United States
Enforcement and
EPA 300-B-00-001
Environmental Protection Compliance Assurance March 2000
Agency (2221 -A)
Protocol for Conducting
Environmental Compliance
Audits of Facilities
Regulated under Subtitle D
of RCRA
EPA Office of Compliance
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Protocol for Conducting Environmental Compliance Audits of Facilities Regulated under Subtitle D of
RCRA
Notice
The statements in this document are intended solely as guidance to aid regulated entities in complying with the
regulations. The guidance is not a substitute for reading the regulations and understanding all the requirements as it
applies to your facility. This guidance does not constitute rulemaking by the U.S. EPA and may not be relied on to
create a substantive or procedural right or benefit enforceable, at law or in equity, by any person. U.S. EPA may
decide to update this guide without public notice to reflect changes in U.S. EPA's approach to implementing the
regulations or to clarify and update text. To determine whether U.S. EPA has revised this document and/or to
obtain copies, contact U.S. EPA's Center for Environmental Publications at 1(800) 490-9198. Additional
information regarding U.S. EPA Hotlines and further assistance pertaining to the specific rules discussed in this
document can be found at the end of the Key Compliance Requirements located in Section II. The contents of this
document reflect regulations issued as of March 12,2000.
Acknowledgem ents
U.S. EPA would like to gratefully acknowledge the support of the U.S. Army Corps of Engineers Construction
Engineering Research Laboratory (CERL) for providing suggestions for overall format of this document. The Office
of Compliance at U.S. EPA gratefully acknowledges the contribution of U.S. EPA's program offices and the U.S.
EPA's Office of Counsel in reviewing and providing comment on this document.
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities Regulated under Subtitle D of
RCRA
Table of Contents
Notice inside cover
Acknowledgement inside cover
Section 1: Introduction
Background ii
Who Should Use These Protocols? ii
U.S. EPA's Public Policies that Support Environmental Auditing iii
How To Use the Protocols iv
The Relationship of Auditing to Enviornmental Management Systems vi
Section II: Audit Protocol
Applicability 1
Review of Federal Legislation 1
State and Local Regulations 3
Key Compliance Requirements 3
Key Terms and Definitions 4
Typical Records to Review 12
Typical Physical Features to Inspect 12
List of Acronyms and Abbreviations 12
Index for Checklist Users 15
Checklist 17
Appendices
Appendix A: Open Dumping Al
Appendix B: Compliance Dates for Municipal Solid Waste Landfills Bl
Appendix C: Municipal Solid Waste Landfill Units Exempt from Compliance with 40 CFR 258 Cl
Appendix D: Design Criteria Concentration Values Dl
Appendix E: Constituents for Detection Monitoring El
Appendix F: List of Hazardous Inorganic and Organic Constituents Fl
Appendix G: User Satisfaction Questionnaire and Comment Form G
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities Regulated under Subtitle D of
RCRA
Section I
Introduction
Background
The Environmental Protection Agency (U.S. EPA) is responsible for ensuring that businesses and organizations
comply with federal laws that protect the public health and the environment. U.S. EPA's Office of Enforcement
and Compliance Assurance (OECA) has begun combining traditional enforcement activities with more innovative
compliance approaches including the provision of compliance assistance to the general public. U.S. EPA's Office
of Compliance Assistance was established in 1994 to focus on compliance assistance-related activities. U.S. EPA is
also encouraging the development of self-assessment programs at individual facilities. Voluntary audit programs
play an important role in helping companies meet their obligation to comply with environmental requirements.
Such assessments can be a critical link, not only to improved compliance, but also to improvements in other aspects
of an organization's performance. For example, environmental audits may identify pollution prevention
opportunities that can substantially reduce an organization's operating costs. Environmental audits can also serve as
an important diagnostic tool in evaluating a facility's overall environmental management system or EMS.
U.S. EPA is developing 13 multi-media Environmental Audit Protocols to assist and encourage businesses and
organizations to perform environmental audits and disclose violations in accordance with OECA's Audit and Small
Business Policies. The audit protocols are also intended to promote consistency among regulated entities when
conducting environmental audits and to ensure that audits are conducted in a thorough and comprehensive manner.
The protocols provide detailed regulatory checklists that can be customized to meet specific needs under the
following primary environmental management areas:
• Generation of RCRA
Hazardous Waste
• Treatment Storage and
Disposal of RCRA
Hazardous Waste
• EPCRA
• CERCLA
• Safe Drinking Water Act
• Managing Nonhazardous
Solid Waste
• Clean Air Act
• TSCA
• Pesticides Management
(FIFRA)
• RCRA Regulated Storage
Tanks
• Clean Water Act
• Universal Waste and Used Oil
• Management of Toxic
Substances (e.g., PCBs,
lead-based paint,
and asbestos)
Who Should Use These Protocols?
U.S. EPA has developed these audit protocols to provide regulated entities with specific guidance in periodically
evaluating their compliance with federal environmental requirements. The specific application of this particular
protocol, in terms of which media or functional area it applies to, is described in Section II under "Applicability".
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities Regulated under Subtitle D of
RCRA
The Audit Protocols are designed for use by individuals who are already familiar with the federal regulations but
require an updated comprehensive regulatory checklist to conduct environmental compliance audits at regulated
facilities. Typically, compliance audits are performed by persons who are not necessarily media or legal experts but
instead possess a working knowledge of the regulations and a familiarity with the operations and practices of the
facility to be audited. These two basic skills are a prerequisite for adequately identifying areas at the facility
subject to environmental regulations and potential regulatory violations that subtract from the organizations
environmental performance. With these basic skills, audits can be successfully conducted by persons with various
educational backgrounds (e.g., engineers, scientists, lawyers, business owners or operators). These protocols are
not intended to be a substitute for the regulations nor are they intended to be instructional to an audience seeking a
primer on the requirements under Title 40, however, they are designed to be sufficiently detailed to support the
auditor's efforts.
The term "Protocol" has evolved over the years as a term of art among the professional practices of auditing and
refers to the actual working document used by auditors to evaluate facility conditions against a given set of criteria
(in this case the federal regulations). Therefore these documents describe "what" to audit a facility for rather than
"how" to conduct an audit. To optimize the effective use of these documents, you should become familiar with
basic environmental auditing practices. For more guidance on how to conduct environmental audits, U.S. EPA
refers interested parties to two well known organizations: The Environmental Auditing Roundtable (EAR) and the
Institute for Environmental Auditing (IEA).
Environmental Health and Safety Auditing Roundtable The Institute for Environmental Auditing
35888 Mildred Avenue Box 23686
North Ridgeville, Ohio 4403 9 L 'Enfant Plaza Station
(216) 327-6605 Washington, DC 20026-3686
U.S. EPA*s Public Policies that Support Environmental Auditing
In 1986, in an effort to encourage the use of environmental auditing, U.S. EPA published its "Environmental
Auditing Policy Statement" (see 51 FR 25004). The 1986 audit policy states that "it is U.S. EPA policy to
encourage the use of environmental auditing by regulated industries to help achieve and maintain compliance with
environmental laws and regulation, as well as to help identify and correct unregulated environmental hazards." In
addition, U.S. EPA defined environmental auditing as "a systematic, documented, periodic, and objective review of
facility operations and practices related to meeting environmental requirements." The policy also identified several
objectives for environmental audits:
• verifying compliance with environmental requirements,
• evaluating the effectiveness of in-place environmental management systems, and
• assessing risks from regulated and unregulated materials and practices.
In 1995, U.S. EPA published "Incentives for Serf-Policing: Discovery, Disclosure, Correction and Prevention of
Violations" which both reaffirmed and expanded its 1986 audit policy. The 1995 audit policy offers major
incentives for entities to discover, disclose and correct environmental violations. Under the 1995 policy, U.S. EPA
will not seek gravity-based penalties or recommend criminal charges be brought for violations that are discovered
through an "environmental audit" (as defined in the 1986 audit policy) or a management system reflecting "due
diligence" and that are promptly disclosed and corrected, provided that other important safeguards are met. These
safeguards protect health and the environment by precluding policy relief for violations that cause serious
environmental harm or may have presented an imminent and substantial endangerment.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities Regulated under Subtitle D of
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In 1996, U.S. EPA issued its "Final Policy on Compliance Incentives for Small Businesses". The policy is intended
to promote environmental compliance among small businesses by providing them with special incentives to
participate in U.S. EPA compliance assistance programs. Similar to the U.S. EPA Audit Policies, the Small
Business Policy also encourages small businesses to conduct environmental audits, and then to promptly disclose
and correct violations.
More information on U.S. EPA's Small Business and Audit/Self-Disclosure Policies are available by contacting
U.S. EPA's Enforcement and Compliance Docket and Information Center at (202) 564-2614 or visiting the U.S.
EPA web site at: http://es.EPA.gov/oeca/polguid/polguid 1 .html
How to Use The Protocols
Each protocol provides guidance on key requirements, defines regulatory terms, and gives an overview of the
federal laws affecting a particular environmental management area. They also include a checklist containing
detailed procedures for conducting a review of facility conditions. The audit protocols are designed to support a
wide range of environmental auditing needs; therefore several of the protocols in this set or sections of an individual
protocol may not be applicable to a particular facility. To provide greater flexibility, each audit protocol can be
obtained electronically from the U.S. EPA Website (www.EPA.gov/oeca/ccsmd/profile.html). The U.S. EPA
Website offers the protocols in a word processing format which allows the user to custom-tailor the checklists to
more specific environmental aspects associated with the facility to be audited.
The protocols are not intended to be an exhaustive set of procedures; rather they are meant to inform the auditor,
about the degree and quality of evaluation essential to a thorough environmental audit. U.S. EPA is aware that
other audit approaches may also provide an effective means of identifying and assessing facility environmental
status and in developing corrective actions.
It is important to understand that there can be significant overlap within the realm of the federal regulations. For
example, the Department of Transportation (DOT) has established regulations governing the transportation of
hazardous materials. Similarly, the Occupational Safety and Health Administration (OSHA) under the U.S.
Department of Labor has promulgated regulations governing the protection of workers who are exposed to
hazardous chemicals. There can also be significant overlap between federal and state environmental regulations. In
fact, state programs that implement federally mandated programs may contain more stringent requirements that are
not included in these protocols. There can also be multiple state agencies regulating the areas covered in these
protocols. The auditor also should determine which regulatory agency has authority for implementing an
environmental program so that the proper set of regulations is consulted. Prior to conducting the audit, the auditor
should review federal, state and local environmental requirements and expand the protocol, as required, to include
other applicable requirements not included in these documents.
Review of Federal Legislation and Key Compliance Requirements:
These sections are intended to provide only supplementary information or a "thumbnail sketch" of the regulations
and statutes. These sections are not intended to function as the main tool of the protocol (this is the purpose of the
checklist). Instead, they serve to remind the auditor of the general thrust of the regulation and to scope out facility
requirements covered by that particular regulation. For example, a brief paragraph describing record keeping and
reporting requirements and the associated subpart citations will identify and remind the auditor of a specific area of
focus at the facility. This allows the auditor to plan the audit properly and to identify key areas and documents
requiring review and analysis.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities Regulated under Subtitle D of
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State and Local Regulations:
Each U.S. EPA Audit Protocol contains a section alerting the auditor to typical issues addressed in state and local
regulations concerning a given topic area (e.g., RCRA and used oil). From a practical standpoint, U.S. EPA cannot
present individual state and local requirements in the protocols. However, this section does provide general
guidance to the auditor regarding the division of statutory authority between U.S. EPA and the states over a specific
media. This section also describes circumstances where states and local governments may enact more stringent
requirements that go beyond the federal requirements.
U.S. EPA cannot overemphasize how important it is for the auditor to take under consideration the impact of state
and local regulations on facility compliance. U.S. EPA has delegated various levels of authority to a majority of
the states for most of the federal regulatory programs including enforcement. For example, most facilities regulated
under RCRA, and/or CWA have been issued permits written by the states to ensure compliance with federal and
state regulations. In turn, many states may have delegated various levels of authority to local jurisdictions.
Similarly, local governments (e.g., counties, townships) may issue permits for air emissions from the facility.
Therefore, auditors are advised to review local and state regulations in addition to the federal regulations in order to
perform a comprehensive audit.
Key Terms and Definitions:
This section of the protocol identifies terms of art used in the regulations and the checklists that are listed in the
"Definitions" sections of the Code of Federal Regulations (CFR). It is important to note that not aUdefinitions from
the CFR may be contained in this section, however; those definitions which are commonly repeated in the checklists
or are otherwise critical to an audit process are included. Wherever possible, we have attempted to list these
definitions as they are written in the CFR and not to interpret their meaning outside of the regulations.
The Checklists:
The checklists delineate what should be evaluated during an audit. The left column states either a requirement
mandated by regulation or a good management practice that exceeds the requirements of the federal regulations.
The right column gives instructions to help conduct the evaluation. These instructions are performance objectives
that should be accomplished by the auditor. Some of the performance objectives may be simple documentation
checks that take only a few minutes; others may require a time-intensive physical inspection of a facility. The
checklists contained in these protocols are (and must be) sufficiently detailed to identify any area of the company or
organization that would potentially receive a notice of violation if compliance is not achieved. For this reason, the
checklists often get to a level of detail such that a specific paragraph of the subpart (e.g., 40 CFR 262.34(a)(l)(i))
contained in the CFR is identified for verification by the auditor. The checklists contain the following components:
• "Regulatory Requirement or Management Practice Column"
The "Regulatory Requirement or Management Practice Column" states either a requirement mandated by
regulation or a good management practice that exceeds the requirements of the Federal regulations. The
regulatory citation is given in parentheses after the stated requirement. Good management practices are
distinguished from regulatory requirements in the checklist by the acronym (MP) and are printed in italics.
• "Reviewer Checks" Column:
The items under the "Reviewer Checks:" column identify requirements that must be verified to accomplish
the auditor's performance objectives. (The key to successful compliance auditing is to verify and document
site observations and other data.) The checklists follow very closely with the text in the CFR in order to
provide the service they are intended to fulfill (i.e., to be used for compliance auditing). However, they are
not a direct recitation of the CFR. Instead they are organized into more of a functional arrangement (e.g.,
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities Regulated under Subtitle D of
RCRA
record keeping and reporting requirements vs. technical controls) to accommodate an auditor's likely
sequence of review during the site visit. Wherever possible, the statements or items under the "Reviewer
Checks" column, will follow the same sequence or order of the citations listed at the end of the statement
in the "Regulatory Requirement" column.
• "NOTE:" Statements
"Note:" statements contained in the checklists serve several purposes. They usually are distinguished from
"Verify" statements to alert the auditor to exceptions or conditions that may affect requirements or to
referenced standards that are not part of Title 40 (e.g., American Society for Testing and Materials
(ASTM) standards). They also may be used to identify options that the regulatory agency may choose in
interacting with the facility (e.g., permit reviews) or options the facility may employ to comply with a
given requirement.
• Checklist Numbering System:
The checklists also have a unique numbering system that allows the protocols to be more easily updated by
topic area (e.g., RCRA Small Quantity Generator). Each topic area in turn is divided into control breaks to
allow the protocol to be divided and assigned to different teams during the audit. This is why blank pages
may appear in the middle of the checklists. Because of these control breaks, there is intentional repetition
of text (particularly "Note" Statements) under the "Reviewer Checks" column to prevent oversight of key
items by the audit team members who may be using only a portion of the checklist for their assigned area.
Environmental regulations are continually changing both at the federal and state level. For this reason, it is
important for environmental auditors to determine if any new regulations have been issued since the publication of
each protocol document and, if so, amend the checklists to reflect the new regulations. Auditors may become aware
of new federal regulations through periodic review of Federal Register notices as well as public information
bulletins from trade associations and other compliance assistance providers. In addition, U.S. EPA offers
information on new regulations, policies and compliance incentives through several Agency Websites. Each
protocol provides specific information regarding U.S. EPA program office websites and hotlines that can be
accessed for regulatory and policy updates.
U.S. EPA will periodically update these audit protocols to ensure their accuracy and quality. Future updates of the
protocols will reflect not only the changes in federal regulations but also public opinion regarding the usefulness of
these documents. Accordingly, the Agency would like to obtain feedback from the public regarding the format,
style and general approach used for the audit protocols. The last appendix in each protocol document contains a
user satisfaction survey and comment form. This form is to be used by U.S. EPA to measure the success of this tool
and future needs for regulatory checklists and auditing materials.
The Relationship of Auditing to Environmental Management Systems
An environmental auditing program is an integral part of any organization's environmental management system
(EMS). Audit findings generated from the use of these protocols can be used as a basis to implement, upgrade, or
benchmark environmental management systems. Regular environmental auditing can be the key element to a high
quality environmental management program and will function best when an organization identifies the "root causes"
of each audit finding. Root causes are the primary factors that lead to noncompliance events. For example a
violation of a facility's wastewater discharge permit may be traced back to breakdowns in management oversight,
information exchange, or inadequate evaluations by untrained facility personnel.
As shown in Figure 1, a typical approach to auditing involves three basic steps: conducting the audit, identifying
problems (audit findings), and fixing identified deficiencies. When the audit process is expanded, to identify and
correct root causes to noncompliance, the organization's corrective action part of its EMS becomes more effective.
In the expanded model, audit findings (exceptions) undergo a root cause analysis to identify underlying causes to
noncompliance events. Management actions are then taken to correct the underlying causes behind the audit
findings and improvements are made to the organizations overall EMS before another audit is conducted on the
This document is intended solely for guidance. No statutory or regulatory vi
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities Regulated under Subtitle D of
RCRA
facility. Expanding the audit process allows the organization to successfully correct problems, sustain compliance,
and prevent discovery of the same findings again during subsequent audits. Furthermore, identifying the root cause
of an audit finding can mean identifying not only the failures that require correction but also successful practices
that promote compliance and prevent violations. In each case a root cause analysis should uncover the failures
while promoting the successes so that an organization can make continual progress toward environmental
excellence.
Figure 1 - Expanded Corrective Action Model
Improve
Environmental
Mgmt. System
Effectiveness
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
vn
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This document is intended solely for guidance. No statutory or regulatory vui
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities Regulated under Subtitle D of
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Section II
Audit Protocol
Applicability
This audit protocol applies to facilities that collect, treat and dispose of solid non-hazardous waste regulated under
Subtitle D of the Resource Conservation and Recovery Act (RCRA). For facilities that generate, manage or dispose
of hazardous wastes under Subtitle C of RCRA, U.S. EPA has provided guidance and audit checklists in two
separate documents. Generators of hazardous waste are referred to the U.S. EPA document titled; Protocol for
Conducting Environmental Compliance Audits of Hazardous Waste Generators (Document No. EPA-305-B-98-
005). Facilities that treat, store or dispose of hazardous wastes under RCRA are referred to the U.S. EPA Document
titled; Protocol for Conducting Environmental Compliance Audits of Treatment, Storage and Disposal Facilities
under the Resource Conservation and Recovery Act (Document Number EPA-305-B-98-006).
Not all checklist items will be applicable to a given facility. Guidance is provided under the checklist to direct the
auditor to the regulations typically applicable to most facilities that collect and/or dispose of non-hazardous solid
waste.
There are numerous environmental regulatory requirements administered by federal, state, and local government.
Each level of government may have a major impact on areas at the facility that are subject to the audit. Auditors are
advised to review federal, state and local regulations in order to perform a comprehensive audit.
Review of Federal Legislation
Resource Conservation and Recovery Act (RCRA)
The Resource Conservation and Recovery Act (RCRA) of 1976, which amended the Solid Waste Disposal Act,
addresses non-hazardous (Subtitle D) and hazardous (Subtitle C) waste management activities. RCRA has since
been amended by the Used Oil Recycling Act of 1980 (UORA) and The Hazardous and Solid Waste Amendments
(HSWA) of 1984. The HSWA amendments greatly expanded the requirements and coverage of RCRA and added
Subtitle I, which governs underground storage tanks (USTs).
Subtitle D of RCRA (40 CFR 240-258) establish standards and guidelines for solid waste collection and disposal
programs, as well as recycling programs. The regulations also establish criteria for design, operation, maintenance,
and closure for municipal solid waste landfills. In addition, the regulations provide requirements for thermal
processing (incineration) and resource recovery facilities. Under Subtitle D of RCRA, the regulation of non-
hazardous waste is the responsibility of the states, however, U.S. EPA has established minimum criteria for
prescribing best practical controls and monitoring requirements for solid waste disposal facilities.
Impacts from Subtitle D on facility audits may be direct if the facility operates a solid waste incinerator or manages
an on-site solid waste landfill. The impacts on auditing may also be indirect, coming into play as a result of a
facility's use of an off-site solid waste disposal facility. Typically units such as solid waste landfills and non-
hazardous waste incinerators are regulated through state-issued permits.
Many businesses and organizations may have numerous operations that result in the generation and management of
different types of solid and hazardous waste. These operations may be subject to specific parts of RCRA,
depending on the type of waste generated, its management (e.g., stored, transported), and its disposal. Most RCRA
requirements are not industry specific but apply to any entity that generates, transports, treats, stores, or disposes of
both hazardous and non- hazardous waste. The following are some other important RCRA regulatory requirements:
Identification of Solid and Hazardous Wastes (40 CFR Part 261) delineates the procedure every
generator must follow in determining whether the material in question is considered a hazardous waste
or solid waste or is exempted from regulation.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities Regulated under Subtitle D of
RCRA
Standards for Generators of Hazardous Waste (40 CFR Part 262) establish the responsibilities of
hazardous waste generators. These include obtaining an U.S. EPA identification number, preparing a
manifest, ensuring proper packaging and labeling, meeting standards for waste accumulation units, and
meeting record keeping and reporting requirements. Providing they meet additional requirements
described in 40 CFR 262.34, generators may accumulate hazardous waste for up to 90 days (or 180 or
270 days depending on the amount of waste generated and the distance the waste will be transported).
Land Disposal Restrictions (LDRs) (40 CFR Part 268) are regulations prohibiting the disposal of
hazardous waste on land without prior treatment. Under the LDR program, materials must meet LDR
treatment standards prior to placement in a RCRA land disposal unit (landfill, land treatment unit,
waste pile, or surface impoundment). Generators of waste subject to the LDR must provide
notification of such to the designated TSD facility to ensure proper treatment prior to disposal.
Used Oil Management Standards (40 CFR Part 279) impose management requirements affecting the
storage, transportation, burning, processing, and re-refining of the used oil. For parties that merely
generate used oil, regulations establish storage standards. For a party considered a used oil processor,
re-refiner, burner, or marketer (one who generates and sells off-specification used oil directly to a used
oil burner), additional tracking and paperwork requirements must be satisfied.
Tanks and Containers, as well as any unit, used to store, treat, or dispose of hazardous waste, are
regulated under RCRA. Tanks and containers used to store hazardous waste with a high volatile
organic concentration must meet emission standards under RCRA. Regulations (40 CFR Part 264-265,
Subpart CC) require generators to test the waste to determine the concentration of the waste, to satisfy
tank and container emissions standards, and to inspect and monitor regulated units. These regulations
apply to all facilities that store such waste, including large quantity generators accumulating waste
prior to shipment offsite.
Underground Storage Tanks containing petroleum and hazardous substances are regulated under
Subtitle I of RCRA. Subtitle I regulations (40 CFR Part 280) contain tank design and release detection
requirements, as well as financial responsibility and corrective action standards for USTs. The UST
program also includes upgrade requirements for existing tanks that must be met by December 22,
1998.
Boilers and Industrial Furnaces (BIFs) that use or burn fuel containing hazardous waste must
comply with design and operating standards. BIF regulations (40 CFR Part 266, Subpart H) address
unit design, provide performance standards, require emissions monitoring, and restrict the type of
waste that may be burned.
The Clean Air Act (CAA)
The Clean Air Act (CAA) and its amendments, including the Clean Air Act Amendments (CAAA) of 1990, are
designed to "protect and enhance the nation's air resources so as to promote the public health and welfare and the
productive capacity of the population." The CAA consists of six sections, known as Titles, which direct U.S. EPA
to establish national standards for ambient air quality and for U.S. EPA and the states to implement, maintain, and
enforce these standards through a variety of mechanisms. Under the CAAA, many facilities will be required to
obtain permits for the first time. State and local governments oversee, manage, and enforce many of the
requirements of the CAAA. CAA regulations appear at 40 CFR Parts 50-99.
Under Title I, U.S. EPA is authorized to establish New Source Performance Standards (NSPS), which are new
stationary sources falling within particular industrial categories. Promulgated as 40 CFR Part 60, NSPSs are based
on the pollution control technology available to that category of industrial source. NSPSs affect new sources that
are to be constructed or existing sources that undergo modifications after the applicable deadlines. Under this part
of the CAA, regulations have been promulgated (see 40 CFR 60.750 through 60.759) concerning the control,
monitoring, and reporting of emissions from municipal solid waste landfills (MS WLFs). Since most MS WLFs will
be impacted by these NSPSs, a checklist section outlining these requirements has been developed for this protocols.
Other requirements of the CAA are included in another U.S. EPA document titled; Protocol for Conducting
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities Regulated under Subtitle D of
RCRA
Environmental Compliance Audits Under the Clean Air Act. Environmental Auditors should also be alert for other
applications of the federal regulations not covered by this protocol. For example, storm water run-off associated
with landfills may be regulated under the storm water provisions of the Clean Water Act. U.S. EPA has also
developed separate audit protocol documents for these requirements.
State/Local Regulation!
The federal government sets minimum national standards for municipal solid waste disposal in 40 CFR 258, but
state and local governments are responsible for implementing and enforcing waste programs. Currently U.S. EPA
has delegated its authority to implement various provisions of RCRA to all states, except Alaska, Hawaii, Iowa, and
two U.S. territories. States are required to develop their own programs based on the federal regulations. Most states
and municipalities have already developed their own regulations governing the permitting, licensing, and operations
of landfills, incinerators, and source separation/recycling programs.
States are required to incorporate revised criteria for MSWLFs into their permit programs and gain approval from
U.S. EPA. States that apply for and receive U.S. EPA approval of their programs have the opportunity to provide a
lot of flexibility in implementing the regulations. This flexibility allows states to take local conditions into account
and gives them the authority to alter some of the requirements. Auditors will need to determine if a state has been
granted approval for the 40 CFR 258 program in order to accurately assess compliance with the criteria. Many states
have also developed categories of special wastes which cannot be placed in landfills or dumps, or may only be
disposed of under specific circumstances.
Key Compliance Requirements
Storage/Collection
All solid waste and materials separated for recycling must be stored so that it does not cause a fire, safety, or health
hazard. Collection systems are required to be operated in a manner to protect the health and safety of personnel
associated with the operation. All collection equipment is required to have a suitable cover to prevent spillage and
be constructed, operated, and maintained adequately. Solid wastes or materials separated for recycling are required
to be collected according to a certain schedule, and in a safe, efficient manner (40 CFR 243.200-1, 243.201-1,
243.202-l(a) through 243.202-l(c), 243.203-1, and 243.204-1).
Recycling
Facilities should participate in any state or local recycling programs and reduce the volume of solid waste materials
at the source whenever practical. Businesses and other organizations employing over 100 office workers are
required to recover high-grade paper. Residential facilities at which more than 500 families reside are required to
recycle newspapers. Any facility generating 10 tons or more of waste corrugated containers per month is required
to segregate or collect them separately for recycling (40 CFR 246.200-1 and 246.202-1).
Open Dumping
40 CFR 257 details the criteria for determining whether or not an activity would be considered an open dump for
the purposes of state solid waste management planning under RCRA. See Appendix A of this document for a list of
the criteria that a facility or practice must meet in order for it to not be considered an open dump.
Municipal Solid Waste Landfills (MSWLFs)
MSWLFs must meet restrictions for location, the types of waste to be placed in them, emissions from the MSWLF,
and the types of monitoring required. Limitations, design criteria, and closure requirements vary depending on
whether it is a new or existing MSWLF (40 CFR 258 and 40 CFR 60.750 through 60.759).
Thermal Processing Facilities
Thermal processing facilities that are designed to process or are processing 50 tons or more per day of municipal
solid wastes must be operated in a manner that prevents water and/or air contamination. Additionally, there must be
an operating plan that specifies procedures and precautions to be taken if unacceptable wastes are delivered to or
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities Regulated under Subtitle D of
RCRA
left at the thermal processing facility. The residue and solid waste resulting from the thermal processing must be
disposed of in a manner that prevents environmental damage (40 CFR 240).
