycled, using one of the following processes, some
secondary materials are exempted from RCRA regulation.
• Reclamation - Reprocessing to recover a usable
product, and
* Speculative Accumulation - Accumulation without
evidence of recycling or recyclability.
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CHAPTER 1
WHAT IS HAZARDOUS WASTE?
WHEN DOES A
HAZARDOUS WASTE
CEASE BEING
HAZARDOUS?
MIXED WASTE
REGULATION
Similarly, RCRA exempts (40 CFR 261.6) or reduces the
regulatory requirements (40 CFR Part 266) for certain
hazardous waste recyclable materials or recycling procedures.
These provisions are addressed in Section HI, Chapter 4.
EPA recognized that its procedures for listing hazardous
wastes might not be applicable in all cases. To provide for
these cases, EPA created a process called delisting that allows
any person, e.g., waste handler or general public, to petition
EPA to exclude a listed waste from regulation under Subtitle
C. For petitioners to get wastes delisted they must prove to
EPA that the wastes are not hazardous because of facility-
specific variations in raw materials, processes, or other factors.
In evaluating a delisting petition, EPA must consider factors
including constituents other than those for which the waste
was listed, if EPA has a reasonable basis to believe that such
additional factors could cause the waste to be a hazardous
waste. If, upon evaluation, EPA determines that the waste is
not hazardous due to conditions at the facility, that waste is
removed from Subtitle C's regulatory jurisdiction. Delisting
is done on a case-by-case basis. Therefore, if a waste is
delisted at one facility, it is not automatically delisted at other
facilities.
Facilities that treat listed wastes often want to show that the
treated listed waste is no longer hazardous. For example,
treating some hazardous waste by incineration may be cost
effective only if the resulting ash is not considered a hazardous
waste. If this demonstration has been successfully made, the
wastes may be disposed outside the purview of Subtitle C.
The concept of delisting is central to this demonstration. The
owner or operator must conduct studies to show that, once
treated, the listed hazardous waste is no longer hazardous.
Characteristic wastes automatically cease being considered
hazardous wastes when they cease to exhibit any characteristic.
It is also worth noting that the "mixture" and "derived-from"
rules do not apply to characteristic wastes. (Of course, if
mixtures or residues themselves exhibit a characteristic, they
are considered hazardous wastes.)
One of the more difficult issues facing EPA and States is the
regulation of mixtures of radioactive and hazardous waste
IH-13
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CHAPTER 1
WHAT IS HAZARDOUS WASTE?
RELATIONSHIP TO
STATE HAZARDOUS
WASTE PROGRAMS
SUMMARY
(Mixed Waste). Since Mixed Waste is considered hazardous
under RCRA and radioactive under the Atomic Energy Act,
both the Nuclear Regulatory Commission (NRC) and EPA
work together to address the management of these wastes.
Mixed Waste is most often produced by laboratories and by
nuclear energy production (source, special nuclear or by-
product material wastes). Laboratories may produce
scintillation solvents containing organic reagents and low-
level radioactive wastes. In nuclear energy production,
discarded lead shielding and cooling materials may contain
heavy metals and radioactive wastes.
Generators of Mixed Waste must comply not only with the
minimum technical requirements of RCRA, but also with the
NRC regulations as well. Thus, since the hazardous and
radioactive waste components cannot be readily separated,
the design of facilities, drafting of operating requirements for
RCRA permits or NRC Licenses, and the development of
cleanup solutions must be done in a manner that adequately
addresses the hazards posed by both the radioactive and
hazardous components of the waste.
A State that has been delegated the Subtitle C program is
considered to be "authorized." This means that one must
comply with the State laws. The Federal waste identification
framework sets a baseline standard with which all States must
comply. Frequently, many States choose to adopt and apply
more stringent requirements. For example, waste oil is not yet
listed as a hazardous waste under the Federal RCRA program.
However, many States regulate used oil as a hazardous waste.
Therefore, understanding whether Federal or State
requirements are applicable is important.
All solid waste generators must determine if their waste is
hazardous and, therefore, subject to regulation under Subtitle
C. .The Subtitle C regulations specify that a solid waste is
hazardous if it is not excluded and meets one of four conditions:
1) Exhibits any of four characteristics:
- Ignitability
- Corrosivity
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CHAPTER 1
WHAT IS HAZARDOUS WASTE?
- Reactivity, or
- EP Toxicity.
2) Is listed
3) Is a mixture, or
4) Is derived from the treatment, storage,
or disposal of a listed waste.
Through delisting, any person may petition EPA to exclude
a listed waste from regulation under Subtitle C.
The recycling of hazardous waste may, under certain
circumstances, exempt it from Subtitle C regulation.
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CHAPTER 2
REGULATIONS APPLICABLE TO
GENERATORS OF HAZARDOUS WASTE
OVERVIEW
WHO ARE THE REGULATED GENERATORS?
- Large Quantity Generators
- Small Quantity Generators
- Conditionally Exempt Small Quantity Generators
REGULATORY REQUIREMENTS
- EPA ID Number
- Pre-Transport Regulations
- Accumulation of Waste
- The Manifest
- Recordkeeping and Reporting
- Biennial Reporting
Exception Reports
- Three-Year Retention of Reports, Manifests, and Test Records
LAND DISPOSAL RESTRICTIONS
- Generator Requirements
- Recordkeeping Requirements
ADDITIONAL GENERATOR REQUIREMENTS AND EXCLUSIONS
International Shipments
Farmer Exclusion
SUMMARY
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CHAPTER 2
REGULATIONS APPLICABLE
TO GENERATORS OF
HAZARDOUS WASTE
OVERVIEW
WHOARETHE
REGULATED
GENERATORS?
GENERATOR
Generators of hazardous waste are the first link in the "cradle-
to-grave" chain of hazardous waste management established
under RCRA. Generators of more than 100 kilograms of
hazardous waste or 1 kilogram of acutely hazardous waste per
month must (with a few exceptions) comply with all of the
generator regulations developed under Subtitle C (40 CFR
Part 262). Subtitle C requires generators to ensure and fully
document that the hazardous waste they produce is properly
identified and transported to a RCRA treatment, storage, or
disposal facility (TSDF).
The Subtitle C regulations broadly define the term"generator"
to include any:
• Facility owner or operator or person who first creates a
hazardous waste, or
• Person who first makes the waste subject to the Subtitle
C regulations (e.g., imports a hazardous waste, initiates
a shipment of a hazardous waste from a TSDF, or
mixes hazardous wastes of different DOT shipping
descriptions by placing them into a single container).
To define the subset of solid waste generators that must
comply with Subtitle C generator regulations, it is necessary
to distinguish between generators who produce or handle
nonhazardous solid waste and ones that produce or handle
hazardous solid waste. Subtitle C separates these two groups
by requiring all generators of solid waste todetermine whether
any of their waste is hazardous using the procedures outlined
in 40 CFR Part 261. Once a generator determines that all or
part of the waste produced is hazardous, he must comply with
the regulatory requirements of Subtitle C.
Under RCRA, there are three categories of hazardous waste
generators:
• Large quantity generators
• Small quantity generators
• Conditionally exempt small quantity generators.
in-16
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CHAPTER 2
REGULATIONS APPLICABLE TO
GENERATORS OF HAZARDOUS WASTE
Large Quantity Generators
Small Quantity Generators
Less than
1.000 Kg/Mo
Hazardous Waste
Less than
100 Kg/Mo
atuiuuu!* Waste
1984
AMENDMENTS
1 Kg/Mo Acutely Hazardous Waste
1 Kg/Mo Acutely.
Hazardous
Waste
CHANGES IN SMALL QUANTITY
GENERATOR EXEMPTION
Early in the development of the RCRA program EPA
recognized that hazardous waste regulations impose a
substantial burden on the regulated community. Thus, in
issuing wasteregulations,EPAfirstfocusedon those generators
that produce the greatest volumes of hazardous waste.
Large quantity generators are defined as those facilities that
generate:
9 Over 1,000 kilograms per month of hazardous waste, or
» Over 1 kilogram of acutely hazardous waste per month.
Large quantity generators produce the greatest volume of
hazardous waste in the United States. EPA's 1985 biennial
survey of generators estimated that 274 of the 275 million
metric tons of hazardous waste came from large quantity
generators.
The initial EPA regulations, published on May 19, 1980,
exempted "small quantity generators" (SQGs) from most of
the hazardous waste requirements. (Note: this group of
generators is often referred to by the phonetic use of the
acronym SQG - "squee-gee"). A small quantity generator
was defined as a generator who produced:
« Less than 1,000 kilograms of hazardous waste at a site per
month (or accumulated less than 1,000 kilograms at any
one time)
• Less than 1 kilogram of acutely hazardous waste per
month (or accumulated less than 1 kilogram at any one
time).
Because of concern that hazardous waste exempted from
regulation due to the SQG exclusion could be causing
environmental harm, Congress amended the definition of
SQGs in HSWA, reducing the cut-off point from 1,000
kilograms to 100 kilograms. Thus the revised definition of
SQG is a generator who produces:
• Greater than 100 but less than 1,000 kilograms of
hazardous waste at a site per month (and accumulates
less than 6,000 kilograms at any one time)
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CHAPTER 2
REGULATIONS APPLICABLE TO
GENERATORS OF HAZARDOUS WASTE
• Less than 1 kilogram of acutely hazardous waste per
month (and accumulates less than 1 kilogram at any one
time).
Because SQGs produce such a small portion of the nation's
hazardous waste, Congress was concerned that full regulation
might be economically burdensome and inappropriate. Thus,
Congress gave EPA authority to vary the regulatory
requirements applicable to SQGs from those applied to large
generators, provided that the requirements were still protective
of human health and the environment.
SQGs who store more than 6,000 kilograms of their waste on-
site must meet all large quantity generator requirements.
Generators of more than 1,000 kilograms of hazardous waste
per month or 1 kilogram of acutely hazardous waste per month
must, as was the case before the amendments, meet the large
quantity generator requirements.
Conditionally Exempt Small Currently, a facility that generates less than 100 kilograms per
Quantity Generators month of hazardous waste and less than 1 kg per month of
acutely hazardous waste is "conditionally exempt" from full
regulation under Subtitle C. The conditionally exempt SQG,
however, must still:
• Identify the waste to determine whether it is a
hazardous waste
• Not accumulate more than 1,000 kilograms of
hazardous waste at any time
• Treat or dispose of the waste on site, or ensure that the
waste is sent to a:
- Permitted or interim status TSDF, or
- Permitted municipal or industrial solid waste facility, or
Recycling facility.
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CHAPTER 2
REGULATIONS APPLICABLE TO
GENERATORS OF HAZARDOUS WASTE
REGULATORY
REQUIREMENTS
Placards
EPA ID Number
Pre-Transport
Regulations
Conditionally exempt SQGs who exceed the 100 kg per
month hazardous waste cut-off are regulated as a SQG.
Conditionally exempt SQGs that generate in excess of 1 kg
per month of acutely hazardous waste are regulated as large
quantity generators. It is important to note that State
classification of generators may be different from those outlined
above. Some States regulate all generators of hazardous waste
(i.e., there is no exempt category) and some States classify
generators by waste type rather than by volume.
Large and small quantity generators are subject to regulations
contained in 40 CFR Part 262. Such regulations require:
• Obtaining an EPA ID number
• Preparing the waste for transportation
• Following accumulation and storage requirements
• Manifesting of hazardous waste
• Recordkeeping and reporting.
Each requirement is discussed below with different
requirements for large and small quantity generators noted
where appropriate.
One way that EPA monitors and tracks generators is to assign
each generator a unique identification number. Without this
number the generator is barred from treating, storing, disposing
of, transporting, or offering for transportation any hazardous
waste. Furthermore, the generator is forbidden from offering
his or her hazardous waste to any transporter, or treatment,
storage, or disposal facility that does not also have an EPA ID
number.
Pre-transport regulations are designed to ensure safe
transportation of a hazardous waste from origin to ultimate
disposal. In developing these regulations, EPA adopted
those used by the Department of Transportation (DOT) for
transporting hazardous materials (49 CFR Parts 172,173,
178, and 179). These DOT regulations require:
IH-19
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CHAPTER 2
REGULATIONS APPLICABLE TO
GENERATORS OF HAZARDOUS WASTE
Accumulation of Waste
.JANUARY
i
FEBRUARY |
IL ' ' ' ' ' *
_MARCH
• Proper packaging to prevent leakage of hazardous waste,
during both normal transport conditions and potentially
dangerous situations, e.g., when a drum falls out of a truck
• Labeling, marking, and placarding of the packaged waste
to identify the characteristics and dangers associated with
transporting wastes.
These pre-transport regulations only apply to generators
shipping waste off site.
In addition to adopting the DOT regulations outlined above,
EPA developed regulations that cover the accumulation of
waste prior to transport. A large quantity generator may
accumulate hazardous waste on site for 90 days or less as long
as the following requirements are met:
• Proper Storage—The waste is properly stored in containers
or tanks marked with the words "hazardous waste" and
the date on which accumulation began.
• Emergency Plan—A contingency plan and procedures to
use in an emergency must be developed. Large quantity
generators are required to have a written contingency
plan, but small quantity generators are not.
• Personnel Training—Facility personnel are trained in the
proper handling of hazardous waste. Large quantity
generators are required to have an established training
program. Smallquantity generators, however, are currently
exempt from this requirement, but must ensure that
employees handling waste are familiar with proper
procedures.
The 90-day period allows a generator to collect enough waste
to make transportation more cost-effective; that is, instead of
paying to haul several small shipments of waste, the generator
can accumulate waste until there is enough for one big
shipment.
If the generator accumulates hazardous waste on site for more
than 90 days, he or she is considered an operator of a storage
facility and must comply with the Subtitle C requirements for
IH-20
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CHAPTER 2
REGULATIONS APPLICABLE TO
GENERATORS OF HAZARDOUS WASTE
The Manifest
such facilities. Under temporary, unforeseen, and
uncontrollable circumstances the 90-day period may be
extended for up to 30 days by the Regional Administrator on
a case-by-case basis.
Small quantity generators can store waste on site for up to 180
days, providing certain criteria are met. The on-site quantity
of waste cannot exceed 6,000 kilograms at any time. The
facility must have basic safety information, e.g., the telephone
number of the fire department and a coordinator for emergency
activities. The generator must also ensure that personnel are
familiar with emergency procedures that must be followed
during spills and accidents. For more information on safety
requirements, see 40 CFR 262.34(d). Additionally, small
quantity generators who must transport waste for 200 miles or
more for off-site treatment, storage, or disposal, are allowed
to accumulate waste for up to 270 days. The generator must
still comply with the basic safety requirements outlined above.
As mentioned earlier, the Subtitle C program is designed to
manage hazardous waste from "cradle-to- grave." The Uniform
Hazardous Waste Manifest (the manifest) is the key to this
objective (see Appendix A). Through the use of a manifest,
generators can track the movement of hazardous waste from
the point of generation to the point of ultimate treatment,
storage, or disposal. RCRA manifests contain the:
• Name and EPA identification number of the generator, the
transporter(s), and the facility where the waste is to be
treated, stored, or disposed
• DOT description of the waste being transported
• Quantities of the waste being transported
• Address of the treatment, storage, or disposal facility to
which the generator is sending waste (called the designated
facility).
HSWA requires that each manifest contain a certification
that:
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CHAPTER 2
REGULATIONS APPLICABLE TO
GENERATORS OF HAZARDOUS WASTE
Recordkeeping
and Reporting
• The generator has in place a program to reduce the volume
and toxicity of the waste to the degree economically
practicable, as determined by the generator
• The treatment, storage or disposal method chosen by the
generatoris themostpracticable method currently available
that minimizes the risk to human health and the
environment.
The manifest is part of a controlled tracking system. Each
time the 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 link in the
transportation chain. Once the waste is delivered to the
designated facility the owner or operator of that facility must
send a copy of the manifest back to the generator. This system
ensures that the generator has documentation that his or her
hazardous waste has made it to its ultimate destination.
If 35 days pass from the date on which the waste was accepted
by the initial transporter and the generator has not received a
copy of themanifestfromthedesignatedfacility, the generator
must contact the transporter and/or the designated facility to
determine the whereabouts of the waste. If 45 days pass and
the manifest still has not been received, the generator must
submit an exception report (described below).
The recordkeeping and reporting requirements for generators
provide EPA and the States with a method to track the
quantities of 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 retention of reports, manifests, and test
records.
Biennial Reporting Large quantity generators who transport hazardous waste off-
site must submit a biennial report to the Regional Administrator
by March 1 of each even-numbered year. The report details
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CHAPTER 2
REGULATIONS APPLICABLE TO
GENERATORS OF HAZARDOUS WASTE
Exception Reports
Three-Year Retention
of Reports, Manifests,
and Test Records
the generator's activities during the previous calendar year
and includes:
• EPA identification number and name of each
transporter used throughout the year
• EPA identification number, name, and address of each
off-site treatment, storage, or disposal facility to which
waste was sent during the year
• Quantities and nature of the hazardous waste generated
',..' f'r.*•''.** - - j;'.'-' t,.:-:, *;
• . Efforts made to reduce'the volume and toxicity of the
; wastes generated
• Changes in volume or toxicity actually achieved,
compared with those achieved in previous years.
Generators who treat, store, or dispose of their hazardous
waste on- site also must submit a biennial report that contains
a description of the type and quantity of hazardous waste the
facility handled during the year, and the method(s) of treatment,
storage, or disposal used.
In addition to the biennial report, generators who transport
•waste off- site must submit an exception report to the Regional
Administrator if they do not receive a copy of the manifest
signed and dated by the owner or operator of the designated
facility within 45 days from the date on which the initial
transporter accepted the waste.' The,exception report must
describe efforts made to locate the waste, and the results of
those efforts. Small quantity generators who do not receive a
copy of the signed manifest from the .designated facility
within 60 days must explain the exception on a copy of the
original manifest and send it to the, Regional Administrator.
,i*Vt „•''.,.
The generator must keep a copy of each biennial report and
any exception reports for a period of at least three' years from
the date the report was submitted. i%e generator also is
required to keep a copy of all manifests for three years or until
he or she receives a copy of thejnanif est signed and dated from
. the owner or operator of the designated facility. The manifest
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CHAPTER 2
REGULATIONS APPLICABLE TO
GENERATORS OF HAZARDOUS WASTE
LAND DISPOSAL
RESTRICTIONS
from the facility must then be kept for at least three years from
the date on which the hazardous waste wag accepted by the
initial transporter. Finally, the records of the waste analyses
and determinations undertaken by the generator must be kept
for at least three years from the date the waste was last sent to
an on-siteor off-site TSDF. The periods of retention mentioned
above can be extended automatically during the course of any
unresolved enforcement action regarding the regulated activity
or as requested by the EPA Administrator.
One of the major impacts HS WA has had on the implementation
of the RCRA program is the restriction on land disposal for
certain hazardous wastes. RCRA Section 3004 restricts the
land disposal of specified hazardous wastes beyond certain
dates unless these wastes are treated according to treatment
standards. These requirements are found in 40 CFR Part 268.
The land disposal restrictions are referred to as the "land ban,"
and the hazardous wastes affected are called "restricted wastes."
Generator The land disposal restrictions affect both generators and
Requirements TSDFs (see Section III, Chapter 4 for details on the land
disposal restrictions). Generators are responsible for:
• Determining whether their waste is restricted from land
disposal, and
• Ensuring that all manifested shipments of restricted wastes
are accompanied by the proper records when sent to a
TSDF.
All shipments of restricted wastes off-site must be accompanied
by the proper records. The type of record depends on whether
or not there is a treatment standard specified for that particular
waste. Recordkeepingrequirements for restricted wastes with
treatment standards differ from those for restricted wastes
without standards. These requirements are addressed separately
below.
Restricted Wastes with Treatment Standards: If a generator
determines that the restricted waste does not meet the designated
treatment standard level, a notification must accompany the
manifest to the treatment facility and must include:
• EPA hazardous waste number
in-24
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CHAPTER 2
REGULATIONS APPLICABLE TO
GENERATORS OF HAZARDOUS WASTE
ADDITIONAL GENERATOR
REQUIREMENTS AND
EXCLUSIONS
International
Shipments
• Applicable treatment standard
• Manifest number of the waste shipment
• Waste analysis data, if available.
If the generator determines that his or her restricted waste
meets the treatment standard level without the need for further
treatment, the generator must supply the same notification as
well as a certification stating that the waste complies with the
treatment standard. The notification and certification must
accompany the waste shipment to the hazardous waste disposal
facility.
Restricted Wastes Without Treatment Standards: If the
generator determines that treatment standards are not developed
for the restricted waste, the waste may be land-disposed only
if the generator prepares a demonstration and certification to
accompany the manifest. The demonstration and certification
attests that land disposal is the only viable alternative to
manage the waste. Appendix B outlines the paperwork
requirements for all land disposal restricted wastes.
Additional generator requirements apply to persons who
export their wastes. In addition, farmers have been excluded
from complying with generator requirements under certain
circumstances. These requirements are discussed below.
Prior to HSWA, hazardous wastes could be exported from the
United States with only minimal notice to EPA or the receiving
country. HSWA set additional notification requirements for
such exports. These requirements prohibit the export of
hazardous waste unless the exporter obtains prior written
consent of the receiving country. This statement must be
attached to the manifest accompanying each waste shipment.
To export a hazardous waste, the EPA Administrator must
first be notified by the exporter 60 days prior to when the waste
is scheduled to leave the United States. This notification must
be completed only for the first shipment in any 12-month
period, unless basic information about the nature and frequency
of the shipments changes. If the importing country agrees to
accept the hazardous waste, EPA sends an "Acknowledgement
of Consent" to the exporter, who may then export the waste to
IH-25
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CHAPTER 2
REGULATIONS APPLICABLE TO
GENERATORS OF HAZARDOUS WASTE
SUMMARY
the importing country. Recordkeeping and reporting
requirements are similar to those for domestic shipments of
hazardous waste.
Farmer Although farmers can be generators of hazardous waste, they
Exclusion need not comply with the S ubtitle C regulations for generators
• when the wastes being disposed are pesticides used only by
them, and the:
• Empty pesticide containers are triple rinsed, and
• Pesticide residues are disposed on the farm following the
instructions on the pesticide label.
Hazardous waste generators regulated under RCRA fall into
three categories:
• Large quantity generators
• Small quantity generators
• Conditionally exempt small quantity generators.
Regulations under Subtitle C for large and small quantity
generators include:
• Obtaining an EPA ID number
• Preparing hazardous waste for transportation
• Following accumulation and storage requirements
• Manifesting hazardous waste
• Recordkeeping and reporting.
HSWArequires generators to evaluate their waste to determine
whether it must be treated prior to land disposal. HSWA
requires EPA to establish waste-specific treatment standards
in accordance with specified schedules. Depending on whether
a treatment standard has been established, recordkeeping
requirements for generators differ.
IE-26
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CHAPTER 3
REGULATIONS APPLICABLE TO TRANSPORTERS OF
HAZARDOUS WASTE
OVERVIEW
WHO ARE THE REGULATED TRANSPORTERS?
REGULATORY REQUIREMENTS FOR TRANSPORTERS
- EPA ID Number
- The Manifest
- Handling Hazardous Waste Discharges
STATE TRANSPORTATION REGULATIONS
SUMMARY
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CHAPTER 3 REGULATIONS APPLICABLE
TO TRANSPORTERS OF
HAZARDOUS WASTE
OVERVIEW
WHO ARE THE REGULATED
TRANSPORTERS?
A Transporter is Defined as:
Any person engaged in the off-
site transportation of manifested
hazardous waste, by air, rail,
highway, or water.
Transporters of hazardous waste are the critical link between
the generator and the ultimate off-site hazardous waste
treatment, storage, or disposal facility. The transporter
regulations were developed jointly by EPA and the Department
of Transportation (DOT) to avoid contradictory requirements
between the two agencies. Although the regulations are
integrated, they are not contained in the same part of the Code
of Federal Regulations (CFR). A transporter must comply
with the regulations under 49 CFR Parts 171-179 (The
Hazardous Materials Transportation Act) as well as those
under 40 CFR Part 263 (Subtitle C of RCRA). The remainder
of this chapter summarizes the Subtitle C regulations applicable
to transporters. Those readers interested in obtaining a more
complete pictureof transporter regulations should also review
the DOT regulations.
A transporter under Subtitle C is defined as any person
engaged in the off-site transportation of hazardous waste
within the United States, if such transportation requires a
manifest under 40 CFR Part 262 (for more information see
Section HI, Chapter 2). This definition covers transport by air,
rail, highway, or water. The transporter regulations do not
apply either to the on-site transportation of hazardous waste
by generators who have their own TSDFs or to TSDFs
transporting wastes within a facility.
Under certain circumstances, a transporter of hazardous waste
may be subject to RCRA regulatory requirements other than
those contained in 40 CFR Part 263. Once a transporter
accepts hazardous waste from a generator or another
transporter, he or she can store it at a transfer station for up to
ten days without being subject to other than the transporter
regulations. However, if the storage time exceeds ten days,
the transporter is considered a storage facility and must
comply with the regulations for such a facility (for more
information see Section HI, Chapter 4). In addition, transporters
who bring hazardous waste into the United States or mix
hazardous wastes of different DOT shipping descriptions in
the same container are classified as generators, and must
comply with the regulations applicable to generators outlined
in Section IE, Chapter 2.
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CHAPTERS
REGULATIONS APPLICABLE TO
TRANSPORTERS OF HAZARDOUS WASTE
REGULATORY
REQUIREMENTS FOR
TRANSPORTERS
EPA ID Number
The Manifest
Handling Hazardous
Waste Discharges
A transporter is subject to a number of regulations:
• Obtaining an EPA ID number
• Complying with the manifest system
• Handling hazardous waste discharges.
One way that EPA keeps track of transporters is by requiring
each transportation company to obtain a unique ID number
from EPA. Without this identification, the transporter is
forbidden from handling any hazardous waste. Furthermore,
a transporter may not accept waste from a generator unless
that generator has an EPA ID number.
The major responsibilities of the transporter in the manifest
system were discussed in Section III, Chapter 2. In summary,
the transporter is required to deliver an entire quantity of waste
accepted from either the generator or another transporter, to
the designated facility listed on the manifest. If the waste
cannot be delivered as the manifest directs, the transporter
must inform the generator and receive further instructions,
i.e., return the waste or take it to another facility. Before
handing the waste over to a TSDF, the transporter must have
the owner or operator sign and date the manifest. One copy of
the manifest remains at the TSDF while the other stays with
the transporter. The transporter must retain a copy of the
manifest for three years from the date the hazardous waste is
accepted by the initial transporter.
As noted in Section I, one of the goals of RCRA is to foster
resource recovery and recycling. There is a special exemption
from all the normal manifest requirements for transporters
who handle certain reclaimed wastes from small quantity
generators. The waste must be reclaimed under a contractual
agreement that specifies the type of waste and frequency of
shipments. The vehicle used to transport the waste from the
recycling facility also must be owned and operated by the
reclaimer of the waste. The generator is responsible for
keeping a copy of. the reclamation agreement for three years
after the agreement ends.
Even if generators and transporters of hazardous waste comply
with all appropriate regulations, transporting hazardous waste
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CHAPTER 3
REGULATIONS APPLICABLE TO
TRANSPORTERS OF HAZARDOUS WASTE
STATE TRANSPORTATION
REGULATIONS
can still be dangerous. There is always the possibility that an
accident will occur. To respond to this possibility, the
regulations require transporters to take immediate action to
protect health and the environment if a release occurs, (e.g.,
notifying local authorities and/or diking the discharge area).
The regulations also give certain officials special authority to
handle transportation accidents. Specifically, if a Federal,
State, or local official, with appropriate authority, determines
that the immediate removal of the waste is necessary to protect
human health or the environment, the official can authorize
waste removal without the use of a manifest by a transporter
who lacks an EPA ID.
When a serious accident or spill occurs, the transporter must
notify the National Response Center (NRC) at 1-800-424-
8802. Specifically, the NRC must be notified when:
• A person is killed or seriously injured
• Estimated damage exceeds $50,000
• The spill involves disease-causing agents or radioactive
material
• The spill exceeds a Superfund reportable quantity
• A life-threatening situation exists.
The Center for Disease Control must also be informed if the
spill involves disease-causing agents. Within 15 days of the
incident, the transporter must file a report with DOT. If
hazardous wastes were involved in the spill, the transporter
must supply a copy of the hazardous waste manifest and an
estimate of the quantity of waste removed from the site, where
it was taken, and the disposition of any unremoved waste.
Consumer commodities, batteries, and small containers of
paint are exempt from the 15-day notification requirement.
In addition to meeting Federal requirements, transporters
must also comply with the requirements of each State they
travel through. Indeed, the most substantive requirements in
the day-to-day business of transporting hazardous waste come
from more than 30 States with transportation regulations that
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CHAPTERS
REGULATIONS APPLICABLE TO
TRANSPORTERS OF HAZARDOUS WASTE
SUMMARY
differ from the Federal program. Some State programs are
significantly more .stringent than the Federal program. A
number of States require transporters to post bonds in case of
an accident. These differences make it important that
transporters consult the transportation regulations of each
State they travel through in addition to Federal requirements.
A transporter of hazardous waste must comply with both DOT
and EPA regulations. The Subtitle C regulations require a
transporter to:
• Obtain an EPA ID number
• Comply with the manifest system
• Handle hazardous waste discharges.
Under certain circumstances, a transporter of hazardous waste
also may be subject to Subtitle C generator and/or storage
facility requirements.
Varying State hazardous waste transportation programs often
add additional requirements beyond the Federal program.
Transporters should consult the regulations of States they
travel through to fully understand hazardous waste transport
requirements.
