United States
Environmental
Protection Agency
Solid Waste and
Emergency Response
(5305W)
EPA530-R-99-057
PB2000-101 897
February 2000
RCRA, Superfund & EPCRA
Hotline Training Module
J I-
Stf
Introduction to:
Permits and Interim Status
(40 CFR Part 270)
Updated October 1999
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DISCLAIMER
This document was developed byBooz-ABen& Hamilton Inc. under contract 68-W0-0039 to EPA. It is intended to
be used as a training tool for Hotline specialists and does not represent a statement of EPA policy.
The information in this document is not by any means a complete representation ofEPA's regulations orpoKcies.
This document is used only in the capacity of the Hotline train ing and is not use das a reference too Ion Hotline calls.
The Hotline revises and updates this docuirent as regulatory pro gram areas change.
The information in this docume nt may not necessarily reflect the current position of the Agency. This document is
not intended and cannot be relied upon to create any rights, substantive orprocedural, enforceable by any party in
litigation with the United States.
RCRA, Superfund & EPCRA Hotline Phone Numbers
National toll-free (outside of DC area) (800) 424-9346
Loca I nurn ber (withi n DC a rea) (703) 412-9810
National toll-free for the hearing impaired (TDD) (800) 553-7672
The Hotline is open from 9 am to 6 pm Eastern Time,
Monday through Friday, except for federal holidays.
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PERMITS AND INTERIM STATUS
CONTENTS
1. Introduction 1
2. Regulatory Summary 2
2.1 Applicability 2
2.2 Permitting Process 3
2.3 Permit Conditions 9
2.4 Changes to Permits 10
2.5 Post-Closure Permits 13
2.6 Special Forms of RCRA Permits 15
2.7 Interim Status Requirements 17
3. Special Issues.. 21
4. Regulatory Developments 22
4.1 Post-Closure Permits 22
4.2 Standardized Permit 22
4.3 Permitting Cement Kiln Dust Facilities 22
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Permits and Interim Status - 1
1. INTRODUCTION
Owners and operators of facilities that treat, store, or dispose of hazardous waste must
obtain an operating permit, as required by Subtitle C of the Resource Conservation and
Recovery Act (RCRA). Permits are an essential part of the RCRA Subtitle C hazardous
waste program. They define the conditions and requirements that apply to treatment,
storage, and disposal facilities (TSDFs), ensuring that hazardous waste is handled safely
and in a controlled manner. This training module presents an overview of the RCRA
permitting process and the requirements that apply to TSDFs operating under interim
status until a permit is issued. The regulations governing the permitting process are
found in 40 CFR Parts 124 and 270.
When you have completed this module, you will be able to describe the RCRA
permitting process. Specifically, you will be able to:
• List the types of waste management activities that require a permit
• Define "existing hazardous waste facility" and "new hazardous waste facility"
• Identify the CFR sections relevant to Part A and Part B permit application
requirements and briefly describe the difference between the two parts
* Outline the steps in the permitting process from interim status to receipt of a
permit
• Cite the CFR sections pertaining to permit duration and modifications
• Identify the differences among permit modification classes
• List the special forms of permits
• List the types of facilities that may qualify for a permit-by-rule
• State the eligibility requirements for interim status and the conditions for
termination of interim status
• List the conditions for changes during interim status.
Use this list of objectives to check your knowledge of this topic after you complete the
training session.
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for Hotline training purposes.
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2 - Permits and Interim Status
2. REGULATORY SUMMARY
RCRA §3005 authorizes and creates the foundation for issuing RCRA permits to TSDFs.
The regulations implementing this statutory section are found in Part 270. Permits are
issued by EPA, authorized states, or both. In this module, "EPA" should be read to
include both EPA Regional Offices and states authorized for purposes of granting
permits. Permits give owners and operators of TSDFs legal authority to treat, store, or
dispose of hazardous waste. A RCRA permit is site-specific and can cover one or more
units. The operating requirements for TSDFs are found in Parts 264,265, and 266. Parts
264 and 266 apply to facilities that have received permits. Facilities that have not yet
received a permit to operate must comply with the self-implementing interim status
standards of Part 265. The administrative procedures that apply to the permitting
process, including procedures for issuing, modifying, revoking, reissuing, or
terminating permits, are found in Part 124.
2.1 APPLICABILITY
A RCRA permit is required for facilities conducting treatment, storage, and/or disposal
of hazardous waste. A permit defines operating requirements and various provisions
specific to the needs of the permit applicant depending on the treatment, storage, or
disposal activities being conducted at the facility.
Certain hazardous waste treatment, storage, or disposal activities and facilities do not
require a permit. The following discussion addresses the activities that do not require a
permit and specific exclusions from permit requirements.
SPECIFIC EXCLUSIONS FROM PERMIT REQUIREMENTS
In a few narrowly defined cases, a facility that would otherwise be considered to be
treating, storing, or disposing of hazardous waste is not required to obtain a RCRA
permit. These exceptions are listed in §270.1(c)(2) and include:
• Generators who accumulate hazardous waste on site for less than the time
periods provided in §262.34
• Farmers who dispose of pesticide hazardous waste from their own use as
provided in §262.70
• Persons who own or operate facilities solely for the treatment, storage, or
disposal of hazardous waste excluded by §261.4 or §261.5
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for Hotline training purposes.
