United States
Environmental Protection
Agency
Office of Water &
Waste Management
Washington, D.C. 20460
SW • 362
July 1980
x>EPA
RCRA State Interim
Authorization Guidance
Manual
-------
; UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
WASHINGTON. O.C. 20-160
JUN 2 5 1SSO
MEMORANDUM
SUBJZCT: RCRA State Interim Authorization Guidance
Manual n
?RCM: Sckardt C. Beck /O ///}
Assistant Adminiatra^.z/y/p-c'''
Water and Was^e/^I^ry^feejaent (WH-556)
Jeffrey G. Miller^
Actinc Assistant X
for Enforcerae^t (SN-329)
Michele 3. Corash
General Counsel (A-130)
TO: Regional Administrators
Assistant Administrators
This manual is the basic guidance document to be used by
EPA in implementing Section 3006 (c) of the Resource Conservation
and Recovery Act. of 1976 ( RCRA) , Interim Authorization of
State Hazardous Waste Management Programs. The manual describes
the documents that must be submitted by a State seeking interim
authorization and outlines the procedures to be used by our staffs
in determining "substantial equivalence" of a State program to
the Federal program.
The manual should be used by State agencies in preparing
draft and complete applications for Phase I of Interim Authori-
zation. It is expected that EPA Regional Office and Headquarters
staffs will follow the procedures outlined in this manual
during the interim authorization process. EPA's approval
process is outlined in chapter 1.2. Please note that we are
new reevaluating the details of the process, and if changes
to this chapter are appropriate they will be distributed as
soon as practicable. Until such time, the procedures in
chapter 1.2 should be followed.
The final decisions on State authorisation will require
judgments by EPA upper management. Therefore, early in-
volvement of management and staff at Headquarters and in the
Regional Offices is essential.
This- manual was developed by a task force comprised of
EPA Regional Office and Headquarters personnel under the
general direction of John McGuire, Regional Administrator,
Reaion V.
cc: Distribution list.
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NOTE TO USERS
This manual was prepared during the same period as the final RCSA Sub-
title C and Consolidated Permit Regulations which were published in the
Federal Registar on May 19, 1380. Consequently, there may be some errors of
omission or inappropriate references which should be corrected.
We would appreciate having all such instances brought to our attention
as soon as possible. Please address your comments to:
Mr. Sam Morekas
Office of Solid Waste (WH-563)
U.S. Environmental Protection Agency
Washington, Q.C. 20460
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RCRA STATE INTERIM AUTHORIZATION
GUIDANCE MANUAL
June 19, 1980
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ACKNOWLEDGEMENT
This manual was developed by the EPA RCRA Implementation Task Fores
under the direction of John McGuire, Regional Administrator of EPA Region V.
Jim Scarbrougn of EPA Region IV served as Chairman of the Regional and
Headquarters team that drafted the manual. EPA contributors were:
Office of Solid Waste Office of Enforcement
John Skinner Amy Schaffer
Truett DeGeare Philip Savitz
Sam Morekas Joel Blumstain
Ernie Pappajohn
Richard Rutherford
Jane Souzon
David Noble
EPA Regional Offices
Region I: Ira Leighton, Janet DeBiasio, Pam Hill
Region IV: John Dickinson, John Hermann, Betty Willis, Heather Ford
Region V: Mary Bryant, AT Marzardo, Bill Constantelos
Region VI: Pat Albright, Marty Allen
Region VII: Chet Mclaughlin, Bob Morby
Region VIII: Jon Yeagley
Region IX: Harry Seraydarian, John Mullen
Special Contributors
Jack McMillan and Lisa Lowe, Mississippi Board of Health
Richard Valentinetti, Vermont Agency of Environmental Conservation
EPA Reviewers
Dotz Oarrah, Gary Dietrich, Alan Corson, Matt Straus,
Fred Lindsey, Mike Kosokowski, Bruce Weddle, Rolf Hill, Carolyn Bar!ay
The -manual was compiled and edited by Fred C. Hart Associates, Suite
1003, 1025 Connecticut Avenue, Washington, O.C. 20036, under EPA contract
No. 68-01-5133.
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RCRA STATE INTERIM AUTHORIZATION GUIDANCE MANUAL
Contents
Chapter
1.0 GENERAL
1.1 Introduction
1.2. Application Approval Process
2.0 STATE SUBMITTAL GUIDANCE
2.1 Letter of Intent Including Schedule
2.2 Program Description
2.3 Attorney General's Statement
2.4 Memorandum of Agreement
2.5 Authorization Plan
2.6 Resource Adequacy
2.7 Completeness of Submittal Checklist
2.8 State Legislation Checklist
2.9 State Reporting Guidance
3.0 SUBSTANTIAL EQUIVALENCE GUIDANCE
3.1 Substantial Equivalence — Section 3001 RCRA
3.2 Substantial Equivalence — Section 3002 RCRA
3.3 Substantial Equivalence — Section 3003 RCRA
3.4 Substantial Equivalence — Section 3004 RCRA
APPENDICES
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CHAPTER 1.1
INTRODUCTION
The Resource Conservation and Recovery Act of 1976, (RCRA), as amended,
provides for interim authorization of State programs that are substantially
equivalent to the Federal program. This Guidance Manual has been developed
to provide direction to States in developing draft and complete applications
for Phase I of interim authorization. Use of the guidance models and exam-
ples will facilitate EPA's timely and orderly processing of a State appli-
cation for interim authorization. It is the intent of the Agency to develop
additional guidance for Phase II of interim authorization and for final
State authorization application development.
This manual is divided into three sections. The first, General,gives
an overview of the hazardous waste program and information on EPA's proce-
dures for review of Applications for interim authorization. The second is
the State Submittal Guidance which provides specific instructions for the
State in developing its application to be submitted for interim authori-
zation. The nine chapters in this section provide guidance to the States in
assembling the authorization application and detail the reporting require-
ments for States whose programs are approved. The third section, Substantial
Equivalence Guidance, is to be used by the State and by the Regional Offices
in determining whether the State regulations are substantially equivalent to
the Federal regulations. The Appendices contain the regulations pertinent to
developing the program subraittal and to reviewing State program submittals
for interim authorization.
In order to receive approval by the effective date of the Federal
regulations, the State must submit to its EPA Regional Office a Latter of
Intent to seek interim authorization not later than 45 days after promulga-
tion of the Federal regulations. This Letter of Intent must include a
schedule indicating the timing for development and submittal of both draft
and complete authorization applications. Guidance for the Letter of Intent
to Apply for Interim Authorization, including Schedule is included in this
Manual.
The federal regulations in 40 CFR 123 Subpart F promulgated pursuant to
Section 3006(c) of RCRA require that the State interim authorization appli-
cation contain the following:
1. Governor's letter requesting State program approval.
2. A program description which explains the program the State pro-
poses to administer together with any forms to be used to admini-
ster the program under State law.
3. A Statement from the State Attorney General (or the attorney for
those State or interstate agencies which have independent legal
counsel) that the laws of the State or interstate compact do
provide adequate authority to carry out the program the State pro-
poses to administer.
1.1-1
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4. A Memorandum of Agreement which describes any arrangement or
understanding between the State Director and the U.S. EPA Regional
Administrator regarding the administration and enforcement of the
State regulatory program.
5. An Authorization Plan which describes the additions or modifica-
tions necessary to qualify the State program for final authoriza-
tion.
6. Copies of all applicable State statutes and regulations, including
those governing State administrative procedures.
The chapters in 2.0 State Submittal Guidance provide guidance docu-
ments, example documents, and/or models for authorization application itarns
2 through 5 above and for program requirements regarding resource adequacy.
DEFINITIONS
For purposes of consistency, terms frequently used in this manual are
defined below. Other items are defined in 40 CFR 122.
1. "RCRA State Interim Authorization Guidance Manual" is this loose-
leaf notebook which includes specific guidance documents to assist
States in applying for interim authorization.
2. "Letter of Intent to Apply for Interim Authorization, Including
Schedule" is developed by the State to establish formally the
State schedule -and commitment to produce a complete application
for interim authorization.
3. "Draft Application" is a preliminary version of the complete
application which includes the Memorandum of Agreement, Attorney
General's Statement, Program Description, Authorization Plan, and
draft and final State hazardous waste regulations and legislation.
4. "Complete Application" is the official State application submitted
for the formal EPA review.
5. "State Delegation Coordinator" is the EPA Regional Office contact
responsible for coordinating and consolidating the review comments
generated fay the Regional Work Group and the Headquarters' Review
Team on the State submittal.
6. "Regional Work Group" is an established group of Regional Office
staff responsible for reviewing the draft application and complete
application. The Work Group must represent all of the concurring
Divisions and Offices, i.e., Regional Counsel, Air and Hazardous
Materials Division, and Enforcement Division, within the Regional
Office.
1.1-2
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7, "Headquarters' Review Team" is an established team of Washington
staff representing all the concurring offices, i.e., Office of
Solid Waste, Office of General Counsel, and Office of Enforcement,
responsible for reviewing the draft applications and complete
applications.
.8. "Headquarters' Review Team Leader'1 is responsible for coordinating
the efforts of the Headquarters' Review Team and coordinates the
transmittal of a single set of written review comments to the
Regional State Delegation Coordinator.
9. "Action Memorandum" is a transmittal memorandum prepared by the
Regional Office for the purposes of obtaining signatures from tne
appropriate concurring offices on the final determination on the
complete application and Federal Register notice.
10. "Application Approval Process," is the procedure fcy which acolica-
tions for interim authorization will be reviewed and determina-
tions made within each Regional Office and Headquarters.
11. "State/EPA Agreement (SEA)" is a statement of agreement between
the State and EPA delineating priority environmental program
activities to be carried out in the State by either party. The
document specifically covers work to be undertaken during the
fiscal year encompassed.
12. "Annual State Grant Work Program" is an agreement negotiated
annually between the State and EPA Regional Office delineating the
work activities to be completed by the State as a condition of the
RCRA grant for that year.
13. "Cooperative Arrangement" is a negotiated agreement on a fiscal
year basis as part of the State/EPA agreement and annual State
grant work program identifying elements of work to be performed by
a State in assisting EPA to implement portions of the Federal pro-
gram in that State when a State does not qualify for interim
authorization.
14. . "Phase I of Interim Authorization" is that phase of the Federal
Hazardous Waste Management Program commencing on the effective
dates of the following as initially promulgated: 40 CFR 122, 123,
260, 261, 262, 263, and 265. "Promulgation of Phase I" means
promulgation of the regulations necessary for Phase I to begin.
15. "Phase II of Interim Authorization" is that phase of the Federal
Hazardous Waste Management Program commencing on the effective
date of the first of 40 CFR 264 Subparts F-R (as initially promul-
gated). '"Promulgation of Phase II" means promulgation of the
regulations necessary for Phase II to begin.
1.1-3
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CHAPTER 1.2
APPLICATION APPROVAL PROCESS
I. INTRODUCTION
The "Application Approval Process" guidance presents the Regional/
Headquarters procedure that will be used to review draft and complete appli-
cations for all phases of the Approval Process during Interim Authorization
of State hazardous waste management programs.
The specific objectives of this guidance are to:
Make the States aware of the EPA Approval Process;
Provide for Regional and National consistency;
Assign responsibilities to specific groups in both the
Region and Headquarters; and
Shorten the review and approval time frames so that it
may be possible for States to receive interim authori-
zation to operate in lieu of the Federal program on the
effective date of the Federal regulations.
The success of this Approval Process lies with having upper management
in Headquarters and in the Regional Offices (i.e., Assistant Administrator,
Office Directors, Regional Administrators and Division Directors) review and
understand how these procedures achieve the Agency's goal of making a final
determination on State applications in a consistent and timely fashion. It
is expected that the Regional Offices and Headquarters will follow these
administrative procedures until otherwise modified.
II. GENERAL SCHEDULE FOR THE APPROVAL PROCESS
The goal of this Approval Process is to confer interim authorization to
State hazardous waste programs within 6 months after promulgation of the
Federal Regulations (40 CFR 261). It will be extremely difficult to author-
ize a state within this six-month time frame. In order to maintain this
optimistic schedule the following critical key events and milestones must be
met:
(D=0ay of Promulgation of 40 CFR 2£1)
Information discussions between States/Regions to begin (and to con-
tinue) as soon as possible;
Intensive consultations/detailed discussions to commence upon promul-
gation of the Federal regulations, i.e., the promulgation date (0);
1.2-1
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States to submit Letter of Intent/Schedule, i.e., (D + 45 days);
States to submit draft applications within 75 days after the promul-
gation of the Federal regulations (40 CFR 251), i.e., (0 -*• 75 days);
Regions/Headquarters to complete reviews of draft applications within
105 days after the promulgation of the Federal regulations, i.e., (D +
105 days);
States to submit complete applications within 120 days after the Fed-
eral regulations are promulgated, i.e., (D •*• 120 days);
EPA to render approval on the effective date of the Federal regula-
tions, i.e., (D + 180 days).
Figure 1 contains a typical sequence of events that will be followed if a
State wants to receive Interim Authorization by the effective date of the
Federal Regulations.
III. FACTORS CRITICAL TO SUCCESS
It is obvious that for this schedule to be achieved, extraordinary
management and organizational arrangements must be established. This sec-
tion sets forth those arrangements.
A. Regional and Headquarters Teams. Regional Workgroups and Head-
quarters Review Teams shall be established to coordinate and manage the
Agency's review, comment and approval of State submittals.
Each Regional Office should establish a Regional Workgroup coordinated,
directed and chaired by the Waste Management Branch. A Headquarters Review
Team should be established for each State application. The Review Team will
be coordinated, directed and chaired by the Office of Solid Waste. The
individuals to be assigned to the Regional and Headquarters teams should be
identified as soon as possible, should be selected from those organizations
with obvious involvement/interest in hazardous waste programs, and should be
as knowledgeable as possible. As a minimum the Regional Workgroups should
be composed of members from the Hazardous Waste Branch, the Regional Coun-
sel's Office and the Regional Enforcement Office. The Headquarters Review
Teams should be composed of members from the Office of Solid Waste, the
Office of General Counsel, the Office of Water Enforcement and other appro-
priate Headquarters Offices.
The development of these two groups as the respective Regional and
Headquarters focal points is intended to involve all parties interested in
the State program authorization and to ensure consistency in Agency comments
to the States. Responsibilities of the Regional Workgroup and the Head-
quarters Review Team in the development and review of the State submittals
should be defined in advance. Each State will be assigned a Delegation
Coordinator from the Regional Office. The State Delegation Coordinator will
be» responsible for coordinating and consolidating the review comments gener-
ated by the Regional Workgroup and the Headquarters Review Team on various
aspects of the State submittal.
1.2-2
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Figure 1
SEQUENCE FOR APPROVAL PROCESS INTERIM AUTHORIZATION - PHASE I
30
60
90
120
ISO
180
I I
STATE SUBMITS LETTER OF
INTENT/SCHEDULE TO EPA
STATE & EPA DISCUSS SCHEDULES/
COOPERATIVE ARRANGEMENT AND STATE
SUBMITS DRAFT APPLICATION
STATE ISSUES PUBLIC
NOTICE OF INTENT
(OPTIONAL)
• »• MM • •^MV«^^
MIN. 30 DAY PUBLIC
COMMENT PERIOD
(OPTIONAL)
STATE SUBMITS "COMPLETE APPLICATION"
TO EPA
EPA NOTICE, HEARING, & 30 DAY COMMENT
PERIOD
EPA FINAL DECISION
PUBLISHED
IN FEDERAL
REGISTER
MAXIMUM TIME FRAME
MINIMUM TIME FRAME
KEY DUE DATES
Regulations Promulgated - Day 0
Letter of Intent/Schedule - Day 45
Draft Application Developed and Submitted before Day 75
State Submits Complete Application - Day 120
Public Comment Period - Days 130-170
Determination - Day 180
Regulations Effective
(May 19)
(July 3)
(August 2)
(September 16)
(September 25 •
November 5)
(November 15)
(November 19)
1.2-3
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B. Standardized Checklists. In order to expedite the review of draft
and complete applications, standardized checklists should be used. These
checklists cover each of the basic elements of the application, e.g., Pro-
gram Description, Attorney General's Statement, Memorandum of Agreement,
etc. Model checklists are presented in other chapters of this Guidance.
The purposes of the checklists are as follows:
1. The checklists should ensure that all elements have been
evaluated.
2. The checklists should allow the comments tj be handwritten or
typed into a space provided on the checklist itself. This
will expedite the review and consolidation of comments.
3. The checklists should serve to focus the reviewers' comments
on the more important issues of the application. The com-
bination of the State authorization guidance document and the
checklists will establish a reasonable basis for the scope of
EPA's review.
4. The checklists will establish a uniform recordkeeping among
the Regions. (See the section on State Reporting Guidance for
details on this subject.)
C. Meeting All Milestones on Time and Consolidation of Comments.
For each stage of the Approval Process, the specific activities and respon-
sibilities of the Headquarters Review Team and Regional Workgroup have been
defined and a notation made of the cumulative time elapsed in calendar days.
The purpose of noting the cumulative calendar days elapsed is to establish
the necessary turnaround times for completion of various activities. It
should be noted that the times shown are based on the desire for a program
approved by the effective date of the Federal Regulations.
In order to ensure that the Agency presents a clear and uniform posi-
tion with respect to the review of State submittals, EPA should provide the
States with a single consolidated set of comments. This guidance estab-
lishes a review process whereby the Regions and Headquarters will coordinate
their comments via the Regional Delegation Coordinator.
Head'quarters Review Team members and Regional Workgroup members are
responsible for ensuring that their comments are submitted to the team
leader on time. If milestones are-missed, the Team Leaders may presume a
"no comment" position and subsequent comments may not be considered.
Headquarters will provide one set of comments on the draft and complete
applications under the combined signatures of the Assistant Administrator
for Water and Waste Management, the Assistant Administrator for Enforcement
and the General Counsel. These comments will be combined with the comments
generated by the Regional Workgroup and forwarded to the State by the
Regional Administrator as one set of comments. The Regional Delegation
Coordinator shall resolve with Headquarters any conflicts in consolidating
before transmitting to the States. If Headquarters' comments on the draft
application are accommodated and no new issues are raised by the State in
the complete application or by the public during the public comment period,
the Regional Office should expect Headquarters' concurrence on the complete
application in an expedited manner.
1.2-4
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However, failure of the Regional Delegation Coordinator to transmit Head-
quarters' review comments to the State, or failure by the State to ade-
quately address the issues raised in such comments, could result either in a
delay in final concurrence or in non-concurrence by the Headquarters
offices.
Final approval of complete applications will be made by the Regional
Administrator with the concurrence of the Assistant Administrator for Water
and Waste Management, the Assistant Administrator for Enforcement and the
General Counsel. In the event that concurrence cannot be obtained from
Headquarters within the time frames indicated, the Regional Administrator
must immediately raise the issue to the Administrator for resolution.
Seme of the other extraordinary features essential to success are:
1. Joint reviews of draft applications at each Regional Office
by the Headquarters/Regional teams (Headquarters' teams
travel to Regional Offices as needed);
2. The expediting of the distribution of documents by means
other than mailing; and
3. Fast access to upper management for resolution of critical
issues.
This Guidance assumes the States want the interim authorization process
to be completed on or before the effective date of the Federal Regulations.
In the event a State does not want the program on the effective date of the
regulations, the procedures described here would remain the same, only the
dates would change.
IV. STAGE I - DRAFT APPLICATION REVIEW
Experience with delegations under the Air and Water Programs has indi-
cated that the development and review of draft applications should be viewed
as the most critical step in the entire process. EPA should view the de-
velopment, of the State's draft application as a joint E?A-State effort as
opposed to assuming only a review role.
The use of frequent working sessions is essential to assist the States
in developing draft applications that will meet the test of substantial
equivalency. Where issues arise which are common to several States, joint
work sessions should be planned in order to effectively utilize staff and
ensure national consistency on the issue. It is reasonable to assume that
each of the major elements of the application will require separate meetings
with appropriate State officials.