IH-30
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CHAPTER 4
REGULATIONS APPLICABLE TO
TREATMENT, STORAGE AND DISPOSAL FACILITIES
OVERVIEW
WHATISATSDF?
REGULATORY REQUIREMENTS
ADMINISTRATIVE AND NONTECHNICAL REQUIREMENTS FOR
INTERIM STATUS AND PERMITTED TSDFs
- Subpart A - Who is Subject to the Regulations?
- Subpart B - General Facility Standards
- Subparts C & D - Preparedness and Prevention, Contingency Plan and
Emergency Procedures
- S ubpart E - Manifest S ystem, Recordkeeping and Reporting
INTERIM STATUS (PART 265) TECHNICAL REQUIREMENTS
INTERIM STATUS GENERAL STANDARDS
- Subpart F - Ground-Water Monitoring
- Subpart G - Closure/Post Closure
- S ubpart H - Financial Requirements
INTERIM STATUS SPECIFIC STANDARDS
- General Operating Requirements
Subpart I - Containers
- Subpart J - Tanks
- Subpart K - Surface Impoundments
- S ubpart L - Waste Piles
- S ubpart M - Land Treatment
- Subpart N - Landfills
S ubpart O - Incinerators
- Subpart P - Thermal Treatment
- Subpart Q - Chemical, Physical, and Biological Treatment
- Subpart R - Underground Injection
PERMIT (40 CFR PART 264) TECHNICAL REQUIREMENTS
-------
CHAPTER 4 (CONTINUED)
PERMIT GENERAL STANDARDS
- SubpartF - Ground-Water Protection
PERMIT SPECIFIC STANDARDS
- SubpartI - Containers
- SubpartJ - Tanks
- SubpartK - Surface Impoundments
- SubpartL - Waste Piles
- SubpartM - Land Treatment
- SubpartN - Landfills
Subpart O - Incinerators
- Subpart X - Miscellaneous Units
LAND DISPOSAL RESTRICTIONS
- Treatment, Storage and Disposal Facility Requirements
REQUIREMENTS FOR RECYCLABLE MATERIALS AND RECYCLING
PROCEDURES
SUMMARY
-------
CHAPTER 4 REGULATIONS APPLICABLE TO
TREATMENT, STORAGE, AND
DISPOSAL FACILITIES
OVERVIEW
WHATISATSDF?
Treatment, storage, and disposal facilities (TSDFs) are the last
link in the "cradle-to-grave" hazardous waste management
system. Subtitle C requires all TSDFs that handle hazardous
waste to obtain an operating permit (a process described in the
next chapter) and abide by treatment, storage, and disposal
(TSD) regulations. The TSD regulations establish design and
operating criteria as well as performance standards that owners
and operators must meet to protect human health and the
environment. Because treatment, storage, and disposal involves
many different types of units (e.g., a landfill or an incinerator),
these regulations are far more extensive than those just
described for generators and transporters. Because of this
extensiveness, this chapter provides only a summary of the
TSD requirements. To obtain the details, the reader is
encouraged to examine 40 CFR Parts 264 and 265.
Due to the impact and importance of the land disposal
restrictions on TSDFs, additional detail is included at the end
of this chapter. Information on requirements for recycling
have also been placed in this chapter.
The definition of a TSDF, according to 40 CFR 260.10,
encompasses three different functions:
• Treatment - Any method, technique, or process, including
neutralization, designed to change the physical, chemical,
or biological character or composition of any hazardous
waste so as to neutralize it, or render it nonhazardous or
less hazardous, or to recover it, make it safer to transport,
store or dispose of, or amenable for recovery, storage or
volume reduction.
• Storage - The holding of hazardous waste for a temporary
period, at the end of which the hazardous waste is treated,
disposed, or stored elsewhere.
• Disposal - The discharge, deposit, injection, dumping,
spilling, leaking, or placing of any solid waste into or on
any land or water so that the waste or any constituent
thereof may enter the environment or be emitted into the
air or discharged into any waters, including ground waters.
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CHAPTER 4
REGULATIONS APPLICABLE TO TREATMENT, STORAGE
AND DISPOSAL FACILITIES
REGULATORY
REQUIREMENTS
The original RCRA legislation establishes two categories of
TSDFs based on a facility's permit status. The first category
is made up of "interim status" facilities, ones that have not
obtained a permit. Although Section 3005(a) of the Act
specifies that facilities must obtain a permit to operate, Con-
gress, in developing this requirement, recognized that it would
take many years for EPA to issue all permits. Therefore, it
established interim status under Section 3005(e) of the Act.
This allows owners and operators of facilities in existence on
November 19, 1980 (or brought under Subtitle C regulation
due to an amendment), who meet certain conditions, to con-
tinue operating as if they have a permit until their permit
application is issued or denied. The second category is made
up of facilities that have permits.
Under Section 3004(a) of the Act, EPA was required to
develop regulations for all TSDFs. Although only one set was
required, EPA developed two sets of regulations; one for
interim status TSDFs, the other for permitted TSDFs. The
interim status requirements differ from those for permitted
facilities because in the absence of permits, the interim status
requirements needed to be self-implementing. The interim
status requirements have neither site-specific provisions nor
provisions that require negotiations between EPA or a State
and the owner or operator.
As will be noted in Chapter 5, incinerators that did not submit
a final permit application by November 1986 lost interim
status in November 1989. All other facilities lose interim
status in November 1992, unless they submitted an application
by November 1988. Land disposal facilities that did not apply
by November 1985 lost interim status in November 1985.
The interim status standards, found in 40 CFR Part 265, are
primarily "good housekeeping practices" that owners and
operators must follow to properly manage hazardous wastes
during the interim status period. The permit standards, on the
other hand,foundin 40 CFR Part 264, are a mix of performance
standards and "design and operating" criteria that permit
writers include in facility-specific permits. Both interim
status andpermit standards consist of two types of requirements:
• Administrative and nontechnical requirements
• Technical and unit-specific requirements.
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CHAPTER4
REGULATIONS APPLICABLE TO TREATMENT, STORAGE,
AND DISPOSAL FACILITIES
ADMINISTRATIVE AND
NONTECHNICAL
REQUIREMENTS FOR
INTERIM STATUS AND
PERMITTED TSDFs
Because the administrative and nontechnical requirements
are nearly identical for interim status and permit standards,
they are discussed together in this chapter. However, the
technical requirements applied to interim status and permitted
facilities are significantly different and thus are discussed
separately. The technical requirements for interim status
facilities (40 CFR Part 265) are discussed before those for
permitted facilities (40 CFR Part 264) to reflect the
chronological order in which these two sets of requirements
are applied (existing facilities move from interim to permitted
status). Thus, the regulatory requirements portion of this
chapter is broken into three parts. The first part describes the
administrative and nontechnical requirements that apply to
both interim status and permitted facilities. The second part
describes the technical requirements that apply to interim
status facilities. The third part describess the technical
requirements with which permitted facilities must comply.
The land disposal restrictions schedule mandated under HS WA
for curtailing the land disposal of untreated hazardous waste
is discussed at the end of this chapter.
The purpose of the administrative and nontechnical
requirements is to ensure that owners and operators of TSDFs
establish the necessary procedures and plans to run a facility
properly and to handle any emergencies or accidents. They
are in Subparts A through E of 40 CFR Parts 264 and 265,
which are applicable to permitted and interim status facilities,
respectively, and cover the subject areas shown below:
Subpart Subject
A
B
C
D
E
Who is Subject to the Regulations?
General Facility Standards
Waste analysis
Security
Inspections
Training
Ignitable, reactive or incompatible wastes
Location standards
Preparedness and Prevention
Contingency Plans and Emergency Procedures
Manifest System, Recordkeeping and
Reporting.
IE-33
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Subpart A 'Who is Subject Subpart A outlines who is subject to the TSD regulations and
to tne Kegulations? any circumstances under which a person is excluded or only
subject to limited requirements. In general, all owners or
operators of facilities treating, storing, or disposing of
hazardous waste must meet the appropriate TSD regulations.
The exceptions to this include:
• A farmer disposing of pesticides from his own use
• The owner or operator of a totally enclosed treatment
facility
• The owner or operator of an elementary neutralization
unit or a wastewater treatment unit
• A person cleaning up a hazardous waste spill or discharge
• Facilities that reuse, recycle, or reclaim hazardous waste
(except persons who produce, burn, and distribute
hazardous waste-derived fuel and used oil recyclers)
• Generators (including small quantity generators)
accumulating wastes within the time periods specified in
40 CFR Part 262 (see Chapter 2)
• A transporter storing manifested shipments less than 10
days
• A facility regulated by an authorized State program (such
facilities are regulated by the State program instead of the
Federal program).
In addition, owners or operators of facilities regulated by other
environmental laws under a permit-by-rule (e.g., publicly
owned treatment works, underground injection wells),
discussed in Chapter 5, only need meet minimum TSD
requirements.
Bef°re handling ^y hazardous wastes, every facility owner
or operator must apply to EPA for an identification number.
Owners and operators also must ensure that their wastes are
properly identified and handled, that facilities are secure and
operating properly, and that personnel working at facilities are
IH-34
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CHAPTER 4
REGULATIONS APPLICABLE TO TREATMENT, STORAGE,
AND DISPOSAL FACILITIES
trained in hazardous waste management. To satisfy these
conditions, owners and operators must take the following
actions.
• Conduct Waste Analyses - Waste analyses are conducted
prior to treatment, storage, and disposal. This ensures that
owners or operators possess sufficient information on the
properties of the waste they manage to be able to treat,
store, or dispose of them in a manner that will not pose a
threat to human health or the environment. The regulations
require owners or operators to perform detailed chemical
and physical analyses of their wastes, to develop and
follow a written waste analysis plan that specifies tests and
test frequencies, and to test any incoming wastes.
• Install Security Measures - The security requirements
were developed to prevent the unknowing entry of people
and minimize the potential for the unauthorized entry of
people or animals onto the active portions of facilities. To
meet these security objectives, a barrier surrounding the
active portion of the facility with controlled entry systems
or 24-hour surveillance must be installed and warning
signs posted. Owners or operators also must take
precautions to avoid fires, explosions, generation of toxic
gases, and any other events that would threaten human
health, safety, and the environment. Owners and operators
are exempt from these requirements: (1) if unauthorized
or unknowing entry will not result in injury, and (2) if the
disturbance of waste or equipment will not result in
environmental damage.
• ConductTnspections - The regulations require an owner or
operator to develop and follow a written inspection schedule
to assess the status of the facility and detect potential
problem areas. Any observations made during the
inspections are recorded in the facility's operating log and
kept on file for three years. All problems found must be
remedied.
• Conduct Training - The purpose of the trainingrequirement
is to reduce the potential for mistakes that might threaten
human health and the environment. This is accomplished
by ensuring that facility personnel acquire expertise in the
areas to which they are assigned. The requirements
IH-35
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CHAPTER 4
REGULATIONS APPLICABLE TO TREATMENT, STORAGE,
AND DISPOSAL FACILITIES
Subparts C & D -
Preparedness and Prevention,
and Contingency Plan and
Emergency Procedures
specify when facility personnel must be trained (e.g., six
months after beginning a job), the records to be maintained,
and the minimum frequency with which the initial training
received by the employees must be updated. Both on-the-
job training and in-house training programs may be used
to meet the training requirements. Training requirements
have also been placed on TSDFs by the Occupational
Safety and Health Administration (OSHA). OSHA
requires TSDFs to implement a hazard communication
plan, medical surveillance program, health and safety plan
for employees, decontamination procedures, and toprovide
a minimum of 24 hours of safety training. The training
requirement may be waived if the employee has had
equivalent training or work experience.
* Properly Manage Ignitable. Reactive, or Incompatible.
Wastes - In general, all ignitable or reactive wastes must
be protected from sources of ignition or reaction or treated
to remove the cause of concern. Owners or operators also
must make sure that treatment, storage, or disposal of
ignitable, reactive, or incompatible waste does not result
in damage to the containment structure (container, tank,
surface impoundment, landfill cell, or pit) and/or threaten
human health or the environment. Incompatible wastes
must not be placed in the same containment structure if
there is the potential for reaction.
" Comply With Location SfflnHflrfo . Current location
standards prohibit siting a new facility in a location where
flood or seismic events could affect a waste management
unit. Bulk liquid wastes are alsoprohibited from placement
in salt domes, salt beds, or underground mines or caves.
Provisions in HSWA. required the Agency to further
strengthen these location criteria. EPA is currently working
on revising the regulations to reflect these new statutory
directives.
These two subparts, originally grouped as one, were developed
to prepare for emergencies. The preparedness and prevention
requirements are explicit (e.g., installing fire protection
equipment and alarms and arranging for coordination with the
local authorities in emergency situations). They are intended
to minimize the possibility and effects of a release, fire, or
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CHAPTER 4
REGULATIONS APPLICABLE TO TREATMENT, STORAGE,
AND DISPOSAL FACILITIES
• , . explosion. Contingency plan requirements are the logical
next step. They require an owner or operator to develop an
action plan for emergency situations. One of the key
requirements of this plan is the designation of an emergency
coordinator who is responsible for directing response measures
andreducing the adverse impacts of hazardous waste releases.
Subpart E - Manifest System, These requirements specify that the manifest be returned from
Recprdkeeping, and Reporting the facility owner or operator to the generator, thus completing
the manifest loop established in the manifest regulations (40
CFR Part 262). When the owner or operator of the TSDF
receives the waste, he or she is responsible for ensuring that
the waste described on the manifest is the same as the waste
on the truck. This ensures that there are no significant
discrepancies in the amount (e.g., an extra drum) or type of
waste (e.g., acid waste instead of paint sludge) that was sent
by the generator. If a significant discrepancy is discovered,
the TSDF must reconcile the difference with the generator or
transporter. If this is impossible, EPA must be notified about
the problem within 15 days of the incident.
. , In addition to the manifest requirements, Subpart E also
includes requirements for recordkeeping and reporting. This
includes operating records, biennial reports, unmanifested
waste reports, and reports on releases, ground-water
monitoring, and closure. Records and reports provide the
regulating authority with the information used in assessing
, compliance with the hazardous waste regulations. They also
provide facility owners and operators, and local authorities,
with information that may be used in responding to
, emergencies.
INTERIM STATUS
(PART 265) TECHNICAL
REQUIREMENTS
The objective of the interim status technical requirements is to
minimize the potential for environmental and public health
threats resulting from hazardous waste treatment, storage, and
disposal at existing facilities waiting to receive an operating
permit. The two groups of interim status requirements are:
• General standards applying to several types of facilities
• Specific standards applying to each waste management
method.
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CHAPTER 4
REGULATIONS APPLICABLE TO TREATMENT, STORAGE,
AND DISPOSAL FACILITIES
INTERIM STATUS
GENERAL STANDARDS
BCNTONITE
StAl
SANO '
An owner or operator of an interim status facility can find the
applicable technical requirements in Subparts F through R of
40 CFR Part 265.
The general standards cover three areas:
1) Ground-water monitoring requirements (Subpart F)
2) Closure, post-closure requirements (Subpart G)
3) Financial assurance (Subpart H).
Subpart F- Ground-water monitoring is required only for owners or
Ground-Water operators of surface impoundments, landfills, and land
treatment facilities used to manage hazardous v/aste. The
purpose of these requirements is to assess the impact of a
facility on the ground water beneath it. All or part of the
requirements for ground-water monitoring may be waived if
the facility can demonstrate that there is a low potential for
migration of contaminants to the uppermost aquifer. For
example, a surface impoundment located in highly adsorbent
soils may qualify for this exemption. If wastes remain at the
site, monitoring must continue for 30 years (or more) after the
facility has closed. The interim status ground-water monitoring
program consists of:
v ******** 1 1 Ul.V-1
Monitoring
PROTECTIVE COVER
— 'VCSCREEN
Ground-Water
Monitoring Well
• Development and installation of a monitoring system
• Background monitoring
• Routine monitoring and evaluation
• Conducting assessments
• Reporting requirements.
Installation of a Monitoring The. Sround-water monitoring program outlined in the
monitoring regulations requires a monitoring system of at least four wells
to be installed, one upgradient from the waste management
unit and three downgradient. (It is important to note that these
are the minimum required.) The downgradient wells must be
placed so as to intercept any waste migrating from the unit,
should such a release occur. The upgradient wells must
Development and
mitoring
System
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CHAPTER 4
REGULATIONS APPLICABLE TO TREATMENT, STORAGE,
AND DISPOSAL FACILITIES
Background
Monitoring
Routine Monitoring and
Evaluation
Assessment Program
provide data on ground water that is not influenced by waste
coming from the waste management unit (called background
data). If the wells are properly located, comparison of data
from upgradient and downgradient wells should indicate if
contamination is occurring.
Once the wells have been installed, the owner or operator
collects quarterly data for one year to establish background
concentrations for selected chemicals. These data form the
basis for all future comparisons. If the TSDF suspects that
contaminants are already migrating to the ground water, this
step may be skipped and the facility would comply immediately
with the assessment monitoring requirements. There are three
sets of indicator parameters for which background
concentrations are established:
1) Drinking water parameters
2) Ground-water quality parameters .
3) Ground-water contamination parameters.
Following the establishment of background levels, routine
monitoring begins. Monitoring examines ground water for
elevated levels of ground-water quality parameters annually
and ground-water contamination parameters semi-annually.
The results of routine monitoring are compared to the
background values and tested statistically to determine whether
significant increases (or decreases in the case of pH) have
occurred in the indicator parameters. If comparisons show a
difference, then the Regional Administrator must be notified
within 7 days and an assessment program instituted.
If a statistically significant increase (or decrease in the case of
pH) over background is detected for any of the indicator
' parameters, the owner or operator must implement a ground-
water assessment program to determine whether hazardous
waste is actually entering ground water. The assessment
program, based on a previously developed plan, requires the
owner or operator to determine what is contaminating the
ground water, the extent of contamination, and the rate of the
contaminant migration. Within 15 days of conducting this
assessment, areport on ground-water quality must be submitted
to the Regional Administrator. If the results of the ground-
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CHAPTER 4
REGULATIONS APPLICABLE TO TREATMENT, STORAGE,
AND DISPOSAL FACILITIES
Reporting Requirements
Subpart G -
Closure/Post-Closure
water assessment show no contamination by hazardous waste,
then the owner or operator resumes routine monitoring for the
indicator parameters. However, if the assessment shows
hazardous waste contamination, then the owner or operator
must continue assessing the extent of ground-water
contamination quarterly until the facility is closed or further
monitoring is required as a result of the permitting process.
Corrective action may be required to remedy the release.
Several ground-watermonitoringreports arerequired. During
the first year, when initial background concentrations are
being established, a report on each quarterly well analysis
must be submitted within 15 days of the analysis. From the
second year on, an annual report must be submitted providing
the results of monitoring for:
• Indicators of ground-water contamination
• Ground water elevation
• Changes in background levels
• Ground-water contamination assessments.
An owner or operator may also use an alternate ground-water
monitoring system if, given the facility's unique
hydrogeological situation, the one prescribed in the regulations
is not capable of yielding unbiased samples.
Closure is the period when wastes are no longer accepted,
during which owners or operators of TSDFs complete
treatment, storage, and disposal operations, apply final covers
to or cap landfills, and dispose of or decontaminate equipment,
structures, and soil. Post-closure, which applies only to land-
disposal facilities, is normally a 30-year period after closure
during which owners or operators of disposal facilities conduct
monitoring and maintenance activities to preserve the integrity
of the disposal system. EPA may either extend or shorten the
time required for post-closure monitoring. The period may be
shortened if EPA finds that the reduced period will still protect
human health and the environment. Conversely, post-closure
may be lengthened if necessary to protect human health and
the environment.
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REGULATIONS APPLICABLE TO TREATMENT, STORAGE,
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The purpose of the closure and post-closure requirements is to
ensure that all facilities are closed in a manner that (1)
minimizes the need for care after closure and (2) controls,
minimizes, or eliminates the escape of waste, leachate,
contaminated rainfall, or waste decomposition products to
soils, ground or surface waters, and the atmosphere.
Closure An owner or operator must develop a plan for closing the
facility and keep it on file at the facility until closure is
completed and certified. This plan must include:
• A description of how the facility will be closed
• An estimate of the maximum amount of waste the facility
will handle
• A description of the steps needed to decontaminate
equipment and remove soils and debris during closure
• An estimate of the year of closure
• A schedule for closure.
The plan may be amended at any time during the active life of
the facility. Furthermore, the plan must be amended whenever
design and operation changes that affect the closure plan
occur. Prior to closure, the plan is submitted to the Regional
Administrator for approval. The Regional Administrator, in
turn, must provide both the owner or operator and the public
an opportunity to comment on the plan. Following the
comment period, the Administrator must make a decision to
approve, modify, or disapprove the plan. Closure activities
occur according to a timetable outlined in the regulations.
This timetable is subject to change by the Regional
Administrator.
During closure, the owner or operator must treat, remove from
the site, or dispose of on site, all hazardous waste in accordance
with the approved closure plan. Once closure is completed,
the owner or operator certifies that the facility has been
properly closed. As part of closure activities, a survey plat
indicating the location and dimensions of landfill cells or
other disposal areas is submitted to the local land authority and
the Regional Administrator. This plat preserves a record of
the TSDF that can be referenced in future years. A notation on
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CHAPTER 4
REGULATIONS APPLICABLE TO TREATMENT, STORAGE,
AND DISPOSAL FACILITIES
Post-Closure
Clean Closure
Subpart H - Financial
Requirements
the deed to the facility property also must be made to notify
potential purchasers of the property that the land was used to
manage hazardous waste.
Post-closure is required for land disposal facilities that do not
"clean close" (see below). When a land disposal facility is
closed, it must be monitored for 30 years to ensure the
integrity of any waste containment systems and to detect
contamination. Post-closure care consists of at least the
following:
• Ground-water monitoring and reporting
• Maintenance and monitoring of waste containment systems
• Security.
Like the closure requirements, a post-closure plan outlining
activities is developed and kept at the facility until post-
closure care begins. This plan may be amended at any time,
and an amendment is required if there is any change that
affects the plan. Post-closure plans are submitted and reviewed
in the same manner as closure plans. The post-closure care
period may be lengthened or shortened by the Agency if
warranted.
Owners or operators of surface impoundments and waste piles
that remove all contaminants from the unit may "clean close"
the unit. This means that all wastes have been removed from
the unit. If this is successfully demonstrated, post-closure
care is not required.
At a minimum, owners and operators of surface impoundments
and waste piles that wish to clean close must conduct soil
analyses and ground-water monitoring to confirm that all
wastes have been removed from the unit. Individual
requirements (i.e., contaminant concentrations) for each facility
are set on a case-by-case basis by EPA and the affected State.
Financial requirements were established to assure that funds
are available to pay for closing a facility, for rendering post-
closure care at disposal facilities, and to compensate third
parties for bodily injury and property damage caused by
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CHAPTER 4
REGULATIONS APPLICABLE TO TREATMENT, STORAGE,
AND DISPOSAL FACILITIES
Financial Assurance for
Closure/Post-Closure
sudden and non-sudden accidents related to the facility's
operation. One important purpose of financial assurance is to
prevent RCRA sites from requiring cleanup under Superfund.
Ensuring that funds are available for closure, post-closure,
and liability helps minimize the need for future Superfund
action.
Under HSWA, Congress mandated financial responsibility
for other RCRA activities in addition to those outlined in
Subpart H, (e.g., financial responsibility for completing
corrective action at TSDFs). Regulations implementing these
requirements are currently under development.
Under S ubpart H, there are two kinds of financial requirements:
1) Financial assurance for closure/post-closure
2) Liability coverage for inj ury and property damage (sudden
and non-sudden occurrences).
States and the Federal Government are exempted from these
requirements.
The first step owners and operators must take in meeting the
financial assurance requirements is to prepare written cost
estimates for closing their facilities. If post-closure care is
required, a cost estimate for providing this care must be
prepared as well. These cost estimates must reflect the actual
cost of conducting all the activities outlined in the closure and
post-closure plans and are adjusted annually for inflation. The
cost estimate for closure is based on the point in the facility's
operating life when closure would be the most expensive.
Cost estimates for post-closure monitoring and maintenance
are based on projected costs for the entire post-closure period.
Following the preparation of the cost estimates, the owner or
operator must demonstrate to EPA the ability to pay the
estimated amounts. This is known as financial assurance.
There are six mechanisms for complying with closure and
post-closure financial responsibility. All are adjusted annually
for inflation, or more frequently, if cost estimates change. The
six mechanisms are:
• Trust fund
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CHAPTER 4
REGULATIONS APPLICABLE TO TREATMENT, STORAGE,
AND DISPOSAL FACILITIES
• Surety bond
• Letter of credit
• Closure/post-closure insurance
• Corporate guarantee
• Financial test.
Any of the mechanisms can be used in conjunction with each
other to meet the financial assurance requirements. However,
if a corporate guarantee and the financial test are combined,
the owner or operator must certify that his or her financial
statements are not consolidated with those of the guarantor.
An owner or operator may also use one of the six mechanisms
to meet the financial requirements of multiple facilities."
When an owner or operator selects a trust fund for financial
assurance, he is placing money into a special account. Annual
payments must be made into this account for either 20 years
or the remaining operating life of the facility, whichever is
shorter. During this "pay-in" period, as it is called, deposits
must equal the current cost estimate minus the current value
of the trust fund, divided by the number of years remaining in
the pay-in period. Thus, the trust fund should contain a sum
equal to the cost estimate at the end of the pay-in period.
If either a surety bond, a letter of credit, or closure/post-
closure insurance is selected as the assurance mechanism, the
owner or operator is purchasing a third-party guarantee that
sufficient funds will be available for closure/post-closure
activities. The corporate guarantee mechanism works on this
c-same principle. The parent company that owns the facility
provides a written guarantee that sufficient funds are available.
The financial test works on yet a different principle. The
owner or operator of a facility can assure, by means of a
financial test, that sufficient funds exist within the company to
pay for closure/post-closure activities. The financial test is
also used to test the financial strength of a parent company's
"corporate guarantee."
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CHAPTER 4
REGULATIONS APPLICABLE TO TREATMENT, STORAGE,
AND DISPOSAL FACILITIES
Liability Coverage
A facility may use State financial mechanisms to meet the
financial assurance requirements, if the Regional Administrator
determines that the mechanisms are equivalent to those just
discussed. A State mechanism may be used exclusively or in
combination with the Federal mechanisms to achieve the full
level of assurance that is required.
The financial test and corporate guarantee have been
increasingly popular methods for compliance with the RCRA
financial assurance requirements. (EPA recently amended
the liability requirements to allow the use of the corporate
guarantee as a method of compliance). This popularity is due
to the flexibility of the methods. Funds do not have to be
placed in escrow, nor does a premium have to be paid
annually. However, these more lenient requirements make
enforcement of financial responsibility difficult if firms file
for bankruptcy and fail to pay for closure, post-closure, or
liability costs.
An owner or operator is financially responsible for bodily
inj ury and property damage to third parties caused by a sudden
accidental occurrence or a non-sudden accidental occurrence
due to operations at a facility. Sudden occurrences are usually
due to an accident, such as an explosion or fire. Non-sudden
occurrences take place over a long period of time, (e.g.,
ground-water contamination).
• Sudden Accidental Occurrences - An owner or operator of
a TSDF must have liability coverage of $1 million per
occurrence with an annual aggregate of $2 million,
exclusive of legal defense costs. This liability coverage
may be demonstrated using any of the six mechanisms
allowed for assurance of closure and post-closure. In
addition, owners or operators may obtain guarantees from
corporate "siblings" or "grandparents," or from firms with
which they have a "significant business relationship."
• Non-Sudden Accidental Occurrences - Additionally, an
owner or operator of a surface impoundment, landfill, land
treatment facility, or group of such facilities must maintain
liability coverage for non-sudden accidental occurrences.
Owners or operators must maintain $3 million per
occurrence with an annual aggregate of $6 million,
exclusive of legal defense costs. Liability coverage may
be demonstrated in the same ways as sudden liability is
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CHAPTER 4
REGULATIONS APPLICABLE TO TREATMENT, STORAGE,
AND DISPOSAL FACILITIES
INTERIM STATUS
SPECIFIC
STANDARDS
demonstrated.
The same mechanisms may be used to supply assurance for
both types of accidental coverage (sudden and non-sudden),
however, coverage must total at least $4 million per occurrence
with an $8 million annual aggregate.
S ubparts I through R of 40 CFR Part 265 consist of requirements
tailored to 10 specific waste management methods:
• Containers
• Tanks
• Surface impoundments
• Waste piles
• Land treatment units
• Landfills
• Incinerators
• Other thermal treatment units
• Chemical, physical, and biological treatment units
• Underground injection wells.
While the requirements are specific to the type of waste
management practice, there are common elements in each of
them. These are:
• Waste analysis
• Monitoring and inspection
• Closure/post-closure
• Recordkeeping
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CHAPTER 4
REGULATIONS APPLICABLE TO TREATMENT, STORAGE,
AND DISPOSAL FACILITIES
General Operating
Requirements
Subpart I -
Containers
• Requirements for ignitable, reactive, and incompatible
wastes
• General operating requirements.
The first five elements have the same objectives as the
corresponding general standards discussed earlier, except that
additional requirements have been added for each waste
management method, (e.g., an owner or operator of a tank in
addition to developing an inspection plan, must inspect the
tank for cracks or signs of leakage). The method-specific
requirements for those five elements are beyond the scope of
an orientation manual, but can be found in the regulations (40
CFR Part 265, Subparts I through R).
The general operating requirements specify operating
procedures for each waste management method. These
operating procedures are the tools used by EPA to ensure that
wastes are properly managed. The operating requirements for
each of the ten waste management methods are discussed
below.