For further information regarding the RCRA regulations, contact U.S. EPA's RCRA/UST, Superfund and EPCRA
hotline at 800-424-9346 (or 703-412-9810 in the D.C. area) from 9 a.m. to 6 p.m., Monday through Friday.
This U.S. EPA hotline provide up-to-date information on regulations developed under RCRA, CERCLA
(Superfund), and the Oil Pollution Act. The hotline can assist with Section 112(r) of the Clean Air Act (CAA) and
Spill Prevention, Control, and Countermeasure (SPCC) regulations. The hotline also responds to requests for
relevant documents and can direct the caller to additional tools that provide a more detailed discussion of specific
regulatory requirements.
Key Terms and Definitions
Active Collection System
A gas collection system that uses gas mover equipment (40 CFR 60.751).
Active Landfill
A landfill in which solid waste is being placed or a landfill that is planned to accept waste in the future (40 CFR
60.751).
Active Life
The period of operation beginning with the initial receipt of solid waste and ending at the completion of closure
activities (40 CFR 258.2).
Active Portion
That part of a facility or unit that has received or is receiving wastes and that has not been closed (40 CFR 258.2).
Alley Collection
The collection of solid waste from containers placed adjacent to or in an alley (40 CFR 243.101).
Agricultural Solid Waste
The solid waste that is generated by the rearing of animals, and the producing and harvesting of crops or
trees (40 CFR 243.101).
Aquifer
A geological formation, group of formations, or a portion of a formation capable of yielding significant quantities of
groundwater to wells or springs (40 CFR 258.2).
Bottom Ash
The solid material that remains on a hearth or falls off the grate after thermal processing is complete (40 CFR
240.101(b)).
Bulky Wastes
Large items of solid waste such as household appliances, furniture, large auto parts, trees, branches, stumps, and
other oversize wastes, which large size precludes or complicates their handling by normal solid waste collection,
processing, or disposal methods (40 CFR 243.101).
Carryout Collection
Collection of solid waste from a storage area proximate to the dwelling unit(s) or establishment (40 CFR 243.101)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities Regulated under Subtitle D of
RCRA
Closed Landfill
A landfill in which solid waste is no longer being placed, and in which no additional solid wastes will be placed
without first filing a notification of modification (40 CFR 60.751).
Closure
That point in time when a landfill becomes a closed landfill (40 CFR 60.751).
Collection
The act of removing solid waste (or materials which have been separated for the purpose of recycling) from a
central storage point (40 CFR 243.101).
Collection Frequency
The number of times collection is provided in a given period of time (40 CFR 243.101).
Commercial Solid Waste
All types of solid waste generated by stores, offices, restaurants, warehouses, and other nonmanufacturing activities,
excluding residential and industrial wastes (40 CFR 243.101, 258.2, and 40 CFR 60.751).
Compactor Collection Vehicle
A vehicle with an enclosed body containing mechanical devices that convey solid waste into the main compartment
of the body and compress it into a smaller volume of greater density (40 CFR 243.101)
Construction and Demolition Wastes
The waste building materials, packaging, and rubble resulting from the construction, remodeling, repair, and
demolition operations on pavements, houses, commercial buildings, and other structures (40 CFR 243.101).
Controlled Landfill
Any landfill at which collection and control systems are required under 40 CFR 60.750 - 759 as a result of the
nonmethane organic compounds (NMOC) emission rate. The landfill is considered controlled at the time a
collection and control system design plan is submitted (40 CFR 60.751)
Corrugated Container Waste
Discarded corrugated boxes (40 CFR 246.101).
Curb Collection
Collection of solid waste placed adjacent to a street (40 CFR 243.101).
Design Capacity
The weight of solid waste of a specified gross calorific value that a thermal processing facility is designed to
process in 24 h of continuous operation; usually expressed in tons per day (40 CFR 240.101(d)).
Design Capacity (In relation to air quality restrictions)
The maximum amount of solid waste a landfill can accept, as indicated in terms of volume or mass in the most
recent permit issued by the state, local, or Tribal agency responsible for regulating the landfill, plus any in-place
waste not accounted for in the most recent permit. If the owner or operator chooses to convert the design capacity
from volume to mass or from mass to volume to demonstrate its design capacity is less than 2.5 million megagrams
or 2.5 million m3, the calculation must include a site specific density, which must be recalculated annually (40 CFR
60.751)
Disposal Facility
All contiguous land and structures, other appurtenances and improvements on the land used for disposal of solid
waste (40 CFR 60.751).
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities Regulated under Subtitle D of
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Emission Rate Cutoff
The threshold annual emission rate to which a landfill compares its estimated emission rate to determine if control
under the regulation is required (40 CFR 60.751).
Enclosed Combustor
An enclosed firebox which maintains a relatively constant limited peak temperature generally using a limited supply
of combustion air. An enclosed flare is considered and enclosed combustor (40 CFR 60.751).
EPA
United States Environmental Protection Agency.
Existing MSWLF Unit
Any MSWLF unit that is receiving solid waste as of the appropriate dates specified in 40 CFR 258. l(e) (see
Appendix B of this document). Waste placement in existing units must be consistent with past operating practices
or modified practices to ensure good management (40 CFR 258.2).
Facility
All contiguous land and structures, other appurtenances and improvements on the land used for the disposal of solid
waste (40 CFR 258.2).
Flare
An open combustor without enclosure or shroud (40 CFR 60.751).
Fly Ash
Suspended particles, charred paper, dust, soot, and other partially oxidized matter carried in the products of
combustion (40 CFR 240.101).
Food Waste
The organic residues generated by the handling, storage, sale, preparation, cooking, and serving of foods,
commonly called garbage (40 CFR 243.101).
Garbage
In relation to solid waste coming from outside the continental United States, it is all waste material derived in whole
or in part from fruits, vegetables, meats, or other plant or animal material, and other refuse of any character
whatsoever that has been associated with any such material on board any means of conveyance, and including food
scraps, table refuse, galley refuse, food wrappers, or packaging materials, and other waste materials from stores,
food preparation areas, passengers; or crews quarters, dining rooms, or any other areas or means of conveyance. It
also means meals and other food that were available for consumption by passengers and crew on an aircraft but
were not consumed (7 CFR 330.400(b)).
Gas Mover Equipment
The equipment used to transport landfill gas through the header system (40 CFR 60.751).
Ground Water
Water below the land surface in a zone of saturation (40 CFR 258.2).
Hazardous Waste
A waste or combination of wastes of a solid, liquid, contained gaseous, or semisolid form which may cause, or
contribute to, an increase in mortality or an increase in serious irreversible, or incapacitating reversible illness,
taking into account the toxicity of such waste, its persistence and degradability in nature, its potential for
accumulation or concentration in tissue, and other factors that may otherwise cause or contribute to adverse acute or
chronic effects on the health of persons or other organisms (40 CFR 243.101).
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities Regulated under Subtitle D of
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High-Grade Paper
Letterhead, dry copy papers, miscellaneous business forms, stationary, typing paper, tablet sheets, and computer
printout paper and cards, commonly sold as "white ledger", "computer printout" and "tab card" grade by the
wastepaper industry (40 CFR 246.101).
Household Waste
Any solid waste, (including garbage, trash, and sanitary waste in septic tanks) derived from households (including
single and multiple residences, hotels and motels, bunkhouses, ranger stations, crew quarters, campgrounds, picnic
grounds, and day-use-recreation areas) (40 CFR 258.2 and 40 CFR 60.751).
Indian Lands or Indian Country
This means (40 CFR 258.2):
1. all land within the limits of any Indian reservation under the jurisdiction of the U. S. Government,
notwithstanding the issuance of any patent, and including rights-of-way running throughout the reservation;
2. all dependent Indian communities within the borders of the United States whether within the original or
subsequently acquired territory thereof, and whether within or without the limits of the state; and
3. all Indian allotments, the Indian titles to which have not been extinguished, including rights of way running
through the same.
Indian Tribe
Any Indian tribe, band, nation, or community recognized by the Secretary of the Interior (SOI) and exercising
substantial governmental duties and powers on Indian lands (40 CFR 258.2).
Industrial Solid Waste
The solid waste generated by industrial processes and manufacturing (40 CFR 243.101 and 40 CFR 246.101).
Industrial Solid Waste (In relation to MSWLF)
Solid waste generated by manufacturing or industrial processes that is not a hazardous waste regulated under
subtitle C of RCRA. Such waste may include, but is not limited to, waste resulting from the following
manufacturing processes: electric power generation; fertilizer/agricultural chemicals; food and related
produd^yproducts; inorganic chemicals; iron and steel manufacturing; leather and leather products; nonferrous
metals manufacturing/foundries; organic chemicals; plastics and resins manufacturing; pulp and paper industry;
rubber and miscellaneous plastic products; stone, glass, clay, and concrete products; textile manufacturing;
transportation equipment; and water treatment. This term does not include mining waste or oil and gas waste (40
CFR 258.2 and 40 CFR 60.751).
Infectious Waste
This includes (40 CFR 243.101):
1. equipment, instruments, utensils, and formites of a disposable nature from the rooms of patients who are
suspected to have or have been diagnosed as having a communicable disease and must, therefore, be isolated as
required by public health agencies;
2. laboratory wastes, such as pathological specimens (e.g., all tissues, specimens of blood elements, excreta, and
secretions obtained from patients or laboratory animals) and disposable fomites (any substance that may harbor
or transmit pathogenic organisms) attendant thereto;
3. surgical operating room pathologic specimens and disposable fomites attendant thereto, and similar disposable
materials from outpatient areas and emergency rooms.
Infectious Waste
This includes (40 CFR 246.101):
1. equipment, instruments, utensils, and fomites (any substance that may harbor or transmit pathogenic organisms)
of a disposable nature from the rooms of patients who are suspected to have or have been diagnosed as having a
communicable disease and must, therefore, be isolated as required by public health agencies;
2. laboratory wastes, such as pathological specimens (e.g. all tissues, specimens of blood elements, excreta, and
secretions obtained from patients or laboratory animals) and disposable fomites attendant thereto;
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities Regulated under Subtitle D of
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3. surgical operating room pathologic specimens and disposable fomites attendant thereto and similar disposable
materials from outpatient areas and emergency rooms.
Institutional Solid Waste
Solid wastes generated by educational, health care, correctional and other institutional facilities (40 CFR 243.101).
Interior Well
Any well or similar collection component located inside the perimeter of the landfill waste. A perimeter well
located outside the landfill waste is not an interior well (40 CFR 60.751).
Landfill
An area of land or an excavation in which wastes are placed for permanent disposal, and that is not a land
application unit, surface impoundment, injection well, or waste pile as those terms are defined under 40 CFR 257.2
(40 CFR 60.751).
Lateral Expansion
A horizontal expansion of the waste boundaries of an existing municipal solid waste landfill unit. A lateral
expansion is not a modification unless it results in an increase in the design capacity of the landfill (40 CFR 258.2
and 40 CFR 60.751).
Leachate (In relation to MSWLF)
This is a liquid that has passed through or emerged from solid waste and contains soluble, suspended, or miscible
materials removed from such waste (40 CFR 258.2).
Mining Wastes
Residues which result from the extraction of raw materials from the earth (40 CFR 243.101).
Modification
An increase in the permitted volume design capacity of the landfill by either horizontal or vertical expansion based
on the permitted design capacity as of May 30,1991 (40 CFR 60.751).
Municipal Solid Wastes
Residential and commercial solid wastes normally generated within a community (40 CFR 240.101).
Municipal Solid Waste Landfill
An entire disposal facility in a contiguous geographical space, where household waste is placed in or on land. An
MSW landfill may also receive other types of RCRA Subtitle D wastes (40 CFR 257.2) such as commercial solid
waste, nonhazardous sludge, conditionally exempt small quantity generator waste, and industrial solid waste.
Portions of an MSW landfill may be separated by access roads. An MSW landfill may be publicly or privately
owned. An MSW landfill may be a new MSW landfill, an existing MSW landfill, or a lateral expansion (40 CFR
60.751).
Municipal Solid Waste Landfill Emissions
Gas generated by the decomposition of organic waste deposited in an MSWLF or derived from the evolution of
organic compounds in the waste (40 CFR 60.751).
Municipal Solid Waste Landfill (MSWLF) Unit
A discrete area of land or an excavation that receives household waste and that is not a land application unit, surface
impoundment, injection well, or waste pile. It may also receive other types of RCRA Subtitle D wastes, such as
commercial solid waste, nonhazardous sludge, conditionally exempt small quantity generator waste and industrial
solid waste. Such a landfill may be publicly or privately owned. A MSWLF unit may be a new MSWLF unit, and
existing MSWLF unit, or a lateral expansion (40 CFR 258.2).
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities Regulated under Subtitle D of
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New MSWLF Unit
Any MSWLF unit that has not received wastes prior to October 9, 1993, or prior to October 9, 1997 if the MSWLF
unit disposes of less than 20 tons of municipal solid waste daily, based on an annual average and the MSWLF unit
serves either (40 CFR 258.2):
1. a community that experiences an annual interruption of at least 3 consecutive months of surface transportation
that prevents access to a regional waste management facility or
2. a community that has no practicable waste management alternative and the landfill is located in an area that
annually receives less than or equal to 25 in. of precipitation.
Nondegradable Waste
Any waste that does not decompose through chemical breakdown or microbiological activity. Examples are, but are
not limited to, concrete, municipal waste combustor ash, and metals (40 CFR 60.751).
Open Burning (In relation to MSWLF)
The combustion of solid waste without (40 CFR 258.2):
1. control of combustion air to maintain adequate temperature for efficient combustion
2. containment of the combustion reaction in an enclosed device to provide sufficient residence time and mixing
for complete combustion; and
3. control of the emission of the combustion products.
Open Burning
Burning of solid wastes in the open, such as in an open dump (40 CFR 240.101(r)).
Open Dump
A land disposal site at which solid wastes are disposed of in a manner that does not protect the environment, are
susceptible to open burning, and are exposed to the elements, vectors, and scavengers (40 CFR 240.101).
Operator
The person(s) responsible for the overall operation of a facility or part of a facility (40 CFR 258.2).
Owner
The person(s) who owns a facility or part of a facility (40 CFR 258.2).
Passive Collection System
A gas collection system that solely uses positive pressure within the landfill to move the gas rather than using gas
mover equipment (40 CFR 60.751).
Residential Solid Waste
The wastes generated by the normal activities of households, including, but not limited to, food wastes, rubbish,
ashes, and bulky wastes (40 CFR 243.101).
Rubbish
A general term for solid waste, excluding food wastes and ashes, taken from residences, commercial establishments,
and institutions (40 CFR 243.101).
Run-off
Any rainwater, leachate, or other liquid that drains over land from any part of a facility (40 CFR 258.2).
Run-on
Any rainwater, leachate, or other liquid that drains over land onto any part of a facility (40 CFR 258.2).
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities Regulated under Subtitle D of
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Sanitary Landfill
A land disposal site employing an engineered method of disposing of solid wastes on land in a manner that
minimizes environmental hazards by spreading the solid wastes in thin layers, compacting the solid wastes to the
smallest practical volume, and applying and compacting cover material at the end of each operating day (40 CFR
240.101).
Satellite Vehicle
A small collection vehicle that transfers its load into a larger vehicle operating in conjunction with it (40 CFR
243.101).
Saturated Zone
That part of the earth's crust in which all voids are filled with water (40 CFR 258.2).
Scavenging
The uncontrolled and unauthorized removal of materials at any point in the solid waste management system (40
CFR 243.101).
Separate Collection
Collection of recyclable materials which have been separated at the point of generation and keeping those materials
separated from other collected solid waste in separate compartments of a single collection vehicle or through the use
of separate collection vehicles (40 CFR 246.101).
Sludge
The accumulated semiliquid suspension of settled solids deposited from wastewaters or other fluids in tanks or
basins. It does not include solids or dissolved material in domestic sewage or other significant pollutants in water
resources, such as silt, dissolved materials in irrigation return flows or other common water pollutants (40 CFR
243.101).
Sludge
Any solid, semi-solid, or liquid waste generated from a municipal, commercial, or industrial wastewater treatment
plant, water supply treatment plant, or air pollution control facility exclusive of the treated effluent from a
wastewater treatment plant (40 CFR 258.2 and 40 CFR 60.751)
Solid Waste
Any garbage or refuse, sludge from a wastewater treatment plant, water supply treatment plant, or air pollution
control facility and other discarded materials, including solid, liquid, semi-solid, or contained gaseous material
resulting from industrial, commercial, mining and agricultural operations, and from community activities, but does
not include solid or dissolved materials in domestic sewage, or solid or dissolved materials in irrigation return flows
or industrial discharges that are point sources subject to permit under 33 USC 1342, or source, special nuclear, or
byproduct material as defined by the Atomic Energy Act of 1954, as amended (68 Statute 932) (40 CFR 258.2).
Solid Waste
Any garbage, sludge from a wastewater treatment plant, water supply treatment plant, or air pollution control
facility
and other discarded material, including solid, liquid, semisolid, or contained gaseous material resulting from
industrial, commercial, mining, and agricultural operations, and from community activities, but does not include
solid or dissolved material in domestic sewage, or solid or dissolved materials in irrigation return flows or industrial
discharges that are point sources subject to permits under 33 U.S.C. 1342, or source, special nuclear, or by-product
material as defined by the Atomic Energy Act of 1954, as amended (42 U.S.C 2011 et seq.) (40 CFR 60.751).
Solid Waste
Garbage, refuse, sludges, and other discarded solid materials, including solid waste materials resulting from
industrial, commercial, and agricultural operations, and from community activities, but does not include solid or
dissolved materials in domestic sewage or other significant pollutants in water resources, such as silt, dissolved or
suspended solids in industrial wastewater effluents, dissolved materials in irrigation return flows or other common
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities Regulated under Subtitle D of
RCRA
water pollutants. Unless specifically noted otherwise, the term'' solid waste" as used in these guidelines shall not
include mining, agricultural, and industrial solid wastes; hazardous wastes; sludges; construction and demolition
wastes; and infectious wastes (40 CFR 243.101).
Solid Waste Storage Container
A receptacle used for the temporary storage of solid waste while awaiting collection (40 CFR 243.101).
Source Separation
The setting aside of recyclable materials at their point of generation by the generator (40 CFR 246.101).
Special Wastes
Nonhazardous solid wastes requiring handling other than that normally used for municipal solid wastes (40 CFR
240.101).
State
Any of the several states, the District of Columbia, the Commonwealth of Puerto Rico, the Virgin Islands, Guam,
American Samoa, and the Commonwealth of the Northern Mariana Islands (40 CFR 258.2)
State Director
The chief administrative officer of the lead state agency responsible for implementing the state permit program for
40 CFR part 257, subpart B and 40 CFR part 258 regulated facilities (40 CFR 258.2).
Stationary Compactor
A powered machine which is designed to compact solid waste or recyclable materials, and which remains stationary
when in operation. (40 CFR 243.101).
Storage
The interim containment of solid waste after generation and prior to collection for ultimate recovery or disposal (40
CFR 243.101).
Street Wastes
Materials picked up by manual or mechanical sweepings of alleys, streets, and sidewalks; wastes from public waste
receptacles; and material removed from catch basins (40 CFR 243.101).
Sufficient Density
Any number, spacing, and combination of collection system components, including vertical wells, horizontal
collectors, and surface collectors, necessary to maintain emission and migration control as determined by measures
of performance set forth in 40 CFR 60 (40 CFR 60.751).
Sufficient Extraction Rate
A rate sufficient to maintain a negative pressure at all wellheads in the collection system without causing air
infiltration, including any wellheads connected to the system as a result of expansion or excess surface emissions,
for the life of the blower (40 CFR 60.751).
Thermal Processing
Processing of waste material by means of heat (40 CFR 240.101).
Transfer Station
A station at which solid wastes are concentrated for transport to a processing facility or land disposal site. A
transfer station may be fixed or mobile (40 CFR 243.101).
Uppermost Aquifer
The geologic formation nearest the natural ground surface that is an aquifer, as well as, lower aquifers that are
hydraulically interconnected with this aquifer within the facility's property boundary (40 CFR 258.2).
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities Regulated under Subtitle D of
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Vector
A carrier, usually an arthropod, that is capable of transmitting a pathogen from one organism to another (40 CFR
240.202 and 243.101).
Waste Management Unit Boundary
A vertical surface located at the hydraulically downgradient limit of the unit. This vertical surface extends down
into the uppermost aquifer (40 CFR 258.2).
Typical Records To Review
• Record of current nonhazardous solid waste management practices
• Estimated generation rates
• Documentation of locations (map) and descriptions of all nonhazardous waste storage, and disposal sites
• Records of operational history of all active and inactive disposal sites
• State and federal inspection reports
• Environmental monitoring procedures or plans
• Records of resource recovery practices, including the sale of materials for the purpose of recycling
• Solid waste removal contracts and inspection records
• Operating record for onsite MSWLFs
• Groundwater monitoring well data
• Regional solid waste management plan
• Financial assurance documents
Typical Physical Features To Inspect
• Incineration and land disposal sites (active and inactive)
• Construction debris areas
• Waste receptacles
• Solid waste vehicle storage and washing areas
• Compost facilities
• Transfer stations
• Recycling centers
List of Acronyms and Abbreviations
ANSI American National Standards Institute
C centigrade
CAA Clean Air Act
CAFR comprehensive annual financial report
CAS Chemical Abstract Service
CFR Code of Federal Regulations
CPA certified public accountant
CWA Clean Water Act
EPA United States Environmental Protection Agency
FAA Federal Aviation Administration
FIFRA Federal Insecticide, Fungicide, and Rodenticide Act
ft3 cubic feet
gal gallon
h hour
ha hectare
in. inches
kg kilogram
LEL lower explosive limit
m meter
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities Regulated under Subtitle D of
RCRA
m3 cubic meters
MBtu million British thermal units
MCL maximum contamination level
mg milligram
Mg megagram
mi miles
Hg microgram
min minute
mo month
MP management practice
MSWLF municipal solid waste landfill
MW megawatt
NMOC nonmethane organic compounds
NOV Notice of Violation
NPDES National Pollutant Discharge Elimination System
NPL National Priorities List
O2 oxygen
OSHA Occupational Safety and Health Act
PCB polychlorinate biphenyls
PL Public Law
ppmv parts per million by volume
PQL practical quantitation limits
RCRA Resource Conservation and Recovery Act
s second
SDWA Safe Drinking Water Act
SIC Standard Industrial Classification
SOI Secretary of the Interior
SPCC spill prevention, control, and countermeasure
tpd tons per day
TSDF treatment storage and disposal facility
UIC underground injection control
USC U.S. Code
USD A U.S. Department of Agriculture
U.S. EPA United States Environmental Protection Agency
UST underground storage tank
yr year
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
13
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Protocol for Conducting Environmental Compliance Audits of Facilities Regulated under Subtitle D of
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This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities Regulated under Subtitle D of
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Index for Checklist Users
Category
General
Storage/Collection of Solid Waste
Recycling
Non-Municipal Solid Waste Landfill Sites and
Facilities
Municipal Solid Waste Landfills
Location Restrictions
Design Criteria
Operating Criteria
Emissions
Groundwater Monitoring Criteria
Closure Criteria
Postclosure Care Requirements
Financial Responsibility
Thermal Processing Facilities
Disposal of Refuse From Outside the United States
Refer To;
Checklist Item
SO. 1.1 through SO. 1.3
SO. 10.1 through SO. 10.6
SO.25.1 through SO.25.4
SO.30.1 through SO.30.2
SO.50.1 through SO.50.6
SO.60.1 through SO.60.4
SO.70.1 through SO.70. 11
SO.80.1 through SO.80.8
SO.90.1 through SO.90. 12
SO. 100.1 through SO. 100.5
SO. 110. land SO. 110.3
SO. 120.1 through SO. 120. 13
SO. 140.1 through SO. 140.8
SO.150.1
Page Number;
17
19
23
25
27
31
33
37
47
57
59
61
83
93
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
15
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This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities Regulated under Subtitle D of
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Checklists
COMPLIANCE CATEGORY:
NON-HAZARDOUS SOLID WASTE MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE:
REVIEWER CHECKS:
SO.l
GENERAL
SO.1.1. The current status of
any ongoing or unresolved
consent orders, compliance
agreements, notices of
violation (NOVs), interagency
agreements, or equivalent
state enforcement actions is
required to be examined.
Determine if noncompliance issues have been resolved by reviewing a copy of the
previous report, consent orders, compliance agreements, NOVs, interagency
agreements, or equivalent state enforcement actions.
(NOTE: For those open items, indicate what corrective action is planned and
milestones established to correct problems.)
SO. 1.2. Facilities are required
to comply with all applicable
federal regulatory
requirements not contained in
this checklist.
Determine if any new regulations have been issued since the finalization of this
document. If so, annotate checklist to include new standards.
Determine if the facility has activities or facilities that are regulated but not
addressed in this checklist.
Verify that the facility is in compliance with all applicable and newly issued
regulations.
SO. 1.3. Facilities are required
to comply with state and local
regulations concerning non-
hazardous waste.
Verify that the facility is complying with state and local requirements.
Verify that the facility is operating according to permits issued by the state or
local agencies.
(NOTE: Issues typically regulated by state and local agencies include:
- license or permit requirements for existing onsite landfills
-requirements for filing a closure plan for onsite landfills specifying
monitoring and inspection procedures
- design and operation specifications for solid waste receptacles
- disposal of solid waste off-site only at licensed or permitted facilities
- design and policy procedures of thermal processing of solid waste
-analysis for hazardous properties of ash residues and sludge from air
pollution control devices at coal-fired facility heating plant operations before
sale or disposal
- handling and disposal of medical, pathological, and infectious waste
- recycling requirements
- disposal of household wastes
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
17
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Protocol for Conducting Environmental Compliance Audits of Facilities Regulated under Subtitle D of
RCRA
COMPLIANCE CATEGORY:
NON-HAZARDOUS SOLID WASTE MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE:
REVIEWER CHECKS:
-yard waste
- disposal of used tires.)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
18
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Protocol for Conducting Environmental Compliance Audits of Facilities Regulated under Subtitle D of
RCRA
COMPLIANCE CATEGORY:
NON-HAZARDOUS SOLID WASTE MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE:
REVIEWER CHECKS:
SO.10
STORAGE/COLLECTION
OF SOLID WASTE
(NOTE: By calling 1-800-CLEAN-UP you can identify where to take paper,
metal cans, glass bottles, tires, and other materials to be recycled for any town or
city in the United States.)
SO.10.1. All solid wastes and
all materials separated for
recycling are required to be
stored according to specific
guidelines (40 CFR
243.100(b)and 243.200-1).
(NOTE: These requirements apply to the collection of residential, commercial,
and institutional solid wastes and street wastes. Excluded from these
requirements are mining, agricultural, and industrial solid wastes; hazardous
wastes; sludges; construction and demolition wastes; and infectious wastes.)
Verify that all solid wastes are stored so as not cause a fire, health or safety
hazard.
Verify that all solid waste containing food wastes are stored securely in covered
or closed containers which are nonabsorbent, leakproof, durable, easily cleaned if
reused, and designed for safe handling.
Verify that solid waste containers are of an adequate size and number to contain
all food waste, rubbish, and ashes generated between collections.
Verify that bulky wastes are stored so as not to create a nuisance and to avoid the
accumulation of solid waste and water in and around the bulky items.
Verify that reusable containers that are emptied manually are capable of being
serviced without the collector coming into contact with the waste.
Verify that waste containers used for the storage of solid waste (or materials
which have been separated for recycling) meet the standards established by ANSI
for waste containers as follows:
-Waste Containers-Safety Requirements, 1994, American National
Standards Institute, ANSI Z245.30-1994
-Waste Containers-Compatibility Dimensions, 1996, American National
Standards Institute, ANSI Z245.60-1996.
(NOTE: Copies may be obtained from American National Standards Institute, 11
W. 42nd Street, New York, NY 10036.)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
19
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Protocol for Conducting Environmental Compliance Audits of Facilities Regulated under Subtitle D of
RCRA
COMPLIANCE CATEGORY:
NON-HAZARDOUS SOLID WASTE MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE:
REVIEWER CHECKS:
SO. 10.2. All facilities are
required to operate their
collection systems in a
manner to protect the health
and safety of personnel
associated with the operation
(40 CFR 243.100(b) and
243.201-1).