The draft application development activity will also involve the Head-
quarters Review Teams, especially where major issues or issues common to
several States require coordinated Regional/Headquarters decisions. More
intensive Headquarters involvement will start when the draft applications
have been prepared; however, informal Headquarters and Regional coordination
1.2-5
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FIGURE 2
REVIEW PROCEDURE FOR ELEMENTS
OF THE DRAFT APPLICATION
CUMULATIVE DAYS
ASAP
ACTIVITIES
Working Sessions
Developing a Draft
ELEMENTS OF DRAFT APPLICATION
Submitted to the State Delegation Coordinator
Log and Transmit
14
HQ Review Team Leader
HQ Review Team
Checklist
Exchange Thoughts
and comments
I
HQ Review Team Leader
Consolidates Comments
Regional RCRA
Workgroup Checklist
AA & GC Sign off
21
28
29
30
State Delegation Coordinator
HQ Review Team-* Consolidates Comments —
Prepares Draft
Comments to State
HQ Review Team
Leader «
HQ Review Team
Leader
Coordinator
Finalize Comments-
Transmit to State
1
Coordinator Prepares
for State Meeting
MEET WITH STATE
-^ Regional Worksrooo
Regional RCRA
Workgroup
1.2-6
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is encouraged prior to that time. These drafts will be transmitted to Head-
quarters for review and comment within a specified turnaround time. Fre-
quent contact between the Regional Workgroup members and their respective
program offices in Headquarters, e.g., the Regional Waste Management Branch
and the Office of Solid Waste, the Enforcement Division and tne Office of
Enforcement, the Regional Counsel and the Office of General Counsel, is
necessary in order to ensure that the positions taken during the drafting
process will be acceptable to these concurring offices. It is important
that significant telephone comments be written up in the form of a telephone
memo for the files. The success of'the delegation and cooperation between
EPA and the State may depend on the Regional Workgroup and the Headquarters
Review Team's effectiveness in communicating in a way that accurately re-
flects the Agency's position on significant issues.
Figure 2 is a flow diagram which summarizes the review procedure for
the draft application.
V. STAGE TWO - COMPLETE APPLICATION REVIEW
The emphasis on the draft application should significantly reduce the
workload and time needed to perform the formal review and approval of the
complete applications. The recommended time frames for completion of vari-
ous activities reflects this assumption.
Figure 3 represents a recommended sequence of events for the review and
approval process of complete applications. The time frames suggested in
Figure 3 are to make a final determination on a State program by the effec-
tive date of the Federal regulations. This will require the review of the
State's complete application, the holding of a public hearing, the sign-off
by all offices and a decision by the Regional Administrator within 60 days.
This 60 day turnaround time further amplifies the importance of the work
done during the draft stage.
The Regional Workgroup and the Headquarters Review Team remain the
focal points for the review of complete applications. Upon receipt of the
complete applications, the State Delegation Coordinator logs in and trans-
mits copies of the complete application to the Headquarters Review Team
Leader and the Regional Workgroup and prepares and issues the public notice.
The State Delegation Coordinator and the Headquarters Review Team Leader
will sat up public depositories for public review in the State and Regional
Offices.
The Regional Workgroup and Headquarters Review Team must complete their
respective reviews prior to the public hearing in order to facilitate inter-
pretation of public comments received at the hearing.
When a public hearing is held and public comments are submitted, the
State Delegation Coordinator will be responsible for preparing responses to
the comments. The responses to comments should be reviewed by the Regional
Workgroup before being transmitted via the telephone to the Headquarters
Review Team for their information and comments.
1.2-7
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After the Headquarters Review Team comments on the responses to the
public comments, an Action Memorandum for the Regional Administrator will be
prepared by the State Delegation Coordinator and the Regional Counsel. This
Action Memorandum should contain a specific recommendation with respect to
the approval of the application.
The Action Memorandum should highlight specific questions or problem
areas and provide some insight into key agreements reached during the draft-
ing stage. The Action Memorandum should provide space for Headquarters and
Regional Office concurrence sign-offs. An additional item to be included in
the package which goes to the Regional Administrator is a Federal Register
Official Notice of the Approval.
It is important that the Action Memorandum represents the recommenda-
tions of the Regional Workgroup members and the Headquarters Review Team in
order to expedite the concurrence sign-off process. It should be noted that
the recommended sequence of events in Figure 3 envisions Regional Office and
Headquarters concurrences taking place at the same time.
Each Regional Workgroup member and Headquarters Review Team member has
the responsibility of briefing his/her respective Division Director or
Office Director on the final recommendation in advance of the transmittal of
the Action Memorandum to ensure that there will not be any unnecessary
delays in the concurrence process. Coordination of the concurrence sign-off
in Washington remains with the Headquarters Review Team Leader and the State
Delegation Coordinator in the Region.
In the event the concurring offices cannot agree on the final determin-
ation, it is the Regional Administrator's responsibility to resolve the
problem with the Administrator.
VI. RECOROKEEPING
It is essential that the Regions develop a delegation file system which
will represent a comprehensive record of the Agency's delegation process.
The recordkeeping system should provide a simple, efficient system for:
Information useful in monitoring the approval process, e.g.,
tracking stage of completion and need for amendment;
Information which can be used for program planning, e.g.,
phasing of the review and approval process and determining
the total number of reviews in a given period of time; and
Information which can be used to respond to subsequent
changes to the application.
The State Delegation Coordinator is responsible for maintaining the delega-
tion file. The delegation file should contain the following elements:
1.2-8
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.CUMULAT'VE
CALENDAR
SAYS
FIGURE 3
REVIEW PROCEDURE FOR THE COMPLETE
APPLICATION
Three"Ccmp1ete Applications'! Submitted
& comoleteness determination made
.
State Delegation Coordinator
transmits applications and publishes Federal Register Notice
one copy
28
30
44
HQ Review Team Leader
AA & GC Sign off
one copy
\
Regional Counsel
elements of one copy
Regional Workgroup
V
Reviews"and Submits "Checklist
Coordinator Consolidates Comments
PUBLIC HEARING
Coordinator Responds to Public Comments
cc: Workgroup and HQ
HQ Reviews Response to
Public Comments
50
Coordinator and Regional Counsel Prepare
Action Memo and Federal Register Notice
n
Q
re
O
c.
HQ Review Team Leader
Obtains Concurrences of
AA's and GC
Coordinator Obtains
Concurrences
Final Determination
Finalize Federal Register Notice and Transmittal Memo
Regional Administrator for Signature
1.2-9
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A. Copies of State/EPA agreements relevant to the approval
process and copies of the cooperative arrangements if used
during the interim authorization period;
8. A copy of the legislation and regulations and a checklist
that establishes that the State has or needs the proper
authority to run a RCRA program;
C. A copy of the Letter of Intent, including Schedule;
D. Copies of all comments and checklists from the Regional
Workgroup as they pertain to the draft and complete appli-
cations;
E. Copies of consolidated comments and correspondence and tele-
phone memos related to the application review from the Head-
quarters Review Team Leader;
F. Summaries of meetings and trips and correspondence and tele-
phone memos to and from Headquarters, the Regional Office and
the State as they pertain to the approval process;
G. A log which tracks the review of submittals and dates for
comments, e.g., Figure 4;
H. Copies of comments and statements from the Regional Admini-
strator and concurring offices;
I. Federal Register Notice of Hearing;
J. All public comments and responses; and
K. Action Memorandum.
The delegation file is not the same as a public docket file. Regional
Counsels should be consulted when requests are received for any documents
that are not already public documents (e.g., Action Memorandum).
A separate file should be maintained for the review of and comments on
the draft regulations.
1.2-10
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1,00 FOR TRACKING Till! lir.VIKW OF Tllli "DRAFT AMI) COMI'I.KTK AI'l'LICATlOli:;" FKimiK
STATE
ELEMENT
OF REVIEW
DATE
REC'D
DisrniDunoM
fiENT TO
DATE
nnc'D
DATE
nur:
RESrON.SE
REMARKS
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2.0 STATE SUBMITTAL GUIDANCE
-------
CHAPTER 2.1
LETTER OF INTENT INCLUDING SCHEDULE
Purpose and Scope
The purpose of this chapter is to provide guidance to the State in
preparing a Letter of Intent and a' Schedule for developing an application
for receiving interim authorization of a State's hazardous waste program.
The Letter of Intent should be submitted to the U.S. EPA Regional
Administrator as soon as possible, but no later than 45 days after promulga-
tion of the Federal Phase I regulations. After suomittal of the Latter of
Intent, the State must submit draft and complete applications no later than
75 days and 120 days after the promulgation data respectively if the State
expects to receive program approval within about six months of promulgation
of the Federal Phase I regulations. For applications submitted on time EPA
will attempt to complete the approval process in the shortest time possible.
The U.S. EPA will accept and process applications received after these dates
but will probably not be able to complete this process before the effective
date of the Federal program.
Content
A Letter of Intent is from the State Director to the Regional Admini-
strator stating that the State proposes to seek both interim and final
authorization to administer and enforce a State hazardous waste program in
lieu of the Federal program in accordance with Subtitle C, Resource Con-
servation and Recovery Act of 1976. The Letter of Intent may be used to:
(1) identify those States desiring to receive interim authorization by the
effective date of the Federal regulatons; (2) set priorities for the devel-
opment of Regional hazardous waste programs in States not expected to
receive interim authorization; (3) establish a basis for State and U.S. EPA
Agreements (SEA) and the annual State grant work program; and (4) identify
States for cooperative arrangements with U.S. EPA in those situations where
EPA is implementing the Federal hazardous waste program. The letter should
include the following items as a minimum:
1. A general description of present State legislative and regulatory
authority to operate the program.
This should not be the detailed statement required in the Attorney
General's Statement in the complete application. It should be a
brief summary of the present status of State authority. Its main
purposes are to highlight, as early as possible, the additional
legislation or regulatory authorities that the State believes are
required and to describe what the State intends to do to qualify
for interim and final authorization.
2.1-1
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2. A brief description of the State Agency organizational structure
and the departments or units that will be responsible for operating the
program.
The letter should briefly describe the State's organizational
structure; show which agency will operate the program; and, where
there is shared program responsibility between State agencies,
describe briefly how the responsibility is shared.
3. A schedule for preparing and submitting a draft and a complete
application for interim authorization.
The attached Table 1 presents a sample State schedule that has
been developed to show the shortest possible time in which U.S.
EPA believes a complete application for interim authorization
could be prepared by a State and reviewed and approved by the
Regional Administrator. It assumes that only a minimal time is
required to make regulatory changes in Stata authority, and that
the application can be considered complete upon receipt. A State
should prepare its schedule based on its best estimate of the time
periods needed to develop each element of the draft and the com-
plete application. EPA staff will be available to assist the
State in developing a realistic schedule and a complete applica-
tion.
2.1-2
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TABLE 1
SAMPLE SCHEDULE FOR PREPARING DRAFT AND COMPLETE APPLICATIONS
FOR PHASE I INTERIM AUTHORIZATION
1980
Program Elements/Action Items
PHASE I AUTHORIZATION
Evaluate Needs and Obtain Effective
Regulations Where Necessary
Program Description Draft
Final
Attorney General's Statement Draft
and Authorization Plan Final
Memorandum of Agreement Draft
Final
Draft Application Submission by Direc-
tor to U.S. EPA Regional Administrator
Complete Application Submission by the
Governor to U.S. EPA Regional
Administrator
JAN . FEB MAR . APR MAY . JUN JUL . AUG SEP OCT NOV _ DEC
Time Sequence in Days 0 30 60 90 120 150 180
V
\ v
s \
\
\
\ v
A
;\
\\x
S~V\
\\
^
\\ v
v \ ^
s\N
\^
V\\
^\^
^
K\\
\\
\\
^\\
^
kxx
,l\v
1
^
S3
x_
M
^
Notes:
The August 2 and September 16, 1900, dates for submission of a draft and complete application
are critical if the State expects to receive program approval by November 19, 1980. States are
obviously free to develop their own schedules. U.S. EPA intends to process applications received
after September 16, 1980 as soon as reasonably possible.
-------
Federal Sscuirement
CHAPTER 2.2
PROGRAM DESCRIPTION
{123.124 Program
Any State that wishes la administer a
program under this Subpart shall submit
to the Regional'Administrator a
complete description of the pro gran It
proposes to administer in lieu of the
Federal program under Slats law. A
State applying crJy for interim
acthcrizaucn fcr Phase n shall amend
its program description for interim
authorization for Phase I as necessary to
reflect the program it proposes to
administer !o Teat the requirements for
interim auihc.-.z3iion for Phase DL The
program description shall include:
(a) A descriptions narrative form of
the scope, structure, coverage, and
processes of the State program.
(b) A description (including
crjanizaa'on charts) of the organization
n-d structure of the State agency or
agencies which will have responsibility
for administering the program including
the information listed below. If more
than one agency is responsible for.
administration of the program, each
agency must have Statewide jurisdiction
over t claw of activities. The
responsibilities of each agency must be
delineated, their procedures for
coordination jet forth, and one of the
agencies must be designated a "lead
agency" to facilitate ccmmunicationj
between EPA and the State agencies
having program responsibility. Where
the State proposes to administer a
program of greater scape of coverage
than is required by Federal law, the
information provided under this section
shall indicate the resources dedicated to
administering the Federally required
portion of the prczras.
(1] A description of the State agency
staff who wili be tr.gaged in carrying
out the State program, including the
number, occupations, and general duties
cf the employees. The State ns«d 20!
submit complete job desc-ip'Joru fcr
every espicvM engaged in carrying out
the State program.
(2) An ilemization of the proposed or
ictiud co«ts of establishing and
administering the r"ngTyTT' including
. oo4t of the personnel listed in paragraph
(b)(lj of this section, cost of
administrative support and cost of
technical support.
(3) An itemiza Q'on of the sources and
amounts of funding, including an
estimate of Ftdenl grant money,
available to the State Director to meet
the costs listed in paragraph (b)(2] of
this section identifying any restrictions
or limitations upon *h<« funding.
(c) A description of applicable Slate
procedures, including permitting
procedures, ami any State appellate
review procedure!.
«cplyui$ only for intern •
for ?tui« I need cetcr.be
permitting procedure* oaiy to tie extent they
will be auUi*d to assure coissiiincs with
rtmndards iub«unaiUy ecuiv»lect to 40 GTS
[d) Copies of the forms and the
manifest format the State inlands ta 'ise
in its program. Forms used by the Sta'.s
aeed act be identical to !he fsrms used
by EPA. but should require the tarns
basic infarssan'cc. If the Slate cheeses
to use unifora sadcnal forms it should
so note.
(e) A complete description of tie
State's compliance ccnnoring ind
enforcement program.
(f) A description of the State manifest
system if the State has such a system
and of Lhe procedures the Slate will ose
to coordinate information with other
approved State programs and the
Federal program regarding interstate
and international shipments.
(gj An estimate of tie aumber of the
following:
(1) Generators;
(2) Transporters: and
(3)-On- and off-site ffeacaer.j. stcra?-
and disposal faclities inciudirg a br.e:'
descr.pnon of the rypes of facilities and
in indication, if applicable, of the perm::
itatus of these facilities.
Purpose and Scope
The Program Description is a critical element of a State's authoriza-
tion application since it describes the program that the State plans to
operate in managing hazardous wastes.
The information to be provided by the State in its Program Description
for Interim Authorization is specified in 40 CFR 123.124. To assist EPA in
reviewing the Program Description, the State should present its information
in the order specified in the regulations. This guidance explains further
several elements of the Program Description. Other elements are self-ex-
planatory.
Content
,/ Supplementary guidance is provided for specific requirements as
follows:
2.2-1
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1. Multiple State Agency Responsibilities and Lead Agency
The delineation of State agency responsibilities and
identification of a lead agency, required when more than one
agency is to be involved in program development, administra-
tion, and enforcement, must be accompanied by any and all
memoranda of understanding or agreement in existence at the
time that the authorization application is submitted to EPA.
In the absence of adequate formal documentation of coordina-
tion, an informal description of procedures currently in
existence must be developed for inclusion in the interim
authorization application. EPA and the State will evaluate
the need for formalization of. such procedures. If needed,
the Memorandum of Agreement or the Authorization Application
should include commit.-nents from the State to proceed with
formalization.
2. State Compliance Monitoring and Enforcement Program
The State's Program Description must demonstrate the way
in which the State compliance monitoring and enforcement
program will operate in order to achieve the following ob-
jectives:
a. Ensure that all operations of hazardous waste management
facilities are conducted in accordance with State stan-
dards substantially equivalent to the Federal standards
in 40 CFR 264 and 265; and
b. Ensure compliance by hazardous waste generators and
transporters with applicable State standards that are
substantially equivalent to the Federal standards in 40
CFR 262 and 263, including use of the manifest system
(where the State operates the manifest system).
Such a program should provide for compliance inspections
as often as possible. Resource limitations may require that
inspections be scheduled and conducted in priority order.
The State's enforcement program will be deemed adequate if it
provides for inspections to be conducted, at a minimum, with
the following frequency:
Major Hazardous Waste Management Facilities (including
generators that treat, store, or dispose of waste on-
site) - once per year;
Non-major Hazardous Waste Management Facilities (includ-
ing generators that treat, store, or dispose of waste
on-site) - once every two years;
Selected generators that ship waste off-site and
selected transporters - once every two years; and
2.2-2
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Other generators and transporters- as often as
possible after completion of the other inspection
requi rements.
It is recognized that majcr/non-major is a relative
determination that will vary from Stata to State. The State
application for interim authorization aiust include a proposed
scheme for classifying major facilities and for selecting
generators and transporters for compliance monitoring en-
forcement. Among the factors that may be considered in classi-
fying are: the size of the physical plant; the location; the
amount of waste generated/ handled; the hazard characteris-
tics of the waste(s) generated/ handled; whether the genera-
tor/ facility/transporter is regulated under another pro-
gram; and the number of generators/facilities/transporters
within the State. The classification system will be incor-
porated in the Memorandum of Agreement.
The Program Description must also describe the State's
program for:
a. Investigation of reported or suspected violations;
b. Follow-up inspections to ensure correction of de-
tected violations;
c. Collection and analysis of samples during routine
monitoring and pursuant to investigations of viola-
tions;
d. Coordination with the Federal and/or State Depart-
ments of Transportation to ensure enforcement of
applicable transporter requirements; and
e. Administrative/Judicial actions against violators.
3. Estimated Types and Number of Regulated Activities
The description of the estimated types and numbers of
regulated activities is used for evaluating the adequacy of a
State's program and resources to regulate the activities in
question. To fulfill the requirements for this evaluation,
the State should provide the best numerical estimates of
existing data on hazardous waste activities in the listed
categories.
The attached sample format in Table 2 may be used for
display of this information. Only those activities that
correspond with activities that would be regulated under the
Federal program need to be reported.
4. Substantial Equivalence
The State must demonstrate that its regulations covering
generators, transporters, facilities and hazardous wastes are
substantially equivalent to the Federal regulations. In
2.2-3
-------
order to meet this requirement, the State should complete the
Substantial Equivalence Checklists included in Chapters 3.1,
3.2, 3.3 and 3.4 of this Manual and submit them with the Pro-
gram Description.
2.2-4
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TABLE 2
Estimated Types and Number of Regulated Activities
Types Number
Generation ___ __ __________ _
Transportation _
Storage
on-sita
off- site
Treatment
on-site
off-site
Disposal
on-site
off-site
2.2-5
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CHAPTER 2.3
ATTORNEY GENERAL'S STATEMENT
Federal Reauirement
§ 122.125 Attorney G«ncraJ's statement.