Drums and containers are frequently used to accumulate and
store wastes. In the past, persons using waste drums often put
them somewhere out of sight, without any further concern
about what might happen to residues in the containers. The
drums eventually weathered and corroded, releasing their
contents, posing threats to human health and the environment.
Recognizing that elementary and straightforward precautions
may eliminate these problems, EPA requires basic good
management practices. The container regulations, therefore,
include:
• Using containers in good condition. Wastes in leaking or
damaged containers must be recontainerized.
• Ensuring the compatibility of the waste with the container
(i.e., corrosive wastes should not be stored in metal
containers).
• Handling containers properly to prevent ruptures and
leaks.
• Preventing the mixture of incompatible wastes.
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CHAPTER 4
REGULATIONS APPLICABLE TO TREATMENT, STORAGE,
AND DISPOSAL FACILITIES
Subpart J -
Tanks
• Conducting inspections to assess container condition.
When closing a container storage area, the owner/operator
must ensure that all hazardous waste residues (including
contaminated soils) are removed.
Tanks are stationary devices designed to contain an
accumulation of hazardous waste and constructed primarily
of non-earthen materials. Subpart J addresses tanks storing
waste that are hazardous under Subtitle Cof RCRA. Additional
requirements have been developed for underground tanks
storing petroleum or hazardous substances under Subtitle I of
RCRA. General operating requirements fall into five basic
areas:
• Tank Assessment - An assessment must be completejd to
evaluate the tank system's structural integrity and
compatibility with the wastes that it will hold. The
assessment covers design standards, corrosion protection,
tank tests, waste characteristics, and the age of the tank.
Interim status tanks (in most cases) should have been
assessed by the owner or operator by January 1988.
• Secondary Containment and Release Detection - Unless
the tank does not contain free liquids and is located in a
building with impermeable floors, secondary containment
and release detection is required. Secondary containment
systems must be designed, installed, and operated to
prevent the migration of liquid out of the tank system, and
to detect and collect any releases that do occur. Commonly
used types of containments include liners, vaults, and
double-walled tanks.
Owners and operators of interim status tank systems can
demonstrate that an alternate design, location, and operating
practice will prevent the migration of hazardous wastes or
constituents while the tank system is in use. Alternatively,
the tank system can be exempted if any release that might
occur would not harm human health and the environment.
• Operating and Maintenance Requirements- Persons using
tanks, either to store or treat wastes, must manage the
tanks to avoid leaks, ruptures, spills, and corrosion. This
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CHAPTER 4 REGULATIONS APPLICABLE TO TREATMENT, STORAGE,
AND DISPOSAL FACILITIES
Subpart K -
Surface
Impoundments
includes using freeboard or a containment structure (e.g.,
dike or trench) to prevent and contain escaping wastes,
and having a shut-off or bypass system installed to stop
liquid from flowing into a leaking tank.
« Response to Releases - Tanks with leaks or spills must be
emptied immediately. The area surrounding the tank must
be visually inspected for leaks and spills. Based on the
inspection, further migration of the waste must be stopped,
and visibly contaminated soils and surface water must be
properly disposed. All major leaks must be reported to the
Regional Administrator, followed by a report describing
the fate of the released materials.
• Closure and Post Closure - All contaminated soils and
other hazardous waste residues must be removed from the
tank storage area at the time of closure. If decontamination
is impossible, the tank storage area must be closed following
the requirements for landfills.
A surface impoundment is a depression or diked area (e.g.,
pond, pit, or lagoon) used for storage, treatment, or disposal,
with the following characteristics:
• Open on the surface
• Designed to hold an accumulation of waste in liquid or
semi-solid form.
The use of surface impoundments for managing hazardous
wastes has given rise to great concern because wastes deposited
in them tend to escape. The pressure of the liquids forces the
contents to flow downwards into surrounding areas, resulting
in contamination, especially of sub-surface waters. The initial
requirements established for surface impoundments in interim
status were not adequate to prevent contamination. They
concentrated on general operating requirements to prevent
overtopping (two feet of freeboard was required) and
containment of liquids (dikes were required to have protective
covers, such as grass or rock to preserve their structural
integrity). Though ground-water monitoring was required,
liners to prevent leakage were not, because it was deemed
impractical and infeasible by EPA for all surface impoundments
to be retrofitted for the duration of the interim period before
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REGULATIONS APPLICABLE TO TREATMENT, STORAGE,
AND DISPOSAL FACILITIES
permitting. Congress, however, established minimum
technological requirements for interim status surface
impoundments in HSWA.
HSWA increased the level of leak protection required at
surface impoundments. Existing surface impoundments in
interim status had to retrofit and install double liners and a
leachate collection system by November 8, 1988, or stop
receiving, treating, or storing hazardous waste. Surface
impoundments that come under Subtitle C regulation due to
additional wastes being listed as hazardous have four years
from the date the new wastes are added to meet the new
requirements. Surface impoundments must be inspected once
a week to determine whether there are any leaks. If a leak is
found, the surface impoundment must be taken out of service
until it is repaired.
The Act includes provisions for variances from minimum
technological requirements, which had to be granted by
November of 1987. If any of the exempted impoundments are
likely to leak or begin to leak, they must be retrofitted to meet
the minimum requirements.
An owner or operator of a waste pile, used for treatment or
storage of a non-containerized accumulation of solid, non-
flowing hazardous waste, is given a choice regarding
management requirements. The owner or operator may
comply with either the waste pile or the landfill requirements.
Waste piles used for disposal, however, must comply with the
requirement for landfills. The requirements for managing
storage and treatment waste piles include protecting the pile
from wind dispersion. The pile must be placed on an
impermeable base that is compatible with the waste being
stored. If hazardous leachate or run-off is generated, control
systems must be constructed, operated, and maintained.
Subpart M - Land treatment is the process of using soils and microorganisms
Land Treatment as a medium to biologically treat hazardous waste. Land
treatment has been successfully used for many years in the
petroleum refining industry. However, it is highly regulated
because it presents potential risks in the absence of operational
controls, (e.g., disposal of non-degradable waste types). These
risks arise because land treatment involves the direct application
of hazardous waste to soils.
Subpart L -
Waste Piles
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REGULATIONS APPLICABLE TO TREATMENT, STORAGE,
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Land Treatment
Subpart N -
Landfills
An owner or operator may not place hazardous waste in or on
a land treatment facility unless the waste can be made less
hazardous or nonhazardous. Monitoring of the soil beneath
the treatment area and comparison to data on background
concentrations of constituents in untreated soils are required
to detect migration of hazardous wastes. In addition, waste
analyses must be conducted prior to placing wastes in or on the
land to determine:
• If any substance in the waste is EP toxic (see Section IE,
Chapter 1)
• The concentration of hazardous waste constituents
• The concentration of arsenic, cadmium, lead, and mercury,
if food-chain crops are grown on the land.
If the waste contains any of these compounds in concentrations
that will prevent its degradation, immobilization, or
transformation, then the waste cannot be treated in a land
treatment unit.
The requirements prohibit growing food-chain crops in a
treated area containing arsenic, cadmium, lead, mercury, or
other hazardous constituents. This prohibition may be waived
if it is demonstrated that such elements or constituents would
not be transferred to the food portion of the crop or, if
transferred, would not occur in concentrations greater than
would be expected in an identical crop grown on untreated soil
in the sameregion. If food-chain crops are grown during post-
closure they must be raised in accordance with the requirements
established in the regulations.
The owner or operator must continue to monitor soil, maintain
run-on and run-off management systems, and control wind
dispersal after closure. In addition, access to the treatment
unit must be restricted.
Landfilling historically has been the cheapest, and thus
preferred, means of disposing of hazardous waste. Through
the 1980s, landfilling is expected to account for disposal of
, over one-fifth of all hazardous waste. Until the last decade,
landfilling practices often focused only on burying the waste
to get it out of sight, and controlling surface problems such as
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blowing litter. Experiences at Love Canal in New York and
other burial operations have demonstrated the potential for
severe human health and environmental impacts from improper
landfilling.
Some argue that, because wastes remain hazardous for very
long periods, they should not be landfilled at all. EPA agrees
in principle that it is better to destroy or recycle hazardous
wastes than to landfill them, but the fact remains that, for the
foreseeable future, land disposal is necessary because it is
technically infeasible at present to recycle, treat, or destroy all
hazardous waste. A number of techniques are available,
however, for reducing potential adverse health and
environmental effects arising from landfills.
The problems that hazardous waste landfills have presented—
and that interim status standards address — can be divided
into two broad classes. The first class includes fires, explosions,
production of toxic fumes, and similar problems resulting
from the improper management of ignitable, reactive, and
incompatible wastes. To deal with these problems, owners or
operators are required to analyze their wastes to provide
enough information for their proper management. They must
control the mixing of incompatible wastes in landfill cells.
Furthermore, they may landfill ignitable and reactive wastes
only when the wastes are rendered unignitable or non-reactive.
The second class of problems presented by landfills concerns
the contamination of surface and ground waters. To deal with
these problems, interim status regulations require diversion of
"run-on" (water flowing over the ground onto active portions
of the facility) away from the active face of the landfill;
treatment of any liquid wastes or semi-solid wastes so that
they do not contain free liquids; proper closure (including a
cover) and post-closure care to control erosion and the
infiltration of rainfall; and crushingor shredding most landfilled
containers so that they cannot later collapse thus leading to
subsidence and opening of the cover. In addition, the interim
statusregulationsforlandfillsrequireground-watermonitoring
to detect contamination, and the collection of rainwater and
other run-off from the active face of the landfill to control
surface water pollution. Segregation of waste, such as acids,
that would mobilize, solubilize, or dissolve other wastes or
waste constituents is also required.
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AND DISPOSAL FACILITIES
Subpart O -
Incinerators
Following promulgation of the interim status regulations,
Congress determined that existing requirements for land
disposal (both interim and permitted), were inadequate to
protect human health and the environment and adopted the
position of discouraging land disposal. This stance is reflected
in HSWA. Specifically, no bulk or non-containerized liquid
hazardous waste, or hazardous waste containing free liquids
can be disposed of in either an interim status or permitted
landfill. This is to prevent the formation of hazardous leachate
that could migrate and cause surface or ground-water
contamination. An exemption to the ban on disposing of
nonhazardous liquid wastes may be obtained if the only
reasonably available disposal method for such liquids is a
landfill or unlined surface impoundment that may already
contain hazardous wastes and that will not present a risk of
contamination to underground sources of drinking water.
Containers holding free liquids also can be placed in a landfill
if the liquid has been solidified or decanted, or the container
is very small, (e.g., an ampule). Finally, small containers in
overpacked drums containing liquids (e.g., lab packs) may, if
properly prepared, be placed in a landfill (with the exception
of lab packs containing untreated land disposal restricted
wastes). As with surface impoundments, expanded or replaced
interim status landfills are required to install double liners and
leachate collection systems.
Incineration, a method of thermal destruction of primarily
organic hazardous waste using flame combustion, can reduce
large volumes of waste materials to ash and less toxic gaseous
emissions. The interim status incinerator general operating
requirements include:
• Achieving normal steady-state combustion conditions
before wastes are introduced
• Combustion and emission monitoring.
The owner or operator must analyze the waste that is to be
incinerated. The waste analysis must determine:
• Heating value of the waste
• Total halogen and sulfur content ,
• Concentrations of lead and mercury, unless the facility
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REGULATIONS APPLICABLE TO TREATMENT, STORAGE
AND DISPOSAL FACILITIES
Subpart P -
Thermal
Treatment
Subpart Q -
Chemical,
Physical, and
Biological
Treatment
can demonstrate that these elements are not present in the
waste stream to be incinerated.
Interim status facilities burning dioxin-containing wastes
must meet additional requirements. Essentially, these
requirements amount to meeting the permitted (40 CFR Part
264) incinerator standards. This includes destroying 99.9999
percent of the dioxins in the waste stream.
When closing the incinerator, the owner or operator must
remove all hazardous waste and waste residues (including but
not limited to ash, scrubber waters, and scrubber sludges).
Incineration is only one type of management process that can
be used to thermally treat hazardous waste. Less conventional
methods, such as molten salt combustion, calcination, wet air
oxidation, and fluidized bed combustion, are regulated under
this Subpart. Owners or operators who thermally treat
hazardous wastes (other than incinerators) must operate the
unit following many of the requirements applied to an
incinerator. The difference is that die thermal treatment
standards prohibit open burning of hazardous waste exceptfor
the detonation of waste explosives. Standards for thermal
treatment at permitted facilities under 40 CFR Part 264 have
been incorporated under Miscellaneous Units, Subpart X.
Treatment, although most frequently conducted in tanks,
surface impoundments, incinerators, and in land treatment
facilities, can also be conducted in other ways through processes
such as distillation, centrifugation, reverse osmosis, ion
exchange, and filtration. Because there are many different
types of treatment processes, and because the processes are
frequently waste-specific, EPA has not developed detailed
regulations for any particular type of process or equipment.
Instead, general requirements have been established to assure
safe containment of hazardous wastes. In most respects, these
other treatment methods are very similar to using tanks for
treatment; therefore, they are essentially regulated the same
way. The requirements that must be met concern avoiding
equipment or process failure (e.g., reagents or wastes that
could cause equipment or a process to fail must not be used in
treatment). In addition, safety systems to shut down waste
inflow in case of a malfunction must be installed in continuous
flow operations. Standards for chemical, physical, and
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REGULATIONS APPLICABLE TO TREATMENT, STORAGE,
AND DISPOSAL FACILITIES
biological treatment methods for permitted facilities under
Part 264 have been incorporated under Miscellaneous Units,
Subpart X.
Subpart R - Underground injection is the disposal of fluids underground,
Underground through a well. Underground injection is regulated jointly
Injection under RCRA and the Safe Drinking Water Act. RCRA
Section 3004(f) requires EPA to determine whether
underground injection of hazardous wastes will endanger
human health and the environment. In response to this
requirement, EPA has banned the underground injection of
wastes that do not meet the applicable treatment standards of
the land disposal restrictions. More specific information on
the wastes banned from injection can be found in 40 CFR Part
148.
Underground injection wells are permitted at the State level
under the Safe Drinking Water Act and granted a permit- by-
rule under RCRA. Owners and operators of these facilities
must meet the general standards outlined in Subparts A
through E of RCRA 40 CFR Part 265. They are not required
to meet RCRA closure/post-closure or financial requirements
(Subparts G and H of RCRA 40 CFR Part 265), since both
areas are already regulated under the Safe Drinking Water Act
(see 40 CFR Part 144). HSWA prohibits the disposal of
hazardous waste by underground injection into or above a
formation within 1/4-mile of an underground sourceof drinking
water.
The standards for underground injection of hazardous waste
under the Safe Drinking Water Act consist of:
• Construction Requirements - New wells must be sited so
that they inject into a formation free of faults or fractures
separate from underground sources of drinking water.
Drilling logs and similar tests must be used to ensure that
this requirement is met. Both new and existing wells must
be cased and cemented to protect sources of drinking
water.
• Operating. Monitoring and Reporting Requirements -
The injection pressure of the well must not fracture the
disposal formation. The owner or operator must monitor
the injection well to ensure the integrity of the well bore.
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REGULATIONS APPLICABLE TO TREATMENT, STORAGE,
AND DISPOSAL FACILITIES
PERMIT (40 CFR
PART 264)
TECHNICAL
REQUIREMENTS
PERMIT GENERAL
STANDARDS
He or she must also periodically monitor the pressure,
flow rate, and cumulative volume of the injected material.
Monitoring information is submitted annually to EPA.
The permitted standards are more extensive than the general
management practices detailed in the interim status standards,
because they compel the owners and operators of the different
waste management methods to design their management units
to prevent the release of hazardous waste. The permit standards
in 40 CFR Part 264 also differ from the interim status standards
in that they are only a blueprint for the requirements applied
to TSDFs. The specific requirements with which an owner or
operator must comply are developed for each facility by
permit writers, based on their "best engineering judgment"
and the requirements of 40 CFR Part 264. Such requirements
are then incorporated into the facility's operating permit. For
example, the ground-watermonitoringrequirements are found
in 40 CFR Part 264, but the actual parameters that must be
monitored are specified in each permit. Thus, although the
technical requirements for permits are discussed here, each
facility's permit must be consulted for the individual
requirements an owner or operator must follow.
The technical requirements for permitted facilities are
structured similarly to the interim status technical requirements.
They too are divided into two groups:
• General standards
• Specific standards.
Because many of the interim status technical requirements are
the same or similar to permit requirements, the remainder of
this chapter describes only these major provisions of Subparts
I through O, and X of 40 CFR Part 264 that are not found in,
or differ from, Subparts I through R of 40 CFR Part 265.
The general standards cover three areas:
1) Ground-water monitoring requirements (Subpart F)
2) Closure/post-closure requirements (Subpart G)
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REGULATIONS APPLICABLE TO TREATMENT, STORAGE,
AND DISPOSAL FACILITIES
Subpart F -
Ground-Water
Protection
Detection Monitoring
Compliance Monitoring
3) Financial requirements (Subpart H)
The ground-water monitoring requirements are discussed
below. Closure/post-closure and financial requirements for
permitted facilities are similar to the corresponding
requirements under interim status. Thus, they are not repeated
here.
The ground-water protection requirements for permitted
facilities are more specific than those found under interim
status. They apply to surface impoundments, waste piles, land
treatment units, and landfills. There are three parts to the
ground-water requirements: a detection monitoring program,
a compliance monitoring program, and a corrective action
program.
Detection monitoring is conducted to determine whether
hazardous wastes are leaking from a TSDF at levels great
enough to warrant compliance monitoring. Detection activities
are similar to those outlined under interim status, including
background monitoring and semi-annual monitoring for
indicatorparameters. Monitoring is conducted at a compliance
point specified in the permit. This point is located at the edge
of the waste management area, best envisioned as an imaginary
plane on the outer limit of one or a group of disposal units. The
indicator parameters and constituents that must be monitored
are specified in the permit. If leakage is detected, then the
owner or operator institutes a compliance monitoring program.
The objective of the compliance monitoring program is to
evaluate the concentration of certain hazardous constituents
in ground water to determine whether ground-water
contamination is occurring at a level requiring corrective
action. Each permit specifies the constituents and concentration
limits owners or operators must monitor for in the ground-
water protection standard. The constituents are selected from
Appendix IX of Part 264 as those that could possibly originate
from the TSDF. The ground-water protection standard can be:
• Background levels
• The values in Table 1 of 40 CFR Part 264.94, (Maximum
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REGULATIONS APPLICABLE TO TREATMENT, STORAGE
AND DISPOSAL FACILITIES
Corrective Action
PERMIT SPECIFIC
STANDARDS
Concentration of Constituents for Ground-water
Protection), or
• A site-specific Alternate Concentration Limit (ACL)
approved by the Regional Administrator.
If compliance monitoring indicates a statistically significant
increase in the concentration limits for those hazardous
constituents specified in the permit, then corrective action
must be instituted to bring the facility back into compliance
with the ground-water protection standard.
Corrective action may be required either under the authority
of Subpart F or the authority of HSWA. Subpart F corrective
action applies only to cleaning up ground water at a regulated
unit at a TSDF. This type of corrective action program is
incorporated into a facility permit. HSWA corrective action
(described in detail in Section III, Chapter 5) applies to
releases to any media from any unit at a TSDF. These two
corrective action authorities are often used in combination at
a TSDF.
The facility-specific standards cover the following eight waste
management methods:
• Containers
• Tanks
• Surface impoundments
• Waste piles
• Land treatment units
• Landfills
• Incinerators
• Miscellaneous units.
Facility-specific permit standards for underground injection,
thermal treatment, or chemical, physical, and biological
treatment are developed from the general performance
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CHAPTER 4
REGULATIONS APPLICABLE TO TREATMENT, STORAGE,
AND DISPOSAL FACILITIES
Subpart I -
Containers
Subpart J -
Tanks
Subpart K -
Surface Impoundments
standards outlined in Subpart X, Miscellaneous Units, of 40
CFR Part 264.
Permit requirements for containers are similar to the interim
status requirements, with the following exceptions:
• Containers must be placed in a containment system that is
capable of containing leaks and spills. This system must
have sufficient capacity to contain ten percent of the
volume of all containers or the volume of the largest
container, whichever is greater (this applies only to those
holding liquids; containers holding solids are not factored
into this volume determination).
• When closing a container, all hazardous waste and
hazardous waste residues must be removed, unless the
container is to be disposed of as hazardous waste.
• After closure, all contaminated equipment or soil must be
decontaminated or removed.
40 CFR Part 264 standards for tanks closely resemble the
requirements for interim status tanks described previously.
Tank assessments, secondary containment and leak detection,
operations and maintenance, response to releases, and closure/.
post-closure requirements are all the same. The difference is
that new tanks (regulated under 40 CFR Part 264) must
comply with these requirements before being put into use.
Requirements for existing (interim status) tanks are phased in.
Additionally, owners and operators of permitted tank systems
cannot obtain an exemption from the secondary containment
and release detection requirements.
Prior to HS WA, the permit standards for surface impoundments
required that a liner be designed, constructed, and installed to
prevent migration of wastes out of the impoundment. In
addition, double-lined surface impoundments meeting certain
requirements were not subject to ground-water protection
requirements. However, HSWA established minimum
technology standards for land disposal facilities, including
surface impoundments, that are more stringent. Existing
requirements were considered inadequate to prevent hazardous
waste from entering the environment.
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REGULATIONS APPLICABLE TO TREATMENT, STORAGE
AND DISPOSAL FACILITIES '
All surface, impoundments are required to have at least one
liner and to be located on an impermeable base. Additionally,
new surface impoundments, replacements, or lateral
expansions of surface impoundments applying for a permit
after November 8,1984, must meet the minimum technological
requirements added to Section 3004(o) of the Act by HSWA.
These requirements are:
• The installation of two or more liners
• A leachate collection system between the liners
• Ground-water monitoring.
Variances for these requirements may be given by the
Administrator if the owner or operator demonstrates that
alternative design and operation, together with location
characteristics, will prevent migration of hazardous
constituents into ground water. Monofill surface
impoundments containing foundry wastes and meeting certain
conditions also may be issued a waiver. HSWA deleted the
variances from ground-water monitoring standards for double-
lined impoundments.
In addition to the new HSWA minimum technology
requirements, the old requirements calling for proper design,
construction, and operation of surface impoundments still
apply. These requirements include preventing liquids from
escaping from the top (overfilling, run-on) or sides (dikes) of
surface impoundments. Liners must be constructed properly,
of appropriate materials and thickness. During construction
and installation, liners and cover systems must be inspected
for uniformity, damage, and imperfections. After installation
all units must be examined weekly to ensure that the integrity
of the unit is maintained and that no potentially hazardous
situations have developed. If the liquid in a surface
impoundment suddenly drops for no apparent reason, or if a
dike leaks, the surface impoundment must be removed from
service and, if the leak cannot be stopped, the impoundment
must be emptied.
The closure and post-closure requirements for surface
impoundments include removing or decontaminating all waste
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REGULATIONS APPLICABLE TO TREATMENT, STORAGE,
AND DISPOSAL FACILITIES
Subpart L -
Waste Piles
— WASTE PILES (Storage)
SINGLE LINER - Inipectable SINGLE LINER-Non
Subpart M -
Land Treatment
residues, and properly covering and maintaining the
impoundment to prevent leaks from occurring.
Unlike waste piles regulated under interim status, permitted
waste piles must have an impermeable base with a liner
designed and constructed to prevent any migration of wastes
out of the pile into adjacent soil or waters. A leachate
collection system immediately above the liner also must be
installed. Owners or operators can be exempted from this
requirement if alternate design and operation practices, together
with location characteristics, will prevent the migration of
hazardous wastes.
Owners or operators of waste piles can obtain a waiver from
ground-water protection regulations if the waste pile is "an
engineered structure" that the Regional Administrator finds
does not receive or contain liquid waste, does exclude liquids,
and has a multiple leak detection system that prevents "Vaste
migration.
Run-on and run-off systems must be constructed to prevent
water from flowing onto the active portion of the waste pile.
Construction of liners and cover systems must be monitored
to ensure that they are properly installed. During operation,
the owner or operator must inspect the waste pile once a week,
to ensure that there is no deterioration and that the leachate
collection system is functioning properly.
These standards require that an owner or operator establish a
land treatment program to ensure that hazardous constituents
placed in or on the treatment zone are degraded, transformed,
or immobilized within the treatment zone. The elements of
this program specified in the permit, include:
• Which wastes can be treated
• Design and maintenance of the land treatment unit to
maximize treatment
• Soil monitoring
• The hazardous constituents that must be degraded,
transformed, or immobilized by treatment
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REGULATIONS APPLICABLE TO TREATMENT, STORAGE
AND DISPOSAL FACILITIES
• Size of the treatment zone.
The permit specifies the design and operating requirements
that the owner and operator must use in the construction and
maintenance of the land treatment unit.
Prior to the application of waste, a treatment demonstration
must be conducted to verify that the hazardous constituents
are adequately treated by the unit. The Regional Administrator
may allow the growth of food-chain crops in or on the
treatment zone only if the owner or operator meets certain
conditions outlined in 40 CFR 264.276.
The permitting standards for land treatment units include
extensive unsaturated zone monitoring requirements. A
monitoring program must be established to determine whether
hazardous constituents are migrating out of the treatment
zone. Based on a sampling program outlined in the permit, if
migration is detected a permit modification must be submitted
outlining changes in operating practices to maximize the
success of treatment.
Subpart N - Landfills, like surface impoundments, are regulated closely
Landfills because of the potential impacts they may have on human
health and the environment. HS WA added several provisions
that owners or operators of landfills must meet. Landfills
(including expansions or replacements) permitted after
November 1985, must install two or more liners, two leachate
collection systems (one above and one between liners) and
must conduct ground-water monitoring. The variance from
ground-water requirements is the same as that described under
surface impoundments and waste piles - only engineered
structures that exclude liquids and prevent liquid migration
may be exempted. Owners and operators are exempted if they
can show that alternative design and operating practices,
together with location characteristics, will prevent the migration
of hazardous waste. Landfills containing foundry wastes that
meet certain location and design criteria are also exempt.
Facilities permitted prior to November 1985 must only install
one liner and a leachate collection system.
Another HS WA amendment affecting landfills is the "liquids
in landfills restriction." Bulk or non-containerized liquids
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CHAPTER 4
REGULATIONS APPLICABLE TO TREATMENT, STORAGE,
AND DISPOSAL FACILITIES
(both hazardous and nonhazardous) are prohibited from
placement in a landfill. In addition, the land disposal of
containerized liquid hazardous waste or free liquids in
containerized hazardous waste must be minimized. If the only
reasonable alternative for disposing of nonhazardous liquids
is a non Subtitle C landfill or unlined impoundment that
contains or may contain hazardous waste, then the Regional
Administrator may allow its disposal in a landfill. As with
surface impoundments, HSWA requires that final permit
applications for landfills be accompanied by information on
the potential for public exposure to hazardous wastes or
constituents from facility releases. This was previously
discussed under 40 CFR Part 264 surface impoundment
requirements.
Subpart O - By either conducting a trial burn or using alternate data, an
Incinerators owner or operator must determine the operating methods for
his or her incinerator that will result in its meeting the
following performance standards:
. 99.99 percent of each principal organic hazardous
constituent specified in the permit must be destroyed or
removed by the incinerator (dioxins must meet 99.9999
percent)
• Hydrogen chloride emissions must be minimized
• Paniculate emissions must be limited.
The permit will specify the composition of waste feed that
may be incinerated. Different waste feeds may be incinerated
only if a new permit or permit modification is obtained. To
prove that an incinerator can meet the required performance
standards, a trial burn is usually conducted. Trial burns are a
temporary period in which the owner or operator demonstrates
the efficiency of the incinerator in destroying hazardous
wastes. While incinerating hazardous waste, the combustion
process and equipment must be monitored and inspected to
avoid potential accidents or incomplete combustion.
Incinerators may receive waste only after the destruction
removal efficiency has been achieved and the unit is complying
with its operating requirements. The Regional Administrator
may ask for a sampling of the waste and exhaust emissions to
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CHAPTER 4
REGULATIONS APPLICABLE TO TREATMENT, STORAGE,
AND DISPOSAL FACILITIES
verify that the operating requirements in the permit are being
met.
Subpart X - Until recently, although EPA has issued regulations for all
Miscellaneous Units majOr waste management technologies, some gaps remained.
Some technologies were difficult to fit into the framework of
the prior regulations. To address these gaps, the Agency
issued regulations governing miscellaneous units.
Miscellaneous units are defined as any unit used to treat, store,
or dispose of hazardous waste that is not a research,
development, and demonstration unit, or not already regulated
under 40 CFR Part 264 (e.g., a landfill, surface impoundment,
incinerator, or tank). Miscellaneous units regulated under
Subpart X include, but are not limited to:
• Open burning/open detonation areas
• Thermal treatment units
• Deactivated missile silos
• Geologic repositories
Requirements for miscellaneous units are based on technical
performance standards. They must be designed, constructed,
operated, and maintained in a manner that ensures protection
of human health and the environment. Requirements for each
miscellaneous unit are determined on a case-by-case basis,
including any of the technical requirements under 40 CFR
Part 264 that may be appropriate.
LAND DISPOSAL
RESTRICTIONS
As explained in Section IE., Chapter 2, HSWA Section 3004
includes restrictive provisions governing the land disposal of
untreated hazardous wastes. These provisions are being
codified into regulations following a schedule specified in the
statute, which outlines a phase-in of the land disposal
restrictions by groups. HSWA requires EPA to develop
treatment standards stipulating concentrations or levels of
hazardous constituents that are considered to be protective of
human health and the environment for all listed and
characteristic hazardous wastes by May of 1990 (with a few
exceptions).