Verify that the collection system is operated safely.
(NOTE: These requirements apply to the collection of residential, commercial,
and institutional solid wastes and street wastes. Excluded from these
requirements are mining, agricultural, and industrial solid wastes; hazardous
wastes; sludges; construction and demolition wastes; and infectious wastes.)
SO. 10.3. Collection
equipment is required to be
maintained according to
certain standards if such
equipment is considered to be
operating in interstate or
foreign commerce (40 CFR
243.100(b) and243.202-l(a)).
(NOTE: These requirements apply to the collection of residential, commercial,
and institutional solid wastes and street wastes. Excluded from these
requirements are mining, agricultural, and industrial solid wastes; hazardous
wastes; sludges; construction and demolition wastes; and infectious wastes.)
Verify that all vehicles used for the collection and transportation of solid waste
meet all applicable standards established by the federal government including:
-Motor Carrier Safety Standards (49 CFR 390 through 396)
-Noise Emission Standards for Motor Carriers Engaged in Interstate
Commerce (40 CFR 202)
-Federal Motor Vehicle Safety Standards (49 CFR 500 through 580)
(Federally owned collection equipment only).
SO. 10.4. All collection
equipment is required to meet
specific criteria (40 CFR
243.100(b), 243.202-l(b) and
243.202-l(d)).
(NOTE: These requirements apply to the collection of residential, commercial,
and institutional solid wastes and street wastes. Excluded from these
requirements are mining, agricultural, and industrial solid wastes; hazardous
wastes; sludges; construction and demolition wastes; and infectious wastes.)
Verify that all vehicles used for the collection and transportation of solid wastes
or materials separated for recycling are enclosed and have suitable covers to
prevent spillage.
Verify that collection equipment used for the collection, storage, and
transportation of solid waste (or materials separated for recycling) meet the
following ANSI standards:
-Mobile Refuse Collection and Compaction Equipment-Safety
Requirements, 1992, American National Standards Institute, ANSI Z245.1-
1992
-Stationary Compactors-Safety Requirements, 1997, American National
Standards Institute, ANSI Z245.2-1997.
(NOTE: A copy may be obtained from American National Standards Institute, 11
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
20
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Protocol for Conducting Environmental Compliance Audits of Facilities Regulated under Subtitle D of
RCRA
COMPLIANCE CATEGORY:
NON-HAZARDOUS SOLID WASTE MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE:
REVIEWER CHECKS:
W. 42nd Street, New York, NY 10036.)
SO. 10.5. Solid wastes or
materials separated for
recycling are required to be
collected according to a
certain schedule (40 CFR
243.100(b) and 243.203-1).
(NOTE: These requirements apply to the collection of residential, commercial,
and institutional solid wastes and street wastes. Excluded from these
requirements are mining, agricultural, and industrial solid wastes; hazardous
wastes; sludges; construction and demolition wastes; and infectious wastes.)
Verify that solid wastes which contain food wastes are collected at a minimum of
once during each week.
Verify that bulky wastes are collected at a minimum of once every 3 mo.
Verify that all wastes are collected with sufficient frequency to inhibit the
propagation or attraction of vectors and the creation of nuisances.
SO. 10.6. Solid waste is
required to be collected in a
safe, efficient manner (40
CFR 243.100(b) and 243.204-
1).
(NOTE: These requirements apply to the collection of residential, commercial,
and institutional solid wastes and street wastes. Excluded from these
requirements are mining, agricultural, and industrial solid wastes; hazardous
wastes; sludges; construction and demolition wastes; and infectious wastes.)
Verify that solid wastes or materials separated for recycling are collected in a safe
and efficient manner.
Verify that the collection vehicle operator immediately cleans up any spillage
caused by his operations.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
21
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Protocol for Conducting Environmental Compliance Audits of Facilities Regulated under Subtitle D of
RCRA
This Page Intentionally Left Blank
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities Regulated under Subtitle D of
RCRA
COMPLIANCE CATEGORY:
NON-HAZARDOUS SOLID WASTE MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE:
REVIEWER CHECKS:
SO.25
RECYCLING
SO.25.1. Facilities should
participate in any state or
local recycling programs and
reduce the volume of solid
waste materials at the source
whenever practical (MP).
Verify that a solid waste reduction program exists.
Verify that recycling programs are in compliance with applicable state or local
requirements.
Verify that reusable or marketable materials are collected at regular intervals.
SO.25.2. Office facilities of
over 100 office workers are
required to recover high-
grade paper (40 CFR
246.200-1).
Determine if there are over 100 office workers.
Verify that high-grade paper is separated at the source of generation.
Verify that high-grade paper is separately collected.
Verify that high-grade paper is sold for recycling.
SO.25.3. Facilities at which
more than 500 families reside
are required to recycle
newspapers (40 CFR
246.201-1).
Determine if there are more than 500 families residing onsite.
Verify that used newspapers are separated at the source of generation.
Verify that used newspapers are separately collected.
Verify that used newspapers are sold for recycling.
SO.25.4. Facilities generating
10 tons or more of waste
corrugated containers per
month are required to
segregate/separately collect
for recycling (40 CFR
246.202-1).
Determine if the facility generates 10 tons or more of waste corrugated containers
per month.
Verify that waste corrugated containers are collected separately.
Verify that waste corrugated containers are sold for the purposes of recycling.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
23
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Protocol for Conducting Environmental Compliance Audits of Facilities Regulated under Subtitle D of
RCRA
This Page Intentionally Left Blank
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities Regulated under Subtitle D of
RCRA
COMPLIANCE CATEGORY:
NON-HAZARDOUS SOLID WASTE MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE:
REVIEWER CHECKS:
SO.30
NON-MUNICIPAL SOLID
WASTE LANDFILL SITES
AND FACILITIES
SO.30.1. Open dumping is
prohibited (40 CFR
257.1(a)(2)).
Verify that open dumping is not practiced.
(NOTE: See Appendix A in this document for a description of what constitutes
open dumping.)
SO.30.2. Facilities should
survey for and be aware of
old disposal sites (MP).
Determine if there are any old disposal sites by interviewing personnel.
Determine whether a records review has been done to identify former disposal
sites.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
25
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Protocol for Conducting Environmental Compliance Audits of Facilities Regulated under Subtitle D of
RCRA
This Page Intentionally Left Blank
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities Regulated under Subtitle D of
RCRA
COMPLIANCE CATEGORY:
NON-HAZARDOUS SOLID WASTE MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE:
REVIEWER CHECKS:
MUNICIPAL SOLID
WASTE LANDFILLS
SO.50
Location Restrictions
(NOTE: See Appendix B in this document for a list of compliance dates for
nonexempt MSWLFs. See Appendix C of this document for a list of MSWLFs
that are exempt from meeting the standards found in 40 CFR 258, except for the
standards for final cover in 40 CFR 258.60(a), see checklist item SO. 100.1.)
SO.50.1. Specific limitations
must be met regarding the
location of new, existing, or
lateral expansions of
MSWLFs within 10,000 ft
(3048 m) of any airport
runway end used by turbojet
aircraft or within 5000 ft
(1524 m) of any airport
runway end used by only
piston- type aircraft (40 CFR
258.10(a) through 258.10(c)
and 258.16).
Verify that it has been demonstrated that the MSWLF is designed and operated so
as to not pose a bird hazard to aircraft.
Verify that the Federal Aviation Administration (FAA) and the affected airport
have been notified as to the presence of a new MSWLF or a lateral expansion
within a five-mile radius of any airport runway.
Verify that the demonstration has been placed in the operating record and the
State Director has been notified that it has been placed in the operating record.
Verify that existing MSWLF units that cannot make this demonstration, are
closed by October 9, 1996, unless a maximum 2-yr delay is approved by the State
Director.
SO.50.2. Specific limitations
must be met regarding the
location of new, existing, and
lateral expansions of
MSWLFs in 100 yr
floodplains (40 CFR
258.11(a)and258.16).
Verify that it has been demonstrated that the MSWLF will not restrict the flow of
the 100-yr flood, reduce the temporary water storage capacity of the floodplain, or
result in a washout of solid waste so as to pose a hazard to human health and the
environment.
Verify that existing MSWLF units that cannot make this demonstration, are
closed by October 9, 1996, unless a maximum 2-yr delay is approved by the State
Director.
SO.50.3. Limitations
regarding the location of new
MSWLFs and lateral
expansions in wetland (40
CFR 258.12(a)(l) through
258.12(a)(3)and258.16).
Verify that if there are plans to place a MSWLF or a lateral expansion in a
wetlands, it has been demonstrated to the State Director that the construction of
the MSWLF will not:
-cause or contribute to violations of any applicable state water quality
standard
-violate any applicable toxic effluent standard or prohibition
-jeopardize the continued existence of endangered or threatened species or
result in the destruction or adverse modification of a critical habitat
protected under the Endangered Species Act
-violate any requirement under the Marine Protection, Research, and
Sanctuaries Act of 1973.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
27
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Protocol for Conducting Environmental Compliance Audits of Facilities Regulated under Subtitle D of
RCRA
COMPLIANCE CATEGORY:
NON-HAZARDOUS SOLID WASTE MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE:
REVIEWER CHECKS:
Verify that it has been demonstrated that the integrity of the MSWLF will not
cause or contribute to significant degradation of wetlands.
Verify that the MSWLF has the ability to protect ecological resources by
addressing the following factors:
- erosion, stability, and migration potential of native wetland soils, muds and
deposits used to support the MSWLF unit
- erosion, stability, and migration potential of dredged and fill materials used
to support the MSWLF unit
-the volume and chemical nature of the wastes managed in the MSWLF
- impacts on fish, wildlife, and other aquatic resources and their habitat from
release of the solid waste
- the potential effects of catastrophic release of waste to the wetland and the
resulting impacts on the environment
- any additional factors, as necessary, to demonstrate that ecological resources
in the wetland are sufficiently protected.
SO.50.4. Specific limitations
must be met regarding the
location of new MSWLFs and
lateral expansions in fault
areas that have had
displacement in Holocene
time (40 CFR 258.13(a) and
258.16).
Verify that if there are plans to construct a MSWLF or lateral expansions within
200 ft (60 m) of a fault, it has demonstrated to the State Director that an
alternative setback distance of less than 200 ft (60 m) will prevent damage to the
structural integrity of the MSWLF unit and will be protective of human health and
the environment.
SO.50.5. Specific limitations
must be met regarding the
placement of new MSWLFs
and lateral expansions in
seismic impact zones (40 CFR
258.14(a)and258.16).
Verify that if there are plans to construct a MSWLF or lateral expansion in a
seismic impact zone, it has demonstrated to the State Director that all containment
structures, including liners, leachate collection systems, and surface water control
systems, are designed to resist the maximum horizontal acceleration in lithified
earth material for the site.
Verify that the demonstration has been placed in the operating record and the
State Director has been notified that it has been placed in the operating record.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
28
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Protocol for Conducting Environmental Compliance Audits of Facilities Regulated under Subtitle D of
RCRA
COMPLIANCE CATEGORY:
NON-HAZARDOUS SOLID WASTE MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE:
REVIEWER CHECKS:
SO.50.6. Specific limitations
must be met regarding the
location of new, existing, or
lateral expansion of MS WLFs
in unstable areas (40 CFR
258.15(a)and258.16).
Verify that if there are plans to construct a MSWLF or lateral expansion in an
unstable area, it has been demonstrated to the State Director that engineering
measures have been incorporated into the MSWLF unit's design to ensure that the
integrity of the structural components will not be disrupted.
Verify that the following criteria, at a minimum, are considered in judging
whether or not an area is unstable:
-onsite or local soil conditions that may result in significant differential
settling
- onsite or local geologic or geomorphic features
- onsite or local human-made features or events (both surface and subsurface).
Verify that the demonstration has been placed in the operating record and the
State Director has been notified that it has been placed in the operating record.
Verify that existing MSWLF units that cannot make this demonstration are closed
by October 9, 1996, unless a delay is approved by the State Director.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
29
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Protocol for Conducting Environmental Compliance Audits of Facilities Regulated under Subtitle D of
RCRA
This Page Intentionally Left Blank
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities Regulated under Subtitle D of
RCRA
COMPLIANCE CATEGORY:
NON-HAZARDOUS SOLID WASTE MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE:
REVIEWER CHECKS:
MUNICIPAL SOLID
WASTE LANDFILLS
SO.60
Design Criteria
SO.60.1. New MSWLFs and
lateral expansions are
required to meet specific
design criteria (40 CFR
258.1(f)(l), 258.1(f)(3), and
258.40(a)).
Verify that the MSWLF is of an approved design that ensures that the
concentration values listed in Appendix D of this document are not exceeded in
the uppermost aquifer at the relevant point of compliance.
Verify that the MSWLF has a composite liner and a leachate collection system
that is designed and constructed to maintain less than a 30 cm depth of leachate
over the liner.
(NOTE: The design must be approved by the implementing authority (state or
U.S. EPA).)
(NOTE: Owners or operators of new MSWLF units, existing MSWLF units, and
lateral expansions that dispose of less than 20 tons of municipal solid waste daily,
based on an annual average, are exempt from these requirements as long as there
is not groundwater contamination and the unit serves one of the following:
-a community that experiences an annual interruption of at least 3
consecutive months of surface transportation that prevents access to a
regional waste management facility
- a community that has no practicable waste management alternative and the
landfill unit is located in an area that annually receives less than or equal to
25 in. of precipitation.)
(NOTE: See checklist items SO.60.3 and SO.60.4 for requirements pertaining to
exempted MSWLFs.)
SO.60.2. Run-on/run-off
control systems at MSWLFs
are required to meet specific
design requirements (40 CFR
258.26).
Verify that the run-on control system is designed and maintained to prevent flow
onto the active portion of the landfill during the peak discharge from a 25-yr
storm.
Verify that the run-off control system from the active portion of the landfill is
designed and maintained to collect and control at least the water volume resulting
from a 24-h, 25-yr storm.
Verify the run-off does not cause a discharge of pollutants into waters of the
United States, including wetlands, that causes noncompliance with the CWA or
NPDES requirements.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
31
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Protocol for Conducting Environmental Compliance Audits of Facilities Regulated under Subtitle D of
RCRA
COMPLIANCE CATEGORY:
NON-HAZARDOUS SOLID WASTE MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE:
REVIEWER CHECKS:
SO.60.3. MSWLFs which are
otherwise exempted from
design requirements must
comply with design
requirements when
groundwater contamination is
present (40 CFR 258.1(f)(3)).
Determine if groundwater contamination is present at the exempted facility.
Verify that, if contamination is present, the design requirements in 40 CFR 258.40
(see checklist item SO.60.1) are met.
(NOTE: New MSWLF units, existing MSWLF units, and lateral expansions that
dispose of less than 20 tons of municipal solid waste daily, based on an annual
average, are exempt from these requirements as long as there is not groundwater
contamination and the unit serves one of the following:
-a community that experiences an annual interruption of at least 3
consecutive months of surface transportation that prevents access to a
regional waste management facility
- a community that has no practicable waste management alternative and the
landfill unit is located in an area that annually receives less than or equal to
25 in. of precipitation.)
SO.60.4. Owners/operations
of MSWLFs which are
exempted from design
requirements must place
information in the operating
record supporting this
exemption (40 CFR
258.1(f)(2)).
Verify that owners/operations of MSWLFs which are exempted from design
requirements have placed information in the operating record supporting this
exemption.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
32
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Protocol for Conducting Environmental Compliance Audits of Facilities Regulated under Subtitle D of
RCRA
COMPLIANCE CATEGORY:
NON-HAZARDOUS SOLID WASTE MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE:
REVIEWER CHECKS:
MUNICIPAL SOLID
WASTE LANDFILLS
SO.70
Operating Criteria
SO.70.1. MSWLFs are
subject to requirements
pertaining to procedures for
excluding hazardous wastes
from the landfills (40 CFR
258.20(a)).
Verify that the MSWLF has a program for detecting and preventing the disposal
of regulated hazardous wastes, as defined in 40 CFR 261, and polychlorinated
biphenyls (PCB) wastes that includes the following:
- random inspections of incoming loads, unless other steps are taken to ensure
incoming loads do not contain hazardous wastes or PCBs wastes
- records of any inspections
- training of personnel to recognize hazardous wastes and PCB wastes
-notification of State Director of authorized states or the U.S. EPA regional
administrator if a regulated hazardous waste or PCB waste is discovered.
SO.70.2. MSWLFs are
subject to requirements
pertaining to cover materials
(40 CFR 258.21).
Verify that all MSWLF units have solid waste covered with 6 in. of earthen
material, or another approved material at an alternative thickness, at the end of
each operating day or more frequently, if necessary, in order to control disease
vectors, fires, odors, blowing litter, and scavenging.
(NOTE: Alternative cover material and thickness must be approved by the
appropriate authority and a temporary waiver may be granted by the appropriate
authority under particular extreme climatic conditions.)
SO.70.3. MSWLFs are
subject to requirements
pertaining to the control of
disease vectors (40 CFR
258.22(a)).
Verify that, at the MSWLF, there is prevention or control of onsite populations of
disease vectors using techniques appropriate for the protection of human health
and the environment.
SO.70.4. MSWLFs are
subject to specific
requirements pertaining to the
production and monitoring of
methane gases (40 CFR
258.23(a), 258.23(b),
258.23(e)).
Verify that, at the MSWLF, the concentration of methane gas generated by the
MSWLF does not exceed 25 percent of the lower explosive limit for methane in
facility structures (excluding gas control or recovery system components).
Verify the concentration of methane gas at the MSWLF property boundary does
not exceed the lower explosive limit for methane.
Verify that the MSWLF implements a routine methane monitoring program of a
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
33
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Protocol for Conducting Environmental Compliance Audits of Facilities Regulated under Subtitle D of
RCRA
COMPLIANCE CATEGORY:
NON-HAZARDOUS SOLID WASTE MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE:
REVIEWER CHECKS:
type and frequency that is based on the following factors:
- soil conditions
- hydrogeological conditions surrounding the MSWLF
- hydraulic conditions surrounding the MS WLF
-locations of MS WLF structures and property boundaries.
Verify that monitoring occurs quarterly at a minimum.
(NOTE: The Director of an approved state may establish alternate monitoring
frequencies.)
SO.70.5. MSWLFs are
subject to notification criteria
pertaining to excessive
methane gas releases (40 CFR
258.23(c)).
Verify that, if methane gas monitoring detects levels of gas exceeding the allowed
limits, the following measures are taken:
- immediately take all necessary steps to ensure protection of human health
- the State Director is notified, of the protective measures and of the excess
levels
- within 7 days of detection, the level of methane gas detected and the steps
taken to protect human health is noted in the operating record
- within 60 days of detection, a remediation plan for the methane gas release is
placed in the operating record and the State Director is notified that the plan
has been implemented.
(NOTE: The Director of an approved state may establish alternative schedules for
demonstrating compliance with these requirements.)
SO.70.6. MSWLFs are
required to control emissions
(40 CFR 258.24).
Verify that there is no open burning of solid waste, except for the infrequent
burning of agricultural wastes, silvicultural wastes, landclearing debris, diseased
trees, or debris from emergency cleanup.
Verify that none of the MSWLF units violate any applicable requirements
developed under a State Implementation Plan (SIP) approved by U.S. EPA under
section 110 of the Clean Air Act, as amended.
SO.70.7. MSWLFs are
subject to access limitations
(40 CFR 258.25).
Verify that public access to the MSWLF is controlled and unauthorized vehicular
traffic and illegal dumping of wastes is prevented through the use of artificial
barriers, natural barriers, or both.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
34
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Protocol for Conducting Environmental Compliance Audits of Facilities Regulated under Subtitle D of
RCRA
COMPLIANCE CATEGORY:
NON-HAZARDOUS SOLID WASTE MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE:
REVIEWER CHECKS:
SO.70.8. MSWLFs are
subject to surface water
control requirements (40 CFR
258.27).
Verify that the MSWLF does not cause a discharge of pollutants into waters of the
United States, including wetlands, that causes noncompliance with the CWA or
NPDES requirements.
(NOTE: This includes discharges of a nonpoint source of pollution that violates
any approved area-wide or state-wide water quality management plan.)
SO.70.9. The disposal of
liquids at MSWLFs is
restricted (40 CFR 258.28).
Verify that bulk or non containerized liquid waste is not placed in MSWLF
unless:
- the waste is household waste other than septic waste
- the liquid waste is in a small container similar in size to that normally found
in household waste
- the container holding the waste is designed to hold liquids for use other than
storage
- the waste is leachate or gas condensate derived from the MSWLF (as long as
the MSWLF is designed with a composite liner and leachate collection
system).
Verify that if the waste is leachate or gas condensate derived from a MSWLF
designed with composite liner and leachate collection system, it is demonstrated
to the State Director that the MSWLF is of such a design and the demonstration is
recorded in the operating record.
SO.70.10. MSWLFs are
required to maintain records
(40 CFR 258.29(a) and
258.29(c)).
Verify that the following records are retained in an operating record near the
MSWLF or at an approved alternate location:
- any location restriction demonstration required by 40 CFR 258 Subpart B
- inspection records, training procedures, and notification procedures
- gas monitoring results from monitoring and any remediation plans
- any MSWLF unit design documentation for placement of leachate or gas
condensate in MSWLF
-any demonstration, certification, finding, monitoring, testing, or related
analytical data
-closure and postclosure care plans and any monitoring, testing, or related
analytical data
-any information demonstrating compliance with small community
exemption
- any cost estimate and financial assurance documentation required by 40 CFR
258.70 through 258.74 (see checklist items SO. 120.1 through SO. 120.13).
Verify that the State Director is notified when the above listed documents have
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
35
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Protocol for Conducting Environmental Compliance Audits of Facilities Regulated under Subtitle D of
RCRA
COMPLIANCE CATEGORY:
NON-HAZARDOUS SOLID WASTE MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE:
REVIEWER CHECKS:
been placed in or added to the operating record.
(NOTE: The State Director of an approved state can set alternative schedules for
recordkeeping and notification requirements.)
SO.70.11. MSWLF records
are subject to inspection by
certain authorities (40 CFR
258.29(b)).
Verify that all information in the operating record is furnished upon request from
the State Director and is available at all times for inspection by the State Director.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
36
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Protocol for Conducting Environmental Compliance Audits of Facilities Regulated under Subtitle D of
RCRA
COMPLIANCE CATEGORY:
NON-HAZARDOUS SOLID WASTE MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE:
REVIEWER CHECKS:
MUNICIPAL SOLID
WASTE LANDFILLS
SO.80
Emissions
(NOTE: These requirements apply to MSWLFs that started construction,
reconstruction, modification on or after May 30, 1991. For the purpose of these
requirements, physical or operational changes made to an existing MSWLF in
order to comply with 40 CFR 60 Subpart Cc (the State Plan) are not considered
construction, reconstruction, or modification. Activities require by or conducted
pursuant to a CERCLA, RCRA, or state remedial action are not considered
construction, reconstruction, or modification (40 CFR 60.750).)
SO.80.1. MSWLFs with a
design capacity of less than
2.5 million Mg by mass or 2.5
million m3 by volume are
required to submit an initial
design capacity report (40
CFR 60.752(a) and
60.757(a)).
Verify that an initial design capacity report has been submitted:
-no later than June 10, 1996 for landfills that commenced construction,
modification, or reconstruction on or after May 30, 1991 but before March
12, 1996
-90 days after the date of commenced construction, modification, or
reconstruction for landfills that commence construction, modification, or
reconstruction on or after March 12, 1996.
Verify that the report contains the following information:
- a map or plot of the landfill providing the size and location of the landfill,
and identifying all areas where solid waste may be landfilled according to
the permit
- the maximum design capacity of the landfill (if specified in the permit, a
copy of the permit may be submitted)
- if done, the calculation and relevant parameters used to determine maximum
design capacity.
Verify that an amended design capacity report is submitted within 90 days of an
increase in the maximum design capacity to or above 2.5 million Mg or 2.5
million m3.
SO.80.2. MSWLF with a
design capacity =/> 2.5
million Mg by mass or 2.5
million m3 by volume are
required to calculate NMOC
emissions and report them (40
CFR 60.752(b)(l) and
60.757(b)).
Verify that if the calculated NMOC emission rate is < 50 Mg/yr, an annual report
is submitted to the U.S. EPA or authorized regulatory agency.
Verify that the annual report contains an annual or 5-yr estimate of the NMOC
emission rate and is submitted no later than:
-June 10, 1996 for landfills that commenced construction, modification, or
reconstruction on or after May 30, 1991, but before March 12, 1999
-90 days after the date of commenced construction, modification, or
reconstruction for landfills that commenced construction, modification, or
reconstruction one or after March 12, 1996.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
37
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Protocol for Conducting Environmental Compliance Audits of Facilities Regulated under Subtitle D of
RCRA
COMPLIANCE CATEGORY:
NON-HAZARDOUS SOLID WASTE MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE:
REVIEWER CHECKS:
(NOTE: The initial report may be submitted with the initial design capacity
report.)
Verify that the NMOC emission rate is recalculated annually.
Verify that the rate report includes all the data, calculations, sample reports, and
measurements used to estimate the annual or 5-yr emissions.
(NOTE: MSWLFs are exempt from the requirements of this checklist item after
the installation of a collection and control system in compliance with 40 CFR
60.752(b)(2) (see checklist items SO.80.3, SO.80.4, SO.80.5) as long as the
collection and control system is in operation and in compliance.)
SO.80.3. If the NMOC
emissions rate is equal to or
greater than 50 Mg/yr, a
collection and control system
design plan must be submitted
which meets specific
parameters (40 CFR
60.752(b)(2)(i) and
60.757(c)).
Verify that the collection and control system design plan is submitted to U.S. EPA
or the authorized regulatory agency within 1 yr of the first NMOC emissions rate
report documenting an emission rate equal to or greater than 50 Mg/yr.
Verify that the plan includes any alternatives to the operational standards, test
methods, procedures, compliance measures, monitoring, recordkeeping, or
reporting provisions of these regulations.
(NOTE: This is not required if the NMOC emission rate is recalculated after Tier
2 or Tier 3 NMOC sampling and analysis results in a rate less than 50 Mg/yr. In
that case, annual NMOC reporting resumes.)
Verify that the revised NMOC emission rate report with the Tier 2 recalculated
emission rate based on NMOC sampling and analysis is submitted within 180
days of the first calculated exceedance of 50 Mg/yr.
Verify that the revised NMOC emission rate report with the Tier 3 recalculated
emission rate based on NMOC sampling and analysis is submitted within 1 yr of
the first calculated exceedance of 50 Mg/yr.
SO.80.4. If the NMOC
emissions rate is equal to or
greater than 50 Mg/yr, a
collection and control system
must be installed which meets
specific parameters (40 CFR
60.752(b)(2)(ii),
60.752(b)(2)(iii) and 60.753).
Verify that a collection and control system is installed within 30 mo after the first
annual report in which the emission rate =/> 50 Mg/yr unless Tier 2 or Tier 3
sampling demonstrated the emission rate is < 50 Mg/yr.
Verify that the collection system is operated with negative pressure at each
wellhead except under the following conditions:
- a fire or increased well temperature
- use of a geomembrane or synthetic cover
- a decommissioned well.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
38
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Protocol for Conducting Environmental Compliance Audits of Facilities Regulated under Subtitle D of
RCRA
COMPLIANCE CATEGORY:
NON-HAZARDOUS SOLID WASTE MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE:
REVIEWER CHECKS:
Verify that instances of positive pressure that occur as efforts to avoid a fire are
recorded and the records submitted with the annual report.
Verify that an active collection system:
- is designed to handle the maximum expected gas flow rate from the entire
area of the landfill that warrants control over the intended use period of the
gas control or treatment system equipment
- collects gas from each area, cell, or group of cells in the landfill in which the
initial solid waste has been placed for a period of:
- 5 yr or more if active
- 2 yr or more if closed or at final grade
- collects gas at a sufficient extraction rate
- is designed to minimized offsite migration of subsurface gas.
