vvEPA
United States
Environmental Protection
Agency
Office of
Solid Waste and
Emergency Response
DIRECTIVE NUMBER: 9434.00-6
TITLE: PiG-81-9
Effect of EPA's iMeniorandum of Understanding with the
Department of Transportation on Activities in States
with Cooperative ^rranqements
APPROVAL DATE: December 10, 'i960
EFFECTIVE DATE: December 10, 1980
ORIGINATING OFFICE: Office of Solid Waste
0 FINAL
D DRAFT
STATUS:
[ ] A- Pending OMB approval
{ j B- Pending AA-OSWER approval
[ ] C- For review &/or comment
[ ] D- .In development or circulating
headquarters
REFERENCE (other documents):
OS WER OS WER OS WER
/£ DIRECTIVE DIRECTIVE Di
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4* EPA
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vVasnington. OC 2W60
OSWER Directive Initiation Request
9434.00-6
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| Name of Coniact Person
SPB
Ma.i Coa« - Branch
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_ 382-2210
Lead Oldce
D OERR
S OSW
D OUST
LJ OWPE
CD AA-OSWER
Approved lor Review
Signature ol Office Director
Oaie
Tills
(PIG-81-9) Effect of EPA's MOU with the DOT on Activities in States
with Cooperative Agreement
[Summary of Directive
Memo answers the following. How does EPA's memorandum of
understanding with the DOT affect activities conducted by States wit
Cooperative Agreements.
Key Words:
Federal Agency, Unauthorized
Type of Directive tManual. Policy Directive. Announcement, eic.i
Status
Draft
F,na>
! New
I II Revision
Does this Directive Sup«rse<3e Previous Oirectiveis;' [_j Yes |_J No Does it Supplement Previous Oirective | j Yes ' | No
If "Yes to Either Question. What Directive fnumtter. title!
Review Plan
LJ AA-OSWER
D OERR
D OSW
D O'JST
Lj OWPE
II Regions
D OECM
D OGC
D OPPE
D
Otrier iSoecilf)
I This Request Meets OSWER Directives System Format
ot Lead O'dce Directives
Date
Signature ol OSWER Directives Officer
Daie
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UNITED STATES ENVIRONMENTAL PROTECTION
WASHINGTON, D.C. 20460
OFFICE OF ENFORCEMENT
PIG-81-9
MEMORANDUM
SUBJECT: Effect of EPA's Memorandum of Understanding with the
Department of Transportation on Activities in States
with Cooperative Arrangements
FROM:
TO:
Steffen W. Plehn .
Deputy Assistant AdmMistrato
for Solid Waste (waK562)
R. Sarah Comptonj
Deputy Assistant V*dminfstra£or
for Water Enforcement (EN-335)
PIG's Addressees
ISSUE:
How does EPA's Memorandum of Understanding (MOU) with the
Department of Transportation (DOT) affect activities conducted
by States with Cooperative Arrangements?
DISCUSSION:
The EPA-DOT Memorandum of Understanding (45 PR 51645, see
attachment) on hazardous wastes transportation enforcement was
signed on June 24, 1980. The purpose of the MOU is to clarify
the responsibilities each Agency has in enforcing regulations
concerning hazardous waste transportation. The MOU, in essence,
assigns to DOT the primary enforcement responsibility regarding
transporters of hazardous waste and assigns to EPA the primary
enforcement responsibility regarding generators and TSD facilities.
It also calls for the exchange of information between the Agencies
and cooperation in inspecting and bringing enforcement actions
against violators of regulations under both RCRA and the
Hazardous Materials Transportation Act (HMTA).
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The EPA-DOT MOU was executed by and operates solely
between the two Federal agencies. Authorization, pursuant
to §3006 of RCRA, of State programs does not bring the States
within the purview of the MOU. EPA encourages authorized States
to execute similar agreements with either the U.S. DOT or their
State DOT counterparts to enable them to obtain maximum use of
available resources and expertise.
The responsibilities and conditions of the EPA-DOT MOU must
be considered where States are conducting inspections and other
enforcement activities under Cooperative Arrangements with EPA.
If the Cooperative Arrangement calls for State personnel to
inspect transporters under the State's authority, as a matter
of policy such activity falls under the auspices of the EPA-DOT
MOU, and the U.S. DOT should be notified. Where State personnel
are acting as representatives of EPA under §3007 of RCRA, the
inspections clearly fall within the jurisdiction of the EPA-DOT .
