"
OSWER Policy Directive #9527.00-1A
GUIDANCE MANUAL FOR
RESEARCH, DEVELOPMENT, AND DEMONSTRATION PERMITS
UNDER 40 CFR SECTION 270.65
EPA/530-SW-86-008
July 1986
UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
Office Of Solid Waste
Permits and State Programs Division
Washington, DC 20460
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OSWER Policy Directive #9527.00-1A
TABLE OF CONTENTS
Page
Foreword " ii
Acknowledgements v
Executive Summary vi
Section 1. INTRODUCTION
1.1 Purpose of this Manual 1
1.2 The RD&D Permit Provision 1
1.3 Relationship to Other HSWA Provisions 2
1.4 Treatment Activities Excluded from RCRA
( Permitting 3
.1.5 Construction Prior to Permitting 3
1.6 Authority to Issue RD&D Permits 4
Section 2. CRITERIA FOR RESEARCH, DEVELOPMENT, AND
DEMONSTRATION PERMITS
2.1 Purpose of the Experimental Operation 6
2.2 Treatment of Hazardous Waste in Units or Devices
Made Primarily from Non-earthen Materials 7
2.3 Scale of Operation 8
2.4 Amount of Time to Conduct the Experiment 9
Section 3. THE PERMITTING PROCEDURE INCLUDING
PUBLIC PARTICIPATION
3.1 Submitting the Permit Application 10
3.2 Eligibility Determination of the Research Proposal 10
3.3 Draft Permit 11
3.4 Public Participation 12
^3.5 Effective Date of the Permit ; 12
Section 4. THE PERMIT APPLICATION
4.1 Scope of the Application 14
4.2 General Application Information..... > 15
4.3 Facility Description., 17
4.4 Waste Analysis 17
4.5 Handling Incompatible Wastes 18
4.6 Monitoring, Inspection, and Emergency Procedures.... 18
4.7 Reporting & Reco rd keep ing. 19
4.8 Personnel Qualifications. 20
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OSWER Policy Directive #9527.00-1A
TABLE OF CONTENTS
Appendix 4,
Appendix 5.
Appendix 6. Answers to Frequently Asked Questions About
the RD&D Permit Program
Appendix 7.
Telephone Directory for the Office of Research
and Development, Alternative Technologies
Division and the Office of Environmental
Engineering and Technology
Page
4.9 Closure .,, 20
4.9.1 Closure Plan 21
4.10 Financial Responsibility 22
4.10.1 Financial Assurance for Closure , 22
4.10.2 Liability Coverage for Sudden Accidental
Occurrences 23
4.11 Signatories to the Permit Application and Reports... 24
4.12 Confidential Business Information 25
4.13 Delisting 25
Section 5. PERMIT TERMS AND CONDITIONS
•
'5.1 Permit Conditions. 28
5.1.1 Standard Conditions 28
5.1.2 General Conditions 29
5.2 Permit Transfers 30
5.3 Term of the Permit 30
5.4 Waivers, Modifications, Termination and Renewal..... 30
5.4.1 Terminating the Permit 31
5.4.2 Permit Renewal '....... 31
5.5 Closure Procedures 32
Appendix 1. 40 CFR S270.65
Appendix 2. EPA Regional RCRA Division Directors
Appendix 3. State Solid and Hazardous Waste Agencies
Permit Application Checklist
Technical Assistance Documents
Appendix 8. Summary Form for Research, Development, and
Demonstration Permit Applications
Appendix 9. Research, Development, and Demonstration Permit
Process
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OSWER Policy Directive 09527.00-1A
ACKNOWLEDGEMENTS
This document was prepared by the Permits Branch in the-Office
of Solid Waste. The principal EPA authors were Nancy Pomerleau
and Arthur Glazer. The authors wish to acknowledge the assist-
ance of Headquarters and Regional staff whose efforts led to the
completion of this manual. Special thanks are given to Ken Gray,
Mike Northridge, Bob Tonetti, Denise Hawkins, Marc Turgeon,
Irene Horner, Jim Cumminf:, Clyde Dial, and C.C. Lee for
providing timely reviews, excellent technical advice and legal
interpretations.
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OSWER Policy Directive #9527.00-1 A ' r
EXECUTIVE SUMMARY
Section 3005(g) of RCRA, which is codified in 40 CFR
S270.65, allows EPA to issue research, development, and
demonstration permits (RD&D). A primary purpose of RD&D permits
is to develop safe alternatives to land disposal of hazardous
wastes. RD&D permits will allow the testing and demonstration
of innovative and experimental treatment technologies and
processes which are not yet subject to experimental activity
standards under RCRA Parts 264 or 266.
To expedite permit issuance, the permitting authority may
modify or waive the permit application and issuance requirements
'of RCRA, except for the financial responsibility requirements
'and the procedures for public participation. RD&D permits
must also include terms and conditions that assure protection "
of human health and the environment. Moreover, the permit term
is limited to one year of operation and may be renewed three
times. Also, the corrective action requirements for releases
from solid waste management units do not apply to RD&D facilities,
EPA will issue RD&D permits until States apply for and
receive authorization to issue these permits. However, if a
State is authorized to issue general RCRA permits for the
technology involved in the RD&D experiment (e.g., treatment in
a tank or incinerators), they must determine whether to issue
a full RCRA permit or defer to EPA to process an RD&D permit.
EPA will not issue an RD&D permit if an authorized State chooses
to issue a full RCRA permit for experimental activities. When
EPA issues an RD&D permit, a State or locality may impose
additional requirements on the facility under State law or
local ordinance.
To expedite the review of RD&D proposals, EPA encourages
permit applicants to summarize the research in a letter before
attempting to prepare a permit application. This letter should
(1) state the purpose of the research, (2) explain why the
research is experimental and innovative, and (3) summarize the
research objectives. The permitting authority will generally
review the proposal within 30 days of receipt to tentatively
determine if it is eligible for an RD&D permit and to identify
additional information needed to prepare a complete application.
The level of detail in RD&D permit applications will
be determined by a combination of site-specific factors such
as facility size, type and quantity of waste, duration of
experimental activity, potential for health or environmental
damage, and the applicant's staff experience and qualifications.
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OSWER Policy Directive f?527.00-1A
Any anticipated or potential operating or equipment changes
to the facility should be included in the permit to preclude
the need for permit modifications.
The Office of Solid Waste in Washington, DC maintains a
clearinghouse of information on the type of RD&D technologies
and processes and the results of permitted activities. This
information is available to any persons upon request and should
be useful to both permit applicants and permit writers when
the demonstrated technology or process is considered for
commercial use.
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OSWER Policy Directive #9527.00-1A
1. INTRODUCTION
1.1 Purpose of this Manual
This guidance manual is intended to aid both permit appli-
cants and permit writers. It provides guidance in preparing
perrxt applications and in drafting permit conditions for
research, development, and demonstration permits (RD&D), pursu-
ant to f-f requirements of Section 3005(g) of the Resource
Conservation and Recovery Act (RCRA), which has been codified
in 40 CFR Section 270.65.
Because each RD&D proposal is unique, this manual provides
a general framework for evaluating these proposals and issuing
the RD&D permits; it does not provide a rigid set of procedures
and application requirements for all types of RD&D proposals.
To take advantage of the flexibility allowed in issuing RD&D
permits , each proposal must be reviewed individually to determine
the appropriate types of information and level of detail that
will be required from the applicant to establish conditions in
the permit.
1.2 The RD&D Permit Provision
Subtitle C of the Resource Conservation and Recovery Act
(RCRA) (Public Law 94-580) requires the U.S. Environmental
Protection Agency to develop regulations for issuing permits
for the treatment, storage, and disposal of any hazardous
waste that is identified or listed under the Subtitle. The
Hazardous and Solid Waste Amendments of 1984 (HSWA) (Public
Law 98-616) amended Section 3005 of RCRA to give the Agency
new permit authority under Section 3005(g) to issue research,
development, and demonstration (RD&D) permits for innovative
'and experimental hazardous waste treatment technologies or
processes. The Agency has codified this new authority in 40
CFR S270.65 of its regulations (50 FR 28752-3, July 15, 1985).
The purpose of RD&D permits is to aid the development of safe
alternatives to land disposal of hazardous wastes by allowing
applicants to conduct experimental testing or demonstration of
new hazardous waste treatment technologies or processes by
modifying or waiving most of the RCRA permit application and
procedural requirements.
The statute and S270.65(a) authorize the Administrator to
issue permits to any activities which use an innovative and
experimental hazardous waste treatment technology or process.
These activities may involve technologies which could be permit-
ted under 40 CFR Part 264 or 266 or technologies or processes
which are not yet subject to RCRA Part 264 or 266 regulations.
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OSWER Policy Directive #9527.00-1A
However, if pennic standards for an innovative and experimental
activity are promulgated, those standards may apply in lieu of
5270.65.
The statute in §3005(g)(1) and the regulations in 40 CFR
§270.65(a) generally provide the substantive standards for RD&D
permits; permits are to include terms and conditions as will
"assure protection of human health and the environment". Under
this new authority, EPA may select any appropriate requirements
that assure adequate protection and EPA may establish permit
conditions without separately establishing regulations to imple-
ment such criteria* However, where appropriate, the Agency
will apply the substantive requirements of 40 CFR Parts 264
and 266. In addition, EPA is directed by Congress to include
two specific substantive requirements in RD&D permits: the types
t'and quantities of hazardous waste and financial responsibility
requirements.
-^
The statute in S3005(g)(2) and 40 CFR §270.65(b) address
the procedures for issuing RD&D permits. They provide that the
Administrator may "modify or waive permit application and permit
issuance requirements established in the Administrator's general
permit regulations", however, the statute precludes a waiver of
public participation procedures. Therefore, the procedural
requirements of Parts 270 and 124 will apply to processing the
permit application unless EPA waives such requirements on a
case-by-case basis. The Agency may modify or waive these
requirements (except for public participation procedures), for
the purpose of expediting the review and issuance of permits
'for innovative and experimental activities under this section.
The statute and the regulation also provide limits on the term
of RD&D permits and provide the Agency with the authority to
terminate these permits. A copy of 40 CFR S270.65 is included
in Appendix 1.
1.3 Relationship to the Corrective Action Provision
The corrective action requirements for releases of
hazardous waste or constituents from solid waste management
units, as provided for in the new RCRA S3004(u), added by HSWA,
do not apply to owners or operators seeking an RD&D permit
under §3005(g).
EPA believes that Congress did not intend RD&D permits to
address continuing releases of hazardous waste or constituents
from solid waste management units. In establishing the separate,
new authority under §3005(g) to permit RD&D activities, Congress
distinguished this authority from other RCRA permitting author-
ities for treatment, storage, and disposal activities under
§3005(c). The legislative history also makes clear that con-
tinuing releases were to be addressed for any treatment, storage,
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OSWER Policy Directive #; 27.00-1A
or disposal facility seeking a permit under S3005(c) (129
Cong. Rec., ffl1129, daily ed., October 3, 1984); moreover,
Congress intended the RD&D permit process to expedite review
and issuance of such permits. In 53005(g), EPA was therefore
directed to issue permits for the RD&D activity and was not
directed to address other activities or releases in these
permits.
1.4 Treatment Activities Excluded from RCRA Permitting
Persons engaged in treatment activities listed in 40 CFR
SS270.1(c)(2), 270.1(c)(3), and S264.1(g) are not required to
obtain a RCRA permit when treating hazardous wastes. The most
significant of these activities, in terms of the RD&D permit
program, include: (1) a small quantity generator of less than
1,00kg of hazardous waste in a calendar month who is conditionally
exempt from most of the RCRA regulations, pursuant to S261.5
(51 FR 10146-10178, March 24, 1986), and who is using a technology
or process on-site to treat his own hazardous wastes (providing
the facility is permitted, licensed, or registered by a State
to manage industrial or municipal solid waste); (2) a person
who owns or operates a facility to conduct laboratory or bench-
scale testing of hazardous wastes solely to determine its
characteristics or composition (S261.4(d)); [Note that laboratory,
bench-scale, or pilot-scale tesing of commercial chemicals in
"synthetic mixtures" is not regulated by RCRA because these
mixtures are not considered hazardous wastes]; (3) the owner or
operator of a facility managing recyclable materials, as defined
in S264.1(g)(2) to the extent that the waste in the experimental
unit is exempted as a recyclable material; or (4) owners or
operators of elementary neutralization units or wastewater
treatment units (i.e., tanks) as defined in S260.10. In this
last case, a generator with a unit meeting the definition of a
"wastewater treatment unit" and who adds a wastewater treatment
unit to the process, such as a sludge dryer, will continue to
"be exempt from RCRA permitting, even if the wastewater treatment
unit is intended for a temporary demonstration to a potential
client. .
1.5 Construction Prior to Permitting
RCRA S3005(a), as amended by the Hazardous and Solid Waste
Amendments of 1984, requires owners and operators of all
hazardous waste treatment, storage, and disposal facilities to
obtain a RCRA permit prior to constructing a RCRA facility,
including RD&D facilities. Since the RD&D provisions of RCRA
S3005(g)(2) and 40 CFR §270.65(b) only allow EPA to modify or
waive the permit application and procedural requirements of
40 CFR Parts 270 and 124, not the statutory requirements of
RCRA, a RCRA permit is required before the facility can be
constructed.
