U.S. Environmental Protection Agency
Region 5, Library (PL-l.?.n
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HAZARDOUS WASTE
a guide for
obtaining permits and
authorization for
state programs
I. THE NATIONAL PROGRAM
FOR REGULATING HAZARDOUS WASTE
A new and nationwide effort is underway to protect human health
and the environment from the damaging effects of hazardous wastes.
Under Subtitle C of the Resource Conservation and Recovery Act of
1976 (RCRA), the U.S. Environmental Protection Agency (EPA) is
legally required to develop regulations for controlling all significant
quantities of hazardous wastes from the point of generation to their
ultimate disposal. These controls include appropriate monitoring,
recordkeeping, and reporting. Congress deemed such a strict sysjfem of
controls necessaryit has been described as "cradle-to-grave"
because of the special dangers hazardous wastes have presented when
they were mismanaged in the past.
It has taken approximately 3 years to develop the seven regulations
constituting the hazardous waste control program. These regulations
have been proposed in the Federal Register at various times during
1978 and 1979. The Agency has circulated drafts of the regulations for
comment and held about 85 public meetings, which were attended by
various sectors of the public. EPA carefully analyzed the comments
and integrated many of them into the proposed regulations.
The regulations called for by RCRA cover these areas:
Definition, identification, and listing of hazardous waste
(section 3001)
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Standards applicable to generators of hazardous waste
(section 3002)
Standards applicable to transporters of hazardous waste
(section 3003)
Performance, design, and operating requirements for facilities
that treat, store, or dispose of hazardous waste (section 3004)
A permit system for such facilities (section 3005)
Guidelines to assist States in developing their own hazardous
waste programs and procedures for obtaining
EPA authorization for their programs (section 3006)
Procedures by which hazardous waste generators, transport-
ers, and facility owners/operators notify EPA of their activi-
ties (section 3010)
EPA and State governments share responsibilities for implementing
and monitoring the programs to regulate hazardous waste under
sections 3005 and 3006 of RCRA. Each State is to develop its own
regulatory program, which must be authorized by EPA. To receive
authorization, the State program must be able to meet certain criteria
EPA has developed. EPA regulates hazardous waste only in States
that choose not to implement their own programs or fail to qualify for
EPA authorization. Currently, about 40 States are expected to apply
for authorization.
This guide summarizes the regulations developed under sections
3005 and 3006 of RCRA and is intended to assist those directly
involved with or affected by implementation of the regulations.
However, the regulations themselves should be read in conjunction
with this guide. Two groups of people should find the guide especially
helpful:
Operators of hazardous waste management facilities seeking
permits under section 3005. In States without an approved
program, the operator applies to the Regional Administrator
of the appropriate EPA regional office (see back cover),
according to the procedures outlined in Chapter III of this
guide. In States with an approved program, the owner must
apply to the State Director of the appropriate State agency.
(EPA will publish a list of authorized States, as such autho-
rization is granted, in the Federal Register). The application
will have to meet certain operational requirements similar to
those of the Federal program, as well as any other require-
ments imposed by the State.
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States seeking authorization from the EPA Administrator to
conduct a hazardous waste management program under sec-
tion 3006. States may apply either for a 2-year "interim"
authorization or for "full" authorization. (The latter is simply
called "authorization" in the regulations.)
Promulgation of the section 3001 regulations defining hazardous
wastes will act as the "trigger" that will put the entire Federal
program into effect. Within 180 days of promulgation of the regula-
tions under section 3001, all applicants for a hazardous waste manage-
ment facility permit must apply to EPA for "interim status," which
allows them to operate temporarily. States seeking interim authoriza-
tion under section 3006 are encouraged to file as soon as possible after
promulgation of the section 3001 regulations to take full advantage of
the 2-year period for upgrading their programs in order to receive
"full" authorization.
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II. ERA'S CONSOLIDATED PERMIT
PROGRAM REGULATIONS
The RCRA regulations under sections 3005 and 3006 are among
five sets of EPA related regulations that have been consolidated into
one set of regulations because they have similar procedures and
requirements. The five are:
The hazardous waste management program under RCRA
The underground injection control (UIC) program under
the Safe Drinking Water Act (SDWA)
The national pollutant discharge elimination system
(NPDES) under the Clean Water Act (CWA)
The dredge or fill (section 404) program under CWA
The prevention of significant deterioration (PSD) program
under the Clean Air Act
The five have been consolidated into one "package" to improve the
efficiency and consistency of the regulatory process. Under the
consolidation:
Related regulations appear in one place in the Federal
Register and follow the same format
Redundant regulations are eliminated
Common definitions and procedures are used
EPA has also developed a set of consolidated permit application
forms, including an "umbrella" form to collect standard information
under any EPA permit program, in addition to forms pertaining to the
specific programs. The draft application materials appear in the same
Federal Register as the Consolidated Permit Regulations. These
consolidated application materials will reduce the amount of paper-
work required to be submitted by permit applicants, especially where a
single facility requires more than one EPA permit.