MOU and the U.S. DOT must be notified. The EPA Regional Office
or the State should be able to provide the U.S. DOT Regional
Office with information on the extent of the anticipated inspec-
tion program, the targeted areas, and the results of completed
inspections where violations of the HMTA are detected. EPA
and/or the State can expect similar information from DOT.
DECISION;
In preparing the Cooperative Arrangement where the State is
performing inspections of hazardous waste transporters, either
the EPA Regional Office or the State must inform the appropriate
U.S. DOT Regional Office of such Arrangement. Under the EPA-DOT
MOU, the EPA Regional Office remains obliged to notify DOT.
However, as part of the Cooperative Arrangement, the State may
fulfill this obligation.
To address the responsibilities assigned in the MOU, EPA
Headquarters is preparing an Implementation Plan. This Plan will
describe exact procedures EPA and DOT will use in carrying out
the MOU. In the near future, we will transmit a draft of the
plan to the Regional Offices for review and comment.
Attachment: EPA-DOT MOU
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Federal Register / Vol. 45, No. 151 / Monday, August 4. 1980. / Notices
5154o
[F«t.1S53-3T- ---_ ; . ' - /
Enforcement of Standards Applicable
to Shippers and Transporters at
Hazardous Waste; Memorandum of
Understanding Between trie
Department of Transportation and the
U.S. Environmental Protection Agency
Pursuant to the Hazardous Materials
Transportation Act fHMTA). 49 U-S.C.
1801-1812. the Secretary of
Transportation pramuigsted regulations
governing the transport of hazardous
wastes and hazardous substances. 45 FR
34560 (May 22.1930). Pursuant to the
Resource Conservation and Recovery
Act mCRA), 42 U.S.G. 6301-6587. the
Administrator of the U-S. Environmental
Protection Agency (EPA) promulgated
regulations which establish standards
applicable to transporters of the
hazardous waste. 45 FR 33130 (May 19,
1380). The regulations establishing
standards applicable to transporters of
hazardous waste were promulgated by
the Administrator after consultation
with the Secretary of Transportation
acd are consistent with the
requirements of HMTA and the-"
regulations promulgated pursuant to that
Act. In addition, the- Administrator of-
the EPA has made recommendations' to
the Secretary of Transportation --=-.
respecting the regulations of hazardous-
waste materials subject to HMTA and
for the addition of materials to be"
covered by that Act. ""- - = '- ' "'
Irr order to integrate the - - "-"-'ryU..
administration and enforcement of the
provisions- of HMTA" and RCRA. and lo»-
avoid duplication to the maximum
extant practicable^ the Secretary of ' - ;
Transportation and the Administrator of
EPA have executed a Memorandum of
Understanding (MOLT) regarding the
enforcement of standards applicable to
shippers ard transporters of hazardous
wastex. ' :.--'
The Secretary of Transportation and
the Administrator of EPA do not intend
the-MOU to establish standards
applicable to state-hazardous waste
programs whichr are authorized under
§ 3006 of RCRA. Staies which are
authorized to carry out hazardous -
waster programs are encouraged to
develop their own agreements berweea
the appropriate Slate transportation . .
agency and Stare environmental agency
to ensure the urufoea and consistent
enforcement of the hazardous waste
transportation regulations.
The .V[QU, which delineates the areas
of. compliance monitoring and.
enforcement responsibilities with..
respect to hazardous waste shipments,. -
reads as follows; - . _...-".
Memorandum of Understanding Berweea ma '
Environmental Protection Agency and th*
QeparanentofTranspartatioa -
!. Purpose ""'*
The purposa of this Memorandum of
Understanding (MOLT) is to delineate th»
areas o£ responsibility of the Department of
Transportation (DOT] and the EavironineoiaJ
Protection Agency (EPA) for the enforcement
of standards applicable to the shipment and
frar.sccr'.3Uon of hazardous waste. This
MOU p.vtU also set forth, those areas of joir.t
responsibility and cooperation between the
two Agencies.