Verify that a passive collection system:
- is designed to handle the maximum expected gas flow rate from the entire
area of the landfill that warrants control over the intended use period of the
gas control or treatment system equipment
- collects gas from each area, cell, or group of cells in the landfill in which the
initial solid waste has been placed for a period of:
- 5 yr or more if active
- 2 yr or more if closed or at final grade
- is designed to minimized offsite migration of subsurface gas
- is installed with liners on the bottom and all sides in all areas in which gas is
to be collected.
Verify that each interior wellhead in the collection system is operated with a
landfill gas temperature less than 55 C and with either a nitrogen level less than
20 percent or an O2 level less than 5 percent.
(NOTE: A higher operating temperature, nitrogen, or O2 value may be
established at a particular well if there is supporting data that the elevated
parameter does not cause fires or significantly inhibit anaerobic decomposition by
killing methanogens.)
Verify that the collection system is operated so that the methane concentration is
500 ppm above background at the surface of the landfill.
(NOTE: To determine if the methane level is exceeded, surface testing shall be
done around the perimeter of the collection area along a pattern that traverses the
landfill at 30 m intervals and where visual observations, such as distressed
vegetation and cracks or seeps in the cover, indicate elevated concentrations of
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
39
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Protocol for Conducting Environmental Compliance Audits of Facilities Regulated under Subtitle D of
RCRA
COMPLIANCE CATEGORY:
NON-HAZARDOUS SOLID WASTE MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE:
REVIEWER CHECKS:
landfill gas.)
Verify that all the collected gas is routed to a control system that:
- is an open flare
- is a control system designed and operated to reduce NMOC by 98 weight
percent or when an enclosed combustion device is used, to either reduce
NMOC by 98 weight percent or reduce the outlet NMOC concentration to
less than 20 ppmv, dry basis as hexane at 3 percent O2, such that:
- if a boiler or process heater is used as the control device, the landfill
gas stream is introduced into the flame zone
- the control device is operated within the parameter ranges established
during the initial or most recent performance test
- routes the collected gas to a treatment system that processes the collected gas
for subsequent sale or use.
Verify that, if the collection or control system is inoperable, the gas mover system
is shut down and all valves in the collection and control system contributing to
venting of the gas to the atmosphere are closed within 1 h.
Verify that the control or treatment system is operating at all times the collected
gas is routed to the system.
Verify that if monitoring demonstrates operational requirements are not met,
corrective actions are taken.
SO.80.5. Under certain
conditions the collection and
control system may be capped
or removed (40 CFR
60.752(b)(2)(v)).
Verify that collection and control systems are capped or removed from service
only if all of the following are met:
-the landfill will no longer accept solid waste and it is to be permanently
closed
- the collection and control system have been in operation a minimum of 15 yr
- the calculated NMOC gas produced by the landfill is less than 50 Mg/yr on
three successive test dates that are no less than 90 days apart and no more
than 180 days apart.
SO.80.6. Monitoring is
required to be done according
to specific parameters (40
CFR 60.756).
Verify that if the facility has an active collection system, there is a sampling port
and a thermometer or other temperature measuring device at each wellhead and
the following are done on a monthly basis:
- measure the gauge pressure in the gas collection header
- monitor nitrogen or O2 concentration in the landfill gas
- monitor temperature of the landfill gas.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
40
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Protocol for Conducting Environmental Compliance Audits of Facilities Regulated under Subtitle D of
RCRA
COMPLIANCE CATEGORY:
NON-HAZARDOUS SOLID WASTE MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE:
SO.80.7. Several reports are
required to be submitted
pertaining to the operation
and/or closure of the MSWLF
(40 CFR 60.757(d) through
60.757(g)).
REVIEWER CHECKS:
Verify that facilities using an enclosed combustor calibrate, maintain, and operate
the following equipment according to the manufacturers specifications:
- a temperature monitoring device equipped with a continuous recorder and
having an accuracy of +/- 1 percent of the temperature being measured
expressed in degrees Celsius or +/- 5 C, whichever is greater (this device is
not required for boilers or process heaters with design heat input capacity
greater than 44 MW)
- a gas flow rate measuring device that provides a measurement of gas flow to
or bypass of the control device by either:
- installing, calibrating and maintaining a gas flow rate measuring device
that records the flow to the control device at least every 15 min
- securing the bypass line valve in the closed position with a car seal or a
lock and key type configuration.
Verify that if an open flare is being used, the following equipment is installed,
calibrated, and operated according to manufacturers specifications:
- a heat sensing device, such as an ultraviolet beam sensor or thermocouple, at
the pilot light or the flame itself to indicate the continuous presence of a
flame
- a device that records flow to or bypass the flame by either:
-installing, calibrating, and maintaining a gas flow rate measuring
device that records the flow to the control device at least every 15 min
- securing the bypass line valve in the closed position with a car seal or a
lock and key type configuration.
Verify that a visual inspection of the car seal or closure mechanism on a bypass
line valve is done at least once a month to ensure that the valve is maintained in
the closed position and that the gas flow is not diverted through the bypass line.
Verify that if compliance is demonstrated by using a device other than an open
flame or enclosed combustor, approval has been received from U.S. EPA or the
authorized regulatory agency.
Determine if the MSWLF has stopped accepting waste.
Verify that a closure report was submitted to U.S. EPA or the authorized
regulatory agency within 30 days of the last waste being accepted.
(NOTE: If a closure report has been submitted, no additional wastes may be
placed into the landfill without filing a notification or modification.)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
41
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Protocol for Conducting Environmental Compliance Audits of Facilities Regulated under Subtitle D of
RCRA
COMPLIANCE CATEGORY:
NON-HAZARDOUS SOLID WASTE MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE:
REVIEWER CHECKS:
Verify that an equipment removal report is submitted to U.S. EPA or the
authorized regulatory agency 30 days prior to removal or cessation of operation of
the control equipment and the reports contains the following:
- a copy of the closure report
-a copy of the initial performance test report demonstrating that the 15 yr
mini mum control period has expired
- dated copies of three successive NMOC emission rate reports demonstrating
that the landfill is no longer producing 50 Mg/yr or greater of NMOC.
Verify that when an active collection system is used, annuals reports of the
following recorded information are submitted to U.S. EPA or the authorized
regulatory agency:
-value and length of time for exceedance of applicable monitored parameters
- description and duration of all periods when the gas stream is diverted from
the control device through a bypass line or the indication of bypass flow
-description and duration of all periods when the control device was not
operating for a period exceeding 1 h and length of time the control devices
was not operating
- all periods when the collection system was not operating in excess of 5 days
- the location of each exceedance of the 500 ppm methane concentration and
the concentration recorded at each location for which an exceedance was
noted in the previous month
- the date of installation and the location of each well or collection system
expansion.
Verify that the following information is included in initial performance test
reports:
- a diagram of the collection system showing collection system positioning,
including all wells, horizontal collectors, surface collectors, or other gas
extraction devices, the locations of any areas excluded from collection and
the proposed sites for the future collection system expansion
- the data upon which the sufficient density of wells, horizontal collectors,
surface collectors, or other gas extraction devices and the gas mover
equipment sizing are based
- the documentation of the presence of asbestos or nondegradable material for
each area from which collection wells have been excluded based on the
presence of asbestos or nondegradable materials
- the sum of the gas generation flow rates for all areas from which collection
wells have been excluded based on nonproductivity and the calculations of
gas generation flow rate for each excluded area
-the provisions for increasing gas mover equipped capacity with increased
gas generation flow rate, if the present gas mover equipment is inadequate to
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
42
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Protocol for Conducting Environmental Compliance Audits of Facilities Regulated under Subtitle D of
RCRA
COMPLIANCE CATEGORY:
NON-HAZARDOUS SOLID WASTE MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE:
REVIEWER CHECKS:
move the maximum flow rate expected over the life of the landfill
- the provisions for the control of offsite migration.
SO.80.8. Certain records
pertaining to emissions are
required to be kept at
MSWLFs with a design
capacity of less than 2.5
million Mg by mass or 2.5
million m3 by volume (40
CFR 60.758).
Verify that the following records are kept onsite for at least 5 yr and are up to date
and readily accessible:
- maximum design capacity
- current amount of solid waste in place
-year by year waste acceptance rate.
(NOTE: The above records may be kept offsite if they are retrievable within 4 h.
Either paper or electronic formats are acceptable.)
Verify that up-to-date and readily accessible records of the following information
are kept for the life of the control equipment as measured during the initial
performance test or compliance determination:
- demonstration of compliance by the collection system for:
- the maximum expected gas generation flow rate
- the density of wells, horizontal collectors, surface collectors, or other
gas extraction devices
- demonstration of compliance by the control system for:
-the average combustion temperature measured every 15 min and
averaged over the same time period of the performance test
- the percent reduction of NMOC achieved by the control device
- demonstration of compliance by the use of a boiler or process heater of any
size including a description of the location at which the collected gas vent
stream is introduced into the boiler of process heater over the same time
period of the performance testing
- demonstration of compliance by the use of an open flame including:
- all visible emission readings, best content determination, flow rate or
bypass flow rate measurements, and exit velocity determinations made
during the performance test
- continuous records of the flare pilot flame or flare flame monitoring
and record of all periods of operations during which the pilot flame of
the flare fame is absent.
Verify that for controlled landfills the following records are kept for 5 yr:
- continuous records of the equipment operating parameters
-periods of operation during which the parameter boundaries established
during the most recent performance test are exceeded.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
43
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Protocol for Conducting Environmental Compliance Audits of Facilities Regulated under Subtitle D of
RCRA
COMPLIANCE CATEGORY:
NON-HAZARDOUS SOLID WASTE MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE:
REVIEWER CHECKS:
(NOTE: The following are exceedances which are to be recorded:
- for enclosed combustors, except for boilers and process heaters with design
heat input capacity of 44 MW (150 MBtu/h) or greater, all 3-h periods of
operation during which the average combustion temperature was more than
28 C below the average combustion temperature during the most recent
performance test at which compliance was determined
- for boilers or process heaters, whenever there is a change in the location at
which the vent stream is introduced into the flame zone.)
Verify that the following are kept for 5 yr:
- continuous records of the indication of flow to the control device of the
indication of bypass flow
- records of monthly inspections of car seals or lock and key configurations
used to seal by pass lines.
Verify that if a boiler or process heater with a design heat input capacity of 44
MW or greater is used, up-to-date, readily accessible records of all periods of
operation are maintained.
Verify that if an open flame or flare pilot flame is used, up to date, readily
accessible continuous records of the flame or flare pilot flame monitoring and
records of all periods of operation in which the flame or flare pilot flame is absent
are maintained.
Verify that, for the life of the collection system, a plot map showing each existing
and planned collector in the system and providing a unique identification location
label for each collector is maintained.
Verify that up-to-date, readily accessible records of the installation date and
location of all newly installed collectors is maintained.
Verify that readily accessible documentation is available of the nature, date of
deposition, amount, and location of asbestos containing or nondegradable waste
excluded from collection as well as any unproductive areas excluded from
collection.
Verify that for at least 5 yr, up-to-date, readily accessible records are kept of all
collection and control system exceedances of the operational standards, the
reading the subsequent month, whether or not the second reading is an
exceedance, and the location of each exceedance.
Verify that landfill owners or operators who convert design capacity from volume
to mass or mass to volume to demonstrate that landfill design capacity is less than
2.5 million Mg or 2.5 million ft3, keep readily accessible, onsite records of the
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
44
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Protocol for Conducting Environmental Compliance Audits of Facilities Regulated under Subtitle D of
RCRA
COMPLIANCE CATEGORY:
NON-HAZARDOUS SOLID WASTE MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE:
REVIEWER CHECKS:
annual recalculation of site-specific density, design capacity, and the supporting
documentation.
(NOTE: Off site records may be maintained if they are retrievable within 4 h.
Either paper copy or electronic formats are acceptable.)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
45
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Protocol for Conducting Environmental Compliance Audits of Facilities Regulated under Subtitle D of
RCRA
This Page Intentionally Left Blank
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities Regulated under Subtitle D of
RCRA
COMPLIANCE CATEGORY:
NON-HAZARDOUS SOLID WASTE MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE:
MUNICIPAL SOLID
WASTE LANDFILLS
SO.90
Groundwater
Monitoring Criteria
SO.90.1. MSWLFs are
required to comply with
groundwater monitoring
schedules (40 CFR 258.50(c)
and 258.50(e)).
REVIEWER CHECKS:
Verify that groundwater monitoring complies with the following schedule:
-existing MSWLFs and lateral expansions less than 1 mi from a drinking
water intake (surface or subsurface) were in compliance with groundwater
monitoring requirements by October 9, 1994
- existing MSWLFs and lateral expansions greater than 1 mi but less than 2 mi
from a drinking water intake (surface or subsurface) were in compliance
with these groundwater monitoring requirements by October 9, 1995
- existing MSWLFs and lateral expansions greater than 2 mi from a drinking
water intake (surface or subsurface) were in compliance with these
groundwater monitoring requirements by October 9, 1996
-new MSWLFs are in compliance with the groundwater monitoring
requirements before waste can be place in the unit.
(NOTE: The Director of an approved state may approve of alternate schedules.)
(NOTE: Owners or operators of new MSWLF units, existing MSWLF units, and
lateral expansions that dispose of less than 20 tons of municipal solid waste daily,
based on an annual average, are exempt from the requirements for 40 CFR 258.50
through 258.59 as long as there is no evidence of groundwater contamination and
the unit serves one of the following:
-a community that experiences an annual interruption of at least 3
consecutive months of surface transportation that prevents access to a
regional waste management facility
- a community that has no practicable waste management alternative and the
landfill unit is located in an area that annually receives less than or equal to
25 in. of precipitation.)
Verify that MSWLFs that are otherwise exempted but which have evidence of
groundwater contamination comply with groundwater monitoring requirements by
October 9, 1997.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
47
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Protocol for Conducting Environmental Compliance Audits of Facilities Regulated under Subtitle D of
RCRA
COMPLIANCE CATEGORY:
NON-HAZARDOUS SOLID WASTE MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE:
SO.90.2. Groundwater
monitoring systems at
MSWLFs are subject to
requirements (40 CFR
258.5 l(a), 258.5 l(c), and
258.5 l(d)(2)).
SO.90.3. Groundwater
sampling and analysis at
MSWLFs is subject to
requirements (40 CFR
258.53(a) and 258.53(c)
through 258.53(g)).
REVIEWER CHECKS:
Verify that the groundwater monitoring system complies with the following
requirements:
- it consists of a sufficient number of wells, installed at appropriate locations
and depths, to yield groundwater samples from the uppermost aquifer
-it represents the quality of background groundwater that has not been
affected by leakage from a MSWLF
-it represents the quality of groundwater passing the relevant point of
compliance specified by the State Director or at the waste management unit
boundary
- monitoring wells are cased in a manner that maintains the integrity of the
monitoring well bore hole
- it is certified by a qualified groundwater scientist or approved by the State
Director (within 14 days of this certification, the owner or operator has
notified the State Director that certification has been placed in the operating
record).
(NOTE: When physical obstacles preclude installation of groundwater
monitoring wells at the relevant point of compliance at existing units, the
downgradient monitoring system may be installed at the closest practicable
distance hydraulically down gradient from the relevant point of compliance
specified by the State Director.)
Verify that the state has been notified that the design, installation, development,
and decommission of any monitoring wells, piezometers and other measurement,
sampling, and analytical devices documentation has been placed in the operating
record.
Verify that the monitoring wells and measurement, sampling, and analytical
devices are operated and maintained so that they perform to design specifications
throughout the life of the monitoring program.
Verify that groundwater monitoring sampling and analysis procedures are
designed to ensure monitoring results provide an accurate representation of
groundwater quality at the background and downgradient well.
Verify that the sampling procedures and frequency are protective of human health
and the environment.
Verify that groundwater elevations are measured in each well immediately prior
to purging, and that it has been determined the rate and direction of groundwater
flow each time groundwater is sampled.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
48
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Protocol for Conducting Environmental Compliance Audits of Facilities Regulated under Subtitle D of
RCRA
COMPLIANCE CATEGORY:
NON-HAZARDOUS SOLID WASTE MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE:
REVIEWER CHECKS:
Verify that groundwater elevations in wells which monitor the same waste
management area are measured within a period of time short enough to avoid
temporal variation in groundwater flow that could preclude accurate
determination of groundwater flow rate and direction.
Verify that a background groundwater quality has been established in a
hydraulically upgradient or background well for each of the monitoring
parameters or constituents required by its monitoring program.
Verify that the number of samples collected to establish groundwater quality data
is consistent with the approved statistical procedures.
Verify that the operating plan specifies one of the following statistical methods to
be used in evaluating groundwater monitoring data for each hazardous
constituent:
- an analysis of variance
- a tolerance or prediction interval procedure
- a control chart approach
- an equivalent statistical test method.
SO.90.4. Detection
monitoring at MSWLFs is
subject to specific
requirements (40 CFR
258.54(a)and258.54(b)).
Verify that, at a minimum, a detection monitoring program
constituents listed in Appendix E of this document.
includes the
Verify that monitoring occurs at least semiannually during the active life of the
MSWLF (including closure) and during the postclosure period.
Verify that a minimum of four independent samples from each well (background
and downgradient) are collected and analyzed for the constituents listed in
Appendix E of this document during the first semiannual sampling event.
Verify that at least one sample from each well (background and downgradient) is
collected and analyzed during subsequent semiannual sampling events.
(NOTE: The Director of an approved state may delete some constituents and
establish an alternate test.)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
49
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Protocol for Conducting Environmental Compliance Audits of Facilities Regulated under Subtitle D of
RCRA
COMPLIANCE CATEGORY:
NON-HAZARDOUS SOLID WASTE MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE:
REVIEWER CHECKS:
SO.90.5. MSWLFs are
subject to requirements
pertaining to the detection of
groundwater contamination
(40CFR258.54(c)).
Verify that in the event that there is a statistically significant increase over back
ground for one or more of the constituents listed in Appendix E of this document,
the following steps are taken:
-within 14 days of the finding, a notice is placed in the operating record
indicating which constituents have shown statistically significant changes
from background levels
- the State Director is notified that the finding has been placed in the operating
record
- within 90 days an assessment monitoring program is established.
(NOTE: The facility may demonstrate that a source other than the MSWLF
caused the contamination or that the statistically significant increase resulted from
error in sampling, analysis, statistical evaluation, or natural variation in
groundwater quality. This demonstration report must be certified by a qualified
groundwater scientist or approved by the State Director and be placed in the
operating record.)
SO.90.6. MSWLFs are
subject to requirements
pertaining to assessment
monitoring programs (40 CFR
258.55(a) through 258.55(c)).
Verify that an assessment monitoring program is established whenever a
statistically significant increase over background has been detected for one or
more of the constituents listed in Appendix E of this document.
Verify that within 90 days of establishing an assessment monitoring program, and
annually thereafter, the groundwater is sampled and analyzed for all constituents
identified in Appendix F of this document.
Verify that a minimum of one sample from each downgradient well is collected
and analyzed during each sampling event.
Verify that for any constituent detected in the downgradient wells as a result of
the complete analysis (see Appendix F of this document), a minimum of four
independent samples from each well (background and downgradient) is collected
and analyzed to establish back ground for the constituents.
(NOTE: The Director of an approved state may specify an appropriate alternate
frequency for repeated sampling and analysis for the full set of constituents during
the active life (including closure) and post closure care of the unit.)
SO.90.7. MSWLFs are
subject to notification
requirements pertaining to
assessment monitoring (40
CFR 258.55(d) and
258.55(e)).
Verify that after obtaining the results from the initial or subsequent sampling
events required, the following steps are taken:
-within 14 days a notice is place in the operating record identifying the
Appendix F constituents that have been detected (see Appendix F of this
document)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
50
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Protocol for Conducting Environmental Compliance Audits of Facilities Regulated under Subtitle D of
RCRA
COMPLIANCE CATEGORY:
NON-HAZARDOUS SOLID WASTE MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE:
REVIEWER CHECKS:
- the State Director is notified that the notice has been placed in the record
- within 90 days, and on at least a semiannual basis thereafter, the background
and downgradient monitoring wells are resampled and analyses conducted
for all constituents (see Appendix E of this document) and for those
constituents (see Appendix F of this document) that are detected in the
assessment monitoring program
- the results of these analyses are placed in the operating record.
-at least one sample from each well (background and downgradient) is
collected and analyzed during these sampling events.
(NOTE: The Director of an approved state may specify an alternate monitoring
frequency.)
Verify that if the concentrations of all constituents (see Appendix F of this
document) are shown to be at or below background values, using an approved
statistical procedure, for two consecutive sampling events, the State Director is
notified of the finding and detection monitoring is reinstituted.
SO.90.8. MSWLFs are
subject to notification
requirements pertaining to
noncompliance with the
groundwater protection
standard (40 CFR 258.55(g)
and 258.55(h)).
Verify that if during detection monitoring one or more constituents (see Appendix
F of this document) are detected at statistically significant levels above the
groundwater protection standards specified according to the following, the State
Director and all appropriate local government officials are notified and a notice is
placed in the operating record:
- for constituents that have a maximum contamination level (MCL) listed in
the Safe Drinking Water Act (SDWA), use the MCL for that constituent
- for constituents that are not included in the SDWA, use the background level
established for that constituent in the detection monitoring program
-for constituents for which the background level is higher than the MCL
identified in the SDWA, use the background concentration.
Verify that the following steps are also taken:
-the nature and extent of the release is investigated by the installation of
additional monitoring wells
- at least one additional monitoring well is installed at the MSWLF boundary
in the direction of contamination migration
-notification of all persons who own land or reside on land that directly
overlies any part of the plume of contamination that has migrated offsite
- initiation of an assessment of corrective measures within 90 days.
(NOTE: The facility may demonstrate that a source other than the MSWLF
caused the contamination or that the statistically significant increase resulted from
error in sampling, analysis, statistical evaluation, or natural variation in
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
51
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Protocol for Conducting Environmental Compliance Audits of Facilities Regulated under Subtitle D of
RCRA
COMPLIANCE CATEGORY:
NON-HAZARDOUS SOLID WASTE MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE:
REVIEWER CHECKS:
groundwater quality. This demonstration report must be certified by a qualified
groundwater scientist or approved by the State Director and be placed in the
operating record.)
SO.90.9. MSWLFs are
subject to criteria for
assessing potential
groundwater remediation
actions (40 CFR 258.56).
Verify that within 90 days of finding constituents (see Appendix F of this
document) at significant levels exceeding the groundwater protection standards,
an assessment of potential remedial actions is made and includes the following:
- analysis of effectiveness of potential corrective measures in meeting all the
requirements and objectives of the remedy, such as:
-the performance, reliability, ease of implementation, and potential
impacts of potential remedies
- the time required to begin and complete the remedy
-the cost of the remedy implementation
- state and local permit requirements affecting remediation
- discussion of corrective measures with the public or interested parties.
SO.90.10. The selection of
remedial measures for
groundwater contamination is
subject to specific criteria (40
CFR 258.57(a) through
258.57(c)).
Verify that corrective measures are selected according to the following criteria:
- they are protective of human health and the environment
- they attain the groundwater protection standard as specified under 40 CFR
258.55 (h) or (i)
- they control the source(s) of releases so as to reduce or eliminate further
releases of constituents (see Appendix F of this document) into the
environment
- they comply with the standards for management of wastes as specified in 40
CFR 258.58(d)
Verify that the following evaluation factors are considered when selecting a
remedy to meet the standards of 40 CFR 258.57(b):
- long and short-term effectiveness and protectiveness of the potential remedy
along with the degree of certainty that the remedy will prove successful
based on the following:
- magnitude of reduction of existing risks
-magnitude of residual risks in terms of further releases of wastes
following remediation
-type and degree of long-term management (including monitoring
operation and maintenance)
-short term risks to community, workers, or the environment during
implementation
- time period until full protection is achieved
-potential for exposure of humans and environmental receptors to
remaining wastes
- long-term reliability of the engineering and institutional controls, and
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
52
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Protocol for Conducting Environmental Compliance Audits of Facilities Regulated under Subtitle D of
RCRA
COMPLIANCE CATEGORY:
NON-HAZARDOUS SOLID WASTE MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE:
REVIEWER CHECKS:
-potential need for replacement of the remedy
- the effectiveness of the remedy in controlling the source to reduce further
releases based on consideration of the following factors:
-the extent to which the containment practices will reduce further
releases
- the extent to which treatment technologies may be used
-the ease or difficulty of implementing a potential remedy based on the
following factors:
- the degree of difficulty associated with constructing the technology
-the expected operational reliability of the technologies
- the need to coordinate with and obtain necessary approvals and permits
- the availability of necessary equipment and specialists, and
-the available capacity of needed treatment, storage and disposal
services
-the practical capability of the owner or operator, including a consideration of
technical and economic capability
-the degree to which community concerns are addressed by a potential
remedy (s).
Verify that the State Director is notified within 14 days of selecting a remedy, and
that the selection and the reason for its selection are noted in the operating record.
Verify that remedial activities take place within a reasonable time period
SO.90.11. Groundwater
remediation activities are
required to meet specific
scheduling requirements (40
CFR 258.57(d)).
Verify that the initiation of remedial activities occurs within a reasonable period
of time depending on:
- extent and nature of contamination
- practical capabilities of remedial technologies
- availability of treatment or disposal capacity for wastes managed during the
implementation period
- desirability of utilizing technologies not currently available, but that may
offer significant advantages over existing methods
- potential risks to human health and the environment
- resource value of the aquifer involved
- practicable capability of the MS WLF
- other relevant factors.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
53
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Protocol for Conducting Environmental Compliance Audits of Facilities Regulated under Subtitle D of
RCRA
COMPLIANCE CATEGORY:
NON-HAZARDOUS SOLID WASTE MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE:
REVIEWER CHECKS:
SO.90.12. Corrective action
programs are required to be
implemented according to
specific parameters (40 CFR
258.58).
Verify that, based on the established schedule for initiation and completion of
activities, the facility:
-establishes and implements a corrective action groundwater monitoring
program that:
-at a minimum meets the assessment monitoring requirements of 40
CFR 258.55 (see checklist items SO.90.7 through SO.90.9)
- indicates the effectiveness of the selected corrective action remedy
- demonstrates compliance with groundwater protection standards
- implements selected corrective action program
-takes any interim measure necessary to ensure the protection of human
health and the environment.
Verify that the following factors are considered in determining whether interim
measures are necessary:
- time required to develop and implement a final remedy
-actual or potential exposure of nearby populations or environmental
receptors
-actual or potential contamination of drinking water supplies or sensitive
ecosystems
- further degradation of the ground-water that may occur if the remedial action
is not initiated expeditiously
- weather conditions
-risks of fire or explosions, or potential for exposure to hazardous
constituents as a result of an accident or failure of a container or handling
system, and
- other situations that may pose threats to human health or the environment.
Verify that if it is determined that compliance is not being achieved with the
selected remedy, another method or technique is selected that can practicably
achieve compliance.
Verify that if compliance cannot be practicably achieved with currently available
methods, the following occurs:
-certification of a qualified groundwater scientist or approval of a State
Director of an approved state substantiating this claim is obtained
- alternate measures are implemented to control exposure of humans or the
environment to residual contamination as necessary to protect human health
and the environment
- measures are implemented for control of the sources of contamination, or for
removal of decontamination of equipment, units, devices, or structures that
are:
- technically practicable
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
54
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Protocol for Conducting Environmental Compliance Audits of Facilities Regulated under Subtitle D of
RCRA
COMPLIANCE CATEGORY:
NON-HAZARDOUS SOLID WASTE MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE:
REVIEWER CHECKS:
- consistent with the overall objective of the remedy
-the State Director is notified within 14 days that a report justifying the
alternative measures prior to implementation has been placed in the
operating record.
Verify that all solid wastes managed in relation to a remedy or an interim measure
are managed as follows:
- in a manner that is protective of human health and the environment
- in a manner that complies with applicable RCRA requirements.
(NOTE: Selected remedies shall be considered complete when:
- the owner or operator complies with the established ground-water protection
standards at all points within the plume of contamination that lie beyond the
ground-water monitoring well system
- compliance with the ground-water protection standards has been achieved by
demonstrating that concentrations of the constituents listed in Appendix F of
this document have not exceeded the ground-water protection standards for a
period of three consecutive years using the statistical procedures and
performance standards in 40 CFR 258.53(g) and 258.53 (h)
- all actions required to complete the remedy have been satisfied.