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OSWER Policy Directive #9527.00-1A
EPA recognizes chat some RD&D facilities will consist of
using existing buildings or structures, such as commercial,
private, or government laboratories to demonstrate and/or
develop laboratory-scale, bench-scale, or pilot-scale
hazardous waste treatment technologies or processes inside or
outside of the building. Furthermore, in many cases, the
treatment units intended for testing under an RD&D permit may
already be installed and/or operated with non-hazardous wastes
at the facility prior to applying for an RD&D permit. These
types of situations do not violate the RCRA construction ban.
Moreover, EPA believes that RD&D permit applicants can
procure, manufacture, and assemble RD&D "units", such as mobile
treatment units (MTU), at the proposed treatment site before
obtaining the RD&D permit. However, although these units can
,be prefabricated and transported to the proposed RD&D treatment
.site, construction of the site itself, such as pouring concrete
foundations, connecting the MTU to physical structures on-site5-
and pre-testing the unit with hazardous wastes cannot occur
until the RD&D permit is issued (see RCRA 81004(2) for the •
definition of "construction").
1.6 Authority to Issue RD&D Permits
f
When EPA administers the RD&D permit program, permit
applicants should send their eligibility proposals (see section
3.2) or permit applications (see section 4.2) directly to the
EPA Regional Office (see Appendix 2). The Regional Office will
determine if the RD&D project meets the criteria of an RD&D
-permit (see section 2 of this manual) and then they will forward
a copy to the State to allow them to determine if any State
authorities apply. External to the Federal RD&D permit, a
State or locality may impose additional, non-RCRA requirements
on the RD&D facility under State law or local ordinance.
States may not issue RCRA RD&D permits until they are
explicitly authorized by EPA. However, if a State has been
authorized to issue general (non-RD&D) RCRA permits for the
technology involved in the RD&D experiment (e.g., treatment in
a tank or incineration), the State must determine whether it
will issue a RCRA permit for the proposed experiment. If the
State has authority to issue a RCRA permit and decides to do
so, EPA will not issue a Federal RD&D permit (see also section
3.1). On the other hand, if the State decides not to issue a
full RCRA permit, EPA will proceed to issue an RD&D permit.
In this case, the State Hazardous Waste Agency (see Appendix 3)
should send a letter to the Regional EPA Hazardous Waste Division
Director acknowledging that they will defer issuing a full
RCRA permit to the Federal government.
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OSWER Policy Directive #9527.00-1A
EPA encourages States to seek authorization to issue RD&D
permits to develop and demonstrate non-land disposal treatment
technologies and processes. Under RCRA $3009, State programs
may be more stringent than the Federal program.
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OSWER Policy Directive #9527.00-1A
2. CRITERIA FOR RESEARCH, DEVELOPMENT,
AND DEMONSTRATION PERMITS
The Agency expects that RD&D proposals will include a
variety of demonstration and experimental activities such as
small-scale original research, state-of-the-art technologies
and processes, and modifications of existing technologies or
processes, which may have been used for treating non-hazardous
wastes or other hazardous wastes. Furthermore, the Agency
recognizes that RD&D facilities will involve testing of one or
more technologies or processes at laboratory-scale, bench-scale,
pilot-scale, and/or full-scale. At a minimum, RD&D permits
will allow research, development, and demonstration with units
•that either have never been used commercially or where the
'permit applicant intends to refine, develop, or improve per-
formance, or demonstrate cost-efficiency of commercially demon-.
strated technologies' or processes (providing these demonstrations
are experimental and innovative).
Although the term "innovative and experimental" is not
defined in S270.65, the legislative history of this provision
provides criteria that the Agency will use in evaluating RD&D
proposals. Congress clearly intended that RD&D permits be used
for: (1) the purpose of generating new information to evaluate
the technical or economic feasibility of an innovative and
experimental waste management technology, process, method,
or device; (2) treating hazardous waste in a unit or device
made primarily from non-earthen materials; (3) treating limited
quantities of waste at a scale of operation necessary to
conduct the experiment; and, (4) operation for a period of
time necessary to adequately prove the feasibility of the
technology or process.
2.1 Purpose of the Experimental Operation
The purpose of RD&D facilities must be to gather new data
about the technical and/or economic feasibility of innovative and
experimental treatment technologies, processes,, methods, devices,
or equipment systems for the development of sound treatment
practices. Processes or devices that would not qualify for an
RD&D permit are those where (1) the same unit or an identical unit
has already demonstrated the feasibility or infeasibility of
the unit to treat the same type of waste stream(s), of similar
chemical composition, under the same or similar types of operating
conditions and (2) the primary purpose of the RD&D activities
is to produce revenue by treating hazardous wastes on a commercial
basis or to treat wastes generated on-site.
The following examples illustrate the type of activities
that would qualify for RD&D permits under $270.65:
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OSWER Policy Directive * .27.00-1A
Example 1; New Technologies or Processes - The construction
and demonstration of a pilot-scale unit to demonstrate the
technical and economic feasibility, and performance capability
of a new hazardous waste treatment technology, process.-or
system. (If this demonstration is successful, a larger unit
or prototype may also be permitted as RD&D, providing that the
permittee can demonstrate that this larger unit is needed to
further identify the technical capabilities of the unit.)
Example 2: Tailoring Existing Technologies - Equipment
vendors often custom-design treatment equipment (e.g., tanks,
incinerators) based on site-specific design needs and operating
conditions. The vendor may need to test the equipment on a
pilot-scale using samples of the customer's hazardous wastes
to determine the reliability or effectiveness of the custom-
built equipment.
Example 3; Improving Existing Technologies - A
manufacturer or user of a particular commercial treatment
process may want to improve the efficiency of the process, refine
its performance capabilities, or reduce the concentration or
presence of emissions, by constructing a pilot-scale version
of the treatment unit to operate under experimental conditions.
2.2 Treatment of Hazardous Waste in Units or Devices Made
Primarily From Non-earthen Materials
RD&D units may be either stationary or mobile treatment
units. The term "non-earthen materials" means that projects
involving the placement of hazardous waste directly into or
onto the land or water (e.g., by land treatment J_/ or placement
of waste in surface impoundments, landfills, and piles) are
not eligible for RD&D permits because these were considered
disposal by Congress (129 Cong. Rec., H8160, October 6, 1983).
RD&D research can occur outdoors, providing that the
experiments are conducted in controlled vessels, such as drums
or tanks, made primarily from non-earthen materials such as
glass, metal, plastic or ceramic. Experiments must be conducted
using these types of materials to ensure against leaks and
potential damage to the environment.
j_/ Land treatment facilities are defined in S260.10 and involve
the application of hazardous waste to soil. Although RD&D
permits do not apply to land treatment, an owner or operator
can apply for a RCRA permit for land treatment demonstrations
under S270.63. (see also 8264.272.) Also, biologicial, photo-
degradation and other processes that occur in land treatment
can be done in enclosed environments (e.g., in tanks) under
RD&D permits.
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OSWER Policy Directive #9527.00-1A
Although RD&D permits are intended for treatment of
hazardous waste, the storage of hazardous waste at an RD&D
facility, incident to the treatment, is permitted under the
RD&D permit as well (see section 2.3 for limitations).- If an
RD&D unit or process is used to store or treat hazardous waste
for any reason other than the hazardous waste management experi-
ment, then these activities must be permitted, and operated,
in accordance with all applicable sections of 40 CFR Parts 264
and 270.
2.3 Scale of Operation
RD&D permits may only provide for the receipt and treatment
of those types and quantities of hazardous waste necessary to
determine the cost-effectiveness, efficiency, and performance
capabilities of the technology or process and the effects of
such technology or process on health and the environment
(S270.65(a)(2)). Because each RD&D project is unique, the
types and quantities of hazardous waste used for the RD&D
experiment will be determined on a case-by-case basis. This
decision will be made by considering the applicant's view of
the necessary types and quantities of wastes, Agency judgement,
and the limits suggested by the legislative history to §3005(g).
Full-scale facilities may be permitted as RD&D; however, the
permit must limit the quantities of hazardous waste and the
time of experimental testing, as appropriate, to validate the
RD&D technology or process, according to the objectives of the
research.
The legislative history for RD&D permits suggested
guidance to assure a reasonable scale for demonstrating the
technical and economic feasibility of experimental technologies
and processes (129 Cong. Rec. H8160-61, October 6, 1983).
This guidance, as specified below, is well below the scale of
most commercial hazardous waste treatment operations:
1. Treatment of a maximum of 15,000 kilograms of
hazardous waste per month for experimental purposes;
2. Storage of a maximum of 15,000 kilograms of hazardous
waste at any time intended for experimental purposes;
3. Treatment of a maximum of 400 kilograms of hazardous
waste per hour in any experiment.
The permitting authority will generally apply this
guidance, but may modify these quantities on a case-by-case
basis. The legislative history makes clear that EPA may
authorize the treatment of greater or lesser quantities of
hazardous waste. If the permit applicant intends to exceed
these limits, he should justify the need to test larger quanti-
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ties in order to adequately perform the test and to gather the
required information.
2.4 Amount of Time to Conduct the Experiment
Because an RD&D permit is intended to develop and test
a technology or process, it is inherent in RD&D activities
that such a test is temporary, or short-term, in relation to
the commercial use of the process. By statute, RD&D permits
are limited to a permit term of one year, which is defined
as 365 days of actual operation 2/; this timeframe is in addition
to the time needed to construct the facility after the permit
is issued (5270.65(a)(1)). The permit may be renewed three
times, each time for a period of up to 365 operating days.
The permitting authority will establish the duration of permits
6n a case-by-case basis, and will include this timeframe as a
permit condition.
J2/ The Agency interprets one operating day as any fraction
of a calendar day when conducting the experiment. For example,
if the permittee spends 2 hours operating the RD&D equipment
and/or related laboratory testing, then these 2 hours equal
one operating day. The permittee may be required to keep an
operating log at the facility to record the hours of operation.
Alternatively, the permit authority may impose a calendar limit,
in lieu of operating days, on a case-by-case basis.
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3. THE PERMITTING PROCEDURE INCLUDING
PUBLIC PARTICIPATION
3.1 Submitting the Permit Application
Permit applicants should contact the EPA Regional Office,
which serves the area where the RD&D project will occur (see
Appendix 2), to determine whether EPA or the State has the
authority to issue RCRA RD&D permits. When the EPA Regional
Office manages the RD&D program, they will determine if the
applicant's proposal meets the criteria of an RD&D permit,
as discussed in Section 2 of this manual, and then they will
•forward a copy to the State to determine what role the State
'will take in processing the application. States may recommend
conditions for inclusion in the Federal RD&D permit, if
consistent with the -RCRA requirements.
Until States receive authorization to issue RD&D permits,
States may require a full RCRA permit if the proposed experi-
mental activity will involve treatment in units which are
regulated under Parts 264 or 266, and fo^r which the State is
authorized. In this case, EPA will not 'issue an RD&D permit
(see also section 1.6 of this manual).
3.2 Eligibility Determination of the Research Proposal
To expedite eligibility determinations of research projects
"and to minimize delays in processing permit applications, the
permit applicant could send a letter to the permitting authority
that briefly describes the proposed experimental activity.
(This recommendation is optional and does not -preclude the
applicant from submitting a detailed application in the first
instance, following the guidance in section 4.2 of this manual.)
The letter should address the following: (1) purpose of the
research, (2) explanation as to why the proposed activity is
experimental or innovative (reference other similar or approved
technologies or processes for treating hazardous or non-hazardous
waste and how the proposal differs from these), and (3) descrip-
tion of the research (the level of detail will vary depending
on the type and scope of the research).
The permitting authority will generally review the proposal
within 30 days of receipt to tentatively determine if it is
eligible for an RD&D permit. (This 30-day time-frame is not a
statutory or regulatory requirement and may take longer if
complicated judgements are involved). In some cases, additional
information may be needed before EPA can make a preliminary
determination. The applicant will be notified, by letter, to
specify any additional information necessary to prepare a
complete RD&D permit application. The applicant should be
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prepared to meet with the permitting authority, if necessary,
to discuss the proposal. When a proposal is not eligible for
an RD&D permit, the permitting authority will advise the appli-
cant of this tentative determination by letter, specifying
the reasons.
Applicants should expect to follow the procedures of Part
124 for permit application and issuance. Applicants may request
a waiver of RCRA requirements to expedite permit issuance; the
permitting authority may waive application requirements and
permitting procedures after consulting with the applicant or
on its own initiative. Section 124.3 of 40 CFR governs sub-
mission of permit aplications and requires a completeness
review before the application is processed.
.3.3 Draft Permit
A draft RD&D permit will be issued only when the permit
application is determined to be complete. An RD&D permit
application will be considered "complete" when the permitting
authority receives all the information requested during any
meetings and in correspondance with the applicant. The
permitting authority will strive to issue the draft permit
within 60 days after making this completeness determination.
In some cases, the draft permit can be written in a couple
of weeks when a research project involves laboratory-scale
or bench-scale testing of small quantities of hazardous waste
for a limited number of days.
The permitting authority will issue a draft permit (or
tentative decision to deny the permit, 40 CFR $124.61) for a
public review and comment period of 45 days. A statement of
basis (§124.7) or a fact sheet ($124.8) will be prepared with
the draft permit for review during the public comment period
and will provide a justification for issuing the RD&D permit
"or the tentative denial. The permitting authority will send
this information to the permit applicant and to any other
person on request.
