PERMIT WRITER'S
GUIDANCE MANUAL
(FOR TREATMENT AND STORAGE
IN TANKS AND CONTAINERS)
U.S. ENVIRONMENTAL PROTECTION AGENCY
1983
-------
PERMIT WRITER'S
GUIDANCE MANUAL
(FOR TREATMENT AND STORAGE
IN TANKS AND CONTAINERS)
U.S. ENVIRONMENTAL PROTECTION AGENCY
1983
-------
PERMIT WRITER'S GUIDANCE MANUAL
This guide was prepared by
A. T. Kearney, Inc.
P.O. Box 1405
699 Prince Street
Alexandria, Virginia 23313
with
PEDCo Environmental, Inc.
11499 Chester Road
Cincinnati, Ohio 45246
U.S. ENVIRONMENTAL PROTECTION AGENCY
1983
-------
DISCLAIMER
This Permit Writer's Guidance Manual has been developed to
assist Federal and state hazardous waste permit writers in
reviewing RCRA Part B Permit Applications. It is intended that
permit writers will use the document as a guide in the technical
review process and to relevant technical information which can
be used while conducting the reviews. The manual reflects all
the regulatory requirements as of the date of its publication.
All questions concerning the applicability of requirements or
their changes in status should be determined by direct reference
to the regulations.
11
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PREFACE
The purpose of this guide is to assist the Federal and
state permit writers in evaluating RCRA Part B permit applica-
tions for hazardous waste management facilities. This document
is designed to complement, not duplicate, the information pre-
sented in other guidance documents also developed for permit
writers including the document titled "RCRA Part B Permit
Strategy, U.S. EPA Region V" and the "Administrative Procedures
for RCRA Permits for Hazardous Waste Facilities. SW-934, U.S.
Environmental Protection Agency, 1981. These documents should
be referred to for further details on the administrative aspects
of permit issuance.
111
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TABLE OF CONTENTS
Page
I. INTRODUCTION 1-1
Applicability 1-2
Contents 1-2
Organization 1-3
II. OVERVIEW OF THE TECHNICAL REVIEW PROCESS II-l
Introduction II-l
Subject Area Flowcharts 11-5
III. COMPLETENESS CHECK I II-l
Introduction I II-l
Permit Application Checklist 111-5
IV. PERMIT WRITER'S DECISION GUIDE IV-1
Introduction IV-1
Decision Guide IV-3
Outline of Decision Guide IV-4
References for Permit Writer's Decision Guide . IV-36
APPENDIX A Confidential Treatment of Business Information A-l
IV
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LIST OF FIGURES
Number Page
II-l Permit Application Review Process Flowchart II-2
II-2 Subject Area B - Facility Description Flowchart II-6
II-3 Subject Area C - Waste Characteristics Flowchart II-7
I1-4 Subject Area D - Process Information Flowchart I1-8
II-5 Subject Area F - Procedures to Prevent Hazards
Flowchart II-9
II-6 Subject Area G - Contingency Plan Flowchart 11-10
II-7 Subject Area H - Personnel Training Flowchart 11-11
II-8 Subject Area I - Closure Plan Flowchart 11-12
I1-9 Subject Area J - Other Federal Laws Flowchart 11-13
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SECTION I
INTRODUCTION
Under Subtitle C of the Resource Conservation and Recovery
Act of 1976 (RCRA), the U.S. Environmental Protection Agency
(EPA) established regulations to ensure the protection of human
health and the environment through the proper management of
hazardous wastes. These regulations require certain facilities
that treat, store, or dispose of hazardous wastes to submit RCRA
permit applications to EPA. The permit applications consist of
two parts, Part A and Part B. These applications must contain
sufficient information to assure that the hazardous waste manage-
ment practices of the facility provide adequate levels of protec-
tion to human health and the environment.
Hazardous waste storage, treatment, or disposal facilities
in existence before November 19, 1980, were required to submit a
Part A permit application by that date. A Part B permit appli-
cation must be submitted by the facilities and approved before a
final permit is granted.
This Permit Writer's Guidance Manual is designed to help
the Federal and state permit writers evaluate whether Part B
permit applications contain adequate information to determine
whether or not the facility is in compliance with applicable
portions of 40 CFR 260-265.
1-1
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Applicability
This manual is applicable to existing hazardous waste
storage and treatment facilities, which use containers and
tanks, to manage hazardous waste. The manual has not been
designed to address new facilities*, land disposal facilities,
surface impoundments, waste piles, or incinerators. These items
are listed in the appropriate sections in the permit application
outline followed by the word "reserved."
Contents
The Permit Writer's Guidance Manual is divided into four
sections. Section I provides an introduction and general back-
ground information concerning the use of the manual. The second
section of this manual describes the procedures that should be
followed in conducting the technical review of the permit appli-
cation. Flowcharts are used to illustrate the major subject
areas required by the regulations in the Part B permit applica-
tion and to illustrate the decision points in the permit appli-
cation review process. The subject flowcharts show the major
items and and decisions that must be made before determining
whether subsequent items apply. For example, the permit
A significant portion of the regulatory requirements for new
facilities are identical to the requirements for existing
facilities. There are numerous significant differences includ-
ing but not limited to: 1) certain new facilities are required
to comply with 40 CFR 264.18(a) while existing facilities are
not required to comply with the seismic standards, and 2)
permit application completeness checks must be completed within
60 days of receipt for existing facilities, 30 days for new
facilities.
1-2
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reviewer must determine whether or not a facility's containers
contain free liquids, and then check for only the appropriate
subsequent items. The flowchart shows a branch whenever this
type of decision must be made by the permit writer.
Section III contains a completeness checklist of items that
must be addressed in the application. The permit writer reviews
the application and checks whether each required item is pro-
vided, not provided, or not applicable. By using this check-
list, the permit writer determines whether the submitted appli-
cation is complete to the extent that it includes sufficient
technical information on which to base a technical determina-
tion. If it is not complete, the facility is notified and the
additional information is requested. If the application is com-
plete, then the permit writer completes the detailed technical
evaluation of the application using the decision guide.
The decision guide presented in Section IV summarizes every
requirement in the regulations, provides the regulatory cita-
tion, and lists references that the permit reviewer can use to
obtain further information or guidance on specific technical
areas.
Organization
Each of the sections in this manual is organized similarly
by subject area. The information is centered around a suggested
permit application format. The format includes all the infor-
mation required for a permit application. The information is
based on RCRA regulations dealing with Part B information
1-3
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requirements (40 CFR 122.25) and the technical standards in
40 CFR 264. The suggested permit application format is as
follows:
A. Part A Application
B. Facility Description
C. Waste Characteristics
D. Process Information
E. Ground Water Monitoring Systems (reserved)
F. Procedures to Prevent Hazards
G. Contingency Plan
H. Personnel Training
I. Closure and Post-closure Plans and Financial Responsi-
bility
(Post-closure Plans - reserved)
J. Other Federal Laws
K. Certification
An outline of the subheadings under each subject area can be
found on page IV-4. The informational requirements can be
broadly categorized into two areas: I) general requirements
which apply to all facilities, and 2) specific requirements
which apply to the individual type of facilities (e.g., tanks
and containers). Sections A, B, C, F, G, H, I, J and K apply to
every facility, whereas Section D is divided into component
requirements for tanks and containers. Portions of F, G, and I
are also dependent on facility type. The flow charts in Sec-
tion II will assist the permit writer in evaluating the appro-
priate regulations which apply to an individual type of facil-
ity, on a case-by-case basis.
The checklist in Section III and the decision guide in
Section IV are also organized according to the 10 subject areas.
This same basic outline has also been followed in "A Guide for
Preparing RCRA Storage Permit Applications," U.S. EPA, 1982.
The same format has been used for all the documents to clarify
and facilitate their use by the permit writer.
1-4
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SECTION II
OVERVIEW OF THE TECHNICAL REVIEW PROCESS
Introduction
The permit process begins when either the EPA Regional
Office (or a state with Phase II authorization), requests sub-
mission of a Part B permit application or a facility voluntarily
submits an application. Upon receipt of the request, a facility
has 6 months to complete and submit the permit application.
After the agency receives the completed application, it logs the
submittal.
The application is reviewed to determine whether the appli-
cant has claimed any information in the application as business
confidential. If an applicant claims confidentiality on any
information in the permit application, the permit writer must
follow special procedures to prevent disclosure of the informa-
tion until a final decision is made on the request for confi-
dentiality. A detailed discussion on these procedures is pro-
vided in Appendix I.
Figure II-l is a flow diagram of the permit application
technical review process. First the permit application is
checked for timely submittal, certification and correct signa-
tures. Next the application is given a completeness check, to
insure that the required information has been submitted and that
II-l
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EPA calls Ptrt I
applications or
receives voluntary"^
applications
Receive 1 (09
In Part 8
Applications
-
Otvldt Application
Among Expert leans
»
If omissions or
deficiencies are
noted.
submit notice of
deficiency to applicant
i
Use CHECKLIST to
Identify omissions
in appl (cation
i
*
Use
eva
rel
H
I
Use DECISION GUIDE to
evaluate data In
relevant sections
of application.
Sections:
A. Part A Application
8. Facility Description
C. Waste Characteristics
D. Process Information
E. Ground Hater Monitoring Systems
F. Procedures to Prevent Hazards
6. Contingency Plan
H. Personnel Training
I. Closure I Post-Closure Plans
I
I
I
I
Issue Intent to
Deny
• Statement of Basis
• Administrative
Records
Wtthdrr
Draft
Permit
Draft Permit
• Fact Sheet or
Statement of
Basis
• Administrative
Records
To public notice
* and comment
process
Figure II-l. Permit application review process flowchart.
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relevant technical data has been certified by a registered
professional engineer. The checklist shown in Section III is
used to identify omissions in the application.
The permit writer uses the checklist to determine whether
or not each item has been provided or is not applicable. This
completed checklist provides a "workbook" from which the permit
writer can determine whether or not required items are included.
If the Part B permit application is incomplete, EPA issues a
"Notice of Deficiency" letter to the applicant that details the
missing information needed to complete the application and
states a due date for submission of the additional data. Upon
receipt of the additional data, the permit application review is
repeated with a new checklist. The Agency notifies the appli-
cant in writing when the application is complete.
After an application is considered complete, EPA conducts a
technical evaluation of the data in the application. This
review determines whether a facility has met the requirements of
the standards promulgated under Title 40 of the Code of Federal
Regulations (40 CFR) Part 264 and Section 122.25, and whether it
should be granted a RCRA permit. The technical evaluation is
made by using the decision guide presented in Section IV. Each
subject, submitted as Parts A through K in the permit appli-
cation, is evaluated separately. (These subject areas are used
to divide the application among the expert teams for review.)
The permit writer may utilize technical design manuals, state
information, or other sources of information to conduct the
II-3
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technical evaluation. The decision guide includes references to
manuals and other sources keyed to specific items in each subject
area.
If the agency determines that a facility site visit is
needed to confirm, complete, or evaluate data in an application,
a site visit is conducted at this time. The agency may choose
to use an outside contractor to provide technical expertise and
assistance in the technical review of a permit application
(including the completeness check, the technical evaluation, or
the site visits).
The agency must then tentatively decide whether to issue an
intent to deny a RCRA permit or write a draft permit. If a
decision to deny a permit, is reached, the permit writer prepares
a notice of intent to deny, which briefly describes the reasons
supporting the tentative decision to deny a permit. If the
decision is made to issue a draft permit, the permit writer
prepares the draft permit and a fact sheet or statement of
basis. A fact sheet is prepared for all major facilities and a
statement of basis is prepared for all other facilities.
The permit writer also compiles the administrative record,
which consists of the application, the draft permit or intent to
deny, the statement of basis or fact sheet and documents cited
therein, and other documents contained in the supporting file
for the draft permit. (For further details see 40 CFR 124.18.)
After these steps are completed in the permit application
review process, the Agency gives public notice, and the public
review process begins.
II-4
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Subject Area Flowcharts
Figures I1-2 through I1-9 are flowcharts that show the
major items in each subject area, B through J (E is reserved).
The permit writer can use the flow charts as a tool to assist
him/her in evaluating the specific informational requirements
which apply to any given facility. The flowcharts are designed
to show when a decision must be made as to the applicability of
individual requirements. For example, when evaluating the
facility description information, a permit writer first checks
whether the facility is located in a floodplain. If it is not,
the floodplain requirements are not applicable. If it is lo-
cated in a floodplain, the permit writer reviews the application
to determine whether the facility can meet the 100-year flood-
plain standards. The permit writer then checks the application
to see if it either shows compliance with the floodplain require-
ments or contains a compliance plan.
II-5
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GENERAL DESCRIPTION
Existing Facility
TOPOGRAPHIC
MAP
LOCATION
INFORMATION
100-Year Floodplain
Standards
Not Located
in Floodplain
Located in
Floodplain
Not in Compliance
with
Flood Plain Standard
emonstration
of
Compliance with
Flood Plain
tandar
Plan for Future
Compliance
Floodproofing and
Protection
Measures
TRAFFIC
PATTERNS
Figure 11-2. Subject area B - facility description flowchart.
II-6
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CHEMICAL AND PHYSICAL
ANALYSES
WASTE ANALYSIS PLAN
Parameters and Rationale
I
Test Methods
I
Sampling Methods
I
Frequency of Analysis
Additional Requirements for
Wastes Generated Off-Site
Figure II-3. Subject area C - waste characteristics flowchart.
II-7
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»
With
Free
Liquids
*
Description
*
Container
Management
Practices
*
Secondary
Containment
System
Design and
Operation
*
Removal
of Liquids
from
Collection
System
*
Without
Free
Liquids
*
Test for
Free Liquids
*
Description
of
Containers
*
Container
Management
Practices
*
Container
Storage
Area
Drainage
Figure 11-4. Subject area D - process information flowchart.
II-8
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Waiver of Security
Procedures and Equipment
24-hour Surveillance
System
Barrier and
Means to Control
Entry
PREPAREDNESS AND
PREVENTION
EQUIREMENT
Equipment
Requirements
*
Aisle Space
Requirements
*
PREVENTIVE PROCEDURES,
STRUCTURES AND EQUIPMENT
t »
IgnlUble
or RMCtlvt
Incompatible
PREVENTION
OF REACTION
IGNITABLE, REACTIVE OC
INCOMPATIBLE
WASTES
* »
IgnHable
or R**ct1vt
Incoi^nttble
Figure II-5. Subject area F - procedures to prevent hazards flowchart.
n-9
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GENERAL INFORMATION
EMERGENCY
COORDINATORS
IMPLEMENTATION
EMERGENCY
RESPONSE
PROCEDURES
EMERGENCY EQUIPMENT
COORDINATION AGREEMENTS
EVACUATION PLAN
REPORTS
Figure 11-6. Subject area G - contingency plan flowchart.
11-10
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OUTLINE
Job Titles and Duties
Training Content, Frequency
and Techniques
I
Training Director
Relevance to Job Position
Training for Emergency
Response
i
IMPLEMENTATION OF
TRAINING PROGRAM
Figure 11-7. Subject area H - personnel training flowchart.
11-11
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CLOSURE PLAN
±
]
[Closure Performance Standard |
Partial and Final Closure
Activities
I
[ Maximum Watte Inventory |
Will Comply With
Closure Time Frames
Specified In the Regulations
Extension
for closure
Closure
Fund
Surety
Bond
Closure
Letter
of
Credit
Closure
Insurance
Financial
Test and
Corporate
Guarantee
State
Mechanism
Coirti nation
Sudden
Insurance
i
Adjustment
Procedures
*
Nonsudden
Insurance
I
Figure 11-8. Subject area I - closure plan flowchart.
11-12
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CONSISTENCY WITH
OTHER FEDERAL
LAWS
0 Wild and Scenic
Rivers Act
0 National Historic
Preservation Act
of 1966
0 Endangered
Species Act
0 Coastal Zone
Management Act
0 Fish and Wildlife
Coordination Act
0 Clean Water Act
0 Safe Drinking
Water Act
0 Clean Air Act
0 Atomic Energy Act
0 Marine Protection,
Research and Sanc-
tuary Act
Figure 11-9. Subject area J - other Federal laws flowchart.
11-13
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SECTION III
COMPLETENESS CHECK
Introduction
When a permit application for an existing facility is
received, it is divided into sections by subject and distributed
to appropriate reviewers, who are required to conduct a complete-
ness check within 60 days. The completeness checklist included
in this section is designed to allow the permit writer to examine
a permit application and determine whether or not all the re-
quired items have been addressed.
The left column of the completeness checklist used by the
permit writer contains a description of each of the items re-
quired in the regulations for existing hazardous waste storage
and treatment facilities. The information is presented in the
same format as a permit application and the decision guide to
simplify cross-referencing between the checklist and the permit
application.* The columns to the right of the first column
contain designated spaces in which the permit application eval-
uator can check the status of the information elements being
Applications submitted in a format other than the "suggested
format" pose a special problem when using the attached check-
list. The permit writer should review the application and
simultaneously locate the corresponding items in the checklist,
and complete the checklist as appropriate.
III-l
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reviewed (e.g., provided, not provided, not applicable). The
column on the far right of each page allows room for comments by
the permit writer. This column could be used to identify any
omissions or deviations discovered during the permit application
completeness check. These omissions and deviations should be
subsequently corrected when the applicant responds to the notice
of deficiency.
The permit reviewer should review the application to deter-
mine if it provides enough information on the general and spe-
cific requirements of each section to be able to determine
whether or not the facility complies with all applicable regula-
tions. If enough information is provided, the appropriate boxes
checked, and the page(s) in the application where the informa-
tion appears is indicated in the "Comments" section. If some
information is supplied, but not enough to satisfy the require-
ments, the box "Provided" is checked, the page(s) in the appli-
cation where the information appears is indicated in the "Com-
ments" section, and a separate set of comments should be written
which addresses the inadequacies of the submittal. These com-
ments should be attached to the checklist and referenced in the
"Comments" section (e.g., see Comments). If no information is
provided or the permit requirement is not applicable (e.g., tank
requirements are not applicable to facilities without tanks),
the appropriate boxes should be checked. It is important to
note when conducting the completeness review that for an infor-
mational requirement listed in the checklist to be considered
III-2
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"satisfied", the application must supply data to allow review of
all the specific requirements. For example, in reviewing an
application for completeness of the requirement "F-2a Inspection
Schedule," it is necessary for the application to describe the
facility schedule for inspection of monitoring equipment, safety
and emergency equipment, security devices, and operating and
structural equipment. The schedule must also identify the types
of problems to look for during the inspection and the frequency
of inspection for items on the schedule. If the application
specifies the equipment to be inspected, and the frequency of
those inspections, but fails to identify the types of problems
to be inspected for, the "Provided" column should be marked, and
a separate set of comments should be written which address this
specific inadequacy.