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Permits and Interim Status - 3
• Owners and operators of totally enclosed treatment facilities as defined in
§260.10
• Owners and operators of elementary neutralization units or wastewater
treatment units as defined in §260.10
* Transporters storing manifested shipments of hazardous waste in containers
meeting the requirements of §262.30 at a transfer facility for a period of 10 days
or less
* Persons adding absorbent material to hazardous waste in a container (as defined
in §260,10) and persons adding waste to absorbent material in a container
(provided that these actions occur at the time the waste is first placed in the
container and comply with §§264.17(b), 264.171, and 264.172)
• Universal waste handlers and transporters managing wastes subject to
regulation under Part 273
* Owners and operators performing treatment or containment activities taken
during immediate response to a discharge of a hazardous waste, an imminent
and substantial threat of a discharge of a hazardous waste, or a discharge of a
material which when discharged becomes a hazardous waste.
2.2 PERMITTING PROCESS
A permit establishes the site-specific administrative and technical standards to which a
TSDF must adhere in order to legally manage hazardous waste. A lengthy permit
application and review process ensures that each site receives specific analysis
concerning hazardous waste management at that location.
PERMIT APPLICATION
Owners and operators of facilities that fall under the permitting regulations are
required to submit a comprehensive permit application covering all aspects of the
design, operation, and maintenance of the facility. The application provides EPA
valuable information which will ensure compliance with Subtitle C regulations through
the development of a facility-specific permit. Permits are written to address the specific
geography of the facility, the types of hazardous waste management units, and specific
wastestreams that will be managed at the facility. The permit application consists of
two parts, Part A and Part B.
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for Hotline training purposes.
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4 - Permits and Interim Status
Part A
Part A of the permit application is submitted on a designated form, Form 8700-23. The
basic Part A information requirements are presented in §§270.13.
Examples of Part A information include:
» Activities conducted by the applicant which require the owner/operator to
obtain a permit under RCRA
• Name, mailing address, and location of the facility
• Up to four standard industrial classification (SIC) codes which best describe
facility activities
* Descriptions of the processes to be used for treating, storing, and/or disposing of
hazardous waste and the design capacity of these items or units
• Identification of the hazardous wastes to be managed at the facility
* List of all permits received or applied for under other regulatory programs
* Topographic map of the facility.
PartB
Part B information is submitted in narrative form. It includes general information
requirements for all hazardous waste management facilities, as well as unit-specific
information. The Part B information requirements presented in §§270.14 - 270.27 reflect
the standards promulgated in Parts 264 and 266. Section 270.14(b) lists the general
information requirements that all hazardous waste management facilities must submit
in Part B of the permit application, including:
• General description of the facility
• Chemical and physical analyses of the wastes to be handled at the facility
* Copy of the waste analysis plan
• Description of the security procedures and copy of the inspection schedule
* Copy of the contingency plan
* Description of procedures, structures, or equipment used at the facility to
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for Hotline training purposes.
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Permits and Interim Status - 5
prevent releases to the environment
• Description of precautions to prevent accidental ignition or reaction of ignitable,
reactive, or incompatible waste
• Facility location information such as proximity to a seismic area or a 100-year
floodplain.
Owners and operators are required to provide information regarding the placement of
hazardous waste and any resultant releases (§§270.14(c) and (d)). These regulations are
designed to prevent or remediate releases into the environment from land-based
hazardous waste management units and solid waste management units (SWMUs). This
information is then used as part of the corrective action process (see the module entitled
RCRA Corrective Action).
Owners and operators must also submit unit-specific information for each hazardous
waste management unit at the facility. Sections 270.15 - 270.27 correspond to Part 264,
Subparts I through X, AA, BB, CC, DD, and Part 266, Subpart H. For example, if a TSDF
manages hazardous waste in containers, the owner and operator must provide a
description of the container storage containment design and sketches to demonstrate
compliance with the 50-foot buffer zone requirement (§264.176). Owners and operators
may be required to submit additional information under §270.10(k) for the purpose of
establishing permit conditions under the omnibus provision in RCRA §3005(c)
(§§270.32(b)(2) and 270.50(d)). The omnibus provision allows the Agency to establish
conditions not specified in Part 264 or 266 in a permit that are necessary to protect
human health and the environment.
TIME FRAME FOR PERMIT APPLICATION SUBMISSION
Owners and operators of facilities who wish to begin managing hazardous waste for the
first time (new hazardous waste management facilities) must receive a RCRA permit
before the facility is allowed to treat, store, or dispose of hazardous waste. Owners and
operators of new hazardous waste management facilities must submit Parts A and B of
the permit application at least 180 days before physical construction of the facility is
expected to commence (§270.l(b)). However, it typically takes several years for EPA to
issue a permit. Owners and operators should apply for a permit early in their planning
process because physical construction cannot commence until the permit is issued
(§270.10(f)).
