FINAL REVIEW
RCRA ORIENTATION
MANUAL
NOVEMBER 27, 1985
U.S. ENVIRONMENTAL PROTECTION AGENCY
OFFICE OF SOLID WASTE
CONTACT: ROBERT KNOX
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DRAFT
RCRA ORIENTATION
MANUAL
NOVEMBER 27, 1985
U.S. ENVIRONMENTAL PROTECTION AGENCY
OFFICE OF SOLID WASTE
CONTACT: ROBERT KNOX
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A NOTE TO THE READER
by MARCIA WILLIAMS
(Currently Under Development)
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TABLE OF CONTENTS
A NOTE TO THE READER by MARCIA WILLIAMS
TABLE OF CONTENTS
PREFACE
SECTION I
INTRODUCTION TO THE RESOURCE
CONSERVATION AND RECOVERY ACT
SECTION H
SUBTITLE D OF RCRA - MANAGING SOLID WASTE
SECTION III SUBTITLE C OF RCRA - MANAGING HAZARDOUS
WASTE
CHAPTER 1
CHAPTER 2
CHAPTER 3
CHAPTER 4
CHAPTER 5
CHAPTER 6
CHAPTER 7
CHAPTER 8
CHAPTER 9
WHAT IS A HAZARDOUS WASTE?
REGULATIONS APPLICABLE TO
GENERATORS OF HAZARDOUS WASTE
REGULATIONS APPLICABLE TO
TRANSPORTERS OF HAZARDOUS WASTE
REGULATIONS APPLICABLE TO TREATMENT,
STORAGE AND DISPOSAL FACILITIES
PERMITTING
ENFORCEMENT
STATE AUTHORIZATION
PUBLIC PARTICIPATION
RCRA AND ITS RELATIONSHIP TO
SUPERFUND AND OTHER PROGRAMS
SECTION IV
APPENDIX A
APPENDIX B
GLOSSARY
SUBTITLE I OF RCRA - MANAGING
UNDERGROUND STORAGE TANKS
UNIFORM HAZARDOUS WASTE MANIFEST
PART A - PERMIT APPLICATION
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PREFACE
This manual was developed by the Environmental Protection Agency (EPA), Office of
Solid waste, to meet the need for introductory information on the solid waste management
program established under the Resource Conservation and Recovery Act (RCRA). Since
there is little general information available on the RCRA program, a new EPA employee, or
an experienced employee unfamiliar with a certain part of it, is left to understand the
program by reading and re-reading the Act, regulations, policy, or guidance and/or learning
on the job. This manual is not meant to replace these methods of understanding; rather it is
intended to be used in conjunction with them to give the reader a basic introduction to
RCRA that can serve as a foundation upon which to build. To accomplish this, the manual
presents a clear and concise overview of the RCRA program, the extent of its coverage,
and how it works.
At the time this manual was printed, the RCRA program was going through some major
changes. The Hazardous and Solid Waste Amendments (HSWA), signed by President
Reagan on November 8,1984, were still being interpreted by EPA. Therefore, this manual
fully describes those parts of the RCRA program in existence prior to HSWA, as well as
those HSWA provisions that were transformed into regulatory requirements before the
manual was completed. In the case of the remaining HSWA provisions, the manual
summarizes the amendments' statutory language and, in some instances, provides a
description of their intent. As regulations are written for more of HSWA this manual will
be updated to reflect the changes.
Because this manual is an information source about the RCRA program it does not attempt
to impart the skills to perform job duties, such as writing a permit. It is merely an
information source. Furthermore, the manual is written for those unfamiliar with the
RCRA program, or parts thereof, therefore complex details were either simplified or
excluded for the sake of clarity. Each chapter of the manual includes an overview of what is
to be covered, illustrations and figures highlighting the text, and a summary of the key
points presented.
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SECTION I
INTRODUCTION TO THE RESOURCE
CONSERVATION AND RECOVERY ACT
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SECTION I
INTRODUCTION TO THE RESOURCE
CONSERVATION AND RECOVERY ACT
p. 1
OVERVIEW
PHOTOGRAPH
(large amounts of waste)
RCRA GOALS
To protect human health and
the environment
To reduce waste and conserve en-
ergy and natural resources
To reduce or eliminate the gen-
eration of hazardous waste as
expedltlously as possible.
The Resource Conservation and Recovery Act (RCRA), an
amendment to the Solid Waste Disposal Act, was passed in
1976 to address a problem of enormous magnitude - how to
safely dispose of the huge volumes of municipal and
industrial solid waste generated nationwide. It is a problem
with roots that go back well beyond 1976.
There was a time when the amount of waste produced in the
United States was small and its impact on the environment
relatively minora river supposedly purified itself every 10
miles. Times changed. With the industrial revolution in the
latter part of the 19th century the country began to
experience growth, the likes of which had never been seen
before. New products were developed, and the consumer
was offered an ever expanding array of material goods.
This growth continued through the early twentieth century
and took off after World War II when the Nation's
industrial base, strengthened by war, turned its energy
toward domestic production. The results of growth,
however, were not all positive. While the country produced
more goods, it also generated more waste, both hazardous
and non-hazardous. For example, at the end of World War
n, United States industry was generating roughly 500,000
metric tonnes of hazardous waste per year. Compared with
today's standards, this amount is small indeed. A national
survey conducted by EPA in 1981 estimates that 264 million
metric tonnes of hazardous waste were generated
nationwide.
Unfortunately this phenomenal growth in the production of
waste was not mirrored by growth in the field of waste
management. Much of the waste produced made its way
into the environment where it poses a serious threat to
ecological systems and public health.
It became clear, in the mid-1970's, to Congress and the
Nation alike, that action had to be taken to assure that solid
wastes are managed properly. This action resulted in the
establishment of RCRA. The goals set by RCRA are:
To protect human health and the environment
To reduce waste and conserve energy and natural
resources
To reduce or eliminate the generation of hazardous
waste as expeditiously as possible
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SECTION I
INTRODUCTION TO THE RESOURCE
CONSERVATION AND RECOVERY ACT
p. 2
THREE
TO
1
SUBTITLE
1
1
SOLID
WASTE
INTERRELATED
ACHIEVE RCRA
1
D SUBTITLE C
|
1
HAZARDOUS
WASTE
PROGRAM PROGRAM
PROGRAMS
GOALS
1
SUBTITLE I
I
1
UNDERGROUND
STORAGE
TANK PROGRAM
To achieve these goals, three distinct yet interrelated
programs were developed under RCRA. The first program
outlined under Subtitle D of RCRA, encourages States to
develop comprehensive plans for the management of solid
wastes, primarily non-hazardous, e.g., household waste.
The second program, outlined under Subtitle C of the Act,
is the one most people think about when RCRA is
mentioned. It establishes a system for controlling hazardous
waste from the time it is generated until its ultimate disposal,
in effect, from "cradle to grave." The last of the three
programs established under RCRA is also the newest. This
program, outlined under Subtitle I of the Act, regulates
certain underground storage tanks. It establishes
performance standard for new tanks and requires leak
detection, prevention and correction at underground tank
sites.
It is important to note that although RCRA creates a
framework for the proper management of hazardous and
non-hazardous solid waste, it does not address the problems
of hazardous waste encountered at inactive or abandoned
sites or those resulting from spills that require emergency
response. They are taken care of by a different act, the
Comprehensive Environmental Response, Compensation,
and Liability Act, better known as Superfund.
This section provides an overview of RCRA, including the
Act, regulations, guidance, and policy and, in addition,
discusses the three programs that make up RCRA and the
interrelationships among them. Finally, the section details
where RCRA is today, who is involved, and outlines the
remainder of this manual.
RCRA: WHAT IT IS
POLICY & GUIDANCE
Any discussion of RCRA must begin with a definition of
terms. Although the term RCRA is the acronym for the
Resource Conservation and Recovery Act, it is often used to
refer to the overall program resulting from the Act . To
avoid confusion, in this manual, the term "Act" refers to
the statute and the term RCRA to the whole program. In
addition, a distinction is made between terms used to
describe provisions of the statue and regulations. When
referring to the statutory requirements they are either stated
as such or the term "Act" is used. When discussing
regulations developed by EPA, they are referred to as either
standards, regulations, or regulatory requirements. Thus, if
X was in the statute but not the regulations, it would be
considered a requirement of the Act. Alternatively, if Y was
in the regulations, it could be referred to as either a
regulation or a regulatory requirement
RCRA PROGRAM
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SECTION I
INTRODUCTION TO THE RESOURCE
CONSERVATION AND RECOVERY ACT
p. 3
THE ACT
SUBTITLE
A
B
C
D
E
F
G
H
RCRA
PROVISIONS
General Provisions
Office of Solid Waste;
Authorities of the
Administrator
Hazardous Waste
Management
State or Regional
Solid Waste Plans
Duties of the Sec. of
Commerce in Re-
source and Recovery
Federal Responsibil-
ities
Miscellaneous Pro-
visions
Research, Development,
Demonstration, and
Information
Regulation of Underground
Storage Tanks
REGULATIONS
The RCRA program is made up of several pieces, including
the Act, regulations, guidance and policy. Each of these is
discussed below.
What we commonly know as the Act is really an amendment
to the first piece of Federal solid waste legislation. In 1965,
the Solid Waste Disposal Act was passed with the primary
purpose of improving solid waste disposal methods. It was
amended in 1970 by the Resource Recovery Act, and again
in 1976 by the Resource Conservation and Recovery Act
(RCRA). The changes embodied in RCRA remodeled our
nations solid waste management system and greatly
expanded provisions pertaining to managing hazardous
waste.
The Act is continuously evolving as Congress amends it to
reflect changing needs. It has been amended twice since
1976, once in 1980 and most recently on November 8,
1984. The 1984 amendments, called The Hazardous and
Solid Waste Amendments (HSWA) significantly expanded
both the scope and detailed requirements of RCRA.
Because HSWA has resulted in many changes and is
relatively new, provisions due to it are emphasized
throughout this manual.
The Act describes the kind of waste management program
that Congress wanted to establish. This description is in
very broad terms, e.g., develop and promulgate criteria for
identifying the characteristics of hazardous waste. The Act
also provides the Administrator of EPA (or his/her
representative) with the authority necessary to carry out the
intent of the Act, e.g., authority to conduct inspections.
The structure of the Act is straightforward. It is currently
divided into nine subtitles, A through I. Subtitles A, B, E,
F, G, and H outline, respectively, general provisions,
authorities of the Administrator, State or Regional Solid
Waste Plans, duties of the Secretary of Commerce, Federal
responsibilities, miscellaneous provisions and research and
development. Subtitles C, D, and I lay out the framework
for the three programs that make up RCRA; the hazardous
waste management program, the solid waste program and
the underground storage tank program, respectively.
Regulations are the legal mechanism that spell out how a
statute's broad policy directives are to be carried out The
Act includes Congressional mandates for the development
regulations. EPA was thus required to develop a
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SECTION I
INTRODUCTION TO THE RESOURCE
CONSERVATION AND RECOVERY ACT
p. 4
comprehensive set of regulations to implement the three
RCRA programs. Many RCRA regulations have been
developed to date, covering a range of topics, from
guidelines managing beverage containers to the framework
for the hazardous waste permit program.
RCRA regulations are continuously being developed and
published according to an established process. When
regulation is developed it is published in a document called
the Federal Register. It is usually first published as a
proposed regulation, allowing the public to comment on it
for a period of time, normally sixty days. Included with
the text of the proposed regulations is a discussion of the
Agency's rationale for proposing them (the preamble).
Following the comment period, EPA revises the proposed
regulations and finalizes mem by publication in the Federal
Register. Annually, the regulations are compiled and placed
in the Code of Federal Regulations (CFR) according to a
highly structured format. This latter process is called
codification.
Most of RCRA has been codified in this manner and can be
found in Volume 40 of the CFR, Chapter 1, Subchapter I -
Solid Wastes, Parts 240-271. These regulations are often
cited as 40 CFR, with the Part listed afterward, e.g., 40
CFR Part 264. 40 CFR does not currently contain the
regulations for the underground storage tank program and
some other HSWA mandated regulatory changes because
they have yet to be developed.
Although the relationship between an Act and its regulation,
discussed above, is the norm, the relationship between
HSWA and its regulations differs. HSWA is unusual in
that Congress, for the first time, placed explicit requirements
in the statute, in addition to instructing EPA in general
language to develop the specifics in regulations. These
requirements are so specific that EPA incorporated them
directly into the regulations, without elaboration. HSWA is
all the more significant because of the ambitious schedules
that Congress established. Many of the amendments'
provisions are already in place, others go into effect within
very short time frames. Another unique aspect of HSWA is
that it establishes "hammer" provisions, which are statutory
requirements that go into effect automatically if EPA fails to
issue regulations by certain dates.
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SECTION I
INTRODUCTION TO THE RESOURCE
CONSERVATION AND RECOVERY ACT
p. 5
GUIDANCE AND POLICY
GUIDANCE = HOW TO
POLICY = MUST DO
RCRA: HOW IT WORKS
The interpretation of statutory language does not end with
the codification of regulations. EPA further clarifies its
regulations through the issuance of guidance documents and
policy.
Guidance documents are issued primarily to elaborate and
provide direction on the implementation of regulations.
They essentially explain how to do something. For
example, the regulations in 40 CFR Part 270 detail what
is required in a permit for a hazardous waste management
facility, and the guidance for this Part gives instructions on
how to evaluate a permit to see if everything is included.
Guidance documents are also used to provide the Agency's
interpretation of the Act
Policy statements, on the other hand, specify operating
procedures that must be followed. They are a mechanism
used by program offices to outline the manner in which
pieces of the program are to be carried put. For example,
the enforcement office may issue a policy outlining what
. enforcement action must be taken if a groundwater violation
is found. In most cases policy statements are addressed to
the staff working on implementation.
Many guidance and policy documents have been developed
to aid in implementing the RCRA program. Indeed, there
are so many, that describing them is beyond the scope of
this manual. However, to find out what documents are
available, one may use the Office of Solid Waste's Directive
System. This system, developed in November of 1985, and
updated periodically, lists all RCRA related policy, guidance
and memoranda and where they can be obtained. These lists
are available from each regions Policy Directives
Coordinator.
The three programs established under RCRA, solid waste,
hazardous waste, and underground storage tanks, are
described in detail in ensuing chapters. However, to
provide an overall perspective of how RCRA works, each
of these programs and their interrelationships is briefly
summarized here. In this manual, the solid waste program
(Subtitle D) is discussed before the hazardous waste
program (Subtitle C). Although this is alphabetically out
of order, the structure is designed to benefit the reader. The
Subtitle D Chapter includes the definition of solid waste
which must be understood before the Subtitle C program
can be explained.
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SECTION I
INTRODUCTION TO THE RESOURCE
CONSERVATION AND RECOVERY ACT
p. 6
SUBTITLE D - SOLID WASTE
SUBTITLE C - HAZARDOUS
WASTE
Subtitle C Program Regulates
r
i
i
GENERATOR
r~ --^*-"-:r
Hfrgr.ftLuiaei.ar
TRANSPORTER
TSD
FACILITIES
Subtitle D of the Act establishes a voluntary program
through which participating States receive Federal financial
and technical support to develop and implement solid waste
management plans. These plans are, among other things,
intended to promote recycling of solid wastes, and force the
closing or upgrading of all environmentally unsound
dumps. EPA's role in the Subtitle D program has been to
establish regulations for States to follow in developing and
implementing their plans, in approving those State plans that
comply with such regulations, and in providing grant money
for implementing the plans.
Subtitle C of the Act establishes a program to manage
hazardous wastes from cradle to grave. The objective of the
Subtitle C program is to assure that hazardous waste is
handled in a manner that protects human health and the
environment. To this end, there are Subtitle C regulations
regarding the generation, transportation, and treatment,
storage, or disposal of hazardous wastes. In practical
terms, this means regulating a very large number of
hazardous waste handlers. Indeed, as of June 1983, EPA
had on record almost 52,000 major generators, 13,000
transporters, and approximately 9,000 treatment, storage, or
disposal facilities, handling hazardous wastes.
The Subtitle C program has resulted in perhaps the most
comprehensive regulations EPA has ever developed. They
first identify those solid wastes that are "hazardous" and
then establish various administrative requirements for the
three categories of hazardous waste handlers: generators,
transporters, and owners or operators of treatment, storage,
and disposal facilities (TSDs). In addition, the Subtitle C
regulations set technical standards for the design and safe
operation of TSDs. These standards are designed to
minimize the release of hazardous waste into the
environment. Furthermore, the regulations for TSDs serve
as the basis for developing and issuing the permits that each
facility is required to have. Issuing permits is essential to
making the Subtitle C regulatory program work, since it is
through the permitting process that EPA or a State actually
applies the technical standards to facilities.
One of the prime differences between Subtitle C and Subtitle
D is the type of waste they regulate. Subtitle C regulates
only hazardous waste, a subset of solid waste, whereas the
Subtitle D program primarily manages non-hazardous solid
waste. Subtitle C also differs from Subtitle D in that it is a
regulatory program rather than a voluntary grant program.
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SECTION I
INTRODUCTION TO THE RESOURCE
CONSERVATION AND RECOVERY ACT
p. 7
SUBTITLE I-UNDERGROUND
STORAGE TANKS
RCRA TODAY
PHOTOGRAPH
( environmentally sound
waste management
practices)
Further, Subtitle C was initially established as a Federally
run program to be delegated to States, unlike Subtitle D,
which began as a State program.
Subtitle I of the Act is a new program created by HSWA to
regulate petroleum products and hazardous substances, (as
defined by under Superfund) stored in tanks underground.
This program is similar in many ways to the hazardous
waste program in that it is designed as a regulatory program
that may be delegated to States. Under this program, EPA
must establish regulations laying out performance standards
for new tanks as well as standards covering leak detection,
leak prevention, and corrective action for both new and
existing underground storage tanks. The objective of this
subtitle is to prevent leakage from tanks which could pollute
the environment, especially ground water.
When RCRA was first passed in 1976, much work needed
to be done to begin implementing the program. Since then,
both the Subtitle C and D programs have been established
and EPA and authorized States are concentrating on
implementing the Subtitle C program by issuing permits to
hazardous waste treatment, storage, and disposal facilities.
Also ongoing is the delegation of the RCRA program to
individual States. In addition to implementing the existing
RCRA program, EPA is currently working on interpreting
the amendments to the Act, writing regulations in light of
them and implementing immediate statutory requirements.
As the RCRA program matures, activities will shift from
implementation to compliance monitoring and enforcement.
Due to the past several years efforts, we have today a
national waste management program. As a result, waste
reduction and recycling is occurring, waste management
methods have improved, and natural resources are being
conserved. Improper waste generation and disposal is
becoming less of a problem.
The remainder of this manual describes in detail the three
RCRA programs briefly discussed in this introduction. In
addition, a chapter reviewing the interrelationships between
RCRA Superfund and other programs is included. The
remainder of the manual consists of:
Section H: Subtitle D - The Solid Waste Program
Section HI: Subtitle C - The Hazardous Waste Program
Section IV: Subtitle I - The Underground Storage
Tank Program.
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SECTION I INTRODUCTION TO THE RESOURCE p. 8
CONSERVATION AND RECOVERY ACT
SUMMARY The Resource Conservation and Recovery Act (RCRA) was
passed in 1976, as an amendment to the Solid Waste
Disposal Act of 1965, to ensure that Solid Wastes are
managed in an environmentally sound manner. The broad
policy goals set by RCRA are to:
Protect human health and the environment
Reduce waste and conserve energy and natural
resources
Reduce or eliminate the generation of hazardous
waste as expeditiously as possible
To achieve these goals, three distinct yet interrelated,
programs were developed under RCRA:
Subtitle D - Federal grant program that encourages
States develop comprehensive plans for the
management solid wastes (primarily non-
hazardous)
Subtitle C Establishes a system which regulates
hazardous waste from the time it is generated until
its ultimate disposal, in effect from "cradle to
grave"
Subtitle I A new program, established under
HSWA, that regulates petroleum products and
hazardous substances (as defined uinder
Superfund) stored in underground tanks.
There are several pieces to RCRA:
Act ~ Describes in statutory language the kind of
waste management program that Congress
wanted to establish. The Act also provides the
Administrator of EPA (or his designee) with
the authority to implement the Act
Regulations - Mandated by Congress and developed
by EPA. Regulations are the legal mechanism
that spell out how the Acts broad policy directives
are to be carried out Regulations are published in
the Federal Register and codifed in the Code of
Regulations.
Guidance - Developed and issued by EPA (or the
the States) to provide instructions on how to
implement parts of either the Act or regulations.
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SECTION I INTRODUCTION TO THE RESOURCE p. 9
CONSERVATION AND RECOVERY ACT
Policy ~ Statements developed by EPA (or
the States) outlining a position on a topic
or giving instructions on how a procedure
must be conducted.
RCRA is currently undergoing changes as a result of
HSWA. These amendments significantly expanded both the
scope (e.g., the creation of Subtitle I) and detailed
requirements of RCRA.
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SECTION I
INTRODUCTION TO THE RESOURCE
CONSERVATION AND RECOVERY ACT
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SECTION II
SUBTITLE D OF RCRA-
MANAGING SOLID WASTE
p. 1
OVERVIEW
PHOTOGRAPH
( solid waste )
Solid Waste Management
Objectives:
Encourage environmentally
sound solid waste manage-
ment practices
Maximize the re-use of
recoverable resources
Foster resource conser-
vation.
The history of solid waste management at the Federal level
is largely a reflection of post World War II prosperity. After
the war, the nation's rejuvenated industrial base shifted from
armaments to the production of consumer goods. Many of
these goods were convenience items, built to be disposed
of. The throw-away society was born. A by-product of
the production and consumption of these consumer goods
was an ever increasing amount of solid waste.
By 1965 it had become apparent that the nation's ability to
manage solid waste was severely lacking. As a result,
Congress passed the Solid Waste Disposal Act of 1965.
The Act established grant programs to support the
application of improved disposal methods and the
development of solid waste disposal plans by states and/or
interstate agencies. Subsequent amendments to the Solid
Waste Disposal Act - the Resource Recovery Act of 1970
and RCRA in 1976 - raised solid waste management to a
higher level of sophistication. The Subtitle D program
under RCRA, in particular, overhauled the nation's solid
waste management scheme. It is important to note that the
term "solid waste" used in respect to the Subtitle D program
refers almost exclusively to non-hazardous solid waste. The
bulk of the statutory and regulatory requirements concerning
the handling and disposition of hazardous solid waste fall
under the Subtitle C program of RCRA, which is covered in
Section ffl.
The primary goals of the Subtitle D program (Sec. 4001-
4010 of the Act) are to encourage solid waste management
practices that promote environmentally sound disposal
methods, maximize the re-use of recoverable resources, and
foster resource conservation. To achieve these goals, EPA
established both technical standards for solid waste
management facilities and a program under which
participating States may develop and implement solid waste
management plans.
The standards, commonly called the Subtitle D Criteria, set
out minimum technical requirements for environmentally
acceptable facilities (States may establish comparable or
more stringent standards). These requirements are
mandatory for solid waste disposal facilities. Therefore,
facilities that do not comply with the standards must come
into compliance or close.
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SECTION 2
SUBTITLE D OF RCRA -
MANAGING SOLID WASTE
p. 2
TO ACHIEVE SUBTITLE D
GOALS:
Technical standards for solid
waste disposal facilities
Solid waste management
grant program for States
(voluntary).
Unlike the technical standards, the solid waste management
plan program is voluntary. Those States that develop and
implement EPA-approved plans are eligible for Federal
technical and financial assistance. Each plan essentially
outlines steps the State will take to ensure that the solid
waste within its borders is managed in an environmentally
sound manner, and resources are conserved and recovered
where possible. Key components of State plans involve
using the Subtitle D criteria to identify inappropriately
managed facilities, termed "open dumps," which must be
closed or upgraded, and developing a regulatory scheme
designed to ensure that active facilities operate properly. As
of October 10, 1985, twenty-four states had in place fully
approved plans.
EPA's role with respect to State plans is limited to
administering a grant program, setting the minimum
regulatory requirements that States must follow in designing
their plans, and approving plans that comply with these
requirements. Thus, the main responsibility for developing
and implementing the plan lies with each State.
In addition to the requirements for State plans, Subtitle D
regulations also contain solid waste management guidelines
for resource recovery facilities, the procurement of products
that contain recycled materials, and the recycling of beverage
containers. These guidelines are mandatory for Federal
Agencies, yet only recommended for State use.
During the late 1970's and through 1980, there was a fair
amount of EPA and State activity in the area of solid waste
management, e.g., recycling programs. Over the past four
years, however, activities under Subtitle D have declined.
This decline is due primarily to the fact that no Federal funds
for Subtitle D have been made available since 1981. The
reason for this is that the focus of federal funding has
shifted to the Subtitle C program. Despite the lack of
Federal funding, a few States continue to develop and
implement solid waste management plans.
This chapter presents an outline of the Subtitle D program.
In doing so it defines the term "solid waste," summarizes
the guidelines applicable to Federal agencies, describes how
State plans are developed, approved, and implemented and
reviews HSWA's effect on Subtitle D.
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SECTION 2
SUBTITLE D OF RCRA -
MANAGING SOLID WASTE
p. 3
DEFINITION OF
SOLID WASTE
HOUSEHOLD
GARBAGE
COMMERCIAL
REFUSE
The term solid waste is very broad, including not only the
traditional non-hazardous solid wastes, such as municipal
garbage, but also hazardous solid wastes. The Act defines
solid waste as:
Garbage, e.g., milk cartons and coffee grounds
Refuse, e.g., metal scrap, wall board and empty
containers
Sludges from a waste treatment plant, water supply
treatment plant or pollution control facility, e.g.,
scrubber sludges
Other discarded material, including solid, semisolid,
liquid, or contained gaseous material resulting from
industrial, commercial, mining, agricultural, and
community activities, e.g., boiler slag, fly ash.
EXCEPTIONS TO THE
DEFINITION OF
SOLID WASTE
In understanding the RCRA definition of solid waste it is
important to keep in mind that all solid waste is not solid.
As noted above, many solid wastes are liquid, while others
are semisolid or gaseous. Furthermore, although the
definition of solid waste includes hazardous waste, the
Subtitle D program is concerned primarily with non-
hazardous wastes. Only those few hazardous wastes
excluded from regulation under Subtitle C are covered by
Subtitle D, e.g., small quantities of hazardous waste coming
from households and generators.
If the definition were to stop here, just about every type of
waste produced by man would qualify as solid waste. This,
however, is not the case. There are a number of exceptions
to the definition given above. Specifically, the following
materials are not considered solid waste under RCRA:
Domestic sewage (defined as untreated sanitary
wastes that pass through a sewer system)
Industrial wastewater discharges regulated under the
Clean Water Act
Irrigation return flows
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SECTION 2
SUBTITLE D OF RCRA -
MANAGING SOLID WASTE
p. 4
Nuclear materials, or by-products as defined by the
Atomic Energy Act of 1954
Mining materials that are not removed from the
ground during the extraction process.
