United States Solid VifrsJe And OSWER Direetve9938.02b
Environmental Protection Emergency Response October 1993
Agency (6SQ3)
,>EPA RCRA Inspection Manual
1993 Edition
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OSWER Directive 9938.02b
October 1993
REVISED RCRA INSPECTION
MANUAL
UNITED STATES ENVIRONMENTAL
PROTECTION AGENCY
Office of Waste Programs Enforcement
RCRA Enforcement Division
FOR USE BY EPA INSPECTION PERSONNEL ON.LY. This manual is intended solely lor guidance. No
statutory or regulatory requirements are in any way altered by any slatement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Disclaimer
The policies and procedures established in this document are
intended solely for the guidance- of employees of the U.S. Environmental
Protection Agency. They are not intended and cannot be relied upon to
create any rights,, .substantive or procedural, enforceable by any party in
litigation with the United States. EPA reserves the right to act at variance
with these policies and procedures and to change them at any time without
public notice.
ii
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No
statutory or regulatory requirements are in any wny nltorc'd by any stalemcnt(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Table of Contents
SECTION PAGE
1.0 Introduction.™,. 1-1
1.1 Background .... 1-2
1.2 Enforcement Overview.... 1-8
1.3 Enforcement Priorities 1-10
1.4 Authority and Limitations of Inspectors 1-12
1.5 Health and Safety Considerations 1-16
1.6 Work Ethics 1-19
1.7 Summary 1-21
2.0 Preparing for an Inspection 2-1
2.1 Introduction—Purpose and Objectives of
Inspection Preparation 2-2
2.2 Defining the Scope of an Inspection 2-4
2.3 Coordinating an Inspection 2-6
2.4 Reviewing a Facility File 2-8
2.5 Reviewing Applicable Regulations 2-11
2.6 Developing Facility-Specific Inspection Plans and
Checklists 2-13
2.7 Identifying Inspection Equipment 2-16
2.8 Completing a Pre-Inspection Worksheet 2-19
2.9 Summary 2-21
3.0 Procedure for Developing Permit-Specific TSDF
Inspection
Plans 3-1
3.1 Introduction 3-2
3.2 Developing An Inspection Protocol 3*6
3.3 Summary 3-22
4.0 Conducting an Inspection 4-1
4.1 Introduction 4-3
4.2 Facility Entry 4-4
4.3 Opening Discussion 4-10
4.4 Operations, Waste Handling, and Record Review 4-12
4.5 Visual Inspection Procedures 4-17
4.6 Documentation • 4-22
4.7 Closing Discussion 4-25
4.8 Summary 4-28
in
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No
statutory or regulatory requirements are in any way nliorcd by any slalomcnt(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Table of Contents
SECTION PAGE
5.0 Inspection FoUow-Up 5-1
5.1 Introduction 5-2
5.2 Report Preparation 5-3
5.3 Report Elements 5-5
5.4 Follow-up Discussions and File Preparation 5-9
5.5 Disclosure of Official Inforaiation 5-11
5.6 Summary 5-13
Appendix I: Keeping Up With Current RCRA Regulatory
Concerns 1-1
Appendix II: Glossary II-l
Appendix III: Regulatory Requirement Synopsis and
Inspection Procedures III-l
Introduction III-2
Table III-l Part 261 - Identification of
Hazardous Waste III-4
Table III-2 Part 262 - Generator Regulatory
Requirements 111-30
Table III-3 Part 263 - Transporter Regulatory
Requirements 111-54
Table III-4 Part 265 - Interim Status Facility
Regulatory Requirements 111-64
Table III-5 Part 264 - Permitted Facility
Regulatory Requirements III-192
Table III-6 Part 266 - Standards for
Management of Specific Hazardous Wastes
and Specific Types of Hazardous Waste
Management Facilities III-236
Table III-7 Part 268 - Land Disposal
Restrictions Regulatory Requirements III-284
IV
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No
statutory or regulatory requirements are in any way ulu-rocl by any staU'ment(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Table of Contents
SECTION
Appendix III:
PAGE
Regulatory Requirement Synopsis and
Inspection Procedures (Continued)
Table III-8 Part 279 - Used Oil Management
Standards -. .'111-314
Appendix IV: Inspection Checklists IV-1
1. General Site Inspection Information Form.... IV-2
2. General Facility Checklist IV-3
3. Air Emissions Checklist IV-10
4. Containers Checklist -..,. JV-31
5. Generators Checklist IV-32
6. Ground-Water Monitoring Checklist IV-38
7. Health and Safety Checklist W-45
8. Incinerator Checklist IV-58
9. Land Disposal Restrictions Checklist IV-80
10. Landfills Checklist IV-115
11. Land Treatment Checklist IV-119
12. Surface Impoundments Checklist IV-125
13. Thermal Treatment Checklist IV-130
14. Transporters Checklist IV-133
15. Waste Information Checklist IV-136
16. Waste Piles Checklist IV-140
17. RCRA Waste Minimization Checklist IV-143
AppendixV: Additional Resources V-l
Appendix VI: Significant Recent RCRA Federal Register
Entries VI-1
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This mamuil is intended solely for guidance. No
statutory or regulatory rcquircmenls nix- in Uny w:iy nllcix-'.l hy nny suuementts) contained herein.
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OSWER Dir. No. 9938.02(b)
List of Exhibits
PAGE
Exhibit 1-1: RCRA Mixed Waste Authorization as of
May 1, 1993 1-6
Exhibit 1-2; RCRA Corrective Action Authorization as of
May 1, 1993 1-7
Exhibit 1-3: Inspection Types and Relevant Guidance 1-9
Exhibit 1-4: RCRA Section 3007 (as amended by the Solid Waste
Disposal Act of 1980 and the Hazardous and
Solid Waste Amendments of 1984) 1-13
Exhibit 1-5: Health and Safety Guidance Documents 1-17
Exhibit 2-1: Inspection Preparation Summary 2-3
Exhibit2-2: Contents of an Inspection File 2-10
Exhibit 2-3: List of Inspection Equipment 2-17
Exhibit2-4: Pre-Inspection Worksheet 2-20
Exhibit 3-1: Map of ABC Manufacturing Facility 3-8
Exhibit 3-2: Waste Analysis Plan Permit Conditions and
Inspection Questions 3-17
Exhibit 3-3: Unit-Specific Permit Conditions and Inspection
Questions ... 3-19
Exhibit 3-4: ABC Manufacturing Facility's Corrective
Action Conditions 3-21
Exhibit4-l: Format for Denial-of-Access Report.... 4-7
Exhibit 4-2: Required Submittals to the Regional Administrator 4-15
Exhibit 5-1: Recommended Narrative Outline for Inspection
. Report 5-7
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No
statutory or regulatory requirements are in any wny ulleivd by any slalcmcnKs) contained herein.
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OSWER Dir. No. 9938.02(b)
Foreword
The RCRA Inspection Manual was originally developed and issued by the RCRA
Enforcement Division of U.S. EPA's Office of Waste Programs Enforcement in 1988. The
Manual was intended for the exclusive use of inspection personnel in conducting field
inspections of RCRA-regulated facilities under U.S. EPA or State program authorities.
Since 1988, significant regulatory developments have occurred and the need to provide a
more useful tool for inspectors has grown.
The overall goal of this Manual, then, is to provide useful procedural and technical
information to determine facility compliance with RCRA standards. Specific objectives
are as follows:
• To provide a detailed overview of the elements of RCRA Compliance
Evaluation Inspections (CEIs)
• To describe the scope of inspector authorities and responsibilities
• To provide detailed standard procedures for performing RCRA inspections
• To provide general inspection information that is comprehensive in scope
and complements more detailed guidance on inspecting particular types:of
hazardous waste facilities
• To provide a basis for general training of new inspection personnel in
RCRA inspection procedures
• . To make essential regulatory information readily accessible to inspectors.
Vll
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manunl is intended solely for guidance. No
statutory or regulatory requirements arc in any way nlli'ri'd by any slalcmcnt(s) contained herein.
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OSWER Dir. No. 9938.02(b)
1.0 Introduction
SECTION EASE
1.1 Background 1-2
Introduction 1-2
The RCRA Program 1-3
Federal RCRA Standards 1-4
State Authorization in the RCRA Program 1-4
1.2 Enforcement Overview 1-8
Types of Inspections 1-8
Enforcement Actions 1-8
1.3 Enforcement Priorities 1-10
1.4 Authority and Limitations of Inspectors 1-12
Confidential Business Information 1-15
1.5 Health and Safety Considerations 1-16
1.6 Work Ethics 1-19
Conflicts of Interest 1-19
Public Relations 1-19
Gifts, Gratuities, Favors, Luncheons, Etc 1-20
Attempted Bribery 1-20
1.7 Summary 1-21
1-1
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No
statutory or regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
1.1 Background
Introduction
This chapter iwill:
• Provide an overview of the RCRA program, summarizing the purpose of the
statute, applicable federal regulatory standards, and authorization of state
RCRA programs
• Provide an overview of the RCRA enforcement program, including a
description of the types of RCRA inspections, their role in the enforcement
program, and available guidance
• Briefly explain the basis for the RCRA program's enforcement priorities
and their potential impact on inspectors
• Summarize an inspector's authority and responsibilities under RCRA
§3007
• Offer insight into health and safety concerns about which inspectors should
be aware
• Discuss the work ethics expected of an inspector.
The remainder of this Manual will provide inspectors with detailed procedures and
guidelines for inspection preparation, conducting inspections, and inspection follow-up.
PREPARING
FOR
INSPECTIONS
Chapters 2 & 3
CONDUCTING
INSPECTIONS
INSPECTION
FOLLOW-UP
Chapter 4
Chapter 5
1-2
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No
statutory or regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
The primary purpose of this Manual is to provide procedural and technical
guidance for performing inspections of facilities regulated by the Resource Conservation
and Recovery Act of 1976 (RCRA). The main text consists of five sections and discusses
pre-inspection, inspection, and post-inspection procedures. The remainder of the Manual
contains appendices that provide technical information of potential use to inspectors.
The procedures covered in the main text relate to performance of Compliance
Evaluation Inspections (CEIs) of hazardous waste generators; transporters; and treatment,
storage, and disposal facilities (TSDFs). However, these procedures may also be
applicable to other types of RCRA inspections (which are discussed in Section 1.2); they are
general and are not intended to be prescriptive, in deference to Regional and state
differences in approaches and procedures. Inspectors using this Manual should be aware
of and follow additional Regional or state guidance supplementing the information
provided herein.
The RCRA Program
RCRA is the primary statute governing the regulation of solid and hazardous
waste. It completely replaced the Solid Waste Disposal Act of 1965 and supplemented the
Resource Recovery Act of 1970; RCRA itself was substantially amended by the Hazardous
and Solid Waste Amendments of 1984 (HSWA).
The principal objectives of RCRA, as amended, are to:
• Promote the protection of human health and the environment from
potential adverse effects of improper solid and hazardous waste
management
• Conserve material and energy resources through waste recycling and
recovery
• Reduce or eliminate the generation of hazardous waste as expeditiously as
possible.
To achieve these objectives, RCRA authorizes EPA to regulate the generation,
treatment, storage, transportation, and disposal of hazardous wastes.1 The structure of the
national hazardous waste regulatory program envisioned by Congress is laid out in
Subtitle C of RCRA (Sections 3001 through 3019), which authorizes EPA to:
• Promulgate standards governing hazardous waste generation and
management
• Promulgate standards for permitting hazardous waste treatment, storage,
and disposal facilities
• Inspect hazardous waste management facilities
RCRA also provides EPA with authority to regulate solid waste and underground storage tanks.
Programs established under these authorities are not within the scope of this Manual.
1-3
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No
statutory or regulatory requirements arc in any way altered by any statement^) contained herein.
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OSWER Dir. No. 9938.02(b)
• Enforce RCRA standards
• Authorize states to manage the RCRA Subtitle C program, in whole or in
part, within their respective borders, subject to EPA oversight.
Federal RCRA Standards
Federal RCRA hazardous waste regulations are set forth in 40 CFR Parts 260
through 272. The core of the RCRA regulations establishes the "cradle to grave" hazardous
waste regulatory program through seven major sets of regulations:
• Identification and listing of regulated hazardous wastes (Part 261)
• Standards for generators of hazardous waste (Part 262)
• Standards for transporters of hazardous waste (Part 263)
• Standards for owners/operators of hazardous waste treatment, storage, and
disposal facilities (Parts 264, 265, and 267)
• Standards for the management of specific hazardous wastes and specific
types of hazardous waste management facilities (Part 266)
• Land disposal restriction standards (Part 268)
• Requirements for the issuance of permits to hazardous waste facilities
(Part 270)
• Standards and procedures for authorizing state hazardous waste programs
to be operated in lieu of the federal program (Part 271).
Appendix I discusses how inspectors can keep up with changes in the
RCRA standards, and identifies sources of regulatory information.
State Authorization in the RCRA Program
EPA, under Section 3006 of RCRA, may authorize a state to administer and enforce
a state hazardous waste program in lieu of the federal Subtitle C program. To receive
authorization a state program must:
• Be equivalent to the federal Subtitle C program
• Be consistent with, and no less stringent than, the federal program and
other authorized state programs
• Provide adequate enforcement of compliance with Subtitle C requirements.
1-4
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No
statutory or regulatory requirements arc in nn.y way alii/ivd hy any suitemcnt(s) contained herein.
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OSWER Dir. No. 9938.02(b)
In practical terms, these requirements mean that, to be authorized, state hazardous waste
regulations must be at least as stringent as federal Subtitle C standards; state regulations
and programs must follow the same general approach as federal regulations and
programs, and other state regulations and programs; state enforcement penalties must be
at least equivalent to penalties provided for in RCRA; and state enforcement activities
must be equivalent to those performed by EPA.
States have generally received authorization incrementally, consistent with the
gradual implementation of the federal RCRA program (i.e., the ongoing development of
regulations governing new waste management units and practices), due largely to the
unavoidable lag between federal promulgation of Subtitle C standards and development
and adoption of equivalent standards by the states. Thus, states may be authorized to
administer and enforce the program covering certain types of waste management units
and practices within the state and may not be authorized for other types of units. For
example, a state may be authorized to manage the program for hazardous waste generators
and storage and treatment facilities, but may not be authorized for a newer regulation
based on HSWA. As a result, some facilities in a state may be subject to state enforcement,
and others subject to federal enforcement through EPA Regional offices. Facilities with
several types of units may be subject to joint federal/state enforcement.
In general, where a facility is subject to joint federal/state authority,
inspections may be conducted by both federal EPA and state inspectors.
These inspections may be conducted jointly or separately. When acting
jointly, federal and state inspectors should focus their efforts on the units
subject to their respective jurisdictions. When working separately,
federal or state inspectors may inspect units which are not under their
jurisdiction and identify non-complying conditions. These conditions
should then be reported to the agency with jurisdiction over the unit(s) for
further action.
Currently, all states are authorized to administer or
enforce their own programs, except for the following:
Iowa
Wyoming
Hawaii
Alaska
Following are two maps, Exhibits 1-1 and 1-2, detailing the states that are
authorized for specific aspects of the RCRA program, corrective action and mixed waste.
Inspectors should also be aware of the authorization status of states with respect to other
aspects of the RCRA'program.
1-5
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No
statutory or regulatory requirements arc in any way alu-rcd by any sintumont(s) contained herein.
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OSWER Dir. No. 9938.02(b)
1.2 Enforcement Overview
The goal of the RCRA enforcement program is to assure that hazardous waste
handlers are properly complying with RCRA regulations. This requires close monitoring
of such handlers and expeditious legal action when non-compliance is detected. Facility
inspections bv EPA/state officials are the primary tool for monitoring compliance.
EPA/states may also determine compliance through examination of required reports
submitted by waste handlers. When non-compliance is detected, an enforcement action
may follow.
Types of Inspections
There are many types of inspections; however, the CEI is the primary mechanism
for detecting and verifying RCRA violations by hazardous waste generators, transporters,
and TSDFs.
Types of inspections differ based upon the purpose, facility status, and the probable
use of inspection results. The Office of Waste Programs Enforcement has developed, and
is continuing to develop, specific guidance on performing the different types of
inspections. Exhibit 1-3 below describes the various types of inspections, and lists the
available and planned guidance for each type.
Enforcement Actions
When a violation is detected, an enforcement action may be initiated to
compel the violator to return to compliance and/or possibly make
compensation. EPA/states may use the evidence collected through
inspections to determine which of the following enforcement options, if any,
to pursue:
• Administrative action (warning letter, administrative order,
administrative penalty, permit action)
• Civil court action
• Criminal court action.
A decision to pursue one or more of these options should be based on the nature
and severity of the violation and the strength of available evidence.
For further information regarding the options described above, inspectors should
review the 1990 RCRA Civil Penalty Policy and/or contact the RCRA Docket (202-260-9327).
1-8
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No
statutory or refjulatory requirements are in any way altered by any statcmcnt(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Exhibit 1-3
Inspection Types and Relevant Guidance
Type of Inspection
Description
Guidance
Cornpfenee Evaluation
Inspection (CEI)
Case Development Inspection
(GDI)
Comprehensive Ground-Water
Monitoring Evaluation (CUE)
Compliance Sampling
Inspection (CSI)
Operation and Maintenance
Inspection (04 M)
Laboratory Audit
State Oversight Inspection
CEte are routine inspections of hazardous
waste generators, transporters, and TSDFs
to evaluate compliance with the requirements
of RCRA. CEIs encompass a file review prior
to the site visit; an on-site examination of
generation, treatment, storage or disposal
areas; and a review of records. Inspections of
facilities with delisted waste may be
conducted as part of a CEI. Also, corrective
action inspections are specifically intended to
evaluate facilities' compliance with consent
and permit orders.
GDIs are conducted when RCRA violations
are suspected or revealed during a CEI for
the specific purpose of gathering data in
support of an enforcement action.
CMEs are conducted to ensure that
ground-water monitoring systems are
designed and function properly at RCRA land
disposal facilities. In addition to the CEI
activities, CMEs include sampling and analysis
of the facility's ground-water monitoring
system and hydrogeological conditions.
CSIs are inspections in which samples are
collected for laboratory analysis. A sampling
inspection may be conducted in conjunction
with a CEI or any other type of inspection,
except a CDI.
O&M inspections of land disposal facilities
are conducted to determine the adequacy of
the operation and maintenance of
ground-water monitoring systems at RCRA
facilities after a land disposal facility has
closed. O&M inspections are usually
conducted at facilities that have already
received a thorough evaluation of the
ground-water monitoring system under a
CME inspection.
Laboratory audits are inspections of
laboratories performing sample analyses.
Audits ensure that these laboratories are
using proper sample handling and analysis
protocols.
State oversight inspections are conducted by
U.S. EPA personnel to determine the
effectiveness of State hazardous waste
management programs and to determine
facility compliance.
The RCRA Inspection Manual
The LDR Inspection Manual
Hazardous Waste Tank Systems
Inspection Manual. OSWER Dir.
9938.1A, 1986
Hazardous Waste Incinerator
Inspection Manual. OSWER Dir.
9938.6,1989
Guidance lor Inspection of Facilities
with Delisted Waste. OSWER Dir.
9938.2B (to be issued)
Conducting RCRA Inspections at
Mixed Waste Facilities. OSWER Dir.
9938.9,1991
Technical Case Development
Guidance Document. OSWER Dir.
9938.3,1988
RCRA Ground-Water Monitoring
Technical Enforcement Guidance
Document. OSWER Dir. No. 9950.1,
September 1986
Comprehensive Ground-Water
Monitoring Evaluation Guidance
Document. OSWER Dir. No. 99502,
December 1986
Operation and Maintenance
Inspections or Ground-Water
Monitoring (RCRA Ground-Water
Monitoring Systems). OSWER Dir.
No. 9950.3, March 1988
RCRA Laboratory Audit Inspection
Guidance Document. OSWER Dir.
9950.4,1988
RCRA State Oversight Inspection
£yj&, OSWER Dir. No. 9946.1,
December 1987
1-9
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No
statutory or regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
1.3 Enforcement Priorities
RCRA enforcement managers at EPA Headquarters, Regional offices, and state
agencies establish priorities for inspecting RCRA regulated facilities to optimize the use of
limited resources to achieve enforcement objectives. Generally, priorities are established
annually in the "RCRA Implementation Plan" (RIP) and are based on Congressional
mandates and the facility's "Environmental Priority." A facility's Environmental
Priority is based on its environmental significance, the potential environmental benefits
from enforcement, and other considerations. The priorities change from year to year to
reflect new information and program changes including:
• Promulgation of new standards governing specific types of facilities or
activities (e.g., land disposal regulations (LDR))
• Expansion of the regulatory program to cover new types of facilities
• Progression of the RCRA enforcement program to new stages of
implementation (e.g., from CMEs to O&M)
• Specific national or regional enforcement initiatives focused on particular
rules, types of facilities, or geographic areas.
Inspectors should be knowledgeable about the current enforcement priorities and
develop the skills necessary to perform the inspections required to meet those priorities.
Inspectors must also be aware of changes in the priorities to identify new training needs
and other ways (i.e., inspection preparation) they may need to reassess their approach to
inspections.
Frequently, inspectors, through training, research, and experience, develop
specialized skills in inspecting a particular type of facility or evaluating a waste
management practice. Although this can be valuable, inspectors also must develop and
maintain a solid general knowledge of the overall RCRA program so that they can flexibly
respond to new enforcement priorities or changes in assignments which require them to
inspect types of facilities and practices previously unfamiliar to them.
Inspectors should:
• Review major new regulations (including preambles) as they are
promulgated
• Be familiar with new and existing guidance on inspecting other
types of facilities and practices
• Be aware of new and existing technical guidance that could provide
quick background information on other types of facilities and practices.
1-10
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No
statutory or regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
New regulations can be found in the Code of Federal Regulations.
Inspection and technical guidance can be identified by contacting the
RCRA Docket (202-260-9327).
Inspectors should also be ready to provide input to enforcement program managers
planning initiatives that are within the inspectors' areas of expertise. In such instances,
inspectors may be able to expedite information collection or identify technical difficulties
or issues which should be considered in the planning stage.
1-11
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No
statutory or regulatory requirements are in any way altered by any statcment(s) contained herein.
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OSWER Dir. No. 9938.02(b)
1.4 Authority and Limitations
of Inspectors
mRCRA Section 3007 provides inspectors with the authority to conduct
inspections and specifies certain guidelines that should govern the conduct of
an inspection. It is essential that all inspectors be familiar with Section 3007,
presented in Exhibit 1-4 below, or comparable, applicable state authority.
RCRA provides the authority to conduct inspections of facilities for the purpose of
developing regulations, preparing permits, or ensuring compliance with the provisions or
regulations promulgated under RCRA. Access to such facilities is granted to "duly
designated" officers, employees, or representatives of EPA (or an authorized state).
Specifically, inspectors are authorized to:
• Enter any establishment or location where hazardous wastes are, or have
been, generated, transported, stored, treated, or disposed
• Obtain samples for the inspection of any such wastes as well as samples of
any containers or labeling for such wastes
• Access and copy all records relating to such wastes.
Inspections must be conducted in a prescribed manner, which includes the
following:
Presenting EPA or state identification
Entering an establishment at a reasonable time and completing the
inspection as promptly as possible
Issuing a receipt for any samples obtained
Providing a duplicate sample (split sample), if requested
Furnishing a copy of any sample analysis, if conducted, to the
owner/operator, or agent in charge.
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No
statutory or regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Exhibit 1-4
RCRA Section 3007
(As Amended by the Solid Waste Disposal Act of 1980
and the Hazardous and Solid Waste Amendments of 1984)
INSPECTIONS
Sec. 3007. (a) ACCESS ENTRY.—For purposes of developing or assisting in the
development of any regulation or enforcing the provisions of this title, any person who
generates, stores, treats, transports, disposes of, or otherwise handles or has handled
hazardous waste shall, upon request of any officer, employee or representative of the
Environmental Protection Agency, duly designated by the Administrator, or upon request
of any duly designated officer, employee or representative of a State having an authorized
hazardous waste program, furnish information relating to such wastes and permit such
person at all reasonable times to have access to, and to copy all records relating to such
wastes. For the purposes of developing or assisting in the development of any regulation or
enforcing the provisions of this title, such officers, employees or representatives are
authorized —
(1) to enter at reasonable times any establishment or other
place where hazardous wastes are or have been generated, stored,
treated, disposed of, or transported from;
(2) to inspect and obtain samples from any person of any such
wastes and samples of any containers or labeling for such wastes.
Each such inspection shall be commenced and completed with reasonable promptness. If
the officer, employee, or representative obtains any samples, prior to leaving the premises,
he shall give to the owner, operator, or agent in charge a receipt describing the sample
obtained and if requested a portion of each such sample equal in volume or weight to the
portion retained. If any analysis is made of such samples, a copy of the results of such
analysis shall be furnished promptly to the owner, operator, or agent in charge.
(b) AVAILABILITY TO PUBLIC.—1) Any records, reports, or information
(including records, reports, or information obtained by representatives of the
Environmental Protection Agency) obtained from any person under this section shall be
available to the public, except that upon a showing satisfactory to the Administrator (or the
State, as the case may be) by any person that records, reports, or information, or particular
part thereof, to which the Administrator (or the State, as the case may be) or any officer,
employee or representative thereof has access under this section if made public, would
divulge information entitled to protection under section 1905 of title 18 of the United States
Code, such information or particular portion thereof shall be considered confidential in
accordance with the purposes of that section, except that such record, report, document, or
information may be disclosed to other officers, employees, or authorized representatives of
the United States concerned with carrying out this Act, or when relevant in any proceeding
under this Act.
(2) Any person not subject to the provisions of section 1905 of title 18 of the United
States Code who knowingly and willfully divulges or discloses any information entitled to
protection under this subsection shall, upon conviction, be subject to a fine of not more than
$5,000 or to imprisonment not to exceed one year, or both.
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No
statutory or regulatory requirements are in any way altered by any statement(s) contained herein.
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Exhibit l-t (Continued)
RCKA Section 3007
(3) In submitting data under this Act, a person required to provide such data may —
(A) designate the data which such person believes is entitled to
protection under this subsection, and
(B) submit such designated data separately from other data
submitted under this Act.
A designation under this paragraph shall be made in writing and in such manner as the
Administrator may prescribe.
(4) Notwithstanding any limitation contained in this section or any other provision of
law, all information reported to, or otherwise obtained by, the Administrator (or any
representative of the Administrator) under this Act shall be made available, upon written
request of any duly authorized committee of the Congress, to such committee.
(c) FEDERAL FACILITY INSPECTIONS.—Beginning twelve months after the date of
enactment of the Hazardous and Solid Waste Amendments of 1984, the Administrator
shall, or in the case of a State with an authorized hazardous waste program the State may,
undertake on an annual basis a thorough inspection of each facility for the treatment,
storage, or disposal of hazardous waste which is owned or operated by a Federal agency to
enforce its compliance with this subtitle and the regulations promulgated thereunder. The
records of such inspections shall be available to the public as provided in subsection (b).
(d) STATE-OPERATED FACILITIES.—The Administrator shall annually undertake a
thorough inspection of every facility for the treatment, storage, or disposal of hazardous
waste which is operated by a State or local government for which a permit is required under
section 3005 of this title. The records of such inspection shall be available to the public as
provided in subsection (b).
(e) MANDATORY INSPECTIONS.—(1) The Administrator (or the State in the case of a
State having an authorized hazardous waste program under this subtitle) shall commence
a program to thoroughly inspect every facility for the treatment, storage, or disposal of
hazardous waste for which a permit is required under section 3005 no less often than every
two years as to its compliance with this subtitle (and the regulations promulgated under
this subtitle). Such inspections shall commence not later than twelve months after the date
of enactment of the Hazardous and Solid Waste Amendments of 1984. The Administrator
shall, after notice and opportunity for public comment, promulgate regulations governing
the minimum frequency and manner of such inspections, including the manner in which
records of such inspections shall be maintained and the manner in which reports of such
inspections shall be filed. The Administrator may distinguish between classes and
categories of facilities commensurate with the risks posed by each class or category.
(2) Not later than six months after the date of enactment of the Hazardous and Solid
Waste Amendments of 1984, the Administrator shall submit to the Congress a report on the
potential for inspections of hazardous waste treatment, storage, or disposal facilities by
nongovernmental inspectors as a supplement to inspections conducted by officers,
employees, or representatives of the Environmental Protection Agency or States having
authorized hazardous waste programs or operating under a cooperative agreement with the
Administrator. Such report shall be prepared in cooperation with the States, insurance
companies offering environmental impairment insurance, independent companies
providing inspection services, and other such groups as appropriate. Such report shall
contain recommendations on provisions and requirements for a program of private
inspections to supplement governmental inspections.
[42 U.S.C. 6927]
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No
statutory or regulatory requirements are in any way altered by any statement(s) contained herein.
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Although compliance inspections may result in enforcement actions, they
generally will not involve the need to inform individuals of their rights under the Fifth
Amendment of the United States Constitution (e.g., to provide them with a "Miranda"
warning). The Fifth Amendment provides that "No person shall be compelled in any
criminal case to be a witness against himself." Because inspections under RCRA are
generally not conducted by law enforcement officers and do not involve custodial
situations (when a person is taken into custody), Fifth Amendment rights normally are
not implicated.
Confidential Business Information
Inspectors who conduct RCRA inspections will probably encounter confidential
business information (CBI) during the course of their work. Inasmuch as this information
may only be viewed by individuals who have been cleared for access, all inspectors should
have CBI access authorization. This authorization is granted by either the EPA's Deputy
Administrator for General Enforcement or the duly designated state-level representative
in the case of a state-run hazardous waste program.
When inspectors return from an inspection with information that a facility
owner/operator has declared to be confidential, they should immediately give such
information to the local Document Control Officer (DCO) or Document Control Assistant
(DCA), who will assign a document control number to the confidential material. In
addition, inspectors should inform the DCO or DCA of any physical samples that have been
claimed as confidential. These samples will be assigned a document control number,
which is given to laboratory personnel for use in completing chain-of-custody and
laboratory analysis forms.
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No
statutory or regulatory requirements are in any way altered by any statement(s) contained herein.
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1.5 Health and
Safety Considerations
The health and safety of inspection personnel is an important aspect of the overall
inspection process that must be seriously considered prior to entry into a facility. The
Occupational Safety and Health Administration (OSHA) standards for hazardous
materials (Subpart H of 29 CFR Part 1910) were amended in December 1986 by the addition
of a new §1910.120, which contains protection requirements for workers involved in
hazardous waste operations. This interim final rule, mandated by the Superfund
Amendments and Reauthorization Act (SARA) of 1986, regulates employee safety and
health at hazardous waste operations and during emergency response actions. Inspectors
must be thoroughly familiar with the OSHA health and safety regulations to ensure
compliance with those requirements that are applicable to the inspection process.
Another source of information regarding health and safety requirements with
which inspectors should be familiar is U.S. EPA Order No. 1440.2, titled "Health and
Safety Requirements for Employees Engaged in Field Activities." This Order establishes
policy, responsibilities, and mandatory requirements for occupational health and safety
training and for occupational medical monitoring of EPA employees engaged in field
activities; therefore, RCRA inspectors must be familiar with its contents.
All hazardous waste management facilities pose some degree of hazard to
personnel present on site, and this hazard increases in direct proportion to the decrease in
the amount and quality of information available to these personnel on facility operations
and practices.
Therefore, it is extremely important that inspectors understand a
facility's processes and hazardous waste management practices prior to
entering a facility so that they are aware of all the potential health and
safety issues and follow the appropriate procedures during an
inspection.
In addition to reviewing federal, state, and/or local files and interviewing
regulatory personnel who are familiar with a facility, inspectors should also consult the
Regional Safety Officer or equivalent state official regarding potential hazards before
undertaking an inspection. Even though thoroughly familiar with available information
regarding a facility, inspectors still may not have all the information needed to make
sound health and safety judgments; therefore, common sense and experience must enter
into determinations and decisions. Inspectors should not assume that an owner/operator
knows all of the safety concerns that may apply to a facility, and should not take statements
made by the owner/operator concerning the safety of an activity or location at the facility at
face value.
The RCRA inspector should have a working knowledge of the following health-
and safety-related areas and issues:
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statutory or regulatory requirements arc in any way altered by any stateracnt(s) contained herein.
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• Potential exposure routes
• Hazard assessment
• Long-term risk
• Levels of protection
• Safety equipment (use and maintenance)
• Personal protective equipment (use and maintenance)
• Decontamination and disposal of protective clothing
• Emergency treatment.
Exhibit 1-5 presents a partial listing of guidance documents that are available on health
and safety issues related to hazardous waste management. Inspectors are referred to these
documents for detailed information on the areas and issues identified above.
Exhibit 1-5
Health and Safety Guidance Documents
"Appendix M, Site Safety Plan Guidance: Draft." OSWER 9375.1-2A-C. U.S. Environmental Protection
Agency. December 30,1986. Provides information on health and safety to supplement Regional Office
safety procedures.
"Chemical Engineering Preparedness Program, Interim Guidance," U.S. Environmental Protection
Agency. Program Directive No. 9223.0-01A. OERR, Catalog of Program Directives. December 1986.
Establishes criteria for identifying acutely toxic chemicals.
Chemical Manufacturers Association, 1825 Connecticut Avenue, N.W., Washington, D.C. 20009. The
CMA has many publications that give complete information on health and fire hazards, handling,
storage, labeling, packaging, and transportation. A list of publications is available.
"Dangerous Properties of Industrial.Materials," Sax, Newton Irving, Reinhold Publishing Corporation,
New York, 1989 Seventh Edition. Contains information covering more than 12,000 hazardous materials.
Areas of hazard covered include radiation hazards, industrial fire protection, storage and handling of
hazardous materials, respiratory protection, and personal hygiene.
"Environmental Monitoring Series: Hazardous Materials Spill Monitoring Safety Handbook and
Chemical Hazard Guide Part A." EPAx8602-0151. U.S. Environmental Protection Agency. 1979.
Presents information on hazards from spills of chemical compounds, exposure, prevention, protection,
and first-aid measures to be followed by response personnel.
"Fire Protection Guide To Hazardous Materials," National Fire Protection Association, 60 Batterymarch
Street, Boston, Massachusetts 02110. This publication is a complete volume on the fire, explosion, and
health characteristics of many chemicals and materials. It contains complete texts of the following
NFPA documents: 325M, 49,491M, and 704..
"Guidance on Remedial Investigations Under CERCLA," U.S. Environmental Protection Agency,
HWERL, OERR, OWPE. May 1985. Provides guidance on conducting remedial investigations at
uncontrolled hazardous waste sites; includes detailed discussion of health and safety issues and
procedures.
"Hazardous Waste Site Investigation Training." EPA-8512-0003. U.S. Environmental Protection
Agency. 1981. Covers a 5-day training course and includes appendices on toxicology and safety and
health policy.
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No
statutory or regulatory requirements are in any way altered by any statemcnt(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Exhibit 1-5 (Continued)
Health and Safety Guidance Documents
"Hazardous Material Handling Training Manual," NUS Corporation, Waste Management Services
Group. February 1987. Guidance manual used for health and safety training of RCRA and CERCLA
field personnel.
"Hazardous Waste Sites and Hazardous Substance Emergencies: Worker Bulletin," EPAx8610-0023.
U.S. Department of Health and Human Services. 1982. Provides preliminary guidance to protect health
of hazardous waste workers; joint project of EPA, NIOSH, OSHA, and U.S. Coast Guard.
Health effects assessment documents (available for a large number of chemical compounds). U.S.
Environmental Protection Agency, Office of Research and Development, Environmental Criteria and
Assessment Office. 1984.
"NEIC Safety Manual," U.S. Environmental Protection Agency, Office of Enforcement, National
Enforcement Investigation Center, EPA-330/9-74-002-B, Denver, Colorado. February 1977. Provides
general guidelines on safety for NEIC personnel; consistent with OSHA requirements.
"Occupational Safety and Health for the Federal Employee," U.S. Department of Labor, Occupational
Safety and Health Administration. January 1, 1979. A booklet outlining Federal government policy
concerning occupational safety and health protection provided for government employees.
"Occupational Safety and Health Guidance Manual for Hazardous Waste Site Activities," EPAx8603-
0213. NIOSH, OSHA, U.S. Coast Guard, EPA. 1985. Provides guidance on hazards, training, medical
programs, protective equipment, decontamination, air monitoring, container handling, and site
emergencies.
"Occupational Safety and Health Technical Assistance and Enforcement Guidelines for Superfund," U.S.
Environmental Protection Agency. Program Directive No. 9285.3-01. OERR. Catalog of Program
Directives. December 1986. Provides direction for OSHA and other field staff who may be called upon
to provide technical assistance or conduct enforcement activities at hazardous waste sites.
"Protecting Health and Safety at Hazardous Waste Sites: An Overview," EPAx8603-0208. U.S.
Environmental Protection Agency. 1985. Summaries for health protection; details training, medical
monitoring, handling waste containers, and wearing personal protective equipment.
"Quality Assurance/Field Operations Methods Manual," U.S. Environmental Protection Agency.
Program Directive No. 9355.0-14. OERR. Catalog of Program Directives. December 1986. Provides
Remedial Project Managers (RPMs), quality assurance officers, and states with a reference for field
procedures.
"OSWER Integrated Health and Safety Policy for Field Activities," U.S. Environmental Protection
Agency. Program Directive No. 9285.1-01B, OERR. Catalog of Program Directives. 1988. Provides
guidance on health and safety to complement professional judgment and experience and to supplement
existing Regional safety criteria.
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No
statutory or regulatory requirements arc in any way altered hy any sLatement(s) contained herein.
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1.6 Work Ethics
Inspectors are skilled field professionals who represent regulatory agencies when
dealing with industry and the public. As a result, inspection personnel are expected to
perform their duties in a professional and responsible manner.
Personnel shall:
Develop and report the facts of an investigation completely, accurately,
and objectively
Conduct themselves at aH times in accordance with the regulations in the
EPA handbook, Responsibilities and Conduct for EPA E
Avoid, in the course of an investigation, any act or failure to act which
could be considered motivated by reason of personal or private gain
Improve continually their professional knowledge and technical skill in
conducting hazardous waste inspections.
Discussed below are several specific topics pertinent to RCRA inspectors.
Conflicts of Interest
A conflict of interest may exist whenever an inspector has a personal or private
interest in a matter which is related to his or her official duties and responsibilities. It is
important to avoid even the appearance of a conflict of interest because such an appearance
damages, in the eyes of the public, the integrity of the EPA or state agency and their
employees. All employees must, therefore, be constantly aware of situations which are, or
give the appearance of being, conflicts of interest when dealing with others inside or
outside of the government. For a detailed discussion of situations and/or activities which
may result in a conflict of interest, personnel are directed to Responsibilities and Conduct
for EPA Employees, which can also be found in the Federal Register (38 FR No. 73), April
17,1973.
Public Relations
It is important that cooperation be obtained from, and good working
relations established with, the public and regulated community. This can
best be accomplished by using diplomacy, tact, and persuasion. Even a
hostile person should be treated with courtesy and respect. Personnel
should not offer opinions concerning any person, regulatory agency,
manufacturer or industrial product. All information acquired in the
course of duty is for official use only.
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statutory or regulatory requirements are in any way altered by any statement(s) contained herein.
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Gifts, Gratuities, Favors, Luncheons, Etc.
An EPA employee is forbidden to solicit or accept any gift, gratuity, entertainment
(including meals), favor, loan, or any other thing of monetary value from any person,
corporation, or group that:
• Has a contractual or financial relationship with EPA
• Has an interest that may be substantially affected by such employee's
official actions
• Conducts operations regulated by EPA.
Attempted Bribery
Money in varying amounts may be offered by persons whose activities are being
investigated. Offers are usually made by people unfamiliar with EPA rules or
regulations. Other bribes may be blatant attempts to whitewash a serious violation or
condition or to cause the withholding of damaging information or observations. Inspectors
should:
• Ask "What is this for?" if offered something of value
• Explain politely, if the offer is repeated, that both parties to such
transactions may be guilty of violating federal statutes
• Decline money or goods of any kind
• Report immediately any such incident, in detail, to his or her
supervisor.
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No
statutory or regulatory requirements are in any way altered by any statement(s) contained herein.
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1.7 Summary
In performing their job, RCRA inspectors must keep in mind a number of
considerations:
• The purpose of the RCRA program
• The types of inspections that should be performed
• The types of enforcement actions that can be brought against violators
• Current EPA enforcement priorities
• The scope of and limit on permissible action
• Ways in which to protect themselves
• The need to comply with ethical and legal requirements.
Although specific skills and knowledge are needed to perform effectively at specific
tasks, insnect.nrs must, int^rnoliro fho oKnvomontinnoH <>nneir]ai>a+inne
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No
statutory or regulatory requirements are in any way altered by any statement(s) contained herein.
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2 . 0 Preparing for an Inspection
SECTION PAGE
2. 1 Introduction— Purpose and Objectives of Inspection
Preparation [[[ 2-2
Defining the Scope of an Inspection ....................................... 24
2.3 Coordinating an Inspection .................................................. 2-6
Permitted Facilities ....... . [[[ 2-7
Enforcement Actions [[[ 2-7
2.4 Reviewing a Facility File [[[ 2-8
Updating/Developing a Facility File ....................................... 2-9
Reviewing Facility Enforcement Documents .......................... 2-9
2.5 Re viewing Applicable Regulations ........................................ 2-11
2.6 Developing Facility-Specific Inspection Plans and
Checklists [[[ 2-13
Notifying a Facility [[[ 2-14
2.7 Identifying Inspection Equipment ......................................... 2-16
Determining Health and Safety Requirements ................ . ....... 2-16
2.8 Completing a Pre-Inspection Worksheet ...... . ......................... 2-19
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2.1 Introduction—Purpose and
Objectives of Inspection
Preparation
Adequate preparation is critical to the effective performance of RCRA inspections.
Generally, inspectors have only a relatively brief period of time on-site in which to
perform an inspection; therefore, it is essential that an inspection be properly scoped and
planned to allow for efficient use of time and to insure that all aspects of the facility which
should be evaluated are inspected. Of course, there will be instances in which insufficient
time will be available to an inspector for the complete preparation described here. Even on
those occasions, the inspector should make every effort to engage in as many preparatory
activities as possible.
The inspector's objectives in preparing for an inspection
should include the following activities, all of which are described
in greater detail in this chapter:
• Determining the scope and objectives of an inspection
• Coordinating inspection activities with other regulatory or
enforcement personnel as necessary
• Developing a thorough understanding of the technical, regulatory,
and enforcement aspects of a facility
• Developing a plan or strategy for conducting an inspection consistent
with inspection objectives
• Determining health and safety requirements and equipment needs.
Exhibit 2-1 below identifies and summarizes the key steps in inspection preparation.
2-2
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No
statutory or regulatory requirements are in any way altered by any statcment(s) contained herein.
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Exhibit 2-1
Inspection Preparation Summary
Manual
Section
22
Define
Scope of
Inspection
Coordinate/Schedule
Inspection
2.4
2.5
Review Applicable
Regulations
2.6
Develop Inspection Plan
and Checkllst(s)
2.7
Identify Needed
Inspection
Equipment
2.8
Complete
P re-Inspection
Worksheet
Key Steps
l»
• Determine Inspection objectives
• Identify needed preparation and appropriate
Inspection activities
Identify any Interested offices or agenclc
Consult on an appropriate joint effort
Consult permit writer and compliance
officer/attorney
Review facility files, including permit/
enforcement files
Develop and maintain facility file as
necessary
Identify and review applicable regulations, as
determined through file review
Obtain/understand relevant amendments to
the RCRA standards
Develop a brief plan on how to proceed
during the inspection and highlight key
site-specific issues that need to be resolved
Review existing checklists and determine
their usefulness
If needed, develop facility-specific checklist
Determine how to notify the facility of the
inspection, if appropriate
Identify/obtain necessary Inspection
equipment based on type of Inspection, kind
of facility, Regional/state policy
Determine health and safety requirements
Complete Pre-lnspection Worksheet
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No
statutory or regulatory requirements are in any way altered by any statement(s) contained herein.
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2.2 Defining the Scope of an
Inspection
When planning an inspection, it is critical that the inspector first define its
scope. Generally, the purpose and objectives of an inspection determine its
scope. For example, the scope of a routine CEI will differ from the scope of an
inspection performed to assess facility compliance with permit deadlines.
Inspectors can most easily determine the purpose and objectives of an inspection
through discussions with supervisory or other enforcement personnel, such as an
enforcement compliance specialist.
Typically, the purpose of an inspection will be one of the following:
• A routine periodic assessment of RCRA compliance
• A review of facility activities or status with respect to an enforcement
action
• A review of facility compliance with deadlines set forth in its
RCRA permit
• A response to information received concerning alleged violations
at the facility
• Identification of vehicles for cross-program compliance.
Routine compliance inspections are generally broad in scope.. However,
inspections performed for other purposes (e.g., compliance with an enforcement order) are
composed of activities not typically performed during a routine CEI, such as:
• Comprehensive records review
• Data evaluation/verification
• Waste or media sampling.
If inspectors do not need to generate the kinds and amount of information
normally collected during a comprehensive investigation, they should conduct a more
narrowly-focused inspection that will be a more efficient use of resources. However, even
if inspectors anticipate conducting such a narrowly-focused inspection, they should be
prepared to conduct a more comprehensive inspection if, once on-site, they determine that
conditions so require.
To properly prepare for an inspection, inspectors should determine:
• The offices or agencies with which the inspection should be coordinated
• The facility information which should be focused upon
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No
statutory or regulatory requirements are in any way altered by any statement(s) contained herein.
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• The regulations and enforcement documents that should be obtained and
reviewed
• Whether sampling will be required during the inspection.2
• Whether it is appropriate to notify the facility in advance of the inspection.
An inspector must have as clear an understanding of the scope of an
inspection aa possible, derived in part from communications with his or her
supervisor or other enforcement personnel, as appropriate to the Region or
state.
Preparing for sampling during the inspection is not within the scope of this Manual; inspectors
should refer to the RCRA Technical Case Development Guidance Document, OSWER Dir. 9938.3,
1988.
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No
statutory or regulatory requirements are in any way altered by any statcment(s) contained herein.
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2.3 Coordinating an Inspection
Inspectors should identify the other offices within their agency and in sister
federal, state, or local agencies that may be interested in the results of, or participating in,
an inspection. They can accomplish this by consulting with their supervisor and
considering the scope and nature of a proposed inspection. After making a determination,
an inspector should contact the appropriate offices or agencies to inform them of his or her
proposed effort and/or to coordinate the inspection.
Coordination can be highly beneficial to inspectors and those offices or
agencies with which coordination is attempted. Other offices or agencies
may be interested in an inspection for several reasons:
COORDINATION
Reasons for Coordination
Possible Coordination Activities
• Other office may be pursuing a
planned action that might be
interfered with by the inspection or
enhanced through coordination
• Offices may be able to share resources
and information or conduct
concurrent multi-media inspections
• The inspection may provide
incidental information or identify
cross-program compliance issues that
would be useful to another office in
their regulatory or enforcement
activities (e.g., an inspection at a
facility with a NPDES-permitted
wastewater treatment facility may be
of special interest to the office
responsible for water enforcement)
• The inspection is being performed, in
part or exclusively, at another office's
request (e.g., an inspection
performed to verify permit
application information or to support
an enforcement action)
• Another office shares jurisdiction for
RCRA enforcement at the facility,
making the scheduling of a joint
inspection desirable (e.g., where a
state agency has partial authorization
for some units at a facility, and the
remaining units are subject to EPA
enforcement).
Scheduling joint inspections with
other offices or agencies
Scheduling an inspection to avoid
interference with planned activities
of other agencies or offices
Conferring with other offices or
agencies to insure that the inspection
satisfies their information needs
Obtaining relevant information on
the facility's administrative or
enforcement status, such as pending
enforcement actions under RCRA or
other environmental programs
Clarifying for a requesting office the
scope of an inspection and areas of
particular interest to that office
Clarifying with a permit writer
permit conditions or the status of a
facility's permit application
Obtaining technical information on a
facility from a permit writer
Obtaining facility information from
other agencies
Working to further the goals of a
Memorandum of Understanding that
may exist between Regions and
states, explaining coordination
protocols.
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No
statutory or regulatory requirements are in any way altered by any slatement(s) contained herein.
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Federal inspectors may find state and local agencies to be good sources of
information about a facility. For example, some states maintain waste manifest records
or histories that are useful in preparing for an inspection. Similarly, state inspectors may
find the Regional EPA office has useful information about a facility obtained prior to state
authorization or for other purposes (e.g., the NPDES program).
Inspectors, or their supervisors, should confirm that all appropriate people have
been contacted to prevent interference with planned, ongoing activities and to insure
efficient use of inspection resources.
Permitted Facilities
Inspectors should contact the responsible permit writer before inspecting facilities
that have applied for or received a permit. If the facility's permit application is undergoing
review, the permit writer and the application will usually provide valuable information
about the facility and, alternatively, the permit writer may have information needs that
inspectors can fulfill during an inspection (e.g., verifying completion of facility
modifications reported by the permit applicant). If a facility has received its permit, the
permit imposes site-specific requirements that are subject to enforcement and should be
evaluated during the inspection. In addition, the permit writer may be able to identify
suspected problem areas at a facility. Preparing for an inspection at permitted facilities is
discussed in greater detail in Chapter 3 of the Manual.
Enforcement Actions
If an inspector is conducting an inspection to support an enforcement action (e.g.,
to determine if a facility has come into compliance with the terms of an enforcement
order), he or she must coordinate the inspection with the appropriate compliance officer or
attorney assigned to the action. Those individuals will be able to explain the specifics of
the action and identify important areas for review at the facility. Inspectors should advise
the attorney or compliance officer of the time and date of an inspection, and obtain their
phone numbers so that they can be contacted from the field if an inspector needs to confer on
specific aspects of the inspection.
NOTE: Inspectors must make any calls from the field to an attorney or
compliance officer confidentially, preferably from an off-site phone, and
should give no indication to the owner/operator that a conference has
occurred.
Inspectors should also determine, with guidance from the compliance officer or
attorney, how to submit inspection results. Normally, inspection results are submitted in
an inspector's report (discussed in Chapter 5 of this Manual); however, results can be "fast
tracked" to the requesting office to expedite response actions.
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No
statutory or regulatory requirements are in any way altered by any slatement(s) contained herein.
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2.4 Reviewing a Facility File
Regional and state RCRA program offices generally have one or more existing
files for each facility within their jurisdiction and/or may make information on a facility
available through an automated data processing (ADP) system, such as the RCRA
Information System (RCRISj. Inspectors should make full use of all such available
information in preparing for an inspection.
Inspectors should review facility file information to:
• Develop a thorough technical understanding of a facility, including
the wastes managed, the waste management units used, and the
processes which generate and treat wastes
• Develop an understanding of the compliance history of a facility,
including past violations, facility efforts to correct compliance
problems, and potential violations that may not have been remedied
• Identify, based on citizen complaints or inconsistencies in file
materials, potential violations to be evaluated during an inspection
• Determine applicable regulations for review (see Section 2.5 below)
• Support development of the inspection plan for a facility (see Section 2.6
below).
NOTE: In many Regions and states, one program office is responsible for
all RCRA activities (e.g., permitting, inspections, and enforcement) and
will have a central program file for each facility within its jurisdiction.
However, responsibility for permitting, inspections, and enforcement may
be split among several offices and separate files may be maintained by these
offices. The information in each of these files may vary as they are
developed for different purposes. Inspectors will, ideally, review all
potentially relevant files. Coordination between the Region and state is
important to ensure that all applicable files are reviewed. Coordination is
particularly important in states authorized for part, but not all of the federal
RCRA program.
Updating/Developing a Facility File
In general, the office responsible for RCRA inspections should have a
central inspection file on each RCRA facility. Inspectors should maintain
the central inspection files on each RCRA facility within their respective
areas of responsibility, updating the files as new information becomes
available (e.g.. the results of recent inspections). If inspection files are not
part of a central program file, maintaining a file may require periodically
reviewing and obtaining new data from files held by the offices responsible
for permitting, enforcement, or other activities in the EPA Regional office
and/or state agency. Before an inspection, inspectors should review the
inspection file to determine the adequacy and timeliness of information in
the file, and obtain additional or updated information from other offices as
appropriate. This activity can be performed when coordinating the
inspection, as discussed in Section 2.3 above.
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No
statutory or regulatory requirements are in any way altered by any slalcment(s) contained herein.
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Exhibit 2-2 below describes the minimum contents of an inspection file.
NOTE: A facility's Part A application, Part B application, and/or permit
will provide some of the information listed in Exhibit 2-2, including a plot
plan or map and, possibly, a flow chart or illustration showing processes and
design features. Part B permit applications and final permits may be
lengthy documents which may not be convenient to duplicate for the
inspection file if they are already maintained in the files of,another office.
It may be more efficient and convenient to note in the central inspection file
where these documents are maintained and how they may be obtained for
review by inspectors (e.g., the point-of-contact for obtaining the document,
such as the permit writer). Inspection planning for permitted facilities is
discussed in greater detail in Chapter 3 of this Manual.
When inspecting a manufacturing plant, inspectors may want to obtain additional
information on the types of processes used at the plant to better understand plant activities
once on-site. Several EPA documents and other standard references on industrial
processes are available for this purpose and are listed in Appendix V of the Manual.
Reviewing Facility Enforcement Documents
Where the purpose of an inspection is to support an enforcement action
(e.g., to evaluate facility progress in meeting compliance deadlines set
forth in an enforcement order), inspectors should obtain all applicable
documents from the enforcement office, compliance specialist, legal
counsel, or other appropriate office or official. Generally, inspectors
should obtain these documents while attempting to coordinate an
' inspection, as discussed in Section 2.3 above.
Inspectors should review enforcement documents to determine:
• Specific activities or units of interest at a facility
• Specific non-complying conditions or violations
• Specific activities a facility is required to have performed or be performing
to come into compliance
• The compliance schedule and intermediate milestones towards completion
of required activities.
Knowing these items is important in determining the applicable regulations that
must be reviewed (Section 2.5 below), and the appropriate strategy for inspecting a
facility and developing an inspection plan (Section 2.6 below).
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No
statutory or regulatory requirements are in any way altered by any statcment(s) contained herein. .
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Exhibit 2-2
Contents of an Inspection File
A summary of names, titles, locations, and phone numbers of
the responsible persons (operators, plant officials, municipal
officials, etc.) involved in the facility's hazardous waste program
(in many cases, this information may be incorporated into the Regional
or state ADP system to facilitate contacting the facility)
A flow chart or other illustration showing processes used and
design features of present and planned units and processes at the facility
For treatment, storage, and disposal facilities (TSDFs), a list of the
wastes that are treated, stored, or disposed of by type of management
For generators, a list of the wastes generated, including their origin
Inspection reports, including photographs, from previous state or
Regional inspections
A compliance history of the site, including a listing of any
past compliance or enforcement actions, the current status of any
such actions, and copies of correspondence relating to the actions
Biennial, annual, and other reports submitted by the facility to the
state or Region, including the most recent monitoring reports,
where applicable
Previous EPA studies, consultant's reports, and laboratory reports
Citizens' complaints filed against the facility
A detailed map or plot plan showing the facility layout and location
of waste management units, and any available sketches or drawings
of the waste management units
Records of any phone conversations with facility representatives
The letter of notification of inspection sent to the facility and any
response (if the facility has been notified)
The facility's RCRA Notification Form
The facility's RCRA Part A Permit application (for TSDFs)
The facility's RCRA Part B Permit application (for certain TSDFs)
The facility's final RCRA permit (for certain TSDFs).
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No
statutory or regulatory requirements are in any way altered by any Statcmcnt(s) contained herein.
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2.5 Reviewing Applicable
Regulations
Inspectors should obtain and review all federal and state regulations governing
operations of a facility that is to be inspected. In most cases, inspectors will be able to
determine which regulations apply to a facility, based on information in the facility file.
In some cases, they will need to contact an attorney or other enforcement personnel for
assistance.
It is important that inspectors use the most current versions of regulations when
reviewing applicable standards. Federal RCRA standards are published in their entirety
annually in Title 40 of the Code of Federal Regulations. Amendments to the federal
standards promulgated periodically during the year are published in the Federal Register,
which is published daily. Inspectors can obtain copies of new or recently promulgated
regulations from their enforcement office or from the Regional or state legal counsel.
Information on recently published amendments, and answers to questions regarding the
RCRA standards, can be obtained from the RCRA-Superfund Industry Assistance Hotline
at the following number:
RCRA/SUPERFUND INDUSTRY ASSISTANCE HOTLINE
1-800-424-9346
Approaches for keeping up with the changes in RCRA regulations and obtaining recent
amendments to federal standards are discussed in detail in Appendix I of this Manual.
Inspectors should be aware that changes in regulations, which may have occurred
following a previous inspection of a facility, may change the compliance status of that
facility. Activities which may previously have been consistent with applicable standards
may not meet current standards. Thus, the results of previous inspections, usually
recorded on checklists, should be critically reviewed in light of any known regulatory
changes.
Inspectors should understand, to the extent possible, the intent underlying and
interpretation of applicable standards, so as to evaluate situations that may require refined
knowledge of the standards and to answer as fully as possible facility representatives'
questions regarding the regulations. If inspectors have questions concerning regulatory
intent or interpretation, they can obtain answers through:
• Discussion of the regulation with other inspection personnel, a supervisor,
or compliance personnel
• Discussion of the regulation with Office of Regional Counsel or
Headquarters personnel
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• Review of the preamble material that accompanies regulations published in
the Federal Register
• Review of policy or technical guidance—RCRA/Superfund Industry
Assistance Hotline can identify specific applicable guidance available
from EPA.
In general, the first of these alternatives is the most efficient, as it allows inspectors to
answer questions without obtaining and reviewing a large volume of material.
Some state and Regional offices have developed a process for institutionalizing the
development of specialized regulatory expertise among inspection staff to allow for
expedient in-house response to questions. This approach divides responsibility for
maintaining current knowledge of RCRA standards among the inspection staff by subject
area (e.g., landfills, incinerators). For their respective subject areas, the inspection
personnel are required to understand the interpretation and intent of existing regulations,
and to track and understand changes to the regulations as they are made. Even where such
a system is in place, inspectors with specialized regulatory expertise should be aware of all
regulatory changes and review the applicable material before conducting an inspection.
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No
statu'.ory •><;• • • '3'.cry rcq'.rremcnts arc in any way altered by any stalcmcnt(s) contained herein.
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2.6 Developing Facility-Specific
Inspection Plans and
Checklists
Once inspectors have determined the scope of an inspection, discussed the
inspection with relevant personnel, and reviewed all background
information and standards relevant to the facility, they should prepare a
brief plan for inspecting the facility.
Generally, an inspection plan does not need to be elaborate or formal, or conform to
any particular format (unless the Region or state has specific inspection plan
requirements); rather, the plan should be prepared in accordance with the preferences of
the individual inspector in a way that will make it most useful to her or him. The
inspection plan is usually used only by the inspector to help organize his or her thoughts on
the inspection and prepare an inspection strategy.
As a general rule, in preparing inspection plans, inspectors should:
• Outline the steps they will take once on-site
• Highlight any particular questions the inspection should address.
Inspectors should consider the following issues in preparing an
inspection plan:
• Should they notify the facility prior to the inspection or will inspection objectives best
be met by performing a "surprise" inspection?
• How should they proceed upon entry to the facility? Should they conduct an opening
conference to discuss the purpose of the inspection with facility representatives
immediately upon entry, or first proceed with a visual inspection of certain operations
or units at the facility (before the owner/operator may have time to stop or conceal
possible violations)?
• When should they conduct an opening conference, if at all? What topics should they
discuss with facility representatives during an opening conference?
• What facility records should they focus on, as suggested by their facility file review
and any enforcement actions being undertaken?
• What route through the facility, or order of inspection, should they follow? To what
should they pay particular attention during the inspection of individual units (e.g.,
compliance with requirements of an enforcement action)?
• What hazardous wastes may they encounter? With what safety equipment, safety
guidances and practices (e.g., OSHA), and facility-specific safety regulations (if the
facility is being notified of the inspection) should they become familiar?
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Approaches to conducting an inspection are discussed in Chapter 4 below, which
provides details on performing the activities listed above.
As part of the planning process, inspectors should determine which
checklists to use, if any, for assessing facility compliance with RCRA
standards. Sample checklists are provided in Appendix IV of this Manual;
inspectors may use these checklists, or checklists which have been developed
for their use by their Regional office or state agency, to the extent they prove
helpful. Inspectors should review checklists while planning for an
inspection to familiarize themselves with the information required, and
update the checklists to reflect requirements of enforcement orders,
amendments to regulations, or state-specific standards. When inspecting
permitted facilities, inspectors should develop facility-specific checklists
that address permit requirements. Preparing for the inspection of permitted
facilities is discussed in Chapter 3 of the Manual.
Notifying a Facility
Notifying a facility prior to an inspection may or may not be appropriate,
depending upon the following factors:
• The purpose of the inspection and inspection strategy
• Regional or state policy concerning notification
• Whether an inspector suspects that a facility is engaged in illegal dumping
or other illegal (particularly criminal) activities
• The length of time the inspection is expected to require. Long inspections of
complex facilities may require a substantial amount of facility workers'
time. It may be desirable to schedule long inspections with the facility to
insure that facility staff are available, unless the purpose of the inspection
requires surprise.
For example, depending on Regional or state policy, it may be appropriate for inspectors to
notify a facility of routine periodic compliance inspections when the facility is not expected
to have significant violations (e.g., based on past inspections) and an inspector needs to
speak with specific facility personnel. Generally, it will not be appropriate to notify
facilities in advance of inspections if violations are known or suspected to exist, where the
purpose of the inspection is to support a specific enforcement action, or where a "cover-up"
is anticipated. Inspectors should consult with their supervisors and responsible
compliance officers or attorneys if they have questions concerning whether to notify a
facility of an inspection.
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statutory or regulatory requirements arc in any way altered by any statcment(s) contained herein.
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Possible Methods of Facility
An annual notification letter which establishes the authority for
inspections without specifying an inspection date
A specific inspection letter sent out a month prior to an inspection
as to inform the facility that an inspection will be conducted within
a month
An advance phone call to a facility to notify its staff of the
inspection date, making appointments to see particular personnel.
These methods may be used alone, or in combination, as required. Inspectors should
always, when notifying a facility, identify themselves and the organization or agency
they represent.
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statutory or regulatory requirements are in any way altered by any slatement(s) contained herein.
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2.7 Identifying Inspection
Equipment
Inspectors will select equipment to take into the field depending on the kind of
inspection they plan to perform and the type of facility that will be inspected. Inspectors
should use their knowledge of the facility, understanding of inspection objectives,
training, and experience to decide which equipment is necessary for a particular
inspection. Inspectors may wish to consult with other inspection personnel or their
supervisor to determine equipment requirements. They should also consider Regional or
state policies and conditions when selecting equipment during inspection planning.
Exhibit 2-3 below is a list of equipment that is commonly used in performing
inspections. Inspectors may not need all of the equipment listed for every inspection; on
the other hand, they may need equipment not specified on the list for some inspections. The
list is divided into four categories of equipment: general equipment, safety equipment,
sampling equipment, and paperwork.
Determining Health and Safety Requirements
Although routine inspections generally do not involve activities in which
inspectors must physically contact hazardous wastes (except inspections involving
sampling, during which incidental contact with wastes may occur), there is always the
potential for inspectors to be exposed to hazardous wastes or substances during the course of
an inspection. Therefore, in planning an inspection, inspectors should:
• Determine the nature of the chemical hazards that may be encountered
during the inspection (based on the types of materials handled on-site)
• Identify and obtain proper safety equipment
• Become familiar with the proper use of safety equipment, check equipment
to ensure proper functioning, and perform necessary maintenance on the
equipment (if appropriate and within the technical abilities of the inspector)
• Obtain and become familiar with all applicable safety guidances and
practices—information on EPA directives on safety and health, and on
Occupational Safety and Health Administration (OSHA) standards for
hazardous waste facilities, is provided in Section 1.5 above
• Determine any facility-specific safety requirements by contacting the
facility (only in cases where the facility is being notified of the inspection)
or by reviewing previous inspection notebooks.
As noted above, the inspection equipment list in Exhibit 2-3 cites health and safety
equipment .that may typically be required in performing routine compliance inspections.
In many cases, facilities may require that an inspector have standard safety equipment
listed on the checklist. Inspectors should use Exhibit 2-3, in conjunction with information
about the chemical hazards at the facility and applicable EPA guidance and OSHA
requirements, to select appropriate health and safety equipment for performing an
inspection.
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No
statutory or regulatory requirements arc in any way altered by any statement(s) contained herein.
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Exhibit 2-3
List of Inspection Equipment
GENERAL EQUIPMENT
• Camera, film, and flash equipment
• Pocket calculator
• Tape measure
• Clipboard
• Waterproof pens, pencils, and markers
• Locking briefcase
• "Confidential Business Information" stamp
(if needed)
• Stamp pad
• Envelopes pre-addressed to Document Control
Officer (for CBI)
• Plain envelopes
• Polyethylene bags
Disposable towels or rags
Flashlight and batteries
Pocket knife
Pocket tape recorder
Level
Range finder/optical tape measure
Compass
Stopwatch
Wind meter or Admiral Beaufort wind scale
Square
Ruler (for use as scale in photos)
:; ; SAFETY EQUIPMENT
Safety glasses or goggles
Face shield
Ear plugs
Coveralls, long-sleeved
Hard hat
Plastic shoe covers (disposable)
PAPER!
• Proper identification
• Copy of facility's inspection file, permit, and
monitoring schedule, including:
- Maps
- Photographs
- History of enforcement actions
• Notebook
• Notice of inspection (if applicable)
• Chain of custody record
Rubber-soled, metal-toed, non-skid shoes
Liquid-proof gloves (disposable if possible)
Long rubber apron
Respirators and cartridges
Self-contained breathing apparatus
WORK '•"'•..-.•.;.' -;,::— •!* ' '•
• Relevant checklists
• Code of Federal Regulations or applicable
state code
• EPA Regional or state forms for:
- Inspection confidentiality notice
- Enforcement actions notice
- Declaration of confidential business
information
- Receipts for documents and samples
• Field data sheets
;^^;.:V.:,:;;'V8AIIPUrilO:EQUIPMENT J J'
• Bucket auger
• Bucket
• Containers
- Jars
- Plastic (for metals)
- Organic sample containers
• Bailers
• Pumps
IBSPjjSBjPfjjjjjfjHH
Conductivity meter
Thermometer
Dissolved oxygen meter
Steel tape measure
Sampling safety equipment
(in addition to equip, on the Safety Equip, list
above)
- Tyvek suit
- Booties
- Gloves
SEJBffMJm'i^ijjSffi
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No
statutory or regulatory requirements are in any way altered by any stntcment(s) contained herein.
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Exhibit 2-3 (Continued)
List of Inspection Equipment
SAMPLING EQUIPMENT (continued)
Rope
Glass tubes
Ice
Scoops
Trowels
Bacon Bomb
Tape
- Labelling
- Duct
- Electrical
Safety Equipment (Cont'd)
- Harnesses
- Chemical resistant suit
- Organic Vapor Analyzer (OVA)
• Decontamination equipment
- Buckets
- Alconex
- Brushes
- Grate
- Deionized water
- Solvents for equipment cleaning
- Steam cleaning machine
- Plastic bags
In some cases, inspectors will have limited information about a facility, or may be
inspecting an uncontrolled site. Inspectors should be prepared to encounter the worst
conditions in such cases.
Inspectors should never proceed with inspections involving site conditions
for which they are not prepared and do not have the proper safety
equipment.
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statutory or regulatory requirements are in any way altered by any slatement(s) contained herein.
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2.8 Completing a
Pre-Inspection Worksheet
A pre-inspection worksheet, set forth in Exhibit 2-4, can serve as:
• An internal check on performance of all necessary pre-inspection
activities
• A planning tool to enable the inspector to perform pre-inspection
activities more effectively.
Exhibit 2-4 is designed to insure that, at a minimum, inspectors have identified,
assembled, and reviewed all relevant materials prior to departure for an inspection.
Proper preparation for an inspection, as documented by completion of the worksheet, helps
to insure that the inspection will be performed efficiently and will meet all objectives.
Since Regional and state inspection needs, objectives, and procedures may vary, this
worksheet is intended only as a guide and should be modified to reflect and incorporate the
specific needs of each inspector. It is strongly recommended that all inspectors use the
following pre-inspection worksheet or a modified version.
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Exhibit^
Pre-Inspection Worksheet
TASK
COMPLETED
DESCRIPTION OF ACTIVITY
Contact/Coordinate with other offices and agencies
Complete/verify the general information section of the inspection report
Identify and Obtain All Relevant Information
Manifest history
Notification form
Part A permit application
Previous inspection reports
Correspondence
Part B permit application (if available)
Annual reoorts
Final Part B permit (if available)
Enforcement documents
Assemble Inspection Package:
Notification form
Part A permit application
Previous inspection reports
Waste generation and characterization information
Information from air and water oollution control aoencies or offices
Inspection checklists
Copies of state statutes and regulations or Federal laws and regulations
General inspection equipment (e.g., camera and film)
Safety equipment
Agency identification card
Samolino eouioment (if necessarv)
Scheduling the Investigation:
Letters of intent to visit/inspect
Establish date(s) of the inspection
Follow-uo telephone call to confirm date(s) of the inspection and to request
that additional information be made available at time of inspection
Complete inspection plan
Notify interested agencies of EPA staff schedule
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2.9 Summary
Adequate preparation for an inspection is an essential ingredient for fulfilling
inspection objectives, regardless of the type of inspection being performed,
In this chapter, inspectors have been presented with information and approaches
that should assist them in their preparations. These are only suggestions but inspectors are
strongly advised to at least consider the material here and adopt portions of it for their own
use.
Key Steps in Preparation
Define the inspection's scope
Coordinate the inspection with all interested
offices
Review existing files on the facility to be
inspected
Develop an up-to-date inspection file
Review all applicable regulations,
enforcement documents, and permits
Prepare a facility-specific inspection plan
Identify and obtain all necessary inspection
equipment
Complete a pre-inspection worksheet.
Once inspectors have completed the above steps, they will be ready to conduct an
effective inspection.
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3.0 Developing Permit-Specific
TSDF Inspection Plans
SECTION PAGE
3.1 Introduction 3-2
Alternative Approaches to Permit-Specific Inspection Plans.... 3-2
Assembling Pertinent Materials 3-3
3.2 Developing An Inspection Protocol 3-6
General Guidelines 3-6
Overall Site Orientation 3-6
Releases 3-11
Other Permit Conditions 3-15
3.3 Summary 3-22
PREPARING FOR
INSPECTIONS
CONDUCTING
INSPECTIONS
INSPECTION
FOLLOW-UP
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3.1 Introduction
This chapter describes methods for developing site-specific inspection plans and
checklists for permitted facilities. Generic checklists will generally not provide much
assistance. Such checklists, which cover the various 40 CFR Part 265 requirements, are
useful for conducting interim status inspections; Generic checklists are also "efficient"
in that they are equally applicable to all facilities, but facility-specific conditions (e.g.,
those imposed through orders and consent decrees) will often require that a generic
checklist be supplemented in some manner.
A site-specific checklist can guide less experienced inspectors through a facility
and serve as a reminder to more experienced inspectors. While creating site-specific
inspection plans may seem to be inefficient, especially given the length of a permit and its
associated attachments, developing such inspection plans offers several advantages to the
compliance and enforcement program. Among these advantages are the opportunity for
inspectors to immerse themselves in a facility's operations and understand the
relationship of those operations to subsequent permit conditions. The fact that permit
conditions are site-specific forces inspectors to understand facilities in greater detail than
might otherwise be necessary. This, in turn, should result in more thorough inspections.
The cost of inspection planning for permitted facilities will be greater than that
associated with the inspection of interim status facilities. The mere size of RCRA permits
attests to the potential magnitude of the permitted facility inspection effort. An experienced
inspection staff will help reduce this cost. The graduation of facilities from interim to
permitted status also puts a premium on retaining experienced staff.
Alternative Approaches to Permit-Specific Inspection Plans
This chapter does not endorse any single approach to developing facility-specific
inspection plans. Two "models" for developing facility-specific plans are presented
below; inspectors and their supervisors may choose either model or combine them in some
manner:
Checklist: This approach involves developing a checklist similar to that
used for interim status inspections hut ha.^d. on permit information rather
than 40 CFR Part 265. Inspectors need to review permit files, identify those
conditions that can be inspected readily, and use this information as a basis
for developing a checklist. A checklist can be inclusive of all conditions, or
focus on specific conditions. An all-inclusive checklist may be designed to
be used for all subsequent inspections, whereas a focused checklist may
only be useful for a single case development inspection. Alternatively, the
all-inclusive checklist can comprise several sections (e.g., the waste
analysis plan action) that may be selected for use when a focused inspection
is necessary.
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No
statutory or regulatory requirements are in any way filtered by nny statcmcnt(s) contained herein.
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Permit Information Summary Sheets: The information summary sheets
model differs from the checklist model in that it provides inspectors with
only the most basic facility information and a list of key points or concerns
that need to be covered during the inspection (e.g., concerns about possible
releases from one of the facility's units, or past compliance problems). The
summary sheets may describe the number of facility units, both regulated
and non-regulated, their status (operational, closing, closed) and waste
generation and handling. Since the summary sheets provide only limited
information, inspectors will need to become familiar with a site through
some means such as review of records. One disadvantage of using an
information summary sheet is that the facility inspection probably will not
allow for verification of a facility's compliance with every aspect of its
permit. Use of a summary sheet requires the exercise of greater judgment
on the part of inspectors, and may be inappropriate for less experienced
ones. Despite these shortcomings, the summary sheets still represent an
attractive alternative, as inspectors can concentrate their efforts on;
1) assembling a detailed and exact list of concerns upon which an
inspection will be based, and 2) applying their knowledge and experience
in investigating each of the identified concerns.
In choosing either approach, inspectors and their supervisors should consider
several factors:
The purpose of the inspection
The complexity of the facility
The experience of an inspector.
In any case, the selected technique should be geared towards making the goals of the
inspection more attainable.
Assembling Pertinent Materials
As discussed in Chapter 2 above, inspectors must identify and make use of all
information sources in developing a protocol. Perhaps the best sources of information are
other agency/state officials familiar with a particular facility. They may assist in
determining the major areas of interest at the facility, such as potential release points and
past compliance problems. In addition, these officials should be able to assist inspectors in
determining whether documents in addition to those contained in a permit may be useful
in developing a complete picture of a facility.
Other information sources include:
(1) A Facility's RCRA Permit and Permit Application — The permit contains
most of the site-specific conditions and requirements that a facility must meet to be
in compliance. If conditions of the facility permit are found to be inconsistent with
the regulations, the permit may serve as a shield .for the facility. The content of a
facility permit takes precedence over any language contained in a facility's Part A
or Part B permit application.
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No
statutory or regulatory requirements are in any wny altered by any statcment(s) contained herein.
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The RCRA permit is generally composed of a series of modules containing each of
fVio fnllnu/inor-
the following
• A general facility description
• Standard conditions
• General facility conditions
• Unit-specific conditions and requirements
• Detection monitoring requirements
• Compliance monitoring requirements
• Corrective action for regulated units
• HSWA corrective action for solid waste management units
• Post-closure requirements.
In general, these modules closely track the regulations, but a variety of styles may
be encountered. For example, some permits may have all inspection requirements,
or all reporting requirements, cited in one place. A different format may also
result when state requirements extend beyond the federal RCRA requirements.
Inspectors are encouraged to discuss the contents of a permit with the permit writer
prior to file review.
In reviewing the body of a permit, inspectors will find that numerous references
are made to the permittee's RCRA Part B permit application, and that specific
portions of the application are incorporated by reference. Inspectors should be
aware that the descriptions, procedures, and protocols that are referenced in this
manner are enforceable permit conditions. This means that an inspector cannot
rely solely on the main body of the permit, but must also consult the referenced
attachments. Inspectors should note that the public hearing process, prior to permit
issuance, may result in changes being made to the submitted information. These
changes are documented as part of the permit's administrative record.
In some cases, inspectors will find that facilities have been issued more than one
RCRA permit. These permits may have been written at different times and may
regulate different units at the facility. It is also possible that one permit was issued,
by a state authority and another by EPA. These situations arise if states lack the
authority to impose certain requirements, such as HSWA corrective action
requirements. In such cases, the EPA-issued permit will cover only the HSWA
requirements. Nonetheless, the facility will have to meet both state and federal
requirements. Federal inspectors may coordinate with state inspectors in
conducting a complete review of the facility. Alternatively, federal inspectors can
focus their attention on the federal requirements, leaving state inspectors to assess
facility compliance with state requirements.
(2) Orders and Consent Decrees — Any orders or consent decrees issued to a
facility will be important to inspectors since they contain specific provisions with
which the facility must comply. Where inconsistencies arise between a permit and
an order/consent decree, the order/consent decree will take precedence.
(3) RCRA Regulations — Although, in some instances, permits will not reflect
new regulations promulgated since the permit's original issuance, the facility still
needs to comply with these requirements. Indeed, EPA has determined that many
regulations are self-implementing and do not require specific permit language to
be enforceable. Specific examples include the land disposal bans, double liner
requirements for surface impoundments, and the prohibition of liquids in
landfills. In addition, as new wastes are listed as hazardous, or new
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No
statutory or regulatory requirements arc in any way altered by any statemcnt(s) contained herein.
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characteristics are promulgated, additional wastes at a facility may be deemed
hazardous. By knowing a facility's production processes, inspectors may be able to
identify additional requirements with which the facility will need to comply.
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No
statutory or regulatory requirements are in any way altered by any slnlemcnt(s) contained herein.
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3.2 Developing An Inspection
Protocol
This section presents guidelines for developing an inspection protocol. In
addition, it provides a series of examples of how an inspector may consider permit
conditions in developing a protocol. This section is divided into four separate subsections
addressing: 1) general guidelines, 2) overall site orientation, 3) releases, and 4) "other"
permit conditions.
General Guidelines
Inspectors must follow a consistent and logical strategy for developing inspection
procedures to be followed at a particular facility. The strategy should focus on the specific
purpose of the inspection at hand, and be sensitive to the fact that inspectors have a limited
amount of time to prepare for and actually conduct inspections. Depending on time
constraints, inspectors may not be able to verify a facility's compliance with every
applicable regulatory provision (e.g., measurement of aisle space). As a result, inspection
priorities may need to be set. In other instances, inspectors may have time to conduct a
detailed review of all applicable requirements.
A checklist is one tool for conducting an inspection; complete reliance on a
checklist as a means of preparing/conducting inspections is not
recommended. Inspectors have to make individual judgments about the
value of checklists.
Information protocols should be developed in accordance with the following basic
principles:
• Where possible, questions should be phrased to allow for a "yes" or "no"
answer, with affirmative answers being indicative of good/compliant
conditions. This allows reviewers to easily focus on problem areas.
• Questions should be as specific as possible. Ambiguity in checklist
language may cause problems in making final compliance
determinations. Questions with multiple components should be avoided so
that "no" answers refer to a single specific provision or requirement.
While developing an inspection protocol, inspectors should review the final RCRA
permit and any pertinent attachments to that permit. A draft permit may exclude pertinent
changes to the permit conditions.
Overall Site Orientation
This subsection discusses the development of a general site orientation based on
information contained in a permit. Inspectors should not visit a site without first
understanding the general site settings. Inspectors must understand a facility's layout
and general operation to:
• Establish credibility in the opening conference
• Conduct an organized walk-through of the facility
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• Ensure that appropriate safety precautions are taken
• Sharpen the focus of the compliance review.
Inspectors should review all relevant documents to develop a fact sheet on general
operational characteristics of a facility. The fact sheet should contain the following:
Suggested Fact Sheet Contents
A description of the facility's physical boundaries
The types and locations of waste management units that are covered
by the permit
The status of each permitted unit (e-g., under construction, under
corrective action, operational, being closed, closed)
Ground-water monitoring well locations
A description of the processes that generate wastes
A description of the types and characteristics of wastes being stored,
treated, or disposed in the waste management units.
Obtaining a facility map may be the most important action inspectors can
take prior to a site visit. A correctly-prepared map should detail a site,
inclusive of labels identifying regulated units, non-regulated units, and
ground-water monitoring well locations. Exhibit 3-1 contains an example of
a correctly-prepared map. The information that inspectors can obtain from a
map when developing a checklist or information sheet include:
• The facility's physical boundaries
• Location and number of each type of waste management unit
• Location of ground-water monitoring wells.
Often, a permit may reflect waste management units that are proposed or still
under construction, as illustrated in Exhibit 3-1. Using a map as a guide, inspectors can
determine unit operational status during site visits.
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statutory or regulatory requirements are in any way altered by any slatcment(s) contained herein.
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Exhibit 3-1
Map of ABC Manufacturing Facility
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No
statutory or regulatory requirements are in any way altered by any statement(s) contained herein.
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The map of a facility may not distinguish permitted units from unpermitted ones.
Inspectors should be able to make this distinction by using information found in the initial
pages of a permit.
EXAMPLE
The container section of ABC Manufacturing's permit reads as follows:
Conditions Related Solely to Storage in Containers
1. The permittee is authorized to store the following maximum
quantities of hazardous waste at the specified locations:
• B-10 Storage Area — 11,000 gallons
T-559 Storage Building — 5,280 gallons
• B-96 Road Storage Area — 6,380 gallons.
If a map of the ABC Manufacturing facility, with corresponding location codes
(e.g., B-10 Storage Area), is available, inspectors should be able to develop questions
directed at verifying certain permit conditions that focus on the general site
orientation. For example:
Are any wastes being stored in containers in locations other than the
three specified in the permit? Yes No
For purposes of developing a general site orientation, inspectors need not produce a
detailed protocol that lists all of the requirements of a permit. The following are examples
of the requirements that can be disregarded for these purposes:
• Cracks larger than one-inch deep and one quarter-inch wide must be
repaired within 24 hours of discovery
• Four feet of aisle space is required between rows of containers.
If experienced inspectors performing an inspection would detect such a crack, measure the
crack's length and depth and, after the inspection, consult the facility's permit to learn if
the condition requires maintenance.
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No.
statutory or regulatory requirements are in any way altered by any statemcnt(s) contained herein.
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In developing a general site orientation, inspectors should review a facility's
permit(s) to gain insight into process operations and wastes generated at the facility.
EXAMPLE
ABC Manufacturing's permit contains the following information:
GENERAL DESCRIPTION OF HAZARDOUS WASTE
Waatewaler Treatment Sludge
This waste is a sludge which results from the treatment of process rinse waters (including some
electroplating wastewater) and spent process solutions. This waste is stored in surface impoundments.
ABC Manufacturing has submitted a delisting petition to the Bureau of Pollution Control for this waste.
This petition was submitted April 7, 1986.
DESCRIPTION OF HAZARDOUS WASTE
WastowaterTreatment Sludge
EPA Waste Number: F006 (Wastewater Treatment Sludges from Electroplating Operations)
General Description: This material is a black sludge as collected in the surface impoundments. It
dries to a light to medium brown color.
Composition of the material: Chromium 0.1-1.0%
Chromium (VI) ND
Nickel 0.2-1.7%
Znc 1 -2%
Iron 509%
Aluminum 1-1.5%
The remainder of the sludge consists of excess lime, neutralization byproducts such as gypsum, dirt,
grit, and other insolubles from the manufacturing process.
This permit information should trigger questions such as:
• Does the waste match the general description?
• Is the electroplating sludge the only waste being discharged to the
surface impoundment? Yes No
In this instance, an inspector using an information sheet may only need to note
the type of waste stored in the surface impoundment and the visual characteristics.
He or she can then call the Bureau of Pollution Control to determine the status of the
waste and maybe verify additional ABC Manufacturing facility information not
covered in the RCRA permit. During the site visit, the inspector can identify the
process generating the waste, other wastes that may be entering the impoundment,
waste transportation handling procedures, and other visual signs that signify a
problem.
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No
statutory or regulatory requirements ore in any wny altered by any slatcmcnt(s) contained herein.
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For some industries, inspectors must carefully examine the process flow din grama
due to the unit-specific nature of the waste listing. *
EXAMPLE
In reviewing the information from a petroleum refinery, inspectors may notice
that the facility does not report generating any K051 waste, although most refineries
do generate K051. Examination of the process flow diagrams may reveal that this
facility is using a coalescing plate separator instead of the more widely used
American Petroleum Institute (API) separator. Although the sludges from both types
of separators are similar in composition, only the API separator sludge is considered
a listed waste.
In sum, preparation of the site orientation portion of an inspection plan allows
inspectors to learn the basics about a facility so that when they perform the inspection, any
obvious or serious violations can be noted. Inspectors should be alert for unpermitted units
and transporter and generation activities at a mostly-permitted facility.
Releases
The inspection of potential release points must be considered when developing an
inspection protocol. If an inspection does not have a specific enforcement focus, and only
limited time is available for the inspection, detection of actual or potential releases is an
obvious priority. In addition, discovery of releases or potential releases may lead to the
inspection of additional requirements, via either permit modifications or orders, that may
be imposed on the facility. RCRA Facility Assessments (RFAs) are an ideal reference tool
for reviewing actual and potential release points.
Many RCRA permits contain specific provisions for identifying and mitigating
releases to the environment. Many of these permit provisions reference potential releases
associated with deterioration of management units.
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No
statutory or regulatory requirements are in any way tillered by any stntement(s) contained herein.
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EXAMPLE
The following language is found in ABC Manufacturing's permit:
Condition of Containers. If a container holding hazardous waste is not in good
condition (e.g., severe rusting, apparent structural defects) or if it begins to
leak, the Permittee shall transfer the hazardous waste from such container to a
container that is in good condition. Any leakage shall be cleaned up
immediately upon detection. The Permittee shall visually inspect the
containers for degradation at least weekly and shall record the results of such
inspections in the operating record.
Inspectors cannot easily inspect the first permit condition. They cannot tell
whether ABC Manufacturing has had problems with containers in the past. However,
the second permit condition, the weekly inspections, may aid in this determination.
Among questions that an inspector should ask related to ABC Manufacturing's
permit and that are appropriate for inclusion on a checklist are the following:
Is ABC Manufacturing's container storage area presently free of spills?
cracks?
Yes No
Do records indicate containers are inspected at least weekly?
Yes No
According to records, has ABC Manufacturing's facility been free of spills?
cracks?
Yes No
Note: Questions have been purposely worded so that any problems would be
indicated with a negative response.
Warning signals of a release or potential release from various units
include:
• Rusty or deformed containers
• Poorly stacked drums
• Puddles around units
• Leaking valves on tank
• Strong odors from encapsulated units
• Dead vegetation
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statutory or regulatory requirements are in any way altered by any statcmcnt(s) contained herein.
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Erosion
Dusty conditions around piles
Any other indication that the unit is not containing the waste or is
poorly managed.
Often, a determination of compliance with permit conditions cannot be made
through a simple visual inspection. The following example relating to the ABC
Manufacturing facility permit illustrates how inspectors may develop questions from
permit conditions that are designed to address the abovementioned problem.
EXAI
PERMIT CONDITIONS
'Pump all liquids out of the leachate collection and
removal systems immediately after the Permittee
determines liquids are present. 'All liquids' means
pumping out liquid so that only one inch remains in
the collection sytem.
Any leachate collection and removal system which
.generates more than 20 gallons of liquid in any
calendar day shall immediately cease accepting
wastes into the regulated unit. The Permittee
must notify the Director in writing any time this
criteria is exceeded.
The Permittee is required to cease discharge of
hazardous wastes into any surface impoundment
and immediately implement emergency
procedures whenever the level of liquids in the
surface impoundment suddenly drops, and the
drop is not known to be caused by changes in the
flow into or out of the surface impoundment from
normal operation.'
UPLE
INSPECTION QUESTIONS
Does the facility maintain daily records of daily
leachate quantities collected? Yes No
Do records indicate the facility has not exceeded
releases of 20 gallons per day, every day?
Yes No
If not, did the Director receive notification of this
event? Yes No
Does the facility keep records of the liquid level in
the surface impoundment? Yes No
Does the facility maintain records of "normal' flows
in and out of the unit? Yes No
Do records indicate a sudden drop in liquid level?
Yes No
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No
statutory or regulatory requirements are in any way altered by any statement(s) contained herein.
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In certain circumstances, inspectors cannot evaluate whether a release has
occurred unless some type of background levels or other criteria are provided.
EXAMPLE
ABC Manufacturing's permit provides as follows:
Corrective Action Requirements
As required in 40 CFR 264.100(a) and 264.101, the Permittee shall conduct
corrective action whenever the concentrations of the following hazardous
constituents in ground-water are in excess of the concentration limits listed
below along the points of compliance (the [downgradient] boundary of each solid
waste management unit).
Constituent
Creosote
CresoU (total of o,m,
& p-cresol)
Naphthalene
Pentachlorophenol
Phenol
Fluoranthano
Chrytene
2,4-Dlmethylphenol
2,3,4,6-Tetrachlorophenol
Concentration Limit
Presence or absence
1750 ng/l
MDL
0.20 mg/l
3.5 mg/l
0.21 mg/l
MDL
MDL
350 ng/l
Constituent
Background
ACL
Background
ACL
ACL
ACL
Background
Background
AC1
The ground-water concentration limits can be perfect inspection criteria,
provided ABC Manufacturing is regularly analyzing the ground-water, as required.
Inspectors should bring a summary of these concentration limits or similar permit
conditions to inspections so that they can readily determine whether the facility is
operating within ground-water limitations. Inspectors can use the summary in
conjunction with questions they have derived from the permit conditions, such as:
Do analytical procedures conform to permit conditions?
Yes No
Is the sample being collected at the location specified in the permit?
Yes No
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This mnnun! is intended solely for guidance. No
statutory or regulatory requirements are in any way altered by any stalcmcnt(s) contained herein.
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Inspectors should be careful to note the units of measure (e.g., mg/1) in permit
conditions and verify that a permittee is using comparable units in its analysis/reporting.
EXAMPLE
The results of the ground-water analysis mentioned in the previous example
have been reported by ABC Manufacturing as follows:
Constituent
Creosote
Cresols (total of o,m,
& fp-cresol)
Naphthalene
Pentachlorophenol
Phenol
Fluoranthene
Chrysene
2,4-Dlmethylphenol
2,3,4,6-Tetrachlorophenol
Concentration Limit
Not Detected
3.5 mg/l
Not Detected
0.02 mg/l
2.1 mg/l
Not Detected
Not Detected
Not Detected
29 mg/l
At first glance, it could appear to an inspector that ABC Manufacturing's
facility is in compliance with permit requirements, but a careful
examination of the units of measure may reveal that 2,3,4,6-tetrachlorophenol
is significantly above the permitted limit. This could happen because units
specified in the permit are different from the units specified in the analytical
results. The inspector may discover a lack of specified units for ground-
water pollutant limitations. Inspectors must pay close attention to this level of
detail.
Other Permit Conditions
As discussed previously, an inspection checklist can cover any or all permit
conditions. This subsection provides examples of how to construct checklist questions that
inspectors may find valuable through reference to permit conditions, and explains how
each question may be useful to a compliance determination. While the intention of an
inspection is to assist in a noncompliance determination, it is not expected that the
inspection will necessarily result in such a determination without further investigation.
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statutory or regulatory requirements are in any way altered by any stntcmcnt(s) contained herein.
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Three examples are provided, covering permit conditions in the following areas:
waste analysis plan, unit-specific conditions for storage tanks, surface impoundments,
and corrective action.
EXAMPLE
Waste Analysis Plan
All TSD facilities are required to submit a waste analysis plan as part of a Part
B permit application that, when approved, becomes part of a facility's permit
conditions. The plan characterizes hazardous wastes generated or handled by the
facility, and outlines sampling procedures, analytical methods, constituents of
concern, and reporting requirements.
Inspectors may learn from discussions with a permit writer/enforcement
official that sampling and analysis problems consistently arose during ABC
Manufacturing facility's interim status. The permit writer/enforcement official
also found that the personnel conducting the tests, as well as the equipment used to
conduct the tests, created persistent problems. As a result, the permit writer inserted
permit conditions into ABC Manufacturing's waste analysis plan. These are noted
below in Exhibit 3-2, along with sample checklist questions that could be derived from
the permit conditions.
With reference to Exhibit 3-2, if Bill Jones and Julia Smith remain as ABC
Manufacturing's chemists, their degrees have been previously verified and the
correct response to questions 1 and 2 is "yes". Otherwise, inspectors should review
the degrees of current personnel.
While affirmative responses suggest compliance with this condition, the fact
that employees hold chemistry degrees does not necessarily indicate that they follow
good sampling/analytical practices. As suggested in Exhibit 3-2, inspectors can
fashion additional questions from the permit conditions to check on these issues.
However, the "as necessary" clause regarding AAS and the Graphite furnace
cannot be verified easily. Similarly, whereas the laboratory's annual participation
in the NPDES Quality Assurance Program may be verified, the fact that ABC
Manufacturing uses QA/QC procedures "very similar" to those which appear in SW-
846 does not allow for easy inspection.
The answers to the indicated questions may serve as rough indications of the
adequacy of the facility's waste analysis plan. However, despite compliance with all
of these conditions, that plan may still be inadequate. For example, the balances may
have needed servicing earlier than the routine 6-month period.
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statutory or regulatory requirements arc in any way altered by any statcment(s) contained herein.
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Exhibit 3-2
Waste Analysis Plan
Permit Conditions and Inspection Questions
PERMIT CONDITIONS
INSPECTION QUESTIONS
SAMPLING PERSONNEL
The samples are taken under the direction of the Plant
Environmental Chemist, who will keep a log of the sample and field
notes (if any) in a bound notebook. Samples are labeled and
numbered, then submitted to the laboratory with a sample request
form. (The Environmental Chemist will have a Bachelor of Science
Degree in Chemistry. Present Environmental Chemist is Bill
Jones. Ill, who has a B.S. degree in chemistry from the State
University, plus 7 years experience.)
LABORATORY PERSONNEL
All samples are submitted to ABC Manufacturing's Smalltown
Plant Analytical Laboratory. All analyses are performed
under the direction of the Plant Chemist whose
requirements include a Bachelor of Science Degree in
Chemistry. (This position is currently held by Julia
Smith, who has a Bachelor of Science degree in
Chemistry from State College, plus 7 years
experience.)
ANALYTICAL EQUIPMENT
The equipment used for the analyses performed for the
Waste Analysis Plan is as follows:
Atomic Absorption Spectrophotometer - Perkin Elmer Zeeman
303 Model with HGA600 Perkin Elmer Graphite Furnace.
Printer - Perkin Elmer PR-100.
pH Meter - Fisher Accumet Model 325 or equivalent.
Balances - Various to cover weights from 0.0001 g up.
SERVICE AND QUALITY ASSURANCE
(1) Rite Weight, Inc. - To sen/ice balances every 6
months. Includes test of scale deflection, pre-
cision, and accuracy of weight set
(2) Perkin Elmer - To service AAS and Graphite
furnace as necessary.
Note: Should ABC Manufacturing's laboratory, for any reason, not
be able to analyze the samples, they will be preserved and sent to
a contract laboratory (currently Jones Laboratory, Inc.). ABC
Manufacturing's laboratory, or any laboratory at which samples are
to be analyzed, will conform to a Quality Assurance Program as
follows.
For every analytical procedure, blanks, mid-point standards,
calibration curves, and duplicate analyses are included. Quarterly
reference standards are analyzed for all parameters in the Waste
Analysis Plan and Ground-water Monitoring Plan. The Laboratory
follows quality control and quality assurance procedures very
similar to those given in SW 846, July, 1982, 2nd Edition, Section
10.4. In addition, the Laboratory must participate in EPA's annual
Quality Assurance Program under the National Pollutant Discharge
Elimination System (NPDES).
1. Does the Plant Environmental Chemist
have a BS or advanced degree in
chemistry?
Yes No
2. Does the Plant Chemist have a BS degree
in Chemistry? Yes No
3. Does the facility have all the equipment
required to run the analyses performed for
the waste analysis plan:
• Perkin Elmer Zeeman 3030 Model
Atomic Absorption Spectrophotometer
with HGA600 Perkin Elmer Graphite
Furnace? Yes No
• Perkin Elmer PR-100 printer?
Yes No
• Fisher Accumet pH meter Model 325 or
equivalent? Yes No
• Balances to cover weights from 0.0001 c
and up? Yes No
Are balances serviced every 6 months?
Yes No
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EXAMPLE
TSDF Unit-Specific Conditions
Unit-specific permit conditions were established for each regulated unit at the
ABC Manufacturing facility. In developing these conditions, the permit writer
considered: the minimum requirements in 40 CFR 264, site specific environmental
factors, the wastes handled in the unit, and any potential problems identified at the
ABC Manufacturing facility. This example shows how a checklist can be developed
to evaluate: 1) unit design, operation, and maintenance and 2) compliance with
procedures and recordkeeping conditions. Examples of unit-specific conditions
(relating to storage tanks and surface impoundments) and possible checklist
questions derived from those conditions are set forth in Exhibit 3-3 below.
Visual inspection of the ABC Manufacturing storage tank should enable
inspectors to answer Question 2. However, it is more subjective to determine whether
the Permittee has maintained the system by replacing the filtration system "...when
analytical results indicate that the system has become saturated or otherwise
ineffective." In this case, inspectors will want to examine records regarding routine
maintenance of the system, as well as analytical data.
ABC Manufacturing's permit mandates that surface impoundments P-12 and
P-16 cannot accept wastes after November 8, 1992. If an inspection is conducted after
that date, inspectors may include Question 4 in the protocol. Visual inspections may
serve to determine whether waste continues to be placed in the impoundments.
However, inspectors will need to review records to determine whether wastes were
placed in the unit in the interim period between the inspection and November 8, 1992.
In addition, inspectors should fashion questions from Section II.J and Attachment 8
of the permit to determine whether closure is proceeding on schedule.
Inspectors may also want to review whether the ABC Manufacturing facility is
recording data on a daily basis; including Question 5 in the protocol will ensure that
this issue is addressed. In addition, inspectors should review the data for trends and
fluctuations to evaluate the need for further investigation and to assist with
preparations for future inspections. Inspectors may question appropriate plan
personnel about any inexplicable data points and note responses.
By examining the daily records for leachate generation, inspectors can
determine weekly average leakage rates. In addition, while conducting inspection
planning activities in the office, inspectors should note whether the Director had been
informed of any occurrences of excess leakage and, if so, when. If inspectors
discover that such an event occurred, they should include Question 7 to determine
compliance.
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statutory or regulatory requirements arc in any way altered by any stalcment(s) contained herein.
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Exhibit 3-3
Unit-Specific Permit Conditions and Inspection Questions
PERMIT CONDITIONS
INSPECTION QUESTIONS
STORAGE TANKS
The Permittee shall install an activated carbon nitration system on the
vents o) the 3010 tanks. A manifold system may be used to connect
the vents Irom each of the tanks to treat vapors from all ol the tanks
with a single filter. The activated carbon filtration system shall be
either a CaJgon VentSorb or Calgon High Flow VentSorb Canister
system. The Permittee shall replace the activated carbon filtration
system in accordance with manufacturer's recommendations or when
analytical results indicate that the system has become saturated or
otherwise ineffective.
The Permittee shall maintain at least 6 inches of freeboard
(headspace) in the Laboratory Holding Tank at all times. This
distance (6 inches) shall be measured downward from the bottom of
the overflow drain pipe, which is indicated as Item 2 in Attachment .
The Permittee shall set the liquid level switch alarm system to be
activated so that the specific freeboard (headspace) limit is not
exceeded.
SURFACE IMPOUNDMENTS
This permit condition defines the five evaporation impoundment units
at the facility and specifies that units P-12 and P-16 will be removed
from service by November 8,1992. The liner systems ol units P-12
and P-16 do not meet the requirements of the minimum technology
standards (Section 3004(0) of HSWA). The Permittee did not apply
lor a waiver of the requirement to retrofit these impoundments to meet
the minimum technology standards. Consequently, these units
cannot receive waste after November 8.1992 and closure of these
units must proceed on the schedule specified in Section II J and
Attachment 8 of this permit.
"The Permittee shall monitor for and record on a daily basis the
presence and volume of liquids in the leachate detection,
collection, and removal system sumps during the active life ol
the units (including the closure period), and at least weekly
during the post-closure period.'
The Permittee shall, within 45 calendar days ol detecting an
increase of greater than SO percent above the preceding weekly
average leakage rate, submit to me Director and the
Administrator a report on the leakage.'
1. Has the facility installed either a Calgon
Ventsorb or Calgon High Flow Ventsorb
Canister System on the vents of the 3010
tanks?
4.
Does the Permittee maintain at least 8 inches
of freeboard in the laboratory holding tank at
all times? Yes No
Is the switch and alarm system set and
activated to ensure that this limit is not
exceeded? Yes No
Are units P-12 and P-16 continuing to receive
wastes? Yes No
5. Has the Permittee monitored and recorded on
a daily basis the presence and volume ol
liquids in the leachate detection, collection,
and removal system sumps?
Yes No
6. Has the average leakage rate for any week
ever exceeded the previous week's average
by more than 50 percent? Yes
No
7. Did the Permittee submit the required report
ot this event to the Director within 45 calendar
days? Yes No
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No
statutory or repilatory requirements are in any way altered by any statement(s) contained herein.
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EXAMPLE
Corrective Action Conditions
Corrective action conditions may be verified on the basis of results and/or
reports, such as progress reports. Certain corrective action conditions for the ABC
Manufacturing facility's land disposal unit are listed in Exhibit 3-4. The permit
condition identifies those constituents and associated maximum concentration
limits for which the permittee must monitor to determine whether corrective.action is
required. Prior to an inspection, inspectors should review all available reports
regarding corrective action progress and related permit modifications (or
applications) to determine the current status of operations. Inspectors should inquire
as to whether all constituents are measured at the listed concentration limits.
Inspectors may also design questions directed at whether the appropriate statistical
.test was used. For example:
Does ABC Manufacturing make use of the Behrens-Fisher Student's t-test?
Yes No
If not, did the Regional Administrator approve the use of an equivalent
test?
Yes No
In addition, inspectors may want to independently determine whether the
ground-water protection standards were exceeded by applying the approved statistical
technique. If this inspection is the first one after commencement of the action, the
checklist questions may focus on the proper establishment and placement of pumping
wells. For example:
Was a pumping well established at grid coordinates (X15, Y12)?
Yes No
Other questions may involve compliance with reporting requirements. A more
comprehensive inspection would involve sampling and analysis to independently
verify the accuracy of ABC Manufacturing's reports.
By examining the daily records for leachate generation, inspectors can
determine weekly average leakage rates. In addition, while conducting inspection
planning activities in the office, inspectors should note whether the Director had been
informed of any occurrences of excess leakage and, if so, when. If inspectors
discover that such an event occurred, they should include Question 7 to determine
compliance.
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No
statutory or regulatory requirements are in any way altered by any slatcmont(s) contained herein.
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Exhibit 3-4
ABC Manufacturing Facility's Corrective Action Conditions
Ground-water shall be removed [at all locations] where hazardous wastes, hazardous constituents, or breakdown products
have entered the ground-water Irom a solid waste management unit, as required under 40 CFR §264.101.
Constituent Concentration Limit Basis
Creosote Presence or absence' • Background
Cresob (total of o, m i p-crasol) 1750wy1 ACL
Naphthalene MOL Background
PentacMorophenol 0.20 mg/l ACL
Prenol 3.5 mg/l ACL
Fluoranthene 0.21 mgrt ACL
Chryeene MDL Background
2.4-Oimethylphenol ' MOL Background
2.3,4,6- Tetn*hbrophenol 350 03/1 ACL
P-chloro-m-cresol MDL Background
2.4-Oichbrophenol 105^1 ACL
2.4,6-Trichloropnenol MDL Background
Benzo (k) lluorarthene MOL Background
Benzo (b) fluoranthene MOL Background
2,4-Oinitrophenol 70 ng/l ACL
The Permittee must use the Behrens-Fisher Student's t-test or an equivalent statistical test approved by the Regional
Administrator to determine if concentrations exceed ground-water protection standards of this permit.
The analytical method and the minimum detection limit (MDL) for each constituent must be designated in aB reports of
analyses.
If the Permittee identifies additional Appendix VIII constituents, he shall:
a) Re-sample the affected well(s) within thirty (30) days;
b) Notify the Regional Administrator in writing within seven (7) days if the presence of additional constituents is confirmed;
c) Within sixty (60) days submit to the Regional Administrator, a determination whether there is a statisticaPy significant
increase above the background. The Behrens-Fisher Student's t-test or an equivalent statistical test approved by the
Regional Administrator shall be used to determine a statistically significant increase; and
d) If a significant statistical increase is determined, the Permittee must submit to the Regional Administrator an application
for a permit modification to make any appropriate changes to the program.