III-3
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Completeness Checklist
Facility name
Facility address
EPA identification number
Type of facility
Facility contact
Date application received
Date checklist completed
Permit review team
III-4
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Facility Name
EPA ID Number
COMPLETENESS CHECKLIST
A. PART A APPLICATION
(40 CFR Sections 122.4(d), 122.24)
B. FACILITY DESCRIPTION
B-l General description of facility
(40 CFR Section 122.25(a ) (1))
B-2 Submission of a topographic map
H (40 CFR Section 122.25(a)(19))
H
i B-3 Location Information
01 (40 CFR Section 122. 25(a) (11))
B-3a Seismic Standard (reserved)
(40 CFR Sections 122.25(a)(11) (i )
and (ii), 264.18(a))
B-3b Documentation which identifies
whether facility is or is not
located in a 100-year floodplain
(FIA maps or maps developed with
equivalent mapping techniques)
(40 CFR Sections 122.25(a)(11)(ill),
264.18(b))
Not Not
Provided provided applicable Comments
-------
Facility Name
EPA ID Number
H
I
COMPLETENESS CHECKLIST (continued)
B-3b(l) For facilities located within a
100-year floodplain, demonstration
of compliance with 100-year flood-
plain requirements by either the
following:
(40 CFR Sections 122.25(a)(11)(iv),
264.18(b))
B-3b(l)(a) Structural or engineering studies
showing the design of the hazardous
waste units and floodproofing and
protection devices at the facility
and how these will prevent washout
from the hydrostatic and hydro-
dynamic forces resulting from a
100-year flood
(40 CFR Section 122.25(a)(11)(iv)
(A) and (B))
OR
B-3b(l)(b) Flood Plan detailing procedures for
removing hazardous waste to safety
before the facility is flooded
(40 CFR Section 122.25(a)(11)(iv)(C))
B-3b(2) For existing facilities not in com-
pliance with 100-year floodplain re-
quirements , submission of a compliance
schedule
(40 CFR Section 122.25(a)(11)(v)
Provided
Not
provided
Not
applicable
Comments
-------
COMPLETENESS CHECKLIST (continued)
B-4
Description of traffic information
(40 CFR Section 122.25(a ) (10))
Facility Name
EPA ID Number
Provided
Not
provided
Not
applicable
Comments
C.
WASTE CHARACTERISTICS
C-l
H
H
I
C-2
C-2a
C-2b
C-2c
For each hazardous waste stored or
treated, a general description of
the waste, the hazard characteris-
tics, the basis for hazard designa-
tion, and a laboratory report de-
tailing the chemical and physical
analyses of representative samples
(40 CFR Sections 122.25(a)(2),
264.13(a))
A copy of the Waste Analysis Plan
that describes the following:
(40 CFR Sections 122.25(a)(3),
264.13(b) and (c))
List of the parameters chosen for
analysis and the rationale for their
selection
(40 CFR Section 264.13(b)(1))
Description of the test methods used
(40 CFR Section 264.13(b)(2)
Description of the sampling methods
used
(40 CFR Section 264.13(b)(3), and
Part 261, App. I)
-------
Facility Name
EPA ID Number
i
00
COMPLETENESS CHECKLIST (continued)
C-2d Description of frequency of analyses
(40 CFR Section 264.13(b)(4))
C-2e Description of inspection of off-
site generated 'wastes
(40 CFR Section 264.13(c))
C-2f Description of the methods used to meet
additional waste analysis requirements
necessary for storing or treating ignit-
able, reactive or incompatible wastes
(40 CFR Sections 264.13(b)(6),
264.17)
D. PROCESS INFORMATION
D-l Containers
D-la Containers with free liquids
D-la(l) Primary containment devices:
a description of the dimensions,
construction materials, liner speci-
fications (with container manufac-
turer's specifications, if available),
condition and number of containers, and
demonstration of compatibility of waste
with containers
(40 CFR Sections 122.25(b)(1)(i)(A),
264.171 and 264.172)
Not Not
Provided provided applicable Comments
-------
Facility Name
EPA ID Number
i
VO
COMPLETENESS CHECKLIST (continued)
D-la(2) Description of container management
practices (opening, handling, and
storage procedures) to insure con-
tainer integrity
(40 CFR Section 264.173)
D-la(3) Design and operation specifications
for secondary containment system in-
cluding a drawing of all the dt.-sign
aspects of the containment system
(40 CFR Sections 122.25(b)(1),
264.175(b))
D-la(3)(a) Demonstration of structural integrity
of base underlying containers, and
•ability of bases to contain spills,
leaks, and accumulated precipitation
(40 CFR Section 264.175(b)(1))
D-la(3)(b) Description of .how containment sys-
tem design promotes drainage or how
containers are kept from contact
with free standing liquids
(40 CFR Sections 122.25(b)(1)(i)(B),
264.175(b)(2))
D-la(3)(c) Description of containment system
capacity relative to the number and
volume of containers to be stored
(40 CFR Sections 122.25(b)(1)(i)(C),
264.175(b)(3»
Not Not
Provided provided applicable Comments
-------
Facility Name
EPA ID Number
i
M
O
COMPLETENESS CHECKLIST (continued)
D-la(3)(d) Description of containment system
provisions for preventing or manag-
ing run-on
(40 CFR Sections 122.25(b)(1)(i}(D),
264.175(b)(4))
D-la(4) Description of procedures for detect-
ing and removing accumulated liquids
from the containment system in a
timely manner
(40 CFR Sections 122.25(b)(1)(i)(E),
264.175(b)(5))
D-lb Containers without free liquids
D-lb(l) Documentation/information showing
that the wastes do not contain free
liquids
(40 CFR Section 122.25(b)(1)(ii)(A))
D-lb(2) Primary containment devices: a de-
scription of the dimensions, construc-
tion materials, liner specifications
(with container manufacturer's speci-
fications, if available), condition
and number of containers, and demon-
stration of compatibility of waste
with containers
(40 CFR Sections 264.171 and 264.172)
Provided
Not
provided
Not
applicable
Comments
-------
Facility Name
EPA ID Number
COMPLETENESS CHECKLIST (continued)
D-lb(3) Description of container management
practices (opening, handling, and
storage procedures) to insure con-
tainer integrity
(40 CFR Section 264.173)
D-lb(4) Container storage area drainage system:
a description of how design promotes
drainage and removal of precipitation
or how containers are kept from contact
with free standing liquids
(40 CFR Sections 122.25(b)(1)(ii)(B),
264.175(c)
D-2 Tanks
D-2a References to design standards or
other available information used in
tank design construction, and infor-
mation about tank dimensions, ca-
pacity, and shell thickness and other
parameters needed to assess conformance
with standards
(40 CFR Sections 122.25(b)(2), 264.191)
D-2b Description of design specifications
including identification of construc-
tion and lining materials for assess-
ment of corrosion and erosion potential
(40 CFR Sections 122.25(b)(2)(ii),
264.192(a))
Not Not
Provided provided applicable Comments
-------
I
M
Is)
COMPLETENESS CHECKLIST (continued)
E.
D-2c
D-3
D-4
D-5
Diagrams of piping, instrumentation,
and process flow, and a description
of feed systems, safety cut-off, by-
pass systems, and pressure controls
(e .g., vents)
(40 CFR Sections 122.25(b)(2)(iv) and
(v), 264.192(b))
Waste piles (reserved)
Surface impoundments (reserved)
Incinerators (reserved)
GROUND WATER MONITORING PROGRAM (RESERVED)
Facility Name
EPA ID Number
Provided
Not
provided
Not
applicable
Comments
F. PROCEDURES TO PREVENT HAZARDS
F-l Security
F-la Description of security procedures
and equipment:
(40 CFR Sections 264.14, 122.25(a)(4))
F-la(l) 24-hour surveillance system
(40 CFR Section 264.14(b)(1))
OR
-------
I
H
Ui
COMPLETENESS CHECKLIST (continued)
F-la(2) Barrier and means to control entry
(40 CFR Section 264.14(b)(2)(i)
and (ii))
F-la(3) Warning signs
(40 CFR Section 264.14(c))
F-lb If included, a request for waivers
that demonstrate an intruder would
not be injured or cause a RCRA
violation
(40 CFR Section 264.14(a))
F-2 Inspection schedule
(40 CFR Sections 122.25(a)(5),
264.15)
F-2a A copy of the general inspection
schedule for security devices and
monitoring, safety, emergency,
operating, and structural equipment
(40 CFR Sections 264.15(a) and (b),
264.33)
F-2a(l) Identification of the types of pro-
blems to be inspected
(40 CFR Section 264.15(b)(3))
F-2a(2) Identification of the frequency of
inspection
(40 CFR Section 264.15(b)(4))
Facility Name
EPA ID Number
Provided
Not
provided
Not
applicable
Comments
-------
Facility Name
EPA ID Number
COMPLETENESS CHECKLIST (continued)
F-2b A copy of the inspection schedule
for specific process requirements
F-2b(l) Description of procedures and sched-
ule for specific requirements for
containers including weekly inspec-
tions of containers, container stor-
age areas and containment system(s)
(40 CFR Section 264.174)
F-2b(2) Description of procedures and sched-
ule for specific requirements for tanks
• including daily inspections of overfill-
ing control equipment, data gathered
from monitoring equipment and level of
waste in uncovered tanks; weekly in-
spections of above ground portion of
the tank, and area immediately sur-
rounding the tank; and regular inspec-
tions as needed to detect cracks, leaks,
corrosion, erosion or wall thinning
in the tank
(40 CFR Section 264.194(a) and (b))
F-3 Preparedness and prevention
requirements
(40 CFR Sections 122.25(a)(6),
264.32 and 264.35)
F-3a Equipment requirements
(40 CFR Section 264.32)
Not Not
Provided provided applicable Comments
-------
Facility Name
EPA ID Number
H
H
I
COMPLETENESS CHECKLIST (continued)
F-3b
F-4
F-4a
F-4b
F-4c
F-4d
F-4e
F-5
Aisle space requirement
(40 CFR Section 264.35)
A description of procedures struc-
tures and equipment used at the
facility to accomplish the following:
(40 CFR Section 122.25(a)(8))
Prevent hazards in unloading operations
(40 CFR Section 122.25(a)(8)(i))
Prevent runoff from hazardous waste
handling areas
(40 CFR Section 122.25(a)(8)(ii))
Prevent contamination of water supplies
(40 CFR Section 122.25(a)(8)(ill))
Mitigate the effects of equipment
failure and power outages
(40 CFR Section 122.25(a)(8)(iv))
Prevent undue exposure of personnel
to hazardous waste
(40 CFR Section 122.25(a)(8)(v))
Prevention of reaction of ignitable,
reactive, or incompatible wastes
Provided
Not Not
provided applicable
Comments
-------
COMPLETENESS CHECKLIST (continued)
F-5a
F-5b
F-5c
F-5d
Demonstration of the specific precau-
tions used to prevent ignition or re-
action of ignitable or reactive wastes
(40 CFR Sections 122.25(a)(9),
264.17(a) and (c))
Demonstration of the general precau-
tions for handling ignitable or re-
active wastes or mixing incompatible
wastes
(40 CFR Sections 122.25(a)(9),
264.17(b) and (c))
For containers, a detailed descrip-
tion of the facility operating pro-
cedures which demonstrate compliance
with ignitable or reactive waste re-
quirements and compliance with buffer
zone/location/container separation
requirements for ignitable or re-
active waste
(40 CFR Sections 122.25(b)(1)(iii),
264.176)
If incompatible wastes are stored, a
description of the procedures-used
to insure compliance with the regula-
tions for incompatible waste/matr ial
storage in the same container(s)
(40 CFR Sections 122.25(b)(1)(iii),
264.177)
Facility Name
EPA ID Number
Provided
Not
provided
Not
applicable
Comments
-------
COMPLETENESS CHECKLIST (continued)
P-5e
P-5f
For tanks, a description of opera-
tional procedures for handling and
storage of ignitable or reactive
wastes, including the use of buffer
zones
(40 CFR Sections 122.25(b)(2)(vi),
264.198)
If incompatible wastes are stored,
a description of the procedures used
to insure compliance with the regula-
tions for incompatible waste/material
storage in the same tank(s)
(40 CFR Sections 122.25(b)(2)(vi),
264.199(b))
Facility Name
EPA ID Number
Provided
Not
provided
Not
applicable
Comments
G. CONTINGENCY PLAN
(40 CFR Sections 122.25(a)(7), 264.50 thru 264.56)
A copy of the contingency plan or amended SPCC plan
G-l A general description of the facility
G-2 A list of emergency coordinator's
names and phone numbers
(40 CFR Sections 264.52(d), 264.55)
G-3
A list of criteria for implementation
of the plan
(40 CFR Sections 264.52(a), 264.56(d))
-------
Facility Name
EPA ID Number
COMPLETENESS CHECKLIST (continued)
G-4 A description of emergency response
procedures for spills fires, and ex-
plosions
(40 CFR Sections 264.52, 264.56,
264.171, 264.194(c), 264.255 and 264.258)
G-5 A description of emergency equipment
including location and capabilities
(40 CFR Section 264.52(e))
G-6 A description of coordination ag >e-
ments with police and fire depart.-
M ments, hospitals, contractors and
Y state and local emergency response
H* teams
00 (40 CFR Sections 264.52(c), 264.37)
G-7 A copy of the evacuation plan
(40 CFR Section 264.52(f))
G-8 A description of provisions for sub-
mittal of required reports
(40 CFR Section 264.56(j))
H. PERSONNEL TRAINING
Description of the introductory and continuing
training programs
(40 CFR Sections 122.25(a)(12), 264.16)
Not Not
Provided provided applicable Comments
-------
COMPLETENESS CHECKLIST (continued)
H-l
H-la
An outline of the training program
which should briefly describe:
(40 CFR Section 264.16 (a)(l))
Job titles, duties, and name of each
employee receiving training
(40 CFR Section 264.16(d)(l) and
Facility Name
EPA ID Number
Provided
Not
provided
Not
applicable
Comments
H-lb
H-lc
H-ld
H-le
H-2
Content, frequency, and technique
used in both introductory and con-
tinuing training for each employee
(40 CFR Section 264.16 (c) and (d)(3))
Training director's qualifications
(40 CFR Section 264. 16(a) ( 2) )
Relevance of training to job position
(40 CFR Section 264. 16(a) ( 2) )
Training for emergency response
(40 CFR Section 264. 16(a) ( 3) )
Provisions for implementing the
training program
(40 CFR Section 264.16(b) and (d)(4))
-------
Facility Name
EPA ID Number
COMPLETENESS CHECKLIST (continued)
Not Not
Provided provided applicable Comments
I. CLOSURE PLANS, POST-CLOSURE PLANS AND FINANCIAL REQUIREMENTS
(40 CFR Sections 122.25(a)(13), 264.110 thru 264.120)
1-1 A written closure plan submitted
with a description of final clos .e
activities and how these will be
conducted according to the
regulations.
(40 CFR Sections 122.25(a)(13),
264.112)
I-la Closure Performance Standard: A
description of how closure minimizes
the need for further maintenance and
controls and minimizes the release
of wastes to the environment.
(40 CFR Section 264.111)
I-lb A description of partial closure and
final closure activites
(40 CFR Section 264.112(a)(1))
I-lc A description of the maximum waste
inventory (quantities) in storage
and treatment at any time during the
life of the facility
(40 CFR Section 264.112(a)(2))
-------
Facility Name
EPA ID Number
COMPLETENESS CHECKLIST (continued)
I-ld A description of procedures for inven-
tory removal and decontamination or
disposal of facility equipment during
final closure, and the criteria to be
used for determining contamination.
(40 CFR Section 264.112(a)(3) and
264.114)
I-ld(l) For storage containers, a detailed
description of how at closure all
hazardous waste and hazardous waste
residues will be removed from the
£ containment system, and how remain-
H ing contaminated containers, liners,
M and bases will be decontaminated .
1-1 or removed
(40 CFR Section 264.178)
I-ld(2) For storage tanks, a detailed des-
cription of how at closure all haz-
ardous waste and hazardous waste
residues will be removed from tanks
and how the area will be
decontaminated
(40 CFR Section 264.197)
I-le An estimate of the schedule of final
closure, including the expected year
of closure and a milestone chart de-
picting the total time required to
close the facility and the time re-
quired for intervening closure
activities
(40 CFR Section 264.112(a)(4))
Not Not
Provided provided applicable Comments
-------
Facility Name
EPA ID Number
COMPLETENESS CHECKLIST (continued)
I-lf In the event a longer period of
closure time is needed, provide a
request which justifies an exten-
sion of closure time
(40 CFR Section 264.113(a) and (b))
1-2 Post-closure (Applicable only for sur-
face impoundments, landfills or land
treatment disposal facilities)
1-3 Notice in deed and notice to land
authority (Applicable only for sur-
H face impoundments, landfills or land
Y treatment disposal facilities)
ro
w 1-4 A dated copy of the closure cost
estimate
(40 CFR Sections 122.25(a)(15),
264.142)
1-5 A completed but unexecuted copy of
the financial assurance mechanism
or mechanisms for closure (if the
facility is in a state which does
not have Phase I or Phase II authori-
zation, an unexecuted copy should
have been submitted by July 6, 1982)
(40 CFR Sections 122.25(a)(15),
264.143)
Not Not
Provided provided applicable Comments
-------
Facility Name
EPA ID Number
COMPLETENESS CHECKLIST (continued)
1-6 A copy of the post-closure cost . iti-
mate (Applicable only for surface
impoundments, landfills or land
treatment disposal facilities)
1-7 Financial assurance mechanisms for
postclosure (Applicable only for
surface impoundments, landfills,
or land treatment disposal facilities)
1-8 Proof of liablity coverage for sud-
den accidental occurences; either
a certificate of insurance, pass-
ing a financial test or byj combi-
nation of the two (if the facility
is in a state which does not have
Phase I or II-authorization, a signed
duplicate original of the policy's
hazardous waste facility liability
endorsement or certificate of lia-
bility insurance should have been
submitted by July 15, 1982)
(40 CFR Sections 122.25(a)(17),
264.147)
1-9 State Mechanism
(40 CFR Sections 122.25(a)(18),
264.149, 264.150)
Not Not
Provided provided applicable Comments
-------
Facility Name
EPA ID Number
COMPLETENESS CHECKLIST (continued)
I-9a If a state-required financial mecha-
nism is utilized, submit a copy of
the state required financial mecha-
nism, and a letter requesting that
the state mechanism be acceptable
(40 CFR Sections 122.25(a)(18),
264.149)
I-9b If a state assumes legal responsi-
bility for compliance, or the state
assures that state funds are avail-
able to cover those requirements,
submit a copy of a letter from the
state describing the state assump-
tion of responsibility, together with
a letter requesting that the state's
assumption of responsibility be con-
sidered acceptable.
(40 CFR Section 264.150(a))
J. OTHER FEDERAL LAWS
Information related to the facility's compliance
with other federal laws
(40 CFR Section 122.12)
K. CERTIFICATION
Application accompanied by a certification letter
with required signature
(40 CFR Section 122.6(a) and (d))
Not Not
Provided provided applicable Comments
-------
SECTION IV
PERMIT WRITER'S DECISION GUIDE
Introduction
The decision guide was developed specifically to assist the
permit writer in evaluation of the technical aspects of a RCRA
Part B application for storage facilities (tanks and containers).
The guide can be used after the completeness checklist evaluation
(Section III) has shown that the permit application is complete.
An outline of the Decision Guide is provided on pages IV-4
through IV-8 as a quick reference to the individual sections of
the Guide.
The EPA 93-point checklist* served as a starting point for
the development of the decision guide. Recent regulatory changes
in 40 CFR Section 122.25 and Part 264 and simplification of the
language of the regulations were also employed to develop the
decision guide. The Permit Writer's Decision Guide serves as an
adjunct to the 93-point checklist, which was contained in the
Administrative Procedures Manual.
The left side of each page in the decision guide contains a
list of subject requirements and associated key words and phrases
*
Guidance Manual. Administrative Procedures for RCRA Permits
for Hazardous Waste Facilities. SW-934, U.S. Environmental
Protection Agency, 1981.
