KF3816.R4 530R83101
U53
RCRA
Final Authorization
Guidance Manual
EPA
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O Ix C
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RCRA FINAL AUTHORIZATION
GUIDANCE MANUAL
JUNE 10, 1983
US Environmental Protection Agency
Region5t Library (PL-12J) 19thFloof
77 West Jackson Boutevard, *
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RCRA FINAL AUTHORIZATION GUIDANCE MANUAL
TABLE OF CONTENTS
PREFACE
1.0 GENERAL
) 1.1 Introduction
I 1.2 Definitions
) 1.3 State Program Requirements for Final Authorization
\ 1.4 Application Approval Process
2.0 STATE SUBMITTAL GUIDANCE
2.1 Governor's Letter
2.2 Program Description
2.3 Attorney General's Statement
2.4 Memorandum of Agreement
2.5 Showing of Public Participation
2.6 State Statutes and Regulations
2.7 State Legislation Checklist
2.8 Completeness of Submittal Checklist
APPENDICES
A. State Regulatory Program Checklist
B. Financial Responsibility
C. List of Federal Register Notices
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LIST OF FIGURES
Figure
Figure 1 Draft Application Review Process
Figure 2 Official Application Review Process
Page
1.4-8
1.4-10
Table
Table 1 Requirements for Final Authorization
Table 2 Estimated Types and Number of Regulated
Activities
Table 3 Annual Quantities of Hazardous Waste
1.3-2
2.2-6
2.2-7
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. PREFACE
Goals for Final Authorization
Final authorization of State hazardous waste programs is one of EPA's
highest priorities. Our goal is to approve as many qualified States for
final authorization as possible by the end of the statutory period for
interim authorization in January 1985. Over two-thirds of the States have
already received interim authorization since November 1980. We can improve
on that record for final authorization by continuing the cooperative part-
nership among the States and territories, EPA Regions, and EPA Headquarters.
The Final Authorization Guidance Manual establishes a process and
schedule which should enable us to meet this goal. The Manual provides for
an early review step for State statutes, so that interested States can
receive an initial analysis of their program authority, with time left to
make necessary program changes. The schedule for review of State applica-
tions commits EPA to expeditious action. The entire process is directed at
making final authorization decisions before January 1985, when interim
authorization expires in all States. All States are urged to submit their
applications as early as possible.
Statutory Requirements for Final Authorization
The Resource Conservation and Recovery Act (RCRA) establishes a dif-
ferent and more difficult test for States applying for final authorization
than was required for interim authorization. States applying for interim
authorization must have programs "substantially equivalent" to the Federal
program. State programs applying for final authorization are subject to the
following statutory standards:
(1) They must be "equivalent" to the Federal program (RCRA
Section 3006);
(2) They may not impose any requirements "less stringent" than
the Federal requirements (RCRA Section 3009);
(3) They must be "consistent" with the Federal program and other
State programs (RCRA Section 3006);
(4) They may, however, impose requirements which are "more strin-
gent" than those imposed by Federal regulations (RCRA Section
3009);
(5) They must follow specific procedures for public "notice and
hearing" in the permitting process (RCRA Section 7004); and
(6) They must "provide adequate enforcement" (RCRA Section 3006).
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In reviewing State applications, EPA is required to determine that
States satisfy these six statutory standards. While these requirements are
discussed in more detail in the chapters that follow, this Preface high-
lights our approach to carrying out the mandate of RCRA in these areas.
Equivalent and No Less Stringent Programs
RCRA §3006(b) requires that State final authorization programs be
"equivalent" to the Federal Program. RCRA §3009 prohibits States from
imposing requirements which are "less stringent that those authorized under
this subtitle."
Taken together, these two sections mean that all States applying for
final authorization must demonstrate that their requirements are equivalent
to and at least as stringent as the Federal requirements. This does not
mean that States have to implement their programs in exactly the same way
that EPA does. State provisions can differ as long as they address all of
the Federal program requirements and include requirements which are equiva-
lent to and at least as stringent as the comparable Federal program require-
ments. This manual provides guidance on necessary State authority to meet
these tests.
Consistent and More Stringent Programs
Section 3009 does allow States to impose requirements "which are more
stringent than those imposed by [RCRA] regulations." Therefore, States may
add requirements which provide more rigorous control of hazardous waste
activities than EPA's regulations or which are broader in scope. In addi-
tion, State programs need not adopt those Federal regulations that serve to
exempt persons from certain requirements or that allow increased flexibil-
ity.
However, this provision must be read in conjunction with RCRA §3006(b),
which requires that State final authorization programs be "consistent with
the Federal or State programs applicable in other States." Pursuant to 40
CFR §271.4, EPA will focus its review of consistency on State program provi-
sions which tend to impede the flow of interstate commerce or otherwise
interfere with the national regulatory scheme established by RCRA. Accord-
ingly, EPA will view as inconsistent those aspects of State programs which:
(A) operate as a ban on the interstate movement of hazardous waste (e.g.,
importation bans); (B) prohibit treatment, storage or disposal of hazardous
waste within that State, if the prohibition has no basis in human health or
environmental protection; or (C) do not meet the manifest system require-
ments of the Federal program.
Notice and Hearing in the Permit Process
RCRA §7004(b)(2) stipulates that no State permit program may be author-
ized unless it "provides for the notice and hearing required by [this]
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paragraph." Because of this clear language, 40 CFR §§124.10 and 124.12
require that States must provide notice of their intent to issue a permit
through publication in "major local newspapers of general circulation,"
broadcast such notice over local radio stations, and provide written notice
to certain State and local government agencies. Further, the State must
provide for at least a 45 day public comment period. The State is also
required by §7004 to hold an informal public hearing if it receives a re-
quest for a hearing during the comment period.
Adequate Enforcement
RCRA §3006(b) requires that State final authorization programs "provide
adequate enforcement of compliance with the requirements of this subtitle."
Because the adequacy of State enforcement programs is explicitly emphasized
by Congress, EPA must pay special attention to the review of State enforce-
ment authority.
EPA will examine the inspection, enforcement remedy, and penalty
authorities of State programs in light of the provisions of RCRA §3007 and
40 CFR §§271.15 and 271.16. In particular, States will need to provide for
both civil and criminal penalties, and must have the authority to levy such
penalties in the amount of at least $10,000 per day. States are also re-
quired to provide for public participation in the enforcement process,
pursuant to 40 CFR §271.16(d).
Conclusion
We look forward to a close working relationship between EPA and the
States in the period ahead and to the successful introduction of the RCRA
final authorization program. Using the process and guidelines established
in this Manual, we can fulfill the important responsibilities placed on us
by the American public for an effective national program to manage hazardous
wastes.
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CHAPTER 1.1
INTRODUCTION
The Resource Conservation and Recovery Act of 1976, (RCRA), as amended,
provides for authorization of State hazardous waste programs. This Guidance
Manual has been developed to provide direction to States in developing
applications for final authorization and also sets forth the internal EPA
procedures which will be used to process applications. Because this Manual
is intended only to provide guidance concerning the implementation and
interpretation of EPA's Part 271 regulations, EPA has concluded that rule-
making procedures are not required under the Administrative Procedure Act, 5
U.S.C. §553.
RCRA provides for two stages of State hazardous waste authorization:
interim and final authorization. A State may receive interim authorization
if its program is substantially equivalent to the Federal program. Interim
authorization is a temporary mechanism that is intended to promote continued
State participation in hazardous waste management while encouraging States
to develop programs that are fully equivalent to the Federal program. Now
that all of the major components of the Federal hazardous waste program are
in place, final authorization is available to State programs. To achieve
final authorization a State must demonstrate that its program meets the six
statutory tests that are described in this Manual and that are embodied in
the regulatory requirements for final authorization in 40 CFR Part 271,
Subpart A. There is no deadline for applying for final authorization. A
State does not have to obtain interim authorization prior to receiving final
authorization. However, interim authorization expires on January 26, 1985.
Any State with interim authorization must obtain final authorization by this
date or the program will revert to EPA. This guidance Manual explains how
to prepare the required final authorization application materials.
This Manual is divided into two sections. The first, "General", gives
an overview of the RCRA hazardous waste program, State program requirements
for final authorization and information on EPA's procedures for review of
applications for final authorization. The second is the "State Submittal
Guidance" which provides specific instructions for the State in developing
its application for final authorization. The Appendices contain guidance
documents and other items that are pertinent to the development and review
of State applications for final authorization.
The Federal regulations in 40 CFR Part 271 Subpart A, promulgated pur-
suant to RCRA, require that State final authorization applications contain
the following:
1. Governor's letter requesting State program approval.
2. A Program Description which explains the program the State
proposes to administer together with any forms to be used to
administer the program under State law.
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3. A Statement from the State Attorney General (or the attorney
for those State or interstate agencies which have independent
legal counsel) that the laws of the State or interstate
compact do provide adequate authority to carry out the pro-
gram the State proposes to administer.
4. A Memorandum of Agreement that provides for coordination and
cooperation between the State Director and the U.S. EPA
Regional Administrator regarding the administration and
enforcement of the authorized State regulatory program as
part of the national hazardous waste management program.
5. Copies of all applicable State statutes and regulations,
including those governing State administrative procedures and
interstate compacts, if relied on.
6. Documentation of public participation activities (i.e.,
notice and opportunities for comment on the State program
prior to submission of the application to EPA).
The chapters in the second section of this manual provide guidance, example
documents, and models for these authorization application elements.
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CHAPTER 1.2
DEFINITIONS
Terms frequently used in this manual are defined below. Other items
are defined in 40 CFR Parts 260 and 270.
Action Memorandum is a transmittal memorandum prepared by the EPA Regional
Office for the purposes of obtaining signatures from the appropriate concur-
ring EPA Headquarters offices.
Annual State Grant Work Program is an agreement negotiated annually between
the State and EPA Regional Office delineating the work activities to be
completed by the State as a condition of the RCRA grant for that year.
Application Approval Process is the procedure by which applications for
final authorization will be reviewed and determinations made within each
Regional Office and Headquarters.
Complete Application is the State's official application that has been
determined by EPA to be complete.
Draft Application is a preliminary version of the official application.
Headquarters Review Team is an established group of EPA staff representing
the concurring Headquarters offices (i.e., Office of Solid Waste, Office of
General Counsel, Office of Enforcement Counsel, and Office of Waste Programs
Enforcement) responsible for reviewing the draft applications and complete
applications.
Headquarters Review Team Leader is responsible for coordinating the efforts
of the Headquarters Review Team and coordinates the transmittal of a single
set of written review comments to the State Coordinator.
Official Application is the formal State application for final authorization
submitted to EPA by the Governor.
Phase I of Interim Authorization is based on that phase of the Federal
Hazardous Waste Management Program commencing on November 19, 1980, and
encompasses the identification and listing of hazardous wastes, the control
of generators and transporters, and interim status standards for treatment,
storage, and disposal facilities (40 CFR Parts 260, 261, 262, 263, and 265).
Phase II of Interim Authorization is based on that phase of the Federal
Hazardous Waste Management Program commencing in July of 1981 and encom-
passes permitting procedures and standards for hazardous waste treatment,
storage, and disposal facilities (40 CFR Parts 270, 124, and 264).
Pre-Application Statutory Review is the optional EPA review of State
statutes prior to the State's submission of a draft or official application.
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Regional Liaison is the Headquarters Review Team member that is designated
to review and coordinate comments for all State applications from a particu-
lar Region. The Regional Liaison should maintain day-to-day contact with
the State Coordinator.
Regional Workgroup is an established team of EPA Regional Office staff
responsible for reviewing the draft application and complete application.
The Workgroup must represent all of the concurring Divisions and Offices
(i.e., Office of Regional Counsel, and Air and Waste Management Division)
within the Regional Office.
State Coordinator is the EPA Regional Office contact responsible for coor-
dinating and consolidating the review comments generated by the Regional
Workgroup and the Headquarters' Review Team on the State submittal. The
State Coordinator should maintain day-to-day contact with the Regional
Liaison.
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CHAPTER 1.3
STATE PROGRAM REQUIREMENTS FOR FINAL AUTHORIZATION
INTRODUCTION
RCRA establishes the basic standards that State hazardous waste pro-
grams must meet in order to qualify for final authorization. EPA further
interpreted these statutory requirements by promulgating regulations at 40
CFR Part 271. The regulations provide detailed requirements that State
programs must meet and set forth the form and content of the State's appli-
cation for final authorization. In reviewing State applications, EPA is
required to determine that States satisfy these statutory and regulatory
standards.
The purpose of this chapter is to provide more specific guidance con-
cerning how State programs can satisfy the final authorization requirements.
Appropriate portions of the final authorization regulations are reproduced
here to present the State program requirements. In many cases, the regula-
tory requirements are explicit and need no further explanation. For other
regulatory provisions, additional discussion is provided in the text of this
chapter to more clearly define those State program features that will be
acceptable or necessary for final authorization.
A summary of the six RCRA standards that State programs must meet for
final authorization is presented in Table 1. Key EPA regulations generally
corresponding to these statutory standards are identified in the table. The
table also indicates the appropriate section(s) of the State's application
where the State should demonstrate that it satisfies the RCRA requirements.
Chapters 2.2-2.4 in the second section of this manual describe how the
State's application should address these standards.
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Table 1
Requirements for Final Authorization
RCRA Standard
1. Equivalent Program -
§3006(b)
2. No Less Stringent
Program - §3009
3. Consistent Program -
§3006(b)
4. More Stringent Program -
§3009
5. Adequate Enforcement -
§3006(b); §7004(b)(l)
6. Notice and Hearing in the
Permit Process -
§7004(b)(l) and (2)
EPA
Regulations
(40 CFR)
271.9-13
271.9-14
271.4
Not
Applicable
271.15-16
271.14
State Application
Program Description,
AG Statement and
MOA
Program Description and
AG Statement
Program Description
Program Description,
AG Statement and
MOA
Program Description,
AG Statement and
MOA
RCRA STANDARD #1 AND RCRA STANDARD #2 - EQUIVALENT AND
NO LESS STRINGENT PROGRAM
1. Requirements for Identification and Listing - §271.9
§ 271.9 Requirement* for Identification
and listing of hazardous wastes.
The State program must control all the
hazardous wastes controlled under 40
CFR Part 281 and must adopt a list of
hazardous wastes and set of
characteristics for identifying hazardous
wastes equivalent to those under 40 CFR
Part 261.
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The universe of wastes which the State controls must include all the
hazardous wastes controlled by the Federal program. The State must adopt a
list of hazardous wastes and a set of characteristics for identifying haz-
ardous wastes. The State's list and characteristics need not be identical
to EPA's as long as the State can demonstrate that it regulates all of the
wastes controlled by EPA. To the extent that the State's method for identi-
fying and listing wastes differs from the Federal approach, the State's
demonstration of equivalent coverage becomes more difficult, particularly
where the State's set of characteristics is different. A State is free to
control additional wastes if it desires. Furthermore, the State is not
required to adopt an equivalent "delisting" mechanism in order to obtain
final authorization (see "More Stringent Program" discussion on page
1.3-10).
2. Requirements for Generators - §271.10
§271.10 Requirements tor generators of
hazardous waste.
(a) The State program must cover all
generators covered by 40 CFR Part 262.
States must require new generators to
contact the State and obtain an EPA
identicfiation number before they
perform any activity subject to
regulation under the approved State
hazardous waste program.
(b) The State shall have authority to
require and shall require all generators
to comply with reporting and
recordkeeping requirements equivalent
to those under 40 CFR 262.40 and 262.41.
States must require that generators keep
these records at least 3 years.
(c) The State program must require
that generators who accumulate
hazardous wastes for short periods of
time comply with requirements that are
equivalent to the requirements for
accumulating hazardous wastes for
short periods of time under 40 CFR
262.34.
(d) The State program must require
that generators comply with
requirements that are equivalent to the
requirements for the packaging, labeling,
marking, and placarding of hazardous
waste under 40 CFR 262.30 to 262.33, and
are consistent with relevant DOT
regulations under 49 CFR Parts 172,173,
178 and 17a
(e) The State program shall provide
requirements respecting international
shipments which are equivalent to those
at 40 CFR 262.50, except that advance
notification of international shipments,
as required by 40 CFR 282.50(b)(l), shall
be filed with the Administrator. The
State may require that a copy of such
advance notice be filed with the State
Director, or may require equivalent
reporting procedures.
Note.Such notices shall be mailed to the
Office of International Activities (A-106),
United States Environmental Protection
Agency. Washington, D.C. 20460.
(f) The State must require that all
generators of hazardous waste who
transport (or offer for transport) such
hazardous waste off-site:
(1) Use a manifest system that ensures
that interstate and intrastate shipments
of hazardous waste are designated for
delivery, and. in the case of intrastate
shipments, are delivered to facilities
that are authorized to operate under an
approved State program or the Federal
program;
(2) Initiate the manifest and designate
on the manifest the storage, treatment,
or disposal facility to which the waste is
to be shipped:
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(3) Ensure that all wastes offered for
transportation are accompanied by the
manifest, except in the case of
shipments by rail or water specified in
40 CFR 262.23 (c) and (d) and § 262.20 (e)
and (f). The State program shall provide
requirements for shipments by rail or
water equivalent to those under 40 CFR
§ 262.23 (c) and (d) and § 263.20 (e) and
(f).
(4) Investigate instances where
manifests have not been returned by the
owner or operator of the designated
facility and report such instances to the
State in which the shipment originated.
(g) In the case of interstate shipments
for which the manifest has not been
returned, the State program must
provide for notification to the State in
which the facility designated on the
manifest is located and to the State in
which the shipment may have been
delivered (or to EPA in the case of
unauthorized States}.
(h) The State must follow the Federal
manifest format (40 CFR 262.21) and
may supplement the format to a limited
extent subject to the consistency
requirements of the Hazardous
Materials Transportation Act (49 U.S.C
1801 et seq.j.
The State must control all the generators that would be controlled by
the Federal program. The state must have a manifest system that meets the
requirements of §271.10(f) - (h), including the requirement that generators
be held responsible for exception reporting. However, this does not pre-
clude the State agency from tracking manifests as it deems necessary as part
of its enforcement program.
3. Requirements for Transporters - §271.11
§ 271.11 Requirements for transporters of
hazardous wastes.
(a) The State program must cover all
transporters covered by 40 CFR Part 263.
New transporters must be required to
contact the State and obtain an EPA
identification number from the State
before they accept hazardous waste for
transport
(b) The State shall have the authority
to require and shall require all
transporters to comply with
recordkeeping requirements equivalent
to those found at 40 CFR 263.22. States
must require that records be kept at
least 3 years.
(c) The State must require the
transporter to carry the manifest during
transport except in the case of
shipments by rail or water specified hi
40 CFR 263.20 (e) and (f) and to deliver
waste only to the facility designated on
the manifest The State program shall
provide requirement for shipments by
rail or water equivalent to those under
40 CFR 263.20 (e) and (f).
(d) For hazardous wastes that are
discharged in transit the State program
must require that transporters notify
appropriate State, local, and Federal
agencies of such discharges, and clean
up such wastes, or take action so that
such wastes do not present a hazard to
human health or the environment These
requirements shall be equivalent to
those found at 40 CFR 263.30 and 263.31.
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The State must control all transporters that are covered in the Federal
program.
4. Requirements for Facilities - §271.12
§ 271.12 Requirements for hazardous
waste management facilities.
The State shall have standards for
hazardous waste management facilities
which are equivalent to 40 CFR Parts
264 and 266. These standards shall
include:
(a) Technical standards for tanks,
containers, waste piles, incineration,
chemical, physical and biological
treatment facilities, surface
impoundments, landfills, and land
treatment facilities;-
(b) Financial responsibility during
facility operation;
(c) Preparedness for and prevention of
discharges or releases of hazardous
waste; contingency plans and
emergency procedures to be followed in
the event of a discharge or release of
hazardous waste;
(d) Closure and post-closure
requirements including financial
requirements to ensure that money will
be available for closure and post-closure
monitoring and maintenance;
(e) Ground water monitoring;
(f) Security to prevent unauthorized
access to the facility;
(g) Facility personnel training;
(h) Inspections, monitoring,
recordkeeping, and reporting;
(i) Compliance with the manifest
system, including the requirements that
facility owners or operators return a
signed copy of the manifest to the
generator to certify delivery of the
hazardous waste shipment;
(j) Other requirements to the extent
that they are included in 40 CFR Parts
264 and 266.
The State must have technical permitting standards that are equivalent
to and no less stringent than the Federal standards at Part 264. For each
requirement in Part 264, the State needs to demonstrate that it has a regu-
latory counterpart that is at least as stringent as the Federal provision.
Due to the nature of the financial responsibility requirements of Subpart H,
separate guidance has been provided in Appendix B which presents acceptable
financial mechanisms for final authorization.
5. Requirements for Permitting - §§271.13 and .14
§ 271.13 Requirements with respect to
permits and permit applications.
(a) State law must require permits for
owners and operators of all hazardous
waste management facilities required to
obtain a permit under 40 CFR Part 270
and prohibit the operation of any
hazardous waste management facility
without such a permit, except that
States may, if adequate legal authority
exists, authorize owners and operators
of any facility which would qualify for
interim status under the Federal
program to remain in operation until a
final decision is made on the permit
application. When State law authorizes
such continued operation it shall require
compliance by owners and operators of
such facilities with standards at least as
stringent as EPA's interim status
standards at 40 CFR Part 265.
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(b) The State must require all new
HWM facilities to contact the State and
obtain an EPA identification number
before commencing treatment, storage.
or disposal of hazardous waste.
(c) All permits issued by the State
shall require compliance with the
standards adopted by the State under
§ 271.12.
(d) All permits issued under State law
prior to the date of approval of final
authorization shall be reviewed by the
State Director and modified or revoked
and reissued to require compliance with
the requirements of this Part.
S 271.14 Requirements for permitting.
All State programs under this Subpart
must have legal authority to implement
each of the following provisions and
must be administered in conformance
with each; except that States are not
precluded from omitting or modifying
any provisions to impose more stringent
requirements:
(a) Section 270.1(c)(l)(Specific
inclusions);
(b) Section 270.4(Effect of permit);
(c) Section 270.5(Noncompliance
reporting);
(d) Section 270.10(Application for a
permit);
(e) Section 270.11(Signatories);
(f) Section 270.12(Confidential
information);
(g) Section 270.13(Contents of Part
A);
(h) Sections 270.14-.29(Contents of
Part B);
[Note.States need not use a two part
permit application process. The State
application process must, however, require
information in sufficient detail to satisfy the
requirements of 55 270.13-.29.]
(i) Section 270.30(Applicable permit
conditions);
(j) Section 270.31(Monitoring
requirements);
(k) Section 270.32(Establishing
permit conditions);
(1) Section 270.33(Schedule of
compliance);
(m) Section 270.40(Permit transfer);
(n) Section 270.41(Permit
modification);
(o) Section 270.43(Permit
termination);
(p) Section 270.50(Duration);
(q) Section 270.60(Permit by rule);
(r) Section 270.61(Emergency"
permits);
(a) Section 270.64(Interim permits
for UIC wells);
(t) Section 124.3(a)(Application for a
permit);
(u) Section 124.5 (a), (c), (d),
(Modification of permits);
(v) Section 124.6 (a), (d), and (e)
(Draft permit);
(w) Section 124.&(Fact sheets);
(x) Section 124.10 (a){l)(ii). (a)(l)(iii),
(a)(l)(v). (b), (c), (d). and (e){Public
notice);
(y) Section 124.11(Public comments
and requests for hearings);
(z) Section 124.12{a)(Public
hearings); and
(aa) Section 124.17 (a) and (c}
(Response to comments).
[Note.States need not implement
provisions identical to the above listed
provisions. Implemented provisions must,
however, establish requirements at least as
stringent as the corresponding listed
provisions. While States may impose more
stringent requirements, they may not make
one requirement more lenient as a tradeoff
for making another requirement more
stringent; for example, by requiring that
public hearings be held prior to issuing any
permit while reducing the amount of advance
notice of such a hearing.]
1.3-6
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All facilities that would be required to receive RCRA permits under the
Federal program must be required to receive permits from the State. Also,
those facilities without RCRA permits but that qualify for Federal "interim
status" must be required to comply with State permit conditions or the
State's analogue to Federal "interim status"standards which are at least as
stringent as the EPA regulations at Part 265.
The procedures that State programs need to provide for when issuing
permits are identified in §271.14. This regulation refers to aspects of the
Federal permitting program (Parts 270 and 124) which the State must have
equal authority to address. States need not implement provisions identical
to all the requirements identified in §271.14; however, alternate provisions
must establish requirements that are at least as stringent as those in
Checklist V (see Appendix A).
Some of the requirements in Parts 270 and 124 are primarily procedural
in nature; that is, they bind the permitting authority (State or Federal) to
act in a certain manner but generally do not impose requirements on the
permittee or permit applicant. These requirements are noted in Checklist V.
Three examples of these procedural requirements are:
o The requirement for a 45-day public comment period on draft
permits (§124.10).
o The requirement to give public notice of the issuance of
emergency permits (§270.61).
o The requirement to broadcast notice of permit actions over
local radio stations.
It is preferable for the State to have these procedures in regulations
(in the same manner as the Federal program at Parts 270 and 124). However,
lacking adequate regulatory provisions, the State may be able to agree in
its MOA to carry out the permitting procedure in accordance with the re-
quirements for final authorization. In order for this approach to be ac-
ceptable, the State Attorney General must review the terms and conditions of
the MOA and certify that (1) the State has the authority to enter into the
agreement, (2) the State has the authority to carry out the agreement, and
(3) no applicable State statute (including the State administrative proce-
dure act) requires that the procedure be promulgated as a rule in order to
be binding. The MOA must then contain an unequivocal State commitment to
apply the procedures to each permit. Further, when a State will be process-
ing a permit application (or terminating or modifying a permit) using proce-
dures that are not specified in its regulations, notice of each draft permit
must inform the public that the procedures to be followed in processing the
permit are derived from the MOA as well as directly from State laws and
regulations. The State must agree in the MOA to include this information in
each notice.
The degree to which this approach may be legally acceptable will vary
by State, depending on the State's legal authorities in the areas of haz-
ardous waste regulation and administrative procedures. The State may not
use the MOA to adopt procedures which directly conflict with State laws or
regulations (e.g., the State agrees to provide for a 45-day public comment
period even though the State's regulation sets a maximum 30-day comment
period).
1.3-7
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6. Variance, Waiver and Compliance Schedule Provisions
Many States have statutory or regulatory waiver, variance, or compli-
ance schedule provisions that allow the State to grant regulatory relief to
members of the regulated community on a case-by-case basis. Generally a
waiver relieves a party from complying with a particular requirement
altogether. A variance, on the other hand, changes the substantive require-
ment for compliance. Compliance schedules only change the date by which
compliance is required.
The Federal RCRA program allows few exemptions from its regulations.
The language of Section 3009 of RCRA precludes the use of variance and
waiver provisions by the State that would render the State program less
stringent than the Federal program. If the State's variance or waiver
authority is broader than that for the Federal program (i.e., it allows
greater deviation from the State's regulations than the Federal program
would), the State provision may be acceptable if the provision is of such a
nature that it can be invoked only at the discretion of the State agency.
In this case, the State must agree in its MOA not to use the waiver or
variance so that it would result in the imposition of any requirement less
stringent than comparable Federal program requirements. Additionally, the
Attorney General must certify that State law allows the State agency to
agree to limit its use of the waiver provision in this fashion. The State
must also agree in the MOA to inform EPA of the issuance of any variance or
waiver (see page 2.4-9).
If, however, the State's variance or waiver authority is not discre-
tionary, that is, the State's statute or regulation would require the grant-
ing of variances in certain situations that would render the State program
less stringent, the option above would not be available as a means of satis-
fying §3009 and obtaining final authorization.
Section 270.33 of the Federal regulations provides that Federal permits
may specify schedules leading to compliance. States may similarly use their
authority to issue compliance schedules or temporary variances which operate
as compliance schedules analogous to the Federal program. Therefore, State
compliance schedule provisions analogous to §270.33 are not an impediment to
final authorization.
RCRA STANDARD #3 - CONSISTENT PROGRAM
§ 271.4 Consistency.
To obtain approval, a State program
must be consistent with the Federal
program and State programs applicable
in other States and in particular must
comply with the provision below. For
purposes of this section the phrase
"State programs applicable in other
States" refers only to those State
hazardous waste programs which have
received final authorization under this
part.
(a) Any aspect of the State program
which unreasonably restricts, impedes,
or operates as a ban on the free
movement across the State border of
hazardous wastes from other States for
treatment, storage, or disposal at
facilities authorized to operate under the
Federal or an approved State program
shall be deemed inconsistent.
1.3-8
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(b) Any aspect of State law or of the (c) If the State manifest system does
State program which has no basis in not meet the requirements of this Part,
human health or environmental the State program shall be deemed
protection and which acts as a inconsistent.
prohibition on the treatment, storage or
disposal of hazardous waste in the State
may be deemed inconsistent.
Section 3006(b) of RCRA requires that authorized State programs must be
"consistent with" the Federal RCRA program and other State programs. The
call for consistent State programs must be balanced with the provision of
§3009 that allows States to impose requirements which are more stringent
than the Federal regulations. For this reason, EPA will apply the consis-
tency test as narrowly as possible, limiting its application to only those
areas described in 40 CFR 271.4.
Under §1005 of RCRA, two or more States may enter into interstate
compacts or agreements to provide for cooperative effort and mutual assis-
tance for the management of hazardous (and/or solid) waste and the enforce-
ment of their respective laws relating thereto. No such compact or agree-
ment is binding on the parties to it until it has been approved by the
Administrator and Congress. Similarly, under §4 of the Low Level
Radioactive Waste Policy Act of 1980, States may enter into compacts as may
be necessary to provide for the establishment and operation of regional
disposal facilities for low level radioactive waste. These compacts do not
take effect until Congress has by law consented to the compact. Since the
Congress has explicitly provided in the statutes that these interstate
compacts are appropriate and since the compacts must individually receive
Congressional approval, the establishment of such interstate compacts will
not cause a State program to be deemed inconsistent.
The following sections briefly explain each consistency requirement
found in §271.4. For each of these requirements examples are presented to
illustrate questions that States may face regarding program consistency.
1. Interstate Movement of Wastes - §271.4(a)
This test of consistency applies to State controls that restrict the
interstate transportation of waste. Examples of controls that are incon-
sistent under this requirement include:
o State requirement (law/regulation/policy) which bans the
importation of hazardous waste from out of State.
o State requirement which sets geographic standards of discrim-
ination (treats out-of-State waste differently than in-State
wastes), such as a State policy which denies permission to
import wastes unless there is insufficient waste management
capacity available in the State of waste origin.
o State exclusive reciprocity agreement which in effect allows
importation of wastes only from the States which are parties
to such agreements.
1.3-9
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States with these types of restrictions are strongly urged to repeal them.
If this is not possible, then the requirements must somehow be rendered
unenforceable. For example, if a State has an importation ban that it is
unable to repeal, the AG would have to issue a formal opinion saying that he
will not enforce the ban because it is unconstitutional.
2. Prohibition of Treatment, Storage, or Disposal - §271.4(b)
This test of consistency applies to aspects of the State law or program
which prohibit treatment, storage or disposal of hazardous wastes. Such
provisions will not be deemed inconsistent with RCRA if they are based on
protection of human health or the environment.
Siting. Some States have siting laws or regulations that provide for
the consideration of social, economic, financial, capacity, and other fac-
tors in site selection in addition to the human health or environmental
impacts. Such provisions will not be judged to be inconsistent with RCRA if
it is clear that siting decisions are to be based on health or environmental
protection as well as these other factors. Thus, siting criteria beyond
environmental protection are allowable.
A State siting provision that contradicts the express terms of §271.4
(for example, where the only basis for rejecting a site is economics), would
be an obstacle to final authorization. It is quite unlikely that State
siting provisions will have no basis in health or environmental protection.
EPA will review the State provisions that govern site selection, in-
cluding regulations and policies governing siting boards. If such provi-
sions on their face are not inconsistent (per §271.4), EPA does not intend
to go beyond the provisions to hypothesize how decisions will actually be
made.
3. Manifest System - §271.4(c)
This test of consistency applies to the State's use of a manifest
tracking system. The State must follow the EPA tracking system, including
the use of exception and discrepancy reports. States may build upon that
system by matching generator, transporter and facility copies of the mani-
fest at the State office and still be "consistent." An example of a provi-
sion which would be inconsistent under this requirement is a State require-
ment that the transporter carry a form with significantly more tracking
information than is Federally required or allowed. However, the State would
be free to require generators to send (e.g. mail) more detailed information
to the TSDF prior to receipt of the wastes.
RCRA STANDARD #4 - MORE STRINGENT PROGRAM
In keeping with the intent of §3009 of RCRA, no State is prohibited
from imposing requirements that are more stringent than EPA's. States may
have more extensive regulatory programs than required to obtain authoriza-
tion. It should be noted that where an approved State program has a greater
1.3-10
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scope of coverage than required by Federal law, the additional
not part of the Federally approved program (see §271.l(i)(2)).
coverage is
In addition, State programs need not include those Federal requirements
that serve to exempt persons from certain regulatory requirements. For
example, States are not required to provide an equivalent "delisting" mech-
anism in order to obtain final authorization. However, if the State program
does include a delisting mechanism, that mechanism must be no less stringent
that that of the Federal program in order for the State to obtain final
authorization. (PIG's 81-4 and 82-4 outline the policy on delisting during
interim authorization; this policy is the same for final authorization.)
RCRA STANDARD #5 - ADEQUATE ENFORCEMENT
§271.15 Requirements for compliance
evaluation programs.
(a) State programs shall have
procedures for receipt, evaluation,
retention and investigation for possible
enforcement of all notices and reports
required of permittees and other
regulated persons (and for investigation
for possible enforcement of failure to
submit these notices and reports).
(b) State programs shall have
inspection and surveillance procedures
to determine, independent of
information supplied by regulated
persons, compliance or noncompliance
with applicable program requirements.
The State shall maintain:
(1) A program which is capable of
making comprehensive surveys of all
facilities and activities subject to the
State Director's authority to identify
persons subject to regulation who have
failed to comply with permit application
or other program requirements. Any
compilation, index or inventory of such
facilities and activities shall be made
available to the Regional Administrator
upon request;
(2) A program for periodic inspections
of the facilities and activities subject to
regulation. These inspections shall be
conducted in a manner designed to:
(i) Determine compliance or
noncompliance with issued permit
conditions and other program
requirements;
(ii) Verify the accuracy of information
submitted by permittees and other
regulated persons in reporting forms and
other forms supplying monitoring data;
and
(iii) Verify the adequacy of sampling,
monitoring, and other methods used by
permittees and other regulated persons
to develop that information;
(3) A program for investigating
information obtained regarding
violations of applicable program and
permit requirements; and
(4) Procedures for receiving and
ensuring proper consideration of
information submitted by the public
about violations. Public effort in
reporting violations shall be encouraged,
and the State Director shall make
available information on reporting
procedures.
(c) The State Director and State
officers engaged in compliance
evaluation shall have authority to enter
any site or premises subject to
regulation or in which records relevant
to program operation are kept in order
to copy any records, inspect monitor or
otherwise investigate compliance with
the State program including compliance
with permit conditions and other
program requirements. States whose law
requires a search warrant before entry
conform with this requirement
(d) Investigatory inspections shall be
conducted, samples shall be taken and
other information shall be gathered in a
manner (e.g., using proper "chain of
custody" procedures) that will produce
evidence admissible in an enforcement
proceeding or in court.
1.3-11
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§ 271.16 Requirements for enforcement
authority.
(a) Any State agency administering a
program shall have available the
following remedies for violations of
State program requirements:
(1) To restrain immediately and
effectively any person by order or by
suit in State court from engaging in any
unauthorized activity which is
endangering or causing damage to
public health or the environment.
[Note.This paragraph requires that States
have a mechanism (e.g., an administrative
cease and desist order or the ability to seek a
temporary restraining order) to stop any
unauthorized activity endangering public
health or the environment]
(2) To sue in courts of competent
jurisdiction to enjoin any threatened or
continuing violation of any program
requirement, including permit
conditions, without the necessity of a
prior revocation of the permit;
(3) To access or sue to recover in
court civil penalties and to seek criminal
remedies, including fines, as follows:
(i) Civil penalties shall be recoverable
for any program violation in at least the
amount of $10,000 per day.
(ii) Criminal remedies shall be
obtainable against any person who
knowingly transports any hazardous
waste to an unpermitted facility; who
treats, stores, or disposes of hazardous
waste without a permit; or who makes
any false statement, or representation in
any application, label, manifest record,
report, permit or other document filed,
maintained, or used for purposes of
program compliance. Criminal fines
shall be recoverable in at least the
amount of $10,000 per day for each
violation, and imprisonment for at least
six months shall be available.
(b)(l) The maximum civil penalty or
criminal fines (as provided in paragraph
(a)(3) of this section) shall be assessable
for each instance of violation and, if the
violation is continuous, shall be
assessable up to the maximum amount
for each day of violation.
(2) The burden of proof and degree of
knowledge or intent required under
State law for establishing violations
under paragraph (a}(3) of this section,
shall be no greater than the burden of
proof or degree of knowledge or intent
EPA must provide when it brings an
action under the Act.
[Note.For example, this requirement is
not met if State law includes mental state as
an element of proof for civil violations-]
(c) Any civil penalty assessed, sought
or agreed upon by the State Director
under paragraph (a)(3) of this section
shall be appropriate to the violation. A
civil penalty agreed upon by the State
Director in settlement of administrative
or judicial litigation may be adjusted by
a percentage which represents the
likelihood of success in establishing the
underlying violation(s) in such litigation.
If such civil penalty, together with the
costs of expeditious compliance, would
be so severely disproportionate to the
resources of the violator as to jeopardize
continuance in business, the payment of
the penalty may be deferred or the
penalty may be forgiven in whole or
part, as circumstances warrant In the
case of a penalty for a failure to meet a
statutory or final permit compliance
deadline, "appropriate to the violation,"
as used in this paragraph, means a
penalty which is equal to:
(1) An amount appropriate to address
the harm or risk to public health or the
environment; plus
(2) An amount appropriate to remove
the economic benefit gained or to be
gained from delayed compliance; plus
(3) An amount appropriate as a
penalty for the violator's degree of
recalcitrance, defiance, or indifference
to requirements of the haw; plus
(4) An amount appropriate to recover
unusual or extraordinary enforcement
costs thrust upon the public; minus
1.3-12
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(5) An amount, if any, appropriate to
reflect any part of the noncompliance
attributable to the government itself;
and minus
(6) An amount appropriate to reflect
any part of the noncompliance caused
by factors completely beyond the
violator's control (e.g., floods, fires).
[Note.In addition to the requirements of
this paragraph, the State may have other
enforcement remedies. The following
enforcement options, while not mandatory,
are highly recommended:
Procedures for assessment by the State of
the costs of investigations, inspections, or
monitoring surveys which lead to the
establishment of violations;
Procedures which enable the State to
assess or to sue any persons responsible for
unauthorized activities for any expenses
incurred by the State in removing, correcting,
or terminating any adverse effects upon
human health and the environment resulting
from the unauthorized activity, whether or
not accidental;
Procedures which enable the State to sue
for compensation for any loss or destruction
of wildlife, fish or aquatic life, or their
habitat, and for any other damages caused by
unauthorized activity, either to the State or to
any residents of the State who are directly
aggrieved by the unauthorized activity, or
both; and
Procedures for the administrative
assessment of penalties by the Director.]
(d) Any State administering a program
shall provide for public participation in
the State enforcement process by
providing either:
(1) Authority which allows
intervention as of right hi any civil
action to obtain remedies specified in
paragraphs (a) (1), (2) or (3) of this
section by any citizen having an interest
which is or may be adversely affected;
or
(2) Assurance that the State agency or
enforcement authority will:
(i) Investigate and provide written
responses to all citizen complaints
submitted pursuant to the procedures
specified in § 271.15(b)(4);
(ii) Not oppose intervention by any
citizen when permissive intervention
may be authorized by statute, rule, or
regulation; and
(iii) Publish notice of and provide at
least 30 days for public comment on any
proposed settlement of a State
enforcement action.
Once authorized, the State program operates in lieu of the Federal pro-
gram. EPA retains its right to exercise its enforcement responsibilities in
authorized States, though the requirements EPA enforces in that case are the
State's requirements.
