Solid Waste and Emergency Response
(5305W)
EPA530-R-04-017
Training Module
Introduction to
Permits and Interim
Status
(40 CFR Part 270)
United States
Environmental Protection
Agency
September 2003
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DISCLAIMER
This document was developed by Booz Allen Hamilton under contract 68-W-01-020 to EPA.
It is intended to be used as a training tool for Call Center specialists and does not represent a
statement of EPA policy.
The information in this document is not by any means a complete representation of EPA s
regulations or policies. This document is used only in the capacity of the Call Center training and
is not used as a reference tool on Call Center calls. The Call Center revises and updates this
document as regulatory program areas change.
The information in this document may not necessarily reflect the current position of the Agency.
This document is not intended and cannot be relied upon to create any rights, substantive or
procedural, enforceable by any party in litigation with the United States.
RCRA, Superfund & EPCRA Call Center Phone Numbers:
National toll-free (outside of DC area) (800) 424-9346
Local number (within DC area) (703) 412-9810
National toll-free for the hearing impaired (TDD) (800) 553-7672
The Call Center is open from 9 am to 5 pm Eastern Time,
Monday through Friday, except for federal holidays.
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PERMITS AND INTERIM STATUS
CONTENTS
1. Introduction 1
2. Regulatory Summary 2
2.1 Applicability 2
2.2 Permitting Process 3
2.3 Permit Conditions 8
2.4 Changes to Permits 9
2.5 Post-Closure Permits 12
2.6 Special Forms of RCRA Permits 14
2.7 Interim Status Requirements 16
3. Special Issues 19
4. Regulatory Developments 20
4.1 Standardized Permit 20
4.2 Permitting Cement Kiln Dust Facilities 20
4.3 Burden Reduction Initiative 20
4.4e-PermittingProject 21
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Permits and Interim Status - 1
1. INTRODUCTION
Owners and operators of facilities that treat, store, or dispose of hazardous waste must obtain an
operating permit, as required by Subtitle C of the Resource Conservation and Recovery Act
(RCRA). Permits are an essential part of the RCRA Subtitle C hazardous waste program. They
define the conditions and requirements that apply to treatment, storage, and disposal facilities
(TSDFs), ensuring that hazardous waste is handled safely and in a controlled manner. This
training module presents an overview of the RCRA permitting process and the requirements that
apply to TSDFs operating under interim status until a permit is issued. The regulations
governing the permitting process are found in 40 CFR Parts 124 and 270.
When you have completed this module, you will be able to describe the RCRA permitting
process. Specifically, you will be able to:
• list the types of waste management activities that require a permit,
• define "existing hazardous waste facility" and "new hazardous waste facility,"
• identify the CFR sections relevant to Part A and Part B permit application requirements
and briefly describe the difference between the two parts,
outline the steps in the permitting process from interim status to receipt of a permit,
cite the CFR sections pertaining to permit duration and modifications,
• identify the differences among permit modification classes,
• list the special forms of permits,
• list the types of facilities that may qualify for a permit-by-rule,
state the eligibility requirements for interim status and the conditions for termination of
interim status,
• list the conditions for changes during interim status, and
» describe various regulatory developments and current EPA initiatives to improve the
permitting program.
Use this list of objectives to check your knowledge of this topic after you complete the training
session.
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for Call Center training purposes.
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2 - Permits and Interim Status
2. REGULATORY SUMMARY
RCRA §3005 authorizes and creates the foundation for issuing RCRA permits to TSDFs. The
regulations implementing this statutory section are found in Part 270. Permits are issued by
EPA, authorized states, or both. In this module, "EPA" should be read to include both EPA
Regional Offices and states authorized for purposes of granting permits. Permits give owners
and operators of TSDFs legal authority to treat, store, or dispose of hazardous waste. A RCRA
permit is site-specific and can cover one or more units. The operating requirements for TSDFs
are found in Parts 264, 265, and 266. Parts 264 and 266 apply to facilities that have received
permits. Facilities that have not yet received a permit to operate must comply with the self-
implementing interim status standards of Part 265. The administrative procedures that apply to
the permitting process, including procedures for issuing, modifying, revoking, reissuing, or
terminating permits, are found in Part 124.
2.1 APPLICABILITY
A RCRA permit is required for facilities conducting treatment, storage, and/or disposal of
hazardous waste. A permit defines operating requirements and various provisions specific to the
needs of the permit applicant depending on the treatment, storage, or disposal activities being
conducted at the facility.
Certain hazardous waste treatment, storage, or disposal activities and facilities do not require a
permit. The following discussion addresses the activities that do not require a permit and
specific exclusions from permit requirements.
SPECIFIC EXCLUSIONS FROM PERMIT REQUIREMENTS
In a few narrowly defined cases, a facility that would otherwise be considered to be treating,
storing, or disposing of hazardous waste is not required to obtain a RCRA permit. These
exceptions are listed in §270.1(c)(2) and include:
• generators who accumulate hazardous waste on site for less than the time periods
provided in §262.34;
• farmers who dispose of pesticide hazardous waste from their own use as provided in
§262.70;
• persons who own or operate facilities solely for the treatment, storage, or disposal of
hazardous waste excluded by §261.4 or §261.5;
owners and operators of totally enclosed treatment facilities as defined in §260.10;
• owners and operators of elementary neutralization units or wastewater treatment units as
defined in §260.10;
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for Call Center training purposes.