Treatment standard concentrations are expressed either as: (1)
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REGULATIONS APPLICABLE TO TREATMENT, STORAGE,
AND DISPOSAL FACILITIES
concentrations of hazardous constituents in leachate produced
from testing a sample of the waste using the TCLP (toxicity
characteristic leaching procedure - a toxicity test) or (2)
concentrations of hazardous constituents present in the waste
in weight percent (e.g., 2% lead). In addition to treatment
standards expressed as concentrations, for a few wastes these
standards are actually specified as a particular treatment
technology (e.g., halogenated organic compounds -
incineration).
HSWA has divided the universe of listed and characteristic
wastes into five groups and set schedules for EPA to develop
treatment standards for these groups. The groups and schedules
are:
Solvents and Dioxins: These were banned from land
disposal (unless treated) effective November 8,1986 and
November 8,1988 respectively.
"California List" Wastes: This group of hazardous wastes
was originally developed by the State of California for
their hazardous waste management program. It includes:
liquid wastes containing certain metals, free cyanides,
polychlorinated biphenyls, corrosives (pH less than 2.0)
and certain wastes containing halogenated organic
compounds. In addition, solid,hazardous wastes containing
halogenated organic compounds are also included in this
group. The majority of these wastes was banned from land
disposal (unless treated) effective July 8, 1987. Some
wastes were given variances due to a lack of treatment
capacity.
"First. Second, and Third Third" Wastes: The remaining
list of listed and characteristic wastes was divided into
thirds (see 40 CFR Part 268 for specific waste groupings).
The "first third" wastes were banned effective August 8,
1988 and the "second third" June 8,1989. The "third third"
wastes will be banned effective May 8,1990.
Newly Listed Wastes: Additional wastes listed after
November 8, 1984 will be evaluated on a case-by-case
basis. EPA must make a determination of whether the
waste may be land-disposed within six months of the
identification or listing. However, HSWA does not impose
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REGULATIONS APPLICABLE TO TREATMENT, STORAGE,
AND DISPOSAL FACILITIES
REQUIREMENTS
FOR RECYCLABLE
MATERIALS AND
RECYCLING
PROCEDURES
an automatic prohibition on land disposal if EPA misses
a deadline for a newly listed waste.
Treatment, Storage, Specific land disposal restrictions requirements for TSDFs
and Disposal include:
Facility Requirements
• Ensuring compliance with generator record-keeping
requirements when residues generated from treating
restricted wastes are manifested off site, and
• Certifying that treatment standards have been achieved
for particular wastes prior to disposal.
As outlined in Section III, Chapter 2, facilities that generate
land disposal restricted wastes need to ensure that the proper
paperwork accompanies the manifest when restricted wastes
are sent off-site for disposal. Facilities that store or treat
restricted wastes or restricted waste residues, and send the
residues off-site for disposal, are subject to the same record-
keeping regulations as generators. In addition, facilities that
treat restricted wastes to the appropriate standard may send a
certification with the manifest to the disposer verifying
compliance. However, most disposal facilities generally test
waste shipments to ascertain compliance with the treatment
standards and to prepare their own certification.
Restricted wastes may be disposed in a hazardous waste
landfill only if the waste meets the applicable treatment
standard. In some cases, a hazardous waste may meet the
treatment standard as generated and require no further
treatment. However, more frequently, waste streams will
require some type of treatment (e.g., incineration, fixation)
prior to disposal to comply with the standards. Facilities that
dispose of restricted wastes are ultimately responsible for
determining and certifying that they meet the standards. A
certification must be prepared by the disposal facility for each
distinct waste volume disposed unless the certification is
provided by the generator or treatment facility (as discussed
above).
As referred to in Section HI, Chapter 1, certain materials that
are hazardous in nature or exhibit a hazardous waste
characteristic are exempt from the scope of hazardous waste
regulation when recycled (40 CFR 261.6), including:
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REGULATIONS APPLICABLE TO TREATMENT, STORAGE,
AND DISPOSAL FACILITIES
r Recycle •
•Conserve Energy-*
• Reclaimed industrial ethyl alcohol
• Used batteries returned to the manufacturerfor regeneration
• Used oil recycled but not burned
• Scrap metal
• Fuels from oil-bearing hazardous waste
• Oil reclaimed from hazardous waste
• Coke and coal tar from the iron and steel industry.
Consequently, handlers of these materials are not subject to
generator, transporter, or TSDF regulations.
Similarly, regulations contained in 40 CFR Part 266 exempt
specialized recycling procedures from portions of the hazardous
waste regulations. These procedures include:
• Hazardous waste fuels burned for energy recovery in
boilers and industrial furnaces
• Used oil burned for energy recovery in boilers and industrial
furnaces
• Hazardous wastes and waste-derived products used in a
manner constituting disposal
• Spent lead-acid batteries which are reclaimed, and
• Hazardous wastes from which precious metals are
reclaimed
In addition, units used to recycle hazardous wastes (e.g., stills
that distill spent solvents) do not require a hazardous waste
permit. However, owners or operators of recycling facilities
would have to pbtain permits for container or tank storage
areas used to store the wastes prior to recycling (with the
exception of facilities reclaiming lead-acid batteries and those
engaged in precious metal recovery).
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CHAPTER 4
REGULATIONS APPLICABLE TO TREATMENT, STORAGE,
AND DISPOSAL FACILITIES
SUMMARY
Treatment, storage, and disposal facilities (TSDFs) are the last
link in the "cradle-to-grave" hazardous waste management
system. In order to handle hazardous wastes, TSDFs must
obtain a permit and abide by TSD regulations.
TSDFs fall into two categories:
• Interim status facilities
• Permitted facilities.
Interim status was developed by Congress to allow certain
owners and operators of facilities in existence on November
19,1980 (or brought under S ubtitle C regulation after this date
by amendment), to continue operating as if they have a permit
until their permit application is issued or denied.
There are two sets of TSD regulations:
• Interim Status Standards-Thp.sp.are"gonHhongf.1r^pi-ng"
requirements, (e.g. tanks should be used properly), found
in 40 CFR Part 265.
• Permit Standards - These are facility-specific performance
standards and "design and operating" requirements
incorporated into the permit, (e.g., tanks storing hazardous
waste must be designed to specifications) found in 40 CFR
Pan 264. The standard permit language, found in the
regulations, is general and serves as a guideline for permit
writers in setting specific design and operating
requirements through "best engineering judgment."
Both TSD regulations are composed of:
* Administrative and Non-Technical Requirements - These
ensure that owners or operators of TSDFs establish the
necessary procedures and plans to run a facility properly
and to handle any emergencies or accidents. They cover:
- Who is subject to the regulations
- General facility standards
- Preparedness and prevention
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REGULATIONS APPLICABLE TO TREATMENT, STORAGE,
AND DISPOSAL FACILITIES
- Contingency plans and emergency procedures
- Manifest system, record-keeping and reporting.
Technical Requirements - These ensure that owners or
operators operate TSDFs in a way that minimizes the
potential for threats to human health and the environment.
Technical requirements are further broken down into:
- General standards that apply to several types of
facilities, covering:
•« Ground-water monitoring
•• Closure/post-closure
•• Financial requirements.
Specific standards that apply to a waste management
method, covering:
•• Containers
•• Tanks
•• Surface impoundments
•• Waste piles
•• Land treatment
•• Landfills
•• Incinerators
•• Thermal treatment (interim status standards only)
•• Chemical, physical, and biological treatment
(interim status standards only)
•• Underground injection (interim status standards
only)
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CHAPTER 4
REGULATIONS APPLICABLE TO TREATMENT, STORAGE,
AND DISPOSAL FACILITIES
•• Miscellaneous units
HSWA Section 3004 requires the Administrator to examine
all listed hazardous wastes and some others to determine
whether any should be banned from land disposal. Those
wastes with concentrations of toxic constituents that threaten
human health and the environment must be treated before they
can be land disposed.
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CHAPTERS
PERMITTING
OVERVIEW
WHO NEEDS A PERMIT?
TYPES OF HAZARDOUS WASTE PERMITS
THE PERMIT PROCESS
Submitting a Permit Application
- Reviewing the Permit Application
- Preparing the Draft Permit
- Taking Public Comment
- Finalizing the Permit
PERMIT ADMINISTRATION
Permit Modification
- Revocation and Reissuance of the Permit
Permit Termination
THE CORRECTIVE ACTION PROCESS
- Scope of Corrective Action
CORRECTIVE ACTION COMPONENTS
- RCRA Facility Assessment (RFA)
- RCRA Facility Investigation (RFI)
- Corrective Measure Study (CMS)
- Corrective Measures Implementation (CMI)
THE ENVIRONMENTAL PRIORITIES INITIATIVE
SUMMARY
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CHAPTER 5 PERMITTING
OVERVIEW
WHO NEEDS A PERMIT?
Permits identify the administrative and technical standards to
which facilities must adhere. Permits can be issued by EPA
or an authorized State. Whether administered by EPA or a
State, the permitting program must meet national standards.
Indeed, one of the requirements for a State program is that it
be fully equivalent to, consistent with, and no less stringent
than, the Federal program. Therefore, although this chapter
describes permitting as a Federal program, the procedures
outlined apply equally to permitting programs run by authorized
States. Additionally, States may impose regulatory
requirements that are more stringent or broader in scope than
the Federal program.
This chapter covers the entire permitting process including:
• The universe of TSDFs subject to the permitting
requirements of Subtitle C
• The steps involved in permitting a TSDF
» Corrective action through the permitting process.
Owners or operators of facilities that treat, store, or dispose of
hazardous waste must obtain an operating permit under Subtitle
C. TSDFs in existence on November 19,1980 operate under
interim status until a final permit decision is made. New
TSDFs are ineligible for interim status and must receive a
RCRA permit before construction can commence. Only in a
very limited number of circumstances can a person treat, store,
or dispose of hazardous waste without a permit:
» Generators storing waste on site for less than 90 days
« Small quantity generators who store waste on site less than
180 days
• Farmers disposing of their own (hazardous) pesticides on
site
» Owners or operators of totally enclosed treatment facilities,
wastewater treatment units (tanks) and elementary
neutralization units
« Transporters storing manifested wastes at a transfer facility
for less than 10 days
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TYPES OF HAZARDOUS
WASTE PERMITS
• Persons engaged in containment activities during an
immediate response to an emergency
• Owners or operators of solid waste disposal facilities
handling only conditionally exempt small quantity
generator waste
• Persons engaged in Superfund on-site cleanups and RCRA
Section 7003 cleanups.
If any of the individuals listed above treat, store, or dispose of
hazardous waste in a manner not covered by the exclusion,
they are subject to the RCRA permit requirements for that
activity.
As noted earlier, a permit defines a facility's requirements
under S ubtitie C. These requirements consist of all the general
and technical standards discussed in Section III, Chapter 4, as
well as requirements for corrective action. Corrective action
requirements specify that TSDFs clean up releases caused by
facility operations.
Several categories of permits are issued under the RCRA
Subtitle C program. Each category defines operating
requirements and various provisions specific to the permitting
need.
• Treatment. Storage, and Disposal Permits - Most
commonly, RCRA permits are issued for treatment, storage,
and disposal units. The units are: containers, tank systems,
surface impoundments, waste piles, land treatment units,
landfills, incinerators, and miscellaneous units. These
methods are the most common way to treat, store, and
dispose of hazardous waste. Minimum national standards
have been promulgated for each of these methods at 40
CFR Part 264 (see Section III, Chapter 4). HSWA added
"corrective action"requirements to the permittingprocess.
These requirements state that facilities must address
existing or part releases. Interim status facilities or
facilities permitted prior to HSWA must revise their
permit to comply with these requirements. All permit
conditions must be met prior to issuance of a permit, with
the exception of corrective action requirements. Corrective
action requirements can be met one of two ways, by:
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writing it as a permit condition, or
developing a schedule of compliance.
Research. Development, and Demonstration Permits -
EPA encourages the use of alternative treatment
technologies by issuing research, development, and
demonstration (RD&D) permits for promising innovative
and experimental treatment technologies. The permitting
criteria are that national standards must not exist for the
treatment technology. For example, a high temperature
incinerator could not apply for an RD&D permit since
standards have already been promulgated at 40 CFR Part
264 Subpart O. Permits are issued for one year, although
they may be renewed up to three times. RD&D facilities
can receive only those wastes that are necessary to
determine the efficacy of the treatment technology.
Issuance of RD&D permits follows a more streamlined
process than a standard RCRA permit. EPA may modify
or waive the usual permit application and issuance
requirements, with the exception of financial responsibility
and public participation, as long as the Agency maintains
consistency with its mandate to protect human health and
the environment.
Post-Closure Permits - Land disposal facilities that leave
wastes in place when they close must obtain a post closure
permit, specifying the requirements for proper post-closure
care.
Emergency Permits - In potentially dangerous situations,
EPA can forego the normal permitting process.
Specifically, when there is an "imminent and substantial
endangerment to human health and the environment," a
temporary (90 days or less) emergency permit can be
issued to a:
- Non-permitted facility for the treatment, storage, or
disposal of hazardous waste
- Permitted facility for the treatment, storage, or disposal
of hazardous waste not covered by its existing permit.
Permit-by-Rule - EPA issues permits under a number of
different laws. In some instances, the requirements of one
statute's permitting regulations are quite similar to those
in RCRA. To avoid duplication, EPA has tried to abbreviate
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PERMIT-BY-RULE
THE PERMIT PROCESS
the application process for facilities that need to be
permitted under two or more statutes. This is done through
a permit-by-rule. A permit-by-rule eliminates the need for
facilities to submit a full Subtitle C permit application
when they are permitted under the:
- Safe Drinking Water Act (Underground Injection
Control permit)
- Clean Water Act (National Pollutant Discharge
Elimination System permit)
- Marine Protection, Research, and Sanctuaries Act
(Ocean Dumping permit).
Facilities seeking a RCRA permit that already have one of
the three permits listed above need only meet a subset of
the Subtitle C regulatory requirements. For example, an
owner or operator of a barge or vessel that has an ocean
dumping permit, and complies with the appropriate
conditions under Subtitle C (e.g., obtaining an EPA ID
number, using the manifest system, and biennial reporting)
will be considered to have a permit under RCRA.
• Trial Burn and Land Treatment Demonstration Permits -
EPA issues permits to construct and operate new hazardous
waste management facilities. Such facilities cannot be
constructed until a permit is issued. There is, however, an
exception to this rule. Land treatment facilities and
incinerators must go through a trial period during which
theirability to perform properly under operating conditions
is tested. This period is called a trial burn for incinerators
and a land treatment demonstration for land treatment
facilities. Owners or operators of these two types of
facilities are required to obtain temporary permits that are
enforced while the facility is being tested. Once the
facility adequately completes its test, the Agency can
make decisions regarding the final permit. This sets the
final operating conditions based on the data generated
from these demonstrations.
All hazardous waste TSDFs required to get a RCRA permit go
through the same basic permitting process. The exceptions
are facilities that are issued a permit-by-rule or an emergency
permit. The permit process consists of the following steps:
• Submitting a permit application
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Reviewing the permit application
Preparing the draft permit
Taking public comment
Finalizing the permit
Submitting a
Permit Application
An additional step of appealing the permit decision may occur
with some permits.
There are a number of Federal laws that may affect the permit
process, including the:
• Wild and Scenic Rivers Act
• National Historic Preservation Act of 1966
« Endangered Species Act
• Coastal Zone Management Act
• Fish and Wildlife Coordination Act.
When any of these laws is applicable, its procedures must be
followed. For example, the Coastal Zone Management Act
prohibits EPA from issuing a permit for an activity affecting
land or water use in the coastal zone unless the proposed
activity complies with the State's Coastal Zone Management
Program, and i s agreed to by the S tate. To get more information
on these laws and their potential impacts on Subtitle C's
permitting process, see 40 CFR 270.3.
Owners or operators of facilities that fall under the permitting
regulations are required to submit a comprehensive permit
application covering all aspects of the design, Operation, and
maintenance of the facility. This gives EPA and the State
valuable information todetermine if the facility is in compliance
with Subtitle C regulations and to develop a facility-specific
permit.
The permit application is divided into two parts: AandB. Part
A of the application is a short, standard form that collects
general information about a facility (e.g., name of the applicant
and a description of the activities conducted at the facility).
Part B of the permit application is much more extensive than
Part A. It requires the owner or operator to supply detailed and
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* Existing Facilities
Part A -f
Part B
• New Facilities
Part A & B
_ Permit
~ Application
_ Permit
~~ Application
highly technical information (e.g., chemical and physical
analyses of the hazardous waste to be handled at the facility).
Since there is no standard form for Part B, the owner or
operator must rely on the regulations (40 CFR Parts 264 and
270) to determine what to include in this part of the application.
In addition to the general Part B information that must be
submitted by all owners or operators of TSDFs, there are
unique information requirements that are tied to die type of
facility seeking a permit. Depending on the situation, Parts A
and B may be submitted at different times. Existing facilities
(i.e., those that received hazardous waste on or after November
19,1980), submitted their Part A when applying for interim
status. Their Part B can then either be voluntarily submitted
or "called in" by EPA.
HS WA imposed a statutory timetable for Part B submittals for
interim status facilities, summarized below. Those facilities
that fail to meet the submittal deadline lose their interim status
and must close if they do not receive permits by the deadline.
However, these deadlines do not apply to new facilities or
facilities that gained interim status after November 8,1984.
Type of
Facility
Land
disposal
Incinerator
All others
Loses/Lost
Interim Status on
Nov. 8, 1985
Nov. 8, 1989
Nov. 8,1992
Unless Part
B Submitted bv
Nov. 8,1985
Nov. 8, 1986
Nov. 8,1988
Under HSWA another group of facilities can submit Parts A
and B separately. Specifically, any TSDF that comes under
the jurisdiction of Subtitle C due to statutory or regulatory
changes must submit its Part A six months after the date of
publication of the regulations in the Federal Register, or 30
days after the date they first become subject to the promulgated
standards. The Part B for such facilities can either be voluntarily
submitted or called in by EPA. A special timetable applies to
land disposal facilities that come under the jurisdiction of
Subtitle C in this manner: they must submit a Part B within 12
months of becoming subject to Subtitle C requirements or lose
interim status. Incinerators and all other facilities will retain
interim status until a final permit determination is made if they
submit their Part B applications by the indicated deadlines.
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Reviewing the
Permit Application
Part B
—OK
<
Info Missing
V
Notice of
Deficiency
New facilities submit Parts A and B. simultaneously. This
submission must be made at least 180 days prior to the date on
which physical construction is expected to start RCRA
Section 3019 requires that final permit applications for surface
impoundments and landfills be accompanied by information
on the potential for public exposure to hazardous wastes or
constituents from facility releases. Congress' rationale is that
landfills and surface impoundments may pose a greater health
risk than other types of disposal facilities. Once the information
is submitted, EPA makes it available to the Agency for
Toxic Substances and Disease Registry (ATSDR). If EPA
believes that the release poses a substantial risk to human
health, the Agency requests that ATSDR perform a health
assessment. The exposure information must at least address:
• Reasonably foreseeable potential releases from both normal
operations and accidents at the facility, including releases
associated with transportation to or from the facility,
• The potential pathways of human exposure to hazardous
wastes or constituents resulting from the releases described
above, and
• The potential magnitude and nature of the human exposure
resulting from the releases described above.
Once the owner or operator of a facility has submitted an
application (both Parts A and B), EPA's first step is to
determine if all the required information has been submitted.
If the application is not complete, a notice of deficiency
(NOD) letter is sent to the owner or operator describing the
additional information that is required for a complete
application. Once the owner or operator has submitted all of
the required information, the application is considered
complete. Failure to provide this information can result in
denial of the permit, enforcement action, or both.
In some cases information contained in the permit application
may be considered confidential by the owner or operator.
Permit applicants often make a claim of confidentiality to
protect trade secrets. In such cases, the owner or operator must
make the claim known at the time of submission by following
the procedures described in 40 CFR 270.12 ("confidentiality
of information"). Claims of confidentiality are reviewed (by
EPA's legal counsel) to determine if the information can
legitimately be claimed as confidential. If a claim is
substantiated, the information is treated as confidential and
not released. If, on the other hand, a claim is denied, the
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Preparing the
Draft Permit
A Draft Permit Consists of:
• Technical requirements
* Other conditions:
- General
- Facility-specific
information is made public. Confidential business information
also is discussed in Section VII of this manual.
Once the owner or operator is informed, by letter, that his
application is complete, an in-depth evaluation of the permit
application begins. The purpose of the evaluation is to
determine if the application satisfies the technical requirements
of RCRA. After the permit application is evaluated, EPA
makes a tentative decision either to issue or deny the permit.
If the tentative decision is to deny the permit, EPA must send
the owner or operator a notice of intent to deny. If EPA
tentatively decides to issue the permit, a draft permit is
prepared by EPA staff.
EPA must either approve or deny the applications for facilities
that received interim status on or before November 8,1984 in
accordance with the following schedule set out under HSWA:
• Land disposal facilities - by November 8, 1988
• Incinerators - by November 8, 1989
• All other TSDFs - by November 8, 1992.
For new facilities that submit their applications after November
8, 1984, HSWA places no time limits on how long EPA can
take to evaluate the application.
The draft permit incorporates applicable technical requirements
and other conditions pertaining to the facility's operation.
These other conditions are divided into two groups - those
applicable to all permits (called general conditions) and those
applied on a case-by-case basis. General permit conditions
comprise:
• A requirement to comply with all conditions listed in
the permit
• A responsibility to notify EPA of any planned alterations
or additions to the facility
• A requirement to provide EPA with any relevant
information requested and to allow Agency representatives
to inspect the facility premises under certain conditions
• A requirement to certify annually that a program is in
place to reduce the volume and toxicity of waste, and that
the proposed method of treatment, storage, and disposal
minimizes threats to human health and the environment
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Taking Public
Comment
Finalizing
the Permit
PERMIT
ADMINISTRATION
• A duty to submit required reports (e.g., Unmanifested
Waste Report, Biennial Report, and Manifest Discrepancy
Report).
The case-by-case permit conditions include:
• Compliance Schedules - These schedules are used to bring
a facility into compliance with corrective action
requirements.
• Duration of Permit - The permit is valid for up to ten years;
land disposal permits must be reviewed every five years
Once the draft permit (or notice of intent to deny) is completed,
EPA is required to give public notice and allow 45 days for
written comment. In certain cases a public hearing may also
be held during this time. Along with the public notice, EPA
must issue either a fact sheet or a statement of basis to inform
concerned parties about the permitting process that is taking
place. Fact sheets are prepared for every major facility and
any facility subject to widespread public interest, as determined
by EPA. They include detailed information pertaining to the
facility, the contents of the draft permit (or notice of intent to
deny), and the procedures to be used in reaching the final
administrative decision on the permit application. In lieu of a
fact sheet, a statement of basis may accompany a draft permit
(or notice of intent to deny). A statement of basis is essentially
a summarized version of the fact sheet. These supporting
documents are sent to the applicant and, on request, to any
other interested person.
If information submitted during the initial comment period
appears to raise substantial new questions concerning the
permit, the Agency must re-open or extend the comment
period. In this situation the Agency may also decide to revise
the draft permit (or notice of intent to deny).
After the comment period closes, a response to all significant
public comments is prepared and the Administrator makes the
final permit decision, either issuing or denying the permit.
This decision may be appealed to the Administrator. When
administrative appeals are exhausted, the petitioner may seek
judicial review of the final permit decision.
Once issued, RCRA permits are valid for up to ten years. Land
disposal permits have an additional requirement of being
reviewed after five years. During the term of a permit
situations may arise which may cause the permit to be:
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Permit
Modification
• Modified
• Revoked and reissued, or
• Terminated.
Permits may need modification for a number of reasons,
including:
• Substantial alterations or additions to the facility
• New information about the facility becomes available
• New statutory or regulatory requirements affect existing
permitted activities.
In September 1988, EPA published regulations (under 40
CFR 270.41 and 270.42) that revised permit modification
procedures for changes that facility owners and operators may
want to make. EPA categorized selected permit modifications
into three classes and established administrative procedures
for approving modifications in each class. It is important to
note that the previous "major/minor" modification
requirements will still be implemented by States that chose
not to adopt these provisions.
The permit modification regulations provide owners and
operators more flexibility to change permit conditions, expand
public notification and participation opportunities, and allow
for expedited approval if no public concern exists for a
proposed modification.
The classes are defined as:
• Class 1: Routine changes and correction of errors
• Class 2: Common or frequently occurring changes needed
to maintain a facility' s capability to manage wastes safely
or conform to new requirements
• Class 3: Major changes that substantially alter the facility
or its operations.
In addition to establishing permit modification classes and
administrative procedures, this regulation also gives EPA the
authority to grant temporary authorization for facilities to
respond promptly to changing conditions.
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Revocation and
Reissuance of the
Permit
Permit
Termination
THE CORRECTIVE
ACTION PROCESS
EPA may revoke and reissue a permit in two circumstances:
• When cause exists for terminating the permit (under the
circumstances described below), but EPA decides that
revocation and reissuance is a more appropriate step
• When the permit holder plans to transfer the permit.
In some instances, operators may not comply with the
requirements stipulated in the permit, even after enforcement
action. In this case it.may be necessary to terminate a
hazardous waste permit. EPA may terminate a permit or deny
its renewal for three reasons:
• Noncompliance by the permittee with any condition of the
permit
• Failure on the part of the permittee to disclose any relevant
information during the permitprocess or misrepresentation
of facts at any time
• The permitted activity endangers human health and the
environment and can only be regulated to acceptable
levels by permit termination.
A facility whose permit is terminated must implement its
closure plan as required under 40 CFR Part 264 Subpart G. If
wastes remain on site, post-closure monitoring must also be
done.
In HSWA, Congress expanded EPA's authorities (beyond
those contained in 40 CFR Part 264 Subpart F) to address
releases of hazardous waste through corrective action. The
new authorities allow EPA to address releases to ground water
and all other environmental media at all solid waste
management units at TSDFs. Corrective action requirements
are imposed through a permit or an enforcement order. The
TSDF owner or operator is responsible for complying with
these requirements. Permits issued to RCRA facilities must,
at a minimum, contain schedules of compliance to address
releases and include provisions for financial assurance to
cover the cost of implementing the corrective measures. EPA
has estimated that corrective action at RCRA facilities could
encompass about 2,000 TSDFs, take until the year 2025 to
complete, and be as large and costly as the current Superfund
program.
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Scope of Corrective
Action
To better understand the scope of the corrective action
requirements, one must understand its key terms.
* Solid waste management ^inifsf (SWMUs - pronounced
"SMUUZ") are waste management units from which
hazardous wastes or constituents may migrate, even if the
unit was not intended for the management of hazardous
waste. Additionally, any areas that become contaminated
as a result of routine and systematic releases of wastes are
SWMUs (e.g., spill areas).
• Regulated units are a subset of all swiuT TS A regulated
unit is any surface impoundment, waste pile, land treatment
unit, or landfill that received waste after July 26, 1982.
' Hazardous constituents are any substances listed in 40
CFR Part 261, Appendix VIII.
The scope of the corrective action process for regulated units
at permitted facilities can vary somewhat from that required at
other solid waste management units at permitted or interim
status facilities. Releases to ground water from regulated
units are addressed under 40 CFR Part 264, Subpart F
Sections 3004(u) and (v) of RCRA (codified in 40 CFR
264.101) require corrective action for releases of hazardous
wastes or constituents from any SWMU at a TSDF that is
seeking or subject to a RCRA permit. Section 3004 (v)
authorizes EPA to impose corrective action requirements for
releases that have migrated beyond the facility boundary.
Section 3008(h) authorizes EPA to require corrective action
or other necessary measures through an enforcement order,
whenever there is or has been a release of hazardous waste or
constituents from an interim status RCRA facility.
EPA can require permitted facilities with releases from
regulated units to:
• Take corrective action only on those releases to the
uppermost aquifer (under 40 CFR Part 264 Subpart F), or
• Clean up any other contaminated media (under Sections
3004 (u) and (v)).
The decision is made by EPA on a case-by-case basis, taking
into account the nature and magnitude of the release.
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CORRECTIVE ACTION
COMPONENTS
RCRA Facility
Assessment (RFA)
The corrective action process has four main components.
Each component comprises a number of steps. The number of
steps required and the complexity of corrective action permit
conditions or other enforcement actions may vary depending
on the extent and severity of releases of hazardous waste at a
" TSDF. The decision on which steps to include is made on a
facility-by-facility basis. EPA also can require that facilities
take interim corrective measures whenever necessary to protect
human health and the environment.
Release determinations for all environmental media from
SWMUs (i.e., soil, ground water, subsurface gas, air, or
surface water) will be made by the regulatory agency primarily
through the RCRA Facility Assessment (RFA) process. The
regulatory agency will perform the RFA for each facility
seeking a RCRA permit to determine if there are continuing
releases of concern. The major objectives of the RFA are to:
• Identify SWMUs and collect existing information on
contaminant releases, and
• Identify releases or suspected releases needing further
investigation.
The RFA begins with a preliminary but fairly comprehensive
review of pertinent existing information on the facility. If
necessary, the review is followed by a visual site inspection to
verify information obtained in the preliminary review and to
gather information needed to develop a sampling plan. A
sampling visit is subsequently performed, if necessary, to
obtain appropriate samples for makingrelease determinations.
The findings of the RFA will result in one or more of the
following actions:
• No further action under the RCRA corrective action
program is required at this time, since no evidence of a
release(s) or of a suspected release(s) was identified
• A RCRA Facility Inspection (RFI) by the facility owner or
operator is required where the information collected
indicates a release(s) or suspected release(s) warrants
further investigation
• Interim corrective measures by the owner or operator are
required where the regulatory agency believes that
expedited action should be taken to protect human health
or the environment
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• In cases where problems associated with permitted releases
are found, the regulatory agency will refer such releases to
the appropriate permitting authorities.