Corrective Action Pumping
The well at grid coordinates (X15, Y12) shown on Figure 1 shall be installed initially to extract the plume of contamination
migration from the sludge pits, as required under 40 CFR §264 I00(b) and §264.101. Additional extraction wells shall be
installed within 180 days of determination by the Permittee or EPA that the initial extrication well system is not extracting the
entire plume. The Permittee shall comply with all other state and federal laws regarding treatment and discharge of the
extracted water. The well shall be pumped at a maximum well yield until Condition II.C.1 is met.
Time Period for Implementation
Under 40 CFR §254.100(c) and §264.101, the Permittee shall commence corrective action no later than twenty-four (24)
months after the effective date of the permit.
The Permittee shall submit a compliance schedule progress report to the Regional Administrator describing progress on
implementation of corrective action no later than fourteen (14) days Irom the first anniversary ol the effective date of the
permit.
Correctly* Action Monitoring
The Permittee shall monitor the effectiveness of corrective action on ground-water quality and ground-water flow across the
entire extent of the contamination plume emanating from the sludge pits, as required under 40 CFR §264.100(d) and
§264.101.
The corrective action monitoring shall commence on the effective date of the permit with quarterly monitoring in wells WC-7
and WC-14 for the hazardous constituents listed in II.C.1.
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No
statutory or regulatory requirements are in any way altered by any statcment(s) contained herein.
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3.3 Summary
Although generic checklists may be appropriate and efficient for
conducting inspections at interim status facilities, permitted facilities
are subject to site-specific conditions that must be identified and
inspected.
Two models are recommended for developing permit-specific
inspection plans:
Checklists
Permit summary sheets.
Inspectors and their supervisors may choose either, or a combination of
the two.
Inspectors must assemble the materials needed for a thorough
inspection of a permitted facility:
RCRA permit and permit application
Orders and consent decrees
RCRA regulations.
In reviewing permits, inspectors must review all pertinent
information, including other documents or the permit application when
referenced in the final permit.
Reference should be made to the procedures outlined for developing an
inspection protocol. Using the permit, an inspector can focus on:
Overall site orientation
Releases
Other relevant conditions.
Having developed an effective protocol, inspectors will be ready to conduct an
inspection.
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No
statutory or regulatory requirements are in any way altered by any statcment(s) contained herein.
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4.0 Conducting An Inspection
SECTION PAGE
4.1 Introduction 4-3
4.2 Facility Entry 44
Arrival 4-4
Consent 4-5
Denial of Access 4-5
Use of Warrant to Gain. Access 4-8
Conducting an Inspection Under Warrant 4-8
Dealing with Threats 4-8
4.3 Opening Discussion 4-10
4.4 Operations, Waste Handling, and Record Review 4-12
Discussion of Operations and Waste Handling 4-12
Record Review 4-12
4.5 Visual Inspection Procedures 4-17
Use of Inspection Checklists 4-19
Determining the Need for Sampling and Identifying
Sampling Points 4-20
Observations for Follow-Up Case Development 4-21
4.6 Documentation 4-22
Field Notebook 4-22
Checklists 4-23
Photographs 4-23
Maps and Drawings 4-24
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No
statutory or regulatory requirements are in any way altered by any statement(s) contained herein.
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SECTION
PAGE
4.7 Closing Discussion 4-25
48 Summary 4-28
PREPARING
FOR
INSPECTIONS
CONDUCTING
INSPECTIONS
INSPECTION
FOLLOW-UP
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No
statutory or regulatory requirements are in any way altered by any statement(s) contained herein.
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4.1 Introduction
The authority to conduct inspections is set forth in Section 3007(a) of RCRA and is
reproduced verbatim in Exhibit 1-4 of this Manual. Section 3007(a) grants authority to
inspectors to enter the premises of anyone who "generates, stores, treats, transports,
disposes of, or otherwise handles or has handled hazardous wastes" and to access all
records pertaining to such wastes.
The responsibilities of inspectors in conducting inspections are
outlined in the statutory authority. Inspectors must:
• Enter premises at reasonable times and complete inspections as
promptly as possible
• Issue receipts for samples collected
• Provide duplicate samples
• Furnish owners, operators, or agents copies of any sample analyses
conducted.
In this chapter, inspectors will be provided with detailed information that will
assist them in performing the following steps:
• Facility entry
• Conducting an opening discussion
• Reviewing and understanding facility operations, waste handling
procedures, and records
• Visual inspections
• Documentation of observations
• Conducting a closing discussion.
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No
statutory or regulatory requirements are in any way altered by any statement(s) contained herein.
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4.2 Facility Entry
The first stage of an inspection requires advance consideration and will set the
tone for the remainder of the site visit. Therefore, inspectors must make certain decisions
about how they will act once on-site and how to respond to obstacles encountered.
Arrival
Inspections can be announced or unannounced, as discussed in Section 2.6
above. Regardless, inspectors should determine an appropriate time of
entry. Inspections must be conducted at a reasonable time or during normal
working hours. Inspections that cannot be completed before the normal close
of business will continue on the next business day, unless management does
not object to completing the inspection after closing time (if the time needed to
complete the inspection is short). If a facility is open continuously, or if
management leaves before operations stop, inspectors may continue an
inspection using their own discretion. In any event, an inspection should be
completed in a timely manner.
Upon arrival, inspectors should:
• Locate the proper official (owner, operator, or agent) as soon as possible and
determine whether this official is authorized to offer assistance
• Present identification to the proper officials, even if it is not requested, and
keep identification in sight at all times
• Document arrival in a logbook or field notebook, noting date, time, and the
names and titles of facility personnel encountered.
Generally, proper identification consists of an inspector's EPA or state agency
identification card and any additional identification required by EPA Regional or state
policy. Inspectors should familiarize themselves with applicable Regional or state policy
on identification requirements.
Inspectors may be asked on arrival to sign a log, passbook, waiver, or other form
prior to entering the facility. In general, inspectors mav sign logs or passbooks: they are
used by facilities to keep a record of visitors to the facility and are useful in the event of a
fire or other emergency.
Important:
Inspectors should not sign waivers or other legal documents if
they limit the facility's liability in the event of an accident.
Additionally, inspectors should not sign other legal documents
limiting their rights or the owner's responsibilities while the
facility visit is occurring.
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FOR USE BY EPA INSPECTION PERSONNEL ONLY, This manual is intended solely for guidance. No
statutory or regulatory requirements are in any way altered by any statement(s) contained herein.
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Consent
The owner or agent in charge of a facility at the time of an inspection must give
consent to the inspector to inspect the premises.
Inspectors should note that a consent to inspect may be withdrawn at any time.
However, any segment of an inspection that is completed before such withdrawal remains
valid. Withdrawal of consent is equivalent to a refused entry. In such an event,
inspectors must secure a warrant to complete the inspection. Refusal of entry and use of a
warrant to obtain entry are discussed in the following sections.
Inspectors may observe and report on things in plain view (i.e., anything that a
member of the public could be in a position to observe) even without consent to site entry.
This includes observations made while on private property in areas not closed to the public
(e.g., matters observed while the inspector presents identification).
During an inspection, an owner/operator may try to limit an inspector's access to
portions of the facility. Limiting access to portions of the facility is similar to denying
access to the facility. The appropriate response to being denied access is discussed in the
following sections.
Denial of Access
Inspectors may be denied access for several reasons, some of which may be valid.
Inspectors can reasonably be denied access if they do not have the safety equipment
required by a facility (per OS HA or NIOSH requirements). In such a case, it will
generally be possible to obtain access by satisfying the owner/operator's objection (e.g., by
returning on another day with the required safety equipment). Inspectors do not usually
need a warrant to obtain access in such cases.
Legally indefensible actions resulting in denial of access include:
i
• An owner/operator refusing to allow an inspector to bring in necessary
equipment (e.g., camera)
• An owner/operator refusing an inspector access to documents
• An owner/operator refusing entry due to a strike and/or plant shutdown
• An owner/operator refusing entry due to an inspector's refusal to sign a
waiver or other legal document restricting the owner/operator's
liabilities or obligations.
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No
statutory or regulatory requirements are in any way altered by any statement(s) contained herein.
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Response to Denial of Access
Ask the reason for denial
If the problem is beyond the inspector's authority,
suggest that the official contact an attorney to obtain
legal advice on his/her responsibility under §3007 of
RCRA
Do not, under any circumstances, discuss potential
penalties or do anything that might be construed as
threatening
If access is still denied, fill out a "Denial of Access
Report" (the format is set forth in Exhibit 4.1) (obtain
the signature of the facility representative if possible)
Leave the premises and document any observations
made pertaining to the denial, particularly any
suspicion of violations
Report all aspects of denial of access to the appropriate
Regional or state enforcement division to determine
the appropriate action to take and to get help in
obtaining a search warrant
A federal or state enforcement division attorney
should assist the inspector in preparing the
documentation necessary to obtain a search warrant
and in arranging for a meeting with the inspector and
a U.S. or State Attorney (the inspector or attorney will
bring a copy of the appropriate draft warrant and
affidavits to the meeting)
For federal inspections, the enforcement division
attorney will inform the appropriate EPA
Headquarters enforcement attorney or equivalent of
any entry refusals and will forward copies of all
papers filed
The attorney will then secure a warrant and forward it
to the inspector and/or the U.S. Marshal or equivalent
state law enforcement authority.
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No
statutory or regulatory requirements are in any way altered by any statement(s) contained herein.
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Exhibit 4-1
Format for Denial-of-Access Report
On
by
DENIAL-OF-ACCESS REPORT
at
I was denied access into
at
Location
Facility Representative's Name and Title
for the following reason(s):
List here:
1.
2.
The facility representative,
Signed/Inspector
Signed/Facility Representative
to sign this Denial-Of-Access Report. (
4-7
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No
statutory or regulatory requirements are in any way altered by any statement(s) contained herein.
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Use of Warrant to Gain Access
Inspectors should keep the following points in mind when seeking access to a
facility under a search warrant:
• A U.S. Marshal or local law enforcement officer should accompany
inspectors if the probability is high that entry will still be refused, or if the
owner/operator has made threats of violence
• Inspectors should never attempt to make forceful entry into a facility
• If an owner/operator refuses entry to an inspector with a warrant and the
inspector is not accompanied by a U.S. Marshal or local law enforcement
officers, the inspector should leave the facility and inform an enforcement
division attorney.
Conducting an Inspection Under Warrant
The procedures for conducting an inspection under a search warrant will
differ from those for conducting an inspection under normal
circumstances.
Procedures for Inspection Under Warrant
The inspection must be conducted in strict accordance with the
warrant. If the warrant restricts the inspection to certain areas or to
certain records, inspectors must comply with these restrictions.
If sampling is authorized, all procedures must be carefully
followed, including presentation of receipts for all samples taken.
The facility should also be informed of its right to retain a portion of
the samples obtained by inspectors.
If records or property are authorized to be taken, inspectors must
provide receipts and maintain an inventory of all items removed
from the premises.
Dealing With Threats
The receptiveness of facility officials to an inspection will vary from facility to
facility. In general, most inspections proceed without difficulty. However, in some cases,
facility representatives may threaten inspectors trying to obtain entry to the facility or
during the course of an inspection (e.g., when trying to obtain access to a particular portion
of a facility or after an inspector suggests the existence of a violation).
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No
statutory or regulatory requirements are in any way altered by any statement(s) contained herein.
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Inspectors should determine the appropriate course of action for managing a threat
based upon the nature of the threat and the actions of facility officials. If threatened with
violence, inspectors should terminate an inspection and follow procedures presented in the
section entitled "Denial of Access." In such cases, inspectors should not return to the
facility unless accompanied by a U.S. Marshal or local law enforcement officer.
Inspectors will probably need to obtain a warrant in these cases.
If inspectors receive threats that do not involve a threat of physical harm (e.g., a
threat to call the inspector's supervisor), they will not generally need to terminate the
inspection, unless the owner/operator withdraws consent or denies access in addition to
making a threat. In such a case, inspectors should follow the relevant procedures
discussed in previous sections. They should also be certain to note the threats in their field
log.
Inspectors must avoid making any statements to facility representatives that
could be construed as threatening or inflammatory.
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No
statutory or regulatory requirements are in any way altered by any statement(s) contained herein.
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4.3 Opening Discussion
When inspectors locate proper facility authorities and present their identification,
it may be appropriate to discuss their inspection plans with facility officials.
AGENDA FOR OPENING MEETING
Outline inspection objectives—this will inform facility officials of the purpose
and scope of the inspection and may help to avoid misunderstandings.
Provide management with information on RCRA—during an initial
inspection, inspectors may wish to discuss the provisions of RCRA and any
new requirements that may affect the facility, as well as furnishing a copy of
the Act. Acting in this manner, inspectors are regarded as sources of
regulatory information and can help strengthen Agency-industry relations.
Establish the order of the inspection—discussing the sequence of the inspection
will eliminate wasted time by allowing officials time to make records
available and to start intermittent operations.
Establish meeting schedules—scheduling meetings with key personnel will
avoid time wasted in waiting for people to become available. Inspectors should
obtain business cards from all persons interviewed during the inspection.
Arrange for accompaniment by facility personnel—during compliance
inspections, it is helpful if a facility representative accompanies inspectors to
explain operations and to answer questions.
Schedule a closing conference—a wrap-up meeting should be scheduled with
appropriate officials to provide a final opportunity to gather information, to
answer questions, and to complete administrative duties.
Advise management of the availability of duplicate samples—the facility has
a right to request, and receive immediately, duplicates of any samples
collected during the inspection for laboratory analysis, as well as copies of
subsequent analysis results (if an enforcement case is not pending or being
pursued).
Gather general information—inspectors should obtain any necessary general
information, such as the name and address of the chief executive officer of the
facility.
Ascertain whether the owner/operator is going to claim any information as
confidential business information—an owner/operator should inform
inspectors if and when information is confidential. If an owner/operator does
make a claim of confidentiality, inspectors should provide the appropriate
forms.
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statutory or regulatory requirements are in any way altered by any statement(s) contained herein.
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Inspectors should establish charge of an inspection during the opening discussion
with the owner/operator. However, inspectors should be sensitive to the need to avoid, as
much as possible, disrupting a facility's operations.
Throughout an inspection, inspectors should consider themselves to be
investigative reporters searching for information that shows non-compliance with
regulations. If inspectors diligently question facility personnel and observe operations,
they will be able to discern inconsistencies in what they see, hear, and have previously
reviewed, leading to possible findings of violations.
Inspectors must pursue inconsistencies until they are resolved. For example, if a
facility is using a commercial solvent that generates a listed waste, but does not report that
it is generating that waste, inspectors should determine what happens to the solvent.
Questions: "Where is the solvent used in the plant?" "Is it all consumed during use?"
Inspectors must then decide if the facility representative's explanation is plausible, and
whether it is consistent with the inspector's observations and knowledge. Inspectors should
pursue inconsistencies until they are satisfied that they either constitute a violation or do
not.
Holding an opening discussion immediately after receiving access to a facility
may not be appropriate in all cases. Depending upon the objective of an inspection,
inspectors may want to see particular operations or locations in a facility prior to an
opening discussion. For example, in an unannounced inspection of a facility with a
suspected violation, an inspector may want to go directly to the site of the suspected
violation to observe the violation before the owner/operator can stop, conceal, or otherwise
obscure the non-complying operation or condition.
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No
statutory or regulatory requirements are in any way altered by any statement(s) contained herein.
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4.4 Operations, Waste
Handling, and Record
Review
Discussion of Operations and Waste Handling
Following an opening discussion, inspectors should have facility representatives
describe facility operations and waste generation and management practices. In general,
inspectors will have become familiar with a facility through previous review of the
facility's fil£. Therefore, the purposes of the discussion will be to:
• Obtain a more detailed understanding of operations
• Answer any questions inspectors may have regarding waste generation,
waste flow, and waste management activities
• Identify any changes in operating and/or waste management practices
• Identify and reconcile any discrepancies between the operations described
by the facility representative and those described in the facility file.
During this discussion, inspectors should prepare waste information sheets (included in
Appendix IV) on each waste managed at the facility.
Record Review
After discussing facility operations and waste handling practices, inspectors
usually proceed to the record review. The record review provides inspectors
with the opportunity to become thoroughly familiar with a facility and to
formulate specific questions to be investigated during the visual inspection of
the facility. However, the record review does not have to occur before the visual
inspection. In some cases, inspection objectives may be best served if the
visual inspection occurs before the record review, or the visual inspection may
be performed first for other reasons (e.g., availability of facility personnel or
weather conditions).
RCRA inspectors are responsible for reviewing all recordkeeping, as required of
the owner/operator. Although no standard format is required, inspectors should check for:
1) the presence of required records or plans, 2) dates of the documents to ensure the
documents are kept up-to-date and/or maintained for the required period, and 3) any
suspected falsification of data.
The regulatory requirements under Parts 262, 263, 265, 266, 268, 270, and 279
mandate that the following records be maintained by regulated parties:
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No
statutory or regulatory requirements are in any way altered by any statement(s) contained herein.
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Records To Be Maintained By
Regulated Parties
1. Generators:
262.34 - Job titles and personnel records, agreements with local authorities, and
contingency plan.
262.40- Manifests, biennial reports, exception reports, and waste analyses and
test results (or other bases for determining the hazardous nature of a
waste and its classification).
268.7 - Land disposal notification and certification.
2. Transporters:
• 263.22 - Manifests, shipping papers for bulk shipments by rail or water, and
manifests for foreign shipments
• 279.46 - Tracking records for shipments of used oil.
3. Treatment, Storage, and Disposal Facilities:
• General facility standards, including the following:
265.13- Waste analysis plan
265.15- Inspection schedule
265.16 - Job titles and personnel records
265.51,53- Contingency plan
265.71-77 - Manifest system (records of manifests)
265.73 - Operating record
265.93 - Outline of ground-water monitoring plan
265.94 - Ground-water monitoring record
265.112 - Closure plan
265.118- Post-closure plan
268.7 - Land disposal notification and certification
268.19(d)- Special notification for characteristic wastes.
• Facility-specific standards, including the following:
265.193(i)- Annual assessment for tanks
265.196(0- Certification of major repairs
265.197(2)- Contingent post-closure plan
265.279 - Land treatment, requirements for operating record and closure plan
265.309 - Landfills, requirements for operating record, contents and
organizations of cells, and closure plan
265.440(c) - Drip pad contingency plan
265.441(a) - Drip pad evaluation
265.441(b) - Drip pad upgrade plan
265.443(a) - Drip pad assessment
265.443(b) - Drip pad waste collection system cleaning
266.42- Used oil analysis
266.44 - Used oil fuel analysis
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No
statutory or regulatory requirements are in any way altered by any statement(s) contained herein.
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Records To Be Maintained By
Regulated Parties (Continued)
3. Treatment, Storage, and Disposal Facilities: (continued)
266.100(c) - Boiler and industrial furnace exemption for metals recovery units
266.10300 - Boiler and industrial furnace operating record
266.108- Small quantity boiler and industrial furnace burner exemption
waste quantity records
266.111 - Direct transfer equipment inspection records for boilers and
industrial furnaces
266.112 - Boiler and industrial furnace waste residue data
270.30 - Permits, requirements for monitoring information
(Subparts F & G).
• Required submittals to the Regional Administrator (see Exhibit 4-2).
4. Part A Permit Applicants (interim status TSDFs):
• 270.10 - Data used to complete permit applications.
• 270.30- Records of all monitoring information.
5. Used Oil Processors and Re-Refiners
• 279.55 - Used oil analysis plan.
• 279.56- Tracking records.
• 279.57 - Operating record.
• Required submittals to the Regional Administrator (see Exhibit 4-2).
6. Off-Specification Used Oil Burners
• 279.65- Tracking records.
• 279.66- Off-specification used oil certification.
• Required submittals to the Regional Administrator (see Exhibit 4-2).
7. Used Oil Fuel Marketers
• 279.72 - Analysis of used oil fuel.
• 279.74- Tracking records.
• 279.75 - Off-specification used oil certification.
• Required submittals to the Regional Administrator (see Exhibit 4-2).
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statutory or regulatory requirements are in any way altered by any statement(s) contained herein.
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Exhibit 4-2
Required Submittals to the Regional Administrator
Section 265.11
Section 265.12
Section 265.56
Section 265.72
Section 265.74
Section 265.75
Section 265.93
Section 265.94
Section 265.115
Section 266.103
Section 270.110
Section 279.51
Section 279.57
Section 279.62
Section 279.73
EPA identification number.
Notice of date of arrival of hazardous waste from a foreign source.
In cases of releases, fires, or explosions, notification by emergency
coordinator that an affected area is adequately cleaned before
operations are resumed.
Written report by emergency coordinator on emergency incident, within
15 days of incident.
Manifest discrepancy report within 15 days of receipt of waste.
Upon closure, copy of records of waste disposal locations and quantities.
Biennial report.
In cases of confirmation of analyses indicating significant increase (or pH
decrease), a written notice that the facility may be affecting ground-water
quality within 7 days of date of such confirmation.
Within 15 days after above notification, specific plan for a ground-water
quality assessment program at the facility.
After determination of the above ground-water quality assessment,
written report containing an assessment of ground-water quality and/or
indicating a reinstatement of the indicator evaluation program.
Recordkeeping and reporting: ground-water monitoring information as
specified.
Annual reports of Section 265.75 contain results of ground-water quality
assessment program.
Certification of closure.
Certifications of pre-compliance and compliance.
Permit application and amendments.
EPA identification number.
Biennial report.
EPA identification number.
EPA identification number.
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While performing a record review in accordance with the applicable regulations,
inspectors may encounter problems in accurately interpreting the regulations. Therefore,
the Agency has made available a number of guidance documents and lists of background
documents that will aid both inspectors and the regulated community to comply with the
recordkeeping requirements of Subtitle C. These are presented in Appendix V of this
Manual. A complete catalog of background documents can be obtained from the RCRA
Superfund Industrial Assistance Hotline at 1-800-424-9346 (in the Washington, D.C. area,
703-412-9810).
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4.5 Visual Inspection
Procedures
In general, the visual inspection of a facility should proceed in accordance
with an inspection plan or strategy that inspectors develop during
inspection planning. As previously discussed in Section 2.6 above, this
plan should outline, in the level of detail considered appropriate by
inspectors, the operations they intend to inspect and the tentative order in
which they will conduct the inspection. Inspectors may, however,
determine that it is appropriate to modify a plan based upon information
obtained during the record review or other factors, such as the availability
of specific personnel for interviewing or the scheduled operations of waste
management units to be inspected.
Inspectors should change their planned approach, as needed, to accommodate
condition's they encounter at a facility.
Step-bv-steo procedures for visually inspecting a facility will vary according to the
type of facility and the objectives of the inspection. Specific procedures for inspecting
facilities for compliance with particular RCRA standards are organized by regulation in
Appendix III to this document. That appendix provides a summary of RCRA standards
and describes detailed suggested inspection procedures for determining compliance with
Parts 262, 263, 268, and the general facility standards of Parts 264, 265, and 266.
Generic checklists, which may serve to guide inspectors in performing
inspections and in recording results of inspections, are provided in Appendix IV
of the Manual. Regional offices and state agencies may have developed their
own checklists that should be used in lieu of those provided in Appendix IV.
Inspectors should conduct inspections in a way that allows them to evaluate and
understand the waste flow within a facility and to determine the compliance status of each
segment of the facility's waste management system.
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In ABC Manufacturing's plant, which generates hazardous waste, stores waste for off-
site disposal, and treats some waste on-site, an inspection COULD proceed as follows:
Inspect Points of
Generation and
Accumulation
I
Evaluate In-Plant
Waste Transport
Evaluate Storage and
Treatment Units for
Compliance
Determine if ABC Manufacturing has identified all
hazardous waste by following the manufacturing
process and identifying each point at which
hazardous wastes are generated and where they
are stored. Determine'if accumulation points meet
satellite storage area requirements, if applicable.
Identify waste minimization opportunities.
Determine if there is potential for mislabeling,
misplacing, or mishandling wastes, and if wastes
are adequately tracked to enable proper
identification at storage and treatment units.
Determine if wastes in units correspond to those
whose points of generation have been inspected,
and identify the source of any other wastes in the
units. Determine if any hazardous wastes are
generated in the unit (e.g., treatment sludge) and
evaluate the management of such waste for
compliance.
The progression of steps described above enables inspectors to understand the
movement and control of wastes within a facility. Inspectors will then be able to identify:
• Hazardous wastes that may not currently be considered hazardous by the
owner/operator
• Non-complying procedures or management practices that are part of the
facility's routine operations
• Steps in the management process during which wastes may be mishandled
or misidentified, and in which there are opportunities for spills or releases
• Unusual situations which may be encountered during an inspection that
vary from the facility's stated normal operating procedures and that may
indicate potential violations.
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Such a progression also allows inspectors to complete a checklist and to evaluate the
facility in an organized manner, helping to ensure that all aspects of hazardous waste
management activities at the facility are thoroughly inspected.
Inspections may be conducted completely on foot or, at larger facilities, partially by
vehicle. In any case, inspectors should note all that is happening at the facility. Although
inspectors should generally follow an inspection plan to better understand waste
generation and management within a facility, they should not feel compelled to adhere to
their original inspection plan or route. Rather, they should feel free to diverge from their
original plan to further investigate any observations that may uncover potential violations
or environmental hazards.
As stated earlier, inspectors should maintain control of the pace and direction of an
inspection. They should ask relevant questions of both the facility representative guiding
them through the facility and of other personnel. By questioning diverse personnel,
inspectors may identify inconsistencies in explanations of procedures or operations that
could indicate possible non-compliance that they should further investigate, and get an
indication of the adequacy of the personnel training program. Inspectors should record
answers to questions and observations in a field log or notebook, which is discussed in
Section 4.6.
Inspectors should be careful to remain oriented during the tour of a facility so
that they can accurately note locations of waste management areas, possible
release points, potential sampling locations, etc. At larger facilities,
inspectors should carry a map or plot plan in order to note locations and
maintain their orientation.
Use of Inspection Checklists
As previously discussed, inspectors should complete as much of applicable
checklist(s) as possible in the facility office, generally during the record
review, prior to visually inspecting the facility (unless the objectives of the
inspection or other circumstances dictate that the visual inspection occur
before the record review). Inspectors should leave blank those sections of
checklist(s) that require visual inspection to complete.
During the visual inspection, inspectors should complete those sections of
checklist(s) requiring visual inspection. However, completing these sections is not the
sole purpose of a visual inspection, and the inspector must not limit the visual inspection to
only completing the checklist. Inspectors should be aware of, and investigate, all relevant
waste generation and management activities throughout the facility, and note what is
happening around them as they tour the facility. If inspectors conduct visual inspections
in ways which allow them to understand how wastes are generated, transported, and
managed at the facility (as previously discussed), they should be able to complete the
applicable checklists easily during the inspection and obtain other important information.
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Determining the Need for Sampling and Identifying Sampling Points
Inspectors do not routinely conduct sampling as part of CEIs at interim status
and permitted facilities. Rather, they generally perform sampling during
j inspections in support of case development, which normally occur after
| potentially non-complying conditions or criminal activities have been
identified during a CEI or through some other means. Sampling procedures to
be followed during case development inspections/evaluations are provided in
detail in the Technical Case Development Guidance Document. OSWER Dir.
9938.3 (1988), available from the Office of Waste Programs Enforcement.
Additional information on sampling is provided in several EPA publications,
including:
• Test Methods for Evaluating Solid Waste. Physical/Chemical Methods,
EPA Office of Solid Waste, Pub. No. SW-846, July 1982, as amended
(Update I - April 1984; Update II - April 1985)
• Characterization of Hazardous Waste Sites - A Methods Manual. Volume
II. Available Sampling Methods. EPA, Pub. No. 600/4-84/075, April 1985.
If inspectors are to conduct sampling during a CEI, they will determine this, or be
so informed, during inspection planning. Inspectors should refer to the above mentioned
manuals during inspection planning to obtain information on preparing sampling plans,
taking samples, preserving samples, splitting samples with an owner/operator, and
completing chain-of-custody requirements.
Although inspectors will not usually perform sampling during CEIs, they
should be aware of, and identify, potential sampling requirements that may
j need to be fulfilled in future inspections, particularly in cases where an
j inspector has identified potentially non-complying conditions or criminal
activity. In these cases, it is possible that case development
inspections/evaluations will need to be performed at the facility in the future.
Some conditions indicating a possible need for future testing include:
• The owner/operator is handling a potentially hazardous waste as a non-
hazardous waste—sampling may be required to verify that the waste is
hazardous or non-hazardous.
• In-plant waste handling practices indicate that mislabeling/
misidentification of waste is likely to occur, or that wastes may vary
significantly in characteristic over time and be mismanaged as a result—
sampling may be required to demonstrate that the facility is mislabeling or
misidentifying wastes.
• There is visible or other observable evidence of possible releases of
hazardous wastes from waste management units, satellite storage areas,
waste generating areas, etc.—sampling media and wastes may be required
to demonstrate that a release has occurred or is occurring.
• Wastes may be managed improperly, i.e., in an inappropriate treatment or
disposal unit—sampling may be required to verify that the correct wastes
are being managed in the facility's various waste management units.
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To facilitate any future sampling, inspectors may identify the media or wastes to be
sampled, the physical locations at which sampling should occur (e.g., the location of a
possible release), the steps within a treatment process to sample, the physical
characteristics of the medium to be sampled (e.g., sludge, granular solid), and other
relevant information.
Observations for Follow-Up Case Development
Observations of potentially non-complying conditions or criminal activity
made by inspectors during CEIs may result in the initiation of enforcement
actions.
In all cases, inspectors should accurately and validly document all observations
that may lead to or support further case development activities. They should record in their
notebooks any and all observations made during an inspection and, where appropriate, use
other forms of documentation (e.g., photographs) to further record potentially non-
complying conditions. Documentation is discussed further in Section 4.6 following.
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4.6 Documentation
Documentation refers to all printed and mechanical media produced that
inspectors copy or take to provide evidence of suspected violations. It is
strongly recommended that inspectors record information collected during an
inspection in the following types of records onlv: field notebooks, checklists,
photographs, maps, and drawings. Recording information on other loose
papers is discouraged; loose papers may be easily misplaced and the
information on them discredited during hearings. Proper documentation and
document control are crucial to the enforcement system, as the Government's
case in a formal hearing or criminal prosecution often hinges on evidence
that inspectors gather. Therefore, it is imperative that inspectors keep detailed
records of inspections, investigations, photocopies, photographs taken etc., and
thoroughly review all notes before leaving a site.
Document control ensures accountability for all documents when an inspection is
completed. Accountable documents include items such as: logbooks, field data records,
correspondence, sample tags, graphs, chain-of-custody records, bench cards, analytical
records, and photos. To ensure proper document control, each document should bear a
serialized number and should be listed, with the number, in a project document inventory
assembled upon completion of an inspection. Water-proof ink should be used to record all
data on serialized, accountable documents.
Field Notebook
In keeping field notes, inspectors should maintain a legible daily diary
or field notebook containing accurate and inclusive documentation of
all inspection activity, conversations, and observations. This field
notebook should also include any comments, as well as a record of actual
or potential future sampling points, photograph points, and areas of
potential violation. The diary or field notebook should contain only facts
and observations because it will form the basis for later written reports
and may be used as documentary evidence in civil or criminal
hearings. Notebooks used for recording field notes should be bound and
have consecutively numbered pages. A separate notebook should be used
for each facility inspected, in case the notebook has to be made available
to the owner/operator and/or his or her attorney as part of a legal action
(e.g., through discovery). Because field notebooks may be made
available to owner/operators and their attorneys, inspectors should be
careful to avoid recording potentially embarrassing notes or notes which
may weaken any future enforcement action.
For federal inspectors, field notebooks are part of EPA's Regional files, not
inspectors' personal records. State policy on field notebooks may vary; thus, state
inspectors are advised to become familiar with applicable state policy.
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Checklists
In general, inspectors should use checklists in conjunction with field
notebooks to record inspection observations. However, Regions or states may
have different policies on the use of checklists, and inspectors should follow
their applicable Regional or state policy. Also, some inspectors may not be
comfortable with checklists and should find a mechanism for recording
information consistent with his/her style.
Appendix IV of this document provides checklists for use by inspectors. In some
cases, Regions or states may have preferred checklists that should be used instead of the
checklists provided here. Inspectors should use the checklists preferred by their Region or
state. Inspectors should not rely on checklists as a substitute for knowledge and
understanding of the regulations.
As discussed in Section 4.5, inspectors should remember that checklists are only a
tool for organizing, conducting, and recording the results of an inspection; they should not
limit the scope of an inspection in any way since completion of a checklist is not a valid
goal. Inspectors should be observant of the general operation of a facility, waste
management practices, and potentially regulated activities not covered by checklists (e.g.,
new activities of which they were not aware in planning the inspection) as they perform the
record review and visual inspection.
Inspectors should generally limit the scope of comments on a checklist to checking
the relevant answers, although more extensive comments may be made if no alternative
record is available for noting observations. It is recommended that comments or
observations on checklist answers be recorded in the field notebook, where there is
adequate room for explanations, sketches, etc., to expand upon checklist answers.
Photographs
Photographs provide the most accurate documentation of inspectors'
observations, and inspectors can use this significant and informative
source for review prior to future inspections, at informal meetings, and at
hearings. Documentation of a photograph's origin is crucial to its validity
as a representation of an existing situation. Inspectors should note, in a
field notebook or on a facility map, the following information about each
photograph they take:
• Date
• Time
• Number of the photo on the roll
• Type of film, lens, and camera used
• Signature of photographer
• Name and ID number of site
• General direction faced by inspector when taking photograph
• Location of checkpoint on site
• Other comments (e.g., weather conditions).
Inspectors should limit their comments to these pertinent facts because any discussion of
the photograph in terms of its content could jeopardize its value as evidence.
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Inspectors may select the type of camera they will use, although 35mm single lens
reflex cameras are most common. Inspectors should also note that photographs taken with
a telephoto lens may not be admissible evidence as these lenses may distort the scale of the
photo or image. When taking photos, inspectors should include in the photograph a ruler or
other item, as appropriate, for showing the scale of an object photographed.
If inspectors have video cameras available to them, they are well-advised to employ
them as an excellent means of documentation. EPA anticipates that video cameras may
gradually become standard equipment to be used on inspections. Video cameras have the
unique ability to capture verbal and visual inputs simultaneously, thereby providing a
more comprehensive picture of a facility. Inspectors should be sure to display the date and
time of their recording in the video itself.
EPA has not developed a specific policy pertaining to the use of video cameras on
inspections. Certainly, some facility owner/operators may object to their use by inspectors.
Inspectors, therefore, should be well-versed in their own offices' policies.
Maps and Drawings
Schematic maps, drawings, charts, and other graphic records can be useful
in documenting violations. They can provide graphic clarification of a
particular site relative to the overall facility; demonstrate spill or
contamination parameters (e.g., the size of a contaminated area) relative to
the height or size of objects; and other information that, in combination with
other documentation, can produce an accurate and complete evidence
package.
Maps and drawings should be simple and free of extraneous details. Basic
measurements should be included to provide a scale for interpretation, and compass points
should be included. Generally, maps should also be used to show where photographs were
taken, and in what direction; photo locations can be shown on the map using the roll
number, exposure (photo) number, and a direction arrow.
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4.7 Closing Discussion
Facility officials are usually anxious to discuss the findings of an inspection
before inspectors leave. Inspectors should hold a closing meeting or conference for the
presentation and discussion of preliminary inspection findings. During this meeting or
conference, inspectors can answer final questions, prepare necessary receipts, provide
information about RCRA, and request the compilation of data that were not available at the
time of the inspection. Inspectors should also be prepared to discuss general follow-up
procedures, such as how results of the inspection will be used and what further
communications the Region or state may have with the facility. Inspectors should conduct
closing conferences in accordance with any applicable guidelines established by the EPA
Regional Administrator or state director.
APPROACH TO CLOSING DISCUSSION
When conducting a closing discussion, inspectors should:
• Review inspection notes and checklists in private prior to the closing
discussion. Inspectors may need to take time to refer back to applicable
federal or state standards, call their supervisor, talk with Regional or
Headquarters counsel, or call the RCRA Superfund Industry
Assistance Hotline (1-800-424-9346 or, in the Washington, D.C. area,
703-412-9810), to obtain a clear interpretation of the regulations as they
apply to the specific conditions at the facility. In general, at this point,
inspectors should:
1) Identify any questions that remain to be asked of facility
officials. These may include questions raised during the visual
inspection that need clarification and questions concerning
potential violations uncovered during the inspection of which the
facility representative is unaware.
2) Determine which inspection results to discuss with the facility
representatives and how to approach the discussion, i.e., how
definitively to present results. Of course, all inspection findings
are preliminary until reviewed by an inspector's supervisor.
However, inspectors should be prepared to discuss all obvious
violations of rules observed during the inspection forthrightly;
they should not suggest that an owner/operator of a facility is in
criminal violation of RCRA or that civil or criminal action will
be taken. Inspectors may not want to discuss tentative findings
when there is doubt that a violation has occurred and where they
will need to further review facility conditions, regulations, and
guidance to determine compliance.
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APPROACH TO CLOSING DISCUSSION (Continued)
3) Anticipate questions that may be asked by the facility
representatives and determine how to respond. Obviously,
questions that may be asked will largely depend on inspection
results. Inspectors can anticipate that a facility representative
may challenge specific results, ask for clarifications of rules or
results, and request help in understanding how to respond to or
correct non-complying conditions. Inspectors should be prepared
to answer all questions within their ability, authority, and
knowledge, and to defer answering questions that they cannot
answer with certainty. Inspectors should tell the facility
representative how they will follow-up on deferred questions, and
may refer the representative to appropriate EPA or state officials
for answers to questions beyond their authority.
After completion of the first step, meet with the facility representatives
to ask questions, review results, and answer their questions. When
presenting results, inspectors should inform the facility representative
that all inspection results are preliminary and that the overall
compliance status of the facility will be determined after review of
inspection results with supervisory personnel and the issuance of an
inspection report.
In conducting a closing meeting, it is essential that inspectors maintain a
professional, courteous demeanor, even though the attitude of facility representatives may
not be cordial. Because inspectors are often the only contact point between EPA or a state
agency and the regulated industries, they should be keenly aware of opportunities to
maintain and improve agency-industry relations. The closing conference provides a
good opportunity for inspectors to offer various kinds of help to facility officials, within
appropriate limits. Having just completed an inspection, inspectors will have first-hand
knowledge of existing problems and solutions.
Improving Relations with the Regulated Community
• Discuss problems with facility officials and tactfully offer help and
suggestions, as appropriate. Inspectors should limit their comments
to relatively straightforward interpretations of rules and
resolutions of problems. They should avoid providing any advice or
assistance that would prejudice the government's case in a
subsequent enforcement action (e.g., making guarantees that the
facility would come into compliance by performing certain actions,
other than those specified verbatim in regulations). Additionally,
inspectors should be careful to avoid making suggestions that might
imply that a "consultant" type of relationship exists with the
owner/operator.
• Offer or suggest available resources to facility officials to help
overcome specific problems or assist in their waste minimization
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efforts (e.g., Agency outreach materials, technical publications,
special services available to industry, etc.).
Contact with a facility after an inspection can lead to gathering of additional
information and demonstrate interest in the facility, but inspectors should exercise
discretion in making such contacts. Contacts should serve enforcement or compliance
objectives. It is important for inspectors, as industry relations representatives, to follow-up
on deferred questions, referrals, and offers of help made during an inspection. These
activities, within appropriate limits (which may be set by Regional or state policy),
contribute towards achievement of a major enforcement objective: making regulated
facilities come into, or maintain, compliance. Communicating through letter, phone call,
or repeat visit indicates to facility officials that the regulatory agency is genuinely
interested in assisting them achieve compliance (within appropriate limits), and that the
agency is paying attention to their efforts, or inaction, in achieving or maintaining
compliance.
Inspectors should never recommend a particular consultant or consulting
firm to a facility, even if asked to do so. However, inspectors may recommend
that a facility contact a professional society to obtain professional assistance.
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4.8 Summary
Although inspectors may exercise a certain amount of discretion in conducting an
inspection, certain rules and procedures should be followed to ensure the required level of
consistency and quality. Inspectors must at all times maintain a professional approach to
their work, even in the face of difficult circumstances, and must concern themselves with
detail.
Thorough information-gathering is central to any inspection effort
and should occur during all phases of the inspection discussed in this
chapter:
• Opening discussion
• Discussion of operations and waste handling
• Record review
• Visual inspection
• Documentation
• Closing discussion.
As the key link between EPA and state agencies and the regulated community, inspectors
must also serve as an information source for facilities.
. Upon completion of an inspection, and appropriate documentation of findings, an
inspector is ready to prepare the inspection report, discussed in Chapter 5.
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5.0 Inspection Foliow-Up
SECTION
PAGE
5.1 Introduction . 5-2
5.2 Report Preparation 5-3
Objective 5-3
Report Preparation Procedures 5-4
5.3 Report Elements 5-5
Narrative Information 5-5
Checklists 5-6
Documentary Support 5-6
5.4 Follow-up Discussions and File Preparation 5-9
Preparing Inspection Files 5-10
5.5 Disclosure of Official Information 5-11
Requests for Information 5-11
Confidential Business Information 5-11
5,6 Summary , 5-13
PREPARING FOR
INSPECTIONS
CONDUCTING
INSPECTIONS
INSPECTION
FOLLOW-UP
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5.1 Introduction
In this chapter, inspectors will be informed of critical steps in the final phase of
inspection work—inspection follow-up. This includes preparation of the inspection report
and related activities. As the culmination of inspectors' efforts, this phase must be
undertaken in a consistent, thorough, and comprehensive manner.
To successfully complete inspection follow-up, inspectors must:
• Understand their objective(s)
• Be familiar with procedures that can help reach the objective(s)
• Include all relevant information in their reports and files
• Ensure that inspection files are as current as possible
• Perform in a manner consistent with applicable law.
All of these aspects of inspection follow-up will be thoroughly discussed below.
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5.2 Report Preparation
The report package that inspectors prepare following an inspection greatly impacts
on the adequacy of follow-up to correct problems or deficiencies noted during an
inspection. Inspectors must organize their reports in a manner that allows them and their
supervisors to make maximum use of all information. It is also essential that inspectors
complete their reports expeditiously so that results are available to support further
enforcement actions, especially in situations where a facility has significant violations or
where other offices plan activities related to an inspected facility. Specifically, inspection
reports will support the following types of enforcement actions:
• Administrative actions (warning letters, administrative orders, etc.)
• Civil court actions
• Criminal court actions.
This Manual presents a general method for reporting inspection findings and
conclusions. A recommended report format is included. Many Regions and states have
preferred formats tailored to their own specific procedures and requirements, but in cases
where inspectors may not have a specific model to follow, they will need to develop their
own approach that meets all of the requirements outlined below.
Inspection reports must be well-written and should
document all key facts because they may become the focal point
for an enforcement action.
Objective
An inspection report should organize and coordinate all relevant information and
evidence gathered during an inspection in a comprehensive and usable manner. To meet
this objective, the information presented in an inspection report must be:
• Accurate — All information must be factual and based on sound inspection
practices; observations should be the verifiable results of first-hand
knowledge and must be objective and factual.
• Relevant — Information in an inspection report should be pertinent to the
subject of the report; irrelevant data clutter a report and can reduce its
clarity and usefulness.
• Comprehensive — The subject of a report (e.g., suspected violations) should
be substantiated by as much factual, relevant information as possible. The
more comprehensive the evidence is, the better and easier the case
development process becomes.
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• Coordinated — All information pertinent to the subject should be organized
into a complete, well-organized, lucid package. Documentary support
(photographs, photocopies, statements, sample analyses, etc.)
accompanying the report should be clearly referenced so that any interested
party reading the report gets a complete and clear overview of the subject.
Additionally, the report should be neat and legible.
Report Preparation Procedures
Inspectors should follow four basic steps when preparing inspection reports,
regardless of the specific nature of the elements/contents. Each of these steps is briefly
described here:
Stepl:
Step 2:
Review Information: When preparing a report, inspectors should
gather all information developed during the inspection. More
specifically, inspectors should assemble checklists, field notebooks,
photos, maps, photocopies, and drawings and review the material for
relevance and completeness. When gaps in information are
discovered, inspectors should obtain necessary data by calling the
facility representative or, in unusual circumstances, conducting a
follow-up visit.
Organize Material: Inspectors may organize their information in
one of several ways, depending on the requirements of the agency the
inspector represents. However, the report should always include each
of the items mentioned in Step 1 above and should present the
information in a logical, comprehensive manner. The narrative
should be easily understandable (a cross-referencing system with the
checklist can be useful).
Reference Accompanying Material: Inspectors should clearly
reference all documentary support that accompanies an inspection
report so that any reader can easily locate relevant documents.
Inspectors should check all documentary support for clarity prior to
writing an inspection report.
Write the Narrative Report: After gathering all appropriate
information, inspectors can write the narrative section of the
inspection report. The narrative report presents a factual record of the
procedures used in the inspection and of the resulting findings.
Using the field notebook as a guide for preparing the narrative report,
inspectors should refer to the routine procedures and practices used
during the inspection, but should describe in detail facts relating to
potential violations and discrepancies.
Inspectors should reference any confidential business information included in the
inspection report in a nonconfidential manner (i.e., by Document Control Number and a
general description of the information contained in the document). Inspectors may also
include the confidential information and treat the entire inspection report as a
confidential document. If they select the latter alternative, inspectors must log the report
with the Document Control Officer to ensure that only persons cleared for access are
permitted to review it.
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5.3 Report Elements
Although the specific information about a facility that must be included in an
inspection report will vary, each report will usually be composed of three elements:
narrative information, checklists, and documentary support Suspected violations must be
documented through employment of these elements, each of which is described below.
Narrative Information
A narrative discussion of the facility inspected, its operations, and the findings of
the inspection is a key element of an inspection report. The narrative should, at a
minimum:
• Explain the overall nature of a facility's activities
• Discuss manufacturing and waste management operations at the facility
• Describe the generation and handling of wastes
• Describe apparent violations, and discuss the documentary evidence
supporting a determination that a facility has a violation.
The narrative explains and supports findings presented in any inspection checklists
included in the inspection report (discussed below). The narrative also may include
recommendations for follow-up actions. A recommended outline for a narrative
discussion is presented in Exhibit 5-1.
Inspectors should present narrative information in a simple manner.
Tips for Effective Narrative Discussion
Use a simple writing style; avoid stilted language
Use active rather than passive voice (e.g., "I observed
..." rather than "It was observed ...")
Keep paragraphs brief and direct
Avoid repetition
Proofread the narrative carefully upon completion.
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Checklists
Checklists are designed to lead to the collection of standard reviewable
information. They function as guides to ensure that inspectors collect all
basic data. As discussed in Chapter 4 of this Manual, inspectors generally
complete checklists as they progress through an inspection. In instances
where checklist(s) require further clarification and elaboration, inspectors
should use the information they recorded in their field notebooks and other
information (e.g., from the inspection file) to expand upon checklist results
in the narrative body of the inspection report. Inspection checklists are only
one component of a complete report; they are not sufficient in and of
themselves. The checklists that inspectors use and include in reports will
vary according to individual state and Regional procedural requirements.
Documentary Support
Inspectors should include, as part of their inspection reports, all documentation that
is intended to provide evidence of suspected violations. Such documentation may include:
statements, photographs, photocopies, drawings and maps, printed matter, mechanical
recordings, and copies of permits and records. The information that inspectors should
record in field notebooks and on facility maps to document photographs is discussed in
Chapter 4 of the Manual.
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statutory or regulatory requirements are in any way altered by any statement(s) contained herein.
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Exhibit 5-1
Recommended Narrative Outline for Inspection Report
GENERAL INFORMATION
Facility Information
Facility Representative
Inspection Participants
Date of Inspection
Applicable Regulations
Purpose of Inspection
State Coordination
Facility Description
Violations Observed or
Alleged
FOR GENERATORS
General Standards for
Generators
The Manifest
Pre-Transport
Requirements
Recordkeeping and
Reporting
Special Conditions
(Name, Address, Telephone Number)
(Name, Title)
(Name, Agency or Company)
40 CFR Parts 260-272
(Requested by ...; inspection of ...; sampling of ...; etc.)
(Assisted by ...; Copy of report to ...; Additional
information obtained from ...)
(RCRA related activities, including operations, wastes
generated, waste handling operations, etc.)
(Regulatory citation; nature of violation; evidence)
Parts 262.10 - 262.12 (Describe compliance with these
standards)
Parts 262.20 - 262.23 (Establish existence of manifest
records; assess adequacy with respect to regulatory
requirements)
Parts 262.30 - 262.34 (Review packaging, labeling,
marking, and placarding procedures for compliance
with the regulations; establish compliance with
accumulation time restrictions)
Parts 262.40 - 262.43 (Establish existence of annual
reports and additional reports)
Parts 262.50 - 262.51 (Inspect for reports of international
shipments of waste, and proper notification to the
Administrator)
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statutory or regulatory requirements are in any way altered by any statement(s) contained herein.
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Exhibit 5-1 (Continued)
Recommended Narrative Outline for Inspection Report
FOR TRANSPORTERS
General
Manifest System and
Recordkeeping
Hazardous Waste
Discharges
FORTSDFs
General Facility
Standards
Preparedness and
Prevention
Contingency Plan and
Emergency Procedures
Manifest System,
Recordkeeping, and
Reporting
Parts 263.10 - 263.12 (Ensure that the transporter has
obtained an EPA I.D. number and only stores waste at
transfer facilities for fewer than 10 days)
Parts 263.20 - 263.22 (Establish existence of manifest
records and compliance with manifest procedures)
Parts 263.30 - 263.31 (Ensure that transporter is aware of
responsibilities under these sections; check to see if any
discharge reports have been made to the Department of
Transportation as required by these regulations)
Parts 264/5.10 - 264/5.18 (Describe compliance with
standards)
Parts 264/5.30 - 264/5.37 (Check for required equipment
and arrangements with local authorities)
Parts 264/5.50 - 264/5.56 (Check records and procedures
for adequacy with respect to the requirements of these
sections)
Parts 264/5.70 - 264/5.77 (Establish existence of
manifest records, operating record, annual report, and
unmanifested waste report; assess adequacy with
respect to regulatory requirements)
GroundwaterMonitoring Parts 264/5.90 - 264.99 or 265.94 (Examine ground-water
monitoring plan and review results of sampling
analysis)
Corrective Action
Program
Closure and Post Closure
Facility Specific
Standards
Permit Conditions
Parts 264.100 - 101 (Review status of corrective action
program)
Parts 264/5.110 - 264/5.120 (Review closure and post-
closure plans for adequacy with respect to regulatory
requirements)
Parts 264/5.170 - 264.603 or 265.445 and Parts 264/5.1100 •
1102 (Depending upon the type of facility being
inspected, establish compliance with the appropriate
regulatory standard)
(For permitted facilities, review violations of specific
permit conditions or schedules of compliance)
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5.4 Follow-Up Discussions
And File Preparation
In many cases, inspectors will brief their supervisors on inspection results
(particularly observed violations). Inspectors may also brief the Regional Case
Development Officer (RCDO), equivalent state case development officer, or enforcement
decision group on an inspection. These briefings may be given to:
• Assist in determining the need for possible enforcement action
• Answer questions about performance of the inspection
• Clarify inspection results to develop additional evidence in support of
enforcement case development.
In addition to these briefings or discussions, inspectors may need to discuss results
with other Regional or state personnel as appropriate.
Briefing Required?
Where inspectors have referred a facility representative to
other Regional or state personnel for information or
assistance. These personnel should be contacted by the
inspector and briefed about conditions at the facility and the
types of questions that they should expect to receive.
Where a facility is subject to both federal and state enforce-
ment, and inspectors observe potential violations at units not
within their jurisdiction. Inspectors should contact the
Regional or state agency with enforcement authority over the
unit(s) with violations. Regions and states may have policies
concerning the need to consult with other agencies with which
they share joint authority over hazardous waste management
facilities; inspectors should become familiar with and follow
policies applicable to their respective jurisdictions.
Where a facility has applied for a permit, or is operating under
a permit, and where inspectors identify conditions that conflict
with those presented in the permit application or required in the
permit. If a facility has applied for a permit, and conditions at
the facility are not consistent with the application, inspectors
should inform the permit writer of the conflicting conditions.
If the facility has been permitted, and conditions are not
consistent with the permit, the conditions may constitute
violations unless a modification has been granted. In such
cases, inspectors should confer with the permit writer on the
observed conditions and any modifications which the facility
may have applied for or discussed with the permit writer, prior
to determining how to present these conditions in an inspection
report.
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Preparing Inspection Files
Upon completion of an inspection report, inspectors should organize the
report, supporting notes, and other documentary information into an
inspection file. If inspection documentation includes confidential business
information (CBI), inspectors should separate the information into two files,
one non-confidential and the other confidential.
Properly organizing the inspection information into files so that material can be
easily reviewed by inspectors or other interested Agency officials helps expedite review of
inspection results to determine possible enforcement actions. For EPA inspections,
inspection files are normally sent to RCDOs for review. The RCDO reviews the file in
depth to determine the information's adequacy for purposes of supporting any necessary
enforcement actions and substantiating elements of a violation. The result of the review
will generally be a recommendation to proceed with an enforcement action or to dismiss
violations as unworthy of prosecution. For state inspections, state inspection files may go
through a similar review by comparable state enforcement personnel.
The non-confidential inspection file should contain the inspector's report and all
forms of non-confidential documentation, which may include:
• Field notebooks
• Documents relating to sampling, as appropriate (e.g., custody records,
analytical results)
• Photographs
• Drawings and maps.
Where necessary, inspectors may need to prepare a CBI inspection file. This file
should include all CBI inspectors gather during an inspection, and the results of analyses
for samples considered to be CBI. Inspectors should follow relevant procedures for logging
CBI with Document Control Officers, or the state equivalent. The CBI inspection file can
only be reviewed in accordance with RCRA CBI control and security procedures. For more
information on CBI procedures, inspectors should review the RCRA Confidential Business
Information Security Manual, available from the Office of Solid Waste, Office of Program
Management and Support.
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statutory or regulatory requirements are in any way altered by any statement(s) contained herein.
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5.5 Disclosure of Official
Information
In addition to their inspection duties, inspectors are responsible.for making
information available to the public. This section describes how to handle requests for
general information and the procedures for managing confidential business
information.
Requests for Information
EPA's "open-door" policy on releasing information to the public strives to make
information about EPA and its work freely and equally available to all interested
individuals, groups, and organizations. In fact, EPA employees have both a legal and
traditional responsibility for making useful educational and safety information
available to the public.
This policy, however, does not extend to all information. When information
related to suspicion of a violation, evidence of possible misconduct, or confidential
business information ia requested, personnel should immediately notify their supervisor
and/or legal counsel. | Representatives of state agencies may use EPA's policies on
information disclosure as a guide in the absence of formal procedures of their own.
Inspectors should clear any contacts with the press, other communications
media, and interested groups with their supervisor, Regional public affairs
office, or state public affairs office, as appropriate. Inspectors should be familiar
with and follow Regional or state policy regarding press relations.
In situations where inspectors or. an inspection team are authorized to discuss
activities with the press or interested groups, one person should be designated as the
spokesperson to provide information concerning inspection responsibilities and
investigative activities. Inspection teams should refer questions concerning
investigation of alleged violations and enforcement policy to the EPA Regional Counsel or
appropriate state enforcement staff attorney for response. In all contacts with the media,
inspectors should be careful not to make careless or accusatory statements.
Confidential Business Information
All confidential information obtained will be identified as such and placed in a
locked filing cabinet or safe. Only authorized personnel will be allowed access to the file.
No copies of CBI will be made unless authorized in writing by the document control officer.
Inspectors and other enforcement personnel have a responsibility to the submitters of
RCRA CBI to maintain the confidentiality of such information. Personnel handling CBI
are prohibited from disclosing, in any manner or to any extent not authorized by law, any
RCRA CBI they have access to in the course of their employment or official duties.
Requests for access to confidential information by any member of the public or by a state,
local, or federal agency will be handled according to the procedure described in the
Freedom of Information Act regulations (40 CFR 2). All requests will be referred to the
responsible Regional organizational unit.
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Section 3001(b) of RCRA and 40 CFR 2.305(h) authorize EPA to furnish CBI to state
agencies acting as authorized representatives of the United States in support of RCRA,
provided the state agency has its own CBI procedures approved by EPA. State and Regional
RCRA CBI procedures vary. Inspectors must become familiar with their specific
procedures prior to obtaining CBI authorization access.
Confidential claims for RCRA should not be confused with confidential claims
under other environmental laws (e.g., Toxic Substances Control Act).
Unauthorized disclosure of RCRA CBI may subject an employee to criminal
penalties under 18 United States Code (USC) Section 1905. Violations of
RCRA CBI procedures by employees may result in the revocation of CBI
authorization access and/or further disciplinary action.
For more detailed information, inspectors should consult the RCRA Confidential
Business Information Security Manual. Office of Solid Waste, U.S. EPA, Draft, March
1984.
Contract inspectors must provide the same degree of protection to RCRA CBI that
EPA or an authorized state agency provides. Although the contractor protection of CBI must
be equivalent to EPA, the nature of contracts is such that the specific procedures are
somewhat different. Contract inspectors should first consult Contractor Requirements for
the Control and Security of RCRA Confidential Business Informationr Office of Solid
Waste, U.S. EPA, March 1984.
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5.6 Summary
To ensure that all of their hard work preparing for and conducting an inspection
has been worthwhile, inspectors must focus on all of the necessary follow-up work. This
includes:
Report preparation
Follow-up discussions with appropriate
personnel
Preparation of an inspection file
Appropriate handling of requests for information
and CBI.
It is critical that reports and files be prepared in such a manner that they will be useful in
future case development, inspections, and other activities.
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No
statutory or regulatory requirements are in any way altered by any statements) contained herein.
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KEEPING UP WITH RCRA
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Appendix I
Keeping Up with Current
RCRA Regulatory Concerns
SECTION PAGE
I. Overview 1-2
II. RCRA Developments 1-4
Air Emissions Subpart CC 1-4
Boilers and Industrial Furnaces 1-4
Corrective Action Management Units 1-5
Land Disposal Regulations 1-5
Mining Waste 1-7
Mixtures and Derived-From Rules 1-7
OSHA/EPA Relationship 1-8
Pollution Prevention 1-10
Toxicity Characteristic 1-12
Universal Wastes 1-12
Used Oil 1-13
Wood Preserving 1-13
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This mnnutil is intended solely for guidance. No statutory or
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Appendix I
Keeping Up with Current
RCRA Regulatory Concerns
I. Overview
Inspectors should keep up to date with changes in the RCRA regulations and
requirements (or equivalent State regulations and requirements, as appropriate).
The complete RCRA regulations are published annually in Title 40 of the Code of
Federal Regulations (CFR). However, regulations amending or adding to the CFR
may be promulgated by EPA at any time during the year; such amendments or
additions are published in the Federal Register, which is published daily and can
be reviewed in EPA Regional libraries.
The annual edition of the CFR includes all revisions made to the CFR that have been
published in the Federal Register during the previous year. The annual revision of Title 40 of the
CFR, which contains the RCRA hazardous waste regulations (40 CFR Parts 260-272), is usually
available in January, and usually reflects changes to the regulations promulgated through July.
Thus, the 1993 edition of Title 40 will appear in January, 1994, and reflect all amendments or
additions made to the RCRA regulations through July 1, 1993.
Keeping up with changes to the regulations made during the year can be difficult. Here are
some suggestions:
• To help interested parties keep track of newly promulgated or pending changes to
the RCRA regulations (and other environmental standards), EPA issues a semi-
annual listing of recently completed and pending regulatory actions. This listing,
the "Semiannual Regulatory Agenda," is published in the Federal Register,
usually in April and October of each year. The Agenda lists regulatory actions at
the pre-rule, proposed rule, final rule, and completed action stages. Generally,
actions at the final rule or completed action stage will be of most interest to
inspectors. Actions at the final rule stage include regulations that EPA expects to
promulgate as final rules within approximately one year; the Agenda provides a
planned date of promulgation, a synopsis of the rulemaking, and an EPA
Headquarters technical contact for the rule. Completed actions generally include
recently promulgated regulations; the Agenda provides the date on which recently
promulgated standards were published in the Federal Register and provides the
Federal Register citation for the standards.
• EPA Headquarters also operates, with contractor assistance, the RCRA/Superfund
Industry Assistance Hotline to answer questions anyone may have concerning
RCRA. The Hotline can provide inspectors with up-to-date information on recently
promulgated standards and send copies of regulations that have appeared in the
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Federal Register, as well as answer other questions concerning the RCRA
program.
The Hotline number is:
ToU Free, 1-800-424-9346
• In the Washington, D.C. area, 703-412-8810
Every month, the Hotline publishes the "RCRA-Superfund Industry Assistance Hotline
Report," which provides information on regulations and guidance published during the preceding
month, and discusses answers to particularly pertinent questions asked by Hotline users. This
report may be obtained by EPA inspectors by request from:
U.S. Environmental Protection Agency
Office of Solid Waste
Office of Program Management and Support
WH-562
Washington, D.C. 20460
• A number of newsletters published by various services provide information on
RCRA. These may be available in EPA Regional libraries or, by subscription,
from the publisher.
• Another resource is the REDboard, completely managed by EPA RCRA
Enforcement Division personnel. Current news from EPA Headquarters is posted
as it becomes available. Only EPA and state RCRA enforcement personnel are
allowed access to the REDboard. The REDboard has a number of features:
Allows for public or private messages to be sent to specific users, distribution
lists, or to all users with immediate reply with quote available for question
response
Ability to door out to a RCRA Trivia Challenge and State Callback feature, as
well as three RCRA information databases
Ten different sub-boards on specific RCRA enforcement topics
Over 100 files available for downloading, including WordPerfect copies of 40
CFR updated through October 1992, Federal Register entries, monthly
HOTLINE reports, inspection checklists, RCRA Inspector News Issues, and
policy memoranda
Full upload capabilties to allow Regions and states to share files.
The REDboard number is:
Toll Free, 1-800-2603959
In the Washington, D.C. area, 202-260-8959
Modem settings: N&l
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11. RCRA Developments
Below, presented in alphabetical order by subject area, are brief discussions of recent and
anticipated regulatory and Agency developments impacting on implementation of the RCRA
program. Inspectors should be aware of all such information and are strongly advised to utilize
all available resources to remain abreast of future developments. The discussions below are
intended only to highlight important information; inspectors are encouraged to develop more
detailed understandings.
As needed, this Appendix will periodically be updated to reflect significant events in the
RCRA program about which inspectors should be aware. Topics covered include:
Air Emissions Subpart CC
Boilers and Industrial Furnaces
Corrective Action Management Units
Land Disposal Regulations
Mining Waste
Mixtures and Derived-From Rules
OSHA/EPA Relationship
Pollution Prevention
Toxicity Characteristic
Universal Wastes
Used Oil
Wood Preserving.
Air Emissions Subpart CC
The EPA proposed new standards and amendments to the existing air emission standards
on July 22,1991 (56 FR 33492). The proposed Subpart CC of 40 CFR 264 and 40 CFR 265 would apply to
tanks, surface impoundments, containers, and miscellaneous units that contain VOCs at or
greater than 500 ppmw. In addition, the proposed amendments would add relevant emission
control requirements specified by the air emission standards under RCRA for certain TSDF
treatment unit process vents, equipment tanks, and units to the requirements that a hazardous
waste generator must comply with pursuant to 40 CFR 262.34(a). Generators will need to comply
with these additional requirements to exempt certain accumulation tanks and containers from
RCRA Subtitle C permitting requirements.
This proposed rule is expected to be finalized in the summer of 1993. A more in-depth
discussion of current air emissions standards can be found at page III-160 below.
Boilers and Industrial Furnaces
Hazardous waste can be burned in boilers, industrial furnaces, and incinerators for
specific purposes. Incinerators use controlled combustion to treat or destroy hazardous waste, and
are regulated under 40 CFR Parts 264 and 265 Subpart O. Boilers and industrial furnaces (BIFs)
that burn hazardous waste typically use controlled combustion to burn waste for energy or
materials recovery, and have been minimally regulated by RCRA. However, in an effort to
reduce and control the toxic pollutants from boilers and industrial furnaces, EPA promulgated
final regulations on boilers and industrial furnaces in the February 21, 1991 Federal Register (56
FR 7134), with corrections and amendments appearing July 17, 1991 (56 FR 32688) and August 27,
1991 (56 FR 42504). An administrative stay of the application of the industrial furnace standards
as they apply to coke ovens was published on September 5,1991 (56 FR 43874). The hazardous waste
burners affected by the BIF regulations include nonindustrial, industrial, and utility boilers;
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cement and light weight aggregate kilns; and halogen acid furnaces. The regulations found at 40
CFR Part 266, Subpart H, require BIFs to control emissions of toxic organic compounds by: setting
a 99.99 percent destruction and removal efficiency standard for constituents in the waste; limiting
stack gas carbon monoxide concentrations; and, in specific situations, limiting hydrocarbon
concentrations in stack gas. The BIF regulations also require that paniculate matter be held to a
level of 0.08 gr/dscf and that ten toxic metal emissions as well as hydrogen chloride and chlorine
gas emissions levels do not exceed site-specific limits.
Interim status facilities must have certified pre-compliance by August 21, 1991 and also
must conduct compliance testing and certify compliance with the emissions standards by August
21, 1992. Permitted facilities were required to submit a Class 1 modification by August 21, 1992 and
to submit a Class 3 modification request to EPA by February 21, 1992.
A new guidance document based on questions received by the Agency from the regulated
community was published in March, 1992 and is entitled Technical Implementation Document for
EPA's Boiler and Industrial Furnace Regulations (EPA-530-R-92-011).
For more in-depth information on current BIF regulations see page III-246 below.
Corrective Action Management Units
On February 16, 1993 (58 FR 8658), EPA finalized the corrective action management unit
(CAMU) and temporary unit (TU) portions of the July 27, 1990 proposed corrective action
rulemaking. The final rule promulgates standards which, when followed, allow the use of
CAMUs for the purposes of managing remediation wastes without triggering the land disposal
restrictions or minimum technology requirements. The TU portion of the rule allows tanks and
containers located at the facility to manage remediation wastes for up to one year without being
required to meet all of the relevant Part 264 and 265 standards. The specific standards the tanks
and containers will have to meet will be decided by the Regional Administrator on a case-by-case
basis. At this point these are the only portions of the proposed Subpart S standards to have been
finalized.
For more in-depth information on current CAMU regulations see page III-226 below.
Land Disposal Regulations
Phases I and n
Known as Phase I, the final rule on the land disposal regulations (LDR) treatment
standards for debris and 20 newly-listed wastes (F037, F038, K107-K112, K117, K118, K136, K123-
124, K131-132, U328, U353, and U359) appeared in the August 18,1992 Federal Register (57 FR
37194). At that time EPA established alternate treatment standards for debris that contain
prohibited listed wastes or exhibit a prohibited characteristic. Under the final rule, debris may be
treated prior to land disposal using specific technologies from one or more of the following
families of debris treatment technologies in §268.45: extraction, destruction, or immobilization.
EPA also finalized regulations which state that hazardous debris that is treated by an extraction or
destruction technology and that no longer exhibits a hazardous characteristic will no longer be
subject to regulation as a hazardous waste.
In addition, EPA finalized revisions to a number of current LDR treatment standards
including: F001-F005; alternate treatment standards for F006 and K062 wastes and an extension
of the K061 generic exclusion to F006 and K062 wastes treated by high temperature metal recovery
(HTMR) and the simplification of the notification and certification rules for characteristic wastes
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in §268.9. Also finalized were regulations that establish a new waste management unit known as
a containment building. When certain types of waste such as lead slags and spent potliners, are
stored or treated in a containment building, this management will not constitute land disposal.
Additionally, EPA deferred the expansion of the list of inorganic constituents in Part 261
Appendix VIII and did not include vanadium in the treatment standards.
The Phase II rulemaking on contaminated soil and newly identified wastes was discussed
in the Advance Notice of Public Rulemaking in the October 24, 1991 Federal Register (56 FR
55160). The notice discusses different methods available to treat contaminated soil, such as
biological treatment, soil washing, and vitrification. Also presented for comment were treatment
standards for the toxicity characteristic waste codes D004-D043, F032, F034, F035, K088, and
characteristic hazardous wastes generated by the mining and mineral processing industries no
longer suspended by the Bevill Amendment, RCRA §3001(b)(3). The proposed rule on Phase II is
expected in early 1993; the judicial deadline for a final rule is June, 1993.
Case-by-Case Extensions
1) On May 15, 1992 (57 FR 20766), EPA published a case-by-case extension for
hazardous debris. This rule, effective May 8, 1992, approved a generic one-year extension of the
LDR effective date applicable to all persons managing hazardous debris. In this action, all
hazardous debris (as defined in the June 1, 1990 final rule (55 FR 22650) or the August 18, 1992 final
rule (57 FR 37242) with several exceptions, received an extension. The exceptions include debris
contaminated with listed solvent or dioxin waste covered by the §3004(e) prohibition and debris
contaminated with non-liquid "California List Wastes" pursuant to §3004(d). For all other types of
debris EPA determined that there was a lack of available treatment capacity and they were
therefore granted an extension from the land disposal restrictions until May 8, 1993. While no
further applications are required from persons granted an extension by this action, they are
required to keep certain records and to meet certain other requirements to qualify for the extension
per 40 CFR 286.5. Owners/operators could apply for an additional one-year extension on a site-by-
site basis no later than November 8, 1992.
2) EPA granted a similar extension to the U.S. Department of Energy (DOE) in the
May 26, 1992 Federal Register (57 FR 22024). The DOE case-by-case extension covers Third Third
mixed wastes but does not include solvents, dioxins, and "California List Wastes" for which
earlier treatment standards were set (51 FR 40572, 52 FR 25760). The mixed wastes from the 31
DOE facilities covered by this extension are not subject to the land disposal regulations effective
May 8, 1992. While this decision is for one year, and will expire on May 8, 1993, EPA is
considering the impact of granting a second extension.
3) On June 5, 1992, EPA took regulatory action to approve an extension of the LDR
effective date applicable to owners/operators of secondary lead smelters who are engaged in the
reclamation of lead-bearing hazardous materials. Published in the Federal Register on June 26,
1992 (57 FR 28628), this extension applies only to lead-bearing hazardous waste wastes placed in a
staging area immediately prior to being introduced into a lead smelter. While no further
applications are required from persons granted the extension of the action, they are required to
keep certain records and meet other requirements as required by 40 CFR 268.5. This extension is
effective until May 8, 1993.
4) In the October 20, 1992 Federal Register, under 40 CFR 268.5, EPA approved an
interim final case-by-case extension of the LDR effective date, to May 8, 1993, applicable to all
persons handling Third Third hazardous soil whose Best Demonstrated Available Technology
(BOAT) is either incineration, retorting, or vitrification, and owners/operators handling Third
Third soils contaminated with radioactive mixed waste. No further applications were required at
that time from persons granted the extension. However, 40 CFR 268.5 does require such persons to
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comply with certain record keeping requirements and meet certain other requirements to qualify
for the extension. This action was effective on October 13, 1992 and expires on May 8, 1993.
For more in-depth information on current LDR regulations see page III-278 below.
Mining Waste
Under RCRA, mining wastes from the extraction, beneficiation, and processing of ores
and minerals are solid wastes. RCRA §3001(b)(3), the Bevill Amendment, had excluded these
wastes from regulation as hazardous wastes until EPA made a final determination on the
management of these mining wastes. Reports to Congress in 1985 and 1990 stated that it was EPA's
determination that, overall, extraction and beneficiation wastes did not warrant regulation as
hazardous wastes. All but twenty processing wastes will be managed under Subtitle C if they
exhibit any characteristic of hazardous waste.
The final determination on the Bevill wastes appeared in the June 13, 1991 Federal
Register (56 FR 27300). EPA determined that regulation under RCRA Subtitle C is inappropriate or
unfeasible for all 20 of these wastes because the wastes exhibit no, or negligible, hazardous
characteristics, pose low risks, or are not amenable to the requirements of Subtitle C. Eighteen of
the wastes will become subject to the developing RCRA Subtitle D mining waste program. The
remaining wastes—phosphogypsum and phosphoric acid process wastewater — were found not to
be amenable to controls under either RCRA Subtitle C or D and will instead be addressed by a
program developed under the authority of the Toxic Substances Control Act (TSCA).
The exclusion concerning these wastes is codified at 40 CFR 261.4(b)(7) and is discussed
more fully at page III-8 below.
Mixtures and Derived-From Rules
EPA issued the, final regulations regarding the mixtures and derived-from rules on May
19, 1980 (45 FR 33085), and has been applying them to hazardous waste ever since. Howeverr these
regulations were found to have been finalized without compliance with the necessary
administrative procedures and, on December 6, 1991, the D.C. Circuit Court of Appeals vacated and
remanded the mixtures and derived-from rules because EPA failed to provide adequate notice and
opportunity for comment. EPA filed a petition with the D.C. Circuit Court of Appeals on January
21, 1992 for a rehearing and clarification of the Court's December, 1991 decision. On February 12,
1992, the Court denied EPA's petition regarding the remand but did not rule on the clarification. In
response, EPA issued an interim final rule .and a notice of proposed rulemakings on March 3, 1992
(57 FR 7628). The interim final rule continued the mixture and derived-from regulations at 40
CFR 261.3 without change except that this continuation was set to expire on April 28, 1993 unless
EPA promulgated a new version of the rules prior to that date (see below).
On March 5, 1992, the Court denied, without issuing a written opinion, EPA's motion for
clarification on the issue of retroactivity. As stated in the interim final rule, EPA's position is that
the December 6, 1991 decision is not retroactive and is unaffected by the Court's March 5, 1992
action. Thus, the Agency's reinstatement of the mixtures and derived-from rules maintains,
without interruption, the legal framework for regulation of hazardous waste originally
established under RCRA. A discussion of current 40 CFR 261.3 can be found at page III-4 below.
On May 20, 1992 EPA published the Hazardous Waste Identification Rule (HWIR). The
rule proposed several different options for modifying the hazardous waste identification
regulations. These options consisted of the concentration-based exemption criteria (CBEC) and
the enhanced characteristics option (ECHO) in which the toxicity characteristic would have been
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expanded. However, EPA decided not to move forward with the proposed HWIR, and withdrew the
proposal in the October 30, 1992 Federal Register (57 FR 49280). EPA determined that a broad range
of policy and technical issues were raised by the comments on HWIR, and that a new proposal was
needed to assure that a rulemaking on these important issues had a sound technical basis.
Consistent with this action, EPA also removed the so-called "sunset" provision from the mixture
and derived-from rules in 261.3. The removal of the April 28, 1993 expiration date from the
reinstatement of the mixture and derived-from rules appeared in the October 30, 1992 Federal
Register (57 FR 49278).
OSHA/EPA Relationship
Background
EPA and OS HA have respectively been tasked with ensuring the health and safety of the
environment and the United States' workforce through the use of laws and regulations. Although
the duties assigned to each agency are generally quite distinct, there is also some overlap in their
endeavors. Due to this overlap EPA and OSHA would like to work together to provide efficient and
effective federal programs.
Specifically, EPA accomplishes its mission through standard setting and rulemaking,
technical reviews, audits and inspections, licensing and permitting,' and investigations and
enforcement. As a complement to this, OSHA is responsible for enforcing the Occupational Safety
and Health Act of 1970, to assure, so far as possible, every working man and woman in the nation
safe and healthful working conditions. To achieve this mission, OSHA promulgates mandatory
safety and health standards and conducts compliance inspections of workplaces to determine
compliance with the Act and OSHA standards. When violations are observed, OSHA is
authorized to issue citations, propose penalties, and require the abatement of hazards. OSHA is
required to evaluate all state programs that may be established and provide concurrent federal
OSHA enforcement when warranted.
Memorandum of Understanding
An interagency Memorandum of Understanding (MOU) was developed between EPA's
Office of Enforcement and OSHA. This MOU was designed to institute a working relationship
between the two offices, improve any associations that have been previously established, and
optimize the exchange of information regarding the protection of both employees and the
environment from harm. The MOU also aspires to improve the efforts of both EPA and OSHA in
achieving their missions by defining each agency's respective area of responsibility and
providing guidelines for coordination efforts. An infrastructure has been established for
notification, consultation, and coordination between the two agencies.
(Vtnrrlirmrinn
The MOU states that EPA and OSHA will coordinate efforts at every organizational level
to develop training, engage in data exchange and technical and professional assistance, refer
possible violations to the appropriate agency, and pursue other related issues concerning
compliance and law enforcement. An annual work plan will be completed at the start of each
fiscal year that will prioritize those issues to be addressed between the agencies and identify those
facilities that may be jointly addressed.
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Inspections
EPA and OSHA may conduct joint inspections when there is regulatory overlap. Such
actions may be planned in the annual work plan that will identify such joint initiatives. Joint
inspections may also be warranted following incidents subject to both EPA and OSHA
regulations. If inspectors believe that a joint inspection may be required, they should check with
their supervisors.
Referrals
Since EPA and OSHA inspections are generally conducted separately, inspectors must be
aware of possible situations that may warrant a referral to the other agency due to possible
violations. Complaints that are received by either agency will also be treated as referrals. A
tracking system will be developed to manage referrals of possible violations or situations
requiring inspection, follow-up, or evaluation by either agency as appropriate. EPA inspectors
must not perform the role of the OSHA inspector, but should only refer witnessed worker health and
safety problems to OSHA, and vice versa. An important point for inspectors to understand is that
potential violations of RCRA health and safety regulations will be potential violations of QSHA
regulations in almost all cases. It is the responsibility of RCRA inspectors and their management
to refer potential violations to state or federal OSHA for subsequent follow-up.
Responses to referrals will be handled through investigations, as appropriate, following
evaluation of the referenced report. The agencies must encourage employees to actively
participate in the referral system. Periodically, representatives of the two agencies will meet to
discuss the effectiveness of the referral system and make required alterations. Both agencies will
monitor the progress of actions generated through the referral system. OSHA and EPA are
responsible for encouraging the participation of state agencies in the referral program as well as
the training and information-sharing described in the MOU.
Data Exchange
EPA and OSHA have agreed to exchange information relating to complaints,
investigations, discovered violations, penalties, and other legal actions to ensure effective and
coordinated interagency law enforcement. The methods of data exchange, whether computerized
or by hard copy, will be established in a separate agreement.
Training
EPA and OSHA will cooperatively develop and conduct periodic training programs for
each other's personnel in the regulations, goals, and general activities of each agency. This
training will allow for better validation of referrals that are made.
Period at Agreement
The MOU will be in effect until (1) modified in writing by mutual consent or
(2) terminated by either party with 30 days advance written notice. The MOU does not preclude
either agency from entering into separate agreements, similar to this, that address other
programs.
Inspectors should utilize the inspection protocol developed for the Task Force Report on Qn-
Site Health and Safety Requirements at Hazardous Waste Sites. The protocol appears in
Appendix IV under the heading "Health and Safety Checklist." The Task Force was conducted
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jointly by EPA and OSHA, with assistance from the authorized states. The protocol consists of a
checklist, an employee interview guide, and a side-by-side analysis of RCRA and OSHA health
and safety requirements.
EPA and OSHA regulations both require health and safety training. However, there are
some differences in the specific regulatory requirements. For example, RCRA requires a
documentation of employee training, while OSHA requires employer certification of employee
training. RCRA inspectors should refer to the analysis of EPA and OSHA regulations for further
examples.
PoDution Prevention
On September 12,1991, EPA published a policy statement entitled, "The Role of RCRA
Inspectors in Promoting Waste Minimization" (OSWER Dir. 9938.10). This policy statement
describes the activities that must be performed by RCRA inspectors to ensure that facilities are in
compliance with the HSWA requirements as well as to outline how inspectors can encourage more
pollution prevention at facilities. In sum, the role of the RCRA inspector is to:
• Determine compliance with the regulatory requirements associated with
manifesting and reporting
• Review the waste minimization plans/programs of facilities to ensure that
they are developed and implemented
• Inform generators of the benefits of waste minimization and the resources
available to help them and give limited advice to facilities on obvious ways
they can minimize their wastes.
More specifically, the inspector can and should undertake the following activities when
conducting a facility inspection:
1. Verify that manifests have been certified by an authorized representative and that the
waste minimization statements have not been altered. (In at least some Regions, if a
manifest is not certified or if a waste minimization statement is deleted, the inspector
should note this as a violation.)
2. Check the descriptions in biennial reports or annual export reports to ensure that they
include:
• A description of the efforts undertaken during the year to reduce the volume
and toxicity of waste generated
• A description of the changes in volume and toxicity of waste actually
achieved during the year in comparison to previous years
• Certification by the generator or authorized representative.
3. Confirm that the operating record of each permitted facility contains a certification by the
permittee, made at least annually, that the permittee has a waste minimization program in
place.
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4. Determine whether there are additional waste minimization requirements in a facility's
permit or in any binding enforcement orders or settlement agreements.
5. Ask to see a written description of the facility's waste minimization program. If a written
program description is not provided, ask for a verbal description of the waste
minimization program. The failure to provide either a written or verbal description
should be noted as a violation. While inspectors cannot judge the adequacy of a program,
they should verify its existence.
6. Visually check for evidence that a waste minimization program is in place. Make a note
of any waste minimization measures observed or indicate that none were observed in the
inspection report (this can facilitate development of waste minimization provisions in
enforcement settlements, as well as document an inadequate program).
7. Discuss the importance and benefits of a waste minimization program with the facility
personnel.
8. Recommend and distribute waste minimization literature.
9. Refer the facility to the appropriate technical assistance program for more specific or
technical information.
Inspectors are encouraged by the RCRA policy to provide non-technical, housekeeping
advice to the facility on obvious ways to minimize waste (see OSWER Dir. 9938.10). However.
inspectors should not serve as on-site consultants; rather, they should refer facility
representatives to the appropriate technical assistance program for capital intensive or
technically-advanced advice. Inspectors must be cautious in dispensing advice that could be
construed as legal recommendations for compliance.
RCRA inspectors are encouraged to make use of the waste minimization inspection
checklist as they deem appropriate (see Appendix IV). Below are listed policy and guidance
documents to which EPA personnel may refer and/or to which they can refer facility
representatives.
Policy and Guidance for Agency Personnel:
The Role of RCRA Inspectors in Promoting Waste Minimization, Policy Statement,
(OSWER Dir. No. 9938.10)
EPA Pollution Prevention Strategy (FR 2/28/91)
.Interim EPA Policy on the Inclusion of Pollution Prevention and Recycling Provisions in
Enforcement Settlements, Memorandum from James M. Strock, 2/25/91
Guidance for Generators and TSDFs:
Draft Guidance to Generators on the Elements of a Waste Minimization Program, FR Vol.
54, No. 111. pages 25056 - 25057, June 12,1989.
Waste Minimization: Environmental Quality With Economic Benefits, EPA 530-SW-90-
044, April, 1990.
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Facility Pollution Prevention Guide, EPA/600/R-62/088, July, 1992.
Waste Minimization In Metal Parts Cleaning, EPA/530-SW-89-049, August, 1989.
Guides to Pollution Prevention:
The Pesticide Formulating Industry, EPA/625/7-90/004
The Paint Manufacturing Industry, EPA/625/7-90/005
The Fabricated Metal Products Industry, EPA/625/7-90/006
The Printed Circuit Board Manufacturing Industry, EPA/625/7-90/007
The Commercial Printing Industry, EPA/625/7-90/008
Selected Hospital Waste Streams, EPA/625/7-90/009
Research and Educational Institutions, EPA/625/7-90/010.
Pollution Prevention Information Clearinghouse. Telephone: 703/821-4800.
More information is available from pollution prevention contacts located in EPA Headquarters,
Regional Offices, and State Technical Assistance Programs.
Toxicity Characteristic
On December 24, 1992 (57 FR 61542), EPA proposed a suspension of the Toxicity
Characteristic (TC) rule (Hazardous Waste Codes D018 through D043) for three years for
environmental media and debris contaminated by petroleum products released from sources other
than RCRA Subtitle I-regulated underground storage tanks (USTs). This suspension would apply
only in States that certify that they have in place effective authorities and programs to compel
cleanup of non-UST petroleum product spills and control the disposition of wastes generated from
such cleanup actions. The suspension would apply only to wastes generated from State-supervised
or approved cleanup sites, and sites being remediated under Federal authorities. The suspension,
if finalized as proposed, would be codified at 40 CFR 261.4(b)(ll).
On February 12,1993 (58 FR 8504) EPA proposed to take final action on the issue of the
application of the TC rule to petroleum-contaminated media and debris generated during the
corrective action of RCRA Subtitle I USTs. The Agency proposed to permanently exempt these
wastes due to the fact that subjecting even a portion of these sites to Subtitle C requirements could
overwhelm the hazardous waste permitting program and the capacity of existing hazardous waste
treatment, storage, and disposal facilities as well as significantly delay UST cleanups. EPA
studies also found that the regulations currently in place are capable of handling the waste in a
safe and effective manner and that further regulation is not needed.
Universal Wastes
On February 11,1993 (58 FR 8102) EPA proposed regulations which address the collection
and handling of the regulated portions of universal hazardous waste streams. EPA describes
universal wastes as commonly produced items which, previous to the TC rule, were not considered
to be hazardous (such as nickel cadmium batteries and pesticides) and are typically destined for
the municipal solid waste stream. The proposed rule includes procedures for adding new wastes to
the streamlined collection system in the future and specifically discusses antifreeze and
mercury-containing thermostats as possible additions. The regulations as proposed would add a
new Part 273, Standards for Special Collection Wastes, and specifically addresses hazardous
waste batteries (except spent lead-acid batteries managed under Part 266, Subpart G) and
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suspended and/or canceled pesticides that are recalled. The proposed Part 273 standards would
affect generators, transporters, and other handlers of these wastes.
Used Oil
The final rule addressing the listing of used oils that are disposed appeared in the May 20,
1992 Federal Register (57 FR 21524). The Agency promulgated a final decision not to list used oils
destined for disposal, based primarily upon the finding that all used oils do not typically and
frequently meet the technical criteria for listing a waste as hazardous. In addition, if a used oil
that is destined for disposal exhibits a characteristic, it is already regulated as a hazardous waste
under Subtitle C. The Agency also promulgated a final exemption from the definition of
hazardous waste in 40 CFR 261.4(b)(15) for certain used oil filters. The filters that received the
exemption are non-teme plated used oil filters that have been hot-drained to removed used oil
(terne is an alloy of tin and lead). EPA decided to defer, at that time, a decision on listing and
management standards for used oil that is recycled.
The final rule promulgating the listing decision for recycled used oil as well as the
recycled used oil management standards appeared in the September 15, 1992 Federal Register (57
FR 41566). EPA determined that recycled used oil does not have to be listed as a hazardous waste
because the used oil management standards identified elsewhere in the rule were adequately
protective of human health and the environment. The management standards work on the
presumption that used oil that is collected will be recycled and cover used oil generators,
transporters and transfer facilities, collection centers and aggregation points, processors and re-
refiners, burners, and marketers. The standards will be codified in 40 CFR Part 279, and are
effective March 8, 1993 in states that have not received authorization to implement the RCRA
program. States that are authorized to implement the RCRA program will continue to operate
under the current program in 40 CFR Part 266, Subpart E until they amend their own regulations.
Wood Preserving
On December 6,1990 (55 FR 50450), EPA promulgated a final rule that lists wastes from
wood preserving processes as hazardous, making the management of these wastes subject to
regulation under Subtitle C of RCRA. In the intervening months, the American Wood Preservers
Institute requested that EPA stay or extend the requirements for drip pads at wood preserving
facilities. In response to these requests and because of the Agency's concern that the standards
were impractical, the Agency issued two administrative stays, the latest of which appeared in the
February 18, 1992 Federal Register (57 FR 5859). This administrative stay was only for the
"impermeability" requirement for drip pad surfaces (40 CFR 264.573(a)(4) and 40 CFR
265.443(a)(4)) and expired on October 30,1992. The requirements that drip pads be installed and
their surfaces be maintained crack-free were not changed by this stay. Thus, substantial
containment of drippage from treated wood will continue.
The final rule modifying both the hazardous waste code listings F032, F034, and F035, and
the technical standards for drip pads used to collect preservative drippage from treated wood
appeared in the December 24, 1992 Federal Register (57 FR 61492). In this rule, the applicability of
the waste code F032 was eliminated from wastes generated by wood preserving operations that
previously used, but no longer use, chlorophenolic preservatives, provided that any wastewaters,
process residuals, drippage, or spent preservatives generated by those operations are regulated as
F034 or F035 wastes. Also modified were the drip pad requirements for new and existing drip
pads. New drip pads are not required to be absolutely impermeable and may either use a coating
and sealer, or a liner and leak detection with leak collection system as its barrier to
contamination migration from the drip pad. The existing drip pad requirements were also
modified to allow the use of a coating and sealer which is no^bsolutely impermeable.
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On April 27,1993 (58 FR 25706), EPA proposed to add another wood preserving waste to the
list of hazardous waste from non-specific sources, the "F-list," in 40 CFR 261.31. The proposed
waste, F033, consists of process residuals and waste waters that come in contact with protectant,
discarded spent formulation, and protectant drippage from wood surface protection chemicals
having an in-process formulation concentration of pentachlorophenate exceeding 0.1 ppm.
The current regulations as they pertain to wood preserving are discussed at page III-150
below.
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GLOSSARY
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Appendix II
Glossary
Administrator
Administrative
Action
Administrative
Order
Administrative
Procedures Act
Aquifer
Biennial Report
Boiler
The Administrator of the United States Environmental Protection
Agency, or his designee.
A nonjudicial enforcement action taken by the Administrator (or
his designee) or a State.
An order issued by the Administrator (or his designee) to a violator
of RCRA provisions that imposes enforceable legal duties; e.g.,
forcing a facility to comply with specific regulations. The four types
of RCRA orders are compliance orders, corrective action orders,
monitoring and analysis orders, and imminent hazard orders.
Administrative Procedures Act (APA) is a Federal statute that
provides standards for informing the public about the actions of
Federal agencies and assuring them that their interests are
properly protected.
Rock or sediment in a formation, group of formations, or part of a
formation that is saturated and sufficiently permeable to transmit
economic quantities of water to wells and springs.
A report (EPA Form 8700-13A) submitted by generators of hazardous
waste to the Regional Administrator, which is due March 1 of each
even-numbered year. The report includes information on the
generator's activities during the previous calendar year. The
owner/operator of a treatment, storage, and disposal facility must
also prepare and submit a biennial report on EPA Form 8700-1313.
(1) An enclosed device using controlled flame combustion and
having the following characteristics:
(i) The unit must have physical provisions for recovering and
exporting thermal energy in the form of steam, heated fluids, or
heated gases;
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Boiler (continued)
CERCLA
CFR
Characteristics
Civil Action
(ii) The unit's combustion chamber and primary energy
recovery sections must be of integral design; to be of integral
design, the combustion chamber and the primary energy recovery
sections (such as water walls and superheaters) must be physically
formed into one manufactured or assembled unit. A unit in which
the combustion chamber and the primary energy recovery sections
are joined only by ducts or connections carrying flue gas is not
integrally designed; however, secondary energy recovery
equipment (such as economizers or air preheaters) need not be
physically formed into the same unit as the combustion chamber
and the primary energy recovery section. Process heaters and
fluidized bed combustion units are not precluded from being boilers
solely because they are hot of integral design;
(iii) While in operation, the unit must maintain a thermal
energy recovery efficiency of at least 60 percent, calculated in terms
of the recovered energy compared with the thermal value of the fuel;
and
(iv) The unit must export and utilize at least 75 percent of the
recovered energy, calculated on an annual basis. In this
calculation, no credit shall be given for recovered heat used
internally in the same unit. (Examples of internal use are the
preheating of fuel or combustion air, and the driving of induced or
forced draft fans or feeding water pumps)
(2) A unit which the Regional Administrator has determined,
on a case-by-case basis, to be a boiler, after considering the
standards set forth in 40 CFR §260.32.
Acronym for the Comprehensive Environmental Response,
Compensation, and Liability Act, passed in 1980 and commonly
known as "Superfund." CERCLA gives the Federal Government the
power to respond to releases, or threatened releases, of any
hazardous substance into the environment as well as to a release of
a pollutant or contaminant that may present an imminent and
substantial danger to public health or welfare. CERCLA established
a Hazardous Substance Trust Fund (Superfund), which is available
to finance responses taken by the Federal Government.
Abbreviation for the Code of Federal Regulations, a document
containing all finalized regulations.
The EPA has identified four characteristics of a hazardous waste:
ignitability, corrosivity, reactivity, and toxicity. Any solid waste
that exhibits one or more of these characteristics is classified as a
hazardous waste under RCRA.
A law suit filed in court against a person who has failed to comply
with statutory or regulatory requirements or an administrative
order, or has contributed to a release of hazardous wastes or
constituents. The four types of civil actions are compliance,
corrective, monitoring and analysis, and imminent hazard.
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Closed Portion
Closure
Compatibility
Compliance
Order/Action
Conditionally
Exempt Small
Quantity
Generator
Confidential
Business
Information
Container
Contaminant
Contingency Plan
Corrective
Action
Corrective
Action Order
Criminal Action
That portion of a facility which an owner/operator has closed in
accordance with an approved closure plan and all applicable closure
requirements.
The act of securing a hazardous waste management facility or unit
pursuant to the requirements of 40 CFR Part 264.
The ability of materials to exist together without adverse
environmental effects or health risks. Primarily applied to waste
fluid combinations and liner materials.
An order or action issued under Section 3008(a) of RCRA; it requires
any person who is not complying with a requirement of RCRA to
take steps to come into compliance.
A generator that generates less than 100 kilograms of hazardous
waste in a calendar month, and is therefore not subject to the
handling procedures required under RCRA for that month.
Any information, in any form, received by EPA, an authorized
State, or an EPA contractor, from any (1) person, firm, partnership,
corporation, or association; (2) local, State, or federal agency; or
(3) foreign government, that contains trade secrets or commercial
or financial information that has been claimed as confidential by
the person submitting it, and that has not been determined to be non-
confidential under the procedures set forth in 40 CFR Part 2.
Any portable device in which material is stored, transported,
treated, disposed of, or otherwise handled.
Any solute that enters the hydrologic cycle through human action.
A document setting out an organized and coordinated course of
action to be followed in case of a fire, explosion, or release of
hazardous waste or hazardous waste constituents from a treatment,
storage, or disposal facility that could threaten human health or the
environment.
Actions, required by law, undertaken by a treatment, storage, or
disposal facility to alleviate potential or existing threats to human
health and the environment posed by a release or threatened release
of hazardous substances, wastes, or constituents at a site.
An order EPA issues that requires corrective action under RCRA
Section 3008(h) at a facility where a release of hazardous waste or
constituents into the environment has occurred. Corrective action
may be required beyond the facility boundary, and it can be
required regardless of when the waste was placed at the facility.
Prosecution by the U.S. Government or a State of any person(s) who
have knowingly and willfully failed to comply with the law; such
an action can result in the imposition of fines or imprisonment.
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statcment(s) contained herein.
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Deep-Well
Injection
Designated
Facility
Discharge or
Hazardous
Waste Discharge
Disposal
The subsurface emplacement of fluids through a bored, drilled, or
driven well, or through a dug well whose depth is greater than the
largest surface dimension.
A hazardous waste treatment, storage, or disposal facility which (1)
has received a permit (or interim status) in accordance with 40 CFR
Parts 270 and 124, (2) has received a permit (or interim status) from
a state authorized in accordance with 40 CFR Part 271, or (3) is
regulated under §261.6(c)(2) or Subpart F of Part 266, and has been
designated on a manifest by a generator pursuant to §260.20. If a
waste is destined for a facility in an authorized State which has not
yet obtained authorization to regulate that particular waste as
hazardous, then the designated facility must be a facility allowed by
the receiving State to accept such waste.
The accidental or intentional spilling, leaking, pumping, pouring,
emitting, or dumping of hazardous waste onto any land or into any
water.
The discharge, deposit, injection, dumping, spilling, leaking, or
placing of any solid waste or hazardous waste into or onto any land
or into any waters so that any constituent thereof may enter the
environment or may be emitted into the air or discharged into any
waters, including ground waters.
A facility or part of a facility at which .hazardous waste is
intentionally placed into or on any land or into water and where the
waste will remain after closure.
Department of Transportation -- DOT shares authority with EPA
concerning the transportation of hazardous materials, including
labeling, containment, and accident reporting requirements.
An engineering structure consisting of a curbed, free-draining
base, constructed of non-earthen materials and designed to convey
preservative kick-back or drippage from treated wood, precipitation,
and surface water run-on to an associated collection system at wood
preserving plants.
A device which (1) is used for neutralizing wastes that are
hazardous only because they exhibit the corrosivity characteristic
defined in §261.22, or they are listed in Subpart D of Part 261 only for
this reason; and (2) meets the definition of tank, tank system,
container, transport vehicle, or vessel as set forth in §260.10.
Species whose populations are so reduced in number or whose range
is so limited in geographic extent that further reduction in numbers
or in size of available habitat could inalterably reduce the breeding
success of the species and lead to subsequent extinction. These
species are listed in Section 4 of the Endangered Species Act.
The unique number assigned by EPA to each generator or
transporter of hazardous waste and to each treatment, storage, or
disposal facility.
H-4
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statemcnt(s) contained herein.
Disposal Facility
DOT
Drip Pad
Elementary
Neutralization Unit
Endangered arid-
Threatened
EPA Identification
Number
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OSWER Dir. No. 9938.020))
EPToxkity
Eception Report
Existing Facility
Existing Portion
Existing Tank
System
Facility
Fault
Federal Register
A test, called the extraction procedure, that was used prior to the
toxicity characteristic leaching procedure (TCLP). The test is
designed to identify wastes likely to leach hazardous
concentrations of particular toxic constituents into the groundwater
or soil as a result of improper management
A report that must be submitted to the Regional Administrator by
generators who transport waste offsite if they fail to receive a copy of
the manifest, signed and dated by the owner/operator of the
designated facility to which their waste was shipped, within 45 days
of the date the initial transporter accepted the waste.
A facility which was in operation or for which construction
commenced on or before November 19, 1980. A facility commenced
construction if the owner/operator obtained the Federal, State and
local approvals or permits necessary to begin physical construction
and either (i) a continuous on-site, physical construction program
had begun or (ii) the owner/operator entered into contractual
obligations - which could not be cancelled or modified without
substantial loss - for physical construction of a facility to be
completed within a reasonable time.
The land surface area of an existing waste management unit,
included in the original Part A permit application, on which wastes
have been placed prior to the issuance of a permit.
A tank system or component that is used for the storage or treatment
of hazardous waste and that was in operation, or for which
installation was commenced, on or prior to July 14, 1986.
Installation will be considered to have commenced if the
owner/operator had obtained all Federal, State, and local approvals
or permits necessary to begin physical construction of the site or
installation of the tank system and if either (1) a continuous on-site
physical construction or installation program had begun or (2) the
owner/operator entered into contractual obligations • which cannot
be cancelled or modified substantial loss - for physical construction
of the site or installation of the tank system to be completed within a
reasonable time.
All contiguous land, structures, other appurtenances, and
improvements on the land used for treating, storing, or disposing of
hazardous waste. A facility may consist of several treatment,
storage, or disposal operational units; e.g., one or more landfills,
surface impoundments, or a combination of them.
A break in earth materials along which a measurable amount of
movement has taken place.
A document published daily by the Federal Government that
contains proposed and final regulations.
II-5
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirement* are in any way altered by any statcment(s) contained herein.
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Final Closure
The closure of all hazardous waste management units at a facility
in accordance with all applicable closure requirements so that
hazardous waste management activities under Parts 264 and 265
are no longer conducted at the facility unless subject to the
provisions in §262.34.
Status acquired when final administrative disposition has been
made of a treatment, storage, or disposal facility's RCRA Part B
permit application.
The flat areas adjacent to stream channels covered by water during
periods of flooding.
Tobacco, crops grown for human consumption, and crops grown to
feed animals.
The vertical distance between the top of a tank or surface
impoundment dike and the surface of the waste contained therein.
Any person, by site, whose act or process produces hazardous waste
identified or listed in Part 261 or whose first act causes a hazardous
waste to become subject to regulation.
Water below the land surface in a zone of saturation.
The direction of ground-water movement and of any contaminants
it contains, governed primarily by the hydraulic gradient.
The ambient chemical, physical, and biological quality of ground
water; generally defined by State and local standards to determine
suitability as a drinking-water supply. Uncontaminated ground
water's suitability as a drinking-water supply is generally based
on its total dissolved solids (TDS) content.
The addition of water to the ground-water system by natural or
artificial processes.
Documents issued primarily to elaborate and provide direction on
the implementation of regulations.
Statutory requirements that go into effect automatically if EPA fails
to issue regulations by certain dates specified in a particular statute.
A solid waste or combination of solid wastes that, because of its
quantity, concentration, or physical, chemical, or infectious
characteristics, may
a) Cause or significantly contribute to an increase in mortality
or an increase in serious irreversible or incapacitating reversible
illness; or
b) Pose a substantial present or potential hazard to human
health or the environment when improperly treated, stored,
transported, or disposed of or otherwise managed.
II-6
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutoiy or
regulatory requirements are in any way altered by any statemcnt(s) contained herein.
Final Status
Floodplain
Food-Chain Craps
Freeboard
Generator
Ground Water
Ground-Water Flow
Ground-Water
Quality
Ground-Water
Recharge
Guidance
Hammer Provision
Hazardous Waste
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Hazardous Waste
(continued)
Hazardous Waste
Constituent
Hazardous Waste
Management Unit
HSWA
Order
In Operation
Inactive Portion
Incinerator
As defined in the regulations, a solid waste is hazardous if it meets
one of four conditions:
1) Exhibits a characteristic of a hazardous waste (40 CFR
Sections 261.20 through 262.24).
2) Has been listed as hazardous (40 CFR Sections 261.31
through 261.33).
3) Is a mixture containing a listed hazardous waste and a
nonhazardous solid waste (unless the mixture is specifically
excluded or no longer exhibits any of the characteristics of
hazardous waste).
4)
Is not excluded from regulation as a hazardous waste.
(1) A constituent that causes the Administrator to list the waste in
which it is contained in Part 261, Subpart D, or (2) a constituent
listed in Table 1 of §261.24.
A contiguous area of land on or which hazardous waste is placed, or
the largest area in which there is a significant likelihood of mixing
hazardous constituents in the same area. Examples include a
surface impoundment, a waste pile, a land treatment area, and a
tank system. A container alone does not constitute a unit; the unit
includes containers and the land or pad upon which they are placed.
Abbreviation for the Hazardous and Solid Waste Amendments of
1984 (Public Law 98-616), which significantly expanded both the
scope and coverage of RCRA.
Used by a responsible agency, under the authority of RCRA §7003, to
force any person contributing to an imminent and substantial
endangerment to human health or the environment as a result of the
handling of nonhazardous or hazardous solid waste to take steps to
clean up the problem.
Refers to a facility which is treating, storing, or disposing of
hazardous waste.
That portion of a facility which is not operated after the effective date
of Part 261.
Any enclosed device that (1) uses controlled flame combustion and
does not meet the criteria for classification as a boiler, sludge dryer,
or carbon regeneration unit, and is not listed as an industrial
furnace; or (2) meets the definition of infrared incinerator or
plasma arc incinerator.
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statements) contained herein.
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OSWER Dir. No. 9938.02(b)
Industrial Furnace Any of the following enclosed devices that are integral components
of manufacturing processes involving the recovery of materials or
energy:
(1) Cement Kilns
(2) Lime Kilns
(3) Aggregate Kilns
(4) Phosphate Kilns
(5) Coke Ovens
(6) Blast Furnaces
(7) Smelting, melting, and refining furnaces (including
pyrometallurgical devices such as cupolas, reverberator furnaces,
sintering machines, roasters, and foundry furnaces)
(8) Titanium dioxide chloride process oxidation reactors
(9) Methane reforming furnaces
(10) Pulping liquor
(11) Combustion devices used on the recovery of sulfur values
from spent sulfuric acid
(12) Halogen acid furnaces (HAFs) for the production of acid
from halogenated hazardous waste generated by chemical
production facilities where the furnace is located on the site of a
chemical production facility, the acid product has a halogen acid
content of at least 3%, the acid product is used in a manufacturing
process, and except for hazardous wastes burned as a fuel,
hazardous waste fed to the furnace has a minimum halogen content
of 20% as-generated.
(13) Such other devices as the Administrator may, after notice
and comment, add to this list on the basis of one or more of the
following factors:
(i) The design and use of the device primarily to accomplish
recovery of material products;
(i i) The use of the device to burn or reduce raw materials to
make a material product;
(iii) The use of the device to burn secondary materials as
effective substitutes for raw materials, in processes using raw
materials as principal feedstocks;
(iv) The use of the device to burn or reduce secondary materials
as ingredients in an industrial process to make a material product;
H-8
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statcment(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Industrial Furnace
(continued)
Innerliner
Interim Status
Landfill
Land Treatment
(v) The use of the device in common industrial practice to
produce a material product; and
(vi) Other factors, as appropriate.