40 CFR 271.16(a)(2) requires States to have authority to enjoin viola-
tions of State hazardous waste regulations and permits. This provision
specifically requires that States applying for final authorization have the
authority "to sue in courts of competent jurisdiction to enjoin any
threatened or continuing violation of any program requirement, including
permit conditions, without the necessity of a prior revocation of the per-
mit." Authority over threatened violations is required so that States may
enjoin regulatory violations about to occur even though the threatened vio-
lations may not rise to the level of an imminent hazard (§271.16(a)(l)).
1.3-13
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Questions have arisen about what type of legal authority States must
demonstrate to comply with this provision. Several options are available.
First, the State analogue to RCRA §3008 may provide the necessary authority.
This authority may be explicit or, as in the case of Section 3008, implicit
in the authority to enforce the Subtitle C regulations. Alternatively, it
is sufficient for a State to establish that general authority or case law
authority exists for a State court of competent jurisdiction to grant the
State injunctive relief (whether preliminary or permanent) in cases involv-
ing threatened violations. Stated another way, if a State Attorney General
is able to demonstrate that the State courts are generally empowered to
grant injunctive relief and that such relief could be granted to the State
in a suit to enjoin a threatened violation of a program requirement or per-
mit condition, then the State program would comply with §271.16(a)(2).
The minimum requirements for State enforcement penalties are specified
in §271.16(a)(3)(i). These penalty levels are necessary to ensure effective
State enforcement programs and to minimize the need for EPA to take civil or
criminal enforcement actions in an authorized State. Therefore, the State
must demonstrate that it has the authority to seek the penalty levels re-
quired by §271.16(a)(3)(i). However, the actual fine which will be sought
or ultimately recovered in an enforcement case is not a final authorization
issue.
The requirement in §271.16(d) concerning public participation in the
enforcement processs may be satisfied through agreement in the MOA between
the State and EPA accompanied by a certification by the State Attorney
General (see page 2.3-10). Also note that §271.16(d) does not require the
State program to have a citizen suit provision comparable to EPA's (§7002 of
RCRA). The State is not required to have statutory or regulatory authority
equivalent to §7002 in order to obtain final authorization.
RCRA STANDARD #6 - NOTICE AND HEARING IN THE PERMIT PROCESS
RCRA §7004(b)(2) stipulates that no State permit program may be author-
ized unless it: (1) provides notice of its intent to issue a permit through
publication in "major local newspapers of general circulation": (2) broad-
casts such notice over local radio stations; (3) provides written notice to
certain State and local government agencies; (4) provides for at least a 45
day public comment period; and (5) holds an informal public hearing if one
is requested during the comment period. (See also §271.14.) As is the case
with other procedural aspects of the permitting process, if the State has
the authority, it may agree in its MOA to adhere to these procedures if they
are not required by the State's regulations. Further discussion of such
agreements is provided on page 1.3-7.
The State need not use the term "informal public hearing"; the per-
tinent requirement is that the State hearing procedure be of the same nature
of that described in RCRA §7004(b)(2) and further defined in 40 CFR 124.12.
The RCRA hearing is one that is purely legislative in nature (i.e., not an
"evidentiary hearing" as provided for in Subparts E or F of 40 CFR Part 124)
and at which oral or written statements and data concerning the draft permit
may be submitted by any interested person. Additional discussion can be
found at 45 FR 33405 and 33406 (May 19, 1980).
1.3-14
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Where a State employs hearings of the nature of an "evidentiary hear-
ing", it should ensure that its evidentiary procedures also contain proce-
dures analogous to those in 40 CFR 124.12, or else hold an additional "in-
formal" hearing.
1.3-15
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CHAPTER 1.4
APPROVAL PROCESS
Federal Requirement
§ 271.20 Approval process.
(a) Prior to submitting an application
to EPA for approval of a State program,
the State shall issue public notice of its
intent to seek program approval from
EPA. This public notice shall:
(1) Be circulated in a manner
calculated to attract the attention of
interested persons including:
(i) Publication in enough of the largest
newspapers in the State to attract
statewide attention; and
(ii) Mailing to persons on the State
agency mailing list and to any other
persons whom the agency has reason to
believe are interested;
(2) Indicate when and where the
State's proposed submission may be
reviewed by the public;
(3) Indicate the cost of obtaining a
copy of the submission;
(4) Provide for a comment period of
not less than 30 days during which time
interested members of the public may
express their views on the proposed
program;
(5) Provide that a public hearing will
be held by the State or EPA if sufficient
public interest is shown or,
alternatively, schedule such a public
hearing. Any public hearing to be held
by the State on its application for
authorization shall be scheduled no
earlier than 30 days after the notice of
hearing is published;
(6) Briefly outline the fundamental
aspects of the State program; and
(7) Identify a person that an interested
member of the public may contact with
any questions.
(b) If the proposed State program is
substantially modified after the public
comment period provided in paragraph
(a)(4) of this section, the State shall,
prior to submitting its program to the
Administrator, provide an opportunity
for further public comment in
accordance with the procedures of
paragraph (a) of this section. Provided,
that the opportunity for further public
comment may be limited to those
portions of the State's application which
have been changed since the prior
public notice.
(c) After complying with the
requirements of paragraphs (a) and (b)
of this section, the State may submit, in
accordance with § 271.5, a proposed
program to EPA for approval. Such
formal submission may only be made
after the date of promulgation of the last
component of Phase II. The program
submission shall include copies of all
written comments received by the State,
a transcript, recording, or summary of
any public hearing which was held by
the State, and a responsiveness
summary which identifies-the public
participation activities conducted,
describes the matters presented to the
public, summarizes significant
comments received and responds to
these comments.
1.4-1
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(d) Within 90 days from the date of
receipt of a complete program
submission for final authorization, the
Administrator shall make a tentative
determination as to whether or not he
expects to grant authorization to the
State program. If the Administrator
indicates that he may not approve the
State program he shall include a general
statement of his areas of concern. The
Administrator shall give notice of this
tentative determination in the Federal
Register and in accordance with
paragraph (a)(l) of this section. Notice
of the tentative determination of
authorization shall also:
(1) Indicate that a public hearing will
be held by EPA no earlier than 30 days
after notice of the tentative
determination of authorization. The
notice may require persons wishing to
present testimony to file a request with
the Regional Administrator, who may
cancel the public hearing if sufficient
public interest in a hearing is not
expressed.
(2) Afford the public 30 days after the
notice to comment on the State's
submission and the tentative
determination; and
(3) Note the availability of the State
submission for inspection and copying
by the public.
(e) Within 90 days of the notice given
pursuant to paragraph (d) of this section,
the Administrator shall make a final
determination whether or not to approve
the State's program, taking into account
any comments submitted. The
Administrator will grant final
authorization only after the effective
date of the last component of Phase II.
The Administrator shall give notice of
this final determination in the Federal
Register and in accordance with
paragraph (a)(l) of this section. The
notification shall include a concise
statement of the reasons for this
determination, and a response to
significant comments received.
Introduction
The approval process for State authorization is described generally in
Section 3006(b) of RCRA. EPA regulations at 40 CFR 271.20 (shown above)
define the approval process in greater detail. (Also see §271.5(b) and
(c).) The purpose of this chapter is to present the procedures that will be
used by the EPA Headquarters and Regional Offices to review applications for
final authorization of State hazardous waste management programs. By set-
ting forth these procedures in detail the guidance is intended to:
Make the States aware of the EPA approval process;
Provide for Regional and national consistency;
Assign responsibilities to specific groups in both the Region
and Headquarters; and
Minimize the review and approval time frames.
The guidance suggests an early review of State hazardous waste statutes in
order to identify major deficiencies so that the States will have sufficient
time to take the necessary legislative actions before the interim authoriza-
tion period expires. Guidance is also provided on the review procedures and
responsibilities for draft and official State applications.
1.4-2
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Section 3006(b) of RCRA provides that a tentative determination regard-
ing whether the Agency expects to approve the State program must be an-
nounced in the Federal Register within 90 days of receipt of the State's
official application. Then, within 90 days of this announcement the final
decision must be published. Therefore, it is critical that timely reviews
be conducted of the State's official application.
The final authorization approval process differs from the interim
authorization process in the two decision notices discussed above and in the
State's public comment period on its application before it is submitted to
EPA. Aside from these major differences, States with interim authorization
should find the final authorization approval process familiar.
It should be emphasized that the approval process and timetables pre-
sented in this chapter are designed to move the State into final authori-
zation in a timely manner and with confidence. Approaches which differ from
the one presented here may result in delay (see §271.5(d)).
General Schedule
The goal of this approval process is to confer final authorization to
qualified State hazardous waste programs expeditiously and with the statu-
torily required public participation. The final authorization approval
process may begin as early as July 26, 1982, the date that the beginning of
final authorization was announced in the Federal Register. This date also
marks the beginning of the period during which a State may retain interim
authorization for Phase I, Phase II A, Phase II B and/or Phase II C. On
January 26, 1985 interim authorization expires. Therefore, while a State
may apply for, and be granted, final authorization effective any time after
January 26, 1983, interim authorization programs will revert to EPA on
January 26, 1985, if the State has not received final authorization.
The first step (which is optional) is for the State program to submit
its laws to EPA for a pre-application statutory review. Subsequently, the
State prepares a draft application for final authorization following the
guidance provided in this Manual and submits it to EPA for review. After
EPA review and comment, the State then redrafts its application in response
to EPA comments and issues a public notice of its intent to seek program ap-
proval. The State must provide a public comment period of at least 30 days
following this notice and, if sufficient interest is shown, a public hearing
must be held.
Once the State has addressed the public comments, it may formally
submit its official application for final authorization to EPA. EPA will
notify the State within 30 days as to whether the application is complete.
If the application is deemed complete EPA has 90 days from the receipt of
the application to announce in the Federal Register its tentative determina-
tion regarding the approval of the State program. A public comment period
of at least 30 days follows the tentative decision, and a public hearing is
held if sufficient public interest is expressed. After considering all of
the comments submitted, within 90 days of the tentative decision EPA must
announce in the Federal Register its final decision whether or not to ap-
prove the State program.
1.4-3
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Figures 1 and 2 illustrate typical timetables of events that will be
followed when a State applies for final authorization. States are strongly
encouraged to submit their draft applications as early as possible in order
to avoid a lapse in their authorization. This is of special concern since
review of the draft may indicate the need for time-consuming regulatory or
statutory changes that must be completed prior to final authorization.
Regional and Headquarters Review Teams
Regional Workgroups and Headquarters Review Teams have been established
to assist States with their applications and to coordinate and manage the
Agency's review and approval of State submittals. The development of these
two groups as the respective Regional and Headquarters focal points is
designed to involve all parties interested in State program authorization
and to ensure consistency in Agency comments to the States.
Each Regional Office has a Regional Workgroup coordinated, directed and
chaired by the Waste Management Branch. As a minimum, the Regional Work-
groups are composed of members from the Hazardous Waste Branch and the
Regional Counsel/Enforcement Office. Each State is assigned a Coordinator
from the Regional Office. The State Coordinator will be responsible for
coordinating and consolidating the review comments generated by the Regional
Workgroup and the Headquarters Review Team on various aspects of the State
submittal.
Three Headquarters Review Teams have been established with specific
geographic responsibility:
Northern States Review Team - Regions 1, 2, 3
Southern States Review Team - Regions 4, 6, 9
Western States Review Team - Regions 5, 7, 8, 10
The Headquarters Review Teams are composed of personnel from the Office of
Solid Waste and Emergency Response (OSWER), the Office of General Counsel
(OGC), and the Office of Enforcement Counsel (OEC). The Review Teams are
coordinated, directed and chaired by the State Programs Branch of the Office
of Solid Waste. For each team a Team Leader has been designated with re-
sponsibility for coordinating the efforts of the team. Also, each Region is
assigned a Regional Liaison from the Office of Solid Waste who is responsi-
ble for coordinating and consolidating the review comments generated by the
Headquarters Review Team.
Frequent contact should be maintained between the Regional Workgroup
members and their respective counterpart offices in Headquarters (e.g., the
Regional Waste Management Branch and the Office of Solid Waste, the Regional
Counsel/Enforcement Office and the Office of General Counsel as well as the
Office of Enforcement Counsel). This is necessary in order to ensure that
concurring offices remain informed of the positions taken during the review
process. The success of the authorization process and cooperation between
EPA and the State depends on EPA's effectiveness in communicating in a way
that accurately reflects the Agency's position on significant issues.
1.4-4
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Application Review Process
The application review process is divided into three distinct stages:
1. Pre-application statutory review
2. Draft application
3. Official application
For each stage of the review process, the specific activities and respon-
sibilities of the Headquarters Review Team and Regional Workgroup have been
defined and time frames for these activities have been established.
EPA's review of State submittals should result in a clear and uniform
Agency position. Therefore, EPA should provide the States with a single
consolidated set of comments. To accomplish this, the Regions and Headquar-
ters will coordinate their comments via the State Coordinators in the Re-
gional offices.
The Regional Work Group and the Headquarters Review Team are the focal
points for the review of draft and official applications. Upon receipt of
an application, the State Coordinator logs in and transmits copies to the
Headquarters Review Team Leader and the Regional Workgroup for review. The
Team leader in turn distributes copies to members of his Review Team.
Headquarters Review Team members and Regional Workgroup members are respon-
sible for ensuring that comments are submitted to the Team Leader on time.
Headquarters will provide a detailed set of comments on the draft and
official applications that will be transmitted to the State Coordinator by
the Review Team Leader. These comments will also be summarized and ad-
dressed to the Regional Administrator jointly under the signatures of the
Assistant Administrator for Solid Waste and Emergency Response, and the
Associate Administrator for Legal and Enforcement Counsel (OLEC).
The State Coordinator will combine Headquarters comments with the
comments generated by the Regional Office into one set of comments. The
State Coordinator will resolve with Headquarters any conflicts in consolid-
ating comments before transmitting them to the States. If Headquarters'
comments on the draft application are accommodated and no new issues are
raised by the public during the public comment periods or by the State in
the complete application, the Regional Office should expect Headquarters'
concurrence on the complete application in an expedited manner. However,
failure of the State Coordinator to transmit Headquarters' review comments
to the State, or failure by the State to adequately address the issues
raised in such comments, could result either in a delay in final concurrence
or in non-concurrence by the Headquarters offices.
Final approval of complete applications will be made by the Regional
Administrator with the Assistant Administrator for OSWER and the Associate
Administrator for OLEC (see EPA Delegation 8-7) concurring in the action.
1.4-5
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Pre-Application Statutory Review
The interim authorization period ends on January 26, 1985. Therefore,
it is critical that deficiencies in State laws are identified as early as
possible so States will have adequate time to make the necessary legislation
modifications for final authorization before the interim authorization
period expires. Therefore, EPA has established an optional pre-application
review to help States identify changes that may be needed in their laws.
EPA will review State statutes as quickly as resources allow, recognizing
the timeliness of this effort.
States are urged to provide to EPA their hazardous waste statutes and
other statutes that may be invoked to carry out the hazardous waste program
(such as an Administrative Procedure Act), including any proposed or pending
legislative actions. (Submission of consolidated statutes reflecting all
amendments to the original legislation would help expedite EPA's review).
The State should complete the "State Legislation Checklist" (see Chapter
2.7) and include it in their submission. The Statutory review will cover
the specific areas delineated in the "State Legislation Checklist."
Recognizing that Agency attorneys cannot be experts on all State laws,
the State Attorney General may wish to provide a draft statement, explana-
tory discussion, or supporting evidence regarding State statutory authority.
Otherwise, EPA will perform its review on the face of the State statutes.
Review of the State statutes should enable early identification of
major statutory problems. However, without simultaneous review of the State
regulations and the formal Attorney General's Statement, EPA cannot assure
that all statutory deficiencies will surface at this early stage. State
statutes must provide authority not only to develop a program which meets
EPA requirements, but also to promulgate the specific regulations which the
State has chosen (or will choose) to issue. Without the State's regula-
tions, EPA cannot comment on whether the States's legislation would author-
ize the specific regulatory program which the State has adopted or will
adopt.
Many of these reviews will be expedited by EPA's familiarity with the
State programs gained through the interim authorization process. However,
the requirements for State programs are different for final authorization.
Many States identified in their Authorization Plan statutory and regulatory
changes necessary for final authorization; however, it is possible that
additional changes may be required if the EPA review identifies previously
undiscovered inadequacies.
Consolidated Regional and Headquarters comments will be transmitted by
the Regional Administrator to the State Director.
Draft Application
The development and review of a draft application is an essential part
of the State approval process. A well-prepared and thoroughly reviewed
draft application (properly revised, if necessary) should significantly
1.4-6
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reduce the time needed to perform the formal review and approval of the com-
plete application. This process should also result in a sound document to
be presented to the public as the State's proposed application to EPA and
should reduce the possibility of subsequent major changes to the application
that would require additional opportunity for public comment. The review of
the draft application should be expedited by the pre-application review of
State laws.
The draft application should contain all of the elements of a complete
application except for the Governor's letter and the "Showing of Public
Participation" (see Chapter 2.5). However, the State may wish to make
special arrangements with the Regional Office to review partial drafts of
their application prior to the submission of the complete draft application.
Any deficiencies identified in the preapplication statutory review should be
corrected or explained in the draft application. Additionally, any changes
made by the State since prior reviews should be clearly identified to facil-
itate EPA's review. Since the application is in draft form, there is no
need for signatures on the various component documents (e.g., MOA, AG
Statement).
Figure 1 is a flow diagram that summarizes the review procedure for the
draft application. As indicated in this figure, the goal is to review the
draft applications within 60 days. However, this timetable assumes that a
pre-application statutory review of the statutes has been completed. Other-
wise the review may require additional time and effort.
State Public Notice and Hearing
Prior to submitting an official application to EPA, the State must give
public notice of its intent to seek authorization and make available to the
public the State's proposed submission. If sufficient public interest is
shown, a public hearing must be held by the State. At the request of the
State, an EPA representative may participate as a Panel member at the hear-
ing. The attendance by EPA will help assure a mutual understanding between
the State and EPA regarding public sentiment toward the application. The
official application should contain modifications or responses based on the
public comments. A transcript or summary of the public hearing, copies of
all written comments received by the State and the State's responsiveness
summary, must be included in the State's official application (see Chapter
2.5). For further details regarding the State public notice and hearing see
§271.20(a) and (b).
Official Application
The official application represents the State's formal submission for
final authorization of its hazardous waste management program. The applica-
tion must contain all of the elements described in §271.5 (see Chapters
2.1 - 2.6). To expedite the review of the application, the State is urged
to identify changes made since the draft application. Upon receipt of the
application, the State Coordinator should immediately transmit copies to all
Regional reviewers and to the Headquarters' Review Team Leader. The review
1.4-7
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Figure 1
Draft Application Review Process
Calendar Day
Reqion
Headquarters
35
45
50
55
60
Log and Transmit
Draft Application
Workgroup Review
Comments to State
Coordinator
Draft Consolidated
Comments
Finalize Comments
1
Transmit Comments
to State
Review Team Leader
Review Team Review
Comments to Regional
Liaison
Team Comments
From Team Leader
AA Summary
of Comments
1.4-8
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should commence at once since the review timetables must be adhered to
unless the application is deemed to be incomplete. The major review activi-
ties and the EPA documents resulting from the review are described below.
The review schedule for the official application is diagrammed in Figure 2.
It should be noted that EPA and the State may extend the statutory review
period by agreement (see §271.5(d)). Also, any time the State's application
is materially changed, the statutory review period begins again upon receipt
of the revised submission (see §271.5(c)). This may require the State to
provide another round of public comment before it resubmits its official
application.
1. Completeness Determination
Once the official application has been received in the Regional Office
and transmitted to all Regional and Headquarters reviewers, the State
Coordinator must evaluate the application for completeness using the check-
list in Chapter 2.8. The Regional Administrator must notify the State by
letter within 30 days as to whether or not the submittal is complete. To
accomplish this the letter should be mailed by Day 25 (see Figure 2).
If the application is found to be complete, the 90 day review process
is deemed to have begun on the day EPA received the State's submittal.
However, if the application is found to be incomplete, the review period is
suspended until all the necessary information is submitted to EPA, at which
time the 90 day review period is restarted (see §271.5(b)). If the appli-
cation is incomplete, the information required to complete the application
should be identified in the Regional Administrator's letter to the State.
2. Comments
The comments from the Regional and Headquarters reviewers should dis-
cuss whether the State should be authorized based on the information sub-
mitted in its application. These comments should clearly delineate any
problem areas which must be corrected before the State can be authorized.
Also, the comments should provide suggestions or recommended modifications
to the State's application to help rectify any deficiencies discovered in
the review process. Workgroup and Review Team Comments should be submitted
to the State Coordinator by Day 20 so the Coordinator can begin drafting a
letter to the State and an Action Memorandum and a Federal Register notice
containing the Agency's tentative decision. Headquarters will transmit the
AA Summary of Comments by Day 27 indicating Headquarters' official position
on the application. This summary of comments should assist the State Coor-
dinator in finalizing the Action Memorandum and the Federal Register Notice.
3. Action Memorandum
Once the Headquarters Review Team and the Regional Workgroup have
commented on the State's submittal, an Action Memorandum from the Regional
Administrator to the Assistant Administrator for OSWER and the Associate
Administrator for OLEC will be prepared by the State Coordinator with con-
currence of the Regional Workgroup members. This Action Memorandum must
contain a specific recommendation with respect to the tentative decision
1.4-9
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Figure 2
Official Application Review Process
Calendar Day
1
2
3
17
20
25
26
27
35
Region
Headquarters
50
60
70
80
90
Log and Transmit
Application
>
Workgroup Review
y
r
Comments to the State
Coordinator
V
Completeness Letter
to State
^
/
Draft Consolidated
Comments
i
Finalize
I
Comments
y
Transmit Comments
to State
^
Review Team Leader
»
Review Team Review
V
Comments to Regional
Liaison
^
Team Comments
From Team Leader
AA Summary
of Comments
Draft Action Memo
and FR Notice
of Tentative Decision
Workgroup Review
Comments to
State Coordinator
JL
Finalize Action Memo
and FR Notice
Review Team
Leader
Public Comment Period
Obtain AA Concurrences
y
Publish FR Notice
of Tentative
Determination
1.4-10
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Calendar Day
90
120
134
135
140
142
155
160
170
180
Figure 2 (continued)
Official Application Review Process
Reqion
Headquarters
Public Comment Period
V
Public
Hearing
j
State Coordinator
Responds to
Public Comments
i
1
Workgroup Review
of Response to
Comments
1
Workgroup Comments to
State Coordinator
*
Revised
to Co
i
Response
mments
Prepare Action Memo
and FR Notice of
Final Decision
i
Finalize Action Memo
and FR Notice
Publish FR Notice
of Tentative
Determination
Review Team Leader
Review Team Leader
^
Obtain AA Concurrences
, .
Publish FR Notice
of Final Decision
1.4-11
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regarding the approval of the application. It should also highlight speci-
fic questions or problem areas and provide some insight into key agreements
reached during the drafting stage. It is important that the Action Memo-
randum represent the recommendations of the Regional Workgroup members and
Headquarters Review Team in order to expedite the concurrence process. The
Action Memorandum should provide space for Headquarters and Regional Office
concurrences and should attach the Notice of Tentative Decision for publica-
tion in the Federal Register.
4. Federal Register Notice of Tentative Determination
A Federal Register notice should be prepared by the State Coordinator
and Regional Counsel based on the comments provided by the Headquarters and
Regional Offices. The notice must present the Agency's tentative decision
as to whether the State program should be authorized. The discussion in the
notice should focus on whether the Agency expects the State program to be
authorized. If the notice indicates that the State program may not be
approved, a general statement of areas of concern shall be included (see
§271.20(d)). The notice must also announce availability of the State's
application for public review and comment and the schedule for a public
hearing. Each notice should also say that issues raised by public comments
during the comment period may be the basis for EPA denying authorization to
a State program. By Day 70 the Regional Administrator should submit the
Action Memorandum and Federal Register notice to the Headquarters Review
Team Leader. Concurrences from OLEC and OSWER are due within ten days. The
Federal Register notice is then submitted for publication so that it will
appear within 90 days of the receipt of the complete application.
5. Public Information
Concurrent with the Federal Register notice publication, the State
Coordinator will arrange for a notice concerning the Agency's tentative
decision to be published in State newspapers and mailed to interested per-
sons (see §271.20(d)). In addition, the State Coordinator and the Head-
quarters Review Team Leader will set up depositories of the State's sub-
mittal for public review in the Regional Office and in Washington, D.C.
Copies should also be available in State depositories.
6. Hearing
The Federal public hearing will be chaired by the Regional Office.
Headquarters may wish to have a representative present or as a member of the
panel. The State Coordinator will be responsible for preparing responses to
the public comments and testimony. These responses should be reviewed by
the Regional Workgroup and should be transmitted to Headquarters Review Team
for their information.
1.4-12
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7. State Application Amendments
The State will have the opportunity to respond to EPA's concerns and to
comments raised by the public. States will be provided with transcripts or
EPA's official notes from any hearings along with copies of written comments
submitted. The State may amend its application where appropriate to rectify
any deficiencies identified. When possible, these modifications should be
submitted to EPA prior to the Federal public hearing. The State's amend-
ments may strengthen its position at the hearing if they respond to EPA's
concerns. Any modifications made necessary due to public comment following
the Federal Register notice should be submitted to EPA by Day 140 to allow
40 days for Agency review and final determination. Any additional State
submittals must be distributed by the State Coordinator to all Regional and
Headquarters reviewers for comments. It must be recognized that if EPA
determines that the amendments have materially changed the State's applica-
tion, the statutory review period will begin again (§271.5(c)), and another
round of State notice and comment period will be required. EPA also may
need to hold another public hearing or extend the comment period. In any
event, EPA will review all amendments to the initial application.
8. Federal Register Notice of Final Decision
The State Coordinator, with assistance from the Regional Counsel, must
prepare the Action Memorandum and Federal Register notice regarding the
final decision. These documents are similar to the ones prepared earlier,
though they must now address the final decision regarding authorization for
the State program. They contain the same information as the earlier ones.
They will also include EPA's responses to public comments and to any changes
made by the State. The Action Memorandum and Federal Register notice must
be received by Headquarters 20 days before the end of the second 90 day
review period (Day 160).
Each Regional Workgroup member and Headquarters Review Team member has
the responsibility of briefing his/her respective Division Director or
Office Director on the final recommendation in advance of the transmittal of
the Action Memorandum. This briefing is intended to avoid any unnecessary
delays in the concurrence process. Coordination of the concurrence proce-
dure remains the responsibility of the Review Team Leader in Headquarters
and the State Coordinator in the Region.
The Regional Administrator must obtain the agreement of the concurring
offices within the 90 day statutory review time frame.
Effect of Federal Program Changes
EPA regulations at §271.21(e) require that on approval, the State pro-
gram must be equivalent to the Federal program in effect on the date of
authorization. This requirement could potentially create a moving target
for States, if the Federal program were to undergo change while the States'
applications are awaiting final action. It is possible that a State which
is on the verge of receiving final authorization could be forced to change
its program and resubmit its application due to a change in the Federal
1.4-13
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program. Such a situation could also delay the State's receipt of final
authorization beyond the interim authorization period, resulting in rever-
sion of the program to EPA. In order to avoid this situation, the Agency is
planning to propose a regulatory amendment that would establish for a speci-
fied time period a fixed set of regulations as the basis for final authori-
zation decisions.
Recordkeeping
It is es.sential that the Regions develop an authorization file system
which will provide a comprehensive record of the Agency's decision-making in
the authorization process. The recordkeeping system should provide a sim-
ple, efficient system for:
Information useful in monitoring the approval process, e.g.,
tracking stage of completion and need for amendment;
Information which can be used for program planning, e.g.,
phasing of the review and approval process; and
Information which can be used to respond to subsequent
changes to the application.
The State Coordinator is responsible for maintaining an authorization file
for each State. The authorization file should contain the following ele-
ments:
I. A copy of the legislation and regulations and copies of any
comments from the pre-application review;
2. A copy of the draft and complete applications;
3. Copies of all comments from the Regional Workgroup as they
pertain to the draft and complete applications;
4. Copies of consolidated comments, correspondence and records
of telephone calls related to the application review from the
Headquarters Review Team;
5. Summaries of meetings and telephone calls with Headquarters,
the Regional Office and the State as they pertain to the
approval process;
6. A log which tracks the review of submittals and dates for
comments;
7. Copies of comments and statements from the Regional Admini-
strator and concurring offices;
8. Federal Register Notices;
1.4-14
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9. All public comments and responses; and
10. Action Memoranda.
The authorization file is not a public docket file. The Office of Re-
gional Counsel should be consulted when requests are received for any docu-
ments that are not already public documents (e.g., an Action Memorandum or
any other internal EPA memo).
1.4-15
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CHAPTER 2.1
GOVERNOR'S LETTER
Federal Requirement
§ 271.5 Elements of a program
submission.
(a) Any State that seeks to administer
a program under this part shall submit to
the Administrator at least three copies
of a program submission. The
submission shall contain the following:
(1) A letter from the Governor of the
State requesting program approval;
(2) A complete program description,
as required by § 271.6 describing how
the State intends to carry out its
responsibilities under this subpart;
(3) An Attorney General's statement
as required by § 271.7;
(4) A Memorandum of Agreement
with the Regional Administrator as
required by § 271.8;
(5) Copies of all applicable State
statutes and regulations, including those
governing State administrative
procedures; and
(6) The showing required by
| 271.20(c) of the State's public
participation activities prior to program
submission.
Introduction
RCRA Section 3006(b) requires that "any State which seeks to administer
and enforce a hazardous waste program pursuant to this subtitle may develop
and, after notice and opportunity for public hearing, submit to the Admini-
strator an application, in such form as he shall require, for authorization
of such program." The Governor's letter transmits the State's application
and is the formal request for program approval.
Content
The Governor's letter to EPA should contain a reference to the Federal
statute, a reference to the application, a request for approval of the State
program, and the Governor's signature.
(b) Within 30 days of receipt by EPA
of a State program submission, EPA will
notify the State whether its submission
is complete. If EPA finds that a State's
submission is complete, the statutory
review period (i.e., the period of time
allotted for formal EPA review of a ,
proposed State program under section
3006(b) of the Act) shall be deemed to
have begun on the date of receipt of the
State's submission. If EPA finds that a
State's submission is incomplete, the
review period shall not begin until all
necessary information is received by
EPA.
(c) If the State's submission is
materially changed during the review
period, the review period shall begin
again upon receipt of the revised
submission.
(d) The State and EPA may extend the
review period by agreement.
2.1-1
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CHAPTER 2.2
PROGRAM DESCRIPTION
Federal Requirement
§ 271.6 Program description.
Any State that seeks to administer a
program under this subpart shall submit
a description of the program it proposes
to administer in lieu of the Federal
program under State law or under an
interstate compact. The program
description shall include:
(a) A description in narrative form of
the scope, structure, coverage and
processes of the State program.
(b) A description (including
organization charts) of the organization
and structure of the State agency or
agencies which will have responsibility
for administering the program, including
the information listed below. If more
than one agency is responsible for
administration of a program, each
agency must have statewide jurisdiction
over a class of activities. The
responsibilities of each agency must be
delineated, their procedures for
coordination set forth, and an agency
must be designated as a "lead agency"
to facilitate communications between
EPA and the State agencies having
program responsibilities. When the
State proposes to administer a program
of greater scope of coverage than is
required by Federal law, the information
provided under this paragraph shall
indicate the resources dedicated to
administering the Federally required
portion of the program.
(1) A description of the State agency
staff who will cany out the State
program, including the number,
occupations, and general duties of the
employees. The State need not submit
complete job descriptions for every
employee carrying out the State
program.
(2) An itemization of the estimated
costs of establishing and administering
the program, including cost of the
personnel listed in paragraph (b)(l) of
this section, cost of administrative
support, and cost of technical support.
This estimate must cover the first two
years after program approval.
(3) An itemization of the sources and
amounts of funding, including an
estimate of Federal grant money,
available to the State Director to meet
the costs listed in paragraph (b}(2) of
this section, identifying any restrictions
or limitations upon this funding. This
estimate must cover the first two years
after program approval
(c) A description of applicable State
procedures, including permitting
procedures and any State administrative
or judicial review procedures.
(d) Copies of the permit form(s),
application form(s), reporting form(s),
and manifest format the State intends to
employ in its program. Forms used by
States need not be identical to the forms
used by EPA but should require the
same basic information. The State need
not provide copies of uniform national
forms it intends to use but should note
its intention to use such forms.
Note:States are encouraged to use
uniform national forms established by the
Administrator. If uniform national forms are
used, they may be modified to include the
State Agency's name, address, logo, and
other similar information, as appropriate, in
place of EPA's.
2.2-1
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(e) A complete description of the
State's compliance tracking and
enforcement program.
(f) A description of the State manifest
tracking system, and of the procedures
the State will use to coordinate
information with other approved State
programs and the Federal program
regarding interstate and international
shipments.
(g) An estimate of the number of the
following:
(1) Generators;
(2) Transporters; and
(3) On- and off-site storage, treatment
and disposal facilities, and a brief
description of the types of facilities and
an indication of the permit status of
these facilities.
(h) If available, an estimate of the
annual quantities of hazardous wastes
generated within the State; transported
into and out of the State; and stored,
treated, or disposed of within the State:
On-site; and Off-site.
Introduction
The Program Description is one of the critical elements of a State's
authorization application since it describes the program that the State
plans to operate in managing hazardous wastes. The Program Description
provides the State with opportunity to (1) discuss differences between the
State and Federal programs and (2) demonstrate how the State program meets
the tests for final authorization.
The information to be provided in the Program Description is specified
in 40 CFR 271.6 (shown above). It will probably be easiest for the State
and for reviewers, including EPA and the public, if the information is
presented in the sequence shown in the regulations. The length of the
Program Description will vary among States, depending on factors such as
complexity of the State program, number of State agencies involved, extent
of differences between the State and Federal programs, etc. Further guid-
ance is provided below on selected elements of the Program Description;
other elements are self-explanatory.
Scope, Structure, Coverage and Processes of State Program - §271.6(a)
In this section of the Program Description the State generally
describes its program for control of hazardous waste. The description
should show how the program satisfies the requirements for final authoriza-
tion, reflecting the six statutory tests, as explained in Chapter 1.3.
The Program Description should show, in narrative terms, how the State
program provides the coverage corresponding to 40 CFR Parts 261-265 and
Parts 270 and 124 as required by the regulations at §271.9-13. In develop-
ing this description the State should find especially valuable the check-
lists (Appendix A of this Manual) completed by the Attorney General as part
2.2-2
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of his Statement. To the extent that the Attorney General's Statement does
not explain differences which exist between the State and Federal programs,
the differences should be described in the Program Description. For
example, explanation may be needed to demonstrate that particular State
standards are consistent with the Federal program. If the Attorney General
did not complete the checklists, the State agency should complete the check-
lists and attach it to the Program Description. As in the case of Attorney
General's Statement, however, the State Agency need not complete the check-
lists when the State has incorporated the federal regulations by reference.
Lead State Agency - §271.6(b)
In situations where more than one agency within a State has responsi-
bility for administering the State program, the Program Description must
identify one State agency as the "lead agency" for purposes of handling
administrative matters between the State and EPA.
The identification of a lead agency is intended to simplify coordina-
tion and communication between the State and EPA, not to designate one
agency as having the legal responsibility for the hazardous waste program.
The MOA will reflect the legal responsibilities of the various State agen-
cies and their interaction with EPA. The Program Description will describe
the relationship of all State agencies involved in the implementation of the
hazardous waste program and discuss how the lead agency will coordinate the
activities of these agencies, particularly regarding their dealings with
EPA. The "lead agency" will be the agency that other State agencies and EPA
contact when an issue concerns one or more of the State agencies signing the
MOA or when it is unclear which State agency should be contacted concerning
a particular matter or issue.
State Procedures - §271.6(c)
This section should describe in detail the State's procedures for
permitting. This description should address the steps in submitting a
permit application, review of the application, and issuance or denial of the
permit. Modification and revocation of permits should also be discussed.
Public participation and any State administrative or judicial review proce-
dures, along with the activities of any special boards, should be high-
lighted. Unique procedures, such as "permit-by-rule" provisions, should be
described: If more than one State agency issues "RCRA" permits, any major
differences in permitting procedures should be delineated.
This section is also appropriate for discussion of the State's proce-
dures for revision of the State program. EPA regulations at §271.21(e)
require that the State be able to revise its program within specific time
periods after the Federal program is modified or supplemented. Though this
provision does not become operative until the State is authorized, the State
should nevertheless set forth in the Program Description the procedures and
typical time frames for amending its statutes and regulations. [Note that
EPA is pursuing a regulatory amendment to §271.21(e) which would extend the
amount of time available to authorized States in responding to changes in
the Federal program.]
2.2-3
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Compliance Tracking and Enforcement - §271.6(e)
The State's Program Description must demonstrate the way in which the
State compliance monitoring and enforcement program will operate in order to
ensure:
1. that all operations of hazardous waste management facilities
are conducted in accordance with State standards and permits
issued under State standards that meet the requirements for
final authorization; and
2. compliance by hazardous waste generators and transporters
with applicable State standards that meet the requirements
for final authorization.
The Federal regulations at §271.15(b)(2) require the State to maintain
a program for periodic inspections of the facilities and activities subject
to regulation. EPA recognizes that resource limitations may require that
inspections be conducted in priority order, with "major" hazardous waste
handlers being inspected at a greater frequency than the "non-major" ones.
The actual number of inspections and the priorities for inspections will be
negotiated annually between the State and EPA as part of the grant process
and in accordance with the Annual RCRA Guidance.
It should be noted that EPA has developed a definition of "major"
hazardous waste handlers to provide consistency in the designation of these
activities by EPA and authorized States. States should use this definition
and supporting criteria (discussed in PIG-82-2) in discussing its selection
of "major" handlers.
In order to meet compliance tracking and enforcement goals, the State
should demonstrate the adequacy of its program for:
1. Investigation of reported or suspected violations;
2. Follow-up inspections to ensure correction of detected viola-
tions;
3. Collection and analysis of samples during routine monitoring
and pursuant to investigations of violations (e.g., chain of
custody procedures);
4. Coordination with the Federal and/or State Departments of
Transportation to ensure enforcement of applicable trans-
porter requirements; and
5. Administrative/Judicial actions against violators.
Estimated Types and Number of Regulated Activities - §271.6(q)&(h)
The description of the estimated types and numbers of regulated activi-
ties is used for evaluating the adequacy of a State's program to regulate
2.2-4
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the activities of concern. Thus, the State should provide the best numeri-
cal estimates, based on existing data on hazardous waste activities in the
identified categories.
The sample formats in Table 2 and Table 3 may be used for display of
this information. Only those activities corresponding to activities regu-
lated under the Federal program need to be included. States are encouraged
to provide a brief narrative explanation of the estimates.
2.2-5
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TABLE 2
Estimated Types and Number of Regulated Activities
ACTIVITY TYPE
Generators
Transporters
Storage Facilities
on- site
off- site
Treatment Facilities
on- site
off- site
Disposal Facilities
on- site
off- site
PERMIT STATUS
STATE INTERIM STATUS
STATE PERMIT
RCRA PERMIT
n. a.
n.a.
n.a.
n. a.
-
n.a.
n.a.
TOTAL
2.2-6
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TABLE 3
Annual Quantities of Hazardous Wastes
ACTIVITY
Generated in the State
Transported
into the State
out of the State
Stored, Treated, Disposed in the State
on- site
off-site
ANNUAL QUANTITIES
!
i
2.2-7
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CHAPTER 2.3
ATTORNEY GENERAL'S STATEMENT
Federal Requirement
§ 271.7 Attorney General's statement
(a) Any State that seeks to administer
a program under this subpart shall
submit a statement from the State
Attorney General (or the attorney for
those State agencies which have
independent legal counsel) that the laws
of the State provide adequate authority
to carry out the program described
under § 271.8 and to meet the
requirements of this subpart This
statement shall include citations to the
specific statutes, administrative
regulations and, where appropriate,
judicial decisions which demonstrate
adequate authority. State statutes and
regulations cited by the State Attorney
General or independent legal counsel
shall be in the form of lawfully adopted
State statues and regulations at the time
the statement is signed and shall be
fully effective by the time the program is
approved. To qualify as "independent
legal counsel" the attorney signing the
statement required by this section must
have full authority to independently
represent the State agency in court on
all matters pertaining to the State
program.
