United States
Environmental Protection
Agency
Enforcement and
Compliance Assurance
(2221-A)
EPA 300-B-00-006
March 2000
Protocol for Conducting
Environmental Compliance
Audits of Storage Tanks
under the Resource
Conservation and
Recovery Act
EPA Office of Compliance
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
The statements in this document are intended solely as guidance to aid regulated entities in complying with the
regulations. The guidance is not a substitute for reading the regulations and understanding all the requirements as it
applies to your facility. This guidance does not constitute rulemaking by the U.S. EPA and may not be relied on to
create a substantive or procedural right or benefit enforceable, at law or in equity, by any person. U.S. EPA may
decide to update this guide without public notice to reflect changes in U.S. EPA's approach to implementing the
regulations or to clarify and update.text. To determine whether U.S. EPA has revised this document and/or to obtain
copies, contact U.S. EPA's Center for Environmental Publications at 1(800) 490-9198. Additional information
regarding U.S. EPA Hotlines and further assistance pertaining to the specific rules discussed in this document can be
found at the end of the Key Compliance Requirements located in Section II. The contents of this document reflect
regulations issued as of March 12, 2000.
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U.S. EPA would like to gratefully acknowledge the support of the U.S. Army Corps of Engineers Construction
Engineering Research Laboratory (CERL) for providing suggestions for overall format of this document. The Office
of Compliance at U.S. EPA gratefully acknowledges the contribution of U.S. EPA's program offices and the U.S.
EPA's Office of General Counsel in reviewing and providing comment on this document.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
,,,, , . . .
Notice inside cover
Acknowledgement inside cover
Section 1: Introduction
Background A ii
Who Should Use These Protocols?.. ..11
U.S. EPA's Public Policies that Support Environmental Auditing iii
How To Use the Protocols iv
The Relationship of Auditing to Environmental Management Systems vi
Section II: Audit Protocol
Applicability 1
Review of Federal Legislation 1
State and Local Regulations .2
Key Compliance Requirements for Underground Storage Tanks (USTs) .•: 2
Key Compliance Requirements for Hazardous Waste Tanks 8
Key Terms and Definitions: Underground Storage Tanks ." 10
Key Terms and Definitions: Hazardous Waste and Used-Oil Tanks 17
Typical Records to Review,.... •... 23
Typical Physical Features to Inspect , ," 23
List of Acronyms and Abbreviations 24
Index for Checklist Users 27
Checklist '... 29
Appendices
Appendix A: Financial Responsibility Requirements and Deadlines for Various Groups of Underground Storage
Tank Owners and Operators AI
Appendix B: Additional Underground Storage Tank Information..... Bl
Appendix C: Release Detection Requirements for Underground Storage Tanks and Underground Piping.... Cl
Appendix D: Financial Test of Self-Insurance ; Dl
Appendix E: Schedule for Implementation of Air Emissions Standards El
Appendix F: Used Oil Classifications..." Fl
Appendix G: User Satisfaction Questionnaire and Comment Form , G
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statements) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
Section I
Introduction
,
.!fj!illaii
The Environmental Protection Agency (U.S. EPA) is responsible for ensuring that businesses and organizations
comply with federal laws that protect the public health and the environment, U.S. EPA's Office of Enforcement and
Compliance Assurance (OECA) has begun combining traditional enforcement activities with more innovative
compliance approaches including the provision of compliance assistance to the general public. U.S. EPA's Office of
Compliance Assistance was established in 1994 to focus on compliance assistance-related activities. U.S. EPA is
also encouraging the development of self-assessment programs at individual facilities. Voluntary audit programs
play an important role in helping companies meet their obligation to comply with environmental requirements. Such
assessments can be a critical link, not only to improved compliance, but also to improvements in other aspects of an
organization's performance. For example, environmental audits may identify pollution prevention opportunities that
can substantially reduce an organization's operating costs, Environmental audits can also serve as an important
diagnostic tool in evaluating a facility's overall environmental management system or EMS.
U.S. EPA is developing 13 multi-media Environmental Audit Protocols to assist and encourage businesses and
organizations to perform environmental audits and disclose violations in accordance with OECA's Audit and Small
Business Policies. The audit protocols are also intended to promote consistency among regulated entities when
conducting environmental audits and to ensure that audits are conducted in a thorough and comprehensive manner.
The protocols provide detailed regulatory checklists that can be customized to meet specific needs under the
following primary environmental management areas:
Generation of RCRA
Hazardous Waste
Treatment Storage and
Disposal of RCRA
Hazardous Waste
EPCRA
• CERCLA
• Safe Drinking Water Act
• Managing Nonhazardous
Solid Waste
• Clean Air Act
• TSCA
• Pesticides Management
(FIFRA)
• RCRA Regulated Storage
Tanks
• Clean Water Act
• Universal Waste and Used Oil
• Management of Toxic
Substances (e.g., PCBs,
lead-based paint,
and asbestos)
f f
i i i i.
U.S. EPA has developed these audit protocols to provide regulated entities with specific guidance in periodically
evaluating their compliance with federal environmental requirements. The specific application of this particular
protocol, in terms of which media or functional area it applies to, is described in Section II under "Applicability".
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
The Audit Protocols are designed for use by individuals who are already familiar with the federal regulations but
require an updated comprehensive regulatory checklist to conduct environmental compliance audits at regulated
facilities. Typically, compliance audits are performed by persons who are not necessarily media or legal experts but
instead possess a working knowledge of the regulations and a familiarity with the operations and practices of the-
facility to be audited: These two basic skills are a prerequisite for adequately identifying areas at the facility
subject to environmental regulations and potential regulatory violations that subtract from the organizations
environmental performance. With these basic skills, audits can be successfully conducted by persons with various
educational backgrounds'(e.g., engineers, scientists, lawyers, business owners or operators). These protocols are not
intended to be a substitute for the regulations nor are they intended to be instructional to an audience seeking a
primer on the requirements under Title 40, however, they are designed to be sufficiently detailed to support the
auditor's efforts. •
The term "Protocol" has evolved over the years as a term of art among the professional practices of auditing and
refers to the actual working document used by auditors to evaluate facility conditions.against a given set of criteria
(in this case the federal regulations). Therefore these documents describe "what" to audit a facility for rather than
"how" to conduct an audit. To optimize the effective use of these documents, you should become familiar with basic
environmental auditing practices. For more guidance on how to conduct environmental audits, U.S. EPA refers
interested parties to two well known organizations: The Environmental Auditing Roundtable.(EAR) and the Institute
for Environmental Auditing (1EA).
Environmental Health and Safety Auditing Roundtable The Institute for Environmental Auditing
35888 Mildred Avenue ' Box 23686
North Ridgeville, Ohio 44039 ' L'Enfant Plaza Station
(216) 327-6605 Washington, DC 20026-3686
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In 1986, in an effort to encourage the use of environmental auditing, U.S. EPA published its "Environmental
Auditing Policy Statement" (see 51 FR 25004). The 1986 audit policy states that "it is U.S. EPA policy to
encourage the use of environmental auditing by regulated industries to help achieve and maintain compliance with
environmental laws and regulation, as well as to help identify and correct unregulated environmental hazards." In
addition, U.S. EPA defined environmental auditing as "a systematic, documented, periodic, and objective review of
facility operations and practices related to meeting environmental requirements." The policy also identified several
objectives for environmental audits;
• verifying compliance with environmental requirements,
• evaluating the effectiveness of in-place environmental management systems, and
• assessing risks from regulated and unregulated materials and practices.
In 1995, U.S. EPA published "Incentives for Self-Policing: Discovery, Disclosure, Correction and Prevention of
Violations" which both reaffirmed and expanded its 1986 audit policy. The 1995 audit policy offers major
incentives for entities to discover, disclose and correct environmental violations. Under the 1995 policy,. U.S. EPA
will not seek gravity-based penalties or recommend criminal charges be brought for violations that are discovered
through an "environmental audit" (as defined in the 1986 audit policy) or a management system reflecting "due
diligence" and that are promptly disclosed and corrected, provided that-other important safeguards are met. These
safeguards protect health and the environment by precluding policy relief for violations that cause serious
environmental harm or may have presented an imminent and substantial endangerment.
.This document is intended solely for guidance. No statutory or regulatory iii
requirements are in any way altered by any statement(s) contained herein. '
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
In 1996, U.S. EPA issued its "Final Policy on Compliance Incentives for Small Businesses". The policy is intended
to promote environmental compliance among small businesses by providing them with special incentives to
participate in U.S. EPA compliance assistance programs. Similar to the U.S. EPA Audit Policies, the Small Business
Policy also encourages small businesses to conduct environmental audits, and then to promptly disclose and correct
violations.
More information on U.S. EPA's Small Business and Audit/Self-Disclosure Policies are available by contacting U.S.
EPA's Enforcement and Compliance Docket and Information Center at (202) 564-2614 or visiting the U.S. EPA web
site at: http://es.EPA.gov/oeca/polguid/polEuid 1 .html
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Each protocol provides guidance on key requirements, defines regulatory terms, and gives an overview of the federal
laws affecting a particular environmental management area. They also include a checklist containing detailed
procedures for conducting a review of facility conditions. The audit protocols are designed to support a wide range
of environmental auditing needs; therefore several of the protocols in this set or sections of an individual protocol
may not be applicable to a particular facility. To provide greater flexibility, each audit protocol can be obtained
electronically from the U.S. EPA Website (www.EPA.gov/oeca/ccsmd/profile.html). The U.S. EPA Website offers
the protocols in a word processing format which allows the user to custom-tailor the checklists to more specific
environmental aspects associated with the facility to be audited.
The protocols are not intended to be an exhaustive set of procedures; rather they are meant to inform the auditor,
about the degree and quality of evaluation essential to a thorough environmental audit. U.S. EPA is aware that other
audit approaches may also provide an effective means of identifying and assessing facility environmental status and
in developing corrective actions.
It is important to understand that there can be significant overlap within the realm of the federal regulations. For
example, the Department of Transportation (DOT) has established regulations governing the transportation of
hazardous materials. Similarly, the Occupational Safety and Health Administration (OSHA) under the U.S.
Department of Labor has promulgated regulations governing the protection of workers who are exposed to hazardous
chemicals. There can also be significant overlap between federal and state environmental regulations. In fact, state
programs that implement federally mandated programs may contain more stringent requirements that are not
included in these protocols. There can also be multiple state agencies regulating the areas covered in these
protocols. The auditor also should determine which regulatory agency has authority for implementing an
environmental program so that the proper set of regulations is consulted. Prior to conducting the audit, the auditor
should review federal, state and local environmental requirements and expand the protocol, as required, to include
other applicable requirements not included in these documents,
Review of Federal Legislation and Key Compliance Requirements:
These sections are intended to provide only supplementary information or a "thumbnail sketch" of the regulations
and statutes. These sections are not intended to function as the main tool of the protocol (this is the purpose of the
checklist). Instead, they serve to remind the auditor of the general thrust of the regulation and to scope out facility
requirements covered by that particular regulation. For example, a brief paragraph describing record keeping and
reporting requirements and the associated subpart citations will identify and remind the auditor of a specific area of
focus at the facility. This allows the auditor to plan the audit properly and to identify key areas and documents
requiring review and analysis.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
State and Local Regulations:
Each U.S. EPA Audit Protocol contains a section alerting the auditor to typical issues addressed in state and local
regulations concerning a given topic area (e.g., RCRA and used oil). From a practical standpoint, U.S. EPA cannot
present individual state and local requirements in the protocols. However, this section does provide general
guidance to the auditor regarding the division of statutory authority between U.S. EPA and the states over a specific
media. This section also describes circumstances where states and local governments may enact more stringent
requirements that go beyond the federal requirements.
U.S. EPA cannot overemphasize how important it is for the auditor to take under consideration the impact of state
and local regulations on facility compliance. U.S. EPA has delegated various levels of authority to a majority of the
states for most of the federal regulatory programs including enforcement. For example, most facilities regulated
under RCRA, and/or CWA have been issued permits written by the states to ensure compliance with federal and
state regulations. In turn, many states may have delegated various levels of authority to local jurisdictions.
Similarly, local governments (e.g., counties, townships) may issue permits for air emissions from the facility,
Therefore, auditors are advised to review local and state regulations in addition to the federal regulations in order to
perform a comprehensive audit.
Key Terms and Definitions:
This section of the protocol identifies terms of art used in the regulations and the checklists that are listed in the
"Definitions" sections of the Code of Federal Regulations (CFR).' It is important to note that not aJLLdefinitions from
the CFR may be contained in this section, however; those definitions which are commonly repeated in the checklists
or are otherwise critical to an audit process are included. Wherever possible, we have attempted to list these
definitions as they are written in the CFR and not to interpret their meaning outside of the regulations.
The Checklists:
The checklists delineate what should be evaluated during an audit. The left column states either a requirement
mandated by regulation or a good management practice that exceeds the requirements of the federal regulations.
The right column gives instructions to help conduct the evaluation. These instructions are performance objectives
that should be accomplished by the auditor. Some of ihe performance objectives may be simple documentation
checks that take only a few minutes; others may require a time-intensive physical inspection of a facility. The
checklists contained in these protocols are (and must be) sufficiently detailed to identify any area of the company or
organization that would potentially receive a notice of violation if compliance is not achieved. For this reason, the
checklists often get to a level of detail such that a specific paragraph of the subpart (e.g., 40 CFR 262.34(a)(l)(i))
contained in the CFR is identified for verification by the auditor. The checklists contain the following components:
• "Regulatory Requirement or Management Practice Column"
The "Regulatory Requirement or Management Practice Column" states either a requirement mandated by
regulation or a good management practice that exceeds the requirements of the Federal regulations. The
regulatory citation is given in parentheses after the stated requirement. Good management practices are -
distinguished from regulatory requirements in the checklist by the acronym (MP) and are printed in italics.
» "Reviewer Checks" Column:
The items under the "Reviewer Checks:" column identify requirements that must be verified to accomplish
the auditor's performance objectives. (The key to successful compliance auditing is to verify and document
site observations and other data.) The checklists follow very closely with the text in the CFR in order to
provide the service they are intended to fulfill (i.e., to be used for compliance auditing). However, they are
not a direct recitation of the CFR. Instead they are organized into more of a functional arrangement (e.g.,
recordkeeping and reporting requirements vs. technical controls) to accommodate an auditor's likely
sequence of review during the site visit. Wherever possible, the statements or items under the "Reviewer
This document is intended solely for guidance. No statutory or regulatory v
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
Checks" column, will follow the same sequence or order of the citations listed at the end of the statement in
the "Regulatory Requirement" column.
"NOTE:" Statements
"Note:" statements contained in the checklists serve several purposes. They usually are distinguished from
"Verify" statements to alert the auditor to exceptions or conditions that may affect requirements or to
referenced standards that are not part of Title 40 (e.g., American Society for Testing and Materials (ASTM)
standards). They also may be used to identify options that the regulatory agency may choose in interacting
with the facility (e.g., permit reviews) or options the facility may employ to comply with a given
requirement.
Checklist Numbering System;
The checklists also have a unique numbering system that allows the protocols to be more easily updated by
topic area (e.g., RCRA Small Quantity Generator). Each topic area in turn is divided into control breaks to
allow the protocol to be divided and assigned to different teams during the audit. This is why blank pages
may appear in the middle of the checklists. Because of these control breaks, there is intentional repetition
of text (particularly "Note" Statements) under the "Reviewer Checks" column to prevent oversight of key
items by the audit team members who may be using only a portion of the checklist for their assigned area.
Environmental regulations are continually changing both at the federal and state level. For this reason, it is
important for environmental auditors to determine if any new regulations have been issued since the publication of
each protocol document and, if so, amend the checklists to reflect the new regulations. Auditors may become aware
of new federal regulations through periodic review of Federal Register notices as well as public information bulletins
from trade associations and other compliance assistance providers. In addition, U.S. EPA offers information on new
regulations, policies and" compliance incentives through several Agency Websites. Each protocol provides specific
information regarding U.S. EPA program office websites and hotlines that can be accessed for regulatory and policy
. updates.
U.S. EPA will periodically update these audit protocols to ensure their accuracy and quality. Future updates of the
protocols will reflect not only the changes in federal regulations but also public opinion regarding the usefulness of
these documents. Accordingly, the Agency would like to obtain feedback from the public regarding the format, style
and general approach used for the audit protocols. The last appendix in each protocol document contains a user
satisfaction survey and comment form. This form is to be used by U.S. EPA to measure the success of this tool and
future needs for regulatory checklists and auditing materials.
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An environmental auditing program is an integral part of any organization's environmental management system
(EMS). Audit findings generated from the use of these protocols can be used as a basis to implement, upgrade, or
benchmark environmental management systems. Regular environmental auditing can be the key element to a high
quality environmental management program and will function best when an organization identifies the "root causes"
of each audit finding. Root causes are the primary factors that lead to noncornpliance events.' For example a
violation of a facility's wastewater discharge permit may be traced back to breakdowns in management oversight,
information exchange, or inadequate evaluations by untrained facility personnel.
As shown in Figure 1, a typical approach to auditing involves three basic steps: conducting the audit, identifying
problems (audit findings), and fixing identified deficiencies. When the audit process is expanded, to identify and
correct root causes to noncornpliance, the organization's corrective action part of its EMS becomes more effective.
In the expanded model, audit findings (exceptions) undergo a root cause analysis to identify underlying causes to
noncornpliance events. Management actions are then taken to correct the underlying causes behind the audit findings
and improvements are made to the organizations overall EMS before another audit is conducted on the facility.
Expanding the audit process allows the organization to successfully correct problems, sustain compliance, and
This document is intended solely for guidance. No statutory or regulatory vi
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
prevent discovery of the same findings again during subsequent audits. Furthermore, identifying the root cause of
an audit finding can mean identifying not only the failures that require correction but also successful practices that
promote compliance and prevent violations. In each case a root cause analysis should uncover the failures while
promoting the successes so that an organization can make continual progress toward environmental excellence.
Audit
*S
Improve
Environmental
Mgmt, System
Effectiveness
t-
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!
**
s
Identify
Problems
PiPl
iv'aiY
Fix
Problems
Develop Actions
to Correct
Underlying
Causes
Analyze
Exceptions
for
Cause/Effect
*
Group Findings
for Common
Causes
+
Examine each
Group for
Underlying
Causes
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
vu
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
This Page Intentionally Left Blank
This document is intended solely For guidance. No statutory or regulatory vin
requirements are in any way altered by any stalement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
Section II
Audit Protocols
This audit protocol applies to facilities that store and manage petroleum, hazardous substances, and hazardous waste
in underground and/or aboveground storage tanks regulated under the Resource Conservation and Recovery Act •
(RCRA). U.S. EPA has developed separate audit protocol documents that pertain to generators of hazardous waste
and treatment storage and disposal facilities (TSDFs). Information is provided below for obtaining copies of these
documents and other compliance assistance materials available from U.S. EPA,
Not all checklist items will be applicable to a particular facility. Guidance is provided on the checklists to direct the
auditor to the regulations typically applicable to the type of storage tanks managed on the site. In addition to the
regulations contained in this document, auditors should also be aware of two additional tank related requirements
under the federal Clean Air Act:
1, 40 CFR 60, Subpart Kb: Standards of Performance for Volatile Organic Liquid Storage Vessels (Including
Petroleum Liquid Storage Vessels) for Which Construction, Reconstruction or Modifications Commenced After
July 23, 1984.
2. 40 CFR 63, Subpart OO: National Emission Standards for Tanks-Level 1.
Audit guidance and technical information regarding the federal Clean Air Act is provided in a separate series of
documents titled Protocol for Conducting Environmental Audits under the Clean Air Act (Volumes I and H) and is
expected to be available in the year 2000.
There are numerous environmental regulatory requirements administered by federal, state and local government.
Each level of government may have a major impact on areas at the facility that are subject to the audit. Therefore
auditors are advised to review federal, state, and local regulations in order to perform a comprehensive audit.
The Resource Conservation and Recovery Act, Subtitle C (1976)
The Resource, Conservation and Recovery Act (RCRA) of 1976, which amended the Solid Waste Disposal Act of
1965, addresses hazardous (Subtitle C) and solid (Subtitle D) waste management activities. Subtitle C of RCRA, 42
U.S. Code (USC) sections 6921-6939B, establishes standards and procedures for the handling, storage, treatment,
and disposal of hazardous waste. For example, RCRA prohibits the placement of bulk or noncontainerized liquid
hazardous waste or free liquids containing hazardous waste into a landfill. It also prohibits the "land disposal" of
specified wastes and disposal of hazardous waste through underground injection within 1/4 mile (0.40 km) of an
underground source of drinking water. Pursuant to Subtitle C of RCRA, the Environmental Protection Agency (U.S.
EPA) promulgated regulations at 40 CFR 260 through 299, establishing a "cradle-to-grave" system that governs
hazardous waste from the point of generation to its treatment or disposal.
The 1984 Hazardous and Solid Wastes Amendments (HSWA) greatly expanded the requirements and coverage of
RCRA. Perhaps the most significant provision of HSWA is the prohibition on the land disposal of hazardous waste.
The land disposal restrictions (LDRs) promulgated by U.S. EPA essentially ban the disposal of untreated liquid
hazardous waste or hazardous waste containing free liquids in landfills and establish treatment standards for these
wastes. In addition to the new statutory and regulatory requirements imposed by HSWA, a new subtitle to the act was
created to govern underground storage tanks (USTs). In response to this act, U.S. EPA has promulgated regulations
imposing technical standards for tank performance and management, including closure and site cleanup, and
establishing financial responsibility for tank owners and operators.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
After assessing air emissions at TSDFs, the U.S. EPA ascertained that volatile organic chemicals (VOCs) adversely
affect human health and welfare. In response, U.S. EPA promulgated three subparts of RCRA rules designed to
control VOCs. In 1990, U.S. EPA issued Subparts AA and BB, which amended 40 CFR 264 and 265. Subpart AA
governs organic chemical emissions from certain hazardous waste treatment processes, while Subpart BB governs
equipment that contains or contacts hazardous waste with at least 10% organic chemicals by weight. Subpart CC
includes requirements for controlling VOC emissions from tanks, surface impoundments, containers, and certain
miscellaneous "Subpart X" units. The Subpart CC Final Rule was signed on December 6, 1994, and the Final Rule
Amendments were signed on October 4, 1996.
RCRA encourages states to develop their own parallel regulatory programs for hazardous waste management. This
includes enacting statutory authority and operating hazardous waste regulatory programs. Many states have met the
requirements established by U.S. EPA in 40 CFR 271 (Requirements for Authorization of state Hazardous Waste
Programs) and have been approved to manage their own state programs. Many states have adopted the U.S. EPA
regulations by reference or have promulgated regulations that are identical to the U.S.-EPA regulations, while other
states have promulgated regulations stricter than the federal RCRA. These differences between individual state
regulations and the federal program require that auditors check the status of their state's authorization and then
determine which regulations apply. For example, many state UST programs also regulate heating oil tanks or other
types of tanks not regulated by the federal requirements. Since the section checklists are based exclusively on the
requirements of the federal RCRA program, the auditor should determine in what ways the applicable state program
differs from the federal program,
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UST Definition and Applicability
(40 CFR 280.10 through 40 CFR 280.12)
An UST:
1. is a tank and any underground piping connected to the tank that has at least-10 percent of its combined volume
underground, and
2. is used to store petroleum or certain hazardous substances. UST regulations apply to the several hundred
hazardous substances identified by Section 101(14) of the Comprehensive Environmental Response,
Compensation, and Liability Act of 1980 (CERCLA).
•The federal UST regulations do not apply to the following:
1. tanks with a capacity of 110 gal or less;
2. farm and residential tanks holding 1,100 gal or less of motor fuel used for noncommercial purposes;
3. tanks storing heating oil used on the premises where it is stored;
4. tanks on or above the floor of underground areas;
5. septic tanks and systems for collecting storm water and wastewater;
6. wastewater treatment tank systems (including oil-water separators) regulated by section 307(b) or 402 of the
Clean Water Act;
7. any UST,system holding hazardous wastes listed or identified under Subtitle C of the Solid Waste Disposal Act,
or a mixture of such hazardous waste and other regulated substances; •
8. surface impoundments, pits, ponds, or lagoons;
9. liquid trap or associated gathering lines directly related to oil or gas production and gathering operations;
10. flow-through process tanks;
11. emergency spill and overfill tanks;
12. equipment or machinery that contains regulated substances for operational purposes such as hydraulic lift tanks
and electrical equipment tanks;
13. pipelines regulated under the Natural Gas Pipeline Safety Act of 1968 or the Hazardous Liquid Pipeline Safety
This document is intended solely for guidance. No statutory or regulatory ' 2
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
Act of 1979 or which is an intrastate pipeline facility regulated under state laws comparable to the provisions of
these two Safety Acts; and
14, any UST system that contains a de minimis concentration of regulated substances.
The USTs listed below must comply only with interim prohibition requirements to prevent releases from deferred
UST systems (see 40 CFR 280.11) and corrective action requirements (see 40 CFR 280,60 through 40 CFR 280.67):
1. wastewater treatment tank systems (including oil-water separators) that are not regulated by section 307(b) or
402 of the Clean Water Act;
2. UST systems containing radioactive material that are regulated under the Atomic Energy Act of 1954;
3. UST systems part of an emergency generator system at nuclear power generation facilities regulated by the
Nuclear Regulatory Commission under 10 CFR 50, Appendix A;
4. airport hydrant fuel distribution systems; and
5, UST systems with field-constructed tanks.
Also, USTs storing fuel solely for use by emergency power generators do not need to meet the leak detection
requirements but must comply with all other UST requirements (see 40 CFR 280.40 through 280.45).
Leak Detection Requirements for USTs
(40 CFR 280.41 through 280.43)
Federal UST regulations require that owners and operators of all UST systems provide a method, or combination of
methods, of release detection that:
1. can detect a release from any portion of the UST and the connected piping that routinely contains stored
product;
2. is installed, calibrated, operated, and maintained in accordance with the manufacturer's instructions; and •
3. meets the specific performance requirements for each release detection method,
USTs installed after December 22,1988 must meet leak detection requirements when they are installed. USTs
installed on or before December 22, 1988 had a phased-in schedule for compliance as shown in the table below—note
that the last deadline occurred in December 1993.
Schedule for Phase-in of Release Detection
(40 CFR 280.40(c))
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
1. Secondary Containment With Interstitial Monitoring (see 40 CFR 280.43(g))
Secondary containment often uses a barrier, an outer wall, a vault, or a liner around the UST or piping.
Tanks can be equipped with inner bladders that provide secondary containment. Leaked product from the
inner tank or piping is directed towards an "interstitial" monitor located between the inner tank or piping
and the outer barrier. Interstitial monitoring methods range from a simple dipstick to a continuous,
automated vapor or liquid sensor permanently installed in the system.
2. Automatic Tank Gauging Systems (see 40 CFR 280.43(d))
A probe permanently installed in the tank is wired to a monitor to provide information on product level and
temperature. These systems automatically calculate the changes in product volume that can indicate a
leaking tank.
3. Vapor Monitoring (see 40 CFR 280.43(e))
Vapor monitoring measures product "fumes" in the soil around the UST to check for a leak. This method
requires installation of carefully placed monitoring wells. Vapor monitoring can be performed manually on
a periodic basis or continuously using permanently installed equipment.
4. Groundwater Monitoring (see 40 CFR 280.43(f))
Groundwater monitoring senses the presence of liquid product floating on the groundwater, This method
requires installation of monitoring wells at strategic locations in the ground near the tank and along the
piping runs. To discover if leaked product has reached groundwater, these wells can be checked
periodically by hand or continuously with permanently installed equipment. This method cannot be used at
sites where groundwater is more than 20 feet below the surface.
5. Other Methods Meeting Performance Standards (see 40 CFR 280.43(h))
Any technology can be used if it meets a performance standard of detecting a leak of 0.2 gallons per hour
with a probability of detection of at least 95 percent and a probability of false alarm of no more than 5
percent. Regulatory authorities can approve another method if the UST owner and operator demonstrate
that it works as well as one of the methods above and they comply with any condition the authority imposes.
There are a few additional leak detection choices with the restrictions described below: • ,
1. Tank Tightness Testing With Inventory Control ( see 40 CFR 280.43(a) and 280.43(c))
This method combines periodic tank tightness testing with monthly inventory control. Inventory control
involves taking measurements of tank contents and recording amount pumped each operating day, as well as
reconciling all this data at least once a month. This combined method must also include tightness tests,
which are sophisticated tests performed by trained professionals. This combined method can be used only
temporarily (usually for 10 years or less).
2. Statistical Inventory Reconciliation
Statistical Inventory Reconciliation (SIR), when performed according to the vendor's specifications, meets
federal leak detection requirements for USTs as follows. SIR with 0.2 gallon per hour leak detection
capability meets the federal requirements for monthly monitoring for the life of the tank and piping. SIR
with a 0.1 gallon per hour leak detection capability meets the federal requirements as an equivalent to tank
tightness testing. SIR can, if it has the capability of detecting even smaller leaks, meet the federal
requirements for line tightness testing as well.
3, Manual Tank Gauging (see 40 CFR 280.43(b))
Manual tank gauging can be used only for tanks of 2,000 gal or less capacity. This method requires keeping
the tank undisturbed for at least 36 h each week, during which the contents of the tank are measured twice at
the beginning and twice at the end of the test period. At the end of each week the results are compared to a
set of standards to determine if the tank-may be leaking (see 40 CFR 280.43(b)(4)). Only tanks of 550 gal
or less nominal capacity may use this method as the sole method of release detection. Tanks of 551 to
2,000 gal may use this method in place of manual inventory control. Tanks of greater than 2,000 gal
nominal capacity may not use this method to meet the requirements of 40 CFR 280.43.
This document is intended solely for guidance. No statutory or regulatory 4
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
Required "Probabilities" For Leak Detection
(40 CFR 280.40(a)(3))
The regulations require not only that leak detection methods be able to detect certain leak rates, but that they also
give the correct answer consistently. In general, methods must detect the specified leak rate with a probability of
detection of at least 95 percent and a probability of false alarm of no more than 5 percent. Simply stated, this means
that, of 100 tests of USTs leaking at the specified rate, at least 95 of them must be correctly detected. It also means
that, of 100 tests of non-leaking USTs, no more than 5 can be incorrectly called leaking.
Additional Leak Detection For Piping
(40 CFR 280.4 l(b) and 280.44)
Regulatory requirements for pressurized piping include the following:
1, Each pressurized piping run must have one leak detection method from'each set below (see 40 CFR
280.4 l(b)(l)):
i) An Automatic Line Leak Detector: Automatic flow restrictor ; or
ii) Automatic flow shutoff; or
iii) Continuous alarm system.
b) And One Other Method:
i) Annual line tightness test; or
ii) Monthly interstitial monitoring; or .
iii) Monthly vapor monitoring; or
iv) Monthly groundwater monitoring; or
v) Other monthly monitoring that meets performance standards:
2. The automatic line leak detector (LLD) must be designed to detect a leak at least as small as 3 gallons per hour
at a line pressure of 10 pounds per square inch within 1 hour by shutting off the product flow, restricting the
product flow, or triggering an audible or visual alarm.
3. The line tightness test must be able to detect a leak at least as small as 0.1 gallon per hour when the line pressure
is 1.5 times its normal operating pressure. The test must be conducted each year, if the test is performed at
pressures lower than 1.5 times operating pressure, the leak rate to be detected must be correspondingly lower.
4. Automatic LLDs and line tightness tests must also be able to meet the federal regulatory requirements regarding
probabilities of detection and false alarm.
5. Interstitial monitoring, vapor monitoring, groundwater monitoring, and other allowable methods have the same
regulatory requirements for piping as they do for tanks.
Leak detection requirements for USTs equipped with suction piping vary depending on the type of suction piping
installed (see 40 CFR 280.4 l(b)(2). One type of suction piping does not require leak detection if it has the following
characteristics:
1. below-grade piping operating at less than atmospheric pressure is sloped so that the piping's contents will drain
back into the storage tank if the suction is released;
2. only one check valve is included in each suction line and is located directly below the suction pump.
Suction piping that does not exactly match the characteristics noted above must have leak detection, either monthly
monitoring (using one of the monthly methods noted above for use on pressurized piping) or tightness testing of the
piping every 3 yr.
Hazardous Substance USTs
(40 CFR 280.42)
Hazardous substance USTs installed after December 22, 1988 must use secondary containment and interstitial
monitoring to provide leak detection compliance. Hazardous substance USTs installed on or before December 22,
1988 must have secondary containment and interstitial monitoring by December 22, 1998.
This document is intended solely for guidance. No statutory or regulatory 5
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
Spill and Overfill Protection and Control
(40 CFR 280.20(c) and 280.30)
Owners and operators must ensure that there is room in the UST for the delivery before the delivery occurs, and the
transfer operation must be monitored constantly to prevent overfilling and spilling. If an UST never receives more
than 25 gallons at a time, the UST does not have to meet the spill protection requirements. When a tank is overfilled,
large volumes can be released at the fill pipe and through loose fittings on the top of the tank or a loose vent pipe.
The tightness of these fittings normally would not be a problem if the tank were not filled beyond its capacity. Many
of these problems can be prevented by using overfill protection devices, such as automatic shiitoff devices, overfill
alarms, and ball float valves. If in the case of "pumped delivery" where fuel is delivered underpressure, the overfill
protection device must work compatibly with pumped deliveries, Also, overfill protection devices are effective only
when combined with careful filling practices.
USTs must be equipped to prevent spills from reaching the environment, such as the use of catchment basins, also
called "spill containment manholes" or "spill buckets." Basically, a catchment basin is a bucket sealed around the fill
pipe that traps spilled product and keeps it from reaching the environment.
Corrosion Protection
(40 CFR 280.20(a) and {b) and 280.31)
Federal rules require corrosion protection for USTs because unprotected steel USTs corrode and release product
through corrosion holes. New USTs need to match one of the following performance standards:
1. Tank and piping completely made of noncorrodible material, such as fiberglass. Corrosion protection is also
provided if tank and piping are completely isolated from contact with the surrounding soil by being enclosed in
or "jacketed" in noncorrodible material.
2, Tank and piping made of steel having a corrosion-resistant coating AND having cathodic protection. A
corrosion-resistant coating electrically isolates the coated metal from the surrounding environment to help
protect against corrosion. Asphaltic coating does not qualify as a corrosion-resistant coating. Methods of
cathodic protection include:
a) Sacrificial Anode System: Sacrificial anodes can be attached to the UST for corrosion protection.
Sacrificial anodes are pieces of metal more electrically active than the steel UST. Because these anodes are
more active, the corrosive current will exit from them rather than the UST. Thus, the UST is protected
while the attached anode is "sacrificed."
b) Impressed Current System: An impressed current system uses a rectifier to convert alternating current to
direct current. This current is sent through an insulated wire to the-anodes, which are special metal bars
buried in the soil near the UST. The current then flows through the soil to the UST system, and returns to
the rectifier through an insulated wire attached to the UST. The UST system is protected because the
current going to the UST system overcomes the corrosion-causing current normally flowing away from it.
c) Tank made of steel clad with a thick layer of noncorrodible material. This option does not apply to piping.
Galvanized steel is not a noncorrodible material.
UST Requirements for Closure and Change-in-Service
{40 CFR 280.70 - 280.74)
USTs may be closed temporarily or permanently in accordance with the requirements specified below.
Closing Temporarily
USTs may be closed temporarily for up to 12 mo if the following requirements are met:
1. Owners and operators must continue to monitor for leaks by maintaining the UST's leak detection. (Empty
USTs do not require leak detection),
2. Owners and operators of USTs must continue to monitor and maintain any corrosion protection systems.
3. In the event of a detected releases from USTs, owners and operators must take immediate action to prevent any
further releases of the regulated substance into the environment, notify the regulatory authority, and take
appropriate action to clean up the site.