MANAGEMENT OF
SOLID WASTE UNDER
SUBTITLE D
FEDERAL AGENCY
REGULATIONS
- Recycle r
Conserve Energy^
The Subtitle D program establishes a solid waste
management framework that has three main components:
1) Regulations applicable to Federal agencies
2) Regulations applicable to the development and
implementation of State plans
3) Criteria used as minimum technical standards for
solid waste disposal facilities and to identify open
dumps.
There are a number of solid waste management regulations
issued under Subtitle D that are mandatory for Federal
agencies yet only recommended for use by State, interstate,
regional, and local governments. They cover a wide range
of management practices and are intended to encourage
environmentally sound disposal practices, and resource
conservation, recycling, and recovery. These regulations
apply to:
Thermal processing of solid waste
Land disposal of solid waste
Storage and collection of residential, commercial,
and institutional solid waste
Recycling of beverage containers
Resource recovery
Source separation for materials recovery.
Subtitle D also includes regulations for the Federal
procurement of products that contain recycled material.
These regulations, however, are only recommended for
Federal use. For more information on the specific content
of these Federal Regulations see 40 CFR Parts 240, 241,
243, 244,245,246, 247, and 249.
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SECTION 2
SUBTITLE D OF RCRA -
MANAGING SOLID WASTE
p. 5
STATE PLAN
REGULATIONS
The regulations for State plans (40 CFR Part 256) are a key
component of the Subtitle D program. The purpose of these
regulations is to assist States in developing and
implementing EPA-approved solid waste management
plans. Such plans serve to ensure environmentally sound
solid waste management and disposal, resource
conservation, and maximum utilization of valuable
resources. The regulations achieve this by outlining the
minimum requirements for State plans and detailing how
these plans are approved by EPA. Although all States must
comply with the same regulatory requirements issued under
Subtitle D, the plans they develop are not identical. Each
plan reflects the State's unique solid waste management
needs.
In developing a solid waste management plan the State must
go through a number of steps. The first of these, detailed
in 40 CFR Part 255, requires the governor to select or
establish an agency to develop the State plan. After the
responsible agency is identified, actual drafting of the plan
begins. The content of the plan is not a matter of State
discretion. To gain EPA approval, the plan must comply
with the minimum regulatory requirements cited in 40 CFR
Part 256. These requirements include:
Identifying the responsibilities of State, local, and
regional authorities in implementing the plan
Describing a regulatory scheme that prohibits the
establishment of new open dumps, provides for the
closing or upgrading of all open dumps, and
establishes any State regulatory powers required for
implementation of the plan
Ensuring that no State or local government within
the State be prohibited from:
Establishing long-term contrtacts for the
supply of solid waste to resource recovery
facilities or for the operation of such facilities
Securing long-term markets for material and
energy recovered from resource recovery
facilities
Conserving materials or energy by reducing
waste volume
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SECTION 2
SUBTITLE D OF RCRA -
MANAGING SOLID WASTE
p. 6
MINIMUM TECHNICAL
STANDARDS AND OPEN DUMP
CRITERIA
Subtitle D Criteria
Detailing the combination of practices that are
necessary to use or dispose of solid waste in an
environmentally sound manner.
Once the plan has been developed and adopted by the State it
is submitted to EPA for approval. Within six months from
the date of submittal, the Administrator of EPA must either
approve or disapprove of the plan. Approval is granted if
the Administrator finds that the plan fulfills all of the
minimum requirements set out in the regulations. Gaining
this approval is especially important because without it the
State is ineligible for Federal financial or technical
assistance.
The final component of the Subtitle D program is the
"Criteria for Classification of Solid Waste Disposal Facilities
and Practices." commonly referred to as the Subtitle D
Criteria (40 CFR Part 257). The Criteria are used as a:
Set of minimum technical standards with which all
Federal and non-Federal solid waste disposal
facilities must comply
Means of determining if a solid waste disposal
facility is an open dump
The criteria cover eight areas:
- Floodplains
- Endangered species
- Surface water
- Ground water
- Waste application limits for land used in the
production of food chain crops
- Disease transmission
- Air
- Safety.
Under each of these areas specific requirements are set. For
example, 40 CFR Section 257.3-2 (a) & (b) states that:
Facilities or practices shall not cause
or contribute to the taking of any
endangered or threatened species of plants,
fish, or wildlife... (or) result in the destruction
or adverse modification of the critical habitat of
endangered or threatened species.
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SECTION 2
SUBTITLE D OF RCRA -
MANAGING SOLID WASTE
p. 7
Minumum Technical Standards
Open Dump Criteria
EXEMPTIONS FROM THE
SUBTITLE D CRITERIA
The Subtitle D Criteria serve as minimum technical
standards for solid waste disposal facilities. Facilities must
comply with the Criteria to ensure that ongoing operations
are protective of human health and the environment. The
Criteria are minimum standards because if a facility does not
comply with one or more of them it will be classified as an
open dump and forced to close or upgrade its operations. It
is important to note that the Criteria apply to all facilities,
regardless of whether or not the State in which they are
located has an approved management plan. Furthermore,
States have the option of developing Criteria more stringent
than the Federal ones.
Compliance with the Criteria and, thus, the ban on dumping
can be enforced through citizen suits (Sec. 7002 of the Act)
or by the State. The Act does not give EPA authority to take
legal action against parties that do not comply with the
Criteria.
In addition to serving as minimum technical standards, the
Criteria are used to identify open dumps. As mentioned
above, an open dump is defined as a disposal facility which
does not comply with the Subtitle D Criteria. Using the
Criteria as a benchmark, each State must evaluate the solid
waste disposal facilities within its borders to determine
which are open dumps and, therefore, need to be closed or
upgraded. For each facility that fails to comply with one or
more of the Criteria, the State completes an Open Dump
Inventory Report form that is sent to the Bureau of the
Census. At the end of each fiscal year the Bureau compiles
all of the report forms and sends them to EPA, where they
are summarized and published as the Inventory of Open
Dumps. The Inventory has been published annually from
1981 to 1985.
Certain solid waste disposal facilities or practices are
exempted from having to comply with the Subtitle D
Criteria, including:
Use of agricultural wastes as fertilizers or soil
conditioners
Land application of domestic sewage
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SECTION 2
SUBTITLE D OF RCRA -
MANAGING SOLID WASTE
p. 8
Hazardous waste disposal facilities regulated
under Subtitle C of RCRA
Industrial discharges which are point sources
subject to permits under Section 402 of the Clean
Water Act
HSWA's EFFECT ON THE
SUBTITLE D CRITERIA
As a result of HSWA, the Subtitle D Criteria and the
mechanisms used to enforce them will be changed. HSWA
requires EPA to submit a report to Congress by November
8, 1987 determining whether the Criteria are adequate to
protect human health and the environment from ground-
water contamination and if additional authorities are needed
to enforce them. Further, EPA must revise the Criteria by
March 31,1988, to address facilities that receive hazardous
household waste or waste from small quantity generators
(the definition of small quantity generators is discussed in
Chapter 1 of Section in.) At a minimum, the revisions
should require ground-water monitoring as necessary to
detect contamination, establish Criteria on the acceptable
location of new or existing facilities, and provide for
corrective action, as appropriate. Congress's reason for
requiring these revisions is the concern that small amounts
of hazardous waste, coming from either households or small
quantity generators, may accumulate at Subtitle D facilities
and pose threats to human health or the environment
In addition to revising the Criteria, HSWA requires the
establishment of a permit program or other system of prior
approval and conditions by November 8,1987, for facilities
receiving small amounts of hazardous waste. This permit
program, or other system of prior approval and conditions,
is meant to ensure that such facilities are in compliance with
the Criteria. Within 18 months of the promulgation of the
revised Criteria mentioned above, each State must modify
its permit program or alternate system accordingly.
If a State fails to develop and implement an appropriate
permit program or other system of prior approval and
conditions, by September 31, 1989, EPA is given the
authority, under HSWA, to enforce the Criteria at facilities
accepting household hazardous waste or small quantity
generator waste.
-------
SECTION! SUBTITLE D OF RCRA - p. 9
MANAGING SOLID WASTE
SUMMARY The Subtitle D program deals primarily with non-hazardous
solid waste. The main goals of the program are to
encourage solid waste management practices that:
Promote environmentally sound disposal methods
Maximize the re-use of recoverable resources
Foster resource conservation.
To achieve these goals, EPA established:
Technical standards for solid waste managment
facilities
A program under which participating States may
develop solid waste management plans and obtain
funding to implement them.
The standards, commonly called the Subtitle D Criteria, are
mandatory and set out minimum technical requirements for
environmentally acceptable solid waste disposal facilties.
As a result of HSWA, the Criteria will be revised to address
facilities that recieve small quantities of hazardous waste. In
addition, the States must develop a permit program, or other
system of prior approval and conditions to enforce the
revised Criteria at such facilities.
The solid waste management program, on the other hand, is
a voluntary grant program. Those States that develop and
implement EPA-approved plans are eligible for Federal
technical and financial assistance. Each plan outlines the
steps that the State will take to ensure that:
Solid waste is properly managed
Resources are conserved and recovered, where
possible
Open dumps are closed or upgraded.
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SECTION III
SUBTITLE C OF RCRA - MANAGING HAZARDOUS WASTE
-------
SECTION III
SUBTITLE C OF RCRA -
MANAGING HAZARDOUS WASTE
p. 1
INTRODUCTION
SUBTITLE C
PREVENTS
PHOTOGRAPH
( unsound hazardous waste
management practices )
IMPROPER WASTE MANAGEMENT
REQUIRES
PHOTOGRAPH
( proper hazardous waste
mangement practices )
PROPER WASTE MANAGEMENT
The improper management of hazardous waste is probably
the most serious environmental problem in the United States
In 1979, EPA estimated that only 10 percent of all
hazardous waste was managed in an environmentally sound
manner. The remainder was transported, treated, stored or
disposed of in a way which potentially threatens human
health and the environment. Since that time the amount of
hazardous waste produced has steadily risen, and
mismanagement is still prevalent
This mismanagement has tragic consequences. EPA has on
file hundreds of cases of damage to human health or the
environment resulting from the indiscriminate dumping or
other improper management of hazardous waste. The vast
majority of these cases involves the pollution of ground
water the source of drinking water for about half the
nations's populationfrom the open dumping of wastes or
from improperly operated landfills and surface
impoundments. In many of these cases, ground-water
supplies were so badly contaminated with toxic or cancer-
causing chemicals and heavy metals that residents in the area
had to obtain drinking water from other sources. In other
more tragic cases, residents were not aware of the
contamination, continued to drink the water, and suffered
serious health effects.
Ground-water pollution is not the only problem posed by
improper hazardous waste management. EPA's damage
case file also includes incidents where the improper disposal
of hazardous waste has polluted streams, rivers, lakes and
other surface waters, killing aquatic life, destroying wildlife,
and stripping areas of vegetation. In other cases, the
vaporization of volatile organic materials from wastes which
were improperly disposed of has been linked to respiratory
illnesses, skin diseases (including skin cancer) and elevated
levels of toxic materials in the blood and tissues of humans
and domestic livestock. In still other cases, the
mismanagement of hazardous waste has resulted in fires,
explosions or the generation of toxic gases which have
killed or seriously injured workers and firemen.
The Subtitle C program developed under RCRA is designed
to ensure that the mismanagement of hazardous wastes does
not continue. It does this by creating a Federal "cradle to
grave" management system that sets forth statutory and
regulatory requirements for:
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SECTION HI
SUBTITLE C OF RCRA -
MANAGING HAZARDOUS WASTE
p. 2
SUBTITLE C PROGRAM
FEDERAL
STATE
GENERATOR
TRANSPORTER
Identifying hazardous waste
Regulating generators of hazardous waste
Regulating transporters of hazardous waste
Regulating owners and operators of facilities that
treat, store or, dispose of hazardous wastes
Issuing operating permits to owners and operators of
treatment, storage and disposal facilities
Enforcing the Subtitle C program
Transferring the responsibilities of the Subtitle C
program from the Federal government to the States
Requiring public participation in the Subtitle C
program.
To fully explain these statutory and regulatory requirements
each one of the areas listed above is given its own chapter in
this section. There is also a separate chapter on the inter-
relationships between RCRA's Subtitle C program and
Superfund (this chapter is currently being expanded to cover
the interrelationships between Subtitle C and other
environmental statutes, besides Superfund).
TSD
FACILITIES
J
ENFORCEMENT
PUBLIC
PARTICIPATION
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CHAPTER 1
WHAT IS HAZARDOUS WASTE?
p.l
OVERVIEW
WHAT IS
. HAZARDOUS
The regulatory framework established under Subtitle C was
designed to protect human health and the environment from
the effects of improper management of hazardous waste.
Determining "what is a hazardous waste?" is, therefore, a
key question because only those wastes that are found to be
hazardous are subject to Subtitle C regulations. Making this
determination is a complex task. The universe of potential
hazardous wastes is large and diverse, consisting of
chemical substances, mixtures, generic waste streams, and
specific products. Furthermore, wastes are potentially
hazardous for different reasons. Congress addressed this
problem by directing EPA (under Section 3001 of the Act)
to develop and promulgate criteria for identifying the
characteristics of hazardous waste and for listing particular
wastes as hazardous.
It is upon this identification and listing of wastes that
RCRA's Subtiltle C program is based. All solid waste
generators, from national manufacturers to the corner
drycleaners, must determine if their solid waste is
hazardous and thus subject to regulation under Subtitle C.
This chapter defines the term "hazardous waste" and
describes how EPA determines if a solid waste is
hazardous. Also discussed are those wastes specifically
excluded from the regulations.
DEFINITION OF
HAZARDOUS WASTE
HAZARDOUS
WASTE
Congress defined the term "hazardous waste" in Section
1004(5) of RCRA as a "solid waste, or combination of
solid wastes, which because of its quantity, concentration,
or physical, chemical, or infectious characteristics may:
(A) cause, or significantly contribute to an increase in
mortality or an increase in serious irreversible, or
incapacitating reversible, illness; or
(B) pose a substantial present or potential hazard to
human health or the environment when improperly
treated, stored, transported, or disposed of, or
otherwise managed."
Note that RCRA defines hazardous wastes in terms of
properties of a solid waste. Therefore, if a waste is not a
solid waste, as defined in Section II, it cannot be a
hazardous waste. The amount of hazardous waste generated
by American industries is staggering. A 1981 survey by
-------
CHAPTER 1
WHAT IS A HAZARDOUS WASTE?
p. 2
IDENTIFICATION OF
HAZARDOUS WASTE
A Solid Waste is Hazardous
if it Meets one of Four
Conditions:
Exhibits a characteristic
Is listed
Is a mixture
Is not excluded.
CHARACTERISTICS
EPA estimates that 264 million metric tonnes of hazardous
waste were generated that year. This translates into over one
ton of hazardous waste generated per person, per year. The
vast majority of these wastes come from the chemical and
petroleum industries. These industries alone generate
seventy one percent of all hazardous wastes produced. The
remainder comes from a wide range of other industries,
including metal finishing, general manufacturing, and
transportation.
Although Congress defined the term hazardous waste in the
Act, EPA was required to develop the regulatory framework
that would identify those solid wastes that must be managed
as hazardous wastes under Subtitle C. This framework (40
CFR Part 261), specifies that a solid waste is hazardous if
it meets one of four conditions:
1) Exhibits, on analysis, any of the characteristics of a
hazardous waste
2) Has been named as a hazardous waste and listed
3) Is a mixture containing a listed hazardous waste and
a non-hazardous solid waste (unless the mixture is
specifically excluded or no longer exhibits any of the
characteristics of hazardous waste)
4) Is not excluded from regulation as a hazardous waste
Furthermore, the by-products of the treatment of any
hazardous waste are also considered hazardous unless
specifically excluded.
EPA has identified four characteristics for hazardous waste.
Any solid waste that exhibits one or more of them is
classified as hazardous under RCRA.
The characteristics are:
Ignitability
Corrosivity
Reactivity
EP Toxicity.
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CHAPTER 1
WHAT IS A HAZARDOUS WASTE?
p. 3
Ignitability
EPA used two criteria in selecting these characteristics. The
first criterion was that the characteristics be capable of being
defined in terms of physical, chemical, or other properties
that cause the waste to meet the definition of hazardous
waste in the Act. The second criterion was that the
properties defining the characteristics be measurable by
standardized and available testing protocols. The second
criterion was adopted because the primary responsibility for
determining whether a solid waste exhibits any of the
characteristics rests with the generators. EPA believed that
unless generators were provided with widely available and
uncomplicated methods for determining whether their
wastes exhibited the characteristics, the identification system
would prove unworkable.
Largely due to this second criterion, EPA refrained from
adding carcinogenicity, mutagenicity, bioaccumulation
potential, and phytotoxicity to the set of proposed
characteristics. EPA considered the available test protocols
for measuring these characteristics to be either insufficiently
developed or too complex and too highly dependant on the
use or skilled personnel and professional equipment.
Additionally, given the current state of knowledge
concerning such characteristics, EPA did not feel that it
could define with any confidence the numerical threshold
levels at which wastes exhibiting these characteristics would
present a substantial hazard.
As testing protocols become generally acceptable and EPA's
confidence in setting minimum thresholds increases, more
characteristics will be added. Indeed, HSWA (Section
300 l(h)) requires that the Administrator promulgate
regulations identifying additional characteristics by
November 8, 1986. These characteristics must include
measures or indicators of toxicity.
The properties of wastes exhibiting any or all of the existing
characteristics are defined in 40 CFR Sections 261.20 -
- 261.24 and briefly described below.
A solid waste that exhibits any of the following properties is
considered a hazardous waste due to its ignitability:
A liquid, except aqueous solutions containing less
than 24% alcohol, that has a flash point less that
60C(140F)
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CHAPTER 1
WHAT IS A HAZARDOUS WASTE?
p. 4
Corrosivity
Reactivity
A non-liquid capable, under normal conditions, of
spontaneous and sustained combustion
An ignitable compressed gas per Department of
Transportation (DOT) regulation
An oxidizer per DOT regulation.
EPA's reason for including ignitability as a characteristic
was to identify wastes that could cause fires during
transport, storage, or disposal. Examples of ignitable
wastes include waste oils and used solvents.
A solid waste that exhibits any of the following properties is
considered a hazardous waste due to its corrosivity:
An aqueous material with pH less than or equal to 2
or greater than or equal to 12.5
A liquid which corrrodes steel at a rate greater than
1/4 inch per year at a temperature of 55C (13017).
EPA chose pH as an indicator of corrosivity because wastes
with high or low pH can react dangerously with other wastes
or cause toxic contaminants to migrate from certain wastes.
Steel corrosion was chosen because wastes capable of
corroding steel can escape from their containers and liberate
other wastes. Examples of corrosive wastes include acidic
wastes and used pickle liquor (employed to clean steel
during its manufacture).
A solid waste that exhibits any of the following properties is
considered a hazardous waste due to its reactivity:
Normally unstable and reacts violently without
detonating
Reacts violently with water
Forms an explosive mixture with water
Generates toxic gases, vapors, or fumes when mixed
with water
Contains cyanide or sulfide and generates toxic
gases, vapors, or fumes at a pH of between 2 and
12.5
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CHAPTER 1
WHAT IS A HAZARDOUS WASTE?
p. 5
Constituent
Arsenic
Barium
Cadmium
Chromium
Lead
Mercury
Selenium
Silver
Endria
Undine
Methoxychlor
Toxiphene
2.4- D
2,4.5 - TP
Concentration
mg/1
5.0
100.0
1.0
5.0
5.0
0.2
1.0
5.0
0.02
0.4
10.0
OJ
10.0
1.0
Figure 1.1 JTP T ' 't
Constituents and Concentrations tl 1(>x|C«y
for EP Toxicity
Testing for Hazardous
Waste Characteristics
Capable of detonation if heated under confinement or
subjected to strong initiating source
Capable of detonation at standard temperature and
pressure
Listed by DOT as Class A or B explosive.
Reactivity was chosen as a characteristic to identify unstable
wastes that can pose a problem at any stage of the waste
management cycle, e.g., an explosion. Examples of
reactive wastes include water from TNT operations and used
cyanide solvents.
The term EP toxicity often confuses newcomers to the
program because in addition to referring to a characteristic
of a waste it also refers to a test. The test, called the
extraction procedure (EP), is designed to identify wastes
likely to leach hazardous concentrations of particular toxic
constituents into the ground water as a result of improper
management
During the procedure, constituents are extracted from the
waste in a manner designed to simulate the leaching actions
that occur in landfills. The extract is then analyzed to
determine if it possesses any of the toxic contaminants listed
in Figure 1.1. If the concentrations of the toxic constituent
exceed the levels listed in Figure 1.1, the waste is classified
as hazardous. Congress directed EPA, under HSWA, to
examine the EP toxicity test to determine if modifications or
additions could improve it as a diagnostic tool.
The responsibility for determining if a particular solid waste
is hazardous falls on the generators. They must either test
their waste using standard methods (specified in 40 CFR
Part 261) or have sufficient knowledge about their wastes
to assess whether it exhibits any of the characteristics. If the
waste does exhibit a characteristic then it is hazardous and
must be handled accordingly. Tests must be applied to each
individual waste and cannot be used to assess a type of
waste (other than to define the waste generically as
hazardous). This provision was established to prevent a
national company from making one waste determination
and using the results nationwide, masking potential regional
variations. The tests must also be run on representative
samples of the waste to obtain results that adequately
characterize the nature of the waste.
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CHAPTER 1
WHAT IS A HAZARDOUS WASTE?
p. 6
LISTINGS OF
HAZARDOUS WASTE
Three Lists of
Hazardous Waste:
Non-specific source
wastes
Specific source
wastes
Commercial
chemical products
MIXTURES
A solid waste is also hazardous if it is named on one of
three lists developed by EPA:
1) Non-specific source wastes (40 CFR Section
261.31) - These are generic wastes, commonly
produced by manufacturing and industrial processes.
Examples from this list include spent halogenated
solvents used in degreasing, and wastewater
treatment sludge from electroplating processes.
2) Specific source wastes (40 CFR Section 261.32) -
This list consists of wastes from specifically
identified industries such as wood preserving,
petroleum refining and organic chemical
manufacturing. These wastes typically include
sludges, still bottoms, wastewaters, spent catalysts,
and residues, e.g., wastewater treatment sludge from
the production of pigments.
3) Commercial chemical products (40 CFR Section
261.33(e) and (f)) - The third lists consists of
specific commercial chemical products, or
manufacturing chemical intermediates. This list
includes chemicals such as chloroform and creosote,
acids such as sulfuric acid and hydrochloric acid, and
pesticides such as DDT and kepone.
These lists were developed by examining different types of
wastes and chemical products to see if they:
Exhibit one of the four characteristics of a
hazardous waste (listed above)
Meet the statutory definition of hazardous
waste
Are acutely toxic or acutely hazardous
Are otherwise toxic
Any solid waste that fulfills one or more of these criteria is
placed on one of the three lists.
One of the questions that faced EPA when setting the
conditions for identifying hazardous wastes was how to
classify a waste mixture that contains both a listed hazardous
waste and a non-hazardous solid waste. EPA decided that
any waste mixture containing a listed hazardous waste is
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CHAPTER 1
WHAT IS A HAZARDOUS WASTE?
p. 7
considered a hazardous waste and must be managed
accordingly. This applies regardless of what percentage of
waste mixture is composed of listed hazardous wastes.
Without such a regulation, generators could evade Subtitle
C requirements simply by commingling listed wastes with
non-hazardous solid waste. Most of these waste mixtures
would not be caught by the four Subtitle C characteristics
because they would contain wastes which were listed for
other reasons than they exhibit the characteristics, e.g.,
they are acutely toxic. Allowing this situation would leave
a major loophole in the Subtitle C management system and
create inconsistencies in how wastes are managed under
that system. There are, however, a few exceptions to the
mixture rule outlined above:
If a wastewater dishcarge subject to regulation by
The Clean Water Act is mixed with low con-
centrations of a listed waste, as specified in
40 CFR Section 261.3, the resultant mixture
is not considered a listed hazardous waste
(Of course, if such a mixture exhibited one of the
characteristics it would be deemed hazardous)
Mixtures of non-hazardous wastes and listed
wastes which were listed for exhibiting a
characteristic are not considered hazardous if the
mixture no longer exhibits any characteristics.
WASTES THAT ARE
SPECIFICALLY
EXCLUDED FROM THE
REGULATIONS
Congress decided that certain types of solid waste should
not be considered hazardous waste under Subtitle C.
These include a number of common solid wastes that do
not present a significant threat to human health or the
environment or are currently managed under other
programs in a way that minimizes any threat to human
health or the environment, e.g., household wastes,
municipal resource recovery wastes, agricultural wastes,
and mining overburden returned to the mine site. EPA
amended Congress's list with certain chromium cont.
aining wastes, and laboratory samples. Language
excluding these wastes fromRCRA regulation is contained
in 40 CFR Part 261.
In 1980, Congress temporarily excluded oil and gas
wastes, mining wastes, waste from the combustion of coal
or other fossil fuels, and cement kiln dust waste. To find
out whether theae wastes should be regulated at all,
Congress, under Section 8002 of the Act, directed EPA to
conduct studies and report on whether the results indicate
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CHAPTER 1
WHAT IS A HAZARDOUS WASTE?
p. 8
WHEN DOES A HAZ-
ARDOUS WASTE CEASE
BEING A HAZARDOUS
WASTE?
SPECIAL REQUIREMENTS
FOR SMALL QUANTITY
GENERATORS
Ins thin
1.00O Kg/Mo
uWtoM
100K«Mv
1984
AMENDMENTS
1 Kg/Mo Acutely Hazardous Waste
1 Kg/Mo Acutely
Hazardous
Waste
CHANGES IN SMALL QUANTITY
GENERATOR EXEMPTION
that the wastes should be regulated under Subtitle C. Some
of these studies, commonly referred to as the 8002 studies,
have been completed, others have not.
EPA recognized that its procedures for listing hazardous
wastes might not be applicable in all cases. To provide for
these cases, EPA created a process called delisting that
allows any person, e.g., waste handler or general public, to
petition EPA to exclude a listed waste from regulation under
Subtitle C. For a petitioner to get a waste delisted he must
prove to EPA that the waste is not hazardous because of
facility-specific variations in raw materials, processes or
other factors. In evaluating a delisting petition, EPA must
consider factors including constituents other than those for
which the waste was listed, if EPA has a reasonable basis to
believe that such additional factors could cause the waste to
be a hazardous waste. If, upon evaluation, it is determined
that the waste is not hazardous due to conditions at the
facility, that waste is removed from Subtitle C's regulatory
jurisdiction. It is important to note that delisting is done on
a case-by-case basis. Therefore if a waste is delisted at one
facility it is not automatically delisted at other facilities.