The public will be asked to review the draft permit and
comment on whether the proposed activity is appropriate for
RD&D permitting under $270.65 and whether the proposed permit
conditions are adequate to protect human health and the environ-
ment. A final decision on the permit will be made only after
the public comments received by the permitting authority have
been analyzed and any concerns that were raised during this
public comment period have been addressed.
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3.4 Public Participation
Section 270.65(b) specifically provides that the Agency may
not waive or modify the public participation procedures. These
procedures are codified in 40 CFR Part 124 and generally require:
1. Public notice of draft permits (or notice of intent to
deny an application) that allow at least 45 days for public
comment [S124.10(b)(1)]. Notice is to be published in major
local newspapers, broadcast over local radio stations, and
delivered to local government offices and state agencies.
2. Opportunity to request a public hearing, if no hearing
has already been scheduled (S124.11). A public hearing must
be held whenever there is notice of opposition to a draft
•permit, under S124.12(a) (3). The hearing is to be held at a
•location convenient to the population nearest to the proposed
facility. Notice o£ a public hearing shall be given at least '
30 days prior to the hearing. Public notice of the hearing
may be given at the same time as public notice of the draft
permit and the two notices may be combined (§124.10(b)(2)).
It should be noted that the public comment period can be
extended beyond 45 days "if any data information or arguments
submitted during the public comment period...appear to raise
substantial new questions concerning a permit..."(§124.14(a)).
If an applicant anticipates public opposition to the RD&D
proposal, which might delay permit issuance, he should involve
potential opponents early in the permit application process to
identify their concerns and issues so that these can be addressed
at the outset and not delay the issuance of the permit. In
general, it is helpful to schedule a public hearing during the
public comment period for the draft permit, to further identify
and address public concerns. Permit applicants can participate
at the public hearing by responding to questions from citizens
about the nature of the research and/or by presenting a dis-
cussion of the RD&D project.
3.5 Effective Date of the Permit
The Agency intends to follow the procedures in §124.15
in establishing the effective date of an RD&D permit. This
provision requires the Agency to issue a final permit decision
after the close of the public comment period ['51 24.10(b) ] and
to notify the permit applicant and each person who submitted
written comments or requested a notice of the final permit
decision. The effective date of the permit will generally be
30 days after this notice is served, unless:
(1) a later date is specified in the decision and is
included as a permit condition;
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(2) review is requested under §124.19 or an evidentiary
hearing is requested under §124.74; or
(3) no comments requested a change in the draft permit,
in which case, the permit shall become effective
immediately upon issuance [5124.15(b)].
EPA may waive this 30-day period in appropriate circumstances
to expedite permit issuance (e.g., contracts between applicants
and clients).
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4. THE PERMIT APPLICATION
4.1 Scope of the Application
To expedite the permitting of RD&D facilities, the
permitting authority may modify or waive the RCRA permit
application requirements established in 40 CFR Part 270. EPA
will not waive the regulations regarding financial responsibility
in Part 264, Subpart H and the procedures in 40 CFR Part 124
regarding public participation. In determining which require-
ments are to be modified or waived, the permitting authority
must ensure there will be adequate protection of human health
and the environment.
i
The applicant should consider the following questions, as
applicable, as a basis for preparing his application:
1. What is the purpose of the project (e.g., experimental
research or demonstration); What is the experimental
design (e.g. variables to be tested, ranges for these
variables, anticipated results); and, what monitoring
and record-keeping will be done' to document the success
or failure of the project in terms of operating data
and emissions data?
2. What are the minimum quantities of hazardous waste and
operating time needed to meet the RD&I) objectives?
3. Using best engineering judgement, what are the emissions
expected during operation? How will these emissions
be monitored? What criteria will be vised for modifying
or suspending operations if permit operating conditions
should be exceeded?
4. What sampling and analytical procedures will be used
to validate the feasibility or infeasibility of the
experimental project?
5. Are the research personnel technically familiar with
the type of research in order to respond to emergency
situations in the event of experimental failure and
to monitor and analyze experimental operations?
6. What type of emergency response procedures will be
used to protect public safety and public health in the
event of a fire, spill, or explosion during experimental
testing?
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7. How will the facility be closed after the research is
completed? (e.g., will the treatment units be
decontaminated and will the residues be removed from
the site?)
8. What amount of funds will be needed to properly close
the facility and what type of insurance will be used
during the operation of the facility?
4.2 General Application Information
The level of detail and type of information required in
an application will vary because each RD&D proposal is unique.
Factors such as facility size, type and quantity of waste,
duration of experimental testing, potential for leaks and
emissions and for environmental damage will be used as the
basis for determining the required level of detail. For
example, persons who intend to conduct laboratory-scale or
bench-scale testing using small quantities of wastes for a
short period of time (e.g., a couple of weeks) may only
need to submit a brief application. A more detailed application
would be required from applicants with little hazardous waste
experience, who propose to handle a broad variety and quantity
of wastes (e.g., 10,000 kg/month) over a relatively long period
of time, such as a year, in a pilot-scale or full-scale unit
that has never been demonstrated with hazardous wastes.
The following permit application information will apply
to most RD&D activities, and may be modified, as appropriate,
according to the scope'and intent of the research (see appendix
4 for a suggested permit application checklist):
. 1. Name and address of the proposed facility;
2. Name, address, and telephone number of the owner and
operator of the proposed facility;
3. Purpose of the research, development, and/or demon-
stration project;
4. Explanation as to why the proposed activity is experi-
mental and innovative (explain how this differs from
other related technologies or processes that have
either been permitted under RCRA or have been demon-
strated with non-hazardous wastes, such as municipal
sludges);
5. General description of the proposed activity. The level
of detail needed will vary depending on the type and
nature of the proposal. (For example, for proposals in-
volving a single process or a modification to an
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existing technology, a short discussion may be
sufficient. For proposals involving several or more
inter-related units or connections to other treatment,
storage, or disposal units, applicants may need to
include a process flow diagram or schematic drawing
to illustrate the proposed activity.);
6. Type (e.g., EPA identification number or general waste
description such as, halogenated organic solvents)
and quantity of hazardous wastes intended for treatment;
7. Estimated time of operation for the experimental
activities;
8. Any information on the anticipated performance of
the unit (e.g., characterization of any residues
.' expected from treatment or anticipated emissions during
treatment, such as gases, particulates, hydrocarbons,-
NOx, SOx, odor);
9. Brief description of performance data (if any) that
have been previously gathered on the operation of the
unit (e.g., treatment of solid wastes, other hazardous
wastes, or commercial chemicals');
10. A sampling plan and quality assurance plan, including
sampling frequency, procedures and equipment;
11. A safety plan which describes steps taken in case of
fires, spills, or explosions and the names and qualifica-
tions of persons operating and managing the research;
12. A closure plan to describe how the treated and untreated
hazardous waste and the RD&D unit(s) will be managed
after the research is completed; and,
13. Liability coverage, cost estimate for closure, and
a demonstration of financial assurance for closure.
The permitting authority will use standards in 40 CFR
Part 264, Subparts B, C, D, E, G and H (general facility
standards, preparedness and prevention, emergency response
procedures, manifesting, closure, and financial responsibility)
as a guide to define general requirements for individual RD&D
permits. Other requirements of Subparts I, J, and 0 (containers,
tanks, and incinerators) will be used on a case-by-case basis
as a guide to define additional information items, depending
upon the type of proposed technology or process and the need
to store the hazardous wastes.
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Some applicants may be asked to provide other information
outside Part 264 in order for the permitting authority to
insure protection of human health and the environment. •
Appendix 5 provides a list of EPA publications that applicants
may find useful in developing their applications and in develop-
in, their own operating procedures for the facility.
The permitting authority will not require a Part A
application for RD&D permits, but will instead rely on the
information submitted in the application or other submittals
from the applicant to provide a general description of the
proposed acti -ty. Moreover, each application for an RD&D
permit will r>e assigned an EPA identification number. This
number must be used on all reports and other correspondance
with the Agency, and on all forms, labels, and other paperwork
required for managing hazardous waste.
Sections 4.3-4.10 of this manual provide examples of the
types of information that may be required from individual RD&D
applicants. As noted above, the level of detail required
will vary from application to application.
4.3 Facility Description
In addition to a general description of the facility, it
may be necessary, on a case-by-case basis, to provide a rationale
for the proposed design capacity of each operating unit (includ-
ing storage areas) or descriptions of any proposed secondary
containment systems to,control emissions or releases (e.g.,
berms, sump pumps, scrubbers, waste-feed cut-off valves).
4.4 Waste Analysis
Some applicants may be required to provide a chemical
-and/or physical analysis of the wastes intended for the RD&D
activity and/or indicate the analytical procedures that were or
will be used for determining this information. Where standard
procedures such as EPA *SW-846 are used, applicants only need to
provide the title or reference number of the procedure. Waste
analyses may be conducted by the generator of the hazardous
waste, or by an independent laboratory and not necessarily by
the permit applicant.
Applicants who intend to treat many different hazardous
wastes may find it us^ul to develop a formal plan describing
their sampling proct,.-res and analytical methods for determining
the type and concentration of waste constituents before, during,
and after treatment, including the statistical methods? for
calculating the data. (These applicants TOP wish to refer
to the EPA guidance manual entitled, Waste Analysis Plans.
Chapter 3, "Preparing a Waste Analysis Plan" (referenced in
Appendix 5 of this manual.)
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4.5 Handling Incompatible Wastes
Permit applicants who intend to treat or store ignitable
or reactive waste, or mix incompatible hazardous wastes or a.
hazardous waste that is incompatible with other materials as
a function of their experimental testing, should describe
procedures to prevent reactions which might:
0 Generate extreme heat or pressure, fire or explosions,
or violent reactions;
0 Produce uncontrolled toxic mists, fumes, dusts, or gases
in sufficient quantities to threaten human health or the
environment j
• ° Produce uncontrolled flammable fumes or gases in suffi-
cient quantities to pose a risk of fire or explosions;
or.
0 Damage the structural integrity of the unit or facility.
This description may be based on references to published
scientific or engineering literature, data from laboratory or
bench-scale tests or the results of trea'tment under similar
operating conditions.
4.6 Monitoring, Inspection, and Emergency Procedures
To minimize the potential for uncontrolled releases of
hazardous wastes during testing, and to ensure a proper response
to emergency situations, permit applicants should, as necessary,
have a set of monitoring and inspection procedures for the
facility, as well as emergency response procedures.
Applicants should provide the permitting authority with a
summary of their procedures for inspecting the condition of
experimental treatment units, and safety and emergency equipment.
For proposals involving hazardous waste storage areas, monitoring
equipment (e.g., temperature controls, pressure valves), security
devices (e.g., alarms, warning lights), or secondary containment
devices, a summary of the procedures for inspecting these items
should also be provided. The frequency and level of detail of
inspections selected by applicants should be commensurate with
the type of proposed experimental activity, operating conditions,
and the type and quantities of hazardous wastes undergoing
treatment.
Applicants should, if necessary, also identify the procedures
and remedial actions for responding to a fire, explosion, or
any unplanned sudden or non-sudden release of hazardous wastes,
resulting from experimental activities, and the procedures for
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cleaning-up leaks, spills and other releases.
It is recommended that applicants incorporate the emergency
procedures into a safety plan that can be distributed to all
staff and local officials responsible for handling emergency
situations at the facility. The safety plan should, if
necessary, identify the type and quantity of hazardous wastes
and the location of storage areas and experimental treatment
units. This plan should list names, addresses and telephone
numbers (office and home) of all persons designated to act as
etrcrg^ncy r^ordinators 24-hours a day. The plan should include
inspection procedures to indicate the frequency of inspections
and the type of remedial actions that will be taken if a problem
is discovered. The plan should also describe any arrangements
agreed to by local police and fire departments, hospitals,
. contractors, and State and local response teams that will be
responsible for coordinating emergency services.
Applicants may wish to refer to the EPA publication *SW-968,
Permit Appliants* Guidance Manual for the General Facility
Standards of 40 CFR Part 264, October 1983, Chapter 5.6,
"Preparedness and Prevention", for examples of inspection
checklists and, 40 CFR Part 264, Subpart D, "Contingency Plan
and Emergency Procedures", as guidance in developing monitoring,
inspection, and emergency response procedures.
4.7 Reporting and Recordkeeping
Because each RD&D activity is unique, the permit writer
and permit applicant snould mutually determine the appropriate
recordkeeping and reporting requirements that will provide
sufficient monitoring data about the operating efficiency of
the RD&D activity. The timeframes for reporting this information
and level of detail required will depend on the proposed operat-
jlng time and the type of RD&D activity. Reports might discuss
'operational problems and characterize emission data (e.g.,
particulates, gases), if the permitting authority believes
this information is necessary to ensure protection of human
health and the environment. Reports should be signed as
described in Section 4.11 of this manual.
In working with applicants to define recordkeeping and
reporting requirements, the permitting authority may recommend
or condition permits to include proper sampling, analytical
and recordkeeping procedures, if appropriate. Applicants
who intend to apply for a full RCRA operating permit based on
a "successful" RD&D activity, should ensure that these proced-
ures meet routinely acceptable research practices, otherwise
the permitting authority may not accept their results as suff-
icient information to permit the new technology or process for
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commercial operation (e.g., all test plans should meet EPA
Quality Assurance Guidelines).