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Permits and Interim Status - 3
• transporters storing manifested shipments of hazardous waste in containers meeting the
requirements of §262.30 at a transfer facility for a period of 10 days or less;
• persons adding absorbent material to hazardous waste in a container (as defined in
§260.10) and persons adding waste to absorbent material in a container (provided that
these actions occur at the time the waste is first placed in the container and comply with
§§264.17(b), 264.171, and 264.172);
• universal waste handlers and transporters managing wastes subject to regulation under
Part 273; and
owners and operators performing treatment or containment activities taken during
immediate response to a discharge of a hazardous waste, an imminent and substantial
threat of a discharge of a hazardous waste, or a discharge of a material which when
discharged becomes a hazardous waste.
For more details about TSDFs, see the module entitled Introduction to Treatment Storage, and
Disposal Facilities.
2.2 PERMITTING PROCESS
A permit establishes the site-specific administrative and technical standards to which a TSDF
must adhere in order to legally manage hazardous waste. A lengthy permit application and
review process ensures that each site receives specific analysis concerning hazardous waste
management at that location.
PERMIT APPLICATION
Owners and operators of facilities that fall under the permitting regulations are required to
submit a comprehensive permit application covering all aspects of the design, operation, and
maintenance of the facility. The application provides EPA valuable information which will
ensure compliance with Subtitle C regulations through the development of a facility-specific
permit. Permits are written to address the specific geography of the facility, the types of
hazardous waste management units, and the specific wastestreams that will be managed at the
facility. The permit application consists of two parts, Part A and Part B.
Part A
Part A of the permit application is submitted on a designated form, Form 8700-23. The basic
Part A information requirements are presented in §270.13.
Examples of Part A information include:
activities conducted by the applicant that require the owner/operator to obtain a permit
under RCRA;
• name, mailing address, and location of the facility;
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for Call Center training purposes.
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4 - Permits and Interim Status
• up to four North American Industry Classification System (NAICS) codes that best
describe facility activities;
descriptions of the processes to be used for treating, storing, and/or disposing of
hazardous waste and the design capacity of these items or units;
• identification of the hazardous wastes to be managed at the facility;
• list of all permits received or applied for under other regulatory programs;
• topographic map of the facility.
PartB
Part B information is submitted in narrative form. It includes general information requirements
for all hazardous waste management facilities, as well as unit-specific information. The Part B
information requirements presented in §§270.14 - 270.27 reflect the standards promulgated in
Parts 264 and 266. Section 270.14(b) lists the general information requirements that all
hazardous waste management facilities must submit in Part B of the permit application,
including:
• general description of the facility;
• chemical and physical analyses of the wastes to be handled at the facility;
copy of the waste analysis plan;
description of the security procedures and copy of the inspection schedule;
• copy of the contingency plan;
• description of procedures, structures, or equipment used at the facility to prevent releases
to the environment;
description of precautions to prevent accidental ignition or reaction of ignitable, reactive,
or incompatible waste;
• facility location information such as proximity to a seismic area or a 100-year floodplain.
Owners and operators are required to provide information regarding the placement of hazardous
waste and any resultant releases (§§270.14(c) and (d)). These regulations are designed to
prevent or remediate releases into the environment from land-based hazardous waste
management units and solid waste management units (SWMUs). This information is then used
as part of the corrective action process. Details of this process are provided in the module
entitled RCRA Corrective Action.
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for Call Center training purposes.
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Permits and Interim Status - 5
Owners and operators must also submit unit-specific information for each hazardous waste
management unit at the facility. Sections 270.15 through 270.27 correspond to Part 264,
Subparts I through X, AA, BB, CC, and DD, as well as Part 266, Subpart H. For example, if a
TSDF manages hazardous waste in containers, the owner and operator must provide a
description of the container storage containment design and sketches to demonstrate compliance
with the 50-foot buffer zone requirement (§264.176). Owners and operators may be required to
submit additional information pursuant to §270.10(k) for the purpose of establishing permit
conditions under the omnibus provision in RCRA §3005(c)(3) (§§270.32(b)(2) and 270.50(d)).
The omnibus provision allows the Agency to establish conditions not specified in Part 264 or
266 in a permit that are necessary to protect human health and the environment.
TIME FRAME FOR PERMIT APPLICATION SUBMISSION
Owners and operators of facilities who wish to begin managing hazardous waste for the first time
(i.e., new hazardous waste management facilities) must receive a RCRA permit before the
facility is allowed to treat, store, or dispose of hazardous waste. Owners and operators of new
hazardous waste management facilities must submit Parts A and B of the permit application at
least 180 days before physical construction of the facility is expected to commence (§270. l(b)).
However, it typically takes several years for EPA to issue a permit. Owners and operators
should apply for a permit early in their planning process because physical construction cannot
commence until the permit is issued (§270.10(f)).
PERMIT APPLICATION PROCEDURES
EPA has the authority to issue or deny permits subject to the permit application process (Figure
1). Members of the public and other interested parties can contribute valuable information and
ideas that improve the quality of both agency decisions and permit applications. EPA believes
that public participation is a vital component of the permitting process. The regulations
governing the administrative procedures for permitting, including public participation, are found
in Part 124.