//. Statutory Basis
A. EPA cad 'he Resource Cdrser/ction
and Recovery Act of !9~& Th* Resource
Conservation and Recovery Ac: o£ ^978
fRCRA) (43 U.S.C. 6901 et sec,.) in Section
3COZ ar>.d Section-3003. requites EPA to
regulate generators and transporters of
hazardous wastes to protect human health
and the environment. This authority covers
both inter- and intra-state caosportation. The
Act requicea EPA-to prox'-L^ata siaadaccs
concerning recordkeepinz reporting,
labelling, containers, compliance with the
manifest system, and the transportation of
waste only to permitted facilities.
Section-3003 also require* the
Administrator of EPA to ensure that - -
hazardous waste transportation regulation?
promulgated, under RCSA are consistent, with/
those promulgated by DOT under that- -
Hazardous Materials Transportitiaa Act
(HMTAI. Furthermore, it provides che .......
Arira.inisttatoc tha authority to maJte .... ...
recommendations to the Secretary of. .
Transportation respectiag HMTA reguJatfons-
and for addition of materiaiaitobe covered .
under thos* regulation* (40 CTR Parts 2SO- --
235.) -.,,-';/-"---- '-'-...._-
E DOT and the Hazaidov* Material* '-
TmosportatiotrAct The Hazardous. Ma leiials.
Transportatioo Art (HMTA] (49 U.S.C 1801 ;_
et seq.) requires the Secretary of /
Transportation, to promulgate standards for '
the trans port ajCioxt of hazardous [naturals iir" '.
commerce to protect public heaiuvarai saiery
or proeperty. "Jir commerce" extends to all
activities whica aHect interstate-
trar.spcrtaQ'ort. The HMTA reguiaa'oas cover
all modes of transportation (highway,
railroad, air and water) and require, among '
other things, prop«E marking: - -
containehzation. storage, shipping papers
and placacdiog. [V> CFR Parts 170-ua)
HI. Background ' ' ' "
A. Regufatorr Orerfap. DOT and EPA are
both promulgating regulations concerning
hazardous was- .
authority. - ' ~
DOT. on the other hand, require* that
certain safety feature* be-installed on all
motor vehicles^ EPA's authority does nor
extend to such safety requirements, and they
would not be included in EPA's regulations.
IV. Terms cf Agreement
A. The EnvironmentalPrs:si::on Agency
WiH. 1. Conduct an on-going proysm u>
monitor compliance of generators of
hazardous waste and hazardous waste
management facilities with the RCHA
regulations.
2. Bring enforcement actions, at rimes.
involving hazardous waste transporters
where the transportation is ancillary :o
treatment, storage or disposal of hazardous
waste or other activities normally under the
primary jurisdiction of EPA as discussed ia
this MOU. fFor example, a "midr.i-ght
dumper" wilt be considered an illegal
disposer. The fact that iha. "aus;.per" is
transporting the waste is ancillary to the
disposal of the waste and £PA wiU bnn:r
appropriate enforcement acrion against hicr.i
3 Provide to the Bureau o: Motor Carrier
Safety (BMCS). Federal Highway
Admmistration'i (FHWA) Waahingtotr
Office. DOT on a continuing basis, 3 list of ai!
hazardous waste transporters who hare
noticed EPA porsuact to section 3010of
RCRA and their identification numbers.
4. Immediately notify the BMCS. FHWA's-
Washington Office. DOT of any possible
violation of HMTA or regulations adopted
thereunder of which it ia aware and provide
that ofSc« with all relevant information..
5. Investigate reports from DOT which give
EPA cauae to suspect that a-violation o£_
RCRA has occurred and. where warranted.
initiate appropriate regulatory or enforcement
action under RGLA, ..-...
' 6. Provid* DOT with any information ..
obtained during tha courses of an EPA
Investigation which EPA believes mayr
involve a violation of HMTA.
7. Make available to aMCS. FHWA1 DOT
any reportv documejrts or other evidence
accessary to iupport an enforcement action
under HMTA which, involves hazardous
waste materials.
a Make available to the Office jf
Hazardous Materials Reguiatran, Materials
Transportation Bureau. Research and Special
Programs Administration. DOT. any reports,
documents or other evidence necessary !o
support a regulatory action order HMTA
which involves hazardous waste materiaia.