(NOTE: The Director of an approved state may specify an alternative length of
time during which the owner or operator must demonstrate that concentrations of
constituents listed in Appendix F of this document have not exceeded the ground-
water protection standards taking into consideration:
- extent and concentration of the releases
-behavior characteristics of the hazardous constituents in the ground-water
-accuracy of monitoring or modeling techniques, including any seasonal,
meteorological, or other environmental variabilities that may affect the
accuracy
-characteristics of the ground-water.)
Verify that, upon completion of the remedy, the owner or operator notifies the
State Director within 14 days that a certification that the remedy has been
completed in compliance with the requirements of 40 CFR 258.58(e) has been
placed in the operating record.
Verify that the certification is signed by the owner or operator and by a qualified
ground-water scientist or approved by the Director of an approved state.
(NOTE: When, upon completion of the certification, the owner or operator
determines that the corrective action remedy has been completed, the owner or
operator is released from the requirements for financial assurance for corrective
action under 40 CFR 258.73 (see checklist item SO. 120.3).
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
55
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Protocol for Conducting Environmental Compliance Audits of Facilities Regulated under Subtitle D of
RCRA
COMPLIANCE CATEGORY:
NON-HAZARDOUS SOLID WASTE MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE:
REVIEWER CHECKS:
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
56
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Protocol for Conducting Environmental Compliance Audits of Facilities Regulated under Subtitle D of
RCRA
This Page Intentionally Left Blank
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities Regulated under Subtitle D of
RCRA
COMPLIANCE CATEGORY:
NON-HAZARDOUS SOLID WASTE MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE:
REVIEWER CHECKS:
MUNICIPAL SOLID
WASTE LANDFILLS
SO.100
Closure Criteria
SO.100.1. MSWLFs are
subject to specific final cover
design requirements (40 CFR
258.60(a) and 258.60(b)).
Determine if there are plans to close a MSWLF.
Verify that the final cover is designed to minimize infiltration and erosion
according to the following criteria:
- it has a permeability less than or equal to the permeability of any bottom
liner system or natural subsoils present, or a permeability no greater then 1 x
10~4 cm/s, whichever is less
-it minimizes infiltrations through the closed MSWLF by use of an
infiltration layer that contains a minimum 18 in. of earthen material
- it minimizes erosion of the final cover by the use of an erosion layer that
contains a minimum 6 in. of earthen material that is capable of sustaining
native plant growth.
(NOTE: The Director of an approved state may approve alternate final cover
design.)
SO. 100.2. MSWLFs are
subject to specific closure
plan requirements (40 CFR
258.60(c)).
Verify that a written closure plan has been prepared that includes the following
information:
- a description of the final cover, and methods and procedures to be used to
install the cover
- an estimate of the largest area of the MSWLF unit ever requiring a final
cover any time during its active life
- an estimate of the maximum inventory of wastes ever onsite over its active
life
-a schedule for completing all activities necessary to satisfy closure
requirements.
SO. 100.3. MSWLFs are
subject to specific closure
notification requirements (40
CFR 258.60(d)).
Verify that the State Director has been notified of the intent to close the MSWLF.
Verify that the notice of intent to close has been placed in the operating record.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
58
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Protocol for Conducting Environmental Compliance Audits of Facilities Regulated under Subtitle D of
RCRA
COMPLIANCE CATEGORY:
NON-HAZARDOUS SOLID WASTE MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE:
REVIEWER CHECKS:
SO. 100.4. MSWLFs are
subject to specific closure
criteria (40 CFR 258.60(f)
and 258.60(g)).
Verify that closure activities begin no later than 30 days after the date the
MSWLF receives the final receipt of waste, or no later than 1 yr after the most
recent receipt of waste if the unit has remaining capacity.
Verify that closure activities of each MSWLF unit are completed within 180 days
following the beginning of closure.
SO. 100.5. MSWLFs are
subject to specific post-
closure notification
requirements (40 CFR
258.60(h) and 258.60(1)).
Verify that the State Director is notified that a certification, signed by an
independent registered professional engineer, has been completed and placed in
the operating record.
Verify that a notation is recorded on the deed to the landfill facility property, (or
equivalent instrument examined in a title search), that the property has been used
as a landfill, and its use is restricted.
Verify that the notation is placed in the operating record, and the State Director is
notified of its placement.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
59
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Protocol for Conducting Environmental Compliance Audits of Facilities Regulated under Subtitle D of
RCRA
COMPLIANCE CATEGORY:
NON-HAZARDOUS SOLID WASTE MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE:
REVIEWER CHECKS:
MUNICIPAL SOLID
WASTE LANDFILLS
SO.110
Postclosure Care
Requirements
SO.110.1. MSWLFs are
subject to specific post
closure care requirements (40
CFR258.61(a)).
Verify that postclosure care of a MSWLF is conducted in the following manner
for 30 yr:
-maintains the integrity and effectiveness of any final cover, including
making repairs to the cover as necessary to correct the effects of settlement,
subsidence, erosion, or other events, and to prevent run-on and run-off from
eroding or otherwise damaging the final cover
- maintains and operates the leachate collection system
- monitors the groundwater and maintains the groundwater monitoring system
- maintains and operates the gas monitoring system.
SO. 110.2. MSWLFs are
subject to specific post-
closure plan criteria (40 CFR
258.61(c)and258.61(d)).
Verify that a written postclosure plan has been prepared that includes the
following information:
- a description of the monitoring and maintenance activities
- the name, address, and telephone number of the person or office to contact
about the facility during the postclosure period
-a description of the planned uses of the property during the postclosure
period.
Verify that the postclosure plan has been placed in the operating record and the
State Director has been notified of its placement.
SO. 110.3. MSWLFs are
subject to specific post-
closure certification
requirements (40 CFR
258.61(e)).
Verify that following completion of the postclosure care period, a certification
signed by an independent registered professional engineer is completed, placed in
the operating record, and the State Director is notified of its placement.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
60
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Protocol for Conducting Environmental Compliance Audits of Facilities Regulated under Subtitle D of
RCRA
This Page Intentionally Left Blank
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities Regulated under Subtitle D of
RCRA
COMPLIANCE CATEGORY:
NON-HAZARDOUS SOLID WASTE MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE:
REVIEWER CHECKS:
MUNICIPAL SOLID
WASTE LANDFILLS
SO.120
Financial Responsibility
(NOTE: See Appendix B of this document for a list of compliance dates for
nonexempt MSWLFs. See Appendix C for a list of MSWLFs that are exempt
from meeting the standards found in 40 CFR 258, except for the standards for
final cover in 40 CFR 258.60(a), see checklist item SO. 100.1.)
SO.120.1. Owners and
operators of MSWLF are
required to meet specific
requirements for financial
assurance for closure (40 CFR
258.70 and 258.71).
(NOTE: These requirements apply to owners and operators of all MSWLF units,
except owners or operators who are state or federal government entities whose
debts and liabilities are the debts and liabilities of a state or the United States.)
Verify that the owner or operator has a detailed written estimate, in current
dollars, of the cost of hiring a third party to close the largest area of all MSWLF
units ever requiring a final cover as required under 40 CFR 258.60 (see checklist
items SO. 100.1 through SO. 100.5) at any time during the active life in accordance
with the closure plan.
Verify that the owner or operator notifies the State Director that the estimate has
been placed in the operating record.
Verify that the cost estimate equals the cost of closing the largest area of all
MSWLF units ever requiring a final cover at any time during the active life when
the extent and manner of their operation would make closure the most expensive,
as indicated by the closure plan.
Verify that, during the active life of the MSWLF unit, the owner or operator
annually adjusts the closure cost estimate for inflation.
Verify that the owner or operator increases the closure cost estimate and the
amount of financial assurance provided if changes to the closure plan or MSWLF
unit conditions increase the maximum cost of closure at any time during the
remaining active life.
(NOTE: The owner or operator may reduce the closure cost estimate and the
amount of financial assurance provided if the cost estimate exceeds the maximum
cost of closure at any time during the remaining life of the MSWLF unit. The
owner or operator must notify the State Director that the justification for the
reduction of the closure cost estimate and the amount of financial assurance has
been placed in the operating record.)
Verify that the owner or operator of each MSWLF unit establishes financial
assurance for closure of the MSWLF unit in compliance with 40 CFR 258.74 (see
checklist items SO. 120.4 through SO. 120.13).
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
62
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Protocol for Conducting Environmental Compliance Audits of Facilities Regulated under Subtitle D of
RCRA
COMPLIANCE CATEGORY:
NON-HAZARDOUS SOLID WASTE MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE:
SO. 120.2. Owners and
operators of MSWLF are
required to meet specific
requirements for financial
assurance for post-closure
care (40 CFR 258.70 and
258.72).
REVIEWER CHECKS:
Verify that the owner or operator provides continuous coverage for closure until
released from financial assurance requirements by demonstrating compliance with
40 CFR 258.60(h) and 258.60(i) (see checklist item SO. 100.5).
(NOTE: These requirements apply to owners and operators of all MSWLF units,
except owners or operators who are state or federal government entities whose
debts and liabilities are the debts and liabilities of a state or the United States.)
Verify that the owner or operator has a detailed written estimate, in current
dollars, of the cost of hiring a third party to conduct post-closure care for the
MSWLF unit in compliance with the post-closure plan.
Verify that the post-closure cost estimate used to demonstrate financial assurance
accounts for the total costs of conducting post-closure care, including annual and
periodic costs as described in the post-closure plan over the entire post-closure
care period.
Verify that the owner or operator notifies the State Director that the estimate has
been placed in the operating record.
Verify that the cost estimate for post-closure care is based on the most expensive
costs of post-closure care during the post-closure care period.
Verify that, during the active life of the MSWLF unit and during the post-closure
care period, the owner or operator annually adjusts the post-closure cost estimate
for inflation.
Verify that the owner or operator increases the post-closure care cost estimate and
the amount of financial assurance provided if changes in the post-closure plan or
MSWLF unit conditions increase the maximum costs of post-closure care.
(NOTE: The owner or operator may reduce the post-closure cost estimate and the
amount of financial assurance provided if the cost estimate exceeds the maximum
costs of post-closure care remaining over the post-closure care period. The owner
or operator must notify the State Director that the justification for the reduction of
the post-closure cost estimate and the amount of financial assurance has been
placed in the operating record.)
Verify that the owner or operator of each MSWLF unit establishes, in a manner in
accordance with 40 CFR 258.74 (see checklist items SO. 120. 4 through
SO. 120. 13), financial assurance for the costs of post-closure care as required
under 40 CFR258.61(see checklist items SO. 110.1 through SO. 110.3).
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
63
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Protocol for Conducting Environmental Compliance Audits of Facilities Regulated under Subtitle D of
RCRA
COMPLIANCE CATEGORY:
NON-HAZARDOUS SOLID WASTE MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE:
SO. 120.3. Owners and
operators of MSWLF are
required to meet specific
requirements for financial
assurance for corrective
action (40 CFR 258.70 and
258.73).
REVIEWER CHECKS:
Verify that the owner or operator provides continuous coverage for post-closure
care until released from financial assurance requirements for post-closure care by
demonstrating compliance with 40 CFR 258.61(e) (see checklist item SO. 1 10.3).
(NOTE: These requirements apply to owners and operators of all MSWLF units,
except owners or operators who are state or federal government entities whose
debts and liabilities are the debts and liabilities of a state or the United States.)
Verify that an owner or operator of an MSWLF unit required to undertake a
corrective action program under 40 CFR 258.58 (see checklist item SO.90.12) has
a detailed written estimate, in current dollars, of the cost of hiring a third party to
perform the corrective action in accordance with the required program.
Verify that the corrective action cost estimate accounts for the total costs of
corrective action activities as described in the corrective action plan for the entire
corrective action period.
Verify that the owner or operator notifies the State Director that the estimate has
been placed in the operating record.
Verify that the owner or operator annually adjusts the estimate for inflation until
the corrective action program is completed.
Verify that the owner or operator increases the corrective action cost estimate and
the amount of financial assurance provided if changes in the corrective action
program or MSWLF unit conditions increase the maximum costs of corrective
action.
(NOTE: The owner or operator may reduce the amount of the corrective action
cost estimate and the amount of financial assurance provided if the cost estimate
exceeds the maximum remaining costs of corrective action. The owner or operator
must notify the State Director that the justification for the reduction of the
corrective action cost estimate and the amount of financial assurance has been
placed in the operating record.)
Verify that the owner or operator of each MSWLF unit required to undertake a
corrective action program under 40 CFR 258.58 (see checklist item SO.90.12)
establishes, in a manner in accordance with 40 CFR 258.74 (see checklist items
SO. 120. 4 through SO. 120. 13), financial assurance for the most recent corrective
action program.
Verify that the owner or operator provides continuous coverage for corrective
action until released from financial assurance requirements for corrective action
by demonstrating compliance with 40 CFR 258.58(f) and 258.58(g).
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
64
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Protocol for Conducting Environmental Compliance Audits of Facilities Regulated under Subtitle D of
RCRA
COMPLIANCE CATEGORY:
NON-HAZARDOUS SOLID WASTE MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE:
SO. 120.4. When using a trust
fund, owners and operators of
MSWLF are required to meet
specific requirements for
financial assurance (40 CFR
258.70, 258.74(a), and
258.74(k)).
REVIEWER CHECKS:
(NOTE: These requirements apply to owners and operators of all MSWLF units,
except owners or operators who are state or federal government entities whose
debts and liabilities are the debts and liabilities of a state or the United States.)
Verify that the mechanisms used to demonstrate financial assurance ensure that
the funds necessary to meet the costs of closure, post-closure care, and corrective
action for known releases will be available whenever they are needed.
Verify that, when using a trust fund:
- the trustee is an entity which has the authority to act as a trustee and whose
trust operations are regulated and examined by a federal or state agency
- a copy of the trust agreement is placed in the facility's operating record.
Verify that payments into the trust fund are made annually by the owner or
operator over the term of the initial permit or over the remaining life of the
MSWLF unit, whichever is shorter, in the case of a trust fund for closure or post-
closure care, or over one-half of the estimated length of the corrective action
program in the case of corrective action for known releases.
(NOTE: This period is referred to as the pay-in period.)
Verify that, for a trust fund used to demonstrate financial assurance for closure
and post-closure care, the first payment into the fund is at least equal to the
current cost estimate for closure or post-closure care except as provided in 40
CFR 258.74(k) (see final NOTE statement at the end of this checklist item),
divided by the number of years in the pay -in period.
Verify that the amount of subsequent payments is determined by the following
formula:
Next Payment = [CE - CV]/Y
where CE is the current cost estimate for closure or post-closure care (updated for
inflation or other changes), CV is the current value of the trust fund, and Y is the
number of years remaining in the pay -in period.
Verify that, for a trust fund used to demonstrate financial assurance for corrective
action, the first payment into the trust fund is at least equal to one-half of the
current cost estimate for corrective action, except as provided in 40 CFR
258.74(k) (see final NOTE statement at the end of this checklist item), divided by
the number of years in the corrective action pay -in period.
Verify that the amount of subsequent payments is determined by the following
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities Regulated under Subtitle D of
RCRA
COMPLIANCE CATEGORY:
NON-HAZARDOUS SOLID WASTE MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE:
REVIEWER CHECKS:
formula:
Next Payment = [RB - CV]/Y
where RB is the most recent estimate of the required trust fund balance for
corrective action (i.e., the total costs that will be incurred during the second half
of the corrective action period), CV is the current value of the trust fund, and Y is
the number of years remaining in the pay-in period.
Verify that the initial payment into the trust fund is made before the initial receipt
of waste, in the case of closure and post-closure care, or no later than 120 days
after the corrective action remedy has been selected.
Verify that, if the owner or operator establishes a trust fund after having used one
or more alternate mechanisms, the initial payment into the trust fund is at least the
amount that the fund would contain if the trust fund were established initially and
annual payments made in accordance with 40 CFR 258.74(a)..
(NOTE: The owner or operator, or other person authorized to conduct closure,
post-closure care, or corrective action activities may request reimbursement from
the trustee for these expenditures. Requests for reimbursement will be granted by
the trustee only if sufficient funds are remaining in the trust fund to cover the
remaining costs of closure, post-closure care, or corrective action, and if
justification and documentation of the cost is placed in the operating record. The
owner or operator must notify the State Director that the documentation of the
justification for reimbursement has been placed in the operating record and that
reimbursement has been received.)
(NOTE: The trust fund may be terminated by the owner or operator only if the
owner or operator substitutes alternate financial assurance or if he is no longer
required to demonstrate financial responsibility.)
(NOTE: An owner or operator may demonstrate financial assurance for closure,
post-closure, and corrective action by establishing more than one mechanism per
facility, except that mechanisms guaranteeing performance rather than payment,
may not be combined with other instruments. The mechanisms must be as
specified in 40 CFR 258.74(a) through 258.74(j) (see checklist items SO. 120.4
through SO. 120.12), except that financial assurance for an amount at least equal
to the current cost estimate for closure, post-closure care, and/or corrective action
may be provided by a combination of mechanisms rather than a single
mechanism.)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities Regulated under Subtitle D of
RCRA
COMPLIANCE CATEGORY:
NON-HAZARDOUS SOLID WASTE MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE:
REVIEWER CHECKS:
SO. 120.5. When using a
surety bond guaranteeing
payment or performance,
owners and operators of
MSWLF are required to meet
specific requirements for
financial assurance (40 CFR
258.70, 258.74(b), and
258.74(k)).
(NOTE: These requirements apply to owners and operators of all MSWLF units,
except owners or operators who are state or federal government entities whose
debts and liabilities are the debts and liabilities of a state or the United States.)
Verify that the mechanisms used to demonstrate financial assurance ensure that
the funds necessary to meet the costs of closure, post-closure care, and corrective
action for known releases will be available whenever they are needed.
(NOTE: An owner or operator may demonstrate financial assurance for closure
or post-closure care by obtaining a payment or performance surety bond. An
owner or operator may demonstrate financial assurance for corrective action by
obtaining a performance bond.)
Verify that the bond is effective before the initial receipt of waste in the case of
closure and post-closure care, or no later than 120 days after the corrective action
remedy has been selected.
Verify that the owner or operator notifies the State Director that a copy of the
bond has been placed in the operating record.
Verify that the surety company issuing the bond is, at a minimum, among those
listed as acceptable sureties on federal bonds in Circular 570 of the U.S.
Department of the Treasury.
Verify that the penal sum of the bond is in an amount at least equal to the current
closure, post-closure care or corrective action cost estimate, whichever is
applicable except as provided in 40 CFR 258.,74(k) (see final NOTE statement at
the end of this checklist item).
Verify that under the terms of the bond, the surety will become liable on the bond
obligation when the owner or operator fails to perform as guaranteed by the bond.
Verify that the owner or operator establishes a standby trust fund meeting the
requirements of 40 CFR 258.74(a) (see checklist item SO. 120.4) except for the
requirements for initial payment and subsequent annual payments.
Verify that payments made under the terms of the bond are deposited by the
surety directly into the standby trust fund.
Verify that payments from the trust fund are approved by the trustee.
(NOTE: Under the terms of the bond, the surety may cancel the bond by sending
notice of cancellation by certified mail to the owner and operator and to the State
Director 120 days in advance of cancellation. If the surety cancels the bond, the
owner or operator must obtain alternate financial assurance.)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities Regulated under Subtitle D of
RCRA
COMPLIANCE CATEGORY:
NON-HAZARDOUS SOLID WASTE MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE:
REVIEWER CHECKS:
(NOTE: The owner or operator may cancel the bond only if alternate financial
assurance is substituted or if the owner or operator is no longer required to
demonstrate financial responsibility.)
(NOTE: An owner or operator may demonstrate financial assurance for closure,
post-closure, and corrective action by establishing more than one mechanism per
facility, except that mechanisms guaranteeing performance rather than payment,
may not be combined with other instruments. The mechanisms must be as
specified in 40 CFR 258.74(a) through 258.74(j) (see checklist items SO. 120.4
through SO. 120.12), except that financial assurance for an amount at least equal
to the current cost estimate for closure, post-closure care, and/or corrective action
may be provided by a combination of mechanisms rather than a single
mechanism.)
SO. 120.6. When using an
irrevocable stand-by letter of
credit, owners and operators
of MSWLF are required to
meet specific requirements for
financial assurance (40 CFR
258.70, 258.74(c), and
258.74(k)).
(NOTE: These requirements apply to owners and operators of all MSWLF units,
except owners or operators who are state or federal government entities whose
debts and liabilities are the debts and liabilities of a state or the United States.)
Verify that the mechanisms used to demonstrate financial assurance ensure that
the funds necessary to meet the costs of closure, post-closure care, and corrective
action for known releases will be available whenever they are needed.
Verify that the letter of credit is effective before the initial receipt of waste in the
case of closure and post-closure care, or no later than 120 days after the corrective
action remedy has been selected.
Verify that the owner or operator notifies the State Director that a copy of the
letter of credit has been placed in the operating record.
Verify that the issuing institution is an entity which has the authority to issue
letters of credit and whose letter-of-credit operations are regulated and examined
by a federal or state agency.
Verify that a letter from the owner or operator referring to the letter of credit by
number, issuing institution, and date, and providing the following information:
name, and address of the facility, and the amount of funds assured, is included
with the letter of credit in the operating record.
Verify that the letter of credit is irrevocable and issued for a period of at least 1 yr
in an amount at least equal to the current cost estimate for closure, post-closure
care or corrective action, whichever is applicable, except as [provided in 40 CFR
258.74(k) (see final NOTE statement at the end of this checklist item).
Verify that the letter of credit provides that the expiration date will be
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities Regulated under Subtitle D of
RCRA
COMPLIANCE CATEGORY:
NON-HAZARDOUS SOLID WASTE MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE:
REVIEWER CHECKS:
automatically extended for a period of at least 1 yr unless the issuing institution
has canceled the letter of credit by sending notice of cancellation by certified mail
to the owner and operator and to the State Director 120 days in advance of
cancellation.
Verify that, if the letter of credit is canceled by the issuing institution, the owner
or operator obtains alternate financial assurance.
(NOTE: The owner or operator may cancel the letter of credit only if alternate
financial assurance is substituted or if the owner or operator is released from the
financial assurance requirements.)
(NOTE: An owner or operator may demonstrate financial assurance for closure,
post-closure, and corrective action by establishing more than one mechanism per
facility, except that mechanisms guaranteeing performance rather than payment,
may not be combined with other instruments. The mechanisms must be as
specified in 40 CFR 258.74(a) through 258.74(j) (see checklist items SO. 120.4
through SO. 120.12), except that financial assurance for an amount at least equal
to the current cost estimate for closure, post-closure care, and/or corrective action
may be provided by a combination of mechanisms rather than a single
mechanism.)
SO. 120.7. When using
insurance, owners and
operators of MSWLF are
required to meet specific
requirements for financial
assurance (40 CFR 258.70,
258.74(d), and 258.74(k)).
(NOTE: These requirements apply to owners and operators of all MSWLF units,
except owners or operators who are state or federal government entities whose
debts and liabilities are the debts and liabilities of a state or the United States.)
Verify that the mechanisms used to demonstrate financial assurance ensure that
the funds necessary to meet the costs of closure, post-closure care, and corrective
action for known releases will be available whenever they are needed.
Verify that the insurance is effective before the initial receipt of waste in the case
of closure and post-closure care, or no later than 120 days after the corrective
action remedy has been selected.
Verify that, at a minimum, the insurer is licensed to transact the business of
insurance, or eligible to provide insurance as an excess or surplus lines insurer, in
one or more states.
Verify that the owner or operator notifies the State Director that a copy of the
insurance policy has been placed in the operating record.
Verify that the closure or post-closure care insurance policy guarantees that funds
will be available to close the MSWLF unit whenever final closure occurs or to
provide post-closure care for the MSWLF unit whenever the post-closure care
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities Regulated under Subtitle D of
RCRA
COMPLIANCE CATEGORY:
NON-HAZARDOUS SOLID WASTE MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE:
REVIEWER CHECKS:
period begins, whichever is applicable.
Verify that the policy also guarantees that once closure or post-closure care
begins, the insurer is responsible for the paying out of funds to the owner or
operator or other person authorized to conduct closure or post-closure care, up to
an amount equal to the face amount of the policy.
Verify that the insurance policy is issued for a face amount at least equal to the
current cost estimate for closure or post-closure care, whichever is applicable,
except as provided in 40 CFR 258.74(k) (see NOTE at the end of this checklist
item).
(NOTE: The term face amount means the total amount the insurer is obligated to
pay under the policy. Actual payments by the insurer will not change the face
amount, although the insurer's future liability will be lowered by the amount of
the payments.)
(NOTE: An owner or operator, or any other person authorized to conduct closure
or post-closure care, may receive reimbursements for closure or post-closure
expenditures, whichever is applicable. Requests for reimbursement will be
granted by the insurer only if the remaining value of the policy is sufficient to
cover the remaining costs of closure or post-closure care, and if justification and
documentation of the cost is placed in the operating record. The owner or operator
must notify the State Director that the documentation of the justification for
reimbursement has been placed in the operating record and that reimbursement
has been received.)
Verify that each policy contains a provision allowing assignment of the policy to a
successor owner or operator.
(NOTE: Such assignment may be conditional upon consent of the insurer,
provided that such consent is not unreasonably refused.)
Verify that the insurance policy provides that the insurer may not cancel,
terminate or fail to renew the policy except for failure to pay the premium.
Verify that the automatic renewal of the policy, at a minimum, provides the
insured with the option of renewal at the face amount of the expiring policy.
(NOTE: If there is a failure to pay the premium, the insurer may cancel the policy
by sending notice of cancellation by certified mail to the owner and operator and
to the State Director 120 days in advance of cancellation.)
Verify that, if the insurer cancels the policy, the owner or operator obtains
alternate financial assurance.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities Regulated under Subtitle D of
RCRA
COMPLIANCE CATEGORY:
NON-HAZARDOUS SOLID WASTE MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE:
REVIEWER CHECKS:
(NOTE: For insurance policies providing coverage for post-closure care,
commencing on the date that liability to make payments pursuant to the policy
accrues, the insurer will thereafter annually increase the face amount of the
policy. Such increase must be equivalent to the face amount of the policy, less any
payments made, multiplied by an amount equivalent to 85 percent of the most
recent investment rate or of the equivalent coupon-issue yield announced by the
U.S. Treasury for 26-week Treasury securities.)
(NOTE: The owner or operator may cancel the insurance policy only if alternate
financial assurance is substituted or if the owner or operator is no longer required
to demonstrate financial responsibility.)
(NOTE: An owner or operator may demonstrate financial assurance for closure,
post-closure, and corrective action by establishing more than one mechanism per
facility, except that mechanisms guaranteeing performance rather than payment,
may not be combined with other instruments. The mechanisms must be as
specified in 40 CFR 258.74(a) through 258.74(j) (see checklist items SO. 120.4
through SO. 120.12), except that financial assurance for an amount at least equal
to the current cost estimate for closure, post-closure care, and/or corrective action
may be provided by a combination of mechanisms rather than a single
mechanism.)
SO. 120.8. When using a
corporate financial test,
owners and operators of
MSWLF are required to meet
specific requirements for
financial assurance (40 CFR
258.70, 258.74(e), and
258.74(k)).
(NOTE: These requirements apply to owners and operators of all MSWLF units,
except owners or operators who are state or federal government entities whose
debts and liabilities are the debts and liabilities of a state or the United States.)
Verify that the mechanisms used to demonstrate financial assurance ensure that
the funds necessary to meet the costs of closure, post-closure care, and corrective
action for known releases will be available whenever they are needed.
Verify that the owner or operator satisfies one of the following three conditions:
- a current rating for its senior unsubordinated debt of AAA, AA, A, or BBB
as issued by Standard and Poor's or Aaa, Aa, A or Baa as issued by Moody's
- a ratio of less than 1.5 comparing total liabilities to net worth
-a ratio of greater than 0.10 comparing the sum of net income plus
depreciation, depletion and amortization, minus $10 million, to total
liabilities.