PERMIT APPLICATION PROCEDURES
EPA has the authority to issue or deny permits subject to the permit application process
(Figure 1). Members of the public and other interested parties can contribute valuable
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for Hotline training purposes.
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6 - Permits and Interim Status
information and ideas that improve the quality of both agency decisions and permit
applications. EPA believes that public participation is a vital component of the
permitting process. The regulations governing the administrative procedures for
permitting, including public participation, are found in Part 124.
PUBLIC PARTICIPATION
EPA has integrated public involvement in all stages of the permitting process, including
the pre-application meeting, public comment and response periods, and public
hearings. Through all of these steps, the public can engage facility owners and
operators and regulators in a dialogue to become educated about the facility and
express their concerns. EPA also encourages public participation activities that occur
outside the formal permitting process. Citizens can contact environmental, public
interest, and civic and community groups that have an interest in the facility and
become involved in their activities. The permit applicant may also create informal
opportunities for public input and dialogue.
PRE-APPLICATION MEETING
The public participation provisions require prospective applicants to hold an informal
public meeting before submitting a RCRA permit application. The permit applicant
should select a meeting time, date, and location that are convenient to the public. The
permit applicant must provide notice of the pre-application meeting at least 30 days
prior to the meeting in a manner that is likely to reach all members of the affected
community. The applicant must advertise the meeting in the newspaper, through a
broadcast announcement, and on a sign posted at or near the property. At the meeting,
the owner and operator must describe the facility in a level of detail that is practical at
the time of the meeting to give the public enough information to understand the facility
operations and potential impacts to human health and the environment. The permit
applicant must submit with the permit application, details of the meeting and a list of
all attendees, which is used as the facility mailing list. Upon receipt of the permit
application, EPA must send a notice to everyone on the facility mailing list specifying
where the public can examine the application.
THE DRAFT PERMIT, PUBLIC COMMENT PERIOD, AND PUBLIC HEARING
Once EPA has received a complete permit application, they will decide whether to issue
a draft permit or a notice of intent to deny. In either case, they must notify the public of
their decision and announce the opening of a minimum 45-day public comment period.
EPA must print the notice in a local paper, broadcast the notice over a local radio
station, and send a copy to the mailing list recipients and relevant agencies. They must
also prepare a fact sheet or statement of basis regarding its decision. The fact sheet
must explain the factual, legal, methodological, and policy questions considered in
making the decision to issue or deny the permit.
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for Hotline training purposes.
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Permits and Interim Status - 7
Figure 1
MAJOR STEPS IN THE PERMIT PROCESS
EXISTING FACILITY
Applicant submits its Part A
application and notification:
Interim Status §270.10(e)
NEW FACILITY
Facility seeking a permit must hold a
p_re-application meeting, providing a
minimum of 30 days notice prior to the
meeting §124.31
Interim status facilities that have not
yet submitted their Part B must hold a
pre-application meeting (§124.31)
Applicant submits Part A and
Part B application §270.10(f)
Applicant submits Part B application
EPA publishes notice that a Part B permit application has been submitted §124.32
i
EPA determines application is complete §124.3(c)
EPA issues Draft Permit or Notice of Intent to Deny Permit §124,6(a)
Public notice; 45 days for comments §124.10(b)
Public hearing if any adverse comments, or if specifically requested §§124.11,112.12
Final decision §124.15(a) and response to comments §124.17
Appeals may be filed within 30 days of the final decision §124.19
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for Hotline training purposes.
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8 - Permits and Interim Status
Any person may request a public hearing during the comment period. EPA must hold
a hearing if someone submits a written notice of opposition to the draft permit and a
request for a hearing, or if the public demonstrates a significant degree of interest in the
draft permit. EPA may also hold a public hearing at its own discretion. The Agency
must notify the public at least 30 days prior to the hearing.
The comment period on the draft permit allows public submission of written concerns
and suggestions to EPA. EPA must consider all comments when making the final
decision. Furthermore, the Agency must describe and respond to all significant
comments raised during the comment period.
After the public comment period closes, EPA will review and evaluate all comments
and issue a final permit decision. The Agency must send a notice of decision to the
facility owner and operator and any person who submitted comments or requested
notice on the final permit decision.
In certain instances, RCRA permits can be the subject of intense debate. The public
participation requirements allow EPA to require a facility owner and operator to set up
an information repository at any time during the permitting process or the life of the
permit. The repository will hold all information and documents that EPA decides are
necessary to adequately inform and educate the public. EPA intended to use the
information repository requirement sparingly on a case-by-case basis when a significant
amount of public concern has surfaced or where the community has unique information
needs (60 FR 63417,63425; December 11,1995).
UNIT AND FACILITY PERMITS
EPA may issue or deny a permit for one or more units at a facility without
simultaneously issuing or denying a permit to all units at the facility (§§270.1(c)(4) and
270.29). This means that a facility may be permitted on a unit-specific basis, rather than
as a whole facility.