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51648 Federal Register / Vol. 45, No. 151 / Monday, August' 4. 1980 / Notices
9. Bring enforcement actions to address
hazardous waste activities which may .
present an "imminent, and substantial
endangerment to health and the
environment" as those words are used in the
statutes administered by EPA (such as § 7003
of RCRA and § 504 of the Clean Water Act).
3. The Department of Transportation. Will:
1. Conduct an on-going program of . -
inspections of transporters and shippers of
hazardous waste to monitor their compliance
with HMTA regulations.- .,
2..Immediately advise the appropriate EPA._
regional office of anypossibie violation of -.
RCRA or regulations adopted thereunder of
which it'is aware and provide that office with
ail relevant information. -- ,-.--- ::vf -^.-Vf- -vr
3. Investigate reports-from EPA which give...
DOT cause to suspect.that& violatipn.of. vxi'
HMTA has occurred and-where warranted,. -
initiate appropriate .regulatory or enforcement
action under HMTA. .- =<- ;^;,;_; j ;: ;,<;.-w,
4. Provide EPA with any information -\'i~_--.
obtained during the course of a DOT
investigation which DOT believes rflay
involve a violation of RCRA. : '
5. Make available to EPA any reports,
documents or other evidence necessary to
support enforcement and regulatory actions
under RCRA which involve hazardous waste.
C. Each Agency Will: 1.. Presume that when
information reveais a violation of both RCRA
and HMTA. if DOT takes an enforcement
action under HMTA. EPA will not normally
take such action. Conversely, if EPA takes an
enforcement action under RCRA. DOT will
not normally sake such action. This does not
however, preclude either Agency from
initiating other legal sanctions in regard to
that violation.
Z. Coordinate investigations and -
enforcement actions involving violations of
both RCRA and HMTA to avoid duplication
of effort.
3. Maintain a close working relationships
with the other, both in Headquarters as well
as in the field, including an exchange of
information relative (o the Agencies' planned
hazardous waste material compliance
monitoring and enforcement activities.
4. Designate for :he other Agency-a
Headquarters contact point to whom
communication regarding this agreement or
matters affected thereby may be referred tor
attention.
5. Assign regional liaisons between the
Agencies, and provide a mechanism by which
regional contacts will be made and
maintained for the period of this agreement.
5. issue and exchange with the other
ir.strjcticr.s and guidelines implementing this
Memorandum of Understanding identifying
interager.cy contacts and liaison . .. -
representatives, and setting forth other '
pertinent operational procedures to be- - _
followed relative to this agreement. . ,-:- --.
V. Effect "" _"^
A. This Memorandum of Understanding is.
not intended to limit in any way the statutory
authority or jurisdiction of either Agency.
3. Nothing in this Memorandum of
Understanding modifies other existing
agreements, or precludes either Agency from
entering into separate agreements setting
forth procedures for special programs which
can be handled more efficiently, and
expeditiously by such special agreement.
C This Memorandum of Understanding' "
when accepted by both Agencies shall
continue in effect unless modified by mutual
written consent of both Agencies or
tenainated by either Agency upon a thirty . -
day written notice.. ._-. -. .'..-
D. Any conflict ariaino as a result of this :
Memorandum. of.Understandicg will b« . ...
resolved by EPA's Deputy .Assistant
Administrator for Water Enforcement and ".'. '
DOTs Associate Director for Operations and
Enforcement. Materials Transportation '.. .;:
' Bureau. Research. and. Special Programs ..;.
.Administration..' ' ^.K .- - " ..-.'*:.:.._ '.,.^.,^j.'±
: -For the Environmental Protection Agency^g
Douglas M.Tbstla,\: . '-'-. ""-->-. : £/:-
-'Admiiusiratar.'.f.'"~-'' ..... *- " J*--'.-.. - "^ '~*
- ...;>:"Y'^-- 7". <=.-'< :':?': --- -~~-
-.. Dated.- May- 2.3380.- . .'-:~-~-~ -----r...
For the Department of Transportatioa^ ir<:*3
NeQ Goidschmidt, '- / - ''*?' ~- '-'::V
' .Secretary. ~~- :,."'. ' ". -'.;:'" - '", '. _ '^.
Dated: June 24. 1980. '. :
(This Memorandum of Understanding -
becomes effective on the date of the final --'-"-
iFK Doc. 30-23314 Filed S-l-ea S>43 am)
CODE 5S80-irt-« " .
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