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903R81004
The RCRA Subtitle D Program
in U.S. EPA Region III
Alternative Means for
Continuing State Programs
EPA Contract No. 68-01-6003
August 1981
U.S. EPA Regional
Regional OfenterfbrBiWD
Information ___
1650 Arch Street (SPM52)
Philadelphia, PA 19103
Prepared for:
Air and Hazardous Materials Division
Hazardous Materials, Toxics
and Pesticides Branch
U.S. EPA Region III
Sixth and Walnut Streets
Philadelphia, Pennsylvania 19106
Prepared by:
JRB Associates
8400 Westpark Drive
McLean, Virginia 22102
HWTIC
TD
195
.W295
R372
1981
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I The RCRA Subtitle D Program
in U.S. EPA Region III
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Alternative Means for
I Continuing State Programs
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EPA Contract No. 68-01-6003
August 1981
U.S. EPA Region III
Regional Center for Environmental
Information
1G50 Arch Street (3PM52)
Philadelphia, PA 19103
Prepared for:
Air and Hazardous Materials Division
Hazardous Materials, Toxics
and Pesticides Branch
U.S. EPA Region HI
Sixth and Walnut Streets
Philadelphia, Pennsylvania 19106
5^"^^^'** Prepared by:
^ ^^^ °- JRB Associates
8400 Westpark Drive
McLean, Virginia 22102
US EPA Region III
1650 Arch St
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TABLE OF CONTENTS
1.0 Introduction 1-1
1.1 The State Subtitle D Program in Region III
- Past Experience and Prognosis 1-1
1.2 Objectives, Scope, and Methodology of this Study. . . . 1-2
2.0 Alternative Financing Mechanisms for State Subtitle D
Programs 2-1
2.1 Continuing Federal Financial Assistance 2-1
2.1.1 Continuing EPA Financial and Technical
Support Under RCRA 2-1
2.1.2 The Appalachian Regional Commission's
Program of Solid Waste Management
Assistance to Member States 2-3
2.1.3 Other Federal Assistance for State and
Local Solid Waste Management Activities 2-4
2.2 State Initiatives for Independent Financing 2-8
2.2.1 Assessing User Fees 2-8
3.0 Summary and Conclusions 3-1
APPENDIX A - Excerpt of Appalachian Regional Commission Code
on Solid Waste Management Projects A-l
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1.0 INTRODUCTION
1.1 THE STATE SUBTITLE D PROGRAM IN REGION III - PAST EXPERIENCE AND
PROGNOSIS
EPA's FY 1982 budget contains no Federal financial assistance
for State and local solid waste management activities under Subtitle D
of RCRA, including completion of State Solid Waste Management Plans and
Open Dump Inventories. The phasing out of such funding has been
planned and publicized by EPA since 1979, although it was originally
envisioned to occur over a five-year period. Congress had intended
that the States and localities retain overall responsibility for planning
and operating solid waste management programs, with initial assistance
from EPA primarily through guidelines and State grants.
EPA recognized, however, that some States in Region III are not
yet prepared to take full responsibility for their Subtitle D programs.
The States in Region III vary greatly in size, population, economic
strength, and resources available for pollution control planning and
regulatory programs. State solid waste programs have historically
reflected this diversity in Region III, covering a broad range of pro-
gram development stages at the time of RCRA's enactment. Although,
prior to 1976, none of the States in the Region had a program of suffi-
cient sophistication to meet Congress' goals under RCRA, several States
had relatively advanced programs requiring few alterations. Others in
the Region have had further to go to meet RCRA's objectives.
The States in Region III have responded to Federal guidance and
financial support for solid waste management activities. Planning,
enforcement, and regulation development activities have all improved
in the States, although most of the States have not been as responsive
to RCRA initiatives as Congress had envisioned in setting its schedule
for RCRA implementation. In evaluating State performance in meeting
RCRA objectives, it is important to note that State solid waste agencies
must be responsive to the political environment in which they exist
and, therefore, must take internal State conditions into account when
trying to implement a Federal program initiative. Given the constraints
of limited State resources, enabling legislation, and the level of pro-
gram development prior to RCRA, most States in Region III have made
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significant progress in improving the overall level of solid waste
management practiced in their respective jurisdictions.
Termination of Federal support for State solid waste programs will
seriously affect the States in Region III. At least one State in the
Region relied on the grant program for 50 percent of the entire State
solid waste program budget. Unless State governments are able to make
up the lost funds, most State programs in Region III are unlikely to
meet the Congressional aims put forth in RCRA. For several of the more
heavily dependent States, termination of these funds will probably mean
that much of the progress made to date will be lost, as State plan ob-
jectives are unable to be met and enforcement activities decline due
to a lack of budgetary measures.
1.2 OBJECTIVES, SCOPE, AND METHODOLOGY FOR THIS STUDY
The purpose of this report is two fold:
(1) to identify possible alternative means for financing State
Subtitle D activities at the State level after the termin-
ation of the Subtitle D grant program this year; and
(2) to identify ways in which EPA Region III and EPA Head-
quarters can assist the States in FY 1982 and beyond in
implementing Subtitle D.