PERMIT-AS-A-SHIELD
Compliance with a RCRA permit during its term is considered compliance, for
purposes of RCRA enforcement with Subtitle C of RCRA (§270.4(a)). This provision
means that an owner and operator complies with the requirements specified in the
permit, rather than with the corresponding regulations as promulgated in Parts 264 and
266. This is referred to as the "permit-as-a-shield" provision. A permittee must still
comply with requirements that are imposed by the statute itself, the land disposal
restrictions promulgated under Part 268, and the liner and leak detection requirements
for certain land disposal units (57 FR 3462; January 29,1992). In addition, the definition
of permit-as-a-shield was amended to require facilities to comply with Subparts AA,
BB, and CC of Part 265 (59 FR December 6,1994).
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for Hotline training purposes.
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Permits and Interim Status - 9
2.3 PERMIT CONDITIONS
Part 270, Subpart C, defines the conditions that apply to all RCRA permits. These
conditions are either incorporated expressly into the permit or are included by
regulatory citations. Section 270.30 lists the conditions that apply to all RCRA permits:
« The permittee must comply with all conditions of the permit, except when an
emergency permit issued under §270.61 authorizes noncompliance
• The permittee must reapply if he or she is to continue a regulated activity after
the existing permit expires
» The permittee may not use as a defense in an enforcement action that the only
way to maintain compliance with the permit was to halt or reduce the permitted
activity
• The permittee must take all reasonable steps to minimize adverse impacts on
human health and the environment
» The permittee must ensure proper operation and maintenance of the facility
• The permit may be modified, revoked and reissued, or terminated for cause
* The permit does not convey any property rights to the permittee
• The permittee must provide any relevant information requested
* The permittee must allow the facility to be inspected
» The permittee must conduct appropriate sampling procedures, and retain results
of all monitoring
• The permittee must comply with the reporting requirements of §270.30(1)
• The permittee, when required by EPA, must establish and maintain an
information repository that contains all documents, reports, and data important
for public understanding
» The permittee must sign and certify applications, reports, or information
submitted.
The Agency can also establish conditions not specified in Part 264 or 266 through use of
the omnibus authority.
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for Hotline training purposes.
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10 - Permits and Interim Status
COMPLIANCE SCHEDULES
EPA can issue permits to interim status facilities that will not initially be in compliance
with the Part 264 standards through the use of schedules of compliance. In general,
compliance schedules in permits should be used to allow the construction or installation
of equipment that is not required under Part 265, but is required to comply with Part
264. Compliance schedules must be specific, enforceable, allow for public notice and
comment, and allow the applicant additional time only where it is legitimately needed.
The schedules should include design and construction specifications, interim
milestones, and a date for completion. For facilities that must conduct corrective action,
EPA is required to develop schedules of compliance where the cleanup cannot be
completed prior to permit issuance (§264.101(b)).
2.4 CHANGES TO PERMITS
Part 270, Subpart D, establishes the steps necessary to make changes to a permit. The
procedures for making changes to a permit will vary depending on whether EPA or the
owner/operator is initiating the change. The three basic situations for changing a
permit after issuance are:
• Permit modification at the request of the permittee
• Permit modification at the request of EPA
- Modification of the permit
- Revocation and reissuance of the permit
• Termination of the permit.
The procedures for each of these actions are discussed below.
FACILITY-INITIATED PERMIT MODIFICATIONS
Section 270.42 contains the regulations that apply to the modification of a permit at the
request of the permittee. There are three classifications of permit modifications (Classes
1,2, and 3) that correspond to the degree the permit will be modified. Appendix I to
§270.42, entitled Classification of Permit Modification, describes the type of permit
modification necessary to change a permit provision when there is a transfer of a permit
(i.e., change in ownership) or the permittee requests a permit modification. For all
modifications, the permittee submits information to EPA that describes the exact change
to be made to the permit conditions, identifies whether the modification is Class 1,2, or
3, and provides the applicable permit application information. Class 1 and 2
modifications do not substantially alter existing permit conditions or significantly affect
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for Hotline training purposes.
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Permits and Interim Status - 11
the overall operation of a facility. Class 1 covers routine changes, such as changing
typographical errors, upgrading plans and records maintained by the facility, or
replacing equipment. Class 2 modifications address common operating changes needed
to maintain a facility's ability to manage a waste safely or to conform with new
regulatory requirements. Class 3 changes cover major modifications that substantially
alter the facility or its operations, such as significantly increasing the facility's capacity
to treat, store, or dispose of hazardous waste.
Prior approval of the Agency is not required for most Class 1 modifications, although
an asterisk in the Appendix I table indicates a Class 1 change that does require prior
Agency approval (see §270.42(a)). For both Class 2 and Class 3 modifications, prior
Agency approval is required, and a procedure similar to the permitting process is
followed.
For a modification not explicitly listed in Appendix I, the permittee may submit a Class
3 modification or request a determination by EPA that the modification be reviewed
and approved as a Class 1 or 2 modification (§270.42(d)).