Early in the development the RCRA program EPA
recognized that the hazardous waste regulations would
impose a substantial burden on the regulated community.
Further, it recognized that if all small generators were
brought entirely within the Subtitle C regulatory system,
their numbers would far outstrip the resources available to
achieve effective implementation of the program. Thus, in
issuing waste regulations EPA, first focused on large
generators who produce the greatest portion of hazardous
waste. The initial EPA regulations, published on May 19,
1980, exempted "small quantity generators" (SQGs) from
most of the hazardous waste requirements. A small quantity
generator was defined as a:
Generator who produced less than 1,000 kilograms
(or accumulated less than 1,000 kilograms at any
one time) of hazardous waste at a site per month
Generator who produced less than 1 kilogram
(or accumulated less than 1 kilogram at any one
time) of acute hazardous waste per month.
These small quantity generators did have to meet some
minimum management requirements, including testing
their waste, storing the waste properly and disposing of the
waste at approved facilities.
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CHAPTER 1 WHAT IS A HAZARDOUS WASTE? p. 9
Since 1980, concern has arisen that hazardous wastes
exempted from regulation due to the SQG exclusion coluld
be causing environmental harm. Therefore, Congress, in
HSWA, amended the definition of a SQG, reducing the cut
off point from 1,000 kg to 100 kg Thus, the new definition
of a SQG is:
Generator who produces less than 100 kg (or
accumulates less than 100 kg at any one time)
of hazardous waste at a site per month.
Generator who produces less than one kg (or
accumulates less than one k.g.) of acute hazardous
per month.
HSWA also requires generators of between 100 and 1,000
kg/mo of hazardous waste to use a copy of the manifest
when shipping wastes off-sige and to continue disposing of
these wastes at approved facilities. In addition, Congress
required EPA to develop regulations to cover generators of
between 100 and 1000 kg/mo of hazardous waste to ensure,
among other things, that these wastes quantities are
managed at approved hazardous waste management
facilities. At the same time, however, Congress, concerned
that full regulation of these generators, many of which are
small businesses, might not be appropriate, gave EPA clear
authority to vary the standards for these generators of
between 100 and 1000 kg/mo from those requirements
applicable to larger generators, provided that the
requirements are protective of human health and the
environment To balance the need for regulation of this
group with the impacts of such regulation on small firms,
EPA has proposed modifying the existing Subtitle C
generator regulations for generators of between 100 and
1000 kg/mo of hazardous waste who ship their wastes off-
site. These proposed modifications are:
Reduced manifesting and recordkeeping
requirements
Extended accumulation (storage) times before
interim status or permit required (180 days instead
of 90 - 270 days if the waste must be shipped over
200 miles)
A decision on these proposed regulations will be made
March 31,1986.
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CHAPTER 1 WHAT IS A HAZARDOUS WASTE? p. 10
Note that the modifications to the regulation just described
do not apply to generators of between 100 and 1,000 kg/mo
generators who store their waste on-site. They must meet all
generator requirements. All generators of over 1,000 kg/mo
of hazardous waste or 1 kg/mo of acute hazardous waste
must, as before the amendments, meet the full generator
requirements.
SUMMARY ^ solid waste generators must determine if their waste is
hazardous and, therefore, subject to regulation under
Subtitle C. The Subtitle C regulations specify that a solid
waste is hazardous if it meets one of four conditions:
1) Exhibits one of four characteristics:
- Ignitability
- Corrosivity
- Reactivity
- EPToxicity
2) Is listed
3) Is a mixture
4) Is not excluded.
Through a process called delisting any person can petition
EPA to exclude a listed waste from regulation under Subtitle
C. Furthermore, generators who produce less than either
100 kg/mo of hazardous waste or 1 kg/mo of acutely
hazardous waste, called small quantity generators, are
exempted from most of the Subtitle C requirements.
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CHAPTER 2
REGULATIONS APPLICABLE TO p. 1
GENERATORS OF HAZARDOUS WASTE
OVERVIEW
GENERATOR
Generators of hazardous waste are the first link in the cradle
to grave chain of hazardous waste management established
under RCRA. Generators of more than 100 kilograms of
hazardous waste or 1 kilogram of acutely hazardous waste
per month must (with a few exceptions) comply with all of
the generator regulations developed under Subtitle C (40
CFR Part 262). Subtitle C requires generators to ensure
and fully document that the hazardous waste they produce is
properly identified and transported to a RCRA treatment,
storage, or disposal facility.
WHO ARE THE
GENERATORS?
The Subtitle C regulations broadly define the term generator
to include any:
Facility owner or operator or person, who first
creates a hazardous waste
Person who first makes the waste subject to the
Subtitle C regulations (e.g., imports a hazardous
waste, initiates a shipment of a hazardous waste
from a TSD, or mixes hazardous wastes of
different DOT shipping descriptions by placing
them into a single container).
REGULATORY
REQUIREMENTS
To define the subset of solid waste generators that must
comply with Subtitle C generator regulations, it is necessary
to distinguish between generators who produce or handle
non-hazardous solid waste and ones that produce or handle
hazardous solid waste. Subtitle C separates these two
groups by requiring all generators of solid waste to
determine if any of their waste is hazardous using the
procedures outlined in Chapter 1. Once a generator
determines that all or part of the waste produced is
hazardous he must comply with the regulatory requirements
of Subtitle C
The regulatory requirements for hazardous waste generators
include:
Obtaining an EPA ID number
Handling of hazardous waste before transport
Manifesting of hazardous waste
Recordkeeping and reporting.
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CHAPTER 2
REGULATIONS APPLICABLE TO
GENERATORS OF HAZARDOUS WASTE
p. 2
EPA ID NUMBER
PRE-TRANSPORT
REGULATIONS
Labels
Placards
All Subtitle C generators, however, are not treated equally.
Some generators do not have to comply with all of the
regulatory requirements listed above. The specific
requirements of and exemptions to the Subtitle C generator
regulations are outlined below.
One way that EPA monitors and tracks generators is by
assigning each generator a unique identification number.
Without this number the generator is barred from treating,
storing, disposing of, transporting, or offering for
transportation any hazardous waste. Furthermore, the
generator is forbidden from offering his hazardous waste to
any transporter, or treatment, storage, or disposal facility
that does not also have an EPA ID number.
Pre-transport regulations are designed to ensure safe
transportation of a hazardous waste from origin to ultimate
disposal. In developing these regulations, EPA adopted
those used by the Department of Transportation (DOT) for
transporting hazardous wastes (49 CFR Parts 172,173,
178, & 179). These DOT regulations require.
Proper packaging to prevent leakage of hazardous
waste, during both normal transport conditions and
in potentially dangerous situations, e.g., when a
drum falls out of a truck
Identification of the characteristics and dangers
associated with the wastes being transported through
labelling, marking and placarding of the packaged
waste. These pre-transport regulations only apply to
generators shipping wastes off-site.
It is important to note that these pre-transport regulations
only apply to generators shipping waste off-site.
In addition to adopting the DOT regulations outlined above,
EPA also developed pre-transport regulations that cover the
accumulation of waste prior to transport. A generator may
accumulate hazardous waste on-site for 90 days or less as
long as the following requirements are met:
Proper Storage - The waste is properly stored in
containers or tanks marked with the words
"Hazardous Waste" and the date on which
accumulation began.
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CHAPTER 2
REGULATIONS APPLICABLE TO p. 3
GENERATORS OF HAZARDOUS WASTE
JULY
JUNE
MAY
90 DAYS
A Generator May Accumulate
Hazardous Waste for
90 Days Before
Being Considered a
Storage Facility
THE MANIFEST
Emergency Plan A contingency plan and
emergency procedures to use in an emergency must
be developed.
Personnel Training ~ Facility personnel must be
trained in the proper handling of hazardous waste.
The 90-day period allows a generator to collect enough
waste to make transportation more cost-effective, that is,
instead of paying to haul several small shipments of waste,
the generator can accumulate waste until there is enough for
one big shipment
If the generator accumulates hazardous waste on-site for
more than 90 days he is considered an operator of a storage
facility and must comply with the Subtitle C requirements
for such facilities. Under temporary, unfprseen and
uncontrollable circumstances the 90 day period may be
extended, for up to 30 days, by the Regional Administrator
on a case-by-case basis.
In the near future there will be an exeception to this 90 day
accumulation period that applies to generators of between
100 and 1,000 kg/mo of hazardous waste who ship their
waste off-site. HSWA requires that regulations be
developed to allow such generators to accumulate waste for
180 days (or 270 days if the waste must be shipped over
200 miles) before they are considered an operator of a
storage facility.
As mentioned earlier, the Subtitle C program was designed
to manage hazardous waste from cradle to grave. The
Uniform Hazardous Waste Manifest (the manifest) is the key
to this objective (See Appendix 1). Through the use of a
manifest, generators can track the movement of hazardous
waste from the point of generation (the cradle) to the point of
ultimate treatment, storage, or disposal (the grave). The
manifest is a document that identifies the type of waste,
names of generators and transporters, and destination of the
waste. Since the purpose of a manifest is to track hazardous
waste off-site, it is not required for generators who treat,
store, or dispose of their hazardous waste on-site. RCRA
manifests contain a lot of information including the
following:
Name and EPA identification number of the
generator, the transporters), and the facility where
the waste is to be treated, stored, or disposed of
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CHAPTER 2
REGULATIONS APPLICABLE TO
GENERATORS OF HAZARDOUS WASTE
p. 4
U.S. DOT description of the waste being transported
Quantities of the waste being transported
Address of the treatment, storage, or disposal facility
to which the generator is sending his waste (the
designated facility)
In addition, HSWA requires that the following information
be included on each manifest:
Certification that the generator has in place a
program to reduce the volume and toxicity of the
waste to the degree economically feasible, as
determined by the generator
Certification that the treatment, storage or disposal
method chosen by the generator minimizes the risk
to human health and the environment.
It is especially important for the generator to prepare the
manifest properly since he is responsible for the hazardous
waste he produces and its ultimate disposition.
The manifest system is a controlled tracking system. Each
time the waste is transferred, e.g., from a transporter to the
designated facility or from a transporter to another
transporter, the manifest must be signed to acknowledge
receipt of the waste. A copy of the manifest is retained by
each link in the transportation chain. Once the waste is
delivered to the designated facility the owner or operator of
that facility must send a copy of the manifest back to the
generator. This system ensures that the generator has
documentation that his hazardous waste has made it to its
ultimate destination. Generators of between 100-1,000
kg/mo who ship their waste off-site are an exception to this
rule. They need only use a single copy of the manifest and
only complete portions of it
If 35 days pass from the date on which the waste was
accepted by the initial transporter and the generator has not
received a copy of the manifest from the designated facility,
the generator must contact the transporter and/or the
designated facility to determine the whereabouts of the
waste. If 45 days pass and the manifest still has not been
received, the generator must submit an exception report
(described in the next section).
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CHAPTER 2
REGULATIONS APPLICABLE TO p. 5
GENERATORS OF HAZARDOUS WASTE
RECORDKEEPING AND
REPORTING
Biennial Reporting
Exception Reports
The recordkeeping and reporting requirements for generators
provide both EPA and the States with a method to track the
quantities of waste generated and the movement of
hazardous wastes. Subtitle C contains three primary
recordkeeping and reporting requirements:
Biennial reporting
Exception reporting
3 year retention of report, manifests,
and test records.
Generators who transport hazardous waste off-site must
submit a biennial report to the Regional Administrator by
March 1 of each even-numbered year. The report details the
generator's activities during the previous calendar year
including:
EPA identification number and name of each
transporter used throughout the year
EPA identification number, name, and address of
each off-site treatment, storage, or disposal facility to
which waste was sent during the year
Quantities and nature of the hazardous waste
generated
HSWA expanded the scope of the biennial report to include
a description of:
Efforts taken to reduce the volume and toxicity of the
wastes generated
Changes in volume or toxicity that were actually
achieved, as compared with that achieved in previous
years.
Generators who treat, store, or dispose of their hazardous
waste on site also must submit a biennial report that contains
a description of the type and quantity of hazardous waste the
facility handled during the year, and the method(s) of
treatment, storage, or disposal used.
In addition to the biennial report, generators who transport
waste off-site must submit an exception report to the
Regional Administrator if they do not receive a copy of the
manifest signed and dated by the owner or operator of the
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CHAPTER 2
REGULATIONS APPLICABLE TO
GENERATORS OF HAZARDOUS WASTE
p. 6
3 Year Retention of
Reports, Manifests,
and Test Records
ADDITIONAL GENERATOR
REQUIREMENTS AND
EXCLUSIONS
INTERNATIONAL SHIPMENTS
designated facility within 45 days from the date on which the
initial transporter accepted the waste (this rule does not apply
to generators of 100-1,000 kg/mo). The exception report
must describe efforts taken to locate the waste, and the
results of these efforts.
The generator must to keep a copy of each biennial report
and any exception reports for a period of at least three years
from the date the report was submitted. The generator also
is required to keep a copy of all manifests for three years or
until he receives a copy of the manifest signed and dated
from the owner or operator of the designated facility. The
manifest from the facility must then be kept for at least three
years from the date on which the hazardous waste was
accepted by the initial transporter. Finally, the records of
the waste analyses and determinations undertaken by the
generator must be kept for at least three years from the date
that the waste was last sent to an on-site or off-site TSD.
The periods of retention mentioned above can be extended
automatically during the course of any unresolved
enforcement action regarding the regulated activity or as
requested by the Administrator.
Additional generator requirements apply to persons who
export their wastes. Furthermore, farmers have been
excluded from complying with generator requirements under
certain circumstances. These two situations are discussed
below.
Prior to HSWA the regulations allowed hazardous wastes to
be exported from the United States with only minimal notice
to EPA or the receiving country. RCRA as amended,
however, sets additional notification requirements for such
exports.
These new requirements direct the exporter to notify the
Administrator of the nature of the shipment, e.g., dates,
quantity, and description of the wastes, at least four weeks
prior to shipment Within 30 days of the receipt of this
notification, the State Department, acting on behalf of the
Administrator, must inform the receiving country about the
export. The country, in turn, must consent (in writing) to
accept the waste. If an international agreement exists
between the United States and the receiving country, then
notice and consent for each shipment is not required.
Regulations for these new notification requirements are
supposed to be developed. If such regulations are not
developed by November 6, 1986 the statutory requirements
automatically take effect
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CHAPTER 2
REGULATIONS APPLICABLE TO p. 7
GENERATORS OF HAZARDOUS WASTE
FARMER EXCLUSION
Although fanners can be generators of hazardous waste,
they need not comply with the Subtitle C regulations for
generators when the wastes being disposed of are pesticides
used only by them and the:
Empty pesticide containers are triple rinsed
Pesticide residues are disposed of on the farm
following the instructions on the pesticide label.
SUMMARY
Generators of more than 100 kilograms of hazardous waste
or 1 kilogram of acutely hazardous waste per month must
comply with all of generator regulations under Subtitle C.
Farmers, under certain circumstances, generators who treat,
store, or dispose of their waste on-site, and generatators of
100-1,000 kg/mo of hazardous waste are exceptions to this
rule. The regulatory requirements for hazardous waste
generators include:
Obtaining an EPA ID number
Handling of hazardous waste before transport
Manifesting of hazardous
Recordkeeping and reporting
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CHAPTER 3
REGULATIONS APPLICABLE TO P. 1
TRANSPORTERS OF HAZARDOUS WASTE
OVERVIEW
TRANSPORTER
Transporters of hazardous waste are the critical link between
the generator and the ultimate off-site treatment, storage, or
disposal of hazardous waste. The transporter regulations
were developed jointly by EPA and the DOT to avoid
contradictory requirements coming from the two agencies.
Although the regulations are integrated, they are not
contained under the same Act. A transporter must comply
with the regulations under 49 CFR Parts 171-179 (The
Hazardous Materials Transportation Act) as well as those
under 40 CFR Part 263 (Subtitle C of RCRA). The
remainder of this section summarizes the Subtitle C
regulations applicable to transporters. Those readers
interested in getting a more complete picture should review
the DOT Regulations.
WHO ARE THE
TRANSPORTERS?
A Transporter is Defined as:
Any person engaged in the off-
site transportation of manifested
hazardous waste, by air, rail,
highway, or water.
REGULATORY
REQUIREMENTS FOR
TRANSPORTERS
A transporter under Subtitle C is defined as any person
engaged in the off-site transportation of manifested
hazardous waste within the United States. This definition
covers transport by air, rail, highway, or water.
Furthermore, transporter regulations do not apply to either
the on-site transportation of hazardous waste by generators
who have their own TSDs or to TSDs transporting wastes
within a facility.
Under certain circumstances a transporter of hazardous
waste may be subject to regulatory requirements other than
those contained in 40 CFR Part 263. Once a transporter
accepts hazardous waste from a generator or another
transporter he can store it at a transfer station for up to 10
days without being subject to any new regulations.
However, if the storage time exceeds 10 days, the
transporter is considered a storage facility and must comply
with the regulations for such a facility. In addition,
transporters who bring hazardous waste into the United
States or mix hazardous wastes of different DOT shipping
descriptions by placing them in the same container are
classified as generators, and must comply with the
regulations applicable to generators outlined in Chapter 2.
A transporter is subject to a number of regulations,
including ones for
Obtaining an EPA ID number
Complying with the manifest system
Dealing with hazardous waste discharges
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CHAPTER 3
REGULATIONS APPLICABLE TO p.
TRANSPORTERS OF HAZARDOUS WASTE
EPA ID NUMBER
THE MANIFEST
DEALING WITH HAZARDOUS
WASTE DISCHARGES
One way that the EPA keeps track of transporters is by
requiring each transportation company to obtain a unique ID
number from EPA. Without this ID the transporter is
forbidden from handling any hazardous waste.
Furthermore, a transporter may not accept waste from a
generator unless that generator has an EPA ID number.
The major responsibilities of the transporter in the manifest
system were discussed in Chapter 2. In summary the
transporter is required to deliver the entire quantity of waste
which he accepted from either the generator or another
transporter to the designated or alternate facility listed on the
manifest If the waste cannot be delivered as the manifest
directs, the transporter must inform the generator and
receive further instructions, e.g., return the waste or take it
to another facility. Before handing the waste over to a TSD
the transporter must have the TSD sign and date the
manifest. One copy of the manifest remains at the TSD
facility while the other stays with the transporter. The
transporter must retain a copy of the manifest for three years
from the date the hazardous waste was accepted by the initial
transporter.
Even if generators and transporters of hazardous waste
comply with all appropriate regulations, transporting
hazardous waste can still be dangerous. There is always the
possibility that an accident will occur. To deal with this
possibility, the regulations require transporters to take
immediate action to protect health and the environment if a
release occurs, e.g., notifying local authorities and/or diking
off the discharge area.
The regulations also give certain officials special authority to
deal with transportation accidents. Specifically, if a
Federal, State, or local official, with appropriate authority,
determines that the immediate removal of the waste is
necessary to protect human health or the environment, he
can authorize waste removal by a transporter who lacks an
EPA ID and without the use of a manifest.
SUMMARY
A transporter of hazardous waste must comply with both
DOT and EPA regulations. The regulations developed by
EPA require a transporter to:
Obtain an EPA ID number
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CHAPTERS REGULATIONS APPLICABLE TO P. 3
TRANSPORTERS OF HAZARDOUS WASTE
Comply with the manifest sytem
Deal with hazardous waste discharges.
Under certain circumstances a transporter of hazardous
waste may also be subject to Subtitle C generator
requirements.
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CHAPTER 4
REGULATIONS APPLICABLE TO TREATMENT,
STORAGE AND DISPOSAL FACILITIES
P. 1
OVERVIEW
TSD
FACILITIES
Treatment, storage and disposal facilities (TSDs) are the last
link in the cradle to grave hazardous waste management
system. Subtitle C requires all TSDs handling hazardous
waste to obtain a permit to operate (this is discussed in detail
in the following chapter) and abide by the treatment, storage
and disposal regulations. The TSD regulations establish
performance standards that owners and operators must apply
to minimize the release of hazardous waste into the
environment. Because treatment, storage, and disposal
involves many different types of facilities, e.g., a landfill or
aan incinerator, these regulations are far more extensive than
those just described for generators and transporters.
Due to HSWA, profound changes in the RCRA program
will occur in the near future which will affect disposal
practices. HSWA requires the Administrator to review,
according to a statutory schedule, dioxins, solvents,
"California wastes" and all listed hazardous wastes to
determine if they should be "banned" from land disposal.
This in turn will have an effect on overall TSD practices,
e.g., incineration may become the primary hazardous waste
disposal method. Readers of this manual should be aware
that these future determinations will have an impact on what
is described in this chapter.
WHAT IS A TSD?
The definition of a TSD, according to 40 CFR Part 260.10,
encompasses three different functions:
Treatment - means any method, technique or
process, including neutralization, designed to
change the physical, chemical or biological character
or composition of any hazardous waste so as to
neutralize it, or render it non-hazardous or less
hazardous, or to recover it, make it safer to
transport, store or dispose of or amenable for
recovery, storage or volume reduction.
Storage - means the holding of hazardous waste for
a temporary period, at the end of which the
hazardous waste is treated, disposed of or stored
elsewhere.
Disposal - means the discharge, deposit, injection,
dumping, spilling, leaking, or placing of any
solid waste or hazardous waste into or on any
land or water so that any constituent thereof may
enter the environment or be emitted into the air
or discharged into any waters, including ground
waters.
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CHAPTER 4
REGULATIONS APPLICABLE TO TREATMENT,
STORAGE AND DISPOSAL FACILITIES
p. 2
REGULATORY
REQUIREMENTS
Two Categories of TSDs:
Interim Status
Permitted
The Act establishes two categories of TSDs based on a
facilities status regarding a permit. The first category is
made up of "interim status" facilities. These are facilities
that have not obtained a permit. Although Section 3005(a)
of the Act specifies that only permitted facilities may
operate, Congress, in developing this requirement,
recognized that it would take many years for EPA to issue a
permit. Therefore, it established interim status, which
allows owners and operators of facilities in existence on
November 19, 1980 (or brought under regulation due to an
amendment), who meet certain conditions, to continue
operating as if they have a permit until their permit
application is issued or denied. The second category is
made up of facilities that have received a permit.
Under Section 3004(a) of the Act, EPA was required to
develop regulations for all TSDs. Although only one set
was required EPA developed two sets of regulations, one
set for interim status TSDs, the other for permitted TSDs.
The reason for developing two is that during the process of
developing TSD regulations, EPA determined that owners
and operators of facilities in interim status should meet only
a portion of the requirements permitted facilties must meet
The interim status standards, found in 40 CFR Part 265, are
primarily "good housekeeping practices" that owners and
operators must follow to properly manage hazardous wastes
during the interim status period. The permit standards, on
the other hand, found in 40 CFR Part 264, are "design and
operating" criteria that permit writers include in facility
specific permits.
The regulations interim status and permitted facilities must
abide by are discussed in the following section. The interim
status standards in Part 265 are discussed before the permit
standards found in Part 264 because, until all existing
facilties are permitted, the majority of facilities must meet
interim status standards while waiting to obtain a permit.
Both interim status and permit standards consist of two
parts:
Administrative and non-technical requirement
Technical requirements.
Because the administrative and non-technical requirements
are nearly identical for interim status and permit standards,
they are discussed together in the following section.
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CHAPTER 4
REGULATIONS APPLICABLE TO TREATMENT,
STORAGE AND DISPOSAL FACILITIES
P. 3
INTERIM STATUS AND
PERMIT ADMINISTRATIVE
AND TECHNICAL
REQUIREMENTS
However, the technical requirements for interim status and
permitted facilties are significantly different and discussed
separately. The organization of the remainder of this chapter
is broken into three sections. The first section described the
administrative and non-technical requirements for interim
status and permitted facilities. The second section describes
the technical requirements that apply to interim staus
facilities. Finally, the third section describes the technical
requirements that permitted facilities must comply with.
The purpose of the administrative and non-technical
requirements is to ensure that owners and operators of TSDs
establish the necessary procedures and plans to run a facility
properly and to handle any emergencies or accidents. They
are in Subparts A thru E of 40 CFR Parts 264 and 265 and
cover the subject areas shown below:
SUBPART A - WHO IS
SUBJECT TO THE
REGULATIONS?
Subpart Subject
A Who is subject to the Regulations?
B General Facility Standards
Waste Analysis
Security
Inspection
Training
Ignitable, reactive or incompatible
wastes
Location standards (permitted
facilities only)
C Preparedness and Prevention
D Contingency Plans and Emergency
Procedures
E Manifest System, Recordkeeping and
Reporting.
Subpart A outlines who is subject to the TSD regulations and
whether there are any circumstances under which a person is
excluded or only subject to limited requirements. In general,
all owners or operators of facilities treating, storing, or
disposing of hazardous wastes must meet the appropriate
TSD requirements. The exceptions to this include:
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CHAPTER 4 REGULATIONS APPLICABLE TO TREATMENT, p. 4
STORAGE AND DISPOSAL FACILITIES
A farmer disposing of pesticides
The owner or operator of a totally enclosed
treatment facility
The owner or operator of a neutralization unit or a
waste water treatment unit (publicly owned treatment
works that mix hazardous waste with other wastes
are regulated)
A person responding to a hazardous waste spill or
discharge
Facilities that reuse, recycle or reclaim hazardous
waste (persons who produce, bum and distribute
hazardous waste derived fuel and used oil recyclers
are regulated)
Generators (including small quanity generators)
accumulating wastes within the time periods
specified in Sections 3001 and 3002 of the Act
A transporter storing manifested shipments less than
ten days
A facility regulated by an authorized State program
(they are regulated by the State program instead of
the Federal program).
In addition, special conditions apply to owners and
operators of facilities regulated by other environmental acts,
(e.g., ocean disposal, underground injection). These
facilities need only meet minimum TSD requirements
because they are already regulated.
PFMFPAT Before handling any hazardous wastes, every facility owner
ITATT rrv CTA vnA^nc or operator must apply to EPA for an EPA identification
JAIIL.IIX aiAixuAKUfc number. They must also ensure that their wastes are
properly identified and handled, facilities are secure and
operating properly, and that personnel working at facilities
are trained in hazardous waste management. To satisfy these
conditions, owners and operators must:
Conduct Waste Analysis - Waste analyses are
conducted prior to treatment, storage and disposal to
ensure that owners or operators possess sufficient
nformation on the properties of the wastes they
manage to be able to treat, store, or dispose of them
in a manner which will not pose a
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CHAPTER 4
REGULATIONS APPLICABLE TO TREATMENT,
STORAGE AND DISPOSAL FACILITIES
p. 5
Security Measures
threat to human health or the environment The
regulations require owners and operators to perform
detailed chemical and physical analysis of their
wastes, to develop and follow a written waste
analysis plan that specifies test and test frequencies,
and to test any incoming wastes.
