-------
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
-------
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
-------
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
-------
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
-------
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
-------
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
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compliance with federal requirements in states without authorization that have
financial requirements.1
Therefore, this guidance has a dual purpose. It addresses:
(1) determining equivalence of a state's regulatory scheme
for financial responsibility in the RCRA program
authorization context, and
(2) determining equivalence of individual mechanisms in
the 264.149/150 and 265.149/150 context for the owner
or operator who must comply with both federal and
state requirements.
These two topics are addressed next in more detail.
Equivalence for Purposes of State Program Authorization
Pursuant to RCRA §3006(b), for a state program to receive final
authorization, it must (1) be "equivalent" to the Federal program, (2) be
-consistent with the Federal program and the programs of other authorized
states, and (3) provide adequate enforcement. EPA has interpreted the 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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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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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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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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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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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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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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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?
-------
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?
-------
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?
-------
-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).)
-------
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?
-------
- 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?
-------
-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).
-------
' _ 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)
-------
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
-------
-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.)
-------
-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.
-------
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
-------
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
-------
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) 47 FR 32357. For explanation of applicability, refer
to the preamble to the July 26, 1982, Federal Register (47 FR
32379).
Suboart L - Waste Piles
264.250-264.258 Originally promulgated 1/12/81
-------
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
-------