According to §270.42(g), newly regulated wastes and units at fully permitted facilities
do not qualify for interim status. Instead, the permittee follows the permit modification
process in this section. First, a Class 1 modification must be submitted by the date on
which the waste or unit becomes subject to the new requirements. The permittee must
also be in compliance with the applicable standards of Parts 265 and 266. If a Class 2 or
3 modification is required, the permittee must also submit a complete permit
modification request within 180 days after the effective date of the rule that subjected
the waste or unit to Subtitle C regulation. Finally, for all land disposal units that are
newly regulated, the permittee must certify that the unit is in compliance with all
applicable requirements of Part 265 for groundwater monitoring and financial
responsibility 12 months after the effective date of the rule.
Public Participation
As with the initial permit process, permit modifications can raise public concerns that
must be addressed through public participation. Public participation responsibilities
and activities vary depending on who initiated the modification and the degree to
which the modification changes the facility permit. When a modification is proposed,
only the permit conditions subject to modification are reopened for public comment.
The only public involvement requirement for Class 1 modifications is that within 90
days of implementing a change the facility must send a notice to all parties on the
facility mailing list. Class 2 modifications involve public notice in a local newspaper, a
60-day comment period, and a public meeting held no earlier than 15 days into the
comment period and no later than 15 days before it ends. At any time during the Class
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for Hotline training purposes.
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12 - Permits and Interim Status
2 procedures, EPA may reclassify the request as a Class 3 modification if there is
significant public concern or if EPA determines the modification is too complex for the
Class 2 procedures. Class 3 modifications are subject to all public participation
provisions, including the pre-application meeting requirement.
AGENCY-INITIATED PERMIT MODIFICATIONS
There are two types of EPA-initiated changes to permits: permit modification and
revocation and reissuance of a permit (§270.41). When a permit is modified, only the
conditions subject to modification are reopened. If a permit is revoked and reissued,
the entire permit is reopened and can be revised, and the permit is reissued for a new
term. The Agency may modify a permit, or revoke and reissue if the permittee agrees,
for the following reasons: if there have been alterations or additions to the facility; there
is new information that was not available at the time of permit issuance; new statutory
or regulatory requirements were promulgated; or the Agency has cause to initiate a
compliance schedule under §270.33. The Agency may also modify a land disposal
facility's permit during the permit's five-year review. EPA may either modify a permit
or revoke and reissue a permit if cause for termination of the permit exists under
§270.43 or if the permit is transferred (§270.41 (b)).
TERMINATION OF PERMITS
EPA can terminate a permit during its term or deny a permit renewal application if any
of the following causes occur (§270.43):
* Noncompliance by the permittee with any condition of the permit
• Failure to disclose all relevant facts or misrepresentation of any relevant facts
• Determination that a permitted activity endangers human health and the
environment.
EPA must follow the applicable Part 124 administrative procedures or state procedures
when terminating a permit.
EXPIRATION AND CONTINUATION OF PERMITS
Part 270, Subpart E, specifies the requirements for the duration of permits and the
conditions under which an expiring permit can continue. RCRA permits are effective
for a fixed term that is not to exceed 10 years (§270.50(a)). EPA, however, can issue a
permit for less than the allowable term. Section 270.50(d) requires EPA to review
permits for land disposal facilities five years after the date of permit issue or reissue.
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for Hotline training purposes.
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Permits and Interim Status -13
Section 270.51 lists the conditions under which EPA can extend an expiring or expired
permit. An expired permit can be continued when the permittee has submitted a timely
application for a new permit before the expiration date of the previous permit,
provided the delay of the reissue was through no fault of the permittee. Permits which
are continued remain fully effective and enforceable (§270.51(b)).
2,5 POST-CLOSURE PERMITS
Owners and operators of surface impoundments, landfills, land treatment units, and
waste pile units that received wastes after July 26,1982, or that certified closure
(according to §265.115) after January 26,1983, must receive post-closure permits, unless
the owner and operator demonstrates closure by removal and decontamination as
provided under §§270.1(c)(5) and (6). Additionally, a post-closure permit is not
required if the owner and operator obtain an enforceable document in lieu of a post-
closure permit under §270.1 (c)(7). The denial of a permit for the active life of a
hazardous waste management facility does not affect the requirement to obtain a post-
closure permit under this section. If a post-closure permit is required, the permit must
address applicable Part 264 groundwater monitoring, unsaturated zone monitoring,
corrective action, and post-closure care requirements.
On October 22,1998, EPA established information submission requirements for post-
closure permits at §270.28 (63 FR 56710). Prior to this rule, the information submission
requirements of Part 270 did not differentiate between operating permits and post-
closure permits. EPA recognized that certain aspects of the Part 270 information are
important for ensuring proper post-closure care, while others are generally less
relevant. As a result, an owner and operator seeking a post-closure permit must only
submit the information required under §270.28, unless otherwise specified by EPA. The
specific items required in post-closure permit applications are as follows:
« A general description of the facility
* A description of security procedures and equipment
• A copy of the general inspection schedule
» Justification for any request for waiver of preparedness and prevention
requirements
* Facility location information
* A copy of the post-closure plan
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for Hotline training purposes.