Note:EPA will supply States with an
Attorney General's statement format on
request.
(b) When a State seeks authority over
activities on Indian lands, the statement
shall contain an appropriate analysis of
the State's authority.
Introduction
The following guidance is intended to assist the attorney preparing the
Attorney General's Statement for Final Authorization under Section 3006(b)
of The Solid Waste Disposal Act, as amended (RCRA, 42 U.S.C. §6901, et
seq.). The Attorney General's Statement is a required element of a State's
application for final authorization (see 40 CFR 271.7) which provides certi-
fication by the Attorney General (or the attorney for those State or inter-
state agencies which have independent legal counsel) that State law and
regulations (and interstate compacts or agreements if applicable) provide
adequate authority to meet the applicable requirements for final authoriza-
tion and to carry out the State program in lieu of the Federal program.
2.3-1
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In some States, the Attorney General is authorized to issue formal
legal opinions which carry significant legal weight. The Attorney General's
Statement need not be such a formal opinion of the Attorney General but must
reflect his/her official legal opinion.
The attorney preparing the Attorney General's Statement should consult
40 CFR 271 Subpart A which contains the regulatory requirements for final
authorization and discussions found in preambles at 45 Fed. Reg. 33377 -
33396. (Also see 46 FR 36704-36706.)
Purpose of the Attorney General's Statement
The Attorney General's Statement is a central part of a State's appli-
cation for final authorization of the State's hazardous waste program and is
relied on to identify what legal authorities exist in the State and whether
those legal authorities are adequate to enable the State Program to operate
in lieu of the Federal program. (See preamble discussion at 45 Fed. Reg.
33379). The application review process includes review by EPA attorneys at
the Regional Offices and at Headquarters. Because EPA attorneys may not be
familiar with the State's law, it is important that the Attorney General's
Statement be as clear and detailed as possible in identifying and analyzing
State legal authority. As part of the application, the Attorney General's
Statement will be reviewed by the public; it will also be valuable both to
the State and to EPA where the EPA decision on the final authorization of a
State program is challenged. Furthermore, should it become necessary for
EPA to take an enforcement action in the State after the State is autho-
rized, EPA would rely on the Attorney General's Statement for an understand-
ing of State law since the State law would be operating in lieu of Federal
law.
Who Should Sign the Attorney General's Statement
The Attorney General's Statement must be signed by the State Attorney
General or "the attorney for those State or interstate agencies that have
independent legal counsel" (40 CFR 271.7(a)). This provision allows the
following persons to sign the Attorney General's Statement: (1) the State
Attorney General or an attorney in his/her office who is authorized to sign
for the Attorney General; or, (2) a Deputy or Assistant Attorney General if
authorized to do so. Authorization should be in writing, case law, or sta-
tute.
Independent legal counsel. As provided in 40 CFR 271.7(a), to qualify
as independent legal counsel the attorney signing the Statement "must have
full authority to independently represent the State Agency in court on all
matters pertaining to the State program." Thus, independent legal counsel
must have authority to enforce all aspects of the State program in court,
including authority to enforce criminal violations of the State program, and
to issue opinions interpreting the State law relevant to the program. Those
opinions may not be subject to being superceded by the opinions of the
2.3-2
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Attorney General. Whenever independent legal counsel signs the Attorney
General's Statement, he/she must provide a statement explaining the scope of
his/her authority and legal basis therefore.
If more than one agency of State government administers or enforces the
State program, independent legal counsel for one participating agency may
not certify as to the legal authority for aspects of the program admini-
stered or enforced by other agencies. In that case, certification must be
made by the independent counsel for each agency or by the Attorney General.
The Model
1. General
The Model provided in this chapter suggests a format for the required
certification and for the identification and analysis of State laws, regula-
tions, and judicial decisions. The model is composed of the minimum legal
elements and checklists corresponding to these elements. The checklists
suggested for use with the Attorney General's Statement can be found in
Appendix A. The Model is only a guide. The format may be varied as re-
quired by the needs of individual States. However, each Attorney General's
Statement should contain at least the following:
A. Certification. The Attorney General's Statement must contain a
general statement certifying, in narrative form, that State law provides
adequate authority to carry out the program set forth in the Program
Description.
B. Citations of Laws and Requirements. The Model provided below
contains the legal elements which should be addressed by the Attorney
General for final authorization. For each element, the Attorney General
should cite the specific State enabling authority and the specific State
regulations covering that element.
C. Attorney General's Analysis of Authorities. For each element pro-
vided in the Model, the Attorney General should analyze, in narrative form,
whether, why, and how the cited authority provides the requisite authority
for the relevant program requirements, including analysis of legislative
history, State case law, or rules of construction where appropriate. (It
may also be necessary for the Attorney General to provide analysis of the
legal authority for certain promises made in the MOA as discussed on page
1.3-7). He/she should explain any problems or peculiarities in State author-
ity, and identify any State legal requirements which may be less stringent
or less inclusive than the Federal requirements. If, for example, the
State's statutory definition of hazardous waste excludes waste pesticides,
the Attorney General's analysis should include the precise scope of the
exclusion and other relevant information (e.g., coverage of waste pesticides
under other State statutory authority). Another example would be where the
State's inspection authority applies only to the "premises" of certain
parties; the Attorney General should explain the extent to which the State
is authorized to inspect the vehicles of transporters of hazardous waste.
Note that it will be the unusual instance where citation to authority with-
out further analysis will suffice.
2.3-3
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D. Date of Enactment of Laws and Adoption of Regulations. This infor-
mation is important in light of the requirement under 40 CFR 271.7 that all
regulations be adopted pursuant to State procedural requirements before the
Attorney General's Statement is signed.
2. The Checklists
The Model contains references to checklists that are intended to assist
the Attorney General in providing precise citation to specific EPA require-
ments and in eliminating the task of providing narrative explanation where
State regulations do not differ from EPA regulations. The checklists are
found in Appendix A. In addition, the checklists function to highlight
those aspects of State law which require explanation or comment. Such
explanation or comment is necessary wherever State law provides different
coverage and should be attached to the checklist with "comment attached at
" in the column for explanations or, if brief, included in that
column. The Attorney General may choose to include the checklists as part
of the Attorney General's Statement or to use them merely as a guide to all
relevant Federal requirements. Checklists which are completed and included
as part of the signed statement will be considered as part of the Attorney
General's certification.
The checklists identify only in capsule narrative and by citation, all
the relevant requirements for specific regulations. Therefore, it is imper-
ative that attorneys preparing the Attorney General's Statement refer to the
cited Federal regulations before providing the State citations. Note that
the checklists cite all elements of the Federal program. State law may
provide for some of these elements in a manner more stringent than the
Federal program. States may include information on these more stringent
elements to provide EPA and the public with a more complete description of
the State program.
It is important to note that in order for the State to demonstrate that
it qualifies for final authorization a detailed analysis of the State regu-
lations is needed. EPA considers the use of these checklists to be the
simplest method of achieving this demonstration. If the checklist is not
included as part of the Attorney General's Statement, the Attorney General
must use some other method of demonstrating that the State has specific
regulations comparable to the Federal ones.
Incorporation of Federal Regulations by Reference
Where a State has incorporated by reference any Federal regulation, the
Attorney General should demonstrate the authority to adopt State regulations
in this manner. The Attorney General should cite the State statutes and
regulations, listing the comparable CFR cite and date of incorporation. To
the extent that the State incorporates by reference entire Parts or Subparts
of the Federal regulations (e.g., 40 CFR Part 264 or Subpart A), there is no
need to complete the checklist identifying each provision of the incorpor-
ated Part or Subpart. Where only certain sections of a Part or Subpart are
incorporated, they should be identified on the checklist, but do not require
2.3-4
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further explanation. If the State's incorporation is intended to include
any EPA revisions that may occur in the future, then the Attorney General
should cite State authority both to promulgate and to enforce regulations in
this manner.* The State should note that the Attorney General's Statement
includes a certification that State statutes and regulations shall be fully
effective by the time the program is approved.
State Jurisdiction over Indian lands
Some States may wish to assert jurisdiction over Indian lands in their
RCRA final authorization application (see Element X of the Model). Pursuant
to Federal law, EPA cannot approve a State's assertion of jurisdiction over
Indian lands absent a clear and unambiguous expression of intent to confer
State jurisdiction through either a Federal statute or an applicable treaty
with an affected tribe. (Note that RCRA itself cannot be deemed such an
expression of intent). In the absence of such a Federal statute or treaty,
EPA has exclusive jurisdiction over Indian lands.
Establishing a Format to Meet Individual State Needs
There is no specific format which must be followed by each Attorney
General in preparing the Attorney General's Statement for the Final Authori-
zation application; this guidance is intended to provide only suggested
options. It is recommended that the attorney preparing the Attorney Gen-
eral's Statement talk with the EPA Regional Counsel responsible for the
State program early in the application process. It is essential that the
format chosen for the Attorney General's Statement be coordinated with the
formats chosen for other parts of the application developed by the staff of
the State program.
EPA Review of Attorney General's Statements
Section 271.7 requires that the Attorney General's Statement include
citations to statutes, regulations and judicial decisions which demonstrate
that the State has adequate authority to administer its program in lieu of
*State Attorneys General should note that a number of State Supreme Court
cases hold that State statutes which adopt prospective Federal legislation
or regulations constitute an unconstitutional delegation of legislative
authority. See, e.g.. State of North Dakota v. Julson, 202 N.W.2d 145
(1972); Dawson v. Hamilton, 314 S.W.2d 532 (1958); Cheney v. St. Louis
Southwestern Railway Co., 239 Ark. 870, 394 S.W.2d 731 (1965); State of
West Virginia v. Ginstead, 157 W. Va. 1001, 206 S.E.2d 912 (1974); Schryver
v. Schirmer, 84 S.D. 352, 171 N.W.2d 634 (1969); State v. Johnson, 84 S.D.
536, 173 N.W.2d 894 (1970).
2.3-5
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the Federal program. EPA has recommended that the Attorney General's State-
ment also include a narrative analysis of whether, why, and how the cited
authority provides sufficient legal authority for the State program. In
reviewing Attorney General's Statements for interim authorization, however,
EPA found that in some instances narrative analyses were not provided.
Where such analyses are missing in an Attorney General's Statement for final
authorization, and EPA's review of the cited authority indicates that the
law or regulation is ambiguous or does not appear to meet Federal require-
ments, EPA may ask the Attorney General to supplement his statement. He
would be asked to address specific legal issues raised by the Agency's
review of the State statutes and regulations cited by him. On occasion EPA
may also ask that the Attorney General clarify or expand a prior narrative
analysis.
The purpose of these requests is not to "second guess" the State
Attorney General on matters of State law, but to assure that he has not
overlooked major legal issues in arriving at his opinion. Most importantly,
EPA must have a sound legal record for authorizing the State program.
Without further comment from the Attorney General on certain issues, EPA
generally cannot determine whether there is a plausible argument in support
of the State's legal position that its laws and regulations meet the re-
quirements of Federal law for State authorization.
For example, if the State Attorney General provides a general opinion
that a State hazardous waste statute allows the State to regulate all haz-
ardous waste facilities, but the statute appears to exempt surface impound-
ments, EPA would bring this issue to his attention and ask him to address
it. In another example, if the hazardous waste statute or regulation ap-
pears to exclude waste pesticides, which EPA regulates, EPA would ask the
State Attorney General to reconcile the difference in coverage. Once he has
specifically addressed an issue requiring an interpretation of State law,
however, EPA would defer to his opinion where it is supported by a plausible
argument. In the last example, the Attorney General might explain that
waste pesticides are regulated under a State statute dealing exclusively
with pesticides.
EPA does not defer to a State Attorney General on matters of Federal
law, including the issue of whether a State program (as interpreted by the
State Attorney General) meets applicable Federal regulations. In the ex-
ample above, EPA attorneys would accept the conclusion that Stae law pro-
vides authority to regulate waste pesticides but would draw on their own
conclusions about whether the State authority is adequate to meet EPA re-
quirements for program approval.
2.3-6
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MODEL ATTORNEY GENERAL'S STATEMENT FOR FINAL AUTHORIZATION
I hereby certify, pursuant to my authority as and in
accordance with Section 3006(b) of the Solid Waste Disposal Act as amended
by the Resource Conservation and Recovery Act, as amended (42 USC 6901, et
seq.), and 40 CFR 271 that in my opinion the laws of the State
[Commonwealth] of provide adequate authority to carry out
the program set forth in the "Program Description" submitted by the [State
Agency]. The specific authorities provided, which are contained in statutes
or regulations lawfully adopted at the time this Statement is signed and
which shall be fully effective by the time the program is approved, include
those identified below.
I. IDENTIFICATION AND LISTING
A. State statutes and regulations define hazardous waste so as to
control all the hazardous waste controlled under 40 CFR 261 as indicated in
Checklist I A.
[Here the Attorney General should cite State statutes and regulations which
define relevant terms such as "hazardous waste," "waste," "solid waste,"
"discarded substances," "substances for re-use and recycling," etc. includ-
ing any exclusions from these definitions.]
[Federal Authority: RCRA §3001 (42 U.S.C. 6921); 40 CFR 261, 271.9.]
B. State statutes and regulations contain a list of hazardous waste
and characteristics for identifying hazardous waste which encompass all
wastes controlled under 40 CFR 261 as indicated in Checklist I B and C.
[Federal Authority: RCRA §3001(b) (42 U.S.C. 6921); 40 CFR 261, 271.9.]
II. STANDARDS FOR GENERATORS
State statutes and regulations provide coverage of all the generators
covered by 40 CFR 262 as indicated in Checklist II.
[Federal Authority: RCRA §3002 (42 U.S.C. 6922); 40 CFR 262, 271.10]
III. STANDARDS FOR TRANSPORTERS
State statutes and regulations provide coverage of all the transporters
covered by 40 CFR 263 as indicated in Checklist III.
[Federal Authority: RCRA §3003 (42 U.S.C. 6923); 40 CFR 263, 271.11]
2.3-7
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IV. STANDARDS FOR FACILITIES
A. State statutes and regulations provide permit standards for hazar-
dous waste management facilities covered by 40 CFR 264 as indicated in
Checklist IV A.
[Federal Authority: RCRA §3004 (42 U.S.C. 6924); 40 CFR 264, 271.12]
[Where a State provides for interim status for facilities, analysis of the
State's authority should be included here. Model language is presented in
Section B below.]
B. State statutes and regulations provide for interim status and
include interim status standards for hazardous waste management facilities
covered by 40 CFR 265 as indicated in Checklist IV B.
I. State statutes and regulations authorize owners and operators of
hazardous waste management facilities which would quality for interim status
under the federal program to remain in operation until a final decision is
made on the permit application;
2. State law and regulations authorize continued operation of hazard-
ous waste management facilities provided that owners and operators of such
facilities comply with standards at least as stringent as EPA's interim
status standards at 40 CFR 265; and
3. State law and regulations assure that any facility qualifying for
State interim status continues to qualify for Federal interim status.
[Federal Authority: RCRA §3005(e) (42 U.S.C. 6925); 40 CFR 265, 271.13(a)]
V. REQUIREMENTS FOR PERMITS
State statutes and regulations provide requirements for permits as
indicated in Checklist V.
[Where there are no State regulations covering one or more of the procedural
requirements designated in Checklist V, and the State has agreed in the MOA
to follow equivalent requirements, the Attorney General's Statement must
provide a discussion of the State's authority (1) to enter into such an
agreement and (2) to carry out the agreement. This discussion should in-
clude an explanation of why (under any State administrative procedure act)
the particular requirements the State has agreed to follow in the issuance
of all hazardous waste permits need not be in the form of rules.]
[Federal Authority: RCRA §3005 (42 U.S.C 6925); RCRA §7004 (42 U.S.C.
6974); 40 CFR 271.13 and .14]
2.3-8
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VI. INSPECTIONS
State law provides authority for officers engaged in compliance evalu-
ation activities to enter any conveyance, vehicle, facility or premises
subject to regulation or in which records relevant to program operation are
kept in order to inspect, monitor, or otherwise investigate compliance with
the State program including compliance with permit terms and conditions and
other program requirements. (States whose law requires a search warrant
prior to entry conform with this requirement).
[Federal Authority: RCRA §3007 (42 U.S.C. 6927), 40 CFR 271.15]
Citation of Laws and Regulations; Dates of Enactment and Adoption
Remarks of the Attorney General
VII. ENFORCEMENT REMEDIES
State statutes and regulations provide the following:
A. Authority to restrain immediately by order or by suit in State
court any person from engaging in any unauthorized activity which
is endangering or causing damage to public health or the environ-
ment.
[Federal Authority: RCRA §3006 (42 U.S.C. 6926); 40 CFR 271.16(a)(l)]
Citation of Laws and Regulations; Date of Enactment and Adoption
Remarks of the Attorney General
B. Authority to sue in courts of competent jurisdiction to enjoin any
threatened or continuing violation of any program requirement,
including permit conditions, without the necessity of a prior
revocation of the permit.
[Federal Authority: RCRA §3006 (42 U.S.C. 6926); 40 CFR 271.16(a)(2)]
Citation of Laws and Regulations; Date of Enactment and Adoption
Remarks of the Attorney General
C. Authority to assess or sue to recover in court civil penalties in
at least the amount of $10,000 per day for any program violation.
[Federal authority: RCRA §3006 (42 U.S.C. 6926); 40 CFR 271.16(a)(3)(i)]
2.3-9
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Citation of Laws and Regulations; Date of Enactment and Adoption
Remarks of the Attorney General
D. Authority to obtain criminal penalties in at least the amount of
$10,000 per day for each violation, and imprisonment for at least
six months against any person who knowingly transports any hazard-
ous waste to an unpermitted facility; who treats, stores, or
disposes of hazardous waste without a permit; or who makes any
false statement or representation in any application, label,
manifest, record, report, permit, or other document filed, main-
tained, or used for the purposes of program compliance.
[Federal Authority: RCRA §3006 (42 U.S.C. 6926); 40 CFR 271.16(a)(3)(ii).]
Citation of Laws and Regulations; Dates of Enactment and Adoption
Remarks of the Attorney General
VIII. PUBLIC PARTICIPATION IN THE STATE ENFORCEMENT PROCESS
State laws and regulations provide for public participation in the
State enforcement process by providing either:
A. Authority to allow intervention as of right in any civil or admin-
istrative action to obtain the remedies specified in Section VII
A, B and C above by any citizen having an interest which is or may
be adversely affected; or
B. Assurances that the State agency or enforcement authority will:
(1) Investigate and provide written response to all citizen
complaints duly submitted;
(2) Not oppose intervention by any citizen where permissive
intervention may be authoritized by statute, rule, or regula-
tion; and
(3) Publish and provide at least 30 days for public comment on
any proposed settlement of a State enforcement action.
[Federal Authority: RCRA §7004 (42 U.S.C. 6974); 40 CFR 271.16(d)]
Citation of Laws and Regulations; Date of Enactment and Adoption
Remarks of the Attorney General
2.3-10
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IX. AUTHORITY TO SHARE INFORMATION WITH EPA
State statutes and regulations provide authority for any information
obtained or used in the administration of the State program to be available
to EPA upon request without restriction.
[Federal Authority: RCRA §3007(b) (42 U.S.C. 6927); 40 CFR 271.17]
Citation of Laws and Regulations; Date of Enactment and Adoption
Remarks of the Attorney General
X. AUTHORITY OVER INDIAN LANDS
[Where a State seeks authority over Indian lands appropriate analysis of the
State's authority should be included here.]
[Federal Authority: 40 CFR 271.7(b)]
Citation of Laws and Regulations; Dates of Enactment and Adoption
Remarks of the Attorney General
Seal of Office
Signature
Name (Type or Print)
Title
Date
2.3-11
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CHAPTER 2.4
MEMORANDUM OF AGREEMENT
Federal Requirement
§271.8 Memorandum of Agreement with
the Regional Administrator.
(a) Any State that seeks to administer
a program under this subpart shall
submit a Memorandum of Agreement
(MOA). The Memorandum of Agreement
shall be executed by the State Director
and the Regional Administrator and
shall become effective when approved
by the Administrator. In addition to
meeting the requirements of paragraph
(b) of this section, the.Memorandum of
Agreement may include other terms.
conditions, or agreements consistent
with this subpart and relevant to the
administration and enforcement of the
State's regulatory program. The
Administrator shall not approve any
Memorandum of Agreement which
contains provisions which restrict EPA's
statutory oversight responsibility.
(b) All Memoranda of Agreement
shall include the following:
(1) Provisions for the Regional
Administrator to promptly forward to
the State Director information obtained
prior to program approval in
notifications provided under section
3010(a) of RCRA. The Regional
Administrator and the State Director
shall agree on procedures for the
assignment of EPA identification
numbers for new generators,
transporters, treatment, storage, and
disposal facilities.
(5) No limitations on EPA compliance
inspections of generators, transporters,'
or non-major HWM facilities under
paragraph (bj{4) of this section shall
restrict EPA's right to inspect any
generator, transporter, or HWM facility
which it has cause to believe is not in
compliance with RCRA; however, before
conducting such an inspection, EPA will
normally allow the State a reasonable
opportunity to conduct a compliance
evaluation inspection.
(6) Provisions for the prompt transfer
from EPA to the State of pending permit
applications and any other information '
relevant to program operation not
already in the possession of the State
Director (e,g., support files for permit
issuance, compliance reports, etc.).
When existing permits are transferred
from EPA to the State for
administration, the Memorandum of
Agreement shall contain provisions
specifying a procedure for transferring
the administration of these permits. If a
State lacks the authority to directly
administer permits issued by the Federal
government, a procedure may be
established to transfer responsibility for
these permits.
2.4-1
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(2) Provisions specifying the frequency
and content of reports, documents and
other information which the State is
required to submit to EPA. The State
shall allow EPA to routinely review
State records, reports, and files relevant
to the administration and enforcement
of the approved program. State reports
may be combined with grant reports
where appropriate,
(3) Provisions on the State's
compliance monitoring and enforcement
program, including:
(i) Provisions for coordination of
compliance monitoring activities by the
State and by EPA. These may specify
the basis on which the Regional
Administrator will select facilities or
activities within the State for EPA
inspection. The Regional Administrator
will normally notify the State at least 7
days before any such inspection; and
(ii) Procedures to assure coordination
of enforcement activities.
(4) Provisions allowing EPA to
conduct compliance inspections of all
generators, transporters, and HWM
facilities in each year for which the
State is operating under final
authorization. The Regional
Administrator and the State Director
may agree to limitations on compliance
inspections of generators, transporters,
and non-major HWM facilities.
Note.For example, EPA and the State
and the permittee could agree that the State
would issue a permit(s) identical to the
outstanding Federal permit which would
simultaneously be terminated.
(7) Provisions specifying classes and
categories of permit applications, draft
permits, and proposed permits that the
State will send to the Regional
Administrator for review, comment and,
where applicable, objection.
(8) When appropriate, provisions for
joint processing of permits by the State
and EPA, for facilities or activities
which require permits from both EPA
and the State under-different programs.
See § 124.4
Note.To promote efficiency and to avoid
duplication and inconsistency, States are
encouraged to enter into joint processing
agreements with EPA for permit issuance.
(9) Provisions for the State Director to
promptly forward to EPA copies of draft
permits and permit applications for all
major HWM facilities for review and
comment The Regional Administrator
and the State Director may agree to
limitations regarding review of and
comment on draft permits and/or permit
applications for non-major HWM
facilities. The State Director shall supply
EPA copies of final permits for all major
HWM facilities.
(10] Provisions for the State Director
to review all permits issued under State
law prior to the date of program
approval and modify or revoke and
reissue them to require compliance with
the requirements of this subpart. The
Regional Administrator and the State
Director shall establish a time within
which this review must take place.
(11) Provisions for modification of the
Memorandum of Agreement in
accordance with this subpart.
(c) The Memorandum of Agreement,
the annual program grant and the State/
EPA Agreement should be consistent. If
the State/EPA Agreement indicates that
a change is needed in the Memorandum
of Agreement the Memorandum of
Agreement may be amended through the
procedures set forth in this subpart The
State/EPA Agreement may not override
the Memorandum of Agreement.
Note.Detailed program priorities and
specific arrangements for EPA support of the
State program will change and are therefore
more appropriately negotiated m the context
of annual agreements rather than in the
MOA. However, it may still be appropriate to
specify in the MOA the basis for such
detailed agreements. e.g^ a provision in the
MOA specifying that EPA will select facilities
in the State for inspection annually as part of
the State/EPA agreement
2.4-2
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Introduction
The Memorandum of Agreement (MOA) is the vehicle for specifying areas
of coordination and cooperation in the respective roles and responsibilities
of EPA and the authorized State. As such, the MOA should be a dynamic
instrument, reviewed and revised annually to accommodate changes in the
maturing State-EPA relationship.
The MOA provides for the transfer of permit issuance responsibility
from EPA, establishes a framework for EPA overview of the administration and
enforcement of the approved program, and provides for the exchange of infor-
mation between EPA and the State. The MOA may also contain other other
State-EPA agreements that are relevant to the implementation of the hazard-
ous waste program, such as State agreement to employ certain procedures
analogous to those of 40 CFR 270 and 124 as described on page 1.3-7 of this
Manual. The effective date of the MOA will be the date that the notice of
the State's authorization is published in the Federal Register.
Model
The following Model has been written as a guide to meeting the require-
ments of 40 CFR 271.8. It is based on the premise that the MOA is to com-
plement other elements of the State program submission by focusing on the
area of State-EPA coordination. Several areas where the Region and the
State may need or want to expand the basic framework have been noted in
brackets. Each Region undoubtedly will have additional terms it will want
to include in some or all of its MOA's. For illustrative purposes the
contents of the Model are outlined below.
I. General
II. Policy Statement
III. State Program Review
A. General
B. Identification of Major Hazardous Waste Handlers
IV. Information Sharing
A. General
B. EPA
C. State
D. Site Visits
E. Emergency Situations
F. Confidentiality
V. Permit Issuance
A. EPA Permitting
B. EPA Overview of State Permits
C. State Permitting
VI. Permit Administration
A. EPA
B. State
VII. Compliance Monitoring and Enforcement
A. EPA
B. State
2.4-3
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Signatories
Generally, the MOA is signed by the State Director and the Regional
Administrator. While the regulations at §271.8(a) require the approval of
the Administrator of EPA before the MOA can become effective, EPA Delegation
8-7, "State Hazardous Waste Programs and State Program Submittals," allows
the Regional Administrator to sign the MOA on behalf of the Administrator.
EPA regulations at §270.2 define State Director as:
...the chief administrative officer of any State or inter-
state agency operating an approved program, or the delegated
representative of the State Director. If responsibility is
divided among two or more State or interstate agencies, State
Director means the chief administrative officer of the State
or interstate agency authorized to perform the particular
procedure or function to which reference is made.
Where the directors of two or more State agencies share substantive respon-
sibilities for the functions described in the MOA (e.g., one agency has
responsibility for the issuance of permits to hazardous waste incinerators
and another for disposal facilities), the directors of each of those
agencies must sign the MOA with EPA. The MOA must clearly indicate the
specific responsibilities assumed by each of the State Directors and must
describe how they will share and coordinate implementation of those provi-
sions of the MOA which concern more than one State agency. This may be done
in a separate section of the MOA or by designating specific State agency
responsibilities throughout the text of the MOA.
Note that where the divergence of responsibility involves solely en-
forcement authority, an agreement among the State agencies would be allowed
as an alternative to having each enforcement arm sign the MOA. Agreements
with enforcement agencies of local units of government are not required.
2.4-4
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MEMORANDUM OF AGREEMENT
BETWEEN
THE STATE OF
AND
THE UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
REGION
I. GENERAL
This Memorandum of Agreement (hereinafter "Agreement") establishes policies,
responsibilities, and procedures pursuant to 40 CFR 271.8 for the State of
Hazardous Waste Program (hereafter "State Program") author-
ized under Section 3006 of the Resource Conservation and Recovery Act (here-
inafter "RCRA" or "the Act") of 1976 (Public Law 94-580, 42 USC §6901 et
seq.) and the United States Environmental Protection Agency (hereafter EPA)
Regional Office for Region . This agreement further sets forth the
manner in which the State and EPA will coordinate in the State's administra-
tion of the State program.
This Agreement is entered into by the Director [or other title as appropri-
ate] of [State Agency] (hereinafter "Director" or "the State") and
the Regional Administrator, EPA Region (hereinafter "Regional
Administrator" or "EPA"). [Where State program responsibility is shared
among two or more agencies, each of the agencies is to be identified here as
a party to the Agreement, the director of each is to sign the Agreement, and
the Agreement must identify which of the agencies is responsible for each
provision of the Agreement.]
For administrative purposes, the [State Agency] will serve as lead
agency to simplify coordination and communication between the State and EPA.
[This provision need not be included in the MOA where there is only one
responsible State Agency.]
Nothing in this agreement shall be construed to restrict in any way EPA's
authority to fulfill its oversight and enforcement responsibilities under
RCRA. Nothing in this agreement shall be construed to contravene any provi-
sion of 40 CFR Part 271.
The parties will review the Agreement jointly at least once a year (and
other times as appropriate) during preparation of the annual State Grant
Work Program (hereinafter "State Work Program"), in connection with grant
funding under section 3011 of RCRA.
This Agreement may be modified upon the initiative of either party in order
to ensure consistency with State program modifications made or for any other
purpose mutually agreed upon. Any revisions or modifications must be in
writing and must be signed by the State and the Regional Administrator.
2.4-5
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This Agreement will remain in effect until such time as State program
authorization is withdrawn by or is voluntarily transferred to EPA according
to the criteria and procedures established in 40 CFR 271.22 and 40 CFR
271.23.
This Agreement shall be executed by the State and the Regional Administrator
and shall become effective at the time the State's authorization takes
effect, which shall be the date of publication in the Federal Register of
EPA's decision to grant authorization to the State.
II. POLICY STATEMENT
Each of the parties to this Agreement is responsible for ensuring that its
obligations under RCRA are met. Upon granting final authorization by EPA,
the State assumes primary responsibility for implementing the RCRA hazardous
waste program within its boundaries. EPA retains its responsibility to
ensure full and faithful excecution of the requirements of RCRA, including
direct implementation in the event the State is unable to act. The State
and the Regional Administrator agree to maintain a high level of cooperation
and coordination between their respective staffs in a partnership to assure
successful and effective administration of the State program.
EPA assumes an oversight role upon granting final authorization to the
State. EPA will oversee State program implementation in order to ensure
full execution of the requirements of RCRA, to promote national consistency
in implementation of the hazardous waste program, to allow EPA to report to
the President and Congress on the achievements of the hazardous waste pro-
gram, and to encourage States and the EPA to agree on desirable technical
support and targets for joint efforts to prevent and mitigate environmental
problems associated with the improper management of hazardous wastes.
Oversight will be accomplished by EPA through written reporting require-
ments, permit overview, compliance and enforcement overview, and annual
review of States' programs.
III. STATE PROGRAM REVIEW
A. General
The Regional Administrator will assess the State administration and
enforcement of the hazardous waste program on a continuing basis for
equivalence and consistency with RCRA, with this Agreement, and with
all applicable Federal requirements and policies and for adequacy of
enforcement. This assessment will be accomplished by EPA review of
information submitted by the State in accordance with this Agreement
and the State Work Program, permit overview, compliance and enforcement
overview, and annual review of State program activities. The Regional
Administrator may also consider, as part of this regular assessment,
written comments about the State's program administration and enforce-
ment that are received from regulated persons, the public, and Federal,
State and local agencies. Copies of any such comments received by the
Regional Administrator will be provided to the State.
2.4-6
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To ensure effective program review, the State agrees to allow EPA
access to all files and other information requested by the Regional
Administrator and deemed necessary for reviewing State program admini-
stration and enforcement.
Review of [State Agency] files may be scheduled at quarterly intervals.
Program review meetings between the State and the Regional Administra-
tor or their assignees will be scheduled at reasonable intervals not
less than annually to review specific operating procedures and sche-
dules, to resolve problems and to discuss mutual program concerns.
These meetings will be scheduled at least fifteen days in advance
unless agreed to differently. A tentative agenda for the meeting will
be prepared by EPA.
Identification of Major Hazardous Waste Handlers
The State agrees to develop with EPA a list of hazardous waste facili-
ties, generators and transporters in the State designated as "major"
hazardous waste handlers. This designation is intended to identify,
for administrative purposes, environmentally significant hazardous
waste handlers, and to be used in concentrating inspection, permitting
and reporting resources on those handlers. The list shall be submitted
as a part of this agreement. It shall be reviewed and updated annually
and more often as necessary. Changes to the list do not require a
formal amendment to this Agreement so long as both the State and EPA
agree in writing to any changes.
From the list of "major" handlers the State agrees to develop and
annually review with the Regional Administrator a list of facilities
whose permit applications and draft permits will be reviewed by EPA.
This smaller list constitutes major facilities for purposes of EPA
permit overview.
IV. INFORMATION SHARING
A. General
As the national hazardous waste program matures, the respective roles
and responsibilities in this State/Federal parternship will become more
clear. As the respective information needs of the State and EPA
evolve, changes to this section of the Agreement may be appropriate.
During the annual review of this agreement the State and the Regional
Administrator will carefully examine the following information sharing
provisions for needed revision.
B. EPA
1. EPA will keep the State informed of the content and meaning of
Federal statutes, regulations, guidelines, standards, policy
decisions, directives, and any other factors that affect the State
Program. EPA will also provide general technical guidance to the
State. EPA will share with the State any national reports devel-
oped by EPA from the data submitted through State reporting
requirements.
2.4-7
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2. EPA agrees to provide the State notification information from EPA
Form 8700-12 obtained prior to the effective date of this agree-
ment. A copy of the original notification forms and/or a computer
print-out containing all the notification information will be
provided. Such information will be provided to the Director
within thirty days of the effective date of this Agreement. EPA
will also forward, on a monthly basis, notification information
(including newly assigned EPA identification numbers) submitted by
persons in the State who file such forms after the effective date
of this Agreement. This information will be submitted to the
Director within ten days of the end of each month for the preced-
ing month.
3. EPA agrees to assign EPA identification numbers to generators and
transporters and to owners and operators of hazardous waste treat-
ment, storage, and disposal facilities submitting notifications to
the State after the effective date of this Agreement. EPA will do
this after receiving a copy of the notification information from
the State as provided in Section IV.C.7 of this Agreement.
4. EPA agrees to transfer to the State any pending Part A and Part B
hazardous waste management facility permit applications originally
submitted to EPA pursuant to 40 CFR 270.10 by facilities located
in the State and which have not already been transferred to the
State, together with all pertinent file information. Pertinent
file information includes applications (including accompanying
narratives, plans, maps, etc.), draft permits, public notices,
administrative notices, fact sheets and correspondence. Such
materials will be provided within thirty days after the effective
date of this agreement and according to any arrangements the State
and the Regional Administrator may make regarding the priority of
transfer.
[The Region may want to work out an agreement with the State to
transfer some of this information at a later date. For example,
the transfer of some EPA permit information may be given a lower
priority if the State has previously issued a joint permit with
EPA or the State has issued substantially equivalent permits under
interim authorization for certain facilities.]
5. EPA will also provide to the State, within five days of receipt,
Part A and Part B permit applications submitted directly to EPA by
persons in the State after the effective date of this Agreement.
6. EPA agrees to make available to the State copies of any reports
and data resulting from compliance inspections within sixty days
of completion of the inspections.
7. EPA will make available to the State other relevant information as
requested which the State needs to implement its approved program.
2.4-8
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C. State
1. The State agrees to inform the Regional Administrator of any
proposed or adopted program changes which would affect the State's
ability to implement the authorized program. Program changes of
concern include modification of the State's legal authorities
(i.e. statutes, regulations and judicial or legislative actions
affecting those authorities), modifications of memoranda of agree-
ment or understanding with other agencies, and modifications of
resource levels (i.e., available or budgeted personnel and funds).
The State recognizes that program revisions must be made in ac-
cordance with the provisions of 40 CFR 271.21.
2. The State will provide compliance monitoring and enforcement
information to the Regional Administrator on a routine basis as
specified in the State Work Program. During fiscal year 1984 the
Regional Administrator will be especially concerned with informa-
tion on facility ground-water monitoring, financial responsibil-
ity, and closure and post-closure care.
3. As specified in the State Work Program, the State will routinely
provide the Regional Administrator with information indicating the
status of the State's facility permitting activities. During
fiscal year 1984 the Regional Administrator will be especially
concerned with facility-specific information on the following
milestones:
Date permit application requested
Date complete permit application received
Date of Public Notice
Date of permit application withdrawal (and reason)
Date of permit issuance/denial
4. The State agrees to submit the following reports to the Regional
Administrator within the specified time periods:
o Biennial report summarizing the quantities and types of
hazardous waste generated, transported, treated, stored, and
disposed in the State as specified in the RCRA Guidance, by
October 1 o'f each even-numbered year.
o Additional reports as negotiated in the State Work Program.
5. Where the State program involves the granting of variances or
waivers, the State agrees to provide EPA with a copy of each State
variance or waiver at the time it is granted. [The Regional
Administrator and State may negotiate a process for EPA review of
proposed variances or waivers. Terms of this agreement should be
specified in the MOA.]
6. For those major hazardous waste handlers identified as major
facilities for EPA permit overview (see Section III), the State
agrees to provide EPA with the following information within the
time frames described:
2.4-9
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o Copies of facility permit Within fifteen working
applications, revisions days of receipt
and additions
o Copies of draft permits, Within five working
proposed permit modifi- days of completion
cations, public notices
o Copies of final permit Within five working
or permit modifications days of completion
7. So that EPA can issue EPA identification numbers and maintain a
national inventory of all hazardous waste handlers, the State
agrees to provide EPA with the following notification information
submitted to the State after the effective date of this Agreement
by new hazardous waste generators, transporters and treatment,
storage and disposal facilities in the State:
name and location of the handler
mailing address of the handler
name and telephone number of a contact person
type of hazardous waste activity
process codes (if the handler is a TSDF)
The State will also submit any updates or changes in previously
submitted notification information. This information will be
provided to the Regional Administrator within ten days of receipt
of the information.
8. The
State agrees to provide EPA with copies of reports on data
resulting from any compliance inspection and subsequent enforce-
ment actions, if EPA requests such copies.
D. Site Visits
EPA is responsible for maintaining reliable national data on hazardous
waste management. This data is used to report to the President and
Congress on the achievements of the hazardous waste program and to
support EPA's regulatory development efforts. Whenever EPA determines
that it needs to obtain certain information, EPA will first seek to
gain this information from the State. The State agrees to supply the
Regional Administrator with this information if readily available and
as resources allow. If the State is unable to provide the information
or if it is necessary to supplement the State information, EPA may
conduct a special survey or perform information collection site visits
after notifying the State. EPA will share with the State any national
reports developed by EPA as a result of such information collection.
E. Emergency Situations
Upon receipt of any information that the handling, storage, treatment,
transportation, or disposal of hazardous waste is endangering human
health or the environment, the party in receipt of such information
shall immediately notify by telephone the other party(ies) to this
2.4-10
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Agreement of the existence of such situation. [Include details here
for information sharing, names and titles of individuals, telephone
numbers, etc.]
F. Confidentiality
1. Any information obtained or used in the administration of the
State program shall be available to EPA upon request without
restriction. If the information has been submitted to the State
under a claim of confidentiality, the State must submit that claim
to EPA when providing information. Any information obtained from
a State and subject to a claim of confidentiality will be treated
in accordance with the regulations in 40 CFR Part 2.
2. EPA agrees to furnish to the State information in its files which
is not submitted under a claim of confidentiality and which the
State needs to implement its program. Subject to the conditions
in 40 CFR Part 2, EPA will furnish the State information submitted
to EPA under a claim of confidentiality which the State needs to
implement its program. All information EPA agrees to transfer to
the State will be transferred in accordance with the requirements
of 40 CFR Part 2.
V. PERMIT ISSUANCE
A. EPA Permitting
Upon final authorization of the State program EPA will suspend issuance
of Federal permits for hazardous waste treatment, storage, and disposal
facilities in the State. [Each Region should try to make special
arrangements with the State for the State to assume responsibility for
issuing particular permits EPA has been working on; the State will need
specific authority to assume responsibility in the midst of the pro-
cess, unless the proceedings have been joint, with both Federal and
State administrative procedures followed up to the time the State
assumes full responsibility.]