PUBLIC PARTICIPATION
EPA has integrated public involvement in all stages of the permitting process, including the pre-
application meeting, public comment and response periods, and public hearings. Through all of
these steps, the public can engage facility owners and operators and regulators in a dialogue to
become educated about the facility and express their concerns. EPA also encourages public
participation activities that occur outside the formal permitting process. Citizens can contact
environmental, public interest, and civic and community groups that have an interest in the
facility and become involved in their activities. The permit applicant may also create informal
opportunities for public input and dialogue.
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for Call Center training purposes.
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6 - Permits and Interim Status
Figure 1
MAJOR STEPS IN THE PERMIT PROCESS
EXISTING FACILITY
Applicant submits its Part A
application and notification:
Interim Status §270.10(e)
NEW FACILITY
Facility seeking a permit must hold a
p re-application meeting, providing a
minimum of 30 days notice prior to the
meeting §124.31
Interim status facilities that have not
yet submitted their Part B must hold a
pre-application meeting (§124.31)
Applicant submits Part B application
Applicant submits Part A and
Part B application §270.10(f)
EPA publishes notice that a Part B permit application has been submitted §124.32
EPA determines application is complete §124.3(c)
EPA issues Draft Permit or Notice of Intent to Deny Permit §124.6
Public notice; 45 days for comments §124.10(b)
Public hearing if any adverse comments, or if specifically requested §§124.11, 124.12
I
Final decision §124.15(a) and response to comments §124.17
Appeals may be filed within 30 days of the final decision §124.19
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for Call Center training purposes.
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Permits and Interim Status - 7
PRE-APPLICATION MEETING
The public participation provisions require prospective applicants to hold an informal public
meeting before submitting a RCRA permit application. The permit applicant should select a
meeting time, date, and location that are convenient to the public. The permit applicant must
provide notice of the pre-application meeting at least 30 days prior to the meeting in a manner
that is likely to reach all members of the affected community. The applicant must advertise the
meeting in the newspaper, through a broadcast announcement, and on a sign posted at or near the
property. At the meeting, the owner and operator must describe the facility in a level of detail
that is practical at the time of the meeting to give the public enough information to understand
the facility operations and potential impacts to human health and the environment. The permit
applicant must submit with the permit application, details of the meeting and a list of all
attendees, which is used as the facility mailing list. Upon receipt of the permit application, EPA
must send a notice to everyone on the facility mailing list specifying where the public can
examine the application.
THE DRAFT PERMIT, PUBLIC COMMENT PERIOD, AND PUBLIC HEARING
Once EPA has received a complete permit application, they will decide whether to issue a draft
permit or a notice of intent to deny. In either case, they must notify the public of their decision
and announce the opening of a minimum 45-day public comment period. EPA must print the
notice in a local paper, broadcast the notice over a local radio station, and send a copy to the
mailing list recipients and relevant agencies. EPA must also prepare a fact sheet or statement of
basis regarding its decision. The fact sheet must explain the factual, legal, methodological, and
policy issues considered in making the decision to issue or deny the permit.
Any person may request a public hearing during the comment period. EPA must hold a hearing
if someone submits a written notice of opposition to the draft permit and a request for a hearing,
or if the public demonstrates a significant degree of interest in the draft permit. EPA may also
hold a public hearing at its own discretion. The Agency must notify the public at least 30 days
prior to the hearing.
The comment period on the draft permit allows public submission of written concerns and
suggestions to EPA. EPA must consider all comments when making the final decision.
Furthermore, the Agency must describe and respond to all significant comments raised during
the comment period.
After the public comment period closes, EPA will review and evaluate all comments and issue a
final permit decision. The Agency must send a notice of decision to the facility owner and
operator and any person who submitted comments or requested notice on the final permit
decision.
In certain instances, RCRA permits can be the subject of intense debate. The public
participation requirements allow EPA to require a facility owner and operator to set up an
information repository at any time during the permitting process or the life of the permit. The
repository will hold all information and documents that EPA decides are necessary to adequately
inform and educate the public. EPA intended to use the information repository requirement
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for Call Center training purposes.
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! - Permits and Interim Status
sparingly on a case-by-case basis when a significant amount of public concern has surfaced or
where the community has unique information needs (60 FR 63417, 63425; December 11, 1995).
UNIT AND FACILITY PERMITS
EPA may issue or deny a permit for one or more units at a facility without simultaneously
issuing or denying a permit to all units at the facility (§§270. l(c)(4) and 270.29). This means
that a facility may be permitted on a unit-specific basis, rather than as a whole facility.
PERMIT-AS-A-SHIELD
Compliance with a RCRA permit during its term is considered compliance, for purposes of
RCRA enforcement, with Subtitle C of RCRA (§270.4(a)). This provision means that an owner
and operator complies with the requirements specified in the permit, rather than with the
corresponding regulations as promulgated in Parts 264 and 266. This is referred to as the
"permit-as-a-shield" provision. A permittee must still comply with requirements that are
imposed by the statute itself, the land disposal restrictions promulgated under Part 268, and the
liner and leak detection requirements for certain land disposal units (57 FR 3462; January 29,
1992). In addition, the definition of permit-as-a-shield was amended to require facilities to
comply with Subparts AA, BB, and CC of Part 265 (59 FR 62952; December 6, 1994).