Verify that the tangible net worth of the owner or operator is greater than:
-the sum of the current closure, post-closure care, corrective action cost
estimates and any other environmental obligations, including guarantees,
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities Regulated under Subtitle D of
RCRA
COMPLIANCE CATEGORY:
NON-HAZARDOUS SOLID WASTE MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE:
REVIEWER CHECKS:
covered by a financial test plus $10 million, except as provided in 40 CFR
258.74(e)(l)(ii)(B)
-$10 million in net worth plus the amount of any guarantees that have not
been recognized as liabilities on the financial statements provided all of the
current closure, post-closure care, and corrective action costs and any other
environmental obligations covered by a financial test are recognized as
liabilities on the owner's or operator's audited financial statements, and
subject to the approval of the State Director.
Verify that the owner or operator has assets located in the United States
amounting to at least the sum of current closure, post-closure care, corrective
action cost estimates and any other environmental obligations covered by a
financial test.
Verify that the owner or operator places all of the following items into the
facility's operating record:
- a letter signed by the owner's or operator's chief financial officer that:
- lists all the current cost estimates covered by a financial test, including,
but not limited to, cost estimates required for municipal solid waste
management facilities under 40 CFR 258, cost estimates required for
underground injection control (UIC) facilities under 40 CFR 144, if
applicable, cost estimates required for petroleum underground storage
tank facilities under 40 CFR 280, if applicable, cost estimates required
for PCB storage facilities under 40 CFR 761, if applicable, and cost
estimates required for hazardous waste treatment, storage, or disposal
facilities (TSDFs) under 40 CFR 264 and 265, if applicable
- provides evidence demonstrating that the firm meets the requirements
of the financial component of the corporate financial test (40 CFR
258.74(e)(l) (NOTE: If the owner or operator no longer meets the
requirements of 40 CFR 258.74(e)(l), he must, within 120 days,
perform all of the following:
- obtain alternate financial assurance
- place the required submissions for that assurance in the operating
record
-notify the State Director that the owner or operator no longer
meets the criteria of the financial test and that alternate assurance
has been obtained.)
- a copy of the independent certified public accountant's unqualified opinion
of the owner's or operator's financial statements for the latest completed
fiscal year.
(NOTE: To be eligible to use the financial test, the owner's or operator's financial
statements must receive an unqualified opinion from the independent certified
public accountant. An adverse opinion, disclaimer of opinion, or other qualified
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities Regulated under Subtitle D of
RCRA
COMPLIANCE CATEGORY:
NON-HAZARDOUS SOLID WASTE MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE:
REVIEWER CHECKS:
opinion will be cause for disallowance, with the potential exception for qualified
opinions provided in the next sentence. The Director of an approved state may
evaluate qualified opinions on a case-by-case basis and allow use of the financial
test in cases where the Director deems that the matters which form the basis for
the qualification are insufficient to warrant disallowance of the test. If the Director
of an approved state does not allow use of the test, the owner or operator must
provide alternate financial assurance.)
(NOTE: If the chief financial officer's letter providing evidence of financial
assurance includes financial data showing that owner or operator satisfies the ratio
requirement for total liabilities to net worth or for net income plus depreciation,
depletion and amortization, minus $10 million, to total liabilities that are different
from data in the audited financial statements or data filed with the SEC, then a
special report from the owner's or operator's independent certified public
accountant to the owner or operator is required. The special report shall be based
upon an agreed upon procedures engagement in accordance with professional
auditing standards and shall describe the procedures performed in comparing the
data in the chief financial officer's letter derived from the independently audited,
year-end financial statements for the latest fiscal year with the amounts in such
financial statements, the findings of that comparison, and the reasons for any
differences.)
Verify that, if the chief financial officer's letter provides a demonstration that the
firm has assured for environmental obligations, the letter includes a report from
the independent certified public accountant that verifies that all of the
environmental obligations covered by a financial test have been recognized as
liabilities on the audited financial statements, how these obligations have been
measured and reported, and that the tangible net worth of the firm is at least $10
million plus the amount of any guarantees provided.
Verify that the items required under the recordkeeping and reporting requirements
of the corporate financial test are placed in the operating record and that the State
Director is notified that these items have been placed in the operating record
before the initial receipt of waste in the case of closure of postclosure care, or no
later than 120 days after the corrective action remedy has been selected.
Verify that the owner or operator annually updates the information in the
operating record and places updated information in the operating record within 90
days following the close of the owner or operator's fiscal year.
(NOTE: The Director of a state may provide up to an additional 45 days for an
owner or operator who can demonstrate that 90 days is insufficient time to acquire
audited financial statements.)
(NOTE: The owner or operator is no longer required to comply with these
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities Regulated under Subtitle D of
RCRA
COMPLIANCE CATEGORY:
NON-HAZARDOUS SOLID WASTE MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE:
REVIEWER CHECKS:
requirements when:
-he substitutes alternate financial assurance that is not subject to these
recordkeeping and reporting requirements
- he is released from the requirements of 40 CFR 258.74.)
(NOTE: The Director of an approved state may, based on a reasonable belief that
the owner or operator is no longer in compliance, require at any time the owner or
operator to provide reports of its financial condition in addition to or including
current financial test documentation.)
Verify that, when calculating the current cost estimates for closure, post-closure
care, corrective action, or the sum of the combination of such costs to be covered,
and any other environmental obligations assured by a financial test, the owner or
operator includes cost estimates required for municipal solid waste management
facilities, as well as cost estimates required for the following environmental
obligations, if it assures them through a financial test:
- obligations associated with UIC facilities under 40 CFR 144
- petroleum underground storage tank (UST) facilities under 40 CFR 280
- Polychlorinated Biphenyl (PCB) storage facilities under 40 CFR 761
- hazardous waste TSDFs under 40 CFR 264 and 265.
(NOTE: An owner or operator may demonstrate financial assurance for closure,
post-closure, and corrective action by establishing more than one mechanism per
facility, except that mechanisms guaranteeing performance rather than payment,
may not be combined with other instruments. The mechanisms must be as
specified in 40 CFR 258.74(a) through 258.74(j) (see checklist items SO. 120.4
through SO. 120.12), except that financial assurance for an amount at least equal
to the current cost estimate for closure, post-closure care, and/or corrective action
may be provided by a combination of mechanisms rather than a single
mechanism.)
SO. 120.9. When using a local
government financial test,
owners and operators of
MSWLF are required to meet
specific requirements for
financial assurance (40 CFR
258.70, 258.74(f), and
258.74(k)).
(NOTE: These requirements apply to owners and operators of all MSWLF units,
except owners or operators who are state or federal government entities whose
debts and liabilities are the debts and liabilities of a state or the United States.)
Verify that the mechanisms used to demonstrate financial assurance ensure that
the funds necessary to meet the costs of closure, post-closure care, and corrective
action for known releases will be available whenever they are needed.
Verify that the owner or operator satisfies one of the following:
- if the owner or operator has outstanding, rated, general obligation bonds that
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities Regulated under Subtitle D of
RCRA
COMPLIANCE CATEGORY:
NON-HAZARDOUS SOLID WASTE MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE:
REVIEWER CHECKS:
are not secured by insurance, a letter of credit, or other collateral or
guarantee, it has a current rating of Aaa, Aa, A, or Baa, as issued by
Moody's, or AAA, AA, A, or BBB, as issued by Standard and Poor's on all
such general obligation bonds
- the owner or operator satisfies each of the following financial ratios based
on the owner or operator's most recent audited annual financial statement:
- a ratio of cash plus marketable securities to total expenditures greater
than or equal to 0.05
- a ratio of annual debt service to total expenditures less than or equal to
0.20.
Verify that the owner or operator prepares its financial statements in conformity
with Generally Accepted Accounting Principles for governments and has its
financial statements audited by an independent certified public accountant (or
appropriate state agency).
(NOTE: A local government is not eligible to assure its obligations under these
requirements if it meets one of the following:
- is currently in default on any outstanding general obligation bonds
- has any outstanding general obligation bonds rated lower than Baa as issued
by Moody's or BBB as issued by Standard and Poor's
- operated at a deficit equal to five percent or more of total annual revenue in
each of the past two fiscal years
-receives an adverse opinion, disclaimer of opinion, or other qualified
opinion from the independent certified public accountant (or appropriate
state agency) auditing its financial statement.)
(NOTE: The Director of an approved state may evaluate qualified opinions on a
case-by-case basis and allow use of the financial test in cases where the Director
deems the qualification insufficient to warrant disallowance of use of the test.)
(NOTE: The following terms used in 40 CFR 258.74(f) (this checklist item) are
defined as follows:
- deficit equals total annual revenues minus total annual expenditures
- total revenues include revenues from all taxes and fees but does not include
the proceeds from borrowing or asset sales, excluding revenue from funds
managed by local government on behalf of a specific third party
- total expenditures include all expenditures excluding capital outlays and debt
repayment
- cash plus marketable securities is all the cash plus marketable securities held
by the local government on the last day of a fiscal year, excluding cash and
marketable securities designated to satisfy past obligations such as pensions
- debt service is the amount of principal and interest due on a loan in a given
time period, typically the current year.)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities Regulated under Subtitle D of
RCRA
COMPLIANCE CATEGORY:
NON-HAZARDOUS SOLID WASTE MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE:
REVIEWER CHECKS:
Verify that the local government owner or operator places a reference to the
closure and post-closure care costs assured through the financial test into its next
comprehensive annual financial report (CAFR) after the effective date of this
section or prior to the initial receipt of waste at the facility, whichever is later.
Verify that disclosure includes the nature and source of closure and post-closure
care requirements, the reported liability at the balance sheet date, the estimated
total closure and post-closure care cost remaining to be recognized, the percentage
of landfill capacity used to date, and the estimated landfill life in years.
Verify that a reference to corrective action costs is placed in the CAFR not later
than 120 days after the corrective action remedy has been selected.
(NOTE: For the first year the financial test is used to assure costs at a particular
facility, the reference may instead be placed in the operating record until issuance
of the next available CAFR if timing does not permit the reference to be
incorporated into the most recently issued CAFR or budget. For closure and post-
closure costs, conformance with Government Accounting Standards Board
Statement 18 assures compliance with this public notice component.)
Verify that the local government owner or operator places the following items in
the facility's operating record:
- a letter signed by the local government's chief financial officer that:
- lists all the current cost estimates covered by a financial test
-provides evidence and certifies that the local government meets the
conditions for the financial component of the local government
financial test
- certifies that the local government meets the conditions of public notice
requirements and cost calculations
- the local government's independently audited year-end financial statements
for the latest fiscal year (except for local governments where audits are
required every 2 yr where unaudited statements may be used in years when
audits are not required), including the unqualified opinion of the auditor who
must be an independent, certified public accountant or an appropriate state
agency that conducts equivalent comprehensive audits
- a report to the local government from the local government's independent
certified public accountant (CPA) or the appropriate state agency based on
performing an agreed upon procedures engagement relative to the financial
ratios required under the financial component of the local government
financial test (NOTE: The CPA or state agency's report should state the
procedures performed and the CPA or state agency's findings.)
-a copy of the CAFR or certification that the requirements of General
Accounting Standards Board Statement 18 have been met.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities Regulated under Subtitle D of
RCRA
COMPLIANCE CATEGORY:
NON-HAZARDOUS SOLID WASTE MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE:
REVIEWER CHECKS:
Verify that the items specified under the recordkeeping and reporting
requirements of the local government financial test are placed in the facility
operating record as follows:
- in the case of closure and post-closure care, or prior to the initial receipt of
waste at the facility
-in the case of corrective action, not later than 120 days after the corrective
action remedy is selected.
Verify that the local government owner or operator updates the information in the
facility operating record and places the updated information in the operating
record within 180 days following the close of the owner or operator's fiscal year.
(NOTE: The local government owner or operator is no longer required to meet
the reporting or recording keeping requirements when:
- the owner or operator substitutes alternate financial assurance
- the owner or operator is released from the requirements of 40 CFR 258.74.)
Verify that the local government satisfies the requirements of the financial test at
the close of each fiscal year.
Verify that, if the local government owner or operator no longer meets the
requirements of the local government financial test it must, within 210 days
following the close of the owner or operator's fiscal year, obtain alternative
financial assurance, places the required submissions for that assurance in the
operating record, and notify the State Director that the owner or operator no
longer meets the criteria of the financial test and that alternate assurance has been
obtained.
(NOTE: The Director of an approved state, based on a reasonable belief that the
local government owner or operator may no longer meet the requirements of the
local government financial test, may require additional reports of financial
condition from the local government at any time. If the Director of an approved
state finds, on the basis of such reports or other information, that the owner or
operator no longer meets the requirements of the local government financial test,
the local government must provide alternate financial assurance in accordance
with 40 CFR 258.74.)
(NOTE: The portion of the closure, post-closure, and corrective action costs for
which an owner or operator can assure is determined as follows:
-if the local government owner or operator does not assure other
environmental obligations through a financial test, it may assure closure,
post-closure, and corrective action costs that equal up to 43 percent of the
local government's total annual revenue
- if the local government assures other environmental obligations through a
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities Regulated under Subtitle D of
RCRA
COMPLIANCE CATEGORY:
NON-HAZARDOUS SOLID WASTE MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE:
REVIEWER CHECKS:
financial test, including those associated with UIC facilities under 40 CFR
144.62, petroleum UST facilities under 40 CFR 280, PCB storage facilities
under 40 CFR 761, and hazardous waste TSDF under 40 CFR 264 and 265,
it must add those costs to the closure, post-closure, and corrective action
costs it seeks to assure under 40 CFR 258.74(f). The total that may be
assured must not exceed 43 percent of the local government's total annual
revenue
- the owner or operator obtains an alternate financial assurance instrument for
those costs that exceed these limits.)
(NOTE: An owner or operator may demonstrate financial assurance for closure,
post-closure, and corrective action by establishing more than one mechanism per
facility, except that mechanisms guaranteeing performance rather than payment,
may not be combined with other instruments. The mechanisms must be as
specified in 40 CFR 258.74(a) through 258.74(j) (see checklist items SO. 120.4
through SO. 120.12), except that financial assurance for an amount at least equal
to the current cost estimate for closure, post-closure care, and/or corrective action
may be provided by a combination of mechanisms rather than a single
mechanism.)
SO.120.10. When using a
corporate guarantee, owners
and operators of MSWLF are
required to meet specific
requirements for financial
assurance (40 CFR 258.70,
258.74(g), and 258.74(k)).
(NOTE: These requirements apply to owners and operators of all MSWLF units,
except owners or operators who are state or federal government entities whose
debts and liabilities are the debts and liabilities of a state or the United States.)
Verify that the mechanisms used to demonstrate financial assurance ensure that
the funds necessary to meet the costs of closure, post-closure care, and corrective
action for known releases will be available whenever they are needed.
Verify that the guarantor is the direct or higher-tier parent corporation of the
owner or operator, a firm whose parent corporation is also the parent corporation
of the owner or operator, or a firm with a "substantial business relationship" with
the owner or operator.
Verify that the guarantor meets the requirements for owners or operators in 40
CFR 258.74(e) and complies with the terms of the guarantee.
Verify that a certified copy of the guarantee is placed in the facility's operating
record along with copies of the letter from the guarantor's chief financial officer
and accountants' opinions.
Verify that if the guarantor's parent corporation is also the parent corporation of
the owner or operator, the letter from the guarantor's chief financial officer
describes the value received in consideration of the guarantee.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities Regulated under Subtitle D of
RCRA
COMPLIANCE CATEGORY:
NON-HAZARDOUS SOLID WASTE MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE:
REVIEWER CHECKS:
Verify that, if the guarantor is a firm with a "substantial business relationship"
with the owner or operator, the letter describes this "substantial business
relationship" and the value received in consideration of the guarantee.
Verify that the guarantee is effective and all required submissions placed in the
operating record before the initial receipt of waste in the case of closure and post-
closure care, or in the case of corrective action no later than 120 days after the
corrective action remedy has been selected.
Verify that the terms of the guarantee provide that:
- if the owner or operator fails to perform closure, post-closure care, and/or
corrective action of a facility covered by the guarantee, the guarantor will do
one of the following:
-perform, or pay a third party to perform, closure, post-closure care,
and/or corrective action as required (performance guarantee)
- establish a fully funded trust fund in the name of the owner or operator
(payment guarantee)
-the guarantee remains in force for as long as the owner or operator must
comply with the applicable financial assurance requirements unless the
guarantor sends prior notice of cancellation by certified mail to the owner or
operator and to the State Director (NOTE: Cancellation may not occur,
however, during the 120 days beginning on the date of receipt of the notice
of cancellation by both the owner or operator and the State Director, as
evidenced by the return receipts.)
-if notice of cancellation is given, the owner or operator, within 90 days
following receipt of the cancellation notice by the owner or operator and the
State Director, obtains alternate financial assurance, places evidence of that
alternate financial assurance in the facility operating record, and notifies the
State Director (NOTE: If the owner or operator fails to provide alternate
financial assurance within the 90-day period, the guarantor must provide that
alternate assurance within 120 days of the cancellation notice, obtain
alternative assurance, place evidence of the alternate assurance in the facility
operating record, and notify the State Director.)
Verify that, if a corporate guarantor no longer meets the requirements for the
financial component of the corporate financial test, the owner or operator, within
90 days, obtains alternative assurance, places evidence of the alternate assurance
in the facility operating record, and notifies the State Director.
Verify that, if the owner or operator fails to provide alternate financial assurance
within the 90-day period, the guarantor provides that alternate assurance within
the next 30 days.
(NOTE: The owner or operator is no longer required to comply with these
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities Regulated under Subtitle D of
RCRA
COMPLIANCE CATEGORY:
NON-HAZARDOUS SOLID WASTE MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE:
REVIEWER CHECKS:
requirements when one of the following occurs:
- he substitutes alternate financial assurance
- he is released from the requirements under 40 CFR 258.74.)
(NOTE: An owner or operator may demonstrate financial assurance for closure,
post-closure, and corrective action by establishing more than one mechanism per
facility, except that mechanisms guaranteeing performance rather than payment,
may not be combined with other instruments. The mechanisms must be as
specified in 40 CFR 258.74(a) through 258.74(j) (see checklist items SO. 120.4
through SO. 120.12), except that financial assurance for an amount at least equal
to the current cost estimate for closure, post-closure care, and/or corrective action
may be provided by a combination of mechanisms rather than a single
mechanism.)
SO.120.11. When using a
local government guarantee,
owners and operators of
MSWLF are required to meet
specific requirements for
financial assurance (40 CFR
258.70, 258.74(h), and
258.74(k)).
(NOTE: These requirements apply to owners and operators of all MSWLF units,
except owners or operators who are state or federal government entities whose
debts and liabilities are the debts and liabilities of a state or the United States.)
Verify that the mechanisms used to demonstrate financial assurance ensure that
the funds necessary to meet the costs of closure, post-closure care, and corrective
action for known releases will be available whenever they are needed.
Verify that the guarantor meets the requirements of the local government financial
test and complies with the terms of a written guarantee.
Verify that the guarantee is effective before the initial receipt of waste or before
the effective date of 40 CFR 258.74, whichever is later, in the case of closure,
post-closure care, or no later than 120 days after the corrective action remedy has
been selected.
Verify that the guarantee provides that:
- if the owner or operator fails to perform closure, post-closure care, and/or
corrective action of a facility covered by the guarantee, the guarantor will do
one of the following:
-perform, or pay a third party to perform, closure, post-closure care,
and/or corrective action as required
- establish a fully funded trust fund in the name of the owner or operator
-the guarantee will remain in force unless the guarantor sends notice of
cancellation by certified mail to the owner or operator and to the State
Director (NOTE: cancellation may not occur, however, during the 120 days
beginning on the date of receipt of the notice of cancellation by both the
owner or operator and the State Director, as evidenced by the return receipts
- if a guarantee is canceled, the owner or operator, within 90 days following
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities Regulated under Subtitle D of
RCRA
COMPLIANCE CATEGORY:
NON-HAZARDOUS SOLID WASTE MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE:
REVIEWER CHECKS:
receipt of the cancellation notice by the owner or operator and the State
Director, obtains alternate financial assurance, places evidence of that
alternate financial assurance in the facility operating record, and notifies the
State Director.
Verify that, if the owner or operator fails to provide alternate financial assurance
within the 90-day period, the guarantor provides that alternate assurance within
120 days following the guarantor's notice of cancellation, places evidence of the
alternate assurance in the facility operating record, and notifies the State Director.
Verify that the owner or operator places a certified copy of the guarantee along
with the following items into the facility's operating record before the initial
receipt of waste in the case of closure, post-closure care, or no later than 120 days
after the corrective action remedy has been selected:
- a letter signed by the local government's chief financial officer that:
- lists all the current cost estimates covered by a financial test
-provides evidence and certifies that the local government meets the
conditions for the financial component of the local government
financial test
- certifies that the local government meets the conditions of public notice
requirements and cost calculations
- the local government's independently audited year-end financial statements
for the latest fiscal year (except for local governments where audits are
required every 2 yr where unaudited statements may be used in years when
audits are not required), including the unqualified opinion of the auditor who
must be an independent, certified public accountant or an appropriate state
agency that conducts equivalent comprehensive audits
- a report to the local government from the local government's independent
certified public accountant (CPA) or the appropriate state agency based on
performing an agreed upon procedures engagement relative to the financial
ratios required under the financial component of the local government
financial test (NOTE: The CPA or state agency's report should state the
procedures performed and the CPA or state agency's findings)
-a copy of the CAFR or certification that the requirements of General
Accounting Standards Board Statement 18 have been met.
(NOTE: The owner or operator is no longer required to maintain the
recordkeeping and reporting document required for the local government
guarantee when:
- the owner or operator substitutes alternate financial assurance
- the owner or operator is released from the requirements of 40 CFR 258.74 in
accordance with 40 CFR 258.71(b), 258.72(b), or258.73(b).)
Verify that, if a local government guarantor no longer meets the requirements of
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities Regulated under Subtitle D of
RCRA
COMPLIANCE CATEGORY:
NON-HAZARDOUS SOLID WASTE MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE:
REVIEWER CHECKS:
40 CFR 258.74(f) (see checklist item SO. 120.9), the owner or operator, within 90
days, obtains alternative assurance, places evidence of the alternate assurance in
the facility operating record, and notifies the State Director.
Verify that, if the owner or operator fails to obtain alternate financial assurance
within that 90-day period, the guarantor provides that alternate assurance within
the next 30 days.
(NOTE: An owner or operator may demonstrate financial assurance for closure,
post-closure, and corrective action by establishing more than one mechanism per
facility, except that mechanisms guaranteeing performance rather than payment,
may not be combined with other instruments. The mechanisms must be as
specified in 40 CFR 258.74(a) through 258.74(j) (see checklist items SO. 120.4
through SO. 120.12), except that financial assurance for an amount at least equal
to the current cost estimate for closure, post-closure care, and/or corrective action
may be provided by a combination of mechanisms rather than a single
mechanism.)
SO.120.12. When using a
state-approved mechanism,
owners and operators of
MSWLF are required to meet
specific requirements for
financial assurance (40 CFR
258.70, 258.74(i) through
258.74(k)).
(NOTE: These requirements apply to owners and operators of all MSWLF units,
except owners or operators who are state or federal government entities whose
debts and liabilities are the debts and liabilities of a state or the United States.)
Verify that the mechanisms used to demonstrate financial assurance ensure that
the funds necessary to meet the costs of closure, post-closure care, and corrective
action for known releases will be available whenever they are needed.
(NOTE: An owner or operator may satisfy the financial assurance requirements
by obtaining any other mechanism that meets the criteria specified in 40 CFR
258.74(1) (see checklist item SO. 120.13), and that is approved by the Director of
an approved state.
(NOTE: If the State Director either assumes legal responsibility for an owner or
operator's compliance with the closure, post-closure care and/or corrective action
requirements, or assures that the funds will be available from state sources to
cover the requirements, the owner or operator will be in compliance with 40 CFR
258.74.)
(NOTE: An owner or operator may demonstrate financial assurance for closure,
post-closure, and corrective action by establishing more than one mechanism per
facility, except that mechanisms guaranteeing performance rather than payment,
may not be combined with other instruments. The mechanisms must be as
specified in 40 CFR 258.74(a) through 258.74(j) (see checklist items SO. 120.4
through SO.120.12), except that financial assurance for an amount at least equal
to the current cost estimate for closure, post-closure care, and/or corrective action
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities Regulated under Subtitle D of
RCRA
COMPLIANCE CATEGORY:
NON-HAZARDOUS SOLID WASTE MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE:
REVIEWER CHECKS:
may be provided by a combination of mechanisms rather than a single
mechanism.)
SO.120.13. Regardless of the
financial assurance instrument
used, certain criteria must be
met (40 CFR 258.70 and
258.74(1)).
(NOTE: These requirements apply to owners and operators of all MSWLF units,
except owners or operators who are state or federal government entities whose
debts and liabilities are the debts and liabilities of a state or the United States.)
Verify that the language in the mechanisms specified in 40 CFR 258.74(a)
through 258.74(j) (see checklist items SO. 120.4 through SO. 120.12), ensure that
the instruments satisfy the following criteria:
- the financial assurance mechanisms ensure that the amount of funds assured
is sufficient to cover the costs of closure, post-closure care, and corrective
action for known releases when needed
- the financial assurance mechanisms ensure that funds will be available in a
timely fashion when needed
- the financial assurance mechanisms are obtained by the owner or operator by
the effective date of these requirements or prior to the initial receipt of solid
waste, whichever is later, in the case of closure and post-closure care, and no
later that 120 days after the corrective action remedy has been selected, until
the owner or operator is released from the financial assurance requirements
-the financial assurance mechanisms are legally valid, binding, and
enforceable under state and federal law.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities Regulated under Subtitle D of
RCRA
COMPLIANCE CATEGORY
NON-HAZARDOUS SOLID WASTE MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE:
REVIEWER CHECKS
SO.140
THERMAL PROCESSING
(NOTE: The prescribed guidelines are applicable to thermal processing facilities
designed to process or which are processing 50 tons or more per day of
municipal-type solid wastes. The application of this capacity criterion will be
interpreted to mean any facility designed to process or actually processing 50/24
tons or more per hour. However, the guidelines do not apply to hazardous,
agricultural, and mining wastes because of the lack of sufficient information upon
which to base recommended procedures.)
SO.140.1. Owners/operators
of thermal processing
facilities are required to
determine what wastes are
acceptable and special
handling procedures (40 CFR
240.100(a), 240.200-1, and
240.201-1).
Verify that, in consultation with the responsible regulatory agencies, the
owner/operator determines what wastes shall be accepted and identifies any
special handling required.
(NOTE: In general, only wastes for which the facility has been specifically
designed shall be accepted; however, other wastes may be accepted if it has been
demonstrated to the responsible regulatory agency that they can be satisfactorily
processed within the design capability of the facility or after appropriate facility
modifications.)
Verify that, using information provided to them by the waste generator/owner, the
responsible regulatory agency and the facility owner/operator jointly determine
specific wastes to be excluded and identify them in the plans.
Verify that the generator/owner of excluded wastes consults with the responsible
regulatory agency in determining an alternative method of disposal for excluded
wastes.
(NOTE: The criteria used in considering whether a waste is unacceptable shall
include the facility's capabilities, alternative methods available, the chemical and
biological characteristics of the waste, environmental and health effects, and the
safety of personnel. Disposal of pesticides and pesticide containers shall be
consistent with the Federal Environmental Pesticides Control Act of 1972 (Pub.
L. 92-516) and recommended procedures promulgated thereunder.)
SO. 140.2. Owners/operators
of thermal processing
facilities are required consider
certain parameters for site
selection (40 CFR 240.100(a),
240.202-1).
Verify that site selection and utilization is consistent with public health and
welfare, and air and water quality standards and adaptable to appropriate land-use
plans.
SO. 140.3. Owners/operators Verify that a plan for the design of new facilities or modifications to existing
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities Regulated under Subtitle D of
RCRA
COMPLIANCE CATEGORY
NON-HAZARDOUS SOLID WASTE MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE:
REVIEWER CHECKS
of thermal processing
facilities are required to have
a plan for the design of new
facilities or modifications (40
CFR 240.100(a), 240.203-1).
facilities is prepared or approved by a professional engineer.
Verify that a list of major considerations and the rationale for the decision on each
consideration is approved by the responsible regulatory agency prior to
authorization for construction.
Verify that the information remains available for review.
SO. 140.4. Owners/operators
of thermal processing
facilities are required to meet
certain requirements for air
and water quality (40 CFR
240.100(a), 240.204-1, and
240.205-1).
