&EPA
             United States
             Environmental Protection
             Agency
          Office of
          Solid Waste and
          Emergency Response
DIRECTIVE NUMBER: [9541.00-3

TITLE: RCRA Final Authorisation Guidance Manual



APPROVAL DATE: JUNE 10, 1983

EFFECTIVE DATE: JUNE 10. 1983

ORIGINATING OFFICE:

0 FINAL

D DRAFT

 STATUS:



REFERENCE (other documents):
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                   AA-OSWER
 RCRA Final Authorisation Guidance  Manual
 Summary of Directive
   SUMMARY                                                         .     .      ,
      The  document provides  guidance regarding final authorization or  -
   State hazardous waste programs  for  the pre-HSWA  RCRA  program.   The
   Manual  establishes  a process  and schedule  for State authorization
   applications,  and provides detailed  guidance on  what  State  programs
   must  contain in order to  qualify for final authorization.   The
   primary audience  is EPA HQ  and Regional offices and  State  Agencies,
   but public  requests have  also been  received.
 Key  Words:
   State Authorization
Typ« of Oirectiw* iMtnutl. Policy Otrtetnt. Announetmtrtt. ne.i
                                                           Status
                                                          1   G Draft
                                                                Final
                                                                           ' G New
                                                                            LJ Revision
Do«» tnu O.rtctiv* Sup«rM* Previous Oift«iv«isi>   Q Yes
if "Y«« " to Either Question. What Directive inumhtf. ntlii
                                            No  Does it Suooiemem Previous Oirtct>v«
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      RCRA
Final Authorization
 Guidance Manual

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RCRA FINAL AUTHORIZATION



     GUIDANCE MANUAL
     JUNE 10,  1983

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*                JNITEO STASIS ENViRCNN'EN .'iL =?OrEC~:r*-l -GENCY

  •I. .-,•.<*•"
                             1 0 JUN1983
                                                          •  ..-!•-« C£
                                                   5C'.;C VVAS~£ i>:3 I'.--*

    MEMORANDUM
    SUBJECT:  £$RA FiflaX-Authorization Guidance Manual

    FROM:    ^.ee M.  Thomas
              Acting  Assistant Administrator for
                Solid Waste and Emergency Response

    TO:        Regional Administrators
              Regions I-X

         I  am pleased to transmit for your immediate use the attached
    copy  of EPA's "RCRA Final  Authorization Guidance Manual".   Under
    separate cover we are providing  additional  copies to your Hazardous
    Waste Division for transmittal to the State agency Directors in
    your  Region.

         This  manual  is the result of many months of work and reflects
    the input  and agreement of several key contributors to its
    development/  including representatives of EPA's Regional Offices,
    State agency  personnel working through the  Association of State
    and Territorial Solid Waste Management Officials (ASTSWMO), and
    other offices in  EPA Headquarters,, especially the Agency's Office
    of General Counsel.   This  broad-based participation provides the
    best  assurance that the final authorization process and policies
    in the  attached manual include all feasible avenues to increase
    flexibility while assuring the quality of authorized programs.

        The Office of Management and Budget (OMB) has recently cleared
    the manual for immediate use.  Also,  EPA's  Office of Legal and
    Enforcement Counsel  has concurred with its  contents.  Therefore/
    we can  immediately begin using the manual to accelerate the final
    authorization of  State programs.

         Reflecting  the cooperative  efforts which went into its
    development/  the  manual should be of  substantial assistance to
    the States  and EPA in developing  and  reviewing applications for
    program  authorization.   It provides the clearest statements
    possible concerning  the Agency's  authorization policies and
    processes.  Availability of the manual should enable our Regional
    Offices  and the States  to  more agressively  pursue final authori-
    zation and  to work together to accelerate State program development
    and the  preparation  and submission of applications.  This manual
    should be  used to expedite the individual State authorization
    strategies  that were developed by your staff in accordance with
    the guidance  in my April 29 memorandum to you.

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                              - 2 -
     I strongly encourage immediate use of the RCRA Final Author-
ization Manual as a means to quicken the pace of the final
authorization of State programs.  I will do all that is within
my power to assure that EPA adheres to the review schedules in
the manual.  Likewise/ it is critical that qualified States
develop and submit their applications as quickly as possible.

     We look forward to receiving an application from each State
and will work hard to help qualified States clear this last hurdle
to final authorization.
Attachment

cc:  Air & Hazardous Materials Division Directors, Regions I-X
     Solid Waste Branch Chiefs, Regions I-X
     A. James Barnes, Acting General Counsel
     Courtney Price, Special Counsel for Enforcement

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                  RCRA FINAL AUTHORIZATION GUIDANCE MANUAL


                             TABLE OF CONTENTS
     PREFACE


 1.0  GENERAL

 1.1  Introduction
 1.2  Definitions
 1.3  State Program Requirements for Final Authorization
 1.4  Application Approval Process


 2.0  STATE SUBMITTAL GUIDANCE

 2.1  Governor's Letter
 2.2  Program Description  .
 2.3  Attorney General's Statement
 2.4  Memorandum of Agreement
 2.5  Showing of Public Participation
 2.6  State Statutes and Regulations
2.7  State Legislation Checklist
2.8  Completeness of Submittal Checklist
                                 APPENDICES
A.    State Regulatory Program Checklist
B.    Financial Responsibility
C.    List of Federal Register Notices

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                                LIST  OF  FIGURES
             Figure

 Figure  1     Draft Application Review Process
 Figure  2     Official Application Review Process
                                                       1.4-8
                                                       1.4-10
Table 1
Table 2
            Table
Requirements for Final Authorization
Estimated Types and Number of Regulated
  Activities
Table 3     Annual Quantities of Hazardous Waste
1.3-2

2.2-6
2.2-7

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                                   PREFACE
 Goals  for  Final Authorization

     Final  authorization  of State hazardous waste programs  is  one of EPA's
 highest  priorities..  Our  goal  is to  approve  as many  qualified States for
 final  authorization  as  possible  by the  end  of  the  statutory  period for
 interim  authorization in  January 1985.   Over two-thirds  of  the States have
 already  received  interim  authorization since November 1980.   We can improve
 on  that  record for final   authorization by  continuing the cooperative part-
 nership  among  the States and territories, EPA Regions, and EPA Headquarters.

     The   Final Authorization Guidance Manual  establishes   a  process  and
 schedule which should enable us to meet this goal.   The Manual provides for
 an  early  review  step  for State  statutes, so  that interested  States can
 receive  an initial analysis  of their program authority, with  time left to
 make necessary program  changes.   The schedule for review of State applica-
 tions  commits  EPA  to  expeditious action.   The entire process is directed at
 making  final   authorization  decisions  before  January  1985,  when interim
 authorization  expires in  all  States.  All  States are urged  to submit their
 applications as early as possible.


 Statutory Requirements for Final Authorization

     The Resource  Conservation and  Recovery Act (RCRA)  establishes  a dif-
 ferent and  more difficult test for  States  applying  for final authorization
than was  required for  interim authorization.    States  applying for interim
authorization  must  have programs "substantially equivalent"  to the Federal
program.   State programs applying for final authorization are subject to the
following statutory standards:

     (1)   They  must  be  "equivalent"  to  the   Federal   program  (RCRA
          Section  3006);

     (2)   They may  not  impose  any requirements "less  stringent"  than
          the Federal  requirements (RCRA Section 3009);

     (3)   They must be  "consistent"  with  the Federal program and other
          State programs (RCRA Section 3006);

     (4)   They may, however, impose requirements which are "more strin-
          gent" than those imposed by Federal regulations (RCRA Section
          3009);
                                                               •

     (5)   They must follow specific procedures  for  public  "notice and
          hearing"  in the permitting process (RCRA  Section  7004); and

     (6)   They must "provide adequate enforcement" (RCRA Section 3006).
                                     i i i

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     In  reviewing State  applications,  EPA  is  required  to determine  that
States  satisfy  these  six  statutory standards.   While these requirements are
discussed  in more detail  in  the  chapters  that follow, this  Preface  high-
lights  our  approach  to  carrying  out  the  mandate of  RCRA in these  areas.


Equivalent and No Less Stringent Programs


     RCRA  §3006(b)  requires  that State  final  authorization programs  be
"equivalent"  to  the   Federal  Program.   RCRA  §3009  prohibits States  from
imposing requirements  which  are  "less stringent that those authorized under
this subtitle."

     Taken  together,  these two  sections  mean that  all States applying for
final authorization must  demonstrate  that  their requirements are equivalent
to  and  at  least  as  stringent as  the Federal  requirements.   This  does not
mean that  States have to implement their  programs  in  exactly the  same way
that EPA does.   State provisions can differ as  long as they address all of
the Federal  program  requirements and include requirements which are equiva-
lent to and  at least as stringent as the comparable Federal program require-
ments.   This manual  provides  guidance on necessary  State  authority to meet
these tests.


Consistent and More Stringent Programs


     Section  3009  does allow States to impose  requirements "which  are more
stringent than  those  imposed by [RCRAj regulations."   Therefore, States may
add.  requirements which  provide more rigorous  control of hazardous waste
activities  than  EPA's  regulations  or which are  broader in scope.   In  addi-
tion, State  programs  need not adopt those Federal regulations that  serve to
exempt  persons  from  certain requirements or  that allow increased  flexibil-
ity.

     However, this provision must  be read in conjunction with  RCRA  §3006(b),
which requires  that  State final authorization  programs be "consistent  with
the Federal  or  State programs applicable  in  other States."   Pursuant  to 40
CFR §271.4,  EPA will focus its review of consistency on State  program  provi-
sions which  tend  to  impede  the  flow  of  interstate  commerce or  otherwise
interfere with  the national  regulatory scheme  established by  RCRA.   Accord-
ingly,  EPA  will  view as   inconsistent those aspects  of  State programs  which:
(A) operate as  a  ban on the interstate movement of hazardous waste  (e.g.,
importation  bans); (B) prohibit treatment, storage  or  disposal  of  hazardous
waste within that State,  if the prohibition has  no  basis  in  human  health or
environmental protection; or (C)  do not  meet the manifest system  require-
ments of the Federal program.


Notice and Hearing in  the Permit Process


     RCRA §7004(b)(2)  stipulates that no State permit  program may be author-
ized  unless  it  "provides  for   the notice  and  hearing  required  by  [thisj

                                      iv

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 paragraph."   Because  of  this  clear  language,  40 CFR  §§124.10  and 124.12
 require that States  must provide notice of  their intent  to issue a permit
 through publication  in  "major  local  newspapers  of  general  circulation,"
 broadcast  such  notice over  local  radio  stations,  and provide written notice
 to certain  State  and local  government  agencies.   Further, the  State must
 provide for at  least a  45  day public  comment period.   The  State is also
 required  by §7004  to hold an informal public  hearing  if  it receives a re-
 quest  for  a  hearing during the comment period.


 Adequate Enforcement


     RCRA  §3006(b)  requires  that State final  authorization programs "provide
 adequate enforcement  of compliance with the  requirements of this  subtitle."
 Because the  adequacy  of State enforcement programs is explicitly  emphasized
 by Congress, EPA must pay special attention  to  the review of State enforce-
 ment authority.

     EPA   will  examine   the  inspection,  enforcement  remedy,  and  penalty
 authorities  of  State  programs in  light  of  the provisions of RCRA §3007 and
 40  CFR  §§271.15 and 271.16.   In particular,  States will need to provide for
 both civil  and  criminal penalties, and must  have  the authority to levy such
 penalties  in the amount  of  at  least $10,000 per  day.   States  are also re-
 quired  to  provide for public  participation  in  the  enforcement process,
 pursuant to  40 CFR  §271.16(d).


 Conclusion
     We  look  forward to  a close  working relationship  between  EPA and the
States  in  the period ahead  and to the  successful  introduction  of the RCRA
final authorization  program.   Using  the process and guidelines established
in this  Manual,  we can fulfill the  important responsibilities placed on us
by the American public for an effective  national program to manage  hazardous
wastes.

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                                    CHAPTER  1.1

                                   INTRODUCTION
      The Resource  Conservation  and  Recovery Act  of 1976,  (RCRA), as amended,
 provides for authorization of State hazardous waste programs.  This Guidance
 Manual   has  been  developed  to   provide  direction to  States  in developing
 applications for  final  authorization and also  sets  forth the  internal EPA
 procedures  which will be used  to process  applications.   Because this Manual
 is   intended only  to provide  guidance  concerning  the  implementation and
 interpretation  of  EPA's  Part 271 regulations,  EPA has concluded that  rule-
 making  procedures  are not required  under  the Administrative Procedure Act, 5
 U.S.C.  §553.

      RCRA provides for  two  stages  of  State  hazardous waste authorization:
 interim and final  authorization.  A  State may receive interim authorization
 if  its  program is substantially equivalent to the Federal program.  Interim
 authorization is a temporary mechanism that is intended to promote continued
 State participation   in  hazardous waste  management  while encouraging States
 to  develop  programs  that are fully equivalent  to the Federal program.  Now
 that  all of the major components of the  Federal  hazardous waste program are
 in  place, final authorization  is  available to  State programs.   To achieve
 final authorization  a State must demonstrate that its program meets the six
 statutory tests  that are described  in this Manual  and that are embodied  in
 the  regulatory  requirements  for  final  authorization  in -40 CFR  Part 271,
 Subpart A.   There is no deadline  for applying  for  final authorization.   A
 State does not have to obtain interim authorization prior tq receiving  final
 authorization.   However,  interim authorization expires on January 26,  1985.
 Any State with interim authorization  must  obtain  final authorization by this
 date  or the program  will revert to EPA.   This guidance  Manual  explains how
 to prepare the required  final authorization application materials.

     This Manual is  divided into two sections.   The first, "General",  gives
 an overview  of  the RCRA hazardous waste program, State program  requirements
 for  final  authorization and  information  on EPA's procedures  for review  of
 applications  for final  authorization.   The second  is the "State Submittal
 Guidance" which  provides specific  instructions  for  the  State in developing
 its  application  for  final  authorization.   The  Appendices contain guidance
 documents and other  Items  that are  pertinent  to the development and review
of State applications for final authorization.

     The  Federal regulations  in 40 CFR Part 271  Subpart  A, promulgated pur-
suant to RCRA,  require that State  final  authorization applications contain
the following:

     1.    Governor's  letter requesting State program approval.

     2.    A  Program  Description which  explains  the  program the State
          proposes to  administer together with  any forms to be  used to
          administer the program under State law.
                                  1.1-1

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     3.   A  Statement  from the State Attorney General (or the attorney
          for those State  or interstate agencies which have independent
          legal  counsel)  that  the  laws  of the  State  or  interstate.
          compact  do  provide adequate authority to  carry out  the pro-
          gram the State proposes to  administer.

     4.   A  Memorandum  of  Agreement that provides for coordination and
          cooperation  between  the  State Director  and  the  U.S.  EPA
          Regional  Administrator   regarding  the   administration  and
          enforcement  of  the  authorized  State regulatory  program as
          part  of  the  national   hazardous  waste management  program.

     5.   Copies  of  all  applicable State  statutes  and regulations,
          including those  governing  State administrative  procedures and
          interstate compacts, if relied on.

     6.   Documentation  of  public  participation  activities  (i.e.,
          notice  and  opportunities  for  comment on  the  State program
          prior to submission of the  application to EPA).

The chapters  in  the second section  of this manual provide guidance, example
documents, and models for  these authorization application elements.
                                  1.1-2

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                                 CHAPTER 1.2

                                 DEFINITIONS
     Terms  frequently  used  in  this  manual are defined  below.   Other items
are defined in 40 CFR Parts 260 and 270.

Action Memorandum  is  a transmittal memorandum prepared  by  the  EPA Regional
Office for the purposes of obtaining signatures from the appropriate concur-
ring EPA Headquarters offices.

Annual State Grant Work Program is an  agreement  negotiated annually between
the  State and  EPA Regional  Office  delineating  the  work activities  to  be
completed  by  the  State  as  a condition  of the  RCRA  grant for  that year.

Application Approval Process  is  the   procedure   by  which  applications  for
final  authorization will  be reviewed  and determinations made  within each
Regional Office and Headquarters.

Complete Application  is  the State's   official  application  that  has been
determined by EPA to be complete.

Draft Application  is   a  preliminary  version  of  the  official  application.

Headquarters Review Team  is  an established group  of  EPA staff representing
the concurring Headquarters  offices  (i.e., Office of Solid Waste, Office of
General Counsel,  Office of Enforcement  Counsel, and Office of Waste Programs
Enforcement)  responsible  for reviewing the draft applications  and complete
applications.

Headquarters Review Team Leader is responsible  for coordinating the  efforts
of the Headquarters Review Team and coordinates the transmittal of a  single
set of written review comments to the State Coordinator.

Official Application is the formal State application for final authorization
submitted to EPA by the Governor.

Phase I of Interim Authorization  is   based on  that  phase  of  the  Federal
Hazardous Waste  Management  Program commencing  on  November 19,  1980, and
encompasses the  identification  and listing of hazardous wastes,  the  control
of generators and  transporters,  and interim status standards for  treatment,
storage, and disposal  facilities (40 CFR Parts 260, 261, 262, 263,  and 265).

Phase II of Interim Authorization  is  based on  that  phase of  the  Federal
Hazardous Waste  Management  Program  commencing in  July of  1981 and  encom-
passes permitting  procedures and  standards for  hazardous waste  treatment,
storage, and disposal  facilities (40 CFR Parts 270, 124, and 264).

Pre-Application Statutory Review   is   the  optional  EPA   review  of  State
statutes prior to the State's submission of a draft or official  application.
                                  1.2-1

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Regional Liaison  is  the Headquarters Review  Team  member  that is designated
to review and coordinate comments for all State applications from a particu-
lar  Region.   The  Regional  Liaison  should  maintain day-to-day contact with
the State Coordinator.

Regional Workgroup  is  an  established  team  of EPA  Regional Office  staff
responsible  for reviewing  the  draft application  and complete application.
The  Workgroup  must represent  all  of the  concurring Divisions  and Offices
(i.e.,  Office  of  Regional  Counsel,  and Air  and  Waste  Management Division)
within the Regional Office.

State Coordinator  is  the EPA Regional Office contact responsible for coor-
dinatingandconsolidating the review comments  generated by the Regional
Workgroup and  the Headquarters'  Review Team on  the State  submittal.   The
State  Coordinator  should  maintain  day-to-day  contact  with  the Regional
Liaison.
                                   1.2-2

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                                CHAPTER  1.3

              STATE  PROGRAM  REQUIREMENTS  FOR FINAL AUTHORIZATION
 INTRODUCTION
                                                            • •

     RCRA  establishes  the basic  standards that  State hazardous waste pro-
 grams  must meet  in  order to qualify  for  final  authorization.   EPA further
 interpreted  these statutory requirements  by  promulgating regulations  at 40
 CFR  Part  271.   The  regulations  provide  detailed  requirements  that  State
 programs must  meet and set forth the  form and content of the State's appli-
 cation  for  final  authorization.   In  reviewing  State applications,  EPA is
 required  to determine  that States  satisfy  these  statutory  and regulatory
 standards.

     The purpose  of  this chapter is to  provide  more specific guidance con-
 cerning how State programs can satisfy the final authorization requirements.
 Appropriate,  portions  of the final authorization regulations are reproduced
 here to present the  State program requirements.   In many cases, the regula-
 tory requirements  are  explicit and need no  further explanation.   For other
 regulatory provisions, additional discussion  is provided  in the text of this
 chapter to more clearly  define those  State  program  features  that will be
 acceptable or necessary for final authorization.

     A summary  of  the  six RCRA standards  that State programs must meet  for
 final authorization  is  presented in Table 1.  Key EPA regulations generally
 corresponding to these statutory standards are identified in the table.   The
 table  also indicates  the appropriate  sectipn(s)  of the State's application
where the  State should demonstrate that it satisfies  the RCRA requirements.
Chapters  2.2-2.4  in  the  second  section  of  this manual  describe  how  the
 State's application should address these standards.
                                  1.3-1

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                                    Table  1

                     Requirements for Final Authorization
RCRA Standard
1. Equivalent Program -
§3006(b)
2. No Less Stringent
Program - §3009
3. Consistent Program -
§3006(b)
4. More Stringent Program -
§3009
5. Adequate Enforcement -
§3006(b); §7004(b)(l)
6. Notice and Hearing in the
Permit Process -
§7004(b)(l) and (2)
EPA
Regulations
(40 CFR)
271.9-13
271.9-14
271.4
Not
Applicable
271.15-16
271. 14
State Application
Program Description,
AU statement ana
MOA
Program Description and
AG Statement
Program Description
Program Description,
AG Statement and
MOA
Program Description,
AG Statement and
MOA
RCRA STANDARD  #1 AND RCRA STANDARD *2 -  EQUIVALENT AND
NO LESS STRINGENT PROGRAM

     1.   Requirements for Identification  and  Listing - §271.9
                    I271.S
                      itdaatf
                      The State program must control all the
                    hazardous wastes controlled under 40
                    CFR Part 261 and muat adopt a Hal of
                    hazardous wastes and set of
                    characteristics for identifying hazardous
                    wastes equivalent to those under 40 CFR
                    Part 281.
                                   1.3-2

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      The  universe  of wastes  which  the  State controls must  include all  the
 hazardous  wastes controlled  by the  Federal program.   The State must adopt  a
 list of  hazardous  wastes and a  set of characteristics  for  identifying haz-
 ardous wastes.   The  State's  list  and  characteristics  need not be  identical
 to EPA's  as long  as  the State  can demonstrate  that it  regulates all of  the
 wastes controlled  by EPA.  To the  extent  that the State's method for identi-
 fying  and  listing wastes differs  from  the  Federal  approach,  the State's
 demonstration  of  equivalent  coverage becomes more  difficult,  particularly
 where  the  State's  set  of characteristics  is  different.   A State is free to
 control  additional  wastes  if  it  desires.   Furthermore, the State  is  not
 required  to adopt  an  equivalent  "delisting" rcechanism  in  order  to obtain
 final  authorization   (see  "More   Stringent  Program"   discussion  on  page
 1.3-10).
      2.   Requirements for Generators  -  §271.10
 § 271.10  Requlre«MniB for
 hazardous waste.
   (a) The State program moat cover all
 generators corered by 40 CFR Part 282.
 States mast require new generators to
 contact the State and obtain an EPA
 ideoticfiation number before they
 perform any activity subject to
 regulation under the approved State
 hazardous waste program.
   (b) The State shall have authority to
 require and shall require all generators
 to comply with reporting and
 recordkeeping requirements equtraient
 to those under 40 CFR 282.40 and 262.41.
 States must require that generators keep
 these records at least 3 yean.
   (cj The State program must require
 that generators who accumulate
 hazardous wastes for short periods of
 time comply with requirements that are
 equivalent to the requirements for
 acc&muiatiof hazardous wastes for.
 short petted* of time under 40 CFR
282,34.
  (d) The State program must require
that generators comply with
requirements that  are equivalent to the
requirements for the packaging, labeling.
marking, and placarding of hazard jus
waste under 40 CFR 282.30 to 282.33. and
are consistent with relevant DOT
regulations under 4fl CFR Parts 17;., 173.
178 and 179.
  (e) The State program shall provide
requirements respecting international
shipments which are equivalent to those
at 40 CFR 282.50, except that advance
notification of international shipments.
as required by 40 CFR 3ft2.50(b)(l). shall
be filed with the Administrator. The
State may require that a copy of suca
advance notice be filed with the State
Director, er may require equivalent
reporting procedures.
  Note.—Such notices shall be mailed to  the
Office of International Activities (A-106).
United States Environmental Protection
Agency. Washington. D.C. 20460.
  (f) The State must require that all
generators of hazardous waste who
transport (or offer for transport) such
hazardous waste off-site:
  (1) Use a manifest system that, ensures
that interstate and tntrastate shipments
of hazardous waste are designated for
delivery, and. in the case of intrastate
shipments, are delivered to facilities
that are authorized to operate under an
approved State program or the Federal
program:
  (2) Initiate  the manifest and designate
.on the manifest the storage, treatment.
or disposal facility to which the waste it
to be shipped;
                                    1.3-3

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  (3) Ensure that ali wastes offered for
transportation are accompanied by the
manifest except in the case of
shipments by rail or water specified in
40 CFR 2fl223 (c) and (d) and §  262-20 (e)
and (f). The State program shall provide
requirements for shipments by rail or
water equivalent to those under 40 CFR
§ 282.23 (c) and (d) and 8 263-20 (e) and
(0-
  (4) Investigate instances where
manifests have not been returned by the
owner or operator of the designated
facility and report such instances to the
State in which the shipment originated.
   (gj In the case of interstate shipments
 for which the manifest has not been
 returned, the State program must
 provide for notification to the State in
 which the facility designated on the
 manifest is located and to the State in
 which the shipment may have been
 delivered (or to EPA in the case of
 unauthorized States).
   (h) The State must follow the Federal
 manifest format (40 CFR 2fl2 21) and
 may supplement the format to a limited
 extent subject to the consistency
 requirements of the Hazardous
 Materials Transportation Act (49 U.S.C
 1801 et seq.J.
     The  State must control  all  the generators that  would be controlled by
the  Federal program.   The.state  must have  a manifest system that meets the
requirements of  §271.10(f) -  (h),  including the requirement that  generators
be  held  responsible  for exception  reporting.   However,  this  does  not  pre-
clude the State agency  from tracking manifests  as it deems necessary as  part
of its  enforcement program.
     3.    Requirements  for Transporters -  §271.11
9 J71.11
  (a) The State program must cover all
transporters covered by 40 CFR Part 263.
New transporters must b« required to
contact the State and obtain an EPA
identification number from the State
before they accept hazardous waste for
transport
  (b) The State shall have the authority
to require and shall require all
transporters to comply with
recordkeeping requirements equivalent
to those found at 40 CFR 283.22, States
must require that records be kept at
least 3 years.
  (c) The State must require the
transporter to carry the manifest during
transport except in the case of
shipments by rail or water specified bt
40 CFR 283.20 (e) and (f) and to deliver
waste only to the facility designated on
the manifest The State program shall
provide requirement for shipments by
rail or water equivalent to those under
40 CFR 283 JO (e) and (f).
  (d) For hazardous wastes that are
discharged in transit the State program
must require that transporters notify
appropriate State, local and Federal
agencies of such discharges, and clean
up such wastes, or take action so that
such wastes do not present a hazard to
human health or the environment These
requirements shall be equivalent to
those found at 40 CFR 283.30 and 283.31.
                                    1.3-4

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      The State must control all  transporters that are covered in the Federal
program.


      4.    Requirements for Facilities  - §271.12
 9 271.12  Requirements for hazardous
 waate management faculties.
   The State shall have standards for
 hazardous waste management facilities
 which are equivalent to 40 CFR Parts
 284 and 266. These standard* shall
 include:
   (a) Technical standards for tanks,
 containers, waste piles, incineration,
 chemical, physical and biological
 treatment facilities, surface
 impoundments, landfills, and l*n«l
 treatment facilities;-
   (b) Financial responsibility during
 facility operation:
   (c) Preparedness for and prevention of
 discharges or releases of hazardous
 waste; contingency plans and
 emergency procedures to be followed in
 the event of a discharge or release of
 hazardous waste;
     (d) Closure and post-closure
   requirements including financial
   requirements to ensure that money will
   be available for closure and post-closure
   monitoring and maintenance;
     (e) Groundwater monitoring;
     (f) Security to prevent unauthorized
   access to the facility:
     (g) Facility personnel training;
     (h) Inspections, monitoring,
   recordkeeping. and reporting;
     (i) Compliance with the manifest
   system, including the requirements that
   facility owners or operators return a
   signed copy of the manifest to the
   generator to certify delivery of the
   hazardous waste shipment:
     (j) Other requirements to the extent
   that they are included in 40 CFR Parts
   264 and 266.
     The  State must  have  technical  permitting standards  that are equivalent
to and  no less  stringent  than  the Federal  standards at  Part 264.   For each
requirement  in Part  264,  the State  needs to demonstrate  that it has a regu-
latory  counterpart that is  at  least as stringent  as the  Federal provision.
Due to  the nature of the financial responsibility requirements of Subpart H,
separate  guidance has  been  provided  in Appendix B which  presents acceptable
financial mechanisms for final  authorization.
     5.   Requirements for Permitting  -  §§271.13 and  .14
f 271.13  Requirements wftfc rtspect to
         dptrmttappfl   '
  (a) State law must require permits for
owners and operators of all hazardous
waste management facilities required to
obtain a permit under 40 CFR Part 270
and prohibit the operation of any
hazardous waste management facility
without such a permit, except that
States may, if adequate legal authority
exists, authorize owners and operators
of any facility which would qualify for
interim status under the Federal
program to remain in operation until a
final decision is made on the permit
application. When State law authorizes
such continued operation it shall require
compliance by owners and operators of
such facilities with standards at least as
stringent as EPA's interim status
standards at 40 CFR Part 289.
                                    1.3-5

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   (b) The State must require all new
 HWM facilities to contact the State and
 obtain an EPA identification number
 before commencing treatment storage.
 or disposal of hazardous waste.
   (c) All permits issued by the State
 shall require compliance with the
 standards adopted by the State under
 S 271.12.
   (d) All permits issued under State law
 prior to the date of approval of final
 authorization shall be reviewed by the
 State Director and modified or revoked
 and reissued to require compliance with
 the requirements of this Part

 f 271.14  Requiremants for permitting.
  All State programs under this Subpart
 must have legal authority to implement
 each of the following provisions and
 must be administered in conformance
 with each; except that States are not
 precluded from omitting or modifying
 any provisions to impose more stringent
 requirements:
  (a) Section 270.1(cJ(l}—(Specific
 inclusions);
  (b) Section 270.4—(Effect of permit);
  (c) Section 270.5—(Noncomplianca
 reporting};
  (d) Section 270.10—(Application for a
 permit);
  (e) Section 270.11—{Signatories);
  (f) Section 270.12—(Confidential
 information);
  (g) Section 270.13—{Contents of Part
 A);
  (h) Sections 270.14-.2£—(Contents of
 PartB);
  [Note.—States need not use a two part
 permit application process. The State
application process must however, require
information in sufficient detail to sattsrjr the
requirements of H 27O.lS-.2a.]
  (i) Section 270.30—{Applicable permit
conditions);
  0) Section 270.31—(Monitoring
requirements);
  (k) Section- 270.32—(Establishing
permit conditions);
  (1) Section 27O33—(Schedule of
compliance);
  (m) Section 270.40—(Permit transfer);
  (n) Section 270.41—(Permit
modification);
  (o) Section 270.43—(Permit
termination);
  (p) Section 270.50—(Duration);
  (q) Section 270.60—(Permit by rule);
  (r) Section 270.61—(Emergency *
permits);
  (s) Section 270.64—(Interim permits
for UIC wells);
  (t) Section 124.3(a>—(Application for a
permit);
  (u) Section 124J (a), (c).(d),
(Modification of permits);
  (v) Section 1244 (a).     (d). and (e)—
(Draft permit);
  (w) Section 124.S—(Fact sheets);
  (x) Section 124.10 (a)(l)(ii).  (a)(l)(ui).
(a)(l)(v). (b). (c), (d), and (e)—(Public
notice);
  (y) Section 124.11—(Public  comments
and requests for hearings);
  (z) Section 124.12(a)—(Public
hearings): and
 . (aa) Section 124.17 (a) and (c)—
(Response to comments).
  [Notaw—States need not implement
provisions identical to the above lietad
provisions. Implemented provisions must.
however, establish requirementji at least &s
stringent as the cetresponding listed
provisions. While States may impos« more
stringent requirements, they may not make
one requirement more lenient as  a tradeoff
for making another requirement more
stringent for example, by requiring that
public hearings be held prior to issuing aay
permit while reducing the amount of advance
notice of Mich e bearing.]
                                     1.3-6

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      All  facilities  that would  be  required  to  receive RCRA permits under the
 Federal  program must be required  to  receive  permits from the State.  Also,
 those facilities without RCRA  permits  but  that qualify for Federal "interim
 status"  must  be  required  to  comply  with State permit conditions  or the
 State's  analogue to  Federal  "interim  status" standards which are at least as
 stringent  as  the EPA regulations at Part 265.

      The  procedures  that  State programs need  to provide for  when  issuing
 permits  are identified  in  §271.14.  This regulation  refers to aspects of the
 Federal  permitting  program  (Parts 270 and 124)  which the  State must nave
 equal  authority to  address.   States  need not  implement provisions identical
 to all the requirements identified in  §271.14; however, alternate provisions
 must establish  requirements that  are at  least  as stringent as  those in
 Checklist  V (see Appendix  A).

      Some  of  the requirements  in  Parts 270 and 124  are primarily procedural
 in nature;  that  is,  they bind the  permitting authority (State or Federal) to
 act in a  certain manner  but  generally do not   impose requirements  on the
 permittee  or permit  applicant.  These  requirements are noted in Checklist V.
 Three examples of these procedural requirements are:

      o     The  requirement  for  a 45-day public comment  period on draft
           permits  (§124.10).

     o     The  requirement to   give  public  notice  of the  issuance of
           emergency  permits  (§270.61),
                                                             •
     o     The  requirement  to broadcast notice of  permit actions over
           local  radio stations.

      It  is preferable for the  State to have these procedures in regulations
 'in  the  same  manner as the  Federal program at Parts 270  and 124).  However,
 lacking  adequate regulatory provisions,  the State  may be  able  to agree in
 its  MOA  to carry out the permitting procedure  in  accordance  with the re-
 quirements  for  final authorization.   In order for  this  approach  to be ac-
 ceptable,  the State  Attorney General must review  the terms and conditions of
 the  MOA  and certify that  (1) the  State has the  authority to enter into the
 agreement,  (2)  the State  has the  authority to carry out the agreement, and
 (3)  no applicable State statute (including the  State administrative proce-
 dure act)  requires that the procedure  be promulgated as  a rule in order to
 be  binding.   The  MOA must  then contain an unequivocal  State commitment to
 apply the procedures to each permit.  Further, when  a State will be process-
 ing a permit application (or terminating or modifying a permit) using proce-
dures that are not specified in its regulations,  notice of each draft permit
must  inform the  public  that the procedures to be followed in processing the
permit are derived  from  the MOA  as  well   as  directly from  State laws and
 regulations.  The State must agree in the MOA  to  include  this information in
 each notice.

     The degree  to which  this  approach may.be legally acceptable will  vary
by  State,  depending  on the  State's  legal   authorities  in the areas of  haz-
ardous waste  regulation and administrative procedures.   The State may not
 use  the MOA to adopt procedures which  directly  conflict with State  laws or
 regulations (e.g.,  the  State agrees to provide  for a 45-day public  comment
period even though  the State's   regulation  sets a maximum  30-day  comment
period).
                                   1.3-7

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     6.   Variance,  Waiver and Compliance Schedule Provisions

     Many  States have  statutory  or regulatory waiver,  variance,  or compli-
ance  schedule provisions  that  allow  the State to grant regulatory relief to
members  of the  regulated community  on a  case-by-case basis.  Generally  a
waiver   relieves   a   party  from   complying with  a  particular  requirement
altogether.   A variance,  on  the other hand, changes  the substantive require-
ment  for compliance.   Compliance  schedules  only change  the date  by  which
compliance  is required.

     The  Federal  RCRA  program allows  few exemptions  from  its  regulations.
The  language of Section  3009- of RCRA  precludes the  use  of  variance  and
waiver  provisions  by  the State   that  would render  the State  program less
stringent  than  the   Federal  program.   If the  State's  variance   or  waiver
authority  is broader  than  that   for  the  Federal program (i.e.,   it  allows
greater  deviation  from  the  State's  regulations than the  Federal  program
would),  the State provision  may  be acceptable if the provision is of such a
nature  that  it can  be invoked only  at the discretion  of the State agency.
In  this  case, the  State  must agree  in  its MOA  not  to  use the  waiver or
variance  so that it  would result in the  imposition  of any requirement less
stringent  than comparable Federal program requirements. Additionally,  the
Attorney  General  must certify that State law allows  the  State  agency to
agree to  limit  its  use  of the waiver  provision  in  this fashion.   The State
must also  agree  in  the  MOA  to inform EPA of the issuance of any variance or
waiver (see page 2.4-9).

     If,  however,  the  State's variance  or waiver authority .is not discre-
tionary, that is, the State's statute or regulation  would require  the grant-
ing of  variances in  certain  situations that would  render the State program
less stringent, the  option above  would not be available as a means of satis-
fying §3009 and obtaining final authorization.

     Section  270.33  of  the Federal regulations provides that Federal permits
may specify schedules leading to  compliance.   States may similarly use their
authority to  issue compliance schedules or temporary variances which operate
as compliance schedules analogous  to the Federal program.  Therefore, State
compliance  schedule  provisions analogous to §270.33 are not an  impediment to
final authorization.

RCRA STANDARD 03 - CONSISTENT PROGRAM
§ 271.4
  To obtain approval, a State program
must be consistent with the Federal
program and State programs applicable
in other States and in particular must
comply with the provision below. For
purposes of this section the phrase
"State programs applicable in other
States" refers only to those State
hazardous waste programs which have
received final authorization under this
part.
  (a) Any aspect of the State program
which unreasonably restricts, impedes,
or operates as a ban on the free
movement across the State border of
hazardous wastes from other States for
treatment, storage, or disposal at
facilities authorized to operate under the
Federal or an approved State program
shall be deemed inconsistent.
                                   1.3-8

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   (b) Any aspect of State law or of the           (c) If the State manifest system does
 State program which has no basis in           not meet the requirements of this Part,
 human health or environmental                the State program shall be deemed
 protection and which acts as a                 inconsistent.
 prohibition on the treatment, storage or
 disposal of hazardous waste in the State
 may be deemed inconsistent.

      Section 3006(b)  of  RCRA requires  that authorized State  programs  must  be
 "consistent  with"  the  Federal  RCRA program  and  other State  programs.  The
 call  for consistent  State  programs must  be  balanced with the  provision  of
 §3009  that  allows States to  impose  requirements which  are more  stringent
 than the Federal regulations.   For this  reason,  EPA will apply the  consis-
 tency  test  as narrowly  as possible,  limiting its application to  only  those
 areas  described  in 40 CFR 271.4.

     Under  §1005 of  RCRA,  two or  more  States  may  enter into  interstate
 compacts or  agreements  to provide for cooperative  effort and mutual assis-
 tance  for  the management of hazardous (and/or solid)  waste  and  the enforce-
 ment  of  their respective laws  relating thereto.   No such compact  or agree-
 ment  is binding on   the parties  to  it until it has been  approved  by the
 Administrator   and   Congress.    Similarly,   under   §4  of  the   Low  Level
 Radioactive  Waste  Policy Act of 1980,  States may enter  into compacts as may
 be  necessary  to provide  for   the  establishment and  operation  of regional
 disposal facilities  for  low  level radioactive waste.  These compacts do not
 take effect  until  Congress  has by  law consented to  the  compact.   Since the
 Congress  has  explicitly provided in the  statutes  that  these  interstate
 compacts are appropriate and  since the  compacts must  individually  receive
 Congressional  approval,  the  establishment of such  interstate compacts will
 not cause a  State program to be deemed inconsistent.

     The  following sections  briefly  explain each  consistency  requirement
 found  in §271.4.   For each of  these  requirements examples  are  presented  to
 illustrate  questions  that  States may face  regarding program  consistency.


     1.   Interstate Movement of Wastes -  §271.4(a)

     This test of consistency  applies to. State  controls that  restrict the
 interstate transportation of waste.   Examples of  controls that  are incon-
sistent under this requirement  include:

     o    Stat«  requirement  (law/regulation/policy)  which  bans the
          importation of hazardous waste  from out of State.

     o    State requirement which sets  geographic standards' of discrim-
          ination (treats out-of-State waste differently  than in-State
          wastes),  such  as  a  State policy which denies permission  to
          import wastes  unless there  is   insufficient waste management
          capacity available in the State  of waste origin.

     o    State exclusive reciprocity  agreement  which  in  effect allows
          importation of wastes only   from  the States  which  are  parties
          to such agreements.


                                  1.3-9

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States with  these  types  of restrictions are strongly  urged  to  repeal  them.
If  this   is  not possible,  then  the requirements  must somehow be  rendered
unenforceable.   For  example,  if a  State  has  an importation ban that  it  is
unable to repeal, the AG would have to issue a formal opinion saying that  he
will not enforce the ban because it is unconstitutional.

     2.   Prohibition of Treatment, Storage, or Disposal  - §271.4(b)

     This test of consistency applies to aspects of the State law  or program
which  prohibit  treatment,  storage or  disposal  of hazardous wastes.   Such
provisions will  not be  deemed  inconsistent with RCRA if they are  based  on
protection of human health or the environment.

     Siting.    Some States  have  siting laws or regulations that provide for
the  consideration  of  social,  economic, financial, capacity,  and  other fac-
tors  in   site  selection  in addition to  the  human health  or environmental
impacts.   Such provisions will not be judged to be inconsistent with RCRA if
it is clear that siting decisions are to be based on health or environmental
protection as  well as  these  other  factors.   Thus,  siting  criteria  beyond
environmental protection are allowable.

     A State  siting provision that contradicts  the  express  terms  of §271.4
(for example, where the only basis for rejecting a site is economics), would
be  an obstacle  to final  authorization.    It  is quite unlikely  that State
siting provisions  will  have no basis in health or environmental protection.

     EPA  will  review the  State  provisions that  govern  site selection, in-
cluding  regulations  and  policies  governing siting  boards.   If such provi-
sions on  their face are not  inconsistent  (per §271.4),  EPA does not intend
to go  beyond  the  provisions  to hypothesize how decisions  will  actually be
made.

     3.   Manifest System - §271.4(c)

     This  test  of  consistency  applies to the  State's  use of  a manifest
tracking  system.   The  State must  follow  the  EPA tracking system,  including
the  use  of  exception  and discrepancy  reports.   States  may build  upon that
system by matching generator, transporter  and  facility  copies  of  the  mani-
fest at  the  State office and still be  "consistent."   An  example of a provi-
sion which would be inconsistent  under this requirement  is  a State require-
ment  that the transporter carry  a  form  with  significantly more tracking
information than is Federally required  or  allowed.   However,  the State  would
be free  to  require generators to  send  (e.g. mail) more detailed  information
to the TSOF prior to receipt of  the wastes.