IV-1
-------
Each subject requirement is a summary of the Part B information
requirements specified in 40 CFR Section 122.25. Also included
in the subject requirement is the information needed to show
compliance with certain technical standards specified in 40 CFR
Part 264. The regulatory citation on which each subject require-
ment is based is listed in the adjacent column.
Immediately below each subject requirement are key words or
phrases. The key words or phrases are descriptive of the infor-
mation found in specific technical references identified in the
third column. References were assembled from the following
sources: (1) EPA guidance manuals and EPA technical documents
for permit writers; (2) review of technical journals, (3) a
limited computerized data base literature search of NTIS, DOE,
Energyline, Compendex, and SSIE data bases.
The key words or phrases and the associated references are
designed to direct the permit writer to the technical informa-
tion which could be used to support the evaluation of a facil-
ity's compliance with the technical standards. The more than 80
reference sources listed at the end of this manual will also
provide additional information and guidance regarding all aspects
of the technical standards. For containers and tanks, the EPA
permit guidance manuals provide comprehensive information on the
design characteristics, management practices, secondary contain-
ment system design, hazardous waste compatibility, corrosion
data, inspection methods, contingency plans, and closure require-
ments. Other references in the list provide specific information
IV-2
-------
on facility security; emergency equipment; personnel protection
equipment; ignitable, reactive, and incompatible wastes; leach-
ate collection; and leachate analysis. A complete set of these
references will be maintained at the regional EPA offices.
In addition to the specified technical references, permit
writers can refer to the preambles of the Federal Registers in
which the regulations were issued. The preambles provide a
general description of the regulations, describe comments received
during the public comment period and EPA's response to the
comments, discuss changes to the regulations, and often provide
interpretations of the regulations and examples of how the
regulations should be applied. This information may be helpful
to permit writers in reviewing the technical sufficiency of a
permit application.
Decision Guide
This decision guide is used to conduct a technical evalua-
tion of the permit application. It is arranged by subject
matter and includes the appropriate Federal regulation citation
as well as references that the permit writer may find useful in
evaluating a particular section of the application.
IV-3
-------
Outline of Decision Guide
Page
No.
A. PART A APPLICATION IV-9
B. FACILITY DESCRIPTION IV-9
B-l General description IV-9
B-2 Topographic map IV-9
B-3 Location information IV-9
B-3a Seismic standard (reserved) IV-9
B-3b Floodplain standard IV-9
B-3b(l) Demonstration of compliance IV-10
B-3b(l)(a) Flood proofing and flood
protection measures IV-10
B-3b(l)(b) Flood plan IV-10
B-3b(2) Plan for future compliance with
floodplain standard IV-10
B-4 Traffic patterns IV-11
C. WASTE CHARACTERISTICS IV-11
C-l Chemical and physical analyses IV-11
C-2 Waste analysis plan IV-11
C-2a Parameters and rationale IV-11
C-2b Test methods IV-11
C-2c Sampling methods IV-11
C-2d Frequency of analyses IV-12
C-2e Additional requirements for wastes
generated offsite IV-12
C-2f Additional requirements for facilities hand-
ling ignitable, reactive or incompatible
wastes IV-12
D. PROCESS INFORMATION IV-12
D-l Containers IV-12
D-la Containers with free liquids IV-12
D-la(l) Description of containers IV-12
D-la(2) Container management practices IV-13
D-la(3) Secondary containment system design
and operation IV-13
D-la(3)(a) Requirement for the base to
contain liquids IV-13
D-la(3)(b) Containment system drainage IV-14
D-la(3)(c) Containment system capacity IV-14
D-la(3)(d) Control of run-on IV-14
D-la(4) Removal of liquids from containment
system IV-14
IV-4
-------
Page
No.
D-lb Containers without free liquids IV-15
D-lb(l) Test for free liquids IV-15
D-lb(2) Description of-containers IV-15
D-lb(3) Container management practices IV-15
D-lb(4) Container storage area drainage IV-16
D-2 Tanks IV-16
D-2a Description of tanks IV-16
D-2b Tank corrosion and erosion IV-16
D-2c Tank management practices IV-17
D-3 Wastes piles (reserved) IV-17
D-4 Surface impoundments (reserved) IV-17
D-5 Incinerators (reserved) IV-17
E. GROUND WATER MONITORING (RESERVED) IV-17
F. PROCEDURES TO PREVENT HAZARDS IV-17
F-l Security IV-17
F-la Security procedures and equipment IV-17
F-la(l) 24-hour surveillance system IV-17
F-la(2) Barrier and means to control entry IV-17
F-la(2)(a) Barrier IV-18
F-la(2)(b) Means to control entry IV-18
F-la(3) Warning signs IV-18
F-lb Waiver IV-18
F-lb(l) Injury to intruder IV-18
F-lb(2) Violation caused by intruder IV-18
F-2 Inspection schedule IV-18
F-2a General inspection requirements IV-19
F-2a(l) Types of problems IV-19
F-2a(2) Frequency of inspection IV-19
F-2b Specific process inspection requirements IV-19
F-2b(l) Container inspection IV-19
F-2b(2) Tank inspection IV-20
F-2b(2)(a) Tank construction materials IV-20
F-2b(2)(b) Tank surrounding area IV-20
F-2b(2)(c) Tank overfilling control
equipment IV-20
F-2b(2)(d) Tank monitoring data IV-20
F-2b(2)(e) Tank level of waste IV-20
F-2b(2)(f) Tank condition assessment IV-21
F-2b(2)(g) Tank interior inspection IV-21
F-2c Remedial action IV-21
F-2d Inspection log IV-21
F-3 Preparedness and prevention requirements IV-21
F-3a Equipment requirements IV-21
F-3a(l) Internal communications IV-21
F-3a(2) External communications IV-21
F-3a(3) Emergency equipment IV-21
F-3a(4) Water for fire control IV-22
IV-5
-------
F-3b Aisle space requirement IV-22
F-4 Preventive procedures, structures, and equipment IV-22
F-4a Unloading operations IV-22
F-4b Runoff IV-22
F-4c Water supplies IV-22
F-4d Equipment and power failure IV-22
F-4e Personnel protection equipment IV-22
F-5 Prevention of reaction of ignitable, reactive, or
incompatible wastes IV-23
F-5a Precautions to prevent ignition or reaction
of ignitable or reactive waste IV-23
F-5b General precautions for handling ignitable
or reactive waste and mixing of incompatible
wastes IV-23
F-5c Management of ignitable or reactive wastes
in containers IV-23
F-5d Management of incompatible wastes in
containers IV-24
F-5e Management of ignitable or reactive wastes
in tanks IV-24
F-5f Management of incompatible wastes in tanks IV-24
G. CONTINGENCY PLAN IV-24
G-l General information IV-25
G-2 Emergency coordinators IV-25
G-3 Implementation IV-25
G-4 Emergency response procedures IV-25
G-4a Notification IV-25
G-4b Identification of hazardous materials IV-25
G-4c Assessment IV-25
G-4d Control procedures IV-25
G-4e Prevention of recurrence or spread of fires,
explosions, or releases IV-26
G-4f Storage and treatment of released material IV-26
G-4g Incompatible waste IV-26
G-4h Post-emergency equipment maintenance IV-26
G-4i Container spills and leakage IV-26
G-4j Tank spills and leakage IV-27
G-5 Emergency equipment IV-27
G-6 Coordination agreements IV-27
G-7 Evacuation plan IV-27
G-8 Required reports IV-27
H. PERSONNEL TRAINING IV-28
H-l Outline of training program IV-28
H-la Job titles and duties IV-28
H-lb Training content, frequency, and techniques IV-28
IV-6
-------
H-lc Training director IV-28
H-ld Relevance of training to job position IV-28
H-le Training for emergency response IV-28
H-le(l) Procedures for using, inspecting,
repairing, and replacing facility
emergency and monitoring equipment IV-29
H-le(2) Key parameters for automatic waste
feed cutoff systems IV-29
H-le(3) Communications or alarm systems IV-29
H-le(4) Response to fires IV-29
H-le(5) Response to groundwater contamination
incidents IV-29
H-le(6) Shutdown of operations IV-29
H-2 implementation of training program IV-29
I. CLOSURE PLANS, POST-CLOSURE PLANS AND FINANCIAL REQUIRE-
MENTS IV-29
1-1 Closure plans IV-29
I-la Closure performance standard IV-29
I-lb Partial and final closure activities IV-29
I-lc Maximum waste inventory IV-30
I-Id Inventory removal, disposal or decontamina-
tion of equipment IV-30
I-ld(l) Closure of containers IV-30
I-ld(2) Closure of tanks IV-30
I-le Schedule for closure IV-30
I-lf Extensions for closure time IV-30
1-2 Post-closure plans* IV-31
1-3 Notice in deed and notice to local land authority* IV-31
1-4 Closure cost estimate IV-31
1-5 Financial assurance mechanism for closure IV-31
I-5a Closure trust fund IV-31
I-5b Surety bond IV-31
I-5b(l) Surety bond guaranteeing payment into
a closure fund IV-31
I-5b(2) Surety bond guaranteeing performance
of closure IV-31
I-5c Closure letter of credit IV-32
I-5d Closure insurance IV-32
I-5e Financial test and corporate guarantee IV-32
I-5f Combinations IV-32
I-5f(l) Use of multiple financial mechanisms IV-32
I-5f(2) Use of financial mechanism for multiple
facilities IV-32
1-6 Post-closure cost estimate* IV-33
1-7 Financial assurance mechanism for post-closure* IV-33
1-8 Liability requirements IV-33
I-8a Sudden insurance IV-33
I-8b Non-sudden insurance** IV-33
* These items apply only to disposal facilities.
** Required for surface impoundments, landfills, or land treatment
facilities.
IV-7
-------
I-8c Financial test IV-33
I-8d Variance procedures IV-34
I-8e Adjustment procedures IV-34
1-9 State mechanisms IV-34
I-9a Use of state-required mechanisms IV-34
I-9b State assumption of responsibility IV-34
J. OTHER FEDERAL LAWS IV-35
K. CERTIFICATION IV-35
IV-8
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DECISION GUIDE
(Facility Description)
SUBJtCT REQUIREMENT
40 CFR
SECTION NQS.
REFERENCES
I
IO
A. PART A APPLICATION
B. FACILITY DESCRIPTION
B-l General Description
A general description of the facility. Including the nature of the business.
Offsite facilities should Identify the types of Industry served; onsite
facilities should briefly describe the process(es) involved in the genera-
tion of hazardous waste.
Key words or phrases:
Nature of business
Standard industrial classification (SIC code)
8-2 Topographic Hap
A topographic nap showing the facility and a distance of 1000 feet around
It, at a scale of 1 inch equal to not More than 200 feet. Map must include:
contours sufficient to show surface water flow around facility unit
operations, nap date, 100-year floodplain area, surface waters, surrounding
land uses, a wind rose, map orientation, and legal boundaries of facility
site. The nap should also indicate location of access control, injection
and withdrawal wells, buildings, structures, sewers, loading and unloading
areas, fire control facilities, flood control or drainage barriers, runoff
control systems, and location of hazardous waste operation units.
Key words or phrases:
100-year floodplain area
Land uses
Wind rose
B-3 Location Information
B-3a Seismic Standard (Reserved)
Not applicable to existing facilities nor new facilities located
east of the front range of the Rocky Mountains
B-3b Floodplain Standard
Documentation of whether or not the facility 1s located within a
100-year floodplain, that includes the source of data (Federal
Insurance Administration Map or other maps and calculations).
Key words or phrases:
Identifying 100-year flood or floodplain
Federal Insurance Administration flood map
Other maps or information
122.6(a) and (b)
122.4(d)
122.24
122.25(a)(l)
Refs. SS. 64
Ref. 64
122.25(a)(19)
Ref. 17; Ref. 58, Part 1, Ch. 1, Sec. 5.4.
Soil Conservation Service State Conserva-
tionists, U.S. Geological Survey District
offices; Ref. 78; Ref. 79;
Ref. 78; Ref. 17
Ref. 18, Ch. 15.1.10; Ref. 83; Ref. 84;
Ref. 68; Ref. 80, Ch. 12, Sec. II.8.2
122.25(a)(ll)
and (ii)
264.18(a)
122.25(a)(ll)(iH)
264.18(b)
Ref. 9; Ref. 14; Ref. 58, Part 1
Ref. 58. Part 1. Sec. 2.1; Ref. 85
Ref. 7; Ref. 58. Part 1. Sec. 2.2;
Ref. 78; Ref. 79; Ref. 85
(continued)
-------
DECISION GUIDE (continued)
(Facility Description)
SUBJtCT REOUIREMEMT
40 CFR
SECTION NOS.
REFERENCES
U.S. Army Corp of Engineers
Soil Conservation Service
U.S. Geological Survey
Napping techniques (Independent analysis)
B-3b(l) Demonstration of Compliance
For facilities located within the 100-year floodplaln, a
description of how the facility Is designed, constructed,
operated, and Maintained to prevent washout of any hazardous
waste during a flood. Either of the following nay be used:
B-3b(l)(a) Flood Proofing and Flood Protection Measures
A structural or other engineering study showing
how design of the tanks or containers and the
flood proofing and protection devices at the
facility can withstand the hydrostatic and
hydrodynamic forces resulting from a 100 year-
flood.
Key words or phrases:
Flooding factors (e.g., wave action)
Washout
Washout prevention
Hydrodynamic and hydrostatic forces
Flood protection (e.g., floodwalls, dikes, etc.)
Operational units (e.g., tanks, incinerators,
etc.)
B-3b(l)(b) Flood Plan
Description of the procedures to be followed to
remove hazardous waste to safety before the
facility is flooded, including timing related to
flood levels, estimated time to move the waste,
the location to which the waste will be moved,
demonstration that those facilities will be
eligible to receive hazardous waste, the planned
procedures, equipment, and personnel to be used,
and the potential for accidental discharge of the
waste during movement.
Key words or phrases
Types of floods
Rates of rise and fall
Advance warning
B-3b(2) Plan for Future Compliance With Floodplaln Standard
For facilities located within the 100-year floodplaln that do
not comply with the floodplain standard, a plan showing how
and when the facility will be brought into compliance.
122.25(a)(H)(1v)
264.18(b)
122.25(a)(ll)(iv)
(A) and (B)
122.25(a)(ll)(1v)
(C)
122.25(a)(ll)(v)
Ref. 58, Part 1. Sec. 2.2
Ref. 58. Part 1. Sec. 2.2
Ref. 58. Part 1. Sec. 2.2; Ref. 83;
Ref. 84
Ref. 58. Part 1, Sec. 2.3
Ref. 22; Ref. 23; Ref. 63; Ref. 72;
Ref. 74
Ref. 58. Part 1. Sec. 3.3
Ref. 7; Ref. 58, Part 1
Ref. 7; Ref. 58, Part 1. Sec. 4.0
Ref. 58. Part 1. Sec. 4.2; Ref. 69
Ref. 7, Ref. 58. Part 1, Sec. 4.3; Ref. 6Z;
Ref. 75; Ref. 76; Ref. 77
Ref. 29; Ref. 30; Ref. 32; Ref. 33;
Ref. 34; Ref. 35; Ref. 58, Part 1,
Sec. 3.4
Ref. 58. Part 1. Sec. 3.1
Ref. 58, Part 1, Sec. 3.3.4
Ref. 58. Part 1, Sec. 3.3.5
(continued)
-------
DECISION GUIDE (continued)
(Facility Description; Waste Characteristics)
SUBJECT REQUIREMENT
B-4 Traffic Information
A description of the traffic pattern, Including estimated volume, traffic
control, access road surfacing, load-bearing capacity and, traffic control
signals.
Key words or phrases:
Load-bearing capacity
C. HASTE CHARACTERISTICS
C-l Chemical and Physical Analyse*
For each hazardous waste stored or treated at the facility, a general
description of the waste, the hazardous characteristics, the basis for
hazardous designation, and a laboratory report detailing the chemical
and physical analyses of representative samples.
Key words or phrases:
Hazardous properties of waste
Basis for hazard characterization
C-2 Haste Analysis Plan
A copy of the Waste Analysis Plan that describes the methodologies for con-
ducting the analyses required to properly treat, store, or dispose of haz-
ardous wastes.
C-2a Parameters and Rationale
A list of parameters chosen for analysis and an explanation of the
rationale for their selection.
C-2b Test Methods
A description of the test methods used to test for parameters chosen.
Key words or phrases:
Extraction procedure toxiclty
Ignitability
Corrosivlty
Reactivity
C-2c Sampling Methods
A list of the sampling methods used to obtain a representative sample
of each waste to be analyzed.
Key words or phrases:
Sampling equipment (trier, auger, Collwasa, weighted bottle, dipper.
thief, scoop, and shovel)
Sampling procedures
Containers
40 CFR
SECTION NOS.
122.25(a)(10)
122.25(a)(2)
264.13(a)
122.25(a)(3)
264.13(b) and (c)
264.13(b)(l)
264.13(b)(2)
264.13(b)(3)
261, App. I
REFERENCES
Ref. 36, ACI 347-78, Ch. 2.2
Ref. 28; Ref. 65; Ref. 66
§261. App. VII and Subpart C
Ref. 10, Sec. 7.4.2
40 CFR 261. App. II; Ref. 24. Ch. 1 Sec. 3.8
Ref. 6; Ref. 24, Ch. 1. Sec. 3.6
Ref. 6; Ref. 24. Ch. 1. Sec. 3.4
Ref. 6; Ref. 24. Ch. 1. Sec. 3.3
Ref. 6, Sec. 3; 40 CFR 261. App. I; Ref. 10.
Sec. 7.2.3; Ref. 18. Ch. 9.5; Ref. 21. Ch. V;
Ref. 24. Ch. 1. Sec. 4.0; Ref. 42: Ref. 60.
Part III; Ref. 10, Sec. 7.2.3
Ref. 6, Sec. 3. pp. 3.2.1 to 3.2.19,
Ref. 81. Sec. 6.4.1
Ref. 81. Sec. 6.4.1
Ref. 6. p. 3.2.20
(continued)
-------
DECISION GUIDE (continued)
(Waste Characteristics)
SUBJECT REQUIREMENT
40 CFR
SECTION NOS.
REFERENCES
I
ro
Sampling a drum
Sampling a barrel, fiber drum, can, bags, or sacs, containing powder
or granular waste
C-2d Frequency of Analyses
A description of the frequency at which the analyses will be repeated.
Key words or phrases:
Representative sample
C-2e Additional Requirements for Wastes Generated Offslte
A description of the procedures used to Inspect and/or analyze wastes
generated offslte that Includes procedures to determine their
identity and sampling methods used. In addition, the waste analyses
that hazardous waste generators have agreed to supply should be
specified.
Key words or phrases:
Analyses supplied by offslte generators
Sampling method for wastes generated offslte
C-2f Additional Requirements for Facilities Handling Ignlt-
able Reactive or Incompatible Wastes
If the facility stores or treats ignltable, reactive or incompatible
wastes, a description of methods which will be used to meet the addi-
tional waste analysis requirements necessary for complying with the
regulatory requirements specified in F-5(a) through (h).