Verify that all waters discharged from the facility are sufficiently treated to meet
the most stringent of applicable water quality standards, established in accordance
with or effective under the provisions of the Federal Water Pollution Control Act,
as amended.
Verify that emissions do not exceed applicable existing emission standards
established by the U.S. EPA (as published in 40 CFR 52, 60, 61 and 76) under the
authority of the CAA, as amended, or state or local emission standards effective
under that Act, if the latter are more stringent.
SO. 140.5. Owners/operators
of thermal processing
facilities are required to meet
certain operational
requirements (40 CFR
240.100(a), 240.206-1,
240.207-1, 240.209-1,
240.210-1, and 240.211-1).
Verify that conditions are maintained that are unfavorable for the harboring,
feeding, and breeding of vectors.
Verify that the incinerator facility is designed and operated at all times in an
aesthetically acceptable manner.
Verify that incinerators are designed, operated, and maintained in a manner to
protect the health and safety of personnel associated with the operation of the
facility.
(NOTE: Pertinent provisions of the Occupational Safety and Health Act of 1970
(Pub. L. 91-596) and regulations promulgated thereunder shall apply.)
Verify that the thermal processing facility is operated and maintained in a manner
that assures it will meet the design requirements.
Verify that an operations manual describing the various tasks to be performed,
operating procedures, and safety precautions for various areas of the facility is
developed and is readily available for reference by plant personnel.
Verify that the owner/operator of the thermal processing facility provides records
and monitoring data as required by the responsible agency.
SO. 140.6. Owners/operators Verify that residue and other solid waste products resulting from a thermal
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities Regulated under Subtitle D of
RCRA
COMPLIANCE CATEGORY
NON-HAZARDOUS SOLID WASTE MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE:
REVIEWER CHECKS
of thermal processing
facilities are required to meet
certain requirements for the
disposal of residue and other
solid waste products (40 CFR
240.100(a), 240.100(c), and
240.208-1).
process are disposed of in an environmentally acceptable manner.
(NOTE: Where land disposal is employed, practices must be in conformance with
the U.S. EPA's Guidelines for the Land Disposal of Solid Wastes.)
SO. 140.7. Owners and
operators of thermal
processing facilities should
follow recommended design
procedures (MP).
(NOTE: These recommended procedures are based on the texts of 40 CFR
240.200-2, 240.201-2, 240.202-2, 240.203-2, 240.204-2, 240.205-2, 240.206-2,
240.208-2, 240.209-2, 240.211-2.)
Verify that, if the facility is designed to handle special wastes, special areas are
provided where appropriate for storage while they await processing.
(NOTE: In addition to the residential and commercial wastes normally processed
at municipal-scale incinerators, certain special wastes might be considered for
processing. These include: Certain bulky wastes (e.g., combustible demolition and
construction debris, tree stumps, large timbers, furniture, and major appliances),
digested and dewatered sludges from waste water treatment facilities, raw sewage
sludges, and septic tank pumpings.)
Verify that provisions for storing, handling, and removing hazardous or excluded
wastes inadvertently left at the facility are considered in design.
(NOTE: Examples of wastes which should be considered for exclusion from the
facility include: Hazardous wastes, very large carcasses, automobile bodies,
dewatered sludges from water treatment plants, and industrial process wastes.)
Verify that, whenever possible, thermal processing facilities are located in areas
zoned for industrial use and having adequate utilities to serve the facility.
Verify that the site is accessible by permanent roads leading from the public road
system.
Verify that environmental factors, climatological conditions, and socioeconomic
factors should be given full consideration as site selection criteria.
Verify that the types, amounts (by weight and volume), and characteristics of all
solid wastes expected to be processed are determined by survey and analysis.
Verify that the gross calorific value of the solid wastes to be processed is
determined to serve as a basis for design.
Verify that resource recovery in the form of heat utilization or direct recovery of
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities Regulated under Subtitle D of
RCRA
COMPLIANCE CATEGORY
NON-HAZARDOUS SOLID WASTE MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE:
REVIEWER CHECKS
materials is considered in the design.
Verify that the facility is designed to be compatible with the surrounding area,
easy to maintain, and consistent with the land use of the area.
Verify that employee convenience facilities and plant maintenance facilities are
provided and adequate lighting provided throughout the facility.
Verify that the corrosive and erosive action of once-through and recirculated
process waters is controlled either by treating them or by using materials capable
oj "withstanding the adverse effects of the waters.
Verify that facility design capacity considers such items as waste quantity and
characteristics, variations in waste generation, equipment downtime, and
availability of alternate storage, processing, or disposal capability.
Verify that facility systems and subsystems are designed to assure standby
capability in the event of breakdown.
Verify that provision for standby water and power is also considered.
Verify that instrumentation is provided to determine such factors as:
-the weight of incoming and outgoing materials (the same scale system may
be used for both)
- total combustion airflow rates
- underfire and overfire airflows and the quantitative distribution of each
- selected temperatures and pressures in the furnace, along gas passages, in
the particulate collection device, and in the stack
-electrical power and water consumption of critical units
- rate of operation.
Verify that the smoke density, the concentration of carbon monoxide, or the
concentration of hydrocarbons in the stack gases is monitored and measurement
of the pH is considered for effluent waters.
Verify that continuously recording instrumentation is used as much as possible.
Verify that audible signals are provided to alert operating personnel of critical
operating unit malfunctions.
Verify that sampling capability is designed into the facility so that each process
stream can be sampled, and the utilities required to do so are close at hand.
Verify that the sampling sites are so designed that personnel can sample safely
without interfering with normal plant operations.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities Regulated under Subtitle D of
RCRA
COMPLIANCE CATEGORY
NON-HAZARDOUS SOLID WASTE MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE:
SO. 140.8. Owners and
operators of thermal
processing facilities should
follow recommended
operational procedures (MP).
REVIEWER CHECKS
Verify that a laboratory is included in the design, or provision is made for
laboratory analyses to be performed by an outside source acceptable to the
responsible regulatory agency.
Verify that effluent waters are not discharged indiscriminately and consideration
is given to onsite treatment of process and waste waters before discharge.
Verify that recirculation of process waters is considered.
Verify that air emissions requirements are met by using appropriate air pollution
control technology.
Verify that all emissions, including dust from vents, are controlled.
Verify that thermal processing facilities are designed for ease of cleaning and
areas favorable for breeding of vectors are avoided.
Verify that the facility should be designed so that it is physically attractive and the
tipping, residue discharge, and waste salvage areas are screened from public
view, and the grounds landscaped.
Verify that thermal processing facilities are designed so as to allow for removal
from the site of residue or other solids in a manner that protects the environment.
Verify that attention is given to the safety of operators and vehicles through the
provision of safety devices.
Verify that fire control equipment is provided.
Verify that methods and/or equipment for removal of an injured person from the
storage pit are available.
Verify that continuously recording instrumentation is used as much as possible.
(NOTE: These recommended procedures are based on the texts of 40 CFR,
240.200-3, 240-201-3, 240.204-3, 240.205-3, 240.206-3, 240.208-3, 240.209-3,
240.210-3, 240.211-3.)
Verify that storage areas for special wastes are clearly marked.
Verify that facility personnel are thoroughly trained in any unusual handling
required by acceptance of special wastes.
Verify that regular users of the facility are given a list of excluded materials and
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities Regulated under Subtitle D of
RCRA
COMPLIANCE CATEGORY
NON-HAZARDOUS SOLID WASTE MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE:
REVIEWER CHECKS
the list is also displayed prominently at the facility entrance.
Verify that, if a regular user persists in making unacceptable deliveries, he is
barred from the installation and reported to the responsible regulatory agency.
Verify that the operating plan specifies the procedures and precautions to be
taken if unacceptable wastes are delivered to the facility or are improperly left
there.
(NOTE: Operating personnel should be thoroughly trained in such procedures.)
Verify that, when monitoring instrumentation indicates excessive discharge
contamination, appropriate adjustments is made to lower the concentrations to
acceptable levels.
Verify that, in the event of an accidental spill, the local regulatory agency is
notified immediately.
Verify that, when monitoring instrumentation indicates excessive emissions,
appropriate adjustments are made to lower the emission to acceptable levels.
Verify that a housekeeping schedule is established and maintained.
Verify that, as a minimum, the housekeeping schedule provides for cleaning the
tipping and residue areas as spillages occur, emptying the solid waste storage
area at least weekly, and routinely cleaning the remainder of the facility.
Verify that solid waste and residue are not allowed to accumulate at the facility
for more than one week.
Verify that a routine housekeeping and litter removal schedule is established and
implemented so that the facility regularly presents a neat and clean appearance.
Verify that solid wastes that cannot be processed by the facility are removed from
the facility at least weekly.
(NOTE: Open burning or open dumping of this material should be prohibited.)
Verify that the furnace operator visually observes the quality of the bottom ash at
least twice per shift and record in the operating log the estimated percentage of
unburned combustibles.
Verify that, if residue or fly ash is collected in a wet condition, it is drained of free
moisture.
Verify that transportation of residue and fly ash is by means that prevent the loads
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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COMPLIANCE CATEGORY
NON-HAZARDOUS SOLID WASTE MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE:
REVIEWER CHECKS
from shifting, falling, leaking, or blowing from the container.
Verify that detailed procedures are developed for operation during such
emergency situations as power failure, air or water supply failure, equipment
breakdowns, and fire and that these procedures are posted in prominent
locations, implemented by the staff as required, and upgraded and revised
periodically.
Verify that approved respirators or self-contained breathing apparatus are
available at convenient locations and their use is reviewed periodically with
facility personnel.
(NOTE: Information on respirators or self-contained breathing apparatus can be
obtained from the Appalachian Laboratory for Occupational Respiratory
Disease, National Institute for Occupational Safety and Health, Morgantown, W.
Va.)
Verify that training in first aid practices and emergency procedures is given to all
personnel.
Verify that personal safety devices such as hard hats, gloves, safety glasses, and
footwear are provided for facility employees.
Verify that, if a regular user or employee persistently poses a safety hazard, he is
barred from the facility and reported to the responsible agency.
Verify that the facility supervisor is experienced in the operation of the type of
facility designed or, in the case of an innovated design, be adequately trained by
responsible personnel in the operation of the facility.
Verify that alternate and standby disposal and operating procedures are
established for implementation during emergencies, air pollution episodes, and
shutdown periods.
Verify that, upon completion of facility construction, provision is made for
instruction of the staff in proper operation and maintenance procedures.
Verify that a routine maintenance schedule is established and followed.
Verify that as-built engineering drawings of the facility are provided at the
conclusion of construction of the facility.
(NOTE: As-built engineering drawings should be updated to show modifications
by the owner as changes are made. These drawing should be readily available
and, a schematic showing the relationships of the various subsystems should also
be available.)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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COMPLIANCE CATEGORY
NON-HAZARDOUS SOLID WASTE MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE:
REVIEWER CHECKS
Verify that key operational procedures are prominently posted.
Verify that equipment manuals, catalogs, spare parts lists, and spare parts are
readily available at the facility.
Verify that training opportunities for facility operating personnel are provided.
Verify that extensive monitoring and recordkeeping is practiced during the first
12 to 18 mo of operation of a new or renovated facility, during periods of high air
pollution, and during periods of upset conditions at the facility.
(NOTE: During other periods of more normal operation of the facility, less
extensive monitoring and record keeping may be practiced if approved by the
responsible agency.)
Verify that operating records are kept in a daily log and include as a minimum:
- the total weight and volume (truck capacities may be used for volume
determination) of solid waste received during each shift, including the
number of loads received, the ownership or specific identity of delivery
vehicles, the source and nature of the solid wastes accepted
-furnace and combustion chamber temperatures recorded at least every 60
min and as changes are made, including explanations for prolonged,
abnormally high and low temperatures
- rate of operation, such as grate speed
- overfire and underfire air volumes and pressure and distribution recorded at
least every 60 min and as changes are made
-weights of bottom ash, grate siftings, and fly ash, individually or combined,
recorded at intervals appropriate to normal facility operation
- estimated percentages ofunburned material in the bottom ash
-water used on each shift for bottom ash quenching and scrubber operation
(NOTE: Representative samples of process waters should be collected and
analyzed as recommended by the responsible regulatory agency.)
-power produced and utilized each shift (NOTE: If steam is produced,
quality, production totals and consumption rates should be recorded.)
- auxiliary fuel used each shift
-gross calorific value of daily representative samples of bottom ash, grate
siftings, and fly ash. (Sampling time should be varied so that all shifts are
monitored on a weekly basis.)
- emission measurements and laboratory analyses required by the responsible
regulatory agency
- complete records of monitoring instruments
-problems encountered and methods of solution.
Verify that an annual report is prepared which includes at least the following
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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COMPLIANCE CATEGORY
NON-HAZARDOUS SOLID WASTE MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE:
REVIEWER CHECKS
information:
- minimum, average, and maximum daily volume and weight of waste received
and processed, summarized on a monthly basis
- a summary of the laboratory analyses including at least monthly averages
-number and qualifications of personnel in each job category; total
manhours per week; number of state certified or licensed personnel; staffing
deficiencies; and serious injuries, their cause and preventive measures
instituted
- an identification and brief discussion of major operational problems and
solutions
-adequacy of operation and performance with regard to environmental
requirements, the general level of housekeeping and maintenance, testing
and reporting proficiency, and recommendations for corrective actions
- a copy of all significant correspondence, reports, inspection reports, and
any other communications from enforcement agencies.
Verify that methodology for evaluating the facility's performance is developed
and evaluation procedures recommended by the U.S. EPA are used whenever
possible.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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RCRA
COMPLIANCE CATEGORY:
NON-HAZARDOUS SOLID WASTE MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE:
REVIEWER CHECKS:
SO.150
DISPOSAL OF REFUSE
FROM OUTSIDE THE
UNITED STATES
SO.150.1. Garbage from
outside the United States
which is on or unloaded from
vessels or aircraft arriving in
the United States and certain
territories and possessions is
subject to inspection and
disposal requirements to
prevent dissemination of pests
and diseases (7 CFR
330.400(d), 330.400(g)(l),
and 300.400(g)(2)).
Verify that garbage on or unloaded from vessels or aircraft arriving in the places
listed below complies with inspection and disposal requirements:
- the United States from any place outside of the United States
- the continental United States from Hawaii or any territory or possession
- any territory or possession from any other territory or possession or Hawaii
- Hawaii from any territory or possession.
Verify that in arriving vessels and aircraft:
- the garbage is contained in tight leakproof covered receptacles inside guard
rails on vessels
-the garbage is removed in tight, leakproof covered containers under
direction of U.S. Department of Agriculture (USDA) inspector to an
approved facility for incineration, sterilization, or grinding into an approved
sewage system, or
- the garbage is removed for other handling and under supervision approved
by the USD A.
Verify that the approval has been received from administrator, Animal and Plant
Health Inspection Service, USDA for use of sewage system for disposal.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Facilities Regulated under Subtitle D of RCRA
Appendix A:
Open Dumping (40 CFR 257.1 through 257.3-8)
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RCRA
Open Dumping
(40 CFR 257.1 through 257.3-8)
Unless the following are met, a land disposal site is considered an open dump that is prohibited under section 4005
of RCRA:
1. Facilities or practices in floodplains shall not restrict the flow of the base flood, reduce the temporary
water storage capacity of the floodplain, or result in washout of solid waste, so as to pose a hazard to
human life, wildlife, or land or water resources.
2. Facilities or practices do not cause or contribute to the taking of any endangered or threatened species of
plants, fish, or wildlife. Nor does it result in the destruction of or adverse modification of the critical
habitat.
3. The facility does not cause a discharge of pollutants into the waters of the United States that is in
violation of the requirements of the National Pollutant Discharge Elimination System (NPDES). It also
does not cause a discharge of dredged materials or fill materials or cause nonpoint source pollution of
waters of the United States that violated applicable legal requirements.
4. The facility or practice does not contaminate an underground drinking water source beyond the solid
waste boundary or beyond a specified alternative boundary established by the state.
5. When solid waste is applied within 1 m (3 ft) of the surface of land used for the production of food chain
crops the following are done:
a. the pH of the solid waste and soil mixture is 6.5 or greater at the time of each solid waste
application, except for solid waste containing cadmium at concentrations of 2 mg/kg (dry
weight) or less
b. the annual application of cadmium from solid waste does not exceed 0.5 kg/ha
c. the cumulative application of cadmium from solid wastes does not exceed:
Soil Cation Exchange
Capacity
(meq/lOOg)
Less than 5
5 to 15
More than 15
Maximum CumulatiYe Application (kg/ha)
Background Soil pH less
than 6.5
5
5
5
Background Soil pH more
than 6.5
5
10
20
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
Al
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RCRA
when the background pH is less than 6.5, the cumulative application does not exceed the levels
below provided the pH of the solid waste and soil mixture is adjusted to and maintained at 6.5
or greater whenever food-chain crops are grown:
Soil Cation Exchange Capacity
(meq/lOOg)
Less than 5
5 to 15
More than 15
Maximum
CumulatiYe
Application
(kg/ha)
5
10
20
6. When solid waste is applied within 1 m (3 ft) of the surface of land only the production of animal feed is
allowed, providing the following are done:
a. the pH of the solid waste and soil mixture is 6.5 or greater at the time of each solid waste
application, or at the time the crop is planted, whichever occurs later, and the pH level is
maintained whenever food chain crops are grown
b. there is a facility operating plan that demonstrates how the animal feed will be distributed to
preclude ingestion by humans
c. future property owners are notified that the property has received solid waste at high cadmium
application rates and of the restrictions regarding the use of the property.
7. Solid waste containing concentrations of PCBs equal to or greater than 10 mg/kg (dry weight) is
incorporated into the soil when applied to land used for producing animal feed, including pasture crops.
Incorporation is not required if it is assured that the PCB content is less than 0.2 mg/kg (actual weight) in
animal feed or less than 1.5 mg/kg (fat basis) in milk.
8. The onsite population of disease vectors is minimized through the periodic application of cover material
or other techniques as appropriate so as to protect public health.
9. Sewage sludge that is applied or incorporated into the soil is treated by a process to significantly reduce
pathogens prior to application or incorporation. Public access is controlled for at least 12 mo and grazing
by animals whose products are consumed by humans is prevented for at least 1 mo.
10. Septic tank pumpings that are applied or incorporated into the soil is treated by a process to significantly
reduce pathogens prior to application or incorporation unless public access is controlled for at least 12
mo and grazing by animals whose products are consumed by humans is prevented for at least 1 mo.
11. There is no open burning of residential, commercial, institutional, or industrial solid waste. (This does
not apply to the infrequent burning of agricultural wastes in the field, silvicultural wastes for forest
management purposes, landclearing debris, diseased trees, debris from emergency cleanup operations,
and ordnance.)
12. The concentrations of explosive gases does not exceed:
a. 25 percent of the LEL for the gases in the facility structures (excluding gas control or recovery
system components)
b. the LEL for the gases at the property boundary.
13. The site is not a fire hazard.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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14. There is not uncontrolled public access.
15. Facilities or practices where putrescible wastes that may attract birds and which occurs with-
in 10,000 ft (3,9048 m) of any airport runway used by turbo jet aircraft or within 5,000 feet (1524
meters) of any airport runway used only by piston-type aircraft does not pose a bird hazard to aircraft.
(NOTE: These requirements do not apply to the following:
1. agricultural wastes, including manure and crop residues, returned to the soil as fertilizers or
soil conditioners
2. overburden resulting from mining operations intended for return to the mining site.
3. land application of domestic sewage or treated domestic sewage
4. location and operation of septic tanks
5. solid or dissolved materials in irrigation return flows
6. industrial discharges which are point sources subject to NPDES
7. source, special nuclear or by-product material as defined by the Atomic Energy Act
8. hazardous waste disposal facilities which are subject to regulation
9. disposal of solid waste by underground well injection
10. municipal solid waste landfill units
11. use or disposal of sewage sludge on the land when it is used or disposed of in accordance
with 40 CFR 503.)
This document is intended solely for guidance. No statutory or regulatory A3
requirements are in any way altered by any statement(s) contained herein.
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This document is intended solely for guidance. No statutory or regulatory A4
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of
Facilities Regulated under Subtitle D of RCRA
Appendix B:
Compliance Dates for Municipal Solid Waste Landfills and 40 CFR
258 (40 CFR 258.1(e))
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RCRA
Compliance Dates for Municipal Solid Waste Landfills and 40 CFR 258
(40 CFR 258. l(e))
In general compliance with 40 CFR 258 is required by October 9, 1993. The following is a list of MSWLFs
which have had their compliance deadline with 40 CFR 258 extended.
1. April 9, 1994 for existing MSWLF units or a lateral expansion of an existing MSWLF that meets the following
conditions:
a. the MSWLF unit disposed of 100 tons per day or less of solid waste during a representative period prior
to October 9, 1993
b. the unit does not dispose of more than an average of 100 tons per day of solid waste each month between
October 9, 1993 and April 9, 1994
c. the MSWLF is located in a state that has submitted an application for permit program approved by the
U.S. EPA by October 9, 1993, is located in the state of Iowa, or is located on Indian Lands or Indian
Country
d. the MSWLF is not on the National Priorities List (NPL) as found in appendix B of 40 CFR 300.
2. The compliance date has been extended for existing MSWLF unit or lateral expansion if an existing MSWLF
units receiving flood-related waste from the federally-designated areas within the major disasters declared for the
states of Iowa, Illinois, Minnesota, Wisconsin, Missouri, Nebraska, Kansas, North Dakota, and South Dakota by
the President during the summer of 1993:
a. Until April 9, 1994 if the state in which the MSWLF is located has determined that the MSWLF unit is
needed to receive flood-related wastes from a federally designated disaster area.
b. Until October 9, 1994 if the MSWLF has an extension and the state in which the MSWLF is located has
determined that the MSWLF unit is needed to receive flood-related wastes from a federally designated
disaster area.
3. October 9, 1995 for new MSWLF units, existing MSWLF units, and lateral expansions that dispose of less than
20 tons of municipal solid waste daily, based on an annual average.
This document is intended solely for guidance. No statutory or regulatory B1
requirements are in any way altered by any statement(s) contained herein.
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This document is intended solely for guidance. No statutory or regulatory B2
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of
Facilities Regulated under Subtitle D of RCRA
Appendix C:
Municipal Solid Waste Landfill Units Exempt From Compliance
With 40 CFR 258 (40 CFR 258.1(c) and 258.1(d))
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RCRA
Municipal Solid Waste Landfill Units Exempt From Compliance With 40 CFR 258
(40 CFR 258.1(c) and 258.1(d))
1. MSWLFs that did not receive waste after October 9, 1991.
2. Existing MSWLF units or a lateral expansion of an existing MSWLF that received waste after October 9, 1991
but stopped receiving waste before April 9, 1994 that meet the following conditions:
a. the MSWLF unit disposed of 100 tons per day or less of solid waste during a representative period prior
to October 9, 1993
b. the unit does not dispose of more than an average of 100 tons per day of solid waste each month between
October 9, 1993 and April 9, 1994
c. the MSWLF is in a state that has submitted an application for permit program approved by the U.S. EPA
by October 9, 1993, is in the state of Iowa, or is on Indian Lands or Indian Country
d. the MSWLF is not on the National Priorities List (NPL).
(NOTE: If these units have not installed a final cover according to the standards in 40 CFR 258.60(a) by October
9, 1994, the unit is required to meet all the requirements found in 40 CFR 258.)
3. Existing MSWLF units or lateral expansions if an existing MSWLF unit is receiving flood-related waste from the
federally-designated areas within the major disasters declared for the states of Iowa, Illinois, Minnesota,
Wisconsin, Missouri, Nebraska, Kansas, North Dakota, and South Dakota by the President during the summer of
1993 and receive waste after October 9, 1991 but stops receiving waste before the date designated by the state.
(NOTE: If these units have not installed a final cover according to the standards in 40 CFR 258.60(a) within 1 yr
of the date designated by the state, the unit is required to meet all the requirements in 40 CFR 258.)
4. New MSWLF units, existing MSWLF units and lateral expansions that dispose of less than 20 tons of municipal
solid waste daily, based on an annual average that receive waste after October 9, 1991 but stopped receiving
waste before October 9, 1997.
(NOTE: If these units have not installed a final cover according to the standards in 40 CFR 258.60(a) by October
9, 1998, the unit is required to meet all the requirements of 40 CFR 258.)
5. MSWLF units that receive waste after October 9, 1991 but stop receiving wastes before October 9, 1993.
(NOTE: If these units have not installed a final cover according to the standards in 40 CFR 258.60(a) by October
9, 1994, the unit is required to meet all the requirements of 40 CFR 258.)
This document is intended solely for guidance. No statutory or regulatory Cl
requirements are in any way altered by any statement(s) contained herein.
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This document is intended solely for guidance. No statutory or regulatory C2
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of
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Appendix D:
Design Criteria Concentration Values (40 CFR 258.40)
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Protocol for Conducting Environmental Compliance Audits of Facilities Regulated under Subtitle D of
RCRA
Design Criteria Concentration Values
(40 CFR 258.40)
Chemical MCL (mg/L)
Arsenic
0.05
Barium
1.0
Benzene
0.005
Cadmium
0.01
Carbon tetrachloride
0.005
Chromium (hexavalent)
0.05
2,4-Dichlorophenoxy acetic acid
0.1
1,4-Dichlorobenzene
0.075
1,2-Dichloroethand
0.005
1,1 -Dichloroethylene
0.007
Endrin
0.0002
Fluoride
4.0
Lindane
0.004
Lead
0.05
Mercury
0.002
Methoxychlor
0.1
Nitrate
10.0
Selenium
0.01
Silver
0.05
Toxaphene
0.005
1,1,1 -Trichloromethane
0.2
Trichloroethylene
0.005
2,4,5-Trichlorophenoxy acetic acid
0.01
Vinyl Chloride
0.002
This document is intended solely for guidance. No statutory or regulatory Dl
requirements are in any way altered by any statement(s) contained herein.
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This document is intended solely for guidance. No statutory or regulatory D2
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of
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Appendix E:
Constituents for Detection Monitoring (40 CFR 258, Appendix I)
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RCRA
Constituents for Detection Monitoring1
(40 CFR 258, Appendix I)
Common name
CASRN3
Inorganic Constituents
(1) Antimony
(2) Arsenic
(3) Barium
(4) Beryllium
(5) Cadmium
(6) Chromium
(7) Cobalt
(8) Copper
(9) Lead
(10) Nickel
(11) Selenium
(12) Silver
(13) Thallium
(14) Vanadium
(15) Zinc
Organic Constituents
(16) Acetone
(17) Acrylonitrile
(18) Benzene
(19) Bromochloromethane
(20) Bromodichloromethane
(21) Bromoform; Tribromomethane
(22) Carbon disulfide
(23) Carbon tetrachloride
(24) Chlorobenzene
(25) Chloroethane; Ethyl chloride
(26) Chloroform; Trichloromethane
(27) Dibromochloromethane; Chlorodibromomethane
(28) l,2-Dibromo-3-chlorpropane; DBCP
(29) 1,2-Dibromoethane; Ethylene dibromide;
EDB
(30) o-Dichlorobenzene; 1,2-Dichlorobenzene
(31) p-Dichlorobenzene; 1,4-Dichlorobenzene
(32) trans- l,4-Dichloro-2-butene
(33) 1,1-Dichloroethane; Ethylidene chloride
(34) 1,2-Dichloroethane; Ethlyene dichloride
(35) 1,1-Dichloroethylene; 1-1-Dichloroethene; Vinylidene chloride
(36) cis-l,2-Dichloroethylene; cis-l,2-Dichloroethene
(37) trans-l,2-Dichloroethylene; trans- 1,2-Dichloroethene
(38) 1,2-Dichlorpropane; Propylene dichloride
(39) cis-l,3-Dichlorpropene
(40) trans-l,3-Dichlorpropene
(41) Ethylbenzene
(42) 2-hexanone; Methyl butyl ketone
(43) Methyl bromide; Bromomethane
(44) Methyl chloride; Chloromethane
(45) Methylene bromide Dibromomethane
(Total)
(Total)
(Total)
(Total)
(Total)
(Total)
(Total)
(Total)
(Total)
(Total)
(Total)
(Total)
(Total)
(Total)
(Total)
67-64-1
107-13-1
71-43-2
74-97-5
75-27-4
75-25-2
75-15-0
56-23-5
108-90-7
75-00-3
67-66-3
124-48-1
96-12-8
106-93-4
95-50-1
106-46-7
110-57-6
75-34-3
107-06-2
75-35-4
156-59-2
156-60-5
78-87-5
10061-01-5
10061-02-6
100-41-4
591-78-6
74-83-9
74-87-3
74-95-3
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
El
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Protocol for Conducting Environmental Compliance Audits of Facilities Regulated under Subtitle D of
RCRA
Common name2 CAS RN3
(46) Methylene chloride; Dichloromethane 75-09-2
(47) Methyl ethyl ketone; MEK; 2-Butanone 78-93-3
(48) Methyl iodide; lodomethane 74-88-4
(49) 4-Methyl-2-pentanone; Methyl isobutyl isobutyl ketone 108-10-1
(50) Styrene 100-42-5
(51) 1,1,1,2-Tetrachloroethane 630-20-6
(52) 1,1,2,2-Tetrachloroethane 79-34-5
(53) Tetrachloroethylene; Tetracholorethene; Perchloroethylene 127-18-4
(54) Toluene 108-88-3
(55) l,l,l-Trochlorethane;Methylchloroform 71-55-6
(56) 1,1,2-Trichloroethane 79-00-5
(57) Trichloroethylene; Trichlorethene 79-01-6
(58) Trichlorofluoromethane; CFC-11 75-69-4
(59) 1,2,3-Trichloropropane 96-18-4
(60) Vinyl acetate 108-05-4
(61) Vinyl chloride 75-01-4
(62) Xylenes 1330-20-7
lrThis list contains 47 volatile organics for which possible analytical procedures provided in U.S. EPA Report SW-
846, Test Methods for Evaluating Solid Waste, third edition, November 1986, as revised December 1987, includes
Method 8260; and 15 metals for which SW-846 provides either Method 6010 or a method from the 7000 series of
methods.