(a) Any Stale seeking to administer a
program under this Subpart shall submit
a statement from the Slate Attorney
General (or the attorney for those State
or interstate agencies which have
Independent legal counsel), that the
laws of the State, or the interstate
compact, provide adequate authority to
carry out the program described under
5 123.124 and to meet the applicable
requirements af this SubcarL This
statement shall include citations to the
specific statutes, administrative
regulations, and, where appropriate.
judicial decisions which demonstrate
adequate authority. Except as provided
in J 123.128(d]. the State Attorney
General or independent lejal counsel
must certify that the enabling legislation
far the program for Phase I was tn
existence within 90 days of tha
promulgation of Phase L In. the case of «
State applying for interim authorization
for Phase H. the SUte Attorney General
or independent legal counsel must
certify that the enabling legislation for
the program for Phase Q was in
existence within 90 days of'lie
promulgation of Phase LL State statute*
and regulations cied by the State
Attorney General or independent legal
counsel shall be lawfully adopted at the
time the statement is signed and shall be
fully effective by the time the program ii
approved. To qualify as "independent
legal counsel" the attorney signing the
statement required by this section must
have hill authority to independently
represent the State agency in court on
til matters pertaining to the Slate
program. In the case of a SUte applying
only for interim authorization for Phase
U. the Attorney General's statement
submitted for interim authorization for
Phase I shall be amended and recertified
to demonstrate adequate authority to
carry out all the'requiremenis of this
Subpart.
fb)(l) In the case of a State applying
only for interim authorization for Phase
L the Attorney General's statement shall
certify that the authorization plan under
J ti3.127(a). if carried out would
provide the State with enabling
authority and regulations adequate to
meet the requirements for final
authorization contained in Phase L
(2) b die case cf a State appiyma fcr
interua authorization for Phase 1 '-is
Attorney General's statement shall
certify that the authorization plan under
i 123.127(b), if carried out, would
provide the State with enabling
authority and regulations adequate to
meet all the requirements for final
authorization.
(c) Where a State seeks authority over
activities on Indian lands, the statement
shall contain an appropriate analysis of
the State's authority.
Introduction
The following guidance is intended to assist the attorney preparing the
Attorney General's Statement for Phase I of Interim Authorization.
The Attorney General's Statement is a required element (see 40 CFR
123.125) of a State's application for interim authorization of its hazardous
waste management program. It constitutes certification by the Attorney
General (or the attorney for those State or interstate agencies which have
independent legal counsel) that State law and regulations provide adequate
authority to carry out the State program and to meet the applicable require-
ments for interim authorization.
States
(including a
with interim authorization must submit a new application
new Attorney General's Statement) for final authorization in
2.3-1
-------
order to receive final authorization. This guidance does not address the
Attorney General's Statement for final authorization.
States may receive interim authorization in two phases: they may
receive interim authorization corresponding to Phase I and amend the ori-
ginal application (including the Attorney General's Statement) for Phase I
to meet the requirements of Phase II (see 40 CFR 123.122(c)(4)), or they may
make an original application for interim authorization after the commence-
ment of Phase II and receive interim authorization for both Phase I and
Phase II at that time (see 40 CFR 123.122(c)(2) and (3)). This guidance
does not address Phase II requirements at all. It is designed only for
those States seeking interim authorization corresponding to Phase I. EPA
will provide further guidance on Phase II requirements in the near future.
The Attorney General preparing the Attorney General's Statement for
interim authorization Phase I should consult 40 CFR 123(F) which provides
the regulatory requirements for interim authorization.
The model provided as part of this guidance is recommended for use in
preparing the Phase I Attorney General's Statement. The model includes the
minimum requirements a State must meet in order to qualify for interim
authorization for Phase I and a suggested format for the Attorney General's
certification that State laws, regulations and judicial decisions provide
adequate authority for the State to carry out the program.
The model is intended only as a guide; while the specific elements must
be addressed, the format may be varied as required by individual needs.
Please note the following:
(1) In some States, Attorneys General can issue opinions which
carry significant legal weight (for example, some are pub-
lished opinions). The Phase I Attorney General's Statement
need not be, necessarily, such a formal opinion of the
Attorney General so long as it is a formal memorandum which
reflects the official legal opinion of the Attorney General.
Note, too, that in States where the agency administering the
program has independent legal counsel, the statement may be
prepared and signed by that counsel.
(2) The additional certification regarding the Authorization Plan
included in the first paragraph of the model is required by
40 CFR 123.125(b)(l). This section, 40 CFR 123.127 (Author-
ization Plan), and EPA guidance on the Authorization Plan in
Chapter 2.5, should be consulted in regard to this addi-
tional certification.
(3) Sections -headed "Citation of Laws and Regulations" should
include identification in narrative form of, and citation to,
all laws and regulations (including case law) covering the
relevant requirement.
(4) Sections headed "Date of Enactment of Enabling Legislation"
are particularly important in light of the first sentence of
2.3-2
-------
section 3006(c) of RCRA which States, "any State which has in
existence a hazardous waste program pursuant to State law
before the date ninety days after the date of promulgation of
regulations under Sections 3002, 3003, 3004 and 3005 may
submit to the Administrator evidence of such existing pro-
gram. .."
(5) The Sections headed "Remarks of the Attorney General" are
provided to encourage the Attorney General: (a) to indicate
any potential problems or peculiarities in State authority;
(b) to identify requirements of the State program which are
more stringent or more extensive than the Federal Phase !
requirements; and (c) to identify requirements of the State
program which are less stringent or less inclusive than the
Federal Phase I requirements.
(5) Lack of authority for the manifest system and associated
generator/transporter standards should not cause Genial of
Phase 1 interim authorization. (See 40 CFR 123.128(d)) These
requirements are noted by asterisks (*) in the Model Attorney
General's Statement.
(7) For those requirements which must be "substantially equiva-
lent" to the Federal requirements, Chapters 3.1-3.4 of this
guidance should be consulted. Because we believe the
Attorney General's statement should be as specific as possi-
ble, we encourage the attorney preparing it to address indi-
vidually as many program elements which appear in the rele-
vant guidance documents as possible.
MODEL ATTORNEY GENERAL'S STATEMENT FOR INTERIM AUTHORIZATION PHASE I
I hereby certify, pursuant to my auth.ori.ty as and in accordance
with Section 3006(c) of the Solid Waste Disposal Act as amended by the
Resource Conservation and Recovery Act, as amended (42 USC 6901, e_t seq.),
and 40 CFTl 123 that in my opinion the laws of the State [Commonwealth] of
provide adequate authority to carry out the program set forth
in the "Program Description" submitted by the . I further certify
that the enabling legislation for the program was in existence within 90
days after the May 19, 1980, promulgation date of 40 CFR 123. The specific
authorities provided, which are contained in statutes or regulations law-
fully adopted at the time of this Statement and which are or shall be in
full force and effect at the time the program is approved, include those
identified below. I further certify that in my opinion the authorization
plan submitted by pursuant to 40 CFR 123.127(a), if carried
out, would provide the State [Commonwealth] with the legal authority to meet
the requirements for final authorization contained in Phase I.
2.3-3
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I. norm CATION AND LISTING
State statutes and regulations provide control over a universe of
hazardous waste generated, transported, treated, stored and disposed of
in the State at the time of program approval which is nearly identical
to that which would be controlled by the Federal program under 40 CFR
261.
(Federal Authority: RCRA §3001(b) (42 USC 6921); 40 CFR 261, 123.128(a).]
Citation of Lavs and Regulations
Date of Enactment of Enabling Legislation
Remarks of the Attornev General
II. STANDARDS FOR GENERATORS OF HAZARDOUS WASTE*
A. State statutes and regulations provide coverage of all the genera-
tors of hazardous waste which is regulated under the State program.
[Federal Authority: RCRA §3002 (42 USC 6922); 40 CFR 262., 123.128(b)(2)]
Citations of Laws and Regulations
Date of Enactment of Enabling Legislation
Remarks of the Attorney General
B. State statutes and regulations require all generators of waste to
determine whether their waste is hazardous.
[Federal Authority: RCRA §3002 (42 USC 6922), 40 CFR 262.11.
Citations, of Laws and Regulations
Date of Enabling Legislation
Remarks of the Attorney General
C. State statutes and regulations require all generators covered by
the State program to comply with reporting and recordkeeping re-
quirements substantially equivalent to those found at 40 CFR
262.40 and 40 CFR 262.41.
[Federal Authority: RCRA §3002 (42 USC 6922); 40 CFR 262.40, .41,
123.128(b)(3)]
2.3-4
-------
Citations of Laws and Regulations
Date of Enactment of Enabling Legislation
Remarks of the Attorney General
D. For hazardous wastes that are accumulated by such generators for
short periods of time prior to shipment, State statutes and regu-
lations require that such -generators accumulate such wastes in a
manner that does not present a hazard to human health or the
environment.
[Federal Authority: RCRA §3002 (42 USC 6922); 40 CFR 262.34, 123.128(b)(4)]
Citations of Laws and Regulations
Date of Enactment of Enabling Legislation
Remarks of the Attorney General
E. Respecting international shipments, State laws and regulations
provide requirements which are substantially equivalent to those
at 40 CFR 262.50, except that advance notification of internation-
al shipment, as required by 40 CFR 262.50(b) (1), shall be filed
with the Administrator.
[Federal Authority: RCRA §3002 (42 USC 6922); 40 CFR 262.50, 123.128(b)(5)]
Citations of Laws and Regulations
Date of Enabling Legislation
Remarks of the Attorney General
F. State statutes and regulations require that such generators of
hazardous waste who transport (or offer for transport) such haz-
ardous waste off-site use a manifest system that ensures that
inter- and intrastate shipments of hazardous waste are designated
for delivery and, in the the case of intrastate shipments, are
delivered only to facilities that are authorized to operate under
an approved State program or the Federal program.
[Federal Authority: RCRA §3002 (42 USC 6922); 40 CFR 262.20, 123.128(b)(6)]
Citations of Laws and Regulations
Date of Enactment of Enabling Legislation
Remarks of the Attorney General
2.3-5
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G. The State manifest system requires that:
1. The manifest itself identify the generator, transporter,
designated facility to which the hazardous waste will be
transported, and the hazardous waste being transported.
(Federal Authority: RCRA §3002 (42 USC 6922); 40 CTR 262.21
123.128(b)(7)(i)l
Citations of Laws and Regulations
Date of Enactment of Enabling Legislation
Remarks of the Attomev General
2. The manifest accompany all wastes offered for transport
except in the case of shipments by rail or water specified in
40 CTR 262.23(c) and 263.20(e).
[Federal Authority: RCRA §3002 (42 USC 6922); 40 CFR 262.23,
123.128(b)(7)(ii)]
Citations of Laws and Regulations
Date of Enactment of Enabling Legislation
Remarks of the Attorney General
3. Shipments of hazardous waste that are not delivered to a
designated facility are either identified and reported by the
generator to the State in which the shipment originated or
are independently identified by the State in which the ship-
ment originated.
[Federal Authority: RCRA §3002 (42 USC 6922); 40 CFR 262.42,
Citation of Laws and Regulations
Date of Enactment of Enabling Legislation
Remarks of the Attorney General
4. There is notification of undelivered interstate shipments to
the State in which the facility designated on the manifest is
located and to the State in which the shipment may have been
delivered (or EPA for unauthorized States).
2.3-6
-------
(Federal Authority: RCRA §3002 (42 USC 6922); 40 CIR 262.42, 123.128(b)(8)]
Citation of Laws and Regulations
Date of Enactaent of Enabling Legislation
Remarks of the Attorney General
III. STANDARDS FOR TRANSPORTERS OF HAZARDOUS WASTE*
A. State statutes and regulations provide coverage of all the trans-
porters of hazardous waste which is regulated under the State
program.
[Federal authority: RCRA §3003 (42 USC 6923); 40 CJR 263.10, 122.123(c)(2)]
Citation of Laws and Regulations
Date of Zaactaent of Enabling Legislation
Remarks of the Attorney General
3. State statutes and regulations require all transporters covered by
the State program to comply with recordkeeping requirements sub-
stantially equivalent to those found at 40 CTR 263.22.
[Federal Authority: RCRA §3002 (42 DSC 6923); 40 CFR 263.22, 123.12S(c)(3)]
Citation of Laws and Regulations
Data of Enactment of Enabling Legislation
Remarks of the Attorney General
C. State statutes and regulations require such transporters of haz-
ardous waste to use a manifest systeas that ensures that inter- and
intrastate shipments of hazardous waste are delivered only to
facilities that are authorized under an approved State program or
Federal program.
[Federal Authority: RCRA §3003 (42 USC 6923); 40 CFR 263.20, 123.123(c)(4)]
Citation of Laws and Regulations
Date of Enactment of Enabling Legislation
Remarks of the Attornev General
D. State statutes and regulations require that such transporter carry
the manifest with all shipments except in the casa of shipments by
rail or water specified in. 40 CFS 263.20(e).
2.3-7
-------
(Federal Authority: RCRA §3003 (42 USC 6923); 40 CFR 263.20 (e),
I23.128(c)(5)l
Citation of Lavs and Regulations
Dace of Enactment of Enabling Legislation
Remarks of the Attorney General
E. For hazardous wastes that are discharged in transit, State
statutes and regulations require such transporters to notify
appropriate State, local, and Federal agencies of the discharges
and to clean up such wastes or to take action so that such wastes
do not present a hazard to human health or the environment. Such
requirements are substantially equivalent to those found at 40 CFR
263.30 and .31.
[Federal Authority: RCRA §3003 (26 USC 6922); 40 CFR 263.3O, 123.128(c)(6)]
Citation of Laws and Regulations
Date of Enactment of Enabling Legislation
Remarks of the Attorney General
IV. STANDARDS FOR STORAGE, TREATMENT AND DISPOSAL FACILITIES
State statutes and regulations provide standards applicable to storage,
treatment and disposal facilities which are substantially equivalent to 40
CFR 265. State law prohibits the operation of facilities not in compliance
with such standards. These standards include:
A. Preparedness for and prevention of releases of hazardous waste
controlled by the State and contingency plans and emergency pro-
cedures to be followed in the event of a release of such hazardous
waste.
[Federal Authority: RCRA §3004 (42 USC 6924); 40 CFR 264 Subparts C and D,
123.128(e)(l)]
Citation of Laws and Regulations
Date of Enactment of Enabling Legislation
Remarks of the Attorney General
B. Closure and post-closure requirements.
[Federal Authority: RCRA §3004 (42 USC 6924); 40 CFR 265 Suhparts G and H,
123'.128(e)(2)}
2.3-8
-------
Citation of Laws and Regulations
Date of Enactment of Enabling Legislation,
Remarks of the Attorney General
C. Groundwater monitoring.
[Federal Authority: RCRA §3004 (42 USC 6924); 40 CFR 265 Subpart F,
123.128(e)(3)]
Citation of Laws and Regulations
Date of Snactaeat of Enabling Legislation
Remarks of the Attorney General
D. Security to prevent unknowing and unauthorized access to the
facility.
[Federal Authority: RCRA §3004 (42 USC 6924); 40 CFR 265.14, 123.128(e)(4)]
Citation of Laws and Regulations
Date of Enactaent of Enabling Legislation
Remarks of the Attorney General
E. Facility personnel training.
[Federal Authority: RCRA §3004 (42 USC 6924); 40 CFR 265.16, 123.128(e)(5)]
Citation of Laws and Regulations
Date of Enactment of Enabling Legislation
Remarks of the Attorney General
F. Inspection, monitoring, recordkeeping, and reporting.
[Federal Authority: RCRA §3004 (42 USC 6924); 40 CFR 265.15, 123.128(e)(6)]
Citation of Laws and Regulations
Date of Enactment of Enabling Legislation
Remarks of the Attorney General
2.3-9
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* G. Compliance with the manifest system including the requirement that
the facility owner or operator or the State in which, the facility
is located must return a copy of the manifest to the generator or
to the State in which the generator is located indicating delivery
of the waste shipment.
[Federal Authority: RCSA §3004 (42 USC 6924); 40 CFH 265.71, 123.128(e)(7)]
Citation of Laws and Regulations
Date of Enactment of Enabling Legislation
Remarks of the Attorney General
H. Other facility standards to the extent that they are included in
40 CFS 264, 265, and 266.
[Federal Authority: RCRA §3004 (42 USC 6924); 40 CFR 123.128(e)(8)]
Citation of Laws and Regulations
Date of Enactment of Enabling Legislation
Remarks of the Attorney General
V. INSPECTIONS
State law provides authority for officers engaged in compliance evaluation
activities to enter any conveyance, vehicle, facility or premises subject to
regulation or in which records relevant to program operation are kept in
order to inspect, monitor, or otherwise investigate compliance with the
State program including compliance with permit terms and conditions and
other program requirements. (States whose law requires a search warrant
prior to entry conform with this requirement.)
[Federal Authority: RCRA §3007 (42 USC 6927), 40 CFR 123.128(g)J
Citation of Laws and Regulations
Date of Enactment of Enabling Legislation
Remarks of the Attorney General
VI. ENFORCEMENT REMEDIES
State statutes and regulations provide the following:
A. Authority to restrain immediately by order or by suit in State
court any person from engaging in any unauthorized activity which
is endangering or causing damage to public health or the environ-
ment.
2.3-10
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[Federal Authority: RCRA §3006 (42 USC 6926); 40 CFR 123.128(f)(1)(i)]
Citation of Laws and Regulations
Date of Enactment of Enabling Legislation
Remarks of the Attorney General
B. Authority to sue in courts of competent jurisdiction to enjoin any
threatened or continuing violation of any program requirement;
[Federal Authority: RCRA §3006 (42 USC 692_); 40 CTR 123.128(f)(1)(ii)]
Citation of Laws and Regulations
Data of Enactment of Enabling Legislation
Remarks of the Attorney General
C. Authority to assess or sue to recover in court civil penalties in
at least the amount of $1,000 per day for any program violation or
seek criminal remedies including fines in at least the amount of
$1,000 per day for any program violation.
[Federal Authority: RCBA §3006 (42 USC 692_); 40 CTR 123.128 (f )(D (iii) 1
Citation of Lavs and Regulations
Date of Enactment of Enabling Legislation
Remarks of the Attorney General
711. PUBLIC PARTICIPATION IN THE STATE ENFORCEMENT PROCESS
State laws and regulations provide for public participation in the State
enforcement process by providing either:
A. Authority which allows intervention as of right in any civil or
administrative action to obtain the remedies specified in VI above
by any citizen having an interest which is or may be adversely
affected; or
B. Assurances that the state agency or enforcement authority will:
(1) Investigate and provide written response to all citizen
compliants duly submitted.
(2) Not oppose intervention by any citizen where permissive
intervention may be authorized by statute, rule, or regula-
tion; and
2.3-11
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(3) Publish, and provide at least 30 days for public comment on
any proposed settlement of a State enforcement action.
[Federal Authority: RCRA §7004, 40 CFR 123.128(f)(2)]
Citation of Laws and Regulations
Date of Enactment of Enabling Legislation
Remarks of the Attorney General
VIII. AUTHORITY TO SHAKE INFORMATION WITH EPA
State statutes and regulations provide authority for any information ob-
tained or used in the administration, of the State program to be available to
EPA upon request without restriction.
[Federal Authority: RCRA §3007(b) (42 USC 6927); 40 CFR 123.132(a)]
Citation of Laws and Regulations
Date of Enactment of Enabling Legislation
Remarks of the Attorney General
IX. AUTHORITY OVER INDIAN LANDS
Where a State seeks authority over Indian lands appropriate analysis of the
State's authority should be included here.
[Federal Authority: 40 CTR 123.125(c)]
Seal of Office Signature
Name (Type or Print)
Title
Date
2.3-12
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CHAPTER 2.4
MEMORANDUM OF AGREEMENT (MODEL)
Federal Reauirement
} 123.126 Memorandum o< Aaretmwit
(a) The State Director and the
Regional Administrator shall execute a
Memorandum of Agreement (MOA). In
addition to meeting the requirements of
paragraph (b) of this section, and. if
applicable, paragraph [c) of this 'section.
the Memorandum of Agreement may
include other terms, conditions, or
agreements relevant to the
administration and enforcement of the
State's regulatory program which are not
inconsistent with this subpart No
Memorandum of Agreement shall be
approved which contains provisions
which restrict EPA'i natatory oversight
responsibility. In the case of a Slat*
applying for interim authorization for
Phase n. the Memorandum of
Agreement shall be amended and re-
executed to include the requirement* of
paragraph (c) of this section aad any
revisions to the requirements of
paragraph (b) of this secaon.
(b) The Memorandum of Agreement
shall include the following:
(1) Provisions for tha prompt transfer
from EPA to the Slate of information
obtained in notifications made pursuant
to section 3010 of RCRA and received by
EPA prior to the approval of the State
program. EPA identification numbers for
new generators, transporters, and
treatment, storage, and disposal
facilities, aad any other information •
relevant to effective program operation
not already in'the possession of the
State Director (e.g^ pending permit
applications, compliance reports, etc.).