Install Security Measures
The security
Training
requirements were developed to prevent the
unknowing entry of people, and minimize the
potential for the unauthorized entry of people or
livestock onto the active portions of facilities. To
meet these security objectives an artificial or natural
barrier surrounding the active protion of the facility
with controlled entry systems or 24 hour surveillance
must be installed and warning signs posted. Owners
and operators must also take precautions to avoid
fires, explosions, generation of toxic gases and any
other events that would threaten human health,
safety, and the environment. There are two exempt
ions from these requirements: (1) if unauthorized or
unknowing entry will not result in injury, and (2) if
the disturbance of waste or equipment will not result
in environmental damage.
Conduct Inspections - The regulations require an
owner or operator to develop and follow a written
inspection schedule to assess the status of the facility
and detect potential problem areas. Any
observations made during the inspections are
recorded in the facility's operating log and records
kept on file for 3 years. Any problem areas found
must be remedied.
Conduct Training - The purpose of the training
requirements is to reduce the potential for mistakes
which might threaten human health or the
environment This is accomplished by ensuring that
facility personnel acquire expertise in the areas to
which they are assigned. The requirements specify
by when facility personnel must be trained, i.e., six
months after beginning a job, the records to be
maintained, and the minimum frequency with which
the initial training received by the employees must be
reviewed. Both on-the-job training and in-house
training programs may be used to meet the training
requirements.
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CHAPTER 4
REGULATIONS APPLICABLE TO TREATMENT,
STORAGE AND DISPOSAL FACILITIES
p. 6
SUBPARTS C & D -
PREPAREDNESS AND
PREVENTION AND
CONTINGENCY PLAN AND
EMERGENCY PROCEDURES
SUBPART E - MANIFEST
SYSTEM, RECORDKEEPING
AND REPORTING
Properly Manage Ignitable. Reactive or Incompatible
Wastes - In general, all ignitable or reactive wastes
must be protected from sources of ignition or
reaction or treated to remove the cause for concern.
Whichever treatment process is used, owners and
operators must make sure that it does not result
in damage to the containment structure
and/or threaten human health or the environ-
ment. Incompatible wastes also must not be
placed in the same containment structure
(container, tank, surface impoundment, landfill
cell or pit) if a reaction could occur.
Comply With Location Standards - These
requirements only apply to owners and
operators who are obtaining a permit for a
new facility. Current location standards
prohibit siting a new facility in a location where
flood or earthquakes could affect a waste
management unit, possibly causing wastes
to be released. HSWA calls for EPA to define
areas of vulnerable hydrogeology and to
develop criteria for acceptable facility
locations. Regulating the location of
existing facilities also must be considered.
These two subparts, originally grouped as one, were
developed to prepare for emergencies. The preparedness
and prevention rules are explicit facility requirements (e.g.
fire protection equipment, alarms and arrangements with
local authorities) intended to minimize the possibility and
effects of a release, fire or explosion. Contingency plan
requirements are the logical next step. They require an
owner or operator to develop an action plan for emergency
situations. One of the key requirements of this plan is the
designation of an emergency coordinator who is responsible
for directing response measures and reducing adverse
impacts of hazardous waste releases.
These regulations specify requirements concerning the return
of the manifest from the facility owner or operator to the
generator. These requirements form the last step in the
information loop initiated in the 40 CFR Part 262 manifest
requirements for generators.
Besides the manifest requirements, Subpart E also includes
requirements for recordkeeping and reporting including
operating records, biennial reports, unmanifested waste
reports and reports on releases, ground-water contamination
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HAPTER 4
REGULATIONS APPLICABLE TO TREATMENT,
STORAGE AND DISPOSAL FACILITIES
p. 7
sTTERIM STATUS
ECHNICAL REQUIREMENTS
ENERAL STANDARDS
SUBPART F - GROUND-WATER
MONITORING
Developing and Installing
a Monitoring System
and closure. Records and reports provide the regulating
authority information used in assessing compliance with the
hazardous waste regulations. They also provide facility
owners and operators, and local authorities, with
information which may be used in emergencies.
The objective of the interim status technical requirements is,
through "good housekeeping practices," to minimize the
potential for threats resulting from hazardous waste
treatment, storage and disposal. There are two groups of
requirements:
General standards that apply to several types of
facilities
Specific standards that apply to a waste management
method.
The general standards cover three areas:
(1) Ground-water monitoring (Subpart F)
(2) Closure, post closure (Subpart G)
(3) Financial requirements (Subpart H).
Ground-water monitoring is required of all owners or
operators of a surface impoundment, landfill, land treatment
facilities and some waste piles used to manage hazardous
waste. The purpose of these requirements is to assess the
impact of a facility on the ground-water beneath the facility.
Monitoring must be conducted for the life of the facility
except for land disposal facilities, which must continue
monitoring for up to 30 years after the facility has closed.
The interim status ground-water monitoring program
consists of:
(1) Development and installation of a monitoring system
(2) Background monitoring
(3) Routine monitoring and evaluation
(4) Conducting assessments.
The ground-water monitoring program outlined in the
regulations requires a monitoring system of four wells to be
installed, one upgradient from the waste management unit
and three downgradient. The downgradient wells must be
placed so as to intercept any waste migrating from the unit,
should it occur. The upgradient well must provide data on
ground-water before it could possibly be influenced by
waste from the waste management unit (called background
data). If the wells are properly located, comparison of data
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CHAPTER 4
REGULATIONS APPLICABLE TO TREATMENT,
STORAGE AND DISPOSAL FACILITIES
p. 8
Background Monitoring
Routine Monitoring
Assessment Program
from upgradient and dpwngradient wells should indicate if
contamination is occurring.
Once the wells have been installed the owner or operator
monitors the wells for one year to establish the background
concentration for selected chemicals. These data form the
basis for all future data comparisons. There are three sets of
parameters for which background concentrations are
established:
Drinking water parameters
Ground-water quality parameters
Ground-water contamination parameters
Following the establishment of background levels, routine
monitoring is begun. Routine monitoring examines ground-
water for elevated levels of indicator constituents which
suggest that contamination may be occurring. Semi-
annually, the wells must be sampled for the ground-water
contamination indicator parameters. Annually, they are
monitored for ground-water quality indicator parameters.
Drinking water parameters are not monitored routinely. The
results of routine monitoring are compared to the
background values and tested statistically to determine if
significant increases (or decreases in the case of pH) have
occurred in the indicator parameters. If comparisons show a
difference then the Regional Administrator must be notified
within seven days and an assessment program instituted.
Only when contamination is suspected does the owner or
operator implement a ground-water assessment program to
determine if hazardous waste is actually entering ground
water. The assessment program, based on a previously
developed plan, requires the owner or operator to determine
what is contaminating the ground water, the extent of
contamination, and the rate of the contaminant migration.
Within 15 days of conducting this assessment, a report on
ground-water quality must be submitted to the Regional
Administrator. If the results of the ground-water assessment
show no contamination by hazardous wastes, then the owner
or operator resumes routine monitoring for the indicator
parameters. However, if the assessment shows hazardous
waste contamination, then the owner or operator must
continue assessing the extent of ground-water contamination
quarterly until the facility is closed or further monitoring is
required as a results of the permitting process. If the
assessment was instituted during the period after a facility is
closed (during post-closure care), the owner or operator
need not continue assessing ground-water contamination
beyond the initial assessment
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CHAPTER 4
REGULATIONS APPLICABLE TO TREATMENT,
STORAGE AND DISPOSAL FACILITIES
P. 9
SUBPART G
CLOSURE, POST
CLOSURE
PHOTOGRAPH
Closure
Several ground-water monitoring reports are required.
During the first-year when initial background concentrations
are being established, a report on each quarterly well
analysis must be submitted. From the second year on, an
annual report must be submitted providing the results of
monitoring for:
Indicators of ground-water contamination
Well elevations
Changes in background levels
Ground-water contamination assessments.
All or part of the ground-water monitoring requirements
may be waived if the owner or operator can demonstrate that
there is a low potential for migration of hazardous waste
from the facility. An owner or operator may also use an
alternate ground-water monitoring system if, given the
facility's unique situation, the one in the regulations is not
capable of yielding unbiased samples.
Closure is the period after wastes are no longer accepted,
during which owners or operators complete treatment,
storage and disposal operations, apply final covers to or cap
landfills, and dispose of or decontaminate equipment,
structures and soil. Post-closure, which applies only to
disposal facilities, is the 30-year period after closure during
which owners or operators of disposal facilities conduct
monitoring and maintenance activities to preserve and look
after the integrity of the disposal system. The purpose of
these standards is to ensure mat all facilities are closed in a
manner that (1) minimizes the need for care after closure and
(2) controls, minimizes, or eliminates the escape of waste,
leachate, contaminated rainfall or waste decomposition
products to ground or surface waters and the atmosphere.
This section focuses on the general closure, post-closure
requirements.
An owner or operator must develop a plan for closing the
facility and keep it on file at the facility until closure is
completed and certified. This plan must include:
A description of how the facility will be closed
An estimate of the maximum waste inventory of the
facility
A description of the steps needed to decontaminate
equipment during closure
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CHAPTER 4 REGULATIONS APPLICABLE TO TREATMENT, p. 10
STORAGE AND DISPOSAL FACILITIES
An estimate of the final year of closure, and
A schedule for closure.
The plan may be amended at any time during the active life
of the facility. Furthermore, the plan must be amended
whenever design and operation changes occur which affect
the closure plan. Prior to closure the plan is submitted to the
Regional Administrator for approval. The Administrator, in
turn, must provide both the owner or operator, and the
public, an opportunity to comment on the plan. Following
the comment period, he or she must make a decision to
approve, modify or disapprove the plan. Closure activities
occur within a specified time, outlined in the regulations,
although the Regional Administrator may make changes.
During closure the owner or operator removes or
decontaminates all wastes, including equipment,
contaminated soil, and structures. If contaminated soil or
ground-water remains, the facility is closed and post-closure
care performed. Once closure is completed, the owner or
operator certifies that the facility has been properly closed.
As part of closure activities, a survey plat indicating the
location and dimensions of landfill cells or other disposal
areas is submitted to the local land authority and the Regional
Administrator after closure is complete. This plat serves the
purpose of preserving a record of the TSD that can be
referenced in future years. A notation on the deed to the
facility property must also be made to notify potential
purchasers of the property that the land was used to manage
hazardous waste.
Post-Closure Post-closure is required only for disposal facilities. When a
disposal facility is closed, it must be overseen for 30 years to
monitor the integrity of any waste containment systems and
to detect contamination . Post-closure care consists of at
least the following:
Groundwater monitoring and reporting
Maintenance and monitoring of waste containment
systems
Security.
Like the closure requirements, a post-closure plan outlining
activities is developed and kept at the facility until post-
closure care begins. This plan may be amended at any time,
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ICHAPTER 4 REGULATIONS APPLICABLE TO TREATMENT,
STORAGE AND DISPOSAL FACILITIES
p. 11
SUBPART H - FINANCIAL
REQUIREMENTS
Financial Assurance
and an amendment is required if there is any change that
affects the plan. Post-closure plans are submitted and
reviewed the same as closure plans.
Financial requirements were established to assure that funds
are available to pay for closing a facility, for rendering post-
closure care at disposal facilities and to compensate third
parties for bodily injury and property damage caused by
sudden and non-sudden accidents related to the facility's
operation (States and the Federal Government are exempted
from abiding by these requirements).
There are two kinds of financial requirements:
(1) financial assurance for closure/post-closure and
(2) liability coverage for injury and property damage.
The first step owners and operators must take in meeting the
financial assurance requirements is to prepare written cost
estimates for closing their facilities. If post-closure care is
required, a cost estimate for providing this care must also be
prepared. These cost estimates must reflect the actual cost
of conducting all the activities outlined in the closure and
post-closure plans and are adjusted annually for inflation.
The cost estimate for closure is based on the point in the
facility's operating life when closure would be the most
expensive. The cost estimate for post-closure, however, is
based on the annual cost of post-closure monitoring and
maintenance over the entire post-closure period.
Following the preparation of the cost estimates the owner or
operator must demonstrate to EPA the ability to pay the
estimated amounts. This is known as financial assurance.
Six mechanisms for guaranteeing financial assurance are
described in the regulations. These can be used
individually, and in some cases in combination, to assure
FJPA that funds are available for closure and post-closure
activities. All six mechanisms are adjusted annually for
inflation or more frequently if cost estimates change. The
six mechanisms are:
Trust Fund
Surety
Letter of Credit
Closure/Post-Closure Insurance
Financial Test
Corporate Guarantee for Closure.
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CHAPTER 4
REGULATIONS APPLICABLE TO TREATMENT,
STORAGE AND DISPOSAL FACILITIES
p. 12
Liability Coverage
Sudden Accidental Ocurrences
When an owner or operator selects a trust fund for financial
assurance, he is placing money into a special account.
Annual payments must be made into this account for either
20 years or the remaining operating life of the facility,
whichever is shorter. During this "pay-in" period, as it is
called, payment amounts must equal the current cost estimate
minus the current value of the trust fund, divided by the
number of years in the pay-in period. Thus, the trust fund
should contain a sum equal to the cost estimate at the end of
the pay-in period.
If a surety bonds, letter of credit or closure insurance is
selected as the assurance mechanism, the owner or operator
is purchasing a third-party guarantee that sufficient funds
will be available for closure/post-closure activities. The
corporate guarantee mechanism works on this same
principle. The parent company that owns the facility may
provide a written guarantee that sufficient funds are
available.
The last type of assurance mechanism works on yet a
different principle. The owner or operator of a facility can
assure, through means of a financial test, that sufficient
funds exist within the company to pay for closure/post-
closure activities. The financial test is also used to test the
financial strength of a parent company's "corporate
guarantee."
A facility may use State financial mechanisms to meet the
financial assurance requirements, if the Regional
Administrator determines that they are equivalent to those
just discussed. A State mechanism may be used exclusively
or in combination with the Federal mechanisms to achieve
die full level of assurance that is required.
An owner or operator is financially responsible or liable for
bodily injury and property damage to third parties caused by
a sudden accidental occurrence or a non-sudden accidental
occurrence due to operations at a facility. Sudden
occurrences are usually due to an accident, such as an
explosion or fire. Non-sudden occurrences take place over a
long period of time and include ground-water and surface- -
water contamination. Separate liability coverage for each of
these two types of occurrences must be obtained. A
summary of what is required is discussed below.
An owner or operator of a treatment, storage or disposal
facility, or a group of facilities, must have liability coverage
for at least $1 million per occurrence with an annual
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CHAPTER 4
REGULATIONS APPLICABLE TO TREATMENT,
STORAGE AND DISPOSAL FACILITIES
p. 13
Non-Sudden Accidental Occurences
SPECIFIC STANDARDS
aggregate of at least $2 million, exclusive of legal defense
costs. This liability coverage may be demonstrated in one of
three ways, by:
Obtaining liability insurance
Passing a financial test
Using both the financial test and insurance.
Only an owner or operator of a surface impoundment,
landfill, land treatment facility, or group of such facilities,
must maintain liability for non-sudden accidental
occurrences. He or she must maintain at least $3 million per
occurrence with an annual aggregate of at least $6 million,
exclusive of legal defense costs. Liability coverage may be
demonstrated in the same three ways as sudden liability is
demonstrated.
This section of the regulations, covering Subparts I through
R of Part 265, consists of requirements tailored to ten
specific waste management methods:
Containers
Tanks
Surface impoundments
Waste piles
Land treatment
Landfills
Incinerators
Thermal treatment
Chemical, physical, biological treatment
Underground injection.
While the requirements are facility-specific, there are
common elements in each of them. These are:
Waste analysis
Monitoring and inspection
Closure/post-closure
Recordkeeping
Special requirements for ignitable, reactive and
incompatible wastes
General operating requirements.
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CHAPTER 4
REGULATIONS APPLICABLE TO TREATMENT,
STORAGE AND DISPOSAL FACILITIES
p. 14
SUBPART I - CONTAINERS
PHOTOGRAPH
The first five elements have the same objectives as the
corresponding general standards discussed earlier,
except that additional requirements have been added to the
specific standards for each waste management method, e.g.,
an owner or operator of a tank, in addition to developing an
inspection plan, must specifically inspect the tank for cracks
or signs of leakage. These method-specific requirements are
beyond the scope of an orientation manual, but are delineated
in the regulations (40 CFR Part 265, Subparts I through P).
However, the last element, general operating requirements,
has no equivalent in the general standards section of the
regulations.
The general operating requirements specify operating
procedures for each waste management method. These
operating procedures are the tools used by EPA to assure
that wastes are properly managed and thus are key to the
interim status requirements. Thus, the operating
requirements for each of the ten waste management types,
with other unique requirements, are discussed in this
section.
Drums and containers are an inexpensive method of
accumulating and storing wastes and are frequently used. In
the past, persons using waste drums sometimes simply put
them somewhere out of sight, without any further concern
about what would eventually happen to the wastes. The
drums eventually weathered and corroded, releasing their
contents and posing threats to human health and the
environment . EPA recognized that elementary and
straightforward precautions eliminated these problems. The
container regulations require nothing more than simple
management practices, including:
Using containers in good condition. Wastes in
leaking or damaged containers must be
recontainerized.
Assuring the compatability of the waste with the
container. This is to prevent impairing the ability of
the container to hold wastes.
Handling containers properly to prevent ruptures and
leaks. This includes keeping them closed to prevent
spills, ignition, reaction or mixing of incompatible
wastes and contact of facility personnel with the
waste.
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CHAPTER 4
REGULATIONS APPLICABLE TO TREATMENT,
STORAGE AND DISPOSAL FACILITIES
p. 15
SUBPART J - TANKS
SUBPART K- SURFACE
IMPOUNDMENTS
PHOTOGRAPH
Inspections to assess container condition.
Tanks, which are stationary devices designed to contain an
accumulation of hazardous waste and constructed primarily
of non-earthen materials, are regulated similarly to
containers. Persons using them either to store or treat avoid
leaks, ruptures, spills and corrosion. This includes using
freeboard or a containment structure (e.g., dike or trench) to
prevent and contain escaping wastes and a shutoff or bypass
sytem to stop liquid from flowing into a leaking tank.
A surface impoundment is a depression or diked area (e.g.,
pond, pit or lagoon) used for storage, treatment and
disposal, with the following characteristics:
Open on the surface
Designed to hold an accumulation of hazardous
waste in liquid or semisolid form.
Great concern has arisen regarding the use of surface
impoundments for managing hazardous wastes because
wastes deposited in them tend to escape. The pressure of the
liquids forces the contents to flow downwards into
surrounding areas, resulting in contamination, especially of
subsurface waters. The initial requirements established for
surface impoundments in interim status were not adequate to
prevent contamination. They concentrated on general
operating requirements to prevent overtopping (2 feet of
freeboard was required) and containment of the liquid (dikes
were required to have protective covers, such as grass or
rock to preserve their structural integrity). Liners to prevent
leakage and ground-water monitoring were not required
because it was deemed impractical and infeasible by EPA for
all surface impoundments to be retrofitted for the duration of
the interim period before permitting. Congress, however,
established minimum technological requirements for interim
status surface impoundments in HSWA. These
requirements beef up the level of protection surface
impoundments must operate with. Existing surface
impoundments in interim status must retrofit and install
double liners, leachate collection systems and monitor for
ground-water contamination by November 8, 1988 or stop
receiving, treating or storing hazardous waste. New,
replacement, or lateral expansion units are subject to the
minimum technological requirements beginingMay 8,1985.
Owners and operators may apply for variances from these
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CHAPTER 4
REGULATIONS APPLICABLE TO TREATMENT,
STORAGE AND DISPOSAL FACILITIES
p. 16
SUBPART L - WASTE PILES
SUBPART M - LAND TREATMENT
PHOTOGRAPH
requirements if their impoundments are not located within
1/4 mile of a drinking water well, and have at least one liner
(not clay) that is not leaking and is in compliance with the
Part 264 ground-water monitoring requirements. Other
variances include certain wastewater treatment
impoundments, impoundments designed, located and
operated to prevent leakage, and impoundments in the
process of retrofitting due to enforcement action. If any of
the exempted impoundments are likely to leak or begin to
leak, they must be retrofitted to meet the minimum
requirements.
An owner or operator of a waste pile, used for treatment or
storage of a non-containerized accumulation of solid, non-
flowing hazardous waste, is given a choice regarding
management requirements. He or she may comply with
either the waste pile requirements or the landfill
requirements. The requirements for managing storage and
treatment waste piles involve protecting the pile from wind
and if hazardous leachate or run-off is generated, control
systems must be constructed, operated and maintained.
Waste piles used for disposal, however, must comply with
the requirement for lanfills.
Land treatment, the process of using the land or soil as a
medium to simultaneously treat and dispose of hazardous
waste, is regulated beyond just general management
standards because this disposal option presents potential
risks in the absence of operational controls. These risks
arise from the fact that land treatment involves the direct
application of hazardous waste to the land surface.
An owner or operator may not place hazardous waste in or
on a land treatment facility unless the waste can be made less
hazardous or non-hazardous. Run-on and run-off collection
and management systems must also be installed at the unit.
Monitoring of the soil beneath the treatment area and
comparing it to data on background concentrations of
constituents in untreated soils are required to detect vertical
migration of hazardous wastes. In addition, waste analyses
must be conducted prior to placing wastes in or on the land
to determine:
If any substance in the waste is EP Toxic
The concentration of hazardous waste constituents
The concentration of arsenic, cadmium, lead and
mercury if food-chain crops are grown on the land.
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CHAPTER 4
REGULATIONS APPLICABLE TO TREATMENT,
STORAGE AND DISPOSAL FACILITIES
p. 17
SUBPART N - LANDFILLS
PHOTOGRAPH
The requirements prohibit growing food-chain crops in a
treated area containing arsenic, cadmium, lead, mercury and
other hazardous constituents unless it is demonstrated that
they would not be transferred to the food portion of the crop
or occur in concentrations greater than in identical groups
grown on untreated soil in the same region.
The owner or operator must continue to monitor soil,
maintain run-on and run-off management systems and
control wind dispersal after closure. In addition, access to
the treatment unit must be restricted. If food-chain crops are
grown during post-closure they must be raised in accordance
with the requirements established in the regulations.
Landfilling historically was the cheapest ~ and thus
preferred means of disposing of hazardous waste. Until
the last decade, practices often focused only on burying the
waste to get it out of sight and on control of surface
problems such as blowing litter. Experiences at Love Canal
in New York and other burial operations have demonstrated
the potential for severe human health and environmental
impacts from improper landfilling.
Many argue that, since many of these wastes remain
hazardous for very long periods, they should not be
landfilled at all. EPA agrees in principle that it is better to
destroy or recycle hazardous wastes than to landfill them,
but the fact remains that, for the foreseeable future, land
disposal will be necessary because it is technically infeasible
at present to recycle, treat, or destroy all hazardous waste. A
number of techniques, however, are available for reducing
the adverse health and environmental effects from landfills.
The problems which hazardous waste landfills have
presented ~ and that interim status standards address ~ can
be divided into two broad classes. The first class includes
fires, explosions, production of toxic fumes, and similar
problems resulting from the improper management of
ignitable, reactive, and incompatible wastes. To deal with
these problems, owners and operators are required to
analyze their wastes to provide enough information for their
proper management. They must also control the mixing of
incompatible wastes in landfill cells. Ignitable and reactive
wastes may only be landfilled when they are rendered not
ignitable or reactive.
The second problem, is contamination of surface and
ground waters. The measures incorporated in the interim
status regulations are diversion of "run-on" (water flowing
over the ground onto active portions of the facility) away
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CHAPTER 4 REGULATIONS APPLICABLE TO TREATMENT, p. 18
STORAGE AND DISPOSAL FACILITIES
from the active face of the landfill; treatment of any liquid
wastes or semi-solid wastes so that they do not contain free
liquids; proper closure (including a cover) and post-closure
care to control erosion and the infiltration of rainfall; and
crushing or shredding most landfilled containers so that they
cannot later collapse and lead to subsidence and cracking of
the cover. In addition, these regulations require ground-
water monitoring to detect contamination of ground water,
and collection of rainwater and other run-off from the active
face of the landfill to control surface water pollution.
Segregation of wastes, such as acids, which would
mobilize, solubilize, or dissolve other wastes or waste
constituents, such as heavy metals also is required.
Following promulgation of the interim status regulations,
Congress determined that existing requirements for land
disposal (both interim and permit), were inadequate to
protect health and the environment and adopted the position
of discouraging land disposal. This stance is reflected in
HSWA. Specifically, no bulk or non-containerized liquid
hazardous waste, non-hazardous waste or hazardous waste
containing free liquids is allowed in a landfill. This is to
prevent the formation of hazardous leachate that could
migrate and cause surface- or ground-water contamination.
An exemption on disposing of non-hazardous liquids may be
obtained if the only reasonably available disposal method for
such liquids is a landfill or unlined surface impoundment
which may already contain hazardous wastes and which will
not present a risk of contamination to underground sources
of drinking water. Containers holding free liquids also can
not be placed in the landfill unless the liquid has been
solidified or decanted, or the container is very small, e.g., an
ampule. Small containers in overpacked drums containing
liquids (lab packs) may be placed in a landfill if properly
prepared.
Furthermore, under HSWA, interim status landfills that are
expanded or replaced are now subject to requirements for
double liners and leachate collection. Landfills that received
wastes after July 26, 1982, must now also conduct ground-
water monitoring, unsaturated zone monitoring and
clean up any contamination that is found at the facility.
SUBPART O - INCINERATORS Incineration, the thermal destruction of primarily organic
hazardous waste using flame combustion, can reduce large
volumes of waste materials to non-toxic gaseous emissions.
The technical performance and design requirements for
incineration usually requires substantial upgrading, which
EPA deamed infeasible for facilities in interim status. As a
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CHAPTER 4
REGULATIONS APPLICABLE TO TREATMENT,
STORAGE AND DISPOSAL FACILITIES
p. 19
SUBPART P - THERMAL
TREATMENT
SUBPART Q - CHEMICAL,
PHYSICAL AND BIOLOGICAL
TREATMENT
SUBPART R
UNDERGROUND
INJECTION
PERMIT STANDARDS
TECHNICAL REQUIREMENTS
result, the interim status incinerator requirements are only
general operating methods, including:
Achieving normal steady-state combustion conditions
before wastes are introduced
Combustion and emission monitoring.
Incineration is only one type of management process that can
be used to thermally treat hazardous waste. Less
conventional methods, such as molten salt pyrolysis,
calcination, wet air oxidation, and microwave discharge, are
regulated under this subsection. Owners or operators who
thermally treat hazardous wastes (other than incinerators)
must operate the unit following the same requirements
applied to an incinerator. The difference is that the thermal
treatment standards prohibit open burning of hazardous
waste except for the detonation of explosives.