The regulations proposed for the hazardous waste management
program, when promulgated in final form, will be included in 40 Code
of Federal Regulations (CFR) Parts 122, 123, and 124, which now
cover only the NPDES regulations. The format of the proposed
regulations is being used because it provides an existing, workable
structure for organizing permit regulations.
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The three Parts of the CFR are:
Part 122: EPA-Administered Permit Programs
Part 123: State Program Requirements
Part 124: Procedures for Decisionmaking
To structure the regulations into an understandable format, Parts
122, 123, and 124 have been organized into subparts. Parts 122 and
123 contain:
Subpart A: General requirements for all programs
Subpart B: Specific requirements for the hazardous
waste program under RCRA
Subpart C: Specific requirements for the UIC program
under SDWA
Subpart D: Specific requirements for the NPDES pro-
gram under CWA
Part 123 also contains a Subpart E governing State regulation of the
dredge or fill program under section 404 of CWA.
In Part 124, a subpart is not provided for the UIC program because
all procedures necessary are covered in Subpart A. Subpart B estab-
lishes additional requirements for the RCRA program. Subpart C
applies to the PSD program and Subparts D, E, and F to the NPDES
program.
The RCRA procedures under Parts 122, 123, and 124 should be
read, where appropriate, in conjunction with proposed regulations
under RCRA sections 3001, 3002, 3003, 3004, and 3010, and4 regula-
tions under the Hazardous Materials Transportation Act of the U.S.
Department of Transportation (see inside back cover). These guide-
lines and regulations constitute the hazardous waste regulatory pro-
gram under Subtitle C of RCRA.
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III. APPLYING TO EPA FOR A
HAZARDOUS WASTE PERMIT (PART 122)*
Part 122 includes definitions and basic requirements for EPA to
issue permits under the RCRA (section 3005), NPDES, and UIC
programs. It covers the full range of substantive program require-
ments, spelling out in detail who must apply for a permit; the duration
of a permit; requirements for modifying, revoking, or reissuing a
permit; termination of a permit; the terms, conditions, and schedules
of compliance that must be incorporated into a permit; when and how
permit conditions must be monitored and reported; and specific
requirements applicable to the different permit programs. Part 123
requires authorized States to have some Part 122 provisions, especially
those covering operational requirements (sections 123.8, 123.39).
WHO NEEDS A PERMIT? Any person who owns, operates, or
proposes to own or operate a facility that treats, stores, or disposes of
hazardous waste must receive a permit from EPA (sections 122.6,
122.21(b), 122.23(a)) or an authorized State. A waste is considered
hazardous if it has certain characteristics or is listed in regulations
defining a hazardous waste under RCRA section 3001.
The first step in obtaining a permit from EPA for a hazardous waste
management facility is to submit an application to the Regional
Administrator of the appropriate EPA regional office (see back
cover). Certain information may be considered confidential if the
applicant specifies so at the time of application (section 122.16).
THE APPLICATION
PART A. The application process is divided into two parts. Part A
of the application requires a description of the amounts and types of
hazardous waste to be handled and the processes for handling them, A
topographic map that indicates any surface waters must be enclosed
(section 122.23(c)). The requirements pertaining to Part A of the
application can be met by filing Forms 1 and 3 of the Consolidated
Application Forms (published along with the Consolidated Permit
Regulations). The permit application must be signed by a principal
executive officer, sole owner, or duly elected public official, as appro-
- Sections in Subpart A (general): 122.1-122.16
Sectionsin Subpart B(RCRA): 122.21-122.28
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priate. Other required forms may be signed by a duly authorized
representative (section 122.5).
PART B. Part B of the application requires detailed data on the
geology, hydrology, and engineering aspects of the facility, as well as a
"master plan" and map of the facility. In addition, detailed informa-
tion is needed on such factors as financial responsibility, employee
training, contingency plans, operation and maintenance plans, and
plans for air and water monitoring (section 122.23(d)). No specific
form is being developed for the Part B application requirements.