RCRA Facility If the regulatory agency determines that a RFI is necessary
Investigation (RFI) this investigation will be required of the owner or operator
either under a permit schedule of compliance or under an
enforcement order. The regulatory agency will apply the
appropriate regulatory authority and develop specific
conditions in permits or enforcement orders. These conditions
will generally be based on results of the RFA and will identify
specific units or releases needing further investigation. Such
permits or orders may be accompanied by a supporting fact
sheet. The RFI can range widely from a small specific activity
to a complex multimedia study. In any case, through these
conditions, the regulatory agency will direct the owner or
operator to investigate releases of concern. The investigation
may initially involve verification of a suspected release. If
confirmed, further characterization of such releases will be
necessary.
The RFI step also includes interpretation by the regulatory
agency of release characterization data against established
health and environmental criteria to determine whether a
Corrective Measures Study (CMS) is necessary. This
evaluation is crucial to the corrective action process. The
regulatory agency will ensure that data and information
collected during the RFI adequately describe the release, and
can be used to make decisions regarding the need for a CMS
with a high degree of confidence.
Identifying and implementing interim corrective measures
may also be conducted during the RFI. If, in the process of
conducting the investigation, a threat or exposure to hazardous
constituents is identified, interim corrective measures may be
required. Both the owner or operator and the regulatory
agency have acontinuing responsibility to identify andrespond
to emergency situations and to define priority situations that
warrant interim corrective measures.
Corrective Measures If the potential need for corrective measures is identified
study (CMS>) durmgtheRFIprocess,theowneroroperatoristhenresponsible
for performing a Corrective Measures Study (CMS). During
this step of the corrective action process, the owner or operator
will identify and recommend as appropriate, specific measures
that will correct the release.
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Corrective Measures
Implementation (CMI)
THE ENVIRONMENTAL
PRIORITIES
INITIATIVE
Information generated during the RFI will be used not only to
determine the potential need for corrective measures, but also
to aid in the selection and implementation of these measures.
While conducting the RFI, the owner or operator is encouraged
to collect data (e.g., engineering data such as soil compaction
properties or aquifer pumping tests), which may be needed to
select and implement corrective measures.
Corrective measures implementation includes designing,
constructing operating, maintaining, and monitoring selected
corrective measures. If the remedy is notproperly implemented,
EPA will direct the facility to take additional action on a site-
specific basis.
HS WA requires that facilities demonstrate financial assurance
for corrective action prior to implementation. This ensures
that facilities have the necessary funds available to carry out
cleanup of the site. EPA has proposed regulations to require
financial assurance for corrective action. Under the proposed
rule, acceptable financial mechanisms include trust funds,
surety bonds, letters of credit, financial tests, and corporate
guarantees. Until finalized, the proposed rule is used as
guidance to implement the statutory requirement for financial
assurance for corrective action.
In overseeing the cleanup of hazardous waste sites, EPA is
faced with balancing a number of high priority activities. For
example, while over 2,000 RCRA facilities are likely to
require corrective action, a similar number of sites must be
addressed under the Superfund program. To ensure that those
sites posing the greatest threat are addressed first, EPA
developed the Environmental Priorities Initiative (EPI).
The EPI is an integrated RCRA/S uperfund screening approach
used to ensure that the most environmentally significant
facilities and sites are given priority for cleanup. Under the
EPI, all RCRA facilities and Superfund sites receive a ranking
of theirenvironmental priority. The ranking, already completed
for the majority of sites, is based on the threat each site poses
to human health and the environment. The highest priority
facilities will receive a site inspection. The inspection,
combined with the earlier ranking, will provide a basis for
refining priorities. The corrective action cleanup process will
be used in lieu of the Superfund remedial process for active
RCRA facilities identified as high priority; this will conserve
Superfund resources and ensure that owner or operators pay
for the site remediation.
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SUMMARY
Permits detail the administrative and technical performance
standards that TSDFs must adhere to, and thus are the key to
implementing Subtitle C regulations. Owners and operators
of existing or new facilities must (with a few exceptions)
obtain an operating permit. Each TSDF permit must include
provisions for corrective action to address releases from solid
waste management units if a release has been detected. Special
permit requirements pertain to permit-by-rule facilities, and
facilities demonstrating the efficacy of their treatment
technology (trial burns and land treatment demonstrations).
The permitting process has five steps:
• Submitting a permit application
• Reviewing the permit application
• Preparing the draft permit
• Taking public comment
• Finalizing the permit
The final decision on the permit also may be reviewed by the
Administrator and appealed to the local U.S. District Court.
Permit administration procedures include permit modification,
revocation, reissuance or termination.
HSWA has greatly expanded cleanup requirements at RCRA
facilities. Through a process called corrective action, facilities
must remedy releases threatening human health and the
environment. Corrective action has four main parts:
• RCRA Facility Assessment
*
• RCRA Facility Investigation
• Corrective Measures Study
• Corrective Measures Implementation.
Although usually done through the permitting process,
corrective action may also be completed through an
enforcement order.
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CHAPTER 6
ENFORCEMENT
OVERVIEW
COMPLIANCE MONITORING
- Inspections
- Types of Inspections
- Conducting the Inspection
ENFORCEMENT ACTIONS
- Administrative Actions
- Informal Actions
- Administrative Orders
Civil Actions
Criminal Actions
ENFORCEMENT AT FEDERAL FACILITIES
AGENCY FUNCTIONS
SUMMARY
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CHAPTER 6 ENFORCEMENT
OVERVIEW
ENFORCEMENT
COMPLIANCE
MONITORING
Inspections
The effective implementation of RCRA' s regulatory programs
rests on whether or not the people and companies regulated
under the Act 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 corrective action. This requires close
monitoring of hazardous waste handler (generator, transporter
and TSDF) activities and expeditious legal action where non-
compliance is detected. Facility inspections by Federal/State
officials are the primary tool for monitoring compliance.
When non-compliance is detected, legal action may follow.
This may include the use of administrative orders, civil
lawsuits, or criminal lawsuits depending on the nature and
severity of the problem. The combination of effective
monitoring and expeditious legal action is intended to reduce
the number of handlers not operating in compliance with
RCRA's requirements and to deter potential violations by
imposing penalties.
This chapter describes the two essential aspects of the
enforcement program: compliance monitoring and
enforcement actions. All of the enforcement provisions
detailed in this chapter are statutory, not regulatory. However,
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.
The first phase of the enforcement program is monitoring
facilities to verify that they comply with RCRA's regulatory
requirements. This monitoring serves several purposes. It
allows EPA and authorized States to find out which facilities
are not in compliance. It also allows EPA and the States to
assess the effectiveness of specific legal actions, such as
administrative orders, that may have been taken against a
handler. Also, 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 non-compliers susceptible to
enforcement actions.
The primary method of collecting compliance monitoring
data is through an inspection. The inspection may include a
formal visit to the handler, a review of records, taking of
samples, or observation of operations. In addition to supplying
information for enforcement proceedings, inspections are
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ENFORCEMENT
Inspections
A Means of Reviewing.
Observing and Gathering
Information
Types of
Inspections
used to gather data to assist EPA in the development of RCRA
regulations, and to help EPA track program progress and
accomplishments.
State or EPA officials conduct the inspections. In instances
where criminal activity is suspected, EPA's National
Enforcement Investigations Center (NEIC) may become
involved. Similarly, the Department of Transportation (DOT)
may participate where waste transporters are involved. All of
these agencies are authorized by RCRA to use outside
contractors for the actual inspection if they desire.
The Act provides the authority for conducting inspections
under Section 3007. This section allows EPA, an authorized
State, or a representative of either of these to enter any
premises where hazardous waste is handled to examine records
and take samples of the wastes.
HS WA requires that all Federal or State operated facilities be
inspected annually. Furthermore, all TSDFs must be inspected
at least once every two years. Facilities also may 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.
A number of different types of inspections are conducted
under the authority of the RCRA program. 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 different inspection types
are explained below.
* Compliance Evaluation Inspection CCF.T) - These are
routine inspections of hazardous waste generators,
transporters, and TSDFs to evaluate compliance with the
requirements of RCRA. CEIs 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 the
requirements of RCRA.
Case Development Inspection CCDD -
when significant RCRA violations are known, suspected,
or revealed. A case development inspection is performed
to gather data in support of a specific enforcement action.
Most of the activities conducted during a GDI are specific
to the type of information required to document the
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ENFORCEMENT
Conducting
the Inspection
violation (e.g., incinerator investigations, closure/post-
.closure investigations).
. Comprehensive Ground-Water Monitoring Evaluations
(CME) - The CME is conducted to ensure that ground-
water monitoring systems are designed and function
properly at RCRA land disposal facilities. In addition to
the CEI activities, CMEs include sampling and analysis of
the facility's ground-water monitoring system and
hydrogeological conditions.
• Compliance Sampling Inspection (CSD - These are
inspections in which samples are collected for laboratory
analysis. A sampling inspection may be conducted with
a CEI, or any inspection except a GDI.
• Operations and Maintenance Inspection (O&M) - Many
land disposal facilities close with waste in place. The
purpose of O&M inspections is to ensure that ground-
water monitoring and other systems continue to function
properly after a land disposal facility has closed. O&M
inspections are usually conducted at facilities that have
already received a thorough evaluation of the ground-
water monitoring system under a CME inspection.
« T .a hnratorv Audits - These are inspections of laboratories
performing ground-water monitoring analyses. Audits
ensure that these laboratories are using proper sample
handling and analysis protocols.
Several steps are generally followed in RCRA inspections to
ensure consistency and thoroughness; these steps are
summarized below. For more detail on the inspection process,
the reader should refer to the RCRA Inspection Manual
(OSWER Directive 9938.2A).
The inspector prepares for the inspection by:
• Reviewing handler records
• Preparing an inspection plan
• Developing a checklist, and
• Packing appropriate safety equipment.
The second step is the actual entry onto the handler's property.
The inspector identifies himself or herself and describes the
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ENFORCEMENT
ENFORCEMENT
ACTIONS
nature of the inspection. In some circumstances, a warrant
may be needed to gain entry to the facility.
After the inspector has entered the property, he or she generally
holds an opening conference with the owner or operator to
discuss the nature of the inspection and to describe the
information and samples to be gathered. Following the
opening conference, the actual inspection takes place. The
actual inspection involves:
• Checking hazardous waste generation, storage, treatment
or disposal areas
• Assuring that hazardous waste is stored properly (e.g., no
spills, leaks or improper disposal), and
• Reviewing records.
Finally, the inspector holds a closing conference with the
owner or operator to allow him or her to respond to questions
about the inspection and provide additional information. The
inspector usually summarizes his or her findings and explains
any further action required by the handler.
After the visit is completed, the inspector prepares a report.
The report summarizes the records reviewed, any sampling
results, and the handler's compliance status with respect to
RCRA. Summary conclusions regarding inspections are
currently tracked in some detail in the Hazardous Waste Data
Management System (HWDMS) maintained by EPA.
The most important result of any inspection is the determination
of whether the handler is in compliance with the regulations.
If the handler is not complying with all of the appropriate State
or Federal requirements, enforcement action may be taken, as
discussed below.
The inspector may also determine compliance through
examination of the reports that handlers are required to submit.
Reports may contain information about the wastes being
handled, the method of handling, and the ultimate disposition
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).
The second phase of the compliance monitoring and
enforcement program involves taking enforcement actions to
bring handlers into compliance with applicable Subtitle C
regulations. The goal of enforcement actions is to compel:
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ENFORCEMENT
Administrative
Actions
Informal
Actions
Enforcement Options
Available Under RCRA:
Administrative actions
Civil actions
• Criminal actions.
• Proper handling of hazardous waste
• Compliance with RCRA's recordkeeping and reporting
requirements
• Monitoring and corrective action in response to releases of
hazardous and nonhazardous waste, and hazardous
constituents.
EPA (or an authorized State) has a broadrange 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. Violations of RCRA requirements
are grouped into classes. These violations and appropriate
enforcement responses are discussed in the Enforcement
Response Policy. (OSWER Directive Number 9900.0-1 A).
An administrative action is non-judicial enforcement action
taken by EPA or a State underitsown authority. Administrative
enforcement actions can take several forms ranging from
informal notices of non-compliance to issuance of an
administrative order accompanied by a formal public hearing.
These actions tend to be less complicated than a lawsuit and
can often be quite effective in forcing a handler to comply with
regulations or to remedy a potential threat to health or the
environment. Two types of administrative actions, informal
actions and administrative orders, provide for enforcement
response outside the court system.
An informal administrative action is any communication from
an agency that notifies the handler of a problem. It can take
many forms, e.g., a letter or a phone call. An informal letter
to the handler may be called a "notice of violation" (NOV) or
"notice of deficiency" (NOD). For this type of action, EPA or
the State notifies a handler that he or she is not in compliance
with some provision of the regulations. This type of action is
particularly appropriate where the violation is minor, such as
a record maintenance requirement. If the owner or 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
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Administrative
Orders
also sets out the enforcement actions that will follow if the
handler fails to take the required steps. A notice of deficiency
is commonly issued during the permitting process to identify
missing or deficient items in, the facility's application for a
RCRA permit.
When a more severe violation is detected, or the owner or
operator does not respond to an informal action, the agency
can issue an administrative order. An administrative order,
issued directly under the authority of RCRA, 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 of harm to human health and the environment. An
administrative order can be issued unilaterally by EPA or an
authorized State or it can be issued as a consent order, which
documents an agreement between the issuer and the violator.
Four types of orders can be issued under RCRA:
• Compliance Orders - Section 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 timetable to be
followed in moving toward compliance. The order can
contain a penalty of up to $25,000 per day for each day of
non-compliance 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 - Station -WfWM a11m.,c PP/y to
issue of an order requiring corrective action at an interim
status facility when there is evidence of a release of
hazardous waste or constituent into the environment.
These orders can be issued to require corrective action
activities ranging from investigations to repairing liners or
pumping to treat a plume of contamination. Corrective
action can be required regardless of when waste was
placed at the facility. Thus, past problems at RCRA
facilities may be cleaned up using this mechanism. In
addition to requiring corrective action, these orders can
suspend interim status and impose penalties of up to
$25,000 for each day of non-compliance with the order.
' Section 3013 Orders - If EPA finds that a substantial
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ENFORCEMENT
Civil Actions
Civil Actions Filed Under
RCRA:
• Compliance action
• Corrective action
Monitoring and analysis
• Imminent hazard.
hazard to human health and the environment exists, an
administrative order can be issued under Section 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 of the
facility or to a past owner or operator if the facility is not
currently in operation, or if the present owner could not be
expected to have actual knowledge of the potential release.
• Section 7003 Orders - In any situation where an "imminent
and substantial endangerment to health or the environment"
is caused by the handling of nonhazardous 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 a Section 7003 order can result in penalties of
up to $5,000 per day.
In addition to formal and informal actions, EPA can initiate
civil actions. A civil action is defined as a formal lawsuit, filed
in court, against a person who has either failed to comply with
some statutory or regulatory requirement or administrative
order or has contributed to a release of hazardous waste or
constituents. Civil actions are generally employed in situations
that present repeated or significant violations or where there
are serious environmental concerns. Attorneys from the
Department of Justice (DOT) handle RCRA civil cases for
EPA, while the S tate Attorneys General assume this role in the
States.
Civil actions are useful in several situations, such as when the
person being sued has not complied with a previously issued
administrative order. In this case, the courts may impose
penalties to force the handler to comply. Where 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 to stop conduct that is too dangerous to
risk non-compliance with an administrative order, and they
also may set a stronger example to other facility operators to
deter their non-compliance.
RCRA provides authority for filing four different types of
civil actions.
• Compliance Action - Under Section 3008(a), the Federal
Government can file suit to force a person to comply with
any applicable RCRA regulations. In Federal actions the
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ENFORCEMENT
Criminal Actions
court can also impose a penalty of up to $25,000 per day
per violation for non-compliance.
• Corrective Action - In a situation where there has been a
release of hazardous waste from a facility, the Federal
Government can sue to have the court order the facility to
correct the problem and take any necessary response
measures under Section 3008(h). The court can also
suspend or revoke a facility's interim status as a part of its
order.
* Monitoring and Analysis-TfF.P A HasiggnpH amnnitr^ng
and analysis order under Section 3013 of RCRA and the
person to whom the order was issued fails to comply, the
Federal Government can sue to get a court to require
compliance with the order. In this type of case, the court
can assess a penalty of up to $5,000 for each day of non-
compliance with the order.
• Imminent Ha/ard - As with a Section 7003 administrative
order, when any person contributed or is contributing to an
imminent hazard 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 had first issued an administrative order, the court
can also impose a penalty of up to $5,000 for each day of
non-compliance with the order.
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 non-compliance. In this circumstance,
a lawsuit can be filed that seeks penalties for violating the
original requirement, penalties for violating the order, and a
judge's orderrequiring future compliance with the requirement
and the administrative order.
A criminal action initiated by the Federal Government or a
State can result in the imposition of fines or imprisonment.
Seven acts identified in Section 3008 of RCRA are subject to
criminal action and carry criminal penalties. The penalties
range from a fine of $50,000 per day or a prison sentence of
up to five years, to a total fine of $ 1,000,000. Criminal actions
are usually reserved for only the most serious violations.
Six of the seven criminal acts carry a penalty of up to $50,000
per day or from two to five years in jail. Stated briefly, these
acts are knowingly:
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ENFORCEMENT
AT FEDERAL
FACILITIES
• Transporting waste to a non-permitted facility
• Treating, storing, or disposing of waste without a permit
or in violation of amaterial condition of a permit or interim
status standard
• Omitting important information from, or making a false
statement in a label, manifest, report, permit, or compliance
document
•• 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 $1,000,000 fine for a corporation.
In most instances, Federal facilities are required to comply
with environmental statutes to the same extent as non-Federal
facilities. However, enforcing compliance under RCRA is
different at Federal facilities. EPA may only issue Section
3008(h) corrective action orders at Federal facilities; no other
orders may be used. States, however, may utilize the full
range of their enforcement authorities at Federal facilities.
When a Federal facility is out of compliance with the RCRA
regulations, EPA issues a notice of non-compliance, outlining
violations at the facility and continuing a compliance schedule,
and a timetable for regaining compliance with RCRA. After
the notice of non-compliance has been issued, EPA and the
Federal facility will negotiate an agreement outlining the steps
to bring the facility back into compliance.
In cases where corrective action is required at a Federal
facility, EPA may issue either a Section 3008(h) corrective
action order or a permit schedule of compliance to achieve
compliance with the corrective action requirements. As with
non-Federal facilities, the choice of using an order or a permit
to secure corrective action at facilities seeking permits is made
;on a case-by-case basis.
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ENFORCEMENT
AGENCY
FUNCTIONS
SUMMARY
Waste management activities at Federal facilities will often be
managed by a private contractor. In this case, EPA has full
authority to take enforcement activities against the contractor
for violations of RCRA.
Responsibility for the various actions that make up the RCRA
enforcement program is divided among different Headquarters
offices, the EPA Regions, and State agencies. Headquarters
is responsible for setting nationwide policy, monitoring
Regional and State activities, and providing technical support.
The Regions take the primary 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 S tates take primary responsibility for enforcement.
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.
There are two essential elements to RCRA's enforcement
program - compliance monitoring and enforcement actions.
Compliance monitoring is used to determine a handler's level
of compliance with RCRA's regulatory requirements. The
two primary methods of collecting compliance monitoring
data are:
• Inspections by State or EPA officials
• Examinations of the reports' that each handler is required
to submit.
Inspections must be conducted:
• Annually at all Federal- or State-operated facilities
• At least once every two years at each TSDF.
The six types of inspections conducted under the RCRA
program are:
• Compliance Evaluation Inspection (CEI)
• Case Development Inspection (GDI)
• Comprehensive Ground-Water Monitoring Evaluation
(CME)
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• • Compliance Sampling Inspection (CSI)
• Operations and Maintenance Inspection (O & M)
• Laboratory Audit.
Either EPA or an authorized State may lead the inspection.
A primary goal of enforcement actions is to bring facilities
into compliance and keep them there. Enforcement actions
may be taken when a facility is found to be:
• Out of compliance with applicable Subtitle C regulations
• Releasing nonhazardous or hazardous solid waste, or
hazardous constituents.
Enforcement of RCRA is different at Federal facilities. EPA
negotiates compliance agreements with Federal facilities.
Authorized States, however, may issue administrative orders
or take other enforcement actions at Federal Facilities.
The enforcement options available under RCRA are:
• Administrative actions
Informal actions
- Administrative Orders under Section 3008(a),
Section 3008(h), Section 3013, and Section 7003
• Civil actions
Compliance action
- • Corrective action
Monitoring and analysis
Imminent hazard
• Criminal actions.
The responsibility for the various enforcement actions is
divided among different Headquarters offices, EPA Regions,
and authorized State agencies.
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CHAPTER 7
STATE AUTHORIZATION
OVERVIEW
DEVELOPING A STATE HAZARDOUS WASTE PROGRAM
- Program Description
- Attorney General's Statement
Memorandum of Agreement
REVIEW OF THE PROPOSED STATE PROGRAM
REVISED APPROVED STATE PROGRAMS
- Withdrawing Approval of State Programs
- Transferring Program Responsibility Back to EPA
GRANTS AND OVERSIGHT
- Priority Setting
State Grants
State Oversight
INFORMATION MANAGEMENT
- HWDMS
- STARS
Biennial Report
SUMMARY
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CHAPTER 7 STATE AUTHORIZATION
OVERVIEW
DEVELOPING A STATE
HAZARDOUS WASTE
PROGRAM
STATE
Congress intended that States assume responsibility for
implementing RCRA, with oversight from the Federal
government. The rationale was that States are more familiar
with the regulated community and are in a better position to
administer the programs and respond to specific State and
local needs most effectively.
The process that States must go through to obtain the
responsibility for the Subtitle C program involves developing
a State hazardous waste program and having it approved by
EPA. This "authorization" process is described below.
Under RCRA, as enacted in 1976, States had two options for
assuming the responsibility to administer the Subtitle C
program: interim or final 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 so that they will qualify for
final authorization. A State may receive interim authorization
if it is "substantially" equivalent to the Federal program.
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 1,1993.
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. 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.
Any State that seeks final authorization for its hazardous
waste program must submit (in accordance with 40 CFR
271.5) an application to the Administrator containing the
following elements:
• A letter from the Governor requesting program approval
• Copies of all applicable State statutes and regulations,
including those governing State administrative procedures
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Program
Description
« Documentation of public participation activities (e.g.,
notice and opportunity for comment on the State program
prior to submittal of the application to EPA)
• A description of the State hazardous waste program
« An Attorney General's statement
• A Memorandum of Agreement.
The first three elements listed above are self-explanatory;
only the last three are described below.
As the name implies, the program description describes how
the State intends to administer the hazardous waste program
in place of the Federal program. It includes in narrative form
the following descriptions:
• Scope, structure, coverage, and processes of the State
program
• State agency or agencies responsible for running the
program
• State-level staff who will carry out the program
• S tate' s compliance tracking and enforcement program
• State's manifest system
• Applicable State procedures, including permitting
procedures and any State administrative or judicial review
procedures
• Any forms used to administer the program under State
law.
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)
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• 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).
If the State chooses to develop a program that is more stringent
and/or broader in scope 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
Subtitle C. For a more detailed discussion of the program
description requirements, see 40 CFR 271.6.
Attorney General's The Attorney General's statement identifies the legal authorities
Statement — statutes, regulations, and where appropriate and necessary,
case law — upon which the State is relying to demonstrate
equivalence with the Federal program. The statement is also
used to explain the State's authorities particularly if, on their
face, they are different from the Federal requirements. The
statement must be signed by the Attorney General or an
authorized designate. State statutes and regulations cited in
the Attorney General' s statement must be fully effective at the
time the program is authorized. For further information on the
Attorney General's statement, see 40 CFR 271.7.
Memorandum
of Agreement
Although a State with an authorized program assumes primary
responsibility for administering Subtitle C, EPA still retains
enforcement authority and oversight responsibilities. The
Memorandum of Agreement (MOA) between the State Director
and the Regional Administrator outlines the nature of these
responsibilities and oversight powers, and the level of
coordination between the State and the EPA in implementing
the program. No two MOAs are exactly alike since they
contain State-specific agreements. However, several
provisions are required by rule and are common to all MOAs.
These include provisions for:
• 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
• Conducting EPA overview of program administration and
enforcement
• Joint processing of permits for those facilities that require
a permit from both the State and EPA
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STATE AUTHORIZATION
RE VIEW OF THE
PROPOSED
STATE PROGRAM
For a State Program to Receive
EPA Appproval it Must
Satisfy the Following Conditions:
• Equivalency/Stringency
Consistency
Enforceability
Notice and hearing in the
permit process.
REVISING
APPROVED
STATE PROGRAMS
• Specifying the types of permit applications that will be
sent to the Regional Administrator for review and comment
• Transferring permitting responsibilities upon authorization.
For a complete listing of what must be included in the MOA,
see 40 CFR 271.8.
Before submitting an application to EPA for approval, a State
must inform the public of its intent to seek program approval
by issuing a public notice. The notice must be widely
distributed, with ample opportunity for the public to review
the application's contents. A public hearing may be held if
sufficient interest is expressed.
Once the State has submitted a complete application to EPA,
the Regional Administrator determines whether or not the
State's program should be authorized. In making this
determination, the Regional Administrator adheres to the
following schedule:
• Tentative Determination - Within 90 days from the receipt
of the complete application the Regional Administrator
must tentatively approve or disapprove the State's
application. The tentative determination is published in
the Federal Register.
• Public Input - The public is given 30 days to comment on
the State's application and the Regional Administrator's
tentative determination. If sufficient interest is expressed,
a public hearing is held within this time period.
• Final Determination - Within 90 days of the notice of the
tentative determination in the Federal Register, the
Regional Administrator decides whether or not to approve
the State's program, taking into account any comments
submitted. This final determination is then published in
the Federal Register.
As Federal and State statutory or regulatory authority is
modified or supplemented, so too must the State program be
revised. If the State initiates a statutory or regulatory change
that affects its approved hazardous waste program, it submits
a copy of the amended statute or rule, a modified program
description, revised MOA, Attorney General's statement, and
any other pertinent documents to EPA. In reviewing the
State's proposed modifications, EPA applies the same
standards used in reviewing the State's initial program
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STATE AUTHORIZATION
application. The revisions become effective upon EPA
approval and notice in the Federal Register.
States must revise their programs to incorporate changes in
the Federal program within certain time frames. For Federal
program changes promulgated pursuant to RCRA, States
must modify their programs by July 1 each year to reflect all
changes to the Federal program occurring during the 12
months preceding the previous July 1. (These annual periods
are referred to as "clusters"; for example, States must modify
their programs by July 1,1990 to reflect all changes from July
1, 1988 to June 30, 1989.) The deadlines for program
modifications may also be extended if a statutory change is
needed (one year) or if a State's legislative or rulemaking
procedures preclude it from meeting the cluster timeframes.
For Federal program changes promulgated pursuant to HS WA,
these "cluster" periods are extended. For a more complete
description of the "cluster" concept, refer to 40 CFR 271. 21.
It is important to note that rules promulgated pursuant to
RCRA take effect only in non-authorized States. An authorized
State must modify its program, submit an application, and
obtain approval from EPA before a RCRA rule may be
implemented. Conversely, rules promulgated pursuant to
HSWA are effective in both authorized and non-authorized
States. EPA implements and enforces HSWA rules until
States modify their programs, submit applications, and receive
approval.
Withdrawing Approved State programs are continually subject to review. If
Approval of the Administrator determines that a State's authorized program
State Programs no longer complies with the appropriate regulatory
requirements, authorization may be withdrawn if the State
fails to take corrective action. Such circumstances include a
failure to:
• Issue permits that conform to the regulatory requirements
• Inspect and monitor activities subject to regulation
• Take appropriate enforcement action.
• Comply with the terms of the MOA.
If program approval is withdrawn, responsibility for
administering Subtitle C reverts to the Federal government.
For a detailed explanation of the withdrawal process, refer to
40 CFR 271. 23.
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CHAPTER?
STATE AUTHORIZATION
Transferring Program
Responsibility
Back to EPA
GRANTSAND
OVERSIGHT
Priority Setting
State Grants
In some cases (e.g., for financial reasons) States with approved
programs may voluntarily transfer the program back to EPA.
To do this, the State must give the Administrator 180 days
notice and submit a plan for the orderly transfer of all relevant
program information necessary for EPA to administer the
program, e.g., permits, permit files.
States are the primary implementers of RCRA and may
receive Federal financial assistance under RCRA Section
3011 to develop and implement their hazardous waste
programs. Grant awards are made annually to States. States
and Regions negotiate the specific work to be accomplished
with these grant funds. EPA conducts oversight of State
programs to ensure that the program as implemented adequately
protects human health and the environment. Priority setting,
State grants and State oversight activities are described briefly
in the following discussion.
EPA outlines its goals and priority program activities in the
annual Agency Operating Guidance. This document identi-
fies the national direction and priorities for implementing
each EPA program, including the RCRA Subtitle C and D
programs. The RCRA priorities in the Operating Guidance
form the basis for Regional and State workload negotiations
for the upcoming year.
Although EPA encourages implementation in accordance
with national priorities, the Agency created the "RIP (RCRA
Implementation Plan) flexibility" concept to acknowledge
that Regions and States may have unique environmental
problems. "RIP flex" allows Regions and States to substitute
activities necessary to address environmentally significant
problems for national priorities. "RIP flex" requires EPA
Headquarters' approval.
In addition to identifying priority RCRA activities, the
Operating Guidance also includes the formula used to determine
RCRA grant allotments. Both authorized and nonauthorized
States are eligible to participate in the RCRA grant program.