The Agency encourages permittees to submit information
to the permitting authority that summarizes the feasibility or
infeasibility of the RD&D activities. This information will
be shared with EPA Headquarters staff and the Office of Research
and Development in Cincinnati, Ohio to assist the Agency in
developing permit standards and analytical methods for new
technologies and processes and to assist the Agency's research
efforts on hazardous waste management technologies and practices.
4.8 Personnel Qualifications
« Applicants should ensure that the personnel responsible for
•conducting and managing the experimental testing are technically
competent to handle potential operational problems and to
properly evaluate and document the experimental results. Appli-
cants may be required to provide copies of resumes, certificates
from specialized hazardous waste emergency response training
courses, documentation of on-the-job training, or other
background information about the principal staff that demon-
strates their technical qualifications to manage the RD&D
facility.
The principal research personnel, because of their education,
training, and/or experience, should (1) appreciate the health and
environmental risks associated with the hazardous waste which
is being treated, (2) understand the appropriate methods of
conducting scientific experimentation, analysis, or research
to minimize such risks, (3) be familiar with the RCRA procedures
related to the storage, treatment, and disposal of the hazardous
waste as may be required within the scope of conducting the
research, development, and demonstration activity, and (4) be
able to effectively handle accidents and emergency situations.
It is recommended that permit applicants refer to 40 CFR
S264.16(a)(3) as a guide in developing and, if appropriate,
choosing suitable hazardous waste training programs for its
employees, if appropriate.
4.9 Closure
In order for the permitting authority to ensure compliance
with the RCRA financial responsibility requirements, applicants
for RD&D permits must submit a closure plan and a cost estimate
for closure. The closure requirements of 40 CFR S§264.111
through 264.115 (closure performance standard;; closure plan;
time allowed for closure; disposal and decontamination of
equipment, structures, and soils; and certification of closure)
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should be addressed, as appropriate, for the type of experimental
proposal. Some of the specific requirements may need to be
modified for RD&D facilities on a case-by-case basis. For
example, the deadlines for advance notification of closure
activities in $264.112 may be unnecessarily long given the
relatively short duration of some RD&D activities (see section
5.5 of this manual for a discussion of the notification require-
ments.)
4.9.1 Closure Plan
Closure plans must be approved by the permitting authority
and will become a condition of the permit. The closure performance
standard of 5264.111, which is a general standard to protect
human health and the environment, should be met through the
conditions in the closure plan.
The closure plan should basically discuss the procedures
for closing the RD&D facility (either partially or completely)
at any point during its intended active life, and procedures
for handling the hazardous wastes (S264.112). The extent of
detail in the closure plan will depend upon the type of RD&D
facility, but it should include, at least:
1. A description of how the facility or unit will be
partially closed, if applicable, and finally closed,
(S264.112(b)(1) and (2));
2. An estimate of the maximum quantity of wastes in storage
and in treatment at any time during the active life
of the facility, and the procedures for the planned
ultimate disposition of all hazardous wastes and
contaminated materials and equipment, (5264.112(b)(3));
3. The procedures and methods for decontaminating all
hazardous waste equipment and storage areas, if
appropriate. (During closure, the owner or operator
must remove or decontaminate all hazardous waste
residues, and contaminated containment system compo-
nents, equipment, structures, and soils, (if applicable)
and manage them as hazardous wastes. However, the
permittee is not necessarily required to dismantle
the RD&D equipment. Soil decontamination should be
addressed if there is a potential for leaks to the
ground.)(S264.112(b)(4));
4. A description of environmental monitoring and protection
activities (such as run-off control) that will be
conducted during closure, if applicable (S264.112(b)(5));
and,
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5. A schedule for closure activities. Those applicants
who use a trust fund for financial assxirance
for closure must specify the expected date of closure
in the closure plan. Due to the relatively short
duration of certain RD&D operations, it may be desirable
to require other RD&D applicants to also specify the
expected date of closure. (S264.112(b)(6) and (7)).
Other RCRA facilities are required to make modifications
to closure plans at least 60 days prior to a planned change in
design or operations, and within 60 days after an unexpected
event which affects the closure plan, (or within 30 days if
the unexpected event occurs during closure). These deadlines
may be inappropriate given the short duration of many RD&D
.activities, and more appropriate, shorter timeframes should be
.considered.
A copy of the approved closure plan including all revision's
is not required to be kept at the facility, but should be
available to the permitting authority upon request, until
closure is completed and certified. The permitting authority
has the discretion to determine if changes to the facility's
RD&D closure plan should be considered as a major or minor
modification.
4.10 Financial Responsibility
Financial responsibility is a substantive permit require-
ment that Congress specifically mandated to be included in an
RD&D permit (SS3005(g)(2)). This provision indicates the
concern of Congress that financial responsibility be demonstrated
for permits dealing with experiments of new and innovative
technology.
The RD&D permit applicant must address two different
financial responsibility requirements: financial assurance for
closure (40 CFR SS264.141-143) and liability coverage for sudden
accidental occurrences (40 CFR SS264.147 and 151). It should
be noted that the Federal government and State governments
are exempt from the Subpart H financial requirements (S264.140(c))
if they own or operate the facility. When one party (the
owner or operator) is an exempted party because it is a State
or Federal entity, then any other private sector party may not
need to comply with the financial responsibility requirements.
The State or Federal government may, however, require the private
sector party to demonstrate financial responsibility by means
of a contractual agreement.
4.10.1 Financial Assurance for Closure
The permit applicant must have a detailed written estimate
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of the maxim'tm cost of closing the facility (S264.142) and
establish financial assurance based on the estimate (5264.143).
The permit applicant may use any of the Subpart H
mechanisms to demor. ;-ate financial assurance for closure.
RCRA S3005 (g)(1)lC> lists possible requirements that the
Administrator may find necessary to impose on RD&D facilities,
including "insurance or bonding" and "financial responsibility."
This listing does not limit the mechanisms available to an
RD&D applicant; any of the mechanisms outlined in S264.143 may
be used 3/.
Financial assurance for closure must be demonstrated at least
60 days before the date on which hazardous waste is first expected
to be received at a new RD&D facility for treatment or storage
<$264.143). An owner or operator of a RCRA permitted facility
or a RCRA interim status facility applying for an RD&D permit
may be able to use existing financial mechanisms, provided both
the cost estimate and the amount of financial assurance are
modified to take into account the RD&D activity. For further
information, see the guidance manual entitled. Financial Assurance
for Closure and Post-Closure Care, referenced in Appendix 5.
4.10.2 Liability Coverage for Sudden Accidental Occurrences
The permit applicant of an RD&D facility must demonstrate
financial responsibility for bodily injury and property damage
to third parties caused by sudden accidental occurrences arising
from operations at the.facility (40 CFR S264.147). The permit
applicant must maintain liability coverage for sudden accidental
occurrences in accordance with 40 CFR 264.147(a).
A permit applicant may demonstrate the required coverage
either by passing a financial test or by having liability
-insurance. Again, the RD&D permit applicant should demonstrate
the required liability coverage at least 60 days before the date
on which hazardous waste is first expected to be received at a
3_/ Utilizing one of the mechanisms, the closure trust fund,
would require that payments into the trust fund be made annual-
ly by the owner or operator over the term of the initial RD&D
permit or over the remaining operating life of the facility,
whichever is shorter (see $264.143(a)(3)). The maximum operat-
ing life for an RD&D facility is 365 operating days. The legis-
lative history makes a distinction however, between operating
time and calendar time. Accordingly, the phrase "remaining
operating life" should be interpreted as the calendar time
period up to, and including, the final day of operation involving
hazardous waste, for purposes of determining the pa\ in period
for RD&D facility closure trust funds.
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new RD&D facility for treatment or storage (§264.147(a) (1) (i)
and (f)(4)). An owner or operator of a RCRA permitted facility
or an interim status facility applying for an RD&D permit at
that facility is already required to have liability coverage,
but may need to modify the existing liability coverage to
include the RD&D activity. For further information, refer to
the guidance manual entitled, Liability Coverage, referenced
in Appendix 5. The Regional Administrator may also require
the permit applicant to provide liability coverage for nonsudden
accidental occurrences for RD&D facilities, if he determines
that such coverage is necessary to protect human health and
the environment (40 CFR S264.147(d)).
4.11 Signatories to the Permit Application and Reports
/ All RD&D permit applications and required reports must be
'signed in accordance with the requirements of 40 CFR S270.11.
Signatories 4/ are defined in §270.11(a) as:
(1) For a corporation; by a responsible corporate officer;
(2) For a partnership or sole proprietorship; by a general
partner or the proprietor, respectively; or
(3) For a municipality, State, Federal, or other public
agency; by either a principal executive officer or
ranking elected official.
If there is a change in personnel responsible for the
overall operation of the RD&D facility, the permitting authority
should be notified prior to or together with any reports,
-information, or applications to be signed (S270.11(c)).
The certification statement for RD&D permit applications,
as provided in S270.11(d), is:
I certify under penalty of law that this document
and all attachments were prepared under my direction
or supervision in accordance with a system designed
to assure that qualified personnel properly gather
and evaluate the information submitted. Based on my
inquiry of the person or persons who manage the
4/ In the case of permit applications submitted by the
"Department of Defense (DoD), the signatory is defined as the
Installation Commander, with the rank of Colonel or higher, if
the installation employs more than 250 persons and the authority
to sign permit applications has been assigned or delegated to
the Installation Commander in accordance with applicable DoD
procedures. (EPA policy memorandum dated January 25, 1985,
"Signatories to Department of Defense Permit Applications".)
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system, or those persons directly responsible for
gathering the information, the information submitted
is, to the best of my knowledge and belief, true,
accurate, and complete. I am aware that there are
significant penalties for submitting false infor-
mation, including the possibility of fine and
imprisonment for knowing violations.
Reports may be signed by the same person who signed the
permit application, or by a duly authorized representative
(§270.11
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processes at the plant or facility generating the waste;
0 of those materials identified above, those that are
discharged into or likely to be present in the waste,
as well as the approximate quantities used or produced;
and,
0 of those materials identified above, those that the
applicant does not believe are discharged into or
likely to be present in the waste, and the basis for
this belief, or
(2) representative analytical data for all constituents
listed in Appendix VIII of Part 261 that are~TTkely to be
'present in the waste, as well as the basis for not analyzing
'for the other Appendix VIII toxic constituents (see Petitions
to Delist Hazardous Wastes; A Guidance Manual, EPA/530-SW-85-
003, April 1985, p. 25). The demonstration must also include:''
(i) representative samples for total and leachable
(inorganics) listed constituents; the hazardous waste charact-
eristics, including reactive cyanide and sulfide; and total
oil and grease;
(ii) process descriptions and schematics of production
processes and wastewater treatment;
(iii) identification of maximum waste generation rates on
a monthly and annual basis;
(iv) detailed sampling descriptions including sampling and
analytical methods used, equipment used, and dates of sampling
and analyses;
(v) proper QA/QC including method of standard additions
for inorganics and surrogate spiking for organics;
(vi) historical description of waste management practices,
identifying all active and inactive disposal sites (pre and
post RCRA); and,
(vii) where on-site management in impoundments, pits,
drying beds, piles or landfills is used and process does not
create a new treatment residue, RCRA approved groundwater
monitoring must be in place, and groundwater data for at least
one year must be submitted. (This particular requirement may
not be appropriate for RD&D facilities).
Permit applicants should refer to 40 CFR 260.22 as well as
the Guidance Manual cited above, for additional technical and
adminstrative requirements. Until the Agency publishes its
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decision in =the Federal Register on whether the residues are
considered non-hazardous, the permittee must store, treat or
dispose of these residues at either a RCRA interim status or
RCRA permitted facility, which is authorized to manage these
wastes. The RD&D permit satisfies this requirement, but cannot
authorize indefinite or extended storage of the residues after
the RD&D experiments have been completed.
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5. PERMIT TERMS AND CONDITIONS
Although the Agency may modify or waive the permit issuance
requirements in 40 CFR Part 270, research, development, and
demonstration permits will be issued only after EPA has reviewed
the proposed treatment technology or process to determine
eligibility and established minimum requirements to assure
protection of human health and the environment.
5.1 Permit Conditions
5.1.1 Standard Conditions
• To define the permittee's general responsibilities, the
•permitting authority will incorporate the conditions delineated
in 40 CFR S270.30, "Conditions applicable to all permits,"
into all RD&D permits either expressly or by reference, except
in cases where it is clear that some of these conditions may
not apply due to the duration of the permit or type of experi-
ment (e.g., duty to reapply). The conditions in §270.30 are:
(a) Duty to comply with the conditions of the permit.
(b) Duty to reapply if the permittee wishes to continue
the RD&D activity beyond the expiration date of the
permit.
(c) Need to halt or reduce activity is not a defense in an
enforcement action.
(d) Duty to minimize releases to the environment and protect
human health and the environment in the event of non-
compliance with the permit conditions.
(e) Proper operation and maintenance.
(f) The permit may be modified, revoked and reissued, or
terminated for cause.
(g) Property rights are not conveyed by the permit.
(h) Duty to provide information that is requested by the
Agency.
(i) Inspection and entry by Agency personnel.