(2) Provisions specifying the frequency
and content of reports, documents, and
other information which the State is
required to submit to EPA. Tha State
shall allow EPA to routinely review
State records, reports, and files relevant
to the administration and enforcement
of the approved program. State reports
may be combined with grant reports
when appropriate.
(3) Provisions on the State's
compliance monitoring and enforcement
program, including:
(i) Provisions for cacrdinaticn of
compliance monitoring activities by the
State and EPA. These may specify the
basis on which the Regional •
Administrator wiH select facilities or
activities within the State for EPA
Inspection, The Regional Administrator
will normally notify the State at least 7
days before any such inspection: and
(IT) Procedures to assure coordination
of enforcement activities.
[4] Provisions for modiJScaa'on of the
Memorandum of Agreement in
accordance with this Part
(5) A provision allowing EPA to
conduct compliance inspections of all
generators, transporters, and HV/M
facilities during interim authorization.
The Regional Administrator and the
State Director may agree to limitations
regarding TTnpifaiKf inspections of
generators, transporters, and non-major
HWM facilities.
[6] A provision that no limitations on
EPA compliance inspections of
generators, transporters, and non-major
HWM facilities unHir paragraph (b](5)
of this section shall restrict EPA's right
to inspect any HWM facility, generator.
or transporter which it has cause to
believe is not in compliance with RdA:
however, before conducting such an
inspection. EPA will normally allow the
State a reasonable opportunity to
conduct a compliance evaluation
inspection.
(7) A provision delineating respective
State and EPA responsibilities during
the interim auihcrizatisn period.
(c) In ±e case of a State applying for
interim author-sation far Phase LL tie
Memorandum of Agrssment shall also
include the following:
(1) Provisions for prompt transfer ires
EPA to the Stats of pectiins permit
applies r.cr-s and support iiiss for perm::
issuanca. Where existing permits ar°
transferred to the State for
administration, ihe Memorandum of
Agreement shall contain provisions
specifying a procedure for transferring
responsibility for these permits. If a
State larJc* Uia authority to directly
administer permits issued by the Federal
government a procedure may be
established to transfer responsibility for
these permits.
(2) Provisions specifying classes and
categories of permit applications asd
draft permits that the State Director will
send to the Regional Administrator for
review and comment The State Director
shall promptly forward to EPA copies of
permit applications and draft permits for
all major HWM facilities. Tbe Regional
Administrator and the State Director
may agree to limitations regarding
review of and comment on permit
applications and draft permits for con-
major HWM facilities. The State
Director shall supply EPA espies of final
permits for ail major HWM facilities.
(3] Where appropriate, provisions for
joint processing of permits by the State
and EPA for facilities or activities which
require permits under different
programs, from both EPA and the State.
2.4-1
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Content
MEMORANDUM OF AGREEMENT
BETWEEN
THE STATE OF
ANO
THE UNITED STATES ENVIRONMENTAL PROTECTION AGENCY,
REGION
I. GENERAL
This Memorandum of Agreement (hereafter "Agreement") establishes poli-
cies, responsibilities, and procedures pursuant to 40 CFR 123.126 for the
State of Hazardous Waste Management Program (here-
after "State Program") authorized under Section 3006(C) of the Resource
Conservation and Recovery Act (hereafter "RC3A" or "the Act") of 1976 (Pub.
L. 94-580, 42 USC 6901, et seo.) and the United States Environmental Pro-
tection Agency (hereafter EPA) Regional Office for Region . This
Agreement further sets forth the manner in which the State will coordinate
with EPA in administering the State Program.
This Agreement is entered into by the Director [or other title as
appropriate] of [State Agency] (hereafter "Director" or "the
State"), the lead agency for the State Program (as designated by the State
pursuant to 40 CFR 123.124(b) [add other State Agency heads here if appro-
priate], and the Regional Administrator, EPA, Region (hereafter
"Regional Administrator" or "EPA").
Nothing in this Agreement shall be construed to restrict in any way
EPA's authority to fulfill its oversight and enforcement responsibilities
under RCRA.
The parties will review this Agreement jointly at least once a year
(and at other times as appropriate) during preparation of the annual State
Grant Work Program (hereafter "State Work Program"), in connection with
grant funding under section 3011 of RCRA.
In computing any period of time prescribed by the Agreement, the day on
which the designated period of time begins shall not be included. However,
the last day of the period shall be included unless it is a Saturday,
Sunday, or legal holiday. In that case, the period will extend until the
end of the next non-holiday weekday. When the period of time is less than
seven (7) days, intermediate Saturdays, Sundays, or legal holidays shall be
excluded in the computation.
Brackets [] indicate details or directives for the State in completing the
MO A.
2.4-2
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This Agreement will be amended and re-executed by the parties for
Interim Authorization Phase II. Final Authorization will require the execu-
tion of a new Memorandum of Agreement.
This agreement may be modified upon the initiative of either party in
order to ensure consistency with State program modifications or for any
other purpose mutually agreed upon. Any revisions or modifications must be
in writing and must be signed by the Director and the Regional Administra-
tor.
This Agreement will remain in effect until such time as State program
authorization is withdrawn by EPA, according to the provisions of 40 CFR
123.136, or reverts to EPA according to the provisions of 40 CFR 123.137, or
automatically expires (24 months after the effective date of Phase II of the
Federal regulations).
Unless otherwise stipulated, this Agreement, and any subsequent modifi-
cations made, will take effect immediately upon being signed by the Director
and the Regional Administrator.
II. RESPONSIBILITIES OF PARTIES
A. Policy Statement
Each of the parties to this Agreement is responsible for
ensuring that its obligations under RCRA are met. The Director
and the Regional Administrator agree to maintain a high level of
cooperation and coordination between State and EPA staffs in a
partnership to assure successful and effective administration of
the State Program.
The State has primary responsibility for all aspects of the
program and for coordination of the program with other authorized
State programs and with the Federal program in States without
authorization.
EPA will keep the Director informed of the content and mean-
ing of Federal statutes, regulations, guidelines, standards,
policy decisions, directives, and any other factors that affect
the State Program. EPA also will provide general technical guid-
ance to the State.
8. Information Sharing
1. EPA
EPA agrees to provide copies of EPA Form 8700-12, including
EPA identification numbers, received by EPA prior to the date of
this Agreement from generators and transporters of hazardous waste
and from owners and operators of hazardous waste treatment, stor-
2.4-3
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age, and disposal facilities located in the State. Such copies
will be provided to the Director or his designee within thirty
(30) days of this Agreement.
EPA will also provide, within thirty (30) days of receipt,
copies of EPA Form 8700-12, including EPA identification numbers,
submitted by persons located in the State who file such forms
after the date of this Agreement.
EPA will transfer to the Director or his designee copies of
all pending hazardous waste management facility permit aoplica-
tions together with copies of any pertinent file information.
EPA will maks available to the Director other information as
requested which the State needs to implement its approved program.
The above will be provided subject to the terms of 40 CFR 2
which implements the Trade Secrets Act, IS USC 1905.
2. State
a. The State agrees to submit to the Regional Administrator
the following documents, reports, and other information:
Quarterly statistical noncompliance reports for
generators transporters, and facilities (Report
Format #1 in Chapter 2.9);
Annual program reports containing information on
the number of generators and facilities in the
State and the quantities of wastes handled (Report
Format #2 in Chapter 2.9);
Semi-annual progress reports;
(For details and suggested formats see Chapter 2.9
this Manual.)
[Specific dates for submittal of reports should be
delineated here.]
b. The State agrees to require new generators, transporters
and hazardous waste management facilities .to obtain EPA identifi-
cation numbers from the State. [Details for accomplishing this
should be noted here.]
c. Any other information requested by the Regional
Administrator.
3. Emergency Situations
Upon receipt of any information that the handling, storage,
treatment, transportation, or disposal of hazardous waste is
endangering human health or the environment, the party in receipt
2.4-4
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of such information shall immediately notify by telephone the
other party(ies) to this Agreement of the existence of such situ-
ation. [Include details here for information sharing, names of
individuals, telephone numbers, etc.]
State Program Review
The Regional Administrator will assess the Director's admini-
stration and enforcement of the State program on a continuing
basis for consistency with RCRA, with this Agreement, and with all
applicable Federal requirements and policies. This program evalu-
ation will generally be accomplished by an EPA review of the
information submitted by the Director in accordance with this
Agreement and the State Work Plan. The Regional Administrator may
also consider, as part of this regular assessment, written com-
ments about the State's program administration and enforcement
that are received from regulated persons, the public, and Federal,
State, and local agencies. Copies of any such comments received
by the Regional Administrator will be provicea to the Director.
To ensure effective program review, the Director agrees to
allow EPA access to all files and other information requested by
the Regional Administrator and deemed necessary for evaluating
State program administration and enforcement.
Review of [State Agency] files may be scheduled at quarterly
intervals. Program review meetings between the Director and the
Regional Administrator or their assignees will be scheduled at
reasonable intervals not less than annually to review specific
operating procedures and schedules, to resolve problems, and to
discuss mutual program concerns. These meetings must be scheduled
at least fifteen (15) days in advance unless agreed to different-
ly. A tentative agenda for the meeting must be prepared by £PA.
D. Enforcement
1. Identification of Major Hazardous Waste Management
Facilities and Generators
The Director agrees to develop with EPA a list of major
hazardous waste management facilities and selected generators and
transporters -located within the State. This list is a part of the
Agreement. EPA or the State may add facilities, generators or
transporters to the list and shall notify the other party in
writing. However, the deletion of any facility, generator or
transporter must be agreed to in writing by both parties. This
list will be reviewed and updated at least annually by both the
State and EPA as part of the State Work Program process. This
review and update does not require a formal amendment to this
agreement.
(Among the factors that may be considered in developing such
lists are: the size of the physical plant; the location; the
2.4-5
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amount of waste generated/handled; the hazard characteristics of
the waste(s) generated/handled; whether the generator/facility/
transporter is regulated under another program; and the number of
generators/facilities/transporters within the State.)
2. Compliance Monitoring
The State agrees to operate a timely and effective compliance
monitoring system to assess and monitor compliance with facility
standards and generator and transporter requirements.
The State will monitor, evaluate, and take appropriate action
for violations of all reporting requirements by hazardous waste
generators, transporters, and facilities under the State program.
This shall include a timely substantive review of such reports to
determine the compliance status of persons filing the reports.
Priorities for reviewing these reports will be specified in the
annual State Work Program. The State agrees to retain all records
for at least three years unless there is an enforcement action
pending. In that case all records will be retained until such
action is resolved.
The State agrees to carry out a program for monitoring the
compliance by generators, transporters, and facilities with ap-
plicable program requirements (See 40 CFR 123.128). Compliance
inspections will be done to ascertain whether a generator, trans-
porter or facility is meeting manifest requirements, generator and
transporter requirements, and facility standards for recordkeep-
ing, operation and maintenance, self-monitoring, reporting, and
other activities as defined in the annual State Work Program.
EPA may conduct compliance inspections of all hazardous waste
generators, transporters, and facilities. EPA will not ordinarily
conduct such inspections of non-major hazardous waste generators,
transporters, and facilities; however, nothing in this Agreement
shall be construed to restrict EPA's right to inspect any facili-
ty, generator, or transporter that it believes is not in compli-
ance with Program requirements.
Before conducting an inspection of a generator, transporter
or facility, the Regional Administrator will normally give the
Director seven (7) days notice of the intent to inspect in accord-
ance with 40 CFR 123.126. [The Regional Administrator and State
Director may agree on a longer period of time to allow the State
to conduct the inspection.] If the Director performs a State
compliance inspection and submits a report and data relevant
thereto within that time, no EPA inspection will be made, unless
the Regional Administrator deems the State report and data to be
inadequate. In case of an imminent hazard to human health and the
environment, the Regional Administrator may shorten or waive the
notice period.
The parties agree to make available to each other within 60
days of compliance inspections any reports and data resulting
therefrom.
2.4-6
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3. Enforcement Actions
The State agrees to take timely and appropriate enforcement
action against persons in violation of generator and transporter
standards (including manifest requirements), facility standards,
permit requirements, compliance schedules, and all other program
requirements. This includes violations detected by State or
Federal compliance inspections. In instances where EPA determines
that the State has not initiated timely and appropriate enforce-
ment action against a violator, EPA shall proceed with any or all
of the enforcement options available unaer RCRA or any other
applicable statute.
The State agrees to take the enforcement lead with approcri-
ate enforcement action against persons in violation of any State
program requirement, including but not limited to violations
detected by Stata or Federal inspections. The Stata will maintain
procedures for receiving and ensuring proper consiaeration of
information about violations submitted by the public.
Appropriate State enforcement response may include not more
than two warning letters for any violation followed by timely
initiation and prosecution of enforcement proceedings which may
be, as determined on a case-by-case basis, administrative or
judicial in nature, or other administrative remedies as prescribed
by State laws.
The Regional Administrator may take enforcement action
against any person determined to be in violation of RCRA in ac-
cordance with Section 3008(a)(2). EPA will take enforcement
action only upon determining that the State has not taken timely
and appropriate enforcement action. Prior to issuing a Notice of
Violation under Section 3008 EPA will give notice to the State.
E. Other State/EPA Procedures Unique to a Region/State
III. COOPERATIVE ARRANGEMENTS FOR A MANIFEST SYSTEM WHERE APPLICABLE
[STATE AGENCY] U.S. ENVIRONMENTAL PROTECTION
AGENCY, REGION
By:
Date:
2.4-7
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CHAPTER 2.5
AUTHORIZATION PLAN
Federal Requirement
§ 123.127 Authorization plan.
The State must submit an
"authorization plan" which shall
describe the additions and modifications
necessary for the State program to
qualify for final authorization as soon as
practicable, but no later than the end of
the interim authorization period. This
plan snail include the nature of and
schedules for any changes in State
legislation and regulations: resource
levels: actions the State must take to
Content
control the complete universe of
hazardous waste listed or designated
under section 3001 of RdA as soon as
possible; the manifest and permit
systems: and the surveillance and
enforcement program which will be
necessary in order for the State to
became eligible for final authorization.
(a) In the case of a State applying only
for interim authorization for Phase L the
authorization plan shall describe the
additions and modifications necessary
'for the State program to meet the
requirements for final authorization
contained in Phase L
(b) In the case of a State applying for
interim authorization for Phase IL the
authorization plan under paragraph {a]
of this section shall be amended to
describe the further additions and
modifications necessary for the State
program to meet all the requirements for
final authorization.
The Authorization Plan identifies the gaps that exist in a State's
program when the State receives Interim Authorization. These gaps, which
must be filled in order to receive Final Authorization, may be in the legis-
lation, regulations, resource allocations, or surveillance and enforcement
program. For each identified gap the plan specifies: (1) how it will be
filled, and (2) when it will be filled. Note that all gaps must be filled
no later than 24 months after the effective date of the Phase II regulations
under RCRA Section 3004. Additional gaps may be identified by the State at
Phase II (based on Phase II requirements) and the Authorization Plan then
must be amended accordingly.
The Plan serves two purposes:
A. It is a tool for the States to use in planning their efforts
toward qualifying for Final Authorization. It should help
the State to anticipate all the steps that must be taken and
particularly to anticipate problems that may be associated
with each step so that these problems can be avoided or
overcome.
B. It provides EPA with milestones against which to check the
State's progress toward Final Authorization and with the
information needed to permit continued Interim Authorization.
The Authorization Plan relates to other documents the State must submit
as follows:
A. The Program Description: By comparing the
Program Descrip-
requirements for
tion to EPA's regulations describing the
Final Authorization, one can identify the program element
gaps that must be addressed in the Authorization Plan.
2.5-1
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The Attorney General's Statement: After identifying all the
elements that are missing from the program, as described in A
above, an analysis should be undertaken to determine whether
the legislation and regulations cited in the Attorney
General's Statement as supporting the Phase I Interim program
will also support the expanded program necessary to receive
Final Authorization. This will identify the gaps in the
legislation and regulations that must be filled to provide
adequate legal authority for the program.
After the Authorization Plan is completed, the Attorney
General's Statement should certify that if the gaps are
filled as indicated in the Plan, the State will have adequate
authority to implement the Final program.
LEGAL AND IMPLEMENTING AUTHORITY
In order to receive final authorization, it is essential that
the State have comprehensive legislative and regulatory authority
over hazardous wastes which is equivalent to the authority in the
Federal program. The authorization plan should contain a detailed
time schedule and a narrative description for obtaining necessary
legislative, regulatory, or administrative changes.
A. List each specific legislative authority that is needed, and
indicate the process for obtaining that authority. This
schedule (with proposed dates) should include:
1. Drafting of the legislation;
2. Submission to the legislature;
3. Consideration in the legislature; and
4. Final passage into law.
The plan should discuss any other pertinent issues relating
to the legislation that may cause delays in its implementa-
tion, e.g., the State budgetary process, the need for a
separate appropriation bill, etc.
List the steps the State will take to ensure consideration of
similar legislation as soon as possible if the legislation
fails to be enacted.
B. List, in as much detail as possible, the regulations (to
implement both existing and new legislation) that must be
promulgated to allow the State to qualify for final authori-
zation. This schedule (with proposed dates) could include:
1. Informal discussion of the regulations with interested
groups;
2. Formal regulation approval procedures and milestones
including public hearings as required by:
2.5-2
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a. The State's administrative procedures law; and
b. The legislative and/or administrative oversight
committees; and
3. The anticipated effective date of the regulations.
III. RESOURCE ANALYSIS AND PROJECTIONS
Resource levels, in terms of staff and dollars, for implementing the
State program "in lieu of" the Federal program under final authorization are
key elements that must be described in the Authorization Plan. Even though
precise resource needs may not be determined until after guidance is issued
on the definitions of "equivalence" and "consistency" for final author-
ization, existing information should be sufficient to make an estimate of
the resources and budget needed in FY 83. The State in its Authorization
Plan must describe the processes by which it intends to increase its staf-
fing levels and budget from the present allocation to the projected needs
under final authorization.
IV. CHANGES IN EPA REGULATIONS AND GUIDANCE
During the initial stages of the program, it is inevitable that there
will be revisions or additions to EPA's regulations as well as development
of detailed guidance to clarify regulatory language in defining an accept-
able State program. With the issuance of the Federal Phase II regulations,
a second guidance manual will be forthcoming that will provide assistance in
understanding the specific regulations with which a State must comply to
qualify for final authorization. The introduction of Phase II regulations
will require an amendment to the Authorization Plan which should be sub-
mitted as part of the amended application for Phase II.
2.5-3
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CHAPTER 2.6
RESOURCE ADEQUACY
I. INTRODUCTION
This guidance provides State program planners with suggested estimates
of the resources needed to conduct a hazardous waste management program in a
State. Estimates are based on EPA's Operations/Resource Impact Analysis
(April, 1980) for RCRA Subtitle C. A State must demonstrate that it has
adequate resources to manage such a program under interim authorization and
must further develop the program so that it is comprehensive enough to be
granted final authorization. States will need to define the specific tasks
to be undertaken and estimate the resources needed (both projected costs and
manpower requirements).
This guidance is intended to provide States with information on: 1)
the estimated level of effort required to carry out program activities; 2)
the suggested level of each activity under interim authorization; and 3)
suggested personnel needs. The resource estimates in this chapter are as
accurate as possible given the data available to the agency. The numbers
should be considered only as order of magnitude estimates for programs of
varying size. States may have better data which will result in a different
estimate than is reflected in this chapter. It is the responsibility of a
State to demonstrate, based on the data which it has, that a different
estimate more closely approximates the State's actual resource needs.
States should remember that they need not have all personnel resources
within the hazardous waste branch itself. They may, for example, use con-
tractors to perform certain tasks or share personnel with other State agen-
cies, etc.
The resource estimates presented are for both Phase I and Phase II of
interim authorization. Although permitting activities are not to be under-
taken until Phase II of interim authorization, the importance of this task
requires the inclusion of resource estimates for permitting activities in
this manual. This will allow States to estimate resources in a broad enough
time fram'e to provide for additional funding (due to the extensive resource
needs for this activity) and staff recruiting for Phase II permit
activities.