A continuous layer of material placed inside a tank or container to
protect the construction materials of the tank or container from the
contained waste or reagents used to treat the wastes.
A status classification that allows owner/operators of treatment,
storage, or disposal facilities that existed or were under construction
prior to November 19,1980 to continue to operate without a permit
after that date. Owner/operators of such facilities are eligible for
interim status on an ongoing basis if the facility is in existence on
the effective date of regulatory changes under RCRA that cause the
facility to be subject to Subtitle C regulation. Owner/operators of
facilities with interim status are subject to and must comply with the
applicable standards in 40 CFR Part 265. Interim status is gained
through the notification process and by submitting Part A of the
permit application.
A disposal facility or part of a facility where hazardous waste is
placed in or on land and that is not classified as a land treatment
facility, a surface impoundment, or an injection well.
A facility or part of a facility at which hazardous waste is applied
onto or incorporated into the soil surface. Such facilities are
disposal facilities if the waste remains after closure.
Any liquid, including its suspended components, that has
percolated through or drained from hazardous waste.
The state of being legally responsible for property damage or bodily
injury caused during the operational, and closure or post-closure
phases, of a hazardous waste management facility.
A continuous layer of natural or human-made materials beneath,
or on the sides of, a surface impoundment, landfill, or landfill cell
that restricts the downward or lateral escape of hazardous waste,
hazardous waste constituents, or leachate.
Hazardous wastes that have been placed on one of three lists
developed by EPA: nonspecific source wastes, specific source
wastes, or commercial chemical products. These lists were
developed by examining different types of waste and chemical
products to see if they exhibited one of the four characteristics in the
statutory definition of hazardous waste, were acutely toxic or
hazardous, or were otherwise toxic.
The shipping document, EPA Form 8700-22, used to identify the ,
quantity, composition, origin, routing, and destination of
hazardous waste during its transportation from the point of
generation to the point of treatment, storage, or disposal.
II-9
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
Liability
Liner
Listed Wastes
Manifest
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OSWER Dir. No. 9938.02(b)
Metric Ton
Monitoring
Analysis Order
MSDS
New Facility
New Tank System
Offsite
One-Hundred-Year
Flood Plain
Onsite or On Site
Operator
Owner
PartA
2200 pounds.
Methods used to inspect and collect data on a facility's operational
parameters or on contiguous air, groundwater, surface-water, or
soil quality.
Used to evaluate the nature and extent of a substantial hazard to
human health or the environment that exists at a treatment, storage,
or disposal facility. It can be issued either to the current owner or to
a previous owner/operator if a facility is not currently in operation
or if the present owner could not be expected to have knowledge of the
release potential.
Material Safety Data Sheets. Standard information sheets that are
provided by chemical manufacturers with their chemicals,
identifying any hazards associated with the product and outlining
ways to respond to accidental spills.
A treatment, storage, or disposal facility that began operation on or
before, or whose construction commenced after, November 19, 1980.
A tank system or component that will be used for the storage or
treatment of hazardous waste and for which installation
commenced after July 14, 1986; except for purposes of §264.193(g)(2),
a new tank system is one for which construction commenced after
July 14,1986,
The opposite of onsite (see "Onsite").
Areas adjacent to streams where the probability of flooding in any
given year is one in a hundred.
An onsite location is one on a particular property or on
geographically contiguous property, which may be divided by public
or private right(s)-of-way, provided the entrance and exit between
the properties is at a cross-roads intersection, and access is by
crossing (as opposed to going along( the right(s)-of-way.
Noncontiguous properties owned by the same person hilt connected
by a right-of-way controlled by that person and to which the public
does not have access is also considered onsite property.
The person responsible for the overall operation of a facility.
The person who owns a facility or part of a facility.
The first part of the two-part application which must be submitted by
a treatment, storage, or disposal facility to receive a permit. It
contains general facility information that is presented in a
standard form.
II-10
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statemcnt(s) contained herein.
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OSWER Dir. No. 9938.02(b)
PartB
Partial Closure
Post-Closure
Requirements
Permit
Permit-by-Rule
Permit
Requirements
Person
Point Source
Policy
RCRA
The second part of the two-part permit application, which includes
detailed and highly technical information concerning the
treatment, storage, or disposal facility in question. No standard
form exists for Part B; the facility must submit information based
on regulatory requirements.
The closure of a discrete part of a facility in accordance with the
applicable closure requirements of 40 CFR Parts 264 and 265. For
example, partial closure may include the closure of a trench, a unit
operation, a landfill cell, or a pit while other parts of the same
facility continue to operate or are placed in operation at some future
time.
Monitoring and maintenance requirements for closed HWM units
throughout the post-closure care period; these are specified as part of
facility-specific permit conditions.
An authorization, license, or equivalent control document issued by
EPA or an approved State to implement the requirements of Part 270
and Parts 271 and 124. A permit may be a permit by rule (§270.61).
This does not include any permit which has not been the subject of
final agency action, such as a draft permit or a proposed permit.
A provision of Subtitle C whereby a facility is deemed to have a
RCRA permit if it is permitted under the Safe Drinking Water Act,
the Clean Water Act, or the Marine Protection, Research, and
Sanctuaries Act, and also meets additional Subtitle C requirements
specified in 40 CFR Section 270.60.
Requirements in a RCRA permit, including ambient performance,
design, and/or operating standards contained in the regulations
that the owner/operator must meet in perpetuity in constructing,
operating, closing, and caring for the facility.
An individual, trust, firm, joint stock company, corporation
(including a government corporation), partnership, association,
State, municipality, commission, political subdivision of a State, or
any interstate body.
Any discernible, confined, and discrete conveyance, including, but
not limited to, any pipe, ditch, channel, tunnel, conduit, well,
discrete fissure, container, rolling stock, concentrated animal
feeding operation, vessel, or other floating craft from which
pollutants are or may be discharged. This term does not include
return flows from irrigated agriculture.
A document that specifies operating policies that must be followed.
They are used by program offices to outline the manner in which
pieces of the RCRA program arc to be carried out.
Abbreviation for the Resource Conservation and Recovery Act of
1976. RCRA was amended by HSWA in 1980 and most recently on
November 8, 1984.
11-11
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statements) contained herein.
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OSWER Dir. No. 9938.02(b)
RCRIS
Regional
Administrator
Regulation
Regulatory
Compliance
Representative
Sample
Resource Recovery
Self
Implementing
Regulations
Soil Porosity
Solid Waste
Solid Waste
Disposal Act
of1966
State Hazardous
Waste Plan
Abbreviation for the Resource Conservation and Recovery Act
Information System, a database detailing RCRA facilities.
The highest ranking official in each of the 10 EPA Regions.
The legal mechanism that spells out how a statute's broad policy
directives are to be carried out. Regulations are published in the
Federal Register and then codified in the Code of Federal
Regulations.
Meeting the requirements of Federal or State regulations regarding
facility design, construction, operation, performance, closure, and
post-closure care.
A sample of a universe or greater entity (e.g., waste pile, lagoon,
ground water, or waste stream) that can be expected to exhibit the
average properties of the universe or greater entity.
The recovery of material or energy from solid waste.
Regulations mandated by Congress that are similar in nature to a
"hammer" in that they take effect automatically on a certain date
unless EPA has developed its own regulations to supersede them.
The ratio of the volume of the pores between soil particles to the
volume of the soil itself. Soil porosity is a function of the particles'
grade, size, and form or type (shape). Determines the soil's physical
condition at different moisture levels and its ability to retard or
accelerate water and contaminant movement.
Refers to any garbage; refuse; sludge from a waste treatment plant,
water supply treatment plant, or air pollution control facility; and
other discarded material, including solid, liquid, semisolid, or
contained gaseous material resulting from industrial,
commercial, mining, and agricultural operations, and from
community activities. It does not include solid or dissolved
material in domestic sewage; solid or dissolved materials in
irrigation return flows; industrial discharges that are point sources
subject to permits under the Clean Water Act; or special nuclear or
byproduct material as defined by the Atomic Energy Act of 1954.
First legislation related to Federal solid waste amended by HSWA
in 1980 and 1984.
Any of the 50 States, the District of Columbia, the Commonwealth of
Puerto Rico, the Virgin Islands, Guam, American Samoa, and the
Commonwealth of the Northern Mariana Islands.
A scheme generated at the State level to deal with the management of
hazardous waste generated, treated, stored, or disposed of within the
State or transported outside the State.
11-12
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statements) contained herein.
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OSWER Dir. No. 9938.02(b)
Statute
Storage
Superfund
Surface Impoundment
SW-846
Tank
TCLP
The Act
Thermal Treatment
Topographic Map
Totally Enclosed
Treatment Facility
Transfer Facility
A law, as passed by Congress and signed by the President.
The holding of hazardous waste for a temporary period, at the end of
which the hazardous waste is treated, disposed of, or stored
elsewhere.
See "CERCLA."
A facility, or part of a facility, that is a natural topographic
depression, human-made excavation, or diked area formed
primarily of earthen materials (although it may be lined with
human-made materials), that is designed to hold an accumulation
of liquid wastes or wastes containing free liquids, and that is not an
injection well. Examples of surface impoundments are holding,
storage, settling, and aeration pits, ponds, and lagoons.
Reference number for "Test Methods for the Evaluation of Solid
Waste, Physical/Chemical methods," a methods manual for the
sampling and analysis of wastes.
A stationary device designed to contain an accumulation of
hazardous waste; constructed primarily of non-earthen materials
(e.g., wood, concrete, steel, plastic) which provide structural support.
An acronym for the toxicity characteristic leaching procedure test
that replaced the EP toxicity test. It is designed to identify wastes
likely to leach hazardous concentrations into groundwater as a
result of improper management.
A shortened reference to the Resource Conservation and Recovery
Act.,
The treatment of hazardous waste in a device that uses elevated
temperatures as the primary means of changing the chemical,
physical, or biological character or composition of the hazardous
waste. Incineration is an example of thermal treatment.
A map indicating surface elevations of an area through the use of
contour lines. It also shows population centers and other cultural
and land-use features, surface water drainage patterns, and
forests. These maps enable quick identification of areas of slopes
that are more suitable for sanitary landfills.
A facility for the treatment of hazardous waste that is directly
connected to an industrial production process and that is constructed
and operated in a manner that prevents the release of any hazardous
waste or any constituent thereof into the environment during
treatment. An example is a pipe in which waste acid is neutralized.
Any transportation-related facility, including loading docks,
parking areas, storage areas, and other similar areas, where
shipments of hazardous waste are held during the normal course of
transportation.
11-13
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Transporter
Treatment
TSD Facility or TSDF
UN/NA Number
Watte Management
Practices
Waste Minimization
Waste water Treatment
Unit
Water Table
Wetlands
Any person engaged in the offsite transportation of hazardous waste
within the United States by air, rail, highway, or water, if such
transportation requires a manifest under 40 CFR Part 262.
Any method, technique, or process, including neutralization,
designed to change the physical, chemical, or biological character
or composition of any hazardous waste so as to neutralize it; to
render it nonhazardous or less hazardous; to recover it; to make it
safer to transport, store, or dispose of; or to make it amenable to
recovery, storage, or volume reduction.
Abbreviation for treatment, storage, or disposal facility.
Hazardous material identification number assigned to chemicals,
wastes, and other hazardous materials by DOT. Under DOT
regulations, UN/NA numbers for all hazardous materials in a
shipment must be listed on the shipping papers accompanying the
shipments. For hazardous wastes, UN/NA numbers must be
recorded on the Uniform Hazardous Waste manifest
accompanying all hazardous waste shipments under item 11 of the
manifest, as part of the DOT description of the waste.
UN/NA numbers are listed by chemical or waste name in 49 CFR
172.101 and 102. Numbers bearing the prefix "UN" are associated
with descriptions appropriate for international shipments as well as
domestic shipments. Numbers bearing the prefix NA are associated
with descriptions that are not recognized for international
shipments, except to and from Canada.
i
Refers to aspects of a facility's design, operation, and closure that
ensure protection of human health and the environment while
treating, storing, or disposing of hazardous wastes.
Refers to the reduction in the volume or quantity of hazardous waste
by the waste generator, to the extent economically practicable.
A device which (1) is part of a waste water treatment facility that is
subject to regulation under either §402 or §307(b) of the Clean Water
Act; and (2) receives and treats or stores an influent wastewater that
is a hazardous waste as defined in §261.3, generates and
accumulates a wastewater treatment sludge that is a hazardous
waste as defined in §261.3, or treats or stores a wastewater treatment
sludge which is a hazardous waste.
1) The upper limit of the part of the soil or underlying rock material
that is wholly saturated with water; 2) the upper surface of the zone of
saturation in ground waters in which the hydrostatic pressure is
equal to atmospheric pressure.
Bogs, swamps, marshes, tidal flats, or other areas inundated by
ground or surface water with a frequency sufficient to support a
prevalence of vegetative or aquatic life that requires saturated or
seasonally saturated soil conditions for growth and reproduction.
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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REGULATORY SYNOPSIS
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OSWER Dir. No. 9938.02(b)
Appendix III
Regulatory
Requirements Synopsis and
Inspection Procedures
SECTION PAGE
*
Introduction III-2
Table III-l Part 261— Identification of Hazardous Waste III-4
Table III-2 Part 262 — Generator Regulatory Requirements 111-30
Table III-3 Part 263 — Transporter Regulatory Requirements 111-54
Table III-4 Part 265 — Interim Status Facility Regulatory
Requirements 111-64
Table III-5 Part 264 — Permitted Facility Regulatory
Requirements III-192
Table III-6 Part 266 — Standards for Management of Specific
Hazardous Wastes and Specific Types of
Hazardous Waste Management Facilities III-236
Table III-7 Part 268 — Land Disposal Restrictions Regulatory
Requirements III-284
Table III-8 Part 279—Used Oil Management III-314
m-i
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Introduction to the Regulatory Requirements Synopsis
and Inspection Procedures Appendix
The following Tables present RCRA regulatory material that is critical for inspectors to
understand. Each Table is comprised of two related components that should be read together. The
RCRA regulations (40 CFR Parts 261 through 268) have been summarized in the Regulatory
Requirements Synopsis which is presented on the left hand pages of the Table. Inspection
procedures useful for verifying compliance with the regulations are presented on the right hand
pages.
The Regulatory Requirements Synopsis is designed as a quick reference. Therefore, the
summaries state only the key points of each regulation. Studying these kev points is not a
substitute for reading an entire regulation.
Where possible, the Inspection Procedures are presented in a bulleted format to identify
important concerns and areas that might otherwise be overlooked. When an in-depth description
of inspection procedures is necessary, a few detailed paragraphs are provided to clarify these
circumstances.
Keep in mind that when permitted facilities are being inspected, the permit conditions
drive the inspection. The inspection of permitted facilities is covered in depth in Chapter 3 of this
manual.
Blank space has been left on many of the inspection procedure pages to allow for writing in
additional inspection procedures about which an inspector may learn.
HI-2
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement^) contained herein.
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TABLE ni-1 roENTIFICATION OF HAZARDOUS WASTE
Identification of Hazardous Waste
§261.2 Definition of Solid Waste
(a)(l) A solid waste is any discarded material that is not excluded.
(2) Discarded is abandoned (disposed of, burned, stored or treated prior to disposal),
recycled, or inherently waste-like.
(c)(l) Recycled materials are solid wastes if they are used in a manner constituting disposal,
such as applied on land or used in products applied on the land if that is not their ordinary
manner of use.
(c)(2) Recycled materials are solid waste if they are burned to recover energy or used to produce
a fuel.
(c)(3) The following materials are solid wastes when reclaimed: spent materials, listed
sludges and by-products, and scrap metal.
(c)(4) Recycled materials are solid wastes if they are accumulated speculatively except for
listed commercial chemical products.
(d) Inherently waste-like materials are solid wastes when recycled in any manner.
(e)(l) Recycled materials are not solid waste when they are used as ingredients in an
industrial process or as effective substitutes for products, provided no reclamation is
involved.
(0 Respondents in actions to enforce RCRA Subtitle C regulations must document claims
that materials are not solid waste or are conditionally exempt.
§261.3 Definition of Hazardous Waste
(a)(l,2) A solid waste is a hazardous waste if it is not excluded and it meets any of the following
criteria:
(i) Exhibits a characteristic(s) of hazardous waste identified in Part 261, Subpart C;
(ii) Is listed in Part 261, Subpart D;
(iii) Is a mixture of a solid waste and a listed hazardous waste that is listed solely
because' it exhibits a characteristic unless the mixture no longer exhibits the
characteristic of the hazardous waste; or
(iv) Is a mixture of solid waste and specific listed wastes discharged under the Clean
Water Act.
(b)(2) Is a mixture of a listed hazardous waste(s) and a solid waste;
(b)(3) Is a mixture of waste, when the waste exhibits any characteristics.
(c,d) Any solid waste generated from the treatment, storage, or disposal of a hazardous waste
" is a hazardous waste, unless it no longer exhibits any characteristics, or it has been
delisted if it is derived from a listed waste.
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Inspection Procedures - Sections 261.2 and 261.3
Prior to an inspection, the inspector should be familiar with the processes occurring at the
facility. The determination of what material is a hazardous waste subject to regulation
under Subtitle C of RCRA is the essence of any inspection. While the generator must
determine if a material is a hazardous waste, the inspector must substantiate the
determination. Therefore, it is essential that the inspector know the definitions and
exceptions for hazardous waste. Information on waste generation at specific industries
should be consulted when needed.
When making a hazardous waste determination under §261.3, the protocol in §262.11 needs
to be followed. For example, when determining if a solid waste, which is not excluded,
meets the definition of a hazardous waste, the generator must first determine if the solid
waste meets the criteria of a listed waste. In other words, listings take precedence over
characteristics.
Also, see discussion under §262.11 on page HI-31 (determining if a listed waste exhibits
any characteristics for purposes of Part 268).
During the inspection, the inspector should ask about the wastes that are typically
generated during processes found onsite. The inspector should confirm that listed wastes
are managed as hazardous waste and verify that generators have tested or apply their
knowledge to wastes that are suspected of exhibiting hazardous characteristics. The
inspector should be wary of generator determinations that materials are "recycled" or "not
hazardous" unless documentation is provided. However, this documentation is not
explicitly required in §261J2(f). Instead, it must be provided if a person is responding in an
action to ensure implementation of RCRA Subtitle C regulations.
Commercial chemical products are not considered solid wastes if the products are applied
to the land or used as a fuel and either activity is considered an ordinary manner of use
(§261.2(c)(l)(ii) and (c) (2)(ii)). This provision can extend beyond commercial chemical
products listed in §261.33.
When a recycling claim is made so that a material would not be considered a hazardous
waste or a solid waste, the following questions can be asked by the inspector to establish a
distinction between recycling and sham recycling or treatment:
Is the secondary material similar to an analogous raw material or product?
What degree of processing is required to produce a finished product?
What is the value of the secondary material?
Is there a guaranteed market for the end product?
Is the secondary material handled in a manner consistent with the raw
material/product it replaces?
Are the toxic constituents actually necessary (or of sufficient use) to the product?
III-5
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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Inspection Procedures - Sections 261.2 and 261.3 (continued)
• Currently, there are two categories of waste considered inherently waste-like materials:
1) F020, F021 (unless used as an ingredient), F022, F023, F026, and F028; and 2) secondary
materials added to a halogen acid furnace (HAF).
• The mixture rule in §261.3 states that a mixture of wastes that no longer exhibits a
characteristic^) is not considered a hazardous waste. However, certain acts of mixing
wastes together may meet the broad definition of treatment. Treatment includes, for
example, a method designed to change the physical composition of a material and to render
it non-hazardous. Thus, while a generator may be falling under the hazardous waste
definition criteria of §261 A the generator may be required to obtain a treatment permit
under certain circumstances.
Also, see discussions under:
• §262.34 (treatment in accumulation tanks or containers without a permit)
• Part 268 (dilution prohibition and waste analysis plan).
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Exclusions: Solid and Hazardous Wastes
§2614 Exclusions
The following materials are not solid wastes:
(a)(l) Domestic s'ewage and mixture of domestic sewage and other wastes;
(2) Industrial wastewater point source discharges under the Clean Water Act;
(3) Irrigation return flows;
(4) Special nuclear or byproduct material;
(5) Materials subject to in-situ mining techniques;
(6) Pulping liquors that are reclaimed in a pulping furnace;
(7) Spent sulfuric acid used to produce virgin sulfuric acid;
(8) Secondary materials that are reclaimed and returned to the original process;
(9) Spent wood preserving solutions that are reclaimed and reused, and wood
preserving wastewaters reclaimed and reused to treat wood; and
(10) Toxicity characteristic and listed hazardous coke by-product residues that are used
in producing coke and coal tar.
The following materials are solid wastes but not hazardous wastes:
(b)(l) Household waste;
(2) Agricultural waste returned to the soils as fertilizers;
(3) Mining overburden returned to the mining site;
(4) Ash from combustion of coal or other fossil fuels;
(5) Drilling fluids and other wastes associated with the production of crude oil, natural
gas, or geothermal energy;
(6) Wastes failing the TC test for chromium if the chromium is in the trivalent state
and generated in the leather tanning and finishing industry;
(7) Solid waste from the extraction, beneficiation, and processing of ores and minerals
(8) Cement kiln dust;
(9) Arsenical-treated wood or wood products failing the TC test for arsenic, used as
intended and discarded;
(10) Petroleum-contaminated media and debris failing the TC test for D018 through
D043 (newly identified organic constituents only) which are subject to corrective
action under the Underground Storage Tank program described in 40 CFR Part
280;
(11) Injected ground water, failing the TC test for DO 18 through D043 only, from
hydrocarbon recovery operations undertaken at a certain petroleum industry site
until January 25, 1991;
(12) Reclaimed chlorofluorocarbon refrigerants; and
(15) Non-terne plated used oil filters that are not drained.
(c) Hazardous waste is not regulated if generated in a product or raw material storage
tank, or in a manufacturing process unit until it exits the unit or until the unit
ceases to operate for more than 90 days.
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Inspection Procedures - Section 261.4
The solid waste exclusion in §261<4(a)(l) applies to the hazardous waste when it first enters
a sewer system that will mix it with sanitary sewage prior to treatment or storage at a
POTW. If a hazardous waste is managed in containers before discharge to a POTW, then
the waste is considered to be managed in RCRA-regulated units. The industrial
wastewater point source discharge exclusion (§261.4(a)(2)) applies only to the actual point
source discharge. If the wastewaters are collected, stored, or treated before discharge, then
the waste is also managed in RCRA units.
To qualify for the §261.4(a)(8) exclusion for secondary materials that are reclaimed and
returned to the original process, four criteria must be met: 1) there is tank storage and the
entire process is enclosed; 2) no controlled flame combustion; 3) materials are not
accumulated over twelve months; and 4) the reclaimed material is not used to produce fuel
or used in a manner constituting disposal.
Currently, household waste is not considered hazardous waste (§261.4(b)(D), regardless of
whether the resulting ash from the incineration of the waste exhibits any characteristics in
Part 261, Subpart C; this is because the Clean Air Act Amendments of 1990 established a
two-year moratorium on ash from municipal energy recovery plants or incinerators.
From November 1990 to November 1992, the ash will not be under RCRA Subtitle C
jurisdiction, at the federal level.
The mining waste exclusion (§261.4(b)(7)> extends to certain wastes resulting from the
extraction, beneficiation, and processing of ores and minerals. In 1990, the exclusion for
processing wastes was narrowed to include 20 specific waste streams. In July 1991, a
regulatory determination was made to develop programs to manage these 20 excluded
materials under RCRA Subtitle D or TSCA.
On July 23,1990, five mineral processing wastes that were formerly exempt from
regulation under §261.4(b)(7) lost exempt status. These five wastes are now regulated as
hazardous, if they exhibit a characteristic.
Also, see discussion under §26&32 (LDR California list prohibitions do not apply).
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Exclusions: Solid and Hazardous Wastes (continued)
§2614 Exclusions (continued)
(d) Samples of solid waste or environmental media tested for characteristics or
composition are not subject to hazardous waste regulation.
(e,f) Treatability study samples of hazardous waste are not subject to hazardous waste
regulation.
. Ill-10
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Inspection Procedures - Section 261.4 (continued)
Since the promulgation of the TC rule (§261.24), four exclusions or deferrals have been
established:
• Petroleum contaminated media and debris (§261.4(b)(10))
• Injected groundwater for hydrocarbon recovery operations (§261.4(b)(ll))
• Reclaimed chlorofluorocarbon refrigerants (§261.4(b)(12))
• PCB fluids which are also TC hazardous (§261.8).
The exclusions only apply to the 25 new organic constituents (D018-D043). For example,
during a Part 280 underground storage tank corrective action, contaminated soil is
exhumed. When tested, the soil is both TC hazardous for lead (D009) and benzene (D018).
The soil, however, would only be classified as hazardous for its lead content, and the
benzene content would be excluded under §261.4(b)(10).
Additionally, each of the above exclusions have specific criteria. For instance, the re-
injected groundwater exclusion only apples to re-injections occurring at petroleum
refineries, petroleum marketing terminals, petroleum bulk plants, petroleum pipelines,
and petroleum transportation spill sites.
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
CESQG
§261.5 Special Requirements for Hazardous Waste Generated by Conditionally Exempt Small
Quantity Generators (CESQG)
(c) Hazardous waste that is not subject to regulation, or that is subject only to regulation
under §§262.11, 262.12, 262.40(c), and 262.41, is not included in the quantity
determination of Parts 261 through 266, 268 and 270, and is not subject to any of the
requirements of those parts. Hazardous waste that is subject to the requirements of
§261.6(b) and (c) and Subpart C, H, and F of Part 266 is included in the quantity
determination of Part 261 and is subject to the requirements of Parts 262 through 266
and 270.
(d) In determining the quantity of hazardous waste generated, a generator need
include:
not
(d)(l) Hazardous waste when it is removed from on-site storage;
(d)(2) Hazardous waste produced by on-site treatment (including reclamation) of
hazardous waste, so long as the hazardous waste that is treated was counted
once; or
(d)(3) Spent materials that are generated, reclaimed, and subsequently re-used on-
site so long as the materials have been counted once.
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Inspection Procedures - Section 261.5
Section 261.5 includes provisions for Conditionally Exempt Small Quantity Generators
(CESQGs) who are exempt from Part 262 regulated generator status provided all the criteria in this
Section are met.
Hazardous waste generators fall into three categories: Conditionally Exempt Small
Quantity Generator (CESQG), Small Quantity Generator (SQG), and Large Quantity Generator
(LQG). Generator categories are determined by monthly calendar count:
• CESQG = less than 100 kg/month of hazardous waste or less than 1 kg/month of acute
hazardous waste
• SQG = greater than or equal to 100 kg/month but less than 1000 kg/month of hazardous
waste
• LQG = greater than or equal to 1000 kg/month of hazardous waste and/or greater than
or equal to 1 kg/month of hazardous waste and/or greater than or equal to 1 kg/month of
acute hazardous waste.
The counting requirements in paragraphs (c) & (d) of §261.5 apply to all three categories of
generators. All hazardous waste generated is counted except:
• Waste exempted under §§261.4(c) through (f), 261.6(a)(3), 261.7, or 261.8;
• Waste managed only in exempt §264/265.1 elementary neutralization units,
wastewater treatment units, and totally enclosed treatment facilities as defined in
§261.10 (Note: if any of these wastes are managed, for example, in containers, before
being treated in one of these exempt units, then the waste must be counted);
• Waste managed in an exempt §261.6(c) recycling unit, provided that the waste is not
first managed'in other units (e.g., containers);
• Spent lead-acid batteries regulated under Part 266 Subpart G; and
• Used oil burned for energy recovery regulated under Part 266 Subpart E.
If a waste does not fall within one of the five exceptions above, then the waste needs to be
counted. If recycling is taking place at a site, then an inspector needs to pay close attention to the
counting activities of a generator. For example, still bottoms from solvent recycling do not need to
be counted if the solvent waste entering the §261.6(c) unit had already been counted (because the
waste had been managed in a regulated unit, prior to entering the §261.6(c) recycling unit). On the
other hand, if the solvent waste had not been counted because it was not stored in regulated
containers, the still bottoms would have to be counted after exiting the recycling unit.
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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CATEGORIES OP HAZARDOUS WASTE GENERATORS
KEY:
•=—
= / barrel = about 200 kilograms of hazardous waste
which is about 55 gallons
You ARE A LAROI QUANTITY GENERATOR IP.
2,200
In one calendar month you...
• generate 2.200 pounds or more of hazardous waste or
• generate 2,200 pounds or more of spill cleanup debris
containing hazardous waste or
• generate more than 2.2 pounds of acutely hazardous waste or
• generate more than 220 pounds of spill cleanup debris containing
an acutely hazardous waste or
At any time you...
• accumulate more than 2.2 pounds of acutely hazardous waste
on-site
You ARE A SMALL QUANTITY GENERATOR IP...
In one calendar month you...
• generate more than 220 pounds and less than 2,200 pounds of
hazardous wastes or
• generate more than 220 pounds and less than 2,200 pounds of
spill cleanup debris containing hazardous wastes or
At any time you...
• accumulate more than 2,200 pounds of hazardous waste
on-site
You ARE A CONDITIONALLY EXEMPT SMALL QUANTITY GENERATOR IP...
221-
2,199lb?./|3j
0-220 lb».
In one calendar month you...
• generate 2.2 pounds or less of acutely hazardous wastes or
• generate 220 pounds or less of hazardous wastes or
• generate 220 pounds or less of spill cleanup debris containing
hazardous waste or
At any time you...
• accumulate up to 2,200 pounds of hazardous waste on-site
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Recyclable Materials
§261.6 Recyclable Materials
(a)(l) Hazardous wastes that are recycled are subject to the requirements for generators,
transporters, and storage facilities set forth in (b) and (c) below except for the materials
listed in (b) and (c).
(a)(2) The following recyclable materials are not subject to requirements of this Section but are
subject to Part 266 and all applicable provisions in Parts 270 and 124:
(a)(2)(i) Used in a manner constituting disposal (Subpart C);
(a)(2)(ii) Hazardous waste burned for energy recovery in boilers and industrial
furnaces (Subpart H);
(a)(2)(iii) Used oil burned for energy recovery (Subpart E);
(a)(2)(iv) Reclaimed for precious metals (Subpart F); and
(a)(2)(v) Reclaimed spent lead-acid batteries (Subpart G).
(a)(3) The following recyclable materials are not subject to regulation under RCRA:
Industrial ethyl alcohol that is reclaimed unless otherwise specified in an
international agreement in §262.58;
Used batteries returned to a battery manufacturer for regeneration;
Used oil that exhibits one or more of the characteristics of a hazardous
waste that is recycled in some manner other than burned for energy
recovery;
Scrap metal;
Fuels produced from the refining of oil-bearing hazardous wastes;
Oil reclaimed from hazardous waste resulting from petroleum refining,
production, and transportation practices;
Coke and coal tar from the iron and steel industry that contains K087;
Hazardous waste fuel produced from oil bearing hazardous wastes from
petroleum activities where the waste is reintroduced into a process that
does not use distillation, or does not produce products from crude oil, so
long as the resulting fuel meets oil specification in §266.40(e) and no other
hazardous wastes are used to produce the fuel;
Hazardous waste fuel produced from oil-bearing hazardous waste from
petroleum activities, where the waste is re-introduced into a refining
process and the fuel meets the specification in §266.40(e);
Oil reclaimed from oil-bearing hazardous waste from petroleum
activities which is burned as a fuel without re-refining, provided the oil
meets the used oil fuel specification; and
Petroleum coke produced from petroleum refinery wastes containing oil
at the same facility at which the wastes were generated, unless the coke
product exhibits a hazardous waste characteristic.
(b) Generators and transporters of recyclable materials are subject to Parts 262 and 263, except
as provided in (a) above.
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statcment(s) contained herein.
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Inspection Procedures - Section 261.6
If a recyclable hazardous waste does not meet the criteria found in (a) (2) or (3) of §261.6,
then the waste is subject to the applicable requirements of (c) and (d). An example of such a waste
would be a solvent distillation unit. According to (c) and (d), the solvent wastes would be stored
and transported as hazardous waste. The recycling unit itself is exempt from RCRA regulation
(i.e., it is not a permitted Part 264 treatment unit). The recycling unit, however, may be regulated
by another statute such as the Clean Air Act). Additionally, if the solvent distillation unit is
located at a Part 264/265 TSDF, it may be regulated under air emission regulations of subparts AA
and BB of Part 264/265 (see §261.6(d)).
What Regulations Apply to Recycling?
Is the solid waste a
hazardous waste (i.e.,
characteristic or listed)?
Yes
Is the hazardous waste
generated by a condi-
tionally exempt SQG?
No
Is the hazardous waste
.(i.e., recyclable material
exempt from regulation
by Section 261.6(a)(3)?
No
Is the hazardous waste
subject to Part 266 per
Section 261.6(a)(2)?
No
Section 261.6(b), (c), and
(d) regulations apply
No
State Subtitle D regulations may apply
Yes
State Subtitle D regulations may apply
Yes
State Subtitle D regulations may apply
Yes
Part 266 recycling regulations apply
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FOR USE ?Y EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Recyclable Materials (continued)
(c)(l) Owners/operators of facilities that store recyclable materials before they are recycled are
regulated under applicable storage permitting regulation in Parts 264 and 265, except as
provided in paragraph (a) of this section. (The recycling process itself is exempt from
regulation except as provided in §261.6(d)).
(c)(2) Owners/operators of facilities that recycle without first storing are subject to the following,
except as provided in (a) above:
(c)(2)(i, ii, iii) Notification requirements; §§265.71 and 265.72 (manifest use and
discrepancies); and §261.6(d).
(d) Owners/operators of facilities with recycling units subject to RCRA permitting
requirements are also subject to the requirements of subparts AA and BB of Parts 264 and
265.
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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For Inspection Procedures, refer to first page of discussion for this subject heading.
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement^) contained herein.
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Containers
§261.7 Residues of Hazardous Waste in Empty Containers
(a)(l) Any hazardous waste remaining in an empty container or an inner liner, as
defined as empty in (b) below, is not subject to hazardous waste regulation.
i
(a)(2) Any hazardous waste in either a container that is not empty or an inner liner
removed from a container that is not empty is subject to hazardous waste
regulation.
(b)(l) A container or an inner liner is empty if:
(b)(l)(i) all wastes have been removed using commonly employed
practices, and
(b)(l)(ii,iii) no more than 25 centimeters (one-inch) of residues remains on the
container bottom or liner, or no more than 3 percent by weight of
the total capacity of the container remains in the container or
inner liner if the container is greater than 110 gallons in size.
(b)(2) A compressed gas container is empty when the pressure approaches atmospheric.
(b)(3) A container or liner that held an acute hazardous waste is empty if:
(b)(3)(i,ii,iii) it has been triple rinsed using a solvent, or cleaned by method that
is equivalent, or the inner liner prevented contact with
commercial chemical product and it has been removed.
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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Inspection Procedures - Section 261.7
ftfy P.nnsiderations:
• Has the waste been removed by all commonly employed practices (for example, spilling,
pouring, pumping, etc.)? If it has been, does the container have no more than one inch of
residue remaining?
• If the residues in an "empty" container are subsequently exhumed and managed, §261.7
exempts the resulting material from hazardous waste regulation, including the
requirement to determine if the solid waste exhibits a hazardous characteristic under Part
261SubpartC.
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
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PCBs
§261.8 The disposal of PCB-containing dielectic fluid, and electrical equipment containing such
fluid, regulated under 40 CFR Part 761 and that are hazardous only for TC (D018-D043)
are exempt from hazardous waste regulation.
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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Inspection Procedures - Section 261.8
ftey Considerations:
• Is the PCB component of the waste regulated under TSCA, 40 CFR Part 761?
• By themselves, PCBs are not RCRA hazardous wastes; instead, they are regulated under
the Toxic Substances Control Act (TSCA). However, under two circumstances, PCB wastes
can become RCRA hazardous wastes:
PCBs can be mixed with a listed hazardous waste and thus become regulated under
the mixture rule (§261.3(a)(2)(iv))
PCBs can exhibit a characteristic of a hazardous waste and thus be regulated under
RCRA, unless the waste meets the §261.8 exclusion.
A PCB waste that is hazardous solely because it contains one of the organic constituents
covered by the TC rule—D018-D043—is not considered to be a RCRA hazardous waste. The
reasons for this exemption is that PCBs are generally found in the presence of chlorobenzene,
which is a TC constituent EPA does not want all PCB wastes to become subject to the RCRA
regulations because TSCA requirements provide adequate safeguards for mgtmgmg these
wastes.
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statcment(s) contained herein.
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Characteristics of Hazardous Waste
§261.20 General
(a) A solid waste, as defined in §261.2, if not excluded by §261.4(b), is a hazardous waste
if it exhibits the characteristics of ignitability, corrosivity, reactivity or toxicity.
(b) A hazardous waste which is identified by a characteristic must be assigned every
applicable EPA Hazardous Waste Number in 40 CFR Part 261 Subpart C.
(c) Appendix I of 40 CFR Part 261 contains suggested representative sampling methods;
however a person may employ an alternative method without formally
demonstrating equivalency.
§261.21 Characteristic of Ignitability (D001)
(a) A solid waste exhibits the characteristic of ignitability if a representative sample of
the waste is:
(1) A liquid having a flashpoint of less than 140 degrees Fahrenheit (60 degrees
Centigrade);
(2) A non-liquid which causes fire through friction, absorption of moisture, or
spontaneous chemical changes and, when ignited, burns so vigorously and
persistently it creates a hazard;
(3) An ignitable compressed gas; or
(4) An oxidizer.
§261.22 Characteristic of Corrosivity (D002)
(a) A solid waste exhibits the characteristic of corrosivity if a representative sample of
the waste is:
(1) Aqueous, with a pH less than or equal to 2, or greater than or equal to 12.5; or
(2) Liquid and corrodes steel at a rate greater than 6.35 mm per year when
applying a National Association of Corrosion Engineers Standard Test
Method.
§261.23 Characteristic of Reactivity (D003)
(a) A solid waste exhibits the characteristic of reactivity if a representative sample of the
waste:
(1) Is normally unstable and readily undergoes violent change;
(2) Reacts violently with water;
(3) Forms potentially explosive mixtures with water;
(4) Generates toxic gases, vapors, or fumes when mixed with water;
(5) Is a cyanide or sulfide-b,earing waste which, when exposed to pH conditions
between 2 and 12.5, can generate toxic gases, vapors, or fumes;
(6) Is capable of detonation or explosion if subjected to a strong initiating source of
if heated under confinement;
(7) Is readily capable of detonation or explosive decomposition or reaction at
standard temperature and pressure; or
(8) Is a forbidden explosive as defined by DOT.
Ill-24
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Inspection Procedures - Sections 261.20 through 261.24 (Subpart C)
BE FAMILIAR WITH PROPER METHODS OF MEASURING AND DETECTING
CHARACTERISTICALLY HAZARDOUS WASTE:
• Ignitability
-- Ignitable liquids must be identified through use of the test methods specified in §261.21
(a)(l) or equivalent EPA approved methods (or application of generator's knowledge,
as allowed by §262.11 (c)(2)).
-- Aqueous solutions (defined as wastes with a liquid phase containing more than 50
percent water) containing concentration of alcohol less than 24 percent by volume, are
excluded from the characteristic of ignitability. These substances (e.g., wine and
latex paint) may flash at less than 140 degrees Fahrenheit but do not sustain
combustion.
-- Examples of wastes that tend to exhibit the characteristic of ignitability are solvents,
fuels, sodium nitrate, methane gas, and stillbottoms from plastic manufacturing.
• Corrosivity
-- Only waters that are liquid or contain liquid may exhibit the characteristic of
corrosivity; solids cannot meet the RCRA characteristic of corrosivity. EPA Method
9095, the Paint Filter Liquid Test (or an equivalent method), may be used to
demonstrate the presence or absence of free liquids in a waste.
-- Common corrosives are caustic soda and nitric acids.
• Reactivity
-- EPA relies heavily on a descriptive definition of reactivity, because available
measures and tests suffer from a number of deficiencies.
-- Cyanide- or sulfide-bearing wastes, however, exhibit the characteristic of reactivity
(§261.23(a)(5)) if they generate the following quantities of toxic gases when exp'osed to
pH conditions between 2 and 12.5: 250 mg. Hydrogen Cyanide gas per kg. of solid waste
(measured using Method 9010); 500 mg. of Hydrogen Sulfide per kg. of solid waste
(measured using Method 9030).
• Toxicity
-- The toxicity characteristic replaced the EP toxicity test for LQGs and TSDFs on
September 25,1990, and became effective for SQGs on March 29, 1991. Since the TC
brought 25 new organic compounds under the purview of the RCRA regulations, many
facilities are managing newly regulated waste streams. The TC regulatory impact
analysis estimated that 740 million metric tons per year of waste may require new
management practices because they exhibit the TC. (However, 99% of this waste is
wastewater, which is expected to be managed in tanks exempt from permitting). The
inspector should become familiar with the toxicity characteristic constituents to ensure
that all hazardous waste streams are identified.
Ill-25
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statcment(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Characteristics of Hazardous Waste (continued)
§261.24 Toricity Characteristic (D004-D043)
(a) A solid waste exhibits the characteristic of toxicity if the extract of a representative
sample of the waste contains any of the contaminants listed in Table 1 in 261.24, at or
above the specified regulatory levels. The extract should be obtained through use of
the Toxicity Characteristic Leaching Procedure or an equivalent approved method.
If the waste contains less than .5 percent filterable solids, the waste itself, after
filtering, is considered to be the extract.
Ill-26
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any stntement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Inspection Procedures - Sections 261.20 through 261.24 (Subpart C) (continued)
-- Method 1311, the Toxicity Characteristic Leaching Procedure (TCLP), is used to obtain
the extract from wastes containing .5% or more of filterable solids. The TCLP is also
required when measuring compliance with the LDR treatment standards in Part 268.
For purposes of waste identification, the constituent concentration in the waste extract
must be compared with the levels in Table 1 of §261.24, and should not be confused with
the LDR concentration levels and regulatory requirements.
-- Rather than having the TCLP performed, generators commonly perform a total
analysis of the waste, and then apply the 20 fold dilution factor inherent in the TCLP
method. If this analysis of the waste and rule of thumb calculation demonstrates that
individual analytes are not present in the waste, or that they are present in such low
levels that the regulatory levels could not be exceeded, the TCLP need not be run.
Generators should be advised to perform the TCLP if total analysis results are close to
the regulatory limit for a constituent. Since this calculation assumes a 100% extraction
efficiency of the TCLP, it represents a conservative assumption that the waste is not TC
hazardous. Note that this calculation is only used for materials that are in a solid form
since liquids themselves (i.e., wastes containing less than 0.5% dry solid material)
are defined as the TCLP extract; hence, the 20-fold dilution factor calculation is not
relevant.
-- If o-, m- and p-Creosol (D023-25 respectively) concentrations cannot be differentiated,
the total creosol (D026) concentration is used.
111-27
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Listings
§26131 Hazardous Wastes from Non-Specific Sources ("F-list") - See 40 CFR
§261.32 Hazardous Wastes from Specific Sources ("K-list") - See 40 CFR
§261.33 Discarded Commercial Chemical Products, Off-Specification Species, Container
Residues, and Spill Residues thereof.
The following ("P and U-listed") materials are hazardous wastes when discarded, applied
to the land, or produced, distributed, or burned for use as a fuel, if that was not their intended use:
(a) Any commercial product or manufacturing chemical intermediate having the
generic name listed in this section;
(b) Any off-specification commercial chemical product or manufacturing chemical
intermediate which, if on-specification, would have the name listed in this section;
(c) Residues remaining in a container or inner liner from a container that held a listed
commercial chemical product, unless the container is empty pursuant to §261.7(b);
and
(d) Residue or contaminated media or debris resulting from the cleanup of a spill of any
of the substances delineated in (a), (b), or (c) above.
(e) The "P-list" of commercial chemical products consists of acute hazardous wastes,
and are subject to the quantity limitations for acute hazardous wastes.
(f) The "U-list" of commercial chemical products are toxic wastes unless otherwise
designated.
Ill-28
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Inspection Procedures - Sections 261.31 through 261.33 (Subpart D)
A subset of the wastes listed in Subpart D are the acutely hazardous wastes, which are listed
in accordance with the criteria set forth in §261.11 (a)(2). The acutely hazardous wastes are F020-
23, F026, and F027 (these are dioxin-bearing wastes, and are designated by an "H" in the hazard
code column), and all the P-listed wastes. Inspectors should be aware that a generator that
produces more than 1 kg. of acutely hazardous waste per calendar month is subject to LOG status.
The FOO1-F005 listings apply to spent solvents used for their solvent properties (to
solubilize or mobilize constituents). Listed solvents which are used as reactants or ingredients in
commercial chemical products should not be designated as spent solvents, the FOOl, F002,
F004 and F005 listings include solvent blends or mixtures containing 10 percent or more listed
solvents by volume prior to use. The F003 listing does not have a 10 percent threshold. Waste
mixtures containing FOO3 constituents in any amount, combined with 10 percent or more of
FOOl, FOO2, F004 or FOO5 constituents prior to use, receive the F003 listing. Solvent mixtures
with solvents from more than one waste code are classified with as many codes as appropriate
(e.g., F001/F005).
The P- and U-listings apply to unused commercial chemical products (CCP), including
technical grades and all formulations in which the chemical is the sole active ingredient (see the
comment following 40 CFR 261.33 (d)). "Sole active ingredient" is defined as the compound or
mixture that performs the function of the product. It is possible for a P- or U-listed hazardous
constituent to be a functionally inert component of a CCP, such as a solvent carrier. In these cases,
its presence does not prevent the formulation containing another P- or U-listed constituent from
carrying that listing. Dilution with water is not considered use of a CCP, and would not cause a
CCP to lose its listing, should the unused CCP/water mixture be discarded.
Ill-29
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
TABLE m-2 GENERATOR REGULATORY REQUIREMENTS
Hazardous Waste Determination
§262.11 Hazardous Waste Determination
The generator must determine whether a solid waste, as defined in §261.2, is hazardous by
determining if the waste:
(a) Is excluded under §261.4;
(b) Is listed as hazardous in Part 261 Subpart D;
(c) Meets a characteristic(s) in Part 261, Subpart C, either by testing or applying
knowledge, and for purposes of Part 268, determine if the listed waste exhibits a
characteristic(s).
(d) If the waste is determined to be hazardous, the generator must refer to Parts 264, 265,
and 268 for possible exclusions or restrictions pertaining to the waste.
Ill-30
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Inspection Procedures • Section 262.11
Identifying Hazardous Wastes
Solid Waste? Excluded? Listed? Characteristic? Hazardous Waste?
YES NO YES YES
YES NO YES YES
YES NO YES YES YES
YES YES NO
NO NO
Note: The above chart does not include the requirement, for purposes of Part 268, to identify
characteristics in listed wastes.
For purposes of determining applicable treatment standards for a restricted LDR waste, a
generator must determine if a listed waste exhibits any characteristics (§262.11(c)). Then, the
generator must determine if the listed waste treatment standard specifically addresses the
characteristics. However, for purposes of Part 262 recordkeeping requirements (e.g., biennial
reports and 8700-12), the generator need not determine if a listed waste exhibits a characteristic.
For example, F005 is listed for both toxicity and ignitability. For a hazardous waste determination
for purposes of Part 262, the waste would be F005 (not F005/D001). For purposes of treatment
standards in Part 268, the waste would be considered both F005/D001, because the F005 treatment
standard does not specifically address the characteristic of ignitability.
Also, see discussion under §288.7 (identifying characteristics of listed wastes).
The determination of a waste code for a specific waste stream is critical. An inspector
needs to carefully consider the origins of the waste, and the applicability of the proper waste code.
The following example illustrates this point It is possible for benzene to meet the criteria oft
• A commercial chemical product (TJ019)
• A spent solvent (F005)
• A constituent in specific source wastes (K-listed codes)
• A characteristic waste (D018).
111-31
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
General Requirements and Manifest Review
§262.12 EPA Identification Numbers
(a) A generator without an EPA identification number must not treat, store, dispose of,
or offer for transportation hazardous waste.
(c) A generator must not offer his hazardous waste to transporters or to treatment,
storage, or disposal facilities that have not received an EPA identification number.
§26&20 General Requirements
(a) A manifest must be prepared before a generator transports, or offers for
transportation, hazardous waste for off-site treatment, storage, or disposal.
(b) A generator must designate on the manifest one facility that is permitted to handle
the waste described on the manifest.
(c) A generator may designate one alternate facility in the event that an emergency
prevents delivery to the primary designated facility.
(e) An exception to manifest requirements applies to generators of greater than 100 kg
but less than 1000 kg in a month where:
(1) The waste is reclaimed under contractual agreement under which:
(i) The type of waste and frequency of shipments are specified;
(ii) The vehicle used to transport the waste and deliver the regenerated material
back to the generator is owned by the reclaimer; and
(2) The generator maintains a copy of the agreement for at least three years after the
termination of the agreement.
§262.21 Acquisition of Manifests
(a) If the consignment State supplies manifest forms and requires its use, the
generator must use that manifest.
(b) If the consignment State does not supply the manifest, but the generator State does,
the generator must use the generator State's manifest.
(c) If neither generator State nor consignment State supplies the manifest, then the
generator may use a manifest from any source.
Ill-32
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Inspection Procedures - Sections 262.12 through 262.23 and Section 262.40
Kev Considerations:
• Has each original in the generator's file of manifests been signed and dated by the
generator and the first transporter? Is the EPA identification number clearly marked for
the generator, the transporter and the designated facility?
• Have all appropriate spaces been filled out correctly, and all changes and cross-outs on the
manifest been properly initialed?
• Have the generator's manifest files been carefully reviewed to ensure that all shipments
have been accepted at a designated facility? After 35 days from when the waste was
accepted by the initial transporter (see Section 262.42), the designated facility should return
the copy of the manifest with the signature of the designated facility's owner/operator. The
generator must keep this copy on file for three years and may discard the original. The
return receipts for waste shipments must be kept on file for three years.
• Th<> ingpprtrtr should ha nwarp that all State manifests flo flot Iflolf; fl|jfof and that anrno State
waste codes are different from EPA waste codes. Also, federal regulations do not require
that the federal waste codes be used, though State regulations might
• If waste is transported periodically, e.g., during the first week of each month, check to see
if originals or return receipts are on file for each anticipated shipment date.
• Obtain explanations for unusual gaps in the frequency of off-site shipment. Are
subsequent shipments larger? Has the 90-day storage limit (see §262-J4) been exceeded for
facilities without storage permits?
Although the generator must determine if a waste is hazardous, the inspector should use his
knowledge of the processes conducted at a facility in order to verify that the determination of
hazardous wastes is appropriate and that any hazardous waste shipped offsite is manifested. The
inspector may need to sample the waste or to review all the appropriate information back in the
office in order to properly evaluate the generator's determination. In addition, inspectors should
list the facilities that appear on the manifests. Subsequent office review will reveal whether such
facilities offer LDR treatment technologies capable of meeting the applicable treatment standards.
The generator, however, is not required to analyze the waste in order to make a hazardous waste
determination.
Generators also have LDR recordkeeping requirements for most
manifests. (See discussion under 40 CfR 268.7.)
Ill-33
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
General Requirements and Manifest Review (continued)
§26222 Number of Copies
The manifest consists of sufficient copies to provide the generator, each transporter, and
the designated facility with one copy plus one additional copy to be returned to the generator.
§26223 Use of the Manifest
(a) The generator must:
(1) Sign the manifest; and
(2) Obtain signature and date of acceptance from initial transporter; and
(3) Retain one copy for three years or until the designated facility returns the signed
copy, which must be retained for three years.
(b) The generator must give the transporter the remaining copies of the manifest.
(c) For bulk shipments within the U.S. solely by water, the generator must send three
signed and dated copies of the manifest to the designated facility or to the last water
transporter to handle the waste if exported by water. Copies of the manifest are not
required for each transporter.
(d) For rail shipments within the U.S. which originate at the site of generation, the
generator must send three signed and dated copies to:
(i) the next non-rail transporter; or
(ii) the designated facility if transported solely by rail; or
(iii) the last rail transporter to handle waste in the U.S. if exported.
(e) For shipments to a designated facility in an authorized State which has not obtained
• authorization to regulate that particular waste, the generator must assure that the
signed manifest is returned to the generator, and any out-of-State transporter signs
and forwards the manifest to the designated facility.
§26240 Reoordkeeping
A generator must keep a signed manifest until the signed copy is returned from the
designated facility. All return-receipt copies, Biennial Reports, Exception Reports, and records
with test results and waste analyses must be kept for three years. This time period is
automatically extended during the course of any unresolved enforcement action.
Ill-34
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Inspection Procedures - Sections 262.12 through 262.23 and Section 262.40
(continued)
Storage Facility
Transporter
EPA or State
Agency
A one-page manifest must accompany every waste shipment. The resulting paper trail
documents the waste's progress through treatment, storage, and disposal. A missing form
alerts the generator to investigate, which may mean calling in the state agency or EPA.
Ill-35
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Correlation with Applicable DOT Regulations
§262.30 Packaging
Hazardous waste packaging must meet DOT standards specified in 49 CFR 173 (General
requirements for shipments and packaging), 178 (Shipping container specifications), and 179
(Specifications for tank cars).
§262.31 Labeling; §262.32 Marking
Before any off-site transportation, containers of hazardous waste must be marked and
labeled according to 40 CFR 172 (see Hazardous Waste Tables). The following words must be
printed on each container of less than 110 gallons, in durable lettering or on a label or tag:
HAZARDOUS WASTE - Federal Law Prohibits Improper Disposal. If found, contact the
nearest police or public safety authority or the U.S. Environmental Protection Agency.
Generator's Name and Address .
Manifest Document Number .
§26233 Placarding
Placards must be provided in accordance with DOT regulations for hazardous materials
under 49 CFR 172, Subpart F - Placarding.
Ill-36
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Inspection Procedures - Sections 262.30 through 262.33
Kev Considerations;
• Are any containers damaged, corroded or leaking?
• Does each container have an appropriate DOT label, the manifest number and the
generator's name and address?
• Is an appropriate placard placed on each motor vehicle, freight container or rafl car? (Note
that there are exceptions to this requirement for certain classes such as ORM-A, B, C, D, or
E material).
• DOT regulations, 49 CFR Parts 178 and 179, concern shipping containers and tank car
specifications for the design of the container or the tank care and are beyond the scope of
most RCEA inspections. The DOT requirements, Parts 172 and 173 for shipping and
packaging, organize materials according to their hazard classification and specifically
describe the packaging requirements for each chemical or classification of chemicals.
Since hazardous wastes can be gases as well as liquids or solids, and can be shipped in
bulk as well as in small quantities by container, familiarity with the generated waste
characteristics and the DOT hazard classification of the waste prior to the inspection will
be helpful to the inspector. A review of the specific DOT container requirements should be
part of the inspection file review if there is concern that the generator may not be meeting
DOT requirements.
DOT's Hazardous Waste Tables identify the labeling requirements for hazardous
substances. The label category, ORM-E, applies to most hazardous waste mixtures that do not meet
the definition of a hazardous substance for labeling purposes. DOT requirements change
frequently, and the inspector should try to obtain the current requirements from Regional DOT
experts. State regulations are often more stringent and the inspector should be aware of those
circumstances.
Ideally the inspector should verify that each container transported is labeled and marked
properly. However, the inspector usually will not be present when a shipment is ready.
Compliance with these requirements can be ascertained by questioning the facility representative.
In cases where placards are required, the generator can be requested to produce them. The
presence of printed hazardous waste labels usually means that the generator places them on the
containers prior to shipment offsite.
Ill-37
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Accumulation lime; Basic Requirements
§26234 Accumulation Time
(a) A generator may accumulate hazardous waste on site without a permit for 90
days or less, provided that:
(l)(i,ii) The waste is placed in containers and the generator complies with Part 265
Subpart I, or the waste is placed in tanks and the generator complies with
Subpart J (except for §265.197(c) and §265.200).
(l)(iii) The waste is placed on drip pads and the generator complies with Part 265,
Subpart W and provides documentation of procedures to remove waste at least
once every 90 days.
(2) The date upon which accumulation begins is marked upon each container
(3) Each container and tank is labeled "hazardous waste"
(4) The operator complies with Part 265, Subparts C and D, Preparedness and
Prevention, and Contingency Plan and Emergency Procedures, and with
§265.16 (Personnel Training)
(b) A generator who accumulates hazardous waste for more than 90 days is an
operator of a storage facility and must obtain interim status and apply for a
permit unless he has been granted an extension by the Regional
Administrator.
(c)( 1) A generator may accumulate up to 55 gallons of hazardous waste or one quart of
acutely hazardous waste in containers at a place near the point of generation
and is not required to obtain a permit or interim status if he:
(i) Complies with §265.171 (condition of containers), §265.172 (compatibility),
and §265.173(a) (management of containers)
(ii) Marks the containers with the words "hazardous waste" or similar
description.
(2) If he exceeds either 55 gallons of hazardous waste or one quart of acutely
hazardous waste, the generator has 3 days to comply with paragraph (a) above
with respect to the amount of excess waste.
Ill-38
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statenVentU) contained herein.
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OSWER Dir. No. 9938.02(b)
Inspection Procedures - Section 262.34 (a)(b)(c)
Kev Considerations!
• Is each container and tank marked as "hazardous waste"?
• Do containers have the starting date for the accumulation period marked on the container?
The date should not be more than 90 days prior to the date of the inspection unless the
generator meets the conditions of §26234(c) or has an extension.
• Can the generator show through records and manifests that the tank has been emptied
within 90 days? Tanks are not required to have the starting date marked on them because
they are reused. This should be verified for several previous waste shipments.
• Have satellite accumulation areas been inspected to insure that each area has not exceeded
a volume of 55 gallons of all hazardous waste or one quart of acutely hazardous waste?
Note: a facility can have multiple satellite accumulation areas.
• Are there any satellite accumulation areas not identified by the generator which are
visible during the walkthrough inspection?
• Are satellite accumulation areas at or near the point of generation and under the control of
a dose-by operator?
Additional requirements with which a generator must comply are applicable sections of
Part 265, set forth in Table III-4. Please refer to these sections as appropriate.
Both large and small quantity generators can treat in tanks or containers, provided
compliance with all §262.34 requirements has been achieved. For example, an ignitable solvent
cannot be rendered by allowing the material to volatilize into the atmosphere, because §262.34(a)
references a Part 265 Subpart I requirement that containers must be closed, except when necessary
to add or remove waste. Additionally, for purposes of compliance with LDR requirements,
generators who treat to meet LDR standards must develop a waste analysis plan.
Also see discussion under §268.7 (waste analysis plan).
Ill-39
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Accumulation Time; Small Quantity Generators
§262.34 Accumulation Time (continued)
(d) A SQG who accumulates greater than 100 kg but less than 1000 kg of waste in a
calendar month may accumulate waste onsite for 180 days without a permit or
interim status provided that:
(1) Waste quantity never exceeds 6000 kilograms onsite
(2)(3) The generator complies with Subpart I of Part 265 (except §265.176) or §265.201 in
SubpartJofPart265
(4) The generator complies with paragraphs (a)(2) and (a)(3) and the requirements of
Subpart C of Part 265 and 268.7(a)(4); and
(5) The generator complies with the following:
(i) There is at least one employee on the premises or on call as emergency
coordinator;
(ii) The following information is posted next to the telephone:
(A) Name and telephone number of emergency coordinator;
(B) Location of fire extinguishers, spill control material, and fire
alarm; and
(C) Telephone number of fire department unless facility has direct
alarm.
(iii) Generator must ensure that all appropriate employees are familiar with
waste handling and emergency procedures; and
(iv) Emergency coordinator must respond appropriately in the event of a fire;
spill or release to the environment. Any releases which could threaten
human health off-site or to surface water must be reported to the National
Response Center.
(e) A SQG may accumulate waste onsite for 270 days without a permit or interim status
if the waste must be transported over 200 miles for off-site storage, disposal, or
treatment.
(f) A SQG who accumulates waste onsite over the allowable number of days or over
6000 kg must obtain interim status and apply for a permit or apply for an extension
from the Regional Administrator.
Ill-40
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Inspection Procedures - Section 26234 (d)(e)(f)
Kev Considerations:
• Have you confirmed that generators who claim to be SQGs are not generating more than
the limit for SQGs? (Note: 100-1000 kg/mo is between 220 and 2200 pounds or about 25 to
under 300 gallons.) This may be done by looking at the manifests for quantities and doing
a mass balance to convert to probable weight (see below).
• Has the generator exceeded the 180-day time period without having to ship the waste over 200
miles? The manifests should provide the location of the designated facility. If the
generator has to ship the waste over 200 miles, then the waste may be stored for 270 days.
The inspector should calculate the maximum quantity of hazardous waste in containers
based upon storage volumes of tanks. Based upon the waste characteristics, the density of the waste
(water weighs 8.34 Ibs. or 3.79 kg/gal.) and the volume available for waste storage, calculate the
total quantity of waste observed. This quantity must not exceed 6000 kg unless the facility has
interim status, a permit, or an emergency extension. In the case of tanks, where the maximum
volume will exceed the 6000 kg limit but the actual waste quantity is less, note this circumstance.
Even though it is not a current violation, it is a good idea to mention the potential to the generator.
When inspecting generators that produce small quantity wastes, verify that the SQG meets
the requirements for posting the appropriate phone numbers and providing employee training.
During the visual inspection, check for evidence of spills or other releases or the potential for
releases.
SQGs can also establish satellite accumulation areas under §262.34(c).
Steps SQGs may take to prepare for facility emergencies:
Installing and maintaining in-plant emergency equipment,
such as an alarm, a telephone or a two-way portable radio, fire
extinguishers (using water, foam, inert gas, or dry chemicals,
as appropriate to waste type), hoses, automatic sprinklers, or
spray equipment, so that it is immediately available to
employees if there is an emergency.
Providing enough room for emergency equipment and response
teams to get into any area in the facility in the event of an
emergency.
Writing to local fire, police, and hospital officials or State or
local emergency response teams explaining the types of wastes
handled and requesting cooperation and assistance in
handling emergency situations.
m-41
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Reoordkeeping and Reporting
§26241 Biennial Report
A generator, except SQG, who ships any hazardous waste off-site to a TSDF in the U.S. must
submit a Biennial Report to the Regional Administrator by March 1 of even-numbered years.
Biennial Reports (EPA Form 8700-13A) must cover generator activities during the previous year
and must include:
(1) EPA ID number, name, and address of the generator
(2) The calendar year covered by the report
(3) The EPA ID number, name, and address for each off-site facility to which waste
was shipped
(4) The EPA ID number and name for each transporter used
(5) A description, EPA hazardous waste number, DOT hazard class, and quantity of
each hazardous waste shipped offsite to a facility in the United States—information
must be listed by EPA ID number of each facility to which waste was shipped
(6) A description of the efforts undertaken during the year to reduce volume and
toxicity of waste generated
(7) A description of the changes in volume and toxicity of waste actually achieved
during the year compared to previous years
(8) The certification signed by the generator or authorized representative
(b) A generator who manages waste onsite must submit a Biennial Report covering
those wastes in accordance with Parts 270, 264, 256, and 266. Reporting for exports is
not required by §262.41 as part of the Biennial Report. Primary exporters are
required to file a separate report pursuant to §262.56.
111-42
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statcment(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Inspection Procedures • Section 262.41
Kev Considerations:
• Is the generator's Biennial Report available? Although the generator is not required to
have it onsite, if it is available, review the contents for completeness. If the reports are not
available onsite, the inspector can review them in the State or Regional office.
• Review waste minimization practices and compare recycling practices with the nature of
the waste to verify that these practices are consistent for the wastes generated.
Approaches to Waste Reduction
Source separation (or segregation) keeps hazardous waste from
contaminating nonhazardous waste through management
practices that prevent the wastes from coming into contact TWa
is the cheapest and easiest method of reducing the volume of
hazardous waste to be disposed of, and is widely used by
industry. In addition to reducing disposal costs, source
separation reduces handling and transportation costs.
Rowling (also referred to as recovery and reuse) is also widely
used by industry. Recycling is the process of removing a
substance from a waste and returning it to productive use.
Generators commonly recycle solvents, acids, and metals.
Substitution of raw materials may offer the greatest opportunity
for waste reduction. By replacing a raw material that generates
a large amount of hazardous waste with one that generates little
or no hazardous waste, manufacturers can substantially reduce
the waste volume.
Mamifacftiring prrtoess rhangps consist of either eliminating a
process that produces a hazardous waste or altering the process
so that it no longer produces the waste.
Substitution of products a1ar> may elimina
material. For example, by substituting concrete posts for
creosote-preserved wood posts in construction operations,
builders can remove any possibility that the hazardous creosote
will leach from the posts and contaminate underlying ground
water or surrounding soil
III-43
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement^) contained herein.
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OSWER Dir. No. 9938.02(b)
Exception and Additional Reporting
§262/42 Exception Reporting
(a)(l) An LQG generator who does not receive the return copy of the manifest with the
handwritten signature of the owner/operator of the designated facility within 35
days of the date the waste was initially accepted by the first transporter, must
determine the status of the waste.
(a)(2) An LQG generator must submit an Exception Report to the Regional Administrator
if he has not received the signed return-copy of the manifest within 45 days. An
Exception Report must include:
(1) A legible copy of the original manifest ; and
(2) A letter signed by the generator or authorized representative explaining the efforts
taken to locate the hazardous waste and the results of those efforts.
(b) A SQG who does not receive the return copy of the manifest with the handwritten
signature of the owner/operator of the designated facility within 60 days of the date
the waste was accepted by the initial transporter, must submit a copy of the manifest,
with indication that the generator has not received confirmation of delivery, to the
Regional Administrator.
§262.43 Additional Reporting
The Administrator may require generators to furnish additional reports concerning the
quantities and disposition of hazardous wastes.
§262,44 Generators of 100-1000 kg/Month
Such generators are exempted from recordkeeping and reporting requirements of Subpart
D, except for §§ 262.40(a), (c), and (d) (recordkeeping), 262.42(b) (exception reporting), and 262.43
(additional reporting).
111-44
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statcment(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Inspection Procedures - Sections 262.42 through 262.44
Kev Considerations:
• Are any additional reports required by the Regional Administrator? Verify these reports if
applicable.
• Many States require that a signed manifest be returned to the generator prior to 35 days
after shipment.
During the review of the generator's manifest file, if the inspector finds records of waste
shipments (original manifests) that do not have a signed return copy of the manifest on file within
35 days of the date of the off-site shipment, he should find documentation that the generator has
made efforts to locate the waste and has filed the Exception Report within 45 days of shipment.
Even SQGs must file a shortened version of an Exception Report with the Regional Administrator
within 60 days of the date the waste was accepted by the initial transporter. This report need only be
a handwritten or typed note attached to a copy of the manifest stating that the return copy was not
received by the SQG.
Ill-45
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Exporter of Hazardous Waste: Requirements
§262J>2 General Requirements
In order to export hazardous waste, an exporter must comply with applicable requirements
of Subpart E and Part 263. Exports of hazardous waste are prohibited unless:
(a) §262.53 notification to EPA has been provided;
(b) The receiving country has consented to receive hazardous waste;
(c) A copy of the EPA Acknowledgment of Consent accompanies the manifest; and
(d) The shipment conforms to the conditions of the receiving country's written
consent.
§26253 Notification of Intent to Export
A primary exporter of hazardous waste must notify EPA of the intent to export this waste at
least 60 days before the initial shipment. The notification may cover a period of 12 months or less.
The notification must include:
(a) (1) Name, mailing address, telephone number, and EPA ID of exporter;
(2) (i) A description of the hazardous waste and EPA ID number, DOT
shipping name, hazard class, and UN/NA number;
(2) (ii) Estimated frequency of export and time period;
(2) (iii) Estimated quantity;
(2) (iv) All points of entry and departure from each country through which
the waste must pass;
(2) (v) Description of the mode of transportation and type of container;
(2) (vi) Description of the manner of waste management in the receiving
country;
(2) (vii) Name and site address of consignee; and
(2) (viii) Name of transit country and length of time remaining there.
(b) Notification shall be sent to the Office of Waste Programs Enforcement.
Ill-46
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Inspection Procedures - Sections 262.52 through 262.53
With respect to these Sections, the central objective of an inspection is to identify all
potentially hazardous waste material that is being exported. The inspector should ask if any
recycled material is being exported and whether any evaluation has been made to determine if the
material is hazardous under Part 261.
The inspector should verify that the exporter has filed the Notification of Intent to Export
within the required 60-day period before the initial shipment commences and that the notification
is complete. A notification is necessary for any exported wastes that are hazardous. The inspector
should also verify that the EPA Acknowledgment of Consent accompanies the manifest.
Remember:
• Bilateral international agreements have been signed with Canada and Mexico that impose
additional requirements that are analogous to a permit or license system.
• The hazardous waste export program is a U.S. EPA program that will not be delegated to the
States.
• All exporters of materials (including hazardous waste) with a value exceeding $1,500 are
required to prepare a Shipper's Export Declaration (SED) indicating the number and type of
containers, the type of material (as indicated by classification codes established by the
Census Bureau), the units and weight of the shipments, and the value. Most exports of
hazardous waste for disposal will not require an SED. Conversely, exports of listed
hazardous waste to be recycled will frequently exceed $1,500 in value and win require an
SED. The SED may be an important ancillary source for information on cases involving
suspected sham recycling.
• Failure to file an SED or falsifying information on an SED are enforceable violations
under Census Bureau regulations. The inspector should verify that the primary exporter
has filed an SED for recycled materials. If no SED has been filed, further investigation
into recycling activities should be conducted.
• Below is a sample Acknowledgement of Consent that EPA will issue to an exporter and that
must accompany an export shipment:
May 19,1992
This document will serve as the EPA Acknowledgement of Consent for SCHUYLKILL
METALS CORPORATION, BATON ROUGE, LOUISIANA to export 250 TONS OF
NICKEL/CADMIUM BATTERIES (EPA HAZARDOUS WASTE NUMBER D0006) to
S.NAJL, CEDEX, FRANCE. This consent is VALID for the period of APRIL 28,
1992 TO APRIL 27,1993. Please be advised that a copy of this Consent must
accompany each shipment of hazardous waste and that a copy of the manifest must be left
with the US. Customs Service, when the material leaves the jurisdiction of the United
States.
Ill-47
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Exporter of Hazardous Waste: Requirements (continued)
§26254 Special Manifest Requirements
(a,b) The primary exporter must enter the name and site address of the consignee and
alternate consignee in place of information on the designated facility and
alternate facility.
(c) Primary exporter must identify the point of departure from the U.S.
(d) The following must be added to Item 16 of the Manifest: "and conforms to the terms
of the attached EPA Acknowledgment of Consent."
(e) The primary exporter must obtain the manifest form from the primary exporter's
State if the State supplies the manifest form and requires its use; if the primary
exporter's State does not require its use, the manifest may then be obtained from any
source. .
(f) The primary exporter must require the consignee to confirm in writing the
delivery of the hazardous waste to that facility and to describe any significant
discrepancies between the manifest and the shipment.
(g) If a shipment cannot be delivered to the designated or alternate consignee, the
primary exporter must:
(1) Renotify EPA to allow shipment to a new consignee and obtain an EPA
Acknowledgment of Consent prior to delivery; or
(2,3) Instruct the transporter to return the waste to the primary exporter or
designate another facility within the United States; and revise the manifest
in accordance with the primary exporter's instructions.
(h) The primary exporter must attach a copy of the EPA Acknowledgment of Consent to
the manifest that must accompany the hazardous waste shipment (similar rules
apply for exports by rail or water).
(i) The primary exporter must provide the transporter with an additional copy of the
manifest for delivery to the U.S. Customs official at the point the hazardous waste
leaves the United States.
§26255 Exception Reports
A primary exporter must file an Exfaeption Report with the Administrator if:
(a) He has not received a copy of the manifest signed by the transporter stating the date
and place of departure from the U.S. within 45 days of the date the waste was
accepted by the initial transporter;
(b) The primary exporter has not received written confirmation from the consignee
that the hazardous waste was received within 90 days of the date the waste was
accepted by the initial transporter; or
(c) The waste was returned to the U.S.
Ill-48
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Inspection Procedures - Sections 262.54 through 262.55
Kev Considerations:
• Has the exporter's file been reviewed? The correct information should be included on all
required reports and manifests. Some points that may be overlooked but are required are
(1) the point of departure from the U.S. and (2) the additional certification statement
included on Item 16 of the manifest.
• Has the transporter returned a signed copy of the manifest with the date and place of
departure within 45 days. If not, has the exporter filed an Exception Report for each export
of waste for which a manifest copy was not received?
• Has the primary exporter provided an extra copy of the manifest to the transporter for
delivery to the VS. Customs official at the point of departure from the VS.?
• Does the generator produce spent solvents, wastes containing heavy metals, or materials
contaminated with solvents or metals? Since these materials represent a large percentage
of exported wastes, the inspector should pay careful attention to how they are being disposed.
• Are wastes generated onsite and recycled offsite? If so, verify the location of the ultimate
recycling facility.
• Is the generator in Regions I, n, HI, or V? If so, exports should be carefully checked, as
more than 90% of waste exports originate in these Regions.
Before export, the exporter must have EPA Acknowledgement of Consent, and a copy must
accompany each shipment with the manifest. If the exporter is using a broker, the inspector should
question the nature of the arrangements made in order to verify that the export requirements will
be met.
Within 90 days from the date when the waste was accepted by the initial transporter, the
consignee must confirm in writing the delivery of the waste. The signed copy of the manifest may
be used as the confirmation, but other documents are acceptable. Compliance with the 90-day time
period should be verified by observing the date on the manifests. If 90 days have expired from the
date of shipment, the exporter should have written confirmation from the consignee. If the
shipment is not delivered as intended, the exporter must start exception reporting procedures by
renotifying EPA and obtaining a revised EPA Acknowledgment of Consent. The inspector should
verify that the exporter has obtained the revised Acknowledgment of Consent, which must be kept
on file for three years.
The ultimate TSDF in a receiving country is defined as the consignee and is not required
to have a U.S. EPA ID number. However, the primary exporter must enter the name and site
address of the consignee on the manifest.
Ill-49
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Exporter of Hazardous Waste: Annual Reports
§282^6 Annual Reports
(a) By March 1 of each year, primary exporters of hazardous waste must file with the
Administrator a report summarizing hazardous waste export activity during the
previous calendar year. Such reports shall include the following:
(1) The EPA ID number and the name, mailing address, and site address of the
exporter;
(2) The calendar year covered by the report;
(3) The name and site address of each consignee;
(4) By consignee, for each hazardous waste exported, a description of the hazardous
waste, the EPA hazardous waste number, the DOT hazard class, the name and EPA
ID number for each transporter used, the total amount of waste shipped, and the
number of shipments, pursuant to each notification;
(5) .Except for exports of 100 kg but less than 1000 kg of wastes per month, the following
must be included (in even numbered years):
(i) A description of the efforts undertaken during the year to reduce the volume
and toxicity of the waste generated; and
(ii) A description of the changes in volume and toxicity of waste achieved
during the reporting year compared with previous years.
(6) A certification signed by the primary exporter.
§26257 Recordkeeping
The exporter must keep a copy of each notification of intent to export, EPA
Acknowledgment of Consent, confirmation of delivery, and annual report for at least three years.
Ill-50
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Inspection Procedures - Sections 262.56 through 262.57
Kev Considerations:,
• Has the exporter filed an Annual Report? Does that report include the required items as
listed in 26&56
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OSWER Dir. No. 9938.02(b)
Manifest Re view
§262j60 Imports of Hazardous Waste
(a,b,c) Importers of hazardous waste must meet the manifest requirements of 262.20
except that the foreign generator's name and address and the importer's name,
address, and EPA ID number must be included in place of the generator's
information and the importer or his agent must sign and date the certification
and must obtain the initial transporter's signature on the manifest.
§282.70 Farmers
A farmer disposing of waste pesticides from his own use is not required to comply with the
hazardous waste management standards provided he triple rinses each emptied pesticide
container and disposes of the residues on his own farm in a manner consistent with the
instructions on the label.
Ill-52
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Inspection Procedures - Sections 262.60 through 262.70
Kev Considerations;
• Are the required information and signatures provided on the manifests?
Ill-53
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
TABLE m-8 TRANSPORTER REGULATORY REQUIREMENTS
Transporters: General Requirements
§263.11 EPA Identification Number
(a) A transporter must not transport hazardous wastes without an EPA ID.
§263.12 Transfer Facility Requirements
(a) A transporter who stores manifested shipments of hazardous waste at a transfer
facility in containers meeting requirements of §262.30, for a period of 10 days or
less, is not subject to regulation under Parts 270, 264, 265, and 268.
Ill-54
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Inspection Procedures - Sections 263.11 and 263.12
KPV Considerations:
• Has the transporter obtained an EPA identification number? Is the transporter using the
correct number? Verify by checking manifests or copies of manifests in the transporter's
possession.
• How Innghaa any waste shipment been stored at a transfer facility by the transporter?
If waste is stored for more than 10 days, the transporter must comply with the requirements
for storage, treatment, and disposal facilities. The inspector can check the dates on the manifest
in order to determine the date when the waste was accepted by the transporter. After accounting for
a reasonable travel time to reach the transfer station, the inspector can determine if the waste has
been held at the transfer station for more than 10 days.
• Transporters who bring hazardous waste into the United States must comply with theRCRA
generator standards.
Ill-55
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Transporters: Manifest System
§26&20 The Manifest System
(a) A transporter may not accept hazardous waste from a generator unless the waste is
accompanied by a manifest signed by the generator.
(b) Before transporting the hazardous waste, the transporter must sign and date the
manifest, acknowledging acceptance of the hazardous waste from the generator.
The transporter must return a signed copy to the generator before leaving the
generator's property.
(c) The transporter must ensure that the manifest accompanies the hazardous waste.
(d) A transporter who delivers hazardous waste to another transporter or to the
designated facility must:
(1) Obtain the date of delivery and the signature of that transporter, or of the
owner/operator of the designated facility, on the manifest;
(2) Retain one copy of the manifest; and
(3) Give the remaining copies of the manifest to the accepting transporter or
designated facility.
§26&21 Compliance with the Manifest System
(a) The transporter must deliver the entire quantity of hazardous waste which has been
accepted from the generator to:
(1) The designated facility listed on the manifest; or
(2) The alternate designated facility if waste cannot be delivered to the
designated facility; or
(3) The next designated transporter; or
(4) The place outside the U.S. designated by the generator.
(b) If hazardous waste cannot be delivered in accordance with section (a), the
transporter must contact the generator for further directions and revise the
manifest accordingly.
§263.22(a) Recordkeeping
(a) A transporter of hazardous waste must keep a signed copy of the manifest for a
period of three years from the date the hazardous waste was accepted by the initial
transporter.
Ill-56
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Inspection Procedures - Section 263.20 and 26&22(a)
Key Cqp si derations!
• Does an appropriately signed manifest accompany each shipment of waste? (see exceptions
for bulk shipments)
When transporting drums by truck, transporters will often combine shipments from
several generators located along an established route, and each shipment must have its own
manifest. However, most inspectors will have limited access to shipments in route and must
usually focus on a review of manifest files in order to verify that each shipment has a correctly
filed and signed manifest.
III-57
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Transporters: Bulk Shipments by Water
}263J20(e) Bulk Shipment by Water
(e)(l) In order to be exempt from the requirements of §263.20(c), (d), and (f), the transport
of hazardous waste delivered by water (bulk shipment) to the designated facility
must comply with the following procedures:
(2) A shipping paper containing all the information required on the manifest
(excluding the EPA ID numbers, generator certification, and signatures) must
accompany the hazardous waste;
(3) The delivering transporter must obtain the date of delivery and signature of the
owner/operator of the designated facility on either the manifest or the shipping
paper;
(4) The person delivering the hazardous waste to the initial water (bulk shipment)
transporter must obtain the date of delivery and signature of the water (bulk
shipment) transporter on the manifest and forward it to the designated facility; and
(5) A copy of the shipping paper or manifest must be retained by each water (bulk
shipment) transporter.
§263^20)) Reoordkeeping
(b) For shipments delivered to the designated facility by water (bulk shipments), each
water (bulk shipment) transporter must retain a copy of a shipping paper
containing all of the information required by §263.20(e)(2) for a period of three
years from the date the waste was accepted by the initial transporter.
Ill-58
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statcment(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Inspection Procedures - Sections 263.20(e) and 263.22(b)
• Are shipping papers used in lieu of manifests? Remember: bulk transporters by water can
use shipping papers in lieu of manifests.
• When shipping papers are used, do they contain the name, address, and phone number of
the generator; and the name of the transporter(s) and the name of the designated facility?
• Has the transporter retained a signed copy of the shipping paper or manifest for each
shipment for three years?
Ill-59
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Transporters: Bulk Shipment by Rail
§263.20(0 Bulk Shipment by RaU
(f)(D When accepting hazardous waste from a non-rail transporter, the initial rail
transporter must:
(ii) Return a signed and dated copy of the manifest to the non-rail transporter;
(iii) Forward at least three copies of the manifest to:
(A) The next non-rail transporter, if any; or
(B) The designated facility, if the shipment is delivered to that facility
by rail; or
(C) The last rail transporter designated to handle the waste in the
United States; and
(iv) Retain one copy of the manifest and rail shipping paper.
(2) Rail transporters must ensure that a shipping paper containing all of the
information required on the manifest (excluding the EPA ID numbers, generator
certification, and signatures) accompanies the hazardous waste at all times.
(3) When delivering hazardous waste to the designated facility, a rail transporter
must:
(i) Obtain the date of delivery and the signature of the owner/operator of the
designated facility on the manifest or the shipping paper (if the manifest
has not been received by the facility); and
(ii) Retain a copy of the manifest or signed shipping paper.
(4) When delivering hazardous waste to a nonrail transporter, a rail transporter
must:
(i) Obtain the date of delivery and the signature of the next nonrail transporter
on the manifest; and
(ii) Retain a copy of the manifest.
(5) Before accepting hazardous waste from a rail transporter, a nonrail transporter
must sign and date the manifest and provide a copy to the rail transporter.
§263.22(c) Recordkeeping
(c) For shipments of hazardous waste by rail within the United States:
(1) The initial rail transporter must keep a copy of the manifest and shipping paper
with all of the information for three years from the date of the waste accepted for
transport.
Ill-60
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statcmcnt(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Inspection Procedures - Sections 263.20(f) and 263.22(c)
Kev Considerations:
• Are shipping papers, rather than manifests, accompanying each shipment? Note: bulk
transporters by rail may forward the manifest and use shipping papers instead to
accompany each shipment.
• When shipping papers are used, do they contain the name, address, and phone number of
the generator, and the name of the transporters) and the name and address of the
designated facility? Note: intermediate rail transporters are not required to sign either
the manifest or shipping papers.
• Has the rail transporter retained a signed copy of the shipping papers or manifest for each
shipment for three years from the date the waste was accepted for transportation by the
initial transporter?
Ill-61
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Transporters: Bulk Shipment by Rail (continued)
§28&2(Xg) Export of Hazardous Waste
(g) A transporter who transports hazardous waste out of the United States must:
(1) Indicate on the manifest the date the hazardous waste left the United States;
(2) Sign the manifest and retain one copy;
(3) Return a signed copy of the manifest to the generator; and
(4) Give a copy of the manifest to a U.S. Customs Official.
Ill-62
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Inspection Procedures - Section 263.20(g)
Kev Considerations:
Do all manifests on file with a transporter who ships outside the U.S. include the date the
waste left the U.S., as well as all general information?
Has the transporter retained a signed copy of a manifest for each shipment for three years?
Ill-63
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
TABLE m-4 INTERIM STATUS FACILITY REGULATORY REQUIREMENTS
General Facility Standards
§285.1 Purpose, Scope, and Applicability
(c) The requirements of this part do not apply to:
(1) Ocean disposal subject to MPRSA permit
(2) [Reserved]
(3) Owner/operator of a POTW
(4) Storage, treatment or disposal of hazardous waste in a State authorized
under RCRA Part 271 (Note: State requirements apply instead.)
(5) State permitted, licensed, or registered municipal or industrial solid waste
facilities that only manage excluded hazardous waste
(6) Facilities managing recyclable materials, except as subparts C, D, F, or G
of Part 266 require otherwise
(7) A generator accumulating waste on site in compliance with §262.34
(8) A farmer disposing of waste pesticides from his own use in compliance with
§262.70
(9) Totally enclosed treatment facilities, as defined in §260.10
(10) An elementary neutralization unit or wastewater treatment unit, as
defined in §260.10
(11) Treatment or containment during immediate response activities following
a release of hazardous waste or material that becomes a waste when
discharged
(12) Transporters holding waste at transfer facilities for less than 10 days
(13) Adding of absorbent materials to a waste in a container.
§265.11 Identification (ID) Number
Every facility owner/operator must have an EPA identification number.
§265.12 Required Notice
(a) The owner/operator of a facility that has arranged to receive hazardous waste from
a foreign source must notify the Regional Administrator in writing at least four
weeks in advance of the date that the waste is expected to arrive at the facility.
(b) Before transferring ownership or operational control the owner/operator must
notify the new o/o in writing of these requirements.
Ill-64
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Inspection Procedures - Sections 265.1,265.11, and 265.12
Kev Considerations; ,
• Does the TSDF have an identification number, and is the number being used appropriately
on manifests, required reports, notifications, and other necessary documents?
• Are all exemptions or excluded units appropriately excluded? Review processes at the
facility in order to confirm that any exemptions or exclusions are appropriately made.
• Are copies of all notices retained in a facility's operating record?
During an inspection, the inspector should ask the owner/operator if they accept
shipments of foreign wastes or other recycled materials, and whether these wastes have been
evaluated to see if they meet the criteria in Part 261. The inspector should identify all foreign
generated wastes received at the site and verify that the waste corresponds with the notices that
have been filed. Receiving any foreign hazardous waste without filing appropriate notice
constitutes a violation.
Ill-65
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
General Waste Analysis
§265.13 General Waste Analysis
(a)(l) Before an owner/operator manages any hazardous waste, he must obtain a detailed
chemical and physical analysis of a representative sample of the waste.
(b) The owner/operator must develop and follow a written waste analysis plan which
describes the procedures which he will carry out to comply with paragraph (a). The
plan must specify:
(1) The parameters for which each hazardous waste or non-hazardous waste
will be analyzed;
(2) The test methods which will be used to test for these parameters;
(3) The sampling method which will be used to obtain a representative
sample of the waste to be analyzed;
(4) The frequency with which the initial analysis of the waste will be
repeated;
(5) For off-site facilities, the waste analysis that hazardous waste generators
have agreed to supply;
(6) The methods which will be used to meet the additional waste analysis
requirements for specific waste management units and LDR; and
(7) The schedule for sampling, analyzing, and annual removal of residues
(see §260.22) for surface impoundments exempt from LDR under §268.4
procedures.
(c) For off-site facilities, the waste analysis plan required in paragraph (b) of this
section must also specify the procedures which will be used to inspect and analyze
each movement of hazardous waste received at the facility.
Ill-66
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Inspection Procedures - Section 265.13
Remember:
Review the facility's written waste analysis plan before checking the file of waste
analyses.
Make sure that the methods described in Part 261 and SW 846 are acceptable for sampling
and analysis.
The waste analysis plan must be adequate for determining whether a waste is subject to the
land disposal restrictions. The initial identification and classification of wastes by the
generator will determine whether the wastes are subject to the LDR program, whether they
are eligible for variances, and the treatment standards which must be complied with.
Generators storing waste onsite for more than 90 days must have a waste analysis plan.
Be on the lookout for waste or waste streams that have not been tested, or have been tested at
incorrect points of compliance.
If more than one waste analysis plan exists or existed, determine the applicability of each
plan with respect to the time frame of the inspection and which plan is currently in effect. The
plans for offsite facilities may define different waste analysis criteria for the types of waste it is
currently accepting. It is a good idea to prepare lists of the various wastes handled at the facility
prior to examination of the records.
Offsite facilities must have procedures to verify that the waste matches the identity of the
waste on the manifest by inspecting each waste movement and performing analysis when the
actual wastes are suspected to be different from the waste identified on the manifest. It is the
inspector's responsibility to determine if the facility's plan is adequate and adhered to. This
includes reviewing the waste analysis procedures to see if they can identify all of the
characteristics of the anticipated waste types. When pre-acceptance determinations are made
through actual testing, inspection of the laboratory facility may be called for.
If a waste analysis plan is adequate, the inspector should verify that the waste analysis is
performed for each waste stored over 90 days in the manner required and specified in the plan.
Records of the analyses must be kept on file as part of the operating record.
At facilities where wastes are generated and disposed of onsite, and where records or
analyses necessary for offsite disposal are not required, the inspector should be especially careful
to check for waste or waste streams that have not been tested. If an owner/operator maintains that a
particular waste has not been tested because it is not hazardous, he must provide justification, such
as Material Safety Date Sheet forms or process information providing waste content, to support this
determination.
A facility can use data supplied by generators to satisfy the analysis requirements in
§265.13(a). Treatment and disposal facilities may generally rely on information provided to
them by generators or treaters of the waste. However, treatment and disposal facilities must
conduct periodic detailed physical and chemical analysis on their waste streams, pursuant to
§268.7(b) and (c), to ensure that appropriate Part 268 treatment standards are being met
III-67
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Security
§265.14 Security
(a) The owner/operator must prevent unknowing entry, and minimize the possibility
for the unauthorized entry, of persons or livestock onto the active portion of his
facility unless contact with waste, structures, or equipment will not injure persons
or livestock.
(b) Unless exempt, a facility must have:
(1) A 24 hour surveillance system; or
(2)(i) An artificial or natural barrier which completely surrounds the active
portion of the facility; and
(ii) A means to control entry, at all times, through gates or other entrances to the
active portion of the facility.
(c) Unless exempt, a sign with the legend, "Danger-.-Unauthorized Personnel Keep
Out," must be posted at each entrance to the active portion of a facility, and at other
locations, in sufficient numbers to be seen from any approach to the active portion,
and be legible from a distance of at least 25 feet.
Ill-68
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Inspection Procedures - Section 265.14
Kev Considerations;
• Do non-exempt facilities have a 24-hr surveillance system equivalent to either guards or
television monitoring the active portion of the site, or do they have a barrier around the
active portion of the site and a means to control entry, such as locked or monitored gates?
• Is all monitoring equipment functional and used properly? Are all locks functioning
properly?
• Are a sufficient number of signs with the warning "Danger - Unauthorized Personnel
Keep Out" posted at each entrance and at other locations in order to be seen from any
approach?
Note: security may be around an entire complex of units or around individual units.
The danger signs need to be written in English and in any other language predominant in
the area surrounding the facility. An example would be the required use of Spanish on a sign at a
facility located in a county bordering Mexico.
Ill-69
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
General Inspection Requirements
§265.15 General Inspection Requirements
(a) The owner/operator must inspect his facility for malfunctions and deterioration,
operator errors, and discharges which may lead to any release of hazards.
(b)(l) The owner/operator must develop and follow a written schedule for inspecting all
monitoring equipment, safety and emergency equipment, security devices, and
operating and structural equipment.
(2) The schedule must be kept at the facility.
(3) The schedule must identify the types of problems which are to be looked for during
inspections.
(4) The frequency of inspection may vary for the items on the schedule. Areas subject
to spills, such as loading and unloading areas, must be inspected daily when in
use.
Note: §§265.174, 265.193, 265.195,265.226, 265.260, 265.278, 265.304, 265.347, 265.377,
265.403,. 265.1033, 265.1052, 265.1053, and 265.1058 establish inspection frequencies
which must be complied with when appropriate.
(c) The owner/operator must remedy any deterioration which an inspection reveals in
accordance with a schedule which ensures that the problem does not lead to an
environmental hazard. Where a hazard is imminent or has already occurred,
remedial action must be taken immediately.
(d) The owner/operator must record inspections in an inspection log. These records
must include the date and time of the inspection, the name of the inspector, a
notation of the observations made, and the date and nature of any repairs. These
records must be kept for at least three years.
Ill-70
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Inspection Procedures - Section 265.15
Remember!
• Review the facility's inspection schedule. The schedule and list of items to be checked
should be included in the facility's log book.
• The items being inspected by the facility should include monitoring equipment, safety
equipment, emergency response equipment, security devices, and operational and
structural equipment.
• The schedule should specifically list the components being inspected and define the
problems that might occur, e.g., deterioration of a liner, loss of pressure in a self-contained
breathing apparatus.
• The frequency of inspection may vary, but areas subject to spills such as loading and
unloading areas must be inspected daily when in use.
• The facility's inspections must be recorded in a log book or other summary. Each
inspection should be dated, the inspector's full name recorded, all observations noted, and
the date and nature of any repairs recorded.
The inspector should review all log book entries in order to determine whether inspections
are being conducted with the specified frequency. The inspector should also note the number of
times that a facility inspector has observed problems.
Facilities with logbooks without any visual observations recorded should be suspect as to
whether the inspections are being done adequately or at all. Look at the most recent observation
logs and see if your observations of the areas or unit agree with the log. It is also critical to check
whether the facility has appropriately made repairs and recorded the nature and date of those
repairs in the log. The inspection records must be kept for three years.
Ill-71
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Personnel Training
§265.16 Personnel Training
(a)(l) Facility personnel must successfully complete a program of training that teaches
them to perform their duties in a way that ensures the facility's compliance with
applicable requirements.
(2) This training program must be directed by a person trained in hazardous waste
management procedures and must include instruction in hazardous waste
management procedures relevant to the positions in which facility personnel are
employed.
(3) At a minimum, the training program must be designed to ensure that facility
personnel are able to respond effectively to emergencies.
(b) Facility personnel must successfully complete the training program within six
months after the effective date of their employment or assignment to a facility, fir to
a new position at a facility,
(c) Facility personnel must take part in an annual review of the initial training.
(d) The facility owner/operator must maintain the following documents at the facility:
(1) The job title for each position related to hazardous waste management, and the
name of the employee holding the position;
(2) A written job description for each position listed;
(3) A written description of the type and amount of both introductory and continuing
training that will be given to each person; and
(4) Records documenting that the training or job experience requirements have been
met.
(e) Training records on current personnel must be kept until closure of the facility.
Training records on former employees must be kept for at least three years from the
date the employee last worked at the facility.
Ill-72
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Inspection Procedures - Section 265.16
Kev Considerations:
• Has the documentation of a facility's personnel training program been reviewed?
• Has everyone mentioned in the contingency plan been trained?
• Has a job title been given for each position? Be sure that a current employee's name is
listed, and that a job description is provided.
• Is a description of the training to be provided and the training actually received by the
employee also included?
• Is training reviewed annually with the employees?
• The owner/operator must identify the people that need training before a training program
can be provided. Ask how the people given training were identified and assess whether
this'is a thorough approach.
The owner/operator must document that training has been provided to the facility
personnel. Common forms of documentation include training session sign-up sheets or other
means whereby each employee signs and dates a record once the training or annual update has
been given. Note: Documentation of training may not be possible where workers do not have
hazardous waste handler job classification due to union rules.
A facility's training program must enable personnel to respond effectively to
emergencies. If possible, the inspector should ask to speak to a few employees to determine if they
are familiar with steps to be taken in the case of a spill or similar emergency; in this way, he may
be better able to verify that employee training has been provided. The determination whether a
training program is adequate is often a professional judgment, but the inspector can refer to
appropriate guidance in this matter.
«** See discussion of OSHA/RCRA interface in Appendix I, "Keeping Up With RCRA."
• When initiating discussions with facility employees, an inspector should practice active
listening which can often lead to uncovering additional facility problem areas.
• Both initial training and annual training updates must occur.
• Training must include emergency response training.
HI-73
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Ignitable, Reactive, or Incompatible Wastes
§265.17 General Requirements for Ignitable, Reactive, or Incompatible Wastes
(a) These wastes must be separated and protected from sources of ignition or reaction,
including but not limited to: open flames, smoking, cutting and welding, hot
surfaces, frictional heat, sparks, spontaneous ignition, and radiant heat. While
ignitable waste is being handled, the owner/operator must confine smoking and
open flame to specially designated locations. "No smoking" signs must be
conspicuously placed wherever there is a hazard from ignitable or reactive wastes.
(b) Where required under Part 40, the treatment, storage, or disposal of ignitable or
reactive wastes, and the mixture of incompatible wastes must be conducted so that
they do not:
(1) Generate extreme heat or pressure, fire or explosion, or violent reaction;
(2) Produce uncontrolled toxic mists, fumes, dusts, or gases in sufficient quantity to
threaten human health;
(3) Produce uncontrolled flammable fumes or gases in sufficient quantities to pose a
risk of fires or explosions; or
(4) Damage the structural integrity of the device or facility containing the waste.
Ill-74
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Inspection Procedures - Section 265.17
KPV Considerations:
Does a facility handle ignitable or reactive wastes, or wastes that might be incompatible
when mixed? Determine this by reviewing the waste manifests or the waste analyses that
are part of the operating record.
Are "no smoking" signs placed conspicuously at facilities that handle ignitable wastes,
and is the smoking ban enforced?
Do any containers or tanks contain ignitable, reactive, or incompatible wastes? Is there
any evidence of bulging or off-gassing? Wastes must not be allowed to damage
containment structures and thereby cause releases.
Specific requirements for handling ignitable, reactive, or incompatible wastes are given
under the unit specific subparts (I through R) of this section. Refer to Appendix V, "Additional
Resources," for references that may provide additional information.
Care must be taken to keep ignitable or reactive wastes away from sources of ignition or
reaction.
Ill-75
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(a) contained herein.
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OSWER Dir. No. 9938.02(b)
Subpart C • Preparedness and Prevention
§26531 Maintenance and Operation of the Facility
Facilities must be maintained and operated to minimize the possibility of any unplanned,
sudden or non-sudden, release of hazardous waste or constituents to air, soil, or surface water.
§26532 Required Equipment
All facilities must be equipped with the following, unless none of the hazards posed by
waste handled at the facility could require a particular kind of equipment specified below:
(a) An internal communications or alarm system;
(b) A device, such as a telephone, capable of summoning emergency assistance from
local emergency response teams;
(c) Portable fire extinguishers, fire control equipment, spill control and
decontamination equipment; and
(d) Water at adequate volume and pressure to supply water hose streams, or foam
producing equipment.
§26533 Testing and Maintenance of Equipment
All safety equipment must be tested and maintained.
§26534 Access to Communications or Alarm Systems
(a) Whenever hazardous waste is being handled, all personnel involved must have
immediate access to an internal alarm or emergency communication device.
Ill-76
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Inspection Procedures - Subpart C, Sections 265.31 through 265.34
Kev Considerations:
• What is the general appearance and housekeeping of the facility? Are any potential
problems apparent during the visual inspection phase?
• Are any inoperative devices and deteriorated, patched, or jury-rigged equipment apparent?
• Hie inspector should:
• - Ask to see the type of internal and external communication systems in use at the
facility.
- - Look for fire extinguishers and other equipment such as hoses, sprinklers, or foam; the
equipment should be maintained and in good condition.
Ill-77
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Subpart C • Preparedness and Prevention (continued)
§265.35 Required Aisle Space
The owner/operator must maintain aisle space to allow the unobstructed movement of
personnel, fire protection equipment, and spill control equipment to any areas of the facility.
§265\37 Arrangements with Local Authorities
(a) The owner/operator must attempt to make:
(1) Arrangements to familiarize emergency response teams with the layout of
the facility, properties of the hazardous waste handled at the facility, and
associated hazards;
(2) Agreements designating primary emergency authority and agreements
with any other authorities to provide support;
(3) Agreements with State emergency response teams, emergency response
contractors, and equipment suppliers; and
(4) Arrangements to familiarize local hospitals with the properties of
hazardous waste handled at the facility and associated hazards.
(b) The owner/operator must document in the operating record situations in which
State or local authorities decline to enter into such arrangements.
Ill-78
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Inspection Procedures • Subpart C, Sections 265.35 through 265.37
Kev Conaiderationa!
• Have all local authorities been made aware of potential dangers at the site? Ask to see the
agreements made with all appropriate local emergency response teams.
The owner/operator should provide proof that all local authorities were contacted, such as
by producing a certified or registered letter, and that such authorities either agreed to a plan or
have declined to participate.
The inspector should also verify that aisle space is adequate and unobstructed. A good
rule-of-thumb is to determine whether the aisle space is adequate for the removal of one drum, or is
at least two feet wide. Every individual drum must be able to be inspected and, in some cases,
emergency equipment must have room to pass through the aisle space.
Ill-79
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Subpart D - Contingency Plan and Emergency Procedures
§285J51 Purpose and Implementation of Contingency Flan
(a) Each owner/operator must have a contingency plan for his facility which is
designed to minimize hazards to human health or the environment from fires,
explosions or any fires, explosions or unplanned releases of hazardous waste or
waste constituents.
(b) The provisions of the contingency plan must be carried out whenever there is a
situation which could threaten human health or the environment.
§265.52 Content of Contingency Plan
(a) The contingency plan must describe the actions facility personnel must take with
respect to any fires, explosions, or unplanned sudden or non-sudden release.
(b) If the owner/operator has already prepared a Spill Prevention, Control, and
Countermeasures Plan, he need only amend that plan to incorporate hazardous
waste management provisions.
(c) The contingency plan must describe arrangements agreed to by local emergency
response teams.
(d) The contingency plan must list names, addresses, and phone numbers of all
persons qualified to act as emergency coordinator, and this list must be kept up to
date.
(e) The contingency plan must include a list of all emergency equipment. In
addition, the contingency plan must include the location and a physical description
of each item on the list, and a brief outline of its capabilities.
(f) The contingency plan must include an evacuation plan for facility personnel.
§26553 Copies of Contingency Plan
A copy of the contingency plan must be:
(a) Maintained at the facility; and
(b) Submitted to all local emergency response teams.
Ill-80
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Inspection Procedures - Subpart D, Sections 265.51 through 265.53
Considerations;
• Is the copy of the contingency plan on file at the facility detailed enough to deal with site-
specific incidents?
• Does the contingency plan specify the name(s) of an emergency coordinator, his address,
and office and home phone number? Is at least one backup or alternate emergency
coordinator identified to ensure that one person is available at all times?
Does the contingency plan include a list of all emergency equipment, as well as the
location and general description of the capabilities of each item listed?
Has a copy of the contingency plan been kept on file at the facility and another sent to local
emergency response teams (police, fire departments)? Ask to see signed receipts of these
plans from the appropriate agencies. Certified or registered mail receipts are acceptable,
though the absence of a receipt is not, on its own, a violation of the regulations.
The contingency plan is required to be updated when personnel or equipment change, but
this requirement is often overlooked. The inspector should verify that the individuals listed are
current and that all the equipment listed can be located by the descriptions given. The inspector
should ask to see selected equipment identified on the list to personally verify that at least certain
safety equipment, such as showers or eye washes, work.
Ill-81
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Subpart D - Contingency Plan and Emergency Procedures (continued)
§265.54 Amendment of Contingency Plan
The contingency plan must be reviewed, and immediately amended, whenever:
(a) Regulations are revised;
(b) The plan fails in an emergency;
(c) The facility changes in such a manner that the new design or other circumstances
increase 'the potential of hazardous waste releases, or require a change in
emergency response procedure;
(d) The list of emergency coordinators changes; or
(e) The list of emergency equipment changes.
§265.55 Emergency Coordinator
At all times, there must be at least one employee at the facility or on call with the
responsibility for coordinating all emergency response measures.
§265.56 Emergency Procedures
(a) When there is an emergency situation, the emergency coordinator must:
(1) Activate internal facility alarms; and
(2) Notify appropriate State or local agencies.
(b) The emergency coordinator must immediately identify the character, exact source,
and amount of any released materials.
(c) The emergency coordinator must assess possible hazards to human health or the
environment that may result from the release.
(d) If the facility has had a fire, explosion, or release, the emergency coordinator must
report his findings to appropriate local authorities and the National Response
Center or the 40 CFR Part 1510 on-scene coordinator.
(g) Immediately after an emergency, the emergency coordinator must provide for
treating, storing, or disposing of recovered waste, contaminated soil or any other
material that results from a fire, explosion, or release.
(j) The time, date, and details of any incident that requires implementing the
contingency plan must be recorded in the operating record. Within 15 days after
the incident, the emergency coordinator must submit a written report on the
incident to the Regional Administrator.
Ill-82
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Inspection Procedures • Subpart D, Sections 265.54 through 265.56
Kev Considerations!
• Are the emergency coordinator and backup trained to carry out the provisions of the
contingency plan?
During the file review, the inspector should look for reports of incidents requiring the
implementation of the contingency plan. Special note should be made of situations in which the
contingency plan should have been implemented but was not.
A facility must file a report with the Regional Administrator within fifteen days of any
incident. During the inspection of a facility reporting such an incident, the inspector should view
the involved area in order to check that any spilled or released material had been contained and
disposed of properly, and that any equipment which was used has been decontaminated and is fit
for reuse.