RCRA STANDARD »4 - MORE  STRINGENT  PROGRAM


     In  keeping with the intent  of  §3009 of  RCRA, no  State  is  prohibited
from  imposing  requirements that are more  stringent  than EPA's.   States  may
have  more extensive regulatory  programs  than required to  obtain  authoriza-
tion.  It should be noted  that where an approved State program has a greater
                                   1.3-10

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 scope  of coverage  than required  by Federal  law,  the additional
 not part of the Federally approved  program (see §271. l(i)(2)).
                          coverage is
       In  addition, State programs  need not include those  Federal  requirements
 that  serve  to  exempt  persons  from certain regulatory requirements.   For
 example,  States  are  not required  to provide an equivalent  "delisting" mech-
 anism  in  order to obtain final authorization.  However,  if  the State program
 does  include a delisting mechanism,  that mechanism must  be  no less stringent
 that  that of  the  Federal  program in  order for  the State to  obtain final
 authorization.   (PIG's  81-4  and 82-4 outline the policy on delisting during
 interim  authorization;  this  policy  is the  same for  final  authorization.)

 RCRA STANDARD  »5 - ADEQUATE ENFORCEMENT
 § 271.15 Requirement* for compliance
 evaluation programs.
   (a) State programs shall have
 procedures for receipt, evaluation.
 retention and investigation for possible
 enforcement of all notices and reports
 required of permittees and other
 regulated persons (and for investigation
 for possible enforcement of failure to
 submit these notices and reports).
   (b) State programs shall have
 inspection and surveillance procedures
 to determine, independent of
 information supplied by regulated
 persons, compliance or noncompliance
 with applicable program requirements.
 The State shall maintain:
   (1) A program which is capable of
 making comprehensive surveys of all
 facilities and activities subject to the
 State Director's authority to identify
 persons subject to regulation who have
 failed to comply with permit application
 or other program requirements. Any
 compilation, index or inventory of such
 facilities and activities shall be made
 available to the Regional Administrator
 upon request:
   (2) A program for periodic inspections
 of the facilities and activities subject to
 regulation. These inspections shall be
 conducted in a manner designed to:
   (ij Determine compliance or
 noncompliance with issued permit
 conditions and other program
 requirements;
  (ii) Verify the accuracy of information
submitted by permittees and other
regulated persons in reporting forms and
other forms supplying monitoring data;
and
  (iii) Verify the adequacy of sampling.
monitoring* and other methods used by
permittees and other regulated persons
to develop that information:
  (3) A program for investigating
information obtained regarding
violations of applicable program and
permit requirements: and
  (4) Procedures for receiving and
ensuring proper consider a don of
information submitted by the public
about violations. Public effort in
reporting violations shall be encouraged.
and the State Director shall make
available information on reporting
procedures.
  (c) The State Director and State
officers engaged la compliance
evaluation shall have authority to enter
any site or premises subject to
regulation or in which records relevant
to program  operation are kept in order
to copy any records, inspect monitor or
otherwise investigate compliance with
the State program including compliance
with permit conditions and other
program requirements. States whose law
requires a search warrant before entry
conform with this  requirement
  (d) Investigatory inspections shall be
conducted,  sample!  shall be taken and
other information  shall be gathered in a
manner (e.g., using proper "chain of
custody" procedures) that will produce
evidence adoxissibie in an enforcement
proceeding  or in court
                                    1.3-11

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 § 271.16  Requirements for enforcement
 authority.
   (a) Any State agency administering a
 program shall have available the
 following remedies for violations of
 State program requirements:
   (1) To restrain immediately and
 effectively any person by order or by
 suit in State court from engaging in any
 unauthorized activity which is
 endangering or causing damage to
 public health or the environment.
  {Note.—Thi* paragraph requires that State*
 have • mechanism (e.g, an administrative
 cease and desUt order or the ability to seek a
 temporary restraining order) to stop any
 unauthorized activity endangering public
 heaith or the environment.)
  (2) To sue in courts of competent
jurisdiction to enjoin any threatened or
continuing  violation of any program
requirement including permit
condition*, without the necessity of a
prior revocation of the permit
  (3) To access or sue to recover in
court civil penalties and to  seek criminal
remedies, including fines, as follows:
  (i) Civil penalties shall be recoverable
for any program violation in at least the
amount of &&000 per day.
  (u) Criminal remedies shall be
obtainable  against any person who
 knowingly  transports any hazardous
 waste to an unpermitted facility; who
 treats, stores, or disposes of hazardous
waste without a permit; or who makes
any false statement or representation in
any application, label, manifest record.
report, permit  or other document filed.
maintained, or used for purposes of
program compliance. Criminal fines'
shall be recoverable in at least the
amount of $10,000 per day for each
violation, and  imprisonment for at least
six months shall be available.
  (b)(l) The maximum civil penalty  or
criminal fines  (as provided in paragraph
(a)(3) of this section) shall be assessable
for each instance of violation and. if the
violation is continuous, shall be
assessable  up  to the maximum amount
for each day of violation.
  (2) The burden of proof and degree of
knowledge or intent required under
State law for establishing violations
under paragraph (aX3) of this section.
shall be no greater than the burden of
proof or degree of knowledge or intent
EPA must provide when it brings an
action under the Act.
  (Note.—For example, this requirement u
not met if State law includes mental state aa
an element of proof for civil violations.)
  (c) Any civil penalty assessed, sought
or agreed upon by the State Director
under paragraph (a)(3) of this section
shall be appropriate to the violation. A
civil penalty agreed upon by the State
Director in settlement of administrative
or judicial litigation may be adjusted by
a percentage which represents the
likelihood of success in establishing the
underlying violation(s) in such litigation.
If such civil penalty, together with the
costs of expeditious compliance, would
be so severely disproportionate to the
resources of the violator as to jeopardize
continuance in business, the payment of
the penalty may be deferred or the
penalty may be forgiven in whole or
part as circumstances warrant In the
case of a penalty for a failure to meet a
statutory or final permit compliance
deadline, "appropriate to the violation."
as used in this paragraph, means a
penalty which is equal to:
  (1) An amount appropriate to address
the harm or risk to public health or the
environment; plus
  (2) An amount appropriate to remove
the economic benefit gained or to be
gained from delayed compliance: plus
  (3) An amount appropriate as a
penalty for the violator's degree of
recalcitrance, defiance, or indifference
to requirements of the law: plus
  (4) An amount appropriate to recover
unusual or extraordinary enforcement
costs thrust upon the public minus
                                     1.3-12

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   (5) An amount if any. appropriate to
 reflect any part of the noncompliance
 attributable to the government itself;
 and minus
   (8) An amount appropriate to reflect
 any part of the noncompliance caused
 by factors completely beyond the
 violator's control (e.g., floods, fires).
   [Note.—In addition to the requirements of
 this paragraph, the State may have other
 enforcement remedies. The following
 enforcement options, while not mandatory,
 are highly recommended:
   Procedures for assessment by the State of
 the costs of investigations, inspections, or
 monitoring surveys which lead to the
 establishment of violations:
   Procedures which enable the State to
 assess or to sue any persons responsible for
 unauthorized activities for any expenses
 incurred by the State in removing, correcting.
 or terminating any adverse effects upon
 human health and the environment resulting
 from the unauthorized activity, whether or
 not accidental:
   Procedures which enable the State to sue
 for compensation for any loss or destruction
 of wildlife, fish  or aquatic life, or their
 habitat and for any other damages caused by
 unauthorized activity, either to the State or to
 any residents of the State who are directly
 aggrieved by the unauthorized activity, or
 both: and
   Procedures for the administrative
 assessment of penalties by the Director.]
  (d) Any State administering a program
shall provide for public participation in
the State enforcement process by
providing either.
  (1) Authority which allows
intervention as of right in any civil
action to obtain remedies specified in
paragraphs (a) (1), (2) or (3) of this
section by any citizen having an interest
which is or may be adversely affected;
or
  (2) Assurance that the State agency or
enforcement authority will:
  (i) Investigate and provide written
responses to ail citizen complaints
submitted pursuant  to the procedures
specified in 5 271.15(b)(4);
  (ii) Not oppose intervention by any
citizen when permissive intervention
may be authorized by statute, rule,  or
regulation; and
  (iii) Publish notice of and provide at
least 30 days for public comment on any
proposed settlement of a State
enforcement action.
      Once authorized,  the State  program operates in  lieu of the  Federal  pro-
gram.   EPA retains  its right  to  exercise  its  enforcement responsibilities in
authorized States,  though the requirements  EPA enforces  in that  case are the
State's requirements.

      40 CFR 271.16(a)(2)  requires  States to  have authority to enjoin viola-
tions  of  State  hazardous  waste  regulations  and permits.   This  provision
specifically requires that  States  applying  for final  authorization have the
authority  "to  sue  in  courts   of  competent  jurisdiction  to   enjoin  any
threatened  or  continuing  violation  of   any  program  requirement,  including
permit  conditions,  without  the  necessity of  a  prior  revocation  of the per-
mit."   Authority  over  threatened  violations  is required  so  that  States may
enjoin  regulatory  violations  about  to occur  even though the  threatened vio-
lations may  not  rise  to  the level  of  an  imminent hazard (§271.16(a)(l)).
                                     1.3-13

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     Questions  have arisen  about  what type  cf  ''egal  •ai:tno-->y  States  must
 demonstrate  to comnlv with  this orovision.   Several  oof'on?  ?.re available.
 First,  the State  analogue  to RCRA §3008 may provide tne necessary autncrity.
 This authority may be explicit or, as in the case of Section 3008, implicit
 in  the  authority to enforce the Subtitle  C  regulations.   Alternatively,  it
 is  sufficient for  a  State to establish that general  authority  or case law
 authority  exists for  a  State court of competent  jur-'sc:cf'or  to grant the
 State  injunctive relief (whether preliminary or permanent) in cases involv-
 ing  threatened violations.  Stated another way, if a State Attorney General
 is  able  to  demonstrate  that  the  State  courts  are generally  empowered  to
 grant  injunctive relief and that such relief could  be granted to the State
 in  a suit to enjoin a threatened violation of a program requirement or per-
 mit  condition,  then  the  State  program  would  comply with  §271.16(a)(2).

     The  minimum requirements  for  State enforcement penalties are specified
 in §271.16(a)(3)(i).  These  penalty levels are necessary to ensure effective
 State enforcement programs and to minimize the need for EPA to take civil  or
 criminal  enforcement  actions in an authorized  State.   Therefore, the State
 must demonstrate that  it has  the  authority to  seek  the  penalty levels re-
 quired  by  §271.16(a)(3)(i).   However,  the actual  fine  which  will be sought
 or  ultimately  recovered in an enforcement case  is not a final authorization
 issue.

     The  requirement  in  §271.16(d)  concerning   public  participation  in the
 enforcement  processs  may be satisfied through agreement  in  the MOA between
 the  State and EPA  accompanied  by  a certification  by the  State Attorney
 General (see page 2.3-10).  Also note that  §271.16(d)  does, not  require the
 State program  to have a citizen suit provision comparable  to EPA's (§7002 of
 RCRA).   The  State is  not  required to have statutory or regulatory authority
 equivalent to  §7002 in order to obtain final authorization.


 RCRA STANDARD »6 - NOTICE  AND HEARING IN THE PERMIT PROCESS


     RCRA §7004(b)(2) stipulates that no State permit program may be author-
 ized unless  it:  (1) provides notice of its  intent to  issue a permit through
 publication  in "major local newspapers of general circulation":   (2) broad-
 casts such notice over local radio stations; (3)  provides written notice  to
 certain State  and local government agencies; (4)  prov4des for at least, a  45
 day public comment period; and (5) holds  an informal public hearing  if one
 is requested during the comment period.  (See also §271.14.)  As  is  the case
with other  procedural  aspects  of  the permitting  process,  if the State has
 the authority, it may agree  in its MOA to adhere to these  procedures  if they
are  not required by  the  State's  regulations.   Further  discussion  of such
agreements is provided on  page 1.3-7.

     The  State need  not  use the  term "informal  public  hearing";  the per-
tinent  requirement  is that the State hearing  procedure  be  of  tne same  nature
of that described in RCRA  §7004(b)(2) and further defined in  40 CFR 124.12.
The RCRA  hearing is one  that  is purely  legislative  in nature  (i.e.,  not  an
"evidentiary hearing" as  provided for  in Subparts  E or  F  of  40  CFR Part 124)
 and at which oral or written statements and  data concerning  the draft  permit
may  be  submitted by  any  interested  person.   Additional  discussion can  be
 founa at 45  FR 33405 and  33406 (May 19, 1980).

                                  1.3-14

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  Where a  State  employs hearings of  the  nature of an  "evidentiary  hear-
l",  it  should  ensure that its  evidentiary  procedures  also contain proce-
es  analogous  to  those in 40 CFR  124.12,  or else hold  an additional "in-
mal" hearing.
                              1.3-15

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                                   CHAPTER 1.4

                                APPROVAL PROCESS
 Federal Requirement
 9 271.30  Approval process.
   (a) Prior to submitting an application
 to EPA for approval of a State program.
 the State shall issue public notice of its
 intent to seek program approval from
 EPA. This public notice shall:
   (1) Be circulated in a manner
 calculated to attract the attention of
 interested persona including:
   (i) Publication in enough of the largest
 newspapers in the State to attract
 statewide attention: and
  (u) Mailing to persona on the State
 agency mailing list and to any other
 persons whom the agency has reason to
 believe are interested:
  (2) Indicate when and where the
 State's proposed submission may be
 reviewed by the public;
  (3) Indicate the cost of obtaining a
 copy of the submission:
  (4) Provide for a comment period of
 not less than 30 days during which time
 interested members of the public may
 express their views on the proposed
 program;
  (5) Provide that a public hearing will
 be held by the State or EPA if sufficient
 public interest is shown or.
 alternatively, schedule such a public
 hearing. Any public hearing to be held
 by the State on its application for
 authorization shall be scheduled no
 earlier than 30 days after the notice of
 hearing is published;
  (6) Briefly outline the fundamental
 aspects of the State program; and
  [7] Identify a person that an interested
member of the public may contact with
any questions.
  (b) If the proposed State program is
substantially modified after the public
comment period provided in paragraph
(a)(4) of this section, the State shall
prior to submitting its program to the
Administrator, provide an opportunity
for further public comment in
accordance with the procedures of
paragraph [a] of this section. Provided,
that  the opportunity for further public
comment may be limited to those
portions of the State's application which
have been changed since the prior
public notice.
  (c)'After complying with the
requirements of paragraphs (a)  and (b)
of this section, the State may submit, in
accordance with 9 271.5. a proposed
program to EPA for approval Such
formal submission may only be made
after the date of promulgation of the last
component of Phase IL The program
submission shall include copies of all
written comments received by the State.
a transcript  recording, or summary of
any public hearing which was held by
the State, and a responsiveness
summary which identifies- the public
participation activities conducted.
describes the matters presented to the
public, summarizes significant
comments received and responds to
these comments.
                                    1.4-1

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   (d) Within 90 days from the date of
 receipt of a complete program
 submission for final authorization, the
 Administrator shall make a tentative
 determination aa to whether or not he
 expects to grant authorization to the
 State program. If the Administrator
 indicates that he may not approve the
 State program he shall include a general
 statement of his areas of concern. The
 Administrator shall give notice of this
 tentative determination in the Federal
 Register and in accordance with
 paragraph (a)(l) of this section. Notice
 of the tentative determination of
 authorization shall also:
   (1) Indicate that a public hearing will
 be held by EPA no earlier than 30 days
 after notice of the tentative
determination of authorization. The
notice may require persons wishing to
present testimony to file a request with
the Regional Administrator, who may
cancel the public hearing  if sufficient
public interest in a hearing is not
expressed.
  (2) Afford the public 30 days after the
notice to comment on the State's
submission and the tentative
determination: and
  (3) Note the availability of the State
submission for inspection and copying
by the public.
  (e) Within 90 days of the notice given
pursuant to paragraph (d) of this section.
the Administrator shall make a final
determination whether or not to approve
the State's program, taking into account
any comments submitted The
Administrator will grant final
authorization only after the effective
date of the last component of Phase II.
The Administrator shall give notice of
this .final determination in the Federal
Register and in accordance with
paragraph (a)(l) of this section. The
notification shall include a concise
statement of the reasons for this
determination, and a response to
significant comments received.
Introduction

     The  approval process  for State  authorization is described generally in
Section  3006(b)  of  RCRA.   EPA  regulations at  40 CFR  271.20  (shown above)
define  the  approval  process  in  greater detail.   (Also  see .§271.5(b)  and
(c).)  The  purpose of this chapter is to present the procedures that will be
used by the EPA Headquarters and Regional Offices to review applications for
final  authorization  of State  hazardous waste management programs.   By set-
ting forth  these procedures in detail the guidance is intended to:

          Make the States aware  of the EPA approval process;

          Provide for Regional and national consistency;

          Assign responsibilities to  specific groups in  both the Region
          and Headquarters; and

          Minimize the review  and approval time frames.

The guidance suggests  an early  review of  State hazardous  waste statutes  in
order to  identify major deficiencies  so that the States  will have sufficient
time to take the necessary legislative actions before the interim authoriza-
tion period expires.   Guidance is also provided on the  review procedures and
responsibilities for draft and official State applications.
                                    1.4-2

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                                   CHAPTER 1.4

                                APPROVAL PROCESS
 Federal Requirement
 9 271.20  Approval prooMe.
   (a) Prior to submitting an application
 to EPA for approval of a State program,
 the State shall issue public notice of its
 intent to seek program approval from
 EPA. This public notice shall:
   (1) Be circulated in a manner
 calculated to attract the attention of
 interested persons including:
  (i) Publication in enough of the largest
 newspapers in the State to attract
 statewide attention: and
  (ii) Mailing to persona on the State
 agency mailing list and to any other
 persons whom the agency has reason to
 believe are interested:
  (2) Indicate when and where the
 State's proposed submission may be
 reviewed by the public:
  (3) Indicate the cost of obtaining a
 copy of the submission:
  (4) Provide for a comment period of
 not less than 30 days during which time
 interested members of the public may
 express their views on the proposed
 program;
  (5) Provide that a public hearing will
 be held by the State or EPA if sufficient
 public interest is shown or.
 alternatively, schedule such a  public
 hearing. Any public hearing to be held
 by the State on its application for
 authorization shall be scheduled no
 earlier than 30 days after the notice of
 hearing is published;
  (6) Briefly outline the fundamental
 aspects of the State program: and
  (7) Identify a person that an  interested
 member of the public may contact with
any questions.
  (b) If the proposed State program is
substantially modified after the public
comment period provided in paragraph
(a)(4) of this section, the State shall.
prior to submitting its program to the
Administrator, provide an opportunity
for further public comment  in
accordance with the procedures of
paragraph (a) of this section. Provided,
that the opportunity for further public
comment may be limited to those
portions of the State's application which
have been changed since the prior
public notice.
  (c)1 After complying with  the
requirements of paragraphs (a) and (b)
of this section, the State may submit, in
accordance with 5 271.5, a proposed
program to EPA for approval. Such
formal submission may only be made
after the date of promulgation of the last
component of Phase IL The program
submission shall include copies of all
written comments received by the State.
a transcript recording, or summary of
any public hearing which was held by
the State, and a responsiveness
summary which identifies1 the public
participation activities conducted.
describes the matters presented to the
public, summarizes significant
comments received and responds  to
these comments.
                                    1.4-1

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   (d) Within 90 days from the date of
 receipt of a complete program
 submission for final authorization, the
 Administrator shall make a tentative
 determination as to whether or not he
 expects to grant authorization to the
 State program. If the Administrator
 indicates that he may not approve the
 State program he shall include a general
 statement of his areas of concern. The
 Administrator shall give notice of this
 tentative determination in the Federal
 Register and in accordance with
 paragraph (a)(l) of this section. Notice
 of the tentative determination of
 authorization shall also:
   (1) Indicate that a public hearing will
 be held by EPA no earlier than 30 days
 after notice of the tentative
determination of authorization. The
notice may require persons wishing to
present testimony to file a request with
the Regional Administrator, who may
cancel the public hearing  if sufficient
public interest in a hearing is not
expressed.
  (2) Afford the public 30 days after the
notice to comment on the State's
submission and the tentative
determination: and
  (3) Note the availability of the State
submission for inspection and copying
by the public.
  (e) Within 90 days of the notice given
pursuant to paragraph (d) of this section.
the Administrator shall make a final
determination whether or not to approve
the State's program, taking into account
any comments submitted. The
Administrator will grant final
authorization only after the effective
date of the last component of Phase IT.
The Administrator shall give notice of
this .final determination in the Federal
Register and in accordance with
paragraph (a)(l) of this section. The
notification shall  include a concise
statement of the reasons for this
determination, and a response to
significant comments received.
Introduction

     The  approval process  for State  authorization is described generally in
Section  3006(b)  of  RCRA.   EPA  regulations at  40 CFR  271.20  (shown above)
define  the  approval  process  in  greater detail.   (Also  see  §271.5(b)  and
(c).)  The  purpose of this chapter is to present the procedures that will be
used by the EPA Headquarters and Regional Offices to review applications for
final  authorization  of State  hazardous waste management programs.   By set-
ting forth  these procedures in detail the guidance is intended to:

          Make the States aware  of the EPA approval process;

          Provide for Regional and national consistency;

          Assign responsibilities to  specific groups in  both the Region
          and Headquarters; and

          Minimize the review  and approval time frames.

The guidance suggests  an early  review of  State hazardous  waste statutes  in
order to  identify major deficiencies  so that the States  will  have sufficient
time to take  the necessary legislative actions  before the interim authoriza-
tion period expires.   Guidance is also provided on the  review procedures and
responsibilities for draft and official State applications.
                                    1.4-2

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      Section 3006(b) of RCRA provides  that  a  tentative determination regard-
 ing  whether the Agency  expects  to approve  the  State program  must  be an-
 nounced in  the  Federal  Register  within  90  days  of receipt of the State's
 official application.   Then, within 90 days  of this announcement the  final
 decision must be published.  Therefore,  it is  critical  that timely reviews
 be conducted of  the State's official application.

      The  final  authorization  approval   process   differs  from  the  interim
 authorization process  in the two  decision notices  discussed  above and  in the
 State's public comment period on  its  application  before it is  submitted to
 EPA.   Aside from these  major differences,  States  with interim authorization
 should find the  final  authorization approval  process  familiar.

      It should be emphasized that  the approval  process  and timetables pre-
 sented  in  this  chapter are designed  to move the  State  into final authori-
 zation in  a timely  manner and with  confidence.  Approaches which differ from
 the one presented here may result  in delay  (see §271.5(d)).

                                            *
 General  Schedule


      The goal  of this  approval process  is  to confer final  authorization to
 qualified  State  hazardous waste programs expeditiously  and with the  statu-
 torily  required  public  participation.   The final  authorization approval
 process  may begin as  early  as July 26, 1982, the  date that  the  beginning of
 final  authorization was announced  in  the Federal  Register.' This date also
 marks  the  beginning of the period during  which a State may retain interim
Authorization  for Phase  I,  Phase  II  A,  Phase II 8  and/or Phase II C.  On
 January  26, 1985 interim authorization expires.   Therefore,  while a  State
 may  apply  for, and  be  granted, final  authorization  effective any time  after
 January  26,  1983,  interim  authorization  programs  will  revert to  EPA  on
 January  26,  1985, if the  State has  not received final authorization.

     The first step (which  is optional)  is for the  State  program to  submit
 its  laws to EPA  for a pre-application statutory  review.  Subsequently, the
 State  prepares  a  draft  application  for final authorization  following the
 guidance provided in  this Manual  and submits  it  to EPA for review.   After
 EPA  review and comment, the State  then redrafts its  application in response
 to EPA coiMMnts and  Issues  a public notice  of its  intent to  seek program ap-
 proval.  The State  must provide a  public comment  period of  at  least 30 days
 following  this notice  and,  if sufficient interest  is  shown,  a public hearing
 must be  held.

     Once  the State  has  addressed the  public comments,   it  may  formally
 submit  its official application  for  final authorization  to EPA.  EPA will
 notify the  State within 30  days  as to whether the  application  is complete.
 If  the application  is  deemed complete EPA has 90 days  from the receipt of
 the application to announce  in the  Federal  Register  its  tentative  determina-
 tion regarding the  approval of the State  program.  A public comment  period
of at  least 30 days follows the tentative  decision,  and a  public  hearing  is
held if  sufficient  public interest is expressed.   After considering  all of
 the  comments submitted,  within  90 days of the tentative decision EPA must
announce in  the  Federal  Register  its  final  decision whether or not  to  ap-
prove the State program.

                                  1.4-3

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      Figures  1 and  2  illustrate typical timetables of  events  that  will  be
 followed  when  a State applies for final authorization.  States are strongly
 encouraged  to  submit their draft applications as early as possible in order
 to  avoid  a lapse in their  authorization.   This  is  of special concern since
 review  of the  draft may  indicate the  need  for time-consuming regulatory or
 statutory changes  that  must be  completed prior  to  final  authorization.


 Regional  and Headquarters Review Teams

      Regional Workgroups  and  Headquarters Review Teams have been established
 to  assist States with  their applications and to coordinate  and  manage the
 Agency's  review and approval of State submittals.  The development of these
 two  groups as  the  respective  Regional  and  Headquarters  focal   points  is
 designed  to involve all  parties interested  in  State program authorization
 and to  ensure consistency in  Agency comments to the States.

      Each Regional Office has a Regional Workgroup coordinated, directed and
 chaired by the Waste  Management Branch.  As  a  minimum,  the  Regional Work-
 groups  are composed of  members  from  the   Hazardous  Waste  Branch  and the
 Regional  Counsel/Enforcement Office.   Each  State  is  assigned a Coordinator
 from  the  Regional  Office.   The State  Coordinator  will be  responsible for
 coordinating and consolidating the review comments generated  by the Regional
 Workgroup and  the Headquarters  Review Team  on various aspects of the State
 subfflittal.

     Three  Headquarters  Review  teams  have been established with specific
 geographic responsibility:

     Northern States Review Team - Regions 1,  2, 3
     Southern States Review Team - Regions 4,  6, 9
     Western States  Review Team  - Regions 5,  7, 8, 10

 The Headquarters  Review Teams are composed  of personnel  from the Office of
 Solid Waste and  Emergency  Response (OSWER),  the Office of  General  Counsel
 (OGC),  and the Office  of Enforcement Counsel (OEC).   The Review Teams are
 coordinated, directed and chaired by the State Programs Branch of  the Office
 of  Solid  Waste.  For each  team a Team  Leader has  been designated with re-
 sponsibility for coordinating the efforts of the team.  Also, .each Region is
 assigned  a  Regional  Liaison from the Office of Sol id"Waste who is responsi-
 ble for coordinating and consolidating  the  review comments generated by the
Headquarters Review  Team.

     Frequent  contact  should be  maintained between  the Regional Workgroup
members and their respective counterpart offices in Headquarters  (e.g., the
Regional  Waste Management Branch and the Office of Solid Waste, the  Regional
Counsel/Enforcement  Office  and  the Office of  General  Counsel as well as the
Office  of Enforcement  Counsel).   This  is necessary  in order  to ensure that
concurring offices  remain informed of the positions  taken  during  the review
process.   The  success  of the authorization process and cooperation  between
EPA and the  State depends on EPA's  effectiveness in  communicating  in  a way
that accurately reflects  the  Agency's position on significant issues.
                                   1.4-4

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 Application Review Process


      The application review process  is  divided into three distinct stages:

           1.    Pre-application  statutory  review
           2.    Draft application
           3.    Official  application

 For each  stage  of the  review  process,  the specific activities and respon-
 sibilities  of the Headquarters Review Team and Regional Workgroup have been
 defined and time  frames  for  these activities  have been established.

      EPA's  review of State submittals should result in  a clear and uniform
 Agency  position.   Therefore,  EPA  should provide  the States  with  a single
 consolidated  set  of  comments.   To accomplish  this, the Regions  and Headquar-
 ters  will  coordinate  their  comments via the State  Coordinators in the Re-
 gional  offices.

      The  Regional  Work Group and the Headquarters Review Team are the focal
 points  for the review of draft and  official  applications.   Upon receipt of
 an  application,  the  State  Coordinator logs  in and  transmits  copies to the
 Headquarters  Review  Team Leader and the  Regional-Workgroup for review.  The
 Team  leader  in  turn distributes  copies  to members of  his  Review Team.
 Headquarters  Review  Team members  and Regional  Workgroup members are respon-
 sible for ensuring that comments are submitted to  the Team Leader on time.

     Headquarters  will  provide a  detailed  set  of  comments  "on  the draft and
 official  applications that  will be transmitted to  the State  Coordinator by
 the  Review Team  Leader.  These  comments  will  also be  summarized  and ad-
 dressed  to the Regional  Administrator jointly under the signatures of the
 Assistant  Administrator  for  Solid  Waste  and  Emergency Response,  and the
 Associate Administrator  for Legal and Enforcement Counsel (OLEC).

     The  State  Coordinator will  combine  Headquarters  comments  with  the
 comments  generated by  the  Regional  Office into  one  set  of  comments.  The
 State Coordinator  will  resolve with Headquarters any  conflicts in consolid-
 ating comments before  transmitting them  to the States.   If  Headquarters'
 comments  on the draft  application are  accommodated and no  new issues are
 raised  by the public during the  public comment periods  or by the State in
 the complete  application, the  Regional  Office should expect  Headquarters1
 concurrence on the  complete application in  an expedited manner.  However,
 failure of the State Coordinator to  transmit Headquarters' review comments
 to  the  State,  or  failure  by  the State  to adequately  address the  issues
 raised in such comments, could  result either  in a delay  in  final concurrence
 or in non-concurrence by the Headquarters offices.

     Final  approval  of  complete  applications  will  be made by  the  Regional
Administrator  with the Assistant Administrator for  OSWER and  the Associate
Administrator  for  OLEC  (see EPA  Delegation  8-7)  concurring  in the  action.
                                  1.4-5

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Pre-Application Statutory Review


     The  interim  authorization period ends on January 26, 1985.   Therefore,
it  is  critical that deficiencies  in State laws are  identified  as  early as
possible  so States will  have adequate time to make the necessary legislation
modifications  for   final  authorization  before the  .interim  authorization
period  expires.   Therefore,  EPA has established an optional pre-application
review  to help States  identify changes  that  may  be  needed  in  their laws.
EPA  will  review  State  statutes as  quickly as  resources  allow,  recognizing
the  timeliness of this effort.

     States are  urged to provide to  EPA  their  hazardous  waste statutes and
other statutes  that  may be invoked  to carry out the hazardous waste program
(such as  an Administrative Procedure Act), including any proposed or pending
legislative  actions.  (Submission  of consolidated statutes  reflecting all
amendments  to  the original  legislation would  help  expedite  EPA's review).
The  State  should  complete the  "State  Legislation Checklist"  (see Chapter
2.7) and include it in their  submission.  The  Statutory review will cover
the  specific areas delineated  in the "State Legislation Checklist."

     Recognizing  that Agency  attorneys  cannot be experts on all State  laws,
the  State Attorney  General  may wish  to  provide a  draft  statement, explana-
tory discussion, or  supporting  evidence regarding State statutory authority.
Otherwise,  EPA  will   perform  its  review on the  face  of the State  statutes.

     Review  of the  State  statutes should  enable early identification of
major statutory problems.  However, without simultaneous  re'view of  the  State
regulations and  the  formal Attorney General's  Statement, EPA cannot assure
that all  statutory  deficiencies  will  surface  at  this earry  stage.    State
statutes  must  provide authority  not only to develop  a program which  meets
EPA  requirements, but also to  promulgate the specific  regulations  which the
State has chosen (or will  choose)  to  issue.    Without the State's  regula-
tions,   EPA  cannot comment on whether the States's legislation would  author-
ize  the  specific  regulatory  program  which the State has adopted or will
adopt.

     Many:of these  reviews will be  expedited  by EPA's familiarity with the
State programs  gained through  the  interim authorization process.   However,
the  requirements  for State programs  are  different for final 'authorization.
Many States identified  in their Authorization  Plan statutory  and  regulatory
changes  necessary for  final   authorization;  however,  it  is  possible  that
additional changes may  be required  if  the  EPA review  identifies  previously
undiscovered inadequacies.

     Consolidated Regional  and Headquarters comments  will  be  transmitted  by
the Regional Administrator to  the State Director.


Draft Application


     The  development and review of  a draft application is  an  essential part
of  the  State  approval  process.    A  well-prepared  and  thoroughly reviewed
draft  application  (properly  revised,   if necessary)  should  significantly

                                  1.4-6

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reduce the time needed to perform the formal review and approval  of the com-
plete application.  This  process  should also result .in  a  sound  document to
be  presented  to the public  as  the State's proposed application  to  EPA  and
should reduce the possibility of subsequent major changes to the  application
that would require additional opportunity for public comment.   The review of
the draft  application  should be expedited by the  pre-application review of
State laws.

     The draft  application  should  contain all of the elements of a complete
application  except  for  the Governor's  letter and  the "Showing  of Public
Participation"  (see  Chapter  2.5).   However,  the  State may  wish  to  make
special  arrangements  with the  Regional  Office to  review  partial  drafts of
their application prior to the submission of the complete draft application.
Any deficiencies identified in the preapplication statutory review should be
corrected  or  explained in the draft application.  Additionally,  any changes
made by the State since prior reviews should be clearly identified to facil-
itate  EPA's  review.    Since  the application  is  in draft  form,  there  is no
need  for  signatures   on  the  various  component  documents  (e.g.,  MOA,  AG
Statement).

     Figure 1 is a flow diagram that summarizes the review procedure for the
draft application.  As indicated  in this  figure,  the  goal  is to  review the
draft applications within  60 days.   However, this  timetable  assumes that a
pre-application statutory review of the statutes has been completed.  Other-
wise the review may require additional time and effort.


State Public Notice and Hearing


     Prior to submitting an official application to EPA, the State must  give
public notice of  its  intent to seek authorization and make available to the
public the State's  proposed  submission.   If  sufficient public   interest is
shown, a  public hearing must be held  by the State.   At the  request of the
State, an  EPA  representative may participate as a Panel member at the hear-
ing. The attendance by EPA will help  assure a mutual understanding between
the State  and  EPA  regarding public sentiment  toward the application.  The
official  application should  contain modifications or  responses based on the
public comments.  A transcript  or summary  of the public hearing, copies of
all written  comments   received  by  the  State  and  the"State's  responsiveness
summary,  must be  included in the State's  official  application (see Chapter
2.5).   For further details regarding the State public  notice  and  hearing see
§271.20(a) and  (b).


Official  Application


     The official  application represents  the State's formal  submission for
final  authorization of its hazardous waste  management program.   The applica-
tion  must  contain  all of  the  elements  described  in §271.5 (see  Chapters
2.1 - 2.6).   To expedite the review of the  application,  the State is urged
to  identify changes made since the  draft application.  Upon  receipt  of the
application, the State Coordinator should  immediately transmit copies  to all
Regional  reviewers and to the Headquarters'  Review Team Leader.   The  review

                                  1.4-7

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                                  Figure 1
                      Draft Application Review Process
Calendar Day
Region
Headquarters
     35
     45
     50
     55
     60
Log and T
Draft App
'ransmlt
11cat1on
1
Workgroup Review
I
1
Comments to State
Coordinator
-
.
Draft Consolidated
Comments
'
Finalize
•
Comments
|
Transmit Comments
to State
-




Review Team Leader
I
Review Team Review
1
Comments to Regional
Liaison
i
Team Comments
From Team Leader

AA Summary
of Comments

                                    1.4-8

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  should  commence  at  once  since  the  review  timetables  must  be  adhered to
  unless  the application  is deemed to be incomplete.  The major  review activi-
  ties  and the  EPA documents resulting from  the  review are described below.
  The  review  schedule  for the official application  is diagrammed in Figure 2.
  It  should be  noted  that  EPA and the State  may  extend the statutory review
  period  by agreement  (see §271.5(d)).  Also,  any  time the State's application
  is materially  changed,  the  statutory review  period begins again upon receipt
  of  the revised  submission  (see  §271.5(c)).   This may require the State to
  provide another  round  of  public comment  before it resubmits  its. official
  application.

       1.   Completeness  Determination

       Once the  official  application  has been  received  in the Regional Office
  and   transmitted  to   all  Regional  and  Headquarters  reviewers,   the  State
  Coordinator must evaluate  the application for completeness using the check-
  list  in Chapter  2.8.   The  Regional Administrator must  notify the State by
  letter  within  30 days  as to whether or not  the submittal  is  complete.   To
  accomplish this  the  letter  should be mailed  by Day 25  (see Figure 2).

       If the application is  found to be complete,  the  90 day  review process
  is  deemed to  have  begun   on  the  day EPA received the  State's  submittal.
.However,  if the application is found to be  incomplete, the review period is
  suspended until  all  the necessary information is submitted to EPA, at which
  time  the  90 day review period is restarted  (see §271.5(b)).   If the appli-
  cation  is  incomplete,  the  information required  to complete the application
  should  be  identified in  the Regional  Administrator's letter  to  the State.


      2.    Comments

      The  comments from  the  Regional and Headquarters  reviewers  should dis-
  cuss  whether  the State  should be  authorized based  on the information sub-
 mitted  in its  application.  These  comments  should  clearly  delineate  any
 problem areas  which  must be corrected before the  State  can  be authorized.
 Also, the  comments should  provide  suggestions  or recommended modifications
 to the  State's  application  to  help rectify any deficiencies  discovered in
 the review process.   Workgroup  and  Review Team  Comments should be submitted
 to the  State Coordinator  by Day 20 so the Coordinator can begin drafting a
  letter to the  State  and an Action Memorandum and a Federal Register notice
 containing the  Agency's  tentative decision.   Headquarters will transmit the
 AA Summary of  Comments  by Day 27 indicating Headquarters' official position
 on the  application.   This  summary  of comments should  assist the State Coor-
 dinator in finalizing the Action Memorandum and  the Federal Register Notice.


      3.    Action Memorandum

      Once the   Headquarters Review  Team  and the  Regional Workgroup  have
 commented on the  State's  submittal,  an Action Memorandum from the Regional
 Administrator   to the Assistant  Administrator for OSWER  and  the Associate
 Administrator  for OLEC  will be prepared by  the  State  Coordinator with con-
 currence of  the  Regional  Workgroup members.   This Action  Memorandum must
 contain a  specific  recommendation  with respect to the  tentative decision


                                   1.4-9

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                                  Figure 2



                     Official Application Review Process
Calendar Day





      1





      2



      3



     17





     20





     25





     26





     27





     35
Headquarters
     50





     60





     70





     80





     90
Log and Transmit
Application

Workgroup Review
\

«

r
Comments to the State
Coordinator
Completeness Letter
to State
+
Draft Consolidated
Comments
*
F1nal'1ze
Comments
*
Transmit Comments
to State



Review Team Leader
Review Team Review
*
Comments to Regional
Liaison
*
Team Comments
From Team Leader
•


r
AA Summary
of Comments


*
Draft Action Memo
and PR Notice
of Tentative Decision
•
r
Workgroup Review
*
>
Comments to
State Coordinator
*
Finalize Action Memo
and FR
Notice

Public Comment Period

1

I
.4-10





Review Team
Leader

*
Obtain AA Concurrences

*
Publish FR Notice
of Tentative
Determination



-------
Calendar Day








     90







    120







    134










    135







    140








    142










    155







    160





    170





    180
       figure 2 (continued)



Official Application .Review Process





           Region
Headquarters
Public Comment Period

*
Public Hearing
*
State Coordinator
Responds to
Public Comments
i
Workgroup Review
of Response to
Comments
1
Workgroup Comments to
State Coordinator
*
Revised Response
to Comments
I
Prepare Action Memo
and FR Notice of
Final Decision
1
Finalize Action Memo
and FR Notice




Publish FR Notice
Determination







•

_ Review Team Leader




Review Team Leader
i
*
Obtain AA Concurrences
' i
Publish FR Notice
of Final Decision
                                  1.4-11

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regarding  the  approval  of the application.   It should also highlight speci-
fic  questions  or problem areas and provide some  insight  into key agreements
reached  during the  drafting  stage.   It.is  important  that the  Action Memo-
randum  represent the recommendations of  the  Regional  Workgroup members and
Headquarters Review Team in order to expedite the concurrence process.   The
Action Memorandum  should provide space for Headquarters  and Regional Office
concurrences and should  attach the Notice of  Tentative Decision for publica-
tion in the Federal  Register.


     4.    Federal Register Notice of Tentative Determination

     A Federal  Register notice should be prepared  by  the State Coordinator
and  Regional Counsel based on the comments provided by the Headquarters and
Regional  Offices.   The notice must present  the  Agency's  tentative decision
as to whether the State program should be authorized.  The discussion in the
notice  should  focus  on  whether  the Agency expects  the State  program to be
authorized.   If the notice  indicates  that  the State   program may  not be
approved,  a  general  statement  of areas  of  concern shall  be  included (see
§271.20(d)).    The   notice  must  also  announce  availability of  the State's
application  for public  review and  comment   and  the schedule  for  a public
hearing.   Each  notice should also say that issues raised by public comments
during the comment  period may be the basis for EPA denying authorization to
a  State  program.   By Day 70  the Regional Administrator should submit the
Action  Memorandum   and  Federal  Register  notice  to  the  Headquarters Review
Team Leader.   Concurrences from OLEC and OSWER are due within ten days.  The
Federal  Register notice  is  then submitted for publication.so  that it will
appear within 90 days of the receipt of the complete application.


     5.    Public Information

     Concurrent  with  the Federal  Register   notice  publication,  the  State
Coordinator will arrange  for a  notice  concerning the  Agency's  tentative
decision to be  published in State newspapers and mailed  to interested per-
sons (see  §271.20(d)).   In  addition,  the State  Coordinator and  the  Head-
quarters  Review Team  Leader  will set  up depositories of the State's sub-
mittal   for public  review in  the Regional  Office  and in Washington,  D.C.
Copies  should also be available in State depositories.