A companion volume, "The RCRA Subtitle D Program in U.S. EPA
Region III, A History and Prognosis," serves as a background, fact-
finding study for the present volume. It traces the evolution of
solid waste management programs in each of the States in Region III
from their origins before the enactment of RCRA, through the develop-
ment of State Solid Waste Management Plans and conducting of Open
Dump Inventories under RCRA Subtitle D, to the likely consequences
for these programs in the near future given the termination of Sub-
title D State grants this year.
This study is meant to stimulate innovative thinking on ways to
maintain state solid waste management programs pursuant to the goals
of RCRA Subtitle D. As such, it does not represent official positions
held by EPA Region III or EPA Headquarters on matters of EPA policy.
Ideas for financing State programs, including means involving Federal
financial or technical assistance, were solicited largely from EPA
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Region III personnel and State program directors in the Region. These
ideas do not necessarily reflect plans being made by EPA or the States,
but rather the thoughts of EPA and State staffs on possible means of
assistance in the future if policy makers are so inclined.
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2.0 ALTERNATIVE FINANCING MECHANISMS FOR STATE SUBTILTE D PROGRAMS
The following sections describe and evaluate several Federal and State
initiatives for maintaining State Subtitle D solid waste management programs
in FY 1982 and beyond.
2.1 CONTINUING FEDERAL FINANCIAL AND TECHNICAL ASSISTANCE
Federal financial and technical assistance will continue to be
available in the near future for State and local solid waste management
activities, although in much reduced quantities, and often in a form
where solid waste management activities must compete with other pressing
needs for public funds. The following pages address three major sources
of this assistance: continuing EPA support under RCRA, the Appalachian
Regional Commission's program of solid waste management assistance to
member States, and other applicable Federal programs.
2.1.1 Continuing EPA Financial and Technical Support Under RCRA
Although EPA's proposed FY 1982 budget does not include Federal
funding of State Subtitle D activities, EPA has already begun to imple-
ment a contingency strategy composed of a new funds transfer mechanism
and existing technical assistance programs.
First, EPA has just recently implemented a "Budget deviation"
under which any unspent FY 1981 State Subtitle D grant money may be
carried over for use throughout FY 1982. This carry-over of funds may
represent a significant FY 1982 resource to some of the States in
Region III.
Second, EPA has retained a variety of solid waste management
technical support programs, although in somewhat reduced form, since
the Region is limited to two-tenths of a man-year for Subtitle D activ-
ities in FY 1982. If this time commitment does not prove sufficient for review
of State plans, a case can be made for reviewing these plans under the
Subtitle C program to ensure consistency of the State hazardous waste
plans with State solid waste planning. The separation of solid and
hazardous wastes along programmatic lines is an artificial one, partic-
ularly in light of past waste management practices in which solid and
hazardous wastes were managed identically. Therefore, planning for
hazardous waste management must be viewed in the broader context of
overall solid waste management, and consistency in State planning for
solid and hazardous wastes is a key aspect of hazardous waste planning.
Region III will also support State Subtitle D activities through
the Technical Assistance Panels program until it is discontinued in
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mid-FY 1982. Again, this assistance must be provided in the overall
context of hazardous waste management, but can include issues of a Sub-
title D nature where they are related to and/or overlap Subtitle C
activities. This type of assistance has been successfully provided in
the past, and will be valuable to States in that it will assist them in
developing a comprehensive approach to waste management, as opposed to
single issue, solid or hazardous waste approaches. Several States in
the Region have expressed an interest in continued use of Technical
Assistance Panels program. This may be accomplished, if sufficient
interest exists in the States in the Region, through the reprogramming
of a portion of the State's combined Subtitle C grants to provide a
technical assistance panels contractor for the Region.
In addition, the Region can continue to carry out its information
dissemination role on a time-permitting basis. Most of the States in
the Region expressed a desire to continue to receive EPA information on
solid waste management, and considered such information very helpful in
carrying out their State programs. This report is intended to play a
part in the Region's information dissemination program.
Further, the quarterly State Director's Meeting has proven, in
past years, to be a very valuable tool for exchanging program ideas and
providing constructive criticisms. Although these meetings will, in
future years, have a Subtitle C orientation, they can nonetheless be
used as a forum for discussions of issues pertaining to comprehensive
waste management, of both a Subtitle C and D nature.
Finally, EPA Headquarters assistance will be provided, but it will
probably be limited to two areas:
o developing and disseminating solid and hazardous waste
information, and
o providing technical assistance to address multi-state or
multi-regional solid/hazardous waste management problems.
In the first area, Headquarters has provided substantial assistance in the
past in terms of research, summary compilations, and other information
documents. In the future, these documents may be geared toward the devel-
opment of comprehensive waste management, addressing both solid and hazard-
ous waste issues. This assistance is intimately related to the development
of a successful hazardous waste program, which presupposes an overall
waste management system.