Ill-83
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Subpart E - Manifest System and Discrepancies
§265.71 Use of the Manifest System
(a) If a facility receives hazardous waste accompanied by a manifest, the
owner/operator must:
(1) Sign and date each copy of the manifest;
(2) Note any significant discrepancies between the manifest and the waste;
(3) Give the transporter at least one copy of the manifest;
(4) Within 30 days, send a signed copy of the manifest to the generator; and
(5) Retain a copy of the manifest at the facility for at least three years from the date of
delivery.
§265.72 Manifest Discrepancies
(a) Manifest discrepancies are differences between quantity or type of hazardous waste
designated on the manifest and the quantity or type of hazardous waste a facility
actually receives. Significant discrepancies include: (1) for bulk waste,
variations greater than 10 percent in weight; and (2) for batch waste, any variation
in piece count.
(b) Upon discovering a significant discrepancy, the owner/operator must attempt to
reconcile the discrepancy with the waste generator or transporter. If the
discrepancy is not resolved within 15 days, the owner/operator must immediately
submit to the Regional Administrator a letter describing the discrepancy and
attempts to reconcile it, and a copy of the manifest.
Ill-84
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Inspection Procedures - Subpart E, Sections 265.71 and 265.72
Kev Considerations;
• Has a facility accepting offsite waste retained for three years signed and dated copies of
manifests for the wastes it accepted?
• Has the facility, within 30 days of the receipt of the waste, returned a signed and dated copy
of the manifest to the generator? Observe the dates on generator return copies to see if they
are being held for longer than 30 days.
• Are there any discrepancies in files which must be recorded on the manifest document?
• Are any changes, cross-outs or write-overs evident in the manifests? If so, they should be
closely reviewed.
Significant discrepancies in quantity are a variation of 10% for bulk waste and one piece,
e.g. drums, for any batch waste. Incorrectly or inadequately identified waste is also a significant
discrepancy. For any discrepancies noted on any manifest, the facility must have attempted to
reconcile the discrepancy with the transporter(s) and generator within 15 days. Ask for
verification of these attempts, such as letters or notes from a phone conversation. If the
discrepancy was not resolved, the inspector should verify that a letter was sent to the Regional
Administrator, describing the discrepancy and attempts to reconcile it and including a copy of the
manifest at issue.
Ill-85
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement^) contained herein.
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OSWER Dir. No. 9938.02(b)
Subpart E - Operating Record
§265.73 Operating Record
(a) A written operating record must be kept at each facility.
(b) The following information must be recorded, as it becomes available, and
maintained in the operating record until closure of the facility:
(1) A description and an indication of the quantity of each hazardous waste
received, and the method(s) and date(s) of its treatment, storage, or
disposal;
(2) The location of each hazardous waste within the facility and the quantity at
each location. Include cross-references to specific manifest document
numbers, for waste accompanied by a manifest;
(3) Records and results of waste analyses and trial tests;
(4) Summary reports and details of all incidents that require implementing
the contingency plan;
(5) Records and results of inspections;
(6) Monitoring, testing, or analytical data where required;
(7) All closure cost estimates and post-closure cost estimates; and
(8) Notices and certification for land disposal ban.
§265.74 Availability, Retention, and Disposition of Records
(a) All records must be furnished upon request, for inspection.
(c) A copy of records of waste disposal locations and quantities must be submitted upon
closure of the facility.
Ill-86
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Inspection Procedures - Subpart E, Sections 265.73 and 265.74
Kev Considerations:
• Has the operating record been reviewed carefully? The review of the operating record is
very important to the inspection of any TSDF.
• Does a facility's operating record contain all of the required information?
• Have all records and results of onsite inspections been kept as part of the operating record
for three years?
Inspector should note that facilities often do not have all the items listed in §265.73(b)(l-8)
in one file or designated area. If the information is somewhere on-site, the requirement is being
met. Inspectors should, however, encourage owners/operators to gather these items in one central
area under the control of one designated individual.
III-87
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Subpart E - Additional Reports
§265.75 Biennial Report
The owner/operator must submit a copy of a biennial report to the Regional Administrator
by March 1 of each even numbered year. The following information must be included:
(a) The EPA identification number, name, and address of the facility;.
(b) The calendar year covered by the report;
(c) For off-site facilities, the EPA identification number of each hazardous waste
generator;
(d) A description and the quantity of each hazardous waste received during the year;
(e) The method of treatment, storage, or disposal for each hazardous waste;
(f) Monitoring data where required;
(g) The most recent closure cost estimate and the most recent post-closure cost estimate;
(h&i) Description of waste minimization efforts; and
(j) A certification signed by the owner/operator of the facility.
§265.76 Unmanifested Waste Report
If a facility accepts any hazardous waste from an off-site source without an accompanying
manifest and if the waste is not excluded from the manifest requirement, then the owner/operator
must prepare and submit a single copy of a report to the Regional Administrator within fifteen
days after receiving the waste. Such report must be designated "Unmanifested Waste Report" and
include the following:
(a) The EPA identification number, name, and address of the facility;
(b) The date the facility received the waste;
(c) The EPA identification number, name, and address of the generator and the
transporter, if available;
(d) A description-and the quantity of each unmanifested hazardous waste;
(e) The method of treatment, storage, or disposal for each hazardous waste;
(f) The certification signed by the owner/operator of the facility; and
(g) A brief explanation of why the waste was unmanifested.
Ill-88
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statemenl(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Inspection Procedures • Subpart E, Sections 265.75 through 265.77
Remember;
• Ask to see the facility's Biennial Report and, if it is available, review the report for
completeness (if it was not reviewed prior to the inspection).
• Review the unmanifested waste reports from facilities that accept waste from off-site
generators. These documents should be reviewed for completeness.
• Be aware that conditionally exempt SQG wastes are excluded from the manifest
requirement. See §265.76(g) for an explanation of what an owner/operator should do when
receiving hazardous wastes from conditionally exempt SQGs.
• Ask to see any additional reports req ed under 40 CFR 265.77 for release, fire, explosion,
ground-water contamination, and c^
Ill-89
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Subpart E - Additional Reports (continued)
§265.77 Additional Reports
The owner/operator must also report to the Regional Administrator:
(a) Releases, fires, and explosions;
(b) Ground-water contamination and monitoring data;
(c) Facility closure; and
(d) Reports required under Part 265 Subparts AA and BB.
Ill-90
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
For Inspection Procedures, refer to first page of discussion for this subject heading.
Ill-91
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Subpart F • Ground Water Monitoring
§26550 Applicability
The owner/operator of a surface impoundment, landfill, or land treatment facility which
is used to manage hazardous waste must implement a ground-water monitoring program capable
of determining the facility's impact on the quality of ground water in the uppermost aquifer.
§26551 Ground Water Monitoring System
(a) A ground water monitoring system must consist of:
(1) Monitoring wells (at least one) installed hydraulically upgradient.
(2) Monitoring wells (at least three) installed hydraulically downgradient at
the limit of the waste management area.
(c) All monitoring wells must be cased in a manner that maintains the integrity of the
monitoring well bore hole.
§26552 Sampling and Analysis
The owner/operator must also report to the Regional Administrator:
(a) The owner/operator must develop and follow a ground water sampling and
analysis plan. The plan must include procedures and techniques for:
(1) Sample collection;
(2) Sample preservation and shipment;
(3) Analytical procedures; and
(4) Chain of custody control.
(b) The owner/operator must determine the concentration or value of the parameters
specified in this paragraph:
(1) Parameters characterizing the suitability of the ground water as a
drinking water supply;
(2) Parameters establishing ground water quality; and
(3) Parameters used as indicators of ground water contamination.
Ill-92
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Inspection Procedures - Subpart F, Sections 265.90 through 265.94
Important:
The Subpart F CEI inspection is not to be confused with the CME or O&M inspections which
go beyond the scope of the CEI in evaluating ground water monitoring.
Since determining a facility's compliance with Subpart F is a very important component of
ensuring a facility's overall compliance with RCRA, the inspector should review and refer to the
RCRA Ground-Water Monitoring Technical Enforcement Guidance Document (TEGD). Also, he
should refer to the RCRA Laboratory Audit Inspection Guidance manual if possible. This manual
addresses the identification of error in monitoring well data.
Ill-93
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Subpart F - Ground Water Monitoring (continued)
§26553 Preparation, Evaluation, and Response
(a) The owner/operator must prepare an outline of a ground water quality assessment program
that is capable of determining:
(1) Whether hazardous waste or hazardous waste constituents have entered the ground
water;
(2) The rate and extent of migration; and
(3) The concentrations of hazardous waste or hazardous waste constituents.
(c)(l) If the comparisons for the upgradient wells show a significant increase (or pH
decrease), the owner/operator must submit this information to the Regional
Administrator.
(2) If comparisons of downgradient wells show a significant increase (or pH decrease),
the owner/operator must then immediately obtain additional ground water samples
from downgradient wells where a significant difference was detected, to determine if
the significant difference was the result of laboratory error.
(d)(l) If the analyses performed confirm the significant increase (or pH decrease), the
owner/operator must provide written notice to the Regional Administrator-within
seven days of the date of obtaining such confirmation.
(2) . Within 15 days after notification is provided to the Regional Administrator, the
owner/operator must submit to the Regional Administrator a specific plan for a ground
water quality assessment program at the facility.
§265.94 Record Keeping and Reporting
(a) Unless the ground water is monitored to satisfy the requirements of §265.93(d)(4), the
owner/operator must:
(1) Keep records of required analyses, associated ground water elevations and the
evaluations required throughout the active life of the facility, and for disposal
facilities, throughout the post-closure care period as well;
(2) Report the following ground water monitoring information to the Regional
Administrator:
(i) During the first year: concentrations of the parameters listed in §265.92(b)(l);
(ii) Annually: concentrations of the parameters listed in 265.92(b)(3);
(iii) No later than March 1 following each calendar year: results of the evaluations
of ground water surface elevations.
111-94
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statemcnt(s) contained herein.
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OSWER Dir. No. 9938.02(b)
For Inspection Procedures, refer to first page of discussion for this subject heading.
111-95
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Subpart G - Closure and Post-Closure
§265.112 Closure Plan
(a) By May 19,1981 or by the end of six months after the effective date of the rule that
first subjects a facility to the closure/post-closure requirements, the owner/operator
of a hazardous waste management facility must have a written closure plan.
(b) The written closure plan must identify steps necessary to perform partial and/or
final closure of the facility.
(c) The owner/operator may amend the closure plan at any time prior to the
notification of partial or final closure of the facility. If the plan has been approved,
the owner/operator must submit a written request for approval of a change to the
Regional Administrator. Certain facility changes require owners/operators to
revise their closure plans.
(d) The owner/operator must submit the closure plan to the Regional Administrator at
least 180 days prior to the date on which he expects to begin closure of the first
surface impoundment, waste pile, land treatment, or landfill unit, or final closure
if it involves such a unit. If the owner/operator has an approved closure plan, the
Regional Administrator must be notified at least 60 days prior to closure.
The owner/operator must submit a closure plan to the Regional Administrator at
least 45 days prior to the date on which he expects to begin final closure of a facility
having only tanks, container storage, or incinerator units. If the owner/operator
has an approved closure plan, the Regional Administrator must be notified at least
45 days prior to closure. The owner/operator of a boiler or industrial furnace must
submit a closure plan to the Regional Administrator at least 45 days prior to the date
on which he expects to begin partial or final closure. If the owner/operator of a
boiler or industrial furnace has an approved closure plan, the Regional
Administrator must be notified at least 45 days prior to partial or final closure.
Ill-96
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Inspection Procedures - Subpart G, Section 265.112
Kev Considerations;
• Has the closure plan been updated and current?
Note: only facilities with approved closure plans are required to submit a request to EPA in
order to change their closure plans.
In the case of many interim status facilities, the inspector is the only official that has an
opportunity to evaluate the completeness of a plan prior to closure and submittal of the plan to the
Administrator. Therefore, the inspector should closely evaluate the contents of the plan to verify
that the required steps are adequately addressed and that all units are covered by the plan.
The owner/operator must expect to begin closure within 30 days after receiving the last
shipment of waste, and notification and submittal of the closure plan to EPA must occur by the
specified time period depending upon the nature of the unit. If the inspector feels that a unit does
not have the capacity to manage additional wastes, he should question the owner/operator about the
anticipated date when operations cease and the submittal of the closure plan in the required time
period.
111-97
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Subpart G - Closure and Post-Closure (continued)
§265.113 Closure
(a) Within 90 days after receiving the final volume of hazardous wastes, or within 90
days after approval of the closure plan, the owner/operator must treat, remove from
the unit or facility, or dispose of on-site, all hazardous wastes in accordance with
the approved closure plan.
(b) Within 180 days after receiving the final volume of hazardous wastes, the
owner/operator must complete final closure.
(d) The Regional Administrator may allow an owner/operator to receive non-
hazardous wastes in a landfill, land treatment, or surface impoundment if a Part B
application is submitted that demonstrates existing design capacity, that non-
hazardous waste will be received within one year after final hazardous waste
receipt, and that all wastes will be compatible.
§265.114 Disposal or Decontamination
All contaminated equipment, structures and soil must be properly disposed of, or
decontaminated.
§265.115 Certification
Within 60 days of completion of closure, the owner/operator must submit to the Regional
Administrator a certification that the hazardous waste management unit or facility has been
closed in accordance with the specifications in the approved closure plan. The certification must
be signed by the owner/operator and an independent professional engineer.
§265.116 Survey Plat
An owner/operator must submit to the local authority with jurisdiction over local land use,
and to the Regional Administrator, a survey plat indicating the location and dimensions of
landfill cells or other hazardous waste disposal units with respect to permanently surveyed
benchmarks.
Ill-98
in-»o
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Inspection Procedures - Subpart G, Sections 265.113 through 265.116
Kev Considerations:
• Have any activities or sections been shut down? If so, have the appropriate partial closure
steps been taken? Be aware that the owner/operator may close certain units but not the
whole facility.
• Has closure or partial closure been completed within 180 days after receipt of the last
shipment of waste? If not, has the Administrator approved an extension?
• Has closure been completed properly and all wastes or materials been properly disposed of
or decontaminated? Closed unit(s) should be visually inspected.
Ill-99
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Subpart G - Closure and Post-Closure (continued)
§265.117 Closure Care
(a)(l) Post-closure care for each hazardous waste management unit subject to the
requirements must begin after completion of closure of the unit and continue for 30
years after that date.
§265.118 Post-Closure Plan
(a) By May 19, 1981, the owner/operator of a hazardous waste disposal unit must have a
written post-closure plan.
§265.119 Post-Closure Notice
(a) No later than 60 days after certification of closure of each hazardous waste disposal
unit, the owner/operator must submit to the local authority with jurisdiction over
local land use, and to the Regional Administrator, a record of the type, location,
and quantity of hazardous wastes disposed of within each cell or other disposal unit
of the facility.
(b) Within 60 days of certification of closure:
(1) Record, in accordance with applicable State law, a notation on the deed to the
facility property to the effect that:
(i) The land has been used to manage hazardous wastes; and
(ii) Its use is restricted under 40 CFR Subpart G regulations.
§265.120 Certification of Completion of Post-Closure
No later than 60 days after the completion of the established post-closure care period for
each hazardous waste disposal unit, the owner/operator must submit to the Regional Administrator
a certification that the post-closure care period for the hazardous waste disposal unit was performed
in accordance with the specifications in the approved post-closure plan.
Ill-100
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Inspection Procedures - Subpart G, Sections 265.117 through 265.120
Kev Considerations;
• Does the facility have a post-closure plan? Note: only land disposal facilities are required
to have post-closure plans.
• Is the post-closure plan current? Note: only facilities with approved post-closure plans
need submit a request to EPA in order to update their post closure plans.
In the case of many interim status facilities, the inspector is the only official that has an
opportunity to evaluate the completeness of the plan prior to closure and submittal of the plan to the
Administrator. The inspector should closely evaluate the contents of the plan to verify that the
maintenance and monitoring requirements are adequately addressed.
The owner/operator must submit the post-closure plan in the same time frame as the
closure plan for land disposal units. Certain units may be under post-closure care while the
facility is still operating other units. The inspector should ask if any units, specifically disposal
units, are closed and should be under post-closure care.
Ill-101
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statcmont(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Subpart H - Financial Requirements
§285.142 Cost Estimate f or Closure
(a) The owner/operator must have a detailed written estimate of the cost of closing the
facility under the closure plan. The estimate must include the highest costs
possible for closure. The costs must be based on third party closure and cannot
incorporate any salvage value.
(b) The closure cost estimate must be adjusted annually for inflation.
(c) The closure cost estimate must be revised within 30 days of a revision to the closure
plan.
(d) The closure cost estimate must be kept at the facility during the operating life.
Revisions must be deleted.
§265.143 Financial Assurance for Closure
The owner/operator must establish financial assurance for closure of the facility by
choosing one of the following options:
(a) Closure trust fund;
(b) Surety bond guaranteeing payment into a closure trust fund;
(c) Closure letter of credit;
(d) Closure insurance;
(e) Financial test or corporate guarantee for closure;
(f) Use of multiple financial mechanisms;
(g) Use of State-required mechanism (under §265.149); or
(h) State assumption of responsibility (under §265.150).
IH-102
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Inspection Procedures - Subpart H, Sections 265.142 and 265.143
Kev Considerations:
• Does the facility have the required copy of the cost estimate onsite?
• Which financial mechanism has the owner/operator elected to use?
Remember: verify that the cost estimate includes third-party closure costs and is updated
within 30 days of any significant revisions to the closure plan or when the closure plan is
submitted to EPA. Documentation of financial assurance is not required to be kept at the facility
and may be kept at a central or corporate location and filed with the Region.
IH-103
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Subpart H - Financial Requirements (continued)
§265.144 Cost Estimate for Closure Care ,
(a) The owner/operator must have a detailed written estimate of the cost of post-closure
care for the facility as required. The estimate must be based upon third party costs
and is determined by multiplying the annual post-closure cost by the number of
years of care.
(b) The post-closure care cost estimate must be adjusted annually for inflation.
(c) The post-closure cost care estimate must be revised within 30 days of a revision to
the closure plan.
(d) The post-closure cost estimate must be kept at the facility during its operating life
and be dated when adjusted for inflation.
§265.145 Financial Assurance for Post-Closure Care
The owner/operator must establish financial assurance for closure of the facility by
choosing one of these options:
(a) Post-closure trust fund;
(b) Surety bond guarantee payment into a post-closure trust fund;
(c) Post-closure letter of credit;
(d) Post-closure insurance;
(e) Financial test or corporate guarantee for post-closure care;
(f) Use of multiple financial mechanisms for multiple facilities;
(g) Use of State-required mechanism (under §265.149); or
(h) State assumption of responsibility (under §265.150).
in-104
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any stalement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Inspection Procedures - Subpart H, Sections 265.144 and 265.145
Kev Considerations:
• Does the facility have on-site the required copy of the cost estimate for post-closure care?
• Has a copy of the cost estimate for post-closure care and the documentation of financial
assurance for the post-closure care period been reviewed?
Remember: verify that the cost estimate includes third-party closure costs and is updated
within 30 days of any significant revisions to the post-closure care plans or when the post-closure
care plan is submitted to EPA. Documentation of financial assurance for post-closure care is not
required to be kept at the facility and may be kept at a central or corporate location and filed with
the Region. Ask which financial mechanism the owner/operator has elected to use.
Ill-105
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement^) contained herein.
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OSWER Dir. No. 9938.02(b)
Subpart H - Financial Requirements (continued)
§265.147 Liability Requirements
(a) Coverage for sudden accidental occurrences must be maintained by the
owner/operator. Possession of liability assurance may be demonstrated in one of
six ways:
(1) Obtaining liability insurance;
(2) Passing a financial test for liability or using a guarantee;
(3) Obtaining a letter of credit;
(4) Obtaining a surety bond; or
(5) Obtaining a trust fund;
(6) Using combinations of insurance, financial test, guarantee, letter of credit,
surety bond, and trust fund, with the exceptions specified in this paragraph;
(7) Using a State-required mechanism; or
(8) Using State assumption of responsibility.
(b) Coverage for non-sudden accidental occurrences must be maintained for surface
impoundments, landfills, and land treatment units. Possession of the required
liability assurance can be demonstrated in one of the following ways:
(1) Obtaining liability insurance;
(2) Passing a financial test for liability or using a guarantee;
(3) Obtaining a letter of credit;
(4) Obtaining a surety bond;
(5) Obtaining a trust fund;
(6) A combination of the above mechanisms, with the exceptions specified in
this paragraph;
(7) Using a State-required mechanism; or
(8) Using State assumption of responsibility.
(c) The owner/operator can request a variance and the Regional Administrator may
adjust the required level of financial responsibility.
in-106
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Inspection Procedures • Subpart H, Sections 265.147 through 265.150
Kev Considerations:
• If a facility has lost its liability coverage, has the owner/operator submitted the closure plan
and stopped accepting wastes?
Note: proof of liability coverage does not have to be onsite but must be on file with the
Regional Administrator or the State.
For facilities in interim status on November 8, 1984, each owner/operator was required to
submit documentation of liability insurance to the Regional Administrator by November 8, 1985,
or meet the financial test requirements, obtain a waiver, or have a State guarantee. Facilities that
are newly regulated after November 8, 1984 have one year to meet these requirements. Unless a
facility has met one of these requirements, it has lost interim status and must close.
During the pre-inspection review, documentation of liability insurance or a
demonstration of meeting the financial test should be verified. At facilities that have lost interim
status, the inspector should verify that the facility is no longer accepting wastes, and that the
closure plan, post-closure care plan (when applicable) and cost estimates have been submitted. At
facilities where EPA has approved the plans, the inspector should verify that closure and post-
closure activities are being appropriately carried out.
in-107
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statcment(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Subpart H • Financial Requirements (continued)
§265.147 Liability Requirements (continued)
(d) If the Regional Administrator determines that the levels of financial
responsibility required by paragraph (a) or (b) are not consistent with the degree
and duration of risk associated with the TSDF, the Regional Administrator may
adjust the level of financial responsibility.
§265.148 Incapacity of Owners/Operators, Guarantors, or Financial Institutions
(a) An owner/operator or guarantor must notify the Regional Administrator of the
commencement of proceedings under Title 11 (Bankruptcy), U.S. Code, naming
the owner/operator as debtor, within 10 days after commencement of such
proceedings.
(b) An owner/operator who fulfills the requirements of §§265.143, 265.145, or 265.147 by
obtaining a trust fund, surety bond, letter of credit, or insurance policy will be
deemed without financial assurance or liability coverage in the event of
bankruptcy of the trustee or issuing institution. The owner/operator must establish
other financial assurance or liability coverage within 60 days after such an event.
§265.149 Use of State-Required Mechanisms
(a) For a facility located in a State where EPA is administering the requirements of
. Subpart H, but where the State has hazardous waste regulations that include
requirements for financial assurance or liability coverage, an owner/operator
may use State-required financial mechanisms to meet the requirements of
§§265.143,265.145, or 265.147.
(b) If a State-required mechanism is found acceptable as specified in paragraph (a),
the owner/operator may satisfy financial mechanisms through the use of the State
mechanism.
§266.150 State Assumption of Responsibility
(a) If a State either assumes legal responsibility for an owner/operator's compliance
with Subpart H or assures that funds from State sources will be available to cover
these requirements, the Regional Administrator determines that the State's
assumption of responsibility is at least equivalent to the financial mechanisms
specified in this subpart.
(b) . If a State's assumption of responsibility is found acceptable as specified in
paragraph (a), the owner/operator may satisfy the requirements of this subpart by
• use of State and additional mechanisms.
HI-108
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
For Inspection Procedures, refer to first page of discussion for this subject heading.
m-109
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.Q2(b)
Subpart I • Containers
§265.171 Condition of Containers
If a container holding hazardous waste is not in good condition, the owner/operator must
transfer the hazardous waste from that container to a container that is in good condition.
§265.172 Compatibility of Waste with Container
The owner/operator must use a container made of, or lined with, materials which will not
react with the hazardous waste to be stored, so that the ability of the container to contain the waste is
not impaired.
§265.173 Management of Containers
(a) A container holding hazardous waste must always be closed during storage.
(b) A container holding hazardous waste must not be opened, handled, or stored so that
the container may rupture or leak.
§265.174 Inspections
The owner/operator must inspect areas where containers are stored, at least weekly,
looking for leaks and for deterioration caused by corrosion or other factors.
§265.176 Ignitable or Reaptive Wastes
Containers holding ignitable or reactive waste must be located at least 15 meters from the
facility's property line.
§265.177 Special Requirements for Incompatible Wastes
(a) Incompatible wastes must not be placed in the same container.
(b) Hazardous waste must not be placed in an unwashed container that previously held
an incompatible waste.
(c) A storage container holding a hazardous waste that is incompatible with other
materials must be separated from the other materials or protected from them by
means of a dike, berm, wall, or other device.
Ill-110
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statcmcnt(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Inspection Procedures - Subpart I, Sections 265.171 through 265.177
During an inspection of a container storage area, consider the following issues:
• The security around the unit;
• The condition of the containers (leaks, deterioration or signs of incompatibility such as
swollen drums, corrosion or off-gassing);
• The sufficiency of aisle space;
• The existence of dead vegetation or stains in the storage run-off area;
• The condition of safety and emergency equipment;
• Whether evidence of past spills correlates with the operating record;
• Whether any drums are stored in unauthorized areas; and
• Whether the container storage areas are inspected at least weekly.
If the containers are storing ignitable or reactive waste and are located within 15 meters of
the property boundary but inside a structure, the owner/operator should have a waiver from the
local fire marshal!. Even with a waiver, the acceptability of this practice must be evaluated on a
case-by-case basis. Containers must be handled safely. Check with the owner/operator on how they
handle the containers, i.e. by hand or fork truck.
The inspector should be aware that some States require secondary containment of the
storage area for generators accumulating wastes for less than 90 days. See Section 264, Subpart I.
in-111
FOR USE BY EPA INSPECTION PERSONNEL ONLY." This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statemcnt(s) contained herein.
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OSWER Dir. No. 9938.02(b)
SubpartJ-Tanks
§265.190 Applicability
These regulations apply to all tank systems used to store or treat hazardous waste except:
(a) Tanks used for wastes without free liquids that are in a building with an
impermeable floor.
(b) Tanks, including sumps, that are part of a secondary containment system.
The above tanks are exempted only from §265.193, setting forth secondary containment
requirements.
§265.191 Assessment of Existing Tank System's Integrity
(a) Existing tank systems without secondary containment (§265.193) must have a
written assessment certified by an independent, qualified registered professional
engineer (IQPRE) attesting to its integrity.
(b) The assessment must consider the following:
(1) Design standards;
(2) Characteristics of the waste;
(3) Existing corrosion protection;
(4) Documented age of system if available or, otherwise, an estimate of age;
and
(5) Results of leak tests, internal inspections or other integrity exams.
(d) If the tank system is unfit for use, it must be taken out of service and repaired or
retrofitted appropriately before reuse, or replaced, in compliance with §265.196.
§265.192 Design and Installation of New Tank Systems or Components
(a) New tank systems or components must be certified by an IQPRE for structural
integrity and compliance with design standards. All components in contact with
soil or water must be evaluated by a corrosion expert.
(b) During the installation of a new tank system or component and prior to its use, an
IQPRE or an independent qualified installation inspector must inspect the system.
in-112
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Inspection Procedures • Subpart J, Sections 265.190 through 265.201
nsiderations;
• Are new tanks adequately designed and properly installed with appropriate
documentation?
• Is secondary containment provided when required?
• Are inspection and recordkeeping requirements being met?
• Are spill and overfill prevention measures adequate and operational?
• Are annual assessments being completed?
Remember: the regulations which are applicable to above-, on-, in-, and underground
tanks that can be entered apply in States without authorized RCRA programs only, unless a State
amends its statute. Requirements for the permitting of unenterable, underground tank systems,
new underground tank systems, and SQGs apply in all States. Detailed inspection procedures are
provided in the "Inspection Manual for Hazardous Waste Storage and Treatment Tank
Systems". Also see Appendix IV for relevant checklists.
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Subpart J - Tanks (continued)
§265.192 Design and Installation of New Tank Systems or Components (continued)
(c) All back fill material must be non-corrosive, porous, and homogeneous.
(d) All tanks and ancillary equipment must be tested for tightness.
(e) Ancillary equipment must be protected.
(f) The owner/operator must provide necessary corrosion protection.
(g) Written statements and certification for design and installation must be kept on file.
§265.193 Containment and Detection of Releases
(a) Secondary containment must be provided as follows:
(1) All new tank systems or components prior to use.
(2) All existing tank systems handling dioxin wastes by January 12, 1989.
(3) Existing tank systems of known age by January 12, 1989 or by 15 years of age,
whichever comes later.
(4) For existing tank systems without documented age not later than January 12, 1995 or,
if the facility is greater than seven years old, by the time the facility is 15 years old, or
by January 12, 1989, whichever is later.
(5) Secondary containment systems must:
(1) Prevent migration of any wastes or accumulated liquids.
(2) Be capable of detecting and collecting any releases.
(c) The containment systems must be compatible with the wastes or liners, prevent failure,
provide leak detection, and be designed to remove any liquid.
(f) Ancillary equipment (such as pipes or sumps) must be provided with full secondary
containment.
(i) All tank systems must conduct a leak test at least annually until such time as secondary
containment meeting the requirements of §265.193 is provided. The results of such tests
must be retained on file at the facility.
in-114
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
For Inspection Procedures, refer to first page of discussion for this subject heading.
IH-115
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Subpart J - Tanks (continued)
§265.194 General Operating Requirements
(a) Hazardous wastes may not be placed in a tank system if they can cause it to fail.
(b) Spills and overflows must be prevented.
§265.195 Inspections
(a) The owner/operator must inspect the following daily:
(1) Overfill and spill control equipment;
(2) Aboveground portions of tank system;
(3) Data from .monitoring and leak detection equipment; and
(4) Area surrounding externally accessible portion of tank system.
(b) Cathodic protection systems must be inspected within 6 months after installation and
annually afterwards. Impressed current sources must be tested bimonthly.
(c) The inspections must be documented in the operating record.
§265.196 Response to Leaks and Disposition of Unfit Tank Systems
If there has been a leak or spill, or if the tank system is unfit for use, the following must be
done:
(a) Stop adding wastes;
(b) Remove waste from tank system;
(c) Contain visible releases;
(d) Report to Regional Administrator as appropriate;
(e) Provide secondary containment, repair, or close; and
(f) Certify major repairs.
Ill-116
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
For Inspection Procedures, refer to first page of discussion for this subject heading.
in-117
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Subpart J - Tanks (continued)
§265.197 Closure and Post-Closure Care
(a) At closure, the owner/operator must remove or decontaminate all material; or
(b) The owner/operator can close the tank system as a landfill (§265.310).
(c) For tanks without secondary containment, closure plans and financial assurance must be
prepared for both closure options.
§265.198 Special Requirements for Ignitable or Reactive Wastes
(a) Ignitable or reactive waste must not be placed in a tank unless:
(1) The waste has been treated so that it is no longer ignitable or reactive; or
(2) The tank is protected from conditions that may cause the waste to ignite or react; or
(3) The tank is used only for emergencies; and
(b) The owner/operator maintains a protective distance between the waste and any public ways
or adjoining properties.
§265.199 Special Requirements for Incompatible Wastes
(a) Incompatible wastes must not be placed in the same tank system.
(b) Tanks must be decontaminated prior to holding incompatible wastes.
§265.200 Waste Analysis and Trial Tests
Whenever a tank system is to be used to treat or to store a hazardous waste that is
substantially different from the waste previously handled in that tank system, or to treat old waste
with a different process, an owner/operator must:
(a) Conduct waste analyses and trial treatment or storage tests.
(b) Obtain written documented information on similar waste under similar operating
conditions.
in-iis
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
For Inspection Procedures, refer to first page of discussion for this subject heading.
m-119
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any atatement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Subpart J - Tanks (continued)
§265.201 Special Requirements for SQGs That Accumulate Waste in Tanks
(a) The following requirements apply to SQGs that accumulate hazardous waste in tanks for
less than 180 days (or 270 days if the waste is shipped over 200 miles), and do not
accumulate over 6,000 kg on-site at any time.
(b) Generators must comply with the following general operating requirements:
(2) Hazardous wastes must not be placed in a tank if they could cause it to fail before the
end of its intended life;
(3) Uncovered tanks must have at least 60 centimeters of freeboard unless provisions
are made to otherwise contain at least the volume of the top 60 centimeters; and
(4) On tanks with a continuous feed, the tank must be equipped with a means to stop this
inflow.
(c) Generators must inspect:
(1) Discharge control equipment at least once each operating day;
(2) Data from monitoring equipment at least once each operating day;
(3) The level of waste in the tank at least once each operating day;
(4) The construction materials of the tank at least weekly; and
(5) The construction materials of the discharge confinement structures and the area
immediately surrounding each of them at least weekly.
(d) Upon closure of the facility, SQGs must remove all hazardous waste from tanks, discharge
control equipment, and discharge confinement structures.
(e) Generators must comply with requirements for ignitable or reactive waste.
(f) Generators must comply with above requirements for incompatible wastes.
See page III-284 for discussion of §268.7 requirements for generators treating waste
in storage tanks or containers.
Ill-120
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any slalcmcnt(s) contained herein.
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OSWER Dir. No. 9938.02(b)
For Inspection Procedures, refer to first page of discussion for this subject heading.
in-121
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statcment(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Subpart K - Surface Impoundments
§265.221 Design Requirements
(a) The owner/operator of a surface impoundment must install two or more liners and a
leachate collection system for each new unit, replacement unit, or lateral expansion.
(b) The owner/operator of each unit must notify the Regional Administrator at least sixty days
prior to receiving waste.
(c) If the owner/operator demonstrates that alternative design and operating practices,
together with location characteristics, will prevent the migration of any hazardous
constituent into the ground water or surface water at least as effectively as liners and
leachate collection systems, the requirements for such may be waived.
(d) The double liner requirement may be waived for any monofill if:
(1) The monofill contains wastes from foundry furnace emission controls or metal
casting molding sand, and are not EP toxic; and
(2) The monofill has at least one liner and
(A) There is no evidence the liner is leaking;
(B) The monofill is located more than one-quarter mile from an underground
source of drinking water; and
(C) The monofill is in compliance with groundwater monitoring requirements.
§265.222 General Operating Requirements
(a) A surface impoundment must have enough freeboard to prevent any overtopping of the dike
by overfilling, wave action, or a storm.
(b) A freeboard level less than 60 centimeters may be maintained if the owner/operator obtains
certification by a qualified engineer.
§265.223 Containment System
All earthen dikes must have a protective cover.
§265.225 Waste Analysis and Trial Tests
Additional waste analyses are required when a surface impoundment is used to:
(1) Chemically treat a hazardous waste which is different from waste treated previously;
(2) Chemically treat hazardous waste with a different process from that used previously.
Ill-122
• FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements arc in any way altered by any statcment(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Inspection Procedures - Subpart K, Sections 265.221 through 265.230
Kev Considerations!
• Is there adequate freeboard?
• Has any replacement or lateral expansion of a unit included the installation of two or more
liners and a leachate collection system? In addition, has the Part B application been filed,
or a waiver been obtained?
• Does the waste analysis plan include procedures to determine treatability or compatibility
of wastes in surface impoundments?
• Placement of wastes in a surface impoundment meets the definition of land disposal under
§268.2(c). Therefore, no hazardous wastes which are subject to LDR may be placed in a
surface impoundment unless they meet treatment standards in Part 268, Subpart D or
qualify for the treatment in surface impoundment exemption in §268.4.
• Are required inspections conducted?
IH-123
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Subpart K • Surface Impoundments (continued)
§265.226 Inspections
(a) The owner/operator must inspect:
(1) The freeboard level at least once each operating day, and
(2) The surface impoundment at least once a week to detect any leaks, deterioration, or
failures in the impoundment.
§265J228 Closure and Post-Closure Care
(a) At closure, the owner/operator must:
(1) Remove or decontaminate all waste residues, contaminated containment system
components, contaminated subsoils, and structures and equipment, and manage
them as hazardous waste; or
(2) Close the impoundment and provide post-closure care for a landfill under Subpart G
and §265.310, including the following steps:
(i) Eliminate free liquids;
(ii) Stabilize remaining wastes; and
(iii) Cover the surface impoundment with a final cover.
(b) In addition to the requirements of Subpart G, and §265.310, during the post-closure care
period, the owner/operator of a surface impoundment with waste remaining after closure
must:
(1) Maintain the integrity and effectiveness of the final cover;
(2) Maintain and monitor a leak detection system;
(3) Maintain and monitor the groundwater monitoring system; and
(4) Prevent run-on and run-off from damaging the final cover.
§265.229 Special Requirements for Ignitable or Reactive Wastes
Ignitable or reactive waste must not be placed in a surface impoundment unless the waste
and impoundment satisfy all applicable requirements of LDR and:
(a) The waste is treated so that the resulting waste mixture no longer meets the definition of
ignitable or reactive waste and §265.17(b) is complied with; or
(b) (1) The waste is managed so that it is protected from any conditions which may cause it
to ignite or react and maintain and monitor the leak detection systems; QT
(2) The owner/operator obtains a certification that the design features or operating
plans of the facility will prevent ignition or reaction; or
(c) The surface impoundment is used solely for emergencies.
§265.230 Special Requirements for Incompatible Wastes
(a) Incompatible wastes must not be placed in the same surface impoundments.
m-124
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
For Inspection Procedures, refer to first page of discussion for this subject heading.
m-125
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Subpart L - Waste Piles
§265.251 Protection from Wind
The owner/operator must cover the waste pile or control wind dispersion.
§265.252 Waste Analysis
The owner/operator must analyze a representative sample of waste from each incoming
movement unless the wastes the facility receives which are amenable to piling are compatible.
§265.253 Containment
If leachate or run-off from a pile is a hazardous waste, then either:
(a)(l) The pile must be placed on a compatible impermeable base;
(2) The owner/operator must design, construct, operate, and maintain a run-on control
system capable of preventing flow onto the active portion of the pile during peak
discharge from at least a 25-year storm;
(3) The owner/operator must design, construct, operate, and maintain a run-off
management system to collect the water volume resulting from a 24-hour, 25-year
storm; and
(4) Collection and holding facilities must be emptied promptly; or
(b)(l) The pile must be protected from precipitation and run-on by some other means; and
(2) No liquids or wastes containing free liquids may be placed in the pile.
§265.254 Design Requirements
The owner/operator of a waste pile is subject to the requirements for liners and leachate
collection systems with respect to each new unit, replacement of unit, or lateral expansion.
§265.256 Special Requirements for Ignitable or Reactive Wastes
(a) Ignitable or reactive wastes must not be placed in a pile unless the waste and pile satisfy all
applicable LDR requirements and:
(1) Addition of the waste to an existing pile
(i) Results in the waste or mixture no longer meeting the definition of
ignitable or reactive waste; and
(ii) Complies with §265.17(b); or
(2) The waste is managed in such a way that it is protected from any material or
conditions which may cause it to ignite or react.
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Inspection Procedures • Subpart L, Sections 265.251 through 265.257
Kev Considerations!
• What is the impermeability of the waste pile base and is it compatible with the waste?
• Is the run-off management system adequate?
• Are the evaluation and disposal method for contaminated runoff adequate?
• Do replacement units or lateral expansions have the required liners and a leachate
collection system?
• Is the method used to control wind dispersion (usually a tarp or location inside a structure)
adequate?
Placement of wastes in a waste pile meets the definition of
land disposal under §268.2(c). Therefore, no hazardous •
wastes which are subject to LDR may be placed in a waste pile
unless they meet treatment standards in Part 268, Subpart D.
IH-127
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Subpart L - Waste Piles (continued)
§265.257 Special Requirements for Incompatible Wastes
Incompatible wastes must not be placed in the same pile unless §265.17(b) is complied with
(i.e., the wastes do not give off heat, vapors, fumes, etc.).
(a)
(b) A pile of hazardous waste that is incompatible with any waste or other material must be
separated from the other materials, or protected from them by means of a dike, berm, or
other device.
(c) Incompatible hazardous waste must not be piled on the same area unless that area has been
decontaminated sufficiently.
§265.258 Closure and Post-Closure Care
(a) At closure, the owner/operator must remove or decontaminate all waste residues,
contaminated containment system components, contaminated subsoils, and structures
and equipment contaminated with waste and leachate, and manage them as hazardous
waste.
(b) If the owner/operator finds that not all contaminated subsoils, structures, and equipment
can be practicably removed or decontaminated, he must close the facility and perform post-
closure care in accordance with the closure and post-closure requirements that apply to
landfills.
Ill-128
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
For Inspection Procedures, refer to first page of discussion for this subject heading.
m-i29
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Subpart M - Land Treatment
§265272 General Operating Requirements
(a) Hazardous waste must not be placed in or on a land treatment facility unless the waste can
be made less hazardous or non-hazardous by degradation, transformation, or
immobilization processes occurring in or on the soil.
(b) The owner/operator must design, construct, operate, and maintain a run-on control system
capable of preventing flow onto the active portions of the facility during peak discharge
from at least a 25-year storm.
(c) The owner/operator must design, construct, operate, and maintain a runoff management
system capable of collecting and controlling a water volume at least equivalent to a 24-
hour, 25-year storm.
(d) Collection and holding facilities must be emptied or otherwise expeditiously managed
after storms.
(e) If the treatment zone contains matter subject to wind dispersal, the owner/operator must
control wind dispersal.
§265.273 Waste Analysis
In addition to the waste analyses required by §265.13, before treating a hazardous waste in
a land treatment facility, the owner/operator must:
(a) Determine the concentrations in the waste of any substances which exceed the maximum
concentrations of constituents that cause a waste to exhibit the EP toxicity characteristic;
(b) For any waste listed, determine the concentrations of any substances which caused the
waste to be listed as a hazardous waste; and
(c) If food chain crops are grown, determine the concentrations in the waste of arsenic,
cadmium, lead, and mercury unless the owner/operator has written, documented data that.
show that the constituent is not present.
§265.276 Food Chain Crops
(a) An owner/operator of a land treatment facility on which food chain crops are being
grown, or have been or will be grown, must notify the Regional Administrator within 60
days.
(b)(l) Food chain crops must not be grown on the treated area of a land treatment facility unless
the owner/operator can demonstrate based on field testing, that any arsenic, lead,
mercury, or other constituents identified:
(i) Will not be transferred to the food portion of the crop;
(ii) Will not occur in greater concentrations in crops grown on the land treatment
facility than in the same crops grown on untreated soils.
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Inspection Procedures - Subpart M, Sections 265.272 through 265.282
Kev Considerations!
• Is the run-off management system adequate?
• Is the evaluation and disposal method of contaminated runoff adequate?
• Does the waste analysis plan include procedures to evaluate all substances for which the
applied waste was listed or is TCLP toxic?
• What is the type of cover crop being grown, particularly on closed units? Could it be, or is it
already being, used as a food chain crop?
While inspecting a land treatment unit, also consider the following:
• Land treatment facilities operating under interim status may submit existing operating
data as part ofthe Land Treatment Demonstration required under the Part 264 permitting.
process: however.1 they cannot apply any new waste as part ofthe demonstration under
interim status without obtaining a short-term or two-phase permit.
• Some practices such as discharge into a septic field may qualify as land treatment.
• Placement of wastes in a land treatment unit meets the definition of land disposal under
§268.2(c). Therefore, no hazardous wastes subject to LDR may be placed in a land
treatment unit unless they already meet treatment standards.
The inspector should refer to the "Permit Guidance Manual on Hazardous Waste Land
Treatment Demonstrations."
m-131
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Subpart M - Land Treatment (continued)
S26&278 Unsaturated Zone Monitoring
(a) The owner/operator must have in writing, and must implement, an unsaturated zone
monitoring plan which is designed to:
(1) Detect the vertical migration of hazardous waste constituents under the active portion
of the land treatment facility, and
(2) Provide information on the background concentrations of the hazardous waste
constituents in untreated soils nearby;
(b) The unsaturated zone monitoring plan must include:
(1) Soil monitoring using soil cores; and
(2) Soil-pore water monitoring using devices such as lysimeters.
§2f&279 Reoordkeeping
The operating record must include waste application dates and rates.
S26&280 Closure and Post-Closure Care
(a) In the closure plan and the post-closure plan, the owner/operator must address the
following objectives:
0) Control of the migration of hazardous constituents from the treated area into
ground water;
(2) Control of the release of contaminated run-off from entering surface water;
(3) Control of the release of airborne particulate contaminants caused by wind erosion;
and
(4) The growth of food-chain crops.
(b) The owner/operator must consider at least the following for closure and post-closure care:
(1) Type and amount of hazardous waste and constituents applied;
(2) The mobility and the expected rate of migration;
(3) Site location, topography, and surrounding land use;
(4) Climate;
(5) Geological and soil profiles and surface and subsurface hydrology and soil
characteristics;
(6) Unsaturated zone monitoring;
(7) Type, concentration, and depth of migration of hazardous waste constituents in the
soil as compared to background.
in-132
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any stntement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
For Inspection Procedures, refer to first page of discussion for this subject heading.
in-133
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Subpart M • Land Treatment (continued)
§285^80 Closure and Post-Closure Care (continued)
(c) The owner/operator must consider:
(1) Removal of contaminated soils;
(2) Placement of a final cover; and
(3) Monitoring of ground water.
(d) During the closure period, the owner/operator of a land treatment facility must:
(1) Continue unsaturated zone monitoring specified in the closure plan;
(2) Maintain the run-on control;
(3) Maintain the run-off management system; and
(4) Control wind dispersal.
(e) When closure is completed, the owner/operator must submit to the Regional Administrator
certification from the owner/operator and an independent qualified soil scientist.
(f) During post-closure care, the owner/operator of a land treatment unit must:
(1) Continue soil-core monitoring;
(2) Restrict access to the unit;
(3) Assure that growth of food chain crops complies; and
(4) Control wind dispersal of hazardous waste.
§285.281 Special Requirements for Ignitable or Reactive Wastes
An owner/operator must not apply ignitable or reactive waste to the treatment zone unless
the waste and treatment zone meet all applicable LDR requirements, and:
(a) The waste is immediately incorporated into the soil so that the resulting mixture no longer
is ignitable or reactive; and
(b) Section 264.17(b) is complied with; or the waste is managed such that it is protected from
any material or conditions which may cause it to ignite or react.
§265.282 Special Requirements for Incompatible Wastes
Incompatible wastes must not be placed in the same land treatment area unless heat,
vapors, or fumes are not generated.
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
For Inspection Procedures, refer to first page of discussion for this subject heading.
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Subpart N - Landfills
8265.301 Design Requirements
(a) The owner/operator of a landfill must install two or more liners and leachate collection
systems above and between such liners for each new unit, replacement unit, or lateral
expansion.
(b) The owner/operator of each unit must notify the Regional Administrator at least sixty days
prior to receiving waste.
(c) The owner/operator may demonstrate that alternative design and operating practices,
together with location characteristics, will prevent the migration of any hazardous
constituent into the ground water or surface water at least as effectively as liners and
leachate collection systems and the requirements may be waived.
(d) The double liner requirement may be waived for any monofill, if:
(1) The monofill contains only hazardous wastes from foundry furnace emission
controls or metal casting molding sand, and is not hazardous for reasons other
than the EP toxicity characteristic.
(2)(i)(A) The monofill has at least one liner for which there is no evidence of leaking;
(B) The monofill is located more than one-quarter mile from a drinking source
well; and
(C) The monofill complies with ground water monitoring requirements for
permitted facilities; or
(2)(ii) The owner/operator demonstrates that the monofill is located, designed, and
operated so that no migration will occur in the future.
i
5285.301 General Operating Requirements
(a) The owner/operator must design, construct, operate, and maintain a run-on control system
capable of preventing flow onto the active portion of the landfill during peak discharge from
at least a 25-year storm.
(b) The owner/operator must design, construct, operate, and maintain a run-off management
system to collect and control volume from a 24-hour, 25-year storm.
(c) Collection and holding facilities must be emptied expeditiously.
(d) The owner/operator of a landfill subject to wind must control wind dispersal.
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Inspection Procedures • Subpart N, Sections 265-301 through 265.316
Kev Considerations!
• Is the map providing the location and cell dimensions, and the contents of each cell,
adequate?
• Is the evaluation and disposal method of contaminated runoff adequate?
• What is the integrity of the final cover during the post-closure period?
• Is the maintenance of the groundwater monitoring system adequate?
While inspecting a landfill, remember that any replacement or lateral expansion of a unit
requires two or more liners and a leachate collection system plus the filing of a Part B application
(or the attainment of a waiver).
Section 3004 of RCRA requires that certain landfills meet
minimum technological requirements (MTRs), including
double liners and a leachate collection system, within four
years of being subject to regulation. Part 268 has given
additional importance to the "min-tech" requirements but
does allow non-MTR impoundments four years to retrofit
even if they receive wastes subject to a national capacity
variance or a case-by-case extension.
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statcment(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Subpart N - landfills (continued)
§265.309 Surveying and Recordkeeping
The owner/operator of a landfill must maintain the following in the operating record:
(a) A map of the exact location, dimensions, and depth of each cell; and
(b) The contents of each cell and the location of each hazardous waste type within each cell.
§265.310 Closure and Post-Closure Care
(a) At final closure of the landfill or of any cell, the owner/operator must cover the landfill or
cell with a final cover designed and constructed to:
(1) Provide long-term minimization of migration of liquids through the closed
landfill;
(2) Function with minimum maintenance;
(3) Promote drainage and minimize erosion;
(4) Accommodate settling and subsidence; and
(5) Have a permeability less than or equal to the permeability of any bottom liner.
(b) After final closure, the owner/operator must comply with all post-closure requirements:
(1) Maintain the integrity and effectiveness of the final cover;
(2) Maintain and monitor the leak detection system;
(3) Maintain and monitor the groundwater monitoring system;
(4) Prevent run-on and run-off from damaging the final cover; and
(5) Protect and maintain surveyed benchmarks.
§265.312 Special Requirements for Ignitable or Reactive Wastes
(a) Ignitable or reactive waste must not be placed in a landfill, unless the waste is treated so
that the resulting mixture is no longer ignitable or reactive, §265.17(b) is complied with,
and the landfill meets all applicable LDR requirements; and
(b) Except for prohibited wastes which remain subject to treatment standards in LDR,
ignitable wastes in containers may be placed in a landfill provided that the wastes are
disposed of in such a way that they are protected from any material or conditions which
may cause them to ignite.
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
For Inspection Procedures, refer to first page of discussion for this subject heading.
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Subpart N - landfills (continued)
S26&313 Special Requirements for Incompatible Wastes
Incompatible wastes must not be placed in the same landfill cell.
S26&314 Special Requirements for Bulk and Containerized Liquids
(b) The placement of bulk or non-containerized liquid hazardous waste or hazardous waste
containing free liquids is prohibited.
(c) Containers holding free liquids must not be placed in a landfill unless:
(1) All free-standing liquid has been removed; or
(2) The container is very small; or
(3) The container is designed to hold free liquids; or
(4) The container is a lab pack.
(d) To demonstrate the absence of free liquids, the Paint Filter Liquids Test must be used.
§285.315 Special Requirements for Containers
Unless they are very small, containers must be either:
(a) At least 90 percent full; or
(b) Crushed, shredded, or similarly reduced in volume.
$286.316 Disposal of Small Containers of Hazardous Waste in Overpack Drums
Small containers of hazardous waste in overpacked drums (lab pack) may be placed in a
landfill if:
(a) The hazardous waste is packaged in non-leaking inside containers;
(b) The inside containers are overpacked in an open head DOT-specification metal shipping
container;
(c) The absorbent material used is not capable of reacting dangerously with, being
decomposed by, or being ignited by, the contents;
(d) Incompatible wastes are not placed in the same outside container;
(e) Reactive wastes are treated or rendered non-reactive in accordance with the provisions in
this paragraph; and
(0 Disposal is undertaken in compliance with LDR requirements.
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
For Inspection Procedures, refer to first page of discussion for this subject heading.
ffl-141
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Subpart O - Incineration
§265341 Waste Analysis
The owner/operator must analyze any waste not previously burned to enable him to
establish steady state operating conditions and to determine the type of pollutants which might be
emitted. The analysis must determine:
(a) The heating value of the water;
(b) The halogen content and sulfur content in the waste; and
(c) The concentrations of lead and mercury in the waste unless the owner/operator has
written, documented data that show the element is not present.
§266345 General Operating Requirements
During start-up and shut-down of an incinerator, the owner/operator must not feed
hazardous waste unless the incinerator is at steady state conditions of operation.
§266347 Monitoring and Inspections
The owner/operator must conduct the following monitoring and inspections when
incinerating hazardous waste:
(a) Existing instruments which relate to combustion and emission control must be monitored
at least every 15 minutes. Appropriate adjustments or corrections must be made
immediately as needed.
(b) The complete incinerator and associated equipment must be inspected for leaks, spills,
fugitive emissions and proper operation of emergency equipment at least daily.
§265361 Closure
At closure, the owner/operator must remove all hazardous waste and hazardous waste
residues from the incinerator.
Interim Status Incinerators Burning Particular Hazardous Wastes
(a) Interim status incinerators may burn the dioxin bearing wastes F020, F021, F022, F023,
F024, F026, or F027, only if they receive certification and meet performance standards.
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirement* are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Inspection Procedures • Subpart O, Sections 265.341 through 265.352
While inspecting an incinerator, check the following:
• Waste types, particularly dioxin-containing wastes
• Feed rates and operating conditions
• Ash handling and ultimate disposal
•** See Appendix IV for incinerator checklist.
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Subpart P - Thermal Treatment
§265.373 General Operating Requirements
Before adding hazardous waste, the owner/operator must bring his thermal treatment
process to steady state conditions.
§265.375 Waste Analysis
The owner/operator must sufficiently analyze any waste which he has not previously
treated to enable him to establish steady state operating conditions. The analysis must determine:
(a) The heating value of the waste; (b) The halogen content and sulfur content in the
waste; and (c) The concentrations of lead and mercury in the waste.
§265.377 Monitoring and Inspections
The owner/operator must conduct the following monitoring and inspections:
(1) Existing instruments which relate to temperature and emission control must be
monitored at least every 15 minutes;
(2) The stack plume must be observed visually at least hourly for normal appearance; and
(3) The complete thermal treatment process and associated equipment must be inspected at
least daily. .
§265.381 Closure
At closure, the owner/operator must remove all hazardous waste and hazardous waste
residue from thermal treatment process or equipment.
§265.382 Open Burning; Waste Explosives
Open burning of hazardous waste is prohibited except for the open burning and detonation
of waste explosives.
§265.383 Interim Status Thermal Treatment Devices Burning Particular Hazardous Wastes
Interim status thermal treatment devices may burn dioxin-bearing wastes only if they
receive certification and meet performance standards.
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Inspection Procedures - Subpart P, Sections 265.373 through 265.383
While inspecting a thermal treatment unit, check the following:
• Waste types being treated
• Operating conditions
• Residue handling and ultimate disposal
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Subpart Q • Chemical, Physical and Biological Treatment
§265400 Applicability
The following regulations apply to units which treat hazardous wastes by chemical,
physical or biological methods, other than tanks, surface impoundments and land treatment.
Treatment in tanks, surface impoundments and land treatment units are covered in Subparts J, K
and M respectively.
§265401 General Operating Requirements
(a) Chemical, physical, or biological treatment of hazardous waste must not generate heat,
fumes, or vapors.
(b) Hazardous wastes or treatment reagents must not be placed in the treatment process or
equipment if they could cause the treatment process to fail before the end of its intended life.
(c) Where hazardous waste is continuously fed into a treatment process, the process must be
equipped with a means to stop this inflow.
§265.402 Waste Analysis and Trial Tests
Additional analysis is required whenever:
(1) A hazardous waste is substantially different from waste previously treated; or
(2) A substantially different process is to be used. The additional analysis consists of:
(i) Conducting waste analyses and trial treatment tests; and
(ii) Obtaining written, documented, information on similar treatment experience.
§265,403 Inspections
(a) The owner/operator of a treatment facility must inspect:
(1) Discharge control and safety equipment at least once each operating day;
(2) Data gathered from monitoring equipment at least once each operating day;
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Inspection Procedures • Subpart Q, Sections 265.400 through 265.406
While inspecting a chemical, physical or biological treatment unit, check the following:
• Waste types being treated
• Operating conditions
• Residue handling and ultimate disposal
• Whether other emissions such as gases, vapors, or mists, or any odor causing substances,
are present
• Records that show whether the treatment is working
Remember: treatment in tanks, surface impoundments and land treatment units is not
covered by Subpart Q. Shredders, carbon regenerators, and air strippers are among the items
covered by Subpart Q.
m-i47
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely Tor guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Subpart Q - Chemical, Physical and Biological Treatment (continued)
§285403 Inspections (continued)
(3) The construction materials of the treatment process or equipment, at least weekly;
and
(4) The construction materials of the area immediately surrounding discharge
confinement structures at least weekly.
§285404 Closure
At closure, all hazardous waste and hazardous waste residues must be removed from
treatment processes or equipment.
§285405 Special Requirements for Ignitable or Reactive Wastes
(a) Ignitable or reactive waste must not be placed in a treatment process unless the waste is
treated so that the resulting mixture is no longer ignitable or reactive.
§285406 Special Requirements for Incompatible Wastes
(a) Incompatible wastes must not be placed in the same treatment process.
(b) Hazardous waste must not be placed in unwashed treatment equipment which previously
held an incompatible waste.
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
For Inspection Procedures, refer to first page of discussion for this subject heading.
m-149
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statements) contained herein.
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OSWER Dir. No. 9938.02(b)
Drip Pads
S26&440 Applicability
(a) The requirements of Subpart W apply to the owners/operators of facilities that use
new or existing drip pads to convey treated wood drippage, precipitation, and/or
surface water runoff to an associated system.
Existing drip pads are those constructed before December 6, 1990, and those
forwhich the owner/operator has a design and has entered into binding
financial or other agreements for construction prior to December 6, 1990.
All other drip pads are new drip pads.
(c) The Subpart W drip pad requirements are not applicable to the management of
infrequent and incidental drippage in storage yards provided that:
(1) The owner/operator maintains a contingency plan that describes how the
owner/operator will immediately respond to the discharge of drippage in the
storage yard.
§26&441 Assessment of Existing Drip Pad Integrity
(a) For each existing drip pad, as defined in §265.440(a), the owner/operator must
evaluate the drip pad and maintain a written assessment certifying that it meets
Subpart W standards, except for liners and leak detectors. The assessment must be
certified .by an independent, qualified registered professional engineer, and be
updated and recertified annually.
(b) The owner/operator must develop a written plan.for upgrading, repairing, or
modifying the drip pad to meet the liner and leak detector requirements, and
submit the plan to the Regional Administrator no later than two years before such
changes will be complete. The upgrade plan must describe all changes to be made
to the drip pad in sufficient detail to document compliance with the requirements of
§265.443. An independent qualified registered professional engineer must review
and certify the plan.
(c) When upgrades, repairs, or modifications are complete, the owner/operator must
submit to the Regional Administrator the as-built drawings for the drip pad, plus a
certification by an independent, qualified registered professional engineer that the
drip pad conforms to the drawings.
(d) If the drip pad is found to be leaking or unfit for use, the owner/operator must either
repair it pursuant to §265.443(m) or close it pursuant to §265.445.
§265.442 Design and Installation of New Drip Pads
Owners/operators must ensure that new drip pads are designed, operated, inspected, and
closed with the standards below.
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Inspection Procedures - Subpart W, Sections 265.441 through 265.445
Kcv Considerations:
• Does the drip pad appear to be free of cracks, gaps, corrosion, or other signs of defect?
• If a leak detector is required, is it functioning properly?
• Are run-on and run-off control systems in place? If there has been a storm recently, have
the collection systems been emptied?
• Have wood drippage and accumulated precipitation been removed from the collection
system so that no overflow occurs?
• Did wood remain over the drip pad until drippage had ceased? Examine the storage area
for wood which is no longer over the drip pad. Infrequent and incidental drippage may
still occur due to the effects of weather, type of wood, or type of preservative. Was the
contingency plan and operating log for storage yard inspections reviewed?
i
• Is there documentation of weekly inspections of the drip pad?
• Is there a cleaning log book? Is the cleaning of the drip pad documented?
• Does the facility have a contingent post-closure plan in case the drip pad cannot be clean-
closed?
• Is the pad designed properly?
• If closed, have all wastes been removed and all equipment decontaminated?
• Subpart W gives owners/operators the option of installing either a coating and sealer
which have a permeability of less than or equal to 1 x 10~7 centimeters per second ox a liner
and leak detection with leak collection system, but they are not required to install both on
the same pad.
• Subpart W drip pad standards apply to drip pads used to manage preservative drippage, that
meets a hazardous waste characteristic or the F032, F034, or F035 listing descriptions.
Remember:
Review the facility's files for:
• An engineer-certified written assessment documenting that the drip pad meets Subpart W
standards;
• A written plan for meeting liner and leak detector and collection requirements (or check
files at the Regional Office);
• Contingency plan for storage yard drippage if applicable.
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Drip Pads (continued)
S28&443 Design and Operating Requirements
(a) Drip pad's must:
(1) Be constructed of non-earthen materials, excluding wood and non-
structurally-supported asphalt.
(2) Be sloped to free-drain wood drippage, rain, or other solutions to a collection
system.
(3) Have a curb or berm around the perimeter.
(4) Have a sealer/coating which has a permeability of equal to or less than
1 x 10-7 cm/s—for example, existing concrete pads must be sealed, coated, or
covered so that the entire surface area that contacts wood drippage (or
drippage plus rainwater) is contained and routed to an associated collection
system. The requirements of this provision apply only to existing drip pads
and those drip pads for which thetwner/operator elects to comply with
§265.442(a) instead of §265.442(b).
(5) Be structurally strong and thick enough to prevent failure due to physical
contact, climatic conditions, and daily operations (e.g. vehicle traffic,
wood movement, etc.). Industry standards from groups such as the
American Concrete Institute (ACI) or the American Society of Testing and
Materials (ASTM) will generally be considered applicable.
(b) If an owner/operator elects to comply with §265.442(b) instead of §265.442(a), the drip
pads must have the following liner and leak detector equipment:
(1) A synthetic liner that will prevent leakage during the active life of the unit
(including the closure period). The liner must not absorb waste and must:
(i) Be constructed of material that is strong and thick enough to prevent failure
due to pressure gradients (including static head and external
hydrogeologic forces), contact with the waste, climatic conditions,
installation stress, and daily operation (including vehicular traffic on the
drip pad);
(ii) Be placed upon a foundation or base which can support the liner and resist
vertical pressure gradients from settlement, compression, or uplift; and
(iii) Cover all earth that could contact waste or leakage.
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Inspection Procedures - Subpart W, Sections 265.441 through 265.445 (continued)
• If a liner and leak detector and collection system is in place, as-built drawings for the drip
pad plus an engineer's certification that the pad conforms to the drawings (or check files at
the Regional Office);
• An engineer's statement that the drip pad meets the requirements of §265.44Ka)through(f);
and
• Notifications of discovery, and certifications of remedy, of any hazardous waste releases
caused by the drip pad (or check files at the Regional Office).
Review the operating log for:
• Documentation that the pad has been cleaned in such a manner and with such frequency
that accumulated residues are removed and managed in a manner that allows for weekly
inspections;
i
• Documentation that all treated waste is held on the drip pad following treatment;
• Records of discovery of any hazardous waste release from the drip pad;
• A record of past operating and waste-handling practices, including type of preservative
used;
• If a liner and leak detector system is in place, an engineer's certification of inspection of
materials prior to installation; and
• Documentation for inspection and cleanup of any incidental drippage within the storage
yard. Retention period for this documentation is 3 years minimum.
Also see the following applicable regulations:
260.10—Definitions
261.4(a)(9) and (b)(9)—Exclusions
261.31—Listing descriptions
261.35—Deletion of F032 listing following equipment cleaning and replacement
262.34—Accumulation time
265.190—Subpart J (sump requirements)
270.22—Permitting
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Drip Pads (continued)
S26&443 Dedgn and Operating Requirements (continued)
(2) A leak detection system immediately above the liner. This system must:
(i) Be constructed of material which can chemically resist the waste and
physically resist pressure from above; and
(ii) Be designed to detect drip pad failure or the release of hazardous waste or
accumulated liquid at the earliest practicable time.
(3) A leak collection system immediately above the liner that is designed and
maintained to collect leakage from the drip pad such that the leakage can be
removed from below the drip pad. Records must be maintained in the operating log
regarding the date, time, and quantity of any leakage collected in and removed
from this system.
(c) Drip pads must be maintained free of cracks, gaps, corrosion, or other deterioration
that could cause a hazardous waste release.
(d) The drip pad and collection system must be able to convey, drain, and collect liquid
from drippage and precipitation.
(e) Unless enclosed as described in §265.44(Xb), a run-on control system must be able to
prevent flow onto the drip pad during a 24-hour, 25-year storm (unless the system
has enough excess capacity to handle such volume).
(f) Unless enclosed as described in §265.440(b), a run-off control system must be able to
collect and control the volume of water from a 24-hour, 25-year storm.
(g) The owner/operator must obtain a statement from an independent, qualified
registered professional engineer certifying that the drip pad meets the
requirements of (a) through (f) above.
(h) Drippage and accumulated precipitation must be removed from the collection
system as necessary to prevent overflow onto the drip pad.
(i) The drip pad surface must be appropriately cleaned (e.g. by rinsing, using
detergents or other solvents, or steam cleaning) such that the pad can be inspected
as frequently and in such a manner as needed. This cleaning must be documented
in the facility's operating log.
(j) Operating practices must minimize personnel or equipment tracking hazardous
waste or its constituents off the drip pad.
(k) After treatment, wood must remain over the drip pad until drippage has ceased.
Records must be maintained to document compliance with this requirement.
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
For Inspection Procedures, refer to first page of discussion for this subject heading.
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Drip Pads (continued)
§265/143 Design and Operating Requirements (continued)
(1) Collection systems and holding units for run-on and run-off control must be
emptied or otherwise managed after storms.
(m) Throughout the active life of the drip pad, any conditions which cause or caused a
release of hazardous waste must be remedied as follows:
(1) Upon detection of such a situation, the owner/operator must:
(i) Immediately record the discovery in the facility operating log;
(ii) Remove from service the affected portion of the drip pad;
(iii) Determine what repairs must be done, remove any leakage from
below the pad, and establish a schedule for clean up and repairs;
(iv) Within 24 hours after discovery, notify the Regional Administrator
and, within 10 working days, provide written notice with the
description of repair and clean up steps planned.
(2) The Regional Administrator will review the information submitted,
decide whether the pad must be completely or partially shut down until
repairs are complete, and notify the owner/operator in writing of his
decision and rationale.
(3) Upon completion of repairs and clean up, the owner/operator must submit
to the Regional Administrator a certification signed by an independent,
qualified registered professional engineer that the plans previously
submitted have been carried out.
(n) The owner/operator must maintain in the facility operating log a record of past
operating and waste-handling practices, including type of preservative used,
drippage practices, and wood storage and handling practices.
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
For Inspection Procedures, refer to first page of discussion for this subject heading.
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Drip Pads (continued)
S26&444
(a) Before installation, liners and cover systems must be inspected for defects.
Immediately after installation, an independent, qualified registered professional
engineer must inspect liners and certify that they meet §265.443 standards. This
certification must be maintained in the facility operating log.
(b) Drip pads in operation must be inspected weekly and after storms for:
(1) Deterioration, malfunctions, or improper operation of run-on and run-off
control systems;
(2) Presence of leakage in and proper functioning of the leakage detection
system; and
(3) Deterioration or cracking of the drip pad surface.
§265,445 Closure
(a) At closure, the owner/operator must remove or decontaminate all contaminated
waste residues, containment system components, contaminated subsoils,
structures, and equipment, and manage them as hazardous waste.
(b) If it is impossible or impractical to remove all contaminated subsoils, the unit must
be closed as a landfill.
(c) (1) An "existing" drip pad (defined in §265.440) that does not comply with the
liner requirements of §265.443(b)(l) must:
(i) Include in the closure plan under §265.112 a plan for complying with
paragraph (a) above and a contingent plan for complying with
paragraph (b) above; and
(ii) Prepare a contingent post-closure plan under §265.118 in case the
pad must be closed according to closure and post-closure landfill
requirements of §265.310.
(2) Financial assurance cost estimates for closure and post-closure under
§§265.112 and 265.144 must include the cost of complying with the
contingent closure and contingent post-closure plans should the unit have
to be closed as a landfill, but need not include the cost of expected closure
under paragraph (a) above.
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
For Inspection Procedures, refer to first page of discussion for this subject heading.
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Air Emissions from Process Vents
§265.1030 Applicability
(a) Subpart AA regulations apply to owners/operators of facilities that treat, store, or
dispose of hazardous wastes (unless exempted in §265.1).
(b) Subpart AA regulations apply to process vents associated with six specific
operations: distillation, fractionation, thin-film evaporation, solvent extraction or
air or steam stripping. Subpart AA regulations apply only to vents associated with
units which are 1) subject to permitting and 2) hazardous waste recycling units
(which may be otherwise exempt) which are located at facilities subject to
permitting.
Substantive requirements apply only if the units manage hazardous wastes with an
organic concentration of 10 ppmw or greater (calculated on an annual average
basis). Units managing hazardous waste below the 10 ppmw concentration require
only demonstration to that effect per §265.1034(d) and (e) and recordkeeping per
§265.1035(0.
§265.1032 Standards: Process Vents
(a) The owner/operator of a facility with process vents associated with distillation.
fractionation. thin-film evaporation, solvent extraction or air or steam stripping
operations managing hazardous wastes with organic concentrations of at least 10
ppmw shall either:
(1) For all affected process vents, reduce total organic emissions below 1.4 kg/h
(3 Ib/h) AND 2.8 Mg/yr (3.1 tons/yr); or
(2) For all affected process vents, reduce, using a control device, total organic
emissions by 95 weight percent.
(b) If a closed-vent system and control device is used to reduce emissions, it must meet
the standards of §265.1033.
(c) Determinations of vent emissions/reductions by add-on devices may be based on
engineering calculations or performance tests. Performance tests must conform
with §265.1034(c).
(d) Disputes between the owner/operator and the Regional Administrator regarding
emissions levels will be resolved by the methods specified in §265.1034(c).
§265.1033 Standards: Closed-Vent Systems and Control Devices
(a) (1) Owners/operators of closed-vent systems and control devices used to control
organic emissions shall comply with the requirements of this section.
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Djr. No. 9938.02(b)
Inspection Procedures - Subpart AA, Sections 265.1030 through 265.1033
Ask for a list of all affected process vents which are subject to permitting (that is, units with
vents associated with distillation, fractionation, thin-film evaporation, solvent extraction, or air
or steam stripping operations that manage hazardous wastes with organic concentrations of at
least 10 ppmw).
: Recycling units exempt from TSDF standards under §261.6(c) but located at TSDFs
may be subject to Subpart AA standards.
Records should indicate which units have control devices to reduce organic emissions and
which already meet the §265.1032 standards. For each unit noted as having a control device, check
for the presence and operation of the device specified.
An owner/operator choosing to use a closed-vent system or control device — but who has not
installed such a device by the date a unit with excessive emissions comes under Subpart AA —
should be following an implementation schedule. Determine to what extent such a schedule has
been followed. The units must be in compliance no later than 18 months after the date they become
subject to Subpart AA.
Several types of control devices may be used. The following questions should be asked:
• Does every enclosed combustion device (such as a vapor incinerator, boiler, or process
heater) that is used to reduce emissions comply with §265.1033(c)?
• Does every boiler or process heater used to reduce emissions introduce the vent stream into
the flame combustion zone?
• Does any flare have visible emissions? Do all flares have a flame present? Do all flares
meet §265. 1033(d)(3) through (6)?
• Is a flow indicator attached to each vent? Does each indicator record vent flow stream at
least hourly?
• Is any carbon in adsorption systems subject to §265.1033(g) or (h) overdue for replacement?
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Air Emissions from Process Vents (continued)
§265.1083 Standards: Closed-Vent Systems and Control Devices (continued)
(2) The owner/operator of an existing facility who cannot have a closed-vent
system and control device on line by the deadline date for that unit must
prepare an implementation schedule for when it will be installed and
operating. Controls must be installed as soon as possible, but the
implementation schedule may allow up to 18 months after the effective date.
All units beginning operation after December 21, 1990 should comply with
closed-vent standards immediately.
(b) Vapor recovery control devices (e.g., condensers or adsorbers) must be at least 95
weight percent efficient unless the limits in §265.1032(a)(l) can be met at a lower
efficiency.
(c) . Enclosed combustion devices (e.g., vapor incinerators, boilers, or process heaters)
must be designed or operated to either:
Reduce organic emissions vented by 95 weight percent or greater;
Reduce organic compound concentration to 20 ppmv (as the sum of actual
compounds, not carbon equivalents) on a dry basis corrected to 3 percent
oxygen; or
Provide a minimum residence time of 0.50 seconds at a minimum
temperature of 760°C.
If a boiler or process heater is used as the control device, the vent stream
must be introduced into the flame combustion zone.
(d) & Flares shall have no visible emissions, as determined by methods set forth in
(e) (e)(l), except for periods of up to five minutes during any 2 consecutive hours.
Flares shall be designed and operated according to the specifications in this
paragraph.
(f) The owner/operator must monitor and inspect each required control device by
doing the following:
(1) Installing and operating a flow indicator that records vent stream flow
from each process venting at least hourly. The sensor should be in the vent
stream at the nearest feasible point to the control device inlet, but before
being combined with other vent streams; and
(2) Installing and operating devices to continuously monitor control
equipment as specified in this section.
(g) An owner/operator using carbon adsorption systems, such as fixed-bed carbon
adsorbers that regenerate the carbon bed directly in the control devices, must
replace the existing carbon at a regular, pre-determined time interval no longer
than the time set forth in §265.1035(b)(4)(iii)(F).
(h) An owner/operator using carbon adsorption systems, such as a carbon canister,
that does not regenerate the carbon bed directly in the control device must replace
the carbon on a regular basis using one of the following procedures:
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutoiy or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
For Inspection Procedures, refer to first page of discussion for this subject heading.
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely Tor guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Air Emissions from Process Vents (continued)
§266.1033 Standards: Closed-Vent Systems and Control Devices (continued)
(1) Vent stream monitoring, daily or within 20% of established carbon
working capacity life, or
(2) Replacement within the time specified in §265.1035(b)(4)(iii)(G).
(i) An owner/operator using control devices other than thermal vapor incinerators,
catalytic vapor incinerators, flares, boilers, process heaters, condensers, or carbon
adsorption systems must develop documentation describing the device and
parameters to indicate proper use and maintenance.
(j) (1) Closed-vent systems must have no detectable emissions, meaning less
than 500 ppm above background and none by visual inspection as
determined by §265.1034(b).
(2) Closed-vent systems must be monitored to verify compliance annually
and when requested by the Regional Administrator, and before the
facility becomes subject to these standards.
(3) Detectable emissions, as defined in (j)(l) above, shall be controlled as
soon as practicable, but not later than 15 calendar days after detection.
(4) A first attempt at repair must be made no later than 5 days after detection.
(k) Closed-vent systems and control devices must be operated any time emissions may
be vented to them.
m-i64
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
For Inspection Procedures, refer to first page of discussion for this subject heading.
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Air Emissions from Process Vents: Recordkeeping
§266.1035 Recordkeeping Requirements
(a) (1) Owners/operators must keep records as specified below.
(2) Those owners/operators with multiple units subject to air emissions
standards may use one system to track all records as long as units are
specifically identified in each record.
(b) The following must be recorded in the facility's operating record:
(1) For those who do not have controls on-line by the deadline date per
§265.1033(a)(2), an implementation schedule including a rationale as to
why control requirements could not be met on time.
(2) Up-to-date documentation of compliance with vent standards in §265.1032
including:
(i) Identification of all affected vents, their annual throughput and
operating hours, and estimated emission rates; and
(ii) Information and data supporting emissions compliance.
(3) For owners/operators who use test data to demonstrate emissions
compliance, a performance test plan including:
(i) A test strategy for when the unit is at maximum capacity;
(ii) A detailed engineering description of the system with
specifications; and
(iii) A detailed description of sampling and monitoring procedures.
(4) Compliance documentation must include the following:
(i) A list of all sources used in preparing documentation;
(ii) Records including dates of compliance tests under §265.1033(j);
(iii) For those using engineering calculations, a design analysis,
drawings, etc. for control devices based on specific acceptable
•engineering practices;
(iv) A statement signed and dated by the owner/operator that the
parameters used in the analysis reasonably represent the unit's
conditions at maximum capacity,
(v) A statement signed and dated by the owner/operator or the control
device manufacturer that the system is designed to achieve required
emissions levels; and
(vi) For those using performance tests, all test results.
(c) Specific design documentation and operational information for each system must
be kept up to date in the fsriljt.y operating record, including:
(1) Description and date of modifications;
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory,or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Inspection Procedures • Subpart AA, Section 265.1035
Kev Considerations:
• If a closed-vent system or control device is scheduled to be used for compliance but has not
yet been installed, is an implementation schedule in the facility operating record?
• Does the operating record include up-to-date documentation of compliance with vent
standards in §265.1032? Does the documentation include sources used, test/analysis
records, engineering information, and owner/operator statements as specified by
§265.1035(b)(4)?
• For owners/operators who use test data to demonstrate emissions compliance, is there a
performance test plan in the facility operating record?
• For each system, is design documentation and operational information kept up to date in
the facility operating record, including all elements listed in §265.1035(c)? Note: parts of
this information need only be kept on file for 3 years.
• Check the monitoring devices to ensure that all operating parameters are met.
If devices other than thermal vapor incinerators, catalytic vapor incinerators, flares,
boilers, process heaters', condensers, or carbon adsorption systems are used, check the
facility operating record for monitoring and inspection information indicating proper
operation and maintenance.
Check the facility operating record for analysis or other information related to
determining applicability of Subpart AA. Note that owners/operators with affected vents
which do not fall under emission control standards of §265.1032 must still have up-to-date
information and data to support the fact that they are not subject to standards (see
§265.1035(0).
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statements) contained herein.
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OSWER Dir. No. 9938.02(b)
Air Emissions from Process Vents: Recqrdkeeping (continued)
§265.1035 Reoordkeeping Requirements (continued)
(2) Operating parameters and monitoring device description and diagram of
monitoring sensor location or locations used to comply with §265.1033(0(1)
and (0(2);
(3) Monitoring, operating, and inspection information from §265.1033(0
through (j);
(4) Date, time, and duration of periods breaking monitored parameters in
ways specified in this paragraph for each type of control device
(5) Explanation for each case described in (c)(3) above;
(6) For carbon adsorption systems with carbon replaced at specific intervals
according to §265.1033(g) or (h)(2), the date when the carbon is replaced;
(7) For carbon adsorption systems with carbon replaced when monitoring
indicates breakthrough according to §265.1033(h)(l), a log that records when
the system is monitored, the monitoring device reading, and when the
carbon is replaced; and
(8) Date of'control device startup and shutdown.
(d) Records of monitoring, operating, and inspection information required by (c)(3)
through (8) above need only be kept 3 years.
(e) For control devices other than those specified in this paragraph, documentation of
proper operation and maintenance.
(f) Up-to-date information and data used to determine whether or not a process vent is
subject to these air emissions standards.
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
For Inspection Procedures, refer to first page of discussion for this subject heading.
IE-169
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statements) contained herein.
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OSWER Dir. No. 9938.02(b)
Air Emissions for Equipment Leaks: Pumps
§265.1060 Applicability
(a) Subpart BB regulations apply to owners/operators of facilities that treat, store, or
dispose of hazardous wastes (unless exempted in §265.1).
(b) Subpart BB regulations apply to equipment, regardless of process, as defined by
§264.1031. Subpart BB regulations apply only to equipment containing or contacted
hazardous wastes managed in units which are 1) subject to permitting and 2)
recycling units (which may be otherwise exempt) which are located at facilities
subject to permitting.
Substantive requirements apply only if the units manage hazardous wastes with an
organic concentration of 10 percent by weight or greater (not an average
calculation). Units managing hazardous waste below the 10 percent concentration
require only recordkeeping to that effect per §265.1064(k).
(c) Each piece of equipment with greater than ten percent organics by weight must be
marked to be readily distinguishable from other equipment.
(d) Equipment in vacuum service, if identified as required in §265.1064(g)(5), is
excluded from the requirements of §265.1052 to §265.1060.
5285.1052 Pumps in Light Liquid Service
(a) Monitoring and inspections:
(1) Each pump in light liquid service must be monitored monthly for leaks by
Method 21 as specified in §265.1063(b), except as provided in (d), (e), or (f)
below.
(2) Weekly visual inspections must be made for leaks from the pump seal.
(b) Leaks:
(1) An instrument reading over 10,000 ppm constitutes a leak.
(2) Indications of dripping from the pump seal constitutes a leak.
(c) Repairs:,
(1) Leaks must be repaired as soon as practicable, but not later than 15 .calendar
days after detection, unless a delay of repair is allowed under §265.1059.
(2) A first attempt at repair must be made no later than 5 calendar days after detection.
(d) Pumps equipped with dual mechanical seal systems which include a barrier fluid
system are exempt from (a) above provided that:
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Inspection Procedures - Subpart BB, Sections 265.1050 and 265.1052
Ask for a list of all equipment which is subject to permitting and contains or contacts
hazardous wastes with organic concentrations of at least 10 percent or 100.000 ppmw. Note:
recycling units that are located at TSDFs which are exempt from TSDF standards under §261.6(c)
may still be subject to Subpart 8B standards. Check each piece of equipment on the list for a
marking which readily distinguishes it from other equipment.
• Visually inspect each piece of equipment on the list. Does any piece of equipment appear to
be leaking?
• For pumps required to be monitored monthly (pursuant to §265.1052(a)), ask for
documentation of such monitoring. Also check for records of weekly visual inspections.
• For pumps exempt from monthly monitoring under §265.1052(d), check for a barrier fluid
system with a sensor. If the sensor has an alarm, is it functioning? Has the alarm been
checked weekly? If no alarm is attached, has the sensor been checked daily to be sure it is
functioning?
• Identify from the facility log equipment which has leaked and been repaired previously.
Be sure to inspect this equipment.
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Air Emissions for Equipment Leaks: Pumps (continued)
§265.1052 Pumps in Light Liquid Service (continued)
(1) Each dual mechanical seal system is properly equipped with barrier fluid
and is operated as specified in this paragraph;
(2) The barrier fluid system is not hazardous waste with greater than 10 weight
percent organics;
(3) Each barrier fluid system is equipped with a sensor to detect seal failure
and/or system failure;
i
(4) Each pump is visually inspected each calendar week for dripping liquids;
(5) Each sensor described in (d)(3) above is checked daily or equipped with an
audible alarm which is checked weekly to be sure it is functioning. The
owner/operator must create a criterion that indicates failure of the seal
system and/or the barrier fluid system, and
i
(6) Dripping liquids or a positive sensor reading indicates a leak, which must
be repaired as soon as practicable but no later than 15 calendar days after
detection, unless a delay of repair is allowed under §265.1059. A first
attempt at repair shall be made no later than 5 calendar days after each leak
is detected.
(e) Any pump designated under §265.1064(g)(2) for no detectable emissions is exempt
from (a),(c),and(d) above if the pump:
(1) Has no externally actuated shaft penetrating the pump housing;
(2) Operates with no detectable emissions as defined in this paragraph; and
(3) Is tested for compliance with (e)(2) above initially, annually, and when
requested by the Regional Administrator.
(f) Any pump with a closed-vent system which captures and transports any leakage
from the seal(s) to a control device per §265.1060 is exempt from (a) through (e)
above.
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements arc in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
For Inspection Procedures, refer to first page of discussion for this subject heading.
m-173
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Air FmiiMrfnrm fpr Equipment T/eflkg; Standards
§265.1053 Standards: Compressors
(a) Compressors must have a seal system that includes a-barrier fluid system and
prevents organic emissions, unless excepted from this requirement pursuant to (h)
and (i) below.
(b) Compressor seal systems must:
(1) Be operated with the barrier fluid at a pressure that is always greater than
the compressor stuffing box pressure; or
(2) Have a barrier fluid system that is connected by a closed-vent system to a
control device that complies with §265.1060; or
(3) Purge the barrier fluid into a hazardous waste stream with no detectable
emissions to the atmosphere.
(c) The barrier fluid must not be a hazardous waste with organic concentrations 10
weight percent or greater.
(d) Barrier fluid systems described in (a) through (c) above must have a sensor that
detects seal and/or barrier fluid system failure.
(e) (1) Each sensor used to meet the requirement of (d) above must be checked daily
or have an audible alarm which is checked monthly to be sure it is
functioning. Sensors at unmanned sites must be checked daily.
(2) The owner/operator must create a criterion that indicates failure of the seal
system and/or the barrier fluid system.
(f) Failure of the seal system or the barrier fluid system, according to the criterion set
forth in (e)(2) above, constitutes a leak.
(g) (1) Leaks must be repaired as soon as practicable but no later than 15 calendar
days after detection, unless allowed under §265.1059.
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Inspection Procedures - Subpart BB, Sections 265.1053 through 265.1062
• Compressors required to have a seal system (pursuant to §265.1053(a)) should be inspected
for a working barrier fluid system. Check for a working sensor. If the sensor has an
alarm, is it functioning? Has the alarm been checked monthly? If no alarm is attached,
has the sensor been checked daily? If the sensor, with or without an alarm, is at an
unmanned site, has it been checked daily?
• With respect to pressure relief devices in gas/vapor service under §265.1054, unless
exempted under §265.1054(c), were measurements taken after each release to ensure that
emissions returned below 500 ppm within 5 days?
• Unless in situ, check sampling connection systems to see if a purged hazardous waste
stream would be sent directly to a recycling or disposal system with no detectable
emissions.
• Check all open-ended valves for a cap, blind flange, plug, or second valve, unless an
operation is underway requiring a flow through the valve.
• Have all valves subject to §265.1057(a) been monitored according to the relevant schedule
for each valve (specified in §265.1057(c) as depending on its track record)?
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Air Emissions for Equipment Leaks: Standards (continued)
§266.1063 Standards: Compressors (continued)
(2) A first attempt at repair of leaks must be made within 5 calendar days of
detection.
(h) Compressors are exempt from the requirements of (a) and (b) above if equipped with
a closed-vent system which sends leakage to a control device that meets standards
of §265.1060, unless excepted under paragraph (i) below.
(i) Compressors designated under §265.1064(g)(2) for no detectable emissions are
exempt from the requirements of (a) through (h) above if:
(i)(l) A reading indicates emissions less than 500 ppm above background; and
(i)(2) They are tested for compliance with (i)(l) above initially, annually, and
when requested by the Regional Administrator.
§265.1054 Standards: Pressure Relief Devices in Gas/Vapor Service
(a) Except during pressure releases (see (b)(l) below), pressure relief devices must not
have emissions exceeding 500 ppm above background, as measured by §265.1063(c).
(b) After pressure release:
(1) Emissions must be returned below 500 ppm above background as soon as
practicable, but no later than 5 calendar days after the release, unless
excepted in §265.1059.
(2) The pressure relief device must be monitored within 5 calendar days of
release to confirm emissions levels, as measured by the method specified in
§265.1063(c).
(c) Pressure relief devices with a closed-vent system sending leakage to a control
device that meets standards of §265.1060 are exempt from the requirements of (a)
and (b) above.
§265.1055 Standards: Sampling Connecting Systems
(a) Sampling connection systems must have a closed-purge or closed-vent system.
(b) Closed-purge and closed-vent systems required in (a) above must:
(1) Return the purged hazardous waste stream directly to the hazardous waste
management process line with no detectable emissions: or
(2) Collect and recycle the purged hazardous waste stream with no detectable
emissions; or
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
For Inspection Procedures, refer to first page of discussion for this subject heading.
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Air Emissions for Equipment Leaks: Standards (continued)
§265.1065 Standards: Sampling Connecting Systems (continued)
(3) Capture and send all purged hazardous waste to a control device that
complies with §265.1060.
(c) In situ sampling systems are exempt from the requirements of (a) and (b) above.
§265.1056 Standards: Open-ended Valves or Lines
(a) Open-ended valves or lines must have a cap, blind flange, plug, or
second valve which seals the open end, except during operations requiring flow
through the open-ended valve or line.
(b) If a second valve is used, the valve closer to the waste stream must be closed first.
(c) When a double block and bleed system is used, the bleed valve or line may remain
open during operations that require venting the line between block valves, but must
comply with the requirements of (a) above.
§265.1057 Standards: Valves in Gas/Vapor or Light Liquid Service
(a) Valves ip gas/vapor or light liquid service must be monitored monthly to detect
leaks pursuant to §265.1063(b) and must comply with the requirements of (b)
through (e) below unless excepted by (f), (g), or (h) below, §265.1061, or §265.1062.
(b) An instrument reading of over 10,000 ppm constitutes a leak.
(c) (1) If a leak is not detected for two successive months, the valve need only be
monitored the first month of every quarter, beginning with the next quarter.
(2) If a leak is detected, the valve must be monitored monthly until it again
does not leak for two successive months.
(d) (1) Leaks must be repaired as soon as practicable, but not later than 15 calendar
days after detection, unless a longer period is allowed under §265.1059.
(2) A first attempt at repair of leaks must be made within 5 calendar days of
detection.
(e) First attempts at repair include such actions as tightening or replacing bonnet
bolts, tightening packing gland nuts, and injecting lubricant into lubricated
packing.
IH-178
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
For Inspection Procedures, refer to first page of discussion for this subject heading.
IE-179
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual ia intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Air Emissions for Equipment Leaks: Standards (continued)
§266.1067 Standards: Valves in Gas/Vapor or Light Liquid Service (continued)
(f) Valves designated under S265.1Q64(g)(2) for no detectable emissions are exempt
from the requirements of (a) above if they:
(1) Have no external actuating mechanism in contact with the hazardous
waste stream;
(2) Emit less than 500 ppm above background, as determined by the method
specified in §265.1064(g)(2); and
(3) Are tested for compliance with (f)(2) above initially, annually, and when
requested by the Regional Administrator.
(g) Valves designated under §265.1064(h)(l) as unsafe-to-monitor are exempt from the
requirements of (a) above if:
(1) The owner/operator determines that monitoring personnel would be
exposed to an immediate danger; and
(2) The owner/operator adheres to a written plan requiring monitoring as
frequently as practicable during safe-to-monitor times.
(h) Valves designated under §265.1064(h)(2) as difficult-to-monitor are exempt from
the requirements of (a) above if:
(1) The owner/operator determines that monitoring personnel would have to
be elevated more than 2 meters above the support surface;
(2) The unit to which the valves are connected was in operation before June
21,1990; and
(3) The owner/operator adheres to a written plan requiring monitoring at
least yearly.
§266.1058 Standards: Pumps and Valves in Heavy Liquid Service., Pressure Relief Devices in
Light Liquid or Heavy Liquid Service, and Flanges and Other Connectors
(a) The devices must be monitored within 5 days of finding a potential leak by sight,
sound, smell, or other method.
(b) An instrument reading 10,000 ppm or greater constitutes a leak.
(1) Leaks must be repaired as soon as practicable, but not later than 15 calendar
days after detection, unless a longer period is allowed under §265.1059.
(2) A first attempt at repair of leaks must be made within 5 calendar days of
detection.
(d) Repair attempts include the methods set forth in §265.1057(e).
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FOR USE BY-EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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For Inspection Procedures, refer to first page of discussion for this subject heading.
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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for Equipment Leaks: Standards (continued)
§265.1059 Standards: Delay of Repair
(a) Delay of repair is allowed if the repair is infeasible without shutting down the
hazardous waste management unit. If so, the leak must be repaired during the next
shutdown.
(b) Delay of repair is allowed if the equipment is isolated from the HWMU and if it
ceases to contain or contact hazardous waste with organic concentrations at least 10
percent by weight.
(c) Delay of repair for valves is allowed if:
(1) The owner/operator determines that emission of purged material
resulting from immediate repair is greater than the emissions likely to
result from delay of repair;
(2) During repair, the purged material is collected and destroyed or
recovered in a control device pursuant to §265. 1060.
(d) Delay of repair for pumps is allowed if:
(1) A dual mechanical seal system with a barrier fluid system would have to
be used;
(2) Repair is completed as soon as practicable, but at least within 6 months of
leak detection.
(e) Delay of repair beyond a HWMU shutdown is allowed for a valve if valve assembly
replacement must be done during the shutdown and an adequate supply of valves
runs out. Delay beyond the next shutdown will only be allowed if it occurs within 6
months of the first shutdown.
5265.1080 Standards: Closed-vent Systems and Control Devices
Owners/operators of closed-vent systems and control devices must comply with the
requirements of §265.1033.
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended aolely for guidance. No statutory or
regulatory requirements arc in any way altered by any statement(s) contained herein.
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For Inspection Procedures, refer to first page of discussion for this subject heading.
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual ia intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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Air Emissions for Equipment Leaks: Alternative Standards
§265.1061 Alternative Standards for Valves in Gas/Vapor Service or Light Liquid Service:
Percentage of Valves Allowed to Leak
(a) Those subject to §265.1057 may choose to be regulated under an alternative standard
which allows 2 percent of the valves to leak.
(b) To follow this standard, the Regional Administrator must be notified, performance
tests pursuant to (c) below must be done initially, annually, and as requested, and
leaks must be repaired pursuant to §265.1057(d) and (e).
(c) Performance tests must be done as follows:
(1) Valves subject to §265.1057 within the HWMU must be monitored within 1
week by methods specified in §265.1063(b).
(2) An instrument reading over 10,000 ppm constitutes a leak.
(3) The leak percentage is calculated by dividing the number of leaking valves
subject to §265.1057 by the total number of valves subject to §265.1057.
(d) If an owner/operator chooses to no longer comply with this section, the Regional
Administrator must be notified.
§265.1062 Alternative Standards for Valves in Gas/Vapor Service or Light Liquid Service: Skip
Period Leak Detection and Repair
(a) Owners/operators subject to §265.1057 may choose to skip leak detection periods as
specified in (b)(2) and (3) below and, if they so choose, must notify the Regional
Administrator.
(b) (1) §265.1057 must be complied with except as provided in (b)(2) and (3) below.
(2) After two consecutive quarterly detection periods, if the 2 percent leak rate is
not exceeded, every other quarter may be skipped.
(3) After five consecutive quarterly detection periods, if the 2 percent leak rate
is not exceeded, three quarters may be skipped.
(4) If the 2 percent leak rate is exceeded, monthly monitoring must be done
pursuant to §265.1057 until compliance with §265.1057(c)(l) is achieved.
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
For Inspection Procedures, refer to first page of discussion for this subject heading.
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely Tor guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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Air Emissions for Equipment Leaks: Reoordkeeping
$265.1084 Reoordkeeping Requirements
(a) Records must be kept for Subpart BB units. One system to track all records may be
used as long as units are specifically identified in each record.
(b) The following must be recorded in the facility's operating record:
(1) For each piece of equipment, the equipment ID number and HWMU
identification, approximate location, type of equipment, weight percent of
organics in the waste stream, the physical state of the material (e.g., gas,
vapor, liquid), and the compliance method used;
(2) For those who do not have controls on-line by the deadline date set under
§265.1033(a)(2), an implementation schedule including a rationale why
control requirements could not be met on time;
(3) For those who use test data to demonstrate emissions compliance of the
control device, a performance test plan pursuant to §265.1060; and
(4) Documentation of compliance with §265.1060 including that which is
specified in §265.1035(b)(4).
(c) When a leak is detected, the owner/operator must:
(1) Attach to the leaking equipment a weatherproof and readily visible
identification, including the equipment number, the date evidence of
potential leak was discovered, and the leak detection date;
(2) Except for leaking valves, the identification may be removed from
equipment after repair.
(3) The identification may be removed from a valve after it has been monitored
for 2 months and no leak is detected.
(d) When each leak is detected, as specified in §§265.1052, 265.1053, 265.1057, and
265.1058, the following information must be recorded in an inspection log that is
kept in the facility operating record:
(1) The instrument, operator, and equipment identification numbers;
(2) The date evidence of a potential leak was found pursuant to §265.1058(a);
(3) The leak detection date and dates of attempts to repair the leak;
(4) Repair methods applied in each attempt;
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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Inspection Procedures - Subpart BB, Section 265.1064
Check the facility operating record. Does it contain:
-- A list of each piece of equipment, including all details required by §265.1064(b)(D?
-- An implementation schedule for equipment scheduled to have control devices
installed, including a rationale for not having controls in place by the date they become
subject to Subpart BB?
-- A performance test plan (if test data is used to demonstrate compliance with emissions
standards)?
Review the facility operating record for an inspection log with records of equipment leaks.
For each leak, check the following:
-- If repair is not yet complete, check the equipment for identification (such as a tag)
pursuant to §265.1064(c)(l).
-- If repair was completed within the past two months and the equipment leaking was a
valve, identification as mentioned above should still be on the equipment. If repair
was completed more than two months ago and the identification has been removed, ask
to see monitoring results indicating no leak has occurred for two months.
-- Check the information of each leak record against the list of requirements listed in
§265.1064(d). Note: these records need only be kept for 3 years.
If a closed-vent system or control device is used to control emissions from leaking
equipment, examine the facility operating record for design documentation and
monitoring, operating, and inspection information for each such system. Note: operation
information need only be kept for three years.
If an owner/operator chooses to use a device other than those with specific Subpart BB
standards, check the facility operating log for documentation of proper operation and
maintenance.
Examine the operating record for a log of all equipment subject to Subpart BB. Check for
each piece of information required by §265.1064(g).
Examine the operating record for lists of all "unsafe-to-monitor" and "difficult-to-
monitor" valves. There should be an explanation of why each valve was so designated and
a plan for monitoring each valve.
If the owner/operator has chosen the alternative valve standard under §265.1062 (2% or
fewer leaking), check the operating record for the percentage of valves found leaking
during several monitoring periods.
Check the facility operating record for all analysis or other information related to
determining applicability of equipment leak standards. Note that owners/operators with
equipment meeting the applicability criteria §265.1050 which does not fall under emission
control standards of Subpart BB must still have up-to-date information and data in the
facility operating record to support the fact that the equipment is not subject to standards.
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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Air Emissions for Equipment Leaks: Recordkeeping (continued)
§265.1064 Reoordkeeping Requirements (continued)
(5) The words "Above 10,000" if the maximum instrument reading measured
by the methods in §265.1063(b) is equal to or greater than 10,000 ppm;
(6) The words "Repair delayed" and the reason for delay if a leak is not
repaired within 15 calendar days of discovery of the leak;
(7) Documentation supporting the delay of repair of a valve, in compliance with
§265.1059(c);
(8) If delayed until shutdown, the signature of the owner/operator (or
designate) who decided the repair had to wait until shutdown;
(9) The expected date of successful repair if the leak was not repaired within 15
days; and
(10) The date of successful repair.
(e) Design documentation and monitoring, operating, and inspection information for
each closed-vent system and control device subject to §265.1060 must be recorded
and kept up-to-date in the facility operating record pursuant to §265.1035(c).
(f) For a control device other than a thermal vapor incinerator, catalytic vapor
incinerator, flare, boiler, process heater, condenser, or carbon adsorption system,
monitoring and inspection information indicating proper operation and
maintenance of the control device must be recorded in the facility operating log.
(g) The following information for equipment subject to §§265.1052 through 265.1060
must be recorded in a log that is kept in the facility operating record:
(1) A list of identification numbers for equipment (except welded fittings)
subject to Subpart BB;
(2) A list of identification numbers for equipment designated for no detectable
emissions. The designation must be signed by the owner/operator;
(3) A list of equipment identification numbers for pressure relief devices
subject to §265.1054(a);
(4) The dates, background level measured, and maximum instrument
reading measured for each compliance test required; and
(5) A list of identification numbers for equipment in vacuum service.
(h) The following information for valves subject to §265.1057(g) and (h) must be
recorded in a log that is kept in the facility operating record:
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
For Inspection Procedures, refer to first page of discussion for this subject heading.
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Air Emissions for Equipment Leaks: Recordkeeping (continued)
§265.1064 Beoordkeeping Requirements (continued)
(h) (1) A list of identification numbers for valves that are designated as unsafe-to-
monitor with an explanation of why this is so and a plan to monitor each
valve;
(2) A list of identification numbers for valves that are designated as difficult-
to-monitor with an explanation of why this is so and a planned schedule to
monitor each valve.
(i) For valves complying with §265.1062, the monitoring schedule and the percent of
valves found leaking during each monitoring period must be maintained in the
facility operating record.
(j) The criteria required under §265.1052(d)(5)(ii) and §265.1053(e)(2), along with an
explanation, a list of changes, and reasons for changes, must be recorded in a log
that is kept in the facility operating record.
(k) The following information must be recorded in a log that is kept in the facility
operating record for use in determining exemptions as provided in the applicability
section of Subpart BB and other specific subparts:
(1) An analysis determining the design capacity of the HWMU;
(2) A statement listing the hazardous waste influent to and effluent from each
HWMU subject to §265.1052 and §265.1060 and an analysis determining;
.whether these hazardous wastes are heavy liquids; and
(3) An up-to-date analysis and the supporting information and data used to
determine whether equipment is subject to §265.1052 through §265.1060.
When knowledge of the waste stream is applied, the record must include
documentation pursuant to §265.1063(d)(3).
(1) Records of equipment leak and operating information required under (d) and (e)
above need only be kept for 3 years.
(m) Owners/operators subject to both Subpart BB and 40 CFR Part 60 Subpart W, or 40
CFR Part 61, Subpart V, may elect to use either §265.1064 or the provisions of 40 CFR
Part 60 or 61 to determine compliance with Subpart BB, to the extent that these
provisions are duplicative. If the 40 CFR Part 60 or 61 records are used, they must be
kept with, or made readily available with, the facility operating record.
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
For Inspection Procedures, refer to first page of discussion for this subject heading.
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement^) contained herein.
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TABLE m-5 PERMITTED FACILITY REGULATORY REQUIREMENTS
Subpart B • General Facility Standards
§§264.10 through §264.17(b) are similar to Part 265 requirements (see Table 111-4)
§264.17(c) Requirements for Ignitable, Reactive, or Incompatible Wastes
When a facility must comply with the general requirements, permitted facilities must
document such compliance.
§28418 Location Standards
(a) Portions of new permitted facilities must not be located within 61 meters of a fault
which has had displacement in Holocene time.
(b) A facility located in a 100 year flood plain must be designed, constructed, operated,
and maintained to prevent washout unless the waste can be removed or no adverse
effects will result if washout occurs.
(c) Placement of any non-containerized or bulk liquid waste in any salt dome
formation, salt bed formation, underground mine or cave is prohibited.
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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Inspection Procedures • Subpart B, Sections 264.10 through 26418
Remember;
• General inspection requirements for permitted facilities are usually the same as for
interim status facilities.
• Compliance with location standards should be verified during the permit process.
• Inspectors should review the latest version of the Part A Permit^Application, "Facility
Identification Section," and the latest version of the Part B Permit/Application, "Facility
Location Section," to ensure that the present facility information is consistent.
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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Subpart C - Preparedness and Prevention
Subpart D • Contingency Plan and Emergency Procedures
Subpart E • Manifest System, Recordkeeping, and Reporting
Subpart H - Financial Requirements
Subpart C requirements are similar to Part 265 Subpart C requirements.
Subpart D requirements are similar to Part 265 Subpart D requirements.
Subpart E requirements, §264.70 through §264.72,. are similar to Part 265 Subpart E
requirements.
§264.73 Operating record requirements are similar to §265.73 requirements except that:
The operating record must contain the following:
(7) Notices to generators of appropriate permits.
(9) Annual certification that a program is in place to reduce toxicity and volume of
hazardous waste generated by the permittee.
Subpart E requirements, §264.74 through §264.77, are similar to Part 265 Subpart E
requirements.
Subpart H requirements are similar to Part 265 Subpart H requirements.
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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Inspection Procedures • Subparts C, D, E, and H
Remember:
General inspection requirements for permitted facilities are usually the same as for
interim status facilities.
Permitted facilities are required to include notices to generators of appropriate permits and
annual certification that a waste minimization program is in place in their operating
record, whereas interim status facilities are not required to do so.
Owners/operators may obtain, from the Regional Administrator waivers from meeting
aisle space and emergency equipment requirements.
Inspectors should review the facility's Part B Permit/Application-Part VII, "Contingency
Plan & Emergency Procedures Section," to ensure that the facility is complying with the
information presented in the facility contingency plan, including procedures to be used in
the event of a fire, explosion, or other unplanned occurrence.
Inspectors should review the facility's Part B Permit/Application-Part VI, "Management
Practices Section," to ensure that the facility's operational procedures regarding manifest
system, recordkeeping, and reporting are being carried out by facility personnel.