Resource needs for certain program activities, such as legislation
development, are constant regardless of the size of the State program.
Resource needs for others, however, are clearly dependent on the size of the
State program. States are divided into five size categories based on the
EPA formula for distributing hazardous waste grants to the States. The El'A
formula provides a minimum allocation of one-half of one percent (0.5%) and
is a composite measure, a weighted average of the ratio of State-specific
data to national totals in the following four areas: State population
(weighted 40%), amount of hazardous waste generated in the State (weighted
40S), the number of hazardous waste generators in the State (weighted 15%),
and the State's land area (weighted 5%). Because the formula was developed
2.5-1
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in early 1978, much of the allocation data are estimates. Once nationally-
applicable "hard data" become available, the formula will be revised. Table
I indicates the size category of each State or jurisdiction.
To determine the proportion of resources required to conduct activities
dependent on State complexity, we compared the median grant ratios from each
category. As shown below, resources required vary considerably, with the
largest States requiring over twelve times the resources needed by the
smallest States to conduct the same activities. The range of program sizes
within a category is also significant. This is especially true in Category
A where the average deviation from the median value (of State complexity) is
much greater in percentage terms when compared to the median than in larger
categories. When using the median value for the category, then, the small-
est and largest States in the category may need significantly different
resource levels than estimated by the model to effectively implement the
program. Within category A, for example, the smallest States may need sig-
nificantly less than the estimated resource levels while the larger States
in the category may need more than the estimated resource levels in order to
effectively implement the program.
Size Category Grant Ratio Number of States Multiplier
A .00500 - .00501 16 .25
B .00554 - .00684 7 .3
C .00861 - .01560 14 .6
D .01704 - .03280 12 1.0
E .04096 - .09977 7 3.0
The Operations/Resource Impact Analysis, on which the resource esti-
mates in this chapter are based, attempts to estimate the dates on which
different. States will be authorized. In order to avoid the limitations of
such an assumption, the resource estimates presented here are annual esti-
mates for the interim program only. A State can compare its first or second
year program budgets with these estimates to determine whether they are
reasonably close to EPA's estimates. If a State does not anticipate begin-
ning these program activities until the middle of the fiscal year, for exam-
ple, the estimates should be adjusted accordingly.
2.6-2
-------
TABLE 1
State Program Size
State
Size Category
Alabama
Alaska
American Samoa
Arizona
Arkansas
California
Colorado
Connecticut
Delaware
District of Columbia
Florida
Georgia
Guam
Hawai i
Idaho
Illinois
Indiana
Iowa
Kansas
Kentucky
Louisiana
Maine
Maryland
Massachusetts
Michigan
Minnesota
Mississippi
Missouri
Montana
Nebraska
Nevada
New Hampshire
New Jersey
New Mexico
New York
Northern Marianas
North Carolina
North Dakota
Ohio
Oklahoma
Oregon
D
C
A
C
B
E
C
C
A
A
D
0
A
A
B
E
D
C
C
0
D
A
C
D
E
C
3
C
B
A
A
A
D
A
E
A
D
A
E
C
C
2.6-3
-------
TABLE 1 Continued
State Size Category
Pennsylvania E
Puerto Rico B
Rhode Island B
South Carolina C
South Dakota A
Tennessee D
Texas E
Utah B
Vermont A
Virginia C
Virgin Islands A
Washington C
West Virginia D
Wisconsin D
Wyomi ng A
2.5-4
-------
II. STATE PROGRAM ADMINISTRATION
State program administration includes five major activities. These
are: development of legislation and regulations; development of authoriza-
tion applications; development of an acceptable hazardous waste program;
negotiation of a hazardous waste grant; and program management.
A. Development of Legislation and Regulations. Several States have
drafted enabling legislation and regulations in anticipation of the Subtitle
C regulations, while other States have waited to see the final requirements
before beginning work. The Office of Solid Waste recently assessed the
status of State legislation and regulations. They concluded that every
State required some additional legislation and/or regulation to establish
the authority and capability for operating hazardous waste programs fully
equivalent to the Federal program.
Each State will conduct the same general activities and tasks to de-
velop and improve its legislation and regulations:
1. Develop State legislation
a. Review Federal legislation and regulations
b. Review model State legislation
c. Draft legislation
d. Work for passage of legislation
2. Develop State regulations
a. Review Federal legislation and regulations
b. Draft regulations
c. Work for promulgation of regulations
d. Assure public participation
Each State should plan to devote one (1) workyear of effort per year to the
development of legislation and regulations during the interim authorization
period, regardless of program size in order to qualify for final authoriza-
tion.
8. Development of Authorization Application. To receive interim
authorization or final authorization, each State must demonstrate that its
program meets the requirements of the Federal regulations. The State shows
that its program is adequate in its applications for authorization.
The activities and tasks related to developing authorization include
the following:
1. Apply for interim authorization
a. Review EPA conditions for interim authorization
b. Review legislation and regulations
c. Prepare authorization application
2.6-5
-------
2. Negotiate interim authorization
a. Meet with EPA to review application
b. Meet with regulated community
c. Revise application if necessary
d. Negotiate Memorandum of Agreement
3. Apply for final authorization
a. Review EPA conditions for final authorization
b. Review legislation, regulations
c. Prepare authorization application
4. Negotiate final authorization
a. Meet with EPA to review interim performance and application
b. Negotiate Memorandum of Agreement
A State that is applying for Phase I and Phase II interim authorization will
prepare authorization applications for each Phase. Approximately one-half
(0.5) work-year will be required for development of each application.
C. Hazardous Waste Program Development. Each State must convert
enabling legislation and"regulations into an effective hazardous waste
program. The activities involved typically are "front end" efforts relating
to strategy formulation and capacity expansion. After the initial program
development period from FY 79 to FY 83, any continuing activities in this
area would become part of general program administration.
The State activities and tasks related to program development include
the following:
1. Hire and train staff
2. Develop State-specific program strategies
a. Review data collected on State needs for hazardous waste
program
b. Consider alternative strategies to meet State needs and
Federal guidance
c. Develop preferred strategy
d. Consult with Regional Office
3. Prepare program procedures
a. Review Federal guidance
b. Draft operating procedures and review with Regional Office
personnel
c. Prepare State hazardous waste management plan
d. Establish hazardous waste program including manifest and
permit procedures
2.5-6
-------
4. Develop public participation procedures
a. Plan procedures to inform public of hazardous waste
b. Determine need for and location of hearings
c. Schedule and plan agenda for hearings
d. Plan procedures for using public comments
5. Develop ADP or other information system
a. Work with Regional Office to adapt ADP system to State needs
b. Implement system
It is assumed that these activities are dependent on program size and will
be completed by the end of FY 83. The following resource needs are esti-
mated:
Size Category Resources
A 1 wy
B 1.2 wy
C 2.4 wy
D 4.0 wy
£ 12.0 wy
D. Grant Negotiation. Financial assistance is available to all
States. Each State will be eligible for a hazardous waste grant each year.
Priorities for the use of State grants are established in EPA's annual
guidance for the development of State work programs.
The State activities and tasks related to grant negotiation and award
include the following:
1. Apply for grant
a. Review EPA conditions for hazardous waste grants
b. Prepare initial application
2. Negotiate/award grant
a. Meet with EPA at State offices to discuss program and grant
b. Coordinate with other SEA programs
c. Make final application
3. Administer grant
a. Process grant funds
b. Prepare progress reports
c. Participate in review meetings
2.6-7
-------
Pricing for this key activity is based on OSW's estimates of time required
to negotiate hazardous waste grants in FY 79 and 80. According to those
estimates, each State will require 0.5 workyears to apply for and negotiate
grants and receive awards.
E. Program Management. Program administration includes day-to-day
management of the hazardous waste management activities and special problem-
solving.
1. Manage program (generally)
a. Conduct and attend meetings
b. Receive visitors
c. Respond to inquiries
d. Maintain correspondence
e. Hire and develop staff
2. Manage contracts
a. Issue requests for proposals
b. Review proposals
c. Review technical aspects of contracts
d. Manage financial aspects of contracts
3. Manage budget system
a. Develop budget and justification consistent with State bud-
geting procedures
b. Manage budget
4. Evaluate personnel and program performance
a. Identify performance objectives
b. Review performance with State personnel
c. Review State progress with Regional Office
d. Recommend awards and sanctions
5. Conduct public awareness activities
a. Identify appropriate media
b. Issue press releases, hold meetings, etc.
6. Maintain ADP system
a. Modify design and program as needs change
b. Input data and run reports
7. Provide support services
a. Provide maintenance, housekeeping, communications services
b. Provide laboratory services
Pricing for this key activity is based on the categorizations by State size.
The annual resource needs estimates for program management are:
2.6-3
-------
Size Category
A
B
C
D
£
Resources
1.25 wy
1.5 wy
3.0 wy
5.0 wy
15.0 wy
The activities that make up program administration are summarized by
program size in Table 2 below.
TABLE 2
Total Annual Resource Needs for Program Administration
(Work-years)
Size Category
Activity
Legislation/ Authorization Program
Regulations Application Development Grants
Program
Management Total
A
8
C
D
£
1
1
1
1
1
0.5
0.5
0.5
0.5
0.5
1
1.2
2.4
4
12
0.5
0.5
0.5
0.5
0.5
1.25
1.5
3.0
5.0
15.0
4.25
4.7
7.4
11.0
29.0
2.6-9
-------
III. MANIFEST SYSTEM
The manifest system is the process for tracking hazardous wastes from gener-
ation to the point of ultimate disposition, e.g., disposal. The system is a
required part of all authorized programs, although it is an optional part of
a State program under interim authorization. Activities included here
relate only to operation of the manifest system. Development of strategy
and procedures is included in "program development;" enforcement is under
its own activity.
The State activities and tasks related to the manifest system include:
1. Provide technical assistance to generators, transporters, and
owners/operators of treatment, storage, or disposal facili-
ties (TSDFs).
2. Review reports
a. Receive exception reports
b. Receive annual reports
c. Process for ADP system
d. Review ADP reports and forward summary reports to
Regional Office
e. Evaluate data
f. Respond to discrepancies (shared with enforcement)
The following is a list of the assumptions and estimates relating to the
manifest system:
Each State will begin implementing a manifest system in
November 1980. Those States which do not intend to operate a
manifest system during interim authorization should disregard
the resource needs for this activity.
Exception reports are processed by hand or computer. The
data compiled are used in setting enforcement priorities.
The annual resource needs for the manifest system based on the State size
are estimated to be:
Size Category Resources
A 1 wy
B 1 wy
C 2 wy
D 3 wy
E 9 wy
2.6-10
-------
IV. PERMIT PROCESSING
After the Phase II Section 3004 regulation (facility permitting stan-
dards) becomes effective in May, 1981, all hazardous waste treatment, stor-
age, and disposal facilities must obtain permits to continue or begin opera-
tion. RCRA permits are a mechanism for controlling hazardous waste by
imposing performance standards on all such facilities. The Agency currently
estimates that some 30,000 sites will require permits. Better information
on numbers, types, and location of these sites is expected after the notifi-
cation process is completed in summer, 1980.
Permits will be issued for three general types of facilities: off-site
treatment and disposal facilities; on-site treatment and disposal facili-
ties; and storage facilities. Evaluating the performance of off-site treat-
ment and disposal facilities is the highest priority because of the need to
assure adequate capacity for proper waste management and because these
facilities are the most likely to cause severe environmental problems.
Second priority is on-site treatment and disposal facilities, again because
of the possibility of environmental problems. Within each general facility
type, new facilities are a higher priority than existing facilities. Per-
mitting activites are assumed to be distributed evenly over the first six
years of a State program.
The State activities and tasks related to processing permits include
the following:
1. Provide assistance to applicants
2. Receive and review application
3. Conduct site evaluation
4. Analyze air, water, or soil samples as necessary
5. Issue draft permit and fact sheet or statement of the basis
for permit determination
6. Open comment period and hold public hearings
7. Process final permit
8. Conduct further proceedings if necessary
The following is a list of the assumptions relating to State processing
of permits:
Each off-site treatment and disposal facility permit requires
177 workdays of effort by State personnel.
Each on-site treatment and disposal facility permit requires
119 workdays of effort by State personnel.
2.6-11
-------
Each storage facility permit requires 47 workdays of effort
by State personnel.
Annual resource needs estimates for these activities are based on State
program size as follows:
Size Category
A
B
C
0
E
Resources
12.5 wy
15 wy
30 wy
50 wy
•150 wy
V. ENFORCEMENT
Each State must ensure compliance with manifest, permit and reporting
requirements. Enforcement against reporting and manifest violations will
begin in November, 1980; before June, 1981, States will not enforce against
permit violations as part of the approved program, unless the States' permit
standards are the standards corresponding to EPA's interim status standards
for facilities. As permits are issued (beginning in June, 1981), States
will begin enforcing against permit violations. The outline below reflects
the Federal enforcement activities and tasks which have been used to esti-
mate resource needs. States need not have identical procedures.
The State activities and tasks related to enforcement include the
following:
1. Manifest enforcement (as applicable)
a. Review exception reports
b. Issue letters of warning
c. Issue notices of violation
d. Issue compliance orders
e. Follow-up compliance inspections
2. Generator enforcement (affirmative inspections)
compliance inspections of high priority genera-
of other generators with
a. Perform
tors
b. Conduct compliance inspections
significant discrepancies
c. Issue letters of warni ig
d. Issue notices of violation
e. Issue compliance orders
f. Follow-up affirmative inspections
TSD facility enforcement
tions)
(interim status and permit viola-
2.6-12
-------
a. Conduct compliance evaluation inspections of facilities
b. Issue letters of warning
c. Issue notices of violation
d. Issue compliance orders
f. Follow-up inspection
e. Prepare case, if necessary
4. Generator, transporter and facility reports
a. Ravi ew reports
b. Follow up to assure completeness and accuracy
c. Identify non-notifiers
d. Issue letters of warning
e. Issue notices of violation
f. Issue compliance orders
g. Follow-up compliance evaluation inspections
The annual resource needs for enforcement activities vary according to
program size as indicated below.
Size Category Resources
A 2 wy
B 3 wy
C 6 wy
D 10 wy
E 24 wy
The activities that make up implementation are summarized by program
size in Table 3.
Table 4 presents the estimated totals of the individual program area
annual resource needs for each State. Numbers have been rounded to the
nearest workyear. It should be reiterated that these are projected esti-
mates and should be used as guidance in the development of projected State
resource requirements.
2.6-13
-------
TABLE 3
total Annual Resource Needs for Implementation of State Hazardous Waste Programs
Resources Required
(Work-years)
Program
Size
Category
A
B
C
0
E
Program
Administration
4.25
4.7
7.4
11.0
29.0
Manifest
System
Activities
1.0
1.0
2.0
3.0
9.0
Permit
Activities*
12.5
15.0
30.0
50.0
150.0
Enforcement
Activities
2.0
3.0
6.0
10.0
24.0
Phase I
Total
7.25
8.7
15.4
24.0
62.0
Phase
Tota'
19.7!
23.7
45.4
74.0
212.0
"Phase II only
2.6-14
-------
TABLE 4
Total Estimated Annual Resource Needs by State
(Work-years)
State
Phase I
Resources
Phase II
Resources
Alabama
Alaska
American Samoa
Arizona
Arkansas
California
Colorado
Connecticut
Delaware
District of Columbia
Florida
Georgia
Guam
Hawaii
Idaho
Illinois
Indiana
Iowa
Kansas
Kentucky
Louisiana
Maine
Maryland
Massachusetts
Michigan
Minnesota
Mississippi
Missouri
Montana
Nebraska
Nevada
New Hampshire
New Jersey
New Mexico
New York
Northern Marianas
North Carolina
North Dakota
Ohio
Oklahoma
Oregon
Pennsylvania
24
15
7
15
9
62
15
15
7
7
24
24
7
7
9
62
24
15
15
24
24
7
15
24
62
15
9
15
9
7
7
7
24
7
62
7
24
7
62
15
15
62
74
45
20
45
24
212
45
45
20
20
74
74
20
20
24
212
74
45
45
74
74
20
45
74
212
45
24
45
2^
20
20
20
74
20
212
20
74
20
212
45
45
212
2.6-15
-------
TABLE 4 Continued
Phase I Phase II
State Resources Resources
Puerto Rico 9 24
Rhode Island 9 24
South Carolina 15 45
South Dakota 7 20
Tennessee 24 74
Texas 62 212
Utah 9 24
Vermont 7 20
Virginia 15 45
Virgin Islands 7 20
Washington 15 45
West Virginia 24 74
Wisconsin 24 74
Wyomi ng 7 20
2.6-16
-------
CHAPTER 2.7
Checklist for Completeness of Submission
DOCUMENT
I.
11.
Governor's Letter
Requesting Authorization
(A) Signature
Complete Program Description
(A) Narrative, Scope,
Structure, and Processes
(Including Identity of
Lead Agency)
(fl) Description
(C) State Agency Structure
(0) Description of Staff
(E) Budget
(F) Sources of Funds and
Restrictions
(G) Description of Permit-
ting and Appellate
Review Procedures
(II) Description of
Compliance and
Enforcement Program
(I) Description of Manifest
Tracking System
CHAPTER
2.2
2.2
2.2
2.2
2.2, 2.6
2.2, 2.6.
2.2, 2.6.
2.2
2.2, 2.6.,
2.2
INTERIM
Phase I Phase II
* 0
* 0
* 0
* 0
* 0
* 0
* 0
* 0
* 0
* 0
40 CFR
Cite
123.123 (a)(l)
123.124
123.124(a)
123.124(b)
123.124(b)
123.124(b)(l)
123.124(b)(2)
123.124(b)(3)
123.124(c)
123.121(e)
123.124(f)
-------
DOCUMLNI
CHAM El!
INILIIIH
Phase I Phase II
10 Cl R
Cite
I
ro
(J) Estimated Number of
Generators, Transporters
Oil-Site and Off-Site
Treatment Storage and
Disposal Facilities and
Their Permit Status
(K) quantities of
Hazardous Waste
Generated In State
Transported In and Out
of State, and Treated
or Disposed of Within
the State On-and Off-Site
(if available)
(L) Forms (Note of Intent to
Use Uniform National
forms) or States:
1. °Permit Application
Form(s)
2. "Final Permit Form(s)
3. Manifest Form
4. Report Form(s)
III. Attorney General's Statement
(A) Signature
IV. Memorandum of Agreement (MOA)
(A) Frequency and Content
of Reports
(U) Conditions for Record
Reviews
(C) Provisions for Compliance
Muni tor ing
(0) Provisions for Joint
Permit Review
2.2
2.2
A
A
2.3
2.4. 2.9
A
A
0
0
0
0
0
0
0
0
0
123.12/l(g)
123.124(d)
123.125
123.126
123.126(b)(2)
123.126(b)(2)
123.126(b)(3)(1)
123.126(c)(3)
"Either Permit Application Forms or Final Permit Forms will be reviewed, as appropriate, for enforcement of
State's Preliminary Facility Standards aim logons to Interim Status Standards.
-------
UOCUMFiNI
CHARIER
III.
IV.
(J) Estimated Number of
Generators, Transporters
On-Site and Off-Site
Treatment Storage and
Disposal Facilities and
Their Permit Status
(K) Quantities of
Hazardous Waste
Generated In State
Transported In and Out
of State, and Treated
or Disposed of Within
the State On-and Off-Site
(if available)
(L) Forms (Note of Intent to
Use Uniform National
forms) or States:
1.
2.
3.
"Permit Application
Form(s)
"Final Permit Form(s)
Hani fest Form
Report Form(s)
Attorney General's Statement
(A) Signature
Memorandum of Agreement (MOA)
(A) Frequency and Content
of Reports
(B) Conditions for Record
Reviews
(C) Provisions for Compliance
Moni tor ing
(I)) Provisions for
Permit Review
Joint
2.2
2.2
2.3
2.4
2.4, 2.9
INTERIM
Phase I Phase II
*
A
0
0
0
0
0
0
0
0
40 CHI
Cite
123.124(g)
123.124(d)
123.125
123.126
123.126(b)(2)
123.126(b)(2)
123.126(b)(3)(i)
123.126(c)(3)
"Either Permit Application Forms or Final Permit Forms will be reviewed, as appropriate, for enforcement of
State's Preliminary Facility Standards analogous to Interim Status Standards.