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In the other area, EPA Headquarters may continue to provide review
and guidance on solid waste matters, particularly as they pertain to
the overall solid and hazardous waste management program. This assist-
ance is 'justified on similar grounds as other forms of assistance,
namely, the need to integrate solid and hazardous waste activities in
order to implement a successful hazardous waste program. This assist-
ance may be particularly helpful in dealing in solid/hazardous waste
problems occurring across regional boundaries, or in addressing prob-
lems which may pertain to a number of States across the nation.
2.1.2 The Appalachian Regional Commission's Program of Solid Waste
Management Assistance to Member States
Over the past nine years the Appalachian Regional Commission (ARC)
has granted over $20 million, including approximately $4 million last
year, to localities in member States for nearly 120 solid waste manage-
ment activities, including nearly 25 projects last year. ARC member
States in Region III include Pennsylvania, Maryland, West Virginia, and
Virginia. The types of solid waste management activities eligible for
funding include:
o planning of solid waste systems,
o organization and initial operations of multi-county solid
waste management agencies,
o land acquisition for sanitary landfill and compaction
center sites,
o construction of solid waste collection and disposal
facilities,
o operation of collection and disposal systems, and
o equipment for collection and disposal.
Member States may even receive ARC assistance for Subtitle D planning purposes ,
Eligible grant purposes and grant recipients, including percentages of
eligible costs funded, are detailed in Appendix A which contains an
excerpt of the ARC Code on solid waste management projects.
Two critigal requirements potential grantees must meet in order to
be elegible include:
o The applicant must conduct a financial feasibility study
to show that a self-sustaining solid waste system will be
established with ARC funds.
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o The proposed project must be in conformance
with current solid waste management planning for
the area.
To raise the general level of adequacy of solid waste planning in the
region, the ARC has begun to supplement its grants program by providing
direct technical assistance on planning activities through an engineering
contractor.
Under the ARC program, Congress annually appropriates ARC funds in
the form of block grants to each of the member States. The States
individually determine how they will allocate their block grants by
setting ceilings for various categories of assistance, and identifying
priorities in those categories. Local, regional, and State agencies then
may apply for solid waste management funds through the State's community
economic development program. Each application will be evaluated
against the priorities and funding ceilings set by the State for such
assistance.
It must be noted, however, that this process does not guarantee the
availability of ARC funds for solid waste management purposes, since
there are inevitably many other pressing social needs competing with
solid waste management for the limited public funds. Also, and more importantly,
Congress has directed the ARC to develop a plan for phasing itself out
over a period of the next three to five years.
2.1.3 Other Federal Assistance for State and Local Solid Waste Manage-
ment Activities
The passage of RCRA resulted in the consolidation or elimination of
many previously existing Federal solid waste management financial assistance
programs, for example Interior's Bureau of Mines extraction solid waste
management program and HEW's Bureau of Solid Waste Management.
There may yet exist, however, some Federal programs which potentially
provide funding to State and local governments, or to private firms and
citizens, for the purposes of improving solid waste management practices.
And while these activities contribute indirectly to the accomplishment
of Subtitle D goals, it must be noted that assistance from these programs
often:
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o Is not directed specifically at solid waste management
problems - such problems must compete with other pressing
needs that governmental units or private entities may use
the same public funds for; and
o Cannot be used for the precise same purposes that RCRA
Subtitle D funds are used for, namely development of
State Solid Waste Management Plans and conducting the
State Open Dump Inventories.
Thus, EPA's Subtitle D State Grants pay for solid waste management
activities which are mandated by and unique to RCRA Subtitle D.
However, to the extent that there may be other Federal programs
which may assist a State or local government or private entity improve
its solid waste management practices, and thus aid in meeting the
goals of Subtitle D of RCRA, these programs should be noted at least
briefly here:
o Solid Waste Management Planning Under Section 208 of the
Clean Water Act. Section 208 required area-wide water
quality management planning with a special emphasis on
analysis of non-point sources. This program could have
been used in the past to assist in regional solid waste
management planning. Most recently, one 'State in Region
III has unsuccessfully attempted to integrate the two
types of planning through a pass-through of "208" funds
to a solid waste management agency. In any event, with
the possible exception of reprogramming this year's
grants for use in next year's work, the "208" program
has had its funding almost completely eliminated.
o Co-disposal of Sewage Sludge and Solid Waste Under Sec-
tion 201 of the Clean Water Act. Resource recovery pro-
jects entailing the co-disposal of sewage sludge and
solid waste may receive funding under Section 201. The
funds received may be used to defray the costs of the
sludge processing and combustion equipment. While funding
for this program has been cut entirely for FY 1982, sub-
stantial amounts of unspent FY 1981 funds may be available
for carry-over- to FY 1982, depending upon local circumstances.