PART B WAIVER. Some of the requirements for information
under Part B of the permit application may be waived by the Regional
Administrator, if the information is not necessary to establish condi-
tions for issuing a permit (section 122.23(d)(7)). An example would be
waiver of site geological information for an incinerator or above-
ground storage tanks. Any request for waiver must be submitted to the
Regional Administrator in writing along with reasons why the infor-
mation is not needed.
INTERIM STATUS. Owners or operators of existing facilities
that is, facilities open or under construction on or before the date that
regulations under section 3001 defining hazardous wastes are promul-
gated (section 122.21(b))must notify the Regional Administrator of
their operations, as required by RCRA section 3010, and submit Part
A within 180 days of the promulgation date of the section 3001
regulations (section 122.23(a)). The facility then has "interim sta-
tus"that is, temporary authority to operate under RCRAand
must comply with a limited set of operating procedures. The Regional
Administrator reviews the Part A submissions and determines the
date for Part B submissions from certain facilities, giving the applicant
at least 6 months' notice. For new facilities, both Parts A and B must
be submitted together at least 180 days before physical construction is
scheduled to start (section 122.23(b)).
EXCEPTIONS. Certain solid waste disposal facilities* receiving
small amounts of hazardous waste not covered by a manifest, do not
require a permit (section 122.3(b)). Injection wells disposing of haz-
ardous waste covered by a manifest are regulated under the UIC
permit program. However, any pit, pond, lagoon, or tank associated
with an injection well must have a RCRA permit. Also, proposed
regulations for waste generators under section 3002 of RCRA autho-
rize storage of hazardous wastes on the generator's property for up to
90 days without the need for a storage permit, if the wastes are
intended to be shipped elsewhere and are properly labeled and
containerized.
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EPA PROCESS FOR ISSUING A RCRA PERMIT
Owner/Operator
Submits Application
to EPA
12223
12225
1226
124 3
EPA
Gives
Public
Notice,
Circulates
Application
for Comment
12431
EPA EPA
Rev
Pe
ev.s pre ^^^
mit ~~
Application Draft Permit
1227 1 1246
/ x
/ Existing \
'Permit Transfer/^
Modification
^ Request 1
^
124 5
1228
'
~ ~\22 1
^,
/
/
EPA
Periodically
Reviews
Permits
1229
EPA EPA
Prepares
Administrative
Record or Denies Permit
1248 124 10 124 14| 124 17
1249 I
/"" ~^
EPA ' EPA ^
Prepares
Gives - ^J . . 1
. Admin strative
Public Notice \ Record J
^^ ^
12411 ' 124 12 124 20^
/ N
/
-,/ ^-^
s ^ ^ /
\ / \ /
1 "EPA v f Participants '. j
I Holds )-- -4 Reques 1 J *C°
OPPORTUNITY FOR PUBLIC COMMENT x Public
, , Cross , , F
Hearing , \ Exammaton ' \
/ *Apphcant \
I
\ Appeals ;
\ /
12421
- -OPTIONS IN PROCEDURE
124 1
Period
N
124 15' '
SPECIAL PERMITS. Two classes of facilities are allowed to
obtain a "special permit" in lieu of the regular permit, as a means of
reducing the paperwork burden. Certain departments of hospitals and
veterinary hospitals routinely produce wastes that fall under the broad
definition of hazardous waste. In most cases, health care facilities are
closely regulated by existing State laws. Hence, they may submit an
abbreviated application (section 122.25(a)). Experimental facilities
intended to advance the state-of-the-art for treatment, storage, or
disposal of hazardous wastes are also allowed to operate under a
special permit (section 122.25(b)).
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PERMITS BY RULE. Three classes of facilities are regulated
under a "permit-by-rule" mechanism (section 122.26(a)):
Facilities handling "special wastes," which are hazardous
portions of certain large-volume wastescement kiln dust;
utility waste; waste from mining, beneficiation, and process-
ing of phosphate rock; uranium mining wastes; other mining
waste; gas and oil drilling muds; and oil production brines.
Although some of these wastes may be hazardous by defini-
tion, little information is available on their managment.
Therefore, EPA concluded that imposing the full permitting
burden serves no useful purpose. In its place, EPA is requir-
ing only a permit by rule, which means that the facility is
considered to have a permit, without having to submit an
application, if it complies with the standards imposed by the
regulations for special wastes proposed under section 3004 of
RCRA.
Publicly owned treatment works that accept hazardous waste
under a hazardous waste manifest or other delivery docu-
ment. Such facilities are already regulated under NPDES
permits.
Barges or other vessels receiving hazardous waste under a
manifest or delivery document for purposes of ocean disposal.