Treatment, although most frequently conducted in tanks,
surface impoundments, land treatment facilities and
incinerators can also be conducted in other types of
equipment by processes such as distillation, centrifugation,
reverse osmosis, ion exchange, and filtration. Because there
are many different types of possible processes, and because
the processes are frequently waste-specific, EPA has not
attempted to develop detailed regulations for any particular
type of process or equipment. Instead, general requirements
have been established to assure safe containment of
hazardous wastes. In most respects, these other treatment
methods are very similar to using tanks for treatment,
therefore, they are essentially regulated the same way. The
requirements that must be met concern avoiding equipment
or process failure that could pose a hazard. Reagents or
wastes that could cause equipment or a process to fail must
not be used in treatment. In addition, safety systems to shut
down waste inflow in case of a malfunction must also be
installed in continuous flow operations.
Underground injection is the placement of fluids
underground, through a well, for disposal. Specific
requirements for owners and operators of underground
injection facilities have not been established under RCRA.
Owners and operators of these facilities are not required to
meet RCRA ground-water and financial requirements.
The permitting standards go beyond the general management
practices of interim status standards, especially in two areas:
1) They require an owner or operator to take corrective
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CHAPTER 4
REGULATIONS APPLICABLE TO TREATMENT,
STORAGE AND DISPOSAL FACILITIES
p. 20
GENERAL STANDARDS
GROUND-WATER PROTECTION
PHOTOGRAPH
action if ground-water contamination is detected and, 2) they
compel the owners and operators of the different waste
management methods to design their management units to
prevent the release of hazardous waste. The permit standards
in 40 CFR Part 264 also differ from the interim status
standards in that they are only blueprint for the requirements
applied to the different waste management units. The
specific requirements an owner or operator must comply
with are developed for each facility by permit writers, based
on their "best engineering judgment" and the stipulations of
Part 264and documented in ther permit itself. For example,
ground-water monitoring requirements are found in Part 264
but the actual parameters that must be monitored are
specified in each permit. Because many of the interim status
requirements carry over as permit requirements, the
following section describes only those major provisions of
Part 264 that are not found in, or differ from, Part 265.
Note that there are no corresponding Part 264 facility
specific requirements for underground injection, and
thermal, chemical, physical and biological treatment.
The ground-water protection requirements for permitted
facilities are more specific than those found under interim
status although they apply to the same TSD units (surface
impoundments, waste piles, land treatment units and
landfills). They also differ by requiring the owner or
operator to clean up any ground-water contamination .
There are three parts to the ground-water requirements, a
detection monitoring program: a compliance monitoring
program and a corrective action program.
Detection monitoring is conducted to determine if hazardous
wastes are leaking from a TSD. Detection activities are
similar to those outlined under interim status, including
background monitoring and semi-annual monitoring for
indicator parameters. Monitoring is conducted at a
compliance point specified in the permit. This point is
located at the edge of the waste management area, best
envisioned as an imaginary line on the outer limit of one or a
group of disposal units. The indicator parameters and
constituents mat must be monitored are specified in the
permit. If leakage is detected, then the owner or operator
must institute a compliance monitoring program.
The objective of the compliance monitoring program is to
evaluate the concentration of certain hazardous constituents
in ground water to determine if ground-water contamination
is occurring. Each permit specifies constituents, and their
concentration limits, for which owners and operators must
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CHAPTER 4
REGULATIONS APPLICABLE TO TREATMENT,
STORAGE AND DISPOSAL FACILITIES
p. 21
FACILITY-SPECIFIC
STANDARDS
CONTAINERS AND TANKS
SURFACE IMPOUNDMENTS
monitor. The constituents are those selected from Appendix
VIE of Part 261 that could possibly originate from the TSD
unit. The concentration limits are:
Background levels
The values in Table 1 of Part 264.94, or
An alternate concentration limit (ACL) established by
the Regional Administrator.
If compliance monitoring indicates any statistically
significant increase in the concentration limits for those
hazardous constituents specified in the permit, then
corrective action must be instituted.
The objective of the corrective action program is to bring the
facility contaminating ground water into compliance. This is
achieved by the owner or operator removing the hazardous
waste constituents from the groundwater or treating the
ground water in place. The permit details the specific actions
to be taken to remove the contamination.
Permit requirements for containers and tanks are very similar
to the interim status requirements, with the following
exceptions:
Containers must be placed in a containment system
that is capable of containing leaks and spills. This
system must have sufficient capacity to contain 10%
of the volume of all containers or the volume of the
largest container, which ever is greater.
When closing a container, all hazardous waste and
hazardous waste residues must be removed. In
addition, any contaminated equipment or soil must be
decontaminated or removed.
Tanks must be designed and constructed of sufficient
strength and have adequate controls to assure that
they do not collapse or rupture. The design of tanks
is reviewed by EPA to assure that tank shell
thickness follows prescribed design standards.
HSWA established minimum technology standards for land
disposal facilities that are more stringent than those for other
facilities, because existing requirements were considered
inadequate to prevent hazardous waste contamination.
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REGULATIONS APPLICABLE TO TREATMENT,
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p. 22
WASTE PILES
PHOTOGRAPH
Surface impoundments permitted after November 8, 1984,
including replacement units and lateral expansions, must
install double liners, leachate collection systems and monitor
groundwater. Waivers from this requirement are allowed if
the owner or operator can show that an alternate design or
location is as effective as the liners and leachate collection
system. Monpfills containing foundry wastes and meeting
certain conditions may also be issued a waiver. (HSWA
also deleted variances from ground-water monitoring
standards for certain double-lined impoundments.)
In addition to the new HSWA requirements for surface
impoundments, the old requirements calling for proper
design, construction and operation still apply. This includes
preventing liquids from escaping from the top (overfilling,
run-on), sides (dikes) or bottom (liners). Liners must be
constructed properly, of appropriate materials and thickness.
During construction and installation, liners and cover
systems must be inspected for uniformity, damage, and
imperfections. After installation all units must be examined
weekly to ensure that the integrity of the unit is maintained
and that no potentially hazardous situations have developed.
If the liquid in a surface impoundment suddenly drops for no
apparent reason or a dike leaks, the surface impoundment
must be removed from service and, if the leak cannot be
stopped, the impoundment must be emptied.
The closure and post-closure specifications for surface
impoundments include detailed requirements to remove or
decontaminate all waste residues and properly cover and
maintain the impoundment to prevent the migration of liquids
through the closed impoundment.
Unlike waste piles regulated under interim status, permitted
waste piles must have a liner designed and constructed to
prevent any migration of wastes out of the pile into adjacent
soil or waters. A leachate collection system immediately
above the liner also must be installed. A waste pile that is
covered or protected so that neither run-off or leachate is
generated, however, does not have to meet these
requirements.
HSWA changed two requirements for waste
piles. Whereas previously double-lined piles could, under
certain conditions, be exempted from ground-water
protection requirements, this is no longer the case. A waiver
may still be granted if the waste pile is "an engineered
structure" which the Administrator finds does not receive or
contain liquid waste, excludes liquids and has multiple leak
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REGULATIONS APPLICABLE TO TREATMENT,
STORAGE AND DISPOSAL FACILITIES
p. 23
LAND TREATMENT
LANDFILLS
Landfills
INCINERATOR REQUIREMENTS
detection systems which prevent waste migration. Second,
HSWA requires new waste piles, to install an approved leak
detection system.
These standards require an owner or operator to establish a
land treatment program ensure that hazardous constituents
placed in or on the treatment zone are degraded, transformed
or immobilized within the treatment zone. The elements of
this program are specified in the permit, including:
Which wastes can be treated
Design and maintenance of the land treatment unit to
maximize treatment
Soil monitoring
The hazardous constituents that must be degraded,
transformed or immobilized by treatment
Size of the treatment zone.
A treatment demonstration prior to the application of wastes
must be conducted to verify that the hazardous constituents
are treated by the unit
Landfills, like surface impoundments, are regulated closely
because of the potential impacts they may have on the
environment. HSWA, as mentioned earlier, added several
provisions that owners or operators of landfills must meet.
Similar to surface impoundments, a new landfill unit
(including expansions or replacements) must install two or
more liners, two leachate collection systems (one above and
one between liners) and conduct ground-water monitoring.
The variance from ground-water requirements is the same as
that described under surface impoundments and waste piles,
that is only engineered structures that exclude liquids and do
not allow liquid migration may be considered.
Another HSWA amendment affecting landfills is the "liquids
in landfills restriction." Free, containerized or adsorbed
liquids (both hazardous and non-hazardous) are prohibited
from placement in a landfill unless the only reasonable
alternative for disposing of non-hazardous liquids is a non-
Subtitle C landfill or unlined impoundment that contains or
may contain hazardous waste.
By either conducting a trial burn or using alternate data, an
owner or operator must determine the operating methods for
the incinerator that will result in it meeting the following
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REGULATIONS APPLICABLE TO TREATMENT,
STORAGE AND DISPOSAL FACILITIES
p. 24
Incinerators
performance standards:
99.99% of each principal organic hazardous (POHC)
constituent POHC specified in the permit must be
destroyed or removed by the incinerator.
Hydrogen chloride (HCL) emissions must be
limited.
Particulate emissions must be limited.
The permit will specify the composition of waste feed that
may be incinerated. Different waste feeds may be
incinerated only if a new permit or permit modification is
obtained. In addition, to realize the required destruction
rates, an incinerator may only be fed hazardous waste once it
has achieved normal operating conditions. While incinerating
hazardous wastes, the combustion process and equipment
must be monitored and inspected to avoid potential accidents
or incomplete combustion. The Regional Administrator may
also ask for a sampling of the waste and exhaust emissions
to verify that the operating requirements in the permit result
in the incinerator meeting the performance standards.
SUMMARY
Treatment, storage and disposal facilities (TSD's) are the last
link in the cradel to grave hazardous waste management
system. TSDs in order to handle hazardous wastes must
obtain a permit and abide by TSD regulations.
TSDs fall into two categories, those:
In interim status
That are permitted
Interim status was developed by Congress to allow certain
owners and operators of facilities in existence on November
19, 1980 (or brought under regulation after this date due to
an amendment), to continue operating as if they have a
permit until their permit application is issued or denied.
There are two sets of TSD regulations:
Interim Status Standards - These are "good
housekeeping" requirements e.g. tanks should
be used properly.
Permit Standards - These are facility specific
"design and operating" requirements incorporated
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CHAPTER 4 REGULATIONS APPLICABLE TO TREATMENT, p. 25
STORAGE AND DISPOSAL FACILITIES
into the permit, e.g.tanks storing hazardous
waste must be designed to industry
specifications. The permit standard
language in the regulations is general
and serves as a guideline for permit writers
in setting the specific design and operating
requirements through "best engineering
judgement".
Both TSD regulations are composed of:
Administrative and Non-Technical
Requirements - These ensure that owners
or operators of TSDs establish the neces-
sary procedures and plans to run a
facility properly and to handle any
emergencies or accidents. They cover:
- Who is subject to the regulations?
- General Facility Standards
- Preparedness and Prevention
- Contingency Plans and Emergency
Procedures
- Manifest System, Recordkeeping
and Reporting
Technical Requirements - These ensure that
owners or operators operate TSDs in a way
that minimizes the potential for threats to
human health and the environment.
Technical requirements are further broken
down into
- General standards that apply to several
types of facilities, covering:
Ground-water monitoring
Closure/Post closure
Financial requirements
- Specific standards that apply to a waste
management method, covering:
Containers
Tanks
Surface impoundments
Waste piles
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CHAPTER 4 REGULATIONS APPLICABLE TO TREATMENT, p. 26
STORAGE AND DISPOSAL FACILITIES
Land treatment
Landfills
Incinerators
Thermal treatment
(Interim status standards only)
Chemical, physical, biological
treatment
Underground injection.
(Interim status standards only)
HSWA requires the Administrator to examine all listed
hazardous wastes and some others, to determine if any
should be banned from land disposal. This determination is
currently underway and will likely have an impact on future
TSD practices.
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OVERVIEW
Owners or operators of TSDs are required to obtain a permit
to operate a hazardous waste management facility. Permits
identify the administrative and technical performance
standards which facilities must adhere to. Since all TSDs
are required to have one, a permit is the key to implementing
the regulations established under Subtitle C.
RCRA permits can be issued by EPA or an authorized State.
Whether administered by EPA or a State, the permitting
program must meet EPA standards. Indeed, one of the
requirements for a State program is that it be equivalent to,
no less stringent man, and consistent with the Federal
program. Therefore, although this section describes
permitting as a Federally run program, the procedures
outlined apply equally to permitting programs run by
authorized States. States may, however, impose regulatory
requirements that are more stringent than the Federal
program.
This section covers the entire permitting process including
the:
Universe of TSDs subject to the permitting
requirements of Subtitle C
Steps involved in permitting a TSD
Changes in the permitting process that occurred as a
result of HSWA.
WHO NEEDS A PERMIT?
Owners or operators of existing or new facilities that treat,
store, or dispose of hazardous waste must obtain an
operating permit under Subtitle C. There are, however,
some exclusions to this requirement These include:
Generators who store waste on-site in tanks or
containers for less than 90 days
Fanners who dispose of their own (hazardous)
pesticides on-site
Small quantity generators
Owners or operators of totally enclosed treatment
facilities
Owners or operators of wastewater treatment units
(tanks) and elementary neutralization units (tanks
or containers)
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SPECIAL SITUATIONS
OTHER ENVIRONMENTAL
LAWS
Transporters who store manifested wastes at a
transfer facility for less than 10 days
Persons adding absorbent material to waste in a
container and persons adding waste to absorbent
material in a container, provided that these actions
occur at the time waste is first placed in the container
Owners or operators of solid waste disposal facilities
provided they only handle small quantity generator
waste.
Note that if any of the individuals listed above treat, store, or
dispose of hazardous waste in a manner not covered by the
exclusion, they are subject to permitting for that activity.
Another group exempted from RCRA's permitting
regulations are those individuals involved in an emergency
situation, e.g., an accidental spill. In such a situation there
is often insufficient time to obtain a RCRA permit for
treatment or containment activities before taking necessary
action. If treatment or containment activities are continued
or initiated after the immediate response is complete, the
person performing these activities is subject to all applicable
Subtitle C permitting regulations.
Included among the ranks of facility owners or operators
required to obtain a permit under Subtitle C are three groups
eligible for unique permits. These groups include owners or
operators that:
Have a permit under certain other environmental
laws
May have to respond to a situation which threatens
human health or the environment
Have just constructed an incinerator or a land
treatment facility.
The EPA issues permits under a number of different laws.
In some instances the requirements of one statute's
permitting regulations are quite similar to those in another
statute. To avoid duplication EPA has tried to abbreviate the
application process for facilities that need to be permitted
under two statutes. This is done through a permit-by-rule.
A permit-by-rule eliminates the need for facilities to submit a
full Subtitle C permit application when they are permitted
under one of the statutes listed below:
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PERMITTING
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PERMIT-BY-RULE
EMERGENCIES
NEW INCINERATOR,
LAND TREATMENT
FACILITY
Safe Drinking Water Act (Underground Injection
Control permit)
Clean Water Act (National Pollutant Discharge
Elimination System permit)
Marine Protection, Research, and Sanctuaries Act
(Ocean Dumping Permit).
Facilities seeking a RCRA permit that are in compliance with
one of the three permits listed above need meet only a few
additional Subtitle C regulatory requirements to receive a
RCRA permit. For example, an owner or operator of a
barge or vessel that has an ocean dumping permit, and
complies with the appropriate conditions under Subtitle C
(e.g., obtaining an EPA ID no., use of the manifest system,
and biennial reporting), will be permitted under RCRA.
Second, in potentially dangerous situations EPA can forgo
the normal permitting process. Specifically, when there is
"imminent and substantial endangerment to human health or
the environment" a temporary (90 days or less) emergency
permit can be issued to a:
Non-permitted facility for the storage, treatment, or
disposal of hazardous waste
Permitted facility for the storage, treatment, or
disposal of hazardous waste not covered by the
existing permit.
Third, EPA issues permits to construct and operate new
hazardous waste management facilities. Such facilities
cannot be constructed until a permit is issued. There is,
however, an exception to this rule. Land treatment facilities
and incinerators may go through a trial period during which
their ability to perform properly under operating conditions
is tested. This period is called a trial burn for incinerators
and a land treatment demonstration for land treatment
facilities. Owners or operators of these two types of
facilities are required to obtain temporary permits that are
enforced while me facility is being tested. Once the facility
adequately completes its test the owner or operator can apply
to modify its permit to set the final operating conditions
based on the data generated from these demostrations.
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THE PERMIT PROCESS
All hazardous waste TSDs required to get a permit under
Subtitle C go through the same basic permitting process,
with the exception of facilities issued a permit-by-rule or an
emergency permit. This process includes the following five
steps:
1) Submittal of a permit application
2) Administrative review of the permit application
3) Preparing the draft permit
4) Taking public comment and finalizing a permit
5) Modifying, maintaining, and terminating a permit
Figure 5.1 graphically illustrates the permitting process.
THE PERMIT APPLICATION
o
Owners or operators of facilities that fall under the
permitting regulations are required to submit a
comprehensive permit application that covers all aspects of
the design, operation, and maintenance of the facility.
Through the permit application, EPA or an authorized State
receives valuable information which is used to determine
whether the facility is in compliance with Subtitle C
regulations and for developing a facility-specific permit.
The permit application is divided into two parts, A and B.
Part A of the application is a short standard form that collects
general information about a facility, e.g., name of the
applicant, and a description of the activities conducted at the
facility (a sample Part A is shown in Appendix B).
Submittal of the Part B is the first step in the permitting
process. Existing facilities (ones in operation or in the
construction phase prior to November 19, 1980) submitted
their Part A when applying for interim status. New facilities
(ones commencing operations or construction after
November 19, 1980) submit their Part A in conjunction
with Part B of the permit application.
The Part B is the key to the permitting process. A facility
must submit and have the Part B approved prior to receiving
a permit Part B of the permit application requires the owner
or operator to supply detailed and highly technical
information, e.g., chemical and physical analyses of the
hazardous waste to be handled at the facility. Since there is
no standard form for a Part B, the owner or operator must
Figure 5.1
Permit Issuance Process
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p. 5
PERMIT REQUIREMENTS
(PART 270)
Treatment, Storage, Disposal Facilities
EXISTING FA
PART A + PARTB
NEW FACILE
PART A & B
.CILITIES
_ PERMIT
APPLICATION
PIES
_ PERMIT
APPLICATION
rely on the regulations (40 CFR Part 270 and 264) to
determine what to include in this piece of the application. In
addition to the general Part B information that must be
submitted by all owners or operators of TSDs, there are
unique information requirements that are tied to the type of
facility in question.
The timing of the Part B submittal is a function of the
evolution of RCRA's regulations. Prior to HSWA there
were two means of initiating the Part B processan owner
or operator under interim status could voluntarily submit a
Part B or the Part B could be "called in" by EPA in
accordance with an Agency schedule.
Due to the small number of permits issued prior to HSWA,
Congress decided that it was necessary to implement a
statutory timetable for Part B submittals. This timetable is
included in HSWA and summarized in Figure 5.2. Those
facilities which fail to meet the call-in deadline, face losing
their interim status and therefore must close.
Type of FacUity
Land disposal
facility
Incinerator
Other than a land
disposal facility
or incinerator
Loses Interim
Status on
Nov. 8, 1985
Nov. 8, 1989
Nov. 8, 1992
Unless It Submits
Part B by
Nov. 8, 1985
Nov. 8, 1986
Nov. 8, 1988
Under HSWA another group of facilities can obtain interim
status, thus allowing them to submit their Part A and Part B
separately. Specifically, any TSD that comes under the
jurisdiction of Subtitle C due to statutory or regulatory
changes must submit its Part A as soon as it becomes subject
to the new requirements. The Part B for such facilities can
be voluntarily submitted or called in by EPA. There is a
special timetable for land disposal facilities that come under
the jurisdiction of Subtitle C in this manner. They must
apply for a Part B within 12 months of becoming subject to
Subtitle C requirements or lose interim status.
A new facility cannot obtain interim status. Thus, any
owner or operator who intends to build a new facility must
submit both Parts A and B of the permit application
simultaneously, at least 180 days prior to the date on which
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PERMITTING
p. 6
ADMINISTRATIVE REVIEW
OF THE PERMIT
APPLICATION
PART B
OK
INFO MISSING
NOTICE OF
DEFICIENCY
Confidentiality of
Information
Evaluating the
Permit Application
physical construction is expected to start. The reason for
this pre-construction ban is twofold. First, by not allowing
the owner or operator to obtain interim status, EPA does not
have to enforce environmental standards that are less
stringent than those enforced at permitted facilities. Second,
by requiring submittal of Parts A and B prior to
construction, the owner or operator does not risk losing a
substantial financial investment by building a facility mat
fails to receive a permit
Once the owner or operator of a facility has submitted a
complete permit application (both Part A and B), it is
reviewed, and either approved or denied by the
Administrator. EPA's first step in reviewing the permit
application is to determine if the owner or operator has
submitted all of the required information. If the application
is not complete a Notice of Deficiency Letter is sent to the
owner or operator highlighting the missing information.
Once the owner or operator submits this information the
application is considered complete. Failure to provide this
information can result in denial of the application,
enforcement action, or both.
In some cases information contained in the permit
application may be considered confidential by the owner or
operator. Permit applicants often make a claim of
confidentiality to protect trade secrets. In such cases, the
owner or operator must make this claim known at the time of
submission by following the procedures described in 40
CFR 270.12 "confidentiality of information." Claims of
confidentiality are reviewed (by legal counsel) only after
someone outside EPA requests to see the information. If a
claim is substantiated, the information is treated as
confidential and not released. If, on the other hand, a claim
is denied the information is made public.
After the owner or operator is informed, by letter, that his
application is complete, an in-depth evaluation of the permit
application begins. After the permit application is evaluated,
EPA decides to either approve or deny the application. If the
permit application is denied, EPA must send the owner or
operator a Notice of Intent to Deny. The owner or operator,
in turn, can appeal this decision to the EPA. If the
application is accepted, a draft permit is prepared by EPA
staff.
For facilities which submitted their application prior to
November 8, 1984 EPA must either approve or deny a
permit application in accordance with the following schedule
set out under HSWA:
Land Disposal Facilities ~ by November 8,1988
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PREPARING THE
DRAFT PERMIT
DRAFT PERMIT CONSISTS OF:
Technical requirements
Other conditions:
- General
- Facility specific
TAKING PUBLIC COMMENT
AND FINALIZING THE PERMIT
Incinerators by November 8,1989
All other TSD's -- by November 8,1992.
For facilities, that submit(ed) their application after
November 8, 1984, RCRA places no time limits on how
long EPA can take to evaluate the application. In either case,
evaluating an application is a lengthy process, and can take
from 1 to 3 years.
The draft permit incorporates applicable technical
requirements and other conditions pertaining to the facility's
operation. These other conditions are divided into two
groupsthose applicable to all permits and those applied on
a case-by-case basis. Among the general permit conditions
are:
The requirement to comply with all conditions listed
in the permit
The responsibility to notify EPA of any planned
alterations or additions to the facility
The requirement to provide EPA with any relevant
information requested and to allow Agency
representatives to inspect the facility premises under
certain conditions
The duty to submit required reports, e.g.,
Unmanifested Waste Report, Biennial Report and
Manifest Discrepancy Reports.
The case-by-case permit conditions include:
Compliance Schedule - this is used to bring a facility
into compliance
Duration of Permit - A permit may be issued for any
length of time that is less than or equal to 10 years.
The exception is a land disposal permit which is
limited to 5 years.
Once the draft permit (or Notice of Intent to Deny) is
completed, EPA is required to give public notice and allow
45 days for written comment In certain cases a public
hearing may be held during this time. Along with the public
notice EPA must issue either a fact sheet or a statement of
basis to inform concerned parties about the permitting
process that is taking place. Fact sheets are prepared for
every major facility and any facility subject to widespread
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MODIFYING, MAINTAINING
AND TERMINATING
THE PERMIT
Modifications of Permit
Conditions
public interest, as determined by EPA. They include
detailed information pertaining to the nature of the facility,
the contents of the draft permit (or Notice of Intent to Deny),
and the procedures to be used in reaching the final
administrative decision on the permit application. In lieu of
a fact sheet, a draft permit (or Notice of Intent to Deny) must
be accompanied by a statement of basis. The latter is
essentially a summarized version of the fact sheet. These
supporting documents are sent to the applicant and, on
request, to any other interested person.
If information submitted during the initial comment period
"appear(s) to raise substantial new questions concerning the
permit" the Agency must re-open or extend the comment
period. In this situation the Agency may also decide to
revise the draft permit (or Notice of Intent to Deny).
After the comment period closes, the Administrator issues
the final permit decision. This decision is binding, but may
be appealed in the local U.S. Court of Appeals.
Periodically each facility is inspected to determine if it has
altered its operation or run into a compliance problem. Any
changes or problems can give rise to one of three actions on
the part of the Agency:
Modification of permit conditions
Revocation and reissuance of the permit
Termination of the permit
Furthermore, the permittee can request the Agency to
undertake any one of these actions.
There are two types of modifications that a permit can be
subject to minor and major ones. Minor modifications
include:
Correcting typographical errors
Allowing for a transfer of permit responsibility
Changing the estimates of the expected year of
closure.
Such modifications can be made only with the consent of the
permittee.
Major modifications include:
Major alterations to the permitted facility
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Revocation and Reissuance of
the Permit
Termination of the Permit
HSWA
A change in the standards or regulations upon which
the permit was based
A modification of the compliance schedule.
As with minor modifications the permittee's consent is
required to make a major modification. The procedures for
implementing major modifications are nearly identical to
those required when approving a new permit, e.g., having a
public comment period.
There are two situations in which EPA can decide to revoke
and reissue a permit:
When cause exists for terminating the permit (under
the circumstances described below) yet EPA decides
that revocation and reissuance is a more appropriate
step
When the permit holder plans to transfer the permit.
The regulations establish three reasons for either terminating
a permit before it is up or denying a permit renewal
application:
Noncompliance by the permittee with any condition
of the permit
Failure, on the part of the permittee, to disclose in
the application or during the permit issuance process
any relevant information, or a permittee's mis-
representation of relevant facts at any time
A determination that the permitted activity endangers
human health or the environment and can only be
regulated to acceptable levels by permit termination.
The procedures for terminating a permit are essentially the
same as those used in finalizing a permit, described earlier in
this section.
In addition to the changes resulting from HSWA already
discussed in this chapter, there are four others that deserve
mention. They pertain to the issuance of research,
development, and demonstration permits,waste
minimization, corrective action at permitted facilities, and
exposure information and health assessments.
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RESEARCH, DEVELOPMENT,
AND DEMONSTRATION
PERMITS
WASTE MINIMIZATION
CORRECTIVE ACTION AT
PERMITTED FACILITIES
EXPOSURE INFORMATION
AND HEALTH
ASSESSMENTS
EPA encourages the use of alternate treatment technologies.