(j) Monitoring and records (these will be defined on a
case-by-case basis for each facility.)
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OSWER Policy Directive #9527.00-1A
(k) Signatory requirements for applications, reports and
information.
(1) Reporting requirements (these will be defined .on a case-
by-case basis for each facility.)
Also, the following permit condition, which is derived from
S270.65(c), should be included in all RD&D permits - Protection
of Human Health and the Environment - The Regional Administrator
may order an immediate termination of all operations under this
permit at any time he determines that termination is necessary
to protect human health and the environment.
The permitting authority also has the authority to estab-
lish additional permit conditions on a case-by-case basis
(S270.65(a)(3)), to protect human health and the environment and
to require testing and providing of information with respect to
the operation of the facility. Permit conditions will be tai-
lored to the proposed activity and will reflect the information
submitted in the permit application. Because each proposal is
unique, the type of permit conditions and the level of detail
in each permit will vary depending upon the type and quantity
of hazardous wastes, the treatment process or technology, and
the duration of the experiment.
RD&D permits should be entitled, "United States
Environmental Protection Agency Research, Development, and
Demonstration Hazardous Waste Treatment Permit." (The word
"storage" does not need to be specified in the title; however,
the storage of hazardous wastes incident to the RD&D activities
must be addressed in the permit.) Any references to the RD&D
experiment should use the term, "Hazardous Waste Research,
Development, and Demonstration Activity" instead of "hazardous
waste management facility", as is currently used in other RCRA
^permits.
5.1.2 General Conditions
The permit will also contain general conditions regarding
the operation of the facility (e.g., research plan, waste
analyses, QA/QC plan, safety plan, closure plan, and financial
responsibility). These conditions will be based on information
in the permit application (see section 4 of this manual) or
other information and will generally be included as attachments
in the permit. The general conditions will also include any
recordkeeping and reporting information as determined between
the permitting authority and permit applicant or as deemed
necessary to protect public health (see section 4.7 of this
manual).
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OSWER Policy Directive #9527.00-1A '
5.2 Permit Transfers
A permit may be transferred by the permittee to a new owner
or operator only if the permit is modified or revoked and reissued
(under S270.41(b)(2)) or a minor modification is made under
S270.42(d), to identify the new permittee and incorporate other
appropriate requirements.
5.3 Term of the Permit
The term of RD&D permits is limited to a maximum of one
year of operation §270.65(a)(1), which is defined as 365 days
of actual operation using hazardous waste (see also section
2.4 of this manual); it does not refer to calendar days when
.treatment of hazardous waste is not occurring, to periods of
•construction, or to operation using materials other than hazar-
dous waste. The permitting authority may also issue a permit
for less than one operating year or even limit the permit to
one calendar year or less, where appropriate. In determining
the term of the permit, the applicant and the permitting
authority will be guided by the amount of time that is reason-
ably necessary to provide information that will demonstrate
the technical feasibility of the RD&D technology or process.
This timeframe will be included as a permit condition.
5.4 Waivers, Modifications, Termination and Renewal
Because of the experimental nature of RD&D activities,
there is a high potential for permit modifications once the
activity is underway. To minimize the need for modification
that might interrupt the experimental activities, the permit
applicant should attempt to identify all potential alterations
or additions to the experimental facility or units, which will
affect the performance of the technology or process (e.g., addi-
tion of equipment, flow rates, range of operating conditions);
particularly those that might be considered a "major modifica-
tion" under the requirements of $270.41. The permitting
authority will use this information to develop permit conditions
that are flexible enough to allow for these alterations or
additions and to minimize the need for permit modifications.
For example, if the permit applicant intends to treat a
variety of waste streams from different generators, the permit
may specify the type of hazardous waste (5270.65 (a)(2)) (e.g.,
organic sludges or halogenated solvents and type of analyses
(in the waste analysis plan)), rather than the specific EPA
hazardous waste identification number, to preclude a need for
a major permit modification when the generator changes. In
the case of an incinerator, the permit should specify the
range of operating parameters (e.g., temperature, residence
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OSn'ER Policy Directive #9527.00-1A
time, angle of kiln, flowrates) to allow flexibility in the
experiment. For example, a permit condition could allow a
temperature range of 1500-2000 F, a residence time of 30-60
minutes, and a flowrate of 5-30 gallons/minute. The permit
applicant could then experiment within these ranges to determine
the optimum parameters needed to meet the performance criteria
of 5264.343.
If the standards or regulations on which the permit is
based are changed when the Agency promulgates amended standards
or new regulations or if there is a judicial decision after the
permit is issued, the permitting authority may modify the terms
and conditions in the RD&D permit, providing the permittee
agrees to the changes or requests a permit modification
(•5270.41 (a) (3)) . Also, if the permitting authority becomes
• aware of new information about the experimental technology or
process, which might have an effect on human health and the
environment due to emissions or releases, he may modify the
permit under S270.41(a)(2).
5.4.1 Terminating the Permit
The permitting authority may terminate an RD&D permit in
one of two ways. First, S270.65(c) allows the permitting
authority to terminate all operations at the experimental
I facility at any time if human health or the environment is
endangered. In this case, the permitting authority would
issue an administrative order unless more expedient action is
required. Second, following the permit procedures of Part 124,
the permitting authority may terminate the permit if the permit-
tee does not comply with the conditions of the permit, or
misrepresents any relevant information at any time, or did not
disclose fully all relevant facts during the permit issuance
process (S270.43(a)(1) and (2)). The Regional Administrator,
State Director, or any interested person (including the permittee)
can request the permit to be terminated on these grounds. The
requests must be in writing and include the facts or reasons
to support the request (40 CFR S124.5(a)).
5.4.2 Permit Renewal
RD&D permits may be renewed three times, each time for a
maximum period of 365 days of actual operation. The permit
renewal notification requirement for RCRA facilities is 180 days
(40 CFR 5270.10(h)) before the permit expires. However, this
timeframe may be inappropriate for the owner or operator of
an RD&D facility, particularly if the permit term is less
than one year.
The permitting authority will evaluate each permit applica-
tion individually to determine the most appropriate amount of
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OSWER Policy Directive #9527.00-1A
time for notification and will specify this time period as a
permit condition. Notices should generally not be less than
90 days to allow the Agency sufficient time to review the
request, conduct an inspection of the facility, review experi-
mental data, and provide an opportunity for public notice, if
necessary. This notification should explain the reasons for
a renewal, summarize the analytical results of the experimental
activities to date, and identify any problems encountered in
meeting the research objectives.
Before approving a renewal, the permitting authority may
inspect the RD&D facility and review the operating records,
experimental data, and any proposed experimental design and
operating changes to determine if new or revised permit con-
ditions are warranted.
•
The decision to renew an RD&D permit will be based on
factors such as the test results from treatment, the need for "*
more data from the experimental activities, methods and
operation, any violations of permit conditions, enforcement
actions (e.g., judicial decrees or RCRA Section 3008 compliance
orders), and potential effects on human health and the environ-
ment.
0
5.5 Closure Procedures
The regulations for RCRA facilities set forth timeframes for
various closure activities. For example, §264.112(d) requires
the owner or operator to notify the Regional Administrator
at least 45 days prior to beginning closure activities for
non-disposal units. In addition, S264.113(b) requires that
all closure activities will be completed in accordance with
the approved closure plan and within 180 days after receiving
the final volume of hazardous wastes. These timeframes may be
inappropriate for RD&D facilities, which may operate less than
one year. In such cases, more appropriate, shorter timeframes
should be considered.
Another timeframe in the regulations, S264.113(a),
requires the owner or operator of a RCRA facility to treat or
dispose of all hazardous wastes within 90 days after receiving
the final volume of hazardous wastes. The Regional Administrator
may extend this timeframe for RD&D facilities to allow the
owner or operator to treat or remove all hazardous wastes from
the site within 90 days after completing all experimental
activities, providing the owner or operator has taken and will
continue to take all steps to prevent threats to human health
and the environment. (Note that these timeframe requirements
would not apply if the permit is terminated, or if a judicial
decree or compliance order under RCRA S3008 requires the owner
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OSWER Policy Directive #9527.00-1A
or operator «to close or to cease receiving wastes.)
The Agency recognizes that removing hazardous wastes as
quickly as possible can avoid potential threats to human health
and the environment. Thus, owners or operators are allowed to
remove hazardous wastes and to decontaminate and dismantle
equipment at any time prior to notification of partial or
final closure, provided that these activities are in accordance
with the permit conditions in the approved closure plan.
Closure should be certified by the owner or operator and an
independent registered professional engineer in accordance with
the requirements of §264.115. The professional engineer (e.g.,
civil, chemical, mechanical, environmental, or sanitary) should
be qualified to certify closure. Certification should be
submitted by registered mail within 60 days after completing
"closure.
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OSWER Policy Directive #9527.00-1A
APPENDIX 1
RESEARCH, DEVELOPMENT, AND DEMONSTRATION PERMITS
40 CFR S270.65
(50 FR 28752, July t5, 1985)
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OSWER Policy Directive #9527.00-1A
Federal Kafialat / VoL Ba No. 185 / Monday. July 15. 1865 \ Rules and Regulations
(a) Tha Administrator may leave a
research, development, and
danoastretioa permit for aay hasardma
waata treatment facility which propoam
to Btila* aa aatovatrva and
axpertmaotaJ fcazardooa waata
bwtnsnt tochaology or process far
which permit ettadarde lor each
amyeiimentai activity have not beea
yromulgstad aider Part 3M or 3B8. Aay
aoch permit shall lachda aocfa tarma aad
i aa wiD assure protacttoa of
luaamlth and thai
fl)8baBpravtda
af tadb bdutiaa aa naoaaaafy, aad for
eparatea af lha facility for no* lecajar
Ifaaa em yaar aalaaa mawad a7^
proridad te panarapa (d) af thia
(D flhaJH anrrtdt far Iba raeaipt aad
traatmaat b> Aa facility of only thoaa
Kttaa of hasardooa waata
i tha Adaiinlatratar daaaa
aaiy tar pvpoaaa
tha efficacy tod parfan
capabilities of the technology or procata
aad tha affacta of aueh tachaolofy or
proca*i on human baalUi aad tha
afiviroameat. and
(3) Shall Include neb requtntnant* aa
lha Adminlitrator dacau aacaaaaiy to
protect aunun health aad tha . .
environment (tocluding. but not limited
to, rao>dremtata res ardinf moniloriof.
operation, financial mponaibility.
cloaun, aad remedial acUon), aad end)
iwo,uiraaeata aa tha Administrator
daams aaceaaary refiniinf testiaf and
providiflt of information to tha
Administrator with rasped to tba
oparatfoa of the facility.
(b) For tha porpoae of axpeditiaf
review and laauanca of permits ondar
this section, lha Administrator may.
eonslateet with tha protection of human
health and tha environment, modify or
waive permit application and permit
Issuance requirements in Parts 124 aad
270 except that there may be no
modification or waiver of regulations
itfardinj financial responsibility
(including inaurance) or of procedures
regarding public participation.
ic) Tha Administrator may order aa
Immediate termination of au operations
at lha facility at any time he determines
that termination is necessary to protect
human health aad the environment
(d) Aay permit issued under this
section may be renewed not more than
three times. Each such renewal shall be
for a period of not more than 1 yaar.
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OSWLR Policy Directive #9527.00-1A
APPENDIX 2
MAILING ADDRESSES FOR
U.S. EPA REGIONAL HAZARDOUS WASTE DIVISION DIRECTORS
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OSWER Policy Directive #9527.00-1A
MAILING ADDRESSES FOR
U.S. EPA REGIONAL HAZARDOUS WASTE DIVISION DIRECTORS
Region Name/Address
I Director, Waste Management
Division (HHA)
U.S. EPA-Region I
JFK Federal Building
Boston, MA 02203
II Director, Air and Waste
Management Division (2AWM-SW,Room 1000)
U.S. EPA-Region II
26 Federal Plaza
New York, NY 10278
III Director, Hazardous Waste Management
Division (3HWOO)
U.S. EPA-Region III
841 Chestnut Street
Philadelphia, PA 19107
IV Director, Air and Hazardous
Materials Division
U.S. EPA-Region IV
345 Courtland St., N.E.
Atlanta, GA 30365
Director, Waste Management
Division (5H13)
U.S. EPA-Region V
230 South Dearborn Street
Chicago, IL 60604
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OSWER Policy Directive #9527.00-1A
MAILING ADDRESSES FOR
EPA REGIONAL HAZARDOUS WASTE DIVISION DIRECTORS
Region Name/Address
VI Director, Air & Hazardous
Management Division (6H)
U.S. EPA-Region VI
Inter First Two Bldg.