Ref. 42, p. 36
Ref. 42, p. 37
264.13(b)(4)
264.13(b)(5)
264.13(c)
Ref. 6, Sec. 1, pp. 3 thru 11
264.13(b)(6)
264.17
40 CFR 261, App. 1; Ref. 10. Sec. 4.2.3;
Ref. 18, Ch. 9.5; Ref. 21, Ch. V; Ref. 24,
Ch. 1. Sec. 4.0; Ref. 42; Ref. 52, Sec. 3.3;
Ref. 60, Part III
Ref. 24, Ch. 1. Sees. 2.2.1. 2.2.3
D. PROCESS INFORMATION
D-l Containers
0-la Containers With Free Liquids
O-la(l) Description of Containers
A description of the facility's primary containment devices
that includes the dimensions, construction materials, liner
specifications, condition and number of containers, and
demonstration of compatibility of waste with containers.
Key words or phrases:
Types of containers
Coating and linings
Container specifications
Advantages and disadvantages of different types of
containers
264.171
264.172
Ref. 2. Ch. 3; Ref. 26. Sec. II
Ref. 2, Ch. 3, Sec. 2
Ref. 2, Ch. 3, Sec. 4; Ref. 26.
Sec. Ill
Ref. 2. Ch. 3. Sec. 5
(continued)
-------
DECISION GUIDE (continued)
(Process Information - Containers)
SMJECT REQUIREMENT
Containers for storing flammable and combustible liquids
Determining compatibility of wastes
Specific examples of how to determine compatibility
Binary comparison of chemical constituents
Trial mixing of waste
Determining of compatibility of the waste with the contain-
ment structure
Corrosion of metals
Protection against corrosion
Properties of materials
Corrosion data survey
Corrosion properties tables
Corrosion Inspection (containers)
D-la(2) Container Management Practices
A description of container management practices used to
ensure that hazardous waste containers are always kept closed
during storage, except when adding or removing waste, and
that hazardous waste containers are not opened, handled, or
stored In a manner that may cause them to rupture or to leak.
Key words or phrases:
Management of containers
Storage practices
Condition of containers
Recovery and reuse of containers
Climatic effects
Container markings
Container dating
D-la(3) Secondary Containment System Design and Operation
A description of the design and operation of the container
storage area containment system showing capability of system
to hold spills, leaks, and precipitation. This secondary
containment system must have the following documented charac-
teristics:
0-la(3)(a) Requirement for the Base to Contain Liquids
The base under the containers must be free of
cracks or gaps and sufficiently impervious to
contain leaks, spills, and accumulated precipita-
tion until the collected material is detected and
removed.
Key words or phrases:
Adequacy of the containment system
Construction and characteristics of base
materials
Potential for waste migration through the base
Potential hydraulic impact on the base from
loads of waste
Foundation base and liners
40 CFR
SECTION NOS.
264.173
122.25(b)(l)
264.175(b)
264.175(b)(l)
REFERENCES
Ref.
Ref.
Ref.
Ref.
Ref.
Ref.
Ref.
Ref.
Ref.
Ref.
Ref.
Ref.
Ref.
Ref.
Ref.
Ref.
PP.
Ref.
Ref.
Ref.
Ref.
Ref.
Sec.
Ref.
Ref.
2,
1,
27
1,
1.
1,
1,
1,
1,
1,
1.
2,
2,
2,
2,
2,
9,
2,
2,
2,
2,
11
2,
11
15
Ch. 3,
Ch. 2
, Sec.
Ch. 2,
Ch. 2,
Ch. 3;
Ch. 3,
Ch. 3,
Ch. 3,
App. 1
App. 2
Ch. 5,
Ch. 4
Ch. 4,
Ch. 4,
Ch. 4,
15-16
Ch. 4,
Ch. 4,
Ch. 4,
Ch. «,
. App.
Ch. 4,
, Ch. 1
, Ch. 3
Sec.
4
Sec.
Sec.
Ref.
Sec.
Sec.
Sec.
Sec.
Sec.
Sec.
Sec.
Sec.
Sec.
Sec.
Sec.
IX
Sec.
. Ch.
.2.1;
G
II
III
2. Ch. 3
II
III; Ref. 2. Ch. 3,
IV
A
B
C.I
C.5; Ref. 40,
C.I
C.2
C.3
G
G; Ref. 11. Sec. 4.4
3-6, 8
Ref. 88, pp. 29-61
I
co
(continued)
-------
DECISION GUIDE (continued)
(Process Information - Containers)
SUBJECT RCTUIRtMEHT
40 CFR
SECTION NOS.
REFERENCES
D-la{3)(b) Containment System Drainage
The base must be sloped or the containment
system must be otherwise designed and operated to
drain and remove liquids resulting from leaks,
spills, or precipitation, unless the containers
are elevated or are otherwise protected from
contact with accumulated liquids.
Key words or phrases:
Drainage system
Grading of base
Container storage practice
Stacking in pallets
Stacking on plywood sheets
Racks
D-la(3)(c) Containment System Capacity
The containment system must have sufficient
capacity to contain 10* of the volume of con-
tainers or the volume of the largest container,
whichever is greater.
Key words or phrases:
Containment structure capacity
Capacity of accumulated liquid removal syste*
Capacity of run-off collection system
Geographic storm Intensity/frequency data
0-laO)(d) Control of Run-en
Run-on Into the containment system must be pre-
vented, unless the collection system has suffi-
cient excess capacity in addition to that
required in the above paragraph to contain any
run-on that might enter the system.
Key words or phrases:
Containment system auxiliary structures
Construction of curbs
Construction of dikes
Construction of ditches
Construction of trenches
Construction of berms
D-la(4) Removal of liquids from Containment System
Spilled or leaked waste and accumulated precipitation must be
removed from the sump or collection area in a timely
manner to prevent overflow of the containment system.
Key words or phrases:
Removal of accumulated liquids from the containment syste*
Physical and chemical characteristics of accumulated liquids
Sampling methodology
Analytical methods
Management of accumulated liquid
264.175(b)(2)
Ref. 13, Sec. 3, Steps 20-22
Ref. 10, Sec. 8.6
Ref. 2. Ch. 4, Sec. 8
Ref. 2. Ch. 4, Sec. 8-1
Ref. 2, Ch. 4, Sec. B-l
Ref. 2. Ch. 4, Sec. 8-2
264.175(b)(3)
Ref. 2. Ch. 4. Sec. G
Ref. 1O, Ch. 4
Ref. 4. Ch. 3. Sec. E; Ref. 10, Ch. 4
Ref. 13, Sec. 2, Step 7
264.175(b)(4)
Ref. 2. Ch. 4. Sec. G.5
Ref. 4. Ch. 3, Sec. D
Ref. 15, Ch. 4.6
Ref. 4. Ch. 3, Sec. 0
Ref. 4. Ch. 3, Sec. D
Ref. 81. Sec. 8.3.1
264.175(b)(5)
Ref. 2, Ch. 4, Sec. G.6; Ref. 10,
Ch. 4; Ref. 12, Ch. 4
Rtf. 10. Ch. 3
Ref. 6. Sec. 3
Ref. 6, Sec. 8
Ref. ID. Ch. 4
(continued)
-------
DECISION GUIDE (continued)
(Process Information - Containers)
SMJECT NCWIROCNT
0-lb Containers Without Free Liquids
D-lb(l) Test for Free Liquids
For areas that store containers of wastes that do not contain
free liquids, the test procedures and results or other
documentation or Information must show that the wastes do
not contain free liquids.
Key words or phrases:
Test procedures for free liquids
D-lb(2) Description of Container!
A description of the facility primary containment devices
that Includes dimensions, construction materials, liner
specifications, condition and number of containers, and
demonstration of compatibility of waste with containers.
Key words or phrases:
Types of containers
Coatings and linings
Container specifications
Advantages and disadvantages of different types of containers
Containers for storing flammable and combustible liquids
Determining compatibility of wastes
Specific examples of how to determine compatibility
Binary comparison of chemical constituents
Trial mixing of waste
Determining the compatibility of the waste with the
containment structure
Corrosion of metals
Protection against corrosion
Properties of materials
Corrosion data survey
Corrosion properties tables
Corrosion inspection (containers)
D-lb(3) Container Management Practices
A description of container management practices used to
ensure that hazardous waste containers are always kept closed
during storage except when adding or removing waste, and that
hazardous waste containers are not opened, handled, or stored
in a manner that may cause the container to rupture or to
leak.
Key words or phrases:
Management of containers
Storage practices
Condition of containers
Recovery and reuse of containers
Climatic effects
Container markings
Container dating
40 CFR
SECTION NOS.
122.25(b)(l)(1i)(A)
264. 171
264.172
264. 173
REFERENCES
47
Ref
Ref
Ref
Ref
Ref
Ref
Ref
Ref
Ref
Ref
Ref
Ref
Ref
Ref
Ref
Ref
Ref
Ref
Ref
Ref
Ref
Ref
Ref
Fed.
• 2,
. 2,
- 2.
• 2.
- 2,
. 1,
. 27
. 1,
. 1,
1
- 1.
- 1,
. 1.
- 1.
- 1.
. 2.
. 2.
- 2.
. 2.
• 2,
• 2,
- 2.
- 2.
Reg.
Ch.
Ch.
Ch.
Ch.
Ch.
Ch.
, Sec
Ch.
Ch.
Ch.
Ch.
Ch.
Ch.
App.
App.
Ch.
Ch.
Ch.
Ch.
Ch.
Ch.
Ch.
Ch.
8311,
3; Ref.
3
3; Ref.
3
3
2
. 4
2, Sec.
2, Sec.
3; Ref.
3. Sec.
3. Sec.
3, Sec.
1
2
5, Sec.
. Sec.
. Sec.
, Sec.
, Sec.
, Sec.
. Sec.
(February 25, 1982)
26. Sec. II
26, Sec. Ill
II
III
2. Ch. 3
II
III; Ref. 2. Ch. 3
IV
A
B
C.I
C.5
C.I
C.2
C.3
I
en
(continued)
-------
DECISION GUIDE (continued)
(Process Information - Tanks)
SUBJECT RtQUIRCTEHT
40 CFR
SECTION NOS.
REFERENCES
0-lb(4) Container Storage Area Drainage
A description of how the storage area Is designed or operated
to drain and remove liquids unless containers are otherwise
kept from contact with standing liquids.
Key words or phrases:
Drainage system
Grading of base
Container storage practice
Stacking in pallets
Stacking on plywood sheets
Racks
264.175(c)
Ref. 13. Sec. 3. Steps 20-22
Ref. 10, Sec. 6.6
Ref. 2, Ch. 4, Sec. B
Ref. 2, Ch. 4. Sec. B.I
Ref. 2, Ch. 4, Sec. B.I
Ref. 2, Ch. 4. Sec. B.2
D-2 Tanks
I
_j
cr>
The regulations specified In 40 CFR Part 264.191 do not apply to facili-
ties that treat or store hazardous waste in covered underground tanks
that cannot be entered for inspection.
D-2a Description of Tanks
A review of tank design specifications to assure that the tanks will
not collapse or rupture. The specifications to be reviewed Include
tank dimensions, shell strength and thickness, capacity, pressure
controls, foundation, structural support, and seams. References
should be made to design standards or other available information
used in the construction of the tank.
Key words or phrases;
Tank design considerations
Types of tanks
Tank construction material
Tank wall thickness, lining material
Tank internal pressure and pressure controls
Subsurface and foundation construction
Tank design specifications for steel tanks
Tank design specifications for concrete tanks
0-2b Tank Corrosion and Erosion
A review of the pertinent characteristics of the tank construction
material and lining materials to determine corrosion or erosion
effects with wastes and other materials (i.e., treatment reagents).
Key words or phrases:
Tank lining and coating material or other means of protection
Corrosion allowances and corrosion and erosion rates
Tank construction compatibility with waste
122.25(b)(2)
264.191
Ref. 3. Ch. 3
Ref. 3, App. A
Ref. 3, Ch. 3
Ref. 3, Ch. 3
Ref. 3. Ch. 3; Ref. 31
Ref. 3, Ch. 4, Sec. B and App. C
Ref. 29; Ref. 30; Ref. 32; Ref. 33; Ref. M
Ref. 35
Ref. 36
122.25(b)(2)(1i)
264.192(a)
Ref. 3. Ch. 3
Ref. 3. Ch. 3
Ref. 1; Ref. 3, Ch. 3
(continued)
-------
DECISION GUIDE (continued)
(Procedures to Prevent Hazards)
SUBJECT REQUIREMENT
40 CFR
SECTION NOS.
REFERENCES
<:
i
D-2c Tank Management Practices
A description of the tank owner's or operator's operating practices
and controls to prevent overfilling (such as a waste feed cut-off
system or by-pass system to a standby tank), and maintenance of suffi-
cient freeboard to prevent over-topping by wave or wind action or pre-
cipitation for uncovered tanks. A diagram of piping, instrumentation,
and process flow.
Key words or phrases:
Tank ancillary design features
Tank vapor recovery system
Tank process flow, instrumentation, and piping v
Tank operating problens associated with In-tank process
Sufficient freeboard
D-3 Waste Piles (Reserved)
0-4 Surface Impoundments (Reserved)
0-5 Incinerators (Reserved)
E. GROUND WATER MONITORING (RESERVED)
r. PROCEDURES TO PREVENT HAZARDS
122-.25(b)(2)(iv)
and (v)
264.192(b)
Ref. 3, Ch. 3, Sec. C; App. D. App. E
Ref. 3, App. B
Ref. 3, Ch. 3. Sec. D
Ref. 3, Ch. 5
Ref. 3, Ch. 3
F-l
F-la Security Procedures and Equipment
Unless a waiver Is granted, the facility Must demonstrate the
following:
F-l»(l) 24-hour Surveillance System
A 24-hour surveillance system (e.g., television monitoring
or surveillance by guards or facility personnel) that con-
tinuously monitors and controls entry onto the active por-
tion of the facility; or
Key words or phrases:
Security systems and procedures
F-la(2) Barrier and Means to Control Entry
F-la(2)(a) Barrier
An artificial or natural barrier (e.g., a
fence In good repair or a fence combined with
a cliff), that completely surrounds the active
portion of the facility; and
Key words or phrases:
Security systems and procedures
264.14
122.25(a)(4)
264.14(b)(l)
Ref. 49
264.14(b)(2)«)
Ref. 49; Ref. 61. Sec. 8.9
(continued)
-------
DECISION GUIDE (continued)
(Procedures to Prevent Hazards)
SUBJECT
40 CFR
SECTION NOS,
REFERENCES
F-la<3)
F-la(2)(b) Means to Control Entry
A means to control entry, at all tines, through
the gates or other entrances to the active por-
tion of the facility (e.g., an attendant, tele-
vision monitors, locked entrance, or controlled
roadway access to the facility).
Warning Signs
The facility wist have a sign with the legend. "Danger -
Unauthorized Personnel Keep Out," which Must be posted at
each entrance to the active portion of the facility and at
other locations. In sufficient numbers to be seen from any
approach to this active portion. The legend must be written
in English and In any other language predominant in the area
surrounding the facility and must be legible from a distance
of at least 25 feet. Existing signs with a legend other
than "Danger - Unauthorized Personnel Keep Out" may be used
if the legend on the sign Indicates that only authorized
personnel are allowed to enter the active portion, and that
entry onto the active portion can be dangerous.
I
CO
F-lb Waiver
If a waiver of these requirements Is requested, the owner or operator
mist demonstrate the following:
F-lb(l) Injury to Intruder
Physical contact with the waste, structure, or equipment
within the active portion of the facility will not injure
unknowing or unauthorized persons or livestock that nay
enter the active portion of a facility; and
F-lb(2) Violation Caused By Intruder
Disturbance of the waste or equipment by the unknowing or
unauthorized entry of persons or livestock onto the active
portion of a facility will not cause a violation of the
requirements of this part.
Key words or phrases for both F-lb(l) and (2):
Nature and extent of hazard potential from wastes
Duration of hazard potential
Equipment and structures to minimize the potential for an
intruder to cause a spilt; mix incompatible wastes, ignit-
Ible or reactive wastes; damage containment systems;
damage monitoring systems
Features that prevent contact with waste
F-2 Inspection Schedule
264.14(b)(2)(ii)
264.14(c)
Ref. 81, Sec. 8.9
264.14(a)
264.14(a)(l)
2M.14(a)(2)
Ref. 24, Ch. 5. Sees. 2 and 4
Ref. 24, Ch. 5, Sees. 3 and 4
Ref. 28. pp. 331-1106; Ref. 44; Ref. 46
122.25(a)(5)
264.15
(continued)
-------
DECISION GUIDE (continued)
(Procedures to Prevent Hazards)
SUBJECT RtqUIREHEtrr
40 CFR
SECTION NOS.
REFERENCES
F-2a General Inspection Requirements
A description of the facility schedule for Inspection of monitoring
equipment, safety and emergency equipment, security devices, and
operating and structural equipment that are vital to prevent, detect,
or respond to environmental or human health hazards. (Schedule must
be kept at the facility.)
Key words or phrases:
Monitoring Equipment Examples:
Flow and liquid level monitors
Leachate monitors
Hazardous gas detectors
Safety and Emergency Equipment Examples:
Respirators
Communication systems
Alarm systems
Emergency lighting
Smoke detectors
Fire protection equipment
First aid equipment
Decontamination equipment
Security Devices Examples:
Surveillance systems
Barriers surrounding facility
Locking devices
Operating and Structural Equipment Examples:
Spill detection devices
Spill control and collection equipment
F1re and explosion barriers
Ventilation equipment
F-2a(l) Types of Problems
The schedule must Identify the types of problems to look for
during the Inspection.
F-2a(2) Frequency of Inspection
A description of the frequency of inspection for 1tem» on
the schedule. The frequency of Inspection should be based
on the rate of possible deterioration of equipment and the
probability of an environmental or human health incident if
the deterioration, malfunction, or operator error goes un-
detected between inspections. (Areas subject to spills,
such as loading and unloading areas, must be Inspected
dally when In use.)
F-2b Specific Process Inspection Requirements
F-2b(l) Container Inspection
Documentation of weekly Inspections of containers, con-
tainer storage area and the containment system for
deterioration caused by corrosion or other factors.
264.15(a) and (b)
264.33
Ref. 6, Sec. 8; Ref. 59
Ref. 45, Ch. 9
Ref. 4«. Ref. 50. Ref. 101
Ref. 49
Ref. 49
Ref. 49
Ref. 46; Ref. 99
264.15(b)(3)
264.15(b)(4)
264.174
Ref. 2. Ch. 5
(continued)
-------
DECISION GUIDE (continued).
(Procedures to Prevent Hazards)
SUBJECT REQUIREMENT
Key words or phrases:
Evaluation of an inspection plan Including remedial
procedures
External inspection visual maintenance check for corrosion
of containers
Visual inspection check of the storage area and containment
system
Testing of auxiliary features
Inspection procedures
F-2b(2) Tank Inspection
Documentation of inspection procedures by the facility
owner or operator of the following:
F-2b(2)(a) Tank Construction Materials
The construction materials of the above-ground
portions of the tank to detect corrosion or
erosion and leaking of fixtures and seams
(weekly).
Key words or phrases:
Tank exterior inspection
General inspection procedures
Inspection of prestressed concrete tanks
F-2b(2)(b) Tank Surrounding Area
The area immediately surrounding the tank to
detect obvious signs of leakage (weekly).
F-2b(2)(c) Tank Overfilling Control Equipment
Overfilling control equipment (e.g., waste-
feed cutoff systems and bypass systems) to
ensure good working order (daily).
F-2b(2)(d) Tank Monitoring Data
Data gathered from monitoring equipment (e.g.,
pressure and temperature gauges) where present to
ensure that the tank is operated according to
design specifications (daily).