EPA intends to add permitting standards for processes not currently
covered by the Part 264 standards. For example, the Part 264 standards
do not currently cover treatment and storage of hazardous waste in
certain types of underground tanks. When EPA does promulgate standards
for additional processes, EPA will process and enforce RCRA permits in
the State in the new areas until the State receives final authorization
of equivalent and consistent State standards. At the time the State
program is approved in the new areas, EPA will suspend issuance of
Federal permits in the State. EPA will also transfer any pending
permit applications, completed permits or pertinent file information to
the State within thirty days of the approval of the State program in
conformance with the conditions of this agreement.
2.4-11
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B. EPA Overview of State Permits
While EPA may comment on any permit application or draft permit, EPA's
overview function will focus primarily on those facilities identified
by the State and EPA as major facilities for permit overview.
EPA may comment in writing on any draft permit or proposed permit
modification, whether or not EPA commented on the permit application,
within forty-five days of its receipt. [EPA should be allowed at least
as long to comment as the public at large; this time period should
probably be tied to each State's public participation process.] Where
EPA indicates in a comment that issuance of the permit would be incon-
sistent with the approved State program, EPA shall include in the
comment:
(a) a statement of the reasons for the comment (including the section
of the State regulations that support the comment); and
(b) the actions that should be taken by the State in order to address
the comments (including the conditions which the permit would
include if it were issued by EPA.)
EPA shall send a copy of its written comments to the permit applicant.
EPA shall withdraw such comments when satisfied that the State has met
or refuted its concerns and shall also provide the permit applicant
with a copy of such withdrawal.
[Insert here any agreement the Region makes with the State regarding
resolution of EPA comments on draft permits before final permit issu-
ance by the State, e.g., the State and the RA agree to meet or confer
whenever necessary to resolve a disagreement between their staffs on
the terms of any RCRA permit to be issued by the State. The Region may
want to add a specific time limit within which the State and RA will
meet.]
Under Section 3008(a)(3) of RCRA, EPA may terminate a State issued
permit in accordance with the procedures of Part 124, Subpart E, or
bring an enforcement action in accordance with the procedures of 40 CFR
Part 22 in the case of a violation of a State program requirement. In
exercising these authorities, EPA will observe the conditions estab-
lished in 40 CFR 271.19(e).
C. State Permitting
The State is responsible for expeditiously drafting, circulating for
public review and comment, issuing, modifying, reissuing and terminat-
ing RCRA permits for all hazardous waste treatment, storage and dispos-
al facilities in the State, and shall do so in a manner consistent with
RCRA, with this Agreement, with all applicable Federal requirements,
and with the State's Program Description.
2.4-12
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[Insert here any agreement the State makes regarding (1) its assumption
of permit issuance in ongoing EPA permit proceedings and (2) its en-
forcement, adoption or reissuance of EPA-issued RCRA permits. Note
that the State must have specific authority to either assume admini-
stration and enforcement of EPA-issued permits or to adopt them as
State permits; otherwise the State must reissue the permits as State
RCRA permits.]
The State agrees to issue, modify and reissue all permits in accordance
with [insert citation to relevant State procedural environmental
statutes and regulations and administrative procedures act and regula-
tions] and to include as permit conditions all applicable provisions of
[insert citation to relevant State environmental regulations]. This
agreement also applies to permits issued after final authorization but
for which the processing may have begun before final authorization.
[Insert here any agreement the State makes that is necessary to carry
out the permitting procedures analogous to those at 40 CFR Parts 270
and 124. See pages 1.3-7 for discussion.]
[Insert here any agreement the State makes regarding its use of any
variance or waiver authority. See page 1.3-8 for discussion.]
The State agrees that any compliance schedules contained in permits it
issues will require compliance with applicable standards as soon as
possible. [Insert here any agreement the State makes regarding interim
dates, reporting for such permittees, etc.]
The State agrees to consider all comments EPA makes on permit applica-
tions and draft permits. The State will satisfy or refute EPA's con-
cerns on a particular permit application, proposed permit modification,
or draft permit in writing before issuing the permit or making the
modification.
VI. PERMIT ADMINISTRATION
A. EPA
[If the State has authority to directly administer permits issued by
the Federal government, this section is inapplicable and the Region
should insert provisions for transferring responsibility for all
Federal permits to the State.]
EPA will administer the RCRA permits it has issued to facilities in the
State until they expire or are terminated. EPA will be responsible for
enforcing the terms and conditions of the Federal permits while they
remain in force. When the State either incorporates the terms and
conditions of the Federal permits in State RCRA permits or issues State
RCRA permits to those facilities, EPA will primarily rely on the State
to enforce those terms and conditions.
2.4-13
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B. State
The State agrees to review all hazardous waste permits which were
issued under State Law prior to the effective date of this agreement
and to modify or revoke and reissue such permits as necessary to re-
quire compliance with [insert citation to relevant State environmental
statutes and regulations and administrative procedures act and regula-
tions equivalent to the 40 CFR 265 requirements] and [insert citation
to relevant State environmental regulations]. The State agrees to
modify or revoke and reissue these State permits as RCRA permits in
accordance with the following schedule. [EPA intends that the schedule
in the MOA provide a reasonable time period for the review and upgrad-
ing of existing State permits, based on such factors as the number of
State permits and the additional permit terms and conditions needed to
satisfy the requirements of Part 271.]
VII. COMPLIANCE MONITORING AND ENFORCEMENT
A. EPA
Nothing in this agreement shall restrict EPA's right to inspect any
hazardous waste generator, transporter or facility or bring enforcement
action against any person believed to be in violation of the State
hazardous waste program. Before conducting an inspection of a gener-
ator, transporter or facility, the Regional Administrator will normally
give the State at least seven days notice of the intent to inspect in
accordance with 40 CFR 271.8(b)(3)(i). [The Regional Administrator and
State may agree on a longer period of time in order to allow the State
opportunity to conduct the inspection.] If the State performs a com-
pliance inspection and submits a report and data relevant thereto
within that time to EPA, no EPA inspection will be made, unless the
Regional Administrator deems the State report and data to be inade-
quate. In case of an imminent hazard to human health and the environ-
ment, the Regional Administrator may shorten or waive the notice
period.
The frequency of EPA oversight and training inspections will be speci-
fied in the annual State Work Program. Normally, EPA will accompany
the State on no more than 5% of the State's compliance inspections.
The Regional Administrator may take enforcement action against any
person determined to be in violation of RCRA in accordance with Section
3008(a)(2). EPA will take enforcement action only upon determining
that the State has not taken timely and appropriate enforcement action.
Prior to issuing a compliance order under Section 3008 EPA will give
notice to the State. EPA also retains its rights to issue orders and
bring actions under Sections 3013 and 7003 of RCRA and any other appli-
cable Federal statute.
After notice to the State, EPA may take action under Section 3008 of
RCRA against a holder of a State issued permit on the ground that the
permittee is not complying with a condition of that permit. In addi-
tion, EPA may take action under Section 3008 of RCRA against a holder
2.4-14
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of a State issued permit on the ground that the permittee is not com-
plying with a condition that the Regional Administrator in commenting
on that permit application or draft permit stated was necessary to
implement approved State program requirements, whether or not that
condition was included in the final permit.
B. State
The State agrees to carry out a timely and effective program for moni-
toring the compliance by generators, transporters, and facilities with
applicable program requirements (see 40 CFR 271.15). As part of this
program, the State will conduct compliance inspections to assess com-
pliance with generator and transporter standards (including manifest
requirements), facility standards, permit requirements, compliance
schedules, and all other program requirements. Compliance monitoring
activities and priorities will be specified in the annual State Work
Program and shall be consistent with all applicable Federal require-
ments and with the State's Program Description.
[Insert any agreement the Region makes with the State regarding inspec-
tions at EPA-permitted facilities. Individuals in the State program
may be designated as EPA representatives under Section 3007 of RCRA so
that they can inspect the facilities for violations of the terms and
conditions of the Federal permits.]
The State agrees to take timely and appropriate enforcement action
against all persons in violation of generator and transporter standards
(including manifest requirements), facility standards, permit require-
ments, compliance schedules, and all other program requirements, in-
cluding violations detected by State or Federal compliance inspections.
The State will maintain procedures for receiving and ensuring proper
consideration of information about violations submitted by the public.
Appropriate State enforcement response may include not more than two
warning letters for any violation, followed by timely initiation and
prosecution of enforcement proceedings which may be, as determined on a
case-by-case basis, administrative or judicial in nature. Any civil
penalty assessed, sought, or agreed upon by the State shall be appro-
priate to the violation, as defined in 40 CFR 271.16(c).
The State agrees to retain all records for at least three years unless
there is an enforcement action pending. In that case all records will
be retained until such action is resolved.
STATE OF U.S. ENVIRONMENTAL PROTECTION AGENCY
AGENCY REGION
BY: BY:
DATE: DATE:
2.4-15
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CHAPTER 2.5
SHOWING OF PUBLIC PARTICIPATION
Federal Requirement
§ 271.20 Approval process.
(a) Prior to submitting an application
to EPA for approval of a State program,
the State shall issue public notice of its
intent to seek program approval from
EPA. This public notice shall:
(1) Be circulated in a manner
calculated to attract the attention of
interested persons including:
(i) Publication hi enough of the largest
newspapers hi the State to attract
statewide attention; and
(ii) Mailing to persons on the State
agency mailing list and to any other
persons whom the agency has reason to
believe are interested;
(2) Indicate when and where the
State's proposed submission may be
reviewed by the public;
(3) Indicate the cost of obtaining a
copy of the submission;
(4) Provide for a comment period of
not less than 30 days during which time
interested members of the public may
express their views on the proposed
program;
(5) Provide that a public hearing will
be held by the State or EPA if sufficient
public interest is shown or,
alternatively, schedule such a public
hearing. Any public hearing to be held
by the State on its application for
authorization shall be scheduled no
earlier than 30 days after the notice of
hearing is published;
(6) Briefly outline the fundamental
aspects of the State program; and
[7] Identify a person mat an interested
member of the public may contact with
any questions.
(b) If the proposed State program is
substantially modified after the public
comment period provided in paragraph
(a)(4j of this section, the State shall,
prior to submitting its program to the
Administrator, provide an opportunity
for further public comment in
accordance with the procedures of
paragraph (a) of this section. Provided,
that the opportunity for further public
comment may be limited to those
portions of the State's application which
have been changed since the prior
public notice.
(c) After complying with the
requirements of paragraphs (a) and (b)
of this section, the State may submit, in
accordance with 5 271.3, a proposed
program to EPA for approval. Such
formal submission may only be made
after the date of promulgation of the last
component of Phase II. The program
submission shall include copies of all
written comments received by the State.
a transcript recording, or summary of
any public hearing which was held by
the State, and a responsiveness
summary which identifies the public
participation activities conducted,
describes the matters presented to the
public, summarizes significant
comments received and responds to
these comments.
2.5-1
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Introduction
The State is required under §271.20(a)-(c) to provide the public with
an opportunity to comment on the proposed program application before it is
submitted to EPA for approval. A comment period of at least 30 days is to
be provided and, if sufficient interest is shown, a public hearing is to be
held no sooner than 30 days after the notice of hearing is published. The
State is required to submit the record of this public participation as part
of its authorization application.
Content
The State must demonstrate compliance with §271.20(a)-(c) by submitting
the following materials to EPA:
1. All written comments received by the State,
2. A transcript (preferred), recording, or summary of any public
hearing which was held by the State, and
3. A responsiveness summary which identifies the public partici-
pation activities conducted, describes the matters presented
to the public, summarizes significant comments received and
responds to the comments.
2.5-2
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CHAPTER 2.6
STATE STATUTES AND REGULATIONS
Federal Requirement
§ 271.5 Elements of a program
submission.
(a) Any State that seeks to administer
a program under this part shall submit'to
the Administrator at least three copies
of a program submission. The
submission shall contain the following:
(1) A letter from the Governor of the
State requesting program approval;
(2) A complete program description,
as required by § 271.6 describing how
the State intends to carry out its
responsibilities under this subpart;
(3) An Attorney General's statement
as required by § 271.7;
(4) A Memorandum of Agreement
with the Regional Administrator as
required by § 271.8;
(5) Copies of all applicable State
statutes and regulations, including those
governing State administrative
procedures; and
(6) The showing required by
§ 271.20(c) of the State's public
participation activities prior to program
submission.
Introduction
The legal basis of State hazardous waste programs is found in the State
statutes and regulations.
Therefore, it is incumbent on the State to supply copies of al1 appli-
cable legal, regulatory and administrative documents needed to evaluate the
State's authority and to support the State application.
Content
Copies of all State hazardous waste management statutes and regulations
must be included in the program submission. This includes copies of all
State statutes and regulations cited by the Attorney General in his state-
ment. For example, portions of the State Administrative Procedure Act
applicable to the proposed hazardous waste program must also
Where State statutes and regulations have been amended, EPA
States submit up-to-date sets which
greatly facilitate EPA's review.
be submitted.
requests that
incorporate all changes. This will
2.6-1
-------
CHAPTER 2.7
STATE LEGISLATION CHECKLIST
Introduction
The checklist which follows is provided to aid attorneys and others in
reviewing and documenting State hazardous waste enabling authority for Final
Authorization under Section 3006(b) of the Solid Waste Disposal Act, as
amended (RCRA). EPA attorneys are encouraged to involve attorneys in State
Attorney Generals Offices or other State legal counsel in such reviews.
States are advised to look broadly to their legislative authorities in
assessing their programs.
To obtain final authorization, a State must have the enabling authority
to establish a hazardous waste management program which meets the
requirements of 40 CFR Part 271, Subparts A and B. Anyone using the
checklist should refer to Part 271 (and the regulations in Parts 270, 124
and 260-265 to the extent they are referenced in Part 271) for a full
understanding of the regulations for which a State must have enabling
authority.
Attorneys should look at all relevant State statutory authority, not
just a particular statute, when assessing State hazardous waste legislative
authority. For example, State administrative procedure acts are often
relevant. Most elements in the checklist identify enabling authority
required for Final Authorization. Five elements, however, ("importation
ban", "variance provisions", "exemptions", "information sharing" and
"siting") are included as a means of identifying and recording features of
State law which may negatively affect a State's ability to receive final
authorization.
This checklist is intended for use as an evaluation tool and it
provides valuable assistance to EPA reviewers if submitted as part of the
application for Final Authorization. Also, this checklist should be of use
to the State in identifying appropriate citations and comments to aid in
developing the Attorney General's Statement which is an essential element of
the application.
2.7-1
-------
STATE LEGISLATION CHECKLIST
State
Title(s) of Legislation
Date Enacted
Date Enacted
Date Enacted
Reviewed by
DATE
STATUTORY ELEMENT
STATE CITE
COVERAGE
YES/NO?
COMMENT
DEFINITIONS
The State needs the authority to define the following terms in a manner at least
as stringent as the Federal program. If definitions o-f these terms appear in
State statutes, they must be at least as stringent as the analogous Federal
Statutory or regulatory definition.
Disposal
Generator
Hazardous Waste*
Manifest
Person
Storage
Transport
Treatment
Treatment, Storage or
Disposal Facility
Waste (Solid)
* Note that the State must have authority to regulate the recycling and reuse of
hazardous waste in a manner at least as stringent as the Federal program does.
HAZARDOUS WASTE IDENTIFICATION AND LISTING - [See 40 CFR §271.9]
Authority for:
1. HW characteristics
2. HW list
2.7-2
-------
STATUTORY ELEMENT
STATE CITE
COVERAGE
YES/NO?
COMMENT
STANDARDS FOR GENERATORS - [See 40 CFR §271.10]
The State needs the authority to regulate all generators EPA regulates under
40 CFR Part 262.
Authority to promulgate
regulations on:
1. I.D. Numbers
2. Requiring generator to
determine whether waste
1s hazardous
3. Recordkeeplng practices
4. Packaging, labeling,
marking and placarding
practices
5. Use of appropriate
containers
6. Furnishing information
7. Use of manifest con-
sistent with DOT and EPA
8. International Shipments
9. Designation of and delivery
to permitted facilities
10. Investigation of unreturned
shipments
11, Submission of reports
--
-
STANDARDS FOR TRANSPORTERS - [See 40 CFR §271.11]
The State needs the authority to regulate all transporters EPA regulates under
40 CFR Part 263.
Authority to promulgate
regulations on:
1. I.D. numbers
2. Recordkeeplng
3. Labeling
4. Compliance with
manifest system
5. Spill notification
6. Spill clean-up
2.7-3
-------
STATUTORY ELEMENT
7. Transportation to
permitted facility
8. Consistency with
DOT regulations
STATE CITE
COVERAGE
YES/NO?
COMMENT
STANDARDS FOR HW STORAGE, TREATMENT, AND DISPOSAL FACILITIES -
[See 40 CFR §271.12]
The State needs the authority to regulate all of the owners and operators of
hazardous waste management facilities whom EPA regulates.
Authority to promulgate
regulations on:
1. I.D. numbers
2. Recordkeeplng
3. Reporting
4. Monitoring
5. Inspecting
6. Compliance with
manifest system
7. Operating methods
8. Location, design,
construction
9. Contingency plans
10. Training
11. Ownership
12. Closure and Post-
Closure activities
13. Continuity of
operation
14. Financial
responsibility
15. General conditions (see 40
CFR §§270.30
-
PERMITS FOR HW STORAGE, TREATMENT AND DISPOSAL FACILITIES - [See 40 CFR §271.15
and 271.13]
1.
2.
Require Permits for owners
and operators of all TSD
facilities
Impose construction ban
2.7-4
-------
STATUTORY ELEMENT
3. Prohibit operation of
facilities without permits
(State may have an analogue
to Interim status)
4. Require permit
application Information
5. Require permits to contain
all technical and administra-
tive standards
6. Provide for permit modifi-
cations and termination
(revocation)
7. Allow public disclosure of
name and address of permit
applicants and permittees
STATE CITE
COVERAGE
YES/NO?
COMMENT
PUBLIC PARTICIPATION
Authority to provide:
1. Draft permit, fact
sheet, etc.
2. Notice of all draft
permits by radio
broadcasts and notices
in newspapers etc.
3. 45-day public comment
period on all draft
permits
4. Informal hearing with
written notice of
opposition
5. Consideration of and re-
sponse to public comments
INSPECTIONS
1.
Right to enter, inspect and
obtain samples (at all
regulated premises and where
records are kept)
ENFORCEMENT - [See 40 CFR §271.16]
Authority to:
1. Immediately restrain
unauthorized activity
2. Sue to enjoin any threatened
or continuing program viola-
tion without prior revocation
of permit
2.7-5
-------
STATUTORY ELEMENT
3. Obtain civil penalties for
any violation (maximum no
less than $10K per day)
4. Obtain criminal penalties for
specified violations (maximum
no less than $10K per day and
imprisonment with maximum no
less than six months); burden
of proof no greater than undei
Federal law
5. Allow intervention
(see 40 CFR §271.16(d)
STATE CITE
COVERAGE
YES/NO?
COMMENT
MISCELLANEOUS
1.
2.
3.
4.
5.
Authority to share all
information with EPA
Variance and waiver
provisions*
Importation ban*
Exemptions*
Siting*
May create problems for a State seeking authorization.
2.7-6
-------
CHAPTER 2.8
CHECKLIST FOR COMPLETENESS OF SUBMISSION
Introduction
EPA specifies the elements of a State program submittal in §271.5.
Other Chapters in this Manual explain the purpose and content of the
individual elements of the submittal.
The Checklist in this Chapter is intended to help the State and EPA
verify that all required aspects of the State program are addressed in the
application. The checklist is helpful in determining the completeness of
any program submission; however it does not imply a judgment of the quality
or adequacy of the items submitted.
Content
The Checklist for Completeness of Submission identifies the required
document, letter, form, memorandum, statute, etc. in the first column. The
second column identifies the Chapter in this manual which describes the
contents of the item listed in column 1. The third column cites the federal
regulation, by section and subsection, which requires submission of the item
in column 1.
2.8-1
-------
Checklist for Completeness of Submission
DOCUMENT
MANUAL
CHAPTER
40 CFR CITE
I. Governor's Letter
Requesting Authorization
(A) Signature
Z.I
271.5 (a)(l)
II. Complete Program Description
(A) Narrative, Scope, Structure,
and Processes
(B) Identification of Lead Agency
(C) Description of State Agency
(D) Description of Staff
(E) Budget
(F) Sources of Funds and Restrictions
(G) Description of Permitting and
Administrative or Judicial
Review Procedures
(H) Description of Compliance and
Enforcement Program
(I) Description of Manifest Tracking
System
(J) Estimated Number of Generators,
Transporters On-Site and Off-Site
Treatment Storage and Disposal
Facilities and Their Permit Status
(K) Quantities of Hazardous Waste
Generated In State, Transported In
and Out of State, and Treated or
Disposed of Within the State On-
and Off-Site (if available)
(L) Forms:
1. Permit Application Form(s)
2. Final Permit Form(s)
3. Report Form(s)
4. Manifest Form(s)
2.2
271.6
271.6(a)
271.6(b)
271.6(b)
271.6(b)(l)
271.6(b)(2)
271.6(b)(3)
271.6(c)
271.6(e)
271.6(f)
271.6(g)
271.6(h)
271.6(d)
III. Attorney General's Statement
(A) Identification and Listing
(B) Standards for Generators
(C) Standards for Transporters
(D) Standards for Facilities
(E) Requirements for Permits
(F) Inspections
(G) Enforcement Remedies
(H) Public Participation in the
State Enforcement Process
(I) Authority to Share Information
With EPA
(J) Signature
2.3 271.7
271.9
271.10
271.11
271.12
271.13, 271.14
271.15
271.16(a),(b) & (c)
271.16(d)
271.17
271.7(a)
2.8-2
-------
DOCUMENT
MANUAL
CHAPTER
40 CFR CITE
IV. Memorandum of Agreement (MOA) 2.4
(A) Provisions for transfer
of information
(B) Frequency and Content of Reports
(C) Conditions for Record Reviews
(D) Provisions for Compliance
Monitoring and Enforcing
(E) Provisions for Joint
Permit Review
(F) Provisions for Modification of MOA
(G) Provisions for Inspection of
Hazardous Waste Facilities
(H) Provisions for Inspection of
Generators and Transporters
(I) Provisions for permit review
(J) No restrictions clause
(K) Confidentiality Provisions
(L) Signatures
271.8
271.8(b)(6)
271.8(b)(2)
271.8(b)(2)
271.8(b)(3)
271.8(b)(8)
271.8(b)(ll) & (c)
271.8(b)(4)
271.8(b)(4)
271.8(b)(7) & (b)(9)
271.8(a) & (b)(5)
271.17)
271.8 & 270.2
V. Legislation (statutes)
(A) Hazardous Waste Management
(B) Administrative Procedures
(C) Other
2.3,
2.6,
2.7
271.5(a)(5)
VI. Regulations
(A) Hazardous Waste Management
(B) Other
2 3
£. O ,
2.7
271.5(a)(5)
VII. Showing of Public Participation
(A) Written Comments
(B) Transcript, recording or
summary of hearings
(C) Responsiveness Summary
2.5
271.20(c)
VIII. Three Copies of Complete Submission
271.5(a)
IX. State Regulatory Program Checklist
2.3,
Appendix A
2.8-3
-------
APPENDIX A
STATE REGULATORY PROGRAM CHECKLIST
The checklists in this Appendix are intended to assist the Attorney
General and/or the State program office in demonstrating that the State
qualifies for final authorization. The instructions for completing these
checklists can be found on page 2.3-4. The organization of the checklists
coincides with the Model Attorney General's Statement as listed below:
Checklist
Checklist
Checklist
Checklist
Checklist
Checklist
Checklist
Checklist
I A
I B
I C
II
III
IV A
IV B
V
Identification and Listing
Waste Lists
Characteristics
Generator Requirements
Transporter Requirements
Facility Requirements
Facility Interim Status Requirements
Permitting Requirements
Checklist V
Checklist V identifies the 40 CFR Part 270 and 124 permitting
requirements for final authorization. State programs must have legal
authority to implement each non-optional item on the checklist (see 40 CFR
271.14). Legal authority means that the State analogue to the Federal
requirement must be reflected in a State law, regulation, published opinion
of the Attorney General or other document with the force of law.
1. Procedural Requirements
State programs also must be administered in accordance with each item
on the checklist. In most instances this means that the State requirement
must be reflected explicitly in a State regulation. (Some State statutes
may contain such explicit requirements, which would also be acceptable.)
However, for some of the primarily procedural requirements on the checklist
(identified by asterisks), the State may be able to commit in the MOA,
rather than provide an explicit regulation, to satisfy the requirement of
§271.14. Such an agreement will be acceptable where the State agency is
willing to bind itself to a particular procedure (e.g., providing a 45-day,
rather than 30-day, public comment period) in the MOA and where the State
Attorney General certifies that (1) the State has the authority to enter
into the agreement, (2) the State has the authority to carry out the
agreement, and (3) no applicable State statute (including the State
administrative procedure act) requires that the procedure be promulgated as
a rule in order to be binding. For further discussion, see page 1.3-7.
A-l
-------
2. Optional Requirements
Some elements In Checklist V are labeled "Optional." The State does
not need to provide for a counterpart to these requirements; however, where
the State does have a similar requirement, the requirement must be at least
as stringent as the Federal one.
3. Contents of Permit Applications
The State does not need to use a two part permit application process.
Also, State regulations need not list all items in 270.13-29; however, the
State must require that permit applications from new and existing facilities
contain adequate information for the State to establish and determine
compliance with all permitting requirements (the State analogues to 40 CFR
Parts 270 and 264).
A-2
-------
CHECKLIST I A
IDENTIFICATION AND LISTING
FEDERAL REQUIREMENT
RCRA CITE
STATE AUTHORITY
STATUTE REGULATION
IF DIFFERENT FROM FEDERAL
REQUIREMENT, EXPLAIN
SUBPART A - GENERAL
DEFINITION OF SOLID WASTE
solid waste
waste material
discarded
disposed of
manufacturing or
mining byproduct
261. 2(a)
261. 2(b)
261. 2(c)
261. 2(d)
261. 2(e)
DEFINITION OF HAZARDOUS WASTE
not excluded by 261. 4(b)
has characteristic
of Subpart C
listed in Subpart D
mixture
exceptions
meets listing
description
hazardous waste added
exhibits characteristics
remains hazardous waste
generated from treatment
waste not exhibiting
characteristics
excluded under 260.20
and 260.22
261.3(a)(l)
(i)
261.3(a)(2)
(ii)
261.3(a)(2)
(iii)
261.3(a)(2)
(iv)
261.3(a)(2)
261.3(b)(l)
261.3(b)(2)
261.3(b)(3)
261.3(c)(l)
261.3(c)(2)
261.3(d)(l)
261.3(d)(2)
EXCLUSIONS
not solid waste
domestic sewage
261. 4(a)
(i)
261.4(a)(l)
A-3
-------
CHECKLIST I A (continued)
FEDERAL REQUIREMENT
mixture
industrial wastewater
irrigation return
nuclear material
in-situ mining^
solid waste which are
not hazardous wastes
household waste
returned to soil
as fertilizers
mining overburden
ash waste
drilling fluids
ore processing
cement kiln
discarded wood
exempt hazardous waste
samples
RCRA CITE
(ID
261.4(a)(l)
261.4(a)(2)
261.4(a)(3)
261.4(a)(4)
261.4(a)(5)
261. 4(b)
261.4(b)(l)
261.4(b)(2)
261.4(b)(3)
261.4(b)(4)
261.4(b)(5)
261.4(b)(6)
261.4(b)(7)
261.4(b)(8)
261.4(b)(9)
261. 4(c)
261. 4(d)
STATE AUTHORITY
STATUTE REGULATION
IF DIFFERENT FROM FEDERAL
REQUIREMENT, EXPLAIN
SPECIAL REQUIREMENTS FOR HAZARDOUS WASTE GENERATED BY SMALL QUANTITY GENERATORS
definition
exceptions
recycled waste
quantity exclusions
acutely hazardous
accumulation on- site
261. 5(a)
261. 5(b)
261. 5(c)
261. 5(d)
261. 5(e)
261. 5(f)
A-4
-------
CHECKLIST I A (continued)
FEDERAL REQUIREMENT
generator requirements
in order to have
waste excluded
comply with 262.11
storage
treatment or disposal
mixing with non-
hazardous waste
mixing with a solid
waste
RCRA CITE
261. 5(g)
261.5(g)(l)
261.5(g)(2)
261.5(g)(3)
261. 5(h)
261. 5(i)
STATE AUTHORITY
STATUTE REGULATION
IF DIFFERENT FROM FEDERAL
REQUIREMENT, EXPLAIN
SPECIAL REQUIREMENTS FOR HAZARDOUS WASTE WHICH IS USED, RE-USED. RECYCLED OR RECLAIMED
exemption from
regulations
beneficially used
accumulated for use
specific materials
transportation and
storage requirements
for waste listed in
Subpart D
261. 6(a)
261.6(a)(l)
261.6(a)(2)
261.6(a)(3)
261. 6(b)
RESIDUES OF HAZARDOUS WASTE IN EMPTY CONTAINERS
waste remaining in
container
container not empty
definition of empty
definition of empty
compressed gas
waste under 261.33(c)
261.7(a)(l)
261.7(a)(2)
261.7(b)(l)
261.7(b)(2)
261.7(b)(3)
A-5
-------
CHECKLIST I B
WASTE LISTS
FEDERAL REQUIREMENT
RCRA CITE
STATE AUTHORITY
STATUTE REGULATION
IF DIFFERENT
REQUIREMENT,
FROM FEDERAL
EXPLAIN
SUBPART D - LIST OF HAZARDOUS WASTES
GENERAL
exclusions
hazard codes
hazardous waste number
261.30(a)
261.30(b)
261.30(c)
HAZARDOUS WASTES FROM NONSPECIFIC SOURCES
list
nf
up,,
wastes
261.31
< 261.31 Hazardous waste from nonspecific sources.
Industry and EPA
hazardous waste No
Hazardous waste
Genenc
F001
F002
F003
FOTX
F005
F006
F019
FOOT
FOO8
F009
F010
F011
F012
The lottowing spent halogenaled solvents used «i degreasmg telrachloroetnylene. tnchkxoethytene. methyten* chlonde 1.1.1-lnchloroelh- (T)
ane, carbon tetrachlonde. and chlorinated nuorocartxxis. and sludges from the recovery of these solvents n decreasing operations
The following spent halogenated solvents tetrachkxoelhylene. methvlene chlonde. tnchkxoethylene. 1.1.1-tncMoroetfiane. chloroberuene. (T)
1.1.2-tnchloro-1-2.2-tnfKoroethane. ortho-oichkyobenzene. and tnchlorofluoromethane. and the sWI bonoms from the recovery of these
solvents
The following spent non-halogenated solvents xyiene. acetone, ettiyl acetate, ethyl benzene, ethyt ether, methyl rsobutyl ketone n-butyl (I)
alcohol. cyclohe«anone. and methanol. and the still bottoms Irom the recovery of these solvents
The following spent non-halogenated solvents cresols and cresybc acid, and nrtrooeruene. and the sMI bonoms from the recovery of these (T)
solvents
The following spent non-halogenaled solvents toluene, methyl ethyl kelone. carbon disuffide. isobutanof. and pyrxine and Ihe still bonoms (I T)
from the recovery of these solvents
Wastewiter treatment sludges from electroplating operations eicepl from the following processes (1) sutfunc aod anodizing ol aluminum. (T)
(2) bn plating on cartxxi steel. (3) zinc plating (segregated basis) on cartxxi steel. (4) alunwmm or zinc-aluminum pJabng on carbon steel
(5) daanmg/stnppmg associated with tin. zinc and aluminum plating on cartxxi steel, and (6) chemical etching and nutimg of aluminum
Wastewater treatment sludges from the chemical conversion coating of aluminum ... (T)
Spent cyanide plating bath solutions from electroplating operations (except for precious metals electroplating spent cyartde plating bath (R. T)
solutions)
Plating bath sludges from the bottom ol plating baths Irom electroplating operations where cyanides are used «i the process (except lor (R. 71
precious metals electroplating plating bath sludges)
Spent stripping and cleaning bath solutions from electroplating operations where cyanides are used n the process (except lor precioua (R. T)
metals electroplating spent stripping and cleaning bath solutions)
Quenching bath sludge from oil baths from metal heal treating operations where cyanides are used m the process (except for precious (R. T)
metals heat-treating quenching bath sludges)
Spent cyanide sotutiora from salt bath pot cleaning from melal heat treating operations (except for precious metals heal treating spent (R. T)
cyanide solutions from salt bath pot cleaning)
Quenching wastewater treatment sludges from melal heat treating operations where cyanide* are used in the process (except for precious (T)
metals heal treating quenching wastewater treatment sludges)
|46 FR 4617, Jan. 16. 1981. as amended at 46 FR 27477. May 20. 1981]
A-6
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CHECKLIST I B (continued)
FEDERAL REQUIREMENT
RCRA CITE
STATE AUTHORITY
STATUTE REGULATION
IF DIFFERENT FROM FEDERAL
REQUIREMENT, EXPLAIN
HAZARDOUS WASTES FROM SPECIFIC SOURCES
list of "K"
wastes 261.32
§ 261.32 Hazardous waste from specific sources.
Industry ind EPA
hazardous waste No
Wood Preservation.
K001
Inorganic Pigments
K002
K003
K004
K005
KOO8
K007
Kooa
Organic Chemicals:
K009
K010
K011
K013
K014
KOI 5
K016
K017
K018
K019
K020
K021
K022
K023
K024
K093
K094
K025
K028
K027
K02S
K029
K095
K096
K030
K083
K103..
KIM
K08S
K105
Inorganic Cnemcals
K071
K073
K106
Pesticides
K031
K032
K033
K034
K097
K035
K036
K037
K038
K039
K040
K041
K098
K042
K043
K099
Hazardous waste
Hazard code
Bottom sediment sludge from the treatment ol wastewaters from wood preserving processes that use creosote and/or pentachkxophenol (T)
Wastewater treatment sludge from the production o( chrome yellow and orange pigments
Wastewater treatment sludge Irom the production of mofybdate orange pigments
. . Wastewater treatment sludge from the production o( zinc yellow pigments
.. Wastewater treatment sludge from the production ot chrome green pigments
Wastewater treatment sludge from the production of chrome oxide green pigments (anhydrou1
(T)
(T)
_ (T)
'" .' '. ." I ' (T)
mnrt hvrlrataHl fT\
. . . . Wastewater treatment shjdge from the production of iron blue pigments . .... .. fft
Oven residue from the production of chrome oxide green ptgments
Distillation bottoms from the production of scetakJehyde from ettiyleoe
. . Distillation side cuts from the production of acetaldehyde from ethylene
Bottom stream from the wastewater stripper in the production of acrykxwtnle
. Bottom stream from the acelonrtnte column in the production of acrylonitnle .
Bottoms from the scetonrtrfle purification cofumn m the production of acryionrtnle
. SWt bottoms from the distillation of benzyl chloride . .
.. Heavy ends or dntitlatnn residues from the production of carbon tetrachkxide .
Heavy ends (still bottoms) from the purification column in the production of epichlorohydnn
Heavy ends from the fractionation cofumn m ethyl chloride production
Heavy ends from the distillation of ethylene dichionde in ethylene dichtonde production
Heavy ends from the distillation of vmyt cntonde m vmyl chloride monomer production
, Aqueous spent antimony catalyst waste from fkjoromethanes production
Distillation bottom tars from tfte production of phenol/aceione from cumene
Distillation hght ends from the production of phthahc anhydride from naphthalene
Distillation bottoms from the production of phthahc anhydride from naphthalene
Distritabon kght ends from the production of phthahc anhydride from ortho-rylene
Distillation bottoms from the production of phthahc anhydride from ortho-rytene
OsMlaboo bottoms from the production of nitrobenzene by the nitration ol benzene
Stripping stilt tails from the production of metny ethyl pyndmes
Centrifuge and disbflation residues from toluene dNsocyanate production . . ..
Spent catalyst from the hydrocfHonnator reactor in the production ol 1.1.1-tnchkxoelhane
Waste from the product steam stnpper m the production of 1.1.t-tnchkxoethane . .
Dntiflation bottoms from the production of 1.1.1 -tnchkxoethane
Heavy ends from the heavy ends column from the production of 1. 1.1 -tnchkxoethane
(T)
m
.. m
(R_ T)
-------
CHECKLIST I B (continued)
FEDERAL REQUIREMENT
RCRA CITE
STATE AUTHORITY
STATUTE REGULATION
IF DIFFERENT FROM FEDERAL
REQUIREMENT, EXPLAIN
HAZARDOUS WASTES FROM SPECIFIC SOURCES
I
list of "K" wastes 261.32 (continued)
Industry and EPA
hazardous waste No
Explosives
K044
K045
K046
KW7
Petroleum Refining
K048
KCM9
K050
K051
K052
iron and Steel
K061
K062
Secondary Lead
K069
K100
Veterinary Pharmaceuticals
K084
K101
K102
Ink Formulation
K086
Coking
K060
K087
Hazardous waste
Waste-water treatment sludges Irom the manufacturing and proc*umg ol exptosrves
Spent carbon from the treatment ol wastewater containing explosives
-
Hazard code
(H)
(R)
Wastewater treatment sludges Irom trie manulactunng. formulation and loading of lead-based initiating compound* ... .. . (T)
Pink/red water from TNT operations
Dissolved air notation (OAF) float from the petroleum retmng industry
Slop ori emulsion sobds from the petroleum refining industry
Heat exchanger bundle cleaning sludge from the petroleum reftnmg industry
APt separator sludge from the petroleum refming industry
Tank bottoms (leaded) from the petroleum refining industry
Emission control dust/sludge from the primary production ol sleet m electric furnaces
Spent pickle liquor from steel finishing operations
Emission control dust/sludge from secondary lead smelting
. . .. (R)
... (T)
(T)
m
m
(T)
(T)
(C. T)
(T)
Waste leaching solution Irom acid leaching ol emission control dust/sludge Irom secondary lead smelting (T)
Wastewater treatment sludges generated during the production ol veterinary Pharmaceuticals Irom arsenic or organo-arsernc compounds (T)
Distillation tar residues Irom the distillation o' aniline-based compounds m the production
organo-arseruc compounds
ol vetennary Pharmaceuticals Irom arsenic or (T)
Residue Irom the use ol activated carbon lor decokxuation .n the production ol vetennary Pharmaceuticals Irom arsenic or organo-arsemc (T)
compounds
Solvent washes and sludges, caustic washes and sludges. or water washes and sludges
from cleaning tubs and eo>*pm«nt used in the (T)
tormulatKjn ol mK Irom pigments, dners. soaps, and stabilizers containing chromium and lead
. Ammonia soil Ime sludge from coking operations
. Decanter tank tar skjge Irom coking operations
m
(T)
|46 FR 4618. Jan. 16, 1981. as amended al 46 FR 27476-27477. May 20. 1981)
A-8
-------
CHECKLIST I B (continued)
FEDERAL REQUIREMENT
RCRA CITE
STATE AUTHORITY
STATUTE REGULATION
IF DIFFERENT FROM FEDERAL
REQUIREMENT, EXPLAIN
DISCARDED COMMERCIAL CHEMICAL PRODUCTS, OFF-SPECIFICATION SPECIES, CONTAINER RESIDUES,
AND SPILL RESIDUES THEREOF
are hazardous when
discarded
chemical product or
intermediate
off-specification
product
empty container
residue
spill cleanup debris
acute hazardous wastes
261.33
261.33(a)
261.33(b)
261.33(c)
261.33(d)
261.33(e)
Hazardous
waste No
Substance
P023
P002
P057
P058
POM
P001
P002.
P003.
P070 .
P004 ..
POOS.
POOS ..
P007..
P008
P009 ..
P119 .
P010 .
P012..
P011...
P011...
P012.
POM...
POS4...
P013..
POZ4...
P077...
P028...
P042 ..
POM
P028
POtS
P016...
P017
P018....
P021.
P123 ...
P103 .
P022..
P022
P095....
P033.
P023...
P024. .
P026....
P027...
P029....
POM .
P031 ..
P033 ...