Such vessels are already regulated under the permit system of
the Marine Protection, Research, and Sanctuaries Act.
These three types of facilities need only notify the Regional Admin
istrator, under section 3010 of RCRA, to obtain interim status.
DURATION OF PERMITS. The RCRA permit will generally be
issued for the designed operating life of the facility. An exception is a
special permit for an experimental facility, which terminates on the
date specified by the Regional Administrator. The initial period is not
to exceed 1 year. An extension of no more than 1 additional year may
be granted (section 122.25(b)).
CONDITIONS OF PERMITS. No facility may start to treat,
store, or dispose of hazardous waste in a modified or newly con-
structed facility until modification or construction is complete and
until the Regional Administrator has approved start-up (section
122.24(e)).
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A number of other conditions are imposed on the holder of a permit
issued under the consolidated regulations program. The permittee
must:
Conduct all monitoring required, record results, and make
reports to the Regional Administrator at least once a year
(section 122.14).
Allow the facility and activities being regulated to be in-
spected, sampled, and monitored (section 122.11(e))
Furnish all records as requested (sections 122.11(f), 122.14)
Operate and maintain efficiently all facilities and systems of
control used to meet permit conditions (section 122.11(g))
Inform the Regional Administrator immediately when per-
mit conditions are not being met, providing details on what
happened, when, why, and steps taken to reduce, eliminate, or
prevent a recurrence (section 122.11(h)). In the meantime, the
permittee must take all reasonable steps to minimize adverse
impacts on the environment (section 122.11(i)), including
stopping or reducing business activities (section 122.11(j)).
CHANGES IN PERMITS. Permits must be reviewed whenever a
permit under the NPDES or UIC programs is modified, reissued, or
terminated, or at least once every 5 years, or when new information
justifies a review (section 122.9). The permit may be modified or
revoked and reissued (section 122.9) for a number of reasons:
Substantial alterations or additions to the operations not
covered by the permitfor example, in wastes treated, dis-
posed of, or stored, or changes in operational methods
New information indicating that conditions of the permit do
not adequately protect health and the environment or meet
RCRA requirements
A change in standards or regulations
A change in the owner or operator of the facility
Modification, revocation, and reissuance or termination of
another permit issued to the facility requiring a change in its
permit
In addition, permits may be terminated for (section 122.10):
Violation of any term or condition of the permit or of RCRA
Misrepresentation or failure to fully disclose relevant facts
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A permit holder may transfer a permit, providing that (section
122.8(e)):
The Regional Administrator receives a written statement
specifying the date when responsibility is to be transferred
The Regional Administrator does not notify the applicant of
an intent to modify, reissue, or terminate the permit or
require that a new application be submitted
EMERGENCY AUTHORIZATION. In the event of an immedi-
ate hazard to human health or the environment, the Regional Admin-
istrator may issue temporary authorization to a hazardous waste
facility with a permit to allow treatment, storage, or disposal of a
hazardous waste not covered by a permit (section 122.28). The
authorization is not to exceed 90 days in duration and must clearly
specify the wastes to be received and how and where they are to be
treated, stored, or disposed. The public must be notified of the
emergency authorization.
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IV. EPA PROCEDURES FOR ISSUING
A HAZARDOUS WASTE PERMIT (PART 124)*
Part 124 establishes the procedures EPA will use in issuing RCRA
(section 3005), NPDES, UIC, and PSD permits. Included are proce-
dures for enabling the public to participate in permit decisions,
consulting with other State and Federal agencies, consolidating review
and issuance of two or more permits for the same facility or activity,
and filing appeals to permit issuances and denials. Permits for a given
facility under more than one of the programs may be processed
together, if greater efficiency is likely to result, but combined process-
ing is not required in all cases. Limited delays in applying are possible
in some cases to allow consolidation (section 124.4).
Most requirements in Part 124 are only applicable where EPA is t he
permit-issuing authority. Part 123 requires States to have some Part
124 provisions, especially those affording the public an opportunity to
participate in the permit-issuing process (section 123.8).
MAJOR AND MINOR FACILITIES. It is estimated that approx-
imately 30,000 hazardous waste management facilities, many of them
small, noncomplex, and noncontroversial, will require permits. To
enable EPA to concentrate its limited resources on those facilities that
are the subject of widespread interest or raise major issues, EPA is
proposing that facilities handling 5,000 metric tons or more of
hazardous waste per year be designated as major facilities and the
remainder as minor (section 122.3(b)).