States that receive RCRA grant funds must provide a 25%
match. Each EPA Regional Office receives an allotment
based upon factors contained in the grant allocation formula.
This grant formula is based upon, among other things,
population and the hazardous waste generated in the Region.
States submit proposed work plans that outline planned
activities in the upcoming year, including permitting,
enforcement, and program management. Regions then
negotiate with each State in the spring and summer; the State
grant award is made each October.
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CHAPTER?
STATE AUTHORIZATION
State Oversight pngomgoversightoftheentireStatehazardouswasteprogram
is an important role of the Regional staff, with Headquarters'
assistance. The purpose of oversight is to:
STATE
INFORMATION
MANAGEMENT
• 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
Regions use several RCRA guidance documents to conduct
oversight activities, to ensure compliance with statutory and
regulatory requirements, and to implement the EPA/State
division of responsibility. For example, the National Criteria
for a Quality Hazardous Waste Management Program
(OSWER Directive 9545.00-1) contains standards and
requirements for planning and overseeing an adequate RCRA
program. EPA also uses the RCRA Evaluation Guide to
assess State progress and identify areas where States require
assistance. EPA guidance stipulates that States should receive
an annual mid- and end-of-year review of the RCRA Subtitle
C program.
When implementing the RCRA program, EPA and the States
are subject to extensive reporting requirements; various
reporting requirements apply to the regulated community as
well. The objectives of RCRA reporting requirements are to:
• Ensure that the program is adequately managed at the
Headquarters, Regional, and State levels, and
• Provide accurate, up-to-date information to Congress and
the public.
EPA maintains RCRA program information in its national
data base, the Hazardous Waste Data Management System
(HWDMS). States are held accountable for performing
negotiated work and providing detailed information in a series
of reports to indicate progress. The Agency currently tracks
accomplishments through HWDMS reports as well as through
its accountability system, the Strategic Targeted Activities
for Results System (STARS), formerly known as Strategic
Planning and Management System (SPMS). Examples of
types of information tracked include permits issued/denied
and inspection and violation data.
IH-104
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CHAPTER 7
STATE AUTHORIZATION
HWDMS
STARS
Biennial Report
SUMMARY
The RCRA program uses HWDMS to track RCRA Subtitle C
facility-specific data as well as accomplishments. This data
base contains a range of information on permitting and
compliance monitoring activities for all generators,
transporters, and TSDFs. HWDMS is maintained by Regions
and States who submit monthly updates to the data base. A
new data base, the RCRA Information System (RCRIS), has
been developed and is being piloted among the Regions and
States. RCRIS will be phased in to eventually replace
HWDMS.
The S trategic Targeted Activities for Results System (STARS),
formerly known as the Strategic Planning and Management
System (SPMS), is an EPA accountability system that facilitates
integrated planning, tracking, and reporting of major activities
within each of EPA's programs. Each year, EPA establishes
measures to track progress of high priority activities. The
Operating Guidance and STARS measures are developed
concurrently and finalized by March 1 of each year. Once
STARS measures are established, Regions and States negotiate
appropriate targets for many of these actions. Progress is
monitored on a quarterly basis and RCRA STARS data are
stored in HWDMS.
As discussed earlier in this section, RCRA Sections 3002 and
3005 establish requirements for generators and TSDFs to
submit detailed activity reports. These reports must be
submitted to EPA on March 1 of each even-numbered year for
the previous year's hazardous waste activity. Many States
require that this reporting be done annually. States compile
these reports and submit information to EPA Regions by
September of the even-numbered year. This data, known as
the Biennial Report is entered directly into the Biennial
Report Data System (BIRDS) which provides information on
the status of the RCRA program.
Congress intended that States assume responsibility for
implementing RCRA, with oversight from the Federal
government. Any State that seeks final authorization for its
hazardous waste program must submit an application, in
accordance with 40 CFR 271.5, to the Administrator containing
the following elements:
• A letter from the Governor requesting program approval
• Copies of all applicable State statutes and regulations
• Documentation of public participation activities
IE-105
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CHAPTER?
STATE AUTHORIZATION
• A program description
• An Attorney General's statement
• A Memorandum of Agreement.
Before approving an application, EPA must be satisfied that
the State 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 notice and hearing prior to the issuance
of a permit, and
• Provides for public availability of information in
substantially the same manner and to the same degree as
the Federal program.
Approved State programs are subject to:
• Revision
• Withdrawal of approval
• Transfer of program responsibilities back to EPA.
States are the primary implementers of RCRA and may
receive annual grants from EPA under RCRA Section 3011.
States negotiate annual work plans with EPA Regions and
their progress is monitored primarily by Regional staff, with
Headquarters' assistance.
EPA and the States are subject to extensive reporting
requirements when implementing RCRA; various reporting
requirements apply to the regulated community as well.
These requirements include quarterly Strategic Targeted
Activities for Results System (STARS) reporting and biennial
reports. Most RCRA program data is tracked in the EPA
national data base, HWDMS; the new RCRIS data base will
be phased in to eventually replace HWDMS.
m-106
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SECTION IV
SUBTITLE I OF RCRA -
MANAGING UNDERGROUND STORAGE TANKS
OVERVIEW
SCOPE OF THE UNDERGROUND STORAGE TANK PROBLEM
- Major Causes of Tank Failure
THE UNDERGROUND STORAGE TANK REGULATORY PROGRAM
- Program Scope
- Underground Storage Tank Design, Construction, Installation, and Notification
- General Operating Requirements
- Release Detection
Release Reporting, Investigation, and Confirmation
Corrective Action Requirements
- Underground Storage Tank Closure
- Financial Assurance
STATE UNDERGROUND STORAGE TANK PROGRAMS
INSPECTIONS AND ENFORCEMENT
LEAKING UNDERGROUND STORAGE TANK TRUST FUND
SUMMARY
-------
-------
SECTION IV
SUBTITLE I OF RCRA - MANAGING
UNDERGROUND STORAGE TANKS
OVERVIEW
SCOPEOFTHE
UNDERGROUND
STORAGE TANK
PROBLEM
Congress enacted Subtitle I to control and prevent leaks from
underground storage tanks (USTs). The UST program breaks
new ground in that, for the first time, the RCRA program
applies to products as well as wastes. Specifically, Subtitle I
regulates underground tanks storing regulated substances,
including petroleum products (e.g., gasoline and crude oil),
and Superfund-defined hazardous substances. Tanks storing
hazardous wastes, however, are regulated under Subtitle C
(see Section III, Chapter 4).
Subtitle I of HSWA directs EPA to develop performance
standards for new tanks that include: design, construction,
installation, release detection, and compatibility standards for
new tanks and requirements applicable to all tank owners and
operators concerning leak detection, recordkeeping, reporting,
corrective action, and closure. Under authority granted by
RCRA Section 9004, EPA established requirements that a
State UST program must meet in order for EPA to approve the
program. The performance standards, associated regulations,
and the State program approval regulations were promulgated
September 23, 1988, and became effective December 22,
1988. The financial assurance regulations were promulgated
on October 26,1988, and will be phased in over a two-year
period.
The Superfund Amendments and Reauthorization Act of
1986 (SARA) also added Section 9003(h), which gives EPA
(and States under cooperative agreements with EPA) authority
to clean up releases from UST systems or require their owners
and operators to do so. It also establishes a trust fund to
finance some of these activities.
This section describes the UST program regulatory
requirements, State program approval procedures, inspections
and enforcement, and the Leaking Underground Storage Tank
Trust Fund.
There are currently 1.4 million tanks regulated under Subtitle
I of RCRA. The vast majority of these tanks are used to store
petroleum products for retail and industrial purposes. Less
than five percent store hazardous substances. Of the 1.4
million tanks under regulation, 80 percent are believed to be
IV-1
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SECTION IV
SUBTITLE I OF RCRA - MANAGING UNDERGROUND
STORAGETANKS
Major Causes of
Tank Failure
Why Tanks Leak
• Corrosion
• Faulty installation
• Piping failure
• Overfills
THE UNDERGROUND
STORAGE TANK
REGULATORY PROGRAM
made of bare steel, which can quickly corrode, allowing
contaminants to seep into the ground posing a significant
threat to the environment. If, for example, only 10 percent of
the USTs at the nation's service stations leaked, or were to
leak, releases could occur at over 17,000 sites nationwide.
Consequently, leaking underground storage tanks pose a
potentially widespread threat to our nation's ground water.
EPA estimates that the UST corrective action program alone
could cost $60 billion over 30 years, placing it on a par with
the costly Superfund program.
USTs generally release contaminants into the environment in
four ways: corrosion, faulty installation, piping failure, and
overfills. Galvanic corrosion, or the breakdown of hard
refined steel to the natural soft ore, is the most common cause
of release from bare steel UST systems. Because the majority
of older UST systems are bare steel, corrosion is believed to
be the leading cause of releases. The speed and severity of
corrosion varies depending on a number of site-specific factors
(e.g., soil conductivity) that are almost always present when
bare steel is placed underground. Most commonly, part of a
tank becomes .negatively charged with respect to the
surrounding area and acts as a battery. The negatively charged
part of the UST starts to corrode at a rate proportional to the
intensity of the current.
Installation failure encompasses a wide variety of problems,
from faulty tank system installation to accidents when vehicles
collide with gas pumps. Piping failures can often be a major
source of leaks. One EPA study found that piping failure
accounted for a substantial portion of the larger spills at USTs.
Finally, spills and overfills, usually caused by human error,
contribute to tank leakage. Repeated spills also can increase
the corrosive nature of soils.
On September 23, 1988, EPA issued the final technical
performance standards and associated regulations for USTs.
In a separate rulemaking procedure, EPA issued final
regulations for financial responsibility for petroleum product
USTs on October 26,1988. The technical standards for USTs
encompass the following components:
• Program Scope and Interim Prohibition
IV-2
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SECTION IV
SUBTITLE I OF RCRA - MANAGING UNDERGROUND
STORAGE TANKS
Program Scope
The UST Regulated Community
676,000 Retail Motor Fuels
54,000
Chemical Storage
651,000 Petroleum Storage
• Design, Construction, Installation, and Notification
Requirements
« General Operating Requirements
• Release Detection
• Release Reporting, Investigation, and Confirmation
• Corrective Action Requirements
• Underground Storage Tanks
• Financial Assurance.
An underground storage tank is defined as any tank with at
least ten percent of its volume buried below ground, including
any pipes attached to the tank. Thus, above ground tanks with
extensive piping may be regulated under Subtitle I. Unless
exempt, any owner or operator who stores petroleum products
or a substance defined as hazardous under Superfund (exclusive
of Subtitle C hazardous wastes) in a UST, must meet EPA's
regulatory requirements (or the requirement of a State with an
approved program).
Congress included only about one-third of UST systems in the
Subtitle I program, because most USTs are already regulated
under other laws or do not threaten human health and the
environment. Types of tanks to which the UST program does
not apply include:
• Farm and residential tanks holding 1,100 gallons or less
of 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
IV-3
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SECTION IV
SUBTITLE I OF RCRA - MANAGING UNDERGROUND
STORAGE TANKS
• Emergency spill and overfill tanks.
For other underground tanks, such as field-constructed tanks,
EPA has not yet collected enough data to justify regulation.
For a complete listing of tanks excluded from the regulations,
refer to 40 CFR Part 280.
Underground Storage Tank TO facilitate industry implementation, EPA has established
uesign, construction, standards based on existing codes of practice developed by
nationally recognized associations or independent testing
laboratories. The regulations specify national standards for
tank and piping systems and tightness tests. In lieu of the
standards specified in the regulations, new tank and piping
systems may be constructed using alternative standards as
long as they are equally protective of human health and the
environment.
— w"g2*>n} n_^i_rBMU«.ji 1*^4.1 WAAa
Installation, and Notification
New tank systems, piping, and cathodic protection systems
must be designed and installed carefully and in accordance
with industry codes. Tank system installation requirements
are mostly common sense, including securing the tank,
obtaining clean backfill, and ensuring that the substances to be
stored are compatible with the tank system. Tanks must be
properly installed following manufacturer specifications and
certified when installation is satisfactorily completed. They
must also be fitted with equipment to prevent spills and
overfills, a common cause of tank leakage.
Existing USTs must comply with all requirements for new
tanks by December 22, 1998. Any UST system that cannot
meet this deadline must close. By giving the regulated
community the flexibility to plan for and set its own priorities
in upgrading the UST systems, EPA intended to encourage a
more rapid voluntary upgrading. This schedule has also
provided State and local authorities the flexibility to establish
their own schedules for phasing in requirements.
The regulations promulgated pursuant to S ubtitle I established
a notification program for both existing and new tanks. Under
this program, State governors were required by May 1985 to
designate the State or local agency to which tank owners
should send notifications. The law directed EPA to prescribe
the form of the notice, and by May 1986, owners of existing
tanks were to have notified the designated State or local
IV-4
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SECTION IV
SUBTITLE I OF RCRA - MANAGING UNDERGROUND
STORAGETANKS
General Operating
Requirements
Release Detection
agency of each tank's age, size, type, location and use.
Owners of USTs taken out of operation after January 1,1974,
but still in the ground also were to submit information on the
tanks by May 1986. As of May 8,1986, all owners of newly
installed tanks must have notified EPA or the State of the
tank's size, type, location, use, and compliance with applicable
regulations. Additionally, after October 24,1988, sellers of
underground tanks must have notified the buyer of their
notification requirements. A copy of the notification form is
contained in Appendix C.
To prevent spills or overfills, tank owners and operators must
take three steps:
• Ensure that the capacity of the tank is greater than the
volume of product to be transferred
• Have someone present at all times during the transfer
• Use equipment that can prevent or severely limit spills
(e.g., automatic shutoff devices when the tank is almost
full).
As with design and installation requirements, standards for
product transfer are based on established national standards.
Only substances that are compatible with the UST system may
be stored in the unit.
UST systems that have corrosion protection must follow
guidelines for operation and maintenance of corrosion
protection equipment. This includes inspections, record-
keeping, and periodic maintenance as suggested by the
manufacturer. Records must be readily available for agency
officials to review.
Owners and operators may repair existing tanks, but must
ensure that repairs will prevent releases due to structural
failure or corrosion for the remaining life of the tank. Holes
in piping and fittings must be corrected by replacing parts. All
repairs must be made in accordance with manufacturer's
specifications and owners or operators must maintain repair
records.
One of the most important requirements of the UST program
is release detection. Without it, the owners, operators, and
IV-5
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SECTION IV
SUBTITLE I OF RCRA - MANAGING UNDERGROUND
STORAGE TANKS
nearby residents would have to rely on their senses—sight,
taste, or smell—to detect a leak. All facilities must have a
release detection method that:
• Is capable of detecting a release from any portion of the
UST system
• Is installed and maintained in accordance with the
manufacturer's instructions, including routine
inspections
• Is capable of meeting performance standards that have
been designed for the chosen release detection method.
Existing USTs containing petroleum products and hazardous
substances must install a release detection system following a
five-year phase-in period which ends December 22,1993. In
addition, by the same date, tanks used to store hazardous
substances must be retrofitted with secondary containment or
replaced with a double-walled tank to prevent leaks.
Owners and operators of petroleum tanks may use a variety of
methods such as tank tightness tests, soil gas monitoring, and
water table monitoring to comply with the release detection
requirements. Monitoring of the space between the UST inner
wall and the secondary barrier is mandatory for tanks storing
hazardous substances, unless the owner or operator can
demonstrate that another method works equally well.
Release detection options differ for pressurized or suction
piping. Suction piping that meets stringent standards may not
require release detection. Options for piping include:
• Automatic line leak detectors
• Line tightness testing
• Applicable tank methods.
While new UST systems must comply with release detection
requirements immediately, requirements will be phased in for
existing systems. The date by which existing USTs must
comply varies by the age of the tank. Older tanks had to
comply by the end of 1989, while newer tanks have until 1993
to comply. Any existing UST system that cannot comply with
IV-6
-------
SECTION IV
SUBTITLE I OF RCRA - MANAGING UNDERGROUND
STORAGETANKS
Release Reporting,
Investigation,
and Confirmation
Corrective Action
Requirements
the release detection requirements must close.
All suspected releases must be reported within 24 hours. The
facility must investigate and confirm the release. Confirmed
releases must be cleaned up under the corrective action
provisions (see below). Facilities must report any spill or
overfill that:
• Is over 25 gallons (for petroleum) or
• Exceeds a CERCLA reportable quantity (for hazardous
substances).
Spills of regulated substances not exceeding these amounts
must be cleaned up immediately. If the spill cannot be cleaned
up in less than 24 hours, it must be reported to the implementing
agency.
Corrective action for UST systems, like the program for
hazardous waste TSDFs, is designed to ensure that releases of
regulated substances do not threaten human health and the
environment. The corrective action procedure is comprised of
a series of steps; the exact steps to be taken and the level of
response required vary depending on the severity of the
release. Procedures to correct releases for petroleum products
and hazardous substances are the same.
Following immediate response activities (including release
reporting, immediate containment, and monitoring of explosive
hazards), the facility implements initial abatement measures,
including:
• Further containment of the regulated substance to
prevent continued release
• Prevention of further migration of aboveground and
underground releases.
• Continued monitoring and mitigation of explosive
hazards
• Remedying hazards posed by excavated soils resulting
from response activities
IV-7
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SECTION IV
SUBTITLE I OF RCRA - MANAGING UNDERGROUND
STORAGETANKS
• Performing a site check to evaluate the extent of the
release
• Determining the presence of free product on the water
table.
Within 20 days of confirmation of the release, the owner or
operator must submit a report to the implementing agency.
The report details the extent of initial abatement activities.
Within 45 days of confirmation of the release, the owner or
operator must submit a more comprehensive site
characterization report to the implementing agency. The
report includes, if applicable, a discussion of procedures
carried out to remove free product from the water table.
After reviewing the results, the implementing agency
determines whether further, more detailed, response activities
are needed. If further corrective action is required, the
implementing agency will request detailed corrective action
plans, including provisions to remediate contaminated soils,
ground water, and surface water. As with the Subtitle C
program, the public is fully involved in the cleanup process.
Underground Storage The closure requirement for UST systems depend on the
aoK Closure amount of time that the tank system is out of service. Unless
permanently closed, all systems containing regulated
substances must continue to comply with all the normal
regulatory requirements. USTs closed for less than 3 months
have no special requirements. Systems containing substances
regulated under S ubtitle I closed for 3 to 12 months must leave
vent lines open and cap all other lines. After 12 months out of
service, USTs must be closed permanently.
Prior to closing the UST system, the owner or operator must
assess the site to ensure that no releases have occurred. This
usually is done by sampling nearby soil and ground water.
Records of this assessment must be maintained for 3 years
after the tank is closed. Any release that is discovered will be
subject to corrective action. Closure procedures follow
accepted industry codes, including emptying the tank and
filling it with an inert material, or removing the tank from the
ground.
Financial Assurance
In contrast to the Subtitle C TSDF financial assurance
IV-8
-------
SECTION IV
SUBTITLE I OF RCRA - MANAGING UNDERGROUND
STORAGETANKS
requirements.USTshavelessstringentreportingrequirements
and a broader range of allowable financial mechanisms. One
key factor that led to this difference was the size of the
regulated community: there are about 1.4 million USTs,
compared to about 5,000 TSDFs. The size of the UST
regulated community makes the administrative burden of
implementing financial assurance an important consideration.
EPA issued final regulations for financial assurance October
26, 1988, these regulations did not include requirements for
USTs containing hazardous substances. EPA has published
an advance notice of proposed rulemaking on financial
responsibility for hazardous substance USTs.
Under the new petroleumUSTregulations, financial assurance
is required to cover both the cost of any required corrective
action, as well as compensation for third party liability from
accidental releases. State and Federally owned facilities are
exempt from these requirements. Per-occurrence coverage is
set at either $500,000 or $ 1 million depending on the nature of
facility operation (e.g., petroleum markets vs. non-petroleum
markets) and the quantity of product handled. Aggregate
coverage is set at $1 million or $2 million depending on the
number of USTs to be covered.
As noted earlier, owners and operators of petroleum USTs
may use a number of mechanisms to comply with financial
assurance requirements, including all of those allowed for
TSDFs. Other allowable mechanisms are risk retention group
coverage and State assurance. Risk retention groups are
unique in that the individual risks of group members are
transferred to a risk pool administered by the group. In turn,
the members pay a premium for the coverage they receive. If
State assurance is used, the State agrees to provide the required
corrective action and assume liability costs. Owners or
operators usually pay a premium to the State for the coverage
it provides.
If mechanisms for assuring financial responsibility are
generally not available in a State, members of the regulated
community may petition EPA to suspend enforcement of the
financial assurance requirements for 180 days. During this
time facilities must take substantial steps toward obtaining
coverage (e.g., developing a risk retention group).
IV-9
-------
SECTION IV
SUBTITLE I OF RCRA - MANAGING UNDERGROUND
STORAGETANKS
STATE UNDERGROUND
STORAGE TANK
PROGRAMS
STATE
INSPECTIONS AND
ENFORCEMENT
Several States already have, or are developing, regulatory
programs for underground storage tanks. As with other
environmental programs, Subtitle I is designed to avoid
interfering with those State programs and to encourage other
States to press ahead with control programs.
The State program approval regulations, which were
promulgated on September 23, 1989 and became effective
December 23, 1989, establish the program approval process
and the criteria that EPA will use to evaluate and approve S tate
programs.
According to the regulations, EPA will evaluate various
elements of the State program against the corresponding
Federal requirements. EPA must determine that the State's
requirements are "no less stringent" than the Federal program,
and that there is provision for "adequate enforcement".
The Agency has defined the environmental performance
objectives of the Federal standards and these objectives
represent its expectations of what will constitute an adequate
State program; the State must have requirements for all UST
systems that meet those objectives. EPA can authorize a State
to regulate either petroleum USTs, hazardous substance USTs,
or both.
The components of the State application are similar to those
under other EPA programs. States must submit a transmittal
letter from the Governor to EPA requesting program approval
and designating a lead State agency. A description of the
current State program must be supplied, and a Memorandum
of Agreement between the Regional Administrator and the
director of the lead State agency must be signed. The State
must submit a letter from the S tate Attorney General indicating
that the State has the authority to carry out the required UST
program and a copy of all applicable State statutes and
regulations. Finally, the S tate must provide a description of its
compliance monitoring and enforcement procedures.
RCRA provides authority for Federal and State personnel to:
• Request pertinent information from tank owners
• Inspect and sample tanks
IV-10
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SECTION IV
SUBTITLE I OF RCRA - MANAGING UNDERGROUND
STORAGETANKS
LEAKING UNDERGROUND
STORAGE TANK
TRUST FUND
• Monitor and test tanks and surrounding soils, air,
surface water, and ground water
• Respond to violations of tank standards through civil or
administrative actions
• Seek injunctive relief when human health or the
environment are endangered.
EPA may issue compliance orders for any violation of the
UST statute or regulations. A violator who fails to comply
with the order may be subject to a civil penalty of up to
$25,000 per tank per day of non-compliance. In addition, any
owner who knowingly fails to notify or submits false
information, or any owner or operator who fails to comply
with any regulatory requirement under Subtitle I, may be
subject to civil penalties of up to $10,000 per tank per day,
per violation. Criminal penalties are not authorized under
Subtitle I.
As part of the amendments to Superfund, Congress created the
Leaking Underground Storage Tank Trust Fund (Trust Fund)
under Subtitle I. The Trust Fund is financed through a tax on
gasoline, diesel, and aviation, fuels, and is used when the
following conditions are met:
• Cleanup costs exceed coverage requirements of the
financially responsible party
• The owner or operator refuses to comply with a
corrective action, order
• A solvent owner or operator cannot be found
• An emergency situation exists.
In addition to paying for site activities, the Trust Fund may be
used to cover administrative and enforcement costs associated
with a cleanup. The Trust Fund may only be used to clean up
releases of petroleum; cleanups of hazardous substance spills
are covered under Superfund or RCRA's corrective action
provisions.
IV-11
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SECTION IV
SUBTITLE I OF RCRA - MANAGING UNDERGROUND
STORAGE TANKS
SUMMARY
To use the Fund, States enter into a cooperative agreement
with EPA. The cooperative agreement details how the money
is to be disbursed to the State, what it may be used for, and
what percent of the cleanup must be funded by the State.
EPA recently promulgated regulations that affect
underground tanks storing petroleum and hazardous
substances. The regulatory program is broad in scope,
subjecting 1.4 million tanks to notification requirements,
performance standards, leak detection, corrective action,
financial assurance, and closure. The State program
approval regulations are designed to facilitate delegating
the program to the States. Subtitle I provides inspection
authorities to ensure compliance with the regulations.
Subtitle I also gives States with approved programs primary
enforcement responsibility. Congress added the Leaking
Underground Storage Tank Trust Fund to Subtitle I to fund
clean up of certain USTs threatening human health and the
environment. To use the Trust Fund, States enter into a
cooperative agreement with EPA. The cooperative
agreement details how money is to be used and what
action's are to be taken.
IV-12
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SECTION V
SUBTITLE J OF RCRA -
MANAGING MEDICAL WASTE
OVERVIEW
MEDICAL WASTE IDENTIFICATION
Regulated Medical Waste
- Exempted and Excluded Wastes
MEDICAL WASTE GENERATOR REQUIREMENTS
- Pre-Transport Requirements
- Use of the Tracking Form
Exception Reports
MEDICAL WASTE TRANSPORTER REQUIREMENTS
- Transporter Notification
- Use of the Tracking Form
Transporter Semi-Annual Reports
MEDICAL WASTE TREATMENT, DESTRUCTION, AND DISPOSAL
FACILITY REQUIREMENTS
- Use of the Tracking Form
- Tracking Form Discrepancies
On-Site Incinerator Reports
SUMMARY
-------
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SECTION V
SUBTITLE J OF RCRA - MANAGING
MEDICAL WASTE
OVERVIEW
MEDICAL WASTE
IDENTIFICATION
During the summer of 1988, widespread mismanagement of
medical waste led to washups of syringes and other medical
material on the Atlantic seaboard. In response to this problem,
Subtitle J was added to RCRA in November 1988. Subtitle J
instructs EPA to develop a two-year demonstration program
to track medical waste from generation to disposal in the
States that have chosen to participate in the program
(Connecticut, New Jersey, New York, Puerto Rico, and Rhode
Island). After completion of the demonstration program in
1991, the Agency will report its findings on the program to
Congress, which will consider the merits of establishing
nationwide medical waste requirements.
EPA enacted interim final regulations in March 1989. The
regulations, found in 40 CFR Part 259, establish requirements
for medical waste generators, transporters, and treatment,
destruction, and disposal facilities (TDDs). This chapter
describes EPA's framework for medical waste management:
• Medical Waste Identification
• Medical Waste Generator Requirements
• Medical Waste Transporter Requirements
« Medical Waste Treatment, Destruction, and Disposal
Facility Requirements.
Medical waste is defined in 40 CFR 259.10 as any solid waste
that is generated in the diagnosis, treatment, or immunization
of human beings or animals, in related research, biological
production, or testing.
Regulated Regulated medical waste is a subset of all medical wastes and
Medical Waste includes seven distinct categories:
• Cultures and stocks of infectious agents
• Human pathological wastes (e.g., tissues, body parts)
• Human blood and blood products
• Sharps (e.g., hypodermic needles and syringes used in
animal or human patient care)
V-l
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SECTION V
SUBTITLE J OF RCRA - MANAGING MEDICAL WASTE
Exempted and
Excluded Wastes
MEDICAL WASTE
GENERATOR
REQUIREMENTS
• 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)
In addition, mixtures of solid waste and regulated medical
waste are subject to the requirements. Mixtures of hazardous
and regulated medical waste are subject to the 40 CFR Part
259 requirements only if shipment of such a mixture is not
subject to hazardous waste manifesting (e.g., the hazardous
waste is generated by a conditionally exempt generator).
The definition of "medical waste" excludes any hazardous
waste identified or listed under 40 CFR Part 261 or any
household waste defined in 40 CFR 261.4(b)(l). In addition,
residues from treatment and destruction processes, or from
the incineration of regulated medical wastes, are excluded
from the requirements, as are human remains intended to be
buried or cremated. Etiologic agents being shipped pursuant
to other federal regulations, and samples of regulated medical
waste shipped for enforcement purposes are exempt from the
40 CFR Part 259 requirements.
Subtitle J directs EPA to include a requirement to segregate
the regulated medical waste at the point of generation, where
practicable. All generators of regulated medical waste are
subject to the program requirements if they are located in one
of the demonstration States. The tracking requirements for
generators of less than 50 pounds per month are more flexible
than those for larger generators. However, all generators are
subject to the same waste management requirements.
Pre-Transport Generators (including transporters who repackage shipments)
Requirements are responsible for properly handling medical waste before
shipping it off-site. The waste must be segregated into sharps,
fluids, and other wastes and then packed in rigid, leak-
resistant containers. Additionally, sharps must be packed in
puncture resistant, and fluids in leak resistant, containers.
Untreated medical waste must have a water resistant label on
the outside of the packaging identifying it as "infectious
waste" or "medical waste" or displaying the bio-hazard symbol.
Regulated medical waste shipments must be marked with
information identifying the generator and each individual
transporter. Treated wastes need not be labeled.
V-2
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SECTION V
SUBTITLE J OF RCRA - MANAGING MEDICAL WASTE
Use of the
Tracking Form
Medical Waste
Tracking Form
Reports
Exception
Reports
MEDICAL WASTE
TRANSPORTER
REQUIREMENTS
Transporter
Notification
Use of the
Tracking Form
Transporter
Semi-Annual
Reports
MEDICAL WASTE Use of the
TREATMENT, Tracking Form
DESTRUCTION,
AND DISPOSAL FACILITY
REQUIREMENTS
Similar to the hazardous waste manifest, the tracking form is
a mechanism for tracing medical waste from generation
through disposal. Generators must initiate a tracking form for
most off-site shipments of waste. Copies of the form must be
retained by the generator, each transporter, and each facility
handling the waste. Appendix D contains a sample tracking
form.