This document is intended solely for guidance. No statutory or regulatory 6
requirements are in any way altered by any statemcnt(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
4. If the UST remains temporarily closed for more than 3 months, owners and operators must leave vent lines open,
but cap and secure all other lines, pumps, manways, and ancillary equipment.
Closing Permanently
USTs may be closed permanently if the following requirements are met:
1, Owners and operators must notify the regulatory authority at least thirty days before closure.
2. Owners and operators must determine if contamination from the UST is present in the surrounding environment.
If contamination is discovered, the owner and operator must begin corrective action in accordance to 40 CFR
280.60. Owners and operators must also maintain, for a period of at least three years, a record of the actions
taken to determine the presence of contamination. As an option, these records may be mailed to the regulatory
authority in lieu of maintaining them on site where the tank was closed.
3. The UST must be either excavated and removed or left in the ground providing that the tank is filled with an
inert solid material. In both cases the tank must be emptied and cleaned by removing all liquids, dangerous
vapor levels, and accumulated sludge.
Financial Responsibility Requirements
{40 CFR 280.90 through 280.116)
The financial responsibility requirements are designed to make sure that someone can pay the costs of cleaning up
leaks and compensating third-parties for bodily injury and property damage caused by leaking USTs. Either the
owner or the operator of the UST must demonstrate financial responsibility, if the owner and operator are different
individuals or firms. It is the responsibility of the owner and operator to decide which one will demonstrate financial
responsibility.
Federal and state governments and their agencies that own USTs are not required to demonstrate financial
responsibility. Local governments, however, must comply with the financial responsibility requirements.
Both the amount of financial responsibility coverage needed and the date by which it is needed are determined by the
type of operation at the facility, the amount of throughput of the lank, and the number of tanks at the facility.
Appendix A of this document contains a table which displays five groups of UST owners and operators, compliance
deadlines for each group, and required coverage amounts.
Options for demonstrating financial responsibility include:
1. Use state financial assurance funds: The state in which the facility is located may pay for some cleanup and
third-party liability costs.
2. Obtain insurance coverage: Insurance may be available from a private insurer or a risk retention group.
3. Obtain a guarantee: A guarantee may be secured for the coverage amount from another firm with whom the
owner or operator have a substantial business relationship. The provider of the guarantee has to pass a financial
test.
4. Obtain a surety bond: A surety bond is a guarantee by a surety company that it will meet the financial
responsibility obligations.
5. Obtain a letter of credit: A letter of credit is a contract involving the owner or operator, an issuer (usually a
bank), and a third party (such as the implementing agency) that obligates the issuer to help demonstrate financial
responsibility.
6. Pass a financial test: If the owner or operator has a tangible net worth of at least $10 million, they can prove
their financial responsibility by passing one of the two financial tests.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Storage .Tanks under RCRA
7, Set up a trust fund: The owner or operator may set up a fully-funded trust fund administered by a third party to
demonstrate financial responsibility.
8. Use other state methods: The owner or operator may also use any additional methods of coverage approved by
their state.
Local governments have four additional compliance methods tailored to their special characteristics: a bond rating
test, a financial test,, a guarantee, and a dedicated fund {all fully described in 40 CFR 280),
Most states have established programs that can help pay for cleanup and third-party liability costs. Owners and
operators may be able to use a state financial assurance fund to demonstrate financial responsibility.
„„.,..-T_.,.,,..,. f-r-Tr,f.-,.;,.; (,%;.v.j,tn...-v^n TvfpKTTr^T'T'T^^y]'^
KeyjComplianceRe^
Hazardous Waste Generator Requirements,
(40 CFR 262)
The responsibilities of any particular facility are based on the amount of hazardous waste being generated in one
calendar month. Typical hazardous wastes include solvents, paint, contaminated antifreeze or oil, and sludges. In
some states, waste oil and other substances have been classified as a hazardous waste and therefore need to be
included in the total amount of waste generated.
Under federal regulations there are three classifications of generators:
1. A Conditionally Exempt Small Quantity Generator (CESQG) generates no more than 100 kg (220.46 Ib.) of
hazardous waste or 1 kg (2.20 Ib.) of acutely hazardous waste in a calendar month. A CESQG also may not
accumulate on-site more than 1,000 kg (2,204.62 Ib.) of hazardous waste at any one time. When either the
volume of hazardous waste produced in one calendar month exceeds 100 kg (220.46 Ib.) or more than 1,000 kg
(2,204.62 Ib.) of hazardous waste have accumulated on-site, the facility is required to comply with the more
stringent standards applicable to a Small Quantity Generator (SQG). When the volume of acutely hazardous
waste exceeds 1 kg of spill residue, contaminated soil, waste or other debris exceeds 100 kg, then the waste is
subject to standards applicable to large quantity generators (LQGs);
2. An SQG generates between 100 kg (220.46 Ib.) and 1,000 kg (2,204.62 Ib.) of hazardous waste in a calendar
month. The hazardous waste cannot accumulate on-site for more than 180 days unless the waste is transported
more than 200 miles (321.8? km) to a treatment, storage and disposal facility (TSDF). If the hazardous waste
must be transported more than 200 miles, it can accumulate for up to 270 days. At no time is there to be more
than 6,000 kg (13,227.73 Ib.) of hazardous waste accumulated at the facility. When the volume of hazardous
waste generated in one month exceeds 1,000 kg (2,204.62 Ib.) of nonacutely hazardous waste or 1 kg (2,20 lb.)
of acutely hazardous waste or the accumulation time limit is exceeded, the facility is required to comply with the
standards for an LQG. When more than 6,000 kg (13,227.73 lb.) of hazardous waste is stored on-site, the SQG
is required to obtain a storage permit and comply with the requirements of 40 CFR 264 and 40 CFR 265;
3. An LQG generates more than 1,000 kg (2,204.62 lb.) of hazardous waste in a calendar month. (NOTE: Using
water, which weighs approximately 8.34 Ibs./gal (3,78 kg/gal or 1 kg/L) as a basis of measurement, 100 kg
(220.46 lb.) would equal about 26.4 gal (100 L) (almost one-half of a 55-gal. (208.2 L) drum); 1,000 kg
(2,204.62 lb.) would equal about 264 gal (1000 L) (almost five 55-gal. drums)).
Whether the facility is a CESQG, SQG, or a LQG determines whether and how the RCRA regulations apply to that
facility. Storage areas connected with generation points are often referred to as 90 day storage areas. Regardless of
the amount of hazardous waste generated, the regulations require every facility to test or use knowledge of materials
or processes used to determine if its waste is a listed hazardous waste or exhibits one of four hazardous
characteristics (ignitability, corrosivity, toxicity, reactivity).
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
TSDF Requirements
(40 CFR 264 and 265)
The operation of a TSDF is subject to regulation and permitting under federal and state regulations. These
regulations are both administrative as well as technical in nature. The administrative standards require that various
plans be developed to ensure that emergencies can be dealt with, waste received is properly identified, and operating
personnel are adequately trained to operate the TSDF and respond to emergencies. These administrative standards
also include requirements that the TSDF be inspected routinely, records of operations be compiled and maintained,
and reports of both routine and contingency operations be made to the applicable regulatory agency. The
administrative standards also require that a plan for ceasing operations and closing the TSDF be developed, kept on-
hand, and updated frequently.
The technical standards which are applicable to TSDFs fall into two classes: general standards which apply to all
TSDFs, and specific standards which apply to various types of facilities (e.g., container storage areas, tanks,
containment buildings, surface impoundments, waste piles, land treatment facilities, incinerators, landfills, thermal
treatment facilities, and chemical, physical, biological treatment facilities).
Administrative and technical standards are applied to a particular facility through a RCRA permit issued to a facility.
New TSDFs requiring a permit must submit a two part permit application. Part A is a short, standard form that
collects general information about the facility, while Part B of the application is much more extensive and requires
the facility to supply detailed and highly technical information. This submission must be made at least 180 days
prior to the date on which physical construction is expected to start. Once issued, RCRA permits are valid up to 10
years.
TSDFs fall into two categories: interim status facilities and permitted facilities. Interim status regulations (40 CFR
265) apply to facilities that are eligible to operate under a Part A permit while their Part B permit application is
being reviewed. Any facility that is in existence on the effective date of the statutory or regulatory amendments that
render the facility subject to permitting requirements is eligible for interim status, provided that the facility notifies
U.S. EPA of hazardous waste activity and complies with application requirements under 40 CFR 270.10. Interim
status standards are "good housekeeping" types of requirements that must be addressed until a permit is issued.
TSDF permit standards (40 CFR 264) are facility-specific requirements that are incorporated into a TSDF permit.
Hazardous Waste Storage Tanks
(40 CFR 264.190 through 264.200, 40 CFR 265.190 through 265.200,40 CFR 264.1085,40 CFR 265.1085)
Hazardous waste storage tank requirements are dependent upon the RCRA classification of the facility (e.g., SQG,
LQG or TSDF). Tanks at all three types of facilities are required to meet basic requirements including:
1. a hazardous waste may not be placed into a tank if it will cause the tank or its secondary containment system to
rupture, leak, corrode, or fail;
2. special precautions are taken' for ignilable, incompatible or reactive wastes;
3. the tank is operated using appropriate controls and practices to prevent spills and overflows;
4. periodic inspections are conducted to detect spills, corrosion, leaks, and operator error.
5, at closure, all hazardous waste and residues must be removed from the tank, peripheral equipment and
foundation structure.
Tank systems at LQG facilities and TSDFs that store hazardous waste with a high volatile organic conccniration
must meet emission standards specified under Subpart CC and BB of 40 CFR 264 and 265. These regulations also
require generators to test the waste to determine the concentration of the waste, to satisfy tank and container
emissions standards, and u> inspect and monitor regulated units.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
TSDF Requirements - Subpart CC
(40 CFR 264.1080-1091 and 40 CFR 265,1089 - 1091)
Subpart CC applies to tanks, surface impoundments, containers, and certain miscellaneous units that:
1, are not expressly exempted from the rule;
2, are subject to permit standards (40 CFR 264), interim status standards (40 CFR 265), or less-than 90-day LQG
standards (40 CFR 262.34 (a)(l)(i) or (ii) for tanks and containers); and
3. manage hazardous waste that have an average volatile organic concentration at the point of waste origination
equal to or greater than 500 parts per million by weight (ppmw).
For further information regarding the RCRA regulations, contact U.S. EPA's RCRA/UST, Superfund and EPCRA
Hotline at 800-424-9346 (or 703-412-9810 in the D.C. area) from 9 a.m. to 6 p.m., Monday through Friday. A list
of other UST documents and publications available from U.S. EPA is presented in Appendix B of this document.
This U.S. EPA hotline provides up-to-date information on regulations developed under RCRA, CERCLA
(Superfund), and the Oil Pollution Act. The hotline can assist with Section 112(r) of the Clean Air Act (CAA) and
Spill Prevention, Control and Countermeasures (SPCC) regulations. The hotline also responds to requests for
relevant documents and can direct the caller to additional tools that provide a more detailed discussion of specific
regulatory requirements.
•ww^^^v'^T^^ '»Mjj|r
11 tinnc• •**!f:InHArarnnnH.•fitnraapffianlf« ln'J W
-------
Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
Cathodic Protection Tester
A person who can demonstrate understanding of the principles and measurements of all common types of cathodic
protection systems as applied to buried or submerged metal piping and tank systems. At a minimum, such persons
must have education and experience in soil resistivity, stray current, structure-to-soil potential, and component
electrical isolation measurements of buried metal piping and tank systems (40 CFR 280,12).
CERCLA
Comprehensive Environmental Response Compensation and Liability Act of 1980 as amended (40 CFR 280.12).
Chief Financial Officer
In the case of local government owners and operators, means the individual with the overall authority and
responsibility for the collection, disbursement, and use of funds by the local government (40 CFR 280.92).
Compatible
The ability of two or more substances to maintain their respective physical and chemical properties upon contact
with one another for the design life of the tank system under conditions likely to be encountered in the UST (40 CFR
280.12).
Connected Piping
All underground piping including valves, elbows, joints, flanges, and flexible connectors attached to a tank system
through which regulated substances flow. For the purpose of determining how much piping is connected to any
individual UST system, the piping that joins two UST systems should be allocated equally between them (40 CFR
280,12).
Consumptive Use
With respect to heating oil, means consumed on the premises (40 CFR 280.12).
Controlling Interest
Direct ownership of at least 50 percent of the voting stock of another entity (40 CFR 280.92).
Corrosion Expert
A person who, by reason of thorough knowledge of the physical sciences and the principles of engineering and
mathematics acquired by a professional education and related practical experience, is qualified to engage in the
practice of corrosion control on buried or submerged metal piping systems and metal tanks. Such a person must be
accredited or certified as being qualified by the National Association of Corrosion Engineers or be a registered
professional engineer who has certification or licensing that includes education and experience in-corrosion control
of buried or submerged metal piping systems and metal tanks (40 CFR 280,12).
Deferred USTs
USTs which are exempt from meeting the requirements in 40 CFR 280 except those concerning release response and
corrective action for UST systems containing petroleum or hazardous substances in 40 CFR 280.60 through 280.67.
These tanks include (40 CFR 280.lO(c):
1. wastewater treatment tank systems
2. any UST systems containing radioactive material that are regulated under the Atomic Energy Act of 1954
3. any UST system that is a part of an emergency generator system at nuclear power generation facilities regulated
by the Nuclear Regulatory Commission under 10 CFR 50, Appendix A
4. airport hydrant fuel distribution systems
5. UST systems with field-constructed tanks.
(NOTE: See also the UST Definition and Applicability under Key Compliance Requirements for underground
storage tanks and the definition for Underground Storage Tank.)
Dielectric Material
A material that does not conduct direct electrical current. Dielectric coatings are used to electrically isolate UST
systems from the surrounding soils. Dielectric bushings are used to electrically isolate portions of the UST system
(e.g., tank from piping) (40 CFR 280.12).
This document is intended solely for guidance. No statutory or regulatory 1 ]
requirements are in any way altered by any statement(s) contained herein.
-------
Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
Director of the Implementing Agency
The U.S. EPA Regional Administrator, or, in the case of a state with a program approved under section 9004, the'
Director of the designated state or local agency responsible for carrying out an approved UST program (40 CFR
280,92).
Electrical Equipment
Any underground equipment that contains dielectric fluid that is necessary for the operation of equipment such as
transformers and buried electric cable (40 CFR 280.12).
Excavation Zone
The volume containing the tank system and backfill material bounded by the ground surface, walls, and floor of the
pit and trenches into which the UST system is placed at the time of installation (40 CFR 280.12).
Existing Tank System
A tank system used to contain an accumulation of regulated substances or for which installation has commenced on
or before December 22, 1988, Installation is considered to have commenced if (40 CFR 280.12):
1. the owner or operator has obtained all federal, state, and local approvals or permits necessary to begin physical
construction of the site or installation of the tank system
2. either a continuous on-site physical construction or installation program has begun, or the owner or operator has •
entered into any contractual obligations which cannot be canceled or modified without substantial loss for
physical construction at the site or installation of the tank system to be completed within a reasonable time.
Farm Tank
A tank located on a tract of land devoted to the production of crops or raising animals, including fish, and associated
residences and improvements. A farm tank must be located on the farm property. Farm includes fish hatcheries,
rangeland, and nurseries with growing operations (40 CFR 280.12).
Financial Reporting Year
The latest consecutive 12-mo period for which any of the following reports used to support a financial test is
prepared (40 CFR 280.92):
1. a 10-K report submitted to the SEC;
2. an annual report of tangible net worth submitted to Dun and Bradstreet; or
3. annual reports submitted to the Energy Information Administration or the Rural Electrification Administration.
"Financial reporting year" may thus comprise a fiscal or a calendar year period.
Flow-Through Process Tank
A tank that forms an integral part of a production process through which there is a steady, variable, recurring, or
intermittent flow of materials during the operation of the process. Flow-through process tanks do not include tanks
used for the storage of material prior to their introduction into the production process or for the storage of finished
products or byproducts from the production process (40 CFR 280.12).
Free-Product
A regulated substance that is present as a nonaqueous phase liquid (e.g., liquid not dissolved in water) (40 CFR
280.12).
Gathering Lines
Any pipeline, equipment, facility, or building used in the transportation of oil or gas during oil or gas production or
gathering operations (40 CFR 280.12).
Hazardous Substance UST System
Any UST system that contains a hazardous substance defined in section 101(14) of the Comprehensive
Environmental Response, Compensation, and Liability Act of 1980 (but not including any substance regulated as a
hazardous waste under subtitle C) or any mixture of such substances and petroleum, and which is not a petroleum
UST system (40 CFR 280.12).
This document is intended solely for guidance. No statutory or regulatory 12
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
Heating Oil
Petroleum that is No, 1, No. 2, No. 4-light, No. 4-heavy, No. 5--light, No. 5--heavy, and No, 6 technical grades of
fuel oil; other residual fuel oils (including Navy Special Fuel Oil and Bunker C); and other fuels when used as
substitutes for one of these fuel oils. Heating oil is typically used in the operation of heating equipment, boilers, or
furnaces (40 CFR 280.12).
Hydraulic Lift Tank
A tank holding hydraulic fluid for a closed-loop mechanical system that uses compressed air or hydraulic fluid to
operate lifts, elevators, and other similar devices (40 CFR 280.12).
Implementing Agency
U.S. EPA, or,.in the case of a state with a program approved under section 9004 (or pursuant to a memorandum of
agreement with U.S. EPA), the designated state or local agency responsible for carrying out an approved UST
program (40 CFR 280.12),
Legal Defense Cost
Any expense that an owner or operator or provider of financial assurance incurs in defending against claims or
actions brought (40 CFR 280.92):
1. by U.S. EPA or a state to require corrective action or to recover the costs of corrective action;
2. by or on behalf of a third party for bodily injury or property damage caused by an accidental release; or
3. by any person to enforce the terms of a financial assurance mechanism.
Liquid Trap •
Sumps, well cellars, and other traps used in association with oil and gas production, gathering, and extraction
operations (including gas production plants), for the purpose of collecting oil, water, and other liquids. These liquid
traps may temporarily collect liquids for subsequent disposition or reinjectipn into a production or pipeline stream,
or may,collect and separate liquids from a gas stream (40 CFR 280.12).
Local Government *
This shall have the meaning given this term by applicable state law and includes Indian tribes. The term is generally
intended to include (40 CFR 280.92):
1. counties, municipalities, townships, separately chartered and operated special districts (including local
government public transit systems and redevelopment authorities), and independent school districts authorized
as governmental bodies by state charter or constitution; and
2, special districts and independent school districts established by counties, municipalities, townships, and other
general purpose governments to provide essential services.'
Maintenance,
The normal operational upkeep to prevent an UST system from releasing product (40 CFR 280.12).
Motor Fuel
Petroleum or a petroleum-based substance that is motor gasoline, aviation gasoline, No. 1 or No. 2 diesel fuel, or any
grade of gasohol, and is typically used in the operation of a motor engine (40 CFR 280.12).
New Tank System
For USTs, a tank system that will be used to contain an accumulation of regulated substances and for which
installation has commenced after December 22, 1988 (40 CFR 280.12),
Noncommercial Purposes
With respect to motor fuel means not for resale {40 CFR 280.12).
Occurrence
An accident, including continuous or repeated exposure to conditions, which results in a release from an
underground storage tank. NOTE: This definition is intended to assist in the understanding of these regulations and
This document is intended solely for guidance. No statutory or regulatory ' 13
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
is not intended either to limit the meaning of "occurrence"' in a way that conflicts with standard insurance usage or
to preyent the use of other standard insurance terms in place of "occurrence" (40 CFR 280,92).
On the Premises Where Stored (heating oil)
UST systems located on the same property where the stored heating oil is used (40 CFR 280.12).
Operational Life
The period beginning when installation of the tank system has commenced until the time the tank system is properly
closed under Subpart G of 40 CFR 280 (40 CFR 280.12).
Operator
Any person in control of, or having responsibility for the daily operation of the UST system (40 CFR 280.12),
Overfill Release
A release that occurs when a tank is filled beyond its capacity, resulting in a discharge of the regulated substance to
the environment (40 CFR 280.12).
Owner
1, In the case of an UST system in use on November 8,1984, or brought into use after that date, any person who
.owns an UST system used for storage, use, or dispensing of regulated substances; and
2. In the case of any UST system in use before November 8, 1984, but no longer in use on that date, any person
who owned such UST immediately before the discontinuation of its use (40 CFR 280.12).
Owner or Operator
When the owner or operator are'Separate parties, refers to the party that is obtaining or has obtained financial
assurances (40 CFR 280.92). ' ' "
Person
An individual, trust, firm, joint stock company, federal agency, corporation, state, municipality, commission,
political subdivision of a state, or any interstate body. Person also includes a consortium, a joint venture, a
commercial entity, and the U.S. Government (40 CFR 280.12).
Petroleum Marketing Facilities
This include all facilities at which petroleum is produced or refined and all facilities from which petroleum is sold or
transferred to other petroleum marketers or to the public-(40 CFR 280.92).
Petroleum Marketing Firms
All firms owning petroleum marketing facilities. Firms owning other types of facilities with USTs as well as
petroleum marketing facilities are considered to be petroleum marketing firms (40 CFR 280.92).
Petroleum UST System
A UST system that contains petroleum or a mixture of petroleum with de minimis quantities of other regulated
substances.. Such systems include those containing motor fuels, jet fuels, distillate fuel oils, residual fuel oils,
lubricants, petroleum solvents, and used oils (40 CFR 280.12).
Pipe or Piping
A hollow cylinder or tubular conduit that is constructed of non-earthen materials (40 CFR 280.12).*
Pipeline Facilities
(Including gathering lines) are new and existing pipe rights-of-way and any associated equipment, facilities, or
buildings (40 CFR 280.12).
Property Damage
This shall have the meaning given this term by applicable state law. This term shall not include those liabilities
which, consistent with standard insurance industry practices, are excluded from coverage in liability insurance
This document is intended solely for guidance. No statutory or regulatory • 14
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
policies for property damage. However, such exclusions for property damage shall not include corrective action
associated with releases from tanks which are covered by the policy (40 CFR 280.92),
Provider of Financial Assurance
An entity that provides financial assurance to an owner or operator of an underground storage tank through one of
the mechanisms listed in 40 CFR 280.95-280.103, including a guarantor, insurer, risk retention group, surety, issuer
of a letter of credit, issuer of a state-required mechanism, or a state (40 CFR 280.92).
Regulated Substance
This includes (40 CFR 280.12):
1. any substance defined in section 101(14) of the CERCLA of 1980 (but not including any substance regulated as
a hazardous waste under subtitle C) .
2. petroleum, including crude oil or any fraction thereof that is liquid at standard conditions of temperature and
pressure (60 °F and 14.7 Ib/psia).
(NOTE: The term regulated substance includes, but is not limited to, petroleum and petroleum based substances
comprised of a complex blend of hydrocarbons derived from crude oil though processes of separation, conversion,
upgrading, and finishing, such as motor fuels, jet fuels, distillate fuel oils, residual fuel oils, lubricants, petroleum
solvents, and used oils.)
Release
Any spilling, leaking, emitting, discharging, escaping, leaching, or disposing from an UST into groundwater, surface
water, or subsurface soils (40 CFR 280.12).
Release Detection
Determining whether a release of a regulated substance has occurred from the UST system into the environment or.
into the interstitial space between the UST system and its secondary barrier or secondary containment around it (40
CFR 280.12).
Repair
To restore a tank or UST system component that has caused a release of product from the UST system (40 CFR
280.12).
Residential Tank
A tank located on property used primarily for dwelling purposes (40 CFR 280.12).
SARA
Superfund Amendments and Reauthorization Act of 1986 (40 CFR 280.12).
Septic Tank
A water-tight covered receptacle designed to receive or process, through liquid separation or biological digestion, the
sewage discharged from a building sewer. The effluent from such receptacle is distributed through the soil and
settled solids and scum from the tank are pumped out periodically and hauled to a treatment facility (40 CFR
280.12).
Stormwater or Wastewater Collection System
Piping, pumps, conduits, and any other equipment necessary to collect and transport the flow of surface water rue-off
resulting from precipitation, or domestic, commercial, or industrial wastewater to and from retention areas or any
areas where treatment is designated to occur. The collection of storrnwater and wastewater does not include
treatment except where incidental to conveyance (40 CFR 280.12), .
Substantial Business Relationship
The extent of a business relationship necessary under applicable state law to make a guarantee contract issued
incident to that relationship valid and enforceable. A guarantee contract is issued "incident to that relationship" if it
arises from and depends on existing economic transactions between the
guarantor and the owner or operator (40 CFR 280.92).
This document is intended solely for guidance. No statutory or tegulatory 15
requirements are in any way altered by any staternent(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
Substantial Governmental Relationship
The extent of a governmental relationship necessary under applicable state law to make an added guarantee contract
issued incident to that relationship valid and enforceable. A guarantee contract is issued "incident to that
relationship" if it arises from a clear commonality of interest in the event of an UST release such as coterminous
boundaries, overlapping constituencies, common ground-water aquifer, or other relationship other than monetary
compensation that provides a motivation for the guarantor to provide a guarantee {40 CFR 280,92).
Surface Impoundment
A natural topographic depression, man-made excavation, or diked area formed primarily of earthen materials
(although it may be lined with man-made materials) that is not an injection well (40 CFR 280.12).
Tangible Net Worth
The tangible assets that remain after deducting liabilities; such assets do not include intangibles such as goodwill and
rights to patents or royalties. For purposes of this definition, "assets" means all existing and all probable future
economic benefits obtained or controlled by a particular entity as a result of past transactions (40 CFR 280.92).
Tank
A stationary device designed to contain an accumulation of regulated substances and constructed of non-earthen
materials (e.g., concrete, steel, plastic) that provide structural support (40 CFR 280.12).
Underground Area
An underground room such as a basement, cellar, shaft, or vault, providing enough space for physical inspection of
the exterior of the tank situated on or above the surface of the floor (40 CFR 280.12).
Underground Release
Any below ground release (40 CFR 280.12).
Underground Storage Tank (UST)
Any one or a combination of tanks (including underground pipes connected thereto) that is used to contain an
accumulation of regulated substances, and the volume of which (including the volume of underground pipes
connected thereto) is 10 percent or more beneath the surface of the ground. This term does not include any (40 CFR
280.12):
1. farm or residential tank of 1100 gal or less capacity used for storing motor fuel for noncommercial purposes
2. tank used for storing heating oil for consumptive use on the premises where stored
3. septic tanks
4. pipeline facility {including gathering lines) that is regulated under:
a) the Natural Gas Pipeline Safety Act of 1968 (49 U.S.C.A. pp.1671, et. seq.), or'
b) the Hazardous Liquid Pipeline Safety Act of 1979 (49 U.S.C.A. pp. 2001, et. seq.), or
c) which is an intrastate pipeline facility regulated under state laws comparable to the provisions of the law
previously referred to in a) and b) of this definition
5. surface impoundment, pit, pond, or lagoon
6. stormwater or waste water collection system
7. flow-through process tank
8. liquid trap or associated gathering lines directly related to oil or gas production and gathering operations
9. storage tank situated in an underground area (such as a basement, cellar, mineworking, drift, shaft, or tunnel) if
the storage tank is situated upon or above the surface of the floor.
(NOTE: The definition of UST does not include any pipes connected to any tank which is described in paragraphs 1
through 9 of this definition.)
(NOTE: See also UST Definition and Applicability under Key Compliance Requirements for Underground Storage
Tanks.)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
Upgrade
The addition or retrofit of some systems such as cathodic protection, lining, or spill and overfill controls to improve
the ability of an UST system to prevent the release of product (40 CFR 280.12).
UST System or Tank System
UST, connected underground piping, underground ancillary equipment, and containment system, if any (40 CFR
280.12).
Wastewater Treatment Tank
A tank that is designed to receive and treat influent wastewater through physical, chemical, or biological methods (40
CFR 280.12).
——.^..^^™,,.^^^
eyJT.frjmj;;and^D
Aboveground Storage Tank (AST)
In relation to hazardous waste, a device that meets the definition of tank in 40 CFR 260.10 and that is situated in
such a way that the entire surface area of the tank is completely above the plane of the adjacent surrounding surface
and the entire surface area of the tank (including the tank bottom) is able to be visually inspected (40 CFR 260.10).
Aboveground Tank
A tank used to store or process used oil that is not an UST as defined in 40 CFR 280.12 (40 CFR 279.1)
Administrator
The Administrator of the Environmental Protection Agency (U.S. EPA), or his designee (40 CFR 260.10).
Average Volatile Organic (VO) Concentration
The mass-weighted average VO concentration of a hazardous waste as determined in accordance with the
requirements of 40 CFR 265.1084 (40 CFR 265.1081).
Closure Device
A cap, hatch, lid, plug, seal, valve, or other type of fitting that blocks an opening in a cover such that when the
device is secured in the closed position it prevents or reduces air pollutant emissions to the atmosphere. Closure
devices include devices that are detachable from the cover (e.g., a sampling port cap), manually operated (e.g.,
hinged access lid or hatch), or automatically operated (e.g., a spring loaded pressure relief valve) (40 CFR
265.1081).
Continuous Sea!
A seal that forms a continuous closure that completely covers the space between the edge of the floating roof and the
wall of a tank (40 CFR 265.1081).
Cover
A device that provides a continuous barrier over the hazardous waste managed in a unit to prevent or reduce air
pollutant emissions to the atmosphere. A cover may have openings (such as access hatches, sampling ports, gauge
wells) that are necessary for operation, inspection, maintenance, and repair of the unit on which the cover is used. A
cover may be a separate piece of equipment which can be detached and removed from the unit or a cover may be
formed by structural features permanently integrated into the design of the unit (40 CFR 265.1081).
Do-It-Yourself (D1Y) Used Oil Collection Center
Any site or facility that accepts, aggregates, and stores used oil collected only from household DIYs (40 CFR 279.1),
Enclosure
A structure that surrounds a tank or container, captures organic vapors emitted from the tank or container, and vents
the captured vapors through a closed-vent system to a control device (40 CFR 265.1081).
This document is intended solely for guidance. No statutory or regulatory 17
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
Exempted Hazardous Waste Management Unit
In relation to air emissions standards, this is (40 CFR 264.108Q(b) and 265,1080(b): -
1. a waste management unit that holds hazardous waste placed in the unit before December 6, 1996, and in which
no hazardous waste is added to the unit on or after December 6,1996
2. a container that has a design capacity less than or equal to 0.1 m3
3. a tank in which an owner or operator has stopped adding hazardous waste and the owner or operator has begun
implementing or completed closure pursuant to an approved closure plan
4. a surface impoundment in which an owner or operator has stopped adding hazardous waste (except to implement
an approved closure plan) and the owner or operator has begun implementing or completed closure pursuant to
an approved closure plan
5, a waste management unit that is used solely for the on-site treatment or storage of hazardous waste that is
generated as the result of implementing remedial activities required under corrective action authorities of RCRA
sections 3004(u), 3004(v), or 3008(h); CERCLA authorities; or similar federal or state authorities
6. a waste management unit that is used solely for the management of radioactive mixed waste in accordance with
all applicable regulations under the Atomic Energy Act and the Nuclear Waste Policy Act
7, a hazardous waste management'unit that the owner or operator certifies is equipped with and operating air
emissions controls in accordance with regulations promulgated as a result of the CAA
8, a tank that has a process vent as defined in 40 CFR 264.1031.
Exempted Hazardous Waste Storage Tanks
Storage tanks arc exempt from these air emission requirements if the waste management unit is one of the following
(40 CFR 264,1082(c) and 265.1083(c)):
1. tanks for which all hazardous wastes entering the unit has an average VO concentration at the point of waste
origination is less than 500 ppmw. This determination is updated at least every 12 mo.
2. tanks for which the organic content of all hazardous wastes entering the unit has been reduced by an organic
destruction or removal process that achieves any of the following conditions:
a) a process that removes or destroys the organics to a level such that the average VO concentration of the
hazardous waste at the point of waste treatment is less than the exit concentration limit established for the
process
b) a process that removes or destroys the organics contained in the hazardous waste to such a level that the
organic reduction efficiency for the process is equal to or greater than 95 percent, and the average VO
concentration of the hazardous waste at the point of waste treatment is less than 100 ppmw
c) a process that removes or destroys the organics contained in the hazardous waste to such a level that the
actual organic mass removal rate for the process is equal to or greater than the required organic mass
removal rate established for the process
d) a biological process that destroys or degrades the organics contained in the hazardous waste such that either
of the following is met:
i) the organic reduction efficiency for the process is equal to or greater than 95 percent and the organic
biodegradation efficiency for the process is equal to or greater than 95 percent
ii) the total actual organic mass biodegradation rate for all hazardous waste treated by the process is equal
to or greater than the required organic mass removal rate
e) a process that removes or destroys the organics contained in the hazardous waste and meets all the
following conditions:
i) from the point of waste origination through the point where the hazardous waste enters the process, the
hazardous waste is continuously managed in waste management units which use air emissions controls
as applicable to the waste management unit
ii) from the point of waste origination through the point where the hazardous waste enters the process, any
transfer of the hazardous waste is accomplished through continuous hard-piping or other closed system
transfer that does not allow exposure of the waste to the atmosphere
iii) the average VO concentration of the hazardous waste at the point of waste treatment is less than the
lowest average VO concentration at the point of waste origination determined for each of the individual
hazardous waste streams entering the process or 500 ppmw, whichever value is lower
f) a process that removes or destroys the organics contained in the hazardous waste to a level such that the
organic reduction efficiency for the process is equal to or greater than 95 percent and the owner or operator
This document is intended solely for guidance. No statutory or regulatory lg
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
certifies that the average VO concentration at the point of waste origination for each of the individual waste
streams entering the process is less than 10,000 ppmw
g) a hazardous waste incinerator for which the owner or operator has either been issued a final permit under 40
CFR 270 or has certified compliance with the requirements of 40 CFR 265, Subpart O
h) a boiler or industrial furnace for which the owner or operator has been issued a final permit under 40 CFR
270 or has certified compliance with the requirements of 40 CFR 266, Subpart H.
3. a tank used for biological treatment of hazardous waste such that it degrades or destroys the organics contained
in the hazardous waste such that either of the following conditions is met:
a) organic reduction efficiency for the process is equal to or greater than 95 percent and the organic
biodegradation efficiency for the process is equal to or greater than 95 percent
b) the total actual organic mass biodegradation rate for all hazardous waste treated by the process is equal to or
greater than the required organic mass removal rate
.4. tanks for which all hazardous waste placed in the unit either:
a) meets the numerical concentrations limits for organic hazardous constituents as specified in 40 CFR 280
b) has been treated by the treatment technology established by the U.S. EPA in 40 CFR 268.42 or have been
removed or destroyed by an equivalent method of treatment approved by U.S. EPA under 40 CFR
. 268.42(b),
Existing Tank
A tank that is used for the storage or processing of used oil and that is in operation, or for which installation has
commenced on or prior to the effective date of the authorized used oil program for the state in which the tank is
located. Installation will be considered to have commenced if the owner or operator has obtained all federal, state,
and local approvals or permits necessary to begin installation of the tank and if either (1) A continuous on-site
installation program has begun, or (2) The owner or operator has entered into contractual obligations (which cannot
be canceled or modified without substantial loss) for installation of the tank to be completed within a reasonable time
40 CFR 279.1). >
External Floating Roof
A pontoon or double-deck type cover that rests on the surface of the material being managed in a tank that has no
'fixedroof (40 CFR 265.1081). '.
Fixed Roof
A cover that is mounted on a unit in a stationary position and does not move with fluctuations in the level of the
material managed in the unit (40 CFR 265.1081).