     6.    Hearing

     The  Federal public  hearing  will  be chaired  by the Regional Office.
Headquarters may wish to have a representative present or as a member of the
panel.   The State Coordinator will be responsible for preparing  responses to
the  public comments  and  testimony.   These  responses  should be reviewed by
the Regional  Workgroup and should be transmitted  to Headquarters Review Team
for their  information.                         :
                                  1.4-12

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      7.    State Application Amendments

      The  Stats will  have  the opportunity  to  respond  to EPA's concerns and to
 comments  raised  by the public.   States will be provi.ded with transcripts or
 EPA's  official notes  from any  hearings along with copies of written comments
 submitted.  The  State may amend  its application where appropriate  to rectify
 any  deficiencies   identified.   When possible,  these  modifications should be
 submitted  to EPA  prior to the  Federal public  hearing.   The State's amend-
 ments  may strengthen  its  position at the hearing if  they respond to EPA's
 concerns.   Any  modifications  made necessary due to  public comment following
 the  Federal  Register notice should be submitted  to  EPA by Day 140 to allow
 40  days for  Agency  review and  final  determination.  Any additional  State
 submittals  must  be distributed by the State Coordinator to all Regional and
 Headquarters  reviewers  for  comments.   It must  be  recognized that  if EPA
 determines  that  the  amendments have materially changed the State's applica-
 tion,  the  statutory  review period will begin again  (§271.5(c)),  and another
 round  of State notice  and comment period will be  required.   EPA also may
 need  to hold another public  hearing  or  extend the  comment  period.   In any
 event,  EPA will review  all amendments to  the initial application.


     8.    Federal  Register Notice  of Final Decision

     The  State  Coordinator,  with assistance from the Regional Counsel, must
 prepare  the  Action  Memorandum  and  Federal  Register  notice  regarding the
 final  decision.   These  documents are similar to  the ones ^prepared earlier,
 though  they  must  now address  the  final decision regarding'authorization for
 the  State  program.   They contain  the same information  as the earlier ones.
 They will also include  EPA's responses to  public comments  and to  any changes
 made  by the  State.  The Action  Memorandum and  Federal  Register  notice must
 be  received  by Headquarters  20 days before the end  of  the  second 90 day
 review  period (Day 160).

     Each  Regional Workgroup  member and  Headquarters Review Team member has
 the  responsibility  of  briefing  his/her respective  Division  Director or
 Office  Director on the  final recommendation  in advance of  the transmittal of
 the Action  Memorandum.   This  briefing is  intended  to  avoid any  unnecessary
 delays  in  -the concurrence process.  Coordination  of the  concurrence proce-
 dure  remains  the  responsibility of the  Review Team Leader in Headquarters
 and the State Coordinator in the Region.

     The Regional  Administrator must  obtain the agreement of the concurring
offices within the 90 day statutory review time frame.


 Effect of Federal Program Changes


     EPA regulations  at §271.21(e) require  that on  approval, the State  pro-
gram  must  be equivalent  to  the  Federal  program  in effect on  the date of
authorization.  This  requirement  could  potentially create  a moving  target
for States,  if  the Federal program were  to  undergo  change while  the States'
applications  are  awaiting final  action.    It  is possible that a  State which
 is on  the  verge  of receiving  final authorization  could be  forced to  change
its  program and  resubmit its application due to  a change  in   the Federal

                                   1.4-13

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program.   Such a  situation  could also  delay the  State's  receipt of final
authorization  beyond the  interim  authorization  period,  resulting in rever-
sion of the program  to EPA.   In order to avoid this situation, the Agency is
planning to propose  a regulatory amendment that would establish for a speci-
fied time  period a  fixed  set of regulations  as the basis for final authori-
zation decisions.


Recordkeepinq


     It is  essential that the Regions develop  an authorization file system
which will provide a comprehensive record of  the Agency's decision-making in
the  authorization process.  The recordkeeping  system  should  provide a sim-
ple, efficient system for:

          Information useful  in  monitoring the approval process,  e.g.,
          tracking stage of completion and need for amendment;

          Information  which  can  be  used  for  program  planning,   e.g.,
          phasing of the review and approval  process; and

     -  .  Information  which  can  be  used  to  respond to   subsequent
          changes to the application.

The  State  Coordinator is  responsible for maintaining  an authorization file
for  each  State.   The  authorization file  should  contain the" following ele-
ments:

     1.   A copy  of  the legislation and regulations and copies of  any
          comments from the pre-application review;                     ;

     2.   A copy of  the draft and complete applications;

     3.   Copies  of  all comments  from the  Regional Workgroup as they
          pertain to the draft and complete applications;

     4.   Copies  of  consolidated  comments,  correspondence and records
          of telephone calls  related to the application  review  from  the
          Headquarters Review Team;

     5.   Summaries  of  meetings  and telephone  calls with Headquarters,
          the  Regional  Office  and  the  State  as they  pertain to  the
          approval process;

     6.   A  log  which  tracks  the review  of submittals and  dates  for
          comments;

     7.   Copies  of  comments and  statements  from the  Regional Admini-
          strator and concurring offices;

     8.   Federal Register Notices;
                                   1.4-14

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     9.   All public comments and responses; and

     10.  Action Memoranda.

     The authorization  file  is  not a public docket file.  The Office of Re-
gional Counsel  should  be consulted when requests are received for any docu-
ments  that are  not already public documents  (e.g.,  an  Action Memorandum or
any other internal EPA memo).
                                 1.4-15

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                                    CHAPTER  2.1

                                GOVERNOR'S LETTER
 Federal Requirement

 § 271.5  Elements of • program
 submission.
   (a) Any State that seeks to administer
 a program  under this part shall submit to
 the Administrator at least three copies
 of a program submission. The
 submission shall contain the following:
   (1) A letter from the Governor of the
 State requesting program approval;
   (2) A complete program description.
 as required by § 271.6 describing how
 the State intends to carry out its
 responsibilities under this subpart;
  (3) An Attorney General's statement
 as required by § 271.7;
  (4) A Memorandum of Agreement
 with the Regional Administrator as
 required by § 271.4
  (5) Copies of all applicable State
 statutes and regulations, including those
 governing State administrative
 procedures; and
  (6) The showing required by
 S 27l.20(c)  of the State's public
 participation activities prior to program
 submission.

 Introduction
                          •**»

      RCRA  Section 3006(b)  requires that "any State which  seeks  to administer
and  enforce a hazardous  waste program pursuant to this subtitle may develop
and,  after notice  and opportunity for public hearing, submit to the Admini-
strator an application,  in such form  as he shall require,  for  authorization
of  such program."  The Governor's  letter transmits  the State's  application
and  is  the formal  request  for program  approval.


Content

     The Governor's  letter to EPA should contain a reference to the Federal
statute, a reference  to the application,  a request for approval  of the State
program, and  the  Governor's signature.
  (b) Within 30 days of receipt by EPA
of a State program submission. EPA will
notify the State whether its submission
is complete. If EPA finds that a State's
submission is complete, the statutory
review period (i.e.. the period of time
allotted for formal EPA review of a ,
proposed State program under section
3006(b) of the Act] shall be deemed to
hajre begun on the date of receipt of the
State's submission. If EPA finds that a
State's submission is incomplete, the
review period shall not begin until all
necessary information Js received by
EPA.
  (c) If the State's submission is
materially changed during the review
period, the review period shall begin
again upon receipt of the revised
submission.
  (d) The State and EPA may extend the
review period by agreement.
                                   7 1-1

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                                    CHAPTER 2.2

                               PROGRAM  DESCRIPTION
Federal  Requirement
 9 271.6  Program description.
   Any State that seek* to administer a
 program under this subpart shall submit
 a description of the program it proposes
 to administer in lieu of the Federal
 program under State law or under an
 interstate compact The program
 description shall include:
   (a) A description in narrative form of
 the scope, structure, coverage and
 processes of the State program.
   (b) A description (including
 organization charts] of the organization
 and structure of the State agency or
 agencies which will have responsibility
 for administering the program, including
 the information listed beiow. If more
 than one agency is responsible for
 administration  of a program, each
 agency must have statewide jurisdiction
 over a class of activities. The
 responsibilities of each agency must be
 delineated, their procedures  for
 coordination set forth, and an agency
 must be designated as a "lead agency"
 to facilitate communications between
 EPA and the State  agencies having
 program responsibilities. When the
 State proposes  to administer a program
 of greater scope of coverage  than is
 required by Federal law, the information
 provided under this paragraph shall
 indicate the resources dedicated to
 administering the Federally required
 portion of the program.
  (1) A description of the State agency
 staff who will carry out the Slate
 program, including the number,
occupations, and genera] duties of the
employees. The State need not submit
complete job descriptions for every
employee carrying  out the State
program.
  (2) An itemization of the estimated
costs of establishing and administering
the program, including cost of the
personnel listed in paragraph (b)(l) of
this section, cost of administrative
support, and cost of technical support
This estimate must cover the first two
years after program approval.
  (3) An itemization of the sources and
amounts of funding, including an
estimate of Federal grant money,
available to the State Director to meet
the costs listed in paragraph (b)[2) of
this section, identifying any restrictions
or limitations upon this funding. This
estimate must cover the first two years
after program approval
  (c) A description of applicable State
procedures, including permitting
procedures and any State administrative
or judicial review procedures.
  (d) Copies of the permit fonn(s).
application form(s), reporting form(s),
and manifest format the State intends to
employ in its program. Forms used by
States need not be identical to the forms
used by EPA but should require the
same basic information. The State need
not provide copies of uniform national
forms it intends to use but should note
its intention to use such forms.
  Note:—States are encouraged to use
uniform national forms established by the
Administrator. If uniform national forma are
used, they may be modified to include the
State Agency's name, address, logo, and
other similar information, as appropriate, in
place of EPA's.
                                     2.2-1

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  (e) A complete description of the
State's compliance tracking and
enforcement program.
  (f) A description of the State manifest
tracking system, and of the procedures
the State will use to coordinate
information with other approved State
programs and the Federal program
regarding interstate and international
shipments.
  (g) An estimate of the number of the
following:
  (1) Generators;
  (2) Transporters; and
  (3) On- and off-site storage, treatment
and disposal facilities, and a brief
description of the types of facilities and
an indication of the permit status of
these facilities.
  (h) If available, an estimate of the
annual quantities of hazardous wastes
generated within the State: transported
into and out of the State: and stored.
treated, or disposed of within the State:
On-site: and Off-site.
Introduction
     The  Program Description is  one of the critical  elements of  a  State's
authorization  application  since  it  describes  the  program  that  the  State
plans  to  operate  in  managing  hazardous  wastes.    The Program  Description
provides  the  State with  opportunity to (1)  discuss  differences  between the
State  and Federal programs  and  (2)  demonstrate  how  the State  program meets
the tests  for  final  authorization.

     •The  information to  be  provided .in the Program  Description is specified
in  40  CFR 271.6  (shown  above).    It will  probably be  easiest  for  the State
and  for  reviewers,  including EPA  and  the public,  if  the information  is
presented  in  the  sequence   shown in  the  regulations.   The  length  of the
Program  Description will vary among States,  depending on  factors  such  as
complexity of  the State  program,  number  of State  agencies  involved, extent
of  differences between the  State  and Federal  programs, etc.   Further guid-
ance  is  provided  below  on  selected elements  of the Program  Description;
other  elements are  self-explanatory.
Scope. Structure.  Coverage and Processes of State  Program -  §271.6(a)

     In  this   section  of  the  Program  Description   the  State  generally
describes  its  program  for  control  of hazardous waste.   The  description
should show  how the  program satisfies the requirements for  final  authoriza-
tion,  reflecting  the  six  statutory  tests,  as  explained  in Chapter  1.3.

     The Program Description  should show,  in narrative terms, how the State
program  provides  the  coverage  corresponding  to  40  CFR Parts  261-265 and
Parts 270  and 124  as required by the regulations  at §271.9-13.   In develop-
ing  this  description the  State should  find  especially  valuable  the check-
lists (Appendix A  of this Manual) completed by the Attorney General as part

                                   2.2-2

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of  his  Statement.   To the extent that the Attorney General's Statement does
not  explain  differences  which exist between the State and Federal programs,
the  differences  should  be  described  in  the Program  Description.   For
example,  explanation may  be  needed  to  demonstrate  that  particular State
standards are  consistent with the Federal program.  If the Attorney General
did  not complete the checklists, the State agency should complete the check-
lists and attach  it to the Program Description.  As in the case of Attorney
General's Statement,  however,  the State Agency need not complete the check-
lists when  the State has incorporated the federal  regulations by reference.


Lead State Agency - §271.6(b)

     In situations  where more than one agency  within  a State has responsi-
bility  for   administering  the State program,  the  Program  Description must
identify  one  State  agency as  the "lead  agency"  for  purposes  of handling
administrative matters between the State and EPA.

     The identification  of  a  lead agency  is  intended  to  simplify coordina-
tion  and  communication  between  the  State  and EPA,  not  to  designate one
agency as having  the legal  responsibility for  the hazardous waste program.
The  MOA will  reflect the legal responsibilities of  the various State agen-
cies and their interaction  with EPA.   The Program Description will describe
the  relationship of all State agencies involved in the  implementation of the
hazardous waste program  and discuss how the lead agency will coordinate the
activities  of these  agencies, particularly  regarding their  dealings with
EPA.  The "lead agency" will be the agency that other State agencies and EPA
contact when an issue concerns one or more of the State agencies signing the
MOA  or when  it is unclear which State agency should be contacted concerning
a particular matter or issue.


State Procedures - §271.6(c)

     This  section  should  describe  in  detail  the  State's  procedures for
permitting.    This  description should  address  the steps  in  submitting   a
permit application, review of the application, and issuance or denial of the
permit.   Modification  and  revocation  of permits  should  also be discussed.
Public participation  and any  State administrative or judicial review proce-
dures,  along with  the  activities  of  any special  boards,  should  be  high-
lighted.   Unique procedures,  such as  "permit-by-rule"  provisions, should be
described.    If more  than one State agency issues  "RCRA"  permits, any major
differences  in permitting procedures should be delineated.

     This  section  is  also appropriate for discussion  of  the State's proce-
dures for  revision  of  the State program.   EPA  regulations  at §271.21(e)
require that the  State  be  able to revise its  program within specific time
periods  after  the  Federal  program is modified or supplemented.  Though this
provision  does not become operative until the State is  authorized, the  State
should nevertheless  set  forth in the Program Description the procedures and
typical  time  frames  for  amending its statutes  and regulations.   [Note that
EPA  is pursuing a  regulatory amendment to §271.21(e) which would extend the
amount of  time available  to  authorized States  in  responding to changes in
the Federal  program.]


                                  2.2-3

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Compliance Tracking and Enforcement - §271.6(e)

     The State's  Program  Description must demonstrate the way  in  which  the
State compliance monitoring and enforcement program will  operate in order to
ensure:

     1.   that all  operations  of hazardous waste management facilities
          are conducted  in accordance with State standards and permits
          issued  under  State standards that meet  the requirements for
          final authorization; and

     2.   compliance  by  hazardous waste  generators and  transporters
          with  applicable State  standards that meet  the  requirements
          for final authorization.

     The Federal  regulations  at §271.15(b)(2)  require the State to maintain
a program  for  periodic  inspections of the facilities and activities subject
to  regulation.   EPA  recognizes  that resource  limitations  may  require that
inspections  be conducted  in priority order,  with  "major"  hazardous  waste
handlers being  inspected  at a greater frequency than the  "non-major"  ones.
The actual number of inspections and the priorities  for inspections will be
negotiated annually  between the State and EPA  as  part of the grant process
and in accordance with the Annual RCRA Guidance.

     It  should be  noted  that  EPA  has  developed  a definition  of "major"
hazardous waste handlers  to provide consistency in the designation of these
activities by  EPA and authorized States.   States should use this definition
and supporting  criteria  (discussed in PIG-82-2) in discussing its selection
of "major" handlers.

     In order  to  meet compliance tracking and  enforcement  goals,  the State
should demonstrate the adequacy of its program for:

     1.   Investigation of reported or suspected violations;

     2.   Follow-up inspections to ensure correction  of detected viola-
          tions;

     3.   Collection  and  analysis of samples during  routine monitoring
          and pursuant  to investigations  of violations (e.g., chain of
          custody procedures);

     4.   Coordination  with the  Federal   and/or  State  Departments of
          Transportation  to  ensure  enforcement  of  applicable  trans-
          porter requirements; and

     5.   Administrative/Judicial actions  against violators.


Estimated Types and Number of Regulated Activities -  §271.6(q)&(h)

     The description  of the estimated types and numbers of regulated activi-
ties  is  used for  evaluating the adequacy of  a State's  program to regulate
                                  2.2-4

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the activities of  concern.   Thus,  the State should provide the best numeri-
cal estimates, based  on  existing data on  hazardous  waste activities in the
identified categories.

     The sample  formats  tn Table 2 and  Table  3 may be  used  for  display of
this information.   Only  those activities  corresponding  to activities regu-
lated under the  Federal  program need to be included.  States are encouraged
to provide a brief narrative explanation of the estimates.
                                  2.2-5

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                     TABLE 2



Estimated Types and Number of Regulated Activities
ACTIVITY TYPE

Generators
Transporters
Storage Facilities
on-site
off-site
Treatment Facilities
on-site
off-site
Disposal Facilities
on-site
off-site
PERMIT STATUS
STATE INTERIM STATUS

n.a.
n.a.






STATE PERMIT

n.a.
n.a.






RCRA PERMIT

n.a.
n.a.






TOTAL









                    2.2-6

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               TABLE 3



Annual quantities of Hazardous Wastes
ACTIVITY

Generated in the State
Transoorted
into the State
out of the State
Stored, Treated, Disposed in the State
on-site
off-site
ANNUAL QUANTITIES




- .



              2.2-7

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                                  CHAPTER  2.3

                         ATTORNEY GENERAL'S  STATEMENT
 Federal  Requirement
9 271.7  Attorney GeneraTs statement
  (a) Any State that seeks to administer
a program under this subpart shall
submit a statement from the State
Attorney General (or the attorney for
those State agencies which have
independent legal counsel)  that the laws
of the State provide adequate authority
to carry out the program described
under § 271.6 and to meet the
requirements of this subpart This
statement shall include citations to the
specific statutes, administrative
regulations and. where appropriate,
judicial decisions which demonstrate
adequate authority. State statutes and
regulations cited by the State Attorney
General or independent legal counsel
shall be in the form of lawfully adopted
State statues and regulations at the time
the statement is signed and shall be
fully effective by the time the program is
approved. To qualify as "independent
legal counsel" the attorney  signing the
statement required by this section must
have full authority to independently
represent the Stata  agency in court on
all matters pertaining to the State
program.
  Note:—EPA will supply States with an
Attorney General's statement format on
request

  (b) When a State seeks authority over
activities on Indian lands, the statement
shall contain an appropriate analysis of
the State's authority.
Introduction
     The  following guidance is intended  to assist the attorney  preparing the
Attorney  General's  Statement for  Final  Authorization  under Section  3006(b)
of  The Solid Waste Disposal  Act,  as  amended (RCRA,  42  U.S.C.  §6901,  et
seq.).  The  Attorney General's  Statement  is a required element of a  Stated
application  for  final  authorization  (see 40.CFR 271.7) which provides certi-
fication  by  the Attorney  General  (or  the  attorney for those State or inter-
state  agencies  which  have  independent legal counsel)  that  State  law and
regulations  (and  interstate compacts  or  agreements  if  applicable)  provide
adequate  authority  to  meet the applicable requirements for final  authoriza-
tion  and  to  carry  out the  State  program in  lieu of the Federal  program.

                                    2.3-1

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     In  some States,  the  Attorney  General  is  authorized to  issue  formal
legal opinions which carry  significant legal weight.  The Attorney General's
Statement need not be such  a formal opinion of the Attorney General  but must
reflect his/her official legal opinion.

     The attorney  preparing the  Attorney General's Statement should consult
40  CFR  271  Subpart  A which contains  the  regulatory  requirements  for final
authorization and  discussions found  in  preambles  at  45 Fed.  Reg.  33377  -
33396.  (Also see 46 FR 36704-36706.)


Purpose of the Attorney General's Statement


     The Attorney  General's Statement is a central part of a State's appli-
cation for final authorization of the State's hazardous waste program and is
relied on  to identify what legal authorities exist in the State and whether
those legal  authorities  are adequate to enable the State Program to operate
in  lieu  of  the  Federal  program.   (See preamble discussion at  45  Fed.  Reg.
33379).   The  application  review  process  includes review by EPA attorneys at
the Regional  Offices  and at Headquarters.   Because EPA attorneys may not be
familiar with the  State's   law, it is  important  that  the Attorney General's
Statement be  as  clear and  detailed as possible in  identifying and analyzing
State legal  authority.   As part of the  application,  the Attorney General's
Statement will  be  reviewed by the public;  it will  also be valuable both to
the State  and to EPA where the EPA decision on the final authorization of a
State program is  challenged.   Furthermore, should it become" necessary for
EPA to  take  an  enforcement action  in the State after  the  State  is autho-
rized, EPA would rely on the Attorney General's Statement for an understand-
ing of State law since the State  law would be operating in  lieu of Federal
law.
Who Should Sign the Attorney General's Statement


     The Attorney  General's  Statement must be signed  by the State Attorney
General  or  "the attorney  for those State or  interstate agencies that have
independent  legal  counsel"  (40 CFR  271.7(a)).   This provision  allows the
following persons  to  sign the Attorney General's  Statement:   (1) the  State
Attorney General or  an attorney in his/her office who is authorized to sign
for the  Attorney General;  or, (2) a Deputy or Assistant Attorney General if
authorized to  do so.   Authorization should be in writing, case law, or sta-
tute. •

     Independent legal  counsel.   As provided in 40 CFR  271.7(a), to qualify
as independent  legal  counsel  the attorney signing  the Statement "must have
full authority  to  independently represent the State  Agency in court on all
matters  pertaining to the State program."   Thus,  independent legal counsel
must have  authority  to  enforce  all  aspects of  the  State program in court,
including authority to enforce criminal violations of  the State program, and
to issue opinions  interpreting the State  law relevant  to  the program.   Those
opinions  may  not  be  subject to  being  superceded  by the  opinions  of the
                                   2.3-2

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Attorney  General.   Whenever  independent  legal  counsel  signs  the  Attorney
General's Statement, he/she must provide .a statement explaining the scope of
his/her authority and legal basis therefore.

     If more than one agency of State government administers or enforces the
State  program,  independent legal  counsel  for one  participating  agency may
not  certify  as to  the  legal   authority  for  aspects of  the program admini-
stered or  enforced  by other agencies.    In that  case,  certification must be
made by  the  independent counsel for each agency or by the Attorney General.


The Model
     1.  General

     The Model  provided  in this chapter suggests  a  format for the required
certification and for the identification and analysis of State laws, regula-
tions, and  judicial  decisions.   The model  is composed  of the minimum legal
elements  and checklists  corresponding  to  these  elements.   The  checklists
suggested  for  use  with the  Attorney General's Statement can be  found in
Appendix A.   The Model  is only a  guide.   The  format may be varied  as re-
quired by  the needs  of individual  States.   However, each Attorney General's
Statement should contain at least the following:

     A.   Certification.   The Attorney  General's  Statement-must  contain a
general  statement  certifying,  in  narrative  form,  that State  law provides
adequate  authority  to carry out  the  program  set forth  in the  Program
Description.

     8.   Citations of Laws and Requirements.    The   Model  provided  below
contains  the  legal  elements which  should  be addressed by  the  Attorney
General  for  final  authorization.   For  each  element, the Attorney General
should cite the specific  State enabling authority  and the  specific State
regulations covering that element.

     C.   Attorney General's Analysis of Authorities.  For each element pro-
vided  in the. Model,  the Attorney General should analyze,  in  narrative form,
whether, why, and  how  the cited authority provides  the requisite authority
for  the  relevant  program  requirements,  including  analysis  of legislative
history, State  case law,  or  rules of  construction  where appropriate.  (It
may  also  be  necessary  for the  Attorney General to  provide analysis  of the
legal  authority for certain  promises made  in the MOA  as  discussed on page
1.3-7). He/she should explain any problems or peculiarities  in State author-
ity, and identify  any  State  legal  requirements  which may be less stringent
or  less  inclusive  than the  Federal  requirements.   If,  for  example,  the
State's statutory  definition  of hazardous waste excludes waste pesticides,
the  Attorney General's  analysis  should include  the precise  scope  of the
exclusion and other relevant  information (e.g.,  coverage of waste pesticides
under  other State  statutory authority).  Another  example  would be where the
State's  inspection  authority  applies  only  to the "premises"  of certain
parties; the  Attorney  General should explain the  extent to which the State
is  authorized to inspect  the vehicles  of  transporters  of hazardous waste.
Note that  it will  be the unusual instance where citation  to  authority with-
out further analysis will suffice.

                                   2.3-3

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     0.   Date of Enactment of Laws and Adoption of Regulations.  This infor-
mation  is  important in light of the requirement under 40 CFR 271.7 .that all
regulations be  adopted pursuant to State procedural- requirements before the
Attorney General's  Statement is signed.


     2.   The Checklists

     The Model contains references to checklists that are intended to assist
the Attorney  General  in providing precise citation to specific EPA require-
ments  and  in  eliminating the task of  providing  narrative explanation where
State  regulations  do  not  differ from EPA  regulations.   The checklists are
found  in Appendix  A.   In addition,  the  checklists function to  highlight
those  aspects of  State  law  which  require explanation  or  comment.   Such
explanation or  comment  is  necessary wherever State  law provides  different
coverage and  should be attached to the  checklist  with  "comment  attached at
	" in  the column  for explanations or, if brief,  included in that
column.  The  Attorney General  may choose to include  the checklists as part
of the Attorney  General's Statement or to use them merely as a guide to all
relevant Federal requirements.   Checklists  which are completed and included
as part  of  the  signed statement will  be considered  as  part of the Attorney
General's certification.

     The checklists  identify  only in capsule narrative and by citation, all
the relevant requirements for specific regulations.  Therefore, it is imper-
ative  that attorneys preparing the Attorney General's Statement refer to the
cited  Federal  regulations before providing the  State citations.   Note that
the  checklists  cite  all elements  of the  Federal  program.  State  law may
provide  for  some  of  these  elements  in a manner more  stringent  than the
Federal  program.    States  may include  information on these  more  stringent
elements to provide EPA and the public  with  a more  complete description of
the State program.

     It is important to note that in order for the State  to demonstrate that
it qualifies  for  final authorization a detailed analysis of the State  regu-
lations  is  needed.   EPA considers  the  use of  these  checklists  to  be the
simplest method  of achieving  this demonstration.  If  the  checklist is not
included as part  of the Attorney General's Statement,  the Attorney General
must  use some  other  method  of demonstrating  that  the  State  has specific
regulations comparable to the Federal ones.


Incorporation of Federal Regulations by  Reference


     Where a State  has incorporated by reference any Federal  regulation, the
Attorney General should demonstrate the  authority  to adopt  State regulations
in this  manner.   The  Attorney General  should cite  the State statutes and
regulations,  listing  the comparable CFR cite and  date of incorporation.  To
the extent that the State  incorporates by reference entire  Parts or Subparts
of the Federal regulations (e.g., 40 CFR Part 264  or Subpart  A), there  is no
need to  complete  the checklist  identifying each provision of the  incorpor-
ated Part or  Subpart.   Where only certain  sections of a  Part or Subpart are
incorporated, they  should be identified  on  the checklist, but do not  require


                                   2.3-4

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further  explanation.   If the  State's  incorporation  is  intended to include
any  EPA revisions that  may  occur in the future,  then  the  Attorney General
should cite State authority both to promulgate and- to enforce regulations in
this  manner.*   The  State should note that  the  Attorney  General's Statement
includes a  certification that  State statutes and regulations shall be fully
effective by the time the program is approved.


State Jurisdiction over  Indian lands


     Some States may  wish to assert jurisdiction over Indian lands in their
RCRA final authorization application (see Element X of the Model).  Pursuant
to Federal  law,  EPA  cannot approve a State's assertion of jurisdiction over
Indian  lands absent  a clear and unambiguous  expression  of  intent to confer
State jurisdiction through  either a Federal statute or an applicable treaty
with  an  affected tribe.   (Note that RCRA  itself cannot be  deemed such an
expression of  intent).   In  the absence of such a Federal statute or treaty,
EPA has exclusive jurisdiction over Indian lands.


Establishing a Format to Meet Individual State Needs


     There  is  no specific  format which must be followed  by each Attorney
General in preparing the Attorney General's Statement for the Final Authori-
zation  application;  this  guidance  is  intended  to  provide  only suggested
options.  It  is recommended that the attorney  preparing  the Attorney Gen-
eral's  Statement talk  with the  EPA Regional  Counsel   responsible  for  the
State program  early  in  the  application process.  It is essential  that  the
format chosen  for  the  Attorney General's Statement  be  coordinated with  the
formats chosen  for other parts of the application developed by the staff of
the State program.


EPA Review of Attorney General's Statements


     Section 271.7  requires that  the  Attorney  General's  Statement include
citations to statutes,  regulations  and judicial decisions which demonstrate
that the State  has  adequate authority to administer its program in lieu of
*State Attorneys  General  should  note that a number  of  State Supreme Court
 cases hold that  State  statutes which adopt prospective Federal legislation
 or  regulations  constitute  an  unconstitutional  delegation  of legislative
 authority.    See,  e.g.,  State of North Dakota  v.  Julson,  202 N.W.2d  145
 (1972);   Dawson  v.  Hamilton.   314  S.W.2d  532  (1958);  Cheney  v.  St. Louis
 Southwestern Railway Co..  239 Ark.  870,   394  S.W.2d 731  (1965); State of
 West Virginia v.  Ginstead.  157 W. Va. 1001, 206 S.E.2d 912 (1974); Schryver
 v. Schirmer. 84  S.D.  352,  171 N.W.2d 634  (1969); State v. Johnson. 84 S.D.
 536, 173 N.W.2d 894 (1970).
                                   2.3-5

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the Federal program.  EPA has recommended that the Attorney General's State-
ment  also  include  a  narrative  analysis  of whether, why, and  how  the cited
authority  provides sufficient  legal  authority  for  the State  program.   In
reviewing Attorney  General's  Statements  for interim authorization, however,
EPA  found  that  in some  instances  narrative  analyses  were  not  provided.
Where such analyses are missing in an Attorney General's Statement for final
authorization,  and EPA's review  of  the cited authority  indicates that the
law or  regulation  is  ambiguous or does  not  appear to meet Federal require-
ments,  EPA  may ask the Attorney  General  to supplement  his statement.   He
would  be asked  to address  specific  legal  issues  raised  by  the Agency's
review  of  the State statutes and regulations cited by him.   On occasion EPA
may also ask  that the Attorney General  clarify  or expand a prior narrative
analysis.

     The  purpose  of  these  requests  is  not  to  "second  guess"   the  State
Attorney General  on  matters  of State law,  but to  assure  that he  has not
overlooked major legal issues in arriving at his opinion.  Most importantly,
EPA  must  have a  sound  legal  record for authorizing  the State program.
Without  further  comment  from  the Attorney General  on certain  issues,  EPA
generally cannot  determine  whether there is a plausible argument  in support
of  the  State's legal  position that  its  laws  and regulations meet the re-
quirements of Federal  law for State authorization.
                                                      «
     For example,  if  the  State Attorney General provides  a general opinion
that a  State  hazardous  waste statute allows the State to regulate all haz-
ardous  waste  facilities,  but the statute appears  to exempt  surface impound-
ments,  EPA  would bring this  issue to his attention  and  ask* him  to address
it.   In another example,  if the hazardous waste  statute  or regulation ap-
pears to  exclude waste  pesticides,  which EPA regulates,  EPA-would ask the
State Attorney General to reconcile the difference in coverage.  Once he has
specifically  addressed  an  issue  requiring an  interpretation  of  State law,
however, EPA would  defer to his opinion where it is supported  by a plausible
argument.   In the  last  example,  the Attorney  General might explain that
waste  pesticides   are regulated under a State  statute  dealing exclusively
with pesticides.

     EPA does not  defer  to a State Attorney General  on matters  of Federal
law, including  the issue of whether  a State program (as interpreted by the
State Attorney General) meets  applicable Federal  regulations.   In the ex-
ample above,  EPA  attorneys  would accept the conclusion  that  Stae law pro-
vides authority  to regulate  waste pesticides  but would draw on their own
conclusions about  whether  the  State authority  is adequate  to meet EPA re-
quirements for program approval.
                                   2.3-6

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         MODEL ATTORNEY GENERAL'S STATEMENT FOR FINAL AUTHORIZATION
 I hereby certify, pursuant to my authority as 	 and in
 accordance with  Section  3006(b) of the  Solid  Waste  Disposal  Act as amended
 by  the  Resource  Conservation and Recovery Act,  as  amended (42 USC 6901, et
 seq.),  and   40   CFR  271  that  in  my  opinion  the  laws  of  the  State
 [Commonwealth] of 	^___ provide adequate  authority  to carry out
 the  program  set  forth in the "Program  Description"  submitted by the [State
 Agency].  The specific authorities provided, which are contained  in statutes
 or  regulations  lawfully adopted  at the  time  this Statement  is signed and
 which shall  be  fully effective by the time the program is approved, include
 those identified below.
I.  IDENTIFICATION AND LISTING


     A.   State  statutes and  regulations define  hazardous  waste  so  as to
control all  the  hazardous waste controlled under 40 CFR 261 as indicated in
Checklist I A.

[Here  the Attorney  General' should cite State statutes and regulations which
define  relevant  terms  such  as  "hazardous  waste," "waste,"  "solid waste,"
"discarded substances,"  "substances  for re-use and recycling," etc. includ-
ing any exclusions from these definitions.]

[Federal Authority:   RCRA §3001  (42 U.S.C. 6921); 40 CFR 261,-271.9.]

     8.   State  statutes  and regulations contain a  list of hazardous waste
and  characteristics for  identifying  hazardous waste  which  encompass  all
wastes  controlled  under  40  CFR 261  as  indicated in  Checklist  I  B and C.

[Federal Authority:   RCRA §3001(b)  (42 U.S.C.  6921);  40 CFR  261, 271.9.]


II.  STANDARDS FOR GENERATORS


     State statutes  and regulations provide coverage  of all  the generators
covered by 40 CFR 262 as  indicated in Checklist II.

[Federal Authority:   RCRA §3002  (42 U.S.C. 6922); 40 CFR 262, 271.10]


III.   STANDARDS FOR TRANSPORTERS


     State statutes and regulations provide coverage of all the transporters
covered by 40 CFR 263 as  indicated in Checklist III.

[Federal Authority:   RCRA §3003  (42 U.S.C. 6923); 40 CFR 263, 271.11]
                                   2.3-7

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IV.  STANDARDS FOR FACILITIES
     A.   State statutes and regulations provide permit standards for hazar-
dous  waste management  facilities  covered  by  40  CFR  264 as  indicated  in
Checklist IV A.  .

[Federal Authority:  RCRA §3004 (42 U.S.C. 6924); 40 CFR 264,  271.12]

[Where  a  State provides for interim status  for facilities,  analysis of the
State's authority  should  be included here.   Model  language  is  presented  in
Section B below.]

     8.   State  statutes  and  regulations  provide  for  interim status  and
include interim status standards  for hazardous waste  management facilities
covered by 40 CFR 265 as indicated  in Checklist IV B.

     1.   State  statutes  and regulations authorize owners  and  operators  of
hazardous waste management  facilities which would quality for interim status
under  the  federal  program to remain in  operation  until  a final decision is
made on the permit application;

     2.   State l.aw and regulations authorize continued operation of hazard-
ous waste management  facilities  provided that  owners  and operators  of such
facilities  comply with  standards  at  least  as stringent as  EPA's  interim
status standards at 40 CFR  265; and

     3.   State  law and regulations assure that any facility qualifying for
State  interim status continues to qualify for Federal interim status.

[Federal Authority:   RCRA  §3005(e) (42 U.S.C.  6925); 40 CFR 265, 271.13(a)]


V.   REQUIREMENTS FOR PERMITS


     State  statutes  and  regulations  provide  requirements  for permits  as
indicated in Checklist V.

[Where there are no State regulations covering  one or more of the procedural
requirements designated  in  Checklist V, and the State has agreed in the MOA
to  follow equivalent  requirements,  the Attorney General's  Statement must
provide a discussion  of  the State's  authority (1) to  enter  into  such  an
agreement and  (2) to  carry out the agreement.   This  discussion should in-
clude  an  explanation  of why (under  any  State administrative procedure act)
the particular  requirements the  State has  agreed  to  follow in  the  issuance
of all hazardous waste permits need  not be  in the form of rules.]

[Federal  Authority:    RCRA  §3005  (42  U.S.C  6925); RCRA §7004  (42 U.S.C.
6974); 40 CFR 271.13 and .14]
                                   2.3-8

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VI.  INSPECTIONS


     State  law  provides  authority for officers engaged in compliance evalu-
ation  activities  to  enter  any  conveyance,  vehicle,   facility  or premises
subject  to  regulation  or in which records relevant to program operation are
kept in  order to inspect, monitor, or otherwise investigate compliance with
the State  program including compliance with permit terms and conditions and
other  program  requirements.   (States whose  law  requires a  search warrant
prior to entry conform with this requirement).

[Federal Authority:  RCRA §3007 (42 U.S.C. 6927), 40 CFR 271.15]


Citation of Laws and Regulations; Dates of Enactment and Adoption

Remarks of the Attorney General


VII. ENFORCEMENT REMEDIES


     State statutes and regulations provide the following:

     A.   Authority to  restrain  immediately  by order  or by suit  in State
          court any person  from' engaging in any unauthorized activity which
          is  endangering  or  causing  damage to public health or the environ-
          ment.

[Federal  Authority:    RCRA   §3006  (42  U.S.C.   6926);  40  CFR  271.16(a)(l)]

Citation of Laws and Regulations; Date of Enactment and Adoption

Remarks of the Attorney General

     B.   Authority to sue in courts of competent jurisdiction to enjoin any
          threatened  or   continuing  violation  of  any  program  requirement,
          including  permit  conditions,  without  the necessity  of  a prior
          revocation of the permit.

[Federal  Authority:    RCRA   §3006  (42  U.S.C.   6926);  40  CFR  271.16(a)(2)]

Citation of Laws and Regulations; Date of Enactment and Adoption

Remarks of the Attorney General

     C.    Authority to assess  or sue to recover in court civil penalties  in
          at  least the amount  of $10,000 per day for any program  violation.

[Federal authority:   RCRA §3006  (42 U.S.C. -  6926);  40 CFR 271.16(a)(3)(i)]
                                   2.3-9

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Citation of Laws and Regulations; Date of Enactment and Adoption

Remarks of the Attorney General

     0.   Authority to  obtain  criminal  penalties in at  least  the  amount of
          $10,000 per  day for  each violation, and imprisonment for at least
          six months against any person who knowingly transports any hazard-
          ous  waste  to  an  unpermitted  facility;  who  treats, stores,  or
          disposes  of  hazardous waste  without a permit;  or who  makes  any
          false  statement  or  representation  in any  application,  label,
          manifest,  record,  report, permit, or  other  document filed,  main-
          tained, or used for the purposes of program compliance.

[Federal Authority:  RCRA §3006 (42 U.S.C. 6926); 40 CFR 271.16(a)(3)(ii).]


Citation of Laws and Regulations; Dates of Enactment and Adoption

Remarks of the Attorney General


VIII. PUBLIC PARTICIPATION IN THE STATE ENFORCEMENT PROCESS
     State  laws and  regulations  provide  for  public participation  in the
State enforcement process by providing either:

     A.    Authority to allow intervention as of right in any civil or admin-
          istrative action  to  obtain the remedies  specified  in Section VII
          A, B and C above by any citizen having an interest which is or may
          be adversely affected; or

     8.    Assurances  that the   State  agency or enforcement  authority will:

          (1)  Investigate  and  provide  written  response to  all  citizen
               complaints duly  submitted;

          (2)  Not  oppose  intervention  by  any   citizen  where  permissive
               intervention may be authoritized by statute, rule, or regula-
               tion; and

          (3)  Publish  and  provide at  least 30 days  for  public  comment on
               any proposed settlement of a State enforcement action.

[Federal Authority:  RCRA §7004 (42 U.S.C. 6974); 40 CFR 271.16(d)]

Citation of Laws and Regulations; Date of Enactment and Adoption

Remarks of the Attorney General
                                   2.3-10

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 IX.  AUTHORITY TO SHARE INFORMATION WITH EPA


     State  statutes  and  regulations  provide authority  for any information
 obtained  or  used  in  the administration of the State program to be available
 to EPA upon request without restriction.

 [Federal Authority:  RCRA §3007(b) (42 U.S.C. 6927); 40 CFR 271.17]

 Citation of Laws and Regulations; Date of Enactment and Adoption

 Remarks of the Attorney General



 X.   AUTHORITY OVER INDIAN LANDS


 [Where a State seeks authority over Indian lands appropriate analysis of the
 State's authority should be included here.]

 [Federal Authority:  40 CFR 271.7(b)]

Citation of Laws and Regulations; Dates of Enactment and Adoption

Remarks of the Attorney General



Seal  of Office
                                             Signature
                                             Name (Type or Print)
                                             Title
                                             Date
                                   2.3-11

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                                   CHAPTER 2.4

                            MEMORANDUM OF AGREEMENT
Federal  Requirement
 9 271.B  Memorandum of Agreement with
 the Regional Administrator.
   (a) Any State that seeks to administer
 a program under this subpert shall
 submit a Memorandum of Agreement
 (MOA). The Memorandum of Agreement
 shall be executed by the State Director
 and the Regional Administrator and
 shall become effective when approved
 by the Administrator. la addition to
 meeting the requirements of paragraph
 (b) of this section, the.Memorandum of
 Agreement may include other terms.
 conditions, or agreements consistent
 with this subpart and relevant to the
 administration and enforcement of the
 State's regulatory program. The
 Administrator sha
i not approve any
Memorandum of Agreement which
contains provisions which restrict EPA's
statutory oversight responsibility.
  (b) Ail Memoranda of Agreement
shall include the following:
  (1) Provisions for the Regional
Administrator to promptly forward to
the State Director information obtained
prior to program approval in
notifications provided under section
3010(a) of RCRA. The Regional
Administrator and  the State Director
shall agree oa procedure* for the
assignment of EPA identification
numbers for new generators,
transporters, treatment, storage, and
disposal facilities.
  (5) No limitations on EPA compliance
inspections of generators, transporters,'
or non-major HWM facilities under
paragraph (b)(4) of this section shall
restrict EPA's right to inspect any
generator, transporter, or HWM facility
which it has cause to believe is not in
compliance with RCRA; however, before
conducting such an inspection, EPA will
normally allow the State a reasonable
opportunity to conduct a compliance
evaluation inspection.
  (6) Provisions for the-prompt transfer
from EPA to the State of pending permit
applications and any other information '
relevant to program operation not
already in the possession of the State
Director (e.g., support files for permit
issuance, compliance reports, etc.).
When existing permits are transferred
from EPA to the State for
administration, the Memorandum of
Agreement shall contain provisions
specifying a procedure for transferring
the administration of these permits. K a
State lacks the authority to directly
administer permits issued by the Federal
government, a procedure may be
established to transfer responsibility for
these permits.
                                    2.4-1

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   (2) Provisions specifying the frequency
 and content of reports, documents and
 other information which the State is
 required to submit to EPA. The State
 shall allow EPA to routinely review
 State records, reports, and files relevant
 to the administration and enforcement
 of the approved program. State reports
 may be combined with grant reports
 where appropriate,
   (3) Provisions on the State's
 compliance monitoring and enforcement
 program, including:
   (i) Provisions for coordination of
 compliance monitoring activities by the
 State and by EPA. These may specify
 the basis on which the Regional
 Administrator wffl select facilities or
 activities within the  State for EPA
 inspection. The Regional Administrator
 will normally notify  the State at least 7
 days before any such inspection; and
  (ii) Procedures to assure coordination
 of enforcement activities.
  (4) Provisions allowing EPA to
 conduct compliance inspections of all
 generators, transporters, and HWM
 facilities in each year for which the
 State is operating under final
 authorization. The Regional
 Administrator and the State Director
 may agree to limitations on compliance
 inspections of generators, transporters,
 and non-major HWM facilities.
  Note*  For example, EPA and the State
 and the penatttM could ape* that the State
 would iaaue a permit(a) identical to the
 outstanding Federal permit which would
 •imoltaoeeualy be terminated.