Acelaldehyde. chkxo-
Acelamde. N-(ammoall
Acatxndic aod. N-((methytcar.
bamoyl)o«y)tiio-. methyl ester
3-(alpha-ececart>
AMnn
AHyl alcohol
. Aluminum phosphide
S-(Aminometnyl)-3-iso«a20k>l
. 4-aAminopyndine
. Ammonium picrata (R)
. Ammoreum vanadata
. Arsenic aod
. Arsenic (III) oxxta
. Araonc (V) oxid*
.. Ara«rac p«n(oud«
. ArMnc tnoud*
.. Aruo«, dwthyl-
.. Azndin*
Banum cyanida
8«u«namln«, 4-chkxo-
. B«fU«nao«n«, 4^«tro-
. Bouen*. (chlorom*(hyl)-
amino)«thyll.
ftonzeoathiol
B«uyl cNonda
Bromoaotona
Snotw
Calauni cyarad*
Camphen*. oeUcNoro-
. Cart>anwndosa4enoic aod
. Cartxxi bisuKkia
. Cartwo <**jtdd«
. Cartxxiyl ehtood*
. CMonn* cyarada
CMoroac*taldaftyd«
. p-CNoo«n*n«
1 -(o-CNoroph«oyl)tf»our«a
3-CMoropropiontnla
Copper cyaradn
Cyanda* (iokjb(« cyarada ulU). not
wt»r« ipaofiad
Hazardous
wasta No
P038..
P037.
P038.
P039..
P041..
P040..
P043..
P044.,
P045.
P071...
P082 .
P048..
P047...
P034...
P048...
P020...
POS5...
P039
PO49
PI09
P050
P088
POS1
P042
P04«
P084
P101 .
P054
P097 ..
P05«...
P057 .
POM....
P06S.
POS9....
P05I..
phot-
Substance
. Ochlorophanylanm
. OMdnn
. Dtothytaraina "
. O.O-OMttiyl S-(2-)ettiyl}
phOfodrtNoate
. Owthyt-p-nftropheoyt pNxphate
. O.O-Oirthyl O-pynjzinyl phoiphorothioate
Duopropyt nuoroprxMphate
. Omethoata
. 3.3-0*meo-cyclohezylphenol
. Cyanogen chlortda
P037..
P080.
P004
P060
P062
... Otnc*»b
... Ophoepoormrn
OnulkMon
2.4-{MNobiure1
OrtNopyrophosphonc aod. tetraettiyl eslar
EndosuKan
Endothall
Endnn
Fpmephnna
Etnanamme. l.l-dimethyl-2-phenyl.
Elnenamme, N-meo«y-
1 .4.4a.S,8.7.a.8«-octahydro-endo.axo-
1 ,4:S.8-dMne1hanonaphthalene
1.2.3.4.10.10-Haiiacnloro-1,4.4a.5.8.8a-
hex«hydn>-1,4:S.8-ando, ando-dvnetti-
anonaphthalvna
1 ,2.3.4. 10. 10-Hauchkxo- 1 .4.4a.5.8.8a-
heuhydro- 1 ,4-S.8-ando.a«o-
dnwmanonaphthalefw
. H«ucnloron«xanydro-exo,exo-
dnwthanonaphthalene
HauAtnyl MraphoaphaM
A-9
-------
CHECKLIST I B (continued)
FEDERAL REQUIREMENT
acute hazardous wastes
RCRA CITE
261.33(e)
STATE AUTHORITY
STATUTE REGULATION
(continued)
IF DIFFERENT FROM FEDERAL
REQUIREMENT, EXPLAIN
**-«
ssrar
PI 16
P068
P0«3 . . . . Hydrocyanic «od
P063 ............ Hy*og«n cy«nid»
POM .................. Hy*og«n ptxwptnd*
P064 .......... Uocytrnc acid. mwhyl «(<
P007 ............... 3(2HHto«aw>ton», 5-nyl
P075 .......... Nicotra and uK>
P078 .................... NUnc o»d«
P077 .......... (>^(tro««lin«
P078 ............. Nitrogen dionta
P076 .............. Ntlrog«o(ll) o«Kl«
P078 ............. Nitrog«XIV) oxMe
P081 ................. N«roglyc«rin« (R)
P062 .................... N-Nrtro«oc«m«hy<»mln«
P084 .......... N-NitnMorMttiylvlnyUmina
P050 ............... ... S-Nortxxn«io«-2,3-(»m«(h«njUm«x»-2-o«o«fiyi)»»l«t
. Pt«M(*oroethylami«)Hsurforiyl)phenyO ester
Ptumbane. tettaetnyl-
Potasswm cyamda
Potassium silver cyarad*
Propanal. 2-rrwmyl-2-(fTW(tiyltNo)-. O-
Propan«rvtnt«
PrOpanenrtnto, 3-chkxo-
Propan«nrtni«, 2-hydroxy-2-m«thyl-
1.2.3-Prop*nelnol. tnnrtrate- (R)
2-Propanooa, 1-bfomo-
Propargyl alcohol
2-Proponal
2-Propeo-l-ol
1 ,2-Propy(eoifTnn«
2-PropyrM-ol
4-Pyndinam(n«
. Pyneko*. (S)-3-(1-methyl-2-pyrro*dinyO-.
and saRs
Pyropnosptvxic aod. tatraethyl ester
Setenourea
S^er cyamde
Sodium azxJe
SodMjm cyanide
Strontium sutfide
. Strycrmdin-IO-one, and salts
. Strychndwv 1 0-one. 2.3-Oimethoxy-
.. .. Stfychrane and satts
SuHunc acid. maDium(l) salt
Tetraethyldithiooyrophosphate
. Tetraethyl lead
Tetraethytpyrophosphate
. Tetraratromethane (R)
Tetraphosphonc acid, rwxaethyl ester
Thallic oxide
TnalhurrKltl) oxide
.. ThaltamXI) selenrte
ThaffiurrKI) sutlate
Thiofanox
Thmrmdodicarbonic dumide
Thiophenol
TrwosemicarDazide
Thourea. (2-chtofOphenyl)-
Thtourea, 1-naphmalenyt-
Thiourea. phenyl-
Toxapnene
Trichloromathanethiol
Vanadic acid, ammonium salt
. Vanadum pentonid*
Vanadkim(V) onde
Wariarm
Zinc cyanide
Zinc pftoapNd* (H.T)
A-10
-------
CHECKLIST I B (continued)
FEDERAL REQUIREMENT
toxic wastes
RCRA CITE
261.33(f)
STATE AUTHORITY
STATUTE REGULATION
IF DIFFERENT
REQUIREMENT,
FROM FEDERAL
EXPLAIN
Hazardous
Waale No
U001
UO34
U1«7
UOOS. .
U112
UI44
U214
U002
U003
UOO4
UOOS
UOO«
U007
uooe
UO09
U150
U011
U012
U014
U01S. . ..
U010...
Sobstance
Acetaldehyde (1)
Acetaldehyde, Inchkxo-
. Acetarrade. N-(4-ethoxyphenyl)-
Aceumde. N-9H-ltuoren-2-y<-
. Acetic add. ethyl ester (1)
.. . Acetic add, lead ult
... Acetic acid. thaHumO) ult
. Acetone (1)
.. Acelophenone
. Acetyl chloride (C.R.T)
. Acrylamide
.. Acrylic add (1)
phenyK L-
Arnhna (1 T)
. ... Auramme
Azmno(2'.3'3.4)pyrrolo(1.2-a)indole-4.7-
dione, 6-amK>c-8-[((aminocarbonyl)
o»y)methyl]-1.1 a.2,S,da.8c-hexahydro-
Sa-methoxy-S-methyl-.
U157 Benztllaceanthrylene, 1.2-d-hydro-3-
methyl-
U018. . . Benz[c]acndin«
UO18 3,4-Benzacndirve
U017 .. . . Benzal chloride
U01S . BenzCalanthracene
UO18 . t.2-Benzanthracene
UO94 . . t.2-Benzanthracene. 7.12-dimethyl-
UO12. Benzenarmne (I.T)
UO14 Benzenamme,
dimethyl-
Hazardou*
Wane No
Subslance
U049
UO93
U1S8
U222
U18I
U019
U038
U030
U037
U190.
U028
U069
U068
U102
U107.
U070
U071..
U072
U017 .
U223...
U239
U201 .
U127
UOS6
uiea.
U220.
U105.
U10«
U203
U14I
U090
U055.
U169
U183
U185 .
(XX
U020..
U207 .
U023 .
0234
U021 .
0202....
U120....
OOZ2....
O022....
U197.
U023....
UOSO...
UO65
O021....
O073....
Befuenamm*. 4-cNoro-2-melhy(-
8enz«nam*ne. N.N'-oVnethyl-4.phenyia2O-
Benzenamme. 4.4'-metftyfenebis{2-chloro-
Benzenamtne. 2-methy<-. hydrocNonde
8enzenamm«. 2-methyl-S-nrtro
Bemen* (I.T)
.. BenzeneaoMic add. 4-chlon>-alptia-(4-
CMofOpfWfiy()-alpha-hydroKY. Mhyl (tier
Benzene. Hxomo-4-pheno«y-
Benzane, cti4ofO*
1.2-BenzerMdK«(t>o>ylic add anhydride
1.2-Benzenadic*rbo»ytic text. [b«<2-e()iy4-
he«yQ] eiter
1.2-Benzenedicartx»ylic aod. dibutyl etler
1.2-BenzenedKartx»ylic aod. dwtnyl nter
.. t ,2-BenzenadK«rboxylK: add. dimethyl
tier
. 1,2-BenzerwdcarbOKylic acid. dMvoctyl
etler
.. Benzene. 1 .2-dicnlorc-
.. Benzene. 1.&<*cnloro-
Benzene. 1 ,4-dichioro-
. Benzene, (dicnkxomethyl)-
. Benzene. 1 ,3-dmocyanatomethyl- (R.T)
Benzene. dmiethyHl.T)
1.3-8enzened«3l
. Benzene, hexachkxc-
Benzene. hexahydro- (I)
Benzene, hydroxy*
.. Benzene, methyl*
Benzene. 1-<-nethyM-2,4-dinrtrr>
Benzene, 1 -yl-
. Benzene. 1 ,2-methytenedioxy~4-propenyf-
Benzene. 1^-methylenedKny-4-propyl-
Benzene. (1-metnyiethyn. (I)
Benzene, nrtro- (I.T)
Benzene. penUcMoro-
. Benzene. pentacNoro-nrtro-
.. Benzenetuffonic add cnlcode (C.R|
. BenzeneeuHonyl chlonde (C.R)
Benzene, 1.2.4.S-4e(rach.c«>-
. Benzene. (tncNoran>e-4.4'-d.amr>e. 3.T-d.melhyl-
. B)«<2-chloroelho«y) methane
. B»<2-chkxot»opropyl) ether
Hazardous
Wule No
SubJtance
. B(»(2-e(hy(nexyO phtnalate
. Bromine cyanide
. 0
U176 Carbamide. N-ethyl-N-nrlroso-
U177 Carbarmde, N-methyl-N-relroso-
U219 Carbamide, tha-
U097 Carbamoyt chkxide. dtmetnyl-
U2IS .... Carbonic add. drthanumd) ull
UIS« . . . Cerbonochtondic add. methyl eater (I.T)
U033 -.. Carbon ocyfluonde (R.T)
U21I Carbon letrachlortde
U033 Carbonyl fluonde (R.T)
U034 Chloral
U03S . . . . Chtorambudl
U036 Chkxdane. technical
U02fi Chlomaphuine
U037 CNorobenzene
U039 . . 4-CNoro-m-cresol
U041 1-Chloro-2.3-eporypropane
U042 . 2-CNoroethyl myl ether
U044.. .. Ch-oroform
U046 . Chloromethyl methyl ether
U047.. . . bela-CNoronaphthalene
U048. . . oOtorophenol
U049. 4-Chloro-o-loK«dine. hydrochtonde
U032. . . Chrome add. catoum ult
UOSO . Chryaene
U05I Creosote
UOS2 .. Cretols
UOS2 .. . . Cresydc aod
UOS3 . Crolonaldehyde
UOS5 ... Cumene (I)
U246 Cyanogen bromide
U197 1.4-CydohexadMnedrane
UOS6 . Cyctoheiane (I)
UOS7 Cydohexanone (I)
UI30 1,3-CydopentadMne. 1.2.3.4.5.5-hexa-
cNoro-
UOS8 Cydophoapharrade
U240 . . 2.44-O. ulta and eaters
U059 Deunomycm
UOSO OOO
U081 DOT
U142 f>»cNorooctahydro-1.3.4-metheno-2H-
cydobuUtc.d]-pentalen-2-one
.. Dleuta
.. t>amine(R,T)
.... OiamkxXoluene
0*>enz(aji]anthracane
1^:S.S-Obenzanthracane
1,2:7.8-OtMnzopyrene
D»jenzla.l]pyrene
1^-Oibromo-3-chloropropana
... Otmtyl phlhalate
.... S-(Z3-D(chloroa«yl)
diaopropyHhiocarbamate
U070 o-OfcNorobenzene
U071 m-Oichlorobenzene
U072 p-Och4oro6enzene
U073 3.3'-Ochlorobenzx«ne
U074.._ 1.4-Oichloro-2-butene fl.T)
U075 DtttkxocHluorornethane
U192 3,5^>dilorc-N^I.I-d«rielhyl-2-propynyl)
benzarmde
UOSO Ochloro dlphenyf Achkxoetharn
U061 .. . Dich-oro dlphenyl tnchloroethane
U078 . . . 1,1-OcNoroetnytene
U079 ... . 1.2-Oichloroelhytene
U029 . .. Ochloroethyl ether
UO61 2.4-DkcNoroprienol
U062..
U133.
U22t
UOS3..
U083..
U064....
UOS4....
UOM....
U089...
U062....
A-11
-------
CHECKLIST I B (continued)
FEDERAL REQUIREMENT
toxic wastes
RCRA CITE
261.33(f)
STATE AUTHORITY
STATUTE REGULATION
(continued)
IF DIFFERENT FROM FEDERAL
REQUIREMENT, EXPLAIN
Hazardous
Watt* No.
Substance
Huardout
Wa»1e No
Sutnlanc*
U062..
U240.
U083...
U084...
uoev.
U106..
(xee...
VX>e7...
UOM..
U089...
U148
U090
U091...
U092..
U093
U094..
U095.
U096...
U097.
U098 .
UOM..
U101 .
U102
U103
U105.
U108.
U107.
U109..
U109
UI10
U111
U001
U174.
U067 .
U078
U077...
U1U..
U131...
U024..
U003..
U117...
U025 .
U184...
U206...
U209...
U218..
U227..
U247 .
U043...
U042...
U078..
U079...
U210...
U173...
U004...
uooe..
U112.
U113..
U238.
UO38
U114.
U067
U077.
U115
una
UU7
U076
U118
U119
2.6-Ochlorophenol
2.4-OichlorophenoiryecetK Kid. ults and
alien
. 1.2-Oicnloropropane
, 1,3-OichlOropropene
1.2:3.4-Diepo>rybutana (I.T)
1.4-Oiethylene dio»id*
N.N-OMttlyttiyoVum*
O.O-r>e>hyl-S-methyl-Alhiopno»phale
. Oiethyl phlhelale
. KethyitulbestTol
t.2-Oihydro-3.6-pyraduineoione
(Vrydroulrota
3.3'-Omethoxyt>erux»n*
Dlmetnytamine (I)
Dimethylamnoazobenzene
7. 1 2-dmelhylbenzl i lanthracena
3.3'-DK7>etfiy«>efUK*n»
(R)
1 . 1 -Dim* thyHiyoV«nn«
2,4-DKnethylptwnol
OinMlfiyl pMhalite
Oinwmyt sulfal*
2.4-Oinrtrolokiane
2.6-0>(Wrotoluen«
Oi-n-octy< phthaUt*
1,4-DK»an«
1,2- Dtp^^^yoVazmo
Opfopytamin* (I)
Oi-N-propylnrtrosamine
Eltianal (I)
. Ethanamme. N-athyt-N-ratroso-
Elhan«, 1,2-dibromo-
Elhana. 1.1-dKhtoro-
Elhan*. 1.2-dKNoro-
1.2-EtXwwdiylbncarbanxxJiinKiic acid
Elharxt. 1.1.1,2.2.2-he«ch)oro-
Elhan*. 1.1'-[nwttiylwiebiscart>an»c acid)
. Elytone dibromda
. Ethylan* dichkxide
Ethlen* Quid* (I.T)
Elhytena thnurea
Elhyl *th«f (I)
Ethylidena dichkxide
Elhylm*lhacn/lal*
Ethyl m*lnan*sullonala
U139
U120
UI22
U123
U124
UI25
U147 .
U213.
U125
U124
U20«..
U128
UI83.
U127
U128
U129
U130
U131...
U132
U243
UI33
uoea.
U098
U099
U109
U134
U134
U135
U096
UI36
U1I6
UI37
U139
U140
U141
U142.
U143
U144
U145.
U146.
U129
U147.
U148
U149.
U150
U15I .
U1S2
U092..
U029..
U045...
UO48...
U068.
U060...
U075..
UI38.,
U119...
U2I1..
U121.
U153..
U225.
U044
U121
U123
U036
UIS4
UI55.
U247
U1&4
U029
U186
U045
F*mc daxtran
Fboranttwn*
Fcxmaktohyd*
Forme aod (C.T)
Furan (I)
2-Furanca(tx»ak»>hyd* (I)
2,5-FuranoVxi*
Furan. Mlrahydro- (>)
Furfural (I)
Furturan (I)
D-Glucopy»no»». 2^l*oiry-2(3-malhyl-3-ni-
trosouraido)-
Glyadyta!d*nyd*
Guamdvi*. N-nrtro«o-N-m*thyl-N'nitro-
HoacnkxotMnnn*
Htnacnkxobutadwn*
H*Mchkxocyckxi**an* (gamma isomer)
HaucnkxocydopvnladMn*
M*xachloro*triana
H*
-------
CHECKLIST I B (continued)
FEDERAL REQUIREMENT
toxic wastes
RCRA CITE
261.33(f)
STATE AUTHORITY
STATUTE REGULATION
(continued)
IF DIFFERENT FROM FEDERAL
REQUIREMENT, EXPLAIN
Hazardous
Waste Mo
Substance
U15«
U226
U157
U158
U132
UO68
UOOQ
U122
U15»
U160
UI38
UKI
U162
UI63
U161
U164
U010
UO5»
U165
U047
UI66
U236
Methyl chkxocarbonale (I.T)
Methytehlorolorm
3-Methylcholanlhrena
. 4.4'-Methy(enebi«(2-Chloroan*ne)
2.2'-Melhylenebi«<3.4.8-lnchloroprMnol)
. Methylene bromide
Methytene chtonde
Methylene oxide
Methyl ethyl ketone (I.T)
. Methyl ethyl ketone peroxide (R.T)
. Methyl iodide
. Methyl bobutyl kelone (I)
. Methyl methacrytate (I.T)
. N-MetrV-N'-ntro-N-ratroaoguandine
. 4-Methyt-2-pentanone (I)
. MethyttNouradl
,. Mitomyon C
. s;i2-NaphmacenedK>nii. (8S-cn)-8-acetyl-
10-((3-amino-2.3.8-lndeoiry-alpha-l.-ty«o-
he>opyranoeyl)o>yl)-7,8.9,<0-letranydro-
8.8.11-lnhydro>y.1-methoiy-
. Naphthalene
. Naphthalene. 2-cNoro-
. l.4^4aphlhalenedone
.. 2.7-Naphrhalenediturlonx: add. 3.3 .((3.3'.
dmethyl-( 1.1 -bvhenyO-4.4'4y!)) -ba
(azo)bi»(S-arr«no-4-hydroxy)-.tetrasodium
salt
. 1.4.Naphlhaqi«none
1-Naphthylamine
2-Naphthylamina
. alpha-Naphlhylamine
beta-Naphdiylamine
2-Naphthylamine. N.N'-o>s(2-cnkxo-
Nitrotwnzen* (I.T)
2-Nrtropropane (I)
N-Nitro«odi-n-t>utyhydro-. and* 2-
U11S ...................... Ourane (I.T)
UO41 .................... Onkaiw, 2-y<)-
U182 ..................... P«r«kWtyde
U183 ...................... PmUcNorobenzww
U1«4 ........... ... ..... PmtacNonxttiww'
U18S ...................... Plorop»i9nol
U186 ................... 1.3-PenUdwn«(l)
U187 ............ PtwnwMtn
U18« ................... Ph«ool
U048 ..................... PTwoot. 2-cfttoco-
U039..._ ................. Plwnol. 4-chloro3-iMmy4-
U081 .................... Phtnol. 2.4-
U230 ......... Phenol. 2.4,5-(rtcftloTO-
U231 . . .. Phenol. 2.4.8-tneNoro-
U137 .............. 1,t(H1.2-pneny*ene)pyrane
U145 ............... Pho«phonc mod, (.ttd ult
Hazardous
Wane No
U087
UI69
U190
UI91
U192
U104 .
U110 .
U066
um .
U17t....
O027 .
UI9T. .
U235. .
U12«
UI40. .
UOO2 .
U007..
UO84 .
U243...
UO09....
U152..
uooe
U113....
UI18 .
U162
U233.
U1»4 ..
U063
U196
UI55 ..
U178
U191
U164 ..
U180 .
U200..
U20I ...
U202...
U203....
U204...
U204.
U205....
U015....
U233...
uoea...
U206...
U135...
U103
U189 ..
U2O5..
U232...
U207...
U208...
U208.-
U210...
U212..
U213 ..
U2t4..
U215...
U218...
U217 ..
U218-.
U153..
U219
U244
U220.
U221
U223
U222...
U01I
Wule No
PNxplxxodilNoic Kid. 0.0-dwlhyl-. S-
Phoiphoroul Kjlfide (R)
Phttiabc anhydnde
2-Picotne
Pronamde
t-Propenwnne (I.T)
1-Propenanvne. N-propyl- (I)
Piopene. U-dibromo-3-chkxo-
PropenedMHtnle
Propene. 2-ntro- (I)
Propane. 2.2'oiyOt»(2-cNoro-
1-Propanol. 2.3-ditxomo-. pnoiphate (3:1)
l-Propenol. 2.3-epo>y-
1-Ptopanol. 2-oemane
U228. . Tnchloroelhene
U228 . Tnchloroethylene
U121 TnChloromonofVxxomethane
U230 2.4.5-Tncnloropnenol
U231 .. 2.4.S-TncNoropnenol
U232. 2.4>TncMoropheno>Yacelic acxl
U234 tym-Trmrtroberuene (R.T)
UI82 1.3>Tnoxane. 2.4.&-tnmethyl-
UZ3S. . .. Tri»(2.3-o*romopropyl) phosphate
U23« Trypanblue
U237 - Uraol. 5[hi»(2^*loromethyf)amino)-
U237 Uraol mualard
UO43 . Vmyl cnlonoe
U239 Xytene (I)
U200 Yofwnban-lfJ-cartwryk; aod. 11.17-oV
methoiy-18-((3,4,5-mmetnoxy-
benzoyOoxy]-, methyl ester.
Pyndme. 2-C(2^dlmethylamlno)-2.thenyla
mmo]-
. Pyndme. hexahydro-N-nrtro*o-
PynoVie. 2-m«thyt-
4(1H)-Pynrracknone.
2-ttwmo-
Pyrrote. tetrahydro-N-nrtro«o-
. Reserpne
Rewrcmof
Saccharin and uRi
Satrole
Sefenousaod
. Selenwrn dioxide
. Setonun oHulfidfl (R.T)
L-Serine. diazoaceUle (ever)
. 4.4-^M>enediol. alphiualpna'-dMthyl.
. SoMur hydride
Sortunc add. dnwthyl etter
. Sulfur phosphide (R)
. SuHur telenlde (R.T)
. 2.4.5-T
. 1^.4.5-Tetrechlorobenzene
. t.l.U.TetrKNoroemarw
. I.tii-Tetracfuoroemarn
2.3.4,6-TetracNorophoool
Tetrahydrofuran 0)
. ThalkumO) aceUle
. ThaJhunXI) carbonate
. ThaJhjmO) cnkxide
. Thehumll) nitrate
. Thuacetaniide
. TTnornethinol (t.T)
Thiourae
Thiram
Toluene
. Tokjeneotanne
. Toluane dnocyanate (R.T)
. 0-ToUdkie hydrochkxide
1H-1.2.4-Trltux>l-3-amlne
A-13
-------
CHECKLIST I C
CHARACTERISTICS
FEDERAL REQUIREMENT
RCRA CITE
STATE AUTHORITY
STATUTE REGULATION
IF DIFFERENT FROM FEDERAL
REQUIREMENT, EXPLAIN
SUBPART C - CHARACTERISTICS OF HAZARDOUS WASTE
CHARACTERISTIC OF IGNITABILITY
liquid/flash point less
than 60°C.
non-liquid/burns under
standard temperature
and pressure
igni table compressed gas
oxidizer
EPA number D001
261.21(a)(l)
261.21(a)(2)
261.21(a)(3)
261.21(a)(4)
261. 21(b)
CHRACTERISTIC OF CORROSIVITY
aqueous/ph < 2 or > 12.5
liquid/corrodes steel
EPA number D002
261.22(a)(l)
261.22(a)(2)
261.22(b)
CHARACTERISTIC OF REACTIVITY
unstable/violent change
reacts violently
with water
potentially explosive
generates toxic gases
cyanide or sulfide bear-
ing/generates toxicgases
detonation/explosion,
if heated
detonati on/expl osi on
at STP
forbidden explosive
EPA number D003
261.23(a)(l)
261.23(a)(2)
261.23(a)(3)
261.23(a)(4)
261.23(a)(5)
261.23(a)(6)
261.23(a)(7)
261.23(a)(8)
261.23(b)
CHARACTERISTIC OF EP TOXICITY
test critieria and
waste list
EPA numbers
261.24(a)
261.24(b)
A-14
-------
CHECKLIST II
GENERATOR REQUIREMENTS
FEDERAL REQUIREMENT
RCRA CITE
STATE AUTHORITY
STATUTE REGULATION
IF DIFFERENT FROM FEDERAL
REQUIREMENT, EXPLAIN
SUBPART A - GENERAL
PURPOSE, SCOPE, AND APPLICABILITY
on site generators
Importer
farmer's requirements
Compliance requirements
and penalties
Initiators of shipment
262.10(b)
262.10(c)
262.10(d)
262.10(e)
262.10(f)
HAZARDOUS WASTE DETERMINATION
Excluded under 261.4
listed in Subpart D,
Part 261
identified in Subpart
C, Part 261
testing
characteristics
262.11(a)
262. ll(b)
262.11(c)
262.11(c)(l)
262.11(c)(2)
EPA IDENTIFICATION NUMBERS
number required
application
offers prohibited
262.12(a)
262.12(b)
262.12(c)
SUBPART B - THE MANIFEST
GENERAL REQUIREMENTS
off-site transportation
262.20(a)
A-15
-------
CHECKLIST II (continued)
FEDERAL REQUIREMENT
facility
alternate
failure to deliver
RCRA CITE
262.20(b)
262.20(c)
262.20(d)
STATE AUTHORITY
STATUTE REGULATION
IF DIFFERENT FROM FEDERAL
REQUIREMENT, EXPLAIN
REQUIRED INFORMATION
document number
name, address, phone
number, EPA I.D. number
name, I.D. number of
transporter
name, address, I.D.
number of Facilities
description per
49 CFR 172
quantity, type, number
certification
262.21(a)(l)
262.21(a)(2)
262.21(a)(3)
262.21(a)(4)
262.21(a)(5)
262.21(a)(6)
262. 21(b)
NUMBER OF COPIES
file Copies
262.22
1
USE OF THE MANIFEST
generators duties
generators signature
transporter signature/
date
retain copy
copies to transporter
shipment by water
shipment by railroad
262.23(a)
262.23(a)(l)
262.23(a)(2)
262.23(a)(3)
262.23(b)
262.23(c)
262.23(d)
SUBPART C - PRE-TRANSPORT REQUIREMENTS
PACKAGING
generator's duty
262.30
A-16
-------
CHECKLIST II (continued)
FEDERAL REQUIREMENT
RCRA CITE
STATE AUTHORITY
STATUTE REGULATION
IF DIFFERENT FROM FEDERAL
REQUIREMENT, EXPLAIN
LABELING
generator's duty
262.31
MARKING
package
container
262.32(a)
262.32(b)
PLACARDING
generator's duty
262.33
ACCUMULATION TIME
90 days without a
permit provided that
containers
dated
labeled
compliance with 265
criteria for extension
when stored over
90 days
262.34(a)
262.34(a)(l)
262.34(a)(2)
262.34(a)(3)
262.34(a)(4)
262.34(5)
SUBPART D - RECORDKEEPING AND REPORTING
RECORDKEEPING
copies retained
biennial report and
exception report
test results and
analyses
automatic extension
262.40(a)
262.40(b)
262.40(c)
262.40(d)
BIENNIAL REPORTING
off-site shipper
on-site handler
262.41(a)
262. 41(b)
A-17
-------
CHECKLIST II (continued)
FEDERAL REQUIREMENT
RCRA CITE
STATE AUTHORITY
STATUTE REGULATION
IF DIFFERENT FROM FEDERAL
REQUIREMENT, EXPLAIN
EXCEPTION REPORTING
copy of manifest not
received/35 days
exception report/
45 days
copy of manifest
letter
262.42(a)
262.42(b)
262.42(b)(l)
262.42(b)(2)
ADDITIONAL REPORTING
quantity and disposition
262.43
SUBPART E - SPECIAL CONDITIONS
INTERNATIONAL SHIPMENTS
requirements for
importers or exporters
exporters duties
contents of written
notice to Director
confirm delivery
exceptions to meeting
manifest requirements
exception report
critiera
exception to manifest
for importers
262.50(a)
262.50(b)
262.50(b)(l)
262.50(b)(2)
262.50(b)(3)
262.50(c)
262.50(d)
FARMERS
pesticide container
262.51
A-18
-------
CHECKLIST III
TRANSPORTER REQUIREMENTS
FEDERAL REQUIREMENT
RCRA CITE
STATE AUTHORITY
STATUTE REGULATION
IF DIFFERENT FROM FEDERAL
REQUIREMENT, EXPLAIN
SUBPART A - GENERAL
SCOPE
transportation standards
on-site transportation
excluded
other regulations
applicable
importers of waste
mixers of waste
263.10(a)
263.10(b)
263.10(c)
263.10(c)(l)
263.10(c)(2)
EPA IDENTIFICATION NUMBER
number required
application
263.11(a)
263. ll(b)
TRANSFER FACILITY REQUIREMENTS
exception
263.12
SUBPART B - COMPLIANCE WITH THE MANIFEST SYSTEM AND RECORDKEEPING
MANIFEST SYSTEM
manifest required
signature and date
accompanies waste
delivery to another
transporters
water shipments
delivered by water
shipping paper
signature of owner
signature of
transporter
copies retained
263.20(a)
263.20(b)
263.20(c)
263.20(d)
263.20(e)
263.20(e)(l)
263.20(e)(2)
263.20(e)(3)
263.20(e)(4)
263.20(e)(5)
A-19
-------
CHECKLIST III (continued)
FEDERAL REQUIREMENT
rail shipments
initial rail
transporter
shipping paper
delivery to facility
delivery to non-rail
transporter
acceptance from rail
transporter
exporters
date
signature
return copy
RCRA CITE
263.20(f)
263.20(f)(l)
263.20(f)(2)
263.20(f)(3)
263.20(f)(4)
263.20(f)(5)
263.20(g)
263.20(g)(l)
263.20(g)(2)
263.20(g)(3)
STATE AUTHORITY
STATUTE REGULATION
IF DIFFERENT FROM FEDERAL
REQUIREMENT, EXPLAIN
COMPLIANCE WITH MANIFEST
quantity
designated facility
alternate facility
transporter
place outside U.S.
inability to deliver/
revision of manifest
263.21(a)
263.21(a)(l)
263.21(a)(2)
263.21(a)(3)
263.21(a)(4)
263. 21(b)
RECORDKEEPING
retain copies
water transporter
rail transporter
exporter
automatic extension
263.22(a)
263.22(b)
263.22(c)
263.22(d)
263.22(e)
A-20
-------
CHECKLIST III (continued)
FEDERAL REQUIREMENT
RCRA CITE
STATE AUTHORITY
STATUTE REGULATION
IF DIFFERENT FROM FEDERAL
REQUIREMENT, EXPLAIN
SUBPART C - HAZARDOUS WASTE DISCHARGES
IMMEDIATE ACTION
transporter action
removal /authorization
by official
duties of transporter
notice
report
water transporter
263.30(a)
263.30(b)
263.30(c)
263.30(c)(l)
263.30(c)(2)
263.30(d)
DISCHARGE CLEAN-UP
transporter duty
263.31
A-21
-------
CHECKLIST IV A
FACILITY REQUIREMENTS
FEDERAL REQUIREMENT
RCRA CITE
STATE AUTHORITY
STATUTE REGULATION
IF DIFFERENT FROM FEDERAL
REQUIREMENT, EXPLAIN
SUBPART A - GENERAL
APPLICABILITY
all o and o of TSDFs
with exceptions
ocean disposal/
permit by rule
UK/permit by rule
POTW/permit by rule
post authorization
rule making
exceptions
264. l(b)
264. l(c)
264. l(d)
264. l(e)
264. l(f)
264.1(g)
SUBPART B - GENERAL FACILITY STANDARDS
IDENTIFICATION NUMBER
EPA number required
264.11
NOTICES
hazardous waste from
foreign source
hazardous waste from
off-site source
new o/o
264.12(a)
264.12(b)
264.12(c)
GENERAL WASTE ANALYSIS
waste analysis
waste analysis plan
off-site facility
waste analysis plan
264.13(a)
264.13(b)
264.13(c)
SECURITY
entry
surveillance
barrier and control
sign
264. 14(a)
264.14(b)(l)
264.14(b)(2)
264.14(c)
A-22
-------
CHECKLIST IV A (continued)
FEDERAL REQUIREMENT
RCRA CITE
STATE AUTHORITY
STATUTE REGULATION
IF DIFFERENT FROM FEDERAL
REQUIREMENT, EXPLAIN
GENERAL INSPECTION REQUIREMENTS
inspections
schedule
remedies
recordkeeping
264.15(a)
264.15(b)
264.15(c)
264.15(d)
PERSONNEL TRAINING
training
timing of instruction
annual review
recordkeeping
training records
264.16(a)
264.16(b)
264.16(c)
264.16(d)
264.16(e)
GENERAL REQUIREMENTS FOR IGNITABLE, REACTIVE, OR INCOMPATIBLE WASTES
precautions
264.17
LOCATION STANDARDS
seismic
floodplains (applicable
only to subparts I, J,
K, L, & 0)
264.18(a)
264.18(b)
SUBPART C - PREPAREDNESS AND PREVENTION
DESIGN AND OPERATION OF FACILITY
requirements
264.31
REQUIRED EQUIPMENT
internal communications
or alarm
telephone or equivalent
fire extinguisher
water
264.32(a)
264.32(b)
264.32(c)
264.32(d)
A-23
-------
CHECKLIST IV A (continued)
FEDERAL REQUIREMENT
RCRA CITE
STATE AUTHORITY
STATUTE REGULATION
IF DIFFERENT FROM FEDERAL
REQUIREMENT, EXPLAIN
TESTING AND MAINTENANCE OF EQUIPMENT
assurance
264.33
ACCESS TO COMMUNICATIONS OR ALARM SYSTEM
handling hazardous
waste
one employee only
264.34(a)
264.34(b)
REQUIRED AISLE SPACE
requirement
264.35
ARRANGEMENTS WITH LOCAL AUTHORITIES
arrangements
document refusals
264.37(a)
264.37(b)
SUBPART D - CONTINGENCY PLAN AND EMERGENCY PROCEDURES
PURPOSE AND IMPLEMENTATION OF CONTINGENCY PLAN
purpose
implementation
264.51(a)
264.51(b)
CONTENT OF CONTINGENCY PLAN
actions to take
SPCC
local police etc.
names and addresses
emergency equipment
evacuation
264.52(a)
264.52(b)
264.52(c)
264.52(d)
264.52(e)
264.52(f)
COPIES OF CONTINGENCY PLAN
facility
local police etc.
264.53(a)
264.53(b)
A-24
-------
CHECKLIST IV A (continued)
FEDERAL REQUIREMENT
RCRA CITE
STATE AUTHORITY
STATUTE REGULATION
IF DIFFERENT FROM FEDERAL
REQUIREMENT, EXPLAIN
AMENDMENT OF CONTINGENCY PLAN
facility permit
revision
plan failure
facility change
list of coordinator
change
list of equipment
change
264.54(a)
264.54(b)
264.54(c)
264.54(d)
264.54(e)
EMERGENCY COORDINATOR
duties
264.55
EMERGENCY PROCEDURES
procedures
release, fire, explosion
hazard assessment
reporting
measures during
emergency
stop operation
procedures
post-emergency TSD
procedures after
emergency
notifications
operation record
264.56(a)
264.56(b)
264.56(c)
264.56(d)
264. 56(e)
264.56(f)
264.56(g)
264.56(h)
264.56(i)
264.56(j)
SUBPART E - MANIFEST SYSTEM, RECORDKEEPING, AND REPORTING
APPLICABILITY
both on & off-site
facilities. §71, 72 &
76 do not apply to o/o
of on-site facilities
that do not receive
from off- site
264.70
A-25
-------
CHECKLIST IV A (continued)
FEDERAL REQUIREMENT
RCRA CITE
STATE AUTHORITY
STATUTE REGULATION
IF DIFFERENT FROM FEDERAL
REQUIREMENT, EXPLAIN
USE OF MANIFEST SYSTEM
waste accompanied
by manifest
waste accompanied by
shipping paper
264.71(a)
264.71(b)
MANIFEST DISCREPANCIES
definitions
action on discovery
264.72(a)
264.72(b)
OPERATING RECORD
record
information
AVAILABILITY, RETENTION,
availability
retention period
copies
264.73(a)
264.73(b)
DISPOSITION OF RECORDS
264.74(a)
264.74(b)
264.74(c)
BIENNIAL REPORT
report requirements
264.75
UNMANIFESTED WASTE REPORT
report requirements
264.76
ADDITIONAL REPORTS
fires, explosions
facility closure
264.77(a)
264.77(c)
SUBPART F - GROUNDWATER PROTECTION
APPLICABILITY
TSD in SI, WP,
LT or LF
264.90(a)
A-26
-------
CHECKLIST IV A (continued)
FEDERAL REQUIREMENT
exemptions
time period
RCRA CITE
264.90(b)
264.90(c)
STATE AUTHORITY
STATUTE REGULATION
IF DIFFERENT FROM FEDERAL
REQUIREMENT, EXPLAIN
REQUIRED PROGRAMS
detection monitoring,
compliance monitoring,
correction action
specified in permit
264.91(a)
264.91(b)
GROUNDWATER PROTECTION STANDARD
owner must comply
264.92
HAZARDOUS CONSTITUENTS
specified in permit
exemption considerations
other considerations
264.93(a)
264.93(b)
264.93(c)
CONCENTRATION LIMITS
specified in permit
factors for setting
alternate limits
must consider 122.35
264.94(a)
264.94(b)
264.94(c)
POINT OF COMPLIANCE
specified in permit
definition of waste
management area
264.95(a)
264.95(b)
COMPLIANCE PERIOD
specified in permit
beginning
end
264.96(a)
264.96(b)
264.96(c)
A-27
-------
CHECKLIST IV A (continued)
FEDERAL REQUIREMENT
RCRA CITE
STATE AUTHORITY
STATUTE REGULATION
IF DIFFERENT FROM FEDERAL
REQUIREMENT, EXPLAIN
GENERAL GROUND-WATER MONITORING REQUIREMENTS
wells
multiple units
well casing
consistency
appropriateness and
accuracy
groundwater surface
elev.
background quality
statistical procedure
264.97(a)
264.97(b)
264.97(c)
264.97(d)
264.97(e)
264.97(f)
264.97(g)
264.97(h)
DETECTION MONITORING PROGRAM
parameters specified
in permit
owner must have
ground water monitor
system
background values
specifed in permit
owner must determine
ground water quality
owner must determine
flow rate
owner must meet
264.97(d) & (e)
owner must determine in-
crease over background
actions when increase
occurs
demonstration - increase
from other source
permit modifications
owner must assure
compliance
264.98(a)
264.98(b)
264.98(c)
264.98(d)
264.98(e)
264.98(f)
264.98(g)
264.98(h)
264.98(i)
264.98(j)
264.98(k)
COMPLIANCE MONITORING PRC
standard specified
in permit
IGRAM
264.99(a)
A-28
-------
CHECKLIST IV A (continued)
FEDERAL REQUIREMENT
system must comply
concentration limits
specified in permit
concentration will
be determined
flow rate will
be determined
samples must be
analyzed
procedures for sampling
action when
standards exceeded
demonstration increase
due to other sources
permit modification
compliance must be
assured
RCRA CITE
264.99(b)
264.99(c)
264.99(d)
264.99(e)
264.99(f)
264.99(g)
264.99(i)
264.99(j)
264.99(k)
264.99(1)
STATE AUTHORITY
STATUTE REGULATION
IF DIFFERENT FROM FEDERAL
REQUIREMENT, EXPLAIN
CORRECTIVE ACTION PROGRAM
standards set in permit
specific measures set
in permit
permit states time
to begin correction
groundwater monitoring
in corrective action
other corrective actions
period of corrective
action
written notification
permit modification
264.100(a)
264.100(b)
264.100(c)
264.100(d)
264.100(e)
264.100(f)
264.100(0.)