Generators who do not receive a copy of the original tracking
form within 45 days of the date the shipment was accepted by
the initial transporter must submit an exception report to the
Region in which the generator is located. The report must
include a Copy of the tracking form in question, and adescription
of the efforts the generator made to locate the shipment. The
generator must retain a copy of the report.
Transporters who ship regulated medical waste that was
generated in the demonstration program States must submit a
one time notification to EPA Headquarters. EPA will then
issue the transporter a medical waste identification number to
be used on all tracking forms and on all transporter reports.
Transporters may only accept medical waste shipments that
are properly packaged, labeled, and marked and are
accompanied by a tracking form (if one is required). Upon
delivery of the shipment to a subsequent transporter or to the
facility receiving the waste, a copy of the form must be signed
and retained by the transporter. Transporters must initiate a
tracking form for shipments of medical waste received from
generators of less than 50 pounds per month, who ship less
than 50 pounds. These small shipments may be consolidated
by the transporter onto one tracking form. Transporters may
also consolidate all shipments of less than 220 pounds onto a
single tracking form.
Transporters must submit semi-annual reports to EPA and the
appropriate State agency that details information about their
medical waste shipments. Separate reports must be completed
for each demonstration S tate in which the transporter is active.
All TDDs must sign and return tracking forms to the generator
or the party that initiated the tracking form. Intermediate
handlers (those facilities that treat or destroy regulated medical
waste) must return tracking forms to the original generator for
shipments they receive, and initiate a new tracking form for
shipments of treated or destroyed waste sent to destination
facilities.
V-3
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SECTION V
SUBTITLE J OF RCRA - MANAGING MEDICAL WASTE
Tracking Form Facilities that receive regulated medical waste shipments that
Discrepancies differ in certain respects from the waste indicated on the
tracking form must attempt to resolve the discrepancy. Failing
resolution, they must submit a letter to the Regional
Administrator(s) (for the generator's State and the State where
the TDD is located, if different) and to the generator's State
within 15 days of receiving the waste. The report must explain
the discrepancy and include a copy of the suspect tracking
form.
On-Site
Incinerator Reports
SUMMARY
Owners or operators of incinerators that burn medical wastes
generated on site must submitreports to EPA covering the first
and third six-month periods of the demonstration program.
Thesereports should describe, amongother things, theamounts
of medical waste received and burned on site, and the date and
length of each incineration cycle.
Congress recently added a new Subtitle J to RCRA to address
environmental problems associated with mismanagement of
medical wastes. EPA published interim final rules establishing
a demonstration program for the tracking of medical waste. In
1991, the program will be evaluated for national applicability.
The medical waste regulatory requirements apply to generators
located in the States participating in the program and to
transporters arid facilities nationwide who handle those
generators' wastes.
V-4
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SECTION VI
RCRAAND ITS RELATIONSHIP TO OTHER
ENVIRONMENTAL STATUTES
CHAPTER 1
CHAPTER 2 -
CHAPTER 3 -
LEGISLATIVE FRAMEWORK FOR ADDRESSING
HAZARDOUS WASTE PROBLEMS
SUPERFUND: THE HAZARDOUS WASTE CLEANUP
PROGRAM
RCRA AND SUPERFUND: HOW THE TWO PROGRAMS
INTERACT
-------
-------
SECTION VI RCRA AND ITS RELATIONSHIP
TO OTHER ENVIRONMENTAL
STATUTES
OVERVIEW
FEDERAL
INSECTICIDE,
FUNGICIDE,
AND
RODENTICIDE
ACT
SAFE
DRINKING
WATER
ACT
MARINE
PROTECTION,
RESEARCH
AND
SANCTUARIES
ACT
EPA's role is to protect human health and the environment.
Many environmental laws have been enacted to address
releases, or threats of releases, of hazardous substances.
An understanding of these laws is necessary to see where
RCRA fits into the national environmental protection
program established by Congress. Each environmental
statute has its own particular focus, whether it is controlling
the level of pollutants introducedinto a single environmental
medium (i.e., air, soil, water) or addressing a specific area
of concern, such as pesticides or waste cleanup.
While the segmentation of environmental issues eases the
drafting of legislation, it complicates the implementation
of environmental protection regulations. The media,
practice or 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. Volatile organic compounds such as
benzene or toluene, for instance, can be released into and
contaminate the air, soil, and water. Additionally,
uncontrolledpollutants may travel long distances by natural
means and change physically, affecting multiple media.
Therefore, a medium or contaminant-specific approach
cannot fully address the magnitude and complexities of the
waste management problem.
This section consists of three chapters:
• Chapter 1 - outlines the legislative framework
for addressing environmental
problems.
• Chapter 2 - focuses on one crucial aspect of
this legislative framework, the
Superfund hazardous waste
cleanup program.
VI-1
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SECTION VI
RCRA AND ITS RELATIONSHIP TO
OTHER ENVIRONMENTAL STATUTES
• Chapter 3 - discusses the interactions between
RCRA and Superfund.
VI-2
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CHAPTER 1
LEGISLATIVE FRAMEWORK FOR ADDRESSING
HAZARDOUS WASTE PROBLEMS
OVERVIEW
ENVIRONMENTAL STATUTES
- Comprehensive Environmental Response, Compensation and Liability Act
(CERCLA or Superfund)
- Clean Air Act (CAA.)
- Clean Water Act (CWA)
- Marine Protection, Research, and Sanctuaries Act (MPRSA)
- Safe Drinking Water Act (SDWA) ^^
- Federal Insecticide, Fungicide, and Rodenticide Act (FIFRA)
- Toxic Substances Control Act (TSCA)
SUMMARY
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\
-------
CHAPTER 1 LEGISLATIVE FRAMEWORK FOR
ADDRESSING HAZARDOUS WASTE
PROBLEMS
OVERVIEW
ENVIRONMENTAL STATUTES
Comprehensive Environmental
Response, Compensation,
and Liability Act
(CERCLA or Superfund)
Clean Air Act (CAA)
The legislation that serves as the basis for managing hazardous
wastes can be divided into three categories:
• The central statutory authorities are RCRA and CERCLA.
The former creates a"cradle-to-grave" management system
for current and future wastes while the latter authorizes
cleanup of releases of hazardous substances.
• Several statutes are media-specific, and limit the amount
of wastes introduced into the air, waterways, oceans, and
drinking water.
• Other statutes 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.
RCRA and CERCLA are unique in that their primary purpose
is to protect human health and the environment from the
dangers of hazardous 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.
• Superfund has aresponse focus. Whenever there has been
a breakdown in the waste management system (i.e., a
release of a hazardous substance), the statute authorizes
cleanup actions.
This distinction, while useful for providing an overview, does
not present a complete picture of how RCRA and CERCLA
interact. Chapter 2 provides a more detailed discussion of the
Superfund statute. Chapter 3 examines the multifaceted
relationship between the RCRA and Superfund programs.
Congress enacted the Clean Air Act (CAA), to limit the
emission of pollutants into the atmosphere, in order to protect
human health and the environment from the effects of airborne
VI-3
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CHAPTER 1
LEGISLATIVE FRAMEWORK FOR
ADDRESSING HAZARDOUS WASTE PROBLEMS
Clean Water Act (CWA)
pollution. For six pollutants, EPA has established National
Ambient Air Quality Standards (NAAQS). Regulation of
these six pollutants affords the public some protection from
toxic air pollutants. Primary responsibility for meeting the
requirements of the CAA rests with States, who must submit
plans for achieving the NAAQS. The CAA does not directly
regulate certain toxic metals but its regulation of paniculate
matter may reduce metal emissions as well. Limitations on
total volatile organic compounds may provide protection
from known or suspected carcinogens for which specific air
emission standards do not exist. Under Section 112 of the
CAA, EPA also has the authority to designate hazardous air
pollutants and set National Emission Standards for Hazardous
Air Pollutants (NESHAPS).
The major interactions between RCRA and CAA include the
following:
• Air emissions from incinerators and other types of TSDFs
regulated under RCRA must comply with applicable
ambient standard and/or emission limitations of the CAA.
Using authorities contained in Section 3004 (n) of RCRA,
EPA is developing more stringent air emission standards
for TSDFs.
• Extraction of pollutants from air emissions under CAA
controls (e.g., scrubbers) can create hazardous wastes or
sludges containing such wastes. Disposal of these materials
must comply with RCRA..
The CWA requires a permit for any discharge into the nation's
waterways. For waste materials, only two discharge options
are allowed:
• "Directdischarge" into surface waterpursuant to a National
Pollution Discharge Elimination System (NPDES) permit
• "Indirect discharge," which means that the waste is first
sent to a publicly owned treatment works (POTW), and
then after treatment by the POTW, discharged pursuant to
an NPDES permit.
The NPDES permit is granted on a case-by-case basis and the
terms of the permit depend on a number of variables.
VI-4
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CHAPTER 1
LEGISLATIVE FRAMEWORK FOR
ADDRESSING HAZARDOUS WASTE PROBLEMS
Marine Protection, Research,
and Sanctuaries Act (MPRSA)
Safe Drinking
Water Act (SDWA)
Essentially, the NPDES permit limits the permissible
concentration of toxic constituents or conventional pollutants
in effluents discharged to a waterway.
If the indirect discharge option is chosen, the generator of the
wastes cannot simply transfer the 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, including those for corrective action.
The major interactions between RCRA and CWA are as
follows:
• Sludge resulting from wastewater treatment and
pretreatment under CWA must be handled as a RCRA
waste and disposed of at a RCRA facility if it is hazardous.
• Discharges from a RCRA-permitted facility must be
pursuant to an 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.
MPRSA requires a permit for any material that is transported
from a U.S. port or by a U.S. vessel for deposition at sea.
Therefore, wastes from a RCRA generator or permitted facility
cannot be deposited in the ocean, except according to a
separate MPRSA permit.
The Safe Drinking Water Act (SDWA) protects the nation's
drinking water supply by setting drinking water standards,
known as Maximum Contaminant Levels (MCLs) and
regulating underground injection wells. Both the MCLs and
the Underground Injection Control (UIC) program are
especially relevant to RCRA. The MCLs are sometimes used
by the RCRA program as cleanup standards for corrective
action.
The UIC program bans some types of underground disposal of
wastes considered hazardous under RCRA. With some
exceptions, other materials cannot be injected underground
without aUIC permit. RCRA itself contains parallel provisions
prohibiting underground injection of hazardous wastes.
VI-5
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CHAPTER 1
LEGISLATIVE FRAMEWORK FOR
ADDRESSING HAZARDOUS WASTE PROBLEMS
Federal Insecticide, Fungicide, FIFRA is concerned solely with pesticides, and regulates the
and Rodenticide Act (FIFRA) introduction and uses of these products in the marketplace. As
such, its regulatory focus is different from most of the statutes
discussed in this chapter. While the other statutes attempt to
minimize and manage waste by-products at the end of the
industrial process, FIFRA provides controls as to whether
(and how) certain products are manufactured or sold in the
first place.
FIFRA imposes a system of pesticide product registrations.
These include:
• Pre-market review of potential health and environmental
effects before a pesticide can be introduced in the United
States
PESTICIDE
Toxic Substances
Control Act (TSCA)
• "Re-registration" of products introduced prior to the
enactment of FIFRA to assess their safety in light of
current standards
• 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.
FEFRA's effect on RCRA is indirect. FIFRA controls limit the
level of toxic pesticides that are produced and thereby reduce
the amount of waste that needs to be managed.
TSCA's primary focus is similar to that of FIFRA in that the
statute provides authorities to control the manufacture and
sale of certain chemical substances. The authorities include:
• Testing of chemicals currently in commercial production
or use
• Pre-market screening and regulatory tracking of new
chemical products
• Controlling unreasonable risks once a chemical substance
is determined to have an adverse effect on health or the
environment. These powers include:
- Prohibiting the manufacture or certain uses of the
chemical
- Requiring labeling
VI-6
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CHAPTER 1
LEGISLATIVE FRAMEWORK FOR
ADDRESSING HAZARDOUS WASTE PROBLEMS
SUMMARY
- Limiting volume of production or concentration
- Requiring recordkeeping about production
- Requiring replacement or re-purchase of products
- Controlling disposal methods.
Disposal method authority was exercised for polychlorinated
biphenyls (PCBs). While PCB disposal is generally regulated
by TSCA, RCRA also regulates disposal of PCBs when they
are mixed with hazardous waste.
TSCA has a direct and indirect effect on RCRA. The direct
effect concerns controls on the disposal methods of certain
chemicals such as PCBs. The indirect effect is the same as for
FIFRA: controls on the manufacture and use of certain
chemical substances limit the amount of waste that need to be
managed.
Eight major environmental statutes work together to address
hazardous waste problems. The two central authorities are
RCRA and CERCLA; the former provides for day-to-day
management of wastes while the latter allows for cleanups in
the event of waste releases. The other statutes limit the
amount of waste released into a particular environmental
medium or control the production of certain products. These
other statutes include:
• Clean Air Act
• Clean Water Act
• Marine Protection, Research, and Sanctuaries Act
• Safe Drinking Water Act
• Federal Insecticide, Fungicide, and Rodenticide Act
• Toxic Substances Control Act.
VI-7
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-------
CHAPTER 2
SUPERFUNB: THE HAZARDOUS WASTE
CLEANUP PROGRAM
OVERVIEW
PURPOSE OF SUPERFUND
HISTORY OF THE STATUTE
TRIGGER FOR STATUTORY RESPONSE
TYPES OF RESPONSE ACTIONS
TITLE
SUMMARY
-------
CHAPTER 2
SUPERFUND: THE HAZARDOUS
WASTE CLEANUP PROGRAM
OVERVIEW
PURPOSE OF
SUPERFUND
This chapter focuses on a central part of the legislative
framework for environmental protection: the Superfund
cleanup program established by the Comprehensive
Environmental Response, Compensation, and Liability Act
(CERCLA).
CERCLA is designed to remedy the mistakes in hazardous
waste management made in the past, while RCRA is concerned
with avoiding such mistakes through proper management in
the present and future. As the previous chapter indicated,
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 of a hazardous
substance or of a pollutant or contaminant (that presents an
imminent and substantial threat to human health) into the
environment. In such instances, CERCLA authorizes a number
of government actions to remedy the conditions that could
result in a release or the effects of a release itself. This chapter
discusses why CERCLA was enacted and summarizes some
of the statute's authorities.
Superfund 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 of
these dumps was Love Canal in Niagara Falls, New York,
(near Buffalo) 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 Jimmy Carter declared Love
Canal a Federal disaster area, and most of the residents in the
area around the site were relocated.
VI-8
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CHAPTER 2
SUPERFUND: THE HAZARDOUS WASTE
CLEANUPPROGRAM
HISTORY OF
THE STATUTE
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
management of wastes. Legal actions against the responsible
parties did not offer a solution because they are too time-
consuming. Unfortunately, subsequent investigations
indicated that the scope of the waste dump problem went far
beyond Love Canal making the Federal disaster relief option
impractical. In late 1980, Congress passed CERCLA to
address the "ticking time bombs" represented by thousands of
potential Love Canals throughout the country.
CERCLA, as originally enacted in19.80, 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 healrtvwelfare, or the environment.
• Take appropriate action to remedy those releases.
• See that the parties responsible for the releases 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 "Superfund" (Fund)
consisted primarily of tax assessments on oil and designated
chemicals.
During the five-year period of the original Superfund 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. The Superfund Amendments and Reauthorization
Act of 1986 (SARA) not only extended CERCLA for another
five years, but increased the Fund five-fold: from $1.6 billion
to $8.5 billion. SARA 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.
VI-9
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CHAPTER 2
SUPERFUND: THE HAZARDOUS WASTE
CLEANUP PROGRAM
TRIGGER FOR
STATUTORY
RESPONSE
TYPES OF
RESPONSE
ACTIONS
CERCLA response authorities are triggered by a "release" or
a " substantial threat of a 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.
"Hazardous substance" is defined to include "hazardous waste"
under RCRA, as well as substances regulated under CAA,
CWA, and TSCA. "Pollutant or contaminant" is broadly
defined to include any substance that is reasonably anticipated
to cause illness or deformation in any organism. Both
definitions specifically exclude petroleum and natural gas.
CERCLA authorizes two types of government response actions
to remedy the release of a hazardous substance: removal
actions and remedial actions.
Removals 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.
Remedial actions 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.
(Some current treatment remedies are estimated to cost an
average of $16 million and to take approximately 10 years to
complete.) EPA can take remedial actions only at hazardous
waste sites on the National Priorities List (NPL). Currently,
there are over 1,100 sites either on the NPL or proposed for
inclusion. Sites are placed on the NPL after being evaluated
through the Hazard Ranking System (HRS). The HRS is a
model that determines the relative risk to public health and the
environment posed by hazardous substances in ground water,
surface water, air, and soil. (The HRS is currently being
VI-10
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CHAPTER 2
SUPERFUND: THE HAZARDOUS WASTE
CLEANUP PROGRAM
TITLE III
SUMMARY
revised.) It is possible that both removal and remedial actions
may be taken at the same site.
Title HI of SARA, the Emergency Planning and Community
Right-to-Know Act, was enacted in reaction to the more than
2,000 deaths caused by the release of a toxic chemical in
Bhopal, India. Tide HI has two primary purposes:
• To help communities prepare to respond in the event of a
chemical emergency
• To increase the public's knowledge of the presence and
threat of hazardous chemicals.
To this end, Tide HI 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, aiid 3) designate who will coordinate the
emergency response.
Title IE also requires facilities to notify the appropriate State
and local authorities if releases of certain chemicals occur.
Facilities also must compile specified information about
hazardous substances they have on site and the threat 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.
CERCLA authorizes cleanup responses whenever there is a
release or a substantial threat of a release of a hazardous
substance or of a pollutant or contaminant that presents an
imminent and substantial danger to public health. Two types
of response actions include removals and remedial actions:
removals are short-term actions to address emergency
situations; remedial actions involve a larger expenditure of
time and resources because they provide permanent solutions
to hazardous substance problems.
SARA Title in also provides a number of procedures to
prepare communities for chemical emergencies. These include
emergency planning and community right-to-know
requirements.
VI-11
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-------
CHAPTER 3
RCRA AND SUPERFUND: HOW THE TWO
PROGRAMS INTERACT
OVERVIEW
RELEVANT DEFINITIONS
RCRA AND REMEDY SELECTION UNDER CERCLA
RCRA CORRECTIVE ACTION VS. CERCLA RESPONSE
IMMINENT HAZARDS UNDER RCRA AND CERCLA
SUMMARY
-------
CHAPTER 3
RCRA AND SUPERFUND: HOW
THE TWO PROGRAMS INTERACT
OVERVIEW
RELEVANT
DEFINITIONS
RCRA AND REMEDY
SELECTION
UNDER CERCLA
As presented in the previous chapter, the distinction between
RCRA and CERCLA is that Superfund cleans up releases of
hazardous wastes while RCRA manages those wastes to
prevent releases. More specifically, RCRA authorizes a
general regulatory program to manage all hazardous wastes
from "cradle-to-grave": from generation to ultimate disposal.
CERCLA, on the other hand, provides authority to respond
whenever a release or a substantial threat of a release that
threatens human health or the environment occurs. This
section examines the major areas where the Superfund and
RCRA programs interact.
RCRA and CERCLA both address hazards in the environment.
However, CERCLA is the more comprehensive statute.
CERCLA "hazardous substances" encompass RCRA
"hazardous wastes" as well as other toxic pollutants regulated
by the 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 as "pollutants" or "contaminants" they present an
"imminent and substantial danger."
In assessing cleanup remedies, CERCLA specifically requires
that EPA take into account the "goals, objectives, and
requirements" of RCRA, as well as the long-term uncertainties
associated with land disposal, long-term maintenance costs,
and other considerations typical of 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. Furthermore, EPA
policy provides that removal actions attain ARARs whenever
practicable. This means, forexample, 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 (i.e., 40 CFR
Part 264). EPA has interpreted the law to mean that Superfund
sites are not required to comply with administrative
requirements (e.g., recordkeeping and permits), but RCRA
VI-12
-------
CHAPTER 3
RCRA AND SUPERFUND: HOW
THE TWO PROGRAMS INTERACT
ARARs =
Applicable or
Relevant and
Appropriate
Requirements
RCRA CORRECTIVE
ACTION VS.
CERCLA RESPONSE
technical requirements do apply as ARARs. The National
Contingency Plan (40 CFR Part 300), which is the blueprint
for the Superfund program, details the application of ARARs
to Superfund remedial actions.
Once hazardous wastes are transported from a site, they are
considered as having been "generated" under RCRA.
Therefore, all generation, transportation, andTSD 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 the Subtitle C
requirements. Agency policy requires that the facility be
inspected by EPA six months prior to receiving the waste.
For off-site land disposal of wastes, CERCLA 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.
Finally, after October 1989, EPA may not take or fund
remedial actions in a State unless the State ensures the
availability of 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.
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. The
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" to cover the full
range of possible actions, from studies and interim measures
to full cleanups. Anyone who violates the corrective action
order can be fined up to $25,000 per day of noncompliance
and runs the risk of having interim status suspended or
revoked.
On the whole, the CERCLA response authority has a broader
reach than RCRA's corrective action. The RCRA provisions
VI-13
-------
CHAPTER 3
RCRAANDSUPERFUND: HOW
THE TWO PROGRAMS INTERACT
RCRA AND CERCLA:
DIFFERENT APPROACHES
TO A COMMON GOAL
PROTECTION Of HUMAN HEALTH AND THE
ENVIRONMENT FROM THE RELEASE OF
HAZARDOUS SUBSTANCES
RCRA
•Rtguttsoty
Program
Enumg Safe
Manao«n«m ot
H*urtou»W*if»
A/tdNon-HaMrtout
wai:»
I
t
CERCLA
• RKPOOM Program
To Clawi Up
Hazardous
Substanc* Reteun
IMMINENT HAZARDS
UNDER RCRA
AND CERCLA
apply only to RCRA-regulated facilities. CERCLA, on the
other hand, can be utilized to require response work by any
potentially responsible party (PRP) at any place where there
is a release or potential release. Moreover, the CERCLA
response authorities go beyond requiring responsible parties
to perform cleanup work. Under CERCLA, governmental
and private parties who are not PRPs can perform such work
and receive Fund financing. EPA can then seek reimbursement
from PRPs.
The RCRA and Superfund programs use different labels, but
follow roughly parallel procedures in responding to releases.
In both, the first step after discovery of a release is an
examination of available data to see if an emergency action is
warranted. In both, short-term measures are authorized 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 ranking. CERCLA requires
that site conditions be analyzed according to the HRS and that
only NPL sites receive any remedial action funding. Currently,
no comparable requirement exists in the corrective action
procedures.
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, a State could enter into a cooperative
agreement or the Federal government and the PRPs could
each do a portion of cleanup work pursuant to a mixed funding
settlement agreement.
Both CERCLA and RCRA contain provisions that allow EPA
to require persons contributing to an imminent hazard to take
the necessary actions to clean up releases. Under CERCLA
Section 106, EPA has the authority to abate an imminent or
substantial danger to public health or the environment that
results from a hazardous substance release. The authority
under RCRA Section 7003 is essentially the same, except that
RCRA's imminent hazard provision addresses nonhazardous
as well as hazardous solid waste releases. In an enforcement
action, the CERCLA and RCRA imminent hazard provisions
may be used in tandem to strengthen the government's case.
VI-14
-------
CHAPTER 3
RCRA AND SUPERFUND: HOW
THE TWO PROGRAMS INTERACT
SUMMARY
The general distinction between RCRA and CERCLA is that
the former authorizes management of wastes while the latter
authorizes cleanup responses whenever there is a release of
wastes. However, the two programs overlap. For example,
RCRA standards are considered ARARs and are central to
selecting remedies under CERCLA. Moreover, RCRA's
corrective action and CERCLA's remedial action utilize
parallel (but not identical) procedures. Finally, both statutes
authorize EPA to act in the event of an imminent hazard.
VI-15
-------
-------
SECTION VII
PUBLIC PARTICIPATION
OVERVIEW
GENERAL EPA PUBLIC PARTICIPATION REQUIREMENTS
- Administrative Procedures Act
- Freedom of Information Act
RCRA PUBLIC PARTICIPATION REQUIREMENTS
- Statutory Requirements
Regulations
- Guidance
OUTREACH AND PUBLIC ASSISTANCE
- RCRA/Superfund Hotline
- Office of Ombudsman
SUMMARY
-------
-------
SECTION VII PUBLIC PARTICIPATION
OVERVIEW
PUBLIC
PARTICIPATION
GENERAL EPA
PUBLIC
PARTICIPATION
REQUIREMENTS
Administrative
Procedures Act
The right of the public to participate in government decisions
is basic to our democratic system. In few places is this right
exercised more than in the area of hazardous waste
management. The public is deeply concerned about, and often
fearful of, the potential impacts of hazardous waste on their
health and safety. In recognition of their rights and interest in
hazardous waste management, and in a conscious attempt to
include them in the decisionmaking process, the government
gives the public numerous opportunities to get involved in all
phases of the RCRA program.
The overall goal of public participation is to build trust and
credibility, and to keep emotions, human energy, and conflicts
focused on substantive issues and solutions. Public
participation provides an opportunity for all interested parties
to become informed and involved, and to influence program
development and implementation. Further, EPA managers
have found that active public participation provides a forum to
identify and address concerns thus reducing conflict
This chapter details the public participation framework
established for EPA and, where applicable, specifically for
RCRA. It includes descriptions of the statutory andregulatory
requirements and a summary of guidance materials that address
public participation. :
In consideration of the importance of citizen involvement,
Congress established public participation requirements that
apply to all environmental programs administered by EPA.
They are outlined in the Administrative Procedures Act ((APA)
5 U.S.C. Sections 551-559) and include:
• Providing information and soliciting comments on all
proposed and final Agency actions, e.g., the development
of regulations
• Incorporating public comments into the decisionmaking
process, and
• Establishing an appeals process for certain Agency
decisions.
State employees should consult S tate administrative regulations
for further guidance on public participation requirements.
The participation requirements in the Federal APA assure the
public a voice in EPA decisionmaking.
VIM
-------
SECTION VII
PUBLIC PARTICIPATION
RCRA PUBLIC
PARTICIPATION
REQUIREMENTS
Freedom of The Freedom of Information Act (FOIA) — which serves as
Information Act thegovernment'sprimarymechanismforhandlinginfonnation
requests — guarantees that the public will have access to
governmentrecords, including those of the EPA. Specifically,
it requires each Federal agency to establish procedures for
handling FOIA requests regarding government statutes,
regulations, standards, permit conditions, requirements, orders,
or policies.
EPA, therefore, 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 confidential business
information (CBI), and the need for EPA to promote frank
internal policy deliberations. EPA will disclose information
to any requester to the fullest extent possible without
unjustifiable expense or unnecessary delay.
FOIA requests are written requests for records held by or
believed to be held by EPA. FOIA requests must reasonably
describe the records in a manner that will permit proper
identification of government documents or records. Although
requesters do not need to name the specific documents in
question, they must provide a clear description of the
information they seek. The FOIA refers to all written requests,
regardless of whether the requester refers to the FOIA or not.
Any existing form of information may be covered, but the
FOIA does not require the creation of new records. A FOIA
request can be made by any person, corporation, or
organization.
Because the issues surrounding hazardous waste management
often arouse intense public sentiments, the public participation
framework developed under RCRA further expands citizen
opportunity for involvement well beyond Agency-wide
requirements. This framework has three parts:
• Statutory requirements
• Regulatory requirements, and
• Guidance.
Statutory Requirements When EPA implements the RCRA program within a State, the
Agency gives the public access to facility and site information
relating to permitting, compliance, enforcement, and
inspections. RCRA Section 3006 requires authorized States
to make this information available to the public in a manner
VII-2
-------
SECTION VII
PUBLIC PARTICIPATION
PUBLIC
EPA
substantially similar in method and degree to EPA-
implemented RCRA programs. In certain cases, however, the
information may be confidential and unavailable to the public,
(e.g., when company trade secrets are involved).
• Public Comment: Section 3006 of RCRA requires that
public comments be solicited before:
- A State submits an application for Subtitle C final
authorization
- EPA decides to grant or deny a State authorization
- EPA withdraws a State's authorization, and
- EPA suspends or revokes a hazardous waste facility
permit.
• Enforcement: Section 7002 of RCRA gives fairly broad
legal authority to ensure that the entire RCRA program is
properly implemented. It allows a citizen to bring a civil
suit against any person or government agency alleged to
be in violation of any permit, standard, regulation, condi-
tion, requirement, or order that has become effective
under the Act.
HSWA expanded citizen rights to bring suit against RCRA
violators by allowing private individuals to initiate suits
against any past or present generator, transporter, owner,
or operator of a facility who has contributed to or is
contributing to a condition that may present an imminent
and substantial endangerment to human health and the
environment.
However, the right of citizens to bring suits under Section
7002 is limited in certain situations. No suit may be
brought if EPA or a State is already taking enforcement
action against the alleged violator. HSWA further limits
the reach of such suits by prohibiting them from impeding
permit issuance or facility siting. Finally, citizens are
prohibited from suing transporters for problems that arise
following the delivery of hazardous waste.
VII-3
-------
SECTION VII
PUBLIC PARTICIPATION
Regulations The RCRA regulations under 40 CFR Part 25 focus on:
• Ensuring that the public understands the RCRA
program and any proposed changes to it
STATES
ELECTED
OfRCUlS
MEDIA
CONTRACTORS
PUBLIC
Who Is Involved In
Public Participation?