Floating Membrane Cover
A cover consisting of a synthetic flexible membrane material that rests upon and is supported by the hazardous waste
being managed in a surface impoundment (40 CFR 265.1081).
Floating Roof
A cover consisting of a double deck, pontoon single deck, or internal floating cover which rests upon and is
supported by the material being contained, and is equipped with a continuous seal (40 CFR 265.1081).
Generator
Any person, by site, whose act or process produces hazardous waste identified or listed in 40 CFR 261, or whose act
first causes a hazardous waste to become subject to regulation (40 CFR 260.10).
Household Do-It-Yourselfer Used Oil
Oil that is derived from households, such as used oil generated by individuals who generate used oil through the
maintenance of their personal vehicles (40 CFR 279.1).
Household "Do-It-Yourselfer" Used Oil Generator
An individual who generates household "do-it-yourselfer" used oil (40 CFR 279.1).
This document is intended solely for guidance. No statutory or regulatory . 19
requirements are in any way altered by any statement(s) contained herein. .
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
In-Ground Tank
A device meeting the definition of tank in 40 CFR 260.10 whereby a portion of the tank is situated to any degree
within the ground, thereby preventing visual inspection of the external surface of that tank that is in the ground (40
CFR 260.10),
Internal Floating Roof
A cover that rests or floats on the material surface (but not necessarily in complete contact within) inside a tank that
has a fixed roof (40 CFR 265.1081),
Malfunction
Any sudden, infrequent, and not reasonably preventable failure of air pollution control equipment, process
equipment, or a process to operate in a normal or usual manner. Failures that are caused in part by poor maintenance
or careless operations are not malfunctions (40 CFR 265.1081).
Maximum Organic Vapor Pressure
The sum of the individual organic constituent partial pressures exerted by the material contained in a tank, at the
maximum vapor pressure causing conditions (i.e. temperature, agitation, pH.effects of combining wastes, etc.)
reasonably expected to occur in the tank (40 CFR 265.1081).
Metallic Shoe Seal
A continuous seal that is constructed of metal sheets which are held" vertically against the well of the tank by springs,
weighted levels, or other mechanisms and is connected to the floating roof by braces or other means. A flexible
coated fabric spans the annular space between the metal sheet and the floating roof (40 CFR 265.1081).
New Tank
A tank that will be used to store or process used oil and for which installation has commenced after the effective date
of the authorized used oil program for the state in which the tank is located (40 CFR 279.1).
New Tank System or New Component System
in relation to hazardous waste, a tank system or component that will be used for the storage and treatment of
hazardous waste and for which installation has commenced after July 14,1986, except however, for purposes of 40
CFR264.193(g)(2) and 265.193(g)(2), a new tank system is one for which construction commenced after July 14,
1986 (40 CFR 260.10).
No Detectable Organic Emissions
No escape of organics to the atmosphere as determined using the procedure specified in 40 CFR 265.1084(d) (40
CFR 265.1081).
Off-Specification Oil
Used oil burned for energy recovery and any fuel produced from used oil by processing, blending, or other treatment,
is subject to 40 CFR 279 requirements unless it is shown not to exceed the following allowable limits (40 CFR
279.11):
Arsenic
Cadmium
Chromium
Lead
Flash point
Total halogens
5 ppm maximum
2 ppm maximum
10 ppm maximum
100 ppm maximum
100 °F minimum
4000 ppm maximum
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
20
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
On ground Tank . . .
In relation to hazardous waste, a device meeting the definition of tank in 40 CFR 260,10 and that is situated in such a
way that the bottom of the tank is on the same level as the adjacent surrounding surface so that the external tank
bottom cannot be visibly inspected (40 CFR 260.10)< '
Petroleum Refining Facility J
An establishment primarily engaged in producing gasoline, kerosene, distillate fuel oils, residual fuel oils, and
lubricants, through fractionation, straight distillation of crude oil, redistillation of unfinished petroleum derivatives,
cracking or other processes (i.e., facilities classified as SIC 2911) (40 CFR 279.1),
Point of Waste Treatment
The point'where a hazardous waste to be treated in accordance with 40 CFR 265.1083(c)(2) exists the treatment
process, Any waste determination shall be made before the waste is conveyed, handled, or otherwise managed in a
manner that allows the waste to volatilize to the atmosphere (40 CFR 265.1081).
Processing
Chemical or physical operations designed to produce from used oil, or to make used oil more amenable for
production of fuel'oils, lubricants, or other used oil-derived product. Processing includes, but is not limited to:
blending used oil with virgin petroleum products, blending used oils to meet the fuel specification, filtration, simple
distillation, chemical or physical separation, and re-refining (40 CFR 279.1). •
Re-Refining Distillation Bottoms
The heavy fraction produced by vacuum distillation of filtered and dehydrated used oil. The composition of still
bottoms varies with column operation and feedstock (40 CFR 279.1).
Single Seal System
A floating roof having one continuous seal. This seal may be vapor-mounted, liquid mounted or a metallic shoe seal
(40 CFR 265:1081). •
Small Quantity Generator
A generator who generates less than 1000 kg of hazardous waste in a calendar month (40 CFR 260,10).
Tank
In relation to hazardous waste, a stationary device designed to contain an accumulation of hazardous waste that is
constructed primarily of non-earthen materials (e.g., wood, concrete, steel, plastic) which provide structural support
(40 CFR 260,10).
Tank
Any stationary device, designed to contain an accumulation of used oil which is constructed primarily of non-earthen
materials, (e.g., wood, concrete, steel, plastic) which provides structural support (40 CFR 279.1).
Tank System
A hazardous waste storage or treatment tank and its associated ancillary equipment and containment system (40 CFR
260.10).
Underground Tank
In relation to hazardous waste, a device meeting the definition of tank in 40 CFR 260.10 whose entire surface area is
totally below the surface and covered by the ground (40 CFR 260,10),
Unfit-for-Use Tank System
A tank system that has been determined "through an integrity assessment or other inspection to be no longer capable
of storing or treating hazardous waste without posing a threat of release of hazardous waste to the environment (40
CFR 260.10).
This document is intended solely for guidance. No statutory or regulatory . 21
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under KCRA
Used Oil
Any oil that has been refined from crude oil, or any synthetic oil, that has been used anil as a result of such use is
contaminated by physical or chemical impurities (40 CFR 279.1).
Used Oil Aggregation Point
Any site or facility that accepts, aggregates, and/or stores used oil collected only from other used oil generation sites
owned or operated by the owner or operator of the aggregation point, from which used oil is transported to the
aggregation point in shipments of no more than 55 gal. Used oil aggregation points may also accept used oil from
household DIYs (40 CFR 279.1).
Used Oil Burner
A facility where used oil-not meeting the specification requirements in 40 CFR 279.11 is burned for energy recovery
in devices identified in 40 CFR 279.61 (a) (40 CFR 279.1).
Used Oil Collection Center
Any site or facility that is registered/licensed/ permitted/recognized by a state/county/municipal government to
manage used oil and accepts/aggregates and stores used oil collected from used oil generators who bring used oil to
the collection centers in shipments of no more than 55 gal. Used oil collection centers may accept used oil from
household DIYs (40 CFR 279.1).
Used Oil Fuel Marketer •
Any person who conducts either of the following activities (40 CFR 279.1):
1. directs a shipment of off-specification used oil from their facility to a used oil burner,
2. first claims that used oil that is to be burned for energy recovery meets used oil fuel specifications in 40 CFR
279.11.
Used Oil Generator
Any person, by site, whose act or process produces used oil or whose act first causes used oil to become subject to
regulation (40 CFR 279.1).
Used Oil Processor/Re-Refiner
A facility that processes used oil (40 CFR 279.1).
Used Oil Transfer Facility
Any transportation-related facility, including loading docks, parking areas, storage areas, and other areas where
shipments of used oil are held for more than 24 h and not longer than 35 days during the normal course of trans-
portation (40 CFR 279.1).
Used Oil Transporter
Any person who transports used oil, any person who collects used oil from more-than one generator and transports
the collected oil, and owners and operators of used oil transfer facilities. Used oil transporters may consolidate or
aggregate loads of used oil for purposes of transportation, but, with the following exception, may not process used
oil. Transporters may conduct incidental processing operations that occur in the normal course of used oil
transportation (e.g., settling and water separation), but that are not designed to produce or make more amenable for
production of used oil derived products or used oil fuel (40 CFR 279.1).
Vapor Mounted Seal
A continuous seal that is mounted such that there is a vapor space between the hazardous waste in the unit and the
bottom of the seal (40 CFR 265.1081).
Volatile Organic (VO) Concentration
The fraction by weight of the volatile organic compounds in a hazardous waste expressed in terms of ppmw as
determined by direct measurement or by knowledge of the waste in accordance with the requirements of 40 CFR
265.1084 (40 CFR 265.1081).
This document is intended solely for guidance. No statutory or regulatory 22
requirements are in any way altered by any statement(s) contained herein.
-------
Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
Waste Stabilization Process
Any physical or chemical process used to either reduce the mobility of hazardous constituents in a hazardous waste
or eliminate free liquids (40 CF'R 265,1081).
UST records regarding leak detection performance and maintenance including:
- monitoring results over the last 12 months
- most recent tank tightness test(s)
- manual tank gauging records
- copies of performance claims provided by leak detection equipment manufacturers
- records of recent maintenance, repair and calibration of on-site leak detection equipment
Records of required inspections and test of corrosion protection systems
Records of repairs or upgrades to UST systems
Site assessment results of closed USTs
Spill Prevention Control and Countermeasure (SPCC) Plans
Spill Response Plans
Results of AST integrity assessments, sampling, monitoring, inspection and repair work
Notification forms and registration records for all in-service, temporarily out-of-service, and permanently closed
tanks
Financial responsibility documentation
rorawHTreMWWTO ,;r«»'«, ,?<%(!««'". r, ""•" ''^srrsM
» Bulk storage tank farms
• Transfer terminals
• Secondary containment structures
• Tank peripheral piping, manifolds, filling and dispensing areas
• Dispenser pumps and check valves
• Tank sumps, manway areas
• Leak detection equipment
* Overflow alarms or other audible and visual alarms, sight gauges
* Fill ports, catchment basins
• Oil/water separators
• Cleanup equipment (e.g. absorbent materials, fuel recovery pumps, personal protective gear)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statements) contained herein,
23
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
H5«!mp^-7"™~~r".rrr^:^—T^^^
aboveground storage tanks
American Society for Testing and Materials
blowout prevention
celcius
Clean Air Act
U.S. Army Corps of Engineers Construction Engineering Reasearch Laboratory
conditionally exempt small quantity generator
chlorofluorocarbons
Code of Federal Regulations
centimeter
square centimeter
Clean Water Act
do-it-yourself
Department of Transportation
Executive Order
Environmental Protection Agency
fahrenheit
Federal Register
foot/feet
square feet '
cubic feet
gallon
hour
inch
kilogram
kilometer
kilopascal
liter
large quantity generator
pound
meter
square meter
cubic meter
m
m3
Pg
mg
min
mL
(im
mo
MW
NFPA's
NOV
NRC
OSC
ppm
ppmw
PFA
PREP
RCRA
SQG
SPCC
microgram
milligram
minute
milliliter
micrometer
month
mega watts
National Fire Protection Association's
Notice of Violation
National Response Center
On-Scene Coordinator
part per million
part per million by weight
probability of false alarm
preparedness for response exercise program
Resource Conservation and Recovery Act
small quantity generator
Spill Prevention Control and Countermeasure Plan
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
24
-------
Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
TSDF treatment, storage, and disposal facility
USC U.S. Code
U.S. EPA U.S. Environmental Protection Agency
UST underground storage tanks
VO volatile organic
yd2 , square yard
yr year
This document is intended solely for guidance. No statutory or regulatory 25
requirements are in any way altered by any statement(s) contained herein.
-------
Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
This Page Intentionally Left Blank
This document is intended solely for guidance. No statutory or regulatory 26
requirements are in any way altered by any statement(s) contained herein.
-------
Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
fell'!-''!'1'". "'• • ' ' '!t'fi';% ffjlfl iii
ill 1 ill li ! ir •' i •• ' . Categories ', X, 111;! 1 ,! j | > ||
General
Underground Storage Tank Installation and
Upgrading
Underground Storage Tank Filling
Underground Storage Tank Repairs and Corrosion
Protection
Release Detection for Underground Storage Tanks
Underground Storage Tank Releases
Out-of-Service Underground Storage Tanks and
Closure of Underground Storage Tanks
Underground Storage Tank Documentation
Underground Storage Tank Financial Responsibility
Hazardous Waste Storage Tanks
Small Quantity Generators
Large Quantity Generators
Treatment, Storage and Disposal Facilities
Used Oil Storage Tanks
L j |{lp!Sl-'''\'URte|To:
1 ;'![>«>•"-, ;• ,;. AiiiliillliP 1
I
'FsJlii/UJJlltei1--''-' . •'•''• iy, ill li
ST. 1,1 through ST. 1,3
ST.300.1 through ST.300.6
ST.32G.iandST.320.2
ST.350.1 andST,350.2
ST.370.1 through ST.370.4
ST.380.1 through ST.3 80.7
ST.390.1 through ST.390,6
ST.400.1 through ST.400,5
ST.430. 1 through ST.430,18
ST.500.1 through ST.500.3
ST.540.1 through ST.540. 17
ST.560.1 through ST.560. 18
ST.600,1 through ST.600.7
Illil!lil!lliWS
T r 11 risPr'
'Page Number; •
29
31
37
39
41
45
51
55
59
75
77
95
113
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
27
-------
Protocol for Conducting Environmental .Compliance Audits of Storage Tanks under RCRA
This Page Intentionally Left Blank
This document is intended solely for guidance. No statutory or regulatory • 28
requirements are in any way altered by any statement(s) contained herein.
-------
Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
mm
a,. L
MMj:OMJEIA^CEJj:ATEGORYliiiiiH(i
!ii! Vi!«!! STOSSSSSISMlNffiESS ENT
, fjm P^HitUHfjiinjiiniitiiijjimM^iii^h^tijjftpfifllli1,
IwiREQUIREMENjKOR
i .tdpi';a't!if«'»i'Kfewfi»
,rti#
|M 'A'N ''/GEM ENflll. „„.
H
GENERAL
ST.l
ST.1.1, The current status of
any ongoing or unresolved
consent orders, compliance
agreements, . notice of
violations (NOVs), inter-
agency agreements, or
equivalent state enforcement
actions should be examined.
Determine if noncompliance issues have been resolved by reviewing a copy of the
previous report, consent orders, compliance agreements, NOVs, interagency
agreements, or equivalent state enforcement actions.
(NOTE; For those open items, indicate what corrective action is planned and
milestones established to correct problems.)
ST.1.2. 'Facilities are required
to comply with all applicable
federal regulatory
requirements not contained in
this checklist.
Determine if any new regulations have been issued since the finalization of this
document. If so, annotate checklist to include new standards.
Determine if the facility has activities or facilities which are regulated, but not
.addressed in this checklist.
Verify that the facility is in compliance with all applicable and newly issued
regulations.
ST. 1.3. Facilities are required
to comply with state and local
regulations concerning spill
plan arid storage tanks
management.
Verify that the facility is complying with state and local requirements.
Verify that the facility is operating according to permits issued by the state or local
agencies,'
(NOTE: Issues typically regulated by state and local agencies include:
— operational standards
- permitting requirements
- replacement and removal schedules
- cathodic protection requirements
— alarm system requirements.)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered By any statement(s) contained herein.
29
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
This Page Intentionally Left Blank
This document is intended solely for guidance. No statutory or regulatory . 30
requirements are in any way altered by any statement(s) contained herein.
-------
Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
it, t ! , , COMPLIANCE GXTEGORYi ,,,.,,,
M i*t i I i i» M mi itl | »s n $l ifiimimjisiimfitnl}mjsi!!h« n , H
J: STORAGE TANK MANAGEMENT ',',',,, •
liilwwifiiwwiiiiriii wan L&ll
ST.300
UNDERGROUND
STORAGE TANK
INSTALLATION AND
UPGRADING
ST.300.1. Existing UST
systems were required meet
:he standards for new USTs,
je upgraded, or closed by
December 22, 1998 (40 CFR
>80.10(c) and 280.21 (a)
:hrough 280,2 l(d)).
(NOTE: An existing UST system is; one used to contain an accumulation ol
regulated substances on or before December 22, 1988 or one for which installation
commenced on or before December 22, 1998.)
Verify that existing USTs meet one of the following standards:
-the performance standards for'new USTs in 40 CFR 280.20 (see checklist
items ST.300.2 through ST.300.4)
-upgrading requirements outlined in 40 CFR 280.2l(b) through 40 CFR
280.21(d) (see checklist items ST.300.1)
-closed according to 40 CFR 280.70 through 280.74 (see checklist items
ST.390.1 through ST.390.6 and ST.400.4).
Verify that, if upgrading is the chosen option, the upgrading of steel USTs
includes one of the following methods in accordance with a code of practice
developed by a nationally recognized association or independent testing
laboratory:
— internal lining according to the following requirements:
-lining is installed according to 40 CFR 280.33 (see checklist item
ST.350.2)
-within 10 yr after lining, and every 5 yr thereafter, the lined tank is
inspected internally and found to be structurally sound, with the lining
still performing in accordance with original design specifications
— cathodic protection with field-installed systems designed by a corrosion
expert, impressed current systems designed to allow determination of the
. current operating status, or an approved equivalent system and the integrity is
assured by one of the following:
— tank is internally inspected and assessed to ensure,that the tank is
structurally sound and free of corrosion holes prior to installing the
cathodic protection system
-the tank has been installed for less than 10 yr and is monitored monthly
for releases (see Appendix C of this document) in accordance with 40
CFR 280.43(d) through (h)
-the tank has been installed for less than 10 yr and is assessed for
corrosion holes by conducting two tightness tests, one before and one 3
to 6 mo after first operation of the cathodic protection system
-tank is assessed for corrosion holes by a method that is determined to
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statements) contained herein.
31
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
ij
i REQUIREMENT. OR I
}JH^urit7£,,ii!!H!^!s!Jp'i,l»;M'iS1!1'1^ nwi|M tj u
W M-AN-XCEM ENTi! it W
w !ii!i*w ."'?:'< '• if'.1. •'"'' •«!• •'• ' • -';
COMELI'ANGE CATEGORY|||j||
tili*i*rt»ijyrt!»»wiMii imifKHld iitiiifiH iiiitniiii.ii! 'ti-imuniuiw "HfHJil*i!t
STORAGE TANK MANAGEMENT|
be equally protective by the implementing agency
- internal lining combined with cathodic protection:
-if lining is installed according to requirements in 40 CFR 280.33
-if the cathodic protection system meets the following:
— field-installed systems are designed by a corrosion expert
— impressed current systems are designed to allow determination of
the current operating status
—cathodic protection systems are maintained and operated in
accordance with 40 CFR 280.31 (see checklist item ST.350.1).
Verify that metal piping that routinely contains regulated substances and is in
contact with the ground.is cathodically protected in accordance with a code of
practice developed by a nationally recognized association or independent testing
laboratory meets the following:
- field-installed systems are designed by a corrosion expert
-impressed current systems are designed to allow determination of the current
operating status
- cathodic protection systems are maintained and operated in accordance with
40 CFR 280.31 (see checklist item ST.350.1).
Verify that when spill and overfill equipment is added, it meets the standards in 40
CFR 280.20(c) {see checklist item ST.300.2) for new USTs.
[NOTE: The following types of USTs are not subject to these requirements:
- wastewater treatment tank systems
-any UST systems containing radioactive material that are regulated under the
Atomic Energy Act of 1954
-any UST system that is a part of an emergency generator system at nuclear
power generation facilities regulated by the Nuclear Regulatory Commission
under 10 CFR 50, Appendix A
- airport hydrant fuel distribution systems
-UST system with field-constructed tanks.)
'NOTE: A new UST system is one that will be used to contain an accumulation of
•egulated substances and for which installation has commenced after December
12, 1988.)
IT.300.2. New UST systems
nust be constructed in such a
nanner that they will remain
tructurally sound for their
iperating life (40 CFR
:80.10(c), 2S0.20(a), and
.80.20(b)). •
Verify that each UST is properly designed and constructed, and any portion
jnderground that routinely contains product is protected from corrosion in
iccordance with a code of practice developed by a nationally recognized
issociation or independent testing laboratory and the tank is constructed of one of
.he following materials:
— fiberglass-reinforced plastic
- steel which has cathodic protection in the following manner:
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
32
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
KB
r ' ^ JL vJtm.jrik'Vjf m~j • «rm,jp ^ **, ri
!,,,!(, , ,,i !1,,.p!.j,|lj|j|||||( }||||li()!|t|j]fl"
v? '*' T 17 /~| r» D v. 1 '
°* f t't ti '***"« uiM(ii!iHiWMMtji*itHHi*i mini.iffft.'iu H+**« r«>"iM*<**i)iIilt!i, ' '*' !S|
"STORlGE |TANKIMXNAGEMENT<1
llllll |jplMi!iiV4;t|,!j
liilSSpl.'- -All
'.•VpRAfclteE ''< < tWtfkffm
;j.j 4; p s. •..'•:.!•; j!.,,,''i..; rkitifali;!!!
— coated with a suitable dielectric material
— field installed cathodic protection designed by a corrosion expert
— impressed current systems which allow determination of current
operating status as required in 40 CFR 280.31(c) (see checklist item
ST.350.1)
- cathodic protection systems are operated and maintained in accordance
with 40 CFR 280.31 or according to a guideline established by the
implementing agency (see checklist item ST.350.1) .
— steel-fiberglass-reinforced-plastic composite
. —metal without additional corrosion protection provided that:
-the tank is installed at a site that has been determined by a corrosion
expert not to,be corrosive enough to cause it to have a release due to
corrosion during the operating life of the tank
-records are maintained for the operating life of the tank that it is in a
corrosion free environment
-tank construction and corrosion protection are determined by the
implementing agency to be designed to prevent the release or
threatened release of any stored regulated substance in a manner that is
as protective of human health and the environment as the above criteria.
'NOTE: Piping must also meet the same criteria above. However, piping cannot
je constructed of steel-fiberglass-reinforced-plastic composite.)
T-IOTE: The following types of USTs are not subject to these requirements:
- wastewater treatment tank systems
- any UST systems containing radioactive material that are regulated under the
Atomic Energy Act of 1954
— any UST system that is a part of an emergency generator system at nuclear
power generation facilities regulated by the Nuclear Regulatory Commission
under 10 CFR 50, Appendix A
— airport hydrant fuel distribution systems
— UST system with field-constructed tanks,)
IT.300.3, New UST systems
re required to be fitted with
pill and overfill prevention
quipment (40 CFR 280.10(c)
nd 280.20(c)).
Verify that spill prevention equipment will prevent a release of product to the
mvironment when the transfer hose is detached from the fill pipe.
/eriry that overfill prevention equipment does one of the following:
- automatically shuts off flow into the tank when the tank is no more than 95
percent full
- alert§ the transfer operator when the tank is no more than 90 percent full by
restricting the flow into the tank or triggering a high-level alarm
— restrict flow 30 min prior to overfilling, alert the operator with a high-level
alarm 1 min before overfilling, or automatically shut off flow into the tank so
that none of the fittings are exposed to product due to overfilling.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
33
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
BinVi a ***-* T,*«-'i"-'*-iJt* ,v• **-i'%-<*'*.w
(NOTE: This spill and overfill equipment is not required if approved equivalent
equipment is used or the UST system is filled by transfers of no more than 25 gal
at one time.)
(NOTE: All existing tanks were to be upgraded by 1998. The state may have had
an earlier deadline.)
(NOTE: The following types of USTs are not subject to these requirements:
- wastewater treatment tank systems
- any UST systems containing radioactive material that are regulated under the
Atomic Energy Act of 1954
— any UST system that is a part of an emergency generator system at nuclear
power generation facilities regulated by. the Nuclear Regulatory Commission
under 10 CFR 50, Appendix A
- airport hydrant fuel distribution systems
- UST system with field-constructed tanks.)
ST.300.4. Installation of new
UST systems must be certified
and done according to
standard practices (40 CFR
280.10(c), 280.20{d), and
280.20(e)).
Determine if new UST systems have been properly installed by reviewing records
for certification.
Verify that installation of tanks and piping is done in accordance with a code of
practice developed by a nationally recognized association or independent testing
laboratory and in accordance with the manufacturer's instructions.
Verify that one or more of the following methods of certification, testing, or
inspection is used to demonstrate compliance:'
-the installer has been certified by the tank and piping manufacturer
— the installer has been certified or licensed by the implementing agency
— the installation has been inspected and certified by a registered professional
engineer with education and experience in UST system installation
. — the installation has been inspected and approved by the implementing agency
-all work listed in the manufacturer's installation checklists has been
completed
— the owner and operator have complied with another method for ensuring
compliance that is determined by the implementing agency to be no less
protective of human health and the environment..
(NOTE: The following types of USTs are not subject to these requirements:
— wastewater treatment tank systems
— any UST systems containing radioactive material that are regulated under the
Atomic Energy Act of 1954
- any UST system that is a part of an emergency generator system at nuclear
power generation facilities regulated by the Nuclear Regulatory Commission
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
34
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
IRE.VJEWERJGHEGKS!
'
under 10 CFR 50, Appendix A
-airport hydrant fuel distribution systems
-UST system with field-constructed tanks.)
ST.300.5. UST systems must
be made of or lined with
materials compatible with the
substance stored (40 CFR
280.10(c) and 280.32).
Verify that the UST system is made or lined with materials that are compatible
with the substances stored in it.
Determine which USTs are being used to store a substance other than that for
which it was originally intended.
(NOTE: The following types of USTs are not subject to these requirements:
- wastewater treatment tank systems
- any UST systems containing radioactive material that are regulated under the
Atomic Energy Act of 1954
-any UST system that is a part of an emergency generator system at nuclear
power generation facilities regulated by the Nuclear Regulatory Commission
under 10 CFR SO, Appendix A
- airport hydrant fuel distribution systems
- UST system with field-constructed tanks.)
ST.300.6. Deferred UST
systems are required to meet
specific standards (40 CFR
280.10(c) and 280.11)
Verify that no one installs a deferred UST for storing regulated substance unless
the UST system (whether of single- or double-wall construction):
- will prevent releases due to corrosion or structural failure for the operational
life of the system
-is cathodically protected against corrosion, constructed of noneorrodible
materials, steel clad with noneorrodible material, or designed in a manner to
prevent the release or any threatened release of any stored substance
. — is constructed or lined with material that is compatible with the stored
substance.
(NOTE: UST systems without corrosion protection may be installed at a site that
is determined by a corrosion expert not to be corrosive enough to cause it to have
a release due to corrosion during its operating life. Records, documenting
compliance with this installation requirement, must be kept for the life of the tank.)
Verify that deferred systems meet the standards concerning release response and
action for USTs containing petroleum or a hazardous substance found in 40 CFR
280.60 through 280.67 (see checklist items ST.380.3 through ST.380.7 and
ST.400,5).
(NOTE: The following types of USTs are deferred USTs:
- wastewater treatment tank systems
— any UST systems containing radioactive material that are regulated under the
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
35
-------
Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
,—"•,,. --.',' ""M, ,,)'> PPW't It )(.'«'! ...... W-'i
.'! 't'i»-'.? "'''.^:f'>;.' "i": I'1- A COMP
t^$t?'Vt:-' •"# * - 'r ,' ,v , 4; Y: STORAGE
'*"i .", „'?„,, ,™', -' , , , * '""«.'»% * , '«
WMft" '(!«' "-'I '•,',«»
COMPLIANCE CATEGORY
TANK MA%iGlMENT*!%«
'". >
if! ™ . "kr - ' '".MI > ', ,
'^REGULATOR*'*'* *•*>
,
ffM ANAGEMEN.T Ifci
Atomic Energv Act of 1954
— any UST system that is a part of an emergency generator system at nuclear
power generation facilities regulated by the Nuclear Regulatory Commission
under 10 CFR 50, Appendix A
-airport hydrant fuel distribution systems
- UST system with field-constructed tanks.)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
36
-------
Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
FAN £
ST.320
UNDERGROUND
STORAGE TANK
FILLING
ST.320.1. The filling of an
UST must . include the
prevention of overfilling and
spilling of the regulated
substance (40 CFR 280,10(c)
and 280.30(a)).
Determine if there is a problem with overfilling of USTs or spills by observing the
filling operations, reviewing records, and checking the ground around the fill-lines
for visible or odorous indications of contamination.
Verify that the level of the UST is checked before a transfer is made and that the
volume available in the tank is greater than the volume of the product.to be
transferred toihe tank.
Verify that the transfer operation is monitored constantly. •
(NOTE; The following types of USTs are not subject to these requirements:
— wastewater treatment tank systems
- any UST systems containing radioactive material that are regulated under the
Atomic Energy Act of 1954
-any UST system that is a part of an emergency generator system at nuclear
power generation facilities regulated by the Nuclear Regulatory Commission
under 10 CFR 50, Appendix A
— airport hydrant fuel distribution systems
— UST system with field-constructed tanks.)
ST.320.2. Spills or overfills
from UST systems are
required to be contained,
cleaned up, and reported to
the implementing agency
within 24 h in specific
situations (40 CFR 280.10(c),
280.30(b), and 280.53).
Verify that any and all spills or overfills which meet the following criteria have
been contained, cleaned up, and reported to the implementing agency within 24 h,
or another reasonable time period specified by the implementing agency, and
corrective actions started:
— spills or overfills of petroleum that result in a release to the environment of
more than 25 gal, or another reasonable amount specified by the
implementing agency, or that caused a sheen on nearby surface water
-spills or overfills of hazardous substances that result in a release to the
environment in excess of the reportable quantity under CERCLA.
(NOTE: Spills or overfills of hazardous substances to the environment equal to or
greater than the reportable quantity must be immediately reported to the National
Response Center (NRC).)
Verify that a spill or overfill of petroleum that is less than 25 gal, or another
reasonable amount specified by the implementing agency, and a spill or overfill of
a hazardous substance that is.less than the reportable quantity is contained and
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
37
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
1W STORAGE TANK MANAGEMENT
ULi'i. » , * I 11 * 1 > 111 > i in.
|j|REGUlfATORY«M'1 f '
REQUIREMENT OR , ,*
' MANAGEMENT^ ,(',,
PRACTICE, ,;•
iffiiW«
immediately cleaned up.
Verify that, if the cleanup of these lesser quantities above cannot be accomplished
within 24 h, or another reasonable time period established by the implementing
agency, the implementing agency is notified.
(NOTE; The following types of USTs are not subject to these requirements:
- wastewater treatment tank systems
— any UST systems containing radioactive material that are regulated under the
Atomic Energy Act of 1 954
-any UST system that is a part of an emergency generator system at nuclear
power generation facilities regulated by the Nuclear Regulatory Commission
under 1 0 CFR 50, Appendix A
- airport hydrant fuel distribution systems
— UST system with field-constructed tanks.)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
38
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
MANAGEMENT,
II, *ji Nil
ST.350
UNDERGROUND
STORAGE TANK
REPAIRS AND
CORROSION
PROTECTION
ST.350.1. Steel UST systems
with corrosion protection must
meet specific requirements
(40 CFR 280.10(c) and
280.31). ' -
Determine which steel UST systems have corrosion protection.
Verify that the corrosion protection systems are operated and maintained to
continuously provide corrosion protection to the metal components of that portion
of the tank and piping that routinely contain regulated substances and are in
contact with the ground.
Verify that all UST systems equipped with cathodic protection systems are
inspected for proper operation by a qualified cathodic protection tester in
accordance with the following:
- all cathodic protection systems are tested within 6 mo of installation and at
least every 3 yr thereafter or according to another reasonable time frame
established by the implementing agency
-criteria used to determine cathodic protection is adequate is in accordance
• with a code of practice developed by a nationally recognized association.
Verify that UST systems with impressed current cathodic protection are inspected
every 60 days to ensure the equipment is running properly
Verify that inspection records are. maintained of the last three inspections for
systems with impressed current cathodic protection and of the last two inspections
for all other cathodic protection systems.
(NOTE: The following types of USTs are not subject to these requirements:
— wastewater treatment tank systems
— any UST systems containing radioactive material that are regulated under the
Atomic Energy Act of 1954
-any UST system that is a part of an emergency generator system at nuclear
power generation facilities regulated by the Nuclear Regulatory Commission
under 10 CFR 50, Appendix A
-airport hydrant fuel distribution systems
-UST system with field-constructed tanks.)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statements) contained herein.
-------
Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
COMPLIANCE CATEGORY
REV4E-WER1GHEGKS
ST.350.2. Repairs to USTs
mist be performed according
.o industry code (40 CFR
280.10(c) and 280.33).
Determine if there have been any repairs by reviewing the records and
interviewing personnel. /•
Verify that repairs to UST systems are properly conducted in accordance with a
code of practice developed by a nationally recognized association or an
independent testing laboratory.
Determine who does repairs to USTs and that the following procedures are used to
repair USTs:
-fiberglass reinforced plastic tanks may be repaired by the manufacturer's
authorized representative or in accordance with a code of practice developed
by a nationally recognized association or an independent testing laboratory
-metal pipe fittings and sections that have leaked due to corrosion must be
replaced,,whereas fiberglass pipes and fittings may be repaired according to
manufacturer's specifications.
Verify that tanks and piping that have been replaced or repaired undergo tightness
testing within 30 days following the date of completion of the repair.
(NOTE: Tanks and piping need not be tested if one of the following is met:
-repairs are internally inspected in 'accordance with a code of practice
developed by a nationally recognized association or an independent testing
laboratory
— the repaired portion is already monitored monthly for releases
— an equally protective test as determined by the implementing agency is used.)
Verify that within 6 mo of repair, tanks with cathodic protection systems are tested
as follows:
- every 3 yr thereafter for all cathodic protection systems
- every 60 days for impressed current cathodic protection systems.
Verify that records of repairs that demonstrate compliance with these requirements
are maintained for the operating life of the tank.
(NOTE: The following types of USTs are not subject to these requirements:
—wastewater treatment tank systems
— any UST systems containing radioactive material that are regulated under the
Atomic Energy Act of 1954
— any UST system that is a part of an emergency generator system at nuclear
power generation facilities regulated by the Nuclear Regulatory Commission
under 10 CFR 50, Appendix A "
- airport hydrant fuel distribution systems
— UST system with field-constructed tanks.)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
40
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
iff Ml
**^*>i'&$P^P&mmmWlm
:;;;:;;;:RE:yiEWER-CHECKS?t|
ST.370
RELEASE DETECTION
FOR UNDERGROUND
STORAGE TANKS
ST370.1. New and existing
USTs arc required to provide
a method, or combination of
methods of release detection
(40 CFR 280.10(c),
280.10(d), 280.40(a), and
280.40(d)).
Verify that owners and operators of new and existing UST systems provide a
method, or combination of methods, of release detection that:
-can detect a release from any portion of the tank and the connected
underground piping that routinely contains product-
-is installed, calibrated, operated, and maintained in accordance with the
manufacturer's instructions, including routine maintenance and service
checks for operability or running condition, and
-meets the performance requirements in 40 CFR 280.43 or 280.44, with any
performance claims and their manner of determination described in writing
by the equipment manufacturer or installer (see Appendix C of this
document).
Verify that methods used -are capable of detecting the leak rate or quantity
specified for that method with a probability of detection (Pd) of 0.95 and a
probability of false alarm (PFA) of 0.05.
Verify that-existing UST systems that cannot apply'a compliant method of release
detection are closed in accordance with 40 CFR 280.70 -through 280.74 (see
checklist item ST.390.1 through ST.390.6 and ST.400.4).