The financial responsibility requirements apply to owners/operators of all hazardous
waste facilities except State and federal hazardous waste facilities. Inspectors should
review the facility's Part B Permit/Application-Part X, "Financial Responsibility
Section," to ensure that all identified mechanisms for financial assurance are current
and appropriate.
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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Subpart F • Releases from Solid Waste Management Units
§26430 Applicability
These regulations apply to owners/operators of facilities that treat, store, or dispose of
hazardous waste unless they are exempt under §264.1 or operate a unit which is an engineered
structure, does not receive or contain liquid waste or waste containing free liquids, has both inner
and outer layers of containment, and has a leak detection system(s) built into each layer which
will be maintained and will not allow hazardous constituents to migrate beyond the outer layer.
Owners/operators of land treatment units with treatment zones that do not contain levels of
constituents that exceed background levels can eliminate post-closure care requirements. The
post-closure care requirements also do not apply to waste piles meeting design standards and to
units where there is no potential migration into the uppermost aquifer.
§26431 Required Programs
All facilities covered under these regulations must conduct a detection monitoring
program unless hazardous constituents are detected at the compliance point. In this case, the
owner/operator would conduct a compliance monitoring program. If ground water standards are
exceeded, a corrective action program under §264.100 must be started.
§28452 Groundwater Protection Standard
The Regional Administrator will establish the ground water protection standard in the
facility permit.
§26443 Hazardous Constituents
The Regional Administrator will specify in the permit the hazardous constituents to which
the standard applies.
§26434 Concentration Limits
The Regional Administrator will specify in the permit the concentration limits.
§26435 Point of Compliance
The Regional Administrator will specify the point of compliance in the permit. The point
of compliance is a vertical surface located at the hydraulically downgradient limit of the waste
management area that extends into the uppermost aquifer.
§26436 Compliance Period
The compliance period is equal to the number of years equal to the active life of the waste
management area and is specified in the permit by the Regional Administrator.
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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Inspection Procedures - Subpart F, Sections 264.90 through 264.101
Kev Considerations:
• Is the owner/operator engaging in detection or compliance monitoring?
• Are all constituents specified in the permit being monitored?
• Are complete Appendix IX scans and groundwater flow rate and direction evaluations
being done as frequently as specified in the permit for compliance monitoring programs?
• Does the groundwater monitoring program follow proper procedures for sample collection,
sample preservation and shipment, and chain of custody?
• Does monitoring data show that either background or the ground water protection standard
have been exceeded? Have the statistical evaluations been done?
• Has an RFA been performed? If not, you may look at any or all solid waste management
units on site.
• Is the facility under corrective action? If so, are the compliance schedules being met?
Identification of releases from solid waste management units will be done during a RCRA
Facility Assessment. The "RCRA Facility Assessment Guidance Manual" is available as
a reference.
• Inspectors should review the Part B Permit/Application-Part IV, "Facility Design
Section," which includes the requirements for a groundwater monitoring program
(Subsection N) if it is required at the facility.
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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Subpart F - Releases from Solid Waste Management Units (continued)
§28498 Detection Monitoring Program
The owner/operator must monitor for indicator parameters that provide a reliable
indication of the presence of hazardous constituents in the ground water. The Regional
Administrator will specify the parameters in the permit.
The owner/operator must install a monitoring system at the compliance point and
establish background levels for the parameters of concern. The owner/operator must monitor
semiannually and statistically evaluate any increase or pH changes. If there is a significant
increase, he must notify the Regional Administrator within 7 days. If detection monitoring
indicates a release, the owner/operator must go to compliance monitoring and obtain a permit
modification.
§26499 Compliance Monitoring Program
The owner/operator must determine whether the regulated units are in compliance with the
ground water protection standard. The owner/operator must determine the concentration of
hazardous constituents in the ground water at least quarterly. The owner/operator must
determine the flow rate and direction in the uppermost aquifer, and analyze for all Appendix DC
constituents at least annually. If there is a statistically significant difference between the
observed concentration and the groundwater protection standard for each constituent, the
owner/operator shall notify the Regional Administrator and apply to make the permit changes
necessary for a corrective action program.
§284.100 Connective Action Program
An owner/operator required to take corrective action must implement a program that
prevents hazardous constituents from exceeding their groundwater protection standard by
removing or treating the hazardous waste constituents. A groundwater monitoring program that
can demonstrate the effectiveness of the corrective action must be implemented. The
owner/operator can terminate corrective action measures if he can demonstrate that the
groundwater protection standard has not been exceeded for 3 consecutive years.
§264.101 Corrective Action for Solid Waste Management Units
The owner/operator of a facility must implement corrective action for releases of
hazardous waste or constituents from any solid waste management unit that affect human health
and the environment. Corrective action required will be specified in the permit.
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(a) contained herein.
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OSWER Dir. No. 9938.02(b)
For Inspection Procedures, refer to first page of discussion for this subject heading.
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirement* are in any way altered by any statement(s) contained herein.
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Subpart G - Closure and Post-Closure
§264.110 Applicability
The following regulations (§§264.111 through 264.115) apply to the owners/operators of all
hazardous waste management facilities unless §264.1 provides otherwise.
§264.112 Closure Plan; Amendment of Plan
(c) The owner/operator may request a permit modification to amend the closure plan
any time prior to closure when changes occur that will affect the closure of the unit.
§264.113 through §264.117 are similar to Part 265 requirements. See Table III-4.
§264.118 Post-Closure Plan; Amendment of Plan
(d) The owner/operator may request a permit modification to amend the post-closure
plan any time during the active life or the post-closure care period when changes
occur that will affect post-closure care.
§§264.119 through 264.120 are similar to Part 265 requirements. See Table III-4.
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Inspection Procedures - Subpart G, Sections 264.110 through 264.120
Kev Considerations:
• Have any amendments to closure or post-closure plans been accompanied by a request for a
permit modification?
• Have post-closure plans been completed for waste piles and surface impoundments even
though they will not be closed as a landfill, as required?
• Inspectors should review the facility's Part B Permit/Application-Part DC, "Closure Plan
Section," which includes detailed descriptions of the steps necessary to decontaminate the
facility and how-much it would cost.
• Inspectors should ensure that any closure activities are in accordance with the approved
facility closure plan and that facility post closure documentation includes required notices
and certifications.
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Subpart I • Use and Management of Containers
§§264.170 through 264.174 are similar to Part 265 requirements. See Table III-4.
§284.175 Containment
(a) & Container storage areas must have a containment system designed and operated as
(b) follows:
(1) Impervious base, free of cracks;
(2) Sloped or designed to drain off leaks, spills, or precipitation, unless
containers are elevated;
(3) System must be able to contain 10% of the volume of the free liquids in all
containers or the largest container, whichever is greater;
(4) Run-on must be prevented unless the system has the capacity to contain
excess liquid;
(5) Accumulated liquid and waste must be removed in a timely manner.
(c) Container storage areas that do not hold wastes with free liquid do not need a
containment system, except for F020, F021, F022, F023, F026, and F027, which must
always have a containment system which is in compliance with (2) above.
§264.176 and §264.177 are similar to Part 265 requirements. See Table III-4.
§284.178 Closure
At closure, all hazardous wastes and associated residues must be removed from the
containment system.
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Inspection Procedures - Subpart I, Sections 264.170 through 264.178
Kev Considerations:
• Is the containment system free from cracks, gaps, or other signs of deterioration, and
without any standing liquids (unless recent precipitation or spills have occurred)? How
long has precipitation been there?
• Does the containment system have sufficient excess capacity to collect precipitation and
run-on and still meet the 10% requirement for free liquids?
• Is the evaluation and disposal method of any contained liquid within the containment
system adequate?
• After closure, has the decontamination of the containment system been documented?
• Inspectors should review the facility's Part B Permit/Application-Part IV, "Facility
Design Section (Subsection A)," to ensure that facility container utilization is consistent
with that specified and approved.
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Subpart J • Tank Systems
§§264.190 through 264.199 are similar to §§265.190 through 265.199. See Table III-4.
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory' or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Inspection Procedures - Subpart J, Sections 264.190 through 264.199
Remember;
The regulations applicable to above-, on-, in-, and underground tanks that can be entered
apply in States without authorized RCRA programs only, unless a State amends its statute.
Requirements for unenterable, underground tank systems and leak detection
requirements for all new underground tank systems apply in all States.
Inspectors should review the facility's Part B Permit/Application-Part IV, "Facility
Design Section (Subsection B)," to ensure that facility tank utilization is consistent with
that specified and approved.
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Subpart K - Design of Surface Impoundments
§264.221 Design and Operating Requirements
(a) Any surface impoundment that is not new, a replacement or a lateral expansion
must have a liner that is designed, constructed, and installed to prevent any
migration out of the impoundment during its active life.
(b) Waivers for (a) above may be obtained from the Regional Administrator.
(c) New surface impoundments, replacements, or lateral expansions must have two or
more liners and a leachate collection system between liners.
(d) Other liner designs can be used if they are demonstrated to be as effective as those
prescribed in (c) above and approved by the Regional Administrator.
(e) Waivers may be obtained from the Regional Administrator for (c) above.
(f) A surface impoundment must be designed, constructed, maintained, and operated
to prevent overtopping, overfilling, wind and rain action, run-on, malfunction,
and human error.
(g) Dikes must be designed, constructed, and maintained to prevent massive failure.
(h) The permit will specify all the requirements.
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statcment(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Inspection Procedures • Subpart K, Section 264.221
Kev Considerations!
What is the maintenance and condition of the dikes and any other visible portions of the
surface impoundment?
Is there any evidence of overtopping or other types of releases?
Inspectors should review the facility's Part B Permit/Application-Part IV, "Facility
Design Section (Subsection G)," to ensure that facility surface impoundments are
designed, operated, and maintained (including inspections) in accordance with the
currently-approved permit.
Placement of wastes in a surface impoundment meets the definition of land disposal under
§268.2(c). Therefore, no hazardous wastes which are subject to LDR may be placed in a
surface impoundment unless they meet treatment standards in Part 268, Subpart D or
qualify for the treatment in surface impoundment exemption in §268.4.
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements .are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Subpart K - Monitoring and Inspection
§264.226 Monitoring and Inspection
(a) During construction and installation, liners and cover systems must be inspected
for damage and imperfections.
(b) While the surface impoundment is in operation, it must be inspected weekly and
after storms for:
malfunctions or improper operation of overtopping controls
sudden drops in the level of contents
erosion or other signs of deterioration
(c) The owner/operator must obtain certification of structural integrity.
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Inspection Procedures - Subpart K, Section 264.226
Kev Considerations;
• Has all documentation of inspections during construction and installation been reviewed?
• Has documentation of inspections and adequate inspection procedures been properly
undertaken?
• Has the owner/operator obtained certification of structural integrity?
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Subpart K - Emergency Repairs; Contingency Plans
§264.227 Emergency Repairs; Contingency Plans
(a) A surface impoundment must be removed from service if the liquid level drops
without a known reason, or a dike leaks.
(b) If one of the above conditions occurs, the owner/operator must immediately:
shut off inflow
stop leaks and contain surface leakage
take measures to prevent catastrophic failure
if leak cannot be stopped, empty the impoundment and notify the Regional
Administrator within 7 days.
(c) The contingency plan must specify the procedures necessary to meet the
requirements of (b) above.
(d) Once an impoundment is removed from service due to leak or failure, prior to
returning to service, the appropriate repairs on the impoundment must be certified.
(e) Once an impoundment is removed from service due to leak or failure and is not to
be repaired, it must be closed.
m-2io
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Inspection Procedures - Subpart K, Section 264.227
Kev Considerations!
• Is there evidence of a leak or failure in the operating record?
• Was the contingency plan followed and was it adequate to contain any releases in a timely
manner?
• After a leak or other failure, is the unit being repaired or is it closing? Were the repairs
certified?
• If the facility is operating a surface impoundment containing F020, F021, F022, F023, F026,
or F027 wastes, the facility should have a special waste management plan approved.
Inspectors should review the facility's Part B Permit/Application-Part IV, "Facility
Design Section (Subsection G)," to ensure that the facility is in compliance with this
requirement [40 CFR §§264, 231(a), and 270.17(i)(l)].
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Subpart K • Closure and Post-Closure Care
§264228 Closure and Post-Closure Care
(a) At closure, the owner/operator must either:
(1) remove or decontaminate all waste residues, structures and equipment
contaminated with waste and leachate, contaminated subsoils, and
contaminated containment system components; or
(2) eliminate free liquids or solidify wastes so that the impoundment will
support a final cover.
(b) If some waste residues are left in place upon closure, the owner/operator must
comply with post-closure requirements and maintain the effectiveness of the final
cover, maintain and monitor the leak detection system, and the integrity of the
groundwater monitoring system.
(c) If an owner/operator plans to close under (a)(l) above and the impoundment does
not comply with the liner requirements of §264.221(a), he still must have a plan for
complying with paragraph (a)(l) above and a contingent plan for complying with
(a)(2). In addition, he must have a contingent post-closure plan in case he cannot
remove all the contaminated material. Cost estimates must also be provided for the
contingent closure and post-closure care.
§264.229 through §264.231 are similar to Part 265 requirements. See Table III-4.
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Inspection Procedures • Subpart K, Section 264.228
Key Considerations:
• Has the facility elected to clean close or to close as a landfill?
• If the facility is closing by removing or decontaminating all material, can this fact be
properly documented? If not, has the owner/operator implemented the contingent closure
and post-closure plans?
• If the surface impoundment is closing with material in place, is the impoundment free of
standing water and will (does) it support a cover?
• Inspectors should review the facility's Part B Permit/Application-Part IX, "Closure Plan,"
to ensure that facility closure activities are consistent with the approved plan.
IH-213
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Subpart L • Design of Waste Piles
§264251 Design and Operating Requirements
(a) A waste pile must have a liner and a leachate collection system.
(b) A facility may be exempt from (a) above if it can prove its design characteristics
and operating practices, together with location characteristics, will prevent
migration of hazardous constituents into ground water.
(c) Run-on must be diverted around the active portion of the pile.
(d) Run-off must be collected and controlled.
(e) Collection and holding facilities must be emptied after storms.
(f) Waste piles must be maintained in a manner that prevents dispersal of
particulates by wind.
§264.254 Monitoring and Inspection
(a) During construction, liners and covers must be inspected for defects.
(b) Waste piles must be inspected weekly and after storms for deterioration, proper
control of run-on and runoff, control of wind dispersal, and the proper function of
leachate collection systems.
§264.256 and §264.257 are similar to Part 265 requirements. See Table III-4.
§264.259 Special Requirements for Hazardous Wastes P020, F021, F022, F023, P026, and F027
The hazardous wastes listed above (dioxin-containing) must not be placed in a waste pile
that is not enclosed unless the pile is operated with a management plan approved by the Regional
Administrator.
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any stntement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Inspection Procedures - Subpart L, Sections 264.251 through 264259
Key Considerations:
• Is the facility engaging in proper removal of collected runoff a short time after storms?
• Is the evaluation and disposal of the runoff and leachate adequate?
• Has documentation of inspections conducted during construction been located and
properly reviewed?
• Has documentation of weekly operational inspections been properly completed?
• Inspectors should review the facility's Part B Permit/Application-Part IV, "Facility
Design Section (Subsection F)," to ensure that the facility is in compliance with the
inspection requirements, including:
-- Run-on and run-off control system
-- Wind dispersal system
-- Leachate collection and removal system.
• Inspectors should ensure that the facility has an approved special management plan for
piles containing wastes F020, F021, F022, F023, F026, and F027 [40 CFR §§259, and
270.18U)].
Placement of wastes in a waste pile meets the definition of
land disposal under §268.2(c). Therefore, no hazardous
wastes which are subject to LDR may be placed in a waste pile
unless they meet treatment standards in Part 268, Subpart D.
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Subpart L - Closure and Post-Oosure Care
§264258 Closure and Post-Closure Care
(a) At closure, the owner/operator must remove or decontaminate all waste residues,
structures and equipment contaminated with waste and leachate, contaminated
subsoils, and contaminated containment system components.
(b) If some waste residues are left in place upon closure, the owner/operator must close
the facility and comply with post-closure requirements that apply to landfills.
(c) The owner/operator of a waste pile that does not comply with the liner requirements
and is not exempt must include in the closure plan both a plan for complying with
paragraph (a) above and a contingent plan for paragraph (b). The owner/operator
must also prepare a contingency post-closure plan in case he cannot remove all the
contaminated material. Cost estimates must also be provided for the contingent
closure and post-closure care.
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any stntement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Inspection Procedures - Subpart L, Section 264.258
Kev Considerations:
Can the owner/operator document the removal or decontamination of all material? If not,
has the owner/operator implemented the contingent closure and post-closure plans?
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statoment(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Subpart M - Land Treatment
§261271 Treatment Program
(a) A land treatment program must be established that ensures that hazardous
constituents placed in the treatment zone are degraded, transformed, or
immobilized within the treatment zone.
(b) The Regional Administrator will specify in the permit the hazardous
constituents that must be degraded, immobilized, or transformed.
(c) The Regional Administrator will specify vertical and horizontal dimensions
of the treatment zone.
§264272 Treatment Demonstration
(a) For each waste that will be applied to the treatment zone, the owner/operator
must demonstrate that hazardous constituents in the waste can be completely
degraded, transformed, or immobilized in the treatment zone.
(b) In making this demonstration, the owner/operator may use field tests,
laboratory analyses, available data, or operating data.
(c) Field or laboratory data must accurately simulate operating conditions, be
likely to show that the waste will be completely degraded, transformed, or
immobilized in the treatment zone, and must be conducted to protect human
health and the environment.
$264273 Design and Operating Requirements
(a) The owner/operator must design, construct, operate, and maintain the unit to
maximize degradation, transformation, and immobilization. The runoff
management system must be able to at least control the water from a 24-hour,
25-year storm.
(b)(c)(d)(f) The owner/operator must design, construct, operate, and maintain the unit to
minimize runoff, control run-on, and control water volume and wind
dispersal.
(e) Any collection and holding facilities which held hazardous constituents
during the active life of the unit gathered from run-on and runoff control
systems must be emptied or otherwise managed expeditiously after storms.
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Inspection Procedures - Subpart M, Sections 264.271 through 264.273
Considerations:
• Has the owner/operator obtained either a short-term or two phase permit if he is conducting
laboratory or field tests as part of the land treatment demonstration?
• Is the facility complying with the application rates and waste types specified in the permit?
Inspectors should review the facility's Part B Permit/Application-Part IV, "Facility
Design Section (Subsection I)," to ensure that all land treatment activities are being
conducted according to a currently-approved plan.
Placement of wastes in a land treatment unit meets the definition of land disposal under
§268.2(c). Therefore, no hazardous wastes subject to LDR may be placed in a land
treatment unit unless they already meet treatment standards.
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Subpart M • Land Treatment (continued)
§284278 Unsaturated Zone Monitoring
(a) The owner/operator must monitor the soil and soil-pore liquid to determine whether
any hazardous constituents migrate out of the treatment zone.
(b) The owner/operator must install an unsaturated zone monitoring system at a
sufficient number of sampling points to yield samples that are representative of
background soil-pore liquid quality and the quality of soil-pore liquid below the
treatment zone.
(c) Background must be established for each hazardous constituent.
(d) Soil monitoring and soil-pore liquid monitoring must be conducted directly below
the treatment zone.
(e) Consistent sampling and analysis procedures must be used.
(f) The owner/operator must determine when a statistically significant change occurs
over background.
(g) & The Regional Administrator must be notified when a significant change is found
(h) that is not due to error or other sources. Within 90 days, the owner/operator must
submit an application for permit modification to modify the facility's operating
practices.
§284279 Reoordkeeping
Hazardous waste application dates and rates must be included in the operating record.
§264283 Special Requirements for Hazardous Wastes P020, F021, F022, F023, F026, and F027
The hazardous wastes listed above (dioxin-containing) must not be placed in a land
treatment unit unless approved by the Regional Administrator.
ffl-220
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Inspection Procedures - Subpart M, Sections 264.278 through 264.283
Kev Considerations:
• Is the soil-pore liquid and soil monitoring being conducted according to the procedures and
frequency specified in the permit?
• Operating record should be reviewed for hazardous waste application dates and rates.
Refer to the "Permit Guidance Manual on Hazardous Waste Land Treatment
Demonstrations" for a complete discussion of land treatment units.
Inspectors should ensure that the facility has an approved special waste management plan
for land treatment units containing wastes F020, F021, F022, F023, F026, and F027.
IH-221
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Subpart M - Closure and Post-Closure Care
§264280 Closure and Post-Closure Care
(a) (1,2) During the closure period, the owner/operator must continue all operations
necessary to maximize degradation, transformation, or immobilization of
hazardous constituents within the treatment zone, and to minimize runoff.
(3,4) Maintain run-on control and runoff management systems.
(5) Control wind dispersal of hazardous waste.
(6,7) Continue to comply with prohibitions or conditions on growing food chain
crops and to monitor the unsaturated zone.
(8) Establish vegetative cover.
(b) Notify RA after closure is complete and provide certification.
(c) (1) During the post-closure care period, the owner/operator must continue all
operations necessary to enhance degradation and transformation and
sustain immobilization of hazardous constituents in the treatment zone,in a
manner consistent with other post-closure activities.
(2,3,4) Maintain a vegetative cover, run-on control and runoff management
systems.
(5) Control wind dispersal of hazardous waste.
(6,7) Continue to comply with prohibitions or conditions on growing food chain
crops and to monitor the unsaturated zone.
(d) If the owner/operator can demonstrate that the levels of hazardous wastes left in the
soil does not exceed background, post-closure care is not required.
§264.281 is similar to Part 265 requirements. See Table III-4.
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements arc in any way altered by any statemcnt(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Inspection Procedures - Subpart M, Sections 264.280 through 264.281
ftemember;
• The land treatment must still be operated and maintained to promote further degradation,
immobilization, and transformation of hazardous constituents during closure and post-
closure care.
• Certification of closure may be provided by an independent soil scientist or an independent
engineer.
• Vegetative cover must be established unless the background levels of wastes remaining in
the soil have not been exceeded.
• Inspectors should review the facility's Part B Permit/Application-Part DC, "Closure Plan,"
to ensure that facility closure activities conform to those approved.
ID-223
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Subpart N • TjinHfilla
§264.301 Design and Operating Requirements
(a) Landfills not regulated under (c) below or interim status must have a liner and a
leachate collection system above the liner.
(b) A landfill may be exempt from (a) above if the owner/operator can demonstrate that
an alternate design and location characteristics prevent migration.
(c) New or expanded facilities need two or more liners and a leachate collection
system above and between the liners.
(d) A landfill may be exempt from (c) above if the owner/operator can demonstrate that
an alternate design and location characteristics prevent migration. This
alternative design and operating practice must be approved by the Regional
Administrator.
(e) The double liner requirement can be waived for monofills by the Regional
Administrator.
(f) A landfill is exempt from (c) if it is compliance with §3004(0)(l)(A)(i) and (0X5) of
RCRA and there is no reason to believe that the liner is not functioning.
(g) Run-on flow control system must be capable of preventing flow onto active portion
of landfill during peak discharge from at least a 25-year storm.
(h) Runoff management system must be capable of collecting and controlling at least
the water volume resulting from a 24-our, 25-year storm.
(i) Collection or holding facilities associated with run-on and runoff systems must be
emptied expeditiously after storms.
(j) Wind dispersal of particulates must be controlled.
§264.303 Monitoring and Inspection
(a) Liners and cover systems must be inspected during and after construction for
defects or imperfections.
(b) Landfills must be inspected weekly during operation and after storms for
deterioration and malfunctions, the presence of leachate, and properly functioning
leachate collection systems.
(c) (1) An owner/operator who is required to have a leak detection system must
keep records of the amount of liquid removed from each leak detection
system sump at least once a week during the active life and closure period.
(2) After the final cover is installed the amount of liquids removed from each
leak detection sump must be recorded at least monthly.
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements arc in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Inspection Procedures - Subpart N, Sections 2&4.301 through 264.316
Kev Considerations:
• Is the owner/operator conducting the inspections as required? Are the leachate collection
systems functioning properly?
• Inspectors should review the facility's Part B Permit/Application-Part IV, "Facility
Design (Subsection H)," to ensure that the facility is conducting approved landfill
operations.
Section 3004 of RCRA requires that certain landfills meet
minimum technological requirements (MTRs), including
double liners and a leachate collection system within four
years of being subject to regulation. Part 268 has given
additional importance to the "min-tech" requirements but
does allow non-MTR impoundments four years to retrofit
even if they receive wastes subject to a national capacity
variance or a case-by-case extension.
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statcment(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Subpart O - Incinerators
§264.310 Closure and Post-Closure
Closure and post-closure requirements are similar to those in §265.310 except that the
owner/operator must continue to operate the leachate collection and removal system until leachate
is no longer detected.
§264.312 is similar to Part 265 requirement. See Table III-4.
§264317 Special Requirements for Hazardous Wastes P020, P021, F022, F023, F028, and F027
The hazardous wastes listed above (dioxin-containing) must not be placed in a landfill
unless the owner/operator operates the landfill in accordance with a management plan for these
wastes that is approved by the Regional Administrator.
§284.341 Waste Analysis
(a) The owner/operator must include a waste analysis in Part B applications or with
trial burn plans.
(b) Waste analysis must be conducted throughout normal operations.
§264.342 Principal Organic Hazardous Constituents (POHC)
(a) POHCs must be treated to performance standards discussed in §264.343.
(b) One or more POHCs will be specified in the permit for each waste burned.
§264343 Performance Standards
(a) Destruction and removal efficiency (DRE) must equal 99.99% for each POHC and
99.9999% for POHC designated for dioxin-containing listed wastes.
(b) Stack emissions of HCL must not exceed the larger of 1.8 kg/hr or 1 percent of the
HCL in the stack gas prior to entering any pollution control equipment.
(c) Incinerators must not emit greater than 180 mg/dry std cubic meter (when corrected
for Q>2 in the stack gas) of particulate matter.
(d) Failure to meet the performance standards of this section, despite compliance with
permit conditions, may be taken as information justifying modifications,
revocation, or reissuance of a permit.
§264344 Hazardous Waste Incinerator Permits
(a) Wastes must only be burned as authorized in the permit except for approved trial
burns and if the waste is exempted by the Regional Administrator.
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Inspection Procedures - Subpart O, Sections 264.341 through 264.344
Kev Considerations!
• Have DREs for each POHC been demonstrated? Remember: for certain dioxin wastes the
demonstration is on harder-to-incinerate POHCs.
• Do the analyses of the waste feed show that it is the same as that specified in the relevant
permit?
• Does compliance with the operating conditions ensure compliance with the performance
standards? If not, a new trial burn could be ordered.
• Inspectors should review the facility's Part B Permit/Application-Part IV, "Facility
Design (Subsection E)," to ensure that incinerator operations conform to those approved.
• Look for modification of incinerator equipment that may impact incinerator operations.
Refer to Incinerator Checklist in Appendix IV of this Manual for more
assistance.
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements arc in any way altered by any statements) contained herein.
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OSWER Dir. No. 9938.02(b)
Subpart O - Incinerators (continued)
§284345 Operating Requirements
(a) An incinerator must be operated under the requirements specified in the permit.
(b) For each waste feed, the permit will specify waste feed composition and acceptable
operating conditions.
(c) During start-up or shut-down, hazardous wastes must not be fed into the incinerator
unless operating conditions are met.
(d) Fugitive emissions from the combustion zone must be controlled.
(e) Incinerators must have automatic waste feed shut-off systems when conditions
deviate from limits including CO, waste feed rate, temperature, or combustion gas
velocity indicators.
(f) Incinerators must cease operation when waste feed, incinerator design, or
operating condition limits in the permit are exceeded.
§264347 Monitoring and Inspection
(a) The owner/operator must conduct the following monitoring and inspections while
incinerating:
(1) Combustion temperature, waste feed rate, and combustion gas velocity must
be monitored continuously.
(2) Carbon monoxide must be monitored continuously.
(3) Sampling and analysis of the waste and emissions must be conducted as specified
to determine DRE.
(b) Incinerators and associated equipment must be inspected daily for leaks, spills,
etc.
(c) Emergency and cutoff systems and associated alarms must be tested weekly.
(d) Monitoring and inspection data must be recorded in operating log.
IH-228
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Inspection Procedures - Subpart O, Sections 264.345 through 264.347
Kev Considerations:
• Are the operating requirements specified in the permit being met at all times when
incinerating hazardous wastes?
• Are the emergency cut-off systems operational and set at specified limits? Are the
indicators for CO, temperature, etc. tied to the cut-off system?
• Are the continuous monitoring systems working properly?
• Has equipment been checked for leaks, fugitive emissions, and structural integrity?
• Are waste types consistent with those specified in the permit?
• Are disruptions in incinerator operations documented? Were effective corrective
measures taken if necessary?
• Are necessary monitoring and inspections conducted?
IH-229
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Subpart W • Drip Pads
This subpart is similar to Part 265. See Table III-4.
III-230
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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blank page
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Corrective Action for Solid Waste Management Units
§264.552 Corrective Action Management Units (CAMUs)
(a) In order to implement a corrective action, the Regional Administrator may
designate one or more CAMUs.
(1) Placement of remediation wastes into or within a CAMU does not constitute
land disposal of hazardous wastes.
(2) Consolidation or placement of remediation wastes into or within a CAMU
does not create a unit subject to minimum technology requirements.
(b) (1) The Regional Administrator may designate a regulated unit or incorporate
a regulated unit into a CAMU if:
(i) The unit has begun the §264.113 or §265.113 closure process; and
(ii) Inclusion of the regulated unit will enhance the effective •
implementation of the corrective action.
(b) (2) The Subpart F, G, and H requirements and unit-specific requirements of
Parts 264 or 265 continue to apply to the regulated unit after it is incorporated
into the CAMU.
(c) The Regional Administrator shall designate a CAMU in accordance with the
following:
(1) The CAMU shall facilitate reliable, effective, protective, and cost-effective
remedies;
(2) The CAMU waste management activities shall not create unacceptable
risks to humans or the environment;
(3) The CAMU shall include uncontaminated areas of the facility only if this
is more protective than management of such wastes at contaminated areas
of the facility;
(4) Areas within the CAMU where wastes remain after closure must be
managed to minimize future releases;
(5) The CAMU shall expedite the timing of remedial activity when appropriate;
(6) The CAMU shall use treatment technologies which enhance the long-term
effectiveness of remedial actions; and
(7) Where practical, the CAMU shall minimize the land area of the facility
where waste will remain in place after closure of the CAMU.
Ill-232
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Inspection Procedures - Subpart S, Section 264.552
Kev Considerations:
During an inspection of a CAMU, consider the following issues:
• Does the actual aereal configuration of the CAMU match the designated configuration in
the permit or order?
• If the CAMU incorporates regulated units, are these units in compliance with the
requirements in Subparts F, G, and H? Are they in compliance with relevant Part 264 or
265 standards?
• Do the CAMU waste management activities create unacceptable risks to humans or the
environment?
• Does the CAMU include areas of the facility that were previously uncontaminated? Does
the permit or order allow the inclusion of these areas within the CAMU?
• If the CAMU has been closed, are the areas within the CAMU managed in a manner so as to
minimize future risks?
IH-233
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Corrective Action for Solid Waste Management Units (continued)
§264552 Corrective Action Management Units (CAMUs) (continued)
(e) The Regional Administrator shall specify, in the permit or order, the requirements
for CAMUs to include:
Aereal configuration of CAMU
Waste management practices
Groundwater monitoring requirements
Closure and post-closure requirements.
(f) The Regional Administrator shall document the rationale for designating CAMUs
and shall make documentation available to the public.
(g) Incorporation of the CAMU into an existing permit must be approved by the
Regional Administrator.
(h) The designation of a CAMU does not change EPA's existing authority to address
clean-up levels, media-specific points of compliance, or other remedy selections.
§264553 Temporary Units (TUs)
(a) For tanks and containers which are used temporarily to store or treat hazardous
remediation waste, the Regional Administrator may determine that standards
alternative to Subpart I or J are applicable.
(b) Temporary units to which alternative standards apply, must:
(1) Be located within the facility boundary, and
(2) Be used only to treat or store remediation wastes.
(d) The Regional Administrator shall specify in the permit or order the length of time
a temporary unit shall operate. The time period must be less than a year. The
Regional Administrator shall specify the design, operating, and closure
requirements for the unit.
(e) The unit may operate longer than one year if the Regional Administrator
determined that its operation poses no threat and its use is necessary to implement
the site remedial actions.
Ill-234
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statcment(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Inspection Procedures - Subpart S, Section 264.553
Kev Considerations;
Several questions should be asked during the inspections of a TU:
• Is operation of the TU specified in the facility permit?
• If not, was a RCRA §3008(h) order issued allowing its operation?
• What type of unit is being used as a temporary unit? Remember: only tanks and
containers can be used as TUs.
• What type of waste does the unit store or treat? Is it waste other than remediation waste?
• How long has the unit stored the remediation waste?
in-235
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
TABLE ni-6 STANDARDS FOR MANAGEMENT OF SPECIFIC HAZARDOUS
WASTES AND SPECIFIC TYPES OF HAZARDOUS WASTE MANAGEMENT
FACILITIES i
Recyclable Materials Used in Manner Constituting Disposal
§266.20 Applicability
(a) These regulations apply to recyclable materials applied to, or placed on land:
(1) Without mixing with other substances; or
(2) Mixed with any other substances.
(b) Products produced from recyclable material for public use that are used in a .
manner constituting disposal are not subject to regulation if they are inseparable,
and the products meet LDR treatment standards for each recyclable material they
contain.
§26£21 Standards for Generators and Transporters
Generators and transporters of the applicable recyclable materials are subject to applicable
requirements of Parts 262 and 263 as well as the notification requirements (RCRA §3010).
§26&22 Standards for Storage
Owners/operators that store recyclable material in a manner that constitutes disposal are
regulated under applicable provisions of Subparts A through L of Parts 264 and 265, and Parts 270
and 124.
§26023 Standards for Users
(a) Owners/operators that use recycled materials in a manner that constitutes disposal
are regulated under Subparts A through N of Parts 264 and 265 and Parts 270 and the
notification requirement.
(b) The use of oil or other material that is contaminated with dioxin or any other
hazardous waste (except if the waste is identified solely on the basis of ignitability)
for dust, suppression or road treatment is prohibited.
Ill-236
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statcment(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Inspection Procedures - Subpart C, Sections 266.20 through 266.23
Kev Considerations!
• Does the waste and management practice meet the criteria set forth in §266.20?
• If waste oil or other material is being used for dust suppression or road treatment, has it
been tested for dioxin?
• If waste oil or other material is being used for dust suppression or road treatment, is it only
hazardous for ignitability? If it is a petroleum waste, is it prohibited because of TC organic
constituent levels (e.g., benzene)?
IH-237
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Used Oil Burned for Energy Recovery
NOTE: The used oil regulations contained in Subpart E of Part 266 were removed and replaced by
the revised standards contained in Part 279. See m-1.
§26640 Applicability
(b) "Used oil" is any oil refined from crude oil that has been used resulting in physical
or chemical impurities.
(c) Used oil containing more than 1000 ppm of total halogens is presumed to be a
hazardous waste regulated under Subpart D. This presumption may be rebutted.
(d) Used oil that exhibits a characteristic of hazardous waste, provided that it is not
mixed with a hazardous waste, or contains waste from a CESQG, is regulated under
this Subpart.
(e) Used oil that exceeds any specification level is subject to this Subpart when burned
for energy recovery but is termed "off-specification used oil fuel."
§266.41 Prohibitions
(a) A person may market off-specification used oil only to burners or other marketers
who have notified EPA and received an EPA identification number and to burners
who burn only in an industrial furnace or boiler. A boiler may be a space heater if
the oil is from do-it-yourselfers, burns less than 0.5 million Btu per hour, and
combustion gasses are vented to the outdoors.
§26642 Standards for Generators
(b) Generators who market used oil directly to a burner are subject to §266.43 marketer
regulations.
(c) Generators who burn used oil are subject to §266.44 burner regulations.
§26643 Standards for Marketers
(a) The following persons are not marketers subject to this regulation: generators or
collectors who provide oil to persons who process it, but do not burn it unless
incidentally for purposes of processing.
(b) Marketers:
(1) Who manage used oil fuel are subject to the regulations unless they obtain
an analysis of the used oil;
(2&3) Must follow prohibitions in §266.41 and notify EPA of activity; and
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Inspection Procedures - Subpart E, Sections 266.40 through 266.44
Kev Considerations;
Has the State where the facility is located adopted the new used oil regulations in Part 279?
If so, use those regulations to determine compliance. If not, follow the requirements of Part
266 Subpart E.
Has the used oil been analyzed to determine if it meets specifications?
Does the energy recovery unit meet the definition of a boiler or industrial furnace?
USED OIL BURNED FOR ENERGY RECOVERY
Determine that
the used oil wll be
^burned lor energy^
.recovery
Identifying the Used Oil and Rebuttable Presumption
Follow 40 CFR 266
Subpart H
Yes
Is the same characteristic still
exhibited?
4-
Has the used oil been mixed with
a characteristic hazardous waste
from a regulated generator
(non-CESQG)?
4<»
Don the used oil toed exhibit
a characteristic of hazardous
waste?
Nc
\
NC
1
Nc
Follow 40 CFR 266 Subpart H
UNSUCCESSFUL REBUTTAL
I
N3
Is there documentation that all
hazardous want constituents an
due to an additive package In the
virgin oil product?
No
Are halogenated constituent!
ol listed hazardous waste
present in concentrations lets
than 100 ppm each?
istneusedononiyTrom
CESOGs?
4-
Does the used oil contain
greater than 1,000 ppm total
halogens?
Ye, J
No
If used oil meets-the criteria of Subpart E, then generators, markets, and burners do not
comply with any hazardous waste regulations, including hazardous waste tank regulations.
However, if a used oil tank is underground and meets the UST criteria, then the tank is regulated
as a petroleum tank under Part 280.
Because used oil is not considered a hazardous waste, it is not part of a generator's monthly
hazardous waste count.
Ill-239
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements arc in any way altered by any statemcnus;. contained herein.
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OSWER Dir. No. 9938.02(b)
Used Oil Burned for Energy Recovery (continued)
§266.43 Standards for Marketers (continued)
(4) Use an invoice system for off-specification oil containing an invoice
number, the marketer's and the recipient's respective EPA identification
numbers, the name and address of both facilities, the quantity, the date and
the following statement: This used oil is subject to EPA regulation under 40
CFR Part 266.
(5) Before initial shipment to any burner or other marketer, the first marketer
must obtain a certification stating that EPA has been notified of waste oil
activity, and that the recipient will only burn waste in an industrial
furnace or boiler.
(6) Marketers of oils that meet specification must keep the analysis, the name
and address of the recipient, the quantity of fuel delivered, the date, and a
cross reference to the analysis for three years.
(ii) Marketers of off-spec oil must keep a copy of each invoice and
certification for three years.
§26&44 Standards for Burners
Burners must:
(a) Comply with §266.4l(b) prohibition;
(b) Notify EPA of used oil activities, except burners who burn specification oils;
(c) Before accepting the first shipment of off-specification fuel, provide the marketer
with notification certifying that EPA knows of the burner's management
activities, and that the fuel will be burned only in a boiler or industrial furnace;
(d) Obtain analyses (or other information) that the oil meets the specification of
§266.40(e) if the burner treats off-specification oil by processing or other treatment;
and
(e) Keep a copy of each invoice, analysis, and certification for three years.
m-240
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
For Inspection Procedures, refer to first page of discussion for this subject heading.
in-241
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements arc in any way altered ty any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Recyclable Materials Utilized for Precious Metal Recovery
§268.70 Applicability and Requirements
(a) These regulations apply to recyclable materials that are reclaimed to recover
economically significant amounts of gold, silver, platinum, palladium, iridium,
osmium, rhodium, and ruthenium.
(b) Persons who generate, transport or store the above materials must:
(1) Notify EPA; and
(2) Comply with Subpart B of Part 262 (for generators); §§263.20 and 263.21 (for
transporters); and §265.71 (use of the manifest system) and §265.72
(manifest discrepancies) to document that they are not accumulating
speculatively.
(c) Persons who store the above materials must keep the following records:
(1) Volume of material at beginning of each calendar year;
(2) Amount of materials generated or received during year; and
(3) Amount of materials remaining at the end of the year.
(d) Recyclable materials regulated under Subpart F that are accumulated
speculatively (§261.1(c)) are subject to all provisions of Parts 262 through 265, 270,
and 124.
in-242
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Inspection Procedures • Subpart F, Section 266.70
Kev Considerations;
• Is the recyclable material being accumulated for speculative purposes?
• The recyclable materials will be subject to the generator export requirements under
Part 262.
IH-243
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements, are in any way altered by any statement(a) contained herein.
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OSWER Dir. No. 9938.02(b)
Reclamation of Spent Lead-Acid Batteries
§26&80 Applicability and Requirements
(a) Persons who generate, transport, or collect spent batteries, but do not reclaim them,
are not subject to these regulations.
(b) Owners/operators of facilities that store spent batteries before reclaiming must:
(1) Notify EPA;
(2) Comply with all applicable provisions in Subparts A, B (but not waste
analysis), C, D, E (but not §§264.71 or 264.72) and F through L of Part 264;
(3) Comply with all applicable provisions in Subparts A, B (but not waste
analysis), C, D, E (but not §§265.71 or 265.72), and F through L of Part 265;
and
(4) Comply with all applicable provisions of Parts 270 and 124.
IH-244
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Inspection Procedures - Subpart G, Section 266.80
Has a reclaiming facility that stores before reclaiming complied with the applicable parts
of Part 264?
IH-245
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Hazardous Waste Burned in Boilers and Industrial Furnaces
§286.100 Applicability
(b) The following hazardous wastes and facilities are not subject to Subpart H
requirements:
(1) Used oil burned for energy recovery that is a hazardous waste solely
because it exhibits a hazardous characteristic.
(2) Gas burned for energy recovery that is recovered from a solid or hazardous
waste landfill.
(3) Hazardous wastes that are exempt from regulation under §§261.4 and
261.6(a)(3)(v-viii), and §261.5 CESQG hazardous waste.
(4) Coke ovens burning only K087.
(c) (1) Owners/operators of smelting, melting, and refining furnaces (other than
owners/operators of lead or nickel-chromium recovery furnaces or metal
recovery furnaces that burn baghouse bags used to capture metallic dusts
emitted by steel manufacturing ) that process hazardous waste solely for
metal recovery are conditionally exempt from §§266.102 through 266.111 but
must still comply with §§266.101 and 266.112. In order to be exempt from the
requirements of §§266.102 through 266.111, a facility must:
(i) Provide a one-time written notice of metal recovery activities and
written claim of the exemption;
(ii) Sample and analyze the hazardous waste and other feedstocks using
SW-846 methods or alternative methods which meet or exceed the
SW-846 performance levels. The methods used must be clearly
noted in all compliance documentation; and
(iii) Maintain records at the facility documenting compliance for at
least three years.
(2) A hazardous waste that meets either of the following criteria is not processed
solely for metal recovery:
(i) The hazardous waste has a total concentration of organic
compounds listed in Part 261, Appendix VIII, of this chapter
exceeding 500 ppm by weight, as fired, and is therefore considered to
be burned for destruction. The concentration of organic compounds
in the waste as generated may be reduced to the 500 ppm limit by a
bona fide treatment but may not be diluted to reach the 500 ppm limit.
Dilution is prohibited and documentation that the waste has-not been
impermissibly diluted must be retained; or
IH-246
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statcment(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Inspection Procedures - Sections 266.100 and 266.101
Kev Considerations!
• Are the waste and the unit subject to the requirements of this part?
• If the facility is claiming a conditional exemption as a smelting, melting, or refining
furnace (not including lead or nickel-chromium recovery furnaces or metal recovery
furnaces burning baghouse bags used to capture metallic dusts from steel manufacturing),
is the owner/operator able to provide:
(1) A one-time written notification to the Director?
(2) Records of hazardous waste sampling and analysis that demonstrate that:
(a) The concentration in the waste of organic compounds listed in Part 261,
Appendix VIII does not exceed 500 ppm as-fired, and
(b) The waste displays a heating value of less than 5,000 Btu per pound as fired?
(3) Documentation that blending for dilution to meet the above criteria has not occurred?
(Only bona fide treatment that moves or destroys organic constituents is
permissible.)
(4) Records for compliance with this section maintained on-site for at least three years?
• If the facility is claiming a conditional exemption as a lead or nickel-chromium recovery
furnace or a metal recovery furnace burning baghouse bags used to capture metallic dusts
emitted by steel manufacturing, is the owner/operator able to show compliance with the
following:
(1) Provision of a one-time notification to the Director?
(2) The hazardous wastes are listed in Appendix XI and XII of Part 266 or are baghouse
bags used to capture metallic dusts from steel manufacturing?
(3) The hazardous waste contains recoverable amounts of metals?
(4) The hazardous waste does not display the TC for any organic constituents?
(5) The hazardous waste is not listed in Part 261 Appendix VII for the presence of organic
constituents?
(6) Certification that the hazardous waste is being burned in accordance with
§266.100(c)(3)?
• If the facility is claiming a conditional exemption as a furnace engaged in precious
metals reclamation, is the owner/operator able to show compliance with the following?
(1) Provision of a one-time notification to the Director?
(2) Records of hazardous waste sampling and analysis to show that the waste contains
economically significant amounts of precious metals?
(3) Records for compliance with this section maintained on-site for at least three years?
IH-247
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement^) contained herein.
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OSWER Dir. No. 9938.02(b)
Hazardous Waste Burned in Boilers and Industrial Furnaces (continued)
§266.100 Applicability (continued)
(ii) The hazardous waste has a heating value of 5,000 Btu/lb or more, as
fired, and so is considered a fuel. The heating value of the waste, as
generated, may be reduced below the 5,000 Btu/lb limit by bona fide
treatment, but may not be diluted to reach the limit. Dilution is
prohibited, and documentation that the waste has not been
impermissibly diluted must be retained.
(3) Owners/operators of lead or nickel-chromium recovery furnaces or metal
recovery furnaces that burn baghouse bags used to capture metallic dusts
emitted by steel manufacturing must provide a one-time written notice
identifying each hazardous waste burned and specifying whether an
exemption for each waste is being claimed under this paragraph or
paragraph (c)(l).
(i) To qualify for an exemption the waste must be listed in Appendix XI
or XII of this part or be a baghouse bag and it must:
(A) Contain recoverable levels of metals;
(B) Not exhibit the Toxicity Characteristic for any organic
constituent;
(C) Not be listed in Part 261, Appendix VII because of an organic
constituent; and
(D) Be certified in a one-time notice that the waste will be burned
in accordance with (C)(3), and that sampling and analysis
will be conducted to ensure at least continued compliance.
Records shall be kept for three years.
(d) Standards for direct transfer operations under §266.111 are only applicable to
permitted or interim status facilities.
(e) Residue management standards under §266.112 apply to all boilers and industrial
furnaces.
(f) Precious metal recovery units are conditionally exempt from regulation under
Subpart H except for §266.112. In order to be exempt from §§266.101 through 266.111,
an owner/operator must:
(1) Provide a one-time written notice indicating that:
(i) The owner/operator claims exemption under this paragraph;
(ii) The hazardous waste is burned for legitimate recovery of precious
metal; and
III-248
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any slatement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
For Inspection Procedures, refer to first page of discussion for this subject heading.
m-249
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement^) contained herein.
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OSWER Dir. No. 9938.02(b)
Hazardous Waste Burned in Boilers and Industrial Furnaces (continued)
§266.100 Applicability (continued)
(iii) The owner/operator will comply with the sampling, analysis, and
recordkeeping requirements of this paragraph;
(2) Using a SW-846 test method, or if none is available in SW-846, the best
alternative method available, sample and analyze the hazardous waste as
necessary to document that the waste is burned for recovery of economically
significant amounts of precious metal; and
(3) Maintain records documenting this claim at the facility for at least three
years.
§266.101 Management Prior to Burning
(a) & Generators, transporters, and storage facilities that manage hazardous waste that
(b) & is burned in a boiler or industrial furnace prior to burning are subject to full
(c) hazardous waste regulation.
(c) (2) On-site boilers or industrial furnaces meeting the criteria in §266.108 for
the small quantity burner (SQB) exemption may store hazardous waste and
primary fuel mixtures in tanks that feed directly to the burning unit without
complying with Subparts A-L of Parts 264 and 265 or with Part 270.
m-250
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
For Inspection Procedures, refer to first page of discussion for this subject heading.
IE-251
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Hazardous Waste Burned in Boilers and Industrial Furnaces (continued)
§266.102 Permit Standards
(a) This section applies to owners/operators of boilers and industrial furnaces that
burn hazardous waste for energy recovery which are not operating under interim
status and which are not exempt under the small quantity burner exemption.
Except as provided in this subpart, subparts A-H and BB of Part 264 are applicable.
(b) Owners/operators must provide hazardous waste analysis using SW-846 methods
or alternative methods which meet or exceed the SW-846 performance levels. The
methods used must be clearly noted in all compliance documentation.
(c) Owners/operators must comply with emission standards to control organic
emissions, particulate matter, metal emissions, and hydrogen chloride and
chlorine gas under §§266.104 through 266.107.
(d) (1) The owner/operator may burn only hazardous wastes specified in the
facility permit and only under the operating conditions specified in
paragraph (e), except in approved trial burns.
(2) Hazardous waste not specified in the permit may not be burned until
operating conditions have been specified based on either trial burns or
alternative data.
(4) For new BIFs a permit must establish appropriate conditions for each of the
applicable requirements of this section, including but not limited to
allowable firing rates and operating conditions in paragraph (e), in order
to comply with the following standards:
(i) The trial burn may not exceed 720 operating hours and shall include
operating requirements most likely to ensure compliance with the
emissions standards of §§266.104 through 266.107, unless an
extension has been granted by the Director.
(ii) For the duration of the trial burn, the operating requirements must
be sufficient to demonstrate compliance with the emissions
standards of §§266.104 through 266.107.
(iii) For the period immediately following the trial burn and only for the
minimum period to allow analysis, computation and review of the
results by the Director, the facility must operate under conditions
most likely to ensure compliance with the emissions standards of
§§266.104 through 266.107.
(iv) For the remaining duration of the permit, the facility operating
requirements must be those demonstrated in the trial burn.
Ill-252
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements arc in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Inspection Procedures - Section 266.102
Key Considerations:
• Compliance with the following provisions of §264 should be verified:
-- General (§264.4)
-- General facility standards (§§264.11-264.18)
-- Preparedness and prevention (§§264.31-264.37)
-- Contingency plan and emergency procedures (§§264.51-264.56)
-- Manifest system, recordkeeping and reporting requirements (§§264.71-264.77)
-- Corrective action (§§264.90 and 264.101)
-- Closure and post-closure (§§264.111-264.115)
-- Financial requirements (§§264.141, 264.142, 264.143, 264.147-264.151) (Note: States and
the Federal Government are exempt from Subpart H requirements.)
- - Subpart BB (except §264.1050(a)).
• The facility's hazardous waste analyses in the Part B permit application (permitted
facilities) or trial burn plan (interim status facilities) should be reviewed to ensure that
appropriate Appendix VIII constituents have been identified and quantified and
explanations provided for the exclusion of constituents.
• Verify through sampling and analysis records that the facility is only burning those
wastes specified in its permit.
• Determine whether the time to reach operational readiness exceeded 720 hours.
• If the facility sought a waiver of the trial burn requirements, check to see that the facility's
eligibility for this waiver is documented and that there is evidence of the facility's
compliance with §§266.104 through 266.107 as an alternative to the trial bum requirements.
• Verify that the actual trial burn operating parameters complied with the facility's trial
burn plan. All trial burn requirements should be coordinated with the permit writer.
• Compare the facility's permit standards for metals, CO, HC, organics, HC1, C12 and
particulate matter emissions with its operating record to verify compliance with these
.standards.
• Review the operating record for the following monitoring and inspection records:
-- Feed rates and composition of hazardous waste, other fuels and industrial furnace
feedstocks and feed rates of ash, metals, and total chloride and chlorine;
-- If specified by the permit, carbon monoxide, hydrocarbons and oxygen on a continuous
basis at a common point in the boiler or industrial furnace downstream of the
combustion zone and prior to release of stack gases to the atmosphere in accordance
with operating requirements;
-- Sampling and analysis of the hazardous waste, residues and exhaust emissions; and
III-253
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Hazardous Waste Burned in Boilers and Industrial Furnaces (continued)
§266.102 Permit Standards (continued)
(e) (1) A boiler or industrial furnace must be operated in accordance with the
standards specified in the permit at all times that hazardous waste is in the
unit. The operating requirements must include the following in (2) through
(11) below:
(2) (i,ii, Requirements to ensure compliance with the organic emissions
iii) standards for DRE standard, carbon monoxide and hydrocarbon
standards, and start-up and shut-down of the boiler or industrial
furnace.
(3) Requirements to ensure conformance with the particulate standards.
(4) Requirements to ensure conformance with the metals emissions
standards.
(5) Requirements to ensure conformance with the hydrogen chloride and
chlorine gas standards.
(6) Requirements for measuring parameters and establishing limits based on
trial bum data.
(7) General operating requirements for fugitive emissions, automatic waste
feed cutoff and changes in combustion properties or feed rates of the
hazardous waste.
(8) (i) Owners/operators must monitor and record the following, at a
minimum, while burning hazardous waste:
(A) If specified by the permit, feed rates and composition of
hazardous waste, other fuels and industrial furnace
feedstocks and feed rates of ash, metals, and total chloride
and chlorine.
(B) If specified by the permit, carbon monoxide, hydrocarbons
and oxygen on a continuous basis.
(C) If requested by the Director, sampling and analysis of the
hazardous waste, residues and exhaust emissions.
(ii) All monitors shall record data in units corresponding to the permit
limit, unless otherwise specified in the permit.
(iii) The boiler or industrial furnace and associated equipment, when
they contain hazardous waste, must be subjected to thorough visual
inspection at least daily for leaks, spills, fugitive emissions, and
signs of tampering.
Ill-254
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Inspection Procedures • Section 266.102 (continued)
Evidence of weekly testing of the automatic hazardous waste feed cutoff system and
associated alarms when hazardous waste is burned.
Ill-255
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Hazardous Waste Burned in Boilers and Industrial Furnaces (continued)
§266.102 Permit Standards (continued)
(iv) The automatic hazardous waste feed cutoff system and associated
o alarms must be tested at least once every seven days, when
hazardous waste is burned, to verify operability, unless the
applicant demonstrates to the Director that weekly inspection will
unduly restrict operation. At a minimum, operational testing must
be conducted at least once every thirty days.
(v) Monitoring and inspection records required under §266.102(e)(8)
must be kept in the operating record.
(9) Direct transfer from a transport vehicle to a burner must be in compliance
with §266.111.
(10) Owners/operators must keep in the operating record all information and
data until closure of the facility.
(11) All hazardous waste and hazardous waste residues must be removed from a
boiler and industrial furnace at closure.
m-256
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statemcnt(s) contained herein.
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OSWER Dir. No. 9938.02(b)
For Inspection Procedures, refer to first page of discussion for this subject heading.
IH-257
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Hazardous Waste Burned in Boilers and Industrial Furnaces (continued)
§268.103 Interim Status Standards
(a) (1) (ii) An "existing" or "in existence" boiler or industrial furnace is one
that is either in operation burning or processing hazardous waste or
one for which construction has commenced on or before August 21,
1991.
(iii) If a boiler or industrial furnace is located at a facility that already
has a permit or attained interim status, the facility must comply
with the applicable regulations for permit modifications under
§270.42 or changes in interim status in §270.72.
(2) The requirements of this section do not apply to hazardous waste and
facilities operating boilers and industrial furnaces which are exempt
under §§266.100(b), (c), or (f), or 266.108.
(3) Interim status facilities may not burn hazardous listed wastes F020, F021,
F022, P023, F026, or F027 or wastes derived from them.
(4) Except as provided in this subpart, subparts A-H and BB of part 265 are
applicable to owners/operators of boilers and industrial furnaces.
(5) Special controls specified apply to furnaces that feed hazardous waste for a
purpose other than solely as an ingredient at any location other than the hot
end where products are normally discharged or where fuels are normally
fired.
(6) Prior to certification of compliance, owners/operators shall not feed
hazardous waste in a boiler or industrial furnace that has a heating value
less than 5,000 Btu/lb as-generated (except that the heating value of a waste
as-generated may be increased to above the 5,000 Btu/lb limit by bona fide
treatment; blending is not bona fide treatment in this case; records must be
kept to document that no impermissible dilution has occurred), except under
the following circumstances:
(i) When burning waste solely as an ingredient;
(ii) When burning for compliance testing for a period not to exceed 720
hours;
(iii) When prior to August 21, 1991, the boiler or industrial furnace was
operating under interim status standards for incinerators (Part 265,
Subpart 0) or interim status standards for thermal treatment units
(Part 265, Subpart P); or
(iv) When burning in a halogen acid furnace if the waste was burned as
an excluded ingredient under §261.2(e) prior to February 21, 1991
and documentation of this claim is kept on file.
IE-258
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statcment(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Inspection Procedures • Section 266.103
KPV Considerations!
• Does the facility meet the definition of "existing" or "in existence"?
-- Was the facility in operation burning or processing hazardous waste on or before
August 21,1991?
-or-
-- Had construction of the facility commenced on or before August 21, 1991, as defined in
§260.10?
• Has an interim status facility complied with the prohibition against burning listed dioxin
or dioxin-derived wastes?
• Did the facility meet the August 21, 1991 deadline for certification of precompliance and
does the certification contain the required information as specified in 266.103(b)(2)
including a statement of precompliance signed by the o/o?
• If the facility has conducted a compliance test, did the facility submit a certification of
compliance within ninety days of completing the test? Verify the facility's compliance '
with the operating parameters it established during the compliance test.
• If the facility did not submit a complete certification of compliance by August 21, 1992, does
the operating record reflect compliance with one of the options provided in §266.103(c)(7)?
• Has the facility submitted a revised certification of compliance? If so, the operating record
should reflect compliance with §266.103(c)(8).
• Do all burning devices have an automatic waste feed cutoff system? Are fugitive
emissions from the combustion zone being controlled?
Verify compliance with the following provisions of §265:
General (§265.4)
General facility standards (§§265.11-265.17)
Preparedness and prevention (§§265.31-265.37)
Contingency plan and emergency procedures (§§265.51-265.56)
Manifest system, recordkeeping and reporting requirements in §§265.71-265.77 except
§§265.71,265.72 and 265.76 do not apply to owners/operators of on-site facilities that do not
receive any hazardous waste from off-site sources
Closure and post-closure (§§265.111-265.115)
Financial requirements (§§265.141, 265.142, 265.143, and 265.147-265.151)
Subpart BB (except §265.105(Ka)).
Remember: Review the hazardous waste sampling and analysis records to determine if
the waste is being burned for a purpose other than solely a.s an ingredient. If so, the special
requirements of §266.103(a)(5) apply.
IE-259
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
-------
OSWER Dir. No. 9938.02(b)
Hazardous Waste Burned in Boilers and Industrial Furnaces (continued)
§266.108 Interim Status Standards (continued)
(7) Direct transfer of wastes from a transport vehicle to a boiler or industrial
furnace must meet the criteria of §266.111.
(b) (1) Owners/operators must submit certification of precompliance to the
Director on or before August 21, 1991. This certification must demonstrate
that emissions of particulate matter, metals, HC1, and 012 are not likely to
exceed any applicable limits provided in §§266.105, 266.106, and 266.107.1
Owners/operators may burn hazardous waste only under the operating
conditions established in the certification of precompliance.
(2) Owners/operators must supply the general facility information in the
certification of precompliance.
(3) Owners/operators must establish the following limits on operating
conditions: feed rate of hazardous waste, metals, chlorine and chloride in
total feed streams; total feed rate of ash in total feed streams; and
maximum production rate of the device.
(4) Furnaces which recycle particulate matter and which will certify
compliance with metals emissions must comply with special operating
requirements in in Appendix IX in"Alternative Methodology For
Implementing Metals Controls."
(5) (i) Owners/operators may choose either the instantaneous or hourly
rolling average limit methods for measurement of feed rates and
production rate.
(ii) Owners/operators may establish feed rate limits for carcinogenic
metals and lead on an hourly rolling average basis.
t
(iii) Feed rate limits for metals, total chlorine and chloride and ash are
established and monitored by knowing the substance in each feed
stream and the flow rate of the feed stream.
(6) Owners/operators must have submitted a public notice of precompliance in
a major local newspaper on or before August 21, 1991.
(7) Operating parameters listed in paragraphs (c)(l)(v) through (viii) shall be
continuously monitored and records shall be maintained in the operating
record as appropriate.
(8) Owners/operators may revise the certification of precompliance by
submitting a revised certification; the facility must operate within the
original operating parameters until a revised certification is submitted or a
certification of compliance is submitted. The public notice requirements of
paragraph (b)(6) do not apply to recertifications.
Ill-260
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statcmenl(s) contained herein.
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OSWER.Dir. No. 9938.02(b)
Inspection Procedures - Section 266.103 (continued)
• If the facility's boiler or industrial furnace does not meet the exemption criteria of
§266.103(a)(6)(i-iv), review the operating record to verify that:
1) All hazardous waste fed into the boiler or industrial furnace has an as-generated
heating value of greater than 5,000 Btu/lb; and
2) If the waste has been treated to increase the waste's heating value, this treatment is
bona fide and records documenting that no impermissible dilution has occurred are
kept.
• Verify that the facility provided public notice of precompliance on or before August 21, 1991,
including locations where the record for the facility can be viewed and copied.
• The facility must maintain a BIF Correspondence File on-site containing all
correspondence between the facility and the Director and State and local regulatory
officials, including:
1) Copies of all certifications and notifications;
2) Time extension requests and approvals or denials;
3) Enforcement' notifications of violations; and
4) Copies of EPA and State site-visit reports submitted to the owner/operator.
• Verify that the facility has completed recertification every three years.
• Review the operating record for evidence of the facility's continuous monitoring of its
required operating parameters, including the following:
Total hazardous waste feed rate
Total feed rates of metals, hydrogen chloride, chlorine gas, and ash
Carbon monoxide concentration and, where required, hydrocarbon concentration in
stack gas
Maximum production rate
Maximum combustion chamber temperature
Maximum flue gas temperature
Operating requirements for pollution control devices including wet scrubbers, venturi
scrubbers, dry scrubbers, wet ionizing scrubbers, and fabric filters.
m-261
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statcment(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Hazardous Waste Burned in Boilers and Industrial Furnaces (continued)
§266.108 Interim Status Standards (continued)
(9) Owners/operators shall include a statement of precompliance, as specified
in this paragraph, in the certification of precompliance.
(c) Owners/operators shall conduct emissions testing to document compliance with
emissions standards. On or before August 21, 1992, the owner/operator shall submit
a certification of compliance establishing limits on the operating parameters.
(1) The boiler or industrial furnace must be operated in accordance with the
operating limits and emissions standards established during the
compliance test until an operating permit is issued.
(2) At least thirty days before compliance testing will be conducted,
owners/operators must notify the Director.
(3) (i) Compliance testing must be conducted under conditions for which
the owner/operator has submitted a certification of precompliance
and under conditions established in the notification of compliance
testing. The owner/operator may seek approval on a case by case
basis to use compliance test data from one unit in lieu of testing a
similar on-site unit if the supporting information, required under
paragraph (c)(2) of this section, is provided to the Director.
(ii) Facilities operating industrial furnaces that recycle particulate
matter from the air pollution control system must comply with
procedures to determine compliance with metal standards.
(iii) If compliance with emissions standards is not demonstrated during
a set of test runs, an additional set of test runs shall be conducted
under operating conditions as close as possible to the original
operating conditions.
(4) Owners/operators must certify compliance within ninety days of
completing compliance testing.
(5) If an owner/operator must comply with hydrocarbon controls, a conditioned
gas monitoring system may be used, provided that the owner/operator
submits a certification of compliance without using extensions of time.
(6) Industrial furnaces recycling collected particulate matter must comply
with the operating requirements prescribed in "Alternative Method to
Implement the Metals Controls" or paragraph (c)(3)(ii)(B).
Ill-262
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
-------
OSWER Dir. No. 9938.02(b)
For Inspection Procedures, refer to first page of discussion for this subject heading.
IH-263
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
-------
OSWER Dir. No. 9938.02(b)
Hazardous Waste Burned in Boilers and Industrial Furnaces (continued)
§268.103 Interim Status Standards (continued)
(7) (i) If certification of compliance is not submitted by August 21, 1992, the
owner/operator must do one of the following:
(A) Stop burning hazardous waste and begin closure for the
hazardous waste portion of the facility;
(B) Limit hazardous waste burning for purposes of compliance
testing to a total period of 720 hours beginning August 21,
1992, submit notification by August 21, 1992 that the facility is
operating under restricted interim status and that it intends
to resume burning of hazardous waste, and submit a
certification of compliance by August 23, 1993;
(C) .Obtain a case-by-case extension under (c)(7)(ii).
(8) A revised certification of compliance may be submitted at any time. Test
burning at operating limits exceeding those in the original certification for
recertification purposes may not exceed a period of 720 hours. The facility
must submit the revised certification at least 30 days prior to operating at
limits which exceed those established in the original certification.
(d) Recertification shall occur every three years.
(e) If the owner/operator does not comply with the interim status compliance schedule,
including certification of precompliance, certification of compliance, and
recertification, hazardous waste burning must cease on the date that the deadline is
missed. Closure activities must begin and hazardous waste burning may not
resume except under an operating permit. The "known volume of hazardous
waste" has been received on the date that the deadline is missed.
(f) Hazardous waste (except waste fed solely as an ingredient under the Tier I feed rate
screening limits) shall not be fed into a device during start-up or shut-down
operations unless the device is operating within the operating conditions in the
certification of compliance.
(g) Boilers and industrial furnaces must be equipped with automatic waste feed cutoff
systems.
(h) Fugitive emissions from the combustion zone must be controlled.
(i) Hazardous waste burning must cease when changes in combustion properties, feed
rates, or boiler or industrial furnace design or operating conditions occur.
Ill-264
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statemcnt(s) contained herein.
-------
OSWER Dir. No. 9938.02(b)
For Inspection Procedures, refer to first page of discussion for this subject heading.
IH-265
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Hazardous Waste Burned in Boilers and Industrial Furnaces (continued)
§266.103 Interim Status Standards (continued)
(j) (1) Owners/operators must monitor the following:
Feed rates and composition of hazardous waste, fuels, and
feedstocks;
Carbon monoxide, oxygen and hydrocarbons; and
Upon request of the Director, sample and analyze the hazardous
waste and stack gas emissions.
(2) At least daily, the owner/operator must conduct visual inspections of the BIF
and associated equipment, looking for leaks, spills, fugitive emissions,
and tampering.
(3) The automatic feed cutoff system and associated alarms must be tested at
least every seven days when hazardous waste is burned, to verify
operability unless the testing will unduly restrict or upset operations. If less
frequent testing is conducted, support for the demonstration of adequacy
must be included in the operating record.
(4) The above monitoring and inspection records must be kept in the operating
log.
(k) All compliance documentation must be kept in the facility operating record until
closure of the boiler or industrial furnace.
(1) All hazardous waste and hazardous waste residues must be removed from the boiler
or industrial furnace at closure, and the owner/operator must comply with
§§265.111-265.115.
Ill-266
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statemcnt(s) contained herein.
-------
OSWER Dir. No. 9938.02(b)
For Inspection Procedures, refer to first page of discussion for this subject heading.
m-267
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statcment(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Hazardous Waste Burned in Boilers and Industrial Furnaces (continued)
§286.104 Standards to Control Organic Emissions
(a) (1) Except as provided in paragraph (a)(3) below, a destruction and removal
efficiency (DRE) of 99.99% must be achieved; this standard must be
achieved during a trial burn for each designated principal organic
hazardous constituent.
(3) A DRE of 99.9999% for each POHC must be achieved when burning waste
containing or derived from F020, F021, F022, F023, F026, or F027, and the
DRE must be demonstrated on POHCs that are more difficult to burn than
dioxins. The Director must be notified of a facility's intent to burn dioxin-
listed wastes.
(4) Owners/operators under §266.110 are considered to be in compliance with
the DRE standards and are exempt from the DRE trial burn requirement.
(5) Owners/operators under §266.109 are considered to be in compliance with
the DRE standards and are exempt from the DRE trial burn.
(b) (1) The stack gas concentration of carbon monoxide cannot exceed 100 ppmv on
an hourly rolling average basis, corrected to 7% oxygen except as provided
in (c);
(2) CO monitored in conformance with Appendix IX;
(3) Compliance with this standard must be demonstrated during the trial burn
or the compliance test.
i
(c) The stack gas concentration of carbon monoxide from a boiler or industrial
furnace may exceed the 100 ppmv limited provided that stack gas concentration of
hydrocarbons does not exceed 20 ppmv, except as provided by paragraph (f) below.
(d) Owners/operators of industrial furnaces that feed hazardous waste for a purpose
other than solely as an ingredient at any location other than the end where products
are normally discharged and where fuels are normally fired must comply with the
hydrocarbon limits irrespective of whether the stack gas CO concentrations meet
the 100 ppmv limit.
(e) For boilers and industrial furnaces with dry particulate matter control devices
operating within the temperature range of 450-750, the dioxin and furan emissions
may not exceed an increased lifetime cancer risk to the maximum exposed
individual of 1 in 100,000.
(f) For industrial furnaces that cannot meet the 20 ppmv hydrocarbon limit because of
organic matter in normal raw material, the Director may establish an alternative
hydrocarbon limit provided the conditions in this paragraph are met.
(g) Cement kilns may comply with the carbon monoxide and hydrocarbon limits
provided by paragraphs (b), (c), and (d) of this section by monitoring in the by-pass
duct, provided that conditions in this paragraph are met.
Ill-268
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any siaU'mcnt(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Inspection Procedures - Sections 266.104 and 266.105
Remember:
Verify compliance with the organic emissions standards for destruction and removal
efficiency and carbon monoxide according to either the permitted or interim status
requirements as discussed in the previous section.
Verify compliance with the paniculate matter standards.
Compliance with Destruction and Removal
Efficiency Standards (§26&104(a))
General
Dioxins
Standard
99.99%
99.9999%
Compliance
Requirements
Demonstrated during trial
burn for each principal
organic hazardous constituent
designated in the permit for
each waste stream (for
permitted facilities only).
Must notify Director of intent to burn
hazardous wastes F020, F021, F022, F023,
F026, or F027. ORE must be demonstrated on
a more difficult to burn POHC.
Additional Requirement: BIFs with
particulate matter control devices operating
in the temperature range of 450° - 750° F and
industrial furnaces operating under an
alternative hydrocarbon limit must conduct
stack testing and site-specific dispersion
modeling to demonstrate that the estimated
increased lifetime cancer risk to the MEI is
less than one in 100,000.
Exemptions
Boilers operating under §266.110 or Boilers and Industrial Furnaces
operating under §266.109(a) are exempt from the ORE Trial Burn
III-269
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statements} contained herein.
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OSWER Dir. No. 9938.02(b)
Hazardous Waste Burned in Boilers and Industrial Furnaces (continued)
§266.104 Standards to Control Organic Emissions (continued)
(h) Compliance with the requirements of this section must be demonstrated
simultaneously by emission testing or during separate runs under identical
operating conditions.
(i) For purposes of permit enforcement, compliance with the operating requirements
will be regarded as compliance with this section.
§266.105 Standards to Control Particulate Matter
(a) Boilers or industrial furnaces may not emit particulate matter in excess of 180
milligrams per dry standard cubic meter after correction to a stack gas
concentration of 7% oxygen.
(b) Owners/operators meeting the requirements of §266.109(b) for the low risk waste
exemption are exempt from the particulate matter standard.
(c) For purposes of permit enforcement, compliance with the operating requirements
will be regarded as compliance with this section.
Ill-270
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by nny slatemenl(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Inspection Procedures - Sections 266.104 and 266.105 (continued)
Compliance with CO and HC Emissions Standards
CO & HC limits may be monitored in
the by-pass duct provided:
. Hazardous waste is only fired into
the kiln and not in any location
downstream from the kiln exit
• The by-pass duct diverts a
minimum of 10% of kiln off-gas
into the duct
Is the unit an industrial
furnace feeding hazardous
waste for purposes other
than solely as an
ingredient at any location
other than the hot end?
May have
alternate HC
limits*
Yes
Yes
Is the industrial furnace unable to meet
the 20 ppmv HC limit because of organic
matter in normal raw material?
No
No
Is the HC emission level
less than 20 ppm based on
an hourly rolling average
basis, reported as propane
and corrected to 7% 02
No
May exceed 100 ppmv CO stack gas
concentration; an alternate CO limit
based on data during trial burn or
compliance test must be determined
The BIF must achieve a stack gas
concentration of CO <100 ppmv,
demonstrated during trial burn or
compliance test
'Cement kilns monitoring CO and HC in by-pass duct are not eligible
for the alternate HC limit.
Compliance with Particulate Matter Standards (§266.105)
Emissions
Standard:
Less than or equal to 180 mg/dscm (.08 gr/dscf)
after correction to 7% 02
Test Method:
40 CFR 60 Appendix A, Methods 1 through 5
Appendix IX §266
Exempt
Facilities:
Facilities meeting low-risk waste exemption
under §266.109(6)
III-271
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by nny stntcmcnt(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Hazardous Waste Burned in Boilers and Industrial Furnaces (continued)
§266.106 Standards to Control Metals Emissions
I
(a) Owners/operators must comply with metal standards provided by paragraphs (b),
(c), (d), (e), or (f) below for each metal listed in paragraph (b).
(b) Tier I owners/operators must comply with the feed rate screening limits in
Appendix I as a function of terrain-adjusted effective stack height, terrain, and
land use in the vicinity of the facility.
(6) Multiple stack facilities must assume all hazardous waste is fed into the
worse-case stack based on dispersion characteristics.
(7) If any criteria in (b)(7) are met, the Tier I and Tier II limits do not apply, the
owner/operator must comply with Tier III or the adjusted Tier I screening
limits provided in (e).
(8) The feed rate of metals in each stream must be monitored to ensure that feed
rate limits are not exceeded.
(c) Tier II owners/operators must comply with the emission rate screening limits in
Appendix I as a function of terrain-adjusted effective stack height, terrain, and
land use in the vicinity of the facility.
(5) Multiple stack facilities must assume all hazardous waste is fed into the
worse-case stack based on dispersion characteristics.
(d) Tier III or Adjusted Tier I owners/operators must control metals emissions through
emissions testing, air dispersion modeling to predict the maximum annual
average off-site ground level concentration for each metal, and a demonstration
that acceptable ambient levels are not exceeded.
(5) Multiple stack facilities (except Adjusted Tier I facilities) must conduct
emissions testing and dispersion modeling to demonstrate that the
aggregate emissions from all such on-site stacks do not result in an
exceedance of the acceptable ambient levels.
(6) The feed rate of metals in each feed stream must be monitored to ensure that
the feed rate limits for the feed streams specified under §§266.102 or 266.103
are-not exceeded.
(e) Owners/operators may adjust the feed rate screening limits provided by Appendix I
to account for site-specific dispersion modeling.
(f) The Director may approve approaches to implement the Tier II or Tier III metal
emission limits provided by paragraphs (c) or (d) as alternatives to monitoring the
feed rate of metals in each feed stream.
(i) For purposes of permit enforcement, compliance with the operating requirements
will be regarded as compliance with this section.
'ill-272
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any stalement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Inspection Procedures - Sections 266.106 and 266.107
Summary of Options for Compliance with
Metal Emissions Standards (§266.106)
Compliance
by:
Standards
based on:
Ineligible
facilities:
Tier I (§266,1060)))
Feed rate screening
Sampling and
analysis
Flow rate monitoring
of each feed stream
Those with dispersion
characteristics which
provide worse dispersion
than those used to
calculate screening
limits
Tier II (§266.106(c))
Emissions testing
Terrain-adjusted
effective stack height
Land use
Worst-case dispersion
scenarios
Those with dispersion
characteristics which
provide worse dispersion
than those used to
calculate screening
limits
Tier m (§266.106(d))
Emissions testing
Allowances for
partitioning of metals,
removal of metals by air
pollution control system,
site-specific dispersion
modelling
None
III-273
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered hy any statcment(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Hazardous Waste Burned in Boilers and Industrial Furnaces (continued)
§268.107 Standards to Control Hydrogen Chloride (HC1) and Chlorine Gas (C12) Emissions
(a) Owners/operators must comply with HC1 and C12 controls set forth in paragraphs
(b), (c), or (e) below.
(b) (1) Tier I operators must comply with the feed rate screening limits in
Appendix II as function of terrain-adjusted effective stack height, terrain,
and land use in the vicinity of the facility.
(2) Tier II operators must comply with the feed rate screening limits in
Appendix II as function of terrain-adjusted effective stack height, terrain,
and land use in the vicinity of the facility.
(4) Owners/operators of facilities with more than one on-site stack from a unit
subject to HC1 or C12 emissions must comply with the Tier I and Tier II
screening limits for those stacks assuming that all hazardous waste is fed
into the device with the worst-case stack based on dispersion
characteristics.
(ii) Under Tier I the total feed rate of chlorine and chloride to all devices
subject to these controls shall not exceed the screening limit for the
worst-case stack.
(iii) Under Tier II the total emissions of HC1 and C12 from all stacks
subject to these controls shall not exceed the screening limit for the
worst-case stack.
(c) Tier III owners/operators must demonstrate compliance by emissions testing to
determine the emission rate for HC1 and C12, air dispersion modeling to predict the
maximum annual average off-site ground level concentration for each compound,
and a demonstration that acceptable ambient levels are not exceeded.
(3) Owners/operators of facilities with more than one on-site stack from a
device subject to controls on HC1 or C12 emissions must conduct emissions
testing and dispersion modeling to demonstrate that the aggregate
emissions from all such on-site stacks do not result in an exceedance of the
acceptable ambient levels for HC1 and C12.
(e) Owners/operators complying with the Tier I feed rate screening limits may adjust
these limits to account for site-specific dispersion modeling. The adjusted feed rate
limits are established by back-calculating from the acceptable ambient level for
C12 using dispersion modeling to determine the maximum allowable emission
rate.
(h) Compliance with the operating requirements specified in a facility's permit will be
regarded as compliance with this section. A permit may be modified, revoked or
re-issued if the operating parameters specified in the permit are insufficient to
ensure compliance with this section.
Ill-274
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by nny slatcmcnl(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Inspection Procedures - Sections 266.106 and 266.107 (continued)
Remember;
Verify compliance with the metals emissions standards according to either permitted
conditions or interim status requirements discussed in previous sections.
Verify compliance with the hydrochloric acid and chlorine gas emissions standards
according to permitted or interim status requirements.
Compliance with HGI and C12 Emissions (§266.107)
Compliance
by:
Standards
based on:
Parameters:
Multiple
Stacks:
Tier I
Feed rate screening
limits for total chlorine
• Terrain adjusted
effective stack height
• Terrain and land use
in vicinity of the
facility
Feed rate of total chlorine
and chloride (organic
and inorganic) in all
feed streams must not
exceed levels in
Appendix II
Feed rate of total chlorine
and chloride (organic
and inorganic) in all
feed streams must not
exceed levels in
Appendix II
Tiern
Emission rate screening
limits for HC1 and Cl2
during trial burn/
compliance test
• Terrain adjusted
effective stack height
• Terrain and land use
in vicinity of the
facility
Stack emission rates
shall not exceed
Appendix III levels
Stack emission rates
shall not exceed
Appendix III levels
TierHl
• Emissions testing
• Air dispersion
modelling
• Demonstration that
acceptable ambient
levels have not been
exceeded during trial
burn/ compliance test
Predicted maximum
annual average off-site
ground level
concentration for each
compound
May not exceed
acceptable ambient levels
Aggregate, emissions
from on-site stacks do not
exceed acceptable
ambient levels
III-275
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This mnnun! is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by nny sinlemcnl(s) contained herein.
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OSWER Dir. No. 9938.02(b)
J
Hazardous Waste Burned in Boilers and Industrial Furnaces (continued)
§266.108 Small Quantity On-Site Burner Exemption
(a) SQBs that burn hazardous waste on-site in boilers or industrial furnaces are
__ exempt from the emissions standards for boilers and industrial furnaces if the
following requirements are met:
(1) The quantity of hazardous waste burned for a calendar month does not
exceed the limits provided in the §266.108 table based on the terrain-adjusted
effective stack height;
(2) The hazardous waste firing rate does not exceed at any time 1 percent of the
total fuel requirement for the device on a total heat input or mass input
basis, whichever results in the lower mass feed rate of hazardous waste;
(3) The hazardous waste has a minimum heating value of 5,000 Btu/lb as
generated; and
(4) The hazardous waste fuel does not contain and is not derived from F020,
F021, F022, F023, F026, or F027.
(b) If a hazardous and non-hazardous waste is mixed, the quantity of hazardous waste
before mixing is used for quantity determinations in paragraph (a).
(c) If an owner/operator burns hazardous waste in more than one on-site boiler or
industrial furnace, quantity limits are calculated by the equation in this
paragraph.
(d) SQBs must provide a one-time written notification of burning activities to the EPA.
(e) Owners/operators must maintain documentation of the facility's eligibility for this
exemption for at least three years. At a minimum, these records must include the
quantity of hazardous waste and other fuel burned per month, and the heating value
of the hazardous waste.
§266.109 Low-Risk Waste Exemption
(a) (1) The DRE standard of §266.104(a) does not apply if the BIF is operated under
the following conditions:
(i) The fuel burned is at minimum 50% fossil fuels, fuels derived from
fossil fuels, tall oils, or, if approved by the Director, other
nonhazardous fuel; the 50% primary fuel firing rate shall be
determined on a total heat or mass input basis, whichever results in
the greater mass feed rate of primary fuel fired;
(ii) The fuels have a minimum as-fired heating value of 8,000 Btu/lb.;
Ill-276
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any slnlemenU's) contained herein.
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OSWER Dir. No. 9938.02(b)
Inspection Procedures - Sections 266.108,266.109, and 266.110
Remember:
• If the facility is claiming a SQB exemption, check the operating record to verify that the
quantity of waste burned at the facility in a month does not exceed the levels provided in the
table in §266.108 and that the boiler or industrial furnace is operated within the parameters
specified for small quantity burners.
• Check whether the facility submitted a one-time notification to the Director.
• Check sampling and analysis records to verify minimum Btu value of waste.
• Records documenting compliance with §266.108 should have been kept on-site for a
minimum of three years.
• Verify that a facility claiming a low-risk waste exemption or a waiver of the DRE trial
burn requirement has met the criteria for these exemptions.
• If an owner/operator of a boiler is claiming a waiver of the DRE trial burn requirements,
confirm through inspection of the operating record that the facility has met the
requirements of §266.110.
Ill-277
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any wny altered by any slniomont(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Hazardous Waste Burned in Boilers and Industrial Furnaces (continued)
§2fi&109 Low-Risk Waste Exemption (continued)
(iii) The hazardous waste is fired directly into the primary fuel flame
zone; and
(iv) The device complies with the CO emissions standards.
(2) The owner/operator must demonstrate that the hazardous waste burning
will not pose unacceptable adverse risk to the public using one of these
procedures: calculating reasonable, worst case emission rates; using
emission dispersion modeling; and predicting the maximum annual
average ground level concentration of the constituent.
(b) The particulate matter standard of §266.105 may be waived if the DRE standard of
paragraph (a) is waived and the owner/operator is complying with Tier I or
adjusted Tier I metals feed rate screening limits.
§266.110 Waiver of DRE Trial Burn for Boilers
Boilers that operate under the requirements of this section, and do not burn F020, F021,
F022, F023, F026, or F027 waste, or waste derived therefrom, are considered to be in conformance
with the DRE standard of §266.104(a) and a trial burn to demonstrate DRE is waived if:
(a) A minimum 50% of the fuel fired is fossil fuel, fuels derived from fossil fuel, tall
oil, or, if approved by the Director, other nonhazardous fuel; the 50% primary fuel
firing rate shall be determined on a total heat or mass input basis, whichever
results in the greater mass feed rate of primary fuel fired;
(b) The boiler load shall not be less than 40 percent;
(c) Primary fuels, hazardous waste fuels, and each material fired in a burner where
hazardous waste is fired must have a minimum as-fired heating value of 8,000
Btu/lb;
(d) CO standards of §266.104(b)(l) are met;
(e) The boiler must be a watertube type and stoker or stoker-type mechanism is used;
(f) The hazardous waste is fired directly into the primary fuel flame zone with an air
or steam mechanical or rotary cup atomization system.
Ill-278
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any slntement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
For Inspection Procedures, refer to first page of discussion for this subject heading.
Ill-279
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any wny altered hy any sialemcni(s) contained herein.
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Hazardous Waste Burned in Boilers and Industrial Furnaces (continued)
§266.111 Standards for Direct Transfer
(a) The regulations in this section apply to owners/operators of boilers and industrial
furnaces if hazardous waste is directly transferred from a transport vehicle to a
boiler or industrial furnace.
(c) Direct transfer equipment must be operated in a manner which prevents
uncontrolled releases of hazardous waste.
(d) Direct transfer areas must be in compliance with §264.175 (containment), §265
Subpart I (containers, except §§265.170 and 265.174); in lieu of the special
requirements of §265.176 for ignitable or reactive wastes, the owner/operator may
comply with the requirements of §265.198(b) for the maintenance of protective
distances between the waste management area and any public ways, streets, alleys
or adjacent property line that can be built upon; the owner/operator must obtain and
keep on file at the facility a written certification by the local Fire Marshall that the
installation meets the subject NFPA codes.
(e) (1) Direct transfer equipment must have secondary containment in
compliance with §265.193 except for §§265.193(a),(d),(e),and(i), as follows:
(i) New direct transfer equipment, prior to service.
(ii) Existing direct transfer equipment by August 21, 1993.
(2) (i) For existing direct transfer equipment that does not have secondary
containment, the owner/operator shall determine whether it is
leaking or unfit for use. A written assessment, reviewed and
certified by a qualified, registered professional engineer, shall
attest to the integrity by August 21, 1992.
(ii) At minimum, this assessment shall consider: design standards,
hazardous characteristics of the waste(s) handled, existing
corrosion protection, age or estimate of age, and results of leak
testing.
(iii) If the equipment is found to be leaking or unfit for use, the
owner/operator shall .comply with §§265.196 (a) and (b).
(3) (i, ii) Direct transfer equipment must be inspected at least once each
operating hour by the owner/operator while hazardous waste is being
transferred: overfill/spill control equipment, aboveground portions
of equipment, monitoring and leak detection equipment, and
cathodic protection, if used.
(iii) Records of inspection shall be maintained in the operating records
and be available for at least three years.
Ill-280
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements arc in any way nltcred by any slatcmcnt(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Inspection Procedures - Sections 266.111 and 266.112
Kev Considerations:
• Are the containers that are being used in a direct transfer operation closed? Has the
facility met the applicable requirements of Parts 264 and 265, Subparts I and J?
• Does the direct transfer equipment have secondary containment? If the facility's direct
transfer equipment was in existence as of August 21, 1991, did it have secondary
containment by August 21, 1993?
Verify that by August 21, 1992, the facility had on record a written assessment reviewed and
certified by a qualified, registered professional engineer that attests to the existing equipment's
integrity. Check for transfer equipment inspection records in the operating record.
Review the facility's closure plan to determine whether it is in compliance with the
requirements of §265.197 (except (c)(2) through (c)(4)).
If the owner/operator is claiming an exemption from the management of residues as
hazardous waste, verify that the following criteria for boilers, ore or mineral furnaces or cement
kilns are met and that the necessary comparisons of waste-derived residues and normal residues
have been made using the designated techniques:
1) Boilers are burning at least 50% coal
2) Ore/mineral furnaces: 50% of processed material is non-hazardous raw materials
3) Cement kilns: 50% of feed is normal cement-production raw material.
Review the facility sampling and analysis data to check the concentration of hazardous
constituents in waste-derived residue and comparison with normal residue.
Ill-281
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any slatement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Hazardous Waste Burned in Boilers and Industrial Furnaces (continued)
§266.111 Standards for Direct Transfer (continued)
(4) Direct transfer ancillary equipment must be operated in compliance with
section §265.192.
(5) Leak and spill response must be in compliance with §265.196.
(6) Closure must be conducted in compliance with §265.197, except (c)(2)
through (c)(4).
§266.112 Regulation of Residues
Residue derived from burning or processing of hazardous waste is not excluded from the
definition of hazardous waste under §261.4(b)(4), (7), or (8), unless the following requirements are
met:
(a) (1) Boilers must burn at least 50% coal on a total heat input or mass input basis,
whichever results in the greater mass feed rate of coal.
(2) For ore and mineral furnaces, when at least 50% by weight of the processed
material is non-hazardous raw materials.
(3) For cement kilns, when at least 50% by weight of the feed is normal cement-
production raw materials.
(b) Owners/operators must demonstrate that hazardous waste does not significantly
affect residue using either of the criteria below:
(1) Comparison of waste-derived residues with normal residues which
demonstrate that no significant differences exist between chemical
constituents; or
(2) Comparison of waste-derived residues with health-based limits for metal
and non-metal constituents or the level of detection for non-metals,
whichever is higher.
(c) (1) & Records sufficient to demonstrate compliance must be retained until
(2) closure of the boiler or industrial furnace unit. At a minimum, the
following shall be recorded: level of constituents in waste-derived
residues; level of constituents in normal residues; and data to determine if
changes in raw materials of fuels would reduce toxic constituents of
concern in the normal residue.
Ill-282
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any wny nlleri'd by nny slnlement(s) contained herein.
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OSWER Dir. No.'9938.02(b)
For Inspection Procedures, refer to first page of discussion for this subject heading.
Ill-283
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement^) contained herein.
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OSWER Dir. No. 9938.02(b)
TABLE m-7 LAND DISPOSAL RESTRICTIONS REGULATORY
REQUIREMENTS
Applicability and Dilution Prohibition
§268.1 Purpose, Scope and Applicability
(a) This part identifies wastes that are restricted from land disposal and defines those
circumstances under which an otherwise prohibited waste may still be land
disposed.
(b) The LDR requirements apply to generators, transporters, and owners/operators of
TSDFs, except as specifically provided otherwise in Part 268 or Part 261.
(c) The following are cases in which restricted wastes may be land disposed:
(1) Case-by-case extension granted under §268.5 or a national capacity
variance.
(2) No-migration petition granted under §268.6
(e) The following wastes are not subject to LDR:
(1) Wastes generated by conditionally exempt small quantity generators (less
than or equal to 100 kg of non-acute hazardous waste or less than or equal to
1 kg of acute hazardous waste per month);
(2) Waste pesticides that a farmer disposes of pursuant to §262.70; and
(3) Wastes identified or listed after November 8, 1984 for which no treatment
standards have been promulgated.
§26&3 Dilution Prohibited as a Substitute for Treatment
(a) No one shall in any way dilute a restricted waste, or residual from treatment of a
restricted waste, as a substitute for adequate treatment to achieve compliance with
Subpart D, to circumvent effective dates, or to circumvent a statutory prohibition
under RCRA §3004.
(b) Dilution of wastes that are hazardous only because they exhibit a characteristic in a
treatment system which subsequently discharges pursuant to a permit issued under
§402 of the CWA; or pretreatment of waste discharged under §307 of the CWA; or
dilution of D003 reactive cyanide waste is permissible unless a method of treatment
is specified as the treatment standard in §268.42.
Ill-284
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
TABLE EI-7 LAND DISPOSAL RESTRICTIONS REGULATORY
REQUIREMENTS .
Inspection Procedures - Sections 268.1 and 268.3
Kev Considerations:
•. Is the waste a restricted waste at the point of generation? Inspectors should evaluate a waste
at the point of generation, and determine if there is any subsequent dilution to meet
treatment standards.
• Are wastes being land disposed?
• Do any of the exemptions apply to the waste or have extensions or petitions been granted?
• A determination must be made as to whether dilution has taken place, and if so, whether it
was permissible under LDR. According to Part 268, no one shall dilute a restricted waste to
avoid an.applicable treatment standard under LDR. This was not intended to discourage
legitimate centralized treatment. An example of such legitimate treatment is the
aggregation of two wastes which will be treated using the same treatment technology. On
the other hand, aggregation of waste streams which cannot be treated by the same method is
not legitimate treatment and would be considered impermissible dilution.
The dilution prohibition has led to questions concerning the differences in regulations
concerning listed and toxic vs. non-toxic characteristic waste. This table is designed to assist in
assessing whether or not dilution is permissible.
DILUTION
Is waste or a treatment
residue with the same
treatability group, going
lor land disposal?
Is waste going to a 1 -^ "
Class 1 UIC well? | " L
| No |
Is Waste going to CWA 1
treatment system? |
Yes
•%
Dilution is not
prohibited; however,
waste must be below
characteristic when
injected
Deactivation is
specified technology
and dilution is not
prohibited
Toxic only includes:
0001 (highTOCNWW), 0003
(cyanides and sulfides), 0004-17
I Is technology specified?
Note: Dilution prohibition does not apply to
wastes with national capacity extension
or to wastes going to no migration units
Treatment standard is expressed
as a concentration level and
dilution is not prohibited
Dilulbn is prohibited I
m-285
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement^) contained herein.
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OSWER Dir. No. 9938.02(b)
TABLE m-7 LAND DISPOSAL RESTRICTIONS REGULATORY
REQUIREMENTS
blank page
III-286
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any staloment(s) contained herein.
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OSWER Dir. No. 9938.02(b)
TABLE ffl-7 LAND DISPOSAL RESTRICTIONS REGULATORY
REQUIREMENTS
Inspection Procedures • Sections 268.1 and 268.3 (continued)
Dilution Exceptions:
1) Hazardous wastes that are hazardous only because they exhibit a characteristic, and are
treated in a treatment system which treats wastes subsequently discharged to a water of the
U.S. pursuant to §402 (CWA) or pretreatment under §307 (CWA), unless method of
treatment has been specified.
2) Characteristic hazardous wastes going for Class I deep well injection, as long as the
characteristic has been removed prior to injection (§268.1(c)(3)). Even if method of
treatment is specified, dilution is allowed.
3) Dilution does not apply to wastes with a national capacity variance, case-by-case
extensions, or to those going to units that have been granted no migration petitions.
4) Aggregation of wastes for centralized treatment is not considered impermissible dilution,
if appropriate treatment for the waste is occurring.
5) If a waste is treated and residues are produced that are not going to land disposal, the waste
is not a prohibited waste and the dilution prohibition does not apply.
Notet If a waste is treated and one or more of the residues generated is in the same
treatability group as the original waste and these residues are going to be land disposed,
both the original wastes and the residues are prohibited wastes and are subject to the
dilution prohibition.
• Inspectors should determine if dilution prohibition is applicable at point of generation (see
exemptions above and flowchart following §268.7(a)(10)). The dilution prohibition does not
apply to wastes which qualify for a national capacity variance, case-by-case extensions, or
no migration petitions.
• Inspectors should examine treatment to determine if it is legitimate. Does centralized
treatment involve compatible waste streams?
IE-287
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
TABLE m-7 LAND DISPOSAL RESTRICTIONS REGULATORY
REQUIREMENTS
Surface Impoundment Exemption
§2684 Treatment Surface Impoundment Exemption
(a) Wastes which are otherwise prohibited from land disposal under Part 268 may be
treated in a surface impoundment provided that:
(a)(l,2) The sampling and testing, removal, subsequent management, and conditions
specified in this paragraph are met;
(a)(3) The impoundment meets the requirements of §264.221(c) or §265.221(a) and the
ground water monitoring requirements of Subpart F unless:
(i) Exempted pursuant to §264.221 (d) or (e) or §265.221 (c) or (d); or
(ii) Granted a waiver from the Administrator on the basis of the criteria
specified in §§268.4(a)(3)(ii)(A)-(C).
(b) Evaporation of hazardous constituents as the principal means of treatment is not
considered to be treatment for purposes of an exemption under this section.
Ill-288
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any staU'ment'.s; contained herein.
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OSWER Dir. No. 9938.02(b)
TABLE HI-7 LAND DISPOSAL RESTRICTIONS REGULATORY
REQUIREMENTS
Inspection Procedures • Section 268.4
Kev Considerations;
• Unless specifically exempted, does the unit meet the applicable minimum technical
requirements and the ground water monitoring requirements?
• Has the facility complied with the sampling and testing required under the facility's waste
analysis plan?
• Are wastes that do not meet applicable treatment standards removed at least annually?
Remember: Evaporation may not be the principal form of treatment.
m-289
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
TABLE HI-? LAND DISPOSAL RESTRICTIONS REGULATORY
REQUIREMENTS
Case-by-Case Extensions
§268.5 Procedures for Case-by-Case Extensions to an Effective Date
(a) Any person who generates, treats, stores, or disposes of a hazardous waste may
submit an application for an extension to the effective date of any applicable
restriction under Part 268 Subpart C, if the specified criteria of §§268.5(a)(l)-(7).
(b) The certification for the application must be signed by an authorized
representative.
(d) The extension will only apply to the waste generated at the particular facility
covered by the application.
(e) The Administrator may grant an extension of up to one year from the effective
date. The Administrator may renew this extension for up to an additional year
upon request of the applicant if the required criteria can still be met; no extension
under this section will exceed 24 months. The Administrator will give public
notice of his action in the Federal Register and provide the opportunity for public
comment.
(f) Any person granted an extension must immediately notify the Administrator as
soon as he has knowledge of any change in the conditions certified in the
application.
(g) Any person granted an extension must submit written progress reports at intervals
designated by the Administrator. Such reports must include the overall progress
toward constructing or otherwise providing alternative treatment, recovery, or
disposal capacity; must identify any delays in development of capacity; and must
summarize the steps being taken to mitigate the delay. The Administrator can
revoke the extension in accordance with provisions in this paragraph.
(h) Whenever an extension under §268.5 is in effect:
(1) The storage prohibition under §268.50(a) does not apply.
(2) Such hazardous waste may be disposed of only in units that meet the criteria
of §268.5(h)(2)(i)-(v).
ID-290
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
TABLE HI-7 LAND DISPOSAL RESTRICTIONS REGULATORY
REQUIREMENTS
Inspection Procedures - Section 268.5
Kev Considerations:
• Have the procedures established in this Section been followed in making the application?
• Have any of the conditions certified in the application changed, and if so, has notice been
given to the Administrator?
• Have the progress reports been submitted at the designated intervals?
• Does the unit meet minimum technical requirements?
Remember: In cases where there is inadequate treatment capacity, EPA may grant a case-
by-case extension to the effective date of a prohibition for a specific waste. The extension can be for
up to one year, renewable only once, for a total of two years.
IH-291
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statcment(s) contained herein.
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OSWER Dir. No. 9938.02(b)
TABLE m-7 LAND DISPOSAL RESTRICTIONS REGULATORY
REQUIREMENTS
No-Migration Petition
§26&6 Petitions to Mow Land Disposal of a Waste Prohibited Under Subpart C of Part 268
(a) Any person seeking an exemption from a prohibition under Subpart C for a
restricted waste must submit a petition to the Administrator demonstrating, to a
degree of reasonable certainty, that there will be no migration of hazardous
constituents from the disposal unit for as long as the waste remains hazardous.
The petition must include all components in paragraphs (a), (b), and (c).
(d) Each petition must be submitted to the Administrator.
(e) After a petition has been approved, the owner/operator must report any changes in
conditions at the unit and/or the environment around the unit that significantly
depart from the conditions described in the variance and affect the potential for
migration of hazardous constituents from the unit in accordance with the criteria
set forth in §§268.6(e)(l) and (2).
(f) If the owner/operator determines that there is migration of hazardous constituents
from the unit, the owner/operator must:
(1) Immediately suspend receipt of prohibited waste at the unit; and
(2) Notify the Administrator in writing within ten days of the determination
that a release has occurred.
(3) The Administrator shall then determine whether or not the facility can
continue to accept waste, and whether further examination is needed.
(g) Each petition must include the certification required by this paragraph.
(i) If approved, the petition will apply to the specific waste at the individual disposal
unit described in the demonstration.
(j) The Administrator will give public notice of the intent to approve or deny a petition
in the Federal Register and provide an opportunity for public comment. The final
decision will also be published in the Federal Register.
(k) The term of a petition granted under this section shall be no longer than the term of
the RCRA permit of the disposal unit if the unit is operating under a RCRA permit,
. or up to a maximum of 10 years from the date of approval of a petition if the unit is
operating under interim status. In either case the petition will expire when the
volume limit has been reached.
(1) Prior to the Administrator's decision, the applicant must comply with all
restrictions on land disposal under Part 268 once the effective date for the waste has
been reached.
(m) The petition granted under Part 268 does not relieve the petitioner of his
responsibility in the management of hazardous waste under 40 CFR Parts 260
through 271.
IH-292
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
TABLE HI-7 LAND DISPOSAL RESTRICTIONS REGULATORY
REQUIREMENTS
Inspection Procedures - Section 268.6
Kev Copaiderations;
• Does the petition include the components outlined in §268.6(a)?
• Have §268.6(b) sampling, testing, and analysis criteria been met?
• Has there been any migration of hazardous constituents from the unit?
EPA can grant an exemption if a petitioner can demonstrate, to a reasonable degree of
certainty, that such land disposal will not allow migration of hazardous constituents from the
disposal unit for as long as the waste remains hazardous.
in-293
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is- intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
TABLE HI-? LAND DISPOSAL RESTRICTIONS REGULATORY
REQUIREMENTS
Generator Certification and Notification
§268.7 Waste Analysis and Recordkeeping
(a) Except as specified in §268.32, if a generator has a listed waste, he must test the
waste or test an extract of the waste using the TCLP, or apply knowledge, to
determine if the waste is restricted from land disposal under Part 268. Except as
provided in §268.32, if a generator has a characteristic waste, the generator must
test an extract of the waste using the EP toxicity test, or apply knowledge to
determine if the waste is restricted from .land disposal under Part 268.
(1) If a generator is managing a restricted waste that does not meet treatment
standards, he must provide, in writing, notification of the appropriate
treatment standard as required by §268.7(a)(l).
(a) (1) (iii) If a generator is managing a restricted hazardous debris that does
not meet treatment standards, but is subject to alternative treatment
standards as provided in §268.45(b), he must provide, in writing,
notification that This hazardous debris is subject to the alternative
treatment standards of 40 CFR 268.45."
(2) If a generator is managing a restricted waste that meets treatment
standards, he must submit the notification and certification required by
§268.7(a)(2) indicating that the waste meets all applicable treatment
standards. However, generators of hazardous debris that is excluded from
the definition of hazardous waste under §261.3(f)(2) are not subject to these
notification and certification requirements.
(3) If a generator's waste is subject to a case-by-case extension under §268.5, an
exemption under §268.6, or a national capacity variance, he must provide to
the TSDF the notice required by §268.7(a)(3).
(4) If a generator is treating a prohibited waste in accumulation tanks, a
containment building, or containers under §262.34 in order to meet LDR
treatment standards, the generator must develop a written waste analysis
plan that describes the treatment process. (However, generators treating
hazardous debris under the alternative standards of §268.45 are not subject
to these waste analysis requirements.) This plan must be kept on-site in the
generator's records, and the following conditions must be met:
(i) The waste analysis plan must be based on a detailed analysis of a
representative sample of the prohibited waste, and include all
information necessary to treat the waste, including the selected
testing frequency.
(ii) The plan must be filed with the regional EPA or authorized State at
least 30 days before beginning the treatment activity.
(iii) Waste shipped off-site must comply with §268.7(a)(2).
Ill-294
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statcnicnt(s) contained herein.
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OSWER Dir. No. 9938.02(b)
TABLE m-7 LAND DISPOSAL RESTRICTIONS REGULATORY
REQUIREMENTS
Inspection Procedures - Sections 26&7(a)(l) through 268.7(a)(4)
Kev Considerations!
• If a generator is managing a restricted waste that does not meet treatment standards, has
he provided notification of that fact to the treatment or storage facility?
• If a generator is managing a restricted waste that does meet treatment standards, has he
provided notification and certification of that fact to the TSDF?
• If the waste is subject to a variance or an exemption, has the generator still provided the
required notification?
• If the generator is treating a restricted waste in accumulation tanks or containers
regulated under §262.34, has he done the following, as required:
-- developed a waste analysis plan
-- filed the plan with the Administrator or authorized State
-- complied with §268.7(a)(2) paperwork requirements.
• If the generator applies his knowledge to determine whether a waste is restricted, is the
supporting information located in on-site files?
If a waste does not meet treatment standards in Part 268, Subpart D, generators are only
required to provide a notification to the treatment facility. There are some situations, however,
where a generator must provide both a notification and a certification that the waste meets
treatment standards. This is the case when a generator treats his own waste. Another such
situation is when the waste is generated and already meets treatment standards. An example is a
spill that generates a U-listed waste and, when the exhumed soil is tested, the constituents are
below the concentration levels in the CCW Table set forth in §268.43.