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14 - Permits and Interim Status
• Documentation that required post-closure notices have been filed
• The post-closure cost estimate for the facility
• Proof of financial assurance
• A topographic map
• Information regarding protection of groundwater
• Information regarding SWMUs at the facility.
Owners and operators who obtain an enforceable document in lieu of a post-closure
permit also have to submit only the information required by §270.28, unless otherwise
specified by EPA (§265.121(a)(l)).
ENFORCEABLE DOCUMENTS IN LIEU OF POST-CLOSURE PERMITS
If an alternative enforcement mechanism is used in lieu of a post-closure permit, the
regulated units must still meet the same substantive requirements that apply to units
receiving post-closure permits. Specifically, the enforceable document must impose:
the requirements for submission of information relevant to closing facilities that need
permits only for post-closure care (§265.121(a)(l)); Part 264, Subpart F, requirements for
groundwater monitoring and corrective action for releases to groundwater
(§265.121(a)(3)); and facility-wide corrective action requirements for releases from
SWMUs under §264.101 (§265.121 (a)(2)). The requirements relating to the maintenance
of the closed unit and financial responsibility need not be addressed in the enforceable
document. Rather, the relevant portions of Part 265, Subparts G and H will continue to
apply.
The term enforceable document includes federal enforcement orders issued under
RCRA §§3008(a) and 3008(h), post-closure plans issued by EPA which are enforceable
under §3008(a), orders issued under CERCLA §106, and decision documents describing
Fund-financed response actions under CERCLA §104.
The use of an enforceable document provides opportunities for public participation
which differ from those established in the permit issuance procedures. The new
procedures reflect the Agency's efforts to provide as much public participation as
possible, but also represent the awareness that most of the alternate mechanisms used
to address corrective action will be enforcement orders.
EPA did not establish detailed procedural requirements, including minimum comment
period times, for public involvement associated with the use of enforceable documents.
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for Hotline training purposes.
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Permits and Interim Status - 15
EPA used this approach because it did not wish to restrict existing state or federal
approaches that have proven to be successful.
When using an enforceable document, EPA requires that meaningful opportunity for
public involvement occurs at three-key stages: when EPA first becomes involved in the
cleanup process as a regulatory or enforcement matter, when EPA is ready to approve a
remedy for the site, and when EPA is ready to decide that remedial action is complete at
the site. The Agency does not limit public involvement to these stages of cleanup;
rather, it encourages early, open, and continuous public participation as is provided by
the permitting process.
EPA requires that all public involvement be meaningful. Meaningful public
participation is achieved when all impacted parties have ample time to participate in
the facility cleanup decisions and have adequate access to information. Meaningful
public participation may require bilingual notifications or publication of legal notices in
city or community newspapers. EPA recommends that parties responsible for
involving the public update the community regularly on the progress made at cleaning
up the facility through community meetings or the use of electronic bulletin board
systems.
EPA can delay or waive the public participation requirements when using an
enforceable document in lieu of a permit if even a short delay in the implementation of
the remedy would adversely affect human health and the environment.
2.6 SPECIAL FORMS OF RCRA PERMITS
Part 270, Subpart F, contains the regulations that apply to special forms of permits.
Special forms of permits under Subpart F include: permits-by-rule; emergency permits;
permits for land treatment demonstrations; interim permits for underground injection
control (UIC) wells; research, development, and demonstration (RD&D) permits; and
hazardous waste combustion permits. (See the module entitled Hazardous Waste
Combustion for a discussion on the permitting of hazardous waste combustion units.)
PERMITS-BY-RULE
Certain types of facilities managing hazardous waste may qualify for a RCRA permit
without submitting a permit application. This is known as "permit-by-rule." Having a
permit-by-rule means that by following certain portions of the regulations promulgated
under other environmental statutes and a portion of the RCRA regulations, a facility is
deemed to have the equivalent of a RCRA permit. The owner and operator must follow
the conditions listed in §270.60 for a permit-by-rule. Permits-by-rule are available for:
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for Hotline training purposes.
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16 - Permits and Interim Status
« Ocean disposal vessels and barges
» UIC wells
• Publicly owned treatment works (POTW).
In all three of these cases, specific provisions of other environmental regulatory
programs must be met in order to operate under a permit-by-rule. Ocean disposal
vessels and barges must have a permit issued under Part 220, underground injection
wells must have a permit issued under Part 144 or 145, and POTWs must have a
National Pollution Discharge Elimination System (NPDES) permit under Part 122,
EMERGENCY PERMITS
Under §270.61, emergency permits are temporarily issued when EPA determines that a
situation presents an imminent and substantial endangerment to human health or the
environment. These permits may be issued to a nonpermitted facility to allow
treatment, storage, or disposal of hazardous waste, or to a permitted facility to allow
treatment, storage, or disposal of a hazardous waste not covered by an effective permit.
The duration of an emergency permit cannot exceed 90 days.