-------
DOCUMENT CHAPTER INTERIM 40 CFR
Phase I Phase II Cite
KEY: * Required Document
0 Document Amendment
GUIDANCES
Program Description 2.2
Attorney General Statement Model 2.3
Memorandum of Agreement (sample) 2.4
Authorization Plan 2.5
Resource Adequacy 2.6
State Legislation Checklist 2.8
State Reporting 2.9
ro
i
-------
CHAPTER 2.8
STATE LEGISLATION CHECKLIST
Introduction
The checklist wrich follows is provided to aid attorneys and others re-
viewing state legislation in documenting their preliminary assessment of the
legislation. States are advised to look broadly to their legislative
authorities in assessing their programs.
The elements included in the checklist are not necessarily required
elements for Phase I Interim Authorization. This checklist is intended for
use as a working paper and need not be submitted as part of the application
for Interim Authorization. Rather, this checklist should be of use in
identifying appropriate citations and comments to aid in developing the
Attorney General's statement which is an essential element of the applica-
tion.
2.8-0 Modification No. 1
-------
CHAPTER 2.8
STATE LEGISLATION CHECKLIST
State
Enacted/Draft Legislation
Reviewed by
STATUTORY ELEMENT
DEFINITIONS
Disposal
Generation
Generator
Hazardous Waste
Manifest
Person
Storage
Transport
Treatment
Treatment, Storage, or
Disoosal Facilitv
Waste (Solid)
HAZARDOUS WASTE
IDENTIFICATION AND
LISTING
Date
Date
COVERAGE
RCRA CITE Y/N? STATE CITE COMMENT
1004(3)
1004(5)
1004(12)
1004(15)
1004(33)
1004(34)
1004(29)
1004(27)
1. Criteria for
identifying HW
characteristics
and listina
2. HW characteristics
3. HW list
SOOICa)
3001 (b)
3001(b)
2.S-1
-------
STATUTORY ELEMENT
COVERAGE
RCRA CITE Y/N? STATE CITE COMMENT
STANDARDS FOR GENERATORS
Authority to promulgate
regulations on:
1. Recordkeeping
practices
3002(1)
2. Labeling practices 3002(2)
3. Use of appropriate
containers 3002(3)
4.
Furnishing
information
3002(4)
5. Use of manifest
consistent with DOT 3002(5)
6. Designation of per-
mitted facilities 3002(5)
7. Submission of
reports
3002(6)
STANDARDS FOR
TRANSPORTERS
Authority to promulgate
regulations on:
1. Recordkeeping
3003(a)(l)
2. Labeling
3003(a)(2)
3. Compliance with
manifest system
3003(a)(3)
4. Transportation to
permitted facility 3003(a)(4)
5. Consistency with
DOT regulations 3003(b)
2.8-2
-------
STATUTORY ELEMENT
RCRA CITE
COVERAGE
Y/N? STATE CITE
COMMENT
STANDARDS FOR HW
STORAGE. TREATMENT.AND
DISPOSAL FACILITIES
Authority to promulgate
regulations on:
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
11.
12.
13.
Record keeoing
Reporting
Monitoring
Inspecting
Compliance with
manifest system
Ooerating methods
Location, design,
construction
Contingency plans
Training
Ownership
Post-closure
monitoring & care/
financing
Continuity of
operation
Financial
responsibility
3004(1)
3004(2)
3004(2)
3004(2)
3004(2)
3004(3)
3004(4)
3004(5)
3004(6)
3004(6)
3004(2)
3004(6)
3004(6)
3004(6)
PERMITS FOR HW
STORAGE. TREATMENT
AND DISPOSAL FACILITIES
(PHASE II)
1. Reguire Permit for
TSD Facility
3005(a)
Z. Reguire permit
application infor-
mation
3Q05(b)
3. Provide for permit
modi fi cations 30Q5(c)
2.8-3
-------
STATUTORY ELEMENT
RCRA CITE
COVERAGE
Y/N? STATE CITE COMMENT
4. Provide for compli-
ance schedule
5. Revoke a permit
3005(c)
3005(d)
6. Universe of permittees —
7. Emergency Authorization —
INSPECTIONS
1. Right to enter, in-
inspect and obtain
samoles
2. Availability to
public
3. Confidentiality
ENFORCEMENT
1. Compliance order
2. Civil penalty
3. Criminal penal ty/im-
imprisonment
4. Citizen Intervention
PUBLIC PARTICIPATION
IMMINENT HAZARD
3007
(a)
(b)
(b)
3008
(a) (1)
(a) (3)
(d)
7002b
7004b
7004(b)
7003
SUBPOENA POWER
LOCAL VETO
INTEGRATION CLAUSE
INTERSTATE COOPERATION
SEPARABILITY CLAUSE
NOTIFICATION
INTERIM STATUS
1006(a)
& (b)
1005(a)
7005
3010
3005(e)
2.8-4
-------
CHAPTER 2.9
STATE REPORTING GUIDANCE
The MOA shall include the frequency and content of reports, documents
and other information which the State is required to submit to EPA. For
Phase I interim authorization the MOA should specify that the following
reports are to be submitted to the Regional Administrator:
1. Noncompliance Reports. Quarterly Statistical Noncompliance
Reports for TSD facilities, generators and transporters. These reports are
based upon compliance inspections and reports received (see Report Format
#1).
2. Annual Program Report. This contains information on the number of
generators and facilities in the State and estimates the quantities of
wastes handled (see Report Format #2).
The reporting period for the above reports is based on the calendar
year, and the reports are to be submitted as follows: first quarter report
(January - March) by May 31; second quarter (April - June) by August 31;
third quarter (July - September) by November 30; fourth quarter (October -
December) by February 28; and Annual Reports by April 1.
3. Semi-Annual Progress Report. There is a requirement, set forth in
40 CFR 123.131(a), that the State submit semi-annual progress reports sum-
marizing "the States's efforts in meeting the requirements of the author-
ization plan, the reasons and proposed remedies for any delay in meeting
milestones, and the anticipated problems and violations for the next report-
ing period." This report should be in narrative form, accompanied by any
charts or tables which the State or Regional Administrator believes would be
helpful in presenting the information required. This report is due "within
four weeks of the date six (6) months after Phase I of interim authorization
commences and at six-month intervals thereafter until the expiration of
interim authorization."
4. Changes in Installations with EPA Identification Numbers. The MOA
shall descrioe procecures for the State to obtain from EPA iaentification
numbers for generators, transporters, and treatment, storage, and disncsal
facilities. In order to obtain EPA identification Numbers, the State must
provide EPA with:
a) The name of the installation
b) The installation mailing address
c) The name of a contact person at the installation
d) The telephone number of the contact person at the
installation
2.9-1
-------
e) The type of Installation, i.e., generator, trans-
porter, and/or treatment, storage or disposal
facility
f) Whether the facility is authorized to operate
(i.e., permitted) under the authorized State pro-
gram.
The State must also inform EPA of any updates or changes in the above in-
formation within 30 days.
2.9-2
-------
REPORT FORMAT #1
Quarterly Statistical Noncompliance Reports
Number of major facilities required to meet State
standards substantially equivalent to 40 CFR 255
Number of major facilities receiving Compliance
Inspections during reporting period
Number of non-major facilities required to meet State
standards substantially equivalent to 40 CFR 265
Number of non-major facilities receiving Compliance
Inspections during reporting period
Number of generators required to meet State
standards substantially equivalent to
40 CFR 252
Number of generators receiving Compliance
Inspections during report-
ing period
Number of transporters required to meet State
standards substantially equivalent to
40 CFR 253
Number of transporters receiving Compliance
Inspections during reporting
period
Number of Manifest Exception Reports (see 40
CFR 252.42), Unmanifested Waste Reports
(see 40 CFR 255.76), and Manifest Discre-
pancy Reports (see 40 CFR 255.72) or the
State program equivalent of such reports
Number of follow-up actions (investigations)
taken based on such reports during
reporting period
2.9-3 Modification No. 1
-------
REPORT FORMAT #1 (Continued)
Total number of facilities, generators and
transporters found to be out of com-
pliance with standards during report-
ing period
Number of Actions commenced on violations dur-
ing reporting period:
a. Letters of Warning issued
b. Notices of Violation issued
c. Compliance Orders issued
d. Civil actions initiated
&. Criminal actions initiated
[Note: State should substitute its own types of
enforcement action where variations exist.]
Total number of unresolved violations carried
over from previous reporting period
Total number of violations resolved this report-
ing period
Total number of violations unresolved at end
of reporting period
2.9-4 Modification No. 1
-------
REPORT FORMAT HZ
Reporting Period:
Date of Report:
RCRA
STATE ANNUAL PROGRAM REPORT
ESTIMATED AMOONT OF
ESTIMATED AMOUNT OF HAZARDOUS ESTIMATED AMOUNT OF HAZARDOUS WASTE HAZARDOUS WASTE IN
WASTE GENERATED IN STATE TREATED OR DISPOSED IN STATE PER YEAR IN STORAGE AT END OF YEAR
(metric tons) (metric tons) (metric tons)
On-site Off-site Total
I
(J-l
Total number of generators in State
Total number of treatment, storage, and disposal
facilities in State
-------
3.0 SUBSTANTIAL EQUIVALENCE GUIDANCE
-------
CHAPTER 3.1
SUBSTANTIAL EQUIVALENCE - Section 3001 RCRA
Puroose
The purpose of this chapter is:
1) to assist States in defining the universe of hazardous waste
controlled by the State program and
2) to assist EPA in determining whether the State program is
substantially equivalent to the Federal program with respect
to the universe of wastes controlled.
Introduction
Paragraph 123.128(a) of 40 CFR Part 123 states that in order to be
considered substantially equivalent to the Federal program with respect to
the identification and listing of hazardous waste:
"The State program must control a universe of hazardous waste
generated, transported, treated, stored and disposed of in the
State which is nearly identical to that which would be controlled
by the Federal program under 40 CFR Part 261."
The best way for a State to demonstrate that its program is substanti-
ally equivalent to the Federal program in this area is by promulgating a
State regulation that is as extensive as 40 CFR 261 and similar in content
and structure. If such a State regulation listed all the same wastes and
used the same characteristics as 40 CFR 261, and did not exclude wastes that
are not excluded in the Federal regulation, the State program would clearly
be substantially equivalent to the Federal program. This is the simplest
and preferred method of demonstrating substantial equivalence (or equiva-
lence for final authorization).
However, recognizing that States have taken different approaches to-
wards identification of hazardous wastes, and that the promulgation of new
State regulations will take some time, this guidance document sets forth a
second method of demonstrating substantial equivalence. This second method
allows a State to demonstrate that it controls virtually all those hazardous
wastes that are generated, transported, treated, stored, or disposed of in
the State. This second method will involve using information from:
1) the State and Federal statutory and regulatory provisions;
2) the Notifications submitted pursuant to RCRA Section 3010 and
Part A permit applications submitted pursuant to 40 CFR 122;
3) State hazardous and industrial waste surveys; and
3.1-1
-------
4) the technical support documents for 40 CFR 261 which identify
the geographic distribution and capacity of major hazardous
waste sources.
It is recognized that this demonstration may be imprecise when data are
not available that accurately identify which specific wastes or generators
are covered by the EPA characteristics and lists or are excluded by the
small generator exemption levels. Therefore, the goal is for the State to
demonstrate that there are no major gaps in the State program coverage.
When authorized, the State program operates in lieu of the Federal program.
Therefore, if the State program fails to control a significant quantity of
hazardous waste (as defined by 40 CFR 261) that is known to be generated,
treated, stored or disposed of in the State, the State program will not be
considered substantially equivalent to the Federal program. On the other
hand, if it appears that the State program covers virtually all of the
hazardous wastes (as defined by 40 CFR 261) that are known to be generated,
treated, stored or disposed of in the State, the State program will be con-
sidered to be substantially equivalent to the Federal program if the State
meets the additional requirement discussed below.
During interim authorization EPA will allow State programs to vary from
the Federal program in their listing and characteristic methods; the State
program may, therefore, in fact cover a smaller universe even though that
might not be clear at the time of approval. This would occur, for example,
if a hazardous waste not covered by the State program is generated or trans-
ported in the State in the future. Therefore, if a State uses the second
method of demonstrating substantial equivalence the State must also commit
to promulgate, within a reasonable time frame, a regulation that is at least
as extensive as 40 CFR 251 in terms of scope and coverage. This commitment
must be reflected in the Authorization Plan and the Memorandum of Agreement.
In general EPA considers a reasonable time frame to promulgate such a reg-
ulation to be one year (or two years if significant legislative change is
necessary) but in any case before the State applies for final authorization.
As was indicated previously the preferred approach would be for such a
regulation to be structured along the same lines as 40 CFR 261 in terms of
listed wastes, characteristics and exclusions. All States are encouraged to
develop a regulation along these lines as this will simplify decisions on
final authorization where the State program must be found to be both equiva-
lent to and consistent with the Federal program. While other regulatory ap-
proaches may well be consistent with the Federal program, the burden will be
on the State program to demonstrate this fact. A State regulation may list
additional wastes, use additional or broader characteristics and have lower
exemption levels; however, these aspects would be beyond the scope of the
Federally authorized portion of the State program.
Procedure
The first step is to compare the State regulation to 40 CFR 261 by use
of Checklists #1, #2 and #3. Checklist #1 covers the Federal statutory and
regulatory definitions of solid and hazardous wastes, items included in and
excluded from the Federal definition, and exemption levels. Checklist #2
covers the Federal characteristics for comparison with State regulations.
Checklist #3 covers the Federal listed wastes. For each item on those
3.1-2
-------
checklists the State should cite the appropriate State regulatory provision
that addresses that particular aspect of the Federal regulation. The com-
ments column should be used to highlight and explain any differences between
the State and Federal regulations with particular emphasis on gaps in the
State coverage. The State program may, of course, be more stringent than
the Federal program and need not, for example, contain the same exclusions
as the Federal program.
Discussion
1. Listed Hazardous Waste
If a State does not have regulatory coverage over a listed waste in 40
CFR 261 the next step is to determine whether such a waste is generated in
the State. This can be done from a review of industrial and other sources
in the State and from State surveys. It may be necessary to use Section
3010 notification data if the State doesn't have other adequate means to
make the determination. If a 1isted waste is generated in a State and not
controlled by the State program, the State program cannot be considered
"substantially equivalent" to the Federal program (assuming the waste is
generated in quantities in excess of the small generator exemptions). If a
listed waste is not generated in the State the next step is to determine
whether it is treated, stored or disposed of in the State. This is a more
difficult determinaton which may involve review of disposal facility re-
cords, State survey reports and Section 3010 Notification and Part A permit
application data. If it is determined that such a waste is generated,
treated, stored or disposed of in the State and the waste is not controlled
by the State program, the State program cannot be considered substantially
equivalent. On the other hand, if there is no evidence that the listed
waste is generated, treated, stored or disposed of in a significant quantity
in the State, the State program can be considered substantially equivalent
to the Federal program if, in addition, the State commits to changing its
regulation to assure regulatory coverage over such a waste in a timely
manner.
2. Characteristics of Hazardous Wastes
The •procedure is similar to that for listed wastes. If the State does
not have regulatory control over wastes with the characteristics identified
in 40 CFR 261, a determination must be made whether wastes with sucn charac-
teristics are generated, treated, stored or disposed of in the State. This
will be a difficult determination since information on generators and facil-
ities handling wastes that are hazardous because they meet the characteris-
tics will not be available until the Section 3010 notifications are received
and compiled.
3. Exclusions
The procedure for dealing with wastes excluded in the State regulations
is similar to that discussed above with one additional consideration. If a
State regulation excludes a particular waste, e.g., sewage sludge, from its
hazardous waste definition, the State may be able to show that the sewage
sludges generated in the' State fall well below extract procedure toxicity
3.1-3
-------
levels. Sludge or influent/effluent tests obtained from wastewater treat-
ment plants would be useful in this regard. Therefore, an excluded waste
may not be a hazardous waste by virtue of 40 CFR 261. Similar consideration
needs to be given to the other exclusions.
4. Use of Notification and Part A Permit Application Data
The notification and Part A permit application information should be
very valuable in evaluating State regulatory coverage. This information
will define the generators, transporters, and facilities that would be
subject to the Federal program in the State (not including non-notifiers and
non-applicants). If a State can show regulatory coverage over the wastes
and persons specified on -the notifications and applications, this would
support a State's demonstration that it controls a substantially equivalent
universe of wastes.
Timing is of concern in the use of these data. It is expected that it
will take approximately six months from May 1980 to tabulate and have avail-
able for analysis complete computer printouts of all notification data. The
Part A permit application data compilations will be available several months
after that. Therefore, the complete notification and application infor-
mation will not be available for decisions on interim authorization of State
programs by November 1980. However, the Regional Offices may be able to
provide partial listings of this information which could be used for pre-
liminary assessments. While this data will be subject to additions and
further refinement, it could be a basis for a substantial equivalence
determination when combined with information from State surveys.
If a State's regulatory coverage is significantly less than the co-
verage in 40 CFR 261 and if the State does not have other information or
data on the wastes generated, treated, stored or disposed of in the State,
then the State must at least demonstrate that it covers virtually all the
wastes and persons who have notified. While this may delay some interim
authorization decisions for a few months beyond November 1980, it is the
minimum acceptable demonstration of substantial equivalence with respect to
the universe of wastes controlled.
5. Demonstration in Program Description
The State program has the responsibility to show that it controls a
universe of hazardous waste that is nearly identical to the universe that
would be controlled under the Federal program. This demonstration, along
with supporting analysis, should be incorporated in the Program Description
part of the State application and should include: 1) completion of the
checklists, 2) analysis of State surveys and other information, and, if
us»d, 3) analysis of the notification and Part A application data.
3.1-4
-------
CHECKLIST #1
REQUIREMENTS FOR INTERIM AUTHORIZATION
State Coverage
EPA Requirements Cite Comments
Definition of Solid Waste
40 CFR 261.2
a) A solid waste is any garbage, re-
fuse or sludge*
b) A solid waste is any other waste
material** which
1) is discarded or being handled
prior to being discarded;
2) has served original intent
and is sometimes discarded;
or
3) is a mining or manufacturing
by-product and is sometimes
discarded.***
*See 40 CFR 250.10(a)(53) for definitions of sludge
**See 40 CFR 261.2(b) for explanation of other waste material
***See 40 CFR 261.2(c) for definitions of discarded and mining
or manufacturing by product
3.1-5
-------
State Coverage
EPA Requirements Cite Comments
Definition of Hazardous Waste
40 CFR 261.3
a) A solid waste is a hazardous waste
if it:
1) is not excluded and
2) is listed or is a mixture
containing a listed waste; or
3) meets characteristics
b) A solid waste becomes a hazardous
waste when:
1) it first meets the listing
description;
2) when it first contains a
listed waste; or
3) when it first exhibits char-
acteristics
c) Unless paragraph (d) below ap-
plies:
1) a hazardous waste remains a
hazardous waste and
2) any solid waste generated
from treatment storage or
disposal of hazardous waste
is a hazardous waste.
d) A solid waste is not a hazardous
waste if:
1) it does not exhibit charac-
teristics; or
2) it has been delisted (for
listed wastes or mixtures).
3.1-6
-------
State Coverage
EPA Requirements Cite Comments
Exclusions
Section 261.4
1. Domestic sewage.
2. Industrial discharges regu-
lated as point sources.
3. Irrigation return flows.
4. Special nuclear source or
by-product materials under
Atomic Energy Act of 1954.
5. In-situ mining waste.
6. Overburden returned to mines.
7. Household waste including
residual waste and recovered
material from recycling
garbage or refuse.
8. Agricultural wastes (crops,
silviculture crops, and
manures) returned to soil.
9. Utility wastes (fly ash,
bottom ash, etc.)