2.3 PERMIT CONDITIONS
Part 270, Subpart C, defines the conditions that apply to all RCRA permits. These conditions are
either incorporated expressly into the permit or are included by regulatory citations. Section
270.30 lists the conditions that apply to all RCRA permits:
• The permittee must comply with all conditions of the permit, except when an emergency
permit issued under §270.61 authorizes noncompliance.
• The permittee must reapply if he or she is to continue a regulated activity after the
existing permit expires.
The permittee may not use as a defense in an enforcement action that the only way to
maintain compliance with the permit was to halt or reduce the permitted activity.
• The permittee must take all reasonable steps to minimize adverse impacts on human
health and the environment.
• The permittee must ensure proper operation and maintenance of the facility.
The permit may be modified, revoked and reissued, or terminated for cause.
The permit does not convey any property rights to the permittee.
• The permittee must provide any relevant information requested.
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for Call Center training purposes.
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Permits and Interim Status - 9
• The permittee must allow the facility to be inspected.
The permittee must conduct appropriate sampling procedures, and retain results of all
monitoring.
• The permittee must comply with the reporting requirements of §270.30(1).
• The permittee, when required by EPA, must establish and maintain an information
repository that contains all documents, reports, and data important for public
understanding.
The permittee must sign and certify applications, reports, or information submitted.
The Agency can also establish conditions not specified in Part 264 or 266 through use of the
omnibus authority (RCRA §3005(c)(3)).
COMPLIANCE SCHEDULES
EPA can issue permits to interim status facilities that will not initially be in compliance with the
Part 264 standards through the use of schedules of compliance. In general, compliance
schedules in permits should be used to allow the construction or installation of equipment that is
not required under Part 265, but is required to comply with Part 264. Compliance schedules
must be specific, enforceable, allow for public notice and comment, and allow the applicant
additional time only where it is legitimately needed. The schedules should include design and
construction specifications, interim milestones, and a date for completion. For facilities that
must conduct corrective action, EPA is required to develop schedules of compliance where the
cleanup cannot be completed prior to permit issuance (§264.101(b)).
2.4 CHANGES TO PERMITS
Part 270, Subpart D, establishes the steps necessary to make changes to a permit. The
procedures for making changes to a permit will vary depending on whether EPA or the
owner/operator is initiating the change. The three basic situations for changing a permit after
issuance are:
• permit modification at the request of the permittee
• permit modification at the request of EPA
modification of the permit
revocation and reissuance of the permit
• termination of the permit
The procedures for each of these actions are discussed below.
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for Call Center training purposes.
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10 - Permits and Interim Status
FACILITY-INITIATED PERMIT MODIFICATIONS
Section 270.42 contains the regulations that apply to the modification of a permit at the request
of the permittee. There are three classifications of permit modifications — Classes 1, 2, and 3 —
that correspond to the degree the permit will be modified. Appendix I to §270.42, entitled
Classification of Permit Modification, describes the type of permit modification necessary to
change a permit provision when there is a transfer of a permit (i.e., change in ownership) or the
permittee requests a permit modification. For all modifications, the permittee submits
information to EPA that describes the exact change to be made to the permit conditions,
identifies whether the modification is Class 1, 2, or 3, and provides the applicable permit
application information. Class 1 and 2 modifications do not substantially alter existing permit
conditions or significantly affect the overall operation of a facility. Class 1 covers routine
changes, such as changing typographical errors, upgrading plans and records maintained by the
facility, or replacing equipment. Class 2 modifications address common operating changes
needed to maintain a facility's ability to manage a waste safely or to conform with new
regulatory requirements. Class 3 changes cover major modifications that substantially alter the
facility or its operations, such as significantly increasing the facility's capacity to treat, store, or
dispose of hazardous waste.
Prior approval of the Agency is not required for most Class 1 modifications, although an asterisk
in the Appendix I table indicates a Class 1 change that does require prior Agency approval (see
§270.42(a)). For both Class 2 and Class 3 modifications, prior Agency approval is required, and
a procedure similar to the permitting process is followed.
For a modification not explicitly listed in Appendix I, the permittee may submit a Class 3
modification or request a determination by EPA that the modification be reviewed and approved
as a Class 1 or 2 modification (§270.42(d)).
According to §270.42(g), fully permitted facilities managing newly regulated hazardous wastes
or hazardous wastes in newly regulated units must submit a Class 1 modification by the date on
which the waste or unit becomes subject to the new requirements. The permittee must also be in
compliance with the applicable standards of Parts 265 and 266. If a Class 2 or 3 modification is
required, the permittee must also submit a complete permit modification request within 180 days
after the effective date of the rule that subjected the waste or unit to Subtitle C regulation.
Finally, for all land disposal units that are newly regulated, the permittee must certify that the
unit is in compliance with all applicable requirements of Part 265 for groundwater monitoring
and financial responsibility 12 months after the effective date of the rule.
Public Participation
As with the initial permit process, permit modifications can raise public concerns that must be
addressed through public participation. Public participation responsibilities and activities vary
depending on who initiated the modification and the degree to which the modification changes
the facility permit. When a modification is proposed, only the permit conditions subject to
modification are reopened for public comment.
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for Call Center training purposes.