PERMITS FOR LAND TREATMENT DEMONSTRATIONS
Before a land treatment facility can obtain a final permit, the owner and operator must
demonstrate that hazardous constituents in a waste can be completely degraded,
transformed, or immobilized in the treatment zone (§264.272). The purpose of land
treatment demonstrations using field tests or laboratory analyses is to allow an owner
and operator to meet the treatment demonstration requirements of §264.272 so that a
final permit may be obtained. The land treatment demonstration permit may be issued
as a treatment or a disposal permit. It may cover only the field tests or laboratory
analyses, or may include conditions pertaining to unit design, construction, operation,
and maintenance, in addition to those for the field tests or laboratory analyses.
UIC WELLS
Under §270.64, EPA may issue a UIC permit to any owner and operator of Class I
injection wells injecting hazardous waste in a state in which no UIC program has been
approved or promulgated. A UIC permit issued pursuant to this section must ensure
compliance with Part 265, Subpart R.
RESEARCH, DEVELOPMENT, AND DEMONSTRATION PERMITS
Section 270.65 provides special permitting requirements for RD&D permits for
hazardous waste treatment facilities using innovative and experimental treatment
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for Hotline training purposes.'
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Permits and Interim Status -17
technologies for which no standards exist under Part 264 or 265. These permits are
issued for a period of up to one year, and may be renewed up to three times, with each
renewal not exceeding one year.
2.7 INTERIM STATUS REQUIREMENTS
EPA recognized that it would be impossible for the Agency and authorized states to
issue permits to all hazardous waste management facilities before the RCRA Subtitle C
program became effective in November 1980. In RCRA §3005{e), Congress established
provisions to treat certain facilities as though they had been issued a permit until final
administrative action was taken on their permit applications. This statutory grant of a
permit is referred to as "interim status." Interim status regulations are found in Part
270, Subpart G, and Part 265.
QUALIFYING FOR INTERIM STATUS
Hazardous waste management facilities that are already operating on the effective date
of the statutory or regulatory amendments that cause the facility or unit to become
subject to regulation are considered to be existing facilities. Existing facilities satisfy the
requirement to apply for a permit by submitting only Part A of the permit application
(§270.1(b)). The timely submission of a §3010 notification (EPA Form 8700-12] and Part
A of the permit application qualifies owners and operators of existing facilities for
interim status.
Land disposal facilities qualifying for interim status must submit Part B of the permit
application and certify compliance with all applicable groundwater monitoring and
financial responsibility requirements within 12 months of the date the facility first
becomes subject to regulation (§270.73{d)). Other types of facilities qualifying for
interim status should submit the Part B permit application in accordance with
§§270.73(c) - (g) or when requested by EPA. EPA must give at least six months notice
when requesting a Part B permit application (§270.10{e){4)). Applicants may submit
Part B of the permit application voluntarily at any time. An interim status facility must
comply with Part 265 and the conditions described in its Part A until the final permit
determination is made (§270.71).
CHANGES DURING INTERIM STATUS
The owner and operator of an interim status facility must follow the procedures in
§270.72 in order to make any changes to the facility. Sections 270.72(a)(l) - (6) establish
the types of changes that can be made, as well as the criteria under which the changes
may occur. An interim status facility may make the following changes, provided the
owner and operator submits a revised Part A that includes justification for the proposed
changes before they are made:
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for Hotline training purposes.
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18 - Permits and Interim Status
* Managing hazardous wastes not specified in the Part A
« Increasing design capacity
* Changing or adding processes
* Changing the owner and operator
• Changing to comply with a §3008(h) corrective action order
» Adding newly regulated units.
Reconstruction
Section 270.72(b) placed certain limitations on the extent of any changes that can be
made under §270.72(a). Changes to an interim status facility may not be made if they
amount to reconstruction of the facility. Reconstruction is defined as occurring when:
Capital Investment in changes to the facility
^> 50 /o
Capital Cost of a comparable new facility
Any changes to an interim status facility that require a capital expenditure exceeding 50
percent of the cost of construction of a comparable new facility is considered
reconstruction.
Exceptions
In certain circumstances, EPA has exempted interim status changes from the
reconstruction prohibition. The Agency promulgated two exemptions prior to March
1989:
• Changes necessary to comply with the land disposal restrictions
• Changes necessary to comply with hazardous waste tank regulations.
In the March 7, 1989, Federal Register, EPA added the following exemptions from the
reconstruction limit (54 FR 9596):
* Changes that EPA determines are necessary to comply with federal, state, or
local requirements
* Changes that are necessary to allow a facility to continue to manage newly listed
or identified wastes
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for Hotline training purposes.
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Permits and Interim Status -19
• Changes made during closure in accordance with an approved closure plan
• Changes made to comply with an interim status corrective action order
• Addition of newly regulated units (e.g., boilers or industrial furnaces).
In addition, on June 19,1998, EPA added the following activity reconstruction limit
exemption:
• Changes necessary to comply with the National Emission Standards for
Hazardous Air Pollutants from Hazardous Waste Combustors under 40 CFR
Part 63, Subpart EEE (63 FR 33782).