o Department of Energy Resource Recovery Financial
Assistance Programs. The DOE has a legislative mandate
and Congressional authorization - but little or no
current or planned appropriations - for funding of a
number of resource recovery financial assistance pro-
grams, including a demonstration grant program for new
technology, alternative fuel production projects assist-
ance, a loan guarantee program for waste-to-energy
projects in communities with low credit ratings, a
limited price support program for energy recovery
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projects in the first several years of operation, and
an "entitlements" program for municipal waste-to-energy
projects.
o Small Business Administration Energy Loan Program and
Pollution Loan Program. The SBA maintains these two loan
programs to provide lower interest loans to qualifying
small businesses for use in developing pollution control
and energy savings projects or the purchase of related
equipment. Access to these loans is limited by geo-
graphically applied annual funding ceilings for each
loan program, under which priorities are set for
different types of projects.
o Department of Housing and Urban Development Community
Development Block Grant Program. HUD's Community Devel-
opment Block Grants (CDBG's) can be used to finance the
physical parts of a municipal solid waste management
system, including development of solid waste processing
and disposal facilities and purchase of related equip-
ment. These funds are available, however, only for
facilities located in or serving areas in which CDBG's
are being used to plan for community development or
housing. While funding levels will be slightly lower
for FY 1982 than for FY 1981, the future for CDBG's
seems to be steady. (Due to severe restrictions on
their use, the related Urban Development Action Grants
could be used to fund solid waste management activities
only under very rare circumstances.)
o Farmers' Home Administration Community Facilities Loan
Program. Under this program, any rural public or non-
profit agency may apply for a rural community facilities
loan to be used for any aspect of solid waste management,
except for system planning. (A separate Agriculture De-
partment program providing rural planning assistance
may be accessible for solid waste management planning
purposes, and may bear further research on a case-by-
case basis as to available funding levels and eligibility
requirements.) Unfortunately, however, the program's
assistance for development of any rural infra structural
facilities has been cut back significantly. The FY 1981
loan program budget of approximately $250 million has
been reduced by about one-half. Further, solid waste
management facilities will have to compete with 30 to 40
other types of community facilities with some, especially
health and fire safety facilities, receiving a much
higher priority than solid waste facilities.
Again, the programs described above, for the most part, involve
competition by solid waste management activities with other pressing needs
for limited and currently dwindling Federal financial assistance. Also,
in no case cited here are these funds effectively available for the
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precise same purposes as state Subtitle D Grant funds are, namely for
formulation of State Solid Waste Management Plans and for conducting
the Open Dump Inventory. These additional Federal programs and funding
possibilities are identified here with these cautions. Interested
individuals or organizations should research the available funding
levels and eligibility requirements on a case-by-case basis, since
both may vary depending on individual circumstances, and since so many
Federal financial assistance programs are in a state of flux at present.
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2.2. STATE INITIATIVES FOR INDEPENDENT FINANCING
EPA's proposed FY 1982 budget includes no Federal financial assistance
to support State and local solid waste management activities specified
under RCRA Subtitle D.
The previous section identified a number of ways in which the Federal
government may continue to provide other forms of technical and financial
assistance in the near future to solid waste management activities at the
state and local level. It was also noted, however, that the great majority
of this potential Federal assistance is either available in competition
with other important social needs for public funds, and/or is not available
to accomplish the precise same objectives as those set out in Subtitle D.
The phasing out of Federal financial assistance under Subtitle D,
although it has come somewhat earlier than 1984 as originally envisioned,
has been planned and announced by EPA since 1979 (memo to State Solid
Waste Directors from the Assistant Administrator for Water and Waste
Management, January 20, 1979). In any event, Congress originally intended
that State and local governments retain overall responsibility for planning
and operating solid waste management programs. EPA's role was to assist
States in formulating and implementing State Solid Waste Management Plans
through the provision of guidelines and financial assistance.
2.2.1 Assessing User Fees
Recognizing, however, the earliness of the Subtitle D funding phaseout,
and the political unpopularity of increasing State's general revenues for
solid waste management, it will be necessary for most States to examine and
develop as soon as possible alternative means of financing their solid waste
management programs. The best and most likely such financing mechanism,
despite its similar political unpopularity with State legislatures (especially
those in States with a strong home rule philosophy), is a system of assessing
fees from users of solid waste management facilities.
This concept has been endorsed and communicated to the States by EPA
in the January 1979 memo to State Directors mentioned earlier, in an August
1979 survey of State user fee regulations, in two case studies of user fee
systems published in November 1979 and January 1980, as well as in both FY 1981
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and proposed FY 1982 EPA budgets. The General Accounting Office (GAO)
also recommended user fees for hazardous and solid waste management,
respectively, in January 1979 and July 1981 reports. The remainder of
this discussion on user fee systems draws heavily on this more recent
GAO report, and the reader is referred to it for more details.*
The August 1979 EPA survey concluded that six states assess permit
(user) fees for both the construction and operation of solid waste
management facilities, and that 12 States (including one State on Region
III) levy user fees to partially defray the costs of review and surveil-
lance of hazardous waste management activities. Other States have assessed
user fees to finance air and water pollution control programs, as well.