PUBLIC NOTICE. The Regional Administrator reviews applica-
tions for completeness within 30 days of receipt and requests any
additional information that is needed. When a permit application for a
major facility is complete, the Regional Administrator informs the
public by sending a notice to (among others) State and local govern-
ments, the local public library, and interested parties (section 124.31).
DRAFT PERMIT. If the Regional Administrator's decision is to
issue a permit, a draft permit is prepared (section 124.6). A draft
permit for a major facility is accompanied by a "fact sheet," in which
EPA explains in some detail the basis for the permit (section 124,9).
Minor permits are accompanied by a "statement of basis" that briefly
describes the terms and conditions of the application and the reasons
for them (section 124.8). The application, draft permit, and other
* Sections in Subpart A (general): 124.1-124.22
Section in Subpart B (RCRA): 124.31
12
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supporting documents are assembled into the "administrative
record," on which the Regional Administrator bases the decision for
the draft permit (section 124.10).
RCRA APPEALS PROCESS
EPA
Issues, Modifies,
or Denies Permit
/ -Appeal
I
..-OPTIONS IN PROCEDURE
"^ Judicial »
I I
\ Review /
\ Denied /
COMMENT PERIOD. Once the draft permit has been prepared,
the public is again informed (section 124.11). A comment period of at
least 30 days is provided, during which any interested person may
submit written comments or request a public hearing. A hearing may
be held either in response to a request or on the Regional Administra-
tor's initiative (section 124.12). If a public hearing is held, the
Regional Administrator designates a presiding officer and may also
assign a panel of EPA experts to take part (section 124.13). No cross-
examination is permitted at the hearing, although any participant may
request cross-examination within 1 week after a full transcript of the
hearing becomes available (section 124.14). All interested persons
have an obligation to raise points or provide information during the
comment period (section 124.15). If any substantial new questions are
raised, the comment period may be reopened (section 124.16). If no
questions are raised, the hearing record is closed after 10 days (section
124.13).
13
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FINAL PERMIT. After the close of the public comment period
(including any public hearing period), the Regional Administrator
issues a final permit, modified permit, or permit denial (section
124.17), accompanied by a response to all significant comments
received (section 124.19). This response to comments, plus any
additional supporting material, constitutes the administrative record
for the final permit (section 124.20). The decision of the Regional
Administrator becomes EPA's final action unless, within 30 days, a
participant in the hearing petitions for review of any term or condition
in the permit (section 124.21). If a request for a review is granted, the
contested permit terms may be stayed (section 124.18).
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V. REQUIREMENTS FOR A STATE
APPLYING TO EPA TO ADMINISTER
A HAZARDOUS WASTE MANAGEMENT
PROGRAM (PART 123)*
Part 123 establishes the requirements that must be met by a State
seeking approval from EPA to administer a program under RCRA
(section 3006), NPDES, UIC, and dredge or fill (section 404) pro-
grams. Part 123 also references applicable requirements of Parts 122
and 124 that State programs must meet, and outlines the process by
which EPA approves, revises, or withdraws approval of State
programs.
Guidelines under section 3006 of RCRA were proposed in the
Federal Register on February 1, 1978 (43 Fed. Reg. 4366). The
consolidated regulations under this Part contain changes that reflect
comments on the proposed guidelines. The sectipn 3006 regulations
are reproposed because these consolidated regulations may identify
issues on which the public has not had a chance to comment.
RCRA's approach in approving State hazardous waste programs is
similar to that of the NPDES and UIC programs in that it sets
minimum requirements, allows States, in general, to be more strin-
gent, and encourages States to incorporate by reference the Federal
program. Further, under the RCRA program, States are prohibited
from imposing any requirements that would prevent hazardous waste
from moving between States.
"FULL" AND INTERIM AUTHORIZATION. The State haz-
ardous waste program need not be worded or structured the same as
the Federal program. However, it must be equivalent to the Federal
program to receive "full" authorization (simply called "authoriza-
tion" in the regulations). This type of authorization is effective no
earlier than 6 months after regulations under section 3001, defining
hazardous wastes, are promulgated (section 123.33). Programs that
are substantially equivalent to the Federal program receive "interim"
authorization, which also begins 6 months after the regulations under
section 3001 are promulgated. Interim authorization may be granted
for a maximum of 2 years, thus giving the States time to upgrade their
programs so that they may qualify for "full" authorization.