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Permits and Interim Status - 11
The only public involvement requirement for Class 1 modifications is that within 90 days of
implementing a change the facility must send a notice to all parties on the facility mailing list.
Class 2 modifications involve public notice in a local newspaper, a 60-day comment period, and
a public meeting held no earlier than 15 days into the comment period and no later than 15 days
before it ends. At any time during the Class 2 procedures, EPA may reclassify the request as a
Class 3 modification if there is significant public concern or if EPA determines the modification
is too complex for the Class 2 procedures. Class 3 modifications are subject to all public
participation provisions, including the pre-application meeting requirement.
AGENCY-INITIATED PERMIT MODIFICATIONS
There are two types of EPA-initiated changes to permits: permit modification or revocation and
reissuance of a permit (§270.41). When a permit is modified, only the conditions subject to
modification are reopened. If a permit is revoked and reissued, the entire permit is reopened and
can be revised, and the permit is reissued for a new term. The Agency may modify a permit, or
revoke and reissue if the permittee agrees, for the following reasons: if there have been
alterations or additions to the facility; there is new information that was not available at the time
of permit issuance; new statutory or regulatory requirements were promulgated; or the Agency
has cause to initiate a compliance schedule under §270.33. The Agency may also modify a land
disposal facility's permit during the permit's five-year review. EPA may either modify a permit
or revoke and reissue a permit if cause for termination of the permit exists pursuant to §270.43 or
if the permit is transferred (§270.4 l(b)).
TERMINATION OF PERMITS
EPA can terminate a permit during its term or deny a permit renewal application if any of the
following causes occur (§270.43):
• noncompliance by the permittee with any condition of the permit,
• failure to disclose all relevant facts or misrepresentation of any relevant facts, and
• determination that a permitted activity endangers human health and the environment.
EPA must follow the applicable Part 124 administrative procedures or state procedures when
terminating a permit.
EXPIRATION AND CONTINUATION OF PERMITS
Part 270, Subpart E, specifies the requirements for the duration of permits and the conditions
under which an expiring permit can continue. RCRA permits are effective for a fixed term that
is not to exceed 10 years (§270.50(a)). EPA, however, can issue a permit for less than the
allowable term. Section 270.50(d) requires EPA to review permits for land disposal facilities
five years after the date of permit issue or reissue.
Section 270.51 lists the conditions under which EPA can extend an expiring or expired permit.
An expired permit can be continued when the permittee has submitted a timely application for a
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for Call Center training purposes.
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12 - Permits and Interim Status
new permit before the expiration date of the previous permit, provided the delay of the reissue
was through no fault of the permittee. Permits that are continued remain fully effective and
enforceable (§270.5l(b)).
2.5 POST-CLOSURE PERMITS
Owners and operators of surface impoundments, landfills, land treatment units, and waste pile
units that received wastes after July 26, 1982, or that certified closure (according to §265.115)
after January 26, 1983, must receive post-closure permits, unless the owner and operator
demonstrates closure by removal and decontamination as provided under §270.1(c)(5) and (6).
Additionally, a post-closure permit is not required if the owner and operator obtain an
enforceable document in lieu of a post-closure permit under §270. l(c)(7). The denial of a permit
for the active life of a hazardous waste management facility does not affect the requirement to
obtain a post-closure permit under this section. If a post-closure permit is required, the permit
must address applicable Part 264 groundwater monitoring, unsaturated zone monitoring,
corrective action, and post-closure care requirements.
On October 22, 1998, EPA established information submission requirements for post-closure
permits at §270.28 (63 FR 56710). Prior to this rule, the information submission requirements of
Part 270 did not differentiate between operating permits and post-closure permits. EPA
recognized that certain aspects of the Part 270 information are important for ensuring proper
post-closure care, while others are generally less relevant. As a result, an owner and operator
seeking a post-closure permit must only submit the information required under §270.28, unless
otherwise specified by EPA. The specific items required in post-closure permit applications are
as follows:
• a general description of the facility
a description of security procedures and equipment
a copy of the general inspection schedule
• justification for any request for waiver of preparedness and prevention requirements
• facility location information
a copy of the post-closure plan
documentation that required post-closure notices have been filed
• the post-closure cost estimate for the facility
• proof of financial assurance
a topographic map
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for Call Center training purposes.
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Permits and Interim Status - 13
• information regarding protection of groundwater
• information regarding SWMUs at the facility
Owners and operators who obtain an enforceable document in lieu of a post-closure permit also
have to submit only the information required by §270.28, unless otherwise specified by EPA
(§265.121(a)(l)).
ENFORCEABLE DOCUMENTS IN LIEU OF POST-CLOSURE PERMITS
If an alternative enforcement mechanism is used in lieu of a post-closure permit, the regulated
units must still meet the same substantive requirements that apply to units receiving post-closure
permits. Specifically, the enforceable document must impose: the requirements for submission
of information relevant to closing facilities that need permits only for post-closure care
(§265.121(a)(l)); Part 264, Subpart F, requirements for groundwater monitoring and corrective
action for releases to groundwater (§265.121(a)(3)); and facility-wide corrective action
requirements for releases from SWMUs under §264.101 (§265.121(a)(2)). The requirements
relating to the maintenance of the closed unit and financial responsibility need not be addressed
in the enforceable document. Rather, the relevant portions of Part 265, Subparts G and H will
continue to apply.