1201 Elm Street
Dallas, TX 75720
VII Director, Waste
Management Division
U.S. EPA-Region VII
726 Minnesota Avenue
Kansas City, KS 66101
VIII Director, Air and Hazardous
Materials Division ,
U.S. EPA-Region VIII
One Denver Place
Suite 1300
999, 18th Street
Denver, CO 80202
IX Director, Toxics & Waste
Management Division (T-1 )
U.S. EPA-Region IX
215 Fremont Street
San Francisco, CA 94105
Director, Hazardous
Waste Division (529)
U.S. EPA-Region X
1200 Sixth Avenue
Seattle, WA 98101
2-2
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OSWER Policy Directive #9527.00-1A
APPENDIX 3
MAILING ADDRESSES FOR
STATE SOLID AND HAZARDOUS WASTE AGENCIES
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OSWER Policy Directive ^527.00-1A
STATE SOLID AND HAZARDOUS WASTE AGENCIES
U.S. Environmental Protection Agency
Office of Solid Waste
April 1, 1986
ALABAMA
Daniel E. Cooper, Chief
Land Division
Alabama Department of
Environmental Management
1751 Federal Drive
Montgomery, Alabama 36130
(205) 271-7730
ALASKA
Stan Hungerford, Supervisor
Air & Solid Waste Management
Dept of Environmental Conservation
Pouch 0
Juneau, Alaska 99811
CML (907) 465-2635
AMERICAN SAMOA
Pati Faiai, Executive Secretary
Environmental Quality Commission
Government of American Samoa
Pago Pago, Anerican Samoa 96799
Overseas Operator
Commercial Call 663-4116)
ARIZONA
Ronald Miller, Manager
Office of Waste and Water
Quality Management
Arizona Department of Health Services
2005 North Central Avenue, Room 300
Phoenix, Arizona 85004
CML (602) 257-2305
ARKANSAS
John Ward, Chief
Solid & Hazardous Waste Division
Department of Pollution Control
and Ecology
P.O. Box 9583
8001 National Drive
Little Rock, Arkansas 72219
CML (501) 562-7444
CALIFORNIA
John Ramsey, Assistant Chief
Deputy Director & Chief of Staff
Toxic Substances Control Programs
Department of Health Services
714 P Street, Room 1253
Sacramento, California 95814
CML (916) 322-7202
Raymond Walsh, Interim Executive Director
State Water Resources Control Board
P.O. Box 100
Sacramento, California 95801
CML (916) '445-1553
Sherman E. Roodzant, Chairman
California Waste Management Board
1020 Ninth Street, Suite 300
Sacramento, California 95814
CML (916) 322-3330
COLORADO
Kenneth L. Waesche, Director
Waste Management Division
Colorado Department of Health
4210 E. 11th Ave.
Denver, Colorado 80220
CML (303) 320-8333 Ext. 4364
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OSWER Policy Directive #9527.00-1A
COMMONWEALTH OF NORTHERN MARIANA ISLANDS
George Chan, Director
Division of Environmental Quality
Commonwealth of the Northern
Mariana Islands
Office of the Governor
Saipan, Mariana Islands 96950
Overseas Operator: 6984
CONNECTICUT
Drl Stephen Hitchcock, Director
Hazardous Material Management Unit
Department of Environmental Protection
State Office Building
165 Capitol Avenue
Hartford, Connecticut 06106
CML (203) 566-4924
Michael Cawley
Connecticut Resource Recovery
Authority
179 Allyn St., Suite 603
Professional Building
Hartford, Connecticut 06103
CML (203) 549-6390
DELAWARE
William G. Razor, Supervisor
Solid Waste Management Branch
Department of Natural Resources
and Environmental Control
P.O. Box 1401
Dover, Delaware 19903
CML (302) 736-4781
Gerard L. Esposito, Deputy Director
Division of Water Resources
P.O. Box 1401
Dover, DE 19903
CML (302) 736-5722
3-2
Robert J. Touhey, Director
Division of Mr & Waste Management
P.O. Box 1401
Dover, DE 19903
CML (302) 736-4764
DISTRICT OF COLUMBIA
Angelo C. Tocnpros, Chief
Dept. of Consumer & Reg. Affairs
Pesticides & Haz. Waste Mat. Div.
Room 114
5010 Overlode Avenue, S.W.
Washington, D.C. 20032
CML (202) 767-8414
FLORIDA
Robert W. McVety, Administrator
Solid & Hazardous Waste Section
Dept:. of Environmentatl Reg.
Twin Towers Office Building
2600 Blair Stone Rd.
Tallahassee, Florida 32301
CML (904) 488-0300
GEORGIA
John D. Taylor Jr., Chief
Land Protection Branch
Ind. & Haz. Waste Man. Program
Floyd Towers East
205 Butler St., S.E.
Atlanta, Georgia 30334
CML (404) 656-2833
GUAM
James Branch, Administrator
Guam Environmental Protection Agency
P.O. Box 2999
Agana, Guam 96910
Overseas Operator
(Ccnmercial Call 646-8863)
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OSWER Policy Directive #9527.00-1A
HAWAII
James Ikeda, Deputy Director
Environmental Health Division
Department of Health
P.O. Box 3378
Honolulu, Hav-;;. 96801
*
OIL (808) 548-4139
IDAHO
Steve Provant, Acting Chief
Bureau of Hazardous Materials
Department of Health and Welfare
450 West State Street
Boise, Idaho 83720
CML (208) 334-2293
ILLINOIS
Bill Child, Acting Manager
Division of Land Pollution Control
Environmental Protection Agency
2200 Churchill Rd., Itoom A-104
Springfield, Illinois 62706
CML (217) 782-6760
William Child, Deputy Manager,
Division of Land Pollution Control
Environmental Protection Agency
2200 Qiurchhill Rd., Room A-104
Springfield, Illinois 62706
CML (217) 782-6760
INDIANA
David D. Lamm, Director
Division of Land Pollution Control
State Board of Health
1330 West Michigan Street
Indianapolis, Indiana 46206
CML (317) 243-5026
3-3
IOWA
Luetta Flournoy
Hazardous Materials Branch
USEPA Region VII
726 Minnesota Avenue
Kansas City, Kansas 66101
PIS 8-757-2888
CML (913) 236-2888
KANSAS
Dennis Murphey, Manager
Bureau of Waste Management
Department of Health & Environment
Forbes Field, Building 321
Tbpeka, Kansas 66620
CML (913) 862-9360 Ext. 290
KENTUCKY
J. Alex Barber, Director
Division of Waste Management
Department of Environmental Protection
Cabinet for Natural Res. & Env. Prot.
Ft. Boone Plaza, Bldg #2 /18 Reilly Rd,
Frankfort, Kentucky 40601
CML (502) 564-6716 Ext. 214
LOUISIANA
Gerald D. 'Healy Jr., Administrator
Solid Waste Division
Office Of Solid and Haz. Waste
Department of Environmental Quality
P.O. Box 44307
Baton Rouge, Louisiana 70804
CML (504) 342-1216
Glenn Miller, Administrator
Hazardous Waste Division
Office of Solid and Hazardous Waste
Department of Environmental Quality
P.O. Box 44307
Baton Rouge, Louisiana 70804
CML (504) 342-9072
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OSWER Policy Directive #9527.00-1A
George Cramer, Administrator
Ground Water Division
Department of Environmental Quality
P.O. Box A4307
Baton Rouge, Louisiana 70804
CML (504) 342-8950
MAINE
Alan Prysunka, Director
Bureau of Oil & Haz. Mat. Control
Dept. of Environmental Protection
State House Station #17
Augusta, Maine 04333
Department of Natural Resources
CML (207) 289-2651
MARYLAND
Bernard Bigham
Maryland Waste Man. Admin.
National Resources Planner
Dept. of Health Mental Hygiene
201 W. Preston Street, Room 212
Baltimore, Maryland 21201
CML (301) 225-5649
Ronald Nelson, Director
Maryland Waste Man. Admin.
Office of Environmental Prograns
Dept. of Health & Mental Hygiene
201 West Preston Street/Rm. 212
Baltimore, Maryland 21201
CML (301) 225-5647
MASSACHUSETTS
William F. Cass, Director
Division of Solid & Hazardous Waste
Department of Environmental Quality
Engineering
One Winter Street, 5th Floor
Boston, Massachusetts 02108
CML (617) 292-5589
MICHIGAN
Delbert Rector, Chief
Hazardous Waste Division
Environmental Protection Bureau
Box 30028
Lansing, Michigan 48909
CML (517) 373-2730
Allan Howard, Lhit Chief
Technical Services Section
Hazardous Waste Division
Department of Natural Resources
Box 30028
Lansing, Michigan 48909
CML (517) 373-2730
MINNESOTA
Richard Svanda, Acting Director
Solid and Hazardous Waste Division
Pollution Control Agency
1935 West County Rd. B-2
Roseville, Minnesota 55113
CML (612) 296-7282
MISSISSIPPI
Jack M. McMillan, Director
Division of Solid & Hazardous
Waste Mgmt.
Bureau of Pollxition Control
Department of Natural Resources
P.O. Box 10385
Jackson, Mississippi 39209
CML (601) 961-5062
3-4
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OSWER Policy Directive * 527.00-1A
MISSOURI
jr. David Bedan, Director
Waste Management Program
Department of Natural Resources
117 East Dunklin Street
P.O. Box 1368
Jefferson City. MD 65102
CML (314) 751-3241
MONTANA
Duane L. Robertson, Chief
Solid & Hazardous Waste Bureau
Department of Health and
Environmental Siences
Cogswell Bldg., ROOD B-201
Helena, Montana 59620
CML (406) 444-2821
NEBRASKA
Mike Steffensmeier
Section Supervisor
Hazardous Waste Management Section
Department of Environmental Control
State House Station
P.O. Box 94877
Lincoln, Nebraska 68509
CML (402) 471-2186
NEVADA
Verne Rosse, Director
Waste Management Program
Division of Environnental Protection
Department of Conservation and
Natural Resources
Capitol Complex
201 South Fall Street
Carson City, Nevada 89710
CML (702) 885-4670
NEW HAMPSHIRE
John A. Minichiello, Assistant Director
Division of Public Health Services
Office of Waste Management
Department of Health and Welfare
Health and Welfare Building
Hazen Drive
Concord, New Hampshire 03301
CML (603) 271-4609
NEW JERSEY
Dr. Marwan Sadat, Director
Division of Waste Management
Dspartment of Environnental Protection
32 E. Hanover Street, CN-027
Trenton, New Jersey 08625
CML (609) 292-1250
NEW MEXICO
Ernest Rebuck, Chief
Groundwater & Hazardous Waste Bureau
Environmental Improvement Division
Health & Environment Department
P.O. Box 968
Santa Fe, New Mexico 87504-0968
CML (505) 827-2918
Peter Pache, Program Manager
Hazardous Waste Section
Groundwater & Hazardous Waste Bureau
Environnental Improvement Division
Health and Environment Department
P.O. Box 968
Santa Fe, New Mexico 87504-0968
CML (505) 827-2924
NEW YORK
Norman H. Nbsenchuck, Director
Division of Solid & Hazardous Waste
Department of Environmental
Conservation
50 Wolf Bd., Room 209
Albany, New York 12233
CML (518) 457-6603
3-5
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OSWER Policy Directive #9527.00-1A
NORTH CAROLINA
William L. Meyer, Head
Solid & Hazardous Waste Management
Branch
Division of Health Services
Department of Human Resources
P.O. Box 2091
Raleigh, North Carolina 27602
CML (919) 733-2178
NORTH DAKOTA
Martin Schock, Director
•Division of Hazardous Waste
Management and Special Studies
Department of Health
1200 Missouri Ave., Room 302
Box 5520
Bismarck, North Dakota 58502-5520
CML (701) 224-2366
OHIO
Steven White, Chief
Division of Solid & Hazardous
Waste Management
Ohio EPA
361 East Broad Street
Columbus, Ohio 43215
CML (614) 466-7220
OKLAHOMA.
Dwain Farley, Chief
Waste Management Service
Oklahoma State Dept. of Health
P.O. Box 53551
1000 N.E. 10th Street
Oklahoma City, Oklahoma 73152
CML (405) 271-5338
OREGON
Mike Dowis, Administrator
Hazardous & Solid Waste Division
Department of Environmental Quality
P.O. Box 1760
Portland, Oregon 97207
CML (503) 229-5913
PENNSYLVANIA
Donald A. Lazarehik, Director
Bureau of Solid Waste Management
Pennsylvania Department of
Environnental Resources
P.O. Box 2063
Harri sburg, Pennsylvania 17120
CML (717) 787-9870
PUERTO RICO
Santos Rohena, President
Environmental Quality Board
P.O. Box 11488 '
Santurce, Puerto Rico 00910-1488-
CML (809) 725-0439
RHODE ISLAND
John S; Ojuiim, Jr., Supervisor
Solid Waste Management Program
Dept. of Environmental Management
204 Cannon Building
75 Davis Street:
Providence, Rhode Island 02908
CML (401) 277-2797
SOUTH CAROLINA
Robert W. King, Chief
Bureau of Solid and Haz. Waste Mgtm.
Department of Health & Environnental
Control
2600 Bull Street
Columbia, South Carolina 29201
CML (803) 758-5681
SOUIH DAKOTA
Joel C. Smith, Administrator
Office of Air Quality & Solid Waste
Department of Water & Natural Resources
Foss Building, Room 217
Pierre, South Dakota 57501
CML (605) 773-3153
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OSWER Policy Directive #9527.00-1A
TENNESSEE
Tom Tiesler, Director
Division of Solid Waste Management
Tennessee Department of Public Health
701 Broadway
CusTrms House, 4th Floor
Nashville, Tennessee 37219-5403
CML (615) 741-3424
TEXAS
L.D. Thurman, Acting Chief
Bureau of Solid Waste Management
Texas Department of Health
1100 West 49th Street, T-601A
Austin, Texas 78756-3199
CML (512) 458-7271
Bryan W. Dixon, Director
Hazardous and Solid Waste Division
Texas Water Commission
1700 North Congress
P.O. Box 13087, Capitol Station
Austin, Texas 78711
CML (512) 463-7760
UTAH
Dr. Dale Parker, Director
Bureau of Solid and Hazardous
Waste Management
Department of Health
P.O. Box 45500
State Office Bldg.