Recognizing that for such technologies there are usually no
precedents HSWA allows the Administrator to issue a
Research, Development, and Demonstration permit to
facilities which employ innovative and experimental
technologies even if no permit standards for the activity are
in place. (Section 3005(G)).
For the purpose of expediting review and issuance of these
permits the Agency may waive the usual permit application
and issuance requirements, with the exception of those
concerning financial responsibility and public participation.
These permits are limited to one year and may be renewed
three times.
In accordance with RCRA's goal of reducing the amount of
solid waste generated nationwide, HSWA requires, as of
September 1, 1985, any owner or operator of a permitted
facility that accepts hazardous waste must certify annually,
that:
There is a program in place to reduce the volume or
quantity and toxicity of waste to the degree that is
determined economically feasible
The proposed method of treatment, storage, or
disposal minimizes the present and future threat to
human health and the environment.
In order to address non-compliance through the permitting
process, HSWA provides (Sec. 3004(u)) that any permit
issued under Subtitle C must require corrective action for all
releases of hazardous waste or constituents, regardless of
when the waste was placed at the facility. It further request
financial assurance for the completion of such corrective
action. For a complete description of corrective action
authority under RCRA see Chapter 6 - "Enforcement."
In line with the belief that landfills and surface
impoundments may pose a greater health risk than other
types of disposal facilities, Congress included in HSWA the
requirement that Part B permit applications for such facilities
be accompanied by information on the potential for public
exposure to hazardous wates or constituents through
releases from the facility. This exposure information is not
part of the permit application or permit process. Rather, it is
a mechanism to identify human health problems which may
arise.
Once this exposure information is submitted, EPA or the
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CHAPTERS PERMITTING p. 11
authorized State makes it available to the Agency for Toxic
Substances and Disease Registry (ATSDR) established
under Superfund. If EPA or the authorized state feels that
the release poses a substantial potential risk to human health,
EPA (or the State with EPA's concurrence) can request the
ATSDR to perform a health assessment and take other
appropriate actions under Superfund, e.g., providing
medical care and testing to exposed individuals. At a
minimum the exposure information must address:
1) Reasonably foreseeable potential releases from both
normal operations and accidents at the facility,
including releases associated with transportation
to or from the facility
2) The potential pathways of human exposure to
hazardous wastes or constituents resulting from the
releases described in number 1 above
3) The potential magnitude and nature of the human
exposure resulting from the releases described in
number 1 above.
SUMMARY
Permits detail the administrative and technical performance
standards which hazardous waste management facilities
must adhere to and are thus the key to implementing Subtitle
C regulations. Owners and operators of existing or new
TSDs must (with a few exceptions) obtain an operating
permit.
Under certain circumstances owners and operators of
Subtitle C facilities can obtain a unique type of permit:
Permit-by-rule
Emergency permit
Temporary (trial period) permit
The permitting process consists of five steps:
1) Submittal of a permit application
2) Administrative review of the permit application
3) Preparing the draft permit
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CHAPTERS PERMITTING p. 12
4) Taking public comment and finalizing the permit
5) Modifying, maintaining, and terminating a permit
The passage of HSWA affects the permitting process in a
number of ways:
Establishes a statutory timetable for Part B
submittals, and EPA approval or denial of certain
permit applications
Allows issuance of research, development and
demonstration permits
Requires owners and operators of permitted facilities
to certify annually that a program is in place to
reduce tike volume and toxicity of waste, and that the
proposed method of treatment, stroage and disposal
minimizes threats to human health and the
environment
Provides that permits issued must require corrective
action for all releases of hazardous waste or
constituents
Requires that Part B permit applications be
accompanied by exposure information and health
assessments.
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CHAPTER 6
ENFORCEMENT
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OVERVIEW
ENFORCEMENT
The effective implementation of RCRA's regulatory
programs rests on whether or not the people and companies
regulated under the Act comply with its various
requirements. The goals of the RCRA enforcement program
are to ensure that the regulatory and statutory provisions of
RCRA are met, and to compel necessary corrective action.
This requires close monitoring of facility activities and quick
legal action where non-compliance is detected. Facility
inspections by federal/state officials is the primary tool for
monitoring compliance. When non-compliance is detected,
legal action may follow. This could include the use of
administrative orders, civil law suits, or criminal law suits
depending on the nature and severity of the problem. The
combination of effective monitoring and quick legal action is
intended to reduce the number of facility owners who operate
without complying with RCRA's requirements and deter
violations by imposing penalties.
This section describes the two essential aspects of the
enforcement programcompliance monitoring and legal
enforcement It should be noted that all of the enforcement
provisions detailed in this chapter are statutory, not
regulatory, in nature.
COMPLIANCE MONITORING
INSPECTIONS
The first phase of the enforcement program is monitoring
facilities to verify their compliance with RCRA's regulatory
requirements. This monitoring serves several purposes. It
allows EPA and authorized States to find out which facilities
are not in compliance. It also allows EPA and the States to
assess the effectiveness of specific legal actions, such as
administrative orders, that may have been taken against a
facility. Also, the overall compliance monitoring program
allows EPA to evaluate the effectiveness of State programs
and to monitor nationwide compliance with RCRA. Finally,
monitoring acts as a deterrent, encouraging compliance with
the regulations by making non-compliers susceptible to
enforcement actions.
The primary method of collecting compliance monitoring
data is the facility inspection. This is a formal visit to a
facility to review records, take samples, and observe facility
operations. In addition to supplying information for
enforcement proceedings, inspections are used to gather data
to assist in EPA the development of RCRA regulations, and
to help EPA track program progress and accomplishments.
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CHAPTER 6
ENFORCEMENT
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A Means of Revfewrina
Observing and Gathering
liifuiiiuiUuii
Conducting The Inspection
foeps in Conducting an
Inspection:
Review records
Enter facility
Hold opening conference
Conduct inspection
Hold closing conference
Prepare report
Compliance information also is obtained through
examination of the reports that each facility is required to
submit. These reports can contain information about the
wastes being handled, the method of handling, and the
ultimate disposition of wastes.
Inspections are carried out by State or EPA officials. In
instances where criminal activity is suspected, the National
Enforcement Investigations Center (NEIC) may become
involved. Similarly, the Department of Transportation
(DOT) may participate where waste transporters are
involved. All of these agencies are authorized by RCRA to
use outside contractors for the actual inspection if they so
desire.
The Act provides the authority for conducting inspections
under section 3007. This section allows EPA, an authorized
State, or a representative of either of these to enter any
facility that has handled hazardous waste to examine the
facility's records and take samples of the wastes.
Prior to HSWA, RCRA did not mandate periodic
inspections of facilities. HSWA requires that all Federal - or
State-operated facilities be inspected annually. Furthermore,
the Administrator must commence a program to thoroughly
inspect all other Subtitle C facilities at least once every two
years (see Sections 3007 (c), (d), and (e)). Facilities may
also be inspected at any time if EPA or the State has reason
to suspect that a violation has occurred. Finally, facilities
are chosen for an inspection when specific information is
needed to support the development of RCRA regulations.
Several steps are generally followed in RCRA inspections to
ensure consistency and thoroughness. First, the inspecting
agency reviews its records about the facility. This is to
identify any likely problems that may be encountered. The
second step is the actual entry onto the facility property.
The inspector identifies himself and describes the nature of
the inspection. In some circumstances, a court warrant may
be needed to gain entry to the facility.
After the inspector has entered the property, an opening
conference is generally held with the owner or operator to
discuss the nature of the inspection and to describe the
information and samples to be gathered. Following the
opening conference, the actual inspection takes place.
Finally, a closing conference is held with the owner or
operator to respond to questions about the inspection and
provide additional information.
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ENFORCEMENT
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After the facility visit is completed, a report is prepared. The
report summarizes the records reviewed and contains any
sampling results. Brief summary conclusions regarding
inspections are tracked in some detail in the Hazardous
Waste Data Management System (HWDMS) maintained by
ENFORCEMENT
ADMINISTRATIVE ACTIONS
The most important result of any inspection is the
determination of whether the facility is in compliance with
the regulations. If it is decided that the facility is not
complying with all of the appropriate State or Federal
requirements, enforcement action may be taken. These
actions are discussed below.
There are two situations that may require initiating a RCRA
enforcement action. The first occurs when a facility is found
to be out of compliance with the Subtitle C regulations that
apply to it. The second occurs when a facility is found to be
releasing non-hazardous or hazardous solid waste or
hazardous constituents. In both situations, EPA or an
authorized State has a broad range of enforcement options.
A primary goal of enforcement actions is to get facilities into
compliance and keep them there. Another primary goal of
enforcement actions is to compel monitoring and corrective
actions in response to both past and present releases of
hazardous waste.
There are several enforcement options available under
RCRA. They include:
Administrative actions
Civil actions
Criminal actions.
In each situation, a decision must be made, based on the
nature and severity of the problem at the facility, about which
of these is to be pursued.
An administrative action is non-judicial enforcement action
taken by EPA or a state under its own authority.
Administrative enforcement actions can take several forms
ranging from informal notices of non-compliance to issuance
of an administrative order accompanied by a formal public
hearing. These actions tend to be less complicated than a law
suit and can often be quite effective in forcing a facility to
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CHAPTER 6
ENFORCEMENT
p. 4
Enforcement Options
Available under RCRA:
Administrative actions
Civil actions
Criminal actions.
Administrative Orders
comply with regulations or to remedy a potential threat to
health or the environment. Two types of administrative
actions, informal actions and administrative orders, provide
for enforcement response outside the court system.
An informal administrative action is any communication
from an agency that notifies the facility of a problem. It can
take many forms, e.g., a warning letter or a phone call. A
warning letter is commonly used. For this type of action,
the responsible agency (EPA or the State) notifies a facility
that it is not in compliance with some provision of the
regulations. If the owner or operator does not take steps to
comply within a certain time period, a more formal action
can be taken. This type of action is particularly appropriate
where the violation is of a minor provision of the regulations
such as a record maintenance requirement. For more
serious violations, the agency can use a formal warning
letter setting put specific actions to be taken to move the
facility back into compliance. A formal warning also sets
out the enforcement actions that will follow if the facility
fails to take the required steps.
When a more severe violation is detected, the agency can
issue an administrative order. An administrative order,
issued directly under the authority of RCRA, imposes
enforceable legal duties. Orders can be used to force a
facility to comply with specific regulations, to take
corrective action, to perform monitoring, testing, and
analysis, or to address a threat of harm to human health or
the environment. There are four types of orders that can be
issued under RCRA:
Compliance Orders - Section 3008 (a) of RCRA
allows EPA or an authorized State to issue an order
requiring any person who is not complying with a
requirement of RCRA to take steps to come into
compliance. A compliance order may require
immediate compliance or may set out a timetable to
be followed to move towards compliance. The order
can contain a penalty of up to $25,000 per day for
each day of non-compliance and can suspend or
revoke the facility's permit or interim status. When
an agency issues a compliance order, the person to
whom the order is issued can request a hearing on
any factual provisions of the order. If no hearing is
requested, the order will become final thirty days
after it is issued.
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CHAPTER 6
ENFORCEMENT
p. 5
Administrative Orders Issued
Under RCRA:
Compliance orders
Corrective action orders
Section 3013 orders
Section 7003 orders.
CIVIL ACTIONS
Corrective Action Orders - HSWA provides a new
type of administrative order that EPA can use on
facilities. Section 3008(h) allows EPA to issue an
order requiring corrective action at a facility when
there has been a release of a hazardous waste or
constituents into the environment These orders can
be issued to require corrective action such as
repairing of liners or pumping to remove a plume of
contamination. Furthermore, Section 3004(v) of
HSWA provides that corrective action may be
required beyond the facility boundary. Corrective
action can be required regardless of when waste was
placed at the unit Thus, past problems may be
cleaned up using this mechanism. In addition to
requiring corrective action, these orders can suspend
interim status and impose penalties of up to $25,000
for each day of non- compliance with the order.
Section 3013 Orders - If a responsible agency finds
that a substantial hazard to human health or the
environment exists at a facility, it can issue an
administrative order under Section 3013. A 3013
order is used to evaluate the nature and extent of the
problem through monitoring, analysis, and testing.
These orders can be issued to either the current
owner of the facility or to a past owner or operator if
the facility is not currently in operation or the present
owner could not be expected to have actual
knowledge of the potential release.
Section 7003 Orders - In any situation where an
"imminent and substantial endangerment to health or
the environment" is caused by the handling of non-
hazardous or hazardous solid wastes, the responsible
agency can order any person contributing to the
problem to take steps to clean it up. The Agency may
bring actions against any contributing party including
past or present generators, transporters, or owners or
operators of the site. Violation of a Section 7003
order can result in penalties of up to $5,000 per day.
A civil action is a formal law suit, filed in court, against a
person who has either failed to comply with some statutory
or regulatory requirement or administrative order or has
contributed to a release of hazardous wastes or constituents.
They are generally employed in situations that present
repeated or significant violations or where there are serious
serious environmental concerns.
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CHAPTER 6
ENFORCEMENT
p. 6
Civil Actions Filed Under
RCRA;
Compliance action
Corrective action
Monitoring and analysis
Imminent hazard
Civil actions are useful in several situations, such as when
the person being sued has not complied with a previously
issued administrative order. In this case, the courts may
force the facility to comply and to impose penalties. Civil
actions are also useful in situations where a long-term
solution to a problem is desired. Here, the jurisdiction of
the court may be helpful to ensure proper supervision of the
facility's actions. In addition, civil actions may be used to
stop conduct that is too dangerous to risk non-compliance
with an administrative order. Civil actions may also set an
example to other facility operators in order to deter their non-
compliance.
RCRA provides authority for filing four different types of a
law suits (Civil Actions):
Compliance Action - The U.S. Government (or an
authorized State) can file suit to force a person to
comply with any applicable RCRA regulations. In
Federal actions the court can also impose a penalty
of up to $25,000 per day, per violation, for non-
compliance.
Corrective Action - In a situation where there has
been a release of hazardous waste from facility, the
U.S. Government can sue to have the court order the
facility to correct the problem and take any necessary
response measures. The court can also suspend or
revoke facility's interim status as a part of its order.
Monitoring and Analysis - If EPA has issued a
monitoring and analysis order under Section 3013 of
RCRA and the person to whom the order was issued
fails to comply, the U.S. Government can sue to get
a court to require compliance with the order. In this
type of case, the court can assess a penalty of up to
$5,000 for each day of non-compliance with the
order.
Imminent Hazard - As with a Section 7003
administrative order, when any person contributed
or is contributing to an imminent hazard to human
health or the environment at a facility, the U.S.
Government can sue the person to require that
person to take action to remove the hazard or to
remedy any problem. If the agency had first issued
an administrative order, the court can also impose a
penalty of up to $5,000 for each day of non-
compliance with the order.
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CHAPTER 6 ENFORCEMENT p. 7
Frequently, several of the civil action authorities will be used
together in the same law suit This is particularly Likely to
happen where a facility has been issued an administrative
order for violating a regulatory requirement, has ignored that
order, and is in continued non-compliance. In this
circumstance, a law suit can be filed that seeks penalties for
violating the original requirement, penalties for violating the
order, and a judge's order requiring future compliance with
the requirement and the administrative order.
CRIMINAL ACTION A criminal action is a prosecutorial action by the United
States Government or a State that can result in the imposition
of fines or imprisonment. There are seven acts identified in
section 3008 of RCRA that carry criminal penalties ranging
from a fine of $50,000 per day or a prison sentence of up to
five years to a total fine of $1,000,000. Criminal actions are
usually reserved for only the most serious violations.
Six of the seven criminal acts carry a penalty of up to
$50,000 per day of the violation or from two to five years in
jail depending on the violation. Stated briefly, these are
knowing:
Transportation of waste to a non-permitted facility
Treatment, storage, or disposal of waste without a
permit or in violation of a material condition of a
permit or interim status standard
Omission of important information from or a false
statements in a lable, manifest, report, permit, or
compliance document
Generation, storage, treatment, or disposal of waste
without compliance with RCRA's recordkeeping and
reporting requirements
Transportation of waste without a manifest
Export of a waste without the consent of the
receiving country.
The seventh criminal act is the knowing transportation,
treatment, storage, disposal, or export of any hazardous
waste in such a way that another person is placed in
imminent danger of death or serious bodily injury. This act
carries a possible penalty of up to $250,000 or fifteen years
in prison for an individual or a $1,000,000 fine for a
corporation.
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CHAPTER 6
ENFORCEMENT
p. 8
AGENCY FUNCTIONS
Responsibility for RCRA en-
for cement divided among:
Headquarter's offices
EPA regions
State agencies
Responsibility for the various actions that make up the
RCRA enforcement program is divided among different
headquarters offices, the EPA regions, and state agencies.
Headquarters is responsible for setting nationwide policy,
monitoring regional and State activities, and providing
technical support. The regions take the primary
responsibility for performing inspections, issuing
administrative orders, preparing civil actions, monitoring
compliance with administrative and judicial orders, and
providing support to ongoing law suits. As with many
other aspects of the RCRA program, responsibility for
enforcement is largely decentralized. Where a State has
been authorized to carry out its own RCRA program, State
agencies take primary responsibility for enforcement
functions. While the State has the authority to take any
enforcement action, EPA also has the authority to issue
administrative orders or file law suits if the State fails to do
so or does not obtain acceptable results.
SUMMARY
There are two essential elements to RCRA's enforcement
programcompliance monitoring and legal enforcement.
Compliance monitoring is used to verify a facility's level of
compliance with RCRA's regulatory requirements. There
are two primary methods of collecting compliance
monitoring data:
Inspections by State or EPA officials
Examinations of the reports that each facility is
required to submit
Inspections must be conducted:
Annually at all Federal- or State-operated facilities
At least once every two years at all other Subtitle C
facilities.
A primary goal of enforcement actions is to bring facilities
into compliance and keep them there. Enforcement actions
may be taken when a facility is found to be:
Out of compliance with applicable Subtitle C regu-
lations
Releasing non-hazardous or hazardous solid waste,
or hazardous constituents.
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CHAPTER 7
STATE AUTHORIZATION
p. 1
OVERVIEW
STATE
RCRA, like many of our nation's environmental laws,
encourages States to take over the responsibility for program
implementation and enforcement from the Federal
government. This is because States are closer to, and more
familiar with, the regulated community and therefore in a
better position to administer the programs and respond to
local needs effectively. RCRA was designed by Congress
to have the entire Subtitle C program administered by States
with only minimal oversight from the Federal government.
The process that States must go through to obtain the
responsibility for the Subtitle C program involves
developing a State hazardous waste program and having it
approved by FJ*A. This process is described below.
DEVELOPING A STATE
HAZARDOUS WASTE
PROGRAM
States mav Assume Responsi-
bility for Subtitle C in two
wavs;
Interim authorization
- Phase I -- Implementation
- Phase II -- Permitting
Final authorization
Under RCRA, as enacted in 1976, the States were given
two options for assuming the responsibility to administer the
Subtitle C program. They could apply for either interim or
final authorization. Interim authorization allows a State to
develop and implement a program that is not exactly the
same as the Federal program (such a State program is
termed "substantially equivalent" in Section 3006(c) of the
Act). For a State program to receive final authorization,
however, it must be equivalent to, no less stringent than,
and consistent with, the Federal program it hopes to replace
(note that a State can choose to make its program more
stringent or more extensive than the Federal program and
still be eligible for authorization). A State can receive
interim authorization in two phases. Phase I covers
regulations pertaining to the identification of hazardous
wastes, and standards for generators, transporters, and
interim status TSD facilities. Phase II covers the procedures
and standards for permitting facilities.
The intent of Congress in allowing for interim authorization
is to enable States to pick up the Federal program at a
reduced level while modifying their hazardous waste
programs so that they can meet the more stringent
requirements of final authorization. Soon, obtaining interim
authorization will no longer be an option for States. Under
HSWA, interim authorization will expire on January 31,
1986. After this date States can only apply for final
authorization. Because of the fast-approaching expiration
date, this chapter will not discuss the requirements that a
State must fulfill to receive interim authorization. Rather, it
will detail the process that a State must go through to qualify
for final authorization.
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CHAPTER 7
STATE AUTHORIZATION
p. 2
State Programs Must Be:
Equivalent
Consistent
Provide Adequate Enforcement
State Programs Need Not Be
Identical
PROGRAM DESCRIPTION
Any State which seeks final authorization for its hazardous
waste program must submit an application to the
Administrator consisting of the following elements:
A letter from the Governor requesting program
approval
Copies of all applicable State statutes and
regulations, including those governing State
administrative procedures
Documentation of public participation activities
(e.g., notice and opportunities for comment on the
State program prior to submission of the application
to EPA)
Program description
Attorney General's statement
Memorandum of Agreement
Since the first three elements listed above are self-
explanatory, only the last three elements will be described
below.
As the name implies, the program description details the
contents of the hazardous waste program that the State
wants to administer in place of the Federal program. It
includes descriptions of the:
Scope, structure, coverage, and processes of the
State program
State agency or agencies which will have
responsibility for running the program
State-level staff who will carry out the program
State's compliance tracking and enforcement
program
State's manifest system
Applicable State procedures, including permitting
procedures and any State administrative or judicial
review procedures
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CHAPTER? STATE AUTHORIZATION p. 3
Costs (estimated) involved in running the program
and an itemization of the sources and amounts of
funding available to support the program's
operation.
In addition, the program description must include an
estimate of:
The number of generators, transporters, and on-site
and off-site disposal facilities (along with a brief
description of the types of facilities and an indication
of the permit status of these facilities)
The annual quantities of hazardous wastes generated
within the State, transported into and out of the
State, and stored, treated, or disposed of within the
State (if available).
The most important parts of the program description are the
details of the scope and coverage of the State's program. It
is here that the State lists the statutory and regulatory
requirements with which facilities operating under its
program must comply. These requirements may not be the
ones in effect on the date of the State's application for
program authorization. As a result of HSWA (Section
3006(b)) an application is reviewed on the basis of the
statutory provisions and regulations that were in effect 12
months prior to the State's application submission. This
amendment was intended to ensure that last minute changes
to the Federal program which the State did not have time to
adopt would not prevent an otherwise qualified State from
obtaining final authorization. If the State chooses to develop
a program that is more stringent and/or extensive than the
one required by Federal law, the program description should
address those parts of the program which go above and
beyond what is required under Subtitle C.
ATTORNEY GENERAL'S Regardless of how strong a State program appears to be on
STATEMENT paper, it cannot be effective unless there are mechanisms in
place to implement and enforce it. Therefore, any State that
wants to assume the responsibility for Subtitle C must
demonstrate to the EPA Administrator that the laws of the
State provide adequate authority to carry out all aspects of
the State program. This demonstration comes in the form of
a statement written by the State's Attorney General or, if
properly authorized, the attorney at the State agency with
responsibility for running the program. The statement
includes references to the status, regulations, and judical
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CHAPTER 7
STATE AUTHORIZATION
p. 4
MEMORANDUM OF
AGREEMENT
PUBLIC REVIEW OF THE
PROPOSED STATE PROGRAM
EPA REVIEW AND
APPROVAL OF STATE
PROGRAM APPLICATIONS
decisions that the State will rely on in administering its
program.
Although a State with an authorized program assumes
primary responsibility for administering Subtitle C, EPA
still retains some responsibilities and oversight powers vis-
a-vis the State's execution of its program. The
Memorandum of Agreement (MOA) between the State
Director and the Regional Administrator outlines the nature
of these responsibilities and oversight powers, and the level
of coordination between the state and the EPA in operating
the program. The MOA includes provisions for:
Specifying the frequency and content of reports that
the State must submit to EPA
Coordinating compliance monitoring and
enforcement activities between the State and EPA
Joint processing of permits for those facilities that
require a permit from both the State and EPA under
different programs
Specifying the types of permit applications which
will be sent to the Regional Administrator for review
and comment
(For a complete listing of what must be included in
the MOA see 40 CFR Section 271.8(b)).
Once the State has completed its application it must inform
the citizenry about its decision to seek approval by issuing a
public notice. The notice must be widely distributed, and
the public given ample opportunity to review the
application's contents. A public hearing may be held if there
is enough interest expressed.
If the application is significantly modified as a result of
information received during the public comment period, the
State must provide for an additional comment period, at
which time public feedback on the modifications is taken.
After the application has been fully scrutinized by the public,
and modified accordingly, it can be submitted to the
Administrator for review.
After the State has submitted a complete application the
Administrator can proceed to determine whether or not the
State program should be authorized. In making this
determination the Administrator adheres to the following
schedule:
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CHAPTER 7
STATE AUTHORIZATION
p. 5
For a State Program to Recieve
Agency Appproval it Must Sat-
isfv the Following Conditions:
Equivalency/Stringency
Consistency
Enforceability
Notice and hearing in the
permit process.
Tentative Determination -Within 90 days from the
receipt of the complete application the Administrator
must tentatively approve or disapprove the State's
application. The tentative determination is then
published in the Federal Register.
Public Input ~ The public is given 30 days to
comment on the State's application and the
Administrator's tentative determination. If sufficient
interest is expressed, a public hearing will be held
within this time period.
Final Determination ~ Within 90 days of the
appearance of the tentative determination in the
Federal Register the Administrator must consider
any comments submitted and decide whether or not
to approve the State's program. This final
determination is then published in the Federal
Register.
Before approving an application the Administrator must be
satisfied that the following conditions are met:
Equivalency/Strin gencv - The State program must
adopt regulatory and statutory requirements that are
at least equivalent to (Section 3006(b)), and no less
stringent than (Section 3009), those implemented
and enforced under the Subtitle C program at the
Federal level. This does not mean that the State
program cannot differ from the Federal program.
Indeed, the State's program can be more stringent
and/or extensive than the Federal program.
Consistency - The State program must be consistent
with the Federal program and other authorized State
programs (Section 3006(b)). EPA focuses its
review of consistency on those provisions of a State
program that may interfere with the proper operation
of the national regulatory scheme developed under
RCRA. Accordingly, if a State program
unreasonably restricts, impedes, or operates as a ban
on the free movement of hazardous waste across
State borders or does not meet the federal manifest
requirements it is deemed inconsistent and cannot be
approved. In addition, any aspect of State law or of
the State program which has no basis in human
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CHAPTER 7
STATE AUTHORIZATION
p. 6
STATE
health or environmental protection and which acts as
a prohibition on the treatment, storage or disposal of
hazardous waste in the State may be deemed
inconsistent and therefore not approvable.
Enforceability - RCRA requires that State programs
contain adequate authority to enforce all the
requirements developed under Subtitle C (Section
3006(b)). In assessing enforceability, EPA focuses
on the inspection, enforcement remedy, and penalty
authorities contained in the program. The State
program must also provide for public participation in
the enforcement process.