(NOTE: The following types of USTs are not subject to these requirements:
— wastewater treatment tank systems
— any UST systems containing radioactive material that are regulated under the
Atomic Energy Act of 1954
— any UST system that is a part of an emergency generator system at nuclear
power generation facilities regulated by the Nuclear Regulatory Commission
under 10 CFR 50, Appendix A
-airport hydrant fuel distribution systems
-UST system with field-constructed tanks
— UST system that stores fuel solely for use by emergency power generators.)
ST.370,2. UST systems
containing petroleum must
meet specific release detection
system requirements (40 CFR
280.10(c), 280.10(d), 280.41,
280.43, and 280.44).
Verify that tanks are monitored every 30 days using one of the following methods ,
(details of methods are provided in Appendix C of this document):
- automatic tank gauging
- vapor monitoring
-groundwater monitoring
- interstitial monitoring
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
41
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
Bf;-ar,- ... > 'i• v vi,I«'«MIiii'ihtiMiuwwiiiwm:
IjhjV-'- COMPLIANCE'CATEGORY!
lijhj Y - - COMPLI ANCE.CATEGORYii||| |fjtiyt».,(«• w
*l"f"' STORAGETANK'MlNAGiMENTH'V h''""/ ',';
-• k ^.i-rt-Mll P WPWTO
i» "'''8 ]!|!|j||ft||, P ! ' ,,, I I "'
j,i,i,i,i,u t,
'''''''' -""-H! ilflliiI Hi*I "!!l( !W ™
i RE VIEWER'CHECKS! 1P 11| j | f v * j> j -v
„!•. i i«'f I|!H till ;! i;:' s',
Inn,In,I'i«'f ''.»','5,''I>'Ki" .:
— other acceptable methods,
(NOTE; The following are exceptions:
- UST systems that meet performance standards for new or upgraded systems
(40 CFR 280.20 and 280.21, see checklist items ST.300.1 through ST.300,4)
and monthly inventory requirements may use tank tightness testing at least
every 5 yr until December 22, 1998 or until 10 yr after the tank is upgraded
or installed, whichever is later
-UST systems that do not meet performance standards for new or upgraded
systems (40 CFR 280,20 and 280.21, see checklist items ST.300.1 through
ST.3Q0.4), may use monthly inventory controls and annual tank tightness
testing until December 22, 1998, at which time the tank must be upgraded or
permanently closed
-tanks that hold less than 550 gal or less may use weekly tank gauging.)
(NOTE: See Appendix B of this document for a 'description of monthly
monitoring requirements and tank tightness testing requirements.)
Verify that underground piping'which routinely contains a regulated substance is
monitored for releases in a manner that meets one of the following requirements:
-pressurized piping:
— equipped with automatic line leak detector •
- annual tightness testing or 'monthly monitoring.
- suction piping:
— line tightness testing every 3 yr or acceptable monthly monitoring
— no release detection system is needed for suction piping which is below
grade and meets all of the following standards:
- operates at less than atmospheric pressure •
- is sloped so that contents of pipe will roll back to tank when
suction is released
- only one check valve is included in each suction line
- the check valve is located directly below and as close as practical
to the suction pump.
(NOTE: The following types of USTs are not subject to these requirements:
— wastewater treatment tank systems
— any UST systems containing radioactive material that are regulated under the
Atomic Energy Act of 1954
— any UST system that is a part of an emergency generator system at nuclear
power generation facilities regulated by the Nuclear Regulatory Commission
under 10 CFR 50, Appendix A
—airport hydrant fuel distribution systems
- UST system with field-constructed tanks
- UST system that stores fuel solely for use by emergency power generators.)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
42
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Protocol for Conducting Environmental Compliance Audits of Storage Tanhs under RCRA
!'l ! IREGUL'ATORV!
iREQUIREMENTi
,,.
l|r Mi
ORj
llll!ltiiy;«l!l 11HM reiil'l Wl BrWUFU
- •••
T.370.3. Hazardous
ibstance USTs must meet
jecifie release detection
.andards (40 CFR 28Q.10(e),
80.10(d),280.42(b)).
Verify that release detection at new hazardous substance UST systems meets all of
the following requirements:
— secondary containment systems are designed, constructed and installed to:
— contain regulated substances released from the tank system until they
are detected and removed >
-prevent the release of regulated substances to the environment at any
time during the operational life of the UST system
—be checked for evidence of a release at least every 30 days.
- double-walled tanks are designed, constructed, and installed to:
— contain a release from any portion of the inner tank within the outer
wall
— detect the failure of the inner wall
-external liners (including vaults) are designed, constructed, and installed to:
— contain 100 percent of the capacity of the largest tank within its
boundary
—prevent the interference of precipitation or ground-water intrusion with
the ability to contain or detect a release of regulated substances
-surround the tank completely (i.e., it is capable of preventing lateral as
well as vertical migration of regulated substances)
— underground piping is equipped with secondary containment systems that are
designed, constructed and installed to:
- contain regulated substances released from the tank' system until they
are detected and removed
- prevent the release of regulated substances to the environment at any
time during the operational life of the UST system
— be checked for evidence of a release at least every 30 days.
— underground piping that conveys regulated substances under pressure is
equipped with an automatic line leak detector.
[NOTE: The provisions of 40 CFR 265.193 Containment and Detection of
Releases may be used to comply with these requirements (see checklist item
3T.540.1 through ST.540.2 and ST.560.1 through ST.560.2).)
[NOTE: Other methods of release detection may be used if owners and operators
jerform all of the following:
- demonstrate to the implementing agency that an alternate method can detect a
release of the stored substance as effectively as any of the methods allowed
in 40 CFR 280,43(b) through (h) can detect a release of petroleum (see
Appendix C of this document)
-provide information to the implementing agency on effective corrective
action technologies, health risks, and chemical and physical properties of the
stored substance, and the characteristics of the UST site
— obtain approval from the implementing agency to use the alternate release
detection method before the installation and operation of the new UST
system.)
This document is intended solely for guidance, No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
43
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
-i"'^M*liW!i''!i!iV!i!-'i'BS!j!iij!'!,Si
ll^^rii-iil-llREVIEWERlGHECKS::
•I- f .tlv*"';''I!"'iJiS'!i"!iifii!f!'i'>S'Y'i>'»: I;;./.'1':il:)'i»!i!iiiiHii«ii«!>i;i-:~iiiifeiii!i4:,>«sf!;i1ifiiB!iSS,*T ;ii ;i;;
Ki%Bliiitei=!ii.!;!l!aa;a.ii.;.ii!-liii!'li!,i!.ii!.iil.M:iB;i:ii!l8ii'i!iIltii
-------
Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
',:, ;;7lRjEGUIlfATOR,Y||j
ST.380
UNDERGROUND
STORAGE TANK
RELEASES
ST.380.1. Releases from UST
systems are required to be
reported under specific
conditions (40 CFR
280.10(c), 280.40(b), and
280,50).
Verify that, when a release detection method operated in accordance with the
performance standards in 40 CFR 280.43 and 280.44 (see Appendix C in this
document) indicates a release may have occurred, the implementing agency is
notified in accordance with 40 CFR 280.50 through 280.53 (see checklist items
ST.320.2, ST.380.1 and ST.380.2).
Determine if any and all releases that meet any of the following conditions were
reported:
-released regulated substances found at the UST site or in the surrounding
area (such as the presence of free product or vapors in soils, basements,
sewer and utility lines, and nearby surface waters)
-unusual operating conditions observed such as the erratic 'behavior of
dispensing equipment or a sudden loss of product unless it is determined the
problem lies in the equipment but it is not leaking and is immediately
repaired or replaced
- monitoring results from a release detection method operated in accordance
with the performance standards in 40 CFR 280.41 and 280.42 (see Appendix
C of this document) indicates a possible release, unless one of the following
occurs:
-the monitoring device is found to be defective, and is immediately
repaired, recalibrated, or replaced, and additional monitoring does not
confirm the initial result
-in the case of inventory control, a second month of data does not
confirm the initial result.
Verify that the implementing agency was notified within 24 h (or another
reasonable time period specified by the implementing agency) of the release.
(NOTE: The following types of USTs are not subject to these requirements:
- wastewater treatment tank systems
- any UST systems containing radioactive material that are regulated under the
Atomic Energy Act of 1954
— any UST system that is a part of an emergency generator system at nuclear
power generation facilities regulated by the Nuclear Regulatory Commission
under 10 CFR 50, Appendix A
— airport hydrant fuel distribution systems
— UST system with field-constructed tanks.)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
45
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
.
X *>;}•:> i;; >;:,;•:;(.V : . »,1:.ftu K ^I
t ,•' p. i Mi;,. ii'. !'i :. '• ,1, • a I :i- -t j..:.i!;-i!.»: 6
'!•'• ti 'H it) ii'-iiH;!" •"! i i-i, t'-S'iifiji.jH ii: 11.» >f
CATEGORY
lAN'AGEME
REVIEWER GHEGKSli
liiiiiiMiiiiiiiftf ,w,i
Si
ST.380.2. All suspected
releases of a regulated
substances requiring reporting
within 7 days must be
investigated and confirmed
unless a corrective action is
started immediately as
detailed in 40 CFR 280,60
• through 280.67 (40 CFR
280.10(c) and 280.52).
Verify that all suspected releases of a regulated substances'-requiring reporting
within 7 days, or another reasonable time period specified by the implementing.
agency, are investigated and confirmed unless a corrective action is started
immediately as detailed in 40 CFR 280.60 through 280.67
Verify that confirmation is done using tightness testing to determine whether a
leak is in the tank, the delivery piping, or both.
(NOTE: If the test results for the system, tank or delivery piping indicate that a
leak has occurred, repair, replacement, or upgrade actions, and corrective actions
must be started.)
(NOTE: If the test results, for the system, tank or delivery piping do not indicate a
leak and environmental contamination is not the basis for suspecting a release, ho
further investigation is needed.)
Verify that, if environmental contamination is the basis for suspecting a leak, and
the tightness test does not indicate a leak exists, a site check is done which
measures for the presence of a release in the areas where contamination is most
likely to be present.
Verify that,, when selecting sample types, sample locations, and measurement
methods for a site check, owners and operators consider the nature of the stored
substance, the type of initial alarm or cause for suspicion, the type of backfill, the
depth of groundwater, and other factors appropriate for identifying the presence
and source of the release.
(NOTE:-If the test results or excavation zone or UST site indicate that a release
has occurred, owners and operators must begin corrective action in accordance
with 40 CFR 280.60 through 280.67 (see checklist items ST.380.2 through
ST.380.7, and ST.400.5).)
(NOTE: The following types of USTs are not subject to these requirements:
- wastewater treatment tank systems
— any UST systems containing radioactive material that are regulated under the
Atomic Energy Act of 1954
— any UST system that is a part of an emergency generator system at nuclear
power generation facilities regulated by the Nuclear Regulatory Commission
under 10 CFR 50, Appendix A
- airport hydrant fuel distribution systems
— UST system with field-constructed tanks.)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statemcnt(s) contained herein.
46
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
h,*, i1 rMrepW!1 Hi II iilll MWiWUW
III'GOMPLilANGE'iCATEGORY
PHI "i"! ! II* ItJi If II I 1M M*MH IPill.l MltlilM«JmtitmiIi,!*1{lfMI«
i,'. f I !l'litoillllllillllt.U'l 'liIllif,l,lllliIIIiiillllWi!iIUil!liiH!!lilillllHIHIII I 111
;ja ff REGULATORY »:«<
, P ill Ii - 11 i, 1 1 . ,-, • ,« ur i " • in n
I
...
REQUIREMENT .OR,1!' !
* . , tt^luHrmilrJN m Mil! i ill I s ill * .1)' ' ''H
, -MANXGEMENiEir- K
ST.380.3. Specific initial
response actions must be
performed within 24 h of a
confirmed release from
petroleum or hazardous
substance USTs (40- CFR
280.60 and 280.61).
/erify that all of the following initial response actions are performed within 24 h
)f a release from petroleum or hazardous substance USTs, or within another
easonable period of time determined by the implementing agency:
• - report the release to the implementing agency
— take immediate action to prevent any further release of the regulated
substance into the environment
- identify and mitigate fire, explosion, and vapor hazards.
NOTE: These requirements do not apply to excluded USTs under 40 CFR
!80.10(b) (see the definitions) or USTs exempted under the RCRA Subtitle C
section 3004(u) corrective action requirements.)
NOTE: A RCRA Subtitle C, Section 3004(u) UST is a UST containing a
jazardous waste at a RCRA Subtitle C permitted facility, A release from such a
JST would be handled as required under the RCRA permit's corrective action
ST.380,4. Specific initial
ibatement measures and site
:hecks must be performed
when there is a confirmed
release from petroleum or
lazardous ' substance USTs
jnless directed to do
stherwise by the
implementing agency (40
ZFR 280.60 and 280.62),
/erify that all of the following abatement actions are performed, unless the facility
s directed to do otherwise by the implementing agency:
— removal of as much of the substance as is necessary to prevent further release
from the UST system
—visual inspection of aboveground releases or exposed belowground releases
is done and further migration of the released substance into surrounding soils
and groundwaters is prevented
-continued monitoring and mitigation of any fire and safety hazards caused by
vapors or free product that may have migrated from the UST excavation zone
and entered into subsurface structures (such as sewers or basements)
— remedy hazards from contaminated soils that are excavated or exposed as a
result of release confirmation, site investigation, abatement, or corrective
action
— measurements are done for the presence of a release where the contamination
is most likely to be present unless the presence and source of the release has
previously been confirmed
— an investigation is done for the presence of free product and the removal of
free product is done as soon as possible.
/erify that within 20 days after release confirmation, or within another reasonable
icriod of time determined by the implementing agency, a report is submitted to the
mplementing agency summarizing the initial abatement steps and any resulting
nformation or data.
NOTE: These requirements do not apply to excluded USTs under 40 CFR
80.10(b) or USTs exempted under the RCRA Subtitle C Section 3004(u)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
47
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
REGULATORY.^*
,,., , , , , -
iCOMELJANCEiGATEGOJR Y-j; | M
TANK JMANA^EMENT;'[; '•
ijj»$:.|RE^^
Nll'lll I!' if*ijli!ill!;!iii«K;f'5
rSmfloMil!;. if.:i!f!bjI',1, ] jHvlv-.
corrective action requirements.)
(NOTE; A RCRA Subtitle C, Section 3004(u) UST is a UST' containing a
hazardous waste at a RCRA Subtitle C permitted facility. A release from such a
UST would be handled as required under the RCRA permit's corrective action
plan.)
ST.380.5. When there is a
confirmed release from
petroleum or hazardous
substance UST, information
about the site and nature of
the release unless must be
assembled unless directed to
do otherwise by the
implementing agency (40
CFR 280.60 and 280.63).
Verify that, unless otherwise directed to do so by the implementing agency,
owners and operators assemble information about the site and the nature of the
release, including information gained while confirming the release or completing
initial abatement measures.
Verify that, specifically, this information includes but is not limited to:
— data on the nature and estimated quantities of the release
- data from available sources and/or site investigations concerning surrounding
populations, water" quality, use and approximate locations of wells potentially
affected, subsurface soil conditions, locations of subsurface sewers,
climatological conditions, and land use
- results of site check
- results of free product investigation.
Verify that within 45 days of the release confirmation, or^another reasonable
period of time determined by the implementing agency, this information is
submitted to the implementing agency in a manner which demonstrates its
applicability and technical adequacy, or in a format required by the implementing
agency.
(NOTE: These requirements do not apply to excluded under 40 CFR 280.10(b)
USTs or USTs exempted under the RCRA Subtitle C Section 3004(u) corrective
action requirements.)
(NOTE: A RCRA Subtitle C, Section 3004(u) UST is a UST containing a
hazardous waste at a RCRA Subtitle C permitted facility. A release from such a
UST would be handled as required under the RCRA,permit's corrective action
plan.)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
48
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
• r ' > •>
., . Bj lip'•IflP I l"''"'f '•'"''I'"'" " '""< ' " ' i- "-"-.-UK lj,!,' ,'W.»,,S|« (,',!! W,
„, |Sl (irr'lCOMPLlANCE'CATEGORYi,!,,,,!,!!!!!,,!,, >„«;,»
l'|' t REGULATORY '' fc^
^REQUIREMENT OR '''
i'ffiii'u
PRACTICE"!
ST.380.6. When there is a
ionfirmed release from a
jetroleum or hazardous
substance UST and site
.nvestigations have indicated
Free product, the free product
mist be . removed to the
naximum extent practicable
is determined by the
.mplementing agency (40
CFR 280.60 and 280.64),'
•I fr*'STORAGE
iifik'j.v1'*- ! ,
i '> 'IfflH It,i (i. ir.'l.u.ii'll'i1 it ' < i»*>*ilm < !'«.«'Jitf,,i"
' ' ' '' 111 Hii'REOTEWERCHECKSii f
" !' " * iUiilil HI '' ||j]|Ij || jj||) tl™llBt«tll*IliltliHI!llII'l.iji I,,I, ''I
illiiiliiiwAni^'!*''1''','''! ;3wiBl!
I!
Determine if there are any release sites where free product has.been confirmed.
Verify that the free product is removed to the maximum extent practicable as
determined by the implementing agency while continuing initial response
measures, initial abatement measures and site checks, site investigations, and
preparing for investigations for soil and groundwater cleanup and the development
of the corrective action plan.
Verify that free product removal is done so that the spread of contamination into
previously uncontaminated zones is minimized by using recovery and disposal
techniques appropriate to the hydrogeologic conditions at the site, and thai
properly treats, discharges, or disposes of recovery byproducts in compliance with
applicable regulations.
Verify that the abatement of free product migrations is used as a minimum
objective for the design of the free product removal system and any flammable
products are handled in a safe and competent manner to prevent fires 01
explosions,
Verify that, unless directed otherwise by the implementing agency, within 45 days
after confirming a release, a free product removal report is submitted to the
implementing agency that includes at least the following:
-the name of the person responsible for implementing the free producl
removal measures
-the estimated quantity, type, and thickness of free product observed ot
measured in wells,, boreholes, and excavations
— the type of free product recovery system used
-whether there will be any on-site or off-site discharges during the recovery
operation and where this discharge will be located
— the type of treatment applied to, and the effluent quality exempted from, any
discharge
—the steps that have been or are being taken to obtain any required permits foi
any discharge
-the disposition of the recovered free product.
(NOTE: These requirements do not apply to excluded USTs under 40 CFR
280.10(b) or USTs exempted under the RCRA Subtitle C Section 3004(u)
corrective action requirements.)
(NOTE: A RCRA Subtitle C, Section 3004(u) UST is a UST containing a
hazardous waste at a RCRA Subtitle C permitted facility, A release from such a
UST would be handled as required under the RCRA permit's corrective action
plan.)
This document is intended solely for guidance. No statutory or regulatory
•requirements are in any way altered by afiy statement(s) contained herein.
49
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
ST.380.7. When there is a
confirmed release , from
petroleum or hazardous
substance USTs, an
investigation for soil and
groundwater contamination is
required to be performed (40
CFR 280.60 and 280,65).
Verify that an investigation of the release, the release site, and possibly affected
surrounding areas has been done and identified if any-of the following conditions
exists:
- evidence that groundwater wells have been affected by the release
- free product is found to need recovery
-evidence that contaminated soil is in contact with groundwater
-the implementing agency requests an investigation based on the potential
effects of contaminated soil or groundwater on nearby surface water and
groundwater resources.
Verify that the results of the investigation are submitted to the implementing
agency as soon as practicable, or according to a time schedule defined by the
implementing agency.
(NOTE: These requirements do not apply to excluded USTs under 40 CFR
280.10(b) or USTs exempted under the RCRA. Subtitle C Section 3004(u)
corrective action requirements.)
(NOTE: A RCRA Subtitle C, Section 3004(u) UST is a UST containing a
hazardous waste at a RCRA Subtitle C permitted facility, A release from such a
UST would be handled as required under the RCRA permit's corrective action
plan.)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
50
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
i * if i i> 'ls\ Ji
* Mil !},
, * IP
if
COMPLIANCE'CATEGORY!
1 { i 1 4 i j I (Hl(ll ,im SWHiJlj I S Hfl!l|ltifi£linl
rtiykSTORAGE TANK MANAGEMENT'
lit ^'..l , \ I i" i"< %
REQUIREMENjOR
' MANAGEMENT*! *
PRACTICE1*'!!
'TSpTHi'lr MMMMnil MTinWriHI'MMIf'MMNH!
jREyiEWER'CHECKSt
IP ,nn M •
i i *• '
ST.390
OUT-OF-SERVICE
UNDERGROUND
STORAGE TANKS AND
CLOSURE OF
UNDERGROUND
STORAGE TANKS
ST.390.1. USTs which are
temporarily closed must have
continued maintenance (40
CFR280.10('c) and 280,70).
Determine if there are any temporarily closed USTs.
Verify that proper operation and maintenance is being performed for the
following:
- corrosion protection in accordance with 40 CFR 280.31 (see checklist iterr
ST.350.1)
-release detection in accordance with 40 CFR 280.40 through 280.45 (set
checklist items ST.370.1 through ST.370,3, ST.380.1, and ST.400.3).
(NOTE: 40 CFR 280.50 through 280.53 (see checklist items ST.320.2, ST.380.1,
and ST.380.2) and 40 CFR 280.60 through 280.67 (see checklist items ST.380.2
through ST.280.7, and ST.400.5) must be complied with if a release is suspected
or confirmed.)
(NOTE: If the UST is empty, release detection is not required.)
(NOTE: An empty UST is one which has no more than 2.5 cm (1 in.) of residue
or less than 0.3 percent by weight of total capacity of the UST system.)
Verify that, if a UST system is temporarily closed for 3 mo or more, the vent lines
are open and functioning and all other, lines, pumps, manways, and ancillary
equipment are capped and secured.
Verify that, if the UST has been temporarily closed for more than 12 rno, the US!
must be permanently closed if the UST does not meet the standards for a new US!
in 40 CFR 280.20, or an upgraded UST in 40 CFR 280.21 (see checklist items
ST.300,1 through ST.300.4) except that spill and overfill requirements do noi
have to be met.
Verify that, if the UST has been temporarily closed for more than 12 mo and does
not meet the standards for new or upgraded USTs, it is permanently closed at th«
end of this 12 mo period in accordance with 40 CFR 280.71 through 280.74 (see
checklist items ST.390.1 through ST.390.6 and ST.400.4) unless the
implementing agency has provided an extension of the 12 mo temporary closun
period.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
51
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
'! <1 «l 111' i'l"' I'l"''' '"'"• '(i '•'' '•'" MtlsMWiitf'l i'l'I W B'PI
| !lj!jj;l jlj^ejpMPLIANCE^CATEiGpJ^Yj |||
iltji,!,!,!! ;'41(yi|tftfltMWiMSB(B»A!ts'«>t'>!*itf i!•iiHilHUJIIUHIIillliylll',
Pi
REGUIi'ATORYtiliLllf:!
v
(NOTE: A site assessment has to be done before applying for an extension.)
(NOTE: The following types of USTs are not subject to these requirements:
— wastewater treatment tank systems
-any UST systems containing radioactive material that are regulated under the
Atomic Energy Act of 1954
- any UST system that is a part of an emergency generator system at nuclear
power generation facilities regulated by the Nuclear Regulatory Commission
under 10 CFR 50, Appendix A
- airport hydrant fuel distribution systems
- UST system with field-constructed tanks.)
ST.390.2. Notification must
be given to the implementing
agency for any permanent
closure or change in service
30 days in advance or within a
reasonable time frame as
determined by the
implementing agency (40
CFR 280.10(c) and
280.71 (a)).
Determine if there are plans to permanently close or make a change in service to
any USTs.
Verify that the implementing agency was notified of intent to permanently closure
or make the change-in-service at least 30 days, or within a reasonable time frame
as determined by the implementing agency, before start of the activity unless the
activity is in response to corrective action.
Verify that the required assessment of the excavation zone is done after notifying
the implementing agency but before completion of the permanent closure or
change-in-service.
(NOTE: The following types of USTs are not subject to these requirements:
— wastewater treatment tank systems
- any UST systems containing radioactive material that are regulated under the
. Atomic Energy Act of 1954
- any UST system that is a part of an emergency generator system at nuclear
power generation facilities regulated by the Nuclear Regulatory Commission
under 10 CFR 50, Appendix A
- airport hydrant fuel distribution systems
- UST system with field-constructed tanks.)
STJ90.3. UST closure must
be done according to specific
requirements {40 CFR
280.10(c) and 280.7l(b)).
Verify mat-tanks being permanently closed are emptied and cleaned by removing
all liquids and accumulated sludges.
Verify that, if USTs have been, or are being, permanently closed, one of the
following methods is used:
- it is removed from the ground
-it is left in place with the contents removed, and filled with an inert solid
material.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
52
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
fiipii"""!.<\i-y••>..'!'if«,!;;ji;iMi|i:<|;iii:l;!iin' ¥•?.
lilllllilliiiillliiiyiililllhii! iliil
Determine if there are any possible abandoned USTs, and if there are plans to
:lose the UST in an appropriate manner,
[NOTE: The following types of USTs are not subject to these requirements:
- wastewater treatment tank systems
— any UST systems containing radioactive material that are regulated under the
Atomic Energy Act of 1954
—any UST system that is a part of an emergency generator system at nuclear
power generation facilities regulated by the Nuclear Regulatory Commission
under 10 CFR 50, Appendix A
— airport hydrant fuel distribution systems
- UST system with field-constructed tanks.)
ST.390.4. Prior to a change-
n-service, tanks must be
mptied and cleaned and a site
.ssessment conducted (40
:FR 280.10(c) and
:80.71(c)).
"NOTE: Continued use of an UST system to store a non-regulated substances is
considered a change-in-service.)
Verify that, prior to the change, the tank was emptied and cleaned by removing all
iquid and accumulated sludge.
Verify that, prior to the change, a site assessment in accordance with 40 CFR
?80.72 (see checklist item ST.390.5) was done.
"NOTE: The following types of USTs are not subject to these requirements:
— wastewater treatment tank systems
-any UST systems containing radioactive material that are regulated under the
Atomic Energy Act of 1954
-any UST system that is a part of an emergency generator system at nuclear
power generation facilities regulated by the Nuclear Regulatory Commission
under 10 CFR 50, Appendix A
— airport hydrant fuel distribution systems
— UST system with field-constructed tanks.)
IT.390.5. Prior to permanent
losure or change in service,
neasurements must be made
or the presence of a release
/here contamination is most
ikely to be present al the site
40 'CFR 280.10(c) and
80.72).
Verify that prior to permanent closure or change in service, measurements for the
jresence of a release are done where contamination is most likely to be' present at
he UST site.
/erify that in selecting sample types, sample locations, and measurement methods,
jwners and operators have considered the method of closure, the nature of the
stored substances, the type of backfill, the depth to groundwater, and other
ippropriate factors for identifying the presence of a release.
NOTE: These requirements are met if one of the leak detection methods outlined
n 40 CFR 280.43 (e) (vapor monitoring) and 280.43(f) (groundwater monitoring)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way-altered by any statement(s) contained herein.
53
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
COMPLIANCE
STORKGEVTANK
'If |! if Pi if
i pif! •! f m 1
•tWtHlitiill!.«lilkl:! 'i 'i
P .REVIE WERpHE'GKS
(see Appendix C of this document) are in operation at the time of closure and there
is no indication of release.)
Verify that in the event contaminated soils, contaminated groundwater or free
product is discovered, corrective action is undertaken in accordance with 40 CFR
280.60 through 280.67 (see checklist items ST.380.3 through 380.7).
(NOTE: The following types of USTs are not subject to these requirements:
- wastewater treatment tank systems
- any UST systems containing radioactive material that are regulated under the
A tomic Energy Act of 1954
-any UST system that is a part of an emergency generator system at nuclear
power generation facilities regulated by the Nuclear Regulatory Commission
under 10 CFR 50, Appendix A
- airport hydrant fuel distribution systems
- UST system with field-constructed tanks.)
ST.390.6. When directed by
the implementing agency, the
excavation zone of UST
systems permanently closed
prior to December 22, 1988
must be assessed and the UST
closed according to current
standards (40 CFR 280.10(c)
and 280.73).
Determine if there are any USTs which were permanently closed prior to
December 22, 1988.'
Verify that the excavation zone of these USTs has been assessed and cleanup done
as needed when directed to do so by the implementing agency.
(NOTE: The following types of USTs are not subject to these requirements:
— wastewater treatment tank systems
— any UST systems containing radioactive material that are regulated under the
Atomic Energy Act of 1954
— any UST system that is a part of an emergency generator system at nuclear
power generation facilities regulated by the Nuclear Regulatory Commission
under 10 CFR 50, Appendix A
-airport hydrant fuel distribution systems
- UST system with field-constructed tanks.)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statements) contained herein.
54
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
4;.;.v.; •• •• COMPMANGE!CATEGORY; ; n;
tVs. Y '''''''''' ~' ~ '. -,.H!>Mii#ititiH'tf!*t«,t*j:'i!:!'»*;v i i {>;;*!''•'
liHiiSTORAGETANTC'MANAGEMEN-T
i;&ti:':."::""" • • • ' •'ifgii)!'ajniniiiiNiiiK«itiii!W:h,
-------
Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
t hiul'irfrtiNiI'llIfltliili''!!"1)" i" Ml'' j'l I «.
COMPIil ANCE .CATEGORY), i!w ,fl J
i ' H» (I lam I lilllluiini Hi t»l(fli J« « ni I I »"y I
'j STORAGE TANK'MANAGEMENTll
B'"llilii%!''i li' i! .1 in ' ,i , >,' f ill"
REGUljATpRY ,' J
REQUIREMENT,'OR
^ iClAWAGEMENT " '•
''!"if PRACTICE., sjlVl III
"•
,j! 'HHiiiii ,«i||jl|ji'
>i. i. ,!',. hi1 t iM
t'RE VIEWER
,,
Hil
CHECKS
ST.400.2, Specific reporting
requirements are required to
be met in relation to USTs (40
CFR 280.10(c) and
280.34(a)).
Verify that the following has been submitted to the implementing agency when
applicable:
-notifications of new USTs, including certification of installation
-release reports, including suspected releases, spills and overfills
-planned or complete corrective actions, including: initial abatemeni
measures, initial site characterization, free product removal, investigation ol
soil and groundwater cleanup, and the corrective action plan
-notice of permanent closure or change.in service.
(NOTE: The following types of USTs are not subject to these requirements:
- wastewater treatment tank systems
-any UST systems containing radioactive material that are regulated under the
Atomic Energy Act of 1954
- any UST system that is a part of an- emergency generator system at micleai
power generation facilities regulated by the Nuclear Regulatory Commission
under 10 CFR 50, Appendix A
-airport hydrant fuel distribution systems
- UST system with field-constructed tanks.)
ST.400.3. Specific
recordkeeping requirements
must be met in relation to
USTs (40 CFR 280.10(c),
280.34(b), 280.34(c), 280.45,
and 280.74).
Verify that records are kept of the following:
-a corrosion expert's analysis of site corrosion potential if corrosion
protection equipment is not used
-documentation of operation of corrosion protection equipment
• - documentation of UST system repairs
- recent compliance with release detection requirements
-results of any site investigations at permanent closure
-demonstration of compliance with closure requirements.
Verify that records are available at one of the following:
— at the UST site and immediately available for inspection
-at a readily available alternative site and provided for inspection upon
request.
(NOTE: in relation to permanent closure records, owners and operators have the
additional alternative of mailing closure records to the implementing agency il
they cannot be kept at the site or an alternative site.)
Verify that records relating to release detection are kept as follows:
— all written performance claims pertaining to any release detection system
used, and the manner in which these claims have been justified or tested bj
• the equipment manufacturer or installer, for 5 yr, or another reasonable
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
56
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
.. . i
ii! liiji'illfi'i!-! Wi i4:ki:A:;Sii»!§; K
Sf ^GOMPlil'ANGEjGA-TEGORYi I i ,
$;3ii3i J$iHsaJ^jtWlW'«W^ tl
LWSTpRA'GElTANK'iMA'NAG EM ENTi
luifcltiiifMWtii^
Jl-
HHi|.i|ji|ll-^|;
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
ST.400.5. In specific
ituations, a facility will be
equired to have a corrective
iction plan (40 CFR 280.66
ind 280.67).
free product removal, and soii/groundwater cleanup, the implementing agency has
required the owner and operators to submit additional information or to develop
and submit a corrective action plan for responding to contaminated soils and
ground water. • '
Verify that, if a plan is required, it is submitted according to a schedule and format
established by the implementing agency.
(NOTE: Alternatively, owners and operators may, after fulfilling the requirements
for site characterization, free product removal, and soil/ground water cleanup,
choose to submit a corrective action plan for responding to contaminated soil and
ground water.)
Verify that the plan provides for adequate protection of human health and the
environment as determined by the implementing agency.
(NOTE: The implementing agency will approve the corrective action plan only
after ensuring that implementation of the plan will adequately protect human
health, safety, and the environment.)
Verify that the approved plan is implemented, and the owners and operators
monitor, evaluate, and report the results of implementing the plan in accordance
with a schedule and in a format established by the implementing agency,
(NOTE: Owners and operators may, in the interest of minimizing environmental
contamination and promoting more effective cleanup, begin cleanup of soil and
ground water before the corrective action plan is approved provided that they do
all of the following:
-notify the implementing agency of their intention to begin cleanup
-comply with any conditions imposed by the implementing agency, including
halting cleanup or mitigating adverse consequences from cleanup activities
-incorporate these self-initiated cleanup measures in the corrective action plan
that is submitted to the implementing agency for approval.)
(NOTE: For each confirmed release that requires a corrective action plan, the
implementing agency must provide notice to the public by means designed to
reach those members of the public directly affected by the release and the planned
corrective action, This notice may include, but is not limited to, public notice in
local newspapers, block advertisements, public service announcements,
publication in a state register, letters to individual households, or personal contacts
by field staff. The implementing agency must ensure that site release information
and decisions concerning the corrective action plan are made available to the
public for inspection upon request.)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
58
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
COMPLIANCE CATEGORY
STORAGE TANK MANAGEMENT
i'fil
IIIIREGULATORY-'- • •
1 ?lli|liffiM^^o|::
mm.
ill
ST.430 .
UNDERGROUND
STORAGE TANK
FINANCIAL
RESPONSIBILITY
of ail petroleum USTs except as otherwise provided below (40>CFR 280,90):
— owners and operators of petroleum UST systems are subject to these
requirements if they are in operation on or after the date for required
compliance in 40 CFR 280.91 (All dates for required compliance have
passed.)
- State and federal government entities whose debts and liabilities are the debts
and liabilities of a state or the United States are exempt from these
requirements,
— these requirements do not apply to owners and operators of any excluded
USTs or deferred USTs (see definitions)
- if the owner and operator of a petroleum underground storage tank are
separate persons, only one person is required to demonstrate financial
responsibility; however, both parties are liable in event of noncompliance.)
ST.430.1. Owners or
operators of petroleum USTs
must demonstrate financial
responsibility for taking
corrective action and for
compensating third parties for
bodily injury and property
damage caused by accidental
releases arising from the
operation of petroleum UST
(40 CFR 280.93, 280.95,
280.100(a), 280.101(a),
280.113).
(NOTE: An owner or operator is no longer required to maintain financial
responsibility for a UST after the tank has been properly closed or, if correcti¥e
action is required, after corrective action has been completed and the tank has
been properly closed as required by 40 CFR 280, subpart G.)
Verify that owners or operators of petroleum underground storage tanks
demonstrate financial responsibility for taking corrective action- and for
compensating third parties for bodily injury and property damage caused by
accidental releases arising from the operation of petroleum USTs in at least the
following per-occurrence amounts:
- for owners or operators of petroleum USTs located at petroleum marketing
facilities, or that handle an average of more than 10,000 gal/rno of petroleum
based on annual throughput for the previous calendar year; $1 million
— for all other owners or operators of petroleum USTs; $500,000.