Note: there are varying forms of notification and certification required by paragraphs (a),
(b), and (c) of §268.7. An inspector should determine which is applicable to a particular situation.
Section 262.11 states that for purposes of compliance with Part 268, a generator must
determine if a listed waste exhibits any characteristics. If the treatment standard specifically
addresses the characteristic, then the waste need not be classified in Part 268 paperwork as both
listed and characteristic.' On the other hand, if the treatment standard for the waste does not
specifically address the characteristic, then the waste must be treated for both. An example is F005;
the treatment standard in §268.41 does not address ignitability. Thus, treatment standards for
F005 and D001 must be met if in fact the waste exhibits the characteristic of ignitability.
IH-295
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement^) contained herein.
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OSWER Dir. No. 9938.02(b)
TABLE m-7 LAND DISPOSAL RESTRICTIONS REGULATORY
REQUIREMENTS
Generator Certification and Notification (continued)
§268.7 Waste Analysis and Recordkeeping (continued)
(5) If a generator determines that his waste is restricted by applying his
knowledge, all supporting information must be kept on-site in the
generator's files. If the generator used testing to determine whether the
waste is restricted, all waste analysis data also must be retained on-site for
five years.
(6) If a generator determines that he is managing a restricted waste that is
excluded from the definition of solid waste or is exempt from Subtitle C
regulation, under 40 CFR §§261.2-261.6, subsequent to the point of
generation, he must place a one-time notice stating such generation,
subsequent exclusion from the definition of hazardous or solid waste or
exemption from Subtitle C regulation, and the disposition of the waste, in the
facility's file.
(7) A generator must retain on-site a copy of all notices, certifications,
demonstrations, waste analysis data, and other documentation for at least
five years. This period could be extended in an enforcement action.
(8) If a generator is managing lab packs containing wastes identified in
Appendix IV and wishes to use the alternative treatment standard under
§268.42, he must submit notification in accordance with §268.7(a)(l),
comply with the requirements in §268.7(a)(5) and (a)(6), and submit the
required certification signed by an authorized representative.
(9) If a generator is managing lab packs containing wastes identified in
Appendix V and wishes to use the alternative treatment standard under
§268.42, he must submit notification in accordance with §268.7(a)(l),
comply with the requirements in §268.7(a)(5) and (a)(6), and submit the
required certification signed by an authorized representative.
(10) SQGs with tolling agreements pursuant to 40 CFR 262.20(e) must comply
with applicable notification and certification requirements of paragraph
(a) of §268.7 for the initial shipment of the waste that is subject to the
agreement. Copies of the notification, certification, and the tolling
agreement must be retained for a period of at least three years.
(d) Generators or treaters who first claim that hazardous debris is excluded from the
definition of hazardous waste under §261.3 are subject to the notification and
certification requirements of §268.7(d)(l-3).
IH-296
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statcment(s) contained herein.
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OSWER Dir. No. 9938.02(b)
TABLE HI-7 LAND DISPOSAL RESTRICTIONS REGULATORY
REQUIREMENTS
Inspection Procedures - Sections 268.7(a)(5) through 268.7(d)
Kev Considerations;
• If the generator is managing a restricted waste that is subsequently excluded from
regulation under §§261.2-261.6, has the generator placed a one-time notification in the
facility files? An example would be wastes excluded from RCRA regulation when
discharged to a POTW regulated under the CWA.
• If the generator is managing lab packs and is using an alternative treatment standard,
has he submitted the notification and certification required by §268.7(a)(8) or (a)(9)?
• If the generator is exempted under §262.20, did he provide notification and certification for
the initial shipment of waste?
See following chart of Generator Recordkeeping and Analysis Requirements.
m-297
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
TABLE m-7 LAND DISPOSAL RESTRICTIONS REGULATORY
REQUIREMENTS
blank page
III-298
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
TABLE m-7 LAND DISPOSAL RESTRICTIONS REGULATORY
__ REQUIREMENTS
Inspection Procedures-Sections 268.7(a)(7) through 268.7(d)
Generator Recordkeeping and Analysis Requirements (§268.7)
Note: This flowchart can be used as a guide only,
since different nollllcations and
certifications apply tor characteristic waste*
which have been treated uniK rendered
non-hazardous and 'lab pack* wastes.
Identty Wute:
Cheirical CompoMon; Source
±
Determine EPA Hazardous Warn
Code(t) 1261 (Include All Apdicible
Characterittic And Lifted Codet)
Determine WaBlewater/Nonwattewater
Ouiilicnon And Wette-Specific
Subdnition
(e.g.. Wettewater, Non-wattewater;
0003 Reactive Cyanidet)
look Up Treatment Standard!
For Hatardout Wot* Code(iyWaite
datkficaton Ptfl 268 Subotn D
WUiEjdiSlipmc
NOTIFICATION |i6S.7(«X2)
(1) HiuntautWiMtCad^i)
(II) ConMpondingComnnlkxvBaMdOr
T«hnalogy-Bawd TiMtirant Sundtrtt
(HI) ftteiMlfeirtMr
(TV) WdMArulyw CM> (It AvttUtU)
CERTIFICATION «2SS.7(«H2X>)
RECOBOKEEPINQ |2S8.7(i)(7)
To TrMtnunt Storage. Racyding Or
Und dioo»* fttMit
NOTIFICATION J268 7(«
idcu>WaaaCoda(i)
(II) Corraapondng Concanmian-Baiad Or
Tectinotegy-Baaed Tmatmam Standautt
(II) MarihMNuntiar
(TV) WamAft*y««D«,(ltABJk»Ua)
RECOROKEEPINa |28» 7(i)(7)
TnutnvntSUndwdt?
(Miy 8* Omrrnntd By
Kno«1«dg« Or TMting
(«268.7(il)
To Treatment, Storage. Or
Recvdino. Fae*t»
a
Watta Alto
Prehibitad Under Tha
CaMomia U«t l«26a.3Z. RCRA 43004IOII?
ud WHIM: Fnta Cvanidat i 1 .000 moA
SeJIOOmg/l.
Hgz20mo/t.
AJiiOOmoA CdjlOOmovL
CR VI i 500 mg/L Pt J 500 mo2iOmo/L
pH«2
HOCltl.OOOmoyl
Nonliguid Wallet: HOCl i 1 .000 rno/Kq
1
Watte li Prontrted Under The Cattema
U« |»2M 31 RCRA |3004(d)|:
UOUIO WASTES:
Free Cyanidea 21.000 mgA.
PCBe * 50 mgrt.
Nickel 2 134 mgrl
Thulium 2190 mg/l
UOUIO AND NON-UOUIO WASTES:
Haloganaiad Organic Compound!
(Not Addraated By Treatment Standard*)
J 1.000 pern
THEN
The Waste Muat Meet Thaae Profttoion
Leveli At Wei And Mutt Be Induced On The
vwn £** Srttm»nt
NOTIFICATION J268 7(.K3)
(I) HizMcu>WM»Co
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OSWER Dir. No. 9938.02(b)
TABLE HI-? LAND DISPOSAL RESTRICTIONS REGULATORY
REQUIREMENTS
Treatment and Disposal Facility Certification and Notification
§268.7 Waste Analysis and Recordkeeping (continued)
(b) Treatment facilities must test their waste in accordance with their waste analysis
plan. Such testing must be performed as provided in paragraphs (b)(l), (b)(2), and
(b)(3) of §268.7.
(4) The notification required by §268.7(b)(4) must be sent to each land disposal
facility.
(5) The treatment facility must submit the certification required by §268.7(b)(5)
with each shipment of restricted waste to a land disposal facility.
(6) If the waste is going to be further managed at a different facility, the TSDF
sending the waste or treatment residue must comply with the notification
and certification requirements applicable to generators under §268.7.
(7) Where the wastes are recyclable material used in a manner constituting
disposal, instead of notifying the recycling facility, the owner/operator of
the recycling facility must submit the certification in §268.7(b)(5) to the
Regional Administrator or delegated representative. The recycling
facility must keep records of the name and location of the facility that
received the waste.
(c) Except where the owner/operator is disposing of any waste that is a recyclable
material used in a manner constituting disposal pursuant to 40 CFR §266.20(b), the
owner/operator of any land disposal facility disposing of any waste subject to Part
268 restrictions must:
(1) Have copies of all notices and certifications specified in paragraph (a) or
(b) of §268.7, and certification specified in §268.8 if applicable;
(2) Test the waste or extract of the waste to assure that the wastes or treatment
residues are in compliance with the applicable standards. Such testing
must be done in accordance with the facility's waste analysis plan.
Ill-300
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statcmcnt(s) contained herein.
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OSWER Dir. No. 9938.02(b)
TABLE HI-7 LAND DISPOSAL RESTRICTIONS REGULATORY
REQUIREMENTS
Inspection Procedures - Sections 268.7(b) and (c)
Kev Considerations:
• Has the treatment facility tested its waste in accordance with its waste analysis plan? This
testing should be done in accordance with (b)(l), (b)(2), and (b)(3) of §268.7.
• Did the treatment facility send the required notification to each land disposal facility?
• Did the treatment facility submit a notification and certification to the disposal facility that
the waste meets applicable treatment standards? If the waste does not meet treatment
standards, and the TSDF is sending the waste off-site for further treatment, the TSDF must
comply with the notification requirements applicable to generators under §268.7(a).
• Does the owner/operator of a disposal facility have all copies of notifications and
certifications specified in paragraphs (a) and (b) of §268.7?
• Has the disposal facility tested the waste or waste extract to determine compliance with
treatment standards? This testing must be done in accordance with the facility's waste
analysis plan.
m-3oi
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
- regulatory requirements are in any way altered by any statcmcnt(s) contained herein.
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OSWER Dir. No. 9938.02(b)
TABLE HI-? LAND DISPOSAL RESTRICTIONS REGULATORY
REQUIREMENTS
Soft Hammer, Characteristic Waste, and Newly Identified Waste Requirements
§26&8 landfill and Surface Impoundment Disposal Restrictions
(a) Prior to May 8,1990, wastes which are otherwise prohibited from land disposal may
be disposed in a landfill or surface impoundment which is in compliance with the
requirements of §268.5(h)(2), provided that the requirements of §268.8(a) are met.
As of May 8, 1990, this section is no longer in effect.
§268£ Special Rules Regarding Wastes That Exhibit a Characteristic
(a) The initial generator of a solid waste must determine each waste code that applies to
the waste in order to determine applicable treatment standards under Part 268
Subpart D.
(b) Where a prohibited waste is both listed under Part 261, Subpart D and exhibits a
characteristic under Part 261, Subpart C, the treatment standard for the listed waste
code will operate in lieu of the characteristic treatment standard, provided that the
treatment standard for the listed waste includes a treatment standard for the
constituent that causes the waste to exhibit the characteristic. Otherwise, the waste
must meet the treatment standards for all applicable listed and characteristic waste
codes.
(c) In addition to any applicable standards determined at the initial point of
generation, no prohibited waste that exhibits a characteristic may be land disposed
unless it meets the applicable treatment standards.
(d) Wastes that exhibit a characteristic are also subject to §268.7 notification
requirements, except that once the waste is no longer hazardous, the generator need
not provide notice to a Subtitle D facility. In such cases, the required notification
and certification specified in §268.9(d) must be placed in the facility's files and a
copy sent to the EPA Region or authorized State; however, this notification must be
updated if the process or operation generating the waste changes and/or if the
Subtitle D facility receiving the waste changes.
§268.13 Schedule for Wastes Identified or Listed After November 8,1984
(a) In the case of any hazardous waste identified or listed under Section 3001 of RCRA
after November 8, 1984, the Administrator shall make a land disposal
determination within 6 months after the date of identification or listing.
Ill-302
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
TABLE m-7 LAND DISPOSAL RESTRICTIONS REGULATORY
REQUIREMENTS
Inspection Procedures - Sections 268.8,268.9 and 268.13
Important: Sections 268.8 is no longer in effect. It is included here only for historical
purposes — it may be needed to determine past compliance.
If a characteristic waste is rendered non-hazardous and then sent to a Subtitle D facility,
the generator must provide the required notification to the EPA Regional Administrator or
authorized State. The notification is not required to go to the Subtitle D facility.
If a generator has a mixture that consists of a newly-listed waste for which no treatment
standards have been established, and a waste that is currently restricted under Part 268, the
inspector should check whether the generator complied with the treatment standards for the
restricted waste.
• The Third Third rule (55 FR 22520) established treatment standards for the characteristic
waste codes D001-D017. Wastes that exhibit a prohibited characteristic must be treated to
meet treatment standards prior to land disposal. Special rules have been established in
§268.9 regarding wastes that exhibit a characteristic. Several examples are provided below
to illustrate these rules.
• If a waste is listed under both Subpart C (Characteristics of Hazardous Wastes) and Subpart
D (Lists of Hazardous Wastes) of 40 CFR Part 261, a determination must be made
concerning the following:
- - If the treatment standard for the waste code listed in Subpart D includes a treatment
standard for the constituent that causes the waste to exhibit the characteristic, then the
treatment standard for the listed waste (i.e., F, K, P, and U wastes) will operate in lieu
of the treatment standard for the characteristic waste code (i.e., D waste).
For example, if an F006 metal-hydroxide sludge also exhibits the toxicity characteristic
for lead (D008), the treatment standard for D008 is not applicable since the F006
treatment standard in Table CCWE includes a standard for lead.
-- If a listed waste exhibits a characteristic not addressed in the treatment standard in
Subpart D of Part 268, the treatment standard established for the characteristic waste
code (i.e., D waste) and the treatment standard for the listed waste (i.e., F, K, P, and U
waste) must both be met and both waste codes must be identified on applicable LDR
paperwork.
For example, if an F001 spent solvent mixture is contaminated with and exhibits the
characteristic for lead (D008), treatment standards for both F001 and D008 are
applicable since the F001-F005 treatment standards do not include a standard for lead.
• Several listed wastes are listed solely due to the presence of a hazardous characteristic
(e.g., F003-ignitability). If the characteristic is removed from such a listed waste and the
treatment standard for the listed waste is met, it is no longer considered a hazardous waste,
and therefore, need not be disposed in a Subtitle C facility. After meeting the treatment
standard for the listed waste and removing the characteristic, TSDFs must comply with the
appropriate notification and certification requirements under §268.9(d).
m-303
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
TABLE HI-? LAND DISPOSAL RESTRICTIONS REGULATORY
REQUIREMENTS
blank page
ID-304
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
TABLE HI-7 LAND DISPOSAL RESTRICTIONS REGULATORY
REQUIREMENTS
Inspection Procedures • Sections 268.8,268.9 and 268.13 (continued)
• Wastes that are hazardous by characteristic only (i.e., do not meet any of the listings in 40
CFR Part 261 Subpart D) are subject to different LDR requirements once the characteristic
is removed:
-- If a characteristic waste does not meet treatment standards and is being shipped off-
site, the notification requirements of §268.7(a)(l) apply, as they do with all other wastes.
- - If the waste is treated so that it meets the treatment standard and it no longer exhibits
that characteristic (and thus is no longer hazardous), the waste may be shipped to a
Subtitle D facility. The generator or the treatment facility need not send a §268.7
notification to such a facility; however, a notification and certification containing the
following information (see §268.9(d)) must be placed in the facility's files and a copy
sent to the EPA Region or authorized State; however, the one-time notification must be
updated if the process or operation generating the waste changes and/or if the Subtitle D
facility receiving the waste changes.
The name and address of the Subtitle D facility 'receiving the waste shipment
A description of the waste as generated, including EPA hazardous waste code(s)
and waste category (e.g., wastewater and nonwastewater)
The treatment standards applicable to the waste at the time of generation
A certification statement that uses the language in §268.7(b)(5)(i), signed by an
authorized representative also must accompany these notifications.
• When the hazardous characteristic is removed prior to disposal or when the waste is
excluded from the definition of hazardous or solid waste under §261.2-261.6, the
requirements of §268.7(a) still apply. For example, if a characteristic waste is not
prohibited because it is discharged from a wastewater treatment system pursuant to a
National Pollution Discharge Elimination System (NPDES) permit, some record must
still be kept indicating the reason that the waste is not prohibited (i.e., a statement that there
is no land disposal of this waste in the system should be in the facility's operating record).
Ill-305
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
TABLE m-7 LAND DISPOSAL RESTRICTIONS REGULATORY
REQUIREMENTS
Prohibition on Land Disposal Schedule
§26&30 Waste Specific Prohibitions-Solvent Wastes
§268.31 Waste Specific Prohibitions-Dioxin-Containing Wastes
§26&32 Waste Specific Prohibitions-California List Wastes
§26&33 Waste Specific Prohibitions-First Third Wastes
§26&34 Waste Specific Prohibitions-Second Third Wastes
§26&35 Waste Specific Prohibitions-Third Third Wastes
Effective Dates of Waste Codes Listed in Subpart C
( Not Including National Capacity Variances for Mixed Radioactive Waste, and Contaminated
Soil and Debris Waste)
(see following pages)
III-306
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statcment(s) contained herein.
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Federal RagUter / Vol. 55. No. 21 / Thursday, January 31. 1991 / Rules and Regulations 3913
TABLE 1.—EFFECTIVE DATES OF SURFACE DISPOSED WASTES (New-Sat AMD DEBRIS) REOUIATEO IN THE LORs •—COMP*€HCNSIV€
UST—Continued
Wast* coda
(Y111
001?
0014
001 ?
0014
0017
FOQ1
F001
F002 (1 1,2-lricnlorrrflltiaf*f)
pnrw
cnn?
cnm
•
cnft4
P
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3914 Federal Register / Vol. 55. No. 21 / Thursday. January 31. 1991 / Rules and Regulations
TABLE 1.—EFFECTIVE DATES OF SURFACE DISPOSED WASTES (NON-SOIL AND DEBRIS) REGULATED IN THE LDRs '—COMPREHENSIVE
LIST—Continued
Watt* cod*
itnji « -. ----- ,
KO99
icnja ,„-„ , ..,,
KO9.4 ...,„„
KQ25
K025*
KO9II ,
KQ2V (metals)
KO9O
K029
KQ31 ' ,,,,. „„,
K031
KQ33,, .. _ „„.,„. ,-,
KttU .
K035 _
KO3II*
K097»
Knar ., . .
KQ3B
•ovin , ,
K011-. „ ,-, ,„ , .,-
KA19 „„,„-,
KOia , ,,, ,,
KIV«« ' ...
KfHK (Unnraactrs)
KOAR
KfU7«
K04Q
KtUB
touo
KMA
KOS1
KftSI
IOW9
KOS9
KMOV
KM1 ,
K081 (low zinc) Qiilailiii standard tor Ngh zinc r*me»» in effect
un« August 7. 1991).
KOSS
KO8B
K071
K079
•COM
KQBA
KOM
KOBS..
KOM
KMT
Koaa
KOM
KOOS
KOM
KOB7
KOM
KOOB
K100
Kino«
K'O1 (maMi)
K1ft? (o*gei*i)
Wast* category
Nonwastewater . . .
Wastawatar
Nonwastawatar ....
AH , „, , , „ .,.-.. ,, --
AJ)
Wastawatar
Nonwastawatar
Al „_ „ „ _
AH .
AH others ._. _
Nonwastawatar
All
Wastawatar _ _
AH
AJ
AJ> „ , ,-,, ,..-,- -- -
AH . ... .
Wastawatv
Nonwtstvwatf , , , „
Nonwastawatar
AH
AH,,, „„„.„„-„-,- ..,.,....
Al . . ,,,.-- - -
Al ,,. , -
AJi -
A!,, .„, _
Al .
AH
AiepiMt, , ,.„,,
AH
Wastawatar ,., .
Nonwattawatar
Nonwastewattr .
Wastawatar
NjumtM/ttwMi
Waiiawaiar
Nonwastawatar
Wastawatar
N""i ••lawatM
Wsttawatar
Nonwastswai^
Wastawstar - -
Al . .
Nonwastawatar
Alopift.
Al. _
AD . .
Af ,_ -
Al .
Al ...
Al cttff -
Al .
Al
Al
Nonwattawat*'
Wastawatar
N
-------
Federal Register / Vol. 55. No. 21 / Thursday. January 31 1991 / Rules and Regulation* 3915
TA« f 1.—EfTEcnvE DATES OF SURFACE DISPOSED WASTES (Non-Soo. ANO DEBRIS) REGULATED IN THE LDRs »—COMPREHENSIVE
LIST—Continued
wait* cod*
K1ff?
"10*
K1M
KICfl <- ..
KlOf
K1 13
V11J
K11*
Kim
(XVM
prviy
Dnryi
oryy
PrtfW
°!XW
PO/IT
conn
0009
coin
BT)1()
0911
oni»
onu
P013*Mrtje4. ,
onn
0014
pnic
pnm
pniT
com
on?*
onyi
DTI99
onpi
DMA
0077
DAM
DAM
PtWft
DMI
DM*
Dnoi
OnTT
Drun
PIVI1
POA9
0°*?
PTU4
PQ4$
004*.
P04T
HUH
PtVlQ
pom
POS1
PO&l
POM
PQ$7
PMA
PMO
Pfwn
Pft»>
"W
on"
PIWM
0°"*
POM
POUT
Waita citagory
1^«fV>««Ur . ,. , ....
*«
*•
U
Wnwvi1— ...
A» _. . _ ..,.,
A«
Al
" , „ .-
** ... , ,
AD
A*
M .
AH ..„„,._
*" ......_. . .
AH
•*• . ,^
41 - - „--
Wiitowitw
MoniMHaivatttf H .
'"Mli'i l"r . .. ,.,, ,.._ , , .... „ .
ymrrrilir , ...
Ni;miml"i !"• ^ .,--,..-, , „ ,,... -_.,- ....... , ,.-,-...,
AH ,..,
•»• ^ ^~
Al
AD ,
AH
AM ... .
fLff
AM . ..
AM .. _. . ... ,
AM J ... JrIWI ... ..
if
AM .., ... .._ _..
AM
A« r. ., ._ ..... .. .
AH . .....
AM
AJ|
AM ,
AM
AJ
AM . . --...,---
£•
AM „ ... ..... .,, ..
AJI
Nl : - ,--, ... .. — ,-— ... -
AJ! ,,..,. .-,- .„- .-- -
AM
AM ,.,,.., ... . ... ' .
AM . ...
yg|
AJI
AM ........
AM .. ,,-
AM,, .... ,,.,,-.-,, ,
AM
AM ...... .
AM ,.. ...,,, ,
A*
Ai ......
AM . .... .. ....
AM
AM
AJ ....• ... ...
EWeov« date
Aug. 8 1990
AIMI ft 10AA
May 6 1992*
Aug 8 1B88
Aug 8 10S8
Aug 8 1990
Aug 8 '980
May 8 1992
Jun* 8 1969
Jun*8 1969
Jun«8 1969
JuM8. 1969.
Aug 8 1990
Aug. 8 1990
Aug 8 1990
Aug. 8 1990
Aug. 8 1990
Aug. 8 1990
Aug. 8 1990
Aug 8 1990
Aug. 8 1990
Aug. 8 1990
M*y6 1902.
Aug. 8 1990
May 8 1992.
Aug. 8 1990 •
May 8. 1992.
Aug. 8. 1990.
jun«8 1989
Aug. 8. 1990.
Aug. 8. 1990. .
Aug. 8. 1990.
Aug. 8, 1990.
Aug. 8, 1990.
Aug. 8. 1990.
Jun« 8, 1989.
Aug. 6.1490.
Aug. 8. 1990.
Aug. 6. 1990.
Aug. 6. 1990.
Aug. 8, 1«90.
Aug. 8, 1990.
Jur»e,198».
Jon* a, 1989.
Aug. 8, t990.
Aug. a. 1990.
Aug. «, 1990.
Aug. 8, 1990.
May 8. t992.
Aug. 8. t990.
Aug. a, 1990.
MayB, 1992.
Junta, 1989.
Jon* a. 1989.
Aug. a, 1990.
Jon* 8. 1989.
Junaa. 1989.
Aug. a. 1990.
Aug. a, 1990.
Aug. a. 1990.
Aug. 8,1990.
Aug. 8. 1990.
Aug. a. 1990.
Aug. 9, 1990.
Aug. a. 1980.
Aug. 8. 19SO.
Aug. a, 1990.
Aug. a, 1990.
Aug. a, 1990.
Aug. 8, T990,
Jun* a, 1989.
Jun*8. 19B9.
Aag.8. T990.
Aug. 8, 1990.
Maya. 1992.
Aog.8. t990.
Aug. «, 1990.
-------
3916 Federal Register / Vol. 55. No. 21 / Thursday. January 31. 1991 / Rules and Regulations
TABLE 1 .—EFFECTIVE DATES OF SURFACE DISPOSED WASTES (NON-SOIL AND DEBRIS) REGULATED IN THE LDRs •—COMPREHENSIVE
LIST—Continued
WuMcod*
P068 _
P069 _.._
P070 .
P071 „
P072 _ _
P073
P074 . _
P075
P076
PQ77 1 , , , , __
P076
P081 . _
P082
P084 .
P085
P087
P088.. I
P089...._
P092 _„ _
P092 ..
P093 ._ '
POM _ ...
P095 ._
P096....
P097
POM _ _ .
P099(t*var)
P098.. _
P101... ,
P102 „ . .
P103....
P104 (fUv«r)
P104
P1M
P106.._ ...
P1M
0100
>110
Pill...
P11S
P11?
pin ;
P11S ..,
P118
P11B
P11B
P130
P121 _.
-P129.-...
P123 „.
U001..
U002 „
U003 .
U004
U005 ._ _.
U006.
U007..._ "*
U008
U009
U010
U01 1 „ _..
U012
U014
U015
U016 ..
U017
U018
U019 . ._ .
U020
U021 _
U022
U023
U024
U02S _ _. . _ _
U026
1027 _
>028
J029
Wa»ta category
AN „„ .
All _ _ „ _
All _.
All
All
AH ' ._
All
All
All ....
All
AH _
All
All . „.
All
All '.
All . . . . __
All
All _ _„ _..
Wastewatar
Nonwastawatar - - -
AD „ _ __
An _ _ _
All _ „ _
All
All ... ...
All _ . . . . _ ._
Waatawatar
Aflothara _ .„
All . _
AD
All
Waatawatar ...... . „._..._.._
AD ottwrs
AH _ _ _ _
AH _.. _ _
All
AH
AD
All
All
All
AH
All. „, .. . ,.,r.,,, -,-, — r-
Al ._ _.
AN _
Al _ „ „
AH
AH .
AH
Afl _..
AH . . _. . _
AH _. .
AH .„ -
AH _.
AH
Afl
Afl
All
AH
AN
AH
Alt
All
AH
AH
All
All
All
All
Afl
All
AH
All
All
AH
A|!
AH
Effective data
Aug 8 1990
Aug. 8. 1990.
Aug. 8. 1990
Juna 8, 1989.
Aug. 8, 1990.
Aug. 8, 1990.
Juna 8. 1989.
Aug. 8 1990.
Aug. 8 1990
Aug. 8. 1990.
Aug. 8. 1990.
Aug. 8, 1990.
Aug 8 1990
Aug 8 1990
Juna 8. 1989.
May 8 1992
Aug. 8. 1990.
Juna 8, 1989
Aug. 8 1990
May 8. 1992.
Aug. 8. 1990.
Juna 8 1989.
Aug. 8. 1990.
Aug. 8. 1990.
Juna 8 1989.
Juna 8 1989
Aug. 8 1990
Juna 8, 1989.
Aug. 8, 1990.
Aug. 8 1990.
Aug. 8 1990
Aug. 8, 1990.
Juna 8. 1989.
Aug. 8, 1990.
Juna 8, 1969.
Aug. 8. 1990
Juna 8, 1989.
Aug. 8. 1990.
Juna 8. 1989.
Aug. 8. 1990.
Aug. 8, 1990.
Aug. 8. 1990.
Aug. 8. 1990.
Aug. 6, 1990.
Aug. 8. 1990.
Aug. 8. 1990.
Aug. 8. 1990.
Juna 8. 1989.
Aug. 8, 1990.
Aug. 8, 1990.
Aug. 8. 1990.
Aug. 8. 1990.
Aug. 8. 1990.
Aug. 8. 1990.
Aug. 8. 1990.
Aug. 8, 1990.
Aug. 8 1990
Aug. 8 1990
Aug 8 1990.
Aug. 8, 1990.
Aug 8. 1990.
Aug. 8. 1990.
Aug 8. 1990.
Aug. 8. 1990.
Aug. 8. 1990.
Aug. 8. 1990.
Aug. 8. 1990.
Aug. 8. 1990.
Aug. 8. 1990.
Aug. 8. 1990.
Aug. 8, 1990.
Aug. 8. 1990.
Aug. 8. 1990.
Aug. 8. 1990.
Aug. 8. 1990.
Aug. 8. 1990.
Juna 8 1989.
Aug. 8, 1990
-------
Federal Register / Vol. 55. No. 21 / Thursday. January 31. 1991 / Rules and Regulations 3917
TARLF 1.—I
•EFFECTIVE DATES OF SURFACE DISPOSED WASTES (NON-SOIL AND DEBRIS) REGULATED IN THE LDRs '—COMPREHENSIVE
LIST—Continued
Wwttcoda
0030 _
0031
0032 _
0033
0034
U035 .•
0036
0037
0038 '
O039 _
0041
U042 „
IJ043
U044
0045
0048
0047 _
U048 _
U049
0050
(J051 .
0052 „ .
U053 ._ _
0055 _ . ._
0058 . .
U05T . _„
U058
0059 „ .._ _
uow
U061
uow
0063 .. _
0044. . .., ,„ ,, . ... . ..
0060
0087 . .. .„.,
0068 . _
0069 . — .
UQ7Q
OQ71 . . ,,
UQ7J
\JVFj ... ...,,,
IJfl74 ... .... ,... ,. ,
U075 „ _ __
007»
U077 .. ., -- ,--,---,
UQ7*
0079, .....,.,.,..,.. ,.-, , ,„
U080 .,..,. -M, „-„..--„-- -,
UQ81 ...... ,„—„„-- - ...
UQH .......,-„-,---. --, --,-.
oow
0084 _ -.
0098 .
MOW
0097
0089
0099
0090 ._ _
0091 _ _ „. „. _.. _
0092
0009 ,. „._, . ..
0094 -
Uoo$ , ... , . .... .... . ..,.,.. „ ' , . ,. , ..
UOSf „.. ,,,, ,., , .,„ ,
UP97
0090..
0099
yiOi. -
0102
0103 .. . .
yiQS..,,, ,.. ,.,. „. „,
0108-
U1Q7,. ._..._ „ „.. ,-.,. .,
U'W,,.., ,,.r j...... -„ ,
U1Q9 .,„ ..... ,„..... ,.,. ,.-
UMQ
0111 ,,.,„„„-,, , ., ...
0112 . _.
Waste category
An
AH
AD
AH
All
AD
AH
Alt
All _
All
All
All
All :'.
All
All
All
An
All _...
An -
AM
AD
AH
AH...-
All
AH „ _ .. _.
AH
AH . .
AD
AN _
An ... ...
AH _ „ _ _
AH _ _
AH „ _
Afl
AN .
Afl . __..
AH _ ..
All
AN ' , _ _.
AH ' .
AN . _ . _ „
AH .
Af
AH ...........
AH
AH -. - .-
AN . _ „.„ „._..
Afl . __ _ _
AH . _.
AH . _-. ....
AH - •
AH
AH
AN
AP ...,„ , , ...... .,,,.. , , .., , ..
AH
AN ... ..
AH _
AH
Ai
AH .. _ - _ -
AH_. . _ _
AH „ „, _ _ „
Afl „ _ _ _
Afl ........ _ _ ....._._..._„._ _
AH .»—
AH ._ . ...
AH
.j
^u
^jl
AN
AH
AH
AN
AH _ „ - -
AH
EMective data
Aug 8 1°90
Aug 8 <990
Aug a 1990
Aug. 8 1390
Aug. 8 1990
Aug 8 1990
Aug 8 1990
Aug 8 1990
Aug 8 1990
Aug 8 1990
Aug 8 1990
Aug. 8. 1990
Aug 8, 1990
Aug 8 1990
Aug 8 1990
Aug. 8 1990
Aug 8 1990
Aug 8 1990
Aug 8 1990
Aug 8 1990
Aug 8 1990
Aug. 8 1990
Aug. 8 1990
Aug. 9 1990
Aug. 9 1990
Aug. 9 1990
June 8. 1989
Aug. 8 1990
Aug. 8, 1990.
Aug. 8, 1990.
Aug. 8. 1990.
Aug. 8. 1990.
Aug. 8. 1990.
Aug. 8, 1990.
Aug. 8. 1990.
Aug. 8. 1990.
June 8. 1989.
Aug. 8. 1990.
Aug. 8, 1990.
Aug. 8, 1990.
Aug. 8. 1990.
Aug. 8, 1990.
Aug. 8. 1990.
Aug. 8, 1990.
Aug. 8. 1990.
Aug. 8. 1990.
Aug. 8. 1990.
Aug. 8. 1990.
Aug. 8. 1990.
Aug. 8. 1990.
Aug. 8, 1990.
Aug. 8, 1990.
Aug. 8. 1990.
Aug. 8, 1990.
Jura 8. 1989.
Jura 8, 1989.
Aug. 8. 1990.
Aug. 8. 1990.
Aug. 8. 1990.
Aug. 8. 1990.
Aug. 8. 1990.
Aug. 9, 1990.
Aug. 8. 1990.
Aug. 8, 1990.
Aug. 8. 1990.
Aug. 8. 1990.
Aug. 8. 1990.
Aug. 8, 1990.
Jura 8. 1969.
Aug. 8. 1990.
Aug. 8. 1990.
Aug. 9. 1990.
Jura 9, 1989.
Aug. 8, 1990.
Aug. 8. 1980.
ALC 8, 1990.
Aug. 8. 1990.
Aug. 8. 1990.
-------
3918 Federal Register / VoL 55. No. 21 / Thursday, January 31. 1991 / Rules and Regulations
TABLE 1.—EFFECTIVE DATES OF SURFACE DISPOSED WASTES (NON-Son. AND DEBRIS) REGULATED w THE LDRs •—COMPREHENSIVE
LIST—Continued
Wictteod*
yii$ .. ..„,, ,,, , ,..„ „ ,
^1»J- , _ „--,.,.„,, ,.-..
U115 . .•
yiifl ,,,., , ,
U1 17
UJfB ,_
iff \m
^1JQ ....
U121
U122 . . .- -
I11 23
yi ja
U12S _ _ _
yi26
yt£7 ..
U19II , . . ..„. .„„.,.. , , , _.
yi?9 •
U1W •
U191 _,, ... „....,.. ., _,.....,.. ...
yiaj
U1M ,
II1--U ,, Ml . _„„
111*1,, , ,., .
man , , .,. .. .„. .
mat
ui37 .,
U1*l . .
U'40 . , ,. ,
11141
U14*
U1JS . ,, ,
U1U
U148
U1JA
UH7
'»** ,, , ., ., -
HIM
inn
U1S1
HIM
in fa
U1M
m*j
U1M
me*
U1«T
uisn
U1M '
uiao
U1B1
IJ1M9
l»*«
(I1A4
II1M
U1M
U1«?
U1M „
"1«»
U17B
U17I.._. , _.
U17»
U17S
U17J
U17$ , , _ _
U177
U17J „.._._..._
U179 „
iii«n
U1B1 ...
IJ1HJ
U1M
l»«*
m«s
UiM _ .,
LI1«7
uiee....
U18B ^_^ „
U190 _
WMM cattgory
A»
AK
All ..... ,,,,„.., , , --
AP
A* _. . .. _ ._
4P .. .„ ,. ,„.„.„. j,, -,, „., - - - - -
Al
All
AR .
40
A* ,, , , , . - , - -
All - -
All
AV .
AH
AW
AH
AJI ,,. .„ . 1T1. _ , .. , ...-„., .,., . ,
Aft
A«
*•
AH
A* ..... -,--
WuttnMW
Hon«Ml»«l>»
All ,
A*
AH ...... .....
A*
AM
*•.„„ ^ .,... -
Af
A» ._ •--
Af
AH ......
A« :
yyi
WniimMr
A»
A»- -- - „ ,
A>
A* ...... .„.,.,-,„ -.
AC
AC
AH
A» ' ,„.., .
AH
Al
A* ...
A>
A*
Al
AJI
Al
Al _ „
AH .„,„ .....,„,
At ...
AH ,
Al
Al
Al .,., .,„.„„,.„. - - -
Al
Al ,,,,
A1
AH
Al
AH
AJI
Al ., ,„„._ ..,.,._ ...... lu ....
Al
Al , ,„ , „„
Al . . ,„., T... ,., ^ .„„
AV
Al
AR '. „ _
Eflectrve date
Aug. 8. 1990.
Aug. S, 1990.
Aug. 8. 1990.
Aug. 8. 1990.
Aug. a. 1990.
Aug. a. 1990
Aug. a. 1990.
Aug. 8, 1990.
Aug. 8. 1990
Aug. 8, 1990.
Aug. 8 1990.
Aug. 8. 1990.
Aug. 8. 1990.
Aug. 8. 1990.
Aug. 8. 1990.
Aug. a. 1990.
Aug. 8. 1990.
Aug. 8. 1990.
Aug. 8, 1990.
Aug. a 1990.
Aug. 8. 1990.
Aug. 8. 1990.
Aug. 8. 1990.
Aug. 8, 1990.
Miy 8, 1992.
Aug. 8. 1990.
Aug. 8. 1990.
Aug. 8. 1990.
Aug. 8. 1990.
Aug. 8, 1990.
Aug. a. 1990.
Aug. 8. T990.
Aug. 8. 199a
Aug. a 1990.
Aug. a 1990.
Aug. 8. 1990.
Aug. a t»90.
Aug. a 1990.
Aug. a 1990.
McyS, 1992.
Aug. a 1990.
Aug. 8. 1990.
Aug. a '990.
Aug. a t»90.
Aug. a 1990.
Aug. 8, 1990.
Aug. 8, 1990.
Aug. 8. 1990.
Aug. B, 1990.
Aug. a 1990.
Aug. 8, 1990.
Aug. 8. 1990
Aug. 8. 1990.
Aug. 8, 1930.
Aug. a 1BCJ.
Aug 8 1*0.
Aug. a '9S9.
Aug. 8, 1990.
Aug. 8 1990.
Aug. a, 1990.
Aug. 8. 1990.
Aug a 1990.
Aug. 8. 1990.
Aug. 8. 1990.
Aug. a. 1990.
Aug. a 1990.
Aug. 8. 1990.
Aug. B. 1990.
Aug. a 1990.
Aug. a 1990.
Aug. a 1990.
Aug. a. 1980,
Aug. 6. 1CJ3.
Aug. 8. I960.
Aug. a 1990.
Aug. a 1990
Aug. 8. 1990.
Jurw a 1969.
-------
Federal Register / Vol. 55, No. 21 / Thursday. January 31, 1991 / Rules and Regulations 3919
TABLE 1.—EFFECTIVE DATES OF SURFACE DISPOSED WASTES (Non-Son. AND DEBRIS) REGULATED IN THE LDRs '—COMPREHENSIVE
LIST—Continued
Waste cod*
U191
U19J
U193 _
U194
U 1 96
U197 '
U200
U201
U202
U203
U204
U205
U206
U207
(J208
U209 . -
U210 _
U211
U213
U214 _
U215 _
U216. . -
U217
U218
U219
U220 ..
U221 — ....
yj22 -
U223
U225
U226
U227
U228 —
U234
U235
U23« _.._.. . _.
U237 .. . .
U238 _
U239
U240-
U243 . ._ ._
U244. . .. .._
U246
U247
U248 _ _
U249
Waste category
All
All „
All
All
AD
All
All _
All _...
All _ _.
All
All „
All _.
All _ ..
All
AD
AH
AH
All _ ...
AB. _ _ _. J
An
AD _ _ _
All
AM
AH „ _. _. ... _ .
An _ ... ._ _
AN
AH _ _ _. .„ _ -.._ _.
Al
Al „.
An ........ .. . _„ .. T.tJ..
Afl
AB
AN
An .. _. _ _
AH
AM
AJt
AH
All .. „.. .._.
AH . ... __
Afl , ,....
AH , ,. ,, ,....,,
An
AN , ,. ,. ,.
Effective date
Aug 8 1990
Aug 8 1990
Aug. 8 1990
Aug. 8. 1990.
Aug. 8 1990
Aug 8 1990
Aug. 8. 1990.
Aug. 8 1990
Aug. 8 1990
Aug. 8. 1990.
Aug. 8. 1990.
Aug. 8. 1990.
Aug. 8, 1990.
Aug. 8. 1990.
Aug. 8. 1990.
Aug. 8. 1990.
Aug. 8. 1990.
Aug. 8. 1990.
Aug. 8. 1990.
Aug. 8, 1990
Aug. 8, 1990
Aug. 8, 1990
Aug. 8 1990
Aug. 8 1990
Aug. a, 1990.
Aug a. 1990.
June 8, 1989.
Aug. 8. 1990.
June a, 1909.
Aug. 8. 1990.
Aug. a. 1990.
Aug. 8, 1990.
Aug. 8, 1990.
Aug. 8, 1990.
June 8. 1989.
Aug. 8, 1990.
Aug. 8, 1990.
Aug. 8. 1990.
Aug. 8. 1990.
Aug. 8, 1990.
Aug. a. 1990.
Aug. 8, 1990.
Aug. 8. 1990.
Aug. 8. 1990.
Aug. 8. 1990.
Aug. 8. 1990.
•This table do** not include mixed radioactive, waste* (from th* F«L Second, and Third rules) which are receiving a national capacity vmnance until May 8,1992,
for all applicant treatment technologies. True table also doea not include contaminated sod and debria wastes.
* The standard has been revised in the Third Third Final Rule.
• No land disposal standard haa been revised in the Third Third Final Rule.
Appendix VII
TABLE 2.—SUMMARY OF EFFECTIVE
DATES OF LAND DISPOSAL RESTRIC-
TIONS FOR CONTAMINATED SOIL AND
DEBRIS (CSD)
Restricted hazardous waste in
CSO
1. SorvenMFOOl-FOOS) and
diowv(F020-FO?3 and F026-
F02B) containing col and debris
from CERCLA response of
RCRA corrective actions.
2. So* and debris not from
CERCLA response or RCRA
corrective actions contaminated
with less than 1% total solvents
Effective date
Nov. 8. 1990.
Nov. 8. 1988.
TABLE 2.—SUMMARY OF EFFECTIVE
DATES OF LAND DISPOSAL RESTRIC-
TIONS FOR CONTAMINATED SOIL AND
DEBRIS (CSD)—Continued
Restricted hazardous waste in
CSD
(F001-F005) or dioxms (F020-
F023 and F026-F028).
3. Soil and debris contaminated
with California tat HOC* from
CERCLA response or RCRA
corrective actions.
4. Soil and debria contaminated
writ) California list HOCa not
from CERCLA response or
RCRA corrective action*.
5. An soil and debria contaminated
Effective date
Nov. 8. 1990.
Jury 8. 1989.
Aug. 8, 199u.
TABLE 2.—SUMMARY OF EFFECTIVE
DATES OF LAND DISPOSAL RESTRIC-
TIONS FOR CONTAMINATED SOIL AND
DEBRIS (CSD)—Continued
Restricted hazardous wast* in
CSO
with First Third wastes for which
treatment standards are based
on incineration.
8. AU soil and debris contaminated
with Second Third wastes for
which treatment standards are
based on incineration.
Effective date
June 8.1991.
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3920 Federal Register / Vol. 55. No. 21 / Thursday. January 31. 1991 /Rules and Regulations
TABLE 2.—SUMMARY OF EFFECTIVE
DATES OF LAND DISPOSAL RESTRIC-
TIONS FOR CONTAMINATED SOIL AND
DEBRIS (CSD)—Continued
n«rtii>au hsgsidous wasta in
CSD
7. AftsoHsnddsbriaconlairinatad
<•» Thsd TNrd Mates or. Fn<
01 Sseond ThW "ton hwwiwr"
ThM THr* Afe tof
stondvdn w totMd on
cwy fMorttng, MM iMchttg
M Ml M an Inorganic aoMs
dafarh oonlMMMMd M0> 0004-
0011 VMM. and a» aoil and
(tab* oemanftiated Mth
RCRA/radtoactwe waslae.
Not*: 1. Appendix VII is provided for
the convenience of the leader.
2. Contaminated Soil and Debris Rule
will be promulgated in the future.
16. Appendix Vffl to part 268 is
revised to read as follows:
May 8, 1988.
Appendix VIII
NATIONAL CAPACITY LDR VARIANCES FOR UlC WASTES •
Westo COOS
POOI-FOOS
CaJUomlabt
CalHon* M
CaMomta tot
noo9> ,
D003 (Cysridas)
D003 (MptoalMa,
mart»M).
ROOT
feta
««• ,
KAOO
KOIl
K011
K011
itnii
KD14
K016(OHuto) .
K040
K050. ._ .
K051
KIVU
K062.
K071 „„ .««
"'04 _
WMtccatagory
Uquid haardou* wattat. Including trm iquidi astodatad w*h am aofed or afadga. containng Iraa cyaradM al
ooneoniraiiona graalar ttian or aqud b tjDOO mg/L or containnf cartan maiab at conpounda ot ttiaaa natal*
graatar than or aquat to lha proNbHion lavaia.
Iiqu4 hazardogt wwtt having a pH laa* than or equal to '
Hazardout watta* oontaMng HOC* In tout concamrmbon* tett than 10J900 ng/l but graatac than ot aqual to 1.000
mg/L
AP . . „ ,
Al
AB
Al ....,._ ..... .
AJI
Al
wiiiii.'.mm
l*f • aiamata.
Wiil»wit« a IBM)
Aua. 8. 1980.
Aug. S. 1990
Aug. a, 1990.
Uayl 19M.
U*yft, 1991.
May*, 199>.
May*. 1999.
May 8. 1999.
Maya, 1983
Jynaa, 1981.
Uayt, 199B.
Juna S. 1991.
JunaS, 1991.
May*. 1982.
Jun* 8. 1981.
Hay S, 1992.
May 0. 1992.
JUnaa. 1991.
Aug. 8. 1990.
Aug. 8. 1990.
Aug 8. 1990.
Aug. 8. 1990.
Aug. 8, 1990.
Aug. 8. 1990.
Aug 8, 1980.
* wattesthat am daap «*a dtepond orvsita raceme a sii-month wianc*. with raatncUons affacttva In Novambar 1990.
'DeepwesinjaciedOOWliquidiinmapHtesainanrnMstrflaettrMCan 1990
Note: This table is provided for the
convenience of the reader.
17. Appendix IX is added to part 286
to read as follows:
Appendix IX—Extraction Procedure
(EP) Toxicity Teat Method and
Structural Integrity Test (SW-846.
Method 1310A)
1.0 Scope and Application
1.1 This method ii an interim method to
determine whether a watte exhibits the
characteristic of Extraction Procedure
Toxicity.
1.2 The procedure may also ba used to
simulate the leaching which a waste may
undergo If disposed of In a sanitary landfill. •
Method 1310 is applicable to liquid, solid and
multiphase samples.
2.0 Summary of Method
2.1 If a representative sample of tba
watts eonteiu£ >C.£", i-^Jtii. &* stiki phase
of the sample is ground to pass a 9.S mm
sieve and extracted with deionited water
which is maintained at a pH of 5±0.2. with
acetic acid. Wastes that contain <0.5*
filterable solids aie. after filtering, considered
to be the EP extract for this method.
Monolithic wastes which can be formed into
s cylinder 3.3 cm (dia) x 7.1 cm, or from
which such a cylinder can ba formed which is
representative of the waste, may be
evaluated using the Structural Integrity
Procedure instead of being ground to pass a
8.5-mm sieve.
3.0 Interferences
3.1 Potential interferences that may be
encountered during analysis are discussed in
the individual analytical methods.
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OSWER Dir. No. 9938.02(b)
TABLE m-7 LAND DISPOSAL RESTRICTIONS REGULATORY
REQUIREMENTS _____
Inspection Procedures • Subpart C, Sections 268.30 through 268.35
• The California list prohibitions were promulgated on July 7, 1986 and included a list
consisting of liquid hazardous wastes containing certain metals, free cyanides, PCBs,
corrosives with a PH less than or equal to 2.0, and liquid and nonliquid wastes containing
HOCs. In most cases, the California list is superseded by more specific treatment
standards. There are four cases, however, when the California list prohibitions mav still
be applicable:
-- Liquid hazardous waste containing greater than or equal to 50 ppm PCBs;
-- Hazardous wastes containing HOCs at concentrations greater than or equal to 1,000
ppm, identified as hazardous by a characteristic property that does not involve HOCs;
-- Liquid hazardous wastes that exhibit a characteristic and also contain greater than or
equal to 134 mg/1 of nickel and/or 130 mg/1 of thallium; and
-- Waste that is subject to a national capacity variance if it meets any of the criteria on the
California list.
• National capacity variances were established for specific wastes with treatment standards
codified in the five rulemakings that comprise Part 268 Subpart C. Variances can be in
effect for up to two years and temporarily extend prohibition effective dates. Many
variances codified in §268.35 for third third wastes exist or until May 8, 1992. An example
is debris contaminated with third third wastes having treatment standards based on
incineration. During a variance, the generator must:
-- Comply with recordkeeping required under §268.7, including the special notification
in §268.7(a)(3);
- - Determine if the waste meets any of the criteria of the California list prohibitions and,
if so, treat it accordingly; and
-- Dispose of the waste in a minimum technology unit specified in §268.5 if the waste is
not treated to meet applicable treatment standards.
• Inspectors should be aware that treatment capacity for dioxin-containing wastes is still not
available. In the interim, enforcement personnel should verify that the following
precautions are being implemented:
-- Dioxin wastes are being stored in a secure area
-- Drums or storage containers are not leaking
-- Periodic monitoring is conducted to ensure that leakage is not occurring.
in-307
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
-------
OSWER Dir. No. 9938.02(b)
TABLE m-7 LAND DISPOSAL RESTRICTIONS REGULATORY
REQUIREMENTS
blank page
III-308
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statcment(s) contained herein.
-------
OSWER Dir. No. 9938.02(b)
TABLE ni-7 LAND DISPOSAL RESTRICTIONS REGULATORY
REQUIREMENTS
Inspection Procedures - Subpart C, Sections 268.30 through 268.35 (continued)
• Inspectors should be aware that the potential still exists for generators to do the following:
-- Misclassify waste
-- Impermissibly dilute
-- Perform improper waste analysis (TCLP/Total Waste Analysis)
-- Perform improper identification of treatability groups.
• Inspectors should be aware that regarding the Third Third Rule, the following are possible
non-compliance situations:
-- Misidentification or classification
-- Impermissible dilution of characteristic waste
-- Impermissible dilution of listed waste
-- Impermissible dilution of characteristic waste in a centralized treatment system
-- Improper designation of treatability groups
-- Potential California list waste applicability.
m-309
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
-------
OSWER Dir. No. 9938.02(b)
TABLE m-7 LAND DISPOSAL RESTRICTIONS REGULATORY
REQUIREMENTS
Treatment Standards
§26&40 Applicability of Treatment Standards
(a) A restricted waste identified in §268.41 may be land disposed only if an extract of the
waste or of the treatment residue of the waste developed using the TCLP does not exceed
the value shown in Table CCWE of §268.41 for any hazardous constituent listed in
Table CCWE for that waste. The exceptions listed in §268.40(a) may be land disposed
only if an extract of the waste or of the treatment residue is developed using either the
TCLP or the EP toxicity test.
(b) A restricted waste for which a treatment technology is specified under §268.42(a) may
be land disposed after it is treated using that specified technology or an equivalent
treatment method approved by the Administrator in accordance with §268.42(b).
(c) Except as otherwise provided in §268.43(c), a restricted waste identified in §268.43 may
be land disposed only if the constituent concentrations in the waste or treatment residue
of the waste do not exceed the values shown in Table CCW of §268.43.
§268v41 Treatment Standards Expressed as Concentrations in Waste Extract
§288*42 Treatment Standards Expressed as Specified Technologies
§28&43 Treatment Standards Expressed as Waste Concentrations
§26&44 Variance from a Treatment Standard
(a) Where the treatment standard is expressed as a concentration in a waste or waste
extract and a waste cannot be treated to the specified level, or where the treatment
technology is not appropriate to the waste, the generator or TSDF may petition the
Administrator for a variance from the treatment standard. The petitioner must
demonstrate that because the physical or chemical properties of the waste differ
significantly from the wastes analyzed in developing the treatment standard, the
waste cannot be treated to specified levels or by the specified methods.
(b) Petitions must be submitted in accordance with the procedures in §260.20.
(c) Each petition must include certification as required by §268.40(c).
(e) The Administrator will give public notice of the intent to approve or deny a petition in
the Federal Register and provide the opportunity for public comment.
(f) A generator or TSDF that is managing waste covered by a variance from the treatment
standards must comply with the waste analysis requirements under §268.7.
(g) During the review process, the applicant is required to comply with all LDR
requirements that are applicable.
(h) Where a treatment standard or technology is not appropriate to the waste, the generator
or TSDF may apply for a site-specific variance in accordance with §268.44.
Ill-310
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
TABLE HI-7 LAND DISPOSAL RESTRICTIONS REGULATORY
REQUIREMENTS
Inspection Procedures - Subpart D, Sections 268.40 through 268.44
An inspector should carefully review the notification records for a particular waste code or
waste code matrix to determine if:
• the proper wastewater or nonwastewater (defined in §268.2) category was identified;
• the applicable treatment subcategory was identified (e.g., D001, oxidizers based on
§261.21(a)(4)); and
• all treatment standards have been met.
Many waste codes must meet treatment standards for multiple constituents. In certain
cases, the treatment standard may be expressed as a CCWE in §268.41, and others as CCW in
§268.43. for example: F006 nonwastewater contains certain metals, such as cadmium and nickel,
which have treatment standards expressed as a CCWE and cyanide, which has a treatment
standard expressed as a CCW. The owner/operator of a TSDP must be sure to check all three
sections of Part 268 Subpart D in order to ensure that all applicable treatment standards are met.
In most cases, if a specified technology is required under §268.42, the resulting treatment
residue need not be tested to determine compliance with Subpart D. Exceptions do exist, however,
including F024 nonwastewaters.
In situations where a waste may be significantly different from the waste considered in
establishing a treatment standard, a variance from the treatment standard may be issued under
§268.44.
m-311
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any stntcment(s) contained herein.
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OSWER Dir. No. 9938.02(b)
TABLE HI-7 LAND DISPOSAL RESTRICTIONS REGULATORY
REQUIREMENTS
Storage Prohibition
§26&50 Prohibitions on Storage of Restricted Waste
(a) The storage of hazardous wastes restricted from land disposal under Part 268
Subpart C is prohibited, unless the following conditions are met:
(1) A generator stores such waste in compliance with §262.34 solely to
accumulate enough of the waste to facilitate proper recovery, treatment, or
disposal.
(2) A TSDF stores such waste in tanks or containers solely to facilitate proper
recovery, treatment, or disposal and:
(i) Each container is clearly marked to identify its contents and the
date each period of accumulation begins;
(ii) Each tank is clearly marked with a description of its contents, the
quantity of each hazardous waste received, and the date each period
of accumulation begins, or such information for each tank is
recorded and maintained in the operating record at the facility.
(3) A transporter stores manifested shipments of such wastes at a transfer
facility for ten days or less.
(b) A TSDF may store wastes up to one year unless the Agency can demonstrate that
such storage was not solely to facilitate proper recovery, treatment, or disposal.
(c) A TSDF may store wastes beyond one year; however, the TSDF bears the burden of
proving that such storage was solely to facilitate proper recovery, treatment, or
disposal.
(d) If & generator's waste is exempt from a prohibition on land disposal due to a case-
by-case extension granted under §268.5, an approved petition under §268.6, or a
national capacity variance, §268.50 does not apply during the exemption.
(e) The prohibition in paragraph (a) does not apply to wastes that have met the required
treatment standards.
(f) Liquid hazardous wastes containing PCBs at concentrations greater than or equal
to 50 ppm must be stored in compliance with 40 CFR 761.65(b), and must be removed
from storage and treated or disposed as required by Part 268 within one year of the
date such waste is first placed into storage.
Ill-312
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any slatemcnt(s) contained herein.
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OSWER Dir. No. 9938.02(b)
TABLE HI-7 LAND DISPOSAL RESTRICTIONS REGULATORY
. REQUIREMENTS
Inspection Procedures - Subpart E, Section 268.50
Kev Considerations;
• Is the generator accumulating waste solely to facilitate proper recovery, treatment, or
disposal?
• Are restricted wastes stored only in tanks or containers?
• Is each container used to accumulate wastes at the TSDF marked with the contents and
accumulation start date? Is this information provided in the operating record?
• Is each tank at the TSDF used to accumulate wastes marked with the amount and the
accumulation start date? Tanks have the option of displaying the information or having
the required information in the operating record.
• For TSDFs, has a year expired since the start of the accumulation period?
• Liquid hazardous wastes containing PCBs at concentrations greater than or equal to 50
ppm cannot be stored for more than one year because of TSCA storage restrictions.
• The one-year period is only a benchmark which shifts the burden of proof from EPA to the
facility. For a period of one year in length, EPA bears the burden of showing that the
facility is storing restricted waste longer than necessary. After the one-year period, the
facility must substantiate that storage is necessary. This does not preempt EPA from
requiring a facility to remove its waste from storage anytime within one year if it
determines that the facility has accumulated sufficient quantity to facilitate proper
treatment, recovery or disposal.
• Waste placed in storage prior to the effective date of the prohibition for that waste are not
subject to LDR requirements until removed from storage; however, once removed from
storage, these wastes must meet treatment standards prior to land disposal.
Mixed radioactive/hazardous wastes pose a major problem under the land disposal
restrictions because very few (if any) commercial facilities will accept these wastes for
treatment or disposal. However, generators of these wastes must still comply with the
treatment standards for the hazardous portion of the wastes, and are also subject to the
storage, prohibitions that limits the conditions under which restricted wastes must be
stored.
Section 268.50 effectively eliminates the use of surface impoundments and waste
piles as storage units for wastes which are prohibited from land disposal.
IE-313
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
TABLE m-8 USED OIL MANAGEMENT
STANDARDS
Standards for the Management of Used Oil
§279.1 Definitions
Existing tank is a tank used for the storage or processing of used oil that is in operation or
for which installation has commenced prior to the effective date of the State authorized used oil
program.
New tank is a tank that will be used to store or process used oil that is not an existing tank.
Processing means chemical or physical operations designed to produce from used oil, or to
make used oils more amenable for the production of fuel oils, lubricants or other derivatives.
Processing includes blending used oils with virgin petroleum products, blending used oils to meet
fuel specification, filtration, simple distillation, physical or chemical separation, and re-
refining.
Used oil means any oil that has been refined from crude oil, or any synthetic oil, that has
been used and as a result of such use is physically or chemically contaminated.
§279.10 Applicability
(a) EPA presumes that used oil is to be recycled unless a used oil handler disposes of
used oil, or sends it for disposal. Except as provided in §279.11, the regulations in
Part 279 apply to used oil whether or not it exhibits any characteristics of hazardous
waste identified in Subpart C of Part 261.
(b) (1) (i) Mixtures of used oil and listed hazardous waste are subject to the
regulations in Subpart D of Part 261 rather than as used oil under
Part 279.
(ii) Used oil containing more than 1000 ppm total halogens is presumed
to be a hazardous waste regulated under Subpart D, though persons
may rebut this by demonstrating that the used oil does not contain
hazardous waste. The rebuttable presumption does not apply to:
(A) Metal working oils/fluids containing chlorinated paraffins
that are processed through a tolling agreement to reclaim the
oils/fluids; or
(B) Used oil contaminated with chlorofluorocarbons (CFCs)
removed from refrigeration units where the CFCs are
destined for reclamation.
(2) (i) Mixtures of used oil and hazardous waste that exhibit a
characteristic of hazardous waste other than ignitability are
regulated as hazardous waste under Parts 260 through 266, 268, 270,
and 124.
(ii) Mixtures of used oil and hazardous waste that do not exhibit any
characteristic of hazardous waste are regulated as used oils under
this Part.
Ill-314
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
TABLE HI-8 USED OIL MANAGEMENT
STANDARDS
Inspection Procedures - Subpart B, Sections 279.1 through 279.11
Kev Considerations:
• Is the used oil disposed of, or is it sent to be recycled?
• Has the used oil been mixed with a listed hazardous waste?
• Has the used oil been mixed with a characteristically hazardous waste? If so, was it an
ignitable waste? Does it still exhibit the characteristic of ignitability?
s
• Does the used oil contain more than 1000 ppm total halogens?
• Does the used oil meet specification?
IE-315
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
TABLE IH-8 USED OIL MANAGEMENT
STANDARDS
Standards for the Management of Used Oil (continued)
§279.10 Applicability (continued)
(iii) Mixtures of used oils and characteristically ignitable hazardous
waste that is not listed in Subpart D of Part 261 is regulated as a used
oil under this Part if the resultant mixture does not exhibit the
characteristic of ignitability.
(3) Mixtures of used oil and CESQG hazardous waste are regulated as used oil
under this Part.
(d) Mixtures of used oil with products are regulated as used oil unless:
(2) The mixture is of used oil and diesel fuel mixed on-site by the used oil
generator for use in the generator's own vehicles. However, prior to
mixture the used oil is subject to Subpart C of Part 279.
(e) Materials that are derived from reclaimed used oil and that are beneficially used
and not burned for energy recovery are not regulated as used oil and are not solid
or hazardous wastes.
(2) Materials produced from used oil that are burned for energy recovery are
regulated as used oils under this Part.
(4) Re-refining distillation bottoms that are used as feedstock to manufacture
asphalt are not used oil and are also not subject to regulation as a hazardous
waste at this time.
(f) Wastewater discharge which is subject to regulation under §§402 or 307(b) of the
Clean Water Act that is contaminated with de minimis quantities of used oil is not
subject to regulation as a used oil. This exception does not apply if the used oil
discharge is the result of abnormal manufacturing operations such as substantial
leaks or spills.
(g) Used oil that is placed directly in a crude oil or natural gas pipeline is subject to the
used oil management standards only prior to the point of its introduction into the
pipeline.
§279.11 Used Oil Specifications
Used oil that exceeds any specification level is subject to this Subpart as an "off-
specification used oil." If the used oil is shown not to exceed any specification and the person
making the showing complies with §§279.72, 279.73, and 279.74(b), the used oil is no longer subject
to this Part.
m-3i6
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
TABLE III-8 USED OIL MANAGEMENT
STANDARDS
For Inspection Procedures, refer to first page of discussion for this subject heading.
IH-317
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
-------
OSWER Dir. No. 9938.02(b)
TABLE HI-8 USED OIL MANAGEMENT
STANDARDS
Standards for the Management of Used Oil (continued)
§279.12 Prohibitions
(a) Used oil cannot be managed in surface impoundments and waste piles unless they
are subject to Part 264 or 265.
(c) Off-specification used oil may only be burned for energy recovery in the following
devices:
(1) Industrial Furnaces;
(2) '(i) Boilers that are located at manufacturing facilities where
substances are made into new products;
(ii) In utility boilers used for energy production; or
(iii) Used-oil fired space heaters meeting the requirements of §279.23.
IH-318
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statemont(s) contained herein.
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OSWER Dir. No. 9938.02(b)
TABLE III-8 USED OIL MANAGEMENT
STANDARDS
Inspection Procedures - Subpart B, Section 279.12
Kev Considerations:
• Is the used oil stored in surface impoundments or waste piles? Is the storage unit subject to
Part 264 or 265?
• Is the off-specification used oil burned for energy recovery? Is the burning unit a BIF or a
space heater?
in-319
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statemcnt(s) contained herein.
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OSWER Dir. No. 9938.02(b)
TABLE III-8 USED OIL MANAGEMENT
STANDARDS
Standards for Used Oil Generators
§279.20 Standards for Generators of Used Oil
(a) A used oil generator is any person, by site, whose act or process produces used oil or
whose act first causes used oil to become subject to regulation, except:
i
(1) Household "do-it-yourselfer" (DIY) used oil generators;
(2) Vessels at sea or at port;
(3) Generators of mixtures of diesel fuel and used oil when the generator uses
the mixture in his own vehicles. The used oil is subject to Subpart C until
mixed; and
(4) Farmers who generate an average of 25 gallons or less per month on an
annual basis from farm vehicles or machinery.
(b) (1) Generators other than §279.24(a)&(b) self-transporters must also comply
with the Subpart E Standards for used oil transporters.
(2) Used oil generators who process or re-refine must comply with Subpart F,
Standards for Used Oil Processors and Re-Refiners.
(3) Generators who burn off-specification used oil, except in §279.23 space
heaters must comply with Subpart G, Standards for Off-Specification Used
Oil Burners.
(4) Generators who direct off-specification used oil to a burner or who first
claim that the used oil is on-specification must comply with Subpart H,
Standards for Used Oil Marketers.
(5) Generators who dispose of or use used oil as a dust suppressant must comply
with Subpart I, Standards for Used Oil Disposal and Use as a Dust
Suppressant.
ID-320
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any stntcment(s) contained herein.
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OSWER Dir. No. 9938.02(b)
TABLE III-8 USED OIL MANAGEMENT
STANDARDS
Inspection Procedures - Subpart C, Section 279.20
Kev Considerations;
• Who is the initial generator of the used oil? Is this person exempt from the definition of
generator per §279.20(a)?
• Does the used oil generator take part in any other used oil activities? If so, are these
activities also regulated by Part 279?
m-321
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or.
regulatory requirements are in any way altered by any statcmcnt(s) contained herein.
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OSWER Dir. No. 9938.02(b)
TABLE m-8 USED OIL MANAGEMENT
STANDARDS
Standards for Used Oil Generators (continued)
§279.22 Used Oil Storage
Used oil generators that store used oil in underground storage tanks (USTs) are subject to
the regulations in Part 280.
(a) Used oil storage units must be subject to Part 264 or 265.
(b) Used oil aboveground tanks and containers must be in good condition and must not
be leaking.
(c) Used oil must be stored in aboveground tanks or containers clearly labeled "used
oil." Fill pipes used to transfer used oil to USTs must also be clearly labeled "used
oil."
(d) Used oil not stored in USTs that is released into the environment must be stopped,
contained, and cleaned up and managed properly. If necessary, repairs or
replacements of leaking equipment should be made to prevent future releases.
§279.23 On-Site Burning in Space Heaters
(a) Generators may burn used oil in space heaters provided that:
(1) The used oil burned is generated only by the owner/operator or DIY oil
generators;
(2) The heater has a maximum capacity of not more than 0.5 million Btu per
hour; and
(3) The heater combustion gases are vented to the ambient air.
§279.24 Off-Site Shipments
\
Generators must ensure that their used oil is transported only by transporters who have
obtained an EPA identification number, except for:
(a) Generators who self-transport less than 55 gallons of generator or DIY generated
used oil at any time;
(b) Generators who self-transport less than 55 gallons of their own used oil from their
site to an aggregation point; or
(c) Generators who arrange for used oil to be transported pursuant to a tolling
agreement under which the reclaimed oil is returned to the generator.
in-322
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statcmenl(s) contained herein.
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OSWER Dir. No. 9938.02(b)
TABLE III-8 USED OIL MANAGEMENT
STANDARDS
Inspection Procedures - Subpart C, Sections 279.22 through 279.24
Kcv Considerations:
• In what type of unit is the used oil stored?
• Is the storage unit in good condition? Is it leaking?
• Are the used oil storage units (other than USTs) and/or fill pipes clearly labeled "Used
Oil"?
• Have any used oil releases occurred from a used oil storage unit? Was the release cleaned
up and properly managed?
• Does the used oil generator burn used oil in a space heater?
• Does the used oil generator ship used oil off-site?
ffl-323
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements arc in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
TABLE ni-8 USED OIL MANAGEMENT
STANDARDS
Standards for Used Oil Collection and Aggregation Centers
§279.31 Used Ofl Collection Centers
(a) A used oil collection center is any site/facility that accepts and stores used oil from
self-transporting used oil generators or from DIY generators.
(b) Owners and operators of all used oil collection centers must comply with the used
oil generator standards and must be registered/licensed/permitted by the
appropriate State or local government to manage used oil.
§27&32 Used Oil Aggregation Points Owned by the Generator
Owners and operators of all used oil collection center aggregation points may only
aggregate used oil from their own collection sites and must comply with the used oil generator
standards.
Ill-324
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
TABLE III-8 USED OIL MANAGEMENT
STANDARDS
Inspection Procedures - Subpart D, Sections 279.31 through 279.32
Kev Considerations:
• Is the used oil collection center registered, licensed, or permitted by a local or State
authority?
IH-325
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidan^p. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
TABLE IH-8 USED OIL MANAGEMENT
STANDARDS
Standards for Used Oil Transporters and Transfer Facilities
§27940 Applicability
(a) The following types of used oil transportation are not subject to the Subpart E
requirements:
(1) On-site transportation;
(2) & Generator self-transportation in accordance with §279.24(a) or (b);
(3)
(4) Transportation of DIY generated used oil to a regulated generator,
collection center, aggregation point, processor/re-refiner, or burner who is
subject to Subpart E.
(b) Transporters who import used oil from abroad or who export used oil outside the
U.S. are subject to the Subpart E requirements from the time the used oil enters and
until it exits the U.S.
(c) Unless trucks that were previously used to transport hazardous waste are empty
according to §261.7 before transporting the used oil, the used oil will be considered to
have been mixed with a hazardous waste and must be managed as a hazardous
waste unless it meets the requirements of §279.10(b).
(d) Transporters who take part in other used oil activities such as processing and
burning must comply with all applicable requirements.
§27941 Restrictions on Transporters Who Are Not Also Processors or Re-Refiners
(a)& Used oil transporters may consolidate or aggregate loads of used oil for purposes of
(b) transportation. However, any processing that takes place must be incidental
unless the transporter is complying with Subpart F.
§27942 Notification
(a) Used oil transporters must have EPA identification numbers. If the used oil
transporter has not previously complied with the notification requirements of
RCRA section 3010, he/she must obtain an EPA identification number.
(b) Used oil transporters who have not received an ,EPA identification number may
obtain one by notifying the Regional Administrator of their used oil activity by
submitting a completed EPA Form 8700-12 or sending a letter requesting an EPA
identification number to the State or EPA Region.
Ill-326
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any slatemcnl(s) contained herein.
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OSWER Dir. No. 9938.02(b)
TABLE m-8 USED OIL MANAGEMENT
STANDARDS
Inspection Procedures • Subpart E, Sections 279.40 through 279.42
Kev Considerations!
• Has the used oil transporter obtained an EPA identification number?
• Is the used oil transported in trucks that were previously used to transport hazardous waste?
m-327
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statcment(s) contained herein.
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OSWER Dir. No. 9938.02(b)
TABLE III-8 USED OIL MANAGEMENT
STANDARDS
Standards for Used Oil Transporters and Transfer Facilities (continued)
§279.43 Used Oil Transportation
(a) A used oil transporter can only deliver used oil to:
(1) Another used oil transporter who has an EPA ID number;
(2) A used oil processing/re-refining facility that has an EPA ID number;
(3) An off-specification used oil burner who has an EPA ID number; or
(4) An on-specification used oil burner.
(c) In the event of a discharge of used oil, the transporter must notify the applicable
authorities and must take appropriate action to protect human health and the
environment.
§279.44 Rebuttable Presumption for Used Oil
(a) The transporter must determine whether the total halogen content of used oil being
transported or stored at a transfer facility is above or below 1000 ppm.
(b) The transporter must make this determination by:
(1) Testing the used oil; or
(2) Applying knowledge of the halogen content in light of the materials or
processes used.
(c) Used oil containing greater than or equal to 1,000 ppm total halogens is presumed to
have been mixed with a hazardous waste because it has been mixed with a
halogenated hazardous waste listed in Part 261 subpart D. The owner or operator
may rebut the presumption by demonstrating that the used oil does not contain
hazardous waste. Analytical methods from SW-846, Third Edition can show that
the used oil does not contain significant concentrations of halogenated hazardous
constituents listed in Part 261, Appendix VIII.
(1) The rebuttable presumption does not apply to metalworking oils/fluids containing
chlorinated paraffins if they are processed, through a tolling agreement, to reclaim
metalworking oils/fluids.
(2) The rebuttable presumption does not apply to used oils contaminated with
chlorofluorocarbons (CFCs) removed from refrigeration units where the CFCs are
destined for reclamation.
(d) Records of analyses conducted or information used to comply with §279.63(a)-(c)
must be maintained by the transporter for at least three years.
Ill-328
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements ore in any way altered by any stalcment(s) contained herein.
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OSWER Dir. No. 9938.02(b)
TABLE III-8 USED OIL MANAGEMENT
STANDARDS
Inspection Procedures - Subpart E, Sections 279.43 through 279.44
Kev Considerations:
• Does the used oil contain above 1000 ppm total halogen content?
• How did the transporter determine the halogen content?
• Was the used oil mixed with a hazardous waste?
• Does the transporter keep records of used oil analyses for three years?
IH-329
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
TABLE in-8 USED OIL MANAGEMENT
STANDARDS
Standards for Used Oil Transporters and Transfer Facilities (continued)
§27945 Used Oil Storage at Transfer Facilities
Used oil transporters are subject to all applicable Spill Prevention Control and
Countermeasures Regulations, as well as all applicable UST regulations.
(a) Used oil transfer facilities are transportation related facilities and include
loading docks, parking and storage areas, and other areas where shipments of
used oil are held for more than 24 hours during the normal course of transportation,
but not longer than 35 days. Transfer facilities that store used oil for more than 35
days are subject to regulation as used oil processors and re-refiners.
(b) Used oil transfer facility owners and operators must store used oil only in tanks,
containers or other Part 264/265 regulated units.
(c) Containers and aboveground tanks used to store used oil must be in good condition
(no severe rusting, apparent structural defects or deterioration) and not leaking
(no visible leaks).
(d) Containers used to store used oil at transfer facilities must be equipped with a
secondary containment system. The minimum requirements for the secondary
containment system include dikes, berms, or retaining walls, and a floor that
covers the entire area within the dike, berm or retaining wall. The entire
containment system must be sufficiently impervious to used oil to prevent any used
oil released into the containment system from migrating out of the system to the
soil, groundwater, or surface water.
(e) New and existing aboveground tanks storing used oil at transfer facilities must be
equipped with a secondary containment system.
(1) The minimum requirements for the secondary containment system
include dikes, berms, or retaining walls, and a floor that covers the entire
area within the dike, berm or retaining wall. For existing tank systems,
the floor needs only extend to where existing portions of the tank meet the
ground, or an equivalent secondary containment system.
(2) The entire containment system must be sufficiently impervious to used oil
to prevent any used oil released into the containment system from
migrating out of the system to the soil, groundwater, or surface water.
(f) New aboveground tanks storing used oil at transfer facilities must be equipped with
a secondary containment system.
(1) The minimum requirements for the secondary containment system
include dikes, berms, or retaining walls, and a floor that covers the entire
area within the dike, berm, or retaining wall, or an equivalent secondary
containment system.
IH-330
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statcmenUs) contained herein.
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OSWER Dir. No. 9938.02(b)
TABLE IH-8 USED OIL MANAGEMENT
STANDARDS
Inspection Procedures • Subpart E, Section 279.45(a) through (!)
Kev Considerations!
• How long is the used oil stored at the transfer facility? Is it longer than 35 days? If so is the
transfer facility complying with the standards of Part 279 Subpart F?
• Does the used oil storage unit have secondary containment?
IH-331
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any stntement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
TABLE III-8 USED OIL MANAGEMENT
STANDARDS
Standards for Used Oil Transporters and Transfer Facilities (continued)
(2) The entire containment system must be sufficiently impervious to used oil
to prevent any used oil released into the containment system from migrating out of
the system to the soil, groundwater, or surface water.
§279/45 Used Oil Storage at Transfer Facilities (continued)
(g) Containers, aboveground tanks, and UST fill pipes used to store or transfer used oil
at transfer facilities must be clearly marked "Used Oil."
(h) Upon detection of a release of used oil to the environment not subject to the
requirements of 40 CFR Part 280 Subpart F, an owner/operator of the used oil
transfer facility must perform the following cleanup steps:
(1) & Stop and contain the released used oil;
(2)
(3) Clean up and manage properly the released used oil and other materials;
and
(4) & Repair or replace any leaking used oil storage containers or tanks before
(5) returning them to service.
§27946 Tracking
(a) Used oil transporters must keep a record of each used oil shipment. The record
must include:
(1) & Name, address and EPA ID number (if applicable) of party who
(2) provided oil for transport;
(3) Quantity of used oil accepted;
(4) & Date of acceptance and signature dated upon receipt of used oil of party
(5) providing used oil for transport.
(b) Used oil transporters must keep a record of each shipment of used oil that is
delivered to another transporter, burner, processor/re-refiner or disposal facility.
The records must include:
(1) & Name, address, and EPA ID number of the receiving party;
(2)
(3) Quantity of used oil delivered;
(4) & Date of delivery and signature, dated upon receipt of used oil of a
(5) representative of the receiving party.
(d) The above records must be kept for at least three years.
Ill-332
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any slatemcnl(s) contained herein.
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OSWER Dir. No. 9938.02(b)
TABLE III-8 USED OIL MANAGEMENT
STANDARDS
Inspection Procedures - Subpart E, Sections 279.45(g) through 279.46
Kev Considerations:
• Are the used oil storage and transfer units (other than USTs) clearly labeled?
• Has release of used occurred at the transfer facility? If so, was the release properly
cleaned up and managed?
\
• Does the transporter keep a record of each shipment of used oil that is delivered to another
transporter, burner, processor/re-refiner or disposal facility? If so, how long does the
transporter keep the records?
in-333
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
TABLE ni-8 USED OIL MANAGEMENT
STANDARDS
Standards for Used Oil Processors and Re-Refiners
§27950 Applicability
(a) The requirements of Subpart F do not apply to:
(1) Transporters that conduct incidental processing during the normal course
of transportation; or
(2) Burners that conduct incidental processing during the normal course of
used oil management prior to burning.
(b) Processors who take part in other used oil activities must comply with all applicable
requirements.
(3) Processors who burn off-specification used oil for energy recovery must
comply with Subpart G of Part 279, except for:
(i) Used oil that is burned in space heaters in compliance with §279.23;
or
(ii) Used oil that is burned for purposes of processing used oil that is
incidental to used oil processing.
(4) Processors/re-refiners who direct shipments of off-specification used oil
from their facility to a burner or first claim that the oil meets specification
must comply with Subpart H of Part 279.
§27951 Notification
(a) Used oil processors and re-refiners must have EPA ID numbers. If the processor or
re-refiner has not previously complied with the notification requirements of RCRA
section 3010, he/she must obtain an EPA identification number.
(b) Used oil processors and re-refiners who have not received an EPA ID number may
obtain one by notifying the Regional Administrator of their used oil activity by
submitting a completed EPA Form 8700-12 or sending a letter requesting an EPA
identification number to the State or EPA Region.
§27952 General Facility Standards
(a) Owners/operators of used oil processing and re-refining facilities must:
(1) Maintain and operate the facility in a manner to minimize the possibility
of fire, explosion, or any unplanned sudden or non-sudden release of used
oil which could threaten human health or the environment.
ffl-334
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manunl is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
TABLE III-8 USED OIL MANAGEMENT
STANDARDS
Inspection Procedures • Subpart F, Sections 279.50 through 279.52
Key Considerations!
• Has the used oil processor or re-refiner obtained an EPA ID number?
• Are the emergency coordinator and backup trained to carry out the provisions of the
contingency plan?
During the file review, the inspector should look for reports of incidents requiring the
implementation of the contingency plan. Special note should be made of situations in which the
contingency plan should have been implemented but was not.
A facility must file a report with the Regional Administrator within fifteen days of any
incident. During the inspection of a facility reporting such an incident, the inspector should view
the involved area in order to check that any spilled or released material had been contained and
disposed of properly, and that any equipment which was used has been decontaminated and is fit
for reuse.
• Have all local authorities been made aware of potential dangers at the site? Ask to see the
agreements made with all appropriate local emergency response teams.
The owner/operator should provide proof that all local authorities were contacted, such as
by producing a certified or registered letter, and that such authorities either agreed to a plan or
have declined to participate.
ID-335
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statements) contained herein.
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OSWER Dir. No. 9938.02(b)
TABLE m-8 USED OIL MANAGEMENT
STANDARDS
Standards for Used Oil Processors and Re-Refiners (continued)
§279.52 General Facility Standards (continued)
(2) All facilities must be equipped with the following equipment unless none of
the hazards posed by used oil handled at the facility could require a
particular piece of specified equipment.
(i) Internal communications or alarm system;
(ii) Device such as a telephone capable of summoning emergency
assistance from local emergency units;
(iii) Portable fire extinguishers, fire control equipment, spill control
equipment, and decontamination equipment; and
(iv) Water at adequate volume and pressure to supply appropriate
equipment.
(3) All emergency equipment must be tested and maintained as necessary to
assure its proper operation in an emergency.
(4) Whenever used oil is being handled, or if there is only one employee on the
premises involved, immediate access to an internal alarm or emergency
communication device must be available to all personnel unless such
device is not required under (a)(2) of the section.
(5) The owner/operator must maintain aisle space as needed to allow
unobstructed movement of personnel and emergency equipment to any area
of the facility during an emergency.
(6) (i) The owner/operator must attempt to make:
(A) Arrangements to familiarize emergency response teams
with the layout of the facility, properties of used oil handled
at the facility, and associated hazards;
(B) Agreements designating primary emergency authority and
agreements with any other authorities to provide support;
(C) Agreements with State emergency response teams,
emergency response contractors, and equipment suppliers;
and
(D) Arrangements to familiarize local hospitals with the
properties of used oil handled at the facility and associated
hazards.
Ill-336
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any woy altered by any statemcnt(s) contained herein.
-------
OSWER Dir. No. 9938.02(b)
TABLE III-8 USED OIL MANAGEMENT
STANDARDS
For Inspection Procedures, refer to first page of discussion for this subject heading.
ffl-337 ^
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
TABLE HI-8 USED OIL MANAGEMENT
STANDARDS
Standards for Used Oil Processors and Re-Refiners (continued)
§279.52 General Facility Standards (continued)
(ii) Where State or local authorities decline to enter into such
arrangements, the owner/operator must document the refusal in the
operating record.
(b) (1) (i) Each owner/operator must have a contingency plan for his facility
which is designed to minimize hazards to human health or the
environment from fires, explosions or any fires, explosions, or
unplanned releases of used oil or waste constituents.
(ii) The provisions of the contingency plan must be carried out
whenever there is a situation which could threaten human health or
the environment.
(2) (i) The contingency plan must describe the actions facility personnel
must take with respect to any fires, explosions, or unplanned sudden
or non-sudden release of used oil.
(ii) If the owner/operator has'already prepared a Spill Prevention,
Control, and Counter-measures Plan, he need only amend that plan
to incorporate used oil management provisions.
(iii) The contingency plan must describe arrangements agreed to by
local emergency response teams.
(iv) The contingency plan must list names, addresses, and phone
numbers of all persons qualified to act as emergency coordinator,
and this list must be kept up to date.
(v) The contingency plan must include a list of all emergency
equipment. In addition, the contingency plan must include the
location and a physical description of each item on the list, and a
brief outline of its capabilities.
(vi) The contingency plan must include an evacuation plan for facility
personnel.
(3) A copy of the contingency plan must be:
(i) Maintained at the facility; and
(ii) Submitted to all local emergency response teams.
ID-338
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statcment(s) contained herein.
-------
OSWER Dir. No. 9938.02(b)
TABLE m-8 USED OIL MANAGEMENT
STANDARDS
For Inspection Procedures, refer to the first page of discussion for this subject heading.
III-339
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statements) contained herein.
-------
OSWER Dir. No. 9938.02(b)
TABLE III-8 USED OIL MANAGEMENT
STANDARDS
Standards for Used Oil Processors and Re-Refiners (continued)
§279.52 General Facility Standards (continued)
(4) The contingency plan must be reviewed, and immediately amended,
whenever:
(i) Regulations are revised;
(ii) The plan fails in an emergency;
(iii) The facility changes in such a manner that the new design or other
circumstances increase the potential of hazardous waste releases, or
require a change in emergency response procedure;
(iv) The list of emergency coordinators changes; or
(v) The list of emergency equipment changes.
(5) At all times, there must be at least one employee at the facility or on call with
the responsibility for coordinating all emergency response measures.
(6) (i) When there is an emergency situation, the emergency coordinator
must:
(A) Activate internal facility alarms; and
(B) Notify appropriate State or local agencies.
(ii) The emergency coordinator must immediately identify the
character, exact source, and amount of any released materials.
(iii) The emergency coordinator must assess possible hazards to human
health or the environment that may result from the release.
(iv) If the facility has had a fire, explosion, or release, the emergency
coordinator must report his findings to appropriate local authorities
and the National Response Center or the 40 CFR Part 1510 on-scene
coordinator.
(v) During an emergency the emergency coordinator must take all
reasonable steps to ensure that fires, explosions, and releases do not
occur or spread to other used oil or hazardous waste at the facility.
(vi) If the facility stops operation during an emergency the emergency
coordinator must monitor for leaks, ruptures, pressure buildup, or
gas generation in equipment.
Ill-340
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements arc in any way altered by any slatement(s) contained herein.
-------
OSWER Dir. No. 9938.02(b)
TABLE III-8 USED OIL MANAGEMENT
STANDARDS
For Inspection Procedures, refer to first page of discussion for this subject heading.
m-341
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guiddece. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
TABLE ni-8 USED OIL MANAGEMENT
STANDARDS
Standards for Used Oil Processors and Re-Refiners (continued)
§279.52 General Facility Standards (continued)
(vii) Immediately after an emergency, the emergency coordinator must
provide for recycling, storing, or disposing of recovered used oil,
contaminated soil, surface water, or any other material that results
from a fire, explosion, or release.
(viii) The emergency coordinator must ensure that no waste or used oil
that may be incompatible with the released material is recycled,
treated, stored, or disposed of until cleanup procedures are completed
and all emergency equipment is cleaned and fit for reuse. The
Regional Administrator and appropriate authorities must be
notified that the facility is in compliance before operations are
resumed.
(ix) The time, date, and details of any incident that requires
implementing the contingency plan must be recorded in the
operating record. Within 15 days after the incident, the emergency
coordinator must submit a written report on the incident to the
Regional Administrator.
Ill-342
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statcmenl(s) contained herein.
-------
OSWER Dir. No. 9938.02(b)
TABLE III-8 USED OIL MANAGEMENT
STANDARDS
For Inspection Procedures, refer to first page of discussion for this subject heading.
m-343
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
-------
OSWER Dir. No. 9938.02(b)
TABLE m-8 USED OIL MANAGEMENT
STANDARDS
Standards for Used Oil Processors and Re-Refiners (continued)
§27953 Rebuttable Presumption for Used Oil
(b) The owner/operator of used oil processing/re-refining facility must determine if
the used oil contains above or below 1,000 ppm total halogens by:
(1) Testing the used oil;
(2) Applying knowledge of the halogen content of the used oil in light of the
materials or processes used.
(c) Used oil containing greater than or equal to 1,000 ppm total halogens is presumed to
be mixed with a hazardous waste because it has been mixed with a halogenated
hazardous waste listed in Part 261 subpart D. The owner or operator may rebut the
presumption by demonstrating that the used oil does not contain hazardous waste.
Analytical methods from SW-846, Third Edition can show that the used oil does not
contain significant concentrations of halogenated hazardous constituents listed in
Part 261, Appendix VIII.
(1) The rebuttable presumption does not apply to metalworking oils/fluids
containing chlorinated paraffins if they are processed, through a tolling
agreement, to reclaim metalworking oils/fluids.
(2) The rebuttable presumption does not apply to used oils contaminated with
chlorofluorocarbons (CFCs) removed from refrigeration units where the
CFCs are destined for reclamation.
(d) Records of analyses conducted or information used to comply with §279.63(a)-(c)
must be maintained by the burner for at least three years.
Ill-344
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statcment(s) contained herein.
-------
OSWER Dir. No. 9938.02(b)
TABLE III-8 USED OIL MANAGEMENT
STANDARDS
Inspection Procedures - Subpart F, Sections 279.53
Kev Considerations:
• Does the used oil contain above 1000 ppm total halogen content?
• How did the used oil processor or re-refiner determine the halogen content?
• Was the used oil mixed with a listed hazardous waste? If so, does the used oil processor or
re-refiner treat the mixture as a hazardous waste?
• Does the used oil processor or re-refiner keep records of used oil analyses for three years?
IH-345
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statcment(s) contained herein.
-------
OSWER Dir. No. 9938.02(b)
TABLE IH-8 USED OIL MANAGEMENT
STANDARDS
Standards for Used Oil Processors and Re-Refiners (continued)
§279.54 Used Oil Management
Wastewaters containing "de minimis" quantities of used oil are not subject to the
requirements of this Part, including the prohibition on storage in units other than tanks or
containers. Used oil processor/re-refiners are subject to all applicable Spill Prevention, Control
and Countermeasures (SPCC) (40 CFR part 112) in addition to this subpart. Used oil processor/re-
refiners are also subject to the Underground Storage Tank (40 CFR Part 280) standards for used oil
stored in underground tanks.
(a) Used oil processor/re-refiners may not store used oil in units other than tanks,
containers or units subject to regulation under 40 CFR Part 264/265.
(b) Containers and aboveground tanks used to store used oil must be in good condition
(no severe rusting, apparent structural defects or deterioration) and not leaking
(no visible leaks).
(c) Containers used to store used oil at processing/re-refining facilities must be
equipped with a secondary containment system. The minimum requirements for
the secondary containment system include dikes, berms, or retaining walls, and a
floor that covers the entire area within the dike, berm or retaining wall. The entire
containment system must be sufficiently impervious to used oil to prevent any used
oil released into the containment system from migrating out of the system to the
soil, groundwater, or surface water.
(d) New and existing aboveground tanks storing used oil at processing/re-refining
facilities must be equipped with a secondary containment system.
(1) The minimum requirements for the secondary containment system
include dikes, berms, or retaining walls, and a floor that covers the entire
area within the dike, berm or retaining wall. For existing tank systems,
the floor needs only extend to where existing portions of the tank meet the
ground, or an equivalent secondary containment system.
(2) The entire containment system must be sufficiently impervious to used oil
to prevent any used oil released into the containment system from
migrating out of the system to the soil, groundwater, or surface water.
(e) New aboveground tanks storing used oil at processing/re-refining facilities must
be equipped with a secondary containment system.
(1) The minimum requirements for the secondary containment system
include dikes, berms, or retaining walls, and a floor that covers the entire
area within the dike, berm, or retaining wall, or an equivalent secondary
containment system.
(2) The entire containment system must be sufficiently impervious to used oil
to prevent any used oil released into the containment system from
migrating out of the system to the soil, groundwater, or surface water.
ID-346
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by nny statement(s) contained herein.
-------
OSWER Dir. No. 9938.02(b)
TABLE III-8 USED OIL MANAGEMENT
STANDARDS
Inspection Procedures - Subpart F, Sections 279.54
Kev Considerations!
• Are the used oil storage and transfer units (other than USTs) clearly labeled?
• Has a release of used oil occurred at the processing/re-refining facility? If so, was the
release properly cleaned up and managed?
• Has the owner/operator of the processing/re-refining facility closed any storage areas? If
so, were these areas properly closed and decontaminated?
• Were any used oil contaminated tank system components left in place? If so, this area will
need to be closed in accordance with the landfill closure requirements in §265.310.
m-347
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statements) contained herein.
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OSWER Dir. No. 9938.02(b)
TABLE ni-8 USED OIL MANAGEMENT
STANDARDS
Standards for Used Oil Processors and Re-Refiners (continued)
§279.54 Used Oil Management (continued)
(0 Containers and aboveground tanks used to store used oil, and fill pipes used to
transfer used oil into underground storage tanks at burner facilities, must be
labeled or clearly marked with the words "Used Oil."
(g) Upon detection of a release of used oil to the environment not subject to the
requirements of 40 CFR Part 280 Subpart F, a used oil processor/re-refiner must
perform the following cleanup steps:
(1) &
(2) Stop and contain the released used oil;
(3) Clean up and manage properly the released used oil and other materials;
and
(4) Repair or replace any leaking used oil storage containers or tanks before
returning them to service.
(h) (1) Owners/operators who store or process used oil in above ground tanks must
comply with the following:
(i) At closure of the tank system the owner/operator must remove or
decontaminate used oil residues in the tank system, containment
system, contaminated soils, and other materials contaminated with
used oil. These wastes must be handled as hazardous waste unless
they are not hazardous according to Part 261.
(ii) If all contaminated materials cannot be removed or
decontaminated, the owner/operator must close the tank system and
perform post closure care in accordance with the requirements in
§265.310.
(2) Owners/operators who store used oil in containers at closure must remove
all containers holding used oil or residues from the site. The
owner/operator must also remove or decontaminate all used oil residues,
containment system, contaminated soils, and other materials
contaminated with used oil. These wastes must be managed as hazardous
waste unless they are not hazardous according to Part 261.
Ill-348
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statcment(s) contained herein.
-------
OSWER Dir. No. 9938.02(b)
TABLE III-8 USED OIL MANAGEMENT
STANDARDS
For Inspection Procedures, refer to first page of discussion for this subject heading.
in-349
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any stalemenUs) contained herein.
-------
OSWER Dir. No. 9938.02(b)
TABLE ffl-8 USED OIL MANAGEMENT
STANDARDS
Standards for Used Oil Processors and Re-Refiners (continued)
§279.55 Analysis Plan
(a) The owners/operators of used oil processing facilities must develop and follow a
written analysis plan which describes the procedures that will be used to determine
if the used oil is off-specification, and to rebut the presumption of hazardous waste
mixing. The plan must specify:
(1) Whether sample analyses or knowledge of halogen content will be used.
(2) If sample analyses are to be used:
(i) The sampling method;
(ii) The frequency of sampling;
(iii) The test methods used to analyze the used oil.
(3) The type of information that will be used to determine the halogen content of
the used oil.
(b) The owners/operators of used oil processing facilities must develop and follow a
written analysis plan which describes the procedure that will be used to determine
that the used oil is on-specification. The plan must specify:
(1) Whether sample analyses or knowledge of halogen content will be used.
(2) If sample analyses are to be used:
(i) The sampling method;
(ii) The frequency of sampling;
(iii) The test methods used to analyze the used oil.
(3) The type of information that will be used to make the on-specification used
oil fuel determination.
in-350
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements arc in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
TABLE III-8 USED OIL MANAGEMENT
STANDARDS
Inspection Procedures - Subpart F, Sections 279.55
Remember;
• Review the facility's written used oil analysis plan before checking the file of used oil
analyses.
• Make sure that the methods described in Part 261 and SW 846 are acceptable for sampling
and analysis.
• The analysis plan must be adequate for determining whether the used oil is on- or off-
specification and halogen content.
• Be on the lookout for used oil or waste streams that have not been tested.
• If an analysis plan is adequate, the inspector should verify that the used oil analysis is
performed for each shipment of used oil.
Ill-351
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements arc in any way altered by any statemcnt(s) contained herein.
-------
OSWER Dir. No. 9938.02(b)
TABLE III-8 USED OIL MANAGEMENT
STANDARDS
Standards for Used Oil Processors and Re-Refiners (continued)
§279.56 Tracking
(a) Used oil processors/re-refiners must keep a record of each used oil shipment
accepted for processing/re-refining. These records may take the form of a log,
invoice, manifest, bill of lading or other shipping document. The records should
identify the name, address and EPA ID number of the transporter and generator or
processor/re-refiner from whom the oil was sent as well as the quantity of used oil
and date shipped.
(b) Used oil processors/re-refiners must keep a record of each shipment of used oil that
is shipped to a used oil burner, processor/re-refiner or disposal facility. These
records may take the form of a log, invoice, manifest, bill of lading or other
shipping document. The records should identify the name and address and EPA ID
number of the transporter and of the facility receiving the shipment, the quantity
and date of used oil fuel delivered.
(c) Records for both (a) and (b) must be retained for at least three years.
§27957 Operating Record and Storage
(a) (1) The owner/operator must keep a written operating record at the facility.
(2) The record must contain:
(i) Records and results of used oil analyses; and
(ii) Summary reports and details of all emergency incidents.
(b) A used oil processor/re-refiner must make a biennial report (by March 1 of each
even numbered year) to the Regional Administrator that contains the following
information:
(1) EPA ID number, name, and address of the processor/re-refiner;
(2) Calendar year covered by the report; and
(3) Quantities of used oil accepted for re-refining or processing and the
manner in which this is done.
§279.58 Off-Site Shipment of Used Oil
Used oil processors/re-refiners who initiate shipments of used oil off-site must ship the
used oil using a used oil transporter who has obtained an EPA ID number.
§279.59 Management of Residues
Owners/operators who generate residues from the storage, processing, or re-refining of
used oil must manage the residues according to §279.10(e)
III-352
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statumcnl(s) contained herein.
-------
OSWER Dir. No. 9938.02(b)
TABLE III-8 USED OIL MANAGEMENT
STANDARDS
Inspection Procedures - Subpart F, Sections 279.56 through 279.59
Kev Considerations;
• Does the facility owner/operator keep a written operating log of the facility at the facility?
If not, where is the log and is it easily accessible?
• Does the operating record contain the required records, used oil analyses, and summary
reports?
• Did the owner/operator make a biennial report to the Regional Administrator?
Ill-353
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any stalcmcnt(s) contained herein.
-------
OSWER Dir. No. 9938.02(b)
TABLE ni-8 USED OIL MANAGEMENT
STANDARDS
Used Oil Burners Who Burn Off-Specification Used Oil for Energy Recovery
§279.60 Applicability
(a) These regulations apply to used oil burners that burn used oil in a facility where
used oil not meeting the specification in §279.11 is burned for energy recovery in
§279.6l(a). However, used oil generators burning oil in an on-site space heater
under the provisions of §279.23 or processors and/or re-refiners burning oil for the
purposes of processing the used oil are not subject to these specifications.
(b) Used oil burners are subject to other applicable provisions of §279. Specifically, a
used oil burner who:
(1) Generates or transports used oil is subject to Part 279 Subpart C;
(2) Transports used oil is subject to Part 279 Subpart E;
(3) Processes or re-refines used oil (except as provided in §279.61(b)) must
comply with Part 279 Subpart F;
(4) Directs shipments of used oil from his/her facility to a used oil burner or is
the first to claim that the used oil to be burned for energy recovery meets the
used oil specifications must comply with Subpart H; and
(5) Disposes of used oil, including the use of used oil as a dust suppressant,
must comply with Subpart I.
(c) Persons who burn used oil that meets the used oil fuel specification of §279.11 are not
subject to this subpart as long as the burner complies with Part 279 Subpart H.
§279.61 Restrictions on Burning
(a) Used oil fuel may only be burned for energy recovery in industrial furnaces,
boilers (including industrial boilers located on a site of a facility engaged in a
manufacturing press where substances are transformed into new products, utility
boilers, or used oil-fired space heaters), and hazardous waste incinerators subject
to subpart 0 of parts 264 and 265.
(b) Used oil burners may not process used oil unless they comply with the requirements
of Part 279 subpart F. However, used oil burners may aggregate off-specification
used oil with virgin oil or on-specification used oil for purposes of burning. They
may not aggregate for purposes of producing on-specification used oil.
Ill-354
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements arc in any way altered by any statemcnt(s) contained herein.
-------
OSWER Dir. No. 9938.02(b)
TABLE III-8 USED OIL MANAGEMENT
STANDARDS
Inspection Procedures - G, Sections 279.60 through 279.61
Kev Considerations:
• Does the unit in which the off-specification oil is burned meet the definition of a boiler or
industrial furnace or a hazardous waste incinerator as defined in §260.10?
Ill-355
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statcment(s) contained herein.
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OSWER Dir. No. 9938.02(b)
TABLE III-8 USED OIL MANAGEMENT
STANDARDS
Used Oil Burners Who Burn Off-Specification Used Oil for Energy Recovery
(continued)
§279.62 Notification
(a) Used oil burners must have EPA ID numbers. If the burner has not previously
complied with the notification requirements of RCRA section 3010, he/she must
obtain an EPA ID number.
(b) Used oil burners who have not received an EPA ID number may obtain one by
notifying the Regional Administrator of their used oil activity by submitting a
completed EPA Form 8700-12 or sending a letter requesting an EPA ID number to
the State or EPA Region.
§279.63 Rebuttable Presumption for Used Oil
(a) Used oil burners must determine whether the total halogen content is above or below
1,000 ppm.
(b) Used oil burners must determine if the used oil is contains above or below 1,000 ppm
by either testing the used oil, applying knowledge of the halogen content of the used
oil in light of the materials or processes used, or using information provided by the
processor/re-refiner.
(c) Used oil containing greater than or equal to 1,000 ppm total halogens is presumed to
be mixed with a hazardous waste because it is has been mixed with a halogenated
hazardous waste listed in Part 261 subpart D. The owner or operator may rebut the
presumption by demonstrating that the used oil does not contain hazardous waste.
Analytical methods from SW-846, Third Edition can show that the used oil does not
contain significant concentrations of halogenated hazardous constituents listed in
Part 261, Appendix VIII.
(1) The rebuttable presumption does not apply to metalworking oils/fluids
containing chlorinated paraffins if they are processed, through a tolling
agreement, to reclaim metalworking oils/fluids.
(2) The rebuttable presumption does not apply to used oils contaminated with
chlorofluorocarbons (CFCs) removed from refrigeration units where the
CFCs are destined for reclamation.
(d) Records of analyses conducted or information used to comply with §279.63(a)-(c)
must be maintained by the burner for at least three years.
Ill-356
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements arc in any way altered by any stalemc-nt(s) contained herein.
-------
OSWER Dir. No. 9938.02(b)
TABLE III-8 USED OIL MANAGEMENT
STANDARDS
Inspection Procedures - Subpart G, Sections 279.62 through 279.63
Kev Considerations:
• Has the burner obtained an EPA ID number?
• Has the burner determined if the used oil contains above or below 1,000 ppm total halogen
content?
Ill-357
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statcment(s) contained herein.
-------
OSWER Dir. No. 9938.02(b)
TABLE ni-8 USED OIL MANAGEMENT
STANDARDS
Used Oil Burners Who Burn Off-Specification Used Oil for Energy Recovery
(continued)
§27944 Used Oil Storage
Wastewaters containing "de minimis" quantities of used oil are not subject to the ,
requirements of this Part, including the prohibition on storage in units other than tanks or
containers. Used oil burners are subject to all applicable Spill Prevention, Control and
Countermeasures (SPCC) (40 CFR part 112) in addition to this subpart. Used oil buniers are also
subject to the Underground Storage Tank (40 CFR Part 280) standards for used oil stored in
underground tanks.
(a) Used oil burners may not store used oil in units other than tanks, containers or
units subject to regulation under 40 CFR Part 264/265.
(b) Containers and aboveground tanks used to store used oil must be in good condition
(no severe, rusting, apparent structural defects or deterioration) and not leaking
(no visible leaks)
(c) Containers used to store used oil at burner facilities must be equipped with a
secondary containment system. The minimum requirements for the secondary
containment system include dikes, berms, or retaining walls, and a floor that
covers the entire area within the dike, berm or retaining wall. The entire
containment system must be sufficiently impervious to used oil to prevent any used
oil released into the containment system from migrating out of the system to the
soil, groundwater, or surface water.
(d) & New and existing aboveground tanks storing used oil at burner facilities must be
(e) equipped with a secondary containment system.
(1) The minimum requirements for the secondary containment system
include dikes, berms, or retaining walls, and a floor that covers the entire
area within the dike, berm or retaining wall. For existing tank systems,
the floor needs only extend to where existing portions of the tank meet the
ground, or an equivalent secondary containment system.
(2) The entire containment system must be sufficiently impervious to used oil
to prevent any used oil released into the containment system from
migrating out of the system to the soil, groundwater, or surface water.
(f) Containers and aboveground tanks used to store used oil, and fill pipes used to
transfer used oil into underground storage tanks at burner facilities, must be
labeled or clearly marked with the words "Used Oil."
ffl-358
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
TABLE III-8 USED OIL MANAGEMENT
STANDARDS
Inspection Procedures - Subpart G, Sections 279.64
Kev Considerations:
• Are the used oil storage and transfer units (other than USTs) clearly labeled?
• Has a release of used oil occurred at the facility? If so, was the release properly cleaned up
and managed?
m-359
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
-------
OSWER Dir. No. 9938.02(b)
TABLE III-8 USED OIL MANAGEMENT
STANDARDS
Used Oil Burners Who Burn Off-Specification Used Oil for Energy Recovery
(continued)
§279.64 Used CHI Storage (continued)
(g) Upon detection of a release of used oil to the environment not subject to the
requirements of 40 CFR Part 280 Subpart F, a burner must perform the following
cleanup steps:
(1) & Stop and contain the released used oil;
(2)
(3) Clean up and manage properly the released used oil and other materials;
and
(4) Repair or replace any leaking used oil storage containers or tanks before
returning them to service.