264.100(h)
SUBPART G - CLOSURE AND POST-CLOSURE
APPLICABILITY
closure of al 1
facilities
post-closure of all
disposal and some other
facilities
264.110(a)
264.110(b)
A-29
-------
CHECKLIST IV A (continued)
FEDERAL REQUIREMENT
RCRA CITE
STATE AUTHORITY
STATUTE REGULATION
IF DIFFERENT FROM FEDERAL
REQUIREMENT, EXPLAIN
CLOSURE PERFORMANCE STANDARD
minimizes maintenance
controls, minimizes
post-closure escape
264.111(a)
264.111(b)
CLOSURE PLAN; AMENDMENT OF PLAN
written plan required
describes how and when
facility will be closed
estimates maximum
waste inventory
describes steps to
decontaminate equipment
estimates schedule
of closure
amendment
notification prior to
closure start
264.112(3)
264.112(a)(l)
264.112(a)(2)
^264.112(a)(3)
264.112(a)(4)
264.112(b)
264.112(c)
CLOSURE: TIME ALLOWED FOR CLOSURE
treat final volume with-
in 90 days or meet cri-
teria for longer period
complete closure within
180 days or meet cri-
teria for longer period
264.113(a)
264.113(5)
DISPOSAL OR DECONTAMINATION OF EQUIPMENT
requirement
at
closure
264.
114
CERTIFICATION OF CLOSURE
requirement
at
closure
264.
115
POST-CLOSURE CARE AND USE OF PROPERTY
continue care 30 years
reduction or extension
of care period
security requirements
pjjst closure use limits
activities in accord
with plan
264.117(a)(l)
264.117(a)(2)
264.117(b)
264.117(c)
264.117(d)
A-30
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CHECKLIST IV A (continued)
FEDERAL REQUIREMENT
RCRA CITE
STATE AUTHORITY
STATUTE REGULATION
IF DIFFERENT FROM FEDERAL
REQUIREMENT, EXPLAIN
POST-CLOSURE PLAN: AMENDMENT OF PLAN
written plan and
specified activities
required
amendment
permit modification
timing
264.118(a)
264.118(b)
264.118(c)
NOTICE TO LOCAL LAND AUTHORITY
survey plat
264.119
NOTICE IN DEED TO PROPERTY
requirement to enter
note on deed
conditions for
removal of notation
264.120(a)
264.120(b)
SUBPART H - FINANCIAL REQUIREMENTS
APPLICABILITY
to all HWM facilities
to specified facilities
only
Stste exemption
264.140(3)
264.140(b)
,264.140(c)
DEFINITIONS
closure plan
current closure cost
estimate
current post-closure
cost estimate
psrent corporation
post-closure plan
terms used in
financial tests
terms used in
liability requirements
264.141(3)
264.141(b)
264.141(c)
264.141(d)
264.141(e)
264.141(f)
264.141(g)
A-31
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CHECKLIST IV A (continued)
FEDERAL REQUIREMENT
RCRA CITE
STATE AUTHORITY
STATUTE REGULATION
IF DIFFERENT FROM FEDERAL
REQUIREMENT, EXPLAIN
COST ESTIMATE FOR CLOSURE
o/o must have
adjust for inflation
revise when closure
plan changes
keep at the facility
264.142(a)
264.142(b)
264.142(c)
264.142(d)
FINANCIAL ASSURANCE FOR CLOSURE
options: closure
trust fund
surety bond guaranteeing
payment into a closure
trust fund
surety bond guaranteeing
performance of closure
closure letter of
credit
closure insurance
financial test and cor-
porate guarantee for
closure
use of multiple
financial mechanisms
use of a financial
mechanism for multiple
facilities
release of the o/o from
the requirements of
this section
264.143(a)
264.143(b)
264.143(c)
264.143(d)
264.143(e)
264.143(f)
264.143(g)
264.143(h)
264.143(i)
COST ESTIMATE FOR POST-C
annual cost of post-
closure monitoring
and maintenance
adjust for inflation
revise when post
closure plan changes
keep at facility
.OSURE CARE
264.144(a)
264.144(b)
264.144(c)
264.144(d)
A-32
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CHECKLIST IV A (continued)
FEDERAL REQUIREMENT
RCRA CITE
STATE AUTHORITY
STATUTE REGULATION
IF DIFFERENT FROM FEDERAL
REQUIREMENT, EXPLAIN
FINANCIAL ASSURANCE FOR POST-CLOSURE CARE
options:
post closure trust fund
surety bond guarantee-
ing payment into a
post-closure trust fund
surety bond guarantee-
ing performance of
post-closure care
post-closure letter
of credit
post-closure insurance
financial test and cor-
porate guarantee for
post-closure care
use of multiple
financial mechanisms
use of a financial
mechanism for multiple
facilities
release of the o/o from
the requirements of
this section
264.145(a)
264.145(b)
264.145(c)
264.145(d)
264.145(e)
264.145(f)
264.145(g)
264.145(h)
264.145(1)
USE OF A MECHANISM FOR FINANCIAL ASSURANCE OF BOTH CLOSURE AND POST-CLOSURE CARE
funds must be equal to
sum if separate mechan-
isms are used
264.146
LIABILITY REQUIREMENTS
coverage for sudden
accidental occurrences
coverage for nonsudden
accidental occurrences
request for variance
adjustments by the
Director
period of coverage
financial test for
liability coverage
264.147(a)
264.147(b)
264.147(c)
264.147(d)
264.147(e)
264.147(f)
A-33
-------
CHECKLIST IV A (continued)
FEDERAL REQUIREMENT
RCRA CITE
STATE AUTHORITY
STATUTE REGULATION
IF DIFFERENT FROM FEDERAL
REQUIREMENT, EXPLAIN
INCAPACITY OF 0/0, GUARANTORS, OR FINANCIAL INSTITUTIONS
incapacity of o/o or
guarantor
incapacity of financial
institution
264.148(a)
264.148(b)
WORDING OF THE INSTRUMENTS
trust agreement
financial guarantee
bond
performance bond
irrevocable standby
letter of credit
certificate of insur-
ance for closure or
post-closure care
letter from chief
financial officer
(financial assurance)
letter from chief
financial officer
(liability coverage)
corporate guarantee for
closure or post-closure
care
hazardous waste facility
liability endorsement
hazardous waste facility
certificate of liabil-
ity insurance
264.151(a)
264.151(b)
264.151(c)
264.151(d)
264.151(e)
264.151(f)
264.151(g)
264.151(h)
264.151(1)
264.15KJ)
A-34
-------
CHECKLIST IV A (continued)
FEDERAL REQUIREMENT
RCRA CITE
STATE AUTHORITY
STATUTE REGULATION
IF DIFFERENT
REQUIREMENT,
FROM FEDERAL
EXPLAIN
SUBPART I - USE AND MANAGEMENT OF CONTAINERS
APPLICABILITY
storage
264.170
CONDITION OF CONTAINERS
requirements when
containers bad
264.171
COMPATIBILITY OF WASTE WITH CONTAINERS
must be compatible
264.172
MANAGEMENT OF CONTAINERS
Keep closed
care in handling
264.173(a)
264.173(b)
INSPECTIONS
weekly
264.174
CONTAINMENT
requires a
containment system
system design and
operation requirements
exception
264.175(a)
264.175(b)
264.175(c)
SPECIAL REQUIREMENTS FOR I6NITABLE OR REACTIVE WASTE
Required distance from
property line |264.176
SPECIAL REQUIREMENTS FOR INCOMPATIBLE WASTES
not to be placed in
same container
Previously used
container
means of separation
264.177(a)
264.177(b)
264.177(c)
CLOSURE
residues must be
removed
264.178
A-35
-------
CHECKLIST IV A (continued)
FEDERAL REQUIREMENT
RCRA CITE
STATE AUTHORITY
STATUTE REGULATION
IF DIFFERENT FROM FEDERAL
REQUIREMENT, EXPLAIN
SUBPART J - TANKS
APPLICABILITY
applicability
exceptions
264.190(a)
264.190(b)
DESIGN OF TANKS
design requirements
264.191
GENERAL OPERATING REQUIREMENTS
tank - waste
compatibilrty
prevention of
overfill ing
264.192(a)
264.192(b)
INSPECTIONS
items to be inspected
schedule and procedure
contingency plan
264.194(a)
264.194(b)
264.194(c)
CLOSURE
closure requirements
264.197
SPECIAL REQUIREMENTS FOR IGNITABLE OR REACTIVE WASTES
limits/conditions for
storage in tanks
NFPA Requirements
264.198(a)
264.198(b)
SPECIAL REQUIREMENTS FOR INCOMPATIBLE WASTES
prohibitions in same
tank
prohibitions in unwashed
tank
264.199(a)
264.199(b)
A-36
-------
CHECKLIST IV A (continued)
FEDERAL REQUIREMENT
RCRA CITE
STATE AUTHORITY
STATUTE REGULATION
IF DIFFERENT FROM FEDERAL
REQUIREMENT, EXPLAIN
SUBPART K - SURFACE IMPOUNDMENTS
APPLICABILITY
apply to TSD facilities
264.220
DESIGN AND OPERATING REQUIREMENTS
for liner design,
construction and
instal lation
exemption consideration
to prevent overtopping
and malfunctions
for dike performance
specified in the permit
264.221(a)
264.221(b)
264.221(c)
264.221(d)
264.221(e)
DOUBLE-LINED SURFACE IMPOUNDMENTS; EXEMPTION FROM SUBPART
REQUIREMENTS
conditions for exemption
requirements if liquid
leaks into leak detec-
tion system
specified in the permit
264.222(a)
264.222(b)
264.222(c)
- GROUND-WATER PROTECTION
MONITORING AND INSPECTION
during construction and
installation
during operation
after extended inactive
periods
264.226(a)
264.226(b)
264.226(c)
EMERGENCY REPAIRS; CONTINGENCY PLANS
conditions for removal
from service
immediate actions on
removal from service
compliance procedure
put in contingency plan
conditions for restor-
ation of service
closure required if
not repaired
264.227(a)
264.227(b)
264.227(c)
264.227(d)
264.227(e)
A-37
-------
CHECKLIST IV A (continued)
FEDERAL REQUIREMENT
RCRA CITE
STATE AUTHORITY
STATUTE REGULATION
IF DIFFERENT FROM FEDERAL
REQUIREMENT, EXPLAIN
CLOSURE AND POST-CLOSURE CARE
closure requirements
post-closure
requirements
needed plans whenever
liner requirements are
not met
closure cost estimates
post-closure leak
notification
264.228(a)
264.228(b)
264.228(c)(l)
264.228(c)(2)
264.228(d)
SPECIAL REQUIREMENTS FOR IGNITABLE OR REACTIVE WASTE
waste treatment prior
to placement
prevention of reaction
by waste management
emergency placement
264.229(a)
264.229(b)
264.229(c)
SPECIAL REQUIREMENTS FOR INCOMPATIBLE WASTES
prohibited co-disposal
264.230
SUBPART L - WASTE PILES
APPLICABILITY
storage and treatment
facilities
closed piles with
waste in place
piles under a structure
264.250(a)
264.250(b)
264.250(c)
DESIGN AND OPERATING REQUIREMENTS
for liner and leachate
collection system
exemption criteria
run-on control
run-off management
collection & holding
264.251(a)
264.251(b)
264.251(c)
264.251(d)
264.251(e)
A-38
-------
CHECKLIST IV A (continued)
FEDERAL REQUIREMENT
wind dispersal
specified in permit
RCRA CITE
264.251(f)
264.251(q)
STATE AUTHORITY
[STATUTE REGULATION
IF DIFFERENT FROM FEDERAL
REQUIREMENT, EXPLAIN
DOUBLE-LINED PILES: EXEMPTION FROM SUBPART F GROUND-WATER,PROTECTION REQUIREMENTS
conditions for
exemptions
leak detection response
practices specified in
the permit
264.252(a)
264.252(b)
264.252(c)
INSPECTION OF LINERS: EXEMPTION FROM SUBPART F GROUND WATER PROTECTION REQUIREMENTS
conditions for
exemptions
leak detection response
permit specification
264.253(a)
264.253(b)
264.253(c)
MONITORING AND INSPECTION
during construction or
instal lation
during operation
264.254(a)
264.254(b)
SPECIAL REQUIREMENTS FOR IGNITABLE OR REACTIVE WASTE
treatment
protection by waste
management
264.256(a)
264.256(b)
SPECIAL REQUIREMENTS FOR INCOMPATIBLE WASTES
co-placement
prohibitions
waste separation
base decontam-
ination
264.257(a)
264.257(b)
264.257(c)
CLOSURE AND POST-CLOSURE CARE
closure requirements
post-closure care
needed plans whenever
liner requirements sre
not met
cost estimates
264.258(a)
264.258(b)
264.258(c)(l)
264."258(c)(2)
A-39
-------
CHECKLIST IV A (continued)
FEDERAL REQUIREMENT
RCRA CITE
STATE AUTHORITY
STATUTE REGULATION
IF DIFFERENT FROM FEDERAL
REQUIREMENT, EXPLAIN
SUBPART M - LAND TREATMENT
APPLICABILITY
treatment or disposal
facilities
264.270
TREATMENT PROGRAM
elements of the program
hazardous constituents
specified in the permit
treatment zone
dimensions specified
264.271(a)
264.271(b)
264.271(c)
TREATMENT DEMONSTRATION
treatment demonstration
required for each waste
acceptable evidence
field/lab test
requirements
264.272(a)
264.272(b)
264.272(c)
DESIGN AND OPERATING REQUIREMENTS
minimum requirements
specified in the permit
run-off control
run-on control
storn water run-off
management system
holding facilities
wind dispersal control
inspections
264.273(a)
264.273(b)
264.273(c)
264.273(d)
264.273(e)
264.273(f)
264.273(g)
FOOD-CHAIN CROPS
demonstration of no
health risk
demonstration timing
required evidence for
acceptable demonstration
demonstration permit
requirements if waste
contains cadmium
264.276(a)(l]
264.276(a)(2)
264.276(a)(3)
264.276(a)(4)
264.276(b)
A-40
-------
CHECKLIST IV A (continued)
FEDERAL REQUIREMENT
RCRA CITE
STATE AUTHORITY
STATUTE REGULATION
IF DIFFERENT FROM FEDERAL
REQUIREMENT, EXPLAIN
UNSATURATED ZONE MONITORING
monitoring for specific
constituents
monitoring system
details
background value needed
for each hazardous
constituent
test frequency and
timing
sampling and analysis
procedures
comparison with back-
ground values to
determine statistically
significant change
actions if significant
increase occurs
requirements for
demonstration that
owner not responsible
for increase
264.278(a)
264.278(b)
264.278(c)
264.278(d)
264.278(e)
264.278(f)
264.278(g)
264.278(h)
RECORDKEEPING
operating record to
include waste applica-
tion dates and rates
264.279
CLOSURE AND POST-CLOSURE CARE
closure care
closure certification
post-closure care
exemption
Subpart F exemption
264.280(a)
264.280(b)
264.280(c)
264.280(d)
264.280(e)
SPECIAL REQUIREMENTS FOR IGNITABLE OR REACTIVE WASTES
conditions for disposal
preventive management
264.281(a)
264.281(b)
SPECIAL REQUIREMENTS FOR INCOMPATIBLE WASTES
conditions for disposal
264.282
A-41
-------
CHECKLIST IV A (continued)
FEDERAL REQUIREMENT
RCRA CITE
STATE AUTHORITY
STATUTE REGULATION
IF DIFFERENT FROM FEDERAL
REQUIREMENT, EXPLAIN
SUBPART N - LANDFILLS
APPLICABILITY
disposal facilities
264.300
DESIGN AND OPERATING REQUIREMENTS
liner requirements
leachate collection &
removal system
exemption
considerations
run-on control
run-off management
holding facilities
management
wind dispersal
control
permit specifications
264.301(a)(i;
264.301(a)(2;
264.301(b)
264.301(c)
264.301(d)
264.301(e)
264.301(f)
264.301(g)
DOUBLE-LINED LANDFILLS: EXEMPTION FROM SUBPART F GROUND-WATER PROTECTION REQUIREMENTS
exemption conditions
actions required if
liquid leaks into
leak detection system
permit specifications
264.302(a)
264.302(b)
264.302(c)
MONITORING AND INSPECTION
during construction or
installation
during operation
264.303(a)
264.303(b)
SURVEYING AND RECORDKEEPING
location and dimensions
to be shown on maps
operating record to
record contents of cells
264.309(a)
264.309(b)
A-42
-------
CHECKLIST IV A (continued)
FEDERAL REQUIREMENT
RCRA CITE
STATE AUTHORITY
STATUTE REGULATION
IF DIFFERENT FROM FEDERAL
REQUIREMENT, EXPLAIN
CLOSURE AND POST-CLOSURE CARE
cover requirements
at final closure
moni tori ng/mai ntenance
in post-closure
notification of leakage
detection
264.310(a)
264.310(b)
264.310(c)
SPECIAL REQUIREMENTS FOR IGNITABLE OR REACTIVE WASTE
placement prohibited un-
less treated to remove
those characteristics
containerized wastes
264.312(a)
264.312(b)
SPECIAL REQUIREMENTS FOR INCOMPATIBLE WASTES
conditions for
Disposal
264.313
SPECIAL REQUIREMENTS FOR LIQUID WASTES
bulk liquid disposal
containerized liquid
disposal
SPECIAL REQUIREMENTS FOR
minimum 90% full; or
crushed
264.314(a)
264.314(b)
CONTAINERS
264.315(a)
264.315(b)
DISPOSAL OF SMALL CONTAINERS OF HAZARDOUS WASTE IN OVERPACKED DRUMS (LAB PACKS)
inside containers
(DOT)
DOT over oackaging
absorbent material
incompatible wastes
reactive wastes
264.316(a)
264.316(b)
264.316(c)
264.316(d)
264.316(e)
A-43
-------
CHECKLIST IV A (continued)
FEDERAL REQUIREMENT
RCRA CITE
STATE AUTHORITY
STATUTE REGULATION
IF DIFFERENT FROM FEDERAL
REQUIREMENT, EXPLAIN
SUBPART 0 - INCINERATORS
APPLICABILITY
exemptions
exemption for insigni-
fi cation concentrations
264.340(b)
264.340(c)
WASTE ANALYSIS
in trial burn plan
during normal operation
264.341(a)
264.341(b)
PRINCIPAL ORGANIC HAZARDOUS CONSTITUENTS (POHCs)
must be treated
basis for selection
in permit
designated in trial
burns
264.342(a)
264.342(b)(l]
264.342(b)(2)
PERFORMANCE STANDARDS
99.99% destruction
HC1 emission control
particulate emission
control
264.343(a)
264.343(b)
264.343(c)
HAZARDOUS WASTE INCINERATOR PERMITS
exemptions
permit modifications
permits for new
incinerators
264. 344(a)
264. 344(b)
264.344(c)
OPERATING REQUIREMENTS
specified in the permit
specify operating limits
for each waste feed
composition
start-up and shut-down
conditions
264.345(a)
264.345(b)
264.345(c)
A-44
-------
CHECKLIST IV A (continued)
FEDERAL REQUIREMENT
fugitive emissions
automatic cut-off
cessation of operation
RCRA CITE
264.345(d)
264.345(e)
264.345(f)
STATE AUTHORITY
STATUTE REGULATION
IF DIFFERENT FROM FEDERAL
REQUIREMENT, EXPLAIN
MONITORING AND INSPECTIONS
monitoring
daily inspections
weekly inspections
operating log
264.347(a)
264.347(b)
264.347(c)
264.347(d)
CLOSURE
remove residues
264.351
A-45
-------
CHECKLIST IV B
FACILITY INTERIM STATUS REQUIREMENTS
FEDERAL REQUIREMENT
RCRA CITE
STATE AUTHORITY
STATUTE REGULATION
IF DIFFERENT FROM FEDERAL
REQUIREMENT, EXPLAIN
SUBPART A - GENERAL
PURPOSE, SCOPE, AND APPLICABILITY
all o/o of TSDFs
with exceptions
persons to whom regs
do not apply
265. l(b)
265. l(c)
SUBPART B - GENERAL FACILITY STANDARDS
IDENTIFICATION NUMBER
EPA facility
number required
REQUIRED NOTICES
hazardous waste from
foreign source
new o/o
265.11
265.12(a)
265.12(b)
GENERAL WASTE ANALYSIS
needed before TSD
actions
may come from existing
sources
must be current and
accurate
off-site o/o duty
waste analysis plan
off- site facility
waste analysis plan
265.13(a)(l)
265.13(a)(2)
265.13(a)(3)
263.13(a)(4)
265.13(b)
265.13(c)
SECURITY
limited entry with
exemptions
surveillance, or barrier
and controlled entry
signs
265.14(a)
265.14(b)
265.14(c)
A-46
-------
CHECKLIST IV B (continued)
FEDERAL REQUIREMENT
RCRA CITE
STATE AUTHORITY
STATUTE REGULATION
IF DIFFERENT FROM FEDERAL
REQUIREMENT, EXPLAIN
GENERAL INSPECTION REQUIREMENTS
inspections by o/o
written schedule
remedies
recordkeeping
265.15(a)
265.15(b)
265.15(c)
265.15(d)
PERSONNEL TRAINING
classroom or on-the-job
qualified instructors
emergency response
timing of instruction
annual review
recordkeeping
records retention
265.16(a)(l)
265.16(a)(2)
265.16(a)(3)
265.16(b)
265.16(c)
265.16(d)
265.16(e)
GENERAL REQUIREMENTS FOR IGNITABLE, REACTIVE, OR INCOMPATIBLE WASTES
accident prevention
operational precautions
265.17(a)
265.17(b)
SUBPART C - PREPAREDNESS AND PREVENTION
MAINTENANCE AND OPERATION OF FACILITY
requirement
265.31
REQUIRED EQUIPMENT
alarm system
telephone or radio
fire, spill and decon-
tamination equipment
water
265.32(a)
265.32(b)
265.32(c)
265.32(d)
A-47
-------
CHECKLIST IV B (continued)
FEDERAL REQUIREMENT
RCRA CITE
STATE AUTHORITY
STATUTE REGULATION
IF DIFFERENT FROM FEDERAL
REQUIREMENT, EXPLAIN
TESTING AND MAINTENANCE OF EQUIPMENT
to
assurance
readiness
265.
33
ACCESS TO COMMUNICATIONS OR ALARM SYSTEM
when handling waste
one employee only
265.34(a)
265.34(b)
REQUIRED AISLE SPACE
must be maintained
265.35
ARRANGEMENTS WITH LOCAL AUTHORITIES
kinds to be tried
refusals: to be
documented
265.37(a)
265.37(b)
SUBPART D - CONTINGENCY PLAN AND EMERGENCY PROCEDURES
CONTENT OF CONTINGENCY PLAN
actions to take
SPCC
local arrangements
emergency coordinator
emergency equipment
evacuation plan
265.52(a)
265.52(b)
265.52(c)
265.52(d)
265.52(e)
265.52(f)
COPIES OF CONTINGENCY PLAN
kept at facility
sent to local police
etc.
265.53(a)
265.53(b)
AMENDMENT OF CONTINGENCY PLAN
revisions to
regulations
265.54(a)
A-48
-------
CHECKLIST IV B (continued)
FEDERAL REQUIREMENT
plan failure
facility changes
list of coordinators
changes
list of equipment
changes
RCRA CITE
265.54(b)
265.54(c)
265.54(d)
265.54(e)
STATE AUTHORITY
STATUTE REGULATION
IF DIFFERENT FROM FEDERAL
REQUIREMENT, EXPLAIN
EMERGENCY COORDINATOR
duties
265.55
EMERGENCY PROCEDURES
given alerts
identify source
assess the hazard
report the findings
take emergency measures
monitor stopped
operation
clean up after
emergency
prepare to resume
operations
notify authorities
record event and submit
written report
265.56(a)
265.56(b)
265.56(c)
265.56(d)
265.56(e)
265.56(f)
265.56(g)
265.56(h)
265.56(i)
265.56U)
SUBPART E - MANIFEST SYSTEM, RECORDKEEPING, AND REPORTING
APPLICABILITY
264.71, 72, 76 not
applicable to o/o of
on-site facilities
that do not receive
waste from off- site
sources
265.70
USE OF MANIFEST SYSTEM
duties when waste comes
with manifest
duties when waste comes
with shipping paper
265.71(a)
265.71(b)
A-49
-------
CHECKLIST IV B (continued)
FEDERAL REQUIREMENT
duty under Part 262
RCRA CITE
265.71(c)
STATE AUTHORITY
STATUTE REGULATION
IF DIFFERENT FROM FEDERAL
REQUIREMENT, EXPLAIN
MANIFEST DISCREPANCIES
definition
o/o duties
265.72(a)
265.72(b)
OPERATING RECORD
keep at facility
information required
265.73(a)
265.73(b)
AVAILABILITY, RETENTION, AND DISPOSITION OF RECORDS
availability
retention
disposition
265.74(a)
265.74(b)
265.74(c)
BIENNIAL REPORT
facility identification
year
off-site sources
identified
description of wastes
received
method of TSD
monitoring data
cl osure/post-cl osure
cost estimates
certification
265.75(a)
265.75(b)
265.75(c)
265.75(d)
265.75(e)
265.75(f)
265.75(g)
265.75(h)
UNMANIFESTED WASTE REPORT
facility identification
data received
generator/transporter
identify
265.76(a)
265.76(b)
265.76(c)
A-50
-------
CHECKLIST IV B (continued)
FEDERAL REQUIREMENT
waste description
method of TSD
certification
explanation
RCRA CITE
265.76(d)
265.76(e)
265.76(f)
265.76(g)
STATE AUTHORITY
STATUTE REGULATION
IF DIFFERENT FROM FEDERAL
REQUIREMENT, EXPLAIN
ADDITIONAL REPORTS
releases
ground-water
contamination
facility closure
265.77(a)
265.77(b)
265.77(c)
SUBPART F - GROUND-WATER MONITORING
APPLICABILITY
facility types
monitoring system
requirements
waiver demonstration
alternate system
requirements
surface impoundment
waiver
265.90(a)
265.90(b)
265.90(c)
265.90(d)
265.90(e)
GROUND WATER MONITORING SYSTEM
monitoring system
capabil ities
separate systems
well casing
265.91(a)
265.91(b)
265.91(c)
SAMPLING AND ANALYSIS
requirements
parameters
background
265.92(a)
265.92(b)
265.92(c)
A-51
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CHECKLIST IV B (continued)
FEDERAL REQUIREMENT
frequency
surface elevation
RCRA CITE
265.92(d)
265.92(e)
STATE AUTHORITY
STATUTE REGULATION
IF DIFFERENT FROM FEDERAL
REQUIREMENT, EXPLAIN
PREPARATION, EVALUATION. AND RESPONSE
prepare GW quality
assessment program
outline
compare parameters
action at discovery of
increase (upgradient)
action at discovery of
increase (downgradient)
report if increase
confirmed downgradient
submit GW QA program
plan
plan contents
implement plan; deter-
mine extent of problem
timing and report of
determination
option if waste has
not entered GW
action if waste has
not entered GW
assessment completion
action upon GW surface
evaluations
265.93(a)
265.93(b)
265.93(c)(l)
265.93(c)(2)
265.93(d)(l)
265.93(d)(2)
265.93(d)(3)
265.93(d)(4)
265.93(d)(5)
265.93(d)(6)
265.93(d)(7)
265.93(e)
265.93(f)
RECORDSKEEPING AND REPORTING
if not monitored
per 265.93(d)(4)
if monitored per
265.93(d)(4)
265.94(a)
265.94(b)
SUBPART G - CLOSURE AND POST-CLOSURE
APPLICABILITY
management facilities
disposal facilities
265.110(a)
265.110(b)
A-52
-------
CHECKLIST IV B (continued)
FEDERAL REQUIREMENT
RCRA CITE
STATE AUTHORITY
STATUTE REGULATION
IF DIFFERENT
REQUIREMENT,
FROM FEDERAL
EXPLAIN
CLOSURE PERFORMANCE STANDARD
minimize maintenance
controls, minimizes,
eliminates escape
265.111(a)
265.111(b)
CLOSURE PLAN; AMENDMENT OF PLAN
written plan contents
amendment
submittal timing
public comment/hearing
265.112(a)
265.112(b)
265.112(c)
265.112(d)
CLOSURE; TIME ALLOWED FOR CLOSURE
time to dispose of
on site wastes
time to complete
closure
265.113(a)
265.113(b)
DISPOSAL OR DECONTAMINATION OF EQUIPMENT
requirement
265.114
CERTIFICATION OF CLOSURE
requirement
265.115
POST-CLOSURE CARE AND USE OF PROPERTY
length and minimum care
security requirements
limits on use of
property
activities must accord
with plan
265.117(a)
265.117(b)
265.117(c)
265.117(d)
POST-CLOSURE PLAN; AMENDMENT OF PLAN
contents of required
written plan
amendment/active life
time to submit plan
public comment/hearing
265.118(a)
265.118(b)
265.118(c)
265.118(d)
A-53
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CHECKLIST IV B (continued)
FEDERAL REQUIREMENT
amendment/post-cl osure
ways to modify plan
RCRA CITE
265.118(e)
265.118(f)
STATE AUTHORITY
STATUTE REGULATION
IF DIFFERENT FROM FEDERAL
REQUIREMENT, EXPLAIN
NOTICE TO LOCAL LAND AUTHORITY
survey plat timing
and contents
265.119
NOTICE IN DEED TO PROPERTY
requirement
265.120
SUBPART H - FINANCIAL REQUIREMENTS
APPLICABILITY
to all HWM facilities
to specified facil-
ities only
State exemption
265.140(a)
265.140(b)
265.140(c)
DEFINITIONS OF TERMS AS USED IN THIS SUBPART
closure plan
current closure cost
estimate
current post-closure
cost estimate
parent corporation
post-closure plan
terms used in
financial tests
terms used in
liability requirements
265.141(a)
265.141(b)
265.141(c)
265.141(d)
265.141(e)
265.141(f)
265.141(g)
COST ESTIMATE FOR CLOSURE
o/o must have
adjust for inflation
revise when closure
plan changes
keep at the facility
265.142(a)
265.142(b)
265.142(c)
265.142(d)
A-54
-------
CHECKLIST IV B (continued)
FEDERAL REQUIREMENT
RCRA CITE
STATE AUTHORITY
STATUTE REGULATION
IF DIFFERENT FROM FEDERAL
REQUIREMENT, EXPLAIN
FINANCIAL ASSURANCE FOR CLOSURE
options:
closure trust fund
surety bond guarantee-
ing payment into a
closure trust fund
closure letter of
credit
closure insurance
financial test and
corporate guarantee
for closure
use of multiple
financial mechanisms
use of a financial
mechanism for multi-
ple facilities
release of the o/o
from the requirement
of this section
265.143(a)
265.143(b)
265.143(c)
265.143(d)
265.143(e)
265.143(f)
265.143(g)
265.143(h)
COST ESTIMATE FOR POST-CLOSURE CARE
annual cost of post-
closure monitoring
and maintenance
adjust for inflation
revise when post-
closure plan changes
kept at facility
265.144(a)
265.144(b)
265.144(c)
265.144(d)
FINANCIAL ASSURANCE FOR POST-CLOSURE CARE
options a-e:
post-closure trust fund
surety bond guarantee-
ing payment into a
post-closure trust fund
post-closure letter
of credit
pjist-closure insurance
financial test and
corporate guarantee
for post-closure care
265.145(a)
265.145(b)
265.145(c)
,265.145(4)
265.145(e)
A-55
-------
CHECKLIST IV B (continued)
FEDERAL REQUIREMENT
use of multiple
financial mechanisms
use of a financial
mechanism for mul-
tiple facilities
release of o/o from
the requirements of
this section
RCRA CITE
265.145(f)
265.145(g)
265.140(h)
STATE AUTHORITY
STATUTE REGULATION
IF DIFFERENT FROM FEDERAL
REQUIREMENT, EXPLAIN
USE OF A MECHANISM FOR FINANCIAL ASSURANCE OF BOTH CLOSURE AND POST-CLOSURE CARE
funds must be equal
to sum if separate
mechanisms used
265.146(a)
LIABILITY REQUIREMENTS
coverage for sudden
accidental occurrences
coverage for non-sudden
accidental occurences
request for varience
adjustments by the
Director
period of coverage
financial test for
liability
endorsement/certificate
option expires 10/16/82
265.147(a)
265.147(b)
265.147(c)
265.147(d)
265.147(e)
265.147(f)
265.147(g)
N/A
INCAPACITY OF 0/0, GUARANTORS. OR FINANCIAL INSTITUTIONS
incapacity of o/o
or guarantor
incapacity of financial
institution
265.148(a)
265.148(b)
A-56
-------
CHECKLIST IV B (continued)
FEDERAL REQUIREMENT
RCRA CITE
STATE AUTHORITY
STATUTE REGULATION
IF DIFFERENT
REQUIREMENT,
FROM FEDERAL
EXPLAIN
SUBPART I - USE AND MANAGEMENT OF CONTAINERS
APPLICABILITY
storage
265.170
CONDITION OF CONTAINERS
action when not good
265.171
COMPATIBILITY OF WASTE WITH CONTAINER
requirement
265.172
MANAGEMENT OF CONTAINERS
kept closed
handled with care
265.173(a)
265.173(b)
INSPECTIONS
required
265.174
SPECIAL REQUIREMENTS FOR I6NITABLE OR REACTIVE WASTE
distance to property
line
265.176
SPECIAL REQUIREMENTS FOR INCOMPATIBLE WASTES
same container
unwashed container
separati on/pro tecti on
265.177(a)
265.177(b)
265.177(c)
SUBPART J - TANKS
APPLICABILITY
treatment or
storage
265.190
GENERAL OPERATING REQUIREMENTS
compliance with
265.17(b)
265.192(a)
A-57
-------
CHECKLIST IV B (continued)
FEDERAL REQUIREMENT
restrictions
freeboard
continuous feed
RCRA CITE
265.192(b)
265.192(c)
265.192(d)
STATE AUTHORITY
STATUTE REGULATION
IF DIFFERENT FROM FEDERAL
REQUIREMENT, EXPLAIN
WASTE ANALYSIS AND TRIAL TESTS
added requirements when
wastes are new or pro-
cess is changed
265.193
INSPECTIONS
o/o requirements
265.194
CLOSURE
removal requirement
265.197
SPECIAL REQUIREMENTS FOR IGNITABLE OR REACTIVE WASTE
limits/conditions to
place in a tank
NFPA requirements
265.198(a)
265.198(b)
SPECIAL REQUIREMENTS FOR INCOMPATIBLE WASTES
in same tank
in unwashed tank
265.199(a)
265.199(b)
SUBPART K - SURFACE IMPOUNDMENTS
GENERAL OPERATING REQUIREMENTS
Freeboard
265.222
CONTAINMENT SYSTEM
earth dikes
265.223
WASTE ANALYSIS AND TRIAL TESTS
added requirements when
wastes or processes are
different
265.225
A-58
-------
CHECKLIST IV B (continued)
FEDERAL REQUIREMENT
RCRA CITE
STATE AUTHORITY
STATUTE REGULATION
IF DIFFERENT FROM FEDERAL
REQUIREMENT, EXPLAIN
INSPECTIONS
o/o inspections
265.226
CLOSURE AND POST-CLOSURE
remove materials
demonstrate no hazard
post-closure
265.228(a)
265.228(b)
265.228(c) ,
SPECIAL REQUIREMENTS FOR IGNITABLE OR REACTIVE WASTE
limitations
on
placement
265.