Key words or phrases:
Example of corrosion monitoring system
F-2b(2)(e) Tank Level of Waste
The level of waste In uncovered tanks to ensure
maintenance of sufficient freeboard to prevent
overtopping by wave or wind action, or by preci-
pitation (daily).
Key words or phrases:
Inspection of ancillary equipment
Sampling a storage tank
40 CFR
SECTION NOS.
264.194(a) and (b)
264.194(a)(4)
264.194(a)(5)
264.194(a)(l)
264.194(a)(2)
264.194(a)(3)
REFERENCES
Ref. 2, Ch. 5, Sec. C
Ref. 2, Ch. 5, Sec. A
Ref. 2, Ch. 5, Sec. 8.1
Ref. 2, Ch. 5, Sec. B.2
Ref. 21, App. G
Ref. 82
Ref. 3, Ch. 4, Sec. B; Ref. 82
Ref. 21. «pp. G; Ref. 82
Ref. 37
Ref. 82
Ref. 82
Ref. 38
Ref. 3. Ch. 4, S«c. 0; Ref. 82
Ref. 42, pp. 38-39
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(continued)
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DECISION GUIDE (continued)
(Procedures to Prevent Hazards)
SUBJECT REQUIREMENT
40 CFR
SECTION N05.
REFERENCES
F-2b(2)(f) Tank Condition Assessment
The schedule and procedure for assessing the
condition of the tank. Procedure must be
adequate to detect cracks, leaks, or wall
thinning to less than sufficient shell strength.
Key words or phrases:
Frequency of inspection
Tank internal inspection
F-2b(2)(g) Tank Interior Inspection
Documentation of established procedures for
emptying a tank to allow entry and inspection of
the interior to detect corrosion or erosion of
the tank sides and bottom.
Key words or phrases:
Entry of tanks for inspection
Tank internal Inspection
264.194(b)
Ref. 3, Ch. 4, Sec. E; Ref. 82
Ref. 3. Ch. 4, Sec. C; Ref. 82
264.194(b)
Ref. 51, Sec. 1910.94(d)(ll); Ref. 82
Ref. 3, Ch. 4, Sec. C; Ref. 82
I
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f-3 Preparedness and Prevention Requirements
F-3a Equipment Requirements
Facilities must be equipped with the equipment listed below.
The location, description, and capabilities of this equipment
must be provided in the Contingency plan, section G-5.
Requests for a waiver of part or all of 40 CFR 264.32 must be
accompanied by a demonstration that none of the hazards posed
by waste handled at the facility could require a particular
kind of equipment specified below:
F-3a(l) Internal Communications
An internal communications or alarm system capable of
providing immediate emergency instruction (voice or signal)
to facility personnel.
F-3a(2) External Communications
A device, such as a telephone (Immediately available at the
scene of operations) or a handheld two~way radio, for summon-
ing emergency assistance from local police departments, fire
departments, or state or local emergency response teams.
F-3a(3) Emergency Equipment
Portable fire extinguishers, fire control equipment
(including special extinguishing equipment, such as that
using foam. Inert gas, or dry chemicals) spill control
equipment, and decontamination equipment.
Key words or phrases:
Fire control equipment
122.25(a)(6)
264.32
264.35
264.32
264.32(a)
264.32(b)
264.32(c)
Rtf. 19; Ref. 25, Sees. 4-7. 5-5, 6-8. 8-6.
9-4; Ref. 28. Sec. 7; Ref. 48; Ref. 50
(continued)
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DECISION GUIDE (continued)
(Procedures to Prevent Hazards)
SUBJECT REOUHtHCTT
40 CFR
SECTION NOS.
REFERENCES
I
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F-3a(4) Water for Fire Control
Hater at adequate volume and pressure to supply water
hose streams, foam producing equipment, automatic
sprinklers, or water spray systems.
F-3b Aisle Space Requirement
Facilities mist maintain aisle space to allow the unob-
structed movement of personnel, fire protection equipment,
or spill control equipment to any area of facility operation
in an emergency. Requests for a waiver of 40 CFR 264.35 must
be accompanied by a demonstration that aisle space is not
needed for any of these purposes.
F-4 Preventive Procedures. Structures, and Equipment
* description of procedures, structures, or equipment used at the facility
for the following:
F-4» Unloading Operations
Prevention of hazards In unloading operations (e.g., use of ramps or
special forkllfts).
Key words or phrases:
Handling of hazardous materials
F-4b Runoff
Prevention of runoff from hazardous waste handling areas to other
areas of the facility or environment, or prevention of flooding
(e.g., berms, dikes, trenches).
F-4c Water Supplies
Prevention of contamination of water supplies.
F-4d Equipment and Power Failure
Mitigation of effects of equipment failure and power outages.
F-4e Personnel Protection Equipment
Prevention of undue exposure of personnel to hazardous waste (e.g.,
protective clothing).
Key words or phrases:
Respirators
Protective clothing
General OSHA requirements
OSHA requirements for eye protection
OSHA requirements for face protection
OSHA requirements for foot protection
OSHA requirements for head protection
264.32(d)
264.35
122.25(a)(8)
122.25(a)(8)(1)
122.25(a)(8)(11)
122.25(a)(8)(111)
122.25(a)(8)(1v)
122.25(a)(8)(v)
Ref. 28, Sec. 7
Ref. 61; Ref. 73; Ref. 81
Ref. 45. Ch. 4-7; R«f. 51. Sec. 1910.134
Ref. 39. Ch. 2, Part 4
Ref. 51, Sec. 1910.132
Ref. 51. Sec. 1910.133
Ref. 51, Sec. 1910.133
Ref. 51, Sec. 1910.132
Ref. 51. Sec. 1910.135
(continued)
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DECISION GUIDE (continued)
(Procedures to Prevent Hazards)
SHJECT REQUIREMENT
40 CFR
SECTION NOS.
REFERENCES
F-5 Prevention of Reaction of IgnHable. Reactive, or Incompatible Wastes
F-5a Precautions to Prevent Ignition or Reaction of Ignltable or Reactive
Waste
A description and documentation of the precautions taken by a facil-
ity that handles Ignttable or reactive waste to prevent actual Igni-
tion, Including separation fro* sources of Ignition such as open
flames, sucking, cutting and welding, hot surfaces, fractional heat,
sparks (static, electrical, or mechanical), spontaneous Ignition
(e.g., heat producing chemical reactions), and radiant heat.
Demonstration that when Ignltable or reactive waste Is being handled,
the owner or operator confines smoking and open flames to specially
designated locations. This documentation may be based on references
to published scientific or engineering literature, data from trial
tests, waste analyses, or the results of similar treatment processes
and under similar operating conditions. "No Smoking" signs must be
conspicuously placed wherever a hazard exists from ignitable or
reactive waste.
F-5b General Precautions for Handling Ignitable or Reactive Waste and
Mixing of Incompatible Waste
A description and documentation of the precautions taken by a facil-
ity that treats, stores, or disposes of Ignltable or reactive waste,
or mixes incompatible waste or incompatible wastes and other mate-
rials, to prevent reactions which: (1) generate extreme heat or pres-
sure, fire or explosions, or violent reactions; (2) produce uncon-
trolled flammable fumes, dusts, or gases in sufficient quantities to
threaten human health or the environment; (3) produce uncontrolled
flammable fumes or gases in sufficient quantities to pose a risk of
fire or explosions; (4) damage the structural Integrity of the device
or facility; (5) by similar means threaten human health or the envi-
ronment. This documentation may be based on references to published
scientific or engineering literature, data from trial tests, waste
analyses, or the results of similar treatment processes and under
similar operating conditions.
Key words or phrases:
Definition of incompatible waste
Chemical reactions
F-5c Management of Ignltable or Reactive Wastes In Containers
Sketches, drawings, or data demonstrating that containers of
Ignltable or reactive waste are located at least IS meters (SO
feet) from the facility's property line.
Key words or phrases:
Buffer zones
Container separation
Flammable and combustible liquids code Information
122.25(a)(9)
264.17(a) and (c)
Ref. 20
122.25(a)(9)
264.17(b) and (c)
Ref. 20
Ref. 1, Ch. 1
Ref. 87
264.176
Ref. 2, Ch. 4. S«c. F; «ef. 25
Ref. 2. Ch. 4. Sec. F; Ref. 25
Ref. 25. Ch. 1, Ch. 4
(continued)
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DECISION GUIDE (continued)
(Procedures to Prevent Hazards)
SUBJECT REQUIREMENT
40 CFR
SECTION NOS.
REFERENCES
F-5d Management of Incompatible Wastes In Containers
Description of: (1) the procedures used to ensure that incompa-
tible wastes and materials are not placed In the same container
(unless 264.17(b) is complied with) or In an unwashed container
that previously held incompatible waste, and (2) dikes, berms,
walls, or other devices used to separate wastes in containers,
piles, open tanks, or surface Impoundments.
Key words or phrases:
Storage requirements for incompatible waste
F-5e Management of Ignitable or Reactive Wastes In Tanks
A description of the operational procedures used for storing such
wastes In tanks that Includes specific information on: (1) how the
waste Is treated, rendered, or mixed before or immediately after
placement In the tank so that it Is no longer considered ignitable
^ and complies with $264.17(b); or the waste is stored or treated in
^-. such a way that it is protected from any material or conditions
I that may cause the waste to react or ignite; or the tank is used
M solely for emergencies, (2) how facilities that treat or store
•** ignitable or reactive waste in covered tanks comply with the
National Fire Protection Association's buffer zone requirements
for tanks.
Key words or phrases:
Special requirements for Ignitable or reactive wastes
NFPA buffer zone requirements
F-5f Management of Incompatible Wastes in Tanks
A statement that incompatible wastes and materials are not stored
in the same tank or in an unwashed tank that previously held an
Incompatible waste or material (unless 264.17(b) is complied with).
Key words or phrases:
Special requirements for Incompatible wastes
NFPA buffer zone requirements
G. CONTINGENCY PLAN
A copy of the Contingency Plan or Spill Prevention Control and Counter-measures
(SPCC) Plan amended for hazardous waste management to describe the actions
facility personnel will take in response to fires, explosions, or any unplanned
sudden or nonsudden release of hazardous waste or hazardous waste constituents
to air, soil, or surface water at the facility.
My words or phrases:
Spill Prevention Control and Counter-measure Plan Amendment
264.177
Ref. 1
122.25(b)(2)(v1)
264.198
Ref. 1, Ch. 2; Ref. 5; Ref. 8, Sec. 2.2.1
Ref. 25, Tables 2-1 thru 2-6
122.25(b)(2)(vi)
264.199(b)
Ref. 1, Ch. 2; Ref. 5
Ref. 25, Tables 2-1 thru 2-6
122.25(a)(7)
264.50 thru
264.56
264.52(b)
Ref. 24, Ch. 2. pp. 2-31, 2-52, and 2-53
(continued)
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DECISION GUIDE (continued)
(Contingency Plan)
SUBJECT REQUIREMENT
G-l General Information
Facility name and location, operator, site plan, and description of facil-
ity operations.
G-2 Emergency Coordinators
Names, addresses, office and hone phone numbers, and duties of primary
and alternate coordinators and statement of authorization of coordinator
to commit necessary resources to plan.
G-3 Implementation
A description of how and when the contingency plan will be implemented.
Key words or phrases:
Criteria for implementation for spills, fire, and explosions
6-4 Emergency Response Procedures
G-4a Notification
Methodology for 1 mediate notification of facility personnel and
necessary state or local agencies.
G-4b Identification of Hazardous Materials
Procedures for identification of hazardous materials Involved In
the emergency.
G-4c Assessment
Policy for assessment of possible hazards to the environment and
human health and need for evacuation and notification of authori-
ties. The authorities to be notified should Include the on-scene
coordinator for that area or the National Response Center.
Key words or phrases:
Incident characterization
Physical and chemical properties of chemicals Involved In the
emergency ,
Potential hazards of chemicals involved (e.g.. generation of hazard-
ous gases)
Sources of information and response assistance
G-4d Control Procedures
Specific control procedures to be taken In the event of a fire,
explosion, or release.
40 CFR
SECTION NOS.
264.52(d)
264.55
264.52(a)
264.56(a)
264.56(b)
264.56(c>
264.56(d)
264.52(8)
REFERENCES
Ref. 24, Ch. 2, pp. 2-15 thru 2-18.
pp. 2-45 thro 2-46; 38 Fed. Reg. 34165,
(December 11, 1973)
Ref. 24, Ch. 2. pp. 2-18, pp. 2-46
Ref. 24, Ch. 2. pp. 2-18, 2-19. and
2-46 thru 2-49
Ref. 47. pp. 23-26
Ref. 24, Ch. 2. pp. 2-23. 2-48. and 2-49
Ref. 24. Ch. 2. pp. 2-23. 2-24, 2-4«,
and 2-49
Ref. 39, Ch. 1. Part 2
Ref. 28, pp. 331-1106; Ref. 44; Ref. 4«
Ref. 39, Ch. 1. Part 3; Ref. 44;
Ref. 46
Ref. 39, Ch. 1. Part 7, Ref. 47. pp. 26-57
Ref. 10; Ref. 2*. Ch. 2. pp. 2-25. 2-26, 2-48
to 2-50
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(continued)
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DECISION GUIDE (continued)
(Contingency Plan)
SUBJECT REQUIREMENT
Key words of phrases:
Types of on- site emergency equipment to be used
Spill control and collection
G-4e Prevention of Recurrence or Spread of Fires, Explosions, or Releases
Necessary steps to be taken to ensure that fires, explosions, or
releases do not occur, recur or spread to other hazardous waste at
the facility.
Key words or phrases:
Stopping processes and operations
Collecting and containing released waste
Removing or isolating containers
G-4f Storage and Treatment of Released Material
Provisions for treatment, storage, or disposal of any material that
results from a release, fire, or explosion at the facility.
Key words or phrases:
Treatment methodology
Decontamination
G-4g Incompatible Waste
Provisions for prevention of Incompatible waste from being treated,
stored, or located in the affected areas until cleanup procedures
are completed.
G-4h Post-emergency Equipment Maintenance
Procedures for ensuring that all emergency equipment listed in the
contingency plan is cleaned and fit for Us Intended use before
operations are resumed.
G-41 Container Spills and Leakage
Specification of procedures to be used when responding to container
spills or leakage that includes procedures and timing for expeditous
removal of spilled waste and repair or replacement of the con-
tainer(s).
Key words or phrases:
Steps to take if a container Is not In good condition
Cleanup resource and techniques
Incident mitigation
40 CFR
SECTION NOS.
264.56(e)
264.56(g)
264.56{h)(l)
264.56(h)(2)
264.171
REFERENCES
Ref. 39, Ch. 4, Part 1, pp. 1-8 thru
1-12
Ref. 39, Ch. 4, Parts 2 and 3; Ref. 47,
pp. 87-402
Ref. 24, Ch. 2, 2-24 to 2-25, pp. 2-49
Ref. 47
Ref. 24, Ch. 2. pp. 2-25 thru 2-26.
2-49 thru 2-50
Ref. 39. Ch. 4
Ref. 39, Ch. 3
Ref. 24, Ch. 2. pp. 2-25 thru 2-26. 2-49
thru 2-50
Ref. 24. Ch. 2, pp. 2-25 thru 2-26. 2-49
thru 2-50
Ref. 2, Ch. 4, S«c. C.4
Ref. 39. Ch. 4. Pert 2
Ref. 39, Ch. 4, Part 3
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(continued)
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DECISION GUIDE (continued)
(Contingency Plan)
SUBJECT REQUIREMENT
40 CFR
SECTION NOS.
REFERENCES
G-4J Tank Spills and Leakage
Documentation of the procedures to be used by the facility owner or
operator to respond to tank spills or leakage that Includes proce-
dures and lining for expeditious removal of leaked or spilled waste
and repair of the tank.
Key words or phrases:
Response to leaks and spills
Cleanup resources and techniques
Incident mitigation
Dikes
6-5 Emergency Equipment
Location, description, and capabilities of emergency equipment.
I
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264.194(c)
264.52(e)
Key
SpiT
words or phrases:
Spill control and collection equipment
General emergency equipment
Fire control equipment
Respirators
Protective clothing
6-6 Coordination Agreements
A description of coordination agreement with local police and fire
departments, hospitals, contractors, and state and local emergency
response teams to familiarize them with the facility and actions
needed In case of emergency. Documentation of refusal to enter into
a coordination agreement.
6-7 Evacuation Plan
A description of signal(s) to be used to begin evacuation, and planned
and alternate evacuation routes.
Key words or phrases:
Criteria and signals to begin evacuation
Planned and alternate evacuation routes
C-8 Required Reports
Provisions for submission of reports of emergency Incidents within IS
days of occurrence, and maintenance of records identifying the time,
date, and details of an emergency incident.
264.52(c)
264.37
264.52(f)
Ref. 3. Ch. 4. Sec. F
Ref. 39, Ch. 4, Part 2
Ref. 39, Ch. 4, Part 3
Ref. 25. Sec. 2.0 thru 2.33
Ref. 47
Ref. 24, Ch. 2. pp. 2-27 to 2-30.
pp. 2-50 to 2-51; Ref. 39, Ch. 4.
Part 1. pp. 1-8 to 1-12
Ref. 28, Sec. 7; Ref. 48; Ref. 50
Ref. 39, Ch. 2, Part 3; Ref. 45, Ch.
Ref. 39, Ch. 2, Part 4
Ref. 24, Ch. 2, pp. 2-30 to 2-31,
2-52 to 2-52
264.56(J)
Ref. 24. Ch. 2. pp. 2-32, 2-52
Ref. 24. Ch. 2. pp. 2-23, 2-52
Ref. 24, Ch. 2. pp. 2-31. pp. 2-52 to
2-53
(continued)
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DECISION GUIDE (continued)
(Personnel Training)
SUBJECT REQUIREMENT
N. PERSONNEL TRAINING
H-l Outline of Training Program
An outline of both the Introductory and continuing training programs by
owners or operators to prepare personnel to operate or maintain the facil-
ity In a safe manner. Include a brief description on how training will
be designed to meet actual job tasks. (Note: on-the-job training may be
used to comply with these requirements.)
H-la Job Titles and Duties
The name, job title, duties, and job description of each employee
whose position at the facility Is related to hazardous waste
management.
H-lb Training Content. Frequency, and Techniques
A description of the content, frequency, and technique used In both
Introductory and continuing training (including an annual review of
the Initial training) for each employee.
Key words or phrases:
Training content, frequency, and techniques
level of training required
Training for personnel safety
Release prevention and response
Decontamination procedures
Facility operation and maintenance
High hazard operations
Maintaining documentation
H-lc Training Director
Demonstration that the program Is directed by a person trained 1n
hazardous waste management.
H-ld Relevance of Training to Job Position
Instruction of facility personnel in hazardous waste management
procedures (Including contingency plan implementation) relevant
to their positions.
H-le Training for Emergency Response
Demonstration that facility personnel are able to respond effective-
ly to emergencies and are familiar with emergency procedures, emer-
gency equipment, and emergency systems.
40 CFR
SECTION NOS.
122.25(a)(12)
264.16
264.16(d)(l)
264.16(d)(2)
264.16(d)(3)
264.16(c)
264.16(a)(2)
?64.16(a)(2)
264.16(a)(3)
REFERENCES
Ref. 16, Sees. 3.1.4, 4.1.2
Ref. 16, Ch. 3, Sees. 3.2 to 3.3
Ref. 16, Ch. 4-5
Ref. 16. Ch. 4, Sees. 4.1.1. 4.1.2.