  (7) Provisions specifying classes and.
 categories of permit applications, draft
 permits, and proposed permits that the
 State will send to the Regional
 Administrator for review,  comment and,
 where applicable, objection.
  (8) When appropriate, provisions for
joint processing of permits by the State
and  EPA, for facilities or activities
which require permits from both EPA
and  the State under-different programs.
See § 124.4
  Note.—To promote efficiency and to avoid
duplication and inconsistency. States are
encouraged to enter into joint processing
agreements with EPA for permit issuance.

  (9) Provisions for the State Director to
promptly forward to EPA copies of draft
permits and permit applications for all
major HWM facilities for review and
comment The Regional Administrator
and the State Director may agree to
limitations regarding review of and
comment on draft permits and/or permit
applications for non-major HWM
facilities. The State Director shafl supply
EPA copies of final permits for all major
HWM facilities.
  (10) Prortsiona for the State Director
to review all permits issued under State
law prior to the date of program
approval and modify or revoke and
reissue them to require compliance with
the requirements of this sabpart. The
Regional Administrator and the State
Director shall establish a time within
which this review must take place.
  (11) Provisions for modification of the
Memorandum of Agreement in
accordance with this subpart
  (c) The Memorandum of Agreement
the annual program grant and the State/
EPA Agreement should be consistent. If
the State/EPA Agreement indicates that
a change is needed in the Memorandum
of Agreement the Memorandum of
Agreement may be amended through the
procedures set forth in this subpart The
State/EPA Agreement may not override
the Memorandum of Agreement
  Note.—Detailed program priori tte* and
specific amasjemaats for EPA support of the
State uruaiaa will change and are therefore
more appropriately negotiated in the context
of annual agreements rather than in the
MOA. Iluanrej. H may still be appropriate to
specify in the MOA the basis for •oca
detailed agreements. e.g» a provision in me
MOA »pacir>ing that EPA will select facilities
in the State for inspection annually as part of
the State/EPA agreement
                                     2.4-2

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 Introduction


     The Memorandum  of Agreement (MOA) is  the  vehicle for specifying areas
 of coordination and cooperation  in the respective roles and responsibilities
 of  EPA and  the  authorized State.   As  such,  the  MOA should  be  a dynamic
 instrument,  reviewed  and  revised  annually to  accommodate  changes  in the
 maturing State-EPA relationship.

     The  MOA  provides  for the  transfer  of permit issuance  responsibility
 from EPA, establishes a framework for EPA overview  of  the administration and
 enforcement of the approved program, and provides for  the exchange of infor-
 mation  between EPA  and  the State.   The  MOA may  also contain other other
 State-EPA agreements  that  are  relevant to  the implementation of the hazard-
 ous  waste  program,  such  as  State  agreement  to employ  certain procedures
 analogous to  those  of 40 CFR 270 and 124 as described on page  1.3-7 of this
 Manual.  The  effective date of  the  MOA will  be the date that  the notice of
 the State's authorization is published in the Federal  Register..


Model
     The following Model has been written as a guide to meeting the require-
ments of 40  CFR 271.8.   It is  based  on the premise that the MOA is to com-
plement other  elements  of  the State program submission  by focusing on the
area  of State-EPA  coordination.    Several  areas  where  the Region  and the
State may  need or  want to expand  the basic  framework  have  been  noted  in
brackets.   Each Region  undoubtedly  will have additional  terms  it will want
to  include  in  some or all  of its  MOA's.   For  illustrative  purposes the
contents of the Model are outlined below.

     I.    General
    II.    Policy Statement
   III.    State Program Review
               A.    General
               8.    Identification of Major Hazardous Waste Handlers
    IV.    Information Sharing
               A.    General
               B.    EPA
               C.    State
               0.    Site Visits
               E.    Emergency Situations
               F.    Confidentiality
     V.    Permit Issuance
               A.    EPA Permitting
               B.    EPA Overview of State Permits
               C.    State Permitting
    VI.    Permit Administration
               A.    EPA
               B.    State
   VII.    Compliance Monitoring and Enforcement
               A.    EPA
               B.    State
                                  2.4-3

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Signatories


     Generally,  the  MOA  is  signed by  the  State Director  and the Regional
Administrator.   While  the regulations at §271.8(a)  require  the approval  of
the Administrator of EPA before the MOA can become effective, EPA Delegation
8-7,  "State  Hazardous  Waste Programs and State  Program Submittals,"  allows
the Regional  Administrator to sign the MOA on  behalf of the Administrator.

     EPA regulations at §270.2 define State Director as:

 :         ...the  chief administrative officer  of any  State  or inter-
          state  agency operating  an approved program, or the delegated
          representative  of the  State  Director.   If responsibility is
          divided among two or more State or interstate agencies, State
          Director means  the  chief administrative officer of the State
          or  interstate  agency  authorized to  perform  the particular
          procedure or function to which reference is made.

Where the directors  of two or more State agencies share substantive respon-
sibilities  for  the  functions described  in the  MOA (e.g., one  agency has
responsibility  for  the issuance of permits to  .hazardous waste incinerators
and  another  for disposal  facilities),  the  directors  of each   of  those
agencies  must sign  the  MOA with  EPA.   The MOA  must  clearly  indicate the
specific  responsibilities assumed  by  each  of  the  State Directors and must
describe how  they will share and  coordinate  implementation of those provi-
sions of the MOA which concern more than one State agency.  This may be done
in  a  separate section of the MOA or by designating specific State, agency
responsibilities throughout the text of the MOA.

     Note that where  the  divergence  of  responsibility involves solely en-
forcement authority, an  agreement among the State agencies would be allowed
as an alternative to having each  enforcement  arm sign the MOA.  Agreements
with  enforcement agencies  of  local units  of  government  are  not  required.
                                  2.4-4

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                           MEMORANDUM OF AGREEMENT

                                   BETWEEN

                           THE STATE OF 	

                                     AND

              THE  UNITED STATES ENVIRONMENTAL PROTECTION AGENCY

                                  REGION
 I.   GENERAL


 This Memorandum of Agreement (hereinafter "Agreement") establishes policies,
 responsibilities, and  procedures  pursuant to 40 CFR  271.8  for the State of
 	 Hazardous  Waste  Program (hereafter "State Program") author-
 ized under Section 3006 of the Resource Conservation and Recovery Act (here-
 inafter  "RCRA"  or "the  Act")  of  1976  (Public Law 94-580,  42 USC §6901 et
 seq.)  and  the United States Environmental Protection Agency (hereafter EPA)
 Regional  Office  for Region 	.   This  agreement further  sets  forth  the
 manner in which the  State and EPA will coordinate  in the State's administra-
 tion of the State program.

 This Agreement  is entered into by the Director [or other title as appropri-
 ate] of       [State  Agency]      (hereinafter "Director" or "the State") and
 the  Regional  Administrator,   EPA   Region   	  (hereinafter  "Regional
 Administrator"  or "EPA").   [Where  State  program responsibility  is  shared
 among two or  more agencies, each of the agencies is to be identified here as
 a party to the Agreement, the director of each is  to sign the Agreement, and
 the Agreement must  identify which of the agencies  is  responsible for each
 provision of  the Agreement.]

 For administrative purposes, the      [State Agency]      will serve as lead
 agency to simplify coordination and communication  between the State and EPA.
 [This  provision  need  not  be  included  in  the MOA where there  is  only one
 responsible State Agency.]

 Nothing  in  this  agreement  shall  be construed to  restrict  in  any way EPA's
 authority to  fulfill  its  oversight and enforcement  responsibilities under
 RCRA.   Nothing in this agreement shall be construed to contravene any provi-
 sion of 40 CFR Part  271.

 The parties  will  review  the  Agreement  jointly at  least  once  a  year (and
 other  times  as  appropriate) during preparation of  the annual  State Grant
Work Program  (hereinafter "State  Work  Program"), in  connection with grant
 funding under section 3011 of RCRA.

This Agreement may be  modified upon the initiative of either party in order
 to ensure consistency with State program modifications made or for any other
purpose mutually  agreed  upon.   Any revisions  or  modifications must  be in
writing  and   must  be  signed by  the  State  and the  Regional Administrator.

                                  2.4-5

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This  Agreement  will  remain  in  effect until  such  time  as  State  program
authorization  is withdrawn by or  is voluntarily transferred to EPA according
to  the  criteria  and  procedures  established  in  40  CFR  271.22 and  40 CFR
271.23.

This Agreement  shall be executed  by the State and the Regional Administrator
and  shall  become  effective  at  the  time   the  State's authorization  takes
effect,  which   shall be  the  date of publication  in  the federal  Register of
EPA's decision  to grant authorization to the State.


II.  POLICY STATEMENT

Each of  the parties to this Agreement  is  responsible for ensuring that its
obligations under  RCRA are met.  Upon  granting final  authorization  by EPA,
the State assumes primary responsibility for implementing the RCRA hazardous
waste  program   within  its boundaries.   EPA  retains  its  responsibility to
ensure full  and faithful  excecution of the  requirements  of RCRA,  including
direct  implementation  in the  event the State is unable  to  act.   The State
and the Regional Administrator agree to maintain a high level of cooperation
and coordination  between  their respective- staffs in a partnership to assure
successful and  effective administration of the State program.

EPA  assumes an oversight  role  upon  granting final  authorization  to the
State.    EPA will  oversee  State  program implementation  in order  to ensure
full execution  of  the  requirements of  RCRA, to promote national consistency
in implementation  of the  hazardous waste program, to allow EPA to report to
the President  and  Congress  on the  achievements of  the hazardous waste pro-
gram,  and to  encourage States  and the EPA  to. agree on  desirable technical
support and  targets  for joint efforts  to prevent and mitigate environmental
problems  associated  with  the   improper  management  of  hazardous  wastes.
Oversight  will be  accomplished  by  EPA through written  reporting require-
ments,   permit  overview,  compliance  and  enforcement  overview,  and annual
review of States'  programs.


III.  STATE PROGRAM REVIEW

A.   General

     The  Regional  Administrator  will  assess  the  State  administration and
     enforcement  of  the hazardous  waste  program on a continuing basis for
     equivalence  and consistency with  RCRA, with  this Agreement, and with
     all  applicable  Federal  requirements  and policies and for adequacy of
     enforcement.    This assessment will  be  accomplished by  EPA  review of
     information  submitted  by  the  State  in  accordance with this Agreement
     and the State Work Program,  permit overview, compliance  and enforcement
     overview,  and  annual  review of State program activities.  The Regional
     Administrator  may also consider,  as  part of  this  regular assessment,
     written comments  about  the  State's program administration and enforce-
     ment that  are received from  regulated persons,  the public, and  Federal,
     State  and  local  agencies.    Copies of any such  comments  received by the
     Regional Administrator will  be provided to the  State.
                                  2.4-6

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      To  ensure  effective  program  review,   the  State  agrees  to  allow EPA
      access  to all  files  and other  information requested  by  the Regional
      Administrator  and  deemed necessary, for  reviewing  State program admini-
      stration  and enforcement.

      Review of [State Agency] files may be  scheduled at quarterly  intervals.
      Program  review meetings  between the State  and the Regional Administra-
      tor  or  their  assignees  will be  scheduled  at  reasonable intervals not
      less  than annually to  review specific  operating  procedures and  sche-
      dules,  to  resolve  problems  and to  discuss mutual  program concerns.
      These  meetings will  be  scheduled  at  least fifteen  days  in  advance
      unless agreed  to  differently.   A tentative agenda for the meeting will
      be prepared by  EPA.

8.    Identification  of Major Hazardous Waste  Handlers

      The  State agrees  to develop with EPA a  list of hazardous waste facili-
      ties, generators  and transporters  in the  State  designated as "major"
      hazardous  waste handlers.    This  designation is  intended  to identify,
      for  administrative  purposes,  environmentally  significant  hazardous
      waste handlers, and to  be used in concentrating inspection,  permitting
      and reporting  resources on those handlers.  The list shall be submitted
      as a part of this agreement.  It shall be reviewed and updated annually
      and  more often as  necessary.   Changes  to the  list do not  require a
      formal amendment  to this Agreement  so  long as both  the  State and EPA
      agree in writing to any changes.
                                                           •
      From  the  list  of  "major"   handlers  the State  agrees  to  develop and
      annually  review with the  Regional  Administrator  a  list of  facilities
      whose permit  applications and  draft permits will be  reviewed by EPA.
      This  smaller   list  constitutes  major  facilities  for  purposes  of EPA
      permit overview.


IV.   INFORMATION SHARING

A.    General

     As the national hazardous waste program matures,  the respective  roles
      and responsibilities in this State/Federal parternship will become more
     clear.    As the respective  information needs  of  the  State  and EPA
     evolve,   changes to this  section of the Agreement may be appropriate.
     During the annual  review of this agreement  the  State and the Regional
     Administrator will  carefully examine the following  information sharing
     provisions for needed revision.

B.   EPA

     1.   EPA  will  keep the  State  informed  of  the content  and meaning of
          Federal   statutes,  regulations,   guidelines,  standards,   policy
          decisions, directives,  and any other factors  that affect the State
          Program.    EPA  will  also provide general technical guidance  to the
          State.  EPA will share  with the State any national reports  devel-
          oped  by   EPA   from  the  data  submitted  through  State reporting
          requirements.

                                  2.4-7

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2.   EPA  agrees  to provide the State notification information from EPA
     Form  8700-12  obtained prior to the  effective date  of this  agree-
     ment.  A copy of the  original notification forms and/or a computer
     print-out  containing  all  the  notification  information will  be
     provided.   Such  information will   be  provided  to  the  Director
     within thirty  days  of the effective date  of  this  Agreement.   EPA
     will  also  forward, on  a monthly  basis,  notification information
     (including newly assigned EPA identification numbers) submitted by
     persons  in  the  State  who file such  forms after the effective date
     of  this  Agreement.   This  information  will  be submitted  to the
     Director within  ten days of the end of each month for the preced-
     ing month.

3.   EPA  agrees  to assign  EPA identification numbers to generators and
     transporters and to owners and operators of hazardous waste treat-
     ment, storage, and disposal"  facilities submitting notifications to
     the State after the effective date of this Agreement.  EPA will do
     this  after  receiving  a copy of the  notification information from
     the State as provided in Section IV.C.7 of this Agreement.

4.   EPA  agrees  to transfer to the State any pending Part A and Part 8
     hazardous waste management facility  permit applications originally
   .  submitted to  EPA  pursuant to 40 CFR 270.10  by  facilities located
     in  the  State and  which have not  already  been  transferred  to tha
     State,  together With  all  pertinent file  information.   Pertinent
     file  information  includes   applications   (including  accompanying
     narratives,  plans,  maps,  etc.),   draft  permits, "public notices,
     administrative  notices,  fact  sheets and correspondence.   Such
     materials will  be  provided  within thirty days  after  the effective
     date of this agreement and according to any arrangements the  State
     and  the  Regional  Administrator  may  make regarding the priority of
     transfer.

     [The  Region  may want to work out an agreement with the State to
     transfer some of  this information at a  later date.   For example,
     the  transfer  of some  EPA permit information  may be given a  lower
     priority if  the State  has   previously issued a joint permit with
     EPA or the State has  issued  substantially equivalent  permits  under
     interim authorization for certain  facilities^]

5.   EPA will also provide to the State, within  five days of receipt,
     Part A and Part 8 permit applications submitted directly to EPA by
     persons  in  the  State  after  the effective  date  of this Agreement.

6.   EPA  agrees  to make  available to  the State  copies  of any reports
     and  data resulting from  compliance  inspections within sixty days
     of completion of the  inspections.

7.   EPA will make available to the State other relevant  information as
     requested which the State needs to implement  its approved program.
                             2.4-8

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C.    State
     1.    The  State  agrees  to  inform  the  Regional  Administrator  of  any
          proposed or adopted program changes  which would affect the  State's
          ability to  implement  the authorized program.   Program  changes  of
          concern  include  modification  of  the  State's  legal  authorities
          (i.e.   statutes,  regulations and judicial  or  legislative  actions
          affecting those authorities), modifications of.memoranda of agree-
          ment or  understanding  with  other agencies,  and modifications  of
          resource levels (i.e.,  available or  budgeted personnel  and  funds).
          The State  recognizes  that  program  revisions must  be made  in  ac-
          cordance with the provisions of 40 CFR 271.21.

     2.    The  State  will  provide compliance  monitoring  and  enforcement
          information to the  Regional Administrator  on  a routine basis  as
          specified in the State Work Program.   During fiscal  year 1984  the
          Regional  Administrator will  be  especially  concerned  with informa-
          tion on  facility ground-water monitoring,  financial  responsibil-
          ity, and closure  and post-closure care.

     3.    As  specified in  the State  Work Program, the State will  routinely
          provide the Regional Administrator with information  indicating  the
          status  of  the  State's  facility permitting activities.   During
          fiscal  year  1984 the  Regional  Administrator  will  be  especially
          concerned   with  facility-specific   information  on  the  following
          milestones:

               Date permit  application requested
               Date complete  permit application  received
               Date of  Public Notice
               Date of  permit application withdrawal  (and reason)
               Date of  permit issuance/denial

     4.    The State  agrees  to submit  the following reports to  the Regional
          Administrator within the  specified time periods:

          o     Biennial   report   summarizing   the  quantities  and  types   of
               hazardous  waste  generated, transported, treated,  stored,  and
               disposed in  the  State  as  specified in the RCRA  Guidance,  by
              October  1  of each  even-numbered year.

          o    Additional  reports  as  negotiated in the State Work Program.

     5.    Where  the  State  program  involves   the granting  of   variances  or
          waivers, the  State agrees to provide EPA with a copy  of each State
          variance  or  waiver at  the  time it  is granted.   [The Regional
          Administrator and State may  negotiate  a process for  EPA review of
          proposed  variances  or  waivers.   Terms  of this  agreement should be
          specified in  the  MOA. ]

     6.    For those  major  hazardous  wast.e   handlers identified as  major
          facilities  for  EPA permit  overview (see Section III),  the  State
          agrees  to  provide  EPA  with  the  following  information  within  the
          time frames described:
                                 2.4-9

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          o    Copies of facility permit          Within fifteen working
               applications, revisions            days of receipt
               and additions

          o    Copies of draft permits,           Within five working
               proposed permit modifi-            days of completion
               cations, public notices

          o    Copies of final permit             Within five working
               or permit modifications            days of completion

     7.   So  that  EPA can  issue EPA  identification  numbers  and  maintain  a
          national  inventory  of all  hazardous  waste  handlers,  the  State
          agrees to  provide  EPA  with the .following notification information
          submitted  to the  State after the effective date of this Agreement
          by  new hazardous  waste  generators,  transporters  and  treatment,
          storage and disposal facilities in the State:

                    name and location of the handler
                    mailing address of the handler
                    name and telephone number of a contact person
                    type of hazardous waste activity
                    process codes (if the handler is a TSDF)

          The State  will  also  submit any updates  or changes in previously
          submitted  notification  information.    This  information  will  be
          provided to  the  Regional  Administrator within ten-days of receipt
          of the information.

     8.   The State  agrees to provide EPA with  copies of  reports on data
          resulting  from  any compliance  inspection  and subsequent enforce-
          ment actions, if EPA requests such copies.

D.    Site Visits

     EPA is  responsible  for maintaining reliable national data on hazardous
     waste management.   This data  is used to  report  to  the President and
     Congress on the  achievements  of the hazardous waste  program  and to
     support EPA's regulatory  development efforts.   Whenever EPA determines
     that it needs   to obtain  certain  information,  EPA will  first seek to
     gain this  information  from  the State.  The  State agrees to supply the
     Regional Administrator  with this  information  if readily available and
     as resources allow.   If the State is unable to provide the information
     or  if   it  is necessary  to  supplement the  State  information,  EPA may
     conduct a  special survey  or perform information collection site visits
     after notifying  the  State.   EPA will share with the State any national
     reports developed  by EPA as a  result of  such information collection.

E.    Emergency Situations

     Upon receipt of any  information that the handling, storage, treatment,
     transportation,   or  disposal  of  hazardous  waste  is  endangering human
     health  or  the   environment,  the party in  receipt  of  such information
     shall   immediately notify  by  telephone  the  other party(ies)  to this


                                  2.4-10

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     Agreement  of the  existence  of such  situation.   [Include details here
     for  information  sharing,  names  and  titles of  individuals,  telephone
     numbers, etc.]

F..  Confidentiality

     1.   Any  information obtained  or  used  in  the  administration  of the
          State  program  shall  be  available  to EPA  upon  request  without
          restriction.  . If  the  information has  been  submitted to  the State
          under a claim of confidentiality, the  State must submit that claim
          to EPA  when providing information.   Any information obtained from
          a State and subject to  a claim of confidentiality will be treated
          in accordance with the regulations in  40 CFR Part 2.

     2.   EPA agrees  to furnish to the State information in its files which
          is not  submitted under  a claim of confidentiality  and  which the
          State needs to implement its program.  Subject  to the conditions
          in 40 CFR Part 2, EPA will furnish the State information submitted
          to EPA  under a claim of confidentiality'which  the State needs to
          implement its  program.   All  information EPA agrees to transfer to
          the State will  be  transferred in accordance with the requirements
          of 40 CFR Part 2.


V.   PERMIT ISSUANCE

A.   EPA Permitting

     Upon final  authorization of the State program EPA will suspend issuance
     of Federal  permits for hazardous wa.ste treatment, storage, and disposal
     facilities  in  the  State.   [Each  Region  should try  to make  special
     arrangements  with  the State  for the State  to assume responsibility for
     issuing particular permits EPA has been working on; the State will need
     specific authority  to  assume  responsibility in the midst  of the pro-
     cess, unless  the proceedings  have  been joint,  with both  Federal  and
     State  administrative procedures  followed  up  to  the  time  the  State
     assumes full  responsibility.]

     EPA  intends  to  add permitting standards  for processes  not  currently
     covered by  the Part 264 standards.   For example, th« Part 264 standards
     do  not  currently  cover treatment  and storage  of hazardous  waste in
     certain types of underground'tanks.   When EPA does promulgate standards
     for additional processes,  EPA  will  process and enforce RCRA permits in
     the State  in  the new areas  until the State  receives final authorization
     of equivalent  and consistent  State  standards.   At  the  time  the State
     program is  approved  in  the   new  areas,  EPA  will  suspend  issuance of
     Federal  permits  in  the  State.   EPA will  also,  transfer  any  pending
     permit  applications, completed permits or pertinent file  information to
     the State  within thirty days  of  the  approval  of  the  State program in
     conformance with the conditions of this agreement.
                                  2.4-11

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8.   EPA Overview of State Pennits

     While EPA  may  comment on any permit application or draft permit,  EPA's
     overview  function  will  focus primarily on  those  facilities  identified
     by the State and EPA as major facilities for permit overview.

     EPA  may  comment  in  writing  on  any  draft  permit or  proposed  permit
     modification,  whether or not EPA commented on  the permit application,
     within forty-five days of its receipt.   [EPA should be allowed at least
     as  long  to  comment as the  public  at  large;  this time  period  should
     probably be  tied  to each State's public participation process.]   Where
     EPA  indicates  in  a comment that issuance of the permit would be  incon-
     sistent  with  the  approved  State  program,  EPA shall  include in  the
     comment:

     (a)  a statement of the  reasons for the comment (including the section
          of the State regulations that support the comment); and

     (b)  the actions that should be taken by the State in order to address
          the  comments   (including  the  conditions  which  the  permit  would
          include if it were issued by EPA.)

     EPA  shall  send a  copy of its written comments to  the permit applicant.

     EPA  shal]  withdraw such  comments when satisfied that the State has met
     or  refuted its concerns  and shall  also  provide  the  permit applicant
     with a copy of such withdrawal.

     [Insert  here  any  agreement  the Region makes with the .State regarding
     resolution of  EPA  comments on draft permits before final permit issu-
     ance by  the  State, e.g., the State and  the RA agree to meet or confer
     whenever  necessary to resolve  a disagreement  between their staffs on
     the terms of any RCRA permit to be issued by the State.  The Region may
     want to  add a specific  time, limit  within which the  State and RA will
     meet.]

     Under  Section  3008(a)(3)  of RCRA,  EPA  may  terminate  a  State  issued
     permit in  accordance with  the  procedures  of  Part 124,  Subpart E, or
     bring an enforcement  action in accordance with the  procedures of 40 CFR
     Part 22  in the case  of a violation of a State program  requirement.  In
     exercising  these  authorities,  EPA  will  observe  the  conditions estab-
     lished in 40 CFR 271.19(e).'

C.   State Permitting

     The  State  is  responsible  for expeditiously  drafting, circulating for
     public review  and  comment, issuing, modifying, reissuing  and  terminat-
     ing RCRA permits for  all hazardous waste treatment, storage  and dispos-
     al facilities  in the  State, and shall do so in  a manner consistent with
     RCRA, with this Agreement,  with all  applicable   Federal  requirements,
     and with the State's  Program Description.
                                  2.4-12

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      [Insert here any agreement the State makes regarding (1)  its assumption
      of  permit issuance  in  ongoing EPA permit proceedings  and (2) its en-
      forcement,  adoption  or  reissuance  of EPA-issued  RCRA  permits.   Note
      that  the  State must have specific  authority  to  either assume admini-
      stration  and  enforcement  of  EPA-issued  permits  or  to  adopt  them as
      State  permits; otherwise the  State must reissue  the  permits  as State
      RCRA permits.]

      The State agrees to  issue, modify and  reissue all permits  in accordance
      with   [insert  citation  to  relevant  State  procedural   environmental
      statutes  and  regulations  and administrative procedures act and regula-
      tions] and to  include as permit conditions all applicable  provisions of
      [insert  citation  to  relevant  State environmental  regulations].   This
      agreement also applies  to permits issued after final authorization but
      for  which the processing may have  begun before  final  authorization.

      [Insert here any  agreement  the State  makes  that  is necessary to carry
      out  the  permitting  procedures  analogous  to those  at  40  CFR Parts 270
      and 124.   See  pages  1.3-7 for discussion.]

      [Insert here  any agreement  the  State makes  regarding its  use of any
      variance or waiver authority.  See page 1.3-8 for discussion.]

      The' State agrees  that any compliance  schedules contained  in permits 'it
      issues will  require  compliance  with  applicable  standards as  soon as
      possible.   [Insert here any agreement  the State makes regarding interim
      dates, reporting for such permittees,  etc.]

      The State agrees  to consider all comments EPA makes on permit applica-
      tions  and draft permits.   The  State will satisfy  or refute EPA's con-
      cerns on a particular permit application,  proposed permit  modification,
      or  draft  permit  in writing before  issuing  the  permit  or  making the
     modification.


VI.   PERMIT ADMINISTRATION

A.     EPA

      [If the State  has  authority to directly administer  permits issued by
     the Federal  government,  this  section is  inapplicable and  the Region
     should  insert  provisions  for  transferring  responsibility  for  all
     Federal permits to the State.]

     EPA will  administer the RCRA permits it has issued to facilities in the
     State until  they expire or are  terminated.  EPA will be responsible for
     enforcing  the  terms and  conditions  of the  Federal  permits while they
     remain in  force.    When  the  State  either  incorporates  the  terms and
     conditions of the  Federal  permits in State RCRA permits or issues State
     RCRA permits to those  facilities,  EPA will  primarily rely on the State
     to enforce those terms and conditions.
                                  2.4-13

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B.   State

     The  State agrees  to  review  all  hazardous  waste  permits which  were
     issued  under  State  Law  prior to the effective date  of  this  agreement
     and  to  modify or  revoke  and  reissue such permits  as  necessary  to re-
     quire compliance with  [insert citation to relevant State environmental
     statutes  and  regulations  and  administrative  procedures act and regula-
     tions equivalent to  the  40 CFR 265  requirements]  and [insert citation
     to  relevant  State environmental  regulations].   The  State  agrees  to
     modify  or revoke  and  reissue these State  permits as RCRA permits  in
     accordance with the following.schedule.  [EPA intends that the schedule
     in the  MOA  provide a reasonable time period for the review and upgrad-
     ing of  existing  State  permits,  based on  such  factors as the number of
     State permits  and  the  additional  permit terms and conditions needed to
     satisfy the requirements of Part 271.]


VII. COMPLIANCE MONITORING AND ENFORCEMENT

A.   EPA

     Nothing in  this  agreement  shall  restrict EPA's  right  to  inspect any
     hazardous waste generator, transporter or facility or bring enforcement
     action  against any  person believed  to  be  in  violation of  the State
     hazardous waste  program.   Before conducting an inspection  of a gener-
     ator, transporter or facility, the Regional Administrator will normally
     give the  State at  least  seven days  notice of  the intent to  inspect in
     accordance with 40 CFR 271.8(b)(3)(i).   [The Regional Administrator and
     State may agree  on a longer period of time in order to.allow the State
     opportunity to conduct the inspection.]   If the  State performs  a com-
     pliance, inspection  and   submits  a  report and  data  relevant  thereto
     within  that  time  to EPA,  no EPA  inspection will  be made, unless the
     Regional  Administrator  deems  the  State  report and data to  be  inade-
     quate.   In case  of an  imminent hazard to human health and the environ-
     ment,  the  Regional  Administrator  may  shorten  or  waive  the  notice
     period.

     The frequency of EPA oversight and training inspections will be speci-
     fied in the annual  State Work Program.    Normally,  EPA  will accompany
     the State  on  no more  than 5%  of the State's  compliance  inspections.

     The  Regional  Administrator  may  take  enforcement  action  against any
     person determined to be in violation of RCRA in accordance with Section
     3008(a)(2).    EPA will  take  enforcement  action only  upon determining
     that the State has not taken timely and appropriate enforcement action.
     Prior to  issuing  a  compliance  order under Section  3008 EPA will give
     notice  to the  State.   EPA also retains  its  rights to issue  orders and
     bring actions  under Sections 3013 and 7003 of RCRA and any other appli-
     cable Federal  statute.

     After notice  to  the State, EPA  may take action  under Section 3008 of
     RCRA against a holder  of a State  issued  permit on the ground that the
     permittee is not complying with a condition of that permit.  In  addi-
     tion, EPA may  take action under Section  3008  of  RCRA against a holder
                                  2.4-14

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      of  a State issued permit on  the  ground that the permittee is not com-
      plying  with a condition that  the Regional  Administrator in commenting
      on  that  permit  application  or •  draft  permit stated was  necessary  to
      implement  approved  State  program  requirements,  whether  or  not  that
      condition was  included in the  final permit.
 B.    State
     The  State  agrees to carry out a timely and effective program for moni-
     toring  the  compliance  by generators, transporters, and facilities with
     applicable  program  requirements  (see 40 CFR 271.15).  As  part of this
     program,  the State will conduct compliance  inspections  to assess com-
     pliance  with generator  and  transporter standards  (including manifest
     requirements),   facility  standards,  permit  requirements,  compliance
     schedules,  and  all other program  requirements.   Compliance monitoring
     activities  and  priorities will  be  specified in  the  annual  State Work
     Program  and shall  be  consistent with  all  applicable Federal require-
     ments and with the  State's Program Description.

     [Insert any  agreement the Region makes with the State regarding inspec-
     tions at  EPA-permitted  facilities.   Individuals  in  the  State program
     may  be  designated as  EPA representatives under Section 3007 of RCRA so
     that  they  can inspect  the  facilities for violations of  the terms and
     conditions of the Federal permits.]

     The  State   agrees  to  take  timely  and  appropriate  enforcement action
     against all  persons in violation of  generator and transporter standards
     (including manifest requirements),  facility standards,  permit require-
     ments,  compliance schedules,  and  all  other program  requirements, in-
     cluding violations  detected by State or Federal  compliance inspections.
     The  State  will   maintain  procedures  for receiving  and  ensuring proper
     consideration of information  about violations  submitted by  the public.

     Appropriate  State enforcement response  may include  not  more than two
     warning  letters  for any  violation,  followed by  timely  initiation and,
     prosecution  of enforcement proceedings which may be, as determined on a
     case-by-case  basis, administrative  or  judicial  in  nature.   Any civil
     penalty assessed,  sought, or  agreed upon by the  State  shall be appro-
     priate to the violation, as defined  in 40 CFR 271.16(c).

     The  State agrees to retain  all records for at least three years unless
     there is an  enforcement action pending.  In that case all records will
     be retained  until such action is resolved.
STATE OF 	          U.S. ENVIRONMENTAL PROTECTION AGENCY
AGENCY   ZZmUZHZIIZI          REGION 	


BY:  	         BY:. 	


DATE: 	         DATE:	


                                  2.4-15

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                                   CHAPTER 2.5

                         SHOWING.OF PUBLIC .PARTICIPATION
 Federal Requirement
 } 271 JO  Approval |
   (a) Prior to submitting an application
 to EPA for approval of a State program.
 the State shall issue public notice of its
 intent to seek program approval from
 EPA. This public notice shall:
   (1) Be circulated in a manner
 calculated to attract the attention of
 interested persona including:
   (i) Publication in enough of the largest
 newspapers in the State to attract
 statewide attention: and
  (ii) Mailing to persons on the State
 agency mailing list and to any other
 persons whom the agency has reason to
 believe are interested:
  (2) Indicate when and where the
 State's proposed submission may be
 reviewed by the public;
  (3) Indicate the cost of obtaining a
 copy of the submission;
  (4) Provide for a comment period of
 not less than 30 days during which time
 interested members of the public may
 express their views on the proposed
 program;
  (5) Provide that a public hearing will
 be held by the State or EPA if sufficient
 public interest is shown or.
 alternatively, schedule such a public
 hearing. Any public hearing to be held
 by the State  on its application  for
 authorization shall be scheduled no
 earlier than 30 days after the notice of
 hearing is published;
  (8) Briefly  outline the fundamental
 aspects of the State program: and
  (7) Identify a person that an interested
member of the public may contact with
any questions.
  (b) If the proposed State program is
substantially modified after the public
comment period provided in paragraph
(a)(4) of this section, the State shall.
prior to submitting its program to the
Administrator, provide an opportunity
for further public comment in
accordance with the procedures of
paragraph (a) of this section. Provided.
that the opportunity for further public
comment may be limited to those
portions of the State's application which
have been changed since the prior
public notice.
  (c) After complying with the
requirements of paragraphs (a) and (b)
of this section, the State may submit, in
accordance with \ 271.J, a proposed
program to EPA for approval. Such
formal  submission may only be made
after the date of promulgation of the last
component of Phase IL The program
submission shall include copies of all
written comments received by the State.
a transcript recording, or summary of
any public hearing which was held by
the State, and a responsiveness
summary whichjdentifies the public
participation activities conducted.
describes the matters presented to the
public,  summarizes significant
comments received and responds to
these comments.
                                   2.5-1

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Introduction
     The State  is  required under §271.20(a)-(c) to provide  the  public with
an opportunity  to  comment on the proposed  program  application  before it is
submitted to  EPA  for approval.   A comment  period  of  at least 30 days is to
be provided and,  if sufficient interest is shown,  a public hearing is to be
held no  sooner  than 30 days after the  notice of hearing is published.  The
State is required  to submit the record of this public participation as part
of its authorization application.


Content
     The State must demonstrate compliance with §271.20(a)-(c) by submitting
the following materials to EPA:

     1.    All written comments received by the State,

     2.    A transcript (preferred), recording, or summary of any public
          hearing which was held by the State, and

     3.    A responsiveness summary which identifies the public partici-
          pation activities conducted,  describes  the matters presented
          to the  public,  summarizes  significant  comments  received and
          responds to the comments.
                                  2.5-2

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                                   CHAPTER 2.6

                        STATE STATUTES  AND REGULATIONS
 Federal  Requirement
 9 271.5  Elements of * program
 submission.
   (a) Any State that seeks to administer
 a program under this part shall submit'to
 the Administrator at least three copies
 of a program submission. The
 submission shall contain the following:
   (1) A letter from the Governor of the
 State requesting program approval:
  (2) A complete program description,
 as required by § 271.8 describing how
 the State intends to carry out its
 responsibilities under this subpart
  (3) An Attorney General's statement
 aa required by § 271.7;
     (4) A Memorandum of Agreement
   with the Regional Administrator aa
   required by f 271.8;
    (5) Copies of all applicable State
  statutes and regulations, including those
  governing State administrative
  procedures; and
    (6) The showing required by
  § 27l.20(c] of the State's public
  participation activities prior to program
  submission.
Introduction
     The  legal  basis of State hazardous  waste programs is found  in  the State
statutes  and  regulations.

     Therefore,  it  is  incumbent on the  State to supply copies.of all  appli-
cable  legal,  regulatory and administrative  documents needed  to  evaluate the
State's authority and to support the  State application.
Content
     Copies  of  all  State hazardous waste  management statutes  and  regulations
must  be included  in  the  program  submission.   This  includes copies  of all
State  statutes  and  regulations cited  by  the Attorney General
ment.   For  example,  portions of  the  State  Administrative
applicable  to the proposed  hazardous  waste program must also
Where  State  statutes  and  regulations  have "been amended,  EPA
States  submit  up-to-date  sets  which
greatly facilitate EPA's review.
                         in his state-
                        Procedure  Act
                         be submitted.
                         requests that
incorporate  all  changes.   This will
                                   2.6-1

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                                 CHAPTER 2.7

                         STATE LEGISLATION CHECKLIST
 Introduction

     The  checklist  which follows is provided to aid attorneys and others in
 reviewing and documenting State hazardous waste enabling authority for Final
 Authorization  under Section  3006(b)  of the Solid  Waste Disposal  Act,  as
 amended  (RCRA).   EPA  attorneys  are encouraged to involve attorneys in State
 Attorney  Generals  Offices  or  other  State  legal  counsel in  such reviews.
 States  are advised to  look  broadly  to their  legislative  authorities  in
 assessing their programs.

     To obtain final authorization, a State must have the enabling authority
 to   establish   a   hazardous  waste  management  program   which   meets  the
 requirements  of  40 CFR Part  271, Subparts  A and 8.   Anyone  using  the
 checklist  snould  refer  to  Part 271 (and the regulations  in  Parts 270,  124
 and  260-265 to  the extent they  are  referenced  in Part  271)   for  a full
 understanding  of  the   regulations  for  which  a  State  must  have enabling
 authority.

     Attorneys should  look at  all  relevant State  statutory authority,  not
just a particular statute,  when assessing State hazardous waste  legislative
authority.   For  example,   State  administrative  procedure  acts  are  often
 relevant.   Most  elements  in  the  checklist   identify  enabling authority
required  for  Final  Authorization.   Five  elements,  however,  ("importation
ban",  "variance   provisions",   "exemptions",  "information  sharing"  and
"siting") are included  as  a means :of  identifying  and recording   features of
State  law  which  may negatively affect  a  State's  ability  to receive final
authorization.

     This  checklist  is intended   for  use  as  an  evaluation  tool  and  it
provides valuable assistance  to  EPA  reviewers  if submitted  as  part of the
application for Final Authorization.   Also,, this  checklist should be of use
to the  State  in  identifying  appropriate citations  and comments  to aid in
developing the Attorney General's Statement which  is a* essential element of
the application.
                                  2.7-1

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                           STATE LEGISLATION CHECKLIST
State
Title(s) of Legislation
Date Enacted

Date Enacted

Date Enacted
Reviewed by
DATE

STATUTORY ELEMENT
STATE CITE
COVERAGE
YES/NO?
COMMENT
DEFINITIONS
The State needs the authority to define the following terms in a manner at least
as stringent as the Federal program.  If definitions of these terms appear in
State statutes, they must be at least .as stringent as the analogous Federal
Statutory or regulatory definition.
Disposal
Generator
Hazardous Waste*
Manifest
Person
Storage
Transport
Treatment
Treatment, Storage or
Disposal Facility
Waste (Solid)








,












.








  Note that the State must have authority to regulate the recycling and reuse of
  hazardous waste in a manner at least as stringent as the Federal program does.

HAZARDOUS WASTE IDENTIFICATION AND LISTING - [See 40 CFR §271.9]
Authority for:
1. HW characteristics
2. HW list






                                    2.7-2

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STATUTORY ELEMENT
STATE CITE
COVERAGE
YES/NO?
COMMENT
 STANDARDS  FOR GENERATORS -  [See 40 CFR §271.10]
 The  State  needs  the authority to regulate all generators EPA  regulates under
 40 CFR  Part 262.
Authority to promulgate
regulations on:
1. 1.0. Numbers
2.
3.
4.
5.
6.
7.
8.
y.
10
Requiring generator to
determine whether waste
1s hazardous
Recordkeeplng^ practices
Packaging, labeling,
marking and placarding
practices
Use of appropriate
containers
Furnishing Information
Use of manifest con-
sistent with DOT and EPA
International Shipments
Designation of and delivery
to permitted facilities
Investigation of unreturned
shipments
1-L, Submission of reports

























-

•

•
•


STANDARDS FOR TRANSPORTERS - [See 40 CFR §271.11]
The State needs the authority to regulate all transporters  EPA  regulates  under
40 CFR Part 263.
Authority to promulgate
regulations on:
1. 1.0. numbers
2. Recordkeeplng
3. Labeling
4. Compliance with
manifest system
5. Spill notification
6. Spill clean-up


















                                    2.7-3

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STATUTORY ELEMENT
7. Transportation to
permitted facility
8. Consistency with
DOT regulations
STATE CITE


COVERAGE
YES/NO?