229
SPECIAL REQUIREMENTS FOR INCOMPATIBLE WASTES
prohibition
265.230
SUBPART L - WASTE PILES
APPLICABILITY
treatment or
storage
265.250
PROTECTION FROM WIND
wind dispersal
control
265.251
WASTE ANALYSIS
requirement
265.252
CONTAINMENT
to control leachate/
run-off
control rain, run-on,
free liquids
265.253(a)
265.253(b)
SPECIAL REQUIREMENTS FOR IGNITABLE OR REACTIVE WASTE
prohibition & exceptions
265.256
A-59
-------
CHECKLIST IV B (continued)
FEDERAL REQUIREMENT
RCRA CITE
STATE AUTHORITY
STATUTE REGULATION
IF DIFFERENT FROM FEDERAL
REQUIREMENT, EXPLAIN
SPECIAL REQUIREMENTS FOR INCOMPATIBLE WASTES
placed in same pile
separation/protection
decontamination
265.257(a)
265.257(b)
265.257(c)
CLOSURE AND POST-CLOSURE CARE
remove materials
post-closure care
265.258(a)
265.258(b)
SUBPART M - LAND TREATMENT
GENERAL OPERATING REQUIREMENTS
conditions for land
treatment
run-on control
run-off control
collection and holding
facilities
wind dispersal control
265.272(a)
265.272(b)
265.272(c)
265.272(d)
265.272(e)
WASTE ANALYSIS
EP toxicity
any listed waste
food chain crops
265.273(a)
265.273(b)
265.273(c)
FOOD CHAIN CROPS
notification
required demonstration
demonstration data
conditions re:
cadmium waste
265.276(a)
265.276(b)(l)
265.276(b)(2)
265.276(c)
A-60
-------
CHECKLIST IV B (continued)
FEDERAL REQUIREMENT
RCRA CITE
STATE AUTHORITY
STATUTE REGULATION
IF DIFFERENT FROM FEDERAL
REQUIREMENT, EXPLAIN
UNSATURATED ZONE (ZONE OF AERATION) MONITORING
monitoring plan
requi rement/purpose
plan contents
demonstration
availability of plan
further analyses
265.278(a)
265.278(b)
265.278(c)
265.278(d)
265.278(e)
RECORDKEEPING
requirement
265.279
CLOSURE AND POST CLOSURE
objectives of plans
factors needed to meet
plan objectives
methods to address
plan objectives
added closure
requirements
alternate closure
certification
added post-closure
requirements
265.280(a)
265.280(b)
265.280(c)
J?65.280(d)
265.280(e)
265.280(f)
SPECIAL REQUIREMENTS FOR IGNITABLE OR REACTIVE WASTE
conditions for treatment
alternate conditions
265.281(a)
265.281(b)
SPECIAL REQUIREMENTS FOR INCOMPATIBLE WASTES
conditions
265.282
SUBPART N - LANDFILLS
APPLICABILITY
disposal, including wastfe
piles used for disposal |265.300
A-61
-------
CHECKLIST IV B (continued)
FEDERAL REQUIREMENT
RCRA CITE
STATE AUTHORITY
STATUTE REGULATION
IF DIFFERENT FROM FEDERAL
REQUIREMENT, EXPLAIN
GENERAL OPERATING REQUIREMENTS
run-on control
run-off management
collection and holding
facil ities
wind dispersal control
265.302(a)
265.302(b)
265.302(c)
265.302(d)
SURVEYING AND RECORDKEEPING
cell location
cell contents
265.309(a)
265.309(b)
CLOSURE AND POST-CLOSURE
final cover
closure, post-closure
objectives
factors needed to meet
plan objectives
added post-closure
requirements
265.310(a)
265.310(b)
265.310(c)
265.310(d)
SPECIAL REQUIREMENTS FOR IGNITABLE OR REACTIVE WASTES
conditions for disposal
containerized ignitable
wastes
solid ignitable wastes
in containers
265.312(a)
,265.312^)
265.312(c)
SPECIAL REQUIREMENTS FOR INCOMPATIBLE WASTES
prohibition
265.313
SPECIAL REQUIREMENTS FOR LIQUID WASTE
conditions for bulk/
free liOjUidjalacement
conditions for contain-
erized liquid placement
SPECIAL REQUIREMENTS FOR
empty containers
265.314(a)
265.314(b)
CONTAINERS
265.315(a)
A-62
-------
CHECKLIST IV B (continued)
FEDERAL REQUIREMENT
RCRA CITE
STATE AUTHORITY i
STATUTE REGULATION j
IF DIFFERENT FROM FEDERAL
REQUIREMENT, EXPLAIN
DISPOSAL OF SMALL CONTAINERS OF HAZARDOUS WASTE IN OVERPACKED DRUMS (LAB PACKS)
inside container
shipping container
absorbent material
incompatible waste
reactive waste
265.316(a)
265.316(b)
265.316(c)
265.316(d)
265.316(e)
WASTE ANALYSIS
SUBPART 0 - INCINERATORS
APPLICABILITY
treatment
exemptions
265.340(a)
265.340(b)
heating value
halogen and sulfur
content
lead and mercury
content
265.341(a)
265.341(b)
265.341(c)
GENERAL OPERATING REQUIREMENTS
start-up and shut-down
265.345
MONITORING AND INSPECTIONS
monitoring
daily inspections
265.347(a)
265.347(b)
CLOSURE
residue removal
265.351
SUBPART P - THERMAL TREATMENT
APPLICABILITY
thermal treatment in
other than incinerators
265.370
A-63
-------
CHECKLIST IV B (continued)
FEDERAL REQUIREMENT
RCRA CITE
STATE AUTHORITY
STATUTE REGULATION
IF DIFFERENT FROM FEDERAL
REQUIREMENT, EXPLAIN
GENERAL OPERATING REQUIREMENTS
requirements
265.373
WASTE ANALYSIS
heating value
halogen and sulfur
content
lead and mercury
265.375(a)
265.375(b)
265.375(c)
MONITORING AND INSPECTIONS
o/o requirements
265.377
CLOSURE
residue removal
265.381
OPEN BURNING; WASTE EXPLOSIVES
exceptions
265.382
SUBPART Q - CHEMICAL, PHYSICAL, AND BIOLOGICAL TREATMENT
APPLICABILITY
treatment in other than
tanks, surface impound-
ments & land treatment
facilities
265.400
GENERAL OPERATING REQUIREMENTS
comply with 265.17(b)
wastes/reagents
continuous fed process
265.401(a)
265.401(b)
265.401(c)
WASTE ANALYSIS AND TRIAL TESTS
additional
requirements
265.402
INSPECTIONS
o/o requirements
265.403
A-64
-------
CHECKLIST IV B (continued)
FEDERAL REQUIREMENT
RCRA CITE
STATE AUTHORITY
STATUTE REGULATION
IF DIFFERENT FROM FEDERAL
REQUIREMENT, EXPLAIN
CLOSURE
residue removal
265.404
SPECIAL REQUIREMENTS FOR I6NITABLE OR REACTIVE WASTE
placement requirements
265.405
SPECIAL REQUIREMENTS FOR INCOMPATIBLE WASTES
in same process
unwashed equipment
265.406(a)
265.406(b)
SUBPART R - UNDERGROUND INJECTION
APPLICABILITY
o/o exclusions
application criteria
265.430(a)
265.430(b)
A-65
-------
CHECKLIST V
PERMITTING REQUIREMENTS
FEDERAL REQUIREMENT
RCRA CITE
STATE AUTHORITY
STATUTE REGULATION
IF DIFFERENT FROM FEDERAL
REQUIREMENT, EXPLAIN
PART 270 - PERMIT PROGRAM
SUBPART A - GENERAL INFORMATION
PURPOSE AND SCOPE OF SUBPART B
specific inclusions
t specific exclusions
t further exclusions
t less than entire
facility
270.1(c)(l)
270.1(c)(2)
270.1(c)(3)
270.1(c)(4)
EFFECT OF A PERMIT
compliance with permit
property rights/
privilege
270. 4(a)
270. 4(b)
NONCOMPLIANCE REPORTING BY THE DIRECTOR
* quarterly reports
* annual reports
* schedules
270. 5(a)
270. 5(b)
270. 5(c)
SUBPART B - PERMIT APPLICATION
APPLICATION FOR A PERMIT
permit application
who applies/signs
* completeness
information
requirements
270.10(a)
270.10(b)
270.10(c)
270.10(d)
t Optional requirement - see discussion on page A-2.
* Procedural requirement - see discussion on page A-l.
A-66
-------
CHECKLIST V (continued)
FEDERAL REQUIREMENT
existing HWM facilities
new HWM facilities
updating applications
reappli cations
record keep ing
RCRA CITE
270.10(e)
270.10(f)
270.10(q)
270.10(h)
270.10(1)
STATE AUTHORITY
STATUTE REGULATION
IF DIFFERENT FROM FEDERAL
REQUIREMENT, EXPLAIN
SIGNATORIES TO PERMIT APPLICATIONS AND REPORTS
applications
reports
changes to
authorization
certification
270.11(a)
270. ll(b)
270.11(c)
270.11(d)
CONFIDENTIALITY OF INFORMATION
* denial
of claim
270.12(b)
CONTENTS OF PART A1
1 ati tude/1 ongi tude
name, address, telephone
new/existing
existing/locations
existing/photos
processes
wastes
270.13(b)
270.13(e)
270.13(q)
270.13(h)
270.13(1)
270.13(j)
270.13(k)
CONTENTS OF PART B1
general information
requirements
270.14(b)
* Procedural requirement - see discussion on page A-l.
1 Contents of Application - see discussion on page A-2.
A-67
-------
CHECKLIST V (continued)
FEDERAL REQUIREMENT
additional information
requirements
specific information
requirements
RCRA CITE
270.14(c)
270.15-21
STATE AUTHORITY
STATUTE REGULATION
IF DIFFERENT FROM FEDERAL
REQUIREMENT, EXPLAIN
SUBPART C - PERMIT CONDITIONS
CONDITIONS APPLICABLE TO ALL PERMITS
duty to comply
duty to reapply
need to halt or reduce
activity not a defense
duty to mitigate
proper 0 & M
permit actions
property rights
duty to provide
information
inspection and entry
monitoring and records
signatory requirement
reporting requirements
270.30(a)
270.30(b)
270.30(c)
270.30(d)
270.30(e)
270.30(f)
270.30(g)
270.30(h)
270.30(i)
270.30(j)
270.30(k)
270.30(1)
REQUIREMENTS FOR RECORDING AND REPORTING OF MONITORING RESULTS
equipment/methods
monitoring
reporting
270.31(a)
270.31(b)
270.31(c)
ESTABLISHING PERMIT CONDITIONS
* case by-case
* method of incor-
poration
* incorporation
270.32(a)
270.32(b)
270.32(e)
* Procedural requirement - see discussion on Page A-l.
A-68
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CHECKLIST V (continued)
FEDERAL REQUIREMENT
RCRA CITE
STATE AUTHORITY
STATUTE REGULATION
IF DIFFERENT
REQUIREMENT,
FROM FEDERAL
EXPLAIN
SCHEDULES OF COMPLIANCE (Optional)t
general
time for compliance
interim dates
reporting
270.33(a)
270.33(a)(l)
270.33(a)(2)
270.33(a)(3)
SUBPART D - CHANGES TO PERMITS
TRANSFER OF PERMITS
transfers by
modification
270.40(a)
MAJOR MODIFICATION OR REVOCATION AND REISSUANCE OF PERMITS
causes for modification:
alteration
information
new regulations
compliance schedules
others
causes for modification
or revocation and
reissuance
facility siting
270.41(a)(l)
270.41(a)(2)
270.41(a)(3)
270.41(a)(4)
270.41(a)(5)
270. 41(b)
270.41(c)
TERMINATION OF PERMITS
causes
* termination procedures
270.43(a)
270.43(b)
SUBPART E - EXPIRATION AND CONTINUATION OF PERMITS
DURATION OF PERMITS
* maximum ten year term
* extension or
modification
t less than full term
270.50(a)
270.50(b)
270.50(c)
* Procedural requirement - see discussion on page A-l.
f Optional requirement - see discussion on page A-2.
A-69
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CHECKLIST V (continued)
FEDERAL REQUIREMENT
RCRA CITE
STATE AUTHORITY
STATUTE REGULATION
IF DIFFERENT
REQUIREMENT,
FROM FEDERAL
EXPLAIN
SUBPART F - SPECIAL FORMS OF PERMITS
PERMITS BY RULE t
ocean disposal
injection wells
POTWs
270.60(a)
270.60(b)
270.60(c)
EMERGENCY PERMITS
conditions
for
issue
270.
61
HAZARDOUS WASTE INCINERATOR PERMITS t
permit conditions
270.62
PERMITS FOR LAND TREATMENT DEMONSTRATIONS USING FIELD TEST OR LABORATORY ANALYSES t
requirements
270.63
SUBPART G - INTERIM STATUS t
INTERIM STATUS
qual i tying
facility operation
changes
termination
270.70
270.71
270.72
270.73
PART 124 - PROCEDURES FOR DECISIONMAKING
SUBPART A - GENERAL PROGRAM REQUIRMENTS
APPLICATION FOR A PERMIT
requirements
124. 3(a)
t Optional requirement - see discussion on page A-2.
A-70
-------
CHECKLIST V (continued)
FEDERAL REQUIREMENT
RCRA CITE
STATE AUTHORITY f
STATUTE REGULATION |
IF DIFFERENT FROM FEDERAL
REQUIREMENT, EXPLAIN
MODIFICATION, REVOCATION AND REISSUANCE OR TERMINATION OF PERMITS
initiator
modify/revoke
procedures
* termination
procedures
124. 5(a)
124. 5(c)
124. 5(d)
DRAFT PERMITS
* decision to prepare
draft
* contents of draft
permit
* fact sheet
124. 6(a)
124. 6(d)
124. 6(e)
FACT SHEET
* criteria & recipients
* contents
124. 8(a)
124. 8(b)
PUBLIC NOTICE OF PERMIT ACTIONS AND PUBLIC COMMENT PERIOD
* scope
* timing
* methods
* contents
* additional notice
124.10(a)(l)
Oi).(iii),
(iv)
124.10(b)
124.10(c)
124.10(d)
124.10(e)
PUBLIC COMMENTS AND REQUESTS FOR PUBLIC HEARINGS
procedures
124.11
PUBLIC HEARINGS
* criteria
for
holding
124.
12(a)
RESPONSE TO COMMENTS
* response when final
permit is issued
* availability to public
124.17(a)
124.17(c)
Procedural requirement - see discussion on page A-l.
A-71
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APPENDIX B
FINANCIAL RESPONSIBILITY
Introduction
The State program requirements must be "equal in effect" to the Federal
requirements for financial assurance of closure and post-closure care, and
the accompanying requirements for closure and post-closure cost estimates,
promulgated at 47 FR 15047-74 (April 7, 1982), and liability coverage for
third party claims, promulgated at 47 FR 16554-61 (April 16, 1982). EPA
will exercise some flexibility in its review of State financial responsibil-
ity requirements. However, EPA's experience has been that financial respon-
sibility requirements must be precise and detailed to achieve certainty and
adequacy of funding for closure, post-closure care, and third party claims
for personal injury and property damage.
A State may choose to implement more stringent financial requirements,
or it may choose to eliminate optional requirements. In these cases EPA
will review and reconcile the differences with the Federal standards. EPA
will also allow States whose regulations governing financial institutions
contravene the EPA forms for financial instruments to modify the EPA lan-
guage of the instruments so long as the effect of the instruments is equiv-
alent to that of the EPA-specified instruments.
Acceptable Surety Companies
The Federal regulations specify that the surety company issuing a bond
must, at a minimum, be among those listed as acceptable sureties on Federal
bonds in Circular 570 of the U.S. Department of the Treasury. However,
several States specifically regulate and approve surety companies doing
business in their States. EPA will allow those States to set their own
qualification standards for sureties which issue bonds to owners and opera-
tors to meet the financial responsibility requirements.
Additional Mechanisms
States may utilize additional mechanisms which are equivalent to those
specified in 264 and 265 Subpart H. The basic concerns for equivalence are
the extent and security of coverage.
States may wish, for example, to consider two financial assurance
mechanisms which EPA does not have authority to effect cash deposits and
certificates of deposit. A State regulation using either of these two
mechanisms may require an immediate payment in the full amount of the cost-
estimate, or that payments be made over a pay-in period no longer than the
EPA trust fund pay-in period. These requirements will ensure that the funds
for closure and post-closure care will be readily obtained in event of
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default. However, while these financial instruments would meet the EPA
requirements, they may not be feasible for owners and operators because of
the large amounts of cash required.
States which choose to allow cash deposits or certificates of deposit
must meet standards equivalent to those incorporated in the Federal stan-
dards for financial assurance mechanisms:
1. The bank or financial instutuion holding the cash deposit or
certificate of deposit must be regulated and examined by a
Federal or State agency. The cash deposit or certificate of
deposit must be established at least 60 days before hazardous
waste is first received at a new facility.
2. The State must be the beneficiary of the cash deposit or
certificate of deposit. The State must be empowered to draw
upon the funds if the owner or operator fails to perform
closure or post-closure care in accordance with the applica-
ble plans or interim status requirements.
3. The State must require that the owner or operator make an
immediate deposit in the full amount of the cost estimate, or
that payments be made purusant to a pay-in period that is no
longer than the Federal trust pay-in periods for closure and
post-closure care set forth in 40 CFR §§264.143(a) and
264.145(a); 265.143(a); and 265.145(a), respectively.
4. The State must require that the cash deposit or certificate
of deposit cannot be terminated unless:
(a) the financial institution provides advance notice, and
(b) the State indicates that:
(1) the owner or operator has performed closure/post-
closure to the State's satisfaction, or
(2) the owner or operator has established an alternate
financial assurance mechanism in accordance with
the State's regulations.
5. The State must require that the cash deposit or certificate
of deposit cannot be cancelled: (1) while proceedings to
enforce regulatory compliance are pending, and (2) in the
event of transfer of ownership or operation of the facility,
until the successor owner or operator has established his own
financial assurance mechanism in accordance with the State's
regulations.
Due to the precise nature of the financial responsibility requirements,
and the various approaches taken by State programs, a guidance document
titled Equivalency of State Financial Responsibility Mechanisms has been
developed by EPA to help evaluate numerous financial mechanisms for equiva-
lence. This document also discusses overall State program equivalence in
the financial responsibility area. For further guidance in this area please
refer to this document at the end of this Appendix.
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EQUIVALENCY OF STATE FINANCIAL
RESPONSIBLITY MECHANISMS
DRAFT DOCUMENT
FOR AGENCY REVIEW ONLY
Prepared by:
ICF Incorporated
September 1982
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Table of Contents
Page
Introduction 1
Equivalence for Purposes of State Program Authorization 2
Equivalence of State-Required Mechanisms Used to Comply with the
Federal Regulations | 3
Fundamental Criteria for Equivalence Determinations 4
Certainty and Availability of the Funds 4
Amount of Funds 5
Time Limits 6
Allowable Mechanisms 7
Cost Estimates 8
Further Information 8
Equivalency Criteria for Trust Funds 9
Equivalency Criteria for Surety Bonds,. 11
Equivalency Criteria for Letters of Credit 13
Equivalency Criteria for Standby Trust Funds 15
Equivalency Criteria for Closure or Post-Closure Insurance 17
Equivalency Criteria for Financial Test and Corporate Guarantee
for Closure or Post-Closure Care . . .' 19
Equivalency Criteria for Cash Deposits and Certificates
of Deposit for Closure or Post-Closure Care 22
Equivalency Criteria for Escrows for Closure or
Post-Closure Care 23
Equivalency Criteria for Liability Insurance 25
Equivalency Criteria for Financial Test for Liability
Coverage 27
Equivalency Criteria for State Assumptions of Responsibility
of Closure or Post-Closure Care or Liability Coverage 29
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EQUIVALENCY OF STATE FINANCIAL RESPONSIBILITY REQUIREMENTS
Introduction
In issuing financial responsibility standards under RCRA, the Agency
determined that such requirements are (1) necessary to assure that funds will
be available for proper closure of all hazardous waste management facilities,
and for 30 years of post-closure care of land disposal facilities, and (2)
desirable, in the case of liability coverage, to assure that funds will be
available during the operating life of a facility from which third parties can
be compensated for bodily injury and property damage arising from operation of
the facility. These determinations are based on extensive analysis and review
of public comments and consequently define the scope, purpose, and function of
any state financial responsibility regulations under RCRA.
States seeking authorization to administer their hazardous waste programs
in lieu of the federal RCRA program either have or will have financial
requirements. States that are not seeking such authorization, however, may
also enact financial responsibility requirements applicable to owners and
operators of hazardous waste management facilities. In either instance, in
reviewing state financial responsibility requirements, the key criterion is
equivalence to the federal requirements.
The review of equivalency of financial responsibility requirements is
necessarily somewhat more judgmental than is the case for other hazardous
waste management standards. While the federal regulations (40 CFR Parts 264
and 265, Subpart H) serve as a benchmark, the use of more flexible criteria is
essential for two reasons:
(1) States often have more restrictive or curtailed
enabling statutes with respect to financial
responsibility that make it difficult to track the
federal requirements; and
(2) Equivalency of outcome or performance of financial
assurance is more important than equivalency of
methods.
The concept of equivalency originates in Section 3006 of RCRA. That
section provides for the authorization of state hazardous waste programs that
are equivalent to the federal program. It also provides for the interim
authorization of existing state programs that are "substantially equivalent"
to the federal program. The concept of equivalence also appears in the
Agency's financial responsibility regulations at 40 CFR 264/265.149 and
264/265.150. Those regulations permit owners or operators to use
state-required mechanisms for financial responsibility or state assumptions of
responsibility to meet federal requirements, in whole or part, if the
state-required mechanisms are equivalent to the federal provisions. Thus
equivalence evaluations may be performed in two contexts: (1) as part of the
review of state financial regulations for interim or final program
authorization or (2) as part of the review of an owner's or operator's
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compliance with federal requirements in states without authorization that have
financial requirements.1
Therefore, this guidance has a dual purpose. It addresses:
(1) determining equivalence of a state's regulatory scheme
for financial responsibility in the RCRA program
authorization context, and
(2) determining equivalence of individual mechanisms in
the 264.149/150 and 265.149/150 context for the owner
or operator who must comply with both federal and
state requirements.
These two topics are addressed next in more detail.
Equivalence for Purposes of State Program Authorization
Pursuant to RCRA §3006(b), for a state program to receive final
authorization, it must (1) be "equivalent" to the Federal program, (2) be
consistent with the Federal program and the programs of other authorized
states, and (3) provide adequate enforcement. EPA has interpreted the term
"equivalent" to mean "equal in effect." (See 45 Fed. Reg. 6753; January 29,
1980). Moreover, pursuant to RCRA §3009, states may impose "any requirements
... which are more stringent than those imposed" by the Federal regulations,
but may not impose any requirements less stringent than the Federal
requirements. In the context of financial responsibility, EPA will make
judgments of the legal efficacy of the various financial mechanisms in a
state's program which owners and operators may use to demonstrate compliance;
the Agency intends that, for a state program to receive final authorization,
the program include requirements no less than "equal in effect" to the Federal
requirements for financial assurance of closure and post-closure care, and the
accompanying requirements for closure and post-closure cost estimates,
promulgated at 47 Fed. Reg. 15047-74 (April 7, 1982), and liability coverage
for third party claims, promulgated at 47 Fed. Reg. 16554-61 (April 16, 1982).
Pursuant to RCRA §3006(c), for a state program to receive interim
authorization, it must be found to be "substantially equivalent" to the
Federal program. The Agency has interpreted substantial equivalence to mean
"to a large degree or in the main, equal in effect." (See 45 Fed. Reg. 6754;
January 29, 1980). Moreover, RCRA §3009 was clearly not intended to mandate
application of a "no less stringent" standard to a state seeking only interim
authorization. (See 45 Fed. Reg. 33391; May 19, 1980). Thus it is possible
that EPA could grant interim authorization to a state program where the
*For facilities in states without RCRA authorization but with financial
responsibility requirements applicable to hazardous waste management
facilities, owners or operators must comply with both federal and state
regulations.
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financial mechanisms allowed under the program were less than "equal in
effect" to the April 1982 Federal regulations cited above.
For both interim and final authorization, a state financial responsibility
regulatory program should contain the following components:
(1) regulations concerning cost estimates for closure
and post-closure care, and
(2) regulations describing allowable mechanisms and the
conditions of their use (e.g., combinations of
mechanisms, eligibility of insurers, incapacity of
institutions).
Below, equivalence criteria for cost estimate regulations are set forth.
Later in this document, specific equivalence criteria for individual state
financial mechanisms are provided. These criteria are all based on the
benchmarks provided by Subpart H of 40 CFR Parts 264 and 265.
Where the types of allowable mechanisms or their specific provisions
(e.g., financial test criteria) are not defined by state statute, the state
regulations must define the specifics of each allowable mechanism in order
that EPA can make a determination of equivalence. Also, where a state program
allows types of financial responsibility mechanisms that are not allowed by
the federal program, the equivalence criteria included in this document should
be consulted. The Agency expects that several states will seek to allow
mechanisms such as escrows, cash deposits, and certificates of deposit which
are not allowed in the federal program. (For an explanation of why these
mechanisms haven't been provided in the federal program,-see the Preamble at
46 Fed. Reg. 2827 (January 12, 1981).)
Equivalence of State-Required Mechanisms Used to Comply
with the Federal Regulations
When an owner or operator wishes to use a state-required mechanism or a
state assumption of responsibility to comply with federal requirements, the
determination of equivalence is the responsibility of the EPA Regional
Administrator. This situation will only occur in states that do not have
authorization but do have state-required financial mechanisms or state
assumptions of responsibility. In these situations, equivalence should be
determined using the criteria discussed below both for cost estimates and for
the specific assurance mechanism being used for compliance. These criteria
are based on the benchmarks provided by Subpart H of 40 CFR Parts 264 and 265.
In addition to evaluating the equivalency of the mechanism, the Regional
Administrator may only approve use of a state-required mechanism if the
instrument has been executed. To do otherwise would result in a gap in
coverage which must be avoided. This is in contrast to the program
authorization context where financial responsibility requirements may be
determined to be equivalent or substantially equivalent prior to the effective
date of the requirements, although a State program may not be granted
authorization until the State's regulations are effective.
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Fundamental Criteria for Equivalence Determinations
Inherent in the federal financial assurance regulations are two criteria
which are fundamental for evaluating equivalence:
(1) Certainty of the availability of funds through a
financial mechanism must be at least equivalent, and
(2) The amount of funds assured by a financial
mechanism must be at least equivalent.
These criteria reflect the Agency's policy that the funds must be
available in the appropriate amounts when needed. The criteria are equally
applicable when evaluating equivalence in the program authorization context
and in the federal/state compliance context. The first criterion is more
difficult to evaluate than the second. Of key importance for certainty
will be the protection of the funds against claims of creditors, the initial
qualifications of financial institutions providing the mechanisms, and
provisions required for future contingencies, including bankruptcy,
cancellation, or changing mechanisms. With respect to amount of financial
assurance, both the total amount of funds assured as well as the amount
assured at different points , in time are crucial. These criteria are outlined
next as thresholds that must be satisfied in addition to criteria
appropriate for specific types of mechanisms which are provided later.
Certainty of Availability of the Funds. To be deemed equivalent in
terms of certainty, state financial requirements must include minimal
qualifications for the parties to mechanisms of financial responsibility and
other provisions, as follows:
(1) provision that Regional Administrator or State
Director2 has the sole authority to direct the
payment or use of funds assured whenever needed;
2The phrase "Regional Administrator or State Director" is used in this
document because most state mechanisms are expected to name a state agency as
beneficiary. Due to the variety in state agencies and their authorities, the
specific "State Director" may vary from state to state (e.g., Attorney
General, Director of Office of Environmental Protection, Public Health
Commissioner, State Treasury Department, etc.) The term "State Director" is
defined in 40 CFR 122.3. As long as a state agency or official (or the EPA
Regional Administrator) is designated as having the power to direct or
authorize use of financial assurance, the mechanism should be deemed
equivalent, in that respect. However, where two or more state agencies are
responsible for administration of financial assurance mechanisms, the "lead"
agency should consider establishing an inter-agency memorandum of
understanding to clearly delineate the respective roles and responsibilities
of each agency.
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(2) qualifications for participating financial
institutions, surety companies, and insurers -- these
institutions and their relevant activities (i.e.,
trust fund operations) must be subject to some
regulatory oversight or licensing procedures
(3) qualifications for guarantors -- including
satisfaction of a financial test and being the
corporate parent of the owner or operator
(4) qualifications for owners or operators using a
financial test -- including independently audited
financial statements
(5) substitution of alternate financial assurance within a
defined time period in the event the required
qualifications are no longer satisfied (for example,
including the bankruptcy of the financial institution,
corporate guarantor, or insurer);
(6) notification within a limited time period after the
commencement of a bankruptcy proceeding naming the
owner or operator as debtor;
(7) notification within a limited time period of intent to
cancel, terminate, or a41ow to lapse a financial
assurance mechanism;
(8) provision that an existing mechanism will not be
cancelled, terminated, or allowed to lapse until a
defined time period has elapsed, or alternate
assurance has been provided, or the owner or operator
has .been released from financial requirements;
(9) provision that the mechanisms cannot be cancelled or
terminated upon commencement of a compliance action;
and
(10) no restrictions on order of use of mechanisms if more
than one mechanism provides assurance for a given
facility.
These provisions are further specified in the equivalency criteria for
specific financial responsibility mechanisms.
Amount of Funds. In general, the amount of funds assured for closure
and/or post-closure care must be equal to the current cost estimate(s) and the
liability coverage demonstrated must be at least equal to the amounts required
by RCRA liability requirements, exclusive of legal defense costs. An
exception can be made for owners and operators using trust funds for
closure/post-closure assurance; the full amount need not be available if the
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owner or operator is in the pay-in period for the trust fund. (See, e.g.,
264/265.143(a)(3).) In that case, an increasing amount will be assured each
year. For all other mechanisms alone or in combination, the amounts assured
must always meet the total RCRA requirements at all times.
Thus, with respect to the amount, of funds assured, the following
criteria must be met:
(1) The amount assured must equal the latest cost estimate
for closure and/or post-closure care in full, unless
the trust fund mechanism is being used.
(2) If a trust fund is used, the initial and subsequent
payments must assure an amount of closure and/or
post-closure funds each year that in the aggregate is
no less than that required by the federal formula.
(3) If a trust fund pay-in period is used, it must not be
longer than that allowed under the federal regulations.
(4) The amounts of funds assured for different identified
facilities and purposes (i.e., closure, post-closure
care, liability) must be specifically identified in
the instrument or by an attachment to the instrument.
(5) The Regional Administrator or State Director must have
exclusive authority over disbursements of funds.
(6) The funds cannot be used for other purposes (e.g.,
payment of fines).
(7) The Regional Administrator or State Director must
approve in writing any decreases in the amounts of
assurance provided.
(8) The Regional Administrator or State Director must have
the authority to withhold a portion of the
reimbursement for closure expenses if deemed necessary.
The federal regulations allow owners or operators to use combinations of
mechanisms to provide the required amount of assurance. States can do
likewise. So long as each mechanism is equivalent in terms of certainty of
the funds, the focus is properly on the total amount assured by the
mechanisms. See 40 CFR 264/265.143(g).
Time Limits. Time limits in state financial mechanisms may not always
parallel the federal requirements. This does not necessarily mean that the
state mechanisms are not equivalent. However, the federal regulations are
based on considerations of the legal and practical implications of deadlines
that cannot be ignored by state mechanisms. The ultimate aim must be to
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ensure that there is no gap in financial coverage. This means that sufficient
time must be allowed for:
providing an alternate mechanism in the event of the
incapacity, disqualification, or bankruptcy of issuers,
insurers, and guarantors (e.g., 60 days)_
responding to a notice of cancellation or termination
(e.g., at least 30-60 days)
alternate assurance of funds before a cancellation
could become e-ffective (e.g., at least 60-90 days)
notifying the Regional Administrator or State
Director of the commencement of a bankruptcy proceeding
naming the owner or operator as debtor (e.g., no more
than 10 days but probably no less)
review by the Regional Administrator or State
Director of financial assurance submissions for new
facilities (e.g., at least 10-15 days before first
receipt of wastes)
States should be encouraged to follow the deadlines in federal system but
some flexibility may be allowed when determining equivalence. The period of
post-closure care, however, must be a* least thirty years.
Allowable Mechanisms. Current federal regulations allow use of trust
funds, surety bonds, letters of credit, insurance, a financial test, corporate
guarantees, and state assumptions of responsibility. Some states may allow
owners or operators to demonstrate financial responsibility using mechanisms
not currently allowed under RCRA standards. Specifically, these might include:
cash deposits
certificates of deposit
escrow accounts
The equivalency of cash deposits or certificates of deposit can be
assessed using the federal trust fund requirements as a touchstone. Thus,
pay-in periods, payment formulae, and rules for reimbursement of expenses must
be at least as stringent as under the federal regulations. Where state
regulations require immediate deposit of the full amount, the focus should
shift to whether further payments are required to keep pace with later
increases in cost estimates. Equivalency criteria for cash deposits and
certificates of deposit are presented later in this document.
An escrow is similar to a trust arrangement but it has a somewhat
different legal effect. Although the depositary institution is not a trustee,
it is a fiduciary (as is a trustee) and its actions are governed by an escrow
agreement that should resemble the trust agreement. The key-terms and
responsibilities must be spelled out in the agreement; an escrow agent has no
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discretion and must follow the instructions of the escrow agreement to the
letter. Equivalency criteria for escrows are presented later in this document.
Cost Estimates. To be equivalent to federal requirements, state
financial responsibility programs and mechanisms must incorporate equivalent
rules for estimating the costs of closure and post-closure care that are to be
assured. The evaluation of equivalency will depend on affirmative answers to
the following questions:
(1) Must cost estimates for closure and post-closure be
based on closure and post-closure plans?
(2) Must cost estimates be revised accordingly whenever
changes in closure or post-closure plans would
increase cost estimates?
(3) Must the closure cost estimate equal the cost of
closure at the point in the facility's operating life
when closure would be the most expensive?
(4) Must the cost estimates be adjusted for inflation at
least annually during the operating life of the
facility using a specified inflation factor?
(5) Must the latest cost estimate based on the closure
and/or post-closure plants) and the latest adjusted
cost estimate(s) be kept at the facility?
The rest of this document sets forth a series of criteria for determining
the equivalency of individual state financial assurance mechanisms. Closure
or post-closure mechanisms allowed by the federal regulations are addressed
first, followed by mechanisms not allowed in the current federal regulations,
concluding with liability coverage mechanisms and state assumptions of
responsibility.
Further Information
Readers desiring further information should consult the Guidance
Manuals on Financial Assurance for Closure and Post-Closure Care and
Liability Coverage and the Background Documents cited there.
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EQUIVALENCY CRITERIA FOR STATE TRUST FUNDS
EPA will consider the following factors in determining whether a state-
required trust fund is "equivalent" or "substantially equivalent" to the
financial mechanisms prescribed in the federal regulations. As a general
rule, most, if not all of the following questions must be answered "yes" for
the state-required trust fund to be considered "equivalent" or "substantially
equivalent. "
1. Is the trustee required to be an entity that has authority to act as a
trustee and whose trust operations are regulated and examined by a federal or
state agency?
2. Does the trust agreement or an attached schedule list and identify the
facilities and the amount of the closure and/or post-closure cost estimates
covered for each facility?
3. Is the owner or operator required to update the list of facilities and
closure and/or post-closure cost estimates after each change in cost estimates?
4. Does the owner or operator remain liable at all times for the full
amount of closure and/or post-closure expenses?
5. Is the trust irrevocable except upon agreement of the owner or
operator, the trustee, and the Regional Administrator or State Director?
, 6. Does the trust agreement prohibit trustees from investing in
securities of the owner or operator or parent corporations or their
affiliates? (federal regulations include this prohibition in addition to the
general "prudent man" standard. See 40 CFR 264.151(a)(1).)
7. For new facilities to be permitted, must the trust agreement be
submitted to the Regional Administrator or State Director before hazardous
waste is first received?
8. Must the initial payment be made before hazardous waste is first
received for new permitted facilities?
9. For new permitted facilities, must a receipt from the trustee for the
first payment be submitted to the Regional Administrator or State Director
before hazardous waste is first received at the facility?
10. Are the required initial and annual payments at least as great as
those required by the federal RCRA regulations? (covers pay-in period or
other formulae)'1'
* For details on the pay-in period and payment formula, see Chapter III in
the Guidance Manual: Financial Assurance for Closure and Post-Closure Care
(1982).
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11. Does the trust agreement require the trustee, during the pay-in
period, to notify the Regional Administrator or State Director if the owner or
operator fails to make an annual payment into the trust fund?.
12. Does the trust agreement require the trustee to value the assets in
the trust fund each year and send a statement of valuation and trust activity
to the owner or operator and the Regional Administrator or State Director?
13. Is the.owner or operator given at least 90 days following the
trustee's valuation report to object to the trust investment activity?
14. May EPA or State Director object at any time to the trust investment
activity?
15. Once the pay-in period has expired, must the owner or operator make
additional payments into the trust fund or obtain alternate assurance whenever
the cost estimate changes and becomes greater than the value of the trust fund
during the operating life of the facility?
16. Must the owner or operator make arrangements for a new trustee or
obtain other financial assurance when the existing trustee enters bankruptcy,
ceases operations, or loses its authority to act as a trustee?
17. Can the trustee only be changed upon agreement by the owner or
operator, the trustee, and the Regional Administrator or State Director?
18. Can funds be released from the trust fund only upon instruction of
the Regional Administrator or State Director and only for the following
reasons: (1) the value of the trust fund is greater than the current cost
estimate(s); (2) alternate financial assurance is provided; (3) the owner or
operator is released from financial responsibility requirements.
19. Must itemized bills for closure and/or post-closure care be submitted
to the Regional Administrator or State Director before reimbursement will be
authorized?
20. Where the cost of closure appears to be significantly greater than
the value of the trust fund, is the Regional Administrator or State Director
empowered to withhold reimbursement from the trust until satisfactory
certification of completion of closure is received?
21. May the trust be terminated only upon written instruction of the
Regional Administrator or State Director?
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EQUIVALENCY CRITERIA FOR SURETY BONDS
EPA will consider the following factors in determining whether a state-
required surety bond is "equivalent" or "substantially equivalent" to the
financial mechanisms prescribed in the federal regulations. As a general
rule, most, if not all of the following questions must be answered "yes" for
the state-required surety bond to be considered "equivalent" or "substantially
equivalent."
1. Is the surety company required to be listed in Circular 570 or
licensed to do business as a surety in the state?
2. Does the underwriting limitation in Circular 570 apply?
3. Must the surety company be licensed in the state where the surety bond
is signed?
4. Are the terms of a required standby trust fund (if any) at least
equivalent to a standby trust fund under the federal RCRA regulations? (see,
e.g., 40 CFR 264.143(b)(3) and the equivalency criteria for standby trust
funds, below.)
5. Must the penal sum of the bond, together with any amount being assured
by other mechanisms be at least equal to the current closure and/or
post-closure cost estimates? .
6. Must any surety bond that is used at an interim status facility be a
financial guarantee bond? (performance bonds may not be used under 40 CFR 265
regulations.)
7. For new facilities to be permitted, must the surety bond be submitted
to the Regional Administrator or State Director before hazardous waste is
first received for treatment, storage or disposal?
8. For new permitted facilities, must the surety bond be effective before
hazardous waste is first received for treatment, storage or disposal?
9. When cost estimates increase, must the penal sum of the bond be
increased (and evidence of the increase submitted to the Regional
Administrator or State Director) or alternate financial assurance obtained
within a defined period of time? (federal regulations allow 60 days)
10. Can the penal sum be reduced only if cost estimates decrease and
following written approval of the Regional Administrator or State Director?
11. Must the owner or operator obtain alternative financial assurance
within a defined time period after bankruptcy of the surety or removal of the
surety's name from Circular 570?
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12. Must the surety give both the owner or operator and the Regional
Administrator or State Director ample notice before cancellation of the surety
bond will be allowed? (federal regulations require at least 120 days)
13. Will the owner or operator have sufficient time after receipt of
notice of cancellation to provide alternative financial assurance and obtain
written approval of the new assurance from the Regional Administrator or State
Director? (federal regulations require at least 90 days)
14. Is the surety required to pay the penal sum of a financial guarantee
bond in at least these circumstances:
a. The owner or operator has failed to provide funds in
the amount of the cost estimate for closure and/or
post-closure care before the beginning of final closure
of the facility;
b. The Regional Administrator, State Director, or a court
has ordered closure to begin and the owner or operator
has not provided funds within 15 days; or
c. The surety has sent notice of cancellation of the bond
and the owner or operator has not obtained alternate
financial assurance within a defined time period?
(federal regulations allow 90 days)
15. Must the surety perform closure and/or post-closure care or pay the
penal sum of a performance bond in at least the following circumstances:
a. The owner or operator fails to fulfill its closure
and/or post-closure obligations, even though closure
may occur sooner than expected or the requirements in
the plans, regulations, and/or permit have changed; or
b. The surety has sent notice of cancellation of the bond
and the owner or operator has not obtained alternate
financial assurance within 90 days?
16. May a surety bond only be terminated with the written consent of the
Regional Administrator or State Director?
17. Must itemized bills for closure and/or post-closure care be submitted
to the Regional Administrator or State Director before payment will be
authorized?
18. Where the cost of closure appears to be significantly greater than
the amount of available funds, is the Regional Administrator or State Director
empowered to withhold reimbursement until satisfactory certification of
completion of closure is received?
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EQUIVALENCY CRITERIA FOR LETTERS OF CREDIT
EPA will consider the following factors in determining whether a state-
required letter of credit is "equivalent" or "substantially equivalent" to the
financial mechanisms prescribed in the federal 'regulations. As a general
rule, most, if not all of the following questions must be answered "yes" for
the state-required letter of credit to be considered "equivalent" or
"substantially equivalent."
1. Is the issuer required to be authorized to issue letters of credit,
and must its letter of credit operations|be regulated by a state or federal
agency?
2. Are the terms of a required standby trust fund (if any) at least
equivalent to the required standby trust fund under the federal RCRA
regulations? (see, e.g., 40 CFR 264.143(d)(3) and the equivalency criteria
for standby trust funds, below.)
3. Must the letter of credit be irrevocable for at least a year and
provide for automatic extensions?
4. Does the letter of credit have to be accompanied by a letter or
schedule detailing the coverage for each facility?
5. Must the owner or operator submit evidence within a reasonable period
that any cost increases are covered by alternate mechanisms or increases in
the face amount of the letter of credit? (federal regulations allow up to 60
days.)
6. Must owners or operators obtain alternate financial assurance within a
specified time if the issuing institution ceases operations, files for
bankruptcy, or otherwise ceases to qualify? (federal regulations allow up to
60 days.)
7. Must alternate assurance be obtained within a specified time if the
issuer gives notice of nonrenewal of the letter? (federal regulations allow
up to 90 days.)
8. Must the face amount of the letter of credit, together with any amount
being assured by other mechanisms be at least equal to the current closure and
post-closure cost estimates?
9. Must the letter of credit be submitted to the Regional Administrator
or State Director by a specified time before hazardous waste is first received
for new permitted facilities? (federal regulations require at least 60 days.)
10. For new facilities to be permitted, must the letter of credit be
effective before hazardous waste is first received for treatment, storage or
disposal?
-------
-14-
11. Can the amount be reduced only if cost estimates decrease and
following written approval of the Regional Administrator or State Director?
12. Must itemized bills for closure and/or post-closure care be submitted
to the Regional Administrator or State Director before reimbursement will be
authorized?
13. Where the cost of closure appears to be significantly greater than
the amount of funds available under the letter of credit, is the Regional
Administrator or State Director empowered to withhold reimbursement until
satisfactory certification of completion of closure is received?
14. Is termination of the letter of credit only allowed if (1) alternate
assurance is provided, or (2) the owner or operator has been released from
closure or post-closure financial requirements?