§279.65 Tracking
(a) Used oil burners must keep a record of each used oil shipment accepted for burning.
These records may take the form of a log, invoice, manifest, bill of lading or other
shipping document. Records for each shipment include the following information:
(1) Name, address, and EPA ID number (if applicable) of the
(4) transporter, generator, and processor/re-refiner who delivered or
generated and sent the used oil to the used oil burner;
(5) & Quantity of used oil accepted and the date of acceptance.
(6)
(b) The records documenting each shipment of used oil received must be retained for at
least three years.
§279.66 Notices
(a) Before accepting the first shipment of used oil fuel from a generator, transporter, or
processor/re-refiner, the burner must provide to the generator, transporter, or
processor/re-refiner a one-time written and signed notice certifying that the
burner has notified EPA of his/her used oil management activities and that the
used oil will only be burned in an industrial furnace or boiler identified in
§279.61(a). This certificate must be maintained for at least three years from the
date of the last shipment of off-specification used oil received.
§279.67 Management of Residues
Burners will manage all residues generated from the storage or burning of used oil in the
manner specified in §279.10(e).
Ill-360
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statcmcnl(s) contained herein.
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OSWER Dir. No. 9938.02(b)
TABLE m-8 USED OIL MANAGEMENT
_ STANDARDS _
Inspection Procedures - Subpart G, Sections 279.65 through 279.66
• Does the operating record contain the required records and used oil analyses?
• Did the owner/operator provide the generator, transporter, or processor/re-refiner a one-
time notification certifying that the EPA has been notified of the burner's activities? Has
the burner made the notification to the EPA?
IH-361
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely Tor guidance. No statutory or
regulatory requirements are in any way altered by any statcment(s) contained herein.
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OSWER Dir. No. 9938.02(b)
TABLE HI-8 USED OIL MANAGEMENT
STANDARDS
Used Oil Fuel Marketers
S279.70 Applicability
(a) A marketer is any person who directs a shipment of off-specification used oil from
their facility to a used oil burner, or first claims that a used oil that is to be burned
for energy recovery meets the used oil fuel specifications. Any person who is
subject to the requirements of a marketer must also comply with one of subparts
regulating used oil generators, used oil transporters and transfer facilities, used
oil processors /re-refiners, or used oil burners burning off-specification used oil
for energy recovery.
(b) Used oil generators, transporters who transport used oil received only from
generators (unless the generator or transporter directs a shipment of off-
specification used oil from their facility to a used oil burner), and persons who
direct shipments of on-specification used oil and who are not the first person to
claim that the oil meets the specifications.
§279.71 Prohibitions
(a) Used oil fuel marketers may initiate a shipment of off-specification used oil only to
used oil burners who have an EPA ID number and who are burning the used oil in
an industrial furnace or boiler.
§279.72 Oil-specification Used Oil Fuel
(a) Generators, transporters, processors/re-refiners, or burners must perform
analyses or obtain copies of analyses or other information documenting that the
used oil fuel meets the specifications. Used oil burned for energy recovery meeting
these specifications is not subject to further regulation under this part. The records
documenting the specifications for used oil fuel must keep copies of the analyses (or
other information used to make the determination) for three years.
§279.73 Notification
(a) Used oil marketers must have EPA ID numbers. If the marketer has not previously
complied with the notification requirements of RCRA section 3010, he/she must
obtain an EPA ID number. Used oil marketers who have not received an EPA
identification number may obtain one by notifying the Regional Administrator of
their used oil activity by submitting a completed EPA Form 8700-12 or sending a
letter requesting an EPA ID number to the State or EPA Region.
Ill-362
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manunl is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any stalcmcnt(s) contained herein.
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OSWER Dir. No. 9938.02(b)
TABLE ffl-8 USED OIL MANAGEMENT
STANDARDS _^
Inspection Procedures - Subpart H Sections 279.70 through 279.73
Kev Considerations:
• Has the marketer obtained an EPA ID number?
• If the used oil is meets specification, are the required analyses kept for three years?
ID-363
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any stntcmcnt(s) contained herein.
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OSWER Dir. No. 9938.02(b)
TABLE m-8 USED OIL MANAGEMENT
STANDARDS '
Used Oil Fuel Marketers (continued)
5279.74 Tracking
(a) A used oil generator who directs a shipment of off-specification used oil to a burner
must keep a record of each shipment sent to a used oil burner. These records may
take the form of a log, invoice, manifest, bill of lading or other shipping document.
The records should identify the name, address and EPA ID number of the
transporter and burner as well as the quantity of used oil and date shipped.
(b) For on-specification used oil, a generator, transporter, processor/re-refiner, or
burner who first claims the used meets the fuel specifications must keep a record of
the shipment. These records may take the form of a log, invoice, manifest, bill of
lading or other shipping document. The records should identify the name and
address of the facility receiving the shipment, the quantity and date of used oil fuel
delivered, and a cross-reference to the record of used oil fuel analysis or other
information used to make the determination that it meets specification.
(c) Records for both on- and off-specification used oil fuel shipments must be retained
for at least three years.
§279.75 Notices
(a) Before a used oil fuel generator, transporter, or processor/re-refiner directs the first
shipment of off-specification used oil fuel to a burner, he/she must obtain a one-
time written and signed notice certifying that the burner has notified EPA of
his/her used oil management activities and that the used oil will only be burned in
an industrial furnace or boiler identified in §279.61(a). This certificate must be
maintained for at least three years from the date of the last shipment of off-
specification used oil received.
10-364
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statements) contained herein.
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OSWER Dir. No. 9938.02(b)
TABLE IH-8 USED OIL MANAGEMENT
STANDARDS
Inspection Procedures • Subpart H Sections 279.74 through 279.75
Kev Considerations:
• Does the marketer keep records of shipments of off-specification oil that are being sent to
burners? How long are these records kept?
• If the marketer first claims that the used oil is on specification, does he/she keep records of
the used oil shipment when it is sent off-site?
• Records for both on- and off-specification oil shipments must be retained for three years.
IH-365
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any slatcment(s) contained herein.
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OSWER Dir. No. 9938.02(b)
TABLE m-8 USED OIL MANAGEMENT
STANDARDS
Use aa a Dust Suppressant/Used Oil Disposal
5279.80 Applicability
(a) All used oils that cannot be recycled are therefore being disposed.
5279.81 Disposal
(a) Used oils that are identified as hazardous waste and cannot be recycled must be
managed as hazardous waste in accordance with the requirements of 40 CFR Parts
260 through 266,268,270 and 124. Used oils that are not hazardous wastes, and
cannot be recycled, must be disposed of in accordance with the requirements of 40
CFR Parts 257 and 258.
82T&82 Use as a Dust Suppressant
(a) Used oil cannot be used as a dust suppressant unless a State has petitioned EPA to
allow the use of used oil - that is not mixed with hazardous waste and does not
exhibit a characteristic other than ignitability - as a dust suppressant.
m-366
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements arc in any way altered by any statcmcnt(s) contained herein.
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OSWER Dir. No. 9938.02(b)
TABLE m-8 USED OIL MANAGEMENT
STANDARDS
Inspection Procedures -1, Sections 279.80 through 279.82
Kev Considerations!
• If used oil is being used as a dust suppressant, has the state where the used oil is being
employed petitioned EPA to allow the use of used oil?
ffl-367
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statcment(s) contained herein.
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CHECKLISTS
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OSWER Dir. No. 9938.02(b)
Appendix IV
Inspection
Checklists
CHECKLISTS PAGE
1. General Site Inspection Information Form IV-2
2. General Facility Checklist IV-3
3. Air Emissions Checklist..... IV-10
4. Containers Checklist IV-31
5. Generators Checklist IV-32
6. Ground-Water Monitoring Checklist IV-38
7. Health & Safety Checklist IV-45
8. Incinerator Checklist , IV-58
9. Land Disposal Restrictions Checklist IV-80
10. Landfills Checklist IV-115
11. Land Treatment Checklist IV-119
12. Surface Impoundments Checklist IV-125
13. Thermal Treatment Checklist IV-130
14. Transporters Checklist IV-133
15. Waste Information Checklist IV-136
16. Waste Piles Checklist IV-140
iv-i
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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General Inspection Information Form
OSWER Dir. No. 9938.02(b)
1. General Site Inspection Information Form
A. SITE NAME
B. STREET (or other identifier)
C. CITY
D. STATE
E. ZIP CODE F. COUNTY NAME
G. SITE OPERATOR INFORMATION
1. Name
2. Telephone Number
3. Street
4. City
5. State
6. Zip Code
7. Facility Contact/Telephone No.
8. Responsible Official/Telephone No.
H. SITE DESCRIPTION
I. TYPE OF OWNERSHIP
1. Federal 2. State 3. County 4. Municipal 5. Private
J. FUNCTION
1. Generator 2. Transporter 3. Treatment 4. Storage 5. Disposal
K. REGULATORY STATUS
1. Interim Status
2. Permitted Facility
3. Part B Permit Application Submitted
4. Part B Permit Application in Preparation
L.
1.
2.
M.
INSPECTOR INFORMATION
Principal Inspector Name
Title
INSPECTION PARTICIPANTS
1.
2.
3. «
4.
5.
3. Organization
4. Telephone No. (area code and No.)
6.
• 7.
8.
9
10.
IV-2
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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General Facility Checklist OSWER Dir. No. 9938.02(b)
2. General Facility Checklist
Section A • General Facility Stgnfords (40 CFR 264/5 Subpart B) Yes No
1. Does facility have EPA Identification No.? ( §§264/5.11) _ _
a. If yes, EPA ID. No. _
If no, explain. _
2. Has facility received hazardous waste from a foreign source?
(§§264/5.12)
If yes, has it filed a notice with the Regional Administrator?
Waste Analysis
3. Does facility maintain a copy of the waste analysis plan
on-site? (§§264/5.13)
a. If yes, does it include:
1. Parameters for which each waste will be analyzed?
(§§264/5.13(b)(D)
2. Test methods used to test for these parameters?
(§§264/5.13(b)(2))
3. Sampling method used to obtain sample?
(§§264/5.13(b)(3))
4. Frequency with which the initial analyses
will be reviewed or repeated?
(§§264/5.13(b)(4))
5. (For off-site facilities) waste analyses that
generators have agreed to supply?
(§§264/5.13(b)(5))
6. (For off-site facilities) procedures which are used to
inspect and analyze each movement of hazardous
waste, including: (§§264/5.13(c))
a. Procedures to be used to determine the
identity of each movement of waste
b. Sampling method to be used to obtain
representative sample of the waste to be
identified.
IV-3
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statemcnt(s) contained herein.
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General Facility Checklist OSWER Dir. No. 9938.02(b)
4. Does the facility provide adequate security through: Yes No
(§§264/5.14)
a. 24-hour surveillance system (e.g., television monitoring
or guards)?
b. 1. Artificial or natural confining barrier around
facility (e.g., fence or fence and cliff)?
(§§264/5.14(b))
Describe:
AND
2. Means to control entry through entrances (e.g.,
attendant, television monitors, locked entrance,
controlled roadway access)?
(§§264/5.14(b)(2)(ii))
Describe:
General Inspection Requirements
5. Does the owner/operator maintain a written schedule at the
facility for inspecting: (§§264/5.15)
a. Monitoring equipment?
b. Safety and emergency equipment? (§§264/5.15(b))
c. Security devices:
d. Operating and structural equipment?
e. Types of problems with equipment:
1. Malfunction (§§264/5.15(a))
2. Operator error
3. Discharges
6. Does the owner/operator maintain an inspection log?
(§§264/5.15(d))
a. If yes, does it include:
1. Date and time of inspection?
2. Name of inspector?
3. Notation of observations?
4. Date and nature of repairs or remedial action?
b. Are there any malfunctions or other deficiencies
not corrected? (Use narrative explanation sheet.)
(§§264/5.15(c))
IV-4
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statemcnt(s) contained herein.
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General Facility Checklist OSWER Dir. No. 9938.02(b)
Personnel Training Yes No
7. Does the owner/operator maintain personnel training records at
the facility? (§§264/5.16)
How long are they kept?
a. If yes, do they include:
1. Job title and written job description of each
position? (§§264/5.16(d))
2. Description of type and amount of training?
3. Records of training given to facility personnel?
Requirements for Ignitable, Reactive, or Incompatible Waste
8. Does facility handle ignitable or reactive wastes? (§§264/5.17)
a. If yes, is waste separated and confined from sources of
ignition or reaction (open flames, smoking, cutting and
welding, hot surfaces, frictional heat), sparks (static,
electrical, or mechanical), spontaneous ignition (e.g.,
from heat-producing chemical reactions), and radiant
heat?
1. If yes, use narrative explanation sheet to describe
separation and confinement procedures.
2. If no, use narrative explanation sheet to describe
sources of ignition or reaction.
b. Are smoking and open flame confined to specifically
designated locations?
c. Are "No Smoking" signs posted in hazardous areas?
d. Are precautions documented (Part 264 only)?
(§264.17(c))
9. Are containers leaking or corroding? (§§264/5.171)
10. Is there evidence of heat generation from incompatible wastes?
Section B • Preparedness and Prevention (40 CFR 264/5 Subpart C)
1. Is there evidence of fire, explosion, or contamination of the
environment?
If yes, use narrative explanation sheet to explain.
2. Is the facility equipped with: (§§264/5.32)
a. Internal communication or alarm system?
(i) Is it easily accessible in case of emergency?
(§§264/5.34)
IV-5
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements arc in any way altered by any statement(s) contained herein.
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General Facility Checklist OSWER Dir. No. 9938.02(b)
b. Telephone or two-way radio to call emergency response Yes No
personnel? (§§264/5.32(b))
c. Portable fire extinguishers, fire control equipment, spill
control equipment, and decontamination equipment?
(§§264/5.32(c))
d. Water of adequate volume for hoses, sprinklers, or water
spray system? (§§264/5.32(d))
Describe source of water:
3. Is there sufficient aisle space to allow unobstructed movement of
personnel and equipment? (§§264/5.35)
4. Has the owner/operator made arrangements with the local
authorities to familiarize them with characteristics of the facility?
(Layout of facility, properties of hazardous waste handled and
associated hazards, places where facility personnel would
normally be working, entrances to roads inside facility, possible
evacuation routes.) (§§264/5.37)
5. In the case that more than one police or fire department might
respond, is there a designated primary authority?
(§§264/5.37(a)(2))
a. If yes, name primary authority:
6. Does the owner/operator have phone numbers of and agreements
with State emergency response teams, emergency response
contractors, and equipment suppliers? (§§264/5.37(a)(3))
a. Are they readily available to all personnel?
7. Has the owner/operator arranged to familiarize local hospitals
with the properties of hazardous waste handled and types of
injuries that could result from fires, explosions, or releases at the
facility? (§§264/5.37(a)(4))
8. If State or local authorities decline to enter into the arrangements
called for under §§264/5.37, is this entered in the operating record?
(§§264/5.37(b))
Section C • Contingency Plan and Emergency Procedures
(40 CFR 264/5 Subpart D)
1. Is a contingency plan maintained at the facility? (§§264/5.51)
a. If yes, is it a revised SPCC Plan? (§§264/5.52(b))
b. Does contingency plan include:
1. Arrangements with local emergency response
organizations? (§§264/5.52(c))
2. Emergency coordinator's names, phone numbers,
and addresses? (§§264/5.52(d))
3. List of all emergency equipment at facility and
descriptions of equipment? (§§264/5.52(e)) .
4. Evacuation plan for facility personnel?
(§§264/5.52(0)
IV-6
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements arc in any way altered by any statemcnt(s) contained herein.
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General Facility Checklist OSWER Dir. No. 9938.02(b)
2. Is there an emergency coordinator on site or on call at all times? Yes No
(§§264/5.55)
Section T). Manifest Svstemr Reoordkeeping. and Reporting
(40 CFR 264/5 Suboart E)
1. Does facility receive waste from off-site? (§§264/5.7 l(a))
a. If yes, does the owner/operator retain copies of all
manifests?
1. Are the manifests signed and dated and returned to
the generator?
2. Is a signed copy given to the transporter?
2. Does the facility receive any waste from a rail .or water (bulk
shipment) transporter? (§§264/5.71(b))
a. If yes, is it accompanied by a shipping paper?
1. Does the owner/operator sign and date the shipping
paper and return a copy to the generator?
2. Is a signed copy given to the transporter?
3. Has the owner/operator received any shipments of waste that were
inconsistent with the manifest (manifest discrepancies)?
(§§264/5.72)
a. If yes, has he attempted to reconcile the discrepancy with
the generator and transporter?
1. If no, has Regional Administrator been notified?
4. Does the owner/operator keep a written operating record at the
facility? (§§264/5.73(a))
IV-7
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statcment(s) contained herein.
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General Facility Checklist OSWER Dir. No. 9938.02(b)
a. If yes, does it include: (§§264/5.73(b)) Yes No
1. Description and quantity of each hazardous waste
received?
2. ' Methods and dates of treatment, storage, and
disposal?
3. Location and quantity of each hazardous waste at
each location?
4. Cross-references to manifests/shipping papers?
5. Records and results of waste analyses?
6. Report of incidents involving implementation of
the contingency plan?
7. Records and results of required inspections?
8. Monitoring or testing analytical data? (Part 264)
9. Closure cost estimates and, for disposal facilities,
post-closure cost estimates? (Part 264)
10. Notices of generators as specified? (§264.12(b))
11. Certification of permittee waste minimization
program? (§264.73(b)(9))
12. Land disposal restriction records required by
§268.5, §268.6, §268.7(a), and §268.8, as applicable?
(§264.73(b)(10)-(16))
5. Does the facility submit a biennial report by March 1 every even-
numbered year? (§§264/5.75)
a. If yes, do reports contain the following information:
1. EPA I.D. number? (§§264/5.75(a))
2. Date and year covered by report? (§§264/5.75(b))
3. Description/quantity of hazardous waste?
(§§264/5.75(d)) .
4. Treatment, storage, and disposal methods?
(§§264/5.75(e))
5. Monitoring data under §265.94(a)(2) and (b)(2)?
(§265.75(0)
6. Most recent closure and post-closure cost
estimates? (§§264/5.75(g))
7. For TSD generators, description of efforts to reduce
volume/toxicity of waste generated, and actual
comparisons with previous year? (§§264/5.75(h))
8. Certification signed by owner/operator?
(§§264/5.75(j))
6. Has the facility received any waste (that does not come under the
small generator exclusion) not accompanied by a manifest?
(§§264/5.76)
IV-8
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statemcnt(s) contained herein.
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General Facility Checklist OSWER Dir. No. 9938.02(b)
a. If yes, has he submitted an unmanifested waste report to the Yes No
Regional Administrator?
7. Does the facility submit to the Regional Administrator reports on
releases, fires, and explosions; contamination and monitoring
data; and facility closure? (§§264/5.77)
IV-9
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statemcnt(s) contained herein.
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Air Emissions Checklist OSWER Dir. No. 9938.02(b)
3. Air Emissions Checklist
Section A - Applicability (§§284/5.1030) Yes No
1. Does the facility have units permitted under Part 270 or is it
permitted under Part 270?
a. What is the effective date for this facility? i
b. For interim status facilities, have these requirements been
incorporated into Part B application submittal?
2. Are there any of the following separation processes at the facility:
a. Distillation?
b. Fractionation?
c. Thin-film evaporation?
d. Solvent extraction?
e. Air stripping?
f. Steam stripping?
Section B • Waste Streams
3. Are there waste streams associated with any separation processes
that contain 10 ppmw or greater organic concentration?
(§§264/5.1032(a))
a. If they claim waste streams below 10 ppmw, did they use
proper means to determine concentration?
(§§264/5.1034(d)(lor2))
b. Was date of initial determination before their effective
date? (§§264/5.1034(e))
c. Were other analyses performed annually or upon changes
in waste streams? (§§264/5.1034(e)(2 or 3))
Section C • Facility Emissions Rates
4. Is the hourly process vent organic emission rate greater than or
equal to 3 Ib/hr? (§§264/5.1032(a))
Is the yearly process vent organic emission rate greater than or
equal to 3.1 tons/yr? (§§264/5.1032(a))
IV-10
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any stntemcnt(s) contained herein.
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Air Emissions Checklist OSWER Dir. No. 9938.02(b)
a. If performance tests were made, were they done according Yes No
to §§ 264/5.1034(c)?
b. If engineering calculations were used, were they done
according to §§ 264/5.1035(b)(2)(ii)?
c. Has the owner/operator signed a statement that test
conditions portray peak capacity operating conditions?
(§§264/5.1035(b)(4)(iv))
d. Were the facility emissions rates determined by the
effective date?
Section D • Facility Emission Rates After Control Devices or Change in
Operations
5. a. Are the process vent organic emission rates for the facility
less than or equal to 3 Ib/hr and less than or equal to 3.1
tons/year or are they reduced by 95%? (§§264/5.1032(a))
b. If performance tests were used, were they done in
accordance with §§264/5.1034(c) and was the test plan in
accordance with §§264/5.1035(b)(3)?
c. If engineering calculations were used, were they in
accordance with §§264/5.1035(b)(4)?
d. For facilities without the control devices installed, do they
have an installation plan? ((§§264/5.1033(a)(2) and
264/5.1035(b)(D)
e. Will the control devices be installed by 18 months after the
effective date? (§§264/5.1033)
Section E - Reporting (§264.1036)
6. For facilities with final permits incorporating this rule, have they
sent in semi-annual reports of exceedances lasting longer than 24
hours?
IV-ll
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statcment(s) contained herein.
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Air Emissions Checklist
OSWER Dir. No. 9938.02(b)
(Use individual control device worksheets to continue inspection)
Summary Sheet for Control Devices (CD)
Vent*
Control Device
CD#
On Unit # For Vents #
Condenser
Adsorber (Regen)
Adsorber (Nonreg)
Process Heater
Boiler
Catalytic Vapor Incinerator
Thermal Vapor Incinerator
Air Assisted Flare
Steam Assisted Flare
Nonassisted Flare
IV-12
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements arc in any way altered by any statemcnt(s) contained herein.
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Air Emissions Checklist
OSWER Dir. No. 9938.02(b)
1.
Checklist
Condenser
Parts 264/265 Subpart AA
Operating Parameters:
List the operating parameters and the limits set for each condenser in the permit, or
for interim status facilities, the limits the facility gave based on their engineering
calculations (§§264/5.1035(b)(4)(iii)(E)) or performance tests (§§264/5.1035(b)(2)(ii)).
Operating Parameter
Limit
Have they met these limits?
AND
Is all design documentation, monitoring, operating, and
inspection information in the facility operating record?
(§§264/5.1035(c))
2. Monitoring: A and either B or C
A. Flow indicator (§§264/5.1033(0(1))
1. records hourly
2. installation point correct
3. daily inspection (§§264/5.1033(0(3))
B. [Organic compound] in condenser exhaust vent stream
1. continuously record (§§264/5.1033(f)(2)(vi)(A))
2. daily inspection (§§264/5.1033(0(3))
C. Temperature monitoring device (§§264/5.1033(f)(2)(vi)(B))
1. continuously record
2. two locations:
a. exhaust vent stream from condenser
b. coolant fluid exiting the condenser
3. accuracy:
a. +/- 1% of temperature being monitored in CO
OR
b. .5 degrees C (whichever is greater)
4. inspect daily (§§264/5.1033(0(3))
Yes
No
3. Repair:
a. immediately upon daily inspection (§§264/5.1033(0(3))
IV-13
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statemcnt(s) contained herein.
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Air Emissions Checklist
OSWER Dir. No. 9938.02(b)
Exceedances (§§264/5.1035(c)(4)(vi or vii)):
a. If monitoring [organic] in exhaust:
1. when [organic] greater than 20% above design
outlet [organic]
b. If monitoring T:
1. either T exhaust greater than 6 deg above design
avg exhaust T QB
2. T coolant out greater than 6 deg above design avg
coolant T
c. Cause of exceedance given
d. Measure taken to correct cause provided
Closed-vent systems associated with the control device
(§§264/5.1033(j)):
Yes No
a. Standard:
b. Monitor:
c.
Repair:
No detectable emissions and no visual
emissions
At facility effective date
Annually
RA requested times
Start by 5 days/complete by 15
. IV-14
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by nny stntemcnt(s) contained herein.
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Air Emissions Checklist
OSWER Dir. No. 9938.02(b)
1.
Checklist
Thermal Vapor Incinerator
Parts 264/265 Subpart AA
Operating Parameters:
List the operating parameters and the limits set for each thermal vapor incinerator
in the permit or for interim status facilities, the limits the facility gave based on their
engineering calculations (§§264/5.1035(b)(4)(iii)(B)) or performance tests
(§§264/5.1035(b)(2)(ii)).
Operating Parameter
Limit
Have they met these limits?
Is all design documentation, monitoring, operating, and
inspection information in the facility operating record?
(§§264/5.1035(c))
Monitoring: A and B
A. Flow indicator (§§264/5.1033(0(1))
1,. records hourly
2. installation point correct
3. daily inspection (§§264/5.1033(0(3))
B. Temperature monitoring device (§§264/5.1033(f)(2)(i))
1. continuously record
2. one location:
a. in combustion chamber downstream of
combustion zone
3. accuracy:
a. +/- 1% of temperature being monitored in CO
OR
b. .5 degrees C (whichever is greater)
4. inspect daily (§§264/5.1033(0(3))
Repair:
a. Immediately upon daily inspection (§§264/5.1033(0(3))
Yes No
rv-i5
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by nny statcmcnl(s) contained herein.
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Air Emissions Checklist OSWER Dir. No. 9938.02(b)
4. Exceedances (§§264/5.1035(c)(4)(i or ii)): Yes No
a. If monitoring RT min:
1. when T less than 760 deg. C
b. If standard 95% eff:
1. when T comb, zone greater than 28 deg. C below
given design avg. comb zone T
c. Cause of exceedance given
d. Measures taken to correct cause provided
5. Closed-vent systems associated with the control device
(§§264/5.10330)):
a. Standard: No detectable emissions and no visual
emissions
b. Monitor: At facility effective date
Annually
RA requested times
c. Repair: Start by 5 days/complete by 15
IV-16
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statcment(s) contained herein.
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Air Emissions Checklist
OSWER Dir. No. 9938.02(b)
1.
Checklist
Catalytic Vapor Incinerator
Parts 264/265 Subpart AA
Operating Parameters:
List the operating parameters and the limits set for each catalytic vapor incinerator
in the permit or for interim status facilities, the limits the facility gave based on their
engineering calculations (§§264/5.1035(b)(4)(iii)(C)) or performance tests
(§§264/5.1035(b)(2)(ii)).
Operating Parameter
Limit
Have they met these limits?
Is all design documentation, monitoring, operating, and
inspection information in the facility operating record?
(§§264/5.1035(c))
Monitoring: A and B
A. Flow indicator (§§264/5.1033(0(1))
1. records hourly
2. installation point correct
3. daily inspection (§§264/5.1033(0(3))
B. Temperature monitoring device (§§264/5.1033(0(2)(ii))
1. continuously record
2. two locations:
a. vent stream at the nearest feasible point to
catalyst bed inlet
b. vent stream at the nearest point feasible to
catalyst bed outlet
3. accuracy:
a. +/- 1% of temperature being monitored in CO
OR
b. +/- .5 degrees C (whichever is greater)
4. inspect daily (§§264/5.1033(0(3))
Repair:
a. Immediately upon daily inspection (§§264/5.1033(0(3))
Yes No
IV-17
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statcmcnt(s) contained herein.
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Air Emissions Checklist OSWER Dir. No. 9938.02(b)
4. Exceedances (§§264/5.1035(c)(4)(iii)(A or B)): Yes No
a. T inlet greater than 28 deg. C below design avg. T inlet or _ _
b. T diff. across bed less than 80% design avg. T difference _ _
c . cause of exceedance given _ _
d. measures taken to correct cause provided _ _
5. Closed-vent systems associated with the control device
(§§264/5.
a. Standard: No detectable emissions and no visual
emissions ,
b. Monitor: At facility effective date
Annually
RA requested times
c. Repair: Start by 5 days/complete by 15
IV-18
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by nny stalemcnt(s) contained herein.
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Air Emissions Checklist
OSWER Dir. No. 9938.02(b)
1.
Checklist
Boiler/Process Heater
Parts 264/265 Subpart AA
Operating Parameters:
List the operating parameters and the limits set for each boiler/process heater in the
permit or for interim status facilities, the limits the facility gave based on their
engineering calculations (§§264/5.1035(b)(4)(iii)(C)) or performance tests
(§§264/5.1035(b)(2)(ii)).
Operating Parameter
Limit
Have they met these limits?
2.
AND
Is all design documentation, monitoring, operating, and
inspection information in the facility operating record?
(§§264/5.1035(c))
Monitoring: A and either B or C
A. Flow indicator (§§264/5.1033(f)( D)
1. records hourly
2. installation point
3. daily inspection (§§264/5.1033(0(3))
B. If design heat input capacity less than 44 MW:
1. temperature monitoring device
(§§264/5.1033(f)(iv))
2. continuously record
3. one location:
a. in furnace downstream of combustion zone
4. accuracy:
a. +/- 1% of temperature being monitored OR
b. .5 degrees C (whichever is greater)
5. inspect daily (§§264/5.1033(0(3))
C. If design heat input capacity => 44 MW:
1. continuously record (§§264/5.1033(0(v))
2. parameter that indicates good combustion practices
3. inspect daily (§§264/5.1033(0(3))
Yes No
IV-19
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any slatcment(s) contained herein.
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Air Emissions Checklist OSWER Dir. No. 9938.02(b)
3. Repair: Yes No
a. immediately upon daily inspection (§§264/5.1033(0(3))
4. Exceedances (§§264/5.1035(c)(4)(iv)):
a. T flame zone > 28 deg. C below design avg. flame zone T
b. Position changes where vent stream is introduced
c. Cause of exceedance given
d. Measures taken to correct cause provided
5. Closed-vent systems associated with the control device
(§§264/5.1033(j)):
a. Standard: No detectable emissions and no visual
emissions
b. Monitor: At facility effective date
Annually
RA requested times
c. Repair: Start by 5 days/complete by 15 .
IV-20
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements arc in any way altered by any statoment(s) contained herein.
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Air Emissions Checklist
OSWER Dir. No. 9938.02(b)
1.
Checklist
Flares
Parts 264/265 Subpart AA
Operating Parameters:
List the operating parameters and the limits set for each flare in the permit or, for
interim status facilities, the limits the facility gave based on their engineering
.calculations (§§264/5.1035(b)(4)(iii)(D) and §§264/5.1033(d)) or performance tests
(§§264/5.1035(b)(2)(ii)).
.Operating Parameter
Limit
Have they met these limits?
Is all design documentation, monitoring, operating, and
inspection information in the facility operating record?
(§§264/5.1035(c)
Standard (§§264/5.1033(d))
a. No visible emissions, except for period not to exceed 5
minutes/any consecutive 2 hrs
b. Flame present at all times
c. If steam assisted:
1. Ve < 60 ft/s and Ht £ 300 BTU/scf or
2. 60 ft/s < Ve < 400 ft/sec and Ht > 1000 BTU/scf
3. Ve < Vmax < 400 and Ht £ 300 BTU/scf
d. If air-assisted: Ve< Vmax and Ht => 300 BTU/scf
e. If non-assisted:
1. Ve < 60 ft/sec and Ht => 200 BTU/scf or
2. 60 units < Ve < 400 ft/sec and Ht > 1000 BTU/scf
3. Ve < Vmax < 400 units and Ht > 200 BTU/scf
Monitoring: A and B
A. Flow indicator (§§264/5.1033(0(1))
1. records hourly
2. installation point
3. daily inspection (§§264/5.1033(0(3)) •
B. Heat sensing device for continuous ignition of pilot flame
(§§264/5.1033(0(2)(iii))
1. continuously record
2. inspect daily (§§264/5.1033(0(3))
Yes No
IV-21
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements arc in any way altered by any statement(s) contained herein.
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Air Emissions Checklist OSWER Dir. No. 9938.02(b)
3. Repair: Yes No
a. Immediately upon daily inspection (§§264/5.1033(0(3))
4. Exceedances (§§264/5.1035(c)(4)(v)):
a. Period when pilot flame is not ignited ;
b. Cause of exceedance given
c. Measures taken to correct cause provided
5. Closed-vent systems associated with the control device
(§§264/5.1033(j)):
a. Standard: No detectable emissions and no visual
emissions
b. Monitor: At facility effective date
Annually
RA requested times
c. Repair: Start by 5 days/complete by 15
IV-22
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any slatemcnt(s) contained herein.
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Air Emissions Checklist
OSWER Dir. No. 9938.02(b)
1.
Checklist
Carbon Adsorbers - Regenerative
Parts 264/265 Subpart AA
Operating Parameters:
List the operating parameters and the limits set for each in the permit or, for
interim status facilities, the limits the facility gave based on their engineering
calculations (§§264/5.1035(b)(4)(iii)(D) and §§264/5.1033(d)) or performance tests
(§§264/5.1035(b)(2)(ii)).
Operating Parameter
Limit
Have they met these limits?
Is all design documentation, monitoring, operating, and
inspection information in the facility operating record?
(§§264/5.1035(c))
Monitoring: A. B. C and D
A. Flow indicator (§§264/5.1033(0(1))
1. records hourly
2. installation point
3. daily inspection (§§264/55.1033(f)(3))
B. [Organic compound] in carbon bed exhaust vent stream
1. continuously record (§§264/5.1033(f)(2)(vii))
2. daily inspection
C. Device to measure a parameter that indicates regeneration
on a regular, predetermined time cycle
1. continuously record
2. inspect daily
D. Replace carbon at regular, predetermined time interval
that is < carbon service life (§§264/5.1033(g))
Repair:
a. Immediately upon daily inspection (§§264/5.1033(f)(3))
Yes No
IV-23
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any slatcment(s) contained herein.
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Air Emissions Checklist OSWER Dir. No. 9938.02(b)
4. " Exceedances (§§264/5.1035(c)(4)(viii and ix)): Yes No
a. If [organic compound]:
(i) [org] exhaust >20% above design exhaust vent
(ii) stream [org]
b. If parameter for regen. on regular cycle
(i) flow continuous past predetermined reg. time?
c. Cause of exceedance given?
d. Measures taken to correct cause for exceedance?
5. Have §§264/5. 1035(c)(6) or (7) been met?
6. Closed-vent systems associated with the control device
(§§264/5.
a. Standard: No detectable emissions and no visual
emissions
b. Monitor: At facility effective date
Annually
RA requested times
c. Repair: Start by 5 days/complete by 15
IV-24
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements arc in any way altered by any slatcment(s) contained herein.
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Air Emissions Checklist
OSWER Dir. No. 9938.02(b)
1.
Checklist
Carbon Adsorbers - Non-Regenerative
Parts 264/265 Subpart AA
Operating Parameters:
List the operating parameters and the limits set for each in the permit or, for
interim status facilities, the limits the facility gave based on their engineering
calculations (§§264/5.1035(b)(4)(iii)(D) and §§264/5.1033(d)) or performance tests
(§§264/5.1035(b)(2)(ii)).
Operating Parameter
Limit
Have they met these limits?
2.
AND
Is all design documentation, monitoring, operating, and
inspection information in the facility operating record?
(§§264/5.1035(c))
Monitoring: A and either B or C
A. Flow indicator (§§264/5.1033(0(1))
1. records hourly
2. installation point
3. daily inspection (§§264/5.1033(0(3))
B. Organic compound in exhaust vent stream
(§§264/5.1033(g))
1. monitor on regular basis
2. inspect daily or at time < 20% time carbon life
(which is longer)
3. replace carbon when carbon breakthrough
indicated
Yes No
3.
D. Replace carbon at regular predetermined time interval
less than design carbon replacement interval
Repair:
a. Immediately upon daily inspection (§§264/5.1033(0(3))
. IV-25
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statcment(s) contained herein.
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Air Emissions Checklist OSWER Dir. No. 9938.02(b)
4. Exceedances (§§264/5.1035(c)(4)(viii and ix)) for non- Yes No
regenerators (see §§1035(c)(6), (7))
a. If monitoring [organic] in exhaust:
(i) date and time when monitored for breakthrough
and reading
(ii) date when carbon is replaced with fresh carbon
b. Cause of exceedance given
c. Measures taken to correct cause provided
6. Closed-vent system:
a. Standard: No detectable emissions and no visual
emissions
b. Monitor: At facility effective date
Annually
RA requested times
c. Repair: Start by 5 days/complete by 15
IV-26
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements arc in any way altered by nny s.lnlcment(s) contained herein.
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Air Emissions Checklist OSWER Dir. No. 9938.02(b)
Checklist
Equipment Leak Applications
Parts 264/265 Subpart BB
Section A - Applicability (§§264/5.1050) Yes No
1. Is the facility permitted under Part 270 or does it have units
permitted under Part 270?
a. Facility status: interim status or permitted?
b. What is the effective date for this facility?
2. Are any of these units exempt?
Section B - Waste vSt-reams (§§2ft4/5.1Q63(d))
3. Are there waste streams that contain at least 10% organics by
weight?
a. Method of determination? Knowledge, ASTM Methods
D2267-88, E169-87, E168-88, E260-85 or Method 9060 or 8240
b. If knowledge, is it documented?
c. Date of initial determination
d. Dates of other analysis? Change, batch
4. For each waste stream that does qualify, determine fluid type
(gas/vapor service, light-liquid service, heavy liquid service)
a. Method for determining light liquid service
1. vapor pressures of constituents from standard
texts, or
2. ASTM D-2879-86
Section C - Facility Operating Record (§§264/5.1064(g))
5. Does the facility have a list of the equipment and identification
numbers that are affected by this rule?
IV-27
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements arc in any way altered by any statcment(s) contained herein.
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10. Is there a list of ID numbers for equipment in vacuum service?
11. List of ID numbers of "unsafe-to-monitor" and "difficult-to-
monitor" valves, with explanation for each and plan for
monitoring or schedule.
12. Is there a list of valves using the skip period alternative
monitoring schedule, with schedule for monitoring and %
leaking determined?
13. For dual mechanical seal pumps or compressors with barrier fluid
systems with sensors, is the criteria and explanation of the
criteria for determining sensor failure given?
14. Is there an analysis of design capacity, influent/effluent for each
unit subject to these requirements, and an up-to-date analysis
either by testing or knowledge to determine if the equipment is
covered or not?
(continued)
Air Emissions Checklist . OSWER Dir. No. 9938.02(b)
6. Is there a list of the ID numbers of NDE pumps, valves, and Yes No
compressors with signature of owner/operator?
7. Is there a list of all affected equipment by designation?
8. Is there a list of pressure relief devices in gas/vapor service? .
9. Dates of test for no detection emission equipment?
Background level
Maximum instrument reading
IV-28
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements arc in any way altered by nny statcment(s) contained herein.
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Air Emissions Checklist OSWER Dir. No. 9938.02(b)
Identification of Equipment Covered by Rule
Equipment Equipment ID # Waste Stream # Fluid
Pumps
general
dual mechanical
NDE (sealless)
closed vent/control
devices
Compressors
general
NDE Sealless
CV/Control Devices
Pressure Relief Devices
general
CV/Control Devices
Sampling Connecting
Systems
general
insitu
Valves
general
leakless (NDE)
unsafe to monitor
difficult to monitor
alter allowable %
alter skip period LDRP
Open-ended valves or lines
Flanges and other
connectors
IV-29
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any stntement(s) contained herein.
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Air Emissions Checklist OSWER Dir. No. 9938.02(b)
Date of Inspection.
Facility
Inspector
RECORD KEEPING REQUIREMENTS (§§264/5 (b)(l) and (g))
Unit Number Listed
Equipment Identification Number Listed
Location at Facility
Type of Equipment
% by weight of TOC at equipment
Fluid State at Equipment
Equipment Designation
If Closed-Vent/Control Device Used (264/5.1064(b)
(2-4)
- Implementation Plan
- If testing, performance test plan
- Design Documentation or Perf. Test Results
If Control Device; monitoring, operating, inspection
data (264/5.1064(e))
LEAK DETECTION AND REPAIR RECORD KEEPING (§§264/5.1064 (c and d))
Monitoring Equipment Number
Monitoring Operators Identification
Date of Visual, Audible, Olfactory Indication of
Leak
Date of Leak Detection
Date of Repair Attempt "
Repair Methods at each attempt
Leak "Above 10,000" or Above 500 above background
"Repair Delayed" if after 15 days
If valve, documentation for repair delay
Signature of Person approving delay
Expected Date of Repair
Date of Successful Repair
PHYSICAL INSPECTION
Visual, Audible, or Olfactory Indication of Leak
Monitoring Equipment Number
Correct Calibration Method
Correct Monitoring Techniques Used
Method 21 Results
Tag on Leaking Equipment
If Equipment already had tag on it:
- Date Leak Detected
- Date of Expected Repair or Actual Repair
Equipment Marked as Being in this Program
IV-30
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements arc in any way altered by any statemcnt(s) contained herein.
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Containers Checklist OSWER Dir. No. 9938.02(b)
4. Containers Checklist
Section A • Use and Management (§§264/5.171) Yes No
1. Are containers in good condition?
Section B - Compatibility of Waste With Container (§§264/5.172)
1. Is container made of a material that will not react with the waste
which it stores?
Section C • IVfanpgernent of Containers (§§264/5.173)
1. Is container always closed while holding hazardous waste?
2. Is container not opened, handled, or stored in a manner which
may rupture it or cause it to leak?
Section D • Inspections (§§264/5.174)
1. Does owner/operator inspect containers at least weekly for leaks
and deterioration?
Section E • Containment (§264.175)
1. Do container storage areas have a containment system?
Section F • Itmitable and Reactive Waste (§§264/5.176)
1. Are containers holding ignitable and reactive waste located at
least 15 m (50 ft) from facility property lines?
Section G • Incompatible Waste (§§264/5.177)
1. Are incompatible wastes or materials placed in the same
containers?
2. Are hazardous wastes placed in washed, clean containers when
they previously held incompatible waste? .
3. Are incompatible hazardous wastes separated from each other by a
berm, dike, wall, or other device?
Section H • Closure (§264.178)
1. At closure, were all hazardous wastes and associated residues
removed from the containment system?
IV-31
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements arc in any way altered by any statcment(s) contained herein.
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Generators Checklist OSWER Dir. No. 9938.02(b)
_ 5. Generators Checklist _
Section A - EPA Identification No. Yes No
1. Does generator have EPA I.D. No.? (§262.12) _ _
a . If yes, EPA ID. No. _ •
Section
1. Does generator ship waste off-site? (§262.20)
a. If no, do not fill out Sections B and D.
b. If yes, identify primary off-site facility(s). Use narrative
explanation sheet.
2. Does generator use manifest? (§262.20)
a. If no, is generator a small quantity generator (generating
between 100 and 1000 kg/month?
NOTE: SQGs are only exempt if wastes are reclaimed. (See
§262.20(e).)
1. If yes, does generator indicate this when sending
waste to a TSD facility?
IV-32
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance: No statutory or
regulatory requirements are in any way altered by any statcmcnl(s) contained herein.
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Generators Checklist OSWER Dir. No. 9938.02(b)
b. If yes, does manifest include the following information? Yes No
(Part 262 appendix)
1. Manifest document no.
2. Generator's name, mailing address, telephone no.
3. Generator EPA I.D. no.
4. . Transporter Name(s) and EPA I.D. no.(s) .
5. a. Facility name, address, and EPA I.D. no. '
b. Alternate facility name, address, and EPA
I.D. no.
c. Instructions to return to generator if
undeliverable
6. Waste information required by DOE - shipping
name, quantity (weight or vol.), containers (type
and number)
7. Emergency information (optional)
(special handling instructions, telephone no.)
8. Is the, following certification on each manifest
form?
"This is to certify that the above named materials
are properly classified, described, packaged,
marked, and labeled and are in proper condition
for transportation according to the applicable
national and international regulations."
9. Does generator retain copies of manifests?
(§262.40)
If yes, complete a through e. (§262.23)
IV-33
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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Generators Checklist OSWER Dir. No. 9938.02(b)
Yes No
a. 1. Did generator sign and date all
manifests?
2. Who signed for generator?
Name Titie_
b. 1. Did generator obtain handwritten
signature and date of acceptance
from initial transporter?
2. Who signed and dated for
transporter? (§262.23)
Name Title.
c. Does generator retain one copy of manifest
signed by generator and initial
transporter? (§262.40)
d. Do returned copies of manifest include
facility owner/operator signature and date
of acceptance? (§262.40)
e. Does generator retain copies for 3 years?
(§262.40)
Section C . Harardous Waste Determination (40 CFR 262.11)
1. Does generator generate solid waste(s) listed in Subpart D (List of
Hazardous Waste)?
a. If yes, list wastes and quantities (include EPA Hazardous
WasteNo.)
2. Does generator generate solid waste(s) listed in Subpart C that
exhibit hazardous characteristics (corrosivity, ignitability,
reactivity, EP toxicity)?
a. If yes, list wastes and quantities (include EPA Hazardous
Waste No.) '
b. Does generator determine characteristics by testing or by
applying knowledge of processes?
IV-34
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements arc in any way altered by any slatemcnt(s) contained herein.
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Generators Checklist OSWER Dir. No. 9938.02(b)
Yes No
1. If determined by testing, did generator use test
methods in Part 261, Subpart C (or equivalent)?
a. If equivalent test methods used, attach copy
of equivalent methods used.
3. Are there any other solid wastes generated by generators?
a. If yes, did generator test all wastes to determine whether or
not they were hazardous?
1. If no, list wastes and quantities deemed
nonhazardous or processes from which
nonhazardous waste was produced (use additional
sheet if necessary)
Section P - Pretransport Requirements
1. Does generator package waste in accordance with 49 CFR 173, 178,
and 179 (DOT requirements)? (§262.30)
2. a. Are containers to be shipped leaking or corroding?
b. Use additional sheet to describe containers and condition.
c. Is there evidence of heat generation from incompatible
wastes in the containers?
3. Does generator follow DOT labeling requirements in accordance
with 49 CFR 172? (§262.31)
4. Does generator mark each package in accordance with 49 CFR
172? (§262.32)
5; Is each container of 110 gallons or less marked with the following
label? (§262.32)
Label saying: HAZARDOUS WASTE - Federal Law Prohibits
Improper Disposal. If found, contact the nearest police or public
safety authority or the U.S. Environmental Protection Agency.
Generator name(s) and addresses)
Manifest document No..
6. Does generator have placards to offer to transporters? (§262.33)
IV-35
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any stntcmcnt(s) contained herein.
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Generators Checklist
OSWER Dir. No. 9938.02(b)
7. Accumulation time (§262.34)
a. Are containers used to temporarily store waste before
transport?
1. If yes, is each container clearly dated: Also, fill
out rest of No. 7 (accum. time) (§262.34(a)(2))
b. 1. Does generator inspect containers for leakage or
corrosions? (§265.174 - Inspections)
2. If yes, with what frequency?
c. Does generator locate containers holding ignitable or
reactive waste at least 15 meters (50 Feet) from the
facility's property line? (§265.176 - Special Requirements
for Ignitable or Reactive Wastes)
NOTE: If tanks are used, fill out checklist for tanks. (See RCRA
Hazardous Waste Tank Systems Inspection Manual.
OSWER Dir. No. 9938.4)
d. Are the containers labeled and marked in accordance with
Sections D-3, -4, and -5 of this form?
NOTE: If generator accumulates waste on site, fill out checklist
for General Facilities, Subparts C and D.
e. Does generator comply with requirements for personnel
training? (Attach checklist for §265.16 - Personnel
Training.)
8. Describe storage area. Use photos and narrative explanation
sheet.
Section E • Recnrdkeeprng and Records (40 CFR 262.40)
1. Does generator keep the following reports for 3 years?
a. Manifest or signed copies from designated facilities
b. Biennial reports
c. Exception reports
d. Test results
2. Where are the records kept (at facility or elsewhere)?
3. Who is in charge of keeping the records?
Name Title '
Yes
No
IV-36
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements ore in any way altered by any slalcment(s) contained herein.
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Generators- Checklist OSWER Dir. No. 9938.02(b)
fiction F • Soeyflfll renditions
1. Has the primary exporter received from or transported to a foreign Yes No
source any hazardous waste?
a. If yes, has he filed a notice with the Regional
Administrator? (§262.53)
b. Is this waste manifested and signed by a foreign
consignee? (§262.54)
c. If generator transported wastes out of the country, has he
received confirmation of delivered shipment?
(§262.54)
IV-37
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements arc in any way altered by any slatumcnt(s) contained herein.
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Ground-Water Monitoring Checklist OSWER Dir. No. 9938.02(b)
6. Ground-Water Monitoring Checklist
Section A • Monitoring System (40 CFR Parts 264/5 Subpart F) Yes No
1. Does the facility have a ground-water monitoring system in
operation? (§265.90) .
a. If yes, does the system consist of: (§265.91)
1. Minimally one upgradient monitoring well?
(Part 265)
2. Minimally three downgradient monitoring wells?
(Part 265)
b. Are monitoring wells cased so that the integrity of the
boreholes is maintained? (§265.91)
c. Is a compliance monitoring system installed whenever
hazardous waste constituents are detected at the
compliance point ? (§264.92)
d. Is a corrective-action program initiated whenever the
ground-water protection standard is exceeded?
(§264.100(c))
e. Is a detection monitoring program instituted in all other
cases?(§264.98)
2. Does the facility have a monitoring and response program?
(Part 264)
a. If yes, is a compliance monitoring system instituted
whenever hazardous constituents are detected at the
compliance point? (§264.99)
b. Whenever the ground-water protection standard is
exceeded, does facility institute a corrective-action
program? (§264.99)
c. In all other cases, does the facility institute a detection
monitoring program? (§264.99)
Section B - Sampling and Analysis (40 CFR 265.92)
1. Does the facility obtain and analyze samples from the ground-
water monitoring system? (§265.92(a))
2. Has facility developed and followed a ground-water sampling
and analysis plan? (§265.92(a))
IV-38
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements arc in any way altered by any slalcment(s) contained herein.
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Ground-Water Monitoring Checklist OSWER Dir. No. 9938.02(b)
a. If yes, does this plan include procedures and techniques Yes No
for: (§265.92(a))
1. Sample collection? .
2. Sample preservation?
3. Analytical Procedures?
4. Chain-of-custody control?
b. Does the facility determine the concentration or value of
the following parameters in ground-water samples?
(§265.92(b))
1. Parameters characterizing the suitability of the
ground water as a drinking water supply, as
specified in Part 265, Appendix 3?
2. Parameters establishing ground-water quality
(chloride, iron, manganese, phenols, sodium,
sulfate)?
3. Parameters used as indicators of ground-water
contamination (pH, specific conductance, total
organic carbon, total organic halogen)? .
c. Has the owner/operator established initial background
concentrations or values of all parameters specified above
at least on a quarterly basis? (§265.92)(c))
d. Has owner/operator obtained at least four replicate
measurements for each sample, and has he determined the
initial background arithmetic mean and variance?
(§265.92(c)) '
e. After the first year, does owner/operator sample and
analyze with the following frequencies: (§265.92(d))
1. Samples collected to establish background water
quality (from above) at least annually?
2. Samples collected to indicate contamination (from
above) at least semi-annually?
3. Elevation of ground-water surface at each
monitoring well at each sampling event?
Section C • Preparation. Evaluation, and Response (40 CFR 265.93)
1. Did owner/operator prepare an outline of a ground-water quality
assessment program? (§265.93(a))
a. If yes, did program determine the following:
(§265.93(a))
IV-39
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any svatement(a) contained herein.
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Ground-Water Monitoring Checklist OSWER Dir. No. 9938.02(b)
1. Whether hazardous waste or hazardous waste Yes No
constituents have entered the ground water?
2. Rate and extent of hazardous waste or hazardous
waste constituent migration in groundwater?
3. Concentrations of hazardous waste or hazardous
waste constituents in ground water?
b. For each well, has owner/operator calculated the
arithmetic mean and variance, based on four replicate
measurements for each sample, and compared the results
with initial background mean? (§265.93(b))
c. Has owner/operator submitted information documenting
any significant increase in comparisons for upgradient
wells (or decrease in pH)? (§265.93(c))
d. If the comparisons for downgradient wells show a
significant increase (or pH decrease), has the
owner/operator obtained additional ground-water samples
from those downgradient wells in which a significant
decrease was detected? (Samples must be split in two, and
analyses must be obtained of all additional samples to
determine whether the significant difference was a result
of lab error.) (§265.93(c))
1. If analyses (described above) were performed, and
confirmed the significant increase (or pH
decrease), did owner/operator notify the Regional
Administrator within 7 days?
2. If analyses confirmed significant increase (or pH
decrease), did owner/operator submit to the
Regional Administrator within 15 days after
notification (discussed above) a certified ground-
water quality assessment program?
(§265.93(d))
a. If yes, does plan include the following:
1. Number, location, and depth of
wells?
2. Sampling and analytical methods
for those hazardous wastes and
hazardous waste constituents at the
facility?
3. Evaluation procedures, including
any use of previously gathered
ground-water quality information?
4. Schedule of implementation?
3. Did owner/operator implement the ground-water
quality-assessment program and, at a minimum,
did he determine the following: (§265.93(d)(4))
IV-40
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any slatemenl(s) contained herein.
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Ground-Water Monitoring Checklist OSWER Dir. No. 9938.02(b)
a. Rate and extent or migration of the Yes No
hazardous waste constituents in the ground
water?
b. Concentrations of the hazardous waste in
the ground water? .
4. Did owner/operator submit a report to the Regional
Administrator containing the requests of the
assessment outlined in No. 3 above within 15 days?
(§265.93(d)(5))
5. Did owner/operator notify the Regional
Administrator of reinstatement of indicator
evaluation program upon finding that no
hazardous waste or hazardous waste constituents
had entered the ground water? (§265.93(d)(6))
6. If owner/operator determined that hazardous waste
or hazardous waste constituents entered the ground
water, did he either continue to make the
determinations listed in No. 3 above on a quarterly
basis until final closure or ground-water quality-
assessment plan was implemented prior to post-
closure care, or cease to make determinations
required in No. 3 above if ground-water quality-
assessment plan was implemented during post-
closure? (§265.93(d)(7))
7. If any ground-water quality-assessment program
is implemented to satisfy No. 3 above prior to final
closure, has owner/operator completed the program
and reported to the Regional Administrator, as
outlined in No. 4 above? (§265.93(e))
8. If owner/operator does not monitor at least
annually to satisfy No. 3 above, does
owner/operator evaluate data on ground-water
elevation obtained under No. 2e in Section B above
to determine whether the requirements for location
monitoring wells are satisfied? (§265.93(f))
a. If evaluation shows that the requirements
for monitoring wells are not satisfied, has
owner/operator modified the number
location, or depth of the monitoring wells to
bring the system into compliance?
IV-41
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statcment(s) contained herein.
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Ground-Water Monitoring Checklist OSWER Dir. No. 9938.02(b)
Section D - Reonrdkeening and Reporting (40 CFR 265.94) Yes No
1. Unless owner/operator is monitoring to satisfy the requirements
of §265.93(d)(4), does owner/operator: (§265.94(a))
a. Keep records of the analyses required in §265.92(c) and (d),
the associated ground-water surface elevations required
in §265.92(e), and ground-water surface elevations
required in 265.93(b) throughout the active life of the
facility and throughout post-closure?
b. Report the following information to the Regional
. Administrator: (§265.94(a)(2))
1. Within 15 days of analysis for each quarterly
sampling event, does owner/operator submit
results of background concentrations?
2. Does owner/operator inform the Regional
Administrator about any parameters that exceed
maximum contaminant levels listed in
Appendix III?
3. (Annually) Does owner/operator report
concentrations or values of parameters listed in
§265.92(b)(3) for each well, including required
evaluations for these parameters under §265.93(b)?
a. Does owner/operator also identify
differences from initial background
concentrations found in the upgradient
wells no later than March 1 following each
calendar year?
2. Does owner/operator submit results of the ground-water surface
elevations under §265.93(0, along with a description of the
response, if needed? (§265.94(a)(2))
3. If ground water is monitored to satisfy requirements of
§265.93(d)(4), did owner/operator do the following:
(§265.94(b))
a. Keep records of analyses and evaluations specified in the
plan throughout active life and post-closure?
b. (Annually, until final closure) Submit to the Regional
Administrator a report containing the results of the
ground-water quality assessment program, including the
calculated rate of migration of hazardous waste or
hazardous waste constituents by March 1 following each
calendar year?
IV-42
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements arc in any way altered by any stau-menKs) contained herein.
-------
Ground-Water Monitoring Checklist - OSWER Dir. No. 9938.02(b)
Section E - General Requirements Yes No
1. Does facility comply with the following requirements?
(§264.97)
a. Are sufficient wells installed at appropriate locations and
depths? '
b. Have sampling and analysis techniques been consistent?
c. Have ground-water elevation data been recorded?
d. Have background concentrations been determined?
2. If ground water is monitored to satisfy requirements of §265.93(d)
(4), owner/operator must:
a. Keep records of the analyses and evaluations specified in
the plan throughout the facility's active life, and, for
disposal facilities, throughout post-closure.
b. Report the following ground-water monitoring
information:
1. During the first year when initial background
concentrations are being determined, did
owner/operator submit values within 15 days after
completing analysis?
2. If yes, did owner/operator also submit an
identification of any parameters whose
concentrations exceed maximum levels in
Appendix III?
3. (Annually) Did owner/operator report
concentrations or values of the parameters listed in
§265.93(b)(2) for each well, along with required
evaluations for these parameters under §265.93(b)?
4. Did owner/operator also separately identify any
significant differences from initial background
concentrations for upgradient wells?
5. Did owner/operator report on the results of ground-
water surface elevations (and a description of the
results if necessary) by March 1 of the following
year?
Section F - Detection Monitoriny Program (40 CFR 264.98)
1. Has owner/operator established detection monitoring system to
provide reliable indications for detection releases?
a. If yes, are the following components included in the
system:
IV-43
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statemcnt(s) contained herein.
-------
Ground-Water Monitoring Checklist OSWER Dir. No. 9938.02(b)
Yes No
1. Background values?
2. Determination of ground-water flow rate?
3. Determination of ground-water compliance point
semiannually?
4. Determination of statistically significant
increases over background concentrations?
5. Notification to the Regional Administrator if there .
was a statistically significant increase?
Section G - Compliance Monitoring Program (40 CFR 264.99)
1. Does facility operate a compliance monitoring program?
a. Does facility determine concentrations of hazardous
constituents at least quarterly?
b. Does facility determine ground-water flow rate and
direction in uppermost aquifer annually? (§264.99(e)) .
c. Does facility analyze samples for Appendix IX
constituents annually? (§264.99(g))
d. Does facility make statistically significant increases over
background values? (§264.99(h))
e. If there is an increase, does facility notify the Regional
Administrator and establish a corrective-action program?
(§264.99(h))
Section H • Corrective -Action Program (40 CFR 264.100)
1. Does facility follow a corrective-action program that meets the
facility's permit requirements?
* See RCRA Ground-Water Monitoring Systems (OSWER Directive
Nos. 9950.2, 9950.3, 9950.4)
IV-44
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
-------
Health & Safety Checklist
OSWER Dir. No. 9938.02(b)
7. Health & Safety Checklist
A. FACILITY NAME
EPA ID NO.
B. FACILITY ADDRESS
C. FACILITY OPERATOR INFORMATION
1. Contact Name
3. Address (if different from facility)
2. Phone No.
D. PROCESS UNIT DESCRIPTION (describe type and number of units)
E. TYPE OF OWNERSHIP
1. Federal _2. State _3. County _4. Municipal _5. Private
F. TYPE OF FACILITY
1. Treatment
2. Storage
_3. Disposal
G. REGULATORY STATUS
1. Interim Status
2. Permitted Facility
_3. Part B Permit Appeal Pending (note areas
of appeal)
H. PRINCIPAL INSPECTOR
1. Name
2. Title
3. Organization
4. Telephone No.
I. INSPECTION PARTICIPANTS
Name Organization Phone No.
1.
2.
3.
4.
5.
NOTE: All inspection participants must have current training certification in
accordance with 29 CFR 1910.120.
IV-45
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statemcnt(s) contained herein.
-------
Health & Safety Checklist
OSWER Dir. No. 9938.02(b)
Regulatory
Citation/Description
§§264/265.16(a)(l)
Outline of Personnel
Training Program
RCRA Checklist Item
Is there an outline of the introductory
training program to prepare personnel to
operate or maintain the facility in a safe
manner? (Attach copy of outline or
summarize below.)
Yes
No
Potential
Violation
Is there an outline of the review training
program to prepare personnel to operate or
maintain the facility in a safe manner?
(Attach copy of outline or summarize
below.)
§§264/265.16(d)(l)
§§264/265.16(d)(2)
Job Title/Job
Description
§§264/265. 16(c) and
Training Content,
Frequency, and
Techniques
Does the outline describe how the training
will be designed to meet actual job tasks?
Is on-the-job training used to meet this
requirement?
Is a job title provided for each employee
whose position at the facility is related to
hazardous waste management?
Is a job description provided for each
employee whose position at the facility is
related to hazardous waste management?
Is the personnel training program strictly
classroom instruction?
IV-46
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any siatemcnt(s) contained herein.
-------
Health & Safety Checklist
OSWER Dir. No. 9938.02(b)
Regulatory
Citation/Description
§§264/265.16(a)(2)
Training Director
RCRA Checklist Item
Is the personnel training program strictly
on-the-job training?
Does the training program combine
classroom instruction and on-the-job
training?
Is an annual refresher course required for
personnel whose positions at the facility
are related to hazardous waste
management?
Is the training program directed by a
person trained in hazardous waste
management? (Summarize
qualifications below.)
Yes
No
Potential
Violation
§§264/265.16(a)(2)
Relevance of
Training to Job
Position
§§264/265.16(a)(3)
Training and
Emergency Response
Are facility personnel instructed in
hazardous waste management procedures
(including contingency plan
implementation) relevant to their
positions?
Does the training program include the
following emergency response
procedures?
• Procedures for using, inspecting,
repairing, and replacing facility
emergency and monitoring
equipment?
IV-47
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements arc in any way altered by any slatcment(s) contained herein.
-------
Health & Safety Checklist
OSWER Dir. No. 9938.02(b)
Regulatory
Citation/Description
§§264/265.16(b),(d)(4)
and (3)
Implementation of
Training Program
RCRA Checklist Item
• Key parameters for automatic
waste feed cut-off systems?
• Procedures for utilizing
communications or alarm
systems?
• Directions for responding to fires
or explosions?
• Procedures for groundwater
contamination response?
• Procedures for conducting
shutdown operations?
Are all facility personnel trained within
six months of their employment or
assignment to the facility or transfer to a
new position?
Are facility personnel allowed to work
unsupervised before their training
program has been completed?
Are records maintained which document
that the required training has been given
to and completed by facility personnel?
(Summarize below.)
Yes
No
Potential
Violation
§§264/265.33
Testing and
Maintenance of.
Equipment
Does the owner/operator test and maintain
(as necessary to assure its proper
operation in time of emergency) the
following equipment:
• All communications or alarm
systems?
• Fire protection equipment?
• Spill control equipment?
• Decontamination equipment?
IV-48
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any stnlement(s) contained herein.
-------
Health & Safety Checklist
OSWER Dir. No. 9938.02(b)
Regulatory
Citation/Description
§§264/265.15
General Inspection
Requirements
RCRA Checklist Item
Does the owner/operator maintain a
written schedule at the facility for the
inspection of:
Yes
No
Monitoring equipment?
Safety and emergency equipment?
Security devices?
Operating and structural
equipment?
Does the schedule identify the types of
problems to look for?
Is the frequency of inspection based on the
possible deterioration of equipment and
the probability of incident?
Are areas subject to spills, such as loading
and unloading areas, inspected daily?
Does the owner/operator maintain an
inspection log?
If yes, does the log include:
• Date and time of inspection?
• Name of inspector?
• Notations of observations?
• Date and nature of repairs or
remedial actions?
Have any malfunctions or other problems
not been remedied? (Summarize below.)
Potential
Violation
IV-49
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any slalcmcnl(s) contained herein.
-------
Health & Safety Checklist OSWER Dir. No. 9938.02(b)
Regulatory RCRA Checklist Item Yes No Potential
Citation/Description Violation
§§264/265.35 Does the facility maintain aisle space to
Required Aisle Space allow unobstructed movement of
personnel, fire protection equipment, spill
control .equipment, and decontamination
equipment?
If aisle space is not maintained, has the
owner/operator demonstrated to the
Regional Administrator that the space is
not needed?
§§264/265.32 Is the facility equipped with the following:
Equipment
Requirements • An internal communications or
alarm system capable of providing
immediate emergency instruction
(voice or signal) to facility
personnel?
• A device such as a telephone
(immediately available) or
handheld two-way radio capable of
summoning emergency
assistance from police, fire, or
state or local emergency response
teams?
• Portable fire extinguishers?
• Fire control equipment (including
special extinguishing equipment
such as foam, inert gas, or dry
chemical)?
• Spill control equipment?
• Decontamination equipment?
• Water at adequate volume and
pressure to supply water hose
streams, or foam producing
"*"" equipment, or automatic
sprinklers, or water spray
systems?
IV-50
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements arc in any way altered by any stnlcmenl(s) contained herein.
-------
Health & Safety Checklist OSWER Dir. No. 9938.02(b)
Regulatory RCRA Checklist Item Yes No Potential
Citation/Description Violation
§§264/265.17(a) and (b) Does the facility handle ignitable or
Requirements for reactive waste?
Ignitable, Reactive, or
Incompatible Wastes If yes:
Does the owner/operator take the following
precautions to prevent accidental ignition
or reaction of wastes?
• Separate and protect ignitable or
reactive wastes from sources of
ignition or reaction (open flames,
smoking, cutting, welding, hot
surfaces, frictional heat, static
electrical or mechanical sparks,
spontaneous ignition, and radiant
heat)?
• Does the owner/operator confine
smoking and open flames to
specially designated locations,
while ignitable or reactive waste is
being handled?
• Are "No Smoking" signs placed
conspicuously wherever there is a
hazard from ignitable or reactive
waste?
Does the owner/operator have procedures
in place to prevent accidental ignition or
reaction of wastes? (Summarize below.)
§§264/265.50 through Does the owner/operator have a
§265.56 Contingency Plan, or a Spill Prevention
Contingency Plan Control and Counter measures (SPCC)
Plan, or some other emergency plan, that
is amended for hazardous waste
management?
IV-51
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any stalx-menUs) contained herein.
-------
Health & Safety Checklist OSWER Dir. No. 9938.02(b)
Regulatory RCRA Checklist Item Yes No Potential
Citation/Description Violation
Is a copy maintained at the facility?
Has a copy been submitted to all local
police and fire departments, hospitals,
and State and local emergency response
teams?
Does the plan describe the control
procedures taken in the event of a fire,
explosion, or release?
Does the plan describe how and when it
will be implemented?
Does the plan describe arrangements
agreed to by local police and fire
departments, hospitals, contractors, and
State and local emergency response teams
to coordinate emergency services?
Does the plan list names, addresses, and
phone numbers (office and home) of all
persons qualified to act as emergency
coordinators?
Is one person named as the primary
coordinator?
Does the coordinator have the authority to
commit the resources to carry out the
emergency plan?
Does the plan physically describe and
identify the location of all emergency
equipment at the facility?
Does the plan include provisions to ensure
that the equipment is cleaned and fit for its
intended use before operations are
resumed?
Does the plan include an evacuation plan
for facility personnel?
FV-52
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any stalement(s) contained herein.
-------
Health & Safety Checklist OSWER Dir. No. 9938.02(b)
Regulatory RCRA Checklist Item Yes No Potential
Citation/Description Violation
Does the plan describe:
• Signal(s) to be used to begin
evacuation?
• Evacuation routes?
Does the plan describe the methodology for
immediate notification of:
• Facility personnel?
• State or local agencies with
designated response roles?
Does the plan include procedures for
identification of released materials?
Does the plan include procedures/criteria
to assess possible hazards to human health
and the environment that may result from
the release, fire, or explosion?
Does the plan describe all reasonable
measures necessary to ensure that fires,
explosions, or releases do not occur,
reoccur, or spread to other hazardous waste
at the facility?
Does the plan describe procedures to
monitor for leaks, pressure buildup, gas
generation, or ruptures in valves, pipes, or
other equipment if the facility stops
operation in response to a fire, explosion,
or release?
IV-53
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements arc in any way altered by any statcment(s) contained herein.
-------
Health & Safety Checklist
OSWER Dir. No. 9938.02(b)
Regulatoiy
Citation/Description
§§264/265.37
Necessary
Agreements with
Local Authorities
RCRA Checklist Item
Has the owner/operator made the
following arrangements:
• Familiarized police, fire
departments, and emergency
response teams with the layout of
the facility and associated
hazards?
• Designated one police and fire
department with primary
emergency authority when more
than one might respond?
• Agreements with State emergency
response teams, contracts, and
equipment supplies?
• Familiarized local hospitals with
the properties of waste handled at
the facility and the types of
injuries or illness that could
result?
• Where authorities decline to enter
into such arrangements, has the
owner/operator documented the
refusal?
Are containers holding hazardous waste
closed during storage, except when waste
is added or removed? (If no, attach
narrative.)
Subpart I - Containers Check here if containers are present at the
Yes
No
Potential
Violation
§§264/265.173(a),(b)
Management of
Containers
§§264/265.177
Special Requirements
for Incompatible
Wastes
facility. If no, go to Subpart J.
Does the facility have procedures to ensure
that containers holding hazardous waste
are not opened, handled, or stored in a
manner that may rupture the container or
cause it to leak?
Does the facility have procedures to ensure
that incompatible wastes are not placed in
the same containers or in unwashed
containers that previously held
incompatible waste?
IV-54
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any stalcmcnt(s) contained herein.
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Health & Safety Checklist
OSWER Dir. No. 9938.02(b)
Regulatory
Citation/Description
Subpart J - Tanks
RCRA Checklist Item
Are storage containers holding a
hazardous waste that is incompatible with
waste or other materials stored in nearby
containers, piles, open tanks, or surface
impoundments, separated from the other
materials or protected from them by
means of a dike, berm, wall, or other
device?
Are ignitable or reactive wastes treated,
Yes
No
Potential
Violation
§§264/265.198(a)(l and rendered, or mixed before or immediately
2)
Special Requirements
for Ignitable or
Reactive Wastes
§§264/265.199(b)
Incompatible Wastes
§265.200(a)(b)
Waste Analysis
(Specific requirement
for interim status
facilities)
after placement in the tank so that:
• The resulting mixture no longer
meets the definition of an
ignitable or reactive waste?
• Section 264.17(b) is complied with?
Are wastes stored or treated in such a way
that they are protected from any material
or conditions that may cause the wastes to
react or ignite?
Note: Facilities do not need to comply with
the above if the tank system is used for
emergency purpose only.
Before a hazardous waste is stored in a
tank that previously held an incompatible
waste or material, is it thoroughly
decontaminated?
Is a waste analysis or trial treatment
conducted whenever a tank system is used
to store a hazardous waste substantially
different from waste previously treated or
stored; or used to treat chemically a
hazardous waste with a substantially
different process than any previously used
in that system?
IV-55
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements arc in any way altered by any statemcnt(s) contained herein.
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Health & Safety Checklist
OSWER Dir. No. 9938.02(b)
Regulatory
Citation/Description
Subpart 0 -
Incinerators
§§264/265.347(b)
Monitoring and
Inspections
§264.347(c)
(Not applicable to
interim status
facilities)
§264.345(d)
(Not applicable to
interim status
facilities)
RCRA Checklist Item
Ifnoto§265.200(a):
Has written, documented information on
similar waste under similar operating
conditions been obtained to show that the
proposed treatment or storage will meet the
requirements of §265.194(a)?
Is the complete incinerator and associated
equipment (pumps, valves, etc.) inspected
daily for leaks, spills, and fugitive
emissions?
Are emergency waste cut-off systems and
associated alarms tested weekly?
Is the incinerator combustion zone sealed?
If this is a rotary kiln incinerator, is there
black smoke or evidence of emissions?
Is the combustion zone pressure lower than
atmospheric pressure? If no, what is the
reading? (Explain below.)
Yes
No
Potential
Violation
If the pressure is not measured in the
combustion zone, what alternative
methods are used equivalent to
maintenance of combustion zone
pressure? (Explain below.)
IV-56
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any stntemcnt(s) contained herein.
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Health & Safety Checklist
OSWER Dir. No. 9938.02(b)
Regulatory
Citation/Description
§264.345(e)
Operating
Requirements
(Not applicable to
interim status
facilities)
Part 264/265
Unplanned
Incinerator Stack
Emissions
RCRA Checklist Item
Yes
No
Potential
Violation
Determine whether there is a functioning
system to automatically cut off waste feed
to the incinerator when operating
conditions deviate from the permitted
levels? (Optional: Facilities can
simulate operating conditions to trigger
the shut-off ...inspector should observe
actual shut-off)
How many times did the emergency
bypass stack open during the past 6 months
of operation? Times
How long did it last each time in average? Minutes
How many times was the automatic waste
feed cut-off system activated during the
past 30 days of operation? Times
Due to CO excursion? Times
Due to Temperature excursions? Times
Due to Waste feed excursions? Times
Other causes? Times
IV-57
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements arc in any way altered by any stnlcmcnt(s) contained herein.
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Incinerator Checklist OSWER Dir. No. 9938.02(b)
8. Incinerator Checklist
I. Background
The attached set of forms identify activities appropriate for compliance inspection of RCRA
incinerators. The set of checklists includes:
• Checklist No. 1 - Permit and Operating Conditions
• Checklist No. 2 - Visual Assessment and Audit Activities for an "In-Depth"
Inspection
• Checklist No. 3 - Visual Assessment and Audit Activities for a "Walk-Through"
Inspection
The checklists are designed to be used for two types of inspection -- a "walk-through"
inspection requiring about 3 to 4 hours and an "in-depth" inspection requiring 1 to 5 days. The
following usage of checklists is suggested:
"Walk-through" Inspection "In-depth" Inspection
Checklist No. 1 Checklist No. 1
Checklist No. 3 Checklist No. 2
II. Notes on Individual Checklists
• Checklist No. 1 is based on EPA guidance (June 1988 draft of "Guidance on Trial
Burn Reporting and Setting Permit Conditions"). Blanks are included for
additional parameters. Multiple sets of Checklist No. 1 may be used to evaluate
operations at various selected times during a multi-day "in-depth" inspection or to
evaluate past operations at selected times using facility records. All calculations
must be documented in extra calculation pages. Note in the checklist the page
numbers of the documented calculations.
• Checklist No. 2 is for "in-depth" inspections only. Part I is highly subjective,
relying on judgment. Part II includes activities that may require scheduling to
avoid interferences with facility operations (e.g., testing of automatic waste feed
cutoff) and arranged meetings with facility managers and laboratory staff.
• Checklist No. 3 includes visual assessment and audit items of highest priority
from Checklist No. 2. This checklist is intended for "walk-through" inspections
only. Activities may require scheduling to avoid interference with facility
operations.
IV-58
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any sinlement(s) contained herein.
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Incinerator Checklist . OSWER Dir. No. 9938.02(b)
III. General Instructions
Fill in permit conditions in advance; label units correctly.
Before conducting an inspection, review the most recent plant inspection report.
Use calculation sheets if observed values must be converted to the units of the
permitted values.
Note ranges of values if significant fluctuations are noted during the observation
period.
Use extra pages as necessary.
Fill out all information as it is collected; do not depend on your memory. If
information is not available, indicate that on the form.
Document the sources of all information, especially if it pertains to potential permit
violations. For example, did someone tell you something, did you personally
observe it, or did you read it in a file?
IV-59
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements arc in any way altered by any slatement(s) contained herein.
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Incinerator Checklist OSWER Dir. No. 9938.02(b)
RCRA INCINERATOR INSPECTION
Checklist No. 1 - Permit and Operating Conditions
Essential Information
Facility _ EPA ID No.
Address Facility Staff Involved (and
position):
Primary Contact.
PhoneNo.
Names of Inspectors
(and offices)
Dates of Visit
Time of Arrival
Incinerator(s) Inspected
Permit Identification and Date of Issue
(Date of most recent modification)
Operational Status of Incinerator(s)
Date of Last Inspection
(by State)
(by EPA)
Pending Enforcement Action(s)
Previous Violation(s)_
Checklists Attached: No. 1 (number of sets
No. 2
No. 3
(Attach additional pages if necessary)
IV-60
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements arc in any way altered by any slalement(s) contained herein.
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Incinerator Checklist OSWER Dir. No. 9938.02(b)
(ChecldistNo. 1)
Description of incineration system (a block diagram showing the types and arrangement of
equipment is recommended).
IV-61
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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Incinerator Checklist OSWER Dir. No. 9938.02(b)
(Checklist No. 1)
TT. flomnariann of Permit and Operating Conditions
Date
Time Readings Began
Time Readings Ended
Permitted Permitted Observed
Maximum Minimum Reading(s) Calculated
A. Permit Operating Parameters (units) (units) (units) Value
1. Temperature measured at each
combustion chamber exit
a. Primary NA
b. NA
c. Secondary NA
^•without flame
^with flame
2. CO emissions measured at the stack
or other appropriate location ;
(Location: )
Yes No
Does CO monitor automatically correct all readings to 7%
O2 based on actual 02 stack concentration?
Does permit require 02 correction?
Does permit specify the correction factor to be used?
If so, list it:
Date correction factor last determined:
Describe any changes made in 02 correction factor
• Permit-specified frequency for verifying 02 correction
factor
• If a 60-minute rolling average is required, does the
observed reading reflect a 60-minute rolling average?
Applicable?
If no, attach data and calculate the average
Total Hydrocarbons as methane:
3. 02 emissions (location):
4. Flue gas flow rate or velocity
measured at stack
IV-62
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any stalement(s) contained herein.
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Incinerator Checklist OSWER Dir. No. 9938.02(b)
(Checklist No. 1)
Permitted Permitted Observed
Maximum Minimum Reading(s) Calculated
Permit Operating Parameters (units) (units) (units) Value
5. Feed rate of each waste stream to each combustion chamber.
Yes No
Containerized waste feeds covered under item 10?
Waste Stream
Chamber (Name or identifier)
a.
b.
c.
d.
e.
f.
6. Pressure in primary chamber:
7. Air pollution control:
a. ratio of the steam flow to the
hydrosonic scrubber NA
(pounds/hr) to stack gas flow
rate (ACFM)
b. pH of liquid to the packed
tower
c. pH of liquid to hydrosonic
scrubber
d. conductivity of the scrubber
liquor blow down
e. liquid flowrate to the packed
tower
f. liquid flowrate to the
hydrosonic scrubber
g. inlet temperature to the packed
tower
IV-63
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any stntcmcnt(s) contained herein.
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s (Checklist No. 1 - Cont'd)
ctf 8. Liquid injection burner settings: °
o t
oo 3
S Permitted |
^ Permitted • Minimum Observed «
2 Maximum Burner Observed Nominal Calculated Atomization Atomization z;
g Feed Rate/ Burner Burner Burner Fluid Fluid 6
K Chamber Burner No. Turndown Ratio Flow Rate Flow Rate Turndown Pressure Pressure §
CO ft
O a-
b.
b.
o
-*^
s
0)
••*
o
•o-^
3 ^
& 0>
c
t. .^>
,0 ffl
9. Containerized waste feed system limitations: 1: E
S3
c ^
Chamber Feed Rate Permitted Container Observed Container * "
Type and Size Type and Size "| a
a. NONE ^. 11
1 q- """"-"' — ~ ~ " ' — "-11"1 ^-^~-.™t- ^ ._ o
-^'
j °
W c
tj o
W o
c. S 6
w
u •-
u
w
OT
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or regulatory requirements are in any way altered by any
statemenUs) contained herein.
-------
Incinerator Checklist OSWER Dir. No. 9938.02(b)
(Checklist No. 1 - Cont'd)
Permitted Permitted Observed
Maximum Minimum Reading(s) Calculated
Permit Operating Parameters (units) (units) (units) Value
10: Additional permit conditions
Monitor the following process parameters in addition to those previously mentioned:
a. quench water flow
b. flue gas flow rate
c. oxygen flow rate
IV-65
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any slatement(s) contained herein.
-------
o
00
CO
O>
6
a
O
(Checklist No. 1 - Cont'd)
B. Characteristics of wastes and fuels fed during the observation period:
1. Organics and physical characterization
•8
*
S
Organic constituents Heating Specific
IK
(a)
(b)
(1)
(0
(d)
(1)
(limitations, Ash Chlorine Viscosity Value Gravity
compounds, etc) ( ) ( ) ( ) (Btu/lb) ( )
Combined waste
stream limitations in
permit -
Limitations to permit for individual waste streams:
Waste
Chamber Stream
Organic constituents Heating Specific
(limitations, Ash Chlorine Viscosity Value Gravity
compounds, etc) ( ) ( ) ( ) (Btu/lb) ( )
Analysis
characteristics of
combined waste stream
Characterization of
waste streams fed (Range of Dates of Analysis )
during inspection:
Waste
Chamber Stream
Other -S J8
( ) 11
i- .!-.
>§
o o
O "T"*
IV-66
This manual is intended
altered by any statement
S *
Other | o
( ) o «
el
FOR USE BY EPA INSPECTION
regulatory requii
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or regulatory requirements are in any way altered by any
statemenUs) contained herein.
-------
.0
o
en
o
to
(Checklist No. 1 - Cont'd)
2. Metals
(a) Combined waste stream limitations
in permit
(b) Limitations in permit for
individual waste streams:
Metals (ppm)
"Carcinogenic"
"Noncarcinogenic"
-
S
|
il
H
_P'S
Chamber
Waste Stream
(i)
(1)
(a) Analysis characteristics of combined
waste streams
(b) Characterization of waste streams
fed during inspection:
Chamber
Waste Stream
g >>
6 1>
r- * 2
*9 x 3
> H "3
o
ei
S-S
o 5
Pff
o S
-*;
o
n.
u
g
w
S
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or regulatory requirements are in any way altered by any
statement^) contained herein.
-------
o
06
03
05
• 3. Auxiliary fuel and total heat input:
(Checklist No. 1 - Cont'd) fe
fr
s
g a. Observed . c
K Auxiliary Fuel Flow Rate Heating Value Heat Input From § £
S Type of Fuel Chamber (units) (units) Fuel (units) TZ^
S. «m i . ..• ,,,m,m i I I - -!•!• '•• • —• -•• " i - i •-• i I I 3 "O
co a 2
O
Permitted total heat input
Observed fuel heat input
Observed waste heat input
Observed total heat input
•s
O
•*•»
I
e
**^»
O
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or regulatory requirements are in any way altered by any
atatemenUs) contained herein.
c
>>§
d) U
11
o o
c c
"" tfl
VI
b. Total Heat Input (units) £ >>
a _£
EU
K c
Si
Z 2
o '5
Hg-
0 "
U x
8s f
S-
CO
w
OT
-------
Incinerator Checklist • OSWER Dir. No. 9938.02(b)
Checklist No. 2 -- Visual Assessment and Audit Activities
for an "In-Depth" Inspection
A. Observation of Equipment/Function fl. etc. = Problem note (see below)]
Leaks/ Structural Proper Safe
Emissions Seals Integrity Function Issue
• Waste unloading
Waste storage/blending
• Waste handling/piping
Waste feed/fuel systems
Combustion
chambers/burners
Kiln drive system
Combustion air fans
Pollution control devices
• Packed Tower Absorber
• Hydrosonic Scrubber
Emergency vent stack
(dump stack)
Process instrumentation
Ash handling system
Scrubber effluent
handling
Notes
1.
IV-69
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statcmcnl(s) contained herein.
-------
Incinerator Checklist OSWER Dir. No. 9938.02(b)
(Checklist No. 2 - Cont'd)
B. Observed Operations [Give brief description of problem, or reference a Note below (1,2,
etc.)]
Status/Comments
-- Records of permit parameters (complete, accessible)
-- Proper identification of date, time, and units on strip
charts
-- Records of waste acceptance
- handling
- characterization
-- Log of inspections
- calibrations
- maintenance
- Subjective evaluation of operators
-- Staff knowledge of emergency procedures
contingencies
- Handling/fate of residuals
• Primary chamber ash
• Scrubber effluent ( )
• Scrubber effluent ( )
-- Appearance of stack emissions
Notes
1.
IV-70
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by nny statcment(s) contained herein.
-------
Incinerator Checklist OSWER Dir. No. 9938.02(b)
(Checklist No. 2 - Cont'd)
C. (rf neral Quality of Operation
Comments
-- Odors
- Housekeeping
• Storage areas
• Waste feed areas
• Control room
• General facility
• Laboratory
IV-71
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way allcred by any stntcmcnt(s) contained herein.
-------
(Checklist No. 2 - Cont'd)
m II. In-Depth Audits and Documentation Review £
3
• {g
£; A Audits of Equipment Function «
> 1. Continuous Emission Monitors £ •
fyf (J Q
g Observe a calibration check by facility staff of each CEM required in the permit. 5 jj
" "i«
u . Calibration u .5
Instrument Extractive Frequency of Manual or Automatic reference
Parameter Manufacturer Model No. or in situ Calibration Calibration material •% 2.
g £
"S ^
co •«!
2 2
c a
CO
02
THC
O2 .2 "
: 1 g
THC g £
(N „,"?
NO ^ ^ ^ 2
NU x > H -5
^^-^^^~"^^^^^^^ ^^—^^^^^^^^.— ^^^^^"^^""^•^""'^ """""^^^^^ ^^— ^~~~^ "^•— I-H
>< ffl
Calibration ° g
Certified Concentration g ^
Instrument Reading of Reference Materials g 2
Date/Time of Std. Std. Std. "~Std StcL Std~ g |
Parameter Observation "Zero" No. 1 No. 2 No. 3 Correction No. 1 No. 2 No. 3 £ £
o '3
££
Si
S 2
u
PQ
W
OT
2
| g
,£• c. Modifications - Major instrument or sampling location been changed since the permit was issued/modified? ^
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or regulatory requirements are in any way altered by any
statemenUa) contained herein.
-------
Incinerator Checklist
OSWER Dir. No. 9938.02(b)
2.
(Checklist No. 2 - Cont'd)
Observe the operation of the automatic waste feed cutoff system in response to simulated
upset conditions for each automatic cutoff condition required in the permit [Note: At least
one test must involve an actual shutdown. *S = Simulated, A = Actual]
Automatic
Cutoff Conditions
• Minimum temperature
Chamber (kiln)
Chamber (kiln)
Chamber (2nd)
• Maximum CO
• Other CO limit
• Maximum flue gas flow
rate/velocity
• Maximum feed rate
(stream)
• Pressure in primary
combustion chamber
• Air pollution control:
quench water
Comb Eff
Stack Q£
Loss of Fan
Loss of Power
Permit Limits
Observed
____ Adequate
Value Time Lag Value Time Lag S or A* Function?
none
IV-73
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements arc in any way altered by any statemcnt(s) contained herein.
-------
Incinerator Checklist OSWER Dir. No. 9938.02(b)
(Checklist No. 2 - Cont'd)
3. Review documentation of the most recent calibration of the monitoring instrumentation
for all permit operating parameters specified in the permit. Discuss procedures used with the
facility staff. (Provide notes for each parameter -- attach note pages as applicable.)
System • Frequency of Date of Last Stat
Calibration Calibration
• Temperature
Kiln
Secondary Chamber
Packed Tower
• Flow rates
Oxygen
Packed Tower Water
Hydrosonic Scrubber Water
Water Flow to Quench System
Flue Gas Flowrate
Waste Feed Rate
Steam Feed Rate
• Steam Drum Water Level
• Packed Tower pH
• Hydrosonic Scrubber pH
IV-74
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements arc in any svny altered by any sliiu-mcntfs) contained herein.
-------
Incinerator Checklist OSWER Dirv. No. 9938.02(b)
(Checklist No. 2 - Cont'd)
B. Audits of Waste Characterization and Handling [ 1, etc. = Problem note (see below)]
Status
1. Review of Waste Characterization
a. Analysis of appropriate parameters
b. Frequency of analysis
c. Adequate analysis documentation (subjective)
2. Review of Waste Handling Documentation
a. Waste acceptance
-- Manifest/Logs
-- "Fingerprint" analysis
b. Blending/feeding logs
3. Review of on-site laboratory (optional)
a. Calibration records
b. Maintenance records
c. Availability of Analytical and QA/QC Procedures
C. Review of Other Records Required bv the Permit
1. Records of Dump Stack Openings
- Openings documented: incidents since (date of
last inspection) or in last 12 months reported to
state or EPA
- Temperature maintained during openings
- Minimum airflow maintained during openings
-Causes
- Corrective actions
2. Records of Automatic Waste Feed Cutoff (AWFCO)
- Documented
- Frequency of cutoff incidents ( per month or per
day (average of days))
-Major causes for AWFCO
IV-75
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statcmcnl(s) contained herein.
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Incinerator Checklist . OSWER Dir. No. 9938.02(b)
(Checklist No. 2 - Cont'd)
3. Inspection Logs/Calibration Records
Complete
Adequate schedule
. - Recurringproblems
4. Maintenance Records
Timely corrective action
Complete
Routine maintenance performed on schedule
Frequency?
Note any recurring maintenance problems
List any equipment replaced since last inspection (obtain manufacturer's
snerifirarinns}
specifications)
D. Audit of Waste Analysis (optional)
Provide check samples for analysis by the facility lab or obtain sample splits for
return to agency labs (or agency contractor lab)
Document the origin of each sample
Identify the parameters for analysis, analysis methods, sampling
handling/storage limitations, and any essential QA/QC requirements to be
completed by the facility's lab and the agency lab (if applicable)
Notes:
IV-76
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any stnlement(s) contained herein.
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Incinerator Checklist OSWER Dir. No. 9938.02(b)
Checklist No. 2 - Incinerator Specific Checklist (Optional)
to Curb Fugitive Emissions
The following checklist (optional) contains the protocol to assess the procedures and devices used to
control fugitive emissions from the material handling aspects of incineration facilities.
Recognizing the fact that the majority of fugitive air emissions from a hazardous waste
incineration facility emanate from the material handling phase of its operation, and that a RCRA
incinerator permit traditionally did not address the subject, it is imperative that the facility take
appropriate measures to alleviate the potential risk of injury to public health and the environment.
Regulatory RCRA Checklist Item Yes No
Citation &
Description
Waste Unloading/Transfer Operation
Is there a vent gas emission control device in place for
loading/unloading liquid transport vehicles?
If yes, describe.
§264.31 Is there a fugitive air emission control device, or
and procedures, in place for the following?
§265.31
• Flex hose couplings/drip pans?
If yes, describe:
Cleaning/replacing liquid filters and strainers?
If yes, describe:
Loading/unloading bulk solid wastes?
Is there a vent gas emission control device for
liquid waste storage tanks?
If yes, describe:
Is there a fugitive air emission monitoring
device in the loading/unloading areas?
If yes, describe:
IV-77
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements arc in any way altered by any slatemenl(s) contained herein.
-------
Incinerator Checklist
OSWER Dir. No. 9938.02(b)
Regulatory
Citation &
Description
RCRA Checklist Item
Size Reduction/Shredding Operation
Is there a fugitive air emission monitoring
device in the following areas?
• Container repackaging area?
• Drum/container shredding area?
Is there a fugitive air emission control device, or
procedures, in place for the following areas?
• Container repackaging area?
If yes, describe:
• Drum/Container shredding area?
If yes, describe:
Yes
No
Incinerator Feeding/Residue Removal
Is there a fugitive air emission control device, or
procedures, in place for the following?
• Cleaning/replacing liquid strainers or
filters?
If yes, describe:
• Ash removal/accumulation area?
If yes, describe:
• Scrubber blowdown/recycle tank?
If yes, describe:
IV-78
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements arc in any wny altered by any staicmcnt(s) contained herein.
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Incinerator Checklist ' OSWER Dir. No. 9938.02(b)
Regulatory RCRA Checklist Item Yes No
Citation &
Description
§264.31 Unplannpd Incinerator Stack Emissions
§265.31
§264.340 • How many times did the emergency
'bypass stack open during the past
6 months of operation? Times
How long did it last each time, on
average? Minutes
• How many times was the automatic
waste feed cut-off system activated
during the past 30 days of operation? Times
Due to CO excursion? Times
Due to temperature excursion? Times
Due to waste feed excursion? Times
Other causes? Times
(Note: The opening of the emergency bypass stack and the activation of the automatic
waste feed cut-off system, normally implies that the incinerator has failed to
meet one or more of the performance standards identified in the Federal
incinerator rule, 40 CFR Part 264, Subpart 0. They may also imply that the
incinerator has violated the operating limits provided in the RCRA permit,
depending on how the operating condition was written in the permit. If the
permit was written to prohibit the Permittee from feeding waste into the
incinerator when the operating conditions deviate from the permit limits, then
the activation of automatic waste feed cut-off system would not imply violation of
the permit conditions. On the other hand, if the permit was written to prohibit the
facility from incinerating hazardous wastes, when the operating conditions
deviate from the permit limits, then the Permittee has clearly violated the permit
conditions, when the waste feed cut-off was activated.)
General Ambient Air Monitoring Yes No
• Does the facility monitor ambient air?
If yes, describe location, frequency, and
monitoring parameters
IV-79
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any siniemcnl(s) contained herein.
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Land Disposal Restrictions Checklist
OSWER Dir. No. 9938.02(b)
9. Land Disposal Restrictions Checklist
I. GENERAL INFORMATION
Facility:
U-S.EPAIDNo.:
Street
City:
State:
Zip:
Telephone:
Inspection Date:
Weather Conditions:
Time:
_(am/pm)
Name
Agencv/Title
Telephone
Inspectors:
Facility Representatives:
See Appendix B to determine which of the following LDR waste codes exist in the following
categories at the facility:
Generate
Transport
Treat
Store
Dispose
F001-F005 Solvents
F020-F023
and F026-F028
IV-80
• FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any slatcmenKs) contained herein.
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Land Disposal Restrictions Checklist OSWER Dir. No. 9938.02(b)
California List
First Third
(40CFR268.101)
Second Third
(40CFR268.il)
Third Third
(40CFR268.12)
IV-81
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statcment(s) contained herein.
-------
Land Disposal Restrictions Checklist OSWER Dir. No. 9938.02(b)
INSPECTION SUMMARY
Processes That Generate LDR Wastes:
LDR Waste Management:
Summary:
Signature:
IV-82
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements arc in any way altered by any slatement(s) contained herein.
-------
Land Disposal Restrictions Checklist OSWER Dir. No. 9938.02(b)
IL WASTE IDENTIFICATION
A. List waste codes which the facility handles in each of the following LDR categories*:
1. F001 through F005 spent solvents (§268.30):
2. F020-F023 and F026-F028 dioxin-containing wastes (§268.31):
3. California List Wastes (§268.32) (See Appendix A):
4. First Third Wastes (§268.33):
5. Second Third Wastes (§268.34):
6. Third Third Wastes (§268.35)**:
*See Appendix B.
* * Note: Effective 09/25/90, large quantity generators and TSDs were required to use the
toxicity characteristic leaching procedure (TCLP) instead of the extraction procedure
(EP) for determining the toxicity characteristic (TC). Small quantity generators must
comply with this new requirement by 03/29/91. The LDR applies to EP toxic wastes and
not to "newly identified" wastes which exhibit TC. TC wastes will be regulated under
40 CFR Part 268 only after they have been designated with LDR treatment codes or
standards. Even if the former EP waste is also TC characteristic, it is only subject to
LDR if it continues to fail the EP: If it fails the TC, it will not be subject to LDR until
EPA has established a new treatment standard.
B. Waste Code Determination
1. Have all waste codes been correctly identified for purposes of compliance with
§§268.9 and 262.11.*
No
If no, list below:
Assigned Classification' Correct Classification
IV-83
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any stalcmcnt(s) contained herein.
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Land Disposal Restrictions Checklist OSWER Dir. No. 9938.02(b)
* Areas of concern (See Section 2.0) include: California List/waste categories with
more stringent treatment standards; listed/characteristic; multi-source/single-
source leachate; P and U waste codes/F and K wastes; and waste code carry
through principle.
Comments:..
2. Have both the listed and characteristic waste code been assigned, where a listed
waste exhibits a characteristic? (§268.9(a))
Yes No NA
Comments:
3. Is the waste classified as D001, non-High TOG Ignitable Liquids Subcategory? If
so, has the waste been treated by INCIN, FSUBS, or RORGS? Has the generator
determined the underlying hazardous constituents (as defined in §268.2) that are
reasonably expected to be present in the waste? (§268.9(a))
Yes No __ NA
Comments'
4. Is the waste classified as D002, and prohibited under §268.37? Has the generator
determined the underlying hazardous constituents (as defined in §268.2) that are
reasonably expected to be present in the waste?
Yes No NA
Comments;
5. Has multi-source leachate been assigned the F039 waste code?* (§261.31)
Yes No NA
* Leachate derived exclusively from F020-F023 and/or F026-F028 dioxin wastes
retains the individual waste codes.
If yes, was single-source leachate combined to form multi-source leachate? (55 FR
22623)
Yes No
»
Comments:
IV-84
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statemcnt(s) contained herein.
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Land Disposal Restrictions Checklist OSWER Dir. No. 9938.02(b)
C. Does the facility handle the following wastes (national capacity variances)?
1. Debris contaminated with wastes that had treatment standards set in the Third
Third rule based on incineration, mercury retorting, or vitrification. See
Appendix A (expires - 05/08/94). (§268.5)
Yes No List
2. Inorganic solid debris as defined in §268.2(g)*; includes chromium refactory
bricks carrying EPA Hazardous Waste Nos. K048-K052 (expires - 05/08/94).
(§268.35(c))
Yes No List
"Note: Incorrect reference (§268.2(a)(7)) in Third Third rule.
3. Debris contaminated with wastes listed in §268.12, and/or debris contaminated
with any characteristic wastes for which treatment standards are established in
Subpart D of Part 268 (expires 05/08/94). (§268.35(e)(l))*
Yes No List.
*Note: Generator must demonstrate a good faith effort to locate treatment capacity
suitable for its waste, utilize such capacity if found available, or file a report as
required by §268.5(g) by August 12, 1993 or within 90 days after the hazardous waste
is generated (whichever is later) describing the generator's efforts to locate
treatment capacity.
4. Mixed radioactive hazardous debris contaminated with wastes listed in §268.12
and mixed with radioactive hazardous debris contaminated with any
characteristic waste for which treatment standards are established in 40 CFR Part
268, Subpart D (expires 05/08/94). (§268.35(e)(2))*
Yes No List.
*Note: Generator must demonstrate a good faith effort to locate treatment capacity
suitable for its waste, utilize such capacity if founH available, or file a report as
required by §268.5(g) by August 12, 1993 or within 90 days after the hazardous waste
is generated (whichever is later) describing the generator's efforts to locate
treatment capacity.
IV-85
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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Land Disposal Restrictions Checklist OSWER Dir. No. 9938.02(b)
m. GENERATOR REQUIREMENTS
A. Wastewater/Non Wastewater Category and Treatabili ty Group/Treatment Standard
Identification*
"Note: This information is generally available on LDR notifications. If not, waste
profile data and other documentation should be checked.
1. F001-F005 Spent Solvent Wastes: Does the generator correctly determine the
appropriate Wastewater/Non Wastewater Category and treatment standard for
each F-solvent?
Yes No NA
If available, list each waste code and check the correct treatability group.
Waste Code Wastewater* Non Wastewater
Comments.
* Less than 1 percent by weight total organic carbon (TOG), ar less than 1 percent
by weight total F001- F005 solvent constituents listed in §268.41, Table CCWE.
(5268.2(f)(D)
2. F020-F023 and F026-F028 Dioxin Wastes: Does the generator correctly determine
the appropriate treatability group/treatment standard for each dioxin waste?
Yes No NA
If yes, list each waste code and check the correct treatability group.
Waste Code Wastewater* Non Wastewater
Comments.
* Less than 1 percent TOC by weight and less than 1 percent total suspended solids
(TSS) by weight. (§268.2(0)
3: First, Second, and Third Third Wastes:
a. Does the generator correctly determine the appropriate treatability
group/treatment standard for each waste?
Yes No NA •
IV-86
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements ore in any way altered by any statemenl(s) contained herein.
-------
Land Disposal Restrictions Checklist OSWER Dir. No. 9938.02(b)
If available, list each waste code and check the correct treatability group:
Waste Code Suhcateerorv Wastewater* Non Wastewater
* Less than 1 percent TOG by weight and less than 1 percent total suspended solids
(TSS) with the following exceptions: K011, K013, and K014 wastewaters (as
generated) -- less than 5 percent by weight TOC and less than 1 percent by weight
TSS; K103 and K104 wastewaters (as generated) - less than 4 percent by weight
TOC and less than 1 percent by weight TSS. (§268.2(0(2) and (3))
Comments.
b. Do the assigned treatment standards for listed wastes cover constituents
that may cause the waste to exhibit any characteristics? (§268.9 (b))
Yes No NA
c. Does the generator specify alternative treatment standards for lab packs?*
(268.42(c))
Yes No NA
"Use of the alternative treatment standards is not required. (55 FR 22629)
If yes, do lab packs only contain the following wastes?* (§268.42(c)(2))
Organometallics: Part 268, Appendix IV constituents
Organics: Part 268, Appendix V constituents
* Unregulated wastes and hazardous wastes which meet treatment standards may
be commingled in the appropriate Appendix IV and V lab pack. (55 FR 22629)
d. Does the generator specify the treatment standards for the relevant F039
multi-source leachate constituents?*
Yes No NA
*Use of the alternative treatment standards is required. (55 FR 22619)
4. California List Wastes: Has the generator correctly identified the wastewater/non
wastewater category and treatment standard/prohibition level for the following
wastes? (55 FR 22675)
a. Liquid hazardous wastes containing PCBs ^50 ppm (268.32(a)(2))
Yes No NA
IV-87
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any stalomcnt(s) contained herein.
-------
Land Disposal Restrictions Checklist OSWER Dir. No. 9938.02(b)
If yes, check the appropriate category (treatability group) (see §268.42(a)(D):
50 to 500 ppm PCBs
^500 ppm PCBs
b. Listed or characteristic wastes containing ^1,000 mg/1 (liquids) or s.1,000
mg/kg HOCs, (non-liquids), which are not declared hazardous by the HOC
content (55 FR 22675)
Yes No NA
If yes, check the appropriate category (see §268.42(a)(2)):
Dilute HOC wastewater with 1,000 mg/1 to 10,000 mg/1 HOCs) (268.32(a)(3))
All other HOCs greater than or equal to the prohibition level of 1,000 mg/1
(liquids) or mg/kg (non-liquids) (268.32(e)(l) and (2))
c. Liquid hazardous wastes that exhibit a characteristic and also contain ^134
mg/1 nickel and/or ^130 mg/1 thallium (55 FR 22675)
Yes No NA
5. National Capacity Variance Wastes: Have all applicable California List
prohibitions been identified for wastes covered under national capacity variances?
(See Appendix A.)
Yes No NA
If a waste stream contains a mixture of wastes, and a variance only applies to some
of the waste codes, has the generator identified all applicable treatment standards
. and California List prohibitions? (See Appendix A.)
Yes No NA
If California List prohibitions apply to wastestreams managed by the generator,
. complete the following table for each waste code, noting the date on which relevant
national capacity variances expire.
Waste Code Gal. List Applicability Expiration Date
Comments
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements arc in any way altered by any slatemcnt(s) contained herein.
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Land Disposal Restrictions Checklist . OSWER Dir. No. 9938.02(b)
6. Treatment standards expressed as required technologies: Has the generator
specified an alternative method to that required in §268.42?
Yes No NA
If yes, list the waste code, the technology specified in §268.42, the alternative
method, and documentation of approval. (§268.42(b))
Waste Code Required Technology Alternative Method Approval
Comments
7. Does the generator mix multiple restricted wastes all containing a common
constituent of concern, but which have different treatment standards?
Yes No
If yes, did the generator select the most stringent treatment standards?
(§§268.41(b) and 268.43(b))
Yes No
Comments ;
B. Waste Analysis
1. Does the generator determine whether restricted wastes exceed treatment
standards/prohibition levels at the point of generation?* (§268.7(a) (53 FR 31208))
Yes No
* Note: This determination may be made at the point of disposal if the waste only
has a prohibition level in effect (52 FR 25765).
If no, does the generator ship all restricted wastes as not meeting treatment
standards?
Yes No __
Comments
2. Which of the following analytical methods does the generator employ?*
*Note: A "No" answer to applicable questions b through d does not necessarily
constitute a violation. However, knowledge of waste is rarely adequate if a
generator certifies that treatment standard criteria have been met.
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements arc in any way altered by any slatemenl(s) contained herein.