At least one other State in Region III is contemplating the use of a
fee system to partially support its Subtitle C program, thus allowing it
to reduce its Subtitle C grant request and, correspondingly, its State
match. The .State solid waste agency plans to request the legislature to
use the matching funds saved to support its solid waste program.
The 1981 GAO report cited earlier lists several concerns
about implementing a fee system, however, which were noted by State solid
waste management officials during a GAO survey:
o Some State agencies are expressly prohibited by State statute
from charging fees or cannot levy fees unless specifically
authorized by State law.
o Resistance from disposer groups required to pay fees could be
politically difficult to overcome.
o A fee plus normal disposal charges may increase the amount of
illegal hazardous waste dumping taking place.
o Such a system may be difficult or costly to administer.
o If a State implements a fee system, it may cause wastes to be
exported to the States that do not have fee systems or that have
lower disposal charges.
*Report to the Honorable Albert Gore, Jr., House of Representatives,
Solid Waste Disposal Practices:Open Dumps Not Identified, States Face
Funding Problems, by the U.S. General Accounting Office, July 23, 1981
(No. CED-81-131).
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o States do not want the burden of establishing a fee system until
their programs are fully developed, generally within 2 to 5 years.
o State legislatures may use the revenues generated by a fee system
for other programs.
It must be noted, though,that California has been able to overcome
most of these potential problems with its hazardous waste fee system.
While user fee systems may encounter some political unpopularity in
States with a strong home rule philosophy, and there may be some diffi-
culties in implementing such a system, it is believed to be
the most viable alternative financing mechanism available for solid
waste management activities, especially given the current situation with
tegard to Federal financial assistance in this area.
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3.0 SUMMARY AND CONCLUSIONS
EPA's proposed FY 1982 budget includes no Federal financial assist-
ance under RCRA Subtitle D for State and local solid waste management
activities. The elimination of State Subtitle D grants accelerates the
planned five-year phase-out of such assistance announced by EPA in 1979.
As originally intended by Congress, States and localities will retain
full responsibility for planning and operating their own solid waste
management programs. Recognizing the earliness of the phase-out of
Subtitle D funding, and the unaccommodating political and financial
situation in some of the States in Region III, EPA has undertaken a
search for innovative ways in which State programs may be maintained
which support the objectives of Subtitle D.
Federal financial and technical assistance, on the one hand, will
continue to be available in the near future for State and local solid
waste management activities. To ensure some continuity in financial
assistance, EPA recently announced a budget deviation that will allow
States to carry-over any unspent FY 1981 State Subtitle D grant money
for use throughout FY 1982. EPA technical assistance will also continue
to be provided through both EPA Region III and Headquarters for the
review of State Solid Waste Management Plans, the Technical Assistance
Panels program (until mid-FY 1982), the quarterly State Directors
Meetings, and on-going dissemination of technical information. However,
unless ways can be found to integrate the needed assistance with the
Subtitle C program, these services will be furnished only in a somewhat
reduced fashion.
The Applachian Regional Commission (ARC) has for the past nine
years provided member States and their localities with financial and
technical assistance on all matters of solid waste management, ranging
from system planning and administration, through land acquisition and
equipment purchase, to construction and operation of collection and dis-
posal systems. While these funds have been subtantial, it is noted that
they are annually appropriated by Congress as block grants and that solid
waste purposes must compete with many other pressing needs for their
expenditure. Also, Congress has directed ARC to develop a plan to phase
itself out in three to five years.
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Other financial assistance for State and local solid waste management
activities may theoretically still be provided through any of a number of
Federal programs, including:
o areawide water quality management planning under Section 208
of the Clean Water Act,
o co-disposal of sewage sludge and solid waste under Section
201 of the Clean Water Act,
o DOE's various energy recovery financial assistance programs,
o SBA's energy and pollution loan programs,
o HUD's community development block grant program, and
o FmHA's community facilities loan program.
None of these programs is directed specifically at solid waste management,
however, and, again, solid waste activities must compete with many other
urgent social problems for the limited public funds. Also, few, if any,
of these programs can be used to fund the precise same solid waste
activities as those mandated by RCRA Subtitle D, namely, development of
State Solid Waste Management Plans and completion of State Open Dump
Inventories. They may, however, bear further research on funding levels
and eligibility requirements on a case-by-case basis, since these may
vary depending on circumstances, and since Federal assistance programs
are in a state of flux at present.
Even taken as a whole, then, these Federal programs will not be
sufficient to fill the gap left by elimination of EPA's Subtitle D State
grants. The States will have to begin searching for new ways to finance
their solid waste management programs. Since increasing general revenues
to cover new solid waste expenditures would be politically unrealistic in
most Region III States, the financing mechanism which deserves the most
serious consideration is that of assessing fees from the actual users of
solid waste facilities. This system has been strongly recommended by
the EPA and GAO since 1979, and has been used successfully by a number
of States to support solid and hazardous waste programs, as well as
numerous other pollution control efforts over the past several years.