4.1.4
Ref. 16, Sec. 5.2
Ref. 16, Sec. 5.3
Ref. 16, Sec. 5.4
Ref. 16, Sec. 5.5
Ref. 16. Sec. 5.6
Ref. 16, Sec. 5.7
Ref. 16, Sec. 3.1.6
Ref. 16, Ch. 5
Ref. 16. Sees. 5.3, 5.6
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(continued)
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DECISION GUIDE (continued)
(Closure Plans)
SUBJECT REQUIREMENT
H-le(l) Procedures for Using, Inspecting, Repairing, and Replacing
Facility Emergency and Monitoring Equipment
Key words or phrases: \
Respirators M>^V* ** *« W*V *W?
H-le(2) Key Parameters foA Automatic Waste* Feed Cutoff Systems \"S,
V ,
H-le(3) Communications or Alarm Systems
H-le(4) Response to Fires
H-le(5) Response to Groundwater Contamination Incidents
H-le(6) Shutdown of Operations
H-2 Implementation of Training Program
Indication that training has been successfully completed by facility
personnel within 6 months of their employment or assignment to a facility,
or transfer to a new position at a facility, whichever is later. Emplo-
yees hired after the effective date of these regulations must not work
fn unsupervlsed positions until they have completed the training require-
ments. Records documenting that the required training has been given to
and completed by facility personnel must be maintained.
I. Closure Plans, Post-closure Plans and Financial Requirements
1-1 Closure Plans
A copy of the written closure plan consistent with I- la through I-lf
Including an estimate of the maximum Inventory of wastes In storage and
treatment at any time. If changes in operating plans or facility design
affect the closure plan or the expected year of closure changes, a modi-
fication of the closure plan Is needed.
Key words or phrases:
Closure plan amendments
I-la Closure Performance Standard
A description of how closure minimizes the need for post-closure
maintenance and minimizes releases of wastes.
40 CFR
SECTION NOS.
^
SK.
264.16(d)(4)
264.16(b)
122.25(a)(13)
264.110 thru
264. 120
122.25(a)(13)
264.112
264. Ill
REFERENCES
Ref. 16, Sec. 5.3 to 5.5
Ref. 45, Ch. 8-9
Ref. 16, Sees. 5.5.1 to 5.5.4
Ref. 16, Sec. 5.3
Ref. 16, Sees. 5.3. 5.5.6.3; Ref. 28,
Sec. 7
Ref. 16. Sec. 5.3
Ref. 16, Sees. 5.3. 5.5.4
Ref. 16, Sees. 3. 1.5 and 4. 1.6
Ref. 15; Ref. 43; Ref. 53; Ref. 57
Ref. 43. Sees. 2.5, 11.1. 13.2.2;
Ref. 57, Sees. 2.5, 11.1. 13.2.2
Ref. 43, Sees. 2.2.8. 12.2.6;
Ref. 57. Sees. 2.2.8. 12.2.6
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(continued)
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DECISION GUIDE (continued)
(Closure Plans)
SUBJECT REQUIREMENT
40 CFR
SECTION HOS.
REFERENCES
CO
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I-lb Partial and Final Closure Activities
If partial closure Is anticipated, a description of how and when the
facility will be partially closed. Including an Identification of the
•axiom extent of operation after partial closure. A description of
how and when the facility will finally be closed.
Key words or phrases:
Partial closure
Final closure
I-lc Maxim* Waste Inventory
A description of the maximum inventory of wastes 1n storage and
treatment.
I-ld Inventory Removal. Disposal or Decontamination of Equipment
A description of how all hazardous waste Inventory will be removed
and how all facility equipment and structures will be decontaminated
or disposed of when closure 1s completed.
I-ld(l) Closure of Containers
Show that at closure, all hazardous waste and hazardous
waste residue will be removed from the containment system,
and how remaining containers, liners, bases, and soil con-
taining or contaminated with hazardous waste or hazardous
waste residues will be decontaminated or removed.
Key words and phrases:
Container removal, recycling
Site decontamination
Disposal of contaminated soils
Facility decontamination
Drum cleaning
Drum reconditioning (pesticides)
I-ld(2) Closure of Tanks
Show that at closure, all hazardous waste and hazardous
waste residues will be removed from tanks, discharge con-
trol equipment, and discharge confinement structure, and
the facility will be decontaminated.
Key words or phrases:
Tank cleaning
Tank closure plan guidance
Maximum amount of Inventory
Waste removal from tanks
Facility decontamination procedures
264.112(a)(l)
264.112(a)(2)
264.112
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DECISION GUIDE (continued)
(Closure Plans)
SUBJECT •tQUIRCTPfT
40 CFR
SECTION NOS.
REFERENCES
I-le Schedule for Closure
An estimate of the expected year of closure and schedule for final
closure including total tine to close the facility and tine for
closure activities. A schedule for closure which shows that all
hazardous wastes will be treated, removed off-site or disposed of
on-stte within 90 days from receipt of final volume of waste, and
that all closure activities will be completed within 180 days from
receipt of final volume of waste.
I-lf Extensions for Closure Time
A petition for a schedule for closure which exceeds the 90 days for
treatment, removal or disposal of wastes and/or the 180 days for
coupletIon of closure activities made to the Regional Administrator.
1-2 Post-closure Plans (Reserved)
Applicable only for surface impoundments, landfills, land treatment
facilities, and waste piles.
1-3 Notice In Deed and Notice to local land Authority (Reserved)
1-4 Closure Cost Estimate
A copy of the most recent closure cost estimate, calculated to cover the
cost of closure when the cost would be greatest (not including partial
closure). The cost must be updated annually using an inflation factor.
Key words or phrases:
Annual adjustment for inflation
1-5 Financial Assurance Mechanism for Closure
A copy of the established financial assurance mechanism for facility
closure. For facilities in Phase I authorized states, originally
signed duplicates of executed instruments are not required until
the time of permit Issuance, except as required by local state law.
The mechanism must be one of the following: I-S(a) through I-5(f).
I-5a Closure Trust Fund
A copy of the closure trust fund agreement with the wording required
in 264.151(»)(1) and a formal certification of acknowledgment.
Keywords or phrases:
Trust fund, grantor, trustee, beneficiary, trust agreement, pay-In
period, acknowledgment, common trust, prudent man standard, securities
264.112(a)(4)
Ref. 43. Sees. 2.2.6, 13.2.1;
Ref. 57, Sees. 2.2.6, 13.2.1
264.113(a)
264.113(b)
122.25(a)(15)
264.142
122.25(a)(15)
264.143
264.143(a)
264.151(a)(l)
Ref. 54, Sec. 8.0; Ref. 56; Ref. 67;
Ref. 71; Sec. HH
Ref. 67. Sec. II
Ref. 67. Sec. Ill ami Glossary
(continued)
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DECISION GUIDE (continued)
(Closure Plans)
SUBJECT REQUIREHEKT
40 CFR
SECTION NOS.
REFERENCES
I
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rvs
I-5b Surety Bond
I-5b(l) Surety Bond Guaranteeing Payment Into a Closure Fund
A copy of the surety bond with the wording required in
264.151(b), a copy of the standby trust fund, and a written
guarantee that the owner or operator will fund the standby
fund at least 60 days before final closure begins and will
provide alternate financial assurance if the bond is
cancelled.
I-5b(2) Surety Bond Guaranteeing Performance of Closure
A copy of the surety bond with the wording required In Part
264.151(c), guaranteeing that the owner or operator will per-
form closure according to the closure plan and the require-
ments of Subpart G, or that the owner or operator will fund
the standby trust fund as in l-5b(l).
Keywords or phrases:
Surety bonds, principal, surety, obligee, penal sum, rider,
circular 570, underwriting limitation, power of attorney,
collateral, reinsurance, cosurety
I-5c Closure Letter of Credit
A copy of the Irrevocable letter of credit with the wording required
in 264.1Sl(d) and a copy of the standby trust fund. The letter of
credit mist be Issued for a period of at least one year and be for the
amount of estimated closure.
Key words or phrases:
Letter of credit, account party, beneficiary, issuer. Irrevocable,
automatic extensions, standby trust fund, collateral
I-5d Closure Insurance
A noncancellable assignable Insurance policy for the amount of esti-
mated closure costs. The policy must provide that the Insurance
company will pay the cost of closure up to the full amount of the
policy whenever closure occurs.
Key words or phrases:
Certificate of insurance, face amount, premium payments, licensed
insurer, surplus or excess lines Insurance
I-5e Financial Test and Corporate Guarantee
Test based on guarantor firm's most recent annual audited financial
statements and taking Into account current adjusted cost of closure
and post-closure care in all facilities not covered by an alternative
financial mechanism. Submit letter from Chief Financial Officer.
accompanied by Independent auditor's opinion and special report veri-
fying the letter.
264.143(b)
264.151(b)
264.143(c)
264.151
-------
DECISION GUIDE (continued)
(Closure Plans)
SUBJECT REQUHEHEKT
40 CFR
SECTION NOS.
REFERENCES
I
CO
CO
Key words or phrases:
Corporate guarantee, parent corporation, Independent auditor, certi-
fied public accountant, adverse opinion, disclaimer of opinion,
qualified opinion, investment grade bond rating
I-Sf Combinations
I-5f(l) Use of Multiple Financial Mechanisms
A copy of a combination of trust fund agreements, surety
bond guaranteeing payment into a closure trust fund, letters
of credit, closure insurance, or state guarantees which
provide financial assurance for the amount of closure.
I-5f(2) Use of Financial Mechanism for Multiple Facilities
A copy of a financial assurance mechanism for more than one
facility showing, for each facility, the EPA 10 number, name,
address, and amount of funds for closure assured by the
mechanism.
1-6 Post-closure Cost Estimate (Reserved)
Applicable only for surface Impoundments, landfills, land treatment
facilities, and waste piles.
1-7 Financial Assurance Mechanism for Post-closure (Reserved)
Applicable only for surface Impoundments, landfills, land treatment
facilities, and waste piles.
1-8 Liability Requirements
A copy of the Certificate of Insurance or other documentation which com-
prises compliance with the liability requirements of 264.147. Coverage
is for all facilities owned and operated and applies until certification
for closure Is completed. For facilities in Phase I authorized states,
originally signed duplicates of executed instruments or certificates of
Insurance are not required until the time of permit issuance, except as
required by local state law.
I-8a Sudden Insurance
Coverage Is required in the amount of $1 million per sudden acci-
dental occurrence with an annual aggregate of $2 million. Supply
a Certificate of Insurance or the Hazardous Waste Facility Liability
Endorsement.
Key words or phrases:
Sudden accidental occurrence, accidental occurrence, coverage,
licensed Insurer, surplus or excess lines Insurance, bodily Injury,
property damage, legal defense costs
264.143(9)
264.143(h)
Ref. 67, Sec. VII and Glossary
Ref. 67, Sec. II
Ref. 67, Sec. II
122.25(a)(17)
264.147
Ref. 70
264.147(8)
264.151(1)
264.15KJ)
Ref. 70
(continued)
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DECISION GUIDE (continued)
(Closure Plan)
SUBJECT REQUIREMENT
40 CFR
SECTION NOS.
REFERENCES
I
co
I-8b Honsudden Insurance (Reserved)
Applicable only for surface Impoundments, landfills or land treatment
facilities.
I-8c Financial Test
Test based on fIra's Host recent annual audited financial statements
and taking Into account the amount of coverage not provided by other
Insurance or guarantees. Submit letter from Chief Financial Officer,
accompanied by Independent auditor's opinion and special report veri-
fying the letter.
Key words or phrases:
Corporate guarantee, parent corporation. Independent auditor, certi-
fied public accountant, adverse opinion, disclaimer of opinion,
qualified opinion. Investment grade bond rating
I-8d Variance Procedures
Regional Administrator may approve reduction In liability coverage
required, based on an evaluation of the degree and duration of risks
and on other technical and engineering Information.
I-8e Adjustment Procedures
Regional Administrator may Increase amounts of liability coverage
required for any facility or group of facilities, or he may elect
to Impose nonsudden liability coverage requirements on treatment
or storage facilities, based on an evaluation of the degree and
duration of risks as deemed necessary to protect human health and
the environment.
1-9 State Mechanisms
I-9a Use of State-required Mechanisms
Where a state has hazardous waste regulations with equivalent or
greater requirements for financial assurance for closure and post-
closure care and/or liability, a copy of the state-required finan-
cial mechanisms, including the facility EPA ID number, name,
address, and amounts of coverage. Also submit a letter requesting
that the state-required mechanism be considered acceptable. If a
state-required mechanism is acceptable except for the amount of
funds made available (264.143, 145, and 147), then the owner or
operator must provide demonstration of additional financial
assurance mechanisms to equal federal requirements. The EPA
Regional Administrator must approve equivalency of any submitted
state mechanism.
Key words or phrases:
Equivalency, availability of funds, coverage
264.147(f)
264.151(g)
264.147(c)
264.147(d)
Ref. 70
Ref. 70
Ref. 70
122.25(a)(18)
264.149
Ref. 67. Sec. VIII
(continued)
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DECISION GUIDE (continued)
(Other Federal Laws, Certification)
SUBJECT REQUIREMENT
40 CFR
SECTION MOS.
REFERENCES
I
co
en
I-9b State Assumption of Responsibility
If • state assumes legal responsibility for compliance with closure,
post-closure, or liability requirements or the state assures that
state funds are available to cover those requirements, then facility
Is In compliance and nay Include a copy of a letter from the state
describing the state assumption of responsibility and Including the
facility EPA ID number, name, address, and amounts of liability
coverage or funds for closure or post-closure care that are assured
by the state.
Key words or phrases:
Equivalency, availability of funds, coverage
J. OTHER FEDERAL LAWS
Demonstration of compliance with the requirements of applicable Federal laws
such as the Wild and Scenic Rivers Act National Historic Preservation Act of
1966. Endangered Species Act, Coastal Zone Hanagment Act, Fish and Wildlife
Coordination Act. Clean Water Act, Safe Drinking Water Act, Clean Air Act.
Atomic Energy Act, and Marine Protection, Research and Santuary Act.
Key words or phrases:
Wild and Scenic Rivers Act
Background
Appl1cabl11ty/procedures
Assistance In compliance
National Historic Preservation Act of 1966
Background
Applicability
Procedures
Assistance In compliance
Endangered Species Act
Background
Applicability
Assistance In compliance
Coastal Zone Management Act
K. CERTIFICATION
Applications mutt be accompanied by a certification letter as specified 1n
122.6(d). The required signatures are as follows: (1) for a corporation,
a principal executive officer (at least at the level of vice-president);
(2) for a partnership or sole proprietorship, a general partner or the
proprietor, respectively; (3) for a municipal, state. Federal, or other
public agency, either a principal executive officer or ranking elected
official.
264.150
Ref. 67, Sec. VIII
122.25(a)(20)
122.12
Ref. 58, Part 2. p. 3-5
Ref. 58, Part 2, p. 3-7
Ref. 58, Part 2. p. 3-9
Ref. 58, Part 2. . 4-5
Ref. 58, Part 2. . 4-9
Ref. 58, Part 2. . 4-11
Ref. 58, Part 2, . 4-17
Ref. 58, Part 2, . 5-3
Ref. 58, Part 2, . 5-9
Ref. 58, Part 2, . 5-13
Ref. 58. Part 1, p. 1-82
122.6(a) and (d)
(continued)
-------
LIST OF REFERENCES
Fred C. Hart Associates. Hazardous waste compatibility
(Draft). An Environmental Protection Agency technical
resource document. July 1981.
Fred C. Hart Associates. Permit writer's guidance manual
containers (Draft). U.S. Environmental Protection
Agency. July 1981.
Fred C. Hart Associates. Permit guidance manual: tanks
(Draft). U.S. Environmental Protection Agency. July
1981- -
4. Fred C. Hart Associates. Permit writer's guidance manual:
hazardous waste piles (Draft). U.S. Environmental
Protection Agency. July 1981.
5. Vincent, J. R. A step-by-step approach to development of
NPDES and RCRA permits. An Environmental Protection
Agency Publication EPA-330/1-81-004. July 1981.
6. Office of Solid Waste Management Programs. Test methods
for evaluating solid waste. Physical/chemical methods.
Environmental Protection Publication SW-846. Washington,
U.S. Government Printing Office, 1980.
7. Office of Coastal Zone Management. National Oceanic and
Atmospheric Administration, Department of Commerce,
Washington, D.C.
8. Permit writer's guidance document for hazardous waste
incineration (Draft). U.S. Environmental Protection
Agency. July 1981.
9. General Facility Standards for Location of Facilities.
Background document; standards applicable to owners and
operators of hazardous waste treatment, storage, and
disposal facilities under RCRA, Subtitle C, Section
3004. 40 CFR 264, Subpart B, Section 264.18. December
30, 1980.
10. Touhill, Shuckrow and Associates, Inc. Management of
hazardous waste leachate. Environmental Protection
Publication SW-871. Washington, U.S. Government Print-
ing Office, 1980.
IV-36
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11. Matrecon, Inc. Lining of waste impoundment and disposal
facilities. Environmental Protection Publication
SW-870. Washington, U.S. Government Printing Office,
1980.
12. Geotechnics, Inc. Landfill and surface impoundment
performance evaluation. Environmental Protection
Publication SW-869. Washington, U.S. Government
Printing Office, 1980.
13. Lutton, R. J. Evaluating cover systems for solid and
hazardous waste. Environmental Protection Publication
SW-867. Washington, U.S. Government Printing Office,
1980.
14. Dean, L. F. Floodplain development pressures and Federal
programs, Part II: Methods used by Federal programs to
reduce floodplain development pressures. Research
Group, Inc., Atlanta, Georgia. EPA Publication
130/1-79/001B, May 1978.
15. Acurex Corporation and Metcalf & Eddy, Inc. Closure of
hazardous waste surface impoundments. Environmental
Protection Publication SW-873. Washington, U.S.
Government Printing Office, 1980.
16. AWARE, Inc., and RECRA Environmental and Health Services.
RCRA personnel training guidance manual: for owners/
operators of hazardous waste management facilities.
September 1980.
17. Federal Insurance Administration. Flood insurance study:
guidelines and specifications for study contractors.
Department of Housing and Urban Development, Washington,
D.C. 1977.
18. JRB Associates, Inc. Training manual for hazardous waste
site investigations. U.S. Environmental Protection
Agency.
19. Tryon, G. H., and G. P. McKinnon. Fire Protection Hand-
book, 13th ed. National Fire Protection Association.
1969.
20. National Fire Protection Association. Fire Protection
Guide on Hazardous Materials. NFPASPP-10. 1978.
21. Fred C. Hart Associates. RCRA inspection manual. July
8, 1980.
22. Perry and Chilton. Chemical Engineers Handbook. 1973.
IV-37
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23. Baumeister, et al. Mechanical Engineer's Handbook.
1978.
24. Office of Solid Waste Management Programs, U.S. Environmental
Protection Agency. Regional
guidance manual for selected interim status require-
ments. Draft. September 22, 1980.
25. National Fire Protection Association (NFPA). Flammable
and Combustible Liquids Code. 1977.
26. U.S. Department of Transportation. Hazardous Materials
Regulations for Containers. November 1, 1980.
27. U.S. Environmental Protection Agency. A method for
determining the compatibility of hazardous waste.
Publication EPA-600/2-80-076. Cincinnati, Ohio, April
1980.
28. Sax, N. I. Dangerous properties of industrial materials.
Van Nostrand Reinhold Company. 1979.