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Land Disposal Restrictions Checklist OSWER Dir. No. 9938.02(b)
a. Knowledge of waste:
Yes No
If yes, list the wastes for which applied knowledge was used and describe the basis
of determination. Attach documentation. (§268.7(a)(5))
b. TCLP*: Are wastes with treatment standards specified in §268.41 analyzed
using TCLP?** (BDAT*** = stabilization/immobilization technology)
Yes No NA
*TCLP = Toxicity Characteristic Leaching Procedure (Part 268, Appendix I,
EPA Test Method 1311).
**See Section 268.40(a) for options for using TCLP or EP test methods.
***BDAT = best demonstrated available technology. See Appendix A.
If yes, list the wastes for which TCLP was used and provide the date of last
test, identify the frequency of testing, and note any problems. Attach test results.
(§268.7(a)(5))
c. Total constituent analysis: Are wastes with treatment standards specified
in §268.43 analyzed using total constituent analysis?* (BDAT =
destruction/removal technology)
Yes No NA
*See Appendix C for exceptions.
If yes, list the wastes for which total constituent analysis was used and provide the
date of last test, identify the frequency of testing, and note any problems. Attach test
results. (§268.7(a)(5))
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements arc in any way altered by any statemcnt(s) contained herein.
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Land Disposal Restrictions Checklist OSWER Dir. No. 9938.02(b)
d. Is the paint filter liquids test (PFELT) used to determine if California List
wastes are liquid hazardous wastes?
Yes No NA
*PFLT = Paint Filter Liquids Test (Test Method 9095, EPA Publication No. SW-
846)
If yes, list the wastes for which PFLT was used and provide the date of last test,
identify the frequency of testing, and note any problems. Attach test results.
(§268.7 (a)(5))
3. Does the generator treat restricted wastes in 90-day tanks or containers regulated
under §262.34 (permissible in some states)?
Yes No (If No, go to 4.)
Does the generator treat the wastes to meet appropriate treatment
standards/prohibition levels?
Yes No
If yes, has the generator prepared a waste analysis plan detailing the frequency of
testing to be conducted? (§268.7(a)(4))
Yes No (If No, go to 4.)
Does the plan fulfill the following? (§268.7(a)(4)(i))
Based on a detailed chemical and physical analysis of a representative
sample
Contains information necessary to treat the wastes in accordance with Part
268 requirements
Has the plan been filed with the Regional Administrator (return receipt, Federal
Express slip, etc. required for verification)? (§268.7(a)(4)(ii))
Yes No
Comments
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any stntcmcnl(s) contained herein.
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4. Dilution Prohibition (§268.3):
a. Does the generator mix prohibited* wastes with different treatment
standards?
*See Appendix C for distinction between restricted and prohibited wastes.
Yes No (If No, go to b.)
Last the wastes
Are the wastes amenable to the same type of treatment? (55 FR 22666)
Yes No
Comments
b. Does the generator dilute prohibited wastes to meet treatment standard
criteria, or render them non-hazardous? (55 FR 22665-22666)
Yes No _L_ (If No, go to c.)
Check appropriate category:
Dilutes to meet treatment standards
Dilutes to render waste non-hazardous
Do the wastes fall into the following categories? (Check if appropriate.)
Characteristic wastes managed in treatment systems regulated
under the Clean Water Act (§268.3(b)), (55 FR 22665)
Treatment standard specified in §§268.41 or 268.43
If the wastes do not fall into the above categories, briefly describe the
conditions under which they were diluted.
c. Based on an assessment of points a and b, and any other relevant
circumstances, does the generator dilute prohibited wastes as a substitute for
adequate treatment? (§268.3(a))
' Yes No
Comments
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
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Land Disposal Restrictions Checklist OSWER Dir. No. 9938.02(b)
5. F039 Multi-source leachate: Has the generator run an initial analysis for all
constituents of concern in §§268.41 and 268.43? (55 FR 22620)
Yes No NA
C. Management
1. On-Site Management
a. Are restricted wastes treated or (other than in a RCRA exempt unit) stored
for greater than 90 or 180 days, or disposed on site?
Yes No
(If yes, the TSD Checklist must also be completed.)
Comments
b. If the generator treats characteristic wastes in systems regulated under the
Clean Water Act, have the following been documented: the determination
of restriction, how restricted wastes are managed, and why wastes
discharged pursuant to an NPDES permit are not prohibited (if applicable)?
(§268.7(aX6)) (55 FR 22662)
Yes No NA
c. If the generator treats characteristic wastes in RCRA exempt units to render
them non-hazardous, are the wastes managed as restricted prior to entering
the exempt unit (§268.7(a)(6)) until the applicable treatment standards are
met?* . (§268.9(d))
Yes No NA
* This applies to both concentration based treatment standards specified in
§§268.41 and 268.43, and to some §268.42 required methods which result
in treatment below the characteristic level. See Appendix D.
d. If a waste is excluded from regulation or from the definition of solid or
hazardous waste subsequent to the point of generation, does the generator
comply with the requirements of §268.7(a')(6) (56 FR 3866-3867)? If the
generator determines that he is managing a restricted waste that is
excluded from the definition of hazardous or solid waste or exempt from
Subtitle C regulation, under §§261.2-261.6 subsequent to the point of
generation, is there a one-time notice in the facility's file stating such
generation, subsequent exclusion from the definition of hazardous or solid
waste or exemption from Subtitle C regulation, and the disposition of the
waste?
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any stalementts) contained herein.
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2. Off-Site Management: Waste Exceeds Treatment Standards
a. Does the generator ship any waste that exceeds treatment standards/
prohibition levels (not subject to a national capacity variance) to an off-site
treatment or storage facility?
Yes No (If No, go to 3.)
Identify waste code(s) and off-site treatment or storage facilities to which
wastes are shipped.
Waste Code Receiving Facility
Does the generator provide a notification to the treatment or storage facility?
(§268.7(a)(D)
Yes No (If No, go to 3.)
If the generator specifies alternative treatment standards for lab packs, is
the certification required in §268.7(a)(8) or (9) included with the
notification?
Yes No NA
b. Is a notification sent with each waste shipment?
Yes No
If no, is the waste subject to a tolling agreement pursuant to §62.20(e) (small
quantity generator only)?
Yes No (If No, go to 3.)
List waste codes and subsequent handler with whom a contractual
tolling agreement is held.
Waste Code Subsequent Handler
Did the small quantity generator provide a notification to the receiving
facility with the first waste shipment subject to the tolling agreement?
(§268.7(a)(10))
Yes _ No
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any stntemcnt(s) contained herein.
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Land Disposal Restrictions Checklist OSWER Dir. No. 9938.02(b)
3. Off-Site Management: Waste Meets Treatment Standards
a. Does the generator ship waste that meets treatment standards/prohibition
levels to an off-site disposal facility?
Yes No (If No, go to 4.)
Identify waste code(s) and off-site disposal facilities:
'Waste Code Receiving Facility
Does the generator provide a notification and a certification to the disposal
facility? (§268.7(a)(2)(i) and (ii))?
Yes No (If No, go tod.)
b. Are a notification and a certification sent with each waste shipment?
Yes No
If no, is the waste subject to a tolling agreement pursuant to §262.2(Xe)
(small quantity generator only)?
Yes No (If No, go toe.)
List waste codes and subsequent handler with whom a contractual
tolling agreement is held.
Waste Code Subsequent Handler
Did the small quantity generator provide a notification and a certification
to the receiving facility with the first waste shipment subject to the tolling
agreement? (§268.7(a)(10))
Yes No
Are characteristic wastes which have been rendered non-hazardous shipped
to a Subtitle D facility?
Yes No NA (If No or NA, go to 4.)
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altc'rcd by any statcmcnt(s) contained herein.
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Land Disposal Restrictions- Checklist OSWER Dir. No. 9938.02(b)
Complete the following table:
Waste Code Receiving Facility
Are a notification and a certification for each shipment sent to the Regional
Administrator or authorized State? (§§268.9(d)(l) and 268.7(b)(5))?
Yes No
4. Off-Site Management: Wastes Subject to Variances, Extensions, or Petitions
a. Does the generator ship wastes to a treatment, storage, or disposal facility
which are subject to a national capacity variance (Part 268, Subpart C), or
case-by-case extension (§268.5)?
Yes No (If No, go to 5.)
Complete the following table:
Waste Code Receiving Facility
Does the generator provide notification to the off-site receiving facility that
the waste is not prohibited from land disposal? (§268.7(a)(3))
Yes No
b. Is a notification sent with each waste shipment?
Yes No
If no, is the waste subject to a tolling agreement pursuant to §262.20(e)
(small quantity generator only)?
Yes No (If No, go to 5.)
List waste codes and subsequent handler with whom a contractual
tolling agreement is held.
Waste Code Subsequent Handler
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements arc in any way altered by any slatemcnt(s) contained herein.
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Land Disposal Restrictions Checklist OSWER Dir. No. 9938.02(b)
Did the small quantity generator provide a notification to the receiving
facility with the first waste shipment subject to the tolling agreement?
(§268.7(a)(10))
Yes No
5. Records Retention
Does the generator retain on site copies of all notifications, certifications, and other
relevant documents for a period of 5 years? (§268.7(a)(7))
Yes No
Are copies of relevant tolling agreements, along with the LDR notification and/or
certification, kept on site for at least 3 years after expiration or termination of the
agreement? (§268.9)
Yes No NA
Do LDR documents reflect proper management of wastes previously covered under
expired national capacity variances, case by case extensions and the soft hammer
provision*?
Yes No NA
* See Appendix B. Note that the soft hammer provision expired as of 05/08/90. Soft
hammer wastes which had treatment standards established in the Third Third
rule were granted a minimum 90-day national capacity variance to 08/08/90.
Comments
D. Treatment Using RCRA 40 CFR Parts 264 and 265 Exempt Units or Processes
1. Are restricted wastes treated in RCRA exempt units (e.g., distillation units,
wastewater treatment tanks, elementary neutralization, etc.)?
Yes No (If No, do not complete this section.)
List types of waste treatment units and processes:
Waste Code Type of Treatment Treatment Units and Processes
2. Are treatment residuals generated from these units?
Yes No
Comments • :
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statemcnt(s) contained herein.
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Land Disposal Restrictions Checklist OSWER Dir. No. 9938.02(b)
3. Are residuals further treated, stored for greater than 90/180 days, or disposed on
site?
Yes No NA
(If yes, the TSD checklist must also be completed.)
E. Additional Comments, Concerns, or Issues Not Addressed in the Checklist:
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by nny stntcment(s) contained herein.
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RCRA LAND DISPOSAL RESTRICTION INSPECTION
IV. TSD REQUIREMENTS
A. Waste Analysis (40 CFR 268.7(b), 264.13, and 265.13)
1. Does the waste analysis plan address the following LDR waste categories?
(§§264/5.13(b)(6)).
F001-F005 Spent Solvents
F020-F023 and F026-F028 Dioxins
California List Wastes
First, Second, and Third Third
Wastes
Phase One Wastes
Comments
Yes
Yes
Yes
Yes
Yes
No
No
No
No
No
NA
NA
NA
NA
NA
2. Has the waste analysis plan been revised to address F039 multi-source leachate?
Yes No NA
3. What date was the waste analysis plan last revised? / /
4. Does analytical data contain all the information required to treat, store, or dispose
of restricted wastes? (§§264/5.13(a)(D)
Yes No
If yes, which of the following are sources of analytical data? (More than one may
apply.):
Generator provides data
Facility performs analyses in on-site laboratory
Facility contracts analyses at off-site laboratory
If the generator provides data, does the facility provide corroborative testing?
(264/5.13(a)(2))
Yes No NA
If analyses are conducted off site, identify lab:
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statemcnt(s) contained herein.
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Land Disposal Restrictions Checklist OSWER Dir. No. 9938.02(b)
a. Are wastes with treatment standards specified in §268.41 analyzed using
the toxicity characteristic leaching procedure (TCLP)?* (BDAT** =
stabilization/immobilization technology) (§268.7(b)(D)
Yes No NA
*See Section 268.40(a) for options for using TCLP or EP test methods.
**BDAT = best demonstrated available technology. See Appendix A.
If yes, list the wastes for which TCLP was used and provide the date of last
test, identify frequency of testing, and note any problems. Attach test
results. (§§264/5.73 (b)(3))
b. Are wastes with treatment standards specified in §268.43 analyzed using
total constituent analysis?* (BDAT = destruction/removal technology)
(§268.7(b)(3))
Yes No NA
*See Appendix C for exceptions.
If yes, list the wastes for which total constituent analysis was used and
provide the date of last test, frequency of testing, and note any problems.
Attach test results. (§§264/5.73 (b)(3))
c. Is the paint filter liquids test (PFLT) used to determine if California List
wastes are liquid hazardous waste? (§268.32(i))
Yes No NA
If yes, list the wastes for which PFLT was used and provide the date of last
test, the frequency of testing, and note any problems. Attach test results.
(§§264/5.73(b)(3))
B. Operating Record (40 CFR 264/5.73)
1. Does the operating record contain records and results of waste analyses performed
as specified in §§268.4 and/or 268.7(b)? (§§264/5.73(b)(3))
Yes No
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regulatory requirements arc in any way altered by any slatemonl(s) contained herein.
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Land Disposal Restrictions Checklist OSWER Dir. No. 9938.02(b)
2. Does the operating record contain copies of LDR notifications and certifications?*
(§§264/5.73(b)(ll), (13), and (15))
Yes No
* Include both those received from generators, and those prepared for off-site
shipments.
3. Does the operating record include appropriate documentation for restricted wastes
which are managed wholly on site? (§§264/5.73(b)(12), (14))
Yes No NA
Does the documentation discussed in points 2 and 3 reflect proper historical
management of wastes previously covered under expired national capacity
variances, case by case extensions, and the soft hammer provision?*
Yes No NA
* Note that the soft hammer provision expired as of 05/08/90. Soft hammer wastes
which had treatment standards established in the Third Third rule were granted
a minimum 90-day national capacity variance to 08/08/90.
C. Storage (40 CFR 26850)
1. Are prohibited* wastes stored on site in containers?
Yes No (If No, go to 2.)
*See Appendix C for distinction between restricted and prohibited wastes.
Are all containers clearly marked to identify the contents and date(s) entering
storage? (§268.50(a)(2)(i))
Yes No
Have wastes been stored for more than one year since the applicable LDR
regulations went into effect?
Yes No (If No, go to 2.)
Can the facility show that such accumulation is necessary to facilitate property
recovery, treatment, or disposal? (§268.50 (c))
Yes No
If yes, state how:
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any slatement(s) contained herein.
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2. Are prohibited wastes stored on site in tanks?
Yes No (If No, go to 3.)
Are all tanks clearly marked with a description of the contents, the quantity of each
hazardous waste received, and date each period of accumulation begins, or is such
information recorded and maintained in the operating record? (§268.5(Xa)(2)(ii))
Yes No
Have tanks been emptied at least once per year since the applicable LDR
regulations went into effect?
Yes No (If Yes, go to 3.)
Can the facility show that such accumulation is necessary to facilitate proper
recovery, treatment, or disposal? (§268.50(c))
Yes .No
If yes, state how
3. Does the facility store liquid hazardous waste containing PCBs at concentrations
greater than or equal to 50 ppm?
Yes No (If No, goto D.)
Does the facility meet the TSCA criteria in 40 CFR 761.65(b)? (§268.50(0)
Yes No
Have these wastes been stored for more than one year? (§268.50(0)
Yes No
D. Treatment
1. Does the facility treat restricted wastes other than in surface impoundments?
Yes No (If No, do not complete this section. Go to E.)
2. Are required technologies used to treat wastes which have treatment standards
specified in §268.42? (§268.40(b))
Yes No NA
(If Yes or NA, go to 3.)
Was an alternative method approved?
Yes No
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements arc in any way altered by any stntcment(s) contained herein.
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Land Disposal Restrictions Checklist OSWER Dir. No. 9938.02(b)
List each waste code, the technology specified in §268.42, and the alternative
method. Check if approval of the alternative method is documented. (§268.42(b))
Waste Code Required Technology Alternative Method Approval
3. Lab packs: If alternative treatment standards are specified, are incinerator
residues from lab packs containing D004, D005, D006, D007, D008, D010, and D011
treated in compliance with the Subpart D treatment standards for these
characteristic wastes? (§268.42(c)(4))
Yes No NA
4. Describe all other waste codes and treatment processes:
Waste Code Treatment Processes
5. Characteristic wastes:
Is the Part 268 treatment standard lower than the Part 261 characteristic level?*
Yes No
* This applies to both concentration based treatment standards specified in
§§268.41 and 268.43, and to some §268.42 required methods which result in
treatment below the characteristic level. See Appendix D.
If yes, does the facility manage the waste as restricted until Part 268 treatment
standards are met, even after the waste is rendered non-hazardous? (§268.9(d))
Yes No
Comments
6. Dilution Prohibition (§268.3):
a. Does the facility mix prohibited wastes with different treatment standards?
Yes No (If No, go toe.)
List the wastes
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Land Disposal Restrictions Checklist OSWER Dir. No. 9938.02(b)
b. Are the wastes amenable to the same type of treatment? (55 FR 22666)
Yes No
If yes, is this method used for the aggregated wastes?
Yes No
Comments
c. Based on an assessment of points a and b, or any other relevant
information, is dilution used as a substitute for treatment? (§268.3(a))
Yes No
Comments
7. Does the facility, in accordance with an acceptable waste analysis plan, test
residues from all treatment processes? (§268.7(b))
Yes No
Comments
8. Does the facility ship any characteristic wastes which have been rendered non-
hazardous to a Subtitle D facility?
Yes No (If No, go to 8.)
Complete the following table:
Waste Code Receiving Facility
Are a notification and a certification for each shipment sent to the Regional
Administrator or authorized State? (§§268.9(d)(l) and 268.7(b)(5))
Yes No
9. Does the facility ship any wastes or treatment residues to an off-site land disposal
facility?
Yes No (If No, go to 9.)
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements arc in any way altered by any stntemcnt(s) contained herein.
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Land Disposal Restrictions Checklist
OSWER Dir. No. 9938.02(b)
Complete the following table:
Waste Code
Receiving Facility
Are a notification and a certification provided to the land disposal facility with
each waste shipment? (§§268.7(b)(4) and 268.7(b)(5))
Yes
No
10, Does the facility ship any wastes or treatment residues to be further managed at a
different treatment or storage facility?
Yes No
(If No, go to E.)
Complete the following table:
Waste Code
Receiving Facility
Are appropriate generator notifications and certifications provided to the receiving
facility with each waste shipment? (§268.7(b)(6))
Yes No
E. Surface Impoundments (40 CFR 268.4)
1. Are restricted wastes placed in surface impoundments for treatment?
Yes No (If No, go to F.)
List
2. Are evaporation or dilution the only recognizable treatment occurring in the
surface impoundment? (§§268.3(a) and 268.4(b))
Yes No
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Land Disposal Restrictions Checklist OSWER Dir. No. 9938.02(b)
Comments
3. Has the facility submitted to the Agency a waste analysis plan and certification of
compliance.with minimum technology requirements and ground-water
monitoring requirements? (§268.4(a)(4))
Yes No
4. If the minimum technology requirements have not been met, has a waiver been
granted for that unit? (§268.4(a)(3)(ii))
Yes No NA
5. Are representative samples pf sludge and supernatant from the surface
impoundment tested separately, acceptably, and in accordance with the sampling
frequency and analyses specified in the waste analysis plan? (Attach test results.)
(§268.4(a)(2)(i))
Yes No
6. Does the operating record adequately document the results of waste analyses
performed in accordance with §268.4? (§§264/5.73(b)(3))
Yes No
Comments
7. Do the treatment residues (sludges or liquids) exceed applicable treatment
standards/prohibition levels?
Sludge Yes No Waste Code
Supernatant Yes No Waste Code
Provide the frequency of analyses conducted on treatment residues:
8. If sludge residues exceed treatment standards/prohibition levels, are they removed
on an annual basis? (§268.4(a)(2)(ii))
Yes No NA
Comments
Are residues subsequently managed in another surface impoundment?
(§268.4(a)(2)(iii))
Yes No
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements arc in any way altered by any stntement(s) contained herein.
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Land Disposal Restrictions Checklist OSWER Dir. No. 9938.02(b)
9. If supernatant is determined to exceed treatment standards, is annual throughput
greater than impoundment volume? (§268.4(a)(2)(ii))
Yes No NA
Comments
F. Land Disposal
1. Are restricted wastes placed in or on the land in units such as landfills,
surface impoundments*, waste piles, land treatment units, salt
domes/beds, mines/caves, concrete vaults, or bunkers? (§268.2(c))
Yes No (If No, goto G.)
*Note: Do not include surface impoundments addressed in E.
If yes, specify which units and what wastes each unit has received:
Unit Waste
2. Does the facility, in accordance with an acceptable waste analysis plan, test
prohibited wastes prior to land disposal to ensure that all applicable treatment
standards and/or prohibition levels have been met? (§268.7(c)(2))
Yes No
Comments
3. Does the facility test wastes to ensure that they do not exhibit any characteristics at
the point of disposal?* ( §268.9(c))
Yes No NA
*Note: A waste may exceed a characteristic level only if the treatment standard
for that characteristic has been met.
4. Does the operating record adequately document the results of waste analyses
performed in accordance with §268.7(c)? (§§264/5.73(b)(3))
Yes ' No
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regulatory requirements arc in any way altered by any slatcmcnt(s) contained herein.
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Land Disposal Restrictions Checklist OSWER Dir. No. 9938.02(b)
If yes, at what frequency are analyses performed?
5. Does the facility land dispose of restricted wastes which are not prohibited?
Yes No (If No, go to 5.)
List waste codes in appropriate category below:
National Capacity Variance (Part 268, Subpart C)
Case-By-Case Extension (§268.5)
No-Migration Petition (§268.6)
Treatment Standard Variance (§268.44).
Does the operating record contain records of the quantities, date of placement, and a
copy of the generator notification (§268.7(a)(3)) for each shipment of restricted
waste subject to a case-by case extension or no-migration petition?
(§§264/5.73(b)(10))
Yes No NA
Do land disposal units receiving wastes covered by a national capacity variance or
case-by-case extension meet the requirements in §268.5(h)(2)?
Yes No NA
If the facility has a case-by-case extension, is progress being made as described in
reports to the Regional Administrator?
Yes No NA
6. Are restricted wastes placed in underground injection wells?
Yes No List
G. Other Waste streams
1. Does the facility generate wastes other than residues from RCRA
treatment units?
Yes . No (If No, go to H.)
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statcmcnl(s) contained herein.
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Land Disposal Restrictions Checklist OSWER Dir. No. 9938.02(b)
2. On-Site Management
a. If characteristic wastes are treated in systems regulated under the Clean
Water Act, have the following been documented: the determination of
restriction, how restricted wastes are managed, and why wastes discharged
pursuant to an NPDES permit are not prohibited (if applicable)? (55 FR
22662)
Yes No NA
b. If characteristic wastes are treated in RCRA exempt units to render them
non-hazardous, are the wastes managed as restricted until Part 268
treatment standards are met?* (§268.9(d))
Yes No NA
* This applies to both concentration based treatment standards specified in
§§268.41 and 268.43, and to some §268.42 required methods which result
in treatment below the characteristic level. See Appendix D.
3. Off-Site Management: Waste Exceeds Treatment Standards
Are wastes that exceed treatment standards/prohibition levels (not subject to a
national capacity variance) shipped to an off-site treatment or storage facility?
Yes No (If No, go to 4.)
Identify wastes code(s) and off-site treatment or storage facilities to which wastes
are shipped.
Waste Code Receiving Facility
Are LDR notifications provided for each shipment to the treatment or storage
facility? (§268.7(a)(D)
Yes No (If No, go to 4.)
If alternative treatment standards are specified for lab packs, is the certification
required in §268.7(a)(8) or (9) included with the notification?
Yes No NA
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements arc in any way altered by any stalomcnt(s) contained herein.
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Land Disposal Restrictions Checklist OSWER Dir. No. 9938.02(b)
4. Off-Site Management: Wastes Meets Treatment Standards
a. Are wastes that meet treatment standards/prohibition levels shipped to an
off-site disposal facility?
Yes No (If No, go to 5.)
Identify waste code(s) and off-site disposal facilities:
Waste Code Receiving? Facility
Are LDR notifications and certifications provided for each shipment to the
disposal facility? (§268.7(a)(2)(i) and (ii))?
Yes No (If No, goto b.)
b. Are characteristic wastes which have been rendered non-hazardous (in a
RCRA exempt unit) shipped to a Subtitle D facility?
Yes No NA (If No or NA, go to 5.)
Complete the following table:
Waste Code Receiving Facility
Are a notification and a certification for each shipment sent to the Regional
Administrator or authorized State? (§§268.9(d)(l) and 268.7(b)(5))?
Yes No
5. Off-Site Management: Wastes Subject to Variances, Extensions, or Petitions
a. Are wastes that are subject to a national capacity variance (Part 268, Subpart
C) or a case-by-case extension (§268.5) shipped to a treatment, storage, or
disposal facility?
Yes No (If No, go to 6.)
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manun! is intended solely for guidance. No statutory or
regulatory requirements ore in nny way altered by any stiitcmenlfs) contained herein.
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Land Disposal Restrictions Checklist OSWER Dir. No. 9938.02(b)
Complete the following table:
Waste Code Receiving Facility
b. Are LDR notifications (stating that the waste is not prohibited from land
disposal) provided for each shipment to the off-site receiving facility?
(§268.7(a)(3))
Yes No
6. Dilution Prohibition (§268.3):
a. Are prohibited* wastes with different treatment standards mixed?
*See Appendix C for distinction between restricted and prohibited wastes.
Yes No (If No, go to b.)
Last the wastes
Are the wastes amenable to the same type of treatment? (55 FR 22666)
Yes No
Comments
b. Are prohibited wastes diluted to meet treatment standard criteria, or render
them non-hazardous? (55 FR 22665-22666)
Yes No (If No, go toe.)
Check appropriate category.
Dilutes to meet treatment standards
Dilutes to render waste non-hazardous
Do wastes fall into the following categories? (Check if appropriate.)
(§268.3(W)
Managed in treatment systems regulated under the Clean Water Act
Treatment standard specified in §§268.41 or 268.43
IV-lil
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements arc in any way altered by any siatemcnl(s) contained herein.
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Land Disposal Restrictions Checklist OSWER Dir. No. 9938.02(b)
If the wastes do not fall into the above categories, briefly describe the
conditions under which they were diluted.
Based on an assessment of points a and b, and any other relevant
circumstances, are prohibited wastes diluted as a substitute for adequate
treatment? (§268.3(a))
Yes No
i
Comments
H. Additional Comments, Concerns, or Issues Not Addressed in the Checklist:
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any slatement(s) contained herein.
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Land Disposal Restrictions Checklist OSVVER Dir. No. 9938.02(b)
V. TRANSPORTER REQUIREMENTS
A. Does the transporter accumulate restricted wastes at a transfer facility for more than 10
days? <40CFR268.50(a)<3))
Yes No
If yes, check the appropriate regulatory status:
Interim status for storage
RCRA permit for storage
(The TSD checklist must also be completed.)
If no, describe inventory controls to ensure that wastes are not stored for more than 10 days:
B. Does the transporter mix or combine restricted wastes of different DOT shipping
descriptions? (40 CFR 263.10(c)(2))?
Yes No
(If yes, the Generator checklist must also be completed.)
C. Are restricted wastes treated in RCRA exempt units (e.g., distillation units, wastewater
treatment tanks, elementary neutralization)?
Yes No (If No, do not complete this section.)
List types of waste treatment units and processes:
Waste Code Type of Treatment Treatment Units and Process
Are treatment residuals generated from these units?
Yes No
Comments
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements arc in any way altered by any slalcYmcnt(s) contained herein.
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Land Disposal Restrictions Checklist OSWER Dir. No. 9938.02(b)
Are residuals further treated, stored at a transfer facility for greater than 10 days, or
disposed on site?
Yes No NA _^
(If Yea, the TSD checklist must also be completed.)
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by nny stntemcnt(s) contained herein.
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Landfills Checklist OSWER Dir. No. 9938.02(b)
10. Landfills Checklist
Section A - Design Requiremanta (40 CFR 264/5.301) Yes No
1. Does landfill have two or more liners and a leachate collection
system between the liners? (§264.301(c)), (§265.301(a))
2. Did owner/operator notify Regional Administrator 60 days prior
to receiving waste? (§265.301(b))
3. If landfill does not have two liners and a leachate collection
system, did owner/operator adequately demonstrate to the
Regional Administrator that alternate design and operation
prevents migration of hazardous constituents? (§264.301(d)),
(§265.301(a))
4. If no double liner exists, does landfill fall into one of the following
exemption categories: (§264.301(e)), (§265.301(d))
a. Monofill only holds wastes from foundry furnace
emission controls or metal casting molding sand?
AND
b. Monofill has at least one liner and there is no evidence
that liner is leaking; the monofill is more than 14 miles
from an underground source of drinking water; and has
ground-water monitoring? ___
OR
c. Owner/operator demonstrates that monofill is located,
designed, and operated to prevent migration of hazardous
constituents?
5. If landfill does not have two liners and a leachate collection
system, does it have at least one liner for all existing portions?
(§264.301(a)), (§265.301(c))
a. If yes, does this liner provide for the following:
1. Prevent migration of wastes out of landfill to
subsurface soil, ground water, and surface water?
(Part 264)
2. A leachate collection and removal system
immediately above the liner constructed to be
chemically resistant to the waste and strong
enough not to collapse under pressure? (Part 264)
6. If owner/operator does not comply with No. 5 above, is he exempt
after demonstrating to the Regional Administrator that alternate
design and operation prevents migration of hazardous
constituents? (§264.301(d))t (§265.301(c))
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statcmcnt(s) contained herein.
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Landfills Checklist OSWER Dir. No. 9938.02(b)
Section B • Operating Requirements (40 CFR 264.301(g). (h). (i). and (i)):
fAO CFR 285.301 ff). (e). fli). and (in
1. Are run-on controls preventing flow onto the active portion of the Yes No
landfill?
2. Is runoff collected and controlled?
3. Are collection and holding facilities emptied after storms?
4. Is the landfill managed so that wind dispersal is controlled?
Section C • Monitoring and Inspection (40 CFR 264.303)
1. Are liners inspected for defects during and after construction?
2. Are landfills inspected weekly and after storms for defects?
Section D • Surveying and Recordkeeping (40 CFR 264/5.309)
1. Does owner/operator retain records at the facility?
a. If yes, are the following maintained:
1. On map, exact location and dimensions, including
depths, of each cell?
2. Contents of each cell and approximate location of
each hazardous waste type within the cell?
Section E • Closure and Post-Closure (40 CFR 264/5310)
1. Is a closure plan kept on site?
a. If yes, does cover provide for the following:
1. Minimizing migration of liquids?
2. Minimum maintenance?
3. Promote drainage; minimize erosion of cover?
4. Accommodate settling and subsidence?
5. . Less permeable than bottom liner or natural
subsoils?
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements arc in any way altered by any slntcmenl(s) contained herein.
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Landfills Checklist OSWER Dir. No. 9938.02(b)
b. After final closure, does owner/operator provide for the Yes No
following:
1. Maintain final cover?
2. Continue to operate leachate collection and
removal system until leachate is no longer
collected?
3. Maintain ground-water monitoring?
4. Prevent run-on and runoff from eroding and
damaging cover?
5. Protect and maintain surveyed bench marks?
Section F • Lynitable and Reactive Waste (40 CFR 264/5.312)
1. Are ignitable or reactive wastes placed in the landfill?
a. If yes, do the waste and landfill meet all LDR
requirements?
b. If yes, is waste treated, rendered, or moved before or
immediately after placement so that it is no longer
ignitable or reactive?
2. Are ignitable wastes in containers placed in landfill?
a. If yes, attach a narrative describing how these wastes are
handled to prevent ignition or reaction.
Section G - Incompatible Wastes (40 CFR 264/5.313)
1. Does owner/operator place incompatible wastes in landfill?
2. If yes, is §264/5.17(b) complied with?
Section H • Bulk and Containerized Liquids (40 CFR 264/5.314)
1. Does landfill receive any bulk or containerized liquid hazardous
waste?
a. If yes, have they been added to landfill since May 8, 1985?
2. Does landfill receive containers of free liquids?
a. If yes, is at least one of the following conditions met:
1. Have free-standing liquids been removed by
decanting or other methods; or have they been
mixed with absorbent or solidified?
2. Are containers ampules?
3. Is container designed to hold free liquids?
4. Is container a lab pack?
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements arc in any way altered by any slatcmcnt(s) contained herein.
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Landfills Checklist OSWER Dir. No. 9938.02(b)
3. Have containers holding liquids that are not hazardous wastes Yes No
been placed in the landfill since November 8, 1985?
(§264.314(e)), (§265.314(0)
a. If yes, is one of the following conditions met:
1. Was the only reasonable alternative to place it in a
landfill or unlined surface impoundment?
2. Did placement not present a risk to contaminating
any underground source of drinking water?
Section T • doTitainpr Ttequirpinpnts (40 CFR 264/5.315)
1. Are containers placed in the landfill?
a. If yes, are they either:
1. 90 percent full?
2. Crushed, shredded, or similarly reduced in
volume?
Section J. Overpackf-H Drums (40 CFR 264/5316)
1. Are small containers of hazardous waste placed in landfill?
a. If yes, are the following requirements met:
1. Waste packaged in non-leaking container and
tightly sealed?
b. Containers not overpacked according to DOT regulations?
c. Absorbent material does not react with waste?
d. Incompatible wastes not placed outside the same
container?
e. Reactive waste treated or rendered nonactive before
packaging?
f. Is such disposal in compliance with LDRs?
Section K. F020. F021. FQ22. FQ23. FQ26. and F027 Wastes
(40CFR2fi4/S.317)
1. Are these wastes placed in landfill?
a. If yes, did owner/operator receive permission from the
Regional Administrator to do so?
b. Is documentation of "a" above on file at the facility?
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements arc in any way altered by any stalcment(s) contained herein.
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Land Treatment Checklist OSWER Dir. No. 9938.02(b)
11. Land Treatment Checklist
Section A • Treatment Program (40 CFR 264.271) Yes No
1. Does facility follow an approved land treatment program?
Section B • Treatment Demonstration (40 CFR 264.272)
1. Has owner/operator demonstrated to Regional Administrator that
hazardous wastes used in the program are completely degraded,
transformed, or immobilized in the treatment zone?
Section C • Operating Requirements (40 CFR 264.273).
(40 CFR 265.272)
1. Is run-on diverted away from the land treatment facility? ___
2. Is runoff from the land treatment facility collected?
3. Are holding facilities emptied after storms?
4. Is the runoff analyzed to see if it is a hazardous waste?
5. Is the facility managed to control wind dispersal?
6. Is the unit inspected weekly (Part 264)?
Section D - Waste Analysis (4O CFR 265.273)
1. If the runoff is considered hazardous, how is it handled? (Use
narrative explanation sheet.) _^ ___
2. If it is not a hazardous waste, is it discharged through a point
source to surface waters?
a. If yes, KstNPDES Permit No.
3. What hazardous wastes are treated at the land treatment facility?
Suboart D Listed Wastes Characteristic Wastes (EP Toxicitv)
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statements) contained herein.
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Land Treatment Checklist OSWER Dir. No. 9938.02(b)
a. For these listed wastes, were analyses done to determine Yes No
the concentrations of these constituents which caused the
waste to be listed?
1. If yes, what are these concentrations? (Use
narrative explanation sheet.)
b. For those characteristic wastes (EP) toxicity, what are the
concentrations of the following:
Concentration, mg/liter Waste
Arsenic
Barium
Cadmium
Chromium
Lead
Mercury
Selenium
Silver
Endrin
Lindan
Methoxychlor
Toxphene
2,4-D
2,4,5-TP silvex
Section E - Food Chain Props (40 CFR 264/5J276)
1. Are food-chain crops grown?
a. If yes, what are the concentrations of the following in the
soil and vegetation:
Soil concentration, Vegetation concentration,
mg/liter mg/liter
Arsenic
Cadmium
Lead
Mercury
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is inicndcd solely for guidance. No statutory or
regulatory requirements are in any way altered by any statumcnt(s) contained herein.
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Land Treatment Checklist OSWER Dir. No. 9938.02(b)
2. Did the facility notify Regional Administrator that it is growing Yes No
food-chain crops? (§265.276(a))
3. Has owner/operator demonstrated that no harm is done to health or
environment? (§264.276(a))
4. Has owner/operator demonstrated that any arsenic, lead,
mercury, or other constituents under 265.273(b) will not be
transported to crops? (§265.276(b))
5. Does the facility treat waste that contains cadmium?
(§264.276(b)), (§265.276(c))
a. If yes, was the pH of the soil and waste mixture 6.5 or
greater at the time of each waste application?
1. If the pH was less than 6.5, did the waste contain
cadmium concentrations of 2 mg/kg or less?
Section F • Unsaturated-Zone Monitoring (40 CFR 264/5.278)
1. Is an unsaturated-zone monitoring plan kept at the facility?
(§265.278(a))
2. Does owner/operator perform the following:
a. Soil monitoring?
b. Soil-pore water monitoring?
c. Sample depths below waste incorporation?
d. Background values? (Part 264)
e. Consistent sampling and analysis procedures?
f. Determination of significant changes?
g. Notification when change is found?
3. Does plan include the following: (§265.278(c))
a. Depth of sampling?
b. Number of samples?
c. Frequency and timing of samples?
4. Does owner/operator analyze for hazardous waste constituents?
Section G • Recordkeeping (40 CFR 264/5.279)
1. Are records kept at the facility of:
a. Application dates?
b. Application rates?
c. Quantities?
d. Waste location?
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regulatory requirements are in any way altered by any statemcnt(s) contained herein.
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Land Treatment Checklist OSWER Dir. No. 9938.02(b)
H . rin«ure and Post-Closure (40 CFR 264/5.280) Yes No
1. Is a copy of the closure/post-closure plan kept at the facility? _ _
2. Does closure plan address the following: (§265.280(a))
a. Control of the migration of hazardous waste and hazardous
waste constituents from the treated area into the ground
water? (§265.280(a)(D) _ _
b. Control of the release of contaminated runoff from the
facility into surface water? (§265.280(a)(2)) _ _
c . Control of the release of airborne particulate contaminants
caused by wind erosion? (§265.280(a)(3)) _ _
d. Compliance with §265.276 concerning the growth of food-
chain crops? (§265.280(a)(4)) _ _
3. Does owner/operator ensure the following during closure:
(§264.280(a))
a. Continue all operations necessary to maximize
degradation, transformation, or immobilization of
hazardous constituents within the treatment zone?
(§264.280(a)(D) _ _
b. Minimization of run-off of hazardous constituents?
(§264.280(a)(2)) _ _
c. Maintenance of run-on controls? (§264. 280(a)(3)) _ _
d. Maintenance of runoff management system?
(§264.280(a)(4)) f _ _
e. Wind dispersal control? (§264.280(a)(5)) _ _
f . Continue to comply with any prohibitions or conditions
concerning growth of food-chain crops?
(§264.280(a)(6)) _ _
g. Continue unsaturated-zone monitoring in compliance
with §264.278? (§264.280(a)(7)) _ _
h. Establish a vegetative cover on the portion of the facility
being closed at such time that the cover will not
substantially impede degradation, transformation, or
immobilization of hazardous constituents in the treatment
zone? (§264.280(a)(8)) _ _
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FOR USE BY EPA INSPECTION PERSONNEL'ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statemcnt(s) contained herein.
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Land Treatment Checklist OSWER Dir. No. 9938.02(b)
4. During post-closure care, does owner/operator: Yes No
(§264.280(c))
a. Continue all operations (including pH control) necessary
to enhance degradation and transformation and sustain
immobilization of hazardous constituents in the treatment
zone? (§264.280(c)(D)
b. Maintain a vegetative cover over closed portions of the
facility? (§264.280(c)(2))
c. Maintain the run-on control system required under
§264.273(c)'? (§264.280(c)(3))
d. Maintain the runoff management system required under
§264.273(d)? (§264.280(c)(4))
e. Control wind dispersal of hazardous waste if required
under §264.273(0? (§264.280(c)(5))
f. Continue to comply with any prohibitions or conditions
concerning growth of food-chain crops under §264.276?
(§264.280(c)(6))
g. Continue unsaturated-zone monitoring in compliance
with §264.278? (§264.280(c)(7))
5. Does facility have certification that closure was performed
according to plan? (§265.280(e))
a. Was certification submitted to Regional Administrator?
(Part 265)
6. Does owner/operator continue the following during post-closure?
(§265.280(0)
a. Soil-pore monitoring by collecting and analyzing samples
as specified in the plan? (§265.280(0(1))
b. Restrict access? (§265.280(0(2))
c. Assure that growth of food-chain crops is in compliance?
(§265.280(0(3))
d. Control wind dispersal? (§265.280(0(4))
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any 9tatomcnt(s) contained herein.
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Land Treatment Checklist OSWER Dir. No. 9938.02(b)
Section I - Ignitable or Reactive Wastes (40 CFR 264/5.281) Yes No
1. Are ignitable or reactive waste placed in the facility?
a. If yes, are the wastes treated, rendered, or mixed before or
after placement in the landfill so it is no longer reactive or
ignitable?
b. Describe or attach a copy of treatment.
Section J • Incompatible Wastes (40 CFR 264/5.282)
1. Are incompatible wastes placed in the facility?
a. Are the incompatible wastes placed in different locations
in the facility?
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statcmenUs) contained herein.
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Surface Impoundments Checklist OSWER Dir. No. 9938.02(b)
12. Surface Impoundments Checklist
Section A - Tlpsign and Operating Requirements (40 CFR 264/5.221) Yes No
1. Does the facility operate one or more surface impoundments?
a. If yes, has owner/operator installed two or more liners and
a leachate collection system for any new units,
replacement of any existing units, or lateral expansion of
units? (§264.22 l(c)), (§265.221(a))
b. Is owner/operator exempt from double-liner leachate
collection system requirements because Regional
Administrator has determined that impoundments design
will prevent the migration of hazardous constituents?
(§264.221(d)), (§265.221(a))
c. Did owner/operator notify Regional Administrator 60
days prior to receiving waste? (§265.22 Kb))
d. If impoundment does not have a double liner, is it exempt
due to one of the following reasons? (§264.221(e)),
(§264.221(d))
1. Monofill contains only wastes from a foundry
furnace emission controls or metal casting
molding sand
2. Monofill has at least one liner for which there is no
evidence of leaking
3. Monofill is located, designed, and operated to
ensure that no migration of constituents into
ground or surface water occurs
e. Does owner/operator take measures to prevent overtopping
resulting from overfilling; wind and wave action;
rainfall; run-on; malfunctions of level controllers,
alarms, and other equipment; and human error?
(§264.221(g))
f. Is impoundment surrounded by dikes? (§264.221(h))
Section B - Operating Requirements (§265.221)
1. Does owner/operator maintain at least 60 cm (2 ft) of freeboard
(Part 265)?
a. If no, does owner/operator have certification by a qualified
engineer?
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any slntcmont(s) contained herein.
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Surface Impoundments Checklist OSWER Dir. No. 9938.02(b)
Section C • rnntainmcnt Svatem (40 CFR 265.223) Yes No
1. Do all earthen dikes have a protective cover (e.g., grass, gravel) to
minimize erosion? ____
Section D . Waste Analysis and Trial Tests (40 CFR 265.22S)
1. Are wastes treated in the surface impoundment? (if yes, explain
on a narrative sheet)
2. Has the owner/operator chemically treated a waste (or plans to)
which is substantially different from previously treated wastes?
3. Has the owner/operator chemically treated a waste (or plans to)
using a process that is substantially different from that previously
used?
4. If yes to 2 or 3 above, have waste analyses and trial treatment tests
been conducted?
a. If not, does owner/operator have written documentation on
similar treatment of similar wastes?
Section E • Monitoring and Inspection (40 CFR 264/5.226)
1. Does owner/operator check freeboard level daily? (Part 265) .
2. Are the surface impoundment, dikes, and surrounding vegetation
inspected weekly for deterioration or failures? (Part 265)
3. If regulated under Part 264, does owner/operator:
a. Inspect liners for imperfections (tears and punctures for
synthetic liners and cracks, root holes, etc., for soil-based
liners) during construction and installations?
b. Inspect the operating impoundment weekly and after
storms to detect evidence of deterioration, malfunction,
and overtopping?
c. Have certification that the dike will withstand stresses
from the amount and type of waste to be held and will not
fail due to cleaning?
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any wny altered by any sintoment(s) contained herein.
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Surface Impoundments Checklist OSWER Dir. No. 9938.02(b)
F • Emergency Repairs. Contingency Plans (40 CFR 284.227) YeB No
1. Does facility have a contingency plan? (§264.227(c)) _ _
a . If yes, does plan stipulate that impoundment be removed
from service under the following conditions:
(§264.227(a))
1. Sudden drop in liquid level? _ _
2. Leaking dike? _ _
b. Does plan detail the steps to be followed when removing
impoundment from service, including: (§264.227(b))
1. Shutting off flow into impoundment? _ _
2. Containing any surface leakage? __ _
3. Stopping the leak? _ _
4. Taking measures to prevent catastrophic failure? _ ___
5. Notifying Regional Administrator of problems in
writing if leaks cannot be contained? __ __
c . If impoundment was removed from service, did
owner/operator take the necessary precautions to rectify
problems and to obtain certification before restoring
impoundment to service? __ ___
(§264.227(d))
d. If impoundment was removed from service and was not
restored to service, was impoundment closed in
accordance with an approved closure plan? _ ___
(§264.227(e))
Section G • Closure and Post-Closure (40 CFR 284/5.228)
1. Is a closure plan retained at the facility? _ _
2. At closure, did owner/operator:
a. Remove standing liquid? (§265.228(a)) _ _
b. Remove waste and waste residue? (§265.228(a)(D) _ , _
c. Remove liner? (§265.228(a)(l)) _ _
d. Remove underlying and surrounding contaminated soil? _ _
(§§264/5.228(a)(D)
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FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any stntement(s) contained herein.
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Surface Impoundments Checklist OSWER Dir. No. 9938.02(b)
Yes No
e. If not, did owner/operator demonstrate to Regional
Administrator that the above materials were
nonhazardous? (Part 265)
1. If no, has owner/operator closed the impoundment
and provided post-closure care? (§265.228(a)(2))
3. If regulated under Part 264, has owner/operator:
a. Removed or decontaminated waste residues,
contaminated system components, subsoils, structures,
arid equipment, and managed them as hazardous waste?
(§264.228(a)(D)
b. Eliminated free liquids by removing or solidifying
remaining wastes or waste residues?
(§264.228(a)(2)(i))
c. Stabilized remaining wastes to a bearing capacity
sufficient to support final cover? (§264.228(a)(2)(ii))
d. Covered the impoundment with final cover?
(§264.228(a)(2)(iii))
4. Did owner/operator leave any residuals in place at closure?
(§264.228(b))
5. In post-closure, does owner/operator maintain integrity of cover,
maintain and monitor the leak detection system and ground-
water monitoring system, and prevent run-on and runoff?
(§264.228(b)(D)
IV-128
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory
regulatory requirements art1 in any way altered by any stalement(s) contained herein.
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Surface Impoundments Checklist OSWER Dir. No. 9938,02(b)
Section H • lynitable and Reactive Wastes (40 CFR 264/5.229) Yes No
1. Are ignitable or reactive wastes placed in the impoundment?
a. If yes, are they treated, rendered, or mixed before or
immediately after placement in the impoundment so they
no longer meet the definition of ignitable or reactive?
b. 1. If yes, is the waste managed so that it is protected
from any conditions which may cause it to ignite or
react and is the owner/operator maintaining and
monitoring the leak detection system?
OR
2. If yes, has the owner/operator obtained a
certification that the design features or operating
plans of the facility will prevent ignition or
reaction?
OR
c. Is the impoundment used solely for emergencies?
Section I - Incompatible Wastes (40 CFR 264/5.230)
1. Are incompatible wastes placed in the impoundment?
a. If yes, has the owner/operator taken precautions to prevent
accidental ignition or reaction?
For facilities regulated under Part 264:
Section J • Special Requirements for Hazardous Wastes FQ20. FQ21. F022.
F023. F026. F027 (40 CFR 264.231)
1. Does the impoundment contain hazardous waste numbers F020,
F021, F022, F023, F026, F027?
a. If yes, does the owner/operator operate the impoundment in
accordance with a management plan approved by the
Regional Administrator or comparable state authority?
IV-129
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statemonl(s) contained herein.
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Thermal Treatment Checklist OSWER Dir. No. 9938.02(b)
13. Thermal Treatment Checklist
NOTE: Applies to thermal treatment of hazardous waste in devices other than incinerators.
Section A • OperatingTterpifrpnvTita (40 CFR 2fiS Suhpart P) Yes No
1. Is the process a noncontinuous (batch) process? -
(§265.373) : ;
a. If no, is the process operating at steady-state conditions
(including temperature) before adding hazardous waste?
b. Is a waste analysis documented in the operating record
that includes: (§265.375)
1. Heating value?
2. Halogen content?
3. Sulfur content?
4. Concentration of lead?
5. Concentration of mercury?
NOTE: 4 and 5 not required if facility has written documented
data that show the elements are not present.
2. Does the owner/operator monitor the following when thermally
treating hazardous wastes: (§265.377)
a. At least every 15 minutes, existing instruments which
relate to the temperature and emission control:
(§265.377(a)(l))
1. Waste feed?
2. Auxiliary fuel feed?
3. Treatment process temperature?
4. Relevant process flow?
5. Relevant level controls?
b. Stack plume (emissions) at least hourly:
(§265.377(a)(2))
1. Color (normal)?
2. Opacity?
c. Thermal treatment process equipment at least daily:
(§265.377(a)(3))
1. Pumps, valves, conveyors, pipes, etc., for leaks,
spills, and fugitive emissions?
2. Emergency shutdown controls?
3. System alarms?
rv-130
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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Thermal Treatment Checklist OSWER Dir. No. 9938.02(b)
d.- Construction materials of the treatment process or Yes No
equipment at least weekly to detect corrosion or leaking of
fixtures or seams?
e. Construction materials of the area immediately
surrounding discharge confinement structures at least
weekly?
Section B. Closure (40 CFR 26S.381)
1. Is a closure plan maintained at the facility?
Section C • Open Burning (40 CFR 265.382)
1. Is there evidence of any open burning of hazardous waste? (Use
narrative explanation sheet) .
2. Is open burning or detonation of waste explosives conducted? ___ .
a. If yes, is the detonation performed in accordance with the
following table:
Pounds of waste explosives Minimum distance from open burning
or propellanta detonation to the property of others
0-100 204m (670ft)
101-1,000 380m (1250ft)
1,001-10,000 530m (1730ft)
10,001-30,000 690m (2260ft)
Section D - Particular HnwirHniia Waste (40 CFR 265.383)
1. Does owner/operator burn F020, F021, F022, F023, F026, and/or
F027 wastes?
a. If yes, does owner/operator have documented permission
from Assistant Administrator for Solid Waste and
Emergency Response to do so?
Section E • Ignitable or Reactive Waste
1. Are ignitable or reactive wastes placed in the treatment process?
a. If yes, is the waste treated, rendered, or mixed before or
immediately after being placed in the treatment process so
it no longer meets the definition of ignitable or reactive?
Describe or attach a copy of the treatment.
IV.131
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statemcnl(s) contained herein.
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Thermal Treatment Checklist OSWER Dir. No. 9938.02(b)
Section f • Tnfinmpatihle Waatea Yes No
1. Are incompatible wastes placed in the same treatment process or
equipment?
2. Are hazardous wastes placed in washed equipment if equipment
previously held incompatible waste? ,
IV-132
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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Transporters Checklist OSWER Dir. No. 9938.02(b)
14. Transporters Checklist
Section A • EPA LD. No. (40 CFR 263.11) Yes No
1. Does transporter have an EPA I.D. No.?
a. If yes, what is EPA LD.?
Section R • Transfer Facility Requirements (40 CFR 263.12)
1. Does transporter store wastes at a transfer facility?
a. If yes, does transporter store wastes longer than 10 days?
Section C - Manifests (40 CFR 263.20)
1. Does transporter use manifests?
a. If yes, are manifests signed and dated?
b. Does transporter return signed copies of manifests to
generators? (§263.20(b))
c. Does transporter carry manifests with waste shipments?
(§263.20(c))
d. Does transporter obtain delivery date and signature of next
transporter or owner/operator of designated facility at
delivery? (§263.20(d)(D)
e. Does transporter retain copies? (§263.20(d)(2))
f. Does transporter give remaining copies to accepting
transporter or facility? (§263.20(d)(3))
g. Is transporter a water (bulk shipment) transporter?
(§263.20(e))
1. If yes, is waste delivered to receiving facility by
water? (§263.20(e)(D)
2. Does transporter carry a shipping paper with the
waste containing all information required on the
manifest (excluding EPA I.D. numbers, generator
certification, and signatures)? (§263.20(e)(2))
3. Does transporter obtain delivery date and
handwritten signature of owner/operator of
designated facility on manifest or shipping paper?
(§263.20(e)(3))
4. Does transporter retain copies of shipping papers or
manifests, in accordance with §263.22?
(§263.20(e)(5))
h. Is transporter a rail transporter? (§263.20(0) '
IV-133
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual ia intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any sutcmcnt(s) contained herein.
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Transporters Checklist OSWER Dir. No. 9938.02(b)
Yes No
1. If yes, when accepting waste from a nonrail
transporter, does rail transporter sign and date
manifest acknowledging acceptance of waste?
(§263.20(f)(D(i))
2. Does rail transporter return a signed copy of
manifest to nonrail transporter?
(§263.20(f)(l)(ii))
3. Does rail transporter forward manifest copies to:
(§263.20(f)(l)(iii))
a. The next nonrail transporter?
OR
b. Designated receiving facility (if reached
by rail)?
OR
c. The last rail transporter designated to
handle the waste in the U.S.?
4. Does rail transporter retain a copy of manifest?
(§263.20(f)(D(iv), 263.22(c))
5. Does rail transporter ensure that a shipping paper
accompanies the hazardous waste and contains all
information required on manifest (excluding EPA
I.D., generator certification, and signatures)?
(§263.20(0(2))
6. Does rail transporter obtain delivery date and
handwritten signature of owner/operator of
designated facility or the next nonrail transporter
on manifest? (§263.20(0(3), (4))
7. Does rail transporter retain a copy of the manifest
or signed shipping paper? (§263.20(0(3), (4))
i. Does transporter transport waste outside of the U.S.?
(§263.20(g))
1. If yes, does the transporter:
a. Indicate on manifest the date that shipment
left the U.S.?
b. Sign manifest and retain one copy?
c. Return a signed copy of manifest to
generator?
IV-134
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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Transporters Checklist OSWER Dir. No. 9938.02(b)
Section D • Compliance With the Manifest (40 CFR 263.21) Yes No
1. Does transporter deliver entire shipment of hazardous waste to:
(§263.21(a))
a. Designated facility listed on manifest?
b. Alternate designated facility, if emergency prevents
delivery to designated facility?
c. Next designated transporter?
d. Place outside U.S. designated by generator?
e. If no, does transporter contact generator for further
directions, and then revise manifest accordingly?
(§263.21(b))
Section E - Recordkeeping (40 CFR 263.22)
1. Does transporter keep a copy of manifest signed by generator,
himself, and next designated transporter for 3 years from the date
the hazardous waste was accepted by the initial transporter?
(§263.22(a))
2. Does water (bulk shipment) transporter retain copy of shipping
paper for each shipment delivered by water for 3 years from the
date the hazardous waste was accepted by the initial transporter?
(§263.22(b))
3. Does initial rail transporter keep a copy of manifest and/or
shipping paper for 3 years from the date the hazardous waste was
accepted by the initial transporter? (§263.22(c))
4. Does transporter shipping waste outside of the U.S. keep for 3 years
copy indicating that waste was shipped from the date the hazardous
waste was accepted by the initial transporter? (§263.22(d))
IV-135
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statcmcnt(s) contained herein.
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Waste Information Checklist OSWER Dir. No. 9938.02(b)
15. Waste Information Checklist
Wastename ; Yes No
Process generating the waste:
How has facility classified the waste:
Hazardous? (If so, list waste code)
Non-hazardous?
How has facility made this determination: (§262.11)
Testing?
Process knowledge?
Are any test results available? (If yes, be sure to look at results)
Waste generation rate:
Disposal procedure:
Current.
Past: _
Have manifests been used for off-site shipment? (If so, be sure to look at
manifests) (§262.20)
Is waste subject to land disposal restrictions under 40 CFR 268?
Is waste subject to exclusions under 40 CFR 261.4?
IV-136
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statcment(s) contained herein.
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Waste Information Checklist OSWER Dir. No. 9938.02(b)
Checklist for Inspection of a New RCRA Incinerator
Section A • Verification of Installation °f Monitoring Equipment as
Specified in Permit/Permit Application (40 CFR 264.347)
Type of Location
Parameter Instrument of Sensor Specifications
1. Temperature
a. Primary Chamber
b. Secondary Chamber
c.
d.
2. CO Emissions
3. O2 Emissions
4. Flue Gas Flow Rate or
Velocity or Equivalent
Method:
( )
5. Feed Rate of Each Waste
Stream to Each
Combustion Chamber
Chamber/Waste Stream
a,
b.
e.
6. Pressure in Primary
Chamber
7. Air Pollution Control
a.
IV-137
FOR USE BY EPA.INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any slatcmont(s) contained herein.
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Waste Information Checklist
OSWER Dir. No. 9938.02(b)
Parameter
Type of
Instrument
Location
of Sensor
Specifications
8. Inlet Gas Temperature to
Air Pollution Control
Device
a.
b.
c.
d.
9. Additional Key
Parameters
a.
b.
c.
d.
e.
f.
g-
Section B • Verification of Construction of the Incinerator and Support
Accordance with the Specifications in the
Plprmit Application
1. Develop a list of specifications to be verified.
f! . CTmkoHnwn Period Hgqtiir*»ments (40 CFR 264At4(cUD)
Verify no greater than 720 hr of testing with hazardous wastes
OR
1.
2. Verify that testing with hazardous wastes did not exceed the limits
provided in the approved extension to the shakedown period.
3. Verify compliance with operating conditions during shakedown
period.
IV-138
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statcment(s) contained herein.
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Waste Information Checklist OSWER Dir. No. 9938.02(b)
Section D • Compliance Schedule Requirements
Summary List of Compliance Schedule Items Adequate
(use additional pages if necessary) Response?
IV-139
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual ia intended solely for guidance. No statutory or
regulatory requirements arc in any way altered by any statcmcnt(s) contained herein.
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Waste Piles Checklist OSWER Dir. No. 9938.02(b)
16. Waste Piles Checklist
Section A • TV»srign and OperatingRpqnirpmpnts (40 CFR 264/5.250) Yes No
1. Is the pile containing hazardous waste protected from wind?
(§264.251(j), (§265.251(j))
2. Does waste pile have a liner and leachate collection system?
(§264.251(a))
a. If no, has facility proved to Regional Administrator that
waste pile's design characteristics and location will
prevent migration of hazardous constituents into ground
water? (§264.25 l(b))
3. Is run-on diverted around active portion? (§264.251(g))
4. Is runoff collected and controlled? (§264.250(h))
5. Are collection and holding facilities emptied after storms?
(§264.25 l(i)) .
Section B • Waste Analysis (40 CFR 265.252)
1. Is a representative sample of waste from each incoming shipment
analyzed before the waste is added to the pile to determine the
compatibility of the wastes?
2. Does the analysis include a visual comparison of color or texture?
Section C • Containment (4f\ CFR 265.253)
1. Is the leachate or runoff from the pile considered a hazardous
waste?
a. If yes, is the pile managed with the following:
(§265.253(a)) -
1. An impermeable base compatible with the waste?
2. Run-on diversion?
3. Leachate and runoff collection?
4. Are collection and holding facilities periodically
emptied?
OR
5. Is the pile protected from precipitation and run-on
by some other means? (§265.253(b))
I
IV-140
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statcment(s) contained herein.
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Waste Piles Checklist OSWER Dir. No. 9938.02(b)
Section D • Monitoring and Inspection (40 CFR 264.254) Yes No
1. Are liners and covers inspected for damage during construction?
(§264.254(a))
2. Are waste piles inspected weekly and after storms for
deterioration, run-on and runoff controls, wind dispersal control,
and proper function of leachate collection system?'
(§264.254(b))
Section E • Ignitable or Reactive Wastes (40 CFR 264/5.256)
1. Are ignitable or reactive wastes placed in the pile?
(§§264/5.256(a))
a. If yes, is the waste treated, rendered, or mixed so that the
addition of the resulting waste results in the waste or
mixture no longer meeting the definition and complies
with §264.17(b)? (Use narrative explanation sheet to
describe procedure.)
OR
b. Is the waste protected from sources of ignition or reaction?
(§264.256(b)), (§265.256(a)(2))
1. If yes, use narrative explanation sheet to describe
separation and confinement procedures.
2. If no, vise narrative explanation sheet to describe
sources of ignition or reaction.
Section F - Incompatible Wastes (40 CFR 264/5.257)
1. Are incompatible wastes placed together in the pile?
2. Are incompatible wastes separated from each other by a dike,
berm, or wall? (§§264/5.257(b))
3. Is there evidence of fire, explosion, gaseous emissions, leaching,
or other discharge? (Use narrative explanation sheet.)
Section G • Closure and Post-Closure (40 CFR 264/5.258)
1. Is a closure plan retained at the facility?
2. At closure, were all waste residues, contaminated system
components, contaminated subsoils, and structures and
equipment contaminated with waste or leachate, removed or
decontaminated? (§§264/5.258(a))
3. Were all contaminated subsoils removed from the site?
(§§264/5.258(a))
IV-141
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statemcnt(s) contained herein.
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Waste Piles Checklist OSWER Dir. No. 9938.02(b}
Yes No
a. If no, did owner/operator close the facility and perform
closure and post-closure care in accordance with §264.310
and 265.310?
4. Is a plan for complying with No. 2 above included in closure plan?
(§264.258(b))
5. Is a contingency plan for complying with No. 3a above included in
the plan? (§264.258(c)(l)(i))
6. Is a contingency post-closure plan included?
(§264.258(c)(l)(ii))
7. Are cost estimates for the contingent closure and post-closure plan
included in closure plan? (§264.258(c)(2))
Section H • RfiiirpTnAnta far Waste F020. FQ21 . FQ22. F023. FQ26. and F027
1. Does facility place these F wastes in a waste pile?
a. If yes, does facility have an approved management plan
for these wastes?
IV-142
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statemcnt(s) contained herein.
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RCRA Waste Minimization Checklist OSWER Dir. No. 9938.02(b)
17. RCRA Waste Minimization Checklist
A. Statutory/Regulatory Requirements Yes No
1. Has the manifest been certified by an authorized representative?
(§262.20(a))
2. Has the waste minimization statement on the manifest been
altered or deleted? (§262.20(a))
3. Does the facility have a written description of their waste
minimization program? (§262.20(a)), (§§264/5.75)
If a written description is not provided, can the facility personnel
provide a verbal description of the waste minimization program?
Description of program:
4. Is there any visual evidence of the facility's waste minimization
efforts?
If yes, describe the activities/program observed.
5. Does the description in the biennial report and/or annual export
reports include:
a) A description of the efforts undertaken during the year to
reduce the volume and toxicity of waste generated?
(§262.41(a)(6)); (§262.56(a)(5)(i)); (§§264/265.75(h))
b) A description of the changes in volume and toxicity of
waste actually achieved during the year in comparison to
previous years? (§262.41(a)(7)); (§262.56(a)(5)(ii));
(§§264/265.75(0)
c) Certification by the generator or authorized
representative? (§262.56(a)(6) requires certification by
primary exporter, §§264/5.75(j) requires certification by
the owner/operator or authorized representative.)
(§262.41(a)(8)); (§262.56(a)(6)); (§§264/265.75(j))
IV-143
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statcmcnt(s) contained herein.
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RCRA Waste Minimization Checklist OSWER Dir. No. 9938.02(b)
Yes No
6. For permitted facilities, does the operating record contain a
certification by permittee (at least annually) that the permittee has
a program in place to reduce the volume and toxicity of the
hazardous wastes? (§264.73.(b)(9))
B. Permit/Enforcement Requirements
7. Does the facility's permit contain any waste minimization
requirements?
If yes, briefly describe the requirements and indicate if they have
been met
C. Permit/Regulatory Requirements
8. Are there waste minimization requirements contained in
enforcement orders or settlement agreements with the facility?
If yes, briefly describe the requirements and indicate if they have
been met
IV-144
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
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ADDITIONAL RESOURCES
-------
OSWER Dir. No. 9938.02(b)
Appendix V
Additional
Resources
SECTION PAGE
Introduction V-2
I. General Inspection Documents V-2
II. Treatment, Storage, and Disposal Facility Documents V-3
III. Corrective Action Documents V-4
IV. Groundwater Monitoring Documents V-4
V. Land Disposal Restrictions Documents V-4
VI. Permit Documents V-4
VII. Underground Storage Tank Documents V-5
VIII. References on Industrial Processes V-5
IX. EPA Guidance and Background Documents for Subtitle C V-6
v-i
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements arc in any way altered by any stotcmcnt(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Introduction
The following is a list of guidance manuals and other documents that may be used as
resources by RCRA inspectors to assist them in the performance of their work. The documents are
divided into eight categories, based on their subject matter. The categories are:
General inspection documents
TSD facility documents
Corrective action documents
Groundwater monitoring documents
Land disposal restrictions documents
Permit documents
Underground storage tank documents
References on industrial processes.
Within each category, the documents are referenced alphabetically. The date references
next to documents indicate their effective dates; only years have been provided for some
documents. Those with OSWER directive numbers (i.e., 9950.3) and the 530 numbers are
available through the RCRA docket at EPA Headquarters; the PB series are available through the
National Technical Information Services (NTIS). RCRA inspectors should check with their
regional library before consulting the RCRA docket or NTIS for these and other reference
materials.
L General Inspection Documents
Date Order No.
Enforcement Liability Requirements for October 29, 1988 9901.0
Operating RCRA Treatment, Storage and
Disposal Facilities
RCRA Facility Investigation Guidance May 15,1989 9502.00-6D
Interim Final; Vol. I: Development of an RFI PB89-200-299
Work Plan and General Considerations for
RCRA Facility Investigations; Vol. II: Soil,
Groundwater, and Subsurface Gas Releases;
Vol. Ill: Air and Surface Water Releases;
Vol. IV: Case Study Examples
RCRA Laboratory Audit Inspection Guidance 1988 9950.4
Document
RCRA Technical Case Development Guidance 1988 9938.3
Document
V-2
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements arc in any way altered by any statements) contained herein.
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OSWER Dir. No. 9938.02(b)
EL Treatment, Storage, and Disposal Facility Documents
Date
1991
October 1987
April 20, 1987
1989
September 1988
February 1991
December 15, 1990
September 15, 1988
April 14,1987
March 1991
Conducting RCRA Inspections at Mixed Waste
Facilities
Enforcement Manual for Conducting RCRA
Facility Assessments at POTWs
Enforcement of Financial Responsibility
Requirements for RCRA Treatment, Storage,
and Disposal Facilities That Are Closing
Hazardous Waste Incinerator Inspection
Manual
Hazardous Waste Tank Systems Inspection
Manual
Land Disposal Restriction: Summary of
Requirements
Methods Manual for Compliance with the
Boilers and Industrial Furnace Regulations—
Burning Hazardous Waste in Boilers and
Industrial Furnaces
Model RCRA Permit for Hazardous Waste
Management Facilities
Part 265—Land Treatment Closure Post-
Closure Guidance
RCRA Regulations—Affecting Generators and
Transporters (40 CFR 262 and 263);
Explanations of Revisions in Reporting
Burden Estimates
Rules for Hazardous Waste Tank Systems
Technical Guidance Document: Final Covers
on Hazardous Waste Landfills and Surface
Impoundments -
Use of Corrective Action Authorities at Closing
Facilities
Order No.
9938.9
January 15,1988
July 15, 1989
March 8, 1988
9901.2
9938.6
9938.4
9934.0-1A
PB91-120-006
530-SW-91-010
PB90-210-998
530-SW-90-049
9476.00-14
PB87-15576/AS
530-SW-88-004
PB89-233-489
9502.00-7
V-3
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statcmcnt(s) contained herein.
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OSWER Dir. No. 9938.02(b)
ILL Corrective Action Documents
TVvniment Title
RCRA Corrective Action Interim Measures
Guidance—Interim Final
RCRA Corrective Action Plan; Interim Final
RCRA Facility Assessment Guidance
Date
June 16,1988
June 16,1988
October 9,1986
Order No.
530-SW-88-029
530-SW-88-028
PB87-107-769
530-SW-86-053
IV. Groundwater Monitoring Documents
Groundwater Monitoring at Clean Closing
Surface Impoundments and Waste Pile Units
Operation and Maintenance Inspection Guide
(RCRA Groundwater Monitoring Systems)
RCRA Comprehensive Groundwater
Monitoring Evaluation Document
RCRA Groundwater Monitoring Technical
Enforcement Guidance Document
Date
March 31,1988
1988
1988
September 1986
Order No.
9476.00-14
9950.3
9950.2
9950.1
055-000-00260-6
V. Land Disposal Restrictions Documents
Document Title Date
Land Disposal Restrictions Inspection Manual 1988
Order No.
9938.1A
VL Permit Documents
Document Title
Modifying RCRA Permits
Permitting Hazardous Waste Incinerators
Permit Writers' Guidance Manual for
Hazardous Waste Land Treatment, Storage,
and Disposal Facilities—Phase I: Criteria for
Location Acceptability and Existing Applicable
Regulations
Permit Writers' Guidance Manual for
Hazardous Waste Tank Standards
Date
September 15,1989
April 15,1988
February 15,1985
July 15,1986
V-4
Order No.
530-SW-89-050
530-SW-88-024
PB86-125-580/AS
530-SW-85-024
PB89-126-478
530-SW-89-003
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
-------
OSWER Dir. No. 9938.020))
VIL Underground Storage Tank Documents
TVvniment Title Dotfi Order No.
Detecting Leaks—Successful Methods Step-by- November 1989 530-/UST-89-012
Step
Guidance for Federal Field Citation March 20,1991 960L13
Enforcement
U.S. EPA Penalty Guidance for Violations of November 14,1990 9610.12
UST Regulations
UST/LUST Enforcement Procedures Manual August 7, 1990 9610.11
VUL References on Industrial Processes
Air Pollution Engineering Manual. EPA, Pub. No. AP 40.
Background Documents for Waste Listing, EPA, Office of Solid Waste. Background documents
have been prepared by EPA for all hazardous waste codes, providing information on the material
listed, its generation, and the basis for the waste code listing.
Chemical and Process Technology Encyclopedia. Douglas M. Considine, ed. New York:
McGraw-Hill Book Co., 1974.
Effluent Guidelines Development Documents. EPA, Office of Water Regulations and Standards,
Effluent Guidelines Division. Effluent guidelines documents have been prepared for numerous
industries regulated through categorical discharge standards promulgated under authority of the
Clean Water Act.
Encyclopedia of Chemical Technology. Herman Mark, Donald Othmer, Charles Overberger, and
Glenn Seaborg, eds. New York: John Wiley Sons, 1982.
Industrial Pollution Control: Issues and Techniques. Nancy Sell, Ph.D., New York: Van
Nostrand Reinhold Co., 1981.
Industrial Water Pollution Control. W.W. Eckenfelder, Jr., New York: McGraw-Hill Book Co.,
1966.
Industrial Water Pollution: Origins. Characteristics, and Treatment. N.L. Nemerow, Reading,
Mass: Addison-Wesley, 1978.
Liquid Wastes of Industry: Theories. Practices and Treatment. N.L. Nemerow, Reading, Mass:
Addison-Wesley, 1971.
Stationary Point and Area Sources. EPA, Pub. No. AP 42.
Theories and Practices of Industrial Waste Treatment. N.L. Nemerow, Reading, Mass:
Addison-Wesley, 1963.
V-5
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No ctatutory or
regulatory requirements are in any way altered by any statcment(s) contained herein.
-------
OSWER Dir. No. 9938.02(b)
Understanding the Small Quantity Generator Hazardous Waste Rules—A Handbook for Small
Business. EPA, Office of Solid Waste, Pub. No. 530/SW-86-019 (Updated version to be issued in
1992).
Various publications of the Air Pollution Control Association on industrial sources of air
pollution.
IX. EPA Guidance and Background Documents for SubtiUeC
Regional Guidance Manual for Selected Interim Status Requirements (DrafV)r Pub, No. PBS 1-184
988, May 1,1980.
Section on Plans Recordkeeping, including sample waste analysis plan, contingency plan,
ground-water assessment plans, and operating record.
Final Draft Guidance for Subpart C of the Interim Status Standards for Owners and Operators of
Hazardous Waste Treatment. Storage and Disposal Facilities. Pub. No. PB87-193 397, November
15,1981.
Method for Determining the Compatibility of Hazardous Waste. Pub. No. EPA 600-2/80/076, 1980.
RCRA Ground-Water Monitoring Technical Enforcement Guidance Document. OSWER
Directive No. 9950.1, 1985.
Background Documents. Sixteen background documents developed by the Agency to explain and
respond to comments on the Phase I rules, each corresponding to a Section of the Subpart. List of
background documents is as follows:
a. Purpose, Scope, and Applicability (including general issues concerning Interim Status
Standards), Pub. No. PBS 1-181414, April 15,1980.
b. General Waste Analysis Requirements, Pub. No. PB81-181 406, April 29, 1980.
c. Security, Pub. No. PB81-181 398, April 15,1980.
d. General Inspection Requirements, Pub. No. PBS 1-190 001, April 15,1980.
e. Personnel Training, Pub. No. PB81-181 380, April 15, 1980.
f. Preparedness and Prevention, Contingency Plans, and Emergency Procedures, Pub.
No. PB81-181372, April 15,1980.
g. Manifest System, Recordkeeping, and Reporting, Pub. No. PB81-190 043, April 15, 1980.
h. Interim Status Standards for Ground-Water Monitoring, Pub. No. PB81-189 79, May 20,
1980.
i. Interim Status Standards for Closure and Post-Closure, Pub. No. PB181-189 763,
December 15,1980.
j. Interim Status Standards Financial Requirements, Pub. No. PB81-1899 326, January 15,
1981.
k. Interim Status Standards for Tanks, Pub. No. PB81-190 050, December 15,1980.
1. Interim Status Standards for Surface Impoundments, Pub. No. PB81-185 001, April 15,
1980.
m . Interim Status Standards for Land Treatment, Pub. No. PB81-190 068, April 15,1980.
n. Interim Status Standards for Landfills, Pub. No. PB81-189 789, February 15,1981.
o. Interim Status Standards for Incinerators, Pub. No. PB81-190 092, December 15, 1981.
p. Interim Status Standards for Thermal Treatment, Pub. No. PBS 1-189 771, April 15, 1980.
V-6
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No itatutory or
regulatory requirements arc in any way altered by any statcmcnt(s) contained herein.
-------
OSWER Dir. No. 9938.02(b)
The inspector can obtain these documents from EPA Regional Office libraries, at EPA
Headquarters library, or from Solid Waste Information, U.S. EPA, 26 West St. Clair Street,
Cincinnati, Ohio 45268.
V-7
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirement* arc in any way altered by any statement^) contained herein.
-------
FEDERAL REGISTERS
-------
OSWER Dir. No. 9938.02(b)
Appendix VI
Significant Recent
RCRA Federal Register
Entries
In the following table, we have cited and described entries in the Federal Register that have
appeared since January 1, 1990 and that have relevance to RCRA inspectors. Short summaries
have been provided for each rule, along with the respective effective dates. The entries appear in
order of CFR Part, beginning with 40 CFR 258 and, within each CFR Part, are in reverse
chronological order of Federal Register publication date.
CFR
Parts,
Sections
Affected
40CFR258
40 CFR 261
Title of Rule
Solid Waste
Disposal Facility
Criteria
Identification and
Listing of
Hazardous Waste;
Wood Preserving
Wastes
Effective
Date
10/09/93
(Except
Subpart G
04/09/94)
Federal
Register
Publication
Date
10/09/91
56 FR 50978
04/27/93
58 FR 25706
Summary of Rule
This final rule established
requirements for municipal solid
waste landfills under 40 CFR
Parts 257 and 258. Specifically, it
covers location restrictions,
facility design operations,
groundwater monitoring,
corrective action measures and
conditions for closing including
financial responsibility. The rule
conditionally exempts certain
small landfills from the design,
groundwater monitoring, and
corrective action requirements.
In this rule, EPA proposed to list as
hazardous waste code F033 the
process residuals and wastewaters
from wood preserving operations
which use pentachlorophenate.
yi-i
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statcmcnt(s) contained herein.
-------
OSWER Dir. No. 9938.02(b)
Significant Recent RCRA Federal Register Entries (Continued)
CFR
Parts,
Sections
Affected
40 CFR 261
40 CFR 261
40 CFR 261
40 CFR 261
40 CFR 261
Title of Rule
Identification and
Listing of
Hazardous Waste;
Wood Preserving
Wastes
Suspension of
Toxicity
Characteristic Rule
for Non-UST
Petroleum Product
Contaminated
Media and Debris
Identification and
Listing of
Hazardous Waste;
Toxicity
Characteristic
Revision
Definition of
Hazardous Waste;
"Mixture" and
Derived-From"
Rules
Definition of
Hazardous Waste;
"Mixture" and
Derived-From"
Rules; Withdrawal
of Proposed Rule
Effective
Date
12/24/92
and
06/24/93
11/24/92
10/30/92
Federal
Register
Publication
Date
12/24/92
57 FR 61492,
12/24/92
57 FR 61542
11/24/92
57 FR 55114
10/30/92
57 FR 49278
10/30/92
57 FR 49280
Summary of Rule
This final rule amends the F032,
F034, and F035 hazardous waste
listings. In addition, the rule
modified the drip pad standards
for wood preserving facilities.
In this rule EPA proposed a
suspension of the Toxicity
Characteristic rule waste codes
D018-D043 for three years for
media and debris contaminated by
petroleum products from sources
other than RCRA Subtitle I
underground storage tanks.
In this final rule, EPA amended
the hazardous waste regulations
for testing conducted to evaluate a
solid waste for the Toxicity
Characteristic. Specifically, this
rule removes the Quality
Assurance (QA) requirement
found in method 1311, the Toxicity
Characteristic Leaching
Procedure (TCLP), for correcting
measured values for analytical
bias.
This final rule removes the
"sunset" provision from the
reinstatement of mixture and
derived-from rules in the 3/3/92
Federal Register.
This rule withdraws the proposed
regulation, HWIR, which would
have amended the hazardous
waste identification listing
regulations. EPA withdrew the
CBEC and ECHO approaches in
response to a broad range of
comments received on HWIR.
VI-2
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any stntement(s) contained herein.
-------
OSWER Dir. No. 9938.02(b)
Significant Recent RCRA Federal Register Entries (Continued)
CFR
Parts,
Sections
Affected
40 CFR 261
40 CFR 261
40 CFR 261
40 CFR 261
Title of Rule
Identification and
Listing of
Hazardous Waste;
Chlorinated
Toluenes Production
Wastes
Identification and
Listing of
Hazardous Waste;
Coke-by-Products
Wastes
Identification and
Listing of
Hazardous Waste;
Exclusions
Identification and
Listing of
Hazardous Waste;
Used Oil
Effective
Date
04/15/93
02/18/93
06722/92
06/19/92
Federal
Register
Publication
Date
10/15/92
57 FR 47376
08/18/92
57 FR 37284
06/22/92
57 FR 27880
05/20/92
57 FR 2 1524
Summary of Rule
EPA amended its RCRA
regulations by adding three wastes
generated during the production of
chlorinated toluenes to the list of
hazardous waste from specific
sources. The new wastes are listed
as K149-151.
This final rule promulgated seven
waste codes as additions to the List
of "K wastes" found in 261.31;
K141-145, K147,andK148. These
new wastes are generated during
the production, recovery, and
refining of coke-by-products
produced from coal.
This final rule amends the
exclusion from the definition of
solid waste for coke-by-product
residues that are recycled in
certain manners. 40 CFR
261.4(a)9 now excludes not only
K087, but any wastes from the
coke-by-products processes that are
hazardous only because they
exhibit the Toxicity
Characteristic. When subsequent
to generation, these materials are
recycled to coke ovens, to the tar
recovery process as a feedstock to
produce coal tar, or are mixed with
coal tar prior to the tar's sale or
refining.
This final rule determined that
used oil destined for disposal will
not be considered a listed
hazardous waste. This rule also
promulgated an exclusion from
the definition of hazardous waste
in 40 CFR 261.4(b)(15) for certain
types of used oil filters.
VI-3
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statcment(s) contained herein.
-------
OSWER Dir. No. 9938.02(b)
Significant Recent RCRA Federal Register Entries (Continued)
CFR
Parts,
Sections
Affected
40 CFR 261
40 CFR 261
40 CFR 261
40 CFR 261
Title of Rule
Identification and
Listing of
Hazardous Waste
Hazardous Waste
Management
System; Definition
of Hazardous
Waste; "Mixture"
and "Derived-
From" Rules
Hazardous Waste
Management
System;
Identification and
Listing of
Hazardous Waste
Final Regulatory
Determination for
Special Wastes from
Mineral Processing
(Mining Waste
Exclusion)
Effective
* Date
02/18/92
01/13/92
07/15/91
Federal
Register
Publication
Date
05/20/92
57 FR 21450
03/03/92
57 FR 7628
01^02/92
57FR12
06/13/91
56 FR 27300
Summary of Rule
This rule, known as HWIR,
proposed two approaches for
amending the hazardous waste
identification listing regulations.
The two approaches are known as
CBEC and ECHO.
This rule simultaneously
removed and reissued 40 CFR
261.3, including the "mixture"
and "derived-from" rules, on an
interim basis under §553(b)(3)(B)
of the Administrative Procedure
Act (APA). The effective date of
this rule was February 18, 1992,
and the expiration date for
paragraphs (a)(2)(iv) and (c)(2)(i)
of 40 CFR §261.3 is April 28, 1993.
EPA finalized the July 19, 1991 (56
FR 33238) proposed rule to confirm
40 CFR §261.11(aX3) to reflect the
Agency's intent and
interpretation of one of the criteria
for listing wastes as hazardous.
This final rule presented the
Agency's final regulatory
determination on mineral
processing wastes. EPA
concluded that regulation under
Subtitle C of RCRA is
inappropriate for all 20 of the
special wastes that were studied
and listed under §261.4(b)(7). EPA
plans to address 18 of these wastes
under Subtitle D of RCRA. The
remaining two wastes,
phosphogypsum and process
wastewater from phosphoric acid
production, are slated to be
regulated under a program EPA
plans to develop under, the Toxic
Substance Control Act.
VI-4
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statcment(s) contained herein.
-------
OSWER Dir. No. 9938.02(b)
Significant Recent RCRA Federal Register Entries (Continued)
CFR
Parts,
Sections
Affected
40 CFR 261
40 CFR 261
Title of Rule
Hazardous Waste
Management
System:
Identification and
Listing of
Hazardous Waste;
CERCLA Hazardous
Substance
Designation •
Petroleum Refinery
Primary and
Secondary
Oil/Water/Solids
Separation Sludge
Listings (F037 and
F038)
Hazardous Waste
Management
Systems:
Identification and
Listing of
Hazardous Waste
Effective
Date
05/02/91
05/01/92
Federal
Register
Publication
Date
05/13/91
56 FR 21955
05/01/91
56 FR 19951
Summary of Rule
This interim final rule revised the
definition of waste subject to the
F037 and F038 listings found at 40
CFR §261.31 to state that sludges
from non-contact once-through
cooling waters are not included.
This rule further amended F038
listings to clarify that floats
generated in aggressive biological
treatment units are not included
in the listing description of that
waste stream.
This final rule announced an
administrative stay on a portion of
the hazardous waste listing for
K069 found at 40 CFR §261.32 so
that the listing does not apply to
slurries generated from air
pollution control devices that are
intended to capture acid gases and
are not dedicated chiefly to control
of particulate air emissions. The
administrative stay remains in
effect until 30 days after the
completion of a rulemaking that
permanently amends the
language of the K069 listing to
clarify the scope of the listing.
VI-5
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statement(s) contained herein.
-------
OSWER Dir. No. 9938.02(b)
Significant Recent RCRA Federal Register Entries (Continued)
CFR
Parts,
Sections
Affected
40 CFR 261
40 CFR 261
40 CFR 261
Title of Rule
Hazardous Waste
Management
System;
Identification and
Listing of
Hazardous Waste
Toxicity
Characteristic;
Hydrocarbon
Recovery Operations
Hazardous Waste
Management
System;
Identification and
Listing of
Hazardous Waste;
Toxicity
Characteristic
Hazardous Waste
Management
Systems
Identification and
Listing of
Hazardous Waste;
Toxicity
Characteristic;
Hydrocarbon
Recovery Operations
Effective
Date
03/25/91
02/05/91
02/01/91
Federal
Register
Publication
Date
04/02/91
56 FR 13406
02/13/91
56 FR 59 10
02/01/91
56 FR 3978
1
Summary of Rule
The final rule extended the
compliance date for the toxicity
characteristic regulations from
March 25, 1991, to January 25, 1993,
for produced groundwaters from
free-phase hydrocarbon recovery
operations at petroleum refineries,
marketing terminals, bulk plants,
petroleum pipelines and
transportation sector spill sites.
The purpose of this extension is to
ensure that cleanup activities at
these facilities are not disrupted or
stopped due to noncompliance with
the toxicity characteristic rule.
The rule amended 40 CFR
§261.4(b)(ll).
This interim final rule suspended
the toxicity characteristic rule for
used refrigerants that would
exhibit the toxicity characteristic
but would be reclaimed for reuse.
The exemption is found at 40 CFR
§261.4(b)(12).
This interim final rule further
extended the compliance date for
the toxicity characteristic
regulations from January 25, 1991,
until March 25, 1991, for
groundwater reinjected or
reinfiltrated during existing
hydrocarbon recovery operations
at petroleum refineries,
marketing terminals and bulk
plants, in order to allow the
Agency sufficient time to evaluate
comments received on the issue.
The exemption is codified at 40
CFR §261.4(b)(ll).
VI-6
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements arc in any way altered by any statc'mcnt(s) contained herein.
-------
OSWER Dir. No. 9938.02(b)
Significant Recent RCRA Federal Register Entries (Continued)
CFR
Parts,
Sections
Affected
40 CFR 261
40 CFR 261
40 CFR 261
Title of Rule
Wood Preserving;
Identification and
Listing of
Hazardous Waste
Hazardous Waste
Management
Systems:
Identification and
Listing of
Hazardous Waste
Hazardous Waste
Management
System;
Identification and
Listing of
Hazardous Waste;
Toxicity
Characteristic;
Hydrocarbon
Recovery Operations
Effective
Date
06/06/91
05/02/91
09/25/90
Federal
Register
Publication
Date
12/06/90
55 FR 50450
11/02/90
55 FR 46354
;
10/05/90
55 FR 40834
Summary of Rule
This final rule amended the
RCRA regulations by listing as
hazardous three categories of
wastes from wood preserving
operations: F032, F034, F035.
These wastes may, however,
exhibit the Toxicity Characteristic
and, consequently, may already
be regulated under Subtitle C of
RCRA.
In this final rule, EPA
promulgated two waste codes as
additions to the list of "F wastes"
found in 261.31. These new wastes
are generated in the separation of
oil/water/solids from petroleum
refining process wastewaters and
oily cooling wastewaters. EPA
amended Appendix VII of 40 CFR
261 to add the organic and
inorganic constituents for which
these wastes are listed. RQ values
under Section 302 of CERCLA were
also established in this rule. The
RQ for these wastes will be set at
the statutory level of 1 Ib.
In this interim final rule, EPA
extended the compliance of the
TCLP rule to recovery of
hydrocarbon from petrol refining
facility, marketing terminals and
bulk plants for 120 days from
September 25, 1990.
VI-7
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements arc in any way altered by any stalement(s) contained herein.
-------
OSWER Dir. No. 9938.02(b)
Significant Recent RCRA Federal Register Entries (Continued)
CFR
Parts,
Sections
Affected
40 CFR 261
40 CFR 261
40 CFR 261
40 CFR 261
Title of Rule
Hazardous Waste
Management
System;
Identification and
Listing of
Hazardous Waste;
Toxicity
Characteristic
Clarifications
Hazardous Waste
Management
System;
Identification and
Listing of
Hazardous Waste;
Toxicity
Characteristic
Revisions
Hazardous Waste
Management
System;
Identification and
Listing of
Hazardous Waste;
Toxicity
Characteristic
Revisions
Hazardous Waste
Management
Standards:
Identification and
Listing of
Hazardous Waste
Effective
Date
09/25/90
08/02/90
09/25/90
05/04/90
Federal
Register
Publication
Date
09/27/90
55 FR 39409
1
08/02/90
55 FR 31387
06/29/90
55 FR 26986
05/04/90
55 FR 18726
Summary of Rule
EPA provided guidance and
clarification to the regulated
community on four issues related
totheTCLP. These issues are: (1)
the regulatory status of surface
impoundments managing newly
regulated TC wastes; (2)
groundwater monitoring
requirements for newly regulated
land disposal facilities; (3)
Section 3010 notification
requirements; and (4) permit
modification requirements.
This final rule corrected the
ruling on March 29, 1990
regarding the Toxicity
Characteristic by extending the
period within which affected small
quantity generators must comply
with the RCRA Section 3010
notification requirements.
This final rule made corrections
to the March 29, 1990 (55 FR 11798)
rule to ensure consistency of the
TCLP with other methods in SW-
846.
In these technical amendments,
the Agency conformed the
language of the regulations
implementing RCRA Section 3001
to reflect the Agency's intent.
VI-8
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statcmcnt(s) contained herein.
-------
OSWER Dir. No. 9938.02(b)
Significant Recent RCRA Federal Register Entries (Continued)
CFR
Parts,
Sections
Affected
40 CFR 261
40 CFR 261
40 CFR
264/265
*
Title of Rule
Hazardous Waste
Management
System;
Identification and
Listing of
Hazardous Waste;
Toxicity
Characteristic
Revisions
Mining Waste
Exclusion; Section
3010 Notification for
Mineral Processing
Facilities;
Designated Facility
Definition;
Standards
Applicable to
Generators of
Hazardous Waste
Corrective Action
Management Units
and Temporary
Units
Effective
Date
09/25/90
07/23/90
04/19/93
Federal
Register
Publication
Date
03/29/90
55 FR 11798
01/23/90
55 FR 2322
02/16/93
58 FR 8658
Summary of Rule
This final rule replaced the
Extraction Procedure leach test
with the Toxicity Characteristic
Leaching Procedure and added 25
organic chemicals to the list of
toxic constituents for the Toxicity
Characteristic.
This final rule removed five of the
20 conditionally retained mineral
processing wastes from the
exemption from hazardous waste
regulation provided by RCRA
Section 3001(b)(3)(A)(ii), often
referred to as the Bevill exclusion.
This final rule promulgated
standards which, when followed,
allow the use of corrective action
management units for the purpose
of managing remediation waste
which will not be subject to LDRs
or MTRs. Also, containers and
tanks which manage remediation
waste only and which follow the
regulations are now allowed to
store waste up to one year without a
permit. •
VI-9
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any sialomcnt(s) contained herein.
-------
OSWER Dir. No. 9938.02(b)
Significant Recent RCRA Federal Register Entries (Continued)
CFR
Parts,
Sections
Affected
40 CFR
264/265
40 CFR
2641265
40 CFR
264/265
40 CFR
264/265
Title of Rule
Timing of Surface
Impoundment
Retrofitting Under
the Land Disposal
Restrictions Rule
Liners and Leak
Detection Systems
for Hazardous
Waste Land
Disposal Units
Standards
Applicable to
Owners and
Operators of °
Hazardous Waste
Treatment, Storage,
and Disposal
Facilities; Liability
Requirements
Identification and
Listing of
Hazardous Waste;
Wood Preserving
Effective
Date
07/29/92
07/01/91
07/01/91
Federal
Register
Publication
Date
02/04/92
57 FR 4170
01729/92
57 FR 34762
07/01/91
56 FR 30200
07/01/91
56 FR 30192
Summary of Rule
This proposed rule clarifies the
deadline by which surface
impoundments receiving wastes
that are newly identified or listed
as hazardous must be brought into
compliance with the minimum
technological requirements
(MTR) established in RCRA
§3004(o)(l)(A). The proposal
would give all surface
impoundments up to four years
from the date of compliance to
comply with the MTRs.
This final rule amended the
current regulations concerning
liner and leachate collection and
removal systems for hazardous
waste surface impoundments,
landfills, and waste piles. EPA
also added new regulations
requiring owners/ operators of
hazardous waste surface
impoundments, waste piles, and
landfills to install and operate
leak detection systems when new
units are added, laterally
expanded, or replaced.
This final rule corrected certain
omission errors in the financial
responsibility requirements under
Subtitle C of RCRA.
This technical correction
corrected errors and clarified
language in the December 6, 1990
Federal Register-
VI-10
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements arc in any way altered by any slalcmcnt(s) contained herein.
-------
OSWER Dir. No. 9938.02(b)
Significant Recent RCRA Federal Register Entries (Continued)
CFR
Parts,
Sections
Affected
40 CFR
264/265
40CFR264
40 CFR
264/265
Title of Rule
Hazardous Waste
Management
System: '
Identification and
Listing of
Hazardous Waste;
Standards for
Owners and
Operators of
Hazardous Waste
Treatment, Storage,
and Disposal
Facilities; and
Interim Status
Standards for
Owners and
Operators of
Hazardous Waste
Treatment, Storage,
and Disposal
Facilities
Corrective Action for
Solid Waste
Management Units
(SWMUs) at
Hazardous Waste
Management
Facilities
Hazardous Waste
Treatment, Storage,
and Disposal
Facilities - Organic
Air Emission
Standards for
Process Vents and
Equipment Leaks
Effective
Date
06/05/91
12/21/90
Federal
Register
Publication
Date
06/13/91
56 FR 27332
07/27/90
55 FR 30798
06/21790
55 FR 25454
Summary of Rule
This final rule announced an
administrative stay of the
hazardous waste listings F032,
F034, and F035 for wastes in
process areas at wood preserving
plants. The primary effect of the
stay was to conditionally extend
the effective date of the drip pad
management standards to
February 6, 1992, for the upgrade of
existing drip pads, and to May 6,
1992, for the installation of new
drip pads, the stay was only
available to facilities meeting
certain conditions, and was
intended to limit the extension to
those facilities making a bona fide
effort to comply with the rule.
This proposed rule would create a
new Subpart S in 40 CFR 264 to
define requirements for
conducting remedial
investigations, evaluating
potential remedies, and selecting
and implementing remedies at
RCRA facilities. This Federal
Register entrv can be used as
guidance until it is finalized.
This final rule promulgated
standards that limit organic air
emissions as a class at hazardous
waste treatment, storage, and
disposal facilities requiring a
permit.
VI-ll
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any slatcmcnt(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Significant Recent RCRA Federal Register Entries (Continued)
CFR
Parts,
Sections
Affected
40CFR264
40CFR266
40CFR266
40CFR266
Title of Rule
Hazardous Waste
Management
System; Final
Codification Rule
Hazardous Waste
Management
System:
Identification and
Listing of
Hazardous Waste;
Burning of
Hazardous Waste in
Boilers and
Industrial Furnaces
Burning of
Hazardous Waste in
Boilers and
Industrial Furnaces
Burning of
Hazardous Waste in
Boilers and
Industrial Furnaces
Effective
Date
05/09/90
08/21/91
08/21/91
08/21/91
Federal
Register
Publication
Date
05/09/90
55 FR 19262
09/05/91
56 FR 43874
08/27/91
56 FR 42504
07/17/91
56 FR 32688
Summary of Rule
This correction notice applies to
certain landfills and surface
impoundments for which Part B of
the permit application was
received by November 8, 1984.
Permits issued for units in this
category are not required to
include minimum technology
requirements pursuant to Section
3004(o) of RCRA but may include
such requirements where
necessary to protect human health
and the environment on a case-by-
case basis pursuant to Section
3005(c) of RCRA.
This final rule announced an
administrative stay of the
permitting standards for boilers
and industrial furnaces adopted
pursuant to RCRA as they apply to
coke ovens burning certain
hazardous wastes from the coke
by-products process. Coke ovens
that reprocess these wastes need
not submit their applications for a
permit under 40 CFR Part 266,
Subpart H, while EPA evaluates
comments on a proposal to exclude
such wastes from RCRA Subtitle C
regulation.
This final rule made technical
amendments to the BIF
regulations in 40 CFR Part 266,
Subpart H. These revisions
provide clarification and correct
unintended consequences of the
regulations.
In this final rule, EPA published
technical corrections to the BIF
regulations in 40 CFR Part 266,
Subpart H (56 FR 7134; February
21, 1991). This rule also added
Appendix IX and Appendix X to
Part 266.
VI-12
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements arc in any way altered by any slalemcnt(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Significant Recent RCRA Federal Register Entries (Continued)
CFR
Parts,
Sections
Affected
40CFR266
40CFR268
40CFR268
Title of Rule
Burning of
Hazardous Waste in
Boilers and
Industrial Furnaces
^
Land Disposal
Restrictions for
Newly Listed
Wastes and
Hazardous Debris
Land Disposal
Restrictions for
Newly Listed
Wastes and
Contaminated
Debris
Effective
Date
08/21/91
06/30/92;
11/09/92;
and
02/18/93
Federal
Register
Publication
Date
02/21/91
56 FR 7134
"
08/18/92
57 FR 37194
01/09/92
57FR958
Summary of Rule
This final rule expanded the
regulations on the burning of
hazardous waste in boilers and
industrial furnaces to regulate air
emissions from such units,
codified at 40 CFR Part 266,
Subpart H. This rule also subjects
owners/operators of these devices
to general facility standards
applicable to hazardous waste
treatment, storage, and disposal
facilities, and subjects hazardous
waste storage units at regulated
burner facilities to Part 264
standards. This rule also took
action on two petitions for
rulemaking from Dow Chemical
Company and the American Iron
and Steel Institute and made
several technical corrections to 40
CFR §270.73.
This "phase one" final rule sets
treatment standards under the
land disposal restrictions for
certain listed hazardous wastes.
This rule established a new type of
treatment or storage unit, the
containment building. Also
finalized in this rule are revised
treatment standards for debris
contaminated with listed
hazardous waste or debris that
exhibits a characteristic of
hazardous waste. In addition the
treatment standards for the F001-
F005 spent solvents were revised.
EPA proposes treatment standards
for certain newly identified
hazardous wastes, and also
proposes to revise treatment
standards for contaminated
debris.
VI-13
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by any statcmcnt(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Significant Recent RCRA Federal Register Entries (Continued)
CFR
Parts,
Sections
Affected
40CFR268
40CFR268
Title of Rule
Land Disposal
Restrictions;
Potential Treatment
Standards for Newly
Identified and
Listed Wastes and
Contaminated Soils
Land Disposal
Restrictions for
Electric Arc
Furnace Dust (K061)
Effective
Date
08/08/91
Federal
Register
Publication
Date
10/24/91
56 FR 55160
08/19/91
56 FR 41 164
Summary of Rule
This advance notice of proposed
rulemaking requests data and
comments on possible BDATs for
many wastes that have been
identified and listed as hazardous
since HSWA. This notice
discusses potential BDATs and
related capacity for wood
preserving wastes (F032, F034 and
F035), spent potliners from
primary aluminum reduction
(K088), characteristic waste
generated by the mining and
mineral processing industries
that are no longer suspended by the
Bevill Amendment, and wastes
that have been recently identified
as D004 through D043 based on
TCLP. EPA is also soliciting data
and comments on its approach to
developing BDATs for
contaminated soils.
This final rule promulgated,
under 40 CFR Part 268, treatment
standards under the land disposal
restrictions program for K061
(electric arc furnace dust)
nonwastewaters that contain 15
percent or more total zinc at the
point of initial generation. The
rule also finalized a generic
exclusion from the derived - from
rule (40 CFR §261.3(c)(2)(i)) for
high temperature metals recovery
(HTMR) nonwastewater slag
residues from K061 processing,
provided the residues meet certain
conditions. This rule also granted
a conditional exclusion for K061
HTMR splash condenser dross
residue from classification as a
solid waste.
VI-14
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements arc in any way altered by any stnlumcnt(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Significant Recent RCRA Federal Register Entries (Continued)
CFR
Parts,
Sections
Affected
40 CFR 268
40 CFR 268
40 CFR 268
40 CFR 273
40 CFR 279
Title of Rule
Land Disposal
Restrictions for
Third Third
Scheduled Wastes
Land Disposal
Restrictions for
Third Third
Scheduled Wastes
Hazardous Waste
Management
System: Land
Disposal
Restrictions;
Response to Court
Remand
Hazardous Waste
Recycling Program;
Universal Waste
Identification and
Listing of
Hazardous Waste;
Recycled Used Oil
Management
Standards
Effective
Date
01/31/91
05/08/90
02/26/90
03/08/93
Federal
Register
Publication
Date
01/31/91
56 FR 3864
06/01/90
55 FR 22520
02/26/90
55 FR 6640
02/11/93
58 FR 8 102
09/10/92
57 FR 4 1566
Summary of Rule
This final rule corrected errors
and clarified the language in the
preamble and regulations of the
June 1, 1990 land disposal
restrictions third third final rule
(55 FR 22520). It modified 40 CFR
Part 268.
This final rule promulgated
treatment standards for third third
wastes and five newly listed
wastes, including the
characteristics of ignitability,
corrosivity, reactivity, and EP
toxicity.
In this response to court remand, a
panel from the Court of Appeals for
the District of Columbia Circuit
Court required the Agency to
clarify the selection of technology-
based treatment standards in the
November 7. 1986 Federal Register
or withdraw the rule.
This rule proposed new
regulations which set up
management standards for such
universal wastes as nickel
cadmium batteries and pesticides.
The proposed rule includes
procedures for adding other wastes
to the recycling scheme in the
future such as antifreeze and
thermostats.
This final rule determined that
recycled used oil will not be
considered a listed hazardous
waste. This rule also establishes
management for various handlers
of recycled used oil.
VI-15
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements arc in any way altered by any statcmcnt(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Significant Recent RCRA Federal Register Entries (Continued)
CFR
Parts,
Sections
Affected
40CFR280
40 CFR 280
40CFR280
40CFR280
Title of Rule
Underground
Storage Tanks
Containing
Petroleum;
Financial
Responsibility
Requirements
Underground
Storage Tanks
Containing
Petroleum;
Financial
Responsibility
Requirements
Underground
Storage Tanks;
Technical
Requirements
Underground
Storage Tanks;
Technical
Requirements
Effective
Date
03/22/93
12/23/91
09/12/91
Oi;02/91
Federal
Register
Publication
Date
02/18/93
58 FR 9026
12/23/91
56 FR 66369
08/13/91
56 FR 38342
01/02/91
56FR24
Summary of Rule
This rule established four
alternative mechanisms for use by
local governments to demonstrate
financial responsibility for
damages caused by accidental
underground storage tank
releases.
This final rule extended the date
for compliance with financial
responsibility requirements for
Group 4 petroleum UST owners to
December 31, 1993. The previous
deadline under 40 CFR §280.91(d)
was October 26, 1991.
This final rule allowed overfill
equipment to be used closer to the
top of larger bulk storage tanks
because the Agency acknowledged
that sufficient volumes to receive
excess product would still be
available there. It amended 40
CFR §280.20(c)(l)(ii).
This interim final rule delays for
270 days the requirements of 40
CFR §280.40(a)(3) for
owners/operators to meet the
specified lead rate (under
specified conditions) with a
probability of detection of 0.95 and
a probability of false alarm of 0.05
on installed automatic line leak
detectors on USTs.
VI-16
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No statutory or
regulatory requirements are in any way altered by nny stnlement(s) contained herein.
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OSWER Dir. No. 9938.02(b)
Significant Recent RCRA Federal Register Entries (Continued)
CFR
Parts,
Sections
Affected
40CFR280
Title of Rule
Underground
Storage Tanks
Containing
Petroleum;
Financial
Responsibility
Requirements
Effective
Date
10/31/90
Federal
Register
Publication
Date
10/31/90
55 FR 46022
Summary of Rule
This final rule amended the
financial regulations under 40
CFR 280.9 l(d). This modification
changed the compliance date, from
October 26, 1990 to October 26, 1991,
for obtaining financial assurance
and added an additional
requirement (280.91(e)) for local
government entities. Under this
new requirement, these entitles
are required to comply with
financial responsibility
requirements within one year of
publication of the final
regulations.
VI-17
FOR USE BY EPA INSPECTION PERSONNEL ONLY. This manual is intended solely for guidance. No rtatutoiy or
regulatory requirements are in any way altered by any stalemcnt(s) contained herein.
* US GOVERNMENT PRINTING OFFICE. 1994 520-275
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