Notice And Hearing in The Permit Process - Under
Section 7004(b) all State programs must provide for
public notification prior to the issuance of permits.
Furthermore, the program must require that both a
public comment period (at least 45 days) and an
informal public hearing be held if a request for such
a hearing is made during the comment period.
REVISING AND
TERMINATING APPROVED
STATE PROGRAMS
REVISING STATE PROGRAMS
Approved State programs are not static. They are subject to
changes ranging from the adoption of new regulatory
requirements to the termination of the program itself.
Specifically, there are three actions that can be taken which
either alter the content or the status of the State program.
Such actions are:
Revising State programs
Withdrawing approval of State programs
Transferring program responsibilities back to EPA.
As Federal and State statutory or regulatory authority is
modified or supplemented, it often becomes necessary to
revise the State program accordingly. Such revisions can be
initiated by the State or required as a result of changes in the
Federal Subtitle C program.
If the State revises its program it must notify the
Administrator and submit a modified program description,
MOA, and any other documents that EPA determines
necessary under the circumstances. In reviewing the State's
proposed modifications, the Administrator applies the same
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CHAPTER? STATE AUTHORIZATION p. 7
standards used in reviewing the State's initial program
application. The revisions become effective upon approval
of the Administrator.
State programs also must be revised in response to changes
in the Federal program. This makes sense in light of the
requirement that all approved State programs be at least
equivalent to, no less stringent than, and consistent with the
Federal program which it wants to replace. States must
revise their programs to incorporate these changes by a
specified date, depending on the type of State program
revisions that are required. If the State is able to modify its
program without passing a statutory amendment, the
program must be revised within one year. On the other
hand, if a statutory amendment is required, the State is given
two years to revise its program.
Prior to HSWA, changes to Federal requirements were not
enforced in authorized States until the State's program was
appropriately modified and approved by the Administrator.
Now, although authorized States still have one or, in some
cases, two years to modify their program, the Federal
government can enforce new (HSWA) requirements in an
authorized State up until the State receives approval to do so
(Section 3006(g)). This Federal right of enforcement does
not apply to non-HSWA requirements.
The two reasons for creating this dual State-Federal
regulatory system in authorized States are straightforward.
Considering the scope of the nation's hazardous waste
problems, Congress decided that it was not prudent to allow
for a one or, maybe, two year time lag between the
promulgation of new Federal requirements and their
enforcement in authorized States. Furthermore, enforcing
these requirements immediately in non-authorized States and
not in authorized States would lead to hazardous waste
program inconsistencies at the national level.
In certain circumstances States do not have to revise their
program before being able to enforce new Federal
requirements resulting from HSWA. Any State which has
final authorization for the pre-HSWA program may submit
to the Administrator evidence that its program contains any
requirement substantially equivalent to a requirement created
under HSWA. Such states may request interim authorization
to carry out the HSWA requirement in lieu of the the Federal
government.
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CHAPTER 7
STATE AUTHORIZATION
p. 8
WITHDRAWING APPROVAL
OF STATE PROGRAMS
TRANSFERRING PROGRAM
RESPONSIBILITIES BACK
TO EPA
Approved State programs are continually subject to review.
If the Administrator finds that a program no longer complies
with the appropriate regulatory requirements he may
withdraw program approval. Such circumstances include a
failure to:
Issue permits that conform to the regulatory
requirements
Inspect and monitor activities subject to regulation
Comply with the terms of the MOA
Take appropriate enforcement action.
In deciding whether or not to withdraw program approval,
the Administrator must consider comments from interested
parties and give the State the opportunity to take actions that
would bring it back into compliance. If the State fails to
take appropriate action, program approval is withdrawn and
the responsibility for administering Subtitle C reverts back
to the Federal government.
In some cases, e.g., for financial reasons, States with
approved programs may voluntarily transfer the program
back to EPA. To do this the State must give the
Administrator 180 days notice and submit a plan for the
orderly transfer of all relevant program information
necessary for EPA to administer the program, e.g., permits,
permit files.
SUMMARY
RCRA is designed so that the States can aquire authority to
administer the entire Subtitle C program. Any State which
seeks final authorization for its hazardous waste program
must submit an application to the Administrator consisting
of the following elements:
A letter from the Governor requesting program
approval
Copies of all applicable State statutes and regulations
Documentation of public participation activities
Program description
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CHAPTER 7 STATE AUTHORIZATION p. 9
Attorney General's statement
Memorandum of agreement
Before approving an application the Administrator must be
satisfied that the State program:
Is equivalent and no less stringent than the Federal
program
Is consistent with the Federal program
Is enforceable
Provides for public notification prior to the issuance
of a permit.
Approved State programs are subject to:
Revision
Withdrawl of approval
Transfer of program responsibilities back to EPA.
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CHAPTER 8
PUBLIC PARTICIPATION
p. 1
OVERVIEW
PUBLIC
PARTICIPATION
The right of the public to participate in government decisions
is basic to our democractic system. In few places is this
right exercised more than in the area of hazardous waste
management. The public is deeply concerned about, and
often fearful of, the potential impacts of hazardous waste on
their health and safety. In recognition of their rights and
interest in hazardous waste management, and in a conscious
attempt to include them in the decision-making process, the
public is given numerous opportunities to get involved in all
phases of the RCRA program.
The overall goal of public participation is to build trust and
credibility, and to keep emotions, human energy, and
conflicts focused on substantive issues and solutions. It
provides an opportunity for all interested parties to become
informed and involved, and to influence program
development and implementation. Further, EPA managers
have found that active public participation provides a forum
for identifying and addressing concerns, and, thereby,
reducing conflict
This Chapter details the public participation framework
established under RCRA. It includes descriptions of the
statutory and regulatory requirements, and a summary of
guidance developed concerning public participation. In
addition, the new features resulting from HSWA are
discussed.
GENERAL EPA PUBLIC
PARTICIPATION
REQUIREMENTS
In consideration of the importance of citizen involvement,
EPA established public participation requirements that apply
to all environmental programs administered by the Agency.
They are outlined in the Administrative Procedures Act
(APA, 5 U.S.C. Sections 551-559) and include:
Providing information and soliciting comments on
all proposed and final Agency actions, e.g., the
development of regulations
Incorporating public comments into the decision-
making process
Establishing an appeals process for certain Agency
decisions.
The participation requirements in the APA assure the public
a voice in EPA decision making. However, because the
issues surrounding hazardous waste management often
arouse intense emotions, the public participation framework
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CHAPTER 8
PUBLIC PARTICIPATION
p. 2
STATUTORY REQUIREMENTS
Access to Information
Program Implementation
Enforcement
developed under RCRA further expands citizen opportunity
for involvement well beyond Agency-wide requirements.
This framework can be broken down into three parts:
Statutory requirements
Regulatory requirements
Guidance.
Those statutory requirements under RCRA that expand upon
the APA's public participation framework cover three areas:
Access to information
Program implementation
Enforcement
Under RCRA Section 3007 (b) the public is given the right
to see information obtained through a facility inspection.
This information is often of particular interest because it
details the facility's level of compliance with the regulations.
In certain cases, however, the Administrator may remove
the right to see inspection information, e.g., when company
trade secrets are involved.
The Act specifically requires (Section 3006) that the public
be given the opportunity to comment before:
A State submits an application for authorization to
implement Subtitle C
EPA decides to grant or deny a State authorization
EPA withdraws a State's authorization
EPA issues a suspension or revokes the permit of a
hazardous waste facility.
Under the Act the public is given a fairly broad authority to
ensure that the entire RCRA program is properly
implemented. Specifically, Section 7002 allows a citizen to
bring a civil suit against any person or government agency
alleged to be in violation of any permit, standard, regulation,
condition, requirement, or order which has become effective
under the Act HSWA expanded the scope of the citizen suit
provisions. Now, a person may also bring suit against any
past or present generator, transporter, or owner or operator
of a facility who has contributed to or is contributing to a
condition that may present an imminent and substantial
endangerment to human health or the environment.
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CHAPTER 8
PUBLIC PARTICIPATION
p. 3
REGULATIONS
PUBLIC
EPA
The right of citizens to bring suits under Section 7002 is
limited in certain situations. No suit may be brought if the
Administrator or a State is already taking enforcement action
against the alleged violator. HSWA further limits the reach
of such suits by not allowing them to be used to impede the
issuance of a permit or the siting of a facility. Finally, also
under HSWA, transporters are protected from citizen suits
in response to problems arising after delivery of the waste.
Most regulations covering public participation under RCRA
were issued in late 1977, when the Office of Solid Waste
was still part of the Office of Water and Waste Management.
At that time the Assistant Administrator of Water and Waste
Management gathered together a workgroup to revise and
consolidate the Office's public participation policies. The
general policies then were codified as 40 CFR Part 25 in
February 1979.
The objectives of these regulations are to:
Make sure the public understands the RCRA
program and proposed changes to it
Be responsive to public concerns and take them into
account
Develop a close link between EPA, states, and the
public
Provide opportunities for public participation beyond
what is required, whenever feasible.
To achieve these regulatory goals, agencies involved in the
implementation of RCRA are required to take actions that
include:
Providing free copies of reports
Alerting interested and affected parties of upcoming
public hearings
Establishing EPA-funded advisory groups when an
issue warrants sustained input from a core group of
citizens.
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CHAPTERS
PUBLIC PARTICIPATION
p. 4
GUIDANCE
UlAlbS
SWF
OUNIIMCIUH8
PUBLIC
Who is Involved in Public
Participation?
HSWA'S EFFECT ON PUBLIC
PARTICIPATION UNDER
RCRA
In addition to the Part 25 regulations, RCRA's permitting
regulations (40 CFR 270) also cover public participation.
They require the permitting agency to:
Consider public comments pertaining to permit
violations
Notify the public of the intent to issue a permit
Allow 45 days for public comment on the permit
application
Notify the public of proposed major modifications to
an operating permit
To supplement the preceding statutory and regulatory
requirements, EPA has recently developed guidance for
public participation in RCRA permitting. The guidance is
designed to:
Identify public concerns early in the permitting
process
Encourage the exchange of information between
EPA, the State, the permittee, and the community
Create open and equal access to the permitting
process
Anticipate conflicts and provide an early means for
resolution.
The steps that will be taken to achieve these goals for each
facility are outlined in a Public Involvement Plan which is
developed and implemented by regional EPA and/or State
staff. In developing the Plan, staff may interview
individuals in the community. The Plan in turn, may
recommend that small informational meetings or public
hearings be held to keep community members informed
during the permitting process.
Although this guidance is relatively new and untested, it has
great potential to be effective. Its success will depend on the
degree to which active public involvement in permitting can
reduce citizen fears and lead to the permitting and,
ultimately, the construction of new facilities.
There are a number of 1984 amendments to RCRA that
create new opportunities for public involvement in the
program. Two of these are particularly noteworthy:
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CHAPTER 8
PUBLIC PARTICIPATION
p. 5
OFFICE OF OMBUDSMAN
DISCLOSURE OF INFORMATION
The creation of an Office of Ombudsman
The requirement that authorized States fully disclose
all information relevant to the management of
hazardous waste.
In order to create a central clearinghouse for public concerns
on matters relating to the implementation and enforcement of
RCRA, HSWA requires EPA to establish the Office of
Ombudsman (Section 2008). The Office's primary function
will be to receive complaints and or requests for information
submitted by any person about any program or requirement
under the Act. The staff, in turn, addresses these public
inquiries. In addition, the Ombudsman makes
recommendations to the Administrator on the appropriate
course of action, when such advice is required. The office
was given a 4-year lifespan, ending on November 8,1988.
When EPA is implementing the RCRA program within a
State, the public is given access to facility and site
information relating to permitting, compliance,
enforcement, and the results of inspections. Prior to HSWA
however, an authorized State was only required to divulge
to the public the name and address of permit applicants.
HSWA (Section 3006(f)) corrects this lack of equivalency.
Now, information obtained by authorized States regarding
facilities must be made available to the public in
substantially the same manner, and to the same degree, as
would be the case if EPA were carrying out the RCRA
program in the state.
SUMMARY
The public participation framework developed under RCRA
expands citizen opportunity for involvement well beyond
Agency wide requirements (outlined in the Administrative
Procedures Act). This framework consists of:
Statutory requirements:
- Access to information
- Program Implementation
- Enforcement
Regulations (e.g., the requirement for agencies
involved in the implementation of RCRA to
provide free copies of reports)
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CHAPTERS PUBLIC PARTICIPATION p. 6
Guidance (e.g., that outlining the development
and implementation of Public Involvement
Plans)
HSWA further expanded the public participation program
under RCRA by:
Creating an Office of Ombudsman
Requiring that authorized States fully disclose
all information relevant to the management of
hazardous waste.
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CHAPTER 9
SUPERFUND AND ITS RELATIONSHIP
TO RCRA
p. 1
OVERVIEW
PHOTOGRAPH
At the writing of this chapter, reauthorization of the
Comprehensive Environmental Response, Compensation
and Liability Act (CERCLA), commonly referred to as
Superfund, is being debated by both houses of Congress, so
specific changes in the requirements of this law are unkown
at this time. This chapter describes the relationship of
RCRA to Superfund as of September 1,1985.
Superfund, was created in response to the discovery in the
late 1970's of a large number of abandoned, leaking
hazardous waste dumps that were threatening human health
and contaminating the environment. One of the best known
of these dumps is Love Canal, in Buffalo, New York, where
a chemical company had buried large amounts of hazardous
waste in a canal originally designed to transport water. After
the canal was capped with clay and soil, during the 1940's
and early 1950's, a community was built around it and a
school on top of it. Over the years the canal leaked and by
1978 the danger to human health had become so great that
President Carter was forced to declare the canal area a
national disaster and re-locate families in its vicinity.
At the time that Love Canal gained national attention, EPA
had few tools to deal with a disaster of this type and
magnitude. Although RCRA allowed EPA to require proper
management of hazardous waste at active and properly
closed facilities, and to compel persons to abate
endangerments to human health or the environment it
provided limited authority for governmental response to
leaks or threatened leaks of hazardous waste at abandoned or
inactive sites. It quickly became apparent to the President,
Congress, and a frightened public that some type of national
legislation was needed to fill this void. This legislation took
the form of Superfund, which was passed by Congress on
December 3, 1980, and signed into law a week later by
President Carter.
Superfund gives the Federal government broad powers to
respond to releases, or threatened releases, of any hazardous
substance into the environment as well as to a release of a
pollutant or contaminant that may present an imminent and
substantial danger to public health or welfare. A response
can take the form of either a short-term removal action that
addresses surface problems at the site, or long-term remedial
actions that involve thoroughly assessing the situation and
cleaning up both surface and subsurface problems at the site.
Under Superfund, EPA can take the response action or
compel the responsible parties (RPs) to do so at their own
expense (RPs are any individual(s) or corporation(s)
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CHAPTER 9
SUPERFUND AND ITS RELATIONSHIP
TO RCRA
p. 2
responsible for, or contributing to a hazardous waste site).
If the Federal Government takes the action it may bring suit
against the responsible parties to collect for the cost of the
response. This money is used to reimburse the fund.
In certain cases Superfund implementation requires close
coordination with, and adherence to, regulations set out
under RCRA, e.g., hazardous waste removed from a
Superfund site must be disposed of at a RCRA facility.
This chapter gives an overview of Superfund and details
areas of coordination between Superfund and RCRA.
SUPERFUND: WHAT IS IT?
TAKING RESPONSE
ACTIONS
Removal Actions
The Superfund program consists of three functions:
Taking actions in response to releases or threatened
releases of hazardous substances, pollutants, or
contaminants (Section 104 - CERCLA)
Requiring RPs to take the appropriate response
action and overseeing their response (Section 106-
CERCLA)
Recovering expenditures for response actions taken
by the Federal Government (Section 107-CERCLA).
EPA has authority to take action under Superfund whenever
there is:
A release or substantial threat of release of any
hazardous substance
A release or a substantial threat of release of any
pollutant or contaminant that may present an
imminent and substantial danger to the public health
or welfare.
In some situation the States , the United States Coast Guard,
or the United States Corps of Engineers may take the lead in
responding to these types of releases, but this chapter will
focus on the steps taken by EPA to implement Superfund.
Two types of response actions exist, removal and remedial.
Removal actions generally are short-term cleanups that
usually address problems only at the surface of a site. They
are conducted in response to an emergency situation, e.g.,
to avert an explosion or to clean up a hazardous waste spill,
or to stabilize a site until a permanent remedy can be found.
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CHAPTER 9
SUPERFUND AND ITS RELATIONSHIP
TO RCRA
p. 3
Remedial Actions
WHO PERFORMS THE
RESPONSE ACTION?
FINANCING RESPONSE
ACTIONS
Removal actions are limited to 6 months duration and $1
million in expenditures, although in certain cases these limits
may be extended.
Remedial actions are generally more expensive (an average
of $6-12 million) and of longer duration (an average of 3.5
years) than removal actions. Remedial actions are intended
to provide permanent solutions to hazardous substance
threats. EPA can take remedial actions only at hazardous
waste sites on the National Priorities List (NPL) which
contains the nation's most dangerous sites. Sites are placed
on the NPL after being evaluated through the Hazard
Ranking System (HRS). The HRS is a model that
determines the relative risk to public health and the
environment posed by hazardous substances in ground
water, surface water, air, and soil. As of September, 1985,
there were 541 sites on the NPL and 309 sites proposed for
inclusion. In certain cases a remedial action can follow a
removal action at the same site.
EPA often tries to identify the parties that are responsible for
the contaminantion before taking any response action. The
following individuals can be considered potentially
responsible parties (PRPs):
Past and present owners or operators of the site
Generators of hazardous substances found at the site
Transporters of hazardous substances to the site.
Once the PRPs are identified, EPA determines whether they
are able to undertake the response action. If they are, EPA
can either negotiate a legal agreement requiring the PRPs to
respond or unilateraly order them to take the response action.
If the PRPs are either unable to respond or refuse to comply
with the Agency's order, EPA can take the necessary
response action itself.
Regardless of who carries out the response, the procedures
for doing so are uniform. These procedures are outlined in
the National Contingency Plan (NCP) the most recent
version of which was published in November, 1985. The
NCP includes the procedures to follow in determining the
appropriate extent of cleanup and of assuring that remedial
actions are cost effective.
As discussed above, EPA's first preference in achieving
cleanup is for the PRPs to perform the response action
themselves. Where the PRPs do not respond, either because
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CHAPTER 9
SUPERFUND AND ITS RELATIONSHIP
TO RCRA
p. 4
SUPERFUND/RCRA
INTERCONNECTIONS
DISPOSAL OF SUPERFUND
WASTE
they arc not willing or not able, e.g., bankrupt, EPA can
take the necessary action using money from the Hazardous
Substance Response Trust Fund (the "Superfund"). The
Fund, set at $1.6 billion, is collected through a combination
of taxes on crude oil, petroleum products, designated
chemical feedstocks, and Federal appropriations. It is used
to pay for Federal and State response costs. The Fund is
also available in limited circumstances to pay for damages to
natural resources, and epidemiological studies.
In light of the high cost of response actions and the number
of sites and spills that need to be addressed it is easy to see
how even a $1.6 billion fund could quickly be depleted. To
address this problem Congress gave EPA the power to
recover Fund expenditures by bringing suit against RP's for
the cost of fund-financed cleanup (a process called cost
recovery).
Although Superfund and RCRA are separate programs
(Superfund addressing problems at facilities no longer
operating, RCRA regulating present and future waste
management), they overlap in a number of areas.
Considering that both laws are designed to protect human
health and the environment from exposure to hazardous
wastes this overlap should come as no surprise. The areas
of interconnection encompass:
Disposal of Superfund wastes
Corrective action
Imminent hazards.
When wastes from a Superfund site are taken off-site for
treatment, storage, or disposal the facility to which they are
brought must have a RCRA permit or be operating under
interim status. Superfund policy further requires that
facilities used for treatment or disposal of Superfund waste
be inspected by EPA to ensure that they are in compliance
with the appropriate RCRA regulations. In addition to
sending waste to facilities that are in compliance with RCRA
regulations, any individual moving waste off a Superfund
site must adhere to RCRA's generator and transporter
requirements.
Wherever applicable, on-site treatment, storage, or disposal
of hazardous waste at Superfund sites must meet RCRA
technical requirements for the design and operation or the
closure of a facility. Individuals involved in such on-site
activities need not, however, comply with RCRA generator,
transporter, or permit requirements.
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CHAPTER 9
SUPERFUND AND ITS RELATIONSHIP
TO RCRA
p. 5
CORRECTIVE ACTION
IMMINENT HAZARD
Prior to HSWA, EPA's only explicit authority for requiring
owners or operators of RCRA facilities to conduct extensive
cleanups was under Superfund. Now RCRA authorizes
EPA to require corrective action under an order or as part of
a permit whenever there is or has been a release of hazardous
waste or constituents into the environment. HSWA provides
similar corrective action authority in response to releases at
interim status facilities. HSWA further directs EPA to
require corrective action beyond the facility boundary, on a
case-by-case basis, pending new regulations to that effect
EPA interprets the term "corrective action" to cover the full
range of possible actions, from studies and quick-fix
measures to full clean-ups. Anyone who violates to
corrective action order can be fined up to $25,000 per day of
noncomplinance and runs the risk of having their interim
status suspended or revoked.
Both Superfund and RCRA contain provisions that allow
EPA to require persons contributing to an imminent hazard
to take the necessary actions to clean it up. Under
Superfund (Section 106) EPA is given the authority, via the
courts, to abate an imminent or substantial danger to public
health or welfare or the environment that results from an
actual or threatened release of a hazardous substance. The
authority under RCRA is essentially the same, except that in
RCRA's imminent hazard provision (Section 7003), non-
hazardous as well as hazardous solid waste releases are
addressed. The Superfund and RCRA imminent hazard
provisions maybe used in tandem to strengthen the
government's case.
SUMMARY
The Superfund program consists of three functions:
Taking actions (removal or remedial)
in response to releases or threatened
releases of hazardous substances,
pollutants, or contaminants
Requiring responsible parties to take
the appropriate response and overseeing
their response
Recovering expenditures for response
actions taken by the Federal government
Although Superfund and RCRA are separate programs they
overlap in a number of areas:
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CHAPTER 9 SUPERFUND AND ITS RELATIONSHIP p. 6
TO RCRA
Disposal of Superfund wastes Superfund
wastes taken off-site must be treated, stored,
or disposed of at a facility that has a RCRA
permit or is operating under interim status.
In addition, wherever applicable, on-site
treatment, storage, or disposal of hazardous
waste at Superfund sites must meet certain
RCRA technical requirements
Corrective Action EPA now has two
mechanisms with which to require extensive
cleanups, existing Superfund authority, and
new HSWA corrective action authority
Imminent Hazard ~ Both Superfund and
RCRA contain provisions requiring
persons contributing to an imminent
hazard to take the necessary actions to
clean it up.
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SECTION IV
SUBTITLE I OF RCRA - MANAGING UNDERGROUND STORAGE TANKS
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SECTION IV
UNDERGROUND STORAGE TANKS
p. 1
OVERVIEW
As many as 1.5 million underground storage tanks are used
in the United States to contain hazardous substances or
petroleum products. An estimated 100,000 to 300,000 of
these tanks are presently leaking and polluting underground
water supplies, and more may begin to leak within the
coming years. In addition to ground-water contamination,
leaking tanks can damage sewer lines and buried cables,
poison crops, and lead to fires and explosions. To address
this problem, Congress added a program in HSWA to
control and prevent leaking underground storage tanks
(UST). The UST program breaks new ground in that, for
the first-time, the RCRA program applies to products as
well as wastes. This new program, in Subtitle I of HSWA,
regulates underground tanks storing petroleum products
(including gasoline and crude oil) and any substance defined
as hazardous under Superfund. It is important to note that
Subtitle I does not regulate tanks storing hazardous wastes
as defined by RCRA. Such tanks are already regulated
under Subtitle C.
Due to HSWA, EPA will develop performance standards for
new tanks and develop regulations for leak detection,
prevention, and correction at all underground tank sites.
While the regulations are being developed, the amendments
impose an interim standard, effective May 7, 1985, which
bars installation of unprotected tanks under most conditions.
EPA also is gathering information to determine the extent of
the problem of leaking underground storage tanks
nationwide. Furthermore, the Agency has issued a
Chemical Advisory on the potential dangers from leaking
fuel tanks in order to bring the problem to the attention of
tank owners and operators. Congress has asked for other
studies and, when they are completed, EPA will make
recommendations concerning any additional regulatory
actions which may be needed.
This chapter will describe the new UST program, including
the ban on unprotected tanks, the tank notification program,
the statutory mandate for the regulatory program. Because
the UST program is new and the details are under
development (e.g., tank performance standards), only an
outline of the program can be given in this chapter.
WHO IS REGULATED BY THE
UST PROGRAM?
An "underground storage tank" is defined as any tank with
at least 10 percent of its volume buried below ground,
including any pipes attached to the tank. Thus, above-
ground tanks with extensive underground piping may be
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SECTION IV
UNDERGROUND STORAGE TANKS
p. 2
THE UNDERGROUND
STORAGE TANK PROGRAM
BAN ON UNPROTECTED NEW
TANKS
regulated under the new law. Any owner or operator who
stores petroleum products or a substance defined as
hazardous under Superfund in an underground tank must
meet the new UST requirements. This includes all Federal
entities that use tanks. The UST program does not apply to:
Tanks holding a hazardous waste regulated under the
RCRA hazardous waste program (Subtitle C)
Farm and residential tanks with a holding capacity of
less than 1,100 gallons of motor fuel
On-site tanks storing heating oil
Septic tanks
Pipelines regulated under other laws
Surface impoundments
Systems for collecting storm water and wastewater
Flow-through process tanks
Liquid traps or associated gathering lines related to
operations in the oil and natural gas industry.
The underground storage tank program outlined in the Act
has five parts:
Ban on unprotected new tanks
Notification program
Regulatory program
State authorization
Inspection and enforcement.
Each of these is described below.
A provision banning underground installation of unprotected
new tanks went into effect on May 7, 1985. Currently, no
person may install an underground storage tank unless:
It will prevent releases of the stored substances due
to corrosion or structural failure for the life of the
tank
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SECTION IV UNDERGROUND STORAGE TANKS p. 3
It is protected against corrosion, constructed of
noncorrosive material or steel clad with noncorrosive
material, or designed to prevent the release of the
stored substances
The material used in the construction or lining of the
tank is compatible with the substance to be stored.
The maximum penalty is $10,000 per tank for each day this
provision is violated.
NOTIFICATION Subtitle I calls for a notification program that may affect
several million tank owners. This program requires, in part,
that owners of existing or newly installed underground
storage Tanks notify the State or local agency of each tanks
age, sizt, type, location, and use. The major steps of the
notification program and their implementation schedule are
as shown below in Figure IV. 1:
Schedule Requirement
By May 1985 State governors must designate the state or
local agency that will receive the
notifications.