10. Drilling muds and oils
3.1-7
-------
State Coverage
EPA Requirements Cite Comments
Special Requirements for Hazardous
Waste Generated by Small Quantity
Generators
Section 261.5
1. General exemption for gener-
ators of less than 1000 kilo-
grams of hazardous waste per
month.
2. Specific exemptions for gen-
erators of:
a. Less than one kilogram
per month of any commer-
cial product listed in
251.33(e);
b. Less than one kilogram
per month of any off-
specification commercial
chemical product listed
in 261.33(e);
c. Containers identified in
251.33(0 less than 20
liters in capacity;
d. Less than 10 kilograms
of inner liners from
containers listed in
261.33(c);
e. Less than 100 kilograms
of residue or contami-
nated soil, water or
other debris from clean-
up of a spill of any
commercial product or
manufacturing chemical
intermediate listed in
261.33(e);
3.1-8
-------
State Coverage
EPA Requirements Cite Comments
Specific exemptions for all
those wastes listed in 1 and
2 above even when mixed with
non-hazardous wastes result-
ing in a mixture exceeding
the quantity limitations
noted above.
Special Requirement for Hazardous
Waste Which is Used, Re-used, Recycled
or Reclaimed
Section 261.6
1. Specific exemption for haz-
ardous waste which is bene-
ficially used or reused or
legitimately recycled or
reclaimed.
2. Specific exemption for haz-
ardous waste accumulated,
stored or physically, chemi-
cally or biologically treated
prior to beneficial use or
re-use or legitimate recy-
cling or reclamation.
3. Hazardous wastes which are
sludges or are listed in or
contain wastes listed in
Subpart D and are transported
or stored prior to use, reuse
or recycling are subject to
requirements in 261.6(b).
3.1-9
-------
CHECKLIST 2
Hazardous Waste Characteristics
State
Characteristic State
EPA Characteristic Yes/No/Unknown Cite Comment
Corrosivity
1. Aqueous
pH-2, pH-12.5
pH meter, using "Methods
for Chemical Analysis of
Water and Wastewater"
(current edition)
2. Liquid: Corrosion
corrodes SAE 1020 Steel
>0.25 inch/year
@ 55°C (130°F)
NACE Standard TM-01.69
3.1-10
-------
CHECKLIST 2
Hazardous Waste Characteristics
EPA Characteristic
State
Characteristic
Yes/No/Unknown
State
Cite
Comment
Reactivity
1. - normally unstable
reacts with water
forms explosives with
water
toxic gases with water
cyanide or sulfide that
forms toxic gases between
pH 2 - 12.5
2. Detonation or explosive
reaction by initiation
3. Detonation or explosive
reaction at STP
4. Forbidden explosive
49 CFR 173.58
Class A explosive
49 CFR 173.53
Class B explosive
49 CFR 173.58
3.1-H
-------
CHECKLIST 2
Hazardous Waste Characteristics
State
Characteristic State
EPA Characteristic Yes/No/Unknown Cite Comment
Toxicity (E)
based on EPA Extraction
Procedures
o pH at 5.0 + 0.2.
o Sample Preparation
(grinding 9.5 mm Sieve)
or Structural Integrity
Procedure
o Agitation
o 20 Fold liquid to solid ratio
o 24 hour contact time
o Temperature 20-40°C
o EPA analytical methods for
metals and pesticides
based on IPDWS (100 fold
dilation)
o Arsenic (5.0) mg/1
o Barium (100.0) mg/1
o Cadmium (1.0) mg/1
o Chromium (5.0) mg/1
3.1-12
-------
CHECKLIST 2
Hazardous Waste Characteristics
EPA Characteristic
State
Characteristic
Yes/No/Unknown
State
Cite
Comment
o Lead (5.0) mg/1
o Mercury (0.2) mg/1
o Selinium (1.0) mg/1
o Silver (5.0) mg/1
o Endrin (0.02) mg/1
o Lindane (0.4) mg/1
o Methexychlor (10.0) mg/1
o Toxaphene (0.5) mg/1
o 2,4 D (10.0) mg/1
o 2,4,5 TP-Silvex (1.0) mg/1
3.1-13
-------
CHECKLIST 2
Hazardous Waste Characteristics
EPA Characteristics from
40 CFR Subpart C
State Characteristic
(if any)
Identify Alternative
State Regulatory control
over wastes with such
characteristics
(cite and attach
regulations)
Comment (Major
differences between
Federal and State
coverage
Ignitability
1. Liquid
- flashpoint 60°C
- Pensky-Martens closed
cup tester, ASTM Stan-
dard D-93-72
or
- Setaflash closed cup
tester, ASTM
2. Not a liquid
- can cause fire under
STP through friction,
absorption of moisture
or spontaneous chemi-
cal changes, and when
ignited burns so vigor-
ously and persistently
3. Compressed Gas
- ignitable by 49 CFR
173.300
4. Oxidizer
- defined by 40 CFR
173.151
-------
CHECKLIST 3
Hazardous Waste Listing
Non-Specific Sources (40 CFR 261.31)
Col inn n "1 Column 2 For each waste in Column 2 Comment
List wastes from List wastes from identify alternative (major differences
40 CFR 261.31 listed in 40 CFR 261.31 not listed State regulatory control between Federal
State regulation* in State regulation* (cite and attach regulations) and State coverage)
en
"Can use waste numbers or groups of numbers
-------
CHECKLIST 3
Hazardous Waste Listing
Specific Sources (40 CFR 261.32)
Column 1 Column 2 For each waste in Column 2 Comment
List wastes from List wastes from identify alternative (major differences
40 CFR 261.31 listed in 40 CFR 261.31 not listed State regulatory control between Federal
State regulation* in State regulation* (cite and attach regulations) and State coverage)
*Can use waste numbers or groups of numbers
-------
CHECKLIST 3
Hazardous Waste Listing
Discarded Chemical Products (40 CFR 261.33)
Column 1 Column 2 For each waste 1n Column 2 Comment
List wastes from List wastes from identify alternative (major differences
40 CFR 261.31 listed 1n 40 CFR 261.31 not listed State regulatory control between Federal
State regulation* in State regulation* (cite and attach regulations) and State coverage)
Can use waste nuniliors or groups of mmthers
-------
CHAPTER 3.2
SUBSTANTIAL EQUIVALENCE—Section 3002 RCRA
Introduction
Federal regulations at 40 CFR 123.128 contain the requirements which
State programs must meet in order to receive interim authorization (Phase
I). This chapter presents these State Program Requirements pertaining to
Section 3002 of RCRA and provides a checklist for review of State program
elements against the requirements. States are advised to look broadly to
their authorities in order to demonstrate that their overall programs meet
the requirements.
The regulation provides that where a State does not have legislative
authority or regluatory control over certain activities which do not occur
in the State, the State can receive interim authorization. This provision
is conditional in that the State's authorization plan must provide for the
development of a complete program as soon as practicable after the granting
of interim authorization.
The checklist in this chapter focuses on Section 123.128(b), "Require-
ments for generators of hazardous waste", of the regulations. The regula-
tions allow flexibility in the manner or approach States employ in meeting
the requirements. While some provisions of 123.128(b) are self-evident,
others require interpretation. For purposes of interim authorization deter-
minations, the checklist serves to describe the minimum State Program Re-
quirements against which the overall State program is to be assessed, there-
by defining State programs "substantially equivalent" to the Federal program
pertaining to generators of hazardous waste.
Section 123.128(d) of the Federal regulation provides limited excep-
tions from the State Program Requirements in the case of States which do not
have statutory or regulatory authority for the manifest system or other
generator or transporter requirements of Sections 123.12S(b) and (c). In
this case, the State may be granted interim authorization if:
1. the State meets all other requirements for interim author-
ization; and
2. the State's authorization plan delineates the necessary steps
for obtaining the necessary statutory or regulatory authority
by the end of the interim authorization period.
Until the State manifest system and other generator and transporter re-
requirements are approved by EPA, all Federal requirements for generators
and transporters (including use of the Federal manifest system) will apply.
3.2-1
-------
GENERATORS
Federal Cite
(40 CFR 123)
State Program Requirement
State
Coverage
Reviewers
Comments
co
rx>
ro
.128(b)(2)
.126(b)(l) &
.128(b)(6)
120(b)(6) & (7)
128(e)(7)
128(b)(2)
1. GENERAL
1.1 All generators of hazardous waste controlled by
the State must be covered by the program. (See
previous chapter of this manual).
1.2 Provide system whereby generators must receive
EPA identification numbers prior to treating,
storing, disposing, transporting, or offering to
transport.
1.3 Require that generators not offer hazardous waste
to transporters or to treatment, storage, or
disposal facilities which have not receiveed EPA
identification numbers.
1.4 If the State exempts farmers from control, the
exemption must be conditioned in accordance with
the Federal exemption at 40 CFR 262.51.
.128(b)(6)
2. MANIFEST
2.1 Generators who
off-site must
system.
transport or offer for transport
be required to use a manifest
2.1.1 Manifest system must ensure that inter- and
intrastate shipments are designated for delivery
only to facilities authorized to operate under an
approved State program or the Federal program.
2.1.2 Manifest system must ensure that intrastate ship-
ments are delivered only to facilities authorized
l>y the Stale to operate.
-------
Federal
(40 CFR
Cite
123)
State Program Requirement
State
Coverage
Reviewers
Comments
.128(b)f7)(i)
•128(b)(0)
2.2 Manifest employed must Identify the generator,
transporter, designated delivery point, and the
hazardous waste being transported.
2.3 Must require that the manifest accompany all
waste offered for transport. This requirement
need not apply to shipments by rail or water
described in 40 CFR 262.23(c) and 40 CFR
263.20(e).
2.4 Manifest system must provide that undelivered
shipments are:
(a) identified independently by the State in
which the shipment originated; or
(b) identified by the generator and reported to
the State in which the shipment originated.
2.5 In the case of an interstate shipment for which
the manifest has not been returned within 45 days
of acceptance by the initial transporter, provide
for notification to (1) the State in which the
manifest-designated facility is located and (2)
the State in which the shipment may have been
delivered. In the case of unauthorized States,
notification is to be directed to EPA.
.128(b)(4)
3.
SHORT-TERM ACCUMULATION
3.1 Generators who accumulate hazardous waste for
short periods of time prior to shipment must be
required to do so in a manner that does not
present a hazard to human health or the en-
vi ronment.
-------
Federal Cite
(40 CFR 123)
State Program Requirement
State
Coverage
Reviewers
Comments
o
o
4. INTERNATIONAL SHIPMENTS
4.1 Importers of hazardous wastes must be required to
meet the State's manifest requirements.
4.2 Manifest must identify the importer as the "gen-
erator" and include the importer's EPA identifi-
cation number.
4.3 Exporters of hazardous wastes must be required to
meet the State's manifest requirements.
4.4 Manifest must identify the name and address of
the foreign consignee for exported wastes.
4.5 Must provide for confirmation of delivery by the
foreign consignee for exported wastes. Confirma-
tion may be directed to either the generator or
the State.
4.6 Must provide for notification to EPA in those
cases where confirmation by the foreign consignee
for exported wastes is not received within 90
days of acceptance of the waste by the initial
transporter. [NOTE: Advance notification of
international shipment is required by §262.50
(b)(l) to be filed with the Administrator. This
control measure will not be delegated to States,
and there is no State Program Requirement In this
regard].
.120(b)(3)
5. RECORUKEEP1NG/REPORT1NG
5.1 Generators must be required to retain copies of
all manifests for at least 3 years from the date
of acceptance of the waste by the Initial trans-
porter.
-------
Federal Cite State Reviewers
(40 CFR 123) State Proyram Requirement Coverage Comments
5.2 If the State requires generators to submit re-
ports to enable the State to meet Its Federal
reporting requirements, the generators must be
required to retain copies of the reports for at
least 3 years.
5.3 Records associated with undelivered shipments
must be required to be retained for at least 3
years.
5.4 The program must provide for extension of the
required period of record retention during the
course of unresolved enforcement action regarding
the regulated activity.
I
in
-------
CHAPTER 3.3
SUBSTANTIAL EQUIVALENCE—Section 3003 RCRA
Introduction
Federal regulations at 40 CFR 123.128 contain the requirements which
State programs must meet in order to receive interim authorization (Phase
I). This chapter presents these State Program Requirements pertaining to
Section 3003 of RCRA and provides a checklist for review of State program
elements against the requirements. States are advised to look broadly to
their authorities in order to demonstrate that their overall programs meet
the requirements.
The regulation provides that where a State does not have legislative
authority or regluatory control over certain activities which do not occur
in the State, the State can receive interim authorization. This provision
is conditional in that the State's authorization plan must provide for the
development of a complete program as soon as practicable after the granting
of Interim authorization.
The checklist in this chapter focuses on Section 123.128(c), "Require-
ments for transporters of hazardous waste", of the regulations. The regula-
tions allow flexibility in the manner or approach States employ in meeting
the requirements. While some provisions of 123.128(c) are self-evident,
others require interpretation. For purposes of interim authorization deter-
minations, the checklist serves to describe the minimum State Program Re-
quirements against which the overall State program is to be assessed, there-
by defining State programs "substantially equivalent" to the Federal program
pertaining to transporters of hazardous waste.
Section 123.128(d) of the Federal regulation provides limited excep-
tions from the State Program Requirements in the case of States which do not
have statutory or regulatory authority for the manifest system or other
generator or transporter requirements of Sections 123.128(b) and (c). In
this case, the State may be granted interim authorization if:
1. the State meets all other requirements for interim author-
ization; and
2. the State's authorization plan delineates the necessary steps
for obtaining the necessary statutory or regulatory authority
by the end of the interim authorization period.
Until the State manifest system and other generator and transporter re-
requirements are approved by EPA, all Federal requirements for generators
and transporters (including use of the Federal manifest system) will apply.
3.3-1
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TRANSPORTERS
Federal Cite
(40 CFR 123)
State Program Requi rement
State
Coverage
Reviewers
Comments
.128(c)(2)
1. GENERAL
1.1 Must cover all transporters
controlled by State.
of hazardous waste
.128(c)(3)
OJ
i
ro
2. RECORDKEEPING/REPQRT1NG
2.1 Transporters must be required to keep copies of
signed manifests or shipping papers for at least
three years.
2.2 If the State requires transporters to submit
reports to enable the State to meet Its Federal
reporting requirements, the generators must be
required to retain copies of the reports for at
least 3 years.
2.3 The program must provide for extension of the
required period of record retention during the
course of unresolved enforcement action regarding
the regulated activity.
128(c)(4)
3. MANIFEST
3.1 Transporters
system.
120(c)(5)
must be required to use a manifest
3.1.1 Manifest system must ensure that Inter- and
intrastate shipments are designated for delivery
only Lo facilities authorized to operate under an
approved State program or the Federal program.
3.2 Must require that transporters carry the manifest
with all shipments. This requirement need not
apply to shipments by rail or water described in
40 CFR 262.20(e).
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Federal Cite State Reviewers
(40 CFR 1231 State Program Jtequirement Coverage Comments
.128(c)(6} 4. DISCHARGES IN TRANSIT
4.1 Must require transporters to notify appropriate
State/ local, and Federal agencies,
4.2 Must require transporters to clean-up the wastes
or take action so that the wastes do not present
a hazard to human health or the environment.
4.3 Provide that appropriate officials may authorize
removal of waste without use of a manifest.
4.4 Provide for Immediate notice to the National
Response Center and for reports in writing to
DOT. [See 49 CFR 171.15]
V 5. EPA IDENTIFICATION NUMBER
Transporters may not transport hazardous waste
without an EPA 1.0. number which will be obtained
through procedures established in the Memorandum
of Agreement.
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Chapter 3.4
SUBSTANTIAL EQUIVALENCE—Section 3004 RCRA
Introduction
Federal regulations at 40 CFR 123.128 contain the requirements which
State programs must meet in order to receive interim authorization (Phase
I). This chapter presents these State program requirements pertaining to
Section 3004 of RCRA and provides a checklist for review of State program
elements against the requirements. States are advised to look broadly to
their authorities in order to demonstrate that their overall programs meet
the requirements.
The regulation provides that where a State does not have legislative
authority or regulatory control over certain activities which do not occur
in the State, the State can receive interim authorization. This provision
is conditional in that the State's authorization plan must provide for the
development of a complete program as soon as practicable after the granting
of interim authorization.
Section 123.128(e) requires that States have standards applicable to
hazardous waste management facilities (HWMF's) which are substantially
equivalent to 40 CFR Part 265. It further requires that State law prohibit
the operation of facilities not in compliance with such standards. The
checklist in this chapter focuses on §123.128(e), "Requirements for hazard-
ous treatment, storage, and disposal facilities." The regulations allow
flexibility in the manner or approach States may employ in meeting the
requirements. While some provisions of §123.128(e) are self-evident, others
require interpretation. For purposes of interim authorization determina-
tions, the checklist serves to summarize the minimum Federal requirements of
40 CFR Part 265, noting areas where flexibility should be considered in
defining State programs "substantially equivalent" to the Federal program
pertaining to hazardous waste treatment, storage, and disposal facilities.
Discussion
1. Where an asterisk(*) appears on the checklist, flexibility in
meeting the Federal requirements may be particularly appro-
priate. However, each State must clearly identify those
areas where flexibility is needed and must document the
reasons in the "Comment" column. In certain instances it
will be necessary to substantiate that adequate protection of
human health and the environment is being afforded by the
more "flexible" requirement.
2. Where a double asterisk(**) appears in the checklist (rela-
tive to the manifest system), it should be recognized that 40
CFR 123.128(e)(7) requires State programs to provide manifest
tracking systems with requirements for HWMF's substantially
3.4-1
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equivalent to those of 40 CFR 265, including requirements for
return of the manifest. 40 CFR 123.128(d) allows States to
receive interim authorization if legal authority does not
exist to provide manifest tracking systems with requirements
respecting generators and transporters only. In the event
that the State receives interim authorization in accordance
with the exclusion provision of 40 CFR 123.128(d), it must
still meet the HWMF manifest tracking requirement of 40 CFR
123.128(e)(7) by requiring that facility owners and operators
return a copy of the manifest to the generator or to the
State in which the waste originated in accordance with the
Federal requirements (40 CFR 265.71) in order for the gener-
ator to be able to comply with the Federal timing and proce-
dural requirements for exception reports. The provision of
40 CFR 123.128(e)(7) which allows States to require facility
owners or operators to return a copy of the manifest solely
to the State where the generator is located applies only in
those instances where the State in which the operator is
located operates a complete manifest tracking system covering
generators, transporters, and HWMF's and in which the State
Director, not the generator, is responsible for the tracking
of shipments.
3. It should be noted that Part 265 establishes requirements for
underground injection control of hazardous waste. However,
it is optional for the purpose of interim authorization of
State programs as to whether or not the State controls the
underground injection of hazardous waste.
3.4-2
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FACILITIES
Federal Cite State Reviewers
(40 CFR 123) State Program Requirement Coveratje Comments
.128.(e) 1.0 GENERAL
All TSD facilities in "existence" pursuant to
RCRA Section 3005(e) must comply with require-
ments- substantially equivalent to the following:
.120.(e)(l) 2.0 PREPAREDNESS AND PREVENTION
2.1 Pursuant to 265.30-265.37, facilities must
be maintained and operated for preparedness
for and prevention of releases of hazardous
wastes controlled by the State.
2.2 Facilities must have contingency plans and
emergency procedures to be followed in the
event of a release of hazardous waste.
.120.(e)(2) 3.0 CLOSURE AND POST-CLOSURE
3.1 The owner or operator must close his facili-
ty in a manner that:
(a) minimizes the need for future main-
tenance, and
(b) controls, minimizes, or eliminates
post-closure escape of hazardous waste.
3.2 The owner or operator must have a written
closure plan on the effective date of Part
265.
3.3 The closure plan must include:"
(a) A description of how and when the facil-
ity will be partially closed, if applic-
able, and ultimately closed.
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Federal Cite State Reviewers
(40 CFR 123) State Program Requirement Coverage Comments
(b) An estimate of the maximum inventory of
wastes in storage or treatment at any
given time.
(c) Steps to decontaminate facility equip-
ment.