Salt Lake City, Utah 84140
CML (801) 533-4145
VERMONT
John Malter, Director
Waste Management Division
Agency of Environmental Conservation
State Office Building
Montpelier, Vermont 05602
CML (802) 828-3395
VIRGIN ISLANDS
Angel Lois Le Bron, Commissioner
Department of Conservation and
Cultural Affairs
P.O. Box 4399, Charlotte Amalie
St. Thomas, Virgin Islands 00801
CML (809) 774-6420
VIRGINIA
William F. Gilley, Director
Division of Solid and Hazardous
Waste Management
Virginia Department of Health
Monroe Building 11th floor
101 North 14th Street
Richmond, Virginia 23219
CML (804) 225-2667
Dr. Wladimir Gulevich, Director
Bureau of Hazardous Waste Management
Virginia Department of Health
Monroe Building - 11th Floor
101 North 14th Street
Richmond, VA 23219
CML (804) 225-2667
WASHINGTON
Earl Tower, Supervisor
Solid & Hazardous Waste Mgmt. Division
Department of Ecology
Mail Stop PV-11
Olympia, Washington 98504
CML (206) 459-6316
Nancy Ellison, Manager
Air Programs
Department of Ecology
Mail Stop PV-11
Olympia, Washington 98504
CML (206) 459-6000
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OSWER Policy Directive #9527.00-1A
WEST VIRGINIA
Timothy I. Laraway, Branch Head
Solid and Hazarous Waste/Ground
Water Branch
Division of Water Resources
1201 Greenbrier Street
Charleston, West Virginia 25311
CML (304) 348-5935
Ronald A. Shipley
Special Ass't Co the Director
West Virginia Department of
.Natural Resources
'1800 Washington Street, East
Charleston, West Virginia 25305
CML (304) 348-2761
WISCONSIN
Paul Didier, Director
Bureau of Solid Waste Management
Dept. of Natural Resources
P.O. Box 7921
Madison, Wisconsin 53707
CML (608) 266-1327
WYOMING
Charles A. Porter, Supervisor
Solid Waste Management Program
State of Wyoming
Dept of Environmental Quality
122 West 25th Street
Herschler Bldg.
Cheyenne, Wyoming 82002
CML (307)-777-7752
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OSWER Policy Directive #t._ ..7.00-1 A
APPENDIX 4
SUGGESTED PERMIT APPLICATION CHECKLIST
FOR TREATMENT TECHNOLOGIES AND PROCESSES
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OSWER Policy Directive ^95^.7.00-U
SUGGESTED PERMIT APPLICATION CHECKLIST
FOR TREATMENT TECHNOLOGIES OR PROCESSES
To Be
Submitted Not
Submitted At Later Date' Applicable
1. Waste Description
A, Type/quantity
B. Physical/chemical
description
I
2. ' Process Engineering
A. General description
0 flow diagram
0 schematic
B. Waste feed system
C. Pollution control system
D. Operating parameters
3. Research Plan
A. Objective statement/
experimental design
B. Operating parameters to
be monitored and frequency
C. Environmental parameters
to be monitored and
frequency
D. Sampling and analytical
methods
E. Equipment inspection
procedures and frequency
4. QA/QC Plan 2
A. Calibration procedures
and frequency
B. Internal quality control
checks
' A section of the permit should be reserved for the revised submittal and the
deficiency should be noted in the application.
2 The need for and type of QA/QC, including the level of detail, will depend
on the applicant's research objectives.
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OSWER BDlicy Directive #9527.00-1A
SUGGESTED PERMIT APPLICATION CHECKLIST
3R
3LOGIES OR PROCESSES
Submitted
To Be
Submitted
At Later Date"!
tot
Applicable
5. Data reporting/
recordkeeping
6. Safety Plan
A. Bnergency response
procedures
1 B. Personnel qualifications
• ' or training
7. Closure Plan
A. Procedures to close
B. Date/schedule
C. Disposition of residues
D. Quantity of waste
E. Procedures to
decontaninate equipment
F. Time to close
8. Financial Responsibility
A. Financial assurance for
closure
B. Liability coverage
9. Signatories
A. Owner/address
B. Operator/address
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OSWER Policy Directive #9527.00-1A
APPENDIX 5
TECHNICAL ASSISTANCE DOCUMENTS
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OSWER Policy Directive #9527.00-1A
PUBLICATIONS
The following EPA documents have some relevance to the
permitting of RD&D facilities; for any individual permit, these
documents may have greater or lesser relevance.
Test Methods for Evaluating Solid Wastes, #SW-846. Order from
GPO (No. 055-002-81001-2, $55.00 for a 2-year subscription).
A Method for Determining the Compatibility of Hazardous Wastes
#EPA-600/2-80-076. Order from NTIS (No. PB80-221005, $15.00).
Financial Assurance for Closure and Post-Closure Care;
Requirements for Owners and Operators of Hazardous Waste Treatment,
Storage, and Disposal Facilities--A Guidance Manual, ISW-955.
prder frotn NTIS (No. PB-237595, $21.00).
Closure and Post-Closure of Hazardous Waste Treatment, Storage,
and Disposal Facilities Under Interim Status Standards (40 CFR.
Subpart G), Draft Guidance, *SW-912, 1981.Available in EPA
Regional libraries for photocopying. A revised manual will be
published in July 1986 for Parts 264 and 265, Subpart G.
Liability Coverage; Requirements for Owners or Operators of
Hazardous Waste Treatment, Storage, and Disposal Facilities—A
Guidance Manual. #SW-961, November 1982. Order from NTIS (No.
PB82-144675, $11.50).
Petitions to Delist-Hazardous Wastes: A Guidance Manual,
EPA/530-SW-85-003, April 1985.
RCRA Personnel Training Guidance Manual, September, 1980.
Order from RCRA Docket ($15700).
Waste Analysis Plans--A Guidance Manual', *EPA/530-SW-84-012,
October 1984.
Permit Applicants' Guidance Manual for the General Facility
Standards of 40 CFR 264. ISW-968. 1983.
Permit Applicants' Guidance Manual for Hazardous Waste Land
Treatment, Storage, and Disposal Facilities, EPA »530/SW-84-004,
May 1984. Order from the Government Printing Office, #GPO-055-
000-00240-1.
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OSWER Policy Directive #9527.00-1A
PUBLICATIONS (continued)
Addressees for ordering the documents listed above
Government Printing Office
Washington, D.C. 20402
202/783-3238
U.S. Department of Commerce
National Technical Information Service
5285 Port Royal Road
Springfield, VA 22161
703/487-4650
RCRA Docket
' U.S. EPA (WH-565)
Washington, D.C. 20460
202/382-4672
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OSWER Policy Directive #9527.00-1A
SAFETY PUBLICATIONS
The following list of publications deals primarily with
laboratory safety. The list is by no means complete. The
products, procedures, or companies mentioned in these documents
are not endorsed by the Agency.
Delvin, W. L. "Process for Controlling Accidents in Chemical
Laboratories." Report from the American Chemical Society
Symposium on the chemistry of Engine Combustion Deposits,
Atlanta, GA, March 29, 1981. DOE Report No. CONF-810308-9.
Forrey, A. W. "Waste Management and Laboratory Safety".
Clinical Chemistry, Vol. 30, No. 4 (1984), p. 1090.
Lawrence Berkeley Laboratories. Rules and Procedures for the
Design and Operation of Hazardous Research Equipment.
Berkeley, CA: University" of California at Berkeley, Dec.,
1978.
National Research Council. Prudent Practices for Handling
Hazardous Chemicals in Laboratories^Report No. ISBN-0-309-
03128-1. Washington, D.C.: National Research Council, 1981.
National Technical Information Service. Safety in the Chemical
Industry. Bibliography compiled from the Engineering Index
Data Base. Springfield, VA: National Technical Information
Service, May, 1984.
Walters, D. B.. "The Theory and Practice of Chemical Health and
Safety in the Laboratory." Abstracts of Papers of the
American Chemical Society, 187 (April, 1984), p. 1.
Catalogs containing laboratory safety equipment are available
from companies such as Lab Safety Supply, Fisher Scientific,
and Scientific Products.
5-3
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OSWERSPolicy Directive #9527.00-1A
APPENDIX 6
ANSWERS TO FREQUENTLY ASKED QUESTIONS ABOUT
THE RD&D PERMIT PROGRAM
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OSWER Policy Directive #9527.00-1A
ANSWERS TO FREQUENTLY ASKED QUESTIONS ABOUT
THE RD&D PERMIT PROGRAM
AUTHORIZED STATES
1. Should Federal RD&D permits be issued in States which are
now authorized to issue RCRA permits, if the proposed activity
will occur in units which are regulated wider the State's
hazardous waste program?
Yes, if the State hazardous waste agency sends a letter
to the Regional EPA Hazardous Waste Division Director acknowledg-
ing that they will defer issuing a RCRA permit to the Federal
government. However, States may ban RD&D activities or require
' 6. full RCRA permit for any RD&D activities, because Section 3009
of HSWA allows a State to be authorized for a more stringent
RD&D program than EPA's. In this case, the EPA would not
issue a Federal RD&D permit.
SCALE OF FACILITIES
2. Is there a minimum size of RD&D activity (e.g., lab-scale or
bench-scale) that doesn't require an RD&D permit?
No. All hazardous waste treatment activities require a
RCRA permit unless they are exempted from RCRA permitting
under 5270.1(c)(2) (see section 1.4 for a discussion of these
exclusions).
3. Can full-scale facilities be permitted as RD&D?
Yes, however the permit must limit the quantities of
hazardous waste and time of experimental testing to the minimum
necessary to validate the RD&D technology or process. Moreover,
the permit applicant should justify the need to construct a
full-scale facility that would exceed the suggested maximum of
15,000 kg/month (see section 2.3 of this manual).
INTERIM STATUS
4. How can the permit writer determine whether an RD&D proposal
qualifies as a change under interim status or should be permitted
as RD&D?
All RD&D projects must be evaluated on a case-by-case
basis according to the criteria specified in Section 2 of this
manual. RD&D activities may be authorized under interim status
without a permit if necessary to meet the waste minimization
requirements for generators under Part 262 (50 FR 28744,
July 15, 1985). Note however, that the cost of adding the
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OSWER Policy Directive #9527.00-1A
technology or process unit must not exceed 50% of the cost of
building an entirely new facility; this includes all the existing
structures and land at the hazardous waste facility at today's
construction costs (see S270.72(e)).
5. Does the owner or operator of an interim status facility
lose interim status when a unit is permitted as RD&D?
No, if the RD&D permit is a partial facility permit under
§270.1(c)(4) and is only being issued to the RD&D unit. Interim
status will terminate when the facility owner or operator is
issued a full RCRA permit for the facility, including any
units permitted as RD&D (S270.73(a)).
RCRA PERMITTED FACILITIES
•
6. Does the owner or operator of a fully permitted RCRA facility
need to obtain an RD&D permit to conduct research on a technology
or process, which is not currently addressed in his permit?
The Agency may find it expedient to issue a separate RD&D
permit under S3005(g) to govern the experimental activities or
the Agency may amend the existing RCRA operating permit, inserting
provisions to address the experimental activity.
7. Can more than one RD&D permit be issued concurrently to the
same facility?
No. EPA will amend any outstanding RCRA permit to
incorporate RD&D provisions.
8. If the permittee wants to test more than one unit, whether
or not the units are similar or modified, is a permit required
for each unit?
One RD&D permit can authorize testing of several different,
and unrelated technologies or processes. The permit applicant
must specify as clearly as possible all experimental processes
to minimize the need for permit modifications. The permit
applicant should identify, to the extent possible, all potential
alterations or additions to their experimental equipment and
this information should be covered in the permit. Given the
uncertainty of actual operating efficiencies with RD&D activities,
permit conditions should cover all potential activities.
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OSWER Policy Directive #9527.00-1A
THERMAL TREATMENT UNITS
*
9. How does the dioxin rule of January 14, 1985 apply to RD&D
permits?
The performance standards of 40 CFR, Part 264, Subpart 0
for inc Derating or thermally treating dioxin waste may be
applied on a case-by-case basis for RD&D thermal treatment
units, where appropriate. However, these requirements should
be used as a basis for developing permit conditions to monitor
the emissions to assure protection of human health and the
environment. Any parameters different from the 5264.343
requirements for the destruction and removal efficiency (DRE) ,
principal organic hazardous Constituents (POHC's), hydrochloric
acid (HC1), and particulates should be substantiated with
alternative monitoring methods, identification of the constit-
uents intended for analysis, and an explanation as to how
these alternative methods will ensure protection of human
health and the environment.
10. Will the Agency provide technical guidance for processes
not covered in 40 CFR Parts 264 and "
Not in this guidance manual. However, the permitting
authority and permit applicants may request technical assistance
from the Office of Research and Development, Alternative Tech-
nologies Division in Cincinnati (see Appendix 7) to: (1)
recommend appropriate sampling and monitoring procedures and
analyses, including rel'evant QA/QC procedures, (2) recommend
pollution control devices (e.g., after-burners) and monitoring
parameters and procedures, as appropriate to protect public
health and the environment, and (3) evaluate the potential
technical merits of a proposal based on any available performance
data about the unit treating hazardous or nonhazardous waste.