The term enforceable document includes federal enforcement orders issued under RCRA
§§3008(a) and 3008(h), post-closure plans issued by EPA which are enforceable under §3008(a),
orders issued under CERCLA §106, and decision documents describing Fund-financed response
actions under CERCLA §104.
The use of an enforceable document provides opportunities for public participation that differ
from those established in the permit issuance procedures. The new procedures reflect the
Agency's efforts to provide as much public participation as possible, but also represent the
awareness that most of the alternate mechanisms used to address corrective action will be
enforcement orders.
EPA did not establish detailed procedural requirements, including minimum comment period
times, for public involvement associated with the use of enforceable documents. EPA used this
approach because it did not wish to restrict existing state or federal approaches that have proven
to be successful.
When using an enforceable document, EPA requires that meaningful opportunity for public
involvement occurs at three-key stages: when EPA first becomes involved in the cleanup process
as a regulatory or enforcement matter, when EPA is ready to approve a remedy for the site, and
when EPA is ready to decide that remedial action is complete at the site. The Agency does not
limit public involvement to these stages of cleanup; rather, it encourages early, open, and
continuous public participation as is provided by the permitting process.
EPA requires that all public involvement be meaningful. Meaningful public participation is
achieved when all impacted parties have ample time to participate in the facility cleanup
decisions and have adequate access to information. Meaningful public participation may require
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for Call Center training purposes.
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bilingual notifications or publication of legal notices in city or community newspapers. EPA
recommends that parties responsible for involving the public update the community regularly on
the progress made at cleaning up the facility through community meetings or the use of
electronic bulletin board systems.
EPA can delay or waive the public participation requirements when using an enforceable
document in lieu of a permit if even a short delay in the implementation of the remedy would
adversely affect human health and the environment.
2.6 SPECIAL FORMS OF RCRA PERMITS
Part 270, Subpart F, contains the regulations that apply to special forms of permits. Special
forms of permits under Subpart F include: permits-by-rule; emergency permits; permits for land
treatment demonstrations; interim permits for underground injection control (UIC) wells;
research, development, and demonstration (RD&D) permits; and hazardous waste combustion
permits. See the module entitled Hazardous Waste Combustion for a discussion on the
permitting of hazardous waste combustion units.
PERMITS-BY-RULE
Certain types of facilities managing hazardous waste may qualify for a RCRA permit without
submitting a permit application. This is known as "permit-by-rule." Having a permit-by-rule
means that by following certain portions of the regulations promulgated under other
environmental statutes and a portion of the RCRA regulations, a facility is deemed to have the
equivalent of a RCRA permit. The owner and operator must follow the conditions listed in
§270.60 for a permit-by-rule. Permits-by-rule are available for:
ocean disposal vessels and barges,
• UIC wells, and
• publicly owned treatment works (POTW).
In all three of these cases, specific provisions of other environmental regulatory programs must
be met in order to operate under a permit-by-rule. Ocean disposal vessels and barges must have
a permit issued under Part 220, underground injection wells must have a permit issued under Part
144 or 145, and POTWs must have a National Pollution Discharge Elimination System (NPDES)
permit under Part 122.
EMERGENCY PERMITS
Pursuant to §270.61, emergency permits are temporarily issued when EPA determines that a
situation presents an imminent and substantial endangerment to human health or the
environment. These permits may be issued to a nonpermitted facility to allow treatment, storage,
or disposal of hazardous waste, or to a permitted facility to allow treatment, storage, or disposal
of a hazardous
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for Call Center training purposes.
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Permits and Interim Status - 15
waste not covered by an effective permit. The duration of an emergency permit cannot exceed
90 days.
PERMITS FOR LAND TREATMENT DEMONSTRATIONS
Before a land treatment facility can obtain a final permit, the owner and operator must
demonstrate that hazardous constituents in a waste can be completely degraded, transformed, or
immobilized in the treatment zone (§264.272). The purpose of land treatment demonstrations
using field tests or laboratory analyses is to allow an owner and operator to meet the treatment
demonstration requirements in §264.272 so that a final permit may be obtained. The land
treatment demonstration permit may be issued as a treatment or a disposal permit. It may cover
only the field tests or laboratory analyses, or it may also include conditions pertaining to unit
design, construction, operation, and maintenance.
UIC WELLS
Pursuant to §270.64, EPA may issue an interim UIC permit to any owner and operator of Class I
injection wells injecting hazardous waste in a state in which no UIC program has been approved
or promulgated. The term of the permit is limited to two years. Owners and operators of Class I
injection wells must also follow applicable requirements of the Safe Drinking Water Act
(SDWA).
RESEARCH, DEVELOPMENT, AND DEMONSTRATION PERMITS
Section 270.65 contains special permitting requirements for RD&D permits for hazardous waste
treatment facilities using innovative and experimental treatment technologies for which no
standards exist in Part 264 or 265. These permits are issued for a period of up to one year, and
may be renewed up to three times, with each renewal not exceeding one year.
REMEDIAL ACTION PLANS (RAPs)
In §270.68, EPA refers to the requirements in Part 270, Subpart H, for a special form of RCRA
permit called a remedial action plan or RAP. A RAP is a permit that can be obtained instead of a
traditional permit issued pursuant to §§270.3 through 270.66. This type of permit authorizes
owners and operators to treat, store, or dispose of hazardous remediation waste at a remediation
waste management site. RAPs may be a stand-alone document or may be submitted as part of
another document such as remedy decision documents utilized in the cleanup process.