While these systems may be politically unpopular in States with a strong
home rule philosophy, and may encounter some difficulties in implement-
ation, they are recommended as the most viable alternative mechanism
currently available for financing State solid waste management activities.
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APPENDIX A
Excerpt of Appalachian Regional Commission Code
on Solid Waste Management Projects
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APPALACHIAN REGIONAL COMMISSION
ARC CODE
(Excerpt)
The following is an excerpt from the Appalachian Regional Commission Code as
it pertains to solid waste management projects. It explains the types of
solid waste management projects funded by ARC and gives the requirements
necessary to obtain such funding.
At the end of the section is a copy of ARC Resolution No. 512, dated
September 17, 1980, which updates and broadens certain provisions of this
portion of the Code.
Section 200C-10 Solid Waste Projects.
Section 200C-10.1. General. The Commission will provide Appalachian Act assist-
ance for projects involving solid waste collection and disposal only to the
extent, and on the conditions specified in this Section 200C-10; Provided that
inasmuch as applications for assistance for projects for solid waste (including
both disposal and collection) may be considered under Sections 202, 214 and 302
of the Act to the extent provided in this section and those sections, the applic-
able provisions of Chapters 202, 214 and 302 governing the specific type of
assistance sought must also be satisfied.
Section 20QC-10.2. Necessity for Financial Feasibility Study. :Vo Appalachian
Act assistance (other than for planning as provided under Section 20CC-10.4)
shall be approved for a solid waste project unless it has been shown, through
a financial feasibility study, that a self-sustaining solid waste system will be
established with such Appalachian Act assistance and can be successfully
operated and continued without Federal assistance after such Appalachian Act
assistance is terminated.
^enera^ ^^it^ria. Except as provides in section *-^CC"~-.^/. »
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for planning and Section 200C-10.5 for preoperation administration, the
Commission will approve assistance for solid waste projects only where it is
shown that:
(1) the applicant is a general purpose unit of government or a combination
of such units; or a Local Development District certified under Section 301 of
the Act; or a Section 202 Health Demonstration Grantee, Provided, that such
Grantee has been designated by the appropriate general purpose units of govern-
ment as the agency to carry out overall supervisory and administration responsi-
bilities for operation of a solid waste system;
(2) all governmental jurisdictions which will be benefited by the project
have adopted, or shall have adopted prior to the release of any grant funds,
ordinances prohibiting the dumping of solid wastes and requiring disposition
through the solid waste system being assisted or through other methods permitted
by law and not detrimental to the environment;
(3) appropriate State and/or local public health agencies have been
consulted concerning the potential health and environmental hazards from the
implementation of such solid waste project and have approved the safeguards
to be established to eliminate such hazards;
(4) the sanitary landfill site and the plan of operations to be
conducted thereon are in accord with all governing State and local standards
and have been approved by appropriate State and local agencies;
(5) the landfill sites selected for the solid waste disposal project have
the capacity of receiving the solid waste of the project's contemplated service
area for a period of at least five (5) years; and
(6) the project will be carried out in substantial accord vzth a plan for
the solid waste system which includes such items as:
(a) the delineation of waste sheds;
(b) identification of landfill sites and the~r characteristics;
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(c) provisions designed to assure development of an operating,
adequate waste collection system within six months of start
of landfill operations;
(d) dump closure and residual waste cleanup procedures;
(e) identification of how the health and environmental hazards
from the existing practices and those possible from the pro-
posed system have been adequately considered and their
effects minimized;
(f) a general financing and management plan for the system on a
permanent basis; and
(g) provisions assuring compliance with the appropriate Federal,
State and local laws or reflations governing solid waste
disposal systems.
Section 200C-10.4. Planning Solid Waste Systems.
(1) Definition. For the purpose of this section, planning is defined as
the process of developing a planning document that provides, for a defined geo-
political area, a comprehensive analysis of existing solid waste systems (includ-
ing disposal and collection), extended consideration of alternatives for, and
a set of detailed recommendations to create, the most efficient and financially
feasible integrated collection and disposal system for that area, in compliance
with existing State and local legislation.
(2) Sources/Percer.tages/Eligible Costs. Appalachian Act assistance shall
be available under Sections 202 and 302, for, or to increase the federal
contribution for, not to exceed 75 percent of the costs incurred in planning
as defined in (1) above, including costs for presentation of the plan developed
to public officials and civic leaders of the area, or. the conditions specified
in this Section 200C-10.4 and applicable provisions of Chapters 202 and 302.
(3) Planning Work Program - Requirement for Consideration of General Criteria
Only those applications for planning grants shall be approved which contain
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planning work programs shoving that appropriate consideration will be given
to the requirements of Sections 200C-1Q.2 and 200C-10.3 in the planning
process.
(4) Requirement for Mu2ticounty Area Planning. Consideration will be
given only to those applicants for assistance for the development of solid
waste plans for multicounty areas. For the purpose of this Section 200C-10
multicounty shall mean two or more counties; Provided that the Commission may,
upon a demonstration by an applicant that it will not be feasible for such
applicant county or smaller area to be served efficiently by a solid waste
system for a multicounty area, approve an application for a planning grant for
such county or smaller area.