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-15-
EQUIVALENCY CRITERIA FOR STANDBY TRUST FUNDS
There is an important difference between state and federal legal
authorities which may affect state mechanisms. Because the U.S. EPA does not
have the authority to collect, hold or disburse financial assurance funds
itself, the RCRA regulations require the use of a standby trust fund in
conjunction with surety bonds and letters of credit. Some states, on the
other hand, may not have this restriction, thus they may not need to require
standby trust funds. The lack of standby trust provisions does not
necessarily mean that the state mechanism is not equivalent. If the state
does require standby trusts, they must meet the equivalency criteria set out
below.
EPA will consider the following factors in determining whether a state-
required standby trust fund is "equivalent" or "substantially equivalent" to
the financial mechanisms prescribed in the federal regulations. As a general
rule, most, if not all of the following questions must be answered "yes" for
the state-required standby trust fund to be considered "equivalent" or
"substantially equivalent."
1. Is the trustee required to be an entity that has authority to act as a
trustee and whose trust operations are regulated and examined by a federal or
state agency?
2. Does the trust agreement or a« attached schedule list the facilities
and the amount of the closure and/or post-closure cost estimates covered for
each facility?
3. Is the trust irrevocable except upon agreement of the owner or
operator, the trustee, and the Regional Administrator or State Director?
4. Does the trust agreement prohibit trustees from investing in
securities of the owner or operator or parent corporations? (federal
regulations include this prohibition in addition to the general "prudent man"
standard.)
5. If closure is not performed, does the trust have to be funded by the
letter of credit, surety bond, or other mechanisms (a) before final closure or
(b) within a specified period after the Regional Administrator, State
Director, or a court orders closure? (federal regulations allow 15 days.)
6. For new facilities to be permitted, must the trust agreement be
submitted to the Regional Administrator or State Director before hazardous
waste is first received for treatment, storage or disposal?
7. Is the owner or operator given at least 90 days to object to the trust
investment activity?
8. May EPA or State Director object at any time to the trust investment
activity?
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-16-
9. Must the owner or operator make arrangements for a new trustee or
obtain other financial assurance when the existing trustee enters bankruptcy,
ceases operations, or loses its authority to act as a trustee?
10. Can the trustee only be changed upon agreement by the owner or
operator, the trustee, and the Regional Administrator or State Director?
11. Where the cost of closure appears to be significantly greater than
the amount of funds in the trust, is the Regional Administrator or State
Director authorized to withhold reimbursement until satisfactory certification
of completion of closure is received?
12. Must itemized bills for closure and/or post-closure care be submitted
to the Regional Administrator or State Director before payment will be
authorized?
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-17-
EQUIVALENCY CRITERIA FOR CLOSURE OR POST-CLOSURE INSURANCE
EPA will consider the following factors in determining whether state-
required closure or post-closure insurance is "equivalent" or "substantially
equivalent" to the financial mechanisms prescribed in the federal
regulations. As a general rule, most, if not all of the following questions
must be answered "yes" for the state-required closure or post-closure
insurance to be considered "equivalent" or "substantially equivalent."
1. Is the insurer required to be licensed to transact the business of
insurance or eligible as a provider of excess or surplus lines insurance in
one or more states?
2. Must the insurance certificate, policy, or endorsement list the
facilities covered and the 'amounts of insurance for closure and/or
post-closure care assured for each facility?
3. Must an insurance.certificate or endorsement be submitted as evidence
of insurance?
4. Does the insurance policy provide that closure and/or post-closure
funds will be provided whenever closure occurs?
5. Does the insurance policy, certificate, or endorsement provide that
the insurer will be responsible for playing out funds to parties specified upon
the direction of the Regional Administrator or State Director?
6. For new facilities to be permitted, must the insurance policy,
certificate, or endorsement be submitted to the Regional Administrator or
State Director before hazardous waste is first received for treatment, storage
or disposal?
7. For new facilities to be permitted, must the insurance policy be
effective before hazardous waste is first received?
8. Must the face amount of the policy, together with any amount being
assured by other mechanisms, be at least equal to the current closure and/or
post-closure cost estimates?
9. Must the insurance policy provide for automatic renewal at least at
the face amount of the expiring policy?
10. When cost estimates increase, must the face amount of the policy be
increased accordingly (and evidence of the increase submitted to the Regional
Administrator or State Director) or alternate assurance obtained within a
defined time period? (federal regulations allow 60 days)
11. Can the face amount only be reduced when cost estimates decrease and
following written approval of the Regional Administrator or State Director?
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-18-
12. Must the owner or operator obtain alternative financial assurance
within a defined time period following disqualification or liquidation of the
insurer?
13. Must the insurer give both the owner or operator and the Regional
Administrator or State Director sufficient notice before cancellation of the
insurance policy will be allowed? (federal regulations require at least 120
days notice)
14. Must cancellation, termination, or failure to renew not occur and
the policy remain in full force and effect in the event that on or before the
date of expiration at least one of the following has occurred: (1) the
Regional Administrator or State Director has deemed the facility abandoned; or
(2) the permit is removed or terminated or a new permit is denied; or (3)
closure is ordered by a competent authority (court, Regional Administrator, or
State Director); or (4) the premium overdue is paid?
15. Must itemized bills for closure and/or post-closure care be submitted
to the Regional Administrator or State Director before reimbursement will be
authorized?
16. Where the cost of closure appears to be significantly greater than
the face amount of the policy, is the Regional Administrator or State' Director
authorized to withhold reimbursement until satisfactory certification of
completion of closure is received?
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-19-
EQUIVALENCY CRITERIA FOR FINANCIAL TEST AND
CORPORATE GUARANTEE FOR CLOSURE AND POST-CLOSURE CARE
EPA will consider the following factors in determining whether a state-
required financial test or corporate guarantee is "equivalent" or
"substantially equivalent" to the financial mechanisms prescribed in the
federal regulations. As a general rule, most, if not all of the following
questions must be answered "yes" for the state-required financial test or
corporate guarantee to be considered "equivalent" or "substantially
equivalent."
1. Are the owner's, operator's or corporate parent's financial statements
required to be independently audited?
2. Does the independent public accountant have to be certified by a State
Board of Accountancy or otherwise eligible to practice public accounting in
the state? -.
3. Are the state's financial test criteria at least as stringent as the
federal criteria? Specifically:
A. Do bond ratings of the firm have to be at least
investment grade; or does net working capital have
to be six times the sum of closure and post-closure
cost estimates, and do two of the following three
conditions have to be satisfied:
i) total liabilities to net worth have to be less
than 2.0,
ii) net income plus non-cash expenses (i.e..,
depreciation, depletion, and amortization) to
total liabilities have to be greater than 0.1, or
iii) current assets to current liabilities greater
than 1.5?
B. Does the tangible net worth of the firm have to be at
least $10 million and at least six times the sum of
closure and post-closure estimates?
C. Do assets in the United States amount to
i) 90 percent of the total assets, or
ii) six times the sum of closure and post-closure
estimates?
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-20-
4. Are firms whose financial statements receive an adverse opinion or
a disclaimer of opinion in auditor's standard report disallowed from the
financial test?
5. Is the Regional Administrator or State Director granted discretion to
accept or reject qualified opinions on a firm's financial statements?
6. Must the corporate parent own at least 50 percent of the voting stock
of the subsidiary owner or operator?
7. Must the financial test criteria be applied to the closure or
post-closure cost estimates of all facilities for which there is no third
party guarantee or funding of financial assurance? (federal regulations
require the inclusion of facilities covered by the financial test guarantee,
the corporate guarantee, facilities covered by state financial tests or
corporate guarantees, and sites for which no financial assurance has been
demonstrated.)
8. Must the owner, operator, or corporate parent continue to satisfy the
test requirements, or supply alternate assurance, if closure or post-closure
cost estimates increase?
9. Must the owner-, operator, or corporate parent submit updated
information a short time after the close of the firm's fiscal year? (federal
regulations allow up to 90 days -- see 40 CFR 264.143(f)(5).)
w-
10. If the financial statements indicate the firm no longer qualifies to
use the financial test, must the owner or operator:
a) Notify the Regional Administrator or State Director
within a specified period? (federal regulations allow
no more than 90 days after the close of the fiscal
year), and
b) Provide alternate financial assurance shortly
thereafter? (federal regulations allow up to 120 days
after close of the fiscal year).
11. Does the Regional Administrator or State counterpart have the
authority to request additional financial reports from the owner, operator, or
corporate parent, and disqualify the firm at any time on the basis of such
reports or other information?
12. Must satisfaction of the financial test criteria be demonstrated at a
specified period before wastes are received at a new facility? (federal
regulations require at least 60 days for new permitted facilities -- see 40
CFR 264.143(f)(4).)
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-21-
13. Is the parent guarantor held responsible for the closure or
post-closure costs until:
a. The owner or operator has been released from the
financial assurance requirements, or
b. The owner or operator has obtained, alternate assurance
within a specified period after notice of cancellation
of the guarantee has been received? (federal
regulations require no more than 90 days.)
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-22-
EQUIVALENCY CRITERIA FOR CASH DEPOSITS
AND CERTIFICATES OF DEPOSIT
EPA will consider the following factors in determining whether a state-
required cash deposit or certificate of deposit is "equivalent" or
"substantially equivalent" to the financial mechanisms prescribed in the
federal regulations. As a general rule, most, if not all of the following
questions must be answered "yes" for the state-required cash deposit or
certificate of deposit to be considered "equivalent" or "substantially
equivalent."
1. Must the bank or financial institution holding the cash deposit or
certificate of deposit be regulated and examined by a federal or state agcn
2. Must the Regional Administrator or State Director be the beneficiary
and be empowered to draw upon or direct payment from the funds if the owner or
operator fails to perform closure or post-closure care?
3. For new facilities to be permitted, must the cash deposit or
certificate of deposit be established before hazardous waste is first received
for treatment, storage or disposal?
4. Must payments be made pursuant to a pay-in period and formula at least
equivalent to federal RCRA trust fund requirements?
«
5. Must advance notice be provided to the Regional Administrator or State
Director in a,defined time period prior to termination by the owner or
operator?
6. Must at least one of the following conditions be met for the cash
deposit or certificate of deposit to be terminated: (1) the owner or operator
has performed closure/post-closure to the State Director's or Regional
Administrator's satisfaction, or (2) alternate assurance has been established
(a) in accordance with state regulations or (b) that would be acceptable under
40 CFR 264/265.149?
7. Can funds be released only upon written instruction of the Regional
Administrator or State Director?
8. Must itemized bills for closure and/or post-closure care be submitted
to the Regional Administrator or State Director before payment will be
authorized?
9. Where the cost of closure appears significantly greater than the
amount of available funds, is the Regional Administrator or State Director
empowered to withhold reimbursement until satisfactory certification of
closure is received?
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-23-
EQUIVALENCY CRITERIA FOR ESCROWS
EPA will consider the following factors in determining whether a state-
required escrow is "equivalent" or "substantially equivalent" to the financial
mechanisms prescribed in the federal regulations. As a general rule, most, if
not all of the following questions must be answered "yes" for the
state-required escrow to be considered "equivalent" or "substantially
equivalent . "
1. Is the depositary institution licensed or authorized to act as a
fiduciary or escrow agent and subject to state or federal regulatory oversight?
2. Does the escrow agreement or an attached schedule list the facilities
and the amount of the closure and/or post-closure cost estimates covered for
each facility?
3. Is the owner or operator required to update the list of facilities and
closure and/or post-closure cost estimates after each change in cost estimates?
4. Does the owner or operator remain liable at all times for the full
amount of closure and/or post-closure expenses?
5. Does the escrow agreement prohibit the depositary from investing in
securities of the owner or operator or parent corporations?
«»
6. Is the escrow agreement irrevocable except upon the mutual consent
of the owner or operator and the Regional Administrator or State Director?
7. For new facilities to be permitted, must the escrow agreement be
submitted to the Regional Administrator or State Director before hazardous
waste is first received for treatment, storage or disposal?
8. Must the initial payment be made before hazardous waste is first
received for new permitted facilities?
9. Are the required initial and annual payments at least as great as
those required by the federal RCRA trust fund regulations?
10. Does the escrow agreement require the depositary to notify the
Regional Administrator or State Director if the owner or operator fails to
make a required deposit?
11. Does the escrow agreement require the depositary to value the assets
in the escrow each year and send a statement of valuation to the owner or
operator and the Regional Administrator or State Director?
12. May the owner or operator and the Regional Administrator or State
Director object at any time to escrow activity?
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-24-
13. If the pay-in period'is less than the operating life of the facility,
must the owner or operator make additional payments to the escrow or obtain
alternate assurance whenever the cost estimate(s) become(s) greater than the
value of the escrow?
14. Must the owner or operator make arrangements for a new depositary or
obtain other financial assurance when the existing depositary enters
bankruptcy, ceases operations, or loses its authority to act as an escrow
agent?
15. Can the depositary only be changed by mutual agreement of the owner
or operator and the Regional Administrator or State Director?
16. Can funds be released from escrow only upon instruction of the
Regional Administrator or State Director?
17. Must itemized bills for closure and/or post-closure care be submitted
to the Regional Administrator or State Director before payment will be
authorized?
18. Where the cost of closure appears significantly greater than the
value of the escrow, is the Regional Administrator or State Director empowered
to withhold reimbursement from the escrow until satisfactory certification of
closure is received?
19. May the escrow agreement be terminated only upon instruction of the
Regional Administrator or State Director?
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-25-
EQUIVALENCY CRITERIA FOR LIABILITY INSURANCE
EPA will consider the following factors in determining whether state-
required liability insurance is "equivalent" or "substantially equivalent" to
the financial mechanisms prescribed in the federal regulations. As a general
rule, most, if not all of the following questions must be answered "yes" for
the state-required liability insurance to be considered "equivalent" or
"substantially equivalent."
1. Is the insurer required to be licensed to transact the business of
insurance or eligible as a provider of excess or surplus lines insurance in
one or more states?
2. Must the insurance certificate, policy, or endorsement list the
facilities covered?
3. Must an insurance certificate or endorsement be submitted as evidence
of insurance?
4. Must the policy cover both bodily injury and property damage claims?
5. Must the' policy provide -- exclusive of legal defense costs -- at
least: (1) $1 million coverage per occurrence, with an annual aggregate
amount of $2 million, for sudden accidental occurrences?; and (2) $3 million
coverage per occurrence, with an annual aggregate amount of $6 million, for
nonsudden accidental occurrences? (the nonsudden accidental coverage must be
required of surface impoundments, landfills, and land treatment facilities.)
6. Must the coverage be on a "first dollar" basis?-''
7. For sudden accidental occurrences, must the insurance policy be
effective before initial receipt of waste at a new permitted facility?
8. For nonsudden accidental occurrences, must coverage be demonstrated by
the following dates depending on the sales or revenues of the owner or
operator?
(a) Sales or revenues over $10 million January 15, 1983
(b) Sales or revenues greater than January 15, 1984
$5 million and up to $10 million
(c) Sales or revenues $5 million and January 15, 1985
less
* For details, see Chapter 2 of the Guidance Manual: Liability
Coverage (1982).
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-26-
9. Must the owner or operator maintain the policy in full force and
effect' at least until released from financial requirements or alternate
coverage is substituted?
10. Must the owner or operator provide alternate coverage within, a
defined time period in the event of liquidation or insolvency of the insurer?
(federal regulations allow 60 days)
11. Must the insurer give ample notice of its intent to cancel,
terminate, or not to renew the insurance?
i
12. Must cancellation or termination not occur during a defined time
period following the date of receipt of the notice by the Regional
Administrator or State Director? (federal regulations require 60 days for
cancellation and 30 days for termination)
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-27-
EQUIVALENCY CRITERIA FOR FINANCIAL TEST
FOR LIABILITY COVERAGE
EPA will consider the following factors in determining whether a state-
required financial test for liability coverage is "equivalent" or
"substantially equivalent" to the financial mechanisms prescribed in the
federal regulations. As a general rule, most, if not all of the following
questions must be answered "yes" for the state-required financial test for
liability coverage to be considered "equivalent" or "substantially equivalent."
1. Must the owner's or operator's financial statements be independently
audited?
2. Does the independent public accountant have to be certified by a State
Board of Accountancy?
3. Are the financial test criteria at least as;stringent as the federal
RCRA criteria?
A. Do bond ratings of the firm have to be at least
investment grade; or does net working capital have
to be at least six times the amount aggregate liability
requirements?
B. -Does the tangible net worth of the firm have to be at
least $10 million and at least six times the annual
aggregate liability requirements?
C. Do assets in the United States amount to at least
i) 90 percent of total assets, or
ii) six times the annual aggregate liability
requirements?
4. Are firms whose financial statements have received adverse opinions
or disclaimers of opinions disallowed from the financial test?
5. Is the Regional Administrator or State Director granted discretion to
accept or reject qualified opinions on a firm's financial statements?
6. Must evidence of insurance be provided in a specified period if a
notice of disallowance has been issued because of an adverse, qualified, or
disclaimer of opinion? (federal regulations allow up to 30 days.)
7. Must the financial test criteria cover -- exclusive of legal defense
costs -- at least (1) $1 million coverage per occurrence, with an annual
aggregate amount of $2 million, for sudden accidental occurrences?; (2) $3
million coverage per occurrence, with an annual aggregate amount of $6
million, for nonsudden accidental occurrences?; and (3) all closure or
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-28-
post-closure cost estimates of facilities not covered by third party
guarantees or funded mechanisms? (federal regulations require the inclusion
of facilities covered by the financial test, the corporate guarantee, and
facilities without any coverage at all.)
8. For sudden accidental occurrences, must the financial test criteria be
satisfied before initial receipt of waste by new permitted facilities?
9. For nonsudden occurrences, must coverage be demonstrated by the
following dates depending on the sales or revenues of the owner or operator?
(a) Sales or revenues over $10 million January 15, 1983
(b) Sales or revenues greater than January 15, 1984
$5 million and up to $10 million
(c) Sales or revenues $5 million and January 15, 1985
less
10. Must the owner or operator completely satisfy the test criteria at
least until released from financial requirements or alternate coverage is
substituted?
11. Must the owner or operator submit updated financial test information
a short time after the close of the firm's fiscal year? (federal regulations
allow up to 90 days.)
12. If the year-end financial statements indicate the firm no longer
qualifies to use the financial test, must the owner or operator supply
evidence of liability insurance within a limited period? (federal regulations
allow up to 90 days.)
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-29-
EQUIVALENCY CRITERIA FOR STATE ASSUMPTIONS
OF RESPONSIBILITY
EPA will consider the following factors in determining whether a state's
assumption of responsibility for an owner's or operator's closure,
post-closure care, or liability coverage is "equivalent" or "substantially
equivalent" to the financial mechanisms prescribed in the federal
regulations. As a general rule, most, if not all, of the following questions
must be answered "yes" for the state's assumption of responsibility to be
considered "equivalent" or "substantially equivalent."
1. Does the letter from the State include, or have attached to it,
identifying information for the facilities and the amounts of funds for
closure, or post-closure care, or liability coverage that are guaranteed by
the State?
2. Is the assumption of responsibility non-contingent and
irrevocable; in other words, are there no condition's which would void the
state's guarantee?"
3. Does the assumption cover the costs of all activities required for
proper closure?
4. Does the assumption cover the costs of all activities required for
post-closure care for a period of thirty years?
5. Does the assumption provide liability coverage for bodily injury in at
least the amounts required by federal standards per occurrence and in an
annual aggregate, exclusive of legal defense costs?
6. Does the assumption provide liability coverage for property damage in
at least the amounts required by federal standards per occurrence and in an
annual aggregate, exclusive of legal defense costs?
7. Does the assumption provide liability coverage in the amounts required
by federal standards for sudden accidental occurrences?
8. Does the assumption provide liability coverage for landfills, surface
impoundments, and land treatment facilities in the amounts required by federal
standards for non-sudden accidental occurrences?
"" Note: The Agency is aware of some state post-closure funds that are
available only to owners or operators of facilities that have been issued
permits under RCRA; these funds would not be non-contingent with respect to
interim status or non-permitted facilities.
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APPENDIX C
Appendix C is a list of all changes made to the Federal hazardous waste
regulations (40 CFR Parts 260-25, 270 and 124) since May 19, 1980. All
States applying for final authorization should consult this list in addition
to the May 19, 1980 regulations.
The column marked, "Effect of Change," assesses the effect of each
change to determine whether the change is one that a State must include when
it is applying for authorization. Where the effect of a particular change
in the Federal program is a reduction in stringency, States need not reflect
the change in their own programs. The following key explains the meaning of
the numbers in this column:
1 = less stringent than original regulations
(State program changes optional)
2 = more stringent than original regulations
(State programs must be equivalent)
3 = explanatory change, e.g., expansion of original
(State program changes optional)
C-l
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40 CFR
Reference
PART 260
260.10
260.11
PART 261
261.3
261.4
261.5
261.6
261.7
261.21
261.22
261.30
261.31
_
(a)
(a)
(a)
(c)
(b)
(b)
(b)
(c)
(b)
(d)
(c)
(a)
(b)
(b)
(a)
(a)
(d)
Date of Modification,
Revision, Change, etc.
HAZARDOUS WASTE MANAGEMENT
10/30/80
11/17/80
11/19/80
11/31/80
1/09/81
5/20/81
3/04/82
7/26/83
1/19/83
7/07/81
9/21/81
IDENTIFICATION AND LISTING
(2) 11/17/81
10/30/80
(6) 10/30/80
(6), (7) 11/19/80
(8) 11/25/80
12/04/80
(7), (8), (9) 5/20/31
9/25/81
11/19/80
(1)M2) 5/20/81
,(a)(3),(b) 9/09/81
1/20/83
11/25/80
(1) 8/18/82
(1) 7/07/81
(1)&(2) 7/07/81
11/12/80
7/16/80
11/12/80
1/16/81
5/20/81
FR Effect of
Page No. Change Corrnents
SYSTEM: GENERAL
45 FR 72028
45 FR 76075
45 FR 76630
45 FR 86968
46 FR 2348
46 FR 27476
47 FR 9339
47 FR 32349
48 FR 2511
46 FR 35247
47 FR 41562
OF HAZARDOUS WASTE
46 FR 56588
45 FR 72028
45 FR 72037
45 FR 76620
45 FR 80287
45 FR 80287
46 FR 27476
46 FR 47429
45 FR 76623
46 FR 27476
46 FR 44973
48 FR 2530
45 FR 78529
47 FR 36092
46 FR 35247
46 FR 35247
45 FR 74892
45 FR 47833
45 FR 74890
46 FR 4617
46 FR 27477
3
2
2
2
3
3
3
1
3
2 Original
1
1
1 Original
1
1
1
1
3
1
3
3
1
3
1
3
3
3
3
2
1
1
1,3
C-2
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40 CFR Date of Modification FR Effect of
Reference Change, Revision, etc. Page No. Change Cements
261.32
261.33
(c),(d),(e),(f)
Appendix II
Appendix III
Appendix VII
Appendix VIII
PART 262 - STANE&RDS
262.10 (f)
(b)
(d)
262.11 (a)
262.12
262.21
262.23 (c),(d),+(note)
262.34 (a)(l)
262.40 (b)
262.41
7/16/80
10/30/80
11/12/80
1/16/81
5/20/81
11/25/80
5/20/81
10/30/80
7/07/81
7/07/81
4/08/83
7/16/80
11/12/80
1/16/81
5/20/80
7/16/80
11/12/80
5/20/81
6/03/81
APPLICABLE TO
12/31/80
1/11/82
4/1/83
11/19/80
12/24/80
2/13/81
3/04/82
12/31/80
11/19/80
1/11/82
1/28/83
1/26/81
2/23/82
1/28/83
45 FR 47833
45 FR 72039
45 FR 74891
46 FR 4618
46 FR 27476
45 FR 78529 & 41
46 FR 27477
45 FR 72041
46 FR 35247
46 FR 35248
48 FR 15256
45 FR 47834
45 FP 74892
A6 FR 4619
46 FR 27477
45 FR 47834
45 FR 74892
46 FR 27477
46 FR 29708
GENERATORS OF HAZARDOUS
45 FR 86970
47 FR 1251
48 FR 14146
45 FR 76624
45 FR 85022
46 FR 12207
47 FR 9340
45 FR 86973
45 FR 76626
47 FR 1251
48 FR 3982
46 FR 8395
47 FR 7842
48 FR 3981
1
1
1
2
1
3,1 Heading and
3,1 (c) revised
3
3,1
3
1
2
2,3
2
1
3
3
1
1
WASTE
3,2
3
3
1
3
3
1
3
1
1
2
1
1,3
2
C-3
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40 CFR
Reference
262.50 (b)
(b)
262.51
Appendix II
PART 263 -
263.10 (c)
263.11
263.12
263.20 (e)
263.22 (b)
PART 264 -
264.1 (g)
(g)
(g )
(g)
(c)
(d)
(e)
(f)
(g)
264.3
264.10
(b)
(b)
Date of Modification FR
Change, Revision
(3),(d) 3/04/82
(l)(iii) 3/29/83
11/25/80
3/04/82
1/28/83
STANDARDS APPLICABLE
(2) 12/31/80
12/24/80
2/13/81
12/31/80
4/1/83
,(f) 12/31/80
,(c),(d),(e) 12/31/80
STANDARDS FOR TSDF'S
(6) 11/17/80
(7) 12/31/80
(8) 11/19/80
(10) 2/25/82
3/09/82
4/1/83
4/1/83
4/1/83
4/1/83
(8) 1/19/83
4/1/83
1/12/81
1/23/82
7/26/82
, etc. Page NO.
47 FR 9340
48 FR 13027
45 FR 78529
47 FR 9340
48 FR 3982
Effect of
Change Corrments
3
1
3
2 Manifest fom
2
TO TRANSPORTERS OF HAZARDOUS VJASTE
45 FR 86968
45 FR 85022
46 FR 12207
45 FR 86968
48 FR 14294
45 FR 86973
45 FR 86973
45 FR 76075
45 FR 86968
45 FR 76630
47 FR 8306
47 PR 10006
48 FR 14294
48 FR 14294
48 FR 14294
48 FR 14294
48 FR 2511
48 FR 14294
46 FR 2848
46 FR 7678
47 FR 32349
1
3
3
1
3
1,3
3,1
1 Original
1
1
1
3 Corrects all abo
numbers
3
3
3
3
2
3
3
3 Original
1
264.12 (c)
264.13 (b)(3)
4/1/83
1/12/81
48 FR 14294
46 FR 2848
C-4
-------
40 CFR Date of Modification
Reference Revision, Change, etc.
264.14
264.15
264.16
264.17
264.18
264.32
264.35
Subpart
264.36
264.52
264.71
264.73
264.75
(b)(6) 1/12/81
(b)(6) 1/23/81
(a)(l) 4/1/83
1/12/81
(a) (2) 4/1/83
(b)(4) 1/12/81
(b)(4) 1/23/81
(b)(4) 7/26/82
(b)(4) 4/1/83
(a) 1/12/81
(a)(l) 4/1/83
1/12/81
1/12/81
(b)(l) 7/26/82
4/1/83
(d) 4/1/83
4/1/83
C - Preparedness and Prevention
1/12/81
5/20/81
(c) 12/31/80
(b) 12/31/80
(5), (6), (7), (8) 1/12/81 &
1/23/81
(b)(6) 7/26/82
(e),(f ),(g),(h) 1/12/81
1/26/81
2/23/82
1/28/83
FR Effect of
Page No. Change
46 PR 2848
46 FR 7678
48 FR 14294
46 FR 2848
48 FR 14294
46 FR 2848
46 FR 7678
47 FR 32351
48 FR 14294
46 FR 2848
48 FR 14294
46 FR 2848
46 FR 2848
47 FR 32351
48 FR 14294
48 FR 14294
48 FR 14294
46 FR 2849
46 FR 27480
45 FR 86970
45 FR 86974
46 FR 2849
and 7678
47 FR 32349
46 FR 2849
46 FR 8395
47 FR 7842
48 FR 3982
2
2
3
3
3
2
3
3,1
3
3
3
1
1
3,1
3
3
3
1
3
2
3,1
3,2
3,2
3
3,2
1,3
1,3
2
Comments
Original
Original
Original
Original
Read as package
Read as package
Suspends ^
Reinposes §
264.76
1/28/83
48 FR 3982
C-5
-------
40 CFR
Reference
264.77 (b)
Subpart F -
Date of Modification
Change, Revision, etc.
& (c) 1/12/81
7/26/82
1/28/83
Ground-water Protection
FR
Page No.
46 FR 2849
47 FR 32349
48 FR 3922
Effect of
Change
3
3
3
Comments
Original
Revises section
264.90 - 264.100 7/26/82
264.93 (c) 4/1/83
264.94 (c) 4/1/83
Subpart G - Closure and Post Closure
47 FR 32350- 1
32356
48 FR 14294 3
48 FR 14294 3
New
1/23/81
4/1/83
4/1/83
4/1/83
46 FR 7678
48 _FR 14294
48 FR 14294
48 FR 14294
3,1
3
3
3
264.110-264.120 1/12/81 46 FR 2849 1 New
264.112
264.113
264.118 (a)
Note: On July 26, 1982 @ 47 FR 32356-57, the following Subpart G Sections
were revised, and should be noted when applying for Phase II:
264.110(b); 264.112{a) intro text, and (a)(l);
264.117(a)(l)(i) and (ii); and 264.118(a), intro
text, (a)(l), (a)(2)(i) and (ii).
Subpart H - Financial Requirements
Note: On April 7, 1982
-------
40 CFR Date of
Reference Change ,
264.147
(g)
(g)
264.151 (g)
Subpart I - Containers
264.170-264.173
264.175
Subpart J - Tanks
264.190-264.199
264.191
264.198 (b) , and
Modification
Revision, etc.
7/01/82
7/13/82
7/13/82
4/27/82
1/13/81
11/10/81
1/13/81
7/07/81
7/07/81
FR
Page No.
47 FR 28627
47 FR 30447
47 FR 3047
47 FR 17989
46 FR 2866
46 FR 55112
46 FR 2867
46 FR 35249
46 FR 35249
Effect of
Change Comments
3
3 , 1 New
3
3
1
1
1
1
3
comment
Subpart K - Surface Impoundments
264.220-264.230 Originally promulgated 1/12/81 (a 45 FR 2868, the regulations
were superseded in toto on July 26, 1982 (effective January 26,
1983) @ 47 FR 32357. For explanation of applicability, refer
to the preamble to the July 26, 1982, Federal Register (47 FR
32379).
Subpart L - Waste Piles
264.250-264.258 Originally promulgated 1/12/81 @ 46 FR 2870, the regulations
were superseded in toto on July 26, 1982 (effective January 26,
1983)
-------
40 CFR
Reference
Subpart O -
264.340-264.
264.340 (b),
(c)
264.341 (a)
(a)
264.342 (b)(
264.343 (b),
(d)
264.344
264.345
264.347
Appendix V
Appendix VT
Appendix VI
Appendix VI
PART 265 -
Date of Modification
Change, Revision, etc.
Incinerators
351 Originally promulgated
These regulations were
on June 24, 1982 & 47
noted below:
(c) 6/24/82
4/1/83
6/24/82
4/1/83
2) 4/1/83
(c) 6/24/82
4/1/83
6/24/82
4/1/83
6/24/82
6/24/82
1/12/81
1/12/81
11/23/81
1/08/82
FR
Page No.
Effect of
Change Comments
1/23/81 0 46 FR 7678.
substantially amended
FR 27532 et. seq. , as
47 FR 27532
48 FR 14294
47 FR 27532
48 FR 14294
48 FR 14294
47 FR 27532
48 FR 14294
47 FR 27532
48 FR 14294
47 FR 27532
47 FR 27532
46 FR 2872
46 FR 2872
46 FR 57285
47 FR 953
1
3
3
3
3
1,3
3
3 New Section
3
3
2,3
3
3
3
3
INTERIM STATUS STANDARDS FOR TSDF'S
265 (General) 5/21/80
1/30/81
265.1 (c)(
(c)(
(c)(
(c)(
(c)
10) 11/17/80
11) 11/19/80
10) 12/31/80
5/20/81
13) 2/25/82
3/09/82
4/1/83
1/19/83
45 FR 34255
46 FR 10911
45 FR 76075
45 FR 76630
45 FR 86968
46 FR 27480
47 FR 8306
47 FR 10006
48 FR 14295
48 FR 2511
3
3
1 Original
1 Original
1 Original
3 (c)(10) becomes (c)(
1
3
3
3
C-8
-------
40 CFR
Reference
265.12
265.52 (b)
265.71 (c)
(b)
265.73 (b)
265.75
265.76
265.77
265.90 (e)
265.93 (a)
265.94 (a)
Subpart G -
Cate of Modification
Change, Revision, etc
4/1/83
5/20/81
(l)thru(5) 12/31/80
12/31/80
(3) 1/23/81
1/23/81
2/23/82
1/28/83
1/28/83
1/28/83
2/23/82
2/23/82
(2)(i) 2/23/82
1/28/83
Closure and Post-Closure
265.110 - 265.220 1/12/81
265.147
(a)
(b)
(b)
(c)
(d)
(f)
(g)
Subpart H -
4/1/83
(D(i) 7/1/82
(l)(i) 7/1/82
(5) 7/1/82
7/1/82
7/1/82
(3) -(6) 7/1/82
7/13/83
Financial Requirements - £k
4/17/82. These are not in<
Financial Requirements was
FR
Page No.
48 FR 14295
46 _FR 27480
45 FR 86970
45 FR 86974
46 FR 7680
46 FR 8395
47 FR 7842
48 FR 3982
48 FR 3982
48 FR 3982
47 FR 7842
47 FR 7842
47 FR 7842
48 FR 3982
46 FR 2875
48 FR 14295
47 FR 28627
47 FR 28627
47 FR 28627
47 FR 28627
47 FR 28627
47 FR 28627
47 FR 30447
Effect of
Change
3
3
3
3
1,3
1
2
2
2
2
1
1
2
2,3
3
3
3
3
3
3
3
3
Comments
Original
Section revised
@ 47 FR 15064 - 15074 (40 CFR 265.140-150). Liability Requirements
(§265.147) were issued 4/16/82 @ 47 FR 16559-16561).
Subpart J - Tanks
265.198 (b)
7/07/81
46 FR 35249
C-9
-------
40 CFP Date of Modification FR Effect of
Reference Change, Revision, etc. Page No. Change
Subpart
265.222
265.228
265.229
Subpart
265.253
265.258
Subpart
265.272
265.276
265.279
265.280
265.281
Subpart
265.302
265.310
265.312
265.314
265.315
265.316
K - Surface Impoundments
7/26/82
7/26/82
7/26/82
L - Waste Piles
(b)(and comment) 7/07/81
(a),(c) 7/26/82
7/26/82
M - Land Treatment
(b),(c),(d) 7/26/82
(e) 7/26/82
7/26/82
4/1/83
7/26/82
(c),(d), 7/26/82
(fi),(f) 7/26/82
7/26/82
N - Landfills
(a),(b),(c) 7/26/82
7/26/82
7/26/82
(b),(c) 3/22/82
(a)(l) 7/26/82
7/26/82
11/17/81
1/15/82
47 FR 32387
47 FR 32387
47 FR 32387
46 FR 35249
47 FR 32367
47 FR 32367
47 FR 32368
47 FR 32368
47 FR 32368
48 FR 14295
47 FR 32368
47 FR 32368
47 FR 32368
47 FR 32368
47 FR 32368
47 FR 32387
47 FR 32368
47 FR 12318
47 FR 32368
47 FR 32387
46 FR 56595
47 FR 2316
3
3,2
3
1
1,3
2
3,2
2
2
3
3
3,2
2
3,2
3,2
2
3,2
3,2
3,2
1
1
Comments
Original
Original
Original
Original
Original
Original
Original
C-10
-------
40 CFK Date of
Reference Change,
Subpart O - Incinerators
The May 19, 1980 regulat
Modification
Revision, etc.
ions were revised
Fl< Effect of
Page No.
in toto January
(46 PR 7680). All revisions cited here are to the January
265.340 (b)
265.347 (b)
Appendix II
PART 122 - PERMITTING
Note: On April 1, 1983,
to Part 270. (See
122.3
122.4 (b)
(d)(7)
122.6
122.7 (c),(h),(i)(l)
122.10 (a)
(a)(4)
(b)
122.11 (c)
(c)
122.15 (a) (7)
(a)(7)(iv) thru
6/24/82
6/24/82
1/28/83
REQUIREMENTS
47 FR 27533
47 FR 27533
48 _FR 3982
Change
23, 1981
23 FR.
1
1
2
Cements
all Part 122 requirements were recodified
48 FR 14146).
7/21/80
10/15/80
11/17/80
11/19/80
12/31/80
1/09/81
8/27/81
2/03/82
1/19/83
11/10/80
4/08/82
8/06/80
4/08/82
10/15/80
2/03/82
7/26/82
2/13/81
9/25/81
1/12/81
7/26/82
45 FR 48620
45 FR 68391
45 FR 76075
45 FR 76630
45 FR 86968
46 FR 2348
46 FR 93160
47 FR 4996
48 FR 2512
45 FR 74490
47 FR 15306
45 FR 52149
47 FR 15307
45 FR 68391
47 FR 4996
47 FR 32369
46 FR 12433
46 FR 47433
46 FR 2888
47 FR 32369
3
1
3
2
2
3
3
3
3
3
1,3
3
3,1
1
1
3,1
3
3
3,2
2
Definitions
Original
Original
(viii)
C-ll
-------
40 CFR Date of Modification FR Effect of
Reference Change, Revision, etc. Page No. Change
122.16
122.17
122.18
122.19
122.20
122.21
122.22
122.23
122.25
122.26
122.27
(a) 8/27/81
(f)(3) 6/24/80
(e) 1/12/81
(f)(l) 8/27/81
(e)(3),(4),(5) 6/24/82
(e)(6),(7),(8) 7/26/82
(c)(4)(ii) 6/24/80
(c)(3) 1/28/83
(d) 4/08/82
7/07/81
(a) 9/21/82
(d)(2)(vi) 11/17/80
(d)(3) 11/19/80
(d)(2)(vii) 12/31/80
(d) (2) (viii) 2/25/82
(d) (2) (viii) 3/09/82
(d) 7/26/82
(d)(4) 7/26/82
(a)(l),(2),(3) 11/19/80
(a)(l) 11/19/80
12/10/81
all 1/12/81
(b)(5) 1/23/81
all 7/07/81
(b) (1) , (i) , (ii) , (iii) ,
(b)(4) 11/06/81
(ta)(5) 6/24/82
(a)(5),(13),
(b)(3),(4),(6),(7)
(c) 7/26/82
(a)(3)(v) 1/28/83
(b)(3)(v) & (vi) 1/28/83
1/23/81
7/07/81
6/24/82
7/26/82
46 FR. 43160
45 FR 42512
46 FR 2889
46 FR 43160
47 FR 27533
47 FR 32369
45 FR 42511
48 FR 3983
47 FR 15307
46 FR 35249
47 FR 41563
45 FR 76075
45 FR 76630
45 FR 86968
47 FR 8306
47 FR 10006
47 FR 32396
47 FR 32396
45 FR 76635
45 FR 76636
46 FR 60446
46 FR 2889
46 FR 7681
46 FR 35249
46 FR 55113
47 FR 32369
47 FR 32369
48 FR 3983
48 FR 3983
46 FR 7681
46 FR 35249
47 FR 27533
47 FR 32372
3
3
3
3
3
1
2
1
3
3
1
1
1
1
3
3,2
1,3
3,1
3,1
3
2,3
2
1,3
3
3,2
3,2
2
2
2
3
3
2
Conments
Adds UIC
Original
Original
Original
Original
Original
Original
Land Disposal
Part B
Original
C-12
-------
40 CFR
Reference
122.28(e)(3)
122.29
Date of Modification
Change, Revision, etc.
1/28/83
1/12/81
9/25/81
PART 124 - PERMITTING PROCEDURES
124.3 (b)
124.5
124.10 (b)(l),
124.12 (a)
124.16 (a)(l)
8/07/80
8/07/80
7/15/81
7/15/81
4/08/82
FR
Page No.
48 FR 3983
46 FR 2892
46 FR 47433
45 FR 52748
45 FR 52748
46 PR 36706
46 FR 36706
47 FR 15307
Effect of
Change
Comments
Reflects 1980 RCRA
amendment to
S7004(b)
Reflects 1980 RCRA
amendment to
§7004(b)
C-13
-------
U.S. Environmental Protection Agency
Region 5, Library (PL-12J)
77 West Jackson Boulevard, 12th Floor
Chicago, JL 60604-3590
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