COMMENT


STANDARDS FOR HW STORAGE, TREATMENT, AND DISPOSAL FACILITIES -
  [See 40 CFR §2.71.12]

The State needs the authority to regulate all of the owners and operators of
hazardous waste management facilities whom EPA regulates.
Authority to promulgate
regulations on:
1. 1.0. numbers
2. Recordkeeplng
3. Reporting
4. Monitoring
5. Inspecting
6. Compliance with
manifest system
7. Operating methods
8. Location, design,
construction
9. Contingency plans
10. Training
11. Ownership
12. Closure and Post-
Closure' activities
13. Continuity of
operation
14. Financial
responsibility
IS. General conditions (see 40
CFR §§270.30































-



^









PERMITS FOR HW STORAGE, TREATMENT AND DISPOSAL FACILITIES -  [See 40  CFR  §271.15
  and 271.13]
1.
2.
Require Permits for owners
and operators of all TSO
facilities
Impose construction ban




•

                                    2.7-4

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STATUTORY ELEMENT
3. Prohibit operation of
facilities without permits
(State may have an analogue
to Interim status)
4. Require permit
application Information
5. Require permits to contain
all technical and administra-
tive standards
6. Provide for permit modifi-
cations and termination
(revocation)
7. Allow public disclosure of
name and address of permit
applicants and permittees
STATE CITE





COVERAGE
YES/NO?





COMMENT





PUBLIC PARTICIPATION
Authority to provide:
1. Draft permit, fact
sheet, etc.
2. Notice of all draft
permits by radio
broadcasts and notices
1n newspapers etc.
3. 45-day public comment
period on all draft
permits
4. Informal hearing with
written notice of
opposition
5. Consideration of and re-
sponse to public comments











•



INSPECTIONS
1. Right to enter, Inspect and
obtain samples (at all
regulated premises and where
records are kept)



ENFORCEMENT - [See 40 CFR §271.16]
Authority to:
1. Immediately restrain
unauthorized activity
2. Sue to enjoin any threatened
or continuing program viola-
tion without prior revocation
of permit
"





                                    2.7-5

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STATUTORY ELEMENT
3. Obtain civil penalties for
any violation (maximum no
less than S10K per day)
4. Obtain criminal penalties- for
specified violations (maximum
no less than $10K per day and
imprisonment with maximum no
less than six months); burden
of proof no greater than unde
Federal law
5. Allow intervention
(see 40 CFR §271.16(d)
STATE CITE



COVERAGE
YES/NO?



COMMENT



MISCELLANEOUS
1.
2.
3.
4.
5.
Authority to share all
information with EPA
Variance and waiver
provisions*
Importation ban*
Exemptions*
Sitinq*














•
  May create problems for a State seeking authorization.
                                    2.7-6

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                                 •CHAPTER 2.8

                  CHECKLIST FOR COMPLETENESS OF SUBMISSION
 Introduction


     EPA  specifies the  elements  of  a  State  program submittal  in §271.5.
 Other  Chapters  in this  Manual  explain  the  purpose and  content of  the
 individual elements of the submittal.

     The  Checklist in this  Chapter is  intended  to help  the  State and EPA
 verify that  all  required  aspects of the  State  program are addressed in the
 application.    The  checklist  is  helpful  in  determining  the  completeness of
 any program  submission;  however it does not imply a judgment of the quality
 or adequacy of the items submitted.


 Content
     The Checklist  for Completeness  of Submission  identifies  the required
document, letter, form, memorandum,  statute, etc. in the first column.  The
second  column  identifies  the Chapter  in  this  manual  which  describes the
contents of the item listed in column 1.  The third column cites the federal
regulation,  by section and subsection, which requires submission: of the item
in column 1.
                                  2.8-1

-------
                  Checklist for Completeness  of  Submission
DOCUMENT
MANUAL
CHAPTER
40 CFR CITE
I.     Governor's Letter
      Requesting Authorization
      (A)  Signature
2.1
271.5 (a)(l)
II.    Complete Program Description
      (A)  Narrative, Scope, Structure,
           and Processes
      (B)  Identification of Lead Agency
      (C)  Description of State Agency
      (D)  Description of Staff
      (E)  Budget
      (F)  Sources of Funds and Restrictions
      (G)  Description of Permitting and
           Administrative or Judicial .
           Review Procedures
      (H)  Description of Compliance and
           Enforcement Program
      (I)  Description of Manifest Tracking
           System
      (J)  Estimated Number of Generators,
           Transporters On-Site and Off-Site
           Treatment Storage and Disposal
           Facilities and Their Permit Status
      (K)  Quantities of Hazardous Waste
           Generated In State, Transported In
           and Out of State, and Treated or
           Disposed of Within the State  On-
           and Off-Site (if available)
      (L)  Forms:
           1.   Permit Application Form(s)
           2.   Final Permit Form(s)
           3.   Report Form(s)
           4.   Manifest Form(s)
2.2
271.6
271.6(a)

271.6(b)
271.6(b)
271.6(b)(l)
271.6(b)(2)
271.6(b)(3)
271.6(c)
          271.6(e)

          271.6(f)

          271.6(g)



          271.6(h)




          271.6(d)
III.  Attorney General's Statement
      (A)  Identification and Listing
      (B)  Standards for Generators
      (C)  Standards for Transporters
      (D)  Standards for Facilities
      (E)  Requirements for Permits
      (F)  Inspections
      (G)  Enforcement Remedies
      (H)  Public Participation in the
           State Enforcement Process
      (I)  Authority to Share Information
           With EPA
      (J)  Signature
 2.3
 271.7
 271.9
 271.10
 271.11
 271.12
 271.13,  271.14
 271.15
 271.16(a),(b) & (c)

 271.16(d)

 271.17
 271.7(a)
                                  2.8-2

-------
 DOCUMENT
MANUAL
CHAPTER
40 CFR CITE
 IV.   Memorandum of Agreement (MOA)
      (A)  Provisions for transfer
           of  information
      (8)  Frequency and Content of Reports
      (C)  Conditions for Record Reviews
      (D)  Provisions for Compliance
           Monitoring and Enforcing
      (E)  Provisions for Joint
           Permit Review
      (F)  Provisions for Modification of MOA
      (G)  Provisions for Inspection of
           Hazardous Waste Facilities
      (H)  Provisions for Inspection of
           Generators and Transporters
      (I)  Provisions for permit review
      (J)  No  restrictions clause
      (K)  Confidentiality Provisions
      (L)  Signatures
2.4       271.8
          271.8(b)(6)

          271.8(b)(2)
          271.8(b)(2)
          271.8(b)(3)

          271.8(b)(8)

          271.8(b)(ll) & (c)
          271.8(b)(4)

          271.8(b)(4)

          271.8(b)(7) & (b)(9)
          271.8(a) & (b)(5)
          271.17)
          271.8 & 270.2
V.    Legislation (statutes)
      (A)  Hazardous Waste Management
      (8)  Administrative Procedures
      (C)  Other
2.3,
2.6,
2.7
271.5(a)(5)
VI.   Regulations
      (A)  Hazardous Waste Management
      (8)  Other
2.3,
2.7
271.5
-------
                                 APPENDIX A

                     STATE REGULATORY PROGRAM CHECKLIST
      The  checklists  in  this  Appendix are  intended  to assist  the Attorney
 General  and/or  the  State  program office  in  demonstrating that  the State
 qualifies  for final authorization.   The instructions  for  completing these
 checklists  can  be found on page 2.3-4.   The  organization of the checklists
 Coincides  with  the Model  Attorney  General's  Statement  as  listed  below:
     Checklist
     Checklist
     Checklist
     Checklist
     Checklist
     Checklist
     Checklist
     Checklist
               I A
               I B
               I C
               II
               III
               IV A
               IV 8
               V
Identification and Listing
Waste Lists
Characteristics
Generator Requirements
Transporter Requirements
Facility Requirements
Facility Interim Status Requirements
Permitting Requirements
Checklist V
   .  Checklist  V  identifies  the  40  CFR  Part  270  and  124  permitting
requirements  for  final  authorization.   State  programs  must  have  legal
authority  to  implement  each non-optional  item on  the  checklist  (see 40 CFR
271.14).   Legal  authority  means  that  the  State analogue  to  the  Federal
requirement must be  reflected in a State law, regulation, published opinion
of the Attorney General or other document with the force of law.
1.   Procedural Requirements

     State programs  also  must be administered  in  accordance  with each item
on the  checklist.   In most instances this  means  that the State requirement
must be reflected explicitly  in a State  regulation.   (Some  State statutes
may  contain  such  explicit requirements,  which would also  be acceptable.)
However, for some  of the primarily procedural  requirements on the checklist
(identified  by asterisks),  the  State  may  be able  to  commit in  the MOA,
rather  than  provide  an  explicit regulation,  to  satisfy  the  requirement of
§271.14.  Such an agreement  will be acceptable  where the  State agency is
willing to bind  itself to a particular procedure (e.g., providing a 45-day,
rather  than  30-day,   public comment  period) in the MOA and  where the State
Attorney General  certifies that  (1)  the  State has  the  authority to enter
into  the aareement.  (2}  the  State has  the  authority   to  carry  out  the
into  the  agreement,   (2)
agreement,  and  (3)  no  applicable  State  statute  (including  the  State
administrative procedure act)  requires  that the procedure be promulgated as
a  rule  in order  to be  binding.   For  further  discussion, see  page 1.3-7.
                                 A-l

-------
2.    Optional Requirements

     Some elements  in Checklist  V are labeled  "Optional."   The  State does
not need to  provide  for a counterpart to these requirements; however, where
the State does  have  a similar requirement, the requirement must be at least
as stringent as the Federal one.


3.    Contents of Permit Applications

     The State  does  not need to use  a  two part permit application process.
Also, State  regulations  need not list all  items  in 270.13-29;  however, the
State must require that permit applications from new and existing facilities
contain  adequate  information for  the  State  to  establish and  determine
compliance with  all  permitting requirements (the State analogues  to  40 CFR
Parts 270 and 264).
                                 A-2

-------
                                      CHECKLIST I A




                               IDENTIFICATION AND LISTING
FEDERAL REQUIREMENT
RCRA CITE
STATE AUTHORITY
STATUTE REGULATION
IF DIFFERENT FROM FEDERAL
REQUIREMENT, EXPLAIN
                                  SUBPART A - GENERAL
DEFINITION OF SOLID WASTE
solid waste
waste material
discarded
disposed of
manufacturing or
mining byproduct
261. 2(a)
261. 2(b)
261. 2(c)
261. 2(d)
261.2(e)










DEFINITION OF HAZARDOUS WASTE
not excluded by 261. 4(b)
has characteristic
of Subpart C
listed 1n Subpart D
mixture
exceptions
meets listing
description
hazardous waste added
exhibits characteristics
remains hazardous waste
generated from treatment
waste not exhibiting
characteristics
excluded under 260.20
and 260.22
261.3(a)(l)
(1)
261.3(a)(2)
(11)
261.3(a)(2)
(111)
261.3(a)(2)
(1v)
261.3(a)(2)
261.3(b)(l)
261.3(b)(2)
261.3(b)(3)
261.3(c)(l)
261.3(c)(2)
261.3(d)(l)
261.3(d)(2)
























EXCLUSIONS
not solid waste
domestic sewaae
261.4(a)
0)
261.4(a)(l)




                                       A-3

-------
                               CHECKLIST I A (continued)
FEDERAL REQUIREMENT
mixture
Industrial wastewater
Irrigation return
nuclear material
1n-s1tu mining
solid waste which are
not hazardous wastes
household waste
returned to soil
as fertilizers
mining overburden
ash waste
drilling fluids

ore processing
cement kiln
discarded wood
exempt hazardous waste
samples
RCRA CITE
(11)
261.4(a)(l)
261.4
-------
                               CHECKLIST I A (continued)
FEDERAL REQUIREMENT
generator requirements
1n order to nave
waste excluded
comply with 262.11
storage
treatment or disposal
mixing with non-
hazardous waste
mixing with a sol Id
waste
RCRA CITE
261. 5(q)
261.5(q)(l)
261.5(q)(2)
261.5(g)(3)
261. 5(h)
261.5(1)
STATE AUTHORITY
STATUTE REGULATION






IF DIFFERENT FROM FEDERAL
REQUIREMENT, EXPLAIN






SPECIAL REQUIREMENTS FOR HAZARDOUS WASTE WHICH IS USED^ RE-USED, RECYCLED OR RECLAIMED
exemption from
regulations
beneficially used
accumulated for use
specific materials
transportation and
storage requirements
for waste listed 1n
Subpart 0
261. 6(a)
261.6(a)(l)
261.6(a)(2)
261.6(a)(3)
261. 6(b)







•


RESIDUES OF HAZARDOUS WASTE IN EMPTY CONTAINERS
waste remaining 1n
container
container not empty
definition of empty
definition of empty
compressed qas
waste under 261.33(c)
261.7(a)(l)
261.7(a)(2)
261.7(b)(l)
261.7(b)(2)
261.7(b)(3)










                                       A-5

-------
                                                            CHECKLIST  I  8

                                                             WASTE  LISTS
FEDERAL REQUIREMENT
RCRA CITE
STATE AUTHORITY
STATUTE REGULATION
IF DIFFERENT
REQUIREMENT,
FROM FEDERAL
EXPLAIN
                                         SU8PART 0  -  LIST  OF  HAZARDOUS  WASTES
GENERAL
excl uslons
hazard codes
hazardous waste number
261.30(a)
261.30(b)
261.30(c)






HAZARDOUS WASTES FROM NONSPECIFIC SOURCES
list of "F" wastes
261.31

,
§ 261.31   Hazardous wastt from non«p*e4flc tourc**.
      'VUWOOUt »•i«na.
«002



SOW


foot


«19
poor

foot

foot

foio

con
                            •«a. careon tavacMonM. and cruomaiad rkjorocareon*. «nd tluogat from Tw 'ig) •> e< TMM to*
                                                                                                                  a». >.t.i-
                                                                                                            a*gr«u«ig oovioon*.

                                                                        •nj n3tao*janr**r*f*. tre in* >M booem* from it* r»ce»«»'>
                                                                                                                                 (T)

                                                                                                                                 m
                            (2) «n ouang on careon »UM* (3) VK pueng iMervgawd MM) on careen iw«t (4) akjrmwn or
                            (SI OMmg/urppng «iino«i«ii wot M. me «na tunnxi oueng on caraon tu«t ind (6) " •
                           WaaMvaiv VMMMni K^»g»l mm irw cfwneal carr**ruo* OMUng ol	
Seem cyana* ptaang
  laMcni).
    I M«
                                                toMon* Iran «»mfOpniing

                                                  aoflom  »>• Broeau (neap) 'or graooua

                                                                                                              n««ait rwai »4trg want
                                          -w >»• Mm 001 Oaanng).
                                         liar vwonam wioon »om m«al rwai traaong ooaraMna lAar* cyanda* «r» uaad *• *«• proc*u («icap> lor graoou*
            arto csaartrtg bam in    .• ..^.. i .•• im  ^^ «
            EMang ieaM Mnpong «na ctaaiwg Mm loiuaon

       rwai-raaang Tu«nef»r>j Mm 
-------
                                   CHECKLIST  I  8 (continued)
FEDERAL REQUIREMENT .
RCRA CITE
STATE AUTHORITY
STATUTE REGULATION
IF DIFFERENT FROM FEDERAL
REQUIREMENT, EXPLAIN
 HAZARDOUS WASTES FROM  SPECIFIC  SOURCES
Hst
of
11 K"
wastes
261.
32


} 281.32  Hazardous wa»tt from »p*clflc source*.
nuaraoui m
wood f»»»«r»«aort
X001
KOW 	
K003
KOO4 	
K003 ... 	
K008...

xoat.
Onjtnf QwmcM:
KOO* 	
K010 	
KOI1 ..
K01J 	 	 	
K014 	
K01S
K01S
KOI'
KOM
KOI9 '
K020

< •••••••m miujai ai ifx LJIUUULIILHI u) luyhjiauyt , , 	 ,,„ 	 ,

p^<|iiilu ltom 9m ^ju,-^^, ounvumn cownn n in* orooucaanaiKnmm*
	 Sai bonono Horn m* atmnaan o« B*nrr< enon)» 	 _ 	 	






OnUtooon ooflom l*n »om tn* oredunon o> pn*nei/K*ion* Ironi cv*n*n*.

"KK1 ujnomt^ ^y *r«di frem n* PIJI'I «ndi oafejrvi vwn •>• oraducfan of M I fftfvanwtfwv


•fnowi rt«,jii*i him irt*n* juii^iun riu.ii lu J_I_ILW% al in»w


- ^^. . ^ ^••iii fc^» at* *i •• x n ^-^"••rBi M« vu * "f^i ^ iiMmVMiam*



Sy-fftmuo ua a*n*rimi m *M eradunon o« USUA end e*oed>*e «o«
- W'ttttvvVMf WCOTIMrt AlUd^V ^O^* ^V pfOdU^^O*^ Ot OB>OPdBrt9 .


Stt oo*Vaitn from to *ndi v iMtMtton fwdum kom c^« OfUUrot ol l***enorob*>u*n* « it«* oroducwi ol 2.4. S-r
U«w*«t*d wt«i«w«t*r mm n* prooua-on of ?.«-O
Muvd cod* •
(Ti
(T)
rn
m

ro

(T)
(T)
(T)


(T)
m
(T)
m
rn
(T)
(T)
m
(Tl
rn
/Tt

(Tl
(T)
(Tl
ft)
(T)
(Tl
(T)
rn
(T)
(T)
m
m
m


rn
m
m
(Tl
(Tl
m
m
m
m
m
m
m
rn
m
                                           A-7

-------
                                               CHECKLIST  I  8  (continued)
FEDERAL REQUIREMENT.
RCRA CITE
STATE AUTHORITY
STATUTE REGULATION
IF DIFFERENT FROM FEDERAL
REQUIREMENT, EXPLAIN
HAZARDOUS WASTES  FROM  SPECIFIC  SOURCES
list  of "K"  wastes
                                      261.32  (continued)
      I™JU»carr
                         Wa«» wtcnrq iom»n from ted u«cnnf Of
                                                              i eomroi Outl/Vudg* from weonUry IMO vn*nng
                         Wnt«v«v VMtnwm Uuoon OfnartiM «»s VM prooucion of •«i*nn«Y anvmiewtjOM from vMrae or arg«n».«Mnc oomoowiai
                         OwMMn lv ftiami front tr>« i««i«ra«i « wMfw-ouM comoouodt »v afwm*c«uKcaH> irom v
                          orotno-arMrac compawM*.
                              i from trvt u» oo\jctan o> wMnnvr i
-------
                                 CHECKLIST I 8  (continued)
FEDERAL REQUIREMENT
.RCRA CITE
STATE AUTHORITY
STATUTE REGULATION
IF DIFFERENT
REQUIREMENT,
FROM FEDERAL
EXPLAIN
DISCARDED  COMMERCIAL CHEMICAL  PRODUCTS, OFF-SPECIFICATION SPECIES,  CONTAINER  RESIDUES,
AND SPILL  RESIDUES THEREOF
are hazardous when
discarded
chemical product or
Intermediate
off-specification
product
empty container
residue
spill cleanup debris
acute hazardous wastes
261.33
261.33(a)
261.33(b)
261.33(c)
261.33(d)
261.33(e)












                                                    •••UNO
                                                            1.2.3.4.10.1 »MnaeNen> l.4.4«.5.«.|«.
                                         A-9

-------
CHECKLIST  I  8  (continued)
FEDERAL REQUIREMENT
acute hazardous wastes
RCRA CITE
261.33(e)
STATE AUTHORITY
STATUTE REGULATION
(continued)
IF DIFFERENT FROM FEDERAL
REQUIREMENT, EXPLAIN

                        •UMNO.
                                              •Od.  O.Oi*«»n«  S.
                      P107..
                      P1M..
Sodwnabd*
SodluBi cycnd*
S»en«un i^fld*
SrycmdhviO-on*.
                                            
-------
                                                CHECKLIST  I  8  (continued)
FEDERAL REQUIREMENT .
toxic wastes
RCRA CITE
261.33(f)
STATE AUTHORITY
STATUTE REGULATION

IF DIFFERENT
REQUIREMENT,
FROM FEDERAL •
EXPLAIN

                        SutMUnc*
                                                                      Sutnune*
U001
                                                                                                                                JH-
                                                                                                        e»«3ceuU(e.al pmunn j<
                                                                                          Ooat	
                                                                                          U13J		
                                                                                          uai	_	_..
                                                                                          ijfrfj          OfcvirtOl*
                                                                                          uon	 i.«.»-i
                                                                                          O0*«..__	 l.27.t
                                                                                          U009_

                                                                                          uoro....
                                                                                          uon....
                                                                                          uorj_
                                                                                          UOT3..
                                                                                          U074._	 I.«-Ok3«»»J-ei
                                                                                          U07S._	 OenvocMxran
                                                                                          U1«	
                                                                                         U061	:  OuvoredKV
                                                                                         U07I	  M-OfeMarwairMr
                                                                                         U07»	  IJOeM»w«Vw
                                                                                         UOIS	  0«J>»o»qv ••>•
                                                                                         UM1	„.
                                                            A-ll

-------
                          CHECKLIST  I  8  (continued)
FEDERAL REQUIREMENT
toxic wastes
RCRA CITE
261.33(f)
STATE AUTHORITY
STATUTE REGULATION
(continued)
IF DIFFERENT FROM FEDERAL
REQUIREMENT, EXPLAIN

i Ma
                                              Ma
UH2
UII3
U2M
UOM
U114
U067.._
U077
U1U._
                (I)
      E9y acryut* (I)
      Elty eweorw
      Effiyt 4.4-^ieMoreMnnUM
      ElXUn* ent* (I.T)
                                                                   i. 2.4. 5.8.7. «.9-oet*-
                                                   4.7.U«tunaniMn.
                                                     CMoro- 34.4.
                                     A-12

-------
                                               CHECKLIST  I  3  (continued)
FEDERAL REQUIREMENT
toxic wastes
RCRA CITE
261.33(f)
STATE AUTHORITY
STATUTE REGULATION
(continued)
IF DIFFERENT FROM FEDERAL
REQUIREMENT, EXPLAIN

             Pfiunct. 2
-------
                                     CHECKLIST I C



                                    CHARACTERISTICS
FEDERAL REQUIREMENT
RCRA CITE
STATE AUTHORITY
STATUTE REGULATION
IF DIFFERENT FROM FEDERAL
REQUIREMENT, EXPLAIN
                    SUBPART C - CHARACTERISTICS OF HAZARDOUS WASTE
CHARACTERISTIC OF IGNITABILITY
liquid/flash point less
than 60°C.
non- liquid/burns under
standard temperature
and pressure
1gn1table compressed gas
oxldlzer
EPA number D001
261.21(a)(l)
261.21(a)(2)
261.21(a)(3)
261.21(a)(4)
261. 2Kb)






•



CHRACTERISTIC OF CORROSIVITY
aqueous/ph < 2 or > 12.5
Hgu Id/corrodes steel
EPA number D002
261.22(a)(l)
261.22(a)(2)
261.22(b)






CHARACTERISTIC OF REACTIVITY
unstable/violent change
reacts violently
with water
potentially explosive
generates toxic gases
cyanide or sulflde bear-
ing/generates toxlcgases
detonatl on/exp 1 os1 on ,
1f heated
detonatl on/expl os 1 on
at STP
forbidden explosive
EPA number D003
261.23(a)(l)
261.23(a)(2)
261.23(a)(3)
261.23(a)(4)
261.23(a)(5)
261.23(a)(6)
261.23(a)(7)
261.23(a)(8)
261.23(b)


















CHARACTERISTIC OF EP TOXICITY
test cr1t1er1a and
waste 11st
EPA numbers
261.24(a)
261.24(b)




                                       A-14

-------
                                     CHECKLIST II




                                GENERATOR REQUIREMENTS
FEDERAL REQUIREMENT
RCRA CITE
STATE AUTHORITY
STATUTE REGULATION
IF DIFFERENT FROM FEDERAL
REQUIREMENT, EXPLAIN
                                  SU8PART A - GENERAL
PURPOSE. SCOPE, AND APPLICABILITY
on site generators
Importer
farmer's requirements
Compliance requirements
and penalties
Initiators of shipment
262.10(b)
262.10(c)
262.10(d)
262.10(e)
262.10(f)










HAZARDOUS WASTE DETERMINATION
Excluded under 261.4
listed 1n Subpart D,
Part 261
Identified 1n Subpart
C, Part 261
testing
characteristics
262.11(a)
262. 1Kb)
262.11(c)
262.11(c)(l)
262.11(c)(2)





•




EPA IDENTIFICATION NUMBERS
number required"
application
offers prohibited
262.12(a)
262.12(b)
262.12(c)






                               SUBPART B - THE MANIFEST
GENERAL REQUIREMENTS
off-site transportation
262.20(a)


                                       A-15

-------
                                CHECKLIST II (continued)
FEDERAL REQUIREMENT
facility
alternate
failure to deliver
RCRA CITE
262.20(b) -
262.20(c)
262.20(d)
STATE AUTHORITY
STATUTE REGULATION



IF DIFFERENT
. REQUIREMENT,
FROM FEDERAL
EXPLAIN


-
REQUIRED INFORMATION
document number
name, address, phone
number, EPA 1.0. number
name, 1.0. number of
transporter
name, address, I.D.
number of Facilities
description per
49 CFR 172
quantity, type, number
certification
262.21(a)(l)
262.21(a)(2)
262.21(a)(3)
262.21(a)(4)
262.21(a)(5)
262.21(a)(6)
262. 2Kb)




«









NUMBER OF COPIES
file Copies
262.22


USE OF THE MANIFEST
generators duties
generators signature
transporter signature/
date
retain copy
copies to transporter
shipment by water
shipment by railroad
262.23(a)
262.23(a)(l)
262.23(a)(2)
262.23(a)(3)
262.23(b)
262.23(c)
262.23(d)














                        SUBPART C - PRE-TRANSPORT REQUIREMENTS
PACKAGING
generator's duty
262.30


                                       A-16

-------
                                CHECKLIST II (continued)
FEDERAL REQUIREMENT
RCRA CITE
STATE AUTHORITY
STATUTE REGULATION
IF DIFFERENT FROM FEDERAL
REQUIREMENT, EXPLAIN
 LABELING
generator's duty
262.31


MARKING
package
container
262.32(a)
262.32(b)




PLACARDING
generator's duty
262.33


ACCUMULATION TIME
90 days without a
permit provided that
containers
dated
labeled
compliance with 265
criteria for extension
when stored over
90 days
262.34(a)
262.34(a)(l)
262.34(a)(2)
262.34(a)(3)
262.34(a)(4)
262.34(b)











•
                        SU8PART 0 - RECORDKEEPING AND REPORTING
RECORDKEEPING
copies retained
biennial report and
exception report
test results and
analyses
automatic extension
262.40(a)
262.40(b)
262.40(c)
262.40(d)





^


BIENNIAL REPORTING
off-site shipper
on-site handler
262.41(a)
262. 4Kb)




                                       A-17

-------
                                CHECKLIST II (continued)
FEDERAL REQUIREMENT
RCRA CITE
STATE AUTHORITY
STATUTE REGULATION
IF DIFFERENT FROM FEDERAL
REQUIREMENT, EXPLAIN
EXCEPTION REPORTING
copy of manifest not
received/33 days
exception report/
45 days
copy of manifest
letter
262.42(a)
262.42(b)
262.42(b)(l)
262.42(b)(2)








ADDITIONAL REPORTING
quantity and
disposition
262.43


                            SUBPART E - SPECIAL CONDITIONS
INTERNATIONAL SHIPMENTS
requirements for
Importers or exporters
exporters duties
contents of written
notice to Director
confirm delivery
exceptions to meeting
manifest requirements
exception report
crltlera
exception to manifest
for Importers
262.50(a)
262.50(b)
262.50(b)(l)
262.50(b)(2)
262.50(b)(3)
262.50(c)
262.50(d)














FARMERS
pesticide container
262. 51


                                       A-18

-------
                                     CHECKLIST III



                                TRANSPORTER REQUIREMENTS
FEDERAL REQUIREMENT.
RCRA CITE
STATE AUTHORITY
STATUTE REGULATION
IF DIFFERENT FROM FEDERAL
REQUIREMENT, EXPLAIN
                                  SUBPART A - GENERAL
SCOPE
transportation standards
on-s1te transportation
excluded
other regulations
applicable
Importers of waste
mixers of waste
263.10(a)
263.10(b)
263.10(c)
263.10(c)(l)
263.10(c)(2)










EPA IDENTIFICATION NUMBER
number required
application
263.11(a)
263. 1Kb)



-
TRANSFER FACILITY REQUIREMENTS
exception
263.12


           SUBPART B - COMPLIANCE WITH THE MANIFEST SYSTEM AND RECORDKEEPING
MANIFEST SYSTEM
manifest required
signature and date
accompanies waste
delivery to another
transporters
water shipments
delivered by water
shlpplnq paper
signature of owner
signature of
transporter
copies retained
263.20(a)
263.20(b)
263.20(c)
263.20(d)
263.20(e)
263.20(e)(l)
263.20(e)(2)
263.20(e)(3)
263.20(e)(4)
263.20(eX5)




















                                       A-19

-------
                               CHECKLIST III (continued)
FEDERAL REQUIREMENT
rail shipments
Initial rail
transporter
shipping paper
delivery to facility
delivery to non-rail
transporter
acceptance from rail
transporter
exporters
date
signature
return copy
RCRA CITE
263.20(f)
263.20(f)(l)
263.20(f)(2)
263.20(f)(3)
263.20(f)(4)
263.20(f)(S)
263.20(q)
263.20(q)(l)
263:20(q)(2)
263.20(q)(3)
STATE AUTHORITY
STATUTE REGULATION










IF DIFFERENT FROM FEDERAL
REQUIREMENT, EXPLAIN
-









COMPLIANCE WITH MANIFEST
quantity
designated facility
alternate facility
transporter
place outside U.S.
Inability to deliver/
revision of manifest
263.21(a)
263.21(a)(l)
263.21(a)(2)
263.21(a)(3)
263.21(a)(4)
263. 2Kb)






*





RECOROKEEPING
retain copies
water transporter
rail transporter
exporter
automatic extension
263.22(a)
263.22(b)
263.22(c)
263.22(d)
263.22(e)










                                       A-20

-------
                               CHECKLIST III (continued)
FEDERAL REQUIREMENT
RCRA CITE
STATE AUTHORITY
STATUTE REGULATION
IF DIFFERENT FROM FEDERAL
REQUIREMENT, EXPLAIN
                        SU8PART C - HAZARDOUS WASTE DISCHARGES
IMMEDIATE ACTION
transporter action
remova 1 /authorl zatl on
by official
duties of transporter
notice
report
water transporter
263.30(a)
263.30(b)
263.30(c)
263.30(c)(l)
263.30(c)(2)
263.30(d)












DISCHARGE CLEAN-UP
transporter duty
263.31


                                       A-21

-------
                                    CHECKLIST IV A



                                 FACILITY REQUIREMENTS
FEDERAL REQUIREMENT
RCRA CITE
STATE AUTHORITY
STATUTE REGULATION
IF DIFFERENT FROM FEDERAL
REQUIREMENT, EXPLAIN
                                  SUBPART A - GENERAL
APPLICABILITY
all o and o of TSDFs
with exceptions
ocean disposal/
permit by rule
UIC/perm1t by rule
POTW/perm1t by^rule
post authorization
rule making
exceptions
264. l(b)
264. l(c)
264. l(d)
264. l(e)
264. l(f)
264. l(g)












                        SUBPART B - GENERAL FACILITY STANDARDS
•
IDENTIFICATION NUMBER
EPA number required
264.11
NOTICES
hazardous waste from
foreign source
hazardous waste from
off-site source
new o/o
264.12(a)
264.12(b)
264.12(c)









GENERAL WASTE ANALYSIS
waste analysis
waste analysis plan
off- site facility
waste analysis plan
264.13(a)
264.13(b)
264.13(c)
•





SECURITY
entry
surveillance
barrier and control
sign
264.14(a)
264.14(bXl)
264.14(b)(2)
264.14(c)








                                       A-22

-------
                              CHECKLIST IV A (continued)
FEDERAL REQUIREMENT
RCRA CITE
STATE AUTHORITY
STATUTE REGULATION
IF DIFFERENT FROM FEDERAL
REQUIREMENT, EXPLAIN
GENERAL  INSPECTION REQUIREMENTS
Inspections
schedule
remedies
recordkeeplng
264.l5(a)
264.lS(b)
264.15(c)
264.l5(d)








PERSONNEL TRAINING
training
timing of Instruction
annual review
recordkeeplnq
training records
264.16(a)
264.l6(b)
264.16(c)
264.l6(d)
264.16(e)









.
GENERAL REQUIREMENTS FOR IGNITA8LE, REACTIVE, OR INCOMPATIBLE WASTES
precautions
264. 17


LOCATION STANDARDS
seismic
floodplalns (applicable
only to subparts I, J,
K, L, & 0)
264.18(a)
264.18(b)




                        SUBPART C - PREPAREDNESS AND PREVENTION
DESIGN AND OPERATION OF FACILITY
requirements
264.31


REQUIRED EQUIPMENT
Internal communications
or alarm
telephone or equivalent
fire extinguisher
water
264.32(a)
264.32(b)
264.32(c)
264.32(d)








                                       A-23

-------
                               CHECKLIST IV A (continued)
FEDERAL REQUIREMENT
RCRA CITE
STATE AUTHORITY
STATUTE REGULATION
IF DIFFERENT FROM FEDERAL
REQUIREMENT, EXPLAIN
TESTING AND MAINTENANCE OF EQUIPMENT
assurance
264.33


ACCESS TO COMMUNICATIONS OR ALARM SYSTEM
handling hazardous
waste
one employee only
264.34(a)
264.34(b)




REQUIRED AISLE SPACE
requirement
264.35


ARRANGEMENTS WITH LOCAL AUTHORITIES
arrangements
document refusals
264.37(a)
264.37(b)



.
                     SU8PART D - CONTINGENCY PLAN AND EMERGENCY PROCEDURES
PURPOSE AND IMPLEMENTATION OF CONTINGENCY PLAN
purpose
Implementation
264.51(a)
264.51(b)




CONTENT OF CONTINGENCY PLAN
actions to take
SPCC
local police etc.
names and addresses
emergency equipment
evacuation
264.52(a)
264.52(b)
264.52(c)
264.52(d)
264.52(e)
264.52(f)












COPIES OF CONTINGENCY PLAN
facility
local police etc.
264.53(a)
264.53(b)




                                       A-24

-------
                               CHECKLIST IV A (continued)
FEDERAL REQUIREMENT
RCRA CITE
STATE AUTHORITY
STATUTE REGULATION
IF DIFFERENT FROM FEDERAL
REQUIREMENT, EXPLAIN
AMENDMENT OF CONTINGENCY PLAN
faci 1 ity permit
revision
plan failure
facility change
list of coordinator
change
list of equipment
change
264. 54(a)
264.54(b)
264.54(c)
264.54(d)
264.54(e)










EMERGENCY COORDINATOR
duties
264.55


EMERGENCY PROCEDURES
procedures
release, fire, explosion
hazard assessment
reporting
measures during
emergency
stop operation
procedures
pjost- emergency -TSD
procedures after
emergency
notifications
operation record
264.56(a)
264.56(b)
264.56(c)
264.56(d)
264.56(e)
264.56(f)
264.56(q)
264.56(h)
264.56O)
264.56(j)


















• •

               SU8PART E -  MANIFEST SYSTEM,  RECOROKEEPING,  AND REPORTING
APPLICABILITY
both on & off-site
facilities. §71, 72 &
76 do not apply to o/o
of on-site facilities
that do not receive
from off-site
264. 70


                                       A-25

-------
                               CHECKLIST IV A (continued)
FEDERAL REQUIREMENT
RCRA CITE
STATE AUTHORITY
STATUTE REGULATION
IF DIFFERENT FROM FEDERAL
REQUIREMENT, EXPLAIN
USE OF MANIFEST SYSTEM
waste accompanied
by manifest
waste accompanied by
shipping paper
264.71(a)
264.71(b)




MANIFEST DISCREPANCIES
definitions
action on discovery 	
264.72(a)
264.72(b)




OPERATING RECORD
record
information
264.73(a)
264.73(b)




AVAILABILITY, RETENTION, DISPOSITION OF RECORDS
availability
retention j>eriod
copies
264.74(a)
264.74(b)
264.74(c)






BIENNIAL REPORT
report requirements
264.75


UNMANIFESTED WASTE -REPORT
report requirements
264.76


ADDITIONAL REPORTS
fires, explosions
facility closure
264.77(a)
264.77(c)




SU8PART F - GROUNDWATER PROTECTION
APPLICABILITY .
TSD in SI, WP,
LT or LF
264.90(a)


                                       A-26

-------
                               CHECKLIST IV A (continued)
FEDERAL REQUIREMENT
exemptions
time period
RCRA CITE
264.90(b)
264.90(c)
STATE AUTHORITY
STATUTE REGULATION


IF DIFFERENT FROM FEDERAL -
REQUIREMENT, EXPLAIN


REQUIRED PROGRAMS
detection monitoring,
compliance monitoring,
correction action
specified in permit
264.91(a)
264.91(b)




GROUNOWATER PROTECTION STANDARD
owner must comply
264.92


HAZARDOUS CONSTITUENTS
specified in permit
exemption considerations
other considerations
264.93(a)
264.93(b)
264.93(c)






CONCENTRATION LIMITS
specified in permit
factors for setting
alternate limits
must consider 122.35
264.94(a)
264.94(b)
264.94(c)






POINT OF COMPLIANCE
specified in permit
definition of waste
management area
264.95(a)
264.95(b)




COMPLIANCE PERIOD
specified in permit
beginning
end
264.96(a)
264.96(b)
264.96(c)






                                       A-27

-------
                               CHECKLIST IV A (continued)
FEDERAL REQUIREMENT
RCRA CITE
STATE AUTHORITY
STATUTE REGULATION
IF DIFFERENT FROM FEDERAL
REQUIREMENT, EXPLAIN
GENERAL GROUND-WATER MONITORING REQUIREMENTS
wells
multiple units
well casing
consistency
appropriateness and
accuracy
groundwater surface
elev.
background quality
statistical procedure
264.97(a)
264.97(b)
264.97(c)
264.97(d)
264.97(e)
264.97(f)
264.97(q)
264.97(h)
















DETECTION MONITORING PROGRAM
parameters specified
in permit
owner must have
ground water monitor
system
background values
sjiecifed in permit
owner must determine
ground water quality
owner must determine
flow rate
owner must meet
264.97(d) & (e)
owner must determine- in-
crease over background
actions when increase
occurs
demonstration - increase
from other source
permit modifications
owner must assure
compliance
264.98(a)
264.98(b) '
264.98(c)
264.98(d)
264.98(e)
264.98(f)
264.98(g)
264.98(h)
264.98(i)
264.98(j)
264.98(k)











•
-









COMPLIANCE MONITORING PROGRAM
standard specified
in permit	
264.99(a)
                                       A-28

-------
                               CHECKLIST IV A (continued)
FEDERAL REQUIREMENT
system must comply
concentration limits
specified in permit
concentration wi 11
be determined
flow rate wi 11
be determined
samples must be
analyzed
procedures for samplinq
action when
standards exceeded
demonstration increase
due to other sources
permit modification
compliance must be
assured
RCRA CITE
264.99(b)
264.99(c)
264.99(d)
264.99(e)
264.99(f)
264.99(q)
264.99O)
264.99(j)
264.99(k)
264.99(1)
STATE AUTHORITY
STATUTE REGULATION










IF DIFFERENT FROM FEDERAL
REQUIREMENT, EXPLAIN










CORRECTIVE ACTION PROGRAM
standards set in permit
specific measures set
in permit
permit states time
to begin correction
groundwater monitoring
in corrective action
other corrective actions
period of corrective
action
written notification
permit modification
264.100(a)
264.100(b)
264.100(c)
264.100(d)
264.100(e)
264.100(f)
264.100(q)
264.100(h)
















                         SUBPART G -  CLOSURE AND POST-CLOSURE
APPLICABILITY
closure of all
facilities
post-closure of all
disposal and some other
facilities
264.110(a)
264.110(b)




                                       A-29

-------
                              CHECKLIST IV A (continued)
FEDERAL REQUIREMENT
RCRA CITE
STATE AUTHORITY
STATUTE REGULATION
IF DIFFERENT FROM FEDERAL
REQUIREMENT, EXPLAIN
CLOSURE PERFORMANCE STANDARD
minimizes maintenance
controls, minimizes
post-closure escape
264.111(a)
264.111(b)




CLOSURE PLAN; AMENDMENT OF PLAN
written plan required
describes how and when
facility will be closed
estimates maximum
waste inventory
describes steps to
decontaminate equipment
estimates schedule
of closure
amendment
notification prior to
closure start
264.112(a)
264.112(a)(l)
264.112(a)(2)
264.112(a)(3)
264.112(a)(4)
264.112(b)
264.112(c)













-
CLOSURE: TIME ALLOWED FOR CLOSURE
treat final volume with-
in 90 days or meet cri-
teria for longer period
complete closure within
180 days or meet cri-
teria for longer period
264.113(a)
264.113(b)




DISPOSAL OR DECONTAMINATION OF EQUIPMENT
requirement
at
closure
264.
114


CERTIFICATION OF CLOSURE
requirement
at
closure
264.
115


POST-CLOSURE CARE AND USE OF PROPERTY
continue care 30 years
reduction or extension
of care period
security requirements
post closure use limits
activities in accord
with plan
264.117(a)(l)
264.117(a)(2)
264.117(b)
264.117(c)
264.117(d)










                                       A-30

-------
                              CHECKLIST IV A (continued)
FEDERAL REQUIREMENT
RCRA CITE
STATE AUTHORITY
STATUTE REGULATION
IF DIFFERENT
REQUIREMENT,
FROM FEDERAL
EXPLAIN
POST-CLOSURE PLAN; AMENDMENT OF PLAN
written plan and
specified activities
requi red
amendment
permit modification
timing
264.118(a)
264.118(b)
264.118(c)






NOTICE TO LOCAL LAND AUTHORITY
survey plat
264.119


NOTICE IN DEED TO PROPERTY
requirement to enter
note on deed
conditions for
removal of notation
264.120(a)
264.120(b)