(5) Section 302 Assistance - Applicability of State Research Provision.
Applications for planning grants under Section 302 shall be approved in accord-
ance with the provisions governing State research projects in Sections 302B-4,
3023-5 and 3023-6.
(6) Time Limitation. Appalachian Act assistance under either Section 202
or Section 302 will not be made available to support planning activities for
more than 12 months and, notwithstanding Chapter 202, not more than one planning
grant will be made for planning a solid waste system for any area, Provided
that nothing in this section shall be construed as preventing recipients of
planning grants under Chapter 202, or Chapter 302A from using such assistance
for environmental planning which may include planning for solid waste projects.
Section 200C-10.5. Organization and Initial Operations.
(1) Definition and Eligible Costs. Appalachian Act assistance shall be
available for costs incurred in establishing a multicounty agency with over-
all supervisory and administrative authority or multicounty arrangements for
the operation of the solid waste system, including such items as the legal
steps to constitute the organization as a legal entity under appropriate State
law, the development of accounting systems and methods of record keeping and
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billing, negotiation of agreements vlth participating jurisdictions for pro-
vision of financial support for the solid waste system, selection and recruit-
ment of personnel, preparation of specifications and bid invitations for equip-
ment, preparation and negotiation of contracts for site designs and dump clos-
ings, preparation of engineering plans for collection and disposal sites,
regional-level administration of disposal site preparation, and of collection
site preparation, and detailed planning for placement of rural bulk containers.
(2) Sources/Percentages. Appalachian Act assistance shall be available,
under Sections 202 and 302, for, or to increase the Federal contribution for,
not to exceed 75 percent of organization and initial operations costs defined
in (1) above, on conditions specified in this Section 200C-10.5 and applicable
provisions of Sections 202 and 302.
(3) Time Limitation. Appalachian Act assistance shall be made available
to support organization and initial operations administrative activities until
receipt of first wastes at the landfill site but in no event for a period greater
than 12 months.
(4) Limitation to Multicounty Agency Projects. Appalachian Act assistance
for activities described in Section 2.00C-10.5(1) shall be made available only
for the purpose of establishing and carrying out functions of a multicounty
(as defined in Section 200C-10.4(4)) agency or a multicounty arrangement, accord-
ing to a plan meeting the provisions of Section 200C-10.3 approved by ARC.
Section 200C-10.6. Land: Sources/Percentage. Appalachian Act assistance under
Sections 202 and 214 shall be available for, or to increase the Federal contribu-
tion for, not to exceed 80 percent of the costs of acquiring land necessary for
the sanitary landfill operations and compaction center sites of the disposal
system.
Section 200C-10.7. Construction.
(1) Construction Related to Solid Vaste DisposaJ - Definition. Disposal
related construction includes work relating to the establishment of: (a) landfill
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sites including such work as building of the permanent access road within the
landfill site (but excluding subsequent temporary ramps within the operational
area); original preparation of the site for receipt of solid wastes, such as
clearing and leveling, and installation of drainage facilities and fencing;
erecting site office building, equipment and tool shed; and installation of
sewage and sanitary facilities and utilities; and (b) compaction/temporary
storage sites and facilities, including such work as building of permanent
access road and dumping ramp; preparation of 'site for, and installation of,
compacted waste and temporary storage containers and compaction equipment; and
constructing office and equipment buildings, sewage and sanitary facilities
and utilities at such compaction center sites and work relating to dump-closings
such as extinguishing fires, baiting, covering, reseeding or other erosion pre-
vention, sealing off access and posting of signs.
(2) Construction Related to Solid Waste Collection - Definition. Collection-
related construction is defined as work related to the preparation of collection
sites specified in the solid waste system plan as approved by ARC, such as clear-
ing, leveling of site, provision of an all-weather base on the site and off-site
construction of maintenance buildings to house and maintain the transport vehi-
cles necessary to the rural bulk container collection system.
(3) Assistance for Construction: Sources/Percentages. Appalachian Act
assistance for disposal-related and/or collection-related construction under
Sections 202 and 214 of the Act ordinarily will not (i) exceed 50 percent of the
total eligible costs of such construction as defined in (1) and (2) or (ii)
increase the Federal share, in conjunction with assistance available under any
other Federal basic grant program, to more than 50 percent of the total eligible
costs of such construction; Provided that applications for greater assistance,
increasing the total Federal share up to a maximum of 80 percent of the eligible
costs under Section 202 and 214 will be considered for any construction component
upon the submission of appropriate documentation of need in the manner provided
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for supplemental grants in Section 214-2.7 of this Code.
Section 200C-10.8. Operations Costs.
(A) Disposal Operations Costs.