By Nov. 1985 EPA must prescribe the form of the notice.
By May 1986 Owners of existing underground storage
tanks must notify the state or local agency
of each tank's age, size, type, location, and
use.
By May 1986 Owners of underground storage tanks taken
out of operation after January 1, 1974, but
still in the ground, must notify the state or
local agency of each tank's age, date taken
out of operation, size, type, location, and
contents (type and quantity of substance
left in the tank).
After May 1986 Owners of newly installed underground
storage tanks must notify the state or local
agency within 30 days after installation of
the existence of such tank, soecifying the
age, size, type, location, and uses of the
tank.
Figure IV. 1 Notification Schedule
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SECTION IV
UNDERGROUND STORAGE TANKS
p. 4
REGULATORY PROGRAM
Standards for new tanks
Regulation concerning
leak detection/prevention
and corrective action
Petroleum
Products
February 1987
February 1987
Hazardous
Substances
August 1987
August 1988
Figure IV.2
Deadlines for New Tank
Standards and Regulations
Concerning Leak Detection,
Prevention and Corrective
Action
In addition, beginning 30 days after the form of the notice
is prescribed and for 18 months thereafter, any person who
deposits regulated substances in an underground storage
tank must notify the owner or operator of such tank of the
owner's notification requirements. Finally, beginning 30
days after the new tank performance standards are issued
(see Figure IV.2) sellers of underground storage tanks must
notify purchasers of the owner's notification requirements.
A maximum penalty of $10,000 can be given for not
following these notification procedures.
Under HSWA, EPA must develop and promulgate
regulations that specify performance standards for new
tanks, as well as regulations covering leak detection, leak
prevention, and corrective action for both new and existing
underground storage tanks. There are two schedules for
developing these regulations, one for tanks containing
petroleum, the other for tanks holding hazardous substances
(see Figure IV.2).
The law specifies that the leak detection/prevention and
corrective action regulations must require owners/operators
of underground storage tanks to:
Have methods for detecting releases
Keep records of the methods
Take corrective action when leaks occur
Report leaks and corrective actions taken
Provide for proper closure of tanks
Provide evidence, as EPA deems necessary, of
financial responsibility for taking corrective action
and compensating third parties for injury or damages
from sudden or nonsudden releases. States may
finance corrective action and compensation programs
by a fee on tank owners and operators.
The requirements for cleaning up tanks through corrective
action are expected to be one of the most significant costs
imposed by the new law.
In addition to developing regulations, the law requires EPA
to conduct three studies on:
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SECTION IV
UNDERGROUND STORAGE TANKS
p. 5
STATE AUTHORIZATION
INSPECTIONS AND
ENFORCEMENT
Study Due By
Tanks containing petroleum products Nov. 1985
Tanks containing Superfund hazardous Nov. 1987
wastes
Farm and heating oil tanks
Nov. 1987
The purpose of the last study is to examine how such tanks
are used and based on results, recommend whether or not
they should be subject to the new law.
Several States already have or are developing regulatory
programs for underground storage tanks. The new law is
designed to avoid interfering with those State programs and
to encourage other States to press ahead with control
programs. Avoiding interference is why the notifications
discussed earlier will be received directly by States and local
agencies. However, States must still apply to EPA for
authorization (beginning in May 1987) to operate an UST
program. The law gives States a choice in selecting whether
their program will cover petroleum, or hazardous substance
tanks, or both. State programs must include ail the
regulatory elements of the Federal program and provide for
adequate enforcement. After a 1 to 3-year grace period,
State requirements must be no less stringent than Federal
requirements.
HSWA provides authority for Federal and State personnel
to:
Request pertinent information from tank owners
Inspect and sample tanks
Monitor and test tanks and surrounding soils, air,
surface water, and ground water.
Federal enforcement is also included in the new law. EPA
may issue compliance orders for any violation of the UST
statute or regulations. Offenders are subject to civil
penalties of up to $10,000 per tank for each day of
violation, although criminal penalties are not authorized.
-------
SECTION IV UNDERGROUND STORAGE TANKS p. 6
SUMMARY HSWA created an entirely new RCRA program, under
Subtitle I, that regulates underground tanks storing
petroleum products and any substance defined as hazardous
under Superfund. Underground tanks storing hazardous
waste as defined by RCRA are regulated under Subtitle C.
The underground storage tank program outlined in Subtitle I
has five parts:
Ban on unprotected new tanks
Notification program
Regulatory program (the development of standards
for tanks, and regulations concerning leak detection/
prevention and corrective action)
State authorization to carry out the Subtitle I
program
Inspection and enforcement.
Because the Subtitle I program is so new very few of the
regulations pertaining to it have been developed
-------
APPENDIX A
UNIFORM HAZARDOUS WASTE MANIFEST
-------
iasse print or type. (Form designed for use on elite (12-pitch) typewriter.)
Form Approved. OMB No. 20OO-0404. Expires 7-31-86
t
G
E
N
E
R
A
T
O
R
1
'T
R
A
N
S
P
O
R
T
E
R
F
A
C
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1
T
Y
UNIFORM HAZARDOUS
WASTE MANIFEST
3. Generator's Name and Mailing Address
4. Generator's Phone ( )
t>. Transporter l Company Name
7. Transporter 2 Company Name
1 . Generator's US EPA ID No. Manifest
Document No.
I I I I I I I I I I I I I I I
6.
I I
8.
I I
9. Designated Facility Name and Site Address 10.
I I
US EPA ID Number
I I I I I I II
US EPA ID Number
I I I I I I II
US EPA ID Number
I I I I I I II
1 2. Cont:
1 1 . US DOT Description (Including Proper Shipping Name, Hazard Class, and ID Number)
No.
a.
I I
b.
I I
c.
I I
d.
' " ' II
J, v Additional Descriptions for* Materials Listed Above , , 4^ - ,
f x * "/.*, «^-^^i^/!4^*^4s^4fe^^*^ivx
f ' * - v->8\* » * «^''*saj»'i» ! ^^^swWsiwSa .£, &
§^^\sr^r ,'aS -
*K^^'-- t' * ; N.-.
K.. Handling Codes for Wastes Listed Above
V. * , -v ,
15. Special Handling Instructions and Additional Information
1 6. GENERATOR'S CERTIFICATION: 1 hereby declare that the contents of this consignment are fully and accurately described above by
proper shipping name and are classified, packed, marked, and labeled, arid are in all respects in proper condition for transport by highway
according to applicable international and national government regulations.
Unless 1 am a small quantity generator who has been exempted by statute or regulation from the duty to make a waste minimization certification
under Section 3002(b) of RCRA, 1 also certify that 1 have a program in place to reduce the volume and toxicity of waste generated to the degree 1
have determined to be economically practicable and 1 have selected the method of treatment, storage, or disposal currently available to me which
minimizes the present and future threat to human health and the environment.
Printed/Typed Name
Signature
Month Day Year
1 1 1 1 1 1
17.Transporter 1 Acknowledgement of Receipt of Materials
Printed/Typed Name
Signature
Month Day Year
1 1 1 1 1 1
IS.Transporter 2 Acknowledgement of Receipt of Materials
Printed/Typed Name
19. Discrepancy Indication Space
Signature
Month Day Year
1 1 1 1 1 1
20.Facility Owner or Operator: Certification of receipt of hazardous materials covered by this manifest except as noted in Item 19.
Printed/Typed Name
Signature
Month Day Year
1 1 1 1 1 1
EPA Form 8700-22 (Rev. 4-86) Previous edition is obsolete.
-------
APPENDIX B
PART A « PERMIT APPLICATION
-------
Federal Register / Vol. 45. No. 98 / Monday, May 19.1980 / Rules and Regulations 33555
Please print Or type in trie unshaded *ra«t only
Hill-in mat »n sptctd for eli» type, >.«., 13 charxurtfinch).
Form Approved OMB No. »S8-flOI75
FORM
GENERAL
L &EPA
GENERAL INFORMATION
Contolicttttd Ptrmio Piognm
IRttd tht "Gtmrtl Inttmctiorn" otfore inning. I
. EPA I.O. NUMBER
ACrt. ITEMS
I. CPA I.O. NUMBER ^
\ \ \ \ \ \ \
MAILING ADDRESS
\ \ \ \ \ \ \
PLEASE PLACE LABEL IN THIS SPACE
GENERAL INSTRUCTIONS
If preprinted label has been provided, t«ix
It in the designated spece. Review the inform-
ation carefully; it any ol it is incorrect, crost
through it arid enter the correct data in the
appropriate fill-in area below. Also, if any of
the preprinted data is absent tttit tnt to ttii
Iff! of tht libtt tptct lita tht inforrnto'an
trill thould appear/, please provide it in the
proper fill-in areaM below. If the label is
complete end correct, you need not complete
Items I, III, V, end VI Itxctpt VI-E which
mutt bt competed ngtrdltal. Complete all
items if no label has been provided. Refer to
the instructions for detailed item descrip-
tions and for the legal authorizations under
which this data is collected.
II. POLLUTANT CHARACTERISTICS'
INSTRUCTIONS: Complete A through J to determine whether you neei to submit any permit application farms to the EPA. If you aniwer "yes" to any
questions, you mutt submit this form and the tupplementtl form lilted in the parenthesii following the question. Mark "X" in the box in the third column
if the supplemental form it attached. If you answer "no" to etch question, you need not submit any of these forms. You may answer "no" if your activity
it excluded from permit requirements; see Section C of the instructions. See also, Section 0 of the instructions for definitions of bold-faced ttrms.
SPECIFIC QUCSTION*
A. Is this facility a publicly owned treatment,
which results in t discharge to waters el
(FORM 2AI
C. Is this a facility which currently results
to waters of the U.S. other than those desen
A or B above? (FORM 2CI
6. Does or will this facility treat, store, or dispose of
hutrdou* wastes? (FORM 31
G. Oo you or will you iniect attnistacility any produced
water or other fluids which art brought to trie surface
In connection with conventional oil or natural gas pro-
duction. Inject fluids used for enhanced recovery of
oil or natural gas. or inject fluids for storage of liquid
hydrocarbons? (FORM 4)
I. Is this facility a proposed stationary source which it
one of the 28 industrial categories listed in the In-
structions and which will potentially emit 100 torn
per yew of any eir pollutant regulated under the
Clean Air Act and may affect or bt located in an
attainment area? (FORM S>
SPECIFIC QUESTIONS
VfltJ ftO
Does or will this facility liitttfr mining or propottdl
include a concentrated animal feeding operation or
aquatic animal production facility which results in a
discharge to water* of the U.S.? (FORM 28)
Is this a proposed facility lather tfitn thos» described
in A or B ttiootl which will result in discharge to
waters of the U.S.? (FORM 2DI
> you or will you inject at this facility industrial or
ypal effluent below tht lowermost stratum con-
one quarter milt of tht well bore,
."es of drinking water? (FORM 4)
proow
tlon of
(FORM 41
TI this facility fluids for spa-
of sulfur by the Frasch
ls, la situ combus-
.' 'r'.thermal energy?
It this facility a prupStniEsutioruiry source which is
NOT one of the 28 Industrial categories listed in the
instruction* and which will potentially emit 250 tons
per year of any air pollutant regulated under tht Clean
Air Act and may affect or bt located In in attainment
t? (FORM 5)
V. FACILITY MAILING ADDRESS
A. STREET. ROUT*: NO. OR OTHER SPECIFIC IDENTIFIER
EPA Form 3810-1 (5-80)
CONTINUE ON REVERSE
-------
33558 Federal Register / Vol. 45. No. 98 / Monday. May 19. 198O / Rulea and Regulations
NTINU6O FROM THE FBONT
VII. SIC COOES H-aigit. in orair of prior
VIII. OPERATOR INFOMMATIOM
9. ! ihm nmm* Mtt«a In
I Mm Vtll-A HM
CD YES D NO
*
c. »TATU» or orimATOM lEnttr me appropriate Itner into tht tnrwer box: if -Other . iptctfy. /
D. 'MOM* (area code 4 no./
f - 1-tUtHAL
SSTATE
P -PRIVATE
M - KUtM.lt loirtir thai ftdent or lUtt >
O - OTHER (t+Kify>
IX. INDIAN LAND
II tha facility tocatad on Indian lands?
DYES D NO
. EXISTING ENVIRONMENTAL PERMITS
Tr rropoud Sourctst
A. MPOC* iDtichirtes to Surface Water/
a. uic ((JmUrground Inaction of Fluids I
/Hamrdoul Vatttll
Attach to ttw application a topographic map of the area extending to at least one mite beyond pfb^sy bounderies. The map must jtiow
the outfine of the facility, the location of each of its existing and proposed intake and discharge rtnJttures, each of in hazardous waste
treatment, storage, or disposal facilities, and each well where it injects fluids underground. Include all springs, rivers and other surface
water bodies in the map area. See instructions for precise requirements.
II. NATURE OF BUSINESS Iprooidt t brief description/*
Ml. CERTIFICATION Ittt inttructiontl
I unify under penalty of law that t have personally examined ami am familiar with the information tubminerJ in tfiit application and all
attachment* end that, bated on my inquiry of tho* pertont immediately responsible for obtaining the information contained in the
application, I believe that the information a true, accurate and complete. I am aware that there an significant penalties for submitting
false information, including the possibility of fine and imprieonment.
C. DATE SIGNED
OMMEMTS FOR OFFICIAL USE ONLY'
ePA Form 3610-1 (5-80) REVERSE
BILLING CODE UOO-O^C
-------
33584
Federal Register / Vol. 45, No. 98 / Monday, May 19, 1980 / Rules and Regulations
Pleate print or type in the unshaded area only
Hill-in trett ar» tpaced for elitf typ». i.e.. 12 chtncten/inchl.
Form Approved OMB No. 1S8-S80OO*
RCRA
ORM
3 vvEPA
U.S. ENVIRONMENTAL PROTECTION AGENCY
HAZARDOUS WASTE PERMIT APPLICATION
Contolidtnd Permitt Progrtm
(Triil information It required under Section 3005 of RCRA.)
II. FIRST OR REVISED APPLICATION
FOR OFFICIAL USE ONLY
Place an "X" in tht appropriate box in A or B below (mtrt out to* only I to indicate whether this ii the first application you are lubmitting for your facility or a
reviMd application. It this ii your firit application and you already know your facility'i EPA 1.0. Number, or if thii ii a revind eporOtion, enter your facility'*
EPA I.D. Number In Item I above. //
A. FIRST APPLICATION (place a* "X" below and provide tnt appropriate date)
("I EXISTING FACILITY (See Inttnictlone for definition of "exittini" facility.
Tt Complete item below.)
1
L
POM EXISTING FACILITIES. PROVIDE THE OATC dr.. mo., t day)
OPERATION BEGAN OR THE DATE CONSTRUCTION COMMENCED
(tat tnt toMU to tne left!
lem below.) .
W FACILITIES.
.- -OE THE DATE
mo.. * day I OPERA-
N BEGAN OR IS
EXPECTED TO BEGIN
B. REVISED APPLICATION (place an "X" below and complttt Ittm I about)
Ql. FACILITY HAS INTERIM STATUS
». FACILITY HAS A RCRA PERMIT
III. PROCESSES - CODES AND DESIGN CAPACITIES
.ry. Ten linei are provided for
in the lilt of codei below, then
A. PROCESS CODE - Enter the coda from the lilt of procna coda below that bait deieribee each procen tol
entering coda*. If more line) are needed, enter the codeM in the tpaca provided. If a proem will be used thatV
describe the procen (Including la detign c*ptcltyl in trie ipaca provided on the form Ham III-CI.
B. PROCESS DESIGN CAPACITY - For each code entered In column A enter the capacity of the process.
1. AMOUNT - Enter the amount.
2. UNIT OF MEASURE - For each amount entered in column 8(1), enter the coda from tr>a>*l<<.unit measure codes below that describes the unit of
measure used. Only the units of measure that are lilted below should be used.
PROCESS
PRO- APPROPRIATE UNITS OF
CESS MEASURE FOR PROCESS
COD? DESIGN CAPACITY
Storage;
CONTAINS:*) (barrel, drum, ttc.)
TANK
WAITS: PILC
auRFACE IMPOUNDMENT
el GALLONS OR LITERS
OX GALLONS OR LITERS
SOS CUBIC YARDS OR
CUBIC METERS
104 GALLONS OR LITERS
PRO- APPROPRIATE UNITS OF
CESS MEASURE FOR PROCESS
CODE DESIGN CAPACITY
INJECTION WELL
LANDFILL
LAND APPLICATION
OCEAN DISPOSAL
SURFACE IMPOUNDMENT
UNIT OF MEASURE
DTS GALLONS OR LITCRS
DSO ACRE-FEET frfi* volume Out
would cover one acre to a
depth of on* loot) OR
HECTARE-METER
Dei ACRES OR HECTARES
DEI GALLONS PER OAV OR
LITERS PER OAV
DSS GALLONS OR LITERS
UNIT OF
MEASURE
CODE
TANK
SURFACE IMPOUNDMENT
INCINERATOR
'I'M forpnyilcol. crMmicaJ,
ir biological treatment
not occurring tn fanfct,
ipoundm«nU or fncintfr*
DtKrlbt th* proceuet in
provided; Ittm I1I-C.)
TOI GALLONS PER DAY OR
LITERS PER DAY
TOI GALLONS PER DAY OR
LITERS PER DAY
TOI TONS PER HOUR, METRIC
TONS PER HOUR,
GALLONS PER HOUR OR
LITERS PER HOUR
T04
GALLONS PER OAV OR
LITERS PER DAY
UNIT OF MEASURE
UNIT OF
MEASURE
CODE
UNIT OF MEASURE
GALLON* G
LITERS L
CUBIC YARDS V
CUBIC METERS C
GALLONS PER DAV U LI
EXAMPLE FOR COMPLETING ITEM III Mown At lint
other can hold 400 gallons. The facility also hai an incinerator
UNIT OF
MEASURE
CODE
PER OAV
.OUR
PER HOUR.
R HOUR . . .
'PER HOUR
. V
. O
ACRE-FEET
HECTARE-METER.
ACRES
HECTARES
I tnd X-2 bttowl: A facility has two itorage tank*, one tank can hold 200 gallom end the
can bum up to 20 gallons per hour.
DUP
\\\\\\\\\\\\\\\\\\\\v\\
X-l
A. PRO-
CESS
CODE
Itnm lut
toot*!
B. PROCESS
CAPACITY
600
a. UNIT
OP MEA-
SURE
(enter
cadet
FOR
OFFICIAL
USK
ONLY
JZ
A. PRO-
CESS
CODE
I from litt
above!
B. PROCESS DESIGN CAPACITY
I. AMOUNT
1. UNIT
OF MEA-
SURE
(enter
cadet
FOR
OFFICIAL
USE
ONLY
20
10
EPA Form 35104 (MO)
PAGE I OF S
CONTINUE ON REVERSE
-------
Federal Register / Vol. 45. No. 98 / Monday. May 19. 1980 / Rules and Regulations
33585
Continued from the front.
III. PROCESSES (continued/^
C SPACE FOR ADDITIONAL. PROCESS COOES OR FOR DESCRIBING OTHER PROCESSES (Code "T04"). FOR EACH PROCESS ENTERED HERE
INCLUDE DESIGN CAPACITY.
IV. DESCRIPTION OF HAZARDOUS WASTES _
\. EPA HAZARDOUS WASTE NUMBER Enter the four digit number from 40 CFR, Subpart D tor each listed hazardous waste you will handle. If you
handle hazardous watta which ere not littad in 40 CFR. Subpart 0, antar tha four-digit numb*/»> from 40 CFR, Subpart C that describe! the characteris-
tics and/or tha toxic contaminants of (now hazardous wastaa.
B. ESTIMATED ANNUAL QUANTITY - For each lifted waete entered In column A
basis. For each characterloic or toxic contaminant entered in column A estimate the
which possets that characteristic or contaminant.
C. UNIT OF MEASURE - For each quantity entered In column B enter the unit of measure code.1
codes an:
tity of that watta that will be handled on an annual
itity of all tha non-Mted watteM that will be handled
of measure which must be used and the appropriate
CMfiLlSH llMITfiF MEASURE
METRIC UNIT OF MEASURE
_CQQE.
POUNDS.
TON*. . .
If facility records use any other unit of measure for quantity, the units
account the appropriate density or specific Brevity of the waste.
KILOGRAMS K
METRIC TONS M
rust be converted into one of the required units of measure taking into
D. PROCESSES
1. PROCESS COOES:
For lifted hazardous watte: For each lined hazardous watte nter«Tiov3bl^mtrA select the codtJU from the litt of process codes contained in Item III
to indicate how the waste will be stored, treated, end/or disposed of at
For nun listed hazardous waetea: For each characteristic or toxic contamMnt entered In column A, select the code/it/ from the list of process codes
contained In Item III to indicate all the processes that will be used to store, treat, and/or dispose of all the nonlisted hazardous wattes that possets
that characteristic or toxic contaminant.
. Note: Four spaces are provided for entering process codes. If more are needed: (1) Enter the fiat three at described above: (2) Enter "000" In the
extreme right box of Item IV-Od); end 13) Enter in/K>»c»orov>ded on page 4, tha line number and the additional codeW.
2. PROCESS DESCRIPTION: If a code Is not listed for
ill be used, describe the process In the space' provided on the form.
NOTE: HAZARDOUS WASTES DESCRIBED BY MORE TMkNONC ETA HAZARDOUS WASTE NUMBER - Hazardous wattes that can be described by
more then one EPA Hazardous Watte Number shall be described dn&e form ae follows:
1. Select one of the EPA Hazardous Watte Numbers and enterw in column A. On the same line complete columns 8,C, and D by estimating tha total annual
quantity of the waste and describing all the processes to be used to treat, store, or dispose of the watte.
2. In column A of the next line enter tha other EPA Hazardous Watt* Number that can be used to describe the watta. In column 0(2) on that line enter
"Included with above" and make no other entries on that line.
3. Repeat step 2 for each other EPA Uaaenjniii Watte Number that can be used to describe the hazardous watte.
EXAMPLE FOR COMPLETING
per year of chrome shavings from
ire corrosive only and there will be
100 pounds par year of that waste. Treat
U
26
JZ
A. EPA
HAZARD.
WASTE NO
<*nt*r cod*)
III* numbm X-1. X-2. X-3. »td X-4 btlowl - A facility will treat and dispoatof an estimated 900 pounds
' finishing operation, hi addition, the facility will treat and dispose of three non-listed wastes. Two wastes
pounds per year of each watte. The other waste Is corrosive and ignitabla and there will be an estimated
an incinerator and disposal will be in a landfill.
B. ESTIMATED ANNUAL
QUANTITY OF WASTE
C.UNIT
OFMEA-
BORE
O. PROCESSES
I, PROCESS CODE*
(mar)
a. PROCESS DESCRIPTION
(if a eodt It not tnttnd In D<1»
X-l
900
T 0 3
D 8 0
X-2
400
I I
TO 3
I I
D 8 0
Tr
X-3
100
I ' I
T 0 3
TI"
D 8 0
X-4
-n-
Tr
included with above
.EPA Form 3510-3 (540)
PAGE 2 OF 3
CONTINUE ON PAGE 3
-------
33586 Federal Register / Vol. 45. No. 98 / Monday. May 19.1980 / Rules and Regulations
Continued from page 2.
NOTf: Photocopy tf>'» o*gt btfon completing H you /»« man thtn X m*m to lilt.
Form Approved OMB No. I58-S800O4
So
JZ
A. EPA
HAZARD.
WASTE NO
(tnttrcodtl
B. ESTIMATED ANNUAL
QUANTITY OF WASTE
URC
(tnttr
codtt
O. PROCESSES
1. PHOCIS* COOCS
Itnttr)
1. PROCESS DESCRIPTION
(if Q cod* it not tnttnd in D<1))
&y>
10
11
12
13
14
15
16
17
18
\>
19
20
21
22
23
24
25
26
*'* "'"
EPA Form 3510-3 (5-801
PAGE 3 OF 3
f«n(*r "A", "B". "C", tte. tented thi "3" to Identity photofOfitd paga)
CONTINUE ON REVERSE
-------
Federal Register / Vol. 45. No. 98 / Monday. May 19.1980 / Rules and Regulations 33587
Continued from the front.
IV. DESCRIPTION OF HAZARDOUS WASTES (continued)^
E. USE THIS SPACE TO LIST ADDITIONAL PROCESS CODES FROM ITEM B( I) ON PAGE 1.
PA I.D. NO. (tnttr from page I
V. FACILITY DRAWING
All Mining facilitiei mutt include in the space provided on page 5 e icale drawing of the facility
VI. PHOTOGRAPHS
All existing facilities must include photographs laerial or ground-level) that clearly delineate all existing structures; existing storage
treatment and disposal areas; and sites of future storage, treatment or disposal areas (see instructiont for more detail).
VII. FACILITY GEOGRAPHIC LOCATION
LATITUDE fctefran. mlnuln. * tnondtl
L.ONGITUDB toetrtct, minute*, at Meonoi)
VIII. FACILITY OWNER.
Q A. If the facility owner it alio the facility operator as listed in Section VrH/o Form 1, "General Information", piece en "X" in the box to the left end
skip to Section IX below.
B. If the facility owner is not the facility operetouiliited in Section VIII on Form 1, complete the following items:
i. NAM« or
AU OWN«»
>. PHONC NO. (om cod* A no.)
i. ITHCCT on P.O. BOX
4. CITY O» TOWN
e. ZIP CODC
IX. OWNER CERTIFICATION
/ certify under penalty of latf ^at^lfave^ersonally examined and am familiar with the information submitted in this and all attached
document*, and that based o\rfrfla4utyff those individuals immediately responsible for obtaining the information, I believe that the
submitted information i* true^tKuatf/and complete. I am aware that there are significant penalties for submitting false information,
including the possibility of fine an^gf/itonment.
A. N AMK (print or typtl
B. SIONATUMC
C. OATH SICNEO
X. OPERATOR CERTIFICATION
/ certify under penalty of law that I have personally examined and am familiar with the information submitted in this and all attached
documents, and that based on my Inquiry of those individuals immediately responsible for obtaining the information, I believe that the
submitted information is true, accurate, and complete. I am aware that there are significant penalties for submitting false information,
including the possibility of fine and imprisonment.
A. NAMK (print or rype>
. SIGNATURE
C. OATl SIGNCO
EPA Form 3510-3 (5-80)
PAGE 4 OF S
CONTINUE ON PAGE 5
-------
33588 Federal Register / Vol. 45. No. 98 / Monday, May 19,1980 / Rnles and Regulations
Continued from page 4.
Farm Approved OMB Ho. 1S8-SSOOO4
V. FACILITY DRAWING (tee page 41^
EPA Form 3S10-3 (640)
|FR Doc. 80-H313 Filed VlWft 8:45 am)
BILLING CODE 6560-01-C
PAGE 5 OF S
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