/9 American Petroleum Institute (API). Recommended rules
for design and construction of large, welded, low-
pressure storage -tanks. 6th ed. (current through
Revision 2). Standard 620. 1978.
30. American Petroleum Institute. Welded steel tanks for oil
storage. 7th ed. Standard 650.
31. American Petroleum Institute. Venting atmospheric and
low-pressure storage tanks. 2n ed. Standard 2000,
1973.
32. American Water Works Association. Standard for Steel
Tanks - Standpipes, Reservoirs, and Elevated Tanks for
Water Storage. D100-79. Denver, Colorado, 1979.
33. American Society of Mechanical Engineers. Boiler and
Pressure Vessel Code, Section VIII. New York, 1974.
34. Underwriters Laboratories. Standard for Steel Above-
ground Tanks for Flammable and Combustible Liquids.
4th ed. Publication UL142. Northbrook, Illinois,
1972.
35, American Society for Testing and Materials. 1979 Annual
book of ASTM standards, steel - structural, reinforcing,
pressure vessel, railway, fasteners, Part 4.
36. American Concrete Institute. ACI manual of concrete
practice, Part 2. ACI 347-78, Ch. 2.2. 1980.
IV-38
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37. Schupack, M. How to inspect and evaluate prestressed
concrete tanks. Public Works, September 1981.
p. 88-89.
38. Valach, D., and A. Gaines. Corrosion monitoring in
chlorosolvents plant saves over $60,000 per year.
Chemical Processing, March 1981. p. 20.
39. U.S. Environmental Protection Agency Hazardous Response
Support Division and U.S. Coast Guard. Hazardous
Material Incident Response Operations - Training
Manual.
40. Earley, D. E. Source assessment: Rail tank car, tank
truck and drum cleaning - state-of-the-art. Publica-
tion EPA-600/2-78-004g. Cincinnati, Ohio, April 1978.
41. Staton, W. S., and J. Lamperton. Pesticide container
processing in commercial reconditioning facilities.
Publication EPA/530/SW-534. November 1976.
42. California Department of Health Services. Samples and
sampling procedures for hazardous waste streams.
Publication EPA-600/2-80-018. January 1980.
43. F.R.T. Corporation. Draft Guidance for Subpart G
(closure and post-closure). U.S. Environmental Pro-
tection Agency. October 6, 1980.
44. Background document - Listing of hazardous wastes. (40
CFR 261) Sections 261.31 and 261.32, and its Appendix
A. Health and Environmental Effect Profiles.
45. National Institute of Occupational Health and Safety. A
Guide to Industrial Respiratory Protection. 1976.
46. Weiss, G. Hazardous chemicals data book, Noyes Data
Corporation. 1981.
47. Robinson, J. S. Hazardous chemical spill cleanup. Noyes
Data Corporation. Park Ridge, New Jersey. 1979.
48. Fire protection book 70-1 of plant protection manual.
Plant Engineering. Technical Publishing Company.
1981.
49. Industrial security systems and procedures book 70-2 of
plant protection manual. Plant Engineering. Technical
Publishing Company. 1980.
50. Elements of industrial fire control book 70-5 of plant
protection manual. Plant Engineering. Technical
Publishing Company. 1980.
IV-39
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51. OSHA Standards, 29 CFR 1910.
52. Monsanto Research Corp. Engineering handbook for hazard-
ous waste incineration. Environmental Protection
Agency Publication SW-889. Washington, U.S. Government
Printing Office, 1981.
53. Southwest Research Institute. Technical resource docu-
ments - land disposal and other facilities. Department
of Special Studies.
54. International Research & Technology Corporation. Guidance
for Subpart H (financial requirements). Draft. August
29, 1980.
55. Office of Water and Hazardous Waste. Application for a
hazardous waste permit - consolidated permits program.
EPA Forms 3510-1 and 3510-3. June 1980.
56. General Research Corporation. Guidance for Subpart H
(financial requirements). Final draft. November 1981.
57. General Research Corp. Guidance for Subpart G (closure
and post-closure). Final draft. November 1981.
58. MITRE Corp. Guidance manual for location standards and
special environmental areas, Parts 1 and 2. August 6,
1981.
59. Office of Solid Waste Management Programs. Procedures
manual for ground water monitoring at solid waste
disposal facilities. Environmental Protection Agency
Publication SW-611. Washington, D.C. December 1980.
60. NEIC, Safety manual for hazardous waste site investi-
gations. (Draft). September 1979.
61. Huibregtse, K. R., et al. Manual for the control of
hazardous material spills. Volume I, Spill assessment
and water treatment techniques. Publication EPA-600/
2-77-227. 1977.
62. Corps of Engineers. Design and construction of retaining
dikes of containment of dredged material. EM 1110-2-5008
October 15, 1980.
63. Settig, M. Landfill disposal of hazardous wastes and
sludges. Noyes Data Corporation. Park Ridge, New
Jersey. 1979.
64. Standard industrial classification manual. 1972 with
1977 supplement.
IV-40
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65. National Institute for Occupational Safety and Health.
NIOSH/OSHA Occupational health guidelines for chemical
hazards. Publication No. 81-123. January 1981.
66. Proctor, N. H., and J. P. Hughes. Chemical hazards of
the workplace. 1978.
67. EPA Guidance Manual: financial assurance for closure and
post-closure care: requirements for owners and operators
of hazardous waste treatment, storage and disposal
facilities. EPA Report SW-955. May 1982.
68. Department of Commerce, National Oceanic and Atmospheric
Administration, Environmental Data and Information Ser-
vice, National Climatic Center, Federal Building,
Asheville, North Carolina 28801.
69. Department of the Army. Flood-proofing regulations.
EP1165-2-314. June 1972.
70. ICF Incorporated. Liability requirements for closure and
post-closure care: requirements for owners and operators
of hazardous waste treatment, storage and disposal
facilities. Draft Guidance. June 1982.
71. U.S. Department of Commerce. Bureau of Economic Analysis.
Survey of current business. Vol. 61, No. 8. August
1981.
72. Linsley, R. K., and J. B. Franzinc. Elements of hydraulic
engineering. McGraw-Hill Book Company. New York, New
York. 1955.
73. Office of Solid Waste Management Programs. Hydrologic
simulation on solid waste disposal sites. Environ-
mental Protection Publication SW-868. September 1980.
74. Tchobanoglous, G. H., Thiesen, and R. Eliassen. Solid
wastes: engineering principles and management issues,
McGraw-Hill, Inc., New York, New York. 1977.
75. Department of the Army. Wall design: floodwalls. 1948.
(Note: new edition should be available in fall of
1981. )
76. U.S. Bureau of Reclamation. Design of small dams. 1973.
77. Department of the Army. Design and construction of
levees. 1978.
78. Federal Insurance Administration. The floodway: a guide
for community officials. Number 4 in the community
assistance series. Federal Emergency Management Agency.
September 1979.
IV-41
-------
79. Water Resources Council. Guidelines for determining
flood flow frequency. Bulletin No. 17A. Hydrology
Committee. Washington, D.C. 1977.
80. Stern, A. C. Air pollution, Vol. 1, air pollutants,
their transformation and transport, 1976.
81. Office of Solid Waste Management Programs. Hazardous
waste land treatment. Environmental Protection Agency
Publication SW-874. September 1980.
82. National Board of Boiler and Pressure Vessel Inspectors.
National Board of Inspection Code, A manual for boiler
and pressure vessel inspectors. 1155 North High Street,
Columbus, Ohio. 1973.
83. U.S. Geological Survey, Topographic Maps. 1200 South
Eads Street, Arlington, Virginia 22202
84. U.S. Geological Survey, Topographic Maps. Box 25286
Federal Center, Denver, Colorado 80225
85. National Flood Insurance Program. FIA flood maps. P.O.
Box 34294, Bethesda, Maryland 20034
86. National Fire Protection Association. Cleaning or safe-
guarding small tanks and containers. NFPA327. 1982.
87. National Fire Protection Association. Manual of hazardous
chemical reactions. NFPA491M. 1975.
88. Fung, R. (editor). Protective barriers for containment
of toxic materials. Noyes Data Corporation. Pollution
Technology Review No. 66. 1980.
IV-42
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APPENDIX A
CONFIDENTIAL TREATMENT OF BUSINESS INFORMATION
A-l
-------
CONFIDENTIAL TREATMENT OF BUSINESS INFORMATION
This section contains a basic overview of EPA's confidential
business information requirements, which are found in 40 CFR
Part 2. EPA has previously developed a primer on confidential
business information under RCRA; this primer is included on the
following pages.
There are, however, several requirements not discussed in
the primer of which permit writers should be aware. These are
discussed in the following paragraphs.
(a) Disclosing Confidential Information to State and Local
Governments
Once a state has obtained interim authorization for
any component of Phase II, EPA will transfer to the
relevant state agency all permit applications from
facilities located there. Before transferring the
information, EPA must determine that it will be ade-
quately protected by the state agency, 40 CFR 2.301(h)(3)
EPA's regulations provide the following two means for
making this determination:
0 The state agency provides EPA with a written
opinion from the agency's chief legal officer or
counsel stating that the agency has the authority
to compel a business to disclose confidential
information to it.
0 EPA informs the affected business that it intends
to disclose the information to the state agency,
and the agency shows to the satisfaction of an
EPA legal office that its use and disclosure of
the confidential information will be governed by
applicable law and procedures which will provide
adequate protection to the interests of the
affected business.
A-2
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(b) Special Handling
The regulations require the EPA employee who has
possession of the confidential business information to
"take appropriate measures" to prevent disclosure 40
CFR 2.211(b). Appropriate measures include the fol-
lowing:
0 keeping the information in locked desks, file
cabinets or safes
0 refraining from discussing the information with
office mates, friends, and family
0 removing the information from work areas when not
using it
(c) Criteria for Confidentiality Determinations
The primer alludes to criteria to be used when making
a confidentiality determination but does not list
them. They are found in 40 CFR 2.208 and require a
finding that
0 the business has asserted a claim and has not
waived or withdrawn it
0 the business has taken reasonable measures to
protect the information
0 the information cannot be otherwise obtained
without the consent of the business
0 no specific statute requires disclosure
0 disclosure is likely to cause substantial harm to
the business's competitive position
(d) Disclosure of Information Relevant in a Proceeding
Information that otherwise might be entitled to confi-
dential treatment may be disclosed by EPA because of
its relevance in a proceeding (i.e., permitting,
rulemaking, or adjudicating). This exception to the
confidentiality provisions applies to information
obtained by EPA pursuant to Section 3007 of RCRA and
to information, such as information submitted in a
permit application, which could have been requested by
EPA pursuant to Section 3007.
The procedures for disclosing information relevant in
a proceeding are set forth in 40 CFR §2.301(g)(2).
The procedures are as follows:
A-3
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EPA determines that the information is confi-
dential .
EPA informs the applicant that it intends to make
the information available to the public and
provides the applicant with an opportunity to
comment.
EPA's Office of Legal and Enforcement Counsel
determines that the information is relevant to
the proceeding. The EPA office conducting the
proceeding determines that the public interest
would be served by making the information avail-
able.
EPA makes the information available to the public.
A-4
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MEMORANDUM
SUBJECT: A Primer on Confidential Business Information Under RCRA
FROM: Deborah Wolin
Attorney
Water and Solid Waste Division (A-131)
TO: Al Peters
Director
Resource Recovery Division (WH-563)
Jack Lehman
Director
Hazardous Waste Management Division (WH-565)
Introduction
A working group has been formed to assess the Agency's
current use of confidential business information and explore
long range options for assuring its protection. This Memorandum
represents the Office of General Counsel's contribution to the
working group. It discusses the legal procedures and constraints
for handling confidential business information.
All business information provided to you must be properly
safeguarded. There are detailed regulations describing how you
must handle business information, mainly in 40 CFR Part 2.
Violation of these regulations "constitutes grounds for dismis-
sal, suspension, fine or other adverse personnel action." 40
CFR 2.211. Even an unintentional violation of the regulations
is included. In addition, if someone willfully violates any of
these regulations he may be subject to "criminal prosecution
under 18 USC 1905." Id. This statute provides for fines up to
$1000 or imprisonment for up to one year or both if you publish,
divulge, disclose, or "make known in any manner or to any extent
not authorized by law any information . . . [obtained] in the
course of [your] employment . . . ." (emphasis added).
Obviously it is essential that everyone know what procedures
for handling business information ARE "authorized by law." The
initial portion of this memorandum will outline EPA's present
provisions for the treatment of business information. In addi-
tion, the procedures for handling business information which is
claimed by a company to be confidential will also be scrutinized.
A-5
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A. Basic Definitions
1. What is business information?
There is no precise definition. 40 CFR 2.201(c)
states that "business information . . . means any
information which pertinas -to the interests of any
business, which was developed or acquired by that
business".
2. What is confidential business information?
Confidential business information is any informa-
tion in any form received by EPA from any person,
firm, partnership, corporation, association, or local,
state, or Federal agency, or foreign government, which
contains trade secrets or commercial or financial
information, and which has been claimed as confidential
by the person submitting it and which has not been
determined to be non-confidential under the procedures
in 40 CFR Part 2.
You must treat any business information that a
company claims to be confidential as if it were confi-
dential until a formal administrative determination to
the contrary is made. The formal procedure for doing
so is described in detail in a later section. It must
be emphasized that until this formal administrative
procedure determines that a company's business informa-
tion is non-confidential, any business information
that is claimed to be confidential must be handled as
if it was confidential.
B. How can a business assert a claim that its business
information is confidential?
Your are required to notify a business of its right to
assert a claim of confidential treatment as to business
information. Accordingly, whenever you request data or
other information from a company pursuant to Section 3007
of the Resource Conservation and Recovery Act ("RCRA") 40
CFR 2.203(a) requires that specific points appear in your
letter. Your request must include a notice which
(1) states that the business may assert a business
confidentiality claim covering part or all of the
information as described in 40 CFR 2.203(b) and that
provisions covered by such a claim will be disclosed
by EPA only to the extent, and by means of the pro-
cedures of Subpart B of 40 CFR Part 2;
A-6
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(2) states that if no claim of confidentiality accom-
panies the information which is received by EPA it may
be made available to the public without further notice
to the business; and
(3) cites Subpart B of 40 CFR Part 2, and 41 FR 36902
(published September 1, 1976), as amended by 43 FR
39997 (September 8, 1978) and 44 FR 17673 (March 23,
1979).
A business which is submitting information to EPA may
assert a business confidentiality claim covering the infor-
mation by placing on (or attaching to) the information, at
the time it is submitted to EPA, a cover sheet, stamped or
typed legend, or other suitable form of notice employing
language such as "trade secret," "proprietary," or "company
confidential." Allegedly confidential portions of otherwise
non-confidential documents should be clearly identified by
the business, and may be submitted separately to facilitate
identification and handling by EPA. If the business desires
confidential treatment only until a certain date or until
the occurrence of a certain event, the notice should so
state. You have an attachment to your 3007 letters that is
presently in use. It is very important that such an attach-
ment accompany all written requests for data or other
information. A copy of this attachment is appended to this
document as Attachment 1.
C. What if a business asserts a claim of confidentiality
as to information you believe to be non-confidential?
The situation may arise in which a company claims its
business information to be confidential and you wish to
treat this information as non-confidential. There are two
types of claims:
(1) information you believe may not be confidential,
and
(2) information you believe is clearly not confiden-
tial.
First, if you believe that this business information may
not be entitled to confidential treatment, you may in
conjunction with OGC request the company to substantiate
its claim of confidentiality and refer the matter to the
Office of General Counsel to make a final administrative
determination of the validity of the business' claim of
confidentiality. However, until this final determination
is made you must continue to treat all business information
that is claimed by a company to be confidential as if it
were confidential.
A-7
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In order to have business information which is claimed
confidential to be declared non-confidential, EPA must
follow the procedures outlined in 40 CFR 2.204. The affected
business must be notified in writing that EPA is making a
determination under 40 CFR Part 2, Subpart B whether the
business1 information is entitled to confidential treatment,
and that the business has a certain period of time (no less
than fifteen working days) to comment. The business must
also be notified that it may request an extension of time
to comment pursuant to §2.205(b) and that EPA will construe
a business's failure to furnish timely comments as a waiver
of the business1 claim. The address of the office to which
the business' comments are to be sent must also be furnished;
this office will customarily be OGC. A sample letter is
attached to this Memorandum (Attachment 2). This notice
must be sent by certified mail (return receipt requested)
or by personal delivery or by other means which allows
verification of the fact of receipt and the date of receipt.
If the notice is sent by certified mail and the response
card is not returned and you have the personnel available,
you may send another notice to the company by certified
mail (return receipt requested). If you do not have suffi-
cient personnel or are pressed for time, you may phone the
company owner or operator to ask if he received your written
notice. There are three possible responses to your phone
inquiry. First, where the company official has received
your notice and has no problems with it, you should write a
memo to your file detailing the date, with whom you spoke
and the substance of your conversation. Second, where the
company official states that your notice was never received,
you should send him a duplicate of the original notice and
wait until you get his response. The third case is where
the company official states that he received your notice
and objected to your proposed treatment of his business
information. Here you should ask the official to send you
a copy of his objection. You should not take any further
action until you receive the copy.
The situation may arise in which a company claims
business information as confidential and you believe that
the information is clearly not confidential. Adequate
reasons for finding that business information is not
entitled to confidential treatment include: 1) the busi-
ness has not taken reasonable measures to protect its
confidentiality, 2) the information is reasonably obtain-
able without the business' consent by the use of legitimate
means, 3) disclosure of the information is mandated by a
statute (cite the statute), or 4) disclosure of the infor-
mation is not likely to cause substantial harm to the
business' competitive position and, if the the information
is not likely to impair the government's ability to obtain
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necessary information in the future. If you believe that
information claimed confidential is clearly not confidential,
the administrative procedures for determining information
to be non-confidential may be shortened considerably. An
OGC attorney must be consulted in such a case.
In both situations discussed above, if the business1
information is administratively determined to be confiden-
tial, you must continue to accord the information full
confidential treatment. If the business' information is
determined to be non-confidential, the procedures outlined
in §2.205(f) must be followed. The business must be
notified of the denial of its claim and ofthe reasons for
the denial. In addition, the notice must state that EPA
will make the information available to the public on the
tenth working day after the date of the business' receipt
of the written notice unless OGC has been notified of the
business1 commencement of an action in a Federal court to
obtain judicial review of the determination and to obtain
preliminary injunctive relief against disclosure. The
notice must further state that if such an action is timely
commenced EPA may nonetheless make the information avail-
able to the public (in the absence of an order by the court
to the contrary), once the court has denied a motion for a
preliminary injunction in the action or has otherwise
upheld the EPA determination, or whenever it appears to OGC
after reasonable notice to the business, that the business
is not taking appropriate measures to obtain a speedy
resolution of the action. If the information has been
found to be temporarily entitled to confidential, the
notice must further state that the information will not be
disclosed prior to the end of the period of the temporary
entitlement to confidential treatment.
The notice must be sent by certified mail (return
receipt requested) by personal delivery, or by other means
which allows the verification of the fact of receipt and
the date of receipt. If the notice is sent by certified
mail and the receipt card is not returned you should follow
the procedures outlined in Section C of this Memorandum.
D. Using confidential business information
1. What if another office of EPA wishes to use con-
fidential business information in your possession?
Under 40 CFR 2.209(e) you "may dislose any busi-
ness information to another EPA office, officer or
employee with an official need for the information."