                          SUBPART H - FINANCIAL REQUIREMENTS
APPLICABILITY
to all HWM facilities
to specified facilities
only
State exemption
264.140(a)
264.140(b)
264.140(c)






DEFINITIONS
closure plan
current closure cost
estimate
current post-closure
cost estimate
parent corporation
post-closure plan
terms used in
financial tests
terms used in
liability requirements
264.141(a)
264.141(b)
264.141(c)
264.141(d)
264.141(e)
264.141(f)
264.141(q)














                                       A-31

-------
                              CHECKLIST IV A (continued)
FEDERAL REQUIREMENT
RCRA CITE
STATE AUTHORITY
STATUTE REGULATION
IF DIFFERENT FROM FEDERAL-
REQUIREMENT, EXPLAIN
COST ESTIMATE FOR CLOSURE
o/o must have
adjust for inflation
revise when closure
plan changes
keep at the facility
264.142(a)
264.142(b)
264.142(c)
264.142(d)








FINANCIAL ASSURANCE FOR CLOSURE
options: closure
trust fund
surety bond guaranteeing
payment into a closure
trust fund
surety bond guaranteeing
performance of closure
closure letter of
credit
closure insurance
financial test and cor-
porate guarantee for
closure
use of multiple
financial mechanisms
use of a financial
mechanism for multiple
facilities
release of the o/o from
the requirements of
this section
264.143(a)
264.143(b)
264.143(c)
264.143(d)
264.143(e)
264.143(f)
264.143(q)
264.143(h)
264.143(i)




*








•




COST ESTIMATE FOR POST-CLOSURE CARE
annual cost of post-
closure monitoring
and maintenance
adjust for inflation
revise when post
closure plan changes
keep at facility
264.144(a)
264.144(b)
264.144(c)
264.144(d)








                                       A-32

-------
                              CHECKLIST IV A (continued)
FEDERAL REQUIREMENT
L
  CRA CITE
 STATE AUTHORITY
STATUTE REGULATION
IF DIFFERENT FROM FEDERAL
REQUIREMENT. EXPLAIN
FINANCIAL ASSURANCE FOR POST-CLOSURE CARE
options:
post cros"jre trust fund
surety bond guarantee-
ing payment into a
post-closure trust fund
surety bond guarantee-
ing performance of
post-closure care
post-closure letter
of credit
post-closure insurance
financial test and cor-
porate guarantee for
post-closure care
use of multiple
financial mechanisms
use of a financial
mechanism for multiple
facilities
release of the o/o from
the requirements of
this section
264.145(a)
264.145(b)
264.145(c)
264.145(d)
264.145(e)
264.145(f)
264.145(g)
264.145(h)
264.145(i)

















'
USE OF A MECHANISM FOR FINANCIAL ASSURANCE OF BOTH CLOSURE. AND POST-CLOSURE CARE
funds must be equal to
sum if separate mechan-
isms are used
264. 146


LIABILITY REQUIREMENTS
coverage for sudden
accidental occurrences
coverage for nonsudden
accidental occurrences
request for variance
adjustments by the
Director
period of coverage
financial test for
liability coverage
264.147(a)
264.147(b)
264.147(c)
264.147(d)
264.147(e)
264.147(f)












                                       A-33

-------
                              CHECKLIST IV A (continued)
FEDERAL REQUIREMENT
RCRA CITE
STATE AUTHORITY
STATUTE REGULATION
IF DIFFERENT FROM FEDERAL
REQUIREMENT, EXPLAIN
INCAPACITY OF 0/0, GUARANTORS. OR FINANCIAL INSTITUTIONS
incapacity of o/o or
guarantor
incapacity of financial
institution
264.148ial
264.148(b)




WORDING OF THE INSTRUMENTS
trust agreement
financial guarantee
bond
performance bond
irrevocable standby
letter of credit
certificate of insur-
ance for closure or
post-closure care
letter from chief
financial officer
(financial assurance)
letter from chief
financial officer
pliability coverage)
corporate guarantee for
closure or post-closure
care
hazardous waste facility
liability endorsement
hazardous waste facility
certificate of liabil-
ity insurance
264.151(a)
264.151(b)
264.151(c)
264.151(d)
264.151(e)
264.151(f)
264.151(q)
264.151(h)
264.151(1)
264.15KJ)

'


















                                       A-34

-------
                              CHECKLIST IV A (continued)
FEDERAL REQUIREMENT
RCRA CITE
STATE AUTHORITY
STATUTE REGULATION
IF DIFFERENT
REQUIREMENT,
FROM FEDERAL
EXPLAIN
                     SU8PART I - USE AND MANAGEMENT OF CONTAINERS
APPLICABILITY
storage
264.170


CONDITION OF CONTAINERS
requirements when
containers bad
264.171


COMPATIBILITY OF WASTE WITH CONTAINERS
must be compatible
264.172
MANAGEMENT OF CONTAINERS
Keep closed
care in hand! ing
264.173(a)
264.173(b)


*

INSPECTIONS
weekly
264.174


CONTAINMENT
requires a
containment system
system design and
operation requirements
exception
264.175(a)
264.175(b)
264.175(c)






SPECIAL REQUIREMENTS FOR IGNITABLE OR REACTIVE WASTE
Required distance from
property line
264.176


SPECIAL REQUIREMENTS FOR INCOMPATIBLE WASTES
not to be placed in
same container
Previously used
container
means of separation
264.177(a)
264.177(b)
264.177(c)






CLOSURE
residues must be
removed
264.178


                                       A-35

-------
                              CHECKLIST IV A (continued)
FEDERAL REQUIREMENT
RCRA CITE
STATE AUTHORITY
STATUTE REGULATION
IF DIFFERENT FROM FEDERAL .
REQUIREMENT, EXPLAIN
                                   SUBPART J - TANKS
APPLICABILITY
appl icability^
exceptions
264.190(a)
264.190(b)


DESIGN OF TANKS
design requirements
264.191





GENERAL OPERATING REQUIREMENTS
tank - waste
compatibility
prevention of
overfilling
264.192(a)
264.192(b)




INSPECTIONS
items to be inspected
schedule and procedure
contingency plan
264.194(a)
264.194(b)
264.194(c)



*

'
CLOSURE
closure requirements
264. 197


SPECIAL REQUIREMENTS FOR IGNITA8LE OR REACTIVE WASTES
1 imi ts/condi ti ons for
storage in tanks
NFPA Requirements
264.198(a)
264.198(b)


SPECIAL REQUIREMENTS FOR INCOMPATIBLE WASTES
prohibitions in same
tank
prohibitions in unwashed
tank
264.199(a)
264.199(b)




,


                                       A-36

-------
                              CHECKLIST  IV A  (continued)
FEDERAL REQUIREMENT
RCRA CITE
STATE AUTHORITY.
STATUTE REGULATION
IF DIFFERENT
REQUIREMENT,
FROM FEDERAL
EXPLAIN
                           SUBPART K - SURFACE  IMPOUNDMENTS
APPLICABILITY
apply to TSD facilities
264.220


DESIGN AND OPERATING REQUIREMENTS
for liner design,
construction and
installation
exemption consideration
to prevent overtopping
and malfunctions
for dike performance
specified in the permit
264.221(a)
264.221(b)
264.221(c)
264.221(d)
264.221(e)





DOUBLE- LINED SURFACE IMPOUNDMENTS; EXEMPTION FROM SUBPART
REQUIREMENTS
conditions for exemption
requirements if liquid
leaks into leak detec-
tion system
specified in the permit
264.222(a)
264.222(b)
264.222(c)








- GROUND-WATER PROTECTION



MONITORING AND INSPECTION
during construction and
installation
during operation
after extended inactive
periods
264.226(a)
264. 226(b)
264.226(c)






EMERGENCY REPAIRS; CONTINGENCY PLANS
conditions for removal
from service
immediate actions on
removal from service
compliance procedure
put in contingency plan
conditions for restor-
ation of service
closure required if
not repaired
264.227(a)
264.227(b)
264.227(c)
264.227(d)
264.227(e)










                                       A-37

-------
                              CHECKLIST IV A (continued)
FEDERAL REQUIREMENT
RCRA CITE
STATE AUTHORITY
STATUTE REGULATION
IF DIFFERENT
REQUIREMENT,
FROM FEDERAL
EXPLAIN
CLOSURE AND POST-CLOSURE CARE
closure requirements
post-closure
requi rements
needed plans whenever
liner requirements are
not met
closure cost estimates
post-closure leak
notification
254.228(a)
264.228(b)
264.228(c)(l)
264.228(c)(2)
264.228(d)










SPECIAL REQUIREMENTS FOR IGNITABLE OR REACTIVE WASTE
waste treatment prior
to placement
prevention of reaction
by waste management
emergency placement
264.229(a)
264.229(b)
264.229(c)






SPECIAL REQUIREMENTS FOR INCOMPATIBLE WASTES
prohibited co-disposal
264.230


                                 SUBPART L - WASTE PILES
APPLICABILITY
storage and treatment
facilities
closed piles with
waste in place
piles under a structure
264.250(a)
264.250(b)
264.250(c)






DESIGN AND OPERATING REQUIREMENTS
for liner and leachate
collection system
exemption criteria
run-on control
run-off management
collection & holding
264.251(a)
264.251(b)
264.251(c)
264.251(d)
264.251(e)










                                       A-38

-------
                              CHECKLIST  IV A  (continued)
FEDERAL REQUIREMENT
wind dispersal
specified in permit
RCRA CITE
264.251(f) -
264.251(q)
STATE AUTHORITY
STATUTE REGULATION


IF DIFFERENT FROM FEDERAL
REQUIREMENT, EXPLAIN


DOUBLE-LINED  PILES:  EXEMPTION FROM SUBPART F GROUND-WATER PROTECTION REQUIREMENTS
conditions for
exemptions
leak detection response
practices specified in
the permit
264.252(a)
264.252(b)
264.252(c)






 INSPECTION OF LINERS:  EXEMPTION FROM SUBPART F GROUND WATER PROTECTION REQUIREMENTS
conditions for
exemptions
leak detection response
permit specification
264.253(a)
264.253(b)
264.253(c)






MONITORING AND INSPECTION
during construction or
installation
during operation
264.254(a)
264.254(b)




SPECIAL REQUIREMENTS FOR IGNITABLE OR REACTIVE WASTE
treatment
protection by waste
management
264.256(a)
264.256(b)




SPECIAL REQUIREMENTS FOR INCOMPATIBLE WASTES
co-placement
prohibitions
waste separation
base decontam-
ination
264.257(a)
264.257(b)
264.257(c)






CLOSURE AND POST-CLOSURE CARE
closure requirements
post-closure care
needed plans whenever
liner requirements are
not met
cost estimates
264.258(a)
264.258(b)
264.258(c)(l)
264.258(c)(2)








                                       A-39

-------
                              CHECKLIST IV A (continued)
FEDERAL REQUIREMENT
RCRA CITE
STATE AUTHORITY
STATUTE REGULATION
IF DIFFERENT FROM FEDERAL
REQUIREMENT, EXPLAIN
                              SU8PART M - LAND TREATMENT
APPLICABILITY
treatment or disposal
facil ities
264.270


TREATMENT PROGRAM
elements of the program
hazardous constituents
specified in the permit
treatment zone
dimensions specified
264.271(a)
264.271(b)
264.271(c)






TREATMENT DEMONSTRATION
treatment demonstration
required for each waste
acceptable evidence
field/lab test
requirements
264.272(a)
264.272(b)
264.272(c)





.
DESIGN AND OPERATING REQUIREMENTS
minimum requirements
specified in the permit
run-off control
run-on control
storn water run-off
management system
holding facilities
wind dispersal control
inspections
264.273(a)
264.273(b)
264.273(c)
264.273(d)
264.273(e)
264.273(f)
264.273(q)







i



*••


FOOD-CHAIN CROPS
demonstration of no
health risk
demonstration timing
required evidence for
acceptable demonstration
demonstration permit
requirements if waste
contains cadmium
264.276(a)(l)
264.276(a)(2)
264.276(a)(3)
264.276Ca)(4)
264.276(b)





•




                                       A-40

-------
                              CHECKLIST  IV A (continued)
 FEDERAL  REQUIREMENT
RCRA CITE     STATE AUTHORITY
           I  STATUTE REGULATION
IF DIFFERENT FROM FEDERAL
REQUIREMENT, EXPLAIN
 UNSATURATED  ZONE MONITORING
monitoring for specific
constituents
monitoring system
details
background value needed
for each hazardous
constituent
test frequency and
timing
sampling and analysis
procedures
comparison with back-
ground values to
determine statistically
significant change
actions if significant
increase occurs
requirements for
demonstration that
owner not responsible
for increase
264.278(a)
264.278(b)
264.278(c)
264.278(d)
264.278(e)
264.278(f)
264.278(g)
264.278(h)















*
RECORDKEEPING
operating record to
include waste applica-
tion dates and rates
264.279


CLOSURE AND POST-CLOSURE CARE
closure care
closure -certification
post-closure care
exemption
Subpart F exemption
264.280(a)
264.280(b)
264.280(c)
264.280(d)
264.280(e)










SPECIAL REQUIREMENTS FOR IGNITABLE OR REACTIVE WASTES
conditions for disposal
preventive management
•
264.281(a)
264.281(b)




SPECIAL REQUIREMENTS FOR INCOMPATIBLE WASTES
conditions for disposal
264. 282


                                       A-41

-------
                              CHECKLIST IV A (continued)
FEDERAL REQUIREMENT
RCRA CITE
STATE AUTHORITY
STATUTE REGULATION
IF DIFFERENT FROM FEDERAL
REQUIREMENT, EXPLAIN
                                SU8PART N - LANDFILLS
APPLICABILITY
disposal facilities
264.300


DESIGN AND OPERATING REQUIREMENTS
liner requirements
leachate collection &
removal system
exemption
considerations
run-on control
run-off management
holding facilities
management
wind dispersal
control
permit specifications
264.301(a)(i;
264.301(a)(2;
264.301(b)
264.301CO
264.301(d)
2S4.301(e)
264.301(f)
264.301(q)














-

DOUBLE-LINED LANDFILLS: EXEMPTION FROM SUBPART F GROUND-WATER PROTECTION REQUIREMENTS
exemption conditions
actions required if
liquid leaks into
leak detection system
permit specifications
264.302(a)
264.302(b)
264.302(c)






MONITORING AND INSPECTION
during construction or
installation
during operation
264.303(a)
264.303(b)
.



SURVEYING AND RECORDKEEPING
location and dimensions
to be shown on maps
operating record to
record contents of cells
264.309(a)
264.309(b)




                                       A-42

-------
                              CHECKLIST IV A (continued)
FEDERAL REQUIREMENT
RCRA CITE
STATE AUTHORITY 1
STATUTE REGULATION |
IF DIFFERENT FROM FEDERAL-
REQUIREMENT, EXPLAIN
CLOSURE AND POST-CLOSURE CARE
cover requirements
at final closure
mom' tori ng/mai ntenance
in £ost-closure
notification of leakage
detection
264. 310(a)
264.310(b)
264.310(c)






SPECIAL REQUIREMENTS FOR IGNITABLE OR REACTIVE WASTE
placement prohibited un-
less treated to remove
those characteristics
containerized wastes
264.312(a)
264.312(b)


SPECIAL REQUIREMENTS FOR INCOMPATIBLE WASTES
conditions for
Disposal
264.313





SPECIAL REQUIREMENTS FOR LIQUID WASTES
bulk liquid disposal
containerized liquid
disposal
SPECIAL REQUIREMENTS FOR
minimum 90% full; or
crushed
264.314(a)
264.314(b)




CONTAINERS
264.315(a)
264.315(b)




DISPOSAL OF SMALL CONTAINERS OF HAZARDOUS WASTE IN OVERPACKED DRUMS (LAB PACKS)
inside containers
(DOT)
DOT over oackaging
absorbent material
incompatible wastes
reactive wastes
264.316(a)
264.316(b)
264.316(c)
264.316(d)
264.316(e)










                                       A-43

-------
                              CHECKLIST IV A (continued)
FEDERAL REQUIREMENT
RCRA CITE
STATE AUTHORITY
STATUTE REGULATION
IF DIFFERENT
REQUIREMENT,
FROM FEDERAL
EXPLAIN
                                  SUBPART 0 - INCINERATORS
APPLICABILITY
exemptions
exemption for insigni-
fication concentrations
264.340(b)
264.340(c)




WASTE ANALYSIS
in trial burn plan
during normal operation
264.341(a)
264.341(b)




PRINCIPAL ORGANIC HAZARDOUS CONSTITUENTS (POHCs)
must be treated-
basis for selection
in permit
designated in trial
burns
264.342(a)
264.342(b)(i:
264.342(b)(2]






PERFORMANCE STANDARDS
99.99% destruction
HC1 emission control
part icu late emission
control
264.343(a)
264.343(b)
264.343(c)






HAZARDOUS WASTE INCINERATOR PERMITS
exemptions
permit modifications
permits for new
incinerators
264.344(a)
264.344(b)
264.344(c)






OPERATING REQUIREMENTS
specified in the permit
specify operating limits
for each waste feed
composition
start-up and shut-down
conditions
264.345(a)
264.345(b)
264.345(c)






                                       A-44

-------
                              CHECKLIST IV A (continued)
FEDERAL REQUIREMENT
fugitive emissions
automatic cut-off
cessation of operation
RCRA CITE
264.345(d)
264.345(e)
264.345(f)
STATE AUTHORITY
STATUTE REGULATION



IF DIFFERENT FROM FEDERAL
REQUIREMENT, EXPLAIN



MONITORING AND INSPECTIONS
monitoring
daily inspections
weekly inspections
operating log
264.347(a)
264.347(b)
264.347(c)
264.347(d)








CLOSURE
remove residues
264.351


                                       A-45

-------
                                    CHECKLIST IV B



                         FACILITY INTERIM STATUS REQUIREMENTS
FEDERAL REQUIREMENT
RCRA CITE
STATE AUTHORITY
STATUTE REGULATION
IF DIFFERENT FROM FEDERAL
REQUIREMENT, EXPLAIN
                                  SU8PART A - GENERAL
PURPOSE. SCOPE, AND APPLICABILITY
all o/o of TSOFs
with exceptions
persons to whom regs
do not apply
265. Kb)
265. l(c)


^

                        SUBPART B - GENERAL FACILITY STANDARDS
IDENTIFICATION NUMBER
EPA facility
number required
REQUIRED NOTICES
hazardous waste from
foreign source
new o/o
265.11

265.12(a)
265.12(b)







j
GENERAL WASTE ANALYSIS
needed before TSD
actions
may come from existing
sources
must be current and
accurate
off- site o/o duty
waste analysis plan
off-site facility
waste analysis plan
265.13(a)(l)
265.13(a)(2)
265.13(a)(3)
263.13(a)(4)
265.13(b)
265.13(c)









.
'*
'
SECURITY
limited entry with
exemptions
surveillance, or barrier
and controlled entry
signs
265.14(a)
265.14(b)
265.14(c)





*
                                       A-46

-------
                               CHECKLIST IV B (continued)
FEDERAL REQUIREMENT
RCRA CITE
STATE AUTHORITY
STATUTE REGULATION
IF DIFFERENT
REQUIREMENT,
FROM FEDERAL
EXPLAIN
GENERAL  INSPECTION REQUIREMENTS
inspections by o/o
written schedule
remedies
recordkeeping
265.15(a)
265.15(b)
265.15(c)
265.15(d)








PERSONNEL TRAINING
classroom or on-the-job
qualified instructors
emergency response
timing of instruction
annual review
recordkeeping
records retention
265.16(a)(l)
265.16(a)(2)
265.16(a)(3)
265.16(b)
265.16(c)
265.16(d)
265.16(e)











a


GENERAL REQUIREMENTS FOR IGNITABLE, REACTIVE, OR INCOMPATIBLE WASTES
accident prevention
operational orecautions
265.17(a)
265.17(b)




                           SU8PART C - PREPAREDNESS AND PREVENTION
MAINTENANCE AND OPERATION OF FACILITY
requirement
265.31


REQUIRED EQUIPMENT
alarm system
telephone or radio
fire, spill and decon-
tamination equipment
water
265.32(a)
265.32(b)
265.32(c)
265.32(d)








                                       A-47

-------
                               CHECKLIST IV 8 (continued)
FEDERAL REQUIREMENT
RCRA CITE
STATE AUTHORITY
STATUTE REGULATION
IF DIFFERENT FROM FEDERAL
REQUIREMENT, EXPLAIN
TESTING AND MAINTENANCE OF EQUIPMENT
to
assurance
readiness
265.
33


ACCESS TO COMMUNICATIONS OR ALARM SYSTEM
when handling waste
one employee only
265.34(a)
265.34(b)




REQUIRED AISLE SPACE
must be
maintained
265.35


ARRANGEMENTS WITH LOCAL AUTHORITIES
kinds to be tried
refusals: to be
documented
265.37(a)
265.37(b)




                 SUBPART 0 -. CONTINGENCY PLAN AND EMERGENCY PROCEDURES
CONTENT OF CONTINGENCY PLAN
actions to take
SPCC
local arrangements
emergency coordinator
emergency equipment
evacuation plan
265.52(a)
265.52(b)
265.52(c)
265.52(d)
265.52(e)
265.52(f)












COPIES OF CONTINGENCY PLAN
kept at facility
sent to local police
etc.
265.53(a)
265.53(b)




AMENDMENT OF CONTINGENCY PLAN
revisions to
regulations
265.54(a)


                                       A-48

-------
                               CHECKLIST IV 8 (continued)
FEDERAL REQUIREMENT
plan failure
facility changes
list of coordinators
changes
list of equipment
changes
RCRA CITE
265.54(b)
265.54(c)
265.54(d)
265.54(e)
STATE AUTHORITY
STATUTE REGULATION




IF DIFFERENT FROM FEDERAL
REQUIREMENT, EXPLAIN




EMERGENCY COORDINATOR
duties
265.55


EMERGENCY PROCEDURES
given alerts
identify source
assess the hazard
report the findings
take emergency measures
monitor stopped
operation
clean up after
emergency
prepare to resume
operations
notify authorities
record event and submit
written report
265.56(a)
265.56(b)'
265.56(c)
265.56(d)
265.56(e)
265.56(f)
265.56(q)
265.56(h)
265.56(i)
265.56(j)













.






               SUBPART E  -  MANIFEST SYSTEM,  RECORDKEEPING,  AND REPORTING
APPLICABILITY
264.71, 72, 76 not
applicable to o/o of
on-site facilities
that do not receive
waste from off- site
sources
265.70


USE OF MANIFEST SYSTEM
duties when waste comes
with manifest
duties when waste comes
with shipping paper
265.71(a)
265.71(b)




                                       A-49

-------
                              CHECKLIST IV B (continued)
FEDERAL REQUIREMENT
duty under Part 262
RCRA CITE
265.71(c)
STATE AUTHORITY .
STATUTE REGULATION

IF DIFFERENT FROM FEDERAL
REQUIREMENT, EXPLAIN

MANIFEST DISCREPANCIES
definition
o/o duties
265.72(a)
265.72(b)




OPERATING RECORD
keep at facility
information required
265.73(a)
265.73(b)




AVAILABILITY, RETENTION, AND DISPOSITION OF RECORDS
availability
retention
disposition
265.74(a)
265.74(b)
265.74(c)






BIENNIAL REPORT
facility identification
year
off-site sources
identified
description of wastes
received
method of TSO
monitoring data
closure/post-closure
cost estimates
certification
265.75(a)
265.75(b)
265.75(c)
265.75(d)
265.75(e)
265.75(f)
265.75(g)
265.75(h)
















UNMANIFESTED WASTE REPORT
facility identification
data received
generator/transporter
identify
265.76(a)
265.76(b)
265.76(c)






                                       A-50

-------
                              CHECKLIST IV 8 (continued)
FEDERAL REQUIREMENT
waste description
method of TSD
certification
explanation
RCRA CITE
265.76(d)
265.76(e)
265.76(f)
265.76(g)
STATE AUTHORITY
STATUTE REGULATION




IF DIFFERENT FROM FEDERAL
REQUIREMENT, EXPLAIN



-
ADDITIONAL REPORTS
releases
ground-water
contamination
facility closure
265.77(a)
265.77(b)
265.77(c)






SUBPART F - GROUND-WATER MONITORING
APPLICABILITY
facility types
monitoring system
requirements
waiver demonstration
alternate system
requirements
surface impoundment
waiver
265.90(a)
265.90(b)
265.90(c)
265.90(d)
265.90(e)





•




GROUND WATER MONITORING SYSTEM
monitoring system
capabilities
separate systems
well casing
265.91(a)
265.91(b)
265.91(cl






SAMPLING AND ANALYSIS
requirements
parameters
background
265.92(a)
265.92(b)
265.92(c)


-



                                       A-51

-------
                              CHECKLIST IV 8 (continued)
FEDERAL REQUIREMENT
frequency
surface elevation
RCRA CITE
265.92(d)
•265.92(e)
STATE AUTHORITY
STATUTE REGULATION


IF DIFFERENT FROM FEDERAL
REQUIREMENT, EXPLAIN
i-
•
PREPARATION, EVALUATION. AND RESPONSE
prepare GW quality
assessment program
outl ine
compare jjarameters
action at discovery of
increase (upgradient)
action at discovery of
increase (downgradient)
report if increase
confirmed downgradient
submit GW QA program
plan
plan contents
implement plan; deter-
mine extent of problem
timing and report of
determination
option if waste has
not entered GW
action if waste has
not entered GW
assessment completion
action upon GW surface
evaluations
265.93(a)
265.93(b)
265.93(c)(l)
265.93(c)(2)
265.93(d)(l)
265.93(d)(2)
265.93(d)(3)
265.93(d)(4)
265.93(d)(5)
265.93(d)(6)
265.93(d)(7)
265.93(e)
265.93(f)
-


















f
!
i
;



RECORDSKEEPING AND REPORTING
if not monitored
per 265.93(d)(4)
if monitored per
265.93(d)(4)
265.94(a>
265.94(b)



-
                         SUBPART G - CLOSURE AND POST-CLOSURE
APPLICABILITY
management facilities
disposal facilities
265.110(a)
265.110(b)


A
w
                                       A-52

-------
                              CHECKLIST IV 8 (continued)
FEDERAL REQUIREMENT
RCRA CITE
STATE AUTHORITY
STATUTE REGULATION
IF DIFFERENT
REQUIREMENT,
FROM FEDERAL
EXPLAIN
 CLOSURE  PERFORMANCE STANDARD
minimize maintenance
controls, minimizes,
eliminates escape
265.l'll(a)
265.111(b)




CLOSURE PLAN; AMENDMENT OF PLAN
written plan contents
amendment
submittal timing
public comment/hearing
265.112(a)
265.112(b)
265.112(c)
265.112(d)








CLOSURE; TIME ALLOWED FOR CLOSURE
time to dispose of
on site wastes
time to complete
closure
265.113(a)
265.113(b)

•


DISPOSAL OR DECONTAMINATION OF EQUIPMENT
requirement
265.114


CERTIFICATION OF CLOSURE
requirement
265.115


POST-CLOSURE CARE AND USE OF PROPERTY
length and minimum care
security requirements
limits on use of
property
activities must accord
with plan
265.117(a)
265.117(b)
265.117(c)
265.117(d)








POST-CLOSURE PLAN; AMENDMENT OF PLAN
contents of required
written plan
amendment/active life
time to submit plan
public comment/hearinq
265.118(a)
265.118(b)
265.118(c)
265.118(d)








                                       A-53

-------
                              CHECKLIST IV 8 (continued)
FEDERAL REQUIREMENT
amendment/post- closure
ways to modify plan
RCRA CITE
265.118(e)
265.118(f)
STATE AUTHORITY
STATUTE REGULATION


IF DIFFERENT FROM FEDERAL
REQUIREMENT ^EXPLAIN

.
NOTICE TO LOCAL LAND AUTHORITY
survey plat timing
and contents
265.119


NOTICE IN DEED TO PROPERTY
requirement
265.120


                          SU8PART H - FINANCIAL REQUIREMENTS
APPLICABILITY
to all HWM facilities
to specified facil-
ities only
State exemption
265.140(a)
26S.-140(b)
265.140(c)





1
DEFINITIONS OF TERMS AS USED IN THIS SU8PART
closure j)lan
current closure cost
estimate
current post-closure
cost estimate
parent corporation
post-closure plan
terms used in
financial tests
terms used in
liability requirements
265.141(a)
265.141(b)
265.141(c)
265.141(d)
265.141(e)
265.141(f)
265.141(g)












.
.
COST ESTIMATE FOR CLOSURE
o/o must have
adjust for inflation
revise when closure
plan changes
keep at the facility
265.142(a)
265.142(b)
265.142(c)
265.142(d)






0

                                       A-54

-------
                              CHECKLIST IV B (continued)
FEDERAL REQUIREMENT
RCRA CITE
STATE AUTHORITY
STATUTE REGULATION
IF DIFFERENT
REQUIREMENT,
FROM FEDERAL
EXPLAIN
FINANCIAL ASSURANCE FOR CLOSURE
options:
closure trust fund
surety bond guarantee-
ing payment into a
closure trust fund
closure letter of
credi t
closure insurance
financial test and
corporate guarantee
for closure
use of multiple
financial mechanisms
use of a financial
mechanism for multi-
ple facilities
release of the o/o
from the requirement
of this section
265.143(a)
265.143(b)
265.143(c)
265.143(d)
265.143(e)
265.143(f)
265.143(q)
265.143(h)
















COST ESTIMATE FOR POST-CLOSURE CARE
annual cost of post-
closure monitoring
and maintenance
adjust for inflation
revise when post-
closure plan changes
kept at facility
265.144(a)
265.144(b)
265.144(c)
265.144(d)








FINANCIAL ASSURANCE FOR POST-CLOSURE CARE
options a-e:
post-closure trust fund
surety bond guarantee-
ing payment into a
post-closure trust fund
post-closure letter
of credit
post-closure insurance
financial test and
corporate guarantee
for post-closure care
265.145(a)
265.145(b)
265.145(c)
265.145(d)
265.145(e)










                                       A-55

-------
                              CHECKLIST IV 8 (continued)
FEDERAL REQUIREMENT
use of multiple
financial mechanisms
use of a financial
mechanism for mul-
tiple facilities
release of o/o from
the requirements of
this section
RCRA CITE
265.l45(f)
265.145(g)
265.140(h)
STATE AUTHORITY
STATUTE REGULATION



IF DIFFERENT FROM -FtDERAi:
REQUIREMENT, EXPLAIN

-

USE OF A MECHANISM FOR FINANCIAL ASSURANCE OF BOTH CLOSURE AND POST-CLOSURE  CARE
funds must be equal
to sum if separate
mechanisms used
265.146(a)


LIABILITY REQUIREMENTS
coverage for sudden
accidental occurrences
coverage for non-sudden
accidental occurences
request for varience
adjustments by the
Director
period of coverage
financial test for
liability
endorsement/certi f icate
option expires 10/16/82
265.147(a)
265.147(b)
265.147(c)
265.147(d)
265.147(e)
265.147(f)
265.147(q)






N/A







INCAPACITY OF 0/0. GUARANTORS. OR FINANCIAL INSTITUTIONS
incapacity of o/o
or guarantor
incapacity of financial
institution
265.148(a)
265.148(5)




                                       A-56

-------
                               CHECKLIST  IV 8  (continued)
FEDERAL REQUIREMENT
RCRA CITE
STATE AUTHORITY
STATUTE REGULATION
IF DIFFERENT
REQUIREMENT,
FROM FEDERAL
EXPLAIN
                     SU8PART  I - USE AND MANAGEMENT OF CONTAINERS
 APPLICABILITY
storage
265.170


 CONDITION OF CONTAINERS
action when not good
265.171


COMPATIBILITY OF WASTE WITH CONTAINER
requirement
265.172


MANAGEMENT OF CONTAINERS
kept closed
handled with care
265.173(a)
265.173(b)




INSPECTIONS
required
265.174
•

SPECIAL REQUIREMENTS FOR IGNITABLE OR REACTIVE WASTE
distance to property
1 i ne
265.176


SPECIAL REQUIREMENTS FOR INCOMPATIBLE WASTES
same container
unwashed container
separati on/pro tecti on
265.177(a)
265.177(b)
265.177(c)






                                      SU8PART J - TANKS
APPLICABILITY
treatment
or
storage
265.
190


GENERAL OPERATING REQUIREMENTS
compliance with
265.17(b)
265.192(a)


                                       A-57

-------
                              CHECKLIST IV 8 (continued)
FEDERAL REQUIREMENT
restrictions
freeboard
continuous feed
RCRA CITE
265.192(b)
265.192(c)
265.192(d)
STATE AUTHORITY
STATUTE REGULATION



IF DIFFERENT FROM FEDERAL
REQUIREMENT, EXPLAIN

,

WASTE ANALYSIS AND TRIAL TESTS
added requirements when
wastes are new or pro-
cess is changed
265.193


INSPECTIONS
o/o requirements
265.194


CLOSURE
removal
requirement
265.197


SPECIAL REQUIREMENTS FOR IGNITABLE OR REACTIVE WASTE
limits/conditions to
place in a tank
NFPA requirements
265.198(a)
265.198(b)


. ...... w
1
i
SPECIAL REQUIREMENTS FOR INCOMPATIBLE WASTES
in same tank
in unwashed tank
265.199(a)
265.199(b)




                              SUBPART K - SURFACE IMPOUNDMENTS
GENERAL OPERATING REQUIREMENTS
Freeboard
265.222


CONTAINMENT SYSTEM
earth dikes
265.223


WASTE ANALYSIS AND TRIAL TESTS
added requirements when
wastes or processes are
different
265.225

^
                                       A-58

-------
                              CHECKLIST IV B (continued)
FEDERAL REQUIREMENT
RCRA CITE
STATE AUTHORITY
STATUTE REGULATION
IF DIFFERENT
REQUIREMENT,
FROM FEDERAL
EXPLAIN
 INSPECTIONS
0/0
inspections
265.226


CLOSURE AND POST-CLOSURE
remove materials
demonstrate no hazard
post-closure
265.228(a)
265.228(b)
265.228(c) .






SPECIAL REQUIREMENTS FOR IGNITABLE OR REACTIVE WASTE
1 imitations
on
placement
265.
229


SPECIAL REQUIREMENTS FOR INCOMPATIBLE WASTES
prohibition
265.230


                                   SUBPART L - WASTE PILES
APPLICABILITY
treatment or storage
265.250


PROTECTION FROM WIND
wind dispersal
control
265.251


WASTE ANALYSIS
requirement
265.252


CONTAINMENT
to control leachate/
run-off
control rain, run-on,
free liquids
265.253(a)
265.253(b)




SPECIAL REQUIREMENTS FOR IGNITABLE OR REACTIVE WASTE
prohibition & exceptions
265.256


                                       A-59

-------
                               CHECKLIST IV 8 (continued)
FEDERAL REQUIREMENT
RCRA CITE
STATE AUTHORITY
STATUTE REGULATION
IF DIFFERENT FROM FEDERAL-
REQUIREMENT, EXPLAIN
SPECIAL REQUIREMENTS FOR INCOMPATIBLE WASTES
placed in same pile
separation/protection
decontamination
265.257(a)
265.257(b)
265.257(c)






CLOSURE AND POST-CLOSURE CARE
remove materials
post-closure care
265.258(a)
265.258(b)




SUBPART M - LAND TREATMENT
GENERAL OPERATING REQUIREMENTS
conditions for land
treatment
run-on control
run-off control
collection and holding
facilities
wind dispersal control
265.272(a)
265.272(b)
265.272(c)
265.272(d)
265.272(e)





9
\
i



WASTE ANALYSIS
EP toxicity
any listed waste
food chain crops
265.273(a)
265.273(b)
265.273(c)






FOOD CHAIN CROPS
notification
required demonstration
demonstration data
conditions re:
cadmium waste
265.276(a)
265.276(b)(l)
265.276(b)(2)
265.276(c)




•

g
V
                                       A-60

-------
                              CHECKLIST IV 8 (continued)
FEDERAL REQUIREMENT
RCRA CITE
STATE AUTHORITY .
STATUTE REGULATION
IF DIFFERENT
REQUIREMENT,
FROM FEDERAL
EXPLAIN
 UNSATURATED ZONE  (ZONE OF AERATION) MONITORING
monitoring plan
requi rement/purpose
plan contents
demonstration
availability of plan
further analyses
265.278(a)
265.278(b)
265.278(c)
265.278(d)
265.278(e)










RECORDKEEPING
requirement
265.279


CLOSURE AND POST CLOSURE
*
objectives of plans
factors needed to meet
plan objectives
methods to address
plan objectives
added closure
requirements
alternate closure
certification
added post-closure
requirements
265.280(a)
265.280(b)
265.280(c)
265.280(d)
265.280(e)
265.280(f)









"


SPECIAL REQUIREMENTS FOR IGNITABLE OR REACTIVE WASTE
conditions for treatment
alternate conditions
265.281(a)
265.281(b)




SPECIAL REQUIREMENTS FOR INCOMPATIBLE WASTES
conditions
265.282
                                    SUBPART N - LANDFILLS
APPLICABILITY
disposal, including wastt
piles used for disposal [265.300


                                       A-61

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                              CHECKLIST IV B (continued)
FEDERAL REQUIREMENT
RCRA CITE
STATE AUTHORITY
STATUTE REGULATION
IF DIFFERENT FROM FEDERAL
REQUIREMENT, EXPLAIN
GENERAL OPERATING REQUIREMENTS
run-on control
run-off management
collection and holding
facilities
wind dispersal control
265.302(a)
265.302(b)
265.302(c)
265.302(d)




*



SURVEYING AND RECORDKEEPING
cell location
cell contents
265.309(a)
265.309(b)




CLOSURE AND POST-CLOSURE
final cover
closure, post-closure
objectives
factors needed to meet
plan objectives
added post-closure
requirements
265.310(a)
265.310(b)
265.310(c)
265.310(d)






J

SPECIAL REQUIREMENTS FOR IGNITA8LE OR REACTIVE WASTES
conditions for disposal
containerized igni table
wastes
solid igni table wastes
in containers
265.312(a)
265.312(b)
265.312(c)






SPECIAL REQUIREMENTS FOR INCOMPATIBLE WASTES
prohibition
265.313


SPECIAL REQUIREMENTS FOR LIQUID WASTE
conditions for bufk/
free liquid placement
conditions for contain-
erized liquid placement
SPECIAL REQUIREMENTS FOR
empty containers
265.314(a)
265.314(5)


*

CONTAINERS . ^
265.315(a)

W
                                       A-62

-------
                              CHECKLIST IV 8 (continued)
FEDERAL REQUIREMENT
RCRA. CITE
STATE AUTHORITY .
STATUTE REGULATION
IF DIFFERENT
REQUIREMENT,
FROM FEDERAL
EXPLAIN
 DISPOSAL  OF  SMALL CONTAINERS OF HAZARDOUS WASTE IN OVERPACKED DRUMS (LAB PACKS)
inside container
shipping container
absorbent material
incompatible waste
reactive waste
265.316(a)
265.316(b)
265.316(c)
265.316(d)
265.316(e)










                                  SUBPART 0 - INCINERATORS
APPLICABILITY
treatment
exemptions
265.340(a)
265.340(b)





WASTE ANALYSIS
heating value
halogen and sulfur
content
lead and mercury
content
265.341(a)
265.341(b)
265.341(c)






GENERAL OPERATING REQUIREMENTS
start-up
and
shut-down
265.
345


MONITORING AND INSPECTIONS
monitoring
daily inspections
265.347(a)
265.347(b)




CLOSURE
residue removal
265.351

*
                             SUBPART P - THERMAL TREATMENT
APPLICABILITY
thermal treatment in
other than incinerators
265.370


                                       A-63

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                              CHECKLIST IV 8 (continued)
FEDERAL REQUIREMENT
RCRA CITE
STATE AUTHORITY
STATUTE REGULATION
IF DIFFERENT
REQUIREMENT,
FROM FEDERAL
EXPLAIN
GENERAL OPERATING REQUIREMENTS
requirements
265.373

4
WASTE ANALYSIS
heating value
halogen and sulfur
content
lead and mercury
265.375(a)
265.375(b)
265.375Cc)






MONITORING AND INSPECTIONS
o/o requirements
265.377
CLOSURE
*
residue removal
265.381




^fc.
OPEN BURNING; WASTE EXPLOSIVES
exceptions
265.382

1
J
SUBPART Q - CHEMICAL, PHYSICAL, AND BIOLOGICAL TREATMENT
APPLICABILITY
treatment in other than
tanks, surface impound-
ments & land treatment
facilities
265.400


GENERAL OPERATING REQUIREMENTS
comply with 265.17(b)
wastes/reagents
continuous fed process
265.401(a)
265.401(b)
265.401(c)




•-

WASTE ANALYSIS AND TRIAL TESTS
additional
requirements
265.402


INSPECTIONS
o/o requirements
265.403


                                       A-64

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                              CHECKLIST IV 8 (continued)
FEDERAL REQUIREMENT
RCRA CITE
STATE AUTHORITY
STATUTE REGULATION
IF DIFFERENT
REQUIREMENT,
FROM FEDERAL
EXPLAIN
CLOSURE
residue removal
265.404


SPECIAL REQUIREMENTS FOR IGNITABLE OR REACTIVE WASTE
placement
requirements
265.405


SPECIAL REQUIREMENTS FOR INCOMPATIBLE WASTES
in same process
unwashed equipment
265.406(a)
265.406(5)




                           SUBPART R - UNDERGROUND INJECTION
APPLICABILITY
o/o exclusions
application criteria
265.430(a)
265.430(b)



•
                                       A-65

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                                      CHECKLIST V

                                PERMITTING REQUIREMENTS
FEDERAL REQUIREMENT
RCRA CITE
STATE AUTHORITY
STATUTE REGULATION
IF DIFFERENT FROM FEDERAL
REQUIREMENT, EXPLAIN
                               PART 270 - PERMIT PROGRAM
                            SUBPART A - GENERAL INFORMATION
PURPOSE AND SCOPE OF SUBPART 8
specific inclusions
t specific exclusions
t further exclusions
t less than entire.
facility
270.1(c)(l)
270.1(c)(2)
270.1(c)(3)
270.1(c)(4)








EFFECT OF A PERMIT
compliance with permit
property rights/
privilege
270. 4(a)
270. 4(b)


1

NONCOMPLIANCE REPORTING BY THE DIRECTOR
* quarterly reports
* annual reports
* schedules
270. 5(a)
270. 5(b)
270. 5(c)