• Responding to public concerns and including the public
in the decision-making process
• Developing a close link among EPA, States, and the
public, and
• Providing opportunities for public participation beyond
what is required, whenever feasible.
To achieve these regulatory goals, agencies implementing
RCRA are required to:
• Provide free copies of reports upon request
• Alert interested and affected parties of upcoming public
hearings, and
• Establish EPA-funded advisory groups when an issue
warrants sustained input from a core group of citizens.
In addition to the 40 CFR Part 25 regulations, EPA's permitting
regulations (40CFRPart 124) also address public participation
They require the permitting agency to:
• Notify the public of the intent to issue or deny a permit
• Provide the public 45 days to comment on the permit
application
• Consider public comments regarding permit violations,
and
• Notify the public of proposed major modifications to an
operating permit.
In addition, 40 CFR Parts 264 and 265 require public notice
and comments on RCRA closure plans.
In the course of administering EPA programs, agency officials
have access to material containing CBI, e.g., trade secrets and
proprietary information. Because EPA must protect the rights
of those who submit privileged information, employees are
required to take all reasonable measures to prevent unauthorized
disclosure of CBI. Regulations regarding confidentiality are
VII-4
-------
SECTION VII
PUBLIC PARTICIPATION
Guidance
contained in 40 CFR Part 2, Subpart B. These apply to RCRA
as well as other EPA programs.
These regulations identify the proper procedures businesses
must employ to claim confidentiality. In addition, these
regulations establish the guidelines EPA must use to determine
the validity of the claim, and impose rules for handling CBI.
When EPA notifies a business that it must submit confidential
information for review, EPA also must notify the business of
its right to assert a claim of confidentiality. Businesses
responding to EPA's queries must clearly identify all
confidential documents, materials, and information. EPA
then determines the validity of the CBI claim. Businesses can
claim information as confidential if it meets certain criteria,
e. g., it has been previously protected as confidential, or it is not
reasonably obtainable by others.
Employees authorized to use CBI are responsible for the
control of such information and they may discuss CBI only
with other authorized persons. Any violations should be
reported immediately. In addition, employees mustnotdiscuss
CBI over the telephone and when holding confidential
information, they must store the confidential materials in an
approved container when not in use. Finally, when working
with representatives of businesses that have submitted CBI,
employees must verify the representatives' identities before
discussing any of the confidential information.
To supplement its statutory and regulatory requirements, EPA
developed guidance documents regarding public participation
in RCRA permitting. The guidance stresses the importance
of:
• Identifying public concerns early in the permitting process
• Encouraging the exchange of information among EPA,
the State, the permittee, and the community
• Creating open and equal access to the permitting process,
and
• Anticipating conflicts and providing an efficient method
of resolution.
VII-5
-------
SECTION vn
PUBLIC PARTICIPATION
OUTREACH AND PUBLIC
ASSISTANCE
In some cases, EPA or the State may develop a Public
Involvement Plan.' This plan outlines the steps and actions
EPA will take to communicate with the public during the
facility permitting process.
A number of opportunities exist for the public to obtain RCRA
program information and assistance, including fact sheets and
pamphlets. Two particularly noteworthy programs include:
• The RCRA/Superfund Hotline
• The Office of Ombudsman.
RCRA/Superfund Hotline Hazardous waste regulations often seem complex even to
those familiar with EPA's programs. To assist the public in
understanding the RCRA and Superfund programs, EPA
created the RCRA/Superfund Hotline. Anyone may call the
Hotline staff and ask them questions related to the RCRA and
Superfund programs. The Hotline is staffed by professionals
who are completely familiar with the latest issues and
regulations affecting EPA's hazardous waste programs. The
Hotline is open Monday through Friday from 8:30 AM to 7:30
PM, and may be contacted at either (202) 382-3000, or toll free
(800) 424-9346.
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 in Headquarters
and each Region. The primary responsibilities of the
Ombudsman are to respond to questions and complaints
regarding EPA's hazardous waste program. In addition, the
Ombudsman makes recommendations to the Administrator
based on inquiries received. The Headquarters Ombudsman
may be reached at:
Office of Ombudsman
U.S. Environmental Protection Agency
Office of Solid Waste and Emergency
Response
Mail Code OS-130
401 M Street, S.W.
Washington, DC 20460
(202) 475-9361
VII-6
-------
SECTION VII
PUBLIC PARTICIPATION
SUMMARY
The public participation framework developed under RCRA
expands citizen opportunity for involvement well beyond
Agency-wide requirements (outlined in the Administrative
Procedures Act and Freedom of Information Act). This
framework consists of:
• Statutory requirements
• Regulations
• Guidance.
RCRA-mandated programs integrate public comment into
many decisions, including State authorization and facility
permitting.
EPA adheres to legal requirements for the access to and
release of information. In order to protect rights of private
industry, EPA also has set standards for the use of privileged
company data. EPA strictly regulates CBI by carefully
limiting employee access to such information, by strictly
controlling the use and storage of such information, and by
verifyingcorporate identity before discussing such information.
To assist citizens with the RCRA program, EPA created a
number of public outreach programs; the most noteworthy of
these are the RCRA/Superfund Hotline and the Office of the
Ombudsman.
VII-7
-------
-------
APPENDIX A
UNIFORM HAZARDOUS WASTE MANIFEST
-------
-------
Federal Register / Vol. 53, No. 218 / Tuesday, November 8,1988 / Rules and Regulations 4S091
Pleasa print or type. fern dationad ttrutton *M* 112-paeh) rnwwnrar./
Form Approved. OMB No. 2O6O-OO39 Eipirts »•»•»'
UNIFORM HAZARDOUS
WASTE MANIFEST
1 Generator t US EPA ID No
I I I I I I I I I I I
Document No
I I I I I
is not required by federal
tow.
Generator i Name and Mailing Address
Generator's Ptwne <
B, Sttt* Gcmraor's ID
C. Slat* Transporter's"
T&-
Transporter 1 company Name
US EPA ID Number
0. Transporter s Pttone
E. State Transporter's ID
Transporter 2 Company Name
u5EPAl6Nu'mtoer
F. Transporter's Ptwne
G State Facility's ID
Designated Facility Name and Site Address
' U5 6PX ID lumber
H. Facility's
12. Containers
No. Type
1 US DOT Description /Including Proptr Shipping Atone. Hsitnt Class, and ID Number/
Total
Quantity
14
Unit
Wt/Vo
Waste No
K. Handling Codes tor Wastes Usted Above
J. Additional Descriptions for M*tena*s Listed Above
15. Special Handling Instructions and Additional Information
16. tiElviRAtOPVs CERtiFldATtbN: 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.
tf 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.
Month Dty Year
I I I I I I
Printed/Typed Name
Signature
17.Transporter 1 Acknowledgement of Receipt of Materials
Printed/Typed Name
Signature
Month Day Year
I I I I I I
IS.Transporter 2 Acknowledgement of Receipt of Materials
Printed/Typed Name
Signature
Month Day Year
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
111111
EPA Form 8700-22 ("*». S-SS) Previous eonions are obsolete
MLUNQ CODE •MO-W-C
-------
-------
Federal Register / VoL 53, No. 216 / Tuesday. November 8. 1968 / Rules and Regnlationa 45093
Please pnni or type (Form designed (or me on elue (12 pitch) typewriter I
Form Approved OMB No 2050-0039 E»cire* M04T
UNIFORM HAZARDOUS
WASTE MANIFEST
tCtunmumtion Sheet)
21 Generator s US EPA ID No
Mamtest
I Documenl No
22 Page
Informanon in Ihe shaded
areas is not required by Federal
law
23 Generator's Name
L Stare Manifest Document Number
M State Generator's ID
24 Transporter
Company Name
25 US EPA ID Number
State Transporter's 10
,O Transporter's Phone
26 Transporter
Company Name
27 US EPA ID Number
P State Transporter'»ID
tO Transports'I Phone
28 US DOT Description lladudtng Proper Shipping Name. Htiard Class, and ID Number!
29 Containers
No
30
Total
31
Unn
o* tor Material* LiSMd Above
T. Handling Codes for Wastes Listad Above
32 Special Handling Instructions and Additional Information
33 Transporter Acknowledgement ol Receip' o( Maienats
Date
Printed/Typed Name
Signature
34 Transporter Aednowteaqement-o* Receipi ol Materials
Date
Printed/Typed Name
Signature
35 Discrepancy Indication Space
EPA Form 8700-22A (B«v. »-«8) Previous edition is obsolete
[FR Doc. 25774 Filed 11-7-88; 6:45 am]
WUJNO CODE (SW-CO-C
-------
-------
APPENDIX B
LAND DISPOSAL RESTRICTIONS MANIFESTING
-------
-------
Paperwork Which Must Accompany Hazardous Waste Manifests
Waste Stream
LDR waste with
treatment standards
LDR waste without
treatment standards
("soft hammered")*
LDR waste with
treatment standards
subject to variance
Management Alternative Paperwork
Waste concentration exceeds Notification
LDR level. Generator sends to
treatment or storage facility
Waste concentration is below
LDR level. Generator sends to
hazardous waste landfill,
treatment or storage facility
Generator determines there is
no practically available
treatment for the waste. Sends
waste directly to hazardous
waste landfill
Generator sends waste to
practically available
treatment facility, and the
residue is sent to a
hazardous waste landfill
Notification &
Certification
Demonstration
& Certification
Demonstration
& Certification
Management sends waste Notification
directly to hazardous waste
landfill
To Whom
Treatment
or Storage
Facility
Landfill,
Treatment
or Storage
Facility
Regional Admin.
& Landfill
Regional Admin.
& Treatment or
Receiving Facility
Hazardous Waste
Landfill
* "Soft-hammered" designation will no longer be applicable after May 8, 1990
-------
-------
APPENDIX C
UNDERGROUND TANK NOTIFICATION FORM
-------
-------
Notification for Underground Storage Tanks
EPA estimates public reporting burden for mi form to avenge 30 minute per rcjporae, including lime 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. PM-223, VS. Environmental Protection Agency,
401 M St.. S.W.. Washington, D.C. 20460; and to the Office of Inf urination and Regulatory Affairs. Office of Manage-
ment and Budget, Wadungton, D.C. 20503. marked "Attention: De* Officer for EPA."
GENERAL INFORMATION
I.D. Number
FORM APPROVED
OMB NO 2650-0068
APPROVAL EXPIRES 9-30-91
STATE USE ONLY
Date Received
Notification is required by Federal taw for all underground tanks that have been
used to store regulated substances since January 1,1974, that lire in the grounrf 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 locale and evaluate under-
ground tanks that store or have stored petroleum or ha?ardous substances. It is
expected that the information you provide will be based on reasonably available
records, or. in the absence of such records, your 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 the 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
the discontinuation of its use.
What Tanks Are Included? Underground storage lank is denned as any one or
combination of tanks that {I) is used to contain an accumulation of "regulated sub-
stances." and (2) whose volume (including connected underground piping) is 10% or
more beneath the ground. Some examples arc underground tanks storing: I. 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 forconsumptive 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 Ha/ardous 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 of the floor.
What Substances Are Covered? The notification requirements applv to under-
ground storage tanks that contain regulated substances. This includes any substance
defined as ha/ardous in section 101 (14) of the Comprehensive Environmental
Response. Compensation and Liability Act of 1980(CERCLA). with the exception of
those substances regulated as ha/ardous 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? Completed notification forms should be sent to the address
given at the top of this page.
When To Notify? 1. Owners of underground storage tanks in use or that ha\ c been
taken out of operation after January I. 1974. but still in the ground, must noiih by
May 8. 1986. 2. Owners who bring underground storage tanks into use alter Ma> K.
1986, must notify within 30 days of bringing the tanks into use.
Penalties: Any owner who knowingly fails to notify or submits false information
shall be subject to a civil penalty not to exceed 510,000 for each tank for which
notification is not given or for which false information is submitted.
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 man S tanks are owned at this location, photocopy the
reverse side, and staple continuation sheets to this form.
Indicate number of
continuation sheets
attached
I. OWNERSHIP OF TANK(S)
II. LOCATION OF TANK(S)
Owner Name (Corporation, Individual. Public Agency, or Other Entity)
Street Address
County
City
State
ZIP Code
Area Code Pnone Number
Type of Owner (Marie all that apply &)
C] Current (~l State or Local Gov't
I I Former
Federal Gov't
(GSAfacilityLD.no.
D
Private or
Corporate
Ownership
uncertain
(If same as Section 1, mark box here Q )
Facility Name or Company Site Identifier, as applicable
Street Address or State Road, as applicable
County
City (nearest)
State
ZIP Code
Indicate
number of
tanks at this
location
Mark box here if tank(s)
are located on land within i—i
an Indian reservation or L_t
on other Indian trust lands
II. CONTACT PERSON AT TANK LOCATION
Name (If same as Section I, mark box here LJ )
Job Title
IV. TYPE OF NOTIFICATION
Area Code
Phone Number
Mark box here only if this is an amended or subsequent notification for this location.
V. CERTIFICATION (Read and sign after completing Section VI.)
I certify under penalty of law that I 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, I believe that the
submitted information is true, accurate, and complete.
Name and official title of owner or owner's authorized representative
Signature
Date Signed
CiONTINUE ON REVERSE SIDE
EPA Form 753O-1 (Revised 9-88,
Pagel
-------
Owner Mime (from Section I).
. Location (from Section II).
Page No of Pages
| VI. DESCRIPTION OF UNDERGROUND STORAGE TANKS (Complete for each tank at thislocation.) I
Tank Identification No. (e.g., ABC-123), or
Arbitrarily Assigned Sequential Number (e.g., 1 ,2,3...)
1. Status of Tank _ .. . , ,
(Mar* all that applyn) T Cu.^ "i !"Se
' ' Temporanly Out of Use
Permanently Out of Use
Brought into Use after 5/8/86
2. Estimated Age (Years)
3. Estimated Total Capacity (Gallons)
4. Material of Construction „
(Marie one a) „ bteei
1 ' Concrete
Fiberglass Reinforced Plastic
Unknown
Other, Please Specify
5. Internal Protection _
(Mark all that apply W Cathodic Protection
Interior Lining (e.g., epoxy resins)
None
Unknown
Other, Please Specify
6. External Protection ,. .. .. _. . ..
(MaXiJithatapplyn) Cathod.c Protect.cn
i rt», BJ/ pamted (e.g., asphaltic)
Fiberglass Reinforced Plastic Coated
None
Unknown
Other, Please Specify
7. Piping
•(Mark all that apply so) „ , bare^teei
™ ' Galvanized Steel
Fiberglass Reinforced Plastic
Cathodically Protected
Unknown
Other, Please Specify
8. Substance Currently or Last Stored a pm_h.
In Greatest Quantity by Volume a. tmpiy
(Markanthatapplyu). b. Petroleum
Diesel
Kerosene
Gasoline (including alcohol blends)
Used Oil
Other, Please Specify
c. Hazardous Substance
Please Indicate Name of Principal CERCUA Substance
OR
Chemical Abstract Service (CAS) No.
Mark box Q if tank stores a mixture of substances
d. Unknown
9. Additional Information (for tanks permanently
taken out ot service)
a. Estimated date last used (mo/yr)
b. Estimated quantity of substance remaining (gal.)
c. Mark box B if tank was filled with inert material
(e.g., sand, concrete)
Tank No.
CZZI
czzi
CZZI
CZZI
LZZ]
LZZ]
cm
CUD
LZ=I
LZZl
LZZ]
cm
cm
LZZl
LHH
EZH
LZZI
mn
CUD
czn
LZZl
czn
CUD
EZH •
E=H
czn
czn
dZ]
CZZI
dZ]
/
czzi
Tank No.
czn
czn
CUD
czu
CZZI
CZZI
CZZI
CZZI
CZZI
CZZI
CZZI
CZZI
CZZI
CZZI
CZZI
CZZI
CZZI
CZZi
CZZI
CZZI
CZZI
CZZI
CZZI
CZZI
CZZI
CZZI
CZZi
LZZ3
rzn
/
CZZ!
Tank No.
CZZI
CZZI
czn
LZZH
CZZI
CZZI
CZZI
CZZI
CZZI
CZZI
CZZI
CZZI
CZZI
CZZI
CZZI
CZZI
CZZJ
LZZD
CZZI
CZZI
CZZi
CZZI
CZZI
CZZI
CZZI
CZZI
CZZI
CZZI
CZZi
I — I
/
CZZI
Tank No.
CZZl
CZZI
CZZi
CZZI
CZZI
CZZ]
CZZI
CZZI
CZZi
CZZI
CZZI
CZZI
CZZI
CZZi
CZZ)
CZZI
.CZZI
CZZi
CZZI
CZZI
CZZl
CZZI
CZZ
CZZl
CZZl
CZZl
CZZl
CZZl
CZZl
/
CZZI
Tank No.
CZZI
CZZI
CZZl
CZZJ
CZZ)
CZZI
CZZI
CZZ3
CZZI
CZZI
CZZl
CZZI
CZZ]
CZZI
CZZ3
czn
CZZl
CZZI
CZZI
CZZl
CZZl
CZZl
CZZ]
CZZi
CZZl
CZZI
CZZ]
CZZl
CZZI
I — I
/
CZZl
EPA Form 7530-1 (Revised 9-88) Reverse p 2
-------
Owner Name (from Section I).
Location (from Section II).
Page No.
.of.
.Pages
VII CERTIFICATION OF COMPLJIANCEUCOMPLETE' FOR ALL NEW TANKS AT THIS LOCATION)
10. Installation (mark all that apply):
LJ The installer has been certified by the tank and piping manufacturers.
I I The installer has been certified or licensed by the implementing agency.
I | The installation has been inspected and certified by a registered professional engineer.
CJ The installation has been inspected and approved by the implementing agency.
I | All work listed on the manufacturer's installation checklists has been completed.
I | Another method was used as allowed by the implementing agency. Please specify:
11. Release Detection (mark all that apply):
I I Manual tank gauging.
I I Tank tightness testing with inventory controls.
I I Automatic.tank gauging.
I—I Vapor monitoring.
I—I Ground-water monitoring.
I I Interstitial monitoring within a secondary barrier.
I I Interstitial monitoring within secondary containment.
I I Automatic line leak detectors.
I I Line tightness testing.
I I Another method allowed by the implementing agency. Please specify:
12. Corrosion Protection (if applicable)
I I AS specified for coated steel tanks with cathodic protection.
I I As specified for coated steel piping with cathodic protection.
I I Another method allowed by the implementing agency. Please specify:
13. I have financial responsibility in accordance with Subpart I. Please specify:
Method:
Insurer:
Policy Number:
14. OATH: I certify that the information concerning installation provided in Item 10 is true to the best of my belief and knowledge.
Installer: , _ ——
Name
Date
Position
Company
EPA Form 7530-1 (9-88)
Page 3
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APPENDIX D
MEDICAL WASTE TRACKING MANIFEST
-------
-------
MEDICAL WASTE TRACKING FORM
,*&
Generator's Name and Mailing Address
Telephone Number ( )
. Transporter's Name and Mailing Address
EPA Med. Waste ID No.
8. Destination Facility Name and Address
11. US EPA Waste Description
a. Regulated Medical Waste (Untreated)
b. Regulated Medical Waste (Treated)
c: State Regulated Medical Waste
2. Tracking Form Number
4. State Permit or ID No.
6. Telephone Number
7. State Transporter Permit or ID No.
9. Telephone Number
10. State Permit or ID No.
12. Total No.
Containers
13. Total Weight
or Volume
14. Special Handling Instructions and Additional Information
15. Generator's Certification:
Under penalty of criminal and civil prosecution for the making or submission of false statements, representations, or
omissions, I declare, on behalf of the generator
that Ihe contents of this consignment are fully and accurately described above and are classified, packaged, marked, and
labeled in accordance with all applicable State and Federal laws and regulations, and lhat I have been authorized, in writing.
to make such declarations by the person in charge of the generator's operation.
j
Printed/Typed Name
Signature
jo:
INSTRUCTIONS FOR COMPLETING MEDICAL WASTE TRACKING FORM
Copy 1 — GENERATOR COPY: Mailed by Destination Facility to Generator
;opy 2 — DESTINATION FACILITY COPY: Retained by Destination Facility
;opy 3 — TRANSPORTER COPY: Retained by Transporter
!opy 4 — GENERATOR COPY: Retained by Generator
As required under 40 CFR Part 259:
1 This multicopy (4-page) shipping document must accompany each shipment of regulated medical
waste generated in a Covered State.
2. Items numbered 1 -14 must be completed before the generator can sign the certification. Items 4, 7,
10,11c, & 19 are optional unless required by the State. Item 22 must be completed by the
destination facility.
For assistance in completing this form, contact your nearest State office or Regional EPA office, or
call (800) 424-9346.
16. Transporter 1 (Certification of Receipt of Medical Waste as described in items 11, 12, & 13)
Printed/Typed Name
Signature
17. Transporter 2 or Intermediate Handier
(name and address)
EPA Med. Waste ID No.
18. Telephone Number
19. State Transporter
Permit or ID No.
20. Transporter 2 or Intermediate Handler (Certification of Receipt of Medical Waste as
described in items 11,12, & 13)
Printed/Typed Name
Signature
Date
21. New Tracking Form Number (for consolidated or remanifested waste)
22. Destination Facility (Certification of Receipt of Medical Waste as described in items 11.12, & 13)
f_] Received in accordance with items 11,12, & 13
Printed/Typed Name Signature Date
(If other than destination facility, indicate address, phone, and permit or ID no. in box 14.)
23. Discrepancy Box (Any discrepancies should be noted by item number and initials)
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APPENDIX E
EPA ORGANIZATION
-------
-------
-------
-------
EPA
Regional Offices
B os ion
New Y ork
Philadelphia
EL
Regions
4 —Alabama
10 —Alaska
9 —Arizona
6 —Arkansas
9 —California
8 —Colorado
1 —Connecticut
3 — Delaware
3—D.C.
4 —Florida
4 —Georgia
9 —Hawaii
10 —Idaho
5 —Illinois
5 —Indiana
7 — Iowa
7 — Kansas
4 — Kentucky
6 —Louisiana
Regions
1 —Maine
3 —Maryland
1 —Massachusetts
5 —Michigan
5 —Minnesota
4 —Mississippi
7 —Missouri
8 —Montana
7 — Nebraska
9 — Nevada
1 _ New Hampshire
2 —New Jersey
Q — New Mexico
2 — New York
4 —North Carolina
8 — North Dakota
5 —Ohio
6 —Oklahoma
10 —Oregon
Regions
3 —Pennsylvania
1 — Rhode Island
4 —South Carolina
8 —South Dakota
4 —Tennessee
6 —Texas
8 — Utah
1 —Vermont
3 —Virginia
10 —Washington
3 —West Virginia
5 —Wisconsin
8 —Wyoming
g —American Samoa
9 —Guam
2 — Puerto Rico
2 —Virgin Islands
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REGIONAL ADDRESSES AND TELEPHONE NUMBERS
REGION 1 John F. Kennedy Federal Building -- Room 2203
Boston, MA 02203
FTS - 8-835-3715 DDD - (617) 565-3715
REGION 2 26 Federal Plaza ~ Room 900
KfcUiUW 2. New York) ^ 1027g
FTS - 8-264,2657 DDD - (212) 264-2657
REGION 3 841 Chestnut Street
Philadelphia, PA 19107
FTS - 8-597-9800 DDD - (215) 597-9800
REGION 4 345 Courtland Street NE
Atlanta, GA 30365
FTS - 8-257-4727 DDD - (404) 347-4727
REGION 5 230 South Dearborn Street
Chicago, IL 60604
FTS--8-353-2000 DDD--(312) 353-2000
REGION 6 First Interstate Bank Tower at Fountain Place
1445 Ross Avenue - 12th ROOT, Suite 1200
Dallas, TX 75202
FTS - 8-255-6444 DDD - (214) 655-6444
REGION 7 726 Minnesota Avenue
Kansas City, KS 66101
FTS - 8-276-7000 DDD -- (913) 551-7000
REGION 8 One Denver Place - Suite 500
999 18th Street
Denver, CO 80202-2405
FTS -- 8-330-1603
REGION 9 1200 Sixth Avenue
Seattle, WA 98101
FTS - 8-399-1200 DDD -- (206) 442-1200
REGION 10 1235 Mission Street
San Francisco, CA 94103
FTS -- 8-556-6322 DDD ~ (415) 556-6322
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_
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APPENDIX F
HELPFUL ENVIRONMENTAL INFORMATION
NUMBERS
-------
-------
HELPFUL ENVIRONMENTAL INFORMATION
NUMBERS
EPA OFFICE OF SOLID WASTE AND EMERGENCY RESPONSE
Office of Solid Waste and Emergency Response (OSWER)
Office of Ombudsman
Office of Program Management
Office of Solid Waste (OSW)
Office of Underground Storage Tanks (OUST)
Office of Waste Programs Enforcement (OWPE)
Office of Emergency and Remedial Response (OERR)
Chemical Emergency Preparedness Office
Technology Innovation Office
EPA DOCKETS
Resource Conservation and Recovery Act (RCRA)
Comprehensive Environmental Response, Compensation,
and Liability Act (CERCLA)
Clean Air Act (CAA)
Underground Storage Tanks (UST)
Safe Drinking Water Act (SDWA)
Toxic Substances Control Act (TSCA)
Federal Insecticide, Fungicide, and Rodenticide Act (FIFRA)
EPA HOTLINES
RCRA/CERCLA Hotline
202-382-4610
202-475-9361
202-475-8716
202-382-4627
202-382-4756
202-382-4814
202-382-2180
202.-475-8600
202-475-8716
202-475-9327
202-382-3046
202-382-7548
202/475-9720
202-382-7380
202-382-3587
202-557-2805
202-382-3000
800-424-9346
FIFRA/General Pesticide Information
202-557-7090
800-858-7378
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HELPFUL ENVIRONMENTAL INFORMATION
NUMBERS (continued)
TSCA Asbestos Hotline
Safe Drinking Water Act Hotline
Chemical Emergency Preparedness Program (CEPP) Hotline
Asbestos in Schools Hotline
OTHER INFORMATION NUMBERS
EPA Small Business Hotline
EPA Public Information Center
EPA Headquarters Library
National Response Center for Oil and Hazardous Materials Spills
202-554-1404
202-382-5533
800-426-4791
202-479-2449
800-353-0202
202-554-1404
800-835-6700
800-368-5888
202-475-7751
202-382-5921
202-426-2675
800-424-8802
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APPENDIX G
RCRA ACRONYMS
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-------
RCRA Acronyms and Commonly Used Terms
AA
AG
PO
ARAR
ASTSWMO
BOYSNC
CA
CAA
CBI
GDI
CEI
CERCLA
CERCLIS
CFR
CME
CMEL
CMI
CMS
C/PC
Assistant Administrator
Attorney General
Administrative Order
Applicable or Relevant and Appropriate
Requirement
Association of State and Territorial Solid
Waste Management Officials
Beginning-Of-Year Significant Non-
Compliers
Corrective Action
Clean Air Act
Confidential Business Information
Case Development Inspection
Compliance Evaluation Inspection
Comprehensive Environmental Response,
Compensation and Liability Act
CERCLA Information System
Code of Federal Regulations
Comprehensive Ground Water Monitoring
Evaluation
Compliance Monitoring Evaluation Log
Corrective Measures Implementation
Corrective Measures Study
Closure/Post-closure
-------
CSI
CWA
DAA
DOE
DOT
DOT
EPI
ERP
FFCA
FFIS
FIFRA
FOIA
FR
FY
GWM
HWDMS
HSWA
IDF
LDR
LOIS
MOA
Compliance Sampling Inspection
Clean Water Act
Deputy Assistant Administrator
Department of Energy
Department of Justice
Department of Transportation
Environmental Priorities Initiative
Enforcement Response Policy
Federal Facility Compliance Agreement
Federal Facility Information System
Federal Insecticide, Fungicide and
Rodenticide Act
Freedom of Information Act
Federal Register
Fiscal Year
Ground-Water Monitoring
Hazardous Waste Data Management System
Hazardous and Solid Waste Amendments of
1984
Land Disposal Facility
Land Disposal Restrictions
Loss of Interim Status
Memorandum of Agreement
-------
MPRSA
Marine Protection, Research and
Sanctuaries Act
MSWLF
NOD
NOV
NPL
NRC
NSWMA
OERR
GSM
OMB
0/0
OSW
OSWER
OUST
OWPE
RA
RCRA
RCRIS
RD&D
RFA
RFI
Municipal Solid Waste Landfill
Notice of Deficiency
Notice of Violation
National Priorities List
Nuclear Regulatory Commission; National
Response Center
National Solid Waste Management
Association
Office of Emergency and Remedial Response
Operation and Maintenance
Office of Management and Budget
Owner/Operator
Office of Solid Waste
Office of Solid Waste and Emergency
Response
Office of Underground Storage Tanks
Office of Waste Programs Enforcement
Regional Administrator
Resources Conservation and Recovery Act
RCRA Information System
Research, Demonstration and Development
RCRA Facility Assessment
RCRA Facility Investigation
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RIP
SARA
SCRAM
SDWA
SNC
SOP
STARS
SQG
SWMU
T£GD
TSCA
TSDF
UST
RCRA Implementation Plan
Superfund Amendments and
Reathorization Act of 1986
The State Consolidated RCRA Authorization
Manual
Safe Drinking Water Act
Significant Non-Complier
Standard Operating Procedures
Strategic Targeted Activities
for Results System
Small Quantity Generator
Solid Waste Management Unit
Technical Enforcement Guidance Document
Toxic Substances Control Act
Treatment, Storage, and Disposal Facility
Underground Storage Tank
•U.S. GOVERNMENT PRIKTING OFFICE: 1995-619-795
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