Verify that owners or operators of petroleum USTs demonstrate financial
responsibility for taking corrective action and for compensating third parties for
bodily injury and property damage caused by accidental releases arising from the
operation of petroleum USTs in at least the following annual aggregate
amounts:
- for owners or operators of 1 to 100 petroleum USTs, $1 million
— for owners or operators of 101 or more petroleum USTs, $2 million
(NOTE: In relation .to the annual aggregate amounts, "petroleum UST" means a
single containment unit and does not mean combinations of single containment
units.)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statements) contained herein.
59
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
REG U tAT.OjRYiijfif !-v;
OR £ ;;""
of mechanisms is in the full amount specified if the owner or operator uses
separate mechanisms or separate combinations of mechanisms to demonstrate
financial responsibility for:
-taking corrective action
- compensating third parties for bodily injury and property damage caused by
sudden accidental releases
- compensating third parties for bodily injury and property damage caused by
nonsu'dden accidental releases.
(NOTE: If an owner or operator uses separate mechanisms or separate
combinations of mechanisms to demonstrate financial responsibility for different
petroleum USTs, the annual aggregate required shall be based on the number of
tanks covered by each such separate mechanism or combination of mechanisms.)
Verify that owners or operators review the amount of aggregate assurance
provided whenever additional petroleum USTs-are acquired or installed.
Verify that, if the number of petroleum USTs for which assurance must be
provided exceeds 100, the owner or operator demonstrates financial responsibility
in the amount of at least $2 million of annual aggregate assurance by the
anniversary of the date on which the mechanism demonstrating financial
responsibility became effective.
Verify that, if assurance is being demonstrated by a combination of mechanisms,
the owner or operator demonstrates financial responsibility in the amount of at
least $2 million of annual aggregate assurance by the first-occurring effective date
anniversary of any one of the mechanisms combined (other than a financial test or
guarantee) to provide assurance.
(NOTE: The amounts of assurance required under this section exclude legal
defense costs. The required per-occurrence and annual aggregate coverage
amounts do not in any way limit the liability of the owner or operator.)
( {NOTE: For USTs located in a state that does not have an approved program,
and where the state requires owners or operators of underground storage tanks to
demonstrate financial responsibility for taking corrective • action and/or for
compensating third parties for bodily injury and property damage, an owner or
operator may use a state-required financial mechanism to meet the demonstration
of financial responsibility requirements if the U.S. EPA Regional Administrator
determines that the state mechanism is at least equivalent to the federally-specified
financial mechanisms,)
(NOTE: An owner or operator may satisfy, the requirements for demonstration of
financial responsibility for USTs located in a state where U.S. EPA is
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
60
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
•=... ; ; :: :<
liti;!-£:. „.. .Si!lviluLb.'jijiljj*J >l t.
;; :wrRE0JJ IREMENT: OR
administering me requ rcmcn s .sii assures that monies will be
available from a state fund or state assurance program to cover costs up to the
specified limits or otherwise assures that such costs will be_paid if the U.S. EPA
Regional Administrator determines that the state's assurance is at least equivalent
to the federally-specified financial mechanisms.)
ST.430.2. Certain
mechanisms and combination
'of mechanisms can be used to
demonstrate financial
responsibility (40 CFR
280.94).
Verify that appropriate financial mechanisms, or combination of mechanisms are
used to demonstrate compliance.
(NOTE: An owner or operator, including a local government owner .or operator,
may use any one or combination of the mechanisms listed in 40 CFR 280.95
through 280.103 to demonstrate financial responsibility for one or more UST.)
{NOTE: A local government owner or operator may use any one or combination
of the mechanisms listed-in 40 CFR 280.104 through 280.107 to demonstrate
financial responsibility for one or more USTs.)
Verify that, if an owner or operator uses a guarantee or surety bond to establish
financial responsibility, the attorney general of the state in which the USTs are
located has submitted a written statement to the implementing agency that a
guarantee or surety bond appropriately executed is a legally valid and enforceable
obligation in that state.
Verify that, if an owner or operator uses self-insurance in combination with a
guarantee for the purpose of meeting the requirements of the financial test, the
financial statements of the owner or operator are not consolidated with the
financial statements of the guarantor.
ST.430.3. When an owner or
operator chooses to use a
financial test to provide
financial assurance, certain
requirements must be met {40
CFR 280.95).
(NOTE: An owner or operator, and/or guarantor, may satisfy the requirements of
280.93 by passing a financial test. See Appendix D of this document for more
details on the financial test.)
Verify that, if an owner or operator using the test to provide financial assurance
finds that he/she no longer meets the requirements of the financial test based on
the year-end financial statements, the owner or operator obtains alternative
coverage within 150 days of the end of the year for which financial statements
have been prepared.
(NOTE: If the owner or operator fails to obtain alternate assurance, within 150
days of finding that he or she no longer, meets the requirements of the financial test
based on the year-end financial statements, or within 30 days of notification.by the
Director of the implementing agency that he or she no longer meets the
requirements of the financial test, the owner or operator must notify the Director of
such failure within 10 days.)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
61
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
CATREGO
WEgUIREMENT OR j
ST.430.4. When using a
guarantee to satisfy financial
responsibility demonstration
requirements, certain
parameters must be met (40
CFR 280.96).
Verify that the guarantor is:
- a firm that docs one of the following:
-possesses a controlling interest in the owner or operator
— possesses a controlling interest in a firm that posses a controlling
interest in the owner or operator
-is controlled through stock ownership by a common parent firm that
possesses a controlling interest in the owner or operator; or,
-a firm engaged in a substantial business relationship with the owner or
operator and issuing the guarantee as an act incident to that._business
relationship.
Verify that, within 120 days of the close of each financial reporting year, the
guarantor demonstrates that it meets the financial test criteria in 40 CFR 280,95
(see Appendix D of this document) based on year-end financial statements for the
latest completed financial reporting year by completing the letter from the chief
financial officer described in 40 CFR 280.95(d) and delivers the letter to the
owner or operator.
Verify that, if the guarantor fails to meet the requirements of the financial test at
the end of any financial reporting year, within 120 days of the end of that financial
reporting year the guarantor sends by certified mail, before cancellation or
nonrenewal of the guarantee, notice to the owner or operator. ••
Verify that, if the Director of the implementing agency notifies the guarantor that
he no longer meets the requirements of the financial test, the guarantor notifies the
owner or operator within 10 days of receiving such notification from the Director.
(NOTE: The guarantee will terminate no less than 120 days after the date the
owner or operator receives the notification, as evidenced by the return receipt. The
owner or operator must obtain alternative coverage.)
(NOTE:, See 40 CFR 280.96(c) for the specific wording of the guarantee.)
Verify that an owner or operator who uses a guarantee establishes a standby trust
fund when the guarantee is obtained.
(NOTE: Under the terms of the guarantee, all amounts paid by the guarantor
under the guarantee will be deposited directly into the standby trust fund in
accordance with instructions from the Director of the implementing agency. This
standby trust fund must meet the requirements specified in 40 CFR 280.103.) •
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
62
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
•;;•;•;'«*• I RJEGJJ LjAT£R¥j| j?|
|^RE<^
5' ' !f
ST.430.5. When using
liability insurance to satisfy
financial responsibility
demonstration requirements,
certain parameters must be
met (40 CFR 2 80.97).
Verify that the liability insurance is obtained from a qualified insurer or risk
•etention group.
'NOTE; Such insurance may be in the form of a separate insurance policy or an
endorsement to an existing insurance policy.)
Verify that each insurance policy is amended by an endorsement or evidenced by a
:ertification of insurance.
;NOTE: See 40 CFR 280.97(b)(l) and 280.97(b)(2) for the exact language
•equired in the endorsement or certification.)
Verify that each insurance policy is issued by an insurer or a risk retention group
hat, at a minimum, is licensed to transact the business of insurance or eligible to
jrovide insurance as an excess or surplus lines insurer in one or more states.
ST.430.6. When using a
surety bond to satisfy financial
responsibility demonstration
requirements, certain
parameters must be met (40
CFR 280.98).
Verify that the surety company issuing the bond is among those listed as
icceptable sureties on federal bonds in the latest Circular 570 of the U.S.
Department of the Treasury.
>fOTE: See the text of 40 CFR 280.98(b) for the exact wording of the surety
jond.)
Verify that, under the terms of the bond, the surety will become liable on the bond
>bligation when the owner or operator fails to perform as guaranteed by the bond.
TSOTE: In all cases, the surety's liability is limited to the per-occurrence and
uinual aggregate penal sums.)
Verify that, an owner or operator who uses a surety bond to satisfy the financial
•esponsibility requirements, establishes a standby trust fund when the
iurety bond is acquired.
>JOTE: Under the terms of the bond, all amounts paid by the surety under the
jond will be deposited directly into the standby trust fund in accordance with
nstructions from the Director.)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
63
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
:«! l^^B^^MIji^lilSSS^lii I
if STORAGE TAN^MAIVAGEMENM
1' .:(?fiM
ifi REQUIREMENiTjOR!
,1 ij i j|'(IHJl^liJliSilfi!j!!S'Ut«mE|jmii!Siii>ll»ll|jii|j
' '
Mil
3T.430.7. When using an
[revocable standby letter of
;redit to satisfy financial
•esponsibility demonstration
•equirements, certain
>arameters must be met (40
:FR 280,99),
Verify that the issuing institution is an entity that has the authority to issue letters
of credit in each state where used and whose letter-of-credit operations are
regulated and examined by a federal or state agency,
(NOTE: See the text of 40 CFR 280.99(b) for exact wording of the irrevocable
standby letter of credit.)
Verify that an owner or operator who uses a letter of credit to satisfy the financial
responsibility demonstration requirements also establishes a standby trust fund
when the letter of credit is acquired.
(NOTE: Under the terms of the letter of credit, all amounts paid pursuant to a
draft by the Director of the implementing agency will be deposited by the issuing
institution directly into the standby trust fund in accordance with instructions
from the Director.)
Verify that the letter of credit:
- is irrevocable with a term specified by the issuing institution
-provides that credit be automatically renewed for the same term as the
original term, unless, at least 120 days before the current expiration date, the
issuing institution notifies the owner or operator by certified mail of its
decision not to renew the letter of credit.
(NOTE: Under the terms of the letter of credit, the 120 days will begin on the date
when the owner' or operator receives the notice, _ as evidenced by the return
receipt.)
iT.430.8. When using a trust
und to satisfy financial
•esponsibility demonstration
equirements, certain
larameters must be met (40
:FR280.102).
Verify that the trustee is an entity that has the authority to act as a trustee and
whose trust operations are regulated and examined by a federal agency or an
agency of the state in which the fund is established.
Verify that the trust fund is accompanied by a formal .certification of
acknowledgment.
(NOTE: See 40 CFR 280.103(b)(l) and 280.1Q3(b)(2) for exact wording of the
trust fund and the certification.)
Verify that the trust fund, when established, is funded for the full required amount
of coverage, or funded for part of the'required amount of coverage and used in
combination with other mechanisms that provide the remaining required coverage.
(NOTE: If the value of the trust fund is greater than the required amount of
coverage, the owner or operator may submit a written request to the Director of the
implementing agency for release of the excess. If other acceptable financial
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
64
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
:STORAGE-.TANK'-MAN AGEMENT
assurance is substituted for all or part of the trust fund, the owner or operator may
submit a written request to the Director of the implementing agency for release of
the excess within 60 days of receiving such a request from the owner or operator,
the Director of the implementing agency will instruct the trustee to release to the
owner or operator such funds as the Director specifies in writing.)
ST.430.9. When using a
guarantee, a surety bond, or
an irrevocable standby letter
of credit to satisfy financial
responsibility demonstration
requirements, a standby trust
fund must be established (40
CFR280.103).
Verify that the trustee of the standby trust fund is an entity that has the authority to
act as a trustee and whose trust operations are regulated and examined by a federal
agency or an agency of the state in which the fund is established,
{NOTE: See 40 CFR 280.103(b)(l) and 280.103(b)(2) for exact wording of the
standby trust fund and the certification.)
(NOTE: The Director of the implementing agency will instruct the trustee to
refund the balance of the standby trust fund to the provider of financial assurance
if the Director determines that no additional corrective action costs or third-party
liability claims will occur as a result of a release covered by the financial
assurance mechanism for which the standby trust fund was established.)
(NOTE: An owner or operator may establish one trust fund as the depository
mechanism for all funds.)
ST.430.10. A general purpose
local government owner or
operator and/or local
government serving as a
guarantor must satisfy the
requirements for
demonstrating • financial
responsibility according to
specific requirements (40
CFR 280.104).
Verify that, when a general purpose local government owner or operator and/or
local government serving as a guarantor,satisfies the demonstration of financial
responsibility requirements by having a currently outstanding issue or issues of
general obligation bonds of $1 million or more, excluding refunded obligations,
the bonds have a Moody's rating of Aaa, Aa, A, or Baa, or a Standard & Poor's
rating of AAA, AA, A, or BBB.
(NOTE: Where, a local government has multiple outstanding issues, or where a
local government's bonds are rated by both Moody's and Standard and Poor's, the
lowest rating must be used to determine eligibility. Bonds that are backed by credit
enhancement other than municipal bond insurance may not be considered in
determining the amount of applicable bonds outstanding.)
Verify that, if a local government owner or operator or local government serving
as a guarantor is not a general-purpose local government and does not have the
legal authority to issue general obligation bonds, they satisfy the demonstration of
financial responsibility requirements by having a currently outstanding issue or
issues of revenue bonds of $1 million or more, excluding refunded issues and by
also having a Moody's rating of Aaa, A, A, or Baa, or a Standard & Poor's rating
of AAA, AA, A, or BBB as the lowest rating for any rated revenue bond issued by
the local government.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
65
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under ECRA
' -,™,,REGUL'ATORY'],'„„
* WS^iijites^imsm»flrM»mtiKmrt H f wu
PRACTICE
(NOTE: Where bonds are rated by both Moody's and Standard & Poor's, the
lower rating for each bond must be used to determine eligibility. Bonds that are
backed by credit enhancement may not be considered in determining the amount
of applicable bonds outstanding.) , ,
Verify that the local government owner or operator and/or guarantor maintains a
copy of its bond rating published within the last 12 mo by Moody's or Standard &
Poor's,
Verify that, in order to demonstrate that it meets the local government bond rating
test, the chief financial officer of a general purpose local government owner or
operator and/or guarantor signs a letter.
(NOTE: The exact wording of the letter can be found in 40 CFR2SQ. 104(d).)
Verify that, in order to demonstrate that it meets the local government bond rating
test, the chief financial officer of local government owner or operator and/or
guarantor other than a general purpose government signs a letter.
(NOTE: The exact wording of the letter can be found in 40 CFR 280.104(e).)
(NOTE: The Director of the implementing agency may require reports of financial
condition at any time from the local government owner or operator, and/or local
government guarantor. If the Director finds, on the basis of such reports or other
information, that the local government owner or operator, and/or guarantor, no
longer meets the local government bond rating test requirements .of 40 CFR
280.104, the local government owner or operator must obtain alternative coverage
within 30 days after notification of such a finding.)
Verify that, if a local government owner or operator using the bond rating test to
provide financial assurance finds that it no longer meets the bond rating test
requirements, the local government owner or operator obtains alternative coverage
within 150 days of the change in status.
ST.430,11. When using a
local government financial
test to satisfy the requirements
for demonstrating financial
responsibility, certain
parameters must be met (40
CFR 280.105).
(NOTE: To be eligible to use the financial test, the local government owner or
operator must have the ability and authority to assess and levy taxes or to freely
establish fees and charges.)
Verify that the local government owner or operator has the following information
available, as shown in the year-end financial statements for the latest completed
fiscal year:
-total revenues: Consists of the sum of general fund operating and non-
operating revenues including net local taxes, licenses and permits, fines and
forfeitures, revenues from use of money and property, charges for services,
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statements) contained herein.
66
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
CMtrANCE'CATEGORY
• ...REGULATORY;!,,, ,
|REQUIREMENT^bR||jl|
"
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
' •• t il'li IP i'1*'! iivHirij4iif'ii'iriiiiii,!!!"ir.»iHt:wniM u
-------
Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
IS,'Jill!
IIHit'iil Ji'm'
i t .„, iii,,iii|ii]|(iittlil!f.liililfllii|!*lliiiil!iiit|i(llii!ilii[
, -COMPLIANCE" CATEGORY
! !t. !SI!ll!|
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
I ' liil HF.viRWir.nTrr'wir.fi
funded. This 7 yr period is hereafter referred to as the "pay-in-period,")
(NOTE: In addition to this payment, one of the following requirements must be
met:
- the local government owner or operator has available bonding authority for
an amount equal to the difference between the required amount of coverage
and the amount held in the dedicated fund, or
- the local government owner or operator has a letter signed by the appropriate
state attorney general stating that the use of bond authority will not increase
the local government's debt beyond the legal debt ceiling established by the
relevant state laws and that prior voter approval is not necessary.)
(NOTE: See the text of 40 CFR 280.lQ7(c) for the formula used to calculate the
amount of payment to be made in the pay-in-period.)
Verify that the chief financial officer of the local government owner or operator
and/or guarantor signs a letter supporting the use of the local government fund
mechanism,
(NOTE: See 40 CFR 180.107(d) for the exact wording of this letter.)
ST.430.14. Substitution of
alternate financial assurance
mechanisms is acceptable if
done according to specific
provisions (40 CFR 280.108).
Verify that, if the owner or operator substitutes any alternate financial assurance
mechanisms, an effective financial assurance mechanism or combination of
mechanisms that satisfies the requirements of 40 CFR 280.93 is maintained at all
times.
(NOTE: After obtaining alternate financial assurance, an owner or operator may
cancel a financial assurance mechanism by providing notice to the provider of
financial assurance.)
ST.43Q.15. The cancellation
or nonrenewal by a provider
of financial assurance must
meet specific requirements
(40 CFR 280.109)
Verify that, if a provider of financial assurance cancels or fails to renew an
assurance mechanism, the provider sends a notice of termination is sent by
certified mail to the owner or operator.
(NOTE: Termination of a local government guarantee, a guarantee, a surety bond,
or a letter of credit may not occur until 120 days after the date on which the owner
or operator receives the notice of termination, as evidenced by the return receipt.)
(NOTE: Termination of insurance or risk retention coverage, except for non-
payment or misrepresentation by the insured, or state-funded assurance may not
occur until 60 days after the date on which the owner or operator receives the
notice of termination, as evidenced by the return receipt. Termination for non-
payment of premium or misrepresentation by the insured may not occur until a
minimum of 10 days after the date on which the owner or operator receives the
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
70
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
WlSi IP H
si.Sii»ii!iiiiai
REVIEWER CHECKS
lotice of termination, as evidenced by the return receipt.)
Verify that, if a provider of financial responsibility cancels or fails to renew for
•easons other than incapacity of the provider, the owner or operator obtains
ST.430.16. Owners 01
operators are required to meei
reporting and recordkeeping
requirements in relation tc
documentation of financial
responsibility (40 CFR
280.1 10 and 280. 111).
iltemate coverage within 60 days after receipt of the notice of termination.
Verify that, if the owner or operator fails to obtain alternate coverage within 60
lays after receipt of the notice of termination, the owner or operator notifies the
Director of the implementing agency of such failure and submits _ all of the
'ollowing:
-the name and address of the provider of financial assurance
- the effective date of termination •
— the evidence of the financial assistance mechanism subject to the termination.
Verify that the owner or operator submits the forms documenting current evidence
>f financial responsibility to the Director of the implementing agency:
- within 30 days after the owner or operator identifies a release from an UST
required to be reported under 40 CFR 280.53 or 40 CFR 28.0.61
- if the owner or operator fails to obtain alternate coverage, within 30 days
after the owner or operator receives notice of;
— commencement of a voluntary or involuntary proceeding under Title 1 1
(Bankruptcy), U.S. Code, naming a provider of financial assurance as a
debtor
. -suspension or revocation of the authority of a provider of financial
assurance to issue a financial assurance mechanism
- failure of a guarantor to meet the requirements of the financial test
-other incapacity of a provider of financial assurance
-as required by 40 CFR 280.95(g) (see checklist item number ST ,430,1) if an
owner or operator using the test to provide financial assurance finds that
he/she no longer meets the requirements of the financial test based on the
year-end financial statements
-as required 40 CFR 280.109(b) (see checklist item ST.430.15) if a provider
of financial responsibility cancels or fails to renew for reasons other than
incapacity of the provider.
/erify that the owner or operator certifies compliance with the financial
esponsibility requirements in the new tank notification form when notifying the
ippropriate state or local agency of the installation of a hew UST under 40 CFR
180.22 (see checklist item ST.400.1).
/erify that owners or operators maintain evidence of all financial assurance
nechanisms used to demonstrate financial responsibility for a UST until released
rom the requirements through tank closure and/or completion of corrective
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
71
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
COMPLIANCE CATEGORY
STORAGE TANK MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
actions.
Verify that owners or operators maintain such evidence at the UST site or the
owner's or operator's place of work.
(NOTE: Records maintained off-site must be made available
upon request of the implementing agency.)
Verify that the following types of evidence of financial
responsibility are maintained:
-a copy of the instrument worded as specified when the owner or operator is using
the financial test of self-insurance, a guarantee, insurance and risk retention group
coverage, a surety bond, a letter of credit, a trust fund, local government bond
rating test, local government financial test, local government guarantee, or local
government fund
-a copy of the chief financial officer's letter based on year-end financial statements
for the most recent completed financial reporting year when using
-a financial test or guarantee, or a local government financial test or a local
government guarantee supported by the local government financial test
-a copy of the signed standby trust fund agreement and copies of any amendments
to the agreement when the owner or operator is using a guarantee, surety bond, or
letter of credit
-a copy of the signed standby trust fund agreement and copies of any amendments
to the agreement when a local government owner or operator is using a local
government guarantee
-a copy of its bond rating published within the last 12 mo by Moody's or Standard
& Poor's when a local government owner or operator is using the local government
bond rating test
-a copy of the guarantor's bond rating published within the last 12 mo by Moody's
or Standard & Poor's when a local government owner or operator is using the local
government guarantee, where the guarantor's demonstration of financial
responsibility relies on the bond rating test
-a copy of the signed insurance policy or risk retention group coverage policy, with
the endorsement or certificate of insurance and any amendments to the agreements
when an owner or operator is using an insurance policy or risk retention group
coverage
-a copy of any evidence of coverage supplied by or required by the state when an
owner or operator is covered by a state fund or other state assurance
-copies of the following when an owner or operator is using a local government
fund:
-a copy of the state constitutional provision or local government statute,
charter, ordinance, or order dedicating the fund
-year-end financial statements for the most recent completed financial
reporting year showing the amount in the fund
-if the fund is established using incremental funding backed bonding
72
This document is intended solely for guidance. No statutory or regulatory
Requirements are in any way altered by any statements) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
,i
REQyiREMENT;OR\sl,
ilRLm *J il*kT. i '^TllTl It M f *.TT»'.!!' :'••' 'l'.t
authority: the financial statements showing the previous year's balance,
the amount of funding during the year, and the closing balance in the
fund
— if the fund is established using incremental funding backed by bonding
authority: documentation of the required bonding authority, including
either the results of a voter referendum, or attestation by the State
Attorney General
-a copy of the guarantor's year-end financial statements for the most recent
completed financial reporting year showing the amount of the fund when the
local government owner or operator is using the local government guarantee
supported by the local government fund
-an updated copy of a certification of financial responsibility when an owner
or operator is using the financial test of self-insurance, a guarantee, insurance
and risk retention group coverage, a surety bond, a letter of credit, a state-
required mechanism, a state fund or other state assurance, a trust fund, a
standby trust fund, • local government bond rating test, local government
financial test, local government financial test, local government guarantee, or
local government fund.
[NOTE: See 40 CFR 280.1 ll(b)(l) for exact wording of the certification of
financial responsibility.)
Verify that the certification of financial responsibility is updated whenever the
financial assurance mechanism used to demonstrate financial responsibility
:hanges,
Verify that the copies of the chief financial officer's letter based on year-end
financial statements for the most recent completed financial reporting year when
jsing a financial test or guarantee, or a local government financial test or a local
government guarantee supported by the local government financial test are on file
10 later than 120 days after the close of the financial reporting year.
ST.430.17. When an owner or
operator or provider of
financial assurance undergoes
bankruptcy or other
incapacity, specific
requirements must be met (40
CFR 280.114).
Verify that, within 10 days after commencement of a voluntary or involuntary
Droceeding under Title 11 (Bankruptcy), U.S. Code, naming an owner or operator
is debtor, .the owner or operator notifies the Director of the implementing agency
3y certified mail of such commencement and submits the appropriate forms
documenting current financial responsibility.
Verify that, within 10 days after commencement of a voluntary or involuntary
sroceeding under Title 11 (Bankruptcy), U.S. Code, naming a guarantor providing
financial assurance as debtor, such guarantor notifies the owner or operator by
;ertified mail of such commencement as required under the terms of the guarantee.
Verify that, within 10 days after commencement of a voluntary or involuntary
aroceeding under Title 11 (Bankruptcy), U.S. Code, naming a local government
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
73
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
GOMEBMNGE .CATEGORY
. . . .
SORGE TA'NK«M'ANAGEM'ENT
S|RE(jyiREMEWT,OR[:i
* *' *!; Vj*3"» *.T" i 'i^c«-'ifct«w^».r'T1^(H! IK
IRE VIEWER GHEGKS
owner or operator as debtor, the local government owner or operator notifies the
Director of the implementing agency by certified mail of such commencement and
submit the appropriate forms documenting current financial responsibility.
Verify that, within 10 days after commencement of a voluntary or involuntary
proceeding under Title 11 (Bankruptcy), U.S. Code, naming a guarantor providing
a local government financial assurance as debtor, such guarantor notifies the local
government owner or operator by certified mail of such commencement as
required under the terms of the guarantee.
(NOTE: An owner or operator who obtains financial assurance by a mechanism
other than the financial test of self-insurance will be deemed to be without the
required financial assurance in the event of a bankruptcy or incapacity of its
provider of financial assurance, or a suspension or revocation of the authority of
the provider of financial assurance to issue a guarantee, insurance policy, risk
retention group coverage policy, surety bond, letter of credit, or state-required
mechanism.)
Verify that the owner or operator obtains alternate financial assurance within 30
days after receiving notice of bankruptcy or incapacity.
Verify that, if the owner or operator does not obtain alternate coverage within 30
days after such notification, he notifies the Director of the implementing agency.
Verify that, within 30 days after receipt of notification that a state fund or other
state assurance has become incapable of paying for assured corrective action or
third-party compensation costs, the owner or operator obtains alternate financial
assurance.
a standby
upon the
ST.430.18. When
trust. is funded
instruction of the Director of
the implementing agency with
funds drawn from a guarantee,
local government guarantee
with standby trust, letter of
credit, or surety bond, and the
amount in the standby trust is
reduced below the full amount
of coverage required, certain
actions are required (40 CFR
280.115).
.Verify that, at any time after a standby trust is funded upon the instruction of the
Director of the implementing agency with funds drawn from a guarantee, local
government guarantee with standby trust, letter of credit, or surety bond, and the
amount in the standby trust is reduced below the full amount of coverage required,
the owner or operator, by the anniversary'date of the financial mechanism from
which the funds were drawn, does one of the following:
-replenishes the value of financial assurance to equal the full amount of
coverage required
-acquires another financial assurance mechanism for the amount by which
funds in the standby trust have been reduced
(NOTE: The full amount of coverage required is the amount of coverage to be
provided by 40 CFR 280.93. If a combination of mechanisms was used to provide
the assurance funds which were drawn upon, replenishment shall occur by the
earliest anniversary date among the mechanisms.)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
74
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
, •
;)'1t'n\*J TV-
iI/'N" '
' ' "
REVIEWERlCHEGKSi
REQUIREMENT OR >'
J 'MANAGEMENT
111!?'PRACTICE
HAZARDOUS WASTE
STORAGE TANKS
ST.500
Small Quantity Generators
(SQGs)
ST.500,1. SQGs accumulating
hazardous waste on-site in
tanks must comply with
certain tank requirements (40
CFR 262.34(d)(3) and
265.201 (a) through
265.20 l(c)).
Verify that:
- when used to treat or store ignitable or reactive wastes, the tank prevents:
— generation of extreme heat or pressure, fire or explosions, or violent
reactions
— production of uncontrolled toxic mists, fumes, dusts, or gases in
quantities that would threaten human health or the environment
, -production of uncontrolled flammable fumes or gases in quantities that
would pose a risk of fire or explosion
-damage to structural integrity of the device or facility
- threats to human health or the environment through other means
-no treatment reagent or hazardous wastes are placed in the tank that would
cause it to rupture, leak, corrode, or otherwise fail before the end of its
intended life
- uncovered tanks have at least 60 cm (2 ft) of freeboard unless the tank has a
containment structure, drainage control system, or a diversion structure with
a volume that equals or exceeds the capacity of the top 60 cm (2 ft) of the
tank
—continuous feed tanks have a wastefeed cutoff or other stop/bypass system.
Verify that the following are inspected at the indicated times:
- discharge control equipment at least once each operating day
- monitoring equipment (pressure and temperature gauges) at least once each
operating day
- waste level in tank at least once each operating day
-construction material of the tank for corrosion or leakage weekly
-surrounding area for erosion, leakage and/or contamination at least weekly.
(NOTE: Both small quantity and large quantity generators' that accumulate
hazardous waste in tanks must also comply with other requirements specified
under 40 CFR 262. Auditors should pay particular attention to the requirements
under 40 CFR 262.34(a)(2), (a)(3), and (a)(4). These requirements and related
audit guidance are further outlined in separate U.S. EPA audit protocols titled:
Protocol for Conducting Environmental Compliance Audits of Hazardous Waste
Generators under RCRA (U.S. EPA Document No. EPA-305-B-98-005) and
Protocol for Conducting Environmental Compliance Audits of TSDFs under
This document is intended solely for guidance. No statutory or regulatory
requirements are ia any way altered by any statement(s) contained herein.
75
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
Ii
,,,, CfMPLI ANjEEljEATEGOR Y
y;lr,j, STdlScE TANK'M'SNA'G'EMENT,
s
F ''-REQUIREMENT.! OR ;„„
•'••
,'
>! • 1% |i
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
c. !
*
1 'l"'!» Mill'1 I'll |l,!! CtlWIIII
,jj', y^gOM^JUJA^GEjJCATEGORYjf1111'1
;!? iCToiRlc'ilif'I'NKSM KN A'SlMENiTil •
IlMl
HAZARDOUS WASTE
TANKS
5T.540
,,ar»e Quantity Generators
(NOTE: See Appendix E of this document for guidance on the schedule for
implementation of air emissions standards in 40 CFR 265.1080 through 265.1091.
Also, in relation to theTcquircmcnts for air emissions standard, see the definition
of Exempted Hazardous Waste Management Units.)
5T.540.1. Secondary
;ontainment is required for
ipecific types of tank systems
jsed to accumulate or treat
razardous waste by large
juantity hazardous waste
generators (40 CFR
>62.34(a)(l)(ii), 265.190(a),
565.190(b), and 265.193(a)).
Verify that tanks that accumulate or treat material that becomes hazardous waste
have secondary containment as follows:
- for all new tank systems or components, prior to their being put into service
— for those existing tank systems of known and documentable age, within 2 yr
after January 12, 1987, or when the tank systems have reached 15 yr of age,
whichever comes later
— for those existing tank systems for which the age cannot be documented,
within 8 yr of January 12, 1987; but if the age of the facility is greater then 7
yr by the time the facility reaches 15 yr of age or within 2 yr of January 12,
1987, whichever comes later.
(NOTE: The following are exempt from these requirements:
-tank systems that are used to store or treat hazardous waste which contains no
free'liquids that are situated inside a building with an impermeable floor
- tank systems, including sumps, that serve as part of a secondary containment
system to collect or contain releases of hazardous wastes.)
(NOTE: Both small quantity and large quantity generators that accumulate
hazardous waste in tanks must also comply with other requirements specified
under 40 CFR 262. Auditors should pay particular attention to the requirements
under 40 CFR 262.34(a)(2), 262.34(a)(3), and 262,34 (a)(4). These requirements
and related audit guidance are further outlined in separate U.S. EPA audit
protocols titled: Protocol for Conducting Environmental Compliance Audits of
Hazardous Waste Generators under RCRA (U.S. EPA Document No. EPA-305-B-
98-005) and Protocol for Conducting Environmental Compliance Audits oj
TSDFs under RCRA (U.S. EPA Document No. EPA-305-B-006.)
5T.540.2. Secondary
;ontainment on tank systems
ised by large quantity
lazardous waste generators
nust meet specific
equirements (40 CFR
:62.34(a)(l)(ii), 265.190(a),
,nd 265,193(b) through
165.193(d)).
Verify that secondary containment meets the following criteria:
- it is designed, installed, and operated to prevent the migration of liquid out of
the system
— it is capable of detecting and collecting releases and accumulated liquids
until removal
— it is constructed of or lined with materials compatible with the wastes
-it is strong enough and of sufficient thickness to prevent failure due to
pressure gradients, climatic conditions, stress of installation and daily
operation
This document is intended-solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
77
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
' " >
' ' ' ' ' ,' -i'l A ' '.
iiyii.'!,,^..;, 2 U
TANK-MANAGEMENT
>'"liH "j! til1 Will IlllHIT 11 hi
;GATEGORYjj||j|i|
»/I('A'TM '4VT*E" jk.it IT. JVTT. ill
111
,i! ! REG u IMTORY.* U',;-; ,,
''
REVIEWER CHECKS \f;\.i* !)(¥,!;!
- it is placed on a foundation or base that can provide appropriate support and
prevent failure due to settlement, compression, or upset
-a leak-detection system is "present that is designed and operated to detect the
failure of either the primary or secondary containment structure or the release
of any hazardous waste within 24 h or the earliest practicable time
— it is sloped or designed to drain and remove liquids from leaks, spills, or
precipitation.
.Verify that spilled or leaked wastes are removed from secondary containment
within 24 h or as timely as possible.
Verify that secondary containment for tanks includes one or more of the following:
- a liner {external to the tank)
— a vault
— a double-walled tank
-an equivalent approved device
(NOTE: Tank systems that are used to accumulate or treat hazardous waste that
contains no free liquids and are situated inside a building with an impermeable
floor are exempt from these requirements.)
ST.540.3. External liners,
vaults, and double-walled
tanks used by large quantity
generators are required to
meet specific standards (40
CFR 262.34(a)(l)(ii),
265.190(a), and 265.193(e)).
Verify that external liner systems meet the following requirements:
-they are designed and operated so that 100 percent of the capacity of the
largest tank within the boundary would be contained
— they prevent run-on and infiltration of precipitation into the secondary
containment unless the collection system has sufficient capacity to handle
run-on or infiltration
— it is free of cracks or gaps
— it surrounds the tank completely and covers all surrounding earth likely to
come into contact with the waste if there is a release
-capacity is sufficient to contain precipitation from a 25-yr, 24-h rainfall
event.
Verify that vault systems meet the following criteria:
- it will contain 100 percent of the capacity of the largest tank within its
boundary
— it prevents run-on and infiltration of precipitation unless there is sufficient
excess capacity, including capacity to contain precipitation from a 25-yr, 24-
h rainfall event
— it is constructed with chemical-resistant water stops at all joints
- it has an impermeable interior coating that is compatible with the wastes it
contains
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
78
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
il!K)&aW,s;,!,»B^,J;li!l!ili i[
- has a means to protect against the formation and ignition of vapors within the
vault if the waste is ignitable or reactive
— it has an exterior moisture barrier or otherwise operated to prevent migration
of moisture into the vault.