* Sections in Subpart A (general): 123.1-123.17
Sections in Subpart B (RCRA): 123.31-123.41
15
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PERMIT PROGRAM. A number of general requirements in Parts
122 and 124 for the operation of State permit programs are imposed by
Subpart A of Part 123 (section 123.8). In addition, the States must
have legal authority to implement RCRA provisions in Subpart B of
Part 122 covering application for a permit, establishment of permit
terms and conditions, special permits, and emergency authorization
(section 123.39).
PROCESS FOR EPA APPROVAL OF A STATE
HAZARDOUS WASTE MANAGEMENT PROGRAM
(Program Substantially Modified)
1234O(b),(c)
OPTIONAL FOR INTERIM AUTHORIZATION, UNLESS REQUIRED BY
STATE ADMINISTRATIVE PROCEDURES. SEE 12340(b)(5)
OPTIONS IN PROCEDURE
1
(No Significant Interest in a Hearing Expressed)
HOW A FACILITY APPLIES FOR A STATE PERMIT. An
owner/operator of a hazardous waste management facility located in a
State with an approved hazardous waste management program must
apply to that State for a permit. The application will have to meet
certain minimal procedural and operational requirements imposed by
the State (sections 123.8, 123.32(b), 123.39). However, in the first 6
months of the Federal program, all applications will probably be filed
with the Regional Administrators because it is unlikely that the
authorization process will have been completed in any State in that
initial period.
COMPLIANCE EVALUATION. States must have a systematic
program for evaluating compliance with permit conditions and other
program requirements. The program should include (section 123.9):
Procedures for receipt, evaluation, recordkeeping, and inves-
tigation for possible enforcement of all notices and reports
required of permittees (or failure to submit such notices and
reports)
16
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Inspection and surveillance procedures to determine if opera-
tors and permittees are complying with requirements, inde-
pendent of the information they supply
Authority to enter any site to investigate suspected violations
Procedures to ensure that samples taken and information
gathered will provide evidence admissible in an enforcement
proceeding or in court
ENFORCEMENT AUTHORITY. The State program must have
an array of enforcement tools available to remedy violations of its
program, including the authority to (section 123.10):
Respond immediately to emergency situations endangering
public health
Sue in court to stop violations
Assess or sue to recover in court civil remedies for violations
Seek criminal penalties, including fines, for violations made
knowingly. The maximum penalty for the first offense is
$25,000 and a year in jail, and is doubled for the second
offense.
Seek criminal penalties, including fines, against any person
who knowingly makes false statements or tampers with
monitoring equipment. The maximum penalty is $25,000 and
a year in jail, and is doubled for the second offense.
COLLECTING AND REPORTING DATA. A State must make
regular reports to the Regional Administrator. Every quarter, the
State must submit a report on the hazardous wastes sent from the
State to foreign countries (section 122.27(a)) and another report
listing major facilities out of compliance (section 122.15). In addition,
the State must make an annual report that includes a list of permit
actions completed, compliance of minor facilities, and summary
information on wastes managed (section 122.27(b)).
REQUIREMENTS COMMON TO APPLICATIONS
FOR FULL OR INTERIM AUTHORIZATION
PUBLIC PARTICIPATION. Prior to submitting an application to
the EPA Administrator for full or interim authorization of a State
program, the State must inform the public (section 123.40(b)). A
17
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comment period of not less than 30 days is provided to allow 1 he
public to express its views. If warranted by public interest, a public
hearing may be scheduled. If the proposed State program is substan-
tially modified after the public comment period, the State is to provide
opportunity for further comment on the modification before submit-
ting the program to EPA (section 123.40(c)).
DOCUMENTS REQUIRED IN APPLICATION To apply for
full or interim authorization, the State must submit a number of
documents (section 123.3), including:
A letter from the governor requesting authorization
A complete program description
A statement from the attorney general
Copies of forms to be used and applicable State laws, court
decisions, and regulations
A memorandum of agreement
PROGRAM DESCRIPTION. The description of the program
must cover the following (section 123.4):
The scope, structure, coverage, and process of the State
program
The organization and structure (including organization
charts) of the State agency or agencies that will administer the
program. The number of people that will carry out the
program and their occupations must be included, as well as an
itemization of estimated costs for the first 2 years of the
program, sources of funding, and the type of activities to be
regulated.
Applicable State procedures, including permitting proce-
dures, and any State appellate review procedures
The State's priorities for issuing permits and for enforcement,
including the State's compliance tracking and enforcement
program
ATTORNEY GENERAL'S STATEMENT. The Attorney Gener-
al's statement, accompanying the application, must verify that the
laws of the State provide adequate authority to carry out a hazardous
waste program meeting Federal requirements. The authorities cited
must be in the form of lawfully adopted State statutes and regulations
that are in full force at the time the statement is signed (section 123.5).