SUBPART B - PERMIT APPLICATION
APPLICATION FOR A PERMIT
permit application
who applies/siqns
* completeness
information
requirements
270.10(a)
270.10(b)
270.10(c)
270.10(d)







4
t Optional requirement - see discussion on page A-2.
* Procedural requirement - see discussion on page A-l.
                                       A-66

-------
                                CHECKLIST V (continued)
FEDERAL REQUIREMENT
existi nq HWM facilities
new HWM facilities
updating applications
reapplications
recordkeeping
RCRA CITE.
270.10(e)
270.10(f)
270.10(q)
270.10(h)
270.10(i)
STATE AUTHORITY
STATUTE REGULATION





IF DIFFERENT FROM FEDERAL
REQUIREMENT, EXPLAIN





SIGNATORIES TO PERMIT APPLICATIONS AND REPORTS
applications
reports
changes to
authorization
certification
270.11(a)
270. ll(b)
270.11(c)
270.11(d)








CONFIDENTIALITY OF INFORMATION
* denial of claim
270.12(b)


CONTENTS OF PART A1
1 ati tude/1 ongi tude
name, address, telephone
new/existing
existing/locations
existing/photos
processes
wastes
270.13(b)
270.13(e)
270.13(g)
270.13(h)
270.13(1)
270.13CJ)
270.13(10











-


CONTENTS OF PART B1
general information
requirements
270.14(b)


* Procedural requirement - see discussion on page A-l.
1 Contents of Application - see discussion on page A-2.
                                       A-67

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                                CHECKLIST V (continued)
FEDERAL REQUIREMENT
additional information
requirements
specific information
requirements
RCRA CITE
270.14(c)
270.15-21
STATE AUTHORITY
STATUTE REGULATION


IF DIFFERENT FROM FEDERAL
REQUIREMENT, EXPLAIN
-

                             SU8PART C - PERMIT CONDITIONS
CONDITIONS APPLICABLE TO ALL PERMITS
duty to comply
duty to reapply
need to halt or reduce
activity not a defense
duty to mitigate
proper 0 & M
permit actions
property rights
duty to provide
information
inspection and entry
monitoring and records
signatory requirement
reporting requirements
270.30(a)
270.30(b)
270.30(c)
270.30(d)
270.30(e)
270.30(f)
270.30(q)
270.30(h)
270.30(i)
270.30(j)
270.30(k)
270.30(1)







,•











• j




REQUIREMENTS FOR RECORDING AND REPORTING OF MONITORING RESULTS
equipment/methods
monitorinq
reporting
270.31(a)
270.31(b)
270.31(c)



ESTABLISHING PERMIT CONDITIONS
* case by-case
* method of incor-
poration
* incorporation
270.32(a)
270.32(b)
270.32(e)






,


i
  Procedural requirement - see discussion on Page A-l.
                                       A-68

-------
                                CHECKLIST V (continued)
FEDERAL REQUIREMENT
RCRA CITE
STATE AUTHORITY
STATUTE REGULATION
IF DIFFERENT
REQUIREMENT,
FROM FEDERAL
EXPLAIN
 SCHEDULES OF COMPLIANCE (ODtional)t
qaneral
time for compliance
interim dates
reporting
270.33(a)
270.33(a)(l)
270.33(a)(2)
270.33(a)(3)








                            SUBPART D - CHANGES TO PERMITS
TRANSFER OF PERMITS
transfers by
modification
270. 40 (a)


MAJOR MODIFICATION OR REVOCATION AND REISSUANCE OP PERMITS
causes for modification:
alteration
information
new regulations
compliance schedules
others
causes for modification
or revocation and
reissuance
facility siting
270.41(a)(l)
270.41(a)(2)
270.41(a)(3)
270.41(a)(4)
270.41(a)(5)
270. 4Kb)
270.41(c)














TERMINATION OF PERMITS
causes
* termination procedures
270.43(a)
270.43(b)




SUBPART E - EXPIRATION AND CONTINUATION OH PERMITS
DURATION OF PERMITS
* maximum ten year term
* extension or
modification
t less than full term
270.50(a)
270.50(b)
270.50(c)






* Procedural requirement - see discussion on page A-l.
t Optional  requirement - see discussion on page A-2.
                                       A-69

-------
                               CHECKLIST V (continued)
FEDERAL REQUIREMENT
RCRA CITE
STATE AUTHORITY
STATUTE REGULATION
IF DIFFERENT
REQUIREMENT,
FROM FEDERAL
EXPLAIN
                         SUBPART F - SPECIAL FORMS OF PERMITS
PERMITS BY RULE t
ocean disposal
injection wells
POTWs
270.60(a)
270.60(b)
270.60(c)






EMERGENCY PERMITS f
conditions
for
issue
270
61


HAZARDOUS WASTE INCINERATOR PERMITS t
permit conditions
270.62


PERMITS FOR LAND TREATMENT DEMONSTRATIONS USING FIELD TEST OR LABORATORY ANALYSES f
requirements
270.63


                              SUBPART G - INTERIM STATUS t
INTERIM STATUS
qualifying
facility operation
changes
termination
270.70
270.71
270.72
270.73








                       PART 124 - PROCEDURES FOR DECISIONMAKING
                        SUBPART A - GENERAL PROGRAM REQUIRMENTS
APPLICATION FOR A PERMIT
requirements
124. 3(a)

m
t Optional requirement - see discussion on page A-2.
                                       A-70

-------
CHECKLIST V (continued)
FEDERAL REQUIREMENT
RCRA CITE
STATE AUTHORITY
STATUTE REGULATION
IF DIFFERENT FROM FEDERAL
REQUIREMENT, EXPLAIN
MODIFICATION, REVOCATION AND REISSUANCE OR TERMINATION OF PERMITS
initiator
modify/revoke
procedures
* termination
procedures
124. 5(a)
124. 5(c)
124. 5(d)






DRAFT PERMITS
* decision to prepare
draft
* contents of draft
permit
* fact sheet
124. 6(a)
124. 6(d)
124. 6(e)






FACT SHEET
* criteria & recipients.
* contents
124.8(a)
124. 8(b)




PUBLIC NOTICE OF PERMIT ACTIONS AND PUBLIC COMMENT PERIOD
* scope
* timing
* methods
* contents
* additional notice
124.10(a)(l)
(H),(111),
(iv)
124.10(b)
124.10(c)
124.10(d)
124.10(e)




_





PUBLIC COMMENTS AND REQUESTS FOR PUBLIC HEARINGS
procedures
124.11


PUBLIC HEARINGS
* criteria
for
holding
124.
12(3)


RESPONSE TO COMMENTS
* response when final
permit is issued
* availability to public
124.17(a)
. 124.17(c)




  Procedural  requirement - see discussion on page A-l.
                                       A-71

-------
                                 APPENDIX B

                          FINANCIAL RESPONSIBILITY
Introduction


     The State program requirements must be "equal in effect" to the Federal
requirements  for  financial  assurance  of closure  and  post-closure  care,  and
the  accompanying  requirements  for closure and  post-closure  cost estimates,
promulgated at  47 FR  15047-74  (April  7, 1982),  and  liability  coverage  for
third party  claims,  promulgated  at  47  FR  16554-61  (April  16,  1982).   EPA
will exercise some flexibility in its  review of State financial  responsibil-
ity requirements.   However, EPA's experience has been that financial respon-
sibility requirements must  be  precise  and detailed to achieve certainty and
adequacy of funding  for  closure, post-closure care,  and  third  party claims
for personal injury and property damage.

     A State  may  choose  to implement more stringent  financial requirements,
or  it  may choose  to eliminate  optional  requirements.    In  these  cases  EPA
will review and reconcile  the  differences with  the  Federal  standards.   EPA
will also  allow States  whose  regulations governing  financial  institutions
contravene the  EPA  forms  for  financial instruments  to modify  the EPA lan-
guage of the  instruments so long as the effect of the instruments  is equiv-
alent to that of the EPA-specified instruments.


Acceptable Surety.Companies


     The Federal  regulations  specify  that the surety company issuing a bond
must, at a  minimum,  be among those listed as acceptable  sureties  on Federal
bonds  in  Circular  570  of  the U.S.  Department of the  Treasury.   However,
several  States specifically  regulate  and approve  surety  companies  doing
business  in  their States.   EPA will  allow those  States to set  their own
qualification standards  for sureties  which issue bonds to owners  and opera-
tors to meet the financial  responsibility requirements.


Additional Mechanisms


     States may utilize  additional  mechanisms which  are  equivalent to those
specified in  264  and 265 Subpart H.   The basic concerns  for equivalence are
the extent and security  of  coverage.

     States  may  wish,   for example,  to  consider  two  financial   assurance
mechanisms which  EPA does   not have authority  to  effect -- cash  deposits and
certificates  of  deposit.   A  State  regulation  using  either of  these two
mechanisms may  require  an  immediate payment' in  the  full  amount  of the  cost-
estimate, or  that payments be made over a pay-in period no longer than the
EPA trust fund pay-in period.  These requirements will  ensure that the  funds
for  closure  and  post-closure  care  will  be  readily obtained  in event  of

                                   B-l

-------
default.   However, while  these  financial  instruments  would  meet  the  EPA
requirements,  they may not be feasible for owners  and operators  because of
the large amounts  of cash  required.

     States which  choose to allow cash deposits or  certificates  of deposit
must meet standards equivalent  to those incorporated  in  the  Federal  stan-
dards for financial assurance mechanisms:

     1.   The  bank or  financial  instutuion  holding the cash deposit or
          certificate  of deposit  must  be regulated and  examined by a
          Federal  or State agency.  The cash deposit or certificate of
          deposit  must be  established at least 60 days before hazardous
          waste is  first received  at a new facility.

     2.   The  State must  be  the  beneficiary of  the cash  deposit or
          certificate  of  deposit.   The  State must be empowered to draw
          upon  the funds  if  the  owner  or  operator  fails  to  perform
          closure  or post-closure  care  in accordance with the applica-
          ble plans or interim status requirements.

     3.   The  State must  require  that  the owner  or  operator  make an
          immediate deposit in the full  amount of the cost estimate, or
          that payments  be made  purusant  to a pay-in period that is no
          longer than  the  Federal  trust pay-in periods for closure and
          post-closure  care  set  forth  in  40  CFR   §§264.143(a)  and
          264.145(a); 265.143(a);  and 265.145(a), respectively.
                                                              «
     4.   The  State must require  that the cash  deposit or certificate
          of deposit cannot be terminated unless:

          (a)  the  financial  institution  provides  advance notice, and

          (b)  the State indicates that:

               (1)  the  owner or  operator  has  performed closure/post-
                    closure to the State's satisfaction, or
               (2)  the owner or operator has established an alternate
                    financial  assurance mechanism  in  accordance with
                    the State's regulations.

     5.   The  State must require  that the cash  deposit or certificate
          of  deposit  cannot  be  cancelled:   (1) while  proceedings to
          enforce  regulatory compliance  are pending,  and  (2)  in the
          event of transfer of ownership  or operation of the facility,
          until the successor owner or operator has established his own
          financial assurance mechanism in  accordance with the State's
          regulations.

     Due to the precise nature of  the financial  responsibility requirements,
and the various  approaches  taken by  State  programs, a  guidance document
titled  Equivalency of State  Financial  Responsibility  Mechanisms   has  been
developed by  EPA  to help  evaluate numerous financial mechanisms  for equiva-
lence.   This  document also  discusses overall State  program equivalence  in
the financial responsibility  area.  For further guidance in  this  area please
refer to this document at  the end  of this Appendix.

                                   B-2

-------
EQUIVALENCY OF STATE FINANCIAL
   RESPONSIBLITY MECHANISMS
        DRAFT DOCUMENT
    FOR AGENCY REVIEW ONLY
         Prepared by:
       ICF Incorporated
        September 1982
            B-3

-------
                              Table of Contents
 Introduction .......... ................................. ...............    1

 Equivalence for Purposes  of  State  Program  Authorization  ...............    2

 Equivalence of State-Required Mechanisms Used  to Comply with  the
 Federal Regulations   ......... . ................................... . .....    3

 Fundamental Criteria  for  Equivalence  Ceterminations  ..... ..............    4
     Certainty and Availability  of  the  Funds  ...........................   4
     Amount  of Funds  [[[   5
     Time  Limits  [[[   6
     Allowable Mechanisms  ................. : ............................   7
     Cost  Estimates [[[ .   8

 Further Information  .................... ...............................   3

 Equivalency Criteria for  Trust  Funds  ..................................   9

 Equivalency Criteria for  Surety Bonds. .................................   11

 Equivalency Criteria for  Letters of Credit  .................. . . . .......   13

 Equivalency Criteria for  Standby Trust Funds  ......................... .   15

 Equivalency Criteria for  Closure or Post-Closure  Insurance  ....... ' .....   17

 Equivalency Criteria for  Financial Test  and Corporate Guarantee
 for  Closure or Pos.t -Closure Care . . / ...................................   19

-Equivalency Criteria for  Cash Deposits and Certificates
 of Deposit  for Closure or Post-Closure Care  ...........................   22

 Equivalency Criteria for  Escrows for Closure  or
 Post-Closure Care [[[   23

 Equivalency Criteria for  Liability Insurance  ..........................   25
                                                          *
 Equivalency Criteria for  Financial Test  for Liability

-------
        EQUIVALENCY OF STATE  FINANCIAL  RESPONSIBILITY REQUIREMENTS
 Introduction

     In issuing financial responsibility standards under RCRA,  the Agency
 determined that such requirements are (1) necessary to assure  that funds will
 be available for proper closure of all hazardous waste management facilities,
 and  for 30 years of post-closure care of land disposal facilities, and (2)
 desirable, in the case of liability coverage, to assure that funds will be
 available during the operating life of a facility from which third parties  can
 be compensated for bodily injury and property damage arising from operation of
 the  facility.  These determinations are based on extensive analysis and review
 of public comments and consequently define the scope, purpose, and function of
 any  state financial responsibility regulations under RCRA.

     States seeking authorization to administer their hazardous waste programs
 in lieu of the federal RCRA program either have or will have financial
 requirements.  States that are not seeking such authorization, however, may
 also enact financial responsibility requirements applicable to owners and
 operators of hazardous waste management facilities.  In either instance, in
 reviewing state financial responsibility requirements, the key criterion is
 equivalence to the federal requirements.

    The review of equivalency of financial responsibility requirements is
 necessarily somewhat more judgmental than is the case for other hazardous
 waste management standards.   While the federal regulations (40 CFR Parts 264
 and 265, Subpart H) serve as a benchmark, the use of more flexible criteria is
 essential for two reasons:

         (1)  States often have more restrictive or curtailed
              enabling statutes with respect to financial
              responsibility that make it difficult to track the
              federal requirements; and

         (2)  Equivalency of outcome or performance of financial
              assurance is more important than equivalency of
              methods.

    The concept of equivalency originates in Section 3006 of RCRA.  That
 section provides for the authorization of state hazardous waste programs that
 are equivalent to the federal program.  It also provides for the interim
 authorization of existing state programs that are "substantially equivalent"
 to the federal program.  The concept of equivalence also appears in the
Agency's financial responsibility regulations at 40 CFR 264/265.149 and
 264/265.150.   Those regulations permit owners or operators to use
 state-required mechanisms for financial responsibility or state assumptions of
 responsibility to meet federal requirements, in whole or part, if the
 state-required mechanisms are equivalent to the federal provisions.  Thus
 equivalence evaluations may be performed in two contexts:  (1) as part of the
 review of state financial regulations for interim or final program
 authorization or (2) as part of the review of an owner's or operator's

-------
                                    -2-
 compliance with federal requirements  in  states without authorization that have
 financial requirements.1

     Therefore,  this  guidance has  a  dual  purpose.   It addresses:

          (1)   determining equivalence of a  state's  regulatory scheme
               for financial responsibility  in the  RCRA program
               authorization context,  and

          (2)   determining equivalence of individual mechanisms  in
               the 264.149/150 and 265.149/150 context for the owner
               or operator who must  comply with both federal and
               state  requirements.

     These two  topics are addressed  next  in  more detail.

 Equivalence for Purposes of State Program  Authorization

     Pursuant to RCRA §3006(b),  for  a  state  program to receive final
 authorization,  it must  (1)  be "equivalent"  to the  Federal program,  (2) be
-consistent with the  Federal program and  the programs of other authorized
 states,  and (3) provide adequate  enforcement.  EPA has interpreted  the terra
 "equivalent" to mean "equal in effect."   (See 45 Fed. Reg. 6753; January 29,
 1980).   Moreover, pursuant to RCRA  §3009, states may impose "any requirements
 ...  which are  more stringent than those  imposed" by the Federal regulations,
 but  may  not impose any  requirements less stringent than the Federal
 requirements.   In the context of  financial  responsibility, EPA  will make
 judgments of the legal  efficacy of.  the various financial mechanisms in a
 state's  program which owners and  operators  may use to demonstrate compliance;
 the  Agency intends that, for a state  program to receive final authorization,
 the  program include  requirements  no less than "equal in effect" to  the Federal
 requirements for financial assurance  of  closure and post-closure care, and the
 accompanying requirements for closure and post-closure cost estimates,
 promulgated at  47 Fed.  Reg. 15047-74  (April 7, 1982), and  liability coverage
 for  third party claims, promulgated at 47 Fed. Reg. 16554-61  (April 16,  1982).

     Pursuant to RCRA §3006(c),  for  a  state  program to receive interim
 authorization,  it must  be found to  be "substantially equivalent" to the
 Federal  program.   The Agency has  interpreted substantial equivalence to  mean
 "to  a  large degree or in the main,  equal in effect."  (See 45 Fed.  Reg.  6754;
 January  29, 1980).  Moreover> RCRA  §3009 was clearly not intended to mandate
 application of  a "no less stringent"  standard to a state seeking only  interim
 authorization.   (See 45 Fed. Reg. 33391; May 19, 1980).  Thus it is possible
 that EPA could  grant interim authorization  to a state program where the
     lFor  facilities  in states  without RCRA authorization but  with financial
responsibility  requirements applicable to hazardous  waste management
facilities,  owners or operators  must comply with both federal and state
regulations.

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                                   -3-
 financial mechanisms allowed under the program were less than "equal in
 effect" to the April 1982 Federal regulations cited above.

    For both interim and final authorization, a state financial responsibility
 regulatory program should contain the following components:

         (1)  regulations concerning cost estimates  for  closure
              and post-closure care, and

         (2)  regulations describing allowable mechanisms  and the
              conditions of their use (e.g., combinations of
              mechanisms, eligibility of insurers,  incapacity of
              institutions).

    Below, equivalence criteria for cost estimate regulations are set forth.
 Later in this document, specific equivalence criteria for individual state
 financial mechanisms are provided.  These criteria are all based on the
 benchmarks provided by Subpart H of 40 CFR Parts 264 and 265.

    Where the types of allowable mechanisms or their specific provisions
 (e.g., financial test criteria) are not defined by state statute, the state
 regulations must define the specifics of each allowable mechanism in order
 that EPA can make a determination of equivalence.  Also, where a state program
 allows types of financial responsibility mechanisms that are not allowed by
 the federal program, the equivalence criteria included in tt\is document should
 be consulted.  The Agency expects that several states will seek to allow
 mechanisms such as escrows, cash deposits, and certificates of deposit which
 are not allowed in the federal program.  (For an explanation of why these
 mechanisms haven't been provided in the federal program, see the Preamble at
 46 Fed. Reg.  2827 (January 12, 1981).)

 Equivalence of State-Required  Mechanisms  Used to  Comply
 with the Federal Regulations

    When an owner or operator wishes to use a state-required mechanism or a
 state assumption of responsibility to comply with federal requirements, the
 determination of equivalence is the responsibility of the EPA Regional
Administrator.   This situation will only occur in state's that do not have
 authorization but do have state-required financial mechanisms or state
 assumptions of responsibility.  In these situations, equivalence should be
determined using the criteria discussed below both for cost estimates and for
 the specific assurance mechanism being used for compliance.  These criteria
 are based on the benchmarks provided by Subpart H of 40 CFR Parts 264 and 265.

    In addition to evaluating the equivalency of the mechanism, the Regional
Administrator may only approve use of a state-required mechanism if the
 instrument has been executed.  To do otherwise would result in a gap in
 coverage which must be avoided.  This is in contrast to the program
 authorization context where financial responsibility requirements may be
determined to be equivalent or substantially equivalent prior to the effective
 date of the requirements, although a State program may not be granted
 authorization until the State's regulations are effective.

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 Fundamental Criteria  for Equivalence  Determinations

     Inherent in.  the federal financial assurance regulations are tvo.criteria
 which are  fundamental  for evaluating  equivalence:

         (1)  Certainty of the availability of funds through a
              financial mechanism must be at least equivalent, and

         (2)  The amount of  funds assured by a financial
              mechanism must be at least equivalent.

    These  criteria reflect the Agency's policy that the funds must be
 available  in the appropriate amounts when needed.  The criteria are equally
 applicable when  evaluating equivalence in the program authorization context
 and  in the federal/state compliance context.  The first criterion is more
 difficult  to evaluate  than the second.  Of key importance for certainty
 will be the protection of the funds against claims of creditors, the initial
 qualifications of financial institutions providing the mechanisms, and
 provisions required for future contingencies, including bankruptcy,
 cancellation, or changing mechanisms.  With respect to amount of  financial
 assurance, both  the total amount of funds assured as well as the amount
 assured at different points in time are crucial.  These criteria are outlined
 next as thresholds that must be satisfied in addition to criteria
 appropriate for specific types of mechanisms which are provided later.

    Certainty of Availability of the Funds.  To be deemed equivalent  in
 terms of certainty, state financial .requirements must include minimal
 qualifications for the parties to mechanisms of financial responsibility and
 other provisions, as follows:

         (1)  provision that Regional Administrator or State
              Director2 has the sole authority to direct the
              payment or use of funds assured whenever needed;
    2The phrase "Regional Administrator or State Director" is used in this
document because most state mechanisms are expected to name a state agency as
beneficiary.  Due to the variety in state agencies and their authorities, the
specific "State Director" may vary from state to state (e.g., Attorney
General, Director of Office of Environmental Protection, Public Health
Commissioner, State Treasury Department, etc.)  The term "State Director" is
defined in 40 CFR 122.3.  As long as a state agency or official (or the EPA
Regional Administrator) is designated as having the power to direct or
authorize use of financial assurance, the mechanism should be deemed
equivalent, in that respect.  However, where two or more state agencies are
responsible for administration of financial assurance mechanisms, the "lead"
agency should consider establishing an inter-agency memorandum of
understanding to clearly delineate the respective roles and responsibilities
of each agency.

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          (2)   qualificacions  for  participating  financial
               institutions, surety  companies, and  insurers  --  these
               institutions  and  their  relevant' activities  (i.e.,
               trust  fund  operations)  must be  subject  to some
               regulatory  oversight  or licensing  procedures

          (3)   qualifications  for  guarantors  --  including
               satisfaction  of a financial test and being  the
               corporate parent of the owner or operator

          (4)   qualifications  for  owners or operators  using  a
               financial test  -- including independently audited
               financial statements

          (5)   substitution  of alternate financial assurance within a
               defined time  period in  the event the required
               qualifications are  no longer satisfied.(for example,
               including the bankruptcy of the financial institution,
               corporate guarantor, or  insurer);

          (6)   notification within a limited time period after  the
               commencement  of a bankruptcy proceeding naming the
               owner  or operator as deb-tor;

          (7)   notification within a limited time period of  intent to
               cancel, terminate,  or a-ilow to  lapse a  financial*
               assurance mechanism;

          (8)   provision that an existing mechanism will not be
               cancelled, terminated,  or allowed  to lapse  until a
               defined time period has elapsed, or alternate
               assurance has been provided, or the owner or operator
               has .been released from  financial requirements;

          (9)   provision that the mechanisms cannot be cancelled or
               terminated upon commencement of a compliance action;
             .  and

          (10)  no restrictions on order of use of mechanisms if more
               than one mechanism provides assurance for a given
               facility.

These provisions are further specified in the equivalency criteria for
specific  financial responsibility mechanisms.

    Amount of Funds.   In general,  the amount of funds  assured for closure
and/or post-closure care must be  equal to the current cost estimate(s) and the
liability coverage demonstrated must be at least equal to the  amounts required
by RCRA liability requirements,  exclusive of legal defense costs.  An
exception can be made for owners  and operators using  trust  funds for
closure/post-closure assurance;  the full amount need  not  be available if the

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                                    -5-
 cwner  or  operator  is  in  the  pay-in  period  for  the  trust  fur.d.   (See, e.g.,
 264/265.143(a)(3).)   In  chat  case,  an  increasing .amount  will be assured each
 year.   For  all  other  mechanisms  alone  or in combination, the amounts assured
 must always  meet  the  total RCRA  requirements at all  times.

    Thus, with  respect to the amount, of funds  assured,  the following
 criteria  must be mec:

          (1)  The  amount assured must  equal the latest cost estimate
              for  closure and/or post-closure  care in'full, unless
              the  trust  fund  mechanism is  being used.

          (2)  If a trust fund is used,  the initial and subsequent
              payments must  assure  an  amount of closure  and/or
              post-closure funds each  year that in the aggregate is
              no less than that  required by the federal  formula.

          (3)  If a trust fund pay-in period is used, it  must not be
              longer  than that allowed under the federal regulations.

          (4)  The  amounts of  funds  assured for different identified
              facilities and  purposes  (i.e., closure, post-closure
              care, liability) must be specifically  identified  in
              the  instrument  or  by  an  attachment to  the  instrument.

          (5)  The  Regional Administrator or State Director must have
              exclusive authority over disbursements of  funds.

          (6)  The  funds cannot be used for other purposes  (e.g.,
              payment of fines).

          (7)  The  Regional Administrator or State Director must
              approve in writing any decreases in the amounts of
              assurance provided.

          (8)  The  Regional Administrator or State Director must have
              the  authority to withhold a portion of the
              reimbursement  for  closure expenses if  deemed necessary.

    The federal regulations allow owners or operators to use combinations of
mechanisms to provide the required  amount of assurance.  States can do
likewise.  So long as each mechanism is equivalent in terms of  certainty of
the funds, the  focus  is properly on the total  amount assured by the
mechanisms.   See 40 CFR 264/265.143(g).

    Time  Limits.   Time limits  in state financial mechanisms may not always
parallel the federal  requirements.  This does not necessarily mean that the
state mechanisms are not equivalent.  .-However, the federal regulations are
based on considerations of the legal and practical implications of deadlines
that cannot be  ignored by state mechanisms.  The ultimate  aim must be to

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 ensure that there Ls r.o gap in financial coverage.   This  means  chat  sufficient
 cime muse be allowed for:

          •.   providing an alternate mechanism in the .event  of the
              incapacity,  disqualification,  or bankruptcy  of issuers,
              insurers, and guarantors  (e.g.,  '60  days).

          •   responding to a notice of cancellation-or  termination
:              (e.g.,  at least 30-60 days)

          •   alternate assurance of funds before a cancellation
              could become  effective (e.g.,  at least  60-90 days)

          •   notifying the Regional Administrator or State
              Director of  the commencement of  a bankruptcy proceeding
              naming  the owner or operator as  debtor  (e.g.,  no more
              than 10 days  but probably no  less)

          •   review  by the Regional Administrator or State
              Director of  financial assurance  submissions  for new
              facilities (e.g.,  at least 10-15 days before first
              receipt of wastes)

     States should be encouraged  to follow the deadlines in  federal system  but
 some flexibility  may be allowed  when determining equivalence.   The period  of
 post-closure care, however,  must be a< least  thirty  years."

     Allowable Mechanisms.  Current  federal regulations allow use of trust
 funds,  surety bonds,  letters  of  credit,  insurance, a financial  test, corporate
 guarantees,  and state assumptions of responsibility.  Some  states may  allow
 owners  or operators  to demonstrate financial  responsibility using mechanisms
 not  currently allowed under  RCRA standards.   Specifically,  these might include:

          •   cash deposits
          •   certificates  of  deposit
          •   escrow  accounts

     The equivalency  of cash  deposits or certificates of deposit can be
 assessed  using the federal trust fund  requirements as a touchstone.  Thus,
 pay-in  periods, payment formulae,  and  rules for  reimbursement of expenses  must
 be at  least  as stringent as under the  federal regulations.   Where state
 regulations  require  immediate deposit  of the  full amount, the focus should
 shift to  whether  further payments are  required to keep  pace with later
 increases  in cost estimates.  Equivalency criteria for  cash.deposits and
 certificates of deposit are presented  later in this  document.

     An  escrow is  similar to  a trust arrangement  but  it  has  a somewhat
 different  legal effect.  Although the  depositary institution is not  a  trustee,
 it is a fiduciary (as  is a trustee)  and its actions  are governed by  an escrow
 agreement  that should resemble the trust agreement.  The  key-terms and
 responsibilities  must be spelled out in the agreement;  an escrow agent has no

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                                   -3-
discrecion and muse  follow the instructions of the escrow agreement to the
letter.  Equivalency criteria for escrows are presented later in this document.

    Cost Estimates.  To be equivalent to federal requirements, state
financial responsibility programs and mechanisms must incorporate equivalent
•rules  for estimating the costs of closure and post-closure care that are to be
assured.  The evaluation of equivalency will depend on affirmative answers to
the following questions:

        .(1)  Must cost estimates for closure and post-closure be
              based on closure and post-closure plans?

         (2)  Must cost estimates be revised accordingly whenever
              changes in closure or post-closure plans would
              increase cost estimates?

         (3)  Must the closure cost estimate equal the cost of
              closure at the point in the facility's operating life
              when closure would be the most expensive?

         (4)  Must the cost estimates be adjusted for inflation at
              least annually during the operating life of the
              facility using a specified inflation factor?

         (5)  Must the latest cost estimate based on the closure
              and/or post-closure plaa.(s) and the latest adjusted
              cost estimate(s) be kept at the facility?
      .
                                                                   /
    The rest of this document sets forth a series of criteria for determining
the equivalency of individual state financial assurance mechanisms.  Closure
or post-closure mechanisms allowed by the federal regulations are addressed
first, followed by mechanisms not allowed in the current federal regulations,
concluding with liability coverage mechanisms and state assumptions of
responsibility.

Further Information

    Readers desiring further information should consult the Guidance
Manuals on Financial Assurance  for Closure and Post-Closure  Care and
Liability Coverage and  the  Background Documents  cited there.

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                                    -9-
                 EQUIVALENCY CRITERIA  FOR  STATE TRUST FUNDS
     EPA will consider  che  foi loving  factors  in determining whether 2. scata-
 required cruse  fund is  "equivalent"  or  "substantially equivalent" to. the
 financial mechanisms prescribed  in the  federal regulations.  As a general
 rule,  most,  if  noc  all  of  che  following questions muse be answered "yes" for
 Che scace-required  crust fund  to be  considered "equivalent" or "subs tancial ly
 equivalent. "

     1.   Is che  trustee  required  to be an entity that has authority to act as a
 trustee and  whose trust operations are  regulated and examined by a federal or
 state  agency?

     2.   Does che trust  agreement or  an  attached schedule list and identify the
 facilities and  the  amount  of the closure and/or post-closure cost estimates
 covered for  each facility?

     3.   Is the  owner or operator required to update the list' of facilities and
 closure and/or  post-closure cost estimates after each change in cost estimates"

   .  &.   Does the owner or  operator remain liable at all times for the full
 amount  of  closure and/or post-closure expenses?

     5.   Is the  trust irrevocable except  upon agreement of  the  owner  or
 operator,  the trustee, and the Regional Administrator or State Director?

  ,   6.   Does the trust agreement prohibit trustees from investing in
 securities of the owner or operator  or  parent corporations or their
 affiliates?  (federal regulations include this prohibition in addition to the
 general  "prudent man" standard.  See 40 CFR 264. 151(a) ( 1) . )

     7.   For  new facilities to be permitted, must the trust agreement be
 submitted  to the Regional Administrator or State Director before hazardous
waste is first  received?

    8.  Must the initial payment be made before hazardous waste is first
 received for new permitted facilities?

    9.  For new permitted  facilities, must a receipt from the trustee for the
 first payment be submitted to the Regional Administrator or State Director
before hazardous waste is  first received at the facility?

    10.  Are the required  initial and annual payments at least as great as
those required by the federal RCRA regulations?  (covers pay- in period or
other formulae)1"*
    * For details on the pay-in period and payment formula, see Chapter III in
the Guidance  Manual:  Financial Assurance for Closure and Post-Closure Care
(1982).

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                                    -10-'
     11.   Does  che  cruse  agreement  require che cruscee, during che pay-in
 period,  co  notify  the Regional Administrator or Scace Direccor if the owner or
 operator fails  to  make an  annual- payment into che cruse fund?

     12.   Does  the  trust  agreement  require che trustee to value che assets in
 che  crust fund  each year and send  a statement of valuation and trust activity
 to the owner or operator and the Regional Administrator or State Director?

     13.   Is the.owner or operator  given at least 90 days following the
 trustee's valuation report to object to the trust investment activity?

     14.  May EPA or State  Director object at any time to the trust investment
 activity?

     15.  Once  the  pay-in period has expired, must the owner or operator make
 additional  payments into the trust fund or obtain alternate assurance whenever
 the  cost  estimate  changes  and becomes greater than the value of the trust fund
 during the  operating life  of the facility?

     16.  Must the  owner or operator make arrangements for a new trustee or
 obtain other financial assurance when the existing trustee enters bankruptcy,
 ceases operations, or loses its authority to act as a trustee?

     17.  Can the trustee only be changed upon agreement by the owner or
 operator, the trustee, and the Regional"Administrator or State Director?

     18.  Can funds be released from the trust fund only upon instruction of
 the Regional Administrator or State Director and only for the following
 reasons:  (1) the  value of the trust fund is greater than the current*' cost
 estimate(s); (2) alternate financial assurance is provided; (3) the owner or
 operator is released from  financial responsibility requirements.

     19.  Must itemized bills for closure and/or post-closure care be submitted
 to the Regional Administrator or State Director before reimbursement will be
 authorized?

    20.  Where  the cost of closure appears to be significantly greater than
 the value of the trust fund, is the Regional Administrator or State Director
 empowered to withhold reimbursement from the trust until satisfactory
 certification of completion of closure is received?

    21.  May the trust be  terminated only upon written instruction of the
Regional Administrator or  State Director?

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                    EQUIVALENCY CRITERIA  FOR  SURETY  BONDS


     EPA will  consider the  following, factors in determining  whether a state-
 required surety bond is  "equivalent"  or  "substantially equivalent" to the
 financial mechanisms prescribed-  in  the federal regulations.  As a general
 rule,  most,  if  not  all of  the  following-questions  must be answered "yes" for
 the state-required  surety  bond to be  considered  "equivalent", or "substantially
 equivalent."                                 •

     1.   Is the  surety company  required to be  listed in Circular 570 or
 licensed to do  business  as  a surety in the state?

     2.   Does  the underwriting  limitation in Circular 570 apply?

     3.   Must  the surety  company  be  licensed in the state where the surety bond
 is  signed?

     4.   Are the terms of a  required standby trust  fund (if  any) at least
 equivalent to a standby  trust  fund  under the  federal RCRA regulations?  (see,
 e.g.,  40  CFR  264.143(b)(3)  and the  equivalency criteria for  standby trust
 funds,  below.)

     5.  Must  the penal sura  of  the bond,  together with any amount being assured
 by  other  mechanisms  be at  least  equal to the current closure and/or
 post-closure  cost estimates?

     6.  Must  any surety bond that is used at an  interim status facility be a
 financial  guarantee  bond?   (performance  bonds may not be used under 40 CFR 265
 regulations.)

     7.  For new facilities  to  be permitted, must the surety  bond be submitted
 to  the  Regional Administrator  or State Director before hazardous waste is
 first  received for treatment,  storage or disposal?

     8.  For new permitted facilities, must the surety bond be effective before
 hazardous  waste is first received for treatment, storage or disposal?

     9.  When cost estimates increase, must the penal sum of  the bond be
 increased  (and evidence of  the increase  submitted to the Regional
Administrator or State Director)  or alternate financial assurance obtained
within  a defined period of  time?   (federal regulations allow 60 days)

     10.  Can the penal sum  be  reduced only if cost estimates decrease and
 following written approval  of  the Regional Administrator or  State Director?

     11.  Must the owner or  operator obtain alternative financial assurance
within  a defined time period after bankruptcy of the surety or removal of the
surety's name from Circular 570?

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     12.  Must the surety give both the owner or operator ar.d the Regional
Administrator or State Director ample notice before cancellation of -he surety
bond will be allowed?  (federal regulations require at least 120 days)

     13.  Will the owner or operator have sufficient time after receipt  of
notice of cancellation to provide alternative financial assurance and obrai.i
written approval of the new assurance from the Regional Administrator or State
Director?  (federal regulations require at least 90 days)

     14.  Is the surety required to pay the penal sum of a financial guarantee
bond in at least these circumstances:

         a.  The owner or operator has failed to provide funds in
             the amount of the cost estimate for closure and/or
             post-closure care before the beginning of final closure
             of the facility;

         b.  The Regional Administrator, State Director, or a court
             has ordered closure to begin and the owner or operator
             has not provided funds within 15 days; or

         c.  The surety .has sent notice of cancellation of the bond
             and the owner or operator has not obtained alternate
             financial assurance within a defined time period?
             (federal regulations allow 90 days)
                                      »
    15.  Must the surety perform closure and/or post-closure care or pay the
penal sum of a performance bond in at least the following circumstances.:

         a.  The owner or operator fails to fulfill its closure
             and/or post-closure obligations, even though closure
             may occur sooner than expected or the requirements in
             the plans, regulations, and/or permit have changed; or

         b.  The surety has sent notice of cancellation of the bond
             and the owner or operator has not obtained alternate       =
             financial assurance within 90 days?

    16.  May a surety bond only be terminated with the written consent of the
Regional Administrator or State Director?

    17.  Must itemized bills for closure and/or post-closure care be submitted
to the Regional Administrator or State Director before payment will be
authorized?

    18.  Where the cost of closure appears to be significantly greater than
the amount of available funds, is the Regional Administrator or State Director
empowered to withhold reimbursement until satisfactory certification of
completion of closure is received?

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                                    -11-
                 EQUIVALENCY CRITERIA  FOR  LETTERS OF CREDIT
     EPA will  consider  the  following  factors  in determining whether a state-
 required letter  of  credit  is  "equivalent" or  "substantially equivalent" to the
 financial  mechanisms prescribed  in the  federal 'regulations.  As a general
 rule,  most,  if not  all  of  the  following questions must be answered "yes" for
 the state-required  letter  of  credit  to be considered "equivalent" or
 "substantially equivalent."

     1.   Is  the issuer  required to be authorized to issue letters of credit,
 and must its  letter of  credit operations,be  regulated by a state or federal
 agency?                                               •

     2.   Are the  terms of a required  standby  trust fund (if any) at least
 equivalent  to the required standby trust fund under the federal RCRA
 regulations?  (see, e.g., <*0 CFR 264.143(d)(3) and the equivalency criteria
 for standby trust funds, below.)                   •:
                                                  t

     3.   .Must the letter of credit be irrevocable for  at  least  a year  and
 provide  for automatic extensions?

     4.   Does the letter of credit have to be accompanied by a letter or
 schedule detailing  the coverage for each facility?

     5.   Must the owner or operator suJbmit evidence within a reasonable period
 that any cost increases are covered by alternate mechanisms or increases in
 the  face amount of  the letter of credit?  (federal regulations' allow up to 60
 days.)

     6.  Must owners or operators obtain alternate financial assurance within a
 specified time if the issuing institution ceases operations, files for
 bankruptcy, or otherwise ceases to qualify?  (federal regulations allow up to
 60 days.)

     7.  Must alternate assurance be obtained within a specified time if the
 issuer gives notice of nonrenewal of the letter?  (federal regulations allow
up to 90 days .)

    8.  Must the face amount of the letter of credit, together with any amount
being assured by other mechanisms be at least equal to the current closure and
post-closure cost estimates?

    9.  Must the letter of credit be submitted to the Regional Administrator
or State Director by a specified time before hazardous waste is first received
for new permitted facilities?  (federal regulations require at least 60 days.)

    10.  For new facilities to be permitted,  must the letter of credit be
effective before hazardous waste is first received for treatment, storage or
disposal?

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    11.  Can the amount be reduced only if cose estimates  decrease 2nd
following written approval of "he Regional Administrator or State Director?

    12.  Must itemized bills for closure and/or post-closure care be submitted
to the Regional Administrator or State Director before reimbursement will  be
authorized?

    13.  Where the cost of closure appears to be significantly greater than
the amount of funds available under the letter of credit,  is the  Regional
Administrator or State Director empowered to withhold reimbursement until
satisfactory certification of completion of closure is received?

    14.  Is termination of the letter of credit only allowed if (1) alternate
assurance is provided, or (2) the owner or operator has been released from
closure or post-closure financial requirements?

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                EQUIVALENCY CRITERIA  FOR  STANDBY TRUST FUNDS
     There is  an important  difference  between  state  and  federal  legal
 authorities which .nay affect  state mechanisms.   Because  the U.S. EPA does not
 have the authority- to collect,  hold or  disburse  financial assurance funds
 itself,  the RCRA regulations  require  the  use  of  a standby trust  fund in
 •conjunction with surety  bonds  and letters of  credit.  Some states, on the
 other hand, may not  have this  restriction,  thus  they may not need to require
 standby  trust funds.   The  lack  of standby trust  provisions does  not
 necessarily mean that the  state mechanism is  not equivalent.  If the state
 does require  standby trusts,  they must  meet the  equivalency criteria set out
 below.                                                       :

     EPA  will  consider the  following factors in determining whether a state-
 required standby trust fund is  "equivalent" or "substantially equivalent" to
 the  financial mechanisms prescribed in  the  federal  regulations.  As a general
 rule,  most, if not all of  the  following questions must be answered "yes" for
 the  state-required standby trust fund to be considered "equivalent" or
 "substantially equivalent."

     1.   Is the trustee required to'be an entity  that has authority to act as a
 trustee  and whose trust  operations ate  regulated and examined by a federal or
 state  agency?

     2.   Does  the  trust agreement or a*  attached  schedule list the facilities
 and  the  amount  of the  closure and/or post-closure cost estimates covered for  :
 each  facility?

     3.   Is the  trust  irrevocable except  upon agreement  of. the owner  or
 operator, the  trustee, and the  Regional Administrator or State Director?