IDENTIFICATION NUMBERS
1 1. Should the permit applicant submit a S3010 notification
form to receive an identification number?
No. This form is, in general, only applicable when the
hazardous waste listings under RCRA Section 3001 are revised;
an identification number can be assigned without using this
form. The information requested on the form is the same infor-
mation required of all RD&D permit applicants.
12. If a hazardous waste treatment, storage, or disposal
facility (interim status or permitted) applies for and receives
an RD&D permit for RD&D units, can the same 'facility identifi-
cation number be used for both facilities?
Yes.
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OSWER Policy Directive #9527.00-1A
RESIDUES FROM TREATMENT
13. May an RD&D permittee who receives hazardous vaste from a
generator who does not have a RCRA permit (e.g., small quanitity
generator^ as defined in §261.5) return the unused or reduced
part of the waste to that generator when the RD&D experiments
are completed?
No. Although the permitting authority can modify or
waive permit application and permit issuance requirements to
accelerate the permitting of RD&D facilities, there is no
authority to modify or waive the requirements pertaining to
shipping hazardous waste from an RD&D facility. Waste shipped
from an RD&D facility must be manifested and go to a RCRA
facility with interim status or a RCRA permit (S263.20(d)).
The RD&D facility could arrange for the generator's transporter
'to pick up the unused and reduced portions of waste and take
it to a RCRA "designated facility", such as the facility
commonly used by the generator or by another facility.
CERCLA
14. Can RD&D technologies and processes,be tested at a CERCLA
site?
Yes, but a RCRA permit is not required. On-site remedial
actions must attain or exceed applicable or relevant and
appropriate RCRA standards (50 FR 47946-48, November 20, 1985),
which are determined on a case-By-case basis.
15. Can RD&D permits, which are intended for off-site treatment
of CET?CLA wastes, be issued within one to two months of receiving
the RD&D permit application?
No. RD&D permits must allow 45-days for public notice and
comment (RCRA S7004(b)(2) and S124.10(b)(1)) rendering it
unlikely that a two month deadline can be met. However, the
permit applicant and permit writer should develop a schedule
for processing the RD&D permit as expeditiously as possible,
after determining that the proposal qualifies for an RD&D
permit.
CLOSURE
16. Should detailed closure plans be required for all RD&D
facilities?
No. Closure plans should basically address how and when
the facility will be closed and how the treated wastes will be
handled (see section 4.9.1 of this manual for further clarification
on closure plans).
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OSWER Policy. Directive #9L-T.OO-1A
17. Must the closure performance standard of S264.111 be met by
all RD&D facilities?
Yes. The performance standard embodied in $264.111 is
a general standard which should be met through the conditions
in the closure plan to ensure protection of human health and
the environment.
18. When a permittee, who is testing more than one unit,
completes testing vith one unit, he may want to decontaminate,
dispose or sell it, and then continue similar experiments. Is
this considered partial closure of an RD&D facility?
Yes. Decontaminating and disposing or selling one machine,
When other equipment is still operating, should be considered
partial closure of the RD&D facility. Since an RD&D facility
is required to have a closure plan, the permit should address
procedures to partially close. Permittees should be required
to decontaminate equipment which will be sold. The procedures
for decontamination should be specified in the permit.
PUBLIC NOTICE AND COMMENT
19. Should a fact sheet or as tatement of bas is (SI 24.8) be
used for public notice with the draft permit?
The permitting authority has the discretion to require
either the fact sheet or a statement of basis. A fact sheet
may be preferable for RD&D experiments when the permitting
authority wants to provide a more detailed description of the
RD&D facility, particularly when the permit is substantially
less stringent than a full RCRA permit. Fact sheets are more
comprehensive than a statement of basis.
20. Should the permitting authority combine the 45-day public
notice and comment period with the 30-day public hearing into
a single timeframe?
Yes. This will help expedite permit issuance if a request
for a hearing is expected.
DATA REPORTING/CLEARINGHOUSE
21. How much reporting information should be required from
permittees, and who should accept this information and in what
form?~~"
The permit applicant and permitting authority should decide
on the type of monitoring and recordkeeping information
appropriate to the type and scope of the RD&D project. In some
cases, when large quantities of different waste streams are
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OSWER Policy Directive #9527.00-1A
being tested (e.g., 7,000 kg/month) in more than one unit, it
may be advisable to keep an operating log to record the
operating changes vs. unit performance. Applicants who intend
to ultimately apply for a full RCRA permit to commercially
use full-scale versions of the RD&D units, should consider
using acceptable QA/QC procedures for sampling and analysis.
Any required reporting or recordkeeping requirements should
be conditions in the permit, including who should maintain the
information (e.g., the records are maintained at the facility
for review by the permitting authority).
22. What type of information should a permittee provide that
summarizes the effectiveness of the RD&D activTties?
, As stated in question #21, the type of monitoring informa-
tion will be determined during the permit issuance process.
The Agency is interested in those results of RD&D testing that _,
may be useful in drafting permit conditions for the experimental
unit when the owner or operator applies for a full RCRA permit
to commercially use the unit. Also, analytical information
on the chemical and physical composition of the treated residues
can be useful in making "delisting" decisions.
*•
If permittees decide to share their experimental test
results, one copy should be forwarded to: U.S. Environmental
Protection Agency, Office of Solid Waste (WH-563), ATTN:
Arthur Glazer, 401 M St., S.W., Washington, DC 20460. This
information will be shared with both EPA Headquarters and
Regional staff to assist them in developing permit standards
and analytical methods for new treatment technologies and
processes, and to assist the Agency's research efforts. There
is no prescribed form for submitting this information but the
permittee might consider including the following:
1. Name, address, and telephone number of the company;
2. Name and telephone number of the person who is most
knowledgeable about the test results;
3. Description of the unit(s), including any pollution
control equipment;
4. Summary of the optimum performance capabilities of
the unit(s), according to the types and quantities of hazardous
wastes treated (includes a chemical and/or physical characteri-
zation of emissions, if appropriate and of residues); and,
5. Summary of QA/QC procedures.
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OSWER Policy Directive #9527.00-1A
23. How will the Agency nationally track information about
RD&D permit applications, RD&D permits, and RD&D test results?
The Agency intends to maintain a "clearinghouse" to record
all of this information for purposes of maintaining abstracts
that summarize the type of RD&D activities considered for
permitting (see Appendix 8). This information is available to
anyone upon reouest and will provide both permit writers and
permit applies . cs with general information about the type of
technologies and processes, type and quantity of wastes, and
the name(s) of persons to contact for specific technical infor-
mation about the results of experiments. Persons interested
in this information may call Nancy Pomerleau at (202) 382-4500,
Office of Solid Waste, Washington, DC.
RESEARCH FACILITIES
24. Can RD&D permits be issued to a private, government, or
independent research facility to test multiple and/or unrelated
hazardous waste treatment technologies and processes?
Yes. RD&D permits must specify the type and quantity of
hazardous wastes, require liability coverage, and include
terms and conditions to protect human health and the environment.
The Agency recognizes that some research facilities, such
as government-owned laboratories or State or private university
laboratories may want to test a variety of laboratory-scale
and/or bench-scale technologies and processes during the term
of the permit. In these cases, the applicant must clearly
explain how the public health and the environment will be
protected when the technologies and processes are tested. The
description of the RD&D activity must be general enough to
cover the variety of experimental activities, but specific
.enough for the permitting authority to ensure that the activities
are in fact innovative and experimental. This issue must be
resolved for each applicant. For example, the applicant should
address the issue of monitoring and analyzing the emissions
from the unit or laboratory building where the experiments will
be conducted, if appropriate. Also, the applicant should
describe his general emergency response procedures i the
event of a fire, spill, or explosion at the facility during
testing. Lastly, since the permit term is limited to operating
days, either an operating log or a fixed permit term of one
calendar year should be considered.
The Agency is currently developing a regulation to permit
laboratory facilities. Until this regulation is promulgated,
these facilities will be permitted under S270.65.
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OSWER Policy Directive #95.7.00-1A
APPENDIX 7
TELEPHONE DIRECTORY FOR THE
OFFICE OF RESEARCH AND DEVELOPMENT
ALTERNATIVE TECHNOLOGIES DIVISION
76 West St. Clair
Cincinnati, Ohio 45268
AND
OFFICE OF ENVIRONMENTAL ENGINEERING
AND TECHNOLOGY
401 M Street, S.W.
Washington, DC 20460
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OSWER Bolicy Directive #9527.00-1A
U.S. ENVIRONMENTAL PROTECTION AGENCY
Office of Research and Development
ALTERNATIVE TECHNDLOGIES DIVISION
Clyde J. Dial, Director (FTS/684-7528)
THERMAL DESTRUCTION BRANCH
E. Timothy Oppelt, Chief (FTS/684-7696)
CHEMICAL AND BIOLOGICAL DETOXIFICATION BRA1CH
Albert J. Klee, Chief (FTS/684-7493)
.THEIWAL DESTRUCTION OF HAZARDOUS MATERIALS
Conventional and "At Sea" Incineration
Disposal of Hazardous Waste in Kilns
Non-Flame Thermal Destruction
Disposal of Hazardous Waste in Boilers
Innovative Technologies
Engineering Analysis, Plasma Arc and
Data Base
MLcrospray Burners
Turbulent Flame Reactor and Control
Temperature Tower-
Donald Oberacker
Edward L. Katz
Ityron Malanchuk
Robert Mournighan
Ivars J. llcis
Harry M. Freenan
C. C. Lee
C. C. Lee
Louis H. Garcia
Laurel J. Staley
FTS No.t
684-7407
684-7663
684-7881
684-7408
684-7520
684-7529
684-7520
684-7520
684-7881
684-7881
COMBUSTION RESEARCH FACILITY
(Jefferson, Arkansas)
Robert Mournighan 684-7430
542-4355
(501/541-4355)
CENTER HILL FACILITY
(Cincinnati, Ohio)
George L. Huffman 684-7881
t The commercial number is (513)569-xxxx.
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OSWER Policy Directive #9527.00-1A
HAZARDOUS WASTE TREATMENT
Air Emissions from Treatment, Storage
and Disposal Facilities
Existing Treatment
Physical/Chemical Separation of
Aqueous Hastes
Riysical/Chemical Treatment of
Soils and Sediments •
Biological Detoxification
Emerging Technologies for Chemical
Detoxification of Hazardous Wastes
Pesticide Disposal
Metals Removal
Hazardous Waste Minimization, Reuse
Benjamin Blaney
Robert A. Olexsey
Harry M. Freeman
Ronald J. Turner
Douglas W. Grosse
H. Paul Warner
S. Garry Howell
Mark J. Stutsman
John F. Martin
Donald L. Wilson
Charles J. Rogers
Alfred Kbrnel
Pasquale Sferra
John A. Glaser
Charles J. Rogers
Alfred Kbmel
Donald L. Wilson
S. Garry Howell
T. David Ferguson
John F. Martin
FTS Nb.t
684-7519
684-7717
684-7529
684-7775
684-2621
684-7795
684-7756
684-7776
684-7758
684-7510
684-7757
684-7421
684-7618
684-7562
684-7757
684-7421
684-7510
Brian A. Westfall 684-7755
684-7756
684-7518
684-7758
Harry M. Freeman 684-7529
OIL SHALE
Edward R. Bates
684-7774
RD&D PERMIT COORDINATION
T. David Ferguson 684-7518
t The commercial number is (513)569-xxxx.
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OSWER Policy DLrective #9527.00-1A
OFFICE OF ENVIROtWENIAL ENGINEERING AND TECHNOLOGY, Washington, DC
Superfund Program
Alternative Technologies
Dioxin Wastes
H. Ray Thacker
Baul des Hosiers*
Paul des Hosiers*
FTS No.t
382-5747
382-2722
382-2722
t The commercial number is (202) 382-xxxx.
* Chairman, Dioxin Disposal Advisory Group.
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OSWER Policy Directive #9527.00-1A
APPENDIX 8
SUMMARY FORM FOR RESEARCH, DEVELOPMENT,
AND DEMONSTRATION PERMIT APPLICATIONS
PURSUANT TO 40 CFR §270.65
1. Name of proposed technology or process.
2. Objective of the research.
3. Description of the research, including the type and quantity
of hazardous waste.
4. EPA identification number (if assigned).
5. Name and location of the proposed facility.
6. Name and address of the owner.
7. Name and address of the operator.
8. Name and telephone number of the Regional person
responsible tor processing the application.
9. Date the application was received.
10. Approved [ | If approved, indicate expected date to
public notice the draft permit.
Denied \ ] If denied, indicate the reasons for denial.
* These summaries should be forwarded to: 'U.S. Environmental
Protection Agency, Office of Solid Waste (WH-563), ATTN:
Arthur Glazer, Program Manager, 401 M St., S.W., Washington, DC
20460; they will be used to form the basis of a clearinghouse
to track RD&D technologies and processes.
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OSWER Policy Directive #9527.00-1A
APPENDIX 9
RESEARCH, DEVELOPMENT, AND DEMONSTRATION PERMIT
PROCESS
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