(emphasis added). Thus, if another office of EPA
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orally requests business information in your posses-
sion you should not automatically transfer the infor-
mation. You should require the other EPA office to
put their request in writing, outlining 1) the purpose
for which the information is sought, and 2) who will
view the information. By requiring this written
documentation you can assess whether the requestor has
an "official need for the information."
If you find that the other office does have an
official need for the confidential business informa-
tion in your possession, you may not send over the
information alone. It must be accompanied by a cover
letter which states that the information has been
claimed confidential and must be treated in accordance
with the procedures outlined in 40 CFR Part 2. A
sample cover letter is appended to this document as
Attachment 3.
2. What if you wish to transfer confidential busi-
ness information to a contractor or a subcon-
tractor?
Under 40 CFR Part 2, as amended September 8,
1978, 43 FR 39997, and March 23, 1979, 44 FR 17573,
information which has been claimed confidential may be
disclosed by an EPA employee to a contractor or subcon-
tractor if the following procedures are complied with.
First, the EPA program office managing the contract or
subcontract must determine in writing "that such
disclosure is necessary in order that the contractor
or subcontractor may carry out the work required by
the contract or subcontract." 40 CFR 2.305(h).
Second, the contract between EPA and the contractor or
subcontractor must include several specific provisions:
(1) That the contractor or subcontractor and the
contractor's or subcontractor's employees shall use
the information only for the purpose of carrying out
the work required by the contract or subcontract,
shall refrain from disclosing the information to
anyone other than EPA without the prior written
approval of each affected business or of an EPA legal
office, and shall return to EPA all copies of the
information (and any abstracts of extracts therefrom)
upon request by the EPA program office, whenever the
information is no longer required by the contractor or
subcontractor for the performance of the work required
under the contract or subcontract, or upon completion
of the contract or subcontract;
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(2) That the contractor or subcontractor shall obtain
a written agreement to honor such terms of the contract
or subcontract from each of the contractor's or subcon-
tractor's employees who will have access to the informa-
tion, before such employee is allowed such access; and
(3) That the contractor or subcontractor acknowledges
and agrees that the contract or subcontract provisions
concerning the use and disclosure of business information
are included for the benefit of, and shall be enforceable
by, both EPA and any affected business having an
interest in information concerning it supplied to the
contractor or subcontractor by EPA under the contract
or subcontract.
A third requirement before confidential information
may be released from an EPA employee to a contractor
or subcontractor is that each affected business must
be furnished notice of the contemplated disclosure and
be afforded a period of at least five working days to
submit comments. (Notice may be by publication in the
Federal Register or by actual notice to the company by
certified mail, return receipt requested.) The notice
must include a description of the information to be
disclosed, the identity of the contractor or subcon-
tractor, the contract or subcontract number, if any,
and the purpose to be served by the disclosure. A
sample Notice is attached to this document. If you
send the notice by certified mail and the response
card is not returned you should follow the procedures
detailed in Section C of this Memorandum.
After disclosure the EPA program office must
maintain a record of the disclosure, showing the
contractor or subcontractor, the contract or subcon-
tract number, the information disclosed, the dates of
disclosure and each affected business. This record of
disclosure as well as initial written determination of
necessary of disclosure by a program office must be
maintained for at least 36 months. 40 CFR §2.305(h)(2-3)
Confidential business information and EPA contractors
1. Provisions required in Fixed Price Research and
Development Contracts.
You should be certain that the following provi-
sions are present in any Fixed Price Research and
Development Contract that is executed between EPA and
a contractor. The provisions are detailed in 15 CFR
15-7.350.
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Whenever you determine that it may be necessary
for EPA to furnish confidential business information
to a contractor, the following clauses must be in-
serted into your Fixed Price Research and Development
Contract:
TREATMENT OF CONFIDENTIAL BUSINESS INFORMATION
(a) The Conracting Officer, after a written
determination by the appropriate program office, may
disclose confidential business information to the
contractor necessary to carry out the work required
under this contract. The contractor agrees to use the
confidential information only under the following
conditions:
(1) The contractor and contractor's employees
shall: i) use the confidential information only
for the purposes of carrying out the work
required by the contract; ii) not disclose the
information to anyone other than EPA employees
without the prior written approval of the Deputy
Associate General Counsel for Contracts and
General Administration, and iii) return to the
contracting officer all copies of the information,
and any abstracts or excerpts therefrom, upon
request by the contracting officer, whenever the
information is no longer required by the contractor
for the performance of the work required by the
contract, or upon completion of the contract.
(2) The contractor shall obtain a written agree-
ment to honor the above limitations from each of
the contractor's employees who will have access
to the information, before the employee is allowed
access.
(3) The contractor agrees that these contract
conditions concerning the use and disclosure of
confidential information are included for the
benefit of, and shall be enforceable by, both EPA
and any affected business having a proprietary
interest in the information.
(4) The contractor shall not use any confidential
information supplied by EPA or obtained during
performance hereunder to compete with any business
to which the confidential information relates.
(b) The contractor agrees to obtain the written
consent of the contracting officer, after a written
determination by the appropriate program office, prior
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to entering into any subcontract that will involve the
disclosure of confidential business information by the
contractor to the subcontractor.
The contractor agrees to include this clause,
including this paragraph (b), in all subcontracts
awarded pursuant to this contract that require the
furnishing of confidential business information to the
subcontractor.
Whenever you determine that a contractor may be
required to collect information that may considered
confidential or proprietary by a company, the following
clauses must be inserted into the contract between EPA
and the contractor. 15 CFR 15-7.350-2.
SCREENING BUSINESS INFORMATION FOR
CLAIMS OF CONFIDENTIALITY
(a) Whenever collecting information under this
contract, the contractor agrees to comply with the
following requirements:
(1) If the contractor collects information from
public sources, such as books, reports, journals,
periodicals, public records, or other sources
that are available to the public without restric-
tion, the contractor shall submit a list of these
sources to the appropriate program office at the
time the information is initially submitted to
EPA. The contractor shall identify the informa-
tion according to source.
(2) If the contractor collects information from
a state or local government or from a Federal
agency, the contractor shall submit a list of
these sources to the appropriate program office
at the time the information is initially sub-
mitted to EPA. The contractor shall identify the
information according to source.
(3) If the contractor collects information
directly from a business or from a source that
represents a business or businesses such as a
trade association:
(i) Before asking for the information, the
contractor shall identify itself, explain that it
is performing contractural work for the U.S.
Environmental Protection Agency, identify the
information that it is seeking to collect,
explain what will be done with the information,
and give the following notice:
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(A) You may, if you desire, assert a busi-
ness confidentiality claim covering part or
all of the information. If you do assert a
claim, the information will be disclosed by
EPA only to the extent, and by means of the
procedures, set forth in 40 CFR Part 2.
Subpart B, 41 FR 36906, September 1, 1976.
(B) If no such claim is made at this time
this information is received by the contrac-
tor, it may be made available to the public
by the Environmental Protection Agency
without further notice to you.
(ii) Upon receiving the information, the
contractor shall make a written notation that the
notice set out above was given to the source, by
whom, in what form, and on what date.
(iii) At the time the contractor initially
submits the information to the appropriate program
office, the contractor shall submit a list of
these sources, identify the information according
to sources, and indicate whether the source made
any confidentiality claim and the nature and
extent of the claim.
(b) The contractor shall keep all information
collected from nonpublic sources confidential in
accordance with the clause in this contract entitled
"Treatment of Confidential Business Information" as if
it had been furnished to the contractor by EPA.
(c) The contractor agrees to obtain the written
consent of the contracting officer, after a written
determination by the appropriate program office, prior
to entering into any subcontract that will require the
subcontractor to collect information. The contractor
agrees to include this clause, including this paragraph
(c) and the clause entitled "Treatment of Confidential
Business Information" in all subcontracts awarded
pursuant to this contract that require the subcontractor
to collect information.
2. What type of confidentiality agreements may
contractors sign with target companies?
Some companies have requested signed secrecy
agreements between the company and contractor as
prerequisites to entry or the furnishing of informa-
tion.
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Under 40 CFR §2.215 no EPA officer, employee,
contractor, or subcontractor can enter into any confi-
dentiality agreement until the agreement is consistent
with the agency's confidentiality rules. However, in
the past our contractors have signed a vast amount of
instruments, sometimes without EPA approval in order
to gain entry. In order to avoid these situations and
satisfy concerns of some companies, the Office of
Enforcement and OGC have developed the attached "Memo-
randum on Confidential Treatment of Certain Information"
to be employed with those sources that would otherwise
oppose EPA's use of contract personnel. This form is
consistent with the agency's regulations for gathering
and handling confidential information. It may be used
where it will facilitate a contractor's entry or
procurement of information. Before your office autho-
rizes any other agreement, an OGC attorney should be
consulted. If a company asks you to sign any type of
agreement as a condition to obtaining entry or informa-
tion, you must consult an OGC attorney.
Attachments
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Attachment 1
Addendum
AUTHORITY AND CONFIDENTIALITY
The authority to obtain samples and information is provided
by Section 3007 of the Resource Conservation and Recovery Act of
1976, as amended, 42 U.S.C. 6927 (RCRA). "For the purpose of
developing or assisting in the development of any regulation," .
. . and upon request by a duly designated EPA officer, Section
3007 authorizes an EPA employee (1) to enter any establishment
where hazardous wastes are generated, stored, treated, trans-
ported, disposed of, or handled; (2) to inspect and obtain
samples of such wastes; (3) to inspect or copy records relating
to such waste. If requested prior to leaving the premises with
the samples, the EPA employee shall give a descriptive receipt
and a portion of the samples to the establishment's agent. A
copy of the results of all analyses subsequently performed on
the samples shall also be furnished to the establishment's
agent.
Information may not be withheld from the Administrator or
his authorized representative because it is confidential.
However, when requested to do so, the Administrator is required
to consider information to be confidential and to treat it
accordingly, if disclosure would divulge methods or processes
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Attachment 1 (continued)
entitled to protection as trade secrets. EPA regulations con-
cerning confidentiality of business information are contained in
40 CFR Part 2, Subpart B (42 Federal Register 36902-36924
(September 1, 1976)), as amended by 43 FR 39997 (September 8,
1978), and 44 FR 17673 (March 23, 1979). These regulations
provide that a business may, if it desires, assert a business
confidentiality claim covering part or all of the information
furnished to EPA. The manner of asserting such claims is speci-
fied in 40 CFR 2.203(b). Information covered by such a claim
will be treated by the agency in accordance with the procedures
set forth in the Subpart B regulations. In the event that a
request is made for release of information covered by a claim of
confidentiality, or the agency otherwise decides to make a
determination whether or not such information is entitled to
confidential treatment, notice will be provided to the business
which furnished the information. No information will be dis-
closed by EPA as to when a claim of confidentiality has been
made except to the extent and in accordance with 40 CFR Part 2,
Subpart B. However, if no claim of confidentiality is made when
information is furnished to EPA, the information may be made
available to the public without notice to the business.
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Attachment 2
LETTER B-
(For use in requesting comments from affected business in
connection with a final confidentiality determination when there
is a need to make information public other than under a Freedom
of Information Request.)
Certified Mail
Return Receipt Requested
[Addressee]
Re: [Reference the information that is the subject of the final
determination]
Dear :
The Environmental Protection Agency (EPA) possesses [description
of the information in question that is the subject of the final
confidentiality determination]. You asserted a business confi-
dentiality claim covering [part or all] of this information on
[describe the circumstances of the communication that led to the
claim, such as a notice attached to the information at the time
it was received by EPA or in response to a telephone call, cite
the date and the person to whom they spoke]. EPA is proposing
to release this information to the public [describe the circum-
stances of the proposed release, such as: the title of the EPA
report, identification of a meeting at which it will be dis-
cussed, etc.]. In accordance with EPA's regulation concerning
confidentiality of business information (40 CFR Part 2, Subpart
B, 41 Federal Register 36906, September 1, 1976), this office
has asked [the appropriate EPA legal office] to make a final
confidentiality determination concerning the entitlement of this
information to confidential treatment.
This letter is to notify you that [the appropriate EPA legal
office] will be making a final confidentiality determination
concerning this information. You have the opportunity to submit
your comments concerning your confidentiality claim. If you
feel that some or all of the above information is entitled to
confidential treatment, please specify which portions of the
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Attachment 2 (continued)
information you consider confidential. Please be specific by
page, paragraph, and sentence when identifying the information
subject to your claim. For each item or class of information
that you identify as being subject to the claim, the following
questions must be answered in detail: [Use the following ques-
tions only if you do not already know the answers; i.e., in most
cases EPA will know the purpose for which the information was
submitted to EPA and when, whether a claim accompanied the
information, and whether it was voluntarily submitted information.]
1. For how long should the information be treated as
confidential?
2. For what purpose was the information submitted to EPA,
and what was the approximate date of submission?
3. Did a business confidentiality claim accompany the
information at the time it was submitted?
4. What measures have you taken to guard against undesired
disclosure of the information to others?
5. To what extent has the information been disclosed to
others, and what precautions were taken with respect
to those disclosures?
6. Have there been any pertinent confidentiality deter-
minations by EPA, other Federal agencies or courts?
If so, attach a copy.
7. Would disclosure of the information be likely to
result in substantial competitive harm to your com-
petitive position? If so, discuss in detail what the
harmful effects would be, why the effects would be
substantial, and the nature of the casual relationship
between the disclosure and the harmful effects.
Please supply complete answers to the questions above. [The
appropriate EPA legal office] will make a final confidentiality
determination as to whether this information is entitled to
confidential treatment. That determination will depend in part
on your answers to these questions. EPA can withhold business
information from disclosure only if it finds that disclosure
would be likely 1) to cause substantial harm to your competitive
position, or 2) to impair EPA's ability to obtain necessary
information in the future.
You must submit your comments within working days after
your receipt of this letter. [The time given should be at least
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Attachment 2 (continued)
15 days but it may be longer as you find appropriate.] You may
request an extension of time to submit your comments, but the
request must be made before the end of the -day period. An
extension will be granted only in extraordinary circumstances
since EPA is operating under a time deadline for release of this
information. [It may be appropriate to eliminate this sentence
if time is not of the essence in the particular case.] Please
send your comments and any request for an extension to:
[The appropriate EPA legal office]
Failure to submit your comments within the -day period will
be construed as a waiver of your confidentiality claim, and EPA
will be free to release the information without further notice
to you.
You may claim information you submit in support of your confiden-
tiality claim as confidential in its own right. If the informa-
tion pertains to the confidentiality claim, is not otherwise
possessed by EPA, and is marked when received by EPA as "trade
secret," "proprietary," or "company confidential" on the informa-
tion or on a cover sheet, it will not be disclosed by EPA without
your consent unless disclosure is ordered by a Federal court.
If no claim accompanies this information when it is received by
EPA, it may be made available to the public without further
notice to you.
Sincerely yours,
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Attachment 3
DRAFT COVER LETTER
(To be attached to confidential business information that
is transferred from one EPA office to another EPA office.)
[Addressee]
Dear
The attached -page document was requested by you on
[date] for the purpose of . This
document contains information collected from
company, which was claimed to be confidential. You have stated
that the following employees of your office will view the infor-
mation: , , and
As your need for this information has been determined to be an
official one, I am transferring the attached document to your
office. You must accord the document continued confidential
treatment, as set forth in 40 CFR Part 2. If you have any
questions, please contact an attorney of the Office of General
Counsel.
Sincerely,
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Attachment 4
DRAFT SAMPLE LETTER
[Addressee]
Dear
Subject: Disclosure of Confidential Information
This letter constitutes notice that the Environmental Protection
Agency, Office of intends to release data
collected from you on [Date] concerning [Subject]
under the authority of Section 3007 of the Resource Conservation
and Recovery Act, and claimed to be confidential, to an EPA
contractor for the purpose of .
The contractor involved is .
The Environmental Protection Agency, Office of ^
has determined that it is necessary to release this information
to [Contractor] in order that [Contractor]
may carry out the work required by its contract [Contract
No. ]. This contract contains all confidentiality provi-
sions required by EPA confidentiality regulations (40 CFR
2.305(h)(2)(ii)).
If you have any comments regarding this disclosure, please
advise me within [at least five] working days. If you have any
questions please call me at ; .
Sincerely yours,
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Attachment 5
MEMORANDUM ON CONFIDENTIAL TREATMENT OF CERTAIN INFORMATION
1. Pursuant to the provisions of (applicable statutory provi-
sion), (source), (hereinafter "the source") will provide, or
give access to, information requested by the Environmental
Protection Agency (EPA) through its authorized representative
(contractor) (hereinafter "the contractor") for the contractor's
use, and that of its employees, on behalf of EPA in the course
of carrying out its responsibilities pursuant to Contract No.
with EPA. The information requested may be either
documentary (e.g., records or charts) or non-documentary (e.g.,
oral communications, taking of photographs, or visual observa-
tions ). EPA recognizes that the source may consider the informa-
tion so provided, or some part of it, to be confidential within
the meaning of (applicable statutory provision). The source may
assert a claim of confidentiality under the procedures established
in Part 2 of Title 40 of the Code of Federal Regulations (40 CFR
Part 2) by noting such claim on documentary material provided to
the contractor. The contractor will not such claim when submitting
the information to EPA. Moreover, the source may notify the
contractor that it considers the non-documentary information
provided to the contractor to be confidential, and the contractor
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Attachment 5 (continued)
will note said claim of confidentiality in any reports or docu-
ments submitted to EPA which utilize such non-documentary informa-
tion. Any material or information claimed as confidential will
be treated by the contractor as confidential in accordance with
its contract and will be treated by EPA in accordance with the
provisions of 40 CFR Part 2. Any material or information for
which a claim of confidentiality is not made may be made avail-
able to the public by EPA without notice to the source.
2. The provisions in the contractor's contract with EPA con-
cerning the use and disclosure of confidential information are
included therein for the benefit of, and shall be enforceable
by, both EPA and the source.
The provision of Contract No. between EPA and the
source provide:
a. The contractor and its employees will: i) use the
information claimed to be confidential only for the
purposes of carrying out the work required by the
contract; (ii) not disclose the information to anyone
other than EPA employees without the prior written
approval of the Deputy Associate General Counsel for
Contracts and General Administration; and (iii) return
to the EPA Contracting Officer all copies of the
information, and any abstracts or excerpts therefrom,
upon request by the Contracting Officer, whenever the
information is no longer required by the contractor
for the performance of the work required by the con-
tract, or upon completion of the contract.
b. The contractor will obtain a written areement to honor
the provisions of paragraph 2(a) from each of its
employees who will have access to the information
before the employee is allowed access.
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Attachment 5 (continued) ,
c. The contractor will not use any information claimed to
be confidential to compete with the source.
d. Before entering into any subcontract that will involve
either the disclosure to a subcontractor by the con-
tractor of information claimed to be confidential, or
the collection of information by a subcontractor, the
contractor will obtain the written consent of the EPA
Contracting Officer, after a written determination by
the appropriate EPA program office.
Any subcontractor who will have access to the information
is subject to the restrictions set forth in this Memorandum.
It is intended that this Memorandum be consistent with an
not exceed the provisions of 40 CFR Part 2 and the provisions of
Contract No. . Nothing in this Memorandum relieves
the contractor of any liability it may independently have to the
source as a matter of statutory or common law for injury to the
source arising from the contractor's release of information in a
manner which exceeds its authority under 40 CFR Part 2 and its
contract with EPA.
(contractor or subcontractor)
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