(d) A schedule for final closure which must
include, as a minimum:
(i) anticipated dates when wastes will
no longer be received
(ii) anticipated date for completion of
final closure
(iii) Intervening milestone dates
to
V. 3.4 Closure must be initiated within 90 days
.U after receiving the final volume of haz-
ardous wastes.*
3.5 The owner or operator must complete closure
activities within six months after receiving
the final volume of wastes.1"
3.6 §265.114 Upon completion of closure, all
equipment and structures must be properly
disposed of or decontaminated.
3.7 §265.115 The owner or operator and an inde-
pendent registered professional engineer
must certify that the facility has been
closed in accordance with the approved
closure plan.
3.0 Post closure care must consist of at least:*
(a) Groundwater monitoring
(b) Maintenance of the contaminant system
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Federal Cite st-ato Reviewers
(40 CFR 123) State Program Rennirement Coverage Comments
3.9 The owner or operator must have a post-
closure plan on the effective date of Part
265 and it must include:*
(a) Groundwater monitoring activities and
frequency.
(b) Maintenance activities and frequencies
to ensure:
(1) the integrity of the cap, final
cover, or other containment struc-
tures, and
(ii) functions of the facility's moni-
toring equipment.
3.10 Within 90 days after closure, the owner or
operator must submit a survey plat of the
facility.*
3.11 The owner or operator must record a notice
on the deed that the land has been used to
manage hazardous waste.
.128.(e)(3) 4.0 GRQUNOWATER MONITORING
4.1 Owner or operator must Implement a ground-
water monitoring program capable of deter-
mining the facility's impact on the quality
of the upper aquifer within one year of the
effective date of 265.90.
4.2 The owner and operator must install, oper-
ate, and maintain a groundwater monitoring
system which meets the requirements of
§265.91-265. 94. *
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Federal Cite State Reviewers
(40 CFR 123) State Program Requirement Coverage Comments
4.3 All of the groundwater monitoring require-
ments may be waived if the owner or operator
can demonstrate that there is a low poten-
tial for migration of hazardous waste con-
stituents from the facility via the upper-
most aquifer below the facility to water
supply wells or to surface water.
.128.(e)(4) 5.0 SECURITY TO PREVENT UNKNOWING AND UNAUTHORIZED
ACCESS TO THE FACILITY
5.1 The owner or operator must prevent the un-
knowing entry and minimize the possibility
for unauthorized entry unless:
(a) physical contact with the waste, struc-
co tures, or equipment will not be injuri-
!t* ous
i
en
(b) disturbance of the waste or equipment
will not violate the requirements of
Part 265.
5.2 Unless exempt under 5.1(a) or 5.1(b), a
facility must have:*
(a) a 24-hour surveillance system
(b) an artificial or natural barrier which
completely surrounds the active portion
of the facility
(c) a means to control entry
(d) a sign warning of the danger of intrud-
ing into the facility
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Federal Cite
(40 CFR 123)
.128.(eX(5)
CO
"l
State Program Requirement
6.0 FACILITY PERSONNEL TRAINING
6.1 Facility personnel must successfully com-
plete a program of classroom instruction or
on-the-job training that teaches them to
perform their duties in a way that ensures
the facility's compliance with the require-
ments of Part 265.
6.2 The training program must be completed
within six months of the effective date of
Part 265.*
6.3 There must be an annual review of the initi-
al training in 6.1 above.A
6.4 The owner or operator must maintain records
of training.*
6.5 Training records on current personnel must
be kept until closure of the facility.*
State
Coverage
Reviewers
Comments
.128.(e)(6)
7.0 INSPECTION, MONITORING. RECORDKEEP1NG. and
REPORTING.
7.1 The owner or operator must inspect the
facility for malfunctions and deterioration,
operator errors, or discharges which may he
causing or lead to:
(a) release of hazardous waste constituents
to the environment or
(b) a threat to human health
7.2 The owner or operator must develop and
follow a schedule and plan for Inspections.
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Federal Cite State Reviewers
(40 CFR 123) State Program Requirement Coverage Comments
7.3 The owner or operator must take remedial
action upon the detection of malfunction or
the deterioration of equipment and struc-
tures when a hazard is imminent.
7.4 The owner or operator must record inspec-
tions in an inspection log and must keep the
records for at least three years from the
date of inspection."
7.5 The owner or operator must keep a written
operating record at the facility which meets
the requirements of §265.73(b).*
7.6 All records must be furnished upon request
and available at all times for inspection by
EPA.
CO
V, 7.7 A copy of records of waste disposal loca-
oo tions and quantities must be submitted to
the Director and the local l^nd authority
upon closure of the facility.*
7.8 The owner or operator must submit an annual
report to the Director in compliance with
the requirements of §265.75.*
7.9 The receipt of any unmanife^ted waste must
be reported to the Director.
7.10 The owner or operator must submit a report
to the^^ Director if any of the following
occur:
(a) releases
(b) fires
(c) explosions
(d) groundwater contamination
(e) facility closure
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federal Cite s^te Reviewers
(4Q CFR 123) State Program Requirement Coverage Coimnenls
.128.(e)(7) 8.0 MANIFEST SYSTEM**
8.1 If a facility receives hazardous waste
accompanied by a manifest, the owner or
operator must meet the requirements of
§265.71 a(l)-(5).*
8.2 If a facility receives, from a rail or water
transporter, hazardous waste which is accom-
panied by a shipping paper, the owner or
operator must meet the requirements of
§265.71.*
8.3 Upon discovery of a significant manifest
discrepancy, the owner or operator must
attempt to reconcile the discrepancy with
the waste generator or transporter.
OJ
•*» 8.4 If a significant manifest discrepancy is not
v£> resolved, the+owner or operator must notify
the Director.
,128.(e)(8) 9.0 OTHER FACILITY STANDARDS
9.1 EPA Identification Number
Every facility owner or operator must apply
for an EPA identification number.*
9.2 Required Notices
(a) The facility owner or operator must
notify the Director at least four weeks
in advance of receipt of wastes from a
foreign source.*
(b) Defore transferring ownership or opera-
tion of a facility, the facility's owner
or operator must notify the new owner or
operator of the requirements of 40 C.\'\(
2G5 and 122.*
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Federal Cite State Reviewers
(40 CFR 123) State Program Requirement Coverage Comments
9.3 General Waste Analysis
Before treating, storing, or disposing of
hazardous waste, the facility owner or
operator must obtain a detailed chemical and
physical analysis of wastes. The analysis
must contain all the Information which must
be known to treat, store, or dispose the
waste in accordance with the Federal re-
quirements.
9.4 General Requirements for Ignitable. Reactive
or Incompatible Wastes
(a) The owner or operator must take precau-
tions to prevent accidental ignition or
reaction of ignitable or reactive waste.
CJ
*» (b) Treatment, storage, or disposal of
g ignitable or reactive waste and the
mixture or commingling of incompatible
wastes must be conducted so that it does
not:
(i) Generate extreme heat or pressure,
fire or explosion, or violent
reaction;
(ii) Produce uncontrolled toxic mists,
fumes, dusts, or gases in suffici-
ent quantities to threaten human
health;
(iii) Produce uncontrolled flammable
fumes or gases in sufficient quan-
tities to pose a risk of fire or
explosions;
(iv) Damage the structural integrity of
the device or facility containing
waste; or
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Federal Cite State Reviewers
(40 CFR 123) State Program Requirement Coverage Comments
(v) Through other like means threaten
human health or the environment.
9.5 Financial Requirements
The owner or operator must develop and
maintain a current estimate of closure and
post-closure costs.
9.6 Use and Management of Containers
(a) The container must be compatible with
the waste to be stored.
(b) Containers holding hazardous waste must
be kept closed and must not be opened,
^ handled, or stored in a manner which may
^ cause a rupture or leak.
=t
(c) Areas where containers are stored must
be inspected weekly.*
(d) Containers holding ignitable or reactive
waste must be located at least 15 meters
from the facility's property line."
(e) Incompatible wastes must not be placed
in the same container.
(f) A storage container holding a hazardous
waste that is incompatible with any
waste or other materials stored nearby
must be separated or protected from the
other materials.
9.7 Tanks
(a) Hazardous wastes must not be placed in a
tank if they could cause the tank or its
liner to leak.
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Federal Cite State Reviewers
(40 CFR 123) State Program Requirement Coverage Comments
(b) Uncovered tanks must have at least two
feet of freeboard unless other contain-
ment structures, a drainage control
system, or other diversion structures
with a capacity that equals or exceeds
the volume of the top two feet of the
tank.
(c) Tanks which have a continuous feed sys-
tem must be equpped with a means to stop
the inflow.
(d) Waste analysis must be conducted pursu-
ant to §265.13 and §265.193(a).*
(e) Tanks must be inspected in accordance
with §265.194.*
CO
V> (f) At closure, all hazardous waste and haz-
»-> ardous waste residues must be removed
1X1 from the tanks.
(g) Ignitable or reactive waste should not
be placed in a tank unless §265.198 is
complied with.
(h) Incompatible wastes must not be placed
in the same tank unless §265.17(b) is
complied with.
9.8 Surface Impoundments
(a) Must maintain at least two feet of free-
board.
(b) Earthen dikes must have protective
cover.
(c) Must conduct waste analyses and trial
tests in accordance with §265.22b.A
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Federal Cite State Kevixwers
(40 CFR 123) State Program Requirement Coverage Comments
(d) Must inspect the freeboard level at
least once each operating day.
(e) Must inspect the surface impoundment at
least once a week to detect any leaks.
deterioration, or failure."1
(f) The surface impoundment must close in
accordance with §265.228.
(g) Ignitable or reactive waste must not be
placed in a surface impoundment unless
§265.229 Is complied with.
(h) Incompatible wastes must not be placed
in the same surface impoundment unless
§265.17(b) is complied with.
9.9 Waste Piles
(a) A waste pile must be protected and
managed to control wind dispersal.
(b) An owner or operator roust conduct waste
analyses unless the facility meets the
exemptions of §265.252.
(c) Within one year after the effective date
of the regulations, leachate or run-off
from a pile must be controlled pursuant
to §265.253.*
(d) Ignitable or reactive waste must not be
placed in a waste site unless §265.265
is complied with.
(e) The requirements of §265.257 for incom-
patible wastes must be complied with.
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Federal Cite State Reviewers
(40 CFR 123) State Program Requirement. Coverage Comments
9.10 Land Treatment
(a) Hazardous waste must not be placed at a
land treatment facility unless It can be
made less hazardous or non-hazardous.
(b) Run-on must be diverted away from other
active portions as of one year after the
effective date of Part 265.*
(c) Run-off from active portions must be
collected as of one year after the
effective date of Part 265.*
(d) Waste analyses must be conducted pursu-
ant to §265.273.*
i^j (e) An owner or operator must notify the
V> State Director within 60 days after the
JL. effective date of Part 265 if food chain
*• crops are nrown on the land treatment
facility.*
(f) Food chain crops must not be grown on
the treated area of a hazardous waste
land treatment facility unless
§265,276(b) is complied with.*
(g) Food chain crops must not be grown on a
land treatment facility receiving waste
that contains cadmium unless §265.275(c)
is complied with.*
(h) The owner or operator must have in
writing and must Implement an tmsatur-
ated zone monitoring plan pursuant to
§265.270.*
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Federal Cite State Reviewers
(40 CFR 123) State Program Requirement Coverage; Comments
(i) The owner or operator must keep records
of the application dates, application
rates, quantities, and location of each
hazardous waste placed in a facility.
(j) A land treatment facility must meet the
closure and post-closure requirements of
§265.280.
(k) Ignitable or reactive waste must not be
placed in a land treatment facility
unless §265.281 is^complied with.
(1) Incompatible wastes must not be placed
in the same land treatment area unless
§265.17 is complied with.
^ 9.11 Landfills
.L. (a) Run-on must be diverted away from the
m active portions within one year after
the effective date of Part 265.*
(b) Run-off from active portions must he
collected within one year after the
effective date of Part 265.*
(c) Must control wind dispersal.
(d) The owner or operator must meet the
surveying and recordkeeping requirements
of §265.309.*
(e) A landfill must comply with closure and
post-closure requirements of §265.310.*
(f) Ignitable or reactive waste must not ho
placed in a landfill unless §265.312 ib
compl ied wi tli.
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Federal Cite State Reviewers
(40 CFR 123) State Program Requirement Coverage Comments
(g) Incompatible wastes Bust not be placed
in a landfill unless §265.17(b) is com-
plied with.
(h) Bulk or non-containerized liquid waste,
waste containing free-liquids, or con-
tainers holding liquid waste should not
be placed in a landfill unless the
requirements of §265.314 are complied
with.
(1) Empty containers must be reduced in
volume as of one year after the effec-
tive date of Part 265.*
9.12 Incinerators
(a) Must be at steady state conditions
before adding hazardous waste.
(b) Waste analyses must be conducted pur-
suant to §265.345.*
(c) Monitoring and inspections must be
conducted as delineated in §265.347.*
(d) At closure, the owner or operator must
remove all hazardous waste and hazardous
waste residues.
9.13 Thermal Treatment
(a) Must be at steady state conditions
before adding hazardous wastes.
(b) Waste analyses must be conducted pur-
suant to §265.375.*
(c) Monitoring and inspections must he
conducted as delineated in §265.377.A
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Federal Cite State Reviewers
(40 CFR 123) State Program Requirement CoyinQ? CommcfOs
(d) At closure, the owner or operator must
remove all hazardous waste and hazardous
waste residues.
(e) Open burning of hazardous waste is
prohibited except for the open burning
and detonation of waste explosives.
9.14 Chemical. Physical, and Biological Treatment
(a) Must comply with §265.17(b).
(b) Hazardous waste must not be placed in
the treatment process or equipment if
any failure of equipment or the process
would occur.
(c) A continuously - fed process must he
equipped with a means to stop the in-
flow.
(d) Waste analyses and trial tests must he
conducted pursuant to §265.402.*
(e) Inspections must be made purusant to
8265.403.*
(f) At closure, all hazardous waste and
hazardous waste residues must be re-
moved.
(Q) Ignitable or reactive waste must not he
placed in a treatment process unless
§265.405 is complied with.
(h) Incompatible wastes must not be placed
in the same treatment process unless
§265.17 is complied with.
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Federal Cite State Reviewers
(40 CFR 123) State Program Requirement Coverage Comments
9.15 Underground Injection*
(a) Underground injection of hazardous waste
is not subject to the closure and post-
closure or financial requirements of
Part 265. Underground injection is
subject to the other requirements of
Part 265.
-P.
* Indicates areas where flexibility of Federal requirements may be particularly appropriate.
** It should be noted that State programs are required to provide manifest tracking systems with requirements for
IIWMF's substantially equivalent to Part 265. However, 123.128(d) allows States to receive interim authorization if
legal authority does not exist to provide manifest tracking systems with requirements respecting generators and
transporters only. See the discussion in the text.
+ Underground injection controls are optional for the purpose of interim authorization of State programs.
++ Although the Federal requirements actually require notification and reporting to the Regional Administrator, States
should require notification and reporting to the State Director for purposes of "substantial equivalence" under the
interim authorization program.
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APPENDICES
Page
40 CFR Part 260 Hazardous Waste Management System: General 33065
40 CFR Part 251 Identification and Listing of Hazardous Waste 33084
40 CFR Part 262 Standards for Generators of Hazardous Waste 33140
40 CFR Part 263 Standards for Transporters of Hazardous Waste 33150
40 CFR Parts 264 Standards and Interim Status Standards for
255 Owners and Operators of Hazardous Waste
Treatment, Storage, and Disposal Facilities 33154
40 CFR Part 122 Permit Requirements 33413
40 CFR Part 123 State Program Requirements 33456
40 CFR Part 124 Procedures for Decisionmaking 33434
49 CFR Part 171 Transport of Hazardous Wastes and Hazardous
Substances: General 34586
49 CFR Part 172 Hazardous Materials Tables and Hazardous
Materials Communications Regulations 34588
49 CFR Part 173 Shippers - General Requirements for
Shipments and Packagings 34702
49 CFR Part 174 Carriage by Rail 34704
49 CFR Part 176 Carriage by Vessel 34704
49 CFR Part 177 Carriage by Public Highway 34705
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EXPRESS MAILING LIST ONLY
STATE SOLID WASTE AGENCIES
ENVIRONMENTAL PROTECTION
OFFICE OF SOLID WASTE
May 1980
Alabama
Alfred S. Chipley
Division of Solid Waste and Vector Control
Department of Public Health - Rm 1212
Union Bank Building
Montgomery, AL 36130
CML (205) 832-6728
Alaska
Thomas R. Hanna
Air & Solid Waste Management
Department of Environmental
Conservation
Pouch 0
Juneau, AK 99811
Seattle FTS Operator 399-0150
CM. (907) 465-2635
American Samoa
Randy Morris, Deputy Director
Department of Public Works
Pago Pago, American Samoa 96799
Overseas Operator
(Commercial fl»n 633-4141)
Pati Faiai, Executive Secretary
Envircmiental Oiality Conmission
American Samoa Government
Pago Pago, American Samoa 96799
Overseas Operator
(Cotroercial Call 633-4116)
Abe Malai, Special Assistant
M & 0 Construction Division
Department of Public Works
Pago Pago, American Samoa 96799
Overseas Operator
(Commercial Call 688-9167)
Arizona
R. Bruce Scott, Assistant Dir.
for Environ. Health Services
Department of Health Services
State Health Bldg. Rm 202
1740 West Adams Street
Phoenix, AZ 85008
FTS 8-765-1130
CML (602) 255-1130
Arkansas
H. J. Parr, Chief
Solid Waste Management Div.
Department of Pollution
Control and Ecology
8001 National Drive
Little Rock, AR 72209
CML (501) 371-1701
Alford Drinkwater
Solid Waste Program
Department of Energy
3000 Kavanaugh
Little Rock, AR 72205
CML (501) 371-2234
California
Dr. Harvey Collins, Director
Department of Health Services
Hazardous Mat.ftri.al Mgmt. Sect.
1420 5th St. - Rm 140
Sacramento, CA 95814
FTS 3-552-2337
CML (916) 322-2337
Chairman, State Solid Waste
Management Board
1020 9th Street, Suite 300
Sacramento, CA 95814
FTS 8-552-3330
CML (916) 322-3330
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Gecrcia
Illinois
Moses N. McCail, III, Chief
Land Protection Branch - Rm 822
Environmental Protection Division
Department of Matural Pescurcss
270 Washington St., SW
Atlanta, GA 30334
CML (404) 656-2833
Guam
Janes Branch, Dep. Adrninistratar
EPA, Government of Guam
Harmon Plaza
Agana, GU 96910
Overseas Ccerator
(Comeroial Call 646-2S63)
Hawaii
Salph Ifljkumoto
Environmental Health Div.
Departnent of Health
1250 Punchbowl
Honolulu, HI 96801
California FTS Operator:
8-556-0220
CML (808) 548-5410
Melvin Kbizuni, Dep. Director
Environmental Health Div.
Department of Health
1250 Punchbowl
Honolulu, HI 96801
California FTS Operator:
8-556-0220
CML (808) 548-4139
Idaho
Howard Burkhardt, Supervisor
Solid/Hazardous Materials Sect.
Department of Health and Welfare
The Ttwers - 5th Floor
450 West State St.
Boise, ID 83720
CML (208) 334--HIOS
John S. Moore, f-fenacer
Division of Land and Noise
rtolluticn Control
Environmental Prot. Agency
2200 Churchill 3d. - an A104
Springfield, IL 62706
CML (217) 782-9600
Indiana
David Lami, Chief
Solid Waste >tet. Section
Div. of Sanitary Engineering
State Beard of Health
1230 W. Michigan St. - 3n A3C2
Indianapolis," IN 46206
FTS 8-326-0176
CML (317) 633-0176
Iowa
Charles C. Miller, Dir.
Air and Land Quality Div.
Dept. of Envir. Quality
Henry A. Wallace Bldg.
900 E. Grand St. 3rd fL.
Des Moines, IA 50319
FTS 8-841-8853
CML (515) 281-8853
Kansas
Charles H. Linn, Chief
Solid Waste Mgmt. Section
Dept. of Health and Envir.
Forbes Field - Bldg. 321
Tbpeka, KS 66620
CML (913) 862-9390 x297
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