RAPs cannot be used for treatment activities that use combustion of remediation waste at the
remediation waste site. Also, permitted facilities may use the RAP format for remediation
activities; however, the RAP is incorporated into the facility's permit as a permit modification.
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for Call Center training purposes.
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16 - Permits and Interim Status
2.7 INTERIM STATUS REQUIREMENTS
EPA recognized that it would be impossible for the Agency and authorized states to issue
permits to all hazardous waste management facilities before the RCRA Subtitle C program
became effective in November 1980. In RCRA §3005(e), Congress established provisions to
treat certain facilities as though they had been issued a permit until final administrative action
was taken on their permit applications. This statutory grant of a permit is referred to as "interim
status." Interim status regulations are found in Part 270, Subpart G, and Part 265.
QUALIFYING FOR INTERIM STATUS
Hazardous waste management facilities that are already operating on the effective date of the
statutory or regulatory amendments that cause the facility or unit to become subject to regulation
are considered to be existing facilities. Existing facilities satisfy the requirement to apply for a
permit by submitting only Part A of the permit application (§270. l(b)). The timely submission
of a RCRA §3010 notification (EPA Form 8700-12) and Part A of the permit application
qualifies owners and operators of existing facilities for interim status.
Land disposal facilities qualifying for interim status must submit Part B of the permit application
and certify compliance with all applicable groundwater monitoring and financial responsibility
requirements within 12 months of the date the facility first becomes subject to regulation
(§270.73(d)). Other types of facilities qualifying for interim status should submit the Part B
permit application in accordance with §270.73(c) through (g) or when requested by EPA. EPA
must give at least six months notice when requesting a Part B permit application (§270.10(e)(4)).
Applicants may submit Part B of the permit application voluntarily at any time. An interim
status facility must comply with Part 265 and the conditions described in its Part A until the final
permit determination is made (§270.71).
CHANGES DURING INTERIM STATUS
The owner and operator of an interim status facility must follow the procedures in §270.72 in
order to make any changes to the facility. Section 270.72(a)(l) through (6) establishes the types
of changes that can be made, as well as the criteria under which the changes may occur. An
interim status facility may make the following changes, provided the owner and operator submits
a revised Part A that includes justification for the proposed changes before they are made:
• manage hazardous wastes not specified in the Part A,
• increase design capacity,
• change or add processes,
• change the owner and operator,
• make changes to comply with a §3008(h) corrective action order, and
add newly regulated units.
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for Call Center training purposes.
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Permits and Interim Status - 17
Reconstruction
Section 270.72(b) placed certain limitations on the extent of any changes that can be made under
§270.72(a). Changes to an interim status facility may not be made if they amount to
reconstruction of the facility. Reconstruction is defined as occurring when:
Capital Investment in changes to the facility
• > 50%
Capital Cost of a comparable new facility
Any changes to an interim status facility that require a capital expenditure exceeding 50 percent
of the cost of construction of a comparable new facility is considered reconstruction.
Exceptions
In certain circumstances, EPA has exempted interim status changes from the reconstruction
prohibition. The Agency promulgated two exemptions prior to March 1989:
• changes necessary to comply with the land disposal restrictions, and
• changes necessary to comply with hazardous waste tank regulations.
In the March 7, 1989, Federal Register, EPA added the following exemptions from the
reconstruction limit (54 FR 9596):
changes that EPA determines are necessary to comply with federal, state, or local
requirements;
• changes that are necessary to allow a facility to continue to manage newly listed or
identified wastes;
changes made during closure in accordance with an approved closure plan;
changes made to comply with an interim status corrective action order; and
• addition of newly regulated units (e.g., boilers or industrial furnaces).
In addition, on June 19, 1998, EPA added changes necessary to comply with the National
Emission Standards for Hazardous Air Pollutants from Hazardous Waste Combustors under 40
CFR Part 63, Subpart EEE, as an activity reconstruction limit exemption (63 FR 33782).
All of these exemptions from the reconstruction limit are still considered changes during interim
status and require the facility to submit a revised Part A.
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for Call Center training purposes.
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18 - Permits and Interim Status
LOSS OF INTERIM STATUS
Pursuant to §270.73, interim status is terminated when EPA makes a final determination on Part
B of the permit application (i.e., issue or denial) or when the facility fails to furnish Part B of the
permit application on time or in full (§270.10(e)(5)).
Due to the small number of permits issued for interim status facilities prior to passage of the
Hazardous and Solid Waste Amendments (HSWA) in 1984, Congress implemented a statutory
timetable for submission of Part B permit applications. Those facilities that failed to meet this
"call-in deadline" lost their interim status and had to close. These deadlines are found in
§§270.73(c) through (g) and include submittal of a Part B and demonstration of compliance with
the groundwater monitoring and financial assurance requirements. The only facilities not
covered by the HSWA-mandated schedule are facilities that became newly regulated as a result
of a statutory or regulatory change after November 8, 1984 (other than land disposal facilities).
These facilities are required to submit their Part B when requested by EPA (at least six months
notice must be given).