     4.   Does  the  trust agreement prohibit trustees  from  investing in
 securities of  the owner or operator or  parent corporations?  (federal
 regulations include this prohibition in addition to the general  "prudent man"
 standard.)

    5.   If closure is not  performed, does the trust have to be funded by the
 letter of credit, surety bond,  or other mechanisms  (a) before final closure or
 (b) within a  specified period after the Regional Administrator,  State
Director, or  a  court orders closure?  (federal regulations allow 15 days.)

    6.  For new facilities to be permitted,  must the trust agreement be
submitted to  the Regional  Administrator or State Director before hazardous
waste is  first  received for treatment,  storage or disposal?

    7.   Is the owner or operator given  at least 90 days to object to the trust
investment activity?

    8.  May EPA or State Director object at any time to the trust investment
activity?

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                                    '.0-
    9.  Must the cvr.er or cperatcr make arrangements for a new trustee or
obtain other financial assurance whan the existing trustee enters bar.kruptcy,
ceases operations, or loses its authority to act as a trustee?

    10.  Can the trustee only be changed upon agreement by the ou-ner or
operator, the trustee, and the Regional Administrator or Scats Director?

    11.  Where the cose of closure appears to be significantly greater than
the amount of funds in- the trust, is the Regional Administrator or State
Director authorized to withhold reimbursement until satisfactory certification
of completion of closure is received?           :

    12.  .Must itemized bills for closure and/or post-closure care be submitted
to the Regional Administrator or State Director before payment will be
authorized?

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         EQUIVALENCY CRITERIA  FOR  CLOSURE  OR POST-CLOSURE  INSURANCE
     EPA will  consider'the  following  factors  in determining whether s~ace-
 required closure  or  post-closure  insurance  is "equivalent" or "substantially
 equivalent"  to  the  financial mechanisms prescribed in the federal
 regulations.  As  a general rule,  most, if not all of the following questions
 muse be answered  "yes"  for the state-required closure or post-closure
 insurance to  be considered "equivalent" or  "substantially equivalent."

     1.   Is the  insurer  required to be  licensed to transact the business of
 insurance or  eli-gible as a provider of excess or surplus lines insurance in
 one  or  more states?

     2.   Must  the  insurance certificate, policy, or endorsement list the
 facilities covered and  the amounts of  insurance for closure and/or
 post-closure  care assured for each facility?

     3.   Must  an insurance certificate or endorsement be submitted as evidence
 of insurance?

     4.   Does  the  insurance policy provide that closure and/or post-closure
 funds will be provided whenever closure occurs?                      '.

     5.   Does  the  insurance policy, certificate, or endorsement provide that
 the  insurer will be  responsible for paying out funds to parties specified upon
 the  direction of  the Regional Administrator or State Director?

     6.   For new facilities to be permitted, must the insurance policy,
 certificate,  or endorsement be. submitted to the Regional Administrator" or
 State'Director before hazardous waste is first received for treatment, storage
 or•disposal?

     7.   For new facilities to be permitted, must the insurance policy be
 effective before hazardous waste is first received?

     8.   Muse the  face amount- of the policy, together with any amount being
 assured  by other mechanisms,  be at least equal to the current closure and/or
post-closure cost estimates?

     9.   Must the  insurance policy provide for automatic  renewal at least at
the   face amount of the expiring policy?

     10.   When cost estimates  increase, must the face amount of the policy be
increased accordingly (and evidence of the increase submitted to the Regional
Administrator or State Director)  or alternate assurance obtained within a
defined  time  period?  (federal regulations allow 60 days)

     11.   Can  the face amount  only be reduced when cost estimates decrease and
 following written approval of the Regional Administrator or State Director?

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    12.  Must the owner or operacor obtain aicerr.acive financial assurance
within a defined time period following disqualification or liquidation of che
insurer?

    13.  Muse che insurer give boch che owner or operator and the Regional
Administrator or State Director sufficient notice before cancellation of the
insurance policy will be allowed?  (federal regulations require at least 120
days notice)

    14.  Must cancellation, termination, or failure to renew not occur and
the policy remain in full force and effect in the event that on or before the
date of"expiration ac least one of the following has occurred:  (1) the
Regional Administrator or State Director has deemed the facility abandoned; or
(2) the permit is removed or terminated or a new permit is denied; or (3)
closure is ordered by a competent authority (court, Regional Administrator, or
State Director);  or (4) the premium overdue is paid?

    15.  Must itemized bills for closure and/or post-closure care be submitted.
to the Regional Administrator or State Director before reimbursement will be
authorized?

    16.  Where the cost of closure appears to be significantly greater than
the face amount of the policy,,is the Regional Administrator or State Director
authorized -to withhold reimbursement until satisfactory certification of
completion of closure is received?

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               EQUIVALENCY CRITERIA  FOR  FINANCIAL  TEST AND
          CORPORATE GUARANTEE FOR CLOSURE-AND POST-CLOSURE  CARE
    .EPA will consider che following factors  in  determining  whether  a  state-
required financial test or corporate 'guarantee  is  "equivalent"  or
"substantially equivalent" to the financial  mechanisms  prescribed in  the
federal regulations.   As a general  rule,  most,  if  not all of  the following
questions must be answered "yes"  for the  state-required financial test or
corporate guarantee to be considered "equivalent"  or "substantially
equivalent."

    1.   Are the owner's, operator's or  corporate parent's financial statements
required to be independently audited?

    2.   Does the independent public accountant  have to  be certified by a Srate
Board of Accountancy  or otherwise eligible to practice  public accounting in
the state?                                         -:

    3.   Are the state's financial test  criteria at least as stringent as the
federal criteria?  Specifically:

         A.   Do bond  ratings of the firm  have to be at  least
             investment grade; or does  net working capital  have
             to be six times the  sum of closure and post-closure
             cost estimates,  and  do au-o of the  following three
             conditions have to be  satisfied:

               i)  total liabilities to net  worth  have  to be  less
                   than 2.0,

              ii)  net income plus  non-cash  expenses (i.e.,
                   depreciation,  depletion,  and amortization) to
                   total liabilities have to be greater than  0.1, or

             iii)  current  assets to current liabilities greater
                   than 1.5?

         B.   Does the  tangible net  worth  of  the firm have to  be at
             least  §10 million and  at least  six times the sum of
             closure and post-closure estimates?

         C.   Do assets  in the United States  amount to

               i)   90  percent of  the total assets, or

              ii)   six times  the  sum of closure and post-closure
                   estimates?

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                                    -20-
     4.   Are  firms whose.financial statements receive an adverse  opinion or
 a  disclaimer of opinion  in  auditor's standard report disallowed from the
 financial  test?

     5.   Is  the  Regional  Administrator or State Director granted discretion to
 accept  or  reject qualified  opinions on a firm's financial statements?

     6.   Muse  the corporate parent own-at least 30 percent of the voting stock
'of the  subsidiary owner  or operator?

     7.   Muse  the financial test criteria be applied to the closure or
 pose-closure  cose estimates of all facilities for which there is no third
 party guarantee or  funding of financial assurance?  (federal regulations
 require the  inclusion of facilities covered by the financial test guarantee,
 Che  corporate guarantee, facilities covered by state financial tests or
 corporate guarantees, and sites for which no financial assurance has been
 demonstrated.)

     8.   Must  the owner,  operator, or corporate parent continue to satisfy the
 test requiremenes,  or supply alcernace assurance, if closure or post-closure
cose estimates  increase?
                                      »

     9,   Muse  the owner-,  operator, or corporace parenc submit updaeed
informacion a shore Cime afcer Che close of che firm's fiscal year?  (federal
regulacions allow up co  90 days -- see 40 CFR 264.143(f)(5).) •

     10.  If Che financial scacemencs indicace the firm no longer qualifies to
use  che  financial cese,  muse ehe owner or operacor:

         a)  Socify che  Regional Adminiscracor or Scace Director
             wichin a specified period?  (federal regulacions allow
             no more Chan 90 days afcer che close of the fiscal
             year), and

         b)  Provide alcernace financial assurance shorely
              chereafcer?  (federal regulacions allow up to 120 days
             afcer  close of che fiscal year).

     11.  Does che Regional Adminiscracor or Stace councerparc have the
auchoricy Co  requesc addicional financial reporcs from the owner, operator, or
corporate parenC, and disqualify che firm ac any Cime on the basis of such
reporcs  or ocher informacion?

     12.  Muse sacisfaccion of che financial test criteria be demonstrated at a
specified period before  wastes are received ac a new facility?   (federal
regulacions require ac lease 60 days for new permitted facilities -- see 40
CFR 264.143(f)(4).)

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    13.   Is the parent guarantor held responsible for ciie closure 01
post-closure costs until:

         a.  The.owner or  operator has been released from the
             financial assurance requirements,  or   »

         b.  The owner or  operator has obtained alternate assurance
             within a specified period after notice  of cancellation
             of the guarantee  has  been received?  (federal
             regulations require no more  than 90 days.)

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                                   -99 -
                  EQUIVALENCY CRITERIA FOR CASH DEPOSITS
                        AND CERTIFICATES OF  DEPOSIT
    EPA will consider the following factors in determining whether  a  state-
required cash deposit or certificate of deposit is  'equivalent" or
"substantially equivalent" to the financial mechanisms  prescribed  in  the
federal regulations.  As a general rule,  most, if not  all  of  the  following  '
questions must be answered "yes" for the stace-required cash  deposit  or
certificate of deposit to be considered "equivalent" or "substantially
equivalent."

    1.  Must the bank or financial institution holding  the cash deposit or
certificate of deposit be regulated and examined by a  federal or  state agency?

    2.  Must the Regional Administrator or State Director  be  the  beneficiary
and be empowered to draw upon or direct payment from the funds if  the owner or
operator fails to perform closure or post-closure care?

    3.  For new facilities to be permitted, must the cash  deposit  or
certificate of deposit be established before hazardous  waste  is  first received
for treatment, storage or disposal?

    4.  Must payments be made pursuant to a pay-in  period  and formula at  least
equivalent to federal RCRA trust fund requirements?
                                     »                         *
    5.  Must advance notice be provided to the Regional Administrator-or  State
Director in a.defined time period prior to termination  by  the owner or
operator?

    6.  Must at least one of the following conditions  be met  for  the  cash
deposit or certificate of deposit to be terminated:  (1) the  owner or operator
has performed closure/post-closure to the State Director's or Regional
Administrator's satisfaction, or (2) alternate assurance has  been established
(a) in accordance with state regulations or (b) that would be acceptable  under
40 CFR 264/265.149?

    7.  Can funds be released only upon written instruction of the Regional
Administrator or State Director?

    8.  Must itemized bills for closure and/or post-closure care  be submitted
to the Regional Administrator or State Director before  payment will be
authorized?

    9.  Where the cost of closure appears significantly greater  than  the
amount of available funds, is the Regional Administrator or State Director
empowered to withhold reimbursement until satis-factory certification  of
closure is received?

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                                    - 7 ~, .
                      EQUIVALENCY  CRITERIA FOR ESCROWS


     EPA will  consider che  following  factors in determining whether a scate-
 required  escrow  is  "equivalent" or "substantially equivalent" to the financial
 mechanisms  prescribed in the federal regulations.  As a general rule, most, if
 noc  all of  the following questions must be answered "yes" for the
 state-required escrow to be considered "equivalent" or "substantially
 equivalent."

     1.  Is  the depositary  institution licensed or authorized to act as a
 fiduciary or  escrow agent  and subject to state or federal regulatory oversight?

     2.  Does  the escrow agreement or an attached schedule list the facilities
 and  the amount of the closure and/or post-closure cost estimates covered for
 each facility?

     3.  Is  the owner  or operator required to update:the list of facilities and
 closure and/or post-closure cost estimates after each change in cost estimates?

     4.  Does  the owner or  operator remain liable at all times for the full
 amount of closure and/or post-closure expenses?

     5.  Does  the escrow agreement prohibit the depositary from investing in
 securities of the owner or operator or parent corporations?
                                     <»
     6.  Is the escrow  agreement irrevocable  except  upon the  mutual  consent
 of the owner  or operator and the Regional Administrator or State Director?

     7.  For new facilities to be permitted,  must the escrow agreement be
 submitted to  the Regional  Administrator or State Director before hazardous
waste is first received for treatment,  storage or disposal?

     8.  Must  the initial payment be made before hazardous waste is first
 received for new permitted facilities?

     9.  Are the required initial and annual  payments at least as great as
 those required by the  federal RCRA trust fund regulations?

     10.   Does the escrow agreement require the depositary to notify the
Regional Administrator or  State Director if  the owner or operator fails to
make a required deposit?

     11.   Does the escrow agreement require the depositary to value the assets
 in the escrow each year and send a statement of valuation to the owner or
operator and the Regional Administrator or State Director?

     12.   May the owner or operator and the Regional Administrator or State
Director object at any time to escrow activity?

-------
     13.  If che pay-in period' is less than the operating life oi
must the owner or operator make additional payments to the escrow or obtain
alternate assurance whenever the cost estimate(s) become(s) greater than the
value of the escrow?

     14.  Must the owner or operator make arrangements for a new depositary or
obtain other financial assurance when the existing depositary enters
bankruptcy, ceases operations, or loses its authority to act as an escrow
agent?

     15.  Can the depositary only be changed by mutual agreement'of the owner
or operator and the Regional Administrator or State Director?            .

     16.  Can funds be released from escrow only upon instruction of the
Regional Administrator or State Director?

     17.  Must itemized bills for closure and/or post-closure care be submitted
to the Regional Administrator or State Director before payment will be
authorized?                                                         .  •

     18.  Where the cost of closure appears significantly greater than the
value of the escrow, is the Regional Administrator or State Director empowered
to withhold reimbursement from the escrow until satisfactory certification of
closure is received?

     19.  May the escrow agreement be terminated only upon instruction of the
Regional Administrator or State Director?

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                                    -25-
                EQUrVALENCY  CRITERIA FOR LIABILITY INSURANCE
     EPA  will  consider  the  following  factors in determining whether scate-
 requircd liability  insurance  is  "equivalent" or "substantially equivalent" to
 the  financial mechanisms prescribed  in the federal regulations.  As a general
 rule,  most,  if  not  all of  the  following questions must be answered "yes" 'for
 the  state-required  liability  insurance to be considered "equivalent" or
 "substantially  equivalent."    ;

     1.   Is  the  insurer required  to be licensed to transact the business of
 insurance or  eligible as a provider  of excess or surplus lines insurance in
 one  or sore states?

     2.   Must  the  insurance certificate, policy, or endorsement list the
 facilities covered?

     3.   Must  an insurance certificate or endorsement be submitted as evidence
 of insurance?

     4.   Must  the policy cover both bodily injury and property damage claims?
                                   »
     5.   Must  the policy provide  -- exclusive of legal defense costs -- at •
 least:   (1) $1 million coverage  per  occurrence, with an annual aggregate
 amount of $2 million, for sudden accidental occurrences?; and (2) $3 million
 coverage per occurrence, with an annual aggregate amount of $75 million, for
 nonsudden accidental occurrences?  (the nonsudden accidental coverage must be
 required of surface impoundments, landfills, and land treatment facilities.)

     6.  Must the coverage be on  a "first dollar" basis?*

     7.  For sudden accidental occurrences, must the insurance policy be
 effective before initial receipt of waste at a new permitted facility?

     8.  For nonsudden accidental occurrences,  must coverage be demonstrated by
 the  following dates depending on the sales or revenues of the owner or
 operator?

         (a)  Sales or revenues over $10 million    January 15, 1983

         (b)  Sales or revenues greater than        January 15, 1984
              $5 million and up to $10 million

         (c)  Sales or revenues  $5 million and      January 15, 1985
              less
    * For details, see Chapter 2 of the Guidance  Manual:  Liability
Coverage (1982).

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                                    ' _ 0 '
    9.  Muse the owner or operacor maintain the policy in full force and
effect' at least unciL released from financial requirements or alternate
coverage is substituted?

    10.  Must the owner or operator .provide alternate coverage within a
defined time period in the event of liquidation or insolvency of the insurer?
(federal regulations allow. 60 days)

    11.  Must the insurer give ample notice of its intent to cancel,
terminate,  or not to renew the insurance?

    12.  Must cancellation or termination not occur during a defined time
period following the date of receipt of the notice by the Regional
Administrator or State Director?  (federal regulations require 60 days fcr
cancellation and 30 days for termination)

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                   EQUIVALENCY  CRITERIA  FOR  FINANCIAL TEST
                           FOR  LIABILITY COVERAGE
     EPA  will  consider  the  following  factors in determining whether a state-
 required financial  test  for  liability coverage is "equivalent" or
 "substantially  equivalent" to the  financial mechanisms prescribed in the
 federal  regulations.   As a general rule, most, if not all of the following
 questions must  be answered "yes" for the state-required financial test for
 liability coverage  to  be considered  "equivalent" or "substantially equivalent."

     1.   Muse  the owner's or  operator's financial statements be independently
 audited?

     2.   Does  the independent public  accountant have to be certified by a State
 Board of Accountancy?

     3.  Are the financial test criteria at least as:stringent as the federal
 RCRA criteria?

         A.  Do bond ratings of the  firm have to be at least
             investment grade; or does.net working capital have
             to be at  least  six times the amount aggregate liability
             requirements?

         B. • Does the  tangible net worth of the firm have to-be at
             least S10 million and at least six times the annual
             aggregate liability requirements?

         C.  Do assets in the United States amount to at least

               i)  90 percent of total assets, or
              ii)  six times the annual aggregate liability
                   requirements?

    4.  Are firms whose financial statements have received adverse opinions
 or disclaimers of opinions disallowed from the financial test?

    5.  Is the Regional Administrator or State Director granted discretion to
 accept or reject qualified opinions on a firm's financial statements?

    6.  Must evidence of insurance be provided in a specified period if a
 notice of disallowance has been issued because of an adverse, qualified, or
 disclaimer of opinion?  (federal regulations allow up to 30 days.)

    7.  Must the financial test criteria cover -- exclusive of legal defense
 costs -- at least (1) $1 million coverage per occurrence,  with an annual
 aggregate amount of $2 million,  for sudden accidental occurrences?; (2) §3
million coverage per occurrence, with an annual aggregate amount of $6
million,  for nonsudden accidental occurrences?; and (3) all closure or

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                                   -23-
posc-closure cost estimates of facilities P.OC covered by chird party
guarantees or  funded mechanisms?  (federal regulations require the inclusion
of facilities  covered by the financial test, the corporate guarantee, and
facilities without any coverage at all.)

    8'.  For sudden accidental occurrences, must the financial test criteria be
satisfied before initial receipt of waste by new permitted facilities?

    9.  For nonsudden occurrences, must coverage be demonstrated by the
following dates depending on the sales or revenues of the owner or operator?

         (a)   Sales or revenues over S10 million    January 15, 1983

         (b)   Sales or revenues greater than        January 15, 1984
               $5 million and up to $10 million

         (c)   Sales or revenues $5 million and      January 15, 1985
               less

    10.  Must  the owner or operator completely satisfy the test criteria at
lease until released from financial requirements or alternate coverage is
substituted?

    11.  Must  the owner or operator submit updated financial test information
a short time after the close of the firm's fiscal year?  (federal regulations
allow up to 90 days.)                 •

    12.  If the year-end financial statements indicate the firm no longer
qualifies to use the financial test, must the owner or operator supply
evidence of liability insurance within a limited period?  (federal regulations
allow up to 90 days.)

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                                    -29-
                 EQUIVALENCY  CRITERIA FOR STATE ASSUMPTIONS
                             OF RESPONSIBILITY
     EPA  tv'ill  consider  the  following  factors in determining whether a state's
 assumption  of responsibility  for an  owner'-s or operator's closure,
 post-closure  care, or  liability coverage  is "equivalent" or "substantially
 equivalent" to  -he financial  mechanisms prescribed in the federal
 regulations.  As  a general  rule, mosc, if not all, of the following questions
 muse  be  answered  "yes" for  the state's assumption of responsibility to be
 considered  "equivalent" or  "substantially equivalent."

     1.   Does  the  letter from  the State include, or have attached to it,
 identifying information for the facilities and the amounts of funds for
 closure, or pose-closure care, or liability coverage that are guaranteed by
 the State?

    2.   Is  the assumption of  responsibility non-contingent and
 irrevocable; in other words, are there no  conditions  which would void  the
 state's  guarantee?*

    3.   Does  the  assumption cover che costs of all activities required for
 proper closure?

    4.   Does  the  assumption cover the costs of all activities required for
 post-closure care for a period of thi*ty years?

    5.   Does the  assumption provide  liability coverage for bodily injury in at
 least the amounts required by federal standards per occurrence and in an
 annual aggregate, exclusive of legal defense costs?

    6.   Does the  assumption provide  liability coverage for property damage in
 at least the amounts required by federal standards per occurrence and in an
 annual aggregate, exclusive of legal defense costs?

    7.   Does the  assumption provide  liability coverage in the amounts required
 by federal standards for sudden accidental occurrences?

    8.   Does the  assumption provide  liability coverage for landfills, surface
 impoundments,  and land treatment facilities in the amounts required by federal
 standards for non-sudden accidental occurrences?
    * Note:  The Agency is aware of some state post-closure funds that are
available only to owners or operators of facilities that have been issued
permits under RCRA; these funds would not be non-contingent with respect to
interim status or non-permitted facilities.

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                                 APPENDIX C
     Appendix C is a list of all changes made to the Federal hazardous waste
regulations  (40  CFR Parts  260-25,  270  and  124) since  May 19,  1980.   All
States applying for final authorization should consult this list in addition
to the May 19, 1980 regulations.

     The  column  marked,  "Effect of  Change," assesses  the effect  of  each
change to determine whether the change is one that a State must include when
it is applying for authorization.   Where the effect  of  a particular change
in the Federal program is a reduction in stringency, States need not reflect
the change in their own programs.  The following key explains the meaning of
the numbers in this column:

     1    =    less stringent than original  regulations
               (State program changes optional)

     2    =    more stringent than original  regulations
               (State programs must be equivalent)

     3    =    explanatory change, e.g., expansion of original
               (State program changes optional)
                                   C-l

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40 CFR

Reference
PART 260
260.10








260.11

PART 261
261.3
261.4






261.5

261.6

261.7

261.21
261.22
261.30
261.31



• -m
(a)









(a)
_
(a)
(0
(b)
(b)
(b)
(c)
(b)
M)

(c)
(a)
(b)

(b)
(a)
(a)
(d)




Dflte of Modification,
Revision, Change, etc.
HAZARDOUS WASTE ^ANAGEMFNT
10/30/80
11/17/80
11/19/80
11/31/80
1/09/81
5/20/81
3/04/82
7/26/83
1/19/83
7/07/81
9/21/81
IDENTIFICATION AND LISTING
(2) 11/17/81
10/30/80
(6) 10/30/80
(6), (7) 11/19/80
(8) 11/25/80
12/04/80
(7), (8), (9) 5/20/81
9/25/81
11/19/80
(1)&(2) 5/20/81 •
,(a)(3),(b) 9/09/81
1/20/83
11/25/80
(1) 8/18/82
(1) 7/07/81
(1)&(2) 7/07/81
11/12/80
7/16/80
11/12/80
1/16/81
5/20/81

FR

•age Mo.
Fffect or
Change

Cements
S YSTE? ' : GENERAL
45
45
45
45
46
46
47
47
48
46
47
FR'
FR
FR
FR
FR
FR
FR
FR
FR
FR
FR
72028
76075
76630
86968
2348
27476
9339
32349
2511
352^7
41562
3
2
2
2
3
3
3
1
3
2
1









Original

OF HAZARDOUS WASTE
46
45
45
45
45
45
46
46
45
46
46
48
45
47
46
46
45
45
45
46
46
FR
FR
FR
FR
FR
FR
FR
FR
FR
FR
FR
FR
FR
FR
FR
FR
FR
FR
FR
FR
FR
56588
72028
72037
76620
80287
80287
27476
47429
76623
27476
44973
2530
78529
360Q2
35247
35247
74892
47833
74890
46.17
27477
1
1
1
1
1
1
3
1
3
3
1
3
1
3
3
3-
3
2
1
1
1,3

Original





.







•





C-2

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40 CFR
Reference
261.32

261.33
(c),(d)
Appendix II
Appendix III
Appendix VII
Appendix VIII
Date of Codification FR Kffert of
Change, Revision, etc. Page No. • Change Ccrronts
7/16/80
10/30/80
11/12/80
1/16/81
5/20/81
11/25/80
>,(e),(f) 5/20/81
10/30/80
7/07/81
7/07/81
4/08/83
7/16/80
11/12/80
1/16/81
5/20/80
7/16/80
11/12/80
5/20/81
6/03/81
PART 262 - STANDARDS APPLICABLE TO
262.10 (£)
(b)
(d)
262.11 (a)
262.12
262.21
262.23 (c),(d)
262.34 (a)(l)
262.40 (b)
262.41
12/31/80
1/11/82
4/1/83
11/19/80
12/24/80
2/13/81
3/04/82
,+(note) 12/31/80
11/19/80
1/11/82
1/28/83
1/26/81
2/23/82
1/28/83
45 FR 47R33
45 FR 72039
45 FR 74891:
46 FR 4618
46 FR 27*76
45 FR 78529 & 41
46 FR 27477
45 FR 72041
46 FR 35247
46 FR 35248
48 FR 15256
45 FR 47834
45 FR 74892
46 FR 4619
46 FR 27477
45 FR 47834
45 FR 74892
46 FR 27477
46 FR 29708
GENERATORS OF HAZARDOUS
45 FR 86970
47 FR 1251
48 FR 14146
45 FR 76624
45 FR 85022
46 FR 12207
47 FR 9340
45 FR 86973
45 FR 76626
47 FR 1251
48 FR 39*2
46 FR 8395
47 FR 7842
48 FR 3981
1
1
1
2
1
3,1 Heading and
3,1 (c) revised
3
3,1
3
1
2
2,3
2
1
3
3
1
1
WASTE
3,2-
3
3
1
3
3
1
3
1
1
. 2
1
1,3
2
C-3

-------
40 CFR Qate of Codification FR Effect of
Reference Change, Revision, etc. Page MO. Change . Cements
262.50 (b)(3),(d)
(b)(l)(iii)
262.51
Appendix II
PART 263 - STANDARDS
263.10 (c)(2)
263.11
263.12
263.20 (e),(f) .
263.22 (b),(c),(d),(e)
PART 264 - STANDARDS
264.1 (gH6)
(g)(7)
(g)(8)
(g)(10)
(0
(d)
(e)
(f)
(g)(8)
264.3
264.10
(b)
(b)
.VH4/82
3/29/83
11/25/80
3/04/82
1/28/83
APPLICABLE
12/31/80
12/24/80
2/13/81
12/31/80
4/1/83
12/31/80
12/31/80
FOR TSDF'S
11/17/80
12/31/80
11/19/80
2/25/82
3/09/82
4/1/83
4/1/83
4/1/83
4/1/83
1/19/83
4/1/83
1/12/81
1/23/82
7/26/82
47 FR 9340
48 FR 13027
45 FR 78529
47 FR 9340
48 FR 39H2
3
1
3
2 Manifest form
2
TO TRANSPORTERS OF HAZARDOUS WASTE
45 FR 86968
45 FR 85022
46 FR 12207
45 FR 86968
48 FR 14294
45 FR 86973
45 FR 86973
45 FR 76075
45 FR 86968
45 FR 76630
47 FR 8306
47 FR 10006
48 FR 14294
48 FR 14294
48 FR 14294
48 FR 14294
48 FR 2511
48 FR 14294
46 FR 2848
46 FR" 7678
47 FR 32349
1
3
3
1
3
1,3
3,1
1 Original
1 -
1
1
3 Corrects all above
numbers
3
3
3
3
2
3
3
3 ctiginal
1
264.12  (c)






264.13  (b)(3)
4/1/83
1/12/81
48 FR 14294
46 FR  2848
                                      C-4

-------
40 CTR
Reference
(a)
264.14
264.15 (h)
( h )
( o )
264.16 (a)
264.17
264.18
264.32 (d)
264.35
Subpart C -
264.36
264.52
264.71 (c)
(b)
264.73 (b)
(5)
264.75 (e)
pfcte of Modification
Revision, Change, etc.
(6) 1/12/81
(6) 1/23/81
( I ) 4/1/83
1/12/81
(2) 4/1/83
(4) 1/12/81
(4) 1/23/81
(4) . 7/26/82
(4) 4/1/83
1/12/81
(1) 4/1/83
1/12/81
1/12/81
(1) 7/26/82
4/1/83
4/1/83
4/1/83
Preparedness and Prevention
1/12/81
5/20/81
12/31/80
12/31/80
,(6), (7), (8) 1/12/81 &
1/23/81
(6) 7/26/82
,(?),(g),(h) 1/12/81
1/26/81
2/23/82
1/28/83
FR
Page No.
46 FR 2848
46 FR 7^78
48 FR 14294
46 FR 2848
48 FR 14294
46 FR 2848
46 FR 7678
47 FR 32351
48 FR 14294
46 FR 2848
48 FR 14294
46 FR 2848
46 FR 2848
47 FR 32351
48 FR 14294
48 FR 14294
48 FR 14294
46 FR 2849
. 46 FR 27480
45 FR 86970
45 FR 86974
46 FR 2849
and 7678
47 FR 32349
46 FR 2849
46 FR 8395
47 FR 7842
48 FR 3982
Effect of
dange
2
2
3
3
3
2
3
3,1
3
3
3
1
1
3,1
3
3
3
1
3
2
3,1
3,2
3,2
3,2
1,3
1,3
2
Cements
Original



Original
Original




Original
Read as package
Read as package
Suspends 5
Re imposes $
264.76
1/28/83
48 FR  3982
                                      C-5

-------
40 CFR Gate of
Reference Change,
264.77
Suboart
264.90
264.93
264.94
Suboart
(b) & (c)
F - Ground-water
- 264.100
(c)
(c)
G - Closure and
Modification
Revision; etc.
1/12/81
7/26/82
1/28/33
Protection
7/26/82
4/1/83
4/1/83
Post Closure
FR Effect of
Page No. Change Ccrments
46
47
48
47
48
48

FR
FR
FR
FR
FR
FR

2849
32349
3922
32350-
32356
14294
14294

3 Original
3 Revises section
3
1 New
3
3

1/23/81
4/1/83
4/1/83
4/1/83
46 FR 7678
48 FR 147.94
48 FR 14294
48 FR 14294
3,1
3
3
3
264.110 - 264.120          1/12/81         46 FR  2849        1       New

264.112


264.113

264.118 (a)

Note:  On July 26, 1982 fl  47 £R 32356-57, the following Subpart G Sections
       were revised, and should be noted when applying for Phase II:
                                                                •
        264.110(b); 264.112(a) intro text, and (a)(l);
        264.117(a)(l)(i) and (il); and 264.118(a), intro
        text, (a)(l), (a)(2)(i) and (ii).

Subpart H - Financial Requirements

Note:  On April 7, 1982 0  47 FR 15047 et. seq., all of Subpart H was revised,
       with the exception of 264.147, which was revised April 16, 1982 «
       47 £R 16554.  Although these changes are not required to be included by
       Phase II A and B applicants, it is suggested that they adopt these
       revisions.

In addition to the April 7 and 16 major revisions, other changes to Subpart H
occurred as follows:

264.142 (a)

264.144 (a)

264.145
7/26/82
7/26/82
7/26/82
47 FR 32357
47 FR 32357
47 FR 32357
3
3
3
                                      C-6

-------
40 CFR • Rate of
Reference Change,
264.147
(g)
(g)
264.151 (g)
Subpart I - Containers
264.170-264.173
264.175.
Subpart J - Tanks
264.190-264.199
264.191
264.198 (b), and
Modification
Revision, etc.
7/01/32
7/13/32
7/13/82
4/27/32

1/13/81
11/10/81

1/13/81
7/07/81
7/07/81
FR
Page No.
47 FR 28627
47 FR 30447
47 £R 3047
47 FR 17939

. 46 £R 2866
46 £R 55112

46 FR 2867
46 FR 35249
46 FR 35249
Effect nf
Change Connents
3
3 , 1 .'Stew
3
3

1
1

1
1
3
ccmnent

Subpart K - Surface Impoundments

264.220-264.230  Originally promulgated 1/12/81 (? 45 _FR   2868,  the  regulations
                 were superseded in toto on July 26, 1982 (effective January  26,
                 1983) 
-------
40 CFR
Reference
Subpart O -
264.340-264.
264.340 (b),
(0
264.341 (a)
(a)
264.342 (b)(
264.343 (b),
(d)
264.344
264.345
264.347
Appendix V
Appendix VI
Appendix VI
Appendix VI
PART 265 -
Date of Modification
Change, Revision, etc.
Incinerators
351 Originally promulgated
These regulations were
on June 24, 1982 * 47
noted below:
(c) fi/24/82
4/1/83
6/24/82
4/1/33
2) 4/1/83
(c) 6/24/82
4/1/83
6/24/82
4/1/83
6/24/82
6/24/82
1/12/81
1/12/81
11/23/81
1/08/82
FR
Page No.
Effect of .
Change
Carmen ts
1/23/81 0 46 PR 7678.
substantially amended
FR 27532 et. seq. , as
47 FR 27532
48 FR 14294
47 FR 27532
48 FR 14294
48 FR 14294
47 FR 27532
48 FR 14294
47 FR 27532
48 FR 14294
47 FR 27532
47 £R 27532
46 FR 2872
46 FR 2872
46 FR 57285
47 FR 953
1
3
3
3
3
1,3
3
3
3
3
2,3
3
3
3
3




New Section






INTERIM STATUS STANDARDS FOR TSDF'S
265 (General) 5/21/80
1/30/81
265.1 (c)(
(c)(
(c)(
(c)(
(c)
10) 11/17/80
11) 11/19/80
10) 12/31/80
5/20/81
13) 2/25/82
3/09/82
4/1/83
1/19/83
45 FR 34255
46 FR 10911
45 FR 76075
45 FP 76630
45 FR 86968
46 FR 27480
47 FR 8306
47 FR 10006
48 FR 14295
48 FR 2511
3
3
1
1
1
3
1
3
3
3

Original
Original
Original
(c)(10) becomes
c-a

-------
  40  CFR
 Reference

 265.12

 265.52   (b)
         Date of Modification
         Change, Revision, etc.

                  4/1/33

                  5/20/81
 265.71
(c)(l)thru(5)
(b)
12/31/80
12/31/80

 1/23/81
 265.73   (h)(3)

 265.75



 265.76

 265.77

 265.90   (e)

 265.93   (a)

 265.94   (a)(2)(i)


Subpart G - Closure and Post-Closure
265.110 - 265.220

265.147
        (c)
        (d)
        (f)
        (g)
                  1/12/81

                  4/1/83
                  7/1/82
                  7/1/82
                  7/1/82
                  7/1/82
                  7/1/82
                  7/1/82
                  7/13/83
   FR
Page No.

48 FR 142^5

46 _FR 27480

45 FR 86970
45 FR 86974

46 FR  7680
Effect of
  Change'

     3

     3

     3
     3
1/23/81
2/23/82
1/28/83
1/28/83
1/28/83
2/23/82
2/23/82
2/23/82
1/28/83
46 FR
47 FR
48 FR
48 FR
48 FR
47 FR
47 FR
47 FR
48 FR
8395
7842
3982
3982
3982
7842
7842
7842
3982
1,3
1
2
2
2
2
1
1
2
                 46 FR  2875       2,3

                 48 FR  14295       3
                 47 FR  28627       3
                 47 FR  28627       3
                 47 FR  28627   .    3 '
                 47 FR  28627       3
                 47 FR  28627       3
                 47 FR  28627       3
                 47 FR  30447       3
                                            Garments
Original
                         Section revised
Subpart H - Financial Requirements - Some changes were made bef-reen  5/19/80 and
            4/17/82.  These are not included here, since all of  Subpart H,
            Financial Requirements was revised and rewritten as  of 4/7/82
            @ 47 FR 15064 - 15074 (40 CFK 265.140-150).  Liability Requirements
            (§265.147) were issued 4/16/82 (§ 47 FR 16559-16561).
Suboart J - Tanks
265.198
                  7/07/81
                 46  FR 35249
                                      C-9

-------
40 CFR : Hate of Modification FR Fffect of
Reference Change, Revision, etc. Page No. Chance Ccr^nts
Subpart
265.222
265.228
265.229
Subpart
265.253

265.258
Subpart
265.272
265.276

265.279
265.280
265.281
Suboart
265.302
265.310
265.312
265.314
265.315
265.316
K - Surface Inooundrents
7/26/82
7/26/82
7/26/82
L - Waste Piles
(b)(and crrrant) 7/07/81
(a),(c) . 7/26/82
7/26/82
M - Land Treatment
(h),(c),(d) 7/26/82
(e) 7/26/82
7/26/82
4/1/83
7/26/82
(c),(d), 7/26/82
(e),(.f) 7/26/82
7/26/82
N - Landfills
(a),(b),(c) 7/26/82
7/26/82
7/26/82
(b),(c) 3/22/82
(a)(l) 7/26/82
7/26/82
11/17/81
1/15/R2
47 FR 32387
47 FR 323«7
47 FR 32387
46 FR 35249
47 FR 32367
47 FR 32367
47 FR 32368
47 FR 32368
47 FR 323*8
48 FR 14295
47 FR 32368
47 FR 32368
47 FR 32368
47 FR 32368
47 FR 32368
47 FR 32387
47 FR 32368
47 FR 12318
47 FR 32368
47 FR 32387
46 FR 56595
47 FR 2316
3
3,2
3
1
1,3
2
3,2
2
2
3
3
3,2 •
2
3,2
3,2
2
3,2
3,2
3,2
1
1
Original
Original
Original


Original
Original



Original




•

Original
C-10

-------
40 CFR Hate of 'Codification
Reference Change,
Suhpart o - Incinerators
Revision, etc.

FP Effect of
°age Mo.

The May 19, 1980 regulations were revised _in toto January
(46 FR 7680). All revisions cited here are to the January
265.340 (b)
265.347 (b)
Appendix II
P*RT 122 - PERMITTING
Note: On April 1, 1983,
to Part 270. (See
122.3
122.4 (b)
(d)(7)
122.6
122.7 (c),(h),(i)(l)
122.10 (a)
(a)(4)
(b)
122.11 (c)
(0
122.15 (a)(7)
(a)(7)(iv) thru
6/24/82
6/24/82
1/28/83
REQUIREMENTS
47 FR 27533
47 FR 27533
48 FR 3982
Chanoe
23, 1981
23 FR.
1
1
2
Cnments





all Part 122 requirenents were recertified
48 FR 14146).
7/21/80
10/15/80
11/17/80
11/19/80
12/31/80
1/09/81
8/27/R1
2/03/82
1/19/83
11/10/80
4/08/82
8/06/80
4/08/82
10/15/80
2/03/82
7/26/82
2/13/81
9/25/81
1/12/81
7/26/82
45 FR 48620
45 FR 68391
45 FR 76075
45 FR 76630
45 FR 86968
46 FR 2348
46 FR 93160
47 FR 4996
48 FR 2512
45 FR 74490
47 FR 15306
45 FR 52149
47 FR 15307
45 FR 68391
47 FR 4996
47 FR 32369
46 FR 12433
46 FR 47433
46 FR 2888
47 FR 32369
3
1
3
2
2
3
3
3
3
3
1,3 .
3
3,1
1
1
3,1
3
- 3
3,2
2
Definitions


_


Original
Original
(viii)
                            Oil

-------
40 CFR Date of Modification FR Effect of
Reference Change, Revision, etc. Page No. Change
122.16
122.17
122.18
122.19
122.20
122.21
122.22
122.23
122.25



122.26
122.27
(a) 8/27/81
(f)(3) 6/24/80
(e) 1/12/81
(f)(l) 8/27/81
(e)(3),(4),(5) 6/24/82
(e)(6),(7),(8) 7/26/82
(c)(4)(ii) 6/24/80
(c)(3) 1/28/83
(d) . 4/08/82
7/07/81
(a) 9/21/82
(d)(2)(vi) 11/17/30
(d)(3) 11/19/80
(d)(2)(vii) 12/31/80
(d)(2)(viii) 2/25/82
(d)(2)(viii) 3/09/82
(d) 7/26/82
(d)(4) 7/26/82
(a)(l),(2),(3) 11/19/80
(a)(l) 11/19/80
12/10/81
all 1/12/81
(b)(5) 1/23/81
all 7/07/81
(b)(4) ' 11/06/81
(b)(5) 6/24/82
(b)(3),(4),(6),(7)
(c) 7/26/82
(a)(3)(v) 1/28/83
(b)(3)(v) 4 (vi) 1/23/83
1/23/81
7/07/81
6/24/82
7/26/82
46 FR 43160
45 FR 42512
46 FR 2889
46 FR 43160
47 FR 27533
47 FR 32369
45 FR 42511
48 FR 3983
47 FR 15307
46 FR 35249
47 FR 41563
45 FR 76075
45 FR 76630
45 FR 86968
47 FR 8306
47 FR 10006 .
47 FR 32396
47 FR 32396
45 FR 76635
45 FR 76636
46 FR 60446
46 FR 2889
46 FR 7681
46 FR 35249
46 FR 55113
47 FR 32369
47 FR 32369
48 FR 3983
48 FR 3983
46 FR 76H1
46 FR 35249
47 FR 27533
47 FR 32372
3
3
3
3
3
1
2
1
3
3
1
1
1
1
. 3
3,2
1,3
3,1
3,1
3
2,3
2
1,3
3
3,2
3,2
2
2
2
3
3
2
Ccrnents

Adds fJIC


Original
Original
Original
Original
Original


Original


Land Disposal
Part »

Original
C-12

-------
 40 CFH
Reference

I22.28(e)(3)

122.29
Date of -Modification •
Change, Revision, etc.

         L/28/83

         1/12/81
         9/25/81
PART 124  -  PERMITTING PROCEDURES

124.3   (b)               8/07/80

124.5                     8/07/80

124.10  (b)(l),
            I),(2)        7/15/81
         7/1S/81
         4/08/82
124.12 (a)
124.16  (a)(l)
   FR
Page Nio.

48 _FR 3983

46 FR  2892
46 FR 47433
45 FR 52748

45 FR 52748


46 FR 36706



46 FR 36706



47 FR 15307
Effect of
  Change
     3
     3
Garments
            Reflects 1980 RCRA
              amendment to
              <57004(h)

            Reflects 1980 RCRA
              amendment to
              $7004(b)
                                      C-13

-------