Verify that double-walled tanks meet the following criteria:
— it is designed as an integral structure so that any release is contained by the
outer shell
- it is protected from both corrosion of the primary tank and the external
surface of the outer shell if constructed of metal
-it has a built-in continuous leak detection system capable of detecting a
release within 24 h,
(NOTE: Tank systems that are used to store or treat hazardous waste that contains
no free liquids and are situated inside a building with an impermeable floor are
exempt from these requirements.)
ST.540.4. Tank ancillary
iquipment used by large
quantity hazardous waste
generators must also be
provided with secondary
jontainrnent (40 CFR
>62.34(a)(l)(ii), 26S.190(a),
md 265.193(0).
Verify that ancillary equipment, .except for the following, has secondary
containment:
- aboveground piping that is visually inspected for leaks on a daily basis
-welded flanges, welded joints, and welded connections that are visually
inspected for leaks on a daily basis
— sealless or magnetic coupling pumps and sealless valves, that are visually
inspected for leaks on a daily basis
-pressurized aboveground piping systems with automatic shutoff valves that
are visually inspected for leaks on a daily basis.
(NOTE: Tank systems that are used to store or treat hazardous waste that contains
no free liquids and are situated inside a building with an impermeable floor are
exempt from these requirements.)
ST.540,5. Existing tank
systems that do not have
iecondary containment are
•equired to meet specific
•equirements 40 CFR
>62.34(a)(l)(ii), 265,19Q(a),
>65.191(a) through
165.19l(c), and 265.193(0).
Verify that existing tank systems without secondary containment meet the
following:
- for nonenterable underground tanks, a leak test is conducted annually
-for other than nonenterable underground tanks, either a leak test is done
annually, or an annual schedule and procedure is developed for an
assessment of the overall condition by an independent, qualified, registered,
professional engineer,
Verify that a record is maintained of the results of testing and assessments
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
79
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
••''i •' • ••[/^''"•'iiil1 J J\'^r- 'iilfi^lnS^'^Si^^
„;.,;,! y. tiREG UliAT,ORYi. i ' 1
tin ' '«» "»'«i i-n .Hum ...... 'II.HIMII •/! I;1 :,!
I'MREQUIREMENTi OR'll
jiJlhiitr »ilt*i bit^nHiii wiiniw tiHfbifl iiHijui |i
'
i bit^nHiii wiiniw tiHfbifl iiHijui |i i
MMN'AGEMENM !lj i
S
ill
Verify that lank systems which store or treat materials that become hazardous
waste after July 14, 1986 are assessed within 12 mo after the waste becomes
; hazardous.
(NOTE: Tank systems that are used to store or treat hazardous waste that contains
no free liquids and are situated inside a building with an impermeable floor are
exempt from these requirements.)
ST.540.6. Large quantity
jenerators with new tank
systems must submit to the
U.S. EPA Regional
Administrator or the
luthorized regulatory agency
j written assessment review
certified by an independent,
qualified, registered
jrofessional engineer to
certify that the tank was
.nstalled according to specific
standards (40 CFR
262.34(a)(l)(ii) . arid
Z65.192).
Determine if there are any new tank systems.
Verify that, when the tanks are installed they are handled so as to prevent damage
to the tank and any backfill material that is used is a noncorrosive, porous,
homogeneous substance.
Verify that ancillary equipment is supported and protected against damage and
stress.
Verify that the written assessments from the individuals required to certify the tank
and supervise the installation of the tank is kept on file.
ST.540.7, Tanks used for
lazardous waste treatment or
accumulation by large
quantity generators must
"ollow certain operating
•equirements (40 CFR
!62.34(a)(l)(ii) and 265.194).
Verify that hazardous wastes or treatment reagents are not placed in tanks if they
could cause the tank system (including ancillary equipment, or containment
system) to fail.
Verify that appropriate measures are taken to prevent overfill, including:
- spill prevention controls
- overfill prevention controls
- maintenance of sufficient freeboard to prevent overtopping by wave» wind
action or precipitation for uncovered tanks.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statemcnt(s) contained herein.
80
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
' '" i ,' |i|l.rjn,..i,!i, 11 !iiN,nM|i, %•!(!, B L'MlS-
P ' |f jf l!) Hj{] ||t5 tU. M t^ i lit. j
Jl'iltMlltiiltutUlirri1 ill I ft!!1 k^tt lit t!
I REQUIREMENTi'OR? iN 1|
•1 'IfttpyWr; i!ti*SiHm|f'1fiH«ni1t«JMIHiHhtli|tt,|f^i : j .!
)! 'lElIlEI i! ^
ST.540,8, Tank systems used
by large quantity generators
must comply with
requirements for ignitable,
reactive, or incompatible
wastes (40 CFR
262.34(a)(I)(ii), 265.198, and
265.199).
Verify that ignitable or reactive wastes are not placed in a tank system, unless one
of the following is met:
— the waste is treated, rendered, or mixed before or immediately after
placement in the tank system so that it is no longer reactive or ignitable and
the minimum requirements for reactive and ignitable wastes are met
-the waste is treated or stored in such a way that it is protected from any
material or conditions that may cause the waste to ignite or react
— the tank system is used solely for emergencies.
Verify that the minimum protective, distances between waste management areas
and any public ways, streets, alleys, or an adjoining property line that can be built
upon as required in Tables 2-1 through 2-6 of the NFPA's Flammable and
Combustible Liquids Code are maintained.
Verify that incompatible waste, or incompatible wastes and materials, are not
placed in the same tank system unless minimum safety requirements are met.
Verify that hazardous waste is not placed in a tank system that has not been
decontaminated and that previously held an incompatible waste or material unless
mini mum safety requirements are met.
ST.540J. Large quantity
generators must conduct
inspections of tank 'systems
and associated equipment (40
CFR 262.34(a)(l)(ii) and
265.195).
Verify that a schedule and procedure have been developed and are followed to
inspect overfill controls.
Determine if the following inspections are conducted at least once a day:
— overfill/spill control equipment facilities to ensure it is in good working order
-aboveground portions of the tank to detect corrosion or releases
-data gathered from tank monitoring equipment and leak detection equipment
'(e.g., pressure and temperature gauges and monitoring wells)
- construction materials and the area surrounding tank including the secondary
containment system for signs of erosion or leakage (wet spots, dead
vegetation).
Verify that the proper operation of cathodic protection systems are inspected
within 6 mo after initial installation and annually thereafter.
Verify that all sources of impressed current are inspected and/or tested every other
month.
Verify that inspections are documented.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
81
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
. , ,ljj,, ,Wbw>(.i, «' »' <•'• HWWtl'"*1' li*!1 ...... ' I ..... X'ti'tw
,|, ,< vl* W * '"• >> -' - COMPLIANCE .CATEGORY,;,,:,,,; 1,
' '' ' " ''
j(iff m HHilI»Wi|liW!(i i|| it iffi |i|
f1 »"• X f 1 H I « if '!
llllliiiiiil ii Iliiilirt; qiiln!
REGUIfA^ORY
'REQUIREMENf'pRlijj
• 'Hl«pRACTICE
, .' Uplift-ltd i* '•
i, i
•REVIEWER'
4 ,i, 'is, i ''i*' •• vJ 'i!l' vbijWwfrh fi|i !!«i; ^i" fi|i
.',:' •» •'',!.,.' S- «v ,: i' i.', ' "'•< i) »li i!'1-fi «',
-------
Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
WiD REGULATORY
!I* IH M i i
-------
Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
[FftNKiM ANAGEMENTilli j
W .REQUIREMENT OR
» ' i* MHfiitfl , Is*! Milliii iiiMi « immm mrfMi* )
* . . HH v"« Li*. ( ™,tf, r* m'm r* & rml 4* '
- the roof and its closure devices are designed to form a continuous bame
over the entire surface area of the hazardous waste in the tank
- the fixed roof is installed so that there are no visible cracks, holes, gaps, o
other open spaces between roof section joints or between the interface of th<
roof edge and the tank wall
- each opening in the fixed roof, and any manifold system associated with thi
fixed roof,, meets one of the following:
-it is equipped with a closure device designed to operate so that whei
the closure device is secured in the closed position there are no visibl
cracks, holes, gaps, or other open .spaces in the closure device o
between the perimeter of the opening and the closure device x
-connected by a closed vent system that is vented to a control devici
which removes or-destroys organics in the vent stream and operate
whenever hazardous waste is managed in the tank except during period
when access is necessary
-the fixed roof and closure devices are made of suitable materials tha
minimize exposure of the hazardous waste to the atmosphere to the exten
practical and maintain the integrity of the fixed roof and closure device
throughout their intended service life.
Verify that, for tanks requiring Level 1 control, whenever hazardous waste is in th>
tank, a fixed roof is installed with each closure device secured in the close*
position except as follows:
-opening of the closure devices or removal of the fixed roof is allowed ii
order to:
-provide access to the tank for performing routine inspections
maintenance, or other activities needed for normal operations
— remove accumulated sludge or other residues at the bottom of the tank
— opening of spring loaded pressure vacuum relief valves, conservation vent, o
similar type of pressure relief devices is allowed during normal operations ii
order to maintain the tanks internal pressure in accordance with desigi
standards
— opening of a safety device in order to avoid unsafe conditions.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
84
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
, , i
* K] '1 I* II '"!»" I" l"lini.llfi* !1IMI {i|'itlMlll| MMJHl I
' .:p. 'REQUIREMENT.. OR ill '
'::;/:^MNXGEiiENii!;if
ST.540.13. Certain tanks are
required to use Level 2
control standards for air
emissions control (40 CFR
262.34(a)(l)(ii), 265,202,
265.1085(b)(2), 265.1085(d)
through 265.1085(e)(2),
265.1085{f)(l) and
265.1085(0(2),
265.1085(g)(l),
265.1085(g)(2), 265.1085(h),
and 265.1085(i)(l) through
265.1085(i)(3)).
'«. l> 'JMlii lliH't K '.!;Wn!-«iii<.<'«' i' i •'>',',,, " ,;,;,
COMptlANGE-CATEGORYi;;^ M|
, ^'J^ '., —I — .™'Jl Vi ; i - . . V . ._.„ *»^_,m „ ' -..,,,, SH'1La|,ii!iyrj|11;M
ft, ,U STpRAX3Ej,TANK''M ANAGEMENTCWP
i!ittitaMl!!ii»|.ihd,)ii,iiM,i!i,-r'
H
U jlffi
(NOTE: See the definition of Exempted Waste Management Unit and Exempted
Hazardous Waste Storage Tanks for exemptions to these requirements.)
Verify that tanks not required to meet the requirements for Level 1 controls meet
the requirements for Level 2 controls.
Verify that, when using Level 2 controls, the following types of tanks are used:
- a fixed roof tank equipped with an internal floating roof
- a tank equipped with an external floating roof -
— a tank vented through a closed vent system to a control device
- a pressure tank
- a tank located inside an enclosure that is vented through a closed vent system
to an enclosed combustion control device.
Verify that, when a fixed roof with an internal floating roof is used, the following
-equirements are met:
- the internal floating roof is designed to float on the liquid surface except
when the floating roof is supported by the leg supports -
-the internal floating roof is equipped with a continuous seal between the wall
of the tank and the floating roof edge that meets one of the following
requirements:
- a single continuous seal that is either a liquid mounted seal or a metallic
shoe seal
— two continuous seals mounted one above the other
— the internal floating roof meets the following specifications:
-each opening in a noncontact internal floating roof, except for
automatic bleeder vents and rim space vents, provides a projection
below the liquid surface
— each opening in the internal floating roof is equipped with a gasketed
cover or a gasketed lid except for leg sleeves, automatic bleeder vents,
rim space vents, column wells, ladder wells, sample wells, and stub
drains ' • . >
— each penetration of the internal floating roof for sampling has a slit
fabric cover that covers at least 90 percent of the opening
- each automatic bleeder vent and rim space vent is gasketed
-each penetration of the internal floating roof that allows for passage of a
ladder has a gasketed sliding cover
-each penetration of the internal floating roof that allows for passage of a
column supporting the fixed roof has a flexible fabric sleeve seal or a
gasketed sliding cover
-the tank is operated such that,- when the floating roof is resting on the leg
supports, the process of filling, emptying, or refilling is continuous and is
completed as soon as practical
-automatic bleeder vents are set at "closed" at all times when the roof is
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
-------
Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
'lllfUHUWC'
lii Ptitth
COMPLIANCE CATEGORY!
• '
, ,: \MISffllHliiiit^1*", f™**~ Vj!» •,^Mv,»5»SJilli! !fi
' • 'JSTORAGE ifTANK' M ANAGEMENTj
, .REGUI^TORY'
„ REQUIREJ^ENTJOR
f III lif'''•'••'••'
REVIEWERlGHEGKS
IIP'
floating, except when the roof is being floated off or is being landed on the
leg supports
-before filling the tank, each cover, access hatch, gauge float well, or lid on
any opening in their internal floating roof is bolted or fastened closed
— rim space vents are set to "open" only when the internal floating roof is not
floating or when the pressure beneath the rim exceeds recommended settings.
Verify that, when an external floating roof is used to control air emissions, the
following requirements are met:
-the external floating roof is designed to float on the liquid surface except
when the floating roof is supported by leg supports
— the floating roof is equipped with two continuous seals, one above the other,
between the wall of the tank and the roof edge
— the primary seal is a liquid mounted seal or a metallic shoe seal and the total
area of the gaps between the tank wail and the primary seal do not exceed
21.2 cm2/m of tank diameter and the width of any portion of these gaps does
not exceed 3.8 cm
-if a metallic shoe seal is used for the primary seal, it is designed so that one
end extends into the liquid in the tank and the other end -extends a vertical
distance of at least 61 cm above the liquid surface
— the secondary seal is mounted above the primary seal and covers the annular
space between the floating roof and the wall of the tank, and the total area of
the gaps between'the tank wall and.the secondary seal do not exceed 21.2
cm /m of tank diameter, and the width of any portion of these gaps does not
exceed 1.3 cm
-the external floating roof meets the following:
-each opening in a noncontact external floating roof provides a
projection below the liquid surface except for automatic bleeder vents
and rim space vents
-each opening is equipped with a gasketed cover, seal, or lid except for
automatic bleeder vents, rim space vents, roof drains, and leg sleeves
-each access hatch and each gauge float is equipped with a cover
designed to be bolted or fastened when the cover is secured in the
closed position
- each automatic bleeder vent and each rim space vent is equipped with a
gasket
-each roof drain that empties into the liquid managed in the tank is
equipped with a slotted membrane fabric cover that covers at least 90
percent of the area of the opening
-each unslotted and slotted guide pole well is equipped with a gasketed
sliding cover or a flexible fabric sleeve seal
-each unslotted guide pole is equipped with a gasketed cap on the end of
the pole
-each slotted guide pole is equipped with a gaskeled float or other device
to close off the liquid surface from the atmosphere
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
86
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
s t F t 1,1 , i *.. , f r
.,/REQUIREMENT.ORVi'l
' ' » ' c ifrU n.mm UNI ni iMniWw fr I, i
' „ „ i MAN AG JEM ENTjj
' '
„
"'"
- each gauge hatch and sample well is equipped with a gasketed cover
Verify that, when an external floating roof is used, the tank is operated as follows;
— when the floating roof is resting on the "leg supports, the process of filling,
emptying, or refilling is continuous and completed as soon as practical
-each opening in the roof, except for automatic bleeder vents, rim space vents,
roof drains, and leg sleeves, is'secured and maintained in a closed position at
all times except when the closure device is opened for access
— covers on each access hatch and each gauge float well are bolted or fastened
when secured in the closed position
- automatic bleeder vents are set at "closed" at all times when the roof is
floating except when the roof is being floated off or is being landed on the
leg supports
- rim space vents arc set to "open" only at those times that the roof is being
floated off the roof leg supports or when the pressure beneath the rim seal
exceeds the manufacturer's setting
-the cap on the end of each unslotted guide pole is secured in the closed
position at all times except when measuring the level or collecting samples of
the liquid in the tank
— the cover on each gauge hatch or sample well is secured in the closed
position at all times except when the hatch or well must be opened for access
- both the primary seal and the secondary seal completely cover the annular
space between the external floating roof and the wall of the tank in a
continuous fashion except during inspection.
Verify that, when air emissions are controlled from a tank by venting the tank to a
control device, the following requirements are met:
-the tank is covered by a fixed roof and vented directly through a closed vent
system to a control device as follows:
— the fixed roof and its closure devices form a continuous barrier over the
entire surface area of the liquid in the tank
— each opening in the fixed roof not vented to a control device is
equipped with a closure device
-the fixed roof and the closure devices are made of suitable materials to
minimize exposure of the hazardous waste to the atmosphere, and
maintain the integrity of the fixed roof and closure devices throughout
their intended service life
— the closed vent system is designed according to the requirements in 40
CFR 265.1088
- whenever a hazardous waste is in the tank, the fixed roof is installed with
each closure device secured in the closed position and the vapor headspace
underneath the fixed roof is vented to the control device except as follows:
-to provide access to the tank for performing routine inspection,
maintenance, or other activities needed for normal operations
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statements) contained herein.
87
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
lbREYIEWER-GHECKS
iS" Hnji
— to remove accumulated sludge or other residues from the bottom of the
tank
- opening of safety devices to avoid an unsafe condition. '
Verify that, when a pressure tank is used to control emissions, the following
requirements are met:
- the tank is designed not to vent to the atmosphere as a result of compression
of the vapor headspace in the tank during the filling of the tank to capacity
-all tank openings are equipped with closure devices designed to operate with
no detectable organic emissions
— whenever a hazardous waste is in the tank, it is operated as a closed system
that does not vent to the atmosphere except when a safety device is opened to
avoid an unsafe condition or when purging inerts from the tank is required
and the purge stream is routed to a closed-vent system and there is an
appropriate control device;
Verify that, if air emissions are being controlled by using an enclosure' vented
through a closed vent system to an enclosed combustion control device, the
following are met:
— the tank is located inside an enclosure designed and operated according to
the criteria for a permanent total enclosure as specified in 40 CFR 52.741,
Appendix B
-the enclosure is vented through a closed vent system to an enclosed,
combustion control device that is designed and operated according to the
standards in 40 CFR 265.1088,
ST.540.14. Closed vent
systems are required to be
designed according to specific
standards (40 CFR
262.34(a)(l)(ii), 265.202, and
265.1088).
JJOTE: See the definition of Exempted Waste Management Unit for exemptions
.0 these requirements.)
Verify that closed vent systems:
- route the gases, vapors,, and fumes emitted from the hazardous waste to a
control device
- are-designed according to 40 CFR 265,1033(j)
-meet the following if they contain bypass devices, except for low leg drains,
high point bleeds, analyzer vents, open ended valves or lines, spring loaded
pressure relief valves, and other fittings used for safety devices, that could be
used to divert the gas or vapor stream before entering the control device:
- it is equipped with a flow indicator installed at the inlet to the bypass
line used to divert gases and vapors from the closed vent system to the
atmosphere at a point upstream of the control device inlet
— it is equipped with a seal or locking device placed on the mechanism by
which the bypass device is in the closed position so that the bypass
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
88
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
i',' i',«'P :»'*1!l T, '•«{,!"!»:','!! ^i" :!-r-..' .wi^SiaNiy
^REVIEWER GHEGKS
device cannot be opened without breaking the seal or removing the lock
- seals or closure mechanism are inspected at least once a month.
Verify that the control device is one of the following:
— a control device designed and operated to reduce the total organic content of
the inlet vapor stream vented to the control device by at least 95 percent
weight
— an enclosed combustion device
—a flare,
Verify that, when using a closed vent system and control device, periods of
planned routine maintenance to the control device during which the control device
does not meet specifications do not exceed 240 h/yr.
Verify that the following are met when using a carbon adsorption system:
-all activated carbon in the control device is replaced on a regular basis after
start-up if carbon adsorption is used
-all carbon that is a hazardous.waste and that is removed from the control
device is managed according to 40 CFR 265,1033(m) regardless of the
average volatile organic concentration
— operation and maintenance is done in accordance with 40 CFR 265.1033(j)
or 40 CFR 265.1033(j) if a control device is used other than a thermal vapor
incinerator, flare, boiler, process heater, condenser, or carbon adsorption
system
-achievement of control device performance requirements is done by a,
performance test or design analysis for each control device except for the
following:
- a flare
— a boiler or process heater with a design heat input capacity of 44 MW
or greater
-a boiler or process heater into which the vent stream is introduced with
the primary fuel
- a boiler or industrial furnace burning hazardous waste for which a final
permit has been issued and the unit is designed and operated in
accordance with 40 CFR 266
-a boiler or process heater for which the owner/operator has certified
compliance
-carbon adsorption systems demonstrate achievement of performance
requirements based on the total quantity of organics vented to the atmosphere
from all carbon adsorption equipment that is used for organic adsorption,
organic desorptions or carbon regeneration, organic recovery, and carbon
disposal.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
89
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
: • ,i;!f|ii rii!.?';*- i' if'1! "• |fcfeW'*A*/^ir. rr. Al^i/'.iRiiU^tU'r^'iri^aiT'Twrr. Si
•..->*
ST.540.15. When transferring
hazardous waste to a tank,
specific requirements must be
met (40 CFR 26234(a)(l)(ii),
265.202, and 265.1085Q)).
Verify that transfer of hazardous waste to the tank from another tank or from a
surface impoundment is done using continuous hard piping or another closed
system that does not allow exposure of the hazardous waste to the atmosphere.
(NOTE: These requirements do not apply when transferring a hazardous waste to
a tank under the following conditions;
— the hazardous' waste meets the average VO concentration of less than 500
ppm at the point of waste origination
- the hazardous waste has been treated by an organic destruction or removal
process
— the hazardous waste meets the numerical concentrations limits for organic
hazardous constituents as specified in 40 CFR 280
- the hazardous waste has been treated by the treatment technology established
by the U.S. EPA or has been removed or destroyed by an equivalent method
of treatment.)
ST.540.16. Facilities are
required to meet inspection
and repair requirements for
tanks (40 CFR
262.34(a)(l)(ii), 265.202, and
265.1085(c)(4),
265.1085(e)(3),
265.1085(f)(3),
265.1085(g)(3), 265.1085(k)
and 265.1085(1)).
Verify that fixed roofs and closure devices are inspected and managed as follows:
-visually inspected for defects that could result in air pollutant emissions
— initial inspection is on or before the date that the tank becomes subject to
these requirements
, - inspected annually after the initial inspection.
Verify that internal floating roofs are inspected and managed as follows:
— visually inspected for defects that could result in air pollutant emissions
-inspected through the openings in the fixed roof at least once every 12 mo
- when the tank is emptied and degassed, inspected at least every 10 yr.
(NOTE: As an alternative to the requirements for inspecting the internal floating
roof, if an internal floating roof is equipped with two continuous seals, one above
the other, visual inspection may be done of the internal floating roof, primary and
secondary seals, gaskets, slotted membranes, and sleeve seals each time the tank is
emptied and degassed and at least every 5 yr.)
Verify that inspection of cxtemal'floating roofs are done and managed as follows:
-measurement of the gaps between the tank wall and the primary seal are done
within 60 calendar days after initial operation of the tank following
installation of the floating roof and thereafter at least once every. 5 yr
— measurement of gaps between the tank wall and the secondary seal are done
within 60 calendar day after initial operation of the tank following
installation of the floating roof and thereafter at least once every year
— the floating roof and closure devices are visually inspected for defects that
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
90
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
StORX'GE
uii;iri!iu»iM*SiiiSi>Sijiij)iTrii1BiiraiiiiiiBiiiii«
TAl$K4MJWA!GEMEN(Ii
could result in air pollutant emissions initially on or before the date that the
tank becomes subject to this regulation and thereafter annually.
"NOTE: If a tank ceases to hold hazardous waste for a period of 1 yr or more.
subsequent introduction of hazardous waste into the tank will be considered ar
nitial operation for inspection purposes.)
Verify that the U.S. EPA Regional Administrator is notified prior to each of the
nspeelions of the internal floating or the external floating roof as follows:
- prior to each visual inspection of the internal floating roof or the external
floating roof in a tank that has been emptied and degassed, written
notification is sent so that it is received by the U.S. EPA Regional
Administrator at least 30 calendar days before refilling the tank except when
an inspection is not planned
— prior to each inspection to measure external floating roof seal gaps, written
notification is sent so that it is received by the U.S. EPA Regional
Administrator at least 30 calendar days before the date the measurements are
scheduled to be performed
-when a visual inspection is not planned and could not have been known
about, the U.S. EPA Regional Administrator is notified as soon as possible
but no later than 7 calendar days before refilling the tank.
Verify that, for fixed roofs and associated closure devices, the air emission control
iquipment is visually inspected for defects that could result in air pollutant
missions initially before the tank becomes subject to these requirements and
hereafter annually.
/erify that defects detected during inspections are repaired as follows:
- first efforts at repair are made no later than 5 calendar days after detection
-repair is completed no later than 45 days after detection unless it is
determined that the repair requires emptying or temporary removal from
service -of the tank and no alternative capacity is available to accept the
hazardous waste managed in the tank.
NOTE: After the initial inspections of the cover, following inspections may be
lerformed at intervals longer than 1 yr under the following conditions:
-when inspecting or monitoring the cover would expose a worker to
dangerous, hazardous, or other unsafe conditions and the cover is designated
as unsafe to inspect
- when the tank is buried partially or entirely underground, only those portions
aboveground are monitored annually.)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
-------
Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
IIp'( »''cpMj£i$ls^
STO^lGEf'fA1NK:MAl\v* jj -I |v r-jl%l f i i "i A ^jPlV j }jj||j|
!•, «MANAGEMENT, I ' j' S
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bp!'« - - PRACTICE,'/; i''*;
ST.540.17. Facilities are
required to meet
documentation requirements
for tanks (40 CFR
.262.34(a)(l)(ii), 265,202,
265.1090(a), 265.l090(b),
and 265.1090(e) through
265.1090(0).
verity mat me lonowing records are Kepi ror tames using air emissions comror
— a tank identification number or other unique identifying description
— a record for each required inspection that includes the following:
- date the inspection was done
-location and description of defects
-date of detection and corrective action to repair.
Verify that, for tanks using fixed roofs to meet Level 1 control standards, records
are kept for each determination of the maximum organic vapor pressure of the
hazardous waste, including the date and time the samples were collected, analysis
method used, and analysis results.
Verify that, for tanks using internal floating roofs to meet Level 2 control
standards, documentation is maintained describing the floating roof design.
Verify that, for tanks using external floating roofs to comply with Level 2 control
standards, the following records are maintained:
— documentation describing the floating roof design and the dimensions of the
tank
— records for each seal gap inspection, including the date, results, and
calculations.
Verify that, for situations where an enclosure is being used to comply with Level 2
control requirements, the following are maintained:
- records for the most recent set of calculations and measurements performed
by the owner or operator to verify that the enclosure meets the criteria for a
permanent total enclosure
- all records required for closed vent systems and control devices.
Verify that, if using a closed-vent system and control device, the following records
are maintained:
— certification that is signed and dated by the owner/operator stating that the
control device is designed to operate at the performance level documented by
a design analysis or by performance tests when the tank is operating at
capacity or the highest level reasonably expected to occur
-design documents if design analysis is used, including information describing
the control device design and certification that the equipment meets the
applicable specification
— a performance test plan if performance tests are used
— description and date of each modification, as applicable
-identification of operating parameters, description of monitoring devices, and
diagrams of monitoring sensor locations, as appl icable
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
92
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
- semiannual records of the following for those planned routine maintenance
operations that would require the control device to exceed limitations:
— a description of the planned routine maintenance that is anticipated to
be performed for the control device during the next 6-mo period,
including the type of maintenance needed, planned frequency, and
lengths of maintenance periods
— a description of the planned routine maintenance that was performed for
the control device during the previous 6-mo period, including the type
of maintenance performed and the total number of hours during those 6
mo that the control device did not meet applicable requirements
— records of the following for those unexpected control device system
malfunctions that would cause the control device to not meet specifications:
-the occurrence and duration of each malfunction of the control device
system
— the duration of each period during a malfunction when gases, vapors, or
fumes are vented from the waste management unit through the closed
vent system to the control device while the control device is not
properly functioning
— actions taken during periods of malfunction to restore a malfunctioning
control device to its normal or usual manner of operation
- records of the management of the carbon removed from a carbon adsorption
system.
Verify that, for exempted tanks (see the definition of Exempted Hazardous Waste
Storage Tanks), the following records are prepared and maintained as applicable:
-if exempted under the hazardous waste concentration conditions, information.
used for; the waste determination in the facility operating log and/or the date,
time, and location of each waste sample if analysis results for samples are
used
— if exempted under incineration use or process destruction use, the
identification number for the incinerator, boiler, or industrial furnace in
which the hazardous waste is treated.
Verify that the covers which are designated as unsafe to monitor, are listed in a log
kept in the facility operating record with an explanation of why they are unsafe to
inspect and monitor and a plan and schedule of inspection and monitoring is
recorded.
Verify that, for tanks not using the air emissions controls specified in 40-CFR
265.1085 through 265.1088, the following information is maintained:
-a,list of the individual organic peroxide compounds manufactured at the
facility if it produces more than one functional family of organic peroxides or
multiple organic peroxides within one functional family, and one or more of
these organic peroxides could potentially undergo self-accelerating thermal
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
-------
Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
l{II!';K;i*l'A'^'tof.Rft?.itKiSSl:!fIfl'!fJ;«M:SS;j«SS!,:;i:S!-!.is!.ii;-!i:K4...
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•;" •' L!.. •ii.iiillllMHtlNiliilNiPlWiiM
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decomposition at or below ambient temperatures
— a description of how the hazardous waste containing the organic peroxide
compounds identified in the above list are managed, including:
- a facility identification number for the tank or group of tanks
-the purpose and placement of this tank or group of tanks in the
management train of this hazardous waste
-the procedures used to ultimately dispose of the hazardous waste
handled in the tanks
- an explanation why managing these tanks would be an undue safety hazard
- certification that the tank is not using inappropriate emissions control devices
— identification of the requirements in 40 CFR 60, 61, 01 63 that the tank is in
compliance with.
Verify that all records, except design information records, are kept for at least 3 yr.
Verify that design information records are maintained in the operating record until
the air emissions control equipment is replaced or otherwise no longer in service.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
94
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
. ..,
y^H-iCOMPlilkNCE CATEGORY •- -
'" W&f&SH !{!{!!!! I I I I !•!•! ill- ' , ^'HIS-SHfSM,!'! itl'L'.:,' >.»•>»»»»» V.V.V.*
41 STORAGE TANK'MAN-XCEMENT • ••••• •••
!
HAZARDOUS WASTE
STORAGE TANKS
ST.S60
Treatment, Storage, and
Disposal Facilities
(NOTE: See Appendix E of this document for guidance on the schedule for
implementation of air emissions standards in 40 CFR 265.1080 through 265.1091.
Also, in relation to the requirements for air emissions standards, see the definition
of Exempted Hazardous Waste Management Units.)
ST.560.1. Secondary
containment is required for
specific types of tank systems
used to store or treat
hazardous waste at TSDFs (40
CFR 264.190(a), 264,190(b),
264.193(a), 265.190(a),
265.190(b),and265.193(a)).
Verify that tanks that accumulate or treat material that becomes hazardous waste
have secondary containment as follows: . *
- for all new tank systems or components, prior to their being put into service
~ for those existing tank systems of known and documentable age, within 2 yr
after January 12, 1987, or when the tank systems have reached 15 yr of age,
whichever comes later
-for those existing tank systems for, which the age cannot be documented,.
within 8 yr of January 12, 1987; but if the age of the facility is greater then 7
yr by the time the facility reaches 15 yr of age or within 2 yr of January 12,
1987, whichever comes later.
(NOTE: The following are exempt from these requirements:
- tank systems that are used to store or treat hazardous waste that contains no
free liquids and that are situated inside a building with an impermeable floor
- tank systems, including sumps, that serve as part of a secondary containment
system to collect or contain releases of hazardous wastes.)
ST.560.2. Secondary
containment on tank systems
at TSDFs must meet specific
requirements (40 .CFR
264.190(a), 264.193(b)
through 264.193(d),
265.190(a), and 265.193(b)
through 265.193(d)). '
Verify that secondary containment meets the following criteria:
- it is designed, installed, and operated to prevent the migration of liquid out of
the system
- it is capable of detecting and collecting releases and accumulated liquids
until removal
- it is constructed of or lined with materials compatible with the wastes
-it is strong enough and of sufficient thickness to prevent failure due to
pressure gradients, climatic conditions, stress of installation and daily
operation
- it is placed on a foundation or base that can provide appropriate support and
prevent failure due to settlement, compression, or upset
- a leak-detection system is present that is designed and operated to detect the
failure of either the primary or secondary containment structure or the release
of any hazardous waste within 24 h or the earliest practicable time
— it is sloped or designed to drain and remove liquids from leaks, spills, or
precipitation.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statenient(s) contained herein.
95
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
[If REGULATORY ||
! REQUIREMENT ORl
> < ' MfH!ttiftfn
.''''..PRACflGE*'"'*
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Verify that spilled or leaked wastes are removed from secondary containment
within 24 h of as timely as possible.
Verify that secondary containment for tanks includes one or more of the following:
- a liner (external to the tank)
- a vault
- a double-walled tank
— an equivalent approved device.
(NOTE: Tank systems that are used to store or treat hazardous waste that contains
no free liquids and are situated inside a building with an impermeable floor are
exempt from these requirements.)
ST.560,3. External liners,
vaults and double- walled
tanks at TSDFs are required to
meet specific standards (40
CFR 264.190(a), 264.193(e),
265.190(a), and265.I93(e)).
Verify that external liner systems meet the following requirements:
— it is designed and operated so that 100 percent of the capacity of the largest
tank within the boundary would be contained . "
— it prevents run-on and infiltration of precipitation into the secondary
containment unless the collection 'system has sufficient capacity to handle
run-on or infiltration
— it is free of cracks or gaps
- it surrounds the tank completely and covers all surrounding earth likely to
come into contact with the waste if there is a release
-capacity is sufficient to contain precipitation from a 24-h, 25-yr rainfall
event.
Verify that vault systems meet the following criteria:
- it will contain 100 percent of the capacity of the largest tank within its
boundary
- it prevents run-on and infiltration of precipitation unless there is sufficient
excess capacity including capacity to contain precipitation from a 25-yr, 24-h
rainfall event
— it is constructed with chemical-resistant water stops at all joints
— it has an impermeable interior coating that is compatible
-it has a means to protect against the formation of, and ignition of, vapors
within the vault if the waste is ignitable or reactive
- it has an exterior moisture barrier or otherwise operated to prevent migration
of moisture into the vault.
Veriiy that.double-walled tanks meet the following criteria:
- it is designed as an integral structure so that any release is contained by the
outer shell
This document is intended solely for guidance, No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
96
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
HtttlllllllliH'!|n
flPI I|M|IHH ! '"
'.ill'"1 "'""" cifirmlitfw* Ti »t¥^ m* i M'"iP'!r'"im',fTT»1TT ' I I'l
"fl,,ji , .. i. STORAGE .TANK MAN AGEMENTv., „.,>„. .
Hll, «iiiii,f,,,tt • i«!f?ihi .'1*1 «
REGULATORY '?*&
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-it is protected from both corrosion of the primary tank and the external
surface of the outer shell if constructed of metal
— it has a built-in continuous leak detection-system capable of detecting a
release within 24 h.
(NOTE: Tank systems used to store or treat hazardous waste that contains no free
liquids and are situated inside a building with an impermeable floor are exempt
from these requirements.)