EPA has also clarified that interim status facilities that have clean closed retain interim status
until a final decision is made on the facility's Part B application (63 FR 56710, 56716; October
22, 1998). Issuance of an enforceable document in lieu of a post-closure permit also does not
terminate interim status.
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for Call Center training purposes.
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Permits and Interim Status - 19
3. SPECIAL ISSUES
Mobile treatment units (MTUs) are designed to move from facility to facility treating waste on
site. These units must comply with the applicable unit standards for interim status (Part 265 or
266) or permitted facilities (Part 264 or 266). RCRA permits are site-specific; thus, a MTU
alone (i.e., the unit itself) cannot receive a permit (or interim status) but must be permitted (or
receive interim status) for use at each location.
MTUs, like other treatment units, may qualify for an exemption from permitting requirements.
If a MTU meets the requirements for a wastewater treatment unit, elementary neutralization unit,
generator accumulation tank, or any other RCRA permit exemption, the facility would not be
required to obtain a permit for that unit.
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for Call Center training purposes.
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20 - Permits and Interim Status
4. REGULATORY DEVELOPMENTS
In order to improve the permitting process, EPA continues to develop ways to increase the
efficiency and effectiveness of environmental permitting programs.
4.1 STANDARDIZED PERMITS
On October 12, 2001, EPA proposed revisions to the RCRA hazardous waste permitting program
to allow a "standardized permit" for facilities that generate hazardous waste and then manage the
waste in tanks, containers, and containment buildings (66 FR 52191). The standardized permit
would streamline the permit process by allowing facilities to obtain and modify permits more
easily while maintaining the protectiveness currently existing in the individual RCRA permit
process. The proposed revision to the RCRA permitting program was based on
recommendations by the Permits Improvement Team (PIT), which was convened to evaluate
permitting activities and to make specific recommendations to improve these activities.
The standardized permit would consist of two components: a uniform portion that is included in
all cases, and a supplemental portion that would be included at EPA's or the Director's discretion.
The uniform terms of the standardized permit would be the same nationwide, but there would be
an opportunity to add conditions tailored to each particular site.
4.2 PERMITTING CEMENT KILN DUST FACILITIES
On August 20, 1999, EPA proposed management standards for cement kiln dust (CKD) designed
to protect groundwater and control releases of fugitive dust (64 FR 45632). EPA proposed to
modify the requirements in Part 270 by adding regulations (i.e., proposed §270.69) specific to
the permitting of cement manufacturing facilities that manage CKD. Only those facilities that do
not comply with the proposed CKD management standards will be required to obtain a CKD
permit pursuant to §270.69. A CKD permit will require a facility to comply with the proposed
CKD standards and any additional requirements specified by EPA that are necessary to protect
human health and the environment. However, permits issued pursuant to §270.69 are different
from other Part 270 permits because they do not impose facility-wide corrective action, and EPA
can modify or waive the permit application and issuance requirements in Parts 124 and 270,
except for the public participation procedures.
4.3 BURDEN REDUCTION INITIATIVE
On January 17, 2002, EPA proposed to reduce the recordkeeping and reporting burden imposed
by RCRA on the states, the public, and the regulated community to meet the federal government-
wide goal established by the Paperwork Reduction Act (PRA) (67 FR 2518). The PRA
establishes a federal government-wide goal of reducing burden 40 percent from the total burden
imposed annually on September 30, 1995. If finalized, the Burden Reduction Initiative will
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for Call Center training purposes.
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Permits and Interim Status - 21
reduce the reporting requirements for generators and TSDFs by eliminating or modifying non-
essential paperwork.
EPA proposes to reduce the self-inspection frequency for hazardous waste tanks from daily to
weekly and to eliminate the RCRA overlap with Occupational Safety and Health Administration
(OSHA) training requirements. Additionally, EPA proposes to change the land disposal
restriction (LDR) paperwork requirements by eliminating the need for generators to conduct the
waste determination required in §268.7(a)(l) and eliminating the need for treatment and
recycling facilities to send notifications and certifications required in §268.7(b)(6) to EPA,
provided the information is kept in facility records.
4.4 E-PERMITTING PROJECT
EPA is examining e-Permitting, or electronic permitting, for the RCRA program. The e-
Permitting Project will improve the effectiveness and efficiency of the RCRA permitting
program by assisting states that are investing in e-Permitting systems, working with states to
pilot RCRA e-Permitting approaches, developing RCRA e-Permitting tools, and facilitating the
sharing of permit information with the public. This project covers permitting activities from
providing guidance and preparing applications to issuing permits and compliance reporting. As
part of the project, EPA will be evaluating existing state e-Permitting systems to better
understand system capabilities. They will also be talking to state permit applicants and software
vendors to get input on parts of the RCRA permitting process (e.g., permit modifications) that
might best lend themselves to electronic processing.
RCRA regulated entities will be able to request a RCRA EPA identification number for new
facilities or supply revisions to their Notification of Regulated Waste Activity submissions
through EPA's Central Data Exchange (CDX) Web site. Additionally, EPA is evaluating the use
of CDX to allow facilities to file their RCRA Part A permit applications. Numerous benefits
could come from e-Permitting, such as: reduced paperwork, improved public participation,
improved efficiency, better permit status tracking, improved compliance reporting, better data
accuracy, improved technical assistance, and a more transparent permitting process.
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for Call Center training purposes.
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