All of these exemptions from the reconstruction limit are still considered changes
during interim status and require the facility to submit a revised Part A. Additionally,
interim status hazardous waste combustors that are making changes to comply with the
MACT standards, are still required to comply with the Notification of Intent to Comply
requirements under Part 63.
LOSS OF INTERIM STATUS (LOIS)
Under §270.73, interim status is terminated when either of the following situations
occurs:
• EPA makes a final determination on Part B of the permit application (issue or
denial)
• The facility fails to furnish Part B of the permit application on time
(§270.10(e)(5)).
Due to the small number of permits issued for interim status facilities prior to passage
of the Hazardous and Solid Waste Amendments (HSWA) in 1984, Congress
implemented a statutory timetable for submission of Part B permit applications. Those
facilities that failed to meet this "call-in deadline" lost their interim status and had to
close. These deadlines are found in §§270.73(c) - (g) and include submittal of a Part B
and demonstration of compliance with the groundwater monitoring and financial
assurance requirements. The only facilities not covered by the HSWA-mandated
schedule are facilities that became newly regulated as a result of a statutory or
regulatory change after November 8,1984 (other than land disposal facilities). These
facilities are required to submit their Part B when requested by EPA (at least six months
notice must be given).
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for Hotline training purposes.
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20 - Permits and Interim Status
In the October 22,1998, Federal Register, EPA clarified that interim status facilities that
have clean closed retain interim status until a final decision is made on the facility's Part
B application (63 FR 56710,56716). Issuance of an enforceable document in lieu of a
post-closure permit also does not terminate interim status.
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for Hotline training purposes.
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Permits and Interim Status - 21
3. SPECIAL ISSUES
Mobile treatment units (MTUs) are designed to move from facility to facility treating
waste on site. These units must comply with the applicable unit standards for interim
status (Part 265 or 266) or permitted facilities (Part 264 or 266). RCRA permits are site-
specific, thus a MTU alone (i.e., the unit itself) cannot receive a permit (or interim
status) but must be permitted (or receive interim status) for use at each location.
MTUs, like other treatment units, may qualify for an exemption from permitting
requirements. If a MTU meets the requirements for a wastewater treatment unit,
elementary neutralization unit, generator accumulation tank, or any other RCRA permit
exemption, the facility would not be required to obtain a permit for that unit.
The information in this document is not by any means a complete representation of EPA's regulations or policies,
. but is an introduction to the topic used for Hotline training purposes.
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22 - Permits and Interim Status
4. REGULATORY DEVELOPMENTS
In order to improve the permitting process, EPA continues to develop ways increase the
efficiency and effectiveness of environmental permitting programs.
4.1 POST-CLOSURE PERMITS
On October 22,1998, EPA modified the requirement for a post-closure permit to allow
EPA to use a variety of authorities to impose requirements on non-permitted land
disposal units requiring post-closure care (63 FR 56710). EPA also specified the Part B
information submission requirements for facilities that receive post-closure permits.
4.2 RCRA STANDARDIZED PERMIT
In July 1994, EPA created the Permits Improvement Team (PIT) to identify specific
actions that can be taken to increase the efficiency and effectiveness of environmental
permitting programs, not only under RCRA, but also in other EPA program areas. The
PIT spent two years working with stakeholders from state permitting agencies,
industry, and the environmental community. One of the stakeholders primary concerns
was that permitting activities should be commensurate with the complexity of the
activity, and the current permitting programs were not flexible enough to allow
streamlined procedures for routine permitting activities. Experience gained by EPA
over the past 15 years has shown that not all waste management activities require the
same level of complexity. For example, thermal treatment of hazardous waste requires
more tailored standards than does storage of hazardous waste. The PIT therefore
recommended that regulations be developed to allow standardized permits for on-site
storage and non-thermal treatment of hazardous waste in tanks, containers, and
containment buildings. EPA is proposing to revise the RCRA regulations to create a
standardized permit. Under the standardized permit, facility owners and operators
would certify compliance with generic design and operating requirements set on a
national basis. EPA would review the certifications submitted by the facility and would
be able to impose additional site-specific conditions as necessary to protect human
health and the environment. Compliance with the standardized permit would be
ensured during inspection of the facility after the permit has been issued.
4.3 PERMITTING CEMENT KILN DUST FACILITIES
On August 20,1999, EPA proposed management standards for cement kiln dust (CKD)
designed to protect ground water and control releases of fugitive dust (64 FR 45632).
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for Hotline training purposes.
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Permits and Interim Status - 23
EPA proposed to modify the requirements in Part 270 by adding regulations, proposed
§270.69, specific to the permitting of cement manufacturing facilities that manage CKD.
Only those facilities that do not comply with the proposed CKD management standards
will be required to obtain a CKD permit under §270.69. A CKD permit will require a
facility to comply with the proposed CKD standards and any additional requirements
specified by EPA that are necessary to protect human health and the environment.
However, permits issued under §270.69 are different from other Part 270 permits
because they do not impose facility-wide corrective action, and EPA can modify or
waive the permit application and issuance requirements in Parts 124 and 270, except for
the public participation procedures.
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for Hotline training purposes.
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