ST.560.4 Tank ancillary
equipment at TSDFs must
also be provided with
secondary containment (40
CFR 264.190(a),' 264.193(f),
265.190(a), and 265.193(f)).
Verify that ancillary equipment, except for the following, has secondary
containment:
— aboveground piping that is visually inspected for leaks on a daily basis
— welded flanges, welded joints, and welded connections that are visually
inspected for leaks on a daily basis
-sealless or magnetic coupling pumps and sealless valves that are visually
inspected for leaks on a daily basis
—pressurized aboveground piping systems with automatic shutoff valves that
are visually inspected for leaks on a daily basis.
(NOTE: Tank systems used to store or treat hazardous waste that contains no free
liquids and are situated inside a building with an impermeable floor are exempt
from these requirements.)
ST.560.5.
systems at
specific
CFR 264.
through
264.193(0,
265,191{a)
265.19i(c)
Existing tank
TSDFs must meet
requirements (40
190(a), 264.191(a)
264.191(c),
265.190(a),
through
, and 265.193(i)).
Verify that existing tank systems without secondary containment meet the
following:
- for nonenterable underground tanks a leak test is conducted annually
-for other than nonenterable underground tanks either a leak test is done
annually or an annual schedule and procedures for an assessment of the
overall condition is developed by an independent, qualified, registered
professional engineer
- for ancillary equipment a leak test or other approved integrity assessment at
least annually. ' . '
Verify that the TSDF maintains a record of the results of testing and assessments.
Verify that tank systems which store or treat materials that become hazardous
waste after July 14, 1986 are assessed within 12 mo after the waste becomes
hazardous.
(NOTE: Tank systems that are used to store or treat hazardous waste that contains
no free liquids and are situated inside a building with an impermeable floor are
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
97
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
jt^COM^
^'STORA'GE TAlSISiMlSSGE'M"ENTi!
isteiniifa itsiiisiiii ai'iiiiiiiii'iiaiiiiHfliiiiii'.ifflaii.iiiiiii-
exempt from these requirements.)
ST.560,6. TSDFs with new
tank systems must submit to
the U.S. EPA Regional
Administrator or authorized
regulatory agency a written
assessment review certified by
an independent, qualified,
registered professional
engineer and install the tank
according to specific
standards (40 CFR 264.192
and 265.192).
Determine if the TSDF has any new tank systems.
Verify that, when the tanks are installed, they are handled so as to prevent damage
to the tank and any backfill material that is used is a noncorrosive, porous,
homogeneous substance.
Verify that ancillary equipment is supported and protected against damage and
stress.
Verify that the written assessments from the individuals required to certify the tank
and supervise the installation of the tank are kept on file.
ST.560.7. Tanks used for
hazardous waste treatment or
storage-at TSDFs must follow
certain operating requirements
(40' CFR 264.194- and
265.194).
Verify that hazardous wastes or treatment reagents are not placed in tanks if they
could cause the tank system (including ancillary equipment or containment system)
to fail.
Verify that appropriate measures are taken to prevent overfill, including:
- spill prevention controls
— overfill prevention controls
- maintenance of sufficient freeboard to prevent overtopping by wave, wind
action, or precipitation for uncovered tanks.
ST.560.8. Tank systems at
TSDFs must comply with
requirements for ignitable,
reactive, or incompatible
wastes (40 CFR 264.198,
264.199, 265.198, and
265.199).
Verify that ignitable or reactive wastes are not placed in a tank system, unless one
of the following is met:
-the waste is treated, rendered, or mixed before or immediately after
placement in the tank system so that it is no longer reactive or ignitable and
the minimum requirements for reactive and ignitable wastes are met
— the waste is treated or stored in such a way that it is protected from any
material or conditions that may cause the waste to ignite or react
— the tank system is used solely for emergencies. .
Verify that the minimum protective distances between waste management areas
and any public ways, streets, alleys, or an adjoining property line that can be built
upon as required in Tables 2-1 through 2-6 of the NFPA's Flammable and
Combustible Liquids Code are maintained.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
98
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
. ^. , , , , „
'yi '=" f: -'STORAGE
CATEG^
AGE TANK MANAGEMENT.. « ,Si! '" <.T ^ ^
.„,( R|GUIi^TgRY"" , ,
'i ''„REQl)miSlENTj OR'!<,'<
t »^^«TP*r ^flj^1!*'* jri^'iiftiTtNi llf'liH^L
i^^'K
M t\ ^
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REVIEWER CHECKS ,'H '' V '
j , J.^>JUl T JLJU Tf A^i"V ^-Ai.i^V^M'VLJ i H ^ * 5 i i 1 if
i ' ^ ^ i * 1 < ^ / i i i 1 M Vl '
Verify that incompatible waste, or incompatible wastes and materials, are not
placed in the same tank system unless minimum safety requirements are met.
Verify that hazardous waste is not placed in a tank system that has not been
decontaminated and that previously held an incompatible waste or material unless
minimum safety requirements are met. • . .
ST.560.9. Personnel at TSDFs
must conduct inspections of
tank systems and associated
equipment (40 CFR 264.195
and 265.195).
Verify that a schedule and procedure has been developed and is followed to
inspect overfill controls.
Determine if the following inspections are conducted at least once a day:
— overfill/spill control equipment to ensure it is in good working order
- aboveground portions of the tank to detect corrosion or releases
-data gathered from tank monitoring equipment (e.g., pressure and
temperature gauges)
- construction materials and the area immediately surrounding tank including
the secondary containment system to detect signs of erosion or signs of
leakage (wet spots, dead vegetation),
Verify that the proper operation of cathodic protection systems are inspected
.within 6 mo after initial installation and annually thereafter.
Verify that all sources of impressed current are inspected and/or tested every other
month.
Verify that inspections are documented
ST.560,10. Tank systems or
secondary . containment
systems at TSDFs from which
there has been a leak or spill
or which have been declared
unfit for use must be removed
from service immediately and
specific requirements met (40
CFR 264.196 and 265.196).
Verify that the following steps are taken:
-the flow or addition of hazardous wastes to the tank is stopped
— the hazardous waste is removed from the tank:
- within 24 h of detection (or at the earliest practicable time as
demonstrated by the owner or operator) remove as much waste from the
tank as necessary to prevent further release and allow, inspection and
repair
- within 24 h (or in as timely a manner as is possible to prevent harm to
human health and the environment) remove waste released to secondary
containment system
- a visual inspection of the release is done and:
— action is taken to prevent further migration to soils.or surface or ground
water
— any visible contamination of soil and surface water is removed and
disposed.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
99
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
Verify that notification is made within 24 h for any release to the environment to
the regional administrator except for releases of 0-.45 kg (1 Ib) or less that are
immediately contained and cleaned up.
Verify that a report is submitted within 30 days containing the following
information:
- likely route of migration
- characteristics of the surrounding soil
- results of any monitoring or sampling
— proximity to downgradient drinking water, surface water, and population
areas
- description of response actions taken or planned,
Verify that the tank and/or secondary containment is repaired prior to its return to
service and that extensive repairs are certified by an independent, qualified,
registered, professional engineer.
ST.56Q.il. TSDFs are
required to follow specific
procedures when closing a
tank- system (40 CFR
264.197(a), 264.197(5),
265.197(a), and 265.197(b)).
Determine if the TSDF has closed any tank systems.
Verify that all waste residues, contaminated containment system components,
contaminated soils, and structures and equipment contaminated with waste have
been removed or decontaminated.
Verify that, if it is not possible and/or practicable to remove or decontaminate all
soils, the tank is closed and postclosure care is performed as is required,for
landfills. .
ST.560.12. Certain tanks used
for the storage of hazardous
waste are required to meet
Level 1 control standards for
air emissions control (40 CFR
262.34(a)(l)(ii), 264.200,
264.1084(a) through
264.1084(c)(3), 265.202, and
265.1085(a) through
265.1085(c)(3)),
(NOTE: See the definition of Exempted Waste Management Unit and Exempted
Hazardous Waste Storage Tanks for exemptions to these requirements.)
Verify that the following tanks meet the requirements for Tank Level 1 controls:
— the hazardous waste in the tank has a maximum organic vapor pressure which
is less than the maximum organic vapor pressure for the tank's design
capacity category as follows:
— for a tank design capacity equal to or greater than 151m ,.the maximum
organic vapor pressure limit for the tank is 5.3 kPa
- for a tank design capacity equal to or greater than 75 m3 but less than
151 m3, the maximum organic vapor pressure limits for the tank is 27.6
W»a
- for a tank design capacity less than 75 m , the maximum organic vapor
pressure limit for the tank is 76.6 kPa
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
100
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
-the hazardous waste in the tank is not heated to a temperature lhat is greater
than the temperature at which the maximum organic vapor pressure of the
hazardous waste is determined
-the hazardous waste in the tank is not treated using a waste stabilization
process,
/erify that tanks not required to meet the requirements for Level 1 controls meet
he requirements for Level 2 controls.
/erify that, when required, the following Level 1 controls are met:
-the maximum organic vapor pressure for a hazardous waste is determined
before the first time the waste is placed in the tank
-new maximum organic vapor pressure determinations are made each time
there are changes to, the hazardous waste which could cause the maximum
organic vapor pressure to increase to a level that is equal to or greater than
the maximum organic vapor pressure limit for the tank capacity.
/erify thai tanks requiring Level 1 control are equipped with a fixed roof designed
is follows:
- the roof and its closure devices are designed to form a continuous barrier
over the entire surface area of the hazardous waste in the tank
— the fixed roof is installed so that there are no visible cracks, holes, gaps, or
other open spaces between roof section joints or between the interface of the
roof edge and the tank wall
-each opening in the fixed roof, and any manifold system associated with the
• fixed roof, meets one of the following:
-it is equipped with a closure device designed to operate so that when
the closure device is secured in the closed position there are no visible
cracks, holes, gaps, or other 'open spaces in the closure device or
between the perimeter of the opening and the closure device
-connected by a closed vent system that is vented to a control device
which removes or destroys organics in the vent stream and operates
whenever hazardous waste is in the tank except during periods of
required access to the tank
-the fixed roof and closure devices are made of suitable materials that
minimize exposure of the hazardous waste to the atmosphere to the extent
practical and maintain the integrity of the fixed roof and closure devices
throughout their intended service life.
/erify that, for tanks requiring Level 1 control, whenever hazardous waste is in the
ank, a fixed roof is installed with each closure device secured in the closed
josition except as follows:
-opening of the closure devices or removal of the fixed roof is allowed in
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
101
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
I jf jW ;§"l'h';f 'v.:-:T;'"; :;>' M i fJ11' I ll
'f; '•; ftp '-vf • v W!i!l W ®! 1 i
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v -REQUIREMENT pR
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tfti dJi#!liII'H;; I '
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11" ;eOMELMNGE CATEGORY!
lllllll j!i-.jUtilSfiJiMiiliiiiMiif|'i)di!i!iiisi!'n|iiii!iiniiiHi!ttsnM imtftitriiiu
STORAGE fr''AV^"MlAKrAr!irMI!''
REVIEWER CHECKS:
order to:
-provide access to the tank for performing routine inspections,
maintenance, or other activities needed for normal operations
- remove accumulated sludge or other residues at the bottom of the tank
- opening of a spring-loaded pressure vacuum relief valve, conservation vent,
or similar type of pressure relief device is allowed during"normal operations
in order to maintain the tanks internal pressure in accordance with design
standards
— opening of a safety device in order to avoid unsafe conditions.
ST.560.13. Certain tanks are
required to use Level 2
control standards for air
emissions control (40 CFR
262.34(a)(l)(ii), 264.200,
264.1084(b)(2), 264.1084(d)
:hrough 264.1084(0(3),
265.202, 265.1085(b)(2), and
265.1085(d) through
265.1085(0(3)).
NOTE: See the definition of Exempted Waste Management Unit and Exempted
iazardous Waste Storage Tanks for exemptions to these requirements.)
/erify that tanks not required to meet the requirements for Level 1 controls meet
he requirements for Level 2 controls.
/erify that, when using Level 2 controls, the following types of tanks are used:
-a fixed roof tank equipped with an internal floating roof
- a tank equipped with an external floating roof
— a tank vented through a closed vent system to a control device
— a pressure tank
- a tank located inside an enclosure that is vented through a closed vent system
to an enclosed combustion device control device.
/erify that, when a fixed roof with an internal floating roof is used,'the following
equirements are met:
-the internal floating roof is designed to float on the liquid surface except
when the floating roof is supported by the leg supports
— the internal floating roof is equipped with a continuous seal between the wall
of the tank and the floating roof edge that meets one of the following
requirements:
- a single continuous seal that is either a liquid mounted seal or a metallic
shoe seal
-two continuous seals mounted one above the other
-the internal floating roof meets the following specifications:
-each opening in a noncontact internal floating roof, except for
automatic bleeder vents and rim space vents, provides a projection
below the liquid surface
- each opening in the internal floating roof is equipped with a gasketed
cover or a gasketed lid except for leg sleeves, automatic bleeder vents,
rim space vents, column wells, ladder wells, sample wells, and stub
drains
- each penetration of the internal floating roof for sampling has a slit
This document is intended solely for guidance. No "statutory or regulatory
requirements are in any way altered by any stalement(s) contained herein.
102
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
, „;;;; COMPLIANeECATEGORYiBlW1
STORAGE TANK M ANAGEMEN.T ,
|,|||REGUL'ATpRY ' •
iEREQUIREMENT. OR
Hijii ,Bi f |sn$s *-jfj Si jjjj-jjt its
HV-'!^'"PRACTICE •!' *
fabnc cover that covers at least 90 percent of the opening
— each automatic bleeder vent and nrn space vent is gasketed
-each penetration of the internal floating roof that allows for passage of a
ladder has a gasketed sliding cover
-each penetration of the internal floating roof that allows for passage of a
column supporting the fixed roof-has a flexible fabric sleeve seal or a
gasketed sliding cover
- the tank is operated such that when the floating roof is resting on the leg
supports, the process of filling, emptying, or refilling is continuous and is
completed as soon as practical
-automatic bleeder vents are set at closed at all times when the roof is floating,
except when the roof is being floated off or is being landed on the leg
supports
-before filling the tank, each cover, access hatch, gauge float well, or lid on
any opening in their internal floating roof is bolted or fastened closed
— rim space vents are set to open only when the internal floating roof is not
floating or when the pressure beneath the rim exceeds recommended settings.
Verify that, when an external floating roof is used to control air emissions, the
following requirements are met: -
- the external floating roof is designed to float on the liquid surface except
when the floating roof is supported by leg supports
- the floating roof is equipped with two continuous seals, one above the other,
between the wall of the tank and the roof edge
- the primary seal is a liquid mounted seal or a metallic shoe seal and the total
area of the gaps between the tank wall and the primary seal do not exceed
212 cm /m of tank diameter and the width of any portion of these gaps does
exceed 3.8 cm .
-if a metallic shoe seal is used for the primary seal,'it is designed so that one
end extends into the liquid in the tank and the other end extends a vertical
distance of at least 61 cm above the liquid surface
-the secondary seal is mounted above the primary seal and covers the_annular
space between the floating roof and the wall of the tank and the total area of
the gaps between the tank wall and the secondary seal do not exceed 21.2
cm2/m of tank diameter and the width of any portion of these gaps does not
exceed 1.3 cm
-the external floating roof meets the following:
-each opening in a noncontact external floating roof provides a
projection below the liquid surface except for automatic bleeder vents
and rim space vents
- each opening is equipped with a gasketed cover, seal, or lid except for
automatic bleeder vents, rim space vents, roof drains, and leg sleeves
— each access hatch 'and each gauge float is equipped with a cover
designed to be bolted or fastened when the cover is secured in the
closed position
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
103
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
- each automatic bleeder vent and each nm space vent is equipped with i
gasket
-each roof drain that empties into the liquid managed in the tank is
equipped .with a slotted membrane fabric cover that covers at least 9C
percent of the area of the opening
— each unslotted and slotted guide pole well is equipped with a gasketed
sliding cover or a flexible fabric sleeve seal
- each unslotted guide pole is equipped with a gasketed cap on the end oi
the pole
-each slotted guide pole is equipped with a gasketed float or other device
to close off the liquid surface from the atmosphere
- each gauge hatch and sample well is equipped with a gasketed cover.
Verify that, when an external floating roof is used, the tank is operated as follows:
- when the floating roof is resting on the leg supports, the process of filling,
emptying, or refilling is continuous and completed as soon as practical
— each opening in the roof,'except for automatic bleeder vents, rim space vents,
roof drains, and leg sleeves, is secured and maintained in a closed position at
all times except when the closure device is opened for access
- covers on each access hatch and each gauge float well are bolted or fastened
when secured in the closed position
-automatic bleeder vents are set closed at all times when the roof is floating
except when the roof is-being floated off or is being landed on the leg
supports
-rim space vents are set to open only at those times that the roof is being
floated off the roof leg supports or when the pressure beneath the rim seal
exceeds the manufacturer's setting
— the cap on the end of each unslotted guide pole is secured in the closed
position at all times except when measuring the level or collecting samples oi
the liquid in the tank
-the cover on each gauge hatch or sample well is secured in the closed
position at all times except when the hatch or well'must be opened for access
-both the primary seal and the secondary seal completely cover the annular
space between the external floating roof and the wall of the tank in a
continuous fashion except during inspection.
Verify that, when air emissions are controlled from a tank by venting the tank to a
control device, the following requirements are met:
-the tank is covered by a fixed roof and vented directly through a closed vent
system to a control device as follows:
-the fixed roof and its closure devices form a continuous barrier over the
entire surface area of the liquid in the tank
—each opening in the fixed roof not vented to a control device is
equipped with a closure device
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
104
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
11
. J lit,.'STORA"GE!TANK IvMNAGElviEI^T|
ii i i'l;i i
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
ST.S60.14. Closed vent
systems are required' to be
.designed according to specific
standards (40 CFR
262.34(a)(l)(ii) 264.200,
264.1087, 265.202, and
265.1088).
>r cxcmp ;»ns
see me aeimnion ot
o these requirements.)
/erify that closed-vent systems:
-route the gases, vapors, and fumes emitted from the hazardous waste to a
control device
-are designed according to 40 CFR 264,1033(k)/265.1033(j)
-meet the following if they contain bypass devices, except for low leg drains,
high point bleeds, analyzer vents, open ended valves or lines, spring loaded
pressure relief valves, and other fittings used for safety devices, that could be
used to divert the gas or vapor stream before entering the control device:
— it is equipped with a flow indicator installed at the inlet to the bypass
line used to divert gases and vapors from the closed vent system to the
atmosphere at a point upstream of the control device inlet
— it is equipped with a seal or locking device placed on the mechanism by
which the bypass device is in the closed position so that the bypass
device cannot be opened without breaking the seal or removing the Jock
- seals or closure mechanism are inspected at least once a month,
/erify that the control device meets the following:
— it is one of the following:
- a control device designed and operated to reduce the total organic content of
the inlet vapor stream vented to the control device by at least 95 percent
weight
-an enclosed combustion device
- a flare
-periods of planned routine maintenance to the control device during which
the control device does not meet specifications do not exceed 240 h/yr
-all activated carbon in the control device is replaced on a regular basis after
start-up if carbon adsorption is used
—operation and maintenance is done in accordance with 40 CFR 264.1033(k)
or 40 CFR 265,1033(j) if a control device is used other than a thermal vapor
incinerator, flare, boiler, process heater, condenser, or carbon adsorption
system
— achievement of control device performance requirements is done by a
performance test or design analysis for each control device except for the
following:
- a flare
— a boiler or process heater with a design heat input capacity of .44 MW
orgreater
-a boiler of process heater into which the vent stream is introduced with
the primary fuel
- a boiler or industrial furnace burning hazardous waste for which a final
_ permit has been issued and the unit is designed arid operated in
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
106
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
" ' ' I, ' >\<.'. * \' fl').']' I1 Ii" I1 'l",
.'I'-;,. .'','Ui "' '!
. ,.j • * » ii f.jf • ; }.iti -! if i i, « Ht I
" ,..>.|. I []' ] I1;-;. •«.-; •,' .' ' l,| «!ijj 1 ST
"i'.|iil!u.ijl <',> ii ')iiM <•* i ,i »' ! lnllli|i|llili
Uh'[.REGULATORY, '< If [jj1
ii, i Ii * il i* i ] i j * «. a H $j i lit 1 "' (
r^oni . i i, ft
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REVIEWERtCHEGKS
accordance with 40 CFR 266
-a boiler or process heater for which the owner/operator has certified
compliance
— carbon adsorption systems demonstrate achievement of performance
requirements based on the total quantity of organics vented to the atmosphere
from all carbon adsorption equipment that is used for organic adsorption,
organic desorptions or carbon regeneration, organic recovery, and carbon
disposal.
5T.560.15, When transferring
lazardous waste to a tank,
ipecific requirements must be
net (40 CFR 262.34(a)(l)(ii),
164.200, • 264.1084(j),
!65.202,'and265.1085(j)).
I
Verify that transfer of hazardous waste to the tank from another tank or from a
surface impoundment is done using continuous hard piping or another closed
system that does not allow exposure of the hazardous waste to the atmosphere,
[NOTE: These requirements do not apply when transferring a hazardous waste to
a tank under the following conditions:
— the hazardous waste meet the average VO concentration of less than 500 ppm
at the point of waste origination
- the hazardous waste has been treated by an organic destruction or removal
process.)
5T.560.16. TSDFs are
•equired to meet inspection
md repair requirements for
anks (40 CFR
!62.34(a)(i)(ii), 264.200,
!64.1084(c)(4),
!64.1084(e)(3),
!64.1084(f)(3),
!64.1084(g)(3), 264.1084(k),
164.1084(1), 265.202,
!65.1085(c)(4),
!65.1085(e)(3),
165.1085(0(3),
165.1085(g)(3), 265.1085 (k)
md 265.1085(1)).
Verify that fixed roofs and closure devices are inspected and managed as follows:
-visually for defects that could result in air pollutant emissions
— initial inspection is on or before the date that the tank becomes subject to
these requirements
-annually after the initial inspection,
Verify that internal floating roofs are inspected and managed as follows:
-visually for defects that could result in air pollutant emissions
-inspect through the openings in the fixed roof at least once every 12 mo
-when the tank is emptied and degassed, at least every 10 yr.
'NOTE: As an alternative to the requirements for inspecting the internal floating
•oof, if an internal floating roof is equipped with two continuous seals,'one above
he other, visual inspection may be done of the internal floating roof, primary and
secondary seals, gaskets, slotted membranes, and sleeve seals each time the tank is
:mptied and degassed and at least every 5 yr.)
s/erify that inspection of external floating roofs are done and managed as follows:
- measurement of the gaps between the tank wall and the primary seal are done
within 60 calendar days after initial operation of the tank following
installation of the floating roof and thereafter at least once every 5 yr
— measurement of gaps between the tank wall and the secondary seal are done
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
107
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
hi, SffiHVl'A'NAGEM ENT :', ff/A
^i^im
u opera r>n o
installation of the floating roof and thereafter at least once every year.
— the floating roof and closure devices are visually inspected for defects that
could result in air pollutant emissions initially on or before the date that the
tank becomes subject to this regulation and thereafter annually,
{NOTE: If a tank ceases to hold hazardous waste for a period of 1 yr or more,
subsequent introduction of hazardous waste into the tank will be considered an
initial operation for inspection purposes.)
Verify that the U.S. EPA Regional Administrator is notified prior to each of the
inspections of the internal or external floating roof as follows:
— prior to each visual inspection of the internal floating roof or the external
floating roof in a tank that has been emptied and degassed, written
notification is sent so that it is received by the U.S. EPA Regional
Administrator at least 30 calendar days before refilling the tank except when
an inspection is not planned
-prior to each inspection to measure external floating roof seal gaps written
notification is sent so that it is received by the U.S. EPA Regional
Administrator at.least 30 calendar days before the date the measurements are
scheduled to be performed
— when a visual inspection is not planned and could not have been known
about, the U.S. EPA Regional Administrator is notified as soon as possible
but no later than 7 calendar days before refilling the tank.
Verify that, for fixed roofs and associated closure devices, the air emission control
equipment is visually inspected for defects that could result in air pollutant
emissions initially before the tank becomes subject to these requirements and
thereafter annually.
Verify that defects detected during inspections are repaired as follows:
- first efforts at repair are made no later than 5 calendar days after detection
-repair is completed no later than 45 days after detection unless it is
determined that the repair requires emptying or temporary removal from
service of the tank and no alternative capacity is available to accept the
hazardous waste managed in the tank.
(NOTE: After the initial inspections of the cover, following inspections may be
performed at intervals longer than 1 yr under the following conditions:
-when inspecting or monitoring the cover would expose a worker to
•dangerous, hazardous, or other unsafe conditions and the cover is designated
as unsafe to inspect
—when the tank is buried partially or entirely underground, only those portions
aboveground are monitored annually.)
his document is intended solely for guidance. No statutory or regulatory
:quirements are in any way altered by any statement(s) contained herein.
108
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
Iff I .l,|||| '.I! '•'"'• n i!Mi!WI!l{||liti|llfll!OI!!H!IIIVW
!'«I'«'"[' ICOMElil'ANGE IGATEGOR Yd
it S i UhiJHHi i * n*mi pmipjii i»i,)ii>!lHmijMi]!)itl|i(|i!|ui it&uUii Until"!"
si! IE nmj"v*-**** *"< w? nrr*'iwit>' »,* * *r ^'jr™« •?« m m ttr
STORAGE
ilUhlll'llUIBIWIIUIII
TXNK MANAGEMENT
, ^vttij^TiiiVfiM!
,, MANAGEMENT;
711«if PRACTICE |j ^''ll'l i
ST.S60.17. TSDFs are
required to meet
documentation requirements
for tanks (40 CFR
262.34(a)(l)(ii), 264.1089(a),
264.1089(b), and 264.1089(e)
through 264,1089(1); 265.202,
265.1090(a), 265,1090(b),
and 265.1090(e) through
265.10900)).
Verify that the following records are kept for tanks using air emissions control:
- a tank identification number or other unique identifying description
. -a record for each required inspection that includes the following:
- date the inspection was done
— location and description of defects
-date of detection and corrective action to repair.
Verify that, for tanks using fixed roofs to meet Level 1 control standards, records
are kept for each determination of the maximum organic vapor pressure of the
hazardous waste, including the date and time the samples were collected, analysis
method used, and analysis results.
Verify that, for tanks using internal floating roofs to meet Level 2 control
standards, documentation is maintained describing the floating roof design.
Verify that, for tanks using external floating roofs to comply with Level 2 control
standards, the following records are maintained:
- documentation describing the floating roof design and the dimensions of the
tank
-records for each seal gap inspection, including the date, results, and
calculations.
Verify that for situations where an enclosure is being used to comply with Level 2
control requirements, the following are maintained:
— records for the most recent set of calculations and measurements performed
by the owner or operator to verify that the enclosure meets the criteria for a
" permanent total enclosure
- all records required for closed vent systems and control devices.
Verify that, when measurements of seal gaps indicate nonconformance with
specifications, records are kept that include a description of repairs that were
made, date the repairs were made, and the date the tanks were emptied.
Verify that, if using a closed-vent system and control device, the following records
are maintained;
-certification that is signed and dated by the owner/operator stating that the
control device is designed to operate at the performance level documented by
a design analysis or by performance tests when the tank is operating al
capacity or the highest level reasonably expected to occur
-design documents if design analysis is used, including information describing
the control device design and certification that the equipment meets the
applicable specification
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statements) contained herein.
109
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
''i'tW; 'I'll'i'i !>'• "PIMi!!' ii:'iii!ii]'S;f - RlllfllBi
I
REVIEWER CHECKS
— a performance test plan if performance tests are used
-description and date of each modification, as applicable
-identification of operating parameters, description of monitoring devices, and
diagrams of monitoring sensor locations, as applicable
- semiannual records of the following for those planned routine maintenance
operations that would require the control device to exceed limitations:
- a description of the planned routine maintenance that is anticipated to
be performed for the control device during the next 6-mo period,
including the type of maintenance needed, planned frequency, and
lengths of maintenance periods
- a description of the planned routine maintenance that was performed for
the control device during the previous 6-mo period, including the type
of maintenance performed and the total number of hours during those 6
mo that the control device did not meet applicable requirements
-records of the following for those unexpected control device system
malfunctions that would cause the control device to not meet specifications:
-the occurrence and duration of each malfunction of the control device
system
— the duration of each period during a malfunction when gases, vapors, or
fumes are vented from the waste management unit through the closed
vent system to the control device while the control device is not
properly functioning
-actions taken during periods of malfunction to restore a malfunctioning
control device to its normal or usual manner of operation
— records of the management of the carbon removed from a carbon adsorption
system.
Verify that, for exempted tanks (see the definition of Exempted Hazardous Waste
Storage Tanks), the following records are prepared and maintained as applicable:
-if exempted under the hazardous waste concentration conditions, information
used for the waste determination in the facility operating log and/or the date,
time, and location of each waste sample if analysis results for samples are
used
— if exempted under incineration use or process destruction use, the
identification number for the incinerator, boiler, or industrial furnace in
which the hazardous waste is treated.
Verify that the covers which are designated as unsafe to monitor, are listed in a log
-------
Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
•'i'i it, f* f llSfi«l!ll»|i|fll|Pf«
' 11' i COMPliilAlNGE CATEGORY! I
slM t* «< <^1M ii^pWjt«iiliiipi!imi«itHH hn'h "I'M tMlilM id 1'iifiiiHilm'IIIin
|1,J,1 S STORAGE TANK' MANAGEMENT
jliREpUIREMEip,|<:)Rl!f ||t
I- • "MANAGEMENT" m^
,';!!«
information is maintained1
-a list of the individual organic peroxide compounds manufactured at the
facility if it produces more than one, functional family of organic peroxides or
multiple organic peroxides within one functional family, and one or more of
these organic peroxides could potentially undergo self-accelerating thermal
decomposition at or below ambient temperatures
— a description of how the hazardous waste containing the organic peroxide
compounds identified in the above list are managed, including:
— a facility identification number for the tank or group of tanks
— the purpose and placement of this tank or group of tanks in the
management train of this hazardous waste
— the procedures used to ultimately dispose of the hazardous waste
handled in the tank
- an explanations why managing these tanks would be an undue safety hazard.
Verify that all records, except air emission control equipment design information
records, are kept for at least 3 yr.
Verify that air emission control equipment design information records are
maintained in the operating record until the air emissions-control equipment is
replaced otherwise no longer in service.
iT.560.18. TSDFs are
equired to meet specific
eporting requirements as
elated to air emissions
ontrols (40 CFR
:64.1G90(a), and
:64.1090(b)).
Verify that a written report is submitted to the U.S. EPA Regional Administrator
within 15 calendar days of becoming aware that hazardous waste is being managed
in an exempted tank in noncompliance with the applicable design and operating
requirements.
Verify that written reports for noncompliance using exempted tanks contain:
- U.S. EPA identification number
— facility name and address
— description of the noncompliance event and the cause
- actions taken to correct noncompliance and prevent recurrence
- date and signature by the authorized agent of the facility.
Verify that the report contains an explanation of why the control device could not
be returned to compliance within 24 h and actions taken to correct noncompliance.
Verify that a written report is submitted to the U.S. EPA Regional Administrator
within 15 calendar days of becoming aware that hazardous waste is being managed
in a tank equipped with air emissions controls in noncompliance with the
applicable design and operating standards and the report contains:
— U.S. EPA identification number
his document is intended solely for guidance. No statutory or regulatory
;quirements are in any way altered by any statement(s) contained herein.
Ill
-------
Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
ST.ORAGES'TANK!'MANAGEMENTl
" '
!f'3p
ii
- facility name and address
— description of the noncompliance event and the cause
— actions taken to correct noncompliance and prevent recurrence
— date and signature by the authorized agent of the facility.
(NOTE: If the facility received its permit under RCRA Section 3005 prior to
December 6, 1995, these requirements will be incorporated in the permit when it is
reviewed. Until that time, the TSDF is required'to comply with 40 CFR 265
Subpart CC (40 CFR 264,1080(c) and 265.1080(c)).)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
112
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
^.'•f'h
,! ttREQUIREMEN-WORl
11.1 1 i »r£ .iniijiBiiiuiiiiniii * < rllli «1| 1
. '|.|' .iM'XNAGEMENT ,'l|'J
i.,, V.iiPR^'GtlGE1',! |i'l?4
r • .1. " .,M i, « j •",',!!', Liv i, 1
",•! ,i '. „ .11 t i Mini1! ',! re.llr
REV1EWERICHECKS!
ST.600
USED OIL STORAGE
TANKS
ST.600.1. The label USEC
OIL must be clearly markec
on aboveground tanks usec
to store used oil and fill pipes
used to transfer used oil intc
underground storage
facilities at used oi
generators (40 CFR
279.22(c)).
Verify that containers, aboveground tanks, and fill pipes used to transfer used oil
are clearly marked with the phrase USED OIL
(NOTE: See Appendix F of this document for guidance regarding regulatory
classifications of used oil.)
ST.600.2. Aboveground
tanks used to store used oil ai
used oil generators must b«
in good condition and noi
leaking (40 CFR 279,22(b)).
Verify that tanks are not leaking, bulging, rusting, damaged, or dented.
(NOTE: See Appendix F of this document for guidance regarding regulatory
classifications of used oil.)
ST.600,3. Do-it-yourselfei Verify that DIY used oil collection centers meet the tank requirements outlined in
(D1Y) used oil collection checklist items ST.600.1 and ST.600.2.
centers are required to meel .
the same tank standards as
used oil generators (40 CFR
279.30).
ST.600.4. When storing used
oil in tanks, transfer facilities
are required meet specific
requirements (40 CFR
279.45(b) through
279.45(g)):
Verify that used oil transfer facilities storing used oil in tanks, do not store used oil
in units other than those subject to regulation under 40 CFR 264 or 265.
Verify that aboveground tanks used to stored used oil at transfer facilities are in
good condition (no severe rusting, apparent structural defects or deterioration); and
not leaking.
Verify that ASTs used to store used oil at transfer facilities have secondary
containment that consists of the following minimum requirements:
— dikes, berms, or retaining walls
- a floor that covers the entire area within the dikes, berms, or retaining walls
— the system is impervious'to prevent migration to the soil, groundwater, or
surface water.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statements) contained herein.
113
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
, , ,1,,
, • ; * .Ii |f G0MPll'l'XNGEfGATEGOR\3i 11
i' f,i , I,! t !•«•' NBliiiHicii ™ hniniqiiiilil •« i uV,|i»TOi|lMM><«!"' iiilniiiiBII'lllil
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i in'''! in '.r ' V i' f,i , I,! t !•«•' NBliiiHicii ™ hniniqiiiilil •« i uV,|i»TOi|lMM><«!"' iiilniiiiBII'lllil
i | (;, ;,, , ; , - ,!v.; ;>!> j^ #, ;. ,5 p si STORAGE |r^NK« M'A!^AGEMENIJ|
rRF.ftlri«F.MRNTJORtSy| BaMa!
iREVIEWER!CHECKS
Verify that ASTs are labeled with the phrase USED OIL
Verify that fill pipes used to transfer used oil into USTs at transfer facilities arc
labeled USED. OIL.
iT.600.5. When storing used
»il in tanks, used oil burners
.re required meet specific
equirements (40 CFR
!79.60(a), 279,60(c), and
!79.64(a) through 279.64(f>).
Veriiy that ASTs used to stored used oil at are in good condition (no severe rusting.
apparent structural defects or deterioration); and not leaking.
Verify that ASTs used to store used oil have secondary containment that consists ol
the following minimum requirements:
- dikes, berms, or retaining walls
-a floor that covers the entire area within the dikes, berms, or retaining walls
-the system is impervious to prevent migration to the soil, groundwater, 01
surface water.