(EPA is developing a model format for the Attorney General's
statement.)
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MEMORANDUM OF AGREEMENT. The memorandum of
agreement between the State Director and the Regional Administra-
tor defines the basic working relationship between the State and EPA
(section 123.6). The State must have legal authority to do what it says
it will do in the memorandum (section 123.7). The memorandum must
(section 123.6):
Provide for prompt transfer of any pending permit applica-
tions or any other relevant information from EPA to the State
Specify the basis and procedures for the Regional Adminis-
trator to receive draft permits and permit applications from
the State for review and comment
Specify the frequency and content of reports, documents, and
other information that the State must submit to EPA
Describe the State's enforcement program, including compli-
ance monitoring by the State and EPA and fiscal arrange-
ments to support litigation by the State
Describe provisions, where appropriate, for consolidated per-
mitting by the State and EPA
Include procedures for modifying the memorandum of agree-
ment, with the approval of EPA
The memorandum should also include provisions establishing pro-
cedures for the Regional Administrator to (section 123.37):
Make routine compliance inspections of major hazardous
waste management facilities and to review and comment on
draft permits and permit applications for major facilities
Inspect any minor facility, generator, or transporter that
there is reason to believe is violating RCRA, after giving the
State the opportunity to investigate the situation
If provided for in the memorandum, the Regional Administrator
may also review and comment on draft permits and permit applica-
tions of minor facilities or conduct routine inspections of generators
and transporters.
SPECIFIC REQUIREMENTS
FOR INTERIM AUTHORIZATION
SUBSTANTIAL EQUIVALENCY. EPA will grant interim au-
thorization, providing that the State program is substantially equiva-
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lent to the Federal program (section 123.32(a)). The State program
must be able to:
Control by permit,or equivalent document all onrsite or off-
site hazardous waste disposal facilities. (Control of treatment
or storage facilities, while desirable, is not required.)
Commit adequate resources and provide the administrative
capability to process permits and conduct an effective en-
forcement program, including compliance evaluation
The States also must show substantial compliance with other
provisions of the regulations, including those covering certain opera-
tional requirements and enforcement authority (section 123.32(b)).
PROGRAM DESCRIPTION. To apply for interim authorization,
the description of the State's program must provide the following
additional information (section 123.34(a)):
A general description and estimate of:
The number, types, and relative sizes of activities to be
regulated during the interim authorization period
If available, the total quantity of hazardous waste expected
to be disposed of annually from both in-State and out-of-
State sources
An "authorization plan" describing the additions or modifi-
cations necessary to the State program to qualify for autho-
rization at the end of the interim period. This plan must
include the schedule under which the State proposes to
achieve those additions and modifications, plus a description
of any changes in the State's legal authority, resources, permit
system, and surveillance and enforcement program that will
be necessary during the interim period in order to qualify for
full authorization.
PROGRESS REPORTS. A State with interim authorization must
submit a semiannual report to the Regional Administrator briefly
summarizing the State's progress in meeting the requirements of the
authorization plan, the reasons and proposed remedies for any delay
in meeting milestones, and the anticipated problems and solutions fbi
the next reporting period (section 123.36).
ATTORNEY GENERAL'S STATEMENT. For interim autho-
rization, the Attorney General's Statement shall certify that the State
has legal authority to implement the minimal program proposed and
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that the authorization plan, if carried out, would provide the State
with the legal authority to meet the requirements for full authoriza-
tion (section 123.35).
MANIFESTS. A State applying for interim authorization need not
have an operating system for controlling manifests, but it must have
adequate legal authority and be ready to operate such a system
immediately after it has full authorization. Note that even though the
State temporarily may not oversee the flow of manifests, the regulated
community must still prepare and use manifests in a State with interim
authorization.
SPECIFIC REQUIREMENTS
FOR "FULL" AUTHORIZATION
To apply for full authorization, the State must provide the following
additional information (section 123.34(b)):
A description of the State manifest system
A description of the types and relative sizes of regulated
activities, including an estimate of the number of generators;
transporters; and on- and off-site storage, treatment, and
disposal facilities that must file for or have been issued a State
permit
An estimate, if available, of the annual quantities of wastes
generated within the State; transported into or out of the
State; and stored, treated, or disposed of on-site and off-site
To be authorized, the State program must provide a degree of
control over the generation, transportation, treatment, storage, and
disposal of wastes equivalent to EPA regulations and include the
management of manifests involving both intrastate and interstate
transportation of hazardous waste (section 123.39(b), 123.39(c)).