(1) Defined: Disposal operation costs axe defined as costs incurred in:
(a) the process of receiving wastes at the landfill site, spreading such wastes
in the site, compacting such wastes and covering them with soil, and of eventual
reseeding- or other action to prevent erosion of the filled areas within the site
and include such items as landfill personnel salaries, fringe benefits, landfill
office consumable supplies, temporary landfill improvements materials and non-
permanent construction (ramps, metal lathing, gravel, etc.) equipment maintenance
and repairs, fuel, emergency leasing of backup equipment, equipment depreciation
if deposited in a sinking fund, travel expenses for training purposes, consultant
service for technical assistance concerning operations, landfill liability
insurance, and erosion control materials actually used in the first year; and
(b) the process of receiving, compacting and storing wastes at waste compaction/
temporary storage centers, and transferring such compacted wastes to a landfill
site, and include such items as compacting center personnel salaries, etc.,
center maintenance costs, and fuel and maintenance for transfer trucks.
(2) Sources/Percentages. Appalachian Act assistance shall be available,
only under Section 202 and only for, or to increase the Federal contribution
for, not to exceed 50 percent of the operating costs of a solid waste disposal
system in the first year of its operations, and only to the extent that such
operations cannot be funded in the first year through local taxes, fees or other
sources of revenue, including user charges. Such assistance shall be limited
to one year of operations; provided this limitation shall not preclude a
continuation grant for any Section 202 solid waste project approved prior to
October 20, 1971, upon the express understanding that it would be eligible for
a continuation grant (or grants) for one or more subsequent years.
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(B) Collection/Operation Costs.
(1) Defined. Collection operation costs are defined as costs incurred
in the provision of collection system services, such as door-to-door collection,
bulk container collection, and all transportation of wastes to a disposal site.
These costs include personnel costs, vehicle maintenance and fuel costs,
container maintenance and depreciation, etc.
(2) Ineligibility. The costs of operating collection systems shall not
be eligible for Appalachian Act assistance.
Section 200C-10.9. Equipment Costs.
(1) Disposal Equipment Definition/Eligible Costs.
Eligible disposal equipment costs include costs of: (a) equipment necessary
to the efficient and legal operation of a sanitary landfill, such as heavy waste
handling machinery, bulldozers, scales, tools for related equipment maintenance
and tools for general disposal site maintenance tasks, utilities, the fair
rental value of landfill office equipment; and (b) equipment necessary for com-
paction/temporary storage centers such as large (e.g., 40-cubic-yard) compacted
waste storage containers, and related compaction equipment, related maintenance
tools and transfer trucks (for transporting containers filled with compacted
material to landfill sites).
(2) Collection Equipment Definition/Eligible Costs. Eligible collection
equipment costs are defined as costs of equipment only for rural collection
systems, such as four- to eight-cubic-yard solid waste bulk containers, bulk
container trailers, bulk container service trucks and related maintenance tools
and vehicles.
(3) Sources/Percentages. Appalachian Act assistance shall be available
for equipment costs of solid waste disposal and collection systems under Sections
202 and 214, for, or to increase the Federal contribution for, not to exceed
80 percent of the total cost of the equipment.
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(4) Identification in Solid Waste System Plan. Appalachian Act assistance
| shall be available only for costs of equipment identified in the solid waste
« system planning document, and approved by the ARC as being appropriate to meet
the area's needs for an efficient and legal solid waste system.
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APPALACHIAN REGIONAL COMMISSION
RESOLUTION NUMBER 512
September 17, 1980
A RESOLUTION Concerning Assistance for Solid Waste Projects
Section 1. Project Criteria.
1. No grant will be approved for a solid waste project unless disposal laws
and regulations will be enforced.
2. The Commission will continue to encourage projects that are regional in
scope. However, when geographical or institutional impediments make it
impractical to establish projects on a regional basis, projects serving individual
communities may receive1 Appalachian assistance.
3. ' Urban and rural communities may receive Appalachian assistance for
solid waste projects.
4. Section 200C-10.3(6) is amended to also require the submission of a
location map showing the delineation of waste sheds, including locations of all
existing public and private dumps.
Section 2. Funding Criteria.
1. Land Acquisition and Equipment. Total Federal share (including
Appalachian assistance) shall not exceed SO percent of the total eligible project
cost.
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Section 3. Technical Assistance. To help assure financial and operational success of
solid waste management projects, States are encouraged to make full use of the
broadened Commission policy on technical assistance to:
a. develop a comprehensive statewide strategy for solid waste management
that includes assurances of adequate enforcement and long-term funding;
b. develop a plan for solid waste projects appropriate for a particular area
that reflects ARC experience by emphasizing proper administration,
enforcement and financial adequacy;
c. provide professional advice and guidance to provide operations and
administration;
d. assist State regulatory agencies in the implementation of solid waste
management projects; and
e. plan resource recovery projects in communities with sufficient
population density to warrant economically acceptable recycling efforts.
Section fr. Elimination of Conflicting Code Provisions. All Code provisions
inconsistent with this resolution are repealed.
Section 5. Effective Date. This resolution will be effective October 1, 1980.
APPROVED: September 17, 1980
Secretary to the Commission
HENRY
Executive Director
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