2Common names are those widely used in government regulations, scientific publications, and commerce;
synonyms exist for many chemicals.
3Chemical Abstracts Service registry number. Where "Total" is entered, all species in the groundwater that contain
this element are included.
This document is intended solely for guidance. No statutory or regulatory E2
requirements are in any way altered by any statement(s) contained herein.
-------
Protocol for Conducting Environmental Compliance Audits of
Facilities Regulated under Subtitle D of RCRA
Appendix F:
List of Hazardous Inorganic and Organic Constituents
(40 CFR 258, Appendix II)
-------
This Page Intentionally Left Blank
-------
Protocol for Conducting Environmental Compliance Audits of Facilities Regulated under Subtitle D of
RCRA
List of Hazardous Inorganic and Organic Constituents1
(40 CFR 258, Appendix II)
Common Name2
Acenaphthene
Acenaphthylene
Acetone
Acetonitrile; Methyl cyanide
Acetophenone
2-Acetylaminofluorene; 2-AAF
Acrolein
Acrylonitrile
Aldrin
Allyl chloride
4-Aminobiphenyl
Anthracene
Antimony
Arsenic
Barium
CASRN3
83-32-9
208-96-8
67-64-1
75-05-8
98-86-2
53-96-3
107-02-8
107-13-1
309-00-2
107-05-1
92-67-1
120-12-7
(Total)
(Total)
(Total)
Suggested
methods4
8100
8270
8100
8270
8260
8015
8270
8270
8030
8260
8030
8260
8080
8270
8010
8260
8270
8100
8270
6010
7040
7041
7060
7061
6010
PQMw/L)5
200
10
200
10
100
100
10
20
5
100
5
200
0.05
10
5
10
20
200
10
300
2000
30
10
20
20
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
Fl
-------
Protocol for Conducting Environmental Compliance Audits of Facilities Regulated under Subtitle D of
RCRA
Common Name3
Benzene
Benzo[a]anthracene; Benzanthracene
Benzo [b]fluoranthene
Benzo [kjfluoranthene
Benzo [ghijperylene
Benzo [a]pyrene
Benyl alcohol
Beryllium
alpha-BHC
beta-BHC
delta-BHC
gamma-BHC; Lindane
CAS RN3 Suggested
methods4
7080
71-43-2 8020
8021
8260
56-55-3 8100
8270
205-99-2 8100
8270
207-08-9 8100
8270
191-24-2 8100
8270
50-32-8 8100
8270
100-51-5 8270
(Total) 6010
7090
7091
319-84-6 8080
8270
319-85-7 8080
8270
319-86-8 8080
8270
58-89-9 8080
8270
PQL (|Lig/L)s
1000
2
0.1
5
200
10
200
10
200
10
200
10
200
10
20
o
J
50
2
0.05
10
0.05
20
0.1
20
0.05
20
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
F2
-------
Protocol for Conducting Environmental Compliance Audits of Facilities Regulated under Subtitle D of
RCRA
Common Name3
Bis(2-chloroethoxy)methane
Bis(2-chloroethyl)ether; Dichloroethyl ether
Bis-(2-chlor-l -methyl) ether; 2, 2-Dichloro-
diisopropyl ether; DCIP, See note 6
Bis(2-ethylhexyl) phthalate
Bromochloromethane; Chlorobromomethane
Bromodichloromethane; Dibromochloromethane
Bromoform; Tribromomethane
4-Bromophenyl phenyl ether
Butyl benzyl phthalate; Benzyl butyl phthalate
Cadmium
Carbon disulfide
Carbon tetrachloride
CAS RN3 Suggested
methods4
111-91-1 8110
8270
111-44-4 8110
8270
108-60-1 8110
8270
117-81-7 8060
74-97-5 8021
8260
75-27-4 8010
8021
8260
75-25-2 8010
8021
8260
101-55-3 8110
8270
85-68-7 8060
8270
(Total) 6010
7130
7131
75-15-0 8260
56-23-5 8010
8021
8260
PQL (|Lig/L)s
5
10
3
10
10
10
20
0.1
5
1
0.2
5
2
15
5
25
10
5
10
40
50
1
100
1
0.1
10
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
F3
-------
Protocol for Conducting Environmental Compliance Audits of Facilities Regulated under Subtitle D of
RCRA
Common Name3
Chlordane
p-Chloroaniline
Chlorobenzene
Chlorobenzilate
p-Chloro-m-cresol; 4-Chloro-3-methylphenol
Chloroethane; Ethyl chloride
Chloroform; Trichloromethane
2-Chloronaphthalene
2-Chlorophenol
4-Chlorophenyl phenyl ether
Chloroprene
Chromium
CAS RN3 Suggested
methods4
See NOTE 7 8080
8270
106-47-8 8270
108-90-7 8010
8020
8021
8260
510-15-6 8270
59-50-7 8040
8270
75-00-3 8010
8021
8260
67-66-3 8010
8021
8260
91-58-7 8120
8270
95-57-8 8040
8720
7005-72-3 8110
8270
126-99-8 8010
8260
(Total) 6010
7190
PQL (|Lig/L)s
0.1
50
20
2
2
0.1
5
10
5
20
5
1
10
0.5
0.2
5
10
10
5
10
40
10
50
20
70
500
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
F4
-------
Protocol for Conducting Environmental Compliance Audits of Facilities Regulated under Subtitle D of
RCRA
Common Name3
Chrysene
Cobalt
Copper
m-Cresol; 3-methylphenol
o-Cresol; 2-methlphenol
p-Cresol; 4-methylphenol
Cyanide
2,4-D; 2,4-Dichlorophenoxyacetic acid
4,4-DDD
4,4-DDE
4,4-DDT
Diallate
aDibenz[a,h]anthracene
Dibenzofuran
Dibromochloromethane ; Chlorodibromomethane
CAS RN3 Suggested
methods4
7191
218-01-9 8100
8270
218-01-9 8100
6010
7200
7201
(Total) 6010
7210
7211
108-39-4 8270
95-48-7 8270
106-44-5 8270
57-12-5 9010
94-75-7 8150
72-54-8 8080
8270
72-55-9 8080
8270
50-29-3 8080
8270
2303-16-4 8270
53-70-3 8100
8270
132-64-9 8270
124-48-1 8010
PQL (|Lig/L)s
10
200
10
200
70
500
10
60
200
10
10
10
10
200
10
0.1
10
0.05
10
0.1
10
10
200
10
10
1
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
F5
-------
Protocol for Conducting Environmental Compliance Audits of Facilities Regulated under Subtitle D of
RCRA
Common Name3 CAS RN3 Suggested
methods4
8021
8260
l,2-Dibromo-30chloropropane;DBCP 96-12-8 8011
8021
8260
1,2-Dibromoethane; Ethylene dibromide; EDB 106-93-4 8011
8021
8260
Di-n-butyl phthalate 84-74-2 8060
8270
o-Dichlorobenzene; 1,2-Dichlorobenzene 95-50-1 8010
8020
8021
8120
8260
8270
m-Dichlorobenzene; 1,3-Dichlorobenzene 541-73-1 8010
8020
8021
8120
8120
8260
p-Dichlorobenzene; 1,4-Dichlorobenzene 106-46-7 8010
8020
8021
8120
PQL (|Lig/L)s
0.3
5
0.1
30
25
0.1
10
5
5
10
2
5
0.5
10
5
10
5
5
0.2
10
10
5
2
5
0.1
15
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
F6
-------
Protocol for Conducting Environmental Compliance Audits of Facilities Regulated under Subtitle D of
RCRA
Common Name3 CAS RN3
3,3-Dichlorobenzidine 91-94-1
trans- l,4-Dichloro-2-butene 1 10-57-6
Dichlorodifluoromethane; CFC 12; 75-71-8
1,1-Dichloroethane chloride 75-34-3
1,2-Dichloroethane; Ethylene dichloride 107-06-2
1 , 1 -Dichloroethy lene; 1 , 1 -Dichloroethane ;
Vinylidene
chloride 75-35-4
cis-l,2-Dichloroethylene; cis-l,2-Dichloroethene 156-59-2
trans- 1,2-Dichloroethy lene trans- 1,2-Dichloroethene 156-60-5
2,4-Dichlorophenol 120-83-2
2,6-Dichlorophenol 87-65-0
1,2-Dichloropropane; Propylene dichloride 78-87-5
Suggested
methods4
8260
8270
8270
8260
8021
8260
8010
8021
8260
8010
8021
8260
8010
8021
8260
8021
8260
8010
8021
8260
8040
8270
8270
8010
8021
PQL (|Lig/L)s
5
10
20
100
0.5
5
1
0.5
5
0.5
0.3
5
1
0.5
5
0.2
5
1
0.5
5
5
10
10
0.5
0.05
This document is intended solely for guidance. No statutory or regulatory F7
requirements are in any way altered by any statement(s) contained herein.
-------
Protocol for Conducting Environmental Compliance Audits of Facilities Regulated under Subtitle D of
RCRA
Common Name3
1,3-Dichloropropane; Trimethylene dichloride
2,2-Dichloropropane; Isopropylidene chloride
1 , 1 -Dichloropropene
cis- 1 , 3 -Dichloropropene
trans- 1 , 3 -Dichloropropene
Dieldrin
Diethyl phthalate
0,0-Diethyl 0-2-pyrazinyl phosphorothioate;
Thionazin
Dimethoate
p-(Dimethylamino)azobenzene
7, 12-Dimethylbenxz[a]anthracene
3 ,3 -Dimethylbenzidine
2,4-Dimethlphenol; m-Xylenol
Dimethyl phthalate
m-Dinitrobenzene
CAS RN3 Suggested
methods4
8260
142-28-9 8021
8260
594-20-7 8021
8260
563-58-6 8021
8260
10061-01-5 8010
8260
10061-02-6 8010
8260
60-57-1 8080
8270
84-66-2 8060
8270
297-97-2 8141
8270
60-51-5 8141
8270
60-11-7 8270
57-97-6 8270
119-93-7 8270
105-67-9 8040
131-11-3 8060
8270
99-65-0 8270
PQL (|Lig/L)s
5
0.3
5
0.5
15
0.2
5
20
10
5
10
0.05
10
5
10
5
20
o
J
20
10
10
10
5
5
10
20
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
F8
-------
Protocol for Conducting Environmental Compliance Audits of Facilities Regulated under Subtitle D of
RCRA
Common Name3
4,6-Dinitro-o-cresol 4,6-Dinitro-2-methylphenol
2,4-Dinitrophenol
2,4-Dinitrotoluene
2,6-Dinitrotoluene
Dinoseb; DNBP; 2-sec-Butyl-4,6-dinitrophenol
Di-n-octyl phthalate
Diphenylamine
Disulfoton
Endosulfan I
Endosulfan II
Endodulfan sulfate
Endrin
Endrin aldehyde
CAS RN3 Suggested
methods4
534-52-1 8040
8270
51-28-5 8040
8270
121-14-2 8090
8270
606-20-2 8090
8270
88-85-7 8150
8270
117-84-0 8060
8270
122-39-4 8270
298-04-4 8140
8141
8270
959-98-8 8080
8270
33213-65-9 8080
8270
1031-07-8 8080
8270
72-20-8 8080
8270
7421-93-4 8080
8270
PQL (|Lig/L)s
150
50
150
50
0.2
10
0.1
10
1
20
30
10
10
2
0.5
10
0.1
20
0.05
20
0.5
10
0.1
20
0.2
10
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
F9
-------
Protocol for Conducting Environmental Compliance Audits of Facilities Regulated under Subtitle D of
RCRA
Common Name3
Ethylbenzene
Ethyl methacrylate
Ethyl methanesulfonate
Famphur
Fluoranthene
Fluorene
Heptachlor
Heptachlor epoxide
Hexachlorobenzene
Hexachlorobutadiene
Hexachlorocyclopentadiene
Hexachloroethane
CAS RN3 Suggested
methods4
100-41-4 8020
8221
8260
97-63-2 8015
8260
8270
62-50-0 8270
52-85-7 8270
206-44-0 8100
8270
86-73-7 8100
8270
76-44-8 8080
8270
1024-57-3 8080
8270
118-74-1 8120
8270
87-68-3 8120
8120
8260
8270
77-47-4 8120
8270
67-72-1 8120
8260
PQL (|Lig/L)s
2
0.05
5
5
10
10
20
20
200
10
200
10
0.05
10
1
10
0.5
10
0.5
5
10
10
5
10
0.5
10
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
F10
-------
Protocol for Conducting Environmental Compliance Audits of Facilities Regulated under Subtitle D of
RCRA
Common Name3
Hexachloropropene
2-Hexanone; Methyl butyl ketone
Indenol( 1,2,3 -cd)py rene
Isopbutyl alcohol
Isodrin
Isophorone
Isosafrole
Kepone
Lead
Mercury
Methacrylonitrile
Methapyrilene
Methoxychlor
Methyl bromide; Bromomethane
Methyl chloride; Chloro methane
CAS RN3 Suggested
methods4
8270
188-71-7 8270
591-78-6 8260
193-39-5 8100
8270
78-83-1 8015
8240
465-73-6 8270
8260
78-59-1 8090
8270
120-58-1 8270
143-50-0 8270
(Total) 6010
7420
7421
(Total) 7470
126-98-7 8015
8260
91-80-5 8270
72-43-5 8080
8270
74-83-9 8010
8021
74-87-3 8010
8021
PQL (|Lig/L)s
10
10
50
200
10
50
100
20
10
60
10
10
20
400
1000
10
2
5
100
100
2
10
20
10
20
0.3
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
Fll
-------
Protocol for Conducting Environmental Compliance Audits of Facilities Regulated under Subtitle D of
RCRA
Common Name3
3 -Methylcholanthrene
Methyl ethyl ketone; MEK; 2-Butanone
Methyl iodide; lodomethane
Methyl methacrylate
Methyl methanesulfonate
2-Methylnaphthalene
Methyl parathion; Parathion methyl
4-Methyl-2-pentanone; Methyl isobutyl ketone
Methylene bromide; Dibromomethane
Methylene chloride; Dichloromethane
Naphthalene
1 ,4-Naphthoquinone
1-Naphthylamine
CAS RN3 Suggested
methods4
56-49-5 8270
78-93-3 8015
8260
74-88-4 8010
8260
80-62-6 8015
8260
66-27-3 8270
91-57-6 8270
298-00-0 8140
8141
8270
108-10-1 8015
8260
74-95-3 8010
8021
8260
75-09-2 8010
8021
8260
91-20-3 8021
8100
8260
8270
130-15-4 8270
134-32-7 8270
PQL (|Lig/L)s
10
10
100
40
10
2
30
10
10
0.5
1
10
5
100
15
20
10
5
0.2
10
0.5
200
5
10
10
10
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
F12
-------
Protocol for Conducting Environmental Compliance Audits of Facilities Regulated under Subtitle D of
RCRA
Common Name3
2-Naphthylamine
Nickel
o-Nitroaniline; 2-Nitroaniline
m-Nitroaniline; 3-Nitroanile
p-Nitroaniline; 4-Nitroaniline
Nitrobenzene
o-Nitrophenol; 2-Nitrophenol
p-Nitrophenol; 4-Nitrophenol
N-Nitrosodi-n-butylamine
N-Nitrosodiethylamine
N-Nitrosodimethylamine
N-Nitrosodiphenylamine
N-Nitrosodipropylamine; dipropylamine;
N-Nitroso-N-Di-n-propylnitrosamine
N-Nitrosomethylethalamine
N-Nitrosopiperidine
N-Nitrosopyrrolidine
5-Nitro-o-toluidine
Parathion
Pentachlorobenzene
Pentachloronitrobenzene
CASRN3
91-59-8
(Total)
88-74-4
99-09-2
100-01-6
98-95-3
88-75-5
100-02-7
924-16-3
55-18-5
62-75-9
86-30-6
621-64-7
86-30-6
10595-95-6
100-75-4
930-55-2
99-55-8
56-38-2
608-93-5
82-68-8
Suggested
methods4
8270
6010
7520
8270
8270
8270
8090
8270
8040
8270
8040
8270
8270
8270
8070
8070
8070
8070
8270
8270
8270
8270
8141
8270
8270
8270
PQL (|Lig/L)s
10
150
400
50
50
20
40
10
5
10
10
50
10
20
2
5
10
10
10
20
40
10
0.5
10
10
20
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
F13
-------
Protocol for Conducting Environmental Compliance Audits of Facilities Regulated under Subtitle D of
RCRA
Common Name3
Pentachlorophenol
Phenacetin
Phenanthrene
Phenol
p-Phenylenediamine
Phorate
Poly chlorinated biphenyls (PCBs); Aroclors
Pronamide
Propionitrile; Ethyl cyanide
Pyrene
Safrole
Selenium
Silver
Silvex; 2,4,5-TP
Styrene
CAS RN3 Suggested
methods4
87-86-5 8040
8270
62-44-2 8270
85-01-8 8100
8270
108-95-2 8040
106-50-3 8270
298-02-2 8140
8141
8270
see NOTE 8 8080
8270
23950-58-5 8270
107-12-0 8015
8260
129-00-0 8100
8270
94-59-7 8270
(Total) 6010
7740
7741
(Total) 6010
7760
7761
93-72-1 8150
100-42-5 8020
PQL (|Lig/L)s
5
50
20
200
10
1
10
2
0.5
10
50
200
10
60
150
200
10
10
750
20
20
70
100
10
2
1
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
F14
-------
Protocol for Conducting Environmental Compliance Audits of Facilities Regulated under Subtitle D of
RCRA
Common Name3
Sulfide
2,4,5-T; 2,4,5-Trichlorophenoxyacetic acid
1,2,4,5-Tetrachlorobenzene
1,1,1 ,2-Tetrachloroethane
1 , 1 ,2,2-Tetrachloroethane
Tetrachloroethylene; Tetrachloroethene;
Perchloroethylene
2,3 ,4,6-Tetrachlorophenol
Thallium
Tin
Toluene
o-Toluidine
Toxaphene
1 ,2,4-Trichlorobenzene
CASRN3
18496-25-8
93-76-5
95-94-3
630-20-6
79-34-5
127-18-4
58-90-2
(Total)
(Total)
108-88-3
95-53-4
See NOTE 9
120-82-1
Suggested
methods4
8021
8260
9030
8150
8270
8010
8021
8260
8010
8021
8260
8010
8021
8260
8270
6010
7840
7841
6010
8020
8021
8260
8270
8080
8021
8120
PQL (|Lig/L)s
0.1
10
4000
2
10
5
0.05
5
0.5
0.1
5
0.5
0.5
5
10
400
1000
10
40
2
0.1
5
10
2
0.3
0.5
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
F15
-------
Protocol for Conducting Environmental Compliance Audits of Facilities Regulated under Subtitle D of
RCRA
Common Name3
1,1,1 -Trichloroethane ; Methy Ichloroform
1 , 1 ,2-Trichloroethane
Trichloroethylene; Trichloroethene
Trichlorrofluoromethane; CFC-11
2,4,5-Trichlorophenol
2,4,6-Trichlorophenol
1,2,3 -Trichloropropane
0,0,0-Triethyl phosphorothioate
sym-Trinitrobenzene
Vanadium
Vinyl acetate
Vinyl chloride; Chloroethene
CAS RN3 Suggested
methods4
8260
8270
71-55-6 8010
8021
8260
79-00-5 8010
8260
79-01-6 8010
8021
8260
75-69-4 8010
8021
8260
95-95-4 8270
88-06-2 8040
8270
96-18-4 8010
8021
8260
126-68-1 8270
99-35-4 8270
(Total) 6010
7910
7911
108-05-4 8260
75-01-4 8010
PQL (|Lig/L)s
10
10
0.3
0.3
5
0.2
5
1
0.2
5
10
0.3
5
10
5
10
10
5
15
10
10
80
2000
40
50
2
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
F16
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Protocol for Conducting Environmental Compliance Audits of Facilities Regulated under Subtitle D of
RCRA
Common Name3
Xylene (total)
Zinc
CAS RN3 Suggested
methods4
8021
8260
See NOTE 10 8020
8021
8260
(Total) 6010
7950
7951
PQL (|Lig/L)s
0.4
10
5
0.2
5
20
50
0.5
NOTES:
1. The regulatory requirements pertain only to the list of substances; the right hand columns (Methods and Practical
Quantitation Limits (PQL)) are given for informational purposes only. See also footnotes 4 and 5.
2. Common names are those widely used in government regulations, scientific publications, and commerce;
synonyms exist for many chemicals.
3. Chemical Abstracts Service registry number. Where "Total" is entered, all species in the ground water that
contain this element are included.
4. Suggested Methods refer to analytical procedure numbers used in U.S. EPA Report SW-846 Test Methods for
Evaluating Solid Waste, third edition, November 1986, as revised, December 1987. Analytical details can be found
in SW-846 and in documentation on file at the agency. CAUTION: The methods listed are representative SW-846
procedures and may not always be the most suitable method(s) for monitoring an analyte under the regulations.
5. PQLs are the lowest concentrations of analytes in ground waters that can be reliably determined within specified
limits of precision and accuracy by the indicated methods under routine laboratory operating conditions. The PQLs
listed are generally stated to one significant figure. PQLs are based on 5 mL samples for volatile organics and 1 L
samples for semivolatile organics. CAUTION: The PQL values in many cases are based only on a general estimate
for the method and not on a determination for individual compounds; PQLs are not a part of the regulation.
6. This substance is often called Bis(2-chloroisopropyl) ether, the name Chemical Abstracts Service (CAS) applies
to its noncommercial isomer, Propane, 2,2"-oxybis[2-chloro-(CAS RN 39638-32-9).
7. Chlordane: This entry includes alpha-chlordane (CAS RN 5103-71-9), beta-chlordane (CAS RN 5103-74-2),
gamma-chlordane (CAS RN 5566-34-7), and constituents of chlordane (CAS RN 57- 74-9 and CAS RN 12789-03-
6). PQL shown is for technical chlordane. PQLs of specific isomers are about 20 (o,g/L by method 8270.
8. Fob/chlorinated biphenyls (CAS RN 1336-36-3): This category contains congener chemicals, including
constituents of Aroclor 1016 (CAS RN 12674-11-2), Aroclor 1221 (CAS RN 11104-28- 2), Aroclor 1232 (CAS
RN11141-16-5), Aroclor 1242 (CAS RN 53469-21-9), Aroclor 1248 (CAS RN 12672-29-6), Aroclor 1254 (CAS
RN 11097-69-1), and Aroclor 1260 (CAS RN 11096-82-5). The PQL shown is an average value for PCB
congeners.
This document is intended solely for guidance. No statutory or regulatory F17
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Facilities Regulated under Subtitle D of
RCRA
9. Toxaphene: This entry includes congener chemicals contained in technical toxaphene (CAS RN 8001-35-2), i.e.,
chlorinated camphene.
10. Xylene (total): This entry includes o-xylene (CAS RN 96-47-6), m-xylene (CAS RN 108-38-3), p- xylene
(CAS RN 106-42-3), and unspecified xylenes (dimethylbenzenes) (CAS RN 1330-20-7). PQLs for method 8021
are 0.2 for o-xylene and 0.1 for m- or p-xylene. The PQL for m-xylene is 2.0 |J.g/L by method 8020 or 8260.
This document is intended solely for guidance. No statutory or regulatory F18
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of
Facilities Regulated under Subtitle D of RCRA
Appendix G:
User Satisfaction Questionnaire and Comment Form
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User Satisfaction Survey
(OMB Approval No. 1860.01)
Expires 9/30/2001
We would like to know if this Audit Protocol provides you with useful information. This information will
be used by EPA to measure the success of this tool in providing compliance assistance and to determine
future applications and needs for regulatory checklists and auditing materials.
1. Please indicate which Protocol(s) this survey applies to:
Title:
EPA Document Number:
2. Overall, did you find the Protocol helpful for conducting audits:
Yes No
If not, what areas of the document are difficult to understand?
3. How would you rate the usefulness of the Protocol(s) for conducting compliance audits on a
scale of 1-5?
1 = not useful or effective, 3 = somewhat useful/effective, 5 = very useful/effective
Low Medium High
12345 Introduction Section
12345 Key Compliance Requirements
12345 Key Terms and Definitions
12345 Checklist
4. What actions do you intend to take as a result of using the protocol and/or conducting the audit?
Please check all that apply.
Contact a regulatory agency
Contact a compliance assisstance provider (e.g., trade association, state agency, EPA)
Contact a vendor
Disclose violations discovered during the audit under EPA's audit Policy
Disclose violations discovered under EPA's Small Business Policy
Obtain a permit or certification
Change the handling of a waste, emission or pollutant
Change a process or practice
Purchase new process equipment
Install emission control equipment (e.g., scrubbers, wastewater treatment)
Install waste treatment system (control technique)
Implement or improve pollution prevention practices (e.g., source reduction, recycling)
Improve organizational auditing program
Institute an Environmental Management System
Improve the existing Environmental Management System (e.g., improve training, clarify standard
operating procedures, etc.)
Other
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5. What, if any, environmental improvements will result from the actions to be taken (check all that
apply)?
reduced emissions
waste reduction
reduced risk to human health and the environment due to better management practices
reduced quantity and toxicity of raw materials
water conservation
energy conservation
conserved raw materials
conservation of habitat or other environmental stewardship practice:
other:
no environmental improvements are likely to result from the use of this document
6. How did you hear about this document?
trade association
state technical assistance provider
EPA internet homepage or website
document catalog
co-worker or business associate
EPA, state, or local regulator
other (please specify)
7. In order to understand your response, we would like to know what function you perform with respect
to environmental compliance and the size of your organization.
Company Personnel Trade Association Compliance Assistance
Environmental Auditor National Provider
Corporate Level Regional EPA
Plant-level Local State
Legal Manager State Small Business
Environmental Manager Information Specialist Assistance
Operator - (e.g., Local
Pollution Control Other
Equipment
Other:
Regulatory Personnel Vendor/Consultant
State Environmental Auditor
Local Environmental
EPA Engineer/Scientist
Attorney
How many employees are located at your facility (including full-time contractors?)
0-9 10-49 50-100 101-500 More than 500
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Optional (Please Print)
Name: Address:
Title: City: State:
Zip code:
Organization Name:
Phone: { ) E-mail:
Please return all pages (1 thru 3) of this survey by folding pages 1 and 2 into page 3 and using the preprinted, pre-
stamped address on the reverse side of page 3. If you have accessed this document electronically from one of
EPA's web sites, simply e-mail this questionnaire to: satterfield.richard(@,epa.gov.
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