Verify that ASTs are labeled with the phrase USED OIL.
Verify that fill pipes used to transfer used oil into. USTs at transfer facilities are
labeled USED OIL.
(NOTE: The requirements for used oil burners do not apply to the following:
-the used oil is burned by the generator in an on-site space heater under the
provisions of 40 CFR 279,23
-the used oil is burned by a processor/re-re finer for purposes of processing
used oil, which is considered burning incidentally to used oil processing
-persons burning used oil that meets the used oil fuel specification of 40 CFR
279.11 (see Appendix F of this document), if the burner complies with the
requirements for used oil fuel marketers.)
•T.600,6, Used oil marketers
/ho generate used oil are
squired to also meet the
tandards for used oil
enerators (40 CFR
79.70(c)(l)).
Verify that used oil marketers who generate used oil also comply with checklist
items ST.600.1 and ST.600.2.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
114
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
„ .
Iff if ffeOMEEIANGE'C-ATEGORYj
i! • b' H tEl'lhi liiil51niti«i~lwmil!»MI«»l"n"»(lll|I«lil<*'"''l>1lfl"""»"l'1'"*
1 iili' SORAGEtTANK+M'lSV'AGEME
ST.600.7. When used oil is
stored in a tank, used oil
processors/re-refiners are
required to meet specific
requirements (40 . CFR
279.50(a) and 40 CFR
279.54(a) through 279.54(1)),
arc • i goo< con'
severe rusting, apparent structural defects or deterioration); and not leaking.
Verify that ASTs used to store used oil have secondary containment that consists of
the following minimum requirements:
-dikes, berms, or retaining walls
-a floor that covers the entire area within the dikes, berms, or retaining walls
-the system is impervious to prevent migration to the soil, groundwater, or
surface water.
Verify that ASTs are labeled with the phrase USED OIL.
Verify that fill pipes used to transfer used oil into USTs at transfer facilities are
labeled USED OIL.
(NOTE: These requirements do not apply to cither of the following:
-transporters that conduct incidental processing operations that occur during
the normal course of transportation as provided in 40 CFR 279.41
-burners that conduct incidental processing operations that occur during the
normal course of used oil management prior to burning as provided in 40 CFR
279.61(b).)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
115
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
This Page Intentionally Left Blank
This document is intended solely for guidance. No statutory or regulatory 11 g
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of
Storage Tanks under RCRA
Appendix A:
Financial Responsibility Requirements And Deadlines For Various
Groups Of Underground Storage Tank Owners And Operators
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
Financial Responsibility Requirements and Deadlines for Various Groups of
Underground Storage Tank Owners and Operators
11 ,—,.__, , ,,
1 1 11
Iff Ikl
I
Si i
1 :
Petroleum marketers with
1 ,000 or more tanks
OM
Nonmarketers with net worth of $20 million
or more
(for nonmarketers, the "per occurrence"
amount is the
same as Group 4-B below)
GROUP 2:
Petroleum marketers with
100-999 tanks
GROUP 3:
Petroleum marketers with
13-99 tanks
GROUP 4-A:
Petroleum marketers with
1-12 tanks
GROUP 4-B:
Nonmarketers with net worth of less than
$20 million
GROUP 4-C:
Local governments (including Indian tribes
not part of Group 5)
GROUP 5;
Indian tribes owning USTs on Indian lands
(USTs must be in compliance with UST
technical requirements )
11 ' 11
1 ! 1 .<
j j [Compliances
jjjj Deadline I
Junuari 19i9
October 1989
April
1991
December
1993
December
1993
February
1994
December
1998
11 i"PL>rJQccurreiKre''i 1
i . . ' . .. " -I
ii Coverage if
1 f
SI million
$500,000
if throughput is 10,000
gallons monthly or less
OR
SI million
if throughput is more
than 10,000 gallons
monthly
p.W'Agireiate' j
ii Coverage I
$1 million
if you have
100 or
fewer tanks
OR
$2 million
if you have more than
100 tanks
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
Al
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
This Page Intentionally Left Blank
This document is intended solely for guidance. No statutory or regulatory A2
requirements are in any way altered by any statements) contained herein.
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Protocol for Conducting Environmental Compliance Audits of
Storage Tanks under RCRA
Appendix B:
Additional Underground Storage Tank Information
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
Additional Underground Storage Tank Information
For information on USTs, you can go to U.S. EPA's Office of Underground Storage Tanks Web site at
http://www.epa.gov/OUST/ to download, order, or read documents online. You can call U.S. EPA's toll-free
RCRA/Superfund Hotline at 1-800 - 424-9346 and order copies. Or you can write and ask for titles by addressing
your request to NCEP, our publication distributor: NCBP, Box 42419, Cincinnati, OH 45242. Or you can make your
request by calling NCEP's toll-free number at 1-800 - 490-9198. Or you can fax your order to NCEP at 513 - 891-
6685.
1. Publications About USTs:
Musts For USTs; A Summary Of Federal Regulations For USTs. Booklet clearly summarizes federal UST
requirements for installation, release detection, spill, overfill, and corrosion protection, corrective action, closure,
reporting and recordkeeping. Updated & revised 1995. Normas y Procedimientos para T.S.A. Spanish translation
of 1988 edition of Musts For USTs. .
Catalog Of EPA Materials On USTs. This booklet provides an annotated list of UST materials and includes
ordering information. Many of the informational leaflets, booklets, videos, and software items listed are designed to
provide UST owners and operators with information to help them comply with the federal UST requirements.
Straight Talk On Tanks: Leak Detection Methods For Petroleum USTs. Booklet explains federal requirements
for leak detection and describes allowable leak detection methods. Updated & revised 1995.
Doing Inventory Control Right: For USTs. Booklet describes how owners/operators of USTs can use inventory
control and periodic tightness testing to meet federal leak detection requirements. Contains reporting forms.
Manual Tank Gauging: For Small USTs. Booklet provides simple, "step-by-step directions for conducting manual
tank gauging for tanks 2,000 gallons or smaller. Contains reporting forms.
Introduction To Statistical Inventory Reconciliation: For USTs. Booklet describes the use of Statistical
Inventory Reconciliation (SIR) to meet federal leak detection requirements.
Getting The Most Out Of Your Automatic Tank Gauging System. Trifold leaflet provides a basic checklist for
ensuring that this methodJs used effectively by UST owners and operators to comply with leak detection
requirements.
Don't Wait Until 1998: Spill, Overfill, And Corrosion Protection For USTs. Information to help owners and
operators of USTs meet the 1998 deadline for compliance with requirements to upgrade, replace, or close USTs
installed before December 1988. Materials available as a 16-page booklet, a tri-fold leaflet, or Spanish translation of
the booklet (Wo Espere Hasta El1998!),
Dollars And Sense: Financial Responsibility Requirements For USTs. Booklet clearly summarizes the "financial
responsibility" required of UST owners/operators by federal UST regulations,
An Overview Of UST Remediation Options. Information about technologies that can be used to remediate
petroleum contamination in soil and groundwater.
Controlling UST Cleanup Costs. Fact sheet series on the cleanup process includes: Hiring a Contractor,
Negotiating the Contract, Interpreting the Bill, Managing the Process, and Understanding Contractor Code Words.
Pay-For-Performance Cleanups: Effectively Managing UST Cleanups. Booklet explores potential advantages of
using pay-for-performance cleanup agreements to reduce the cost and time of cleanups and more effectively manage
cleanup resources.
This document is intended solely for guidance. No statutory or regulatory Bl
requirements are in any way altered by any statement(s) contained herein. •
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
2. Industry Codes And Standards:
Installation
API Recommended Practice 1615 (1996), "Installation of Underground Petroleum Storage Systems"
PEI RP100-97 (1997), "Recommended Practices for Installation of Underground Liquid Storage Systems"
Tank Filling Practices
NFPA 385 (1990), "Standard'for Tank Vehicles for Flammable and Combustible Liquids"
Closure
API Recommended Practice 1604 (1996), "Closure of Underground Petroleum Storage Tanks"
Assessing Tank Integrity, Repairing Tanks, and Interior Lining Of Tank
API Recommended Practice 1631 (1997), "Interior Lining of Underground Storage Tanks"
NLPA Standard 631 (1991), "Entry, Cleaning, Interior Inspection, Repair, and Lining of Underground Storage
Tanks"
. Corrosion Protection
API Recommended Practice 1632 (1996), "Cathodic Protection of Underground Petroleum Storage Tanks and
Piping Systems"
NACB RP-0169-96 (1996), "Standard Recommended Practice: Control of External Corrosion on Underground or
Submerged Metallic Piping Systems"
NACE RP-0285-95 (1995), "Standard Recommended Practice: Corrosion Control of Underground Storage Tank
Systems by Cathodic Protection"
STI R892-91 (1991), "Recommended Practice for Corrosion Protection of Underground Piping Networks
Associated with Liquid Storage and Dispensing Systems"
General (Repair, Spill and Overfill, Installation, Compatibility)
API Recommended Practice 1621 (1993), "Bulk Liquid Stock Control at Retail Outlets"
API Recommended Practice 1626 (1985), "Storing and Handling Ethanol and Oasoline-Ethanol Blends at
Distribution Terminals and Service Stations"
API Recommended Practice 1627 (1986), "Storage and Handling of Gasoline-Methanol/Cosolvent Blends at
Distribution Terminals and Service Stations"
This document is intended solely for guidance. No statutory or regulatory B2
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
API Recommended Practice 1635 (1987), "Management of Underground Petroleum Storage Systems at Marketing
and Distribution Facilities"
NFPA 30 (1996), "Flammable and Combustible Liquids Code"
NFPA 30A (1996), "Automotive and Marine Service Station Code"
3. Organizations
API — American Petroleum Institute
1220 L Street, N.W.
Washington, DC 20005
(202)682-8000
Fiberglass Petroleum Tank and
• Pipe Institute
11150 South Wilcrest Dr., Suite 101
Houston, TX 77099-4343
(713)465-3310
NACE International (formerly the National Association of Corrosion Engineers)
Box 218340
Houston, TX 77218-8340
(713)492-0535
NFPA -- National Fire Protection Association
1 Batterymarch Park
Box 9101
Quincy, MA 02269-9101
(617)770-3000
NLPA — National Leak Prevention Association
Route 2, Box 106A
Falmouth, KY 41040
(606) 654-8265
PEI — Petroleum Equipment Institute
Box 2380
Tulsa, OK 74101-2380
(918)494-9696 . . . '
Steel Tank Institute
570 Oakwood Road
Lake Zurich, IL 60047
(708) 438-TANK [8265]
This document is intended solely for guidance. No statutory or regulatory B3
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA_
This Page Intentionally Left Blank
This document is intended solely for guidance. No statutory or regulatory B4
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of
Storage Tanks under RCRA
Appendix C:
Release Detection Requirements for Underground Storage Tanks
and Underground Piping (40 CFR 280.43 and 280.44)
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
Release Detection Requirements for Underground Storage Tanks and Underground Piping
(40 CFR 280.43 and 280.44)
A. UST Options (see Appendix B of this document for a list of additional guidance documents)
1. Inventory control: Product inventory control must be conducted monthly to detect a release of at least 1.0
percent of flow-through plus 130 gal on a monthly basis in the following manner;
— inventory volume measurements for regulated substance inputs, withdrawals, and the amount still
remaining in the tank are recorded each operating day
- the equipment used is capable of measuring the level of product over the full range of the tanks height to
the nearest 1/8 in.
- the regulated substance inputs are reconciled with delivery receipts by measurements of the tank inventory
volume before and after delivery
— deliveries made through a drop tube that extends to within 1 ft of the tank bottom
- product dispensing is metered and recorded within the local standards for meter calibration or an accuracy
of 6 cubic inches for every 5 gallons of product withdrawn, and
— the measurement of any water level in the bottom of the tank is made to the nearest 1/8 in, at least once a
month.
2. Manual gauging: manual tank gauging must meet the following requirements:
— tank liquid level measurements are taken at the beginning and end of a period of at least 36 h during
which no liquid is added to or removed from the tank
— level measurements are based on an average of two consecutive stick readings at both the beginning and
end of the period
-the equipment used is capable of measuring the level of product over the fullrange of the.tank's height to
the nearest 1/8 in.
-a leak is suspected and subject to the requirements of 40 CFR 280.50 through 280.53 if the variation
between beginning and ending measurements exceeds the weekly or monthly standards of Table A below .
-only tanks of 550 gal or less nominal capacity may use this as a sole method of-release detection. Tanks of
551 to 2000 gal may also use the inventory control method in paragraph 1 in this appendix. Tanks of
greater than 2000 gal nominal capacity may not use this method to meet release detection requirements.
Table A
Nominal Tank Capacity Weekly Standard (one test) Monthly Standard
(average of four)
550 gal or less
551-1000 gal
1 00 1-2000 gal
10 gal
13 gal
26 gal
5 gal
7 gal ,
13 gal
3. Tank tightness testing: Tank tightness testing must be capable of detecting a 0.1 gal/h leak rate from any portion
of the tank that routinely contains product while accounting for the effects of thermal expansion or contraction of
the product, vapor pockets, tank deformation, evaporation or condensation, and the location of the water table.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
4. Tank automatic gauging: Equipment for automatic tank gauging that tests for the loss of product and conducts
inventory control; must meet the following requirements:
- the automatic product level monitor test can detect a 0.2 gal/h leak rate from any portion of the tank that
routinely contains product, and
— inventory control is conducted according to requirements (see para 1 above).
5, Vapor monitoring: Testing or monitoring for vapors within the soil gas of the excavation zone must meet the
following requirements:
-the materials used as backfill are sufficiently porous (e.g., gravel, sand, crushed rock) to easily allow
diffusion of vapors from releases into the excavation area
-the stored regulated substance, or a tracer compound placed in the tank system, is sufficiently volatile (e.g.,
gasoline) to result in a vapor level that is detectable by the monitoring devices located in the excavation
zone in the event of a release from the tank
— the measurement of vapors by the monitoring device is not rendered inoperative by the ground water,
rainfall, or soil moisture or other unknown interferences so that a release could go undetected for more than
30 days
- the level of background contamination in the excavation zone will not interfere with the method used to
detect releases from the tank
-the vapor monitors are designed and operated to detect any significant increase in concentration above
background of the regulated substance stored in the tank system, a component or components of that
substance, or a tracer compound placed in the tank system
-in the UST excavation zone, the site is assessed to ensure compliance with the requirements of paragraph 5
above and to establish the number and positioning of monitor wells that will detect any releases within the
excavation zone from any portion of the tank that routinely contains product, and
— monitoring wells are clearly marked and secured to avoid unauthorized access and tampering.
6. Groundwater monitoring: Testing or monitoring for liquids in the ground water must meet the following
requirements:
-the regulated substance stored is immiscible in water and has a specific gravity of less than one
-groundwater is never more than 20 ft from the ground surface and the hydraulic conductivity of the soil(s)
between the UST system and the monitoring wells or devices is not less than 0.01 cm/s (e.g., the soil should
consist of gravels, coarse to medium sands, coarse silts or other permeable materials
— the slotted portion of the monitoring well casing must be designed to prevent migration of natural soils or
filter pack into the well and to allow entry of regulated substance on the water table into the well under both
high and low ground water conditions
— monitoring wells should be sealed from the ground surface to the top of the filter pack
— monitoring wells or devices intercept the excavation zone or are as close to it as is technically feasible
-the continuous monitoring devices or manual methods used can detect the presence of at least 1/8 in. of free
product on tip of the ground water in the monitoring wells
- within and immediately below the UST system excavation zone, the site is assessed to ensure compliance
with the requirements of paragraph 6 above and to establish the number and positioning of monitoring wells
or devices that will detect releases from any portion of the tank that routinely contains product, and
- monitoring wells are clearly marked and secured to avoid unauthorized access and tampering.
7. Interstitial monitoring: Interstitial monitoring between the UST system and a secondary barrier immediately
around or beneath it may be used, but only if the system is designed, constructed and installed to detect a leak
from any portion of the tank that routinely contains product and also meets one of the following requirements:
— for double-walled systems, the sampling or testing method can detect a release through the inner wall in any
portion of the tank that routinely contains product
— for UST systems with a secondary barrier within the excavation zone, the sampling or testing method used
can detect a release between the UST system and the secondary barrier
This document is intended solely for guidance. No statutory or regulatory • C2
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
=> the secondary barrier around or beneath the UST system consists of artificially constructed material
that is sufficiently thick and impermeable (at least 10"6 cm/s for the regulated substance stored) to
direct a release to the monitoring point and permit its detection
=> the barrier is compatible with the regulated substance stored so that a release from the UST system
will not cause a deterioration of the barrier allowing a release to pass through undetected
=> for cathodically protected tanks, the secondary barrier must be installed so that it does not interfere
with the proper operation of the cathodic protection system
=> the ground water, soil moisture, or rainfall will not render the testing or sampling method used
inoperative so that a release could go undetected for more than 30 days
=s> the site is assessed to ensure that the secondary barrier is always above the ground water and not in
a 25 yr flood plain, unless the barrier and monitoring designs are for use under such conditions, and
=s> monitoring wells are clearly marked and secured to avoid unauthorized access and tampering.
- for tanks with an internally fitted liner, an automated device can detect a release between the inner wall of
the tank and the liner. The liner is compatible with the substance stored.
8. Other methods: Any other type of release detection method, or combination of methods, can be used if:
-it can detect a 0.2 gal/h leak rate or a release of 150 gal within a month with a probability of detection of
0.95 and a probability of false alarm of 0.05, or
-the implementing agency may approve another method, if it can be demonstrated that this method can detect
releases as effectively as the methods listed in this appendix.
B. Underground Piping Options
I Automatic line detectors: Methods which alert the operator to the presence of a leak by restricting or shutting off
the flow of regulated substances-through piping, or triggering an audible or visual alarm may be used only if they
detect leaks of 3 gal/h at 10 Ib/in. line pressure within 1 h. An annual test of the operation of the leak detector
must be conducted in accordance with the manufacturer's requirements.
2. Line tightness testing: A periodic test of piping may be conducted only if it can detect a 0.1 gal/h leak one and
one-half times the operating pressure.-
3. Applicable tank methods: The methods outlined in A2 through A4 may be used if they are designed to detect a
release from any portion of the underground piping that routinely contains regulated substances.
This document is intended solely for guidance. No statutory or regulatory C3
requirements are in any way altered by any statcment(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
This Page Intentionally Left Blank
This document is intended solely for guidance. No statutory or regulatory C4
requirements are in any way altered by aoy statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of
Storage Tanks under RCRA
Appendix D:
Financial Test of Self-Insurance
(40 CFR 280.95(a) through 280.95(d))
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
Financial Test of Self-Insurance
(40 CFR 280.95(a) through 280.95(d))
To pass the financial test of self-insurance, the owner or operator, and/or guarantor must meet the criteria of option
(A) or (B) of this appendix based on year-end financial statements for the latest completed fiscal year.
Option A
Al. The owner or operator, and/or guarantor, must have a tangible net worth of at least ten times:
-the total of the applicable aggregate amount required by 40 CFR 280.93, based on the number of USTs
for which a financial test is used to demonstrate financial responsibility to U.S. EPA or to a state
implementing agency under a state program approved by U.S. EPA under 40 CFR 281;
— the sum of the corrective action cost estimates, the current closure and post-closure care cost estimates,
and amount of liability coverage for which a financial test is used to demonstrate financial responsibility
to U.S. EPA under 40 CFR 264.101, 264.143, 264.145, 265.143, 265.145, 264.147, and 265.147 or to a
state implementing agency under a state program authorized by U.S. EPA under 40 CFR 271; and
-the sum of current plugging and abandonment cost estimates for which a financial test is used to
demonstrate financial responsibility to U.S. EPA under 40 CFR 144,63 or to a state implementing agency
under a state program authorized by U.S. EPA under 40 CFR 145.
A2. The owner or operator, and/or guarantor, must have a tangible net worth of at least $10 million.
A3. The owner or operator, and/or guarantor, must have a letter signed by the chief financial officer worded as
specified below.
A4, The owner or operator, and/or guarantor, must either:
— file financial statements annually with the U.S. Securities and Exchange Commission, the Energy
Information Administration, or the Rural Electrification Administration; or
— report annually the firm's tangible net worth to Dun and Bradstreet, and Dun and Bradstreet must have
assigned the firm a financial strength rating of 4A or 5 A.
A5. The firm's year-end financial statements, if independently audited, cannot include an adverse auditor's opinion, a
disclaimer of opinion, or a "going concern" qualification.
Option B"
Bl. The owner or operator, and/or guarantor must meet the financial test requirements of 40 CFR 264.147(f)(l),
substituting the appropriate amounts specified in 40 CFR 280.93 (b)(l) and (b)(2) for the "amount of liability
coverage" each time specified in that section.
B2. The fiscal year-end financial statements of the owner or operator, and/or guarantor, must be examined by an
independent certified public accountant and be accompanied by the accountant's report of the examination.
B3. The firm's year-end financial statements cannot include an adverse auditor's opinion, a disclaimer of opinion, or
a "going concern" qualification.
B4. The owner or operator, and/or guarantor, must have a letter signed by the chief financial officer, worded as
specified below.
B5. If the financial statements of the owner or operator, and/or guarantor, are not submitted annually to the U.S.
Securities and Exchange Commission, the Energy Information Administration or the Rural Electrification
Administration, the owner or Operator, and/or guarantor, must obtain a special report by an independent certified
public accountant stating that: • .
This document is intended solely for guidance. No statutory or regulatory Dl
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
— he has compared the data that the letter form the chief financial officer specifies as having been derived
. from the latest year-end financial statements of the owner or operator, and/or guarantor, with the amounts
. in such financial statements; and
- in connection with that comparison, no matters came to his attention which caused him to believe that the
specified data should be adjusted.
Letter from Chief Financial Officer
To demonstrate that it meets the financial test, the chief Financial officer of the owner or operator, or guarantor, must
sign, within 120 days of the close of each financial reporting year, as defined by the 12-mo period for
which financial statements used to support the financial test are prepared, a letter worded exactly as follows, except
that the instructions in brackets are to be replaced by the relevant information and the brackets deleted:
I am the chief financial officer of [insert: name and address of the owner or operator, or
guarantor]. This letter is in support of the use of [insert: "the financial test of self-insurance,"
and/or "guarantee"] to demonstrate financial responsibility for [insert: "taking corrective action"
and/or "compensating third parties for bodily injury and property damage"] caused by [insert:
"sudden accidental releases" and/or "nonsudden accidental releases"] in the amount of at least
[insert: dollar amount] per occurrence and [insert: dollar amount] annual aggregate arising from
operating (an) UST(s).
: USTs at the following facilities are assured by this financial test or a financial test under an
authorized state program by this [insert: "owner or operator," and/or "guarantor"]: [List for each
facility: the name and address of the facility where tanks assured by this financial test are located,
and whether tanks are assured by this financial test or a financial test under a state program
approved under 40 CFR 281. If separate mechanisms or combinations of mechanisms are being
used to assure any of the tanks at this facility, list each tank assured by this financial test or a
financial test under a state program authorized under 40 CFR 281 by the tank identification
number provided in the notification submitted pursuant to 40 CFR 280.22 or the corresponding
state requirements.]
A [insert: "financial test," and/or "guarantee"] is also used by this [insert: "owner or operator," or
"guarantor"] to demonstrate evidence of financial responsibility in the following amounts under
other U.S. EPA regulations or state programs authorized by U.S. EPA under 40 CFRs 271 and
145:
U.S. EPA Regulations Amount
Closure (40 CFR 264.143 and 265.143) $.
Post-Closure Care (40 CFR 264,145 and 265.145) $
Liability Coverage (40 CFR 264.147 and 265.147) $
Corrective Action (40 CFR 264.101 (b)) $
Plugging and Abandonment (40 CFR 144.63) $
Closure $
Post-Closure Care $
Liability Coverage $
Corrective Action $
Plugging and Abandonment $
Total S •
This [insert: "owner or operator," or "guarantor"] has not received an adverse opinion, a
disclaimer of opinion, or a "going concern" qualification from an independent auditor on his
financial statements for the latest completed fiscal year.
This document is intended solely for guidance. No statutory or regulatory D2
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
[Fill in the information for Alternative I if the criteria of Option A are being used to demonstrate
compliance with the financial test requirements. Fill in the information for Alternative Jl if the
criteria of Option B are being used to demonstrate compliance with the financial test
requirements.]
Alternative I
1. Amount of annual UST aggregate coverage being
assured by a financial test, and/or guarantee $
2. Amount of corrective action, closure and post-
closure care costs, liability coverage, and
plugging and abandonment costs covered by a
financial test, and/or guarantees S
3. Sum of lines 1 and 2 S
4. Total tangible assets S
5. Total liabilities [if any of the amount reported
on line 3 is included in total liabilities, you
may deduct that amount from this line and add
that amount to line 6] S
6. -Tangible net worth [subtract line 5 from line 4] S .
Yes No
7. Is line 6 at least $10 million? '
8. Is line 6 at least 10 times line 3? .
9. Have financial statements for the latest fiscal
year been filed with the Securities and Exchange
Commission? •'
10. Have financial statements for the latest fiscal
year been filed with the Energy Information
Administration?
11. Have financial statements for the latest fiscal
year been filed with the Rural Electrification
Administration?
12. Has financial information been provided to Dun and
Bradstreet, and has Dun and Bradstreet provided a
financial strength rating of 4A or 5A? [Answer
"Yes" only if both criteria have been met]
Alternative II
1. Amount of annual UST aggregate coverage being
assured by a test, and/or guarantee
2. Amount of corrective action, closure and post-
closure care costs, liability coverage, and
plugging and abandonment costs covered by a
financial test, and/or guarantee
3. Sum of lines 1 and 2
4. Total tangible assets
5. Total liabilities [if any of the amount reported
on line 3 is included in total liabilities, you " •
may deduct that amount froim this line and add
' that amount to line 6]
6. Tangible net worth [subtract line 5 from line 4]
This document is intended solely for guidance. No statutory or regulatory P3
requirements are in any way altered by any statement(s) contained herein.
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Protocol Tor Conducting Environmental Compliance Audits of Storage Tanks under
Total assets in the U.S. [required only if less
than 90 percent of assets are located in the
»!#•*•*
7,
U.S.]
Yes No
8. Is line 6 at least $ 10 million?
9, Is tine 6 at least 6 times line 3?
10. Are at least 90 percent of assets located in the
U.S.? [If "No," complete line 11.]
11. Is line 7 at least 6 times line 3? .
[Fill in either lines 12-15 or lines 16-18:]
12. Current assets $
13. Current liabilities
14. Net working capital [subtract line 13 from line
12] _
Yes No
15. Is line 14 at least 6 times line 3? .
16. Current bond rating of most recent bond issue
17. Name of rating service .
18. Date of maturity of bond
19: Have financial statements for the latest fiscal'
year been filed with the SEC, the Energy
Information Administration, or the Rural
Electrification Administration?
[If "No," please attach a report from an independent certified public accountant certifying that
there are no material differences between the data as reported in lines 4-18 above and the financial
statements for the latest fiscal year.]
[
For both Alternative I and Alternative II complete the certification with this statement.]
I hereby certify that the wording of this letter is identical to the wording specified in 40 CFR
280.95(d) as such regulations were constituted on the date shown immediately below.
[Signature]
. [Name]
[Title]
[Date]
This document is intended solely for guidance. No statutory or regulatory 04
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance
Audits of Storage Tanks under RCRA
Appendix E:
Schedule for Implementation of Air Emissions Standards
(40 CFR 265.1082)
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
Schedule for Implementation of Air Emissions Standards
(40 CFR 265.1082)
Facilities existing on October 6, 1996, which are required to comply with 40 CFR 265, Subparts I, J, and K, shall:
-install and begin operation of all required control equipment by October 6, 1996. If it cannot be installed and
operating by October 6,1996, the owner and operator shall:
- install and begin operation as soon as possible but not later than December 8, 1997
-prepare an implementation schedule which is placed in the operating record by October 6, 1996.
Facilities which are required to comply with 40 CFR 265, Subparts I, J, and K due to a.statutory or regulatory
amendment shall:
-install and begin operation of all required control equipment by the effective date of the amendment. If it
cannot be installed and operating by the effective date of the amendment the owner and operator shall;
— install and begin operation as soon as possible but not later than 30 mo after the amendment effective date
— prepare an implementation schedule which is placed in the operating record no later than the effective-
date of the amendment.
(NOTE: The Regional Administrator may elect to extend the implementation date at a facility on a case- by-case
basis.)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any staternent(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
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This document is intended solely for guidance. No statutory or regulatory E2
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of
Storage Tanks under RCRA
Appendix F:
Used Oil Classifications (40 CFR 279.10 and 279.11)
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
Used Oil Classifications
(40 CFR 279,10 and 279.11)
Used Oils Which Are Required to be Handled According to the Requirements in 40 CFR 279 (40 CFR
279.10(b)(2)(ii), 279.10(b)(2)(iii), 279.10(b)(3), 279.10(c}(2), 279.10(d), 279.10(e)(2), and 279.10(i))
1. Used oil containing more than 1000 ppm of total halogens but the generator has demonstrated that the
used oil does not contain hazardous waste.
2. Used metalworking oils/fluids containing chlorinated-paraffins \vhen they are recycled or disposed of
and the generator has demonstrated that the used oil does not contain hazardous waste.
3. Used oils contaminated with CFCs that have been mixed with used oil from sources other than refrigeration units
'(or from refrigeration units but the unit is destined for reclamation) and the generator has demonstrated that the
used oil does not contain hazardous waste.
4. Materials produced from used oil that are burned for energy recovery.
5. Mixtures of used oil and a characteristic hazardous waste if the resultant mixture does not exhibit any
characteristics of hazardous waste,
6. Mixtures of used oil and a waste that is hazardous solely because it exhibits the characteristic of ignitability and is
not a listed waste, provided that the mixture does not exhibit the ignitability characteristic.
7. Mixtures of used oil and conditionally exempt small quantity generator (CESQG) hazardous waste.
8. Mixtures of used oil and fuels or other fuel products, except those mixed on-site by the generator for
use in the generators own vehicles if the used oil and the diesel fuel have been mixed,
9. Used oil burned for energy recovery and any fuel produced from used oil that exceeds the following
allowable limits:
Arsenic
Cadmium
Chromium
Lead
Flash Point
Total halogens
5 ppm maximum
2 ppm maximum
10 ppm maximum
100 ppm maximum
100 °F minimum
4000 ppm maximum
10. Materials containing or otherwise contaminated with used oil that are burned for energy recovery.
11. Used oil drained or removed from materials containing or otherwise contaminated with used oil,
12. Used oil at marketers or burners with any quantifiable level of PCBs (the standards in 40 CFR 761.20(a) must
also be met for this type of oil).
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
Fl
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Protocol for Conducting Environmental Compliance Audits of Storage Tanks under RCRA
Used Oil that is Required to be Handled as a Hazardous Waste (40 CFR 279.10(b)).
1. Mixtures of used oil and listed hazardous waste. • • • -
2. Used oil containing more than 1000 ppm total halogens
3. Used metalworking oils/fluids containing chlorinated paraffins if processed through a tolling agreement,
4. Used oil contaminated with CFCs removed from refrigeration units where the CFCs are destined for reclamation.
5. Mixtures of used oil and hazardous waste if the resultant mixture exhibits characteristics of a hazardous waste.
Used Oil that is not Subject to the Requirements of 40 CFR 279, Nor is it to be Handled as a Hazardous Waste
Unless Testing Indicates Hazardous Constituents (40 CFR 279.10(c)(l), 279.10(d){2), 279.10(e)(l),
279JO(e)(3), 279.10{e)(4), and 279.10(0 through 279.10(h)).
1. Mixtures of used oil and diesel fuel mixed on-site by the generator of the used oil for use in the generator's own
vehicles.
2. Materials that are reclaimed from used oil that are used beneficially and are not burned, for energy recovery or
used in a manner constituting disposal.
3. Materials derived from used oil that are disposed of or used in a manner constituting disposal.
4. Used oil re-refining distillation bottoms that are used as feedstock to manufacture asphalt products.
5. Wastewater discharges with de minimis quantities of used oil.
6. Used oil within a crude oil or natural gas pipeline.
7. Used oil on vessels.
8. Materials containing or otherwise contaminated with used oil from which the used oil has been properly
drained or removed so that no signs of visible free-flowing remains.
This document is intended solely for guidance. No statutory or regulatory F2
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of
Storage Tanks under RCRA
Appendix G:
User Satisfaction Questionnaire and Comment Form
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User Satisfaction Survey
• (OMB Approval No. 1860,01)
Expires 9/30/2001
We would like to know if this Audit Protocol provides you with useful information. This information
will be used by EPA to measure the success of this tool in providing compliance assistance and.to
determine future applications and needs for regulatory checklists and auditing materials.
1. Please indicate which Protocol(s) this survey applies to: '
Title: : ' . •
EPA Document Number:
2. Overall, did you find the Protocol helpful for conducting audits:
Yes No
If not, what areas of the document are difficult to understand?
3. How would you rate the usefulness of the Protocol(s) for conducting compliance audits on a
scale of 1-5?
1 = not useful or effective, 3 = somewhat useful/effective, 5 = very useful/effective
Low Medium High
12345 Introduction Section
12345 Key Compliance Requirements
1 2 " 3 4 5 Key Terms and Definitions
1 ' 2 3 4 5 Checklist
4. What actions do you intend to take as a result of using the protocol and/or conducting the audit?
Please check all that apply.
; Contact a regulatory agency
Contact a compliance assisstance provider (e.g., trade association, state agency, EPA)
Contact a vendor
Disclose violations discovered during the audit under EPA's audit Policy
Disclose violations discovered under EPA's Small Business Policy
Obtain a permit or certification
. Change the handling of a waste, emission or pollutant
Change a process or practice
Purchase new process equipment
Install emission control equipment (e.g., scrubbers, waste water treatment)
Install waste treatment system (control technique)
. Implement or improve pollution prevention practices (e.g., source reduction, recycling)
Improve organizational auditing program
Institute an Environmental Management System
Improve the existing Environmental Management System (e.g., improve training, clarify standard
operating procedures, etc.)
Other :
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5, • What, if any, environmental improvements will result from the actions to be taken (check all that
apply)?
reduced emissions
waste reduction
reduced risk to human health and the environment due to better management practices
reduced quantity and toxicity of raw materials
water conservation
energy conservation
conserved raw materials
conservation of habitat or other environmental stewardship practice:
other:
no environmental improvements are likely to result from the use of this document
6. How did you hear about this document?
trade association
state technical assistance provider
EPA internet homepage or website
document catalog
co-worker or business associate
EPA, state, or local regulator
other (please specify)
7. In order to understand your response, we would like to know what function you perform with respect
to environmental compliance and the size of your organization.
Company Personnel Trade Association Compliance Assistance
Environmental Auditor National Provider
Corporate Level . Regional • EPA
Plant-level Local State.
Legal Manager State Small Business
„ Environmental Manager Information Specialist Assistance
Operator - (e.g., . Local
Pol lutioh Control Other
Equipment •
• Other;
Regulatory Personnel Vendor/Consultant
State Environmental Auditor
Local Environmental
EPA Engineer/Scientist
Attorney
How many employees are located at your facility (including full-time contractors?)
0-9 10-49 50-100 101-500 More than 500
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Optional (Please Print)
Name: ' Address:.
Title: _City: State:.
Zip code: ^^_
Organization Name:^
Phone: ( ) , E-mail:_
Please return all pages (1 thru 3) of this survey by folding pages 1 and 2 into page 3 and using the preprinted, pre-
stamped address on the reverse side of page 3. If you have accessed this document electronically from one of EPA's
web sites, simply e-mail this questionnaire to: satterfield.richard@epa.goy.
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