States must use the manifest format approved by EPA ,but may
supplement it.
EPA will not approve a State program if it imposes any require-
ments that would prevent hazardous waste from moving between
States (section 123.33(c)).
EPA'S ACTIONS DURING AND AFTER AUTHORIZATION
Once the State's complete program is submitted, the EPA Adminis-
trator will make a tentative decision within 90 days whether to grant
authorization, or will give notice of a public hearing for interim
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authorization. The decision is published in the Federal Register and
elsewhere (section 123.40(d), 123.40(e)). If the decision is negative,
reasons must be given. The Administrator will schedule a public
hearing no earlier than 30 days after the tentative determination or
notice, provided there is public interest, and will give the public no less
than 30 days, after the notice, to comment on the State's submission
and the tentative decision. Within 90 days of the tentative decision, or
notice of public hearing for interim authorization, the Administrator
will make a final decision, taking into account any comments submit-
ted; the decision is published in the Federal Register and elsewhere
(section 123.40(0).
OVERSIGHT BY EPA. If the Administrator grants approval, the
State is responsible for management of hazardous waste within that
State. EPA will continue to oversee the program to ensure that it
operates in accordance with regulations, primarily by inspections and
by reviewing permit applications, draft permits, and State reports.
EPA's relationship with the State is outlined in the memorandum of
agreement (section 123.37). Under the review provisions of the memo-
randum, the Regional Administrator may comment if it appears that
issuing a permit would be inconsistent with RCRA or the regulations
and recommend the actions that the State should take in response to
the comments (section 123.38).
REVISIONS. A State program may later be revised by either EPA
or the State (section 123.13(a)). Such revision may be needed when ihe
State's statutory or regulatory authority is modified or supplemented.
The State must also notify EPA whenever it proposes to transfer all or
part of any program to another agency (section 123.13(c)). The State
submits a modified program description, Attorney General's state-
ment, memorandum of agreement, and any other necessary docu-
ments to EPA (section 123.13(b)). If EPA decides that the modifica-
tions are substantial, it will issue a public notice and provide an
opportunity for public comment on the modifications. A public
hearing will be held if there is significant interest. The modification
becomes effective when approved by the Administrator. Notice of any
substantial modification is published in the Federal Register and
elsewhere.
WITHDRAWAL OF APPROVAL. The Administrator may with-
draw approval of a State program if it no longer meets the require-
ments for Part 123 and the State fails to take corrective action (section
123.14). Such circumstances include:
Legal authority no longer meets requirements
Program operations fail to comply with requirements
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Enforcement program fails to comply with requirements
Terms of memorandum of agreement are not met
In addition, the Administrator may withdraw approval if a State
program is modified after approval in such a way that it interferes with
the free movement of hazardous waste from across the State border or
to other States to facilities having hazardous waste permits under an
approved State or Federal program (section 123.41).
A withdrawal proceeding may start either at the request of the
Administrator or in response to a petition from an interested person
(section 123.15(b)). The Administrator schedules a hearing and speci-
fies the allegations against the State. The State has 30 days to admit or
deny the allegations in writing. The hearing procedures to be followed
are those contained in the regulations under 40 CFR Part 22,
proposed on August 4, 1978 (43 Fed. Reg. 34639).
Within 30 days after filing of proposed findings and conclusions, the
presiding officer recommends a decision to the Administrator. Within
20 days, all parties may file exceptions to the recommended decision,
with a supporting brief. The Administrator reviews the record and
issues a decision within 60 days. If the Administrator concludes that
the State has administered the program according to RCRA and the
regulations, this decision requires no further State action. If the
Administrator concludes that the State has failed, the deficiencies in
the program are listed and the State is given up to 90 days to take
corrective action. If the State fails to do so, the Administrator
withdraws authorization.
VOLUNTARY TRANSFER. A State with an approved program
may voluntarily transfer its responsibilities to EPA. The State must
give the Administrator 180 days notice of the proposed transfer and
submit a plan for the orderly transfer of all the information EPA needs
to administer the program. Within 60 days, the Administrator must
evaluate the State's transfer plan and identify any additional informa-
tion needed or any other deficiencies in the plan. At least 30 days
before the transfer is to occur, the Administrator must publish the
information in the Federal Register and in newspapers in the State.
(SW-765)
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-J
U.S. Environmental Prelection Agency
Region 5, Library (PL-]?,!}
77 West Jackson Boulevard, 12th Floor
Chicago, IL 60604-3590 ^
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